From 01c0aa9b45667b25e8105160119da011471c77cb Mon Sep 17 00:00:00 2001 From: David Waltermire Date: Mon, 31 Aug 2020 21:09:15 -0400 Subject: [PATCH] removed all source and generated content files. Updated readmes to point to the new content repository. --- content/README.md | 8 +- .../json/example-component-min.json | 55 - .../components/json/example-component.json | 57 - content/components/xml/example-component.xml | 41 - .../components/yaml/example-component.yaml | 38 - content/fedramp.gov/README.md | 32 +- ...baseline-resolved-profile_catalog-min.json | 1 - ...IGH-baseline-resolved-profile_catalog.json | 99007 ---------------- .../FedRAMP_HIGH-baseline_profile-min.json | 1 - .../json/FedRAMP_HIGH-baseline_profile.json | 35474 ------ ...baseline-resolved-profile_catalog-min.json | 1 - ...aaS-baseline-resolved-profile_catalog.json | 38994 ------ .../FedRAMP_LI-SaaS-baseline_profile-min.json | 1 - .../FedRAMP_LI-SaaS-baseline_profile.json | 4462 - ...baseline-resolved-profile_catalog-min.json | 1 - ...LOW-baseline-resolved-profile_catalog.json | 47817 -------- .../FedRAMP_LOW-baseline_profile-min.json | 1 - .../json/FedRAMP_LOW-baseline_profile.json | 17083 --- ...baseline-resolved-profile_catalog-min.json | 1 - ...ATE-baseline-resolved-profile_catalog.json | 83593 ------------- ...FedRAMP_MODERATE-baseline_profile-min.json | 1 - .../FedRAMP_MODERATE-baseline_profile.json | 29889 ----- ...HIGH-baseline-resolved-profile_catalog.xml | 42714 ------- .../xml/FedRAMP_HIGH-baseline_profile.xml | 9689 -- ...SaaS-baseline-resolved-profile_catalog.xml | 17511 --- .../xml/FedRAMP_LI-SaaS-baseline_profile.xml | 1734 - ..._LOW-baseline-resolved-profile_catalog.xml | 19131 --- .../xml/FedRAMP_LOW-baseline_profile.xml | 4623 - ...RATE-baseline-resolved-profile_catalog.xml | 35446 ------ .../xml/FedRAMP_MODERATE-baseline_profile.xml | 8143 -- ...IGH-baseline-resolved-profile_catalog.yaml | 86776 -------------- .../yaml/FedRAMP_HIGH-baseline_profile.yaml | 25999 ---- ...aaS-baseline-resolved-profile_catalog.yaml | 34573 ------ .../FedRAMP_LI-SaaS-baseline_profile.yaml | 3132 - ...LOW-baseline-resolved-profile_catalog.yaml | 41309 ------- .../yaml/FedRAMP_LOW-baseline_profile.yaml | 12591 -- ...ATE-baseline-resolved-profile_catalog.yaml | 72916 ------------ .../FedRAMP_MODERATE-baseline_profile.yaml | 21952 ---- content/nist.gov/SP800-53/README.md | 21 +- content/ssp-example/json/ssp-example-min.json | 376 - content/ssp-example/json/ssp-example.json | 442 - content/ssp-example/xml/ssp-example.xml | 304 - content/ssp-example/yaml/ssp-example.yaml | 292 - src/content/README.md | 11 +- .../json/example-component-with-config.json | 82 - .../components/json/example-component.json | 55 - .../xml/import_component_definition_ut.xml | 10 - .../xml/FedRAMP_HIGH-baseline_profile.xml | 9689 -- .../xml/FedRAMP_LI-SaaS-baseline_profile.xml | 1734 - .../xml/FedRAMP_LOW-baseline_profile.xml | 4623 - .../xml/FedRAMP_MODERATE-baseline_profile.xml | 8143 -- .../mini-testing/Unit-Testing-Description.md | 53 - .../oscal_01-identity_profile.xml | 12 - .../oscal_01a-param-only_profile.xml | 23 - .../mini-testing/oscal_02-all_profile.xml | 12 - .../oscal_03-all-with-enh_profile.xml | 14 - .../oscal_04-exclude1_profile.xml | 17 - .../oscal_05-exclude2_profile.xml | 16 - .../oscal_10-some-params_profile.xml | 27 - .../oscal_11-more-params_profile.xml | 70 - .../oscal_20-compound_profile.xml | 26 - .../mini-testing/oscal_30-patched_profile.xml | 35 - .../oscal_31-patched-messy_profile.xml | 51 - .../mini-testing/oscal_32-invalid_profile.xml | 56 - .../oscal_41-exceptions_profile.xml | 49 - .../oscal_42-invoke-exceptions_profile.xml | 24 - .../oscal_99includeACx2_profile.xml | 70 - .../oscal_99includeRAx3_profile.xml | 32 - .../oscal_dinosaur-testing_profile.xml | 32 - .../mini-testing/oscal_dinosaur_profile.xml | 88 - .../oscal_testing_dinosaur_catalog.xml | 71 - .../oscal_testing_mini-testing_catalog.xml | 476 - src/content/mini-testing/readme.md | 6 - ...T_SP-800-53_rev4_HIGH-baseline_profile.xml | 1248 - ...ST_SP-800-53_rev4_LOW-baseline_profile.xml | 754 - ...-800-53_rev4_MODERATE-baseline_profile.xml | 1111 - .../rev4/xml/NIST_SP-800-53_rev4_catalog.xml | 67541 ----------- .../xml/NIST_SP-800-53_rev4_declarations.xml | 108 - .../SP800-53/rev4/xml/conversion-notes.md | 47 - .../xml/validate-labels_SP800-53-catalog.sch | 125 - .../validate-names-etc_SP800-53-catalog.sch | 197 - .../xml/NIST_SP-800-53_rev5-FPD_catalog.xml | 26078 ---- .../Master Validation List - DRAFT.xlsx | Bin 30805 -> 0 bytes ...AMP System Security Plan (SSP) Modeling.md | 716 - ...RAMP System Security Plan (SSP) Mock Up.md | 945 - src/content/ssp-example/json/ssp-example.json | 376 - src/content/ssp-example/readme.md | 1 - src/content/ssp-example/ssp.sch | 35 - src/content/ssp-example/validate.sh | 37 - 89 files changed, 7 insertions(+), 921151 deletions(-) delete mode 100644 content/components/json/example-component-min.json delete mode 100644 content/components/json/example-component.json delete mode 100644 content/components/xml/example-component.xml delete mode 100644 content/components/yaml/example-component.yaml 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delete mode 100644 src/content/nist.gov/SP800-53/rev4/xml/conversion-notes.md delete mode 100644 src/content/nist.gov/SP800-53/rev4/xml/validate-labels_SP800-53-catalog.sch delete mode 100644 src/content/nist.gov/SP800-53/rev4/xml/validate-names-etc_SP800-53-catalog.sch delete mode 100644 src/content/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5-FPD_catalog.xml delete mode 100644 src/content/ssp-example/Master Validation List - DRAFT.xlsx delete mode 100644 src/content/ssp-example/OSCAL Implementation Layer - FedRAMP System Security Plan (SSP) Modeling.md delete mode 100644 src/content/ssp-example/OSCAL Implementation Layer_ FedRAMP System Security Plan (SSP) Mock Up.md delete mode 100644 src/content/ssp-example/json/ssp-example.json delete mode 100644 src/content/ssp-example/readme.md delete mode 100644 src/content/ssp-example/ssp.sch delete mode 100644 src/content/ssp-example/validate.sh diff --git a/content/README.md b/content/README.md index f0976efd17..db667e3686 100644 --- a/content/README.md +++ b/content/README.md @@ -1,9 +1,3 @@ # OSCAL Examples -This directory contains OSCAL examples in both XML and JSON formats. Some examples are considered provisional "finished" versions of OSCAL catalogs and profiles; they are not authoritative but are intended as demonstrations of OSCAL. Other examples are works in progress. Each subdirectory within the examples directory clearly indicates the current status of its example files. - -The structure and contents of the examples directory are as follows: - - * [fedramp.gov](fedramp.gov): This directory contains examples in XML and JSON formats of the low, moderate, and high baselines defined by FedRAMP (the Federal Risk and Authorization Management Program). - * [nist.gov/SP800-53/rev4](nist.gov/SP800-53/rev4): This directory contains examples in XML and JSON formats of the low, moderate, and high baselines defined by NIST Special Publication (SP) 800-53 Revision 4. - +All OSCAL content examples have been moved to the [OSCAL content GitHub repository](https://github.com/usnistgov/oscal-content). diff --git a/content/components/json/example-component-min.json b/content/components/json/example-component-min.json deleted file mode 100644 index e2dbe89a86..0000000000 --- a/content/components/json/example-component-min.json +++ /dev/null @@ -1,55 +0,0 @@ -{ - "component-definition": { - "metadata": { - "title": "Test Component Defintion", - "last-modified": "2019-08-21T15:24:24.389Z", - "version": "20200723", - "oscal-version": "1.0.0-milestone2", - "parties": [ - { - "uuid": "ee47836c-877c-4007-bbf3-c9d9bd805a9a", - "party-name": "Test Vendor", - "type": "organization" - } - ] - }, - "components": { - "b036a6ac-6cff-4066-92bc-74ddfd9ad6fa": { - "name": "test component 1", - "component-type": "software", - "title": "test component 1", - "description": "This is a software component that implements basic authentication mechanisms.", - "responsible-parties": { - "supplier": { - "party-uuids": ["ee47836c-877c-4007-bbf3-c9d9bd805a9a"] - } - }, - "control-implementations": [ - { - "uuid": "cfcdd674-8595-4f98-a9d1-3ac70825c49f", - "source": "../../../content/nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "description": "This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - { - "uuid": "d1016df0-9b5c-4839-86cd-f9c1d113077b", - "description": "Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate.", - "control-id": "ac-2.2" - } - ] - }, - { - "uuid": "22dbff65-9729-449f-9dfc-4e5fee0906de", - "source": "../../../content/fedramp.gov/json/FedRAMP_HIGH-baseline_profile.json", - "description": "This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - { - "uuid": "65e30b37-0640-4844-9f42-b2a7ae944bb1", - "control-id": "ac-2.2" - } - ] - } - ] - } - } - } -} \ No newline at end of file diff --git a/content/components/json/example-component.json b/content/components/json/example-component.json deleted file mode 100644 index 858a9522a6..0000000000 --- a/content/components/json/example-component.json +++ /dev/null @@ -1,57 +0,0 @@ -{ - "component-definition": { - "metadata": { - "title": "Test Component Defintion", - "last-modified": "2019-08-21T15:24:24.389Z", - "version": "20200723", - "oscal-version": "1.0.0-milestone2", - "parties": [ - { - "uuid": "ee47836c-877c-4007-bbf3-c9d9bd805a9a", - "party-name": "Test Vendor", - "type": "organization" - } - ] - }, - "components": { - "b036a6ac-6cff-4066-92bc-74ddfd9ad6fa": { - "name": "test component 1", - "component-type": "software", - "title": "test component 1", - "description": "This is a software component that implements basic authentication mechanisms.", - "responsible-parties": { - "supplier": { - "party-uuids": [ - "ee47836c-877c-4007-bbf3-c9d9bd805a9a" - ] - } - }, - "control-implementations": [ - { - "uuid": "cfcdd674-8595-4f98-a9d1-3ac70825c49f", - "source": "../../../content/nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "description": "This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - { - "uuid": "d1016df0-9b5c-4839-86cd-f9c1d113077b", - "description": "Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate.", - "control-id": "ac-2.2" - } - ] - }, - { - "uuid": "22dbff65-9729-449f-9dfc-4e5fee0906de", - "source": "../../../content/fedramp.gov/json/FedRAMP_HIGH-baseline_profile.json", - "description": "This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - { - "uuid": "65e30b37-0640-4844-9f42-b2a7ae944bb1", - "control-id": "ac-2.2" - } - ] - } - ] - } - } - } -} diff --git a/content/components/xml/example-component.xml b/content/components/xml/example-component.xml deleted file mode 100644 index acf35420a1..0000000000 --- a/content/components/xml/example-component.xml +++ /dev/null @@ -1,41 +0,0 @@ - - - - Test Component Defintion - 2019-08-21T15:24:24.389Z - 20200723 - 1.0.0-milestone2 - - Test Vendor - - - - test component 1 - -

This is a software component that implements basic authentication mechanisms.

- - - ee47836c-877c-4007-bbf3-c9d9bd805a9a - - - -

This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (2).

- - - -

Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate.

- - - - - -

This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (2).

- - - - - diff --git a/content/components/yaml/example-component.yaml b/content/components/yaml/example-component.yaml deleted file mode 100644 index 6dd8fa7f5c..0000000000 --- a/content/components/yaml/example-component.yaml +++ /dev/null @@ -1,38 +0,0 @@ -component-definition: - metadata: - title: Test Component Defintion - last-modified: 2019-08-21T15:24:24.389Z - version: 20200723 - oscal-version: 1.0.0-milestone2 - parties: - - - uuid: ee47836c-877c-4007-bbf3-c9d9bd805a9a - party-name: Test Vendor - type: organization - components: - b036a6ac-6cff-4066-92bc-74ddfd9ad6fa: - name: test component 1 - component-type: software - title: test component 1 - description: This is a software component that implements basic authentication mechanisms. - responsible-parties: - supplier: - party-uuids: ee47836c-877c-4007-bbf3-c9d9bd805a9a - control-implementations: - - - uuid: cfcdd674-8595-4f98-a9d1-3ac70825c49f - source: ../../../content/nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - description: This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (2). - implemented-requirements: - - - uuid: d1016df0-9b5c-4839-86cd-f9c1d113077b - description: Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate. - control-id: ac-2.2 - - - uuid: 22dbff65-9729-449f-9dfc-4e5fee0906de - source: ../../../content/fedramp.gov/yaml/FedRAMP_HIGH-baseline_profile.yaml - description: This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (2). - implemented-requirements: - - - uuid: 65e30b37-0640-4844-9f42-b2a7ae944bb1 - control-id: ac-2.2 diff --git a/content/fedramp.gov/README.md b/content/fedramp.gov/README.md index a136a82a6f..c5e589906f 100644 --- a/content/fedramp.gov/README.md +++ b/content/fedramp.gov/README.md @@ -1,31 +1,3 @@ -# Federal Risk and Authorization Management Program (FedRAMP) Profile Examples +# Content Moved -The following representations of the "High", "Moderate" and "Low" baselines (profiles) are derived from [source data](https://www.fedramp.gov/documents/) defined by FedRAMP: - -- [FedRAMP High Security Controls](https://www.fedramp.gov/assets/resources/documents/FedRAMP_High_Security_Controls.xlsx) -- [FedRAMP MODERATE Security Controls](https://www.fedramp.gov/assets/resources/documents/FedRAMP_Moderate_Security_Controls.xlsx) -- [FedRAMP LOW Security Controls](https://www.fedramp.gov/assets/resources/documents/FedRAMP_Low_Security_Controls.xlsx) - -Machine made OSCAL Profile versions: - -- [FedRAMP HIGH Baseline OSCAL Profile](xml/FedRAMP_HIGH-baseline_profile.xml) -- [FedRAMP MODERATE Baseline OSCAL Profile](xml/FedRAMP_MODERATE-baseline_profile.xml) -- [FedRAMP LOW Baseline OSCAL Profile](xml/FedRAMP_LOW-baseline_profile.xml) - -[JSON versions](json) are also available for the OSCAL profiles above containing equivalent content. - -Each one of these captures the (indicated) spreadsheet data and represents it as an OSCAL profile, calling controls in from the appropriate SP 800-53 rev4 baselines or when necessary from the SP 800-53 rev4 catalog. - -Specific FedRAMP guidance and parameter constraints are provided for each control. - -### Extraction / conversion process - -All control information from NIST SP 800-53 revision 4 and all FedRAMP control baseline details are correlated in an MS Access database, which is part of the MS Office 2016 product suite. -The FedRAMP profiles are created with MS Access Visual Basic for Applications (VBA) code, which queries the information and creates OSCAL-compliant XML using MSXML Document Object Model (DOM) Version 6. -This tool represents a proof-of-concept. Open-source tools may be developed in the future. - -### Special considerations - -Note also the profiles here make reference to profiles and catalogs stored in the neighbor '[SP 800-53](../nist.gov/SP800-53)' directory, on which they are dependent. - -Also note that (at least according to Schematron `oscal-profiles-sources.sch`), several of the OSCAL invocations in these profiles could be rewritten to exclude rather than include controls. In a number of cases, invoking controls by exclusion will be much more concise than the same control set (selection) expressed by inclusion; the Schematron detects and reports on this. +All OSCAL FedRAMP content have been moved to the [OSCAL content GitHub repository](https://github.com/usnistgov/oscal-content/tree/master/fedramp.gov). diff --git a/content/fedramp.gov/json/FedRAMP_HIGH-baseline-resolved-profile_catalog-min.json b/content/fedramp.gov/json/FedRAMP_HIGH-baseline-resolved-profile_catalog-min.json deleted file mode 100644 index 4652968af6..0000000000 --- a/content/fedramp.gov/json/FedRAMP_HIGH-baseline-resolved-profile_catalog-min.json +++ /dev/null @@ -1 +0,0 @@ -{"catalog":{"uuid":"a8ace2a3-4082-40eb-be07-0b0cd7bb4c15","metadata":{"title":"FedRAMP High Baseline","published":"2020-06-01T00:00:00.000-04:00","last-modified":"2020-06-01T10:00:00.000-04:00","version":"1.2","oscal-version":"1.0.0-milestone3","properties":[{"name":"resolution-timestamp","value":"2020-08-31T17:38:24.694738Z"}],"links":[{"href":"FedRAMP_HIGH-baseline_profile.xml","rel":"resolution-source","text":"FedRAMP High Baseline"}],"roles":[{"id":"parpared-by","title":"Document creator"},{"id":"fedramp-pmo","title":"The FedRAMP Program Management Office (PMO)","short-name":"CSP"},{"id":"fedramp-jab","title":"The FedRAMP Joint Authorization Board (JAB)","short-name":"CSP"}],"parties":[{"uuid":"8cc0b8e5-9650-4d5f-9796-316f05fa9a2d","type":"organization","party-name":"Federal Risk and Authorization Management Program: Program Management Office","short-name":"FedRAMP PMO","links":[{"href":"https://fedramp.gov","rel":"homepage","text":""}],"addresses":[{"type":"work","postal-address":["1800 F St. NW",""],"city":"Washington","state":"DC","postal-code":"","country":"US"}],"email-addresses":["info@fedramp.gov"]},{"uuid":"ca9ba80e-1342-4bfd-b32a-abac468c24b4","type":"organization","party-name":"Federal Risk and Authorization Management Program: Joint Authorization Board","short-name":"FedRAMP JAB"}],"responsible-parties":{"prepared-by":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-pmo":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-jab":{"party-uuids":["ca9ba80e-1342-4bfd-b32a-abac468c24b4"]}}},"groups":[{"id":"ac","class":"family","title":"Access Control","controls":[{"id":"ac-1","class":"SP800-53","title":"Access Control Policy and Procedures","parameters":[{"id":"ac-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ac-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ac-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-1"},{"name":"sort-id","value":"ac-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ac-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ac-1_prm_1 }}:","parts":[{"id":"ac-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An access control policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ac-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the access control policy and\n associated access controls; and"}]},{"id":"ac-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ac-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Access control policy {{ ac-1_prm_2 }}; and"},{"id":"ac-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Access control procedures {{ ac-1_prm_3 }}."}]}]},{"id":"ac-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ac-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)"}],"parts":[{"id":"ac-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)"}],"parts":[{"id":"ac-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(1)[1]"}],"prose":"develops and documents an access control policy that addresses:","parts":[{"id":"ac-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ac-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ac-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ac-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ac-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ac-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ac-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ac-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the access control policy are to be\n disseminated;"},{"id":"ac-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-1(a)(1)[3]"}],"prose":"disseminates the access control policy to organization-defined personnel or\n roles;"}]},{"id":"ac-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)"}],"parts":[{"id":"ac-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;"},{"id":"ac-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ac-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ac-1.b_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)"}],"parts":[{"id":"ac-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(1)"}],"parts":[{"id":"ac-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current access control\n policy;"},{"id":"ac-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(1)[2]"}],"prose":"reviews and updates the current access control policy with the\n organization-defined frequency;"}]},{"id":"ac-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(2)"}],"parts":[{"id":"ac-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current access control\n procedures; and"},{"id":"ac-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(2)[2]"}],"prose":"reviews and updates the current access control procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-2","class":"SP800-53","title":"Account Management","parameters":[{"id":"ac-2_prm_1","label":"organization-defined information system account types"},{"id":"ac-2_prm_2","label":"organization-defined personnel or roles"},{"id":"ac-2_prm_3","label":"organization-defined procedures or conditions"},{"id":"ac-2_prm_4","label":"organization-defined frequency","constraints":[{"detail":"monthly for privileged accessed, every six (6) months for non-privileged access"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2"},{"name":"sort-id","value":"ac-02"}],"parts":[{"id":"ac-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};"},{"id":"ac-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assigns account managers for information system accounts;"},{"id":"ac-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes conditions for group and role membership;"},{"id":"ac-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Specifies authorized users of the information system, group and role membership,\n and access authorizations (i.e., privileges) and other attributes (as required)\n for each account;"},{"id":"ac-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requires approvals by {{ ac-2_prm_2 }} for requests to create\n information system accounts;"},{"id":"ac-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};"},{"id":"ac-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Monitors the use of information system accounts;"},{"id":"ac-2_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Notifies account managers:","parts":[{"id":"ac-2_smt.h.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"When accounts are no longer required;"},{"id":"ac-2_smt.h.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"When users are terminated or transferred; and"},{"id":"ac-2_smt.h.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"When individual information system usage or need-to-know changes;"}]},{"id":"ac-2_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Authorizes access to the information system based on:","parts":[{"id":"ac-2_smt.i.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A valid access authorization;"},{"id":"ac-2_smt.i.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Intended system usage; and"},{"id":"ac-2_smt.i.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and"},{"id":"ac-2_smt.k","name":"item","properties":[{"name":"label","value":"k."}],"prose":"Establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"id":"ac-2_gdn","name":"guidance","prose":"Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-10","rel":"related","text":"AC-10"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.a_obj","name":"objective","properties":[{"name":"label","value":"AC-2(a)"}],"parts":[{"id":"ac-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(a)[1]"}],"prose":"defines information system account types to be identified and selected to\n support organizational missions/business functions;"},{"id":"ac-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-2(a)[2]"}],"prose":"identifies and selects organization-defined information system account types to\n support organizational missions/business functions;"}]},{"id":"ac-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-2(b)"}],"prose":"assigns account managers for information system accounts;"},{"id":"ac-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(c)"}],"prose":"establishes conditions for group and role membership;"},{"id":"ac-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(d)"}],"prose":"specifies for each account (as required):","parts":[{"id":"ac-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(d)[1]"}],"prose":"authorized users of the information system;"},{"id":"ac-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(d)[2]"}],"prose":"group and role membership;"},{"id":"ac-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"AC-2(d)[3]"}],"prose":"access authorizations (i.e., privileges);"},{"id":"ac-2.d_obj.4","name":"objective","properties":[{"name":"label","value":"AC-2(d)[4]"}],"prose":"other attributes;"}]},{"id":"ac-2.e_obj","name":"objective","properties":[{"name":"label","value":"AC-2(e)"}],"parts":[{"id":"ac-2.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(e)[1]"}],"prose":"defines personnel or roles required to approve requests to create information\n system accounts;"},{"id":"ac-2.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(e)[2]"}],"prose":"requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;"}]},{"id":"ac-2.f_obj","name":"objective","properties":[{"name":"label","value":"AC-2(f)"}],"parts":[{"id":"ac-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(f)[1]"}],"prose":"defines procedures or conditions to:","parts":[{"id":"ac-2.f_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][a]"}],"prose":"create information system accounts;"},{"id":"ac-2.f_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][b]"}],"prose":"enable information system accounts;"},{"id":"ac-2.f_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][c]"}],"prose":"modify information system accounts;"},{"id":"ac-2.f_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][d]"}],"prose":"disable information system accounts;"},{"id":"ac-2.f_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][e]"}],"prose":"remove information system accounts;"}]},{"id":"ac-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(f)[2]"}],"prose":"in accordance with organization-defined procedures or conditions:","parts":[{"id":"ac-2.f_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][a]"}],"prose":"creates information system accounts;"},{"id":"ac-2.f_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][b]"}],"prose":"enables information system accounts;"},{"id":"ac-2.f_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][c]"}],"prose":"modifies information system accounts;"},{"id":"ac-2.f_obj.2.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][d]"}],"prose":"disables information system accounts;"},{"id":"ac-2.f_obj.2.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][e]"}],"prose":"removes information system accounts;"}]}]},{"id":"ac-2.g_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(g)"}],"prose":"monitors the use of information system accounts;"},{"id":"ac-2.h_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(h)"}],"prose":"notifies account managers:","parts":[{"id":"ac-2.h.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(1)"}],"prose":"when accounts are no longer required;"},{"id":"ac-2.h.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(2)"}],"prose":"when users are terminated or transferred;"},{"id":"ac-2.h.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(3)"}],"prose":"when individual information system usage or need to know changes;"}]},{"id":"ac-2.i_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(i)"}],"prose":"authorizes access to the information system based on;","parts":[{"id":"ac-2.i.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(1)"}],"prose":"a valid access authorization;"},{"id":"ac-2.i.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(2)"}],"prose":"intended system usage;"},{"id":"ac-2.i.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(3)"}],"prose":"other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2.j_obj","name":"objective","properties":[{"name":"label","value":"AC-2(j)"}],"parts":[{"id":"ac-2.j_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(j)[1]"}],"prose":"defines the frequency to review accounts for compliance with account management\n requirements;"},{"id":"ac-2.j_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(j)[2]"}],"prose":"reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and"}]},{"id":"ac-2.k_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(k)"}],"prose":"establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management"}]}],"controls":[{"id":"ac-2.1","class":"SP800-53-enhancement","title":"Automated System Account Management","properties":[{"name":"label","value":"AC-2(1)"},{"name":"sort-id","value":"ac-02.01"}],"parts":[{"id":"ac-2.1_smt","name":"statement","prose":"The organization employs automated mechanisms to support the management of\n information system accounts."},{"id":"ac-2.1_gdn","name":"guidance","prose":"The use of automated mechanisms can include, for example: using email or text\n messaging to automatically notify account managers when users are terminated or\n transferred; using the information system to monitor account usage; and using\n telephonic notification to report atypical system account usage."},{"id":"ac-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to support the\n management of information system accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.2","class":"SP800-53-enhancement","title":"Removal of Temporary / Emergency Accounts","parameters":[{"id":"ac-2.2_prm_1","constraints":[{"detail":"Selection: disables"}]},{"id":"ac-2.2_prm_2","label":"organization-defined time period for each type of account","constraints":[{"detail":"24 hours from last use"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(2)"},{"name":"sort-id","value":"ac-02.02"}],"parts":[{"id":"ac-2.2_smt","name":"statement","prose":"The information system automatically {{ ac-2.2_prm_1 }} temporary\n and emergency accounts after {{ ac-2.2_prm_2 }}."},{"id":"ac-2.2_gdn","name":"guidance","prose":"This control enhancement requires the removal of both temporary and emergency\n accounts automatically after a predefined period of time has elapsed, rather than\n at the convenience of the systems administrator."},{"id":"ac-2.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(2)[1]"}],"prose":"the organization defines the time period after which the information system\n automatically removes or disables temporary and emergency accounts; and"},{"id":"ac-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(2)[2]"}],"prose":"the information system automatically removes or disables temporary and\n emergency accounts after the organization-defined time period for each type of\n account."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.3","class":"SP800-53-enhancement","title":"Disable Inactive Accounts","parameters":[{"id":"ac-2.3_prm_1","label":"organization-defined time period","constraints":[{"detail":"35 days for user accounts"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(3)"},{"name":"sort-id","value":"ac-02.03"}],"parts":[{"id":"ac-2.3_smt","name":"statement","prose":"The information system automatically disables inactive accounts after {{ ac-2.3_prm_1 }}.","parts":[{"id":"ac-2.3_fr","name":"item","title":"AC-2 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.3_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available."}]}]},{"id":"ac-2.3_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(3)[1]"}],"prose":"the organization defines the time period after which the information system\n automatically disables inactive accounts; and"},{"id":"ac-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(3)[2]"}],"prose":"the information system automatically disables inactive accounts after the\n organization-defined time period."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.4","class":"SP800-53-enhancement","title":"Automated Audit Actions","parameters":[{"id":"ac-2.4_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"organization and/or service provider system owner"}]}],"properties":[{"name":"label","value":"AC-2(4)"},{"name":"sort-id","value":"ac-02.04"}],"parts":[{"id":"ac-2.4_smt","name":"statement","prose":"The information system automatically audits account creation, modification,\n enabling, disabling, and removal actions, and notifies {{ ac-2.4_prm_1 }}."},{"id":"ac-2.4_gdn","name":"guidance","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"ac-2.4_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(4)[1]"}],"prose":"the information system automatically audits the following account actions:","parts":[{"id":"ac-2.4_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][a]"}],"prose":"creation;"},{"id":"ac-2.4_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][b]"}],"prose":"modification;"},{"id":"ac-2.4_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][c]"}],"prose":"enabling;"},{"id":"ac-2.4_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][d]"}],"prose":"disabling;"},{"id":"ac-2.4_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][e]"}],"prose":"removal;"}]},{"id":"ac-2.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(4)[2]"}],"prose":"the organization defines personnel or roles to be notified of the following\n account actions:","parts":[{"id":"ac-2.4_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][a]"}],"prose":"creation;"},{"id":"ac-2.4_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][b]"}],"prose":"modification;"},{"id":"ac-2.4_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][c]"}],"prose":"enabling;"},{"id":"ac-2.4_obj.2.d","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][d]"}],"prose":"disabling;"},{"id":"ac-2.4_obj.2.e","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][e]"}],"prose":"removal;"}]},{"id":"ac-2.4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(4)[3]"}],"prose":"the information system notifies organization-defined personnel or roles of the\n following account actions:","parts":[{"id":"ac-2.4_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][a]"}],"prose":"creation;"},{"id":"ac-2.4_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][b]"}],"prose":"modification;"},{"id":"ac-2.4_obj.3.c","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][c]"}],"prose":"enabling;"},{"id":"ac-2.4_obj.3.d","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][d]"}],"prose":"disabling; and"},{"id":"ac-2.4_obj.3.e","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][e]"}],"prose":"removal."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nnotifications/alerts of account creation, modification, enabling, disabling,\n and removal actions\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.5","class":"SP800-53-enhancement","title":"Inactivity Logout","parameters":[{"id":"ac-2.5_prm_1","label":"organization-defined time-period of expected inactivity or description of when\n to log out","constraints":[{"detail":"inactivity is anticipated to exceed Fifteen (15) minutes"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(5)"},{"name":"sort-id","value":"ac-02.05"}],"parts":[{"id":"ac-2.5_smt","name":"statement","prose":"The organization requires that users log out when {{ ac-2.5_prm_1 }}.","parts":[{"id":"ac-2.5_fr","name":"item","title":"AC-2 (5) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Should use a shorter timeframe than AC-12."}]}]},{"id":"ac-2.5_gdn","name":"guidance","links":[{"href":"#sc-23","rel":"related","text":"SC-23"}]},{"id":"ac-2.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(5)[1]"}],"prose":"defines either the time period of expected inactivity that requires users to\n log out or the description of when users are required to log out; and"},{"id":"ac-2.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(5)[2]"}],"prose":"requires that users log out when the organization-defined time period of\n inactivity is reached or in accordance with organization-defined description of\n when to log out."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity violation reports\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nusers that must comply with inactivity logout policy"}]}]},{"id":"ac-2.7","class":"SP800-53-enhancement","title":"Role-based Schemes","parameters":[{"id":"ac-2.7_prm_1","label":"organization-defined actions","constraints":[{"detail":"disables/revokes access within a organization-specified timeframe"}]}],"properties":[{"name":"label","value":"AC-2(7)"},{"name":"sort-id","value":"ac-02.07"}],"parts":[{"id":"ac-2.7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2.7_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;"},{"id":"ac-2.7_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Monitors privileged role assignments; and"},{"id":"ac-2.7_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Takes {{ ac-2.7_prm_1 }} when privileged role assignments are no\n longer appropriate."}]},{"id":"ac-2.7_gdn","name":"guidance","prose":"Privileged roles are organization-defined roles assigned to individuals that allow\n those individuals to perform certain security-relevant functions that ordinary\n users are not authorized to perform. These privileged roles include, for example,\n key management, account management, network and system administration, database\n administration, and web administration."},{"id":"ac-2.7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(7)(a)"}],"prose":"establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;","links":[{"href":"#ac-2.7_smt.a","rel":"corresp","text":"AC-2(7)(a)"}]},{"id":"ac-2.7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(7)(b)"}],"prose":"monitors privileged role assignments;","links":[{"href":"#ac-2.7_smt.b","rel":"corresp","text":"AC-2(7)(b)"}]},{"id":"ac-2.7.c_obj","name":"objective","properties":[{"name":"label","value":"AC-2(7)(c)"}],"parts":[{"id":"ac-2.7.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(7)(c)[1]"}],"prose":"defines actions to be taken when privileged role assignments are no longer\n appropriate; and"},{"id":"ac-2.7.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(7)(c)[2]"}],"prose":"takes organization-defined actions when privileged role assignments are no\n longer appropriate."}],"links":[{"href":"#ac-2.7_smt.c","rel":"corresp","text":"AC-2(7)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of privileged user accounts and associated\n role\\n\\nrecords of actions taken when privileged role assignments are no longer\n appropriate\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\ninformation system monitoring records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions\\n\\nautomated mechanisms monitoring privileged role assignments"}]}]},{"id":"ac-2.9","class":"SP800-53-enhancement","title":"Restrictions On Use of Shared / Group Accounts","parameters":[{"id":"ac-2.9_prm_1","label":"organization-defined conditions for establishing shared/group accounts","constraints":[{"detail":"organization-defined need with justification statement that explains why such accounts are necessary"}]}],"properties":[{"name":"label","value":"AC-2(9)"},{"name":"sort-id","value":"ac-02.09"}],"parts":[{"id":"ac-2.9_smt","name":"statement","prose":"The organization only permits the use of shared/group accounts that meet {{ ac-2.9_prm_1 }}.","parts":[{"id":"ac-2.9_fr","name":"item","title":"AC-2 (9) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.9_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Required if shared/group accounts are deployed"}]}]},{"id":"ac-2.9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.9_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(9)[1]"}],"prose":"defines conditions for establishing shared/group accounts; and"},{"id":"ac-2.9_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(9)[2]"}],"prose":"only permits the use of shared/group accounts that meet organization-defined\n conditions for establishing shared/group accounts."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of shared/group accounts and associated role\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing management of shared/group accounts"}]}]},{"id":"ac-2.10","class":"SP800-53-enhancement","title":"Shared / Group Account Credential Termination","properties":[{"name":"label","value":"AC-2(10)"},{"name":"sort-id","value":"ac-02.10"}],"parts":[{"id":"ac-2.10_smt","name":"statement","prose":"The information system terminates shared/group account credentials when members\n leave the group.","parts":[{"id":"ac-2.10_fr","name":"item","title":"AC-2 (10) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.10_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Required if shared/group accounts are deployed"}]}]},{"id":"ac-2.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system terminates shared/group account credentials\n when members leave the group."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naccount access termination records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.11","class":"SP800-53-enhancement","title":"Usage Conditions","parameters":[{"id":"ac-2.11_prm_1","label":"organization-defined circumstances and/or usage conditions"},{"id":"ac-2.11_prm_2","label":"organization-defined information system accounts"}],"properties":[{"name":"label","value":"AC-2(11)"},{"name":"sort-id","value":"ac-02.11"}],"parts":[{"id":"ac-2.11_smt","name":"statement","prose":"The information system enforces {{ ac-2.11_prm_1 }} for {{ ac-2.11_prm_2 }}."},{"id":"ac-2.11_gdn","name":"guidance","prose":"Organizations can describe the specific conditions or circumstances under which\n information system accounts can be used, for example, by restricting usage to\n certain days of the week, time of day, or specific durations of time."},{"id":"ac-2.11_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(11)[1]"}],"prose":"the organization defines circumstances and/or usage conditions to be enforced\n for information system accounts;"},{"id":"ac-2.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(11)[2]"}],"prose":"the organization defines information system accounts for which\n organization-defined circumstances and/or usage conditions are to be enforced;\n and"},{"id":"ac-2.11_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(11)[3]"}],"prose":"the information system enforces organization-defined circumstances and/or usage\n conditions for organization-defined information system accounts."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of information system accounts and associated assignments\n of usage circumstances and/or usage conditions\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.12","class":"SP800-53-enhancement","title":"Account Monitoring / Atypical Usage","parameters":[{"id":"ac-2.12_prm_1","label":"organization-defined atypical usage"},{"id":"ac-2.12_prm_2","label":"organization-defined personnel or roles","constraints":[{"detail":"at a minimum, the ISSO and/or similar role within the organization"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(12)"},{"name":"sort-id","value":"ac-02.12"}],"parts":[{"id":"ac-2.12_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2.12_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Monitors information system accounts for {{ ac-2.12_prm_1 }};\n and"},{"id":"ac-2.12_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Reports atypical usage of information system accounts to {{ ac-2.12_prm_2 }}."},{"id":"ac-2.12_fr","name":"item","title":"AC-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(a) Guidance:"}],"prose":"Required for privileged accounts."},{"id":"ac-2.12_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"(b) Guidance:"}],"prose":"Required for privileged accounts."}]}]},{"id":"ac-2.12_gdn","name":"guidance","prose":"Atypical usage includes, for example, accessing information systems at certain\n times of the day and from locations that are not consistent with the normal usage\n patterns of individuals working in organizations.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"}]},{"id":"ac-2.12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.12.a_obj","name":"objective","properties":[{"name":"label","value":"AC-2(12)(a)"}],"parts":[{"id":"ac-2.12.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(12)(a)[1]"}],"prose":"defines atypical usage to be monitored for information system accounts;"},{"id":"ac-2.12.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(12)(a)[2]"}],"prose":"monitors information system accounts for organization-defined atypical\n usage;"}],"links":[{"href":"#ac-2.12_smt.a","rel":"corresp","text":"AC-2(12)(a)"}]},{"id":"ac-2.12.b_obj","name":"objective","properties":[{"name":"label","value":"AC-2(12)(b)"}],"parts":[{"id":"ac-2.12.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(12)(b)[1]"}],"prose":"defines personnel or roles to whom atypical usage of information system\n accounts are to be reported; and"},{"id":"ac-2.12.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(12)(b)[2]"}],"prose":"reports atypical usage of information system accounts to\n organization-defined personnel or roles."}],"links":[{"href":"#ac-2.12_smt.b","rel":"corresp","text":"AC-2(12)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.13","class":"SP800-53-enhancement","title":"Disable Accounts for High-risk Individuals","parameters":[{"id":"ac-2.13_prm_1","label":"organization-defined time period","constraints":[{"detail":"one (1) hour"}]}],"properties":[{"name":"label","value":"AC-2(13)"},{"name":"sort-id","value":"ac-02.13"}],"parts":[{"id":"ac-2.13_smt","name":"statement","prose":"The organization disables accounts of users posing a significant risk within\n {{ ac-2.13_prm_1 }} of discovery of the risk."},{"id":"ac-2.13_gdn","name":"guidance","prose":"Users posing a significant risk to organizations include individuals for whom\n reliable evidence or intelligence indicates either the intention to use authorized\n access to information systems to cause harm or through whom adversaries will cause\n harm. Harm includes potential adverse impacts to organizational operations and\n assets, individuals, other organizations, or the Nation. Close coordination\n between authorizing officials, information system administrators, and human\n resource managers is essential in order for timely execution of this control\n enhancement.","links":[{"href":"#ps-4","rel":"related","text":"PS-4"}]},{"id":"ac-2.13_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-2.13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(13)[1]"}],"prose":"defines the time period within which accounts are disabled upon discovery of a\n significant risk posed by users of such accounts; and"},{"id":"ac-2.13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(13)[2]"}],"prose":"disables accounts of users posing a significant risk within the\n organization-defined time period of discovery of the risk."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of disabled accounts\\n\\nlist of user activities posing significant organizational risk\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]}]},{"id":"ac-3","class":"SP800-53","title":"Access Enforcement","properties":[{"name":"label","value":"AC-3"},{"name":"sort-id","value":"ac-03"}],"parts":[{"id":"ac-3_smt","name":"statement","prose":"The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies."},{"id":"ac-3_gdn","name":"guidance","prose":"Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ac-21","rel":"related","text":"AC-21"},{"href":"#ac-22","rel":"related","text":"AC-22"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"ac-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy"}]}]},{"id":"ac-4","class":"SP800-53","title":"Information Flow Enforcement","parameters":[{"id":"ac-4_prm_1","label":"organization-defined information flow control policies"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-4"},{"name":"sort-id","value":"ac-04"}],"parts":[{"id":"ac-4_smt","name":"statement","prose":"The information system enforces approved authorizations for controlling the flow of\n information within the system and between interconnected systems based on {{ ac-4_prm_1 }}."},{"id":"ac-4_gdn","name":"guidance","prose":"Information flow control regulates where information is allowed to travel within an\n information system and between information systems (as opposed to who is allowed to\n access the information) and without explicit regard to subsequent accesses to that\n information. Flow control restrictions include, for example, keeping\n export-controlled information from being transmitted in the clear to the Internet,\n blocking outside traffic that claims to be from within the organization, restricting\n web requests to the Internet that are not from the internal web proxy server, and\n limiting information transfers between organizations based on data structures and\n content. Transferring information between information systems representing different\n security domains with different security policies introduces risk that such transfers\n violate one or more domain security policies. In such situations, information\n owners/stewards provide guidance at designated policy enforcement points between\n interconnected systems. Organizations consider mandating specific architectural\n solutions when required to enforce specific security policies. Enforcement includes,\n for example: (i) prohibiting information transfers between interconnected systems\n (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way\n information flows; and (iii) implementing trustworthy regrading mechanisms to\n reassign security attributes and security labels. Organizations commonly employ\n information flow control policies and enforcement mechanisms to control the flow of\n information between designated sources and destinations (e.g., networks, individuals,\n and devices) within information systems and between interconnected systems. Flow\n control is based on the characteristics of the information and/or the information\n path. Enforcement occurs, for example, in boundary protection devices (e.g.,\n gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or\n establish configuration settings that restrict information system services, provide a\n packet-filtering capability based on header information, or message-filtering\n capability based on message content (e.g., implementing key word searches or using\n document characteristics). Organizations also consider the trustworthiness of\n filtering/inspection mechanisms (i.e., hardware, firmware, and software components)\n that are critical to information flow enforcement. Control enhancements 3 through 22\n primarily address cross-domain solution needs which focus on more advanced filtering\n techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented\n in cross-domain products, for example, high-assurance guards. Such capabilities are\n generally not available in commercial off-the-shelf information technology\n products.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-21","rel":"related","text":"AC-21"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-18","rel":"related","text":"SC-18"}]},{"id":"ac-4_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-4_obj.1","name":"objective","properties":[{"name":"label","value":"AC-4[1]"}],"prose":"the organization defines information flow control policies to control the flow of\n information within the system and between interconnected systems; and"},{"id":"ac-4_obj.2","name":"objective","properties":[{"name":"label","value":"AC-4[2]"}],"prose":"the information system enforces approved authorizations for controlling the flow\n of information within the system and between interconnected systems based on\n organization-defined information flow control policies."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system baseline configuration\\n\\nlist of information flow authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information flow enforcement policy"}]}],"controls":[{"id":"ac-4.8","class":"SP800-53-enhancement","title":"Security Policy Filters","parameters":[{"id":"ac-4.8_prm_1","label":"organization-defined security policy filters"},{"id":"ac-4.8_prm_2","label":"organization-defined information flows"}],"properties":[{"name":"label","value":"AC-4(8)"},{"name":"sort-id","value":"ac-04.08"}],"parts":[{"id":"ac-4.8_smt","name":"statement","prose":"The information system enforces information flow control using {{ ac-4.8_prm_1 }} as a basis for flow control decisions for {{ ac-4.8_prm_2 }}."},{"id":"ac-4.8_gdn","name":"guidance","prose":"Organization-defined security policy filters can address data structures and\n content. For example, security policy filters for data structures can check for\n maximum file lengths, maximum field sizes, and data/file types (for structured and\n unstructured data). Security policy filters for data content can check for\n specific words (e.g., dirty/clean word filters), enumerated values or data value\n ranges, and hidden content. Structured data permits the interpretation of data\n content by applications. Unstructured data typically refers to digital information\n without a particular data structure or with a data structure that does not\n facilitate the development of rule sets to address the particular sensitivity of\n the information conveyed by the data or the associated flow enforcement decisions.\n Unstructured data consists of: (i) bitmap objects that are inherently non\n language-based (i.e., image, video, or audio files); and (ii) textual objects that\n are based on written or printed languages (e.g., commercial off-the-shelf word\n processing documents, spreadsheets, or emails). Organizations can implement more\n than one security policy filter to meet information flow control objectives (e.g.,\n employing clean word lists in conjunction with dirty word lists may help to reduce\n false positives)."},{"id":"ac-4.8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-4.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-4(8)[1]"}],"prose":"the organization defines security policy filters to be used as a basis for\n enforcing flow control decisions;"},{"id":"ac-4.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-4(8)[2]"}],"prose":"the organization defines information flows for which flow control decisions are\n to be applied and enforced; and"},{"id":"ac-4.8_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-4(8)[3]"}],"prose":"the information system enforces information flow control using\n organization-defined security policy filters as a basis for flow control\n decisions for organization-defined information flows."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security policy filters regulating flow control decisions\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information flow enforcement policy"}]}]},{"id":"ac-4.21","class":"SP800-53-enhancement","title":"Physical / Logical Separation of Information Flows","parameters":[{"id":"ac-4.21_prm_1","label":"organization-defined mechanisms and/or techniques"},{"id":"ac-4.21_prm_2","label":"organization-defined required separations by types of information"}],"properties":[{"name":"label","value":"AC-4(21)"},{"name":"sort-id","value":"ac-04.21"}],"parts":[{"id":"ac-4.21_smt","name":"statement","prose":"The information system separates information flows logically or physically using\n {{ ac-4.21_prm_1 }} to accomplish {{ ac-4.21_prm_2 }}."},{"id":"ac-4.21_gdn","name":"guidance","prose":"Enforcing the separation of information flows by type can enhance protection by\n ensuring that information is not commingled while in transit and by enabling flow\n control by transmission paths perhaps not otherwise achievable. Types of separable\n information include, for example, inbound and outbound communications traffic,\n service requests and responses, and information of differing security\n categories."},{"id":"ac-4.21_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-4.21_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-4(21)[1]"}],"prose":"the organization defines the required separations of information flows by types\n of information;"},{"id":"ac-4.21_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-4(21)[2]"}],"prose":"the organization defines the mechanisms and/or techniques to be used to\n separate information flows logically or physically; and"},{"id":"ac-4.21_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-4(21)[3]"}],"prose":"the information system separates information flows logically or physically\n using organization-defined mechanisms and/or techniques to accomplish\n organization-defined required separations by types of information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information flow enforcement policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of required separation of information flows by information types\\n\\nlist of mechanisms and/or techniques used to logically or physically separate\n information flows\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information flow enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information flow enforcement functions"}]}]}]},{"id":"ac-5","class":"SP800-53","title":"Separation of Duties","parameters":[{"id":"ac-5_prm_1","label":"organization-defined duties of individuals"}],"properties":[{"name":"label","value":"AC-5"},{"name":"sort-id","value":"ac-05"}],"parts":[{"id":"ac-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Separates {{ ac-5_prm_1 }};"},{"id":"ac-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents separation of duties of individuals; and"},{"id":"ac-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Defines information system access authorizations to support separation of\n duties."},{"id":"ac-5_fr","name":"item","title":"AC-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP."}]}]},{"id":"ac-5_gdn","name":"guidance","prose":"Separation of duties addresses the potential for abuse of authorized privileges and\n helps to reduce the risk of malevolent activity without collusion. Separation of\n duties includes, for example: (i) dividing mission functions and information system\n support functions among different individuals and/or roles; (ii) conducting\n information system support functions with different individuals (e.g., system\n management, programming, configuration management, quality assurance and testing, and\n network security); and (iii) ensuring security personnel administering access control\n functions do not also administer audit functions.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"ac-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-5.a_obj","name":"objective","properties":[{"name":"label","value":"AC-5(a)"}],"parts":[{"id":"ac-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-5(a)[1]"}],"prose":"defines duties of individuals to be separated;"},{"id":"ac-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-5(a)[2]"}],"prose":"separates organization-defined duties of individuals;"}]},{"id":"ac-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-5(b)"}],"prose":"documents separation of duties; and"},{"id":"ac-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-5(c)"}],"prose":"defines information system access authorizations to support separation of\n duties."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing divisions of responsibility and separation of duties\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of divisions of responsibility and separation of duties\\n\\ninformation system access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining appropriate divisions\n of responsibility and separation of duties\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing separation of duties policy"}]}]},{"id":"ac-6","class":"SP800-53","title":"Least Privilege","properties":[{"name":"label","value":"AC-6"},{"name":"sort-id","value":"ac-06"}],"parts":[{"id":"ac-6_smt","name":"statement","prose":"The organization employs the principle of least privilege, allowing only authorized\n accesses for users (or processes acting on behalf of users) which are necessary to\n accomplish assigned tasks in accordance with organizational missions and business\n functions."},{"id":"ac-6_gdn","name":"guidance","prose":"Organizations employ least privilege for specific duties and information systems. The\n principle of least privilege is also applied to information system processes,\n ensuring that the processes operate at privilege levels no higher than necessary to\n accomplish required organizational missions/business functions. Organizations\n consider the creation of additional processes, roles, and information system accounts\n as necessary, to achieve least privilege. Organizations also apply least privilege to\n the development, implementation, and operation of organizational information\n systems.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"ac-6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs the principle of least privilege, allowing only\n authorized access for users (and processes acting on behalf of users) which are\n necessary to accomplish assigned tasks in accordance with organizational missions and\n business functions. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of assigned access authorizations (user privileges)\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}],"controls":[{"id":"ac-6.1","class":"SP800-53-enhancement","title":"Authorize Access to Security Functions","parameters":[{"id":"ac-6.1_prm_1","label":"organization-defined security functions (deployed in hardware, software, and\n firmware) and security-relevant information","constraints":[{"detail":"all functions not publicly accessible and all security-relevant information not publicly available"}]}],"properties":[{"name":"label","value":"AC-6(1)"},{"name":"sort-id","value":"ac-06.01"}],"parts":[{"id":"ac-6.1_smt","name":"statement","prose":"The organization explicitly authorizes access to {{ ac-6.1_prm_1 }}."},{"id":"ac-6.1_gdn","name":"guidance","prose":"Security functions include, for example, establishing system accounts, configuring\n access authorizations (i.e., permissions, privileges), setting events to be\n audited, and setting intrusion detection parameters. Security-relevant information\n includes, for example, filtering rules for routers/firewalls, cryptographic key\n management information, configuration parameters for security services, and access\n control lists. Explicitly authorized personnel include, for example, security\n administrators, system and network administrators, system security officers,\n system maintenance personnel, system programmers, and other privileged users.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"}]},{"id":"ac-6.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(1)[1]"}],"prose":"defines security-relevant information for which access must be explicitly\n authorized;"},{"id":"ac-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(1)[2]"}],"prose":"defines security functions deployed in:","parts":[{"id":"ac-6.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-6(1)[2][a]"}],"prose":"hardware;"},{"id":"ac-6.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-6(1)[2][b]"}],"prose":"software;"},{"id":"ac-6.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-6(1)[2][c]"}],"prose":"firmware;"}]},{"id":"ac-6.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(1)[3]"}],"prose":"explicitly authorizes access to:","parts":[{"id":"ac-6.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-6(1)[3][a]"}],"prose":"organization-defined security functions; and"},{"id":"ac-6.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-6(1)[3][b]"}],"prose":"security-relevant information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of security functions (deployed in hardware, software, and firmware) and\n security-relevant information for which access must be explicitly\n authorized\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.2","class":"SP800-53-enhancement","title":"Non-privileged Access for Nonsecurity Functions","parameters":[{"id":"ac-6.2_prm_1","label":"organization-defined security functions or security-relevant\n information","constraints":[{"detail":"all security functions"}]}],"properties":[{"name":"label","value":"AC-6(2)"},{"name":"sort-id","value":"ac-06.02"}],"parts":[{"id":"ac-6.2_smt","name":"statement","prose":"The organization requires that users of information system accounts, or roles,\n with access to {{ ac-6.2_prm_1 }}, use non-privileged accounts or\n roles, when accessing nonsecurity functions.","parts":[{"id":"ac-6.2_fr","name":"item","title":"AC-6 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-6.2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions."}]}]},{"id":"ac-6.2_gdn","name":"guidance","prose":"This control enhancement limits exposure when operating from within privileged\n accounts or roles. The inclusion of roles addresses situations where organizations\n implement access control policies such as role-based access control and where a\n change of role provides the same degree of assurance in the change of access\n authorizations for both the user and all processes acting on behalf of the user as\n would be provided by a change between a privileged and non-privileged account.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"ac-6.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-6.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(2)[1]"}],"prose":"defines security functions or security-relevant information to which users of\n information system accounts, or roles, have access; and"},{"id":"ac-6.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(2)[2]"}],"prose":"requires that users of information system accounts, or roles, with access to\n organization-defined security functions or security-relevant information, use\n non-privileged accounts, or roles, when accessing nonsecurity functions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated security functions or security-relevant information\n assigned to information system accounts or roles\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.3","class":"SP800-53-enhancement","title":"Network Access to Privileged Commands","parameters":[{"id":"ac-6.3_prm_1","label":"organization-defined privileged commands","constraints":[{"detail":"all privileged commands"}]},{"id":"ac-6.3_prm_2","label":"organization-defined compelling operational needs"}],"properties":[{"name":"label","value":"AC-6(3)"},{"name":"sort-id","value":"ac-06.03"}],"parts":[{"id":"ac-6.3_smt","name":"statement","prose":"The organization authorizes network access to {{ ac-6.3_prm_1 }}\n only for {{ ac-6.3_prm_2 }} and documents the rationale for such\n access in the security plan for the information system."},{"id":"ac-6.3_gdn","name":"guidance","prose":"Network access is any access across a network connection in lieu of local access\n (i.e., user being physically present at the device).","links":[{"href":"#ac-17","rel":"related","text":"AC-17"}]},{"id":"ac-6.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-6.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(3)[1]"}],"prose":"defines privileged commands to which network access is to be authorized only\n for compelling operational needs;"},{"id":"ac-6.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(3)[2]"}],"prose":"defines compelling operational needs for which network access to\n organization-defined privileged commands are to be solely authorized;"},{"id":"ac-6.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(3)[3]"}],"prose":"authorizes network access to organization-defined privileged commands only for\n organization-defined compelling operational needs; and"},{"id":"ac-6.3_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-6(3)[4]"}],"prose":"documents the rationale for authorized network access to organization-defined\n privileged commands in the security plan for the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of operational needs for authorizing network access to privileged\n commands\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.5","class":"SP800-53-enhancement","title":"Privileged Accounts","parameters":[{"id":"ac-6.5_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AC-6(5)"},{"name":"sort-id","value":"ac-06.05"}],"parts":[{"id":"ac-6.5_smt","name":"statement","prose":"The organization restricts privileged accounts on the information system to\n {{ ac-6.5_prm_1 }}."},{"id":"ac-6.5_gdn","name":"guidance","prose":"Privileged accounts, including super user accounts, are typically described as\n system administrator for various types of commercial off-the-shelf operating\n systems. Restricting privileged accounts to specific personnel or roles prevents\n day-to-day users from having access to privileged information/functions.\n Organizations may differentiate in the application of this control enhancement\n between allowed privileges for local accounts and for domain accounts provided\n organizations retain the ability to control information system configurations for\n key security parameters and as otherwise necessary to sufficiently mitigate\n risk.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"ac-6.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-6.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(5)[1]"}],"prose":"defines personnel or roles for which privileged accounts on the information\n system are to be restricted; and"},{"id":"ac-6.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(5)[2]"}],"prose":"restricts privileged accounts on the information system to organization-defined\n personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated privileged accounts\\n\\nlist of system administration personnel\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.7","class":"SP800-53-enhancement","title":"Review of User Privileges","parameters":[{"id":"ac-6.7_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at a minimum, annually"}]},{"id":"ac-6.7_prm_2","label":"organization-defined roles or classes of users","constraints":[{"detail":"all users with privileges"}]}],"properties":[{"name":"label","value":"AC-6(7)"},{"name":"sort-id","value":"ac-06.07"}],"parts":[{"id":"ac-6.7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-6.7_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Reviews {{ ac-6.7_prm_1 }} the privileges assigned to {{ ac-6.7_prm_2 }} to validate the need for such privileges; and"},{"id":"ac-6.7_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Reassigns or removes privileges, if necessary, to correctly reflect\n organizational mission/business needs."}]},{"id":"ac-6.7_gdn","name":"guidance","prose":"The need for certain assigned user privileges may change over time reflecting\n changes in organizational missions/business function, environments of operation,\n technologies, or threat. Periodic review of assigned user privileges is necessary\n to determine if the rationale for assigning such privileges remains valid. If the\n need cannot be revalidated, organizations take appropriate corrective actions.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"}]},{"id":"ac-6.7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-6.7.a_obj","name":"objective","properties":[{"name":"label","value":"AC-6(7)(a)"}],"parts":[{"id":"ac-6.7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(7)(a)[1]"}],"prose":"defines roles or classes of users to which privileges are assigned;"},{"id":"ac-6.7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(7)(a)[2]"}],"prose":"defines the frequency to review the privileges assigned to\n organization-defined roles or classes of users to validate the need for such\n privileges;"},{"id":"ac-6.7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-6(7)(a)[3]"}],"prose":"reviews the privileges assigned to organization-defined roles or classes of\n users with the organization-defined frequency to validate the need for such\n privileges; and"}],"links":[{"href":"#ac-6.7_smt.a","rel":"corresp","text":"AC-6(7)(a)"}]},{"id":"ac-6.7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(7)(b)"}],"prose":"reassigns or removes privileges, if necessary, to correctly reflect\n organizational missions/business needs.","links":[{"href":"#ac-6.7_smt.b","rel":"corresp","text":"AC-6(7)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated roles or classes of users and assigned privileges\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nvalidation reviews of privileges assigned to roles or classes or users\\n\\nrecords of privilege removals or reassignments for roles or classes of\n users\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for reviewing least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing review of user privileges"}]}]},{"id":"ac-6.8","class":"SP800-53-enhancement","title":"Privilege Levels for Code Execution","parameters":[{"id":"ac-6.8_prm_1","label":"organization-defined software","constraints":[{"detail":"any software except software explicitly documented"}]}],"properties":[{"name":"label","value":"AC-6(8)"},{"name":"sort-id","value":"ac-06.08"}],"parts":[{"id":"ac-6.8_smt","name":"statement","prose":"The information system prevents {{ ac-6.8_prm_1 }} from executing\n at higher privilege levels than users executing the software."},{"id":"ac-6.8_gdn","name":"guidance","prose":"In certain situations, software applications/programs need to execute with\n elevated privileges to perform required functions. However, if the privileges\n required for execution are at a higher level than the privileges assigned to\n organizational users invoking such applications/programs, those users are\n indirectly provided with greater privileges than assigned by organizations."},{"id":"ac-6.8_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-6.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(8)[1]"}],"prose":"the organization defines software that should not execute at higher privilege\n levels than users executing the software; and"},{"id":"ac-6.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(8)[2]"}],"prose":"the information system prevents organization-defined software from executing at\n higher privilege levels than users executing the software."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of software that should not execute at higher privilege levels than users\n executing software\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions for software\n execution"}]}]},{"id":"ac-6.9","class":"SP800-53-enhancement","title":"Auditing Use of Privileged Functions","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-6(9)"},{"name":"sort-id","value":"ac-06.09"}],"parts":[{"id":"ac-6.9_smt","name":"statement","prose":"The information system audits the execution of privileged functions."},{"id":"ac-6.9_gdn","name":"guidance","prose":"Misuse of privileged functions, either intentionally or unintentionally by\n authorized users, or by unauthorized external entities that have compromised\n information system accounts, is a serious and ongoing concern and can have\n significant adverse impacts on organizations. Auditing the use of privileged\n functions is one way to detect such misuse, and in doing so, help mitigate the\n risk from insider threats and the advanced persistent threat (APT).","links":[{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"ac-6.9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system audits the execution of privileged functions.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions to be audited\\n\\nlist of audited events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for reviewing least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms auditing the execution of least privilege functions"}]}]},{"id":"ac-6.10","class":"SP800-53-enhancement","title":"Prohibit Non-privileged Users from Executing Privileged Functions","properties":[{"name":"label","value":"AC-6(10)"},{"name":"sort-id","value":"ac-06.10"}],"parts":[{"id":"ac-6.10_smt","name":"statement","prose":"The information system prevents non-privileged users from executing privileged\n functions to include disabling, circumventing, or altering implemented security\n safeguards/countermeasures."},{"id":"ac-6.10_gdn","name":"guidance","prose":"Privileged functions include, for example, establishing information system\n accounts, performing system integrity checks, or administering cryptographic key\n management activities. Non-privileged users are individuals that do not possess\n appropriate authorizations. Circumventing intrusion detection and prevention\n mechanisms or malicious code protection mechanisms are examples of privileged\n functions that require protection from non-privileged users."},{"id":"ac-6.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system prevents non-privileged users from executing\n privileged functions to include:","parts":[{"id":"ac-6.10_obj.1","name":"objective","properties":[{"name":"label","value":"AC-6(10)[1]"}],"prose":"disabling implemented security safeguards/countermeasures;"},{"id":"ac-6.10_obj.2","name":"objective","properties":[{"name":"label","value":"AC-6(10)[2]"}],"prose":"circumventing security safeguards/countermeasures; or"},{"id":"ac-6.10_obj.3","name":"objective","properties":[{"name":"label","value":"AC-6(10)[3]"}],"prose":"altering implemented security safeguards/countermeasures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions and associated user account assignments\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions for non-privileged\n users"}]}]}]},{"id":"ac-7","class":"SP800-53","title":"Unsuccessful Logon Attempts","parameters":[{"id":"ac-7_prm_1","label":"organization-defined number","constraints":[{"detail":"not more than three (3)"}]},{"id":"ac-7_prm_2","label":"organization-defined time period","constraints":[{"detail":"fifteen (15) minutes"}]},{"id":"ac-7_prm_3"},{"id":"ac-7_prm_4","depends-on":"ac-7_prm_3","label":"organization-defined time period","constraints":[{"detail":"locks the account/node for a minimum of three (3) hours or until unlocked by an administrator"}]},{"id":"ac-7_prm_5","depends-on":"ac-7_prm_3","label":"organization-defined delay algorithm"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-7"},{"name":"sort-id","value":"ac-07"}],"parts":[{"id":"ac-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and"},{"id":"ac-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded."}]},{"id":"ac-7_gdn","name":"guidance","prose":"This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ia-5","rel":"related","text":"IA-5"}]},{"id":"ac-7_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-7.a_obj","name":"objective","properties":[{"name":"label","value":"AC-7(a)"}],"parts":[{"id":"ac-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(a)[1]"}],"prose":"the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;"},{"id":"ac-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(a)[2]"}],"prose":"the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;"},{"id":"ac-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(a)[3]"}],"prose":"the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;"}]},{"id":"ac-7.b_obj","name":"objective","properties":[{"name":"label","value":"AC-7(b)"}],"parts":[{"id":"ac-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(b)[1]"}],"prose":"the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;"},{"id":"ac-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(b)[2]"}],"prose":"the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:","parts":[{"id":"ac-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][a]"}],"prose":"locks the account/node for the organization-defined time period;"},{"id":"ac-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][b]"}],"prose":"locks the account/node until released by an administrator; or"},{"id":"ac-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][c]"}],"prose":"delays next logon prompt according to the organization-defined delay\n algorithm."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for unsuccessful logon\n attempts"}]}],"controls":[{"id":"ac-7.2","class":"SP800-53-enhancement","title":"Purge / Wipe Mobile Device","parameters":[{"id":"ac-7.2_prm_1","label":"organization-defined mobile devices","constraints":[{"detail":"mobile devices as defined by organization policy"}]},{"id":"ac-7.2_prm_2","label":"organization-defined purging/wiping requirements/techniques"},{"id":"ac-7.2_prm_3","label":"organization-defined number","constraints":[{"detail":"three (3)"}]}],"properties":[{"name":"label","value":"AC-7(2)"},{"name":"sort-id","value":"ac-07.02"}],"parts":[{"id":"ac-7.2_smt","name":"statement","prose":"The information system purges/wipes information from {{ ac-7.2_prm_1 }} based on {{ ac-7.2_prm_2 }} after\n {{ ac-7.2_prm_3 }} consecutive, unsuccessful device logon\n attempts."},{"id":"ac-7.2_gdn","name":"guidance","prose":"This control enhancement applies only to mobile devices for which a logon occurs\n (e.g., personal digital assistants, smart phones, tablets). The logon is to the\n mobile device, not to any one account on the device. Therefore, successful logons\n to any accounts on mobile devices reset the unsuccessful logon count to zero.\n Organizations define information to be purged/wiped carefully in order to avoid\n over purging/wiping which may result in devices becoming unusable. Purging/wiping\n may be unnecessary if the information on the device is protected with sufficiently\n strong encryption mechanisms.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-7.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-7.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(2)[1]"}],"prose":"the organization defines mobile devices to be purged/wiped after\n organization-defined number of consecutive, unsuccessful device logon\n attempts;"},{"id":"ac-7.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(2)[2]"}],"prose":"the organization defines purging/wiping requirements/techniques to be used when\n organization-defined mobile devices are purged/wiped after organization-defined\n number of consecutive, unsuccessful device logon attempts;"},{"id":"ac-7.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(2)[3]"}],"prose":"the organization defines the number of consecutive, unsuccessful logon attempts\n allowed for accessing mobile devices before the information system purges/wipes\n information from such devices; and"},{"id":"ac-7.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(2)[4]"}],"prose":"the information system purges/wipes information from organization-defined\n mobile devices based on organization-defined purging/wiping\n requirements/techniques after organization-defined number of consecutive,\n unsuccessful logon attempts."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing unsuccessful login attempts on mobile devices\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of mobile devices to be purged/wiped after organization-defined\n consecutive, unsuccessful device logon attempts\\n\\nlist of purging/wiping requirements or techniques for mobile devices\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for unsuccessful device\n logon attempts"}]}]}]},{"id":"ac-8","class":"SP800-53","title":"System Use Notification","parameters":[{"id":"ac-8_prm_1","label":"organization-defined system use notification message or banner","constraints":[{"detail":"see additional Requirements and Guidance"}]},{"id":"ac-8_prm_2","label":"organization-defined conditions","constraints":[{"detail":"see additional Requirements and Guidance"}]}],"properties":[{"name":"label","value":"AC-8"},{"name":"sort-id","value":"ac-08"}],"parts":[{"id":"ac-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:","parts":[{"id":"ac-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Users are accessing a U.S. Government information system;"},{"id":"ac-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Information system usage may be monitored, recorded, and subject to audit;"},{"id":"ac-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and"},{"id":"ac-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Use of the information system indicates consent to monitoring and\n recording;"}]},{"id":"ac-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and"},{"id":"ac-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"For publicly accessible systems:","parts":[{"id":"ac-8_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;"},{"id":"ac-8_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and"},{"id":"ac-8_smt.c.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Includes a description of the authorized uses of the system."}]},{"id":"ac-8_fr","name":"item","title":"AC-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO."},{"id":"ac-8_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided."},{"id":"ac-8_fr_smt.3","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO."}]}]},{"id":"ac-8_gdn","name":"guidance","prose":"System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content."},{"id":"ac-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-8.a_obj","name":"objective","properties":[{"name":"label","value":"AC-8(a)"}],"parts":[{"id":"ac-8.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(a)[1]"}],"prose":"the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;"},{"id":"ac-8.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(a)[2]"}],"prose":"the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:","parts":[{"id":"ac-8.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](1)"}],"prose":"users are accessing a U.S. Government information system;"},{"id":"ac-8.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](2)"}],"prose":"information system usage may be monitored, recorded, and subject to\n audit;"},{"id":"ac-8.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](3)"}],"prose":"unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;"},{"id":"ac-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](4)"}],"prose":"use of the information system indicates consent to monitoring and\n recording;"}]}]},{"id":"ac-8.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(b)"}],"prose":"the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;"},{"id":"ac-8.c_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)"}],"prose":"for publicly accessible systems:","parts":[{"id":"ac-8.c.1_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)(1)"}],"parts":[{"id":"ac-8.c.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(c)(1)[1]"}],"prose":"the organization defines conditions for system use to be displayed by the\n information system before granting further access;"},{"id":"ac-8.c.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(c)(1)[2]"}],"prose":"the information system displays organization-defined conditions before\n granting further access;"}]},{"id":"ac-8.c.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(c)(2)"}],"prose":"the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and"},{"id":"ac-8.c.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(c)(3)"}],"prose":"the information system includes a description of the authorized uses of the\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing system use notification"}]}]},{"id":"ac-10","class":"SP800-53","title":"Concurrent Session Control","parameters":[{"id":"ac-10_prm_1","label":"organization-defined account and/or account type"},{"id":"ac-10_prm_2","label":"organization-defined number","constraints":[{"detail":"three (3) sessions for privileged access and two (2) sessions for non-privileged access"}]}],"properties":[{"name":"label","value":"AC-10"},{"name":"sort-id","value":"ac-10"}],"parts":[{"id":"ac-10_smt","name":"statement","prose":"The information system limits the number of concurrent sessions for each {{ ac-10_prm_1 }} to {{ ac-10_prm_2 }}."},{"id":"ac-10_gdn","name":"guidance","prose":"Organizations may define the maximum number of concurrent sessions for information\n system accounts globally, by account type (e.g., privileged user, non-privileged\n user, domain, specific application), by account, or a combination. For example,\n organizations may limit the number of concurrent sessions for system administrators\n or individuals working in particularly sensitive domains or mission-critical\n applications. This control addresses concurrent sessions for information system\n accounts and does not address concurrent sessions by single users via multiple system\n accounts."},{"id":"ac-10_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-10[1]"}],"prose":"the organization defines account and/or account types for the information\n system;"},{"id":"ac-10_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-10[2]"}],"prose":"the organization defines the number of concurrent sessions to be allowed for each\n organization-defined account and/or account type; and"},{"id":"ac-10_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-10[3]"}],"prose":"the information system limits the number of concurrent sessions for each\n organization-defined account and/or account type to the organization-defined\n number of concurrent sessions allowed."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing concurrent session control\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for concurrent session\n control"}]}]},{"id":"ac-11","class":"SP800-53","title":"Session Lock","parameters":[{"id":"ac-11_prm_1","label":"organization-defined time period","constraints":[{"detail":"fifteen (15) minutes"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-11"},{"name":"sort-id","value":"ac-11"}],"links":[{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"}],"parts":[{"id":"ac-11_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Prevents further access to the system by initiating a session lock after {{ ac-11_prm_1 }} of inactivity or upon receiving a request from a user;\n and"},{"id":"ac-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains the session lock until the user reestablishes access using established\n identification and authentication procedures."}]},{"id":"ac-11_gdn","name":"guidance","prose":"Session locks are temporary actions taken when users stop work and move away from the\n immediate vicinity of information systems but do not want to log out because of the\n temporary nature of their absences. Session locks are implemented where session\n activities can be determined. This is typically at the operating system level, but\n can also be at the application level. Session locks are not an acceptable substitute\n for logging out of information systems, for example, if organizations require users\n to log out at the end of workdays.","links":[{"href":"#ac-7","rel":"related","text":"AC-7"}]},{"id":"ac-11_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-11.a_obj","name":"objective","properties":[{"name":"label","value":"AC-11(a)"}],"parts":[{"id":"ac-11.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-11(a)[1]"}],"prose":"the organization defines the time period of user inactivity after which the\n information system initiates a session lock;"},{"id":"ac-11.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-11(a)[2]"}],"prose":"the information system prevents further access to the system by initiating a\n session lock after organization-defined time period of user inactivity or upon\n receiving a request from a user; and"}]},{"id":"ac-11.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-11(b)"}],"prose":"the information system retains the session lock until the user reestablishes\n access using established identification and authentication procedures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session lock\\n\\nprocedures addressing identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for session lock"}]}],"controls":[{"id":"ac-11.1","class":"SP800-53-enhancement","title":"Pattern-hiding Displays","properties":[{"name":"label","value":"AC-11(1)"},{"name":"sort-id","value":"ac-11.01"}],"parts":[{"id":"ac-11.1_smt","name":"statement","prose":"The information system conceals, via the session lock, information previously\n visible on the display with a publicly viewable image."},{"id":"ac-11.1_gdn","name":"guidance","prose":"Publicly viewable images can include static or dynamic images, for example,\n patterns used with screen savers, photographic images, solid colors, clock,\n battery life indicator, or a blank screen, with the additional caveat that none of\n the images convey sensitive information."},{"id":"ac-11.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system conceals, via the session lock, information\n previously visible on the display with a publicly viewable image."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session lock\\n\\ndisplay screen with session lock activated\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system session lock mechanisms"}]}]}]},{"id":"ac-12","class":"SP800-53","title":"Session Termination","parameters":[{"id":"ac-12_prm_1","label":"organization-defined conditions or trigger events requiring session\n disconnect"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-12"},{"name":"sort-id","value":"ac-12"}],"parts":[{"id":"ac-12_smt","name":"statement","prose":"The information system automatically terminates a user session after {{ ac-12_prm_1 }}."},{"id":"ac-12_gdn","name":"guidance","prose":"This control addresses the termination of user-initiated logical sessions in contrast\n to SC-10 which addresses the termination of network connections that are associated\n with communications sessions (i.e., network disconnect). A logical session (for\n local, network, and remote access) is initiated whenever a user (or process acting on\n behalf of a user) accesses an organizational information system. Such user sessions\n can be terminated (and thus terminate user access) without terminating network\n sessions. Session termination terminates all processes associated with a user’s\n logical session except those processes that are specifically created by the user\n (i.e., session owner) to continue after the session is terminated. Conditions or\n trigger events requiring automatic session termination can include, for example,\n organization-defined periods of user inactivity, targeted responses to certain types\n of incidents, time-of-day restrictions on information system use.","links":[{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-23","rel":"related","text":"SC-23"}]},{"id":"ac-12_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-12_obj.1","name":"objective","properties":[{"name":"label","value":"AC-12[1]"}],"prose":"the organization defines conditions or trigger events requiring session\n disconnect; and"},{"id":"ac-12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-12[2]"}],"prose":"the information system automatically terminates a user session after\n organization-defined conditions or trigger events requiring session disconnect\n occurs."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session termination\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of conditions or trigger events requiring session disconnect\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing user session termination"}]}],"controls":[{"id":"ac-12.1","class":"SP800-53-enhancement","title":"User-initiated Logouts / Message Displays","parameters":[{"id":"ac-12.1_prm_1","label":"organization-defined information resources"}],"properties":[{"name":"label","value":"AC-12(1)"},{"name":"sort-id","value":"ac-12.01"}],"parts":[{"id":"ac-12.1_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-12.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Provides a logout capability for user-initiated communications sessions\n whenever authentication is used to gain access to {{ ac-12.1_prm_1 }}; and"},{"id":"ac-12.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Displays an explicit logout message to users indicating the reliable\n termination of authenticated communications sessions."},{"id":"ac-12.1_fr","name":"item","title":"AC-12 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-12.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29"}]}]},{"id":"ac-12.1_gdn","name":"guidance","prose":"Information resources to which users gain access via authentication include, for\n example, local workstations, databases, and password-protected websites/web-based\n services. Logout messages for web page access, for example, can be displayed after\n authenticated sessions have been terminated. However, for some types of\n interactive sessions including, for example, file transfer protocol (FTP)\n sessions, information systems typically send logout messages as final messages\n prior to terminating sessions."},{"id":"ac-12.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-12.1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-12(1)(a)"}],"parts":[{"id":"ac-12.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-12(1)(a)[1]"}],"prose":"the organization defines information resources for which user authentication\n is required to gain access to such resources;"},{"id":"ac-12.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-12(1)(a)[2]"}],"prose":"the information system provides a logout capability for user-initiated\n communications sessions whenever authentication is used to gain access to\n organization-defined information resources; and"}],"links":[{"href":"#ac-12.1_smt.a","rel":"corresp","text":"AC-12(1)(a)"}]},{"id":"ac-12.1.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-12(1)(b)"}],"prose":"the information system displays an explicit logout message to users indicating\n the reliable termination of authenticated communications sessions.","links":[{"href":"#ac-12.1_smt.b","rel":"corresp","text":"AC-12(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session termination\\n\\nuser logout messages\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system session lock mechanisms"}]}]}]},{"id":"ac-14","class":"SP800-53","title":"Permitted Actions Without Identification or Authentication","parameters":[{"id":"ac-14_prm_1","label":"organization-defined user actions"}],"properties":[{"name":"label","value":"AC-14"},{"name":"sort-id","value":"ac-14"}],"parts":[{"id":"ac-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"},{"id":"ac-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"id":"ac-14_gdn","name":"guidance","prose":"This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ia-2","rel":"related","text":"IA-2"}]},{"id":"ac-14_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-14.a_obj","name":"objective","properties":[{"name":"label","value":"AC-14(a)"}],"parts":[{"id":"ac-14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-14(a)[1]"}],"prose":"defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;"},{"id":"ac-14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-14(a)[2]"}],"prose":"identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"}]},{"id":"ac-14.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-14(b)"}],"prose":"documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-17","class":"SP800-53","title":"Remote Access","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-17"},{"name":"sort-id","value":"ac-17"}],"links":[{"href":"#5309d4d0-46f8-4213-a749-e7584164e5e8","rel":"reference","text":"NIST Special Publication 800-46"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#349fe082-502d-464a-aa0c-1443c6a5cf40","rel":"reference","text":"NIST Special Publication 800-113"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#d1a4e2a9-e512-4132-8795-5357aba29254","rel":"reference","text":"NIST Special Publication 800-121"}],"parts":[{"id":"ac-17_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and"},{"id":"ac-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes remote access to the information system prior to allowing such\n connections."}]},{"id":"ac-17_gdn","name":"guidance","prose":"Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#pe-17","rel":"related","text":"PE-17"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-17_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.a_obj","name":"objective","properties":[{"name":"label","value":"AC-17(a)"}],"parts":[{"id":"ac-17.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[1]"}],"prose":"identifies the types of remote access allowed to the information system;"},{"id":"ac-17.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[2]"}],"prose":"establishes for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][c]"}],"prose":"implementation guidance;"}]},{"id":"ac-17.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[3]"}],"prose":"documents for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.3.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][c]"}],"prose":"implementation guidance; and"}]}]},{"id":"ac-17.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(b)"}],"prose":"authorizes remote access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Remote access management capability for the information system"}]}],"controls":[{"id":"ac-17.1","class":"SP800-53-enhancement","title":"Automated Monitoring / Control","properties":[{"name":"label","value":"AC-17(1)"},{"name":"sort-id","value":"ac-17.01"}],"parts":[{"id":"ac-17.1_smt","name":"statement","prose":"The information system monitors and controls remote access methods."},{"id":"ac-17.1_gdn","name":"guidance","prose":"Automated monitoring and control of remote access sessions allows organizations to\n detect cyber attacks and also ensure ongoing compliance with remote access\n policies by auditing connection activities of remote users on a variety of\n information system components (e.g., servers, workstations, notebook computers,\n smart phones, and tablets).","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"ac-17.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system monitors and controls remote access methods.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system monitoring records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms monitoring and controlling remote access methods"}]}]},{"id":"ac-17.2","class":"SP800-53-enhancement","title":"Protection of Confidentiality / Integrity Using Encryption","properties":[{"name":"label","value":"AC-17(2)"},{"name":"sort-id","value":"ac-17.02"}],"parts":[{"id":"ac-17.2_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of remote access sessions."},{"id":"ac-17.2_gdn","name":"guidance","prose":"The encryption strength of mechanism is selected based on the security\n categorization of the information.","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-17.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements cryptographic mechanisms to protect\n the confidentiality and integrity of remote access sessions. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms protecting confidentiality and integrity of remote\n access sessions"}]}]},{"id":"ac-17.3","class":"SP800-53-enhancement","title":"Managed Access Control Points","parameters":[{"id":"ac-17.3_prm_1","label":"organization-defined number"}],"properties":[{"name":"label","value":"AC-17(3)"},{"name":"sort-id","value":"ac-17.03"}],"parts":[{"id":"ac-17.3_smt","name":"statement","prose":"The information system routes all remote accesses through {{ ac-17.3_prm_1 }} managed network access control points."},{"id":"ac-17.3_gdn","name":"guidance","prose":"Limiting the number of access control points for remote accesses reduces the\n attack surface for organizations. Organizations consider the Trusted Internet\n Connections (TIC) initiative requirements for external network connections.","links":[{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"ac-17.3_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-17.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(3)[1]"}],"prose":"the organization defines the number of managed network access control points\n through which all remote accesses are to be routed; and"},{"id":"ac-17.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(3)[2]"}],"prose":"the information system routes all remote accesses through the\n organization-defined number of managed network access control points."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\nlist of all managed network access control points\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms routing all remote accesses through managed network access\n control points"}]}]},{"id":"ac-17.4","class":"SP800-53-enhancement","title":"Privileged Commands / Access","parameters":[{"id":"ac-17.4_prm_1","label":"organization-defined needs"}],"properties":[{"name":"label","value":"AC-17(4)"},{"name":"sort-id","value":"ac-17.04"}],"parts":[{"id":"ac-17.4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-17.4_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Authorizes the execution of privileged commands and access to security-relevant\n information via remote access only for {{ ac-17.4_prm_1 }};\n and"},{"id":"ac-17.4_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Documents the rationale for such access in the security plan for the\n information system."}]},{"id":"ac-17.4_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ac-17.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.4.a_obj","name":"objective","properties":[{"name":"label","value":"AC-17(4)(a)"}],"parts":[{"id":"ac-17.4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(4)(a)[1]"}],"prose":"defines needs to authorize the execution of privileged commands and access\n to security-relevant information via remote access;"},{"id":"ac-17.4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(4)(a)[2]"}],"prose":"authorizes the execution of privileged commands and access to\n security-relevant information via remote access only for\n organization-defined needs; and"}],"links":[{"href":"#ac-17.4_smt.a","rel":"corresp","text":"AC-17(4)(a)"}]},{"id":"ac-17.4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(4)(b)"}],"prose":"documents the rationale for such access in the information system security\n plan.","links":[{"href":"#ac-17.4_smt.b","rel":"corresp","text":"AC-17(4)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing remote access management"}]}]},{"id":"ac-17.9","class":"SP800-53-enhancement","title":"Disconnect / Disable Access","parameters":[{"id":"ac-17.9_prm_1","label":"organization-defined time period","constraints":[{"detail":"fifteen (15) minutes"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-17(9)"},{"name":"sort-id","value":"ac-17.09"}],"parts":[{"id":"ac-17.9_smt","name":"statement","prose":"The organization provides the capability to expeditiously disconnect or disable\n remote access to the information system within {{ ac-17.9_prm_1 }}."},{"id":"ac-17.9_gdn","name":"guidance","prose":"This control enhancement requires organizations to have the capability to rapidly\n disconnect current users remotely accessing the information system and/or disable\n further remote access. The speed of disconnect or disablement varies based on the\n criticality of missions/business functions and the need to eliminate immediate or\n future remote access to organizational information systems."},{"id":"ac-17.9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.9_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(9)[1]"}],"prose":"defines the time period within which to expeditiously disconnect or disable\n remote access to the information system; and"},{"id":"ac-17.9_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(9)[2]"}],"prose":"provides the capability to expeditiously disconnect or disable remote access to\n the information system within the organization-defined time period."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing disconnecting or disabling remote access to the\n information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan, information system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing capability to disconnect or disable remote\n access to information system"}]}]}]},{"id":"ac-18","class":"SP800-53","title":"Wireless Access","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-18"},{"name":"sort-id","value":"ac-18"}],"links":[{"href":"#238ed479-eccb-49f6-82ec-ab74a7a428cf","rel":"reference","text":"NIST Special Publication 800-48"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#6f336ecd-f2a0-4c84-9699-0491d81b6e0d","rel":"reference","text":"NIST Special Publication 800-97"}],"parts":[{"id":"ac-18_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-18_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and"},{"id":"ac-18_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes wireless access to the information system prior to allowing such\n connections."}]},{"id":"ac-18_gdn","name":"guidance","prose":"Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-18.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-18(a)"}],"prose":"establishes for wireless access:","parts":[{"id":"ac-18.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-18(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-18.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-18(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-18.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-18(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-18.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-18(b)"}],"prose":"authorizes wireless access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Wireless access management capability for the information system"}]}],"controls":[{"id":"ac-18.1","class":"SP800-53-enhancement","title":"Authentication and Encryption","parameters":[{"id":"ac-18.1_prm_1"}],"properties":[{"name":"label","value":"AC-18(1)"},{"name":"sort-id","value":"ac-18.01"}],"parts":[{"id":"ac-18.1_smt","name":"statement","prose":"The information system protects wireless access to the system using authentication\n of {{ ac-18.1_prm_1 }} and encryption."},{"id":"ac-18.1_gdn","name":"guidance","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-18.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system protects wireless access to the system using\n encryption and one or more of the following:","parts":[{"id":"ac-18.1_obj.1","name":"objective","properties":[{"name":"label","value":"AC-18(1)[1]"}],"prose":"authentication of users; and/or"},{"id":"ac-18.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-18(1)[2]"}],"prose":"authentication of devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing wireless access protections to the\n information system"}]}]},{"id":"ac-18.3","class":"SP800-53-enhancement","title":"Disable Wireless Networking","properties":[{"name":"label","value":"AC-18(3)"},{"name":"sort-id","value":"ac-18.03"}],"parts":[{"id":"ac-18.3_smt","name":"statement","prose":"The organization disables, when not intended for use, wireless networking\n capabilities internally embedded within information system components prior to\n issuance and deployment."},{"id":"ac-18.3_gdn","name":"guidance","links":[{"href":"#ac-19","rel":"related","text":"AC-19"}]},{"id":"ac-18.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization disables, when not intended for use, wireless\n networking capabilities internally embedded within information system components\n prior to issuance and deployment."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing the disabling of wireless networking capabilities\n internally embedded within information system components"}]}]},{"id":"ac-18.4","class":"SP800-53-enhancement","title":"Restrict Configurations by Users","properties":[{"name":"label","value":"AC-18(4)"},{"name":"sort-id","value":"ac-18.04"}],"parts":[{"id":"ac-18.4_smt","name":"statement","prose":"The organization identifies and explicitly authorizes users allowed to\n independently configure wireless networking capabilities."},{"id":"ac-18.4_gdn","name":"guidance","prose":"Organizational authorizations to allow selected users to configure wireless\n networking capability are enforced in part, by the access enforcement mechanisms\n employed within organizational information systems.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#sc-15","rel":"related","text":"SC-15"}]},{"id":"ac-18.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-18.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-18(4)[1]"}],"prose":"identifies users allowed to independently configure wireless networking\n capabilities; and"},{"id":"ac-18.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-18(4)[2]"}],"prose":"explicitly authorizes the identified users allowed to independently configure\n wireless networking capabilities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms authorizing independent user configuration of wireless\n networking capabilities"}]}]},{"id":"ac-18.5","class":"SP800-53-enhancement","title":"Antennas / Transmission Power Levels","properties":[{"name":"label","value":"AC-18(5)"},{"name":"sort-id","value":"ac-18.05"}],"parts":[{"id":"ac-18.5_smt","name":"statement","prose":"The organization selects radio antennas and calibrates transmission power levels\n to reduce the probability that usable signals can be received outside of\n organization-controlled boundaries."},{"id":"ac-18.5_gdn","name":"guidance","prose":"Actions that may be taken by organizations to limit unauthorized use of wireless\n communications outside of organization-controlled boundaries include, for example:\n (i) reducing the power of wireless transmissions so that the transmissions are\n less likely to emit a signal that can be used by adversaries outside of the\n physical perimeters of organizations; (ii) employing measures such as TEMPEST to\n control wireless emanations; and (iii) using directional/beam forming antennas\n that reduce the likelihood that unintended receivers will be able to intercept\n signals. Prior to taking such actions, organizations can conduct periodic wireless\n surveys to understand the radio frequency profile of organizational information\n systems as well as other systems that may be operating in the area.","links":[{"href":"#pe-19","rel":"related","text":"PE-19"}]},{"id":"ac-18.5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-18.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-18(5)[1]"}],"prose":"selects radio antennas to reduce the probability that usable signals can be\n received outside of organization-controlled boundaries; and"},{"id":"ac-18.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-18(5)[2]"}],"prose":"calibrates transmission power levels to reduce the probability that usable\n signals can be received outside of organization-controlled boundaries."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Wireless access capability protecting usable signals from unauthorized access\n outside organization-controlled boundaries"}]}]}]},{"id":"ac-19","class":"SP800-53","title":"Access Control for Mobile Devices","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-19"},{"name":"sort-id","value":"ac-19"}],"links":[{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589","rel":"reference","text":"NIST Special Publication 800-124"},{"href":"#6513e480-fada-4876-abba-1397084dfb26","rel":"reference","text":"NIST Special Publication 800-164"}],"parts":[{"id":"ac-19_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-19_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and"},{"id":"ac-19_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes the connection of mobile devices to organizational information\n systems."}]},{"id":"ac-19_gdn","name":"guidance","prose":"A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-9","rel":"related","text":"CA-9"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-43","rel":"related","text":"SC-43"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-19.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-19(a)"}],"prose":"establishes for organization-controlled mobile devices:","parts":[{"id":"ac-19.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-19(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-19.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-19(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-19.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-19(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-19.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-19(b)"}],"prose":"authorizes the connection of mobile devices to organizational information\n systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Access control capability authorizing mobile device connections to organizational\n information systems"}]}],"controls":[{"id":"ac-19.5","class":"SP800-53-enhancement","title":"Full Device / Container-based Encryption","parameters":[{"id":"ac-19.5_prm_1"},{"id":"ac-19.5_prm_2","label":"organization-defined mobile devices"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-19(5)"},{"name":"sort-id","value":"ac-19.05"}],"parts":[{"id":"ac-19.5_smt","name":"statement","prose":"The organization employs {{ ac-19.5_prm_1 }} to protect the\n confidentiality and integrity of information on {{ ac-19.5_prm_2 }}."},{"id":"ac-19.5_gdn","name":"guidance","prose":"Container-based encryption provides a more fine-grained approach to the encryption\n of data/information on mobile devices, including for example, encrypting selected\n data structures such as files, records, or fields.","links":[{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"ac-19.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-19.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-19(5)[1]"}],"prose":"defines mobile devices for which full-device encryption or container encryption\n is required to protect the confidentiality and integrity of information on such\n devices; and"},{"id":"ac-19.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-19(5)[2]"}],"prose":"employs full-device encryption or container encryption to protect the\n confidentiality and integrity of information on organization-defined mobile\n devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access control for mobile devices\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nencryption mechanism s and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities for mobile\n devices\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Encryption mechanisms protecting confidentiality and integrity of information\n on mobile devices"}]}]}]},{"id":"ac-20","class":"SP800-53","title":"Use of External Information Systems","properties":[{"name":"label","value":"AC-20"},{"name":"sort-id","value":"ac-20"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"}],"parts":[{"id":"ac-20_smt","name":"statement","prose":"The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:","parts":[{"id":"ac-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Access the information system from external information systems; and"},{"id":"ac-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Process, store, or transmit organization-controlled information using external\n information systems."}]},{"id":"ac-20_gdn","name":"guidance","prose":"External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ac-20_obj","name":"objective","prose":"Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ","parts":[{"id":"ac-20.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-20(a)"}],"prose":"access the information system from the external information systems; and"},{"id":"ac-20.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-20(b)"}],"prose":"process, store, or transmit organization-controlled information using external\n information systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing terms and conditions on use of external\n information systems"}]}],"controls":[{"id":"ac-20.1","class":"SP800-53-enhancement","title":"Limits On Authorized Use","properties":[{"name":"label","value":"AC-20(1)"},{"name":"sort-id","value":"ac-20.01"}],"parts":[{"id":"ac-20.1_smt","name":"statement","prose":"The organization permits authorized individuals to use an external information\n system to access the information system or to process, store, or transmit\n organization-controlled information only when the organization:","parts":[{"id":"ac-20.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or"},{"id":"ac-20.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system."}]},{"id":"ac-20.1_gdn","name":"guidance","prose":"This control enhancement recognizes that there are circumstances where individuals\n using external information systems (e.g., contractors, coalition partners) need to\n access organizational information systems. In those situations, organizations need\n confidence that the external information systems contain the necessary security\n safeguards (i.e., security controls), so as not to compromise, damage, or\n otherwise harm organizational information systems. Verification that the required\n security controls have been implemented can be achieved, for example, by\n third-party, independent assessments, attestations, or other means, depending on\n the confidence level required by organizations.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"}]},{"id":"ac-20.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization permits authorized individuals to use an external\n information system to access the information system or to process, store, or\n transmit organization-controlled information only when the organization: ","parts":[{"id":"ac-20.1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-20(1)(a)"}],"prose":"verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or","links":[{"href":"#ac-20.1_smt.a","rel":"corresp","text":"AC-20(1)(a)"}]},{"id":"ac-20.1.b_obj","name":"objective","properties":[{"name":"label","value":"AC-20(1)(b)"}],"prose":"retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system.","links":[{"href":"#ac-20.1_smt.b","rel":"corresp","text":"AC-20(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing limits on use of external information\n systems"}]}]},{"id":"ac-20.2","class":"SP800-53-enhancement","title":"Portable Storage Devices","parameters":[{"id":"ac-20.2_prm_1"}],"properties":[{"name":"label","value":"AC-20(2)"},{"name":"sort-id","value":"ac-20.02"}],"parts":[{"id":"ac-20.2_smt","name":"statement","prose":"The organization {{ ac-20.2_prm_1 }} the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems."},{"id":"ac-20.2_gdn","name":"guidance","prose":"Limits on the use of organization-controlled portable storage devices in external\n information systems include, for example, complete prohibition of the use of such\n devices or restrictions on how the devices may be used and under what conditions\n the devices may be used."},{"id":"ac-20.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization restricts or prohibits the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for restricting or prohibiting\n use of organization-controlled storage devices on external information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing restrictions on use of portable storage\n devices"}]}]}]},{"id":"ac-21","class":"SP800-53","title":"Information Sharing","parameters":[{"id":"ac-21_prm_1","label":"organization-defined information sharing circumstances where user discretion is\n required"},{"id":"ac-21_prm_2","label":"organization-defined automated mechanisms or manual processes"}],"properties":[{"name":"label","value":"AC-21"},{"name":"sort-id","value":"ac-21"}],"parts":[{"id":"ac-21_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-21_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Facilitates information sharing by enabling authorized users to determine whether\n access authorizations assigned to the sharing partner match the access\n restrictions on the information for {{ ac-21_prm_1 }}; and"},{"id":"ac-21_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs {{ ac-21_prm_2 }} to assist users in making information\n sharing/collaboration decisions."}]},{"id":"ac-21_gdn","name":"guidance","prose":"This control applies to information that may be restricted in some manner (e.g.,\n privileged medical information, contract-sensitive information, proprietary\n information, personally identifiable information, classified information related to\n special access programs or compartments) based on some formal or administrative\n determination. Depending on the particular information-sharing circumstances, sharing\n partners may be defined at the individual, group, or organizational level.\n Information may be defined by content, type, security category, or special access\n program/compartment.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"}]},{"id":"ac-21_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-21.a_obj","name":"objective","properties":[{"name":"label","value":"AC-21(a)"}],"parts":[{"id":"ac-21.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-21(a)[1]"}],"prose":"defines information sharing circumstances where user discretion is\n required;"},{"id":"ac-21.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-21(a)[2]"}],"prose":"facilitates information sharing by enabling authorized users to determine\n whether access authorizations assigned to the sharing partner match the access\n restrictions on the information for organization-defined information sharing\n circumstances;"}]},{"id":"ac-21.b_obj","name":"objective","properties":[{"name":"label","value":"AC-21(b)"}],"parts":[{"id":"ac-21.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-21(b)[1]"}],"prose":"defines automated mechanisms or manual processes to be employed to assist users\n in making information sharing/collaboration decisions; and"},{"id":"ac-21.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-21(b)[2]"}],"prose":"employs organization-defined automated mechanisms or manual processes to assist\n users in making information sharing/collaboration decisions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing user-based collaboration and information sharing (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of users authorized to make information sharing/collaboration decisions\\n\\nlist of information sharing circumstances requiring user discretion\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel responsible for making information sharing/collaboration\n decisions\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms or manual process implementing access authorizations\n supporting information sharing/user collaboration decisions"}]}]},{"id":"ac-22","class":"SP800-53","title":"Publicly Accessible Content","parameters":[{"id":"ac-22_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-22"},{"name":"sort-id","value":"ac-22"}],"parts":[{"id":"ac-22_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-22_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and"},{"id":"ac-22_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered."}]},{"id":"ac-22_gdn","name":"guidance","prose":"In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-13","rel":"related","text":"AU-13"}]},{"id":"ac-22_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-22.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-22(a)"}],"prose":"designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(b)"}],"prose":"trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(c)"}],"prose":"reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;"},{"id":"ac-22.d_obj","name":"objective","properties":[{"name":"label","value":"AC-22(d)"}],"parts":[{"id":"ac-22.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-22(d)[1]"}],"prose":"defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;"},{"id":"ac-22.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(d)[2]"}],"prose":"reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and"},{"id":"ac-22.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(d)[3]"}],"prose":"removes nonpublic information from the publicly accessible information system,\n if discovered."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing management of publicly accessible content"}]}]}]},{"id":"at","class":"family","title":"Awareness and Training","controls":[{"id":"at-1","class":"SP800-53","title":"Security Awareness and Training Policy and Procedures","parameters":[{"id":"at-1_prm_1","label":"organization-defined personnel or roles"},{"id":"at-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]},{"id":"at-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-1"},{"name":"sort-id","value":"at-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"at-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ at-1_prm_1 }}:","parts":[{"id":"at-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"at-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and"}]},{"id":"at-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"at-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security awareness and training policy {{ at-1_prm_2 }}; and"},{"id":"at-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security awareness and training procedures {{ at-1_prm_3 }}."}]}]},{"id":"at-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"at-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-1.a_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)"}],"parts":[{"id":"at-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)"}],"parts":[{"id":"at-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(1)[1]"}],"prose":"develops and documents an security awareness and training policy that\n addresses:","parts":[{"id":"at-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"at-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"at-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"at-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"at-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"at-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"at-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"at-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;"},{"id":"at-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-1(a)(1)[3]"}],"prose":"disseminates the security awareness and training policy to\n organization-defined personnel or roles;"}]},{"id":"at-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)"}],"parts":[{"id":"at-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;"},{"id":"at-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"at-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"at-1.b_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)"}],"parts":[{"id":"at-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(1)"}],"parts":[{"id":"at-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training policy;"},{"id":"at-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(1)[2]"}],"prose":"reviews and updates the current security awareness and training policy with\n the organization-defined frequency;"}]},{"id":"at-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(2)"}],"parts":[{"id":"at-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training procedures; and"},{"id":"at-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(2)[2]"}],"prose":"reviews and updates the current security awareness and training procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"at-2","class":"SP800-53","title":"Security Awareness Training","parameters":[{"id":"at-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-2"},{"name":"sort-id","value":"at-02"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-2_smt","name":"statement","prose":"The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):","parts":[{"id":"at-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"As part of initial training for new users;"},{"id":"at-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-2_prm_1 }} thereafter."}]},{"id":"at-2_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"at-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-2(a)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;"},{"id":"at-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-2(b)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and"},{"id":"at-2.c_obj","name":"objective","properties":[{"name":"label","value":"AT-2(c)"}],"parts":[{"id":"at-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-2(c)[1]"}],"prose":"defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and"},{"id":"at-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-2(c)[2]"}],"prose":"provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing security awareness training"}]}],"controls":[{"id":"at-2.2","class":"SP800-53-enhancement","title":"Insider Threat","properties":[{"name":"label","value":"AT-2(2)"},{"name":"sort-id","value":"at-02.02"}],"parts":[{"id":"at-2.2_smt","name":"statement","prose":"The organization includes security awareness training on recognizing and reporting\n potential indicators of insider threat."},{"id":"at-2.2_gdn","name":"guidance","prose":"Potential indicators and possible precursors of insider threat can include\n behaviors such as inordinate, long-term job dissatisfaction, attempts to gain\n access to information not required for job performance, unexplained access to\n financial resources, bullying or sexual harassment of fellow employees, workplace\n violence, and other serious violations of organizational policies, procedures,\n directives, rules, or practices. Security awareness training includes how to\n communicate employee and management concerns regarding potential indicators of\n insider threat through appropriate organizational channels in accordance with\n established organizational policies and procedures.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#pm-12","rel":"related","text":"PM-12"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"at-2.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization includes security awareness training on recognizing\n and reporting potential indicators of insider threat. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel that participate in security awareness training\\n\\norganizational personnel with responsibilities for basic security awareness\n training\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"at-3","class":"SP800-53","title":"Role-based Security Training","parameters":[{"id":"at-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-3"},{"name":"sort-id","value":"at-03"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-3_smt","name":"statement","prose":"The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:","parts":[{"id":"at-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Before authorizing access to the information system or performing assigned\n duties;"},{"id":"at-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-3_prm_1 }} thereafter."}]},{"id":"at-3_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-16","rel":"related","text":"SA-16"}]},{"id":"at-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(a)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;"},{"id":"at-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(b)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and"},{"id":"at-3.c_obj","name":"objective","properties":[{"name":"label","value":"AT-3(c)"}],"parts":[{"id":"at-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-3(c)[1]"}],"prose":"defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and"},{"id":"at-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-3(c)[2]"}],"prose":"provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing role-based security training"}]}],"controls":[{"id":"at-3.3","class":"SP800-53-enhancement","title":"Practical Exercises","properties":[{"name":"label","value":"AT-3(3)"},{"name":"sort-id","value":"at-03.03"}],"parts":[{"id":"at-3.3_smt","name":"statement","prose":"The organization includes practical exercises in security training that reinforce\n training objectives."},{"id":"at-3.3_gdn","name":"guidance","prose":"Practical exercises may include, for example, security training for software\n developers that includes simulated cyber attacks exploiting common software\n vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted\n at senior leaders/executives. These types of practical exercises help developers\n better understand the effects of such vulnerabilities and appreciate the need for\n security coding standards and processes."},{"id":"at-3.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization includes practical exercises in security training\n that reinforce training objectives. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel that participate in security awareness training"}]}]},{"id":"at-3.4","class":"SP800-53-enhancement","title":"Suspicious Communications and Anomalous System Behavior","parameters":[{"id":"at-3.4_prm_1","label":"organization-defined indicators of malicious code","constraints":[{"detail":"malicious code indicators as defined by organization incident policy/capability."}]}],"properties":[{"name":"label","value":"AT-3(4)"},{"name":"sort-id","value":"at-03.04"}],"parts":[{"id":"at-3.4_smt","name":"statement","prose":"The organization provides training to its personnel on {{ at-3.4_prm_1 }} to recognize suspicious communications and anomalous\n behavior in organizational information systems."},{"id":"at-3.4_gdn","name":"guidance","prose":"A well-trained workforce provides another organizational safeguard that can be\n employed as part of a defense-in-depth strategy to protect organizations against\n malicious code coming in to organizations via email or the web applications.\n Personnel are trained to look for indications of potentially suspicious email\n (e.g., receiving an unexpected email, receiving an email containing strange or\n poor grammar, or receiving an email from an unfamiliar sender but who appears to\n be from a known sponsor or contractor). Personnel are also trained on how to\n respond to such suspicious email or web communications (e.g., not opening\n attachments, not clicking on embedded web links, and checking the source of email\n addresses). For this process to work effectively, all organizational personnel are\n trained and made aware of what constitutes suspicious communications. Training\n personnel on how to recognize anomalous behaviors in organizational information\n systems can potentially provide early warning for the presence of malicious code.\n Recognition of such anomalous behavior by organizational personnel can supplement\n automated malicious code detection and protection tools and systems employed by\n organizations."},{"id":"at-3.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-3.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-3(4)[1]"}],"prose":"defines indicators of malicious code; and"},{"id":"at-3.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(4)[2]"}],"prose":"provides training to its personnel on organization-defined indicators of\n malicious code to recognize suspicious communications and anomalous behavior in\n organizational information systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel that participate in security awareness training"}]}]}]},{"id":"at-4","class":"SP800-53","title":"Security Training Records","parameters":[{"id":"at-4_prm_1","label":"organization-defined time period","constraints":[{"detail":"five (5) years or 5 years after completion of a specific training program"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-4"},{"name":"sort-id","value":"at-04"}],"parts":[{"id":"at-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and"},{"id":"at-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains individual training records for {{ at-4_prm_1 }}."}]},{"id":"at-4_gdn","name":"guidance","prose":"Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-14","rel":"related","text":"PM-14"}]},{"id":"at-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-4.a_obj","name":"objective","properties":[{"name":"label","value":"AT-4(a)"}],"parts":[{"id":"at-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-4(a)[1]"}],"prose":"documents individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][b]"}],"prose":"specific role-based information system security training;"}]},{"id":"at-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-4(a)[2]"}],"prose":"monitors individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][b]"}],"prose":"specific role-based information system security training;"}]}]},{"id":"at-4.b_obj","name":"objective","properties":[{"name":"label","value":"AT-4(b)"}],"parts":[{"id":"at-4.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-4(b)[1]"}],"prose":"defines a time period to retain individual training records; and"},{"id":"at-4.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-4(b)[2]"}],"prose":"retains individual training records for the organization-defined time\n period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security training record retention\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting management of security training records"}]}]}]},{"id":"au","class":"family","title":"Audit and Accountability","controls":[{"id":"au-1","class":"SP800-53","title":"Audit and Accountability Policy and Procedures","parameters":[{"id":"au-1_prm_1","label":"organization-defined personnel or roles"},{"id":"au-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"au-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-1"},{"name":"sort-id","value":"au-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"au-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ au-1_prm_1 }}:","parts":[{"id":"au-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"au-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and"}]},{"id":"au-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"au-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Audit and accountability policy {{ au-1_prm_2 }}; and"},{"id":"au-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Audit and accountability procedures {{ au-1_prm_3 }}."}]}]},{"id":"au-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"au-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-1.a_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)"}],"parts":[{"id":"au-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)"}],"parts":[{"id":"au-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(1)[1]"}],"prose":"develops and documents an audit and accountability policy that\n addresses:","parts":[{"id":"au-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"au-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"au-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"au-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"au-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"au-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"au-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"au-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;"},{"id":"au-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-1(a)(1)[3]"}],"prose":"disseminates the audit and accountability policy to organization-defined\n personnel or roles;"}]},{"id":"au-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)"}],"parts":[{"id":"au-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;"},{"id":"au-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"au-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"au-1.b_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)"}],"parts":[{"id":"au-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(1)"}],"parts":[{"id":"au-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability policy;"},{"id":"au-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(1)[2]"}],"prose":"reviews and updates the current audit and accountability policy with the\n organization-defined frequency;"}]},{"id":"au-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(2)"}],"parts":[{"id":"au-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability procedures; and"},{"id":"au-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(2)[2]"}],"prose":"reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"au-2","class":"SP800-53","title":"Audit Events","parameters":[{"id":"au-2_prm_1","label":"organization-defined auditable events","constraints":[{"detail":"successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes"}]},{"id":"au-2_prm_2","label":"organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event","constraints":[{"detail":"organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-2"},{"name":"sort-id","value":"au-02"}],"links":[{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"au-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};"},{"id":"au-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and"},{"id":"au-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}."},{"id":"au-2_fr","name":"item","title":"AU-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-2_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO."}]}]},{"id":"au-2_gdn","name":"guidance","prose":"An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-2.a_obj","name":"objective","properties":[{"name":"label","value":"AU-2(a)"}],"parts":[{"id":"au-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(a)[1]"}],"prose":"defines the auditable events that the information system must be capable of\n auditing;"},{"id":"au-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-2(a)[2]"}],"prose":"determines that the information system is capable of auditing\n organization-defined auditable events;"}]},{"id":"au-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(b)"}],"prose":"coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(c)"}],"prose":"provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;"},{"id":"au-2.d_obj","name":"objective","properties":[{"name":"label","value":"AU-2(d)"}],"parts":[{"id":"au-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(d)[1]"}],"prose":"defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;"},{"id":"au-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(d)[2]"}],"prose":"determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and"},{"id":"au-2.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(d)[3]"}],"prose":"determines the frequency of (or situation requiring) auditing for each\n identified event."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing"}]}],"controls":[{"id":"au-2.3","class":"SP800-53-enhancement","title":"Reviews and Updates","parameters":[{"id":"au-2.3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"annually or whenever there is a change in the threat environment"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-2(3)"},{"name":"sort-id","value":"au-02.03"}],"parts":[{"id":"au-2.3_smt","name":"statement","prose":"The organization reviews and updates the audited events {{ au-2.3_prm_1 }}.","parts":[{"id":"au-2.3_fr","name":"item","title":"AU-2 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-2.3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO."}]}]},{"id":"au-2.3_gdn","name":"guidance","prose":"Over time, the events that organizations believe should be audited may change.\n Reviewing and updating the set of audited events periodically is necessary to\n ensure that the current set is still necessary and sufficient."},{"id":"au-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(3)[1]"}],"prose":"defines the frequency to review and update the audited events; and"},{"id":"au-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-2(3)[2]"}],"prose":"reviews and updates the auditable events with organization-defined\n frequency."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\nlist of organization-defined auditable events\\n\\nauditable events review and update records\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting review and update of auditable events"}]}]}]},{"id":"au-3","class":"SP800-53","title":"Content of Audit Records","properties":[{"name":"label","value":"AU-3"},{"name":"sort-id","value":"au-03"}],"parts":[{"id":"au-3_smt","name":"statement","prose":"The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event."},{"id":"au-3_gdn","name":"guidance","prose":"Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-8","rel":"related","text":"AU-8"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"au-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system generates audit records containing information\n that establishes: ","parts":[{"id":"au-3_obj.1","name":"objective","properties":[{"name":"label","value":"AU-3[1]"}],"prose":"what type of event occurred;"},{"id":"au-3_obj.2","name":"objective","properties":[{"name":"label","value":"AU-3[2]"}],"prose":"when the event occurred;"},{"id":"au-3_obj.3","name":"objective","properties":[{"name":"label","value":"AU-3[3]"}],"prose":"where the event occurred;"},{"id":"au-3_obj.4","name":"objective","properties":[{"name":"label","value":"AU-3[4]"}],"prose":"the source of the event;"},{"id":"au-3_obj.5","name":"objective","properties":[{"name":"label","value":"AU-3[5]"}],"prose":"the outcome of the event; and"},{"id":"au-3_obj.6","name":"objective","properties":[{"name":"label","value":"AU-3[6]"}],"prose":"the identity of any individuals or subjects associated with the event."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing of auditable\n events"}]}],"controls":[{"id":"au-3.1","class":"SP800-53-enhancement","title":"Additional Audit Information","parameters":[{"id":"au-3.1_prm_1","label":"organization-defined additional, more detailed information","constraints":[{"detail":"session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands"}]}],"properties":[{"name":"label","value":"AU-3(1)"},{"name":"sort-id","value":"au-03.01"}],"parts":[{"id":"au-3.1_smt","name":"statement","prose":"The information system generates audit records containing the following additional\n information: {{ au-3.1_prm_1 }}.","parts":[{"id":"au-3.1_fr","name":"item","title":"AU-3 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-3.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO."},{"id":"au-3.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry."}]}]},{"id":"au-3.1_gdn","name":"guidance","prose":"Detailed information that organizations may consider in audit records includes,\n for example, full text recording of privileged commands or the individual\n identities of group account users. Organizations consider limiting the additional\n audit information to only that information explicitly needed for specific audit\n requirements. This facilitates the use of audit trails and audit logs by not\n including information that could potentially be misleading or could make it more\n difficult to locate information of interest."},{"id":"au-3.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-3.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-3(1)[1]"}],"prose":"the organization defines additional, more detailed information to be contained\n in audit records that the information system generates; and"},{"id":"au-3.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-3(1)[2]"}],"prose":"the information system generates audit records containing the\n organization-defined additional, more detailed information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system audit capability"}]}]},{"id":"au-3.2","class":"SP800-53-enhancement","title":"Centralized Management of Planned Audit Record Content","parameters":[{"id":"au-3.2_prm_1","label":"organization-defined information system components","constraints":[{"detail":"all network, data storage, and computing devices"}]}],"properties":[{"name":"label","value":"AU-3(2)"},{"name":"sort-id","value":"au-03.02"}],"parts":[{"id":"au-3.2_smt","name":"statement","prose":"The information system provides centralized management and configuration of the\n content to be captured in audit records generated by {{ au-3.2_prm_1 }}."},{"id":"au-3.2_gdn","name":"guidance","prose":"This control enhancement requires that the content to be captured in audit records\n be configured from a central location (necessitating automation). Organizations\n coordinate the selection of required audit content to support the centralized\n management and configuration capability provided by the information system.","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"}]},{"id":"au-3.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-3.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-3(2)[1]"}],"prose":"the organization defines information system components that generate audit\n records whose content is to be centrally managed and configured by the\n information system; and"},{"id":"au-3.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-3(2)[2]"}],"prose":"the information system provides centralized management and configuration of the\n content to be captured in audit records generated by the organization-defined\n information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system capability implementing centralized management and\n configuration of audit record content"}]}]}]},{"id":"au-4","class":"SP800-53","title":"Audit Storage Capacity","parameters":[{"id":"au-4_prm_1","label":"organization-defined audit record storage requirements"}],"properties":[{"name":"label","value":"AU-4"},{"name":"sort-id","value":"au-04"}],"parts":[{"id":"au-4_smt","name":"statement","prose":"The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}."},{"id":"au-4_gdn","name":"guidance","prose":"Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-11","rel":"related","text":"AU-11"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-4_obj.1","name":"objective","properties":[{"name":"label","value":"AU-4[1]"}],"prose":"defines audit record storage requirements; and"},{"id":"au-4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-4[2]"}],"prose":"allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit record storage capacity and related configuration settings"}]}]},{"id":"au-5","class":"SP800-53","title":"Response to Audit Processing Failures","parameters":[{"id":"au-5_prm_1","label":"organization-defined personnel or roles"},{"id":"au-5_prm_2","label":"organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)","constraints":[{"detail":"organization-defined actions to be taken (overwrite oldest record)"}]}],"properties":[{"name":"label","value":"AU-5"},{"name":"sort-id","value":"au-05"}],"parts":[{"id":"au-5_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and"},{"id":"au-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Takes the following additional actions: {{ au-5_prm_2 }}."}]},{"id":"au-5_gdn","name":"guidance","prose":"Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"au-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-5.a_obj","name":"objective","properties":[{"name":"label","value":"AU-5(a)"}],"parts":[{"id":"au-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(a)[1]"}],"prose":"the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;"},{"id":"au-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(a)[2]"}],"prose":"the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;"}]},{"id":"au-5.b_obj","name":"objective","properties":[{"name":"label","value":"AU-5(b)"}],"parts":[{"id":"au-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(b)[1]"}],"prose":"the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and"},{"id":"au-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(b)[2]"}],"prose":"the information system takes the additional organization-defined actions in the\n event of an audit processing failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system response to audit processing\n failures"}]}],"controls":[{"id":"au-5.1","class":"SP800-53-enhancement","title":"Audit Storage Capacity","parameters":[{"id":"au-5.1_prm_1","label":"organization-defined personnel, roles, and/or locations"},{"id":"au-5.1_prm_2","label":"organization-defined time period"},{"id":"au-5.1_prm_3","label":"organization-defined percentage"}],"properties":[{"name":"label","value":"AU-5(1)"},{"name":"sort-id","value":"au-05.01"}],"parts":[{"id":"au-5.1_smt","name":"statement","prose":"The information system provides a warning to {{ au-5.1_prm_1 }}\n within {{ au-5.1_prm_2 }} when allocated audit record storage\n volume reaches {{ au-5.1_prm_3 }} of repository maximum audit\n record storage capacity."},{"id":"au-5.1_gdn","name":"guidance","prose":"Organizations may have multiple audit data storage repositories distributed across\n multiple information system components, with each repository having different\n storage volume capacities."},{"id":"au-5.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-5.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(1)[1]"}],"prose":"the organization defines:","parts":[{"id":"au-5.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-5(1)[1][a]"}],"prose":"personnel to be warned when allocated audit record storage volume reaches\n organization-defined percentage of repository maximum audit record storage\n capacity;"},{"id":"au-5.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-5(1)[1][b]"}],"prose":"roles to be warned when allocated audit record storage volume reaches\n organization-defined percentage of repository maximum audit record storage\n capacity; and/or"},{"id":"au-5.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-5(1)[1][c]"}],"prose":"locations to be warned when allocated audit record storage volume reaches\n organization-defined percentage of repository maximum audit record storage\n capacity;"}]},{"id":"au-5.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(1)[2]"}],"prose":"the organization defines the time period within which the information system is\n to provide a warning to the organization-defined personnel, roles, and/or\n locations when allocated audit record storage volume reaches the\n organization-defined percentage of repository maximum audit record storage\n capacity;"},{"id":"au-5.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(1)[3]"}],"prose":"the organization defines the percentage of repository maximum audit record\n storage capacity that, if reached, requires a warning to be provided; and"},{"id":"au-5.1_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(1)[4]"}],"prose":"the information system provides a warning to the organization-defined\n personnel, roles, and/or locations within the organization-defined time period\n when allocated audit record storage volume reaches the organization-defined\n percentage of repository maximum audit record storage capacity."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit storage limit warnings"}]}]},{"id":"au-5.2","class":"SP800-53-enhancement","title":"Real-time Alerts","parameters":[{"id":"au-5.2_prm_1","label":"organization-defined real-time period","constraints":[{"detail":"real-time"}]},{"id":"au-5.2_prm_2","label":"organization-defined personnel, roles, and/or locations","constraints":[{"detail":"service provider personnel with authority to address failed audit events"}]},{"id":"au-5.2_prm_3","label":"organization-defined audit failure events requiring real-time alerts","constraints":[{"detail":"audit failure events requiring real-time alerts, as defined by organization audit policy"}]}],"properties":[{"name":"label","value":"AU-5(2)"},{"name":"sort-id","value":"au-05.02"}],"parts":[{"id":"au-5.2_smt","name":"statement","prose":"The information system provides an alert in {{ au-5.2_prm_1 }} to\n {{ au-5.2_prm_2 }} when the following audit failure events\n occur: {{ au-5.2_prm_3 }}."},{"id":"au-5.2_gdn","name":"guidance","prose":"Alerts provide organizations with urgent messages. Real-time alerts provide these\n messages at information technology speed (i.e., the time from event detection to\n alert occurs in seconds or less)."},{"id":"au-5.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-5.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(2)[1]"}],"prose":"the organization defines audit failure events requiring real-time alerts;"},{"id":"au-5.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(2)[2]"}],"prose":"the organization defines:","parts":[{"id":"au-5.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-5(2)[2][a]"}],"prose":"personnel to be alerted when organization-defined audit failure events\n requiring real-time alerts occur;"},{"id":"au-5.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-5(2)[2][b]"}],"prose":"roles to be alerted when organization-defined audit failure events requiring\n real-time alerts occur; and/or"},{"id":"au-5.2_obj.2.c","name":"objective","properties":[{"name":"label","value":"AU-5(2)[2][c]"}],"prose":"locations to be alerted when organization-defined audit failure events\n requiring real-time alerts occur;"}]},{"id":"au-5.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(2)[3]"}],"prose":"the organization defines the real-time period within which the information\n system is to provide an alert to the organization-defined personnel, roles,\n and/or locations when the organization-defined audit failure events requiring\n real-time alerts occur; and"},{"id":"au-5.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(2)[4]"}],"prose":"the information system provides an alert within the organization-defined\n real-time period to the organization-defined personnel, roles, and/or locations\n when organization-defined audit failure events requiring real-time alerts\n occur."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of notifications or real-time alerts when audit processing failures\n occur\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing real-time audit alerts when\n organization-defined audit failure events occur"}]}]}]},{"id":"au-6","class":"SP800-53","title":"Audit Review, Analysis, and Reporting","parameters":[{"id":"au-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"au-6_prm_2","label":"organization-defined inappropriate or unusual activity"},{"id":"au-6_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-6"},{"name":"sort-id","value":"au-06"}],"parts":[{"id":"au-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and"},{"id":"au-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports findings to {{ au-6_prm_3 }}."},{"id":"au-6_fr","name":"item","title":"AU-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented."}]}]},{"id":"au-6_gdn","name":"guidance","prose":"Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-10","rel":"related","text":"CM-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#pe-14","rel":"related","text":"PE-14"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-18","rel":"related","text":"SC-18"},{"href":"#sc-19","rel":"related","text":"SC-19"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"au-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-6.a_obj","name":"objective","properties":[{"name":"label","value":"AU-6(a)"}],"parts":[{"id":"au-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(a)[1]"}],"prose":"defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;"},{"id":"au-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(a)[2]"}],"prose":"defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;"},{"id":"au-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(a)[3]"}],"prose":"reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;"}]},{"id":"au-6.b_obj","name":"objective","properties":[{"name":"label","value":"AU-6(b)"}],"parts":[{"id":"au-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(b)[1]"}],"prose":"defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and"},{"id":"au-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(b)[2]"}],"prose":"reports findings to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}],"controls":[{"id":"au-6.1","class":"SP800-53-enhancement","title":"Process Integration","properties":[{"name":"label","value":"AU-6(1)"},{"name":"sort-id","value":"au-06.01"}],"parts":[{"id":"au-6.1_smt","name":"statement","prose":"The organization employs automated mechanisms to integrate audit review, analysis,\n and reporting processes to support organizational processes for investigation and\n response to suspicious activities."},{"id":"au-6.1_gdn","name":"guidance","prose":"Organizational processes benefiting from integrated audit review, analysis, and\n reporting include, for example, incident response, continuous monitoring,\n contingency planning, and Inspector General audits.","links":[{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#pm-7","rel":"related","text":"PM-7"}]},{"id":"au-6.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"au-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-6(1)[1]"}],"prose":"employs automated mechanisms to integrate:","parts":[{"id":"au-6.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-6(1)[1][a]"}],"prose":"audit review;"},{"id":"au-6.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-6(1)[1][b]"}],"prose":"analysis;"},{"id":"au-6.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-6(1)[1][c]"}],"prose":"reporting processes;"}]},{"id":"au-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(1)[2]"}],"prose":"uses integrated audit review, analysis and reporting processes to support\n organizational processes for:","parts":[{"id":"au-6.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-6(1)[2][a]"}],"prose":"investigation of suspicious activities; and"},{"id":"au-6.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-6(1)[2][b]"}],"prose":"response to suspicious activities."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nprocedures addressing investigation and response to suspicious activities\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms integrating audit review, analysis, and reporting\n processes"}]}]},{"id":"au-6.3","class":"SP800-53-enhancement","title":"Correlate Audit Repositories","properties":[{"name":"label","value":"AU-6(3)"},{"name":"sort-id","value":"au-06.03"}],"parts":[{"id":"au-6.3_smt","name":"statement","prose":"The organization analyzes and correlates audit records across different\n repositories to gain organization-wide situational awareness."},{"id":"au-6.3_gdn","name":"guidance","prose":"Organization-wide situational awareness includes awareness across all three tiers\n of risk management (i.e., organizational, mission/business process, and\n information system) and supports cross-organization awareness.","links":[{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ir-4","rel":"related","text":"IR-4"}]},{"id":"au-6.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization analyzes and correlates audit records across\n different repositories to gain organization-wide situational awareness. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records across different repositories\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting analysis and correlation of audit records"}]}]},{"id":"au-6.4","class":"SP800-53-enhancement","title":"Central Review and Analysis","properties":[{"name":"label","value":"AU-6(4)"},{"name":"sort-id","value":"au-06.04"}],"parts":[{"id":"au-6.4_smt","name":"statement","prose":"The information system provides the capability to centrally review and analyze\n audit records from multiple components within the system."},{"id":"au-6.4_gdn","name":"guidance","prose":"Automated mechanisms for centralized reviews and analyses include, for example,\n Security Information Management products.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-6.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system provides the capability to centrally review\n and analyze audit records from multiple components within the system."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system capability to centralize review and analysis of audit\n records"}]}]},{"id":"au-6.5","class":"SP800-53-enhancement","title":"Integration / Scanning and Monitoring Capabilities","parameters":[{"id":"au-6.5_prm_1"},{"id":"au-6.5_prm_2","depends-on":"au-6.5_prm_1","label":"organization-defined data/information collected from other sources","constraints":[{"detail":"Possibly to include penetration test data."}]}],"properties":[{"name":"label","value":"AU-6(5)"},{"name":"sort-id","value":"au-06.05"}],"parts":[{"id":"au-6.5_smt","name":"statement","prose":"The organization integrates analysis of audit records with analysis of {{ au-6.5_prm_1 }} to further enhance the ability to identify\n inappropriate or unusual activity."},{"id":"au-6.5_gdn","name":"guidance","prose":"This control enhancement does not require vulnerability scanning, the generation\n of performance data, or information system monitoring. Rather, the enhancement\n requires that the analysis of information being otherwise produced in these areas\n is integrated with the analysis of audit information. Security Event and\n Information Management System tools can facilitate audit record\n aggregation/consolidation from multiple information system components as well as\n audit record correlation and analysis. The use of standardized audit record\n analysis scripts developed by organizations (with localized script adjustments, as\n necessary) provides more cost-effective approaches for analyzing audit record\n information collected. The correlation of audit record information with\n vulnerability scanning information is important in determining the veracity of\n vulnerability scans and correlating attack detection events with scanning results.\n Correlation with performance data can help uncover denial of service attacks or\n cyber attacks resulting in unauthorized use of resources. Correlation with system\n monitoring information can assist in uncovering attacks and in better relating\n audit information to operational situations.","links":[{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"au-6.5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"au-6.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(5)[1]"}],"prose":"defines data/information to be collected from other sources;"},{"id":"au-6.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-6(5)[2]"}],"prose":"selects sources of data/information to be analyzed and integrated with the\n analysis of audit records from one or more of the following:","parts":[{"id":"au-6.5_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-6(5)[2][a]"}],"prose":"vulnerability scanning information;"},{"id":"au-6.5_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-6(5)[2][b]"}],"prose":"performance data;"},{"id":"au-6.5_obj.2.c","name":"objective","properties":[{"name":"label","value":"AU-6(5)[2][c]"}],"prose":"information system monitoring information; and/or"},{"id":"au-6.5_obj.2.d","name":"objective","properties":[{"name":"label","value":"AU-6(5)[2][d]"}],"prose":"organization-defined data/information collected from other sources; and"}]},{"id":"au-6.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-6(5)[3]"}],"prose":"integrates the analysis of audit records with the analysis of selected\n data/information to further enhance the ability to identify inappropriate or\n unusual activity."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrated analysis of audit records, vulnerability scanning information,\n performance data, network monitoring information and associated\n documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing capability to integrate analysis of audit\n records with analysis of data/information sources"}]}]},{"id":"au-6.6","class":"SP800-53-enhancement","title":"Correlation with Physical Monitoring","properties":[{"name":"label","value":"AU-6(6)"},{"name":"sort-id","value":"au-06.06"}],"parts":[{"id":"au-6.6_smt","name":"statement","prose":"The organization correlates information from audit records with information\n obtained from monitoring physical access to further enhance the ability to\n identify suspicious, inappropriate, unusual, or malevolent activity.","parts":[{"id":"au-6.6_fr","name":"item","title":"AU-6 (6) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-6.6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO."}]}]},{"id":"au-6.6_gdn","name":"guidance","prose":"The correlation of physical audit information and audit logs from information\n systems may assist organizations in identifying examples of suspicious behavior or\n supporting evidence of such behavior. For example, the correlation of an\n individual’s identity for logical access to certain information systems with the\n additional physical security information that the individual was actually present\n at the facility when the logical access occurred, may prove to be useful in\n investigations."},{"id":"au-6.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization correlates information from audit records with\n information obtained from monitoring physical access to enhance the ability to\n identify suspicious, inappropriate, unusual, or malevolent activity."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nprocedures addressing physical access monitoring\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumentation providing evidence of correlated information obtained from audit\n records and physical access monitoring records\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing capability to correlate information from\n audit records with information from monitoring physical access"}]}]},{"id":"au-6.7","class":"SP800-53-enhancement","title":"Permitted Actions","parameters":[{"id":"au-6.7_prm_1","constraints":[{"detail":"information system process; role; user"}]}],"properties":[{"name":"label","value":"AU-6(7)"},{"name":"sort-id","value":"au-06.07"}],"parts":[{"id":"au-6.7_smt","name":"statement","prose":"The organization specifies the permitted actions for each {{ au-6.7_prm_1 }} associated with the review, analysis, and reporting\n of audit information."},{"id":"au-6.7_gdn","name":"guidance","prose":"Organizations specify permitted actions for information system processes, roles,\n and/or users associated with the review, analysis, and reporting of audit records\n through account management techniques. Specifying permitted actions on audit\n information is a way to enforce the principle of least privilege. Permitted\n actions are enforced by the information system and include, for example, read,\n write, execute, append, and delete."},{"id":"au-6.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization specifies the permitted actions for each one or more\n of the following associated with the review, analysis and reporting of audit\n information:","parts":[{"id":"au-6.7_obj.1","name":"objective","properties":[{"name":"label","value":"AU-6(7)[1]"}],"prose":"information system process;"},{"id":"au-6.7_obj.2","name":"objective","properties":[{"name":"label","value":"AU-6(7)[2]"}],"prose":"role; and/or"},{"id":"au-6.7_obj.3","name":"objective","properties":[{"name":"label","value":"AU-6(7)[3]"}],"prose":"user."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing process, role and/or user permitted actions from audit\n review, analysis, and reporting\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting permitted actions for review, analysis, and\n reporting of audit information"}]}]},{"id":"au-6.10","class":"SP800-53-enhancement","title":"Audit Level Adjustment","properties":[{"name":"label","value":"AU-6(10)"},{"name":"sort-id","value":"au-06.10"}],"parts":[{"id":"au-6.10_smt","name":"statement","prose":"The organization adjusts the level of audit review, analysis, and reporting within\n the information system when there is a change in risk based on law enforcement\n information, intelligence information, or other credible sources of\n information."},{"id":"au-6.10_gdn","name":"guidance","prose":"The frequency, scope, and/or depth of the audit review, analysis, and reporting\n may be adjusted to meet organizational needs based on new information\n received."},{"id":"au-6.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization adjusts the level of audit review, analysis, and\n reporting within the information system when there is a change in risk based\n on:","parts":[{"id":"au-6.10_obj.1","name":"objective","properties":[{"name":"label","value":"AU-6(10)[1]"}],"prose":"law enforcement information;"},{"id":"au-6.10_obj.2","name":"objective","properties":[{"name":"label","value":"AU-6(10)[2]"}],"prose":"intelligence information; and/or"},{"id":"au-6.10_obj.3","name":"objective","properties":[{"name":"label","value":"AU-6(10)[3]"}],"prose":"other credible sources of information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\norganizational risk assessment\\n\\nsecurity control assessment\\n\\nvulnerability assessment\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting review, analysis, and reporting of audit\n information"}]}]}]},{"id":"au-7","class":"SP800-53","title":"Audit Reduction and Report Generation","properties":[{"name":"label","value":"AU-7"},{"name":"sort-id","value":"au-07"}],"parts":[{"id":"au-7_smt","name":"statement","prose":"The information system provides an audit reduction and report generation capability\n that:","parts":[{"id":"au-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Supports on-demand audit review, analysis, and reporting requirements and\n after-the-fact investigations of security incidents; and"},{"id":"au-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Does not alter the original content or time ordering of audit records."}]},{"id":"au-7_gdn","name":"guidance","prose":"Audit reduction is a process that manipulates collected audit information and\n organizes such information in a summary format that is more meaningful to analysts.\n Audit reduction and report generation capabilities do not always emanate from the\n same information system or from the same organizational entities conducting auditing\n activities. Audit reduction capability can include, for example, modern data mining\n techniques with advanced data filters to identify anomalous behavior in audit\n records. The report generation capability provided by the information system can\n generate customizable reports. Time ordering of audit records can be a significant\n issue if the granularity of the timestamp in the record is insufficient.","links":[{"href":"#au-6","rel":"related","text":"AU-6"}]},{"id":"au-7_obj","name":"objective","prose":"Determine if the information system provides an audit reduction and report generation\n capability that supports:","parts":[{"id":"au-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-7(a)"}],"parts":[{"id":"au-7.a_obj.1","name":"objective","properties":[{"name":"label","value":"AU-7(a)[1]"}],"prose":"on-demand audit review;"},{"id":"au-7.a_obj.2","name":"objective","properties":[{"name":"label","value":"AU-7(a)[2]"}],"prose":"analysis;"},{"id":"au-7.a_obj.3","name":"objective","properties":[{"name":"label","value":"AU-7(a)[3]"}],"prose":"reporting requirements;"},{"id":"au-7.a_obj.4","name":"objective","properties":[{"name":"label","value":"AU-7(a)[4]"}],"prose":"after-the-fact investigations of security incidents; and"}]},{"id":"au-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-7(b)"}],"prose":"does not alter the original content or time ordering of audit records."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit reduction and report generation capability"}]}],"controls":[{"id":"au-7.1","class":"SP800-53-enhancement","title":"Automatic Processing","parameters":[{"id":"au-7.1_prm_1","label":"organization-defined audit fields within audit records"}],"properties":[{"name":"label","value":"AU-7(1)"},{"name":"sort-id","value":"au-07.01"}],"parts":[{"id":"au-7.1_smt","name":"statement","prose":"The information system provides the capability to process audit records for events\n of interest based on {{ au-7.1_prm_1 }}."},{"id":"au-7.1_gdn","name":"guidance","prose":"Events of interest can be identified by the content of specific audit record\n fields including, for example, identities of individuals, event types, event\n locations, event times, event dates, system resources involved, IP addresses\n involved, or information objects accessed. Organizations may define audit event\n criteria to any degree of granularity required, for example, locations selectable\n by general networking location (e.g., by network or subnetwork) or selectable by\n specific information system component.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-7.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-7.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-7(1)[1]"}],"prose":"the organization defines audit fields within audit records in order to process\n audit records for events of interest; and"},{"id":"au-7.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-7(1)[2]"}],"prose":"the information system provides the capability to process audit records for\n events of interest based on the organization-defined audit fields within audit\n records."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\naudit record criteria (fields) establishing events of interest\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit reduction and report generation capability"}]}]}]},{"id":"au-8","class":"SP800-53","title":"Time Stamps","parameters":[{"id":"au-8_prm_1","label":"organization-defined granularity of time measurement","constraints":[{"detail":"one second granularity of time measurement"}]}],"properties":[{"name":"label","value":"AU-8"},{"name":"sort-id","value":"au-08"}],"parts":[{"id":"au-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses internal system clocks to generate time stamps for audit records; and"},{"id":"au-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}."}]},{"id":"au-8_gdn","name":"guidance","prose":"Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.","links":[{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(a)"}],"prose":"the information system uses internal system clocks to generate time stamps for\n audit records;"},{"id":"au-8.b_obj","name":"objective","properties":[{"name":"label","value":"AU-8(b)"}],"parts":[{"id":"au-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(b)[1]"}],"prose":"the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);"},{"id":"au-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(b)[2]"}],"prose":"the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and"},{"id":"au-8.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(b)[3]"}],"prose":"the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing time stamp generation"}]}],"controls":[{"id":"au-8.1","class":"SP800-53-enhancement","title":"Synchronization with Authoritative Time Source","parameters":[{"id":"au-8.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"At least hourly"}]},{"id":"au-8.1_prm_2","label":"organization-defined authoritative time source","constraints":[{"detail":"http://tf.nist.gov/tf-cgi/servers.cgi"}]},{"id":"au-8.1_prm_3","label":"organization-defined time period"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-8(1)"},{"name":"sort-id","value":"au-08.01"}],"parts":[{"id":"au-8.1_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-8.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Compares the internal information system clocks {{ au-8.1_prm_1 }} with {{ au-8.1_prm_2 }}; and"},{"id":"au-8.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Synchronizes the internal system clocks to the authoritative time source when\n the time difference is greater than {{ au-8.1_prm_3 }}."},{"id":"au-8.1_fr","name":"item","title":"AU-8 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-8.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server."},{"id":"au-8.1_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server."},{"id":"au-8.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Synchronization of system clocks improves the accuracy of log analysis."}]}]},{"id":"au-8.1_gdn","name":"guidance","prose":"This control enhancement provides uniformity of time stamps for information\n systems with multiple system clocks and systems connected over a network."},{"id":"au-8.1_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-8.1.a_obj","name":"objective","properties":[{"name":"label","value":"AU-8(1)(a)"}],"parts":[{"id":"au-8.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(1)(a)[1]"}],"prose":"the organization defines the authoritative time source to which internal\n information system clocks are to be compared;"},{"id":"au-8.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(1)(a)[2]"}],"prose":"the organization defines the frequency to compare the internal information\n system clocks with the organization-defined authoritative time source;\n and"},{"id":"au-8.1.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(1)(a)[3]"}],"prose":"the information system compares the internal information system clocks with\n the organization-defined authoritative time source with organization-defined\n frequency; and"}],"links":[{"href":"#au-8.1_smt.a","rel":"corresp","text":"AU-8(1)(a)"}]},{"id":"au-8.1.b_obj","name":"objective","properties":[{"name":"label","value":"AU-8(1)(b)"}],"parts":[{"id":"au-8.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(1)(b)[1]"}],"prose":"the organization defines the time period that, if exceeded by the time\n difference between the internal system clocks and the authoritative time\n source, will result in the internal system clocks being synchronized to the\n authoritative time source; and"},{"id":"au-8.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(1)(b)[2]"}],"prose":"the information system synchronizes the internal information system clocks\n to the authoritative time source when the time difference is greater than\n the organization-defined time period."}],"links":[{"href":"#au-8.1_smt.b","rel":"corresp","text":"AU-8(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing internal information system clock\n synchronization"}]}]}]},{"id":"au-9","class":"SP800-53","title":"Protection of Audit Information","properties":[{"name":"label","value":"AU-9"},{"name":"sort-id","value":"au-09"}],"parts":[{"id":"au-9_smt","name":"statement","prose":"The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion."},{"id":"au-9_gdn","name":"guidance","prose":"Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"}]},{"id":"au-9_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-9_obj.1","name":"objective","properties":[{"name":"label","value":"AU-9[1]"}],"prose":"the information system protects audit information from unauthorized:","parts":[{"id":"au-9_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-9[1][a]"}],"prose":"access;"},{"id":"au-9_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-9[1][b]"}],"prose":"modification;"},{"id":"au-9_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-9[1][c]"}],"prose":"deletion;"}]},{"id":"au-9_obj.2","name":"objective","properties":[{"name":"label","value":"AU-9[2]"}],"prose":"the information system protects audit tools from unauthorized:","parts":[{"id":"au-9_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-9[2][a]"}],"prose":"access;"},{"id":"au-9_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-9[2][b]"}],"prose":"modification; and"},{"id":"au-9_obj.2.c","name":"objective","properties":[{"name":"label","value":"AU-9[2][c]"}],"prose":"deletion."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit information protection"}]}],"controls":[{"id":"au-9.2","class":"SP800-53-enhancement","title":"Audit Backup On Separate Physical Systems / Components","parameters":[{"id":"au-9.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-9(2)"},{"name":"sort-id","value":"au-09.02"}],"parts":[{"id":"au-9.2_smt","name":"statement","prose":"The information system backs up audit records {{ au-9.2_prm_1 }}\n onto a physically different system or system component than the system or\n component being audited."},{"id":"au-9.2_gdn","name":"guidance","prose":"This control enhancement helps to ensure that a compromise of the information\n system being audited does not also result in a compromise of the audit\n records.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-11","rel":"related","text":"AU-11"}]},{"id":"au-9.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-9.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-9(2)[1]"}],"prose":"the organization defines the frequency to back up audit records onto a\n physically different system or system component than the system or component\n being audited; and"},{"id":"au-9.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-9(2)[2]"}],"prose":"the information system backs up audit records with the organization-defined\n frequency, onto a physically different system or system component than the\n system or component being audited."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation, system\n or media storing backups of information system audit records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing the backing up of audit records"}]}]},{"id":"au-9.3","class":"SP800-53-enhancement","title":"Cryptographic Protection","properties":[{"name":"label","value":"AU-9(3)"},{"name":"sort-id","value":"au-09.03"}],"parts":[{"id":"au-9.3_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to protect the\n integrity of audit information and audit tools."},{"id":"au-9.3_gdn","name":"guidance","prose":"Cryptographic mechanisms used for protecting the integrity of audit information\n include, for example, signed hash functions using asymmetric cryptography enabling\n distribution of the public key to verify the hash information while maintaining\n the confidentiality of the secret key used to generate the hash.","links":[{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"au-9.3_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"au-9.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-9(3)[1]"}],"prose":"uses cryptographic mechanisms to protect the integrity of audit information;\n and"},{"id":"au-9.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-9(3)[2]"}],"prose":"uses cryptographic mechanisms to protect the integrity of audit tools."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system hardware settings\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms protecting integrity of audit information and\n tools"}]}]},{"id":"au-9.4","class":"SP800-53-enhancement","title":"Access by Subset of Privileged Users","parameters":[{"id":"au-9.4_prm_1","label":"organization-defined subset of privileged users"}],"properties":[{"name":"label","value":"AU-9(4)"},{"name":"sort-id","value":"au-09.04"}],"parts":[{"id":"au-9.4_smt","name":"statement","prose":"The organization authorizes access to management of audit functionality to only\n {{ au-9.4_prm_1 }}."},{"id":"au-9.4_gdn","name":"guidance","prose":"Individuals with privileged access to an information system and who are also the\n subject of an audit by that system, may affect the reliability of audit\n information by inhibiting audit activities or modifying audit records. This\n control enhancement requires that privileged access be further defined between\n audit-related privileges and other privileges, thus limiting the users with\n audit-related privileges.","links":[{"href":"#ac-5","rel":"related","text":"AC-5"}]},{"id":"au-9.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-9.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-9(4)[1]"}],"prose":"defines a subset of privileged users to be authorized access to management of\n audit functionality; and"},{"id":"au-9.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-9(4)[2]"}],"prose":"authorizes access to management of audit functionality to only the\n organization-defined subset of privileged users."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n system-generated list of privileged users with access to management of audit\n functionality\\n\\naccess authorizations\\n\\naccess control list\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing access to audit functionality"}]}]}]},{"id":"au-10","class":"SP800-53","title":"Non-repudiation","parameters":[{"id":"au-10_prm_1","label":"organization-defined actions to be covered by non-repudiation","constraints":[{"detail":"minimum actions including the addition, modification, deletion, approval, sending, or receiving of data"}]}],"properties":[{"name":"label","value":"AU-10"},{"name":"sort-id","value":"au-10"}],"parts":[{"id":"au-10_smt","name":"statement","prose":"The information system protects against an individual (or process acting on behalf of\n an individual) falsely denying having performed {{ au-10_prm_1 }}."},{"id":"au-10_gdn","name":"guidance","prose":"Types of individual actions covered by non-repudiation include, for example, creating\n information, sending and receiving messages, approving information (e.g., indicating\n concurrence or signing a contract). Non-repudiation protects individuals against\n later claims by: (i) authors of not having authored particular documents; (ii)\n senders of not having transmitted messages; (iii) receivers of not having received\n messages; or (iv) signatories of not having signed documents. Non-repudiation\n services can be used to determine if information originated from a particular\n individual, or if an individual took specific actions (e.g., sending an email,\n signing a contract, approving a procurement request) or received specific\n information. Organizations obtain non-repudiation services by employing various\n techniques or mechanisms (e.g., digital signatures, digital message receipts).","links":[{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-16","rel":"related","text":"SC-16"},{"href":"#sc-17","rel":"related","text":"SC-17"},{"href":"#sc-23","rel":"related","text":"SC-23"}]},{"id":"au-10_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-10_obj.1","name":"objective","properties":[{"name":"label","value":"AU-10[1]"}],"prose":"the organization defines actions to be covered by non-repudiation; and"},{"id":"au-10_obj.2","name":"objective","properties":[{"name":"label","value":"AU-10[2]"}],"prose":"the information system protects against an individual (or process acting on behalf\n of an individual) falsely denying having performed organization-defined actions to\n be covered by non-repudiation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing non-repudiation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing non-repudiation capability"}]}]},{"id":"au-11","class":"SP800-53","title":"Audit Record Retention","parameters":[{"id":"au-11_prm_1","label":"organization-defined time period consistent with records retention policy","constraints":[{"detail":"at least one (1) year"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-11"},{"name":"sort-id","value":"au-11"}],"parts":[{"id":"au-11_smt","name":"statement","prose":"The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements.","parts":[{"id":"au-11_fr","name":"item","title":"AU-11 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-11_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements."}]}]},{"id":"au-11_gdn","name":"guidance","prose":"Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"au-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-11_obj.1","name":"objective","properties":[{"name":"label","value":"AU-11[1]"}],"prose":"defines a time period to retain audit records that is consistent with records\n retention policy;"},{"id":"au-11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-11[2]"}],"prose":"retains audit records for the organization-defined time period consistent with\n records retention policy to:","parts":[{"id":"au-11_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-11[2][a]"}],"prose":"provide support for after-the-fact investigations of security incidents;\n and"},{"id":"au-11_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-11[2][b]"}],"prose":"meet regulatory and organizational information retention requirements."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"au-12","class":"SP800-53","title":"Audit Generation","parameters":[{"id":"au-12_prm_1","label":"organization-defined information system components","constraints":[{"detail":"all information system and network components where audit capability is deployed/available"}]},{"id":"au-12_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AU-12"},{"name":"sort-id","value":"au-12"}],"parts":[{"id":"au-12_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-12_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};"},{"id":"au-12_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and"},{"id":"au-12_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3."}]},{"id":"au-12_gdn","name":"guidance","prose":"Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"}]},{"id":"au-12_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-12.a_obj","name":"objective","properties":[{"name":"label","value":"AU-12(a)"}],"parts":[{"id":"au-12.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(a)[1]"}],"prose":"the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;"},{"id":"au-12.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(a)[2]"}],"prose":"the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;"}]},{"id":"au-12.b_obj","name":"objective","properties":[{"name":"label","value":"AU-12(b)"}],"parts":[{"id":"au-12.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(b)[1]"}],"prose":"the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;"},{"id":"au-12.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(b)[2]"}],"prose":"the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and"}]},{"id":"au-12.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(c)"}],"prose":"the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit record generation capability"}]}],"controls":[{"id":"au-12.1","class":"SP800-53-enhancement","title":"System-wide / Time-correlated Audit Trail","parameters":[{"id":"au-12.1_prm_1","label":"organization-defined information system components","constraints":[{"detail":"all network, data storage, and computing devices"}]},{"id":"au-12.1_prm_2","label":"organization-defined level of tolerance for the relationship between time\n stamps of individual records in the audit trail"}],"properties":[{"name":"label","value":"AU-12(1)"},{"name":"sort-id","value":"au-12.01"}],"parts":[{"id":"au-12.1_smt","name":"statement","prose":"The information system compiles audit records from {{ au-12.1_prm_1 }} into a system-wide (logical or physical) audit trail\n that is time-correlated to within {{ au-12.1_prm_2 }}."},{"id":"au-12.1_gdn","name":"guidance","prose":"Audit trails are time-correlated if the time stamps in the individual audit\n records can be reliably related to the time stamps in other audit records to\n achieve a time ordering of the records within organizational tolerances.","links":[{"href":"#au-8","rel":"related","text":"AU-8"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-12.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-12.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(1)[1]"}],"prose":"the organization defines the information system components from which audit\n records are to be compiled into a system-wide (logical or physical) audit\n trail;"},{"id":"au-12.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(1)[2]"}],"prose":"the organization defines the level of tolerance for the relationship between\n time stamps of individual records in the audit trail; and"},{"id":"au-12.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(1)[3]"}],"prose":"the information system compiles audit records from organization-defined\n information system components into a system-wide (logical or physical) audit\n trail that is time-correlated to within the organization-defined level of\n tolerance for the relationship between time stamps of individual records in the\n audit trail."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-wide audit trail (logical or physical)\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit record generation capability"}]}]},{"id":"au-12.3","class":"SP800-53-enhancement","title":"Changes by Authorized Individuals","parameters":[{"id":"au-12.3_prm_1","label":"organization-defined individuals or roles","constraints":[{"detail":"service provider-defined individuals or roles with audit configuration responsibilities"}]},{"id":"au-12.3_prm_2","label":"organization-defined information system components","constraints":[{"detail":"all network, data storage, and computing devices"}]},{"id":"au-12.3_prm_3","label":"organization-defined selectable event criteria"},{"id":"au-12.3_prm_4","label":"organization-defined time thresholds"}],"properties":[{"name":"label","value":"AU-12(3)"},{"name":"sort-id","value":"au-12.03"}],"parts":[{"id":"au-12.3_smt","name":"statement","prose":"The information system provides the capability for {{ au-12.3_prm_1 }} to change the auditing to be performed on {{ au-12.3_prm_2 }} based on {{ au-12.3_prm_3 }} within\n {{ au-12.3_prm_4 }}."},{"id":"au-12.3_gdn","name":"guidance","prose":"This control enhancement enables organizations to extend or limit auditing as\n necessary to meet organizational requirements. Auditing that is limited to\n conserve information system resources may be extended to address certain threat\n situations. In addition, auditing may be limited to a specific set of events to\n facilitate audit reduction, analysis, and reporting. Organizations can establish\n time thresholds in which audit actions are changed, for example, near real-time,\n within minutes, or within hours.","links":[{"href":"#au-7","rel":"related","text":"AU-7"}]},{"id":"au-12.3_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-12.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(3)[1]"}],"prose":"the organization defines information system components on which auditing is to\n be performed;"},{"id":"au-12.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(3)[2]"}],"prose":"the organization defines individuals or roles authorized to change the auditing\n to be performed on organization-defined information system components;"},{"id":"au-12.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(3)[3]"}],"prose":"the organization defines time thresholds within which organization-defined\n individuals or roles can change the auditing to be performed on\n organization-defined information system components;"},{"id":"au-12.3_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(3)[4]"}],"prose":"the organization defines selectable event criteria that support the capability\n for organization-defined individuals or roles to change the auditing to be\n performed on organization-defined information system components; and"},{"id":"au-12.3_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(3)[5]"}],"prose":"the information system provides the capability for organization-defined\n individuals or roles to change the auditing to be performed on\n organization-defined information system components based on\n organization-defined selectable event criteria within organization-defined time\n thresholds."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of individuals or roles authorized to change auditing to\n be performed\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit record generation capability"}]}]}]}]},{"id":"ca","class":"family","title":"Security Assessment and Authorization","controls":[{"id":"ca-1","class":"SP800-53","title":"Security Assessment and Authorization Policy and Procedures","parameters":[{"id":"ca-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ca-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-1"},{"name":"sort-id","value":"ca-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ca-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ca-1_prm_1 }}:","parts":[{"id":"ca-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ca-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and"}]},{"id":"ca-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ca-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security assessment and authorization policy {{ ca-1_prm_2 }};\n and"},{"id":"ca-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security assessment and authorization procedures {{ ca-1_prm_3 }}."}]}]},{"id":"ca-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ca-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-1.a_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)"}],"parts":[{"id":"ca-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)"}],"parts":[{"id":"ca-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(1)[1]"}],"prose":"develops and documents a security assessment and authorization policy that\n addresses:","parts":[{"id":"ca-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ca-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ca-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ca-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ca-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ca-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ca-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ca-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;"},{"id":"ca-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-1(a)(1)[3]"}],"prose":"disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;"}]},{"id":"ca-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)"}],"parts":[{"id":"ca-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;"},{"id":"ca-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ca-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ca-1.b_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)"}],"parts":[{"id":"ca-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(1)"}],"parts":[{"id":"ca-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization policy;"},{"id":"ca-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(1)[2]"}],"prose":"reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;"}]},{"id":"ca-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(2)"}],"parts":[{"id":"ca-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization procedures; and"},{"id":"ca-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(2)[2]"}],"prose":"reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-2","class":"SP800-53","title":"Security Assessments","parameters":[{"id":"ca-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-2_prm_2","label":"organization-defined individuals or roles","constraints":[{"detail":"individuals or roles to include FedRAMP PMO"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-2"},{"name":"sort-id","value":"ca-02"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security controls and control enhancements under assessment;"},{"id":"ca-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Assessment procedures to be used to determine security control effectiveness;\n and"},{"id":"ca-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Assessment environment, assessment team, and assessment roles and\n responsibilities;"}]},{"id":"ca-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;"},{"id":"ca-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Produces a security assessment report that documents the results of the\n assessment; and"},{"id":"ca-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Provides the results of the security control assessment to {{ ca-2_prm_2 }}."},{"id":"ca-2_fr","name":"item","title":"CA-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-2_gdn","name":"guidance","prose":"Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.","links":[{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(a)"}],"prose":"develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(1)"}],"prose":"security controls and control enhancements under assessment;"},{"id":"ca-2.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(2)"}],"prose":"assessment procedures to be used to determine security control\n effectiveness;"},{"id":"ca-2.a.3_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)"}],"parts":[{"id":"ca-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[1]"}],"prose":"assessment environment;"},{"id":"ca-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[2]"}],"prose":"assessment team;"},{"id":"ca-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[3]"}],"prose":"assessment roles and responsibilities;"}]}]},{"id":"ca-2.b_obj","name":"objective","properties":[{"name":"label","value":"CA-2(b)"}],"parts":[{"id":"ca-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(b)[1]"}],"prose":"defines the frequency to assess the security controls in the information system\n and its environment of operation;"},{"id":"ca-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(b)[2]"}],"prose":"assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;"}]},{"id":"ca-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(c)"}],"prose":"produces a security assessment report that documents the results of the\n assessment;"},{"id":"ca-2.d_obj","name":"objective","properties":[{"name":"label","value":"CA-2(d)"}],"parts":[{"id":"ca-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(d)[1]"}],"prose":"defines individuals or roles to whom the results of the security control\n assessment are to be provided; and"},{"id":"ca-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(d)[2]"}],"prose":"provides the results of the security control assessment to organization-defined\n individuals or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting"}]}],"controls":[{"id":"ca-2.1","class":"SP800-53-enhancement","title":"Independent Assessors","parameters":[{"id":"ca-2.1_prm_1","label":"organization-defined level of independence"}],"properties":[{"name":"label","value":"CA-2(1)"},{"name":"sort-id","value":"ca-02.01"}],"parts":[{"id":"ca-2.1_smt","name":"statement","prose":"The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments.","parts":[{"id":"ca-2.1_fr","name":"item","title":"CA-2 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)."}]}]},{"id":"ca-2.1_gdn","name":"guidance","prose":"Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments."},{"id":"ca-2.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(1)[1]"}],"prose":"defines the level of independence to be employed to conduct security control\n assessments; and"},{"id":"ca-2.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-2(1)[2]"}],"prose":"employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-2.2","class":"SP800-53-enhancement","title":"Specialized Assessments","parameters":[{"id":"ca-2.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-2.2_prm_2"},{"id":"ca-2.2_prm_3"},{"id":"ca-2.2_prm_4","depends-on":"ca-2.2_prm_3","label":"organization-defined other forms of security assessment"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-2(2)"},{"name":"sort-id","value":"ca-02.02"}],"parts":[{"id":"ca-2.2_smt","name":"statement","prose":"The organization includes as part of security control assessments, {{ ca-2.2_prm_1 }}, {{ ca-2.2_prm_2 }}, {{ ca-2.2_prm_3 }}.","parts":[{"id":"ca-2.2_fr","name":"item","title":"CA-2 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2.2_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"To include 'announced', 'vulnerability scanning'"}]}]},{"id":"ca-2.2_gdn","name":"guidance","prose":"Organizations can employ information system monitoring, insider threat\n assessments, malicious user testing, and other forms of testing (e.g.,\n verification and validation) to improve readiness by exercising organizational\n capabilities and indicating current performance levels as a means of focusing\n actions to improve security. Organizations conduct assessment activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n regulations, and standards. Authorizing officials approve the assessment methods\n in coordination with the organizational risk executive function. Organizations can\n incorporate vulnerabilities uncovered during assessments into vulnerability\n remediation processes.","links":[{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ca-2.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(2)[1]"}],"prose":"selects one or more of the following forms of specialized security assessment\n to be included as part of security control assessments:","parts":[{"id":"ca-2.2_obj.1.a","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][a]"}],"prose":"in-depth monitoring;"},{"id":"ca-2.2_obj.1.b","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][b]"}],"prose":"vulnerability scanning;"},{"id":"ca-2.2_obj.1.c","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][c]"}],"prose":"malicious user testing;"},{"id":"ca-2.2_obj.1.d","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][d]"}],"prose":"insider threat assessment;"},{"id":"ca-2.2_obj.1.e","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][e]"}],"prose":"performance/load testing; and/or"},{"id":"ca-2.2_obj.1.f","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][f]"}],"prose":"other forms of organization-defined specialized security assessment;"}]},{"id":"ca-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(2)[2]"}],"prose":"defines the frequency for conducting the selected form(s) of specialized\n security assessment;"},{"id":"ca-2.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(2)[3]"}],"prose":"defines whether the specialized security assessment will be announced or\n unannounced; and"},{"id":"ca-2.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(2)[4]"}],"prose":"conducts announced or unannounced organization-defined forms of specialized\n security assessments with the organization-defined frequency as part of\n security control assessments."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting security control assessment"}]}]},{"id":"ca-2.3","class":"SP800-53-enhancement","title":"External Organizations","parameters":[{"id":"ca-2.3_prm_1","label":"organization-defined information system","constraints":[{"detail":"any FedRAMP Accredited 3PAO"}]},{"id":"ca-2.3_prm_2","label":"organization-defined external organization","constraints":[{"detail":"any FedRAMP Accredited 3PAO"}]},{"id":"ca-2.3_prm_3","label":"organization-defined requirements","constraints":[{"detail":"the conditions of the JAB/AO in the FedRAMP Repository"}]}],"properties":[{"name":"label","value":"CA-2(3)"},{"name":"sort-id","value":"ca-02.03"}],"parts":[{"id":"ca-2.3_smt","name":"statement","prose":"The organization accepts the results of an assessment of {{ ca-2.3_prm_1 }} performed by {{ ca-2.3_prm_2 }} when\n the assessment meets {{ ca-2.3_prm_3 }}."},{"id":"ca-2.3_gdn","name":"guidance","prose":"Organizations may often rely on assessments of specific information systems by\n other (external) organizations. Utilizing such existing assessments (i.e., reusing\n existing assessment evidence) can significantly decrease the time and resources\n required for organizational assessments by limiting the amount of independent\n assessment activities that organizations need to perform. The factors that\n organizations may consider in determining whether to accept assessment results\n from external organizations can vary. Determinations for accepting assessment\n results can be based on, for example, past assessment experiences one organization\n has had with another organization, the reputation that organizations have with\n regard to assessments, the level of detail of supporting assessment documentation\n provided, or mandates imposed upon organizations by federal legislation, policies,\n or directives."},{"id":"ca-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(3)[1]"}],"prose":"defines an information system for which the results of a security assessment\n performed by an external organization are to be accepted;"},{"id":"ca-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(3)[2]"}],"prose":"defines an external organization from which to accept a security assessment\n performed on an organization-defined information system;"},{"id":"ca-2.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(3)[3]"}],"prose":"defines the requirements to be met by a security assessment performed by\n organization-defined external organization on organization-defined information\n system; and"},{"id":"ca-2.3_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-2(3)[4]"}],"prose":"accepts the results of an assessment of an organization-defined information\n system performed by an organization-defined external organization when the\n assessment meets organization-defined requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment requirements\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel performing security assessments for the specified external\n organization"}]}]}]},{"id":"ca-3","class":"SP800-53","title":"System Interconnections","parameters":[{"id":"ca-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"At least annually and on input from FedRAMP"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-3"},{"name":"sort-id","value":"ca-03"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#2711f068-734e-4afd-94ba-0b22247fbc88","rel":"reference","text":"NIST Special Publication 800-47"}],"parts":[{"id":"ca-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and"},{"id":"ca-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}."}]},{"id":"ca-3_gdn","name":"guidance","prose":"This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(a)"}],"prose":"authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(b)"}],"prose":"documents, for each interconnection:","parts":[{"id":"ca-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-3(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-3(b)[2]"}],"prose":"the security requirements;"},{"id":"ca-3.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-3(b)[3]"}],"prose":"the nature of the information communicated;"}]},{"id":"ca-3.c_obj","name":"objective","properties":[{"name":"label","value":"CA-3(c)"}],"parts":[{"id":"ca-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(c)[1]"}],"prose":"defines the frequency to review and update Interconnection Security Agreements;\n and"},{"id":"ca-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(c)[2]"}],"prose":"reviews and updates Interconnection Security Agreements with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies"}]}],"controls":[{"id":"ca-3.3","class":"SP800-53-enhancement","title":"Unclassified Non-national Security System Connections","parameters":[{"id":"ca-3.3_prm_1","label":"organization-defined unclassified, non-national security system"},{"id":"ca-3.3_prm_2","label":"Assignment; organization-defined boundary protection device","constraints":[{"detail":"boundary protections which meet the Trusted Internet Connection (TIC) requirements"}]}],"properties":[{"name":"label","value":"CA-3(3)"},{"name":"sort-id","value":"ca-03.03"}],"parts":[{"id":"ca-3.3_smt","name":"statement","prose":"The organization prohibits the direct connection of an {{ ca-3.3_prm_1 }} to an external network without the use of {{ ca-3.3_prm_2 }}.","parts":[{"id":"ca-3.3_fr","name":"item","title":"CA-3 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-3.3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document."}]}]},{"id":"ca-3.3_gdn","name":"guidance","prose":"Organizations typically do not have control over external networks (e.g., the\n Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate\n communications (i.e., information flows) between unclassified non-national\n security systems and external networks. This control enhancement is required for\n organizations processing, storing, or transmitting Controlled Unclassified\n Information (CUI)."},{"id":"ca-3.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-3.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(3)[1]"}],"prose":"defines an unclassified, non-national security system whose direct connection\n to an external network is to be prohibited without the use of approved boundary\n protection device;"},{"id":"ca-3.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(3)[2]"}],"prose":"defines a boundary protection device to be used to establish the direct\n connection of an organization-defined unclassified, non-national security\n system to an external network; and"},{"id":"ca-3.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-3(3)[3]"}],"prose":"prohibits the direct connection of an organization-defined unclassified,\n non-national security system to an external network without the use of an\n organization-defined boundary protection device."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection security agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for managing direct connections to\n external networks\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing directly connected external networks"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting the management of external network\n connections"}]}]},{"id":"ca-3.5","class":"SP800-53-enhancement","title":"Restrictions On External System Connections","parameters":[{"id":"ca-3.5_prm_1","constraints":[{"detail":"deny-all, permit by exception"}]},{"id":"ca-3.5_prm_2","label":"organization-defined information systems","constraints":[{"detail":"any systems"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-3(5)"},{"name":"sort-id","value":"ca-03.05"}],"parts":[{"id":"ca-3.5_smt","name":"statement","prose":"The organization employs {{ ca-3.5_prm_1 }} policy for allowing\n {{ ca-3.5_prm_2 }} to connect to external information\n systems.","parts":[{"id":"ca-3.5_fr","name":"item","title":"CA-3 (5) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-3.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing"}]}]},{"id":"ca-3.5_gdn","name":"guidance","prose":"Organizations can constrain information system connectivity to external domains\n (e.g., websites) by employing one of two policies with regard to such\n connectivity: (i) allow-all, deny by exception, also known as blacklisting (the\n weaker of the two policies); or (ii) deny-all, allow by exception, also known as\n whitelisting (the stronger of the two policies). For either policy, organizations\n determine what exceptions, if any, are acceptable.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"}]},{"id":"ca-3.5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ca-3.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(5)[1]"}],"prose":"defines information systems to be allowed to connect to external information\n systems;"},{"id":"ca-3.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-3(5)[2]"}],"prose":"employs one of the following policies for allowing organization-defined\n information systems to connect to external information systems:","parts":[{"id":"ca-3.5_obj.2.a","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][a]"}],"prose":"allow-all policy;"},{"id":"ca-3.5_obj.2.b","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][b]"}],"prose":"deny-by-exception policy;"},{"id":"ca-3.5_obj.2.c","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][c]"}],"prose":"deny-all policy; or"},{"id":"ca-3.5_obj.2.d","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][d]"}],"prose":"permit-by-exception policy."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for managing connections to\n external information systems\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing restrictions on external system\n connections"}]}]}]},{"id":"ca-5","class":"SP800-53","title":"Plan of Action and Milestones","parameters":[{"id":"ca-5_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-5"},{"name":"sort-id","value":"ca-05"}],"links":[{"href":"#2c5884cd-7b96-425c-862a-99877e1cf909","rel":"reference","text":"OMB Memorandum 02-01"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"}],"parts":[{"id":"ca-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and"},{"id":"ca-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities."},{"id":"ca-5_fr","name":"item","title":"CA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-5_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Plan of Action & Milestones (POA&M) must be provided at least monthly."},{"id":"ca-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-5_gdn","name":"guidance","prose":"Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-4","rel":"related","text":"PM-4"}]},{"id":"ca-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-5(a)"}],"prose":"develops a plan of action and milestones for the information system to:","parts":[{"id":"ca-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"CA-5(a)[1]"}],"prose":"document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;"},{"id":"ca-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"CA-5(a)[2]"}],"prose":"reduce or eliminate known vulnerabilities in the system;"}]},{"id":"ca-5.b_obj","name":"objective","properties":[{"name":"label","value":"CA-5(b)"}],"parts":[{"id":"ca-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-5(b)[1]"}],"prose":"defines the frequency to update the existing plan of action and milestones;"},{"id":"ca-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-5(b)[2]"}],"prose":"updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:","parts":[{"id":"ca-5.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][a]"}],"prose":"security controls assessments;"},{"id":"ca-5.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][b]"}],"prose":"security impact analyses; and"},{"id":"ca-5.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][c]"}],"prose":"continuous monitoring activities."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones"}]}]},{"id":"ca-6","class":"SP800-53","title":"Security Authorization","parameters":[{"id":"ca-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"CA-6"},{"name":"sort-id","value":"ca-06"}],"links":[{"href":"#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab","rel":"reference","text":"OMB Circular A-130"},{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and"},{"id":"ca-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Updates the security authorization {{ ca-6_prm_1 }}."},{"id":"ca-6_fr","name":"item","title":"CA-6(c) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO."}]}]},{"id":"ca-6_gdn","name":"guidance","prose":"Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-10","rel":"related","text":"PM-10"}]},{"id":"ca-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-6(a)"}],"prose":"assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-6(b)"}],"prose":"ensures that the authorizing official authorizes the information system for\n processing before commencing operations;"},{"id":"ca-6.c_obj","name":"objective","properties":[{"name":"label","value":"CA-6(c)"}],"parts":[{"id":"ca-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-6(c)[1]"}],"prose":"defines the frequency to update the security authorization; and"},{"id":"ca-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-6(c)[2]"}],"prose":"updates the security authorization with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that facilitate security authorizations and updates"}]}]},{"id":"ca-7","class":"SP800-53","title":"Continuous Monitoring","parameters":[{"id":"ca-7_prm_1","label":"organization-defined metrics"},{"id":"ca-7_prm_2","label":"organization-defined frequencies"},{"id":"ca-7_prm_3","label":"organization-defined frequencies"},{"id":"ca-7_prm_4","label":"organization-defined personnel or roles","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]},{"id":"ca-7_prm_5","label":"organization-defined frequency","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-7"},{"name":"sort-id","value":"ca-07"}],"links":[{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb","rel":"reference","text":"US-CERT Technical Cyber Security Alerts"},{"href":"#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b","rel":"reference","text":"DoD Information Assurance Vulnerability Alerts"}],"parts":[{"id":"ca-7_smt","name":"statement","prose":"The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:","parts":[{"id":"ca-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishment of {{ ca-7_prm_1 }} to be monitored;"},{"id":"ca-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;"},{"id":"ca-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;"},{"id":"ca-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;"},{"id":"ca-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Correlation and analysis of security-related information generated by assessments\n and monitoring;"},{"id":"ca-7_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Response actions to address results of the analysis of security-related\n information; and"},{"id":"ca-7_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}."},{"id":"ca-7_fr","name":"item","title":"CA-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-7_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually."},{"id":"ca-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates."},{"id":"ca-7_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-7_gdn","name":"guidance","prose":"Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-6","rel":"related","text":"PM-6"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ca-7.a_obj","name":"objective","properties":[{"name":"label","value":"CA-7(a)"}],"parts":[{"id":"ca-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(a)[1]"}],"prose":"develops a continuous monitoring strategy that defines metrics to be\n monitored;"},{"id":"ca-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(a)[2]"}],"prose":"develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;"},{"id":"ca-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(a)[3]"}],"prose":"implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;"}]},{"id":"ca-7.b_obj","name":"objective","properties":[{"name":"label","value":"CA-7(b)"}],"parts":[{"id":"ca-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[1]"}],"prose":"develops a continuous monitoring strategy that defines frequencies for\n monitoring;"},{"id":"ca-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[2]"}],"prose":"defines frequencies for assessments supporting monitoring;"},{"id":"ca-7.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[3]"}],"prose":"develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;"},{"id":"ca-7.b_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(b)[4]"}],"prose":"implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.c_obj","name":"objective","properties":[{"name":"label","value":"CA-7(c)"}],"parts":[{"id":"ca-7.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(c)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security\n control assessments;"},{"id":"ca-7.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(c)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.d_obj","name":"objective","properties":[{"name":"label","value":"CA-7(d)"}],"parts":[{"id":"ca-7.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(d)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;"},{"id":"ca-7.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(d)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;"}]},{"id":"ca-7.e_obj","name":"objective","properties":[{"name":"label","value":"CA-7(e)"}],"parts":[{"id":"ca-7.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(e)[1]"}],"prose":"develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;"},{"id":"ca-7.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(e)[2]"}],"prose":"implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.f_obj","name":"objective","properties":[{"name":"label","value":"CA-7(f)"}],"parts":[{"id":"ca-7.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(f)[1]"}],"prose":"develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;"},{"id":"ca-7.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(f)[2]"}],"prose":"implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;"}]},{"id":"ca-7.g_obj","name":"objective","properties":[{"name":"label","value":"CA-7(g)"}],"parts":[{"id":"ca-7.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[1]"}],"prose":"develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;"},{"id":"ca-7.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[2]"}],"prose":"develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;"},{"id":"ca-7.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[3]"}],"prose":"develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and"},{"id":"ca-7.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(g)[4]"}],"prose":"implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Mechanisms implementing continuous monitoring"}]}],"controls":[{"id":"ca-7.1","class":"SP800-53-enhancement","title":"Independent Assessment","parameters":[{"id":"ca-7.1_prm_1","label":"organization-defined level of independence"}],"properties":[{"name":"label","value":"CA-7(1)"},{"name":"sort-id","value":"ca-07.01"}],"parts":[{"id":"ca-7.1_smt","name":"statement","prose":"The organization employs assessors or assessment teams with {{ ca-7.1_prm_1 }} to monitor the security controls in the information\n system on an ongoing basis."},{"id":"ca-7.1_gdn","name":"guidance","prose":"Organizations can maximize the value of assessments of security controls during\n the continuous monitoring process by requiring that such assessments be conducted\n by assessors or assessment teams with appropriate levels of independence based on\n continuous monitoring strategies. Assessor independence provides a degree of\n impartiality to the monitoring process. To achieve such impartiality, assessors\n should not: (i) create a mutual or conflicting interest with the organizations\n where the assessments are being conducted; (ii) assess their own work; (iii) act\n as management or employees of the organizations they are serving; or (iv) place\n themselves in advocacy positions for the organizations acquiring their\n services."},{"id":"ca-7.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-7.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(1)[1]"}],"prose":"defines a level of independence to be employed to monitor the security controls\n in the information system on an ongoing basis; and"},{"id":"ca-7.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-7(1)[2]"}],"prose":"employs assessors or assessment teams with the organization-defined level of\n independence to monitor the security controls in the information system on an\n ongoing basis."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nsecurity impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-7.3","class":"SP800-53-enhancement","title":"Trend Analyses","properties":[{"name":"label","value":"CA-7(3)"},{"name":"sort-id","value":"ca-07.03"}],"parts":[{"id":"ca-7.3_smt","name":"statement","prose":"The organization employs trend analyses to determine if security control\n implementations, the frequency of continuous monitoring activities, and/or the\n types of activities used in the continuous monitoring process need to be modified\n based on empirical data."},{"id":"ca-7.3_gdn","name":"guidance","prose":"Trend analyses can include, for example, examining recent threat information\n regarding the types of threat events that have occurred within the organization or\n across the federal government, success rates of certain types of cyber attacks,\n emerging vulnerabilities in information technologies, evolving social engineering\n techniques, results from multiple security control assessments, the effectiveness\n of configuration settings, and findings from Inspectors General or auditors."},{"id":"ca-7.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization employs trend analyses to determine if the following\n items need to be modified based on empirical data:","parts":[{"id":"ca-7.3_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(3)[1]"}],"prose":"security control implementations;"},{"id":"ca-7.3_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(3)[2]"}],"prose":"the frequency of continuous monitoring activities; and/or"},{"id":"ca-7.3_obj.3","name":"objective","properties":[{"name":"label","value":"CA-7(3)[3]"}],"prose":"the types of activities used in the continuous monitoring process."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Continuous monitoring strategy\\n\\nSecurity assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nsecurity impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ca-8","class":"SP800-53","title":"Penetration Testing","parameters":[{"id":"ca-8_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-8_prm_2","label":"organization-defined information systems or system components"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-8"},{"name":"sort-id","value":"ca-08"}],"parts":[{"id":"ca-8_smt","name":"statement","prose":"The organization conducts penetration testing {{ ca-8_prm_1 }} on\n {{ ca-8_prm_2 }}.","parts":[{"id":"ca-8_fr","name":"item","title":"CA-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-8_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)\n "}]}]},{"id":"ca-8_gdn","name":"guidance","prose":"Penetration testing is a specialized type of assessment conducted on information\n systems or individual system components to identify vulnerabilities that could be\n exploited by adversaries. Such testing can be used to either validate vulnerabilities\n or determine the degree of resistance organizational information systems have to\n adversaries within a set of specified constraints (e.g., time, resources, and/or\n skills). Penetration testing attempts to duplicate the actions of adversaries in\n carrying out hostile cyber attacks against organizations and provides a more in-depth\n analysis of security-related weaknesses/deficiencies. Organizations can also use the\n results of vulnerability analyses to support penetration testing activities.\n Penetration testing can be conducted on the hardware, software, or firmware\n components of an information system and can exercise both physical and technical\n security controls. A standard method for penetration testing includes, for example:\n (i) pretest analysis based on full knowledge of the target system; (ii) pretest\n identification of potential vulnerabilities based on pretest analysis; and (iii)\n testing designed to determine exploitability of identified vulnerabilities. All\n parties agree to the rules of engagement before the commencement of penetration\n testing scenarios. Organizations correlate the penetration testing rules of\n engagement with the tools, techniques, and procedures that are anticipated to be\n employed by adversaries carrying out attacks. Organizational risk assessments guide\n decisions on the level of independence required for personnel conducting penetration\n testing.","links":[{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"ca-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-8_obj.1","name":"objective","properties":[{"name":"label","value":"CA-8[1]"}],"prose":"defines information systems or system components on which penetration testing is\n to be conducted;"},{"id":"ca-8_obj.2","name":"objective","properties":[{"name":"label","value":"CA-8[2]"}],"prose":"defines the frequency to conduct penetration testing on organization-defined\n information systems or system components; and"},{"id":"ca-8_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-8[3]"}],"prose":"conducts penetration testing on organization-defined information systems or system\n components with the organization-defined frequency."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities,\n system/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting penetration testing"}]}],"controls":[{"id":"ca-8.1","class":"SP800-53-enhancement","title":"Independent Penetration Agent or Team","properties":[{"name":"label","value":"CA-8(1)"},{"name":"sort-id","value":"ca-08.01"}],"parts":[{"id":"ca-8.1_smt","name":"statement","prose":"The organization employs an independent penetration agent or penetration team to\n perform penetration testing on the information system or system components."},{"id":"ca-8.1_gdn","name":"guidance","prose":"Independent penetration agents or teams are individuals or groups who conduct\n impartial penetration testing of organizational information systems. Impartiality\n implies that penetration agents or teams are free from any perceived or actual\n conflicts of interest with regard to the development, operation, or management of\n the information systems that are the targets of the penetration testing.\n Supplemental guidance for CA-2 (1) provides additional information regarding\n independent assessments that can be applied to penetration testing.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"}]},{"id":"ca-8.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization employs an independent penetration agent or\n penetration team to perform penetration testing on the information system or\n system components. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ca-9","class":"SP800-53","title":"Internal System Connections","parameters":[{"id":"ca-9_prm_1","label":"organization-defined information system components or classes of\n components"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-9"},{"name":"sort-id","value":"ca-09"}],"parts":[{"id":"ca-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and"},{"id":"ca-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated."}]},{"id":"ca-9_gdn","name":"guidance","prose":"This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-9.a_obj","name":"objective","properties":[{"name":"label","value":"CA-9(a)"}],"parts":[{"id":"ca-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-9(a)[1]"}],"prose":"defines information system components or classes of components to be authorized\n as internal connections to the information system;"},{"id":"ca-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-9(a)[2]"}],"prose":"authorizes internal connections of organization-defined information system\n components or classes of components to the information system;"}]},{"id":"ca-9.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-9(b)"}],"prose":"documents, for each internal connection:","parts":[{"id":"ca-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-9(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-9(b)[2]"}],"prose":"the security requirements; and"},{"id":"ca-9.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-9(b)[3]"}],"prose":"the nature of the information communicated."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cm","class":"family","title":"Configuration Management","controls":[{"id":"cm-1","class":"SP800-53","title":"Configuration Management Policy and Procedures","parameters":[{"id":"cm-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cm-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cm-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-1"},{"name":"sort-id","value":"cm-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cm-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cm-1_prm_1 }}:","parts":[{"id":"cm-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cm-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and"}]},{"id":"cm-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cm-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Configuration management policy {{ cm-1_prm_2 }}; and"},{"id":"cm-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Configuration management procedures {{ cm-1_prm_3 }}."}]}]},{"id":"cm-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cm-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)"}],"parts":[{"id":"cm-1.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(1)"}],"parts":[{"id":"cm-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1]"}],"prose":"develops and documents a configuration management policy that addresses:","parts":[{"id":"cm-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cm-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cm-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cm-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cm-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cm-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cm-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cm-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the configuration management policy is to\n be disseminated;"},{"id":"cm-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-1(a)(1)[3]"}],"prose":"disseminates the configuration management policy to organization-defined\n personnel or roles;"}]},{"id":"cm-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)"}],"parts":[{"id":"cm-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;"},{"id":"cm-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cm-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"cm-1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)"}],"parts":[{"id":"cm-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(1)"}],"parts":[{"id":"cm-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management policy;"},{"id":"cm-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(1)[2]"}],"prose":"reviews and updates the current configuration management policy with the\n organization-defined frequency;"}]},{"id":"cm-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(2)"}],"parts":[{"id":"cm-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management procedures; and"},{"id":"cm-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(2)[2]"}],"prose":"reviews and updates the current configuration management procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"cm-2","class":"SP800-53","title":"Baseline Configuration","properties":[{"name":"label","value":"CM-2"},{"name":"sort-id","value":"cm-02"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-2_smt","name":"statement","prose":"The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system."},{"id":"cm-2_gdn","name":"guidance","prose":"This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#pm-5","rel":"related","text":"PM-5"},{"href":"#pm-7","rel":"related","text":"PM-7"}]},{"id":"cm-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-2[1]"}],"prose":"develops and documents a current baseline configuration of the information system;\n and"},{"id":"cm-2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2[2]"}],"prose":"maintains, under configuration control, a current baseline configuration of the\n information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration"}]}],"controls":[{"id":"cm-2.1","class":"SP800-53-enhancement","title":"Reviews and Updates","parameters":[{"id":"cm-2.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually or when a significant change occurs"}]},{"id":"cm-2.1_prm_2","label":"Assignment organization-defined circumstances","constraints":[{"detail":"to include when directed by the JAB"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-2(1)"},{"name":"sort-id","value":"cm-02.01"}],"parts":[{"id":"cm-2.1_smt","name":"statement","prose":"The organization reviews and updates the baseline configuration of the information\n system:","parts":[{"id":"cm-2.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"\n {{ cm-2.1_prm_1 }};"},{"id":"cm-2.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"When required due to {{ cm-2.1_prm_2 }}; and"},{"id":"cm-2.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"As an integral part of information system component installations and\n upgrades."},{"id":"cm-2.1_fr","name":"item","title":"CM-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-2.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(a) Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7."}]}]},{"id":"cm-2.1_gdn","name":"guidance","links":[{"href":"#cm-5","rel":"related","text":"CM-5"}]},{"id":"cm-2.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2.1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-2(1)(a)"}],"parts":[{"id":"cm-2.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(1)(a)[1]"}],"prose":"defines the frequency to review and update the baseline configuration of the\n information system;"},{"id":"cm-2.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(1)(a)[2]"}],"prose":"reviews and updates the baseline configuration of the information system\n with the organization-defined frequency;"}],"links":[{"href":"#cm-2.1_smt.a","rel":"corresp","text":"CM-2(1)(a)"}]},{"id":"cm-2.1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-2(1)(b)"}],"parts":[{"id":"cm-2.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(1)(b)[1]"}],"prose":"defines circumstances that require the baseline configuration of the\n information system to be reviewed and updated;"},{"id":"cm-2.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(1)(b)[2]"}],"prose":"reviews and updates the baseline configuration of the information system\n when required due to organization-defined circumstances; and"}],"links":[{"href":"#cm-2.1_smt.b","rel":"corresp","text":"CM-2(1)(b)"}]},{"id":"cm-2.1.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(1)(c)"}],"prose":"reviews and updates the baseline configuration of the information system as an\n integral part of information system component installations and upgrades.","links":[{"href":"#cm-2.1_smt.c","rel":"corresp","text":"CM-2(1)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting review and update of the baseline\n configuration"}]}]},{"id":"cm-2.2","class":"SP800-53-enhancement","title":"Automation Support for Accuracy / Currency","properties":[{"name":"label","value":"CM-2(2)"},{"name":"sort-id","value":"cm-02.02"}],"parts":[{"id":"cm-2.2_smt","name":"statement","prose":"The organization employs automated mechanisms to maintain an up-to-date, complete,\n accurate, and readily available baseline configuration of the information\n system."},{"id":"cm-2.2_gdn","name":"guidance","prose":"Automated mechanisms that help organizations maintain consistent baseline\n configurations for information systems include, for example, hardware and software\n inventory tools, configuration management tools, and network management tools.\n Such tools can be deployed and/or allocated as common controls, at the information\n system level, or at the operating system or component level (e.g., on\n workstations, servers, notebook computers, network components, or mobile devices).\n Tools can be used, for example, to track version numbers on operating system\n applications, types of software installed, and current patch levels. This control\n enhancement can be satisfied by the implementation of CM-8 (2) for organizations\n that choose to combine information system component inventory and baseline\n configuration activities.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"cm-2.2_obj","name":"objective","prose":"Determine if the organization employs automated mechanisms to maintain: ","parts":[{"id":"cm-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[1]"}],"prose":"an up-to-date baseline configuration of the information system;"},{"id":"cm-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[2]"}],"prose":"a complete baseline configuration of the information system;"},{"id":"cm-2.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[3]"}],"prose":"an accurate baseline configuration of the information system; and"},{"id":"cm-2.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[4]"}],"prose":"a readily available baseline configuration of the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nconfiguration change control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms implementing baseline configuration maintenance"}]}]},{"id":"cm-2.3","class":"SP800-53-enhancement","title":"Retention of Previous Configurations","parameters":[{"id":"cm-2.3_prm_1","label":"organization-defined previous versions of baseline configurations of the\n information system","constraints":[{"detail":"organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components"}]}],"properties":[{"name":"label","value":"CM-2(3)"},{"name":"sort-id","value":"cm-02.03"}],"parts":[{"id":"cm-2.3_smt","name":"statement","prose":"The organization retains {{ cm-2.3_prm_1 }} to support\n rollback."},{"id":"cm-2.3_gdn","name":"guidance","prose":"Retaining previous versions of baseline configurations to support rollback may\n include, for example, hardware, software, firmware, configuration files, and\n configuration records."},{"id":"cm-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(3)[1]"}],"prose":"defines previous versions of baseline configurations of the information system\n to be retained to support rollback; and"},{"id":"cm-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(3)[2]"}],"prose":"retains organization-defined previous versions of baseline configurations of\n the information system to support rollback."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncopies of previous baseline configuration versions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations"}]}]},{"id":"cm-2.7","class":"SP800-53-enhancement","title":"Configure Systems, Components, or Devices for High-risk Areas","parameters":[{"id":"cm-2.7_prm_1","label":"organization-defined information systems, system components, or\n devices"},{"id":"cm-2.7_prm_2","label":"organization-defined configurations"},{"id":"cm-2.7_prm_3","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"CM-2(7)"},{"name":"sort-id","value":"cm-02.07"}],"parts":[{"id":"cm-2.7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-2.7_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Issues {{ cm-2.7_prm_1 }} with {{ cm-2.7_prm_2 }}\n to individuals traveling to locations that the organization deems to be of\n significant risk; and"},{"id":"cm-2.7_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Applies {{ cm-2.7_prm_3 }} to the devices when the individuals\n return."}]},{"id":"cm-2.7_gdn","name":"guidance","prose":"When it is known that information systems, system components, or devices (e.g.,\n notebook computers, mobile devices) will be located in high-risk areas, additional\n security controls may be implemented to counter the greater threat in such areas\n coupled with the lack of physical security relative to organizational-controlled\n areas. For example, organizational policies and procedures for notebook computers\n used by individuals departing on and returning from travel include, for example,\n determining which locations are of concern, defining required configurations for\n the devices, ensuring that the devices are configured as intended before travel is\n initiated, and applying specific safeguards to the device after travel is\n completed. Specially configured notebook computers include, for example, computers\n with sanitized hard drives, limited applications, and additional hardening (e.g.,\n more stringent configuration settings). Specified safeguards applied to mobile\n devices upon return from travel include, for example, examining the device for\n signs of physical tampering and purging/reimaging the hard disk drive. Protecting\n information residing on mobile devices is covered in the media protection\n family."},{"id":"cm-2.7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2.7.a_obj","name":"objective","properties":[{"name":"label","value":"CM-2(7)(a)"}],"parts":[{"id":"cm-2.7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(7)(a)[1]"}],"prose":"defines information systems, system components, or devices to be issued to\n individuals traveling to locations that the organization deems to be of\n significant risk;"},{"id":"cm-2.7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(7)(a)[2]"}],"prose":"defines configurations to be employed on organization-defined information\n systems, system components, or devices issued to individuals traveling to\n such locations;"},{"id":"cm-2.7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(7)(a)[3]"}],"prose":"issues organization-defined information systems, system components, or\n devices with organization-defined configurations to individuals traveling to\n locations that the organization deems to be of significant risk;"}],"links":[{"href":"#cm-2.7_smt.a","rel":"corresp","text":"CM-2(7)(a)"}]},{"id":"cm-2.7.b_obj","name":"objective","properties":[{"name":"label","value":"CM-2(7)(b)"}],"parts":[{"id":"cm-2.7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(7)(b)[1]"}],"prose":"defines security safeguards to be applied to the devices when the\n individuals return; and"},{"id":"cm-2.7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(7)(b)[2]"}],"prose":"applies organization-defined safeguards to the devices when the individuals\n return."}],"links":[{"href":"#cm-2.7_smt.b","rel":"corresp","text":"CM-2(7)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations"}]}]}]},{"id":"cm-3","class":"SP800-53","title":"Configuration Change Control","parameters":[{"id":"cm-3_prm_1","label":"organization-defined time period"},{"id":"cm-3_prm_2","label":"organization-defined configuration change control element (e.g., committee,\n board)"},{"id":"cm-3_prm_3"},{"id":"cm-3_prm_4","depends-on":"cm-3_prm_3","label":"organization-defined frequency"},{"id":"cm-3_prm_5","depends-on":"cm-3_prm_3","label":"organization-defined configuration change conditions"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-3"},{"name":"sort-id","value":"cm-03"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines the types of changes to the information system that are\n configuration-controlled;"},{"id":"cm-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;"},{"id":"cm-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents configuration change decisions associated with the information\n system;"},{"id":"cm-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implements approved configuration-controlled changes to the information\n system;"},{"id":"cm-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Retains records of configuration-controlled changes to the information system for\n {{ cm-3_prm_1 }};"},{"id":"cm-3_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Audits and reviews activities associated with configuration-controlled changes to\n the information system; and"},{"id":"cm-3_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Coordinates and provides oversight for configuration change control activities\n through {{ cm-3_prm_2 }} that convenes {{ cm-3_prm_3 }}."},{"id":"cm-3_fr","name":"item","title":"CM-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-3_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO."},{"id":"cm-3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(e) Guidance:"}],"prose":"In accordance with record retention policies and procedures."}]}]},{"id":"cm-3_gdn","name":"guidance","prose":"Configuration change controls for organizational information systems involve the\n systematic proposal, justification, implementation, testing, review, and disposition\n of changes to the systems, including system upgrades and modifications. Configuration\n change control includes changes to baseline configurations for components and\n configuration items of information systems, changes to configuration settings for\n information technology products (e.g., operating systems, applications, firewalls,\n routers, and mobile devices), unscheduled/unauthorized changes, and changes to\n remediate vulnerabilities. Typical processes for managing configuration changes to\n information systems include, for example, Configuration Control Boards that approve\n proposed changes to systems. For new development information systems or systems\n undergoing major upgrades, organizations consider including representatives from\n development organizations on the Configuration Control Boards. Auditing of changes\n includes activities before and after changes are made to organizational information\n systems and the auditing activities required to implement such changes.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"cm-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(a)"}],"prose":"determines the type of changes to the information system that must be\n configuration-controlled;"},{"id":"cm-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-3(b)"}],"prose":"reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;"},{"id":"cm-3.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-3(c)"}],"prose":"documents configuration change decisions associated with the information\n system;"},{"id":"cm-3.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(d)"}],"prose":"implements approved configuration-controlled changes to the information\n system;"},{"id":"cm-3.e_obj","name":"objective","properties":[{"name":"label","value":"CM-3(e)"}],"parts":[{"id":"cm-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(e)[1]"}],"prose":"defines a time period to retain records of configuration-controlled changes to\n the information system;"},{"id":"cm-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(e)[2]"}],"prose":"retains records of configuration-controlled changes to the information system\n for the organization-defined time period;"}]},{"id":"cm-3.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(f)"}],"prose":"audits and reviews activities associated with configuration-controlled changes to\n the information system;"},{"id":"cm-3.g_obj","name":"objective","properties":[{"name":"label","value":"CM-3(g)"}],"parts":[{"id":"cm-3.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(g)[1]"}],"prose":"defines a configuration change control element (e.g., committee, board)\n responsible for coordinating and providing oversight for configuration change\n control activities;"},{"id":"cm-3.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(g)[2]"}],"prose":"defines the frequency with which the configuration change control element must\n convene; and/or"},{"id":"cm-3.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(g)[3]"}],"prose":"defines configuration change conditions that prompt the configuration change\n control element to convene; and"},{"id":"cm-3.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(g)[4]"}],"prose":"coordinates and provides oversight for configuration change control activities\n through organization-defined configuration change control element that convenes\n at organization-defined frequency and/or for any organization-defined\n configuration change conditions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\nsecurity plan\\n\\nchange control records\\n\\ninformation system audit records\\n\\nchange control audit and review reports\\n\\nagenda /minutes from configuration change control oversight meetings\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nmembers of change control board or similar"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for configuration change control\\n\\nautomated mechanisms that implement configuration change control"}]}],"controls":[{"id":"cm-3.1","class":"SP800-53-enhancement","title":"Automated Document / Notification / Prohibition of Changes","parameters":[{"id":"cm-3.1_prm_1","label":"organized-defined approval authorities"},{"id":"cm-3.1_prm_2","label":"organization-defined time period","constraints":[{"detail":"organization agreed upon time period"}]},{"id":"cm-3.1_prm_3","label":"organization-defined personnel","constraints":[{"detail":"organization defined configuration management approval authorities"}]}],"properties":[{"name":"label","value":"CM-3(1)"},{"name":"sort-id","value":"cm-03.01"}],"parts":[{"id":"cm-3.1_smt","name":"statement","prose":"The organization employs automated mechanisms to:","parts":[{"id":"cm-3.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Document proposed changes to the information system;"},{"id":"cm-3.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Notify {{ cm-3.1_prm_1 }} of proposed changes to the information\n system and request change approval;"},{"id":"cm-3.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Highlight proposed changes to the information system that have not been\n approved or disapproved by {{ cm-3.1_prm_2 }};"},{"id":"cm-3.1_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Prohibit changes to the information system until designated approvals are\n received;"},{"id":"cm-3.1_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Document all changes to the information system; and"},{"id":"cm-3.1_smt.f","name":"item","properties":[{"name":"label","value":"(f)"}],"prose":"Notify {{ cm-3.1_prm_3 }} when approved changes to the\n information system are completed."}]},{"id":"cm-3.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-3.1.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(1)(a)"}],"prose":"employs automated mechanisms to document proposed changes to the information\n system;","links":[{"href":"#cm-3.1_smt.a","rel":"corresp","text":"CM-3(1)(a)"}]},{"id":"cm-3.1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-3(1)(b)"}],"parts":[{"id":"cm-3.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(1)(b)[1]"}],"prose":"defines approval authorities to be notified of proposed changes to the\n information system and request change approval;"},{"id":"cm-3.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(1)(b)[2]"}],"prose":"employs automated mechanisms to notify organization-defined approval\n authorities of proposed changes to the information system and request change\n approval;"}],"links":[{"href":"#cm-3.1_smt.b","rel":"corresp","text":"CM-3(1)(b)"}]},{"id":"cm-3.1.c_obj","name":"objective","properties":[{"name":"label","value":"CM-3(1)(c)"}],"parts":[{"id":"cm-3.1.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(1)(c)[1]"}],"prose":"defines the time period within which proposed changes to the information\n system that have not been approved or disapproved must be highlighted;"},{"id":"cm-3.1.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(1)(c)[2]"}],"prose":"employs automated mechanisms to highlight proposed changes to the\n information system that have not been approved or disapproved by\n organization-defined time period;"}],"links":[{"href":"#cm-3.1_smt.c","rel":"corresp","text":"CM-3(1)(c)"}]},{"id":"cm-3.1.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(1)(d)"}],"prose":"employs automated mechanisms to prohibit changes to the information system\n until designated approvals are received;","links":[{"href":"#cm-3.1_smt.d","rel":"corresp","text":"CM-3(1)(d)"}]},{"id":"cm-3.1.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(1)(e)"}],"prose":"employs automated mechanisms to document all changes to the information\n system;","links":[{"href":"#cm-3.1_smt.e","rel":"corresp","text":"CM-3(1)(e)"}]},{"id":"cm-3.1.f_obj","name":"objective","properties":[{"name":"label","value":"CM-3(1)(f)"}],"parts":[{"id":"cm-3.1.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(1)(f)[1]"}],"prose":"defines personnel to be notified when approved changes to the information\n system are completed; and"},{"id":"cm-3.1.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(1)(f)[2]"}],"prose":"employs automated mechanisms to notify organization-defined personnel when\n approved changes to the information system are completed."}],"links":[{"href":"#cm-3.1_smt.f","rel":"corresp","text":"CM-3(1)(f)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\nautomated configuration control mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nchange approval requests\\n\\nchange approvals\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for configuration change control\\n\\nautomated mechanisms implementing configuration change control activities"}]}]},{"id":"cm-3.2","class":"SP800-53-enhancement","title":"Test / Validate / Document Changes","properties":[{"name":"label","value":"CM-3(2)"},{"name":"sort-id","value":"cm-03.02"}],"parts":[{"id":"cm-3.2_smt","name":"statement","prose":"The organization tests, validates, and documents changes to the information system\n before implementing the changes on the operational system."},{"id":"cm-3.2_gdn","name":"guidance","prose":"Changes to information systems include modifications to hardware, software, or\n firmware components and configuration settings defined in CM-6. Organizations\n ensure that testing does not interfere with information system operations.\n Individuals/groups conducting tests understand organizational security policies\n and procedures, information system security policies and procedures, and the\n specific health, safety, and environmental risks associated with particular\n facilities/processes. Operational systems may need to be taken off-line, or\n replicated to the extent feasible, before testing can be conducted. If information\n systems must be taken off-line for testing, the tests are scheduled to occur\n during planned system outages whenever possible. If testing cannot be conducted on\n operational systems, organizations employ compensating controls (e.g., testing on\n replicated systems)."},{"id":"cm-3.2_obj","name":"objective","prose":"Determine if the organization, before implementing changes on the operational\n system:","parts":[{"id":"cm-3.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(2)[1]"}],"prose":"tests changes to the information system;"},{"id":"cm-3.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(2)[2]"}],"prose":"validates changes to the information system; and"},{"id":"cm-3.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(2)[3]"}],"prose":"documents changes to the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing information system configuration change control\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ntest records\\n\\nvalidation records\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for configuration change control\\n\\nautomated mechanisms supporting and/or implementing testing, validating, and\n documenting information system changes"}]}]},{"id":"cm-3.4","class":"SP800-53-enhancement","title":"Security Representative","parameters":[{"id":"cm-3.4_prm_1","label":"organization-defined configuration change control element","constraints":[{"detail":"Configuration control board (CCB) or similar (as defined in CM-3)"}]}],"properties":[{"name":"label","value":"CM-3(4)"},{"name":"sort-id","value":"cm-03.04"}],"parts":[{"id":"cm-3.4_smt","name":"statement","prose":"The organization requires an information security representative to be a member of\n the {{ cm-3.4_prm_1 }}."},{"id":"cm-3.4_gdn","name":"guidance","prose":"Information security representatives can include, for example, senior agency\n information security officers, information system security officers, or\n information system security managers. Representation by personnel with information\n security expertise is important because changes to information system\n configurations can have unintended side effects, some of which may be\n security-relevant. Detecting such changes early in the process can help avoid\n unintended, negative consequences that could ultimately affect the security state\n of organizational information systems. The configuration change control element in\n this control enhancement reflects the change control elements defined by\n organizations in CM-3."},{"id":"cm-3.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-3.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-3(4)[1]"}],"prose":"specifies the configuration change control elements (as defined in CM-3g) of\n which an information security representative is to be a member; and"},{"id":"cm-3.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(4)[2]"}],"prose":"requires an information security representative to be a member of the specified\n configuration control element."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for configuration change control"}]}]},{"id":"cm-3.6","class":"SP800-53-enhancement","title":"Cryptography Management","parameters":[{"id":"cm-3.6_prm_1","label":"organization-defined security safeguards","constraints":[{"detail":"All security safeguards that rely on cryptography"}]}],"properties":[{"name":"label","value":"CM-3(6)"},{"name":"sort-id","value":"cm-03.06"}],"parts":[{"id":"cm-3.6_smt","name":"statement","prose":"The organization ensures that cryptographic mechanisms used to provide {{ cm-3.6_prm_1 }} are under configuration management."},{"id":"cm-3.6_gdn","name":"guidance","prose":"Regardless of the cryptographic means employed (e.g., public key, private key,\n shared secrets), organizations ensure that there are processes and procedures in\n place to effectively manage those means. For example, if devices use certificates\n as a basis for identification and authentication, there needs to be a process in\n place to address the expiration of those certificates.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"cm-3.6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-3.6_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(6)[1]"}],"prose":"defines security safeguards provided by cryptographic mechanisms that are to be\n under configuration management; and"},{"id":"cm-3.6_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(6)[2]"}],"prose":"ensures that cryptographic mechanisms used to provide organization-defined\n security safeguards are under configuration management."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for configuration change control\\n\\ncryptographic mechanisms implementing organizational security safeguards"}]}]}]},{"id":"cm-4","class":"SP800-53","title":"Security Impact Analysis","properties":[{"name":"label","value":"CM-4"},{"name":"sort-id","value":"cm-04"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-4_smt","name":"statement","prose":"The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation."},{"id":"cm-4_gdn","name":"guidance","prose":"Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"cm-4_obj","name":"objective","prose":"Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security impact analysis"}]}],"controls":[{"id":"cm-4.1","class":"SP800-53-enhancement","title":"Separate Test Environments","properties":[{"name":"label","value":"CM-4(1)"},{"name":"sort-id","value":"cm-04.01"}],"parts":[{"id":"cm-4.1_smt","name":"statement","prose":"The organization analyzes changes to the information system in a separate test\n environment before implementation in an operational environment, looking for\n security impacts due to flaws, weaknesses, incompatibility, or intentional\n malice."},{"id":"cm-4.1_gdn","name":"guidance","prose":"Separate test environment in this context means an environment that is physically\n or logically isolated and distinct from the operational environment. The\n separation is sufficient to ensure that activities in the test environment do not\n impact activities in the operational environment, and information in the\n operational environment is not inadvertently transmitted to the test environment.\n Separate environments can be achieved by physical or logical means. If physically\n separate test environments are not used, organizations determine the strength of\n mechanism required when implementing logical separation (e.g., separation achieved\n through virtual machines).","links":[{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sc-3","rel":"related","text":"SC-3"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-4.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-4.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-4(1)[1]"}],"prose":"analyzes changes to the information system in a separate test environment\n before implementation in an operational environment;"},{"id":"cm-4.1_obj.2","name":"objective","properties":[{"name":"label","value":"CM-4(1)[2]"}],"prose":"when analyzing changes to the information system in a separate test\n environment, looks for security impacts due to:","parts":[{"id":"cm-4.1_obj.2.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-4(1)[2][a]"}],"prose":"flaws;"},{"id":"cm-4.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-4(1)[2][b]"}],"prose":"weaknesses;"},{"id":"cm-4.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-4(1)[2][c]"}],"prose":"incompatibility; and"},{"id":"cm-4.1_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-4(1)[2][d]"}],"prose":"intentional malice."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs information system design\n documentation\\n\\ninformation system architecture and configuration documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\ndocumentation evidence of separate test and operational environments\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security impact analysis\\n\\nautomated mechanisms supporting and/or implementing security impact analysis of\n changes"}]}]}]},{"id":"cm-5","class":"SP800-53","title":"Access Restrictions for Change","properties":[{"name":"label","value":"CM-5"},{"name":"sort-id","value":"cm-05"}],"parts":[{"id":"cm-5_smt","name":"statement","prose":"The organization defines, documents, approves, and enforces physical and logical\n access restrictions associated with changes to the information system."},{"id":"cm-5_gdn","name":"guidance","prose":"Any changes to the hardware, software, and/or firmware components of information\n systems can potentially have significant effects on the overall security of the\n systems. Therefore, organizations permit only qualified and authorized individuals to\n access information systems for purposes of initiating changes, including upgrades and\n modifications. Organizations maintain records of access to ensure that configuration\n change control is implemented and to support after-the-fact actions should\n organizations discover any unauthorized changes. Access restrictions for change also\n include software libraries. Access restrictions include, for example, physical and\n logical access controls (see AC-3 and PE-3), workflow automation, media libraries,\n abstract layers (e.g., changes implemented into third-party interfaces rather than\n directly into information systems), and change windows (e.g., changes occur only\n during specified times, making unauthorized changes easy to discover).","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"cm-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-5_obj.1","name":"objective","properties":[{"name":"label","value":"CM-5[1]"}],"prose":"defines physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.2","name":"objective","properties":[{"name":"label","value":"CM-5[2]"}],"prose":"documents physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.3","name":"objective","properties":[{"name":"label","value":"CM-5[3]"}],"prose":"approves physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.4","name":"objective","properties":[{"name":"label","value":"CM-5[4]"}],"prose":"enforces physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.5","name":"objective","properties":[{"name":"label","value":"CM-5[5]"}],"prose":"defines logical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.6","name":"objective","properties":[{"name":"label","value":"CM-5[6]"}],"prose":"documents logical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.7","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5[7]"}],"prose":"approves logical access restrictions associated with changes to the information\n system; and"},{"id":"cm-5_obj.8","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5[8]"}],"prose":"enforces logical access restrictions associated with changes to the information\n system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access approvals\\n\\nphysical access approvals\\n\\naccess credentials\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with logical access control responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting/implementing/enforcing access restrictions\n associated with changes to the information system"}]}],"controls":[{"id":"cm-5.1","class":"SP800-53-enhancement","title":"Automated Access Enforcement / Auditing","properties":[{"name":"label","value":"CM-5(1)"},{"name":"sort-id","value":"cm-05.01"}],"parts":[{"id":"cm-5.1_smt","name":"statement","prose":"The information system enforces access restrictions and supports auditing of the\n enforcement actions."},{"id":"cm-5.1_gdn","name":"guidance","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"cm-5.1_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"cm-5.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(1)[1]"}],"prose":"enforces access restrictions for change; and"},{"id":"cm-5.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(1)[2]"}],"prose":"supports auditing of the enforcement actions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms implementing enforcement of access restrictions for\n changes to the information system\\n\\nautomated mechanisms supporting auditing of enforcement actions"}]}]},{"id":"cm-5.2","class":"SP800-53-enhancement","title":"Review System Changes","parameters":[{"id":"cm-5.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every thirty (30) days"}]},{"id":"cm-5.2_prm_2","label":"organization-defined circumstances"}],"properties":[{"name":"label","value":"CM-5(2)"},{"name":"sort-id","value":"cm-05.02"}],"parts":[{"id":"cm-5.2_smt","name":"statement","prose":"The organization reviews information system changes {{ cm-5.2_prm_1 }} and {{ cm-5.2_prm_2 }} to determine\n whether unauthorized changes have occurred."},{"id":"cm-5.2_gdn","name":"guidance","prose":"Indications that warrant review of information system changes and the specific\n circumstances justifying such reviews may be obtained from activities carried out\n by organizations during the configuration change process.","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#pe-8","rel":"related","text":"PE-8"}]},{"id":"cm-5.2_obj","name":"objective","prose":"Determine if the organization, in an effort to ascertain whether unauthorized\n changes have occurred:","parts":[{"id":"cm-5.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(2)[1]"}],"prose":"defines the frequency to review information system changes;"},{"id":"cm-5.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(2)[2]"}],"prose":"defines circumstances that warrant review of information system changes;"},{"id":"cm-5.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(2)[3]"}],"prose":"reviews information system changes with the organization-defined frequency;\n and"},{"id":"cm-5.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(2)[4]"}],"prose":"reviews information system changes with the organization-defined\n circumstances."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nreviews of information system changes\\n\\naudit and review reports\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting/implementing information system reviews to\n determine whether unauthorized changes have occurred"}]}]},{"id":"cm-5.3","class":"SP800-53-enhancement","title":"Signed Components","parameters":[{"id":"cm-5.3_prm_1","label":"organization-defined software and firmware components"}],"properties":[{"name":"label","value":"CM-5(3)"},{"name":"sort-id","value":"cm-05.03"}],"parts":[{"id":"cm-5.3_smt","name":"statement","prose":"The information system prevents the installation of {{ cm-5.3_prm_1 }} without verification that the component has been\n digitally signed using a certificate that is recognized and approved by the\n organization.","parts":[{"id":"cm-5.3_fr","name":"item","title":"CM-5 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-5.3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized."}]}]},{"id":"cm-5.3_gdn","name":"guidance","prose":"Software and firmware components prevented from installation unless signed with\n recognized and approved certificates include, for example, software and firmware\n version updates, patches, service packs, device drivers, and basic input output\n system (BIOS) updates. Organizations can identify applicable software and firmware\n components by type, by specific items, or a combination of both. Digital\n signatures and organizational verification of such signatures, is a method of code\n authentication.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"cm-5.3_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cm-5.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(3)[1]"}],"prose":"the organization defines software and firmware components that the information\n system will prevent from being installed without verification that such\n components have been digitally signed using a certificate that is recognized\n and approved by the organization; and"},{"id":"cm-5.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(3)[2]"}],"prose":"the information system prevents the installation of organization-defined\n software and firmware components without verification that such components have\n been digitally signed using a certificate that is recognized and approved by\n the organization."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nlist of software and firmware components to be prohibited from installation\n without a recognized and approved certificate\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms preventing installation of software and firmware\n components not signed with an organization-recognized and approved\n certificate"}]}]},{"id":"cm-5.5","class":"SP800-53-enhancement","title":"Limit Production / Operational Privileges","parameters":[{"id":"cm-5.5_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-5(5)"},{"name":"sort-id","value":"cm-05.05"}],"parts":[{"id":"cm-5.5_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-5.5_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Limits privileges to change information system components and system-related\n information within a production or operational environment; and"},{"id":"cm-5.5_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Reviews and reevaluates privileges {{ cm-5.5_prm_1 }}."}]},{"id":"cm-5.5_gdn","name":"guidance","prose":"In many organizations, information systems support multiple core missions/business\n functions. Limiting privileges to change information system components with\n respect to operational systems is necessary because changes to a particular\n information system component may have far-reaching effects on mission/business\n processes supported by the system where the component resides. The complex,\n many-to-many relationships between systems and mission/business processes are in\n some cases, unknown to developers.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"}]},{"id":"cm-5.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-5.5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(5)(a)"}],"prose":"limits privileges to change information system components and system-related\n information within a production or operational environment;","links":[{"href":"#cm-5.5_smt.a","rel":"corresp","text":"CM-5(5)(a)"}]},{"id":"cm-5.5.b_obj","name":"objective","properties":[{"name":"label","value":"CM-5(5)(b)"}],"parts":[{"id":"cm-5.5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(5)(b)[1]"}],"prose":"defines the frequency to review and reevaluate privileges; and"},{"id":"cm-5.5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(5)(b)[2]"}],"prose":"reviews and reevaluates privileges with the organization-defined\n frequency."}],"links":[{"href":"#cm-5.5_smt.b","rel":"corresp","text":"CM-5(5)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nuser privilege reviews\\n\\nuser privilege recertifications\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting and/or implementing access restrictions for\n change"}]}]}]},{"id":"cm-6","class":"SP800-53","title":"Configuration Settings","parameters":[{"id":"cm-6_prm_1","label":"organization-defined security configuration checklists","guidance":[{"prose":"See CM-6(a) Additional FedRAMP Requirements and Guidance"}]},{"id":"cm-6_prm_2","label":"organization-defined information system components"},{"id":"cm-6_prm_3","label":"organization-defined operational requirements"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-6"},{"name":"sort-id","value":"cm-06"}],"links":[{"href":"#990268bf-f4a9-4c81-91ae-dc7d3115f4b1","rel":"reference","text":"OMB Memorandum 07-11"},{"href":"#0b3d8ba9-051f-498d-81ea-97f0f018c612","rel":"reference","text":"OMB Memorandum 07-18"},{"href":"#0916ef02-3618-411b-a525-565c088849a6","rel":"reference","text":"OMB Memorandum 08-22"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"},{"href":"#e95dd121-2733-413e-bf1e-f1eb49f20a98","rel":"reference","text":"http://checklists.nist.gov"},{"href":"#647b6de3-81d0-4d22-bec1-5f1333e34380","rel":"reference","text":"http://www.nsa.gov"}],"parts":[{"id":"cm-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;"},{"id":"cm-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements the configuration settings;"},{"id":"cm-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and"},{"id":"cm-6_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures."},{"id":"cm-6_fr","name":"item","title":"CM-6(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement 1:"}],"prose":"The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. "},{"id":"cm-6_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement 2:"}],"prose":"The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)."},{"id":"cm-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)."}]}]},{"id":"cm-6_gdn","name":"guidance","prose":"Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"cm-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.a_obj","name":"objective","properties":[{"name":"label","value":"CM-6(a)"}],"parts":[{"id":"cm-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(a)[1]"}],"prose":"defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;"},{"id":"cm-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-6(a)[2]"}],"prose":"ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;"},{"id":"cm-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(a)[3]"}],"prose":"establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;"}]},{"id":"cm-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(b)"}],"prose":"implements the configuration settings established/documented in CM-6(a);;"},{"id":"cm-6.c_obj","name":"objective","properties":[{"name":"label","value":"CM-6(c)"}],"parts":[{"id":"cm-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[1]"}],"prose":"defines information system components for which any deviations from established\n configuration settings must be:","parts":[{"id":"cm-6.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][a]"}],"prose":"identified;"},{"id":"cm-6.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][b]"}],"prose":"documented;"},{"id":"cm-6.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][c]"}],"prose":"approved;"}]},{"id":"cm-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[2]"}],"prose":"defines operational requirements to support:","parts":[{"id":"cm-6.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][a]"}],"prose":"the identification of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][b]"}],"prose":"the documentation of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][c]"}],"prose":"the approval of any deviations from established configuration settings;"}]},{"id":"cm-6.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(c)[3]"}],"prose":"identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[4]"}],"prose":"documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(c)[5]"}],"prose":"approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"}]},{"id":"cm-6.d_obj","name":"objective","properties":[{"name":"label","value":"CM-6(d)"}],"parts":[{"id":"cm-6.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(d)[1]"}],"prose":"monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and"},{"id":"cm-6.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(d)[2]"}],"prose":"controls changes to the configuration settings in accordance with\n organizational policies and procedures."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings"}]}],"controls":[{"id":"cm-6.1","class":"SP800-53-enhancement","title":"Automated Central Management / Application / Verification","parameters":[{"id":"cm-6.1_prm_1","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"CM-6(1)"},{"name":"sort-id","value":"cm-06.01"}],"parts":[{"id":"cm-6.1_smt","name":"statement","prose":"The organization employs automated mechanisms to centrally manage, apply, and\n verify configuration settings for {{ cm-6.1_prm_1 }}."},{"id":"cm-6.1_gdn","name":"guidance","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"}]},{"id":"cm-6.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(1)[1]"}],"prose":"defines information system components for which automated mechanisms are to be\n employed to:","parts":[{"id":"cm-6.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-6(1)[1][a]"}],"prose":"centrally manage configuration settings of such components;"},{"id":"cm-6.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-6(1)[1][b]"}],"prose":"apply configuration settings of such components;"},{"id":"cm-6.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-6(1)[1][c]"}],"prose":"verify configuration settings of such components;"}]},{"id":"cm-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(1)[2]"}],"prose":"employs automated mechanisms to:","parts":[{"id":"cm-6.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-6(1)[2][a]"}],"prose":"centrally manage configuration settings for organization-defined information\n system components;"},{"id":"cm-6.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-6(1)[2][b]"}],"prose":"apply configuration settings for organization-defined information system\n components; and"},{"id":"cm-6.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-6(1)[2][c]"}],"prose":"verify configuration settings for organization-defined information system\n components."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing configuration settings\\n\\nautomated mechanisms implemented to centrally manage, apply, and verify\n information system configuration settings"}]}]},{"id":"cm-6.2","class":"SP800-53-enhancement","title":"Respond to Unauthorized Changes","parameters":[{"id":"cm-6.2_prm_1","label":"organization-defined security safeguards"},{"id":"cm-6.2_prm_2","label":"organization-defined configuration settings"}],"properties":[{"name":"label","value":"CM-6(2)"},{"name":"sort-id","value":"cm-06.02"}],"parts":[{"id":"cm-6.2_smt","name":"statement","prose":"The organization employs {{ cm-6.2_prm_1 }} to respond to\n unauthorized changes to {{ cm-6.2_prm_2 }}."},{"id":"cm-6.2_gdn","name":"guidance","prose":"Responses to unauthorized changes to configuration settings can include, for\n example, alerting designated organizational personnel, restoring established\n configuration settings, or in extreme cases, halting affected information system\n processing.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"cm-6.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(2)[1]"}],"prose":"defines configuration settings that, if modified by unauthorized changes,\n result in organizational security safeguards being employed to respond to such\n changes;"},{"id":"cm-6.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(2)[2]"}],"prose":"defines security safeguards to be employed to respond to unauthorized changes\n to organization-defined configuration settings; and"},{"id":"cm-6.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(2)[3]"}],"prose":"employs organization-defined security safeguards to respond to unauthorized\n changes to organization-defined configuration settings."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications of unauthorized changes to information system\n configuration settings\\n\\ndocumented responses to unauthorized changes to information system\n configuration settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for responding to unauthorized changes to information\n system configuration settings\\n\\nautomated mechanisms supporting and/or implementing security safeguards for\n response to unauthorized changes"}]}]}]},{"id":"cm-7","class":"SP800-53","title":"Least Functionality","parameters":[{"id":"cm-7_prm_1","label":"organization-defined prohibited or restricted functions, ports, protocols, and/or\n services","constraints":[{"detail":"United States Government Configuration Baseline (USGCB)"}]}],"properties":[{"name":"label","value":"CM-7"},{"name":"sort-id","value":"cm-07"}],"links":[{"href":"#e42b2099-3e1c-415b-952c-61c96533c12e","rel":"reference","text":"DoD Instruction 8551.01"}],"parts":[{"id":"cm-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Configures the information system to provide only essential capabilities; and"},{"id":"cm-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}."},{"id":"cm-7_fr","name":"item","title":"CM-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-7_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available."},{"id":"cm-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8)."}]}]},{"id":"cm-7_gdn","name":"guidance","prose":"Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(a)"}],"prose":"configures the information system to provide only essential capabilities;"},{"id":"cm-7.b_obj","name":"objective","properties":[{"name":"label","value":"CM-7(b)"}],"parts":[{"id":"cm-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(b)[1]"}],"prose":"defines prohibited or restricted:","parts":[{"id":"cm-7.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(b)[2]"}],"prose":"prohibits or restricts the use of organization-defined:","parts":[{"id":"cm-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][d]"}],"prose":"services."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services"}]}],"controls":[{"id":"cm-7.1","class":"SP800-53-enhancement","title":"Periodic Review","parameters":[{"id":"cm-7.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"cm-7.1_prm_2","label":"organization-defined functions, ports, protocols, and services within the\n information system deemed to be unnecessary and/or nonsecure"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-7(1)"},{"name":"sort-id","value":"cm-07.01"}],"parts":[{"id":"cm-7.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Reviews the information system {{ cm-7.1_prm_1 }} to identify\n unnecessary and/or nonsecure functions, ports, protocols, and services; and"},{"id":"cm-7.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Disables {{ cm-7.1_prm_2 }}."}]},{"id":"cm-7.1_gdn","name":"guidance","prose":"The organization can either make a determination of the relative security of the\n function, port, protocol, and/or service or base the security decision on the\n assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are\n examples of less than secure protocols.","links":[{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#ia-2","rel":"related","text":"IA-2"}]},{"id":"cm-7.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)"}],"parts":[{"id":"cm-7.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(1)(a)[1]"}],"prose":"defines the frequency to review the information system to identify\n unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][a]"}],"prose":"functions;"},{"id":"cm-7.1.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][b]"}],"prose":"ports;"},{"id":"cm-7.1.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.a_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(1)(a)[2]"}],"prose":"reviews the information system with the organization-defined frequency to\n identify unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][a]"}],"prose":"functions;"},{"id":"cm-7.1.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][b]"}],"prose":"ports;"},{"id":"cm-7.1.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.a_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][d]"}],"prose":"services;"}]}],"links":[{"href":"#cm-7.1_smt.a","rel":"corresp","text":"CM-7(1)(a)"}]},{"id":"cm-7.1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)"}],"parts":[{"id":"cm-7.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(1)(b)[1]"}],"prose":"defines, within the information system, unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][a]"}],"prose":"functions;"},{"id":"cm-7.1.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][b]"}],"prose":"ports;"},{"id":"cm-7.1.b_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.b_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(1)(b)[2]"}],"prose":"disables organization-defined unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][a]"}],"prose":"functions;"},{"id":"cm-7.1.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][b]"}],"prose":"ports;"},{"id":"cm-7.1.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.b_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][d]"}],"prose":"services."}]}],"links":[{"href":"#cm-7.1_smt.b","rel":"corresp","text":"CM-7(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\ndocumented reviews of functions, ports, protocols, and/or services\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for reviewing functions, ports,\n protocols, and services on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for reviewing/disabling nonsecure functions, ports,\n protocols, and/or services\\n\\nautomated mechanisms implementing review and disabling of nonsecure functions,\n ports, protocols, and/or services"}]}]},{"id":"cm-7.2","class":"SP800-53-enhancement","title":"Prevent Program Execution","parameters":[{"id":"cm-7.2_prm_1"},{"id":"cm-7.2_prm_2","depends-on":"cm-7.2_prm_1","label":"organization-defined policies regarding software program usage and\n restrictions"}],"properties":[{"name":"label","value":"CM-7(2)"},{"name":"sort-id","value":"cm-07.02"}],"parts":[{"id":"cm-7.2_smt","name":"statement","prose":"The information system prevents program execution in accordance with {{ cm-7.2_prm_1 }}.","parts":[{"id":"cm-7.2_fr","name":"item","title":"CM-7 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-7.2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run."}]}]},{"id":"cm-7.2_gdn","name":"guidance","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pm-5","rel":"related","text":"PM-5"}]},{"id":"cm-7.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cm-7.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(2)[1]"}],"prose":"the organization defines policies regarding software program usage and\n restrictions;"},{"id":"cm-7.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(2)[2]"}],"prose":"the information system prevents program execution in accordance with one or\n more of the following:","parts":[{"id":"cm-7.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(2)[2][a]"}],"prose":"organization-defined policies regarding program usage and restrictions;\n and/or"},{"id":"cm-7.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(2)[2][b]"}],"prose":"rules authorizing the terms and conditions of software program usage."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nspecifications for preventing software program execution\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes preventing program execution on the information\n system\\n\\norganizational processes for software program usage and restrictions\\n\\nautomated mechanisms preventing program execution on the information system\\n\\nautomated mechanisms supporting and/or implementing software program usage and\n restrictions"}]}]},{"id":"cm-7.5","class":"SP800-53-enhancement","title":"Authorized Software / Whitelisting","parameters":[{"id":"cm-7.5_prm_1","label":"organization-defined software programs authorized to execute on the\n information system"},{"id":"cm-7.5_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly or when there is a change"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-7(5)"},{"name":"sort-id","value":"cm-07.05"}],"parts":[{"id":"cm-7.5_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7.5_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Identifies {{ cm-7.5_prm_1 }};"},{"id":"cm-7.5_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system; and"},{"id":"cm-7.5_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Reviews and updates the list of authorized software programs {{ cm-7.5_prm_2 }}."}]},{"id":"cm-7.5_gdn","name":"guidance","prose":"The process used to identify software programs that are authorized to execute on\n organizational information systems is commonly referred to as whitelisting. In\n addition to whitelisting, organizations consider verifying the integrity of\n white-listed software programs using, for example, cryptographic checksums,\n digital signatures, or hash functions. Verification of white-listed software can\n occur either prior to execution or at system startup.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pm-5","rel":"related","text":"PM-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sc-34","rel":"related","text":"SC-34"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"cm-7.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(5)(a)"}],"prose":"Identifies/defines software programs authorized to execute on the information\n system;","links":[{"href":"#cm-7.5_smt.a","rel":"corresp","text":"CM-7(5)(a)"}]},{"id":"cm-7.5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(5)(b)"}],"prose":"employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system;","links":[{"href":"#cm-7.5_smt.b","rel":"corresp","text":"CM-7(5)(b)"}]},{"id":"cm-7.5.c_obj","name":"objective","properties":[{"name":"label","value":"CM-7(5)(c)"}],"parts":[{"id":"cm-7.5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(5)(c)[1]"}],"prose":"defines the frequency to review and update the list of authorized software\n programs on the information system; and"},{"id":"cm-7.5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(5)(c)[2]"}],"prose":"reviews and updates the list of authorized software programs with the\n organization-defined frequency."}],"links":[{"href":"#cm-7.5_smt.c","rel":"corresp","text":"CM-7(5)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of software programs authorized to execute on the information system\\n\\nsecurity configuration checklists\\n\\nreview and update records associated with list of authorized software\n programs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for identifying software\n authorized to execute on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for identifying, reviewing, and updating programs\n authorized to execute on the information system\\n\\norganizational process for implementing whitelisting\\n\\nautomated mechanisms implementing whitelisting"}]}]}]},{"id":"cm-8","class":"SP800-53","title":"Information System Component Inventory","parameters":[{"id":"cm-8_prm_1","label":"organization-defined information deemed necessary to achieve effective\n information system component accountability"},{"id":"cm-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-8"},{"name":"sort-id","value":"cm-08"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents an inventory of information system components that:","parts":[{"id":"cm-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Accurately reflects the current information system;"},{"id":"cm-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Is at the level of granularity deemed necessary for tracking and reporting;\n and"},{"id":"cm-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Includes {{ cm-8_prm_1 }}; and"}]},{"id":"cm-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the information system component inventory {{ cm-8_prm_2 }}."},{"id":"cm-8_fr","name":"item","title":"CM-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Must be provided at least monthly or when there is a change."}]}]},{"id":"cm-8_gdn","name":"guidance","prose":"Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pm-5","rel":"related","text":"PM-5"}]},{"id":"cm-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-8.a_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)"}],"parts":[{"id":"cm-8.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(1)"}],"prose":"develops and documents an inventory of information system components that\n accurately reflects the current information system;"},{"id":"cm-8.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(2)"}],"prose":"develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(3)"}],"prose":"develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;"},{"id":"cm-8.a.4_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(4)"}],"parts":[{"id":"cm-8.a.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(4)[1]"}],"prose":"defines the information deemed necessary to achieve effective information\n system component accountability;"},{"id":"cm-8.a.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(4)[2]"}],"prose":"develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;"}]}]},{"id":"cm-8.b_obj","name":"objective","properties":[{"name":"label","value":"CM-8(b)"}],"parts":[{"id":"cm-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(b)[1]"}],"prose":"defines the frequency to review and update the information system component\n inventory; and"},{"id":"cm-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(b)[2]"}],"prose":"reviews and updates the information system component inventory with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory"}]}],"controls":[{"id":"cm-8.1","class":"SP800-53-enhancement","title":"Updates During Installations / Removals","properties":[{"name":"label","value":"CM-8(1)"},{"name":"sort-id","value":"cm-08.01"}],"parts":[{"id":"cm-8.1_smt","name":"statement","prose":"The organization updates the inventory of information system components as an\n integral part of component installations, removals, and information system\n updates."},{"id":"cm-8.1_obj","name":"objective","prose":"Determine if the organization updates the inventory of information system\n components as an integral part of:","parts":[{"id":"cm-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(1)[1]"}],"prose":"component installations;"},{"id":"cm-8.1_obj.2","name":"objective","properties":[{"name":"label","value":"CM-8(1)[2]"}],"prose":"component removals; and"},{"id":"cm-8.1_obj.3","name":"objective","properties":[{"name":"label","value":"CM-8(1)[3]"}],"prose":"information system updates."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\ncomponent installation records\\n\\ncomponent removal records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for updating the information\n system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for updating inventory of information system\n components\\n\\nautomated mechanisms implementing updating of the information system component\n inventory"}]}]},{"id":"cm-8.2","class":"SP800-53-enhancement","title":"Automated Maintenance","properties":[{"name":"label","value":"CM-8(2)"},{"name":"sort-id","value":"cm-08.02"}],"parts":[{"id":"cm-8.2_smt","name":"statement","prose":"The organization employs automated mechanisms to help maintain an up-to-date,\n complete, accurate, and readily available inventory of information system\n components."},{"id":"cm-8.2_gdn","name":"guidance","prose":"Organizations maintain information system inventories to the extent feasible.\n Virtual machines, for example, can be difficult to monitor because such machines\n are not visible to the network when not in use. In such cases, organizations\n maintain as up-to-date, complete, and accurate an inventory as is deemed\n reasonable. This control enhancement can be satisfied by the implementation of\n CM-2 (2) for organizations that choose to combine information system component\n inventory and baseline configuration activities.","links":[{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"cm-8.2_obj","name":"objective","prose":"Determine if the organization employs automated mechanisms to maintain an\n inventory of information system components that is:","parts":[{"id":"cm-8.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(2)[1]"}],"prose":"up-to-date;"},{"id":"cm-8.2_obj.2","name":"objective","properties":[{"name":"label","value":"CM-8(2)[2]"}],"prose":"complete;"},{"id":"cm-8.2_obj.3","name":"objective","properties":[{"name":"label","value":"CM-8(2)[3]"}],"prose":"accurate; and"},{"id":"cm-8.2_obj.4","name":"objective","properties":[{"name":"label","value":"CM-8(2)[4]"}],"prose":"readily available."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing information system component inventory\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system inventory records\\n\\nchange control records\\n\\ninformation system maintenance records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing the automated\n mechanisms implementing the information system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory"}]}]},{"id":"cm-8.3","class":"SP800-53-enhancement","title":"Automated Unauthorized Component Detection","parameters":[{"id":"cm-8.3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"Continuously, using automated mechanisms with a maximum five-minute delay in detection."}]},{"id":"cm-8.3_prm_2"},{"id":"cm-8.3_prm_3","depends-on":"cm-8.3_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-8(3)"},{"name":"sort-id","value":"cm-08.03"}],"parts":[{"id":"cm-8.3_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-8.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Employs automated mechanisms {{ cm-8.3_prm_1 }} to detect the\n presence of unauthorized hardware, software, and firmware components within the\n information system; and"},{"id":"cm-8.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Takes the following actions when unauthorized components are detected: {{ cm-8.3_prm_2 }}."}]},{"id":"cm-8.3_gdn","name":"guidance","prose":"This control enhancement is applied in addition to the monitoring for unauthorized\n remote connections and mobile devices. Monitoring for unauthorized system\n components may be accomplished on an ongoing basis or by the periodic scanning of\n systems for that purpose. Automated mechanisms can be implemented within\n information systems or in other separate devices. Isolation can be achieved, for\n example, by placing unauthorized information system components in separate domains\n or subnets or otherwise quarantining such components. This type of component\n isolation is commonly referred to as sandboxing.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"cm-8.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-8.3.a_obj","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)"}],"parts":[{"id":"cm-8.3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(3)(a)[1]"}],"prose":"defines the frequency to employ automated mechanisms to detect the presence\n of unauthorized:","parts":[{"id":"cm-8.3.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[1][a]"}],"prose":"hardware components within the information system;"},{"id":"cm-8.3.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[1][b]"}],"prose":"software components within the information system;"},{"id":"cm-8.3.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[1][c]"}],"prose":"firmware components within the information system;"}]},{"id":"cm-8.3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(3)(a)[2]"}],"prose":"employs automated mechanisms with the organization-defined frequency to\n detect the presence of unauthorized:","parts":[{"id":"cm-8.3.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[2][a]"}],"prose":"hardware components within the information system;"},{"id":"cm-8.3.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[2][b]"}],"prose":"software components within the information system;"},{"id":"cm-8.3.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[2][c]"}],"prose":"firmware components within the information system;"}]}],"links":[{"href":"#cm-8.3_smt.a","rel":"corresp","text":"CM-8(3)(a)"}]},{"id":"cm-8.3.b_obj","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)"}],"parts":[{"id":"cm-8.3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(3)(b)[1]"}],"prose":"defines personnel or roles to be notified when unauthorized components are\n detected;"},{"id":"cm-8.3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(3)(b)[2]"}],"prose":"takes one or more of the following actions when unauthorized components are\n detected:","parts":[{"id":"cm-8.3.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)[2][a]"}],"prose":"disables network access by such components;"},{"id":"cm-8.3.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)[2][b]"}],"prose":"isolates the components; and/or"},{"id":"cm-8.3.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)[2][c]"}],"prose":"notifies organization-defined personnel or roles."}]}],"links":[{"href":"#cm-8.3_smt.b","rel":"corresp","text":"CM-8(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system inventory records\\n\\nalerts/notifications of unauthorized components within the information\n system\\n\\ninformation system monitoring records\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing the automated\n mechanisms implementing unauthorized information system component detection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for detection of unauthorized information system\n components\\n\\nautomated mechanisms implementing the detection of unauthorized information\n system components"}]}]},{"id":"cm-8.4","class":"SP800-53-enhancement","title":"Accountability Information","parameters":[{"id":"cm-8.4_prm_1","constraints":[{"detail":"position and role"}]}],"properties":[{"name":"label","value":"CM-8(4)"},{"name":"sort-id","value":"cm-08.04"}],"parts":[{"id":"cm-8.4_smt","name":"statement","prose":"The organization includes in the information system component inventory\n information, a means for identifying by {{ cm-8.4_prm_1 }},\n individuals responsible/accountable for administering those components."},{"id":"cm-8.4_gdn","name":"guidance","prose":"Identifying individuals who are both responsible and accountable for administering\n information system components helps to ensure that the assigned components are\n properly administered and organizations can contact those individuals if some\n action is required (e.g., component is determined to be the source of a\n breach/compromise, component needs to be recalled/replaced, or component needs to\n be relocated)."},{"id":"cm-8.4_obj","name":"objective","prose":"Determine if the organization includes in the information system component\n inventory for information system components, a means for identifying the\n individuals responsible and accountable for administering those components by one\n or more of the following: ","parts":[{"id":"cm-8.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(4)[1]"}],"prose":"name;"},{"id":"cm-8.4_obj.2","name":"objective","properties":[{"name":"label","value":"CM-8(4)[2]"}],"prose":"position; and/or"},{"id":"cm-8.4_obj.3","name":"objective","properties":[{"name":"label","value":"CM-8(4)[3]"}],"prose":"role."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing the information\n system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory"}]}]},{"id":"cm-8.5","class":"SP800-53-enhancement","title":"No Duplicate Accounting of Components","properties":[{"name":"label","value":"CM-8(5)"},{"name":"sort-id","value":"cm-08.05"}],"parts":[{"id":"cm-8.5_smt","name":"statement","prose":"The organization verifies that all components within the authorization boundary of\n the information system are not duplicated in other information system component\n inventories."},{"id":"cm-8.5_gdn","name":"guidance","prose":"This control enhancement addresses the potential problem of duplicate accounting\n of information system components in large or complex interconnected systems."},{"id":"cm-8.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization verifies that all components within the\n authorization boundary of the information system are not duplicated in other\n information system inventories. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system inventory responsibilities\\n\\norganizational personnel with responsibilities for defining information system\n components within the authorization boundary of the system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory"}]}]}]},{"id":"cm-9","class":"SP800-53","title":"Configuration Management Plan","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-9"},{"name":"sort-id","value":"cm-09"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-9_smt","name":"statement","prose":"The organization develops, documents, and implements a configuration management plan\n for the information system that:","parts":[{"id":"cm-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Addresses roles, responsibilities, and configuration management processes and\n procedures;"},{"id":"cm-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes a process for identifying configuration items throughout the system\n development life cycle and for managing the configuration of the configuration\n items;"},{"id":"cm-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Defines the configuration items for the information system and places the\n configuration items under configuration management; and"},{"id":"cm-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects the configuration management plan from unauthorized disclosure and\n modification."}]},{"id":"cm-9_gdn","name":"guidance","prose":"Configuration management plans satisfy the requirements in configuration management\n policies while being tailored to individual information systems. Such plans define\n detailed processes and procedures for how configuration management is used to support\n system development life cycle activities at the information system level.\n Configuration management plans are typically developed during the\n development/acquisition phase of the system development life cycle. The plans\n describe how to move changes through change management processes, how to update\n configuration settings and baselines, how to maintain information system component\n inventories, how to control development, test, and operational environments, and how\n to develop, release, and update key documents. Organizations can employ templates to\n help ensure consistent and timely development and implementation of configuration\n management plans. Such templates can represent a master configuration management plan\n for the organization at large with subsets of the plan implemented on a system by\n system basis. Configuration management approval processes include designation of key\n management stakeholders responsible for reviewing and approving proposed changes to\n information systems, and personnel that conduct security impact analyses prior to the\n implementation of changes to the systems. Configuration items are the information\n system items (hardware, software, firmware, and documentation) to be\n configuration-managed. As information systems continue through the system development\n life cycle, new configuration items may be identified and some existing configuration\n items may no longer need to be under configuration control.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#sa-10","rel":"related","text":"SA-10"}]},{"id":"cm-9_obj","name":"objective","prose":"Determine if the organization develops, documents, and implements a configuration\n management plan for the information system that:","parts":[{"id":"cm-9.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(a)"}],"parts":[{"id":"cm-9.a_obj.1","name":"objective","properties":[{"name":"label","value":"CM-9(a)[1]"}],"prose":"addresses roles;"},{"id":"cm-9.a_obj.2","name":"objective","properties":[{"name":"label","value":"CM-9(a)[2]"}],"prose":"addresses responsibilities;"},{"id":"cm-9.a_obj.3","name":"objective","properties":[{"name":"label","value":"CM-9(a)[3]"}],"prose":"addresses configuration management processes and procedures;"}]},{"id":"cm-9.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(b)"}],"prose":"establishes a process for:","parts":[{"id":"cm-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CM-9(b)[1]"}],"prose":"identifying configuration items throughout the SDLC;"},{"id":"cm-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CM-9(b)[2]"}],"prose":"managing the configuration of the configuration items;"}]},{"id":"cm-9.c_obj","name":"objective","properties":[{"name":"label","value":"CM-9(c)"}],"parts":[{"id":"cm-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(c)[1]"}],"prose":"defines the configuration items for the information system;"},{"id":"cm-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(c)[2]"}],"prose":"places the configuration items under configuration management;"}]},{"id":"cm-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-9(d)"}],"prose":"protects the configuration management plan from unauthorized:","parts":[{"id":"cm-9.d_obj.1","name":"objective","properties":[{"name":"label","value":"CM-9(d)[1]"}],"prose":"disclosure; and"},{"id":"cm-9.d_obj.2","name":"objective","properties":[{"name":"label","value":"CM-9(d)[2]"}],"prose":"modification."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration management planning\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for developing the configuration\n management plan\\n\\norganizational personnel with responsibilities for implementing and managing\n processes defined in the configuration management plan\\n\\norganizational personnel with responsibilities for protecting the configuration\n management plan\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing and documenting the configuration\n management plan\\n\\norganizational processes for identifying and managing configuration items\\n\\norganizational processes for protecting the configuration management plan\\n\\nautomated mechanisms implementing the configuration management plan\\n\\nautomated mechanisms for managing configuration items\\n\\nautomated mechanisms for protecting the configuration management plan"}]}]},{"id":"cm-10","class":"SP800-53","title":"Software Usage Restrictions","properties":[{"name":"label","value":"CM-10"},{"name":"sort-id","value":"cm-10"}],"parts":[{"id":"cm-10_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"id":"cm-10_gdn","name":"guidance","prose":"Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-10_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(a)"}],"prose":"uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-10(b)"}],"prose":"tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(c)"}],"prose":"controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology"}]}],"controls":[{"id":"cm-10.1","class":"SP800-53-enhancement","title":"Open Source Software","parameters":[{"id":"cm-10.1_prm_1","label":"organization-defined restrictions"}],"properties":[{"name":"label","value":"CM-10(1)"},{"name":"sort-id","value":"cm-10.01"}],"parts":[{"id":"cm-10.1_smt","name":"statement","prose":"The organization establishes the following restrictions on the use of open source\n software: {{ cm-10.1_prm_1 }}."},{"id":"cm-10.1_gdn","name":"guidance","prose":"Open source software refers to software that is available in source code form.\n Certain software rights normally reserved for copyright holders are routinely\n provided under software license agreements that permit individuals to study,\n change, and improve the software. From a security perspective, the major advantage\n of open source software is that it provides organizations with the ability to\n examine the source code. However, there are also various licensing issues\n associated with open source software including, for example, the constraints on\n derivative use of such software."},{"id":"cm-10.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-10.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-10(1)[1]"}],"prose":"defines restrictions on the use of open source software; and"},{"id":"cm-10.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(1)[2]"}],"prose":"establishes organization-defined restrictions on the use of open source\n software."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing restrictions on use of open source software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for establishing and enforcing\n restrictions on use of open source software\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for restricting the use of open source software\\n\\nautomated mechanisms implementing restrictions on the use of open source\n software"}]}]}]},{"id":"cm-11","class":"SP800-53","title":"User-installed Software","parameters":[{"id":"cm-11_prm_1","label":"organization-defined policies"},{"id":"cm-11_prm_2","label":"organization-defined methods"},{"id":"cm-11_prm_3","label":"organization-defined frequency","constraints":[{"detail":"Continuously (via CM-7 (5))"}]}],"properties":[{"name":"label","value":"CM-11"},{"name":"sort-id","value":"cm-11"}],"parts":[{"id":"cm-11_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;"},{"id":"cm-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Enforces software installation policies through {{ cm-11_prm_2 }};\n and"},{"id":"cm-11_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Monitors policy compliance at {{ cm-11_prm_3 }}."}]},{"id":"cm-11_gdn","name":"guidance","prose":"If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"cm-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-11.a_obj","name":"objective","properties":[{"name":"label","value":"CM-11(a)"}],"parts":[{"id":"cm-11.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(a)[1]"}],"prose":"defines policies to govern the installation of software by users;"},{"id":"cm-11.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(a)[2]"}],"prose":"establishes organization-defined policies governing the installation of\n software by users;"}]},{"id":"cm-11.b_obj","name":"objective","properties":[{"name":"label","value":"CM-11(b)"}],"parts":[{"id":"cm-11.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(b)[1]"}],"prose":"defines methods to enforce software installation policies;"},{"id":"cm-11.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(b)[2]"}],"prose":"enforces software installation policies through organization-defined\n methods;"}]},{"id":"cm-11.c_obj","name":"objective","properties":[{"name":"label","value":"CM-11(c)"}],"parts":[{"id":"cm-11.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(c)[1]"}],"prose":"defines frequency to monitor policy compliance; and"},{"id":"cm-11.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(c)[2]"}],"prose":"monitors policy compliance at organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance"}]}],"controls":[{"id":"cm-11.1","class":"SP800-53-enhancement","title":"Alerts for Unauthorized Installations","parameters":[{"id":"cm-11.1_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"CM-11(1)"},{"name":"sort-id","value":"cm-11.01"}],"parts":[{"id":"cm-11.1_smt","name":"statement","prose":"The information system alerts {{ cm-11.1_prm_1 }} when the\n unauthorized installation of software is detected."},{"id":"cm-11.1_gdn","name":"guidance","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"cm-11.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cm-11.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(1)[1]"}],"prose":"the organization defines personnel or roles to be alerted when the unauthorized\n installation of software is detected; and"},{"id":"cm-11.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(1)[2]"}],"prose":"the information system alerts organization-defined personnel or roles when the\n unauthorized installation of software is detected."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms for alerting personnel/roles when unauthorized\n installation of software is detected"}]}]}]}]},{"id":"cp","class":"family","title":"Contingency Planning","controls":[{"id":"cp-1","class":"SP800-53","title":"Contingency Planning Policy and Procedures","parameters":[{"id":"cp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cp-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-1"},{"name":"sort-id","value":"cp-01"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cp-1_prm_1 }}:","parts":[{"id":"cp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and"}]},{"id":"cp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Contingency planning policy {{ cp-1_prm_2 }}; and"},{"id":"cp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Contingency planning procedures {{ cp-1_prm_3 }}."}]}]},{"id":"cp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cp-1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cp-1.a_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)"}],"parts":[{"id":"cp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)"}],"parts":[{"id":"cp-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(1)[1]"}],"prose":"the organization develops and documents a contingency planning policy that\n addresses:","parts":[{"id":"cp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cp-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(1)[2]"}],"prose":"the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;"},{"id":"cp-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-1(a)(1)[3]"}],"prose":"the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;"}]},{"id":"cp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)"}],"parts":[{"id":"cp-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(2)[1]"}],"prose":"the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;"},{"id":"cp-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(2)[2]"}],"prose":"the organization defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cp-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-1(a)(2)[3]"}],"prose":"the organization disseminates the procedures to organization-defined\n personnel or roles;"}]}]},{"id":"cp-1.b_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)"}],"parts":[{"id":"cp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(1)"}],"parts":[{"id":"cp-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(1)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning policy;"},{"id":"cp-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(1)[2]"}],"prose":"the organization reviews and updates the current contingency planning with\n the organization-defined frequency;"}]},{"id":"cp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(2)"}],"parts":[{"id":"cp-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(2)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning procedures; and"},{"id":"cp-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(2)[2]"}],"prose":"the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-2","class":"SP800-53","title":"Contingency Plan","parameters":[{"id":"cp-2_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-2_prm_2","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"},{"id":"cp-2_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cp-2_prm_4","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-2"},{"name":"sort-id","value":"cp-02"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a contingency plan for the information system that:","parts":[{"id":"cp-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Provides recovery objectives, restoration priorities, and metrics;"},{"id":"cp-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Addresses contingency roles, responsibilities, assigned individuals with\n contact information;"},{"id":"cp-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and"},{"id":"cp-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Is reviewed and approved by {{ cp-2_prm_1 }};"}]},{"id":"cp-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the contingency plan to {{ cp-2_prm_2 }};"},{"id":"cp-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the contingency plan for the information system {{ cp-2_prm_3 }};"},{"id":"cp-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;"},{"id":"cp-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Communicates contingency plan changes to {{ cp-2_prm_4 }}; and"},{"id":"cp-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Protects the contingency plan from unauthorized disclosure and modification."},{"id":"cp-2_fr","name":"item","title":"CP-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-2_fr_smt.1","name":"item","properties":[{"name":"label","value":"CP-2 Requirement:"}],"prose":"For JAB authorizations the contingency lists include designated FedRAMP personnel."}]}]},{"id":"cp-2_gdn","name":"guidance","prose":"Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.","links":[{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"cp-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.a_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)"}],"prose":"develops and documents a contingency plan for the information system that:","parts":[{"id":"cp-2.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(1)"}],"prose":"identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(2)"}],"parts":[{"id":"cp-2.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[1]"}],"prose":"provides recovery objectives;"},{"id":"cp-2.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[2]"}],"prose":"provides restoration priorities;"},{"id":"cp-2.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[3]"}],"prose":"provides metrics;"}]},{"id":"cp-2.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(3)"}],"parts":[{"id":"cp-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[1]"}],"prose":"addresses contingency roles;"},{"id":"cp-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[2]"}],"prose":"addresses contingency responsibilities;"},{"id":"cp-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[3]"}],"prose":"addresses assigned individuals with contact information;"}]},{"id":"cp-2.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(4)"}],"prose":"addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(5)"}],"prose":"addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;"},{"id":"cp-2.a.6_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(6)"}],"parts":[{"id":"cp-2.a.6_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(6)[1]"}],"prose":"defines personnel or roles to review and approve the contingency plan for\n the information system;"},{"id":"cp-2.a.6_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(6)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"cp-2.b_obj","name":"objective","properties":[{"name":"label","value":"CP-2(b)"}],"parts":[{"id":"cp-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(b)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;"},{"id":"cp-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(b)[2]"}],"prose":"distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;"}]},{"id":"cp-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(c)"}],"prose":"coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2.d_obj","name":"objective","properties":[{"name":"label","value":"CP-2(d)"}],"parts":[{"id":"cp-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(d)[1]"}],"prose":"defines a frequency to review the contingency plan for the information\n system;"},{"id":"cp-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(d)[2]"}],"prose":"reviews the contingency plan with the organization-defined frequency;"}]},{"id":"cp-2.e_obj","name":"objective","properties":[{"name":"label","value":"CP-2(e)"}],"prose":"updates the contingency plan to address:","parts":[{"id":"cp-2.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(e)[1]"}],"prose":"changes to the organization, information system, or environment of\n operation;"},{"id":"cp-2.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(e)[2]"}],"prose":"problems encountered during plan implementation, execution, and testing;"}]},{"id":"cp-2.f_obj","name":"objective","properties":[{"name":"label","value":"CP-2(f)"}],"parts":[{"id":"cp-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(f)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;"},{"id":"cp-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(f)[2]"}],"prose":"communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and"}]},{"id":"cp-2.g_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(g)"}],"prose":"protects the contingency plan from unauthorized disclosure and modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan"}]}],"controls":[{"id":"cp-2.1","class":"SP800-53-enhancement","title":"Coordinate with Related Plans","properties":[{"name":"label","value":"CP-2(1)"},{"name":"sort-id","value":"cp-02.01"}],"parts":[{"id":"cp-2.1_smt","name":"statement","prose":"The organization coordinates contingency plan development with organizational\n elements responsible for related plans."},{"id":"cp-2.1_gdn","name":"guidance","prose":"Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant\n Emergency Plans."},{"id":"cp-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization coordinates contingency plan development with\n organizational elements responsible for related plans."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness contingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plan\\n\\ninsider threat implementation plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel with responsibility for related plans"}]}]},{"id":"cp-2.2","class":"SP800-53-enhancement","title":"Capacity Planning","properties":[{"name":"label","value":"CP-2(2)"},{"name":"sort-id","value":"cp-02.02"}],"parts":[{"id":"cp-2.2_smt","name":"statement","prose":"The organization conducts capacity planning so that necessary capacity for\n information processing, telecommunications, and environmental support exists\n during contingency operations."},{"id":"cp-2.2_gdn","name":"guidance","prose":"Capacity planning is needed because different types of threats (e.g., natural\n disasters, targeted cyber attacks) can result in a reduction of the available\n processing, telecommunications, and support services originally intended to\n support the organizational missions/business functions. Organizations may need to\n anticipate degraded operations during contingency operations and factor such\n degradation into capacity planning."},{"id":"cp-2.2_obj","name":"objective","prose":"Determine if the organization conducts capacity planning so that necessary\n capacity exists during contingency operations for: ","parts":[{"id":"cp-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(2)[1]"}],"prose":"information processing;"},{"id":"cp-2.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(2)[2]"}],"prose":"telecommunications; and"},{"id":"cp-2.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(2)[3]"}],"prose":"environmental support."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\ncapacity planning documents\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-2.3","class":"SP800-53-enhancement","title":"Resume Essential Missions / Business Functions","parameters":[{"id":"cp-2.3_prm_1","label":"organization-defined time period"}],"properties":[{"name":"label","value":"CP-2(3)"},{"name":"sort-id","value":"cp-02.03"}],"parts":[{"id":"cp-2.3_smt","name":"statement","prose":"The organization plans for the resumption of essential missions and business\n functions within {{ cp-2.3_prm_1 }} of contingency plan\n activation."},{"id":"cp-2.3_gdn","name":"guidance","prose":"Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. The time period for\n resumption of essential missions/business functions may be dependent on the\n severity/extent of disruptions to the information system and its supporting\n infrastructure.","links":[{"href":"#pe-12","rel":"related","text":"PE-12"}]},{"id":"cp-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(3)[1]"}],"prose":"defines the time period to plan for the resumption of essential missions and\n business functions as a result of contingency plan activation; and"},{"id":"cp-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(3)[2]"}],"prose":"plans for the resumption of essential missions and business functions within\n organization-defined time period of contingency plan activation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nbusiness impact assessment\\n\\nother related plans\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for resumption of missions and business functions"}]}]},{"id":"cp-2.4","class":"SP800-53-enhancement","title":"Resume All Missions / Business Functions","parameters":[{"id":"cp-2.4_prm_1","label":"organization-defined time period","constraints":[{"detail":"time period defined in service provider and organization SLA"}]}],"properties":[{"name":"label","value":"CP-2(4)"},{"name":"sort-id","value":"cp-02.04"}],"parts":[{"id":"cp-2.4_smt","name":"statement","prose":"The organization plans for the resumption of all missions and business functions\n within {{ cp-2.4_prm_1 }} of contingency plan activation."},{"id":"cp-2.4_gdn","name":"guidance","prose":"Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. The time period for\n resumption of all missions/business functions may be dependent on the\n severity/extent of disruptions to the information system and its supporting\n infrastructure.","links":[{"href":"#pe-12","rel":"related","text":"PE-12"}]},{"id":"cp-2.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(4)[1]"}],"prose":"defines the time period to plan for the resumption of all missions and business\n functions as a result of contingency plan activation; and"},{"id":"cp-2.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(4)[2]"}],"prose":"plans for the resumption of all missions and business functions within\n organization-defined time period of contingency plan activation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nbusiness impact assessment\\n\\nother related plans\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for resumption of missions and business functions"}]}]},{"id":"cp-2.5","class":"SP800-53-enhancement","title":"Continue Essential Missions / Business Functions","properties":[{"name":"label","value":"CP-2(5)"},{"name":"sort-id","value":"cp-02.05"}],"parts":[{"id":"cp-2.5_smt","name":"statement","prose":"The organization plans for the continuance of essential missions and business\n functions with little or no loss of operational continuity and sustains that\n continuity until full information system restoration at primary processing and/or\n storage sites."},{"id":"cp-2.5_gdn","name":"guidance","prose":"Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. Primary processing\n and/or storage sites defined by organizations as part of contingency planning may\n change depending on the circumstances associated with the contingency (e.g.,\n backup sites may become primary sites).","links":[{"href":"#pe-12","rel":"related","text":"PE-12"}]},{"id":"cp-2.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(5)[1]"}],"prose":"plans for the continuance of essential missions and business functions with\n little or no loss of operational continuity; and"},{"id":"cp-2.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(5)[2]"}],"prose":"sustains that operational continuity until full information system restoration\n at primary processing and/or storage sites."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness impact assessment\\n\\nprimary processing site agreements\\n\\nprimary storage site agreements\\n\\nalternate processing site agreements\\n\\nalternate storage site agreements\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for continuing missions and business functions"}]}]},{"id":"cp-2.8","class":"SP800-53-enhancement","title":"Identify Critical Assets","properties":[{"name":"label","value":"CP-2(8)"},{"name":"sort-id","value":"cp-02.08"}],"parts":[{"id":"cp-2.8_smt","name":"statement","prose":"The organization identifies critical information system assets supporting\n essential missions and business functions."},{"id":"cp-2.8_gdn","name":"guidance","prose":"Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. Organizations\n identify critical information system assets so that additional safeguards and\n countermeasures can be employed (above and beyond those safeguards and\n countermeasures routinely implemented) to help ensure that organizational\n missions/business functions can continue to be conducted during contingency\n operations. In addition, the identification of critical information assets\n facilitates the prioritization of organizational resources. Critical information\n system assets include technical and operational aspects. Technical aspects\n include, for example, information technology services, information system\n components, information technology products, and mechanisms. Operational aspects\n include, for example, procedures (manually executed operations) and personnel\n (individuals operating technical safeguards and/or executing manual procedures).\n Organizational program protection plans can provide assistance in identifying\n critical assets.","links":[{"href":"#sa-14","rel":"related","text":"SA-14"},{"href":"#sa-15","rel":"related","text":"SA-15"}]},{"id":"cp-2.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization identifies critical information system assets\n supporting essential missions and business functions."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness impact assessment\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-3","class":"SP800-53","title":"Contingency Training","parameters":[{"id":"cp-3_prm_1","label":"organization-defined time period","constraints":[{"detail":"ten (10) days"}]},{"id":"cp-3_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-3"},{"name":"sort-id","value":"cp-03"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"cp-3_smt","name":"statement","prose":"The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:","parts":[{"id":"cp-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;"},{"id":"cp-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"cp-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ cp-3_prm_2 }} thereafter."}]},{"id":"cp-3_gdn","name":"guidance","prose":"Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-2","rel":"related","text":"IR-2"}]},{"id":"cp-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-3.a_obj","name":"objective","properties":[{"name":"label","value":"CP-3(a)"}],"parts":[{"id":"cp-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-3(a)[1]"}],"prose":"defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;"},{"id":"cp-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(a)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;"}]},{"id":"cp-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(b)"}],"prose":"provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;"},{"id":"cp-3.c_obj","name":"objective","properties":[{"name":"label","value":"CP-3(c)"}],"parts":[{"id":"cp-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-3(c)[1]"}],"prose":"defines the frequency for contingency training thereafter; and"},{"id":"cp-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(c)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency training"}]}],"controls":[{"id":"cp-3.1","class":"SP800-53-enhancement","title":"Simulated Events","properties":[{"name":"label","value":"CP-3(1)"},{"name":"sort-id","value":"cp-03.01"}],"parts":[{"id":"cp-3.1_smt","name":"statement","prose":"The organization incorporates simulated events into contingency training to\n facilitate effective response by personnel in crisis situations."},{"id":"cp-3.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization incorporates simulated events into contingency\n training to facilitate effective response by personnel in crisis situations."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency training\\n\\nautomated mechanisms for simulating contingency events"}]}]}]},{"id":"cp-4","class":"SP800-53","title":"Contingency Plan Testing","parameters":[{"id":"cp-4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cp-4_prm_2","label":"organization-defined tests","constraints":[{"detail":"functional exercises"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-4"},{"name":"sort-id","value":"cp-04"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf","rel":"reference","text":"NIST Special Publication 800-84"}],"parts":[{"id":"cp-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;"},{"id":"cp-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews the contingency plan test results; and"},{"id":"cp-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Initiates corrective actions, if needed."},{"id":"cp-4_fr","name":"item","title":"CP-4(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-4_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-4(a) Requirement:"}],"prose":"The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing."}]}]},{"id":"cp-4_gdn","name":"guidance","prose":"Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-3","rel":"related","text":"IR-3"}]},{"id":"cp-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-4.a_obj","name":"objective","properties":[{"name":"label","value":"CP-4(a)"}],"parts":[{"id":"cp-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-4(a)[1]"}],"prose":"defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;"},{"id":"cp-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-4(a)[2]"}],"prose":"defines a frequency to test the contingency plan for the information\n system;"},{"id":"cp-4.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(a)[3]"}],"prose":"tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;"}]},{"id":"cp-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(b)"}],"prose":"reviews the contingency plan test results; and"},{"id":"cp-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(c)"}],"prose":"initiates corrective actions, if needed."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing"}]}],"controls":[{"id":"cp-4.1","class":"SP800-53-enhancement","title":"Coordinate with Related Plans","properties":[{"name":"label","value":"CP-4(1)"},{"name":"sort-id","value":"cp-04.01"}],"parts":[{"id":"cp-4.1_smt","name":"statement","prose":"The organization coordinates contingency plan testing with organizational elements\n responsible for related plans."},{"id":"cp-4.1_gdn","name":"guidance","prose":"Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, and Occupant Emergency Plans. This control\n enhancement does not require organizations to create organizational elements to\n handle related plans or to align such elements with specific plans. It does\n require, however, that if such organizational elements are responsible for related\n plans, organizations should coordinate with those elements.","links":[{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pm-8","rel":"related","text":"PM-8"}]},{"id":"cp-4.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization coordinates contingency plan testing with\n organizational elements responsible for related plans. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nincident response policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan testing documentation\\n\\ncontingency plan\\n\\nbusiness continuity plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan testing responsibilities\\n\\norganizational personnel\\n\\npersonnel with responsibilities for related plans\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-4.2","class":"SP800-53-enhancement","title":"Alternate Processing Site","properties":[{"name":"label","value":"CP-4(2)"},{"name":"sort-id","value":"cp-04.02"}],"parts":[{"id":"cp-4.2_smt","name":"statement","prose":"The organization tests the contingency plan at the alternate processing site:","parts":[{"id":"cp-4.2_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"To familiarize contingency personnel with the facility and available resources;\n and"},{"id":"cp-4.2_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"To evaluate the capabilities of the alternate processing site to support\n contingency operations."}]},{"id":"cp-4.2_gdn","name":"guidance","links":[{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"cp-4.2_obj","name":"objective","prose":"Determine if the organization tests the contingency plan at the alternate\n processing site to:","parts":[{"id":"cp-4.2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-4(2)(a)"}],"prose":"familiarize contingency personnel with the facility and available resources;\n and","links":[{"href":"#cp-4.2_smt.a","rel":"corresp","text":"CP-4(2)(a)"}]},{"id":"cp-4.2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-4(2)(b)"}],"prose":"evaluate the capabilities of the alternate processing site to support\n contingency operations.","links":[{"href":"#cp-4.2_smt.b","rel":"corresp","text":"CP-4(2)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nalternate processing site agreements\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing"}]}]}]},{"id":"cp-6","class":"SP800-53","title":"Alternate Storage Site","properties":[{"name":"label","value":"CP-6"},{"name":"sort-id","value":"cp-06"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and"},{"id":"cp-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site."}]},{"id":"cp-6_gdn","name":"guidance","prose":"Alternate storage sites are sites that are geographically distinct from primary\n storage sites. An alternate storage site maintains duplicate copies of information\n and data in the event that the primary storage site is not available. Items covered\n by alternate storage site agreements include, for example, environmental conditions\n at alternate sites, access rules, physical and environmental protection requirements,\n and coordination of delivery/retrieval of backup media. Alternate storage sites\n reflect the requirements in contingency plans so that organizations can maintain\n essential missions/business functions despite disruption, compromise, or failure in\n organizational information systems.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#mp-4","rel":"related","text":"MP-4"}]},{"id":"cp-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-6_obj.1","name":"objective","properties":[{"name":"label","value":"CP-6[1]"}],"prose":"establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and"},{"id":"cp-6_obj.2","name":"objective","properties":[{"name":"label","value":"CP-6[2]"}],"prose":"ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for storing and retrieving information system backup\n information at the alternate storage site\\n\\nautomated mechanisms supporting and/or implementing storage and retrieval of\n information system backup information at the alternate storage site"}]}],"controls":[{"id":"cp-6.1","class":"SP800-53-enhancement","title":"Separation from Primary Site","properties":[{"name":"label","value":"CP-6(1)"},{"name":"sort-id","value":"cp-06.01"}],"parts":[{"id":"cp-6.1_smt","name":"statement","prose":"The organization identifies an alternate storage site that is separated from the\n primary storage site to reduce susceptibility to the same threats."},{"id":"cp-6.1_gdn","name":"guidance","prose":"Threats that affect alternate storage sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate storage sites based on the types of threats that are\n of concern. For one particular type of threat (i.e., hostile cyber attack), the\n degree of separation between sites is less relevant.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-6.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization identifies an alternate storage site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-6.2","class":"SP800-53-enhancement","title":"Recovery Time / Point Objectives","properties":[{"name":"label","value":"CP-6(2)"},{"name":"sort-id","value":"cp-06.02"}],"parts":[{"id":"cp-6.2_smt","name":"statement","prose":"The organization configures the alternate storage site to facilitate recovery\n operations in accordance with recovery time and recovery point objectives."},{"id":"cp-6.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization configures the alternate storage site to facilitate\n recovery operations in accordance with recovery time objectives and recovery point\n objectives (as specified in the information system contingency plan)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nalternate storage site agreements\\n\\nalternate storage site configurations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan testing responsibilities\\n\\norganizational personnel with responsibilities for testing related plans\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting recovery time/point objectives"}]}]},{"id":"cp-6.3","class":"SP800-53-enhancement","title":"Accessibility","properties":[{"name":"label","value":"CP-6(3)"},{"name":"sort-id","value":"cp-06.03"}],"parts":[{"id":"cp-6.3_smt","name":"statement","prose":"The organization identifies potential accessibility problems to the alternate\n storage site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions."},{"id":"cp-6.3_gdn","name":"guidance","prose":"Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk. Explicit\n mitigation actions include, for example: (i) duplicating backup information at\n other alternate storage sites if access problems occur at originally designated\n alternate sites; or (ii) planning for physical access to retrieve backup\n information if electronic accessibility to the alternate site is disrupted.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-6.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-6.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-6(3)[1]"}],"prose":"identifies potential accessibility problems to the alternate storage site in\n the event of an area-wide disruption or disaster; and"},{"id":"cp-6.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-6(3)[2]"}],"prose":"outlines explicit mitigation actions for such potential accessibility problems\n to the alternate storage site in the event of an area-wide disruption or\n disaster."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nlist of potential accessibility problems to alternate storage site\\n\\nmitigation actions for accessibility problems to alternate storage site\\n\\norganizational risk assessments\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-7","class":"SP800-53","title":"Alternate Processing Site","parameters":[{"id":"cp-7_prm_1","label":"organization-defined information system operations"},{"id":"cp-7_prm_2","label":"organization-defined time period consistent with recovery time and recovery point\n objectives"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-7"},{"name":"sort-id","value":"cp-07"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes an alternate processing site including necessary agreements to permit\n the transfer and resumption of {{ cp-7_prm_1 }} for essential\n missions/business functions within {{ cp-7_prm_2 }} when the\n primary processing capabilities are unavailable;"},{"id":"cp-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that equipment and supplies required to transfer and resume operations are\n available at the alternate processing site or contracts are in place to support\n delivery to the site within the organization-defined time period for\n transfer/resumption; and"},{"id":"cp-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site."},{"id":"cp-7_fr","name":"item","title":"CP-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-7_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider defines a time period consistent with the recovery time objectives and business impact analysis."}]}]},{"id":"cp-7_gdn","name":"guidance","prose":"Alternate processing sites are sites that are geographically distinct from primary\n processing sites. An alternate processing site provides processing capability in the\n event that the primary processing site is not available. Items covered by alternate\n processing site agreements include, for example, environmental conditions at\n alternate sites, access rules, physical and environmental protection requirements,\n and coordination for the transfer/assignment of personnel. Requirements are\n specifically allocated to alternate processing sites that reflect the requirements in\n contingency plans to maintain essential missions/business functions despite\n disruption, compromise, or failure in organizational information systems.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#ma-6","rel":"related","text":"MA-6"}]},{"id":"cp-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-7.a_obj","name":"objective","properties":[{"name":"label","value":"CP-7(a)"}],"parts":[{"id":"cp-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-7(a)[1]"}],"prose":"defines information system operations requiring an alternate processing site to\n be established to permit the transfer and resumption of such operations;"},{"id":"cp-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-7(a)[2]"}],"prose":"defines the time period consistent with recovery time objectives and recovery\n point objectives (as specified in the information system contingency plan) for\n transfer/resumption of organization-defined information system operations for\n essential missions/business functions;"},{"id":"cp-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(a)[3]"}],"prose":"establishes an alternate processing site including necessary agreements to\n permit the transfer and resumption of organization-defined information system\n operations for essential missions/business functions, within the\n organization-defined time period, when the primary processing capabilities are\n unavailable;"}]},{"id":"cp-7.b_obj","name":"objective","properties":[{"name":"label","value":"CP-7(b)"}],"parts":[{"id":"cp-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(b)[1]"}],"prose":"ensures that equipment and supplies required to transfer and resume operations\n are available at the alternate processing site; or"},{"id":"cp-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(b)[2]"}],"prose":"ensures that contracts are in place to support delivery to the site within the\n organization-defined time period for transfer/resumption; and"}]},{"id":"cp-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(c)"}],"prose":"ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nspare equipment and supplies inventory at alternate processing site\\n\\nequipment and supply contracts\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for contingency planning and/or\n alternate site arrangements\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for recovery at the alternate site\\n\\nautomated mechanisms supporting and/or implementing recovery at the alternate\n processing site"}]}],"controls":[{"id":"cp-7.1","class":"SP800-53-enhancement","title":"Separation from Primary Site","properties":[{"name":"label","value":"CP-7(1)"},{"name":"sort-id","value":"cp-07.01"}],"parts":[{"id":"cp-7.1_smt","name":"statement","prose":"The organization identifies an alternate processing site that is separated from\n the primary processing site to reduce susceptibility to the same threats.","parts":[{"id":"cp-7.1_fr","name":"item","title":"CP-7 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-7.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant."}]}]},{"id":"cp-7.1_gdn","name":"guidance","prose":"Threats that affect alternate processing sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate processing sites based on the types of threats that\n are of concern. For one particular type of threat (i.e., hostile cyber attack),\n the degree of separation between sites is less relevant.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-7.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization identifies an alternate processing site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-7.2","class":"SP800-53-enhancement","title":"Accessibility","properties":[{"name":"label","value":"CP-7(2)"},{"name":"sort-id","value":"cp-07.02"}],"parts":[{"id":"cp-7.2_smt","name":"statement","prose":"The organization identifies potential accessibility problems to the alternate\n processing site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions."},{"id":"cp-7.2_gdn","name":"guidance","prose":"Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-7.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-7.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-7(2)[1]"}],"prose":"identifies potential accessibility problems to the alternate processing site in\n the event of an area-wide disruption or disaster; and"},{"id":"cp-7.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-7(2)[2]"}],"prose":"outlines explicit mitigation actions for such potential accessibility problems\n to the alternate processing site in the event of an area-wide disruption or\n disaster."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-7.3","class":"SP800-53-enhancement","title":"Priority of Service","properties":[{"name":"label","value":"CP-7(3)"},{"name":"sort-id","value":"cp-07.03"}],"parts":[{"id":"cp-7.3_smt","name":"statement","prose":"The organization develops alternate processing site agreements that contain\n priority-of-service provisions in accordance with organizational availability\n requirements (including recovery time objectives)."},{"id":"cp-7.3_gdn","name":"guidance","prose":"Priority-of-service agreements refer to negotiated agreements with service\n providers that ensure that organizations receive priority treatment consistent\n with their availability requirements and the availability of information resources\n at the alternate processing site."},{"id":"cp-7.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization develops alternate processing site agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in the\n information system contingency plan)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]}]},{"id":"cp-7.4","class":"SP800-53-enhancement","title":"Preparation for Use","properties":[{"name":"label","value":"CP-7(4)"},{"name":"sort-id","value":"cp-07.04"}],"parts":[{"id":"cp-7.4_smt","name":"statement","prose":"The organization prepares the alternate processing site so that the site is ready\n to be used as the operational site supporting essential missions and business\n functions."},{"id":"cp-7.4_gdn","name":"guidance","prose":"Site preparation includes, for example, establishing configuration settings for\n information system components at the alternate processing site consistent with the\n requirements for such settings at the primary site and ensuring that essential\n supplies and other logistical considerations are in place.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"cp-7.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization prepares the alternate processing site so that the\n site is ready to be used as the operational site supporting essential missions and\n business functions."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nalternate processing site configurations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing recovery at the alternate\n processing site"}]}]}]},{"id":"cp-8","class":"SP800-53","title":"Telecommunications Services","parameters":[{"id":"cp-8_prm_1","label":"organization-defined information system operations"},{"id":"cp-8_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"CP-8"},{"name":"sort-id","value":"cp-08"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#fb5844de-ff96-47c0-b258-4f52bcc2f30d","rel":"reference","text":"National Communications Systems Directive 3-10"},{"href":"#3ac12e79-f54f-4a63-9f4b-ee4bcd4df604","rel":"reference","text":"http://www.dhs.gov/telecommunications-service-priority-tsp"}],"parts":[{"id":"cp-8_smt","name":"statement","prose":"The organization establishes alternate telecommunications services including\n necessary agreements to permit the resumption of {{ cp-8_prm_1 }} for\n essential missions and business functions within {{ cp-8_prm_2 }} when\n the primary telecommunications capabilities are unavailable at either the primary or\n alternate processing or storage sites.","parts":[{"id":"cp-8_fr","name":"item","title":"CP-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines a time period consistent with the recovery time objectives and business impact analysis."}]}]},{"id":"cp-8_gdn","name":"guidance","prose":"This control applies to telecommunications services (data and voice) for primary and\n alternate processing and storage sites. Alternate telecommunications services reflect\n the continuity requirements in contingency plans to maintain essential\n missions/business functions despite the loss of primary telecommunications services.\n Organizations may specify different time periods for primary/alternate sites.\n Alternate telecommunications services include, for example, additional organizational\n or commercial ground-based circuits/lines or satellites in lieu of ground-based\n communications. Organizations consider factors such as availability, quality of\n service, and access when entering into alternate telecommunications agreements.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"cp-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-8_obj.1","name":"objective","properties":[{"name":"label","value":"CP-8[1]"}],"prose":"defines information system operations requiring alternate telecommunications\n services to be established to permit the resumption of such operations;"},{"id":"cp-8_obj.2","name":"objective","properties":[{"name":"label","value":"CP-8[2]"}],"prose":"defines the time period to permit resumption of organization-defined information\n system operations for essential missions and business functions; and"},{"id":"cp-8_obj.3","name":"objective","properties":[{"name":"label","value":"CP-8[3]"}],"prose":"establishes alternate telecommunications services including necessary agreements\n to permit the resumption of organization-defined information system operations for\n essential missions and business functions, within the organization-defined time\n period, when the primary telecommunications capabilities are unavailable at either\n the primary or alternate processing or storage sites."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting telecommunications"}]}],"controls":[{"id":"cp-8.1","class":"SP800-53-enhancement","title":"Priority of Service Provisions","properties":[{"name":"label","value":"CP-8(1)"},{"name":"sort-id","value":"cp-08.01"}],"parts":[{"id":"cp-8.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-8.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives); and"},{"id":"cp-8.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier."}]},{"id":"cp-8.1_gdn","name":"guidance","prose":"Organizations consider the potential mission/business impact in situations where\n telecommunications service providers are servicing other organizations with\n similar priority-of-service provisions."},{"id":"cp-8.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-8(1)[1]"}],"prose":"develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in\n the information system contingency plan); and"},{"id":"cp-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-8(1)[2]"}],"prose":"requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nTelecommunications Service Priority documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting telecommunications"}]}]},{"id":"cp-8.2","class":"SP800-53-enhancement","title":"Single Points of Failure","properties":[{"name":"label","value":"CP-8(2)"},{"name":"sort-id","value":"cp-08.02"}],"parts":[{"id":"cp-8.2_smt","name":"statement","prose":"The organization obtains alternate telecommunications services to reduce the\n likelihood of sharing a single point of failure with primary telecommunications\n services."},{"id":"cp-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization obtains alternate telecommunications services to\n reduce the likelihood of sharing a single point of failure with primary\n telecommunications services. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-8.3","class":"SP800-53-enhancement","title":"Separation of Primary / Alternate Providers","properties":[{"name":"label","value":"CP-8(3)"},{"name":"sort-id","value":"cp-08.03"}],"parts":[{"id":"cp-8.3_smt","name":"statement","prose":"The organization obtains alternate telecommunications services from providers that\n are separated from primary service providers to reduce susceptibility to the same\n threats."},{"id":"cp-8.3_gdn","name":"guidance","prose":"Threats that affect telecommunications services are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber/physical attacks, and errors of\n omission/commission. Organizations seek to reduce common susceptibilities by, for\n example, minimizing shared infrastructure among telecommunications service\n providers and achieving sufficient geographic separation between services.\n Organizations may consider using a single service provider in situations where the\n service provider can provide alternate telecommunications services meeting the\n separation needs addressed in the risk assessment."},{"id":"cp-8.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization obtains alternate telecommunications services from\n providers that are separated from primary service providers to reduce\n susceptibility to the same threats. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nalternate telecommunications service provider site\\n\\nprimary telecommunications service provider site\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-8.4","class":"SP800-53-enhancement","title":"Provider Contingency Plan","parameters":[{"id":"cp-8.4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"annually"}]}],"properties":[{"name":"label","value":"CP-8(4)"},{"name":"sort-id","value":"cp-08.04"}],"parts":[{"id":"cp-8.4_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-8.4_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Requires primary and alternate telecommunications service providers to have\n contingency plans;"},{"id":"cp-8.4_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Reviews provider contingency plans to ensure that the plans meet organizational\n contingency requirements; and"},{"id":"cp-8.4_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Obtains evidence of contingency testing/training by providers {{ cp-8.4_prm_1 }}."}]},{"id":"cp-8.4_gdn","name":"guidance","prose":"Reviews of provider contingency plans consider the proprietary nature of such\n plans. In some situations, a summary of provider contingency plans may be\n sufficient evidence for organizations to satisfy the review requirement.\n Telecommunications service providers may also participate in ongoing disaster\n recovery exercises in coordination with the Department of Homeland Security,\n state, and local governments. Organizations may use these types of activities to\n satisfy evidentiary requirements related to service provider contingency plan\n reviews, testing, and training."},{"id":"cp-8.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-8.4.a_obj","name":"objective","properties":[{"name":"label","value":"CP-8(4)(a)"}],"parts":[{"id":"cp-8.4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-8(4)(a)[1]"}],"prose":"requires primary telecommunications service provider to have contingency\n plans;"},{"id":"cp-8.4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-8(4)(a)[2]"}],"prose":"requires alternate telecommunications service provider(s) to have\n contingency plans;"}],"links":[{"href":"#cp-8.4_smt.a","rel":"corresp","text":"CP-8(4)(a)"}]},{"id":"cp-8.4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-8(4)(b)"}],"prose":"reviews provider contingency plans to ensure that the plans meet organizational\n contingency requirements;","links":[{"href":"#cp-8.4_smt.b","rel":"corresp","text":"CP-8(4)(b)"}]},{"id":"cp-8.4.c_obj","name":"objective","properties":[{"name":"label","value":"CP-8(4)(c)"}],"parts":[{"id":"cp-8.4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-8(4)(c)[1]"}],"prose":"defines the frequency to obtain evidence of contingency testing/training by\n providers; and"},{"id":"cp-8.4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-8(4)(c)[2]"}],"prose":"obtains evidence of contingency testing/training by providers with the\n organization-defined frequency."}],"links":[{"href":"#cp-8.4_smt.c","rel":"corresp","text":"CP-8(4)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprovider contingency plans\\n\\nevidence of contingency testing/training by providers\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, plan implementation, and\n testing responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]}]}]},{"id":"cp-9","class":"SP800-53","title":"Information System Backup","parameters":[{"id":"cp-9_prm_1","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_2","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_3","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-9"},{"name":"sort-id","value":"cp-09"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};"},{"id":"cp-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};"},{"id":"cp-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and"},{"id":"cp-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects the confidentiality, integrity, and availability of backup information at\n storage locations."},{"id":"cp-9_fr","name":"item","title":"CP-9 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-9_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check."},{"id":"cp-9_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-9(a) Requirement:"}],"prose":"The service provider maintains at least three backup copies of user-level information (at least one of which is available online)."},{"id":"cp-9_fr_smt.b","name":"item","properties":[{"name":"label","value":"CP-9(b)Requirement:"}],"prose":"The service provider maintains at least three backup copies of system-level information (at least one of which is available online)."},{"id":"cp-9_fr_smt.c","name":"item","properties":[{"name":"label","value":"CP-9(c)Requirement:"}],"prose":"The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)."}]}]},{"id":"cp-9_gdn","name":"guidance","prose":"System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"cp-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.a_obj","name":"objective","properties":[{"name":"label","value":"CP-9(a)"}],"parts":[{"id":"cp-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(a)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;"},{"id":"cp-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(a)[2]"}],"prose":"conducts backups of user-level information contained in the information system\n with the organization-defined frequency;"}]},{"id":"cp-9.b_obj","name":"objective","properties":[{"name":"label","value":"CP-9(b)"}],"parts":[{"id":"cp-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(b)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;"},{"id":"cp-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(b)[2]"}],"prose":"conducts backups of system-level information contained in the information\n system with the organization-defined frequency;"}]},{"id":"cp-9.c_obj","name":"objective","properties":[{"name":"label","value":"CP-9(c)"}],"parts":[{"id":"cp-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(c)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;"},{"id":"cp-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(c)[2]"}],"prose":"conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and"}]},{"id":"cp-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(d)"}],"prose":"protects the confidentiality, integrity, and availability of backup information at\n storage locations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups"}]}],"controls":[{"id":"cp-9.1","class":"SP800-53-enhancement","title":"Testing for Reliability / Integrity","parameters":[{"id":"cp-9.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-9(1)"},{"name":"sort-id","value":"cp-09.01"}],"parts":[{"id":"cp-9.1_smt","name":"statement","prose":"The organization tests backup information {{ cp-9.1_prm_1 }} to\n verify media reliability and information integrity."},{"id":"cp-9.1_gdn","name":"guidance","links":[{"href":"#cp-4","rel":"related","text":"CP-4"}]},{"id":"cp-9.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(1)[1]"}],"prose":"defines the frequency to test backup information to verify media reliability\n and information integrity; and"},{"id":"cp-9.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(1)[2]"}],"prose":"tests backup information with the organization-defined frequency to verify\n media reliability and information integrity."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system\n backups"}]}]},{"id":"cp-9.2","class":"SP800-53-enhancement","title":"Test Restoration Using Sampling","properties":[{"name":"label","value":"CP-9(2)"},{"name":"sort-id","value":"cp-09.02"}],"parts":[{"id":"cp-9.2_smt","name":"statement","prose":"The organization uses a sample of backup information in the restoration of\n selected information system functions as part of contingency plan testing."},{"id":"cp-9.2_gdn","name":"guidance","links":[{"href":"#cp-4","rel":"related","text":"CP-4"}]},{"id":"cp-9.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization uses a sample of backup information in the\n restoration of selected information system functions as part of contingency plan\n testing. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with contingency planning/contingency plan testing\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system\n backups"}]}]},{"id":"cp-9.3","class":"SP800-53-enhancement","title":"Separate Storage for Critical Information","parameters":[{"id":"cp-9.3_prm_1","label":"organization-defined critical information system software and other\n security-related information"}],"properties":[{"name":"label","value":"CP-9(3)"},{"name":"sort-id","value":"cp-09.03"}],"parts":[{"id":"cp-9.3_smt","name":"statement","prose":"The organization stores backup copies of {{ cp-9.3_prm_1 }} in a\n separate facility or in a fire-rated container that is not collocated with the\n operational system."},{"id":"cp-9.3_gdn","name":"guidance","prose":"Critical information system software includes, for example, operating systems,\n cryptographic key management systems, and intrusion detection/prevention systems.\n Security-related information includes, for example, organizational inventories of\n hardware, software, and firmware components. Alternate storage sites typically\n serve as separate storage facilities for organizations.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-8","rel":"related","text":"CM-8"}]},{"id":"cp-9.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.3_obj.1","name":"objective","properties":[{"name":"label","value":"CP-9(3)[1]"}],"parts":[{"id":"cp-9.3_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(3)[1][a]"}],"prose":"defines critical information system software and other security-related\n information requiring backup copies to be stored in a separate facility;\n or"},{"id":"cp-9.3_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(3)[1][b]"}],"prose":"defines critical information system software and other security-related\n information requiring backup copies to be stored in a fire-rated container\n that is not collocated with the operational system; and"}]},{"id":"cp-9.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-9(3)[2]"}],"prose":"stores backup copies of organization-defined critical information system\n software and other security-related information in a separate facility or in a\n fire-rated container that is not collocated with the operational system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup configurations and associated documentation\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-9.5","class":"SP800-53-enhancement","title":"Transfer to Alternate Storage Site","parameters":[{"id":"cp-9.5_prm_1","label":"organization-defined time period and transfer rate consistent with the\n recovery time and recovery point objectives","constraints":[{"detail":"time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA"}]}],"properties":[{"name":"label","value":"CP-9(5)"},{"name":"sort-id","value":"cp-09.05"}],"parts":[{"id":"cp-9.5_smt","name":"statement","prose":"The organization transfers information system backup information to the alternate\n storage site {{ cp-9.5_prm_1 }}."},{"id":"cp-9.5_gdn","name":"guidance","prose":"Information system backup information can be transferred to alternate storage\n sites either electronically or by physical shipment of storage media."},{"id":"cp-9.5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(5)[1]"}],"prose":"defines a time period, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n transfer information system backup information to the alternate storage\n site;"},{"id":"cp-9.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(5)[2]"}],"prose":"defines a transfer rate, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n transfer information system backup information to the alternate storage site;\n and"},{"id":"cp-9.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(5)[3]"}],"prose":"transfers information system backup information to the alternate storage site\n with the organization-defined time period and transfer rate."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup logs or records\\n\\nevidence of system backup information transferred to alternate storage site\\n\\nalternate storage site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for transferring information system backups to the\n alternate storage site\\n\\nautomated mechanisms supporting and/or implementing information system\n backups\\n\\nautomated mechanisms supporting and/or implementing information transfer to the\n alternate storage site"}]}]}]},{"id":"cp-10","class":"SP800-53","title":"Information System Recovery and Reconstitution","properties":[{"name":"label","value":"CP-10"},{"name":"sort-id","value":"cp-10"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-10_smt","name":"statement","prose":"The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure."},{"id":"cp-10_gdn","name":"guidance","prose":"Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"cp-10_obj","name":"objective","prose":"Determine if the organization provides for: ","parts":[{"id":"cp-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-10[1]"}],"prose":"the recovery of the information system to a known state after:","parts":[{"id":"cp-10_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-10[1][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-10[1][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-10[1][c]"}],"prose":"a failure;"}]},{"id":"cp-10_obj.2","name":"objective","properties":[{"name":"label","value":"CP-10[2]"}],"prose":"the reconstitution of the information system to a known state after:","parts":[{"id":"cp-10_obj.2.a","name":"objective","properties":[{"name":"label","value":"CP-10[2][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.2.b","name":"objective","properties":[{"name":"label","value":"CP-10[2][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.2.c","name":"objective","properties":[{"name":"label","value":"CP-10[2][c]"}],"prose":"a failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations"}]}],"controls":[{"id":"cp-10.2","class":"SP800-53-enhancement","title":"Transaction Recovery","properties":[{"name":"label","value":"CP-10(2)"},{"name":"sort-id","value":"cp-10.02"}],"parts":[{"id":"cp-10.2_smt","name":"statement","prose":"The information system implements transaction recovery for systems that are\n transaction-based."},{"id":"cp-10.2_gdn","name":"guidance","prose":"Transaction-based information systems include, for example, database management\n systems and transaction processing systems. Mechanisms supporting transaction\n recovery include, for example, transaction rollback and transaction\n journaling."},{"id":"cp-10.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements transaction recovery for systems\n that are transaction-based. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system recovery and reconstitution\\n\\ncontingency plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\ninformation system transaction recovery records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for transaction recovery\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing transaction recovery\n capability"}]}]},{"id":"cp-10.4","class":"SP800-53-enhancement","title":"Restore Within Time Period","parameters":[{"id":"cp-10.4_prm_1","label":"organization-defined restoration time-periods","constraints":[{"detail":"time period consistent with the restoration time-periods defined in the service provider and organization SLA"}]}],"properties":[{"name":"label","value":"CP-10(4)"},{"name":"sort-id","value":"cp-10.04"}],"parts":[{"id":"cp-10.4_smt","name":"statement","prose":"The organization provides the capability to restore information system components\n within {{ cp-10.4_prm_1 }} from configuration-controlled and\n integrity-protected information representing a known, operational state for the\n components."},{"id":"cp-10.4_gdn","name":"guidance","prose":"Restoration of information system components includes, for example, reimaging\n which restores components to known, operational states.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"}]},{"id":"cp-10.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-10.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-10(4)[1]"}],"prose":"defines a time period to restore information system components from\n configuration-controlled and integrity-protected information representing a\n known, operational state for the components; and"},{"id":"cp-10.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-10(4)[2]"}],"prose":"provides the capability to restore information system components within the\n organization-defined time period from configuration-controlled and\n integrity-protected information representing a known, operational state for the\n components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system recovery and reconstitution\\n\\ncontingency plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nevidence of information system recovery and reconstitution operations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system recovery and reconstitution\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing recovery/reconstitution of\n information system information"}]}]}]}]},{"id":"ia","class":"family","title":"Identification and Authentication","controls":[{"id":"ia-1","class":"SP800-53","title":"Identification and Authentication Policy and Procedures","parameters":[{"id":"ia-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ia-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-1"},{"name":"sort-id","value":"ia-01"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ia-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ia-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ia-1_prm_1 }}:","parts":[{"id":"ia-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ia-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and"}]},{"id":"ia-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ia-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identification and authentication policy {{ ia-1_prm_2 }};\n and"},{"id":"ia-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Identification and authentication procedures {{ ia-1_prm_3 }}."}]}]},{"id":"ia-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ia-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ia-1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)"}],"parts":[{"id":"ia-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)"}],"parts":[{"id":"ia-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(1)[1]"}],"prose":"develops and documents an identification and authentication policy that\n addresses:","parts":[{"id":"ia-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ia-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ia-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ia-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ia-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ia-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ia-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ia-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and"},{"id":"ia-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-1(a)(1)[3]"}],"prose":"disseminates the identification and authentication policy to\n organization-defined personnel or roles;"}]},{"id":"ia-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)"}],"parts":[{"id":"ia-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;"},{"id":"ia-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ia-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ia-1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)"}],"parts":[{"id":"ia-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(1)"}],"parts":[{"id":"ia-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication policy;"},{"id":"ia-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(1)[2]"}],"prose":"reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and"}]},{"id":"ia-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(2)"}],"parts":[{"id":"ia-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication procedures; and"},{"id":"ia-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(2)[2]"}],"prose":"reviews and updates the current identification and authentication procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ia-2","class":"SP800-53","title":"Identification and Authentication (organizational Users)","properties":[{"name":"label","value":"IA-2"},{"name":"sort-id","value":"ia-02"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-2_smt","name":"statement","prose":"The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)."},{"id":"ia-2_gdn","name":"guidance","prose":"Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"ia-2_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-2.1","class":"SP800-53-enhancement","title":"Network Access to Privileged Accounts","properties":[{"name":"label","value":"IA-2(1)"},{"name":"sort-id","value":"ia-02.01"}],"parts":[{"id":"ia-2.1_smt","name":"statement","prose":"The information system implements multifactor authentication for network access to\n privileged accounts."},{"id":"ia-2.1_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n network access to privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.2","class":"SP800-53-enhancement","title":"Network Access to Non-privileged Accounts","properties":[{"name":"label","value":"IA-2(2)"},{"name":"sort-id","value":"ia-02.02"}],"parts":[{"id":"ia-2.2_smt","name":"statement","prose":"The information system implements multifactor authentication for network access to\n non-privileged accounts."},{"id":"ia-2.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n network access to non-privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.3","class":"SP800-53-enhancement","title":"Local Access to Privileged Accounts","properties":[{"name":"label","value":"IA-2(3)"},{"name":"sort-id","value":"ia-02.03"}],"parts":[{"id":"ia-2.3_smt","name":"statement","prose":"The information system implements multifactor authentication for local access to\n privileged accounts."},{"id":"ia-2.3_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n local access to privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.4","class":"SP800-53-enhancement","title":"Local Access to Non-privileged Accounts","properties":[{"name":"label","value":"IA-2(4)"},{"name":"sort-id","value":"ia-02.04"}],"parts":[{"id":"ia-2.4_smt","name":"statement","prose":"The information system implements multifactor authentication for local access to\n non-privileged accounts."},{"id":"ia-2.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n local access to non-privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.5","class":"SP800-53-enhancement","title":"Group Authentication","properties":[{"name":"label","value":"IA-2(5)"},{"name":"sort-id","value":"ia-02.05"}],"parts":[{"id":"ia-2.5_smt","name":"statement","prose":"The organization requires individuals to be authenticated with an individual\n authenticator when a group authenticator is employed."},{"id":"ia-2.5_gdn","name":"guidance","prose":"Requiring individuals to use individual authenticators as a second level of\n authentication helps organizations to mitigate the risk of using group\n authenticators."},{"id":"ia-2.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires individuals to be authenticated with an\n individual authenticator when a group authenticator is employed."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authentication capability\n for group accounts"}]}]},{"id":"ia-2.8","class":"SP800-53-enhancement","title":"Network Access to Privileged Accounts - Replay Resistant","properties":[{"name":"label","value":"IA-2(8)"},{"name":"sort-id","value":"ia-02.08"}],"parts":[{"id":"ia-2.8_smt","name":"statement","prose":"The information system implements replay-resistant authentication mechanisms for\n network access to privileged accounts."},{"id":"ia-2.8_gdn","name":"guidance","prose":"Authentication processes resist replay attacks if it is impractical to achieve\n successful authentications by replaying previous authentication messages.\n Replay-resistant techniques include, for example, protocols that use nonces or\n challenges such as Transport Layer Security (TLS) and time synchronous or\n challenge-response one-time authenticators."},{"id":"ia-2.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements replay-resistant authentication\n mechanisms for network access to privileged accounts. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing replay resistant\n authentication mechanisms"}]}]},{"id":"ia-2.9","class":"SP800-53-enhancement","title":"Network Access to Non-privileged Accounts - Replay Resistant","properties":[{"name":"label","value":"IA-2(9)"},{"name":"sort-id","value":"ia-02.09"}],"parts":[{"id":"ia-2.9_smt","name":"statement","prose":"The information system implements replay-resistant authentication mechanisms for\n network access to non-privileged accounts."},{"id":"ia-2.9_gdn","name":"guidance","prose":"Authentication processes resist replay attacks if it is impractical to achieve\n successful authentications by recording/replaying previous authentication\n messages. Replay-resistant techniques include, for example, protocols that use\n nonces or challenges such as Transport Layer Security (TLS) and time synchronous\n or challenge-response one-time authenticators."},{"id":"ia-2.9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements replay-resistant authentication\n mechanisms for network access to non-privileged accounts. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of non-privileged information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing replay resistant\n authentication mechanisms"}]}]},{"id":"ia-2.11","class":"SP800-53-enhancement","title":"Remote Access - Separate Device","parameters":[{"id":"ia-2.11_prm_1","label":"organization-defined strength of mechanism requirements","constraints":[{"detail":"FIPS 140-2, NIAP Certification, or NSA approval"}]}],"properties":[{"name":"label","value":"IA-2(11)"},{"name":"sort-id","value":"ia-02.11"}],"parts":[{"id":"ia-2.11_smt","name":"statement","prose":"The information system implements multifactor authentication for remote access to\n privileged and non-privileged accounts such that one of the factors is provided by\n a device separate from the system gaining access and the device meets {{ ia-2.11_prm_1 }}.","parts":[{"id":"ia-2.11_fr","name":"item","title":"IA-2 (11) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.11_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials."}]}]},{"id":"ia-2.11_gdn","name":"guidance","prose":"For remote access to privileged/non-privileged accounts, the purpose of requiring\n a device that is separate from the information system gaining access for one of\n the factors during multifactor authentication is to reduce the likelihood of\n compromising authentication credentials stored on the system. For example,\n adversaries deploying malicious code on organizational information systems can\n potentially compromise such credentials resident on the system and subsequently\n impersonate authorized users.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.11_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ia-2.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[1]"}],"prose":"the information system implements multifactor authentication for remote access\n to privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;"},{"id":"ia-2.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[2]"}],"prose":"the information system implements multifactor authentication for remote access\n to non-privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;"},{"id":"ia-2.11_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-2(11)[3]"}],"prose":"the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to privileged\n accounts;"},{"id":"ia-2.11_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-2(11)[4]"}],"prose":"the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to non-privileged\n accounts;"},{"id":"ia-2.11_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[5]"}],"prose":"the information system implements multifactor authentication for remote access\n to privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements; and"},{"id":"ia-2.11_obj.6","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[6]"}],"prose":"the information system implements multifactor authentication for remote access\n to non-privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged and non-privileged information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}]},{"id":"ia-2.12","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials","properties":[{"name":"label","value":"IA-2(12)"},{"name":"sort-id","value":"ia-02.12"}],"parts":[{"id":"ia-2.12_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials.","parts":[{"id":"ia-2.12_fr","name":"item","title":"IA-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12."}]}]},{"id":"ia-2.12_gdn","name":"guidance","prose":"This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-2.12_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-2.12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(12)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials; and"},{"id":"ia-2.12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(12)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials"}]}]}]},{"id":"ia-3","class":"SP800-53","title":"Device Identification and Authentication","parameters":[{"id":"ia-3_prm_1","label":"organization-defined specific and/or types of devices"},{"id":"ia-3_prm_2"}],"properties":[{"name":"label","value":"IA-3"},{"name":"sort-id","value":"ia-03"}],"parts":[{"id":"ia-3_smt","name":"statement","prose":"The information system uniquely identifies and authenticates {{ ia-3_prm_1 }} before establishing a {{ ia-3_prm_2 }}\n connection."},{"id":"ia-3_gdn","name":"guidance","prose":"Organizational devices requiring unique device-to-device identification and\n authentication may be defined by type, by device, or by a combination of type/device.\n Information systems typically use either shared known information (e.g., Media Access\n Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses)\n for device identification or organizational authentication solutions (e.g., IEEE\n 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport\n Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on\n local and/or wide area networks. Organizations determine the required strength of\n authentication mechanisms by the security categories of information systems. Because\n of the challenges of applying this control on large scale, organizations are\n encouraged to only apply the control to those limited number (and type) of devices\n that truly need to support this capability.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"}]},{"id":"ia-3_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ia-3_obj.1","name":"objective","properties":[{"name":"label","value":"IA-3[1]"}],"prose":"the organization defines specific and/or types of devices that the information\n system uniquely identifies and authenticates before establishing one or more of\n the following:","parts":[{"id":"ia-3_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-3[1][a]"}],"prose":"a local connection;"},{"id":"ia-3_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-3[1][b]"}],"prose":"a remote connection; and/or"},{"id":"ia-3_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-3[1][c]"}],"prose":"a network connection; and"}]},{"id":"ia-3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-3[2]"}],"prose":"the information system uniquely identifies and authenticates organization-defined\n devices before establishing one or more of the following:","parts":[{"id":"ia-3_obj.2.a","name":"objective","properties":[{"name":"label","value":"IA-3[2][a]"}],"prose":"a local connection;"},{"id":"ia-3_obj.2.b","name":"objective","properties":[{"name":"label","value":"IA-3[2][b]"}],"prose":"a remote connection; and/or"},{"id":"ia-3_obj.2.c","name":"objective","properties":[{"name":"label","value":"IA-3[2][c]"}],"prose":"a network connection."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing device identification and authentication\\n\\ninformation system design documentation\\n\\nlist of devices requiring unique identification and authentication\\n\\ndevice connection reports\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with operational responsibilities for device\n identification and authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing device identification and\n authentication capability"}]}]},{"id":"ia-4","class":"SP800-53","title":"Identifier Management","parameters":[{"id":"ia-4_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"at a minimum, the ISSO (or similar role within the organization)"}]},{"id":"ia-4_prm_2","label":"organization-defined time period","constraints":[{"detail":"at least two (2) years"}]},{"id":"ia-4_prm_3","label":"organization-defined time period of inactivity","constraints":[{"detail":"thirty-five (35) days (See additional requirements and guidance.)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-4"},{"name":"sort-id","value":"ia-04"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"}],"parts":[{"id":"ia-4_smt","name":"statement","prose":"The organization manages information system identifiers by:","parts":[{"id":"ia-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;"},{"id":"ia-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Selecting an identifier that identifies an individual, group, role, or device;"},{"id":"ia-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Assigning the identifier to the intended individual, group, role, or device;"},{"id":"ia-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and"},{"id":"ia-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Disabling the identifier after {{ ia-4_prm_3 }}."},{"id":"ia-4_fr","name":"item","title":"IA-4(e) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-4_fr_smt.e","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines the time period of inactivity for device identifiers."},{"id":"ia-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx)."}]}]},{"id":"ia-4_gdn","name":"guidance","prose":"Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#sc-37","rel":"related","text":"SC-37"}]},{"id":"ia-4_obj","name":"objective","prose":"Determine if the organization manages information system identifiers by: ","parts":[{"id":"ia-4.a_obj","name":"objective","properties":[{"name":"label","value":"IA-4(a)"}],"parts":[{"id":"ia-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(a)[1]"}],"prose":"defining personnel or roles from whom authorization must be received to\n assign:","parts":[{"id":"ia-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][d]"}],"prose":"a device identifier;"}]},{"id":"ia-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(a)[2]"}],"prose":"receiving authorization from organization-defined personnel or roles to\n assign:","parts":[{"id":"ia-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.2.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][d]"}],"prose":"a device identifier;"}]}]},{"id":"ia-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(b)"}],"prose":"selecting an identifier that identifies:","parts":[{"id":"ia-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(b)[1]"}],"prose":"an individual;"},{"id":"ia-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(b)[2]"}],"prose":"a group;"},{"id":"ia-4.b_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(b)[3]"}],"prose":"a role; and/or"},{"id":"ia-4.b_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(b)[4]"}],"prose":"a device;"}]},{"id":"ia-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(c)"}],"prose":"assigning the identifier to the intended:","parts":[{"id":"ia-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(c)[1]"}],"prose":"individual;"},{"id":"ia-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(c)[2]"}],"prose":"group;"},{"id":"ia-4.c_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(c)[3]"}],"prose":"role; and/or"},{"id":"ia-4.c_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(c)[4]"}],"prose":"device;"}]},{"id":"ia-4.d_obj","name":"objective","properties":[{"name":"label","value":"IA-4(d)"}],"parts":[{"id":"ia-4.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(d)[1]"}],"prose":"defining a time period for preventing reuse of identifiers;"},{"id":"ia-4.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(d)[2]"}],"prose":"preventing reuse of identifiers for the organization-defined time period;"}]},{"id":"ia-4.e_obj","name":"objective","properties":[{"name":"label","value":"IA-4(e)"}],"parts":[{"id":"ia-4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(e)[1]"}],"prose":"defining a time period of inactivity to disable the identifier; and"},{"id":"ia-4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(e)[2]"}],"prose":"disabling the identifier after the organization-defined time period of\n inactivity."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identifier management"}]}],"controls":[{"id":"ia-4.4","class":"SP800-53-enhancement","title":"Identify User Status","parameters":[{"id":"ia-4.4_prm_1","label":"organization-defined characteristic identifying individual status","constraints":[{"detail":"contractors; foreign nationals]"}]}],"properties":[{"name":"label","value":"IA-4(4)"},{"name":"sort-id","value":"ia-04.04"}],"parts":[{"id":"ia-4.4_smt","name":"statement","prose":"The organization manages individual identifiers by uniquely identifying each\n individual as {{ ia-4.4_prm_1 }}."},{"id":"ia-4.4_gdn","name":"guidance","prose":"Characteristics identifying the status of individuals include, for example,\n contractors and foreign nationals. Identifying the status of individuals by\n specific characteristics provides additional information about the people with\n whom organizational personnel are communicating. For example, it might be useful\n for a government employee to know that one of the individuals on an email message\n is a contractor.","links":[{"href":"#at-2","rel":"related","text":"AT-2"}]},{"id":"ia-4.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-4.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(4)[1]"}],"prose":"defines a characteristic to be used to identify individual status; and"},{"id":"ia-4.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(4)[2]"}],"prose":"manages individual identifiers by uniquely identifying each individual as the\n organization-defined characteristic identifying individual status."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nlist of characteristics identifying individual status\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identifier management"}]}]}]},{"id":"ia-5","class":"SP800-53","title":"Authenticator Management","parameters":[{"id":"ia-5_prm_1","label":"organization-defined time period by authenticator type"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-5"},{"name":"sort-id","value":"ia-05"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-5_smt","name":"statement","prose":"The organization manages information system authenticators by:","parts":[{"id":"ia-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;"},{"id":"ia-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;"},{"id":"ia-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;"},{"id":"ia-5_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changing/refreshing authenticators {{ ia-5_prm_1 }};"},{"id":"ia-5_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Protecting authenticator content from unauthorized disclosure and\n modification;"},{"id":"ia-5_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and"},{"id":"ia-5_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Changing authenticators for group/role accounts when membership to those accounts\n changes."},{"id":"ia-5_fr","name":"item","title":"IA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3)."}]}]},{"id":"ia-5_gdn","name":"guidance","prose":"Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"ia-5_obj","name":"objective","prose":"Determine if the organization manages information system authenticators by: ","parts":[{"id":"ia-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(a)"}],"prose":"verifying, as part of the initial authenticator distribution, the identity of:","parts":[{"id":"ia-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(a)[1]"}],"prose":"the individual receiving the authenticator;"},{"id":"ia-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(a)[2]"}],"prose":"the group receiving the authenticator;"},{"id":"ia-5.a_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(a)[3]"}],"prose":"the role receiving the authenticator; and/or"},{"id":"ia-5.a_obj.4","name":"objective","properties":[{"name":"label","value":"IA-5(a)[4]"}],"prose":"the device receiving the authenticator;"}]},{"id":"ia-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(b)"}],"prose":"establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(c)"}],"prose":"ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(d)"}],"parts":[{"id":"ia-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[1]"}],"prose":"establishing and implementing administrative procedures for initial\n authenticator distribution;"},{"id":"ia-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[2]"}],"prose":"establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;"},{"id":"ia-5.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[3]"}],"prose":"establishing and implementing administrative procedures for revoking\n authenticators;"}]},{"id":"ia-5.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(e)"}],"prose":"changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5.f_obj","name":"objective","properties":[{"name":"label","value":"IA-5(f)"}],"parts":[{"id":"ia-5.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[1]"}],"prose":"establishing minimum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[2]"}],"prose":"establishing maximum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[3]"}],"prose":"establishing reuse conditions for authenticators;"}]},{"id":"ia-5.g_obj","name":"objective","properties":[{"name":"label","value":"IA-5(g)"}],"parts":[{"id":"ia-5.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(g)[1]"}],"prose":"defining a time period (by authenticator type) for changing/refreshing\n authenticators;"},{"id":"ia-5.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(g)[2]"}],"prose":"changing/refreshing authenticators with the organization-defined time period by\n authenticator type;"}]},{"id":"ia-5.h_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(h)"}],"prose":"protecting authenticator content from unauthorized:","parts":[{"id":"ia-5.h_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(h)[1]"}],"prose":"disclosure;"},{"id":"ia-5.h_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(h)[2]"}],"prose":"modification;"}]},{"id":"ia-5.i_obj","name":"objective","properties":[{"name":"label","value":"IA-5(i)"}],"parts":[{"id":"ia-5.i_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-5(i)[1]"}],"prose":"requiring individuals to take specific security safeguards to protect\n authenticators;"},{"id":"ia-5.i_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(i)[2]"}],"prose":"having devices implement specific security safeguards to protect\n authenticators; and"}]},{"id":"ia-5.j_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(j)"}],"prose":"changing authenticators for group/role accounts when membership to those accounts\n changes."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability"}]}],"controls":[{"id":"ia-5.1","class":"SP800-53-enhancement","title":"Password-based Authentication","parameters":[{"id":"ia-5.1_prm_1","label":"organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type"},{"id":"ia-5.1_prm_2","label":"organization-defined number","constraints":[{"detail":"at least fifty percent (50%)"}]},{"id":"ia-5.1_prm_3","label":"organization-defined numbers for lifetime minimum, lifetime maximum"},{"id":"ia-5.1_prm_4","label":"organization-defined number","constraints":[{"detail":"twenty four (24)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-5(1)"},{"name":"sort-id","value":"ia-05.01"}],"parts":[{"id":"ia-5.1_smt","name":"statement","prose":"The information system, for password-based authentication:","parts":[{"id":"ia-5.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Enforces minimum password complexity of {{ ia-5.1_prm_1 }};"},{"id":"ia-5.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};"},{"id":"ia-5.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Stores and transmits only cryptographically-protected passwords;"},{"id":"ia-5.1_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};"},{"id":"ia-5.1_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and"},{"id":"ia-5.1_smt.f","name":"item","properties":[{"name":"label","value":"(f)"}],"prose":"Allows the use of a temporary password for system logons with an immediate\n change to a permanent password."},{"id":"ia-5.1_fr","name":"item","title":"IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(a) (d) Guidance:"}],"prose":"If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant."}]}]},{"id":"ia-5.1_gdn","name":"guidance","prose":"This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.","links":[{"href":"#ia-6","rel":"related","text":"IA-6"}]},{"id":"ia-5.1_obj","name":"objective","prose":"Determine if, for password-based authentication: ","parts":[{"id":"ia-5.1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)"}],"parts":[{"id":"ia-5.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[1]"}],"prose":"the organization defines requirements for case sensitivity;"},{"id":"ia-5.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[2]"}],"prose":"the organization defines requirements for number of characters;"},{"id":"ia-5.1.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[3]"}],"prose":"the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;"},{"id":"ia-5.1.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[4]"}],"prose":"the organization defines minimum requirements for each type of\n character;"},{"id":"ia-5.1.a_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(a)[5]"}],"prose":"the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;"}],"links":[{"href":"#ia-5.1_smt.a","rel":"corresp","text":"IA-5(1)(a)"}]},{"id":"ia-5.1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(b)"}],"parts":[{"id":"ia-5.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(b)[1]"}],"prose":"the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;"},{"id":"ia-5.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(b)[2]"}],"prose":"the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;"}],"links":[{"href":"#ia-5.1_smt.b","rel":"corresp","text":"IA-5(1)(b)"}]},{"id":"ia-5.1.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(c)"}],"prose":"the information system stores and transmits only encrypted representations of\n passwords;","links":[{"href":"#ia-5.1_smt.c","rel":"corresp","text":"IA-5(1)(c)"}]},{"id":"ia-5.1.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)"}],"parts":[{"id":"ia-5.1.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(d)[1]"}],"prose":"the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(d)[2]"}],"prose":"the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(d)[3]"}],"prose":"the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;"},{"id":"ia-5.1.d_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(d)[4]"}],"prose":"the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;"}],"links":[{"href":"#ia-5.1_smt.d","rel":"corresp","text":"IA-5(1)(d)"}]},{"id":"ia-5.1.e_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(e)"}],"parts":[{"id":"ia-5.1.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(e)[1]"}],"prose":"the organization defines the number of password generations to be prohibited\n from password reuse;"},{"id":"ia-5.1.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(e)[2]"}],"prose":"the information system prohibits password reuse for the organization-defined\n number of generations; and"}],"links":[{"href":"#ia-5.1_smt.e","rel":"corresp","text":"IA-5(1)(e)"}]},{"id":"ia-5.1.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(f)"}],"prose":"the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.","links":[{"href":"#ia-5.1_smt.f","rel":"corresp","text":"IA-5(1)(f)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing password-based\n authenticator management capability"}]}]},{"id":"ia-5.2","class":"SP800-53-enhancement","title":"Pki-based Authentication","properties":[{"name":"label","value":"IA-5(2)"},{"name":"sort-id","value":"ia-05.02"}],"parts":[{"id":"ia-5.2_smt","name":"statement","prose":"The information system, for PKI-based authentication:","parts":[{"id":"ia-5.2_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Validates certifications by constructing and verifying a certification path to\n an accepted trust anchor including checking certificate status information;"},{"id":"ia-5.2_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Enforces authorized access to the corresponding private key;"},{"id":"ia-5.2_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Maps the authenticated identity to the account of the individual or group;\n and"},{"id":"ia-5.2_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network."}]},{"id":"ia-5.2_gdn","name":"guidance","prose":"Status information for certification paths includes, for example, certificate\n revocation lists or certificate status protocol responses. For PIV cards,\n validation of certifications involves the construction and verification of a\n certification path to the Common Policy Root trust anchor including certificate\n policy processing.","links":[{"href":"#ia-6","rel":"related","text":"IA-6"}]},{"id":"ia-5.2_obj","name":"objective","prose":"Determine if the information system, for PKI-based authentication: ","parts":[{"id":"ia-5.2.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(2)(a)"}],"parts":[{"id":"ia-5.2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(a)[1]"}],"prose":"validates certifications by constructing a certification path to an accepted\n trust anchor;"},{"id":"ia-5.2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(a)[2]"}],"prose":"validates certifications by verifying a certification path to an accepted\n trust anchor;"},{"id":"ia-5.2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(a)[3]"}],"prose":"includes checking certificate status information when constructing and\n verifying the certification path;"}],"links":[{"href":"#ia-5.2_smt.a","rel":"corresp","text":"IA-5(2)(a)"}]},{"id":"ia-5.2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(b)"}],"prose":"enforces authorized access to the corresponding private key;","links":[{"href":"#ia-5.2_smt.b","rel":"corresp","text":"IA-5(2)(b)"}]},{"id":"ia-5.2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(c)"}],"prose":"maps the authenticated identity to the account of the individual or group;\n and","links":[{"href":"#ia-5.2_smt.c","rel":"corresp","text":"IA-5(2)(c)"}]},{"id":"ia-5.2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(d)"}],"prose":"implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network.","links":[{"href":"#ia-5.2_smt.d","rel":"corresp","text":"IA-5(2)(d)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nPKI certification validation records\\n\\nPKI certification revocation lists\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with PKI-based, authenticator management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing PKI-based, authenticator\n management capability"}]}]},{"id":"ia-5.3","class":"SP800-53-enhancement","title":"In-person or Trusted Third-party Registration","parameters":[{"id":"ia-5.3_prm_1","label":"organization-defined types of and/or specific authenticators","constraints":[{"detail":"All hardware/biometric (multifactor authenticators)"}]},{"id":"ia-5.3_prm_2","constraints":[{"detail":"in person"}]},{"id":"ia-5.3_prm_3","label":"organization-defined registration authority"},{"id":"ia-5.3_prm_4","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"IA-5(3)"},{"name":"sort-id","value":"ia-05.03"}],"parts":[{"id":"ia-5.3_smt","name":"statement","prose":"The organization requires that the registration process to receive {{ ia-5.3_prm_1 }} be conducted {{ ia-5.3_prm_2 }} before\n {{ ia-5.3_prm_3 }} with authorization by {{ ia-5.3_prm_4 }}."},{"id":"ia-5.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-5.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[1]"}],"prose":"defines types of and/or specific authenticators to be received in person or by\n a trusted third party;"},{"id":"ia-5.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[2]"}],"prose":"defines the registration authority with oversight of the registration process\n for receipt of organization-defined types of and/or specific\n authenticators;"},{"id":"ia-5.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[3]"}],"prose":"defines personnel or roles responsible for authorizing organization-defined\n registration authority;"},{"id":"ia-5.3_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[4]"}],"prose":"defines if the registration process is to be conducted:","parts":[{"id":"ia-5.3_obj.4.a","name":"objective","properties":[{"name":"label","value":"IA-5(3)[4][a]"}],"prose":"in person; or"},{"id":"ia-5.3_obj.4.b","name":"objective","properties":[{"name":"label","value":"IA-5(3)[4][b]"}],"prose":"by a trusted third party; and"}]},{"id":"ia-5.3_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-5(3)[5]"}],"prose":"requires that the registration process to receive organization-defined types of\n and/or specific authenticators be conducted in person or by a trusted third\n party before organization-defined registration authority with authorization by\n organization-defined personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nregistration process for receiving information system authenticators\\n\\nlist of authenticators requiring in-person registration\\n\\nlist of authenticators requiring trusted third party registration\\n\\nauthenticator registration documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\nregistration authority\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ia-5.4","class":"SP800-53-enhancement","title":"Automated Support for Password Strength Determination","parameters":[{"id":"ia-5.4_prm_1","label":"organization-defined requirements","constraints":[{"detail":"complexity as identified in IA-5 (1) Control Enhancement Part (a)"}]}],"properties":[{"name":"label","value":"IA-5(4)"},{"name":"sort-id","value":"ia-05.04"}],"parts":[{"id":"ia-5.4_smt","name":"statement","prose":"The organization employs automated tools to determine if password authenticators\n are sufficiently strong to satisfy {{ ia-5.4_prm_1 }}.","parts":[{"id":"ia-5.4_fr","name":"item","title":"IA-5 (4) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5.4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators."}]}]},{"id":"ia-5.4_gdn","name":"guidance","prose":"This control enhancement focuses on the creation of strong passwords and the\n characteristics of such passwords (e.g., complexity) prior to use, the enforcement\n of which is carried out by organizational information systems in IA-5 (1).","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"ia-5.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-5.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(4)[1]"}],"prose":"defines requirements to be satisfied by password authenticators; and"},{"id":"ia-5.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(4)[2]"}],"prose":"employs automated tools to determine if password authenticators are\n sufficiently strong to satisfy organization-defined requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nautomated tools for evaluating password authenticators\\n\\npassword strength assessment results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing password-based\n authenticator management capability\\n\\nautomated tools for determining password strength"}]}]},{"id":"ia-5.6","class":"SP800-53-enhancement","title":"Protection of Authenticators","properties":[{"name":"label","value":"IA-5(6)"},{"name":"sort-id","value":"ia-05.06"}],"parts":[{"id":"ia-5.6_smt","name":"statement","prose":"The organization protects authenticators commensurate with the security category\n of the information to which use of the authenticator permits access."},{"id":"ia-5.6_gdn","name":"guidance","prose":"For information systems containing multiple security categories of information\n without reliable physical or logical separation between categories, authenticators\n used to grant access to the systems are protected commensurate with the highest\n security category of information on the systems."},{"id":"ia-5.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects authenticators commensurate with the\n security category of the information to which use of the authenticator permits\n access."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity categorization documentation for the information system\\n\\nsecurity assessments of authenticator protections\\n\\nrisk assessment results\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel implementing and/or maintaining authenticator\n protections\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms protecting authenticators"}]}]},{"id":"ia-5.7","class":"SP800-53-enhancement","title":"No Embedded Unencrypted Static Authenticators","properties":[{"name":"label","value":"IA-5(7)"},{"name":"sort-id","value":"ia-05.07"}],"parts":[{"id":"ia-5.7_smt","name":"statement","prose":"The organization ensures that unencrypted static authenticators are not embedded\n in applications or access scripts or stored on function keys."},{"id":"ia-5.7_gdn","name":"guidance","prose":"Organizations exercise caution in determining whether embedded or stored\n authenticators are in encrypted or unencrypted form. If authenticators are used in\n the manner stored, then those representations are considered unencrypted\n authenticators. This is irrespective of whether that representation is perhaps an\n encrypted version of something else (e.g., a password)."},{"id":"ia-5.7_obj","name":"objective","prose":"Determine if the organization ensures that unencrypted static authenticators are\n not: ","parts":[{"id":"ia-5.7_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(7)[1]"}],"prose":"embedded in applications;"},{"id":"ia-5.7_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(7)[2]"}],"prose":"embedded in access scripts; or"},{"id":"ia-5.7_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(7)[3]"}],"prose":"stored on function keys."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access scripts\\n\\napplication code reviews for detecting unencrypted static authenticators\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms implementing authentication in applications"}]}]},{"id":"ia-5.8","class":"SP800-53-enhancement","title":"Multiple Information System Accounts","parameters":[{"id":"ia-5.8_prm_1","label":"organization-defined security safeguards","constraints":[{"detail":"different authenticators on different systems"}]}],"properties":[{"name":"label","value":"IA-5(8)"},{"name":"sort-id","value":"ia-05.08"}],"parts":[{"id":"ia-5.8_smt","name":"statement","prose":"The organization implements {{ ia-5.8_prm_1 }} to manage the risk\n of compromise due to individuals having accounts on multiple information\n systems."},{"id":"ia-5.8_gdn","name":"guidance","prose":"When individuals have accounts on multiple information systems, there is the risk\n that the compromise of one account may lead to the compromise of other accounts if\n individuals use the same authenticators. Possible alternatives include, for\n example: (i) having different authenticators on all systems; (ii) employing some\n form of single sign-on mechanism; or (iii) including some form of one-time\n passwords on all systems."},{"id":"ia-5.8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-5.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(8)[1]"}],"prose":"defines security safeguards to manage the risk of compromise due to individuals\n having accounts on multiple information systems; and"},{"id":"ia-5.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(8)[2]"}],"prose":"implements organization-defined security safeguards to manage the risk of\n compromise due to individuals having accounts on multiple information\n systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\nlist of individuals having accounts on multiple information systems\\n\\nlist of security safeguards intended to manage risk of compromise due to\n individuals having accounts on multiple information systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing safeguards for\n authenticator management"}]}]},{"id":"ia-5.11","class":"SP800-53-enhancement","title":"Hardware Token-based Authentication","parameters":[{"id":"ia-5.11_prm_1","label":"organization-defined token quality requirements"}],"properties":[{"name":"label","value":"IA-5(11)"},{"name":"sort-id","value":"ia-05.11"}],"parts":[{"id":"ia-5.11_smt","name":"statement","prose":"The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}."},{"id":"ia-5.11_gdn","name":"guidance","prose":"Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI."},{"id":"ia-5.11_obj","name":"objective","prose":"Determine if, for hardware token-based authentication: ","parts":[{"id":"ia-5.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(11)[1]"}],"prose":"the organization defines token quality requirements to be satisfied; and"},{"id":"ia-5.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(11)[2]"}],"prose":"the information system employs mechanisms that satisfy organization-defined\n token quality requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability"}]}]},{"id":"ia-5.13","class":"SP800-53-enhancement","title":"Expiration of Cached Authenticators","parameters":[{"id":"ia-5.13_prm_1","label":"organization-defined time period"}],"properties":[{"name":"label","value":"IA-5(13)"},{"name":"sort-id","value":"ia-05.13"}],"parts":[{"id":"ia-5.13_smt","name":"statement","prose":"The information system prohibits the use of cached authenticators after {{ ia-5.13_prm_1 }}."},{"id":"ia-5.13_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ia-5.13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(13)[1]"}],"prose":"the organization defines the time period after which the information system is\n to prohibit the use of cached authenticators; and"},{"id":"ia-5.13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(13)[2]"}],"prose":"the information system prohibits the use of cached authenticators after the\n organization-defined time period."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability"}]}]}]},{"id":"ia-6","class":"SP800-53","title":"Authenticator Feedback","properties":[{"name":"label","value":"IA-6"},{"name":"sort-id","value":"ia-06"}],"parts":[{"id":"ia-6_smt","name":"statement","prose":"The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals."},{"id":"ia-6_gdn","name":"guidance","prose":"The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.","links":[{"href":"#pe-18","rel":"related","text":"PE-18"}]},{"id":"ia-6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication"}]}]},{"id":"ia-7","class":"SP800-53","title":"Cryptographic Module Authentication","properties":[{"name":"label","value":"IA-7"},{"name":"sort-id","value":"ia-07"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#b09d1a31-d3c9-4138-a4f4-4c63816afd7d","rel":"reference","text":"http://csrc.nist.gov/groups/STM/cmvp/index.html"}],"parts":[{"id":"ia-7_smt","name":"statement","prose":"The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication."},{"id":"ia-7_gdn","name":"guidance","prose":"Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.","links":[{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ia-7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic module\n authentication"}]}]},{"id":"ia-8","class":"SP800-53","title":"Identification and Authentication (non-organizational Users)","properties":[{"name":"label","value":"IA-8"},{"name":"sort-id","value":"ia-08"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#599fe9ba-4750-4450-9eeb-b95bd19a5e8f","rel":"reference","text":"OMB Memorandum 10-06-2011"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#654f21e2-f3bc-43b2-abdc-60ab8d09744b","rel":"reference","text":"National Strategy for Trusted Identities in\n Cyberspace"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-8_smt","name":"statement","prose":"The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)."},{"id":"ia-8_gdn","name":"guidance","prose":"Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"ia-8_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-8.1","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials from Other Agencies","properties":[{"name":"label","value":"IA-8(1)"},{"name":"sort-id","value":"ia-08.01"}],"parts":[{"id":"ia-8.1_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies."},{"id":"ia-8.1_gdn","name":"guidance","prose":"This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.1_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(1)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials from other agencies;\n and"},{"id":"ia-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(1)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials"}]}]},{"id":"ia-8.2","class":"SP800-53-enhancement","title":"Acceptance of Third-party Credentials","properties":[{"name":"label","value":"IA-8(2)"},{"name":"sort-id","value":"ia-08.02"}],"parts":[{"id":"ia-8.2_smt","name":"statement","prose":"The information system accepts only FICAM-approved third-party credentials."},{"id":"ia-8.2_gdn","name":"guidance","prose":"This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.","links":[{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"ia-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system accepts only FICAM-approved third-party\n credentials. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials"}]}]},{"id":"ia-8.3","class":"SP800-53-enhancement","title":"Use of Ficam-approved Products","parameters":[{"id":"ia-8.3_prm_1","label":"organization-defined information systems"}],"properties":[{"name":"label","value":"IA-8(3)"},{"name":"sort-id","value":"ia-08.03"}],"parts":[{"id":"ia-8.3_smt","name":"statement","prose":"The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials."},{"id":"ia-8.3_gdn","name":"guidance","prose":"This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-8.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-8(3)[1]"}],"prose":"defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and"},{"id":"ia-8.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(3)[2]"}],"prose":"employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}]},{"id":"ia-8.4","class":"SP800-53-enhancement","title":"Use of Ficam-issued Profiles","properties":[{"name":"label","value":"IA-8(4)"},{"name":"sort-id","value":"ia-08.04"}],"parts":[{"id":"ia-8.4_smt","name":"statement","prose":"The information system conforms to FICAM-issued profiles."},{"id":"ia-8.4_gdn","name":"guidance","prose":"This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system conforms to FICAM-issued profiles. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles"}]}]}]}]},{"id":"ir","class":"family","title":"Incident Response","controls":[{"id":"ir-1","class":"SP800-53","title":"Incident Response Policy and Procedures","parameters":[{"id":"ir-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ir-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-1"},{"name":"sort-id","value":"ir-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ir-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ir-1_prm_1 }}:","parts":[{"id":"ir-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ir-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and"}]},{"id":"ir-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ir-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Incident response policy {{ ir-1_prm_2 }}; and"},{"id":"ir-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Incident response procedures {{ ir-1_prm_3 }}."}]}]},{"id":"ir-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ir-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-1.a_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)"}],"parts":[{"id":"ir-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)"}],"parts":[{"id":"ir-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(1)[1]"}],"prose":"develops and documents an incident response policy that addresses:","parts":[{"id":"ir-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ir-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ir-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ir-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ir-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ir-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ir-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ir-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the incident response policy is to be\n disseminated;"},{"id":"ir-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-1(a)(1)[3]"}],"prose":"disseminates the incident response policy to organization-defined personnel\n or roles;"}]},{"id":"ir-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)"}],"parts":[{"id":"ir-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;"},{"id":"ir-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ir-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ir-1.b_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)"}],"parts":[{"id":"ir-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(1)"}],"parts":[{"id":"ir-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current incident response\n policy;"},{"id":"ir-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(1)[2]"}],"prose":"reviews and updates the current incident response policy with the\n organization-defined frequency;"}]},{"id":"ir-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(2)"}],"parts":[{"id":"ir-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current incident response\n procedures; and"},{"id":"ir-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(2)[2]"}],"prose":"reviews and updates the current incident response procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-2","class":"SP800-53","title":"Incident Response Training","parameters":[{"id":"ir-2_prm_1","label":"organization-defined time period","constraints":[{"detail":"within ten (10) days"}]},{"id":"ir-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-2"},{"name":"sort-id","value":"ir-02"}],"links":[{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"ir-2_smt","name":"statement","prose":"The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:","parts":[{"id":"ir-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;"},{"id":"ir-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"ir-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ ir-2_prm_2 }} thereafter."}]},{"id":"ir-2_gdn","name":"guidance","prose":"Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-2.a_obj","name":"objective","properties":[{"name":"label","value":"IR-2(a)"}],"parts":[{"id":"ir-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-2(a)[1]"}],"prose":"defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;"},{"id":"ir-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(a)[2]"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;"}]},{"id":"ir-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(b)"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;"},{"id":"ir-2.c_obj","name":"objective","properties":[{"name":"label","value":"IR-2(c)"}],"parts":[{"id":"ir-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-2(c)[1]"}],"prose":"defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and"},{"id":"ir-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(c)[2]"}],"prose":"after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}],"controls":[{"id":"ir-2.1","class":"SP800-53-enhancement","title":"Simulated Events","properties":[{"name":"label","value":"IR-2(1)"},{"name":"sort-id","value":"ir-02.01"}],"parts":[{"id":"ir-2.1_smt","name":"statement","prose":"The organization incorporates simulated events into incident response training to\n facilitate effective response by personnel in crisis situations."},{"id":"ir-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization incorporates simulated events into incident response\n training to facilitate effective response by personnel in crisis situations. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that support and/or implement simulated events for\n incident response training"}]}]},{"id":"ir-2.2","class":"SP800-53-enhancement","title":"Automated Training Environments","properties":[{"name":"label","value":"IR-2(2)"},{"name":"sort-id","value":"ir-02.02"}],"parts":[{"id":"ir-2.2_smt","name":"statement","prose":"The organization employs automated mechanisms to provide a more thorough and\n realistic incident response training environment."},{"id":"ir-2.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to provide a more\n thorough and realistic incident response training environment. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nautomated mechanisms supporting incident response training\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that provide a thorough and realistic incident response\n training environment"}]}]}]},{"id":"ir-3","class":"SP800-53","title":"Incident Response Testing","parameters":[{"id":"ir-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every six (6) months"}]},{"id":"ir-3_prm_2","label":"organization-defined tests"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-3"},{"name":"sort-id","value":"ir-03"}],"links":[{"href":"#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf","rel":"reference","text":"NIST Special Publication 800-84"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"}],"parts":[{"id":"ir-3_smt","name":"statement","prose":"The organization tests the incident response capability for the information system\n {{ ir-3_prm_1 }} using {{ ir-3_prm_2 }} to determine\n the incident response effectiveness and documents the results.","parts":[{"id":"ir-3_fr","name":"item","title":"IR-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-3_fr_smt.1","name":"item","properties":[{"name":"label","value":"IR-3 -2 Requirement:"}],"prose":"The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing."}]}]},{"id":"ir-3_gdn","name":"guidance","prose":"Organizations test incident response capabilities to determine the overall\n effectiveness of the capabilities and to identify potential weaknesses or\n deficiencies. Incident response testing includes, for example, the use of checklists,\n walk-through or tabletop exercises, simulations (parallel/full interrupt), and\n comprehensive exercises. Incident response testing can also include a determination\n of the effects on organizational operations (e.g., reduction in mission\n capabilities), organizational assets, and individuals due to incident response.","links":[{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-3_obj.1","name":"objective","properties":[{"name":"label","value":"IR-3[1]"}],"prose":"defines incident response tests to test the incident response capability for the\n information system;"},{"id":"ir-3_obj.2","name":"objective","properties":[{"name":"label","value":"IR-3[2]"}],"prose":"defines the frequency to test the incident response capability for the information\n system; and"},{"id":"ir-3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-3[3]"}],"prose":"tests the incident response capability for the information system with the\n organization-defined frequency, using organization-defined tests to determine the\n incident response effectiveness and documents the results."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nprocedures addressing contingency plan testing\\n\\nincident response testing material\\n\\nincident response test results\\n\\nincident response test plan\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with information security responsibilities"}]}],"controls":[{"id":"ir-3.2","class":"SP800-53-enhancement","title":"Coordination with Related Plans","properties":[{"name":"label","value":"IR-3(2)"},{"name":"sort-id","value":"ir-03.02"}],"parts":[{"id":"ir-3.2_smt","name":"statement","prose":"The organization coordinates incident response testing with organizational\n elements responsible for related plans."},{"id":"ir-3.2_gdn","name":"guidance","prose":"Organizational plans related to incident response testing include, for example,\n Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity\n of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n and Occupant Emergency Plans."},{"id":"ir-3.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization coordinates incident response testing with\n organizational elements responsible for related plans. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nincident response testing documentation\\n\\nincident response plan\\n\\nbusiness continuity plans\\n\\ncontingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with responsibilities for testing organizational plans\n related to incident response testing\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ir-4","class":"SP800-53","title":"Incident Handling","properties":[{"name":"label","value":"IR-4"},{"name":"sort-id","value":"ir-04"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;"},{"id":"ir-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates incident handling activities with contingency planning activities;\n and"},{"id":"ir-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly."},{"id":"ir-4_fr","name":"item","title":"IR-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-4_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system."}]}]},{"id":"ir-4_gdn","name":"guidance","prose":"Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-2","rel":"related","text":"IR-2"},{"href":"#ir-3","rel":"related","text":"IR-3"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-4.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(a)"}],"prose":"implements an incident handling capability for security incidents that\n includes:","parts":[{"id":"ir-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"IR-4(a)[1]"}],"prose":"preparation;"},{"id":"ir-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"IR-4(a)[2]"}],"prose":"detection and analysis;"},{"id":"ir-4.a_obj.3","name":"objective","properties":[{"name":"label","value":"IR-4(a)[3]"}],"prose":"containment;"},{"id":"ir-4.a_obj.4","name":"objective","properties":[{"name":"label","value":"IR-4(a)[4]"}],"prose":"eradication;"},{"id":"ir-4.a_obj.5","name":"objective","properties":[{"name":"label","value":"IR-4(a)[5]"}],"prose":"recovery;"}]},{"id":"ir-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-4(b)"}],"prose":"coordinates incident handling activities with contingency planning activities;"},{"id":"ir-4.c_obj","name":"objective","properties":[{"name":"label","value":"IR-4(c)"}],"parts":[{"id":"ir-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(c)[1]"}],"prose":"incorporates lessons learned from ongoing incident handling activities\n into:","parts":[{"id":"ir-4.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][b]"}],"prose":"training;"},{"id":"ir-4.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][c]"}],"prose":"testing/exercises;"}]},{"id":"ir-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-4(c)[2]"}],"prose":"implements the resulting changes accordingly to:","parts":[{"id":"ir-4.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][b]"}],"prose":"training; and"},{"id":"ir-4.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][c]"}],"prose":"testing/exercises."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident handling capability for the organization"}]}],"controls":[{"id":"ir-4.1","class":"SP800-53-enhancement","title":"Automated Incident Handling Processes","properties":[{"name":"label","value":"IR-4(1)"},{"name":"sort-id","value":"ir-04.01"}],"parts":[{"id":"ir-4.1_smt","name":"statement","prose":"The organization employs automated mechanisms to support the incident handling\n process."},{"id":"ir-4.1_gdn","name":"guidance","prose":"Automated mechanisms supporting incident handling processes include, for example,\n online incident management systems."},{"id":"ir-4.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to support the incident\n handling process. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that support and/or implement the incident handling\n process"}]}]},{"id":"ir-4.2","class":"SP800-53-enhancement","title":"Dynamic Reconfiguration","parameters":[{"id":"ir-4.2_prm_1","label":"organization-defined information system components","constraints":[{"detail":"all network, data storage, and computing devices"}]}],"properties":[{"name":"label","value":"IR-4(2)"},{"name":"sort-id","value":"ir-04.02"}],"parts":[{"id":"ir-4.2_smt","name":"statement","prose":"The organization includes dynamic reconfiguration of {{ ir-4.2_prm_1 }} as part of the incident response capability."},{"id":"ir-4.2_gdn","name":"guidance","prose":"Dynamic reconfiguration includes, for example, changes to router rules, access\n control lists, intrusion detection/prevention system parameters, and filter rules\n for firewalls and gateways. Organizations perform dynamic reconfiguration of\n information systems, for example, to stop attacks, to misdirect attackers, and to\n isolate components of systems, thus limiting the extent of the damage from\n breaches or compromises. Organizations include time frames for achieving the\n reconfiguration of information systems in the definition of the reconfiguration\n capability, considering the potential need for rapid response in order to\n effectively address sophisticated cyber threats.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"}]},{"id":"ir-4.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-4.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(2)[1]"}],"prose":"defines information system components to be dynamically reconfigured as part of\n the incident response capability; and"},{"id":"ir-4.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-4(2)[2]"}],"prose":"includes dynamic reconfiguration of organization-defined information system\n components as part of the incident response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\nlist of system components to be dynamically reconfigured as part of incident\n response capability\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that support and/or implement dynamic reconfiguration of\n components as part of incident response"}]}]},{"id":"ir-4.3","class":"SP800-53-enhancement","title":"Continuity of Operations","parameters":[{"id":"ir-4.3_prm_1","label":"organization-defined classes of incidents"},{"id":"ir-4.3_prm_2","label":"organization-defined actions to take in response to classes of\n incidents"}],"properties":[{"name":"label","value":"IR-4(3)"},{"name":"sort-id","value":"ir-04.03"}],"parts":[{"id":"ir-4.3_smt","name":"statement","prose":"The organization identifies {{ ir-4.3_prm_1 }} and {{ ir-4.3_prm_2 }} to ensure continuation of organizational missions and\n business functions."},{"id":"ir-4.3_gdn","name":"guidance","prose":"Classes of incidents include, for example, malfunctions due to\n design/implementation errors and omissions, targeted malicious attacks, and\n untargeted malicious attacks. Appropriate incident response actions include, for\n example, graceful degradation, information system shutdown, fall back to manual\n mode/alternative technology whereby the system operates differently, employing\n deceptive measures, alternate information flows, or operating in a mode that is\n reserved solely for when systems are under attack."},{"id":"ir-4.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-4.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(3)[1]"}],"prose":"defines classes of incidents requiring an organization-defined action to be\n taken;"},{"id":"ir-4.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(3)[2]"}],"prose":"defines actions to be taken in response to organization-defined classes of\n incidents; and"},{"id":"ir-4.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-4(3)[3]"}],"prose":"identifies organization-defined classes of incidents and organization-defined\n actions to take in response to classes of incidents to ensure continuation of\n organizational missions and business functions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\nsecurity plan\\n\\nlist of classes of incidents\\n\\nlist of appropriate incident response actions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that support and/or implement continuity of operations"}]}]},{"id":"ir-4.4","class":"SP800-53-enhancement","title":"Information Correlation","properties":[{"name":"label","value":"IR-4(4)"},{"name":"sort-id","value":"ir-04.04"}],"parts":[{"id":"ir-4.4_smt","name":"statement","prose":"The organization correlates incident information and individual incident responses\n to achieve an organization-wide perspective on incident awareness and\n response."},{"id":"ir-4.4_gdn","name":"guidance","prose":"Sometimes the nature of a threat event, for example, a hostile cyber attack, is\n such that it can only be observed by bringing together information from different\n sources including various reports and reporting procedures established by\n organizations."},{"id":"ir-4.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization correlates incident information and individual\n incident responses to achieve an organization-wide perspective on incident\n awareness and response. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\nsecurity plan\\n\\nautomated mechanisms supporting incident and event correlation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident management correlation logs\\n\\nevent management correlation logs\\n\\nsecurity information and event management logs\\n\\nincident management correlation reports\\n\\nevent management correlation reports\\n\\nsecurity information and event management reports\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with whom incident information and individual incident\n responses are to be correlated"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for correlating incident information and individual\n incident responses\\n\\nautomated mechanisms that support and or implement correlation of incident\n response information with individual incident responses"}]}]},{"id":"ir-4.6","class":"SP800-53-enhancement","title":"Insider Threats - Specific Capabilities","properties":[{"name":"label","value":"IR-4(6)"},{"name":"sort-id","value":"ir-04.06"}],"parts":[{"id":"ir-4.6_smt","name":"statement","prose":"The organization implements incident handling capability for insider threats."},{"id":"ir-4.6_gdn","name":"guidance","prose":"While many organizations address insider threat incidents as an inherent part of\n their organizational incident response capability, this control enhancement\n provides additional emphasis on this type of threat and the need for specific\n incident handling capabilities (as defined within organizations) to provide\n appropriate and timely responses."},{"id":"ir-4.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization implements incident handling capability for insider\n threats."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident handling capability for the organization"}]}]},{"id":"ir-4.8","class":"SP800-53-enhancement","title":"Correlation with External Organizations","parameters":[{"id":"ir-4.8_prm_1","label":"organization-defined external organizations","constraints":[{"detail":"external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)"}]},{"id":"ir-4.8_prm_2","label":"organization-defined incident information"}],"properties":[{"name":"label","value":"IR-4(8)"},{"name":"sort-id","value":"ir-04.08"}],"parts":[{"id":"ir-4.8_smt","name":"statement","prose":"The organization coordinates with {{ ir-4.8_prm_1 }} to correlate\n and share {{ ir-4.8_prm_2 }} to achieve a cross-organization\n perspective on incident awareness and more effective incident responses."},{"id":"ir-4.8_gdn","name":"guidance","prose":"The coordination of incident information with external organizations including,\n for example, mission/business partners, military/coalition partners, customers,\n and multitiered developers, can provide significant benefits. Cross-organizational\n coordination with respect to incident handling can serve as an important risk\n management capability. This capability allows organizations to leverage critical\n information from a variety of sources to effectively respond to information\n security-related incidents potentially affecting the organization’s operations,\n assets, and individuals."},{"id":"ir-4.8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-4.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(8)[1]"}],"prose":"defines external organizations with whom organizational incident information is\n to be coordinated;"},{"id":"ir-4.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(8)[2]"}],"prose":"defines incident information to be correlated and shared with\n organization-defined external organizations; and"},{"id":"ir-4.8_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-4(8)[3]"}],"prose":"the organization coordinates with organization-defined external organizations\n to correlate and share organization-defined information to achieve a\n cross-organization perspective on incident awareness and more effective\n incident responses."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nlist of external organizations\\n\\nrecords of incident handling coordination with external organizations\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel from external organizations with whom incident response information\n is to be coordinated/shared/correlated"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for coordinating incident handling information with\n external organizations"}]}]}]},{"id":"ir-5","class":"SP800-53","title":"Incident Monitoring","properties":[{"name":"label","value":"IR-5"},{"name":"sort-id","value":"ir-05"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-5_smt","name":"statement","prose":"The organization tracks and documents information system security incidents."},{"id":"ir-5_gdn","name":"guidance","prose":"Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-5_obj.1","name":"objective","properties":[{"name":"label","value":"IR-5[1]"}],"prose":"tracks information system security incidents; and"},{"id":"ir-5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-5[2]"}],"prose":"documents information system security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents"}]}],"controls":[{"id":"ir-5.1","class":"SP800-53-enhancement","title":"Automated Tracking / Data Collection / Analysis","properties":[{"name":"label","value":"IR-5(1)"},{"name":"sort-id","value":"ir-05.01"}],"parts":[{"id":"ir-5.1_smt","name":"statement","prose":"The organization employs automated mechanisms to assist in the tracking of\n security incidents and in the collection and analysis of incident information."},{"id":"ir-5.1_gdn","name":"guidance","prose":"Automated mechanisms for tracking security incidents and collecting/analyzing\n incident information include, for example, the Einstein network monitoring device\n and monitoring online Computer Incident Response Centers (CIRCs) or other\n electronic databases of incidents.","links":[{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#ir-4","rel":"related","text":"IR-4"}]},{"id":"ir-5.1_obj","name":"objective","prose":"Determine if the organization employs automated mechanisms to assist in:","parts":[{"id":"ir-5.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-5(1)[1]"}],"prose":"the tracking of security incidents;"},{"id":"ir-5.1_obj.2","name":"objective","properties":[{"name":"label","value":"IR-5(1)[2]"}],"prose":"the collection of incident information; and"},{"id":"ir-5.1_obj.3","name":"objective","properties":[{"name":"label","value":"IR-5(1)[3]"}],"prose":"the analysis of incident information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nautomated mechanisms supporting incident monitoring\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms assisting in tracking of security incidents and in the\n collection and analysis of incident information"}]}]}]},{"id":"ir-6","class":"SP800-53","title":"Incident Reporting","parameters":[{"id":"ir-6_prm_1","label":"organization-defined time period","constraints":[{"detail":"US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)"}]},{"id":"ir-6_prm_2","label":"organization-defined authorities"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-6"},{"name":"sort-id","value":"ir-06"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#02631467-668b-4233-989b-3dfded2fd184","rel":"reference","text":"http://www.us-cert.gov"}],"parts":[{"id":"ir-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and"},{"id":"ir-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports security incident information to {{ ir-6_prm_2 }}."},{"id":"ir-6_fr","name":"item","title":"IR-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Report security incident information according to FedRAMP Incident Communications Procedure."}]}]},{"id":"ir-6_gdn","name":"guidance","prose":"The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-6.a_obj","name":"objective","properties":[{"name":"label","value":"IR-6(a)"}],"parts":[{"id":"ir-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-6(a)[1]"}],"prose":"defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;"},{"id":"ir-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-6(a)[2]"}],"prose":"requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;"}]},{"id":"ir-6.b_obj","name":"objective","properties":[{"name":"label","value":"IR-6(b)"}],"parts":[{"id":"ir-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-6(b)[1]"}],"prose":"defines authorities to whom security incident information is to be reported;\n and"},{"id":"ir-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-6(b)[2]"}],"prose":"reports security incident information to organization-defined authorities."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting"}]}],"controls":[{"id":"ir-6.1","class":"SP800-53-enhancement","title":"Automated Reporting","properties":[{"name":"label","value":"IR-6(1)"},{"name":"sort-id","value":"ir-06.01"}],"parts":[{"id":"ir-6.1_smt","name":"statement","prose":"The organization employs automated mechanisms to assist in the reporting of\n security incidents."},{"id":"ir-6.1_gdn","name":"guidance","links":[{"href":"#ir-7","rel":"related","text":"IR-7"}]},{"id":"ir-6.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to assist in the\n reporting of security incidents."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nautomated mechanisms supporting incident reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing reporting of security\n incidents"}]}]}]},{"id":"ir-7","class":"SP800-53","title":"Incident Response Assistance","properties":[{"name":"label","value":"IR-7"},{"name":"sort-id","value":"ir-07"}],"parts":[{"id":"ir-7_smt","name":"statement","prose":"The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents."},{"id":"ir-7_gdn","name":"guidance","prose":"Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ir-7_obj","name":"objective","prose":"Determine if the organization provides an incident response support resource:","parts":[{"id":"ir-7_obj.1","name":"objective","properties":[{"name":"label","value":"IR-7[1]"}],"prose":"that is integral to the organizational incident response capability; and"},{"id":"ir-7_obj.2","name":"objective","properties":[{"name":"label","value":"IR-7[2]"}],"prose":"that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance"}]}],"controls":[{"id":"ir-7.1","class":"SP800-53-enhancement","title":"Automation Support for Availability of Information / Support","properties":[{"name":"label","value":"IR-7(1)"},{"name":"sort-id","value":"ir-07.01"}],"parts":[{"id":"ir-7.1_smt","name":"statement","prose":"The organization employs automated mechanisms to increase the availability of\n incident response-related information and support."},{"id":"ir-7.1_gdn","name":"guidance","prose":"Automated mechanisms can provide a push and/or pull capability for users to obtain\n incident response assistance. For example, individuals might have access to a\n website to query the assistance capability, or conversely, the assistance\n capability may have the ability to proactively send information to users (general\n distribution or targeted) as part of increasing understanding of current response\n capabilities and support."},{"id":"ir-7.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to increase the\n availability of incident response-related information and support."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nautomated mechanisms supporting incident response support and assistance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response support and assistance\n responsibilities\\n\\norganizational personnel with access to incident response support and\n assistance capability\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing an increase in the\n availability of incident response information and support"}]}]},{"id":"ir-7.2","class":"SP800-53-enhancement","title":"Coordination with External Providers","properties":[{"name":"label","value":"IR-7(2)"},{"name":"sort-id","value":"ir-07.02"}],"parts":[{"id":"ir-7.2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-7.2_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and"},{"id":"ir-7.2_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Identifies organizational incident response team members to the external\n providers."}]},{"id":"ir-7.2_gdn","name":"guidance","prose":"External providers of information system protection capability include, for\n example, the Computer Network Defense program within the U.S. Department of\n Defense. External providers help to protect, monitor, analyze, detect, and respond\n to unauthorized activity within organizational information systems and\n networks."},{"id":"ir-7.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-7.2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-7(2)(a)"}],"prose":"establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and","links":[{"href":"#ir-7.2_smt.a","rel":"corresp","text":"IR-7(2)(a)"}]},{"id":"ir-7.2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-7(2)(b)"}],"prose":"identifies organizational incident response team members to the external\n providers.","links":[{"href":"#ir-7.2_smt.b","rel":"corresp","text":"IR-7(2)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response support and assistance\n responsibilities\\n\\nexternal providers of information system protection capability\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ir-8","class":"SP800-53","title":"Incident Response Plan","parameters":[{"id":"ir-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-8_prm_2","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]},{"id":"ir-8_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ir-8_prm_4","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-8"},{"name":"sort-id","value":"ir-08"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops an incident response plan that:","parts":[{"id":"ir-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Describes the structure and organization of the incident response\n capability;"},{"id":"ir-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;"},{"id":"ir-8_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Defines reportable incidents;"},{"id":"ir-8_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and"},{"id":"ir-8_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Is reviewed and approved by {{ ir-8_prm_1 }};"}]},{"id":"ir-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the incident response plan to {{ ir-8_prm_2 }};"},{"id":"ir-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the incident response plan {{ ir-8_prm_3 }};"},{"id":"ir-8_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;"},{"id":"ir-8_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and"},{"id":"ir-8_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Protects the incident response plan from unauthorized disclosure and\n modification."},{"id":"ir-8_fr","name":"item","title":"IR-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-8_fr_smt.b","name":"item","properties":[{"name":"label","value":"(b) Requirement:"}],"prose":"The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel."},{"id":"ir-8_fr_smt.e","name":"item","properties":[{"name":"label","value":"(e) Requirement:"}],"prose":"The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel."}]}]},{"id":"ir-8_gdn","name":"guidance","prose":"It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.","links":[{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"}]},{"id":"ir-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-8.a_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)"}],"prose":"develops an incident response plan that:","parts":[{"id":"ir-8.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(1)"}],"prose":"provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(2)"}],"prose":"describes the structure and organization of the incident response\n capability;"},{"id":"ir-8.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(3)"}],"prose":"provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(4)"}],"prose":"meets the unique requirements of the organization, which relate to:","parts":[{"id":"ir-8.a.4_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[1]"}],"prose":"mission;"},{"id":"ir-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[2]"}],"prose":"size;"},{"id":"ir-8.a.4_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[3]"}],"prose":"structure;"},{"id":"ir-8.a.4_obj.4","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[4]"}],"prose":"functions;"}]},{"id":"ir-8.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(5)"}],"prose":"defines reportable incidents;"},{"id":"ir-8.a.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(a)(6)"}],"prose":"provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8.a.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(7)"}],"prose":"defines the resources and management support needed to effectively maintain and\n mature an incident response capability;"},{"id":"ir-8.a.8_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(8)"}],"parts":[{"id":"ir-8.a.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(8)[1]"}],"prose":"defines personnel or roles to review and approve the incident response\n plan;"},{"id":"ir-8.a.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-8(a)(8)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"ir-8.b_obj","name":"objective","properties":[{"name":"label","value":"IR-8(b)"}],"parts":[{"id":"ir-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(b)[1]"}],"parts":[{"id":"ir-8.b_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(b)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;"},{"id":"ir-8.b_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(b)[1][b]"}],"prose":"defines organizational elements to whom copies of the incident response plan\n are to be distributed;"}]},{"id":"ir-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(b)[2]"}],"prose":"distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;"}]},{"id":"ir-8.c_obj","name":"objective","properties":[{"name":"label","value":"IR-8(c)"}],"parts":[{"id":"ir-8.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(c)[1]"}],"prose":"defines the frequency to review the incident response plan;"},{"id":"ir-8.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-8(c)[2]"}],"prose":"reviews the incident response plan with the organization-defined frequency;"}]},{"id":"ir-8.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(d)"}],"prose":"updates the incident response plan to address system/organizational changes or\n problems encountered during plan:","parts":[{"id":"ir-8.d_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(d)[1]"}],"prose":"implementation;"},{"id":"ir-8.d_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(d)[2]"}],"prose":"execution; or"},{"id":"ir-8.d_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(d)[3]"}],"prose":"testing;"}]},{"id":"ir-8.e_obj","name":"objective","properties":[{"name":"label","value":"IR-8(e)"}],"parts":[{"id":"ir-8.e_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(e)[1]"}],"parts":[{"id":"ir-8.e_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(e)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;"},{"id":"ir-8.e_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(e)[1][b]"}],"prose":"defines organizational elements to whom incident response plan changes are\n to be communicated;"}]},{"id":"ir-8.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(e)[2]"}],"prose":"communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and"}]},{"id":"ir-8.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(f)"}],"prose":"protects the incident response plan from unauthorized disclosure and\n modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational incident response plan and related organizational processes"}]}]},{"id":"ir-9","class":"SP800-53","title":"Information Spillage Response","parameters":[{"id":"ir-9_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-9_prm_2","label":"organization-defined actions"}],"properties":[{"name":"label","value":"IR-9"},{"name":"sort-id","value":"ir-09"}],"parts":[{"id":"ir-9_smt","name":"statement","prose":"The organization responds to information spills by:","parts":[{"id":"ir-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifying the specific information involved in the information system\n contamination;"},{"id":"ir-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Alerting {{ ir-9_prm_1 }} of the information spill using a method\n of communication not associated with the spill;"},{"id":"ir-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Isolating the contaminated information system or system component;"},{"id":"ir-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Eradicating the information from the contaminated information system or\n component;"},{"id":"ir-9_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Identifying other information systems or system components that may have been\n subsequently contaminated; and"},{"id":"ir-9_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Performing other {{ ir-9_prm_2 }}."}]},{"id":"ir-9_gdn","name":"guidance","prose":"Information spillage refers to instances where either classified or sensitive\n information is inadvertently placed on information systems that are not authorized to\n process such information. Such information spills often occur when information that\n is initially thought to be of lower sensitivity is transmitted to an information\n system and then is subsequently determined to be of higher sensitivity. At that\n point, corrective action is required. The nature of the organizational response is\n generally based upon the degree of sensitivity of the spilled information (e.g.,\n security category or classification level), the security capabilities of the\n information system, the specific nature of contaminated storage media, and the access\n authorizations (e.g., security clearances) of individuals with authorized access to\n the contaminated system. The methods used to communicate information about the spill\n after the fact do not involve methods directly associated with the actual spill to\n minimize the risk of further spreading the contamination before such contamination is\n isolated and eradicated."},{"id":"ir-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(a)"}],"prose":"responds to information spills by identifying the specific information causing the\n information system contamination;"},{"id":"ir-9.b_obj","name":"objective","properties":[{"name":"label","value":"IR-9(b)"}],"parts":[{"id":"ir-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(b)[1]"}],"prose":"defines personnel to be alerted of the information spillage;"},{"id":"ir-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-9(b)[2]"}],"prose":"identifies a method of communication not associated with the information spill\n to use to alert organization-defined personnel of the spill;"},{"id":"ir-9.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(b)[3]"}],"prose":"responds to information spills by alerting organization-defined personnel of\n the information spill using a method of communication not associated with the\n spill;"}]},{"id":"ir-9.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(c)"}],"prose":"responds to information spills by isolating the contaminated information\n system;"},{"id":"ir-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(d)"}],"prose":"responds to information spills by eradicating the information from the\n contaminated information system;"},{"id":"ir-9.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(e)"}],"prose":"responds to information spills by identifying other information systems that may\n have been subsequently contaminated;"},{"id":"ir-9.f_obj","name":"objective","properties":[{"name":"label","value":"IR-9(f)"}],"parts":[{"id":"ir-9.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(f)[1]"}],"prose":"defines other actions to be performed in response to information spills;\n and"},{"id":"ir-9.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(f)[2]"}],"prose":"responds to information spills by performing other organization-defined\n actions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nrecords of information spillage alerts/notifications, list of personnel who should\n receive alerts of information spillage\\n\\nlist of actions to be performed regarding information spillage\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information spillage response\\n\\nautomated mechanisms supporting and/or implementing information spillage response\n actions and related communications"}]}],"controls":[{"id":"ir-9.1","class":"SP800-53-enhancement","title":"Responsible Personnel","parameters":[{"id":"ir-9.1_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"IR-9(1)"},{"name":"sort-id","value":"ir-09.01"}],"parts":[{"id":"ir-9.1_smt","name":"statement","prose":"The organization assigns {{ ir-9.1_prm_1 }} with responsibility for\n responding to information spills."},{"id":"ir-9.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-9.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(1)[1]"}],"prose":"defines personnel with responsibility for responding to information spills;\n and"},{"id":"ir-9.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-9(1)[2]"}],"prose":"assigns organization-defined personnel with responsibility for responding to\n information spills."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nlist of personnel responsible for responding to information spillage\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-9.2","class":"SP800-53-enhancement","title":"Training","parameters":[{"id":"ir-9.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-9(2)"},{"name":"sort-id","value":"ir-09.02"}],"parts":[{"id":"ir-9.2_smt","name":"statement","prose":"The organization provides information spillage response training {{ ir-9.2_prm_1 }}."},{"id":"ir-9.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(2)[1]"}],"prose":"defines the frequency to provide information spillage response training;\n and"},{"id":"ir-9.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-9(2)[2]"}],"prose":"provides information spillage response training with the organization-defined\n frequency."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage response training\\n\\ninformation spillage response training curriculum\\n\\ninformation spillage response training materials\\n\\nincident response plan\\n\\ninformation spillage response training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-9.3","class":"SP800-53-enhancement","title":"Post-spill Operations","parameters":[{"id":"ir-9.3_prm_1","label":"organization-defined procedures"}],"properties":[{"name":"label","value":"IR-9(3)"},{"name":"sort-id","value":"ir-09.03"}],"parts":[{"id":"ir-9.3_smt","name":"statement","prose":"The organization implements {{ ir-9.3_prm_1 }} to ensure that\n organizational personnel impacted by information spills can continue to carry out\n assigned tasks while contaminated systems are undergoing corrective actions."},{"id":"ir-9.3_gdn","name":"guidance","prose":"Correction actions for information systems contaminated due to information\n spillages may be very time-consuming. During those periods, personnel may not have\n access to the contaminated systems, which may potentially affect their ability to\n conduct organizational business."},{"id":"ir-9.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(3)[1]"}],"prose":"defines procedures that ensure organizational personnel impacted by information\n spills can continue to carry out assigned tasks while contaminated systems are\n undergoing corrective actions; and"},{"id":"ir-9.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(3)[2]"}],"prose":"implements organization-defined procedures to ensure that organizational\n personnel impacted by information spills can continue to carry out assigned\n tasks while contaminated systems are undergoing corrective actions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for post-spill operations"}]}]},{"id":"ir-9.4","class":"SP800-53-enhancement","title":"Exposure to Unauthorized Personnel","parameters":[{"id":"ir-9.4_prm_1","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"IR-9(4)"},{"name":"sort-id","value":"ir-09.04"}],"parts":[{"id":"ir-9.4_smt","name":"statement","prose":"The organization employs {{ ir-9.4_prm_1 }} for personnel exposed\n to information not within assigned access authorizations."},{"id":"ir-9.4_gdn","name":"guidance","prose":"Security safeguards include, for example, making personnel exposed to spilled\n information aware of the federal laws, directives, policies, and/or regulations\n regarding the information and the restrictions imposed based on exposure to such\n information."},{"id":"ir-9.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(4)[1]"}],"prose":"defines security safeguards to be employed for personnel exposed to information\n not within assigned access authorizations; and"},{"id":"ir-9.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(4)[2]"}],"prose":"employs organization-defined security safeguards for personnel exposed to\n information not within assigned access authorizations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nsecurity safeguards regarding information spillage/exposure to unauthorized\n personnel\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for dealing with information exposed to unauthorized\n personnel\\n\\nautomated mechanisms supporting and/or implementing safeguards for personnel\n exposed to information not within assigned access authorizations"}]}]}]}]},{"id":"ma","class":"family","title":"Maintenance","controls":[{"id":"ma-1","class":"SP800-53","title":"System Maintenance Policy and Procedures","parameters":[{"id":"ma-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ma-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MA-1"},{"name":"sort-id","value":"ma-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ma-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ma-1_prm_1 }}:","parts":[{"id":"ma-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ma-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and"}]},{"id":"ma-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ma-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System maintenance policy {{ ma-1_prm_2 }}; and"},{"id":"ma-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System maintenance procedures {{ ma-1_prm_3 }}."}]}]},{"id":"ma-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ma-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-1.a_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)"}],"parts":[{"id":"ma-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)"}],"parts":[{"id":"ma-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(1)[1]"}],"prose":"develops and documents a system maintenance policy that addresses:","parts":[{"id":"ma-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ma-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ma-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ma-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ma-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ma-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ma-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ma-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system maintenance policy is to be\n disseminated;"},{"id":"ma-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-1(a)(1)[3]"}],"prose":"disseminates the system maintenance policy to organization-defined personnel\n or roles;"}]},{"id":"ma-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)"}],"parts":[{"id":"ma-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;"},{"id":"ma-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ma-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ma-1.b_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)"}],"parts":[{"id":"ma-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(1)"}],"parts":[{"id":"ma-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n policy;"},{"id":"ma-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(1)[2]"}],"prose":"reviews and updates the current system maintenance policy with the\n organization-defined frequency;"}]},{"id":"ma-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(2)"}],"parts":[{"id":"ma-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n procedures; and"},{"id":"ma-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(2)[2]"}],"prose":"reviews and updates the current system maintenance procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Maintenance policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ma-2","class":"SP800-53","title":"Controlled Maintenance","parameters":[{"id":"ma-2_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-2_prm_2","label":"organization-defined maintenance-related information"}],"properties":[{"name":"label","value":"MA-2"},{"name":"sort-id","value":"ma-02"}],"parts":[{"id":"ma-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;"},{"id":"ma-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;"},{"id":"ma-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and"},{"id":"ma-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Includes {{ ma-2_prm_2 }} in organizational maintenance\n records."}]},{"id":"ma-2_gdn","name":"guidance","prose":"This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ma-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-2.a_obj","name":"objective","properties":[{"name":"label","value":"MA-2(a)"}],"parts":[{"id":"ma-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(a)[1]"}],"prose":"schedules maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(a)[2]"}],"prose":"performs maintenance and repairs on information system components in accordance\n with:","parts":[{"id":"ma-2.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(a)[3]"}],"prose":"documents maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(a)[4]"}],"prose":"reviews records of maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.4.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.4.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][b]"}],"prose":"organizational requirements;"}]}]},{"id":"ma-2.b_obj","name":"objective","properties":[{"name":"label","value":"MA-2(b)"}],"parts":[{"id":"ma-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(b)[1]"}],"prose":"approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"},{"id":"ma-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(b)[2]"}],"prose":"monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"}]},{"id":"ma-2.c_obj","name":"objective","properties":[{"name":"label","value":"MA-2(c)"}],"parts":[{"id":"ma-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(c)[1]"}],"prose":"defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(c)[2]"}],"prose":"requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;"}]},{"id":"ma-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(d)"}],"prose":"sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(e)"}],"prose":"checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;"},{"id":"ma-2.f_obj","name":"objective","properties":[{"name":"label","value":"MA-2(f)"}],"parts":[{"id":"ma-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(f)[1]"}],"prose":"defines maintenance-related information to be included in organizational\n maintenance records; and"},{"id":"ma-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(f)[2]"}],"prose":"includes organization-defined maintenance-related information in organizational\n maintenance records."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components"}]}],"controls":[{"id":"ma-2.2","class":"SP800-53-enhancement","title":"Automated Maintenance Activities","properties":[{"name":"label","value":"MA-2(2)"},{"name":"sort-id","value":"ma-02.02"}],"parts":[{"id":"ma-2.2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-2.2_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Employs automated mechanisms to schedule, conduct, and document maintenance and\n repairs; and"},{"id":"ma-2.2_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Produces up-to date, accurate, and complete records of all maintenance and\n repair actions requested, scheduled, in process, and completed."}]},{"id":"ma-2.2_gdn","name":"guidance","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ma-3","rel":"related","text":"MA-3"}]},{"id":"ma-2.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-2.2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(2)(a)"}],"prose":"employs automated mechanisms to:","parts":[{"id":"ma-2.2.a_obj.1","name":"objective","properties":[{"name":"label","value":"MA-2(2)(a)[1]"}],"prose":"schedule maintenance and repairs;"},{"id":"ma-2.2.a_obj.2","name":"objective","properties":[{"name":"label","value":"MA-2(2)(a)[2]"}],"prose":"conduct maintenance and repairs;"},{"id":"ma-2.2.a_obj.3","name":"objective","properties":[{"name":"label","value":"MA-2(2)(a)[3]"}],"prose":"document maintenance and repairs;"}],"links":[{"href":"#ma-2.2_smt.a","rel":"corresp","text":"MA-2(2)(a)"}]},{"id":"ma-2.2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(2)(b)"}],"prose":"produces up-to-date, accurate, and complete records of all maintenance and\n repair actions:","parts":[{"id":"ma-2.2.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-2(2)(b)[1]"}],"prose":"requested;"},{"id":"ma-2.2.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-2(2)(b)[2]"}],"prose":"scheduled;"},{"id":"ma-2.2.b_obj.3","name":"objective","properties":[{"name":"label","value":"MA-2(2)(b)[3]"}],"prose":"in process; and"},{"id":"ma-2.2.b_obj.4","name":"objective","properties":[{"name":"label","value":"MA-2(2)(b)[4]"}],"prose":"completed."}],"links":[{"href":"#ma-2.2_smt.b","rel":"corresp","text":"MA-2(2)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nautomated mechanisms supporting information system maintenance activities\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms supporting and/or implementing production of records of\n maintenance and repair actions"}]}]}]},{"id":"ma-3","class":"SP800-53","title":"Maintenance Tools","properties":[{"name":"label","value":"MA-3"},{"name":"sort-id","value":"ma-03"}],"links":[{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"}],"parts":[{"id":"ma-3_smt","name":"statement","prose":"The organization approves, controls, and monitors information system maintenance\n tools."},{"id":"ma-3_gdn","name":"guidance","prose":"This control addresses security-related issues associated with maintenance tools used\n specifically for diagnostic and repair actions on organizational information systems.\n Maintenance tools can include hardware, software, and firmware items. Maintenance\n tools are potential vehicles for transporting malicious code, either intentionally or\n unintentionally, into a facility and subsequently into organizational information\n systems. Maintenance tools can include, for example, hardware/software diagnostic\n test equipment and hardware/software packet sniffers. This control does not cover\n hardware/software components that may support information system maintenance, yet are\n a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,\n or the hardware and software implementing the monitoring port of an Ethernet\n switch.","links":[{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"ma-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-3_obj.1","name":"objective","properties":[{"name":"label","value":"MA-3[1]"}],"prose":"approves information system maintenance tools;"},{"id":"ma-3_obj.2","name":"objective","properties":[{"name":"label","value":"MA-3[2]"}],"prose":"controls information system maintenance tools; and"},{"id":"ma-3_obj.3","name":"objective","properties":[{"name":"label","value":"MA-3[3]"}],"prose":"monitors information system maintenance tools."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for approving, controlling, and monitoring maintenance\n tools\\n\\nautomated mechanisms supporting and/or implementing approval, control, and/or\n monitoring of maintenance tools"}]}],"controls":[{"id":"ma-3.1","class":"SP800-53-enhancement","title":"Inspect Tools","properties":[{"name":"label","value":"MA-3(1)"},{"name":"sort-id","value":"ma-03.01"}],"parts":[{"id":"ma-3.1_smt","name":"statement","prose":"The organization inspects the maintenance tools carried into a facility by\n maintenance personnel for improper or unauthorized modifications."},{"id":"ma-3.1_gdn","name":"guidance","prose":"If, upon inspection of maintenance tools, organizations determine that the tools\n have been modified in an improper/unauthorized manner or contain malicious code,\n the incident is handled consistent with organizational policies and procedures for\n incident handling.","links":[{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ma-3.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization inspects the maintenance tools carried into a\n facility by maintenance personnel for improper or unauthorized modifications. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance tool inspection records\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for inspecting maintenance tools\\n\\nautomated mechanisms supporting and/or implementing inspection of maintenance\n tools"}]}]},{"id":"ma-3.2","class":"SP800-53-enhancement","title":"Inspect Media","properties":[{"name":"label","value":"MA-3(2)"},{"name":"sort-id","value":"ma-03.02"}],"parts":[{"id":"ma-3.2_smt","name":"statement","prose":"The organization checks media containing diagnostic and test programs for\n malicious code before the media are used in the information system."},{"id":"ma-3.2_gdn","name":"guidance","prose":"If, upon inspection of media containing maintenance diagnostic and test programs,\n organizations determine that the media contain malicious code, the incident is\n handled consistent with organizational incident handling policies and\n procedures.","links":[{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"ma-3.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization checks media containing diagnostic and test programs\n for malicious code before the media are used in the information system. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for inspecting media for malicious code\\n\\nautomated mechanisms supporting and/or implementing inspection of media used\n for maintenance"}]}]},{"id":"ma-3.3","class":"SP800-53-enhancement","title":"Prevent Unauthorized Removal","parameters":[{"id":"ma-3.3_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"the information owner explicitly authorizing removal of the equipment from the facility"}]}],"properties":[{"name":"label","value":"MA-3(3)"},{"name":"sort-id","value":"ma-03.03"}],"parts":[{"id":"ma-3.3_smt","name":"statement","prose":"The organization prevents the unauthorized removal of maintenance equipment\n containing organizational information by:","parts":[{"id":"ma-3.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Verifying that there is no organizational information contained on the\n equipment;"},{"id":"ma-3.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Sanitizing or destroying the equipment;"},{"id":"ma-3.3_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Retaining the equipment within the facility; or"},{"id":"ma-3.3_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Obtaining an exemption from {{ ma-3.3_prm_1 }} explicitly\n authorizing removal of the equipment from the facility."}]},{"id":"ma-3.3_gdn","name":"guidance","prose":"Organizational information includes all information specifically owned by\n organizations and information provided to organizations in which organizations\n serve as information stewards."},{"id":"ma-3.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization prevents the unauthorized removal of maintenance\n equipment containing organizational information by: ","parts":[{"id":"ma-3.3.a_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(a)"}],"prose":"verifying that there is no organizational information contained on the\n equipment;","links":[{"href":"#ma-3.3_smt.a","rel":"corresp","text":"MA-3(3)(a)"}]},{"id":"ma-3.3.b_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(b)"}],"prose":"sanitizing or destroying the equipment;","links":[{"href":"#ma-3.3_smt.b","rel":"corresp","text":"MA-3(3)(b)"}]},{"id":"ma-3.3.c_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(c)"}],"prose":"retaining the equipment within the facility; or","links":[{"href":"#ma-3.3_smt.c","rel":"corresp","text":"MA-3(3)(c)"}]},{"id":"ma-3.3.d_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(d)"}],"parts":[{"id":"ma-3.3.d_obj.1","name":"objective","properties":[{"name":"label","value":"MA-3(3)(d)[1]"}],"prose":"defining personnel or roles that can grant an exemption from explicitly\n authorizing removal of the equipment from the facility; and"},{"id":"ma-3.3.d_obj.2","name":"objective","properties":[{"name":"label","value":"MA-3(3)(d)[2]"}],"prose":"obtaining an exemption from organization-defined personnel or roles\n explicitly authorizing removal of the equipment from the facility."}],"links":[{"href":"#ma-3.3_smt.d","rel":"corresp","text":"MA-3(3)(d)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nexemptions for equipment removal\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for preventing unauthorized removal of information\\n\\nautomated mechanisms supporting media sanitization or destruction of\n equipment\\n\\nautomated mechanisms supporting verification of media sanitization"}]}]}]},{"id":"ma-4","class":"SP800-53","title":"Nonlocal Maintenance","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MA-4"},{"name":"sort-id","value":"ma-04"}],"links":[{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#f2dbd4ec-c413-4714-b85b-6b7184d1c195","rel":"reference","text":"FIPS Publication 197"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a4aa9645-9a8a-4b51-90a9-e223250f9a75","rel":"reference","text":"CNSS Policy 15"}],"parts":[{"id":"ma-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Approves and monitors nonlocal maintenance and diagnostic activities;"},{"id":"ma-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;"},{"id":"ma-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Maintains records for nonlocal maintenance and diagnostic activities; and"},{"id":"ma-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Terminates session and network connections when nonlocal maintenance is\n completed."}]},{"id":"ma-4_gdn","name":"guidance","prose":"Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"ma-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-4.a_obj","name":"objective","properties":[{"name":"label","value":"MA-4(a)"}],"parts":[{"id":"ma-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(a)[1]"}],"prose":"approves nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(a)[2]"}],"prose":"monitors nonlocal maintenance and diagnostic activities;"}]},{"id":"ma-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(b)"}],"prose":"allows the use of nonlocal maintenance and diagnostic tools only:","parts":[{"id":"ma-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(b)[1]"}],"prose":"as consistent with organizational policy;"},{"id":"ma-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(b)[2]"}],"prose":"as documented in the security plan for the information system;"}]},{"id":"ma-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(c)"}],"prose":"employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(d)"}],"prose":"maintains records for nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.e_obj","name":"objective","properties":[{"name":"label","value":"MA-4(e)"}],"parts":[{"id":"ma-4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(e)[1]"}],"prose":"terminates sessions when nonlocal maintenance or diagnostics is completed;\n and"},{"id":"ma-4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(e)[2]"}],"prose":"terminates network connections when nonlocal maintenance or diagnostics is\n completed."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections"}]}],"controls":[{"id":"ma-4.2","class":"SP800-53-enhancement","title":"Document Nonlocal Maintenance","properties":[{"name":"label","value":"MA-4(2)"},{"name":"sort-id","value":"ma-04.02"}],"parts":[{"id":"ma-4.2_smt","name":"statement","prose":"The organization documents in the security plan for the information system, the\n policies and procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections."},{"id":"ma-4.2_obj","name":"objective","prose":"Determine if the organization documents in the security plan for the information\n system: ","parts":[{"id":"ma-4.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-4(2)[1]"}],"prose":"the policies for the establishment and use of nonlocal maintenance and\n diagnostic connections; and"},{"id":"ma-4.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-4(2)[2]"}],"prose":"the procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing non-local information system maintenance\\n\\nsecurity plan\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ma-4.3","class":"SP800-53-enhancement","title":"Comparable Security / Sanitization","properties":[{"name":"label","value":"MA-4(3)"},{"name":"sort-id","value":"ma-04.03"}],"parts":[{"id":"ma-4.3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-4.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Requires that nonlocal maintenance and diagnostic services be performed from an\n information system that implements a security capability comparable to the\n capability implemented on the system being serviced; or"},{"id":"ma-4.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Removes the component to be serviced from the information system prior to\n nonlocal maintenance or diagnostic services, sanitizes the component (with\n regard to organizational information) before removal from organizational\n facilities, and after the service is performed, inspects and sanitizes the\n component (with regard to potentially malicious software) before reconnecting\n the component to the information system."}]},{"id":"ma-4.3_gdn","name":"guidance","prose":"Comparable security capability on information systems, diagnostic tools, and\n equipment providing maintenance services implies that the implemented security\n controls on those systems, tools, and equipment are at least as comprehensive as\n the controls on the information system being serviced.","links":[{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ma-4.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-4.3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(3)(a)"}],"prose":"requires that nonlocal maintenance and diagnostic services be performed from an\n information system that implements a security capability comparable to the\n capability implemented on the system being serviced; or","links":[{"href":"#ma-4.3_smt.a","rel":"corresp","text":"MA-4(3)(a)"}]},{"id":"ma-4.3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(3)(b)"}],"parts":[{"id":"ma-4.3.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(3)(b)[1]"}],"prose":"removes the component to be serviced from the information system;"},{"id":"ma-4.3.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(3)(b)[2]"}],"prose":"sanitizes the component (with regard to organizational information) prior to\n nonlocal maintenance or diagnostic services and/or before removal from\n organizational facilities; and"},{"id":"ma-4.3.b_obj.3","name":"objective","properties":[{"name":"label","value":"MA-4(3)(b)[3]"}],"prose":"inspects and sanitizes the component (with regard to potentially malicious\n software) after service is performed on the component and before\n reconnecting the component to the information system."}],"links":[{"href":"#ma-4.3_smt.b","rel":"corresp","text":"MA-4(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nservice provider contracts and/or service-level agreements\\n\\nmaintenance records\\n\\ninspection records\\n\\naudit records\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\ninformation system maintenance provider\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for comparable security and sanitization for nonlocal\n maintenance\\n\\norganizational processes for removal, sanitization, and inspection of\n components serviced via nonlocal maintenance\\n\\nautomated mechanisms supporting and/or implementing component sanitization and\n inspection"}]}]},{"id":"ma-4.6","class":"SP800-53-enhancement","title":"Cryptographic Protection","properties":[{"name":"label","value":"MA-4(6)"},{"name":"sort-id","value":"ma-04.06"}],"parts":[{"id":"ma-4.6_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to protect the\n integrity and confidentiality of nonlocal maintenance and diagnostic\n communications."},{"id":"ma-4.6_gdn","name":"guidance","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ma-4.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements cryptographic mechanisms to protect\n the integrity and confidentiality of nonlocal maintenance and diagnostic\n communications. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing non-local information system maintenance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms protecting nonlocal maintenance activities\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\nnetwork engineers\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms protecting nonlocal maintenance and diagnostic\n communications"}]}]}]},{"id":"ma-5","class":"SP800-53","title":"Maintenance Personnel","properties":[{"name":"label","value":"MA-5"},{"name":"sort-id","value":"ma-05"}],"parts":[{"id":"ma-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;"},{"id":"ma-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"id":"ma-5_gdn","name":"guidance","prose":"This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"ma-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-5.a_obj","name":"objective","properties":[{"name":"label","value":"MA-5(a)"}],"parts":[{"id":"ma-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(a)[1]"}],"prose":"establishes a process for maintenance personnel authorization;"},{"id":"ma-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(a)[2]"}],"prose":"maintains a list of authorized maintenance organizations or personnel;"}]},{"id":"ma-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(b)"}],"prose":"ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(c)"}],"prose":"designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel"}]}],"controls":[{"id":"ma-5.1","class":"SP800-53-enhancement","title":"Individuals Without Appropriate Access","properties":[{"name":"label","value":"MA-5(1)"},{"name":"sort-id","value":"ma-05.01"}],"parts":[{"id":"ma-5.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-5.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:","parts":[{"id":"ma-5.1_smt.a.1","name":"item","properties":[{"name":"label","value":"(1)"}],"prose":"Maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who are fully cleared, have\n appropriate access authorizations, and are technically qualified;"},{"id":"ma-5.1_smt.a.2","name":"item","properties":[{"name":"label","value":"(2)"}],"prose":"Prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances or formal access\n approvals, all volatile information storage components within the\n information system are sanitized and all nonvolatile storage media are\n removed or physically disconnected from the system and secured; and"}]},{"id":"ma-5.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Develops and implements alternate security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system."}]},{"id":"ma-5.1_gdn","name":"guidance","prose":"This control enhancement denies individuals who lack appropriate security\n clearances (i.e., individuals who do not possess security clearances or possess\n security clearances at a lower level than required) or who are not U.S. citizens,\n visual and electronic access to any classified information, Controlled\n Unclassified Information (CUI), or any other sensitive information contained on\n organizational information systems. Procedures for the use of maintenance\n personnel can be documented in security plans for the information systems.","links":[{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"ma-5.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-5.1.a_obj","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)"}],"prose":"implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:","parts":[{"id":"ma-5.1.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(1)(a)(1)"}],"prose":"maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who:","parts":[{"id":"ma-5.1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(1)[1]"}],"prose":"are fully cleared;"},{"id":"ma-5.1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(1)[2]"}],"prose":"have appropriate access authorizations;"},{"id":"ma-5.1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(1)[3]"}],"prose":"are technically qualified;"}],"links":[{"href":"#ma-5.1_smt.a.1","rel":"corresp","text":"MA-5(1)(a)(1)"}]},{"id":"ma-5.1.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(1)(a)(2)"}],"prose":"prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances, or formal access\n approvals:","parts":[{"id":"ma-5.1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(2)[1]"}],"prose":"all volatile information storage components within the information system\n are sanitized; and"},{"id":"ma-5.1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(2)[2]"}],"prose":"all nonvolatile storage media are removed; or"},{"id":"ma-5.1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(2)[3]"}],"prose":"all nonvolatile storage media are physically disconnected from the system\n and secured; and"}],"links":[{"href":"#ma-5.1_smt.a.2","rel":"corresp","text":"MA-5(1)(a)(2)"}]}],"links":[{"href":"#ma-5.1_smt.a","rel":"corresp","text":"MA-5(1)(a)"}]},{"id":"ma-5.1.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(1)(b)"}],"prose":"develops and implements alternative security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system.","links":[{"href":"#ma-5.1_smt.b","rel":"corresp","text":"MA-5(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\ninformation system media protection policy\\n\\nphysical and environmental protection policy\\n\\nsecurity plan\\n\\nlist of maintenance personnel requiring escort/supervision\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with personnel security responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing maintenance personnel without appropriate\n access\\n\\nautomated mechanisms supporting and/or implementing alternative security\n safeguards\\n\\nautomated mechanisms supporting and/or implementing information storage\n component sanitization"}]}]}]},{"id":"ma-6","class":"SP800-53","title":"Timely Maintenance","parameters":[{"id":"ma-6_prm_1","label":"organization-defined information system components"},{"id":"ma-6_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"MA-6"},{"name":"sort-id","value":"ma-06"}],"parts":[{"id":"ma-6_smt","name":"statement","prose":"The organization obtains maintenance support and/or spare parts for {{ ma-6_prm_1 }} within {{ ma-6_prm_2 }} of failure."},{"id":"ma-6_gdn","name":"guidance","prose":"Organizations specify the information system components that result in increased risk\n to organizational operations and assets, individuals, other organizations, or the\n Nation when the functionality provided by those components is not operational.\n Organizational actions to obtain maintenance support typically include having\n appropriate contracts in place.","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#sa-14","rel":"related","text":"SA-14"},{"href":"#sa-15","rel":"related","text":"SA-15"}]},{"id":"ma-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-6_obj.1","name":"objective","properties":[{"name":"label","value":"MA-6[1]"}],"prose":"defines information system components for which maintenance support and/or spare\n parts are to be obtained;"},{"id":"ma-6_obj.2","name":"objective","properties":[{"name":"label","value":"MA-6[2]"}],"prose":"defines the time period within which maintenance support and/or spare parts are to\n be obtained after a failure;"},{"id":"ma-6_obj.3","name":"objective","properties":[{"name":"label","value":"MA-6[3]"}],"parts":[{"id":"ma-6_obj.3.a","name":"objective","properties":[{"name":"label","value":"MA-6[3][a]"}],"prose":"obtains maintenance support for organization-defined information system\n components within the organization-defined time period of failure; and/or"},{"id":"ma-6_obj.3.b","name":"objective","properties":[{"name":"label","value":"MA-6[3][b]"}],"prose":"obtains spare parts for organization-defined information system components\n within the organization-defined time period of failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\ninventory and availability of spare parts\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for ensuring timely maintenance"}]}]}]},{"id":"mp","class":"family","title":"Media Protection","controls":[{"id":"mp-1","class":"SP800-53","title":"Media Protection Policy and Procedures","parameters":[{"id":"mp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"mp-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"mp-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MP-1"},{"name":"sort-id","value":"mp-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"mp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ mp-1_prm_1 }}:","parts":[{"id":"mp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"mp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and"}]},{"id":"mp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"mp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Media protection policy {{ mp-1_prm_2 }}; and"},{"id":"mp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Media protection procedures {{ mp-1_prm_3 }}."}]}]},{"id":"mp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"mp-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"mp-1.a_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)"}],"parts":[{"id":"mp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)"}],"parts":[{"id":"mp-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(1)[1]"}],"prose":"develops and documents a media protection policy that addresses:","parts":[{"id":"mp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"mp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"mp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"mp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"mp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"mp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"mp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"mp-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the media protection policy is to be\n disseminated;"},{"id":"mp-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MP-1(a)(1)[3]"}],"prose":"disseminates the media protection policy to organization-defined personnel\n or roles;"}]},{"id":"mp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)"}],"parts":[{"id":"mp-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;"},{"id":"mp-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"mp-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MP-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"mp-1.b_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)"}],"parts":[{"id":"mp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(1)"}],"parts":[{"id":"mp-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current media protection\n policy;"},{"id":"mp-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(1)[2]"}],"prose":"reviews and updates the current media protection policy with the\n organization-defined frequency;"}]},{"id":"mp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(2)"}],"parts":[{"id":"mp-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current media protection\n procedures; and"},{"id":"mp-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(2)[2]"}],"prose":"reviews and updates the current media protection procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Media protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"mp-2","class":"SP800-53","title":"Media Access","parameters":[{"id":"mp-2_prm_1","label":"organization-defined types of digital and/or non-digital media","constraints":[{"detail":"any digital and non-digital media deemed sensitive"}]},{"id":"mp-2_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"MP-2"},{"name":"sort-id","value":"mp-02"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-2_smt","name":"statement","prose":"The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}."},{"id":"mp-2_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"mp-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-2[1]"}],"prose":"defines types of digital and/or non-digital media requiring restricted access;"},{"id":"mp-2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-2[2]"}],"prose":"defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and"},{"id":"mp-2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-2[3]"}],"prose":"restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions"}]}]},{"id":"mp-3","class":"SP800-53","title":"Media Marking","parameters":[{"id":"mp-3_prm_1","label":"organization-defined types of information system media","constraints":[{"detail":"no removable media types"}]},{"id":"mp-3_prm_2","label":"organization-defined controlled areas","constraints":[{"detail":"organization-defined security safeguards not applicable"}]}],"properties":[{"name":"label","value":"MP-3"},{"name":"sort-id","value":"mp-03"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"}],"parts":[{"id":"mp-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Marks information system media indicating the distribution limitations, handling\n caveats, and applicable security markings (if any) of the information; and"},{"id":"mp-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Exempts {{ mp-3_prm_1 }} from marking as long as the media remain\n within {{ mp-3_prm_2 }}."},{"id":"mp-3_fr","name":"item","title":"MP-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-3_fr_gdn.b","name":"guidance","properties":[{"name":"label","value":"(b) Guidance:"}],"prose":"Second parameter not-applicable"}]}]},{"id":"mp-3_gdn","name":"guidance","prose":"The term security marking refers to the application/use of human-readable security\n attributes. The term security labeling refers to the application/use of security\n attributes with regard to internal data structures within information systems (see\n AC-16). Information system media includes both digital and non-digital media. Digital\n media includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Security marking is generally not\n required for media containing information determined by organizations to be in the\n public domain or to be publicly releasable. However, some organizations may require\n markings for public information indicating that the information is publicly\n releasable. Marking of information system media reflects applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and guidance.","links":[{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"mp-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-3(a)"}],"prose":"marks information system media indicating the:","parts":[{"id":"mp-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"MP-3(a)[1]"}],"prose":"distribution limitations of the information;"},{"id":"mp-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"MP-3(a)[2]"}],"prose":"handling caveats of the information;"},{"id":"mp-3.a_obj.3","name":"objective","properties":[{"name":"label","value":"MP-3(a)[3]"}],"prose":"applicable security markings (if any) of the information;"}]},{"id":"mp-3.b_obj","name":"objective","properties":[{"name":"label","value":"MP-3(b)"}],"parts":[{"id":"mp-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-3(b)[1]"}],"prose":"defines types of information system media to be exempted from marking as long\n as the media remain in designated controlled areas;"},{"id":"mp-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-3(b)[2]"}],"prose":"defines controlled areas where organization-defined types of information system\n media exempt from marking are to be retained; and"},{"id":"mp-3.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-3(b)[3]"}],"prose":"exempts organization-defined types of information system media from marking as\n long as the media remain within organization-defined controlled areas."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media marking\\n\\nphysical and environmental protection policy and procedures\\n\\nsecurity plan\\n\\nlist of information system media marking security attributes\\n\\ndesignated controlled areas\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection and marking\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for marking information media\\n\\nautomated mechanisms supporting and/or implementing media marking"}]}]},{"id":"mp-4","class":"SP800-53","title":"Media Storage","parameters":[{"id":"mp-4_prm_1","label":"organization-defined types of digital and/or non-digital media","constraints":[{"detail":"all types of digital and non-digital media with sensitive information"}]},{"id":"mp-4_prm_2","label":"organization-defined controlled areas","constraints":[{"detail":"see additional FedRAMP requirements and guidance"}]}],"properties":[{"name":"label","value":"MP-4"},{"name":"sort-id","value":"mp-04"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Physically controls and securely stores {{ mp-4_prm_1 }} within\n {{ mp-4_prm_2 }}; and"},{"id":"mp-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures."},{"id":"mp-4_fr","name":"item","title":"MP-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-4_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider defines controlled areas within facilities where the information and information system reside."}]}]},{"id":"mp-4_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Physically controlling information system\n media includes, for example, conducting inventories, ensuring procedures are in place\n to allow individuals to check out and return media to the media library, and\n maintaining accountability for all stored media. Secure storage includes, for\n example, a locked drawer, desk, or cabinet, or a controlled media library. The type\n of media storage is commensurate with the security category and/or classification of\n the information residing on the media. Controlled areas are areas for which\n organizations provide sufficient physical and procedural safeguards to meet the\n requirements established for protecting information and/or information systems. For\n media containing information determined by organizations to be in the public domain,\n to be publicly releasable, or to have limited or no adverse impact on organizations\n or individuals if accessed by other than authorized personnel, fewer safeguards may\n be needed. In these situations, physical access controls provide adequate\n protection.","links":[{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-7","rel":"related","text":"MP-7"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"mp-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-4.a_obj","name":"objective","properties":[{"name":"label","value":"MP-4(a)"}],"parts":[{"id":"mp-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-4(a)[1]"}],"prose":"defines types of digital and/or non-digital media to be physically controlled\n and securely stored within designated controlled areas;"},{"id":"mp-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-4(a)[2]"}],"prose":"defines controlled areas designated to physically control and securely store\n organization-defined types of digital and/or non-digital media;"},{"id":"mp-4.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-4(a)[3]"}],"prose":"physically controls organization-defined types of digital and/or non-digital\n media within organization-defined controlled areas;"},{"id":"mp-4.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-4(a)[4]"}],"prose":"securely stores organization-defined types of digital and/or non-digital media\n within organization-defined controlled areas; and"}]},{"id":"mp-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-4(b)"}],"prose":"protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing secure media storage/media\n protection"}]}]},{"id":"mp-5","class":"SP800-53","title":"Media Transport","parameters":[{"id":"mp-5_prm_1","label":"organization-defined types of information system media","constraints":[{"detail":"all media with sensitive information"}]},{"id":"mp-5_prm_2","label":"organization-defined security safeguards","constraints":[{"detail":"prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container"}]}],"properties":[{"name":"label","value":"MP-5"},{"name":"sort-id","value":"mp-05"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"}],"parts":[{"id":"mp-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Protects and controls {{ mp-5_prm_1 }} during transport outside of\n controlled areas using {{ mp-5_prm_2 }};"},{"id":"mp-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Maintains accountability for information system media during transport outside of\n controlled areas;"},{"id":"mp-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents activities associated with the transport of information system media;\n and"},{"id":"mp-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Restricts the activities associated with the transport of information system media\n to authorized personnel."},{"id":"mp-5_fr","name":"item","title":"MP-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-5_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB."}]}]},{"id":"mp-5_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers),\n that are transported outside of controlled areas. Controlled areas are areas or\n spaces for which organizations provide sufficient physical and/or procedural\n safeguards to meet the requirements established for protecting information and/or\n information systems. Physical and technical safeguards for media are commensurate\n with the security category or classification of the information residing on the\n media. Safeguards to protect media during transport include, for example, locked\n containers and cryptography. Cryptographic mechanisms can provide confidentiality and\n integrity protections depending upon the mechanisms used. Activities associated with\n transport include the actual transport as well as those activities such as releasing\n media for transport and ensuring that media enters the appropriate transport\n processes. For the actual transport, authorized transport and courier personnel may\n include individuals from outside the organization (e.g., U.S. Postal Service or a\n commercial transport or delivery service). Maintaining accountability of media during\n transport includes, for example, restricting transport activities to authorized\n personnel, and tracking and/or obtaining explicit records of transport activities as\n the media moves through the transportation system to prevent and detect loss,\n destruction, or tampering. Organizations establish documentation requirements for\n activities associated with the transport of information system media in accordance\n with organizational assessments of risk to include the flexibility to define\n different record-keeping methods for the different types of media transport as part\n of an overall system of transport-related records.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#mp-3","rel":"related","text":"MP-3"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"mp-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-5.a_obj","name":"objective","properties":[{"name":"label","value":"MP-5(a)"}],"parts":[{"id":"mp-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-5(a)[1]"}],"prose":"defines types of information system media to be protected and controlled during\n transport outside of controlled areas;"},{"id":"mp-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-5(a)[2]"}],"prose":"defines security safeguards to protect and control organization-defined\n information system media during transport outside of controlled areas;"},{"id":"mp-5.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-5(a)[3]"}],"prose":"protects and controls organization-defined information system media during\n transport outside of controlled areas using organization-defined security\n safeguards;"}]},{"id":"mp-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-5(b)"}],"prose":"maintains accountability for information system media during transport outside of\n controlled areas;"},{"id":"mp-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-5(c)"}],"prose":"documents activities associated with the transport of information system media;\n and"},{"id":"mp-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-5(d)"}],"prose":"restricts the activities associated with transport of information system media to\n authorized personnel."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing media storage/media\n protection"}]}],"controls":[{"id":"mp-5.4","class":"SP800-53-enhancement","title":"Cryptographic Protection","properties":[{"name":"label","value":"MP-5(4)"},{"name":"sort-id","value":"mp-05.04"}],"parts":[{"id":"mp-5.4_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas."},{"id":"mp-5.4_gdn","name":"guidance","prose":"This control enhancement applies to both portable storage devices (e.g., USB\n memory sticks, compact disks, digital video disks, external/removable hard disk\n drives) and mobile devices with storage capability (e.g., smart phones, tablets,\n E-readers).","links":[{"href":"#mp-2","rel":"related","text":"MP-2"}]},{"id":"mp-5.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media transport\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system media transport records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media transport\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms protecting information on digital media during\n transportation outside controlled areas"}]}]}]},{"id":"mp-6","class":"SP800-53","title":"Media Sanitization","parameters":[{"id":"mp-6_prm_1","label":"organization-defined information system media"},{"id":"mp-6_prm_2","label":"organization-defined sanitization techniques and procedures","constraints":[{"detail":"techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations"}]}],"properties":[{"name":"label","value":"MP-6"},{"name":"sort-id","value":"mp-06"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a47466c4-c837-4f06-a39f-e68412a5f73d","rel":"reference","text":"http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml"}],"parts":[{"id":"mp-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and"},{"id":"mp-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information."}]},{"id":"mp-6_gdn","name":"guidance","prose":"This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.","links":[{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-4","rel":"related","text":"SC-4"}]},{"id":"mp-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.a_obj","name":"objective","properties":[{"name":"label","value":"MP-6(a)"}],"parts":[{"id":"mp-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(a)[1]"}],"prose":"defines information system media to be sanitized prior to:","parts":[{"id":"mp-6.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(a)[2]"}],"prose":"defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:","parts":[{"id":"mp-6.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(a)[3]"}],"prose":"sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and"}]},{"id":"mp-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(b)"}],"prose":"employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}],"controls":[{"id":"mp-6.1","class":"SP800-53-enhancement","title":"Review / Approve / Track / Document / Verify","properties":[{"name":"label","value":"MP-6(1)"},{"name":"sort-id","value":"mp-06.01"}],"parts":[{"id":"mp-6.1_smt","name":"statement","prose":"The organization reviews, approves, tracks, documents, and verifies media\n sanitization and disposal actions."},{"id":"mp-6.1_gdn","name":"guidance","prose":"Organizations review and approve media to be sanitized to ensure compliance with\n records-retention policies. Tracking/documenting actions include, for example,\n listing personnel who reviewed and approved sanitization and disposal actions,\n types of media sanitized, specific files stored on the media, sanitization methods\n used, date and time of the sanitization actions, personnel who performed the\n sanitization, verification actions taken, personnel who performed the\n verification, and disposal action taken. Organizations verify that the\n sanitization of the media was effective prior to disposal.","links":[{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"mp-6.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(1)[1]"}],"prose":"reviews media sanitization and disposal actions;"},{"id":"mp-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(1)[2]"}],"prose":"approves media sanitization and disposal actions;"},{"id":"mp-6.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(1)[3]"}],"prose":"tracks media sanitization and disposal actions;"},{"id":"mp-6.1_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(1)[4]"}],"prose":"documents media sanitization and disposal actions; and"},{"id":"mp-6.1_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(1)[5]"}],"prose":"verifies media sanitization and disposal actions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nmedia sanitization and disposal records\\n\\nreview records for media sanitization and disposal actions\\n\\napprovals for media sanitization and disposal actions\\n\\ntracking records\\n\\nverification records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media sanitization and\n disposal responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}]},{"id":"mp-6.2","class":"SP800-53-enhancement","title":"Equipment Testing","parameters":[{"id":"mp-6.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every six (6) months"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MP-6(2)"},{"name":"sort-id","value":"mp-06.02"}],"parts":[{"id":"mp-6.2_smt","name":"statement","prose":"The organization tests sanitization equipment and procedures {{ mp-6.2_prm_1 }} to verify that the intended sanitization is being\n achieved.","parts":[{"id":"mp-6.2_fr","name":"item","title":"MP-6 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-6.2_fr_gdn.a","name":"guidance","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"Equipment and procedures may be tested or validated for effectiveness"}]}]},{"id":"mp-6.2_gdn","name":"guidance","prose":"Testing of sanitization equipment and procedures may be conducted by qualified and\n authorized external entities (e.g., other federal agencies or external service\n providers)."},{"id":"mp-6.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(2)[1]"}],"prose":"defines the frequency for testing sanitization equipment and procedures to\n verify that the intended sanitization is being achieved; and"},{"id":"mp-6.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(2)[2]"}],"prose":"tests sanitization equipment and procedures with the organization-defined\n frequency to verify that the intended sanitization is being achieved."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nprocedures addressing testing of media sanitization equipment\\n\\nresults of media sanitization equipment and procedures testing\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media sanitization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}]},{"id":"mp-6.3","class":"SP800-53-enhancement","title":"Nondestructive Techniques","parameters":[{"id":"mp-6.3_prm_1","label":"organization-defined circumstances requiring sanitization of portable storage\n devices"}],"properties":[{"name":"label","value":"MP-6(3)"},{"name":"sort-id","value":"mp-06.03"}],"parts":[{"id":"mp-6.3_smt","name":"statement","prose":"The organization applies nondestructive sanitization techniques to portable\n storage devices prior to connecting such devices to the information system under\n the following circumstances: {{ mp-6.3_prm_1 }}."},{"id":"mp-6.3_gdn","name":"guidance","prose":"This control enhancement applies to digital media containing classified\n information and Controlled Unclassified Information (CUI). Portable storage\n devices can be the source of malicious code insertions into organizational\n information systems. Many of these devices are obtained from unknown and\n potentially untrustworthy sources and may contain malicious code that can be\n readily transferred to information systems through USB ports or other entry\n portals. While scanning such storage devices is always recommended, sanitization\n provides additional assurance that the devices are free of malicious code to\n include code capable of initiating zero-day attacks. Organizations consider\n nondestructive sanitization of portable storage devices when such devices are\n first purchased from the manufacturer or vendor prior to initial use or when\n organizations lose a positive chain of custody for the devices.","links":[{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"mp-6.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(3)[1]"}],"prose":"defines circumstances requiring sanitization of portable storage devices;\n and"},{"id":"mp-6.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(3)[2]"}],"prose":"applies nondestructive sanitization techniques to portable storage devices\n prior to connecting such devices to the information system under\n organization-defined circumstances requiring sanitization of portable storage\n devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nlist of circumstances requiring sanitization of portable storage devices\\n\\nmedia sanitization records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media sanitization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization of portable storage devices\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}]}]},{"id":"mp-7","class":"SP800-53","title":"Media Use","parameters":[{"id":"mp-7_prm_1"},{"id":"mp-7_prm_2","label":"organization-defined types of information system media"},{"id":"mp-7_prm_3","label":"organization-defined information systems or system components"},{"id":"mp-7_prm_4","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"MP-7"},{"name":"sort-id","value":"mp-07"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-7_smt","name":"statement","prose":"The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}."},{"id":"mp-7_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"mp-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-7_obj.1","name":"objective","properties":[{"name":"label","value":"MP-7[1]"}],"prose":"defines types of information system media to be:","parts":[{"id":"mp-7_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-7[1][a]"}],"prose":"restricted on information systems or system components; or"},{"id":"mp-7_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-7[1][b]"}],"prose":"prohibited from use on information systems or system components;"}]},{"id":"mp-7_obj.2","name":"objective","properties":[{"name":"label","value":"MP-7[2]"}],"prose":"defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:","parts":[{"id":"mp-7_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-7[2][a]"}],"prose":"restricted; or"},{"id":"mp-7_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-7[2][b]"}],"prose":"prohibited;"}]},{"id":"mp-7_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-7[3]"}],"prose":"defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and"},{"id":"mp-7_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-7[4]"}],"prose":"restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components"}]}],"controls":[{"id":"mp-7.1","class":"SP800-53-enhancement","title":"Prohibit Use Without Owner","properties":[{"name":"label","value":"MP-7(1)"},{"name":"sort-id","value":"mp-07.01"}],"parts":[{"id":"mp-7.1_smt","name":"statement","prose":"The organization prohibits the use of portable storage devices in organizational\n information systems when such devices have no identifiable owner."},{"id":"mp-7.1_gdn","name":"guidance","prose":"Requiring identifiable owners (e.g., individuals, organizations, or projects) for\n portable storage devices reduces the risk of using such technologies by allowing\n organizations to assign responsibility and accountability for addressing known\n vulnerabilities in the devices (e.g., malicious code insertion).","links":[{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"mp-7.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization prohibits the use of portable storage devices in\n organizational information systems when such devices have no identifiable owner.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media use\\n\\nautomated mechanisms prohibiting use of media on information systems or system\n components"}]}]}]}]},{"id":"pe","class":"family","title":"Physical and Environmental Protection","controls":[{"id":"pe-1","class":"SP800-53","title":"Physical and Environmental Protection Policy and Procedures","parameters":[{"id":"pe-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pe-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"pe-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-1"},{"name":"sort-id","value":"pe-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pe-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pe-1_prm_1 }}:","parts":[{"id":"pe-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"pe-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and"}]},{"id":"pe-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pe-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Physical and environmental protection policy {{ pe-1_prm_2 }};\n and"},{"id":"pe-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Physical and environmental protection procedures {{ pe-1_prm_3 }}."}]}]},{"id":"pe-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pe-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pe-1.a_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)"}],"parts":[{"id":"pe-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)"}],"parts":[{"id":"pe-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(1)[1]"}],"prose":"develops and documents a physical and environmental protection policy that\n addresses:","parts":[{"id":"pe-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pe-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pe-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pe-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pe-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pe-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pe-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pe-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;"},{"id":"pe-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-1(a)(1)[3]"}],"prose":"disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;"}]},{"id":"pe-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)"}],"parts":[{"id":"pe-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;"},{"id":"pe-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pe-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pe-1.b_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)"}],"parts":[{"id":"pe-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(1)"}],"parts":[{"id":"pe-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection policy;"},{"id":"pe-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(1)[2]"}],"prose":"reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;"}]},{"id":"pe-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(2)"}],"parts":[{"id":"pe-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection procedures; and"},{"id":"pe-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(2)[2]"}],"prose":"reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pe-2","class":"SP800-53","title":"Physical Access Authorizations","parameters":[{"id":"pe-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every ninety (90) days"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-2"},{"name":"sort-id","value":"pe-02"}],"parts":[{"id":"pe-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;"},{"id":"pe-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Issues authorization credentials for facility access;"},{"id":"pe-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and"},{"id":"pe-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Removes individuals from the facility access list when access is no longer\n required."}]},{"id":"pe-2_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.","links":[{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"pe-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-2.a_obj","name":"objective","properties":[{"name":"label","value":"PE-2(a)"}],"parts":[{"id":"pe-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-2(a)[1]"}],"prose":"develops a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(a)[2]"}],"prose":"approves a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-2(a)[3]"}],"prose":"maintains a list of individuals with authorized access to the facility where\n the information system resides;"}]},{"id":"pe-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(b)"}],"prose":"issues authorization credentials for facility access;"},{"id":"pe-2.c_obj","name":"objective","properties":[{"name":"label","value":"PE-2(c)"}],"parts":[{"id":"pe-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-2(c)[1]"}],"prose":"defines the frequency to review the access list detailing authorized facility\n access by individuals;"},{"id":"pe-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(c)[2]"}],"prose":"reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and"}]},{"id":"pe-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(d)"}],"prose":"removes individuals from the facility access list when access is no longer\n required."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations"}]}]},{"id":"pe-3","class":"SP800-53","title":"Physical Access Control","parameters":[{"id":"pe-3_prm_1","label":"organization-defined entry/exit points to the facility where the information\n system resides"},{"id":"pe-3_prm_2","constraints":[{"detail":"CSP defined physical access control systems/devices AND guards"}]},{"id":"pe-3_prm_3","depends-on":"pe-3_prm_2","label":"organization-defined physical access control systems/devices","constraints":[{"detail":"CSP defined physical access control systems/devices"}]},{"id":"pe-3_prm_4","label":"organization-defined entry/exit points"},{"id":"pe-3_prm_5","label":"organization-defined security safeguards"},{"id":"pe-3_prm_6","label":"organization-defined circumstances requiring visitor escorts and\n monitoring","constraints":[{"detail":"in all circumstances within restricted access area where the information system resides"}]},{"id":"pe-3_prm_7","label":"organization-defined physical access devices"},{"id":"pe-3_prm_8","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"pe-3_prm_9","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-3"},{"name":"sort-id","value":"pe-03"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"},{"href":"#398e33fd-f404-4e5c-b90e-2d50d3181244","rel":"reference","text":"ICD 705"},{"href":"#61081e7f-041d-4033-96a7-44a439071683","rel":"reference","text":"DoD Instruction 5200.39"},{"href":"#dd2f5acd-08f1-435a-9837-f8203088dc1a","rel":"reference","text":"Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"}],"parts":[{"id":"pe-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces physical access authorizations at {{ pe-3_prm_1 }} by;","parts":[{"id":"pe-3_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Verifying individual access authorizations before granting access to the\n facility; and"},{"id":"pe-3_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};"}]},{"id":"pe-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Maintains physical access audit logs for {{ pe-3_prm_4 }};"},{"id":"pe-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;"},{"id":"pe-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};"},{"id":"pe-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Secures keys, combinations, and other physical access devices;"},{"id":"pe-3_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and"},{"id":"pe-3_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated."}]},{"id":"pe-3_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#pe-5","rel":"related","text":"PE-5"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"pe-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-3.a_obj","name":"objective","properties":[{"name":"label","value":"PE-3(a)"}],"parts":[{"id":"pe-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(a)[1]"}],"prose":"defines entry/exit points to the facility where the information system\n resides;"},{"id":"pe-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(a)[2]"}],"prose":"enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:","parts":[{"id":"pe-3.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](1)"}],"prose":"verifying individual access authorizations before granting access to the\n facility;"},{"id":"pe-3.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(a)[2](2)"}],"parts":[{"id":"pe-3.a.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[a]"}],"prose":"defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;"},{"id":"pe-3.a.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b]"}],"prose":"using one or more of the following ways to control ingress/egress to the\n facility:","parts":[{"id":"pe-3.a.2_obj.2.b.1","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][1]"}],"prose":"organization-defined physical access control systems/devices;\n and/or"},{"id":"pe-3.a.2_obj.2.b.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][2]"}],"prose":"guards;"}]}]}]}]},{"id":"pe-3.b_obj","name":"objective","properties":[{"name":"label","value":"PE-3(b)"}],"parts":[{"id":"pe-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(b)[1]"}],"prose":"defines entry/exit points for which physical access audit logs are to be\n maintained;"},{"id":"pe-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(b)[2]"}],"prose":"maintains physical access audit logs for organization-defined entry/exit\n points;"}]},{"id":"pe-3.c_obj","name":"objective","properties":[{"name":"label","value":"PE-3(c)"}],"parts":[{"id":"pe-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(c)[1]"}],"prose":"defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;"},{"id":"pe-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(c)[2]"}],"prose":"provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;"}]},{"id":"pe-3.d_obj","name":"objective","properties":[{"name":"label","value":"PE-3(d)"}],"parts":[{"id":"pe-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(d)[1]"}],"prose":"defines circumstances requiring visitor:","parts":[{"id":"pe-3.d_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][a]"}],"prose":"escorts;"},{"id":"pe-3.d_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][b]"}],"prose":"monitoring;"}]},{"id":"pe-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(d)[2]"}],"prose":"in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:","parts":[{"id":"pe-3.d_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][a]"}],"prose":"escorts visitors;"},{"id":"pe-3.d_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][b]"}],"prose":"monitors visitor activities;"}]}]},{"id":"pe-3.e_obj","name":"objective","properties":[{"name":"label","value":"PE-3(e)"}],"parts":[{"id":"pe-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[1]"}],"prose":"secures keys;"},{"id":"pe-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[2]"}],"prose":"secures combinations;"},{"id":"pe-3.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[3]"}],"prose":"secures other physical access devices;"}]},{"id":"pe-3.f_obj","name":"objective","properties":[{"name":"label","value":"PE-3(f)"}],"parts":[{"id":"pe-3.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(f)[1]"}],"prose":"defines physical access devices to be inventoried;"},{"id":"pe-3.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(f)[2]"}],"prose":"defines the frequency to inventory organization-defined physical access\n devices;"},{"id":"pe-3.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(f)[3]"}],"prose":"inventories the organization-defined physical access devices with the\n organization-defined frequency;"}]},{"id":"pe-3.g_obj","name":"objective","properties":[{"name":"label","value":"PE-3(g)"}],"parts":[{"id":"pe-3.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(g)[1]"}],"prose":"defines the frequency to change combinations and keys; and"},{"id":"pe-3.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(g)[2]"}],"prose":"changes combinations and keys with the organization-defined frequency and/or\n when:","parts":[{"id":"pe-3.g_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][a]"}],"prose":"keys are lost;"},{"id":"pe-3.g_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][b]"}],"prose":"combinations are compromised;"},{"id":"pe-3.g_obj.2.c","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][c]"}],"prose":"individuals are transferred or terminated."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices"}]}],"controls":[{"id":"pe-3.1","class":"SP800-53-enhancement","title":"Information System Access","parameters":[{"id":"pe-3.1_prm_1","label":"organization-defined physical spaces containing one or more components of the\n information system"}],"properties":[{"name":"label","value":"PE-3(1)"},{"name":"sort-id","value":"pe-03.01"}],"parts":[{"id":"pe-3.1_smt","name":"statement","prose":"The organization enforces physical access authorizations to the information system\n in addition to the physical access controls for the facility at {{ pe-3.1_prm_1 }}."},{"id":"pe-3.1_gdn","name":"guidance","prose":"This control enhancement provides additional physical security for those areas\n within facilities where there is a concentration of information system components\n (e.g., server rooms, media storage areas, data and communications centers).","links":[{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"pe-3.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-3.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(1)[1]"}],"prose":"defines physical spaces containing one or more components of the information\n system; and"},{"id":"pe-3.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(1)[2]"}],"prose":"enforces physical access authorizations to the information system in addition\n to the physical access controls for the facility at organization-defined\n physical spaces containing one or more components of the information\n system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nphysical access control logs or records\\n\\nphysical access control devices\\n\\naccess authorizations\\n\\naccess credentials\\n\\ninformation system entry and exit points\\n\\nlist of areas within the facility containing concentrations of information\n system components or information system components requiring additional\n physical protection\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access control to the information\n system/components\\n\\nautomated mechanisms supporting and/or implementing physical access control for\n facility areas containing information system components"}]}]}]},{"id":"pe-4","class":"SP800-53","title":"Access Control for Transmission Medium","parameters":[{"id":"pe-4_prm_1","label":"organization-defined information system distribution and transmission\n lines"},{"id":"pe-4_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"PE-4"},{"name":"sort-id","value":"pe-04"}],"links":[{"href":"#06dff0ea-3848-4945-8d91-e955ee69f05d","rel":"reference","text":"NSTISSI No. 7003"}],"parts":[{"id":"pe-4_smt","name":"statement","prose":"The organization controls physical access to {{ pe-4_prm_1 }} within\n organizational facilities using {{ pe-4_prm_2 }}."},{"id":"pe-4_gdn","name":"guidance","prose":"Physical security safeguards applied to information system distribution and\n transmission lines help to prevent accidental damage, disruption, and physical\n tampering. In addition, physical safeguards may be necessary to help prevent\n eavesdropping or in transit modification of unencrypted transmissions. Security\n safeguards to control physical access to system distribution and transmission lines\n include, for example: (i) locked wiring closets; (ii) disconnected or locked spare\n jacks; and/or (iii) protection of cabling by conduit or cable trays.","links":[{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-5","rel":"related","text":"PE-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"pe-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-4[1]"}],"prose":"defines information system distribution and transmission lines requiring physical\n access controls;"},{"id":"pe-4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-4[2]"}],"prose":"defines security safeguards to be employed to control physical access to\n organization-defined information system distribution and transmission lines within\n organizational facilities; and"},{"id":"pe-4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-4[3]"}],"prose":"controls physical access to organization-defined information system distribution\n and transmission lines within organizational facilities using organization-defined\n security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing access control for transmission medium\\n\\ninformation system design documentation\\n\\nfacility communications and wiring diagrams\\n\\nlist of physical security safeguards applied to information system distribution\n and transmission lines\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access control to distribution and transmission\n lines\\n\\nautomated mechanisms/security safeguards supporting and/or implementing access\n control to distribution and transmission lines"}]}]},{"id":"pe-5","class":"SP800-53","title":"Access Control for Output Devices","properties":[{"name":"label","value":"PE-5"},{"name":"sort-id","value":"pe-05"}],"parts":[{"id":"pe-5_smt","name":"statement","prose":"The organization controls physical access to information system output devices to\n prevent unauthorized individuals from obtaining the output."},{"id":"pe-5_gdn","name":"guidance","prose":"Controlling physical access to output devices includes, for example, placing output\n devices in locked rooms or other secured areas and allowing access to authorized\n individuals only, and placing output devices in locations that can be monitored by\n organizational personnel. Monitors, printers, copiers, scanners, facsimile machines,\n and audio devices are examples of information system output devices.","links":[{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#pe-18","rel":"related","text":"PE-18"}]},{"id":"pe-5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization controls physical access to information system output\n devices to prevent unauthorized individuals from obtaining the output. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing access control for display medium\\n\\nfacility layout of information system components\\n\\nactual displays from information system components\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access control to output devices\\n\\nautomated mechanisms supporting and/or implementing access control to output\n devices"}]}]},{"id":"pe-6","class":"SP800-53","title":"Monitoring Physical Access","parameters":[{"id":"pe-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"pe-6_prm_2","label":"organization-defined events or potential indications of events"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-6"},{"name":"sort-id","value":"pe-06"}],"parts":[{"id":"pe-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and"},{"id":"pe-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"id":"pe-6_gdn","name":"guidance","prose":"Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"pe-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(a)"}],"prose":"monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6.b_obj","name":"objective","properties":[{"name":"label","value":"PE-6(b)"}],"parts":[{"id":"pe-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(b)[1]"}],"prose":"defines the frequency to review physical access logs;"},{"id":"pe-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(b)[2]"}],"prose":"defines events or potential indication of events requiring physical access logs\n to be reviewed;"},{"id":"pe-6.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(b)[3]"}],"prose":"reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and"}]},{"id":"pe-6.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-6(c)"}],"prose":"coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs"}]}],"controls":[{"id":"pe-6.1","class":"SP800-53-enhancement","title":"Intrusion Alarms / Surveillance Equipment","properties":[{"name":"label","value":"PE-6(1)"},{"name":"sort-id","value":"pe-06.01"}],"parts":[{"id":"pe-6.1_smt","name":"statement","prose":"The organization monitors physical intrusion alarms and surveillance\n equipment."},{"id":"pe-6.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization monitors physical intrusion alarms and surveillance\n equipment. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical intrusion alarms and\n surveillance equipment\\n\\nautomated mechanisms supporting and/or implementing physical access\n monitoring\\n\\nautomated mechanisms supporting and/or implementing physical intrusion alarms\n and surveillance equipment"}]}]},{"id":"pe-6.4","class":"SP800-53-enhancement","title":"Monitoring Physical Access to Information Systems","parameters":[{"id":"pe-6.4_prm_1","label":"organization-defined physical spaces containing one or more components of the\n information system"}],"properties":[{"name":"label","value":"PE-6(4)"},{"name":"sort-id","value":"pe-06.04"}],"parts":[{"id":"pe-6.4_smt","name":"statement","prose":"The organization monitors physical access to the information system in addition to\n the physical access monitoring of the facility as {{ pe-6.4_prm_1 }}."},{"id":"pe-6.4_gdn","name":"guidance","prose":"This control enhancement provides additional monitoring for those areas within\n facilities where there is a concentration of information system components (e.g.,\n server rooms, media storage areas, communications centers).","links":[{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"pe-6.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-6.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(4)[1]"}],"prose":"defines physical spaces containing one or more components of the information\n system; and"},{"id":"pe-6.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(4)[2]"}],"prose":"monitors physical access to the information system in addition to the physical\n access monitoring of the facility at organization-defined physical spaces\n containing one or more components of the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nphysical access control logs or records\\n\\nphysical access control devices\\n\\naccess authorizations\\n\\naccess credentials\\n\\nlist of areas within the facility containing concentrations of information\n system components or information system components requiring additional\n physical access monitoring\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical access to the information\n system\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\n for facility areas containing information system components"}]}]}]},{"id":"pe-8","class":"SP800-53","title":"Visitor Access Records","parameters":[{"id":"pe-8_prm_1","label":"organization-defined time period","constraints":[{"detail":"for a minimum of one (1) year"}]},{"id":"pe-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-8"},{"name":"sort-id","value":"pe-08"}],"parts":[{"id":"pe-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and"},{"id":"pe-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews visitor access records {{ pe-8_prm_2 }}."}]},{"id":"pe-8_gdn","name":"guidance","prose":"Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas."},{"id":"pe-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-8.a_obj","name":"objective","properties":[{"name":"label","value":"PE-8(a)"}],"parts":[{"id":"pe-8.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-8(a)[1]"}],"prose":"defines the time period to maintain visitor access records to the facility\n where the information system resides;"},{"id":"pe-8.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-8(a)[2]"}],"prose":"maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;"}]},{"id":"pe-8.b_obj","name":"objective","properties":[{"name":"label","value":"PE-8(b)"}],"parts":[{"id":"pe-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-8(b)[1]"}],"prose":"defines the frequency to review visitor access records; and"},{"id":"pe-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-8(b)[2]"}],"prose":"reviews visitor access records with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records"}]}],"controls":[{"id":"pe-8.1","class":"SP800-53-enhancement","title":"Automated Records Maintenance / Review","properties":[{"name":"label","value":"PE-8(1)"},{"name":"sort-id","value":"pe-08.01"}],"parts":[{"id":"pe-8.1_smt","name":"statement","prose":"The organization employs automated mechanisms to facilitate the maintenance and\n review of visitor access records."},{"id":"pe-8.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to facilitate the\n maintenance and review of visitor access records. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nautomated mechanisms supporting management of visitor access records\\n\\nvisitor access control logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining and reviewing visitor access\n records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records"}]}]}]},{"id":"pe-9","class":"SP800-53","title":"Power Equipment and Cabling","properties":[{"name":"label","value":"PE-9"},{"name":"sort-id","value":"pe-09"}],"parts":[{"id":"pe-9_smt","name":"statement","prose":"The organization protects power equipment and power cabling for the information\n system from damage and destruction."},{"id":"pe-9_gdn","name":"guidance","prose":"Organizations determine the types of protection necessary for power equipment and\n cabling employed at different locations both internal and external to organizational\n facilities and environments of operation. This includes, for example, generators and\n power cabling outside of buildings, internal cabling and uninterruptable power\n sources within an office or data center, and power sources for self-contained\n entities such as vehicles and satellites.","links":[{"href":"#pe-4","rel":"related","text":"PE-4"}]},{"id":"pe-9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects power equipment and power cabling for the\n information system from damage and destruction. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing power equipment/cabling protection\\n\\nfacilities housing power equipment/cabling\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for protecting power\n equipment/cabling\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing protection of power\n equipment/cabling"}]}]},{"id":"pe-10","class":"SP800-53","title":"Emergency Shutoff","parameters":[{"id":"pe-10_prm_1","label":"organization-defined location by information system or system component"}],"properties":[{"name":"label","value":"PE-10"},{"name":"sort-id","value":"pe-10"}],"parts":[{"id":"pe-10_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides the capability of shutting off power to the information system or\n individual system components in emergency situations;"},{"id":"pe-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Places emergency shutoff switches or devices in {{ pe-10_prm_1 }}\n to facilitate safe and easy access for personnel; and"},{"id":"pe-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Protects emergency power shutoff capability from unauthorized activation."}]},{"id":"pe-10_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.","links":[{"href":"#pe-15","rel":"related","text":"PE-15"}]},{"id":"pe-10_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-10(a)"}],"prose":"provides the capability of shutting off power to the information system or\n individual system components in emergency situations;"},{"id":"pe-10.b_obj","name":"objective","properties":[{"name":"label","value":"PE-10(b)"}],"parts":[{"id":"pe-10.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-10(b)[1]"}],"prose":"defines the location of emergency shutoff switches or devices by information\n system or system component;"},{"id":"pe-10.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-10(b)[2]"}],"prose":"places emergency shutoff switches or devices in the organization-defined\n location by information system or system component to facilitate safe and easy\n access for personnel; and"}]},{"id":"pe-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-10(c)"}],"prose":"protects emergency power shutoff capability from unauthorized activation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing power source emergency shutoff\\n\\nsecurity plan\\n\\nemergency shutoff controls or switches\\n\\nlocations housing emergency shutoff switches and devices\\n\\nsecurity safeguards protecting emergency power shutoff capability from\n unauthorized activation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency power shutoff\n capability (both implementing and using the capability)\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing emergency power shutoff"}]}]},{"id":"pe-11","class":"SP800-53","title":"Emergency Power","parameters":[{"id":"pe-11_prm_1"}],"properties":[{"name":"label","value":"PE-11"},{"name":"sort-id","value":"pe-11"}],"parts":[{"id":"pe-11_smt","name":"statement","prose":"The organization provides a short-term uninterruptible power supply to facilitate\n {{ pe-11_prm_1 }} in the event of a primary power source loss."},{"id":"pe-11_gdn","name":"guidance","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-11_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization provides a short-term uninterruptible power supply to\n facilitate one or more of the following in the event of a primary power source loss: ","parts":[{"id":"pe-11_obj.1","name":"objective","properties":[{"name":"label","value":"PE-11[1]"}],"prose":"an orderly shutdown of the information system; and/or"},{"id":"pe-11_obj.2","name":"objective","properties":[{"name":"label","value":"PE-11[2]"}],"prose":"transition of the information system to long-term alternate power."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency power\\n\\nuninterruptible power supply\\n\\nuninterruptible power supply documentation\\n\\nuninterruptible power supply test records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency power and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing uninterruptible power\n supply\\n\\nthe uninterruptable power supply"}]}],"controls":[{"id":"pe-11.1","class":"SP800-53-enhancement","title":"Long-term Alternate Power Supply - Minimal Operational Capability","properties":[{"name":"label","value":"PE-11(1)"},{"name":"sort-id","value":"pe-11.01"}],"parts":[{"id":"pe-11.1_smt","name":"statement","prose":"The organization provides a long-term alternate power supply for the information\n system that is capable of maintaining minimally required operational capability in\n the event of an extended loss of the primary power source."},{"id":"pe-11.1_gdn","name":"guidance","prose":"This control enhancement can be satisfied, for example, by the use of a secondary\n commercial power supply or other external power supply. Long-term alternate power\n supplies for the information system can be either manually or automatically\n activated."},{"id":"pe-11.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization provides a long-term alternate power supply for the\n information system that is capable of maintaining minimally required operational\n capability in the event of an extended loss of the primary power source. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency power\\n\\nalternate power supply\\n\\nalternate power supply documentation\\n\\nalternate power supply test records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency power and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing alternate power supply\\n\\nthe alternate power supply"}]}]}]},{"id":"pe-12","class":"SP800-53","title":"Emergency Lighting","properties":[{"name":"label","value":"PE-12"},{"name":"sort-id","value":"pe-12"}],"parts":[{"id":"pe-12_smt","name":"statement","prose":"The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility."},{"id":"pe-12_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-12_obj","name":"objective","prose":"Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ","parts":[{"id":"pe-12_obj.1","name":"objective","properties":[{"name":"label","value":"PE-12[1]"}],"prose":"activates in the event of a power outage or disruption; and"},{"id":"pe-12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-12[2]"}],"prose":"covers emergency exits and evacuation routes within the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing emergency lighting\n capability"}]}]},{"id":"pe-13","class":"SP800-53","title":"Fire Protection","properties":[{"name":"label","value":"PE-13"},{"name":"sort-id","value":"pe-13"}],"parts":[{"id":"pe-13_smt","name":"statement","prose":"The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source."},{"id":"pe-13_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors."},{"id":"pe-13_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13_obj.1","name":"objective","properties":[{"name":"label","value":"PE-13[1]"}],"prose":"employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and"},{"id":"pe-13_obj.2","name":"objective","properties":[{"name":"label","value":"PE-13[2]"}],"prose":"maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems"}]}],"controls":[{"id":"pe-13.1","class":"SP800-53-enhancement","title":"Detection Devices / Systems","parameters":[{"id":"pe-13.1_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"service provider building maintenance/physical security personnel"}]},{"id":"pe-13.1_prm_2","label":"organization-defined emergency responders","constraints":[{"detail":"service provider emergency responders with incident response responsibilities"}]}],"properties":[{"name":"label","value":"PE-13(1)"},{"name":"sort-id","value":"pe-13.01"}],"parts":[{"id":"pe-13.1_smt","name":"statement","prose":"The organization employs fire detection devices/systems for the information system\n that activate automatically and notify {{ pe-13.1_prm_1 }} and\n {{ pe-13.1_prm_2 }} in the event of a fire."},{"id":"pe-13.1_gdn","name":"guidance","prose":"Organizations can identify specific personnel, roles, and emergency responders in\n the event that individuals on the notification list must have appropriate access\n authorizations and/or clearances, for example, to obtain access to facilities\n where classified operations are taking place or where there are information\n systems containing classified information."},{"id":"pe-13.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-13(1)[1]"}],"prose":"defines personnel or roles to be notified in the event of a fire;"},{"id":"pe-13.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-13(1)[2]"}],"prose":"defines emergency responders to be notified in the event of a fire;"},{"id":"pe-13.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-13(1)[3]"}],"prose":"employs fire detection devices/systems for the information system that, in the\n event of a fire,:","parts":[{"id":"pe-13.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"PE-13(1)[3][a]"}],"prose":"activate automatically;"},{"id":"pe-13.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"PE-13(1)[3][b]"}],"prose":"notify organization-defined personnel or roles; and"},{"id":"pe-13.1_obj.3.c","name":"objective","properties":[{"name":"label","value":"PE-13(1)[3][c]"}],"prose":"notify organization-defined emergency responders."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\nalerts/notifications of fire events\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for notifying appropriate\n personnel, roles, and emergency responders of fires\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire detection\n devices/systems\\n\\nactivation of fire detection devices/systems (simulated)\\n\\nautomated notifications"}]}]},{"id":"pe-13.2","class":"SP800-53-enhancement","title":"Suppression Devices / Systems","parameters":[{"id":"pe-13.2_prm_1","label":"organization-defined personnel or roles"},{"id":"pe-13.2_prm_2","label":"organization-defined emergency responders"}],"properties":[{"name":"label","value":"PE-13(2)"},{"name":"sort-id","value":"pe-13.02"}],"parts":[{"id":"pe-13.2_smt","name":"statement","prose":"The organization employs fire suppression devices/systems for the information\n system that provide automatic notification of any activation to {{ pe-13.2_prm_1 }} and {{ pe-13.2_prm_2 }}."},{"id":"pe-13.2_gdn","name":"guidance","prose":"Organizations can identify specific personnel, roles, and emergency responders in\n the event that individuals on the notification list must have appropriate access\n authorizations and/or clearances, for example, to obtain access to facilities\n where classified operations are taking place or where there are information\n systems containing classified information."},{"id":"pe-13.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-13(2)[1]"}],"prose":"defines personnel or roles to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;"},{"id":"pe-13.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-13(2)[2]"}],"prose":"defines emergency responders to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;"},{"id":"pe-13.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-13(2)[3]"}],"prose":"employs fire suppression devices/systems for the information system that\n provide automatic notification of any activation to:","parts":[{"id":"pe-13.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"PE-13(2)[3][a]"}],"prose":"organization-defined personnel or roles; and"},{"id":"pe-13.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"PE-13(2)[3][b]"}],"prose":"organization-defined emergency responders."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)\\n\\nautomated notifications"}]}]},{"id":"pe-13.3","class":"SP800-53-enhancement","title":"Automatic Fire Suppression","properties":[{"name":"label","value":"PE-13(3)"},{"name":"sort-id","value":"pe-13.03"}],"parts":[{"id":"pe-13.3_smt","name":"statement","prose":"The organization employs an automatic fire suppression capability for the\n information system when the facility is not staffed on a continuous basis."},{"id":"pe-13.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs an automatic fire suppression capability for\n the information system when the facility is not staffed on a continuous basis.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)"}]}]}]},{"id":"pe-14","class":"SP800-53","title":"Temperature and Humidity Controls","parameters":[{"id":"pe-14_prm_1","label":"organization-defined acceptable levels","constraints":[{"detail":"consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments"}]},{"id":"pe-14_prm_2","label":"organization-defined frequency","constraints":[{"detail":"continuously"}]}],"properties":[{"name":"label","value":"PE-14"},{"name":"sort-id","value":"pe-14"}],"parts":[{"id":"pe-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and"},{"id":"pe-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Monitors temperature and humidity levels {{ pe-14_prm_2 }}."},{"id":"pe-14_fr","name":"item","title":"PE-14(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"pe-14_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider measures temperature at server inlets and humidity levels by dew point."}]}]},{"id":"pe-14_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-14_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-14.a_obj","name":"objective","properties":[{"name":"label","value":"PE-14(a)"}],"parts":[{"id":"pe-14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(a)[1]"}],"prose":"defines acceptable temperature levels to be maintained within the facility\n where the information system resides;"},{"id":"pe-14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(a)[2]"}],"prose":"defines acceptable humidity levels to be maintained within the facility where\n the information system resides;"},{"id":"pe-14.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(a)[3]"}],"prose":"maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;"},{"id":"pe-14.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(a)[4]"}],"prose":"maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;"}]},{"id":"pe-14.b_obj","name":"objective","properties":[{"name":"label","value":"PE-14(b)"}],"parts":[{"id":"pe-14.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(b)[1]"}],"prose":"defines the frequency to monitor temperature levels;"},{"id":"pe-14.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(b)[2]"}],"prose":"defines the frequency to monitor humidity levels;"},{"id":"pe-14.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(b)[3]"}],"prose":"monitors temperature levels with the organization-defined frequency; and"},{"id":"pe-14.b_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(b)[4]"}],"prose":"monitors humidity levels with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels"}]}],"controls":[{"id":"pe-14.2","class":"SP800-53-enhancement","title":"Monitoring with Alarms / Notifications","properties":[{"name":"label","value":"PE-14(2)"},{"name":"sort-id","value":"pe-14.02"}],"parts":[{"id":"pe-14.2_smt","name":"statement","prose":"The organization employs temperature and humidity monitoring that provides an\n alarm or notification of changes potentially harmful to personnel or\n equipment."},{"id":"pe-14.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-14.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(2)[1]"}],"prose":"employs temperature monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or"},{"id":"pe-14.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(2)[2]"}],"prose":"employs temperature monitoring that provides notification of changes\n potentially harmful to personnel or equipment;"},{"id":"pe-14.2_obj.3","name":"objective","properties":[{"name":"label","value":"PE-14(2)[3]"}],"prose":"employs humidity monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or"},{"id":"pe-14.2_obj.4","name":"objective","properties":[{"name":"label","value":"PE-14(2)[4]"}],"prose":"employs humidity monitoring that provides notification of changes potentially\n harmful to personnel or equipment."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity monitoring\\n\\nfacility housing the information system\\n\\nlogs or records of temperature and humidity monitoring\\n\\nrecords of changes to temperature and humidity levels that generate alarms or\n notifications\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing temperature and humidity\n monitoring"}]}]}]},{"id":"pe-15","class":"SP800-53","title":"Water Damage Protection","properties":[{"name":"label","value":"PE-15"},{"name":"sort-id","value":"pe-15"}],"parts":[{"id":"pe-15_smt","name":"statement","prose":"The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel."},{"id":"pe-15_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-15_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ","parts":[{"id":"pe-15_obj.1","name":"objective","properties":[{"name":"label","value":"PE-15[1]"}],"prose":"accessible;"},{"id":"pe-15_obj.2","name":"objective","properties":[{"name":"label","value":"PE-15[2]"}],"prose":"working properly; and"},{"id":"pe-15_obj.3","name":"objective","properties":[{"name":"label","value":"PE-15[3]"}],"prose":"known to key personnel."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff"}]}],"controls":[{"id":"pe-15.1","class":"SP800-53-enhancement","title":"Automation Support","parameters":[{"id":"pe-15.1_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"service provider building maintenance/physical security personnel"}]}],"properties":[{"name":"label","value":"PE-15(1)"},{"name":"sort-id","value":"pe-15.01"}],"parts":[{"id":"pe-15.1_smt","name":"statement","prose":"The organization employs automated mechanisms to detect the presence of water in\n the vicinity of the information system and alerts {{ pe-15.1_prm_1 }}."},{"id":"pe-15.1_gdn","name":"guidance","prose":"Automated mechanisms can include, for example, water detection sensors, alarms,\n and notification systems."},{"id":"pe-15.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-15.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-15(1)[1]"}],"prose":"defines personnel or roles to be alerted when the presence of water is detected\n in the vicinity of the information system;"},{"id":"pe-15.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-15(1)[2]"}],"prose":"employs automated mechanisms to detect the presence of water in the vicinity of\n the information system; and"},{"id":"pe-15.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-15(1)[3]"}],"prose":"alerts organization-defined personnel or roles when the presence of water is\n detected in the vicinity of the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nautomated mechanisms for water shutoff valves\\n\\nautomated mechanisms detecting presence of water in vicinity of information\n system\\n\\nalerts/notifications of water detection in information system facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing water detection capability\n and alerts for the information system"}]}]}]},{"id":"pe-16","class":"SP800-53","title":"Delivery and Removal","parameters":[{"id":"pe-16_prm_1","label":"organization-defined types of information system components","constraints":[{"detail":"all information system components"}]}],"properties":[{"name":"label","value":"PE-16"},{"name":"sort-id","value":"pe-16"}],"parts":[{"id":"pe-16_smt","name":"statement","prose":"The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items."},{"id":"pe-16_gdn","name":"guidance","prose":"Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"pe-16_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-16_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-16[1]"}],"prose":"defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;"},{"id":"pe-16_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[2]"}],"prose":"authorizes organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[3]"}],"prose":"monitors organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[4]"}],"prose":"controls organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[5]"}],"prose":"authorizes organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.6","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[6]"}],"prose":"monitors organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.7","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[7]"}],"prose":"controls organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.8","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-16[8]"}],"prose":"maintains records of information system components entering the facility; and"},{"id":"pe-16_obj.9","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-16[9]"}],"prose":"maintains records of information system components exiting the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility"}]}]},{"id":"pe-17","class":"SP800-53","title":"Alternate Work Site","parameters":[{"id":"pe-17_prm_1","label":"organization-defined security controls"}],"properties":[{"name":"label","value":"PE-17"},{"name":"sort-id","value":"pe-17"}],"links":[{"href":"#5309d4d0-46f8-4213-a749-e7584164e5e8","rel":"reference","text":"NIST Special Publication 800-46"}],"parts":[{"id":"pe-17_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs {{ pe-17_prm_1 }} at alternate work sites;"},{"id":"pe-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assesses as feasible, the effectiveness of security controls at alternate work\n sites; and"},{"id":"pe-17_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides a means for employees to communicate with information security personnel\n in case of security incidents or problems."}]},{"id":"pe-17_gdn","name":"guidance","prose":"Alternate work sites may include, for example, government facilities or private\n residences of employees. While commonly distinct from alternative processing sites,\n alternate work sites may provide readily available alternate locations as part of\n contingency operations. Organizations may define different sets of security controls\n for specific alternate work sites or types of sites depending on the work-related\n activities conducted at those sites. This control supports the contingency planning\n activities of organizations and the federal telework initiative.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-17_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-17.a_obj","name":"objective","properties":[{"name":"label","value":"PE-17(a)"}],"parts":[{"id":"pe-17.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-17(a)[1]"}],"prose":"defines security controls to be employed at alternate work sites;"},{"id":"pe-17.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-17(a)[2]"}],"prose":"employs organization-defined security controls at alternate work sites;"}]},{"id":"pe-17.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-17(b)"}],"prose":"assesses, as feasible, the effectiveness of security controls at alternate work\n sites; and"},{"id":"pe-17.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-17(c)"}],"prose":"provides a means for employees to communicate with information security personnel\n in case of security incidents or problems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing alternate work sites for organizational personnel\\n\\nsecurity plan\\n\\nlist of security controls required for alternate work sites\\n\\nassessments of security controls at alternate work sites\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel approving use of alternate work sites\\n\\norganizational personnel using alternate work sites\\n\\norganizational personnel assessing controls at alternate work sites\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security at alternate work sites\\n\\nautomated mechanisms supporting alternate work sites\\n\\nsecurity controls employed at alternate work sites\\n\\nmeans of communications between personnel at alternate work sites and security\n personnel"}]}]},{"id":"pe-18","class":"SP800-53","title":"Location of Information System Components","parameters":[{"id":"pe-18_prm_1","label":"organization-defined physical and environmental hazards","constraints":[{"detail":"physical and environmental hazards identified during threat assessment"}]}],"properties":[{"name":"label","value":"PE-18"},{"name":"sort-id","value":"pe-18"}],"parts":[{"id":"pe-18_smt","name":"statement","prose":"The organization positions information system components within the facility to\n minimize potential damage from {{ pe-18_prm_1 }} and to minimize the\n opportunity for unauthorized access."},{"id":"pe-18_gdn","name":"guidance","prose":"Physical and environmental hazards include, for example, flooding, fire, tornados,\n earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse,\n electrical interference, and other forms of incoming electromagnetic radiation. In\n addition, organizations consider the location of physical entry points where\n unauthorized individuals, while not being granted access, might nonetheless be in\n close proximity to information systems and therefore increase the potential for\n unauthorized access to organizational communications (e.g., through the use of\n wireless sniffers or microphones).","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#pe-19","rel":"related","text":"PE-19"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"pe-18_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-18_obj.1","name":"objective","properties":[{"name":"label","value":"PE-18[1]"}],"prose":"defines physical hazards that could result in potential damage to information\n system components within the facility;"},{"id":"pe-18_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-18[2]"}],"prose":"defines environmental hazards that could result in potential damage to information\n system components within the facility;"},{"id":"pe-18_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-18[3]"}],"prose":"positions information system components within the facility to minimize potential\n damage from organization-defined physical and environmental hazards; and"},{"id":"pe-18_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-18[4]"}],"prose":"positions information system components within the facility to minimize the\n opportunity for unauthorized access."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing positioning of information system components\\n\\ndocumentation providing the location and position of information system components\n within the facility\\n\\nlocations housing information system components within the facility\\n\\nlist of physical and environmental hazards with potential to damage information\n system components within the facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for positioning information system\n components\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for positioning information system components"}]}]}]},{"id":"pl","class":"family","title":"Planning","controls":[{"id":"pl-1","class":"SP800-53","title":"Security Planning Policy and Procedures","parameters":[{"id":"pl-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"pl-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-1"},{"name":"sort-id","value":"pl-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pl-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pl-1_prm_1 }}:","parts":[{"id":"pl-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"pl-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and"}]},{"id":"pl-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pl-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security planning policy {{ pl-1_prm_2 }}; and"},{"id":"pl-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security planning procedures {{ pl-1_prm_3 }}."}]}]},{"id":"pl-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pl-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pl-1.a_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)"}],"parts":[{"id":"pl-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)"}],"parts":[{"id":"pl-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(1)[1]"}],"prose":"develops and documents a planning policy that addresses:","parts":[{"id":"pl-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pl-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pl-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pl-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pl-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pl-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pl-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pl-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the planning policy is to be\n disseminated;"},{"id":"pl-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-1(a)(1)[3]"}],"prose":"disseminates the planning policy to organization-defined personnel or\n roles;"}]},{"id":"pl-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)"}],"parts":[{"id":"pl-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;"},{"id":"pl-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pl-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pl-1.b_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)"}],"parts":[{"id":"pl-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(1)"}],"parts":[{"id":"pl-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current planning policy;"},{"id":"pl-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(1)[2]"}],"prose":"reviews and updates the current planning policy with the\n organization-defined frequency;"}]},{"id":"pl-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(2)"}],"parts":[{"id":"pl-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current planning procedures;\n and"},{"id":"pl-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(2)[2]"}],"prose":"reviews and updates the current planning procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pl-2","class":"SP800-53","title":"System Security Plan","parameters":[{"id":"pl-2_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-2"},{"name":"sort-id","value":"pl-02"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security plan for the information system that:","parts":[{"id":"pl-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Is consistent with the organization’s enterprise architecture;"},{"id":"pl-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Explicitly defines the authorization boundary for the system;"},{"id":"pl-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides an overview of the security requirements for the system;"},{"id":"pl-2_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Identifies any relevant overlays, if applicable;"},{"id":"pl-2_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and"},{"id":"pl-2_smt.a.9","name":"item","properties":[{"name":"label","value":"9."}],"prose":"Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};"},{"id":"pl-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the security plan for the information system {{ pl-2_prm_2 }};"},{"id":"pl-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and"},{"id":"pl-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Protects the security plan from unauthorized disclosure and modification."}]},{"id":"pl-2_gdn","name":"guidance","prose":"Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-7","rel":"related","text":"PL-7"},{"href":"#pm-1","rel":"related","text":"PM-1"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-11","rel":"related","text":"PM-11"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-17","rel":"related","text":"SA-17"}]},{"id":"pl-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-2.a_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)"}],"prose":"develops a security plan for the information system that:","parts":[{"id":"pl-2.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(1)"}],"prose":"is consistent with the organization’s enterprise architecture;"},{"id":"pl-2.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(2)"}],"prose":"explicitly defines the authorization boundary for the system;"},{"id":"pl-2.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(3)"}],"prose":"describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(4)"}],"prose":"provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(5)"}],"prose":"describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2.a.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(6)"}],"prose":"provides an overview of the security requirements for the system;"},{"id":"pl-2.a.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(7)"}],"prose":"identifies any relevant overlays, if applicable;"},{"id":"pl-2.a.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(8)"}],"prose":"describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;"},{"id":"pl-2.a.9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(a)(9)"}],"prose":"is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2.b_obj","name":"objective","properties":[{"name":"label","value":"PL-2(b)"}],"parts":[{"id":"pl-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(b)[1]"}],"prose":"defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;"},{"id":"pl-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(b)[2]"}],"prose":"distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;"}]},{"id":"pl-2.c_obj","name":"objective","properties":[{"name":"label","value":"PL-2(c)"}],"parts":[{"id":"pl-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(c)[1]"}],"prose":"defines the frequency to review the security plan for the information\n system;"},{"id":"pl-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(c)[2]"}],"prose":"reviews the security plan for the information system with the\n organization-defined frequency;"}]},{"id":"pl-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(d)"}],"prose":"updates the plan to address:","parts":[{"id":"pl-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(d)[1]"}],"prose":"changes to the information system/environment of operation;"},{"id":"pl-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(d)[2]"}],"prose":"problems identified during plan implementation;"},{"id":"pl-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"PL-2(d)[3]"}],"prose":"problems identified during security control assessments;"}]},{"id":"pl-2.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(e)"}],"prose":"protects the security plan from unauthorized:","parts":[{"id":"pl-2.e_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(e)[1]"}],"prose":"disclosure; and"},{"id":"pl-2.e_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(e)[2]"}],"prose":"modification."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan"}]}],"controls":[{"id":"pl-2.3","class":"SP800-53-enhancement","title":"Plan / Coordinate with Other Organizational Entities","parameters":[{"id":"pl-2.3_prm_1","label":"organization-defined individuals or groups"}],"properties":[{"name":"label","value":"PL-2(3)"},{"name":"sort-id","value":"pl-02.03"}],"parts":[{"id":"pl-2.3_smt","name":"statement","prose":"The organization plans and coordinates security-related activities affecting the\n information system with {{ pl-2.3_prm_1 }} before conducting such\n activities in order to reduce the impact on other organizational entities."},{"id":"pl-2.3_gdn","name":"guidance","prose":"Security-related activities include, for example, security assessments, audits,\n hardware and software maintenance, patch management, and contingency plan testing.\n Advance planning and coordination includes emergency and nonemergency (i.e.,\n planned or nonurgent unplanned) situations. The process defined by organizations\n to plan and coordinate security-related activities can be included in security\n plans for information systems or other documents, as appropriate.","links":[{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-4","rel":"related","text":"IR-4"}]},{"id":"pl-2.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(3)[1]"}],"prose":"defines individuals or groups with whom security-related activities affecting\n the information system are to be planned and coordinated before conducting such\n activities in order to reduce the impact on other organizational entities;\n and"},{"id":"pl-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-2(3)[2]"}],"prose":"plans and coordinates security-related activities affecting the information\n system with organization-defined individuals or groups before conducting such\n activities in order to reduce the impact on other organizational entities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\naccess control policy\\n\\ncontingency planning policy\\n\\nprocedures addressing security-related activity planning for the information\n system\\n\\nsecurity plan for the information system\\n\\ncontingency plan for the information system\\n\\ninformation system design documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational individuals or groups with whom security-related activities are\n to be planned and coordinated\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"pl-4","class":"SP800-53","title":"Rules of Behavior","parameters":[{"id":"pl-4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"annually"}]}],"properties":[{"name":"label","value":"PL-4"},{"name":"sort-id","value":"pl-04"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;"},{"id":"pl-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and"},{"id":"pl-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated."}]},{"id":"pl-4_gdn","name":"guidance","prose":"This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#mp-7","rel":"related","text":"MP-7"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#ps-8","rel":"related","text":"PS-8"},{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"pl-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-4.a_obj","name":"objective","properties":[{"name":"label","value":"PL-4(a)"}],"parts":[{"id":"pl-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-4(a)[1]"}],"prose":"establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;"},{"id":"pl-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(a)[2]"}],"prose":"makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;"}]},{"id":"pl-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(b)"}],"prose":"receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4.c_obj","name":"objective","properties":[{"name":"label","value":"PL-4(c)"}],"parts":[{"id":"pl-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-4(c)[1]"}],"prose":"defines the frequency to review and update the rules of behavior;"},{"id":"pl-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(c)[2]"}],"prose":"reviews and updates the rules of behavior with the organization-defined\n frequency; and"}]},{"id":"pl-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(d)"}],"prose":"requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior"}]}],"controls":[{"id":"pl-4.1","class":"SP800-53-enhancement","title":"Social Media and Networking Restrictions","properties":[{"name":"label","value":"PL-4(1)"},{"name":"sort-id","value":"pl-04.01"}],"parts":[{"id":"pl-4.1_smt","name":"statement","prose":"The organization includes in the rules of behavior, explicit restrictions on the\n use of social media/networking sites and posting organizational information on\n public websites."},{"id":"pl-4.1_gdn","name":"guidance","prose":"This control enhancement addresses rules of behavior related to the use of social\n media/networking sites: (i) when organizational personnel are using such sites for\n official duties or in the conduct of official business; (ii) when organizational\n information is involved in social media/networking transactions; and (iii) when\n personnel are accessing social media/networking sites from organizational\n information systems. Organizations also address specific rules that prevent\n unauthorized entities from obtaining and/or inferring non-public organizational\n information (e.g., system account information, personally identifiable\n information) from social media/networking sites."},{"id":"pl-4.1_obj","name":"objective","prose":"Determine if the organization includes the following in the rules of behavior: ","parts":[{"id":"pl-4.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(1)[1]"}],"prose":"explicit restrictions on the use of social media/networking sites; and"},{"id":"pl-4.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(1)[2]"}],"prose":"posting organizational information on public websites."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed rules of behavior\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for establishing rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment of rules\n of behavior"}]}]}]},{"id":"pl-8","class":"SP800-53","title":"Information Security Architecture","parameters":[{"id":"pl-8_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually or when a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-8"},{"name":"sort-id","value":"pl-08"}],"parts":[{"id":"pl-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops an information security architecture for the information system that:","parts":[{"id":"pl-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Describes the overall philosophy, requirements, and approach to be taken with\n regard to protecting the confidentiality, integrity, and availability of\n organizational information;"},{"id":"pl-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Describes how the information security architecture is integrated into and\n supports the enterprise architecture; and"},{"id":"pl-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Describes any information security assumptions about, and dependencies on,\n external services;"}]},{"id":"pl-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the information security architecture {{ pl-8_prm_1 }} to reflect updates in the enterprise architecture;\n and"},{"id":"pl-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that planned information security architecture changes are reflected in\n the security plan, the security Concept of Operations (CONOPS), and organizational\n procurements/acquisitions."},{"id":"pl-8_fr","name":"item","title":"PL-8(b) Additional FedRAMP Requirements and Guidance","parts":[{"id":"pl-8_fr_gdn.b","name":"guidance","properties":[{"name":"label","value":"(b) Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7."}]}]},{"id":"pl-8_gdn","name":"guidance","prose":"This control addresses actions taken by organizations in the design and development\n of information systems. The information security architecture at the individual\n information system level is consistent with and complements the more global,\n organization-wide information security architecture described in PM-7 that is\n integral to and developed as part of the enterprise architecture. The information\n security architecture includes an architectural description, the placement/allocation\n of security functionality (including security controls), security-related information\n for external interfaces, information being exchanged across the interfaces, and the\n protection mechanisms associated with each interface. In addition, the security\n architecture can include other important security-related information, for example,\n user roles and access privileges assigned to each role, unique security requirements,\n the types of information processed, stored, and transmitted by the information\n system, restoration priorities of information and information system services, and\n any other specific protection needs. In today’s modern architecture, it is becoming\n less common for organizations to control all information resources. There are going\n to be key dependencies on external information services and service providers.\n Describing such dependencies in the information security architecture is important to\n developing a comprehensive mission/business protection strategy. Establishing,\n developing, documenting, and maintaining under configuration control, a baseline\n configuration for organizational information systems is critical to implementing and\n maintaining an effective information security architecture. The development of the\n information security architecture is coordinated with the Senior Agency Official for\n Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to\n support privacy requirements are identified and effectively implemented. PL-8 is\n primarily directed at organizations (i.e., internally focused) to help ensure that\n organizations develop an information security architecture for the information\n system, and that the security architecture is integrated with or tightly coupled to\n the enterprise architecture through the organization-wide information security\n architecture. In contrast, SA-17 is primarily directed at external information\n technology product/system developers and integrators (although SA-17 could be used\n internally within organizations for in-house system development). SA-17, which is\n complementary to PL-8, is selected when organizations outsource the development of\n information systems or information system components to external entities, and there\n is a need to demonstrate/show consistency with the organization’s enterprise\n architecture and information security architecture.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-17","rel":"related","text":"SA-17"},{"href":"https://doi.org/10.6028/NIST.SP.800-53r4","rel":"related","text":"Appendix J"}]},{"id":"pl-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-8(a)"}],"prose":"develops an information security architecture for the information system that\n describes:","parts":[{"id":"pl-8.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-8(a)(1)"}],"prose":"the overall philosophy, requirements, and approach to be taken with regard to\n protecting the confidentiality, integrity, and availability of organizational\n information;"},{"id":"pl-8.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-8(a)(2)"}],"prose":"how the information security architecture is integrated into and supports the\n enterprise architecture;"},{"id":"pl-8.a.3_obj","name":"objective","properties":[{"name":"label","value":"PL-8(a)(3)"}],"prose":"any information security assumptions about, and dependencies on, external\n services;"}]},{"id":"pl-8.b_obj","name":"objective","properties":[{"name":"label","value":"PL-8(b)"}],"parts":[{"id":"pl-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-8(b)[1]"}],"prose":"defines the frequency to review and update the information security\n architecture;"},{"id":"pl-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-8(b)[2]"}],"prose":"reviews and updates the information security architecture with the\n organization-defined frequency to reflect updates in the enterprise\n architecture;"}]},{"id":"pl-8.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-8(c)"}],"prose":"ensures that planned information security architecture changes are reflected\n in:","parts":[{"id":"pl-8.c_obj.1","name":"objective","properties":[{"name":"label","value":"PL-8(c)[1]"}],"prose":"the security plan;"},{"id":"pl-8.c_obj.2","name":"objective","properties":[{"name":"label","value":"PL-8(c)[2]"}],"prose":"the security Concept of Operations (CONOPS); and"},{"id":"pl-8.c_obj.3","name":"objective","properties":[{"name":"label","value":"PL-8(c)[3]"}],"prose":"the organizational procurements/acquisitions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing information security architecture development\\n\\nprocedures addressing information security architecture reviews and updates\\n\\nenterprise architecture documentation\\n\\ninformation security architecture documentation\\n\\nsecurity plan for the information system\\n\\nsecurity CONOPS for the information system\\n\\nrecords of information security architecture reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security architecture development\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing, reviewing, and updating the information\n security architecture\\n\\nautomated mechanisms supporting and/or implementing the development, review, and\n update of the information security architecture"}]}]}]},{"id":"ps","class":"family","title":"Personnel Security","controls":[{"id":"ps-1","class":"SP800-53","title":"Personnel Security Policy and Procedures","parameters":[{"id":"ps-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ps-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-1"},{"name":"sort-id","value":"ps-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ps-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ps-1_prm_1 }}:","parts":[{"id":"ps-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ps-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and"}]},{"id":"ps-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ps-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Personnel security policy {{ ps-1_prm_2 }}; and"},{"id":"ps-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Personnel security procedures {{ ps-1_prm_3 }}."}]}]},{"id":"ps-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ps-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-1.a_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)"}],"parts":[{"id":"ps-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)"}],"parts":[{"id":"ps-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(1)[1]"}],"prose":"develops and documents an personnel security policy that addresses:","parts":[{"id":"ps-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ps-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ps-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ps-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ps-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ps-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ps-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ps-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the personnel security policy is to be\n disseminated;"},{"id":"ps-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-1(a)(1)[3]"}],"prose":"disseminates the personnel security policy to organization-defined personnel\n or roles;"}]},{"id":"ps-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)"}],"parts":[{"id":"ps-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;"},{"id":"ps-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ps-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ps-1.b_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)"}],"parts":[{"id":"ps-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(1)"}],"parts":[{"id":"ps-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n policy;"},{"id":"ps-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(1)[2]"}],"prose":"reviews and updates the current personnel security policy with the\n organization-defined frequency;"}]},{"id":"ps-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(2)"}],"parts":[{"id":"ps-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n procedures; and"},{"id":"ps-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(2)[2]"}],"prose":"reviews and updates the current personnel security procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ps-2","class":"SP800-53","title":"Position Risk Designation","parameters":[{"id":"ps-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"label","value":"PS-2"},{"name":"sort-id","value":"ps-02"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"}],"parts":[{"id":"ps-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a risk designation to all organizational positions;"},{"id":"ps-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes screening criteria for individuals filling those positions; and"},{"id":"ps-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates position risk designations {{ ps-2_prm_1 }}."}]},{"id":"ps-2_gdn","name":"guidance","prose":"Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"ps-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-2(a)"}],"prose":"assigns a risk designation to all organizational positions;"},{"id":"ps-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-2(b)"}],"prose":"establishes screening criteria for individuals filling those positions;"},{"id":"ps-2.c_obj","name":"objective","properties":[{"name":"label","value":"PS-2(c)"}],"parts":[{"id":"ps-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-2(c)[1]"}],"prose":"defines the frequency to review and update position risk designations; and"},{"id":"ps-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-2(c)[2]"}],"prose":"reviews and updates position risk designations with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria"}]}]},{"id":"ps-3","class":"SP800-53","title":"Personnel Screening","parameters":[{"id":"ps-3_prm_1","label":"organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening","constraints":[{"detail":"for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-3"},{"name":"sort-id","value":"ps-03"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"}],"parts":[{"id":"ps-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Screens individuals prior to authorizing access to the information system; and"},{"id":"ps-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Rescreens individuals according to {{ ps-3_prm_1 }}."}]},{"id":"ps-3_gdn","name":"guidance","prose":"Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"ps-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-3(a)"}],"prose":"screens individuals prior to authorizing access to the information system;"},{"id":"ps-3.b_obj","name":"objective","properties":[{"name":"label","value":"PS-3(b)"}],"parts":[{"id":"ps-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(b)[1]"}],"prose":"defines conditions requiring re-screening;"},{"id":"ps-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(b)[2]"}],"prose":"defines the frequency of re-screening where it is so indicated; and"},{"id":"ps-3.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(b)[3]"}],"prose":"re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel screening"}]}],"controls":[{"id":"ps-3.3","class":"SP800-53-enhancement","title":"Information with Special Protection Measures","parameters":[{"id":"ps-3.3_prm_1","label":"organization-defined additional personnel screening criteria","constraints":[{"detail":"personnel screening criteria - as required by specific information"}]}],"properties":[{"name":"label","value":"PS-3(3)"},{"name":"sort-id","value":"ps-03.03"}],"parts":[{"id":"ps-3.3_smt","name":"statement","prose":"The organization ensures that individuals accessing an information system\n processing, storing, or transmitting information requiring special protection:","parts":[{"id":"ps-3.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Have valid access authorizations that are demonstrated by assigned official\n government duties; and"},{"id":"ps-3.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Satisfy {{ ps-3.3_prm_1 }}."}]},{"id":"ps-3.3_gdn","name":"guidance","prose":"Organizational information requiring special protection includes, for example,\n Controlled Unclassified Information (CUI) and Sources and Methods Information\n (SAMI). Personnel security criteria include, for example, position sensitivity\n background screening requirements."},{"id":"ps-3.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ps-3.3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(3)(a)"}],"prose":"ensures that individuals accessing an information system processing, storing,\n or transmitting information requiring special protection have valid access\n authorizations that are demonstrated by assigned official government\n duties;","links":[{"href":"#ps-3.3_smt.a","rel":"corresp","text":"PS-3(3)(a)"}]},{"id":"ps-3.3.b_obj","name":"objective","properties":[{"name":"label","value":"PS-3(3)(b)"}],"parts":[{"id":"ps-3.3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(3)(b)[1]"}],"prose":"defines additional personnel screening criteria to be satisfied for\n individuals accessing an information system processing, storing, or\n transmitting information requiring special protection; and"},{"id":"ps-3.3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(3)(b)[2]"}],"prose":"ensures that individuals accessing an information system processing,\n storing, or transmitting information requiring special protection satisfy\n organization-defined additional personnel screening criteria."}],"links":[{"href":"#ps-3.3_smt.b","rel":"corresp","text":"PS-3(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\naccess control policy, procedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nscreening criteria\\n\\nrecords of access authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for ensuring valid access authorizations for\n information requiring special protection\\n\\norganizational process for additional personnel screening for information\n requiring special protection"}]}]}]},{"id":"ps-4","class":"SP800-53","title":"Personnel Termination","parameters":[{"id":"ps-4_prm_1","label":"organization-defined time period","constraints":[{"detail":"eight (8) hours"}]},{"id":"ps-4_prm_2","label":"organization-defined information security topics"},{"id":"ps-4_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-4_prm_4","label":"organization-defined time period"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-4"},{"name":"sort-id","value":"ps-04"}],"parts":[{"id":"ps-4_smt","name":"statement","prose":"The organization, upon termination of individual employment:","parts":[{"id":"ps-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Disables information system access within {{ ps-4_prm_1 }};"},{"id":"ps-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};"},{"id":"ps-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Retains access to organizational information and information systems formerly\n controlled by terminated individual; and"},{"id":"ps-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}."}]},{"id":"ps-4_gdn","name":"guidance","prose":"Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-4_obj","name":"objective","prose":"Determine if the organization, upon termination of individual employment,:","parts":[{"id":"ps-4.a_obj","name":"objective","properties":[{"name":"label","value":"PS-4(a)"}],"parts":[{"id":"ps-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(a)[1]"}],"prose":"defines a time period within which to disable information system access;"},{"id":"ps-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(a)[2]"}],"prose":"disables information system access within the organization-defined time\n period;"}]},{"id":"ps-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(b)"}],"prose":"terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4.c_obj","name":"objective","properties":[{"name":"label","value":"PS-4(c)"}],"parts":[{"id":"ps-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(c)[1]"}],"prose":"defines information security topics to be discussed when conducting exit\n interviews;"},{"id":"ps-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(c)[2]"}],"prose":"conducts exit interviews that include a discussion of organization-defined\n information security topics;"}]},{"id":"ps-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(d)"}],"prose":"retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(e)"}],"prose":"retains access to organizational information and information systems formerly\n controlled by the terminated individual;"},{"id":"ps-4.f_obj","name":"objective","properties":[{"name":"label","value":"PS-4(f)"}],"parts":[{"id":"ps-4.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(f)[1]"}],"prose":"defines personnel or roles to be notified of the termination;"},{"id":"ps-4.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(f)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles; and"},{"id":"ps-4.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(f)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}],"controls":[{"id":"ps-4.2","class":"SP800-53-enhancement","title":"Automated Notification","parameters":[{"id":"ps-4.2_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"access control personnel responsible for disabling access to the system"}]}],"properties":[{"name":"label","value":"PS-4(2)"},{"name":"sort-id","value":"ps-04.02"}],"parts":[{"id":"ps-4.2_smt","name":"statement","prose":"The organization employs automated mechanisms to notify {{ ps-4.2_prm_1 }} upon termination of an individual."},{"id":"ps-4.2_gdn","name":"guidance","prose":"In organizations with a large number of employees, not all personnel who need to\n know about termination actions receive the appropriate notifications—or, if such\n notifications are received, they may not occur in a timely manner. Automated\n mechanisms can be used to send automatic alerts or notifications to specific\n organizational personnel or roles (e.g., management personnel, supervisors,\n personnel security officers, information security officers, systems\n administrators, or information technology administrators) when individuals are\n terminated. Such automatic alerts or notifications can be conveyed in a variety of\n ways, including, for example, telephonically, via electronic mail, via text\n message, or via websites."},{"id":"ps-4.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ps-4.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(2)[1]"}],"prose":"defines personnel or roles to be notified upon termination of an individual;\n and"},{"id":"ps-4.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(2)[2]"}],"prose":"employs automated mechanisms to notify organization-defined personnel or roles\n upon termination of an individual."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of personnel termination actions\\n\\nautomated notifications of employee terminations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications"}]}]}]},{"id":"ps-5","class":"SP800-53","title":"Personnel Transfer","parameters":[{"id":"ps-5_prm_1","label":"organization-defined transfer or reassignment actions"},{"id":"ps-5_prm_2","label":"organization-defined time period following the formal transfer action","constraints":[{"detail":"twenty-four (24) hours"}]},{"id":"ps-5_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-5_prm_4","label":"organization-defined time period","constraints":[{"detail":"twenty-four (24) hours"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-5"},{"name":"sort-id","value":"ps-05"}],"parts":[{"id":"ps-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;"},{"id":"ps-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};"},{"id":"ps-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and"},{"id":"ps-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}."}]},{"id":"ps-5_gdn","name":"guidance","prose":"This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-4","rel":"related","text":"PS-4"}]},{"id":"ps-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-5.a_obj","name":"objective","properties":[{"name":"label","value":"PS-5(a)"}],"prose":"when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:","parts":[{"id":"ps-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-5(a)[1]"}],"prose":"logical access authorizations to information systems;"},{"id":"ps-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-5(a)[2]"}],"prose":"physical access authorizations to information systems and facilities;"}]},{"id":"ps-5.b_obj","name":"objective","properties":[{"name":"label","value":"PS-5(b)"}],"parts":[{"id":"ps-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(b)[1]"}],"prose":"defines transfer or reassignment actions to be initiated following transfer or\n reassignment;"},{"id":"ps-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(b)[2]"}],"prose":"defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;"},{"id":"ps-5.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(b)[3]"}],"prose":"initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;"}]},{"id":"ps-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(c)"}],"prose":"modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;"},{"id":"ps-5.d_obj","name":"objective","properties":[{"name":"label","value":"PS-5(d)"}],"parts":[{"id":"ps-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(d)[1]"}],"prose":"defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;"},{"id":"ps-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(d)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and"},{"id":"ps-5.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(d)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-6","class":"SP800-53","title":"Access Agreements","parameters":[{"id":"ps-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ps-6_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually and any time there is a change to the user's level of access"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-6"},{"name":"sort-id","value":"ps-06"}],"parts":[{"id":"ps-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the access agreements {{ ps-6_prm_1 }}; and"},{"id":"ps-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that individuals requiring access to organizational information and\n information systems:","parts":[{"id":"ps-6_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Sign appropriate access agreements prior to being granted access; and"},{"id":"ps-6_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}."}]}]},{"id":"ps-6_gdn","name":"guidance","prose":"Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-8","rel":"related","text":"PS-8"}]},{"id":"ps-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(a)"}],"prose":"develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6.b_obj","name":"objective","properties":[{"name":"label","value":"PS-6(b)"}],"parts":[{"id":"ps-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(b)[1]"}],"prose":"defines the frequency to review and update the access agreements;"},{"id":"ps-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(b)[2]"}],"prose":"reviews and updates the access agreements with the organization-defined\n frequency;"}]},{"id":"ps-6.c_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)"}],"parts":[{"id":"ps-6.c.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-6(c)(1)"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;"},{"id":"ps-6.c.2_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)(2)"}],"parts":[{"id":"ps-6.c.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(c)(2)[1]"}],"prose":"defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;"},{"id":"ps-6.c.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-6(c)(2)[2]"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements"}]}]},{"id":"ps-7","class":"SP800-53","title":"Third-party Personnel Security","parameters":[{"id":"ps-7_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-7_prm_2","label":"organization-defined time period","constraints":[{"detail":"terminations: immediately; transfers: within twenty-four (24) hours"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-7"},{"name":"sort-id","value":"ps-07"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"ps-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;"},{"id":"ps-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents personnel security requirements;"},{"id":"ps-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and"},{"id":"ps-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Monitors provider compliance."}]},{"id":"ps-7_gdn","name":"guidance","prose":"Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.","links":[{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sa-21","rel":"related","text":"SA-21"}]},{"id":"ps-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(a)"}],"prose":"establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;"},{"id":"ps-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-7(b)"}],"prose":"requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(c)"}],"prose":"documents personnel security requirements;"},{"id":"ps-7.d_obj","name":"objective","properties":[{"name":"label","value":"PS-7(d)"}],"parts":[{"id":"ps-7.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[1]"}],"prose":"defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[2]"}],"prose":"defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[3]"}],"prose":"requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and"}]},{"id":"ps-7.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-7(e)"}],"prose":"monitors provider compliance."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance"}]}]},{"id":"ps-8","class":"SP800-53","title":"Personnel Sanctions","parameters":[{"id":"ps-8_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"at a minimum, the ISSO and/or similar role within the organization"}]},{"id":"ps-8_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-8"},{"name":"sort-id","value":"ps-08"}],"parts":[{"id":"ps-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and"},{"id":"ps-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction."}]},{"id":"ps-8_gdn","name":"guidance","prose":"Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(a)"}],"prose":"employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;"},{"id":"ps-8.b_obj","name":"objective","properties":[{"name":"label","value":"PS-8(b)"}],"parts":[{"id":"ps-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(b)[1]"}],"prose":"defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;"},{"id":"ps-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(b)[2]"}],"prose":"defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and"},{"id":"ps-8.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-8(b)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications"}]}]}]},{"id":"ra","class":"family","title":"Risk Assessment","controls":[{"id":"ra-1","class":"SP800-53","title":"Risk Assessment Policy and Procedures","parameters":[{"id":"ra-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ra-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ra-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-1"},{"name":"sort-id","value":"ra-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ra-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ra-1_prm_1 }}:","parts":[{"id":"ra-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ra-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and"}]},{"id":"ra-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ra-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Risk assessment policy {{ ra-1_prm_2 }}; and"},{"id":"ra-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Risk assessment procedures {{ ra-1_prm_3 }}."}]}]},{"id":"ra-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-1.a_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)"}],"parts":[{"id":"ra-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)"}],"parts":[{"id":"ra-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(1)[1]"}],"prose":"develops and documents a risk assessment policy that addresses:","parts":[{"id":"ra-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ra-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ra-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ra-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ra-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ra-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ra-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ra-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the risk assessment policy is to be\n disseminated;"},{"id":"ra-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"RA-1(a)(1)[3]"}],"prose":"disseminates the risk assessment policy to organization-defined personnel or\n roles;"}]},{"id":"ra-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)"}],"parts":[{"id":"ra-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;"},{"id":"ra-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ra-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"RA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ra-1.b_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)"}],"parts":[{"id":"ra-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(1)"}],"parts":[{"id":"ra-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n policy;"},{"id":"ra-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(1)[2]"}],"prose":"reviews and updates the current risk assessment policy with the\n organization-defined frequency;"}]},{"id":"ra-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(2)"}],"parts":[{"id":"ra-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n procedures; and"},{"id":"ra-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(2)[2]"}],"prose":"reviews and updates the current risk assessment procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"risk assessment policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ra-2","class":"SP800-53","title":"Security Categorization","properties":[{"name":"label","value":"RA-2"},{"name":"sort-id","value":"ra-02"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"}],"parts":[{"id":"ra-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision."}]},{"id":"ra-2_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"ra-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-2(a)"}],"prose":"categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-2(b)"}],"prose":"documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-2(c)"}],"prose":"ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security categorization"}]}]},{"id":"ra-3","class":"SP800-53","title":"Risk Assessment","parameters":[{"id":"ra-3_prm_1"},{"id":"ra-3_prm_2","depends-on":"ra-3_prm_1","label":"organization-defined document","constraints":[{"detail":"security assessment report"}]},{"id":"ra-3_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]},{"id":"ra-3_prm_4","label":"organization-defined personnel or roles"},{"id":"ra-3_prm_5","label":"organization-defined frequency","constraints":[{"detail":"annually"}]}],"properties":[{"name":"label","value":"RA-3"},{"name":"sort-id","value":"ra-03"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ra-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;"},{"id":"ra-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents risk assessment results in {{ ra-3_prm_1 }};"},{"id":"ra-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews risk assessment results {{ ra-3_prm_3 }};"},{"id":"ra-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Disseminates risk assessment results to {{ ra-3_prm_4 }}; and"},{"id":"ra-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system."},{"id":"ra-3_fr","name":"item","title":"RA-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F"},{"id":"ra-3_fr_smt.d","name":"item","properties":[{"name":"label","value":"RA-3 (d) Requirement:"}],"prose":"Include all Authorizing Officials; for JAB authorizations to include FedRAMP."}]}]},{"id":"ra-3_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.","links":[{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-3.a_obj","name":"objective","properties":[{"name":"label","value":"RA-3(a)"}],"prose":"conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:","parts":[{"id":"ra-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(a)[1]"}],"prose":"the information system;"},{"id":"ra-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(a)[2]"}],"prose":"the information the system processes, stores, or transmits;"}]},{"id":"ra-3.b_obj","name":"objective","properties":[{"name":"label","value":"RA-3(b)"}],"parts":[{"id":"ra-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(b)[1]"}],"prose":"defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);"},{"id":"ra-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(b)[2]"}],"prose":"documents risk assessment results in one of the following:","parts":[{"id":"ra-3.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][a]"}],"prose":"the security plan;"},{"id":"ra-3.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][b]"}],"prose":"the risk assessment report; or"},{"id":"ra-3.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][c]"}],"prose":"the organization-defined document;"}]}]},{"id":"ra-3.c_obj","name":"objective","properties":[{"name":"label","value":"RA-3(c)"}],"parts":[{"id":"ra-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(c)[1]"}],"prose":"defines the frequency to review risk assessment results;"},{"id":"ra-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(c)[2]"}],"prose":"reviews risk assessment results with the organization-defined frequency;"}]},{"id":"ra-3.d_obj","name":"objective","properties":[{"name":"label","value":"RA-3(d)"}],"parts":[{"id":"ra-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(d)[1]"}],"prose":"defines personnel or roles to whom risk assessment results are to be\n disseminated;"},{"id":"ra-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(d)[2]"}],"prose":"disseminates risk assessment results to organization-defined personnel or\n roles;"}]},{"id":"ra-3.e_obj","name":"objective","properties":[{"name":"label","value":"RA-3(e)"}],"parts":[{"id":"ra-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(e)[1]"}],"prose":"defines the frequency to update the risk assessment;"},{"id":"ra-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(e)[2]"}],"prose":"updates the risk assessment:","parts":[{"id":"ra-3.e_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][a]"}],"prose":"with the organization-defined frequency;"},{"id":"ra-3.e_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][b]"}],"prose":"whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and"},{"id":"ra-3.e_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][c]"}],"prose":"whenever there are other conditions that may impact the security state of\n the system."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment"}]}]},{"id":"ra-5","class":"SP800-53","title":"Vulnerability Scanning","parameters":[{"id":"ra-5_prm_1","label":"organization-defined frequency and/or randomly in accordance with\n organization-defined process","constraints":[{"detail":"monthly operating system/infrastructure; monthly web applications and databases"}]},{"id":"ra-5_prm_2","label":"organization-defined response times","constraints":[{"detail":"high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery"}]},{"id":"ra-5_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5"},{"name":"sort-id","value":"ra-05"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#15522e92-9192-463d-9646-6a01982db8ca","rel":"reference","text":"http://cwe.mitre.org"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"}],"parts":[{"id":"ra-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;"},{"id":"ra-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Enumerating platforms, software flaws, and improper configurations;"},{"id":"ra-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Formatting checklists and test procedures; and"},{"id":"ra-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Measuring vulnerability impact;"}]},{"id":"ra-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Analyzes vulnerability scan reports and results from security control\n assessments;"},{"id":"ra-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and"},{"id":"ra-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."},{"id":"ra-5_fr_smt.a","name":"item","title":"RA-5(a) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (a)Requirement:"}],"prose":"An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually."},{"id":"ra-5_fr_smt.e","name":"item","title":"RA-5(e) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (e)Requirement:"}],"prose":"To include all Authorizing Officials; for JAB authorizations to include FedRAMP."},{"id":"ra-5_fr","name":"item","title":"RA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))"}]}]},{"id":"ra-5_gdn","name":"guidance","prose":"Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ra-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.a_obj","name":"objective","properties":[{"name":"label","value":"RA-5(a)"}],"parts":[{"id":"ra-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(a)[1]"}],"parts":[{"id":"ra-5.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][a]"}],"prose":"defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or"},{"id":"ra-5.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][b]"}],"prose":"defines the process for conducting random vulnerability scans on the\n information system and hosted applications;"}]},{"id":"ra-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(a)[2]"}],"prose":"in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:","parts":[{"id":"ra-5.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][b]"}],"prose":"hosted applications;"}]},{"id":"ra-5.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(a)[3]"}],"prose":"when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:","parts":[{"id":"ra-5.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][b]"}],"prose":"hosted applications;"}]}]},{"id":"ra-5.b_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)"}],"prose":"employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5.b.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(1)"}],"parts":[{"id":"ra-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[1]"}],"prose":"enumerating platforms;"},{"id":"ra-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[2]"}],"prose":"enumerating software flaws;"},{"id":"ra-5.b.1_obj.3","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[3]"}],"prose":"enumerating improper configurations;"}]},{"id":"ra-5.b.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(2)"}],"parts":[{"id":"ra-5.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[1]"}],"prose":"formatting checklists;"},{"id":"ra-5.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[2]"}],"prose":"formatting test procedures;"}]},{"id":"ra-5.b.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(3)"}],"prose":"measuring vulnerability impact;"}]},{"id":"ra-5.c_obj","name":"objective","properties":[{"name":"label","value":"RA-5(c)"}],"parts":[{"id":"ra-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(c)[1]"}],"prose":"analyzes vulnerability scan reports;"},{"id":"ra-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(c)[2]"}],"prose":"analyzes results from security control assessments;"}]},{"id":"ra-5.d_obj","name":"objective","properties":[{"name":"label","value":"RA-5(d)"}],"parts":[{"id":"ra-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(d)[1]"}],"prose":"defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;"},{"id":"ra-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(d)[2]"}],"prose":"remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;"}]},{"id":"ra-5.e_obj","name":"objective","properties":[{"name":"label","value":"RA-5(e)"}],"parts":[{"id":"ra-5.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(e)[1]"}],"prose":"defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;"},{"id":"ra-5.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(e)[2]"}],"prose":"shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and"},{"id":"ra-5.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(e)[3]"}],"prose":"shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing"}]}],"controls":[{"id":"ra-5.1","class":"SP800-53-enhancement","title":"Update Tool Capability","properties":[{"name":"label","value":"RA-5(1)"},{"name":"sort-id","value":"ra-05.01"}],"parts":[{"id":"ra-5.1_smt","name":"statement","prose":"The organization employs vulnerability scanning tools that include the capability\n to readily update the information system vulnerabilities to be scanned."},{"id":"ra-5.1_gdn","name":"guidance","prose":"The vulnerabilities to be scanned need to be readily updated as new\n vulnerabilities are discovered, announced, and scanning methods developed. This\n updating process helps to ensure that potential vulnerabilities in the information\n system are identified and addressed as quickly as possible.","links":[{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ra-5.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs vulnerability scanning tools that include\n the capability to readily update the information system vulnerabilities to be\n scanned."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.2","class":"SP800-53-enhancement","title":"Update by Frequency / Prior to New Scan / When Identified","parameters":[{"id":"ra-5.2_prm_1","constraints":[{"detail":"prior to a new scan"}]},{"id":"ra-5.2_prm_2","depends-on":"ra-5.2_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5(2)"},{"name":"sort-id","value":"ra-05.02"}],"parts":[{"id":"ra-5.2_smt","name":"statement","prose":"The organization updates the information system vulnerabilities scanned {{ ra-5.2_prm_1 }}."},{"id":"ra-5.2_gdn","name":"guidance","links":[{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-5","rel":"related","text":"SI-5"}]},{"id":"ra-5.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(2)[1]"}],"prose":"defines the frequency to update the information system vulnerabilities\n scanned;"},{"id":"ra-5.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(2)[2]"}],"prose":"updates the information system vulnerabilities scanned one or more of the\n following:","parts":[{"id":"ra-5.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-5(2)[2][a]"}],"prose":"with the organization-defined frequency;"},{"id":"ra-5.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-5(2)[2][b]"}],"prose":"prior to a new scan; and/or"},{"id":"ra-5.2_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-5(2)[2][c]"}],"prose":"when new vulnerabilities are identified and reported."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.3","class":"SP800-53-enhancement","title":"Breadth / Depth of Coverage","properties":[{"name":"label","value":"RA-5(3)"},{"name":"sort-id","value":"ra-05.03"}],"parts":[{"id":"ra-5.3_smt","name":"statement","prose":"The organization employs vulnerability scanning procedures that can identify the\n breadth and depth of coverage (i.e., information system components scanned and\n vulnerabilities checked)."},{"id":"ra-5.3_obj","name":"objective","prose":"Determine if the organization employs vulnerability scanning procedures that can\n identify:","parts":[{"id":"ra-5.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(3)[1]"}],"prose":"the breadth of coverage (i.e., information system components scanned); and"},{"id":"ra-5.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(3)[2]"}],"prose":"the depth of coverage (i.e., vulnerabilities checked)."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.4","class":"SP800-53-enhancement","title":"Discoverable Information","parameters":[{"id":"ra-5.4_prm_1","label":"organization-defined corrective actions","constraints":[{"detail":"notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions"}]}],"properties":[{"name":"label","value":"RA-5(4)"},{"name":"sort-id","value":"ra-05.04"}],"parts":[{"id":"ra-5.4_smt","name":"statement","prose":"The organization determines what information about the information system is\n discoverable by adversaries and subsequently takes {{ ra-5.4_prm_1 }}."},{"id":"ra-5.4_gdn","name":"guidance","prose":"Discoverable information includes information that adversaries could obtain\n without directly compromising or breaching the information system, for example, by\n collecting information the system is exposing or by conducting extensive searches\n of the web. Corrective actions can include, for example, notifying appropriate\n organizational personnel, removing designated information, or changing the\n information system to make designated information less relevant or attractive to\n adversaries.","links":[{"href":"#au-13","rel":"related","text":"AU-13"}]},{"id":"ra-5.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(4)[1]"}],"prose":"defines corrective actions to be taken if information about the information\n system is discoverable by adversaries;"},{"id":"ra-5.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(4)[2]"}],"prose":"determines what information about the information system is discoverable by\n adversaries; and"},{"id":"ra-5.4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(4)[3]"}],"prose":"subsequently takes organization-defined corrective actions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity assessment report\\n\\npenetration test results\\n\\nvulnerability scanning results\\n\\nrisk assessment report\\n\\nrecords of corrective actions taken\\n\\nincident response records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning and/or penetration testing\n responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel responsible for risk response\\n\\norganizational personnel responsible for incident management and response\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\norganizational processes for risk response\\n\\norganizational processes for incident management and response\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing risk response\\n\\nautomated mechanisms supporting and/or implementing incident management and\n response"}]}]},{"id":"ra-5.5","class":"SP800-53-enhancement","title":"Privileged Access","parameters":[{"id":"ra-5.5_prm_1","label":"organization-identified information system components","constraints":[{"detail":"operating systems / web applications / databases"}]},{"id":"ra-5.5_prm_2","label":"organization-defined vulnerability scanning activities","constraints":[{"detail":"all scans"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5(5)"},{"name":"sort-id","value":"ra-05.05"}],"parts":[{"id":"ra-5.5_smt","name":"statement","prose":"The information system implements privileged access authorization to {{ ra-5.5_prm_1 }} for selected {{ ra-5.5_prm_2 }}."},{"id":"ra-5.5_gdn","name":"guidance","prose":"In certain situations, the nature of the vulnerability scanning may be more\n intrusive or the information system component that is the subject of the scanning\n may contain highly sensitive information. Privileged access authorization to\n selected system components facilitates more thorough vulnerability scanning and\n also protects the sensitive nature of such scanning."},{"id":"ra-5.5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ra-5.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(5)[1]"}],"prose":"the organization defines information system components to which privileged\n access is authorized for selected vulnerability scanning activities;"},{"id":"ra-5.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(5)[2]"}],"prose":"the organization defines vulnerability scanning activities selected for\n privileged access authorization to organization-defined information system\n components; and"},{"id":"ra-5.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(5)[3]"}],"prose":"the information system implements privileged access authorization to\n organization-defined information system components for selected\n organization-defined vulnerability scanning activities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components for vulnerability scanning\\n\\npersonnel access authorization list\\n\\nauthorization credentials\\n\\naccess authorization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel responsible for access control to the information\n system\\n\\norganizational personnel responsible for configuration management of the\n information system\\n\\nsystem developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\norganizational processes for access control\\n\\nautomated mechanisms supporting and/or implementing access control\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.6","class":"SP800-53-enhancement","title":"Automated Trend Analyses","properties":[{"name":"label","value":"RA-5(6)"},{"name":"sort-id","value":"ra-05.06"}],"parts":[{"id":"ra-5.6_smt","name":"statement","prose":"The organization employs automated mechanisms to compare the results of\n vulnerability scans over time to determine trends in information system\n vulnerabilities.","parts":[{"id":"ra-5.6_fr","name":"item","title":"RA-5 (6) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5.6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include in Continuous Monitoring ISSO digest/report to JAB/AO"}]}]},{"id":"ra-5.6_gdn","name":"guidance","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ra-5.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to compare the results\n of vulnerability scans over time to determine trends in information system\n vulnerabilities."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\ninformation system design documentation\\n\\nvulnerability scanning tools and techniques documentation\\n\\nvulnerability scanning results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing trend analysis of\n vulnerability scan results"}]}]},{"id":"ra-5.8","class":"SP800-53-enhancement","title":"Review Historic Audit Logs","properties":[{"name":"label","value":"RA-5(8)"},{"name":"sort-id","value":"ra-05.08"}],"parts":[{"id":"ra-5.8_smt","name":"statement","prose":"The organization reviews historic audit logs to determine if a vulnerability\n identified in the information system has been previously exploited.","parts":[{"id":"ra-5.8_fr","name":"item","title":"RA-5 (8) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5.8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"This enhancement is required for all high vulnerability scan findings."},{"id":"ra-5.8_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability."}]}]},{"id":"ra-5.8_gdn","name":"guidance","links":[{"href":"#au-6","rel":"related","text":"AU-6"}]},{"id":"ra-5.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization reviews historic audit logs to determine if a\n vulnerability identified in the information system has been previously exploited.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\naudit logs\\n\\nrecords of audit log reviews\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with audit record review responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\norganizational process for audit record review and response\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing audit record review"}]}]},{"id":"ra-5.10","class":"SP800-53-enhancement","title":"Correlate Scanning Information","properties":[{"name":"label","value":"RA-5(10)"},{"name":"sort-id","value":"ra-05.10"}],"parts":[{"id":"ra-5.10_smt","name":"statement","prose":"The organization correlates the output from vulnerability scanning tools to\n determine the presence of multi-vulnerability/multi-hop attack vectors.","parts":[{"id":"ra-5.10_fr","name":"item","title":"RA-5 (10) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5.10_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"If multiple tools are not used, this control is not applicable."}]}]},{"id":"ra-5.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization correlates the output from vulnerability scanning\n tools to determine the presence of multi-vulnerability/multi-hop attack vectors.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nvulnerability scanning tools and techniques documentation\\n\\nvulnerability scanning results\\n\\nvulnerability management records\\n\\naudit records\\n\\nevent/vulnerability correlation logs\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms implementing correlation of vulnerability scan results"}]}]}]}]},{"id":"sa","class":"family","title":"System and Services Acquisition","controls":[{"id":"sa-1","class":"SP800-53","title":"System and Services Acquisition Policy and Procedures","parameters":[{"id":"sa-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sa-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"sa-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SA-1"},{"name":"sort-id","value":"sa-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sa-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sa-1_prm_1 }}:","parts":[{"id":"sa-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"sa-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and"}]},{"id":"sa-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sa-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and services acquisition policy {{ sa-1_prm_2 }}; and"},{"id":"sa-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and services acquisition procedures {{ sa-1_prm_3 }}."}]}]},{"id":"sa-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sa-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-1.a_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)"}],"parts":[{"id":"sa-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)"}],"parts":[{"id":"sa-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(1)[1]"}],"prose":"develops and documents a system and services acquisition policy that\n addresses:","parts":[{"id":"sa-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sa-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sa-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sa-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sa-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sa-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sa-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sa-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;"},{"id":"sa-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-1(a)(1)[3]"}],"prose":"disseminates the system and services acquisition policy to\n organization-defined personnel or roles;"}]},{"id":"sa-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)"}],"parts":[{"id":"sa-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;"},{"id":"sa-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sa-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sa-1.b_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)"}],"parts":[{"id":"sa-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(1)"}],"parts":[{"id":"sa-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition policy;"},{"id":"sa-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(1)[2]"}],"prose":"reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;"}]},{"id":"sa-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(2)"}],"parts":[{"id":"sa-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition procedures; and"},{"id":"sa-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(2)[2]"}],"prose":"reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sa-2","class":"SP800-53","title":"Allocation of Resources","properties":[{"name":"label","value":"SA-2"},{"name":"sort-id","value":"sa-02"}],"links":[{"href":"#29fcfe59-33cd-494a-8756-5907ae3a8f92","rel":"reference","text":"NIST Special Publication 800-65"}],"parts":[{"id":"sa-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and"},{"id":"sa-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"id":"sa-2_gdn","name":"guidance","prose":"Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.","links":[{"href":"#pm-3","rel":"related","text":"PM-3"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"sa-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-2(a)"}],"prose":"determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-2(b)"}],"prose":"to protect the information system or information system service as part of its\n capital planning and investment control process:","parts":[{"id":"sa-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"SA-2(b)[1]"}],"prose":"determines the resources required;"},{"id":"sa-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"SA-2(b)[2]"}],"prose":"documents the resources required;"},{"id":"sa-2.b_obj.3","name":"objective","properties":[{"name":"label","value":"SA-2(b)[3]"}],"prose":"allocates the resources required; and"}]},{"id":"sa-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-2(c)"}],"prose":"establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting"}]}]},{"id":"sa-3","class":"SP800-53","title":"System Development Life Cycle","parameters":[{"id":"sa-3_prm_1","label":"organization-defined system development life cycle"}],"properties":[{"name":"label","value":"SA-3"},{"name":"sort-id","value":"sa-03"}],"links":[{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"}],"parts":[{"id":"sa-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;"},{"id":"sa-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"id":"sa-3_gdn","name":"guidance","prose":"A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-8","rel":"related","text":"SA-8"}]},{"id":"sa-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-3.a_obj","name":"objective","properties":[{"name":"label","value":"SA-3(a)"}],"parts":[{"id":"sa-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(a)[1]"}],"prose":"defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;"},{"id":"sa-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-3(a)[2]"}],"prose":"manages the information system using the organization-defined system\n development life cycle;"}]},{"id":"sa-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(b)"}],"prose":"defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(c)"}],"prose":"identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-3(d)"}],"prose":"integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC"}]}]},{"id":"sa-4","class":"SP800-53","title":"Acquisition Process","properties":[{"name":"label","value":"SA-4"},{"name":"sort-id","value":"sa-04"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#1737a687-52fb-4008-b900-cbfa836f7b65","rel":"reference","text":"ISO/IEC 15408"},{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#0a5db899-f033-467f-8631-f5a8ba971475","rel":"reference","text":"NIST Special Publication 800-23"},{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"},{"href":"#d818efd3-db31-4953-8afa-9e76afe83ce2","rel":"reference","text":"NIST Special Publication 800-36"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#56d671da-6b7b-4abf-8296-84b61980390a","rel":"reference","text":"Federal Acquisition Regulation"},{"href":"#c95a9986-3cd6-4a98-931b-ccfc56cb11e5","rel":"reference","text":"http://www.niap-ccevs.org"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"},{"href":"#bbd50dd1-54ce-4432-959d-63ea564b1bb4","rel":"reference","text":"http://www.acquisition.gov/far"}],"parts":[{"id":"sa-4_smt","name":"statement","prose":"The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:","parts":[{"id":"sa-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Security functional requirements;"},{"id":"sa-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Security strength requirements;"},{"id":"sa-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Security assurance requirements;"},{"id":"sa-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Security-related documentation requirements;"},{"id":"sa-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requirements for protecting security-related documentation;"},{"id":"sa-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Description of the information system development environment and environment in\n which the system is intended to operate; and"},{"id":"sa-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Acceptance criteria."},{"id":"sa-4_fr","name":"item","title":"SA-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html)."}]}]},{"id":"sa-4_gdn","name":"guidance","prose":"Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"sa-4_obj","name":"objective","prose":"Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:","parts":[{"id":"sa-4.a_obj","name":"objective","properties":[{"name":"label","value":"SA-4(a)"}],"prose":"security functional requirements;"},{"id":"sa-4.b_obj","name":"objective","properties":[{"name":"label","value":"SA-4(b)"}],"prose":"security strength requirements;"},{"id":"sa-4.c_obj","name":"objective","properties":[{"name":"label","value":"SA-4(c)"}],"prose":"security assurance requirements;"},{"id":"sa-4.d_obj","name":"objective","properties":[{"name":"label","value":"SA-4(d)"}],"prose":"security-related documentation requirements;"},{"id":"sa-4.e_obj","name":"objective","properties":[{"name":"label","value":"SA-4(e)"}],"prose":"requirements for protecting security-related documentation;"},{"id":"sa-4.f_obj","name":"objective","properties":[{"name":"label","value":"SA-4(f)"}],"prose":"description of:","parts":[{"id":"sa-4.f_obj.1","name":"objective","properties":[{"name":"label","value":"SA-4(f)[1]"}],"prose":"the information system development environment;"},{"id":"sa-4.f_obj.2","name":"objective","properties":[{"name":"label","value":"SA-4(f)[2]"}],"prose":"the environment in which the system is intended to operate; and"}]},{"id":"sa-4.g_obj","name":"objective","properties":[{"name":"label","value":"SA-4(g)"}],"prose":"acceptance criteria."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts"}]}],"controls":[{"id":"sa-4.1","class":"SP800-53-enhancement","title":"Functional Properties of Security Controls","properties":[{"name":"label","value":"SA-4(1)"},{"name":"sort-id","value":"sa-04.01"}],"parts":[{"id":"sa-4.1_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to provide a description of the\n functional properties of the security controls to be employed."},{"id":"sa-4.1_gdn","name":"guidance","prose":"Functional properties of security controls describe the functionality (i.e.,\n security capability, functions, or mechanisms) visible at the interfaces of the\n controls and specifically exclude functionality and data structures internal to\n the operation of the controls.","links":[{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"sa-4.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to provide a description of the\n functional properties of the security controls to be employed."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information system security\n functional, requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion\n of security requirements in contracts"}]}]},{"id":"sa-4.2","class":"SP800-53-enhancement","title":"Design / Implementation Information for Security Controls","parameters":[{"id":"sa-4.2_prm_1","constraints":[{"detail":"at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]"}]},{"id":"sa-4.2_prm_2","depends-on":"sa-4.2_prm_1","label":"organization-defined design/implementation information"},{"id":"sa-4.2_prm_3","label":"organization-defined level of detail"}],"properties":[{"name":"label","value":"SA-4(2)"},{"name":"sort-id","value":"sa-04.02"}],"parts":[{"id":"sa-4.2_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to provide design and implementation\n information for the security controls to be employed that includes: {{ sa-4.2_prm_1 }} at {{ sa-4.2_prm_3 }}."},{"id":"sa-4.2_gdn","name":"guidance","prose":"Organizations may require different levels of detail in design and implementation\n documentation for security controls employed in organizational information\n systems, system components, or information system services based on\n mission/business requirements, requirements for trustworthiness/resiliency, and\n requirements for analysis and testing. Information systems can be partitioned into\n multiple subsystems. Each subsystem within the system can contain one or more\n modules. The high-level design for the system is expressed in terms of multiple\n subsystems and the interfaces between subsystems providing security-relevant\n functionality. The low-level design for the system is expressed in terms of\n modules with particular emphasis on software and firmware (but not excluding\n hardware) and the interfaces between modules providing security-relevant\n functionality. Source code and hardware schematics are typically referred to as\n the implementation representation of the information system.","links":[{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"sa-4.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-4.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-4(2)[1]"}],"prose":"defines level of detail that the developer is required to provide in design and\n implementation information for the security controls to be employed in the\n information system, system component, or information system service;"},{"id":"sa-4.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-4(2)[2]"}],"prose":"defines design/implementation information that the developer is to provide for\n the security controls to be employed (if selected);"},{"id":"sa-4.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-4(2)[3]"}],"prose":"requires the developer of the information system, system component, or\n information system service to provide design and implementation information for\n the security controls to be employed that includes, at the organization-defined\n level of detail, one or more of the following:","parts":[{"id":"sa-4.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][a]"}],"prose":"security-relevant external system interfaces;"},{"id":"sa-4.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][b]"}],"prose":"high-level design;"},{"id":"sa-4.2_obj.3.c","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][c]"}],"prose":"low-level design;"},{"id":"sa-4.2_obj.3.d","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][d]"}],"prose":"source code;"},{"id":"sa-4.2_obj.3.e","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][e]"}],"prose":"hardware schematics; and/or"},{"id":"sa-4.2_obj.3.f","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][f]"}],"prose":"organization-defined design/implementation information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system components, or\n information system services\\n\\ndesign and implementation information for security controls employed in the\n information system, system component, or information system service\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining level of detail for system design and\n security controls\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing development of system\n design details"}]}]},{"id":"sa-4.8","class":"SP800-53-enhancement","title":"Continuous Monitoring Plan","parameters":[{"id":"sa-4.8_prm_1","label":"organization-defined level of detail","constraints":[{"detail":"at least the minimum requirement as defined in control CA-7"}]}],"properties":[{"name":"label","value":"SA-4(8)"},{"name":"sort-id","value":"sa-04.08"}],"parts":[{"id":"sa-4.8_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to produce a plan for the continuous\n monitoring of security control effectiveness that contains {{ sa-4.8_prm_1 }}.","parts":[{"id":"sa-4.8_fr","name":"item","title":"SA-4 (8) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-4.8_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSP must use the same security standards regardless of where the system component or information system service is acquired."}]}]},{"id":"sa-4.8_gdn","name":"guidance","prose":"The objective of continuous monitoring plans is to determine if the complete set\n of planned, required, and deployed security controls within the information\n system, system component, or information system service continue to be effective\n over time based on the inevitable changes that occur. Developer continuous\n monitoring plans include a sufficient level of detail such that the information\n can be incorporated into the continuous monitoring strategies and programs\n implemented by organizations.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"}]},{"id":"sa-4.8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-4.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-4(8)[1]"}],"prose":"defines the level of detail the developer of the information system, system\n component, or information system service is required to provide when producing\n a plan for the continuous monitoring of security control effectiveness; and"},{"id":"sa-4.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-4(8)[2]"}],"prose":"requires the developer of the information system, system component, or\n information system service to produce a plan for the continuous monitoring of\n security control effectiveness that contains the organization-defined level of\n detail."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing developer continuous monitoring plans\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ndeveloper continuous monitoring plans\\n\\nsecurity assessment plans\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Vendor processes for continuous monitoring\\n\\nautomated mechanisms supporting and/or implementing developer continuous\n monitoring"}]}]},{"id":"sa-4.9","class":"SP800-53-enhancement","title":"Functions / Ports / Protocols / Services in Use","properties":[{"name":"label","value":"SA-4(9)"},{"name":"sort-id","value":"sa-04.09"}],"parts":[{"id":"sa-4.9_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to identify early in the system\n development life cycle, the functions, ports, protocols, and services intended for\n organizational use."},{"id":"sa-4.9_gdn","name":"guidance","prose":"The identification of functions, ports, protocols, and services early in the\n system development life cycle (e.g., during the initial requirements definition\n and design phases) allows organizations to influence the design of the information\n system, information system component, or information system service. This early\n involvement in the life cycle helps organizations to avoid or minimize the use of\n functions, ports, protocols, or services that pose unnecessarily high risks and\n understand the trade-offs involved in blocking specific ports, protocols, or\n services (or when requiring information system service providers to do so). Early\n identification of functions, ports, protocols, and services avoids costly\n retrofitting of security controls after the information system, system component,\n or information system service has been implemented. SA-9 describes requirements\n for external information system services with organizations identifying which\n functions, ports, protocols, and services are provided from external sources.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"sa-4.9_obj","name":"objective","prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to identify early in the system\n development life cycle:","parts":[{"id":"sa-4.9_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-4(9)[1]"}],"prose":"the functions intended for organizational use;"},{"id":"sa-4.9_obj.2","name":"objective","properties":[{"name":"label","value":"SA-4(9)[2]"}],"prose":"the ports intended for organizational use;"},{"id":"sa-4.9_obj.3","name":"objective","properties":[{"name":"label","value":"SA-4(9)[3]"}],"prose":"the protocols intended for organizational use; and"},{"id":"sa-4.9_obj.4","name":"objective","properties":[{"name":"label","value":"SA-4(9)[4]"}],"prose":"the services intended for organizational use."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ninformation system design documentation\\n\\ninformation system documentation including functions, ports, protocols, and\n services intended for organizational use\\n\\nacquisition contracts for information systems or services\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\norganizational security requirements, descriptions, and criteria for developers\n of information systems, system components, and information system services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sa-4.10","class":"SP800-53-enhancement","title":"Use of Approved PIV Products","properties":[{"name":"label","value":"SA-4(10)"},{"name":"sort-id","value":"sa-04.10"}],"parts":[{"id":"sa-4.10_smt","name":"statement","prose":"The organization employs only information technology products on the FIPS\n 201-approved products list for Personal Identity Verification (PIV) capability\n implemented within organizational information systems."},{"id":"sa-4.10_gdn","name":"guidance","links":[{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"sa-4.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs only information technology products on the\n FIPS 201-approved products list for Personal Identity Verification (PIV)\n capability implemented within organizational information systems. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with responsibility for ensuring only FIPS\n 201-approved products are implemented\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for selecting and employing FIPS 201-approved\n products"}]}]}]},{"id":"sa-5","class":"SP800-53","title":"Information System Documentation","parameters":[{"id":"sa-5_prm_1","label":"organization-defined actions"},{"id":"sa-5_prm_2","label":"organization-defined personnel or roles","constraints":[{"detail":"at a minimum, the ISSO (or similar role within the organization)"}]}],"properties":[{"name":"label","value":"SA-5"},{"name":"sort-id","value":"sa-05"}],"parts":[{"id":"sa-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Secure configuration, installation, and operation of the system, component, or\n service;"},{"id":"sa-5_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Effective use and maintenance of security functions/mechanisms; and"},{"id":"sa-5_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;"},{"id":"sa-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and"},{"id":"sa-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"User responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;"},{"id":"sa-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects documentation as required, in accordance with the risk management\n strategy; and"},{"id":"sa-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Distributes documentation to {{ sa-5_prm_2 }}."}]},{"id":"sa-5_gdn","name":"guidance","prose":"This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"sa-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(a)"}],"prose":"obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)"}],"parts":[{"id":"sa-5.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[1]"}],"prose":"secure configuration of the system, system component, or service;"},{"id":"sa-5.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[2]"}],"prose":"secure installation of the system, system component, or service;"},{"id":"sa-5.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[3]"}],"prose":"secure operation of the system, system component, or service;"}]},{"id":"sa-5.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)"}],"parts":[{"id":"sa-5.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[1]"}],"prose":"effective use of the security features/mechanisms;"},{"id":"sa-5.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[2]"}],"prose":"effective maintenance of the security features/mechanisms;"}]},{"id":"sa-5.a.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(3)"}],"prose":"known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(b)"}],"prose":"obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)"}],"parts":[{"id":"sa-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[1]"}],"prose":"user-accessible security functions/mechanisms;"},{"id":"sa-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[2]"}],"prose":"how to effectively use those functions/mechanisms;"}]},{"id":"sa-5.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(2)"}],"prose":"methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;"},{"id":"sa-5.b.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(3)"}],"prose":"user responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5.c_obj","name":"objective","properties":[{"name":"label","value":"SA-5(c)"}],"parts":[{"id":"sa-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(c)[1]"}],"prose":"defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;"},{"id":"sa-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(c)[2]"}],"prose":"documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;"},{"id":"sa-5.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(c)[3]"}],"prose":"takes organization-defined actions in response;"}]},{"id":"sa-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(d)"}],"prose":"protects documentation as required, in accordance with the risk management\n strategy;"},{"id":"sa-5.e_obj","name":"objective","properties":[{"name":"label","value":"SA-5(e)"}],"parts":[{"id":"sa-5.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(e)[1]"}],"prose":"defines personnel or roles to whom documentation is to be distributed; and"},{"id":"sa-5.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(e)[2]"}],"prose":"distributes documentation to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation"}]}]},{"id":"sa-8","class":"SP800-53","title":"Security Engineering Principles","properties":[{"name":"label","value":"SA-8"},{"name":"sort-id","value":"sa-08"}],"links":[{"href":"#21b1ed35-56d2-40a8-bdfe-b461fffe322f","rel":"reference","text":"NIST Special Publication 800-27"}],"parts":[{"id":"sa-8_smt","name":"statement","prose":"The organization applies information system security engineering principles in the\n specification, design, development, implementation, and modification of the\n information system."},{"id":"sa-8_gdn","name":"guidance","prose":"Organizations apply security engineering principles primarily to new development\n information systems or systems undergoing major upgrades. For legacy systems,\n organizations apply security engineering principles to system upgrades and\n modifications to the extent feasible, given the current state of hardware, software,\n and firmware within those systems. Security engineering principles include, for\n example: (i) developing layered protections; (ii) establishing sound security policy,\n architecture, and controls as the foundation for design; (iii) incorporating security\n requirements into the system development life cycle; (iv) delineating physical and\n logical security boundaries; (v) ensuring that system developers are trained on how\n to build secure software; (vi) tailoring security controls to meet organizational and\n operational needs; (vii) performing threat modeling to identify use cases, threat\n agents, attack vectors, and attack patterns as well as compensating controls and\n design patterns needed to mitigate risk; and (viii) reducing risk to acceptable\n levels, thus enabling informed risk management decisions.","links":[{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-17","rel":"related","text":"SA-17"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sa-8_obj","name":"objective","prose":"Determine if the organization applies information system security engineering\n principles in: ","parts":[{"id":"sa-8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-8[1]"}],"prose":"the specification of the information system;"},{"id":"sa-8_obj.2","name":"objective","properties":[{"name":"label","value":"SA-8[2]"}],"prose":"the design of the information system;"},{"id":"sa-8_obj.3","name":"objective","properties":[{"name":"label","value":"SA-8[3]"}],"prose":"the development of the information system;"},{"id":"sa-8_obj.4","name":"objective","properties":[{"name":"label","value":"SA-8[4]"}],"prose":"the implementation of the information system; and"},{"id":"sa-8_obj.5","name":"objective","properties":[{"name":"label","value":"SA-8[5]"}],"prose":"the modification of the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing security engineering principles used in the specification,\n design, development, implementation, and modification of the information\n system\\n\\ninformation system design documentation\\n\\ninformation security requirements and specifications for the information\n system\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with information system specification, design,\n development, implementation, and modification responsibilities\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for applying security engineering principles in\n information system specification, design, development, implementation, and\n modification\\n\\nautomated mechanisms supporting the application of security engineering principles\n in information system specification, design, development, implementation, and\n modification"}]}]},{"id":"sa-9","class":"SP800-53","title":"External Information System Services","parameters":[{"id":"sa-9_prm_1","label":"organization-defined security controls","constraints":[{"detail":"FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system"}]},{"id":"sa-9_prm_2","label":"organization-defined processes, methods, and techniques","constraints":[{"detail":"Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9"},{"name":"sort-id","value":"sa-09"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"sa-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;"},{"id":"sa-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and"},{"id":"sa-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis."}]},{"id":"sa-9_gdn","name":"guidance","prose":"External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.","links":[{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ir-7","rel":"related","text":"IR-7"},{"href":"#ps-7","rel":"related","text":"PS-7"}]},{"id":"sa-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.a_obj","name":"objective","properties":[{"name":"label","value":"SA-9(a)"}],"parts":[{"id":"sa-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[1]"}],"prose":"defines security controls to be employed by providers of external information\n system services;"},{"id":"sa-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[2]"}],"prose":"requires that providers of external information system services comply with\n organizational information security requirements;"},{"id":"sa-9.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[3]"}],"prose":"requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"}]},{"id":"sa-9.b_obj","name":"objective","properties":[{"name":"label","value":"SA-9(b)"}],"parts":[{"id":"sa-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(b)[1]"}],"prose":"defines and documents government oversight with regard to external information\n system services;"},{"id":"sa-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(b)[2]"}],"prose":"defines and documents user roles and responsibilities with regard to external\n information system services;"}]},{"id":"sa-9.c_obj","name":"objective","properties":[{"name":"label","value":"SA-9(c)"}],"parts":[{"id":"sa-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(c)[1]"}],"prose":"defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and"},{"id":"sa-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(c)[2]"}],"prose":"employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis"}]}],"controls":[{"id":"sa-9.1","class":"SP800-53-enhancement","title":"Risk Assessments / Organizational Approvals","parameters":[{"id":"sa-9.1_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SA-9(1)"},{"name":"sort-id","value":"sa-09.01"}],"parts":[{"id":"sa-9.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-9.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services; and"},{"id":"sa-9.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Ensures that the acquisition or outsourcing of dedicated information security\n services is approved by {{ sa-9.1_prm_1 }}."}]},{"id":"sa-9.1_gdn","name":"guidance","prose":"Dedicated information security services include, for example, incident monitoring,\n analysis and response, operation of information security-related devices such as\n firewalls, or key management services.","links":[{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"sa-9.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.1.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(1)(a)"}],"prose":"conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services;","links":[{"href":"#sa-9.1_smt.a","rel":"corresp","text":"SA-9(1)(a)"}]},{"id":"sa-9.1.b_obj","name":"objective","properties":[{"name":"label","value":"SA-9(1)(b)"}],"parts":[{"id":"sa-9.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(1)(b)[1]"}],"prose":"defines personnel or roles designated to approve the acquisition or\n outsourcing of dedicated information security services; and"},{"id":"sa-9.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(1)(b)[2]"}],"prose":"ensures that the acquisition or outsourcing of dedicated information\n security services is approved by organization-defined personnel or\n roles."}],"links":[{"href":"#sa-9.1_smt.b","rel":"corresp","text":"SA-9(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nrisk assessment reports\\n\\napproval records for acquisition or outsourcing of dedicated information\n security services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information system security responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting a risk assessment prior to acquiring or\n outsourcing dedicated information security services\\n\\norganizational processes for approving the outsourcing of dedicated information\n security services\\n\\nautomated mechanisms supporting and/or implementing risk assessment\\n\\nautomated mechanisms supporting and/or implementing approval processes"}]}]},{"id":"sa-9.2","class":"SP800-53-enhancement","title":"Identification of Functions / Ports / Protocols / Services","parameters":[{"id":"sa-9.2_prm_1","label":"organization-defined external information system services","constraints":[{"detail":"all external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9(2)"},{"name":"sort-id","value":"sa-09.02"}],"parts":[{"id":"sa-9.2_smt","name":"statement","prose":"The organization requires providers of {{ sa-9.2_prm_1 }} to\n identify the functions, ports, protocols, and other services required for the use\n of such services."},{"id":"sa-9.2_gdn","name":"guidance","prose":"Information from external service providers regarding the specific functions,\n ports, protocols, and services used in the provision of such services can be\n particularly useful when the need arises to understand the trade-offs involved in\n restricting certain functions/services or blocking certain ports/protocols.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"}]},{"id":"sa-9.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(2)[1]"}],"prose":"defines external information system services for which providers of such\n services are to identify the functions, ports, protocols, and other services\n required for the use of such services;"},{"id":"sa-9.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-9(2)[2]"}],"prose":"requires providers of organization-defined external information system services\n to identify:","parts":[{"id":"sa-9.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][a]"}],"prose":"the functions required for the use of such services;"},{"id":"sa-9.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][b]"}],"prose":"the ports required for the use of such services;"},{"id":"sa-9.2_obj.2.c","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][c]"}],"prose":"the protocols required for the use of such services; and"},{"id":"sa-9.2_obj.2.d","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][d]"}],"prose":"the other services required for the use of such services."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation, service-level agreements\\n\\norganizational security requirements and security specifications for external\n service providers\\n\\nlist of required functions, ports, protocols, and other services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nexternal providers of information system services"}]}]},{"id":"sa-9.4","class":"SP800-53-enhancement","title":"Consistent Interests of Consumers and Providers","parameters":[{"id":"sa-9.4_prm_1","label":"organization-defined security safeguards"},{"id":"sa-9.4_prm_2","label":"organization-defined external service providers","constraints":[{"detail":"all external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9(4)"},{"name":"sort-id","value":"sa-09.04"}],"parts":[{"id":"sa-9.4_smt","name":"statement","prose":"The organization employs {{ sa-9.4_prm_1 }} to ensure that the\n interests of {{ sa-9.4_prm_2 }} are consistent with and reflect\n organizational interests."},{"id":"sa-9.4_gdn","name":"guidance","prose":"As organizations increasingly use external service providers, the possibility\n exists that the interests of the service providers may diverge from organizational\n interests. In such situations, simply having the correct technical, procedural, or\n operational safeguards in place may not be sufficient if the service providers\n that implement and control those safeguards are not operating in a manner\n consistent with the interests of the consuming organizations. Possible actions\n that organizations might take to address such concerns include, for example,\n requiring background checks for selected service provider personnel, examining\n ownership records, employing only trustworthy service providers (i.e., providers\n with which organizations have had positive experiences), and conducting\n periodic/unscheduled visits to service provider facilities."},{"id":"sa-9.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(4)[1]"}],"prose":"defines external service providers whose interests are to be consistent with\n and reflect organizational interests;"},{"id":"sa-9.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(4)[2]"}],"prose":"defines security safeguards to be employed to ensure that the interests of\n organization-defined external service providers are consistent with and reflect\n organizational interests; and"},{"id":"sa-9.4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(4)[3]"}],"prose":"employs organization-defined security safeguards to ensure that the interests\n of organization-defined external service providers are consistent with and\n reflect organizational interests."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\norganizational security requirements/safeguards for external service\n providers\\n\\npersonnel security policies for external service providers\\n\\nassessments performed on external service providers\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining and employing safeguards to ensure\n consistent interests with external service providers\\n\\nautomated mechanisms supporting and/or implementing safeguards to ensure\n consistent interests with external service providers"}]}]},{"id":"sa-9.5","class":"SP800-53-enhancement","title":"Processing, Storage, and Service Location","parameters":[{"id":"sa-9.5_prm_1","constraints":[{"detail":"information processing, information data, AND information services"}]},{"id":"sa-9.5_prm_2","label":"organization-defined locations","constraints":[{"detail":"U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction"}]},{"id":"sa-9.5_prm_3","label":"organization-defined requirements or conditions","constraints":[{"detail":"all High Impact Data, Systems, or Services"}]}],"properties":[{"name":"label","value":"SA-9(5)"},{"name":"sort-id","value":"sa-09.05"}],"parts":[{"id":"sa-9.5_smt","name":"statement","prose":"The organization restricts the location of {{ sa-9.5_prm_1 }} to\n {{ sa-9.5_prm_2 }} based on {{ sa-9.5_prm_3 }}."},{"id":"sa-9.5_gdn","name":"guidance","prose":"The location of information processing, information/data storage, or information\n system services that are critical to organizations can have a direct impact on the\n ability of those organizations to successfully execute their missions/business\n functions. This situation exists when external providers control the location of\n processing, storage or services. The criteria external providers use for the\n selection of processing, storage, or service locations may be different from\n organizational criteria. For example, organizations may want to ensure that\n data/information storage locations are restricted to certain locations to\n facilitate incident response activities (e.g., forensic analyses, after-the-fact\n investigations) in case of information security breaches/compromises. Such\n incident response activities may be adversely affected by the governing laws or\n protocols in the locations where processing and storage occur and/or the locations\n from which information system services emanate."},{"id":"sa-9.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(5)[1]"}],"prose":"defines locations where organization-defined information processing,\n information/data, and/or information system services are to be restricted;"},{"id":"sa-9.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(5)[2]"}],"prose":"defines requirements or conditions to restrict the location of information\n processing, information/data, and/or information system services;"},{"id":"sa-9.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(5)[3]"}],"prose":"restricts the location of one or more of the following to organization-defined\n locations based on organization-defined requirements or conditions:","parts":[{"id":"sa-9.5_obj.3.a","name":"objective","properties":[{"name":"label","value":"SA-9(5)[3][a]"}],"prose":"information processing;"},{"id":"sa-9.5_obj.3.b","name":"objective","properties":[{"name":"label","value":"SA-9(5)[3][b]"}],"prose":"information/data; and/or"},{"id":"sa-9.5_obj.3.c","name":"objective","properties":[{"name":"label","value":"SA-9(5)[3][c]"}],"prose":"information services."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nrestricted locations for information processing\\n\\ninformation/data and/or information system services\\n\\ninformation processing, information/data, and/or information system services to\n be maintained in restricted locations\\n\\norganizational security requirements or conditions for external providers\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining requirements to restrict locations of\n information processing, information/data, or information services\\n\\norganizational processes for ensuring the location is restricted in accordance\n with requirements or conditions"}]}]}]},{"id":"sa-10","class":"SP800-53","title":"Developer Configuration Management","parameters":[{"id":"sa-10_prm_1","constraints":[{"detail":"development, implementation, AND operation"}]},{"id":"sa-10_prm_2","label":"organization-defined configuration items under configuration management"},{"id":"sa-10_prm_3","label":"organization-defined personnel"}],"properties":[{"name":"label","value":"SA-10"},{"name":"sort-id","value":"sa-10"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"sa-10_smt","name":"statement","prose":"The organization requires the developer of the information system, system component,\n or information system service to:","parts":[{"id":"sa-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Perform configuration management during system, component, or service {{ sa-10_prm_1 }};"},{"id":"sa-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Document, manage, and control the integrity of changes to {{ sa-10_prm_2 }};"},{"id":"sa-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Implement only organization-approved changes to the system, component, or\n service;"},{"id":"sa-10_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Document approved changes to the system, component, or service and the potential\n security impacts of such changes; and"},{"id":"sa-10_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Track security flaws and flaw resolution within the system, component, or service\n and report findings to {{ sa-10_prm_3 }}."},{"id":"sa-10_fr","name":"item","title":"SA-10 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-10_fr_smt.1","name":"item","properties":[{"name":"label","value":"(e) Requirement:"}],"prose":"For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP."}]}]},{"id":"sa-10_gdn","name":"guidance","prose":"This control also applies to organizations conducting internal information systems\n development and integration. Organizations consider the quality and completeness of\n the configuration management activities conducted by developers as evidence of\n applying effective security safeguards. Safeguards include, for example, protecting\n from unauthorized modification or destruction, the master copies of all material used\n to generate security-relevant portions of the system hardware, software, and\n firmware. Maintaining the integrity of changes to the information system, information\n system component, or information system service requires configuration control\n throughout the system development life cycle to track authorized changes and prevent\n unauthorized changes. Configuration items that are placed under configuration\n management (if existence/use is required by other security controls) include: the\n formal model; the functional, high-level, and low-level design specifications; other\n design data; implementation documentation; source code and hardware schematics; the\n running version of the object code; tools for comparing new versions of\n security-relevant hardware descriptions and software/firmware source code with\n previous versions; and test fixtures and documentation. Depending on the\n mission/business needs of organizations and the nature of the contractual\n relationships in place, developers may provide configuration management support\n during the operations and maintenance phases of the life cycle.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"sa-10_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(a)"}],"prose":"requires the developer of the information system, system component, or information\n system service to perform configuration management during one or more of the\n following:","parts":[{"id":"sa-10.a_obj.1","name":"objective","properties":[{"name":"label","value":"SA-10(a)[1]"}],"prose":"system, component, or service design;"},{"id":"sa-10.a_obj.2","name":"objective","properties":[{"name":"label","value":"SA-10(a)[2]"}],"prose":"system, component, or service development;"},{"id":"sa-10.a_obj.3","name":"objective","properties":[{"name":"label","value":"SA-10(a)[3]"}],"prose":"system, component, or service implementation; and/or"},{"id":"sa-10.a_obj.4","name":"objective","properties":[{"name":"label","value":"SA-10(a)[4]"}],"prose":"system, component, or service operation;"}]},{"id":"sa-10.b_obj","name":"objective","properties":[{"name":"label","value":"SA-10(b)"}],"parts":[{"id":"sa-10.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-10(b)[1]"}],"prose":"defines configuration items to be placed under configuration management;"},{"id":"sa-10.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(b)[2]"}],"prose":"requires the developer of the information system, system component, or\n information system service to:","parts":[{"id":"sa-10.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"SA-10(b)[2][a]"}],"prose":"document the integrity of changes to organization-defined items under\n configuration management;"},{"id":"sa-10.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"SA-10(b)[2][b]"}],"prose":"manage the integrity of changes to organization-defined items under\n configuration management;"},{"id":"sa-10.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"SA-10(b)[2][c]"}],"prose":"control the integrity of changes to organization-defined items under\n configuration management;"}]}]},{"id":"sa-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(c)"}],"prose":"requires the developer of the information system, system component, or information\n system service to implement only organization-approved changes to the system,\n component, or service;"},{"id":"sa-10.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(d)"}],"prose":"requires the developer of the information system, system component, or information\n system service to document:","parts":[{"id":"sa-10.d_obj.1","name":"objective","properties":[{"name":"label","value":"SA-10(d)[1]"}],"prose":"approved changes to the system, component, or service;"},{"id":"sa-10.d_obj.2","name":"objective","properties":[{"name":"label","value":"SA-10(d)[2]"}],"prose":"the potential security impacts of such changes;"}]},{"id":"sa-10.e_obj","name":"objective","properties":[{"name":"label","value":"SA-10(e)"}],"parts":[{"id":"sa-10.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-10(e)[1]"}],"prose":"defines personnel to whom findings, resulting from security flaws and flaw\n resolution tracked within the system, component, or service, are to be\n reported;"},{"id":"sa-10.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(e)[2]"}],"prose":"requires the developer of the information system, system component, or\n information system service to:","parts":[{"id":"sa-10.e_obj.2.a","name":"objective","properties":[{"name":"label","value":"SA-10(e)[2][a]"}],"prose":"track security flaws within the system, component, or service;"},{"id":"sa-10.e_obj.2.b","name":"objective","properties":[{"name":"label","value":"SA-10(e)[2][b]"}],"prose":"track security flaw resolution within the system, component, or service;\n and"},{"id":"sa-10.e_obj.2.c","name":"objective","properties":[{"name":"label","value":"SA-10(e)[2][c]"}],"prose":"report findings to organization-defined personnel."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer configuration management plan\\n\\nsecurity flaw and flaw resolution tracking records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management"}]}],"controls":[{"id":"sa-10.1","class":"SP800-53-enhancement","title":"Software / Firmware Integrity Verification","properties":[{"name":"label","value":"SA-10(1)"},{"name":"sort-id","value":"sa-10.01"}],"parts":[{"id":"sa-10.1_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to enable integrity verification of\n software and firmware components."},{"id":"sa-10.1_gdn","name":"guidance","prose":"This control enhancement allows organizations to detect unauthorized changes to\n software and firmware components through the use of tools, techniques, and/or\n mechanisms provided by developers. Integrity checking mechanisms can also address\n counterfeiting of software and firmware components. Organizations verify the\n integrity of software and firmware components, for example, through secure one-way\n hashes provided by developers. Delivered software and firmware components also\n include any updates to such components.","links":[{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sa-10.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to enable integrity verification\n of software and firmware components."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system\\n\\nsystem component, or information system service\\n\\nsystem developer configuration management plan\\n\\nsoftware and firmware integrity verification records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management"}]}]}]},{"id":"sa-11","class":"SP800-53","title":"Developer Security Testing and Evaluation","parameters":[{"id":"sa-11_prm_1"},{"id":"sa-11_prm_2","label":"organization-defined depth and coverage"}],"properties":[{"name":"label","value":"SA-11"},{"name":"sort-id","value":"sa-11"}],"links":[{"href":"#1737a687-52fb-4008-b900-cbfa836f7b65","rel":"reference","text":"ISO/IEC 15408"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"},{"href":"#15522e92-9192-463d-9646-6a01982db8ca","rel":"reference","text":"http://cwe.mitre.org"},{"href":"#0931209f-00ae-4132-b92c-bc645847e8f9","rel":"reference","text":"http://cve.mitre.org"},{"href":"#4ef539ba-b767-4666-b0d3-168c53005fa3","rel":"reference","text":"http://capec.mitre.org"}],"parts":[{"id":"sa-11_smt","name":"statement","prose":"The organization requires the developer of the information system, system component,\n or information system service to:","parts":[{"id":"sa-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Create and implement a security assessment plan;"},{"id":"sa-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Perform {{ sa-11_prm_1 }} testing/evaluation at {{ sa-11_prm_2 }};"},{"id":"sa-11_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Produce evidence of the execution of the security assessment plan and the results\n of the security testing/evaluation;"},{"id":"sa-11_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implement a verifiable flaw remediation process; and"},{"id":"sa-11_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Correct flaws identified during security testing/evaluation."}]},{"id":"sa-11_gdn","name":"guidance","prose":"Developmental security testing/evaluation occurs at all post-design phases of the\n system development life cycle. Such testing/evaluation confirms that the required\n security controls are implemented correctly, operating as intended, enforcing the\n desired security policy, and meeting established security requirements. Security\n properties of information systems may be affected by the interconnection of system\n components or changes to those components. These interconnections or changes (e.g.,\n upgrading or replacing applications and operating systems) may adversely affect\n previously implemented security controls. This control provides additional types of\n security testing/evaluation that developers can conduct to reduce or eliminate\n potential flaws. Testing custom software applications may require approaches such as\n static analysis, dynamic analysis, binary analysis, or a hybrid of the three\n approaches. Developers can employ these analysis approaches in a variety of tools\n (e.g., web-based application scanners, static analysis tools, binary analyzers) and\n in source code reviews. Security assessment plans provide the specific activities\n that developers plan to carry out including the types of analyses, testing,\n evaluation, and reviews of software and firmware components, the degree of rigor to\n be applied, and the types of artifacts produced during those processes. The depth of\n security testing/evaluation refers to the rigor and level of detail associated with\n the assessment process (e.g., black box, gray box, or white box testing). The\n coverage of security testing/evaluation refers to the scope (i.e., number and type)\n of the artifacts included in the assessment process. Contracts specify the acceptance\n criteria for security assessment plans, flaw remediation processes, and the evidence\n that the plans/processes have been diligently applied. Methods for reviewing and\n protecting assessment plans, evidence, and documentation are commensurate with the\n security category or classification level of the information system. Contracts may\n specify documentation protection requirements.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"sa-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-11.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(a)"}],"prose":"requires the developer of the information system, system component, or information\n system service to create and implement a security plan;"},{"id":"sa-11.b_obj","name":"objective","properties":[{"name":"label","value":"SA-11(b)"}],"parts":[{"id":"sa-11.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-11(b)[1]"}],"prose":"defines the depth of testing/evaluation to be performed by the developer of the\n information system, system component, or information system service;"},{"id":"sa-11.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-11(b)[2]"}],"prose":"defines the coverage of testing/evaluation to be performed by the developer of\n the information system, system component, or information system service;"},{"id":"sa-11.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(b)[3]"}],"prose":"requires the developer of the information system, system component, or\n information system service to perform one or more of the following\n testing/evaluation at the organization-defined depth and coverage:","parts":[{"id":"sa-11.b_obj.3.a","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][a]"}],"prose":"unit testing/evaluation;"},{"id":"sa-11.b_obj.3.b","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][b]"}],"prose":"integration testing/evaluation;"},{"id":"sa-11.b_obj.3.c","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][c]"}],"prose":"system testing/evaluation; and/or"},{"id":"sa-11.b_obj.3.d","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][d]"}],"prose":"regression testing/evaluation;"}]}]},{"id":"sa-11.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(c)"}],"prose":"requires the developer of the information system, system component, or information\n system service to produce evidence of:","parts":[{"id":"sa-11.c_obj.1","name":"objective","properties":[{"name":"label","value":"SA-11(c)[1]"}],"prose":"the execution of the security assessment plan;"},{"id":"sa-11.c_obj.2","name":"objective","properties":[{"name":"label","value":"SA-11(c)[2]"}],"prose":"the results of the security testing/evaluation;"}]},{"id":"sa-11.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(d)"}],"prose":"requires the developer of the information system, system component, or information\n system service to implement a verifiable flaw remediation process; and"},{"id":"sa-11.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(e)"}],"prose":"requires the developer of the information system, system component, or information\n system service to correct flaws identified during security testing/evaluation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system, system\n component, or information system service\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation"}]}],"controls":[{"id":"sa-11.1","class":"SP800-53-enhancement","title":"Static Code Analysis","properties":[{"name":"label","value":"SA-11(1)"},{"name":"sort-id","value":"sa-11.01"}],"parts":[{"id":"sa-11.1_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to employ static code analysis tools to\n identify common flaws and document the results of the analysis.","parts":[{"id":"sa-11.1_fr","name":"item","title":"SA-11 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-11.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed."}]}]},{"id":"sa-11.1_gdn","name":"guidance","prose":"Static code analysis provides a technology and methodology for security reviews.\n Such analysis can be used to identify security vulnerabilities and enforce\n security coding practices. Static code analysis is most effective when used early\n in the development process, when each code change can be automatically scanned for\n potential weaknesses. Static analysis can provide clear remediation guidance along\n with defects to enable developers to fix such defects. Evidence of correct\n implementation of static analysis can include, for example, aggregate defect\n density for critical defect types, evidence that defects were inspected by\n developers or security professionals, and evidence that defects were fixed. An\n excessively high density of ignored findings (commonly referred to as ignored or\n false positives) indicates a potential problem with the analysis process or tool.\n In such cases, organizations weigh the validity of the evidence against evidence\n from other sources."},{"id":"sa-11.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to employ static code analysis\n tools to identify common flaws and document the results of the analysis."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nsystem developer security testing results\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation\\n\\nstatic code analysis tools"}]}]},{"id":"sa-11.2","class":"SP800-53-enhancement","title":"Threat and Vulnerability Analyses","properties":[{"name":"label","value":"SA-11(2)"},{"name":"sort-id","value":"sa-11.02"}],"parts":[{"id":"sa-11.2_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to perform threat and vulnerability\n analyses and subsequent testing/evaluation of the as-built system, component, or\n service."},{"id":"sa-11.2_gdn","name":"guidance","prose":"Applications may deviate significantly from the functional and design\n specifications created during the requirements and design phases of the system\n development life cycle. Therefore, threat and vulnerability analyses of\n information systems, system components, and information system services prior to\n delivery are critical to the effective operation of those systems, components, and\n services. Threat and vulnerability analyses at this phase of the life cycle help\n to ensure that design or implementation changes have been accounted for, and that\n any new vulnerabilities created as a result of those changes have been reviewed\n and mitigated.","links":[{"href":"#pm-15","rel":"related","text":"PM-15"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"sa-11.2_obj","name":"objective","prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to perform:","parts":[{"id":"sa-11.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(2)[1]"}],"prose":"threat analyses of the as-built, system component, or service;"},{"id":"sa-11.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-11(2)[2]"}],"prose":"vulnerability analyses of the as-built, system component, or service; and"},{"id":"sa-11.2_obj.3","name":"objective","properties":[{"name":"label","value":"SA-11(2)[3]"}],"prose":"subsequent testing/evaluation of the as-built, system component, or\n service."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system,\n system component, or information system service\\n\\nvulnerability scanning results\\n\\ninformation system risk assessment reports\\n\\nthreat and vulnerability analysis reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation"}]}]},{"id":"sa-11.8","class":"SP800-53-enhancement","title":"Dynamic Code Analysis","properties":[{"name":"label","value":"SA-11(8)"},{"name":"sort-id","value":"sa-11.08"}],"parts":[{"id":"sa-11.8_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to employ dynamic code analysis tools to\n identify common flaws and document the results of the analysis.","parts":[{"id":"sa-11.8_fr","name":"item","title":"SA-11 (8) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-11.8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed."}]}]},{"id":"sa-11.8_gdn","name":"guidance","prose":"Dynamic code analysis provides run-time verification of software programs, using\n tools capable of monitoring programs for memory corruption, user privilege issues,\n and other potential security problems. Dynamic code analysis employs run-time\n tools to help to ensure that security functionality performs in the manner in\n which it was designed. A specialized type of dynamic analysis, known as fuzz\n testing, induces program failures by deliberately introducing malformed or random\n data into software programs. Fuzz testing strategies derive from the intended use\n of applications and the functional and design specifications for the applications.\n To understand the scope of dynamic code analysis and hence the assurance provided,\n organizations may also consider conducting code coverage analysis (checking the\n degree to which the code has been tested using metrics such as percent of\n subroutines tested or percent of program statements called during execution of the\n test suite) and/or concordance analysis (checking for words that are out of place\n in software code such as non-English language words or derogatory terms)."},{"id":"sa-11.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to employ dynamic code analysis\n tools to identify common flaws and document the results of the analysis."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test and evaluation plans\\n\\nsecurity test and evaluation results\\n\\nsecurity flaw and remediation tracking reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation"}]}]}]},{"id":"sa-12","class":"SP800-53","title":"Supply Chain Protection","parameters":[{"id":"sa-12_prm_1","label":"organization-defined security safeguards","constraints":[{"detail":"organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures"}]}],"properties":[{"name":"label","value":"SA-12"},{"name":"sort-id","value":"sa-12"}],"links":[{"href":"#8ab6bcdc-339b-4068-b45e-994814a6e187","rel":"reference","text":"NIST Special Publication 800-161"},{"href":"#bdd2f49e-edf7-491f-a178-4487898228f3","rel":"reference","text":"NIST Interagency Report 7622"}],"parts":[{"id":"sa-12_smt","name":"statement","prose":"The organization protects against supply chain threats to the information system,\n system component, or information system service by employing {{ sa-12_prm_1 }} as part of a comprehensive, defense-in-breadth\n information security strategy."},{"id":"sa-12_gdn","name":"guidance","prose":"Information systems (including system components that compose those systems) need to\n be protected throughout the system development life cycle (i.e., during design,\n development, manufacturing, packaging, assembly, distribution, system integration,\n operations, maintenance, and retirement). Protection of organizational information\n systems is accomplished through threat awareness, by the identification, management,\n and reduction of vulnerabilities at each phase of the life cycle and the use of\n complementary, mutually reinforcing strategies to respond to risk. Organizations\n consider implementing a standardized process to address supply chain risk with\n respect to information systems and system components, and to educate the acquisition\n workforce on threats, risk, and required security controls. Organizations use the\n acquisition/procurement processes to require supply chain entities to implement\n necessary security safeguards to: (i) reduce the likelihood of unauthorized\n modifications at each stage in the supply chain; and (ii) protect information systems\n and information system components, prior to taking delivery of such\n systems/components. This control also applies to information system services.\n Security safeguards include, for example: (i) security controls for development\n systems, development facilities, and external connections to development systems;\n (ii) vetting development personnel; and (iii) use of tamper-evident packaging during\n shipping/warehousing. Methods for reviewing and protecting development plans,\n evidence, and documentation are commensurate with the security category or\n classification level of the information system. Contracts may specify documentation\n protection requirements.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#pl-8","rel":"related","text":"PL-8"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sa-14","rel":"related","text":"SA-14"},{"href":"#sa-15","rel":"related","text":"SA-15"},{"href":"#sa-18","rel":"related","text":"SA-18"},{"href":"#sa-19","rel":"related","text":"SA-19"},{"href":"#sc-29","rel":"related","text":"SC-29"},{"href":"#sc-30","rel":"related","text":"SC-30"},{"href":"#sc-38","rel":"related","text":"SC-38"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sa-12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-12_obj.1","name":"objective","properties":[{"name":"label","value":"SA-12[1]"}],"prose":"defines security safeguards to be employed to protect against supply chain threats\n to the information system, system component, or information system service;\n and"},{"id":"sa-12_obj.2","name":"objective","properties":[{"name":"label","value":"SA-12[2]"}],"prose":"protects against supply chain threats to the information system, system component,\n or information system service by employing organization-defined security\n safeguards as part of a comprehensive, defense-in-breadth information security\n strategy."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing supply chain protection\\n\\nprocedures addressing the integration of information security requirements into\n the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nlist of supply chain threats\\n\\nlist of security safeguards to be taken against supply chain threats\\n\\nsystem development life cycle documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with supply chain protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining safeguards for and protecting against supply\n chain threats\\n\\nautomated mechanisms supporting and/or implementing safeguards for supply chain\n threats"}]}]},{"id":"sa-15","class":"SP800-53","title":"Development Process, Standards, and Tools","parameters":[{"id":"sa-15_prm_1","label":"organization-defined frequency","constraints":[{"detail":"as needed and as dictated by the current threat posture"}]},{"id":"sa-15_prm_2","label":"organization-defined security requirements","constraints":[{"detail":"organization and service provider- defined security requirements"}]}],"properties":[{"name":"label","value":"SA-15"},{"name":"sort-id","value":"sa-15"}],"parts":[{"id":"sa-15_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-15_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires the developer of the information system, system component, or information\n system service to follow a documented development process that:","parts":[{"id":"sa-15_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Explicitly addresses security requirements;"},{"id":"sa-15_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Identifies the standards and tools used in the development process;"},{"id":"sa-15_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Documents the specific tool options and tool configurations used in the\n development process; and"},{"id":"sa-15_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Documents, manages, and ensures the integrity of changes to the process and/or\n tools used in development; and"}]},{"id":"sa-15_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews the development process, standards, tools, and tool options/configurations\n {{ sa-15_prm_1 }} to determine if the process, standards, tools,\n and tool options/configurations selected and employed can satisfy {{ sa-15_prm_2 }}."}]},{"id":"sa-15_gdn","name":"guidance","prose":"Development tools include, for example, programming languages and computer-aided\n design (CAD) systems. Reviews of development processes can include, for example, the\n use of maturity models to determine the potential effectiveness of such processes.\n Maintaining the integrity of changes to tools and processes enables accurate supply\n chain risk assessment and mitigation, and requires robust configuration control\n throughout the life cycle (including design, development, transport, delivery,\n integration, and maintenance) to track authorized changes and prevent unauthorized\n changes.","links":[{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-8","rel":"related","text":"SA-8"}]},{"id":"sa-15_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-15.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-15(a)"}],"prose":"requires the developer of the information system, system component, or information\n system service to follow a documented development process that:","parts":[{"id":"sa-15.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-15(a)(1)"}],"prose":"explicitly addresses security requirements;"},{"id":"sa-15.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-15(a)(2)"}],"prose":"identifies the standards and tools used in the development process;"},{"id":"sa-15.a.3_obj","name":"objective","properties":[{"name":"label","value":"SA-15(a)(3)"}],"parts":[{"id":"sa-15.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"SA-15(a)(3)[1]"}],"prose":"documents the specific tool options used in the development process;"},{"id":"sa-15.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"SA-15(a)(3)[2]"}],"prose":"documents the specific tool configurations used in the development\n process;"}]},{"id":"sa-15.a.4_obj","name":"objective","properties":[{"name":"label","value":"SA-15(a)(4)"}],"parts":[{"id":"sa-15.a.4_obj.1","name":"objective","properties":[{"name":"label","value":"SA-15(a)(4)[1]"}],"prose":"documents changes to the process and/or tools used in the development;"},{"id":"sa-15.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"SA-15(a)(4)[2]"}],"prose":"manages changes to the process and/or tools used in the development;"},{"id":"sa-15.a.4_obj.3","name":"objective","properties":[{"name":"label","value":"SA-15(a)(4)[3]"}],"prose":"ensures the integrity of changes to the process and/or tools used in the\n development;"}]}]},{"id":"sa-15.b_obj","name":"objective","properties":[{"name":"label","value":"SA-15(b)"}],"parts":[{"id":"sa-15.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-15(b)[1]"}],"prose":"defines a frequency to review the development process, standards, tools, and\n tool options/configurations;"},{"id":"sa-15.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-15(b)[2]"}],"prose":"defines security requirements to be satisfied by the process, standards, tools,\n and tool option/configurations selected and employed; and"},{"id":"sa-15.b_obj.3","name":"objective","properties":[{"name":"label","value":"SA-15(b)[3]"}],"parts":[{"id":"sa-15.b_obj.3.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-15(b)[3][a]"}],"prose":"reviews the development process with the organization-defined frequency to\n determine if the process selected and employed can satisfy\n organization-defined security requirements;"},{"id":"sa-15.b_obj.3.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-15(b)[3][b]"}],"prose":"reviews the development standards with the organization-defined frequency to\n determine if the standards selected and employed can satisfy\n organization-defined security requirements;"},{"id":"sa-15.b_obj.3.c","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-15(b)[3][c]"}],"prose":"reviews the development tools with the organization-defined frequency to\n determine if the tools selected and employed can satisfy\n organization-defined security requirements; and"},{"id":"sa-15.b_obj.3.d","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-15(b)[3][d]"}],"prose":"reviews the development tool options/configurations with the\n organization-defined frequency to determine if the tool\n options/configurations selected and employed can satisfy\n organization-defined security requirements."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing development process, standards, and tools\\n\\nprocedures addressing the integration of security requirements during the\n development process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer documentation listing tool options/configuration guides,\n configuration management records\\n\\nchange control records\\n\\nconfiguration control records\\n\\ndocumented reviews of development process, standards, tools, and tool\n options/configurations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]}]},{"id":"sa-16","class":"SP800-53","title":"Developer-provided Training","parameters":[{"id":"sa-16_prm_1","label":"organization-defined training"}],"properties":[{"name":"label","value":"SA-16"},{"name":"sort-id","value":"sa-16"}],"parts":[{"id":"sa-16_smt","name":"statement","prose":"The organization requires the developer of the information system, system component,\n or information system service to provide {{ sa-16_prm_1 }} on the\n correct use and operation of the implemented security functions, controls, and/or\n mechanisms."},{"id":"sa-16_gdn","name":"guidance","prose":"This control applies to external and internal (in-house) developers. Training of\n personnel is an essential element to ensure the effectiveness of security controls\n implemented within organizational information systems. Training options include, for\n example, classroom-style training, web-based/computer-based training, and hands-on\n training. Organizations can also request sufficient training materials from\n developers to conduct in-house training or offer self-training to organizational\n personnel. Organizations determine the type of training necessary and may require\n different types of training for different security functions, controls, or\n mechanisms.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"sa-16_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-16_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-16[1]"}],"prose":"defines training to be provided by the developer of the information system, system\n component, or information system service; and"},{"id":"sa-16_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-16[2]"}],"prose":"requires the developer of the information system, system component, or information\n system service to provide organization-defined training on the correct use and\n operation of the implemented security functions, controls, and/or mechanisms."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing developer-provided training\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ndeveloper-provided training materials\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information system security responsibilities\\n\\nsystem developer\\n\\norganizational or third-party developers with training responsibilities for the\n information system, system component, or information system service"}]}]},{"id":"sa-17","class":"SP800-53","title":"Developer Security Architecture and Design","properties":[{"name":"label","value":"SA-17"},{"name":"sort-id","value":"sa-17"}],"parts":[{"id":"sa-17_smt","name":"statement","prose":"The organization requires the developer of the information system, system component,\n or information system service to produce a design specification and security\n architecture that:","parts":[{"id":"sa-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Is consistent with and supportive of the organization’s security architecture\n which is established within and is an integrated part of the organization’s\n enterprise architecture;"},{"id":"sa-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Accurately and completely describes the required security functionality, and the\n allocation of security controls among physical and logical components; and"},{"id":"sa-17_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Expresses how individual security functions, mechanisms, and services work\n together to provide required security capabilities and a unified approach to\n protection."}]},{"id":"sa-17_gdn","name":"guidance","prose":"This control is primarily directed at external developers, although it could also be\n used for internal (in-house) development. In contrast, PL-8 is primarily directed at\n internal developers to help ensure that organizations develop an information security\n architecture and such security architecture is integrated or tightly coupled to the\n enterprise architecture. This distinction is important if/when organizations\n outsource the development of information systems, information system components, or\n information system services to external entities, and there is a requirement to\n demonstrate consistency with the organization’s enterprise architecture and\n information security architecture.","links":[{"href":"#pl-8","rel":"related","text":"PL-8"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-8","rel":"related","text":"SA-8"}]},{"id":"sa-17_obj","name":"objective","prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to produce a design specification and\n security architecture that:","parts":[{"id":"sa-17.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-17(a)"}],"prose":"is consistent with and supportive of the organization’s security architecture\n which is established within and is an integrated part of the organization’s\n enterprise architecture;"},{"id":"sa-17.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-17(b)"}],"prose":"accurately and completely describes:","parts":[{"id":"sa-17.b_obj.1","name":"objective","properties":[{"name":"label","value":"SA-17(b)[1]"}],"prose":"the required security functionality;"},{"id":"sa-17.b_obj.2","name":"objective","properties":[{"name":"label","value":"SA-17(b)[2]"}],"prose":"the allocation of security controls among physical and logical components;\n and"}]},{"id":"sa-17.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-17(c)"}],"prose":"expresses how individual security functions, mechanisms, and services work\n together to provide required security capabilities and a unified approach to\n protection."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nenterprise architecture policy\\n\\nprocedures addressing developer security architecture and design specification for\n the information system\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ndesign specification and security architecture documentation for the system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with security architecture and design\n responsibilities"}]}]}]},{"id":"sc","class":"family","title":"System and Communications Protection","controls":[{"id":"sc-1","class":"SP800-53","title":"System and Communications Protection Policy and Procedures","parameters":[{"id":"sc-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sc-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"sc-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-1"},{"name":"sort-id","value":"sc-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sc-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sc-1_prm_1 }}:","parts":[{"id":"sc-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"sc-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and"}]},{"id":"sc-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sc-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and communications protection policy {{ sc-1_prm_2 }};\n and"},{"id":"sc-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and communications protection procedures {{ sc-1_prm_3 }}."}]}]},{"id":"sc-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sc-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-1.a_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)"}],"parts":[{"id":"sc-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)"}],"parts":[{"id":"sc-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(1)[1]"}],"prose":"develops and documents a system and communications protection policy that\n addresses:","parts":[{"id":"sc-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sc-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sc-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sc-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sc-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sc-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sc-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sc-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;"},{"id":"sc-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SC-1(a)(1)[3]"}],"prose":"disseminates the system and communications protection policy to\n organization-defined personnel or roles;"}]},{"id":"sc-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)"}],"parts":[{"id":"sc-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;"},{"id":"sc-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sc-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sc-1.b_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)"}],"parts":[{"id":"sc-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(1)"}],"parts":[{"id":"sc-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection policy;"},{"id":"sc-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(1)[2]"}],"prose":"reviews and updates the current system and communications protection policy\n with the organization-defined frequency;"}]},{"id":"sc-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(2)"}],"parts":[{"id":"sc-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection procedures; and"},{"id":"sc-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(2)[2]"}],"prose":"reviews and updates the current system and communications protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sc-2","class":"SP800-53","title":"Application Partitioning","properties":[{"name":"label","value":"SC-2"},{"name":"sort-id","value":"sc-02"}],"parts":[{"id":"sc-2_smt","name":"statement","prose":"The information system separates user functionality (including user interface\n services) from information system management functionality."},{"id":"sc-2_gdn","name":"guidance","prose":"Information system management functionality includes, for example, functions\n necessary to administer databases, network components, workstations, or servers, and\n typically requires privileged user access. The separation of user functionality from\n information system management functionality is either physical or logical.\n Organizations implement separation of system management-related functionality from\n user functionality by using different computers, different central processing units,\n different instances of operating systems, different network addresses, virtualization\n techniques, or combinations of these or other methods, as appropriate. This type of\n separation includes, for example, web administrative interfaces that use separate\n authentication methods for users of any other information system resources.\n Separation of system and user functionality may include isolating administrative\n interfaces on different domains and with additional access controls.","links":[{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system separates user functionality (including user\n interface services) from information system management functionality."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing application partitioning\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Separation of user functionality from information system management\n functionality"}]}]},{"id":"sc-3","class":"SP800-53","title":"Security Function Isolation","properties":[{"name":"label","value":"SC-3"},{"name":"sort-id","value":"sc-03"}],"parts":[{"id":"sc-3_smt","name":"statement","prose":"The information system isolates security functions from nonsecurity functions."},{"id":"sc-3_gdn","name":"guidance","prose":"The information system isolates security functions from nonsecurity functions by\n means of an isolation boundary (implemented via partitions and domains). Such\n isolation controls access to and protects the integrity of the hardware, software,\n and firmware that perform those security functions. Information systems implement\n code separation (i.e., separation of security functions from nonsecurity functions)\n in a number of ways, including, for example, through the provision of security\n kernels via processor rings or processor modes. For non-kernel code, security\n function isolation is often achieved through file system protections that serve to\n protect the code on disk, and address space protections that protect executing code.\n Information systems restrict access to security functions through the use of access\n control mechanisms and by implementing least privilege capabilities. While the ideal\n is for all of the code within the security function isolation boundary to only\n contain security-relevant code, it is sometimes necessary to include nonsecurity\n functions within the isolation boundary as an exception.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-13","rel":"related","text":"SA-13"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-39","rel":"related","text":"SC-39"}]},{"id":"sc-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system isolates security functions from nonsecurity\n functions."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing security function isolation\\n\\nlist of security functions to be isolated from nonsecurity functions\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Separation of security functions from nonsecurity functions within the information\n system"}]}]},{"id":"sc-4","class":"SP800-53","title":"Information in Shared Resources","properties":[{"name":"label","value":"SC-4"},{"name":"sort-id","value":"sc-04"}],"parts":[{"id":"sc-4_smt","name":"statement","prose":"The information system prevents unauthorized and unintended information transfer via\n shared system resources."},{"id":"sc-4_gdn","name":"guidance","prose":"This control prevents information, including encrypted representations of\n information, produced by the actions of prior users/roles (or the actions of\n processes acting on behalf of prior users/roles) from being available to any current\n users/roles (or current processes) that obtain access to shared system resources\n (e.g., registers, main memory, hard disks) after those resources have been released\n back to information systems. The control of information in shared resources is also\n commonly referred to as object reuse and residual information protection. This\n control does not address: (i) information remanence which refers to residual\n representation of data that has been nominally erased or removed; (ii) covert\n channels (including storage and/or timing channels) where shared resources are\n manipulated to violate information flow restrictions; or (iii) components within\n information systems for which there are only single users/roles.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"sc-4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system prevents unauthorized and unintended information\n transfer via shared system resources."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing information protection in shared system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms preventing unauthorized and unintended transfer of\n information via shared system resources"}]}]},{"id":"sc-5","class":"SP800-53","title":"Denial of Service Protection","parameters":[{"id":"sc-5_prm_1","label":"organization-defined types of denial of service attacks or references to sources\n for such information"},{"id":"sc-5_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SC-5"},{"name":"sort-id","value":"sc-05"}],"parts":[{"id":"sc-5_smt","name":"statement","prose":"The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}."},{"id":"sc-5_gdn","name":"guidance","prose":"A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.","links":[{"href":"#sc-6","rel":"related","text":"SC-6"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"sc-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-5_obj.1","name":"objective","properties":[{"name":"label","value":"SC-5[1]"}],"prose":"the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;"},{"id":"sc-5_obj.2","name":"objective","properties":[{"name":"label","value":"SC-5[2]"}],"prose":"the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and"},{"id":"sc-5_obj.3","name":"objective","properties":[{"name":"label","value":"SC-5[3]"}],"prose":"the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms protecting against or limiting the effects of denial of\n service attacks"}]}]},{"id":"sc-6","class":"SP800-53","title":"Resource Availability","parameters":[{"id":"sc-6_prm_1","label":"organization-defined resources"},{"id":"sc-6_prm_2"},{"id":"sc-6_prm_3","depends-on":"sc-6_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SC-6"},{"name":"sort-id","value":"sc-06"}],"parts":[{"id":"sc-6_smt","name":"statement","prose":"The information system protects the availability of resources by allocating {{ sc-6_prm_1 }} by {{ sc-6_prm_2 }}."},{"id":"sc-6_gdn","name":"guidance","prose":"Priority protection helps prevent lower-priority processes from delaying or\n interfering with the information system servicing any higher-priority processes.\n Quotas prevent users or processes from obtaining more than predetermined amounts of\n resources. This control does not apply to information system components for which\n there are only single users/roles."},{"id":"sc-6_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-6_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-6[1]"}],"prose":"the organization defines resources to be allocated to protect the availability of\n resources;"},{"id":"sc-6_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-6[2]"}],"prose":"the organization defines security safeguards to be employed to protect the\n availability of resources;"},{"id":"sc-6_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-6[3]"}],"prose":"the information system protects the availability of resources by allocating\n organization-defined resources by one or more of the following:","parts":[{"id":"sc-6_obj.3.a","name":"objective","properties":[{"name":"label","value":"SC-6[3][a]"}],"prose":"priority;"},{"id":"sc-6_obj.3.b","name":"objective","properties":[{"name":"label","value":"SC-6[3][b]"}],"prose":"quota; and/or"},{"id":"sc-6_obj.3.c","name":"objective","properties":[{"name":"label","value":"SC-6[3][c]"}],"prose":"organization-defined safeguards."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing prioritization of information system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing resource allocation\n capability\\n\\nsafeguards employed to protect availability of resources"}]}]},{"id":"sc-7","class":"SP800-53","title":"Boundary Protection","parameters":[{"id":"sc-7_prm_1"}],"properties":[{"name":"label","value":"SC-7"},{"name":"sort-id","value":"sc-07"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#756a8e86-57d5-4701-8382-f7a40439665a","rel":"reference","text":"NIST Special Publication 800-41"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"}],"parts":[{"id":"sc-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;"},{"id":"sc-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and"},{"id":"sc-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"id":"sc-7_gdn","name":"guidance","prose":"Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.","links":[{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"sc-7_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-7.a_obj","name":"objective","properties":[{"name":"label","value":"SC-7(a)"}],"parts":[{"id":"sc-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[1]"}],"prose":"monitors communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[2]"}],"prose":"monitors communications at key internal boundaries within the system;"},{"id":"sc-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[3]"}],"prose":"controls communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[4]"}],"prose":"controls communications at key internal boundaries within the system;"}]},{"id":"sc-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(b)"}],"prose":"implements subnetworks for publicly accessible system components that are\n either:","parts":[{"id":"sc-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-7(b)[1]"}],"prose":"physically separated from internal organizational networks; and/or"},{"id":"sc-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-7(b)[2]"}],"prose":"logically separated from internal organizational networks; and"}]},{"id":"sc-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(c)"}],"prose":"connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability"}]}],"controls":[{"id":"sc-7.3","class":"SP800-53-enhancement","title":"Access Points","properties":[{"name":"label","value":"SC-7(3)"},{"name":"sort-id","value":"sc-07.03"}],"parts":[{"id":"sc-7.3_smt","name":"statement","prose":"The organization limits the number of external network connections to the\n information system."},{"id":"sc-7.3_gdn","name":"guidance","prose":"Limiting the number of external network connections facilitates more comprehensive\n monitoring of inbound and outbound communications traffic. The Trusted Internet\n Connection (TIC) initiative is an example of limiting the number of external\n network connections."},{"id":"sc-7.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization limits the number of external network connections to\n the information system."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncommunications and network traffic monitoring logs\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms limiting the number of external network connections to the\n information system"}]}]},{"id":"sc-7.4","class":"SP800-53-enhancement","title":"External Telecommunications Services","parameters":[{"id":"sc-7.4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-7(4)"},{"name":"sort-id","value":"sc-07.04"}],"parts":[{"id":"sc-7.4_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-7.4_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Implements a managed interface for each external telecommunication service;"},{"id":"sc-7.4_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Establishes a traffic flow policy for each managed interface;"},{"id":"sc-7.4_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Protects the confidentiality and integrity of the information being transmitted\n across each interface;"},{"id":"sc-7.4_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Documents each exception to the traffic flow policy with a supporting\n mission/business need and duration of that need; and"},{"id":"sc-7.4_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Reviews exceptions to the traffic flow policy {{ sc-7.4_prm_1 }}\n and removes exceptions that are no longer supported by an explicit\n mission/business need."}]},{"id":"sc-7.4_gdn","name":"guidance","links":[{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"sc-7.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.4.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(a)"}],"prose":"implements a managed interface for each external telecommunication service;","links":[{"href":"#sc-7.4_smt.a","rel":"corresp","text":"SC-7(4)(a)"}]},{"id":"sc-7.4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(b)"}],"prose":"establishes a traffic flow policy for each managed interface;","links":[{"href":"#sc-7.4_smt.b","rel":"corresp","text":"SC-7(4)(b)"}]},{"id":"sc-7.4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(c)"}],"prose":"protects the confidentiality and integrity of the information being transmitted\n across each interface;","links":[{"href":"#sc-7.4_smt.c","rel":"corresp","text":"SC-7(4)(c)"}]},{"id":"sc-7.4.d_obj","name":"objective","properties":[{"name":"label","value":"SC-7(4)(d)"}],"prose":"documents each exception to the traffic flow policy with:","parts":[{"id":"sc-7.4.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(d)[1]"}],"prose":"a supporting mission/business need;"},{"id":"sc-7.4.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(d)[2]"}],"prose":"duration of that need;"}],"links":[{"href":"#sc-7.4_smt.d","rel":"corresp","text":"SC-7(4)(d)"}]},{"id":"sc-7.4.e_obj","name":"objective","properties":[{"name":"label","value":"SC-7(4)(e)"}],"parts":[{"id":"sc-7.4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(e)[1]"}],"prose":"defines a frequency to review exceptions to traffic flow policy;"},{"id":"sc-7.4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(e)[2]"}],"prose":"reviews exceptions to the traffic flow policy with the organization-defined\n frequency; and"},{"id":"sc-7.4.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(e)[3]"}],"prose":"removes traffic flow policy exceptions that are no longer supported by an\n explicit mission/business need"}],"links":[{"href":"#sc-7.4_smt.e","rel":"corresp","text":"SC-7(4)(e)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\ntraffic flow policy\\n\\ninformation flow control policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system security architecture\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of traffic flow policy exceptions\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for documenting and reviewing exceptions to the\n traffic flow policy\\n\\norganizational processes for removing exceptions to the traffic flow policy\\n\\nautomated mechanisms implementing boundary protection capability\\n\\nmanaged interfaces implementing traffic flow policy"}]}]},{"id":"sc-7.5","class":"SP800-53-enhancement","title":"Deny by Default / Allow by Exception","properties":[{"name":"label","value":"SC-7(5)"},{"name":"sort-id","value":"sc-07.05"}],"parts":[{"id":"sc-7.5_smt","name":"statement","prose":"The information system at managed interfaces denies network communications traffic\n by default and allows network communications traffic by exception (i.e., deny all,\n permit by exception)."},{"id":"sc-7.5_gdn","name":"guidance","prose":"This control enhancement applies to both inbound and outbound network\n communications traffic. A deny-all, permit-by-exception network communications\n traffic policy ensures that only those connections which are essential and\n approved are allowed."},{"id":"sc-7.5_obj","name":"objective","prose":"Determine if the information system, at managed interfaces:","parts":[{"id":"sc-7.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(5)[1]"}],"prose":"denies network traffic by default; and"},{"id":"sc-7.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(5)[2]"}],"prose":"allows network traffic by exception."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing traffic management at managed interfaces"}]}]},{"id":"sc-7.7","class":"SP800-53-enhancement","title":"Prevent Split Tunneling for Remote Devices","properties":[{"name":"label","value":"SC-7(7)"},{"name":"sort-id","value":"sc-07.07"}],"parts":[{"id":"sc-7.7_smt","name":"statement","prose":"The information system, in conjunction with a remote device, prevents the device\n from simultaneously establishing non-remote connections with the system and\n communicating via some other connection to resources in external networks."},{"id":"sc-7.7_gdn","name":"guidance","prose":"This control enhancement is implemented within remote devices (e.g., notebook\n computers) through configuration settings to disable split tunneling in those\n devices, and by preventing those configuration settings from being readily\n configurable by users. This control enhancement is implemented within the\n information system by the detection of split tunneling (or of configuration\n settings that allow split tunneling) in the remote device, and by prohibiting the\n connection if the remote device is using split tunneling. Split tunneling might be\n desirable by remote users to communicate with local information system resources\n such as printers/file servers. However, split tunneling would in effect allow\n unauthorized external connections, making the system more vulnerable to attack and\n to exfiltration of organizational information. The use of VPNs for remote\n connections, when adequately provisioned with appropriate security controls, may\n provide the organization with sufficient assurance that it can effectively treat\n such connections as non-remote connections from the confidentiality and integrity\n perspective. VPNs thus provide a means for allowing non-remote communications\n paths from remote devices. The use of an adequately provisioned VPN does not\n eliminate the need for preventing split tunneling."},{"id":"sc-7.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system, in conjunction with a remote device, prevents\n the device from simultaneously establishing non-remote connections with the system\n and communicating via some other connection to resources in external networks."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms supporting/restricting non-remote connections"}]}]},{"id":"sc-7.8","class":"SP800-53-enhancement","title":"Route Traffic to Authenticated Proxy Servers","parameters":[{"id":"sc-7.8_prm_1","label":"organization-defined internal communications traffic"},{"id":"sc-7.8_prm_2","label":"organization-defined external networks"}],"properties":[{"name":"label","value":"SC-7(8)"},{"name":"sort-id","value":"sc-07.08"}],"parts":[{"id":"sc-7.8_smt","name":"statement","prose":"The information system routes {{ sc-7.8_prm_1 }} to {{ sc-7.8_prm_2 }} through authenticated proxy servers at managed\n interfaces."},{"id":"sc-7.8_gdn","name":"guidance","prose":"External networks are networks outside of organizational control. A proxy server\n is a server (i.e., information system or application) that acts as an intermediary\n for clients requesting information system resources (e.g., files, connections, web\n pages, or services) from other organizational servers. Client requests established\n through an initial connection to the proxy server are evaluated to manage\n complexity and to provide additional protection by limiting direct connectivity.\n Web content filtering devices are one of the most common proxy servers providing\n access to the Internet. Proxy servers support logging individual Transmission\n Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators\n (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be\n configured with organization-defined lists of authorized and unauthorized\n websites.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"sc-7.8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-7.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(8)[1]"}],"prose":"the organization defines internal communications traffic to be routed to\n external networks;"},{"id":"sc-7.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(8)[2]"}],"prose":"the organization defines external networks to which organization-defined\n internal communications traffic is to be routed; and"},{"id":"sc-7.8_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(8)[3]"}],"prose":"the information system routes organization-defined internal communications\n traffic to organization-defined external networks through authenticated proxy\n servers at managed interfaces."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing traffic management through authenticated\n proxy servers at managed interfaces"}]}]},{"id":"sc-7.10","class":"SP800-53-enhancement","title":"Prevent Unauthorized Exfiltration","properties":[{"name":"label","value":"SC-7(10)"},{"name":"sort-id","value":"sc-07.10"}],"parts":[{"id":"sc-7.10_smt","name":"statement","prose":"The organization prevents the unauthorized exfiltration of information across\n managed interfaces."},{"id":"sc-7.10_gdn","name":"guidance","prose":"Safeguards implemented by organizations to prevent unauthorized exfiltration of\n information from information systems include, for example: (i) strict adherence to\n protocol formats; (ii) monitoring for beaconing from information systems; (iii)\n monitoring for steganography; (iv) disconnecting external network interfaces\n except when explicitly needed; (v) disassembling and reassembling packet headers;\n and (vi) employing traffic profile analysis to detect deviations from the\n volume/types of traffic expected within organizations or call backs to command and\n control centers. Devices enforcing strict adherence to protocol formats include,\n for example, deep packet inspection firewalls and XML gateways. These devices\n verify adherence to protocol formats and specification at the application layer\n and serve to identify vulnerabilities that cannot be detected by devices operating\n at the network or transport layers. This control enhancement is closely associated\n with cross-domain solutions and system guards enforcing information flow\n requirements.","links":[{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"sc-7.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization prevents the unauthorized exfiltration of\n information across managed interfaces."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability\\n\\npreventing unauthorized exfiltration of information across managed\n interfaces"}]}]},{"id":"sc-7.12","class":"SP800-53-enhancement","title":"Host-based Protection","parameters":[{"id":"sc-7.12_prm_1","label":"organization-defined host-based boundary protection mechanisms","constraints":[{"detail":"Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall"}]},{"id":"sc-7.12_prm_2","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"SC-7(12)"},{"name":"sort-id","value":"sc-07.12"}],"parts":[{"id":"sc-7.12_smt","name":"statement","prose":"The organization implements {{ sc-7.12_prm_1 }} at {{ sc-7.12_prm_2 }}."},{"id":"sc-7.12_gdn","name":"guidance","prose":"Host-based boundary protection mechanisms include, for example, host-based\n firewalls. Information system components employing host-based boundary protection\n mechanisms include, for example, servers, workstations, and mobile devices."},{"id":"sc-7.12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(12)[1]"}],"prose":"defines host-based boundary protection mechanisms;"},{"id":"sc-7.12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(12)[2]"}],"prose":"defines information system components where organization-defined host-based\n boundary protection mechanisms are to be implemented; and"},{"id":"sc-7.12_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(12)[3]"}],"prose":"implements organization-defined host-based boundary protection mechanisms at\n organization-defined information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities\\n\\ninformation system users"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing host-based boundary protection\n capabilities"}]}]},{"id":"sc-7.13","class":"SP800-53-enhancement","title":"Isolation of Security Tools / Mechanisms / Support Components","parameters":[{"id":"sc-7.13_prm_1","label":"organization-defined information security tools, mechanisms, and support\n components"}],"properties":[{"name":"label","value":"SC-7(13)"},{"name":"sort-id","value":"sc-07.13"}],"parts":[{"id":"sc-7.13_smt","name":"statement","prose":"The organization isolates {{ sc-7.13_prm_1 }} from other internal\n information system components by implementing physically separate subnetworks with\n managed interfaces to other components of the system.","parts":[{"id":"sc-7.13_fr","name":"item","title":"SC-7 (13) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-7.13_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets."},{"id":"sc-7.13_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc."}]}]},{"id":"sc-7.13_gdn","name":"guidance","prose":"Physically separate subnetworks with managed interfaces are useful, for example,\n in isolating computer network defenses from critical operational processing\n networks to prevent adversaries from discovering the analysis and forensics\n techniques of organizations.","links":[{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-7.13_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(13)[1]"}],"prose":"defines information security tools, mechanisms, and support components to be\n isolated from other internal information system components; and"},{"id":"sc-7.13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(13)[2]"}],"prose":"isolates organization-defined information security tools, mechanisms, and\n support components from other internal information system components by\n implementing physically separate subnetworks with managed interfaces to other\n components of the system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security tools and support components to be isolated from other\n internal information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing isolation of information\n security tools, mechanisms, and support components"}]}]},{"id":"sc-7.18","class":"SP800-53-enhancement","title":"Fail Secure","properties":[{"name":"label","value":"SC-7(18)"},{"name":"sort-id","value":"sc-07.18"}],"parts":[{"id":"sc-7.18_smt","name":"statement","prose":"The information system fails securely in the event of an operational failure of a\n boundary protection device."},{"id":"sc-7.18_gdn","name":"guidance","prose":"Fail secure is a condition achieved by employing information system mechanisms to\n ensure that in the event of operational failures of boundary protection devices at\n managed interfaces (e.g., routers, firewalls, guards, and application gateways\n residing on protected subnetworks commonly referred to as demilitarized zones),\n information systems do not enter into unsecure states where intended security\n properties no longer hold. Failures of boundary protection devices cannot lead to,\n or cause information external to the devices to enter the devices, nor can\n failures permit unauthorized information releases.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"sc-7.18_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system fails securely in the event of an operational\n failure of a boundary protection device."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing secure failure"}]}]},{"id":"sc-7.20","class":"SP800-53-enhancement","title":"Dynamic Isolation / Segregation","parameters":[{"id":"sc-7.20_prm_1","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"SC-7(20)"},{"name":"sort-id","value":"sc-07.20"}],"parts":[{"id":"sc-7.20_smt","name":"statement","prose":"The information system provides the capability to dynamically isolate/segregate\n {{ sc-7.20_prm_1 }} from other components of the system."},{"id":"sc-7.20_gdn","name":"guidance","prose":"The capability to dynamically isolate or segregate certain internal components of\n organizational information systems is useful when it is necessary to partition or\n separate certain components of dubious origin from those components possessing\n greater trustworthiness. Component isolation reduces the attack surface of\n organizational information systems. Isolation of selected information system\n components is also a means of limiting the damage from successful cyber attacks\n when those attacks occur."},{"id":"sc-7.20_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-7.20_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(20)[1]"}],"prose":"the organization defines information system components to be dynamically\n isolated/segregated from other components of the system; and"},{"id":"sc-7.20_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(20)[2]"}],"prose":"the information system provides the capability to dynamically isolate/segregate\n organization-defined information system components from other components of the\n system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components to be dynamically isolated/segregated\n from other components of the system\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the capability to\n dynamically isolate/segregate information system components"}]}]},{"id":"sc-7.21","class":"SP800-53-enhancement","title":"Isolation of Information System Components","parameters":[{"id":"sc-7.21_prm_1","label":"organization-defined information system components"},{"id":"sc-7.21_prm_2","label":"organization-defined missions and/or business functions"}],"properties":[{"name":"label","value":"SC-7(21)"},{"name":"sort-id","value":"sc-07.21"}],"parts":[{"id":"sc-7.21_smt","name":"statement","prose":"The organization employs boundary protection mechanisms to separate {{ sc-7.21_prm_1 }} supporting {{ sc-7.21_prm_2 }}."},{"id":"sc-7.21_gdn","name":"guidance","prose":"Organizations can isolate information system components performing different\n missions and/or business functions. Such isolation limits unauthorized information\n flows among system components and also provides the opportunity to deploy greater\n levels of protection for selected components. Separating system components with\n boundary protection mechanisms provides the capability for increased protection of\n individual components and to more effectively control information flows between\n those components. This type of enhanced protection limits the potential harm from\n cyber attacks and errors. The degree of separation provided varies depending upon\n the mechanisms chosen. Boundary protection mechanisms include, for example,\n routers, gateways, and firewalls separating system components into physically\n separate networks or subnetworks, cross-domain devices separating subnetworks,\n virtualization techniques, and encrypting information flows among system\n components using distinct encryption keys.","links":[{"href":"#ca-9","rel":"related","text":"CA-9"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-7.21_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.21_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(21)[1]"}],"prose":"defines information system components to be separated by boundary protection\n mechanisms;"},{"id":"sc-7.21_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(21)[2]"}],"prose":"defines missions and/or business functions to be supported by\n organization-defined information system components separated by boundary\n protection mechanisms; and"},{"id":"sc-7.21_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(21)[3]"}],"prose":"employs boundary protection mechanisms to separate organization-defined\n information system components supporting organization-defined missions and/or\n business functions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\nenterprise architecture documentation\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the capability to separate\n information system components supporting organizational missions and/or\n business functions"}]}]}]},{"id":"sc-8","class":"SP800-53","title":"Transmission Confidentiality and Integrity","parameters":[{"id":"sc-8_prm_1","constraints":[{"detail":"confidentiality AND integrity"}]}],"properties":[{"name":"label","value":"SC-8"},{"name":"sort-id","value":"sc-08"}],"links":[{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#f2dbd4ec-c413-4714-b85b-6b7184d1c195","rel":"reference","text":"FIPS Publication 197"},{"href":"#90c5bc98-f9c4-44c9-98b7-787422f0999c","rel":"reference","text":"NIST Special Publication 800-52"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"},{"href":"#349fe082-502d-464a-aa0c-1443c6a5cf40","rel":"reference","text":"NIST Special Publication 800-113"},{"href":"#a4aa9645-9a8a-4b51-90a9-e223250f9a75","rel":"reference","text":"CNSS Policy 15"},{"href":"#06dff0ea-3848-4945-8d91-e955ee69f05d","rel":"reference","text":"NSTISSI No. 7003"}],"parts":[{"id":"sc-8_smt","name":"statement","prose":"The information system protects the {{ sc-8_prm_1 }} of transmitted\n information."},{"id":"sc-8_gdn","name":"guidance","prose":"This control applies to both internal and external networks and all types of\n information system components from which information can be transmitted (e.g.,\n servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile\n machines). Communication paths outside the physical protection of a controlled\n boundary are exposed to the possibility of interception and modification. Protecting\n the confidentiality and/or integrity of organizational information can be\n accomplished by physical means (e.g., by employing protected distribution systems) or\n by logical means (e.g., employing encryption techniques). Organizations relying on\n commercial providers offering transmission services as commodity services rather than\n as fully dedicated services (i.e., services which can be highly specialized to\n individual customer needs), may find it difficult to obtain the necessary assurances\n regarding the implementation of needed security controls for transmission\n confidentiality/integrity. In such situations, organizations determine what types of\n confidentiality/integrity services are available in standard, commercial\n telecommunication service packages. If it is infeasible or impractical to obtain the\n necessary security controls and assurances of control effectiveness through\n appropriate contracting vehicles, organizations implement appropriate compensating\n security controls or explicitly accept the additional risk.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#pe-4","rel":"related","text":"PE-4"}]},{"id":"sc-8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system protects one or more of the following:","parts":[{"id":"sc-8_obj.1","name":"objective","properties":[{"name":"label","value":"SC-8[1]"}],"prose":"confidentiality of transmitted information; and/or"},{"id":"sc-8_obj.2","name":"objective","properties":[{"name":"label","value":"SC-8[2]"}],"prose":"integrity of transmitted information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing transmission confidentiality\n and/or integrity"}]}],"controls":[{"id":"sc-8.1","class":"SP800-53-enhancement","title":"Cryptographic or Alternate Physical Protection","parameters":[{"id":"sc-8.1_prm_1","constraints":[{"detail":"prevent unauthorized disclosure of information AND detect changes to information"}]},{"id":"sc-8.1_prm_2","label":"organization-defined alternative physical safeguards","constraints":[{"detail":"a hardened or alarmed carrier Protective Distribution System (PDS)"}]}],"properties":[{"name":"label","value":"SC-8(1)"},{"name":"sort-id","value":"sc-08.01"}],"parts":[{"id":"sc-8.1_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to {{ sc-8.1_prm_1 }} during transmission unless otherwise protected by\n {{ sc-8.1_prm_2 }}."},{"id":"sc-8.1_gdn","name":"guidance","prose":"Encrypting information for transmission protects information from unauthorized\n disclosure and modification. Cryptographic mechanisms implemented to protect\n information integrity include, for example, cryptographic hash functions which\n have common application in digital signatures, checksums, and message\n authentication codes. Alternative physical security safeguards include, for\n example, protected distribution systems.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"sc-8.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-8(1)[1]"}],"prose":"the organization defines physical safeguards to be implemented to protect\n information during transmission when cryptographic mechanisms are not\n implemented; and"},{"id":"sc-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-8(1)[2]"}],"prose":"the information system implements cryptographic mechanisms to do one or more of\n the following during transmission unless otherwise protected by\n organization-defined alternative physical safeguards:","parts":[{"id":"sc-8.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SC-8(1)[2][a]"}],"prose":"prevent unauthorized disclosure of information; and/or"},{"id":"sc-8.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SC-8(1)[2][b]"}],"prose":"detect changes to information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms supporting and/or implementing transmission\n confidentiality and/or integrity\\n\\nautomated mechanisms supporting and/or implementing alternative physical\n safeguards\\n\\norganizational processes for defining and implementing alternative physical\n safeguards"}]}]}]},{"id":"sc-10","class":"SP800-53","title":"Network Disconnect","parameters":[{"id":"sc-10_prm_1","label":"organization-defined time period","constraints":[{"detail":"no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions"}]}],"properties":[{"name":"label","value":"SC-10"},{"name":"sort-id","value":"sc-10"}],"parts":[{"id":"sc-10_smt","name":"statement","prose":"The information system terminates the network connection associated with a\n communications session at the end of the session or after {{ sc-10_prm_1 }} of inactivity."},{"id":"sc-10_gdn","name":"guidance","prose":"This control applies to both internal and external networks. Terminating network\n connections associated with communications sessions include, for example,\n de-allocating associated TCP/IP address/port pairs at the operating system level, or\n de-allocating networking assignments at the application level if multiple application\n sessions are using a single, operating system-level network connection. Time periods\n of inactivity may be established by organizations and include, for example, time\n periods by type of network access or for specific network accesses."},{"id":"sc-10_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-10[1]"}],"prose":"the organization defines a time period of inactivity after which the information\n system terminates a network connection associated with a communications session;\n and"},{"id":"sc-10_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-10[2]"}],"prose":"the information system terminates the network connection associated with a\n communication session at the end of the session or after the organization-defined\n time period of inactivity."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing network disconnect\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing network disconnect\n capability"}]}]},{"id":"sc-12","class":"SP800-53","title":"Cryptographic Key Establishment and Management","parameters":[{"id":"sc-12_prm_1","label":"organization-defined requirements for key generation, distribution, storage,\n access, and destruction"}],"properties":[{"name":"label","value":"SC-12"},{"name":"sort-id","value":"sc-12"}],"links":[{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"}],"parts":[{"id":"sc-12_smt","name":"statement","prose":"The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}.","parts":[{"id":"sc-12_fr","name":"item","title":"SC-12 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Federally approved and validated cryptography."}]}]},{"id":"sc-12_gdn","name":"guidance","prose":"Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"sc-12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-12_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12[1]"}],"prose":"defines requirements for cryptographic key:","parts":[{"id":"sc-12_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-12[1][a]"}],"prose":"generation;"},{"id":"sc-12_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-12[1][b]"}],"prose":"distribution;"},{"id":"sc-12_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-12[1][c]"}],"prose":"storage;"},{"id":"sc-12_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-12[1][d]"}],"prose":"access;"},{"id":"sc-12_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-12[1][e]"}],"prose":"destruction; and"}]},{"id":"sc-12_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12[2]"}],"prose":"establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management"}]}],"controls":[{"id":"sc-12.1","class":"SP800-53-enhancement","title":"Availability","properties":[{"name":"label","value":"SC-12(1)"},{"name":"sort-id","value":"sc-12.01"}],"parts":[{"id":"sc-12.1_smt","name":"statement","prose":"The organization maintains availability of information in the event of the loss of\n cryptographic keys by users."},{"id":"sc-12.1_gdn","name":"guidance","prose":"Escrowing of encryption keys is a common practice for ensuring availability in the\n event of loss of keys (e.g., due to forgotten passphrase)."},{"id":"sc-12.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization maintains availability of information in the event\n of the loss of cryptographic keys by users."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment, management, and\n recovery\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management"}]}]},{"id":"sc-12.2","class":"SP800-53-enhancement","title":"Symmetric Keys","parameters":[{"id":"sc-12.2_prm_1","constraints":[{"detail":"NIST FIPS-compliant"}]}],"properties":[{"name":"label","value":"SC-12(2)"},{"name":"sort-id","value":"sc-12.02"}],"parts":[{"id":"sc-12.2_smt","name":"statement","prose":"The organization produces, controls, and distributes symmetric cryptographic keys\n using {{ sc-12.2_prm_1 }} key management technology and\n processes."},{"id":"sc-12.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization produces, controls, and distributes symmetric\n cryptographic keys using one of the following: ","parts":[{"id":"sc-12.2_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12(2)[1]"}],"prose":"NIST FIPS-compliant key management technology and processes; or"},{"id":"sc-12.2_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12(2)[2]"}],"prose":"NSA-approved key management technology and processes."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FIPS validated cryptographic products\\n\\nlist of NSA-approved cryptographic products\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing symmetric cryptographic key\n establishment and management"}]}]},{"id":"sc-12.3","class":"SP800-53-enhancement","title":"Asymmetric Keys","parameters":[{"id":"sc-12.3_prm_1"}],"properties":[{"name":"label","value":"SC-12(3)"},{"name":"sort-id","value":"sc-12.03"}],"parts":[{"id":"sc-12.3_smt","name":"statement","prose":"The organization produces, controls, and distributes asymmetric cryptographic keys\n using {{ sc-12.3_prm_1 }}."},{"id":"sc-12.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization produces, controls, and distributes asymmetric\n cryptographic keys using one of the following: ","parts":[{"id":"sc-12.3_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12(3)[1]"}],"prose":"NSA-approved key management technology and processes;"},{"id":"sc-12.3_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12(3)[2]"}],"prose":"approved PKI Class 3 certificates or prepositioned keying material; or"},{"id":"sc-12.3_obj.3","name":"objective","properties":[{"name":"label","value":"SC-12(3)[3]"}],"prose":"approved PKI Class 3 or Class 4 certificates and hardware security tokens that\n protect the user’s private key."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of NSA-approved cryptographic products\\n\\nlist of approved PKI Class 3 and Class 4 certificates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management\\n\\norganizational personnel with responsibilities for PKI certificates"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing asymmetric cryptographic\n key establishment and management"}]}]}]},{"id":"sc-13","class":"SP800-53","title":"Cryptographic Protection","parameters":[{"id":"sc-13_prm_1","label":"organization-defined cryptographic uses and type of cryptography required for\n each use","constraints":[{"detail":"FIPS-validated or NSA-approved cryptography"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-13"},{"name":"sort-id","value":"sc-13"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#6a1041fc-054e-4230-946b-2e6f4f3731bb","rel":"reference","text":"http://csrc.nist.gov/cryptval"},{"href":"#9b97ed27-3dd6-4f9a-ade5-1b43e9669794","rel":"reference","text":"http://www.cnss.gov"}],"parts":[{"id":"sc-13_smt","name":"statement","prose":"The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards."},{"id":"sc-13_gdn","name":"guidance","prose":"Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-7","rel":"related","text":"IA-7"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-28","rel":"related","text":"SC-28"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sc-13_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-13[1]"}],"prose":"the organization defines cryptographic uses; and"},{"id":"sc-13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-13[2]"}],"prose":"the organization defines the type of cryptography required for each use; and"},{"id":"sc-13_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-13[3]"}],"prose":"the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic protection"}]}]},{"id":"sc-15","class":"SP800-53","title":"Collaborative Computing Devices","parameters":[{"id":"sc-15_prm_1","label":"organization-defined exceptions where remote activation is to be allowed","constraints":[{"detail":"no exceptions"}]}],"properties":[{"name":"label","value":"SC-15"},{"name":"sort-id","value":"sc-15"}],"parts":[{"id":"sc-15_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-15_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and"},{"id":"sc-15_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides an explicit indication of use to users physically present at the\n devices."},{"id":"sc-15_fr","name":"item","title":"SC-15 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-15_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use."}]}]},{"id":"sc-15_gdn","name":"guidance","prose":"Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.","links":[{"href":"#ac-21","rel":"related","text":"AC-21"}]},{"id":"sc-15_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-15.a_obj","name":"objective","properties":[{"name":"label","value":"SC-15(a)"}],"parts":[{"id":"sc-15.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-15(a)[1]"}],"prose":"the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;"},{"id":"sc-15.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-15(a)[2]"}],"prose":"the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and"}]},{"id":"sc-15.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-15(b)"}],"prose":"the information system provides an explicit indication of use to users physically\n present at the devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices"}]}]},{"id":"sc-17","class":"SP800-53","title":"Public Key Infrastructure Certificates","parameters":[{"id":"sc-17_prm_1","label":"organization-defined certificate policy"}],"properties":[{"name":"label","value":"SC-17"},{"name":"sort-id","value":"sc-17"}],"links":[{"href":"#58ad6f27-af99-429f-86a8-8bb767b014b9","rel":"reference","text":"OMB Memorandum 05-24"},{"href":"#8f174e91-844e-4cf1-a72a-45c119a3a8dd","rel":"reference","text":"NIST Special Publication 800-32"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"}],"parts":[{"id":"sc-17_smt","name":"statement","prose":"The organization issues public key certificates under an {{ sc-17_prm_1 }} or obtains public key certificates from an approved\n service provider."},{"id":"sc-17_gdn","name":"guidance","prose":"For all certificates, organizations manage information system trust stores to ensure\n only approved trust anchors are in the trust stores. This control addresses both\n certificates with visibility external to organizational information systems and\n certificates related to the internal operations of systems, for example,\n application-specific time services.","links":[{"href":"#sc-12","rel":"related","text":"SC-12"}]},{"id":"sc-17_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-17_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-17[1]"}],"prose":"defines a certificate policy for issuing public key certificates;"},{"id":"sc-17_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-17[2]"}],"prose":"issues public key certificates:","parts":[{"id":"sc-17_obj.2.a","name":"objective","properties":[{"name":"label","value":"SC-17[2][a]"}],"prose":"under an organization-defined certificate policy: or"},{"id":"sc-17_obj.2.b","name":"objective","properties":[{"name":"label","value":"SC-17[2][b]"}],"prose":"obtains public key certificates from an approved service provider."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing public key infrastructure certificates\\n\\npublic key certificate policy or policies\\n\\npublic key issuing process\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for issuing public key\n certificates\\n\\nservice providers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the management of public key\n infrastructure certificates"}]}]},{"id":"sc-18","class":"SP800-53","title":"Mobile Code","properties":[{"name":"label","value":"SC-18"},{"name":"sort-id","value":"sc-18"}],"links":[{"href":"#e716cd51-d1d5-4c6a-967a-22e9fbbc42f1","rel":"reference","text":"NIST Special Publication 800-28"},{"href":"#e6522953-6714-435d-a0d3-140df554c186","rel":"reference","text":"DoD Instruction 8552.01"}],"parts":[{"id":"sc-18_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-18_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Defines acceptable and unacceptable mobile code and mobile code technologies;"},{"id":"sc-18_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes usage restrictions and implementation guidance for acceptable mobile\n code and mobile code technologies; and"},{"id":"sc-18_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Authorizes, monitors, and controls the use of mobile code within the information\n system."}]},{"id":"sc-18_gdn","name":"guidance","prose":"Decisions regarding the employment of mobile code within organizational information\n systems are based on the potential for the code to cause damage to the systems if\n used maliciously. Mobile code technologies include, for example, Java, JavaScript,\n ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage\n restrictions and implementation guidance apply to both the selection and use of\n mobile code installed on servers and mobile code downloaded and executed on\n individual workstations and devices (e.g., smart phones). Mobile code policy and\n procedures address preventing the development, acquisition, or introduction of\n unacceptable mobile code within organizational information systems.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"sc-18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-18.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-18(a)"}],"prose":"defines acceptable and unacceptable mobile code and mobile code technologies;"},{"id":"sc-18.b_obj","name":"objective","properties":[{"name":"label","value":"SC-18(b)"}],"parts":[{"id":"sc-18.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-18(b)[1]"}],"prose":"establishes usage restrictions for acceptable mobile code and mobile code\n technologies;"},{"id":"sc-18.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-18(b)[2]"}],"prose":"establishes implementation guidance for acceptable mobile code and mobile code\n technologies;"}]},{"id":"sc-18.c_obj","name":"objective","properties":[{"name":"label","value":"SC-18(c)"}],"parts":[{"id":"sc-18.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-18(c)[1]"}],"prose":"authorizes the use of mobile code within the information system;"},{"id":"sc-18.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-18(c)[2]"}],"prose":"monitors the use of mobile code within the information system; and"},{"id":"sc-18.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-18(c)[3]"}],"prose":"controls the use of mobile code within the information system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing mobile code\\n\\nmobile code usage restrictions, mobile code implementation policy and\n procedures\\n\\nlist of acceptable mobile code and mobile code technologies\\n\\nlist of unacceptable mobile code and mobile technologies\\n\\nauthorization records\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing mobile code"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for controlling, authorizing, monitoring, and restricting\n mobile code\\n\\nautomated mechanisms supporting and/or implementing the management of mobile\n code\\n\\nautomated mechanisms supporting and/or implementing the monitoring of mobile\n code"}]}]},{"id":"sc-19","class":"SP800-53","title":"Voice Over Internet Protocol","properties":[{"name":"label","value":"SC-19"},{"name":"sort-id","value":"sc-19"}],"links":[{"href":"#7783f3e7-09b3-478b-9aa2-4a76dfd0ea90","rel":"reference","text":"NIST Special Publication 800-58"}],"parts":[{"id":"sc-19_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-19_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions and implementation guidance for Voice over Internet\n Protocol (VoIP) technologies based on the potential to cause damage to the\n information system if used maliciously; and"},{"id":"sc-19_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes, monitors, and controls the use of VoIP within the information\n system."}]},{"id":"sc-19_gdn","name":"guidance","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-15","rel":"related","text":"SC-15"}]},{"id":"sc-19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-19.a_obj","name":"objective","properties":[{"name":"label","value":"SC-19(a)"}],"parts":[{"id":"sc-19.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-19(a)[1]"}],"prose":"establishes usage restrictions for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;"},{"id":"sc-19.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-19(a)[2]"}],"prose":"establishes implementation guidance for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;"}]},{"id":"sc-19.b_obj","name":"objective","properties":[{"name":"label","value":"SC-19(b)"}],"parts":[{"id":"sc-19.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-19(b)[1]"}],"prose":"authorizes the use of VoIP within the information system;"},{"id":"sc-19.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-19(b)[2]"}],"prose":"monitors the use of VoIP within the information system; and"},{"id":"sc-19.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-19(b)[3]"}],"prose":"controls the use of VoIP within the information system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing VoIP\\n\\nVoIP usage restrictions\\n\\nVoIP implementation guidance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing VoIP"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for authorizing, monitoring, and controlling VoIP\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling VoIP"}]}]},{"id":"sc-20","class":"SP800-53","title":"Secure Name / Address Resolution Service (authoritative Source)","properties":[{"name":"label","value":"SC-20"},{"name":"sort-id","value":"sc-20"}],"links":[{"href":"#28115a56-da6b-4d44-b1df-51dd7f048a3e","rel":"reference","text":"OMB Memorandum 08-23"},{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-20_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and"},{"id":"sc-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace."}]},{"id":"sc-20_gdn","name":"guidance","prose":"This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.","links":[{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-20_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-20.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-20(a)"}],"prose":"provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;"},{"id":"sc-20.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-20(b)"}],"prose":"provides the means to, when operating as part of a distributed, hierarchical\n namespace:","parts":[{"id":"sc-20.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-20(b)[1]"}],"prose":"indicate the security status of child zones; and"},{"id":"sc-20.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-20(b)[2]"}],"prose":"enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing secure name/address resolution\n service"}]}]},{"id":"sc-21","class":"SP800-53","title":"Secure Name / Address Resolution Service (recursive or Caching Resolver)","properties":[{"name":"label","value":"SC-21"},{"name":"sort-id","value":"sc-21"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-21_smt","name":"statement","prose":"The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources."},{"id":"sc-21_gdn","name":"guidance","prose":"Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.","links":[{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-21_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"sc-21_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-21[1]"}],"prose":"requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-21[2]"}],"prose":"requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-21[3]"}],"prose":"performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and"},{"id":"sc-21_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-21[4]"}],"prose":"performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services"}]}]},{"id":"sc-22","class":"SP800-53","title":"Architecture and Provisioning for Name / Address Resolution Service","properties":[{"name":"label","value":"SC-22"},{"name":"sort-id","value":"sc-22"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-22_smt","name":"statement","prose":"The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation."},{"id":"sc-22_gdn","name":"guidance","prose":"Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).","links":[{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"sc-22_obj","name":"objective","prose":"Determine if the information systems that collectively provide name/address\n resolution service for an organization: ","parts":[{"id":"sc-22_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-22[1]"}],"prose":"are fault tolerant; and"},{"id":"sc-22_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-22[2]"}],"prose":"implement internal/external role separation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation"}]}]},{"id":"sc-23","class":"SP800-53","title":"Session Authenticity","properties":[{"name":"label","value":"SC-23"},{"name":"sort-id","value":"sc-23"}],"links":[{"href":"#90c5bc98-f9c4-44c9-98b7-787422f0999c","rel":"reference","text":"NIST Special Publication 800-52"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#1ebdf782-d95d-4a7b-8ec7-ee860951eced","rel":"reference","text":"NIST Special Publication 800-95"}],"parts":[{"id":"sc-23_smt","name":"statement","prose":"The information system protects the authenticity of communications sessions."},{"id":"sc-23_gdn","name":"guidance","prose":"This control addresses communications protection at the session, versus packet level\n (e.g., sessions in service-oriented architectures providing web-based services) and\n establishes grounds for confidence at both ends of communications sessions in ongoing\n identities of other parties and in the validity of information transmitted.\n Authenticity protection includes, for example, protecting against man-in-the-middle\n attacks/session hijacking and the insertion of false information into sessions.","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-11","rel":"related","text":"SC-11"}]},{"id":"sc-23_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system protects the authenticity of communications\n sessions."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing session authenticity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing session authenticity"}]}],"controls":[{"id":"sc-23.1","class":"SP800-53-enhancement","title":"Invalidate Session Identifiers at Logout","properties":[{"name":"label","value":"SC-23(1)"},{"name":"sort-id","value":"sc-23.01"}],"parts":[{"id":"sc-23.1_smt","name":"statement","prose":"The information system invalidates session identifiers upon user logout or other\n session termination."},{"id":"sc-23.1_gdn","name":"guidance","prose":"This control enhancement curtails the ability of adversaries from capturing and\n continuing to employ previously valid session IDs."},{"id":"sc-23.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system invalidates session identifiers upon user\n logout or other session termination."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing session authenticity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing session identifier\n invalidation upon session termination"}]}]}]},{"id":"sc-24","class":"SP800-53","title":"Fail in Known State","parameters":[{"id":"sc-24_prm_1","label":"organization-defined known-state"},{"id":"sc-24_prm_2","label":"organization-defined types of failures"},{"id":"sc-24_prm_3","label":"organization-defined system state information"}],"properties":[{"name":"label","value":"SC-24"},{"name":"sort-id","value":"sc-24"}],"parts":[{"id":"sc-24_smt","name":"statement","prose":"The information system fails to a {{ sc-24_prm_1 }} for {{ sc-24_prm_2 }} preserving {{ sc-24_prm_3 }} in\n failure."},{"id":"sc-24_gdn","name":"guidance","prose":"Failure in a known state addresses security concerns in accordance with the\n mission/business needs of organizations. Failure in a known secure state helps to\n prevent the loss of confidentiality, integrity, or availability of information in the\n event of failures of organizational information systems or system components. Failure\n in a known safe state helps to prevent systems from failing to a state that may cause\n injury to individuals or destruction to property. Preserving information system state\n information facilitates system restart and return to the operational mode of\n organizations with less disruption of mission/business processes.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#cp-12","rel":"related","text":"CP-12"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-24_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-24_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-24[1]"}],"prose":"the organization defines a known-state to which the information system is to fail\n in the event of a system failure;"},{"id":"sc-24_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-24[2]"}],"prose":"the organization defines types of failures for which the information system is to\n fail to an organization-defined known-state;"},{"id":"sc-24_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-24[3]"}],"prose":"the organization defines system state information to be preserved in the event of\n a system failure;"},{"id":"sc-24_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-24[4]"}],"prose":"the information system fails to the organization-defined known-state for\n organization-defined types of failures; and"},{"id":"sc-24_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-24[5]"}],"prose":"the information system preserves the organization-defined system state information\n in the event of a system failure."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing information system failure to known state\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of failures requiring information system to fail in a known state\\n\\nstate information to be preserved in system failure\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fail-in-known state\n capability\\n\\nautomated mechanisms preserving system state information in the event of a system\n failure"}]}]},{"id":"sc-28","class":"SP800-53","title":"Protection of Information at Rest","parameters":[{"id":"sc-28_prm_1","constraints":[{"detail":"confidentiality AND integrity"}]},{"id":"sc-28_prm_2","label":"organization-defined information at rest"}],"properties":[{"name":"label","value":"SC-28"},{"name":"sort-id","value":"sc-28"}],"links":[{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"sc-28_smt","name":"statement","prose":"The information system protects the {{ sc-28_prm_1 }} of {{ sc-28_prm_2 }}.","parts":[{"id":"sc-28_fr","name":"item","title":"SC-28 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-28_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The organization supports the capability to use cryptographic mechanisms to protect information at rest."}]}]},{"id":"sc-28_gdn","name":"guidance","prose":"This control addresses the confidentiality and integrity of information at rest and\n covers user information and system information. Information at rest refers to the\n state of information when it is located on storage devices as specific components of\n information systems. System-related information requiring protection includes, for\n example, configurations or rule sets for firewalls, gateways, intrusion\n detection/prevention systems, filtering routers, and authenticator content.\n Organizations may employ different mechanisms to achieve confidentiality and\n integrity protections, including the use of cryptographic mechanisms and file share\n scanning. Integrity protection can be achieved, for example, by implementing\n Write-Once-Read-Many (WORM) technologies. Organizations may also employ other\n security controls including, for example, secure off-line storage in lieu of online\n storage when adequate protection of information at rest cannot otherwise be achieved\n and/or continuous monitoring to identify malicious code at rest.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sc-28_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-28_obj.1","name":"objective","properties":[{"name":"label","value":"SC-28[1]"}],"prose":"the organization defines information at rest requiring one or more of the\n following:","parts":[{"id":"sc-28_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-28[1][a]"}],"prose":"confidentiality protection; and/or"},{"id":"sc-28_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-28[1][b]"}],"prose":"integrity protection;"}]},{"id":"sc-28_obj.2","name":"objective","properties":[{"name":"label","value":"SC-28[2]"}],"prose":"the information system protects:","parts":[{"id":"sc-28_obj.2.a","name":"objective","properties":[{"name":"label","value":"SC-28[2][a]"}],"prose":"the confidentiality of organization-defined information at rest; and/or"},{"id":"sc-28_obj.2.b","name":"objective","properties":[{"name":"label","value":"SC-28[2][b]"}],"prose":"the integrity of organization-defined information at rest."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\nlist of information at rest requiring confidentiality and integrity\n protections\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing confidentiality and integrity\n protections for information at rest"}]}],"controls":[{"id":"sc-28.1","class":"SP800-53-enhancement","title":"Cryptographic Protection","parameters":[{"id":"sc-28.1_prm_1","label":"organization-defined information"},{"id":"sc-28.1_prm_2","label":"organization-defined information system components","constraints":[{"detail":"all information system components storing customer data deemed sensitive"}]}],"properties":[{"name":"label","value":"SC-28(1)"},{"name":"sort-id","value":"sc-28.01"}],"parts":[{"id":"sc-28.1_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to prevent unauthorized\n disclosure and modification of {{ sc-28.1_prm_1 }} on {{ sc-28.1_prm_2 }}."},{"id":"sc-28.1_gdn","name":"guidance","prose":"Selection of cryptographic mechanisms is based on the need to protect the\n confidentiality and integrity of organizational information. The strength of\n mechanism is commensurate with the security category and/or classification of the\n information. This control enhancement applies to significant concentrations of\n digital media in organizational areas designated for media storage and also to\n limited quantities of media generally associated with information system\n components in operational environments (e.g., portable storage devices, mobile\n devices). Organizations have the flexibility to either encrypt all information on\n storage devices (i.e., full disk encryption) or encrypt specific data structures\n (e.g., files, records, or fields). Organizations employing cryptographic\n mechanisms to protect information at rest also consider cryptographic key\n management solutions.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#sc-12","rel":"related","text":"SC-12"}]},{"id":"sc-28.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-28.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-28(1)[1]"}],"prose":"the organization defines information requiring cryptographic protection;"},{"id":"sc-28.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-28(1)[2]"}],"prose":"the organization defines information system components with\n organization-defined information requiring cryptographic protection; and"},{"id":"sc-28.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-28(1)[3]"}],"prose":"the information system employs cryptographic mechanisms to prevent unauthorized\n disclosure and modification of organization-defined information on\n organization-defined information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms implementing confidentiality and integrity protections\n for information at rest"}]}]}]},{"id":"sc-39","class":"SP800-53","title":"Process Isolation","properties":[{"name":"label","value":"SC-39"},{"name":"sort-id","value":"sc-39"}],"parts":[{"id":"sc-39_smt","name":"statement","prose":"The information system maintains a separate execution domain for each executing\n process."},{"id":"sc-39_gdn","name":"guidance","prose":"Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-39_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system maintains a separate execution domain for each\n executing process."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Information system developers/integrators\\n\\ninformation system security architect"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process"}]}]}]},{"id":"si","class":"family","title":"System and Information Integrity","controls":[{"id":"si-1","class":"SP800-53","title":"System and Information Integrity Policy and Procedures","parameters":[{"id":"si-1_prm_1","label":"organization-defined personnel or roles"},{"id":"si-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"si-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually or whenever a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-1"},{"name":"sort-id","value":"si-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"si-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ si-1_prm_1 }}:","parts":[{"id":"si-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"si-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and"}]},{"id":"si-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"si-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and information integrity policy {{ si-1_prm_2 }};\n and"},{"id":"si-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and information integrity procedures {{ si-1_prm_3 }}."}]}]},{"id":"si-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"si-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-1.a_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)"}],"parts":[{"id":"si-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)"}],"parts":[{"id":"si-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(1)[1]"}],"prose":"develops and documents a system and information integrity policy that\n addresses:","parts":[{"id":"si-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"si-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"si-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"si-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"si-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"si-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"si-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"si-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;"},{"id":"si-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-1(a)(1)[3]"}],"prose":"disseminates the system and information integrity policy to\n organization-defined personnel or roles;"}]},{"id":"si-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)"}],"parts":[{"id":"si-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;"},{"id":"si-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"si-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"si-1.b_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)"}],"parts":[{"id":"si-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(1)"}],"parts":[{"id":"si-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity policy;"},{"id":"si-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(1)[2]"}],"prose":"reviews and updates the current system and information integrity policy with\n the organization-defined frequency;"}]},{"id":"si-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(2)"}],"parts":[{"id":"si-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity procedures; and"},{"id":"si-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(2)[2]"}],"prose":"reviews and updates the current system and information integrity procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"si-2","class":"SP800-53","title":"Flaw Remediation","parameters":[{"id":"si-2_prm_1","label":"organization-defined time period","constraints":[{"detail":"thirty (30) days of release of updates"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-2"},{"name":"sort-id","value":"si-02"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"si-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies, reports, and corrects information system flaws;"},{"id":"si-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;"},{"id":"si-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and"},{"id":"si-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Incorporates flaw remediation into the organizational configuration management\n process."}]},{"id":"si-2_gdn","name":"guidance","prose":"Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"si-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.a_obj","name":"objective","properties":[{"name":"label","value":"SI-2(a)"}],"parts":[{"id":"si-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[1]"}],"prose":"identifies information system flaws;"},{"id":"si-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[2]"}],"prose":"reports information system flaws;"},{"id":"si-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[3]"}],"prose":"corrects information system flaws;"}]},{"id":"si-2.b_obj","name":"objective","properties":[{"name":"label","value":"SI-2(b)"}],"parts":[{"id":"si-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(b)[1]"}],"prose":"tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;"},{"id":"si-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(b)[2]"}],"prose":"tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;"}]},{"id":"si-2.c_obj","name":"objective","properties":[{"name":"label","value":"SI-2(c)"}],"parts":[{"id":"si-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(c)[1]"}],"prose":"defines the time period within which to install security-relevant software\n updates after the release of the updates;"},{"id":"si-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(c)[2]"}],"prose":"defines the time period within which to install security-relevant firmware\n updates after the release of the updates;"},{"id":"si-2.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(c)[3]"}],"prose":"installs software updates within the organization-defined time period of the\n release of the updates;"},{"id":"si-2.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(c)[4]"}],"prose":"installs firmware updates within the organization-defined time period of the\n release of the updates; and"}]},{"id":"si-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(d)"}],"prose":"incorporates flaw remediation into the organizational configuration management\n process."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates"}]}],"controls":[{"id":"si-2.1","class":"SP800-53-enhancement","title":"Central Management","properties":[{"name":"label","value":"SI-2(1)"},{"name":"sort-id","value":"si-02.01"}],"parts":[{"id":"si-2.1_smt","name":"statement","prose":"The organization centrally manages the flaw remediation process."},{"id":"si-2.1_gdn","name":"guidance","prose":"Central management is the organization-wide management and implementation of flaw\n remediation processes. Central management includes planning, implementing,\n assessing, authorizing, and monitoring the organization-defined, centrally managed\n flaw remediation security controls."},{"id":"si-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization centrally manages the flaw remediation process."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nautomated mechanisms supporting centralized management of flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for central management of the flaw remediation\n process\\n\\nautomated mechanisms supporting and/or implementing central management of the\n flaw remediation process"}]}]},{"id":"si-2.2","class":"SP800-53-enhancement","title":"Automated Flaw Remediation Status","parameters":[{"id":"si-2.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-2(2)"},{"name":"sort-id","value":"si-02.02"}],"parts":[{"id":"si-2.2_smt","name":"statement","prose":"The organization employs automated mechanisms {{ si-2.2_prm_1 }} to\n determine the state of information system components with regard to flaw\n remediation."},{"id":"si-2.2_gdn","name":"guidance","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"si-2.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(2)[1]"}],"prose":"defines a frequency to employ automated mechanisms to determine the state of\n information system components with regard to flaw remediation; and"},{"id":"si-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(2)[2]"}],"prose":"employs automated mechanisms with the organization-defined frequency to\n determine the state of information system components with regard to flaw\n remediation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nautomated mechanisms supporting centralized management of flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms used to determine the state of information system\n components with regard to flaw remediation"}]}]},{"id":"si-2.3","class":"SP800-53-enhancement","title":"Time to Remediate Flaws / Benchmarks for Corrective Actions","parameters":[{"id":"si-2.3_prm_1","label":"organization-defined benchmarks"}],"properties":[{"name":"label","value":"SI-2(3)"},{"name":"sort-id","value":"si-02.03"}],"parts":[{"id":"si-2.3_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-2.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Measures the time between flaw identification and flaw remediation; and"},{"id":"si-2.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Establishes {{ si-2.3_prm_1 }} for taking corrective\n actions."}]},{"id":"si-2.3_gdn","name":"guidance","prose":"This control enhancement requires organizations to determine the current time it\n takes on the average to correct information system flaws after such flaws have\n been identified, and subsequently establish organizational benchmarks (i.e., time\n frames) for taking corrective actions. Benchmarks can be established by type of\n flaw and/or severity of the potential vulnerability if the flaw can be\n exploited."},{"id":"si-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(3)(a)"}],"prose":"measures the time between flaw identification and flaw remediation;","links":[{"href":"#si-2.3_smt.a","rel":"corresp","text":"SI-2(3)(a)"}]},{"id":"si-2.3.b_obj","name":"objective","properties":[{"name":"label","value":"SI-2(3)(b)"}],"parts":[{"id":"si-2.3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(3)(b)[1]"}],"prose":"defines benchmarks for taking corrective actions; and"},{"id":"si-2.3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(3)(b)[2]"}],"prose":"establishes organization-defined benchmarks for taking corrective\n actions."}],"links":[{"href":"#si-2.3_smt.b","rel":"corresp","text":"SI-2(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of benchmarks for taking corrective action on flaws identified\\n\\nrecords providing time stamps of flaw identification and subsequent flaw\n remediation activities\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\nautomated mechanisms used to measure the time between flaw identification and\n flaw remediation"}]}]}]},{"id":"si-3","class":"SP800-53","title":"Malicious Code Protection","parameters":[{"id":"si-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"si-3_prm_2","constraints":[{"detail":"to include endpoints"}]},{"id":"si-3_prm_3","constraints":[{"detail":"to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime"}]},{"id":"si-3_prm_4","depends-on":"si-3_prm_3","label":"organization-defined action"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-3"},{"name":"sort-id","value":"si-03"}],"links":[{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"}],"parts":[{"id":"si-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;"},{"id":"si-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;"},{"id":"si-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Configures malicious code protection mechanisms to:","parts":[{"id":"si-3_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and"},{"id":"si-3_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"\n {{ si-3_prm_3 }} in response to malicious code detection;\n and"}]},{"id":"si-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system."}]},{"id":"si-3_gdn","name":"guidance","prose":"Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-13","rel":"related","text":"SA-13"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-44","rel":"related","text":"SC-44"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(a)"}],"prose":"employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:","parts":[{"id":"si-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-3(a)[1]"}],"prose":"entry points;"},{"id":"si-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-3(a)[2]"}],"prose":"exit points;"}]},{"id":"si-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(b)"}],"prose":"updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);"},{"id":"si-3.c_obj","name":"objective","properties":[{"name":"label","value":"SI-3(c)"}],"parts":[{"id":"si-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-3(c)[1]"}],"prose":"defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;"},{"id":"si-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-3(c)[2]"}],"prose":"defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;"},{"id":"si-3.c_obj.3","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3]"}],"parts":[{"id":"si-3.c.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(c)[3](1)"}],"prose":"configures malicious code protection mechanisms to:","parts":[{"id":"si-3.c.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[a]"}],"prose":"perform periodic scans of the information system with the\n organization-defined frequency;"},{"id":"si-3.c.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[b]"}],"prose":"perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;"}]},{"id":"si-3.c.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(c)[3](2)"}],"prose":"configures malicious code protection mechanisms to do one or more of the\n following:","parts":[{"id":"si-3.c.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[a]"}],"prose":"block malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[b]"}],"prose":"quarantine malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[c]"}],"prose":"send alert to administrator in response to malicious code detection;\n and/or"},{"id":"si-3.c.2_obj.3.d","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[d]"}],"prose":"initiate organization-defined action in response to malicious code\n detection;"}]}]}]},{"id":"si-3.d_obj","name":"objective","properties":[{"name":"label","value":"SI-3(d)"}],"parts":[{"id":"si-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(d)[1]"}],"prose":"addresses the receipt of false positives during malicious code detection and\n eradication; and"},{"id":"si-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(d)[2]"}],"prose":"addresses the resulting potential impact on the availability of the information\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions"}]}],"controls":[{"id":"si-3.1","class":"SP800-53-enhancement","title":"Central Management","properties":[{"name":"label","value":"SI-3(1)"},{"name":"sort-id","value":"si-03.01"}],"parts":[{"id":"si-3.1_smt","name":"statement","prose":"The organization centrally manages malicious code protection mechanisms."},{"id":"si-3.1_gdn","name":"guidance","prose":"Central management is the organization-wide management and implementation of\n malicious code protection mechanisms. Central management includes planning,\n implementing, assessing, authorizing, and monitoring the organization-defined,\n centrally managed flaw malicious code protection security controls.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#si-8","rel":"related","text":"SI-8"}]},{"id":"si-3.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization centrally manages malicious code protection\n mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for central management of malicious code protection\n mechanisms\\n\\nautomated mechanisms supporting and/or implementing central management of\n malicious code protection mechanisms"}]}]},{"id":"si-3.2","class":"SP800-53-enhancement","title":"Automatic Updates","properties":[{"name":"label","value":"SI-3(2)"},{"name":"sort-id","value":"si-03.02"}],"parts":[{"id":"si-3.2_smt","name":"statement","prose":"The information system automatically updates malicious code protection\n mechanisms."},{"id":"si-3.2_gdn","name":"guidance","prose":"Malicious code protection mechanisms include, for example, signature definitions.\n Due to information system integrity and availability concerns, organizations give\n careful consideration to the methodology used to carry out automatic updates.","links":[{"href":"#si-8","rel":"related","text":"SI-8"}]},{"id":"si-3.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system automatically updates malicious code\n protection mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing automatic updates to\n malicious code protection capability"}]}]},{"id":"si-3.7","class":"SP800-53-enhancement","title":"Nonsignature-based Detection","properties":[{"name":"label","value":"SI-3(7)"},{"name":"sort-id","value":"si-03.07"}],"parts":[{"id":"si-3.7_smt","name":"statement","prose":"The information system implements nonsignature-based malicious code detection\n mechanisms."},{"id":"si-3.7_gdn","name":"guidance","prose":"Nonsignature-based detection mechanisms include, for example, the use of\n heuristics to detect, analyze, and describe the characteristics or behavior of\n malicious code and to provide safeguards against malicious code for which\n signatures do not yet exist or for which existing signatures may not be effective.\n This includes polymorphic malicious code (i.e., code that changes signatures when\n it replicates). This control enhancement does not preclude the use of\n signature-based detection mechanisms."},{"id":"si-3.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements non signature-based malicious code\n detection mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\ninformation system design documentation\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing nonsignature-based\n malicious code protection capability"}]}]}]},{"id":"si-4","class":"SP800-53","title":"Information System Monitoring","parameters":[{"id":"si-4_prm_1","label":"organization-defined monitoring objectives"},{"id":"si-4_prm_2","label":"organization-defined techniques and methods"},{"id":"si-4_prm_3","label":"organization-defined information system monitoring information"},{"id":"si-4_prm_4","label":"organization-defined personnel or roles"},{"id":"si-4_prm_5"},{"id":"si-4_prm_6","depends-on":"si-4_prm_5","label":"organization-defined frequency"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4"},{"name":"sort-id","value":"si-04"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"si-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors the information system to detect:","parts":[{"id":"si-4_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and"},{"id":"si-4_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Unauthorized local, network, and remote connections;"}]},{"id":"si-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Identifies unauthorized use of the information system through {{ si-4_prm_2 }};"},{"id":"si-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Deploys monitoring devices:","parts":[{"id":"si-4_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Strategically within the information system to collect organization-determined\n essential information; and"},{"id":"si-4_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;"},{"id":"si-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and"},{"id":"si-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}."},{"id":"si-4_fr","name":"item","title":"SI-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"si-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See US-CERT Incident Response Reporting Guidelines."}]}]},{"id":"si-4_gdn","name":"guidance","prose":"Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-35","rel":"related","text":"SC-35"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.a_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)"}],"parts":[{"id":"si-4.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)"}],"parts":[{"id":"si-4.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(a)(1)[1]"}],"prose":"defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;"},{"id":"si-4.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(a)(1)[2]"}],"prose":"monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:","parts":[{"id":"si-4.a.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][a]"}],"prose":"attacks;"},{"id":"si-4.a.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][b]"}],"prose":"indicators of potential attacks;"}]}]},{"id":"si-4.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(a)(2)"}],"prose":"monitors the information system to detect unauthorized:","parts":[{"id":"si-4.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[1]"}],"prose":"local connections;"},{"id":"si-4.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[2]"}],"prose":"network connections;"},{"id":"si-4.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[3]"}],"prose":"remote connections;"}]}]},{"id":"si-4.b_obj","name":"objective","properties":[{"name":"label","value":"SI-4(b)"}],"parts":[{"id":"si-4.b.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(b)(1)"}],"prose":"defines techniques and methods to identify unauthorized use of the information\n system;"},{"id":"si-4.b.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(b)(2)"}],"prose":"identifies unauthorized use of the information system through\n organization-defined techniques and methods;"}]},{"id":"si-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(c)"}],"prose":"deploys monitoring devices:","parts":[{"id":"si-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(c)[1]"}],"prose":"strategically within the information system to collect organization-determined\n essential information;"},{"id":"si-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(c)[2]"}],"prose":"at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(d)"}],"prose":"protects information obtained from intrusion-monitoring tools from\n unauthorized:","parts":[{"id":"si-4.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(d)[1]"}],"prose":"access;"},{"id":"si-4.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(d)[2]"}],"prose":"modification;"},{"id":"si-4.d_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(d)[3]"}],"prose":"deletion;"}]},{"id":"si-4.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(e)"}],"prose":"heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-4(f)"}],"prose":"obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;"},{"id":"si-4.g_obj","name":"objective","properties":[{"name":"label","value":"SI-4(g)"}],"parts":[{"id":"si-4.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[1]"}],"prose":"defines personnel or roles to whom information system monitoring information is\n to be provided;"},{"id":"si-4.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[2]"}],"prose":"defines information system monitoring information to be provided to\n organization-defined personnel or roles;"},{"id":"si-4.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[3]"}],"prose":"defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;"},{"id":"si-4.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(g)[4]"}],"prose":"provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:","parts":[{"id":"si-4.g_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][a]"}],"prose":"as needed; and/or"},{"id":"si-4.g_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][b]"}],"prose":"with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability"}]}],"controls":[{"id":"si-4.1","class":"SP800-53-enhancement","title":"System-wide Intrusion Detection System","properties":[{"name":"label","value":"SI-4(1)"},{"name":"sort-id","value":"si-04.01"}],"parts":[{"id":"si-4.1_smt","name":"statement","prose":"The organization connects and configures individual intrusion detection tools into\n an information system-wide intrusion detection system."},{"id":"si-4.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(1)[1]"}],"prose":"connects individual intrusion detection tools into an information system-wide\n intrusion detection system; and"},{"id":"si-4.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(1)[2]"}],"prose":"configures individual intrusion detection tools into an information system-wide\n intrusion detection system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability"}]}]},{"id":"si-4.2","class":"SP800-53-enhancement","title":"Automated Tools for Real-time Analysis","properties":[{"name":"label","value":"SI-4(2)"},{"name":"sort-id","value":"si-04.02"}],"parts":[{"id":"si-4.2_smt","name":"statement","prose":"The organization employs automated tools to support near real-time analysis of\n events."},{"id":"si-4.2_gdn","name":"guidance","prose":"Automated tools include, for example, host-based, network-based, transport-based,\n or storage-based event monitoring tools or Security Information and Event\n Management (SIEM) technologies that provide real time analysis of alerts and/or\n notifications generated by organizational information systems."},{"id":"si-4.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated tools to support near real-time\n analysis of events."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for incident\n response/management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for near real-time analysis of events\\n\\norganizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system\n monitoring\\n\\nautomated mechanisms/tools supporting and/or implementing analysis of\n events"}]}]},{"id":"si-4.4","class":"SP800-53-enhancement","title":"Inbound and Outbound Communications Traffic","parameters":[{"id":"si-4.4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"continuously"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4(4)"},{"name":"sort-id","value":"si-04.04"}],"parts":[{"id":"si-4.4_smt","name":"statement","prose":"The information system monitors inbound and outbound communications traffic\n {{ si-4.4_prm_1 }} for unusual or unauthorized activities or\n conditions."},{"id":"si-4.4_gdn","name":"guidance","prose":"Unusual/unauthorized activities or conditions related to information system\n inbound and outbound communications traffic include, for example, internal traffic\n that indicates the presence of malicious code within organizational information\n systems or propagating among system components, the unauthorized exporting of\n information, or signaling to external information systems. Evidence of malicious\n code is used to identify potentially compromised information systems or\n information system components."},{"id":"si-4.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(4)[1]"}],"prose":"defines a frequency to monitor:","parts":[{"id":"si-4.4_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-4(4)[1][a]"}],"prose":"inbound communications traffic for unusual or unauthorized activities or\n conditions;"},{"id":"si-4.4_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-4(4)[1][b]"}],"prose":"outbound communications traffic for unusual or unauthorized activities or\n conditions;"}]},{"id":"si-4.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(4)[2]"}],"prose":"monitors, with the organization-defined frequency:","parts":[{"id":"si-4.4_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(4)[2][a]"}],"prose":"inbound communications traffic for unusual or unauthorized activities or\n conditions; and"},{"id":"si-4.4_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(4)[2][b]"}],"prose":"outbound communications traffic for unusual or unauthorized activities or\n conditions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability/information system monitoring\\n\\nautomated mechanisms supporting and/or implementing monitoring of\n inbound/outbound communications traffic"}]}]},{"id":"si-4.5","class":"SP800-53-enhancement","title":"System-generated Alerts","parameters":[{"id":"si-4.5_prm_1","label":"organization-defined personnel or roles"},{"id":"si-4.5_prm_2","label":"organization-defined compromise indicators"}],"properties":[{"name":"label","value":"SI-4(5)"},{"name":"sort-id","value":"si-04.05"}],"parts":[{"id":"si-4.5_smt","name":"statement","prose":"The information system alerts {{ si-4.5_prm_1 }} when the following\n indications of compromise or potential compromise occur: {{ si-4.5_prm_2 }}.","parts":[{"id":"si-4.5_fr","name":"item","title":"SI-4 (5) Additional FedRAMP Requirements and Guidance","parts":[{"id":"si-4.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"In accordance with the incident response plan."}]}]},{"id":"si-4.5_gdn","name":"guidance","prose":"Alerts may be generated from a variety of sources, including, for example, audit\n records or inputs from malicious code protection mechanisms, intrusion detection\n or prevention mechanisms, or boundary protection devices such as firewalls,\n gateways, and routers. Alerts can be transmitted, for example, telephonically, by\n electronic mail messages, or by text messaging. Organizational personnel on the\n notification list can include, for example, system administrators,\n mission/business owners, system owners, or information system security\n officers.","links":[{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#pe-6","rel":"related","text":"PE-6"}]},{"id":"si-4.5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-4.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(5)[1]"}],"prose":"the organization defines compromise indicators for the information system;"},{"id":"si-4.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(5)[2]"}],"prose":"the organization defines personnel or roles to be alerted when indications of\n compromise or potential compromise occur; and"},{"id":"si-4.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(5)[3]"}],"prose":"the information system alerts organization-defined personnel or roles when\n organization-defined compromise indicators occur."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications generated based on compromise indicators\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing alerts for compromise\n indicators"}]}]},{"id":"si-4.11","class":"SP800-53-enhancement","title":"Analyze Communications Traffic Anomalies","parameters":[{"id":"si-4.11_prm_1","label":"organization-defined interior points within the system (e.g., subnetworks,\n subsystems)"}],"properties":[{"name":"label","value":"SI-4(11)"},{"name":"sort-id","value":"si-04.11"}],"parts":[{"id":"si-4.11_smt","name":"statement","prose":"The organization analyzes outbound communications traffic at the external boundary\n of the information system and selected {{ si-4.11_prm_1 }} to\n discover anomalies."},{"id":"si-4.11_gdn","name":"guidance","prose":"Anomalies within organizational information systems include, for example, large\n file transfers, long-time persistent connections, unusual protocols and ports in\n use, and attempted communications with suspected malicious external addresses."},{"id":"si-4.11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(11)[1]"}],"prose":"defines interior points within the system (e.g., subnetworks, subsystems) where\n communications traffic is to be analyzed;"},{"id":"si-4.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(11)[2]"}],"prose":"analyzes outbound communications traffic to discover anomalies at:","parts":[{"id":"si-4.11_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(11)[2][a]"}],"prose":"the external boundary of the information system; and"},{"id":"si-4.11_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(11)[2][b]"}],"prose":"selected organization-defined interior points within the system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nnetwork diagram\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing analysis of communications\n traffic"}]}]},{"id":"si-4.14","class":"SP800-53-enhancement","title":"Wireless Intrusion Detection","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4(14)"},{"name":"sort-id","value":"si-04.14"}],"parts":[{"id":"si-4.14_smt","name":"statement","prose":"The organization employs a wireless intrusion detection system to identify rogue\n wireless devices and to detect attack attempts and potential compromises/breaches\n to the information system."},{"id":"si-4.14_gdn","name":"guidance","prose":"Wireless signals may radiate beyond the confines of organization-controlled\n facilities. Organizations proactively search for unauthorized wireless connections\n including the conduct of thorough scans for unauthorized wireless access points.\n Scans are not limited to those areas within facilities containing information\n systems, but also include areas outside of facilities as needed, to verify that\n unauthorized wireless access points are not connected to the systems.","links":[{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-3","rel":"related","text":"IA-3"}]},{"id":"si-4.14_obj","name":"objective","prose":"Determine if the organization employs a wireless intrusion detection system\n to:","parts":[{"id":"si-4.14_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(14)[1]"}],"prose":"identify rogue wireless devices;"},{"id":"si-4.14_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(14)[2]"}],"prose":"detect attack attempts to the information system; and"},{"id":"si-4.14_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(14)[3]"}],"prose":"detect potential compromises/breaches to the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection\\n\\nautomated mechanisms supporting and/or implementing wireless intrusion\n detection capability"}]}]},{"id":"si-4.16","class":"SP800-53-enhancement","title":"Correlate Monitoring Information","properties":[{"name":"label","value":"SI-4(16)"},{"name":"sort-id","value":"si-04.16"}],"parts":[{"id":"si-4.16_smt","name":"statement","prose":"The organization correlates information from monitoring tools employed throughout\n the information system."},{"id":"si-4.16_gdn","name":"guidance","prose":"Correlating information from different monitoring tools can provide a more\n comprehensive view of information system activity. The correlation of monitoring\n tools that usually work in isolation (e.g., host monitoring, network monitoring,\n anti-virus software) can provide an organization-wide view and in so doing, may\n reveal otherwise unseen attack patterns. Understanding the\n capabilities/limitations of diverse monitoring tools and how to maximize the\n utility of information generated by those tools can help organizations to build,\n operate, and maintain effective monitoring programs.","links":[{"href":"#au-6","rel":"related","text":"AU-6"}]},{"id":"si-4.16_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization correlates information from monitoring tools\n employed throughout the information system."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nevent correlation logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing correlation of information\n from monitoring tools"}]}]},{"id":"si-4.18","class":"SP800-53-enhancement","title":"Analyze Traffic / Covert Exfiltration","parameters":[{"id":"si-4.18_prm_1","label":"organization-defined interior points within the system (e.g., subsystems,\n subnetworks)"}],"properties":[{"name":"label","value":"SI-4(18)"},{"name":"sort-id","value":"si-04.18"}],"parts":[{"id":"si-4.18_smt","name":"statement","prose":"The organization analyzes outbound communications traffic at the external boundary\n of the information system (i.e., system perimeter) and at {{ si-4.18_prm_1 }} to detect covert exfiltration of information."},{"id":"si-4.18_gdn","name":"guidance","prose":"Covert means that can be used for the unauthorized exfiltration of organizational\n information include, for example, steganography."},{"id":"si-4.18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.18_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(18)[1]"}],"prose":"defines interior points within the system (e.g., subsystems, subnetworks) where\n communications traffic is to be analyzed;"},{"id":"si-4.18_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(18)[2]"}],"prose":"to detect covert exfiltration of information, analyzes outbound communications\n traffic at:","parts":[{"id":"si-4.18_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(18)[2][a]"}],"prose":"the external boundary of the information system (i.e., system perimeter);\n and"},{"id":"si-4.18_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(18)[2][b]"}],"prose":"organization-defined interior points within the system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nnetwork diagram\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection/system\n monitoring capability\\n\\nautomated mechanisms supporting and/or implementing analysis of outbound\n communications traffic"}]}]},{"id":"si-4.19","class":"SP800-53-enhancement","title":"Individuals Posing Greater Risk","parameters":[{"id":"si-4.19_prm_1","label":"organization-defined additional monitoring"},{"id":"si-4.19_prm_2","label":"organization-defined sources"}],"properties":[{"name":"label","value":"SI-4(19)"},{"name":"sort-id","value":"si-04.19"}],"parts":[{"id":"si-4.19_smt","name":"statement","prose":"The organization implements {{ si-4.19_prm_1 }} of individuals who\n have been identified by {{ si-4.19_prm_2 }} as posing an increased\n level of risk."},{"id":"si-4.19_gdn","name":"guidance","prose":"Indications of increased risk from individuals can be obtained from a variety of\n sources including, for example, human resource records, intelligence agencies, law\n enforcement organizations, and/or other credible sources. The monitoring of\n individuals is closely coordinated with management, legal, security, and human\n resources officials within organizations conducting such monitoring and complies\n with federal legislation, Executive Orders, policies, directives, regulations, and\n standards."},{"id":"si-4.19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.19_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(19)[1]"}],"prose":"defines sources that identify individuals who pose an increased level of\n risk;"},{"id":"si-4.19_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(19)[2]"}],"prose":"defines additional monitoring to be implemented on individuals who have been\n identified by organization-defined sources as posing an increased level of\n risk; and"},{"id":"si-4.19_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(19)[3]"}],"prose":"implements organization-defined additional monitoring of individuals who have\n been identified by organization-defined sources as posing an increased level of\n risk."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring\\n\\ninformation system design documentation\\n\\nlist of individuals who have been identified as posing an increased level of\n risk\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability"}]}]},{"id":"si-4.20","class":"SP800-53-enhancement","title":"Privileged Users","parameters":[{"id":"si-4.20_prm_1","label":"organization-defined additional monitoring"}],"properties":[{"name":"label","value":"SI-4(20)"},{"name":"sort-id","value":"si-04.20"}],"parts":[{"id":"si-4.20_smt","name":"statement","prose":"The organization implements {{ si-4.20_prm_1 }} of privileged\n users."},{"id":"si-4.20_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.20_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(20)[1]"}],"prose":"defines additional monitoring to be implemented on privileged users; and"},{"id":"si-4.20_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(20)[2]"}],"prose":"implements organization-defined additional monitoring of privileged users;"}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nlist of privileged users\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability"}]}]},{"id":"si-4.22","class":"SP800-53-enhancement","title":"Unauthorized Network Services","parameters":[{"id":"si-4.22_prm_1","label":"organization-defined authorization or approval processes"},{"id":"si-4.22_prm_2"},{"id":"si-4.22_prm_3","depends-on":"si-4.22_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SI-4(22)"},{"name":"sort-id","value":"si-04.22"}],"parts":[{"id":"si-4.22_smt","name":"statement","prose":"The information system detects network services that have not been authorized or\n approved by {{ si-4.22_prm_1 }} and {{ si-4.22_prm_2 }}."},{"id":"si-4.22_gdn","name":"guidance","prose":"Unauthorized or unapproved network services include, for example, services in\n service-oriented architectures that lack organizational verification or validation\n and therefore may be unreliable or serve as malicious rogues for valid\n services.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"si-4.22_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-4.22_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(22)[1]"}],"prose":"the organization defines authorization or approval processes for network\n services;"},{"id":"si-4.22_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(22)[2]"}],"prose":"the organization defines personnel or roles to be alerted upon detection of\n network services that have not been authorized or approved by\n organization-defined authorization or approval processes;"},{"id":"si-4.22_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(22)[3]"}],"prose":"the information system detects network services that have not been authorized\n or approved by organization-defined authorization or approval processes and\n does one or more of the following:","parts":[{"id":"si-4.22_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-4(22)[3][a]"}],"prose":"audits; and/or"},{"id":"si-4.22_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-4(22)[3][b]"}],"prose":"alerts organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumented authorization/approval of network services\\n\\nnotifications or alerts of unauthorized network services\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability\\n\\nautomated mechanisms for auditing network services\\n\\nautomated mechanisms for providing alerts"}]}]},{"id":"si-4.23","class":"SP800-53-enhancement","title":"Host-based Devices","parameters":[{"id":"si-4.23_prm_1","label":"organization-defined host-based monitoring mechanisms"},{"id":"si-4.23_prm_2","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"SI-4(23)"},{"name":"sort-id","value":"si-04.23"}],"parts":[{"id":"si-4.23_smt","name":"statement","prose":"The organization implements {{ si-4.23_prm_1 }} at {{ si-4.23_prm_2 }}."},{"id":"si-4.23_gdn","name":"guidance","prose":"Information system components where host-based monitoring can be implemented\n include, for example, servers, workstations, and mobile devices. Organizations\n consider employing host-based monitoring mechanisms from multiple information\n technology product developers."},{"id":"si-4.23_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.23_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(23)[1]"}],"prose":"defines host-based monitoring mechanisms to be implemented;"},{"id":"si-4.23_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(23)[2]"}],"prose":"defines information system components where organization-defined host-based\n monitoring is to be implemented; and"},{"id":"si-4.23_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(23)[3]"}],"prose":"implements organization-defined host-based monitoring mechanisms at\n organization-defined information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nhost-based monitoring mechanisms\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components requiring host-based monitoring\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring information system\n hosts"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing host-based monitoring\n capability"}]}]},{"id":"si-4.24","class":"SP800-53-enhancement","title":"Indicators of Compromise","properties":[{"name":"label","value":"SI-4(24)"},{"name":"sort-id","value":"si-04.24"}],"parts":[{"id":"si-4.24_smt","name":"statement","prose":"The information system discovers, collects, distributes, and uses indicators of\n compromise."},{"id":"si-4.24_gdn","name":"guidance","prose":"Indicators of compromise (IOC) are forensic artifacts from intrusions that are\n identified on organizational information systems (at the host or network level).\n IOCs provide organizations with valuable information on objects or information\n systems that have been compromised. IOCs for the discovery of compromised hosts\n can include for example, the creation of registry key values. IOCs for network\n traffic include, for example, Universal Resource Locator (URL) or protocol\n elements that indicate malware command and control servers. The rapid distribution\n and adoption of IOCs can improve information security by reducing the time that\n information systems and organizations are vulnerable to the same exploit or\n attack."},{"id":"si-4.24_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"si-4.24_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(24)[1]"}],"prose":"discovers indicators of compromise;"},{"id":"si-4.24_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(24)[2]"}],"prose":"collects indicators of compromise;"},{"id":"si-4.24_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(24)[3]"}],"prose":"distributes indicators of compromise; and"},{"id":"si-4.24_obj.4","name":"objective","properties":[{"name":"label","value":"SI-4(24)[4]"}],"prose":"uses indicators of compromise."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring information system\n hosts"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\norganizational processes for discovery, collection, distribution, and use of\n indicators of compromise\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability\\n\\nautomated mechanisms supporting and/or implementing the discovery, collection,\n distribution, and use of indicators of compromise"}]}]}]},{"id":"si-5","class":"SP800-53","title":"Security Alerts, Advisories, and Directives","parameters":[{"id":"si-5_prm_1","label":"organization-defined external organizations","constraints":[{"detail":"to include US-CERT"}]},{"id":"si-5_prm_2","constraints":[{"detail":"to include system security personnel and administrators with configuration/patch-management responsibilities"}]},{"id":"si-5_prm_3","depends-on":"si-5_prm_2","label":"organization-defined personnel or roles"},{"id":"si-5_prm_4","depends-on":"si-5_prm_2","label":"organization-defined elements within the organization"},{"id":"si-5_prm_5","depends-on":"si-5_prm_2","label":"organization-defined external organizations"}],"properties":[{"name":"label","value":"SI-5"},{"name":"sort-id","value":"si-05"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"}],"parts":[{"id":"si-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;"},{"id":"si-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and"},{"id":"si-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance."}]},{"id":"si-5_gdn","name":"guidance","prose":"The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.","links":[{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"si-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-5.a_obj","name":"objective","properties":[{"name":"label","value":"SI-5(a)"}],"parts":[{"id":"si-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(a)[1]"}],"prose":"defines external organizations from whom information system security alerts,\n advisories and directives are to be received;"},{"id":"si-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(a)[2]"}],"prose":"receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;"}]},{"id":"si-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(b)"}],"prose":"generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5.c_obj","name":"objective","properties":[{"name":"label","value":"SI-5(c)"}],"parts":[{"id":"si-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[1]"}],"prose":"defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;"},{"id":"si-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[2]"}],"prose":"defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;"},{"id":"si-5.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[3]"}],"prose":"defines external organizations to whom security alerts, advisories, and\n directives are to be provided;"},{"id":"si-5.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(c)[4]"}],"prose":"disseminates security alerts, advisories, and directives to one or more of the\n following:","parts":[{"id":"si-5.c_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][a]"}],"prose":"organization-defined personnel or roles;"},{"id":"si-5.c_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][b]"}],"prose":"organization-defined elements within the organization; and/or"},{"id":"si-5.c_obj.4.c","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][c]"}],"prose":"organization-defined external organizations; and"}]}]},{"id":"si-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(d)"}],"parts":[{"id":"si-5.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-5(d)[1]"}],"prose":"implements security directives in accordance with established time frames;\n or"},{"id":"si-5.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-5(d)[2]"}],"prose":"notifies the issuing organization of the degree of noncompliance."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives"}]}],"controls":[{"id":"si-5.1","class":"SP800-53-enhancement","title":"Automated Alerts and Advisories","properties":[{"name":"label","value":"SI-5(1)"},{"name":"sort-id","value":"si-05.01"}],"parts":[{"id":"si-5.1_smt","name":"statement","prose":"The organization employs automated mechanisms to make security alert and advisory\n information available throughout the organization."},{"id":"si-5.1_gdn","name":"guidance","prose":"The significant number of changes to organizational information systems and the\n environments in which those systems operate requires the dissemination of\n security-related information to a variety of organizational entities that have a\n direct interest in the success of organizational missions and business functions.\n Based on the information provided by the security alerts and advisories, changes\n may be required at one or more of the three tiers related to the management of\n information security risk including the governance level, mission/business\n process/enterprise architecture level, and the information system level."},{"id":"si-5.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to make security alert\n and advisory information available throughout the organization."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nautomated mechanisms supporting the distribution of security alert and advisory\n information\\n\\nrecords of security alerts and advisories\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external\n organizations to whom alerts and advisories are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining, receiving, generating, and disseminating\n security alerts and advisories\\n\\nautomated mechanisms supporting and/or implementing dissemination of security\n alerts and advisories"}]}]}]},{"id":"si-6","class":"SP800-53","title":"Security Function Verification","parameters":[{"id":"si-6_prm_1","label":"organization-defined security functions"},{"id":"si-6_prm_2"},{"id":"si-6_prm_3","depends-on":"si-6_prm_2","label":"organization-defined system transitional states","constraints":[{"detail":"to include upon system startup and/or restart"}]},{"id":"si-6_prm_4","depends-on":"si-6_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"si-6_prm_5","label":"organization-defined personnel or roles","constraints":[{"detail":"to include system administrators and security personnel"}]},{"id":"si-6_prm_6"},{"id":"si-6_prm_7","depends-on":"si-6_prm_6","label":"organization-defined alternative action(s)","constraints":[{"detail":"to include notification of system administrators and security personnel"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-6"},{"name":"sort-id","value":"si-06"}],"parts":[{"id":"si-6_smt","name":"statement","prose":"The information system:","parts":[{"id":"si-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Verifies the correct operation of {{ si-6_prm_1 }};"},{"id":"si-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Performs this verification {{ si-6_prm_2 }};"},{"id":"si-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Notifies {{ si-6_prm_5 }} of failed security verification tests;\n and"},{"id":"si-6_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"\n {{ si-6_prm_6 }} when anomalies are discovered."}]},{"id":"si-6_gdn","name":"guidance","prose":"Transitional states for information systems include, for example, system startup,\n restart, shutdown, and abort. Notifications provided by information systems include,\n for example, electronic alerts to system administrators, messages to local computer\n consoles, and/or hardware indications such as lights.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"si-6_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-6.a_obj","name":"objective","properties":[{"name":"label","value":"SI-6(a)"}],"parts":[{"id":"si-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(a)[1]"}],"prose":"the organization defines security functions to be verified for correct\n operation;"},{"id":"si-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(a)[2]"}],"prose":"the information system verifies the correct operation of organization-defined\n security functions;"}]},{"id":"si-6.b_obj","name":"objective","properties":[{"name":"label","value":"SI-6(b)"}],"parts":[{"id":"si-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(b)[1]"}],"prose":"the organization defines system transitional states requiring verification of\n organization-defined security functions;"},{"id":"si-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(b)[2]"}],"prose":"the organization defines a frequency to verify the correct operation of\n organization-defined security functions;"},{"id":"si-6.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(b)[3]"}],"prose":"the information system performs this verification one or more of the\n following:","parts":[{"id":"si-6.b_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-6(b)[3][a]"}],"prose":"at organization-defined system transitional states;"},{"id":"si-6.b_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-6(b)[3][b]"}],"prose":"upon command by user with appropriate privilege; and/or"},{"id":"si-6.b_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-6(b)[3][c]"}],"prose":"with the organization-defined frequency;"}]}]},{"id":"si-6.c_obj","name":"objective","properties":[{"name":"label","value":"SI-6(c)"}],"parts":[{"id":"si-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(c)[1]"}],"prose":"the organization defines personnel or roles to be notified of failed security\n verification tests;"},{"id":"si-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(c)[2]"}],"prose":"the information system notifies organization-defined personnel or roles of\n failed security verification tests;"}]},{"id":"si-6.d_obj","name":"objective","properties":[{"name":"label","value":"SI-6(d)"}],"parts":[{"id":"si-6.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(d)[1]"}],"prose":"the organization defines alternative action(s) to be performed when anomalies\n are discovered;"},{"id":"si-6.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(d)[2]"}],"prose":"the information system performs one or more of the following actions when\n anomalies are discovered:","parts":[{"id":"si-6.d_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-6(d)[2][a]"}],"prose":"shuts the information system down;"},{"id":"si-6.d_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-6(d)[2][b]"}],"prose":"restarts the information system; and/or"},{"id":"si-6.d_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-6(d)[2][c]"}],"prose":"performs organization-defined alternative action(s)."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing security function verification\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications of failed security verification tests\\n\\nlist of system transition states requiring security functionality verification\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security function verification responsibilities\\n\\norganizational personnel implementing, operating, and maintaining the information\n system\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security function verification\\n\\nautomated mechanisms supporting and/or implementing security function verification\n capability"}]}]},{"id":"si-7","class":"SP800-53","title":"Software, Firmware, and Information Integrity","parameters":[{"id":"si-7_prm_1","label":"organization-defined software, firmware, and information"}],"properties":[{"name":"label","value":"SI-7"},{"name":"sort-id","value":"si-07"}],"links":[{"href":"#6bf8d24a-78dc-4727-a2ac-0e64d71c495c","rel":"reference","text":"NIST Special Publication 800-147"},{"href":"#3878cc04-144a-483e-af62-8fe6f4ad6c7a","rel":"reference","text":"NIST Special Publication 800-155"}],"parts":[{"id":"si-7_smt","name":"statement","prose":"The organization employs integrity verification tools to detect unauthorized changes\n to {{ si-7_prm_1 }}."},{"id":"si-7_gdn","name":"guidance","prose":"Unauthorized changes to software, firmware, and information can occur due to errors\n or malicious activity (e.g., tampering). Software includes, for example, operating\n systems (with key internal components such as kernels, drivers), middleware, and\n applications. Firmware includes, for example, the Basic Input Output System (BIOS).\n Information includes metadata such as security attributes associated with\n information. State-of-the-practice integrity-checking mechanisms (e.g., parity\n checks, cyclical redundancy checks, cryptographic hashes) and associated tools can\n automatically monitor the integrity of information systems and hosted\n applications.","links":[{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"si-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-7_obj.1","name":"objective","properties":[{"name":"label","value":"SI-7[1]"}],"parts":[{"id":"si-7_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7[1][a]"}],"prose":"defines software requiring integrity verification tools to be employed to\n detect unauthorized changes;"},{"id":"si-7_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7[1][b]"}],"prose":"defines firmware requiring integrity verification tools to be employed to\n detect unauthorized changes;"},{"id":"si-7_obj.1.c","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7[1][c]"}],"prose":"defines information requiring integrity verification tools to be employed to\n detect unauthorized changes;"}]},{"id":"si-7_obj.2","name":"objective","properties":[{"name":"label","value":"SI-7[2]"}],"prose":"employs integrity verification tools to detect unauthorized changes to\n organization-defined:","parts":[{"id":"si-7_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-7[2][a]"}],"prose":"software;"},{"id":"si-7_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-7[2][b]"}],"prose":"firmware; and"},{"id":"si-7_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-7[2][c]"}],"prose":"information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords generated/triggered from integrity verification tools regarding\n unauthorized software, firmware, and information changes\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Software, firmware, and information integrity verification tools"}]}],"controls":[{"id":"si-7.1","class":"SP800-53-enhancement","title":"Integrity Checks","parameters":[{"id":"si-7.1_prm_1","label":"organization-defined software, firmware, and information"},{"id":"si-7.1_prm_2"},{"id":"si-7.1_prm_3","depends-on":"si-7.1_prm_2","label":"organization-defined transitional states or security-relevant events","constraints":[{"detail":"selection to include security relevant events"}]},{"id":"si-7.1_prm_4","depends-on":"si-7.1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-7(1)"},{"name":"sort-id","value":"si-07.01"}],"parts":[{"id":"si-7.1_smt","name":"statement","prose":"The information system performs an integrity check of {{ si-7.1_prm_1 }}\n {{ si-7.1_prm_2 }}."},{"id":"si-7.1_gdn","name":"guidance","prose":"Security-relevant events include, for example, the identification of a new threat\n to which organizational information systems are susceptible, and the installation\n of new hardware, software, or firmware. Transitional states include, for example,\n system startup, restart, shutdown, and abort."},{"id":"si-7.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-7.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(1)[1]"}],"prose":"the organization defines:","parts":[{"id":"si-7.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[1][a]"}],"prose":"software requiring integrity checks to be performed;"},{"id":"si-7.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[1][b]"}],"prose":"firmware requiring integrity checks to be performed;"},{"id":"si-7.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[1][c]"}],"prose":"information requiring integrity checks to be performed;"}]},{"id":"si-7.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(1)[2]"}],"prose":"the organization defines transitional states or security-relevant events\n requiring integrity checks of organization-defined:","parts":[{"id":"si-7.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[2][a]"}],"prose":"software;"},{"id":"si-7.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[2][b]"}],"prose":"firmware;"},{"id":"si-7.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[2][c]"}],"prose":"information;"}]},{"id":"si-7.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(1)[3]"}],"prose":"the organization defines a frequency with which to perform an integrity check\n of organization-defined:","parts":[{"id":"si-7.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[3][a]"}],"prose":"software;"},{"id":"si-7.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[3][b]"}],"prose":"firmware;"},{"id":"si-7.1_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[3][c]"}],"prose":"information;"}]},{"id":"si-7.1_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(1)[4]"}],"prose":"the information system performs an integrity check of organization-defined\n software, firmware, and information one or more of the following:","parts":[{"id":"si-7.1_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[4][a]"}],"prose":"at startup;"},{"id":"si-7.1_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[4][b]"}],"prose":"at organization-defined transitional states or security-relevant events;\n and/or"},{"id":"si-7.1_obj.4.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[4][c]"}],"prose":"with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Software, firmware, and information integrity verification tools"}]}]},{"id":"si-7.2","class":"SP800-53-enhancement","title":"Automated Notifications of Integrity Violations","parameters":[{"id":"si-7.2_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SI-7(2)"},{"name":"sort-id","value":"si-07.02"}],"parts":[{"id":"si-7.2_smt","name":"statement","prose":"The organization employs automated tools that provide notification to {{ si-7.2_prm_1 }} upon discovering discrepancies during integrity\n verification."},{"id":"si-7.2_gdn","name":"guidance","prose":"The use of automated tools to report integrity violations and to notify\n organizational personnel in a timely matter is an essential precursor to effective\n risk response. Personnel having an interest in integrity violations include, for\n example, mission/business owners, information system owners, systems\n administrators, software developers, systems integrators, and information security\n officers."},{"id":"si-7.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-7.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(2)[1]"}],"prose":"defines personnel or roles to whom notification is to be provided upon\n discovering discrepancies during integrity verification; and"},{"id":"si-7.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(2)[2]"}],"prose":"employs automated tools that provide notification to organization-defined\n personnel or roles upon discovering discrepancies during integrity\n verification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nautomated tools supporting alerts and notifications for integrity\n discrepancies\\n\\nalerts/notifications provided upon discovering discrepancies during integrity\n verifications\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Software, firmware, and information integrity verification tools\\n\\nautomated mechanisms providing integrity discrepancy notifications"}]}]},{"id":"si-7.5","class":"SP800-53-enhancement","title":"Automated Response to Integrity Violations","parameters":[{"id":"si-7.5_prm_1"},{"id":"si-7.5_prm_2","depends-on":"si-7.5_prm_1","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SI-7(5)"},{"name":"sort-id","value":"si-07.05"}],"parts":[{"id":"si-7.5_smt","name":"statement","prose":"The information system automatically {{ si-7.5_prm_1 }} when\n integrity violations are discovered."},{"id":"si-7.5_gdn","name":"guidance","prose":"Organizations may define different integrity checking and anomaly responses: (i)\n by type of information (e.g., firmware, software, user data); (ii) by specific\n information (e.g., boot firmware, boot firmware for a specific types of machines);\n or (iii) a combination of both. Automatic implementation of specific safeguards\n within organizational information systems includes, for example, reversing the\n changes, halting the information system, or triggering audit alerts when\n unauthorized modifications to critical security files occur."},{"id":"si-7.5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-7.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(5)[1]"}],"prose":"the organization defines security safeguards to be implemented when integrity\n violations are discovered;"},{"id":"si-7.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(5)[2]"}],"prose":"the information system automatically performs one or more of the following\n actions when integrity violations are discovered:","parts":[{"id":"si-7.5_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-7(5)[2][a]"}],"prose":"shuts the information system down;"},{"id":"si-7.5_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-7(5)[2][b]"}],"prose":"restarts the information system; and/or"},{"id":"si-7.5_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-7(5)[2][c]"}],"prose":"implements the organization-defined security safeguards."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nrecords of integrity checks and responses to integrity violations\\n\\ninformation audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Software, firmware, and information integrity verification tools\\n\\nautomated mechanisms providing an automated response to integrity\n violations\\n\\nautomated mechanisms supporting and/or implementing security safeguards to be\n implemented when integrity violations are discovered"}]}]},{"id":"si-7.7","class":"SP800-53-enhancement","title":"Integration of Detection and Response","parameters":[{"id":"si-7.7_prm_1","label":"organization-defined security-relevant changes to the information\n system"}],"properties":[{"name":"label","value":"SI-7(7)"},{"name":"sort-id","value":"si-07.07"}],"parts":[{"id":"si-7.7_smt","name":"statement","prose":"The organization incorporates the detection of unauthorized {{ si-7.7_prm_1 }} into the organizational incident response\n capability."},{"id":"si-7.7_gdn","name":"guidance","prose":"This control enhancement helps to ensure that detected events are tracked,\n monitored, corrected, and available for historical purposes. Maintaining\n historical records is important both for being able to identify and discern\n adversary actions over an extended period of time and for possible legal actions.\n Security-relevant changes include, for example, unauthorized changes to\n established configuration settings or unauthorized elevation of information system\n privileges.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"si-7.7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-7.7_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(7)[1]"}],"prose":"defines unauthorized security-relevant changes to the information system;\n and"},{"id":"si-7.7_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(7)[2]"}],"prose":"incorporates the detection of unauthorized organization-defined\n security-relevant changes to the information system into the organizational\n incident response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\nprocedures addressing incident response\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response records\\n\\ninformation audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incorporating detection of unauthorized\n security-relevant changes into the incident response capability\\n\\nsoftware, firmware, and information integrity verification tools\\n\\nautomated mechanisms supporting and/or implementing incorporation of detection\n of unauthorized security-relevant changes into the incident response\n capability"}]}]},{"id":"si-7.14","class":"SP800-53-enhancement","title":"Binary or Machine Executable Code","properties":[{"name":"label","value":"SI-7(14)"},{"name":"sort-id","value":"si-07.14"}],"parts":[{"id":"si-7.14_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-7.14_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Prohibits the use of binary or machine-executable code from sources with\n limited or no warranty and without the provision of source code; and"},{"id":"si-7.14_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Provides exceptions to the source code requirement only for compelling\n mission/operational requirements and with the approval of the authorizing\n official."}]},{"id":"si-7.14_gdn","name":"guidance","prose":"This control enhancement applies to all sources of binary or machine-executable\n code including, for example, commercial software/firmware and open source\n software. Organizations assess software products without accompanying source code\n from sources with limited or no warranty for potential security impacts. The\n assessments address the fact that these types of software products may be very\n difficult to review, repair, or extend, given that organizations, in most cases,\n do not have access to the original source code, and there may be no owners who\n could make such repairs on behalf of organizations.","links":[{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"si-7.14_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-7.14.a_obj","name":"objective","properties":[{"name":"label","value":"SI-7(14)(a)"}],"parts":[{"id":"si-7.14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(14)(a)[1]"}],"prose":"prohibits the use of binary or machine-executable code from sources with\n limited or no warranty;"},{"id":"si-7.14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(14)(a)[2]"}],"prose":"prohibits the use of binary or machine-executable code without the provision\n of source code;"}],"links":[{"href":"#si-7.14_smt.a","rel":"corresp","text":"SI-7(14)(a)"}]},{"id":"si-7.14.b_obj","name":"objective","properties":[{"name":"label","value":"SI-7(14)(b)"}],"parts":[{"id":"si-7.14.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(14)(b)[1]"}],"prose":"provides exceptions to the source code requirement only for compelling\n mission/operational requirements; and"},{"id":"si-7.14.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(14)(b)[2]"}],"prose":"provides exceptions to the source code requirement only with the approval of\n the authorizing official."}],"links":[{"href":"#si-7.14_smt.b","rel":"corresp","text":"SI-7(14)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\napproval records for execution of binary and machine-executable code\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nauthorizing official\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing prohibition of the\n execution of binary or machine-executable code"}]}]}]},{"id":"si-8","class":"SP800-53","title":"Spam Protection","properties":[{"name":"label","value":"SI-8"},{"name":"sort-id","value":"si-08"}],"links":[{"href":"#c6e95ca0-5828-420e-b095-00895b72b5e8","rel":"reference","text":"NIST Special Publication 800-45"}],"parts":[{"id":"si-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs spam protection mechanisms at information system entry and exit points to\n detect and take action on unsolicited messages; and"},{"id":"si-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures."}]},{"id":"si-8_gdn","name":"guidance","prose":"Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations, mobile\n devices, and notebook/laptop computers. Spam can be transported by different means\n including, for example, electronic mail, electronic mail attachments, and web\n accesses. Spam protection mechanisms include, for example, signature definitions.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"si-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-8(a)"}],"prose":"employs spam protection mechanisms:","parts":[{"id":"si-8.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-8(a)[1]"}],"prose":"at information system entry points to detect unsolicited messages;"},{"id":"si-8.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-8(a)[2]"}],"prose":"at information system entry points to take action on unsolicited messages;"},{"id":"si-8.a_obj.3","name":"objective","properties":[{"name":"label","value":"SI-8(a)[3]"}],"prose":"at information system exit points to detect unsolicited messages;"},{"id":"si-8.a_obj.4","name":"objective","properties":[{"name":"label","value":"SI-8(a)[4]"}],"prose":"at information system exit points to take action on unsolicited messages;\n and"}]},{"id":"si-8.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-8(b)"}],"prose":"updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nconfiguration management policy and procedures (CM-1)\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for implementing spam protection\\n\\nautomated mechanisms supporting and/or implementing spam protection"}]}],"controls":[{"id":"si-8.1","class":"SP800-53-enhancement","title":"Central Management","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-8(1)"},{"name":"sort-id","value":"si-08.01"}],"parts":[{"id":"si-8.1_smt","name":"statement","prose":"The organization centrally manages spam protection mechanisms."},{"id":"si-8.1_gdn","name":"guidance","prose":"Central management is the organization-wide management and implementation of spam\n protection mechanisms. Central management includes planning, implementing,\n assessing, authorizing, and monitoring the organization-defined, centrally managed\n spam protection security controls.","links":[{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-8.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization centrally manages spam protection mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for central management of spam protection\\n\\nautomated mechanisms supporting and/or implementing central management of spam\n protection"}]}]},{"id":"si-8.2","class":"SP800-53-enhancement","title":"Automatic Updates","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-8(2)"},{"name":"sort-id","value":"si-08.02"}],"parts":[{"id":"si-8.2_smt","name":"statement","prose":"The information system automatically updates spam protection mechanisms."},{"id":"si-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system automatically updates spam protection\n mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for spam protection\\n\\nautomated mechanisms supporting and/or implementing automatic updates to spam\n protection mechanisms"}]}]}]},{"id":"si-10","class":"SP800-53","title":"Information Input Validation","parameters":[{"id":"si-10_prm_1","label":"organization-defined information inputs"}],"properties":[{"name":"label","value":"SI-10"},{"name":"sort-id","value":"si-10"}],"parts":[{"id":"si-10_smt","name":"statement","prose":"The information system checks the validity of {{ si-10_prm_1 }}."},{"id":"si-10_gdn","name":"guidance","prose":"Checking the valid syntax and semantics of information system inputs (e.g., character\n set, length, numerical range, and acceptable values) verifies that inputs match\n specified definitions for format and content. Software applications typically follow\n well-defined protocols that use structured messages (i.e., commands or queries) to\n communicate between software modules or system components. Structured messages can\n contain raw or unstructured data interspersed with metadata or control information.\n If software applications use attacker-supplied inputs to construct structured\n messages without properly encoding such messages, then the attacker could insert\n malicious commands or special characters that can cause the data to be interpreted as\n control information or metadata. Consequently, the module or component that receives\n the tainted output will perform the wrong operations or otherwise interpret the data\n incorrectly. Prescreening inputs prior to passing to interpreters prevents the\n content from being unintentionally interpreted as commands. Input validation helps to\n ensure accurate and correct inputs and prevent attacks such as cross-site scripting\n and a variety of injection attacks."},{"id":"si-10_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-10[1]"}],"prose":"the organization defines information inputs requiring validity checks; and"},{"id":"si-10_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-10[2]"}],"prose":"the information system checks the validity of organization-defined information\n inputs."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\naccess control policy and procedures\\n\\nseparation of duties policy and procedures\\n\\nprocedures addressing information input validation\\n\\ndocumentation for automated tools and applications to verify validity of\n information\\n\\nlist of information inputs requiring validity checks\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing validity checks on information\n inputs"}]}]},{"id":"si-11","class":"SP800-53","title":"Error Handling","parameters":[{"id":"si-11_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SI-11"},{"name":"sort-id","value":"si-11"}],"parts":[{"id":"si-11_smt","name":"statement","prose":"The information system:","parts":[{"id":"si-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Generates error messages that provide information necessary for corrective actions\n without revealing information that could be exploited by adversaries; and"},{"id":"si-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reveals error messages only to {{ si-11_prm_1 }}."}]},{"id":"si-11_gdn","name":"guidance","prose":"Organizations carefully consider the structure/content of error messages. The extent\n to which information systems are able to identify and handle error conditions is\n guided by organizational policy and operational requirements. Information that could\n be exploited by adversaries includes, for example, erroneous logon attempts with\n passwords entered by mistake as the username, mission/business information that can\n be derived from (if not stated explicitly by) information recorded, and personal\n information such as account numbers, social security numbers, and credit card\n numbers. In addition, error messages may provide a covert channel for transmitting\n information.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#sc-31","rel":"related","text":"SC-31"}]},{"id":"si-11_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-11.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-11(a)"}],"prose":"the information system generates error messages that provide information necessary\n for corrective actions without revealing information that could be exploited by\n adversaries;"},{"id":"si-11.b_obj","name":"objective","properties":[{"name":"label","value":"SI-11(b)"}],"parts":[{"id":"si-11.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-11(b)[1]"}],"prose":"the organization defines personnel or roles to whom error messages are to be\n revealed; and"},{"id":"si-11.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-11(b)[2]"}],"prose":"the information system reveals error messages only to organization-defined\n personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system error handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumentation providing structure/content of error messages\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for error handling\\n\\nautomated mechanisms supporting and/or implementing error handling\\n\\nautomated mechanisms supporting and/or implementing management of error\n messages"}]}]},{"id":"si-12","class":"SP800-53","title":"Information Handling and Retention","properties":[{"name":"label","value":"SI-12"},{"name":"sort-id","value":"si-12"}],"parts":[{"id":"si-12_smt","name":"statement","prose":"The organization handles and retains information within the information system and\n information output from the system in accordance with applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and operational\n requirements."},{"id":"si-12_gdn","name":"guidance","prose":"Information handling and retention requirements cover the full life cycle of\n information, in some cases extending beyond the disposal of information systems. The\n National Archives and Records Administration provides guidance on records\n retention.","links":[{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-11","rel":"related","text":"AU-11"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"}]},{"id":"si-12_obj","name":"objective","prose":"Determine if the organization, in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and operational\n requirements:","parts":[{"id":"si-12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-12[1]"}],"prose":"handles information within the information system;"},{"id":"si-12_obj.2","name":"objective","properties":[{"name":"label","value":"SI-12[2]"}],"prose":"handles output from the information system;"},{"id":"si-12_obj.3","name":"objective","properties":[{"name":"label","value":"SI-12[3]"}],"prose":"retains information within the information system; and"},{"id":"si-12_obj.4","name":"objective","properties":[{"name":"label","value":"SI-12[4]"}],"prose":"retains output from the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nfederal laws, Executive Orders, directives, policies, regulations, standards, and\n operational requirements applicable to information handling and retention\\n\\nmedia protection policy and procedures\\n\\nprocedures addressing information system output handling and retention\\n\\ninformation retention records, other relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for information handling and\n retention\\n\\norganizational personnel with information security responsibilities/network\n administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information handling and retention\\n\\nautomated mechanisms supporting and/or implementing information handling and\n retention"}]}]},{"id":"si-16","class":"SP800-53","title":"Memory Protection","parameters":[{"id":"si-16_prm_1","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SI-16"},{"name":"sort-id","value":"si-16"}],"parts":[{"id":"si-16_smt","name":"statement","prose":"The information system implements {{ si-16_prm_1 }} to protect its\n memory from unauthorized code execution."},{"id":"si-16_gdn","name":"guidance","prose":"Some adversaries launch attacks with the intent of executing code in non-executable\n regions of memory or in memory locations that are prohibited. Security safeguards\n employed to protect memory include, for example, data execution prevention and\n address space layout randomization. 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"properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ac-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ac-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ac-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ac-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ac-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ac-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ac-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the access control policy are to be\n disseminated;" - }, - { - "id": "ac-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-1(a)(1)[3]" - } - ], - "prose": "disseminates the access control policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ac-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)" - } - ], - "parts": [ - { - "id": "ac-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;" - }, - { - "id": "ac-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ac-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ac-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(1)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n policy;" - }, - { - "id": "ac-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current access control policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ac-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(2)" - } - ], - "parts": [ - { - "id": "ac-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n procedures; and" - }, - { - "id": "ac-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current access control procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "parameters": [ - { - "id": "ac-2_prm_1", - "label": "organization-defined information system account types" - }, - { - "id": "ac-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_3", - "label": "organization-defined procedures or conditions" - }, - { - "id": "ac-2_prm_4", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "monthly for privileged accessed, every six (6) months for non-privileged access" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2" - }, - { - "name": "sort-id", - "value": "ac-02" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assigns account managers for information system accounts;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes conditions for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specifies authorized users of the information system, group and role membership,\n and access authorizations (i.e., privileges) and other attributes (as required)\n for each account;" - }, - { - "id": "ac-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requires approvals by {{ ac-2_prm_2 }} for requests to create\n information system accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitors the use of information system accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notifies account managers:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "When accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "When individual information system usage or need-to-know changes;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorizes access to the information system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "properties": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-10", - "rel": "related", - "text": "AC-10" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(a)" - } - ], - "parts": [ - { - "id": "ac-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(a)[1]" - } - ], - "prose": "defines information system account types to be identified and selected to\n support organizational missions/business functions;" - }, - { - "id": "ac-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-2(a)[2]" - } - ], - "prose": "identifies and selects organization-defined information system account types to\n support organizational missions/business functions;" - } - ] - }, - { - "id": "ac-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-2(b)" - } - ], - "prose": "assigns account managers for information system accounts;" - }, - { - "id": "ac-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(c)" - } - ], - "prose": "establishes conditions for group and role membership;" - }, - { - "id": "ac-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(d)" - } - ], - "prose": "specifies for each account (as required):", - "parts": [ - { - "id": "ac-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[1]" - } - ], - "prose": "authorized users of the information system;" - }, - { - "id": "ac-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[2]" - } - ], - "prose": "group and role membership;" - }, - { - "id": "ac-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[3]" - } - ], - "prose": "access authorizations (i.e., privileges);" - }, - { - "id": "ac-2.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[4]" - } - ], - "prose": "other attributes;" - } - ] - }, - { - "id": "ac-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(e)" - } - ], - "parts": [ - { - "id": "ac-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(e)[1]" - } - ], - "prose": "defines personnel or roles required to approve requests to create information\n system accounts;" - }, - { - "id": "ac-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(e)[2]" - } - ], - "prose": "requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)" - } - ], - "parts": [ - { - "id": "ac-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(f)[1]" - } - ], - "prose": "defines procedures or conditions to:", - "parts": [ - { - "id": "ac-2.f_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][a]" - } - ], - "prose": "create information system accounts;" - }, - { - "id": "ac-2.f_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][b]" - } - ], - "prose": "enable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][c]" - } - ], - "prose": "modify information system accounts;" - }, - { - "id": "ac-2.f_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][d]" - } - ], - "prose": "disable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][e]" - } - ], - "prose": "remove information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(f)[2]" - } - ], - "prose": "in accordance with organization-defined procedures or conditions:", - "parts": [ - { - "id": "ac-2.f_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][a]" - } - ], - "prose": "creates information system accounts;" - }, - { - "id": "ac-2.f_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][b]" - } - ], - "prose": "enables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][c]" - } - ], - "prose": "modifies information system accounts;" - }, - { - "id": "ac-2.f_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][d]" - } - ], - "prose": "disables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][e]" - } - ], - "prose": "removes information system accounts;" - } - ] - } - ] - }, - { - "id": "ac-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(g)" - } - ], - "prose": "monitors the use of information system accounts;" - }, - { - "id": "ac-2.h_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(h)" - } - ], - "prose": "notifies account managers:", - "parts": [ - { - "id": "ac-2.h.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(1)" - } - ], - "prose": "when accounts are no longer required;" - }, - { - "id": "ac-2.h.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(2)" - } - ], - "prose": "when users are terminated or transferred;" - }, - { - "id": "ac-2.h.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(3)" - } - ], - "prose": "when individual information system usage or need to know changes;" - } - ] - }, - { - "id": "ac-2.i_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(i)" - } - ], - "prose": "authorizes access to the information system based on;", - "parts": [ - { - "id": "ac-2.i.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(1)" - } - ], - "prose": "a valid access authorization;" - }, - { - "id": "ac-2.i.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(2)" - } - ], - "prose": "intended system usage;" - }, - { - "id": "ac-2.i.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(3)" - } - ], - "prose": "other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2.j_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(j)" - } - ], - "parts": [ - { - "id": "ac-2.j_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(j)[1]" - } - ], - "prose": "defines the frequency to review accounts for compliance with account management\n requirements;" - }, - { - "id": "ac-2.j_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(j)[2]" - } - ], - "prose": "reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and" - } - ] - }, - { - "id": "ac-2.k_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(k)" - } - ], - "prose": "establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management" - } - ] - } - ], - "controls": [ - { - "id": "ac-2.1", - "class": "SP800-53-enhancement", - "title": "Automated System Account Management", - "properties": [ - { - "name": "label", - "value": "AC-2(1)" - }, - { - "name": "sort-id", - "value": "ac-02.01" - } - ], - "parts": [ - { - "id": "ac-2.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to support the management of\n information system accounts." - }, - { - "id": "ac-2.1_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms can include, for example: using email or text\n messaging to automatically notify account managers when users are terminated or\n transferred; using the information system to monitor account usage; and using\n telephonic notification to report atypical system account usage." - }, - { - "id": "ac-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to support the\n management of information system accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.2", - "class": "SP800-53-enhancement", - "title": "Removal of Temporary / Emergency Accounts", - "parameters": [ - { - "id": "ac-2.2_prm_1", - "constraints": [ - { - "detail": "Selection: disables" - } - ] - }, - { - "id": "ac-2.2_prm_2", - "label": "organization-defined time period for each type of account", - "constraints": [ - { - "detail": "24 hours from last use" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(2)" - }, - { - "name": "sort-id", - "value": "ac-02.02" - } - ], - "parts": [ - { - "id": "ac-2.2_smt", - "name": "statement", - "prose": "The information system automatically {{ ac-2.2_prm_1 }} temporary\n and emergency accounts after {{ ac-2.2_prm_2 }}." - }, - { - "id": "ac-2.2_gdn", - "name": "guidance", - "prose": "This control enhancement requires the removal of both temporary and emergency\n accounts automatically after a predefined period of time has elapsed, rather than\n at the convenience of the systems administrator." - }, - { - "id": "ac-2.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(2)[1]" - } - ], - "prose": "the organization defines the time period after which the information system\n automatically removes or disables temporary and emergency accounts; and" - }, - { - "id": "ac-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(2)[2]" - } - ], - "prose": "the information system automatically removes or disables temporary and\n emergency accounts after the organization-defined time period for each type of\n account." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.3", - "class": "SP800-53-enhancement", - "title": "Disable Inactive Accounts", - "parameters": [ - { - "id": "ac-2.3_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "35 days for user accounts" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(3)" - }, - { - "name": "sort-id", - "value": "ac-02.03" - } - ], - "parts": [ - { - "id": "ac-2.3_smt", - "name": "statement", - "prose": "The information system automatically disables inactive accounts after {{ ac-2.3_prm_1 }}.", - "parts": [ - { - "id": "ac-2.3_fr", - "name": "item", - "title": "AC-2 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.3_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available." - } - ] - } - ] - }, - { - "id": "ac-2.3_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(3)[1]" - } - ], - "prose": "the organization defines the time period after which the information system\n automatically disables inactive accounts; and" - }, - { - "id": "ac-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(3)[2]" - } - ], - "prose": "the information system automatically disables inactive accounts after the\n organization-defined time period." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Audit Actions", - "parameters": [ - { - "id": "ac-2.4_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "organization and/or service provider system owner" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(4)" - }, - { - "name": "sort-id", - "value": "ac-02.04" - } - ], - "parts": [ - { - "id": "ac-2.4_smt", - "name": "statement", - "prose": "The information system automatically audits account creation, modification,\n enabling, disabling, and removal actions, and notifies {{ ac-2.4_prm_1 }}." - }, - { - "id": "ac-2.4_gdn", - "name": "guidance", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "ac-2.4_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(4)[1]" - } - ], - "prose": "the information system automatically audits the following account actions:", - "parts": [ - { - "id": "ac-2.4_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][a]" - } - ], - "prose": "creation;" - }, - { - "id": "ac-2.4_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][b]" - } - ], - "prose": "modification;" - }, - { - "id": "ac-2.4_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][c]" - } - ], - "prose": "enabling;" - }, - { - "id": "ac-2.4_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][d]" - } - ], - "prose": "disabling;" - }, - { - "id": "ac-2.4_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][e]" - } - ], - "prose": "removal;" - } - ] - }, - { - "id": "ac-2.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(4)[2]" - } - ], - "prose": "the organization defines personnel or roles to be notified of the following\n account actions:", - "parts": [ - { - "id": "ac-2.4_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][a]" - } - ], - "prose": "creation;" - }, - { - "id": "ac-2.4_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][b]" - } - ], - "prose": "modification;" - }, - { - "id": "ac-2.4_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][c]" - } - ], - "prose": "enabling;" - }, - { - "id": "ac-2.4_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][d]" - } - ], - "prose": "disabling;" - }, - { - "id": "ac-2.4_obj.2.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][e]" - } - ], - "prose": "removal;" - } - ] - }, - { - "id": "ac-2.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(4)[3]" - } - ], - "prose": "the information system notifies organization-defined personnel or roles of the\n following account actions:", - "parts": [ - { - "id": "ac-2.4_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][a]" - } - ], - "prose": "creation;" - }, - { - "id": "ac-2.4_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][b]" - } - ], - "prose": "modification;" - }, - { - "id": "ac-2.4_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][c]" - } - ], - "prose": "enabling;" - }, - { - "id": "ac-2.4_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][d]" - } - ], - "prose": "disabling; and" - }, - { - "id": "ac-2.4_obj.3.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][e]" - } - ], - "prose": "removal." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nnotifications/alerts of account creation, modification, enabling, disabling,\n and removal actions\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.5", - "class": "SP800-53-enhancement", - "title": "Inactivity Logout", - "parameters": [ - { - "id": "ac-2.5_prm_1", - "label": "organization-defined time-period of expected inactivity or description of when\n to log out", - "constraints": [ - { - "detail": "inactivity is anticipated to exceed Fifteen (15) minutes" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(5)" - }, - { - "name": "sort-id", - "value": "ac-02.05" - } - ], - "parts": [ - { - "id": "ac-2.5_smt", - "name": "statement", - "prose": "The organization requires that users log out when {{ ac-2.5_prm_1 }}.", - "parts": [ - { - "id": "ac-2.5_fr", - "name": "item", - "title": "AC-2 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Should use a shorter timeframe than AC-12." - } - ] - } - ] - }, - { - "id": "ac-2.5_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-23", - "rel": "related", - "text": "SC-23" - } - ] - }, - { - "id": "ac-2.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(5)[1]" - } - ], - "prose": "defines either the time period of expected inactivity that requires users to\n log out or the description of when users are required to log out; and" - }, - { - "id": "ac-2.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(5)[2]" - } - ], - "prose": "requires that users log out when the organization-defined time period of\n inactivity is reached or in accordance with organization-defined description of\n when to log out." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity violation reports\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nusers that must comply with inactivity logout policy" - } - ] - } - ] - }, - { - "id": "ac-2.7", - "class": "SP800-53-enhancement", - "title": "Role-based Schemes", - "parameters": [ - { - "id": "ac-2.7_prm_1", - "label": "organization-defined actions", - "constraints": [ - { - "detail": "disables/revokes access within a organization-specified timeframe" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(7)" - }, - { - "name": "sort-id", - "value": "ac-02.07" - } - ], - "parts": [ - { - "id": "ac-2.7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2.7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;" - }, - { - "id": "ac-2.7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitors privileged role assignments; and" - }, - { - "id": "ac-2.7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Takes {{ ac-2.7_prm_1 }} when privileged role assignments are no\n longer appropriate." - } - ] - }, - { - "id": "ac-2.7_gdn", - "name": "guidance", - "prose": "Privileged roles are organization-defined roles assigned to individuals that allow\n those individuals to perform certain security-relevant functions that ordinary\n users are not authorized to perform. These privileged roles include, for example,\n key management, account management, network and system administration, database\n administration, and web administration." - }, - { - "id": "ac-2.7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(7)(a)" - } - ], - "prose": "establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;", - "links": [ - { - "href": "#ac-2.7_smt.a", - "rel": "corresp", - "text": "AC-2(7)(a)" - } - ] - }, - { - "id": "ac-2.7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(7)(b)" - } - ], - "prose": "monitors privileged role assignments;", - "links": [ - { - "href": "#ac-2.7_smt.b", - "rel": "corresp", - "text": "AC-2(7)(b)" - } - ] - }, - { - "id": "ac-2.7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(7)(c)" - } - ], - "parts": [ - { - "id": "ac-2.7.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(7)(c)[1]" - } - ], - "prose": "defines actions to be taken when privileged role assignments are no longer\n appropriate; and" - }, - { - "id": "ac-2.7.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(7)(c)[2]" - } - ], - "prose": "takes organization-defined actions when privileged role assignments are no\n longer appropriate." - } - ], - "links": [ - { - "href": "#ac-2.7_smt.c", - "rel": "corresp", - "text": "AC-2(7)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of privileged user accounts and associated\n role\\n\\nrecords of actions taken when privileged role assignments are no longer\n appropriate\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\ninformation system monitoring records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions\\n\\nautomated mechanisms monitoring privileged role assignments" - } - ] - } - ] - }, - { - "id": "ac-2.9", - "class": "SP800-53-enhancement", - "title": "Restrictions On Use of Shared / Group Accounts", - "parameters": [ - { - "id": "ac-2.9_prm_1", - "label": "organization-defined conditions for establishing shared/group accounts", - "constraints": [ - { - "detail": "organization-defined need with justification statement that explains why such accounts are necessary" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(9)" - }, - { - "name": "sort-id", - "value": "ac-02.09" - } - ], - "parts": [ - { - "id": "ac-2.9_smt", - "name": "statement", - "prose": "The organization only permits the use of shared/group accounts that meet {{ ac-2.9_prm_1 }}.", - "parts": [ - { - "id": "ac-2.9_fr", - "name": "item", - "title": "AC-2 (9) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.9_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Required if shared/group accounts are deployed" - } - ] - } - ] - }, - { - "id": "ac-2.9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.9_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(9)[1]" - } - ], - "prose": "defines conditions for establishing shared/group accounts; and" - }, - { - "id": "ac-2.9_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(9)[2]" - } - ], - "prose": "only permits the use of shared/group accounts that meet organization-defined\n conditions for establishing shared/group accounts." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of shared/group accounts and associated role\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of shared/group accounts" - } - ] - } - ] - }, - { - "id": "ac-2.10", - "class": "SP800-53-enhancement", - "title": "Shared / Group Account Credential Termination", - "properties": [ - { - "name": "label", - "value": "AC-2(10)" - }, - { - "name": "sort-id", - "value": "ac-02.10" - } - ], - "parts": [ - { - "id": "ac-2.10_smt", - "name": "statement", - "prose": "The information system terminates shared/group account credentials when members\n leave the group.", - "parts": [ - { - "id": "ac-2.10_fr", - "name": "item", - "title": "AC-2 (10) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.10_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Required if shared/group accounts are deployed" - } - ] - } - ] - }, - { - "id": "ac-2.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system terminates shared/group account credentials\n when members leave the group." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naccount access termination records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.11", - "class": "SP800-53-enhancement", - "title": "Usage Conditions", - "parameters": [ - { - "id": "ac-2.11_prm_1", - "label": "organization-defined circumstances and/or usage conditions" - }, - { - "id": "ac-2.11_prm_2", - "label": "organization-defined information system accounts" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(11)" - }, - { - "name": "sort-id", - "value": "ac-02.11" - } - ], - "parts": [ - { - "id": "ac-2.11_smt", - "name": "statement", - "prose": "The information system enforces {{ ac-2.11_prm_1 }} for {{ ac-2.11_prm_2 }}." - }, - { - "id": "ac-2.11_gdn", - "name": "guidance", - "prose": "Organizations can describe the specific conditions or circumstances under which\n information system accounts can be used, for example, by restricting usage to\n certain days of the week, time of day, or specific durations of time." - }, - { - "id": "ac-2.11_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(11)[1]" - } - ], - "prose": "the organization defines circumstances and/or usage conditions to be enforced\n for information system accounts;" - }, - { - "id": "ac-2.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(11)[2]" - } - ], - "prose": "the organization defines information system accounts for which\n organization-defined circumstances and/or usage conditions are to be enforced;\n and" - }, - { - "id": "ac-2.11_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(11)[3]" - } - ], - "prose": "the information system enforces organization-defined circumstances and/or usage\n conditions for organization-defined information system accounts." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of information system accounts and associated assignments\n of usage circumstances and/or usage conditions\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.12", - "class": "SP800-53-enhancement", - "title": "Account Monitoring / Atypical Usage", - "parameters": [ - { - "id": "ac-2.12_prm_1", - "label": "organization-defined atypical usage" - }, - { - "id": "ac-2.12_prm_2", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "at a minimum, the ISSO and/or similar role within the organization" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(12)" - }, - { - "name": "sort-id", - "value": "ac-02.12" - } - ], - "parts": [ - { - "id": "ac-2.12_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2.12_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Monitors information system accounts for {{ ac-2.12_prm_1 }};\n and" - }, - { - "id": "ac-2.12_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reports atypical usage of information system accounts to {{ ac-2.12_prm_2 }}." - }, - { - "id": "ac-2.12_fr", - "name": "item", - "title": "AC-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) Guidance:" - } - ], - "prose": "Required for privileged accounts." - }, - { - "id": "ac-2.12_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(b) Guidance:" - } - ], - "prose": "Required for privileged accounts." - } - ] - } - ] - }, - { - "id": "ac-2.12_gdn", - "name": "guidance", - "prose": "Atypical usage includes, for example, accessing information systems at certain\n times of the day and from locations that are not consistent with the normal usage\n patterns of individuals working in organizations.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - } - ] - }, - { - "id": "ac-2.12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.12.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(12)(a)" - } - ], - "parts": [ - { - "id": "ac-2.12.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(12)(a)[1]" - } - ], - "prose": "defines atypical usage to be monitored for information system accounts;" - }, - { - "id": "ac-2.12.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(12)(a)[2]" - } - ], - "prose": "monitors information system accounts for organization-defined atypical\n usage;" - } - ], - "links": [ - { - "href": "#ac-2.12_smt.a", - "rel": "corresp", - "text": "AC-2(12)(a)" - } - ] - }, - { - "id": "ac-2.12.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(12)(b)" - } - ], - "parts": [ - { - "id": "ac-2.12.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(12)(b)[1]" - } - ], - "prose": "defines personnel or roles to whom atypical usage of information system\n accounts are to be reported; and" - }, - { - "id": "ac-2.12.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(12)(b)[2]" - } - ], - "prose": "reports atypical usage of information system accounts to\n organization-defined personnel or roles." - } - ], - "links": [ - { - "href": "#ac-2.12_smt.b", - "rel": "corresp", - "text": "AC-2(12)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.13", - "class": "SP800-53-enhancement", - "title": "Disable Accounts for High-risk Individuals", - "parameters": [ - { - "id": "ac-2.13_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "one (1) hour" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(13)" - }, - { - "name": "sort-id", - "value": "ac-02.13" - } - ], - "parts": [ - { - "id": "ac-2.13_smt", - "name": "statement", - "prose": "The organization disables accounts of users posing a significant risk within\n {{ ac-2.13_prm_1 }} of discovery of the risk." - }, - { - "id": "ac-2.13_gdn", - "name": "guidance", - "prose": "Users posing a significant risk to organizations include individuals for whom\n reliable evidence or intelligence indicates either the intention to use authorized\n access to information systems to cause harm or through whom adversaries will cause\n harm. Harm includes potential adverse impacts to organizational operations and\n assets, individuals, other organizations, or the Nation. Close coordination\n between authorizing officials, information system administrators, and human\n resource managers is essential in order for timely execution of this control\n enhancement.", - "links": [ - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - } - ] - }, - { - "id": "ac-2.13_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-2.13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(13)[1]" - } - ], - "prose": "defines the time period within which accounts are disabled upon discovery of a\n significant risk posed by users of such accounts; and" - }, - { - "id": "ac-2.13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(13)[2]" - } - ], - "prose": "disables accounts of users posing a significant risk within the\n organization-defined time period of discovery of the risk." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of disabled accounts\\n\\nlist of user activities posing significant organizational risk\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "properties": [ - { - "name": "label", - "value": "AC-3" - }, - { - "name": "sort-id", - "value": "ac-03" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - }, - { - "href": "#ac-22", - "rel": "related", - "text": "AC-22" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "ac-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy" - } - ] - } - ] - }, - { - "id": "ac-4", - "class": "SP800-53", - "title": "Information Flow Enforcement", - "parameters": [ - { - "id": "ac-4_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-4" - }, - { - "name": "sort-id", - "value": "ac-04" - } - ], - "parts": [ - { - "id": "ac-4_smt", - "name": "statement", - "prose": "The information system enforces approved authorizations for controlling the flow of\n information within the system and between interconnected systems based on {{ ac-4_prm_1 }}." - }, - { - "id": "ac-4_gdn", - "name": "guidance", - "prose": "Information flow control regulates where information is allowed to travel within an\n information system and between information systems (as opposed to who is allowed to\n access the information) and without explicit regard to subsequent accesses to that\n information. Flow control restrictions include, for example, keeping\n export-controlled information from being transmitted in the clear to the Internet,\n blocking outside traffic that claims to be from within the organization, restricting\n web requests to the Internet that are not from the internal web proxy server, and\n limiting information transfers between organizations based on data structures and\n content. Transferring information between information systems representing different\n security domains with different security policies introduces risk that such transfers\n violate one or more domain security policies. In such situations, information\n owners/stewards provide guidance at designated policy enforcement points between\n interconnected systems. Organizations consider mandating specific architectural\n solutions when required to enforce specific security policies. Enforcement includes,\n for example: (i) prohibiting information transfers between interconnected systems\n (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way\n information flows; and (iii) implementing trustworthy regrading mechanisms to\n reassign security attributes and security labels. Organizations commonly employ\n information flow control policies and enforcement mechanisms to control the flow of\n information between designated sources and destinations (e.g., networks, individuals,\n and devices) within information systems and between interconnected systems. Flow\n control is based on the characteristics of the information and/or the information\n path. Enforcement occurs, for example, in boundary protection devices (e.g.,\n gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or\n establish configuration settings that restrict information system services, provide a\n packet-filtering capability based on header information, or message-filtering\n capability based on message content (e.g., implementing key word searches or using\n document characteristics). Organizations also consider the trustworthiness of\n filtering/inspection mechanisms (i.e., hardware, firmware, and software components)\n that are critical to information flow enforcement. Control enhancements 3 through 22\n primarily address cross-domain solution needs which focus on more advanced filtering\n techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented\n in cross-domain products, for example, high-assurance guards. Such capabilities are\n generally not available in commercial off-the-shelf information technology\n products.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-18", - "rel": "related", - "text": "SC-18" - } - ] - }, - { - "id": "ac-4_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-4[1]" - } - ], - "prose": "the organization defines information flow control policies to control the flow of\n information within the system and between interconnected systems; and" - }, - { - "id": "ac-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-4[2]" - } - ], - "prose": "the information system enforces approved authorizations for controlling the flow\n of information within the system and between interconnected systems based on\n organization-defined information flow control policies." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system baseline configuration\\n\\nlist of information flow authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ], - "controls": [ - { - "id": "ac-4.8", - "class": "SP800-53-enhancement", - "title": "Security Policy Filters", - "parameters": [ - { - "id": "ac-4.8_prm_1", - "label": "organization-defined security policy filters" - }, - { - "id": "ac-4.8_prm_2", - "label": "organization-defined information flows" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-4(8)" - }, - { - "name": "sort-id", - "value": "ac-04.08" - } - ], - "parts": [ - { - "id": "ac-4.8_smt", - "name": "statement", - "prose": "The information system enforces information flow control using {{ ac-4.8_prm_1 }} as a basis for flow control decisions for {{ ac-4.8_prm_2 }}." - }, - { - "id": "ac-4.8_gdn", - "name": "guidance", - "prose": "Organization-defined security policy filters can address data structures and\n content. For example, security policy filters for data structures can check for\n maximum file lengths, maximum field sizes, and data/file types (for structured and\n unstructured data). Security policy filters for data content can check for\n specific words (e.g., dirty/clean word filters), enumerated values or data value\n ranges, and hidden content. Structured data permits the interpretation of data\n content by applications. Unstructured data typically refers to digital information\n without a particular data structure or with a data structure that does not\n facilitate the development of rule sets to address the particular sensitivity of\n the information conveyed by the data or the associated flow enforcement decisions.\n Unstructured data consists of: (i) bitmap objects that are inherently non\n language-based (i.e., image, video, or audio files); and (ii) textual objects that\n are based on written or printed languages (e.g., commercial off-the-shelf word\n processing documents, spreadsheets, or emails). Organizations can implement more\n than one security policy filter to meet information flow control objectives (e.g.,\n employing clean word lists in conjunction with dirty word lists may help to reduce\n false positives)." - }, - { - "id": "ac-4.8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-4.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-4(8)[1]" - } - ], - "prose": "the organization defines security policy filters to be used as a basis for\n enforcing flow control decisions;" - }, - { - "id": "ac-4.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-4(8)[2]" - } - ], - "prose": "the organization defines information flows for which flow control decisions are\n to be applied and enforced; and" - }, - { - "id": "ac-4.8_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-4(8)[3]" - } - ], - "prose": "the information system enforces information flow control using\n organization-defined security policy filters as a basis for flow control\n decisions for organization-defined information flows." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security policy filters regulating flow control decisions\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ] - }, - { - "id": "ac-4.21", - "class": "SP800-53-enhancement", - "title": "Physical / Logical Separation of Information Flows", - "parameters": [ - { - "id": "ac-4.21_prm_1", - "label": "organization-defined mechanisms and/or techniques" - }, - { - "id": "ac-4.21_prm_2", - "label": "organization-defined required separations by types of information" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-4(21)" - }, - { - "name": "sort-id", - "value": "ac-04.21" - } - ], - "parts": [ - { - "id": "ac-4.21_smt", - "name": "statement", - "prose": "The information system separates information flows logically or physically using\n {{ ac-4.21_prm_1 }} to accomplish {{ ac-4.21_prm_2 }}." - }, - { - "id": "ac-4.21_gdn", - "name": "guidance", - "prose": "Enforcing the separation of information flows by type can enhance protection by\n ensuring that information is not commingled while in transit and by enabling flow\n control by transmission paths perhaps not otherwise achievable. Types of separable\n information include, for example, inbound and outbound communications traffic,\n service requests and responses, and information of differing security\n categories." - }, - { - "id": "ac-4.21_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-4.21_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-4(21)[1]" - } - ], - "prose": "the organization defines the required separations of information flows by types\n of information;" - }, - { - "id": "ac-4.21_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-4(21)[2]" - } - ], - "prose": "the organization defines the mechanisms and/or techniques to be used to\n separate information flows logically or physically; and" - }, - { - "id": "ac-4.21_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-4(21)[3]" - } - ], - "prose": "the information system separates information flows logically or physically\n using organization-defined mechanisms and/or techniques to accomplish\n organization-defined required separations by types of information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of required separation of information flows by information types\\n\\nlist of mechanisms and/or techniques used to logically or physically separate\n information flows\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-5", - "class": "SP800-53", - "title": "Separation of Duties", - "parameters": [ - { - "id": "ac-5_prm_1", - "label": "organization-defined duties of individuals" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-5" - }, - { - "name": "sort-id", - "value": "ac-05" - } - ], - "parts": [ - { - "id": "ac-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Separates {{ ac-5_prm_1 }};" - }, - { - "id": "ac-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents separation of duties of individuals; and" - }, - { - "id": "ac-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines information system access authorizations to support separation of\n duties." - }, - { - "id": "ac-5_fr", - "name": "item", - "title": "AC-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP." - } - ] - } - ] - }, - { - "id": "ac-5_gdn", - "name": "guidance", - "prose": "Separation of duties addresses the potential for abuse of authorized privileges and\n helps to reduce the risk of malevolent activity without collusion. Separation of\n duties includes, for example: (i) dividing mission functions and information system\n support functions among different individuals and/or roles; (ii) conducting\n information system support functions with different individuals (e.g., system\n management, programming, configuration management, quality assurance and testing, and\n network security); and (iii) ensuring security personnel administering access control\n functions do not also administer audit functions.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "ac-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-5(a)" - } - ], - "parts": [ - { - "id": "ac-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-5(a)[1]" - } - ], - "prose": "defines duties of individuals to be separated;" - }, - { - "id": "ac-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-5(a)[2]" - } - ], - "prose": "separates organization-defined duties of individuals;" - } - ] - }, - { - "id": "ac-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-5(b)" - } - ], - "prose": "documents separation of duties; and" - }, - { - "id": "ac-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-5(c)" - } - ], - "prose": "defines information system access authorizations to support separation of\n duties." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing divisions of responsibility and separation of duties\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of divisions of responsibility and separation of duties\\n\\ninformation system access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining appropriate divisions\n of responsibility and separation of duties\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing separation of duties policy" - } - ] - } - ] - }, - { - "id": "ac-6", - "class": "SP800-53", - "title": "Least Privilege", - "properties": [ - { - "name": "label", - "value": "AC-6" - }, - { - "name": "sort-id", - "value": "ac-06" - } - ], - "parts": [ - { - "id": "ac-6_smt", - "name": "statement", - "prose": "The organization employs the principle of least privilege, allowing only authorized\n accesses for users (or processes acting on behalf of users) which are necessary to\n accomplish assigned tasks in accordance with organizational missions and business\n functions." - }, - { - "id": "ac-6_gdn", - "name": "guidance", - "prose": "Organizations employ least privilege for specific duties and information systems. The\n principle of least privilege is also applied to information system processes,\n ensuring that the processes operate at privilege levels no higher than necessary to\n accomplish required organizational missions/business functions. Organizations\n consider the creation of additional processes, roles, and information system accounts\n as necessary, to achieve least privilege. Organizations also apply least privilege to\n the development, implementation, and operation of organizational information\n systems.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "ac-6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs the principle of least privilege, allowing only\n authorized access for users (and processes acting on behalf of users) which are\n necessary to accomplish assigned tasks in accordance with organizational missions and\n business functions. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of assigned access authorizations (user privileges)\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ], - "controls": [ - { - "id": "ac-6.1", - "class": "SP800-53-enhancement", - "title": "Authorize Access to Security Functions", - "parameters": [ - { - "id": "ac-6.1_prm_1", - "label": "organization-defined security functions (deployed in hardware, software, and\n firmware) and security-relevant information", - "constraints": [ - { - "detail": "all functions not publicly accessible and all security-relevant information not publicly available" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(1)" - }, - { - "name": "sort-id", - "value": "ac-06.01" - } - ], - "parts": [ - { - "id": "ac-6.1_smt", - "name": "statement", - "prose": "The organization explicitly authorizes access to {{ ac-6.1_prm_1 }}." - }, - { - "id": "ac-6.1_gdn", - "name": "guidance", - "prose": "Security functions include, for example, establishing system accounts, configuring\n access authorizations (i.e., permissions, privileges), setting events to be\n audited, and setting intrusion detection parameters. Security-relevant information\n includes, for example, filtering rules for routers/firewalls, cryptographic key\n management information, configuration parameters for security services, and access\n control lists. Explicitly authorized personnel include, for example, security\n administrators, system and network administrators, system security officers,\n system maintenance personnel, system programmers, and other privileged users.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - } - ] - }, - { - "id": "ac-6.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(1)[1]" - } - ], - "prose": "defines security-relevant information for which access must be explicitly\n authorized;" - }, - { - "id": "ac-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(1)[2]" - } - ], - "prose": "defines security functions deployed in:", - "parts": [ - { - "id": "ac-6.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[2][a]" - } - ], - "prose": "hardware;" - }, - { - "id": "ac-6.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[2][b]" - } - ], - "prose": "software;" - }, - { - "id": "ac-6.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[2][c]" - } - ], - "prose": "firmware;" - } - ] - }, - { - "id": "ac-6.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(1)[3]" - } - ], - "prose": "explicitly authorizes access to:", - "parts": [ - { - "id": "ac-6.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[3][a]" - } - ], - "prose": "organization-defined security functions; and" - }, - { - "id": "ac-6.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[3][b]" - } - ], - "prose": "security-relevant information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of security functions (deployed in hardware, software, and firmware) and\n security-relevant information for which access must be explicitly\n authorized\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.2", - "class": "SP800-53-enhancement", - "title": "Non-privileged Access for Nonsecurity Functions", - "parameters": [ - { - "id": "ac-6.2_prm_1", - "label": "organization-defined security functions or security-relevant\n information", - "constraints": [ - { - "detail": "all security functions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(2)" - }, - { - "name": "sort-id", - "value": "ac-06.02" - } - ], - "parts": [ - { - "id": "ac-6.2_smt", - "name": "statement", - "prose": "The organization requires that users of information system accounts, or roles,\n with access to {{ ac-6.2_prm_1 }}, use non-privileged accounts or\n roles, when accessing nonsecurity functions.", - "parts": [ - { - "id": "ac-6.2_fr", - "name": "item", - "title": "AC-6 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-6.2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions." - } - ] - } - ] - }, - { - "id": "ac-6.2_gdn", - "name": "guidance", - "prose": "This control enhancement limits exposure when operating from within privileged\n accounts or roles. The inclusion of roles addresses situations where organizations\n implement access control policies such as role-based access control and where a\n change of role provides the same degree of assurance in the change of access\n authorizations for both the user and all processes acting on behalf of the user as\n would be provided by a change between a privileged and non-privileged account.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "ac-6.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-6.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(2)[1]" - } - ], - "prose": "defines security functions or security-relevant information to which users of\n information system accounts, or roles, have access; and" - }, - { - "id": "ac-6.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(2)[2]" - } - ], - "prose": "requires that users of information system accounts, or roles, with access to\n organization-defined security functions or security-relevant information, use\n non-privileged accounts, or roles, when accessing nonsecurity functions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated security functions or security-relevant information\n assigned to information system accounts or roles\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.3", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Commands", - "parameters": [ - { - "id": "ac-6.3_prm_1", - "label": "organization-defined privileged commands", - "constraints": [ - { - "detail": "all privileged commands" - } - ] - }, - { - "id": "ac-6.3_prm_2", - "label": "organization-defined compelling operational needs" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(3)" - }, - { - "name": "sort-id", - "value": "ac-06.03" - } - ], - "parts": [ - { - "id": "ac-6.3_smt", - "name": "statement", - "prose": "The organization authorizes network access to {{ ac-6.3_prm_1 }}\n only for {{ ac-6.3_prm_2 }} and documents the rationale for such\n access in the security plan for the information system." - }, - { - "id": "ac-6.3_gdn", - "name": "guidance", - "prose": "Network access is any access across a network connection in lieu of local access\n (i.e., user being physically present at the device).", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - } - ] - }, - { - "id": "ac-6.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-6.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(3)[1]" - } - ], - "prose": "defines privileged commands to which network access is to be authorized only\n for compelling operational needs;" - }, - { - "id": "ac-6.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(3)[2]" - } - ], - "prose": "defines compelling operational needs for which network access to\n organization-defined privileged commands are to be solely authorized;" - }, - { - "id": "ac-6.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(3)[3]" - } - ], - "prose": "authorizes network access to organization-defined privileged commands only for\n organization-defined compelling operational needs; and" - }, - { - "id": "ac-6.3_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-6(3)[4]" - } - ], - "prose": "documents the rationale for authorized network access to organization-defined\n privileged commands in the security plan for the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of operational needs for authorizing network access to privileged\n commands\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.5", - "class": "SP800-53-enhancement", - "title": "Privileged Accounts", - "parameters": [ - { - "id": "ac-6.5_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(5)" - }, - { - "name": "sort-id", - "value": "ac-06.05" - } - ], - "parts": [ - { - "id": "ac-6.5_smt", - "name": "statement", - "prose": "The organization restricts privileged accounts on the information system to\n {{ ac-6.5_prm_1 }}." - }, - { - "id": "ac-6.5_gdn", - "name": "guidance", - "prose": "Privileged accounts, including super user accounts, are typically described as\n system administrator for various types of commercial off-the-shelf operating\n systems. Restricting privileged accounts to specific personnel or roles prevents\n day-to-day users from having access to privileged information/functions.\n Organizations may differentiate in the application of this control enhancement\n between allowed privileges for local accounts and for domain accounts provided\n organizations retain the ability to control information system configurations for\n key security parameters and as otherwise necessary to sufficiently mitigate\n risk.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "ac-6.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-6.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(5)[1]" - } - ], - "prose": "defines personnel or roles for which privileged accounts on the information\n system are to be restricted; and" - }, - { - "id": "ac-6.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(5)[2]" - } - ], - "prose": "restricts privileged accounts on the information system to organization-defined\n personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated privileged accounts\\n\\nlist of system administration personnel\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.7", - "class": "SP800-53-enhancement", - "title": "Review of User Privileges", - "parameters": [ - { - "id": "ac-6.7_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at a minimum, annually" - } - ] - }, - { - "id": "ac-6.7_prm_2", - "label": "organization-defined roles or classes of users", - "constraints": [ - { - "detail": "all users with privileges" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(7)" - }, - { - "name": "sort-id", - "value": "ac-06.07" - } - ], - "parts": [ - { - "id": "ac-6.7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-6.7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Reviews {{ ac-6.7_prm_1 }} the privileges assigned to {{ ac-6.7_prm_2 }} to validate the need for such privileges; and" - }, - { - "id": "ac-6.7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reassigns or removes privileges, if necessary, to correctly reflect\n organizational mission/business needs." - } - ] - }, - { - "id": "ac-6.7_gdn", - "name": "guidance", - "prose": "The need for certain assigned user privileges may change over time reflecting\n changes in organizational missions/business function, environments of operation,\n technologies, or threat. Periodic review of assigned user privileges is necessary\n to determine if the rationale for assigning such privileges remains valid. If the\n need cannot be revalidated, organizations take appropriate corrective actions.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - } - ] - }, - { - "id": "ac-6.7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-6.7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(7)(a)" - } - ], - "parts": [ - { - "id": "ac-6.7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(7)(a)[1]" - } - ], - "prose": "defines roles or classes of users to which privileges are assigned;" - }, - { - "id": "ac-6.7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(7)(a)[2]" - } - ], - "prose": "defines the frequency to review the privileges assigned to\n organization-defined roles or classes of users to validate the need for such\n privileges;" - }, - { - "id": "ac-6.7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-6(7)(a)[3]" - } - ], - "prose": "reviews the privileges assigned to organization-defined roles or classes of\n users with the organization-defined frequency to validate the need for such\n privileges; and" - } - ], - "links": [ - { - "href": "#ac-6.7_smt.a", - "rel": "corresp", - "text": "AC-6(7)(a)" - } - ] - }, - { - "id": "ac-6.7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(7)(b)" - } - ], - "prose": "reassigns or removes privileges, if necessary, to correctly reflect\n organizational missions/business needs.", - "links": [ - { - "href": "#ac-6.7_smt.b", - "rel": "corresp", - "text": "AC-6(7)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated roles or classes of users and assigned privileges\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nvalidation reviews of privileges assigned to roles or classes or users\\n\\nrecords of privilege removals or reassignments for roles or classes of\n users\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing review of user privileges" - } - ] - } - ] - }, - { - "id": "ac-6.8", - "class": "SP800-53-enhancement", - "title": "Privilege Levels for Code Execution", - "parameters": [ - { - "id": "ac-6.8_prm_1", - "label": "organization-defined software", - "constraints": [ - { - "detail": "any software except software explicitly documented" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(8)" - }, - { - "name": "sort-id", - "value": "ac-06.08" - } - ], - "parts": [ - { - "id": "ac-6.8_smt", - "name": "statement", - "prose": "The information system prevents {{ ac-6.8_prm_1 }} from executing\n at higher privilege levels than users executing the software." - }, - { - "id": "ac-6.8_gdn", - "name": "guidance", - "prose": "In certain situations, software applications/programs need to execute with\n elevated privileges to perform required functions. However, if the privileges\n required for execution are at a higher level than the privileges assigned to\n organizational users invoking such applications/programs, those users are\n indirectly provided with greater privileges than assigned by organizations." - }, - { - "id": "ac-6.8_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-6.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(8)[1]" - } - ], - "prose": "the organization defines software that should not execute at higher privilege\n levels than users executing the software; and" - }, - { - "id": "ac-6.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(8)[2]" - } - ], - "prose": "the information system prevents organization-defined software from executing at\n higher privilege levels than users executing the software." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of software that should not execute at higher privilege levels than users\n executing software\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for software\n execution" - } - ] - } - ] - }, - { - "id": "ac-6.9", - "class": "SP800-53-enhancement", - "title": "Auditing Use of Privileged Functions", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-6(9)" - }, - { - "name": "sort-id", - "value": "ac-06.09" - } - ], - "parts": [ - { - "id": "ac-6.9_smt", - "name": "statement", - "prose": "The information system audits the execution of privileged functions." - }, - { - "id": "ac-6.9_gdn", - "name": "guidance", - "prose": "Misuse of privileged functions, either intentionally or unintentionally by\n authorized users, or by unauthorized external entities that have compromised\n information system accounts, is a serious and ongoing concern and can have\n significant adverse impacts on organizations. Auditing the use of privileged\n functions is one way to detect such misuse, and in doing so, help mitigate the\n risk from insider threats and the advanced persistent threat (APT).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "ac-6.9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system audits the execution of privileged functions.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions to be audited\\n\\nlist of audited events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms auditing the execution of least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.10", - "class": "SP800-53-enhancement", - "title": "Prohibit Non-privileged Users from Executing Privileged Functions", - "properties": [ - { - "name": "label", - "value": "AC-6(10)" - }, - { - "name": "sort-id", - "value": "ac-06.10" - } - ], - "parts": [ - { - "id": "ac-6.10_smt", - "name": "statement", - "prose": "The information system prevents non-privileged users from executing privileged\n functions to include disabling, circumventing, or altering implemented security\n safeguards/countermeasures." - }, - { - "id": "ac-6.10_gdn", - "name": "guidance", - "prose": "Privileged functions include, for example, establishing information system\n accounts, performing system integrity checks, or administering cryptographic key\n management activities. Non-privileged users are individuals that do not possess\n appropriate authorizations. Circumventing intrusion detection and prevention\n mechanisms or malicious code protection mechanisms are examples of privileged\n functions that require protection from non-privileged users." - }, - { - "id": "ac-6.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system prevents non-privileged users from executing\n privileged functions to include:", - "parts": [ - { - "id": "ac-6.10_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(10)[1]" - } - ], - "prose": "disabling implemented security safeguards/countermeasures;" - }, - { - "id": "ac-6.10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(10)[2]" - } - ], - "prose": "circumventing security safeguards/countermeasures; or" - }, - { - "id": "ac-6.10_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(10)[3]" - } - ], - "prose": "altering implemented security safeguards/countermeasures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions and associated user account assignments\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for non-privileged\n users" - } - ] - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "parameters": [ - { - "id": "ac-7_prm_1", - "label": "organization-defined number", - "constraints": [ - { - "detail": "not more than three (3)" - } - ] - }, - { - "id": "ac-7_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - { - "id": "ac-7_prm_3" - }, - { - "id": "ac-7_prm_4", - "depends-on": "ac-7_prm_3", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "locks the account/node for a minimum of three (3) hours or until unlocked by an administrator" - } - ] - }, - { - "id": "ac-7_prm_5", - "depends-on": "ac-7_prm_3", - "label": "organization-defined delay algorithm" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-7" - }, - { - "name": "sort-id", - "value": "ac-07" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - } - ] - }, - { - "id": "ac-7_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)" - } - ], - "parts": [ - { - "id": "ac-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(a)[1]" - } - ], - "prose": "the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;" - }, - { - "id": "ac-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(a)[2]" - } - ], - "prose": "the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;" - }, - { - "id": "ac-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(a)[3]" - } - ], - "prose": "the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;" - } - ] - }, - { - "id": "ac-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)" - } - ], - "parts": [ - { - "id": "ac-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(b)[1]" - } - ], - "prose": "the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;" - }, - { - "id": "ac-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(b)[2]" - } - ], - "prose": "the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:", - "parts": [ - { - "id": "ac-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][a]" - } - ], - "prose": "locks the account/node for the organization-defined time period;" - }, - { - "id": "ac-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][b]" - } - ], - "prose": "locks the account/node until released by an administrator; or" - }, - { - "id": "ac-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][c]" - } - ], - "prose": "delays next logon prompt according to the organization-defined delay\n algorithm." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon\n attempts" - } - ] - } - ], - "controls": [ - { - "id": "ac-7.2", - "class": "SP800-53-enhancement", - "title": "Purge / Wipe Mobile Device", - "parameters": [ - { - "id": "ac-7.2_prm_1", - "label": "organization-defined mobile devices", - "constraints": [ - { - "detail": "mobile devices as defined by organization policy" - } - ] - }, - { - "id": "ac-7.2_prm_2", - "label": "organization-defined purging/wiping requirements/techniques" - }, - { - "id": "ac-7.2_prm_3", - "label": "organization-defined number", - "constraints": [ - { - "detail": "three (3)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-7(2)" - }, - { - "name": "sort-id", - "value": "ac-07.02" - } - ], - "parts": [ - { - "id": "ac-7.2_smt", - "name": "statement", - "prose": "The information system purges/wipes information from {{ ac-7.2_prm_1 }} based on {{ ac-7.2_prm_2 }} after\n {{ ac-7.2_prm_3 }} consecutive, unsuccessful device logon\n attempts." - }, - { - "id": "ac-7.2_gdn", - "name": "guidance", - "prose": "This control enhancement applies only to mobile devices for which a logon occurs\n (e.g., personal digital assistants, smart phones, tablets). The logon is to the\n mobile device, not to any one account on the device. Therefore, successful logons\n to any accounts on mobile devices reset the unsuccessful logon count to zero.\n Organizations define information to be purged/wiped carefully in order to avoid\n over purging/wiping which may result in devices becoming unusable. Purging/wiping\n may be unnecessary if the information on the device is protected with sufficiently\n strong encryption mechanisms.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-7.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-7.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(2)[1]" - } - ], - "prose": "the organization defines mobile devices to be purged/wiped after\n organization-defined number of consecutive, unsuccessful device logon\n attempts;" - }, - { - "id": "ac-7.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(2)[2]" - } - ], - "prose": "the organization defines purging/wiping requirements/techniques to be used when\n organization-defined mobile devices are purged/wiped after organization-defined\n number of consecutive, unsuccessful device logon attempts;" - }, - { - "id": "ac-7.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(2)[3]" - } - ], - "prose": "the organization defines the number of consecutive, unsuccessful logon attempts\n allowed for accessing mobile devices before the information system purges/wipes\n information from such devices; and" - }, - { - "id": "ac-7.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(2)[4]" - } - ], - "prose": "the information system purges/wipes information from organization-defined\n mobile devices based on organization-defined purging/wiping\n requirements/techniques after organization-defined number of consecutive,\n unsuccessful logon attempts." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing unsuccessful login attempts on mobile devices\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of mobile devices to be purged/wiped after organization-defined\n consecutive, unsuccessful device logon attempts\\n\\nlist of purging/wiping requirements or techniques for mobile devices\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful device\n logon attempts" - } - ] - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "parameters": [ - { - "id": "ac-8_prm_1", - "label": "organization-defined system use notification message or banner", - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - }, - { - "id": "ac-8_prm_2", - "label": "organization-defined conditions", - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-8" - }, - { - "name": "sort-id", - "value": "ac-08" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Information system usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Use of the information system indicates consent to monitoring and\n recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Includes a description of the authorized uses of the system." - } - ] - }, - { - "id": "ac-8_fr", - "name": "item", - "title": "AC-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO." - }, - { - "id": "ac-8_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided." - }, - { - "id": "ac-8_fr_smt.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content." - }, - { - "id": "ac-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)" - } - ], - "parts": [ - { - "id": "ac-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(a)[1]" - } - ], - "prose": "the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;" - }, - { - "id": "ac-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(a)[2]" - } - ], - "prose": "the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:", - "parts": [ - { - "id": "ac-8.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](1)" - } - ], - "prose": "users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](2)" - } - ], - "prose": "information system usage may be monitored, recorded, and subject to\n audit;" - }, - { - "id": "ac-8.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](3)" - } - ], - "prose": "unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;" - }, - { - "id": "ac-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](4)" - } - ], - "prose": "use of the information system indicates consent to monitoring and\n recording;" - } - ] - } - ] - }, - { - "id": "ac-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(b)" - } - ], - "prose": "the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;" - }, - { - "id": "ac-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)" - } - ], - "prose": "for publicly accessible systems:", - "parts": [ - { - "id": "ac-8.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(1)" - } - ], - "parts": [ - { - "id": "ac-8.c.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(c)(1)[1]" - } - ], - "prose": "the organization defines conditions for system use to be displayed by the\n information system before granting further access;" - }, - { - "id": "ac-8.c.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(c)(1)[2]" - } - ], - "prose": "the information system displays organization-defined conditions before\n granting further access;" - } - ] - }, - { - "id": "ac-8.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(c)(2)" - } - ], - "prose": "the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and" - }, - { - "id": "ac-8.c.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(c)(3)" - } - ], - "prose": "the information system includes a description of the authorized uses of the\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system use notification" - } - ] - } - ] - }, - { - "id": "ac-10", - "class": "SP800-53", - "title": "Concurrent Session Control", - "parameters": [ - { - "id": "ac-10_prm_1", - "label": "organization-defined account and/or account type" - }, - { - "id": "ac-10_prm_2", - "label": "organization-defined number", - "constraints": [ - { - "detail": "three (3) sessions for privileged access and two (2) sessions for non-privileged access" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-10" - }, - { - "name": "sort-id", - "value": "ac-10" - } - ], - "parts": [ - { - "id": "ac-10_smt", - "name": "statement", - "prose": "The information system limits the number of concurrent sessions for each {{ ac-10_prm_1 }} to {{ ac-10_prm_2 }}." - }, - { - "id": "ac-10_gdn", - "name": "guidance", - "prose": "Organizations may define the maximum number of concurrent sessions for information\n system accounts globally, by account type (e.g., privileged user, non-privileged\n user, domain, specific application), by account, or a combination. For example,\n organizations may limit the number of concurrent sessions for system administrators\n or individuals working in particularly sensitive domains or mission-critical\n applications. This control addresses concurrent sessions for information system\n accounts and does not address concurrent sessions by single users via multiple system\n accounts." - }, - { - "id": "ac-10_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-10[1]" - } - ], - "prose": "the organization defines account and/or account types for the information\n system;" - }, - { - "id": "ac-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-10[2]" - } - ], - "prose": "the organization defines the number of concurrent sessions to be allowed for each\n organization-defined account and/or account type; and" - }, - { - "id": "ac-10_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-10[3]" - } - ], - "prose": "the information system limits the number of concurrent sessions for each\n organization-defined account and/or account type to the organization-defined\n number of concurrent sessions allowed." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing concurrent session control\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for concurrent session\n control" - } - ] - } - ] - }, - { - "id": "ac-11", - "class": "SP800-53", - "title": "Session Lock", - "parameters": [ - { - "id": "ac-11_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-11" - }, - { - "name": "sort-id", - "value": "ac-11" - } - ], - "links": [ - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - } - ], - "parts": [ - { - "id": "ac-11_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prevents further access to the system by initiating a session lock after {{ ac-11_prm_1 }} of inactivity or upon receiving a request from a user;\n and" - }, - { - "id": "ac-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains the session lock until the user reestablishes access using established\n identification and authentication procedures." - } - ] - }, - { - "id": "ac-11_gdn", - "name": "guidance", - "prose": "Session locks are temporary actions taken when users stop work and move away from the\n immediate vicinity of information systems but do not want to log out because of the\n temporary nature of their absences. Session locks are implemented where session\n activities can be determined. This is typically at the operating system level, but\n can also be at the application level. Session locks are not an acceptable substitute\n for logging out of information systems, for example, if organizations require users\n to log out at the end of workdays.", - "links": [ - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - } - ] - }, - { - "id": "ac-11_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-11(a)" - } - ], - "parts": [ - { - "id": "ac-11.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-11(a)[1]" - } - ], - "prose": "the organization defines the time period of user inactivity after which the\n information system initiates a session lock;" - }, - { - "id": "ac-11.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11(a)[2]" - } - ], - "prose": "the information system prevents further access to the system by initiating a\n session lock after organization-defined time period of user inactivity or upon\n receiving a request from a user; and" - } - ] - }, - { - "id": "ac-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11(b)" - } - ], - "prose": "the information system retains the session lock until the user reestablishes\n access using established identification and authentication procedures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session lock\\n\\nprocedures addressing identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for session lock" - } - ] - } - ], - "controls": [ - { - "id": "ac-11.1", - "class": "SP800-53-enhancement", - "title": "Pattern-hiding Displays", - "properties": [ - { - "name": "label", - "value": "AC-11(1)" - }, - { - "name": "sort-id", - "value": "ac-11.01" - } - ], - "parts": [ - { - "id": "ac-11.1_smt", - "name": "statement", - "prose": "The information system conceals, via the session lock, information previously\n visible on the display with a publicly viewable image." - }, - { - "id": "ac-11.1_gdn", - "name": "guidance", - "prose": "Publicly viewable images can include static or dynamic images, for example,\n patterns used with screen savers, photographic images, solid colors, clock,\n battery life indicator, or a blank screen, with the additional caveat that none of\n the images convey sensitive information." - }, - { - "id": "ac-11.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system conceals, via the session lock, information\n previously visible on the display with a publicly viewable image." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session lock\\n\\ndisplay screen with session lock activated\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system session lock mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ac-12", - "class": "SP800-53", - "title": "Session Termination", - "parameters": [ - { - "id": "ac-12_prm_1", - "label": "organization-defined conditions or trigger events requiring session\n disconnect" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-12" - }, - { - "name": "sort-id", - "value": "ac-12" - } - ], - "parts": [ - { - "id": "ac-12_smt", - "name": "statement", - "prose": "The information system automatically terminates a user session after {{ ac-12_prm_1 }}." - }, - { - "id": "ac-12_gdn", - "name": "guidance", - "prose": "This control addresses the termination of user-initiated logical sessions in contrast\n to SC-10 which addresses the termination of network connections that are associated\n with communications sessions (i.e., network disconnect). A logical session (for\n local, network, and remote access) is initiated whenever a user (or process acting on\n behalf of a user) accesses an organizational information system. Such user sessions\n can be terminated (and thus terminate user access) without terminating network\n sessions. Session termination terminates all processes associated with a user’s\n logical session except those processes that are specifically created by the user\n (i.e., session owner) to continue after the session is terminated. Conditions or\n trigger events requiring automatic session termination can include, for example,\n organization-defined periods of user inactivity, targeted responses to certain types\n of incidents, time-of-day restrictions on information system use.", - "links": [ - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-23", - "rel": "related", - "text": "SC-23" - } - ] - }, - { - "id": "ac-12_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-12[1]" - } - ], - "prose": "the organization defines conditions or trigger events requiring session\n disconnect; and" - }, - { - "id": "ac-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12[2]" - } - ], - "prose": "the information system automatically terminates a user session after\n organization-defined conditions or trigger events requiring session disconnect\n occurs." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session termination\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of conditions or trigger events requiring session disconnect\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session termination" - } - ] - } - ], - "controls": [ - { - "id": "ac-12.1", - "class": "SP800-53-enhancement", - "title": "User-initiated Logouts / Message Displays", - "parameters": [ - { - "id": "ac-12.1_prm_1", - "label": "organization-defined information resources" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-12(1)" - }, - { - "name": "sort-id", - "value": "ac-12.01" - } - ], - "parts": [ - { - "id": "ac-12.1_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-12.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Provides a logout capability for user-initiated communications sessions\n whenever authentication is used to gain access to {{ ac-12.1_prm_1 }}; and" - }, - { - "id": "ac-12.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Displays an explicit logout message to users indicating the reliable\n termination of authenticated communications sessions." - }, - { - "id": "ac-12.1_fr", - "name": "item", - "title": "AC-12 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-12.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29" - } - ] - } - ] - }, - { - "id": "ac-12.1_gdn", - "name": "guidance", - "prose": "Information resources to which users gain access via authentication include, for\n example, local workstations, databases, and password-protected websites/web-based\n services. Logout messages for web page access, for example, can be displayed after\n authenticated sessions have been terminated. However, for some types of\n interactive sessions including, for example, file transfer protocol (FTP)\n sessions, information systems typically send logout messages as final messages\n prior to terminating sessions." - }, - { - "id": "ac-12.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-12.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-12(1)(a)" - } - ], - "parts": [ - { - "id": "ac-12.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-12(1)(a)[1]" - } - ], - "prose": "the organization defines information resources for which user authentication\n is required to gain access to such resources;" - }, - { - "id": "ac-12.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(1)(a)[2]" - } - ], - "prose": "the information system provides a logout capability for user-initiated\n communications sessions whenever authentication is used to gain access to\n organization-defined information resources; and" - } - ], - "links": [ - { - "href": "#ac-12.1_smt.a", - "rel": "corresp", - "text": "AC-12(1)(a)" - } - ] - }, - { - "id": "ac-12.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12(1)(b)" - } - ], - "prose": "the information system displays an explicit logout message to users indicating\n the reliable termination of authenticated communications sessions.", - "links": [ - { - "href": "#ac-12.1_smt.b", - "rel": "corresp", - "text": "AC-12(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session termination\\n\\nuser logout messages\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system session lock mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "parameters": [ - { - "id": "ac-14_prm_1", - "label": "organization-defined user actions" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "ac-14" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - } - ] - }, - { - "id": "ac-14_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(a)" - } - ], - "parts": [ - { - "id": "ac-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14(a)[1]" - } - ], - "prose": "defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;" - }, - { - "id": "ac-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-14(a)[2]" - } - ], - "prose": "identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - } - ] - }, - { - "id": "ac-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14(b)" - } - ], - "prose": "documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "ac-17" - } - ], - "links": [ - { - "href": "#5309d4d0-46f8-4213-a749-e7584164e5e8", - "rel": "reference", - "text": "NIST Special Publication 800-46" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#349fe082-502d-464a-aa0c-1443c6a5cf40", - "rel": "reference", - "text": "NIST Special Publication 800-113" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#d1a4e2a9-e512-4132-8795-5357aba29254", - "rel": "reference", - "text": "NIST Special Publication 800-121" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#pe-17", - "rel": "related", - "text": "PE-17" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-17_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)" - } - ], - "parts": [ - { - "id": "ac-17.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[1]" - } - ], - "prose": "identifies the types of remote access allowed to the information system;" - }, - { - "id": "ac-17.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[2]" - } - ], - "prose": "establishes for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][c]" - } - ], - "prose": "implementation guidance;" - } - ] - }, - { - "id": "ac-17.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[3]" - } - ], - "prose": "documents for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][c]" - } - ], - "prose": "implementation guidance; and" - } - ] - } - ] - }, - { - "id": "ac-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(b)" - } - ], - "prose": "authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Remote access management capability for the information system" - } - ] - } - ], - "controls": [ - { - "id": "ac-17.1", - "class": "SP800-53-enhancement", - "title": "Automated Monitoring / Control", - "properties": [ - { - "name": "label", - "value": "AC-17(1)" - }, - { - "name": "sort-id", - "value": "ac-17.01" - } - ], - "parts": [ - { - "id": "ac-17.1_smt", - "name": "statement", - "prose": "The information system monitors and controls remote access methods." - }, - { - "id": "ac-17.1_gdn", - "name": "guidance", - "prose": "Automated monitoring and control of remote access sessions allows organizations to\n detect cyber attacks and also ensure ongoing compliance with remote access\n policies by auditing connection activities of remote users on a variety of\n information system components (e.g., servers, workstations, notebook computers,\n smart phones, and tablets).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "ac-17.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system monitors and controls remote access methods.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system monitoring records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms monitoring and controlling remote access methods" - } - ] - } - ] - }, - { - "id": "ac-17.2", - "class": "SP800-53-enhancement", - "title": "Protection of Confidentiality / Integrity Using Encryption", - "properties": [ - { - "name": "label", - "value": "AC-17(2)" - }, - { - "name": "sort-id", - "value": "ac-17.02" - } - ], - "parts": [ - { - "id": "ac-17.2_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of remote access sessions." - }, - { - "id": "ac-17.2_gdn", - "name": "guidance", - "prose": "The encryption strength of mechanism is selected based on the security\n categorization of the information.", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-17.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements cryptographic mechanisms to protect\n the confidentiality and integrity of remote access sessions. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting confidentiality and integrity of remote\n access sessions" - } - ] - } - ] - }, - { - "id": "ac-17.3", - "class": "SP800-53-enhancement", - "title": "Managed Access Control Points", - "parameters": [ - { - "id": "ac-17.3_prm_1", - "label": "organization-defined number" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-17(3)" - }, - { - "name": "sort-id", - "value": "ac-17.03" - } - ], - "parts": [ - { - "id": "ac-17.3_smt", - "name": "statement", - "prose": "The information system routes all remote accesses through {{ ac-17.3_prm_1 }} managed network access control points." - }, - { - "id": "ac-17.3_gdn", - "name": "guidance", - "prose": "Limiting the number of access control points for remote accesses reduces the\n attack surface for organizations. Organizations consider the Trusted Internet\n Connections (TIC) initiative requirements for external network connections.", - "links": [ - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "ac-17.3_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-17.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(3)[1]" - } - ], - "prose": "the organization defines the number of managed network access control points\n through which all remote accesses are to be routed; and" - }, - { - "id": "ac-17.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(3)[2]" - } - ], - "prose": "the information system routes all remote accesses through the\n organization-defined number of managed network access control points." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\nlist of all managed network access control points\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms routing all remote accesses through managed network access\n control points" - } - ] - } - ] - }, - { - "id": "ac-17.4", - "class": "SP800-53-enhancement", - "title": "Privileged Commands / Access", - "parameters": [ - { - "id": "ac-17.4_prm_1", - "label": "organization-defined needs" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-17(4)" - }, - { - "name": "sort-id", - "value": "ac-17.04" - } - ], - "parts": [ - { - "id": "ac-17.4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-17.4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Authorizes the execution of privileged commands and access to security-relevant\n information via remote access only for {{ ac-17.4_prm_1 }};\n and" - }, - { - "id": "ac-17.4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Documents the rationale for such access in the security plan for the\n information system." - } - ] - }, - { - "id": "ac-17.4_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ac-17.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(4)(a)" - } - ], - "parts": [ - { - "id": "ac-17.4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(4)(a)[1]" - } - ], - "prose": "defines needs to authorize the execution of privileged commands and access\n to security-relevant information via remote access;" - }, - { - "id": "ac-17.4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(4)(a)[2]" - } - ], - "prose": "authorizes the execution of privileged commands and access to\n security-relevant information via remote access only for\n organization-defined needs; and" - } - ], - "links": [ - { - "href": "#ac-17.4_smt.a", - "rel": "corresp", - "text": "AC-17(4)(a)" - } - ] - }, - { - "id": "ac-17.4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(4)(b)" - } - ], - "prose": "documents the rationale for such access in the information system security\n plan.", - "links": [ - { - "href": "#ac-17.4_smt.b", - "rel": "corresp", - "text": "AC-17(4)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing remote access management" - } - ] - } - ] - }, - { - "id": "ac-17.9", - "class": "SP800-53-enhancement", - "title": "Disconnect / Disable Access", - "parameters": [ - { - "id": "ac-17.9_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-17(9)" - }, - { - "name": "sort-id", - "value": "ac-17.09" - } - ], - "parts": [ - { - "id": "ac-17.9_smt", - "name": "statement", - "prose": "The organization provides the capability to expeditiously disconnect or disable\n remote access to the information system within {{ ac-17.9_prm_1 }}." - }, - { - "id": "ac-17.9_gdn", - "name": "guidance", - "prose": "This control enhancement requires organizations to have the capability to rapidly\n disconnect current users remotely accessing the information system and/or disable\n further remote access. The speed of disconnect or disablement varies based on the\n criticality of missions/business functions and the need to eliminate immediate or\n future remote access to organizational information systems." - }, - { - "id": "ac-17.9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.9_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(9)[1]" - } - ], - "prose": "defines the time period within which to expeditiously disconnect or disable\n remote access to the information system; and" - }, - { - "id": "ac-17.9_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(9)[2]" - } - ], - "prose": "provides the capability to expeditiously disconnect or disable remote access to\n the information system within the organization-defined time period." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing disconnecting or disabling remote access to the\n information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan, information system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to disconnect or disable remote\n access to information system" - } - ] - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "ac-18" - } - ], - "links": [ - { - "href": "#238ed479-eccb-49f6-82ec-ab74a7a428cf", - "rel": "reference", - "text": "NIST Special Publication 800-48" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#6f336ecd-f2a0-4c84-9699-0491d81b6e0d", - "rel": "reference", - "text": "NIST Special Publication 800-97" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-18.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(a)" - } - ], - "prose": "establishes for wireless access:", - "parts": [ - { - "id": "ac-18.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-18.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-18.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-18.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(b)" - } - ], - "prose": "authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access management capability for the information system" - } - ] - } - ], - "controls": [ - { - "id": "ac-18.1", - "class": "SP800-53-enhancement", - "title": "Authentication and Encryption", - "parameters": [ - { - "id": "ac-18.1_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-18(1)" - }, - { - "name": "sort-id", - "value": "ac-18.01" - } - ], - "parts": [ - { - "id": "ac-18.1_smt", - "name": "statement", - "prose": "The information system protects wireless access to the system using authentication\n of {{ ac-18.1_prm_1 }} and encryption." - }, - { - "id": "ac-18.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-18.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system protects wireless access to the system using\n encryption and one or more of the following:", - "parts": [ - { - "id": "ac-18.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(1)[1]" - } - ], - "prose": "authentication of users; and/or" - }, - { - "id": "ac-18.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(1)[2]" - } - ], - "prose": "authentication of devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing wireless access protections to the\n information system" - } - ] - } - ] - }, - { - "id": "ac-18.3", - "class": "SP800-53-enhancement", - "title": "Disable Wireless Networking", - "properties": [ - { - "name": "label", - "value": "AC-18(3)" - }, - { - "name": "sort-id", - "value": "ac-18.03" - } - ], - "parts": [ - { - "id": "ac-18.3_smt", - "name": "statement", - "prose": "The organization disables, when not intended for use, wireless networking\n capabilities internally embedded within information system components prior to\n issuance and deployment." - }, - { - "id": "ac-18.3_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - } - ] - }, - { - "id": "ac-18.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization disables, when not intended for use, wireless\n networking capabilities internally embedded within information system components\n prior to issuance and deployment." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing the disabling of wireless networking capabilities\n internally embedded within information system components" - } - ] - } - ] - }, - { - "id": "ac-18.4", - "class": "SP800-53-enhancement", - "title": "Restrict Configurations by Users", - "properties": [ - { - "name": "label", - "value": "AC-18(4)" - }, - { - "name": "sort-id", - "value": "ac-18.04" - } - ], - "parts": [ - { - "id": "ac-18.4_smt", - "name": "statement", - "prose": "The organization identifies and explicitly authorizes users allowed to\n independently configure wireless networking capabilities." - }, - { - "id": "ac-18.4_gdn", - "name": "guidance", - "prose": "Organizational authorizations to allow selected users to configure wireless\n networking capability are enforced in part, by the access enforcement mechanisms\n employed within organizational information systems.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#sc-15", - "rel": "related", - "text": "SC-15" - } - ] - }, - { - "id": "ac-18.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-18.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(4)[1]" - } - ], - "prose": "identifies users allowed to independently configure wireless networking\n capabilities; and" - }, - { - "id": "ac-18.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(4)[2]" - } - ], - "prose": "explicitly authorizes the identified users allowed to independently configure\n wireless networking capabilities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms authorizing independent user configuration of wireless\n networking capabilities" - } - ] - } - ] - }, - { - "id": "ac-18.5", - "class": "SP800-53-enhancement", - "title": "Antennas / Transmission Power Levels", - "properties": [ - { - "name": "label", - "value": "AC-18(5)" - }, - { - "name": "sort-id", - "value": "ac-18.05" - } - ], - "parts": [ - { - "id": "ac-18.5_smt", - "name": "statement", - "prose": "The organization selects radio antennas and calibrates transmission power levels\n to reduce the probability that usable signals can be received outside of\n organization-controlled boundaries." - }, - { - "id": "ac-18.5_gdn", - "name": "guidance", - "prose": "Actions that may be taken by organizations to limit unauthorized use of wireless\n communications outside of organization-controlled boundaries include, for example:\n (i) reducing the power of wireless transmissions so that the transmissions are\n less likely to emit a signal that can be used by adversaries outside of the\n physical perimeters of organizations; (ii) employing measures such as TEMPEST to\n control wireless emanations; and (iii) using directional/beam forming antennas\n that reduce the likelihood that unintended receivers will be able to intercept\n signals. Prior to taking such actions, organizations can conduct periodic wireless\n surveys to understand the radio frequency profile of organizational information\n systems as well as other systems that may be operating in the area.", - "links": [ - { - "href": "#pe-19", - "rel": "related", - "text": "PE-19" - } - ] - }, - { - "id": "ac-18.5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-18.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(5)[1]" - } - ], - "prose": "selects radio antennas to reduce the probability that usable signals can be\n received outside of organization-controlled boundaries; and" - }, - { - "id": "ac-18.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(5)[2]" - } - ], - "prose": "calibrates transmission power levels to reduce the probability that usable\n signals can be received outside of organization-controlled boundaries." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access capability protecting usable signals from unauthorized access\n outside organization-controlled boundaries" - } - ] - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "ac-19" - } - ], - "links": [ - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589", - "rel": "reference", - "text": "NIST Special Publication 800-124" - }, - { - "href": "#6513e480-fada-4876-abba-1397084dfb26", - "rel": "reference", - "text": "NIST Special Publication 800-164" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-9", - "rel": "related", - "text": "CA-9" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-43", - "rel": "related", - "text": "SC-43" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-19.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(a)" - } - ], - "prose": "establishes for organization-controlled mobile devices:", - "parts": [ - { - "id": "ac-19.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-19.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-19.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-19.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(b)" - } - ], - "prose": "authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control capability authorizing mobile device connections to organizational\n information systems" - } - ] - } - ], - "controls": [ - { - "id": "ac-19.5", - "class": "SP800-53-enhancement", - "title": "Full Device / Container-based Encryption", - "parameters": [ - { - "id": "ac-19.5_prm_1" - }, - { - "id": "ac-19.5_prm_2", - "label": "organization-defined mobile devices" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-19(5)" - }, - { - "name": "sort-id", - "value": "ac-19.05" - } - ], - "parts": [ - { - "id": "ac-19.5_smt", - "name": "statement", - "prose": "The organization employs {{ ac-19.5_prm_1 }} to protect the\n confidentiality and integrity of information on {{ ac-19.5_prm_2 }}." - }, - { - "id": "ac-19.5_gdn", - "name": "guidance", - "prose": "Container-based encryption provides a more fine-grained approach to the encryption\n of data/information on mobile devices, including for example, encrypting selected\n data structures such as files, records, or fields.", - "links": [ - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "ac-19.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-19.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(5)[1]" - } - ], - "prose": "defines mobile devices for which full-device encryption or container encryption\n is required to protect the confidentiality and integrity of information on such\n devices; and" - }, - { - "id": "ac-19.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(5)[2]" - } - ], - "prose": "employs full-device encryption or container encryption to protect the\n confidentiality and integrity of information on organization-defined mobile\n devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access control for mobile devices\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nencryption mechanism s and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities for mobile\n devices\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Encryption mechanisms protecting confidentiality and integrity of information\n on mobile devices" - } - ] - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Information Systems", - "properties": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "ac-20" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "prose": "The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Access the information system from external information systems; and" - }, - { - "id": "ac-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ac-20_obj", - "name": "objective", - "prose": "Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ", - "parts": [ - { - "id": "ac-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(a)" - } - ], - "prose": "access the information system from the external information systems; and" - }, - { - "id": "ac-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(b)" - } - ], - "prose": "process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing terms and conditions on use of external\n information systems" - } - ] - } - ], - "controls": [ - { - "id": "ac-20.1", - "class": "SP800-53-enhancement", - "title": "Limits On Authorized Use", - "properties": [ - { - "name": "label", - "value": "AC-20(1)" - }, - { - "name": "sort-id", - "value": "ac-20.01" - } - ], - "parts": [ - { - "id": "ac-20.1_smt", - "name": "statement", - "prose": "The organization permits authorized individuals to use an external information\n system to access the information system or to process, store, or transmit\n organization-controlled information only when the organization:", - "parts": [ - { - "id": "ac-20.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or" - }, - { - "id": "ac-20.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system." - } - ] - }, - { - "id": "ac-20.1_gdn", - "name": "guidance", - "prose": "This control enhancement recognizes that there are circumstances where individuals\n using external information systems (e.g., contractors, coalition partners) need to\n access organizational information systems. In those situations, organizations need\n confidence that the external information systems contain the necessary security\n safeguards (i.e., security controls), so as not to compromise, damage, or\n otherwise harm organizational information systems. Verification that the required\n security controls have been implemented can be achieved, for example, by\n third-party, independent assessments, attestations, or other means, depending on\n the confidence level required by organizations.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - } - ] - }, - { - "id": "ac-20.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization permits authorized individuals to use an external\n information system to access the information system or to process, store, or\n transmit organization-controlled information only when the organization: ", - "parts": [ - { - "id": "ac-20.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-20(1)(a)" - } - ], - "prose": "verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or", - "links": [ - { - "href": "#ac-20.1_smt.a", - "rel": "corresp", - "text": "AC-20(1)(a)" - } - ] - }, - { - "id": "ac-20.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-20(1)(b)" - } - ], - "prose": "retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system.", - "links": [ - { - "href": "#ac-20.1_smt.b", - "rel": "corresp", - "text": "AC-20(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing limits on use of external information\n systems" - } - ] - } - ] - }, - { - "id": "ac-20.2", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices", - "parameters": [ - { - "id": "ac-20.2_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-20(2)" - }, - { - "name": "sort-id", - "value": "ac-20.02" - } - ], - "parts": [ - { - "id": "ac-20.2_smt", - "name": "statement", - "prose": "The organization {{ ac-20.2_prm_1 }} the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems." - }, - { - "id": "ac-20.2_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external\n information systems include, for example, complete prohibition of the use of such\n devices or restrictions on how the devices may be used and under what conditions\n the devices may be used." - }, - { - "id": "ac-20.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization restricts or prohibits the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for restricting or prohibiting\n use of organization-controlled storage devices on external information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on use of portable storage\n devices" - } - ] - } - ] - } - ] - }, - { - "id": "ac-21", - "class": "SP800-53", - "title": "Information Sharing", - "parameters": [ - { - "id": "ac-21_prm_1", - "label": "organization-defined information sharing circumstances where user discretion is\n required" - }, - { - "id": "ac-21_prm_2", - "label": "organization-defined automated mechanisms or manual processes" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-21" - }, - { - "name": "sort-id", - "value": "ac-21" - } - ], - "parts": [ - { - "id": "ac-21_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-21_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Facilitates information sharing by enabling authorized users to determine whether\n access authorizations assigned to the sharing partner match the access\n restrictions on the information for {{ ac-21_prm_1 }}; and" - }, - { - "id": "ac-21_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs {{ ac-21_prm_2 }} to assist users in making information\n sharing/collaboration decisions." - } - ] - }, - { - "id": "ac-21_gdn", - "name": "guidance", - "prose": "This control applies to information that may be restricted in some manner (e.g.,\n privileged medical information, contract-sensitive information, proprietary\n information, personally identifiable information, classified information related to\n special access programs or compartments) based on some formal or administrative\n determination. Depending on the particular information-sharing circumstances, sharing\n partners may be defined at the individual, group, or organizational level.\n Information may be defined by content, type, security category, or special access\n program/compartment.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - } - ] - }, - { - "id": "ac-21_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-21.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-21(a)" - } - ], - "parts": [ - { - "id": "ac-21.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(a)[1]" - } - ], - "prose": "defines information sharing circumstances where user discretion is\n required;" - }, - { - "id": "ac-21.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(a)[2]" - } - ], - "prose": "facilitates information sharing by enabling authorized users to determine\n whether access authorizations assigned to the sharing partner match the access\n restrictions on the information for organization-defined information sharing\n circumstances;" - } - ] - }, - { - "id": "ac-21.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-21(b)" - } - ], - "parts": [ - { - "id": "ac-21.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(b)[1]" - } - ], - "prose": "defines automated mechanisms or manual processes to be employed to assist users\n in making information sharing/collaboration decisions; and" - }, - { - "id": "ac-21.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(b)[2]" - } - ], - "prose": "employs organization-defined automated mechanisms or manual processes to assist\n users in making information sharing/collaboration decisions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing user-based collaboration and information sharing (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of users authorized to make information sharing/collaboration decisions\\n\\nlist of information sharing circumstances requiring user discretion\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for making information sharing/collaboration\n decisions\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms or manual process implementing access authorizations\n supporting information sharing/user collaboration decisions" - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "parameters": [ - { - "id": "ac-22_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "ac-22" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-13", - "rel": "related", - "text": "AU-13" - } - ] - }, - { - "id": "ac-22_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-22.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22(a)" - } - ], - "prose": "designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(b)" - } - ], - "prose": "trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(c)" - } - ], - "prose": "reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;" - }, - { - "id": "ac-22.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)" - } - ], - "parts": [ - { - "id": "ac-22.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22(d)[1]" - } - ], - "prose": "defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;" - }, - { - "id": "ac-22.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(d)[2]" - } - ], - "prose": "reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and" - }, - { - "id": "ac-22.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(d)[3]" - } - ], - "prose": "removes nonpublic information from the publicly accessible information system,\n if discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of publicly accessible content" - } - ] - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Security Awareness and Training Policy and Procedures", - "parameters": [ - { - "id": "at-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - { - "id": "at-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-1" - }, - { - "name": "sort-id", - "value": "at-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "at-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security awareness and training policy {{ at-1_prm_2 }}; and" - }, - { - "id": "at-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security awareness and training procedures {{ at-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "at-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(1)[1]" - } - ], - "prose": "develops and documents an security awareness and training policy that\n addresses:", - "parts": [ - { - "id": "at-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "at-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "at-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "at-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "at-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "at-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "at-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "at-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;" - }, - { - "id": "at-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-1(a)(1)[3]" - } - ], - "prose": "disseminates the security awareness and training policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "at-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)" - } - ], - "parts": [ - { - "id": "at-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;" - }, - { - "id": "at-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "at-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "at-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(1)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training policy;" - }, - { - "id": "at-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "at-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(2)" - } - ], - "parts": [ - { - "id": "at-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training procedures; and" - }, - { - "id": "at-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Security Awareness Training", - "parameters": [ - { - "id": "at-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-2" - }, - { - "name": "sort-id", - "value": "at-02" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "prose": "The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "As part of initial training for new users;" - }, - { - "id": "at-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-2_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "at-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-2(a)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;" - }, - { - "id": "at-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-2(b)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and" - }, - { - "id": "at-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(c)" - } - ], - "parts": [ - { - "id": "at-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and" - }, - { - "id": "at-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-2(c)[2]" - } - ], - "prose": "provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing security awareness training" - } - ] - } - ], - "controls": [ - { - "id": "at-2.2", - "class": "SP800-53-enhancement", - "title": "Insider Threat", - "properties": [ - { - "name": "label", - "value": "AT-2(2)" - }, - { - "name": "sort-id", - "value": "at-02.02" - } - ], - "parts": [ - { - "id": "at-2.2_smt", - "name": "statement", - "prose": "The organization includes security awareness training on recognizing and reporting\n potential indicators of insider threat." - }, - { - "id": "at-2.2_gdn", - "name": "guidance", - "prose": "Potential indicators and possible precursors of insider threat can include\n behaviors such as inordinate, long-term job dissatisfaction, attempts to gain\n access to information not required for job performance, unexplained access to\n financial resources, bullying or sexual harassment of fellow employees, workplace\n violence, and other serious violations of organizational policies, procedures,\n directives, rules, or practices. Security awareness training includes how to\n communicate employee and management concerns regarding potential indicators of\n insider threat through appropriate organizational channels in accordance with\n established organizational policies and procedures.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#pm-12", - "rel": "related", - "text": "PM-12" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "at-2.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization includes security awareness training on recognizing\n and reporting potential indicators of insider threat. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel that participate in security awareness training\\n\\norganizational personnel with responsibilities for basic security awareness\n training\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Security Training", - "parameters": [ - { - "id": "at-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-3" - }, - { - "name": "sort-id", - "value": "at-03" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "prose": "The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Before authorizing access to the information system or performing assigned\n duties;" - }, - { - "id": "at-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-3_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-16", - "rel": "related", - "text": "SA-16" - } - ] - }, - { - "id": "at-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(a)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;" - }, - { - "id": "at-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(b)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and" - }, - { - "id": "at-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(c)" - } - ], - "parts": [ - { - "id": "at-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-3(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and" - }, - { - "id": "at-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-3(c)[2]" - } - ], - "prose": "provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing role-based security training" - } - ] - } - ], - "controls": [ - { - "id": "at-3.3", - "class": "SP800-53-enhancement", - "title": "Practical Exercises", - "properties": [ - { - "name": "label", - "value": "AT-3(3)" - }, - { - "name": "sort-id", - "value": "at-03.03" - } - ], - "parts": [ - { - "id": "at-3.3_smt", - "name": "statement", - "prose": "The organization includes practical exercises in security training that reinforce\n training objectives." - }, - { - "id": "at-3.3_gdn", - "name": "guidance", - "prose": "Practical exercises may include, for example, security training for software\n developers that includes simulated cyber attacks exploiting common software\n vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted\n at senior leaders/executives. These types of practical exercises help developers\n better understand the effects of such vulnerabilities and appreciate the need for\n security coding standards and processes." - }, - { - "id": "at-3.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization includes practical exercises in security training\n that reinforce training objectives. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel that participate in security awareness training" - } - ] - } - ] - }, - { - "id": "at-3.4", - "class": "SP800-53-enhancement", - "title": "Suspicious Communications and Anomalous System Behavior", - "parameters": [ - { - "id": "at-3.4_prm_1", - "label": "organization-defined indicators of malicious code", - "constraints": [ - { - "detail": "malicious code indicators as defined by organization incident policy/capability." - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AT-3(4)" - }, - { - "name": "sort-id", - "value": "at-03.04" - } - ], - "parts": [ - { - "id": "at-3.4_smt", - "name": "statement", - "prose": "The organization provides training to its personnel on {{ at-3.4_prm_1 }} to recognize suspicious communications and anomalous\n behavior in organizational information systems." - }, - { - "id": "at-3.4_gdn", - "name": "guidance", - "prose": "A well-trained workforce provides another organizational safeguard that can be\n employed as part of a defense-in-depth strategy to protect organizations against\n malicious code coming in to organizations via email or the web applications.\n Personnel are trained to look for indications of potentially suspicious email\n (e.g., receiving an unexpected email, receiving an email containing strange or\n poor grammar, or receiving an email from an unfamiliar sender but who appears to\n be from a known sponsor or contractor). Personnel are also trained on how to\n respond to such suspicious email or web communications (e.g., not opening\n attachments, not clicking on embedded web links, and checking the source of email\n addresses). For this process to work effectively, all organizational personnel are\n trained and made aware of what constitutes suspicious communications. Training\n personnel on how to recognize anomalous behaviors in organizational information\n systems can potentially provide early warning for the presence of malicious code.\n Recognition of such anomalous behavior by organizational personnel can supplement\n automated malicious code detection and protection tools and systems employed by\n organizations." - }, - { - "id": "at-3.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-3.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-3(4)[1]" - } - ], - "prose": "defines indicators of malicious code; and" - }, - { - "id": "at-3.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(4)[2]" - } - ], - "prose": "provides training to its personnel on organization-defined indicators of\n malicious code to recognize suspicious communications and anomalous behavior in\n organizational information systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel that participate in security awareness training" - } - ] - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Security Training Records", - "parameters": [ - { - "id": "at-4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "five (5) years or 5 years after completion of a specific training program" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-4" - }, - { - "name": "sort-id", - "value": "at-04" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains individual training records for {{ at-4_prm_1 }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-14", - "rel": "related", - "text": "PM-14" - } - ] - }, - { - "id": "at-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)" - } - ], - "parts": [ - { - "id": "at-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-4(a)[1]" - } - ], - "prose": "documents individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - }, - { - "id": "at-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-4(a)[2]" - } - ], - "prose": "monitors individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - } - ] - }, - { - "id": "at-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(b)" - } - ], - "parts": [ - { - "id": "at-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-4(b)[1]" - } - ], - "prose": "defines a time period to retain individual training records; and" - }, - { - "id": "at-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-4(b)[2]" - } - ], - "prose": "retains individual training records for the organization-defined time\n period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security training record retention\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security training records" - } - ] - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Audit and Accountability Policy and Procedures", - "parameters": [ - { - "id": "au-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "au-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-1" - }, - { - "name": "sort-id", - "value": "au-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "au-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Audit and accountability policy {{ au-1_prm_2 }}; and" - }, - { - "id": "au-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Audit and accountability procedures {{ au-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "au-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(1)[1]" - } - ], - "prose": "develops and documents an audit and accountability policy that\n addresses:", - "parts": [ - { - "id": "au-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "au-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "au-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "au-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "au-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "au-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "au-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "au-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;" - }, - { - "id": "au-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-1(a)(1)[3]" - } - ], - "prose": "disseminates the audit and accountability policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "au-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)" - } - ], - "parts": [ - { - "id": "au-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;" - }, - { - "id": "au-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "au-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "au-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(1)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability policy;" - }, - { - "id": "au-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(2)" - } - ], - "parts": [ - { - "id": "au-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability procedures; and" - }, - { - "id": "au-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Audit Events", - "parameters": [ - { - "id": "au-2_prm_1", - "label": "organization-defined auditable events", - "constraints": [ - { - "detail": "successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes" - } - ] - }, - { - "id": "au-2_prm_2", - "label": "organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event", - "constraints": [ - { - "detail": "organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-2" - }, - { - "name": "sort-id", - "value": "au-02" - } - ], - "links": [ - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and" - }, - { - "id": "au-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}." - }, - { - "id": "au-2_fr", - "name": "item", - "title": "AU-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(a)" - } - ], - "parts": [ - { - "id": "au-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(a)[1]" - } - ], - "prose": "defines the auditable events that the information system must be capable of\n auditing;" - }, - { - "id": "au-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-2(a)[2]" - } - ], - "prose": "determines that the information system is capable of auditing\n organization-defined auditable events;" - } - ] - }, - { - "id": "au-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(b)" - } - ], - "prose": "coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(c)" - } - ], - "prose": "provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;" - }, - { - "id": "au-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)" - } - ], - "parts": [ - { - "id": "au-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(d)[1]" - } - ], - "prose": "defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;" - }, - { - "id": "au-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(d)[2]" - } - ], - "prose": "determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and" - }, - { - "id": "au-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(d)[3]" - } - ], - "prose": "determines the frequency of (or situation requiring) auditing for each\n identified event." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing" - } - ] - } - ], - "controls": [ - { - "id": "au-2.3", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "parameters": [ - { - "id": "au-2.3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "annually or whenever there is a change in the threat environment" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-2(3)" - }, - { - "name": "sort-id", - "value": "au-02.03" - } - ], - "parts": [ - { - "id": "au-2.3_smt", - "name": "statement", - "prose": "The organization reviews and updates the audited events {{ au-2.3_prm_1 }}.", - "parts": [ - { - "id": "au-2.3_fr", - "name": "item", - "title": "AU-2 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-2.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO." - } - ] - } - ] - }, - { - "id": "au-2.3_gdn", - "name": "guidance", - "prose": "Over time, the events that organizations believe should be audited may change.\n Reviewing and updating the set of audited events periodically is necessary to\n ensure that the current set is still necessary and sufficient." - }, - { - "id": "au-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(3)[1]" - } - ], - "prose": "defines the frequency to review and update the audited events; and" - }, - { - "id": "au-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-2(3)[2]" - } - ], - "prose": "reviews and updates the auditable events with organization-defined\n frequency." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\nlist of organization-defined auditable events\\n\\nauditable events review and update records\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting review and update of auditable events" - } - ] - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "properties": [ - { - "name": "label", - "value": "AU-3" - }, - { - "name": "sort-id", - "value": "au-03" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event." - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-8", - "rel": "related", - "text": "AU-8" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "au-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system generates audit records containing information\n that establishes: ", - "parts": [ - { - "id": "au-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[1]" - } - ], - "prose": "what type of event occurred;" - }, - { - "id": "au-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[2]" - } - ], - "prose": "when the event occurred;" - }, - { - "id": "au-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[3]" - } - ], - "prose": "where the event occurred;" - }, - { - "id": "au-3_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[4]" - } - ], - "prose": "the source of the event;" - }, - { - "id": "au-3_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[5]" - } - ], - "prose": "the outcome of the event; and" - }, - { - "id": "au-3_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[6]" - } - ], - "prose": "the identity of any individuals or subjects associated with the event." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing of auditable\n events" - } - ] - } - ], - "controls": [ - { - "id": "au-3.1", - "class": "SP800-53-enhancement", - "title": "Additional Audit Information", - "parameters": [ - { - "id": "au-3.1_prm_1", - "label": "organization-defined additional, more detailed information", - "constraints": [ - { - "detail": "session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-3(1)" - }, - { - "name": "sort-id", - "value": "au-03.01" - } - ], - "parts": [ - { - "id": "au-3.1_smt", - "name": "statement", - "prose": "The information system generates audit records containing the following additional\n information: {{ au-3.1_prm_1 }}.", - "parts": [ - { - "id": "au-3.1_fr", - "name": "item", - "title": "AU-3 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-3.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO." - }, - { - "id": "au-3.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry." - } - ] - } - ] - }, - { - "id": "au-3.1_gdn", - "name": "guidance", - "prose": "Detailed information that organizations may consider in audit records includes,\n for example, full text recording of privileged commands or the individual\n identities of group account users. Organizations consider limiting the additional\n audit information to only that information explicitly needed for specific audit\n requirements. This facilitates the use of audit trails and audit logs by not\n including information that could potentially be misleading or could make it more\n difficult to locate information of interest." - }, - { - "id": "au-3.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-3.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-3(1)[1]" - } - ], - "prose": "the organization defines additional, more detailed information to be contained\n in audit records that the information system generates; and" - }, - { - "id": "au-3.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-3(1)[2]" - } - ], - "prose": "the information system generates audit records containing the\n organization-defined additional, more detailed information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system audit capability" - } - ] - } - ] - }, - { - "id": "au-3.2", - "class": "SP800-53-enhancement", - "title": "Centralized Management of Planned Audit Record Content", - "parameters": [ - { - "id": "au-3.2_prm_1", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-3(2)" - }, - { - "name": "sort-id", - "value": "au-03.02" - } - ], - "parts": [ - { - "id": "au-3.2_smt", - "name": "statement", - "prose": "The information system provides centralized management and configuration of the\n content to be captured in audit records generated by {{ au-3.2_prm_1 }}." - }, - { - "id": "au-3.2_gdn", - "name": "guidance", - "prose": "This control enhancement requires that the content to be captured in audit records\n be configured from a central location (necessitating automation). Organizations\n coordinate the selection of required audit content to support the centralized\n management and configuration capability provided by the information system.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - } - ] - }, - { - "id": "au-3.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-3.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-3(2)[1]" - } - ], - "prose": "the organization defines information system components that generate audit\n records whose content is to be centrally managed and configured by the\n information system; and" - }, - { - "id": "au-3.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-3(2)[2]" - } - ], - "prose": "the information system provides centralized management and configuration of the\n content to be captured in audit records generated by the organization-defined\n information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system capability implementing centralized management and\n configuration of audit record content" - } - ] - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Storage Capacity", - "parameters": [ - { - "id": "au-4_prm_1", - "label": "organization-defined audit record storage requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-4" - }, - { - "name": "sort-id", - "value": "au-04" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-4[1]" - } - ], - "prose": "defines audit record storage requirements; and" - }, - { - "id": "au-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-4[2]" - } - ], - "prose": "allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit record storage capacity and related configuration settings" - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Processing Failures", - "parameters": [ - { - "id": "au-5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-5_prm_2", - "label": "organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)", - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-5" - }, - { - "name": "sort-id", - "value": "au-05" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Takes the following additional actions: {{ au-5_prm_2 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "au-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(a)" - } - ], - "parts": [ - { - "id": "au-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(a)[1]" - } - ], - "prose": "the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;" - }, - { - "id": "au-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(a)[2]" - } - ], - "prose": "the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;" - } - ] - }, - { - "id": "au-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(b)" - } - ], - "parts": [ - { - "id": "au-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(b)[1]" - } - ], - "prose": "the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and" - }, - { - "id": "au-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(b)[2]" - } - ], - "prose": "the information system takes the additional organization-defined actions in the\n event of an audit processing failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system response to audit processing\n failures" - } - ] - } - ], - "controls": [ - { - "id": "au-5.1", - "class": "SP800-53-enhancement", - "title": "Audit Storage Capacity", - "parameters": [ - { - "id": "au-5.1_prm_1", - "label": "organization-defined personnel, roles, and/or locations" - }, - { - "id": "au-5.1_prm_2", - "label": "organization-defined time period" - }, - { - "id": "au-5.1_prm_3", - "label": "organization-defined percentage" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-5(1)" - }, - { - "name": "sort-id", - "value": "au-05.01" - } - ], - "parts": [ - { - "id": "au-5.1_smt", - "name": "statement", - "prose": "The information system provides a warning to {{ au-5.1_prm_1 }}\n within {{ au-5.1_prm_2 }} when allocated audit record storage\n volume reaches {{ au-5.1_prm_3 }} of repository maximum audit\n record storage capacity." - }, - { - "id": "au-5.1_gdn", - "name": "guidance", - "prose": "Organizations may have multiple audit data storage repositories distributed across\n multiple information system components, with each repository having different\n storage volume capacities." - }, - { - "id": "au-5.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-5.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(1)[1]" - } - ], - "prose": "the organization defines:", - "parts": [ - { - "id": "au-5.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(1)[1][a]" - } - ], - "prose": "personnel to be warned when allocated audit record storage volume reaches\n organization-defined percentage of repository maximum audit record storage\n capacity;" - }, - { - "id": "au-5.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(1)[1][b]" - } - ], - "prose": "roles to be warned when allocated audit record storage volume reaches\n organization-defined percentage of repository maximum audit record storage\n capacity; and/or" - }, - { - "id": "au-5.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(1)[1][c]" - } - ], - "prose": "locations to be warned when allocated audit record storage volume reaches\n organization-defined percentage of repository maximum audit record storage\n capacity;" - } - ] - }, - { - "id": "au-5.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(1)[2]" - } - ], - "prose": "the organization defines the time period within which the information system is\n to provide a warning to the organization-defined personnel, roles, and/or\n locations when allocated audit record storage volume reaches the\n organization-defined percentage of repository maximum audit record storage\n capacity;" - }, - { - "id": "au-5.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(1)[3]" - } - ], - "prose": "the organization defines the percentage of repository maximum audit record\n storage capacity that, if reached, requires a warning to be provided; and" - }, - { - "id": "au-5.1_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(1)[4]" - } - ], - "prose": "the information system provides a warning to the organization-defined\n personnel, roles, and/or locations within the organization-defined time period\n when allocated audit record storage volume reaches the organization-defined\n percentage of repository maximum audit record storage capacity." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit storage limit warnings" - } - ] - } - ] - }, - { - "id": "au-5.2", - "class": "SP800-53-enhancement", - "title": "Real-time Alerts", - "parameters": [ - { - "id": "au-5.2_prm_1", - "label": "organization-defined real-time period", - "constraints": [ - { - "detail": "real-time" - } - ] - }, - { - "id": "au-5.2_prm_2", - "label": "organization-defined personnel, roles, and/or locations", - "constraints": [ - { - "detail": "service provider personnel with authority to address failed audit events" - } - ] - }, - { - "id": "au-5.2_prm_3", - "label": "organization-defined audit failure events requiring real-time alerts", - "constraints": [ - { - "detail": "audit failure events requiring real-time alerts, as defined by organization audit policy" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-5(2)" - }, - { - "name": "sort-id", - "value": "au-05.02" - } - ], - "parts": [ - { - "id": "au-5.2_smt", - "name": "statement", - "prose": "The information system provides an alert in {{ au-5.2_prm_1 }} to\n {{ au-5.2_prm_2 }} when the following audit failure events\n occur: {{ au-5.2_prm_3 }}." - }, - { - "id": "au-5.2_gdn", - "name": "guidance", - "prose": "Alerts provide organizations with urgent messages. Real-time alerts provide these\n messages at information technology speed (i.e., the time from event detection to\n alert occurs in seconds or less)." - }, - { - "id": "au-5.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-5.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(2)[1]" - } - ], - "prose": "the organization defines audit failure events requiring real-time alerts;" - }, - { - "id": "au-5.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(2)[2]" - } - ], - "prose": "the organization defines:", - "parts": [ - { - "id": "au-5.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(2)[2][a]" - } - ], - "prose": "personnel to be alerted when organization-defined audit failure events\n requiring real-time alerts occur;" - }, - { - "id": "au-5.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(2)[2][b]" - } - ], - "prose": "roles to be alerted when organization-defined audit failure events requiring\n real-time alerts occur; and/or" - }, - { - "id": "au-5.2_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(2)[2][c]" - } - ], - "prose": "locations to be alerted when organization-defined audit failure events\n requiring real-time alerts occur;" - } - ] - }, - { - "id": "au-5.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(2)[3]" - } - ], - "prose": "the organization defines the real-time period within which the information\n system is to provide an alert to the organization-defined personnel, roles,\n and/or locations when the organization-defined audit failure events requiring\n real-time alerts occur; and" - }, - { - "id": "au-5.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(2)[4]" - } - ], - "prose": "the information system provides an alert within the organization-defined\n real-time period to the organization-defined personnel, roles, and/or locations\n when organization-defined audit failure events requiring real-time alerts\n occur." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of notifications or real-time alerts when audit processing failures\n occur\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing real-time audit alerts when\n organization-defined audit failure events occur" - } - ] - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Review, Analysis, and Reporting", - "parameters": [ - { - "id": "au-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "au-6_prm_2", - "label": "organization-defined inappropriate or unusual activity" - }, - { - "id": "au-6_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-6" - }, - { - "name": "sort-id", - "value": "au-06" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and" - }, - { - "id": "au-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports findings to {{ au-6_prm_3 }}." - }, - { - "id": "au-6_fr", - "name": "item", - "title": "AU-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented." - } - ] - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-10", - "rel": "related", - "text": "CM-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#pe-14", - "rel": "related", - "text": "PE-14" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-18", - "rel": "related", - "text": "SC-18" - }, - { - "href": "#sc-19", - "rel": "related", - "text": "SC-19" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "au-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)" - } - ], - "parts": [ - { - "id": "au-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(a)[1]" - } - ], - "prose": "defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;" - }, - { - "id": "au-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(a)[2]" - } - ], - "prose": "defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;" - }, - { - "id": "au-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(a)[3]" - } - ], - "prose": "reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(b)" - } - ], - "parts": [ - { - "id": "au-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(b)[1]" - } - ], - "prose": "defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and" - }, - { - "id": "au-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(b)[2]" - } - ], - "prose": "reports findings to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "au-6.1", - "class": "SP800-53-enhancement", - "title": "Process Integration", - "properties": [ - { - "name": "label", - "value": "AU-6(1)" - }, - { - "name": "sort-id", - "value": "au-06.01" - } - ], - "parts": [ - { - "id": "au-6.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to integrate audit review, analysis,\n and reporting processes to support organizational processes for investigation and\n response to suspicious activities." - }, - { - "id": "au-6.1_gdn", - "name": "guidance", - "prose": "Organizational processes benefiting from integrated audit review, analysis, and\n reporting include, for example, incident response, continuous monitoring,\n contingency planning, and Inspector General audits.", - "links": [ - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - } - ] - }, - { - "id": "au-6.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "au-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-6(1)[1]" - } - ], - "prose": "employs automated mechanisms to integrate:", - "parts": [ - { - "id": "au-6.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[1][a]" - } - ], - "prose": "audit review;" - }, - { - "id": "au-6.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[1][b]" - } - ], - "prose": "analysis;" - }, - { - "id": "au-6.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[1][c]" - } - ], - "prose": "reporting processes;" - } - ] - }, - { - "id": "au-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(1)[2]" - } - ], - "prose": "uses integrated audit review, analysis and reporting processes to support\n organizational processes for:", - "parts": [ - { - "id": "au-6.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[2][a]" - } - ], - "prose": "investigation of suspicious activities; and" - }, - { - "id": "au-6.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[2][b]" - } - ], - "prose": "response to suspicious activities." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nprocedures addressing investigation and response to suspicious activities\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms integrating audit review, analysis, and reporting\n processes" - } - ] - } - ] - }, - { - "id": "au-6.3", - "class": "SP800-53-enhancement", - "title": "Correlate Audit Repositories", - "properties": [ - { - "name": "label", - "value": "AU-6(3)" - }, - { - "name": "sort-id", - "value": "au-06.03" - } - ], - "parts": [ - { - "id": "au-6.3_smt", - "name": "statement", - "prose": "The organization analyzes and correlates audit records across different\n repositories to gain organization-wide situational awareness." - }, - { - "id": "au-6.3_gdn", - "name": "guidance", - "prose": "Organization-wide situational awareness includes awareness across all three tiers\n of risk management (i.e., organizational, mission/business process, and\n information system) and supports cross-organization awareness.", - "links": [ - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - } - ] - }, - { - "id": "au-6.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization analyzes and correlates audit records across\n different repositories to gain organization-wide situational awareness. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records across different repositories\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting analysis and correlation of audit records" - } - ] - } - ] - }, - { - "id": "au-6.4", - "class": "SP800-53-enhancement", - "title": "Central Review and Analysis", - "properties": [ - { - "name": "label", - "value": "AU-6(4)" - }, - { - "name": "sort-id", - "value": "au-06.04" - } - ], - "parts": [ - { - "id": "au-6.4_smt", - "name": "statement", - "prose": "The information system provides the capability to centrally review and analyze\n audit records from multiple components within the system." - }, - { - "id": "au-6.4_gdn", - "name": "guidance", - "prose": "Automated mechanisms for centralized reviews and analyses include, for example,\n Security Information Management products.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-6.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system provides the capability to centrally review\n and analyze audit records from multiple components within the system." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system capability to centralize review and analysis of audit\n records" - } - ] - } - ] - }, - { - "id": "au-6.5", - "class": "SP800-53-enhancement", - "title": "Integration / Scanning and Monitoring Capabilities", - "parameters": [ - { - "id": "au-6.5_prm_1" - }, - { - "id": "au-6.5_prm_2", - "depends-on": "au-6.5_prm_1", - "label": "organization-defined data/information collected from other sources", - "constraints": [ - { - "detail": "Possibly to include penetration test data." - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-6(5)" - }, - { - "name": "sort-id", - "value": "au-06.05" - } - ], - "parts": [ - { - "id": "au-6.5_smt", - "name": "statement", - "prose": "The organization integrates analysis of audit records with analysis of {{ au-6.5_prm_1 }} to further enhance the ability to identify\n inappropriate or unusual activity." - }, - { - "id": "au-6.5_gdn", - "name": "guidance", - "prose": "This control enhancement does not require vulnerability scanning, the generation\n of performance data, or information system monitoring. Rather, the enhancement\n requires that the analysis of information being otherwise produced in these areas\n is integrated with the analysis of audit information. Security Event and\n Information Management System tools can facilitate audit record\n aggregation/consolidation from multiple information system components as well as\n audit record correlation and analysis. The use of standardized audit record\n analysis scripts developed by organizations (with localized script adjustments, as\n necessary) provides more cost-effective approaches for analyzing audit record\n information collected. The correlation of audit record information with\n vulnerability scanning information is important in determining the veracity of\n vulnerability scans and correlating attack detection events with scanning results.\n Correlation with performance data can help uncover denial of service attacks or\n cyber attacks resulting in unauthorized use of resources. Correlation with system\n monitoring information can assist in uncovering attacks and in better relating\n audit information to operational situations.", - "links": [ - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "au-6.5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "au-6.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(5)[1]" - } - ], - "prose": "defines data/information to be collected from other sources;" - }, - { - "id": "au-6.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-6(5)[2]" - } - ], - "prose": "selects sources of data/information to be analyzed and integrated with the\n analysis of audit records from one or more of the following:", - "parts": [ - { - "id": "au-6.5_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(5)[2][a]" - } - ], - "prose": "vulnerability scanning information;" - }, - { - "id": "au-6.5_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(5)[2][b]" - } - ], - "prose": "performance data;" - }, - { - "id": "au-6.5_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(5)[2][c]" - } - ], - "prose": "information system monitoring information; and/or" - }, - { - "id": "au-6.5_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(5)[2][d]" - } - ], - "prose": "organization-defined data/information collected from other sources; and" - } - ] - }, - { - "id": "au-6.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-6(5)[3]" - } - ], - "prose": "integrates the analysis of audit records with the analysis of selected\n data/information to further enhance the ability to identify inappropriate or\n unusual activity." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrated analysis of audit records, vulnerability scanning information,\n performance data, network monitoring information and associated\n documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to integrate analysis of audit\n records with analysis of data/information sources" - } - ] - } - ] - }, - { - "id": "au-6.6", - "class": "SP800-53-enhancement", - "title": "Correlation with Physical Monitoring", - "properties": [ - { - "name": "label", - "value": "AU-6(6)" - }, - { - "name": "sort-id", - "value": "au-06.06" - } - ], - "parts": [ - { - "id": "au-6.6_smt", - "name": "statement", - "prose": "The organization correlates information from audit records with information\n obtained from monitoring physical access to further enhance the ability to\n identify suspicious, inappropriate, unusual, or malevolent activity.", - "parts": [ - { - "id": "au-6.6_fr", - "name": "item", - "title": "AU-6 (6) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6.6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "au-6.6_gdn", - "name": "guidance", - "prose": "The correlation of physical audit information and audit logs from information\n systems may assist organizations in identifying examples of suspicious behavior or\n supporting evidence of such behavior. For example, the correlation of an\n individual’s identity for logical access to certain information systems with the\n additional physical security information that the individual was actually present\n at the facility when the logical access occurred, may prove to be useful in\n investigations." - }, - { - "id": "au-6.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization correlates information from audit records with\n information obtained from monitoring physical access to enhance the ability to\n identify suspicious, inappropriate, unusual, or malevolent activity." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nprocedures addressing physical access monitoring\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumentation providing evidence of correlated information obtained from audit\n records and physical access monitoring records\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to correlate information from\n audit records with information from monitoring physical access" - } - ] - } - ] - }, - { - "id": "au-6.7", - "class": "SP800-53-enhancement", - "title": "Permitted Actions", - "parameters": [ - { - "id": "au-6.7_prm_1", - "constraints": [ - { - "detail": "information system process; role; user" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-6(7)" - }, - { - "name": "sort-id", - "value": "au-06.07" - } - ], - "parts": [ - { - "id": "au-6.7_smt", - "name": "statement", - "prose": "The organization specifies the permitted actions for each {{ au-6.7_prm_1 }} associated with the review, analysis, and reporting\n of audit information." - }, - { - "id": "au-6.7_gdn", - "name": "guidance", - "prose": "Organizations specify permitted actions for information system processes, roles,\n and/or users associated with the review, analysis, and reporting of audit records\n through account management techniques. Specifying permitted actions on audit\n information is a way to enforce the principle of least privilege. Permitted\n actions are enforced by the information system and include, for example, read,\n write, execute, append, and delete." - }, - { - "id": "au-6.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization specifies the permitted actions for each one or more\n of the following associated with the review, analysis and reporting of audit\n information:", - "parts": [ - { - "id": "au-6.7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(7)[1]" - } - ], - "prose": "information system process;" - }, - { - "id": "au-6.7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(7)[2]" - } - ], - "prose": "role; and/or" - }, - { - "id": "au-6.7_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(7)[3]" - } - ], - "prose": "user." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing process, role and/or user permitted actions from audit\n review, analysis, and reporting\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting permitted actions for review, analysis, and\n reporting of audit information" - } - ] - } - ] - }, - { - "id": "au-6.10", - "class": "SP800-53-enhancement", - "title": "Audit Level Adjustment", - "properties": [ - { - "name": "label", - "value": "AU-6(10)" - }, - { - "name": "sort-id", - "value": "au-06.10" - } - ], - "parts": [ - { - "id": "au-6.10_smt", - "name": "statement", - "prose": "The organization adjusts the level of audit review, analysis, and reporting within\n the information system when there is a change in risk based on law enforcement\n information, intelligence information, or other credible sources of\n information." - }, - { - "id": "au-6.10_gdn", - "name": "guidance", - "prose": "The frequency, scope, and/or depth of the audit review, analysis, and reporting\n may be adjusted to meet organizational needs based on new information\n received." - }, - { - "id": "au-6.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization adjusts the level of audit review, analysis, and\n reporting within the information system when there is a change in risk based\n on:", - "parts": [ - { - "id": "au-6.10_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(10)[1]" - } - ], - "prose": "law enforcement information;" - }, - { - "id": "au-6.10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(10)[2]" - } - ], - "prose": "intelligence information; and/or" - }, - { - "id": "au-6.10_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(10)[3]" - } - ], - "prose": "other credible sources of information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\norganizational risk assessment\\n\\nsecurity control assessment\\n\\nvulnerability assessment\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting review, analysis, and reporting of audit\n information" - } - ] - } - ] - } - ] - }, - { - "id": "au-7", - "class": "SP800-53", - "title": "Audit Reduction and Report Generation", - "properties": [ - { - "name": "label", - "value": "AU-7" - }, - { - "name": "sort-id", - "value": "au-07" - } - ], - "parts": [ - { - "id": "au-7_smt", - "name": "statement", - "prose": "The information system provides an audit reduction and report generation capability\n that:", - "parts": [ - { - "id": "au-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Supports on-demand audit review, analysis, and reporting requirements and\n after-the-fact investigations of security incidents; and" - }, - { - "id": "au-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Does not alter the original content or time ordering of audit records." - } - ] - }, - { - "id": "au-7_gdn", - "name": "guidance", - "prose": "Audit reduction is a process that manipulates collected audit information and\n organizes such information in a summary format that is more meaningful to analysts.\n Audit reduction and report generation capabilities do not always emanate from the\n same information system or from the same organizational entities conducting auditing\n activities. Audit reduction capability can include, for example, modern data mining\n techniques with advanced data filters to identify anomalous behavior in audit\n records. The report generation capability provided by the information system can\n generate customizable reports. Time ordering of audit records can be a significant\n issue if the granularity of the timestamp in the record is insufficient.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - } - ] - }, - { - "id": "au-7_obj", - "name": "objective", - "prose": "Determine if the information system provides an audit reduction and report generation\n capability that supports:", - "parts": [ - { - "id": "au-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-7(a)" - } - ], - "parts": [ - { - "id": "au-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[1]" - } - ], - "prose": "on-demand audit review;" - }, - { - "id": "au-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[2]" - } - ], - "prose": "analysis;" - }, - { - "id": "au-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[3]" - } - ], - "prose": "reporting requirements;" - }, - { - "id": "au-7.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[4]" - } - ], - "prose": "after-the-fact investigations of security incidents; and" - } - ] - }, - { - "id": "au-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-7(b)" - } - ], - "prose": "does not alter the original content or time ordering of audit records." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Processing", - "parameters": [ - { - "id": "au-7.1_prm_1", - "label": "organization-defined audit fields within audit records" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-7(1)" - }, - { - "name": "sort-id", - "value": "au-07.01" - } - ], - "parts": [ - { - "id": "au-7.1_smt", - "name": "statement", - "prose": "The information system provides the capability to process audit records for events\n of interest based on {{ au-7.1_prm_1 }}." - }, - { - "id": "au-7.1_gdn", - "name": "guidance", - "prose": "Events of interest can be identified by the content of specific audit record\n fields including, for example, identities of individuals, event types, event\n locations, event times, event dates, system resources involved, IP addresses\n involved, or information objects accessed. Organizations may define audit event\n criteria to any degree of granularity required, for example, locations selectable\n by general networking location (e.g., by network or subnetwork) or selectable by\n specific information system component.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-7.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-7.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-7(1)[1]" - } - ], - "prose": "the organization defines audit fields within audit records in order to process\n audit records for events of interest; and" - }, - { - "id": "au-7.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-7(1)[2]" - } - ], - "prose": "the information system provides the capability to process audit records for\n events of interest based on the organization-defined audit fields within audit\n records." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\naudit record criteria (fields) establishing events of interest\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "parameters": [ - { - "id": "au-8_prm_1", - "label": "organization-defined granularity of time measurement", - "constraints": [ - { - "detail": "one second granularity of time measurement" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-8" - }, - { - "name": "sort-id", - "value": "au-08" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.", - "links": [ - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(a)" - } - ], - "prose": "the information system uses internal system clocks to generate time stamps for\n audit records;" - }, - { - "id": "au-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)" - } - ], - "parts": [ - { - "id": "au-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(b)[1]" - } - ], - "prose": "the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);" - }, - { - "id": "au-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(b)[2]" - } - ], - "prose": "the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and" - }, - { - "id": "au-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(b)[3]" - } - ], - "prose": "the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing time stamp generation" - } - ] - } - ], - "controls": [ - { - "id": "au-8.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "parameters": [ - { - "id": "au-8.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "At least hourly" - } - ] - }, - { - "id": "au-8.1_prm_2", - "label": "organization-defined authoritative time source", - "constraints": [ - { - "detail": "http://tf.nist.gov/tf-cgi/servers.cgi" - } - ] - }, - { - "id": "au-8.1_prm_3", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-8(1)" - }, - { - "name": "sort-id", - "value": "au-08.01" - } - ], - "parts": [ - { - "id": "au-8.1_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-8.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Compares the internal information system clocks {{ au-8.1_prm_1 }} with {{ au-8.1_prm_2 }}; and" - }, - { - "id": "au-8.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronizes the internal system clocks to the authoritative time source when\n the time difference is greater than {{ au-8.1_prm_3 }}." - }, - { - "id": "au-8.1_fr", - "name": "item", - "title": "AU-8 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-8.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server." - }, - { - "id": "au-8.1_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server." - }, - { - "id": "au-8.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Synchronization of system clocks improves the accuracy of log analysis." - } - ] - } - ] - }, - { - "id": "au-8.1_gdn", - "name": "guidance", - "prose": "This control enhancement provides uniformity of time stamps for information\n systems with multiple system clocks and systems connected over a network." - }, - { - "id": "au-8.1_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-8.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(1)(a)" - } - ], - "parts": [ - { - "id": "au-8.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(1)(a)[1]" - } - ], - "prose": "the organization defines the authoritative time source to which internal\n information system clocks are to be compared;" - }, - { - "id": "au-8.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(1)(a)[2]" - } - ], - "prose": "the organization defines the frequency to compare the internal information\n system clocks with the organization-defined authoritative time source;\n and" - }, - { - "id": "au-8.1.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(1)(a)[3]" - } - ], - "prose": "the information system compares the internal information system clocks with\n the organization-defined authoritative time source with organization-defined\n frequency; and" - } - ], - "links": [ - { - "href": "#au-8.1_smt.a", - "rel": "corresp", - "text": "AU-8(1)(a)" - } - ] - }, - { - "id": "au-8.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(1)(b)" - } - ], - "parts": [ - { - "id": "au-8.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(1)(b)[1]" - } - ], - "prose": "the organization defines the time period that, if exceeded by the time\n difference between the internal system clocks and the authoritative time\n source, will result in the internal system clocks being synchronized to the\n authoritative time source; and" - }, - { - "id": "au-8.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(1)(b)[2]" - } - ], - "prose": "the information system synchronizes the internal information system clocks\n to the authoritative time source when the time difference is greater than\n the organization-defined time period." - } - ], - "links": [ - { - "href": "#au-8.1_smt.b", - "rel": "corresp", - "text": "AU-8(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing internal information system clock\n synchronization" - } - ] - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "properties": [ - { - "name": "label", - "value": "AU-9" - }, - { - "name": "sort-id", - "value": "au-09" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "prose": "The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion." - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - } - ] - }, - { - "id": "au-9_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-9_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1]" - } - ], - "prose": "the information system protects audit information from unauthorized:", - "parts": [ - { - "id": "au-9_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][b]" - } - ], - "prose": "modification;" - }, - { - "id": "au-9_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][c]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "au-9_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2]" - } - ], - "prose": "the information system protects audit tools from unauthorized:", - "parts": [ - { - "id": "au-9_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][b]" - } - ], - "prose": "modification; and" - }, - { - "id": "au-9_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][c]" - } - ], - "prose": "deletion." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit information protection" - } - ] - } - ], - "controls": [ - { - "id": "au-9.2", - "class": "SP800-53-enhancement", - "title": "Audit Backup On Separate Physical Systems / Components", - "parameters": [ - { - "id": "au-9.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-9(2)" - }, - { - "name": "sort-id", - "value": "au-09.02" - } - ], - "parts": [ - { - "id": "au-9.2_smt", - "name": "statement", - "prose": "The information system backs up audit records {{ au-9.2_prm_1 }}\n onto a physically different system or system component than the system or\n component being audited." - }, - { - "id": "au-9.2_gdn", - "name": "guidance", - "prose": "This control enhancement helps to ensure that a compromise of the information\n system being audited does not also result in a compromise of the audit\n records.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - } - ] - }, - { - "id": "au-9.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-9.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-9(2)[1]" - } - ], - "prose": "the organization defines the frequency to back up audit records onto a\n physically different system or system component than the system or component\n being audited; and" - }, - { - "id": "au-9.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-9(2)[2]" - } - ], - "prose": "the information system backs up audit records with the organization-defined\n frequency, onto a physically different system or system component than the\n system or component being audited." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation, system\n or media storing backups of information system audit records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing the backing up of audit records" - } - ] - } - ] - }, - { - "id": "au-9.3", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "properties": [ - { - "name": "label", - "value": "AU-9(3)" - }, - { - "name": "sort-id", - "value": "au-09.03" - } - ], - "parts": [ - { - "id": "au-9.3_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to protect the\n integrity of audit information and audit tools." - }, - { - "id": "au-9.3_gdn", - "name": "guidance", - "prose": "Cryptographic mechanisms used for protecting the integrity of audit information\n include, for example, signed hash functions using asymmetric cryptography enabling\n distribution of the public key to verify the hash information while maintaining\n the confidentiality of the secret key used to generate the hash.", - "links": [ - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "au-9.3_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "au-9.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-9(3)[1]" - } - ], - "prose": "uses cryptographic mechanisms to protect the integrity of audit information;\n and" - }, - { - "id": "au-9.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-9(3)[2]" - } - ], - "prose": "uses cryptographic mechanisms to protect the integrity of audit tools." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system hardware settings\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting integrity of audit information and\n tools" - } - ] - } - ] - }, - { - "id": "au-9.4", - "class": "SP800-53-enhancement", - "title": "Access by Subset of Privileged Users", - "parameters": [ - { - "id": "au-9.4_prm_1", - "label": "organization-defined subset of privileged users" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-9(4)" - }, - { - "name": "sort-id", - "value": "au-09.04" - } - ], - "parts": [ - { - "id": "au-9.4_smt", - "name": "statement", - "prose": "The organization authorizes access to management of audit functionality to only\n {{ au-9.4_prm_1 }}." - }, - { - "id": "au-9.4_gdn", - "name": "guidance", - "prose": "Individuals with privileged access to an information system and who are also the\n subject of an audit by that system, may affect the reliability of audit\n information by inhibiting audit activities or modifying audit records. This\n control enhancement requires that privileged access be further defined between\n audit-related privileges and other privileges, thus limiting the users with\n audit-related privileges.", - "links": [ - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - } - ] - }, - { - "id": "au-9.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-9.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-9(4)[1]" - } - ], - "prose": "defines a subset of privileged users to be authorized access to management of\n audit functionality; and" - }, - { - "id": "au-9.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-9(4)[2]" - } - ], - "prose": "authorizes access to management of audit functionality to only the\n organization-defined subset of privileged users." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n system-generated list of privileged users with access to management of audit\n functionality\\n\\naccess authorizations\\n\\naccess control list\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing access to audit functionality" - } - ] - } - ] - } - ] - }, - { - "id": "au-10", - "class": "SP800-53", - "title": "Non-repudiation", - "parameters": [ - { - "id": "au-10_prm_1", - "label": "organization-defined actions to be covered by non-repudiation", - "constraints": [ - { - "detail": "minimum actions including the addition, modification, deletion, approval, sending, or receiving of data" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-10" - }, - { - "name": "sort-id", - "value": "au-10" - } - ], - "parts": [ - { - "id": "au-10_smt", - "name": "statement", - "prose": "The information system protects against an individual (or process acting on behalf of\n an individual) falsely denying having performed {{ au-10_prm_1 }}." - }, - { - "id": "au-10_gdn", - "name": "guidance", - "prose": "Types of individual actions covered by non-repudiation include, for example, creating\n information, sending and receiving messages, approving information (e.g., indicating\n concurrence or signing a contract). Non-repudiation protects individuals against\n later claims by: (i) authors of not having authored particular documents; (ii)\n senders of not having transmitted messages; (iii) receivers of not having received\n messages; or (iv) signatories of not having signed documents. Non-repudiation\n services can be used to determine if information originated from a particular\n individual, or if an individual took specific actions (e.g., sending an email,\n signing a contract, approving a procurement request) or received specific\n information. Organizations obtain non-repudiation services by employing various\n techniques or mechanisms (e.g., digital signatures, digital message receipts).", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-16", - "rel": "related", - "text": "SC-16" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - }, - { - "href": "#sc-23", - "rel": "related", - "text": "SC-23" - } - ] - }, - { - "id": "au-10_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-10[1]" - } - ], - "prose": "the organization defines actions to be covered by non-repudiation; and" - }, - { - "id": "au-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-10[2]" - } - ], - "prose": "the information system protects against an individual (or process acting on behalf\n of an individual) falsely denying having performed organization-defined actions to\n be covered by non-repudiation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing non-repudiation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing non-repudiation capability" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "parameters": [ - { - "id": "au-11_prm_1", - "label": "organization-defined time period consistent with records retention policy", - "constraints": [ - { - "detail": "at least one (1) year" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "au-11" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements.", - "parts": [ - { - "id": "au-11_fr", - "name": "item", - "title": "AU-11 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-11_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements." - } - ] - } - ] - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "au-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[1]" - } - ], - "prose": "defines a time period to retain audit records that is consistent with records\n retention policy;" - }, - { - "id": "au-11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11[2]" - } - ], - "prose": "retains audit records for the organization-defined time period consistent with\n records retention policy to:", - "parts": [ - { - "id": "au-11_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][a]" - } - ], - "prose": "provide support for after-the-fact investigations of security incidents;\n and" - }, - { - "id": "au-11_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][b]" - } - ], - "prose": "meet regulatory and organizational information retention requirements." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Generation", - "parameters": [ - { - "id": "au-12_prm_1", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all information system and network components where audit capability is deployed/available" - } - ] - }, - { - "id": "au-12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "au-12" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - } - ] - }, - { - "id": "au-12_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-12.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(a)" - } - ], - "parts": [ - { - "id": "au-12.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(a)[1]" - } - ], - "prose": "the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;" - }, - { - "id": "au-12.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(a)[2]" - } - ], - "prose": "the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;" - } - ] - }, - { - "id": "au-12.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(b)" - } - ], - "parts": [ - { - "id": "au-12.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(b)[1]" - } - ], - "prose": "the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;" - }, - { - "id": "au-12.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(b)[2]" - } - ], - "prose": "the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and" - } - ] - }, - { - "id": "au-12.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(c)" - } - ], - "prose": "the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-12.1", - "class": "SP800-53-enhancement", - "title": "System-wide / Time-correlated Audit Trail", - "parameters": [ - { - "id": "au-12.1_prm_1", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - }, - { - "id": "au-12.1_prm_2", - "label": "organization-defined level of tolerance for the relationship between time\n stamps of individual records in the audit trail" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-12(1)" - }, - { - "name": "sort-id", - "value": "au-12.01" - } - ], - "parts": [ - { - "id": "au-12.1_smt", - "name": "statement", - "prose": "The information system compiles audit records from {{ au-12.1_prm_1 }} into a system-wide (logical or physical) audit trail\n that is time-correlated to within {{ au-12.1_prm_2 }}." - }, - { - "id": "au-12.1_gdn", - "name": "guidance", - "prose": "Audit trails are time-correlated if the time stamps in the individual audit\n records can be reliably related to the time stamps in other audit records to\n achieve a time ordering of the records within organizational tolerances.", - "links": [ - { - "href": "#au-8", - "rel": "related", - "text": "AU-8" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-12.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-12.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(1)[1]" - } - ], - "prose": "the organization defines the information system components from which audit\n records are to be compiled into a system-wide (logical or physical) audit\n trail;" - }, - { - "id": "au-12.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(1)[2]" - } - ], - "prose": "the organization defines the level of tolerance for the relationship between\n time stamps of individual records in the audit trail; and" - }, - { - "id": "au-12.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(1)[3]" - } - ], - "prose": "the information system compiles audit records from organization-defined\n information system components into a system-wide (logical or physical) audit\n trail that is time-correlated to within the organization-defined level of\n tolerance for the relationship between time stamps of individual records in the\n audit trail." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-wide audit trail (logical or physical)\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - }, - { - "id": "au-12.3", - "class": "SP800-53-enhancement", - "title": "Changes by Authorized Individuals", - "parameters": [ - { - "id": "au-12.3_prm_1", - "label": "organization-defined individuals or roles", - "constraints": [ - { - "detail": "service provider-defined individuals or roles with audit configuration responsibilities" - } - ] - }, - { - "id": "au-12.3_prm_2", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - }, - { - "id": "au-12.3_prm_3", - "label": "organization-defined selectable event criteria" - }, - { - "id": "au-12.3_prm_4", - "label": "organization-defined time thresholds" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-12(3)" - }, - { - "name": "sort-id", - "value": "au-12.03" - } - ], - "parts": [ - { - "id": "au-12.3_smt", - "name": "statement", - "prose": "The information system provides the capability for {{ au-12.3_prm_1 }} to change the auditing to be performed on {{ au-12.3_prm_2 }} based on {{ au-12.3_prm_3 }} within\n {{ au-12.3_prm_4 }}." - }, - { - "id": "au-12.3_gdn", - "name": "guidance", - "prose": "This control enhancement enables organizations to extend or limit auditing as\n necessary to meet organizational requirements. Auditing that is limited to\n conserve information system resources may be extended to address certain threat\n situations. In addition, auditing may be limited to a specific set of events to\n facilitate audit reduction, analysis, and reporting. Organizations can establish\n time thresholds in which audit actions are changed, for example, near real-time,\n within minutes, or within hours.", - "links": [ - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - } - ] - }, - { - "id": "au-12.3_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-12.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(3)[1]" - } - ], - "prose": "the organization defines information system components on which auditing is to\n be performed;" - }, - { - "id": "au-12.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(3)[2]" - } - ], - "prose": "the organization defines individuals or roles authorized to change the auditing\n to be performed on organization-defined information system components;" - }, - { - "id": "au-12.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(3)[3]" - } - ], - "prose": "the organization defines time thresholds within which organization-defined\n individuals or roles can change the auditing to be performed on\n organization-defined information system components;" - }, - { - "id": "au-12.3_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(3)[4]" - } - ], - "prose": "the organization defines selectable event criteria that support the capability\n for organization-defined individuals or roles to change the auditing to be\n performed on organization-defined information system components; and" - }, - { - "id": "au-12.3_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(3)[5]" - } - ], - "prose": "the information system provides the capability for organization-defined\n individuals or roles to change the auditing to be performed on\n organization-defined information system components based on\n organization-defined selectable event criteria within organization-defined time\n thresholds." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of individuals or roles authorized to change auditing to\n be performed\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Security Assessment and Authorization", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Security Assessment and Authorization Policy and Procedures", - "parameters": [ - { - "id": "ca-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-1" - }, - { - "name": "sort-id", - "value": "ca-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ca-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security assessment and authorization policy {{ ca-1_prm_2 }};\n and" - }, - { - "id": "ca-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security assessment and authorization procedures {{ ca-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ca-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a security assessment and authorization policy that\n addresses:", - "parts": [ - { - "id": "ca-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ca-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ca-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ca-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ca-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ca-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ca-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ca-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;" - }, - { - "id": "ca-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-1(a)(1)[3]" - } - ], - "prose": "disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ca-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ca-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;" - }, - { - "id": "ca-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ca-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ca-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization policy;" - }, - { - "id": "ca-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "ca-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ca-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization procedures; and" - }, - { - "id": "ca-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Security Assessments", - "parameters": [ - { - "id": "ca-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-2_prm_2", - "label": "organization-defined individuals or roles", - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-2" - }, - { - "name": "sort-id", - "value": "ca-02" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Assessment procedures to be used to determine security control effectiveness;\n and" - }, - { - "id": "ca-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and\n responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;" - }, - { - "id": "ca-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produces a security assessment report that documents the results of the\n assessment; and" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provides the results of the security control assessment to {{ ca-2_prm_2 }}." - }, - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.", - "links": [ - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(a)" - } - ], - "prose": "develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(1)" - } - ], - "prose": "security controls and control enhancements under assessment;" - }, - { - "id": "ca-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(2)" - } - ], - "prose": "assessment procedures to be used to determine security control\n effectiveness;" - }, - { - "id": "ca-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)" - } - ], - "parts": [ - { - "id": "ca-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[1]" - } - ], - "prose": "assessment environment;" - }, - { - "id": "ca-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[2]" - } - ], - "prose": "assessment team;" - }, - { - "id": "ca-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[3]" - } - ], - "prose": "assessment roles and responsibilities;" - } - ] - } - ] - }, - { - "id": "ca-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(b)" - } - ], - "parts": [ - { - "id": "ca-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(b)[1]" - } - ], - "prose": "defines the frequency to assess the security controls in the information system\n and its environment of operation;" - }, - { - "id": "ca-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(b)[2]" - } - ], - "prose": "assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;" - } - ] - }, - { - "id": "ca-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(c)" - } - ], - "prose": "produces a security assessment report that documents the results of the\n assessment;" - }, - { - "id": "ca-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(d)" - } - ], - "parts": [ - { - "id": "ca-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(d)[1]" - } - ], - "prose": "defines individuals or roles to whom the results of the security control\n assessment are to be provided; and" - }, - { - "id": "ca-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(d)[2]" - } - ], - "prose": "provides the results of the security control assessment to organization-defined\n individuals or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "parameters": [ - { - "id": "ca-2.1_prm_1", - "label": "organization-defined level of independence" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2(1)" - }, - { - "name": "sort-id", - "value": "ca-02.01" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments.", - "parts": [ - { - "id": "ca-2.1_fr", - "name": "item", - "title": "CA-2 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)." - } - ] - } - ] - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments." - }, - { - "id": "ca-2.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(1)[1]" - } - ], - "prose": "defines the level of independence to be employed to conduct security control\n assessments; and" - }, - { - "id": "ca-2.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-2(1)[2]" - } - ], - "prose": "employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2.2", - "class": "SP800-53-enhancement", - "title": "Specialized Assessments", - "parameters": [ - { - "id": "ca-2.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-2.2_prm_2" - }, - { - "id": "ca-2.2_prm_3" - }, - { - "id": "ca-2.2_prm_4", - "depends-on": "ca-2.2_prm_3", - "label": "organization-defined other forms of security assessment" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-2(2)" - }, - { - "name": "sort-id", - "value": "ca-02.02" - } - ], - "parts": [ - { - "id": "ca-2.2_smt", - "name": "statement", - "prose": "The organization includes as part of security control assessments, {{ ca-2.2_prm_1 }}, {{ ca-2.2_prm_2 }}, {{ ca-2.2_prm_3 }}.", - "parts": [ - { - "id": "ca-2.2_fr", - "name": "item", - "title": "CA-2 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "To include 'announced', 'vulnerability scanning'" - } - ] - } - ] - }, - { - "id": "ca-2.2_gdn", - "name": "guidance", - "prose": "Organizations can employ information system monitoring, insider threat\n assessments, malicious user testing, and other forms of testing (e.g.,\n verification and validation) to improve readiness by exercising organizational\n capabilities and indicating current performance levels as a means of focusing\n actions to improve security. Organizations conduct assessment activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n regulations, and standards. Authorizing officials approve the assessment methods\n in coordination with the organizational risk executive function. Organizations can\n incorporate vulnerabilities uncovered during assessments into vulnerability\n remediation processes.", - "links": [ - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ca-2.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(2)[1]" - } - ], - "prose": "selects one or more of the following forms of specialized security assessment\n to be included as part of security control assessments:", - "parts": [ - { - "id": "ca-2.2_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][a]" - } - ], - "prose": "in-depth monitoring;" - }, - { - "id": "ca-2.2_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][b]" - } - ], - "prose": "vulnerability scanning;" - }, - { - "id": "ca-2.2_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][c]" - } - ], - "prose": "malicious user testing;" - }, - { - "id": "ca-2.2_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][d]" - } - ], - "prose": "insider threat assessment;" - }, - { - "id": "ca-2.2_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][e]" - } - ], - "prose": "performance/load testing; and/or" - }, - { - "id": "ca-2.2_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][f]" - } - ], - "prose": "other forms of organization-defined specialized security assessment;" - } - ] - }, - { - "id": "ca-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(2)[2]" - } - ], - "prose": "defines the frequency for conducting the selected form(s) of specialized\n security assessment;" - }, - { - "id": "ca-2.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(2)[3]" - } - ], - "prose": "defines whether the specialized security assessment will be announced or\n unannounced; and" - }, - { - "id": "ca-2.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(2)[4]" - } - ], - "prose": "conducts announced or unannounced organization-defined forms of specialized\n security assessments with the organization-defined frequency as part of\n security control assessments." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting security control assessment" - } - ] - } - ] - }, - { - "id": "ca-2.3", - "class": "SP800-53-enhancement", - "title": "External Organizations", - "parameters": [ - { - "id": "ca-2.3_prm_1", - "label": "organization-defined information system", - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - { - "id": "ca-2.3_prm_2", - "label": "organization-defined external organization", - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - { - "id": "ca-2.3_prm_3", - "label": "organization-defined requirements", - "constraints": [ - { - "detail": "the conditions of the JAB/AO in the FedRAMP Repository" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2(3)" - }, - { - "name": "sort-id", - "value": "ca-02.03" - } - ], - "parts": [ - { - "id": "ca-2.3_smt", - "name": "statement", - "prose": "The organization accepts the results of an assessment of {{ ca-2.3_prm_1 }} performed by {{ ca-2.3_prm_2 }} when\n the assessment meets {{ ca-2.3_prm_3 }}." - }, - { - "id": "ca-2.3_gdn", - "name": "guidance", - "prose": "Organizations may often rely on assessments of specific information systems by\n other (external) organizations. Utilizing such existing assessments (i.e., reusing\n existing assessment evidence) can significantly decrease the time and resources\n required for organizational assessments by limiting the amount of independent\n assessment activities that organizations need to perform. The factors that\n organizations may consider in determining whether to accept assessment results\n from external organizations can vary. Determinations for accepting assessment\n results can be based on, for example, past assessment experiences one organization\n has had with another organization, the reputation that organizations have with\n regard to assessments, the level of detail of supporting assessment documentation\n provided, or mandates imposed upon organizations by federal legislation, policies,\n or directives." - }, - { - "id": "ca-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(3)[1]" - } - ], - "prose": "defines an information system for which the results of a security assessment\n performed by an external organization are to be accepted;" - }, - { - "id": "ca-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(3)[2]" - } - ], - "prose": "defines an external organization from which to accept a security assessment\n performed on an organization-defined information system;" - }, - { - "id": "ca-2.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(3)[3]" - } - ], - "prose": "defines the requirements to be met by a security assessment performed by\n organization-defined external organization on organization-defined information\n system; and" - }, - { - "id": "ca-2.3_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-2(3)[4]" - } - ], - "prose": "accepts the results of an assessment of an organization-defined information\n system performed by an organization-defined external organization when the\n assessment meets organization-defined requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment requirements\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel performing security assessments for the specified external\n organization" - } - ] - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "System Interconnections", - "parameters": [ - { - "id": "ca-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "At least annually and on input from FedRAMP" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-3" - }, - { - "name": "sort-id", - "value": "ca-03" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#2711f068-734e-4afd-94ba-0b22247fbc88", - "rel": "reference", - "text": "NIST Special Publication 800-47" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(a)" - } - ], - "prose": "authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(b)" - } - ], - "prose": "documents, for each interconnection:", - "parts": [ - { - "id": "ca-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[2]" - } - ], - "prose": "the security requirements;" - }, - { - "id": "ca-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[3]" - } - ], - "prose": "the nature of the information communicated;" - } - ] - }, - { - "id": "ca-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(c)" - } - ], - "parts": [ - { - "id": "ca-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(c)[1]" - } - ], - "prose": "defines the frequency to review and update Interconnection Security Agreements;\n and" - }, - { - "id": "ca-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(c)[2]" - } - ], - "prose": "reviews and updates Interconnection Security Agreements with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies" - } - ] - } - ], - "controls": [ - { - "id": "ca-3.3", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "parameters": [ - { - "id": "ca-3.3_prm_1", - "label": "organization-defined unclassified, non-national security system" - }, - { - "id": "ca-3.3_prm_2", - "label": "Assignment; organization-defined boundary protection device", - "constraints": [ - { - "detail": "boundary protections which meet the Trusted Internet Connection (TIC) requirements" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-3(3)" - }, - { - "name": "sort-id", - "value": "ca-03.03" - } - ], - "parts": [ - { - "id": "ca-3.3_smt", - "name": "statement", - "prose": "The organization prohibits the direct connection of an {{ ca-3.3_prm_1 }} to an external network without the use of {{ ca-3.3_prm_2 }}.", - "parts": [ - { - "id": "ca-3.3_fr", - "name": "item", - "title": "CA-3 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document." - } - ] - } - ] - }, - { - "id": "ca-3.3_gdn", - "name": "guidance", - "prose": "Organizations typically do not have control over external networks (e.g., the\n Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate\n communications (i.e., information flows) between unclassified non-national\n security systems and external networks. This control enhancement is required for\n organizations processing, storing, or transmitting Controlled Unclassified\n Information (CUI)." - }, - { - "id": "ca-3.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-3.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(3)[1]" - } - ], - "prose": "defines an unclassified, non-national security system whose direct connection\n to an external network is to be prohibited without the use of approved boundary\n protection device;" - }, - { - "id": "ca-3.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(3)[2]" - } - ], - "prose": "defines a boundary protection device to be used to establish the direct\n connection of an organization-defined unclassified, non-national security\n system to an external network; and" - }, - { - "id": "ca-3.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-3(3)[3]" - } - ], - "prose": "prohibits the direct connection of an organization-defined unclassified,\n non-national security system to an external network without the use of an\n organization-defined boundary protection device." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection security agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for managing direct connections to\n external networks\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing directly connected external networks" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting the management of external network\n connections" - } - ] - } - ] - }, - { - "id": "ca-3.5", - "class": "SP800-53-enhancement", - "title": "Restrictions On External System Connections", - "parameters": [ - { - "id": "ca-3.5_prm_1", - "constraints": [ - { - "detail": "deny-all, permit by exception" - } - ] - }, - { - "id": "ca-3.5_prm_2", - "label": "organization-defined information systems", - "constraints": [ - { - "detail": "any systems" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-3(5)" - }, - { - "name": "sort-id", - "value": "ca-03.05" - } - ], - "parts": [ - { - "id": "ca-3.5_smt", - "name": "statement", - "prose": "The organization employs {{ ca-3.5_prm_1 }} policy for allowing\n {{ ca-3.5_prm_2 }} to connect to external information\n systems.", - "parts": [ - { - "id": "ca-3.5_fr", - "name": "item", - "title": "CA-3 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing" - } - ] - } - ] - }, - { - "id": "ca-3.5_gdn", - "name": "guidance", - "prose": "Organizations can constrain information system connectivity to external domains\n (e.g., websites) by employing one of two policies with regard to such\n connectivity: (i) allow-all, deny by exception, also known as blacklisting (the\n weaker of the two policies); or (ii) deny-all, allow by exception, also known as\n whitelisting (the stronger of the two policies). For either policy, organizations\n determine what exceptions, if any, are acceptable.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - } - ] - }, - { - "id": "ca-3.5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ca-3.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(5)[1]" - } - ], - "prose": "defines information systems to be allowed to connect to external information\n systems;" - }, - { - "id": "ca-3.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-3(5)[2]" - } - ], - "prose": "employs one of the following policies for allowing organization-defined\n information systems to connect to external information systems:", - "parts": [ - { - "id": "ca-3.5_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][a]" - } - ], - "prose": "allow-all policy;" - }, - { - "id": "ca-3.5_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][b]" - } - ], - "prose": "deny-by-exception policy;" - }, - { - "id": "ca-3.5_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][c]" - } - ], - "prose": "deny-all policy; or" - }, - { - "id": "ca-3.5_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][d]" - } - ], - "prose": "permit-by-exception policy." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for managing connections to\n external information systems\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on external system\n connections" - } - ] - } - ] - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "parameters": [ - { - "id": "ca-5_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-5" - }, - { - "name": "sort-id", - "value": "ca-05" - } - ], - "links": [ - { - "href": "#2c5884cd-7b96-425c-862a-99877e1cf909", - "rel": "reference", - "text": "OMB Memorandum 02-01" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities." - }, - { - "id": "ca-5_fr", - "name": "item", - "title": "CA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Plan of Action & Milestones (POA&M) must be provided at least monthly." - }, - { - "id": "ca-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-4", - "rel": "related", - "text": "PM-4" - } - ] - }, - { - "id": "ca-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-5(a)" - } - ], - "prose": "develops a plan of action and milestones for the information system to:", - "parts": [ - { - "id": "ca-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[1]" - } - ], - "prose": "document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;" - }, - { - "id": "ca-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[2]" - } - ], - "prose": "reduce or eliminate known vulnerabilities in the system;" - } - ] - }, - { - "id": "ca-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)" - } - ], - "parts": [ - { - "id": "ca-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-5(b)[1]" - } - ], - "prose": "defines the frequency to update the existing plan of action and milestones;" - }, - { - "id": "ca-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-5(b)[2]" - } - ], - "prose": "updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:", - "parts": [ - { - "id": "ca-5.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][a]" - } - ], - "prose": "security controls assessments;" - }, - { - "id": "ca-5.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][b]" - } - ], - "prose": "security impact analyses; and" - }, - { - "id": "ca-5.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][c]" - } - ], - "prose": "continuous monitoring activities." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones" - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Security Authorization", - "parameters": [ - { - "id": "ca-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-6" - }, - { - "name": "sort-id", - "value": "ca-06" - } - ], - "links": [ - { - "href": "#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab", - "rel": "reference", - "text": "OMB Circular A-130" - }, - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Updates the security authorization {{ ca-6_prm_1 }}." - }, - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-10", - "rel": "related", - "text": "PM-10" - } - ] - }, - { - "id": "ca-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-6(a)" - } - ], - "prose": "assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-6(b)" - } - ], - "prose": "ensures that the authorizing official authorizes the information system for\n processing before commencing operations;" - }, - { - "id": "ca-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(c)" - } - ], - "parts": [ - { - "id": "ca-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-6(c)[1]" - } - ], - "prose": "defines the frequency to update the security authorization; and" - }, - { - "id": "ca-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-6(c)[2]" - } - ], - "prose": "updates the security authorization with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate security authorizations and updates" - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "parameters": [ - { - "id": "ca-7_prm_1", - "label": "organization-defined metrics" - }, - { - "id": "ca-7_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_4", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - { - "id": "ca-7_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-7" - }, - { - "name": "sort-id", - "value": "ca-07" - } - ], - "links": [ - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb", - "rel": "reference", - "text": "US-CERT Technical Cyber Security Alerts" - }, - { - "href": "#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b", - "rel": "reference", - "text": "DoD Information Assurance Vulnerability Alerts" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishment of {{ ca-7_prm_1 }} to be monitored;" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of security-related information generated by assessments\n and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of security-related\n information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}." - }, - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually." - }, - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-6", - "rel": "related", - "text": "PM-6" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ca-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)" - } - ], - "parts": [ - { - "id": "ca-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(a)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines metrics to be\n monitored;" - }, - { - "id": "ca-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(a)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;" - }, - { - "id": "ca-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(a)[3]" - } - ], - "prose": "implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;" - } - ] - }, - { - "id": "ca-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)" - } - ], - "parts": [ - { - "id": "ca-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines frequencies for\n monitoring;" - }, - { - "id": "ca-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[2]" - } - ], - "prose": "defines frequencies for assessments supporting monitoring;" - }, - { - "id": "ca-7.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;" - }, - { - "id": "ca-7.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(b)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(c)" - } - ], - "parts": [ - { - "id": "ca-7.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(c)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security\n control assessments;" - }, - { - "id": "ca-7.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(c)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(d)" - } - ], - "parts": [ - { - "id": "ca-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(d)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;" - }, - { - "id": "ca-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(d)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(e)" - } - ], - "parts": [ - { - "id": "ca-7.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(e)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;" - }, - { - "id": "ca-7.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(e)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(f)" - } - ], - "parts": [ - { - "id": "ca-7.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(f)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;" - }, - { - "id": "ca-7.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(f)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)" - } - ], - "parts": [ - { - "id": "ca-7.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;" - }, - { - "id": "ca-7.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;" - }, - { - "id": "ca-7.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and" - }, - { - "id": "ca-7.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(g)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing continuous monitoring" - } - ] - } - ], - "controls": [ - { - "id": "ca-7.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessment", - "parameters": [ - { - "id": "ca-7.1_prm_1", - "label": "organization-defined level of independence" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-7(1)" - }, - { - "name": "sort-id", - "value": "ca-07.01" - } - ], - "parts": [ - { - "id": "ca-7.1_smt", - "name": "statement", - "prose": "The organization employs assessors or assessment teams with {{ ca-7.1_prm_1 }} to monitor the security controls in the information\n system on an ongoing basis." - }, - { - "id": "ca-7.1_gdn", - "name": "guidance", - "prose": "Organizations can maximize the value of assessments of security controls during\n the continuous monitoring process by requiring that such assessments be conducted\n by assessors or assessment teams with appropriate levels of independence based on\n continuous monitoring strategies. Assessor independence provides a degree of\n impartiality to the monitoring process. To achieve such impartiality, assessors\n should not: (i) create a mutual or conflicting interest with the organizations\n where the assessments are being conducted; (ii) assess their own work; (iii) act\n as management or employees of the organizations they are serving; or (iv) place\n themselves in advocacy positions for the organizations acquiring their\n services." - }, - { - "id": "ca-7.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-7.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(1)[1]" - } - ], - "prose": "defines a level of independence to be employed to monitor the security controls\n in the information system on an ongoing basis; and" - }, - { - "id": "ca-7.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-7(1)[2]" - } - ], - "prose": "employs assessors or assessment teams with the organization-defined level of\n independence to monitor the security controls in the information system on an\n ongoing basis." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nsecurity impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-7.3", - "class": "SP800-53-enhancement", - "title": "Trend Analyses", - "properties": [ - { - "name": "label", - "value": "CA-7(3)" - }, - { - "name": "sort-id", - "value": "ca-07.03" - } - ], - "parts": [ - { - "id": "ca-7.3_smt", - "name": "statement", - "prose": "The organization employs trend analyses to determine if security control\n implementations, the frequency of continuous monitoring activities, and/or the\n types of activities used in the continuous monitoring process need to be modified\n based on empirical data." - }, - { - "id": "ca-7.3_gdn", - "name": "guidance", - "prose": "Trend analyses can include, for example, examining recent threat information\n regarding the types of threat events that have occurred within the organization or\n across the federal government, success rates of certain types of cyber attacks,\n emerging vulnerabilities in information technologies, evolving social engineering\n techniques, results from multiple security control assessments, the effectiveness\n of configuration settings, and findings from Inspectors General or auditors." - }, - { - "id": "ca-7.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization employs trend analyses to determine if the following\n items need to be modified based on empirical data:", - "parts": [ - { - "id": "ca-7.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(3)[1]" - } - ], - "prose": "security control implementations;" - }, - { - "id": "ca-7.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(3)[2]" - } - ], - "prose": "the frequency of continuous monitoring activities; and/or" - }, - { - "id": "ca-7.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(3)[3]" - } - ], - "prose": "the types of activities used in the continuous monitoring process." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Continuous monitoring strategy\\n\\nSecurity assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nsecurity impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ca-8", - "class": "SP800-53", - "title": "Penetration Testing", - "parameters": [ - { - "id": "ca-8_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-8_prm_2", - "label": "organization-defined information systems or system components" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-8" - }, - { - "name": "sort-id", - "value": "ca-08" - } - ], - "parts": [ - { - "id": "ca-8_smt", - "name": "statement", - "prose": "The organization conducts penetration testing {{ ca-8_prm_1 }} on\n {{ ca-8_prm_2 }}.", - "parts": [ - { - "id": "ca-8_fr", - "name": "item", - "title": "CA-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-8_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-8_gdn", - "name": "guidance", - "prose": "Penetration testing is a specialized type of assessment conducted on information\n systems or individual system components to identify vulnerabilities that could be\n exploited by adversaries. Such testing can be used to either validate vulnerabilities\n or determine the degree of resistance organizational information systems have to\n adversaries within a set of specified constraints (e.g., time, resources, and/or\n skills). Penetration testing attempts to duplicate the actions of adversaries in\n carrying out hostile cyber attacks against organizations and provides a more in-depth\n analysis of security-related weaknesses/deficiencies. Organizations can also use the\n results of vulnerability analyses to support penetration testing activities.\n Penetration testing can be conducted on the hardware, software, or firmware\n components of an information system and can exercise both physical and technical\n security controls. A standard method for penetration testing includes, for example:\n (i) pretest analysis based on full knowledge of the target system; (ii) pretest\n identification of potential vulnerabilities based on pretest analysis; and (iii)\n testing designed to determine exploitability of identified vulnerabilities. All\n parties agree to the rules of engagement before the commencement of penetration\n testing scenarios. Organizations correlate the penetration testing rules of\n engagement with the tools, techniques, and procedures that are anticipated to be\n employed by adversaries carrying out attacks. Organizational risk assessments guide\n decisions on the level of independence required for personnel conducting penetration\n testing.", - "links": [ - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "ca-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-8[1]" - } - ], - "prose": "defines information systems or system components on which penetration testing is\n to be conducted;" - }, - { - "id": "ca-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-8[2]" - } - ], - "prose": "defines the frequency to conduct penetration testing on organization-defined\n information systems or system components; and" - }, - { - "id": "ca-8_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-8[3]" - } - ], - "prose": "conducts penetration testing on organization-defined information systems or system\n components with the organization-defined frequency." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities,\n system/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting penetration testing" - } - ] - } - ], - "controls": [ - { - "id": "ca-8.1", - "class": "SP800-53-enhancement", - "title": "Independent Penetration Agent or Team", - "properties": [ - { - "name": "label", - "value": "CA-8(1)" - }, - { - "name": "sort-id", - "value": "ca-08.01" - } - ], - "parts": [ - { - "id": "ca-8.1_smt", - "name": "statement", - "prose": "The organization employs an independent penetration agent or penetration team to\n perform penetration testing on the information system or system components." - }, - { - "id": "ca-8.1_gdn", - "name": "guidance", - "prose": "Independent penetration agents or teams are individuals or groups who conduct\n impartial penetration testing of organizational information systems. Impartiality\n implies that penetration agents or teams are free from any perceived or actual\n conflicts of interest with regard to the development, operation, or management of\n the information systems that are the targets of the penetration testing.\n Supplemental guidance for CA-2 (1) provides additional information regarding\n independent assessments that can be applied to penetration testing.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - } - ] - }, - { - "id": "ca-8.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization employs an independent penetration agent or\n penetration team to perform penetration testing on the information system or\n system components. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "parameters": [ - { - "id": "ca-9_prm_1", - "label": "organization-defined information system components or classes of\n components" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-9" - }, - { - "name": "sort-id", - "value": "ca-09" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(a)" - } - ], - "parts": [ - { - "id": "ca-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-9(a)[1]" - } - ], - "prose": "defines information system components or classes of components to be authorized\n as internal connections to the information system;" - }, - { - "id": "ca-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-9(a)[2]" - } - ], - "prose": "authorizes internal connections of organization-defined information system\n components or classes of components to the information system;" - } - ] - }, - { - "id": "ca-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-9(b)" - } - ], - "prose": "documents, for each internal connection:", - "parts": [ - { - "id": "ca-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[2]" - } - ], - "prose": "the security requirements; and" - }, - { - "id": "ca-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[3]" - } - ], - "prose": "the nature of the information communicated." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Configuration Management Policy and Procedures", - "parameters": [ - { - "id": "cm-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cm-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-1" - }, - { - "name": "sort-id", - "value": "cm-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cm-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Configuration management policy {{ cm-1_prm_2 }}; and" - }, - { - "id": "cm-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Configuration management procedures {{ cm-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cm-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(1)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1]" - } - ], - "prose": "develops and documents a configuration management policy that addresses:", - "parts": [ - { - "id": "cm-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cm-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cm-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cm-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cm-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cm-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cm-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cm-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the configuration management policy is to\n be disseminated;" - }, - { - "id": "cm-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-1(a)(1)[3]" - } - ], - "prose": "disseminates the configuration management policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "cm-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)" - } - ], - "parts": [ - { - "id": "cm-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;" - }, - { - "id": "cm-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cm-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cm-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(1)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management policy;" - }, - { - "id": "cm-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current configuration management policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "cm-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(2)" - } - ], - "parts": [ - { - "id": "cm-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management procedures; and" - }, - { - "id": "cm-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current configuration management procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "properties": [ - { - "name": "label", - "value": "CM-2" - }, - { - "name": "sort-id", - "value": "cm-02" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "prose": "The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system." - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - } - ] - }, - { - "id": "cm-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-2[1]" - } - ], - "prose": "develops and documents a current baseline configuration of the information system;\n and" - }, - { - "id": "cm-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2[2]" - } - ], - "prose": "maintains, under configuration control, a current baseline configuration of the\n information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration" - } - ] - } - ], - "controls": [ - { - "id": "cm-2.1", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "parameters": [ - { - "id": "cm-2.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or when a significant change occurs" - } - ] - }, - { - "id": "cm-2.1_prm_2", - "label": "Assignment organization-defined circumstances", - "constraints": [ - { - "detail": "to include when directed by the JAB" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-2(1)" - }, - { - "name": "sort-id", - "value": "cm-02.01" - } - ], - "parts": [ - { - "id": "cm-2.1_smt", - "name": "statement", - "prose": "The organization reviews and updates the baseline configuration of the information\n system:", - "parts": [ - { - "id": "cm-2.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "\n {{ cm-2.1_prm_1 }};" - }, - { - "id": "cm-2.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "When required due to {{ cm-2.1_prm_2 }}; and" - }, - { - "id": "cm-2.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "As an integral part of information system component installations and\n upgrades." - }, - { - "id": "cm-2.1_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-2.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7." - } - ] - } - ] - }, - { - "id": "cm-2.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - } - ] - }, - { - "id": "cm-2.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(1)(a)" - } - ], - "parts": [ - { - "id": "cm-2.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(1)(a)[1]" - } - ], - "prose": "defines the frequency to review and update the baseline configuration of the\n information system;" - }, - { - "id": "cm-2.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(1)(a)[2]" - } - ], - "prose": "reviews and updates the baseline configuration of the information system\n with the organization-defined frequency;" - } - ], - "links": [ - { - "href": "#cm-2.1_smt.a", - "rel": "corresp", - "text": "CM-2(1)(a)" - } - ] - }, - { - "id": "cm-2.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(1)(b)" - } - ], - "parts": [ - { - "id": "cm-2.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(1)(b)[1]" - } - ], - "prose": "defines circumstances that require the baseline configuration of the\n information system to be reviewed and updated;" - }, - { - "id": "cm-2.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(1)(b)[2]" - } - ], - "prose": "reviews and updates the baseline configuration of the information system\n when required due to organization-defined circumstances; and" - } - ], - "links": [ - { - "href": "#cm-2.1_smt.b", - "rel": "corresp", - "text": "CM-2(1)(b)" - } - ] - }, - { - "id": "cm-2.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(1)(c)" - } - ], - "prose": "reviews and updates the baseline configuration of the information system as an\n integral part of information system component installations and upgrades.", - "links": [ - { - "href": "#cm-2.1_smt.c", - "rel": "corresp", - "text": "CM-2(1)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting review and update of the baseline\n configuration" - } - ] - } - ] - }, - { - "id": "cm-2.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy / Currency", - "properties": [ - { - "name": "label", - "value": "CM-2(2)" - }, - { - "name": "sort-id", - "value": "cm-02.02" - } - ], - "parts": [ - { - "id": "cm-2.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to maintain an up-to-date, complete,\n accurate, and readily available baseline configuration of the information\n system." - }, - { - "id": "cm-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms that help organizations maintain consistent baseline\n configurations for information systems include, for example, hardware and software\n inventory tools, configuration management tools, and network management tools.\n Such tools can be deployed and/or allocated as common controls, at the information\n system level, or at the operating system or component level (e.g., on\n workstations, servers, notebook computers, network components, or mobile devices).\n Tools can be used, for example, to track version numbers on operating system\n applications, types of software installed, and current patch levels. This control\n enhancement can be satisfied by the implementation of CM-8 (2) for organizations\n that choose to combine information system component inventory and baseline\n configuration activities.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "cm-2.2_obj", - "name": "objective", - "prose": "Determine if the organization employs automated mechanisms to maintain: ", - "parts": [ - { - "id": "cm-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[1]" - } - ], - "prose": "an up-to-date baseline configuration of the information system;" - }, - { - "id": "cm-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[2]" - } - ], - "prose": "a complete baseline configuration of the information system;" - }, - { - "id": "cm-2.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[3]" - } - ], - "prose": "an accurate baseline configuration of the information system; and" - }, - { - "id": "cm-2.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[4]" - } - ], - "prose": "a readily available baseline configuration of the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nconfiguration change control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms implementing baseline configuration maintenance" - } - ] - } - ] - }, - { - "id": "cm-2.3", - "class": "SP800-53-enhancement", - "title": "Retention of Previous Configurations", - "parameters": [ - { - "id": "cm-2.3_prm_1", - "label": "organization-defined previous versions of baseline configurations of the\n information system", - "constraints": [ - { - "detail": "organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-2(3)" - }, - { - "name": "sort-id", - "value": "cm-02.03" - } - ], - "parts": [ - { - "id": "cm-2.3_smt", - "name": "statement", - "prose": "The organization retains {{ cm-2.3_prm_1 }} to support\n rollback." - }, - { - "id": "cm-2.3_gdn", - "name": "guidance", - "prose": "Retaining previous versions of baseline configurations to support rollback may\n include, for example, hardware, software, firmware, configuration files, and\n configuration records." - }, - { - "id": "cm-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(3)[1]" - } - ], - "prose": "defines previous versions of baseline configurations of the information system\n to be retained to support rollback; and" - }, - { - "id": "cm-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(3)[2]" - } - ], - "prose": "retains organization-defined previous versions of baseline configurations of\n the information system to support rollback." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncopies of previous baseline configuration versions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - }, - { - "id": "cm-2.7", - "class": "SP800-53-enhancement", - "title": "Configure Systems, Components, or Devices for High-risk Areas", - "parameters": [ - { - "id": "cm-2.7_prm_1", - "label": "organization-defined information systems, system components, or\n devices" - }, - { - "id": "cm-2.7_prm_2", - "label": "organization-defined configurations" - }, - { - "id": "cm-2.7_prm_3", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-2(7)" - }, - { - "name": "sort-id", - "value": "cm-02.07" - } - ], - "parts": [ - { - "id": "cm-2.7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-2.7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Issues {{ cm-2.7_prm_1 }} with {{ cm-2.7_prm_2 }}\n to individuals traveling to locations that the organization deems to be of\n significant risk; and" - }, - { - "id": "cm-2.7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Applies {{ cm-2.7_prm_3 }} to the devices when the individuals\n return." - } - ] - }, - { - "id": "cm-2.7_gdn", - "name": "guidance", - "prose": "When it is known that information systems, system components, or devices (e.g.,\n notebook computers, mobile devices) will be located in high-risk areas, additional\n security controls may be implemented to counter the greater threat in such areas\n coupled with the lack of physical security relative to organizational-controlled\n areas. For example, organizational policies and procedures for notebook computers\n used by individuals departing on and returning from travel include, for example,\n determining which locations are of concern, defining required configurations for\n the devices, ensuring that the devices are configured as intended before travel is\n initiated, and applying specific safeguards to the device after travel is\n completed. Specially configured notebook computers include, for example, computers\n with sanitized hard drives, limited applications, and additional hardening (e.g.,\n more stringent configuration settings). Specified safeguards applied to mobile\n devices upon return from travel include, for example, examining the device for\n signs of physical tampering and purging/reimaging the hard disk drive. Protecting\n information residing on mobile devices is covered in the media protection\n family." - }, - { - "id": "cm-2.7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2.7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(7)(a)" - } - ], - "parts": [ - { - "id": "cm-2.7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(7)(a)[1]" - } - ], - "prose": "defines information systems, system components, or devices to be issued to\n individuals traveling to locations that the organization deems to be of\n significant risk;" - }, - { - "id": "cm-2.7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(7)(a)[2]" - } - ], - "prose": "defines configurations to be employed on organization-defined information\n systems, system components, or devices issued to individuals traveling to\n such locations;" - }, - { - "id": "cm-2.7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(7)(a)[3]" - } - ], - "prose": "issues organization-defined information systems, system components, or\n devices with organization-defined configurations to individuals traveling to\n locations that the organization deems to be of significant risk;" - } - ], - "links": [ - { - "href": "#cm-2.7_smt.a", - "rel": "corresp", - "text": "CM-2(7)(a)" - } - ] - }, - { - "id": "cm-2.7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(7)(b)" - } - ], - "parts": [ - { - "id": "cm-2.7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(7)(b)[1]" - } - ], - "prose": "defines security safeguards to be applied to the devices when the\n individuals return; and" - }, - { - "id": "cm-2.7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(7)(b)[2]" - } - ], - "prose": "applies organization-defined safeguards to the devices when the individuals\n return." - } - ], - "links": [ - { - "href": "#cm-2.7_smt.b", - "rel": "corresp", - "text": "CM-2(7)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - } - ] - }, - { - "id": "cm-3", - "class": "SP800-53", - "title": "Configuration Change Control", - "parameters": [ - { - "id": "cm-3_prm_1", - "label": "organization-defined time period" - }, - { - "id": "cm-3_prm_2", - "label": "organization-defined configuration change control element (e.g., committee,\n board)" - }, - { - "id": "cm-3_prm_3" - }, - { - "id": "cm-3_prm_4", - "depends-on": "cm-3_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cm-3_prm_5", - "depends-on": "cm-3_prm_3", - "label": "organization-defined configuration change conditions" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-3" - }, - { - "name": "sort-id", - "value": "cm-03" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines the types of changes to the information system that are\n configuration-controlled;" - }, - { - "id": "cm-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;" - }, - { - "id": "cm-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents configuration change decisions associated with the information\n system;" - }, - { - "id": "cm-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implements approved configuration-controlled changes to the information\n system;" - }, - { - "id": "cm-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retains records of configuration-controlled changes to the information system for\n {{ cm-3_prm_1 }};" - }, - { - "id": "cm-3_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Audits and reviews activities associated with configuration-controlled changes to\n the information system; and" - }, - { - "id": "cm-3_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Coordinates and provides oversight for configuration change control activities\n through {{ cm-3_prm_2 }} that convenes {{ cm-3_prm_3 }}." - }, - { - "id": "cm-3_fr", - "name": "item", - "title": "CM-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-3_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO." - }, - { - "id": "cm-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(e) Guidance:" - } - ], - "prose": "In accordance with record retention policies and procedures." - } - ] - } - ] - }, - { - "id": "cm-3_gdn", - "name": "guidance", - "prose": "Configuration change controls for organizational information systems involve the\n systematic proposal, justification, implementation, testing, review, and disposition\n of changes to the systems, including system upgrades and modifications. Configuration\n change control includes changes to baseline configurations for components and\n configuration items of information systems, changes to configuration settings for\n information technology products (e.g., operating systems, applications, firewalls,\n routers, and mobile devices), unscheduled/unauthorized changes, and changes to\n remediate vulnerabilities. Typical processes for managing configuration changes to\n information systems include, for example, Configuration Control Boards that approve\n proposed changes to systems. For new development information systems or systems\n undergoing major upgrades, organizations consider including representatives from\n development organizations on the Configuration Control Boards. Auditing of changes\n includes activities before and after changes are made to organizational information\n systems and the auditing activities required to implement such changes.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "cm-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(a)" - } - ], - "prose": "determines the type of changes to the information system that must be\n configuration-controlled;" - }, - { - "id": "cm-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-3(b)" - } - ], - "prose": "reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;" - }, - { - "id": "cm-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-3(c)" - } - ], - "prose": "documents configuration change decisions associated with the information\n system;" - }, - { - "id": "cm-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(d)" - } - ], - "prose": "implements approved configuration-controlled changes to the information\n system;" - }, - { - "id": "cm-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(e)" - } - ], - "parts": [ - { - "id": "cm-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(e)[1]" - } - ], - "prose": "defines a time period to retain records of configuration-controlled changes to\n the information system;" - }, - { - "id": "cm-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(e)[2]" - } - ], - "prose": "retains records of configuration-controlled changes to the information system\n for the organization-defined time period;" - } - ] - }, - { - "id": "cm-3.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(f)" - } - ], - "prose": "audits and reviews activities associated with configuration-controlled changes to\n the information system;" - }, - { - "id": "cm-3.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(g)" - } - ], - "parts": [ - { - "id": "cm-3.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(g)[1]" - } - ], - "prose": "defines a configuration change control element (e.g., committee, board)\n responsible for coordinating and providing oversight for configuration change\n control activities;" - }, - { - "id": "cm-3.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(g)[2]" - } - ], - "prose": "defines the frequency with which the configuration change control element must\n convene; and/or" - }, - { - "id": "cm-3.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(g)[3]" - } - ], - "prose": "defines configuration change conditions that prompt the configuration change\n control element to convene; and" - }, - { - "id": "cm-3.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(g)[4]" - } - ], - "prose": "coordinates and provides oversight for configuration change control activities\n through organization-defined configuration change control element that convenes\n at organization-defined frequency and/or for any organization-defined\n configuration change conditions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\nsecurity plan\\n\\nchange control records\\n\\ninformation system audit records\\n\\nchange control audit and review reports\\n\\nagenda /minutes from configuration change control oversight meetings\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\\n\\nautomated mechanisms that implement configuration change control" - } - ] - } - ], - "controls": [ - { - "id": "cm-3.1", - "class": "SP800-53-enhancement", - "title": "Automated Document / Notification / Prohibition of Changes", - "parameters": [ - { - "id": "cm-3.1_prm_1", - "label": "organized-defined approval authorities" - }, - { - "id": "cm-3.1_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "organization agreed upon time period" - } - ] - }, - { - "id": "cm-3.1_prm_3", - "label": "organization-defined personnel", - "constraints": [ - { - "detail": "organization defined configuration management approval authorities" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-3(1)" - }, - { - "name": "sort-id", - "value": "cm-03.01" - } - ], - "parts": [ - { - "id": "cm-3.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to:", - "parts": [ - { - "id": "cm-3.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Document proposed changes to the information system;" - }, - { - "id": "cm-3.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Notify {{ cm-3.1_prm_1 }} of proposed changes to the information\n system and request change approval;" - }, - { - "id": "cm-3.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Highlight proposed changes to the information system that have not been\n approved or disapproved by {{ cm-3.1_prm_2 }};" - }, - { - "id": "cm-3.1_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Prohibit changes to the information system until designated approvals are\n received;" - }, - { - "id": "cm-3.1_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Document all changes to the information system; and" - }, - { - "id": "cm-3.1_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Notify {{ cm-3.1_prm_3 }} when approved changes to the\n information system are completed." - } - ] - }, - { - "id": "cm-3.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-3.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(1)(a)" - } - ], - "prose": "employs automated mechanisms to document proposed changes to the information\n system;", - "links": [ - { - "href": "#cm-3.1_smt.a", - "rel": "corresp", - "text": "CM-3(1)(a)" - } - ] - }, - { - "id": "cm-3.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(1)(b)" - } - ], - "parts": [ - { - "id": "cm-3.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(1)(b)[1]" - } - ], - "prose": "defines approval authorities to be notified of proposed changes to the\n information system and request change approval;" - }, - { - "id": "cm-3.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(1)(b)[2]" - } - ], - "prose": "employs automated mechanisms to notify organization-defined approval\n authorities of proposed changes to the information system and request change\n approval;" - } - ], - "links": [ - { - "href": "#cm-3.1_smt.b", - "rel": "corresp", - "text": "CM-3(1)(b)" - } - ] - }, - { - "id": "cm-3.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(1)(c)" - } - ], - "parts": [ - { - "id": "cm-3.1.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(1)(c)[1]" - } - ], - "prose": "defines the time period within which proposed changes to the information\n system that have not been approved or disapproved must be highlighted;" - }, - { - "id": "cm-3.1.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(1)(c)[2]" - } - ], - "prose": "employs automated mechanisms to highlight proposed changes to the\n information system that have not been approved or disapproved by\n organization-defined time period;" - } - ], - "links": [ - { - "href": "#cm-3.1_smt.c", - "rel": "corresp", - "text": "CM-3(1)(c)" - } - ] - }, - { - "id": "cm-3.1.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(1)(d)" - } - ], - "prose": "employs automated mechanisms to prohibit changes to the information system\n until designated approvals are received;", - "links": [ - { - "href": "#cm-3.1_smt.d", - "rel": "corresp", - "text": "CM-3(1)(d)" - } - ] - }, - { - "id": "cm-3.1.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(1)(e)" - } - ], - "prose": "employs automated mechanisms to document all changes to the information\n system;", - "links": [ - { - "href": "#cm-3.1_smt.e", - "rel": "corresp", - "text": "CM-3(1)(e)" - } - ] - }, - { - "id": "cm-3.1.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(1)(f)" - } - ], - "parts": [ - { - "id": "cm-3.1.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(1)(f)[1]" - } - ], - "prose": "defines personnel to be notified when approved changes to the information\n system are completed; and" - }, - { - "id": "cm-3.1.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(1)(f)[2]" - } - ], - "prose": "employs automated mechanisms to notify organization-defined personnel when\n approved changes to the information system are completed." - } - ], - "links": [ - { - "href": "#cm-3.1_smt.f", - "rel": "corresp", - "text": "CM-3(1)(f)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\nautomated configuration control mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nchange approval requests\\n\\nchange approvals\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\\n\\nautomated mechanisms implementing configuration change control activities" - } - ] - } - ] - }, - { - "id": "cm-3.2", - "class": "SP800-53-enhancement", - "title": "Test / Validate / Document Changes", - "properties": [ - { - "name": "label", - "value": "CM-3(2)" - }, - { - "name": "sort-id", - "value": "cm-03.02" - } - ], - "parts": [ - { - "id": "cm-3.2_smt", - "name": "statement", - "prose": "The organization tests, validates, and documents changes to the information system\n before implementing the changes on the operational system." - }, - { - "id": "cm-3.2_gdn", - "name": "guidance", - "prose": "Changes to information systems include modifications to hardware, software, or\n firmware components and configuration settings defined in CM-6. Organizations\n ensure that testing does not interfere with information system operations.\n Individuals/groups conducting tests understand organizational security policies\n and procedures, information system security policies and procedures, and the\n specific health, safety, and environmental risks associated with particular\n facilities/processes. Operational systems may need to be taken off-line, or\n replicated to the extent feasible, before testing can be conducted. If information\n systems must be taken off-line for testing, the tests are scheduled to occur\n during planned system outages whenever possible. If testing cannot be conducted on\n operational systems, organizations employ compensating controls (e.g., testing on\n replicated systems)." - }, - { - "id": "cm-3.2_obj", - "name": "objective", - "prose": "Determine if the organization, before implementing changes on the operational\n system:", - "parts": [ - { - "id": "cm-3.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(2)[1]" - } - ], - "prose": "tests changes to the information system;" - }, - { - "id": "cm-3.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(2)[2]" - } - ], - "prose": "validates changes to the information system; and" - }, - { - "id": "cm-3.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(2)[3]" - } - ], - "prose": "documents changes to the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing information system configuration change control\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ntest records\\n\\nvalidation records\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\\n\\nautomated mechanisms supporting and/or implementing testing, validating, and\n documenting information system changes" - } - ] - } - ] - }, - { - "id": "cm-3.4", - "class": "SP800-53-enhancement", - "title": "Security Representative", - "parameters": [ - { - "id": "cm-3.4_prm_1", - "label": "organization-defined configuration change control element", - "constraints": [ - { - "detail": "Configuration control board (CCB) or similar (as defined in CM-3)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-3(4)" - }, - { - "name": "sort-id", - "value": "cm-03.04" - } - ], - "parts": [ - { - "id": "cm-3.4_smt", - "name": "statement", - "prose": "The organization requires an information security representative to be a member of\n the {{ cm-3.4_prm_1 }}." - }, - { - "id": "cm-3.4_gdn", - "name": "guidance", - "prose": "Information security representatives can include, for example, senior agency\n information security officers, information system security officers, or\n information system security managers. Representation by personnel with information\n security expertise is important because changes to information system\n configurations can have unintended side effects, some of which may be\n security-relevant. Detecting such changes early in the process can help avoid\n unintended, negative consequences that could ultimately affect the security state\n of organizational information systems. The configuration change control element in\n this control enhancement reflects the change control elements defined by\n organizations in CM-3." - }, - { - "id": "cm-3.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-3.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-3(4)[1]" - } - ], - "prose": "specifies the configuration change control elements (as defined in CM-3g) of\n which an information security representative is to be a member; and" - }, - { - "id": "cm-3.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(4)[2]" - } - ], - "prose": "requires an information security representative to be a member of the specified\n configuration control element." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control" - } - ] - } - ] - }, - { - "id": "cm-3.6", - "class": "SP800-53-enhancement", - "title": "Cryptography Management", - "parameters": [ - { - "id": "cm-3.6_prm_1", - "label": "organization-defined security safeguards", - "constraints": [ - { - "detail": "All security safeguards that rely on cryptography" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-3(6)" - }, - { - "name": "sort-id", - "value": "cm-03.06" - } - ], - "parts": [ - { - "id": "cm-3.6_smt", - "name": "statement", - "prose": "The organization ensures that cryptographic mechanisms used to provide {{ cm-3.6_prm_1 }} are under configuration management." - }, - { - "id": "cm-3.6_gdn", - "name": "guidance", - "prose": "Regardless of the cryptographic means employed (e.g., public key, private key,\n shared secrets), organizations ensure that there are processes and procedures in\n place to effectively manage those means. For example, if devices use certificates\n as a basis for identification and authentication, there needs to be a process in\n place to address the expiration of those certificates.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "cm-3.6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-3.6_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(6)[1]" - } - ], - "prose": "defines security safeguards provided by cryptographic mechanisms that are to be\n under configuration management; and" - }, - { - "id": "cm-3.6_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(6)[2]" - } - ], - "prose": "ensures that cryptographic mechanisms used to provide organization-defined\n security safeguards are under configuration management." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\\n\\ncryptographic mechanisms implementing organizational security safeguards" - } - ] - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Security Impact Analysis", - "properties": [ - { - "name": "label", - "value": "CM-4" - }, - { - "name": "sort-id", - "value": "cm-04" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "cm-4_obj", - "name": "objective", - "prose": "Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analysis" - } - ] - } - ], - "controls": [ - { - "id": "cm-4.1", - "class": "SP800-53-enhancement", - "title": "Separate Test Environments", - "properties": [ - { - "name": "label", - "value": "CM-4(1)" - }, - { - "name": "sort-id", - "value": "cm-04.01" - } - ], - "parts": [ - { - "id": "cm-4.1_smt", - "name": "statement", - "prose": "The organization analyzes changes to the information system in a separate test\n environment before implementation in an operational environment, looking for\n security impacts due to flaws, weaknesses, incompatibility, or intentional\n malice." - }, - { - "id": "cm-4.1_gdn", - "name": "guidance", - "prose": "Separate test environment in this context means an environment that is physically\n or logically isolated and distinct from the operational environment. The\n separation is sufficient to ensure that activities in the test environment do not\n impact activities in the operational environment, and information in the\n operational environment is not inadvertently transmitted to the test environment.\n Separate environments can be achieved by physical or logical means. If physically\n separate test environments are not used, organizations determine the strength of\n mechanism required when implementing logical separation (e.g., separation achieved\n through virtual machines).", - "links": [ - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-4.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-4.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-4(1)[1]" - } - ], - "prose": "analyzes changes to the information system in a separate test environment\n before implementation in an operational environment;" - }, - { - "id": "cm-4.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-4(1)[2]" - } - ], - "prose": "when analyzing changes to the information system in a separate test\n environment, looks for security impacts due to:", - "parts": [ - { - "id": "cm-4.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-4(1)[2][a]" - } - ], - "prose": "flaws;" - }, - { - "id": "cm-4.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-4(1)[2][b]" - } - ], - "prose": "weaknesses;" - }, - { - "id": "cm-4.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-4(1)[2][c]" - } - ], - "prose": "incompatibility; and" - }, - { - "id": "cm-4.1_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-4(1)[2][d]" - } - ], - "prose": "intentional malice." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs information system design\n documentation\\n\\ninformation system architecture and configuration documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\ndocumentation evidence of separate test and operational environments\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analysis\\n\\nautomated mechanisms supporting and/or implementing security impact analysis of\n changes" - } - ] - } - ] - } - ] - }, - { - "id": "cm-5", - "class": "SP800-53", - "title": "Access Restrictions for Change", - "properties": [ - { - "name": "label", - "value": "CM-5" - }, - { - "name": "sort-id", - "value": "cm-05" - } - ], - "parts": [ - { - "id": "cm-5_smt", - "name": "statement", - "prose": "The organization defines, documents, approves, and enforces physical and logical\n access restrictions associated with changes to the information system." - }, - { - "id": "cm-5_gdn", - "name": "guidance", - "prose": "Any changes to the hardware, software, and/or firmware components of information\n systems can potentially have significant effects on the overall security of the\n systems. Therefore, organizations permit only qualified and authorized individuals to\n access information systems for purposes of initiating changes, including upgrades and\n modifications. Organizations maintain records of access to ensure that configuration\n change control is implemented and to support after-the-fact actions should\n organizations discover any unauthorized changes. Access restrictions for change also\n include software libraries. Access restrictions include, for example, physical and\n logical access controls (see AC-3 and PE-3), workflow automation, media libraries,\n abstract layers (e.g., changes implemented into third-party interfaces rather than\n directly into information systems), and change windows (e.g., changes occur only\n during specified times, making unauthorized changes easy to discover).", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "cm-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[1]" - } - ], - "prose": "defines physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[2]" - } - ], - "prose": "documents physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[3]" - } - ], - "prose": "approves physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[4]" - } - ], - "prose": "enforces physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[5]" - } - ], - "prose": "defines logical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[6]" - } - ], - "prose": "documents logical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.7", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5[7]" - } - ], - "prose": "approves logical access restrictions associated with changes to the information\n system; and" - }, - { - "id": "cm-5_obj.8", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5[8]" - } - ], - "prose": "enforces logical access restrictions associated with changes to the information\n system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access approvals\\n\\nphysical access approvals\\n\\naccess credentials\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with logical access control responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting/implementing/enforcing access restrictions\n associated with changes to the information system" - } - ] - } - ], - "controls": [ - { - "id": "cm-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Access Enforcement / Auditing", - "properties": [ - { - "name": "label", - "value": "CM-5(1)" - }, - { - "name": "sort-id", - "value": "cm-05.01" - } - ], - "parts": [ - { - "id": "cm-5.1_smt", - "name": "statement", - "prose": "The information system enforces access restrictions and supports auditing of the\n enforcement actions." - }, - { - "id": "cm-5.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "cm-5.1_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "cm-5.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(1)[1]" - } - ], - "prose": "enforces access restrictions for change; and" - }, - { - "id": "cm-5.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(1)[2]" - } - ], - "prose": "supports auditing of the enforcement actions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms implementing enforcement of access restrictions for\n changes to the information system\\n\\nautomated mechanisms supporting auditing of enforcement actions" - } - ] - } - ] - }, - { - "id": "cm-5.2", - "class": "SP800-53-enhancement", - "title": "Review System Changes", - "parameters": [ - { - "id": "cm-5.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every thirty (30) days" - } - ] - }, - { - "id": "cm-5.2_prm_2", - "label": "organization-defined circumstances" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-5(2)" - }, - { - "name": "sort-id", - "value": "cm-05.02" - } - ], - "parts": [ - { - "id": "cm-5.2_smt", - "name": "statement", - "prose": "The organization reviews information system changes {{ cm-5.2_prm_1 }} and {{ cm-5.2_prm_2 }} to determine\n whether unauthorized changes have occurred." - }, - { - "id": "cm-5.2_gdn", - "name": "guidance", - "prose": "Indications that warrant review of information system changes and the specific\n circumstances justifying such reviews may be obtained from activities carried out\n by organizations during the configuration change process.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#pe-8", - "rel": "related", - "text": "PE-8" - } - ] - }, - { - "id": "cm-5.2_obj", - "name": "objective", - "prose": "Determine if the organization, in an effort to ascertain whether unauthorized\n changes have occurred:", - "parts": [ - { - "id": "cm-5.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(2)[1]" - } - ], - "prose": "defines the frequency to review information system changes;" - }, - { - "id": "cm-5.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(2)[2]" - } - ], - "prose": "defines circumstances that warrant review of information system changes;" - }, - { - "id": "cm-5.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(2)[3]" - } - ], - "prose": "reviews information system changes with the organization-defined frequency;\n and" - }, - { - "id": "cm-5.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(2)[4]" - } - ], - "prose": "reviews information system changes with the organization-defined\n circumstances." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nreviews of information system changes\\n\\naudit and review reports\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting/implementing information system reviews to\n determine whether unauthorized changes have occurred" - } - ] - } - ] - }, - { - "id": "cm-5.3", - "class": "SP800-53-enhancement", - "title": "Signed Components", - "parameters": [ - { - "id": "cm-5.3_prm_1", - "label": "organization-defined software and firmware components" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-5(3)" - }, - { - "name": "sort-id", - "value": "cm-05.03" - } - ], - "parts": [ - { - "id": "cm-5.3_smt", - "name": "statement", - "prose": "The information system prevents the installation of {{ cm-5.3_prm_1 }} without verification that the component has been\n digitally signed using a certificate that is recognized and approved by the\n organization.", - "parts": [ - { - "id": "cm-5.3_fr", - "name": "item", - "title": "CM-5 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-5.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized." - } - ] - } - ] - }, - { - "id": "cm-5.3_gdn", - "name": "guidance", - "prose": "Software and firmware components prevented from installation unless signed with\n recognized and approved certificates include, for example, software and firmware\n version updates, patches, service packs, device drivers, and basic input output\n system (BIOS) updates. Organizations can identify applicable software and firmware\n components by type, by specific items, or a combination of both. Digital\n signatures and organizational verification of such signatures, is a method of code\n authentication.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "cm-5.3_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cm-5.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(3)[1]" - } - ], - "prose": "the organization defines software and firmware components that the information\n system will prevent from being installed without verification that such\n components have been digitally signed using a certificate that is recognized\n and approved by the organization; and" - }, - { - "id": "cm-5.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(3)[2]" - } - ], - "prose": "the information system prevents the installation of organization-defined\n software and firmware components without verification that such components have\n been digitally signed using a certificate that is recognized and approved by\n the organization." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nlist of software and firmware components to be prohibited from installation\n without a recognized and approved certificate\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms preventing installation of software and firmware\n components not signed with an organization-recognized and approved\n certificate" - } - ] - } - ] - }, - { - "id": "cm-5.5", - "class": "SP800-53-enhancement", - "title": "Limit Production / Operational Privileges", - "parameters": [ - { - "id": "cm-5.5_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-5(5)" - }, - { - "name": "sort-id", - "value": "cm-05.05" - } - ], - "parts": [ - { - "id": "cm-5.5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-5.5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limits privileges to change information system components and system-related\n information within a production or operational environment; and" - }, - { - "id": "cm-5.5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reviews and reevaluates privileges {{ cm-5.5_prm_1 }}." - } - ] - }, - { - "id": "cm-5.5_gdn", - "name": "guidance", - "prose": "In many organizations, information systems support multiple core missions/business\n functions. Limiting privileges to change information system components with\n respect to operational systems is necessary because changes to a particular\n information system component may have far-reaching effects on mission/business\n processes supported by the system where the component resides. The complex,\n many-to-many relationships between systems and mission/business processes are in\n some cases, unknown to developers.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - } - ] - }, - { - "id": "cm-5.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-5.5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(5)(a)" - } - ], - "prose": "limits privileges to change information system components and system-related\n information within a production or operational environment;", - "links": [ - { - "href": "#cm-5.5_smt.a", - "rel": "corresp", - "text": "CM-5(5)(a)" - } - ] - }, - { - "id": "cm-5.5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5(5)(b)" - } - ], - "parts": [ - { - "id": "cm-5.5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(5)(b)[1]" - } - ], - "prose": "defines the frequency to review and reevaluate privileges; and" - }, - { - "id": "cm-5.5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(5)(b)[2]" - } - ], - "prose": "reviews and reevaluates privileges with the organization-defined\n frequency." - } - ], - "links": [ - { - "href": "#cm-5.5_smt.b", - "rel": "corresp", - "text": "CM-5(5)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nuser privilege reviews\\n\\nuser privilege recertifications\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting and/or implementing access restrictions for\n change" - } - ] - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "parameters": [ - { - "id": "cm-6_prm_1", - "label": "organization-defined security configuration checklists", - "guidance": [ - { - "prose": "See CM-6(a) Additional FedRAMP Requirements and Guidance" - } - ] - }, - { - "id": "cm-6_prm_2", - "label": "organization-defined information system components" - }, - { - "id": "cm-6_prm_3", - "label": "organization-defined operational requirements" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-6" - }, - { - "name": "sort-id", - "value": "cm-06" - } - ], - "links": [ - { - "href": "#990268bf-f4a9-4c81-91ae-dc7d3115f4b1", - "rel": "reference", - "text": "OMB Memorandum 07-11" - }, - { - "href": "#0b3d8ba9-051f-498d-81ea-97f0f018c612", - "rel": "reference", - "text": "OMB Memorandum 07-18" - }, - { - "href": "#0916ef02-3618-411b-a525-565c088849a6", - "rel": "reference", - "text": "OMB Memorandum 08-22" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - }, - { - "href": "#e95dd121-2733-413e-bf1e-f1eb49f20a98", - "rel": "reference", - "text": "http://checklists.nist.gov" - }, - { - "href": "#647b6de3-81d0-4d22-bec1-5f1333e34380", - "rel": "reference", - "text": "http://www.nsa.gov" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures." - }, - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "cm-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)" - } - ], - "parts": [ - { - "id": "cm-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(a)[1]" - } - ], - "prose": "defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;" - }, - { - "id": "cm-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-6(a)[2]" - } - ], - "prose": "ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;" - }, - { - "id": "cm-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(a)[3]" - } - ], - "prose": "establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;" - } - ] - }, - { - "id": "cm-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(b)" - } - ], - "prose": "implements the configuration settings established/documented in CM-6(a);;" - }, - { - "id": "cm-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)" - } - ], - "parts": [ - { - "id": "cm-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[1]" - } - ], - "prose": "defines information system components for which any deviations from established\n configuration settings must be:", - "parts": [ - { - "id": "cm-6.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][a]" - } - ], - "prose": "identified;" - }, - { - "id": "cm-6.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][b]" - } - ], - "prose": "documented;" - }, - { - "id": "cm-6.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][c]" - } - ], - "prose": "approved;" - } - ] - }, - { - "id": "cm-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[2]" - } - ], - "prose": "defines operational requirements to support:", - "parts": [ - { - "id": "cm-6.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][a]" - } - ], - "prose": "the identification of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][b]" - } - ], - "prose": "the documentation of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][c]" - } - ], - "prose": "the approval of any deviations from established configuration settings;" - } - ] - }, - { - "id": "cm-6.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(c)[3]" - } - ], - "prose": "identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[4]" - } - ], - "prose": "documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(c)[5]" - } - ], - "prose": "approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - } - ] - }, - { - "id": "cm-6.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(d)" - } - ], - "parts": [ - { - "id": "cm-6.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(d)[1]" - } - ], - "prose": "monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and" - }, - { - "id": "cm-6.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(d)[2]" - } - ], - "prose": "controls changes to the configuration settings in accordance with\n organizational policies and procedures." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings" - } - ] - } - ], - "controls": [ - { - "id": "cm-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Central Management / Application / Verification", - "parameters": [ - { - "id": "cm-6.1_prm_1", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-6(1)" - }, - { - "name": "sort-id", - "value": "cm-06.01" - } - ], - "parts": [ - { - "id": "cm-6.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to centrally manage, apply, and\n verify configuration settings for {{ cm-6.1_prm_1 }}." - }, - { - "id": "cm-6.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - } - ] - }, - { - "id": "cm-6.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(1)[1]" - } - ], - "prose": "defines information system components for which automated mechanisms are to be\n employed to:", - "parts": [ - { - "id": "cm-6.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[1][a]" - } - ], - "prose": "centrally manage configuration settings of such components;" - }, - { - "id": "cm-6.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[1][b]" - } - ], - "prose": "apply configuration settings of such components;" - }, - { - "id": "cm-6.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[1][c]" - } - ], - "prose": "verify configuration settings of such components;" - } - ] - }, - { - "id": "cm-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(1)[2]" - } - ], - "prose": "employs automated mechanisms to:", - "parts": [ - { - "id": "cm-6.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[2][a]" - } - ], - "prose": "centrally manage configuration settings for organization-defined information\n system components;" - }, - { - "id": "cm-6.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[2][b]" - } - ], - "prose": "apply configuration settings for organization-defined information system\n components; and" - }, - { - "id": "cm-6.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[2][c]" - } - ], - "prose": "verify configuration settings for organization-defined information system\n components." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\\n\\nautomated mechanisms implemented to centrally manage, apply, and verify\n information system configuration settings" - } - ] - } - ] - }, - { - "id": "cm-6.2", - "class": "SP800-53-enhancement", - "title": "Respond to Unauthorized Changes", - "parameters": [ - { - "id": "cm-6.2_prm_1", - "label": "organization-defined security safeguards" - }, - { - "id": "cm-6.2_prm_2", - "label": "organization-defined configuration settings" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-6(2)" - }, - { - "name": "sort-id", - "value": "cm-06.02" - } - ], - "parts": [ - { - "id": "cm-6.2_smt", - "name": "statement", - "prose": "The organization employs {{ cm-6.2_prm_1 }} to respond to\n unauthorized changes to {{ cm-6.2_prm_2 }}." - }, - { - "id": "cm-6.2_gdn", - "name": "guidance", - "prose": "Responses to unauthorized changes to configuration settings can include, for\n example, alerting designated organizational personnel, restoring established\n configuration settings, or in extreme cases, halting affected information system\n processing.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "cm-6.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(2)[1]" - } - ], - "prose": "defines configuration settings that, if modified by unauthorized changes,\n result in organizational security safeguards being employed to respond to such\n changes;" - }, - { - "id": "cm-6.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(2)[2]" - } - ], - "prose": "defines security safeguards to be employed to respond to unauthorized changes\n to organization-defined configuration settings; and" - }, - { - "id": "cm-6.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(2)[3]" - } - ], - "prose": "employs organization-defined security safeguards to respond to unauthorized\n changes to organization-defined configuration settings." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications of unauthorized changes to information system\n configuration settings\\n\\ndocumented responses to unauthorized changes to information system\n configuration settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for responding to unauthorized changes to information\n system configuration settings\\n\\nautomated mechanisms supporting and/or implementing security safeguards for\n response to unauthorized changes" - } - ] - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "parameters": [ - { - "id": "cm-7_prm_1", - "label": "organization-defined prohibited or restricted functions, ports, protocols, and/or\n services", - "constraints": [ - { - "detail": "United States Government Configuration Baseline (USGCB)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-7" - }, - { - "name": "sort-id", - "value": "cm-07" - } - ], - "links": [ - { - "href": "#e42b2099-3e1c-415b-952c-61c96533c12e", - "rel": "reference", - "text": "DoD Instruction 8551.01" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configures the information system to provide only essential capabilities; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}." - }, - { - "id": "cm-7_fr", - "name": "item", - "title": "CM-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available." - }, - { - "id": "cm-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8)." - } - ] - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(a)" - } - ], - "prose": "configures the information system to provide only essential capabilities;" - }, - { - "id": "cm-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)" - } - ], - "parts": [ - { - "id": "cm-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(b)[1]" - } - ], - "prose": "defines prohibited or restricted:", - "parts": [ - { - "id": "cm-7.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(b)[2]" - } - ], - "prose": "prohibits or restricts the use of organization-defined:", - "parts": [ - { - "id": "cm-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][d]" - } - ], - "prose": "services." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services" - } - ] - } - ], - "controls": [ - { - "id": "cm-7.1", - "class": "SP800-53-enhancement", - "title": "Periodic Review", - "parameters": [ - { - "id": "cm-7.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "cm-7.1_prm_2", - "label": "organization-defined functions, ports, protocols, and services within the\n information system deemed to be unnecessary and/or nonsecure" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-7(1)" - }, - { - "name": "sort-id", - "value": "cm-07.01" - } - ], - "parts": [ - { - "id": "cm-7.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Reviews the information system {{ cm-7.1_prm_1 }} to identify\n unnecessary and/or nonsecure functions, ports, protocols, and services; and" - }, - { - "id": "cm-7.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Disables {{ cm-7.1_prm_2 }}." - } - ] - }, - { - "id": "cm-7.1_gdn", - "name": "guidance", - "prose": "The organization can either make a determination of the relative security of the\n function, port, protocol, and/or service or base the security decision on the\n assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are\n examples of less than secure protocols.", - "links": [ - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - } - ] - }, - { - "id": "cm-7.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)" - } - ], - "parts": [ - { - "id": "cm-7.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(1)(a)[1]" - } - ], - "prose": "defines the frequency to review the information system to identify\n unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.a_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(1)(a)[2]" - } - ], - "prose": "reviews the information system with the organization-defined frequency to\n identify unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.a_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][d]" - } - ], - "prose": "services;" - } - ] - } - ], - "links": [ - { - "href": "#cm-7.1_smt.a", - "rel": "corresp", - "text": "CM-7(1)(a)" - } - ] - }, - { - "id": "cm-7.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)" - } - ], - "parts": [ - { - "id": "cm-7.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(1)(b)[1]" - } - ], - "prose": "defines, within the information system, unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.b_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.b_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(1)(b)[2]" - } - ], - "prose": "disables organization-defined unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.b_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][d]" - } - ], - "prose": "services." - } - ] - } - ], - "links": [ - { - "href": "#cm-7.1_smt.b", - "rel": "corresp", - "text": "CM-7(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\ndocumented reviews of functions, ports, protocols, and/or services\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing functions, ports,\n protocols, and services on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing/disabling nonsecure functions, ports,\n protocols, and/or services\\n\\nautomated mechanisms implementing review and disabling of nonsecure functions,\n ports, protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-7.2", - "class": "SP800-53-enhancement", - "title": "Prevent Program Execution", - "parameters": [ - { - "id": "cm-7.2_prm_1" - }, - { - "id": "cm-7.2_prm_2", - "depends-on": "cm-7.2_prm_1", - "label": "organization-defined policies regarding software program usage and\n restrictions" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-7(2)" - }, - { - "name": "sort-id", - "value": "cm-07.02" - } - ], - "parts": [ - { - "id": "cm-7.2_smt", - "name": "statement", - "prose": "The information system prevents program execution in accordance with {{ cm-7.2_prm_1 }}.", - "parts": [ - { - "id": "cm-7.2_fr", - "name": "item", - "title": "CM-7 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7.2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run." - } - ] - } - ] - }, - { - "id": "cm-7.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - } - ] - }, - { - "id": "cm-7.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cm-7.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(2)[1]" - } - ], - "prose": "the organization defines policies regarding software program usage and\n restrictions;" - }, - { - "id": "cm-7.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(2)[2]" - } - ], - "prose": "the information system prevents program execution in accordance with one or\n more of the following:", - "parts": [ - { - "id": "cm-7.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(2)[2][a]" - } - ], - "prose": "organization-defined policies regarding program usage and restrictions;\n and/or" - }, - { - "id": "cm-7.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(2)[2][b]" - } - ], - "prose": "rules authorizing the terms and conditions of software program usage." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nspecifications for preventing software program execution\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes preventing program execution on the information\n system\\n\\norganizational processes for software program usage and restrictions\\n\\nautomated mechanisms preventing program execution on the information system\\n\\nautomated mechanisms supporting and/or implementing software program usage and\n restrictions" - } - ] - } - ] - }, - { - "id": "cm-7.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software / Whitelisting", - "parameters": [ - { - "id": "cm-7.5_prm_1", - "label": "organization-defined software programs authorized to execute on the\n information system" - }, - { - "id": "cm-7.5_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly or when there is a change" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-7(5)" - }, - { - "name": "sort-id", - "value": "cm-07.05" - } - ], - "parts": [ - { - "id": "cm-7.5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7.5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identifies {{ cm-7.5_prm_1 }};" - }, - { - "id": "cm-7.5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system; and" - }, - { - "id": "cm-7.5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Reviews and updates the list of authorized software programs {{ cm-7.5_prm_2 }}." - } - ] - }, - { - "id": "cm-7.5_gdn", - "name": "guidance", - "prose": "The process used to identify software programs that are authorized to execute on\n organizational information systems is commonly referred to as whitelisting. In\n addition to whitelisting, organizations consider verifying the integrity of\n white-listed software programs using, for example, cryptographic checksums,\n digital signatures, or hash functions. Verification of white-listed software can\n occur either prior to execution or at system startup.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sc-34", - "rel": "related", - "text": "SC-34" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "cm-7.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(5)(a)" - } - ], - "prose": "Identifies/defines software programs authorized to execute on the information\n system;", - "links": [ - { - "href": "#cm-7.5_smt.a", - "rel": "corresp", - "text": "CM-7(5)(a)" - } - ] - }, - { - "id": "cm-7.5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(5)(b)" - } - ], - "prose": "employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system;", - "links": [ - { - "href": "#cm-7.5_smt.b", - "rel": "corresp", - "text": "CM-7(5)(b)" - } - ] - }, - { - "id": "cm-7.5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(5)(c)" - } - ], - "parts": [ - { - "id": "cm-7.5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(5)(c)[1]" - } - ], - "prose": "defines the frequency to review and update the list of authorized software\n programs on the information system; and" - }, - { - "id": "cm-7.5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(5)(c)[2]" - } - ], - "prose": "reviews and updates the list of authorized software programs with the\n organization-defined frequency." - } - ], - "links": [ - { - "href": "#cm-7.5_smt.c", - "rel": "corresp", - "text": "CM-7(5)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of software programs authorized to execute on the information system\\n\\nsecurity configuration checklists\\n\\nreview and update records associated with list of authorized software\n programs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying software\n authorized to execute on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying, reviewing, and updating programs\n authorized to execute on the information system\\n\\norganizational process for implementing whitelisting\\n\\nautomated mechanisms implementing whitelisting" - } - ] - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "Information System Component Inventory", - "parameters": [ - { - "id": "cm-8_prm_1", - "label": "organization-defined information deemed necessary to achieve effective\n information system component accountability" - }, - { - "id": "cm-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-8" - }, - { - "name": "sort-id", - "value": "cm-08" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents an inventory of information system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accurately reflects the current information system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting;\n and" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Includes {{ cm-8_prm_1 }}; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the information system component inventory {{ cm-8_prm_2 }}." - }, - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - } - ] - }, - { - "id": "cm-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)" - } - ], - "parts": [ - { - "id": "cm-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(1)" - } - ], - "prose": "develops and documents an inventory of information system components that\n accurately reflects the current information system;" - }, - { - "id": "cm-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(2)" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(3)" - } - ], - "prose": "develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;" - }, - { - "id": "cm-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(4)" - } - ], - "parts": [ - { - "id": "cm-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(4)[1]" - } - ], - "prose": "defines the information deemed necessary to achieve effective information\n system component accountability;" - }, - { - "id": "cm-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(4)[2]" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;" - } - ] - } - ] - }, - { - "id": "cm-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(b)" - } - ], - "parts": [ - { - "id": "cm-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(b)[1]" - } - ], - "prose": "defines the frequency to review and update the information system component\n inventory; and" - }, - { - "id": "cm-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(b)[2]" - } - ], - "prose": "reviews and updates the information system component inventory with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory" - } - ] - } - ], - "controls": [ - { - "id": "cm-8.1", - "class": "SP800-53-enhancement", - "title": "Updates During Installations / Removals", - "properties": [ - { - "name": "label", - "value": "CM-8(1)" - }, - { - "name": "sort-id", - "value": "cm-08.01" - } - ], - "parts": [ - { - "id": "cm-8.1_smt", - "name": "statement", - "prose": "The organization updates the inventory of information system components as an\n integral part of component installations, removals, and information system\n updates." - }, - { - "id": "cm-8.1_obj", - "name": "objective", - "prose": "Determine if the organization updates the inventory of information system\n components as an integral part of:", - "parts": [ - { - "id": "cm-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(1)[1]" - } - ], - "prose": "component installations;" - }, - { - "id": "cm-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(1)[2]" - } - ], - "prose": "component removals; and" - }, - { - "id": "cm-8.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(1)[3]" - } - ], - "prose": "information system updates." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\ncomponent installation records\\n\\ncomponent removal records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for updating the information\n system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for updating inventory of information system\n components\\n\\nautomated mechanisms implementing updating of the information system component\n inventory" - } - ] - } - ] - }, - { - "id": "cm-8.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance", - "properties": [ - { - "name": "label", - "value": "CM-8(2)" - }, - { - "name": "sort-id", - "value": "cm-08.02" - } - ], - "parts": [ - { - "id": "cm-8.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to help maintain an up-to-date,\n complete, accurate, and readily available inventory of information system\n components." - }, - { - "id": "cm-8.2_gdn", - "name": "guidance", - "prose": "Organizations maintain information system inventories to the extent feasible.\n Virtual machines, for example, can be difficult to monitor because such machines\n are not visible to the network when not in use. In such cases, organizations\n maintain as up-to-date, complete, and accurate an inventory as is deemed\n reasonable. This control enhancement can be satisfied by the implementation of\n CM-2 (2) for organizations that choose to combine information system component\n inventory and baseline configuration activities.", - "links": [ - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "cm-8.2_obj", - "name": "objective", - "prose": "Determine if the organization employs automated mechanisms to maintain an\n inventory of information system components that is:", - "parts": [ - { - "id": "cm-8.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(2)[1]" - } - ], - "prose": "up-to-date;" - }, - { - "id": "cm-8.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(2)[2]" - } - ], - "prose": "complete;" - }, - { - "id": "cm-8.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(2)[3]" - } - ], - "prose": "accurate; and" - }, - { - "id": "cm-8.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(2)[4]" - } - ], - "prose": "readily available." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing information system component inventory\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system inventory records\\n\\nchange control records\\n\\ninformation system maintenance records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing the automated\n mechanisms implementing the information system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory" - } - ] - } - ] - }, - { - "id": "cm-8.3", - "class": "SP800-53-enhancement", - "title": "Automated Unauthorized Component Detection", - "parameters": [ - { - "id": "cm-8.3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "Continuously, using automated mechanisms with a maximum five-minute delay in detection." - } - ] - }, - { - "id": "cm-8.3_prm_2" - }, - { - "id": "cm-8.3_prm_3", - "depends-on": "cm-8.3_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-8(3)" - }, - { - "name": "sort-id", - "value": "cm-08.03" - } - ], - "parts": [ - { - "id": "cm-8.3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-8.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employs automated mechanisms {{ cm-8.3_prm_1 }} to detect the\n presence of unauthorized hardware, software, and firmware components within the\n information system; and" - }, - { - "id": "cm-8.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Takes the following actions when unauthorized components are detected: {{ cm-8.3_prm_2 }}." - } - ] - }, - { - "id": "cm-8.3_gdn", - "name": "guidance", - "prose": "This control enhancement is applied in addition to the monitoring for unauthorized\n remote connections and mobile devices. Monitoring for unauthorized system\n components may be accomplished on an ongoing basis or by the periodic scanning of\n systems for that purpose. Automated mechanisms can be implemented within\n information systems or in other separate devices. Isolation can be achieved, for\n example, by placing unauthorized information system components in separate domains\n or subnets or otherwise quarantining such components. This type of component\n isolation is commonly referred to as sandboxing.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "cm-8.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-8.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)" - } - ], - "parts": [ - { - "id": "cm-8.3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(3)(a)[1]" - } - ], - "prose": "defines the frequency to employ automated mechanisms to detect the presence\n of unauthorized:", - "parts": [ - { - "id": "cm-8.3.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[1][a]" - } - ], - "prose": "hardware components within the information system;" - }, - { - "id": "cm-8.3.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[1][b]" - } - ], - "prose": "software components within the information system;" - }, - { - "id": "cm-8.3.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[1][c]" - } - ], - "prose": "firmware components within the information system;" - } - ] - }, - { - "id": "cm-8.3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(3)(a)[2]" - } - ], - "prose": "employs automated mechanisms with the organization-defined frequency to\n detect the presence of unauthorized:", - "parts": [ - { - "id": "cm-8.3.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[2][a]" - } - ], - "prose": "hardware components within the information system;" - }, - { - "id": "cm-8.3.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[2][b]" - } - ], - "prose": "software components within the information system;" - }, - { - "id": "cm-8.3.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[2][c]" - } - ], - "prose": "firmware components within the information system;" - } - ] - } - ], - "links": [ - { - "href": "#cm-8.3_smt.a", - "rel": "corresp", - "text": "CM-8(3)(a)" - } - ] - }, - { - "id": "cm-8.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)" - } - ], - "parts": [ - { - "id": "cm-8.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(3)(b)[1]" - } - ], - "prose": "defines personnel or roles to be notified when unauthorized components are\n detected;" - }, - { - "id": "cm-8.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(3)(b)[2]" - } - ], - "prose": "takes one or more of the following actions when unauthorized components are\n detected:", - "parts": [ - { - "id": "cm-8.3.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)[2][a]" - } - ], - "prose": "disables network access by such components;" - }, - { - "id": "cm-8.3.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)[2][b]" - } - ], - "prose": "isolates the components; and/or" - }, - { - "id": "cm-8.3.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)[2][c]" - } - ], - "prose": "notifies organization-defined personnel or roles." - } - ] - } - ], - "links": [ - { - "href": "#cm-8.3_smt.b", - "rel": "corresp", - "text": "CM-8(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system inventory records\\n\\nalerts/notifications of unauthorized components within the information\n system\\n\\ninformation system monitoring records\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing the automated\n mechanisms implementing unauthorized information system component detection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for detection of unauthorized information system\n components\\n\\nautomated mechanisms implementing the detection of unauthorized information\n system components" - } - ] - } - ] - }, - { - "id": "cm-8.4", - "class": "SP800-53-enhancement", - "title": "Accountability Information", - "parameters": [ - { - "id": "cm-8.4_prm_1", - "constraints": [ - { - "detail": "position and role" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-8(4)" - }, - { - "name": "sort-id", - "value": "cm-08.04" - } - ], - "parts": [ - { - "id": "cm-8.4_smt", - "name": "statement", - "prose": "The organization includes in the information system component inventory\n information, a means for identifying by {{ cm-8.4_prm_1 }},\n individuals responsible/accountable for administering those components." - }, - { - "id": "cm-8.4_gdn", - "name": "guidance", - "prose": "Identifying individuals who are both responsible and accountable for administering\n information system components helps to ensure that the assigned components are\n properly administered and organizations can contact those individuals if some\n action is required (e.g., component is determined to be the source of a\n breach/compromise, component needs to be recalled/replaced, or component needs to\n be relocated)." - }, - { - "id": "cm-8.4_obj", - "name": "objective", - "prose": "Determine if the organization includes in the information system component\n inventory for information system components, a means for identifying the\n individuals responsible and accountable for administering those components by one\n or more of the following: ", - "parts": [ - { - "id": "cm-8.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(4)[1]" - } - ], - "prose": "name;" - }, - { - "id": "cm-8.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(4)[2]" - } - ], - "prose": "position; and/or" - }, - { - "id": "cm-8.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(4)[3]" - } - ], - "prose": "role." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing the information\n system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory" - } - ] - } - ] - }, - { - "id": "cm-8.5", - "class": "SP800-53-enhancement", - "title": "No Duplicate Accounting of Components", - "properties": [ - { - "name": "label", - "value": "CM-8(5)" - }, - { - "name": "sort-id", - "value": "cm-08.05" - } - ], - "parts": [ - { - "id": "cm-8.5_smt", - "name": "statement", - "prose": "The organization verifies that all components within the authorization boundary of\n the information system are not duplicated in other information system component\n inventories." - }, - { - "id": "cm-8.5_gdn", - "name": "guidance", - "prose": "This control enhancement addresses the potential problem of duplicate accounting\n of information system components in large or complex interconnected systems." - }, - { - "id": "cm-8.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization verifies that all components within the\n authorization boundary of the information system are not duplicated in other\n information system inventories. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system inventory responsibilities\\n\\norganizational personnel with responsibilities for defining information system\n components within the authorization boundary of the system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory" - } - ] - } - ] - } - ] - }, - { - "id": "cm-9", - "class": "SP800-53", - "title": "Configuration Management Plan", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-9" - }, - { - "name": "sort-id", - "value": "cm-09" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-9_smt", - "name": "statement", - "prose": "The organization develops, documents, and implements a configuration management plan\n for the information system that:", - "parts": [ - { - "id": "cm-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Addresses roles, responsibilities, and configuration management processes and\n procedures;" - }, - { - "id": "cm-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes a process for identifying configuration items throughout the system\n development life cycle and for managing the configuration of the configuration\n items;" - }, - { - "id": "cm-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines the configuration items for the information system and places the\n configuration items under configuration management; and" - }, - { - "id": "cm-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects the configuration management plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "id": "cm-9_gdn", - "name": "guidance", - "prose": "Configuration management plans satisfy the requirements in configuration management\n policies while being tailored to individual information systems. Such plans define\n detailed processes and procedures for how configuration management is used to support\n system development life cycle activities at the information system level.\n Configuration management plans are typically developed during the\n development/acquisition phase of the system development life cycle. The plans\n describe how to move changes through change management processes, how to update\n configuration settings and baselines, how to maintain information system component\n inventories, how to control development, test, and operational environments, and how\n to develop, release, and update key documents. Organizations can employ templates to\n help ensure consistent and timely development and implementation of configuration\n management plans. Such templates can represent a master configuration management plan\n for the organization at large with subsets of the plan implemented on a system by\n system basis. Configuration management approval processes include designation of key\n management stakeholders responsible for reviewing and approving proposed changes to\n information systems, and personnel that conduct security impact analyses prior to the\n implementation of changes to the systems. Configuration items are the information\n system items (hardware, software, firmware, and documentation) to be\n configuration-managed. As information systems continue through the system development\n life cycle, new configuration items may be identified and some existing configuration\n items may no longer need to be under configuration control.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - } - ] - }, - { - "id": "cm-9_obj", - "name": "objective", - "prose": "Determine if the organization develops, documents, and implements a configuration\n management plan for the information system that:", - "parts": [ - { - "id": "cm-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(a)" - } - ], - "parts": [ - { - "id": "cm-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(a)[1]" - } - ], - "prose": "addresses roles;" - }, - { - "id": "cm-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(a)[2]" - } - ], - "prose": "addresses responsibilities;" - }, - { - "id": "cm-9.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(a)[3]" - } - ], - "prose": "addresses configuration management processes and procedures;" - } - ] - }, - { - "id": "cm-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(b)" - } - ], - "prose": "establishes a process for:", - "parts": [ - { - "id": "cm-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(b)[1]" - } - ], - "prose": "identifying configuration items throughout the SDLC;" - }, - { - "id": "cm-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(b)[2]" - } - ], - "prose": "managing the configuration of the configuration items;" - } - ] - }, - { - "id": "cm-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(c)" - } - ], - "parts": [ - { - "id": "cm-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(c)[1]" - } - ], - "prose": "defines the configuration items for the information system;" - }, - { - "id": "cm-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(c)[2]" - } - ], - "prose": "places the configuration items under configuration management;" - } - ] - }, - { - "id": "cm-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-9(d)" - } - ], - "prose": "protects the configuration management plan from unauthorized:", - "parts": [ - { - "id": "cm-9.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(d)[1]" - } - ], - "prose": "disclosure; and" - }, - { - "id": "cm-9.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(d)[2]" - } - ], - "prose": "modification." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration management planning\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing the configuration\n management plan\\n\\norganizational personnel with responsibilities for implementing and managing\n processes defined in the configuration management plan\\n\\norganizational personnel with responsibilities for protecting the configuration\n management plan\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting the configuration\n management plan\\n\\norganizational processes for identifying and managing configuration items\\n\\norganizational processes for protecting the configuration management plan\\n\\nautomated mechanisms implementing the configuration management plan\\n\\nautomated mechanisms for managing configuration items\\n\\nautomated mechanisms for protecting the configuration management plan" - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "properties": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "cm-10" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-10_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(a)" - } - ], - "prose": "uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(b)" - } - ], - "prose": "tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(c)" - } - ], - "prose": "controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology" - } - ] - } - ], - "controls": [ - { - "id": "cm-10.1", - "class": "SP800-53-enhancement", - "title": "Open Source Software", - "parameters": [ - { - "id": "cm-10.1_prm_1", - "label": "organization-defined restrictions" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-10(1)" - }, - { - "name": "sort-id", - "value": "cm-10.01" - } - ], - "parts": [ - { - "id": "cm-10.1_smt", - "name": "statement", - "prose": "The organization establishes the following restrictions on the use of open source\n software: {{ cm-10.1_prm_1 }}." - }, - { - "id": "cm-10.1_gdn", - "name": "guidance", - "prose": "Open source software refers to software that is available in source code form.\n Certain software rights normally reserved for copyright holders are routinely\n provided under software license agreements that permit individuals to study,\n change, and improve the software. From a security perspective, the major advantage\n of open source software is that it provides organizations with the ability to\n examine the source code. However, there are also various licensing issues\n associated with open source software including, for example, the constraints on\n derivative use of such software." - }, - { - "id": "cm-10.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-10.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(1)[1]" - } - ], - "prose": "defines restrictions on the use of open source software; and" - }, - { - "id": "cm-10.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(1)[2]" - } - ], - "prose": "establishes organization-defined restrictions on the use of open source\n software." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing restrictions on use of open source software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for establishing and enforcing\n restrictions on use of open source software\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for restricting the use of open source software\\n\\nautomated mechanisms implementing restrictions on the use of open source\n software" - } - ] - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "parameters": [ - { - "id": "cm-11_prm_1", - "label": "organization-defined policies" - }, - { - "id": "cm-11_prm_2", - "label": "organization-defined methods" - }, - { - "id": "cm-11_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "Continuously (via CM-7 (5))" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "cm-11" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforces software installation policies through {{ cm-11_prm_2 }};\n and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitors policy compliance at {{ cm-11_prm_3 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "cm-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(a)" - } - ], - "parts": [ - { - "id": "cm-11.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(a)[1]" - } - ], - "prose": "defines policies to govern the installation of software by users;" - }, - { - "id": "cm-11.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(a)[2]" - } - ], - "prose": "establishes organization-defined policies governing the installation of\n software by users;" - } - ] - }, - { - "id": "cm-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(b)" - } - ], - "parts": [ - { - "id": "cm-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(b)[1]" - } - ], - "prose": "defines methods to enforce software installation policies;" - }, - { - "id": "cm-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(b)[2]" - } - ], - "prose": "enforces software installation policies through organization-defined\n methods;" - } - ] - }, - { - "id": "cm-11.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(c)" - } - ], - "parts": [ - { - "id": "cm-11.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(c)[1]" - } - ], - "prose": "defines frequency to monitor policy compliance; and" - }, - { - "id": "cm-11.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(c)[2]" - } - ], - "prose": "monitors policy compliance at organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance" - } - ] - } - ], - "controls": [ - { - "id": "cm-11.1", - "class": "SP800-53-enhancement", - "title": "Alerts for Unauthorized Installations", - "parameters": [ - { - "id": "cm-11.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-11(1)" - }, - { - "name": "sort-id", - "value": "cm-11.01" - } - ], - "parts": [ - { - "id": "cm-11.1_smt", - "name": "statement", - "prose": "The information system alerts {{ cm-11.1_prm_1 }} when the\n unauthorized installation of software is detected." - }, - { - "id": "cm-11.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "cm-11.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cm-11.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(1)[1]" - } - ], - "prose": "the organization defines personnel or roles to be alerted when the unauthorized\n installation of software is detected; and" - }, - { - "id": "cm-11.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(1)[2]" - } - ], - "prose": "the information system alerts organization-defined personnel or roles when the\n unauthorized installation of software is detected." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms for alerting personnel/roles when unauthorized\n installation of software is detected" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Contingency Planning Policy and Procedures", - "parameters": [ - { - "id": "cp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cp-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-1" - }, - { - "name": "sort-id", - "value": "cp-01" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Contingency planning policy {{ cp-1_prm_2 }}; and" - }, - { - "id": "cp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Contingency planning procedures {{ cp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cp-1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(1)[1]" - } - ], - "prose": "the organization develops and documents a contingency planning policy that\n addresses:", - "parts": [ - { - "id": "cp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(1)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;" - }, - { - "id": "cp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-1(a)(1)[3]" - } - ], - "prose": "the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "cp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)" - } - ], - "parts": [ - { - "id": "cp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(2)[1]" - } - ], - "prose": "the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;" - }, - { - "id": "cp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(2)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-1(a)(2)[3]" - } - ], - "prose": "the organization disseminates the procedures to organization-defined\n personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(1)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(1)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning policy;" - }, - { - "id": "cp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(1)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning with\n the organization-defined frequency;" - } - ] - }, - { - "id": "cp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(2)" - } - ], - "parts": [ - { - "id": "cp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(2)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning procedures; and" - }, - { - "id": "cp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(2)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "parameters": [ - { - "id": "cp-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_2", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - }, - { - "id": "cp-2_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cp-2_prm_4", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-2" - }, - { - "name": "sort-id", - "value": "cp-02" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with\n contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is reviewed and approved by {{ cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the contingency plan to {{ cp-2_prm_2 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the contingency plan for the information system {{ cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicates contingency plan changes to {{ cp-2_prm_4 }}; and" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protects the contingency plan from unauthorized disclosure and modification." - }, - { - "id": "cp-2_fr", - "name": "item", - "title": "CP-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-2 Requirement:" - } - ], - "prose": "For JAB authorizations the contingency lists include designated FedRAMP personnel." - } - ] - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.", - "links": [ - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "cp-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)" - } - ], - "prose": "develops and documents a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(1)" - } - ], - "prose": "identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(2)" - } - ], - "parts": [ - { - "id": "cp-2.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[1]" - } - ], - "prose": "provides recovery objectives;" - }, - { - "id": "cp-2.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[2]" - } - ], - "prose": "provides restoration priorities;" - }, - { - "id": "cp-2.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[3]" - } - ], - "prose": "provides metrics;" - } - ] - }, - { - "id": "cp-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(3)" - } - ], - "parts": [ - { - "id": "cp-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[1]" - } - ], - "prose": "addresses contingency roles;" - }, - { - "id": "cp-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[2]" - } - ], - "prose": "addresses contingency responsibilities;" - }, - { - "id": "cp-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[3]" - } - ], - "prose": "addresses assigned individuals with contact information;" - } - ] - }, - { - "id": "cp-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(4)" - } - ], - "prose": "addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(5)" - } - ], - "prose": "addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;" - }, - { - "id": "cp-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(6)" - } - ], - "parts": [ - { - "id": "cp-2.a.6_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(6)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the contingency plan for\n the information system;" - }, - { - "id": "cp-2.a.6_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(6)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(b)" - } - ], - "parts": [ - { - "id": "cp-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(b)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;" - }, - { - "id": "cp-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(b)[2]" - } - ], - "prose": "distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;" - } - ] - }, - { - "id": "cp-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(c)" - } - ], - "prose": "coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(d)" - } - ], - "parts": [ - { - "id": "cp-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(d)[1]" - } - ], - "prose": "defines a frequency to review the contingency plan for the information\n system;" - }, - { - "id": "cp-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(d)[2]" - } - ], - "prose": "reviews the contingency plan with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(e)" - } - ], - "prose": "updates the contingency plan to address:", - "parts": [ - { - "id": "cp-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(e)[1]" - } - ], - "prose": "changes to the organization, information system, or environment of\n operation;" - }, - { - "id": "cp-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(e)[2]" - } - ], - "prose": "problems encountered during plan implementation, execution, and testing;" - } - ] - }, - { - "id": "cp-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(f)" - } - ], - "parts": [ - { - "id": "cp-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(f)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;" - }, - { - "id": "cp-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(f)[2]" - } - ], - "prose": "communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and" - } - ] - }, - { - "id": "cp-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(g)" - } - ], - "prose": "protects the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan" - } - ] - } - ], - "controls": [ - { - "id": "cp-2.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "properties": [ - { - "name": "label", - "value": "CP-2(1)" - }, - { - "name": "sort-id", - "value": "cp-02.01" - } - ], - "parts": [ - { - "id": "cp-2.1_smt", - "name": "statement", - "prose": "The organization coordinates contingency plan development with organizational\n elements responsible for related plans." - }, - { - "id": "cp-2.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant\n Emergency Plans." - }, - { - "id": "cp-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization coordinates contingency plan development with\n organizational elements responsible for related plans." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness contingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plan\\n\\ninsider threat implementation plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel with responsibility for related plans" - } - ] - } - ] - }, - { - "id": "cp-2.2", - "class": "SP800-53-enhancement", - "title": "Capacity Planning", - "properties": [ - { - "name": "label", - "value": "CP-2(2)" - }, - { - "name": "sort-id", - "value": "cp-02.02" - } - ], - "parts": [ - { - "id": "cp-2.2_smt", - "name": "statement", - "prose": "The organization conducts capacity planning so that necessary capacity for\n information processing, telecommunications, and environmental support exists\n during contingency operations." - }, - { - "id": "cp-2.2_gdn", - "name": "guidance", - "prose": "Capacity planning is needed because different types of threats (e.g., natural\n disasters, targeted cyber attacks) can result in a reduction of the available\n processing, telecommunications, and support services originally intended to\n support the organizational missions/business functions. Organizations may need to\n anticipate degraded operations during contingency operations and factor such\n degradation into capacity planning." - }, - { - "id": "cp-2.2_obj", - "name": "objective", - "prose": "Determine if the organization conducts capacity planning so that necessary\n capacity exists during contingency operations for: ", - "parts": [ - { - "id": "cp-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(2)[1]" - } - ], - "prose": "information processing;" - }, - { - "id": "cp-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(2)[2]" - } - ], - "prose": "telecommunications; and" - }, - { - "id": "cp-2.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(2)[3]" - } - ], - "prose": "environmental support." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\ncapacity planning documents\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2.3", - "class": "SP800-53-enhancement", - "title": "Resume Essential Missions / Business Functions", - "parameters": [ - { - "id": "cp-2.3_prm_1", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-2(3)" - }, - { - "name": "sort-id", - "value": "cp-02.03" - } - ], - "parts": [ - { - "id": "cp-2.3_smt", - "name": "statement", - "prose": "The organization plans for the resumption of essential missions and business\n functions within {{ cp-2.3_prm_1 }} of contingency plan\n activation." - }, - { - "id": "cp-2.3_gdn", - "name": "guidance", - "prose": "Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. The time period for\n resumption of essential missions/business functions may be dependent on the\n severity/extent of disruptions to the information system and its supporting\n infrastructure.", - "links": [ - { - "href": "#pe-12", - "rel": "related", - "text": "PE-12" - } - ] - }, - { - "id": "cp-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(3)[1]" - } - ], - "prose": "defines the time period to plan for the resumption of essential missions and\n business functions as a result of contingency plan activation; and" - }, - { - "id": "cp-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(3)[2]" - } - ], - "prose": "plans for the resumption of essential missions and business functions within\n organization-defined time period of contingency plan activation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nbusiness impact assessment\\n\\nother related plans\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for resumption of missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.4", - "class": "SP800-53-enhancement", - "title": "Resume All Missions / Business Functions", - "parameters": [ - { - "id": "cp-2.4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "time period defined in service provider and organization SLA" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CP-2(4)" - }, - { - "name": "sort-id", - "value": "cp-02.04" - } - ], - "parts": [ - { - "id": "cp-2.4_smt", - "name": "statement", - "prose": "The organization plans for the resumption of all missions and business functions\n within {{ cp-2.4_prm_1 }} of contingency plan activation." - }, - { - "id": "cp-2.4_gdn", - "name": "guidance", - "prose": "Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. The time period for\n resumption of all missions/business functions may be dependent on the\n severity/extent of disruptions to the information system and its supporting\n infrastructure.", - "links": [ - { - "href": "#pe-12", - "rel": "related", - "text": "PE-12" - } - ] - }, - { - "id": "cp-2.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(4)[1]" - } - ], - "prose": "defines the time period to plan for the resumption of all missions and business\n functions as a result of contingency plan activation; and" - }, - { - "id": "cp-2.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(4)[2]" - } - ], - "prose": "plans for the resumption of all missions and business functions within\n organization-defined time period of contingency plan activation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nbusiness impact assessment\\n\\nother related plans\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for resumption of missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.5", - "class": "SP800-53-enhancement", - "title": "Continue Essential Missions / Business Functions", - "properties": [ - { - "name": "label", - "value": "CP-2(5)" - }, - { - "name": "sort-id", - "value": "cp-02.05" - } - ], - "parts": [ - { - "id": "cp-2.5_smt", - "name": "statement", - "prose": "The organization plans for the continuance of essential missions and business\n functions with little or no loss of operational continuity and sustains that\n continuity until full information system restoration at primary processing and/or\n storage sites." - }, - { - "id": "cp-2.5_gdn", - "name": "guidance", - "prose": "Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. Primary processing\n and/or storage sites defined by organizations as part of contingency planning may\n change depending on the circumstances associated with the contingency (e.g.,\n backup sites may become primary sites).", - "links": [ - { - "href": "#pe-12", - "rel": "related", - "text": "PE-12" - } - ] - }, - { - "id": "cp-2.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(5)[1]" - } - ], - "prose": "plans for the continuance of essential missions and business functions with\n little or no loss of operational continuity; and" - }, - { - "id": "cp-2.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(5)[2]" - } - ], - "prose": "sustains that operational continuity until full information system restoration\n at primary processing and/or storage sites." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness impact assessment\\n\\nprimary processing site agreements\\n\\nprimary storage site agreements\\n\\nalternate processing site agreements\\n\\nalternate storage site agreements\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for continuing missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.8", - "class": "SP800-53-enhancement", - "title": "Identify Critical Assets", - "properties": [ - { - "name": "label", - "value": "CP-2(8)" - }, - { - "name": "sort-id", - "value": "cp-02.08" - } - ], - "parts": [ - { - "id": "cp-2.8_smt", - "name": "statement", - "prose": "The organization identifies critical information system assets supporting\n essential missions and business functions." - }, - { - "id": "cp-2.8_gdn", - "name": "guidance", - "prose": "Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. Organizations\n identify critical information system assets so that additional safeguards and\n countermeasures can be employed (above and beyond those safeguards and\n countermeasures routinely implemented) to help ensure that organizational\n missions/business functions can continue to be conducted during contingency\n operations. In addition, the identification of critical information assets\n facilitates the prioritization of organizational resources. Critical information\n system assets include technical and operational aspects. Technical aspects\n include, for example, information technology services, information system\n components, information technology products, and mechanisms. Operational aspects\n include, for example, procedures (manually executed operations) and personnel\n (individuals operating technical safeguards and/or executing manual procedures).\n Organizational program protection plans can provide assistance in identifying\n critical assets.", - "links": [ - { - "href": "#sa-14", - "rel": "related", - "text": "SA-14" - }, - { - "href": "#sa-15", - "rel": "related", - "text": "SA-15" - } - ] - }, - { - "id": "cp-2.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization identifies critical information system assets\n supporting essential missions and business functions." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness impact assessment\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "parameters": [ - { - "id": "cp-3_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "ten (10) days" - } - ] - }, - { - "id": "cp-3_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-3" - }, - { - "name": "sort-id", - "value": "cp-03" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "prose": "The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;" - }, - { - "id": "cp-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "cp-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ cp-3_prm_2 }} thereafter." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - } - ] - }, - { - "id": "cp-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(a)" - } - ], - "parts": [ - { - "id": "cp-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-3(a)[1]" - } - ], - "prose": "defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;" - }, - { - "id": "cp-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(a)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;" - } - ] - }, - { - "id": "cp-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(b)" - } - ], - "prose": "provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;" - }, - { - "id": "cp-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(c)" - } - ], - "parts": [ - { - "id": "cp-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-3(c)[1]" - } - ], - "prose": "defines the frequency for contingency training thereafter; and" - }, - { - "id": "cp-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(c)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training" - } - ] - } - ], - "controls": [ - { - "id": "cp-3.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "properties": [ - { - "name": "label", - "value": "CP-3(1)" - }, - { - "name": "sort-id", - "value": "cp-03.01" - } - ], - "parts": [ - { - "id": "cp-3.1_smt", - "name": "statement", - "prose": "The organization incorporates simulated events into contingency training to\n facilitate effective response by personnel in crisis situations." - }, - { - "id": "cp-3.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization incorporates simulated events into contingency\n training to facilitate effective response by personnel in crisis situations." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training\\n\\nautomated mechanisms for simulating contingency events" - } - ] - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "parameters": [ - { - "id": "cp-4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cp-4_prm_2", - "label": "organization-defined tests", - "constraints": [ - { - "detail": "functional exercises" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-4" - }, - { - "name": "sort-id", - "value": "cp-04" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf", - "rel": "reference", - "text": "NIST Special Publication 800-84" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;" - }, - { - "id": "cp-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiates corrective actions, if needed." - }, - { - "id": "cp-4_fr", - "name": "item", - "title": "CP-4(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-4(a) Requirement:" - } - ], - "prose": "The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing." - } - ] - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - } - ] - }, - { - "id": "cp-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)" - } - ], - "parts": [ - { - "id": "cp-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-4(a)[1]" - } - ], - "prose": "defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;" - }, - { - "id": "cp-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-4(a)[2]" - } - ], - "prose": "defines a frequency to test the contingency plan for the information\n system;" - }, - { - "id": "cp-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(a)[3]" - } - ], - "prose": "tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;" - } - ] - }, - { - "id": "cp-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(b)" - } - ], - "prose": "reviews the contingency plan test results; and" - }, - { - "id": "cp-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(c)" - } - ], - "prose": "initiates corrective actions, if needed." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing" - } - ] - } - ], - "controls": [ - { - "id": "cp-4.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "properties": [ - { - "name": "label", - "value": "CP-4(1)" - }, - { - "name": "sort-id", - "value": "cp-04.01" - } - ], - "parts": [ - { - "id": "cp-4.1_smt", - "name": "statement", - "prose": "The organization coordinates contingency plan testing with organizational elements\n responsible for related plans." - }, - { - "id": "cp-4.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, and Occupant Emergency Plans. This control\n enhancement does not require organizations to create organizational elements to\n handle related plans or to align such elements with specific plans. It does\n require, however, that if such organizational elements are responsible for related\n plans, organizations should coordinate with those elements.", - "links": [ - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - } - ] - }, - { - "id": "cp-4.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization coordinates contingency plan testing with\n organizational elements responsible for related plans. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nincident response policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan testing documentation\\n\\ncontingency plan\\n\\nbusiness continuity plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\\n\\norganizational personnel\\n\\npersonnel with responsibilities for related plans\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-4.2", - "class": "SP800-53-enhancement", - "title": "Alternate Processing Site", - "properties": [ - { - "name": "label", - "value": "CP-4(2)" - }, - { - "name": "sort-id", - "value": "cp-04.02" - } - ], - "parts": [ - { - "id": "cp-4.2_smt", - "name": "statement", - "prose": "The organization tests the contingency plan at the alternate processing site:", - "parts": [ - { - "id": "cp-4.2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "To familiarize contingency personnel with the facility and available resources;\n and" - }, - { - "id": "cp-4.2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "To evaluate the capabilities of the alternate processing site to support\n contingency operations." - } - ] - }, - { - "id": "cp-4.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "cp-4.2_obj", - "name": "objective", - "prose": "Determine if the organization tests the contingency plan at the alternate\n processing site to:", - "parts": [ - { - "id": "cp-4.2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-4(2)(a)" - } - ], - "prose": "familiarize contingency personnel with the facility and available resources;\n and", - "links": [ - { - "href": "#cp-4.2_smt.a", - "rel": "corresp", - "text": "CP-4(2)(a)" - } - ] - }, - { - "id": "cp-4.2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-4(2)(b)" - } - ], - "prose": "evaluate the capabilities of the alternate processing site to support\n contingency operations.", - "links": [ - { - "href": "#cp-4.2_smt.b", - "rel": "corresp", - "text": "CP-4(2)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nalternate processing site agreements\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing" - } - ] - } - ] - } - ] - }, - { - "id": "cp-6", - "class": "SP800-53", - "title": "Alternate Storage Site", - "properties": [ - { - "name": "label", - "value": "CP-6" - }, - { - "name": "sort-id", - "value": "cp-06" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and" - }, - { - "id": "cp-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site." - } - ] - }, - { - "id": "cp-6_gdn", - "name": "guidance", - "prose": "Alternate storage sites are sites that are geographically distinct from primary\n storage sites. An alternate storage site maintains duplicate copies of information\n and data in the event that the primary storage site is not available. Items covered\n by alternate storage site agreements include, for example, environmental conditions\n at alternate sites, access rules, physical and environmental protection requirements,\n and coordination of delivery/retrieval of backup media. Alternate storage sites\n reflect the requirements in contingency plans so that organizations can maintain\n essential missions/business functions despite disruption, compromise, or failure in\n organizational information systems.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - } - ] - }, - { - "id": "cp-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-6_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-6[1]" - } - ], - "prose": "establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and" - }, - { - "id": "cp-6_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-6[2]" - } - ], - "prose": "ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing and retrieving information system backup\n information at the alternate storage site\\n\\nautomated mechanisms supporting and/or implementing storage and retrieval of\n information system backup information at the alternate storage site" - } - ] - } - ], - "controls": [ - { - "id": "cp-6.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "properties": [ - { - "name": "label", - "value": "CP-6(1)" - }, - { - "name": "sort-id", - "value": "cp-06.01" - } - ], - "parts": [ - { - "id": "cp-6.1_smt", - "name": "statement", - "prose": "The organization identifies an alternate storage site that is separated from the\n primary storage site to reduce susceptibility to the same threats." - }, - { - "id": "cp-6.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate storage sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate storage sites based on the types of threats that are\n of concern. For one particular type of threat (i.e., hostile cyber attack), the\n degree of separation between sites is less relevant.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-6.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization identifies an alternate storage site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-6.2", - "class": "SP800-53-enhancement", - "title": "Recovery Time / Point Objectives", - "properties": [ - { - "name": "label", - "value": "CP-6(2)" - }, - { - "name": "sort-id", - "value": "cp-06.02" - } - ], - "parts": [ - { - "id": "cp-6.2_smt", - "name": "statement", - "prose": "The organization configures the alternate storage site to facilitate recovery\n operations in accordance with recovery time and recovery point objectives." - }, - { - "id": "cp-6.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization configures the alternate storage site to facilitate\n recovery operations in accordance with recovery time objectives and recovery point\n objectives (as specified in the information system contingency plan)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nalternate storage site agreements\\n\\nalternate storage site configurations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\\n\\norganizational personnel with responsibilities for testing related plans\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting recovery time/point objectives" - } - ] - } - ] - }, - { - "id": "cp-6.3", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "properties": [ - { - "name": "label", - "value": "CP-6(3)" - }, - { - "name": "sort-id", - "value": "cp-06.03" - } - ], - "parts": [ - { - "id": "cp-6.3_smt", - "name": "statement", - "prose": "The organization identifies potential accessibility problems to the alternate\n storage site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions." - }, - { - "id": "cp-6.3_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk. Explicit\n mitigation actions include, for example: (i) duplicating backup information at\n other alternate storage sites if access problems occur at originally designated\n alternate sites; or (ii) planning for physical access to retrieve backup\n information if electronic accessibility to the alternate site is disrupted.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-6.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-6.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-6(3)[1]" - } - ], - "prose": "identifies potential accessibility problems to the alternate storage site in\n the event of an area-wide disruption or disaster; and" - }, - { - "id": "cp-6.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-6(3)[2]" - } - ], - "prose": "outlines explicit mitigation actions for such potential accessibility problems\n to the alternate storage site in the event of an area-wide disruption or\n disaster." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nlist of potential accessibility problems to alternate storage site\\n\\nmitigation actions for accessibility problems to alternate storage site\\n\\norganizational risk assessments\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-7", - "class": "SP800-53", - "title": "Alternate Processing Site", - "parameters": [ - { - "id": "cp-7_prm_1", - "label": "organization-defined information system operations" - }, - { - "id": "cp-7_prm_2", - "label": "organization-defined time period consistent with recovery time and recovery point\n objectives" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-7" - }, - { - "name": "sort-id", - "value": "cp-07" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes an alternate processing site including necessary agreements to permit\n the transfer and resumption of {{ cp-7_prm_1 }} for essential\n missions/business functions within {{ cp-7_prm_2 }} when the\n primary processing capabilities are unavailable;" - }, - { - "id": "cp-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that equipment and supplies required to transfer and resume operations are\n available at the alternate processing site or contracts are in place to support\n delivery to the site within the organization-defined time period for\n transfer/resumption; and" - }, - { - "id": "cp-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site." - }, - { - "id": "cp-7_fr", - "name": "item", - "title": "CP-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-7_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines a time period consistent with the recovery time objectives and business impact analysis." - } - ] - } - ] - }, - { - "id": "cp-7_gdn", - "name": "guidance", - "prose": "Alternate processing sites are sites that are geographically distinct from primary\n processing sites. An alternate processing site provides processing capability in the\n event that the primary processing site is not available. Items covered by alternate\n processing site agreements include, for example, environmental conditions at\n alternate sites, access rules, physical and environmental protection requirements,\n and coordination for the transfer/assignment of personnel. Requirements are\n specifically allocated to alternate processing sites that reflect the requirements in\n contingency plans to maintain essential missions/business functions despite\n disruption, compromise, or failure in organizational information systems.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#ma-6", - "rel": "related", - "text": "MA-6" - } - ] - }, - { - "id": "cp-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-7(a)" - } - ], - "parts": [ - { - "id": "cp-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-7(a)[1]" - } - ], - "prose": "defines information system operations requiring an alternate processing site to\n be established to permit the transfer and resumption of such operations;" - }, - { - "id": "cp-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-7(a)[2]" - } - ], - "prose": "defines the time period consistent with recovery time objectives and recovery\n point objectives (as specified in the information system contingency plan) for\n transfer/resumption of organization-defined information system operations for\n essential missions/business functions;" - }, - { - "id": "cp-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(a)[3]" - } - ], - "prose": "establishes an alternate processing site including necessary agreements to\n permit the transfer and resumption of organization-defined information system\n operations for essential missions/business functions, within the\n organization-defined time period, when the primary processing capabilities are\n unavailable;" - } - ] - }, - { - "id": "cp-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-7(b)" - } - ], - "parts": [ - { - "id": "cp-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(b)[1]" - } - ], - "prose": "ensures that equipment and supplies required to transfer and resume operations\n are available at the alternate processing site; or" - }, - { - "id": "cp-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(b)[2]" - } - ], - "prose": "ensures that contracts are in place to support delivery to the site within the\n organization-defined time period for transfer/resumption; and" - } - ] - }, - { - "id": "cp-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(c)" - } - ], - "prose": "ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nspare equipment and supplies inventory at alternate processing site\\n\\nequipment and supply contracts\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency planning and/or\n alternate site arrangements\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for recovery at the alternate site\\n\\nautomated mechanisms supporting and/or implementing recovery at the alternate\n processing site" - } - ] - } - ], - "controls": [ - { - "id": "cp-7.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "properties": [ - { - "name": "label", - "value": "CP-7(1)" - }, - { - "name": "sort-id", - "value": "cp-07.01" - } - ], - "parts": [ - { - "id": "cp-7.1_smt", - "name": "statement", - "prose": "The organization identifies an alternate processing site that is separated from\n the primary processing site to reduce susceptibility to the same threats.", - "parts": [ - { - "id": "cp-7.1_fr", - "name": "item", - "title": "CP-7 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-7.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant." - } - ] - } - ] - }, - { - "id": "cp-7.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate processing sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate processing sites based on the types of threats that\n are of concern. For one particular type of threat (i.e., hostile cyber attack),\n the degree of separation between sites is less relevant.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-7.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization identifies an alternate processing site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.2", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "properties": [ - { - "name": "label", - "value": "CP-7(2)" - }, - { - "name": "sort-id", - "value": "cp-07.02" - } - ], - "parts": [ - { - "id": "cp-7.2_smt", - "name": "statement", - "prose": "The organization identifies potential accessibility problems to the alternate\n processing site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions." - }, - { - "id": "cp-7.2_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-7.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-7.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-7(2)[1]" - } - ], - "prose": "identifies potential accessibility problems to the alternate processing site in\n the event of an area-wide disruption or disaster; and" - }, - { - "id": "cp-7.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-7(2)[2]" - } - ], - "prose": "outlines explicit mitigation actions for such potential accessibility problems\n to the alternate processing site in the event of an area-wide disruption or\n disaster." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.3", - "class": "SP800-53-enhancement", - "title": "Priority of Service", - "properties": [ - { - "name": "label", - "value": "CP-7(3)" - }, - { - "name": "sort-id", - "value": "cp-07.03" - } - ], - "parts": [ - { - "id": "cp-7.3_smt", - "name": "statement", - "prose": "The organization develops alternate processing site agreements that contain\n priority-of-service provisions in accordance with organizational availability\n requirements (including recovery time objectives)." - }, - { - "id": "cp-7.3_gdn", - "name": "guidance", - "prose": "Priority-of-service agreements refer to negotiated agreements with service\n providers that ensure that organizations receive priority treatment consistent\n with their availability requirements and the availability of information resources\n at the alternate processing site." - }, - { - "id": "cp-7.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization develops alternate processing site agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in the\n information system contingency plan)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - } - ] - }, - { - "id": "cp-7.4", - "class": "SP800-53-enhancement", - "title": "Preparation for Use", - "properties": [ - { - "name": "label", - "value": "CP-7(4)" - }, - { - "name": "sort-id", - "value": "cp-07.04" - } - ], - "parts": [ - { - "id": "cp-7.4_smt", - "name": "statement", - "prose": "The organization prepares the alternate processing site so that the site is ready\n to be used as the operational site supporting essential missions and business\n functions." - }, - { - "id": "cp-7.4_gdn", - "name": "guidance", - "prose": "Site preparation includes, for example, establishing configuration settings for\n information system components at the alternate processing site consistent with the\n requirements for such settings at the primary site and ensuring that essential\n supplies and other logistical considerations are in place.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "cp-7.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization prepares the alternate processing site so that the\n site is ready to be used as the operational site supporting essential missions and\n business functions." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nalternate processing site configurations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing recovery at the alternate\n processing site" - } - ] - } - ] - } - ] - }, - { - "id": "cp-8", - "class": "SP800-53", - "title": "Telecommunications Services", - "parameters": [ - { - "id": "cp-8_prm_1", - "label": "organization-defined information system operations" - }, - { - "id": "cp-8_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-8" - }, - { - "name": "sort-id", - "value": "cp-08" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#fb5844de-ff96-47c0-b258-4f52bcc2f30d", - "rel": "reference", - "text": "National Communications Systems Directive 3-10" - }, - { - "href": "#3ac12e79-f54f-4a63-9f4b-ee4bcd4df604", - "rel": "reference", - "text": "http://www.dhs.gov/telecommunications-service-priority-tsp" - } - ], - "parts": [ - { - "id": "cp-8_smt", - "name": "statement", - "prose": "The organization establishes alternate telecommunications services including\n necessary agreements to permit the resumption of {{ cp-8_prm_1 }} for\n essential missions and business functions within {{ cp-8_prm_2 }} when\n the primary telecommunications capabilities are unavailable at either the primary or\n alternate processing or storage sites.", - "parts": [ - { - "id": "cp-8_fr", - "name": "item", - "title": "CP-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines a time period consistent with the recovery time objectives and business impact analysis." - } - ] - } - ] - }, - { - "id": "cp-8_gdn", - "name": "guidance", - "prose": "This control applies to telecommunications services (data and voice) for primary and\n alternate processing and storage sites. Alternate telecommunications services reflect\n the continuity requirements in contingency plans to maintain essential\n missions/business functions despite the loss of primary telecommunications services.\n Organizations may specify different time periods for primary/alternate sites.\n Alternate telecommunications services include, for example, additional organizational\n or commercial ground-based circuits/lines or satellites in lieu of ground-based\n communications. Organizations consider factors such as availability, quality of\n service, and access when entering into alternate telecommunications agreements.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "cp-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8[1]" - } - ], - "prose": "defines information system operations requiring alternate telecommunications\n services to be established to permit the resumption of such operations;" - }, - { - "id": "cp-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8[2]" - } - ], - "prose": "defines the time period to permit resumption of organization-defined information\n system operations for essential missions and business functions; and" - }, - { - "id": "cp-8_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8[3]" - } - ], - "prose": "establishes alternate telecommunications services including necessary agreements\n to permit the resumption of organization-defined information system operations for\n essential missions and business functions, within the organization-defined time\n period, when the primary telecommunications capabilities are unavailable at either\n the primary or alternate processing or storage sites." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ], - "controls": [ - { - "id": "cp-8.1", - "class": "SP800-53-enhancement", - "title": "Priority of Service Provisions", - "properties": [ - { - "name": "label", - "value": "CP-8(1)" - }, - { - "name": "sort-id", - "value": "cp-08.01" - } - ], - "parts": [ - { - "id": "cp-8.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-8.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives); and" - }, - { - "id": "cp-8.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier." - } - ] - }, - { - "id": "cp-8.1_gdn", - "name": "guidance", - "prose": "Organizations consider the potential mission/business impact in situations where\n telecommunications service providers are servicing other organizations with\n similar priority-of-service provisions." - }, - { - "id": "cp-8.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-8(1)[1]" - } - ], - "prose": "develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in\n the information system contingency plan); and" - }, - { - "id": "cp-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-8(1)[2]" - } - ], - "prose": "requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nTelecommunications Service Priority documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ] - }, - { - "id": "cp-8.2", - "class": "SP800-53-enhancement", - "title": "Single Points of Failure", - "properties": [ - { - "name": "label", - "value": "CP-8(2)" - }, - { - "name": "sort-id", - "value": "cp-08.02" - } - ], - "parts": [ - { - "id": "cp-8.2_smt", - "name": "statement", - "prose": "The organization obtains alternate telecommunications services to reduce the\n likelihood of sharing a single point of failure with primary telecommunications\n services." - }, - { - "id": "cp-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization obtains alternate telecommunications services to\n reduce the likelihood of sharing a single point of failure with primary\n telecommunications services. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-8.3", - "class": "SP800-53-enhancement", - "title": "Separation of Primary / Alternate Providers", - "properties": [ - { - "name": "label", - "value": "CP-8(3)" - }, - { - "name": "sort-id", - "value": "cp-08.03" - } - ], - "parts": [ - { - "id": "cp-8.3_smt", - "name": "statement", - "prose": "The organization obtains alternate telecommunications services from providers that\n are separated from primary service providers to reduce susceptibility to the same\n threats." - }, - { - "id": "cp-8.3_gdn", - "name": "guidance", - "prose": "Threats that affect telecommunications services are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber/physical attacks, and errors of\n omission/commission. Organizations seek to reduce common susceptibilities by, for\n example, minimizing shared infrastructure among telecommunications service\n providers and achieving sufficient geographic separation between services.\n Organizations may consider using a single service provider in situations where the\n service provider can provide alternate telecommunications services meeting the\n separation needs addressed in the risk assessment." - }, - { - "id": "cp-8.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization obtains alternate telecommunications services from\n providers that are separated from primary service providers to reduce\n susceptibility to the same threats. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nalternate telecommunications service provider site\\n\\nprimary telecommunications service provider site\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-8.4", - "class": "SP800-53-enhancement", - "title": "Provider Contingency Plan", - "parameters": [ - { - "id": "cp-8.4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CP-8(4)" - }, - { - "name": "sort-id", - "value": "cp-08.04" - } - ], - "parts": [ - { - "id": "cp-8.4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-8.4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Requires primary and alternate telecommunications service providers to have\n contingency plans;" - }, - { - "id": "cp-8.4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reviews provider contingency plans to ensure that the plans meet organizational\n contingency requirements; and" - }, - { - "id": "cp-8.4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Obtains evidence of contingency testing/training by providers {{ cp-8.4_prm_1 }}." - } - ] - }, - { - "id": "cp-8.4_gdn", - "name": "guidance", - "prose": "Reviews of provider contingency plans consider the proprietary nature of such\n plans. In some situations, a summary of provider contingency plans may be\n sufficient evidence for organizations to satisfy the review requirement.\n Telecommunications service providers may also participate in ongoing disaster\n recovery exercises in coordination with the Department of Homeland Security,\n state, and local governments. Organizations may use these types of activities to\n satisfy evidentiary requirements related to service provider contingency plan\n reviews, testing, and training." - }, - { - "id": "cp-8.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-8.4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8(4)(a)" - } - ], - "parts": [ - { - "id": "cp-8.4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-8(4)(a)[1]" - } - ], - "prose": "requires primary telecommunications service provider to have contingency\n plans;" - }, - { - "id": "cp-8.4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-8(4)(a)[2]" - } - ], - "prose": "requires alternate telecommunications service provider(s) to have\n contingency plans;" - } - ], - "links": [ - { - "href": "#cp-8.4_smt.a", - "rel": "corresp", - "text": "CP-8(4)(a)" - } - ] - }, - { - "id": "cp-8.4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-8(4)(b)" - } - ], - "prose": "reviews provider contingency plans to ensure that the plans meet organizational\n contingency requirements;", - "links": [ - { - "href": "#cp-8.4_smt.b", - "rel": "corresp", - "text": "CP-8(4)(b)" - } - ] - }, - { - "id": "cp-8.4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8(4)(c)" - } - ], - "parts": [ - { - "id": "cp-8.4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-8(4)(c)[1]" - } - ], - "prose": "defines the frequency to obtain evidence of contingency testing/training by\n providers; and" - }, - { - "id": "cp-8.4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-8(4)(c)[2]" - } - ], - "prose": "obtains evidence of contingency testing/training by providers with the\n organization-defined frequency." - } - ], - "links": [ - { - "href": "#cp-8.4_smt.c", - "rel": "corresp", - "text": "CP-8(4)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprovider contingency plans\\n\\nevidence of contingency testing/training by providers\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and\n testing responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "Information System Backup", - "parameters": [ - { - "id": "cp-9_prm_1", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_2", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_3", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-9" - }, - { - "name": "sort-id", - "value": "cp-09" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects the confidentiality, integrity, and availability of backup information at\n storage locations." - }, - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)." - } - ] - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "cp-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(a)" - } - ], - "parts": [ - { - "id": "cp-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(a)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;" - }, - { - "id": "cp-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(a)[2]" - } - ], - "prose": "conducts backups of user-level information contained in the information system\n with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(b)" - } - ], - "parts": [ - { - "id": "cp-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(b)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;" - }, - { - "id": "cp-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(b)[2]" - } - ], - "prose": "conducts backups of system-level information contained in the information\n system with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(c)" - } - ], - "parts": [ - { - "id": "cp-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(c)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;" - }, - { - "id": "cp-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(c)[2]" - } - ], - "prose": "conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and" - } - ] - }, - { - "id": "cp-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(d)" - } - ], - "prose": "protects the confidentiality, integrity, and availability of backup information at\n storage locations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups" - } - ] - } - ], - "controls": [ - { - "id": "cp-9.1", - "class": "SP800-53-enhancement", - "title": "Testing for Reliability / Integrity", - "parameters": [ - { - "id": "cp-9.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-9(1)" - }, - { - "name": "sort-id", - "value": "cp-09.01" - } - ], - "parts": [ - { - "id": "cp-9.1_smt", - "name": "statement", - "prose": "The organization tests backup information {{ cp-9.1_prm_1 }} to\n verify media reliability and information integrity." - }, - { - "id": "cp-9.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - } - ] - }, - { - "id": "cp-9.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(1)[1]" - } - ], - "prose": "defines the frequency to test backup information to verify media reliability\n and information integrity; and" - }, - { - "id": "cp-9.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(1)[2]" - } - ], - "prose": "tests backup information with the organization-defined frequency to verify\n media reliability and information integrity." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system\n backups" - } - ] - } - ] - }, - { - "id": "cp-9.2", - "class": "SP800-53-enhancement", - "title": "Test Restoration Using Sampling", - "properties": [ - { - "name": "label", - "value": "CP-9(2)" - }, - { - "name": "sort-id", - "value": "cp-09.02" - } - ], - "parts": [ - { - "id": "cp-9.2_smt", - "name": "statement", - "prose": "The organization uses a sample of backup information in the restoration of\n selected information system functions as part of contingency plan testing." - }, - { - "id": "cp-9.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - } - ] - }, - { - "id": "cp-9.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization uses a sample of backup information in the\n restoration of selected information system functions as part of contingency plan\n testing. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with contingency planning/contingency plan testing\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system\n backups" - } - ] - } - ] - }, - { - "id": "cp-9.3", - "class": "SP800-53-enhancement", - "title": "Separate Storage for Critical Information", - "parameters": [ - { - "id": "cp-9.3_prm_1", - "label": "organization-defined critical information system software and other\n security-related information" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-9(3)" - }, - { - "name": "sort-id", - "value": "cp-09.03" - } - ], - "parts": [ - { - "id": "cp-9.3_smt", - "name": "statement", - "prose": "The organization stores backup copies of {{ cp-9.3_prm_1 }} in a\n separate facility or in a fire-rated container that is not collocated with the\n operational system." - }, - { - "id": "cp-9.3_gdn", - "name": "guidance", - "prose": "Critical information system software includes, for example, operating systems,\n cryptographic key management systems, and intrusion detection/prevention systems.\n Security-related information includes, for example, organizational inventories of\n hardware, software, and firmware components. Alternate storage sites typically\n serve as separate storage facilities for organizations.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - } - ] - }, - { - "id": "cp-9.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(3)[1]" - } - ], - "parts": [ - { - "id": "cp-9.3_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(3)[1][a]" - } - ], - "prose": "defines critical information system software and other security-related\n information requiring backup copies to be stored in a separate facility;\n or" - }, - { - "id": "cp-9.3_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(3)[1][b]" - } - ], - "prose": "defines critical information system software and other security-related\n information requiring backup copies to be stored in a fire-rated container\n that is not collocated with the operational system; and" - } - ] - }, - { - "id": "cp-9.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-9(3)[2]" - } - ], - "prose": "stores backup copies of organization-defined critical information system\n software and other security-related information in a separate facility or in a\n fire-rated container that is not collocated with the operational system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup configurations and associated documentation\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-9.5", - "class": "SP800-53-enhancement", - "title": "Transfer to Alternate Storage Site", - "parameters": [ - { - "id": "cp-9.5_prm_1", - "label": "organization-defined time period and transfer rate consistent with the\n recovery time and recovery point objectives", - "constraints": [ - { - "detail": "time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CP-9(5)" - }, - { - "name": "sort-id", - "value": "cp-09.05" - } - ], - "parts": [ - { - "id": "cp-9.5_smt", - "name": "statement", - "prose": "The organization transfers information system backup information to the alternate\n storage site {{ cp-9.5_prm_1 }}." - }, - { - "id": "cp-9.5_gdn", - "name": "guidance", - "prose": "Information system backup information can be transferred to alternate storage\n sites either electronically or by physical shipment of storage media." - }, - { - "id": "cp-9.5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(5)[1]" - } - ], - "prose": "defines a time period, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n transfer information system backup information to the alternate storage\n site;" - }, - { - "id": "cp-9.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(5)[2]" - } - ], - "prose": "defines a transfer rate, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n transfer information system backup information to the alternate storage site;\n and" - }, - { - "id": "cp-9.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(5)[3]" - } - ], - "prose": "transfers information system backup information to the alternate storage site\n with the organization-defined time period and transfer rate." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup logs or records\\n\\nevidence of system backup information transferred to alternate storage site\\n\\nalternate storage site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for transferring information system backups to the\n alternate storage site\\n\\nautomated mechanisms supporting and/or implementing information system\n backups\\n\\nautomated mechanisms supporting and/or implementing information transfer to the\n alternate storage site" - } - ] - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "Information System Recovery and Reconstitution", - "properties": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "cp-10" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "cp-10_obj", - "name": "objective", - "prose": "Determine if the organization provides for: ", - "parts": [ - { - "id": "cp-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10[1]" - } - ], - "prose": "the recovery of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][c]" - } - ], - "prose": "a failure;" - } - ] - }, - { - "id": "cp-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2]" - } - ], - "prose": "the reconstitution of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][c]" - } - ], - "prose": "a failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations" - } - ] - } - ], - "controls": [ - { - "id": "cp-10.2", - "class": "SP800-53-enhancement", - "title": "Transaction Recovery", - "properties": [ - { - "name": "label", - "value": "CP-10(2)" - }, - { - "name": "sort-id", - "value": "cp-10.02" - } - ], - "parts": [ - { - "id": "cp-10.2_smt", - "name": "statement", - "prose": "The information system implements transaction recovery for systems that are\n transaction-based." - }, - { - "id": "cp-10.2_gdn", - "name": "guidance", - "prose": "Transaction-based information systems include, for example, database management\n systems and transaction processing systems. Mechanisms supporting transaction\n recovery include, for example, transaction rollback and transaction\n journaling." - }, - { - "id": "cp-10.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements transaction recovery for systems\n that are transaction-based. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system recovery and reconstitution\\n\\ncontingency plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\ninformation system transaction recovery records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for transaction recovery\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transaction recovery\n capability" - } - ] - } - ] - }, - { - "id": "cp-10.4", - "class": "SP800-53-enhancement", - "title": "Restore Within Time Period", - "parameters": [ - { - "id": "cp-10.4_prm_1", - "label": "organization-defined restoration time-periods", - "constraints": [ - { - "detail": "time period consistent with the restoration time-periods defined in the service provider and organization SLA" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CP-10(4)" - }, - { - "name": "sort-id", - "value": "cp-10.04" - } - ], - "parts": [ - { - "id": "cp-10.4_smt", - "name": "statement", - "prose": "The organization provides the capability to restore information system components\n within {{ cp-10.4_prm_1 }} from configuration-controlled and\n integrity-protected information representing a known, operational state for the\n components." - }, - { - "id": "cp-10.4_gdn", - "name": "guidance", - "prose": "Restoration of information system components includes, for example, reimaging\n which restores components to known, operational states.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - } - ] - }, - { - "id": "cp-10.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-10.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-10(4)[1]" - } - ], - "prose": "defines a time period to restore information system components from\n configuration-controlled and integrity-protected information representing a\n known, operational state for the components; and" - }, - { - "id": "cp-10.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10(4)[2]" - } - ], - "prose": "provides the capability to restore information system components within the\n organization-defined time period from configuration-controlled and\n integrity-protected information representing a known, operational state for the\n components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system recovery and reconstitution\\n\\ncontingency plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nevidence of information system recovery and reconstitution operations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system recovery and reconstitution\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing recovery/reconstitution of\n information system information" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Identification and Authentication Policy and Procedures", - "parameters": [ - { - "id": "ia-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ia-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-1" - }, - { - "name": "sort-id", - "value": "ia-01" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ia-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identification and authentication policy {{ ia-1_prm_2 }};\n and" - }, - { - "id": "ia-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identification and authentication procedures {{ ia-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ia-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ia-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(1)[1]" - } - ], - "prose": "develops and documents an identification and authentication policy that\n addresses:", - "parts": [ - { - "id": "ia-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ia-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ia-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ia-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ia-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ia-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ia-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ia-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and" - }, - { - "id": "ia-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-1(a)(1)[3]" - } - ], - "prose": "disseminates the identification and authentication policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ia-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ia-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;" - }, - { - "id": "ia-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ia-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ia-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication policy;" - }, - { - "id": "ia-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "ia-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ia-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication procedures; and" - }, - { - "id": "ia-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-2" - }, - { - "name": "sort-id", - "value": "ia-02" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "ia-2_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(1)" - }, - { - "name": "sort-id", - "value": "ia-02.01" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for network access to\n privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n network access to privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.2", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(2)" - }, - { - "name": "sort-id", - "value": "ia-02.02" - } - ], - "parts": [ - { - "id": "ia-2.2_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for network access to\n non-privileged accounts." - }, - { - "id": "ia-2.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n network access to non-privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.3", - "class": "SP800-53-enhancement", - "title": "Local Access to Privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(3)" - }, - { - "name": "sort-id", - "value": "ia-02.03" - } - ], - "parts": [ - { - "id": "ia-2.3_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for local access to\n privileged accounts." - }, - { - "id": "ia-2.3_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n local access to privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.4", - "class": "SP800-53-enhancement", - "title": "Local Access to Non-privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(4)" - }, - { - "name": "sort-id", - "value": "ia-02.04" - } - ], - "parts": [ - { - "id": "ia-2.4_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for local access to\n non-privileged accounts." - }, - { - "id": "ia-2.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n local access to non-privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.5", - "class": "SP800-53-enhancement", - "title": "Group Authentication", - "properties": [ - { - "name": "label", - "value": "IA-2(5)" - }, - { - "name": "sort-id", - "value": "ia-02.05" - } - ], - "parts": [ - { - "id": "ia-2.5_smt", - "name": "statement", - "prose": "The organization requires individuals to be authenticated with an individual\n authenticator when a group authenticator is employed." - }, - { - "id": "ia-2.5_gdn", - "name": "guidance", - "prose": "Requiring individuals to use individual authenticators as a second level of\n authentication helps organizations to mitigate the risk of using group\n authenticators." - }, - { - "id": "ia-2.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires individuals to be authenticated with an\n individual authenticator when a group authenticator is employed." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authentication capability\n for group accounts" - } - ] - } - ] - }, - { - "id": "ia-2.8", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Accounts - Replay Resistant", - "properties": [ - { - "name": "label", - "value": "IA-2(8)" - }, - { - "name": "sort-id", - "value": "ia-02.08" - } - ], - "parts": [ - { - "id": "ia-2.8_smt", - "name": "statement", - "prose": "The information system implements replay-resistant authentication mechanisms for\n network access to privileged accounts." - }, - { - "id": "ia-2.8_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve\n successful authentications by replaying previous authentication messages.\n Replay-resistant techniques include, for example, protocols that use nonces or\n challenges such as Transport Layer Security (TLS) and time synchronous or\n challenge-response one-time authenticators." - }, - { - "id": "ia-2.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements replay-resistant authentication\n mechanisms for network access to privileged accounts. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing replay resistant\n authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-2.9", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts - Replay Resistant", - "properties": [ - { - "name": "label", - "value": "IA-2(9)" - }, - { - "name": "sort-id", - "value": "ia-02.09" - } - ], - "parts": [ - { - "id": "ia-2.9_smt", - "name": "statement", - "prose": "The information system implements replay-resistant authentication mechanisms for\n network access to non-privileged accounts." - }, - { - "id": "ia-2.9_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve\n successful authentications by recording/replaying previous authentication\n messages. Replay-resistant techniques include, for example, protocols that use\n nonces or challenges such as Transport Layer Security (TLS) and time synchronous\n or challenge-response one-time authenticators." - }, - { - "id": "ia-2.9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements replay-resistant authentication\n mechanisms for network access to non-privileged accounts. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of non-privileged information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing replay resistant\n authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-2.11", - "class": "SP800-53-enhancement", - "title": "Remote Access - Separate Device", - "parameters": [ - { - "id": "ia-2.11_prm_1", - "label": "organization-defined strength of mechanism requirements", - "constraints": [ - { - "detail": "FIPS 140-2, NIAP Certification, or NSA approval" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IA-2(11)" - }, - { - "name": "sort-id", - "value": "ia-02.11" - } - ], - "parts": [ - { - "id": "ia-2.11_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for remote access to\n privileged and non-privileged accounts such that one of the factors is provided by\n a device separate from the system gaining access and the device meets {{ ia-2.11_prm_1 }}.", - "parts": [ - { - "id": "ia-2.11_fr", - "name": "item", - "title": "IA-2 (11) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.11_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials." - } - ] - } - ] - }, - { - "id": "ia-2.11_gdn", - "name": "guidance", - "prose": "For remote access to privileged/non-privileged accounts, the purpose of requiring\n a device that is separate from the information system gaining access for one of\n the factors during multifactor authentication is to reduce the likelihood of\n compromising authentication credentials stored on the system. For example,\n adversaries deploying malicious code on organizational information systems can\n potentially compromise such credentials resident on the system and subsequently\n impersonate authorized users.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.11_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ia-2.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[1]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;" - }, - { - "id": "ia-2.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[2]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to non-privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;" - }, - { - "id": "ia-2.11_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-2(11)[3]" - } - ], - "prose": "the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to privileged\n accounts;" - }, - { - "id": "ia-2.11_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-2(11)[4]" - } - ], - "prose": "the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to non-privileged\n accounts;" - }, - { - "id": "ia-2.11_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[5]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements; and" - }, - { - "id": "ia-2.11_obj.6", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[6]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to non-privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged and non-privileged information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "properties": [ - { - "name": "label", - "value": "IA-2(12)" - }, - { - "name": "sort-id", - "value": "ia-02.12" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials.", - "parts": [ - { - "id": "ia-2.12_fr", - "name": "item", - "title": "IA-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12." - } - ] - } - ] - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-2.12_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-2.12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(12)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials; and" - }, - { - "id": "ia-2.12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(12)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials" - } - ] - } - ] - } - ] - }, - { - "id": "ia-3", - "class": "SP800-53", - "title": "Device Identification and Authentication", - "parameters": [ - { - "id": "ia-3_prm_1", - "label": "organization-defined specific and/or types of devices" - }, - { - "id": "ia-3_prm_2" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-3" - }, - { - "name": "sort-id", - "value": "ia-03" - } - ], - "parts": [ - { - "id": "ia-3_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates {{ ia-3_prm_1 }} before establishing a {{ ia-3_prm_2 }}\n connection." - }, - { - "id": "ia-3_gdn", - "name": "guidance", - "prose": "Organizational devices requiring unique device-to-device identification and\n authentication may be defined by type, by device, or by a combination of type/device.\n Information systems typically use either shared known information (e.g., Media Access\n Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses)\n for device identification or organizational authentication solutions (e.g., IEEE\n 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport\n Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on\n local and/or wide area networks. Organizations determine the required strength of\n authentication mechanisms by the security categories of information systems. Because\n of the challenges of applying this control on large scale, organizations are\n encouraged to only apply the control to those limited number (and type) of devices\n that truly need to support this capability.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - } - ] - }, - { - "id": "ia-3_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ia-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1]" - } - ], - "prose": "the organization defines specific and/or types of devices that the information\n system uniquely identifies and authenticates before establishing one or more of\n the following:", - "parts": [ - { - "id": "ia-3_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1][a]" - } - ], - "prose": "a local connection;" - }, - { - "id": "ia-3_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1][b]" - } - ], - "prose": "a remote connection; and/or" - }, - { - "id": "ia-3_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1][c]" - } - ], - "prose": "a network connection; and" - } - ] - }, - { - "id": "ia-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-3[2]" - } - ], - "prose": "the information system uniquely identifies and authenticates organization-defined\n devices before establishing one or more of the following:", - "parts": [ - { - "id": "ia-3_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[2][a]" - } - ], - "prose": "a local connection;" - }, - { - "id": "ia-3_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[2][b]" - } - ], - "prose": "a remote connection; and/or" - }, - { - "id": "ia-3_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[2][c]" - } - ], - "prose": "a network connection." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing device identification and authentication\\n\\ninformation system design documentation\\n\\nlist of devices requiring unique identification and authentication\\n\\ndevice connection reports\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device\n identification and authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "parameters": [ - { - "id": "ia-4_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "at a minimum, the ISSO (or similar role within the organization)" - } - ] - }, - { - "id": "ia-4_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "at least two (2) years" - } - ] - }, - { - "id": "ia-4_prm_3", - "label": "organization-defined time period of inactivity", - "constraints": [ - { - "detail": "thirty-five (35) days (See additional requirements and guidance.)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-4" - }, - { - "name": "sort-id", - "value": "ia-04" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "The organization manages information system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, or device;" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and" - }, - { - "id": "ia-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disabling the identifier after {{ ia-4_prm_3 }}." - }, - { - "id": "ia-4_fr", - "name": "item", - "title": "IA-4(e) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-4_fr_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines the time period of inactivity for device identifiers." - }, - { - "id": "ia-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx)." - } - ] - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#sc-37", - "rel": "related", - "text": "SC-37" - } - ] - }, - { - "id": "ia-4_obj", - "name": "objective", - "prose": "Determine if the organization manages information system identifiers by: ", - "parts": [ - { - "id": "ia-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)" - } - ], - "parts": [ - { - "id": "ia-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(a)[1]" - } - ], - "prose": "defining personnel or roles from whom authorization must be received to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][d]" - } - ], - "prose": "a device identifier;" - } - ] - }, - { - "id": "ia-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(a)[2]" - } - ], - "prose": "receiving authorization from organization-defined personnel or roles to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][d]" - } - ], - "prose": "a device identifier;" - } - ] - } - ] - }, - { - "id": "ia-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(b)" - } - ], - "prose": "selecting an identifier that identifies:", - "parts": [ - { - "id": "ia-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[1]" - } - ], - "prose": "an individual;" - }, - { - "id": "ia-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[2]" - } - ], - "prose": "a group;" - }, - { - "id": "ia-4.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[3]" - } - ], - "prose": "a role; and/or" - }, - { - "id": "ia-4.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[4]" - } - ], - "prose": "a device;" - } - ] - }, - { - "id": "ia-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(c)" - } - ], - "prose": "assigning the identifier to the intended:", - "parts": [ - { - "id": "ia-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[1]" - } - ], - "prose": "individual;" - }, - { - "id": "ia-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[2]" - } - ], - "prose": "group;" - }, - { - "id": "ia-4.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[3]" - } - ], - "prose": "role; and/or" - }, - { - "id": "ia-4.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[4]" - } - ], - "prose": "device;" - } - ] - }, - { - "id": "ia-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(d)" - } - ], - "parts": [ - { - "id": "ia-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(d)[1]" - } - ], - "prose": "defining a time period for preventing reuse of identifiers;" - }, - { - "id": "ia-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(d)[2]" - } - ], - "prose": "preventing reuse of identifiers for the organization-defined time period;" - } - ] - }, - { - "id": "ia-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(e)" - } - ], - "parts": [ - { - "id": "ia-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(e)[1]" - } - ], - "prose": "defining a time period of inactivity to disable the identifier; and" - }, - { - "id": "ia-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(e)[2]" - } - ], - "prose": "disabling the identifier after the organization-defined time period of\n inactivity." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ], - "controls": [ - { - "id": "ia-4.4", - "class": "SP800-53-enhancement", - "title": "Identify User Status", - "parameters": [ - { - "id": "ia-4.4_prm_1", - "label": "organization-defined characteristic identifying individual status", - "constraints": [ - { - "detail": "contractors; foreign nationals]" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IA-4(4)" - }, - { - "name": "sort-id", - "value": "ia-04.04" - } - ], - "parts": [ - { - "id": "ia-4.4_smt", - "name": "statement", - "prose": "The organization manages individual identifiers by uniquely identifying each\n individual as {{ ia-4.4_prm_1 }}." - }, - { - "id": "ia-4.4_gdn", - "name": "guidance", - "prose": "Characteristics identifying the status of individuals include, for example,\n contractors and foreign nationals. Identifying the status of individuals by\n specific characteristics provides additional information about the people with\n whom organizational personnel are communicating. For example, it might be useful\n for a government employee to know that one of the individuals on an email message\n is a contractor.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - } - ] - }, - { - "id": "ia-4.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-4.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(4)[1]" - } - ], - "prose": "defines a characteristic to be used to identify individual status; and" - }, - { - "id": "ia-4.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(4)[2]" - } - ], - "prose": "manages individual identifiers by uniquely identifying each individual as the\n organization-defined characteristic identifying individual status." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nlist of characteristics identifying individual status\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "parameters": [ - { - "id": "ia-5_prm_1", - "label": "organization-defined time period by authenticator type" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-5" - }, - { - "name": "sort-id", - "value": "ia-05" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "The organization manages information system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changing/refreshing authenticators {{ ia-5_prm_1 }};" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and\n modification;" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and" - }, - { - "id": "ia-5_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Changing authenticators for group/role accounts when membership to those accounts\n changes." - }, - { - "id": "ia-5_fr", - "name": "item", - "title": "IA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3)." - } - ] - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "ia-5_obj", - "name": "objective", - "prose": "Determine if the organization manages information system authenticators by: ", - "parts": [ - { - "id": "ia-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(a)" - } - ], - "prose": "verifying, as part of the initial authenticator distribution, the identity of:", - "parts": [ - { - "id": "ia-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[1]" - } - ], - "prose": "the individual receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[2]" - } - ], - "prose": "the group receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[3]" - } - ], - "prose": "the role receiving the authenticator; and/or" - }, - { - "id": "ia-5.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[4]" - } - ], - "prose": "the device receiving the authenticator;" - } - ] - }, - { - "id": "ia-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(b)" - } - ], - "prose": "establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(c)" - } - ], - "prose": "ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)" - } - ], - "parts": [ - { - "id": "ia-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[1]" - } - ], - "prose": "establishing and implementing administrative procedures for initial\n authenticator distribution;" - }, - { - "id": "ia-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[2]" - } - ], - "prose": "establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;" - }, - { - "id": "ia-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[3]" - } - ], - "prose": "establishing and implementing administrative procedures for revoking\n authenticators;" - } - ] - }, - { - "id": "ia-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(e)" - } - ], - "prose": "changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)" - } - ], - "parts": [ - { - "id": "ia-5.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[1]" - } - ], - "prose": "establishing minimum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[2]" - } - ], - "prose": "establishing maximum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[3]" - } - ], - "prose": "establishing reuse conditions for authenticators;" - } - ] - }, - { - "id": "ia-5.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(g)" - } - ], - "parts": [ - { - "id": "ia-5.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(g)[1]" - } - ], - "prose": "defining a time period (by authenticator type) for changing/refreshing\n authenticators;" - }, - { - "id": "ia-5.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(g)[2]" - } - ], - "prose": "changing/refreshing authenticators with the organization-defined time period by\n authenticator type;" - } - ] - }, - { - "id": "ia-5.h_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(h)" - } - ], - "prose": "protecting authenticator content from unauthorized:", - "parts": [ - { - "id": "ia-5.h_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[1]" - } - ], - "prose": "disclosure;" - }, - { - "id": "ia-5.h_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[2]" - } - ], - "prose": "modification;" - } - ] - }, - { - "id": "ia-5.i_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(i)" - } - ], - "parts": [ - { - "id": "ia-5.i_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-5(i)[1]" - } - ], - "prose": "requiring individuals to take specific security safeguards to protect\n authenticators;" - }, - { - "id": "ia-5.i_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(i)[2]" - } - ], - "prose": "having devices implement specific security safeguards to protect\n authenticators; and" - } - ] - }, - { - "id": "ia-5.j_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(j)" - } - ], - "prose": "changing authenticators for group/role accounts when membership to those accounts\n changes." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "parameters": [ - { - "id": "ia-5.1_prm_1", - "label": "organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type" - }, - { - "id": "ia-5.1_prm_2", - "label": "organization-defined number", - "constraints": [ - { - "detail": "at least fifty percent (50%)" - } - ] - }, - { - "id": "ia-5.1_prm_3", - "label": "organization-defined numbers for lifetime minimum, lifetime maximum" - }, - { - "id": "ia-5.1_prm_4", - "label": "organization-defined number", - "constraints": [ - { - "detail": "twenty four (24)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-5(1)" - }, - { - "name": "sort-id", - "value": "ia-05.01" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "The information system, for password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforces minimum password complexity of {{ ia-5.1_prm_1 }};" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Stores and transmits only cryptographically-protected passwords;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allows the use of a temporary password for system logons with an immediate\n change to a permanent password." - }, - { - "id": "ia-5.1_fr", - "name": "item", - "title": "IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) (d) Guidance:" - } - ], - "prose": "If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant." - } - ] - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.", - "links": [ - { - "href": "#ia-6", - "rel": "related", - "text": "IA-6" - } - ] - }, - { - "id": "ia-5.1_obj", - "name": "objective", - "prose": "Determine if, for password-based authentication: ", - "parts": [ - { - "id": "ia-5.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)" - } - ], - "parts": [ - { - "id": "ia-5.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[1]" - } - ], - "prose": "the organization defines requirements for case sensitivity;" - }, - { - "id": "ia-5.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[2]" - } - ], - "prose": "the organization defines requirements for number of characters;" - }, - { - "id": "ia-5.1.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[3]" - } - ], - "prose": "the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;" - }, - { - "id": "ia-5.1.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[4]" - } - ], - "prose": "the organization defines minimum requirements for each type of\n character;" - }, - { - "id": "ia-5.1.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(a)[5]" - } - ], - "prose": "the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.a", - "rel": "corresp", - "text": "IA-5(1)(a)" - } - ] - }, - { - "id": "ia-5.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(b)" - } - ], - "parts": [ - { - "id": "ia-5.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(b)[1]" - } - ], - "prose": "the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;" - }, - { - "id": "ia-5.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(b)[2]" - } - ], - "prose": "the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.b", - "rel": "corresp", - "text": "IA-5(1)(b)" - } - ] - }, - { - "id": "ia-5.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(c)" - } - ], - "prose": "the information system stores and transmits only encrypted representations of\n passwords;", - "links": [ - { - "href": "#ia-5.1_smt.c", - "rel": "corresp", - "text": "IA-5(1)(c)" - } - ] - }, - { - "id": "ia-5.1.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)" - } - ], - "parts": [ - { - "id": "ia-5.1.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(d)[1]" - } - ], - "prose": "the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(d)[2]" - } - ], - "prose": "the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(d)[3]" - } - ], - "prose": "the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;" - }, - { - "id": "ia-5.1.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(d)[4]" - } - ], - "prose": "the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.d", - "rel": "corresp", - "text": "IA-5(1)(d)" - } - ] - }, - { - "id": "ia-5.1.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(e)" - } - ], - "parts": [ - { - "id": "ia-5.1.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(e)[1]" - } - ], - "prose": "the organization defines the number of password generations to be prohibited\n from password reuse;" - }, - { - "id": "ia-5.1.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(e)[2]" - } - ], - "prose": "the information system prohibits password reuse for the organization-defined\n number of generations; and" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.e", - "rel": "corresp", - "text": "IA-5(1)(e)" - } - ] - }, - { - "id": "ia-5.1.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(f)" - } - ], - "prose": "the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.", - "links": [ - { - "href": "#ia-5.1_smt.f", - "rel": "corresp", - "text": "IA-5(1)(f)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based\n authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.2", - "class": "SP800-53-enhancement", - "title": "Pki-based Authentication", - "properties": [ - { - "name": "label", - "value": "IA-5(2)" - }, - { - "name": "sort-id", - "value": "ia-05.02" - } - ], - "parts": [ - { - "id": "ia-5.2_smt", - "name": "statement", - "prose": "The information system, for PKI-based authentication:", - "parts": [ - { - "id": "ia-5.2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validates certifications by constructing and verifying a certification path to\n an accepted trust anchor including checking certificate status information;" - }, - { - "id": "ia-5.2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforces authorized access to the corresponding private key;" - }, - { - "id": "ia-5.2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Maps the authenticated identity to the account of the individual or group;\n and" - }, - { - "id": "ia-5.2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network." - } - ] - }, - { - "id": "ia-5.2_gdn", - "name": "guidance", - "prose": "Status information for certification paths includes, for example, certificate\n revocation lists or certificate status protocol responses. For PIV cards,\n validation of certifications involves the construction and verification of a\n certification path to the Common Policy Root trust anchor including certificate\n policy processing.", - "links": [ - { - "href": "#ia-6", - "rel": "related", - "text": "IA-6" - } - ] - }, - { - "id": "ia-5.2_obj", - "name": "objective", - "prose": "Determine if the information system, for PKI-based authentication: ", - "parts": [ - { - "id": "ia-5.2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(2)(a)" - } - ], - "parts": [ - { - "id": "ia-5.2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(a)[1]" - } - ], - "prose": "validates certifications by constructing a certification path to an accepted\n trust anchor;" - }, - { - "id": "ia-5.2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(a)[2]" - } - ], - "prose": "validates certifications by verifying a certification path to an accepted\n trust anchor;" - }, - { - "id": "ia-5.2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(a)[3]" - } - ], - "prose": "includes checking certificate status information when constructing and\n verifying the certification path;" - } - ], - "links": [ - { - "href": "#ia-5.2_smt.a", - "rel": "corresp", - "text": "IA-5(2)(a)" - } - ] - }, - { - "id": "ia-5.2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(b)" - } - ], - "prose": "enforces authorized access to the corresponding private key;", - "links": [ - { - "href": "#ia-5.2_smt.b", - "rel": "corresp", - "text": "IA-5(2)(b)" - } - ] - }, - { - "id": "ia-5.2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(c)" - } - ], - "prose": "maps the authenticated identity to the account of the individual or group;\n and", - "links": [ - { - "href": "#ia-5.2_smt.c", - "rel": "corresp", - "text": "IA-5(2)(c)" - } - ] - }, - { - "id": "ia-5.2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(d)" - } - ], - "prose": "implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network.", - "links": [ - { - "href": "#ia-5.2_smt.d", - "rel": "corresp", - "text": "IA-5(2)(d)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nPKI certification validation records\\n\\nPKI certification revocation lists\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with PKI-based, authenticator management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing PKI-based, authenticator\n management capability" - } - ] - } - ] - }, - { - "id": "ia-5.3", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted Third-party Registration", - "parameters": [ - { - "id": "ia-5.3_prm_1", - "label": "organization-defined types of and/or specific authenticators", - "constraints": [ - { - "detail": "All hardware/biometric (multifactor authenticators)" - } - ] - }, - { - "id": "ia-5.3_prm_2", - "constraints": [ - { - "detail": "in person" - } - ] - }, - { - "id": "ia-5.3_prm_3", - "label": "organization-defined registration authority" - }, - { - "id": "ia-5.3_prm_4", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(3)" - }, - { - "name": "sort-id", - "value": "ia-05.03" - } - ], - "parts": [ - { - "id": "ia-5.3_smt", - "name": "statement", - "prose": "The organization requires that the registration process to receive {{ ia-5.3_prm_1 }} be conducted {{ ia-5.3_prm_2 }} before\n {{ ia-5.3_prm_3 }} with authorization by {{ ia-5.3_prm_4 }}." - }, - { - "id": "ia-5.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-5.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[1]" - } - ], - "prose": "defines types of and/or specific authenticators to be received in person or by\n a trusted third party;" - }, - { - "id": "ia-5.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[2]" - } - ], - "prose": "defines the registration authority with oversight of the registration process\n for receipt of organization-defined types of and/or specific\n authenticators;" - }, - { - "id": "ia-5.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[3]" - } - ], - "prose": "defines personnel or roles responsible for authorizing organization-defined\n registration authority;" - }, - { - "id": "ia-5.3_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[4]" - } - ], - "prose": "defines if the registration process is to be conducted:", - "parts": [ - { - "id": "ia-5.3_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(3)[4][a]" - } - ], - "prose": "in person; or" - }, - { - "id": "ia-5.3_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(3)[4][b]" - } - ], - "prose": "by a trusted third party; and" - } - ] - }, - { - "id": "ia-5.3_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-5(3)[5]" - } - ], - "prose": "requires that the registration process to receive organization-defined types of\n and/or specific authenticators be conducted in person or by a trusted third\n party before organization-defined registration authority with authorization by\n organization-defined personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nregistration process for receiving information system authenticators\\n\\nlist of authenticators requiring in-person registration\\n\\nlist of authenticators requiring trusted third party registration\\n\\nauthenticator registration documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\nregistration authority\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ia-5.4", - "class": "SP800-53-enhancement", - "title": "Automated Support for Password Strength Determination", - "parameters": [ - { - "id": "ia-5.4_prm_1", - "label": "organization-defined requirements", - "constraints": [ - { - "detail": "complexity as identified in IA-5 (1) Control Enhancement Part (a)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(4)" - }, - { - "name": "sort-id", - "value": "ia-05.04" - } - ], - "parts": [ - { - "id": "ia-5.4_smt", - "name": "statement", - "prose": "The organization employs automated tools to determine if password authenticators\n are sufficiently strong to satisfy {{ ia-5.4_prm_1 }}.", - "parts": [ - { - "id": "ia-5.4_fr", - "name": "item", - "title": "IA-5 (4) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5.4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators." - } - ] - } - ] - }, - { - "id": "ia-5.4_gdn", - "name": "guidance", - "prose": "This control enhancement focuses on the creation of strong passwords and the\n characteristics of such passwords (e.g., complexity) prior to use, the enforcement\n of which is carried out by organizational information systems in IA-5 (1).", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "ia-5.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-5.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(4)[1]" - } - ], - "prose": "defines requirements to be satisfied by password authenticators; and" - }, - { - "id": "ia-5.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(4)[2]" - } - ], - "prose": "employs automated tools to determine if password authenticators are\n sufficiently strong to satisfy organization-defined requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nautomated tools for evaluating password authenticators\\n\\npassword strength assessment results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based\n authenticator management capability\\n\\nautomated tools for determining password strength" - } - ] - } - ] - }, - { - "id": "ia-5.6", - "class": "SP800-53-enhancement", - "title": "Protection of Authenticators", - "properties": [ - { - "name": "label", - "value": "IA-5(6)" - }, - { - "name": "sort-id", - "value": "ia-05.06" - } - ], - "parts": [ - { - "id": "ia-5.6_smt", - "name": "statement", - "prose": "The organization protects authenticators commensurate with the security category\n of the information to which use of the authenticator permits access." - }, - { - "id": "ia-5.6_gdn", - "name": "guidance", - "prose": "For information systems containing multiple security categories of information\n without reliable physical or logical separation between categories, authenticators\n used to grant access to the systems are protected commensurate with the highest\n security category of information on the systems." - }, - { - "id": "ia-5.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects authenticators commensurate with the\n security category of the information to which use of the authenticator permits\n access." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity categorization documentation for the information system\\n\\nsecurity assessments of authenticator protections\\n\\nrisk assessment results\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel implementing and/or maintaining authenticator\n protections\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms protecting authenticators" - } - ] - } - ] - }, - { - "id": "ia-5.7", - "class": "SP800-53-enhancement", - "title": "No Embedded Unencrypted Static Authenticators", - "properties": [ - { - "name": "label", - "value": "IA-5(7)" - }, - { - "name": "sort-id", - "value": "ia-05.07" - } - ], - "parts": [ - { - "id": "ia-5.7_smt", - "name": "statement", - "prose": "The organization ensures that unencrypted static authenticators are not embedded\n in applications or access scripts or stored on function keys." - }, - { - "id": "ia-5.7_gdn", - "name": "guidance", - "prose": "Organizations exercise caution in determining whether embedded or stored\n authenticators are in encrypted or unencrypted form. If authenticators are used in\n the manner stored, then those representations are considered unencrypted\n authenticators. This is irrespective of whether that representation is perhaps an\n encrypted version of something else (e.g., a password)." - }, - { - "id": "ia-5.7_obj", - "name": "objective", - "prose": "Determine if the organization ensures that unencrypted static authenticators are\n not: ", - "parts": [ - { - "id": "ia-5.7_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(7)[1]" - } - ], - "prose": "embedded in applications;" - }, - { - "id": "ia-5.7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(7)[2]" - } - ], - "prose": "embedded in access scripts; or" - }, - { - "id": "ia-5.7_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(7)[3]" - } - ], - "prose": "stored on function keys." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access scripts\\n\\napplication code reviews for detecting unencrypted static authenticators\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms implementing authentication in applications" - } - ] - } - ] - }, - { - "id": "ia-5.8", - "class": "SP800-53-enhancement", - "title": "Multiple Information System Accounts", - "parameters": [ - { - "id": "ia-5.8_prm_1", - "label": "organization-defined security safeguards", - "constraints": [ - { - "detail": "different authenticators on different systems" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(8)" - }, - { - "name": "sort-id", - "value": "ia-05.08" - } - ], - "parts": [ - { - "id": "ia-5.8_smt", - "name": "statement", - "prose": "The organization implements {{ ia-5.8_prm_1 }} to manage the risk\n of compromise due to individuals having accounts on multiple information\n systems." - }, - { - "id": "ia-5.8_gdn", - "name": "guidance", - "prose": "When individuals have accounts on multiple information systems, there is the risk\n that the compromise of one account may lead to the compromise of other accounts if\n individuals use the same authenticators. Possible alternatives include, for\n example: (i) having different authenticators on all systems; (ii) employing some\n form of single sign-on mechanism; or (iii) including some form of one-time\n passwords on all systems." - }, - { - "id": "ia-5.8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-5.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(8)[1]" - } - ], - "prose": "defines security safeguards to manage the risk of compromise due to individuals\n having accounts on multiple information systems; and" - }, - { - "id": "ia-5.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(8)[2]" - } - ], - "prose": "implements organization-defined security safeguards to manage the risk of\n compromise due to individuals having accounts on multiple information\n systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\nlist of individuals having accounts on multiple information systems\\n\\nlist of security safeguards intended to manage risk of compromise due to\n individuals having accounts on multiple information systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards for\n authenticator management" - } - ] - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "parameters": [ - { - "id": "ia-5.11_prm_1", - "label": "organization-defined token quality requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(11)" - }, - { - "name": "sort-id", - "value": "ia-05.11" - } - ], - "parts": [ - { - "id": "ia-5.11_smt", - "name": "statement", - "prose": "The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}." - }, - { - "id": "ia-5.11_gdn", - "name": "guidance", - "prose": "Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI." - }, - { - "id": "ia-5.11_obj", - "name": "objective", - "prose": "Determine if, for hardware token-based authentication: ", - "parts": [ - { - "id": "ia-5.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(11)[1]" - } - ], - "prose": "the organization defines token quality requirements to be satisfied; and" - }, - { - "id": "ia-5.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(11)[2]" - } - ], - "prose": "the information system employs mechanisms that satisfy organization-defined\n token quality requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.13", - "class": "SP800-53-enhancement", - "title": "Expiration of Cached Authenticators", - "parameters": [ - { - "id": "ia-5.13_prm_1", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(13)" - }, - { - "name": "sort-id", - "value": "ia-05.13" - } - ], - "parts": [ - { - "id": "ia-5.13_smt", - "name": "statement", - "prose": "The information system prohibits the use of cached authenticators after {{ ia-5.13_prm_1 }}." - }, - { - "id": "ia-5.13_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ia-5.13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(13)[1]" - } - ], - "prose": "the organization defines the time period after which the information system is\n to prohibit the use of cached authenticators; and" - }, - { - "id": "ia-5.13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(13)[2]" - } - ], - "prose": "the information system prohibits the use of cached authenticators after the\n organization-defined time period." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability" - } - ] - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authenticator Feedback", - "properties": [ - { - "name": "label", - "value": "IA-6" - }, - { - "name": "sort-id", - "value": "ia-06" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.", - "links": [ - { - "href": "#pe-18", - "rel": "related", - "text": "PE-18" - } - ] - }, - { - "id": "ia-6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication" - } - ] - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "properties": [ - { - "name": "label", - "value": "IA-7" - }, - { - "name": "sort-id", - "value": "ia-07" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#b09d1a31-d3c9-4138-a4f4-4c63816afd7d", - "rel": "reference", - "text": "http://csrc.nist.gov/groups/STM/cmvp/index.html" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ia-7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic module\n authentication" - } - ] - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-8" - }, - { - "name": "sort-id", - "value": "ia-08" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#599fe9ba-4750-4450-9eeb-b95bd19a5e8f", - "rel": "reference", - "text": "OMB Memorandum 10-06-2011" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#654f21e2-f3bc-43b2-abdc-60ab8d09744b", - "rel": "reference", - "text": "National Strategy for Trusted Identities in\n Cyberspace" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "ia-8_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "properties": [ - { - "name": "label", - "value": "IA-8(1)" - }, - { - "name": "sort-id", - "value": "ia-08.01" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.1_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(1)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials from other agencies;\n and" - }, - { - "id": "ia-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(1)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of Third-party Credentials", - "properties": [ - { - "name": "label", - "value": "IA-8(2)" - }, - { - "name": "sort-id", - "value": "ia-08.02" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "prose": "The information system accepts only FICAM-approved third-party credentials." - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "ia-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system accepts only FICAM-approved third-party\n credentials. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials" - } - ] - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "parameters": [ - { - "id": "ia-8.3_prm_1", - "label": "organization-defined information systems" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-8(3)" - }, - { - "name": "sort-id", - "value": "ia-08.03" - } - ], - "parts": [ - { - "id": "ia-8.3_smt", - "name": "statement", - "prose": "The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials." - }, - { - "id": "ia-8.3_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-8.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-8(3)[1]" - } - ], - "prose": "defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and" - }, - { - "id": "ia-8.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(3)[2]" - } - ], - "prose": "employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-issued Profiles", - "properties": [ - { - "name": "label", - "value": "IA-8(4)" - }, - { - "name": "sort-id", - "value": "ia-08.04" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "The information system conforms to FICAM-issued profiles." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system conforms to FICAM-issued profiles. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Incident Response Policy and Procedures", - "parameters": [ - { - "id": "ir-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ir-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-1" - }, - { - "name": "sort-id", - "value": "ir-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ir-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Incident response policy {{ ir-1_prm_2 }}; and" - }, - { - "id": "ir-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Incident response procedures {{ ir-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ir-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(1)[1]" - } - ], - "prose": "develops and documents an incident response policy that addresses:", - "parts": [ - { - "id": "ir-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ir-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ir-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ir-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ir-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ir-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ir-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ir-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the incident response policy is to be\n disseminated;" - }, - { - "id": "ir-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-1(a)(1)[3]" - } - ], - "prose": "disseminates the incident response policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ir-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)" - } - ], - "parts": [ - { - "id": "ir-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;" - }, - { - "id": "ir-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ir-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(1)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n policy;" - }, - { - "id": "ir-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current incident response policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ir-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(2)" - } - ], - "parts": [ - { - "id": "ir-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n procedures; and" - }, - { - "id": "ir-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current incident response procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "parameters": [ - { - "id": "ir-2_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "within ten (10) days" - } - ] - }, - { - "id": "ir-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-2" - }, - { - "name": "sort-id", - "value": "ir-02" - } - ], - "links": [ - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "prose": "The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "ir-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ ir-2_prm_2 }} thereafter." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(a)" - } - ], - "parts": [ - { - "id": "ir-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-2(a)[1]" - } - ], - "prose": "defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(a)[2]" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;" - } - ] - }, - { - "id": "ir-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(b)" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;" - }, - { - "id": "ir-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(c)" - } - ], - "parts": [ - { - "id": "ir-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and" - }, - { - "id": "ir-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(c)[2]" - } - ], - "prose": "after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-2.1", - "class": "SP800-53-enhancement", - "title": "Simulated Events", - "properties": [ - { - "name": "label", - "value": "IR-2(1)" - }, - { - "name": "sort-id", - "value": "ir-02.01" - } - ], - "parts": [ - { - "id": "ir-2.1_smt", - "name": "statement", - "prose": "The organization incorporates simulated events into incident response training to\n facilitate effective response by personnel in crisis situations." - }, - { - "id": "ir-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization incorporates simulated events into incident response\n training to facilitate effective response by personnel in crisis situations. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement simulated events for\n incident response training" - } - ] - } - ] - }, - { - "id": "ir-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Training Environments", - "properties": [ - { - "name": "label", - "value": "IR-2(2)" - }, - { - "name": "sort-id", - "value": "ir-02.02" - } - ], - "parts": [ - { - "id": "ir-2.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to provide a more thorough and\n realistic incident response training environment." - }, - { - "id": "ir-2.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to provide a more\n thorough and realistic incident response training environment. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nautomated mechanisms supporting incident response training\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that provide a thorough and realistic incident response\n training environment" - } - ] - } - ] - } - ] - }, - { - "id": "ir-3", - "class": "SP800-53", - "title": "Incident Response Testing", - "parameters": [ - { - "id": "ir-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every six (6) months" - } - ] - }, - { - "id": "ir-3_prm_2", - "label": "organization-defined tests" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-3" - }, - { - "name": "sort-id", - "value": "ir-03" - } - ], - "links": [ - { - "href": "#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf", - "rel": "reference", - "text": "NIST Special Publication 800-84" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - } - ], - "parts": [ - { - "id": "ir-3_smt", - "name": "statement", - "prose": "The organization tests the incident response capability for the information system\n {{ ir-3_prm_1 }} using {{ ir-3_prm_2 }} to determine\n the incident response effectiveness and documents the results.", - "parts": [ - { - "id": "ir-3_fr", - "name": "item", - "title": "IR-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-3_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "IR-3 -2 Requirement:" - } - ], - "prose": "The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing." - } - ] - } - ] - }, - { - "id": "ir-3_gdn", - "name": "guidance", - "prose": "Organizations test incident response capabilities to determine the overall\n effectiveness of the capabilities and to identify potential weaknesses or\n deficiencies. Incident response testing includes, for example, the use of checklists,\n walk-through or tabletop exercises, simulations (parallel/full interrupt), and\n comprehensive exercises. Incident response testing can also include a determination\n of the effects on organizational operations (e.g., reduction in mission\n capabilities), organizational assets, and individuals due to incident response.", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-3[1]" - } - ], - "prose": "defines incident response tests to test the incident response capability for the\n information system;" - }, - { - "id": "ir-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-3[2]" - } - ], - "prose": "defines the frequency to test the incident response capability for the information\n system; and" - }, - { - "id": "ir-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-3[3]" - } - ], - "prose": "tests the incident response capability for the information system with the\n organization-defined frequency, using organization-defined tests to determine the\n incident response effectiveness and documents the results." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nprocedures addressing contingency plan testing\\n\\nincident response testing material\\n\\nincident response test results\\n\\nincident response test plan\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-3.2", - "class": "SP800-53-enhancement", - "title": "Coordination with Related Plans", - "properties": [ - { - "name": "label", - "value": "IR-3(2)" - }, - { - "name": "sort-id", - "value": "ir-03.02" - } - ], - "parts": [ - { - "id": "ir-3.2_smt", - "name": "statement", - "prose": "The organization coordinates incident response testing with organizational\n elements responsible for related plans." - }, - { - "id": "ir-3.2_gdn", - "name": "guidance", - "prose": "Organizational plans related to incident response testing include, for example,\n Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity\n of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n and Occupant Emergency Plans." - }, - { - "id": "ir-3.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization coordinates incident response testing with\n organizational elements responsible for related plans. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nincident response testing documentation\\n\\nincident response plan\\n\\nbusiness continuity plans\\n\\ncontingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with responsibilities for testing organizational plans\n related to incident response testing\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "properties": [ - { - "name": "label", - "value": "IR-4" - }, - { - "name": "sort-id", - "value": "ir-04" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates incident handling activities with contingency planning activities;\n and" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly." - }, - { - "id": "ir-4_fr", - "name": "item", - "title": "IR-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-4_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system." - } - ] - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(a)" - } - ], - "prose": "implements an incident handling capability for security incidents that\n includes:", - "parts": [ - { - "id": "ir-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[1]" - } - ], - "prose": "preparation;" - }, - { - "id": "ir-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[2]" - } - ], - "prose": "detection and analysis;" - }, - { - "id": "ir-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[3]" - } - ], - "prose": "containment;" - }, - { - "id": "ir-4.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[4]" - } - ], - "prose": "eradication;" - }, - { - "id": "ir-4.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[5]" - } - ], - "prose": "recovery;" - } - ] - }, - { - "id": "ir-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-4(b)" - } - ], - "prose": "coordinates incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)" - } - ], - "parts": [ - { - "id": "ir-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(c)[1]" - } - ], - "prose": "incorporates lessons learned from ongoing incident handling activities\n into:", - "parts": [ - { - "id": "ir-4.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][b]" - } - ], - "prose": "training;" - }, - { - "id": "ir-4.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][c]" - } - ], - "prose": "testing/exercises;" - } - ] - }, - { - "id": "ir-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-4(c)[2]" - } - ], - "prose": "implements the resulting changes accordingly to:", - "parts": [ - { - "id": "ir-4.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][b]" - } - ], - "prose": "training; and" - }, - { - "id": "ir-4.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][c]" - } - ], - "prose": "testing/exercises." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ], - "controls": [ - { - "id": "ir-4.1", - "class": "SP800-53-enhancement", - "title": "Automated Incident Handling Processes", - "properties": [ - { - "name": "label", - "value": "IR-4(1)" - }, - { - "name": "sort-id", - "value": "ir-04.01" - } - ], - "parts": [ - { - "id": "ir-4.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to support the incident handling\n process." - }, - { - "id": "ir-4.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms supporting incident handling processes include, for example,\n online incident management systems." - }, - { - "id": "ir-4.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to support the incident\n handling process. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement the incident handling\n process" - } - ] - } - ] - }, - { - "id": "ir-4.2", - "class": "SP800-53-enhancement", - "title": "Dynamic Reconfiguration", - "parameters": [ - { - "id": "ir-4.2_prm_1", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IR-4(2)" - }, - { - "name": "sort-id", - "value": "ir-04.02" - } - ], - "parts": [ - { - "id": "ir-4.2_smt", - "name": "statement", - "prose": "The organization includes dynamic reconfiguration of {{ ir-4.2_prm_1 }} as part of the incident response capability." - }, - { - "id": "ir-4.2_gdn", - "name": "guidance", - "prose": "Dynamic reconfiguration includes, for example, changes to router rules, access\n control lists, intrusion detection/prevention system parameters, and filter rules\n for firewalls and gateways. Organizations perform dynamic reconfiguration of\n information systems, for example, to stop attacks, to misdirect attackers, and to\n isolate components of systems, thus limiting the extent of the damage from\n breaches or compromises. Organizations include time frames for achieving the\n reconfiguration of information systems in the definition of the reconfiguration\n capability, considering the potential need for rapid response in order to\n effectively address sophisticated cyber threats.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - } - ] - }, - { - "id": "ir-4.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-4.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(2)[1]" - } - ], - "prose": "defines information system components to be dynamically reconfigured as part of\n the incident response capability; and" - }, - { - "id": "ir-4.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-4(2)[2]" - } - ], - "prose": "includes dynamic reconfiguration of organization-defined information system\n components as part of the incident response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\nlist of system components to be dynamically reconfigured as part of incident\n response capability\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement dynamic reconfiguration of\n components as part of incident response" - } - ] - } - ] - }, - { - "id": "ir-4.3", - "class": "SP800-53-enhancement", - "title": "Continuity of Operations", - "parameters": [ - { - "id": "ir-4.3_prm_1", - "label": "organization-defined classes of incidents" - }, - { - "id": "ir-4.3_prm_2", - "label": "organization-defined actions to take in response to classes of\n incidents" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-4(3)" - }, - { - "name": "sort-id", - "value": "ir-04.03" - } - ], - "parts": [ - { - "id": "ir-4.3_smt", - "name": "statement", - "prose": "The organization identifies {{ ir-4.3_prm_1 }} and {{ ir-4.3_prm_2 }} to ensure continuation of organizational missions and\n business functions." - }, - { - "id": "ir-4.3_gdn", - "name": "guidance", - "prose": "Classes of incidents include, for example, malfunctions due to\n design/implementation errors and omissions, targeted malicious attacks, and\n untargeted malicious attacks. Appropriate incident response actions include, for\n example, graceful degradation, information system shutdown, fall back to manual\n mode/alternative technology whereby the system operates differently, employing\n deceptive measures, alternate information flows, or operating in a mode that is\n reserved solely for when systems are under attack." - }, - { - "id": "ir-4.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-4.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(3)[1]" - } - ], - "prose": "defines classes of incidents requiring an organization-defined action to be\n taken;" - }, - { - "id": "ir-4.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(3)[2]" - } - ], - "prose": "defines actions to be taken in response to organization-defined classes of\n incidents; and" - }, - { - "id": "ir-4.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-4(3)[3]" - } - ], - "prose": "identifies organization-defined classes of incidents and organization-defined\n actions to take in response to classes of incidents to ensure continuation of\n organizational missions and business functions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\nsecurity plan\\n\\nlist of classes of incidents\\n\\nlist of appropriate incident response actions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement continuity of operations" - } - ] - } - ] - }, - { - "id": "ir-4.4", - "class": "SP800-53-enhancement", - "title": "Information Correlation", - "properties": [ - { - "name": "label", - "value": "IR-4(4)" - }, - { - "name": "sort-id", - "value": "ir-04.04" - } - ], - "parts": [ - { - "id": "ir-4.4_smt", - "name": "statement", - "prose": "The organization correlates incident information and individual incident responses\n to achieve an organization-wide perspective on incident awareness and\n response." - }, - { - "id": "ir-4.4_gdn", - "name": "guidance", - "prose": "Sometimes the nature of a threat event, for example, a hostile cyber attack, is\n such that it can only be observed by bringing together information from different\n sources including various reports and reporting procedures established by\n organizations." - }, - { - "id": "ir-4.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization correlates incident information and individual\n incident responses to achieve an organization-wide perspective on incident\n awareness and response. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\nsecurity plan\\n\\nautomated mechanisms supporting incident and event correlation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident management correlation logs\\n\\nevent management correlation logs\\n\\nsecurity information and event management logs\\n\\nincident management correlation reports\\n\\nevent management correlation reports\\n\\nsecurity information and event management reports\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with whom incident information and individual incident\n responses are to be correlated" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for correlating incident information and individual\n incident responses\\n\\nautomated mechanisms that support and or implement correlation of incident\n response information with individual incident responses" - } - ] - } - ] - }, - { - "id": "ir-4.6", - "class": "SP800-53-enhancement", - "title": "Insider Threats - Specific Capabilities", - "properties": [ - { - "name": "label", - "value": "IR-4(6)" - }, - { - "name": "sort-id", - "value": "ir-04.06" - } - ], - "parts": [ - { - "id": "ir-4.6_smt", - "name": "statement", - "prose": "The organization implements incident handling capability for insider threats." - }, - { - "id": "ir-4.6_gdn", - "name": "guidance", - "prose": "While many organizations address insider threat incidents as an inherent part of\n their organizational incident response capability, this control enhancement\n provides additional emphasis on this type of threat and the need for specific\n incident handling capabilities (as defined within organizations) to provide\n appropriate and timely responses." - }, - { - "id": "ir-4.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization implements incident handling capability for insider\n threats." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ] - }, - { - "id": "ir-4.8", - "class": "SP800-53-enhancement", - "title": "Correlation with External Organizations", - "parameters": [ - { - "id": "ir-4.8_prm_1", - "label": "organization-defined external organizations", - "constraints": [ - { - "detail": "external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)" - } - ] - }, - { - "id": "ir-4.8_prm_2", - "label": "organization-defined incident information" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-4(8)" - }, - { - "name": "sort-id", - "value": "ir-04.08" - } - ], - "parts": [ - { - "id": "ir-4.8_smt", - "name": "statement", - "prose": "The organization coordinates with {{ ir-4.8_prm_1 }} to correlate\n and share {{ ir-4.8_prm_2 }} to achieve a cross-organization\n perspective on incident awareness and more effective incident responses." - }, - { - "id": "ir-4.8_gdn", - "name": "guidance", - "prose": "The coordination of incident information with external organizations including,\n for example, mission/business partners, military/coalition partners, customers,\n and multitiered developers, can provide significant benefits. Cross-organizational\n coordination with respect to incident handling can serve as an important risk\n management capability. This capability allows organizations to leverage critical\n information from a variety of sources to effectively respond to information\n security-related incidents potentially affecting the organization’s operations,\n assets, and individuals." - }, - { - "id": "ir-4.8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-4.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(8)[1]" - } - ], - "prose": "defines external organizations with whom organizational incident information is\n to be coordinated;" - }, - { - "id": "ir-4.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(8)[2]" - } - ], - "prose": "defines incident information to be correlated and shared with\n organization-defined external organizations; and" - }, - { - "id": "ir-4.8_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-4(8)[3]" - } - ], - "prose": "the organization coordinates with organization-defined external organizations\n to correlate and share organization-defined information to achieve a\n cross-organization perspective on incident awareness and more effective\n incident responses." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nlist of external organizations\\n\\nrecords of incident handling coordination with external organizations\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel from external organizations with whom incident response information\n is to be coordinated/shared/correlated" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for coordinating incident handling information with\n external organizations" - } - ] - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "properties": [ - { - "name": "label", - "value": "IR-5" - }, - { - "name": "sort-id", - "value": "ir-05" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "The organization tracks and documents information system security incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5[1]" - } - ], - "prose": "tracks information system security incidents; and" - }, - { - "id": "ir-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-5[2]" - } - ], - "prose": "documents information system security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents" - } - ] - } - ], - "controls": [ - { - "id": "ir-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Tracking / Data Collection / Analysis", - "properties": [ - { - "name": "label", - "value": "IR-5(1)" - }, - { - "name": "sort-id", - "value": "ir-05.01" - } - ], - "parts": [ - { - "id": "ir-5.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to assist in the tracking of\n security incidents and in the collection and analysis of incident information." - }, - { - "id": "ir-5.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms for tracking security incidents and collecting/analyzing\n incident information include, for example, the Einstein network monitoring device\n and monitoring online Computer Incident Response Centers (CIRCs) or other\n electronic databases of incidents.", - "links": [ - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - } - ] - }, - { - "id": "ir-5.1_obj", - "name": "objective", - "prose": "Determine if the organization employs automated mechanisms to assist in:", - "parts": [ - { - "id": "ir-5.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-5(1)[1]" - } - ], - "prose": "the tracking of security incidents;" - }, - { - "id": "ir-5.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5(1)[2]" - } - ], - "prose": "the collection of incident information; and" - }, - { - "id": "ir-5.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5(1)[3]" - } - ], - "prose": "the analysis of incident information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nautomated mechanisms supporting incident monitoring\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms assisting in tracking of security incidents and in the\n collection and analysis of incident information" - } - ] - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "parameters": [ - { - "id": "ir-6_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - { - "id": "ir-6_prm_2", - "label": "organization-defined authorities" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-6" - }, - { - "name": "sort-id", - "value": "ir-06" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#02631467-668b-4233-989b-3dfded2fd184", - "rel": "reference", - "text": "http://www.us-cert.gov" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports security incident information to {{ ir-6_prm_2 }}." - }, - { - "id": "ir-6_fr", - "name": "item", - "title": "IR-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Report security incident information according to FedRAMP Incident Communications Procedure." - } - ] - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(a)" - } - ], - "parts": [ - { - "id": "ir-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-6(a)[1]" - } - ], - "prose": "defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;" - }, - { - "id": "ir-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-6(a)[2]" - } - ], - "prose": "requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;" - } - ] - }, - { - "id": "ir-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(b)" - } - ], - "parts": [ - { - "id": "ir-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-6(b)[1]" - } - ], - "prose": "defines authorities to whom security incident information is to be reported;\n and" - }, - { - "id": "ir-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-6(b)[2]" - } - ], - "prose": "reports security incident information to organization-defined authorities." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting" - } - ] - } - ], - "controls": [ - { - "id": "ir-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Reporting", - "properties": [ - { - "name": "label", - "value": "IR-6(1)" - }, - { - "name": "sort-id", - "value": "ir-06.01" - } - ], - "parts": [ - { - "id": "ir-6.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to assist in the reporting of\n security incidents." - }, - { - "id": "ir-6.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ir-7", - "rel": "related", - "text": "IR-7" - } - ] - }, - { - "id": "ir-6.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to assist in the\n reporting of security incidents." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nautomated mechanisms supporting incident reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing reporting of security\n incidents" - } - ] - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "properties": [ - { - "name": "label", - "value": "IR-7" - }, - { - "name": "sort-id", - "value": "ir-07" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ir-7_obj", - "name": "objective", - "prose": "Determine if the organization provides an incident response support resource:", - "parts": [ - { - "id": "ir-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[1]" - } - ], - "prose": "that is integral to the organizational incident response capability; and" - }, - { - "id": "ir-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[2]" - } - ], - "prose": "that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance" - } - ] - } - ], - "controls": [ - { - "id": "ir-7.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Availability of Information / Support", - "properties": [ - { - "name": "label", - "value": "IR-7(1)" - }, - { - "name": "sort-id", - "value": "ir-07.01" - } - ], - "parts": [ - { - "id": "ir-7.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to increase the availability of\n incident response-related information and support." - }, - { - "id": "ir-7.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a push and/or pull capability for users to obtain\n incident response assistance. For example, individuals might have access to a\n website to query the assistance capability, or conversely, the assistance\n capability may have the ability to proactively send information to users (general\n distribution or targeted) as part of increasing understanding of current response\n capabilities and support." - }, - { - "id": "ir-7.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to increase the\n availability of incident response-related information and support." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nautomated mechanisms supporting incident response support and assistance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance\n responsibilities\\n\\norganizational personnel with access to incident response support and\n assistance capability\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing an increase in the\n availability of incident response information and support" - } - ] - } - ] - }, - { - "id": "ir-7.2", - "class": "SP800-53-enhancement", - "title": "Coordination with External Providers", - "properties": [ - { - "name": "label", - "value": "IR-7(2)" - }, - { - "name": "sort-id", - "value": "ir-07.02" - } - ], - "parts": [ - { - "id": "ir-7.2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-7.2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and" - }, - { - "id": "ir-7.2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Identifies organizational incident response team members to the external\n providers." - } - ] - }, - { - "id": "ir-7.2_gdn", - "name": "guidance", - "prose": "External providers of information system protection capability include, for\n example, the Computer Network Defense program within the U.S. Department of\n Defense. External providers help to protect, monitor, analyze, detect, and respond\n to unauthorized activity within organizational information systems and\n networks." - }, - { - "id": "ir-7.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-7.2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-7(2)(a)" - } - ], - "prose": "establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and", - "links": [ - { - "href": "#ir-7.2_smt.a", - "rel": "corresp", - "text": "IR-7(2)(a)" - } - ] - }, - { - "id": "ir-7.2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-7(2)(b)" - } - ], - "prose": "identifies organizational incident response team members to the external\n providers.", - "links": [ - { - "href": "#ir-7.2_smt.b", - "rel": "corresp", - "text": "IR-7(2)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance\n responsibilities\\n\\nexternal providers of information system protection capability\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "parameters": [ - { - "id": "ir-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-8_prm_2", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - { - "id": "ir-8_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ir-8_prm_4", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-8" - }, - { - "name": "sort-id", - "value": "ir-08" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Is reviewed and approved by {{ ir-8_prm_1 }};" - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the incident response plan to {{ ir-8_prm_2 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the incident response plan {{ ir-8_prm_3 }};" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and" - }, - { - "id": "ir-8_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Protects the incident response plan from unauthorized disclosure and\n modification." - }, - { - "id": "ir-8_fr", - "name": "item", - "title": "IR-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-8_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b) Requirement:" - } - ], - "prose": "The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel." - }, - { - "id": "ir-8_fr_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e) Requirement:" - } - ], - "prose": "The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel." - } - ] - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - } - ] - }, - { - "id": "ir-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)" - } - ], - "prose": "develops an incident response plan that:", - "parts": [ - { - "id": "ir-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(1)" - } - ], - "prose": "provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(2)" - } - ], - "prose": "describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(3)" - } - ], - "prose": "provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(4)" - } - ], - "prose": "meets the unique requirements of the organization, which relate to:", - "parts": [ - { - "id": "ir-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[1]" - } - ], - "prose": "mission;" - }, - { - "id": "ir-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[2]" - } - ], - "prose": "size;" - }, - { - "id": "ir-8.a.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[3]" - } - ], - "prose": "structure;" - }, - { - "id": "ir-8.a.4_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[4]" - } - ], - "prose": "functions;" - } - ] - }, - { - "id": "ir-8.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(5)" - } - ], - "prose": "defines reportable incidents;" - }, - { - "id": "ir-8.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(a)(6)" - } - ], - "prose": "provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(7)" - } - ], - "prose": "defines the resources and management support needed to effectively maintain and\n mature an incident response capability;" - }, - { - "id": "ir-8.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(8)" - } - ], - "parts": [ - { - "id": "ir-8.a.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(8)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the incident response\n plan;" - }, - { - "id": "ir-8.a.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-8(a)(8)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[1]" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(b)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;" - }, - { - "id": "ir-8.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(b)[1][b]" - } - ], - "prose": "defines organizational elements to whom copies of the incident response plan\n are to be distributed;" - } - ] - }, - { - "id": "ir-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(b)[2]" - } - ], - "prose": "distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;" - } - ] - }, - { - "id": "ir-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(c)" - } - ], - "parts": [ - { - "id": "ir-8.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(c)[1]" - } - ], - "prose": "defines the frequency to review the incident response plan;" - }, - { - "id": "ir-8.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-8(c)[2]" - } - ], - "prose": "reviews the incident response plan with the organization-defined frequency;" - } - ] - }, - { - "id": "ir-8.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(d)" - } - ], - "prose": "updates the incident response plan to address system/organizational changes or\n problems encountered during plan:", - "parts": [ - { - "id": "ir-8.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[1]" - } - ], - "prose": "implementation;" - }, - { - "id": "ir-8.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[2]" - } - ], - "prose": "execution; or" - }, - { - "id": "ir-8.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[3]" - } - ], - "prose": "testing;" - } - ] - }, - { - "id": "ir-8.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[1]" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(e)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;" - }, - { - "id": "ir-8.e_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(e)[1][b]" - } - ], - "prose": "defines organizational elements to whom incident response plan changes are\n to be communicated;" - } - ] - }, - { - "id": "ir-8.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(e)[2]" - } - ], - "prose": "communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and" - } - ] - }, - { - "id": "ir-8.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(f)" - } - ], - "prose": "protects the incident response plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "parameters": [ - { - "id": "ir-9_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_2", - "label": "organization-defined actions" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9" - }, - { - "name": "sort-id", - "value": "ir-09" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "The organization responds to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifying the specific information involved in the information system\n contamination;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Alerting {{ ir-9_prm_1 }} of the information spill using a method\n of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Isolating the contaminated information system or system component;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Eradicating the information from the contaminated information system or\n component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Identifying other information systems or system components that may have been\n subsequently contaminated; and" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Performing other {{ ir-9_prm_2 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where either classified or sensitive\n information is inadvertently placed on information systems that are not authorized to\n process such information. Such information spills often occur when information that\n is initially thought to be of lower sensitivity is transmitted to an information\n system and then is subsequently determined to be of higher sensitivity. At that\n point, corrective action is required. The nature of the organizational response is\n generally based upon the degree of sensitivity of the spilled information (e.g.,\n security category or classification level), the security capabilities of the\n information system, the specific nature of contaminated storage media, and the access\n authorizations (e.g., security clearances) of individuals with authorized access to\n the contaminated system. The methods used to communicate information about the spill\n after the fact do not involve methods directly associated with the actual spill to\n minimize the risk of further spreading the contamination before such contamination is\n isolated and eradicated." - }, - { - "id": "ir-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(a)" - } - ], - "prose": "responds to information spills by identifying the specific information causing the\n information system contamination;" - }, - { - "id": "ir-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(b)" - } - ], - "parts": [ - { - "id": "ir-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(b)[1]" - } - ], - "prose": "defines personnel to be alerted of the information spillage;" - }, - { - "id": "ir-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-9(b)[2]" - } - ], - "prose": "identifies a method of communication not associated with the information spill\n to use to alert organization-defined personnel of the spill;" - }, - { - "id": "ir-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(b)[3]" - } - ], - "prose": "responds to information spills by alerting organization-defined personnel of\n the information spill using a method of communication not associated with the\n spill;" - } - ] - }, - { - "id": "ir-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(c)" - } - ], - "prose": "responds to information spills by isolating the contaminated information\n system;" - }, - { - "id": "ir-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(d)" - } - ], - "prose": "responds to information spills by eradicating the information from the\n contaminated information system;" - }, - { - "id": "ir-9.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(e)" - } - ], - "prose": "responds to information spills by identifying other information systems that may\n have been subsequently contaminated;" - }, - { - "id": "ir-9.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(f)" - } - ], - "parts": [ - { - "id": "ir-9.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(f)[1]" - } - ], - "prose": "defines other actions to be performed in response to information spills;\n and" - }, - { - "id": "ir-9.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(f)[2]" - } - ], - "prose": "responds to information spills by performing other organization-defined\n actions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nrecords of information spillage alerts/notifications, list of personnel who should\n receive alerts of information spillage\\n\\nlist of actions to be performed regarding information spillage\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information spillage response\\n\\nautomated mechanisms supporting and/or implementing information spillage response\n actions and related communications" - } - ] - } - ], - "controls": [ - { - "id": "ir-9.1", - "class": "SP800-53-enhancement", - "title": "Responsible Personnel", - "parameters": [ - { - "id": "ir-9.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9(1)" - }, - { - "name": "sort-id", - "value": "ir-09.01" - } - ], - "parts": [ - { - "id": "ir-9.1_smt", - "name": "statement", - "prose": "The organization assigns {{ ir-9.1_prm_1 }} with responsibility for\n responding to information spills." - }, - { - "id": "ir-9.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-9.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(1)[1]" - } - ], - "prose": "defines personnel with responsibility for responding to information spills;\n and" - }, - { - "id": "ir-9.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-9(1)[2]" - } - ], - "prose": "assigns organization-defined personnel with responsibility for responding to\n information spills." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nlist of personnel responsible for responding to information spillage\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-9.2", - "class": "SP800-53-enhancement", - "title": "Training", - "parameters": [ - { - "id": "ir-9.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-9(2)" - }, - { - "name": "sort-id", - "value": "ir-09.02" - } - ], - "parts": [ - { - "id": "ir-9.2_smt", - "name": "statement", - "prose": "The organization provides information spillage response training {{ ir-9.2_prm_1 }}." - }, - { - "id": "ir-9.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(2)[1]" - } - ], - "prose": "defines the frequency to provide information spillage response training;\n and" - }, - { - "id": "ir-9.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-9(2)[2]" - } - ], - "prose": "provides information spillage response training with the organization-defined\n frequency." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage response training\\n\\ninformation spillage response training curriculum\\n\\ninformation spillage response training materials\\n\\nincident response plan\\n\\ninformation spillage response training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-9.3", - "class": "SP800-53-enhancement", - "title": "Post-spill Operations", - "parameters": [ - { - "id": "ir-9.3_prm_1", - "label": "organization-defined procedures" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9(3)" - }, - { - "name": "sort-id", - "value": "ir-09.03" - } - ], - "parts": [ - { - "id": "ir-9.3_smt", - "name": "statement", - "prose": "The organization implements {{ ir-9.3_prm_1 }} to ensure that\n organizational personnel impacted by information spills can continue to carry out\n assigned tasks while contaminated systems are undergoing corrective actions." - }, - { - "id": "ir-9.3_gdn", - "name": "guidance", - "prose": "Correction actions for information systems contaminated due to information\n spillages may be very time-consuming. During those periods, personnel may not have\n access to the contaminated systems, which may potentially affect their ability to\n conduct organizational business." - }, - { - "id": "ir-9.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(3)[1]" - } - ], - "prose": "defines procedures that ensure organizational personnel impacted by information\n spills can continue to carry out assigned tasks while contaminated systems are\n undergoing corrective actions; and" - }, - { - "id": "ir-9.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(3)[2]" - } - ], - "prose": "implements organization-defined procedures to ensure that organizational\n personnel impacted by information spills can continue to carry out assigned\n tasks while contaminated systems are undergoing corrective actions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-spill operations" - } - ] - } - ] - }, - { - "id": "ir-9.4", - "class": "SP800-53-enhancement", - "title": "Exposure to Unauthorized Personnel", - "parameters": [ - { - "id": "ir-9.4_prm_1", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9(4)" - }, - { - "name": "sort-id", - "value": "ir-09.04" - } - ], - "parts": [ - { - "id": "ir-9.4_smt", - "name": "statement", - "prose": "The organization employs {{ ir-9.4_prm_1 }} for personnel exposed\n to information not within assigned access authorizations." - }, - { - "id": "ir-9.4_gdn", - "name": "guidance", - "prose": "Security safeguards include, for example, making personnel exposed to spilled\n information aware of the federal laws, directives, policies, and/or regulations\n regarding the information and the restrictions imposed based on exposure to such\n information." - }, - { - "id": "ir-9.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(4)[1]" - } - ], - "prose": "defines security safeguards to be employed for personnel exposed to information\n not within assigned access authorizations; and" - }, - { - "id": "ir-9.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(4)[2]" - } - ], - "prose": "employs organization-defined security safeguards for personnel exposed to\n information not within assigned access authorizations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nsecurity safeguards regarding information spillage/exposure to unauthorized\n personnel\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for dealing with information exposed to unauthorized\n personnel\\n\\nautomated mechanisms supporting and/or implementing safeguards for personnel\n exposed to information not within assigned access authorizations" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "System Maintenance Policy and Procedures", - "parameters": [ - { - "id": "ma-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ma-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MA-1" - }, - { - "name": "sort-id", - "value": "ma-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ma-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System maintenance policy {{ ma-1_prm_2 }}; and" - }, - { - "id": "ma-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System maintenance procedures {{ ma-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ma-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system maintenance policy that addresses:", - "parts": [ - { - "id": "ma-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ma-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ma-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ma-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ma-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ma-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ma-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ma-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system maintenance policy is to be\n disseminated;" - }, - { - "id": "ma-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system maintenance policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ma-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ma-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;" - }, - { - "id": "ma-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ma-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ma-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n policy;" - }, - { - "id": "ma-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system maintenance policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ma-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ma-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n procedures; and" - }, - { - "id": "ma-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system maintenance procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "parameters": [ - { - "id": "ma-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-2_prm_2", - "label": "organization-defined maintenance-related information" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-2" - }, - { - "name": "sort-id", - "value": "ma-02" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Includes {{ ma-2_prm_2 }} in organizational maintenance\n records." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ma-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)" - } - ], - "parts": [ - { - "id": "ma-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(a)[1]" - } - ], - "prose": "schedules maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(a)[2]" - } - ], - "prose": "performs maintenance and repairs on information system components in accordance\n with:", - "parts": [ - { - "id": "ma-2.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(a)[3]" - } - ], - "prose": "documents maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(a)[4]" - } - ], - "prose": "reviews records of maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][b]" - } - ], - "prose": "organizational requirements;" - } - ] - } - ] - }, - { - "id": "ma-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(b)" - } - ], - "parts": [ - { - "id": "ma-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(b)[1]" - } - ], - "prose": "approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - }, - { - "id": "ma-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(b)[2]" - } - ], - "prose": "monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - } - ] - }, - { - "id": "ma-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(c)" - } - ], - "parts": [ - { - "id": "ma-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(c)[1]" - } - ], - "prose": "defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(c)[2]" - } - ], - "prose": "requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;" - } - ] - }, - { - "id": "ma-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(d)" - } - ], - "prose": "sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(e)" - } - ], - "prose": "checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;" - }, - { - "id": "ma-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(f)" - } - ], - "parts": [ - { - "id": "ma-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(f)[1]" - } - ], - "prose": "defines maintenance-related information to be included in organizational\n maintenance records; and" - }, - { - "id": "ma-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(f)[2]" - } - ], - "prose": "includes organization-defined maintenance-related information in organizational\n maintenance records." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components" - } - ] - } - ], - "controls": [ - { - "id": "ma-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Maintenance Activities", - "properties": [ - { - "name": "label", - "value": "MA-2(2)" - }, - { - "name": "sort-id", - "value": "ma-02.02" - } - ], - "parts": [ - { - "id": "ma-2.2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-2.2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employs automated mechanisms to schedule, conduct, and document maintenance and\n repairs; and" - }, - { - "id": "ma-2.2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Produces up-to date, accurate, and complete records of all maintenance and\n repair actions requested, scheduled, in process, and completed." - } - ] - }, - { - "id": "ma-2.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - } - ] - }, - { - "id": "ma-2.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-2.2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(2)(a)" - } - ], - "prose": "employs automated mechanisms to:", - "parts": [ - { - "id": "ma-2.2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(a)[1]" - } - ], - "prose": "schedule maintenance and repairs;" - }, - { - "id": "ma-2.2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(a)[2]" - } - ], - "prose": "conduct maintenance and repairs;" - }, - { - "id": "ma-2.2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(a)[3]" - } - ], - "prose": "document maintenance and repairs;" - } - ], - "links": [ - { - "href": "#ma-2.2_smt.a", - "rel": "corresp", - "text": "MA-2(2)(a)" - } - ] - }, - { - "id": "ma-2.2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(2)(b)" - } - ], - "prose": "produces up-to-date, accurate, and complete records of all maintenance and\n repair actions:", - "parts": [ - { - "id": "ma-2.2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(b)[1]" - } - ], - "prose": "requested;" - }, - { - "id": "ma-2.2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(b)[2]" - } - ], - "prose": "scheduled;" - }, - { - "id": "ma-2.2.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(b)[3]" - } - ], - "prose": "in process; and" - }, - { - "id": "ma-2.2.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(2)(b)[4]" - } - ], - "prose": "completed." - } - ], - "links": [ - { - "href": "#ma-2.2_smt.b", - "rel": "corresp", - "text": "MA-2(2)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nautomated mechanisms supporting information system maintenance activities\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms supporting and/or implementing production of records of\n maintenance and repair actions" - } - ] - } - ] - } - ] - }, - { - "id": "ma-3", - "class": "SP800-53", - "title": "Maintenance Tools", - "properties": [ - { - "name": "label", - "value": "MA-3" - }, - { - "name": "sort-id", - "value": "ma-03" - } - ], - "links": [ - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - } - ], - "parts": [ - { - "id": "ma-3_smt", - "name": "statement", - "prose": "The organization approves, controls, and monitors information system maintenance\n tools." - }, - { - "id": "ma-3_gdn", - "name": "guidance", - "prose": "This control addresses security-related issues associated with maintenance tools used\n specifically for diagnostic and repair actions on organizational information systems.\n Maintenance tools can include hardware, software, and firmware items. Maintenance\n tools are potential vehicles for transporting malicious code, either intentionally or\n unintentionally, into a facility and subsequently into organizational information\n systems. Maintenance tools can include, for example, hardware/software diagnostic\n test equipment and hardware/software packet sniffers. This control does not cover\n hardware/software components that may support information system maintenance, yet are\n a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,\n or the hardware and software implementing the monitoring port of an Ethernet\n switch.", - "links": [ - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "ma-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3[1]" - } - ], - "prose": "approves information system maintenance tools;" - }, - { - "id": "ma-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3[2]" - } - ], - "prose": "controls information system maintenance tools; and" - }, - { - "id": "ma-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3[3]" - } - ], - "prose": "monitors information system maintenance tools." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for approving, controlling, and monitoring maintenance\n tools\\n\\nautomated mechanisms supporting and/or implementing approval, control, and/or\n monitoring of maintenance tools" - } - ] - } - ], - "controls": [ - { - "id": "ma-3.1", - "class": "SP800-53-enhancement", - "title": "Inspect Tools", - "properties": [ - { - "name": "label", - "value": "MA-3(1)" - }, - { - "name": "sort-id", - "value": "ma-03.01" - } - ], - "parts": [ - { - "id": "ma-3.1_smt", - "name": "statement", - "prose": "The organization inspects the maintenance tools carried into a facility by\n maintenance personnel for improper or unauthorized modifications." - }, - { - "id": "ma-3.1_gdn", - "name": "guidance", - "prose": "If, upon inspection of maintenance tools, organizations determine that the tools\n have been modified in an improper/unauthorized manner or contain malicious code,\n the incident is handled consistent with organizational policies and procedures for\n incident handling.", - "links": [ - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ma-3.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization inspects the maintenance tools carried into a\n facility by maintenance personnel for improper or unauthorized modifications. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance tool inspection records\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for inspecting maintenance tools\\n\\nautomated mechanisms supporting and/or implementing inspection of maintenance\n tools" - } - ] - } - ] - }, - { - "id": "ma-3.2", - "class": "SP800-53-enhancement", - "title": "Inspect Media", - "properties": [ - { - "name": "label", - "value": "MA-3(2)" - }, - { - "name": "sort-id", - "value": "ma-03.02" - } - ], - "parts": [ - { - "id": "ma-3.2_smt", - "name": "statement", - "prose": "The organization checks media containing diagnostic and test programs for\n malicious code before the media are used in the information system." - }, - { - "id": "ma-3.2_gdn", - "name": "guidance", - "prose": "If, upon inspection of media containing maintenance diagnostic and test programs,\n organizations determine that the media contain malicious code, the incident is\n handled consistent with organizational incident handling policies and\n procedures.", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "ma-3.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization checks media containing diagnostic and test programs\n for malicious code before the media are used in the information system. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for inspecting media for malicious code\\n\\nautomated mechanisms supporting and/or implementing inspection of media used\n for maintenance" - } - ] - } - ] - }, - { - "id": "ma-3.3", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Removal", - "parameters": [ - { - "id": "ma-3.3_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "the information owner explicitly authorizing removal of the equipment from the facility" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MA-3(3)" - }, - { - "name": "sort-id", - "value": "ma-03.03" - } - ], - "parts": [ - { - "id": "ma-3.3_smt", - "name": "statement", - "prose": "The organization prevents the unauthorized removal of maintenance equipment\n containing organizational information by:", - "parts": [ - { - "id": "ma-3.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifying that there is no organizational information contained on the\n equipment;" - }, - { - "id": "ma-3.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Sanitizing or destroying the equipment;" - }, - { - "id": "ma-3.3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retaining the equipment within the facility; or" - }, - { - "id": "ma-3.3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Obtaining an exemption from {{ ma-3.3_prm_1 }} explicitly\n authorizing removal of the equipment from the facility." - } - ] - }, - { - "id": "ma-3.3_gdn", - "name": "guidance", - "prose": "Organizational information includes all information specifically owned by\n organizations and information provided to organizations in which organizations\n serve as information stewards." - }, - { - "id": "ma-3.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization prevents the unauthorized removal of maintenance\n equipment containing organizational information by: ", - "parts": [ - { - "id": "ma-3.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(a)" - } - ], - "prose": "verifying that there is no organizational information contained on the\n equipment;", - "links": [ - { - "href": "#ma-3.3_smt.a", - "rel": "corresp", - "text": "MA-3(3)(a)" - } - ] - }, - { - "id": "ma-3.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(b)" - } - ], - "prose": "sanitizing or destroying the equipment;", - "links": [ - { - "href": "#ma-3.3_smt.b", - "rel": "corresp", - "text": "MA-3(3)(b)" - } - ] - }, - { - "id": "ma-3.3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(c)" - } - ], - "prose": "retaining the equipment within the facility; or", - "links": [ - { - "href": "#ma-3.3_smt.c", - "rel": "corresp", - "text": "MA-3(3)(c)" - } - ] - }, - { - "id": "ma-3.3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(d)" - } - ], - "parts": [ - { - "id": "ma-3.3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(d)[1]" - } - ], - "prose": "defining personnel or roles that can grant an exemption from explicitly\n authorizing removal of the equipment from the facility; and" - }, - { - "id": "ma-3.3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(d)[2]" - } - ], - "prose": "obtaining an exemption from organization-defined personnel or roles\n explicitly authorizing removal of the equipment from the facility." - } - ], - "links": [ - { - "href": "#ma-3.3_smt.d", - "rel": "corresp", - "text": "MA-3(3)(d)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nexemptions for equipment removal\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for preventing unauthorized removal of information\\n\\nautomated mechanisms supporting media sanitization or destruction of\n equipment\\n\\nautomated mechanisms supporting verification of media sanitization" - } - ] - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MA-4" - }, - { - "name": "sort-id", - "value": "ma-04" - } - ], - "links": [ - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#f2dbd4ec-c413-4714-b85b-6b7184d1c195", - "rel": "reference", - "text": "FIPS Publication 197" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a4aa9645-9a8a-4b51-90a9-e223250f9a75", - "rel": "reference", - "text": "CNSS Policy 15" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approves and monitors nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintains records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminates session and network connections when nonlocal maintenance is\n completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "ma-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(a)" - } - ], - "parts": [ - { - "id": "ma-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(a)[1]" - } - ], - "prose": "approves nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(a)[2]" - } - ], - "prose": "monitors nonlocal maintenance and diagnostic activities;" - } - ] - }, - { - "id": "ma-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(b)" - } - ], - "prose": "allows the use of nonlocal maintenance and diagnostic tools only:", - "parts": [ - { - "id": "ma-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[1]" - } - ], - "prose": "as consistent with organizational policy;" - }, - { - "id": "ma-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[2]" - } - ], - "prose": "as documented in the security plan for the information system;" - } - ] - }, - { - "id": "ma-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(c)" - } - ], - "prose": "employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(d)" - } - ], - "prose": "maintains records for nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(e)" - } - ], - "parts": [ - { - "id": "ma-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(e)[1]" - } - ], - "prose": "terminates sessions when nonlocal maintenance or diagnostics is completed;\n and" - }, - { - "id": "ma-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(e)[2]" - } - ], - "prose": "terminates network connections when nonlocal maintenance or diagnostics is\n completed." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections" - } - ] - } - ], - "controls": [ - { - "id": "ma-4.2", - "class": "SP800-53-enhancement", - "title": "Document Nonlocal Maintenance", - "properties": [ - { - "name": "label", - "value": "MA-4(2)" - }, - { - "name": "sort-id", - "value": "ma-04.02" - } - ], - "parts": [ - { - "id": "ma-4.2_smt", - "name": "statement", - "prose": "The organization documents in the security plan for the information system, the\n policies and procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections." - }, - { - "id": "ma-4.2_obj", - "name": "objective", - "prose": "Determine if the organization documents in the security plan for the information\n system: ", - "parts": [ - { - "id": "ma-4.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-4(2)[1]" - } - ], - "prose": "the policies for the establishment and use of nonlocal maintenance and\n diagnostic connections; and" - }, - { - "id": "ma-4.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-4(2)[2]" - } - ], - "prose": "the procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing non-local information system maintenance\\n\\nsecurity plan\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-4.3", - "class": "SP800-53-enhancement", - "title": "Comparable Security / Sanitization", - "properties": [ - { - "name": "label", - "value": "MA-4(3)" - }, - { - "name": "sort-id", - "value": "ma-04.03" - } - ], - "parts": [ - { - "id": "ma-4.3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-4.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Requires that nonlocal maintenance and diagnostic services be performed from an\n information system that implements a security capability comparable to the\n capability implemented on the system being serviced; or" - }, - { - "id": "ma-4.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Removes the component to be serviced from the information system prior to\n nonlocal maintenance or diagnostic services, sanitizes the component (with\n regard to organizational information) before removal from organizational\n facilities, and after the service is performed, inspects and sanitizes the\n component (with regard to potentially malicious software) before reconnecting\n the component to the information system." - } - ] - }, - { - "id": "ma-4.3_gdn", - "name": "guidance", - "prose": "Comparable security capability on information systems, diagnostic tools, and\n equipment providing maintenance services implies that the implemented security\n controls on those systems, tools, and equipment are at least as comprehensive as\n the controls on the information system being serviced.", - "links": [ - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ma-4.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-4.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(3)(a)" - } - ], - "prose": "requires that nonlocal maintenance and diagnostic services be performed from an\n information system that implements a security capability comparable to the\n capability implemented on the system being serviced; or", - "links": [ - { - "href": "#ma-4.3_smt.a", - "rel": "corresp", - "text": "MA-4(3)(a)" - } - ] - }, - { - "id": "ma-4.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(3)(b)" - } - ], - "parts": [ - { - "id": "ma-4.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(3)(b)[1]" - } - ], - "prose": "removes the component to be serviced from the information system;" - }, - { - "id": "ma-4.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(3)(b)[2]" - } - ], - "prose": "sanitizes the component (with regard to organizational information) prior to\n nonlocal maintenance or diagnostic services and/or before removal from\n organizational facilities; and" - }, - { - "id": "ma-4.3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(3)(b)[3]" - } - ], - "prose": "inspects and sanitizes the component (with regard to potentially malicious\n software) after service is performed on the component and before\n reconnecting the component to the information system." - } - ], - "links": [ - { - "href": "#ma-4.3_smt.b", - "rel": "corresp", - "text": "MA-4(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nservice provider contracts and/or service-level agreements\\n\\nmaintenance records\\n\\ninspection records\\n\\naudit records\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\ninformation system maintenance provider\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for comparable security and sanitization for nonlocal\n maintenance\\n\\norganizational processes for removal, sanitization, and inspection of\n components serviced via nonlocal maintenance\\n\\nautomated mechanisms supporting and/or implementing component sanitization and\n inspection" - } - ] - } - ] - }, - { - "id": "ma-4.6", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "properties": [ - { - "name": "label", - "value": "MA-4(6)" - }, - { - "name": "sort-id", - "value": "ma-04.06" - } - ], - "parts": [ - { - "id": "ma-4.6_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to protect the\n integrity and confidentiality of nonlocal maintenance and diagnostic\n communications." - }, - { - "id": "ma-4.6_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ma-4.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements cryptographic mechanisms to protect\n the integrity and confidentiality of nonlocal maintenance and diagnostic\n communications. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing non-local information system maintenance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms protecting nonlocal maintenance activities\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\nnetwork engineers\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting nonlocal maintenance and diagnostic\n communications" - } - ] - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "properties": [ - { - "name": "label", - "value": "MA-5" - }, - { - "name": "sort-id", - "value": "ma-05" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "ma-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(a)" - } - ], - "parts": [ - { - "id": "ma-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(a)[1]" - } - ], - "prose": "establishes a process for maintenance personnel authorization;" - }, - { - "id": "ma-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(a)[2]" - } - ], - "prose": "maintains a list of authorized maintenance organizations or personnel;" - } - ] - }, - { - "id": "ma-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(b)" - } - ], - "prose": "ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(c)" - } - ], - "prose": "designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel" - } - ] - } - ], - "controls": [ - { - "id": "ma-5.1", - "class": "SP800-53-enhancement", - "title": "Individuals Without Appropriate Access", - "properties": [ - { - "name": "label", - "value": "MA-5(1)" - }, - { - "name": "sort-id", - "value": "ma-05.01" - } - ], - "parts": [ - { - "id": "ma-5.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-5.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:", - "parts": [ - { - "id": "ma-5.1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who are fully cleared, have\n appropriate access authorizations, and are technically qualified;" - }, - { - "id": "ma-5.1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances or formal access\n approvals, all volatile information storage components within the\n information system are sanitized and all nonvolatile storage media are\n removed or physically disconnected from the system and secured; and" - } - ] - }, - { - "id": "ma-5.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develops and implements alternate security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system." - } - ] - }, - { - "id": "ma-5.1_gdn", - "name": "guidance", - "prose": "This control enhancement denies individuals who lack appropriate security\n clearances (i.e., individuals who do not possess security clearances or possess\n security clearances at a lower level than required) or who are not U.S. citizens,\n visual and electronic access to any classified information, Controlled\n Unclassified Information (CUI), or any other sensitive information contained on\n organizational information systems. Procedures for the use of maintenance\n personnel can be documented in security plans for the information systems.", - "links": [ - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "ma-5.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-5.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)" - } - ], - "prose": "implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:", - "parts": [ - { - "id": "ma-5.1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(1)(a)(1)" - } - ], - "prose": "maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who:", - "parts": [ - { - "id": "ma-5.1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(1)[1]" - } - ], - "prose": "are fully cleared;" - }, - { - "id": "ma-5.1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(1)[2]" - } - ], - "prose": "have appropriate access authorizations;" - }, - { - "id": "ma-5.1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(1)[3]" - } - ], - "prose": "are technically qualified;" - } - ], - "links": [ - { - "href": "#ma-5.1_smt.a.1", - "rel": "corresp", - "text": "MA-5(1)(a)(1)" - } - ] - }, - { - "id": "ma-5.1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(1)(a)(2)" - } - ], - "prose": "prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances, or formal access\n approvals:", - "parts": [ - { - "id": "ma-5.1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(2)[1]" - } - ], - "prose": "all volatile information storage components within the information system\n are sanitized; and" - }, - { - "id": "ma-5.1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(2)[2]" - } - ], - "prose": "all nonvolatile storage media are removed; or" - }, - { - "id": "ma-5.1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(2)[3]" - } - ], - "prose": "all nonvolatile storage media are physically disconnected from the system\n and secured; and" - } - ], - "links": [ - { - "href": "#ma-5.1_smt.a.2", - "rel": "corresp", - "text": "MA-5(1)(a)(2)" - } - ] - } - ], - "links": [ - { - "href": "#ma-5.1_smt.a", - "rel": "corresp", - "text": "MA-5(1)(a)" - } - ] - }, - { - "id": "ma-5.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(1)(b)" - } - ], - "prose": "develops and implements alternative security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system.", - "links": [ - { - "href": "#ma-5.1_smt.b", - "rel": "corresp", - "text": "MA-5(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\ninformation system media protection policy\\n\\nphysical and environmental protection policy\\n\\nsecurity plan\\n\\nlist of maintenance personnel requiring escort/supervision\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with personnel security responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing maintenance personnel without appropriate\n access\\n\\nautomated mechanisms supporting and/or implementing alternative security\n safeguards\\n\\nautomated mechanisms supporting and/or implementing information storage\n component sanitization" - } - ] - } - ] - } - ] - }, - { - "id": "ma-6", - "class": "SP800-53", - "title": "Timely Maintenance", - "parameters": [ - { - "id": "ma-6_prm_1", - "label": "organization-defined information system components" - }, - { - "id": "ma-6_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-6" - }, - { - "name": "sort-id", - "value": "ma-06" - } - ], - "parts": [ - { - "id": "ma-6_smt", - "name": "statement", - "prose": "The organization obtains maintenance support and/or spare parts for {{ ma-6_prm_1 }} within {{ ma-6_prm_2 }} of failure." - }, - { - "id": "ma-6_gdn", - "name": "guidance", - "prose": "Organizations specify the information system components that result in increased risk\n to organizational operations and assets, individuals, other organizations, or the\n Nation when the functionality provided by those components is not operational.\n Organizational actions to obtain maintenance support typically include having\n appropriate contracts in place.", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#sa-14", - "rel": "related", - "text": "SA-14" - }, - { - "href": "#sa-15", - "rel": "related", - "text": "SA-15" - } - ] - }, - { - "id": "ma-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-6_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[1]" - } - ], - "prose": "defines information system components for which maintenance support and/or spare\n parts are to be obtained;" - }, - { - "id": "ma-6_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[2]" - } - ], - "prose": "defines the time period within which maintenance support and/or spare parts are to\n be obtained after a failure;" - }, - { - "id": "ma-6_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[3]" - } - ], - "parts": [ - { - "id": "ma-6_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[3][a]" - } - ], - "prose": "obtains maintenance support for organization-defined information system\n components within the organization-defined time period of failure; and/or" - }, - { - "id": "ma-6_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[3][b]" - } - ], - "prose": "obtains spare parts for organization-defined information system components\n within the organization-defined time period of failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\ninventory and availability of spare parts\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring timely maintenance" - } - ] - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Media Protection Policy and Procedures", - "parameters": [ - { - "id": "mp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "mp-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MP-1" - }, - { - "name": "sort-id", - "value": "mp-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "mp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Media protection policy {{ mp-1_prm_2 }}; and" - }, - { - "id": "mp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Media protection procedures {{ mp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "mp-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "mp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(1)[1]" - } - ], - "prose": "develops and documents a media protection policy that addresses:", - "parts": [ - { - "id": "mp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "mp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "mp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "mp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "mp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "mp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "mp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "mp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the media protection policy is to be\n disseminated;" - }, - { - "id": "mp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-1(a)(1)[3]" - } - ], - "prose": "disseminates the media protection policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "mp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)" - } - ], - "parts": [ - { - "id": "mp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;" - }, - { - "id": "mp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "mp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "mp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(1)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n policy;" - }, - { - "id": "mp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current media protection policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "mp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(2)" - } - ], - "parts": [ - { - "id": "mp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n procedures; and" - }, - { - "id": "mp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current media protection procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Media protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "parameters": [ - { - "id": "mp-2_prm_1", - "label": "organization-defined types of digital and/or non-digital media", - "constraints": [ - { - "detail": "any digital and non-digital media deemed sensitive" - } - ] - }, - { - "id": "mp-2_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-2" - }, - { - "name": "sort-id", - "value": "mp-02" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "mp-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-2[1]" - } - ], - "prose": "defines types of digital and/or non-digital media requiring restricted access;" - }, - { - "id": "mp-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-2[2]" - } - ], - "prose": "defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and" - }, - { - "id": "mp-2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-2[3]" - } - ], - "prose": "restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions" - } - ] - } - ] - }, - { - "id": "mp-3", - "class": "SP800-53", - "title": "Media Marking", - "parameters": [ - { - "id": "mp-3_prm_1", - "label": "organization-defined types of information system media", - "constraints": [ - { - "detail": "no removable media types" - } - ] - }, - { - "id": "mp-3_prm_2", - "label": "organization-defined controlled areas", - "constraints": [ - { - "detail": "organization-defined security safeguards not applicable" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MP-3" - }, - { - "name": "sort-id", - "value": "mp-03" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - } - ], - "parts": [ - { - "id": "mp-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Marks information system media indicating the distribution limitations, handling\n caveats, and applicable security markings (if any) of the information; and" - }, - { - "id": "mp-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Exempts {{ mp-3_prm_1 }} from marking as long as the media remain\n within {{ mp-3_prm_2 }}." - }, - { - "id": "mp-3_fr", - "name": "item", - "title": "MP-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-3_fr_gdn.b", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(b) Guidance:" - } - ], - "prose": "Second parameter not-applicable" - } - ] - } - ] - }, - { - "id": "mp-3_gdn", - "name": "guidance", - "prose": "The term security marking refers to the application/use of human-readable security\n attributes. The term security labeling refers to the application/use of security\n attributes with regard to internal data structures within information systems (see\n AC-16). Information system media includes both digital and non-digital media. Digital\n media includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Security marking is generally not\n required for media containing information determined by organizations to be in the\n public domain or to be publicly releasable. However, some organizations may require\n markings for public information indicating that the information is publicly\n releasable. Marking of information system media reflects applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and guidance.", - "links": [ - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "mp-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-3(a)" - } - ], - "prose": "marks information system media indicating the:", - "parts": [ - { - "id": "mp-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(a)[1]" - } - ], - "prose": "distribution limitations of the information;" - }, - { - "id": "mp-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(a)[2]" - } - ], - "prose": "handling caveats of the information;" - }, - { - "id": "mp-3.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(a)[3]" - } - ], - "prose": "applicable security markings (if any) of the information;" - } - ] - }, - { - "id": "mp-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(b)" - } - ], - "parts": [ - { - "id": "mp-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-3(b)[1]" - } - ], - "prose": "defines types of information system media to be exempted from marking as long\n as the media remain in designated controlled areas;" - }, - { - "id": "mp-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-3(b)[2]" - } - ], - "prose": "defines controlled areas where organization-defined types of information system\n media exempt from marking are to be retained; and" - }, - { - "id": "mp-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-3(b)[3]" - } - ], - "prose": "exempts organization-defined types of information system media from marking as\n long as the media remain within organization-defined controlled areas." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media marking\\n\\nphysical and environmental protection policy and procedures\\n\\nsecurity plan\\n\\nlist of information system media marking security attributes\\n\\ndesignated controlled areas\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection and marking\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for marking information media\\n\\nautomated mechanisms supporting and/or implementing media marking" - } - ] - } - ] - }, - { - "id": "mp-4", - "class": "SP800-53", - "title": "Media Storage", - "parameters": [ - { - "id": "mp-4_prm_1", - "label": "organization-defined types of digital and/or non-digital media", - "constraints": [ - { - "detail": "all types of digital and non-digital media with sensitive information" - } - ] - }, - { - "id": "mp-4_prm_2", - "label": "organization-defined controlled areas", - "constraints": [ - { - "detail": "see additional FedRAMP requirements and guidance" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MP-4" - }, - { - "name": "sort-id", - "value": "mp-04" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Physically controls and securely stores {{ mp-4_prm_1 }} within\n {{ mp-4_prm_2 }}; and" - }, - { - "id": "mp-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures." - }, - { - "id": "mp-4_fr", - "name": "item", - "title": "MP-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines controlled areas within facilities where the information and information system reside." - } - ] - } - ] - }, - { - "id": "mp-4_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Physically controlling information system\n media includes, for example, conducting inventories, ensuring procedures are in place\n to allow individuals to check out and return media to the media library, and\n maintaining accountability for all stored media. Secure storage includes, for\n example, a locked drawer, desk, or cabinet, or a controlled media library. The type\n of media storage is commensurate with the security category and/or classification of\n the information residing on the media. Controlled areas are areas for which\n organizations provide sufficient physical and procedural safeguards to meet the\n requirements established for protecting information and/or information systems. For\n media containing information determined by organizations to be in the public domain,\n to be publicly releasable, or to have limited or no adverse impact on organizations\n or individuals if accessed by other than authorized personnel, fewer safeguards may\n be needed. In these situations, physical access controls provide adequate\n protection.", - "links": [ - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-7", - "rel": "related", - "text": "MP-7" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "mp-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-4(a)" - } - ], - "parts": [ - { - "id": "mp-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-4(a)[1]" - } - ], - "prose": "defines types of digital and/or non-digital media to be physically controlled\n and securely stored within designated controlled areas;" - }, - { - "id": "mp-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-4(a)[2]" - } - ], - "prose": "defines controlled areas designated to physically control and securely store\n organization-defined types of digital and/or non-digital media;" - }, - { - "id": "mp-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-4(a)[3]" - } - ], - "prose": "physically controls organization-defined types of digital and/or non-digital\n media within organization-defined controlled areas;" - }, - { - "id": "mp-4.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-4(a)[4]" - } - ], - "prose": "securely stores organization-defined types of digital and/or non-digital media\n within organization-defined controlled areas; and" - } - ] - }, - { - "id": "mp-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-4(b)" - } - ], - "prose": "protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing secure media storage/media\n protection" - } - ] - } - ] - }, - { - "id": "mp-5", - "class": "SP800-53", - "title": "Media Transport", - "parameters": [ - { - "id": "mp-5_prm_1", - "label": "organization-defined types of information system media", - "constraints": [ - { - "detail": "all media with sensitive information" - } - ] - }, - { - "id": "mp-5_prm_2", - "label": "organization-defined security safeguards", - "constraints": [ - { - "detail": "prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MP-5" - }, - { - "name": "sort-id", - "value": "mp-05" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - } - ], - "parts": [ - { - "id": "mp-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protects and controls {{ mp-5_prm_1 }} during transport outside of\n controlled areas using {{ mp-5_prm_2 }};" - }, - { - "id": "mp-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintains accountability for information system media during transport outside of\n controlled areas;" - }, - { - "id": "mp-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents activities associated with the transport of information system media;\n and" - }, - { - "id": "mp-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Restricts the activities associated with the transport of information system media\n to authorized personnel." - }, - { - "id": "mp-5_fr", - "name": "item", - "title": "MP-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-5_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB." - } - ] - } - ] - }, - { - "id": "mp-5_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers),\n that are transported outside of controlled areas. Controlled areas are areas or\n spaces for which organizations provide sufficient physical and/or procedural\n safeguards to meet the requirements established for protecting information and/or\n information systems. Physical and technical safeguards for media are commensurate\n with the security category or classification of the information residing on the\n media. Safeguards to protect media during transport include, for example, locked\n containers and cryptography. Cryptographic mechanisms can provide confidentiality and\n integrity protections depending upon the mechanisms used. Activities associated with\n transport include the actual transport as well as those activities such as releasing\n media for transport and ensuring that media enters the appropriate transport\n processes. For the actual transport, authorized transport and courier personnel may\n include individuals from outside the organization (e.g., U.S. Postal Service or a\n commercial transport or delivery service). Maintaining accountability of media during\n transport includes, for example, restricting transport activities to authorized\n personnel, and tracking and/or obtaining explicit records of transport activities as\n the media moves through the transportation system to prevent and detect loss,\n destruction, or tampering. Organizations establish documentation requirements for\n activities associated with the transport of information system media in accordance\n with organizational assessments of risk to include the flexibility to define\n different record-keeping methods for the different types of media transport as part\n of an overall system of transport-related records.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#mp-3", - "rel": "related", - "text": "MP-3" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "mp-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-5(a)" - } - ], - "parts": [ - { - "id": "mp-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-5(a)[1]" - } - ], - "prose": "defines types of information system media to be protected and controlled during\n transport outside of controlled areas;" - }, - { - "id": "mp-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-5(a)[2]" - } - ], - "prose": "defines security safeguards to protect and control organization-defined\n information system media during transport outside of controlled areas;" - }, - { - "id": "mp-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-5(a)[3]" - } - ], - "prose": "protects and controls organization-defined information system media during\n transport outside of controlled areas using organization-defined security\n safeguards;" - } - ] - }, - { - "id": "mp-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-5(b)" - } - ], - "prose": "maintains accountability for information system media during transport outside of\n controlled areas;" - }, - { - "id": "mp-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-5(c)" - } - ], - "prose": "documents activities associated with the transport of information system media;\n and" - }, - { - "id": "mp-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-5(d)" - } - ], - "prose": "restricts the activities associated with transport of information system media to\n authorized personnel." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing media storage/media\n protection" - } - ] - } - ], - "controls": [ - { - "id": "mp-5.4", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "properties": [ - { - "name": "label", - "value": "MP-5(4)" - }, - { - "name": "sort-id", - "value": "mp-05.04" - } - ], - "parts": [ - { - "id": "mp-5.4_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas." - }, - { - "id": "mp-5.4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to both portable storage devices (e.g., USB\n memory sticks, compact disks, digital video disks, external/removable hard disk\n drives) and mobile devices with storage capability (e.g., smart phones, tablets,\n E-readers).", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - } - ] - }, - { - "id": "mp-5.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media transport\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system media transport records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media transport\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting information on digital media during\n transportation outside controlled areas" - } - ] - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "parameters": [ - { - "id": "mp-6_prm_1", - "label": "organization-defined information system media" - }, - { - "id": "mp-6_prm_2", - "label": "organization-defined sanitization techniques and procedures", - "constraints": [ - { - "detail": "techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MP-6" - }, - { - "name": "sort-id", - "value": "mp-06" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a47466c4-c837-4f06-a39f-e68412a5f73d", - "rel": "reference", - "text": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.", - "links": [ - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-4", - "rel": "related", - "text": "SC-4" - } - ] - }, - { - "id": "mp-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)" - } - ], - "parts": [ - { - "id": "mp-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(a)[1]" - } - ], - "prose": "defines information system media to be sanitized prior to:", - "parts": [ - { - "id": "mp-6.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(a)[2]" - } - ], - "prose": "defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:", - "parts": [ - { - "id": "mp-6.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(a)[3]" - } - ], - "prose": "sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and" - } - ] - }, - { - "id": "mp-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(b)" - } - ], - "prose": "employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ], - "controls": [ - { - "id": "mp-6.1", - "class": "SP800-53-enhancement", - "title": "Review / Approve / Track / Document / Verify", - "properties": [ - { - "name": "label", - "value": "MP-6(1)" - }, - { - "name": "sort-id", - "value": "mp-06.01" - } - ], - "parts": [ - { - "id": "mp-6.1_smt", - "name": "statement", - "prose": "The organization reviews, approves, tracks, documents, and verifies media\n sanitization and disposal actions." - }, - { - "id": "mp-6.1_gdn", - "name": "guidance", - "prose": "Organizations review and approve media to be sanitized to ensure compliance with\n records-retention policies. Tracking/documenting actions include, for example,\n listing personnel who reviewed and approved sanitization and disposal actions,\n types of media sanitized, specific files stored on the media, sanitization methods\n used, date and time of the sanitization actions, personnel who performed the\n sanitization, verification actions taken, personnel who performed the\n verification, and disposal action taken. Organizations verify that the\n sanitization of the media was effective prior to disposal.", - "links": [ - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "mp-6.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(1)[1]" - } - ], - "prose": "reviews media sanitization and disposal actions;" - }, - { - "id": "mp-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(1)[2]" - } - ], - "prose": "approves media sanitization and disposal actions;" - }, - { - "id": "mp-6.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(1)[3]" - } - ], - "prose": "tracks media sanitization and disposal actions;" - }, - { - "id": "mp-6.1_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(1)[4]" - } - ], - "prose": "documents media sanitization and disposal actions; and" - }, - { - "id": "mp-6.1_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(1)[5]" - } - ], - "prose": "verifies media sanitization and disposal actions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nmedia sanitization and disposal records\\n\\nreview records for media sanitization and disposal actions\\n\\napprovals for media sanitization and disposal actions\\n\\ntracking records\\n\\nverification records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media sanitization and\n disposal responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - }, - { - "id": "mp-6.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "parameters": [ - { - "id": "mp-6.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every six (6) months" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MP-6(2)" - }, - { - "name": "sort-id", - "value": "mp-06.02" - } - ], - "parts": [ - { - "id": "mp-6.2_smt", - "name": "statement", - "prose": "The organization tests sanitization equipment and procedures {{ mp-6.2_prm_1 }} to verify that the intended sanitization is being\n achieved.", - "parts": [ - { - "id": "mp-6.2_fr", - "name": "item", - "title": "MP-6 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-6.2_fr_gdn.a", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "Equipment and procedures may be tested or validated for effectiveness" - } - ] - } - ] - }, - { - "id": "mp-6.2_gdn", - "name": "guidance", - "prose": "Testing of sanitization equipment and procedures may be conducted by qualified and\n authorized external entities (e.g., other federal agencies or external service\n providers)." - }, - { - "id": "mp-6.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(2)[1]" - } - ], - "prose": "defines the frequency for testing sanitization equipment and procedures to\n verify that the intended sanitization is being achieved; and" - }, - { - "id": "mp-6.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(2)[2]" - } - ], - "prose": "tests sanitization equipment and procedures with the organization-defined\n frequency to verify that the intended sanitization is being achieved." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nprocedures addressing testing of media sanitization equipment\\n\\nresults of media sanitization equipment and procedures testing\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media sanitization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - }, - { - "id": "mp-6.3", - "class": "SP800-53-enhancement", - "title": "Nondestructive Techniques", - "parameters": [ - { - "id": "mp-6.3_prm_1", - "label": "organization-defined circumstances requiring sanitization of portable storage\n devices" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-6(3)" - }, - { - "name": "sort-id", - "value": "mp-06.03" - } - ], - "parts": [ - { - "id": "mp-6.3_smt", - "name": "statement", - "prose": "The organization applies nondestructive sanitization techniques to portable\n storage devices prior to connecting such devices to the information system under\n the following circumstances: {{ mp-6.3_prm_1 }}." - }, - { - "id": "mp-6.3_gdn", - "name": "guidance", - "prose": "This control enhancement applies to digital media containing classified\n information and Controlled Unclassified Information (CUI). Portable storage\n devices can be the source of malicious code insertions into organizational\n information systems. Many of these devices are obtained from unknown and\n potentially untrustworthy sources and may contain malicious code that can be\n readily transferred to information systems through USB ports or other entry\n portals. While scanning such storage devices is always recommended, sanitization\n provides additional assurance that the devices are free of malicious code to\n include code capable of initiating zero-day attacks. Organizations consider\n nondestructive sanitization of portable storage devices when such devices are\n first purchased from the manufacturer or vendor prior to initial use or when\n organizations lose a positive chain of custody for the devices.", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "mp-6.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(3)[1]" - } - ], - "prose": "defines circumstances requiring sanitization of portable storage devices;\n and" - }, - { - "id": "mp-6.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(3)[2]" - } - ], - "prose": "applies nondestructive sanitization techniques to portable storage devices\n prior to connecting such devices to the information system under\n organization-defined circumstances requiring sanitization of portable storage\n devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nlist of circumstances requiring sanitization of portable storage devices\\n\\nmedia sanitization records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media sanitization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization of portable storage devices\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "parameters": [ - { - "id": "mp-7_prm_1" - }, - { - "id": "mp-7_prm_2", - "label": "organization-defined types of information system media" - }, - { - "id": "mp-7_prm_3", - "label": "organization-defined information systems or system components" - }, - { - "id": "mp-7_prm_4", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-7" - }, - { - "name": "sort-id", - "value": "mp-07" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "prose": "The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}." - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "mp-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1]" - } - ], - "prose": "defines types of information system media to be:", - "parts": [ - { - "id": "mp-7_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][a]" - } - ], - "prose": "restricted on information systems or system components; or" - }, - { - "id": "mp-7_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][b]" - } - ], - "prose": "prohibited from use on information systems or system components;" - } - ] - }, - { - "id": "mp-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2]" - } - ], - "prose": "defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:", - "parts": [ - { - "id": "mp-7_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][a]" - } - ], - "prose": "restricted; or" - }, - { - "id": "mp-7_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][b]" - } - ], - "prose": "prohibited;" - } - ] - }, - { - "id": "mp-7_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-7[3]" - } - ], - "prose": "defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and" - }, - { - "id": "mp-7_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-7[4]" - } - ], - "prose": "restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components" - } - ] - } - ], - "controls": [ - { - "id": "mp-7.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Use Without Owner", - "properties": [ - { - "name": "label", - "value": "MP-7(1)" - }, - { - "name": "sort-id", - "value": "mp-07.01" - } - ], - "parts": [ - { - "id": "mp-7.1_smt", - "name": "statement", - "prose": "The organization prohibits the use of portable storage devices in organizational\n information systems when such devices have no identifiable owner." - }, - { - "id": "mp-7.1_gdn", - "name": "guidance", - "prose": "Requiring identifiable owners (e.g., individuals, organizations, or projects) for\n portable storage devices reduces the risk of using such technologies by allowing\n organizations to assign responsibility and accountability for addressing known\n vulnerabilities in the devices (e.g., malicious code insertion).", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "mp-7.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization prohibits the use of portable storage devices in\n organizational information systems when such devices have no identifiable owner.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\\n\\nautomated mechanisms prohibiting use of media on information systems or system\n components" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Physical and Environmental Protection Policy and Procedures", - "parameters": [ - { - "id": "pe-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "pe-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-1" - }, - { - "name": "sort-id", - "value": "pe-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pe-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Physical and environmental protection policy {{ pe-1_prm_2 }};\n and" - }, - { - "id": "pe-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Physical and environmental protection procedures {{ pe-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pe-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pe-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(1)[1]" - } - ], - "prose": "develops and documents a physical and environmental protection policy that\n addresses:", - "parts": [ - { - "id": "pe-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pe-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pe-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pe-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pe-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pe-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pe-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pe-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;" - }, - { - "id": "pe-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-1(a)(1)[3]" - } - ], - "prose": "disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "pe-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)" - } - ], - "parts": [ - { - "id": "pe-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;" - }, - { - "id": "pe-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pe-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pe-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(1)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection policy;" - }, - { - "id": "pe-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "pe-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(2)" - } - ], - "parts": [ - { - "id": "pe-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection procedures; and" - }, - { - "id": "pe-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "parameters": [ - { - "id": "pe-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every ninety (90) days" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-2" - }, - { - "name": "sort-id", - "value": "pe-02" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issues authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.", - "links": [ - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "pe-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)" - } - ], - "parts": [ - { - "id": "pe-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-2(a)[1]" - } - ], - "prose": "develops a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(a)[2]" - } - ], - "prose": "approves a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-2(a)[3]" - } - ], - "prose": "maintains a list of individuals with authorized access to the facility where\n the information system resides;" - } - ] - }, - { - "id": "pe-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(b)" - } - ], - "prose": "issues authorization credentials for facility access;" - }, - { - "id": "pe-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(c)" - } - ], - "parts": [ - { - "id": "pe-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-2(c)[1]" - } - ], - "prose": "defines the frequency to review the access list detailing authorized facility\n access by individuals;" - }, - { - "id": "pe-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(c)[2]" - } - ], - "prose": "reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "pe-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(d)" - } - ], - "prose": "removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations" - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "parameters": [ - { - "id": "pe-3_prm_1", - "label": "organization-defined entry/exit points to the facility where the information\n system resides" - }, - { - "id": "pe-3_prm_2", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - { - "id": "pe-3_prm_3", - "depends-on": "pe-3_prm_2", - "label": "organization-defined physical access control systems/devices", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices" - } - ] - }, - { - "id": "pe-3_prm_4", - "label": "organization-defined entry/exit points" - }, - { - "id": "pe-3_prm_5", - "label": "organization-defined security safeguards" - }, - { - "id": "pe-3_prm_6", - "label": "organization-defined circumstances requiring visitor escorts and\n monitoring", - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - { - "id": "pe-3_prm_7", - "label": "organization-defined physical access devices" - }, - { - "id": "pe-3_prm_8", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "pe-3_prm_9", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-3" - }, - { - "name": "sort-id", - "value": "pe-03" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - }, - { - "href": "#398e33fd-f404-4e5c-b90e-2d50d3181244", - "rel": "reference", - "text": "ICD 705" - }, - { - "href": "#61081e7f-041d-4033-96a7-44a439071683", - "rel": "reference", - "text": "DoD Instruction 5200.39" - }, - { - "href": "#dd2f5acd-08f1-435a-9837-f8203088dc1a", - "rel": "reference", - "text": "Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces physical access authorizations at {{ pe-3_prm_1 }} by;", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Verifying individual access authorizations before granting access to the\n facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintains physical access audit logs for {{ pe-3_prm_4 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secures keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#pe-5", - "rel": "related", - "text": "PE-5" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "pe-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)" - } - ], - "parts": [ - { - "id": "pe-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(a)[1]" - } - ], - "prose": "defines entry/exit points to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(a)[2]" - } - ], - "prose": "enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:", - "parts": [ - { - "id": "pe-3.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](1)" - } - ], - "prose": "verifying individual access authorizations before granting access to the\n facility;" - }, - { - "id": "pe-3.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(a)[2](2)" - } - ], - "parts": [ - { - "id": "pe-3.a.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[a]" - } - ], - "prose": "defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b]" - } - ], - "prose": "using one or more of the following ways to control ingress/egress to the\n facility:", - "parts": [ - { - "id": "pe-3.a.2_obj.2.b.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][1]" - } - ], - "prose": "organization-defined physical access control systems/devices;\n and/or" - }, - { - "id": "pe-3.a.2_obj.2.b.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][2]" - } - ], - "prose": "guards;" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(b)" - } - ], - "parts": [ - { - "id": "pe-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(b)[1]" - } - ], - "prose": "defines entry/exit points for which physical access audit logs are to be\n maintained;" - }, - { - "id": "pe-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(b)[2]" - } - ], - "prose": "maintains physical access audit logs for organization-defined entry/exit\n points;" - } - ] - }, - { - "id": "pe-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(c)" - } - ], - "parts": [ - { - "id": "pe-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(c)[1]" - } - ], - "prose": "defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;" - }, - { - "id": "pe-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(c)[2]" - } - ], - "prose": "provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;" - } - ] - }, - { - "id": "pe-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)" - } - ], - "parts": [ - { - "id": "pe-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(d)[1]" - } - ], - "prose": "defines circumstances requiring visitor:", - "parts": [ - { - "id": "pe-3.d_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][a]" - } - ], - "prose": "escorts;" - }, - { - "id": "pe-3.d_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][b]" - } - ], - "prose": "monitoring;" - } - ] - }, - { - "id": "pe-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(d)[2]" - } - ], - "prose": "in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:", - "parts": [ - { - "id": "pe-3.d_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][a]" - } - ], - "prose": "escorts visitors;" - }, - { - "id": "pe-3.d_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][b]" - } - ], - "prose": "monitors visitor activities;" - } - ] - } - ] - }, - { - "id": "pe-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)" - } - ], - "parts": [ - { - "id": "pe-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[1]" - } - ], - "prose": "secures keys;" - }, - { - "id": "pe-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[2]" - } - ], - "prose": "secures combinations;" - }, - { - "id": "pe-3.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[3]" - } - ], - "prose": "secures other physical access devices;" - } - ] - }, - { - "id": "pe-3.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)" - } - ], - "parts": [ - { - "id": "pe-3.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(f)[1]" - } - ], - "prose": "defines physical access devices to be inventoried;" - }, - { - "id": "pe-3.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(f)[2]" - } - ], - "prose": "defines the frequency to inventory organization-defined physical access\n devices;" - }, - { - "id": "pe-3.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(f)[3]" - } - ], - "prose": "inventories the organization-defined physical access devices with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pe-3.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)" - } - ], - "parts": [ - { - "id": "pe-3.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(g)[1]" - } - ], - "prose": "defines the frequency to change combinations and keys; and" - }, - { - "id": "pe-3.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(g)[2]" - } - ], - "prose": "changes combinations and keys with the organization-defined frequency and/or\n when:", - "parts": [ - { - "id": "pe-3.g_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][a]" - } - ], - "prose": "keys are lost;" - }, - { - "id": "pe-3.g_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][b]" - } - ], - "prose": "combinations are compromised;" - }, - { - "id": "pe-3.g_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][c]" - } - ], - "prose": "individuals are transferred or terminated." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices" - } - ] - } - ], - "controls": [ - { - "id": "pe-3.1", - "class": "SP800-53-enhancement", - "title": "Information System Access", - "parameters": [ - { - "id": "pe-3.1_prm_1", - "label": "organization-defined physical spaces containing one or more components of the\n information system" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-3(1)" - }, - { - "name": "sort-id", - "value": "pe-03.01" - } - ], - "parts": [ - { - "id": "pe-3.1_smt", - "name": "statement", - "prose": "The organization enforces physical access authorizations to the information system\n in addition to the physical access controls for the facility at {{ pe-3.1_prm_1 }}." - }, - { - "id": "pe-3.1_gdn", - "name": "guidance", - "prose": "This control enhancement provides additional physical security for those areas\n within facilities where there is a concentration of information system components\n (e.g., server rooms, media storage areas, data and communications centers).", - "links": [ - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "pe-3.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-3.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(1)[1]" - } - ], - "prose": "defines physical spaces containing one or more components of the information\n system; and" - }, - { - "id": "pe-3.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(1)[2]" - } - ], - "prose": "enforces physical access authorizations to the information system in addition\n to the physical access controls for the facility at organization-defined\n physical spaces containing one or more components of the information\n system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nphysical access control logs or records\\n\\nphysical access control devices\\n\\naccess authorizations\\n\\naccess credentials\\n\\ninformation system entry and exit points\\n\\nlist of areas within the facility containing concentrations of information\n system components or information system components requiring additional\n physical protection\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control to the information\n system/components\\n\\nautomated mechanisms supporting and/or implementing physical access control for\n facility areas containing information system components" - } - ] - } - ] - } - ] - }, - { - "id": "pe-4", - "class": "SP800-53", - "title": "Access Control for Transmission Medium", - "parameters": [ - { - "id": "pe-4_prm_1", - "label": "organization-defined information system distribution and transmission\n lines" - }, - { - "id": "pe-4_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-4" - }, - { - "name": "sort-id", - "value": "pe-04" - } - ], - "links": [ - { - "href": "#06dff0ea-3848-4945-8d91-e955ee69f05d", - "rel": "reference", - "text": "NSTISSI No. 7003" - } - ], - "parts": [ - { - "id": "pe-4_smt", - "name": "statement", - "prose": "The organization controls physical access to {{ pe-4_prm_1 }} within\n organizational facilities using {{ pe-4_prm_2 }}." - }, - { - "id": "pe-4_gdn", - "name": "guidance", - "prose": "Physical security safeguards applied to information system distribution and\n transmission lines help to prevent accidental damage, disruption, and physical\n tampering. In addition, physical safeguards may be necessary to help prevent\n eavesdropping or in transit modification of unencrypted transmissions. Security\n safeguards to control physical access to system distribution and transmission lines\n include, for example: (i) locked wiring closets; (ii) disconnected or locked spare\n jacks; and/or (iii) protection of cabling by conduit or cable trays.", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-5", - "rel": "related", - "text": "PE-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "pe-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-4[1]" - } - ], - "prose": "defines information system distribution and transmission lines requiring physical\n access controls;" - }, - { - "id": "pe-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-4[2]" - } - ], - "prose": "defines security safeguards to be employed to control physical access to\n organization-defined information system distribution and transmission lines within\n organizational facilities; and" - }, - { - "id": "pe-4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-4[3]" - } - ], - "prose": "controls physical access to organization-defined information system distribution\n and transmission lines within organizational facilities using organization-defined\n security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing access control for transmission medium\\n\\ninformation system design documentation\\n\\nfacility communications and wiring diagrams\\n\\nlist of physical security safeguards applied to information system distribution\n and transmission lines\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to distribution and transmission\n lines\\n\\nautomated mechanisms/security safeguards supporting and/or implementing access\n control to distribution and transmission lines" - } - ] - } - ] - }, - { - "id": "pe-5", - "class": "SP800-53", - "title": "Access Control for Output Devices", - "properties": [ - { - "name": "label", - "value": "PE-5" - }, - { - "name": "sort-id", - "value": "pe-05" - } - ], - "parts": [ - { - "id": "pe-5_smt", - "name": "statement", - "prose": "The organization controls physical access to information system output devices to\n prevent unauthorized individuals from obtaining the output." - }, - { - "id": "pe-5_gdn", - "name": "guidance", - "prose": "Controlling physical access to output devices includes, for example, placing output\n devices in locked rooms or other secured areas and allowing access to authorized\n individuals only, and placing output devices in locations that can be monitored by\n organizational personnel. Monitors, printers, copiers, scanners, facsimile machines,\n and audio devices are examples of information system output devices.", - "links": [ - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#pe-18", - "rel": "related", - "text": "PE-18" - } - ] - }, - { - "id": "pe-5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization controls physical access to information system output\n devices to prevent unauthorized individuals from obtaining the output. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing access control for display medium\\n\\nfacility layout of information system components\\n\\nactual displays from information system components\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to output devices\\n\\nautomated mechanisms supporting and/or implementing access control to output\n devices" - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "parameters": [ - { - "id": "pe-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "pe-6_prm_2", - "label": "organization-defined events or potential indications of events" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-6" - }, - { - "name": "sort-id", - "value": "pe-06" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "pe-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(a)" - } - ], - "prose": "monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)" - } - ], - "parts": [ - { - "id": "pe-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(b)[1]" - } - ], - "prose": "defines the frequency to review physical access logs;" - }, - { - "id": "pe-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(b)[2]" - } - ], - "prose": "defines events or potential indication of events requiring physical access logs\n to be reviewed;" - }, - { - "id": "pe-6.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(b)[3]" - } - ], - "prose": "reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and" - } - ] - }, - { - "id": "pe-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-6(c)" - } - ], - "prose": "coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs" - } - ] - } - ], - "controls": [ - { - "id": "pe-6.1", - "class": "SP800-53-enhancement", - "title": "Intrusion Alarms / Surveillance Equipment", - "properties": [ - { - "name": "label", - "value": "PE-6(1)" - }, - { - "name": "sort-id", - "value": "pe-06.01" - } - ], - "parts": [ - { - "id": "pe-6.1_smt", - "name": "statement", - "prose": "The organization monitors physical intrusion alarms and surveillance\n equipment." - }, - { - "id": "pe-6.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization monitors physical intrusion alarms and surveillance\n equipment. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical intrusion alarms and\n surveillance equipment\\n\\nautomated mechanisms supporting and/or implementing physical access\n monitoring\\n\\nautomated mechanisms supporting and/or implementing physical intrusion alarms\n and surveillance equipment" - } - ] - } - ] - }, - { - "id": "pe-6.4", - "class": "SP800-53-enhancement", - "title": "Monitoring Physical Access to Information Systems", - "parameters": [ - { - "id": "pe-6.4_prm_1", - "label": "organization-defined physical spaces containing one or more components of the\n information system" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-6(4)" - }, - { - "name": "sort-id", - "value": "pe-06.04" - } - ], - "parts": [ - { - "id": "pe-6.4_smt", - "name": "statement", - "prose": "The organization monitors physical access to the information system in addition to\n the physical access monitoring of the facility as {{ pe-6.4_prm_1 }}." - }, - { - "id": "pe-6.4_gdn", - "name": "guidance", - "prose": "This control enhancement provides additional monitoring for those areas within\n facilities where there is a concentration of information system components (e.g.,\n server rooms, media storage areas, communications centers).", - "links": [ - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "pe-6.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-6.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(4)[1]" - } - ], - "prose": "defines physical spaces containing one or more components of the information\n system; and" - }, - { - "id": "pe-6.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(4)[2]" - } - ], - "prose": "monitors physical access to the information system in addition to the physical\n access monitoring of the facility at organization-defined physical spaces\n containing one or more components of the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nphysical access control logs or records\\n\\nphysical access control devices\\n\\naccess authorizations\\n\\naccess credentials\\n\\nlist of areas within the facility containing concentrations of information\n system components or information system components requiring additional\n physical access monitoring\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access to the information\n system\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\n for facility areas containing information system components" - } - ] - } - ] - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "parameters": [ - { - "id": "pe-8_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - { - "id": "pe-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-8" - }, - { - "name": "sort-id", - "value": "pe-08" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews visitor access records {{ pe-8_prm_2 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas." - }, - { - "id": "pe-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(a)" - } - ], - "parts": [ - { - "id": "pe-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-8(a)[1]" - } - ], - "prose": "defines the time period to maintain visitor access records to the facility\n where the information system resides;" - }, - { - "id": "pe-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-8(a)[2]" - } - ], - "prose": "maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;" - } - ] - }, - { - "id": "pe-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(b)" - } - ], - "parts": [ - { - "id": "pe-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-8(b)[1]" - } - ], - "prose": "defines the frequency to review visitor access records; and" - }, - { - "id": "pe-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-8(b)[2]" - } - ], - "prose": "reviews visitor access records with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records" - } - ] - } - ], - "controls": [ - { - "id": "pe-8.1", - "class": "SP800-53-enhancement", - "title": "Automated Records Maintenance / Review", - "properties": [ - { - "name": "label", - "value": "PE-8(1)" - }, - { - "name": "sort-id", - "value": "pe-08.01" - } - ], - "parts": [ - { - "id": "pe-8.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to facilitate the maintenance and\n review of visitor access records." - }, - { - "id": "pe-8.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to facilitate the\n maintenance and review of visitor access records. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nautomated mechanisms supporting management of visitor access records\\n\\nvisitor access control logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access\n records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records" - } - ] - } - ] - } - ] - }, - { - "id": "pe-9", - "class": "SP800-53", - "title": "Power Equipment and Cabling", - "properties": [ - { - "name": "label", - "value": "PE-9" - }, - { - "name": "sort-id", - "value": "pe-09" - } - ], - "parts": [ - { - "id": "pe-9_smt", - "name": "statement", - "prose": "The organization protects power equipment and power cabling for the information\n system from damage and destruction." - }, - { - "id": "pe-9_gdn", - "name": "guidance", - "prose": "Organizations determine the types of protection necessary for power equipment and\n cabling employed at different locations both internal and external to organizational\n facilities and environments of operation. This includes, for example, generators and\n power cabling outside of buildings, internal cabling and uninterruptable power\n sources within an office or data center, and power sources for self-contained\n entities such as vehicles and satellites.", - "links": [ - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - } - ] - }, - { - "id": "pe-9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects power equipment and power cabling for the\n information system from damage and destruction. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing power equipment/cabling protection\\n\\nfacilities housing power equipment/cabling\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for protecting power\n equipment/cabling\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of power\n equipment/cabling" - } - ] - } - ] - }, - { - "id": "pe-10", - "class": "SP800-53", - "title": "Emergency Shutoff", - "parameters": [ - { - "id": "pe-10_prm_1", - "label": "organization-defined location by information system or system component" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-10" - }, - { - "name": "sort-id", - "value": "pe-10" - } - ], - "parts": [ - { - "id": "pe-10_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides the capability of shutting off power to the information system or\n individual system components in emergency situations;" - }, - { - "id": "pe-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Places emergency shutoff switches or devices in {{ pe-10_prm_1 }}\n to facilitate safe and easy access for personnel; and" - }, - { - "id": "pe-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protects emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "id": "pe-10_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.", - "links": [ - { - "href": "#pe-15", - "rel": "related", - "text": "PE-15" - } - ] - }, - { - "id": "pe-10_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-10(a)" - } - ], - "prose": "provides the capability of shutting off power to the information system or\n individual system components in emergency situations;" - }, - { - "id": "pe-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-10(b)" - } - ], - "parts": [ - { - "id": "pe-10.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-10(b)[1]" - } - ], - "prose": "defines the location of emergency shutoff switches or devices by information\n system or system component;" - }, - { - "id": "pe-10.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-10(b)[2]" - } - ], - "prose": "places emergency shutoff switches or devices in the organization-defined\n location by information system or system component to facilitate safe and easy\n access for personnel; and" - } - ] - }, - { - "id": "pe-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-10(c)" - } - ], - "prose": "protects emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing power source emergency shutoff\\n\\nsecurity plan\\n\\nemergency shutoff controls or switches\\n\\nlocations housing emergency shutoff switches and devices\\n\\nsecurity safeguards protecting emergency power shutoff capability from\n unauthorized activation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency power shutoff\n capability (both implementing and using the capability)\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency power shutoff" - } - ] - } - ] - }, - { - "id": "pe-11", - "class": "SP800-53", - "title": "Emergency Power", - "parameters": [ - { - "id": "pe-11_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-11" - }, - { - "name": "sort-id", - "value": "pe-11" - } - ], - "parts": [ - { - "id": "pe-11_smt", - "name": "statement", - "prose": "The organization provides a short-term uninterruptible power supply to facilitate\n {{ pe-11_prm_1 }} in the event of a primary power source loss." - }, - { - "id": "pe-11_gdn", - "name": "guidance", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-11_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization provides a short-term uninterruptible power supply to\n facilitate one or more of the following in the event of a primary power source loss: ", - "parts": [ - { - "id": "pe-11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-11[1]" - } - ], - "prose": "an orderly shutdown of the information system; and/or" - }, - { - "id": "pe-11_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-11[2]" - } - ], - "prose": "transition of the information system to long-term alternate power." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency power\\n\\nuninterruptible power supply\\n\\nuninterruptible power supply documentation\\n\\nuninterruptible power supply test records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency power and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing uninterruptible power\n supply\\n\\nthe uninterruptable power supply" - } - ] - } - ], - "controls": [ - { - "id": "pe-11.1", - "class": "SP800-53-enhancement", - "title": "Long-term Alternate Power Supply - Minimal Operational Capability", - "properties": [ - { - "name": "label", - "value": "PE-11(1)" - }, - { - "name": "sort-id", - "value": "pe-11.01" - } - ], - "parts": [ - { - "id": "pe-11.1_smt", - "name": "statement", - "prose": "The organization provides a long-term alternate power supply for the information\n system that is capable of maintaining minimally required operational capability in\n the event of an extended loss of the primary power source." - }, - { - "id": "pe-11.1_gdn", - "name": "guidance", - "prose": "This control enhancement can be satisfied, for example, by the use of a secondary\n commercial power supply or other external power supply. Long-term alternate power\n supplies for the information system can be either manually or automatically\n activated." - }, - { - "id": "pe-11.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization provides a long-term alternate power supply for the\n information system that is capable of maintaining minimally required operational\n capability in the event of an extended loss of the primary power source. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency power\\n\\nalternate power supply\\n\\nalternate power supply documentation\\n\\nalternate power supply test records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency power and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing alternate power supply\\n\\nthe alternate power supply" - } - ] - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "properties": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "pe-12" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-12_obj", - "name": "objective", - "prose": "Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ", - "parts": [ - { - "id": "pe-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-12[1]" - } - ], - "prose": "activates in the event of a power outage or disruption; and" - }, - { - "id": "pe-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12[2]" - } - ], - "prose": "covers emergency exits and evacuation routes within the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency lighting\n capability" - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "properties": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "pe-13" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors." - }, - { - "id": "pe-13_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[1]" - } - ], - "prose": "employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and" - }, - { - "id": "pe-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[2]" - } - ], - "prose": "maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems" - } - ] - } - ], - "controls": [ - { - "id": "pe-13.1", - "class": "SP800-53-enhancement", - "title": "Detection Devices / Systems", - "parameters": [ - { - "id": "pe-13.1_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "service provider building maintenance/physical security personnel" - } - ] - }, - { - "id": "pe-13.1_prm_2", - "label": "organization-defined emergency responders", - "constraints": [ - { - "detail": "service provider emergency responders with incident response responsibilities" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-13(1)" - }, - { - "name": "sort-id", - "value": "pe-13.01" - } - ], - "parts": [ - { - "id": "pe-13.1_smt", - "name": "statement", - "prose": "The organization employs fire detection devices/systems for the information system\n that activate automatically and notify {{ pe-13.1_prm_1 }} and\n {{ pe-13.1_prm_2 }} in the event of a fire." - }, - { - "id": "pe-13.1_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders in\n the event that individuals on the notification list must have appropriate access\n authorizations and/or clearances, for example, to obtain access to facilities\n where classified operations are taking place or where there are information\n systems containing classified information." - }, - { - "id": "pe-13.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(1)[1]" - } - ], - "prose": "defines personnel or roles to be notified in the event of a fire;" - }, - { - "id": "pe-13.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(1)[2]" - } - ], - "prose": "defines emergency responders to be notified in the event of a fire;" - }, - { - "id": "pe-13.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(1)[3]" - } - ], - "prose": "employs fire detection devices/systems for the information system that, in the\n event of a fire,:", - "parts": [ - { - "id": "pe-13.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(1)[3][a]" - } - ], - "prose": "activate automatically;" - }, - { - "id": "pe-13.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(1)[3][b]" - } - ], - "prose": "notify organization-defined personnel or roles; and" - }, - { - "id": "pe-13.1_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(1)[3][c]" - } - ], - "prose": "notify organization-defined emergency responders." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\nalerts/notifications of fire events\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for notifying appropriate\n personnel, roles, and emergency responders of fires\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire detection\n devices/systems\\n\\nactivation of fire detection devices/systems (simulated)\\n\\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.2", - "class": "SP800-53-enhancement", - "title": "Suppression Devices / Systems", - "parameters": [ - { - "id": "pe-13.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-13.2_prm_2", - "label": "organization-defined emergency responders" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-13(2)" - }, - { - "name": "sort-id", - "value": "pe-13.02" - } - ], - "parts": [ - { - "id": "pe-13.2_smt", - "name": "statement", - "prose": "The organization employs fire suppression devices/systems for the information\n system that provide automatic notification of any activation to {{ pe-13.2_prm_1 }} and {{ pe-13.2_prm_2 }}." - }, - { - "id": "pe-13.2_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders in\n the event that individuals on the notification list must have appropriate access\n authorizations and/or clearances, for example, to obtain access to facilities\n where classified operations are taking place or where there are information\n systems containing classified information." - }, - { - "id": "pe-13.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(2)[1]" - } - ], - "prose": "defines personnel or roles to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;" - }, - { - "id": "pe-13.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(2)[2]" - } - ], - "prose": "defines emergency responders to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;" - }, - { - "id": "pe-13.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(2)[3]" - } - ], - "prose": "employs fire suppression devices/systems for the information system that\n provide automatic notification of any activation to:", - "parts": [ - { - "id": "pe-13.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(2)[3][a]" - } - ], - "prose": "organization-defined personnel or roles; and" - }, - { - "id": "pe-13.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(2)[3][b]" - } - ], - "prose": "organization-defined emergency responders." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)\\n\\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.3", - "class": "SP800-53-enhancement", - "title": "Automatic Fire Suppression", - "properties": [ - { - "name": "label", - "value": "PE-13(3)" - }, - { - "name": "sort-id", - "value": "pe-13.03" - } - ], - "parts": [ - { - "id": "pe-13.3_smt", - "name": "statement", - "prose": "The organization employs an automatic fire suppression capability for the\n information system when the facility is not staffed on a continuous basis." - }, - { - "id": "pe-13.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs an automatic fire suppression capability for\n the information system when the facility is not staffed on a continuous basis.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)" - } - ] - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Temperature and Humidity Controls", - "parameters": [ - { - "id": "pe-14_prm_1", - "label": "organization-defined acceptable levels", - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - { - "id": "pe-14_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "continuously" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "pe-14" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitors temperature and humidity levels {{ pe-14_prm_2 }}." - }, - { - "id": "pe-14_fr", - "name": "item", - "title": "PE-14(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pe-14_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider measures temperature at server inlets and humidity levels by dew point." - } - ] - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-14_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)" - } - ], - "parts": [ - { - "id": "pe-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(a)[1]" - } - ], - "prose": "defines acceptable temperature levels to be maintained within the facility\n where the information system resides;" - }, - { - "id": "pe-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(a)[2]" - } - ], - "prose": "defines acceptable humidity levels to be maintained within the facility where\n the information system resides;" - }, - { - "id": "pe-14.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(a)[3]" - } - ], - "prose": "maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;" - }, - { - "id": "pe-14.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(a)[4]" - } - ], - "prose": "maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;" - } - ] - }, - { - "id": "pe-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)" - } - ], - "parts": [ - { - "id": "pe-14.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(b)[1]" - } - ], - "prose": "defines the frequency to monitor temperature levels;" - }, - { - "id": "pe-14.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(b)[2]" - } - ], - "prose": "defines the frequency to monitor humidity levels;" - }, - { - "id": "pe-14.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(b)[3]" - } - ], - "prose": "monitors temperature levels with the organization-defined frequency; and" - }, - { - "id": "pe-14.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(b)[4]" - } - ], - "prose": "monitors humidity levels with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels" - } - ] - } - ], - "controls": [ - { - "id": "pe-14.2", - "class": "SP800-53-enhancement", - "title": "Monitoring with Alarms / Notifications", - "properties": [ - { - "name": "label", - "value": "PE-14(2)" - }, - { - "name": "sort-id", - "value": "pe-14.02" - } - ], - "parts": [ - { - "id": "pe-14.2_smt", - "name": "statement", - "prose": "The organization employs temperature and humidity monitoring that provides an\n alarm or notification of changes potentially harmful to personnel or\n equipment." - }, - { - "id": "pe-14.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-14.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(2)[1]" - } - ], - "prose": "employs temperature monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or" - }, - { - "id": "pe-14.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(2)[2]" - } - ], - "prose": "employs temperature monitoring that provides notification of changes\n potentially harmful to personnel or equipment;" - }, - { - "id": "pe-14.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(2)[3]" - } - ], - "prose": "employs humidity monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or" - }, - { - "id": "pe-14.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(2)[4]" - } - ], - "prose": "employs humidity monitoring that provides notification of changes potentially\n harmful to personnel or equipment." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity monitoring\\n\\nfacility housing the information system\\n\\nlogs or records of temperature and humidity monitoring\\n\\nrecords of changes to temperature and humidity levels that generate alarms or\n notifications\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing temperature and humidity\n monitoring" - } - ] - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "properties": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "pe-15" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-15_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ", - "parts": [ - { - "id": "pe-15_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[1]" - } - ], - "prose": "accessible;" - }, - { - "id": "pe-15_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[2]" - } - ], - "prose": "working properly; and" - }, - { - "id": "pe-15_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[3]" - } - ], - "prose": "known to key personnel." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff" - } - ] - } - ], - "controls": [ - { - "id": "pe-15.1", - "class": "SP800-53-enhancement", - "title": "Automation Support", - "parameters": [ - { - "id": "pe-15.1_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "service provider building maintenance/physical security personnel" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-15(1)" - }, - { - "name": "sort-id", - "value": "pe-15.01" - } - ], - "parts": [ - { - "id": "pe-15.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to detect the presence of water in\n the vicinity of the information system and alerts {{ pe-15.1_prm_1 }}." - }, - { - "id": "pe-15.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can include, for example, water detection sensors, alarms,\n and notification systems." - }, - { - "id": "pe-15.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-15.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-15(1)[1]" - } - ], - "prose": "defines personnel or roles to be alerted when the presence of water is detected\n in the vicinity of the information system;" - }, - { - "id": "pe-15.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-15(1)[2]" - } - ], - "prose": "employs automated mechanisms to detect the presence of water in the vicinity of\n the information system; and" - }, - { - "id": "pe-15.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-15(1)[3]" - } - ], - "prose": "alerts organization-defined personnel or roles when the presence of water is\n detected in the vicinity of the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nautomated mechanisms for water shutoff valves\\n\\nautomated mechanisms detecting presence of water in vicinity of information\n system\\n\\nalerts/notifications of water detection in information system facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing water detection capability\n and alerts for the information system" - } - ] - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "parameters": [ - { - "id": "pe-16_prm_1", - "label": "organization-defined types of information system components", - "constraints": [ - { - "detail": "all information system components" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "pe-16" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "prose": "The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items." - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "pe-16_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-16[1]" - } - ], - "prose": "defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;" - }, - { - "id": "pe-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[2]" - } - ], - "prose": "authorizes organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[3]" - } - ], - "prose": "monitors organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[4]" - } - ], - "prose": "controls organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[5]" - } - ], - "prose": "authorizes organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.6", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[6]" - } - ], - "prose": "monitors organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.7", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[7]" - } - ], - "prose": "controls organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.8", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16[8]" - } - ], - "prose": "maintains records of information system components entering the facility; and" - }, - { - "id": "pe-16_obj.9", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16[9]" - } - ], - "prose": "maintains records of information system components exiting the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility" - } - ] - } - ] - }, - { - "id": "pe-17", - "class": "SP800-53", - "title": "Alternate Work Site", - "parameters": [ - { - "id": "pe-17_prm_1", - "label": "organization-defined security controls" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-17" - }, - { - "name": "sort-id", - "value": "pe-17" - } - ], - "links": [ - { - "href": "#5309d4d0-46f8-4213-a749-e7584164e5e8", - "rel": "reference", - "text": "NIST Special Publication 800-46" - } - ], - "parts": [ - { - "id": "pe-17_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs {{ pe-17_prm_1 }} at alternate work sites;" - }, - { - "id": "pe-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assesses as feasible, the effectiveness of security controls at alternate work\n sites; and" - }, - { - "id": "pe-17_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides a means for employees to communicate with information security personnel\n in case of security incidents or problems." - } - ] - }, - { - "id": "pe-17_gdn", - "name": "guidance", - "prose": "Alternate work sites may include, for example, government facilities or private\n residences of employees. While commonly distinct from alternative processing sites,\n alternate work sites may provide readily available alternate locations as part of\n contingency operations. Organizations may define different sets of security controls\n for specific alternate work sites or types of sites depending on the work-related\n activities conducted at those sites. This control supports the contingency planning\n activities of organizations and the federal telework initiative.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-17_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-17(a)" - } - ], - "parts": [ - { - "id": "pe-17.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-17(a)[1]" - } - ], - "prose": "defines security controls to be employed at alternate work sites;" - }, - { - "id": "pe-17.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-17(a)[2]" - } - ], - "prose": "employs organization-defined security controls at alternate work sites;" - } - ] - }, - { - "id": "pe-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-17(b)" - } - ], - "prose": "assesses, as feasible, the effectiveness of security controls at alternate work\n sites; and" - }, - { - "id": "pe-17.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-17(c)" - } - ], - "prose": "provides a means for employees to communicate with information security personnel\n in case of security incidents or problems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing alternate work sites for organizational personnel\\n\\nsecurity plan\\n\\nlist of security controls required for alternate work sites\\n\\nassessments of security controls at alternate work sites\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel approving use of alternate work sites\\n\\norganizational personnel using alternate work sites\\n\\norganizational personnel assessing controls at alternate work sites\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security at alternate work sites\\n\\nautomated mechanisms supporting alternate work sites\\n\\nsecurity controls employed at alternate work sites\\n\\nmeans of communications between personnel at alternate work sites and security\n personnel" - } - ] - } - ] - }, - { - "id": "pe-18", - "class": "SP800-53", - "title": "Location of Information System Components", - "parameters": [ - { - "id": "pe-18_prm_1", - "label": "organization-defined physical and environmental hazards", - "constraints": [ - { - "detail": "physical and environmental hazards identified during threat assessment" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-18" - }, - { - "name": "sort-id", - "value": "pe-18" - } - ], - "parts": [ - { - "id": "pe-18_smt", - "name": "statement", - "prose": "The organization positions information system components within the facility to\n minimize potential damage from {{ pe-18_prm_1 }} and to minimize the\n opportunity for unauthorized access." - }, - { - "id": "pe-18_gdn", - "name": "guidance", - "prose": "Physical and environmental hazards include, for example, flooding, fire, tornados,\n earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse,\n electrical interference, and other forms of incoming electromagnetic radiation. In\n addition, organizations consider the location of physical entry points where\n unauthorized individuals, while not being granted access, might nonetheless be in\n close proximity to information systems and therefore increase the potential for\n unauthorized access to organizational communications (e.g., through the use of\n wireless sniffers or microphones).", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#pe-19", - "rel": "related", - "text": "PE-19" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "pe-18_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-18_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-18[1]" - } - ], - "prose": "defines physical hazards that could result in potential damage to information\n system components within the facility;" - }, - { - "id": "pe-18_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-18[2]" - } - ], - "prose": "defines environmental hazards that could result in potential damage to information\n system components within the facility;" - }, - { - "id": "pe-18_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-18[3]" - } - ], - "prose": "positions information system components within the facility to minimize potential\n damage from organization-defined physical and environmental hazards; and" - }, - { - "id": "pe-18_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-18[4]" - } - ], - "prose": "positions information system components within the facility to minimize the\n opportunity for unauthorized access." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing positioning of information system components\\n\\ndocumentation providing the location and position of information system components\n within the facility\\n\\nlocations housing information system components within the facility\\n\\nlist of physical and environmental hazards with potential to damage information\n system components within the facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for positioning information system\n components\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for positioning information system components" - } - ] - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Security Planning Policy and Procedures", - "parameters": [ - { - "id": "pl-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "pl-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-1" - }, - { - "name": "sort-id", - "value": "pl-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pl-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security planning policy {{ pl-1_prm_2 }}; and" - }, - { - "id": "pl-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security planning procedures {{ pl-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pl-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pl-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(1)[1]" - } - ], - "prose": "develops and documents a planning policy that addresses:", - "parts": [ - { - "id": "pl-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pl-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pl-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pl-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pl-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pl-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pl-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pl-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the planning policy is to be\n disseminated;" - }, - { - "id": "pl-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-1(a)(1)[3]" - } - ], - "prose": "disseminates the planning policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "pl-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)" - } - ], - "parts": [ - { - "id": "pl-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;" - }, - { - "id": "pl-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pl-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pl-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(1)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning policy;" - }, - { - "id": "pl-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current planning policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(2)" - } - ], - "parts": [ - { - "id": "pl-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning procedures;\n and" - }, - { - "id": "pl-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current planning procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security Plan", - "parameters": [ - { - "id": "pl-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-2" - }, - { - "name": "sort-id", - "value": "pl-02" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "properties": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the security plan for the information system {{ pl-2_prm_2 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the security plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-7", - "rel": "related", - "text": "PL-7" - }, - { - "href": "#pm-1", - "rel": "related", - "text": "PM-1" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - } - ] - }, - { - "id": "pl-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)" - } - ], - "prose": "develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(1)" - } - ], - "prose": "is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(2)" - } - ], - "prose": "explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(3)" - } - ], - "prose": "describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(4)" - } - ], - "prose": "provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(5)" - } - ], - "prose": "describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(6)" - } - ], - "prose": "provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(7)" - } - ], - "prose": "identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(8)" - } - ], - "prose": "describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;" - }, - { - "id": "pl-2.a.9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(a)(9)" - } - ], - "prose": "is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(b)" - } - ], - "parts": [ - { - "id": "pl-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(b)[1]" - } - ], - "prose": "defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;" - }, - { - "id": "pl-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(b)[2]" - } - ], - "prose": "distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;" - } - ] - }, - { - "id": "pl-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(c)" - } - ], - "parts": [ - { - "id": "pl-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(c)[1]" - } - ], - "prose": "defines the frequency to review the security plan for the information\n system;" - }, - { - "id": "pl-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(c)[2]" - } - ], - "prose": "reviews the security plan for the information system with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(d)" - } - ], - "prose": "updates the plan to address:", - "parts": [ - { - "id": "pl-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[1]" - } - ], - "prose": "changes to the information system/environment of operation;" - }, - { - "id": "pl-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[2]" - } - ], - "prose": "problems identified during plan implementation;" - }, - { - "id": "pl-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[3]" - } - ], - "prose": "problems identified during security control assessments;" - } - ] - }, - { - "id": "pl-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(e)" - } - ], - "prose": "protects the security plan from unauthorized:", - "parts": [ - { - "id": "pl-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[1]" - } - ], - "prose": "disclosure; and" - }, - { - "id": "pl-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[2]" - } - ], - "prose": "modification." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan" - } - ] - } - ], - "controls": [ - { - "id": "pl-2.3", - "class": "SP800-53-enhancement", - "title": "Plan / Coordinate with Other Organizational Entities", - "parameters": [ - { - "id": "pl-2.3_prm_1", - "label": "organization-defined individuals or groups" - } - ], - "properties": [ - { - "name": "label", - "value": "PL-2(3)" - }, - { - "name": "sort-id", - "value": "pl-02.03" - } - ], - "parts": [ - { - "id": "pl-2.3_smt", - "name": "statement", - "prose": "The organization plans and coordinates security-related activities affecting the\n information system with {{ pl-2.3_prm_1 }} before conducting such\n activities in order to reduce the impact on other organizational entities." - }, - { - "id": "pl-2.3_gdn", - "name": "guidance", - "prose": "Security-related activities include, for example, security assessments, audits,\n hardware and software maintenance, patch management, and contingency plan testing.\n Advance planning and coordination includes emergency and nonemergency (i.e.,\n planned or nonurgent unplanned) situations. The process defined by organizations\n to plan and coordinate security-related activities can be included in security\n plans for information systems or other documents, as appropriate.", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - } - ] - }, - { - "id": "pl-2.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(3)[1]" - } - ], - "prose": "defines individuals or groups with whom security-related activities affecting\n the information system are to be planned and coordinated before conducting such\n activities in order to reduce the impact on other organizational entities;\n and" - }, - { - "id": "pl-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-2(3)[2]" - } - ], - "prose": "plans and coordinates security-related activities affecting the information\n system with organization-defined individuals or groups before conducting such\n activities in order to reduce the impact on other organizational entities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\naccess control policy\\n\\ncontingency planning policy\\n\\nprocedures addressing security-related activity planning for the information\n system\\n\\nsecurity plan for the information system\\n\\ncontingency plan for the information system\\n\\ninformation system design documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational individuals or groups with whom security-related activities are\n to be planned and coordinated\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "parameters": [ - { - "id": "pl-4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PL-4" - }, - { - "name": "sort-id", - "value": "pl-04" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#mp-7", - "rel": "related", - "text": "MP-7" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "pl-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(a)" - } - ], - "parts": [ - { - "id": "pl-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-4(a)[1]" - } - ], - "prose": "establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;" - }, - { - "id": "pl-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(a)[2]" - } - ], - "prose": "makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;" - } - ] - }, - { - "id": "pl-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(b)" - } - ], - "prose": "receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(c)" - } - ], - "parts": [ - { - "id": "pl-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-4(c)[1]" - } - ], - "prose": "defines the frequency to review and update the rules of behavior;" - }, - { - "id": "pl-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(c)[2]" - } - ], - "prose": "reviews and updates the rules of behavior with the organization-defined\n frequency; and" - } - ] - }, - { - "id": "pl-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(d)" - } - ], - "prose": "requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior" - } - ] - } - ], - "controls": [ - { - "id": "pl-4.1", - "class": "SP800-53-enhancement", - "title": "Social Media and Networking Restrictions", - "properties": [ - { - "name": "label", - "value": "PL-4(1)" - }, - { - "name": "sort-id", - "value": "pl-04.01" - } - ], - "parts": [ - { - "id": "pl-4.1_smt", - "name": "statement", - "prose": "The organization includes in the rules of behavior, explicit restrictions on the\n use of social media/networking sites and posting organizational information on\n public websites." - }, - { - "id": "pl-4.1_gdn", - "name": "guidance", - "prose": "This control enhancement addresses rules of behavior related to the use of social\n media/networking sites: (i) when organizational personnel are using such sites for\n official duties or in the conduct of official business; (ii) when organizational\n information is involved in social media/networking transactions; and (iii) when\n personnel are accessing social media/networking sites from organizational\n information systems. Organizations also address specific rules that prevent\n unauthorized entities from obtaining and/or inferring non-public organizational\n information (e.g., system account information, personally identifiable\n information) from social media/networking sites." - }, - { - "id": "pl-4.1_obj", - "name": "objective", - "prose": "Determine if the organization includes the following in the rules of behavior: ", - "parts": [ - { - "id": "pl-4.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(1)[1]" - } - ], - "prose": "explicit restrictions on the use of social media/networking sites; and" - }, - { - "id": "pl-4.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(1)[2]" - } - ], - "prose": "posting organizational information on public websites." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed rules of behavior\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment of rules\n of behavior" - } - ] - } - ] - } - ] - }, - { - "id": "pl-8", - "class": "SP800-53", - "title": "Information Security Architecture", - "parameters": [ - { - "id": "pl-8_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-8" - }, - { - "name": "sort-id", - "value": "pl-08" - } - ], - "parts": [ - { - "id": "pl-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops an information security architecture for the information system that:", - "parts": [ - { - "id": "pl-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Describes the overall philosophy, requirements, and approach to be taken with\n regard to protecting the confidentiality, integrity, and availability of\n organizational information;" - }, - { - "id": "pl-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes how the information security architecture is integrated into and\n supports the enterprise architecture; and" - }, - { - "id": "pl-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describes any information security assumptions about, and dependencies on,\n external services;" - } - ] - }, - { - "id": "pl-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the information security architecture {{ pl-8_prm_1 }} to reflect updates in the enterprise architecture;\n and" - }, - { - "id": "pl-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that planned information security architecture changes are reflected in\n the security plan, the security Concept of Operations (CONOPS), and organizational\n procurements/acquisitions." - }, - { - "id": "pl-8_fr", - "name": "item", - "title": "PL-8(b) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pl-8_fr_gdn.b", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(b) Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7." - } - ] - } - ] - }, - { - "id": "pl-8_gdn", - "name": "guidance", - "prose": "This control addresses actions taken by organizations in the design and development\n of information systems. The information security architecture at the individual\n information system level is consistent with and complements the more global,\n organization-wide information security architecture described in PM-7 that is\n integral to and developed as part of the enterprise architecture. The information\n security architecture includes an architectural description, the placement/allocation\n of security functionality (including security controls), security-related information\n for external interfaces, information being exchanged across the interfaces, and the\n protection mechanisms associated with each interface. In addition, the security\n architecture can include other important security-related information, for example,\n user roles and access privileges assigned to each role, unique security requirements,\n the types of information processed, stored, and transmitted by the information\n system, restoration priorities of information and information system services, and\n any other specific protection needs. In today’s modern architecture, it is becoming\n less common for organizations to control all information resources. There are going\n to be key dependencies on external information services and service providers.\n Describing such dependencies in the information security architecture is important to\n developing a comprehensive mission/business protection strategy. Establishing,\n developing, documenting, and maintaining under configuration control, a baseline\n configuration for organizational information systems is critical to implementing and\n maintaining an effective information security architecture. The development of the\n information security architecture is coordinated with the Senior Agency Official for\n Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to\n support privacy requirements are identified and effectively implemented. PL-8 is\n primarily directed at organizations (i.e., internally focused) to help ensure that\n organizations develop an information security architecture for the information\n system, and that the security architecture is integrated with or tightly coupled to\n the enterprise architecture through the organization-wide information security\n architecture. In contrast, SA-17 is primarily directed at external information\n technology product/system developers and integrators (although SA-17 could be used\n internally within organizations for in-house system development). SA-17, which is\n complementary to PL-8, is selected when organizations outsource the development of\n information systems or information system components to external entities, and there\n is a need to demonstrate/show consistency with the organization’s enterprise\n architecture and information security architecture.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - }, - { - "href": "https://doi.org/10.6028/NIST.SP.800-53r4", - "rel": "related", - "text": "Appendix J" - } - ] - }, - { - "id": "pl-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-8(a)" - } - ], - "prose": "develops an information security architecture for the information system that\n describes:", - "parts": [ - { - "id": "pl-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(a)(1)" - } - ], - "prose": "the overall philosophy, requirements, and approach to be taken with regard to\n protecting the confidentiality, integrity, and availability of organizational\n information;" - }, - { - "id": "pl-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(a)(2)" - } - ], - "prose": "how the information security architecture is integrated into and supports the\n enterprise architecture;" - }, - { - "id": "pl-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(a)(3)" - } - ], - "prose": "any information security assumptions about, and dependencies on, external\n services;" - } - ] - }, - { - "id": "pl-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(b)" - } - ], - "parts": [ - { - "id": "pl-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-8(b)[1]" - } - ], - "prose": "defines the frequency to review and update the information security\n architecture;" - }, - { - "id": "pl-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-8(b)[2]" - } - ], - "prose": "reviews and updates the information security architecture with the\n organization-defined frequency to reflect updates in the enterprise\n architecture;" - } - ] - }, - { - "id": "pl-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-8(c)" - } - ], - "prose": "ensures that planned information security architecture changes are reflected\n in:", - "parts": [ - { - "id": "pl-8.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(c)[1]" - } - ], - "prose": "the security plan;" - }, - { - "id": "pl-8.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(c)[2]" - } - ], - "prose": "the security Concept of Operations (CONOPS); and" - }, - { - "id": "pl-8.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(c)[3]" - } - ], - "prose": "the organizational procurements/acquisitions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing information security architecture development\\n\\nprocedures addressing information security architecture reviews and updates\\n\\nenterprise architecture documentation\\n\\ninformation security architecture documentation\\n\\nsecurity plan for the information system\\n\\nsecurity CONOPS for the information system\\n\\nrecords of information security architecture reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security architecture development\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, reviewing, and updating the information\n security architecture\\n\\nautomated mechanisms supporting and/or implementing the development, review, and\n update of the information security architecture" - } - ] - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Personnel Security Policy and Procedures", - "parameters": [ - { - "id": "ps-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ps-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-1" - }, - { - "name": "sort-id", - "value": "ps-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ps-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Personnel security policy {{ ps-1_prm_2 }}; and" - }, - { - "id": "ps-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Personnel security procedures {{ ps-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ps-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(1)[1]" - } - ], - "prose": "develops and documents an personnel security policy that addresses:", - "parts": [ - { - "id": "ps-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ps-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ps-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ps-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ps-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ps-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ps-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ps-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the personnel security policy is to be\n disseminated;" - }, - { - "id": "ps-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-1(a)(1)[3]" - } - ], - "prose": "disseminates the personnel security policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ps-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)" - } - ], - "parts": [ - { - "id": "ps-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;" - }, - { - "id": "ps-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ps-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ps-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(1)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n policy;" - }, - { - "id": "ps-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current personnel security policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ps-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(2)" - } - ], - "parts": [ - { - "id": "ps-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n procedures; and" - }, - { - "id": "ps-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current personnel security procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "parameters": [ - { - "id": "ps-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-2" - }, - { - "name": "sort-id", - "value": "ps-02" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates position risk designations {{ ps-2_prm_1 }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "ps-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-2(a)" - } - ], - "prose": "assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-2(b)" - } - ], - "prose": "establishes screening criteria for individuals filling those positions;" - }, - { - "id": "ps-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(c)" - } - ], - "parts": [ - { - "id": "ps-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-2(c)[1]" - } - ], - "prose": "defines the frequency to review and update position risk designations; and" - }, - { - "id": "ps-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-2(c)[2]" - } - ], - "prose": "reviews and updates position risk designations with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria" - } - ] - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "parameters": [ - { - "id": "ps-3_prm_1", - "label": "organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening", - "constraints": [ - { - "detail": "for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-3" - }, - { - "name": "sort-id", - "value": "ps-03" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screens individuals prior to authorizing access to the information system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreens individuals according to {{ ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "ps-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-3(a)" - } - ], - "prose": "screens individuals prior to authorizing access to the information system;" - }, - { - "id": "ps-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)" - } - ], - "parts": [ - { - "id": "ps-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(b)[1]" - } - ], - "prose": "defines conditions requiring re-screening;" - }, - { - "id": "ps-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(b)[2]" - } - ], - "prose": "defines the frequency of re-screening where it is so indicated; and" - }, - { - "id": "ps-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(b)[3]" - } - ], - "prose": "re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel screening" - } - ] - } - ], - "controls": [ - { - "id": "ps-3.3", - "class": "SP800-53-enhancement", - "title": "Information with Special Protection Measures", - "parameters": [ - { - "id": "ps-3.3_prm_1", - "label": "organization-defined additional personnel screening criteria", - "constraints": [ - { - "detail": "personnel screening criteria - as required by specific information" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-3(3)" - }, - { - "name": "sort-id", - "value": "ps-03.03" - } - ], - "parts": [ - { - "id": "ps-3.3_smt", - "name": "statement", - "prose": "The organization ensures that individuals accessing an information system\n processing, storing, or transmitting information requiring special protection:", - "parts": [ - { - "id": "ps-3.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have valid access authorizations that are demonstrated by assigned official\n government duties; and" - }, - { - "id": "ps-3.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy {{ ps-3.3_prm_1 }}." - } - ] - }, - { - "id": "ps-3.3_gdn", - "name": "guidance", - "prose": "Organizational information requiring special protection includes, for example,\n Controlled Unclassified Information (CUI) and Sources and Methods Information\n (SAMI). Personnel security criteria include, for example, position sensitivity\n background screening requirements." - }, - { - "id": "ps-3.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ps-3.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(3)(a)" - } - ], - "prose": "ensures that individuals accessing an information system processing, storing,\n or transmitting information requiring special protection have valid access\n authorizations that are demonstrated by assigned official government\n duties;", - "links": [ - { - "href": "#ps-3.3_smt.a", - "rel": "corresp", - "text": "PS-3(3)(a)" - } - ] - }, - { - "id": "ps-3.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(3)(b)" - } - ], - "parts": [ - { - "id": "ps-3.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(3)(b)[1]" - } - ], - "prose": "defines additional personnel screening criteria to be satisfied for\n individuals accessing an information system processing, storing, or\n transmitting information requiring special protection; and" - }, - { - "id": "ps-3.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(3)(b)[2]" - } - ], - "prose": "ensures that individuals accessing an information system processing,\n storing, or transmitting information requiring special protection satisfy\n organization-defined additional personnel screening criteria." - } - ], - "links": [ - { - "href": "#ps-3.3_smt.b", - "rel": "corresp", - "text": "PS-3(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\naccess control policy, procedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nscreening criteria\\n\\nrecords of access authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring valid access authorizations for\n information requiring special protection\\n\\norganizational process for additional personnel screening for information\n requiring special protection" - } - ] - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "parameters": [ - { - "id": "ps-4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "eight (8) hours" - } - ] - }, - { - "id": "ps-4_prm_2", - "label": "organization-defined information security topics" - }, - { - "id": "ps-4_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-4_prm_4", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-4" - }, - { - "name": "sort-id", - "value": "ps-04" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "The organization, upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disables information system access within {{ ps-4_prm_1 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retains access to organizational information and information systems formerly\n controlled by terminated individual; and" - }, - { - "id": "ps-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-4_obj", - "name": "objective", - "prose": "Determine if the organization, upon termination of individual employment,:", - "parts": [ - { - "id": "ps-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(a)" - } - ], - "parts": [ - { - "id": "ps-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(a)[1]" - } - ], - "prose": "defines a time period within which to disable information system access;" - }, - { - "id": "ps-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(a)[2]" - } - ], - "prose": "disables information system access within the organization-defined time\n period;" - } - ] - }, - { - "id": "ps-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(b)" - } - ], - "prose": "terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(c)" - } - ], - "parts": [ - { - "id": "ps-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(c)[1]" - } - ], - "prose": "defines information security topics to be discussed when conducting exit\n interviews;" - }, - { - "id": "ps-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(c)[2]" - } - ], - "prose": "conducts exit interviews that include a discussion of organization-defined\n information security topics;" - } - ] - }, - { - "id": "ps-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(d)" - } - ], - "prose": "retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(e)" - } - ], - "prose": "retains access to organizational information and information systems formerly\n controlled by the terminated individual;" - }, - { - "id": "ps-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)" - } - ], - "parts": [ - { - "id": "ps-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(f)[1]" - } - ], - "prose": "defines personnel or roles to be notified of the termination;" - }, - { - "id": "ps-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(f)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles; and" - }, - { - "id": "ps-4.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(f)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ], - "controls": [ - { - "id": "ps-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Notification", - "parameters": [ - { - "id": "ps-4.2_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "access control personnel responsible for disabling access to the system" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-4(2)" - }, - { - "name": "sort-id", - "value": "ps-04.02" - } - ], - "parts": [ - { - "id": "ps-4.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to notify {{ ps-4.2_prm_1 }} upon termination of an individual." - }, - { - "id": "ps-4.2_gdn", - "name": "guidance", - "prose": "In organizations with a large number of employees, not all personnel who need to\n know about termination actions receive the appropriate notifications—or, if such\n notifications are received, they may not occur in a timely manner. Automated\n mechanisms can be used to send automatic alerts or notifications to specific\n organizational personnel or roles (e.g., management personnel, supervisors,\n personnel security officers, information security officers, systems\n administrators, or information technology administrators) when individuals are\n terminated. Such automatic alerts or notifications can be conveyed in a variety of\n ways, including, for example, telephonically, via electronic mail, via text\n message, or via websites." - }, - { - "id": "ps-4.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ps-4.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(2)[1]" - } - ], - "prose": "defines personnel or roles to be notified upon termination of an individual;\n and" - }, - { - "id": "ps-4.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(2)[2]" - } - ], - "prose": "employs automated mechanisms to notify organization-defined personnel or roles\n upon termination of an individual." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of personnel termination actions\\n\\nautomated notifications of employee terminations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "parameters": [ - { - "id": "ps-5_prm_1", - "label": "organization-defined transfer or reassignment actions" - }, - { - "id": "ps-5_prm_2", - "label": "organization-defined time period following the formal transfer action", - "constraints": [ - { - "detail": "twenty-four (24) hours" - } - ] - }, - { - "id": "ps-5_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-5_prm_4", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "twenty-four (24) hours" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-5" - }, - { - "name": "sort-id", - "value": "ps-05" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - } - ] - }, - { - "id": "ps-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(a)" - } - ], - "prose": "when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:", - "parts": [ - { - "id": "ps-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-5(a)[1]" - } - ], - "prose": "logical access authorizations to information systems;" - }, - { - "id": "ps-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-5(a)[2]" - } - ], - "prose": "physical access authorizations to information systems and facilities;" - } - ] - }, - { - "id": "ps-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)" - } - ], - "parts": [ - { - "id": "ps-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(b)[1]" - } - ], - "prose": "defines transfer or reassignment actions to be initiated following transfer or\n reassignment;" - }, - { - "id": "ps-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(b)[2]" - } - ], - "prose": "defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;" - }, - { - "id": "ps-5.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(b)[3]" - } - ], - "prose": "initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;" - } - ] - }, - { - "id": "ps-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(c)" - } - ], - "prose": "modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;" - }, - { - "id": "ps-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)" - } - ], - "parts": [ - { - "id": "ps-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;" - }, - { - "id": "ps-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(d)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and" - }, - { - "id": "ps-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(d)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "parameters": [ - { - "id": "ps-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ps-6_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually and any time there is a change to the user's level of access" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-6" - }, - { - "name": "sort-id", - "value": "ps-06" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the access agreements {{ ps-6_prm_1 }}; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that individuals requiring access to organizational information and\n information systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - } - ] - }, - { - "id": "ps-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(a)" - } - ], - "prose": "develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(b)" - } - ], - "parts": [ - { - "id": "ps-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(b)[1]" - } - ], - "prose": "defines the frequency to review and update the access agreements;" - }, - { - "id": "ps-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(b)[2]" - } - ], - "prose": "reviews and updates the access agreements with the organization-defined\n frequency;" - } - ] - }, - { - "id": "ps-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)" - } - ], - "parts": [ - { - "id": "ps-6.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-6(c)(1)" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;" - }, - { - "id": "ps-6.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(2)" - } - ], - "parts": [ - { - "id": "ps-6.c.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(c)(2)[1]" - } - ], - "prose": "defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;" - }, - { - "id": "ps-6.c.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-6(c)(2)[2]" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements" - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "Third-party Personnel Security", - "parameters": [ - { - "id": "ps-7_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-7_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "terminations: immediately; transfers: within twenty-four (24) hours" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-7" - }, - { - "name": "sort-id", - "value": "ps-07" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitors provider compliance." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.", - "links": [ - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sa-21", - "rel": "related", - "text": "SA-21" - } - ] - }, - { - "id": "ps-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(a)" - } - ], - "prose": "establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;" - }, - { - "id": "ps-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-7(b)" - } - ], - "prose": "requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(c)" - } - ], - "prose": "documents personnel security requirements;" - }, - { - "id": "ps-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)" - } - ], - "parts": [ - { - "id": "ps-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[2]" - } - ], - "prose": "defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[3]" - } - ], - "prose": "requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and" - } - ] - }, - { - "id": "ps-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-7(e)" - } - ], - "prose": "monitors provider compliance." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance" - } - ] - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "parameters": [ - { - "id": "ps-8_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "at a minimum, the ISSO and/or similar role within the organization" - } - ] - }, - { - "id": "ps-8_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-8" - }, - { - "name": "sort-id", - "value": "ps-08" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(a)" - } - ], - "prose": "employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;" - }, - { - "id": "ps-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)" - } - ], - "parts": [ - { - "id": "ps-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(b)[1]" - } - ], - "prose": "defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;" - }, - { - "id": "ps-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(b)[2]" - } - ], - "prose": "defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and" - }, - { - "id": "ps-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-8(b)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Risk Assessment Policy and Procedures", - "parameters": [ - { - "id": "ra-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ra-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-1" - }, - { - "name": "sort-id", - "value": "ra-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ra-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Risk assessment policy {{ ra-1_prm_2 }}; and" - }, - { - "id": "ra-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Risk assessment procedures {{ ra-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a risk assessment policy that addresses:", - "parts": [ - { - "id": "ra-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ra-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ra-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ra-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ra-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ra-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ra-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ra-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the risk assessment policy is to be\n disseminated;" - }, - { - "id": "ra-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-1(a)(1)[3]" - } - ], - "prose": "disseminates the risk assessment policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ra-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;" - }, - { - "id": "ra-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ra-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ra-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n policy;" - }, - { - "id": "ra-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current risk assessment policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ra-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ra-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n procedures; and" - }, - { - "id": "ra-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current risk assessment procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "risk assessment policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "properties": [ - { - "name": "label", - "value": "RA-2" - }, - { - "name": "sort-id", - "value": "ra-02" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "ra-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-2(a)" - } - ], - "prose": "categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-2(b)" - } - ], - "prose": "documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-2(c)" - } - ], - "prose": "ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "parameters": [ - { - "id": "ra-3_prm_1" - }, - { - "id": "ra-3_prm_2", - "depends-on": "ra-3_prm_1", - "label": "organization-defined document", - "constraints": [ - { - "detail": "security assessment report" - } - ] - }, - { - "id": "ra-3_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - { - "id": "ra-3_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-3_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "RA-3" - }, - { - "name": "sort-id", - "value": "ra-03" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;" - }, - { - "id": "ra-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents risk assessment results in {{ ra-3_prm_1 }};" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews risk assessment results {{ ra-3_prm_3 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Disseminates risk assessment results to {{ ra-3_prm_4 }}; and" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system." - }, - { - "id": "ra-3_fr", - "name": "item", - "title": "RA-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F" - }, - { - "id": "ra-3_fr_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "RA-3 (d) Requirement:" - } - ], - "prose": "Include all Authorizing Officials; for JAB authorizations to include FedRAMP." - } - ] - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.", - "links": [ - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(a)" - } - ], - "prose": "conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:", - "parts": [ - { - "id": "ra-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(a)[1]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(a)[2]" - } - ], - "prose": "the information the system processes, stores, or transmits;" - } - ] - }, - { - "id": "ra-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)" - } - ], - "parts": [ - { - "id": "ra-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(b)[1]" - } - ], - "prose": "defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);" - }, - { - "id": "ra-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(b)[2]" - } - ], - "prose": "documents risk assessment results in one of the following:", - "parts": [ - { - "id": "ra-3.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][a]" - } - ], - "prose": "the security plan;" - }, - { - "id": "ra-3.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][b]" - } - ], - "prose": "the risk assessment report; or" - }, - { - "id": "ra-3.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][c]" - } - ], - "prose": "the organization-defined document;" - } - ] - } - ] - }, - { - "id": "ra-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(c)" - } - ], - "parts": [ - { - "id": "ra-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(c)[1]" - } - ], - "prose": "defines the frequency to review risk assessment results;" - }, - { - "id": "ra-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(c)[2]" - } - ], - "prose": "reviews risk assessment results with the organization-defined frequency;" - } - ] - }, - { - "id": "ra-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(d)" - } - ], - "parts": [ - { - "id": "ra-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(d)[1]" - } - ], - "prose": "defines personnel or roles to whom risk assessment results are to be\n disseminated;" - }, - { - "id": "ra-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(d)[2]" - } - ], - "prose": "disseminates risk assessment results to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)" - } - ], - "parts": [ - { - "id": "ra-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(e)[1]" - } - ], - "prose": "defines the frequency to update the risk assessment;" - }, - { - "id": "ra-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(e)[2]" - } - ], - "prose": "updates the risk assessment:", - "parts": [ - { - "id": "ra-3.e_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][a]" - } - ], - "prose": "with the organization-defined frequency;" - }, - { - "id": "ra-3.e_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][b]" - } - ], - "prose": "whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and" - }, - { - "id": "ra-3.e_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][c]" - } - ], - "prose": "whenever there are other conditions that may impact the security state of\n the system." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Scanning", - "parameters": [ - { - "id": "ra-5_prm_1", - "label": "organization-defined frequency and/or randomly in accordance with\n organization-defined process", - "constraints": [ - { - "detail": "monthly operating system/infrastructure; monthly web applications and databases" - } - ] - }, - { - "id": "ra-5_prm_2", - "label": "organization-defined response times", - "constraints": [ - { - "detail": "high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery" - } - ] - }, - { - "id": "ra-5_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5" - }, - { - "name": "sort-id", - "value": "ra-05" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#15522e92-9192-463d-9646-6a01982db8ca", - "rel": "reference", - "text": "http://cwe.mitre.org" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyzes vulnerability scan reports and results from security control\n assessments;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - }, - { - "id": "ra-5_fr_smt.a", - "name": "item", - "title": "RA-5(a) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (a)Requirement:" - } - ], - "prose": "An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually." - }, - { - "id": "ra-5_fr_smt.e", - "name": "item", - "title": "RA-5(e) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (e)Requirement:" - } - ], - "prose": "To include all Authorizing Officials; for JAB authorizations to include FedRAMP." - }, - { - "id": "ra-5_fr", - "name": "item", - "title": "RA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))" - } - ] - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ra-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(a)[1]" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][a]" - } - ], - "prose": "defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or" - }, - { - "id": "ra-5.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][b]" - } - ], - "prose": "defines the process for conducting random vulnerability scans on the\n information system and hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(a)[2]" - } - ], - "prose": "in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][b]" - } - ], - "prose": "hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(a)[3]" - } - ], - "prose": "when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][b]" - } - ], - "prose": "hosted applications;" - } - ] - } - ] - }, - { - "id": "ra-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)" - } - ], - "prose": "employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(1)" - } - ], - "parts": [ - { - "id": "ra-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[1]" - } - ], - "prose": "enumerating platforms;" - }, - { - "id": "ra-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[2]" - } - ], - "prose": "enumerating software flaws;" - }, - { - "id": "ra-5.b.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[3]" - } - ], - "prose": "enumerating improper configurations;" - } - ] - }, - { - "id": "ra-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(2)" - } - ], - "parts": [ - { - "id": "ra-5.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[1]" - } - ], - "prose": "formatting checklists;" - }, - { - "id": "ra-5.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[2]" - } - ], - "prose": "formatting test procedures;" - } - ] - }, - { - "id": "ra-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(3)" - } - ], - "prose": "measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(c)" - } - ], - "parts": [ - { - "id": "ra-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(c)[1]" - } - ], - "prose": "analyzes vulnerability scan reports;" - }, - { - "id": "ra-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(c)[2]" - } - ], - "prose": "analyzes results from security control assessments;" - } - ] - }, - { - "id": "ra-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(d)" - } - ], - "parts": [ - { - "id": "ra-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(d)[1]" - } - ], - "prose": "defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;" - }, - { - "id": "ra-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(d)[2]" - } - ], - "prose": "remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;" - } - ] - }, - { - "id": "ra-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)" - } - ], - "parts": [ - { - "id": "ra-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(e)[1]" - } - ], - "prose": "defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;" - }, - { - "id": "ra-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(e)[2]" - } - ], - "prose": "shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and" - }, - { - "id": "ra-5.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(e)[3]" - } - ], - "prose": "shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing" - } - ] - } - ], - "controls": [ - { - "id": "ra-5.1", - "class": "SP800-53-enhancement", - "title": "Update Tool Capability", - "properties": [ - { - "name": "label", - "value": "RA-5(1)" - }, - { - "name": "sort-id", - "value": "ra-05.01" - } - ], - "parts": [ - { - "id": "ra-5.1_smt", - "name": "statement", - "prose": "The organization employs vulnerability scanning tools that include the capability\n to readily update the information system vulnerabilities to be scanned." - }, - { - "id": "ra-5.1_gdn", - "name": "guidance", - "prose": "The vulnerabilities to be scanned need to be readily updated as new\n vulnerabilities are discovered, announced, and scanning methods developed. This\n updating process helps to ensure that potential vulnerabilities in the information\n system are identified and addressed as quickly as possible.", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ra-5.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs vulnerability scanning tools that include\n the capability to readily update the information system vulnerabilities to be\n scanned." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.2", - "class": "SP800-53-enhancement", - "title": "Update by Frequency / Prior to New Scan / When Identified", - "parameters": [ - { - "id": "ra-5.2_prm_1", - "constraints": [ - { - "detail": "prior to a new scan" - } - ] - }, - { - "id": "ra-5.2_prm_2", - "depends-on": "ra-5.2_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5(2)" - }, - { - "name": "sort-id", - "value": "ra-05.02" - } - ], - "parts": [ - { - "id": "ra-5.2_smt", - "name": "statement", - "prose": "The organization updates the information system vulnerabilities scanned {{ ra-5.2_prm_1 }}." - }, - { - "id": "ra-5.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-5", - "rel": "related", - "text": "SI-5" - } - ] - }, - { - "id": "ra-5.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(2)[1]" - } - ], - "prose": "defines the frequency to update the information system vulnerabilities\n scanned;" - }, - { - "id": "ra-5.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(2)[2]" - } - ], - "prose": "updates the information system vulnerabilities scanned one or more of the\n following:", - "parts": [ - { - "id": "ra-5.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(2)[2][a]" - } - ], - "prose": "with the organization-defined frequency;" - }, - { - "id": "ra-5.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(2)[2][b]" - } - ], - "prose": "prior to a new scan; and/or" - }, - { - "id": "ra-5.2_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(2)[2][c]" - } - ], - "prose": "when new vulnerabilities are identified and reported." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.3", - "class": "SP800-53-enhancement", - "title": "Breadth / Depth of Coverage", - "properties": [ - { - "name": "label", - "value": "RA-5(3)" - }, - { - "name": "sort-id", - "value": "ra-05.03" - } - ], - "parts": [ - { - "id": "ra-5.3_smt", - "name": "statement", - "prose": "The organization employs vulnerability scanning procedures that can identify the\n breadth and depth of coverage (i.e., information system components scanned and\n vulnerabilities checked)." - }, - { - "id": "ra-5.3_obj", - "name": "objective", - "prose": "Determine if the organization employs vulnerability scanning procedures that can\n identify:", - "parts": [ - { - "id": "ra-5.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(3)[1]" - } - ], - "prose": "the breadth of coverage (i.e., information system components scanned); and" - }, - { - "id": "ra-5.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(3)[2]" - } - ], - "prose": "the depth of coverage (i.e., vulnerabilities checked)." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.4", - "class": "SP800-53-enhancement", - "title": "Discoverable Information", - "parameters": [ - { - "id": "ra-5.4_prm_1", - "label": "organization-defined corrective actions", - "constraints": [ - { - "detail": "notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "RA-5(4)" - }, - { - "name": "sort-id", - "value": "ra-05.04" - } - ], - "parts": [ - { - "id": "ra-5.4_smt", - "name": "statement", - "prose": "The organization determines what information about the information system is\n discoverable by adversaries and subsequently takes {{ ra-5.4_prm_1 }}." - }, - { - "id": "ra-5.4_gdn", - "name": "guidance", - "prose": "Discoverable information includes information that adversaries could obtain\n without directly compromising or breaching the information system, for example, by\n collecting information the system is exposing or by conducting extensive searches\n of the web. Corrective actions can include, for example, notifying appropriate\n organizational personnel, removing designated information, or changing the\n information system to make designated information less relevant or attractive to\n adversaries.", - "links": [ - { - "href": "#au-13", - "rel": "related", - "text": "AU-13" - } - ] - }, - { - "id": "ra-5.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(4)[1]" - } - ], - "prose": "defines corrective actions to be taken if information about the information\n system is discoverable by adversaries;" - }, - { - "id": "ra-5.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(4)[2]" - } - ], - "prose": "determines what information about the information system is discoverable by\n adversaries; and" - }, - { - "id": "ra-5.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(4)[3]" - } - ], - "prose": "subsequently takes organization-defined corrective actions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity assessment report\\n\\npenetration test results\\n\\nvulnerability scanning results\\n\\nrisk assessment report\\n\\nrecords of corrective actions taken\\n\\nincident response records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning and/or penetration testing\n responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel responsible for risk response\\n\\norganizational personnel responsible for incident management and response\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\norganizational processes for risk response\\n\\norganizational processes for incident management and response\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing risk response\\n\\nautomated mechanisms supporting and/or implementing incident management and\n response" - } - ] - } - ] - }, - { - "id": "ra-5.5", - "class": "SP800-53-enhancement", - "title": "Privileged Access", - "parameters": [ - { - "id": "ra-5.5_prm_1", - "label": "organization-identified information system components", - "constraints": [ - { - "detail": "operating systems / web applications / databases" - } - ] - }, - { - "id": "ra-5.5_prm_2", - "label": "organization-defined vulnerability scanning activities", - "constraints": [ - { - "detail": "all scans" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5(5)" - }, - { - "name": "sort-id", - "value": "ra-05.05" - } - ], - "parts": [ - { - "id": "ra-5.5_smt", - "name": "statement", - "prose": "The information system implements privileged access authorization to {{ ra-5.5_prm_1 }} for selected {{ ra-5.5_prm_2 }}." - }, - { - "id": "ra-5.5_gdn", - "name": "guidance", - "prose": "In certain situations, the nature of the vulnerability scanning may be more\n intrusive or the information system component that is the subject of the scanning\n may contain highly sensitive information. Privileged access authorization to\n selected system components facilitates more thorough vulnerability scanning and\n also protects the sensitive nature of such scanning." - }, - { - "id": "ra-5.5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ra-5.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(5)[1]" - } - ], - "prose": "the organization defines information system components to which privileged\n access is authorized for selected vulnerability scanning activities;" - }, - { - "id": "ra-5.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(5)[2]" - } - ], - "prose": "the organization defines vulnerability scanning activities selected for\n privileged access authorization to organization-defined information system\n components; and" - }, - { - "id": "ra-5.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(5)[3]" - } - ], - "prose": "the information system implements privileged access authorization to\n organization-defined information system components for selected\n organization-defined vulnerability scanning activities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components for vulnerability scanning\\n\\npersonnel access authorization list\\n\\nauthorization credentials\\n\\naccess authorization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel responsible for access control to the information\n system\\n\\norganizational personnel responsible for configuration management of the\n information system\\n\\nsystem developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\norganizational processes for access control\\n\\nautomated mechanisms supporting and/or implementing access control\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.6", - "class": "SP800-53-enhancement", - "title": "Automated Trend Analyses", - "properties": [ - { - "name": "label", - "value": "RA-5(6)" - }, - { - "name": "sort-id", - "value": "ra-05.06" - } - ], - "parts": [ - { - "id": "ra-5.6_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to compare the results of\n vulnerability scans over time to determine trends in information system\n vulnerabilities.", - "parts": [ - { - "id": "ra-5.6_fr", - "name": "item", - "title": "RA-5 (6) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5.6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include in Continuous Monitoring ISSO digest/report to JAB/AO" - } - ] - } - ] - }, - { - "id": "ra-5.6_gdn", - "name": "guidance", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ra-5.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to compare the results\n of vulnerability scans over time to determine trends in information system\n vulnerabilities." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\ninformation system design documentation\\n\\nvulnerability scanning tools and techniques documentation\\n\\nvulnerability scanning results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing trend analysis of\n vulnerability scan results" - } - ] - } - ] - }, - { - "id": "ra-5.8", - "class": "SP800-53-enhancement", - "title": "Review Historic Audit Logs", - "properties": [ - { - "name": "label", - "value": "RA-5(8)" - }, - { - "name": "sort-id", - "value": "ra-05.08" - } - ], - "parts": [ - { - "id": "ra-5.8_smt", - "name": "statement", - "prose": "The organization reviews historic audit logs to determine if a vulnerability\n identified in the information system has been previously exploited.", - "parts": [ - { - "id": "ra-5.8_fr", - "name": "item", - "title": "RA-5 (8) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5.8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "This enhancement is required for all high vulnerability scan findings." - }, - { - "id": "ra-5.8_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability." - } - ] - } - ] - }, - { - "id": "ra-5.8_gdn", - "name": "guidance", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - } - ] - }, - { - "id": "ra-5.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization reviews historic audit logs to determine if a\n vulnerability identified in the information system has been previously exploited.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\naudit logs\\n\\nrecords of audit log reviews\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with audit record review responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\norganizational process for audit record review and response\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing audit record review" - } - ] - } - ] - }, - { - "id": "ra-5.10", - "class": "SP800-53-enhancement", - "title": "Correlate Scanning Information", - "properties": [ - { - "name": "label", - "value": "RA-5(10)" - }, - { - "name": "sort-id", - "value": "ra-05.10" - } - ], - "parts": [ - { - "id": "ra-5.10_smt", - "name": "statement", - "prose": "The organization correlates the output from vulnerability scanning tools to\n determine the presence of multi-vulnerability/multi-hop attack vectors.", - "parts": [ - { - "id": "ra-5.10_fr", - "name": "item", - "title": "RA-5 (10) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5.10_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If multiple tools are not used, this control is not applicable." - } - ] - } - ] - }, - { - "id": "ra-5.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization correlates the output from vulnerability scanning\n tools to determine the presence of multi-vulnerability/multi-hop attack vectors.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nvulnerability scanning tools and techniques documentation\\n\\nvulnerability scanning results\\n\\nvulnerability management records\\n\\naudit records\\n\\nevent/vulnerability correlation logs\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms implementing correlation of vulnerability scan results" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "System and Services Acquisition Policy and Procedures", - "parameters": [ - { - "id": "sa-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "sa-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SA-1" - }, - { - "name": "sort-id", - "value": "sa-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sa-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and services acquisition policy {{ sa-1_prm_2 }}; and" - }, - { - "id": "sa-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and services acquisition procedures {{ sa-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sa-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and services acquisition policy that\n addresses:", - "parts": [ - { - "id": "sa-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sa-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sa-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sa-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sa-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sa-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sa-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sa-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;" - }, - { - "id": "sa-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and services acquisition policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sa-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)" - } - ], - "parts": [ - { - "id": "sa-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;" - }, - { - "id": "sa-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sa-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sa-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(1)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition policy;" - }, - { - "id": "sa-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "sa-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(2)" - } - ], - "parts": [ - { - "id": "sa-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition procedures; and" - }, - { - "id": "sa-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "properties": [ - { - "name": "label", - "value": "SA-2" - }, - { - "name": "sort-id", - "value": "sa-02" - } - ], - "links": [ - { - "href": "#29fcfe59-33cd-494a-8756-5907ae3a8f92", - "rel": "reference", - "text": "NIST Special Publication 800-65" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.", - "links": [ - { - "href": "#pm-3", - "rel": "related", - "text": "PM-3" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "sa-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-2(a)" - } - ], - "prose": "determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-2(b)" - } - ], - "prose": "to protect the information system or information system service as part of its\n capital planning and investment control process:", - "parts": [ - { - "id": "sa-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[1]" - } - ], - "prose": "determines the resources required;" - }, - { - "id": "sa-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[2]" - } - ], - "prose": "documents the resources required;" - }, - { - "id": "sa-2.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[3]" - } - ], - "prose": "allocates the resources required; and" - } - ] - }, - { - "id": "sa-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-2(c)" - } - ], - "prose": "establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting" - } - ] - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "parameters": [ - { - "id": "sa-3_prm_1", - "label": "organization-defined system development life cycle" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-3" - }, - { - "name": "sort-id", - "value": "sa-03" - } - ], - "links": [ - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - } - ] - }, - { - "id": "sa-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(a)" - } - ], - "parts": [ - { - "id": "sa-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(a)[1]" - } - ], - "prose": "defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;" - }, - { - "id": "sa-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-3(a)[2]" - } - ], - "prose": "manages the information system using the organization-defined system\n development life cycle;" - } - ] - }, - { - "id": "sa-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(b)" - } - ], - "prose": "defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(c)" - } - ], - "prose": "identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-3(d)" - } - ], - "prose": "integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC" - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "properties": [ - { - "name": "label", - "value": "SA-4" - }, - { - "name": "sort-id", - "value": "sa-04" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#1737a687-52fb-4008-b900-cbfa836f7b65", - "rel": "reference", - "text": "ISO/IEC 15408" - }, - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#0a5db899-f033-467f-8631-f5a8ba971475", - "rel": "reference", - "text": "NIST Special Publication 800-23" - }, - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - }, - { - "href": "#d818efd3-db31-4953-8afa-9e76afe83ce2", - "rel": "reference", - "text": "NIST Special Publication 800-36" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#56d671da-6b7b-4abf-8296-84b61980390a", - "rel": "reference", - "text": "Federal Acquisition Regulation" - }, - { - "href": "#c95a9986-3cd6-4a98-931b-ccfc56cb11e5", - "rel": "reference", - "text": "http://www.niap-ccevs.org" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - }, - { - "href": "#bbd50dd1-54ce-4432-959d-63ea564b1bb4", - "rel": "reference", - "text": "http://www.acquisition.gov/far" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Security strength requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Security-related documentation requirements;" - }, - { - "id": "sa-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requirements for protecting security-related documentation;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Description of the information system development environment and environment in\n which the system is intended to operate; and" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Acceptance criteria." - }, - { - "id": "sa-4_fr", - "name": "item", - "title": "SA-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html)." - } - ] - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "sa-4_obj", - "name": "objective", - "prose": "Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:", - "parts": [ - { - "id": "sa-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(a)" - } - ], - "prose": "security functional requirements;" - }, - { - "id": "sa-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(b)" - } - ], - "prose": "security strength requirements;" - }, - { - "id": "sa-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(c)" - } - ], - "prose": "security assurance requirements;" - }, - { - "id": "sa-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(d)" - } - ], - "prose": "security-related documentation requirements;" - }, - { - "id": "sa-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(e)" - } - ], - "prose": "requirements for protecting security-related documentation;" - }, - { - "id": "sa-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)" - } - ], - "prose": "description of:", - "parts": [ - { - "id": "sa-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[1]" - } - ], - "prose": "the information system development environment;" - }, - { - "id": "sa-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[2]" - } - ], - "prose": "the environment in which the system is intended to operate; and" - } - ] - }, - { - "id": "sa-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(g)" - } - ], - "prose": "acceptance criteria." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts" - } - ] - } - ], - "controls": [ - { - "id": "sa-4.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Security Controls", - "properties": [ - { - "name": "label", - "value": "SA-4(1)" - }, - { - "name": "sort-id", - "value": "sa-04.01" - } - ], - "parts": [ - { - "id": "sa-4.1_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to provide a description of the\n functional properties of the security controls to be employed." - }, - { - "id": "sa-4.1_gdn", - "name": "guidance", - "prose": "Functional properties of security controls describe the functionality (i.e.,\n security capability, functions, or mechanisms) visible at the interfaces of the\n controls and specifically exclude functionality and data structures internal to\n the operation of the controls.", - "links": [ - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "sa-4.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to provide a description of the\n functional properties of the security controls to be employed." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information system security\n functional, requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion\n of security requirements in contracts" - } - ] - } - ] - }, - { - "id": "sa-4.2", - "class": "SP800-53-enhancement", - "title": "Design / Implementation Information for Security Controls", - "parameters": [ - { - "id": "sa-4.2_prm_1", - "constraints": [ - { - "detail": "at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]" - } - ] - }, - { - "id": "sa-4.2_prm_2", - "depends-on": "sa-4.2_prm_1", - "label": "organization-defined design/implementation information" - }, - { - "id": "sa-4.2_prm_3", - "label": "organization-defined level of detail" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-4(2)" - }, - { - "name": "sort-id", - "value": "sa-04.02" - } - ], - "parts": [ - { - "id": "sa-4.2_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to provide design and implementation\n information for the security controls to be employed that includes: {{ sa-4.2_prm_1 }} at {{ sa-4.2_prm_3 }}." - }, - { - "id": "sa-4.2_gdn", - "name": "guidance", - "prose": "Organizations may require different levels of detail in design and implementation\n documentation for security controls employed in organizational information\n systems, system components, or information system services based on\n mission/business requirements, requirements for trustworthiness/resiliency, and\n requirements for analysis and testing. Information systems can be partitioned into\n multiple subsystems. Each subsystem within the system can contain one or more\n modules. The high-level design for the system is expressed in terms of multiple\n subsystems and the interfaces between subsystems providing security-relevant\n functionality. The low-level design for the system is expressed in terms of\n modules with particular emphasis on software and firmware (but not excluding\n hardware) and the interfaces between modules providing security-relevant\n functionality. Source code and hardware schematics are typically referred to as\n the implementation representation of the information system.", - "links": [ - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "sa-4.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-4.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-4(2)[1]" - } - ], - "prose": "defines level of detail that the developer is required to provide in design and\n implementation information for the security controls to be employed in the\n information system, system component, or information system service;" - }, - { - "id": "sa-4.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-4(2)[2]" - } - ], - "prose": "defines design/implementation information that the developer is to provide for\n the security controls to be employed (if selected);" - }, - { - "id": "sa-4.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-4(2)[3]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to provide design and implementation information for\n the security controls to be employed that includes, at the organization-defined\n level of detail, one or more of the following:", - "parts": [ - { - "id": "sa-4.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][a]" - } - ], - "prose": "security-relevant external system interfaces;" - }, - { - "id": "sa-4.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][b]" - } - ], - "prose": "high-level design;" - }, - { - "id": "sa-4.2_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][c]" - } - ], - "prose": "low-level design;" - }, - { - "id": "sa-4.2_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][d]" - } - ], - "prose": "source code;" - }, - { - "id": "sa-4.2_obj.3.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][e]" - } - ], - "prose": "hardware schematics; and/or" - }, - { - "id": "sa-4.2_obj.3.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][f]" - } - ], - "prose": "organization-defined design/implementation information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system components, or\n information system services\\n\\ndesign and implementation information for security controls employed in the\n information system, system component, or information system service\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining level of detail for system design and\n security controls\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing development of system\n design details" - } - ] - } - ] - }, - { - "id": "sa-4.8", - "class": "SP800-53-enhancement", - "title": "Continuous Monitoring Plan", - "parameters": [ - { - "id": "sa-4.8_prm_1", - "label": "organization-defined level of detail", - "constraints": [ - { - "detail": "at least the minimum requirement as defined in control CA-7" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-4(8)" - }, - { - "name": "sort-id", - "value": "sa-04.08" - } - ], - "parts": [ - { - "id": "sa-4.8_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to produce a plan for the continuous\n monitoring of security control effectiveness that contains {{ sa-4.8_prm_1 }}.", - "parts": [ - { - "id": "sa-4.8_fr", - "name": "item", - "title": "SA-4 (8) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-4.8_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSP must use the same security standards regardless of where the system component or information system service is acquired." - } - ] - } - ] - }, - { - "id": "sa-4.8_gdn", - "name": "guidance", - "prose": "The objective of continuous monitoring plans is to determine if the complete set\n of planned, required, and deployed security controls within the information\n system, system component, or information system service continue to be effective\n over time based on the inevitable changes that occur. Developer continuous\n monitoring plans include a sufficient level of detail such that the information\n can be incorporated into the continuous monitoring strategies and programs\n implemented by organizations.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - } - ] - }, - { - "id": "sa-4.8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-4.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-4(8)[1]" - } - ], - "prose": "defines the level of detail the developer of the information system, system\n component, or information system service is required to provide when producing\n a plan for the continuous monitoring of security control effectiveness; and" - }, - { - "id": "sa-4.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-4(8)[2]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to produce a plan for the continuous monitoring of\n security control effectiveness that contains the organization-defined level of\n detail." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing developer continuous monitoring plans\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ndeveloper continuous monitoring plans\\n\\nsecurity assessment plans\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Vendor processes for continuous monitoring\\n\\nautomated mechanisms supporting and/or implementing developer continuous\n monitoring" - } - ] - } - ] - }, - { - "id": "sa-4.9", - "class": "SP800-53-enhancement", - "title": "Functions / Ports / Protocols / Services in Use", - "properties": [ - { - "name": "label", - "value": "SA-4(9)" - }, - { - "name": "sort-id", - "value": "sa-04.09" - } - ], - "parts": [ - { - "id": "sa-4.9_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to identify early in the system\n development life cycle, the functions, ports, protocols, and services intended for\n organizational use." - }, - { - "id": "sa-4.9_gdn", - "name": "guidance", - "prose": "The identification of functions, ports, protocols, and services early in the\n system development life cycle (e.g., during the initial requirements definition\n and design phases) allows organizations to influence the design of the information\n system, information system component, or information system service. This early\n involvement in the life cycle helps organizations to avoid or minimize the use of\n functions, ports, protocols, or services that pose unnecessarily high risks and\n understand the trade-offs involved in blocking specific ports, protocols, or\n services (or when requiring information system service providers to do so). Early\n identification of functions, ports, protocols, and services avoids costly\n retrofitting of security controls after the information system, system component,\n or information system service has been implemented. SA-9 describes requirements\n for external information system services with organizations identifying which\n functions, ports, protocols, and services are provided from external sources.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "sa-4.9_obj", - "name": "objective", - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to identify early in the system\n development life cycle:", - "parts": [ - { - "id": "sa-4.9_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-4(9)[1]" - } - ], - "prose": "the functions intended for organizational use;" - }, - { - "id": "sa-4.9_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(9)[2]" - } - ], - "prose": "the ports intended for organizational use;" - }, - { - "id": "sa-4.9_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(9)[3]" - } - ], - "prose": "the protocols intended for organizational use; and" - }, - { - "id": "sa-4.9_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(9)[4]" - } - ], - "prose": "the services intended for organizational use." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ninformation system design documentation\\n\\ninformation system documentation including functions, ports, protocols, and\n services intended for organizational use\\n\\nacquisition contracts for information systems or services\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\norganizational security requirements, descriptions, and criteria for developers\n of information systems, system components, and information system services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "properties": [ - { - "name": "label", - "value": "SA-4(10)" - }, - { - "name": "sort-id", - "value": "sa-04.10" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "The organization employs only information technology products on the FIPS\n 201-approved products list for Personal Identity Verification (PIV) capability\n implemented within organizational information systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "links": [ - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "sa-4.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs only information technology products on the\n FIPS 201-approved products list for Personal Identity Verification (PIV)\n capability implemented within organizational information systems. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with responsibility for ensuring only FIPS\n 201-approved products are implemented\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing FIPS 201-approved\n products" - } - ] - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "Information System Documentation", - "parameters": [ - { - "id": "sa-5_prm_1", - "label": "organization-defined actions" - }, - { - "id": "sa-5_prm_2", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "at a minimum, the ISSO (or similar role within the organization)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-5" - }, - { - "name": "sort-id", - "value": "sa-05" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or\n service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Effective use and maintenance of security functions/mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects documentation as required, in accordance with the risk management\n strategy; and" - }, - { - "id": "sa-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Distributes documentation to {{ sa-5_prm_2 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "sa-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(a)" - } - ], - "prose": "obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)" - } - ], - "parts": [ - { - "id": "sa-5.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[1]" - } - ], - "prose": "secure configuration of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[2]" - } - ], - "prose": "secure installation of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[3]" - } - ], - "prose": "secure operation of the system, system component, or service;" - } - ] - }, - { - "id": "sa-5.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)" - } - ], - "parts": [ - { - "id": "sa-5.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[1]" - } - ], - "prose": "effective use of the security features/mechanisms;" - }, - { - "id": "sa-5.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[2]" - } - ], - "prose": "effective maintenance of the security features/mechanisms;" - } - ] - }, - { - "id": "sa-5.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(3)" - } - ], - "prose": "known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(b)" - } - ], - "prose": "obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)" - } - ], - "parts": [ - { - "id": "sa-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[1]" - } - ], - "prose": "user-accessible security functions/mechanisms;" - }, - { - "id": "sa-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[2]" - } - ], - "prose": "how to effectively use those functions/mechanisms;" - } - ] - }, - { - "id": "sa-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(2)" - } - ], - "prose": "methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;" - }, - { - "id": "sa-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(3)" - } - ], - "prose": "user responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)" - } - ], - "parts": [ - { - "id": "sa-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(c)[1]" - } - ], - "prose": "defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(c)[2]" - } - ], - "prose": "documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(c)[3]" - } - ], - "prose": "takes organization-defined actions in response;" - } - ] - }, - { - "id": "sa-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(d)" - } - ], - "prose": "protects documentation as required, in accordance with the risk management\n strategy;" - }, - { - "id": "sa-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(e)" - } - ], - "parts": [ - { - "id": "sa-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(e)[1]" - } - ], - "prose": "defines personnel or roles to whom documentation is to be distributed; and" - }, - { - "id": "sa-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(e)[2]" - } - ], - "prose": "distributes documentation to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation" - } - ] - } - ] - }, - { - "id": "sa-8", - "class": "SP800-53", - "title": "Security Engineering Principles", - "properties": [ - { - "name": "label", - "value": "SA-8" - }, - { - "name": "sort-id", - "value": "sa-08" - } - ], - "links": [ - { - "href": "#21b1ed35-56d2-40a8-bdfe-b461fffe322f", - "rel": "reference", - "text": "NIST Special Publication 800-27" - } - ], - "parts": [ - { - "id": "sa-8_smt", - "name": "statement", - "prose": "The organization applies information system security engineering principles in the\n specification, design, development, implementation, and modification of the\n information system." - }, - { - "id": "sa-8_gdn", - "name": "guidance", - "prose": "Organizations apply security engineering principles primarily to new development\n information systems or systems undergoing major upgrades. For legacy systems,\n organizations apply security engineering principles to system upgrades and\n modifications to the extent feasible, given the current state of hardware, software,\n and firmware within those systems. Security engineering principles include, for\n example: (i) developing layered protections; (ii) establishing sound security policy,\n architecture, and controls as the foundation for design; (iii) incorporating security\n requirements into the system development life cycle; (iv) delineating physical and\n logical security boundaries; (v) ensuring that system developers are trained on how\n to build secure software; (vi) tailoring security controls to meet organizational and\n operational needs; (vii) performing threat modeling to identify use cases, threat\n agents, attack vectors, and attack patterns as well as compensating controls and\n design patterns needed to mitigate risk; and (viii) reducing risk to acceptable\n levels, thus enabling informed risk management decisions.", - "links": [ - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sa-8_obj", - "name": "objective", - "prose": "Determine if the organization applies information system security engineering\n principles in: ", - "parts": [ - { - "id": "sa-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-8[1]" - } - ], - "prose": "the specification of the information system;" - }, - { - "id": "sa-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[2]" - } - ], - "prose": "the design of the information system;" - }, - { - "id": "sa-8_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[3]" - } - ], - "prose": "the development of the information system;" - }, - { - "id": "sa-8_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[4]" - } - ], - "prose": "the implementation of the information system; and" - }, - { - "id": "sa-8_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[5]" - } - ], - "prose": "the modification of the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing security engineering principles used in the specification,\n design, development, implementation, and modification of the information\n system\\n\\ninformation system design documentation\\n\\ninformation security requirements and specifications for the information\n system\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with information system specification, design,\n development, implementation, and modification responsibilities\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying security engineering principles in\n information system specification, design, development, implementation, and\n modification\\n\\nautomated mechanisms supporting the application of security engineering principles\n in information system specification, design, development, implementation, and\n modification" - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External Information System Services", - "parameters": [ - { - "id": "sa-9_prm_1", - "label": "organization-defined security controls", - "constraints": [ - { - "detail": "FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system" - } - ] - }, - { - "id": "sa-9_prm_2", - "label": "organization-defined processes, methods, and techniques", - "constraints": [ - { - "detail": "Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9" - }, - { - "name": "sort-id", - "value": "sa-09" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.", - "links": [ - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ir-7", - "rel": "related", - "text": "IR-7" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - } - ] - }, - { - "id": "sa-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)" - } - ], - "parts": [ - { - "id": "sa-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[1]" - } - ], - "prose": "defines security controls to be employed by providers of external information\n system services;" - }, - { - "id": "sa-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[2]" - } - ], - "prose": "requires that providers of external information system services comply with\n organizational information security requirements;" - }, - { - "id": "sa-9.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[3]" - } - ], - "prose": "requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - } - ] - }, - { - "id": "sa-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(b)" - } - ], - "parts": [ - { - "id": "sa-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(b)[1]" - } - ], - "prose": "defines and documents government oversight with regard to external information\n system services;" - }, - { - "id": "sa-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(b)[2]" - } - ], - "prose": "defines and documents user roles and responsibilities with regard to external\n information system services;" - } - ] - }, - { - "id": "sa-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(c)" - } - ], - "parts": [ - { - "id": "sa-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(c)[1]" - } - ], - "prose": "defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and" - }, - { - "id": "sa-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(c)[2]" - } - ], - "prose": "employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis" - } - ] - } - ], - "controls": [ - { - "id": "sa-9.1", - "class": "SP800-53-enhancement", - "title": "Risk Assessments / Organizational Approvals", - "parameters": [ - { - "id": "sa-9.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(1)" - }, - { - "name": "sort-id", - "value": "sa-09.01" - } - ], - "parts": [ - { - "id": "sa-9.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-9.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services; and" - }, - { - "id": "sa-9.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensures that the acquisition or outsourcing of dedicated information security\n services is approved by {{ sa-9.1_prm_1 }}." - } - ] - }, - { - "id": "sa-9.1_gdn", - "name": "guidance", - "prose": "Dedicated information security services include, for example, incident monitoring,\n analysis and response, operation of information security-related devices such as\n firewalls, or key management services.", - "links": [ - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "sa-9.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(1)(a)" - } - ], - "prose": "conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services;", - "links": [ - { - "href": "#sa-9.1_smt.a", - "rel": "corresp", - "text": "SA-9(1)(a)" - } - ] - }, - { - "id": "sa-9.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(1)(b)" - } - ], - "parts": [ - { - "id": "sa-9.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(1)(b)[1]" - } - ], - "prose": "defines personnel or roles designated to approve the acquisition or\n outsourcing of dedicated information security services; and" - }, - { - "id": "sa-9.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(1)(b)[2]" - } - ], - "prose": "ensures that the acquisition or outsourcing of dedicated information\n security services is approved by organization-defined personnel or\n roles." - } - ], - "links": [ - { - "href": "#sa-9.1_smt.b", - "rel": "corresp", - "text": "SA-9(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nrisk assessment reports\\n\\napproval records for acquisition or outsourcing of dedicated information\n security services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information system security responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting a risk assessment prior to acquiring or\n outsourcing dedicated information security services\\n\\norganizational processes for approving the outsourcing of dedicated information\n security services\\n\\nautomated mechanisms supporting and/or implementing risk assessment\\n\\nautomated mechanisms supporting and/or implementing approval processes" - } - ] - } - ] - }, - { - "id": "sa-9.2", - "class": "SP800-53-enhancement", - "title": "Identification of Functions / Ports / Protocols / Services", - "parameters": [ - { - "id": "sa-9.2_prm_1", - "label": "organization-defined external information system services", - "constraints": [ - { - "detail": "all external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(2)" - }, - { - "name": "sort-id", - "value": "sa-09.02" - } - ], - "parts": [ - { - "id": "sa-9.2_smt", - "name": "statement", - "prose": "The organization requires providers of {{ sa-9.2_prm_1 }} to\n identify the functions, ports, protocols, and other services required for the use\n of such services." - }, - { - "id": "sa-9.2_gdn", - "name": "guidance", - "prose": "Information from external service providers regarding the specific functions,\n ports, protocols, and services used in the provision of such services can be\n particularly useful when the need arises to understand the trade-offs involved in\n restricting certain functions/services or blocking certain ports/protocols.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - } - ] - }, - { - "id": "sa-9.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(2)[1]" - } - ], - "prose": "defines external information system services for which providers of such\n services are to identify the functions, ports, protocols, and other services\n required for the use of such services;" - }, - { - "id": "sa-9.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-9(2)[2]" - } - ], - "prose": "requires providers of organization-defined external information system services\n to identify:", - "parts": [ - { - "id": "sa-9.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][a]" - } - ], - "prose": "the functions required for the use of such services;" - }, - { - "id": "sa-9.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][b]" - } - ], - "prose": "the ports required for the use of such services;" - }, - { - "id": "sa-9.2_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][c]" - } - ], - "prose": "the protocols required for the use of such services; and" - }, - { - "id": "sa-9.2_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][d]" - } - ], - "prose": "the other services required for the use of such services." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation, service-level agreements\\n\\norganizational security requirements and security specifications for external\n service providers\\n\\nlist of required functions, ports, protocols, and other services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nexternal providers of information system services" - } - ] - } - ] - }, - { - "id": "sa-9.4", - "class": "SP800-53-enhancement", - "title": "Consistent Interests of Consumers and Providers", - "parameters": [ - { - "id": "sa-9.4_prm_1", - "label": "organization-defined security safeguards" - }, - { - "id": "sa-9.4_prm_2", - "label": "organization-defined external service providers", - "constraints": [ - { - "detail": "all external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(4)" - }, - { - "name": "sort-id", - "value": "sa-09.04" - } - ], - "parts": [ - { - "id": "sa-9.4_smt", - "name": "statement", - "prose": "The organization employs {{ sa-9.4_prm_1 }} to ensure that the\n interests of {{ sa-9.4_prm_2 }} are consistent with and reflect\n organizational interests." - }, - { - "id": "sa-9.4_gdn", - "name": "guidance", - "prose": "As organizations increasingly use external service providers, the possibility\n exists that the interests of the service providers may diverge from organizational\n interests. In such situations, simply having the correct technical, procedural, or\n operational safeguards in place may not be sufficient if the service providers\n that implement and control those safeguards are not operating in a manner\n consistent with the interests of the consuming organizations. Possible actions\n that organizations might take to address such concerns include, for example,\n requiring background checks for selected service provider personnel, examining\n ownership records, employing only trustworthy service providers (i.e., providers\n with which organizations have had positive experiences), and conducting\n periodic/unscheduled visits to service provider facilities." - }, - { - "id": "sa-9.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(4)[1]" - } - ], - "prose": "defines external service providers whose interests are to be consistent with\n and reflect organizational interests;" - }, - { - "id": "sa-9.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(4)[2]" - } - ], - "prose": "defines security safeguards to be employed to ensure that the interests of\n organization-defined external service providers are consistent with and reflect\n organizational interests; and" - }, - { - "id": "sa-9.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(4)[3]" - } - ], - "prose": "employs organization-defined security safeguards to ensure that the interests\n of organization-defined external service providers are consistent with and\n reflect organizational interests." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\norganizational security requirements/safeguards for external service\n providers\\n\\npersonnel security policies for external service providers\\n\\nassessments performed on external service providers\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing safeguards to ensure\n consistent interests with external service providers\\n\\nautomated mechanisms supporting and/or implementing safeguards to ensure\n consistent interests with external service providers" - } - ] - } - ] - }, - { - "id": "sa-9.5", - "class": "SP800-53-enhancement", - "title": "Processing, Storage, and Service Location", - "parameters": [ - { - "id": "sa-9.5_prm_1", - "constraints": [ - { - "detail": "information processing, information data, AND information services" - } - ] - }, - { - "id": "sa-9.5_prm_2", - "label": "organization-defined locations", - "constraints": [ - { - "detail": "U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction" - } - ] - }, - { - "id": "sa-9.5_prm_3", - "label": "organization-defined requirements or conditions", - "constraints": [ - { - "detail": "all High Impact Data, Systems, or Services" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(5)" - }, - { - "name": "sort-id", - "value": "sa-09.05" - } - ], - "parts": [ - { - "id": "sa-9.5_smt", - "name": "statement", - "prose": "The organization restricts the location of {{ sa-9.5_prm_1 }} to\n {{ sa-9.5_prm_2 }} based on {{ sa-9.5_prm_3 }}." - }, - { - "id": "sa-9.5_gdn", - "name": "guidance", - "prose": "The location of information processing, information/data storage, or information\n system services that are critical to organizations can have a direct impact on the\n ability of those organizations to successfully execute their missions/business\n functions. This situation exists when external providers control the location of\n processing, storage or services. The criteria external providers use for the\n selection of processing, storage, or service locations may be different from\n organizational criteria. For example, organizations may want to ensure that\n data/information storage locations are restricted to certain locations to\n facilitate incident response activities (e.g., forensic analyses, after-the-fact\n investigations) in case of information security breaches/compromises. Such\n incident response activities may be adversely affected by the governing laws or\n protocols in the locations where processing and storage occur and/or the locations\n from which information system services emanate." - }, - { - "id": "sa-9.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(5)[1]" - } - ], - "prose": "defines locations where organization-defined information processing,\n information/data, and/or information system services are to be restricted;" - }, - { - "id": "sa-9.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(5)[2]" - } - ], - "prose": "defines requirements or conditions to restrict the location of information\n processing, information/data, and/or information system services;" - }, - { - "id": "sa-9.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(5)[3]" - } - ], - "prose": "restricts the location of one or more of the following to organization-defined\n locations based on organization-defined requirements or conditions:", - "parts": [ - { - "id": "sa-9.5_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(5)[3][a]" - } - ], - "prose": "information processing;" - }, - { - "id": "sa-9.5_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(5)[3][b]" - } - ], - "prose": "information/data; and/or" - }, - { - "id": "sa-9.5_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(5)[3][c]" - } - ], - "prose": "information services." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nrestricted locations for information processing\\n\\ninformation/data and/or information system services\\n\\ninformation processing, information/data, and/or information system services to\n be maintained in restricted locations\\n\\norganizational security requirements or conditions for external providers\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining requirements to restrict locations of\n information processing, information/data, or information services\\n\\norganizational processes for ensuring the location is restricted in accordance\n with requirements or conditions" - } - ] - } - ] - } - ] - }, - { - "id": "sa-10", - "class": "SP800-53", - "title": "Developer Configuration Management", - "parameters": [ - { - "id": "sa-10_prm_1", - "constraints": [ - { - "detail": "development, implementation, AND operation" - } - ] - }, - { - "id": "sa-10_prm_2", - "label": "organization-defined configuration items under configuration management" - }, - { - "id": "sa-10_prm_3", - "label": "organization-defined personnel" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-10" - }, - { - "name": "sort-id", - "value": "sa-10" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "sa-10_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system component,\n or information system service to:", - "parts": [ - { - "id": "sa-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform configuration management during system, component, or service {{ sa-10_prm_1 }};" - }, - { - "id": "sa-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, manage, and control the integrity of changes to {{ sa-10_prm_2 }};" - }, - { - "id": "sa-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Implement only organization-approved changes to the system, component, or\n service;" - }, - { - "id": "sa-10_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Document approved changes to the system, component, or service and the potential\n security impacts of such changes; and" - }, - { - "id": "sa-10_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Track security flaws and flaw resolution within the system, component, or service\n and report findings to {{ sa-10_prm_3 }}." - }, - { - "id": "sa-10_fr", - "name": "item", - "title": "SA-10 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-10_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e) Requirement:" - } - ], - "prose": "For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP." - } - ] - } - ] - }, - { - "id": "sa-10_gdn", - "name": "guidance", - "prose": "This control also applies to organizations conducting internal information systems\n development and integration. Organizations consider the quality and completeness of\n the configuration management activities conducted by developers as evidence of\n applying effective security safeguards. Safeguards include, for example, protecting\n from unauthorized modification or destruction, the master copies of all material used\n to generate security-relevant portions of the system hardware, software, and\n firmware. Maintaining the integrity of changes to the information system, information\n system component, or information system service requires configuration control\n throughout the system development life cycle to track authorized changes and prevent\n unauthorized changes. Configuration items that are placed under configuration\n management (if existence/use is required by other security controls) include: the\n formal model; the functional, high-level, and low-level design specifications; other\n design data; implementation documentation; source code and hardware schematics; the\n running version of the object code; tools for comparing new versions of\n security-relevant hardware descriptions and software/firmware source code with\n previous versions; and test fixtures and documentation. Depending on the\n mission/business needs of organizations and the nature of the contractual\n relationships in place, developers may provide configuration management support\n during the operations and maintenance phases of the life cycle.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "sa-10_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(a)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to perform configuration management during one or more of the\n following:", - "parts": [ - { - "id": "sa-10.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[1]" - } - ], - "prose": "system, component, or service design;" - }, - { - "id": "sa-10.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[2]" - } - ], - "prose": "system, component, or service development;" - }, - { - "id": "sa-10.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[3]" - } - ], - "prose": "system, component, or service implementation; and/or" - }, - { - "id": "sa-10.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[4]" - } - ], - "prose": "system, component, or service operation;" - } - ] - }, - { - "id": "sa-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)" - } - ], - "parts": [ - { - "id": "sa-10.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(b)[1]" - } - ], - "prose": "defines configuration items to be placed under configuration management;" - }, - { - "id": "sa-10.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(b)[2]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to:", - "parts": [ - { - "id": "sa-10.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)[2][a]" - } - ], - "prose": "document the integrity of changes to organization-defined items under\n configuration management;" - }, - { - "id": "sa-10.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)[2][b]" - } - ], - "prose": "manage the integrity of changes to organization-defined items under\n configuration management;" - }, - { - "id": "sa-10.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)[2][c]" - } - ], - "prose": "control the integrity of changes to organization-defined items under\n configuration management;" - } - ] - } - ] - }, - { - "id": "sa-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(c)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to implement only organization-approved changes to the system,\n component, or service;" - }, - { - "id": "sa-10.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(d)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to document:", - "parts": [ - { - "id": "sa-10.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(d)[1]" - } - ], - "prose": "approved changes to the system, component, or service;" - }, - { - "id": "sa-10.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(d)[2]" - } - ], - "prose": "the potential security impacts of such changes;" - } - ] - }, - { - "id": "sa-10.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)" - } - ], - "parts": [ - { - "id": "sa-10.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(e)[1]" - } - ], - "prose": "defines personnel to whom findings, resulting from security flaws and flaw\n resolution tracked within the system, component, or service, are to be\n reported;" - }, - { - "id": "sa-10.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(e)[2]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to:", - "parts": [ - { - "id": "sa-10.e_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)[2][a]" - } - ], - "prose": "track security flaws within the system, component, or service;" - }, - { - "id": "sa-10.e_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)[2][b]" - } - ], - "prose": "track security flaw resolution within the system, component, or service;\n and" - }, - { - "id": "sa-10.e_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)[2][c]" - } - ], - "prose": "report findings to organization-defined personnel." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer configuration management plan\\n\\nsecurity flaw and flaw resolution tracking records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management" - } - ] - } - ], - "controls": [ - { - "id": "sa-10.1", - "class": "SP800-53-enhancement", - "title": "Software / Firmware Integrity Verification", - "properties": [ - { - "name": "label", - "value": "SA-10(1)" - }, - { - "name": "sort-id", - "value": "sa-10.01" - } - ], - "parts": [ - { - "id": "sa-10.1_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to enable integrity verification of\n software and firmware components." - }, - { - "id": "sa-10.1_gdn", - "name": "guidance", - "prose": "This control enhancement allows organizations to detect unauthorized changes to\n software and firmware components through the use of tools, techniques, and/or\n mechanisms provided by developers. Integrity checking mechanisms can also address\n counterfeiting of software and firmware components. Organizations verify the\n integrity of software and firmware components, for example, through secure one-way\n hashes provided by developers. Delivered software and firmware components also\n include any updates to such components.", - "links": [ - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sa-10.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to enable integrity verification\n of software and firmware components." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system\\n\\nsystem component, or information system service\\n\\nsystem developer configuration management plan\\n\\nsoftware and firmware integrity verification records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management" - } - ] - } - ] - } - ] - }, - { - "id": "sa-11", - "class": "SP800-53", - "title": "Developer Security Testing and Evaluation", - "parameters": [ - { - "id": "sa-11_prm_1" - }, - { - "id": "sa-11_prm_2", - "label": "organization-defined depth and coverage" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-11" - }, - { - "name": "sort-id", - "value": "sa-11" - } - ], - "links": [ - { - "href": "#1737a687-52fb-4008-b900-cbfa836f7b65", - "rel": "reference", - "text": "ISO/IEC 15408" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - }, - { - "href": "#15522e92-9192-463d-9646-6a01982db8ca", - "rel": "reference", - "text": "http://cwe.mitre.org" - }, - { - "href": "#0931209f-00ae-4132-b92c-bc645847e8f9", - "rel": "reference", - "text": "http://cve.mitre.org" - }, - { - "href": "#4ef539ba-b767-4666-b0d3-168c53005fa3", - "rel": "reference", - "text": "http://capec.mitre.org" - } - ], - "parts": [ - { - "id": "sa-11_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system component,\n or information system service to:", - "parts": [ - { - "id": "sa-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Create and implement a security assessment plan;" - }, - { - "id": "sa-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform {{ sa-11_prm_1 }} testing/evaluation at {{ sa-11_prm_2 }};" - }, - { - "id": "sa-11_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produce evidence of the execution of the security assessment plan and the results\n of the security testing/evaluation;" - }, - { - "id": "sa-11_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correct flaws identified during security testing/evaluation." - } - ] - }, - { - "id": "sa-11_gdn", - "name": "guidance", - "prose": "Developmental security testing/evaluation occurs at all post-design phases of the\n system development life cycle. Such testing/evaluation confirms that the required\n security controls are implemented correctly, operating as intended, enforcing the\n desired security policy, and meeting established security requirements. Security\n properties of information systems may be affected by the interconnection of system\n components or changes to those components. These interconnections or changes (e.g.,\n upgrading or replacing applications and operating systems) may adversely affect\n previously implemented security controls. This control provides additional types of\n security testing/evaluation that developers can conduct to reduce or eliminate\n potential flaws. Testing custom software applications may require approaches such as\n static analysis, dynamic analysis, binary analysis, or a hybrid of the three\n approaches. Developers can employ these analysis approaches in a variety of tools\n (e.g., web-based application scanners, static analysis tools, binary analyzers) and\n in source code reviews. Security assessment plans provide the specific activities\n that developers plan to carry out including the types of analyses, testing,\n evaluation, and reviews of software and firmware components, the degree of rigor to\n be applied, and the types of artifacts produced during those processes. The depth of\n security testing/evaluation refers to the rigor and level of detail associated with\n the assessment process (e.g., black box, gray box, or white box testing). The\n coverage of security testing/evaluation refers to the scope (i.e., number and type)\n of the artifacts included in the assessment process. Contracts specify the acceptance\n criteria for security assessment plans, flaw remediation processes, and the evidence\n that the plans/processes have been diligently applied. Methods for reviewing and\n protecting assessment plans, evidence, and documentation are commensurate with the\n security category or classification level of the information system. Contracts may\n specify documentation protection requirements.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "sa-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(a)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to create and implement a security plan;" - }, - { - "id": "sa-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)" - } - ], - "parts": [ - { - "id": "sa-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(b)[1]" - } - ], - "prose": "defines the depth of testing/evaluation to be performed by the developer of the\n information system, system component, or information system service;" - }, - { - "id": "sa-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(b)[2]" - } - ], - "prose": "defines the coverage of testing/evaluation to be performed by the developer of\n the information system, system component, or information system service;" - }, - { - "id": "sa-11.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(b)[3]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to perform one or more of the following\n testing/evaluation at the organization-defined depth and coverage:", - "parts": [ - { - "id": "sa-11.b_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][a]" - } - ], - "prose": "unit testing/evaluation;" - }, - { - "id": "sa-11.b_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][b]" - } - ], - "prose": "integration testing/evaluation;" - }, - { - "id": "sa-11.b_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][c]" - } - ], - "prose": "system testing/evaluation; and/or" - }, - { - "id": "sa-11.b_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][d]" - } - ], - "prose": "regression testing/evaluation;" - } - ] - } - ] - }, - { - "id": "sa-11.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(c)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to produce evidence of:", - "parts": [ - { - "id": "sa-11.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(c)[1]" - } - ], - "prose": "the execution of the security assessment plan;" - }, - { - "id": "sa-11.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(c)[2]" - } - ], - "prose": "the results of the security testing/evaluation;" - } - ] - }, - { - "id": "sa-11.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(d)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(e)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to correct flaws identified during security testing/evaluation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system, system\n component, or information system service\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation" - } - ] - } - ], - "controls": [ - { - "id": "sa-11.1", - "class": "SP800-53-enhancement", - "title": "Static Code Analysis", - "properties": [ - { - "name": "label", - "value": "SA-11(1)" - }, - { - "name": "sort-id", - "value": "sa-11.01" - } - ], - "parts": [ - { - "id": "sa-11.1_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to employ static code analysis tools to\n identify common flaws and document the results of the analysis.", - "parts": [ - { - "id": "sa-11.1_fr", - "name": "item", - "title": "SA-11 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-11.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed." - } - ] - } - ] - }, - { - "id": "sa-11.1_gdn", - "name": "guidance", - "prose": "Static code analysis provides a technology and methodology for security reviews.\n Such analysis can be used to identify security vulnerabilities and enforce\n security coding practices. Static code analysis is most effective when used early\n in the development process, when each code change can be automatically scanned for\n potential weaknesses. Static analysis can provide clear remediation guidance along\n with defects to enable developers to fix such defects. Evidence of correct\n implementation of static analysis can include, for example, aggregate defect\n density for critical defect types, evidence that defects were inspected by\n developers or security professionals, and evidence that defects were fixed. An\n excessively high density of ignored findings (commonly referred to as ignored or\n false positives) indicates a potential problem with the analysis process or tool.\n In such cases, organizations weigh the validity of the evidence against evidence\n from other sources." - }, - { - "id": "sa-11.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to employ static code analysis\n tools to identify common flaws and document the results of the analysis." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nsystem developer security testing results\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation\\n\\nstatic code analysis tools" - } - ] - } - ] - }, - { - "id": "sa-11.2", - "class": "SP800-53-enhancement", - "title": "Threat and Vulnerability Analyses", - "properties": [ - { - "name": "label", - "value": "SA-11(2)" - }, - { - "name": "sort-id", - "value": "sa-11.02" - } - ], - "parts": [ - { - "id": "sa-11.2_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to perform threat and vulnerability\n analyses and subsequent testing/evaluation of the as-built system, component, or\n service." - }, - { - "id": "sa-11.2_gdn", - "name": "guidance", - "prose": "Applications may deviate significantly from the functional and design\n specifications created during the requirements and design phases of the system\n development life cycle. Therefore, threat and vulnerability analyses of\n information systems, system components, and information system services prior to\n delivery are critical to the effective operation of those systems, components, and\n services. Threat and vulnerability analyses at this phase of the life cycle help\n to ensure that design or implementation changes have been accounted for, and that\n any new vulnerabilities created as a result of those changes have been reviewed\n and mitigated.", - "links": [ - { - "href": "#pm-15", - "rel": "related", - "text": "PM-15" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "sa-11.2_obj", - "name": "objective", - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to perform:", - "parts": [ - { - "id": "sa-11.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(2)[1]" - } - ], - "prose": "threat analyses of the as-built, system component, or service;" - }, - { - "id": "sa-11.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(2)[2]" - } - ], - "prose": "vulnerability analyses of the as-built, system component, or service; and" - }, - { - "id": "sa-11.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(2)[3]" - } - ], - "prose": "subsequent testing/evaluation of the as-built, system component, or\n service." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system,\n system component, or information system service\\n\\nvulnerability scanning results\\n\\ninformation system risk assessment reports\\n\\nthreat and vulnerability analysis reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Code Analysis", - "properties": [ - { - "name": "label", - "value": "SA-11(8)" - }, - { - "name": "sort-id", - "value": "sa-11.08" - } - ], - "parts": [ - { - "id": "sa-11.8_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to employ dynamic code analysis tools to\n identify common flaws and document the results of the analysis.", - "parts": [ - { - "id": "sa-11.8_fr", - "name": "item", - "title": "SA-11 (8) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-11.8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed." - } - ] - } - ] - }, - { - "id": "sa-11.8_gdn", - "name": "guidance", - "prose": "Dynamic code analysis provides run-time verification of software programs, using\n tools capable of monitoring programs for memory corruption, user privilege issues,\n and other potential security problems. Dynamic code analysis employs run-time\n tools to help to ensure that security functionality performs in the manner in\n which it was designed. A specialized type of dynamic analysis, known as fuzz\n testing, induces program failures by deliberately introducing malformed or random\n data into software programs. Fuzz testing strategies derive from the intended use\n of applications and the functional and design specifications for the applications.\n To understand the scope of dynamic code analysis and hence the assurance provided,\n organizations may also consider conducting code coverage analysis (checking the\n degree to which the code has been tested using metrics such as percent of\n subroutines tested or percent of program statements called during execution of the\n test suite) and/or concordance analysis (checking for words that are out of place\n in software code such as non-English language words or derogatory terms)." - }, - { - "id": "sa-11.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to employ dynamic code analysis\n tools to identify common flaws and document the results of the analysis." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test and evaluation plans\\n\\nsecurity test and evaluation results\\n\\nsecurity flaw and remediation tracking reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation" - } - ] - } - ] - } - ] - }, - { - "id": "sa-12", - "class": "SP800-53", - "title": "Supply Chain Protection", - "parameters": [ - { - "id": "sa-12_prm_1", - "label": "organization-defined security safeguards", - "constraints": [ - { - "detail": "organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-12" - }, - { - "name": "sort-id", - "value": "sa-12" - } - ], - "links": [ - { - "href": "#8ab6bcdc-339b-4068-b45e-994814a6e187", - "rel": "reference", - "text": "NIST Special Publication 800-161" - }, - { - "href": "#bdd2f49e-edf7-491f-a178-4487898228f3", - "rel": "reference", - "text": "NIST Interagency Report 7622" - } - ], - "parts": [ - { - "id": "sa-12_smt", - "name": "statement", - "prose": "The organization protects against supply chain threats to the information system,\n system component, or information system service by employing {{ sa-12_prm_1 }} as part of a comprehensive, defense-in-breadth\n information security strategy." - }, - { - "id": "sa-12_gdn", - "name": "guidance", - "prose": "Information systems (including system components that compose those systems) need to\n be protected throughout the system development life cycle (i.e., during design,\n development, manufacturing, packaging, assembly, distribution, system integration,\n operations, maintenance, and retirement). Protection of organizational information\n systems is accomplished through threat awareness, by the identification, management,\n and reduction of vulnerabilities at each phase of the life cycle and the use of\n complementary, mutually reinforcing strategies to respond to risk. Organizations\n consider implementing a standardized process to address supply chain risk with\n respect to information systems and system components, and to educate the acquisition\n workforce on threats, risk, and required security controls. Organizations use the\n acquisition/procurement processes to require supply chain entities to implement\n necessary security safeguards to: (i) reduce the likelihood of unauthorized\n modifications at each stage in the supply chain; and (ii) protect information systems\n and information system components, prior to taking delivery of such\n systems/components. This control also applies to information system services.\n Security safeguards include, for example: (i) security controls for development\n systems, development facilities, and external connections to development systems;\n (ii) vetting development personnel; and (iii) use of tamper-evident packaging during\n shipping/warehousing. Methods for reviewing and protecting development plans,\n evidence, and documentation are commensurate with the security category or\n classification level of the information system. Contracts may specify documentation\n protection requirements.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#pl-8", - "rel": "related", - "text": "PL-8" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sa-14", - "rel": "related", - "text": "SA-14" - }, - { - "href": "#sa-15", - "rel": "related", - "text": "SA-15" - }, - { - "href": "#sa-18", - "rel": "related", - "text": "SA-18" - }, - { - "href": "#sa-19", - "rel": "related", - "text": "SA-19" - }, - { - "href": "#sc-29", - "rel": "related", - "text": "SC-29" - }, - { - "href": "#sc-30", - "rel": "related", - "text": "SC-30" - }, - { - "href": "#sc-38", - "rel": "related", - "text": "SC-38" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sa-12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-12[1]" - } - ], - "prose": "defines security safeguards to be employed to protect against supply chain threats\n to the information system, system component, or information system service;\n and" - }, - { - "id": "sa-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-12[2]" - } - ], - "prose": "protects against supply chain threats to the information system, system component,\n or information system service by employing organization-defined security\n safeguards as part of a comprehensive, defense-in-breadth information security\n strategy." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing supply chain protection\\n\\nprocedures addressing the integration of information security requirements into\n the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nlist of supply chain threats\\n\\nlist of security safeguards to be taken against supply chain threats\\n\\nsystem development life cycle documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with supply chain protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining safeguards for and protecting against supply\n chain threats\\n\\nautomated mechanisms supporting and/or implementing safeguards for supply chain\n threats" - } - ] - } - ] - }, - { - "id": "sa-15", - "class": "SP800-53", - "title": "Development Process, Standards, and Tools", - "parameters": [ - { - "id": "sa-15_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "as needed and as dictated by the current threat posture" - } - ] - }, - { - "id": "sa-15_prm_2", - "label": "organization-defined security requirements", - "constraints": [ - { - "detail": "organization and service provider- defined security requirements" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-15" - }, - { - "name": "sort-id", - "value": "sa-15" - } - ], - "parts": [ - { - "id": "sa-15_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-15_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires the developer of the information system, system component, or information\n system service to follow a documented development process that:", - "parts": [ - { - "id": "sa-15_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Explicitly addresses security requirements;" - }, - { - "id": "sa-15_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identifies the standards and tools used in the development process;" - }, - { - "id": "sa-15_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Documents the specific tool options and tool configurations used in the\n development process; and" - }, - { - "id": "sa-15_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Documents, manages, and ensures the integrity of changes to the process and/or\n tools used in development; and" - } - ] - }, - { - "id": "sa-15_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews the development process, standards, tools, and tool options/configurations\n {{ sa-15_prm_1 }} to determine if the process, standards, tools,\n and tool options/configurations selected and employed can satisfy {{ sa-15_prm_2 }}." - } - ] - }, - { - "id": "sa-15_gdn", - "name": "guidance", - "prose": "Development tools include, for example, programming languages and computer-aided\n design (CAD) systems. Reviews of development processes can include, for example, the\n use of maturity models to determine the potential effectiveness of such processes.\n Maintaining the integrity of changes to tools and processes enables accurate supply\n chain risk assessment and mitigation, and requires robust configuration control\n throughout the life cycle (including design, development, transport, delivery,\n integration, and maintenance) to track authorized changes and prevent unauthorized\n changes.", - "links": [ - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - } - ] - }, - { - "id": "sa-15_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-15.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(a)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to follow a documented development process that:", - "parts": [ - { - "id": "sa-15.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(1)" - } - ], - "prose": "explicitly addresses security requirements;" - }, - { - "id": "sa-15.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(2)" - } - ], - "prose": "identifies the standards and tools used in the development process;" - }, - { - "id": "sa-15.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(3)" - } - ], - "parts": [ - { - "id": "sa-15.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(3)[1]" - } - ], - "prose": "documents the specific tool options used in the development process;" - }, - { - "id": "sa-15.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(3)[2]" - } - ], - "prose": "documents the specific tool configurations used in the development\n process;" - } - ] - }, - { - "id": "sa-15.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(4)" - } - ], - "parts": [ - { - "id": "sa-15.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(4)[1]" - } - ], - "prose": "documents changes to the process and/or tools used in the development;" - }, - { - "id": "sa-15.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(4)[2]" - } - ], - "prose": "manages changes to the process and/or tools used in the development;" - }, - { - "id": "sa-15.a.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(a)(4)[3]" - } - ], - "prose": "ensures the integrity of changes to the process and/or tools used in the\n development;" - } - ] - } - ] - }, - { - "id": "sa-15.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(b)" - } - ], - "parts": [ - { - "id": "sa-15.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(b)[1]" - } - ], - "prose": "defines a frequency to review the development process, standards, tools, and\n tool options/configurations;" - }, - { - "id": "sa-15.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-15(b)[2]" - } - ], - "prose": "defines security requirements to be satisfied by the process, standards, tools,\n and tool option/configurations selected and employed; and" - }, - { - "id": "sa-15.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-15(b)[3]" - } - ], - "parts": [ - { - "id": "sa-15.b_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(b)[3][a]" - } - ], - "prose": "reviews the development process with the organization-defined frequency to\n determine if the process selected and employed can satisfy\n organization-defined security requirements;" - }, - { - "id": "sa-15.b_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(b)[3][b]" - } - ], - "prose": "reviews the development standards with the organization-defined frequency to\n determine if the standards selected and employed can satisfy\n organization-defined security requirements;" - }, - { - "id": "sa-15.b_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(b)[3][c]" - } - ], - "prose": "reviews the development tools with the organization-defined frequency to\n determine if the tools selected and employed can satisfy\n organization-defined security requirements; and" - }, - { - "id": "sa-15.b_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-15(b)[3][d]" - } - ], - "prose": "reviews the development tool options/configurations with the\n organization-defined frequency to determine if the tool\n options/configurations selected and employed can satisfy\n organization-defined security requirements." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing development process, standards, and tools\\n\\nprocedures addressing the integration of security requirements during the\n development process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer documentation listing tool options/configuration guides,\n configuration management records\\n\\nchange control records\\n\\nconfiguration control records\\n\\ndocumented reviews of development process, standards, tools, and tool\n options/configurations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - } - ] - }, - { - "id": "sa-16", - "class": "SP800-53", - "title": "Developer-provided Training", - "parameters": [ - { - "id": "sa-16_prm_1", - "label": "organization-defined training" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-16" - }, - { - "name": "sort-id", - "value": "sa-16" - } - ], - "parts": [ - { - "id": "sa-16_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system component,\n or information system service to provide {{ sa-16_prm_1 }} on the\n correct use and operation of the implemented security functions, controls, and/or\n mechanisms." - }, - { - "id": "sa-16_gdn", - "name": "guidance", - "prose": "This control applies to external and internal (in-house) developers. Training of\n personnel is an essential element to ensure the effectiveness of security controls\n implemented within organizational information systems. Training options include, for\n example, classroom-style training, web-based/computer-based training, and hands-on\n training. Organizations can also request sufficient training materials from\n developers to conduct in-house training or offer self-training to organizational\n personnel. Organizations determine the type of training necessary and may require\n different types of training for different security functions, controls, or\n mechanisms.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "sa-16_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-16[1]" - } - ], - "prose": "defines training to be provided by the developer of the information system, system\n component, or information system service; and" - }, - { - "id": "sa-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-16[2]" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to provide organization-defined training on the correct use and\n operation of the implemented security functions, controls, and/or mechanisms." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing developer-provided training\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ndeveloper-provided training materials\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information system security responsibilities\\n\\nsystem developer\\n\\norganizational or third-party developers with training responsibilities for the\n information system, system component, or information system service" - } - ] - } - ] - }, - { - "id": "sa-17", - "class": "SP800-53", - "title": "Developer Security Architecture and Design", - "properties": [ - { - "name": "label", - "value": "SA-17" - }, - { - "name": "sort-id", - "value": "sa-17" - } - ], - "parts": [ - { - "id": "sa-17_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system component,\n or information system service to produce a design specification and security\n architecture that:", - "parts": [ - { - "id": "sa-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Is consistent with and supportive of the organization’s security architecture\n which is established within and is an integrated part of the organization’s\n enterprise architecture;" - }, - { - "id": "sa-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Accurately and completely describes the required security functionality, and the\n allocation of security controls among physical and logical components; and" - }, - { - "id": "sa-17_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Expresses how individual security functions, mechanisms, and services work\n together to provide required security capabilities and a unified approach to\n protection." - } - ] - }, - { - "id": "sa-17_gdn", - "name": "guidance", - "prose": "This control is primarily directed at external developers, although it could also be\n used for internal (in-house) development. In contrast, PL-8 is primarily directed at\n internal developers to help ensure that organizations develop an information security\n architecture and such security architecture is integrated or tightly coupled to the\n enterprise architecture. This distinction is important if/when organizations\n outsource the development of information systems, information system components, or\n information system services to external entities, and there is a requirement to\n demonstrate consistency with the organization’s enterprise architecture and\n information security architecture.", - "links": [ - { - "href": "#pl-8", - "rel": "related", - "text": "PL-8" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - } - ] - }, - { - "id": "sa-17_obj", - "name": "objective", - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to produce a design specification and\n security architecture that:", - "parts": [ - { - "id": "sa-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(a)" - } - ], - "prose": "is consistent with and supportive of the organization’s security architecture\n which is established within and is an integrated part of the organization’s\n enterprise architecture;" - }, - { - "id": "sa-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(b)" - } - ], - "prose": "accurately and completely describes:", - "parts": [ - { - "id": "sa-17.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-17(b)[1]" - } - ], - "prose": "the required security functionality;" - }, - { - "id": "sa-17.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-17(b)[2]" - } - ], - "prose": "the allocation of security controls among physical and logical components;\n and" - } - ] - }, - { - "id": "sa-17.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-17(c)" - } - ], - "prose": "expresses how individual security functions, mechanisms, and services work\n together to provide required security capabilities and a unified approach to\n protection." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nenterprise architecture policy\\n\\nprocedures addressing developer security architecture and design specification for\n the information system\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ndesign specification and security architecture documentation for the system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with security architecture and design\n responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "System and Communications Protection Policy and Procedures", - "parameters": [ - { - "id": "sc-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "sc-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-1" - }, - { - "name": "sort-id", - "value": "sc-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sc-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and communications protection policy {{ sc-1_prm_2 }};\n and" - }, - { - "id": "sc-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and communications protection procedures {{ sc-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sc-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and communications protection policy that\n addresses:", - "parts": [ - { - "id": "sc-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sc-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sc-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sc-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sc-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sc-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sc-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sc-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;" - }, - { - "id": "sc-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and communications protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sc-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)" - } - ], - "parts": [ - { - "id": "sc-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;" - }, - { - "id": "sc-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sc-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sc-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(1)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection policy;" - }, - { - "id": "sc-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "sc-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(2)" - } - ], - "parts": [ - { - "id": "sc-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection procedures; and" - }, - { - "id": "sc-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sc-2", - "class": "SP800-53", - "title": "Application Partitioning", - "properties": [ - { - "name": "label", - "value": "SC-2" - }, - { - "name": "sort-id", - "value": "sc-02" - } - ], - "parts": [ - { - "id": "sc-2_smt", - "name": "statement", - "prose": "The information system separates user functionality (including user interface\n services) from information system management functionality." - }, - { - "id": "sc-2_gdn", - "name": "guidance", - "prose": "Information system management functionality includes, for example, functions\n necessary to administer databases, network components, workstations, or servers, and\n typically requires privileged user access. The separation of user functionality from\n information system management functionality is either physical or logical.\n Organizations implement separation of system management-related functionality from\n user functionality by using different computers, different central processing units,\n different instances of operating systems, different network addresses, virtualization\n techniques, or combinations of these or other methods, as appropriate. This type of\n separation includes, for example, web administrative interfaces that use separate\n authentication methods for users of any other information system resources.\n Separation of system and user functionality may include isolating administrative\n interfaces on different domains and with additional access controls.", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system separates user functionality (including user\n interface services) from information system management functionality." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing application partitioning\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of user functionality from information system management\n functionality" - } - ] - } - ] - }, - { - "id": "sc-3", - "class": "SP800-53", - "title": "Security Function Isolation", - "properties": [ - { - "name": "label", - "value": "SC-3" - }, - { - "name": "sort-id", - "value": "sc-03" - } - ], - "parts": [ - { - "id": "sc-3_smt", - "name": "statement", - "prose": "The information system isolates security functions from nonsecurity functions." - }, - { - "id": "sc-3_gdn", - "name": "guidance", - "prose": "The information system isolates security functions from nonsecurity functions by\n means of an isolation boundary (implemented via partitions and domains). Such\n isolation controls access to and protects the integrity of the hardware, software,\n and firmware that perform those security functions. Information systems implement\n code separation (i.e., separation of security functions from nonsecurity functions)\n in a number of ways, including, for example, through the provision of security\n kernels via processor rings or processor modes. For non-kernel code, security\n function isolation is often achieved through file system protections that serve to\n protect the code on disk, and address space protections that protect executing code.\n Information systems restrict access to security functions through the use of access\n control mechanisms and by implementing least privilege capabilities. While the ideal\n is for all of the code within the security function isolation boundary to only\n contain security-relevant code, it is sometimes necessary to include nonsecurity\n functions within the isolation boundary as an exception.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-13", - "rel": "related", - "text": "SA-13" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-39", - "rel": "related", - "text": "SC-39" - } - ] - }, - { - "id": "sc-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system isolates security functions from nonsecurity\n functions." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing security function isolation\\n\\nlist of security functions to be isolated from nonsecurity functions\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of security functions from nonsecurity functions within the information\n system" - } - ] - } - ] - }, - { - "id": "sc-4", - "class": "SP800-53", - "title": "Information in Shared Resources", - "properties": [ - { - "name": "label", - "value": "SC-4" - }, - { - "name": "sort-id", - "value": "sc-04" - } - ], - "parts": [ - { - "id": "sc-4_smt", - "name": "statement", - "prose": "The information system prevents unauthorized and unintended information transfer via\n shared system resources." - }, - { - "id": "sc-4_gdn", - "name": "guidance", - "prose": "This control prevents information, including encrypted representations of\n information, produced by the actions of prior users/roles (or the actions of\n processes acting on behalf of prior users/roles) from being available to any current\n users/roles (or current processes) that obtain access to shared system resources\n (e.g., registers, main memory, hard disks) after those resources have been released\n back to information systems. The control of information in shared resources is also\n commonly referred to as object reuse and residual information protection. This\n control does not address: (i) information remanence which refers to residual\n representation of data that has been nominally erased or removed; (ii) covert\n channels (including storage and/or timing channels) where shared resources are\n manipulated to violate information flow restrictions; or (iii) components within\n information systems for which there are only single users/roles.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "sc-4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system prevents unauthorized and unintended information\n transfer via shared system resources." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing information protection in shared system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing unauthorized and unintended transfer of\n information via shared system resources" - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial of Service Protection", - "parameters": [ - { - "id": "sc-5_prm_1", - "label": "organization-defined types of denial of service attacks or references to sources\n for such information" - }, - { - "id": "sc-5_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-5" - }, - { - "name": "sort-id", - "value": "sc-05" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "prose": "The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}." - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.", - "links": [ - { - "href": "#sc-6", - "rel": "related", - "text": "SC-6" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "sc-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[1]" - } - ], - "prose": "the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;" - }, - { - "id": "sc-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[2]" - } - ], - "prose": "the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and" - }, - { - "id": "sc-5_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[3]" - } - ], - "prose": "the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms protecting against or limiting the effects of denial of\n service attacks" - } - ] - } - ] - }, - { - "id": "sc-6", - "class": "SP800-53", - "title": "Resource Availability", - "parameters": [ - { - "id": "sc-6_prm_1", - "label": "organization-defined resources" - }, - { - "id": "sc-6_prm_2" - }, - { - "id": "sc-6_prm_3", - "depends-on": "sc-6_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-6" - }, - { - "name": "sort-id", - "value": "sc-06" - } - ], - "parts": [ - { - "id": "sc-6_smt", - "name": "statement", - "prose": "The information system protects the availability of resources by allocating {{ sc-6_prm_1 }} by {{ sc-6_prm_2 }}." - }, - { - "id": "sc-6_gdn", - "name": "guidance", - "prose": "Priority protection helps prevent lower-priority processes from delaying or\n interfering with the information system servicing any higher-priority processes.\n Quotas prevent users or processes from obtaining more than predetermined amounts of\n resources. This control does not apply to information system components for which\n there are only single users/roles." - }, - { - "id": "sc-6_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-6_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-6[1]" - } - ], - "prose": "the organization defines resources to be allocated to protect the availability of\n resources;" - }, - { - "id": "sc-6_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-6[2]" - } - ], - "prose": "the organization defines security safeguards to be employed to protect the\n availability of resources;" - }, - { - "id": "sc-6_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-6[3]" - } - ], - "prose": "the information system protects the availability of resources by allocating\n organization-defined resources by one or more of the following:", - "parts": [ - { - "id": "sc-6_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-6[3][a]" - } - ], - "prose": "priority;" - }, - { - "id": "sc-6_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-6[3][b]" - } - ], - "prose": "quota; and/or" - }, - { - "id": "sc-6_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-6[3][c]" - } - ], - "prose": "organization-defined safeguards." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing prioritization of information system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing resource allocation\n capability\\n\\nsafeguards employed to protect availability of resources" - } - ] - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "parameters": [ - { - "id": "sc-7_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7" - }, - { - "name": "sort-id", - "value": "sc-07" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#756a8e86-57d5-4701-8382-f7a40439665a", - "rel": "reference", - "text": "NIST Special Publication 800-41" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.", - "links": [ - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "sc-7_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)" - } - ], - "parts": [ - { - "id": "sc-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[1]" - } - ], - "prose": "monitors communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[2]" - } - ], - "prose": "monitors communications at key internal boundaries within the system;" - }, - { - "id": "sc-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[3]" - } - ], - "prose": "controls communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[4]" - } - ], - "prose": "controls communications at key internal boundaries within the system;" - } - ] - }, - { - "id": "sc-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(b)" - } - ], - "prose": "implements subnetworks for publicly accessible system components that are\n either:", - "parts": [ - { - "id": "sc-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[1]" - } - ], - "prose": "physically separated from internal organizational networks; and/or" - }, - { - "id": "sc-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[2]" - } - ], - "prose": "logically separated from internal organizational networks; and" - } - ] - }, - { - "id": "sc-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(c)" - } - ], - "prose": "connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability" - } - ] - } - ], - "controls": [ - { - "id": "sc-7.3", - "class": "SP800-53-enhancement", - "title": "Access Points", - "properties": [ - { - "name": "label", - "value": "SC-7(3)" - }, - { - "name": "sort-id", - "value": "sc-07.03" - } - ], - "parts": [ - { - "id": "sc-7.3_smt", - "name": "statement", - "prose": "The organization limits the number of external network connections to the\n information system." - }, - { - "id": "sc-7.3_gdn", - "name": "guidance", - "prose": "Limiting the number of external network connections facilitates more comprehensive\n monitoring of inbound and outbound communications traffic. The Trusted Internet\n Connection (TIC) initiative is an example of limiting the number of external\n network connections." - }, - { - "id": "sc-7.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization limits the number of external network connections to\n the information system." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncommunications and network traffic monitoring logs\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms limiting the number of external network connections to the\n information system" - } - ] - } - ] - }, - { - "id": "sc-7.4", - "class": "SP800-53-enhancement", - "title": "External Telecommunications Services", - "parameters": [ - { - "id": "sc-7.4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-7(4)" - }, - { - "name": "sort-id", - "value": "sc-07.04" - } - ], - "parts": [ - { - "id": "sc-7.4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-7.4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implements a managed interface for each external telecommunication service;" - }, - { - "id": "sc-7.4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establishes a traffic flow policy for each managed interface;" - }, - { - "id": "sc-7.4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Protects the confidentiality and integrity of the information being transmitted\n across each interface;" - }, - { - "id": "sc-7.4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Documents each exception to the traffic flow policy with a supporting\n mission/business need and duration of that need; and" - }, - { - "id": "sc-7.4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Reviews exceptions to the traffic flow policy {{ sc-7.4_prm_1 }}\n and removes exceptions that are no longer supported by an explicit\n mission/business need." - } - ] - }, - { - "id": "sc-7.4_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "sc-7.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.4.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(a)" - } - ], - "prose": "implements a managed interface for each external telecommunication service;", - "links": [ - { - "href": "#sc-7.4_smt.a", - "rel": "corresp", - "text": "SC-7(4)(a)" - } - ] - }, - { - "id": "sc-7.4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(b)" - } - ], - "prose": "establishes a traffic flow policy for each managed interface;", - "links": [ - { - "href": "#sc-7.4_smt.b", - "rel": "corresp", - "text": "SC-7(4)(b)" - } - ] - }, - { - "id": "sc-7.4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(c)" - } - ], - "prose": "protects the confidentiality and integrity of the information being transmitted\n across each interface;", - "links": [ - { - "href": "#sc-7.4_smt.c", - "rel": "corresp", - "text": "SC-7(4)(c)" - } - ] - }, - { - "id": "sc-7.4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(4)(d)" - } - ], - "prose": "documents each exception to the traffic flow policy with:", - "parts": [ - { - "id": "sc-7.4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(d)[1]" - } - ], - "prose": "a supporting mission/business need;" - }, - { - "id": "sc-7.4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(d)[2]" - } - ], - "prose": "duration of that need;" - } - ], - "links": [ - { - "href": "#sc-7.4_smt.d", - "rel": "corresp", - "text": "SC-7(4)(d)" - } - ] - }, - { - "id": "sc-7.4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(4)(e)" - } - ], - "parts": [ - { - "id": "sc-7.4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(e)[1]" - } - ], - "prose": "defines a frequency to review exceptions to traffic flow policy;" - }, - { - "id": "sc-7.4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(e)[2]" - } - ], - "prose": "reviews exceptions to the traffic flow policy with the organization-defined\n frequency; and" - }, - { - "id": "sc-7.4.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(e)[3]" - } - ], - "prose": "removes traffic flow policy exceptions that are no longer supported by an\n explicit mission/business need" - } - ], - "links": [ - { - "href": "#sc-7.4_smt.e", - "rel": "corresp", - "text": "SC-7(4)(e)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\ntraffic flow policy\\n\\ninformation flow control policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system security architecture\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of traffic flow policy exceptions\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for documenting and reviewing exceptions to the\n traffic flow policy\\n\\norganizational processes for removing exceptions to the traffic flow policy\\n\\nautomated mechanisms implementing boundary protection capability\\n\\nmanaged interfaces implementing traffic flow policy" - } - ] - } - ] - }, - { - "id": "sc-7.5", - "class": "SP800-53-enhancement", - "title": "Deny by Default / Allow by Exception", - "properties": [ - { - "name": "label", - "value": "SC-7(5)" - }, - { - "name": "sort-id", - "value": "sc-07.05" - } - ], - "parts": [ - { - "id": "sc-7.5_smt", - "name": "statement", - "prose": "The information system at managed interfaces denies network communications traffic\n by default and allows network communications traffic by exception (i.e., deny all,\n permit by exception)." - }, - { - "id": "sc-7.5_gdn", - "name": "guidance", - "prose": "This control enhancement applies to both inbound and outbound network\n communications traffic. A deny-all, permit-by-exception network communications\n traffic policy ensures that only those connections which are essential and\n approved are allowed." - }, - { - "id": "sc-7.5_obj", - "name": "objective", - "prose": "Determine if the information system, at managed interfaces:", - "parts": [ - { - "id": "sc-7.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(5)[1]" - } - ], - "prose": "denies network traffic by default; and" - }, - { - "id": "sc-7.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(5)[2]" - } - ], - "prose": "allows network traffic by exception." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.7", - "class": "SP800-53-enhancement", - "title": "Prevent Split Tunneling for Remote Devices", - "properties": [ - { - "name": "label", - "value": "SC-7(7)" - }, - { - "name": "sort-id", - "value": "sc-07.07" - } - ], - "parts": [ - { - "id": "sc-7.7_smt", - "name": "statement", - "prose": "The information system, in conjunction with a remote device, prevents the device\n from simultaneously establishing non-remote connections with the system and\n communicating via some other connection to resources in external networks." - }, - { - "id": "sc-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement is implemented within remote devices (e.g., notebook\n computers) through configuration settings to disable split tunneling in those\n devices, and by preventing those configuration settings from being readily\n configurable by users. This control enhancement is implemented within the\n information system by the detection of split tunneling (or of configuration\n settings that allow split tunneling) in the remote device, and by prohibiting the\n connection if the remote device is using split tunneling. Split tunneling might be\n desirable by remote users to communicate with local information system resources\n such as printers/file servers. However, split tunneling would in effect allow\n unauthorized external connections, making the system more vulnerable to attack and\n to exfiltration of organizational information. The use of VPNs for remote\n connections, when adequately provisioned with appropriate security controls, may\n provide the organization with sufficient assurance that it can effectively treat\n such connections as non-remote connections from the confidentiality and integrity\n perspective. VPNs thus provide a means for allowing non-remote communications\n paths from remote devices. The use of an adequately provisioned VPN does not\n eliminate the need for preventing split tunneling." - }, - { - "id": "sc-7.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system, in conjunction with a remote device, prevents\n the device from simultaneously establishing non-remote connections with the system\n and communicating via some other connection to resources in external networks." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms supporting/restricting non-remote connections" - } - ] - } - ] - }, - { - "id": "sc-7.8", - "class": "SP800-53-enhancement", - "title": "Route Traffic to Authenticated Proxy Servers", - "parameters": [ - { - "id": "sc-7.8_prm_1", - "label": "organization-defined internal communications traffic" - }, - { - "id": "sc-7.8_prm_2", - "label": "organization-defined external networks" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(8)" - }, - { - "name": "sort-id", - "value": "sc-07.08" - } - ], - "parts": [ - { - "id": "sc-7.8_smt", - "name": "statement", - "prose": "The information system routes {{ sc-7.8_prm_1 }} to {{ sc-7.8_prm_2 }} through authenticated proxy servers at managed\n interfaces." - }, - { - "id": "sc-7.8_gdn", - "name": "guidance", - "prose": "External networks are networks outside of organizational control. A proxy server\n is a server (i.e., information system or application) that acts as an intermediary\n for clients requesting information system resources (e.g., files, connections, web\n pages, or services) from other organizational servers. Client requests established\n through an initial connection to the proxy server are evaluated to manage\n complexity and to provide additional protection by limiting direct connectivity.\n Web content filtering devices are one of the most common proxy servers providing\n access to the Internet. Proxy servers support logging individual Transmission\n Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators\n (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be\n configured with organization-defined lists of authorized and unauthorized\n websites.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "sc-7.8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-7.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(8)[1]" - } - ], - "prose": "the organization defines internal communications traffic to be routed to\n external networks;" - }, - { - "id": "sc-7.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(8)[2]" - } - ], - "prose": "the organization defines external networks to which organization-defined\n internal communications traffic is to be routed; and" - }, - { - "id": "sc-7.8_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(8)[3]" - } - ], - "prose": "the information system routes organization-defined internal communications\n traffic to organization-defined external networks through authenticated proxy\n servers at managed interfaces." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management through authenticated\n proxy servers at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.10", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Exfiltration", - "properties": [ - { - "name": "label", - "value": "SC-7(10)" - }, - { - "name": "sort-id", - "value": "sc-07.10" - } - ], - "parts": [ - { - "id": "sc-7.10_smt", - "name": "statement", - "prose": "The organization prevents the unauthorized exfiltration of information across\n managed interfaces." - }, - { - "id": "sc-7.10_gdn", - "name": "guidance", - "prose": "Safeguards implemented by organizations to prevent unauthorized exfiltration of\n information from information systems include, for example: (i) strict adherence to\n protocol formats; (ii) monitoring for beaconing from information systems; (iii)\n monitoring for steganography; (iv) disconnecting external network interfaces\n except when explicitly needed; (v) disassembling and reassembling packet headers;\n and (vi) employing traffic profile analysis to detect deviations from the\n volume/types of traffic expected within organizations or call backs to command and\n control centers. Devices enforcing strict adherence to protocol formats include,\n for example, deep packet inspection firewalls and XML gateways. These devices\n verify adherence to protocol formats and specification at the application layer\n and serve to identify vulnerabilities that cannot be detected by devices operating\n at the network or transport layers. This control enhancement is closely associated\n with cross-domain solutions and system guards enforcing information flow\n requirements.", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "sc-7.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization prevents the unauthorized exfiltration of\n information across managed interfaces." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability\\n\\npreventing unauthorized exfiltration of information across managed\n interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.12", - "class": "SP800-53-enhancement", - "title": "Host-based Protection", - "parameters": [ - { - "id": "sc-7.12_prm_1", - "label": "organization-defined host-based boundary protection mechanisms", - "constraints": [ - { - "detail": "Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall" - } - ] - }, - { - "id": "sc-7.12_prm_2", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(12)" - }, - { - "name": "sort-id", - "value": "sc-07.12" - } - ], - "parts": [ - { - "id": "sc-7.12_smt", - "name": "statement", - "prose": "The organization implements {{ sc-7.12_prm_1 }} at {{ sc-7.12_prm_2 }}." - }, - { - "id": "sc-7.12_gdn", - "name": "guidance", - "prose": "Host-based boundary protection mechanisms include, for example, host-based\n firewalls. Information system components employing host-based boundary protection\n mechanisms include, for example, servers, workstations, and mobile devices." - }, - { - "id": "sc-7.12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(12)[1]" - } - ], - "prose": "defines host-based boundary protection mechanisms;" - }, - { - "id": "sc-7.12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(12)[2]" - } - ], - "prose": "defines information system components where organization-defined host-based\n boundary protection mechanisms are to be implemented; and" - }, - { - "id": "sc-7.12_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(12)[3]" - } - ], - "prose": "implements organization-defined host-based boundary protection mechanisms at\n organization-defined information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities\\n\\ninformation system users" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing host-based boundary protection\n capabilities" - } - ] - } - ] - }, - { - "id": "sc-7.13", - "class": "SP800-53-enhancement", - "title": "Isolation of Security Tools / Mechanisms / Support Components", - "parameters": [ - { - "id": "sc-7.13_prm_1", - "label": "organization-defined information security tools, mechanisms, and support\n components" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(13)" - }, - { - "name": "sort-id", - "value": "sc-07.13" - } - ], - "parts": [ - { - "id": "sc-7.13_smt", - "name": "statement", - "prose": "The organization isolates {{ sc-7.13_prm_1 }} from other internal\n information system components by implementing physically separate subnetworks with\n managed interfaces to other components of the system.", - "parts": [ - { - "id": "sc-7.13_fr", - "name": "item", - "title": "SC-7 (13) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-7.13_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets." - }, - { - "id": "sc-7.13_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc." - } - ] - } - ] - }, - { - "id": "sc-7.13_gdn", - "name": "guidance", - "prose": "Physically separate subnetworks with managed interfaces are useful, for example,\n in isolating computer network defenses from critical operational processing\n networks to prevent adversaries from discovering the analysis and forensics\n techniques of organizations.", - "links": [ - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-7.13_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(13)[1]" - } - ], - "prose": "defines information security tools, mechanisms, and support components to be\n isolated from other internal information system components; and" - }, - { - "id": "sc-7.13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(13)[2]" - } - ], - "prose": "isolates organization-defined information security tools, mechanisms, and\n support components from other internal information system components by\n implementing physically separate subnetworks with managed interfaces to other\n components of the system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security tools and support components to be isolated from other\n internal information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing isolation of information\n security tools, mechanisms, and support components" - } - ] - } - ] - }, - { - "id": "sc-7.18", - "class": "SP800-53-enhancement", - "title": "Fail Secure", - "properties": [ - { - "name": "label", - "value": "SC-7(18)" - }, - { - "name": "sort-id", - "value": "sc-07.18" - } - ], - "parts": [ - { - "id": "sc-7.18_smt", - "name": "statement", - "prose": "The information system fails securely in the event of an operational failure of a\n boundary protection device." - }, - { - "id": "sc-7.18_gdn", - "name": "guidance", - "prose": "Fail secure is a condition achieved by employing information system mechanisms to\n ensure that in the event of operational failures of boundary protection devices at\n managed interfaces (e.g., routers, firewalls, guards, and application gateways\n residing on protected subnetworks commonly referred to as demilitarized zones),\n information systems do not enter into unsecure states where intended security\n properties no longer hold. Failures of boundary protection devices cannot lead to,\n or cause information external to the devices to enter the devices, nor can\n failures permit unauthorized information releases.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "sc-7.18_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system fails securely in the event of an operational\n failure of a boundary protection device." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure failure" - } - ] - } - ] - }, - { - "id": "sc-7.20", - "class": "SP800-53-enhancement", - "title": "Dynamic Isolation / Segregation", - "parameters": [ - { - "id": "sc-7.20_prm_1", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(20)" - }, - { - "name": "sort-id", - "value": "sc-07.20" - } - ], - "parts": [ - { - "id": "sc-7.20_smt", - "name": "statement", - "prose": "The information system provides the capability to dynamically isolate/segregate\n {{ sc-7.20_prm_1 }} from other components of the system." - }, - { - "id": "sc-7.20_gdn", - "name": "guidance", - "prose": "The capability to dynamically isolate or segregate certain internal components of\n organizational information systems is useful when it is necessary to partition or\n separate certain components of dubious origin from those components possessing\n greater trustworthiness. Component isolation reduces the attack surface of\n organizational information systems. Isolation of selected information system\n components is also a means of limiting the damage from successful cyber attacks\n when those attacks occur." - }, - { - "id": "sc-7.20_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-7.20_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(20)[1]" - } - ], - "prose": "the organization defines information system components to be dynamically\n isolated/segregated from other components of the system; and" - }, - { - "id": "sc-7.20_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(20)[2]" - } - ], - "prose": "the information system provides the capability to dynamically isolate/segregate\n organization-defined information system components from other components of the\n system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components to be dynamically isolated/segregated\n from other components of the system\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to\n dynamically isolate/segregate information system components" - } - ] - } - ] - }, - { - "id": "sc-7.21", - "class": "SP800-53-enhancement", - "title": "Isolation of Information System Components", - "parameters": [ - { - "id": "sc-7.21_prm_1", - "label": "organization-defined information system components" - }, - { - "id": "sc-7.21_prm_2", - "label": "organization-defined missions and/or business functions" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(21)" - }, - { - "name": "sort-id", - "value": "sc-07.21" - } - ], - "parts": [ - { - "id": "sc-7.21_smt", - "name": "statement", - "prose": "The organization employs boundary protection mechanisms to separate {{ sc-7.21_prm_1 }} supporting {{ sc-7.21_prm_2 }}." - }, - { - "id": "sc-7.21_gdn", - "name": "guidance", - "prose": "Organizations can isolate information system components performing different\n missions and/or business functions. Such isolation limits unauthorized information\n flows among system components and also provides the opportunity to deploy greater\n levels of protection for selected components. Separating system components with\n boundary protection mechanisms provides the capability for increased protection of\n individual components and to more effectively control information flows between\n those components. This type of enhanced protection limits the potential harm from\n cyber attacks and errors. The degree of separation provided varies depending upon\n the mechanisms chosen. Boundary protection mechanisms include, for example,\n routers, gateways, and firewalls separating system components into physically\n separate networks or subnetworks, cross-domain devices separating subnetworks,\n virtualization techniques, and encrypting information flows among system\n components using distinct encryption keys.", - "links": [ - { - "href": "#ca-9", - "rel": "related", - "text": "CA-9" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-7.21_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.21_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(21)[1]" - } - ], - "prose": "defines information system components to be separated by boundary protection\n mechanisms;" - }, - { - "id": "sc-7.21_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(21)[2]" - } - ], - "prose": "defines missions and/or business functions to be supported by\n organization-defined information system components separated by boundary\n protection mechanisms; and" - }, - { - "id": "sc-7.21_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(21)[3]" - } - ], - "prose": "employs boundary protection mechanisms to separate organization-defined\n information system components supporting organization-defined missions and/or\n business functions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\nenterprise architecture documentation\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the capability to separate\n information system components supporting organizational missions and/or\n business functions" - } - ] - } - ] - } - ] - }, - { - "id": "sc-8", - "class": "SP800-53", - "title": "Transmission Confidentiality and Integrity", - "parameters": [ - { - "id": "sc-8_prm_1", - "constraints": [ - { - "detail": "confidentiality AND integrity" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-8" - }, - { - "name": "sort-id", - "value": "sc-08" - } - ], - "links": [ - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#f2dbd4ec-c413-4714-b85b-6b7184d1c195", - "rel": "reference", - "text": "FIPS Publication 197" - }, - { - "href": "#90c5bc98-f9c4-44c9-98b7-787422f0999c", - "rel": "reference", - "text": "NIST Special Publication 800-52" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - }, - { - "href": "#349fe082-502d-464a-aa0c-1443c6a5cf40", - "rel": "reference", - "text": "NIST Special Publication 800-113" - }, - { - "href": "#a4aa9645-9a8a-4b51-90a9-e223250f9a75", - "rel": "reference", - "text": "CNSS Policy 15" - }, - { - "href": "#06dff0ea-3848-4945-8d91-e955ee69f05d", - "rel": "reference", - "text": "NSTISSI No. 7003" - } - ], - "parts": [ - { - "id": "sc-8_smt", - "name": "statement", - "prose": "The information system protects the {{ sc-8_prm_1 }} of transmitted\n information." - }, - { - "id": "sc-8_gdn", - "name": "guidance", - "prose": "This control applies to both internal and external networks and all types of\n information system components from which information can be transmitted (e.g.,\n servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile\n machines). Communication paths outside the physical protection of a controlled\n boundary are exposed to the possibility of interception and modification. Protecting\n the confidentiality and/or integrity of organizational information can be\n accomplished by physical means (e.g., by employing protected distribution systems) or\n by logical means (e.g., employing encryption techniques). Organizations relying on\n commercial providers offering transmission services as commodity services rather than\n as fully dedicated services (i.e., services which can be highly specialized to\n individual customer needs), may find it difficult to obtain the necessary assurances\n regarding the implementation of needed security controls for transmission\n confidentiality/integrity. In such situations, organizations determine what types of\n confidentiality/integrity services are available in standard, commercial\n telecommunication service packages. If it is infeasible or impractical to obtain the\n necessary security controls and assurances of control effectiveness through\n appropriate contracting vehicles, organizations implement appropriate compensating\n security controls or explicitly accept the additional risk.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - } - ] - }, - { - "id": "sc-8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system protects one or more of the following:", - "parts": [ - { - "id": "sc-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8[1]" - } - ], - "prose": "confidentiality of transmitted information; and/or" - }, - { - "id": "sc-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8[2]" - } - ], - "prose": "integrity of transmitted information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transmission confidentiality\n and/or integrity" - } - ] - } - ], - "controls": [ - { - "id": "sc-8.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic or Alternate Physical Protection", - "parameters": [ - { - "id": "sc-8.1_prm_1", - "constraints": [ - { - "detail": "prevent unauthorized disclosure of information AND detect changes to information" - } - ] - }, - { - "id": "sc-8.1_prm_2", - "label": "organization-defined alternative physical safeguards", - "constraints": [ - { - "detail": "a hardened or alarmed carrier Protective Distribution System (PDS)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-8(1)" - }, - { - "name": "sort-id", - "value": "sc-08.01" - } - ], - "parts": [ - { - "id": "sc-8.1_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to {{ sc-8.1_prm_1 }} during transmission unless otherwise protected by\n {{ sc-8.1_prm_2 }}." - }, - { - "id": "sc-8.1_gdn", - "name": "guidance", - "prose": "Encrypting information for transmission protects information from unauthorized\n disclosure and modification. Cryptographic mechanisms implemented to protect\n information integrity include, for example, cryptographic hash functions which\n have common application in digital signatures, checksums, and message\n authentication codes. Alternative physical security safeguards include, for\n example, protected distribution systems.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "sc-8.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-8(1)[1]" - } - ], - "prose": "the organization defines physical safeguards to be implemented to protect\n information during transmission when cryptographic mechanisms are not\n implemented; and" - }, - { - "id": "sc-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-8(1)[2]" - } - ], - "prose": "the information system implements cryptographic mechanisms to do one or more of\n the following during transmission unless otherwise protected by\n organization-defined alternative physical safeguards:", - "parts": [ - { - "id": "sc-8.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8(1)[2][a]" - } - ], - "prose": "prevent unauthorized disclosure of information; and/or" - }, - { - "id": "sc-8.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8(1)[2][b]" - } - ], - "prose": "detect changes to information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing transmission\n confidentiality and/or integrity\\n\\nautomated mechanisms supporting and/or implementing alternative physical\n safeguards\\n\\norganizational processes for defining and implementing alternative physical\n safeguards" - } - ] - } - ] - } - ] - }, - { - "id": "sc-10", - "class": "SP800-53", - "title": "Network Disconnect", - "parameters": [ - { - "id": "sc-10_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-10" - }, - { - "name": "sort-id", - "value": "sc-10" - } - ], - "parts": [ - { - "id": "sc-10_smt", - "name": "statement", - "prose": "The information system terminates the network connection associated with a\n communications session at the end of the session or after {{ sc-10_prm_1 }} of inactivity." - }, - { - "id": "sc-10_gdn", - "name": "guidance", - "prose": "This control applies to both internal and external networks. Terminating network\n connections associated with communications sessions include, for example,\n de-allocating associated TCP/IP address/port pairs at the operating system level, or\n de-allocating networking assignments at the application level if multiple application\n sessions are using a single, operating system-level network connection. Time periods\n of inactivity may be established by organizations and include, for example, time\n periods by type of network access or for specific network accesses." - }, - { - "id": "sc-10_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-10[1]" - } - ], - "prose": "the organization defines a time period of inactivity after which the information\n system terminates a network connection associated with a communications session;\n and" - }, - { - "id": "sc-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-10[2]" - } - ], - "prose": "the information system terminates the network connection associated with a\n communication session at the end of the session or after the organization-defined\n time period of inactivity." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing network disconnect\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing network disconnect\n capability" - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "parameters": [ - { - "id": "sc-12_prm_1", - "label": "organization-defined requirements for key generation, distribution, storage,\n access, and destruction" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "sc-12" - } - ], - "links": [ - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}.", - "parts": [ - { - "id": "sc-12_fr", - "name": "item", - "title": "SC-12 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Federally approved and validated cryptography." - } - ] - } - ] - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "sc-12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1]" - } - ], - "prose": "defines requirements for cryptographic key:", - "parts": [ - { - "id": "sc-12_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][a]" - } - ], - "prose": "generation;" - }, - { - "id": "sc-12_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][b]" - } - ], - "prose": "distribution;" - }, - { - "id": "sc-12_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][c]" - } - ], - "prose": "storage;" - }, - { - "id": "sc-12_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][d]" - } - ], - "prose": "access;" - }, - { - "id": "sc-12_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][e]" - } - ], - "prose": "destruction; and" - } - ] - }, - { - "id": "sc-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[2]" - } - ], - "prose": "establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management" - } - ] - } - ], - "controls": [ - { - "id": "sc-12.1", - "class": "SP800-53-enhancement", - "title": "Availability", - "properties": [ - { - "name": "label", - "value": "SC-12(1)" - }, - { - "name": "sort-id", - "value": "sc-12.01" - } - ], - "parts": [ - { - "id": "sc-12.1_smt", - "name": "statement", - "prose": "The organization maintains availability of information in the event of the loss of\n cryptographic keys by users." - }, - { - "id": "sc-12.1_gdn", - "name": "guidance", - "prose": "Escrowing of encryption keys is a common practice for ensuring availability in the\n event of loss of keys (e.g., due to forgotten passphrase)." - }, - { - "id": "sc-12.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization maintains availability of information in the event\n of the loss of cryptographic keys by users." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment, management, and\n recovery\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.2", - "class": "SP800-53-enhancement", - "title": "Symmetric Keys", - "parameters": [ - { - "id": "sc-12.2_prm_1", - "constraints": [ - { - "detail": "NIST FIPS-compliant" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12(2)" - }, - { - "name": "sort-id", - "value": "sc-12.02" - } - ], - "parts": [ - { - "id": "sc-12.2_smt", - "name": "statement", - "prose": "The organization produces, controls, and distributes symmetric cryptographic keys\n using {{ sc-12.2_prm_1 }} key management technology and\n processes." - }, - { - "id": "sc-12.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization produces, controls, and distributes symmetric\n cryptographic keys using one of the following: ", - "parts": [ - { - "id": "sc-12.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(2)[1]" - } - ], - "prose": "NIST FIPS-compliant key management technology and processes; or" - }, - { - "id": "sc-12.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(2)[2]" - } - ], - "prose": "NSA-approved key management technology and processes." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FIPS validated cryptographic products\\n\\nlist of NSA-approved cryptographic products\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing symmetric cryptographic key\n establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.3", - "class": "SP800-53-enhancement", - "title": "Asymmetric Keys", - "parameters": [ - { - "id": "sc-12.3_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12(3)" - }, - { - "name": "sort-id", - "value": "sc-12.03" - } - ], - "parts": [ - { - "id": "sc-12.3_smt", - "name": "statement", - "prose": "The organization produces, controls, and distributes asymmetric cryptographic keys\n using {{ sc-12.3_prm_1 }}." - }, - { - "id": "sc-12.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization produces, controls, and distributes asymmetric\n cryptographic keys using one of the following: ", - "parts": [ - { - "id": "sc-12.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(3)[1]" - } - ], - "prose": "NSA-approved key management technology and processes;" - }, - { - "id": "sc-12.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(3)[2]" - } - ], - "prose": "approved PKI Class 3 certificates or prepositioned keying material; or" - }, - { - "id": "sc-12.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(3)[3]" - } - ], - "prose": "approved PKI Class 3 or Class 4 certificates and hardware security tokens that\n protect the user’s private key." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of NSA-approved cryptographic products\\n\\nlist of approved PKI Class 3 and Class 4 certificates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management\\n\\norganizational personnel with responsibilities for PKI certificates" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing asymmetric cryptographic\n key establishment and management" - } - ] - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "parameters": [ - { - "id": "sc-13_prm_1", - "label": "organization-defined cryptographic uses and type of cryptography required for\n each use", - "constraints": [ - { - "detail": "FIPS-validated or NSA-approved cryptography" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "sc-13" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#6a1041fc-054e-4230-946b-2e6f4f3731bb", - "rel": "reference", - "text": "http://csrc.nist.gov/cryptval" - }, - { - "href": "#9b97ed27-3dd6-4f9a-ade5-1b43e9669794", - "rel": "reference", - "text": "http://www.cnss.gov" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "prose": "The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards." - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-7", - "rel": "related", - "text": "IA-7" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sc-13_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13[1]" - } - ], - "prose": "the organization defines cryptographic uses; and" - }, - { - "id": "sc-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13[2]" - } - ], - "prose": "the organization defines the type of cryptography required for each use; and" - }, - { - "id": "sc-13_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-13[3]" - } - ], - "prose": "the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection" - } - ] - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices", - "parameters": [ - { - "id": "sc-15_prm_1", - "label": "organization-defined exceptions where remote activation is to be allowed", - "constraints": [ - { - "detail": "no exceptions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "sc-15" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides an explicit indication of use to users physically present at the\n devices." - }, - { - "id": "sc-15_fr", - "name": "item", - "title": "SC-15 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-15_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use." - } - ] - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.", - "links": [ - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - } - ] - }, - { - "id": "sc-15_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-15.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(a)" - } - ], - "parts": [ - { - "id": "sc-15.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(a)[1]" - } - ], - "prose": "the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;" - }, - { - "id": "sc-15.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(a)[2]" - } - ], - "prose": "the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and" - } - ] - }, - { - "id": "sc-15.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(b)" - } - ], - "prose": "the information system provides an explicit indication of use to users physically\n present at the devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices" - } - ] - } - ] - }, - { - "id": "sc-17", - "class": "SP800-53", - "title": "Public Key Infrastructure Certificates", - "parameters": [ - { - "id": "sc-17_prm_1", - "label": "organization-defined certificate policy" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-17" - }, - { - "name": "sort-id", - "value": "sc-17" - } - ], - "links": [ - { - "href": "#58ad6f27-af99-429f-86a8-8bb767b014b9", - "rel": "reference", - "text": "OMB Memorandum 05-24" - }, - { - "href": "#8f174e91-844e-4cf1-a72a-45c119a3a8dd", - "rel": "reference", - "text": "NIST Special Publication 800-32" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - } - ], - "parts": [ - { - "id": "sc-17_smt", - "name": "statement", - "prose": "The organization issues public key certificates under an {{ sc-17_prm_1 }} or obtains public key certificates from an approved\n service provider." - }, - { - "id": "sc-17_gdn", - "name": "guidance", - "prose": "For all certificates, organizations manage information system trust stores to ensure\n only approved trust anchors are in the trust stores. This control addresses both\n certificates with visibility external to organizational information systems and\n certificates related to the internal operations of systems, for example,\n application-specific time services.", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - } - ] - }, - { - "id": "sc-17_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-17_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-17[1]" - } - ], - "prose": "defines a certificate policy for issuing public key certificates;" - }, - { - "id": "sc-17_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-17[2]" - } - ], - "prose": "issues public key certificates:", - "parts": [ - { - "id": "sc-17_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-17[2][a]" - } - ], - "prose": "under an organization-defined certificate policy: or" - }, - { - "id": "sc-17_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-17[2][b]" - } - ], - "prose": "obtains public key certificates from an approved service provider." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing public key infrastructure certificates\\n\\npublic key certificate policy or policies\\n\\npublic key issuing process\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for issuing public key\n certificates\\n\\nservice providers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of public key\n infrastructure certificates" - } - ] - } - ] - }, - { - "id": "sc-18", - "class": "SP800-53", - "title": "Mobile Code", - "properties": [ - { - "name": "label", - "value": "SC-18" - }, - { - "name": "sort-id", - "value": "sc-18" - } - ], - "links": [ - { - "href": "#e716cd51-d1d5-4c6a-967a-22e9fbbc42f1", - "rel": "reference", - "text": "NIST Special Publication 800-28" - }, - { - "href": "#e6522953-6714-435d-a0d3-140df554c186", - "rel": "reference", - "text": "DoD Instruction 8552.01" - } - ], - "parts": [ - { - "id": "sc-18_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-18_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Defines acceptable and unacceptable mobile code and mobile code technologies;" - }, - { - "id": "sc-18_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes usage restrictions and implementation guidance for acceptable mobile\n code and mobile code technologies; and" - }, - { - "id": "sc-18_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Authorizes, monitors, and controls the use of mobile code within the information\n system." - } - ] - }, - { - "id": "sc-18_gdn", - "name": "guidance", - "prose": "Decisions regarding the employment of mobile code within organizational information\n systems are based on the potential for the code to cause damage to the systems if\n used maliciously. Mobile code technologies include, for example, Java, JavaScript,\n ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage\n restrictions and implementation guidance apply to both the selection and use of\n mobile code installed on servers and mobile code downloaded and executed on\n individual workstations and devices (e.g., smart phones). Mobile code policy and\n procedures address preventing the development, acquisition, or introduction of\n unacceptable mobile code within organizational information systems.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "sc-18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-18.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(a)" - } - ], - "prose": "defines acceptable and unacceptable mobile code and mobile code technologies;" - }, - { - "id": "sc-18.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-18(b)" - } - ], - "parts": [ - { - "id": "sc-18.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(b)[1]" - } - ], - "prose": "establishes usage restrictions for acceptable mobile code and mobile code\n technologies;" - }, - { - "id": "sc-18.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(b)[2]" - } - ], - "prose": "establishes implementation guidance for acceptable mobile code and mobile code\n technologies;" - } - ] - }, - { - "id": "sc-18.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-18(c)" - } - ], - "parts": [ - { - "id": "sc-18.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(c)[1]" - } - ], - "prose": "authorizes the use of mobile code within the information system;" - }, - { - "id": "sc-18.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(c)[2]" - } - ], - "prose": "monitors the use of mobile code within the information system; and" - }, - { - "id": "sc-18.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(c)[3]" - } - ], - "prose": "controls the use of mobile code within the information system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing mobile code\\n\\nmobile code usage restrictions, mobile code implementation policy and\n procedures\\n\\nlist of acceptable mobile code and mobile code technologies\\n\\nlist of unacceptable mobile code and mobile technologies\\n\\nauthorization records\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for controlling, authorizing, monitoring, and restricting\n mobile code\\n\\nautomated mechanisms supporting and/or implementing the management of mobile\n code\\n\\nautomated mechanisms supporting and/or implementing the monitoring of mobile\n code" - } - ] - } - ] - }, - { - "id": "sc-19", - "class": "SP800-53", - "title": "Voice Over Internet Protocol", - "properties": [ - { - "name": "label", - "value": "SC-19" - }, - { - "name": "sort-id", - "value": "sc-19" - } - ], - "links": [ - { - "href": "#7783f3e7-09b3-478b-9aa2-4a76dfd0ea90", - "rel": "reference", - "text": "NIST Special Publication 800-58" - } - ], - "parts": [ - { - "id": "sc-19_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-19_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions and implementation guidance for Voice over Internet\n Protocol (VoIP) technologies based on the potential to cause damage to the\n information system if used maliciously; and" - }, - { - "id": "sc-19_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes, monitors, and controls the use of VoIP within the information\n system." - } - ] - }, - { - "id": "sc-19_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-15", - "rel": "related", - "text": "SC-15" - } - ] - }, - { - "id": "sc-19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-19.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-19(a)" - } - ], - "parts": [ - { - "id": "sc-19.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-19(a)[1]" - } - ], - "prose": "establishes usage restrictions for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;" - }, - { - "id": "sc-19.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-19(a)[2]" - } - ], - "prose": "establishes implementation guidance for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;" - } - ] - }, - { - "id": "sc-19.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-19(b)" - } - ], - "parts": [ - { - "id": "sc-19.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-19(b)[1]" - } - ], - "prose": "authorizes the use of VoIP within the information system;" - }, - { - "id": "sc-19.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-19(b)[2]" - } - ], - "prose": "monitors the use of VoIP within the information system; and" - }, - { - "id": "sc-19.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-19(b)[3]" - } - ], - "prose": "controls the use of VoIP within the information system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing VoIP\\n\\nVoIP usage restrictions\\n\\nVoIP implementation guidance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing VoIP" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling VoIP\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling VoIP" - } - ] - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (authoritative Source)", - "properties": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "sc-20" - } - ], - "links": [ - { - "href": "#28115a56-da6b-4d44-b1df-51dd7f048a3e", - "rel": "reference", - "text": "OMB Memorandum 08-23" - }, - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.", - "links": [ - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-20_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(a)" - } - ], - "prose": "provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;" - }, - { - "id": "sc-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(b)" - } - ], - "prose": "provides the means to, when operating as part of a distributed, hierarchical\n namespace:", - "parts": [ - { - "id": "sc-20.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[1]" - } - ], - "prose": "indicate the security status of child zones; and" - }, - { - "id": "sc-20.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[2]" - } - ], - "prose": "enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure name/address resolution\n service" - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (recursive or Caching Resolver)", - "properties": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "sc-21" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.", - "links": [ - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-21_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "sc-21_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21[1]" - } - ], - "prose": "requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21[2]" - } - ], - "prose": "requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21[3]" - } - ], - "prose": "performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and" - }, - { - "id": "sc-21_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21[4]" - } - ], - "prose": "performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name / Address Resolution Service", - "properties": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "sc-22" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).", - "links": [ - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "sc-22_obj", - "name": "objective", - "prose": "Determine if the information systems that collectively provide name/address\n resolution service for an organization: ", - "parts": [ - { - "id": "sc-22_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22[1]" - } - ], - "prose": "are fault tolerant; and" - }, - { - "id": "sc-22_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22[2]" - } - ], - "prose": "implement internal/external role separation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation" - } - ] - } - ] - }, - { - "id": "sc-23", - "class": "SP800-53", - "title": "Session Authenticity", - "properties": [ - { - "name": "label", - "value": "SC-23" - }, - { - "name": "sort-id", - "value": "sc-23" - } - ], - "links": [ - { - "href": "#90c5bc98-f9c4-44c9-98b7-787422f0999c", - "rel": "reference", - "text": "NIST Special Publication 800-52" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#1ebdf782-d95d-4a7b-8ec7-ee860951eced", - "rel": "reference", - "text": "NIST Special Publication 800-95" - } - ], - "parts": [ - { - "id": "sc-23_smt", - "name": "statement", - "prose": "The information system protects the authenticity of communications sessions." - }, - { - "id": "sc-23_gdn", - "name": "guidance", - "prose": "This control addresses communications protection at the session, versus packet level\n (e.g., sessions in service-oriented architectures providing web-based services) and\n establishes grounds for confidence at both ends of communications sessions in ongoing\n identities of other parties and in the validity of information transmitted.\n Authenticity protection includes, for example, protecting against man-in-the-middle\n attacks/session hijacking and the insertion of false information into sessions.", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-11", - "rel": "related", - "text": "SC-11" - } - ] - }, - { - "id": "sc-23_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system protects the authenticity of communications\n sessions." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing session authenticity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session authenticity" - } - ] - } - ], - "controls": [ - { - "id": "sc-23.1", - "class": "SP800-53-enhancement", - "title": "Invalidate Session Identifiers at Logout", - "properties": [ - { - "name": "label", - "value": "SC-23(1)" - }, - { - "name": "sort-id", - "value": "sc-23.01" - } - ], - "parts": [ - { - "id": "sc-23.1_smt", - "name": "statement", - "prose": "The information system invalidates session identifiers upon user logout or other\n session termination." - }, - { - "id": "sc-23.1_gdn", - "name": "guidance", - "prose": "This control enhancement curtails the ability of adversaries from capturing and\n continuing to employ previously valid session IDs." - }, - { - "id": "sc-23.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system invalidates session identifiers upon user\n logout or other session termination." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing session authenticity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session identifier\n invalidation upon session termination" - } - ] - } - ] - } - ] - }, - { - "id": "sc-24", - "class": "SP800-53", - "title": "Fail in Known State", - "parameters": [ - { - "id": "sc-24_prm_1", - "label": "organization-defined known-state" - }, - { - "id": "sc-24_prm_2", - "label": "organization-defined types of failures" - }, - { - "id": "sc-24_prm_3", - "label": "organization-defined system state information" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-24" - }, - { - "name": "sort-id", - "value": "sc-24" - } - ], - "parts": [ - { - "id": "sc-24_smt", - "name": "statement", - "prose": "The information system fails to a {{ sc-24_prm_1 }} for {{ sc-24_prm_2 }} preserving {{ sc-24_prm_3 }} in\n failure." - }, - { - "id": "sc-24_gdn", - "name": "guidance", - "prose": "Failure in a known state addresses security concerns in accordance with the\n mission/business needs of organizations. Failure in a known secure state helps to\n prevent the loss of confidentiality, integrity, or availability of information in the\n event of failures of organizational information systems or system components. Failure\n in a known safe state helps to prevent systems from failing to a state that may cause\n injury to individuals or destruction to property. Preserving information system state\n information facilitates system restart and return to the operational mode of\n organizations with less disruption of mission/business processes.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#cp-12", - "rel": "related", - "text": "CP-12" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-24_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-24_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-24[1]" - } - ], - "prose": "the organization defines a known-state to which the information system is to fail\n in the event of a system failure;" - }, - { - "id": "sc-24_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-24[2]" - } - ], - "prose": "the organization defines types of failures for which the information system is to\n fail to an organization-defined known-state;" - }, - { - "id": "sc-24_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-24[3]" - } - ], - "prose": "the organization defines system state information to be preserved in the event of\n a system failure;" - }, - { - "id": "sc-24_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-24[4]" - } - ], - "prose": "the information system fails to the organization-defined known-state for\n organization-defined types of failures; and" - }, - { - "id": "sc-24_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-24[5]" - } - ], - "prose": "the information system preserves the organization-defined system state information\n in the event of a system failure." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing information system failure to known state\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of failures requiring information system to fail in a known state\\n\\nstate information to be preserved in system failure\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fail-in-known state\n capability\\n\\nautomated mechanisms preserving system state information in the event of a system\n failure" - } - ] - } - ] - }, - { - "id": "sc-28", - "class": "SP800-53", - "title": "Protection of Information at Rest", - "parameters": [ - { - "id": "sc-28_prm_1", - "constraints": [ - { - "detail": "confidentiality AND integrity" - } - ] - }, - { - "id": "sc-28_prm_2", - "label": "organization-defined information at rest" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-28" - }, - { - "name": "sort-id", - "value": "sc-28" - } - ], - "links": [ - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "sc-28_smt", - "name": "statement", - "prose": "The information system protects the {{ sc-28_prm_1 }} of {{ sc-28_prm_2 }}.", - "parts": [ - { - "id": "sc-28_fr", - "name": "item", - "title": "SC-28 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-28_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The organization supports the capability to use cryptographic mechanisms to protect information at rest." - } - ] - } - ] - }, - { - "id": "sc-28_gdn", - "name": "guidance", - "prose": "This control addresses the confidentiality and integrity of information at rest and\n covers user information and system information. Information at rest refers to the\n state of information when it is located on storage devices as specific components of\n information systems. System-related information requiring protection includes, for\n example, configurations or rule sets for firewalls, gateways, intrusion\n detection/prevention systems, filtering routers, and authenticator content.\n Organizations may employ different mechanisms to achieve confidentiality and\n integrity protections, including the use of cryptographic mechanisms and file share\n scanning. Integrity protection can be achieved, for example, by implementing\n Write-Once-Read-Many (WORM) technologies. Organizations may also employ other\n security controls including, for example, secure off-line storage in lieu of online\n storage when adequate protection of information at rest cannot otherwise be achieved\n and/or continuous monitoring to identify malicious code at rest.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sc-28_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-28_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[1]" - } - ], - "prose": "the organization defines information at rest requiring one or more of the\n following:", - "parts": [ - { - "id": "sc-28_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[1][a]" - } - ], - "prose": "confidentiality protection; and/or" - }, - { - "id": "sc-28_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[1][b]" - } - ], - "prose": "integrity protection;" - } - ] - }, - { - "id": "sc-28_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[2]" - } - ], - "prose": "the information system protects:", - "parts": [ - { - "id": "sc-28_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[2][a]" - } - ], - "prose": "the confidentiality of organization-defined information at rest; and/or" - }, - { - "id": "sc-28_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[2][b]" - } - ], - "prose": "the integrity of organization-defined information at rest." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\nlist of information at rest requiring confidentiality and integrity\n protections\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing confidentiality and integrity\n protections for information at rest" - } - ] - } - ], - "controls": [ - { - "id": "sc-28.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "parameters": [ - { - "id": "sc-28.1_prm_1", - "label": "organization-defined information" - }, - { - "id": "sc-28.1_prm_2", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all information system components storing customer data deemed sensitive" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-28(1)" - }, - { - "name": "sort-id", - "value": "sc-28.01" - } - ], - "parts": [ - { - "id": "sc-28.1_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to prevent unauthorized\n disclosure and modification of {{ sc-28.1_prm_1 }} on {{ sc-28.1_prm_2 }}." - }, - { - "id": "sc-28.1_gdn", - "name": "guidance", - "prose": "Selection of cryptographic mechanisms is based on the need to protect the\n confidentiality and integrity of organizational information. The strength of\n mechanism is commensurate with the security category and/or classification of the\n information. This control enhancement applies to significant concentrations of\n digital media in organizational areas designated for media storage and also to\n limited quantities of media generally associated with information system\n components in operational environments (e.g., portable storage devices, mobile\n devices). Organizations have the flexibility to either encrypt all information on\n storage devices (i.e., full disk encryption) or encrypt specific data structures\n (e.g., files, records, or fields). Organizations employing cryptographic\n mechanisms to protect information at rest also consider cryptographic key\n management solutions.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - } - ] - }, - { - "id": "sc-28.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-28.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(1)[1]" - } - ], - "prose": "the organization defines information requiring cryptographic protection;" - }, - { - "id": "sc-28.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(1)[2]" - } - ], - "prose": "the organization defines information system components with\n organization-defined information requiring cryptographic protection; and" - }, - { - "id": "sc-28.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(1)[3]" - } - ], - "prose": "the information system employs cryptographic mechanisms to prevent unauthorized\n disclosure and modification of organization-defined information on\n organization-defined information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms implementing confidentiality and integrity protections\n for information at rest" - } - ] - } - ] - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "properties": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "sc-39" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "The information system maintains a separate execution domain for each executing\n process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-39_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system maintains a separate execution domain for each\n executing process." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system developers/integrators\\n\\ninformation system security architect" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process" - } - ] - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "System and Information Integrity Policy and Procedures", - "parameters": [ - { - "id": "si-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "si-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-1" - }, - { - "name": "sort-id", - "value": "si-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "si-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and information integrity policy {{ si-1_prm_2 }};\n and" - }, - { - "id": "si-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and information integrity procedures {{ si-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "si-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and information integrity policy that\n addresses:", - "parts": [ - { - "id": "si-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "si-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "si-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "si-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "si-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "si-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "si-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "si-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;" - }, - { - "id": "si-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and information integrity policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "si-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)" - } - ], - "parts": [ - { - "id": "si-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;" - }, - { - "id": "si-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "si-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "si-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(1)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity policy;" - }, - { - "id": "si-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "si-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(2)" - } - ], - "parts": [ - { - "id": "si-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity procedures; and" - }, - { - "id": "si-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "parameters": [ - { - "id": "si-2_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "thirty (30) days of release of updates" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-2" - }, - { - "name": "sort-id", - "value": "si-02" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies, reports, and corrects information system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "si-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)" - } - ], - "parts": [ - { - "id": "si-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[1]" - } - ], - "prose": "identifies information system flaws;" - }, - { - "id": "si-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[2]" - } - ], - "prose": "reports information system flaws;" - }, - { - "id": "si-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[3]" - } - ], - "prose": "corrects information system flaws;" - } - ] - }, - { - "id": "si-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(b)" - } - ], - "parts": [ - { - "id": "si-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(b)[1]" - } - ], - "prose": "tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - }, - { - "id": "si-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(b)[2]" - } - ], - "prose": "tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - } - ] - }, - { - "id": "si-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)" - } - ], - "parts": [ - { - "id": "si-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(c)[1]" - } - ], - "prose": "defines the time period within which to install security-relevant software\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(c)[2]" - } - ], - "prose": "defines the time period within which to install security-relevant firmware\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(c)[3]" - } - ], - "prose": "installs software updates within the organization-defined time period of the\n release of the updates;" - }, - { - "id": "si-2.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(c)[4]" - } - ], - "prose": "installs firmware updates within the organization-defined time period of the\n release of the updates; and" - } - ] - }, - { - "id": "si-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(d)" - } - ], - "prose": "incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates" - } - ] - } - ], - "controls": [ - { - "id": "si-2.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "properties": [ - { - "name": "label", - "value": "SI-2(1)" - }, - { - "name": "sort-id", - "value": "si-02.01" - } - ], - "parts": [ - { - "id": "si-2.1_smt", - "name": "statement", - "prose": "The organization centrally manages the flaw remediation process." - }, - { - "id": "si-2.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of flaw\n remediation processes. Central management includes planning, implementing,\n assessing, authorizing, and monitoring the organization-defined, centrally managed\n flaw remediation security controls." - }, - { - "id": "si-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization centrally manages the flaw remediation process." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nautomated mechanisms supporting centralized management of flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for central management of the flaw remediation\n process\\n\\nautomated mechanisms supporting and/or implementing central management of the\n flaw remediation process" - } - ] - } - ] - }, - { - "id": "si-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Flaw Remediation Status", - "parameters": [ - { - "id": "si-2.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-2(2)" - }, - { - "name": "sort-id", - "value": "si-02.02" - } - ], - "parts": [ - { - "id": "si-2.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms {{ si-2.2_prm_1 }} to\n determine the state of information system components with regard to flaw\n remediation." - }, - { - "id": "si-2.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "si-2.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(2)[1]" - } - ], - "prose": "defines a frequency to employ automated mechanisms to determine the state of\n information system components with regard to flaw remediation; and" - }, - { - "id": "si-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(2)[2]" - } - ], - "prose": "employs automated mechanisms with the organization-defined frequency to\n determine the state of information system components with regard to flaw\n remediation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nautomated mechanisms supporting centralized management of flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms used to determine the state of information system\n components with regard to flaw remediation" - } - ] - } - ] - }, - { - "id": "si-2.3", - "class": "SP800-53-enhancement", - "title": "Time to Remediate Flaws / Benchmarks for Corrective Actions", - "parameters": [ - { - "id": "si-2.3_prm_1", - "label": "organization-defined benchmarks" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-2(3)" - }, - { - "name": "sort-id", - "value": "si-02.03" - } - ], - "parts": [ - { - "id": "si-2.3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-2.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Measures the time between flaw identification and flaw remediation; and" - }, - { - "id": "si-2.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establishes {{ si-2.3_prm_1 }} for taking corrective\n actions." - } - ] - }, - { - "id": "si-2.3_gdn", - "name": "guidance", - "prose": "This control enhancement requires organizations to determine the current time it\n takes on the average to correct information system flaws after such flaws have\n been identified, and subsequently establish organizational benchmarks (i.e., time\n frames) for taking corrective actions. Benchmarks can be established by type of\n flaw and/or severity of the potential vulnerability if the flaw can be\n exploited." - }, - { - "id": "si-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(3)(a)" - } - ], - "prose": "measures the time between flaw identification and flaw remediation;", - "links": [ - { - "href": "#si-2.3_smt.a", - "rel": "corresp", - "text": "SI-2(3)(a)" - } - ] - }, - { - "id": "si-2.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(3)(b)" - } - ], - "parts": [ - { - "id": "si-2.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(3)(b)[1]" - } - ], - "prose": "defines benchmarks for taking corrective actions; and" - }, - { - "id": "si-2.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(3)(b)[2]" - } - ], - "prose": "establishes organization-defined benchmarks for taking corrective\n actions." - } - ], - "links": [ - { - "href": "#si-2.3_smt.b", - "rel": "corresp", - "text": "SI-2(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of benchmarks for taking corrective action on flaws identified\\n\\nrecords providing time stamps of flaw identification and subsequent flaw\n remediation activities\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\nautomated mechanisms used to measure the time between flaw identification and\n flaw remediation" - } - ] - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "parameters": [ - { - "id": "si-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "si-3_prm_2", - "constraints": [ - { - "detail": "to include endpoints" - } - ] - }, - { - "id": "si-3_prm_3", - "constraints": [ - { - "detail": "to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime" - } - ] - }, - { - "id": "si-3_prm_4", - "depends-on": "si-3_prm_3", - "label": "organization-defined action" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-3" - }, - { - "name": "sort-id", - "value": "si-03" - } - ], - "links": [ - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "\n {{ si-3_prm_3 }} in response to malicious code detection;\n and" - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-13", - "rel": "related", - "text": "SA-13" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-44", - "rel": "related", - "text": "SC-44" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(a)" - } - ], - "prose": "employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:", - "parts": [ - { - "id": "si-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[1]" - } - ], - "prose": "entry points;" - }, - { - "id": "si-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[2]" - } - ], - "prose": "exit points;" - } - ] - }, - { - "id": "si-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(b)" - } - ], - "prose": "updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);" - }, - { - "id": "si-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)" - } - ], - "parts": [ - { - "id": "si-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-3(c)[1]" - } - ], - "prose": "defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;" - }, - { - "id": "si-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-3(c)[2]" - } - ], - "prose": "defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;" - }, - { - "id": "si-3.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3]" - } - ], - "parts": [ - { - "id": "si-3.c.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(c)[3](1)" - } - ], - "prose": "configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3.c.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[a]" - } - ], - "prose": "perform periodic scans of the information system with the\n organization-defined frequency;" - }, - { - "id": "si-3.c.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[b]" - } - ], - "prose": "perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;" - } - ] - }, - { - "id": "si-3.c.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(c)[3](2)" - } - ], - "prose": "configures malicious code protection mechanisms to do one or more of the\n following:", - "parts": [ - { - "id": "si-3.c.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[a]" - } - ], - "prose": "block malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[b]" - } - ], - "prose": "quarantine malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[c]" - } - ], - "prose": "send alert to administrator in response to malicious code detection;\n and/or" - }, - { - "id": "si-3.c.2_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[d]" - } - ], - "prose": "initiate organization-defined action in response to malicious code\n detection;" - } - ] - } - ] - } - ] - }, - { - "id": "si-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(d)" - } - ], - "parts": [ - { - "id": "si-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(d)[1]" - } - ], - "prose": "addresses the receipt of false positives during malicious code detection and\n eradication; and" - }, - { - "id": "si-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(d)[2]" - } - ], - "prose": "addresses the resulting potential impact on the availability of the information\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions" - } - ] - } - ], - "controls": [ - { - "id": "si-3.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "properties": [ - { - "name": "label", - "value": "SI-3(1)" - }, - { - "name": "sort-id", - "value": "si-03.01" - } - ], - "parts": [ - { - "id": "si-3.1_smt", - "name": "statement", - "prose": "The organization centrally manages malicious code protection mechanisms." - }, - { - "id": "si-3.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of\n malicious code protection mechanisms. Central management includes planning,\n implementing, assessing, authorizing, and monitoring the organization-defined,\n centrally managed flaw malicious code protection security controls.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#si-8", - "rel": "related", - "text": "SI-8" - } - ] - }, - { - "id": "si-3.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization centrally manages malicious code protection\n mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for central management of malicious code protection\n mechanisms\\n\\nautomated mechanisms supporting and/or implementing central management of\n malicious code protection mechanisms" - } - ] - } - ] - }, - { - "id": "si-3.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "properties": [ - { - "name": "label", - "value": "SI-3(2)" - }, - { - "name": "sort-id", - "value": "si-03.02" - } - ], - "parts": [ - { - "id": "si-3.2_smt", - "name": "statement", - "prose": "The information system automatically updates malicious code protection\n mechanisms." - }, - { - "id": "si-3.2_gdn", - "name": "guidance", - "prose": "Malicious code protection mechanisms include, for example, signature definitions.\n Due to information system integrity and availability concerns, organizations give\n careful consideration to the methodology used to carry out automatic updates.", - "links": [ - { - "href": "#si-8", - "rel": "related", - "text": "SI-8" - } - ] - }, - { - "id": "si-3.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system automatically updates malicious code\n protection mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing automatic updates to\n malicious code protection capability" - } - ] - } - ] - }, - { - "id": "si-3.7", - "class": "SP800-53-enhancement", - "title": "Nonsignature-based Detection", - "properties": [ - { - "name": "label", - "value": "SI-3(7)" - }, - { - "name": "sort-id", - "value": "si-03.07" - } - ], - "parts": [ - { - "id": "si-3.7_smt", - "name": "statement", - "prose": "The information system implements nonsignature-based malicious code detection\n mechanisms." - }, - { - "id": "si-3.7_gdn", - "name": "guidance", - "prose": "Nonsignature-based detection mechanisms include, for example, the use of\n heuristics to detect, analyze, and describe the characteristics or behavior of\n malicious code and to provide safeguards against malicious code for which\n signatures do not yet exist or for which existing signatures may not be effective.\n This includes polymorphic malicious code (i.e., code that changes signatures when\n it replicates). This control enhancement does not preclude the use of\n signature-based detection mechanisms." - }, - { - "id": "si-3.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements non signature-based malicious code\n detection mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\ninformation system design documentation\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing nonsignature-based\n malicious code protection capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "Information System Monitoring", - "parameters": [ - { - "id": "si-4_prm_1", - "label": "organization-defined monitoring objectives" - }, - { - "id": "si-4_prm_2", - "label": "organization-defined techniques and methods" - }, - { - "id": "si-4_prm_3", - "label": "organization-defined information system monitoring information" - }, - { - "id": "si-4_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4_prm_5" - }, - { - "id": "si-4_prm_6", - "depends-on": "si-4_prm_5", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4" - }, - { - "name": "sort-id", - "value": "si-04" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors the information system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifies unauthorized use of the information system through {{ si-4_prm_2 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Deploys monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Strategically within the information system to collect organization-determined\n essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}." - }, - { - "id": "si-4_fr", - "name": "item", - "title": "SI-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "si-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See US-CERT Incident Response Reporting Guidelines." - } - ] - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-35", - "rel": "related", - "text": "SC-35" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(a)(1)[1]" - } - ], - "prose": "defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;" - }, - { - "id": "si-4.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(a)(1)[2]" - } - ], - "prose": "monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:", - "parts": [ - { - "id": "si-4.a.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][a]" - } - ], - "prose": "attacks;" - }, - { - "id": "si-4.a.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][b]" - } - ], - "prose": "indicators of potential attacks;" - } - ] - } - ] - }, - { - "id": "si-4.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(a)(2)" - } - ], - "prose": "monitors the information system to detect unauthorized:", - "parts": [ - { - "id": "si-4.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[1]" - } - ], - "prose": "local connections;" - }, - { - "id": "si-4.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[2]" - } - ], - "prose": "network connections;" - }, - { - "id": "si-4.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[3]" - } - ], - "prose": "remote connections;" - } - ] - } - ] - }, - { - "id": "si-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(b)" - } - ], - "parts": [ - { - "id": "si-4.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(b)(1)" - } - ], - "prose": "defines techniques and methods to identify unauthorized use of the information\n system;" - }, - { - "id": "si-4.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(b)(2)" - } - ], - "prose": "identifies unauthorized use of the information system through\n organization-defined techniques and methods;" - } - ] - }, - { - "id": "si-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(c)" - } - ], - "prose": "deploys monitoring devices:", - "parts": [ - { - "id": "si-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[1]" - } - ], - "prose": "strategically within the information system to collect organization-determined\n essential information;" - }, - { - "id": "si-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[2]" - } - ], - "prose": "at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(d)" - } - ], - "prose": "protects information obtained from intrusion-monitoring tools from\n unauthorized:", - "parts": [ - { - "id": "si-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[1]" - } - ], - "prose": "access;" - }, - { - "id": "si-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[2]" - } - ], - "prose": "modification;" - }, - { - "id": "si-4.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[3]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "si-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(e)" - } - ], - "prose": "heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-4(f)" - } - ], - "prose": "obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;" - }, - { - "id": "si-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)" - } - ], - "parts": [ - { - "id": "si-4.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[1]" - } - ], - "prose": "defines personnel or roles to whom information system monitoring information is\n to be provided;" - }, - { - "id": "si-4.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[2]" - } - ], - "prose": "defines information system monitoring information to be provided to\n organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[3]" - } - ], - "prose": "defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(g)[4]" - } - ], - "prose": "provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:", - "parts": [ - { - "id": "si-4.g_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][a]" - } - ], - "prose": "as needed; and/or" - }, - { - "id": "si-4.g_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][b]" - } - ], - "prose": "with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability" - } - ] - } - ], - "controls": [ - { - "id": "si-4.1", - "class": "SP800-53-enhancement", - "title": "System-wide Intrusion Detection System", - "properties": [ - { - "name": "label", - "value": "SI-4(1)" - }, - { - "name": "sort-id", - "value": "si-04.01" - } - ], - "parts": [ - { - "id": "si-4.1_smt", - "name": "statement", - "prose": "The organization connects and configures individual intrusion detection tools into\n an information system-wide intrusion detection system." - }, - { - "id": "si-4.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(1)[1]" - } - ], - "prose": "connects individual intrusion detection tools into an information system-wide\n intrusion detection system; and" - }, - { - "id": "si-4.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(1)[2]" - } - ], - "prose": "configures individual intrusion detection tools into an information system-wide\n intrusion detection system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability" - } - ] - } - ] - }, - { - "id": "si-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Tools for Real-time Analysis", - "properties": [ - { - "name": "label", - "value": "SI-4(2)" - }, - { - "name": "sort-id", - "value": "si-04.02" - } - ], - "parts": [ - { - "id": "si-4.2_smt", - "name": "statement", - "prose": "The organization employs automated tools to support near real-time analysis of\n events." - }, - { - "id": "si-4.2_gdn", - "name": "guidance", - "prose": "Automated tools include, for example, host-based, network-based, transport-based,\n or storage-based event monitoring tools or Security Information and Event\n Management (SIEM) technologies that provide real time analysis of alerts and/or\n notifications generated by organizational information systems." - }, - { - "id": "si-4.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated tools to support near real-time\n analysis of events." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for incident\n response/management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for near real-time analysis of events\\n\\norganizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system\n monitoring\\n\\nautomated mechanisms/tools supporting and/or implementing analysis of\n events" - } - ] - } - ] - }, - { - "id": "si-4.4", - "class": "SP800-53-enhancement", - "title": "Inbound and Outbound Communications Traffic", - "parameters": [ - { - "id": "si-4.4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "continuously" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4(4)" - }, - { - "name": "sort-id", - "value": "si-04.04" - } - ], - "parts": [ - { - "id": "si-4.4_smt", - "name": "statement", - "prose": "The information system monitors inbound and outbound communications traffic\n {{ si-4.4_prm_1 }} for unusual or unauthorized activities or\n conditions." - }, - { - "id": "si-4.4_gdn", - "name": "guidance", - "prose": "Unusual/unauthorized activities or conditions related to information system\n inbound and outbound communications traffic include, for example, internal traffic\n that indicates the presence of malicious code within organizational information\n systems or propagating among system components, the unauthorized exporting of\n information, or signaling to external information systems. Evidence of malicious\n code is used to identify potentially compromised information systems or\n information system components." - }, - { - "id": "si-4.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(4)[1]" - } - ], - "prose": "defines a frequency to monitor:", - "parts": [ - { - "id": "si-4.4_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[1][a]" - } - ], - "prose": "inbound communications traffic for unusual or unauthorized activities or\n conditions;" - }, - { - "id": "si-4.4_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[1][b]" - } - ], - "prose": "outbound communications traffic for unusual or unauthorized activities or\n conditions;" - } - ] - }, - { - "id": "si-4.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(4)[2]" - } - ], - "prose": "monitors, with the organization-defined frequency:", - "parts": [ - { - "id": "si-4.4_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[2][a]" - } - ], - "prose": "inbound communications traffic for unusual or unauthorized activities or\n conditions; and" - }, - { - "id": "si-4.4_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[2][b]" - } - ], - "prose": "outbound communications traffic for unusual or unauthorized activities or\n conditions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability/information system monitoring\\n\\nautomated mechanisms supporting and/or implementing monitoring of\n inbound/outbound communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.5", - "class": "SP800-53-enhancement", - "title": "System-generated Alerts", - "parameters": [ - { - "id": "si-4.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.5_prm_2", - "label": "organization-defined compromise indicators" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(5)" - }, - { - "name": "sort-id", - "value": "si-04.05" - } - ], - "parts": [ - { - "id": "si-4.5_smt", - "name": "statement", - "prose": "The information system alerts {{ si-4.5_prm_1 }} when the following\n indications of compromise or potential compromise occur: {{ si-4.5_prm_2 }}.", - "parts": [ - { - "id": "si-4.5_fr", - "name": "item", - "title": "SI-4 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "si-4.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "In accordance with the incident response plan." - } - ] - } - ] - }, - { - "id": "si-4.5_gdn", - "name": "guidance", - "prose": "Alerts may be generated from a variety of sources, including, for example, audit\n records or inputs from malicious code protection mechanisms, intrusion detection\n or prevention mechanisms, or boundary protection devices such as firewalls,\n gateways, and routers. Alerts can be transmitted, for example, telephonically, by\n electronic mail messages, or by text messaging. Organizational personnel on the\n notification list can include, for example, system administrators,\n mission/business owners, system owners, or information system security\n officers.", - "links": [ - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - } - ] - }, - { - "id": "si-4.5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-4.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(5)[1]" - } - ], - "prose": "the organization defines compromise indicators for the information system;" - }, - { - "id": "si-4.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(5)[2]" - } - ], - "prose": "the organization defines personnel or roles to be alerted when indications of\n compromise or potential compromise occur; and" - }, - { - "id": "si-4.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(5)[3]" - } - ], - "prose": "the information system alerts organization-defined personnel or roles when\n organization-defined compromise indicators occur." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications generated based on compromise indicators\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing alerts for compromise\n indicators" - } - ] - } - ] - }, - { - "id": "si-4.11", - "class": "SP800-53-enhancement", - "title": "Analyze Communications Traffic Anomalies", - "parameters": [ - { - "id": "si-4.11_prm_1", - "label": "organization-defined interior points within the system (e.g., subnetworks,\n subsystems)" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(11)" - }, - { - "name": "sort-id", - "value": "si-04.11" - } - ], - "parts": [ - { - "id": "si-4.11_smt", - "name": "statement", - "prose": "The organization analyzes outbound communications traffic at the external boundary\n of the information system and selected {{ si-4.11_prm_1 }} to\n discover anomalies." - }, - { - "id": "si-4.11_gdn", - "name": "guidance", - "prose": "Anomalies within organizational information systems include, for example, large\n file transfers, long-time persistent connections, unusual protocols and ports in\n use, and attempted communications with suspected malicious external addresses." - }, - { - "id": "si-4.11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(11)[1]" - } - ], - "prose": "defines interior points within the system (e.g., subnetworks, subsystems) where\n communications traffic is to be analyzed;" - }, - { - "id": "si-4.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(11)[2]" - } - ], - "prose": "analyzes outbound communications traffic to discover anomalies at:", - "parts": [ - { - "id": "si-4.11_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(11)[2][a]" - } - ], - "prose": "the external boundary of the information system; and" - }, - { - "id": "si-4.11_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(11)[2][b]" - } - ], - "prose": "selected organization-defined interior points within the system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nnetwork diagram\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing analysis of communications\n traffic" - } - ] - } - ] - }, - { - "id": "si-4.14", - "class": "SP800-53-enhancement", - "title": "Wireless Intrusion Detection", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4(14)" - }, - { - "name": "sort-id", - "value": "si-04.14" - } - ], - "parts": [ - { - "id": "si-4.14_smt", - "name": "statement", - "prose": "The organization employs a wireless intrusion detection system to identify rogue\n wireless devices and to detect attack attempts and potential compromises/breaches\n to the information system." - }, - { - "id": "si-4.14_gdn", - "name": "guidance", - "prose": "Wireless signals may radiate beyond the confines of organization-controlled\n facilities. Organizations proactively search for unauthorized wireless connections\n including the conduct of thorough scans for unauthorized wireless access points.\n Scans are not limited to those areas within facilities containing information\n systems, but also include areas outside of facilities as needed, to verify that\n unauthorized wireless access points are not connected to the systems.", - "links": [ - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - } - ] - }, - { - "id": "si-4.14_obj", - "name": "objective", - "prose": "Determine if the organization employs a wireless intrusion detection system\n to:", - "parts": [ - { - "id": "si-4.14_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(14)[1]" - } - ], - "prose": "identify rogue wireless devices;" - }, - { - "id": "si-4.14_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(14)[2]" - } - ], - "prose": "detect attack attempts to the information system; and" - }, - { - "id": "si-4.14_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(14)[3]" - } - ], - "prose": "detect potential compromises/breaches to the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection\\n\\nautomated mechanisms supporting and/or implementing wireless intrusion\n detection capability" - } - ] - } - ] - }, - { - "id": "si-4.16", - "class": "SP800-53-enhancement", - "title": "Correlate Monitoring Information", - "properties": [ - { - "name": "label", - "value": "SI-4(16)" - }, - { - "name": "sort-id", - "value": "si-04.16" - } - ], - "parts": [ - { - "id": "si-4.16_smt", - "name": "statement", - "prose": "The organization correlates information from monitoring tools employed throughout\n the information system." - }, - { - "id": "si-4.16_gdn", - "name": "guidance", - "prose": "Correlating information from different monitoring tools can provide a more\n comprehensive view of information system activity. The correlation of monitoring\n tools that usually work in isolation (e.g., host monitoring, network monitoring,\n anti-virus software) can provide an organization-wide view and in so doing, may\n reveal otherwise unseen attack patterns. Understanding the\n capabilities/limitations of diverse monitoring tools and how to maximize the\n utility of information generated by those tools can help organizations to build,\n operate, and maintain effective monitoring programs.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - } - ] - }, - { - "id": "si-4.16_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization correlates information from monitoring tools\n employed throughout the information system." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nevent correlation logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing correlation of information\n from monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.18", - "class": "SP800-53-enhancement", - "title": "Analyze Traffic / Covert Exfiltration", - "parameters": [ - { - "id": "si-4.18_prm_1", - "label": "organization-defined interior points within the system (e.g., subsystems,\n subnetworks)" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(18)" - }, - { - "name": "sort-id", - "value": "si-04.18" - } - ], - "parts": [ - { - "id": "si-4.18_smt", - "name": "statement", - "prose": "The organization analyzes outbound communications traffic at the external boundary\n of the information system (i.e., system perimeter) and at {{ si-4.18_prm_1 }} to detect covert exfiltration of information." - }, - { - "id": "si-4.18_gdn", - "name": "guidance", - "prose": "Covert means that can be used for the unauthorized exfiltration of organizational\n information include, for example, steganography." - }, - { - "id": "si-4.18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.18_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(18)[1]" - } - ], - "prose": "defines interior points within the system (e.g., subsystems, subnetworks) where\n communications traffic is to be analyzed;" - }, - { - "id": "si-4.18_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(18)[2]" - } - ], - "prose": "to detect covert exfiltration of information, analyzes outbound communications\n traffic at:", - "parts": [ - { - "id": "si-4.18_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(18)[2][a]" - } - ], - "prose": "the external boundary of the information system (i.e., system perimeter);\n and" - }, - { - "id": "si-4.18_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(18)[2][b]" - } - ], - "prose": "organization-defined interior points within the system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nnetwork diagram\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection/system\n monitoring capability\\n\\nautomated mechanisms supporting and/or implementing analysis of outbound\n communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.19", - "class": "SP800-53-enhancement", - "title": "Individuals Posing Greater Risk", - "parameters": [ - { - "id": "si-4.19_prm_1", - "label": "organization-defined additional monitoring" - }, - { - "id": "si-4.19_prm_2", - "label": "organization-defined sources" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(19)" - }, - { - "name": "sort-id", - "value": "si-04.19" - } - ], - "parts": [ - { - "id": "si-4.19_smt", - "name": "statement", - "prose": "The organization implements {{ si-4.19_prm_1 }} of individuals who\n have been identified by {{ si-4.19_prm_2 }} as posing an increased\n level of risk." - }, - { - "id": "si-4.19_gdn", - "name": "guidance", - "prose": "Indications of increased risk from individuals can be obtained from a variety of\n sources including, for example, human resource records, intelligence agencies, law\n enforcement organizations, and/or other credible sources. The monitoring of\n individuals is closely coordinated with management, legal, security, and human\n resources officials within organizations conducting such monitoring and complies\n with federal legislation, Executive Orders, policies, directives, regulations, and\n standards." - }, - { - "id": "si-4.19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.19_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(19)[1]" - } - ], - "prose": "defines sources that identify individuals who pose an increased level of\n risk;" - }, - { - "id": "si-4.19_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(19)[2]" - } - ], - "prose": "defines additional monitoring to be implemented on individuals who have been\n identified by organization-defined sources as posing an increased level of\n risk; and" - }, - { - "id": "si-4.19_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(19)[3]" - } - ], - "prose": "implements organization-defined additional monitoring of individuals who have\n been identified by organization-defined sources as posing an increased level of\n risk." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring\\n\\ninformation system design documentation\\n\\nlist of individuals who have been identified as posing an increased level of\n risk\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability" - } - ] - } - ] - }, - { - "id": "si-4.20", - "class": "SP800-53-enhancement", - "title": "Privileged Users", - "parameters": [ - { - "id": "si-4.20_prm_1", - "label": "organization-defined additional monitoring" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(20)" - }, - { - "name": "sort-id", - "value": "si-04.20" - } - ], - "parts": [ - { - "id": "si-4.20_smt", - "name": "statement", - "prose": "The organization implements {{ si-4.20_prm_1 }} of privileged\n users." - }, - { - "id": "si-4.20_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.20_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(20)[1]" - } - ], - "prose": "defines additional monitoring to be implemented on privileged users; and" - }, - { - "id": "si-4.20_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(20)[2]" - } - ], - "prose": "implements organization-defined additional monitoring of privileged users;" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nlist of privileged users\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability" - } - ] - } - ] - }, - { - "id": "si-4.22", - "class": "SP800-53-enhancement", - "title": "Unauthorized Network Services", - "parameters": [ - { - "id": "si-4.22_prm_1", - "label": "organization-defined authorization or approval processes" - }, - { - "id": "si-4.22_prm_2" - }, - { - "id": "si-4.22_prm_3", - "depends-on": "si-4.22_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(22)" - }, - { - "name": "sort-id", - "value": "si-04.22" - } - ], - "parts": [ - { - "id": "si-4.22_smt", - "name": "statement", - "prose": "The information system detects network services that have not been authorized or\n approved by {{ si-4.22_prm_1 }} and {{ si-4.22_prm_2 }}." - }, - { - "id": "si-4.22_gdn", - "name": "guidance", - "prose": "Unauthorized or unapproved network services include, for example, services in\n service-oriented architectures that lack organizational verification or validation\n and therefore may be unreliable or serve as malicious rogues for valid\n services.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "si-4.22_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-4.22_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(22)[1]" - } - ], - "prose": "the organization defines authorization or approval processes for network\n services;" - }, - { - "id": "si-4.22_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(22)[2]" - } - ], - "prose": "the organization defines personnel or roles to be alerted upon detection of\n network services that have not been authorized or approved by\n organization-defined authorization or approval processes;" - }, - { - "id": "si-4.22_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(22)[3]" - } - ], - "prose": "the information system detects network services that have not been authorized\n or approved by organization-defined authorization or approval processes and\n does one or more of the following:", - "parts": [ - { - "id": "si-4.22_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(22)[3][a]" - } - ], - "prose": "audits; and/or" - }, - { - "id": "si-4.22_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(22)[3][b]" - } - ], - "prose": "alerts organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumented authorization/approval of network services\\n\\nnotifications or alerts of unauthorized network services\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability\\n\\nautomated mechanisms for auditing network services\\n\\nautomated mechanisms for providing alerts" - } - ] - } - ] - }, - { - "id": "si-4.23", - "class": "SP800-53-enhancement", - "title": "Host-based Devices", - "parameters": [ - { - "id": "si-4.23_prm_1", - "label": "organization-defined host-based monitoring mechanisms" - }, - { - "id": "si-4.23_prm_2", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(23)" - }, - { - "name": "sort-id", - "value": "si-04.23" - } - ], - "parts": [ - { - "id": "si-4.23_smt", - "name": "statement", - "prose": "The organization implements {{ si-4.23_prm_1 }} at {{ si-4.23_prm_2 }}." - }, - { - "id": "si-4.23_gdn", - "name": "guidance", - "prose": "Information system components where host-based monitoring can be implemented\n include, for example, servers, workstations, and mobile devices. Organizations\n consider employing host-based monitoring mechanisms from multiple information\n technology product developers." - }, - { - "id": "si-4.23_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.23_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(23)[1]" - } - ], - "prose": "defines host-based monitoring mechanisms to be implemented;" - }, - { - "id": "si-4.23_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(23)[2]" - } - ], - "prose": "defines information system components where organization-defined host-based\n monitoring is to be implemented; and" - }, - { - "id": "si-4.23_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(23)[3]" - } - ], - "prose": "implements organization-defined host-based monitoring mechanisms at\n organization-defined information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nhost-based monitoring mechanisms\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components requiring host-based monitoring\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring information system\n hosts" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing host-based monitoring\n capability" - } - ] - } - ] - }, - { - "id": "si-4.24", - "class": "SP800-53-enhancement", - "title": "Indicators of Compromise", - "properties": [ - { - "name": "label", - "value": "SI-4(24)" - }, - { - "name": "sort-id", - "value": "si-04.24" - } - ], - "parts": [ - { - "id": "si-4.24_smt", - "name": "statement", - "prose": "The information system discovers, collects, distributes, and uses indicators of\n compromise." - }, - { - "id": "si-4.24_gdn", - "name": "guidance", - "prose": "Indicators of compromise (IOC) are forensic artifacts from intrusions that are\n identified on organizational information systems (at the host or network level).\n IOCs provide organizations with valuable information on objects or information\n systems that have been compromised. IOCs for the discovery of compromised hosts\n can include for example, the creation of registry key values. IOCs for network\n traffic include, for example, Universal Resource Locator (URL) or protocol\n elements that indicate malware command and control servers. The rapid distribution\n and adoption of IOCs can improve information security by reducing the time that\n information systems and organizations are vulnerable to the same exploit or\n attack." - }, - { - "id": "si-4.24_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "si-4.24_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(24)[1]" - } - ], - "prose": "discovers indicators of compromise;" - }, - { - "id": "si-4.24_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(24)[2]" - } - ], - "prose": "collects indicators of compromise;" - }, - { - "id": "si-4.24_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(24)[3]" - } - ], - "prose": "distributes indicators of compromise; and" - }, - { - "id": "si-4.24_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(24)[4]" - } - ], - "prose": "uses indicators of compromise." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring information system\n hosts" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\norganizational processes for discovery, collection, distribution, and use of\n indicators of compromise\\n\\nautomated mechanisms supporting and/or implementing system monitoring\n capability\\n\\nautomated mechanisms supporting and/or implementing the discovery, collection,\n distribution, and use of indicators of compromise" - } - ] - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "parameters": [ - { - "id": "si-5_prm_1", - "label": "organization-defined external organizations", - "constraints": [ - { - "detail": "to include US-CERT" - } - ] - }, - { - "id": "si-5_prm_2", - "constraints": [ - { - "detail": "to include system security personnel and administrators with configuration/patch-management responsibilities" - } - ] - }, - { - "id": "si-5_prm_3", - "depends-on": "si-5_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-5_prm_4", - "depends-on": "si-5_prm_2", - "label": "organization-defined elements within the organization" - }, - { - "id": "si-5_prm_5", - "depends-on": "si-5_prm_2", - "label": "organization-defined external organizations" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-5" - }, - { - "name": "sort-id", - "value": "si-05" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.", - "links": [ - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "si-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(a)" - } - ], - "parts": [ - { - "id": "si-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(a)[1]" - } - ], - "prose": "defines external organizations from whom information system security alerts,\n advisories and directives are to be received;" - }, - { - "id": "si-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(a)[2]" - } - ], - "prose": "receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;" - } - ] - }, - { - "id": "si-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(b)" - } - ], - "prose": "generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)" - } - ], - "parts": [ - { - "id": "si-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[1]" - } - ], - "prose": "defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;" - }, - { - "id": "si-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[2]" - } - ], - "prose": "defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;" - }, - { - "id": "si-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[3]" - } - ], - "prose": "defines external organizations to whom security alerts, advisories, and\n directives are to be provided;" - }, - { - "id": "si-5.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(c)[4]" - } - ], - "prose": "disseminates security alerts, advisories, and directives to one or more of the\n following:", - "parts": [ - { - "id": "si-5.c_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][a]" - } - ], - "prose": "organization-defined personnel or roles;" - }, - { - "id": "si-5.c_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][b]" - } - ], - "prose": "organization-defined elements within the organization; and/or" - }, - { - "id": "si-5.c_obj.4.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][c]" - } - ], - "prose": "organization-defined external organizations; and" - } - ] - } - ] - }, - { - "id": "si-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(d)" - } - ], - "parts": [ - { - "id": "si-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[1]" - } - ], - "prose": "implements security directives in accordance with established time frames;\n or" - }, - { - "id": "si-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[2]" - } - ], - "prose": "notifies the issuing organization of the degree of noncompliance." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives" - } - ] - } - ], - "controls": [ - { - "id": "si-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Alerts and Advisories", - "properties": [ - { - "name": "label", - "value": "SI-5(1)" - }, - { - "name": "sort-id", - "value": "si-05.01" - } - ], - "parts": [ - { - "id": "si-5.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to make security alert and advisory\n information available throughout the organization." - }, - { - "id": "si-5.1_gdn", - "name": "guidance", - "prose": "The significant number of changes to organizational information systems and the\n environments in which those systems operate requires the dissemination of\n security-related information to a variety of organizational entities that have a\n direct interest in the success of organizational missions and business functions.\n Based on the information provided by the security alerts and advisories, changes\n may be required at one or more of the three tiers related to the management of\n information security risk including the governance level, mission/business\n process/enterprise architecture level, and the information system level." - }, - { - "id": "si-5.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to make security alert\n and advisory information available throughout the organization." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nautomated mechanisms supporting the distribution of security alert and advisory\n information\\n\\nrecords of security alerts and advisories\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external\n organizations to whom alerts and advisories are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, and disseminating\n security alerts and advisories\\n\\nautomated mechanisms supporting and/or implementing dissemination of security\n alerts and advisories" - } - ] - } - ] - } - ] - }, - { - "id": "si-6", - "class": "SP800-53", - "title": "Security Function Verification", - "parameters": [ - { - "id": "si-6_prm_1", - "label": "organization-defined security functions" - }, - { - "id": "si-6_prm_2" - }, - { - "id": "si-6_prm_3", - "depends-on": "si-6_prm_2", - "label": "organization-defined system transitional states", - "constraints": [ - { - "detail": "to include upon system startup and/or restart" - } - ] - }, - { - "id": "si-6_prm_4", - "depends-on": "si-6_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "si-6_prm_5", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "to include system administrators and security personnel" - } - ] - }, - { - "id": "si-6_prm_6" - }, - { - "id": "si-6_prm_7", - "depends-on": "si-6_prm_6", - "label": "organization-defined alternative action(s)", - "constraints": [ - { - "detail": "to include notification of system administrators and security personnel" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-6" - }, - { - "name": "sort-id", - "value": "si-06" - } - ], - "parts": [ - { - "id": "si-6_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "si-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifies the correct operation of {{ si-6_prm_1 }};" - }, - { - "id": "si-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Performs this verification {{ si-6_prm_2 }};" - }, - { - "id": "si-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Notifies {{ si-6_prm_5 }} of failed security verification tests;\n and" - }, - { - "id": "si-6_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "\n {{ si-6_prm_6 }} when anomalies are discovered." - } - ] - }, - { - "id": "si-6_gdn", - "name": "guidance", - "prose": "Transitional states for information systems include, for example, system startup,\n restart, shutdown, and abort. Notifications provided by information systems include,\n for example, electronic alerts to system administrators, messages to local computer\n consoles, and/or hardware indications such as lights.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "si-6_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(a)" - } - ], - "parts": [ - { - "id": "si-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(a)[1]" - } - ], - "prose": "the organization defines security functions to be verified for correct\n operation;" - }, - { - "id": "si-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(a)[2]" - } - ], - "prose": "the information system verifies the correct operation of organization-defined\n security functions;" - } - ] - }, - { - "id": "si-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)" - } - ], - "parts": [ - { - "id": "si-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(b)[1]" - } - ], - "prose": "the organization defines system transitional states requiring verification of\n organization-defined security functions;" - }, - { - "id": "si-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(b)[2]" - } - ], - "prose": "the organization defines a frequency to verify the correct operation of\n organization-defined security functions;" - }, - { - "id": "si-6.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(b)[3]" - } - ], - "prose": "the information system performs this verification one or more of the\n following:", - "parts": [ - { - "id": "si-6.b_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)[3][a]" - } - ], - "prose": "at organization-defined system transitional states;" - }, - { - "id": "si-6.b_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)[3][b]" - } - ], - "prose": "upon command by user with appropriate privilege; and/or" - }, - { - "id": "si-6.b_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)[3][c]" - } - ], - "prose": "with the organization-defined frequency;" - } - ] - } - ] - }, - { - "id": "si-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(c)" - } - ], - "parts": [ - { - "id": "si-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(c)[1]" - } - ], - "prose": "the organization defines personnel or roles to be notified of failed security\n verification tests;" - }, - { - "id": "si-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(c)[2]" - } - ], - "prose": "the information system notifies organization-defined personnel or roles of\n failed security verification tests;" - } - ] - }, - { - "id": "si-6.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)" - } - ], - "parts": [ - { - "id": "si-6.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(d)[1]" - } - ], - "prose": "the organization defines alternative action(s) to be performed when anomalies\n are discovered;" - }, - { - "id": "si-6.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(d)[2]" - } - ], - "prose": "the information system performs one or more of the following actions when\n anomalies are discovered:", - "parts": [ - { - "id": "si-6.d_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)[2][a]" - } - ], - "prose": "shuts the information system down;" - }, - { - "id": "si-6.d_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)[2][b]" - } - ], - "prose": "restarts the information system; and/or" - }, - { - "id": "si-6.d_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)[2][c]" - } - ], - "prose": "performs organization-defined alternative action(s)." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security function verification\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications of failed security verification tests\\n\\nlist of system transition states requiring security functionality verification\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security function verification responsibilities\\n\\norganizational personnel implementing, operating, and maintaining the information\n system\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security function verification\\n\\nautomated mechanisms supporting and/or implementing security function verification\n capability" - } - ] - } - ] - }, - { - "id": "si-7", - "class": "SP800-53", - "title": "Software, Firmware, and Information Integrity", - "parameters": [ - { - "id": "si-7_prm_1", - "label": "organization-defined software, firmware, and information" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-7" - }, - { - "name": "sort-id", - "value": "si-07" - } - ], - "links": [ - { - "href": "#6bf8d24a-78dc-4727-a2ac-0e64d71c495c", - "rel": "reference", - "text": "NIST Special Publication 800-147" - }, - { - "href": "#3878cc04-144a-483e-af62-8fe6f4ad6c7a", - "rel": "reference", - "text": "NIST Special Publication 800-155" - } - ], - "parts": [ - { - "id": "si-7_smt", - "name": "statement", - "prose": "The organization employs integrity verification tools to detect unauthorized changes\n to {{ si-7_prm_1 }}." - }, - { - "id": "si-7_gdn", - "name": "guidance", - "prose": "Unauthorized changes to software, firmware, and information can occur due to errors\n or malicious activity (e.g., tampering). Software includes, for example, operating\n systems (with key internal components such as kernels, drivers), middleware, and\n applications. Firmware includes, for example, the Basic Input Output System (BIOS).\n Information includes metadata such as security attributes associated with\n information. State-of-the-practice integrity-checking mechanisms (e.g., parity\n checks, cyclical redundancy checks, cryptographic hashes) and associated tools can\n automatically monitor the integrity of information systems and hosted\n applications.", - "links": [ - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "si-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[1]" - } - ], - "parts": [ - { - "id": "si-7_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7[1][a]" - } - ], - "prose": "defines software requiring integrity verification tools to be employed to\n detect unauthorized changes;" - }, - { - "id": "si-7_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7[1][b]" - } - ], - "prose": "defines firmware requiring integrity verification tools to be employed to\n detect unauthorized changes;" - }, - { - "id": "si-7_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7[1][c]" - } - ], - "prose": "defines information requiring integrity verification tools to be employed to\n detect unauthorized changes;" - } - ] - }, - { - "id": "si-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2]" - } - ], - "prose": "employs integrity verification tools to detect unauthorized changes to\n organization-defined:", - "parts": [ - { - "id": "si-7_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2][a]" - } - ], - "prose": "software;" - }, - { - "id": "si-7_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2][b]" - } - ], - "prose": "firmware; and" - }, - { - "id": "si-7_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2][c]" - } - ], - "prose": "information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords generated/triggered from integrity verification tools regarding\n unauthorized software, firmware, and information changes\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ], - "controls": [ - { - "id": "si-7.1", - "class": "SP800-53-enhancement", - "title": "Integrity Checks", - "parameters": [ - { - "id": "si-7.1_prm_1", - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7.1_prm_2" - }, - { - "id": "si-7.1_prm_3", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined transitional states or security-relevant events", - "constraints": [ - { - "detail": "selection to include security relevant events" - } - ] - }, - { - "id": "si-7.1_prm_4", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-7(1)" - }, - { - "name": "sort-id", - "value": "si-07.01" - } - ], - "parts": [ - { - "id": "si-7.1_smt", - "name": "statement", - "prose": "The information system performs an integrity check of {{ si-7.1_prm_1 }}\n {{ si-7.1_prm_2 }}." - }, - { - "id": "si-7.1_gdn", - "name": "guidance", - "prose": "Security-relevant events include, for example, the identification of a new threat\n to which organizational information systems are susceptible, and the installation\n of new hardware, software, or firmware. Transitional states include, for example,\n system startup, restart, shutdown, and abort." - }, - { - "id": "si-7.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-7.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(1)[1]" - } - ], - "prose": "the organization defines:", - "parts": [ - { - "id": "si-7.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[1][a]" - } - ], - "prose": "software requiring integrity checks to be performed;" - }, - { - "id": "si-7.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[1][b]" - } - ], - "prose": "firmware requiring integrity checks to be performed;" - }, - { - "id": "si-7.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[1][c]" - } - ], - "prose": "information requiring integrity checks to be performed;" - } - ] - }, - { - "id": "si-7.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(1)[2]" - } - ], - "prose": "the organization defines transitional states or security-relevant events\n requiring integrity checks of organization-defined:", - "parts": [ - { - "id": "si-7.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[2][a]" - } - ], - "prose": "software;" - }, - { - "id": "si-7.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[2][b]" - } - ], - "prose": "firmware;" - }, - { - "id": "si-7.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[2][c]" - } - ], - "prose": "information;" - } - ] - }, - { - "id": "si-7.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(1)[3]" - } - ], - "prose": "the organization defines a frequency with which to perform an integrity check\n of organization-defined:", - "parts": [ - { - "id": "si-7.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[3][a]" - } - ], - "prose": "software;" - }, - { - "id": "si-7.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[3][b]" - } - ], - "prose": "firmware;" - }, - { - "id": "si-7.1_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[3][c]" - } - ], - "prose": "information;" - } - ] - }, - { - "id": "si-7.1_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(1)[4]" - } - ], - "prose": "the information system performs an integrity check of organization-defined\n software, firmware, and information one or more of the following:", - "parts": [ - { - "id": "si-7.1_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[4][a]" - } - ], - "prose": "at startup;" - }, - { - "id": "si-7.1_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[4][b]" - } - ], - "prose": "at organization-defined transitional states or security-relevant events;\n and/or" - }, - { - "id": "si-7.1_obj.4.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[4][c]" - } - ], - "prose": "with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ] - }, - { - "id": "si-7.2", - "class": "SP800-53-enhancement", - "title": "Automated Notifications of Integrity Violations", - "parameters": [ - { - "id": "si-7.2_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-7(2)" - }, - { - "name": "sort-id", - "value": "si-07.02" - } - ], - "parts": [ - { - "id": "si-7.2_smt", - "name": "statement", - "prose": "The organization employs automated tools that provide notification to {{ si-7.2_prm_1 }} upon discovering discrepancies during integrity\n verification." - }, - { - "id": "si-7.2_gdn", - "name": "guidance", - "prose": "The use of automated tools to report integrity violations and to notify\n organizational personnel in a timely matter is an essential precursor to effective\n risk response. Personnel having an interest in integrity violations include, for\n example, mission/business owners, information system owners, systems\n administrators, software developers, systems integrators, and information security\n officers." - }, - { - "id": "si-7.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-7.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(2)[1]" - } - ], - "prose": "defines personnel or roles to whom notification is to be provided upon\n discovering discrepancies during integrity verification; and" - }, - { - "id": "si-7.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(2)[2]" - } - ], - "prose": "employs automated tools that provide notification to organization-defined\n personnel or roles upon discovering discrepancies during integrity\n verification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nautomated tools supporting alerts and notifications for integrity\n discrepancies\\n\\nalerts/notifications provided upon discovering discrepancies during integrity\n verifications\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\\n\\nautomated mechanisms providing integrity discrepancy notifications" - } - ] - } - ] - }, - { - "id": "si-7.5", - "class": "SP800-53-enhancement", - "title": "Automated Response to Integrity Violations", - "parameters": [ - { - "id": "si-7.5_prm_1" - }, - { - "id": "si-7.5_prm_2", - "depends-on": "si-7.5_prm_1", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-7(5)" - }, - { - "name": "sort-id", - "value": "si-07.05" - } - ], - "parts": [ - { - "id": "si-7.5_smt", - "name": "statement", - "prose": "The information system automatically {{ si-7.5_prm_1 }} when\n integrity violations are discovered." - }, - { - "id": "si-7.5_gdn", - "name": "guidance", - "prose": "Organizations may define different integrity checking and anomaly responses: (i)\n by type of information (e.g., firmware, software, user data); (ii) by specific\n information (e.g., boot firmware, boot firmware for a specific types of machines);\n or (iii) a combination of both. Automatic implementation of specific safeguards\n within organizational information systems includes, for example, reversing the\n changes, halting the information system, or triggering audit alerts when\n unauthorized modifications to critical security files occur." - }, - { - "id": "si-7.5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-7.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(5)[1]" - } - ], - "prose": "the organization defines security safeguards to be implemented when integrity\n violations are discovered;" - }, - { - "id": "si-7.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(5)[2]" - } - ], - "prose": "the information system automatically performs one or more of the following\n actions when integrity violations are discovered:", - "parts": [ - { - "id": "si-7.5_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(5)[2][a]" - } - ], - "prose": "shuts the information system down;" - }, - { - "id": "si-7.5_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(5)[2][b]" - } - ], - "prose": "restarts the information system; and/or" - }, - { - "id": "si-7.5_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(5)[2][c]" - } - ], - "prose": "implements the organization-defined security safeguards." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nrecords of integrity checks and responses to integrity violations\\n\\ninformation audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools\\n\\nautomated mechanisms providing an automated response to integrity\n violations\\n\\nautomated mechanisms supporting and/or implementing security safeguards to be\n implemented when integrity violations are discovered" - } - ] - } - ] - }, - { - "id": "si-7.7", - "class": "SP800-53-enhancement", - "title": "Integration of Detection and Response", - "parameters": [ - { - "id": "si-7.7_prm_1", - "label": "organization-defined security-relevant changes to the information\n system" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-7(7)" - }, - { - "name": "sort-id", - "value": "si-07.07" - } - ], - "parts": [ - { - "id": "si-7.7_smt", - "name": "statement", - "prose": "The organization incorporates the detection of unauthorized {{ si-7.7_prm_1 }} into the organizational incident response\n capability." - }, - { - "id": "si-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement helps to ensure that detected events are tracked,\n monitored, corrected, and available for historical purposes. Maintaining\n historical records is important both for being able to identify and discern\n adversary actions over an extended period of time and for possible legal actions.\n Security-relevant changes include, for example, unauthorized changes to\n established configuration settings or unauthorized elevation of information system\n privileges.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "si-7.7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-7.7_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(7)[1]" - } - ], - "prose": "defines unauthorized security-relevant changes to the information system;\n and" - }, - { - "id": "si-7.7_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(7)[2]" - } - ], - "prose": "incorporates the detection of unauthorized organization-defined\n security-relevant changes to the information system into the organizational\n incident response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\nprocedures addressing incident response\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response records\\n\\ninformation audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incorporating detection of unauthorized\n security-relevant changes into the incident response capability\\n\\nsoftware, firmware, and information integrity verification tools\\n\\nautomated mechanisms supporting and/or implementing incorporation of detection\n of unauthorized security-relevant changes into the incident response\n capability" - } - ] - } - ] - }, - { - "id": "si-7.14", - "class": "SP800-53-enhancement", - "title": "Binary or Machine Executable Code", - "properties": [ - { - "name": "label", - "value": "SI-7(14)" - }, - { - "name": "sort-id", - "value": "si-07.14" - } - ], - "parts": [ - { - "id": "si-7.14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-7.14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Prohibits the use of binary or machine-executable code from sources with\n limited or no warranty and without the provision of source code; and" - }, - { - "id": "si-7.14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Provides exceptions to the source code requirement only for compelling\n mission/operational requirements and with the approval of the authorizing\n official." - } - ] - }, - { - "id": "si-7.14_gdn", - "name": "guidance", - "prose": "This control enhancement applies to all sources of binary or machine-executable\n code including, for example, commercial software/firmware and open source\n software. Organizations assess software products without accompanying source code\n from sources with limited or no warranty for potential security impacts. The\n assessments address the fact that these types of software products may be very\n difficult to review, repair, or extend, given that organizations, in most cases,\n do not have access to the original source code, and there may be no owners who\n could make such repairs on behalf of organizations.", - "links": [ - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "si-7.14_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-7.14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(14)(a)" - } - ], - "parts": [ - { - "id": "si-7.14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(14)(a)[1]" - } - ], - "prose": "prohibits the use of binary or machine-executable code from sources with\n limited or no warranty;" - }, - { - "id": "si-7.14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(14)(a)[2]" - } - ], - "prose": "prohibits the use of binary or machine-executable code without the provision\n of source code;" - } - ], - "links": [ - { - "href": "#si-7.14_smt.a", - "rel": "corresp", - "text": "SI-7(14)(a)" - } - ] - }, - { - "id": "si-7.14.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(14)(b)" - } - ], - "parts": [ - { - "id": "si-7.14.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(14)(b)[1]" - } - ], - "prose": "provides exceptions to the source code requirement only for compelling\n mission/operational requirements; and" - }, - { - "id": "si-7.14.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(14)(b)[2]" - } - ], - "prose": "provides exceptions to the source code requirement only with the approval of\n the authorizing official." - } - ], - "links": [ - { - "href": "#si-7.14_smt.b", - "rel": "corresp", - "text": "SI-7(14)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\napproval records for execution of binary and machine-executable code\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nauthorizing official\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing prohibition of the\n execution of binary or machine-executable code" - } - ] - } - ] - } - ] - }, - { - "id": "si-8", - "class": "SP800-53", - "title": "Spam Protection", - "properties": [ - { - "name": "label", - "value": "SI-8" - }, - { - "name": "sort-id", - "value": "si-08" - } - ], - "links": [ - { - "href": "#c6e95ca0-5828-420e-b095-00895b72b5e8", - "rel": "reference", - "text": "NIST Special Publication 800-45" - } - ], - "parts": [ - { - "id": "si-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs spam protection mechanisms at information system entry and exit points to\n detect and take action on unsolicited messages; and" - }, - { - "id": "si-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures." - } - ] - }, - { - "id": "si-8_gdn", - "name": "guidance", - "prose": "Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations, mobile\n devices, and notebook/laptop computers. Spam can be transported by different means\n including, for example, electronic mail, electronic mail attachments, and web\n accesses. Spam protection mechanisms include, for example, signature definitions.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "si-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-8(a)" - } - ], - "prose": "employs spam protection mechanisms:", - "parts": [ - { - "id": "si-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[1]" - } - ], - "prose": "at information system entry points to detect unsolicited messages;" - }, - { - "id": "si-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[2]" - } - ], - "prose": "at information system entry points to take action on unsolicited messages;" - }, - { - "id": "si-8.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[3]" - } - ], - "prose": "at information system exit points to detect unsolicited messages;" - }, - { - "id": "si-8.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[4]" - } - ], - "prose": "at information system exit points to take action on unsolicited messages;\n and" - } - ] - }, - { - "id": "si-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-8(b)" - } - ], - "prose": "updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nconfiguration management policy and procedures (CM-1)\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing spam protection\\n\\nautomated mechanisms supporting and/or implementing spam protection" - } - ] - } - ], - "controls": [ - { - "id": "si-8.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-8(1)" - }, - { - "name": "sort-id", - "value": "si-08.01" - } - ], - "parts": [ - { - "id": "si-8.1_smt", - "name": "statement", - "prose": "The organization centrally manages spam protection mechanisms." - }, - { - "id": "si-8.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of spam\n protection mechanisms. Central management includes planning, implementing,\n assessing, authorizing, and monitoring the organization-defined, centrally managed\n spam protection security controls.", - "links": [ - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-8.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization centrally manages spam protection mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for central management of spam protection\\n\\nautomated mechanisms supporting and/or implementing central management of spam\n protection" - } - ] - } - ] - }, - { - "id": "si-8.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-8(2)" - }, - { - "name": "sort-id", - "value": "si-08.02" - } - ], - "parts": [ - { - "id": "si-8.2_smt", - "name": "statement", - "prose": "The information system automatically updates spam protection mechanisms." - }, - { - "id": "si-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system automatically updates spam protection\n mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for spam protection\\n\\nautomated mechanisms supporting and/or implementing automatic updates to spam\n protection mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "si-10", - "class": "SP800-53", - "title": "Information Input Validation", - "parameters": [ - { - "id": "si-10_prm_1", - "label": "organization-defined information inputs" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-10" - }, - { - "name": "sort-id", - "value": "si-10" - } - ], - "parts": [ - { - "id": "si-10_smt", - "name": "statement", - "prose": "The information system checks the validity of {{ si-10_prm_1 }}." - }, - { - "id": "si-10_gdn", - "name": "guidance", - "prose": "Checking the valid syntax and semantics of information system inputs (e.g., character\n set, length, numerical range, and acceptable values) verifies that inputs match\n specified definitions for format and content. Software applications typically follow\n well-defined protocols that use structured messages (i.e., commands or queries) to\n communicate between software modules or system components. Structured messages can\n contain raw or unstructured data interspersed with metadata or control information.\n If software applications use attacker-supplied inputs to construct structured\n messages without properly encoding such messages, then the attacker could insert\n malicious commands or special characters that can cause the data to be interpreted as\n control information or metadata. Consequently, the module or component that receives\n the tainted output will perform the wrong operations or otherwise interpret the data\n incorrectly. Prescreening inputs prior to passing to interpreters prevents the\n content from being unintentionally interpreted as commands. Input validation helps to\n ensure accurate and correct inputs and prevent attacks such as cross-site scripting\n and a variety of injection attacks." - }, - { - "id": "si-10_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10[1]" - } - ], - "prose": "the organization defines information inputs requiring validity checks; and" - }, - { - "id": "si-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10[2]" - } - ], - "prose": "the information system checks the validity of organization-defined information\n inputs." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\naccess control policy and procedures\\n\\nseparation of duties policy and procedures\\n\\nprocedures addressing information input validation\\n\\ndocumentation for automated tools and applications to verify validity of\n information\\n\\nlist of information inputs requiring validity checks\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing validity checks on information\n inputs" - } - ] - } - ] - }, - { - "id": "si-11", - "class": "SP800-53", - "title": "Error Handling", - "parameters": [ - { - "id": "si-11_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-11" - }, - { - "name": "sort-id", - "value": "si-11" - } - ], - "parts": [ - { - "id": "si-11_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "si-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Generates error messages that provide information necessary for corrective actions\n without revealing information that could be exploited by adversaries; and" - }, - { - "id": "si-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reveals error messages only to {{ si-11_prm_1 }}." - } - ] - }, - { - "id": "si-11_gdn", - "name": "guidance", - "prose": "Organizations carefully consider the structure/content of error messages. The extent\n to which information systems are able to identify and handle error conditions is\n guided by organizational policy and operational requirements. Information that could\n be exploited by adversaries includes, for example, erroneous logon attempts with\n passwords entered by mistake as the username, mission/business information that can\n be derived from (if not stated explicitly by) information recorded, and personal\n information such as account numbers, social security numbers, and credit card\n numbers. In addition, error messages may provide a covert channel for transmitting\n information.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#sc-31", - "rel": "related", - "text": "SC-31" - } - ] - }, - { - "id": "si-11_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-11(a)" - } - ], - "prose": "the information system generates error messages that provide information necessary\n for corrective actions without revealing information that could be exploited by\n adversaries;" - }, - { - "id": "si-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-11(b)" - } - ], - "parts": [ - { - "id": "si-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-11(b)[1]" - } - ], - "prose": "the organization defines personnel or roles to whom error messages are to be\n revealed; and" - }, - { - "id": "si-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-11(b)[2]" - } - ], - "prose": "the information system reveals error messages only to organization-defined\n personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system error handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumentation providing structure/content of error messages\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for error handling\\n\\nautomated mechanisms supporting and/or implementing error handling\\n\\nautomated mechanisms supporting and/or implementing management of error\n messages" - } - ] - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Handling and Retention", - "properties": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "si-12" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "The organization handles and retains information within the information system and\n information output from the system in accordance with applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and operational\n requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information handling and retention requirements cover the full life cycle of\n information, in some cases extending beyond the disposal of information systems. The\n National Archives and Records Administration provides guidance on records\n retention.", - "links": [ - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - } - ] - }, - { - "id": "si-12_obj", - "name": "objective", - "prose": "Determine if the organization, in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and operational\n requirements:", - "parts": [ - { - "id": "si-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12[1]" - } - ], - "prose": "handles information within the information system;" - }, - { - "id": "si-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[2]" - } - ], - "prose": "handles output from the information system;" - }, - { - "id": "si-12_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[3]" - } - ], - "prose": "retains information within the information system; and" - }, - { - "id": "si-12_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[4]" - } - ], - "prose": "retains output from the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nfederal laws, Executive Orders, directives, policies, regulations, standards, and\n operational requirements applicable to information handling and retention\\n\\nmedia protection policy and procedures\\n\\nprocedures addressing information system output handling and retention\\n\\ninformation retention records, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information handling and\n retention\\n\\norganizational personnel with information security responsibilities/network\n administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information handling and retention\\n\\nautomated mechanisms supporting and/or implementing information handling and\n retention" - } - ] - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "parameters": [ - { - "id": "si-16_prm_1", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "si-16" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "The information system implements {{ si-16_prm_1 }} to protect its\n memory from unauthorized code execution." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable\n regions of memory or in memory locations that are prohibited. Security safeguards\n employed to protect memory include, for example, data execution prevention and\n address space layout randomization. Data execution prevention safeguards can either\n be hardware-enforced or software-enforced with hardware providing the greater\n strength of mechanism.", - "links": [ - { - "href": "#ac-25", - "rel": "related", - "text": "AC-25" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "si-16_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-16[1]" - } - ], - "prose": "the organization defines security safeguards to be implemented to protect\n information system memory from unauthorized code execution; and" - }, - { - "id": "si-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-16[2]" - } - ], - "prose": "the information system implements organization-defined security safeguards to\n protect its memory from unauthorized code execution." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing memory protection for the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security safeguards protecting information system memory from unauthorized\n code execution\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for memory protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards to protect\n information system memory from unauthorized code execution" - } - ] - } - ] - } - ] - } - ], - "back-matter": { - "resources": [ - { - "uuid": "0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "title": "5 C.F.R. 731.106", - "citation": { - "text": "Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106,\n Designation of Public Trust Positions and Investigative Requirements (5 C.F.R.\n 731.106)." - }, - "rlinks": [ - { - "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html" - } - ] - }, - { - "uuid": "bb61234b-46c3-4211-8c2b-9869222a720d", - "title": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)", - "citation": { - "text": "C.F.R. 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"si-5" - }, - { - "control-id": "si-5.1" - }, - { - "control-id": "si-6" - }, - { - "control-id": "si-7" - }, - { - "control-id": "si-7.1" - }, - { - "control-id": "si-7.2" - }, - { - "control-id": "si-7.5" - }, - { - "control-id": "si-7.7" - }, - { - "control-id": "si-7.14" - }, - { - "control-id": "si-8" - }, - { - "control-id": "si-8.1" - }, - { - "control-id": "si-8.2" - }, - { - "control-id": "si-10" - }, - { - "control-id": "si-11" - }, - { - "control-id": "si-12" - }, - { - "control-id": "si-16" - } - ] - } - } - ], - "merge": { - "combine": { - "method": "keep" - }, - "as-is": true - }, - "modify": { - "parameter-settings": { - "ac-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ac-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ac-2_prm_4": { - "constraints": [ - { - "detail": "monthly for privileged accessed, every six (6) months for non-privileged access" - } - ] - }, - "ac-2.2_prm_1": { - "constraints": [ - { - "detail": "Selection: disables" - } - ] - }, - "ac-2.2_prm_2": { - "constraints": [ - { - "detail": "24 hours from last use" - } - ] - }, - "ac-2.3_prm_1": { - "constraints": [ - { - "detail": "35 days for user accounts" - } - ] - }, - "ac-2.4_prm_1": { - "constraints": [ - { - "detail": "organization and/or service provider system owner" - } - ] - }, - "ac-2.5_prm_1": { - "constraints": [ - { - "detail": "inactivity is anticipated to exceed Fifteen (15) minutes" - } - ] - }, - "ac-2.7_prm_1": { - "constraints": [ - { - "detail": "disables/revokes access within a organization-specified timeframe" - } - ] - }, - "ac-2.9_prm_1": { - "constraints": [ - { - "detail": "organization-defined need with justification statement that explains why such accounts are necessary" - } - ] - }, - "ac-2.12_prm_2": { - "constraints": [ - { - "detail": "at a minimum, the ISSO and/or similar role within the organization" - } - ] - }, - "ac-2.13_prm_1": { - "constraints": [ - { - "detail": "one (1) hour" - } - ] - }, - "ac-6.1_prm_1": { - "constraints": [ - { - "detail": "all functions not publicly accessible and all security-relevant information not publicly available" - } - ] - }, - "ac-6.2_prm_1": { - "constraints": [ - { - "detail": "all security functions" - } - ] - }, - "ac-6.3_prm_1": { - "constraints": [ - { - "detail": "all privileged commands" - } - ] - }, - "ac-6.7_prm_1": { - "constraints": [ - { - "detail": "at a minimum, annually" - } - ] - }, - "ac-6.7_prm_2": { - "constraints": [ - { - "detail": "all users with privileges" - } - ] - }, - "ac-6.8_prm_1": { - "constraints": [ - { - "detail": "any software except software explicitly documented" - } - ] - }, - "ac-7_prm_1": { - "constraints": [ - { - "detail": "not more than three (3)" - } - ] - }, - "ac-7_prm_2": { - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - "ac-7_prm_4": { - "constraints": [ - { - "detail": "locks the account/node for a minimum of three (3) hours or until unlocked by an administrator" - } - ] - }, - "ac-7.2_prm_1": { - "constraints": [ - { - "detail": "mobile devices as defined by organization policy" - } - ] - }, - "ac-7.2_prm_3": { - "constraints": [ - { - "detail": "three (3)" - } - ] - }, - "ac-8_prm_1": { - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - }, - "ac-8_prm_2": { - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - }, - "ac-10_prm_2": { - "constraints": [ - { - "detail": "three (3) sessions for privileged access and two (2) sessions for non-privileged access" - } - ] - }, - "ac-11_prm_1": { - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - "ac-17.9_prm_1": { - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - "ac-22_prm_1": { - "constraints": [ - { - "detail": "at least quarterly" - } - ] - }, - "at-1_prm_2": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "at-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "at-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "at-3_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "at-3.4_prm_1": { - "constraints": [ - { - "detail": "malicious code indicators as defined by organization incident policy/capability." - } - ] - }, - "at-4_prm_1": { - "constraints": [ - { - "detail": "five (5) years or 5 years after completion of a specific training program" - } - ] - }, - "au-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "au-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "au-2_prm_1": { - "constraints": [ - { - "detail": "successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes" - } - ] - }, - "au-2_prm_2": { - "constraints": [ - { - "detail": "organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event" - } - ] - }, - "au-2.3_prm_1": { - "constraints": [ - { - "detail": "annually or whenever there is a change in the threat environment" - } - ] - }, - "au-3.1_prm_1": { - "constraints": [ - { - "detail": "session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands" - } - ] - }, - "au-3.2_prm_1": { - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - }, - "au-5_prm_2": { - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - }, - "au-5.2_prm_1": { - "constraints": [ - { - "detail": "real-time" - } - ] - }, - "au-5.2_prm_2": { - "constraints": [ - { - "detail": "service provider personnel with authority to address failed audit events" - } - ] - }, - "au-5.2_prm_3": { - "constraints": [ - { - "detail": "audit failure events requiring real-time alerts, as defined by organization audit policy" - } - ] - }, - "au-6_prm_1": { - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - "au-6.5_prm_2": { - "constraints": [ - { - "detail": "Possibly to include penetration test data." - } - ] - }, - "au-6.7_prm_1": { - "constraints": [ - { - "detail": "information system process; role; user" - } - ] - }, - "au-8_prm_1": { - "constraints": [ - { - "detail": "one second granularity of time measurement" - } - ] - }, - "au-8.1_prm_1": { - "constraints": [ - { - "detail": "At least hourly" - } - ] - }, - "au-8.1_prm_2": { - "constraints": [ - { - "detail": "http://tf.nist.gov/tf-cgi/servers.cgi" - } - ] - }, - "au-9.2_prm_1": { - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - "au-10_prm_1": { - "constraints": [ - { - "detail": "minimum actions including the addition, modification, deletion, approval, sending, or receiving of data" - } - ] - }, - "au-11_prm_1": { - "constraints": [ - { - "detail": "at least one (1) year" - } - ] - }, - "au-12_prm_1": { - "constraints": [ - { - "detail": "all information system and network components where audit capability is deployed/available" - } - ] - }, - "au-12.1_prm_1": { - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - }, - "au-12.3_prm_1": { - "constraints": [ - { - "detail": "service provider-defined individuals or roles with audit configuration responsibilities" - } - ] - }, - "au-12.3_prm_2": { - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - }, - "ca-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ca-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-2_prm_2": { - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - }, - "ca-2.2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-2.3_prm_1": { - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - "ca-2.3_prm_2": { - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - "ca-2.3_prm_3": { - "constraints": [ - { - "detail": "the conditions of the JAB/AO in the FedRAMP Repository" - } - ] - }, - "ca-3_prm_1": { - "constraints": [ - { - "detail": "At least annually and on input from FedRAMP" - } - ] - }, - "ca-3.3_prm_2": { - "constraints": [ - { - "detail": "boundary protections which meet the Trusted Internet Connection (TIC) requirements" - } - ] - }, - "ca-3.5_prm_1": { - "constraints": [ - { - "detail": "deny-all, permit by exception" - } - ] - }, - "ca-3.5_prm_2": { - "constraints": [ - { - "detail": "any systems" - } - ] - }, - "ca-5_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "ca-6_prm_1": { - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - "ca-7_prm_4": { - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - "ca-7_prm_5": { - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - "ca-8_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cm-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cm-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "cm-2.1_prm_1": { - "constraints": [ - { - "detail": "at least annually or when a significant change occurs" - } - ] - }, - "cm-2.1_prm_2": { - "constraints": [ - { - "detail": "to include when directed by the JAB" - } - ] - }, - "cm-2.3_prm_1": { - "constraints": [ - { - "detail": "organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components" - } - ] - }, - "cm-3.1_prm_2": { - "constraints": [ - { - "detail": "organization agreed upon time period" - } - ] - }, - "cm-3.1_prm_3": { - "constraints": [ - { - "detail": "organization defined configuration management approval authorities" - } - ] - }, - "cm-3.4_prm_1": { - "constraints": [ - { - "detail": "Configuration control board (CCB) or similar (as defined in CM-3)" - } - ] - }, - "cm-3.6_prm_1": { - "constraints": [ - { - "detail": "All security safeguards that rely on cryptography" - } - ] - }, - "cm-5.2_prm_1": { - "constraints": [ - { - "detail": "at least every thirty (30) days" - } - ] - }, - "cm-5.5_prm_1": { - "constraints": [ - { - "detail": "at least quarterly" - } - ] - }, - "cm-6_prm_1": { - "guidance": [ - { - "prose": "See CM-6(a) Additional FedRAMP Requirements and Guidance" - } - ] - }, - "cm-7_prm_1": { - "constraints": [ - { - "detail": "United States Government Configuration Baseline (USGCB)" - } - ] - }, - "cm-7.1_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "cm-7.5_prm_2": { - "constraints": [ - { - "detail": "at least quarterly or when there is a change" - } - ] - }, - "cm-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "cm-8.3_prm_1": { - "constraints": [ - { - "detail": "Continuously, using automated mechanisms with a maximum five-minute delay in detection." - } - ] - }, - "cm-8.4_prm_1": { - "constraints": [ - { - "detail": "position and role" - } - ] - }, - "cm-11_prm_3": { - "constraints": [ - { - "detail": "Continuously (via CM-7 (5))" - } - ] - }, - "cp-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "cp-2_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-2.4_prm_1": { - "constraints": [ - { - "detail": "time period defined in service provider and organization SLA" - } - ] - }, - "cp-3_prm_1": { - "constraints": [ - { - "detail": "ten (10) days" - } - ] - }, - "cp-3_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-4_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-4_prm_2": { - "constraints": [ - { - "detail": "functional exercises" - } - ] - }, - "cp-8.4_prm_1": { - "constraints": [ - { - "detail": "annually" - } - ] - }, - "cp-9_prm_1": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9_prm_2": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9_prm_3": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9.1_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "cp-9.5_prm_1": { - "constraints": [ - { - "detail": "time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA" - } - ] - }, - "cp-10.4_prm_1": { - "constraints": [ - { - "detail": "time period consistent with the restoration time-periods defined in the service provider and organization SLA" - } - ] - }, - "ia-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ia-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ia-2.11_prm_1": { - "constraints": [ - { - "detail": "FIPS 140-2, NIAP Certification, or NSA approval" - } - ] - }, - "ia-4_prm_1": { - "constraints": [ - { - "detail": "at a minimum, the ISSO (or similar role within the organization)" - } - ] - }, - "ia-4_prm_2": { - "constraints": [ - { - "detail": "at least two (2) years" - } - ] - }, - "ia-4_prm_3": { - "constraints": [ - { - "detail": "thirty-five (35) days (See additional requirements and guidance.)" - } - ] - }, - "ia-4.4_prm_1": { - "constraints": [ - { - "detail": "contractors; foreign nationals]" - } - ] - }, - "ia-5.1_prm_2": { - "constraints": [ - { - "detail": "at least fifty percent (50%)" - } - ] - }, - "ia-5.1_prm_4": { - "constraints": [ - { - "detail": "twenty four (24)" - } - ] - }, - "ia-5.3_prm_1": { - "constraints": [ - { - "detail": "All hardware/biometric (multifactor authenticators)" - } - ] - }, - "ia-5.3_prm_2": { - "constraints": [ - { - "detail": "in person" - } - ] - }, - "ia-5.4_prm_1": { - "constraints": [ - { - "detail": "complexity as identified in IA-5 (1) Control Enhancement Part (a)" - } - ] - }, - "ia-5.8_prm_1": { - "constraints": [ - { - "detail": "different authenticators on different systems" - } - ] - }, - "ir-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ir-2_prm_1": { - "constraints": [ - { - "detail": "within ten (10) days" - } - ] - }, - "ir-2_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-3_prm_1": { - "constraints": [ - { - "detail": "at least every six (6) months" - } - ] - }, - "ir-4.2_prm_1": { - "constraints": [ - { - "detail": "all network, data storage, and computing devices" - } - ] - }, - "ir-4.8_prm_1": { - "constraints": [ - { - "detail": "external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT)" - } - ] - }, - "ir-6_prm_1": { - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - "ir-8_prm_2": { - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - "ir-8_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-8_prm_4": { - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - "ir-9.2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ma-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ma-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ma-3.3_prm_1": { - "constraints": [ - { - "detail": "the information owner explicitly authorizing removal of the equipment from the facility" - } - ] - }, - "mp-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "mp-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "mp-2_prm_1": { - "constraints": [ - { - "detail": "any digital and non-digital media deemed sensitive" - } - ] - }, - "mp-3_prm_1": { - "constraints": [ - { - "detail": "no removable media types" - } - ] - }, - "mp-3_prm_2": { - "constraints": [ - { - "detail": "organization-defined security safeguards not applicable" - } - ] - }, - "mp-4_prm_1": { - "constraints": [ - { - "detail": "all types of digital and non-digital media with sensitive information" - } - ] - }, - "mp-4_prm_2": { - "constraints": [ - { - "detail": "see additional FedRAMP requirements and guidance" - } - ] - }, - "mp-5_prm_1": { - "constraints": [ - { - "detail": "all media with sensitive information" - } - ] - }, - "mp-5_prm_2": { - "constraints": [ - { - "detail": "prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container" - } - ] - }, - "mp-6_prm_2": { - "constraints": [ - { - "detail": "techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations" - } - ] - }, - "mp-6.2_prm_1": { - "constraints": [ - { - "detail": "at least every six (6) months" - } - ] - }, - "pe-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "pe-2_prm_1": { - "constraints": [ - { - "detail": "at least every ninety (90) days" - } - ] - }, - "pe-3_prm_2": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - "pe-3_prm_3": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices" - } - ] - }, - "pe-3_prm_6": { - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - "pe-3_prm_8": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_9": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-6_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-8_prm_1": { - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - "pe-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-13.1_prm_1": { - "constraints": [ - { - "detail": "service provider building maintenance/physical security personnel" - } - ] - }, - "pe-13.1_prm_2": { - "constraints": [ - { - "detail": "service provider emergency responders with incident response responsibilities" - } - ] - }, - "pe-14_prm_1": { - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - "pe-14_prm_2": { - "constraints": [ - { - "detail": "continuously" - } - ] - }, - "pe-15.1_prm_1": { - "constraints": [ - { - "detail": "service provider building maintenance/physical security personnel" - } - ] - }, - "pe-16_prm_1": { - "constraints": [ - { - "detail": "all information system components" - } - ] - }, - "pe-18_prm_1": { - "constraints": [ - { - "detail": "physical and environmental hazards identified during threat assessment" - } - ] - }, - "pl-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pl-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "pl-2_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pl-4_prm_1": { - "constraints": [ - { - "detail": "annually" - } - ] - }, - "pl-8_prm_1": { - "constraints": [ - { - "detail": "at least annually or when a significant change occurs" - } - ] - }, - "ps-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ps-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ps-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ps-3_prm_1": { - "constraints": [ - { - "detail": "for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. 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} - ] - }, - "ps-8_prm_1": { - "constraints": [ - { - "detail": "at a minimum, the ISSO and/or similar role within the organization" - } - ] - }, - "ra-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ra-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ra-3_prm_2": { - "constraints": [ - { - "detail": "security assessment report" - } - ] - }, - "ra-3_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "ra-3_prm_5": { - "constraints": [ - { - "detail": "annually" - } - ] - }, - "ra-5_prm_1": { - "constraints": [ - { - "detail": "monthly operating system/infrastructure; monthly web applications and databases" - } - ] - }, - "ra-5_prm_2": { - "constraints": [ - { - "detail": "high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery" - } - ] - }, - "ra-5.2_prm_1": { - "constraints": [ - { - "detail": "prior to a new scan" - } - ] - }, - "ra-5.4_prm_1": { - "constraints": [ - { - "detail": "notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions" - } - ] - }, - "ra-5.5_prm_1": { - "constraints": [ - { - "detail": "operating systems / web applications / databases" - } - ] - }, - "ra-5.5_prm_2": { - "constraints": [ - { - "detail": "all scans" - } - ] - }, - "sa-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "sa-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - } - ] - }, - "sa-4.2_prm_1": { - "constraints": [ - { - "detail": "at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]" - } - ] - }, - "sa-4.8_prm_1": { - 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} - ] - }, - "sa-9.5_prm_2": { - "constraints": [ - { - "detail": "U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction" - } - ] - }, - "sa-9.5_prm_3": { - "constraints": [ - { - "detail": "all High Impact Data, Systems, or Services" - } - ] - }, - "sa-10_prm_1": { - "constraints": [ - { - "detail": "development, implementation, AND operation" - } - ] - }, - "sa-12_prm_1": { - "constraints": [ - { - "detail": "organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures" - } - ] - }, - "sa-15_prm_1": { - "constraints": [ - { - "detail": "as needed and as dictated by the current threat posture" - } - ] - }, - "sa-15_prm_2": { - "constraints": [ - { - "detail": "organization and service provider- defined security requirements" - } - ] - }, - "sc-1_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "sc-1_prm_3": { - "constraints": [ - { - "detail": "at least annually or whenever a significant change occurs" - 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}, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.13_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-2.2", - "additions": [ - { - "position": "starting", - "id-ref": "ac-2.2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-2.3", - "additions": [ - { - "position": "ending", - "id-ref": "ac-2.3_smt", - "parts": [ - { - "id": "ac-2.3_fr", - "name": "item", - "title": "AC-2 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.3_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-2.4", - "additions": [ - { - "position": "starting", - "id-ref": "ac-2.4_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.4_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.4_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-2.5", - "additions": [ - { - "position": "ending", - "id-ref": "ac-2.5_smt", - "parts": [ - { - "id": "ac-2.5_fr", - "name": "item", - "title": "AC-2 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Should use a shorter timeframe than AC-12." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.5_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.5_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-2.7", - "additions": [ - { - "position": "starting", - "id-ref": "ac-2.7.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.7.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.7.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.7.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-2.9", - "additions": [ - { - "position": "ending", - "id-ref": "ac-2.9_smt", - "parts": [ - { - "id": "ac-2.9_fr", - "name": "item", - "title": "AC-2 (9) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.9_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Required if shared/group accounts are deployed" - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.9_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-2.9_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-20", - "additions": [ - { - "position": "starting", - "id-ref": "ac-20.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-20.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-20.1", - "additions": [ - { - "position": "starting", - "id-ref": "ac-20.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-20.2", - "additions": [ - { - "position": "starting", - "id-ref": "ac-20.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-21", - "additions": [ - { - "position": "starting", - "id-ref": "ac-21.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-21.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-21.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-21.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-22", - "additions": [ - { - "position": "starting", - "id-ref": "ac-22", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-22.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-22.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - 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{ - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-4.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-4.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-4.21", - "additions": [ - { - "position": "starting", - "id-ref": "ac-4.21_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-4.21_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-4.21_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ac-4.8", - "additions": [ - { - "position": "starting", - "id-ref": "ac-4.8_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ac-4.8_obj.2", - "properties": [ - { - "name": "conformity", - 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"properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-2.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-3", - "additions": [ - { - "position": "starting", - "id-ref": "au-3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-3.1", - "additions": [ - { - "position": "ending", - "id-ref": "au-3.1_smt", - "parts": [ - { - "id": "au-3.1_fr", - "name": "item", - "title": "AU-3 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-3.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO." - }, - { - "id": "au-3.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "au-3.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-3.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-3.2", - "additions": [ - { - "position": "starting", - "id-ref": "au-3.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-3.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-4", - "additions": [ - { - "position": "starting", - "id-ref": "au-4.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-4_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-5", - "additions": [ - { - "position": "starting", - "id-ref": "au-5.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-5.1", - "additions": [ - { - "position": "starting", - "id-ref": "au-5.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.1_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-5.2", - "additions": [ - { - "position": "starting", - "id-ref": "au-5.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-5.2_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6", - "additions": [ - { - "position": "ending", - "id-ref": "au-6_smt", - "parts": [ - { - "id": "au-6_fr", - "name": "item", - "title": "AU-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "au-6", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "au-6.1", - "additions": [ - { - "position": "starting", - "id-ref": "au-6.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "au-6.10", - "additions": [ - { - "position": "starting", - "id-ref": "au-6.10_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6.3", - "additions": [ - { - "position": "starting", - "id-ref": "au-6.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6.4", - "additions": [ - { - "position": "starting", - "id-ref": "au-6.4_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6.5", - "additions": [ - { - "position": "starting", - "id-ref": "au-6.5_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.5_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.5_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6.6", - "additions": [ - { - "position": "ending", - "id-ref": "au-6.6_smt", - "parts": [ - { - "id": "au-6.6_fr", - "name": "item", - "title": "AU-6 (6) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6.6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.6_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6.7", - "additions": [ - { - "position": "starting", - "id-ref": "au-6.7_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-7", - "additions": [ - { - "position": "starting", - "id-ref": "au-7.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "au-7.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-7.1", - "additions": [ - { - "position": "starting", - "id-ref": "au-7.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-7.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-8", - "additions": [ - { - "position": "starting", - "id-ref": "au-8.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-8.1", - "additions": [ - { - "position": "ending", - "id-ref": "au-8.1_smt", - "parts": [ - { - "id": "au-8.1_fr", - "name": "item", - "title": "AU-8 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-8.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server." - }, - { - "id": "au-8.1_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server." - }, - { - "id": "au-8.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Synchronization of system clocks improves the accuracy of log analysis." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.1.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - 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"properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-9", - "additions": [ - { - "position": "starting", - "id-ref": "au-9.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-9.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - 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"value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "ca-2", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2_smt", - "parts": [ - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-2.1", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2.1_smt", - "parts": [ - { - "id": "ca-2.1_fr", - "name": "item", - "title": "CA-2 (1) Additional FedRAMP Requirements and Guidance", - 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"name": "item", - "title": "CA-2 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "To include 'announced', 'vulnerability scanning'" - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - 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"value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.3_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.3_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-3", - "additions": [ - { - "position": "starting", - "id-ref": "ca-3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-3.3", - "additions": [ - { - "position": "ending", - "id-ref": "ca-3.3_smt", - "parts": [ - { - "id": "ca-3.3_fr", - "name": "item", - "title": "CA-3 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.3_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-3.5", - "additions": [ - { - "position": "ending", - "id-ref": "ca-3.5_smt", - "parts": [ - { - "id": "ca-3.5_fr", - "name": "item", - "title": "CA-3 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing" - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.5_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.5_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-5", - "additions": [ - { - "position": "ending", - "id-ref": "ca-5_smt", - "parts": [ - { - "id": "ca-5_fr", - "name": "item", - "title": "CA-5 Additional FedRAMP Requirements and Guidance", - 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}, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-6", - "additions": [ - { - "position": "ending", - "id-ref": "ca-6_smt", - "parts": [ - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. 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"value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.6_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5_obj.7", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5_obj.8", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-5.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.2", - "additions": [ - { - "position": "starting", - "id-ref": "cm-5.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.2_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.3", - "additions": [ - { - "position": "ending", - "id-ref": "cm-5.3_smt", - "parts": [ - { - "id": "cm-5.3_fr", - "name": "item", - "title": "CM-5 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-5.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.5", - "additions": [ - { - "position": "starting", - "id-ref": "cm-5.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "cm-6", - "additions": [ - { - "position": "ending", - "id-ref": "cm-6_smt", - "parts": [ - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.5", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-6.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-6.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-6.2", - "additions": [ - { - "position": "starting", - "id-ref": "cm-6.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7", - "additions": [ - { - "position": "ending", - "id-ref": "cm-7_smt", - "parts": [ - { - "id": "cm-7_fr", - "name": "item", - "title": "CM-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available." - }, - { - "id": "cm-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-7.1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7.2", - "additions": [ - { - "position": "ending", - "id-ref": "cm-7.2_smt", - "parts": [ - { - "id": "cm-7.2_fr", - "name": "item", - "title": "CM-7 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7.2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7.5", - "additions": [ - { - "position": "starting", - "id-ref": "cm-7.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.5.a_obj", - "properties": [ - 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} - ] - }, - { - "uuid": "ad005eae-cc63-4e64-9109-3905a9a825e4", - "title": "NIST Special Publication (SP) 800-53", - "properties": [ - { - "name": "version", - "ns": "https://fedramp.gov/ns/oscal", - "value": "Revision 4" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "https://raw.githubusercontent.com/usnistgov/OSCAL/v1.0.0-milestone3/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml", - "media-type": "application/xml" - } - ] - } - ] - } - } -} diff --git a/content/fedramp.gov/json/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog-min.json b/content/fedramp.gov/json/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog-min.json deleted file mode 100644 index d475442895..0000000000 --- a/content/fedramp.gov/json/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog-min.json +++ /dev/null @@ -1 +0,0 @@ -{"catalog":{"uuid":"7ec7633b-cbd4-4e1d-9015-e5b3d44c2550","metadata":{"title":"FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline","published":"2020-02-02T00:00:00.000-05:00","last-modified":"2020-06-01T10:00:00.000-05:00","version":"1.2","oscal-version":"1.0.0-milestone3","properties":[{"name":"resolution-timestamp","value":"2020-08-31T17:38:37.186738Z"}],"links":[{"href":"FedRAMP_LI-SaaS-baseline_profile.xml","rel":"resolution-source","text":"FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline"}],"roles":[{"id":"parpared-by","title":"Document creator"},{"id":"fedramp-pmo","title":"The FedRAMP Program Management Office (PMO)","short-name":"CSP"},{"id":"fedramp-jab","title":"The FedRAMP Joint Authorization Board (JAB)","short-name":"CSP"}],"parties":[{"uuid":"8cc0b8e5-9650-4d5f-9796-316f05fa9a2d","type":"organization","party-name":"Federal Risk and Authorization Management Program: Program Management Office","short-name":"FedRAMP PMO","links":[{"href":"https://fedramp.gov","rel":"homepage","text":""}],"addresses":[{"type":"work","postal-address":["1800 F St. NW",""],"city":"Washington","state":"DC","postal-code":"","country":"US"}],"email-addresses":["info@fedramp.gov"]},{"uuid":"ca9ba80e-1342-4bfd-b32a-abac468c24b4","type":"organization","party-name":"Federal Risk and Authorization Management Program: Joint Authorization Board","short-name":"FedRAMP JAB"}],"responsible-parties":{"prepared-by":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-pmo":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-jab":{"party-uuids":["ca9ba80e-1342-4bfd-b32a-abac468c24b4"]}}},"groups":[{"id":"ac","class":"family","title":"Access Control","controls":[{"id":"ac-1","class":"SP800-53","title":"Access Control Policy and Procedures","parameters":[{"id":"ac-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ac-1_prm_2","label":"organization-defined frequency"},{"id":"ac-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"AC-1"},{"name":"sort-id","value":"ac-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ac-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ac-1_prm_1 }}:","parts":[{"id":"ac-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An access control policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ac-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the access control policy and\n associated access controls; and"}]},{"id":"ac-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ac-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Access control policy {{ ac-1_prm_2 }}; and"},{"id":"ac-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Access control procedures {{ ac-1_prm_3 }}."}]}]},{"id":"ac-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ac-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)"}],"parts":[{"id":"ac-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)"}],"parts":[{"id":"ac-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1]"}],"prose":"develops and documents an access control policy that addresses:","parts":[{"id":"ac-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ac-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ac-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ac-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ac-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ac-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ac-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ac-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the access control policy are to be\n disseminated;"},{"id":"ac-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[3]"}],"prose":"disseminates the access control policy to organization-defined personnel or\n roles;"}]},{"id":"ac-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)"}],"parts":[{"id":"ac-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;"},{"id":"ac-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ac-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ac-1.b_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)"}],"parts":[{"id":"ac-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(1)"}],"parts":[{"id":"ac-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"AC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current access control\n policy;"},{"id":"ac-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-1(b)(1)[2]"}],"prose":"reviews and updates the current access control policy with the\n organization-defined frequency;"}]},{"id":"ac-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(2)"}],"parts":[{"id":"ac-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"AC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current access control\n procedures; and"},{"id":"ac-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"AC-1(b)(2)[2]"}],"prose":"reviews and updates the current access control procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-2","class":"SP800-53","title":"Account Management","parameters":[{"id":"ac-2_prm_1","label":"organization-defined information system account types"},{"id":"ac-2_prm_2","label":"organization-defined personnel or roles"},{"id":"ac-2_prm_3","label":"organization-defined procedures or conditions"},{"id":"ac-2_prm_4","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"AC-2"},{"name":"sort-id","value":"ac-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ac-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};"},{"id":"ac-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};"},{"id":"ac-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Monitors the use of information system accounts;"},{"id":"ac-2_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Notifies account managers:","parts":[{"id":"ac-2_smt.h.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"When accounts are no longer required;"},{"id":"ac-2_smt.h.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"When users are terminated or transferred; and"},{"id":"ac-2_smt.h.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"When individual information system usage or need-to-know changes;"}]}]},{"id":"ac-2_gdn","name":"guidance","prose":"Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-10","rel":"related","text":"AC-10"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.a_obj","name":"objective","properties":[{"name":"label","value":"AC-2(a)"}],"parts":[{"id":"ac-2.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(a)[1]"}],"prose":"defines information system account types to be identified and selected to\n support organizational missions/business functions;"},{"id":"ac-2.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(a)[2]"}],"prose":"identifies and selects organization-defined information system account types to\n support organizational missions/business functions;"}]},{"id":"ac-2.b_obj","name":"objective","properties":[{"name":"label","value":"AC-2(b)"}],"prose":"assigns account managers for information system accounts;"},{"id":"ac-2.c_obj","name":"objective","properties":[{"name":"label","value":"AC-2(c)"}],"prose":"establishes conditions for group and role membership;"},{"id":"ac-2.d_obj","name":"objective","properties":[{"name":"label","value":"AC-2(d)"}],"prose":"specifies for each account (as required):","parts":[{"id":"ac-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(d)[1]"}],"prose":"authorized users of the information system;"},{"id":"ac-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(d)[2]"}],"prose":"group and role membership;"},{"id":"ac-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"AC-2(d)[3]"}],"prose":"access authorizations (i.e., privileges);"},{"id":"ac-2.d_obj.4","name":"objective","properties":[{"name":"label","value":"AC-2(d)[4]"}],"prose":"other attributes;"}]},{"id":"ac-2.e_obj","name":"objective","properties":[{"name":"label","value":"AC-2(e)"}],"parts":[{"id":"ac-2.e_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(e)[1]"}],"prose":"defines personnel or roles required to approve requests to create information\n system accounts;"},{"id":"ac-2.e_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(e)[2]"}],"prose":"requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;"}]},{"id":"ac-2.f_obj","name":"objective","properties":[{"name":"label","value":"AC-2(f)"}],"parts":[{"id":"ac-2.f_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1]"}],"prose":"defines procedures or conditions to:","parts":[{"id":"ac-2.f_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][a]"}],"prose":"create information system accounts;"},{"id":"ac-2.f_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][b]"}],"prose":"enable information system accounts;"},{"id":"ac-2.f_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][c]"}],"prose":"modify information system accounts;"},{"id":"ac-2.f_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][d]"}],"prose":"disable information system accounts;"},{"id":"ac-2.f_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][e]"}],"prose":"remove information system accounts;"}]},{"id":"ac-2.f_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2]"}],"prose":"in accordance with organization-defined procedures or conditions:","parts":[{"id":"ac-2.f_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][a]"}],"prose":"creates information system accounts;"},{"id":"ac-2.f_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][b]"}],"prose":"enables information system accounts;"},{"id":"ac-2.f_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][c]"}],"prose":"modifies information system accounts;"},{"id":"ac-2.f_obj.2.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][d]"}],"prose":"disables information system accounts;"},{"id":"ac-2.f_obj.2.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][e]"}],"prose":"removes information system accounts;"}]}]},{"id":"ac-2.g_obj","name":"objective","properties":[{"name":"label","value":"AC-2(g)"}],"prose":"monitors the use of information system accounts;"},{"id":"ac-2.h_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)"}],"prose":"notifies account managers:","parts":[{"id":"ac-2.h.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(1)"}],"prose":"when accounts are no longer required;"},{"id":"ac-2.h.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(2)"}],"prose":"when users are terminated or transferred;"},{"id":"ac-2.h.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(3)"}],"prose":"when individual information system usage or need to know changes;"}]},{"id":"ac-2.i_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)"}],"prose":"authorizes access to the information system based on;","parts":[{"id":"ac-2.i.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(1)"}],"prose":"a valid access authorization;"},{"id":"ac-2.i.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(2)"}],"prose":"intended system usage;"},{"id":"ac-2.i.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(3)"}],"prose":"other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2.j_obj","name":"objective","properties":[{"name":"label","value":"AC-2(j)"}],"parts":[{"id":"ac-2.j_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(j)[1]"}],"prose":"defines the frequency to review accounts for compliance with account management\n requirements;"},{"id":"ac-2.j_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(j)[2]"}],"prose":"reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and"}]},{"id":"ac-2.k_obj","name":"objective","properties":[{"name":"label","value":"AC-2(k)"}],"prose":"establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management"}]},{"id":"ac-2_fr","name":"item","title":"AC-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored\n for LI-SaaS."}]}]},{"id":"ac-3","class":"SP800-53","title":"Access Enforcement","properties":[{"name":"label","value":"AC-3"},{"name":"sort-id","value":"ac-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ac-3_smt","name":"statement","prose":"The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies."},{"id":"ac-3_gdn","name":"guidance","prose":"Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ac-21","rel":"related","text":"AC-21"},{"href":"#ac-22","rel":"related","text":"AC-22"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"ac-3_obj","name":"objective","prose":"Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy"}]}]},{"id":"ac-7","class":"SP800-53","title":"Unsuccessful Logon Attempts","parameters":[{"id":"ac-7_prm_1","label":"organization-defined number"},{"id":"ac-7_prm_2","label":"organization-defined time period"},{"id":"ac-7_prm_3"},{"id":"ac-7_prm_4","depends-on":"ac-7_prm_3","label":"organization-defined time period"},{"id":"ac-7_prm_5","depends-on":"ac-7_prm_3","label":"organization-defined delay algorithm"}],"properties":[{"name":"label","value":"AC-7"},{"name":"sort-id","value":"ac-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ac-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and"},{"id":"ac-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded."}]},{"id":"ac-7_gdn","name":"guidance","prose":"This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ia-5","rel":"related","text":"IA-5"}]},{"id":"ac-7_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-7.a_obj","name":"objective","properties":[{"name":"label","value":"AC-7(a)"}],"parts":[{"id":"ac-7.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-7(a)[1]"}],"prose":"the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;"},{"id":"ac-7.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-7(a)[2]"}],"prose":"the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;"},{"id":"ac-7.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-7(a)[3]"}],"prose":"the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;"}]},{"id":"ac-7.b_obj","name":"objective","properties":[{"name":"label","value":"AC-7(b)"}],"parts":[{"id":"ac-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"AC-7(b)[1]"}],"prose":"the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;"},{"id":"ac-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2]"}],"prose":"the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:","parts":[{"id":"ac-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][a]"}],"prose":"locks the account/node for the organization-defined time period;"},{"id":"ac-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][b]"}],"prose":"locks the account/node until released by an administrator; or"},{"id":"ac-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][c]"}],"prose":"delays next logon prompt according to the organization-defined delay\n algorithm."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for unsuccessful logon\n attempts"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication."}]},{"id":"ac-8","class":"SP800-53","title":"System Use Notification","parameters":[{"id":"ac-8_prm_1","label":"organization-defined system use notification message or banner"},{"id":"ac-8_prm_2","label":"organization-defined conditions"}],"properties":[{"name":"label","value":"AC-8"},{"name":"sort-id","value":"ac-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"FED"}],"parts":[{"id":"ac-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:","parts":[{"id":"ac-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Users are accessing a U.S. Government information system;"},{"id":"ac-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Information system usage may be monitored, recorded, and subject to audit;"},{"id":"ac-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and"},{"id":"ac-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Use of the information system indicates consent to monitoring and\n recording;"}]},{"id":"ac-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and"},{"id":"ac-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"For publicly accessible systems:","parts":[{"id":"ac-8_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;"},{"id":"ac-8_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and"},{"id":"ac-8_smt.c.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Includes a description of the authorized uses of the system."}]}]},{"id":"ac-8_gdn","name":"guidance","prose":"System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content."},{"id":"ac-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-8.a_obj","name":"objective","properties":[{"name":"label","value":"AC-8(a)"}],"parts":[{"id":"ac-8.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-8(a)[1]"}],"prose":"the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;"},{"id":"ac-8.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2]"}],"prose":"the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:","parts":[{"id":"ac-8.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](1)"}],"prose":"users are accessing a U.S. Government information system;"},{"id":"ac-8.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](2)"}],"prose":"information system usage may be monitored, recorded, and subject to\n audit;"},{"id":"ac-8.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](3)"}],"prose":"unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;"},{"id":"ac-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](4)"}],"prose":"use of the information system indicates consent to monitoring and\n recording;"}]}]},{"id":"ac-8.b_obj","name":"objective","properties":[{"name":"label","value":"AC-8(b)"}],"prose":"the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;"},{"id":"ac-8.c_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)"}],"prose":"for publicly accessible systems:","parts":[{"id":"ac-8.c.1_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)(1)"}],"parts":[{"id":"ac-8.c.1_obj.1","name":"objective","properties":[{"name":"label","value":"AC-8(c)(1)[1]"}],"prose":"the organization defines conditions for system use to be displayed by the\n information system before granting further access;"},{"id":"ac-8.c.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(c)(1)[2]"}],"prose":"the information system displays organization-defined conditions before\n granting further access;"}]},{"id":"ac-8.c.2_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)(2)"}],"prose":"the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and"},{"id":"ac-8.c.3_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)(3)"}],"prose":"the information system includes a description of the authorized uses of the\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing system use notification"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"FED - This is related to agency data and agency policy solution."}]},{"id":"ac-14","class":"SP800-53","title":"Permitted Actions Without Identification or Authentication","parameters":[{"id":"ac-14_prm_1","label":"organization-defined user actions"}],"properties":[{"name":"label","value":"AC-14"},{"name":"sort-id","value":"ac-14"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"FED"}],"parts":[{"id":"ac-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"},{"id":"ac-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"id":"ac-14_gdn","name":"guidance","prose":"This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ia-2","rel":"related","text":"IA-2"}]},{"id":"ac-14_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-14.a_obj","name":"objective","properties":[{"name":"label","value":"AC-14(a)"}],"parts":[{"id":"ac-14.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-14(a)[1]"}],"prose":"defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;"},{"id":"ac-14.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-14(a)[2]"}],"prose":"identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"}]},{"id":"ac-14.b_obj","name":"objective","properties":[{"name":"label","value":"AC-14(b)"}],"prose":"documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"FED - This is related to agency data and agency policy solution."}]},{"id":"ac-17","class":"SP800-53","title":"Remote Access","properties":[{"name":"label","value":"AC-17"},{"name":"sort-id","value":"ac-17"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#5309d4d0-46f8-4213-a749-e7584164e5e8","rel":"reference","text":"NIST Special Publication 800-46"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#349fe082-502d-464a-aa0c-1443c6a5cf40","rel":"reference","text":"NIST Special Publication 800-113"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#d1a4e2a9-e512-4132-8795-5357aba29254","rel":"reference","text":"NIST Special Publication 800-121"}],"parts":[{"id":"ac-17_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and"},{"id":"ac-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes remote access to the information system prior to allowing such\n connections."}]},{"id":"ac-17_gdn","name":"guidance","prose":"Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#pe-17","rel":"related","text":"PE-17"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-17_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.a_obj","name":"objective","properties":[{"name":"label","value":"AC-17(a)"}],"parts":[{"id":"ac-17.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-17(a)[1]"}],"prose":"identifies the types of remote access allowed to the information system;"},{"id":"ac-17.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2]"}],"prose":"establishes for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][c]"}],"prose":"implementation guidance;"}]},{"id":"ac-17.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3]"}],"prose":"documents for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.3.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][c]"}],"prose":"implementation guidance; and"}]}]},{"id":"ac-17.b_obj","name":"objective","properties":[{"name":"label","value":"AC-17(b)"}],"prose":"authorizes remote access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Remote access management capability for the information system"}]}]},{"id":"ac-18","class":"SP800-53","title":"Wireless Access","properties":[{"name":"label","value":"AC-18"},{"name":"sort-id","value":"ac-18"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"links":[{"href":"#238ed479-eccb-49f6-82ec-ab74a7a428cf","rel":"reference","text":"NIST Special Publication 800-48"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#6f336ecd-f2a0-4c84-9699-0491d81b6e0d","rel":"reference","text":"NIST Special Publication 800-97"}],"parts":[{"id":"ac-18_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-18_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and"},{"id":"ac-18_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes wireless access to the information system prior to allowing such\n connections."}]},{"id":"ac-18_gdn","name":"guidance","prose":"Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-18.a_obj","name":"objective","properties":[{"name":"label","value":"AC-18(a)"}],"prose":"establishes for wireless access:","parts":[{"id":"ac-18.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-18(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-18.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-18(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-18.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-18(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-18.b_obj","name":"objective","properties":[{"name":"label","value":"AC-18(b)"}],"prose":"authorizes wireless access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Wireless access management capability for the information system"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - All access to Cloud SaaS are via web services and/or API. The device\n accessed from or whether via wired or wireless connection is out of scope.\n Regardless of device accessed from, must utilize approved remote access methods\n (AC-17), secure communication with strong encryption (SC-13), key management\n (SC-12), and multi-factor authentication for privileged access (IA-2[1])."}]},{"id":"ac-19","class":"SP800-53","title":"Access Control for Mobile Devices","properties":[{"name":"label","value":"AC-19"},{"name":"sort-id","value":"ac-19"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"links":[{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589","rel":"reference","text":"NIST Special Publication 800-124"},{"href":"#6513e480-fada-4876-abba-1397084dfb26","rel":"reference","text":"NIST Special Publication 800-164"}],"parts":[{"id":"ac-19_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-19_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and"},{"id":"ac-19_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes the connection of mobile devices to organizational information\n systems."}]},{"id":"ac-19_gdn","name":"guidance","prose":"A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-9","rel":"related","text":"CA-9"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-43","rel":"related","text":"SC-43"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-19.a_obj","name":"objective","properties":[{"name":"label","value":"AC-19(a)"}],"prose":"establishes for organization-controlled mobile devices:","parts":[{"id":"ac-19.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-19(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-19.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-19(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-19.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-19(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-19.b_obj","name":"objective","properties":[{"name":"label","value":"AC-19(b)"}],"prose":"authorizes the connection of mobile devices to organizational information\n systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Access control capability authorizing mobile device connections to organizational\n information systems"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - All access to Cloud SaaS are via web service and/or API. The device accessed\n from is out of the scope. Regardless of device accessed from, must utilize\n approved remote access methods (AC-17), secure communication with strong\n encryption (SC-13), key management (SC-12), and multi-factor authentication for\n privileged access (IA-2 [1])."}]},{"id":"ac-20","class":"SP800-53","title":"Use of External Information Systems","properties":[{"name":"label","value":"AC-20"},{"name":"sort-id","value":"ac-20"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"}],"parts":[{"id":"ac-20_smt","name":"statement","prose":"The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:","parts":[{"id":"ac-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Access the information system from external information systems; and"},{"id":"ac-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Process, store, or transmit organization-controlled information using external\n information systems."}]},{"id":"ac-20_gdn","name":"guidance","prose":"External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ac-20_obj","name":"objective","prose":"Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ","parts":[{"id":"ac-20.a_obj","name":"objective","properties":[{"name":"label","value":"AC-20(a)"}],"prose":"access the information system from the external information systems; and"},{"id":"ac-20.b_obj","name":"objective","properties":[{"name":"label","value":"AC-20(b)"}],"prose":"process, store, or transmit organization-controlled information using external\n information systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing terms and conditions on use of external\n information systems"}]}]},{"id":"ac-22","class":"SP800-53","title":"Publicly Accessible Content","parameters":[{"id":"ac-22_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly"}]}],"properties":[{"name":"label","value":"AC-22"},{"name":"sort-id","value":"ac-22"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ac-22_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-22_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and"},{"id":"ac-22_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered."}]},{"id":"ac-22_gdn","name":"guidance","prose":"In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-13","rel":"related","text":"AU-13"}]},{"id":"ac-22_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-22.a_obj","name":"objective","properties":[{"name":"label","value":"AC-22(a)"}],"prose":"designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22.b_obj","name":"objective","properties":[{"name":"label","value":"AC-22(b)"}],"prose":"trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22.c_obj","name":"objective","properties":[{"name":"label","value":"AC-22(c)"}],"prose":"reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;"},{"id":"ac-22.d_obj","name":"objective","properties":[{"name":"label","value":"AC-22(d)"}],"parts":[{"id":"ac-22.d_obj.1","name":"objective","properties":[{"name":"label","value":"AC-22(d)[1]"}],"prose":"defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;"},{"id":"ac-22.d_obj.2","name":"objective","properties":[{"name":"label","value":"AC-22(d)[2]"}],"prose":"reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and"},{"id":"ac-22.d_obj.3","name":"objective","properties":[{"name":"label","value":"AC-22(d)[3]"}],"prose":"removes nonpublic information from the publicly accessible information system,\n if discovered."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing management of publicly accessible content"}]}]}]},{"id":"at","class":"family","title":"Awareness and Training","controls":[{"id":"at-1","class":"SP800-53","title":"Security Awareness and Training Policy and Procedures","parameters":[{"id":"at-1_prm_1","label":"organization-defined personnel or roles"},{"id":"at-1_prm_2","label":"organization-defined frequency"},{"id":"at-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"AT-1"},{"name":"sort-id","value":"at-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"at-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ at-1_prm_1 }}:","parts":[{"id":"at-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"at-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and"}]},{"id":"at-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"at-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security awareness and training policy {{ at-1_prm_2 }}; and"},{"id":"at-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security awareness and training procedures {{ at-1_prm_3 }}."}]}]},{"id":"at-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"at-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-1.a_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)"}],"parts":[{"id":"at-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)"}],"parts":[{"id":"at-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1]"}],"prose":"develops and documents an security awareness and training policy that\n addresses:","parts":[{"id":"at-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"at-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"at-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"at-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"at-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"at-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"at-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"at-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;"},{"id":"at-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[3]"}],"prose":"disseminates the security awareness and training policy to\n organization-defined personnel or roles;"}]},{"id":"at-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)"}],"parts":[{"id":"at-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;"},{"id":"at-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"at-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"at-1.b_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)"}],"parts":[{"id":"at-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(1)"}],"parts":[{"id":"at-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"AT-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training policy;"},{"id":"at-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"AT-1(b)(1)[2]"}],"prose":"reviews and updates the current security awareness and training policy with\n the organization-defined frequency;"}]},{"id":"at-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(2)"}],"parts":[{"id":"at-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"AT-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training procedures; and"},{"id":"at-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"AT-1(b)(2)[2]"}],"prose":"reviews and updates the current security awareness and training procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"at-2","class":"SP800-53","title":"Security Awareness Training","parameters":[{"id":"at-2_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"AT-2"},{"name":"sort-id","value":"at-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-2_smt","name":"statement","prose":"The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):","parts":[{"id":"at-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"As part of initial training for new users;"},{"id":"at-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-2_prm_1 }} thereafter."}]},{"id":"at-2_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"at-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-2.a_obj","name":"objective","properties":[{"name":"label","value":"AT-2(a)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;"},{"id":"at-2.b_obj","name":"objective","properties":[{"name":"label","value":"AT-2(b)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and"},{"id":"at-2.c_obj","name":"objective","properties":[{"name":"label","value":"AT-2(c)"}],"parts":[{"id":"at-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"AT-2(c)[1]"}],"prose":"defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and"},{"id":"at-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"AT-2(c)[2]"}],"prose":"provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing security awareness training"}]}]},{"id":"at-3","class":"SP800-53","title":"Role-based Security Training","parameters":[{"id":"at-3_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"AT-3"},{"name":"sort-id","value":"at-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-3_smt","name":"statement","prose":"The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:","parts":[{"id":"at-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Before authorizing access to the information system or performing assigned\n duties;"},{"id":"at-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-3_prm_1 }} thereafter."}]},{"id":"at-3_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-16","rel":"related","text":"SA-16"}]},{"id":"at-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-3.a_obj","name":"objective","properties":[{"name":"label","value":"AT-3(a)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;"},{"id":"at-3.b_obj","name":"objective","properties":[{"name":"label","value":"AT-3(b)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and"},{"id":"at-3.c_obj","name":"objective","properties":[{"name":"label","value":"AT-3(c)"}],"parts":[{"id":"at-3.c_obj.1","name":"objective","properties":[{"name":"label","value":"AT-3(c)[1]"}],"prose":"defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and"},{"id":"at-3.c_obj.2","name":"objective","properties":[{"name":"label","value":"AT-3(c)[2]"}],"prose":"provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing role-based security training"}]}]},{"id":"at-4","class":"SP800-53","title":"Security Training Records","parameters":[{"id":"at-4_prm_1","label":"organization-defined time period"}],"properties":[{"name":"label","value":"AT-4"},{"name":"sort-id","value":"at-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"at-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and"},{"id":"at-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains individual training records for {{ at-4_prm_1 }}."}]},{"id":"at-4_gdn","name":"guidance","prose":"Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-14","rel":"related","text":"PM-14"}]},{"id":"at-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-4.a_obj","name":"objective","properties":[{"name":"label","value":"AT-4(a)"}],"parts":[{"id":"at-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1]"}],"prose":"documents individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][b]"}],"prose":"specific role-based information system security training;"}]},{"id":"at-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2]"}],"prose":"monitors individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][b]"}],"prose":"specific role-based information system security training;"}]}]},{"id":"at-4.b_obj","name":"objective","properties":[{"name":"label","value":"AT-4(b)"}],"parts":[{"id":"at-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"AT-4(b)[1]"}],"prose":"defines a time period to retain individual training records; and"},{"id":"at-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"AT-4(b)[2]"}],"prose":"retains individual training records for the organization-defined time\n period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security training record retention\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting management of security training records"}]}]}]},{"id":"au","class":"family","title":"Audit and Accountability","controls":[{"id":"au-1","class":"SP800-53","title":"Audit and Accountability Policy and Procedures","parameters":[{"id":"au-1_prm_1","label":"organization-defined personnel or roles"},{"id":"au-1_prm_2","label":"organization-defined frequency"},{"id":"au-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"AU-1"},{"name":"sort-id","value":"au-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"au-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ au-1_prm_1 }}:","parts":[{"id":"au-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"au-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and"}]},{"id":"au-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"au-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Audit and accountability policy {{ au-1_prm_2 }}; and"},{"id":"au-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Audit and accountability procedures {{ au-1_prm_3 }}."}]}]},{"id":"au-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"au-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-1.a_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)"}],"parts":[{"id":"au-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)"}],"parts":[{"id":"au-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1]"}],"prose":"develops and documents an audit and accountability policy that\n addresses:","parts":[{"id":"au-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"au-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"au-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"au-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"au-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"au-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"au-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"au-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;"},{"id":"au-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[3]"}],"prose":"disseminates the audit and accountability policy to organization-defined\n personnel or roles;"}]},{"id":"au-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)"}],"parts":[{"id":"au-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;"},{"id":"au-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"au-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"au-1.b_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)"}],"parts":[{"id":"au-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(1)"}],"parts":[{"id":"au-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"AU-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability policy;"},{"id":"au-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"AU-1(b)(1)[2]"}],"prose":"reviews and updates the current audit and accountability policy with the\n organization-defined frequency;"}]},{"id":"au-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(2)"}],"parts":[{"id":"au-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"AU-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability procedures; and"},{"id":"au-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"AU-1(b)(2)[2]"}],"prose":"reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"au-2","class":"SP800-53","title":"Audit Events","parameters":[{"id":"au-2_prm_1","label":"organization-defined auditable events"},{"id":"au-2_prm_2","label":"organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event"}],"properties":[{"name":"label","value":"AU-2"},{"name":"sort-id","value":"au-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"au-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};"},{"id":"au-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and"},{"id":"au-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}."}]},{"id":"au-2_gdn","name":"guidance","prose":"An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-2.a_obj","name":"objective","properties":[{"name":"label","value":"AU-2(a)"}],"parts":[{"id":"au-2.a_obj.1","name":"objective","properties":[{"name":"label","value":"AU-2(a)[1]"}],"prose":"defines the auditable events that the information system must be capable of\n auditing;"},{"id":"au-2.a_obj.2","name":"objective","properties":[{"name":"label","value":"AU-2(a)[2]"}],"prose":"determines that the information system is capable of auditing\n organization-defined auditable events;"}]},{"id":"au-2.b_obj","name":"objective","properties":[{"name":"label","value":"AU-2(b)"}],"prose":"coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2.c_obj","name":"objective","properties":[{"name":"label","value":"AU-2(c)"}],"prose":"provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;"},{"id":"au-2.d_obj","name":"objective","properties":[{"name":"label","value":"AU-2(d)"}],"parts":[{"id":"au-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"AU-2(d)[1]"}],"prose":"defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;"},{"id":"au-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"AU-2(d)[2]"}],"prose":"determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and"},{"id":"au-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"AU-2(d)[3]"}],"prose":"determines the frequency of (or situation requiring) auditing for each\n identified event."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing"}]}]},{"id":"au-3","class":"SP800-53","title":"Content of Audit Records","properties":[{"name":"label","value":"AU-3"},{"name":"sort-id","value":"au-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"au-3_smt","name":"statement","prose":"The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event."},{"id":"au-3_gdn","name":"guidance","prose":"Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-8","rel":"related","text":"AU-8"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"au-3_obj","name":"objective","prose":"Determine if the information system generates audit records containing information\n that establishes: ","parts":[{"id":"au-3_obj.1","name":"objective","properties":[{"name":"label","value":"AU-3[1]"}],"prose":"what type of event occurred;"},{"id":"au-3_obj.2","name":"objective","properties":[{"name":"label","value":"AU-3[2]"}],"prose":"when the event occurred;"},{"id":"au-3_obj.3","name":"objective","properties":[{"name":"label","value":"AU-3[3]"}],"prose":"where the event occurred;"},{"id":"au-3_obj.4","name":"objective","properties":[{"name":"label","value":"AU-3[4]"}],"prose":"the source of the event;"},{"id":"au-3_obj.5","name":"objective","properties":[{"name":"label","value":"AU-3[5]"}],"prose":"the outcome of the event; and"},{"id":"au-3_obj.6","name":"objective","properties":[{"name":"label","value":"AU-3[6]"}],"prose":"the identity of any individuals or subjects associated with the event."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing of auditable\n events"}]}]},{"id":"au-4","class":"SP800-53","title":"Audit Storage Capacity","parameters":[{"id":"au-4_prm_1","label":"organization-defined audit record storage requirements"}],"properties":[{"name":"label","value":"AU-4"},{"name":"sort-id","value":"au-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"id":"au-4_smt","name":"statement","prose":"The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}."},{"id":"au-4_gdn","name":"guidance","prose":"Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-11","rel":"related","text":"AU-11"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-4_obj.1","name":"objective","properties":[{"name":"label","value":"AU-4[1]"}],"prose":"defines audit record storage requirements; and"},{"id":"au-4_obj.2","name":"objective","properties":[{"name":"label","value":"AU-4[2]"}],"prose":"allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit record storage capacity and related configuration settings"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the audit data has been determined to have little or\n no impact to government business/mission needs."}]},{"id":"au-5","class":"SP800-53","title":"Response to Audit Processing Failures","parameters":[{"id":"au-5_prm_1","label":"organization-defined personnel or roles"},{"id":"au-5_prm_2","label":"organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)","constraints":[{"detail":"organization-defined actions to be taken (overwrite oldest record)"}]}],"properties":[{"name":"label","value":"AU-5"},{"name":"sort-id","value":"au-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"au-5_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and"},{"id":"au-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Takes the following additional actions: {{ au-5_prm_2 }}."}]},{"id":"au-5_gdn","name":"guidance","prose":"Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"au-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-5.a_obj","name":"objective","properties":[{"name":"label","value":"AU-5(a)"}],"parts":[{"id":"au-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"AU-5(a)[1]"}],"prose":"the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;"},{"id":"au-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"AU-5(a)[2]"}],"prose":"the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;"}]},{"id":"au-5.b_obj","name":"objective","properties":[{"name":"label","value":"AU-5(b)"}],"parts":[{"id":"au-5.b_obj.1","name":"objective","properties":[{"name":"label","value":"AU-5(b)[1]"}],"prose":"the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and"},{"id":"au-5.b_obj.2","name":"objective","properties":[{"name":"label","value":"AU-5(b)[2]"}],"prose":"the information system takes the additional organization-defined actions in the\n event of an audit processing failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system response to audit processing\n failures"}]}]},{"id":"au-6","class":"SP800-53","title":"Audit Review, Analysis, and Reporting","parameters":[{"id":"au-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"au-6_prm_2","label":"organization-defined inappropriate or unusual activity"},{"id":"au-6_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AU-6"},{"name":"sort-id","value":"au-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"au-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and"},{"id":"au-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports findings to {{ au-6_prm_3 }}."}]},{"id":"au-6_gdn","name":"guidance","prose":"Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-10","rel":"related","text":"CM-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#pe-14","rel":"related","text":"PE-14"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-18","rel":"related","text":"SC-18"},{"href":"#sc-19","rel":"related","text":"SC-19"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"au-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-6.a_obj","name":"objective","properties":[{"name":"label","value":"AU-6(a)"}],"parts":[{"id":"au-6.a_obj.1","name":"objective","properties":[{"name":"label","value":"AU-6(a)[1]"}],"prose":"defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;"},{"id":"au-6.a_obj.2","name":"objective","properties":[{"name":"label","value":"AU-6(a)[2]"}],"prose":"defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;"},{"id":"au-6.a_obj.3","name":"objective","properties":[{"name":"label","value":"AU-6(a)[3]"}],"prose":"reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;"}]},{"id":"au-6.b_obj","name":"objective","properties":[{"name":"label","value":"AU-6(b)"}],"parts":[{"id":"au-6.b_obj.1","name":"objective","properties":[{"name":"label","value":"AU-6(b)[1]"}],"prose":"defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and"},{"id":"au-6.b_obj.2","name":"objective","properties":[{"name":"label","value":"AU-6(b)[2]"}],"prose":"reports findings to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"au-8","class":"SP800-53","title":"Time Stamps","parameters":[{"id":"au-8_prm_1","label":"organization-defined granularity of time measurement"}],"properties":[{"name":"label","value":"AU-8"},{"name":"sort-id","value":"au-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"au-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses internal system clocks to generate time stamps for audit records; and"},{"id":"au-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}."}]},{"id":"au-8_gdn","name":"guidance","prose":"Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.","links":[{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-8.a_obj","name":"objective","properties":[{"name":"label","value":"AU-8(a)"}],"prose":"the information system uses internal system clocks to generate time stamps for\n audit records;"},{"id":"au-8.b_obj","name":"objective","properties":[{"name":"label","value":"AU-8(b)"}],"parts":[{"id":"au-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"AU-8(b)[1]"}],"prose":"the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);"},{"id":"au-8.b_obj.2","name":"objective","properties":[{"name":"label","value":"AU-8(b)[2]"}],"prose":"the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and"},{"id":"au-8.b_obj.3","name":"objective","properties":[{"name":"label","value":"AU-8(b)[3]"}],"prose":"the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing time stamp generation"}]}]},{"id":"au-9","class":"SP800-53","title":"Protection of Audit Information","properties":[{"name":"label","value":"AU-9"},{"name":"sort-id","value":"au-09"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"au-9_smt","name":"statement","prose":"The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion."},{"id":"au-9_gdn","name":"guidance","prose":"Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"}]},{"id":"au-9_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-9_obj.1","name":"objective","properties":[{"name":"label","value":"AU-9[1]"}],"prose":"the information system protects audit information from unauthorized:","parts":[{"id":"au-9_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-9[1][a]"}],"prose":"access;"},{"id":"au-9_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-9[1][b]"}],"prose":"modification;"},{"id":"au-9_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-9[1][c]"}],"prose":"deletion;"}]},{"id":"au-9_obj.2","name":"objective","properties":[{"name":"label","value":"AU-9[2]"}],"prose":"the information system protects audit tools from unauthorized:","parts":[{"id":"au-9_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-9[2][a]"}],"prose":"access;"},{"id":"au-9_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-9[2][b]"}],"prose":"modification; and"},{"id":"au-9_obj.2.c","name":"objective","properties":[{"name":"label","value":"AU-9[2][c]"}],"prose":"deletion."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit information protection"}]}]},{"id":"au-11","class":"SP800-53","title":"Audit Record Retention","parameters":[{"id":"au-11_prm_1","label":"organization-defined time period consistent with records retention policy"}],"properties":[{"name":"label","value":"AU-11"},{"name":"sort-id","value":"au-11"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"id":"au-11_smt","name":"statement","prose":"The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements."},{"id":"au-11_gdn","name":"guidance","prose":"Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"au-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-11_obj.1","name":"objective","properties":[{"name":"label","value":"AU-11[1]"}],"prose":"defines a time period to retain audit records that is consistent with records\n retention policy;"},{"id":"au-11_obj.2","name":"objective","properties":[{"name":"label","value":"AU-11[2]"}],"prose":"retains audit records for the organization-defined time period consistent with\n records retention policy to:","parts":[{"id":"au-11_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-11[2][a]"}],"prose":"provide support for after-the-fact investigations of security incidents;\n and"},{"id":"au-11_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-11[2][b]"}],"prose":"meet regulatory and organizational information retention requirements."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the audit data has been determined as little or no\n impact to government business/mission needs."}]},{"id":"au-12","class":"SP800-53","title":"Audit Generation","parameters":[{"id":"au-12_prm_1","label":"organization-defined information system components"},{"id":"au-12_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AU-12"},{"name":"sort-id","value":"au-12"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"au-12_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-12_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};"},{"id":"au-12_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and"},{"id":"au-12_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3."}]},{"id":"au-12_gdn","name":"guidance","prose":"Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"}]},{"id":"au-12_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-12.a_obj","name":"objective","properties":[{"name":"label","value":"AU-12(a)"}],"parts":[{"id":"au-12.a_obj.1","name":"objective","properties":[{"name":"label","value":"AU-12(a)[1]"}],"prose":"the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;"},{"id":"au-12.a_obj.2","name":"objective","properties":[{"name":"label","value":"AU-12(a)[2]"}],"prose":"the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;"}]},{"id":"au-12.b_obj","name":"objective","properties":[{"name":"label","value":"AU-12(b)"}],"parts":[{"id":"au-12.b_obj.1","name":"objective","properties":[{"name":"label","value":"AU-12(b)[1]"}],"prose":"the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;"},{"id":"au-12.b_obj.2","name":"objective","properties":[{"name":"label","value":"AU-12(b)[2]"}],"prose":"the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and"}]},{"id":"au-12.c_obj","name":"objective","properties":[{"name":"label","value":"AU-12(c)"}],"prose":"the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit record generation capability"}]}]}]},{"id":"ca","class":"family","title":"Security Assessment and Authorization","controls":[{"id":"ca-1","class":"SP800-53","title":"Security Assessment and Authorization Policy and Procedures","parameters":[{"id":"ca-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ca-1_prm_2","label":"organization-defined frequency"},{"id":"ca-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"CA-1"},{"name":"sort-id","value":"ca-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ca-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ca-1_prm_1 }}:","parts":[{"id":"ca-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ca-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and"}]},{"id":"ca-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ca-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security assessment and authorization policy {{ ca-1_prm_2 }};\n and"},{"id":"ca-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security assessment and authorization procedures {{ ca-1_prm_3 }}."}]}]},{"id":"ca-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ca-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-1.a_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)"}],"parts":[{"id":"ca-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)"}],"parts":[{"id":"ca-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1]"}],"prose":"develops and documents a security assessment and authorization policy that\n addresses:","parts":[{"id":"ca-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ca-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ca-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ca-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ca-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ca-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ca-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ca-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;"},{"id":"ca-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[3]"}],"prose":"disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;"}]},{"id":"ca-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)"}],"parts":[{"id":"ca-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;"},{"id":"ca-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ca-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ca-1.b_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)"}],"parts":[{"id":"ca-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(1)"}],"parts":[{"id":"ca-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"CA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization policy;"},{"id":"ca-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"CA-1(b)(1)[2]"}],"prose":"reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;"}]},{"id":"ca-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(2)"}],"parts":[{"id":"ca-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"CA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization procedures; and"},{"id":"ca-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"CA-1(b)(2)[2]"}],"prose":"reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-2","class":"SP800-53","title":"Security Assessments","parameters":[{"id":"ca-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-2_prm_2","label":"organization-defined individuals or roles","constraints":[{"detail":"individuals or roles to include FedRAMP PMO"}]}],"properties":[{"name":"label","value":"CA-2"},{"name":"sort-id","value":"ca-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security controls and control enhancements under assessment;"},{"id":"ca-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Assessment procedures to be used to determine security control effectiveness;\n and"},{"id":"ca-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Assessment environment, assessment team, and assessment roles and\n responsibilities;"}]},{"id":"ca-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;"},{"id":"ca-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Produces a security assessment report that documents the results of the\n assessment; and"},{"id":"ca-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Provides the results of the security control assessment to {{ ca-2_prm_2 }}."}]},{"id":"ca-2_gdn","name":"guidance","prose":"Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.","links":[{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.a_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)"}],"prose":"develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(1)"}],"prose":"security controls and control enhancements under assessment;"},{"id":"ca-2.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(2)"}],"prose":"assessment procedures to be used to determine security control\n effectiveness;"},{"id":"ca-2.a.3_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)"}],"parts":[{"id":"ca-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[1]"}],"prose":"assessment environment;"},{"id":"ca-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[2]"}],"prose":"assessment team;"},{"id":"ca-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[3]"}],"prose":"assessment roles and responsibilities;"}]}]},{"id":"ca-2.b_obj","name":"objective","properties":[{"name":"label","value":"CA-2(b)"}],"parts":[{"id":"ca-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(b)[1]"}],"prose":"defines the frequency to assess the security controls in the information system\n and its environment of operation;"},{"id":"ca-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(b)[2]"}],"prose":"assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;"}]},{"id":"ca-2.c_obj","name":"objective","properties":[{"name":"label","value":"CA-2(c)"}],"prose":"produces a security assessment report that documents the results of the\n assessment;"},{"id":"ca-2.d_obj","name":"objective","properties":[{"name":"label","value":"CA-2(d)"}],"parts":[{"id":"ca-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(d)[1]"}],"prose":"defines individuals or roles to whom the results of the security control\n assessment are to be provided; and"},{"id":"ca-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(d)[2]"}],"prose":"provides the results of the security control assessment to organization-defined\n individuals or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting"}]},{"id":"ca-2_fr","name":"item","title":"CA-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}],"controls":[{"id":"ca-2.1","class":"SP800-53-enhancement","title":"Independent Assessors","parameters":[{"id":"ca-2.1_prm_1","label":"organization-defined level of independence"}],"properties":[{"name":"label","value":"CA-2(1)"},{"name":"sort-id","value":"ca-02.01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ca-2.1_smt","name":"statement","prose":"The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments."},{"id":"ca-2.1_gdn","name":"guidance","prose":"Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments."},{"id":"ca-2.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.1_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(1)[1]"}],"prose":"defines the level of independence to be employed to conduct security control\n assessments; and"},{"id":"ca-2.1_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(1)[2]"}],"prose":"employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ca-3","class":"SP800-53","title":"System Interconnections","parameters":[{"id":"ca-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually and on input from FedRAMP"}]}],"properties":[{"name":"label","value":"CA-3"},{"name":"sort-id","value":"ca-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#2711f068-734e-4afd-94ba-0b22247fbc88","rel":"reference","text":"NIST Special Publication 800-47"}],"parts":[{"id":"ca-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and"},{"id":"ca-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}."}]},{"id":"ca-3_gdn","name":"guidance","prose":"This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-3.a_obj","name":"objective","properties":[{"name":"label","value":"CA-3(a)"}],"prose":"authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3.b_obj","name":"objective","properties":[{"name":"label","value":"CA-3(b)"}],"prose":"documents, for each interconnection:","parts":[{"id":"ca-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-3(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-3(b)[2]"}],"prose":"the security requirements;"},{"id":"ca-3.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-3(b)[3]"}],"prose":"the nature of the information communicated;"}]},{"id":"ca-3.c_obj","name":"objective","properties":[{"name":"label","value":"CA-3(c)"}],"parts":[{"id":"ca-3.c_obj.1","name":"objective","properties":[{"name":"label","value":"CA-3(c)[1]"}],"prose":"defines the frequency to review and update Interconnection Security Agreements;\n and"},{"id":"ca-3.c_obj.2","name":"objective","properties":[{"name":"label","value":"CA-3(c)[2]"}],"prose":"reviews and updates Interconnection Security Agreements with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured."}]},{"id":"ca-5","class":"SP800-53","title":"Plan of Action and Milestones","parameters":[{"id":"ca-5_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"label","value":"CA-5"},{"name":"sort-id","value":"ca-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#2c5884cd-7b96-425c-862a-99877e1cf909","rel":"reference","text":"OMB Memorandum 02-01"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"}],"parts":[{"id":"ca-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and"},{"id":"ca-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities."}]},{"id":"ca-5_gdn","name":"guidance","prose":"Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-4","rel":"related","text":"PM-4"}]},{"id":"ca-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-5.a_obj","name":"objective","properties":[{"name":"label","value":"CA-5(a)"}],"prose":"develops a plan of action and milestones for the information system to:","parts":[{"id":"ca-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"CA-5(a)[1]"}],"prose":"document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;"},{"id":"ca-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"CA-5(a)[2]"}],"prose":"reduce or eliminate known vulnerabilities in the system;"}]},{"id":"ca-5.b_obj","name":"objective","properties":[{"name":"label","value":"CA-5(b)"}],"parts":[{"id":"ca-5.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-5(b)[1]"}],"prose":"defines the frequency to update the existing plan of action and milestones;"},{"id":"ca-5.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2]"}],"prose":"updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:","parts":[{"id":"ca-5.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][a]"}],"prose":"security controls assessments;"},{"id":"ca-5.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][b]"}],"prose":"security impact analyses; and"},{"id":"ca-5.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][c]"}],"prose":"continuous monitoring activities."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring\n Requirements."}]},{"id":"ca-6","class":"SP800-53","title":"Security Authorization","parameters":[{"id":"ca-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"CA-6"},{"name":"sort-id","value":"ca-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab","rel":"reference","text":"OMB Circular A-130"},{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and"},{"id":"ca-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Updates the security authorization {{ ca-6_prm_1 }}."}]},{"id":"ca-6_gdn","name":"guidance","prose":"Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-10","rel":"related","text":"PM-10"}]},{"id":"ca-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-6.a_obj","name":"objective","properties":[{"name":"label","value":"CA-6(a)"}],"prose":"assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6.b_obj","name":"objective","properties":[{"name":"label","value":"CA-6(b)"}],"prose":"ensures that the authorizing official authorizes the information system for\n processing before commencing operations;"},{"id":"ca-6.c_obj","name":"objective","properties":[{"name":"label","value":"CA-6(c)"}],"parts":[{"id":"ca-6.c_obj.1","name":"objective","properties":[{"name":"label","value":"CA-6(c)[1]"}],"prose":"defines the frequency to update the security authorization; and"},{"id":"ca-6.c_obj.2","name":"objective","properties":[{"name":"label","value":"CA-6(c)[2]"}],"prose":"updates the security authorization with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that facilitate security authorizations and updates"}]},{"id":"ca-6_fr","name":"item","title":"CA-6(c) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F. The service provider describes the types of changes to the\n information system or the environment of operations that would impact the risk\n posture. The types of changes are approved and accepted by the Authorizing\n Official."}]}]},{"id":"ca-7","class":"SP800-53","title":"Continuous Monitoring","parameters":[{"id":"ca-7_prm_1","label":"organization-defined metrics"},{"id":"ca-7_prm_2","label":"organization-defined frequencies"},{"id":"ca-7_prm_3","label":"organization-defined frequencies"},{"id":"ca-7_prm_4","label":"organization-defined personnel or roles","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]},{"id":"ca-7_prm_5","label":"organization-defined frequency","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]}],"properties":[{"name":"label","value":"CA-7"},{"name":"sort-id","value":"ca-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb","rel":"reference","text":"US-CERT Technical Cyber Security Alerts"},{"href":"#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b","rel":"reference","text":"DoD Information Assurance Vulnerability Alerts"}],"parts":[{"id":"ca-7_smt","name":"statement","prose":"The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:","parts":[{"id":"ca-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishment of {{ ca-7_prm_1 }} to be monitored;"},{"id":"ca-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;"},{"id":"ca-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;"},{"id":"ca-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;"},{"id":"ca-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Correlation and analysis of security-related information generated by assessments\n and monitoring;"},{"id":"ca-7_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Response actions to address results of the analysis of security-related\n information; and"},{"id":"ca-7_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}."}]},{"id":"ca-7_gdn","name":"guidance","prose":"Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-6","rel":"related","text":"PM-6"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ca-7.a_obj","name":"objective","properties":[{"name":"label","value":"CA-7(a)"}],"parts":[{"id":"ca-7.a_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(a)[1]"}],"prose":"develops a continuous monitoring strategy that defines metrics to be\n monitored;"},{"id":"ca-7.a_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(a)[2]"}],"prose":"develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;"},{"id":"ca-7.a_obj.3","name":"objective","properties":[{"name":"label","value":"CA-7(a)[3]"}],"prose":"implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;"}]},{"id":"ca-7.b_obj","name":"objective","properties":[{"name":"label","value":"CA-7(b)"}],"parts":[{"id":"ca-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(b)[1]"}],"prose":"develops a continuous monitoring strategy that defines frequencies for\n monitoring;"},{"id":"ca-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(b)[2]"}],"prose":"defines frequencies for assessments supporting monitoring;"},{"id":"ca-7.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-7(b)[3]"}],"prose":"develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;"},{"id":"ca-7.b_obj.4","name":"objective","properties":[{"name":"label","value":"CA-7(b)[4]"}],"prose":"implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.c_obj","name":"objective","properties":[{"name":"label","value":"CA-7(c)"}],"parts":[{"id":"ca-7.c_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(c)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security\n control assessments;"},{"id":"ca-7.c_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(c)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.d_obj","name":"objective","properties":[{"name":"label","value":"CA-7(d)"}],"parts":[{"id":"ca-7.d_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(d)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;"},{"id":"ca-7.d_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(d)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;"}]},{"id":"ca-7.e_obj","name":"objective","properties":[{"name":"label","value":"CA-7(e)"}],"parts":[{"id":"ca-7.e_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(e)[1]"}],"prose":"develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;"},{"id":"ca-7.e_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(e)[2]"}],"prose":"implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.f_obj","name":"objective","properties":[{"name":"label","value":"CA-7(f)"}],"parts":[{"id":"ca-7.f_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(f)[1]"}],"prose":"develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;"},{"id":"ca-7.f_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(f)[2]"}],"prose":"implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;"}]},{"id":"ca-7.g_obj","name":"objective","properties":[{"name":"label","value":"CA-7(g)"}],"parts":[{"id":"ca-7.g_obj.1","name":"objective","properties":[{"name":"label","value":"CA-7(g)[1]"}],"prose":"develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;"},{"id":"ca-7.g_obj.2","name":"objective","properties":[{"name":"label","value":"CA-7(g)[2]"}],"prose":"develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;"},{"id":"ca-7.g_obj.3","name":"objective","properties":[{"name":"label","value":"CA-7(g)[3]"}],"prose":"develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and"},{"id":"ca-7.g_obj.4","name":"objective","properties":[{"name":"label","value":"CA-7(g)[4]"}],"prose":"implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Mechanisms implementing continuous monitoring"}]},{"id":"ca-7_fr","name":"item","title":"CA-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSPs must provide evidence of closure and remediation of high vulnerabilities\n within the timeframe for standard POA&M updates."},{"id":"ca-7_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-9","class":"SP800-53","title":"Internal System Connections","parameters":[{"id":"ca-9_prm_1","label":"organization-defined information system components or classes of\n components"}],"properties":[{"name":"label","value":"CA-9"},{"name":"sort-id","value":"ca-09"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ca-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and"},{"id":"ca-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated."}]},{"id":"ca-9_gdn","name":"guidance","prose":"This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-9.a_obj","name":"objective","properties":[{"name":"label","value":"CA-9(a)"}],"parts":[{"id":"ca-9.a_obj.1","name":"objective","properties":[{"name":"label","value":"CA-9(a)[1]"}],"prose":"defines information system components or classes of components to be authorized\n as internal connections to the information system;"},{"id":"ca-9.a_obj.2","name":"objective","properties":[{"name":"label","value":"CA-9(a)[2]"}],"prose":"authorizes internal connections of organization-defined information system\n components or classes of components to the information system;"}]},{"id":"ca-9.b_obj","name":"objective","properties":[{"name":"label","value":"CA-9(b)"}],"prose":"documents, for each internal connection:","parts":[{"id":"ca-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-9(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-9(b)[2]"}],"prose":"the security requirements; and"},{"id":"ca-9.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-9(b)[3]"}],"prose":"the nature of the information communicated."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured."}]}]},{"id":"cm","class":"family","title":"Configuration Management","controls":[{"id":"cm-1","class":"SP800-53","title":"Configuration Management Policy and Procedures","parameters":[{"id":"cm-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cm-1_prm_2","label":"organization-defined frequency"},{"id":"cm-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"CM-1"},{"name":"sort-id","value":"cm-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cm-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cm-1_prm_1 }}:","parts":[{"id":"cm-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cm-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and"}]},{"id":"cm-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cm-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Configuration management policy {{ cm-1_prm_2 }}; and"},{"id":"cm-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Configuration management procedures {{ cm-1_prm_3 }}."}]}]},{"id":"cm-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cm-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)"}],"parts":[{"id":"cm-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)"}],"parts":[{"id":"cm-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1]"}],"prose":"develops and documents a configuration management policy that addresses:","parts":[{"id":"cm-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cm-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cm-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cm-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cm-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cm-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cm-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cm-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the configuration management policy is to\n be disseminated;"},{"id":"cm-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[3]"}],"prose":"disseminates the configuration management policy to organization-defined\n personnel or roles;"}]},{"id":"cm-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)"}],"parts":[{"id":"cm-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;"},{"id":"cm-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cm-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"cm-1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)"}],"parts":[{"id":"cm-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(1)"}],"parts":[{"id":"cm-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management policy;"},{"id":"cm-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"CM-1(b)(1)[2]"}],"prose":"reviews and updates the current configuration management policy with the\n organization-defined frequency;"}]},{"id":"cm-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(2)"}],"parts":[{"id":"cm-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management procedures; and"},{"id":"cm-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"CM-1(b)(2)[2]"}],"prose":"reviews and updates the current configuration management procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"cm-2","class":"SP800-53","title":"Baseline Configuration","properties":[{"name":"label","value":"CM-2"},{"name":"sort-id","value":"cm-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-2_smt","name":"statement","prose":"The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system."},{"id":"cm-2_gdn","name":"guidance","prose":"This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#pm-5","rel":"related","text":"PM-5"},{"href":"#pm-7","rel":"related","text":"PM-7"}]},{"id":"cm-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2_obj.1","name":"objective","properties":[{"name":"label","value":"CM-2[1]"}],"prose":"develops and documents a current baseline configuration of the information system;\n and"},{"id":"cm-2_obj.2","name":"objective","properties":[{"name":"label","value":"CM-2[2]"}],"prose":"maintains, under configuration control, a current baseline configuration of the\n information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration"}]}]},{"id":"cm-4","class":"SP800-53","title":"Security Impact Analysis","properties":[{"name":"label","value":"CM-4"},{"name":"sort-id","value":"cm-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-4_smt","name":"statement","prose":"The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation."},{"id":"cm-4_gdn","name":"guidance","prose":"Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"cm-4_obj","name":"objective","prose":"Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security impact analysis"}]}]},{"id":"cm-6","class":"SP800-53","title":"Configuration Settings","parameters":[{"id":"cm-6_prm_1","label":"organization-defined security configuration checklists","constraints":[{"detail":"see CM-6(a) Additional FedRAMP Requirements and Guidance"}]},{"id":"cm-6_prm_2","label":"organization-defined information system components"},{"id":"cm-6_prm_3","label":"organization-defined operational requirements"}],"properties":[{"name":"label","value":"CM-6"},{"name":"sort-id","value":"cm-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#990268bf-f4a9-4c81-91ae-dc7d3115f4b1","rel":"reference","text":"OMB Memorandum 07-11"},{"href":"#0b3d8ba9-051f-498d-81ea-97f0f018c612","rel":"reference","text":"OMB Memorandum 07-18"},{"href":"#0916ef02-3618-411b-a525-565c088849a6","rel":"reference","text":"OMB Memorandum 08-22"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"},{"href":"#e95dd121-2733-413e-bf1e-f1eb49f20a98","rel":"reference","text":"http://checklists.nist.gov"},{"href":"#647b6de3-81d0-4d22-bec1-5f1333e34380","rel":"reference","text":"http://www.nsa.gov"}],"parts":[{"id":"cm-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;"},{"id":"cm-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements the configuration settings;"},{"id":"cm-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and"},{"id":"cm-6_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures."}]},{"id":"cm-6_gdn","name":"guidance","prose":"Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"cm-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.a_obj","name":"objective","properties":[{"name":"label","value":"CM-6(a)"}],"parts":[{"id":"cm-6.a_obj.1","name":"objective","properties":[{"name":"label","value":"CM-6(a)[1]"}],"prose":"defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;"},{"id":"cm-6.a_obj.2","name":"objective","properties":[{"name":"label","value":"CM-6(a)[2]"}],"prose":"ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;"},{"id":"cm-6.a_obj.3","name":"objective","properties":[{"name":"label","value":"CM-6(a)[3]"}],"prose":"establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;"}]},{"id":"cm-6.b_obj","name":"objective","properties":[{"name":"label","value":"CM-6(b)"}],"prose":"implements the configuration settings established/documented in CM-6(a);;"},{"id":"cm-6.c_obj","name":"objective","properties":[{"name":"label","value":"CM-6(c)"}],"parts":[{"id":"cm-6.c_obj.1","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1]"}],"prose":"defines information system components for which any deviations from established\n configuration settings must be:","parts":[{"id":"cm-6.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][a]"}],"prose":"identified;"},{"id":"cm-6.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][b]"}],"prose":"documented;"},{"id":"cm-6.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][c]"}],"prose":"approved;"}]},{"id":"cm-6.c_obj.2","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2]"}],"prose":"defines operational requirements to support:","parts":[{"id":"cm-6.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][a]"}],"prose":"the identification of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][b]"}],"prose":"the documentation of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][c]"}],"prose":"the approval of any deviations from established configuration settings;"}]},{"id":"cm-6.c_obj.3","name":"objective","properties":[{"name":"label","value":"CM-6(c)[3]"}],"prose":"identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.4","name":"objective","properties":[{"name":"label","value":"CM-6(c)[4]"}],"prose":"documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.5","name":"objective","properties":[{"name":"label","value":"CM-6(c)[5]"}],"prose":"approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"}]},{"id":"cm-6.d_obj","name":"objective","properties":[{"name":"label","value":"CM-6(d)"}],"parts":[{"id":"cm-6.d_obj.1","name":"objective","properties":[{"name":"label","value":"CM-6(d)[1]"}],"prose":"monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and"},{"id":"cm-6.d_obj.2","name":"objective","properties":[{"name":"label","value":"CM-6(d)[2]"}],"prose":"controls changes to the configuration settings in accordance with\n organizational policies and procedures."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Required - Specifically include details of least functionality."},{"id":"cm-6_fr","name":"item","title":"CM-6(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement 1:"}],"prose":"The service provider shall use the Center for Internet Security guidelines\n (Level 1) to establish configuration settings or establishes its own\n configuration settings if USGCB is not available. "},{"id":"cm-6_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement 2:"}],"prose":"The service provider shall ensure that checklists for configuration settings\n are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP\n compatible (if validated checklists are not available)."},{"id":"cm-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)."}]}]},{"id":"cm-7","class":"SP800-53","title":"Least Functionality","parameters":[{"id":"cm-7_prm_1","label":"organization-defined prohibited or restricted functions, ports, protocols, and/or\n services"}],"properties":[{"name":"label","value":"CM-7"},{"name":"sort-id","value":"cm-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#e42b2099-3e1c-415b-952c-61c96533c12e","rel":"reference","text":"DoD Instruction 8551.01"}],"parts":[{"id":"cm-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Configures the information system to provide only essential capabilities; and"},{"id":"cm-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}."}]},{"id":"cm-7_gdn","name":"guidance","prose":"Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.a_obj","name":"objective","properties":[{"name":"label","value":"CM-7(a)"}],"prose":"configures the information system to provide only essential capabilities;"},{"id":"cm-7.b_obj","name":"objective","properties":[{"name":"label","value":"CM-7(b)"}],"parts":[{"id":"cm-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1]"}],"prose":"defines prohibited or restricted:","parts":[{"id":"cm-7.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2]"}],"prose":"prohibits or restricts the use of organization-defined:","parts":[{"id":"cm-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][d]"}],"prose":"services."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services"}]}]},{"id":"cm-8","class":"SP800-53","title":"Information System Component Inventory","parameters":[{"id":"cm-8_prm_1","label":"organization-defined information deemed necessary to achieve effective\n information system component accountability"},{"id":"cm-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"label","value":"CM-8"},{"name":"sort-id","value":"cm-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents an inventory of information system components that:","parts":[{"id":"cm-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Accurately reflects the current information system;"},{"id":"cm-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Is at the level of granularity deemed necessary for tracking and reporting;\n and"},{"id":"cm-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Includes {{ cm-8_prm_1 }}; and"}]},{"id":"cm-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the information system component inventory {{ cm-8_prm_2 }}."}]},{"id":"cm-8_gdn","name":"guidance","prose":"Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pm-5","rel":"related","text":"PM-5"}]},{"id":"cm-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-8.a_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)"}],"parts":[{"id":"cm-8.a.1_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(1)"}],"prose":"develops and documents an inventory of information system components that\n accurately reflects the current information system;"},{"id":"cm-8.a.2_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(2)"}],"prose":"develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8.a.3_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(3)"}],"prose":"develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;"},{"id":"cm-8.a.4_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(4)"}],"parts":[{"id":"cm-8.a.4_obj.1","name":"objective","properties":[{"name":"label","value":"CM-8(a)(4)[1]"}],"prose":"defines the information deemed necessary to achieve effective information\n system component accountability;"},{"id":"cm-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"CM-8(a)(4)[2]"}],"prose":"develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;"}]}]},{"id":"cm-8.b_obj","name":"objective","properties":[{"name":"label","value":"CM-8(b)"}],"parts":[{"id":"cm-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"CM-8(b)[1]"}],"prose":"defines the frequency to review and update the information system component\n inventory; and"},{"id":"cm-8.b_obj.2","name":"objective","properties":[{"name":"label","value":"CM-8(b)[2]"}],"prose":"reviews and updates the information system component inventory with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory"}]},{"id":"cm-8_fr","name":"item","title":"CM-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Must be provided at least monthly or when there is a change."}]}]},{"id":"cm-10","class":"SP800-53","title":"Software Usage Restrictions","properties":[{"name":"label","value":"CM-10"},{"name":"sort-id","value":"cm-10"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"id":"cm-10_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"id":"cm-10_gdn","name":"guidance","prose":"Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-10_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-10.a_obj","name":"objective","properties":[{"name":"label","value":"CM-10(a)"}],"prose":"uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10.b_obj","name":"objective","properties":[{"name":"label","value":"CM-10(b)"}],"prose":"tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10.c_obj","name":"objective","properties":[{"name":"label","value":"CM-10(c)"}],"prose":"controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO- Not directly related to protection of the data."}]},{"id":"cm-11","class":"SP800-53","title":"User-installed Software","parameters":[{"id":"cm-11_prm_1","label":"organization-defined policies"},{"id":"cm-11_prm_2","label":"organization-defined methods"},{"id":"cm-11_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"CM-11"},{"name":"sort-id","value":"cm-11"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"id":"cm-11_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;"},{"id":"cm-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Enforces software installation policies through {{ cm-11_prm_2 }};\n and"},{"id":"cm-11_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Monitors policy compliance at {{ cm-11_prm_3 }}."}]},{"id":"cm-11_gdn","name":"guidance","prose":"If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"cm-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-11.a_obj","name":"objective","properties":[{"name":"label","value":"CM-11(a)"}],"parts":[{"id":"cm-11.a_obj.1","name":"objective","properties":[{"name":"label","value":"CM-11(a)[1]"}],"prose":"defines policies to govern the installation of software by users;"},{"id":"cm-11.a_obj.2","name":"objective","properties":[{"name":"label","value":"CM-11(a)[2]"}],"prose":"establishes organization-defined policies governing the installation of\n software by users;"}]},{"id":"cm-11.b_obj","name":"objective","properties":[{"name":"label","value":"CM-11(b)"}],"parts":[{"id":"cm-11.b_obj.1","name":"objective","properties":[{"name":"label","value":"CM-11(b)[1]"}],"prose":"defines methods to enforce software installation policies;"},{"id":"cm-11.b_obj.2","name":"objective","properties":[{"name":"label","value":"CM-11(b)[2]"}],"prose":"enforces software installation policies through organization-defined\n methods;"}]},{"id":"cm-11.c_obj","name":"objective","properties":[{"name":"label","value":"CM-11(c)"}],"parts":[{"id":"cm-11.c_obj.1","name":"objective","properties":[{"name":"label","value":"CM-11(c)[1]"}],"prose":"defines frequency to monitor policy compliance; and"},{"id":"cm-11.c_obj.2","name":"objective","properties":[{"name":"label","value":"CM-11(c)[2]"}],"prose":"monitors policy compliance at organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Boundary is specific to SaaS environment; all access is via web services;\n users' machine or internal network are not contemplated. External services (SA-9),\n internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and\n SC-13), and privileged authentication (IA-2[1]) are considerations."}]}]},{"id":"cp","class":"family","title":"Contingency Planning","controls":[{"id":"cp-1","class":"SP800-53","title":"Contingency Planning Policy and Procedures","parameters":[{"id":"cp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-1_prm_2","label":"organization-defined frequency"},{"id":"cp-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"CP-1"},{"name":"sort-id","value":"cp-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cp-1_prm_1 }}:","parts":[{"id":"cp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and"}]},{"id":"cp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Contingency planning policy {{ cp-1_prm_2 }}; and"},{"id":"cp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Contingency planning procedures {{ cp-1_prm_3 }}."}]}]},{"id":"cp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cp-1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cp-1.a_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)"}],"parts":[{"id":"cp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)"}],"parts":[{"id":"cp-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1]"}],"prose":"the organization develops and documents a contingency planning policy that\n addresses:","parts":[{"id":"cp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cp-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[2]"}],"prose":"the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;"},{"id":"cp-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[3]"}],"prose":"the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;"}]},{"id":"cp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)"}],"parts":[{"id":"cp-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)[1]"}],"prose":"the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;"},{"id":"cp-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)[2]"}],"prose":"the organization defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cp-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)[3]"}],"prose":"the organization disseminates the procedures to organization-defined\n personnel or roles;"}]}]},{"id":"cp-1.b_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)"}],"parts":[{"id":"cp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(1)"}],"parts":[{"id":"cp-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"CP-1(b)(1)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning policy;"},{"id":"cp-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"CP-1(b)(1)[2]"}],"prose":"the organization reviews and updates the current contingency planning with\n the organization-defined frequency;"}]},{"id":"cp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(2)"}],"parts":[{"id":"cp-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"CP-1(b)(2)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning procedures; and"},{"id":"cp-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-1(b)(2)[2]"}],"prose":"the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-2","class":"SP800-53","title":"Contingency Plan","parameters":[{"id":"cp-2_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-2_prm_2","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"},{"id":"cp-2_prm_3","label":"organization-defined frequency"},{"id":"cp-2_prm_4","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"}],"properties":[{"name":"label","value":"CP-2"},{"name":"sort-id","value":"cp-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a contingency plan for the information system that:","parts":[{"id":"cp-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Provides recovery objectives, restoration priorities, and metrics;"},{"id":"cp-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Addresses contingency roles, responsibilities, assigned individuals with\n contact information;"},{"id":"cp-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and"},{"id":"cp-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Is reviewed and approved by {{ cp-2_prm_1 }};"}]},{"id":"cp-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the contingency plan to {{ cp-2_prm_2 }};"},{"id":"cp-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the contingency plan for the information system {{ cp-2_prm_3 }};"},{"id":"cp-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;"},{"id":"cp-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Communicates contingency plan changes to {{ cp-2_prm_4 }}; and"},{"id":"cp-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Protects the contingency plan from unauthorized disclosure and modification."}]},{"id":"cp-2_gdn","name":"guidance","prose":"Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.","links":[{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"cp-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.a_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)"}],"prose":"develops and documents a contingency plan for the information system that:","parts":[{"id":"cp-2.a.1_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(1)"}],"prose":"identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2.a.2_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)"}],"parts":[{"id":"cp-2.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[1]"}],"prose":"provides recovery objectives;"},{"id":"cp-2.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[2]"}],"prose":"provides restoration priorities;"},{"id":"cp-2.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[3]"}],"prose":"provides metrics;"}]},{"id":"cp-2.a.3_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)"}],"parts":[{"id":"cp-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[1]"}],"prose":"addresses contingency roles;"},{"id":"cp-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[2]"}],"prose":"addresses contingency responsibilities;"},{"id":"cp-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[3]"}],"prose":"addresses assigned individuals with contact information;"}]},{"id":"cp-2.a.4_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(4)"}],"prose":"addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2.a.5_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(5)"}],"prose":"addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;"},{"id":"cp-2.a.6_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(6)"}],"parts":[{"id":"cp-2.a.6_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(6)[1]"}],"prose":"defines personnel or roles to review and approve the contingency plan for\n the information system;"},{"id":"cp-2.a.6_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(6)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"cp-2.b_obj","name":"objective","properties":[{"name":"label","value":"CP-2(b)"}],"parts":[{"id":"cp-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(b)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;"},{"id":"cp-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(b)[2]"}],"prose":"distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;"}]},{"id":"cp-2.c_obj","name":"objective","properties":[{"name":"label","value":"CP-2(c)"}],"prose":"coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2.d_obj","name":"objective","properties":[{"name":"label","value":"CP-2(d)"}],"parts":[{"id":"cp-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(d)[1]"}],"prose":"defines a frequency to review the contingency plan for the information\n system;"},{"id":"cp-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(d)[2]"}],"prose":"reviews the contingency plan with the organization-defined frequency;"}]},{"id":"cp-2.e_obj","name":"objective","properties":[{"name":"label","value":"CP-2(e)"}],"prose":"updates the contingency plan to address:","parts":[{"id":"cp-2.e_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(e)[1]"}],"prose":"changes to the organization, information system, or environment of\n operation;"},{"id":"cp-2.e_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(e)[2]"}],"prose":"problems encountered during plan implementation, execution, and testing;"}]},{"id":"cp-2.f_obj","name":"objective","properties":[{"name":"label","value":"CP-2(f)"}],"parts":[{"id":"cp-2.f_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(f)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;"},{"id":"cp-2.f_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(f)[2]"}],"prose":"communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and"}]},{"id":"cp-2.g_obj","name":"objective","properties":[{"name":"label","value":"CP-2(g)"}],"prose":"protects the contingency plan from unauthorized disclosure and modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]},{"id":"cp-3","class":"SP800-53","title":"Contingency Training","parameters":[{"id":"cp-3_prm_1","label":"organization-defined time period"},{"id":"cp-3_prm_2","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"CP-3"},{"name":"sort-id","value":"cp-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"cp-3_smt","name":"statement","prose":"The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:","parts":[{"id":"cp-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;"},{"id":"cp-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"cp-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ cp-3_prm_2 }} thereafter."}]},{"id":"cp-3_gdn","name":"guidance","prose":"Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-2","rel":"related","text":"IR-2"}]},{"id":"cp-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-3.a_obj","name":"objective","properties":[{"name":"label","value":"CP-3(a)"}],"parts":[{"id":"cp-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"CP-3(a)[1]"}],"prose":"defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;"},{"id":"cp-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"CP-3(a)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;"}]},{"id":"cp-3.b_obj","name":"objective","properties":[{"name":"label","value":"CP-3(b)"}],"prose":"provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;"},{"id":"cp-3.c_obj","name":"objective","properties":[{"name":"label","value":"CP-3(c)"}],"parts":[{"id":"cp-3.c_obj.1","name":"objective","properties":[{"name":"label","value":"CP-3(c)[1]"}],"prose":"defines the frequency for contingency training thereafter; and"},{"id":"cp-3.c_obj.2","name":"objective","properties":[{"name":"label","value":"CP-3(c)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency training"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]},{"id":"cp-4","class":"SP800-53","title":"Contingency Plan Testing","parameters":[{"id":"cp-4_prm_1","label":"organization-defined frequency"},{"id":"cp-4_prm_2","label":"organization-defined tests"}],"properties":[{"name":"label","value":"CP-4"},{"name":"sort-id","value":"cp-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf","rel":"reference","text":"NIST Special Publication 800-84"}],"parts":[{"id":"cp-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;"},{"id":"cp-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews the contingency plan test results; and"},{"id":"cp-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Initiates corrective actions, if needed."}]},{"id":"cp-4_gdn","name":"guidance","prose":"Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-3","rel":"related","text":"IR-3"}]},{"id":"cp-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-4.a_obj","name":"objective","properties":[{"name":"label","value":"CP-4(a)"}],"parts":[{"id":"cp-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"CP-4(a)[1]"}],"prose":"defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;"},{"id":"cp-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"CP-4(a)[2]"}],"prose":"defines a frequency to test the contingency plan for the information\n system;"},{"id":"cp-4.a_obj.3","name":"objective","properties":[{"name":"label","value":"CP-4(a)[3]"}],"prose":"tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;"}]},{"id":"cp-4.b_obj","name":"objective","properties":[{"name":"label","value":"CP-4(b)"}],"prose":"reviews the contingency plan test results; and"},{"id":"cp-4.c_obj","name":"objective","properties":[{"name":"label","value":"CP-4(c)"}],"prose":"initiates corrective actions, if needed."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]},{"id":"cp-9","class":"SP800-53","title":"Information System Backup","parameters":[{"id":"cp-9_prm_1","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_2","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_3","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]}],"properties":[{"name":"label","value":"CP-9"},{"name":"sort-id","value":"cp-09"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};"},{"id":"cp-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};"},{"id":"cp-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and"},{"id":"cp-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects the confidentiality, integrity, and availability of backup information at\n storage locations."}]},{"id":"cp-9_gdn","name":"guidance","prose":"System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"cp-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.a_obj","name":"objective","properties":[{"name":"label","value":"CP-9(a)"}],"parts":[{"id":"cp-9.a_obj.1","name":"objective","properties":[{"name":"label","value":"CP-9(a)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;"},{"id":"cp-9.a_obj.2","name":"objective","properties":[{"name":"label","value":"CP-9(a)[2]"}],"prose":"conducts backups of user-level information contained in the information system\n with the organization-defined frequency;"}]},{"id":"cp-9.b_obj","name":"objective","properties":[{"name":"label","value":"CP-9(b)"}],"parts":[{"id":"cp-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CP-9(b)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;"},{"id":"cp-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CP-9(b)[2]"}],"prose":"conducts backups of system-level information contained in the information\n system with the organization-defined frequency;"}]},{"id":"cp-9.c_obj","name":"objective","properties":[{"name":"label","value":"CP-9(c)"}],"parts":[{"id":"cp-9.c_obj.1","name":"objective","properties":[{"name":"label","value":"CP-9(c)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;"},{"id":"cp-9.c_obj.2","name":"objective","properties":[{"name":"label","value":"CP-9(c)[2]"}],"prose":"conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and"}]},{"id":"cp-9.d_obj","name":"objective","properties":[{"name":"label","value":"CP-9(d)"}],"prose":"protects the confidentiality, integrity, and availability of backup information at\n storage locations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups"}]},{"id":"cp-9_fr","name":"item","title":"CP-9 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-9_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine what elements of the cloud environment\n require the Information System Backup control. The service provider shall\n determine how Information System Backup is going to be verified and appropriate\n periodicity of the check."},{"id":"cp-9_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-9(a) Requirement:"}],"prose":"The service provider maintains at least three backup copies of user-level\n information (at least one of which is available online)."},{"id":"cp-9_fr_smt.b","name":"item","properties":[{"name":"label","value":"CP-9(b)Requirement:"}],"prose":"The service provider maintains at least three backup copies of system-level\n information (at least one of which is available online)."},{"id":"cp-9_fr_smt.c","name":"item","properties":[{"name":"label","value":"CP-9(c)Requirement:"}],"prose":"The service provider maintains at least three backup copies of information\n system documentation including security information (at least one of which is\n available online)."}]}]},{"id":"cp-10","class":"SP800-53","title":"Information System Recovery and Reconstitution","properties":[{"name":"label","value":"CP-10"},{"name":"sort-id","value":"cp-10"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-10_smt","name":"statement","prose":"The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure."},{"id":"cp-10_gdn","name":"guidance","prose":"Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"cp-10_obj","name":"objective","prose":"Determine if the organization provides for: ","parts":[{"id":"cp-10_obj.1","name":"objective","properties":[{"name":"label","value":"CP-10[1]"}],"prose":"the recovery of the information system to a known state after:","parts":[{"id":"cp-10_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-10[1][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-10[1][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-10[1][c]"}],"prose":"a failure;"}]},{"id":"cp-10_obj.2","name":"objective","properties":[{"name":"label","value":"CP-10[2]"}],"prose":"the reconstitution of the information system to a known state after:","parts":[{"id":"cp-10_obj.2.a","name":"objective","properties":[{"name":"label","value":"CP-10[2][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.2.b","name":"objective","properties":[{"name":"label","value":"CP-10[2][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.2.c","name":"objective","properties":[{"name":"label","value":"CP-10[2][c]"}],"prose":"a failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]}]},{"id":"ia","class":"family","title":"Identification and Authentication","controls":[{"id":"ia-1","class":"SP800-53","title":"Identification and Authentication Policy and Procedures","parameters":[{"id":"ia-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-1_prm_2","label":"organization-defined frequency"},{"id":"ia-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"IA-1"},{"name":"sort-id","value":"ia-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ia-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ia-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ia-1_prm_1 }}:","parts":[{"id":"ia-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ia-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and"}]},{"id":"ia-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ia-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identification and authentication policy {{ ia-1_prm_2 }};\n and"},{"id":"ia-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Identification and authentication procedures {{ ia-1_prm_3 }}."}]}]},{"id":"ia-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ia-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ia-1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)"}],"parts":[{"id":"ia-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)"}],"parts":[{"id":"ia-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1]"}],"prose":"develops and documents an identification and authentication policy that\n addresses:","parts":[{"id":"ia-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ia-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ia-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ia-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ia-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ia-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ia-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ia-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and"},{"id":"ia-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[3]"}],"prose":"disseminates the identification and authentication policy to\n organization-defined personnel or roles;"}]},{"id":"ia-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)"}],"parts":[{"id":"ia-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;"},{"id":"ia-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ia-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ia-1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)"}],"parts":[{"id":"ia-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(1)"}],"parts":[{"id":"ia-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"IA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication policy;"},{"id":"ia-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"IA-1(b)(1)[2]"}],"prose":"reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and"}]},{"id":"ia-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(2)"}],"parts":[{"id":"ia-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"IA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication procedures; and"},{"id":"ia-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"IA-1(b)(2)[2]"}],"prose":"reviews and updates the current identification and authentication procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ia-2","class":"SP800-53","title":"Identification and Authentication (organizational Users)","properties":[{"name":"label","value":"IA-2"},{"name":"sort-id","value":"ia-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-2_smt","name":"statement","prose":"The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)."},{"id":"ia-2_gdn","name":"guidance","prose":"Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"ia-2_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication - specifically include description\n of management of service accounts."}],"controls":[{"id":"ia-2.1","class":"SP800-53-enhancement","title":"Network Access to Privileged Accounts","properties":[{"name":"label","value":"IA-2(1)"},{"name":"sort-id","value":"ia-02.01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ia-2.1_smt","name":"statement","prose":"The information system implements multifactor authentication for network access to\n privileged accounts."},{"id":"ia-2.1_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.1_obj","name":"objective","prose":"Determine if the information system implements multifactor authentication for\n network access to privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.12","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials","properties":[{"name":"label","value":"IA-2(12)"},{"name":"sort-id","value":"ia-02.12"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ia-2.12_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials."},{"id":"ia-2.12_gdn","name":"guidance","prose":"This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-2.12_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-2.12_obj.1","name":"objective","properties":[{"name":"label","value":"IA-2(12)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials; and"},{"id":"ia-2.12_obj.2","name":"objective","properties":[{"name":"label","value":"IA-2(12)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP."},{"id":"ia-2.12_fr","name":"item","title":"IA-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include Common Access Card (CAC), i.e., the DoD technical implementation of\n PIV/FIPS 201/HSPD-12."}]}]}]},{"id":"ia-4","class":"SP800-53","title":"Identifier Management","parameters":[{"id":"ia-4_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-4_prm_2","label":"organization-defined time period"},{"id":"ia-4_prm_3","label":"organization-defined time period of inactivity"}],"properties":[{"name":"label","value":"IA-4"},{"name":"sort-id","value":"ia-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"}],"parts":[{"id":"ia-4_smt","name":"statement","prose":"The organization manages information system identifiers by:","parts":[{"id":"ia-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;"},{"id":"ia-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Selecting an identifier that identifies an individual, group, role, or device;"},{"id":"ia-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Assigning the identifier to the intended individual, group, role, or device;"},{"id":"ia-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and"},{"id":"ia-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Disabling the identifier after {{ ia-4_prm_3 }}."}]},{"id":"ia-4_gdn","name":"guidance","prose":"Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#sc-37","rel":"related","text":"SC-37"}]},{"id":"ia-4_obj","name":"objective","prose":"Determine if the organization manages information system identifiers by: ","parts":[{"id":"ia-4.a_obj","name":"objective","properties":[{"name":"label","value":"IA-4(a)"}],"parts":[{"id":"ia-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1]"}],"prose":"defining personnel or roles from whom authorization must be received to\n assign:","parts":[{"id":"ia-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][d]"}],"prose":"a device identifier;"}]},{"id":"ia-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2]"}],"prose":"receiving authorization from organization-defined personnel or roles to\n assign:","parts":[{"id":"ia-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.2.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][d]"}],"prose":"a device identifier;"}]}]},{"id":"ia-4.b_obj","name":"objective","properties":[{"name":"label","value":"IA-4(b)"}],"prose":"selecting an identifier that identifies:","parts":[{"id":"ia-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(b)[1]"}],"prose":"an individual;"},{"id":"ia-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(b)[2]"}],"prose":"a group;"},{"id":"ia-4.b_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(b)[3]"}],"prose":"a role; and/or"},{"id":"ia-4.b_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(b)[4]"}],"prose":"a device;"}]},{"id":"ia-4.c_obj","name":"objective","properties":[{"name":"label","value":"IA-4(c)"}],"prose":"assigning the identifier to the intended:","parts":[{"id":"ia-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(c)[1]"}],"prose":"individual;"},{"id":"ia-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(c)[2]"}],"prose":"group;"},{"id":"ia-4.c_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(c)[3]"}],"prose":"role; and/or"},{"id":"ia-4.c_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(c)[4]"}],"prose":"device;"}]},{"id":"ia-4.d_obj","name":"objective","properties":[{"name":"label","value":"IA-4(d)"}],"parts":[{"id":"ia-4.d_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(d)[1]"}],"prose":"defining a time period for preventing reuse of identifiers;"},{"id":"ia-4.d_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(d)[2]"}],"prose":"preventing reuse of identifiers for the organization-defined time period;"}]},{"id":"ia-4.e_obj","name":"objective","properties":[{"name":"label","value":"IA-4(e)"}],"parts":[{"id":"ia-4.e_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(e)[1]"}],"prose":"defining a time period of inactivity to disable the identifier; and"},{"id":"ia-4.e_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(e)[2]"}],"prose":"disabling the identifier after the organization-defined time period of\n inactivity."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identifier management"}]}]},{"id":"ia-5","class":"SP800-53","title":"Authenticator Management","parameters":[{"id":"ia-5_prm_1","label":"organization-defined time period by authenticator type"}],"properties":[{"name":"label","value":"IA-5"},{"name":"sort-id","value":"ia-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-5_smt","name":"statement","prose":"The organization manages information system authenticators by:","parts":[{"id":"ia-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;"},{"id":"ia-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;"},{"id":"ia-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;"},{"id":"ia-5_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changing/refreshing authenticators {{ ia-5_prm_1 }};"},{"id":"ia-5_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Protecting authenticator content from unauthorized disclosure and\n modification;"},{"id":"ia-5_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and"},{"id":"ia-5_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Changing authenticators for group/role accounts when membership to those accounts\n changes."}]},{"id":"ia-5_gdn","name":"guidance","prose":"Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"ia-5_obj","name":"objective","prose":"Determine if the organization manages information system authenticators by: ","parts":[{"id":"ia-5.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(a)"}],"prose":"verifying, as part of the initial authenticator distribution, the identity of:","parts":[{"id":"ia-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(a)[1]"}],"prose":"the individual receiving the authenticator;"},{"id":"ia-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(a)[2]"}],"prose":"the group receiving the authenticator;"},{"id":"ia-5.a_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(a)[3]"}],"prose":"the role receiving the authenticator; and/or"},{"id":"ia-5.a_obj.4","name":"objective","properties":[{"name":"label","value":"IA-5(a)[4]"}],"prose":"the device receiving the authenticator;"}]},{"id":"ia-5.b_obj","name":"objective","properties":[{"name":"label","value":"IA-5(b)"}],"prose":"establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5.c_obj","name":"objective","properties":[{"name":"label","value":"IA-5(c)"}],"prose":"ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(d)"}],"parts":[{"id":"ia-5.d_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(d)[1]"}],"prose":"establishing and implementing administrative procedures for initial\n authenticator distribution;"},{"id":"ia-5.d_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(d)[2]"}],"prose":"establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;"},{"id":"ia-5.d_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(d)[3]"}],"prose":"establishing and implementing administrative procedures for revoking\n authenticators;"}]},{"id":"ia-5.e_obj","name":"objective","properties":[{"name":"label","value":"IA-5(e)"}],"prose":"changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5.f_obj","name":"objective","properties":[{"name":"label","value":"IA-5(f)"}],"parts":[{"id":"ia-5.f_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(f)[1]"}],"prose":"establishing minimum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(f)[2]"}],"prose":"establishing maximum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(f)[3]"}],"prose":"establishing reuse conditions for authenticators;"}]},{"id":"ia-5.g_obj","name":"objective","properties":[{"name":"label","value":"IA-5(g)"}],"parts":[{"id":"ia-5.g_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(g)[1]"}],"prose":"defining a time period (by authenticator type) for changing/refreshing\n authenticators;"},{"id":"ia-5.g_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(g)[2]"}],"prose":"changing/refreshing authenticators with the organization-defined time period by\n authenticator type;"}]},{"id":"ia-5.h_obj","name":"objective","properties":[{"name":"label","value":"IA-5(h)"}],"prose":"protecting authenticator content from unauthorized:","parts":[{"id":"ia-5.h_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(h)[1]"}],"prose":"disclosure;"},{"id":"ia-5.h_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(h)[2]"}],"prose":"modification;"}]},{"id":"ia-5.i_obj","name":"objective","properties":[{"name":"label","value":"IA-5(i)"}],"parts":[{"id":"ia-5.i_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(i)[1]"}],"prose":"requiring individuals to take specific security safeguards to protect\n authenticators;"},{"id":"ia-5.i_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(i)[2]"}],"prose":"having devices implement specific security safeguards to protect\n authenticators; and"}]},{"id":"ia-5.j_obj","name":"objective","properties":[{"name":"label","value":"IA-5(j)"}],"prose":"changing authenticators for group/role accounts when membership to those accounts\n changes."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability"}]}],"controls":[{"id":"ia-5.1","class":"SP800-53-enhancement","title":"Password-based Authentication","parameters":[{"id":"ia-5.1_prm_1","label":"organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type"},{"id":"ia-5.1_prm_2","label":"organization-defined number"},{"id":"ia-5.1_prm_3","label":"organization-defined numbers for lifetime minimum, lifetime maximum"},{"id":"ia-5.1_prm_4","label":"organization-defined number"}],"properties":[{"name":"label","value":"IA-5(1)"},{"name":"sort-id","value":"ia-05.01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ia-5.1_smt","name":"statement","prose":"The information system, for password-based authentication:","parts":[{"id":"ia-5.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Enforces minimum password complexity of {{ ia-5.1_prm_1 }};"},{"id":"ia-5.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};"},{"id":"ia-5.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Stores and transmits only cryptographically-protected passwords;"},{"id":"ia-5.1_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};"},{"id":"ia-5.1_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and"},{"id":"ia-5.1_smt.f","name":"item","properties":[{"name":"label","value":"(f)"}],"prose":"Allows the use of a temporary password for system logons with an immediate\n change to a permanent password."}]},{"id":"ia-5.1_gdn","name":"guidance","prose":"This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.","links":[{"href":"#ia-6","rel":"related","text":"IA-6"}]},{"id":"ia-5.1_obj","name":"objective","prose":"Determine if, for password-based authentication: ","parts":[{"id":"ia-5.1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)"}],"parts":[{"id":"ia-5.1.a_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)[1]"}],"prose":"the organization defines requirements for case sensitivity;"},{"id":"ia-5.1.a_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)[2]"}],"prose":"the organization defines requirements for number of characters;"},{"id":"ia-5.1.a_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)[3]"}],"prose":"the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;"},{"id":"ia-5.1.a_obj.4","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)[4]"}],"prose":"the organization defines minimum requirements for each type of\n character;"},{"id":"ia-5.1.a_obj.5","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)[5]"}],"prose":"the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;"}],"links":[{"href":"#ia-5.1_smt.a","rel":"corresp","text":"IA-5(1)(a)"}]},{"id":"ia-5.1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(b)"}],"parts":[{"id":"ia-5.1.b_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(1)(b)[1]"}],"prose":"the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;"},{"id":"ia-5.1.b_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(1)(b)[2]"}],"prose":"the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;"}],"links":[{"href":"#ia-5.1_smt.b","rel":"corresp","text":"IA-5(1)(b)"}]},{"id":"ia-5.1.c_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(c)"}],"prose":"the information system stores and transmits only encrypted representations of\n passwords;","links":[{"href":"#ia-5.1_smt.c","rel":"corresp","text":"IA-5(1)(c)"}]},{"id":"ia-5.1.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)"}],"parts":[{"id":"ia-5.1.d_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)[1]"}],"prose":"the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)[2]"}],"prose":"the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)[3]"}],"prose":"the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;"},{"id":"ia-5.1.d_obj.4","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)[4]"}],"prose":"the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;"}],"links":[{"href":"#ia-5.1_smt.d","rel":"corresp","text":"IA-5(1)(d)"}]},{"id":"ia-5.1.e_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(e)"}],"parts":[{"id":"ia-5.1.e_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(1)(e)[1]"}],"prose":"the organization defines the number of password generations to be prohibited\n from password reuse;"},{"id":"ia-5.1.e_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(1)(e)[2]"}],"prose":"the information system prohibits password reuse for the organization-defined\n number of generations; and"}],"links":[{"href":"#ia-5.1_smt.e","rel":"corresp","text":"IA-5(1)(e)"}]},{"id":"ia-5.1.f_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(f)"}],"prose":"the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.","links":[{"href":"#ia-5.1_smt.f","rel":"corresp","text":"IA-5(1)(f)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing password-based\n authenticator management capability"}]}]},{"id":"ia-5.11","class":"SP800-53-enhancement","title":"Hardware Token-based Authentication","parameters":[{"id":"ia-5.11_prm_1","label":"organization-defined token quality requirements"}],"properties":[{"name":"label","value":"IA-5(11)"},{"name":"sort-id","value":"ia-05.11"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"FED"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ia-5.11_smt","name":"statement","prose":"The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}."},{"id":"ia-5.11_gdn","name":"guidance","prose":"Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI."},{"id":"ia-5.11_obj","name":"objective","prose":"Determine if, for hardware token-based authentication: ","parts":[{"id":"ia-5.11_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(11)[1]"}],"prose":"the organization defines token quality requirements to be satisfied; and"},{"id":"ia-5.11_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(11)[2]"}],"prose":"the information system employs mechanisms that satisfy organization-defined\n token quality requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"FED - for Federal privileged users. Condition - Must document and assess for\n privileged users. May attest to this control for non-privileged users."}]}]},{"id":"ia-6","class":"SP800-53","title":"Authenticator Feedback","properties":[{"name":"label","value":"IA-6"},{"name":"sort-id","value":"ia-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ia-6_smt","name":"statement","prose":"The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals."},{"id":"ia-6_gdn","name":"guidance","prose":"The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.","links":[{"href":"#pe-18","rel":"related","text":"PE-18"}]},{"id":"ia-6_obj","name":"objective","prose":"Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication"}]}]},{"id":"ia-7","class":"SP800-53","title":"Cryptographic Module Authentication","properties":[{"name":"label","value":"IA-7"},{"name":"sort-id","value":"ia-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#b09d1a31-d3c9-4138-a4f4-4c63816afd7d","rel":"reference","text":"http://csrc.nist.gov/groups/STM/cmvp/index.html"}],"parts":[{"id":"ia-7_smt","name":"statement","prose":"The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication."},{"id":"ia-7_gdn","name":"guidance","prose":"Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.","links":[{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ia-7_obj","name":"objective","prose":"Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic module\n authentication"}]}]},{"id":"ia-8","class":"SP800-53","title":"Identification and Authentication (non-organizational Users)","properties":[{"name":"label","value":"IA-8"},{"name":"sort-id","value":"ia-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#599fe9ba-4750-4450-9eeb-b95bd19a5e8f","rel":"reference","text":"OMB Memorandum 10-06-2011"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#654f21e2-f3bc-43b2-abdc-60ab8d09744b","rel":"reference","text":"National Strategy for Trusted Identities in\n Cyberspace"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-8_smt","name":"statement","prose":"The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)."},{"id":"ia-8_gdn","name":"guidance","prose":"Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"ia-8_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-8.1","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials from Other Agencies","properties":[{"name":"label","value":"IA-8(1)"},{"name":"sort-id","value":"ia-08.01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ia-8.1_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies."},{"id":"ia-8.1_gdn","name":"guidance","prose":"This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.1_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-8.1_obj.1","name":"objective","properties":[{"name":"label","value":"IA-8(1)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials from other agencies;\n and"},{"id":"ia-8.1_obj.2","name":"objective","properties":[{"name":"label","value":"IA-8(1)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP."}]},{"id":"ia-8.2","class":"SP800-53-enhancement","title":"Acceptance of Third-party Credentials","properties":[{"name":"label","value":"IA-8(2)"},{"name":"sort-id","value":"ia-08.02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ia-8.2_smt","name":"statement","prose":"The information system accepts only FICAM-approved third-party credentials."},{"id":"ia-8.2_gdn","name":"guidance","prose":"This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.","links":[{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"ia-8.2_obj","name":"objective","prose":"Determine if the information system accepts only FICAM-approved third-party\n credentials. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP."}]},{"id":"ia-8.3","class":"SP800-53-enhancement","title":"Use of Ficam-approved Products","parameters":[{"id":"ia-8.3_prm_1","label":"organization-defined information systems"}],"properties":[{"name":"label","value":"IA-8(3)"},{"name":"sort-id","value":"ia-08.03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ia-8.3_smt","name":"statement","prose":"The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials."},{"id":"ia-8.3_gdn","name":"guidance","prose":"This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-8.3_obj.1","name":"objective","properties":[{"name":"label","value":"IA-8(3)[1]"}],"prose":"defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and"},{"id":"ia-8.3_obj.2","name":"objective","properties":[{"name":"label","value":"IA-8(3)[2]"}],"prose":"employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}]},{"id":"ia-8.4","class":"SP800-53-enhancement","title":"Use of Ficam-issued Profiles","properties":[{"name":"label","value":"IA-8(4)"},{"name":"sort-id","value":"ia-08.04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ia-8.4_smt","name":"statement","prose":"The information system conforms to FICAM-issued profiles."},{"id":"ia-8.4_gdn","name":"guidance","prose":"This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.4_obj","name":"objective","prose":"Determine if the information system conforms to FICAM-issued profiles. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles"}]}]}]}]},{"id":"ir","class":"family","title":"Incident Response","controls":[{"id":"ir-1","class":"SP800-53","title":"Incident Response Policy and Procedures","parameters":[{"id":"ir-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-1_prm_2","label":"organization-defined frequency"},{"id":"ir-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"IR-1"},{"name":"sort-id","value":"ir-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ir-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ir-1_prm_1 }}:","parts":[{"id":"ir-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ir-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and"}]},{"id":"ir-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ir-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Incident response policy {{ ir-1_prm_2 }}; and"},{"id":"ir-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Incident response procedures {{ ir-1_prm_3 }}."}]}]},{"id":"ir-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ir-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-1.a_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)"}],"parts":[{"id":"ir-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)"}],"parts":[{"id":"ir-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1]"}],"prose":"develops and documents an incident response policy that addresses:","parts":[{"id":"ir-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ir-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ir-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ir-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ir-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ir-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ir-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ir-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the incident response policy is to be\n disseminated;"},{"id":"ir-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[3]"}],"prose":"disseminates the incident response policy to organization-defined personnel\n or roles;"}]},{"id":"ir-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)"}],"parts":[{"id":"ir-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;"},{"id":"ir-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ir-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ir-1.b_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)"}],"parts":[{"id":"ir-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(1)"}],"parts":[{"id":"ir-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"IR-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current incident response\n policy;"},{"id":"ir-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"IR-1(b)(1)[2]"}],"prose":"reviews and updates the current incident response policy with the\n organization-defined frequency;"}]},{"id":"ir-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(2)"}],"parts":[{"id":"ir-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"IR-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current incident response\n procedures; and"},{"id":"ir-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"IR-1(b)(2)[2]"}],"prose":"reviews and updates the current incident response procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-2","class":"SP800-53","title":"Incident Response Training","parameters":[{"id":"ir-2_prm_1","label":"organization-defined time period"},{"id":"ir-2_prm_2","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"IR-2"},{"name":"sort-id","value":"ir-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"ir-2_smt","name":"statement","prose":"The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:","parts":[{"id":"ir-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;"},{"id":"ir-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"ir-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ ir-2_prm_2 }} thereafter."}]},{"id":"ir-2_gdn","name":"guidance","prose":"Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-2.a_obj","name":"objective","properties":[{"name":"label","value":"IR-2(a)"}],"parts":[{"id":"ir-2.a_obj.1","name":"objective","properties":[{"name":"label","value":"IR-2(a)[1]"}],"prose":"defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;"},{"id":"ir-2.a_obj.2","name":"objective","properties":[{"name":"label","value":"IR-2(a)[2]"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;"}]},{"id":"ir-2.b_obj","name":"objective","properties":[{"name":"label","value":"IR-2(b)"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;"},{"id":"ir-2.c_obj","name":"objective","properties":[{"name":"label","value":"IR-2(c)"}],"parts":[{"id":"ir-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"IR-2(c)[1]"}],"prose":"defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and"},{"id":"ir-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"IR-2(c)[2]"}],"prose":"after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-4","class":"SP800-53","title":"Incident Handling","properties":[{"name":"label","value":"IR-4"},{"name":"sort-id","value":"ir-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;"},{"id":"ir-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates incident handling activities with contingency planning activities;\n and"},{"id":"ir-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly."}]},{"id":"ir-4_gdn","name":"guidance","prose":"Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-2","rel":"related","text":"IR-2"},{"href":"#ir-3","rel":"related","text":"IR-3"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-4.a_obj","name":"objective","properties":[{"name":"label","value":"IR-4(a)"}],"prose":"implements an incident handling capability for security incidents that\n includes:","parts":[{"id":"ir-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"IR-4(a)[1]"}],"prose":"preparation;"},{"id":"ir-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"IR-4(a)[2]"}],"prose":"detection and analysis;"},{"id":"ir-4.a_obj.3","name":"objective","properties":[{"name":"label","value":"IR-4(a)[3]"}],"prose":"containment;"},{"id":"ir-4.a_obj.4","name":"objective","properties":[{"name":"label","value":"IR-4(a)[4]"}],"prose":"eradication;"},{"id":"ir-4.a_obj.5","name":"objective","properties":[{"name":"label","value":"IR-4(a)[5]"}],"prose":"recovery;"}]},{"id":"ir-4.b_obj","name":"objective","properties":[{"name":"label","value":"IR-4(b)"}],"prose":"coordinates incident handling activities with contingency planning activities;"},{"id":"ir-4.c_obj","name":"objective","properties":[{"name":"label","value":"IR-4(c)"}],"parts":[{"id":"ir-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1]"}],"prose":"incorporates lessons learned from ongoing incident handling activities\n into:","parts":[{"id":"ir-4.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][b]"}],"prose":"training;"},{"id":"ir-4.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][c]"}],"prose":"testing/exercises;"}]},{"id":"ir-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2]"}],"prose":"implements the resulting changes accordingly to:","parts":[{"id":"ir-4.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][b]"}],"prose":"training; and"},{"id":"ir-4.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][c]"}],"prose":"testing/exercises."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident handling capability for the organization"}]},{"id":"ir-4_fr","name":"item","title":"IR-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-4_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider ensures that individuals conducting incident handling meet\n personnel security requirements commensurate with the criticality/sensitivity\n of the information being processed, stored, and transmitted by the information\n system."}]}]},{"id":"ir-5","class":"SP800-53","title":"Incident Monitoring","properties":[{"name":"label","value":"IR-5"},{"name":"sort-id","value":"ir-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-5_smt","name":"statement","prose":"The organization tracks and documents information system security incidents."},{"id":"ir-5_gdn","name":"guidance","prose":"Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-5_obj.1","name":"objective","properties":[{"name":"label","value":"IR-5[1]"}],"prose":"tracks information system security incidents; and"},{"id":"ir-5_obj.2","name":"objective","properties":[{"name":"label","value":"IR-5[2]"}],"prose":"documents information system security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents"}]}]},{"id":"ir-6","class":"SP800-53","title":"Incident Reporting","parameters":[{"id":"ir-6_prm_1","label":"organization-defined time period","constraints":[{"detail":"US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)"}]},{"id":"ir-6_prm_2","label":"organization-defined authorities"}],"properties":[{"name":"label","value":"IR-6"},{"name":"sort-id","value":"ir-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#02631467-668b-4233-989b-3dfded2fd184","rel":"reference","text":"http://www.us-cert.gov"}],"parts":[{"id":"ir-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and"},{"id":"ir-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports security incident information to {{ ir-6_prm_2 }}."}]},{"id":"ir-6_gdn","name":"guidance","prose":"The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-6.a_obj","name":"objective","properties":[{"name":"label","value":"IR-6(a)"}],"parts":[{"id":"ir-6.a_obj.1","name":"objective","properties":[{"name":"label","value":"IR-6(a)[1]"}],"prose":"defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;"},{"id":"ir-6.a_obj.2","name":"objective","properties":[{"name":"label","value":"IR-6(a)[2]"}],"prose":"requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;"}]},{"id":"ir-6.b_obj","name":"objective","properties":[{"name":"label","value":"IR-6(b)"}],"parts":[{"id":"ir-6.b_obj.1","name":"objective","properties":[{"name":"label","value":"IR-6(b)[1]"}],"prose":"defines authorities to whom security incident information is to be reported;\n and"},{"id":"ir-6.b_obj.2","name":"objective","properties":[{"name":"label","value":"IR-6(b)[2]"}],"prose":"reports security incident information to organization-defined authorities."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting"}]},{"id":"ir-6_fr","name":"item","title":"IR-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Report security incident information according to FedRAMP Incident\n Communications Procedure."}]}]},{"id":"ir-7","class":"SP800-53","title":"Incident Response Assistance","properties":[{"name":"label","value":"IR-7"},{"name":"sort-id","value":"ir-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ir-7_smt","name":"statement","prose":"The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents."},{"id":"ir-7_gdn","name":"guidance","prose":"Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ir-7_obj","name":"objective","prose":"Determine if the organization provides an incident response support resource:","parts":[{"id":"ir-7_obj.1","name":"objective","properties":[{"name":"label","value":"IR-7[1]"}],"prose":"that is integral to the organizational incident response capability; and"},{"id":"ir-7_obj.2","name":"objective","properties":[{"name":"label","value":"IR-7[2]"}],"prose":"that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance"}]}]},{"id":"ir-8","class":"SP800-53","title":"Incident Response Plan","parameters":[{"id":"ir-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-8_prm_2","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements"},{"id":"ir-8_prm_3","label":"organization-defined frequency"},{"id":"ir-8_prm_4","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements"}],"properties":[{"name":"label","value":"IR-8"},{"name":"sort-id","value":"ir-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops an incident response plan that:","parts":[{"id":"ir-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Describes the structure and organization of the incident response\n capability;"},{"id":"ir-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;"},{"id":"ir-8_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Defines reportable incidents;"},{"id":"ir-8_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and"},{"id":"ir-8_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Is reviewed and approved by {{ ir-8_prm_1 }};"}]},{"id":"ir-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the incident response plan to {{ ir-8_prm_2 }};"},{"id":"ir-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the incident response plan {{ ir-8_prm_3 }};"},{"id":"ir-8_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;"},{"id":"ir-8_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and"},{"id":"ir-8_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Protects the incident response plan from unauthorized disclosure and\n modification."}]},{"id":"ir-8_gdn","name":"guidance","prose":"It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.","links":[{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"}]},{"id":"ir-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-8.a_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)"}],"prose":"develops an incident response plan that:","parts":[{"id":"ir-8.a.1_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(1)"}],"prose":"provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8.a.2_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(2)"}],"prose":"describes the structure and organization of the incident response\n capability;"},{"id":"ir-8.a.3_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(3)"}],"prose":"provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8.a.4_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)"}],"prose":"meets the unique requirements of the organization, which relate to:","parts":[{"id":"ir-8.a.4_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[1]"}],"prose":"mission;"},{"id":"ir-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[2]"}],"prose":"size;"},{"id":"ir-8.a.4_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[3]"}],"prose":"structure;"},{"id":"ir-8.a.4_obj.4","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[4]"}],"prose":"functions;"}]},{"id":"ir-8.a.5_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(5)"}],"prose":"defines reportable incidents;"},{"id":"ir-8.a.6_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(6)"}],"prose":"provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8.a.7_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(7)"}],"prose":"defines the resources and management support needed to effectively maintain and\n mature an incident response capability;"},{"id":"ir-8.a.8_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(8)"}],"parts":[{"id":"ir-8.a.8_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(a)(8)[1]"}],"prose":"defines personnel or roles to review and approve the incident response\n plan;"},{"id":"ir-8.a.8_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(a)(8)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"ir-8.b_obj","name":"objective","properties":[{"name":"label","value":"IR-8(b)"}],"parts":[{"id":"ir-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(b)[1]"}],"parts":[{"id":"ir-8.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-8(b)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;"},{"id":"ir-8.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-8(b)[1][b]"}],"prose":"defines organizational elements to whom copies of the incident response plan\n are to be distributed;"}]},{"id":"ir-8.b_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(b)[2]"}],"prose":"distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;"}]},{"id":"ir-8.c_obj","name":"objective","properties":[{"name":"label","value":"IR-8(c)"}],"parts":[{"id":"ir-8.c_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(c)[1]"}],"prose":"defines the frequency to review the incident response plan;"},{"id":"ir-8.c_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(c)[2]"}],"prose":"reviews the incident response plan with the organization-defined frequency;"}]},{"id":"ir-8.d_obj","name":"objective","properties":[{"name":"label","value":"IR-8(d)"}],"prose":"updates the incident response plan to address system/organizational changes or\n problems encountered during plan:","parts":[{"id":"ir-8.d_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(d)[1]"}],"prose":"implementation;"},{"id":"ir-8.d_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(d)[2]"}],"prose":"execution; or"},{"id":"ir-8.d_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(d)[3]"}],"prose":"testing;"}]},{"id":"ir-8.e_obj","name":"objective","properties":[{"name":"label","value":"IR-8(e)"}],"parts":[{"id":"ir-8.e_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(e)[1]"}],"parts":[{"id":"ir-8.e_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-8(e)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;"},{"id":"ir-8.e_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-8(e)[1][b]"}],"prose":"defines organizational elements to whom incident response plan changes are\n to be communicated;"}]},{"id":"ir-8.e_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(e)[2]"}],"prose":"communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and"}]},{"id":"ir-8.f_obj","name":"objective","properties":[{"name":"label","value":"IR-8(f)"}],"prose":"protects the incident response plan from unauthorized disclosure and\n modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational incident response plan and related organizational processes"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Attestation - Specifically attest to US-CERT compliance."}]},{"id":"ir-9","class":"SP800-53","title":"Information Spillage Response","parameters":[{"id":"ir-9_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-9_prm_2","label":"organization-defined actions"}],"properties":[{"name":"label","value":"IR-9"},{"name":"sort-id","value":"ir-09"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ir-9_smt","name":"statement","prose":"The organization responds to information spills by:","parts":[{"id":"ir-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifying the specific information involved in the information system\n contamination;"},{"id":"ir-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Alerting {{ ir-9_prm_1 }} of the information spill using a method\n of communication not associated with the spill;"},{"id":"ir-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Isolating the contaminated information system or system component;"},{"id":"ir-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Eradicating the information from the contaminated information system or\n component;"},{"id":"ir-9_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Identifying other information systems or system components that may have been\n subsequently contaminated; and"},{"id":"ir-9_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Performing other {{ ir-9_prm_2 }}."}]},{"id":"ir-9_gdn","name":"guidance","prose":"Information spillage refers to instances where either classified or sensitive\n information is inadvertently placed on information systems that are not authorized to\n process such information. Such information spills often occur when information that\n is initially thought to be of lower sensitivity is transmitted to an information\n system and then is subsequently determined to be of higher sensitivity. At that\n point, corrective action is required. The nature of the organizational response is\n generally based upon the degree of sensitivity of the spilled information (e.g.,\n security category or classification level), the security capabilities of the\n information system, the specific nature of contaminated storage media, and the access\n authorizations (e.g., security clearances) of individuals with authorized access to\n the contaminated system. The methods used to communicate information about the spill\n after the fact do not involve methods directly associated with the actual spill to\n minimize the risk of further spreading the contamination before such contamination is\n isolated and eradicated."},{"id":"ir-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.a_obj","name":"objective","properties":[{"name":"label","value":"IR-9(a)"}],"prose":"responds to information spills by identifying the specific information causing the\n information system contamination;"},{"id":"ir-9.b_obj","name":"objective","properties":[{"name":"label","value":"IR-9(b)"}],"parts":[{"id":"ir-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"IR-9(b)[1]"}],"prose":"defines personnel to be alerted of the information spillage;"},{"id":"ir-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"IR-9(b)[2]"}],"prose":"identifies a method of communication not associated with the information spill\n to use to alert organization-defined personnel of the spill;"},{"id":"ir-9.b_obj.3","name":"objective","properties":[{"name":"label","value":"IR-9(b)[3]"}],"prose":"responds to information spills by alerting organization-defined personnel of\n the information spill using a method of communication not associated with the\n spill;"}]},{"id":"ir-9.c_obj","name":"objective","properties":[{"name":"label","value":"IR-9(c)"}],"prose":"responds to information spills by isolating the contaminated information\n system;"},{"id":"ir-9.d_obj","name":"objective","properties":[{"name":"label","value":"IR-9(d)"}],"prose":"responds to information spills by eradicating the information from the\n contaminated information system;"},{"id":"ir-9.e_obj","name":"objective","properties":[{"name":"label","value":"IR-9(e)"}],"prose":"responds to information spills by identifying other information systems that may\n have been subsequently contaminated;"},{"id":"ir-9.f_obj","name":"objective","properties":[{"name":"label","value":"IR-9(f)"}],"parts":[{"id":"ir-9.f_obj.1","name":"objective","properties":[{"name":"label","value":"IR-9(f)[1]"}],"prose":"defines other actions to be performed in response to information spills;\n and"},{"id":"ir-9.f_obj.2","name":"objective","properties":[{"name":"label","value":"IR-9(f)[2]"}],"prose":"responds to information spills by performing other organization-defined\n actions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nrecords of information spillage alerts/notifications, list of personnel who should\n receive alerts of information spillage\\n\\nlist of actions to be performed regarding information spillage\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information spillage response\\n\\nautomated mechanisms supporting and/or implementing information spillage response\n actions and related communications"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Attestation - Specifically describe information spillage response processes."}]}]},{"id":"ma","class":"family","title":"Maintenance","controls":[{"id":"ma-1","class":"SP800-53","title":"System Maintenance Policy and Procedures","parameters":[{"id":"ma-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-1_prm_2","label":"organization-defined frequency"},{"id":"ma-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"MA-1"},{"name":"sort-id","value":"ma-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ma-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ma-1_prm_1 }}:","parts":[{"id":"ma-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ma-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and"}]},{"id":"ma-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ma-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System maintenance policy {{ ma-1_prm_2 }}; and"},{"id":"ma-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System maintenance procedures {{ ma-1_prm_3 }}."}]}]},{"id":"ma-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ma-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-1.a_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)"}],"parts":[{"id":"ma-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)"}],"parts":[{"id":"ma-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1]"}],"prose":"develops and documents a system maintenance policy that addresses:","parts":[{"id":"ma-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ma-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ma-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ma-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ma-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ma-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ma-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ma-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system maintenance policy is to be\n disseminated;"},{"id":"ma-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[3]"}],"prose":"disseminates the system maintenance policy to organization-defined personnel\n or roles;"}]},{"id":"ma-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)"}],"parts":[{"id":"ma-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;"},{"id":"ma-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ma-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ma-1.b_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)"}],"parts":[{"id":"ma-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(1)"}],"parts":[{"id":"ma-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"MA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n policy;"},{"id":"ma-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"MA-1(b)(1)[2]"}],"prose":"reviews and updates the current system maintenance policy with the\n organization-defined frequency;"}]},{"id":"ma-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(2)"}],"parts":[{"id":"ma-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"MA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n procedures; and"},{"id":"ma-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"MA-1(b)(2)[2]"}],"prose":"reviews and updates the current system maintenance procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Maintenance policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ma-2","class":"SP800-53","title":"Controlled Maintenance","parameters":[{"id":"ma-2_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-2_prm_2","label":"organization-defined maintenance-related information"}],"properties":[{"name":"label","value":"MA-2"},{"name":"sort-id","value":"ma-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ma-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;"},{"id":"ma-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;"},{"id":"ma-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and"},{"id":"ma-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Includes {{ ma-2_prm_2 }} in organizational maintenance\n records."}]},{"id":"ma-2_gdn","name":"guidance","prose":"This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ma-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-2.a_obj","name":"objective","properties":[{"name":"label","value":"MA-2(a)"}],"parts":[{"id":"ma-2.a_obj.1","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1]"}],"prose":"schedules maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.2","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2]"}],"prose":"performs maintenance and repairs on information system components in accordance\n with:","parts":[{"id":"ma-2.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.3","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3]"}],"prose":"documents maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.4","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4]"}],"prose":"reviews records of maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.4.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.4.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][b]"}],"prose":"organizational requirements;"}]}]},{"id":"ma-2.b_obj","name":"objective","properties":[{"name":"label","value":"MA-2(b)"}],"parts":[{"id":"ma-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-2(b)[1]"}],"prose":"approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"},{"id":"ma-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-2(b)[2]"}],"prose":"monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"}]},{"id":"ma-2.c_obj","name":"objective","properties":[{"name":"label","value":"MA-2(c)"}],"parts":[{"id":"ma-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"MA-2(c)[1]"}],"prose":"defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"MA-2(c)[2]"}],"prose":"requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;"}]},{"id":"ma-2.d_obj","name":"objective","properties":[{"name":"label","value":"MA-2(d)"}],"prose":"sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2.e_obj","name":"objective","properties":[{"name":"label","value":"MA-2(e)"}],"prose":"checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;"},{"id":"ma-2.f_obj","name":"objective","properties":[{"name":"label","value":"MA-2(f)"}],"parts":[{"id":"ma-2.f_obj.1","name":"objective","properties":[{"name":"label","value":"MA-2(f)[1]"}],"prose":"defines maintenance-related information to be included in organizational\n maintenance records; and"},{"id":"ma-2.f_obj.2","name":"objective","properties":[{"name":"label","value":"MA-2(f)[2]"}],"prose":"includes organization-defined maintenance-related information in organizational\n maintenance records."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"ma-4","class":"SP800-53","title":"Nonlocal Maintenance","properties":[{"name":"label","value":"MA-4"},{"name":"sort-id","value":"ma-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#f2dbd4ec-c413-4714-b85b-6b7184d1c195","rel":"reference","text":"FIPS Publication 197"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a4aa9645-9a8a-4b51-90a9-e223250f9a75","rel":"reference","text":"CNSS Policy 15"}],"parts":[{"id":"ma-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Approves and monitors nonlocal maintenance and diagnostic activities;"},{"id":"ma-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;"},{"id":"ma-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Maintains records for nonlocal maintenance and diagnostic activities; and"},{"id":"ma-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Terminates session and network connections when nonlocal maintenance is\n completed."}]},{"id":"ma-4_gdn","name":"guidance","prose":"Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"ma-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-4.a_obj","name":"objective","properties":[{"name":"label","value":"MA-4(a)"}],"parts":[{"id":"ma-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(a)[1]"}],"prose":"approves nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(a)[2]"}],"prose":"monitors nonlocal maintenance and diagnostic activities;"}]},{"id":"ma-4.b_obj","name":"objective","properties":[{"name":"label","value":"MA-4(b)"}],"prose":"allows the use of nonlocal maintenance and diagnostic tools only:","parts":[{"id":"ma-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(b)[1]"}],"prose":"as consistent with organizational policy;"},{"id":"ma-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(b)[2]"}],"prose":"as documented in the security plan for the information system;"}]},{"id":"ma-4.c_obj","name":"objective","properties":[{"name":"label","value":"MA-4(c)"}],"prose":"employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4.d_obj","name":"objective","properties":[{"name":"label","value":"MA-4(d)"}],"prose":"maintains records for nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.e_obj","name":"objective","properties":[{"name":"label","value":"MA-4(e)"}],"parts":[{"id":"ma-4.e_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(e)[1]"}],"prose":"terminates sessions when nonlocal maintenance or diagnostics is completed;\n and"},{"id":"ma-4.e_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(e)[2]"}],"prose":"terminates network connections when nonlocal maintenance or diagnostics is\n completed."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections"}]}]},{"id":"ma-5","class":"SP800-53","title":"Maintenance Personnel","properties":[{"name":"label","value":"MA-5"},{"name":"sort-id","value":"ma-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"ma-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;"},{"id":"ma-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"id":"ma-5_gdn","name":"guidance","prose":"This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"ma-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-5.a_obj","name":"objective","properties":[{"name":"label","value":"MA-5(a)"}],"parts":[{"id":"ma-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"MA-5(a)[1]"}],"prose":"establishes a process for maintenance personnel authorization;"},{"id":"ma-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"MA-5(a)[2]"}],"prose":"maintains a list of authorized maintenance organizations or personnel;"}]},{"id":"ma-5.b_obj","name":"objective","properties":[{"name":"label","value":"MA-5(b)"}],"prose":"ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5.c_obj","name":"objective","properties":[{"name":"label","value":"MA-5(c)"}],"prose":"designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]}]},{"id":"mp","class":"family","title":"Media Protection","controls":[{"id":"mp-1","class":"SP800-53","title":"Media Protection Policy and Procedures","parameters":[{"id":"mp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"mp-1_prm_2","label":"organization-defined frequency"},{"id":"mp-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"MP-1"},{"name":"sort-id","value":"mp-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"mp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ mp-1_prm_1 }}:","parts":[{"id":"mp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"mp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and"}]},{"id":"mp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"mp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Media protection policy {{ mp-1_prm_2 }}; and"},{"id":"mp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Media protection procedures {{ mp-1_prm_3 }}."}]}]},{"id":"mp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"mp-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"mp-1.a_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)"}],"parts":[{"id":"mp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)"}],"parts":[{"id":"mp-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1]"}],"prose":"develops and documents a media protection policy that addresses:","parts":[{"id":"mp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"mp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"mp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"mp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"mp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"mp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"mp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"mp-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the media protection policy is to be\n disseminated;"},{"id":"mp-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[3]"}],"prose":"disseminates the media protection policy to organization-defined personnel\n or roles;"}]},{"id":"mp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)"}],"parts":[{"id":"mp-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;"},{"id":"mp-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"mp-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"mp-1.b_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)"}],"parts":[{"id":"mp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(1)"}],"parts":[{"id":"mp-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"MP-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current media protection\n policy;"},{"id":"mp-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"MP-1(b)(1)[2]"}],"prose":"reviews and updates the current media protection policy with the\n organization-defined frequency;"}]},{"id":"mp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(2)"}],"parts":[{"id":"mp-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"MP-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current media protection\n procedures; and"},{"id":"mp-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"MP-1(b)(2)[2]"}],"prose":"reviews and updates the current media protection procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Media protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"mp-2","class":"SP800-53","title":"Media Access","parameters":[{"id":"mp-2_prm_1","label":"organization-defined types of digital and/or non-digital media"},{"id":"mp-2_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"MP-2"},{"name":"sort-id","value":"mp-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-2_smt","name":"statement","prose":"The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}."},{"id":"mp-2_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"mp-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-2_obj.1","name":"objective","properties":[{"name":"label","value":"MP-2[1]"}],"prose":"defines types of digital and/or non-digital media requiring restricted access;"},{"id":"mp-2_obj.2","name":"objective","properties":[{"name":"label","value":"MP-2[2]"}],"prose":"defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and"},{"id":"mp-2_obj.3","name":"objective","properties":[{"name":"label","value":"MP-2[3]"}],"prose":"restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"mp-6","class":"SP800-53","title":"Media Sanitization","parameters":[{"id":"mp-6_prm_1","label":"organization-defined information system media"},{"id":"mp-6_prm_2","label":"organization-defined sanitization techniques and procedures"}],"properties":[{"name":"label","value":"MP-6"},{"name":"sort-id","value":"mp-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a47466c4-c837-4f06-a39f-e68412a5f73d","rel":"reference","text":"http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml"}],"parts":[{"id":"mp-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and"},{"id":"mp-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information."}]},{"id":"mp-6_gdn","name":"guidance","prose":"This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.","links":[{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-4","rel":"related","text":"SC-4"}]},{"id":"mp-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.a_obj","name":"objective","properties":[{"name":"label","value":"MP-6(a)"}],"parts":[{"id":"mp-6.a_obj.1","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1]"}],"prose":"defines information system media to be sanitized prior to:","parts":[{"id":"mp-6.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.2","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2]"}],"prose":"defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:","parts":[{"id":"mp-6.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.3","name":"objective","properties":[{"name":"label","value":"MP-6(a)[3]"}],"prose":"sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and"}]},{"id":"mp-6.b_obj","name":"objective","properties":[{"name":"label","value":"MP-6(b)"}],"prose":"employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"mp-7","class":"SP800-53","title":"Media Use","parameters":[{"id":"mp-7_prm_1"},{"id":"mp-7_prm_2","label":"organization-defined types of information system media"},{"id":"mp-7_prm_3","label":"organization-defined information systems or system components"},{"id":"mp-7_prm_4","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"MP-7"},{"name":"sort-id","value":"mp-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-7_smt","name":"statement","prose":"The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}."},{"id":"mp-7_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"mp-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-7_obj.1","name":"objective","properties":[{"name":"label","value":"MP-7[1]"}],"prose":"defines types of information system media to be:","parts":[{"id":"mp-7_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-7[1][a]"}],"prose":"restricted on information systems or system components; or"},{"id":"mp-7_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-7[1][b]"}],"prose":"prohibited from use on information systems or system components;"}]},{"id":"mp-7_obj.2","name":"objective","properties":[{"name":"label","value":"MP-7[2]"}],"prose":"defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:","parts":[{"id":"mp-7_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-7[2][a]"}],"prose":"restricted; or"},{"id":"mp-7_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-7[2][b]"}],"prose":"prohibited;"}]},{"id":"mp-7_obj.3","name":"objective","properties":[{"name":"label","value":"MP-7[3]"}],"prose":"defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and"},{"id":"mp-7_obj.4","name":"objective","properties":[{"name":"label","value":"MP-7[4]"}],"prose":"restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]}]},{"id":"pe","class":"family","title":"Physical and Environmental Protection","controls":[{"id":"pe-1","class":"SP800-53","title":"Physical and Environmental Protection Policy and Procedures","parameters":[{"id":"pe-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pe-1_prm_2","label":"organization-defined frequency"},{"id":"pe-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"PE-1"},{"name":"sort-id","value":"pe-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pe-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pe-1_prm_1 }}:","parts":[{"id":"pe-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"pe-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and"}]},{"id":"pe-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pe-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Physical and environmental protection policy {{ pe-1_prm_2 }};\n and"},{"id":"pe-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Physical and environmental protection procedures {{ pe-1_prm_3 }}."}]}]},{"id":"pe-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pe-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pe-1.a_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)"}],"parts":[{"id":"pe-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)"}],"parts":[{"id":"pe-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1]"}],"prose":"develops and documents a physical and environmental protection policy that\n addresses:","parts":[{"id":"pe-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pe-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pe-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pe-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pe-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pe-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pe-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pe-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;"},{"id":"pe-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[3]"}],"prose":"disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;"}]},{"id":"pe-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)"}],"parts":[{"id":"pe-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;"},{"id":"pe-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pe-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pe-1.b_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)"}],"parts":[{"id":"pe-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(1)"}],"parts":[{"id":"pe-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"PE-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection policy;"},{"id":"pe-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"PE-1(b)(1)[2]"}],"prose":"reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;"}]},{"id":"pe-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(2)"}],"parts":[{"id":"pe-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"PE-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection procedures; and"},{"id":"pe-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"PE-1(b)(2)[2]"}],"prose":"reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pe-2","class":"SP800-53","title":"Physical Access Authorizations","parameters":[{"id":"pe-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"label","value":"PE-2"},{"name":"sort-id","value":"pe-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;"},{"id":"pe-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Issues authorization credentials for facility access;"},{"id":"pe-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and"},{"id":"pe-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Removes individuals from the facility access list when access is no longer\n required."}]},{"id":"pe-2_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.","links":[{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"pe-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-2.a_obj","name":"objective","properties":[{"name":"label","value":"PE-2(a)"}],"parts":[{"id":"pe-2.a_obj.1","name":"objective","properties":[{"name":"label","value":"PE-2(a)[1]"}],"prose":"develops a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.2","name":"objective","properties":[{"name":"label","value":"PE-2(a)[2]"}],"prose":"approves a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.3","name":"objective","properties":[{"name":"label","value":"PE-2(a)[3]"}],"prose":"maintains a list of individuals with authorized access to the facility where\n the information system resides;"}]},{"id":"pe-2.b_obj","name":"objective","properties":[{"name":"label","value":"PE-2(b)"}],"prose":"issues authorization credentials for facility access;"},{"id":"pe-2.c_obj","name":"objective","properties":[{"name":"label","value":"PE-2(c)"}],"parts":[{"id":"pe-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"PE-2(c)[1]"}],"prose":"defines the frequency to review the access list detailing authorized facility\n access by individuals;"},{"id":"pe-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"PE-2(c)[2]"}],"prose":"reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and"}]},{"id":"pe-2.d_obj","name":"objective","properties":[{"name":"label","value":"PE-2(d)"}],"prose":"removes individuals from the facility access list when access is no longer\n required."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-3","class":"SP800-53","title":"Physical Access Control","parameters":[{"id":"pe-3_prm_1","label":"organization-defined entry/exit points to the facility where the information\n system resides"},{"id":"pe-3_prm_2","constraints":[{"detail":"CSP defined physical access control systems/devices AND guards"}]},{"id":"pe-3_prm_3","depends-on":"pe-3_prm_2","label":"organization-defined physical access control systems/devices"},{"id":"pe-3_prm_4","label":"organization-defined entry/exit points"},{"id":"pe-3_prm_5","label":"organization-defined security safeguards"},{"id":"pe-3_prm_6","label":"organization-defined circumstances requiring visitor escorts and\n monitoring","constraints":[{"detail":"in all circumstances within restricted access area where the information system resides"}]},{"id":"pe-3_prm_7","label":"organization-defined physical access devices"},{"id":"pe-3_prm_8","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"pe-3_prm_9","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"label","value":"PE-3"},{"name":"sort-id","value":"pe-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"},{"href":"#398e33fd-f404-4e5c-b90e-2d50d3181244","rel":"reference","text":"ICD 705"},{"href":"#61081e7f-041d-4033-96a7-44a439071683","rel":"reference","text":"DoD Instruction 5200.39"},{"href":"#dd2f5acd-08f1-435a-9837-f8203088dc1a","rel":"reference","text":"Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"}],"parts":[{"id":"pe-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces physical access authorizations at {{ pe-3_prm_1 }} by;","parts":[{"id":"pe-3_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Verifying individual access authorizations before granting access to the\n facility; and"},{"id":"pe-3_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};"}]},{"id":"pe-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Maintains physical access audit logs for {{ pe-3_prm_4 }};"},{"id":"pe-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;"},{"id":"pe-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};"},{"id":"pe-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Secures keys, combinations, and other physical access devices;"},{"id":"pe-3_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and"},{"id":"pe-3_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated."}]},{"id":"pe-3_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#pe-5","rel":"related","text":"PE-5"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"pe-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-3.a_obj","name":"objective","properties":[{"name":"label","value":"PE-3(a)"}],"parts":[{"id":"pe-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(a)[1]"}],"prose":"defines entry/exit points to the facility where the information system\n resides;"},{"id":"pe-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2]"}],"prose":"enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:","parts":[{"id":"pe-3.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](1)"}],"prose":"verifying individual access authorizations before granting access to the\n facility;"},{"id":"pe-3.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)"}],"parts":[{"id":"pe-3.a.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[a]"}],"prose":"defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;"},{"id":"pe-3.a.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b]"}],"prose":"using one or more of the following ways to control ingress/egress to the\n facility:","parts":[{"id":"pe-3.a.2_obj.2.b.1","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][1]"}],"prose":"organization-defined physical access control systems/devices;\n and/or"},{"id":"pe-3.a.2_obj.2.b.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][2]"}],"prose":"guards;"}]}]}]}]},{"id":"pe-3.b_obj","name":"objective","properties":[{"name":"label","value":"PE-3(b)"}],"parts":[{"id":"pe-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(b)[1]"}],"prose":"defines entry/exit points for which physical access audit logs are to be\n maintained;"},{"id":"pe-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(b)[2]"}],"prose":"maintains physical access audit logs for organization-defined entry/exit\n points;"}]},{"id":"pe-3.c_obj","name":"objective","properties":[{"name":"label","value":"PE-3(c)"}],"parts":[{"id":"pe-3.c_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(c)[1]"}],"prose":"defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;"},{"id":"pe-3.c_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(c)[2]"}],"prose":"provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;"}]},{"id":"pe-3.d_obj","name":"objective","properties":[{"name":"label","value":"PE-3(d)"}],"parts":[{"id":"pe-3.d_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1]"}],"prose":"defines circumstances requiring visitor:","parts":[{"id":"pe-3.d_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][a]"}],"prose":"escorts;"},{"id":"pe-3.d_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][b]"}],"prose":"monitoring;"}]},{"id":"pe-3.d_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2]"}],"prose":"in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:","parts":[{"id":"pe-3.d_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][a]"}],"prose":"escorts visitors;"},{"id":"pe-3.d_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][b]"}],"prose":"monitors visitor activities;"}]}]},{"id":"pe-3.e_obj","name":"objective","properties":[{"name":"label","value":"PE-3(e)"}],"parts":[{"id":"pe-3.e_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(e)[1]"}],"prose":"secures keys;"},{"id":"pe-3.e_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(e)[2]"}],"prose":"secures combinations;"},{"id":"pe-3.e_obj.3","name":"objective","properties":[{"name":"label","value":"PE-3(e)[3]"}],"prose":"secures other physical access devices;"}]},{"id":"pe-3.f_obj","name":"objective","properties":[{"name":"label","value":"PE-3(f)"}],"parts":[{"id":"pe-3.f_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(f)[1]"}],"prose":"defines physical access devices to be inventoried;"},{"id":"pe-3.f_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(f)[2]"}],"prose":"defines the frequency to inventory organization-defined physical access\n devices;"},{"id":"pe-3.f_obj.3","name":"objective","properties":[{"name":"label","value":"PE-3(f)[3]"}],"prose":"inventories the organization-defined physical access devices with the\n organization-defined frequency;"}]},{"id":"pe-3.g_obj","name":"objective","properties":[{"name":"label","value":"PE-3(g)"}],"parts":[{"id":"pe-3.g_obj.1","name":"objective","properties":[{"name":"label","value":"PE-3(g)[1]"}],"prose":"defines the frequency to change combinations and keys; and"},{"id":"pe-3.g_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2]"}],"prose":"changes combinations and keys with the organization-defined frequency and/or\n when:","parts":[{"id":"pe-3.g_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][a]"}],"prose":"keys are lost;"},{"id":"pe-3.g_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][b]"}],"prose":"combinations are compromised;"},{"id":"pe-3.g_obj.2.c","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][c]"}],"prose":"individuals are transferred or terminated."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-6","class":"SP800-53","title":"Monitoring Physical Access","parameters":[{"id":"pe-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"pe-6_prm_2","label":"organization-defined events or potential indications of events"}],"properties":[{"name":"label","value":"PE-6"},{"name":"sort-id","value":"pe-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and"},{"id":"pe-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"id":"pe-6_gdn","name":"guidance","prose":"Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"pe-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-6.a_obj","name":"objective","properties":[{"name":"label","value":"PE-6(a)"}],"prose":"monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6.b_obj","name":"objective","properties":[{"name":"label","value":"PE-6(b)"}],"parts":[{"id":"pe-6.b_obj.1","name":"objective","properties":[{"name":"label","value":"PE-6(b)[1]"}],"prose":"defines the frequency to review physical access logs;"},{"id":"pe-6.b_obj.2","name":"objective","properties":[{"name":"label","value":"PE-6(b)[2]"}],"prose":"defines events or potential indication of events requiring physical access logs\n to be reviewed;"},{"id":"pe-6.b_obj.3","name":"objective","properties":[{"name":"label","value":"PE-6(b)[3]"}],"prose":"reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and"}]},{"id":"pe-6.c_obj","name":"objective","properties":[{"name":"label","value":"PE-6(c)"}],"prose":"coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-8","class":"SP800-53","title":"Visitor Access Records","parameters":[{"id":"pe-8_prm_1","label":"organization-defined time period","constraints":[{"detail":"for a minimum of one (1) year"}]},{"id":"pe-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"label","value":"PE-8"},{"name":"sort-id","value":"pe-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and"},{"id":"pe-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews visitor access records {{ pe-8_prm_2 }}."}]},{"id":"pe-8_gdn","name":"guidance","prose":"Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas."},{"id":"pe-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-8.a_obj","name":"objective","properties":[{"name":"label","value":"PE-8(a)"}],"parts":[{"id":"pe-8.a_obj.1","name":"objective","properties":[{"name":"label","value":"PE-8(a)[1]"}],"prose":"defines the time period to maintain visitor access records to the facility\n where the information system resides;"},{"id":"pe-8.a_obj.2","name":"objective","properties":[{"name":"label","value":"PE-8(a)[2]"}],"prose":"maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;"}]},{"id":"pe-8.b_obj","name":"objective","properties":[{"name":"label","value":"PE-8(b)"}],"parts":[{"id":"pe-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"PE-8(b)[1]"}],"prose":"defines the frequency to review visitor access records; and"},{"id":"pe-8.b_obj.2","name":"objective","properties":[{"name":"label","value":"PE-8(b)[2]"}],"prose":"reviews visitor access records with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-12","class":"SP800-53","title":"Emergency Lighting","properties":[{"name":"label","value":"PE-12"},{"name":"sort-id","value":"pe-12"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-12_smt","name":"statement","prose":"The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility."},{"id":"pe-12_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-12_obj","name":"objective","prose":"Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ","parts":[{"id":"pe-12_obj.1","name":"objective","properties":[{"name":"label","value":"PE-12[1]"}],"prose":"activates in the event of a power outage or disruption; and"},{"id":"pe-12_obj.2","name":"objective","properties":[{"name":"label","value":"PE-12[2]"}],"prose":"covers emergency exits and evacuation routes within the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing emergency lighting\n capability"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-13","class":"SP800-53","title":"Fire Protection","properties":[{"name":"label","value":"PE-13"},{"name":"sort-id","value":"pe-13"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-13_smt","name":"statement","prose":"The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source."},{"id":"pe-13_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors."},{"id":"pe-13_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13_obj.1","name":"objective","properties":[{"name":"label","value":"PE-13[1]"}],"prose":"employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and"},{"id":"pe-13_obj.2","name":"objective","properties":[{"name":"label","value":"PE-13[2]"}],"prose":"maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-14","class":"SP800-53","title":"Temperature and Humidity Controls","parameters":[{"id":"pe-14_prm_1","label":"organization-defined acceptable levels","constraints":[{"detail":"consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments"}]},{"id":"pe-14_prm_2","label":"organization-defined frequency","constraints":[{"detail":"continuously"}]}],"properties":[{"name":"label","value":"PE-14"},{"name":"sort-id","value":"pe-14"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and"},{"id":"pe-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Monitors temperature and humidity levels {{ pe-14_prm_2 }}."}]},{"id":"pe-14_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-14_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-14.a_obj","name":"objective","properties":[{"name":"label","value":"PE-14(a)"}],"parts":[{"id":"pe-14.a_obj.1","name":"objective","properties":[{"name":"label","value":"PE-14(a)[1]"}],"prose":"defines acceptable temperature levels to be maintained within the facility\n where the information system resides;"},{"id":"pe-14.a_obj.2","name":"objective","properties":[{"name":"label","value":"PE-14(a)[2]"}],"prose":"defines acceptable humidity levels to be maintained within the facility where\n the information system resides;"},{"id":"pe-14.a_obj.3","name":"objective","properties":[{"name":"label","value":"PE-14(a)[3]"}],"prose":"maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;"},{"id":"pe-14.a_obj.4","name":"objective","properties":[{"name":"label","value":"PE-14(a)[4]"}],"prose":"maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;"}]},{"id":"pe-14.b_obj","name":"objective","properties":[{"name":"label","value":"PE-14(b)"}],"parts":[{"id":"pe-14.b_obj.1","name":"objective","properties":[{"name":"label","value":"PE-14(b)[1]"}],"prose":"defines the frequency to monitor temperature levels;"},{"id":"pe-14.b_obj.2","name":"objective","properties":[{"name":"label","value":"PE-14(b)[2]"}],"prose":"defines the frequency to monitor humidity levels;"},{"id":"pe-14.b_obj.3","name":"objective","properties":[{"name":"label","value":"PE-14(b)[3]"}],"prose":"monitors temperature levels with the organization-defined frequency; and"},{"id":"pe-14.b_obj.4","name":"objective","properties":[{"name":"label","value":"PE-14(b)[4]"}],"prose":"monitors humidity levels with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."},{"id":"pe-14_fr","name":"item","title":"PE-14(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"pe-14_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider measures temperature at server inlets and humidity levels\n by dew point."}]}]},{"id":"pe-15","class":"SP800-53","title":"Water Damage Protection","properties":[{"name":"label","value":"PE-15"},{"name":"sort-id","value":"pe-15"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-15_smt","name":"statement","prose":"The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel."},{"id":"pe-15_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-15_obj","name":"objective","prose":"Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ","parts":[{"id":"pe-15_obj.1","name":"objective","properties":[{"name":"label","value":"PE-15[1]"}],"prose":"accessible;"},{"id":"pe-15_obj.2","name":"objective","properties":[{"name":"label","value":"PE-15[2]"}],"prose":"working properly; and"},{"id":"pe-15_obj.3","name":"objective","properties":[{"name":"label","value":"PE-15[3]"}],"prose":"known to key personnel."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]},{"id":"pe-16","class":"SP800-53","title":"Delivery and Removal","parameters":[{"id":"pe-16_prm_1","label":"organization-defined types of information system components","constraints":[{"detail":"all information system components"}]}],"properties":[{"name":"label","value":"PE-16"},{"name":"sort-id","value":"pe-16"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"pe-16_smt","name":"statement","prose":"The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items."},{"id":"pe-16_gdn","name":"guidance","prose":"Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"pe-16_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-16_obj.1","name":"objective","properties":[{"name":"label","value":"PE-16[1]"}],"prose":"defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;"},{"id":"pe-16_obj.2","name":"objective","properties":[{"name":"label","value":"PE-16[2]"}],"prose":"authorizes organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.3","name":"objective","properties":[{"name":"label","value":"PE-16[3]"}],"prose":"monitors organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.4","name":"objective","properties":[{"name":"label","value":"PE-16[4]"}],"prose":"controls organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.5","name":"objective","properties":[{"name":"label","value":"PE-16[5]"}],"prose":"authorizes organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.6","name":"objective","properties":[{"name":"label","value":"PE-16[6]"}],"prose":"monitors organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.7","name":"objective","properties":[{"name":"label","value":"PE-16[7]"}],"prose":"controls organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.8","name":"objective","properties":[{"name":"label","value":"PE-16[8]"}],"prose":"maintains records of information system components entering the facility; and"},{"id":"pe-16_obj.9","name":"objective","properties":[{"name":"label","value":"PE-16[9]"}],"prose":"maintains records of information system components exiting the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS."}]}]},{"id":"pl","class":"family","title":"Planning","controls":[{"id":"pl-1","class":"SP800-53","title":"Security Planning Policy and Procedures","parameters":[{"id":"pl-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-1_prm_2","label":"organization-defined frequency"},{"id":"pl-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"PL-1"},{"name":"sort-id","value":"pl-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pl-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pl-1_prm_1 }}:","parts":[{"id":"pl-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"pl-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and"}]},{"id":"pl-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pl-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security planning policy {{ pl-1_prm_2 }}; and"},{"id":"pl-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security planning procedures {{ pl-1_prm_3 }}."}]}]},{"id":"pl-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pl-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pl-1.a_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)"}],"parts":[{"id":"pl-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)"}],"parts":[{"id":"pl-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1]"}],"prose":"develops and documents a planning policy that addresses:","parts":[{"id":"pl-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pl-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pl-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pl-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pl-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pl-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pl-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pl-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the planning policy is to be\n disseminated;"},{"id":"pl-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[3]"}],"prose":"disseminates the planning policy to organization-defined personnel or\n roles;"}]},{"id":"pl-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)"}],"parts":[{"id":"pl-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;"},{"id":"pl-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pl-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pl-1.b_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)"}],"parts":[{"id":"pl-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(1)"}],"parts":[{"id":"pl-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"PL-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current planning policy;"},{"id":"pl-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"PL-1(b)(1)[2]"}],"prose":"reviews and updates the current planning policy with the\n organization-defined frequency;"}]},{"id":"pl-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(2)"}],"parts":[{"id":"pl-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"PL-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current planning procedures;\n and"},{"id":"pl-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"PL-1(b)(2)[2]"}],"prose":"reviews and updates the current planning procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pl-2","class":"SP800-53","title":"System Security Plan","parameters":[{"id":"pl-2_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"label","value":"PL-2"},{"name":"sort-id","value":"pl-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security plan for the information system that:","parts":[{"id":"pl-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Is consistent with the organization’s enterprise architecture;"},{"id":"pl-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Explicitly defines the authorization boundary for the system;"},{"id":"pl-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides an overview of the security requirements for the system;"},{"id":"pl-2_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Identifies any relevant overlays, if applicable;"},{"id":"pl-2_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and"},{"id":"pl-2_smt.a.9","name":"item","properties":[{"name":"label","value":"9."}],"prose":"Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};"},{"id":"pl-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the security plan for the information system {{ pl-2_prm_2 }};"},{"id":"pl-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and"},{"id":"pl-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Protects the security plan from unauthorized disclosure and modification."}]},{"id":"pl-2_gdn","name":"guidance","prose":"Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-7","rel":"related","text":"PL-7"},{"href":"#pm-1","rel":"related","text":"PM-1"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-11","rel":"related","text":"PM-11"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-17","rel":"related","text":"SA-17"}]},{"id":"pl-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-2.a_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)"}],"prose":"develops a security plan for the information system that:","parts":[{"id":"pl-2.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(1)"}],"prose":"is consistent with the organization’s enterprise architecture;"},{"id":"pl-2.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(2)"}],"prose":"explicitly defines the authorization boundary for the system;"},{"id":"pl-2.a.3_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(3)"}],"prose":"describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2.a.4_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(4)"}],"prose":"provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2.a.5_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(5)"}],"prose":"describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2.a.6_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(6)"}],"prose":"provides an overview of the security requirements for the system;"},{"id":"pl-2.a.7_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(7)"}],"prose":"identifies any relevant overlays, if applicable;"},{"id":"pl-2.a.8_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(8)"}],"prose":"describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;"},{"id":"pl-2.a.9_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)(9)"}],"prose":"is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2.b_obj","name":"objective","properties":[{"name":"label","value":"PL-2(b)"}],"parts":[{"id":"pl-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(b)[1]"}],"prose":"defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;"},{"id":"pl-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(b)[2]"}],"prose":"distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;"}]},{"id":"pl-2.c_obj","name":"objective","properties":[{"name":"label","value":"PL-2(c)"}],"parts":[{"id":"pl-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(c)[1]"}],"prose":"defines the frequency to review the security plan for the information\n system;"},{"id":"pl-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(c)[2]"}],"prose":"reviews the security plan for the information system with the\n organization-defined frequency;"}]},{"id":"pl-2.d_obj","name":"objective","properties":[{"name":"label","value":"PL-2(d)"}],"prose":"updates the plan to address:","parts":[{"id":"pl-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(d)[1]"}],"prose":"changes to the information system/environment of operation;"},{"id":"pl-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(d)[2]"}],"prose":"problems identified during plan implementation;"},{"id":"pl-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"PL-2(d)[3]"}],"prose":"problems identified during security control assessments;"}]},{"id":"pl-2.e_obj","name":"objective","properties":[{"name":"label","value":"PL-2(e)"}],"prose":"protects the security plan from unauthorized:","parts":[{"id":"pl-2.e_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(e)[1]"}],"prose":"disclosure; and"},{"id":"pl-2.e_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(e)[2]"}],"prose":"modification."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan"}]}]},{"id":"pl-4","class":"SP800-53","title":"Rules of Behavior","parameters":[{"id":"pl-4_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"PL-4"},{"name":"sort-id","value":"pl-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;"},{"id":"pl-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and"},{"id":"pl-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated."}]},{"id":"pl-4_gdn","name":"guidance","prose":"This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#mp-7","rel":"related","text":"MP-7"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#ps-8","rel":"related","text":"PS-8"},{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"pl-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-4.a_obj","name":"objective","properties":[{"name":"label","value":"PL-4(a)"}],"parts":[{"id":"pl-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"PL-4(a)[1]"}],"prose":"establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;"},{"id":"pl-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"PL-4(a)[2]"}],"prose":"makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;"}]},{"id":"pl-4.b_obj","name":"objective","properties":[{"name":"label","value":"PL-4(b)"}],"prose":"receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4.c_obj","name":"objective","properties":[{"name":"label","value":"PL-4(c)"}],"parts":[{"id":"pl-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"PL-4(c)[1]"}],"prose":"defines the frequency to review and update the rules of behavior;"},{"id":"pl-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"PL-4(c)[2]"}],"prose":"reviews and updates the rules of behavior with the organization-defined\n frequency; and"}]},{"id":"pl-4.d_obj","name":"objective","properties":[{"name":"label","value":"PL-4(d)"}],"prose":"requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior"}]}]}]},{"id":"ps","class":"family","title":"Personnel Security","controls":[{"id":"ps-1","class":"SP800-53","title":"Personnel Security Policy and Procedures","parameters":[{"id":"ps-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-1_prm_2","label":"organization-defined frequency"},{"id":"ps-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"PS-1"},{"name":"sort-id","value":"ps-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ps-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ps-1_prm_1 }}:","parts":[{"id":"ps-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ps-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and"}]},{"id":"ps-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ps-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Personnel security policy {{ ps-1_prm_2 }}; and"},{"id":"ps-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Personnel security procedures {{ ps-1_prm_3 }}."}]}]},{"id":"ps-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ps-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-1.a_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)"}],"parts":[{"id":"ps-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)"}],"parts":[{"id":"ps-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1]"}],"prose":"develops and documents an personnel security policy that addresses:","parts":[{"id":"ps-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ps-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ps-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ps-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ps-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ps-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ps-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ps-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the personnel security policy is to be\n disseminated;"},{"id":"ps-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[3]"}],"prose":"disseminates the personnel security policy to organization-defined personnel\n or roles;"}]},{"id":"ps-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)"}],"parts":[{"id":"ps-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;"},{"id":"ps-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ps-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ps-1.b_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)"}],"parts":[{"id":"ps-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(1)"}],"parts":[{"id":"ps-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"PS-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n policy;"},{"id":"ps-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"PS-1(b)(1)[2]"}],"prose":"reviews and updates the current personnel security policy with the\n organization-defined frequency;"}]},{"id":"ps-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(2)"}],"parts":[{"id":"ps-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"PS-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n procedures; and"},{"id":"ps-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"PS-1(b)(2)[2]"}],"prose":"reviews and updates the current personnel security procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ps-2","class":"SP800-53","title":"Position Risk Designation","parameters":[{"id":"ps-2_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"PS-2"},{"name":"sort-id","value":"ps-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"FED"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"}],"parts":[{"id":"ps-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a risk designation to all organizational positions;"},{"id":"ps-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes screening criteria for individuals filling those positions; and"},{"id":"ps-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates position risk designations {{ ps-2_prm_1 }}."}]},{"id":"ps-2_gdn","name":"guidance","prose":"Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"ps-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-2.a_obj","name":"objective","properties":[{"name":"label","value":"PS-2(a)"}],"prose":"assigns a risk designation to all organizational positions;"},{"id":"ps-2.b_obj","name":"objective","properties":[{"name":"label","value":"PS-2(b)"}],"prose":"establishes screening criteria for individuals filling those positions;"},{"id":"ps-2.c_obj","name":"objective","properties":[{"name":"label","value":"PS-2(c)"}],"parts":[{"id":"ps-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"PS-2(c)[1]"}],"prose":"defines the frequency to review and update position risk designations; and"},{"id":"ps-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"PS-2(c)[2]"}],"prose":"reviews and updates position risk designations with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria"}]}]},{"id":"ps-3","class":"SP800-53","title":"Personnel Screening","parameters":[{"id":"ps-3_prm_1","label":"organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening","constraints":[{"detail":"For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions."}]}],"properties":[{"name":"label","value":"PS-3"},{"name":"sort-id","value":"ps-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"}],"parts":[{"id":"ps-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Screens individuals prior to authorizing access to the information system; and"},{"id":"ps-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Rescreens individuals according to {{ ps-3_prm_1 }}."}]},{"id":"ps-3_gdn","name":"guidance","prose":"Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"ps-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-3.a_obj","name":"objective","properties":[{"name":"label","value":"PS-3(a)"}],"prose":"screens individuals prior to authorizing access to the information system;"},{"id":"ps-3.b_obj","name":"objective","properties":[{"name":"label","value":"PS-3(b)"}],"parts":[{"id":"ps-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"PS-3(b)[1]"}],"prose":"defines conditions requiring re-screening;"},{"id":"ps-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"PS-3(b)[2]"}],"prose":"defines the frequency of re-screening where it is so indicated; and"},{"id":"ps-3.b_obj.3","name":"objective","properties":[{"name":"label","value":"PS-3(b)[3]"}],"prose":"re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel screening"}]}]},{"id":"ps-4","class":"SP800-53","title":"Personnel Termination","parameters":[{"id":"ps-4_prm_1","label":"organization-defined time period"},{"id":"ps-4_prm_2","label":"organization-defined information security topics"},{"id":"ps-4_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-4_prm_4","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-4"},{"name":"sort-id","value":"ps-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ps-4_smt","name":"statement","prose":"The organization, upon termination of individual employment:","parts":[{"id":"ps-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Disables information system access within {{ ps-4_prm_1 }};"},{"id":"ps-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};"},{"id":"ps-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Retains access to organizational information and information systems formerly\n controlled by terminated individual; and"},{"id":"ps-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}."}]},{"id":"ps-4_gdn","name":"guidance","prose":"Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-4_obj","name":"objective","prose":"Determine if the organization, upon termination of individual employment,:","parts":[{"id":"ps-4.a_obj","name":"objective","properties":[{"name":"label","value":"PS-4(a)"}],"parts":[{"id":"ps-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"PS-4(a)[1]"}],"prose":"defines a time period within which to disable information system access;"},{"id":"ps-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"PS-4(a)[2]"}],"prose":"disables information system access within the organization-defined time\n period;"}]},{"id":"ps-4.b_obj","name":"objective","properties":[{"name":"label","value":"PS-4(b)"}],"prose":"terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4.c_obj","name":"objective","properties":[{"name":"label","value":"PS-4(c)"}],"parts":[{"id":"ps-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"PS-4(c)[1]"}],"prose":"defines information security topics to be discussed when conducting exit\n interviews;"},{"id":"ps-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"PS-4(c)[2]"}],"prose":"conducts exit interviews that include a discussion of organization-defined\n information security topics;"}]},{"id":"ps-4.d_obj","name":"objective","properties":[{"name":"label","value":"PS-4(d)"}],"prose":"retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4.e_obj","name":"objective","properties":[{"name":"label","value":"PS-4(e)"}],"prose":"retains access to organizational information and information systems formerly\n controlled by the terminated individual;"},{"id":"ps-4.f_obj","name":"objective","properties":[{"name":"label","value":"PS-4(f)"}],"parts":[{"id":"ps-4.f_obj.1","name":"objective","properties":[{"name":"label","value":"PS-4(f)[1]"}],"prose":"defines personnel or roles to be notified of the termination;"},{"id":"ps-4.f_obj.2","name":"objective","properties":[{"name":"label","value":"PS-4(f)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles; and"},{"id":"ps-4.f_obj.3","name":"objective","properties":[{"name":"label","value":"PS-4(f)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-5","class":"SP800-53","title":"Personnel Transfer","parameters":[{"id":"ps-5_prm_1","label":"organization-defined transfer or reassignment actions"},{"id":"ps-5_prm_2","label":"organization-defined time period following the formal transfer action"},{"id":"ps-5_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-5_prm_4","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-5"},{"name":"sort-id","value":"ps-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ps-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;"},{"id":"ps-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};"},{"id":"ps-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and"},{"id":"ps-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}."}]},{"id":"ps-5_gdn","name":"guidance","prose":"This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-4","rel":"related","text":"PS-4"}]},{"id":"ps-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-5.a_obj","name":"objective","properties":[{"name":"label","value":"PS-5(a)"}],"prose":"when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:","parts":[{"id":"ps-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"PS-5(a)[1]"}],"prose":"logical access authorizations to information systems;"},{"id":"ps-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"PS-5(a)[2]"}],"prose":"physical access authorizations to information systems and facilities;"}]},{"id":"ps-5.b_obj","name":"objective","properties":[{"name":"label","value":"PS-5(b)"}],"parts":[{"id":"ps-5.b_obj.1","name":"objective","properties":[{"name":"label","value":"PS-5(b)[1]"}],"prose":"defines transfer or reassignment actions to be initiated following transfer or\n reassignment;"},{"id":"ps-5.b_obj.2","name":"objective","properties":[{"name":"label","value":"PS-5(b)[2]"}],"prose":"defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;"},{"id":"ps-5.b_obj.3","name":"objective","properties":[{"name":"label","value":"PS-5(b)[3]"}],"prose":"initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;"}]},{"id":"ps-5.c_obj","name":"objective","properties":[{"name":"label","value":"PS-5(c)"}],"prose":"modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;"},{"id":"ps-5.d_obj","name":"objective","properties":[{"name":"label","value":"PS-5(d)"}],"parts":[{"id":"ps-5.d_obj.1","name":"objective","properties":[{"name":"label","value":"PS-5(d)[1]"}],"prose":"defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;"},{"id":"ps-5.d_obj.2","name":"objective","properties":[{"name":"label","value":"PS-5(d)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and"},{"id":"ps-5.d_obj.3","name":"objective","properties":[{"name":"label","value":"PS-5(d)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-6","class":"SP800-53","title":"Access Agreements","parameters":[{"id":"ps-6_prm_1","label":"organization-defined frequency"},{"id":"ps-6_prm_2","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"PS-6"},{"name":"sort-id","value":"ps-06"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ps-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the access agreements {{ ps-6_prm_1 }}; and"},{"id":"ps-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that individuals requiring access to organizational information and\n information systems:","parts":[{"id":"ps-6_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Sign appropriate access agreements prior to being granted access; and"},{"id":"ps-6_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}."}]}]},{"id":"ps-6_gdn","name":"guidance","prose":"Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-8","rel":"related","text":"PS-8"}]},{"id":"ps-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-6.a_obj","name":"objective","properties":[{"name":"label","value":"PS-6(a)"}],"prose":"develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6.b_obj","name":"objective","properties":[{"name":"label","value":"PS-6(b)"}],"parts":[{"id":"ps-6.b_obj.1","name":"objective","properties":[{"name":"label","value":"PS-6(b)[1]"}],"prose":"defines the frequency to review and update the access agreements;"},{"id":"ps-6.b_obj.2","name":"objective","properties":[{"name":"label","value":"PS-6(b)[2]"}],"prose":"reviews and updates the access agreements with the organization-defined\n frequency;"}]},{"id":"ps-6.c_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)"}],"parts":[{"id":"ps-6.c.1_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)(1)"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;"},{"id":"ps-6.c.2_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)(2)"}],"parts":[{"id":"ps-6.c.2_obj.1","name":"objective","properties":[{"name":"label","value":"PS-6(c)(2)[1]"}],"prose":"defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;"},{"id":"ps-6.c.2_obj.2","name":"objective","properties":[{"name":"label","value":"PS-6(c)(2)[2]"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements"}]}]},{"id":"ps-7","class":"SP800-53","title":"Third-party Personnel Security","parameters":[{"id":"ps-7_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-7_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-7"},{"name":"sort-id","value":"ps-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"ps-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;"},{"id":"ps-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents personnel security requirements;"},{"id":"ps-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and"},{"id":"ps-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Monitors provider compliance."}]},{"id":"ps-7_gdn","name":"guidance","prose":"Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.","links":[{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sa-21","rel":"related","text":"SA-21"}]},{"id":"ps-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-7.a_obj","name":"objective","properties":[{"name":"label","value":"PS-7(a)"}],"prose":"establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;"},{"id":"ps-7.b_obj","name":"objective","properties":[{"name":"label","value":"PS-7(b)"}],"prose":"requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7.c_obj","name":"objective","properties":[{"name":"label","value":"PS-7(c)"}],"prose":"documents personnel security requirements;"},{"id":"ps-7.d_obj","name":"objective","properties":[{"name":"label","value":"PS-7(d)"}],"parts":[{"id":"ps-7.d_obj.1","name":"objective","properties":[{"name":"label","value":"PS-7(d)[1]"}],"prose":"defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.2","name":"objective","properties":[{"name":"label","value":"PS-7(d)[2]"}],"prose":"defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.3","name":"objective","properties":[{"name":"label","value":"PS-7(d)[3]"}],"prose":"requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and"}]},{"id":"ps-7.e_obj","name":"objective","properties":[{"name":"label","value":"PS-7(e)"}],"prose":"monitors provider compliance."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Attestation - Specifically stating that any third-party security personnel are\n treated as CSP employees."}]},{"id":"ps-8","class":"SP800-53","title":"Personnel Sanctions","parameters":[{"id":"ps-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-8_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-8"},{"name":"sort-id","value":"ps-08"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"ps-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and"},{"id":"ps-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction."}]},{"id":"ps-8_gdn","name":"guidance","prose":"Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-8.a_obj","name":"objective","properties":[{"name":"label","value":"PS-8(a)"}],"prose":"employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;"},{"id":"ps-8.b_obj","name":"objective","properties":[{"name":"label","value":"PS-8(b)"}],"parts":[{"id":"ps-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"PS-8(b)[1]"}],"prose":"defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;"},{"id":"ps-8.b_obj.2","name":"objective","properties":[{"name":"label","value":"PS-8(b)[2]"}],"prose":"defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and"},{"id":"ps-8.b_obj.3","name":"objective","properties":[{"name":"label","value":"PS-8(b)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications"}]}]}]},{"id":"ra","class":"family","title":"Risk Assessment","controls":[{"id":"ra-1","class":"SP800-53","title":"Risk Assessment Policy and Procedures","parameters":[{"id":"ra-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ra-1_prm_2","label":"organization-defined frequency"},{"id":"ra-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"RA-1"},{"name":"sort-id","value":"ra-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ra-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ra-1_prm_1 }}:","parts":[{"id":"ra-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ra-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and"}]},{"id":"ra-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ra-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Risk assessment policy {{ ra-1_prm_2 }}; and"},{"id":"ra-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Risk assessment procedures {{ ra-1_prm_3 }}."}]}]},{"id":"ra-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-1.a_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)"}],"parts":[{"id":"ra-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)"}],"parts":[{"id":"ra-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1]"}],"prose":"develops and documents a risk assessment policy that addresses:","parts":[{"id":"ra-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ra-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ra-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ra-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ra-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ra-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ra-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ra-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the risk assessment policy is to be\n disseminated;"},{"id":"ra-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[3]"}],"prose":"disseminates the risk assessment policy to organization-defined personnel or\n roles;"}]},{"id":"ra-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)"}],"parts":[{"id":"ra-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;"},{"id":"ra-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ra-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ra-1.b_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)"}],"parts":[{"id":"ra-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(1)"}],"parts":[{"id":"ra-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"RA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n policy;"},{"id":"ra-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"RA-1(b)(1)[2]"}],"prose":"reviews and updates the current risk assessment policy with the\n organization-defined frequency;"}]},{"id":"ra-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(2)"}],"parts":[{"id":"ra-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"RA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n procedures; and"},{"id":"ra-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"RA-1(b)(2)[2]"}],"prose":"reviews and updates the current risk assessment procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"risk assessment policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ra-2","class":"SP800-53","title":"Security Categorization","properties":[{"name":"label","value":"RA-2"},{"name":"sort-id","value":"ra-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"}],"parts":[{"id":"ra-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision."}]},{"id":"ra-2_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"ra-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-2.a_obj","name":"objective","properties":[{"name":"label","value":"RA-2(a)"}],"prose":"categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2.b_obj","name":"objective","properties":[{"name":"label","value":"RA-2(b)"}],"prose":"documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2.c_obj","name":"objective","properties":[{"name":"label","value":"RA-2(c)"}],"prose":"ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security categorization"}]}]},{"id":"ra-3","class":"SP800-53","title":"Risk Assessment","parameters":[{"id":"ra-3_prm_1"},{"id":"ra-3_prm_2","depends-on":"ra-3_prm_1","label":"organization-defined document","constraints":[{"detail":"security assessment report"}]},{"id":"ra-3_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]},{"id":"ra-3_prm_4","label":"organization-defined personnel or roles"},{"id":"ra-3_prm_5","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"RA-3"},{"name":"sort-id","value":"ra-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ra-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;"},{"id":"ra-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents risk assessment results in {{ ra-3_prm_1 }};"},{"id":"ra-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews risk assessment results {{ ra-3_prm_3 }};"},{"id":"ra-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Disseminates risk assessment results to {{ ra-3_prm_4 }}; and"},{"id":"ra-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system."}]},{"id":"ra-3_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.","links":[{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-3.a_obj","name":"objective","properties":[{"name":"label","value":"RA-3(a)"}],"prose":"conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:","parts":[{"id":"ra-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"RA-3(a)[1]"}],"prose":"the information system;"},{"id":"ra-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"RA-3(a)[2]"}],"prose":"the information the system processes, stores, or transmits;"}]},{"id":"ra-3.b_obj","name":"objective","properties":[{"name":"label","value":"RA-3(b)"}],"parts":[{"id":"ra-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"RA-3(b)[1]"}],"prose":"defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);"},{"id":"ra-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2]"}],"prose":"documents risk assessment results in one of the following:","parts":[{"id":"ra-3.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][a]"}],"prose":"the security plan;"},{"id":"ra-3.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][b]"}],"prose":"the risk assessment report; or"},{"id":"ra-3.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][c]"}],"prose":"the organization-defined document;"}]}]},{"id":"ra-3.c_obj","name":"objective","properties":[{"name":"label","value":"RA-3(c)"}],"parts":[{"id":"ra-3.c_obj.1","name":"objective","properties":[{"name":"label","value":"RA-3(c)[1]"}],"prose":"defines the frequency to review risk assessment results;"},{"id":"ra-3.c_obj.2","name":"objective","properties":[{"name":"label","value":"RA-3(c)[2]"}],"prose":"reviews risk assessment results with the organization-defined frequency;"}]},{"id":"ra-3.d_obj","name":"objective","properties":[{"name":"label","value":"RA-3(d)"}],"parts":[{"id":"ra-3.d_obj.1","name":"objective","properties":[{"name":"label","value":"RA-3(d)[1]"}],"prose":"defines personnel or roles to whom risk assessment results are to be\n disseminated;"},{"id":"ra-3.d_obj.2","name":"objective","properties":[{"name":"label","value":"RA-3(d)[2]"}],"prose":"disseminates risk assessment results to organization-defined personnel or\n roles;"}]},{"id":"ra-3.e_obj","name":"objective","properties":[{"name":"label","value":"RA-3(e)"}],"parts":[{"id":"ra-3.e_obj.1","name":"objective","properties":[{"name":"label","value":"RA-3(e)[1]"}],"prose":"defines the frequency to update the risk assessment;"},{"id":"ra-3.e_obj.2","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2]"}],"prose":"updates the risk assessment:","parts":[{"id":"ra-3.e_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][a]"}],"prose":"with the organization-defined frequency;"},{"id":"ra-3.e_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][b]"}],"prose":"whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and"},{"id":"ra-3.e_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][c]"}],"prose":"whenever there are other conditions that may impact the security state of\n the system."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment"}]},{"id":"ra-3_fr","name":"item","title":"RA-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F"},{"id":"ra-3_fr_smt.d","name":"item","properties":[{"name":"label","value":"RA-3 (d) Requirement:"}],"prose":"Include all Authorizing Officials; for JAB authorizations to include\n FedRAMP."}]}]},{"id":"ra-5","class":"SP800-53","title":"Vulnerability Scanning","parameters":[{"id":"ra-5_prm_1","label":"organization-defined frequency and/or randomly in accordance with\n organization-defined process","constraints":[{"detail":"monthly operating system/infrastructure; monthly web applications and databases"}]},{"id":"ra-5_prm_2","label":"organization-defined response times","constraints":[{"detail":"[high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery."}]},{"id":"ra-5_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"RA-5"},{"name":"sort-id","value":"ra-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#15522e92-9192-463d-9646-6a01982db8ca","rel":"reference","text":"http://cwe.mitre.org"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"}],"parts":[{"id":"ra-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;"},{"id":"ra-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Enumerating platforms, software flaws, and improper configurations;"},{"id":"ra-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Formatting checklists and test procedures; and"},{"id":"ra-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Measuring vulnerability impact;"}]},{"id":"ra-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Analyzes vulnerability scan reports and results from security control\n assessments;"},{"id":"ra-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and"},{"id":"ra-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."}]},{"id":"ra-5_gdn","name":"guidance","prose":"Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ra-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.a_obj","name":"objective","properties":[{"name":"label","value":"RA-5(a)"}],"parts":[{"id":"ra-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1]"}],"parts":[{"id":"ra-5.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][a]"}],"prose":"defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or"},{"id":"ra-5.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][b]"}],"prose":"defines the process for conducting random vulnerability scans on the\n information system and hosted applications;"}]},{"id":"ra-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2]"}],"prose":"in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:","parts":[{"id":"ra-5.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][b]"}],"prose":"hosted applications;"}]},{"id":"ra-5.a_obj.3","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3]"}],"prose":"when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:","parts":[{"id":"ra-5.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][b]"}],"prose":"hosted applications;"}]}]},{"id":"ra-5.b_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)"}],"prose":"employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5.b.1_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)"}],"parts":[{"id":"ra-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[1]"}],"prose":"enumerating platforms;"},{"id":"ra-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[2]"}],"prose":"enumerating software flaws;"},{"id":"ra-5.b.1_obj.3","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[3]"}],"prose":"enumerating improper configurations;"}]},{"id":"ra-5.b.2_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)"}],"parts":[{"id":"ra-5.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[1]"}],"prose":"formatting checklists;"},{"id":"ra-5.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[2]"}],"prose":"formatting test procedures;"}]},{"id":"ra-5.b.3_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)(3)"}],"prose":"measuring vulnerability impact;"}]},{"id":"ra-5.c_obj","name":"objective","properties":[{"name":"label","value":"RA-5(c)"}],"parts":[{"id":"ra-5.c_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(c)[1]"}],"prose":"analyzes vulnerability scan reports;"},{"id":"ra-5.c_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(c)[2]"}],"prose":"analyzes results from security control assessments;"}]},{"id":"ra-5.d_obj","name":"objective","properties":[{"name":"label","value":"RA-5(d)"}],"parts":[{"id":"ra-5.d_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(d)[1]"}],"prose":"defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;"},{"id":"ra-5.d_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(d)[2]"}],"prose":"remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;"}]},{"id":"ra-5.e_obj","name":"objective","properties":[{"name":"label","value":"RA-5(e)"}],"parts":[{"id":"ra-5.e_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(e)[1]"}],"prose":"defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;"},{"id":"ra-5.e_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(e)[2]"}],"prose":"shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and"},{"id":"ra-5.e_obj.3","name":"objective","properties":[{"name":"label","value":"RA-5(e)[3]"}],"prose":"shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing"}]},{"id":"ra-5_fr_smt.a","name":"item","title":"RA-5(a) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (a)Requirement:"}],"prose":"An accredited independent assessor scans operating systems/infrastructure, web\n applications, and databases once annually."},{"id":"ra-5_fr_smt.e","name":"item","title":"RA-5(e) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (e)Requirement:"}],"prose":"To include all Authorizing Officials; for JAB authorizations to include\n FedRAMP."},{"id":"ra-5_fr","name":"item","title":"RA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))"}]}]}]},{"id":"sa","class":"family","title":"System and Services Acquisition","controls":[{"id":"sa-1","class":"SP800-53","title":"System and Services Acquisition Policy and Procedures","parameters":[{"id":"sa-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sa-1_prm_2","label":"organization-defined frequency"},{"id":"sa-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"SA-1"},{"name":"sort-id","value":"sa-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sa-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sa-1_prm_1 }}:","parts":[{"id":"sa-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"sa-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and"}]},{"id":"sa-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sa-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and services acquisition policy {{ sa-1_prm_2 }}; and"},{"id":"sa-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and services acquisition procedures {{ sa-1_prm_3 }}."}]}]},{"id":"sa-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sa-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-1.a_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)"}],"parts":[{"id":"sa-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)"}],"parts":[{"id":"sa-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1]"}],"prose":"develops and documents a system and services acquisition policy that\n addresses:","parts":[{"id":"sa-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sa-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sa-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sa-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sa-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sa-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sa-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sa-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;"},{"id":"sa-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[3]"}],"prose":"disseminates the system and services acquisition policy to\n organization-defined personnel or roles;"}]},{"id":"sa-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)"}],"parts":[{"id":"sa-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;"},{"id":"sa-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sa-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sa-1.b_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)"}],"parts":[{"id":"sa-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(1)"}],"parts":[{"id":"sa-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition policy;"},{"id":"sa-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-1(b)(1)[2]"}],"prose":"reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;"}]},{"id":"sa-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(2)"}],"parts":[{"id":"sa-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"SA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition procedures; and"},{"id":"sa-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-1(b)(2)[2]"}],"prose":"reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sa-2","class":"SP800-53","title":"Allocation of Resources","properties":[{"name":"label","value":"SA-2"},{"name":"sort-id","value":"sa-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#29fcfe59-33cd-494a-8756-5907ae3a8f92","rel":"reference","text":"NIST Special Publication 800-65"}],"parts":[{"id":"sa-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and"},{"id":"sa-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"id":"sa-2_gdn","name":"guidance","prose":"Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.","links":[{"href":"#pm-3","rel":"related","text":"PM-3"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"sa-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-2.a_obj","name":"objective","properties":[{"name":"label","value":"SA-2(a)"}],"prose":"determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2.b_obj","name":"objective","properties":[{"name":"label","value":"SA-2(b)"}],"prose":"to protect the information system or information system service as part of its\n capital planning and investment control process:","parts":[{"id":"sa-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"SA-2(b)[1]"}],"prose":"determines the resources required;"},{"id":"sa-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"SA-2(b)[2]"}],"prose":"documents the resources required;"},{"id":"sa-2.b_obj.3","name":"objective","properties":[{"name":"label","value":"SA-2(b)[3]"}],"prose":"allocates the resources required; and"}]},{"id":"sa-2.c_obj","name":"objective","properties":[{"name":"label","value":"SA-2(c)"}],"prose":"establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting"}]}]},{"id":"sa-3","class":"SP800-53","title":"System Development Life Cycle","parameters":[{"id":"sa-3_prm_1","label":"organization-defined system development life cycle"}],"properties":[{"name":"label","value":"SA-3"},{"name":"sort-id","value":"sa-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"}],"parts":[{"id":"sa-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;"},{"id":"sa-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"id":"sa-3_gdn","name":"guidance","prose":"A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-8","rel":"related","text":"SA-8"}]},{"id":"sa-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-3.a_obj","name":"objective","properties":[{"name":"label","value":"SA-3(a)"}],"parts":[{"id":"sa-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"SA-3(a)[1]"}],"prose":"defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;"},{"id":"sa-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"SA-3(a)[2]"}],"prose":"manages the information system using the organization-defined system\n development life cycle;"}]},{"id":"sa-3.b_obj","name":"objective","properties":[{"name":"label","value":"SA-3(b)"}],"prose":"defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3.c_obj","name":"objective","properties":[{"name":"label","value":"SA-3(c)"}],"prose":"identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3.d_obj","name":"objective","properties":[{"name":"label","value":"SA-3(d)"}],"prose":"integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC"}]}]},{"id":"sa-4","class":"SP800-53","title":"Acquisition Process","properties":[{"name":"label","value":"SA-4"},{"name":"sort-id","value":"sa-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#1737a687-52fb-4008-b900-cbfa836f7b65","rel":"reference","text":"ISO/IEC 15408"},{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#0a5db899-f033-467f-8631-f5a8ba971475","rel":"reference","text":"NIST Special Publication 800-23"},{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"},{"href":"#d818efd3-db31-4953-8afa-9e76afe83ce2","rel":"reference","text":"NIST Special Publication 800-36"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#56d671da-6b7b-4abf-8296-84b61980390a","rel":"reference","text":"Federal Acquisition Regulation"},{"href":"#c95a9986-3cd6-4a98-931b-ccfc56cb11e5","rel":"reference","text":"http://www.niap-ccevs.org"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"},{"href":"#bbd50dd1-54ce-4432-959d-63ea564b1bb4","rel":"reference","text":"http://www.acquisition.gov/far"}],"parts":[{"id":"sa-4_smt","name":"statement","prose":"The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:","parts":[{"id":"sa-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Security functional requirements;"},{"id":"sa-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Security strength requirements;"},{"id":"sa-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Security assurance requirements;"},{"id":"sa-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Security-related documentation requirements;"},{"id":"sa-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requirements for protecting security-related documentation;"},{"id":"sa-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Description of the information system development environment and environment in\n which the system is intended to operate; and"},{"id":"sa-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Acceptance criteria."}]},{"id":"sa-4_gdn","name":"guidance","prose":"Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"sa-4_obj","name":"objective","prose":"Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:","parts":[{"id":"sa-4.a_obj","name":"objective","properties":[{"name":"label","value":"SA-4(a)"}],"prose":"security functional requirements;"},{"id":"sa-4.b_obj","name":"objective","properties":[{"name":"label","value":"SA-4(b)"}],"prose":"security strength requirements;"},{"id":"sa-4.c_obj","name":"objective","properties":[{"name":"label","value":"SA-4(c)"}],"prose":"security assurance requirements;"},{"id":"sa-4.d_obj","name":"objective","properties":[{"name":"label","value":"SA-4(d)"}],"prose":"security-related documentation requirements;"},{"id":"sa-4.e_obj","name":"objective","properties":[{"name":"label","value":"SA-4(e)"}],"prose":"requirements for protecting security-related documentation;"},{"id":"sa-4.f_obj","name":"objective","properties":[{"name":"label","value":"SA-4(f)"}],"prose":"description of:","parts":[{"id":"sa-4.f_obj.1","name":"objective","properties":[{"name":"label","value":"SA-4(f)[1]"}],"prose":"the information system development environment;"},{"id":"sa-4.f_obj.2","name":"objective","properties":[{"name":"label","value":"SA-4(f)[2]"}],"prose":"the environment in which the system is intended to operate; and"}]},{"id":"sa-4.g_obj","name":"objective","properties":[{"name":"label","value":"SA-4(g)"}],"prose":"acceptance criteria."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts"}]}],"controls":[{"id":"sa-4.10","class":"SP800-53-enhancement","title":"Use of Approved PIV Products","properties":[{"name":"label","value":"SA-4(10)"},{"name":"sort-id","value":"sa-04.10"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"sa-4.10_smt","name":"statement","prose":"The organization employs only information technology products on the FIPS\n 201-approved products list for Personal Identity Verification (PIV) capability\n implemented within organizational information systems."},{"id":"sa-4.10_gdn","name":"guidance","links":[{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"sa-4.10_obj","name":"objective","prose":"Determine if the organization employs only information technology products on the\n FIPS 201-approved products list for Personal Identity Verification (PIV)\n capability implemented within organizational information systems. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with responsibility for ensuring only FIPS\n 201-approved products are implemented\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for selecting and employing FIPS 201-approved\n products"}]}]}]},{"id":"sa-5","class":"SP800-53","title":"Information System Documentation","parameters":[{"id":"sa-5_prm_1","label":"organization-defined actions"},{"id":"sa-5_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SA-5"},{"name":"sort-id","value":"sa-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"sa-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Secure configuration, installation, and operation of the system, component, or\n service;"},{"id":"sa-5_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Effective use and maintenance of security functions/mechanisms; and"},{"id":"sa-5_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;"},{"id":"sa-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and"},{"id":"sa-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"User responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;"},{"id":"sa-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects documentation as required, in accordance with the risk management\n strategy; and"},{"id":"sa-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Distributes documentation to {{ sa-5_prm_2 }}."}]},{"id":"sa-5_gdn","name":"guidance","prose":"This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"sa-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-5.a_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)"}],"prose":"obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)"}],"parts":[{"id":"sa-5.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[1]"}],"prose":"secure configuration of the system, system component, or service;"},{"id":"sa-5.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[2]"}],"prose":"secure installation of the system, system component, or service;"},{"id":"sa-5.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[3]"}],"prose":"secure operation of the system, system component, or service;"}]},{"id":"sa-5.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)"}],"parts":[{"id":"sa-5.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[1]"}],"prose":"effective use of the security features/mechanisms;"},{"id":"sa-5.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[2]"}],"prose":"effective maintenance of the security features/mechanisms;"}]},{"id":"sa-5.a.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(3)"}],"prose":"known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5.b_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)"}],"prose":"obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)"}],"parts":[{"id":"sa-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[1]"}],"prose":"user-accessible security functions/mechanisms;"},{"id":"sa-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[2]"}],"prose":"how to effectively use those functions/mechanisms;"}]},{"id":"sa-5.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(2)"}],"prose":"methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;"},{"id":"sa-5.b.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(3)"}],"prose":"user responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5.c_obj","name":"objective","properties":[{"name":"label","value":"SA-5(c)"}],"parts":[{"id":"sa-5.c_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(c)[1]"}],"prose":"defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;"},{"id":"sa-5.c_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(c)[2]"}],"prose":"documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;"},{"id":"sa-5.c_obj.3","name":"objective","properties":[{"name":"label","value":"SA-5(c)[3]"}],"prose":"takes organization-defined actions in response;"}]},{"id":"sa-5.d_obj","name":"objective","properties":[{"name":"label","value":"SA-5(d)"}],"prose":"protects documentation as required, in accordance with the risk management\n strategy;"},{"id":"sa-5.e_obj","name":"objective","properties":[{"name":"label","value":"SA-5(e)"}],"parts":[{"id":"sa-5.e_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(e)[1]"}],"prose":"defines personnel or roles to whom documentation is to be distributed; and"},{"id":"sa-5.e_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(e)[2]"}],"prose":"distributes documentation to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation"}]}]},{"id":"sa-9","class":"SP800-53","title":"External Information System Services","parameters":[{"id":"sa-9_prm_1","label":"organization-defined security controls","constraints":[{"detail":"FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system"}]},{"id":"sa-9_prm_2","label":"organization-defined processes, methods, and techniques","constraints":[{"detail":"Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9"},{"name":"sort-id","value":"sa-09"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"sa-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;"},{"id":"sa-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and"},{"id":"sa-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis."}]},{"id":"sa-9_gdn","name":"guidance","prose":"External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.","links":[{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ir-7","rel":"related","text":"IR-7"},{"href":"#ps-7","rel":"related","text":"PS-7"}]},{"id":"sa-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.a_obj","name":"objective","properties":[{"name":"label","value":"SA-9(a)"}],"parts":[{"id":"sa-9.a_obj.1","name":"objective","properties":[{"name":"label","value":"SA-9(a)[1]"}],"prose":"defines security controls to be employed by providers of external information\n system services;"},{"id":"sa-9.a_obj.2","name":"objective","properties":[{"name":"label","value":"SA-9(a)[2]"}],"prose":"requires that providers of external information system services comply with\n organizational information security requirements;"},{"id":"sa-9.a_obj.3","name":"objective","properties":[{"name":"label","value":"SA-9(a)[3]"}],"prose":"requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"}]},{"id":"sa-9.b_obj","name":"objective","properties":[{"name":"label","value":"SA-9(b)"}],"parts":[{"id":"sa-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"SA-9(b)[1]"}],"prose":"defines and documents government oversight with regard to external information\n system services;"},{"id":"sa-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"SA-9(b)[2]"}],"prose":"defines and documents user roles and responsibilities with regard to external\n information system services;"}]},{"id":"sa-9.c_obj","name":"objective","properties":[{"name":"label","value":"SA-9(c)"}],"parts":[{"id":"sa-9.c_obj.1","name":"objective","properties":[{"name":"label","value":"SA-9(c)[1]"}],"prose":"defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and"},{"id":"sa-9.c_obj.2","name":"objective","properties":[{"name":"label","value":"SA-9(c)[2]"}],"prose":"employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis"}]}]}]},{"id":"sc","class":"family","title":"System and Communications Protection","controls":[{"id":"sc-1","class":"SP800-53","title":"System and Communications Protection Policy and Procedures","parameters":[{"id":"sc-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sc-1_prm_2","label":"organization-defined frequency"},{"id":"sc-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"SC-1"},{"name":"sort-id","value":"sc-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sc-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sc-1_prm_1 }}:","parts":[{"id":"sc-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"sc-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and"}]},{"id":"sc-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sc-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and communications protection policy {{ sc-1_prm_2 }};\n and"},{"id":"sc-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and communications protection procedures {{ sc-1_prm_3 }}."}]}]},{"id":"sc-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sc-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-1.a_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)"}],"parts":[{"id":"sc-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)"}],"parts":[{"id":"sc-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1]"}],"prose":"develops and documents a system and communications protection policy that\n addresses:","parts":[{"id":"sc-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sc-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sc-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sc-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sc-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sc-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sc-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sc-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;"},{"id":"sc-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[3]"}],"prose":"disseminates the system and communications protection policy to\n organization-defined personnel or roles;"}]},{"id":"sc-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)"}],"parts":[{"id":"sc-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;"},{"id":"sc-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sc-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sc-1.b_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)"}],"parts":[{"id":"sc-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(1)"}],"parts":[{"id":"sc-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection policy;"},{"id":"sc-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SC-1(b)(1)[2]"}],"prose":"reviews and updates the current system and communications protection policy\n with the organization-defined frequency;"}]},{"id":"sc-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(2)"}],"parts":[{"id":"sc-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"SC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection procedures; and"},{"id":"sc-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"SC-1(b)(2)[2]"}],"prose":"reviews and updates the current system and communications protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sc-5","class":"SP800-53","title":"Denial of Service Protection","parameters":[{"id":"sc-5_prm_1","label":"organization-defined types of denial of service attacks or references to sources\n for such information"},{"id":"sc-5_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SC-5"},{"name":"sort-id","value":"sc-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"id":"sc-5_smt","name":"statement","prose":"The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}."},{"id":"sc-5_gdn","name":"guidance","prose":"A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.","links":[{"href":"#sc-6","rel":"related","text":"SC-6"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"sc-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-5_obj.1","name":"objective","properties":[{"name":"label","value":"SC-5[1]"}],"prose":"the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;"},{"id":"sc-5_obj.2","name":"objective","properties":[{"name":"label","value":"SC-5[2]"}],"prose":"the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and"},{"id":"sc-5_obj.3","name":"objective","properties":[{"name":"label","value":"SC-5[3]"}],"prose":"the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms protecting against or limiting the effects of denial of\n service attacks"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: If availability is a requirement, define protections in place as per\n control requirement."}]},{"id":"sc-7","class":"SP800-53","title":"Boundary Protection","parameters":[{"id":"sc-7_prm_1"}],"properties":[{"name":"label","value":"SC-7"},{"name":"sort-id","value":"sc-07"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#756a8e86-57d5-4701-8382-f7a40439665a","rel":"reference","text":"NIST Special Publication 800-41"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"}],"parts":[{"id":"sc-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;"},{"id":"sc-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and"},{"id":"sc-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"id":"sc-7_gdn","name":"guidance","prose":"Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.","links":[{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"sc-7_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-7.a_obj","name":"objective","properties":[{"name":"label","value":"SC-7(a)"}],"parts":[{"id":"sc-7.a_obj.1","name":"objective","properties":[{"name":"label","value":"SC-7(a)[1]"}],"prose":"monitors communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.2","name":"objective","properties":[{"name":"label","value":"SC-7(a)[2]"}],"prose":"monitors communications at key internal boundaries within the system;"},{"id":"sc-7.a_obj.3","name":"objective","properties":[{"name":"label","value":"SC-7(a)[3]"}],"prose":"controls communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.4","name":"objective","properties":[{"name":"label","value":"SC-7(a)[4]"}],"prose":"controls communications at key internal boundaries within the system;"}]},{"id":"sc-7.b_obj","name":"objective","properties":[{"name":"label","value":"SC-7(b)"}],"prose":"implements subnetworks for publicly accessible system components that are\n either:","parts":[{"id":"sc-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-7(b)[1]"}],"prose":"physically separated from internal organizational networks; and/or"},{"id":"sc-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-7(b)[2]"}],"prose":"logically separated from internal organizational networks; and"}]},{"id":"sc-7.c_obj","name":"objective","properties":[{"name":"label","value":"SC-7(c)"}],"prose":"connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability"}]}]},{"id":"sc-12","class":"SP800-53","title":"Cryptographic Key Establishment and Management","parameters":[{"id":"sc-12_prm_1","label":"organization-defined requirements for key generation, distribution, storage,\n access, and destruction"}],"properties":[{"name":"label","value":"SC-12"},{"name":"sort-id","value":"sc-12"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"}],"parts":[{"id":"sc-12_smt","name":"statement","prose":"The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}."},{"id":"sc-12_gdn","name":"guidance","prose":"Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"sc-12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-12_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12[1]"}],"prose":"defines requirements for cryptographic key:","parts":[{"id":"sc-12_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-12[1][a]"}],"prose":"generation;"},{"id":"sc-12_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-12[1][b]"}],"prose":"distribution;"},{"id":"sc-12_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-12[1][c]"}],"prose":"storage;"},{"id":"sc-12_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-12[1][d]"}],"prose":"access;"},{"id":"sc-12_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-12[1][e]"}],"prose":"destruction; and"}]},{"id":"sc-12_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12[2]"}],"prose":"establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management"}]},{"id":"sc-12_fr","name":"item","title":"SC-12 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Federally approved cryptography."}]}]},{"id":"sc-13","class":"SP800-53","title":"Cryptographic Protection","parameters":[{"id":"sc-13_prm_1","label":"organization-defined cryptographic uses and type of cryptography required for\n each use","constraints":[{"detail":"FIPS-validated or NSA-approved cryptography"}]}],"properties":[{"name":"label","value":"SC-13"},{"name":"sort-id","value":"sc-13"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#6a1041fc-054e-4230-946b-2e6f4f3731bb","rel":"reference","text":"http://csrc.nist.gov/cryptval"},{"href":"#9b97ed27-3dd6-4f9a-ade5-1b43e9669794","rel":"reference","text":"http://www.cnss.gov"}],"parts":[{"id":"sc-13_smt","name":"statement","prose":"The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards."},{"id":"sc-13_gdn","name":"guidance","prose":"Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-7","rel":"related","text":"IA-7"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-28","rel":"related","text":"SC-28"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sc-13_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-13_obj.1","name":"objective","properties":[{"name":"label","value":"SC-13[1]"}],"prose":"the organization defines cryptographic uses; and"},{"id":"sc-13_obj.2","name":"objective","properties":[{"name":"label","value":"SC-13[2]"}],"prose":"the organization defines the type of cryptography required for each use; and"},{"id":"sc-13_obj.3","name":"objective","properties":[{"name":"label","value":"SC-13[3]"}],"prose":"the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic protection"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: If implementing need to detail how they meet it or don't meet it."}]},{"id":"sc-15","class":"SP800-53","title":"Collaborative Computing Devices","parameters":[{"id":"sc-15_prm_1","label":"organization-defined exceptions where remote activation is to be allowed"}],"properties":[{"name":"label","value":"SC-15"},{"name":"sort-id","value":"sc-15"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"id":"sc-15_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-15_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and"},{"id":"sc-15_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides an explicit indication of use to users physically present at the\n devices."}]},{"id":"sc-15_gdn","name":"guidance","prose":"Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.","links":[{"href":"#ac-21","rel":"related","text":"AC-21"}]},{"id":"sc-15_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-15.a_obj","name":"objective","properties":[{"name":"label","value":"SC-15(a)"}],"parts":[{"id":"sc-15.a_obj.1","name":"objective","properties":[{"name":"label","value":"SC-15(a)[1]"}],"prose":"the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;"},{"id":"sc-15.a_obj.2","name":"objective","properties":[{"name":"label","value":"SC-15(a)[2]"}],"prose":"the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and"}]},{"id":"sc-15.b_obj","name":"objective","properties":[{"name":"label","value":"SC-15(b)"}],"prose":"the information system provides an explicit indication of use to users physically\n present at the devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices"}]},{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Not directly related to the security of the SaaS."}]},{"id":"sc-20","class":"SP800-53","title":"Secure Name / Address Resolution Service (authoritative Source)","properties":[{"name":"label","value":"SC-20"},{"name":"sort-id","value":"sc-20"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#28115a56-da6b-4d44-b1df-51dd7f048a3e","rel":"reference","text":"OMB Memorandum 08-23"},{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-20_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and"},{"id":"sc-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace."}]},{"id":"sc-20_gdn","name":"guidance","prose":"This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.","links":[{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-20_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-20.a_obj","name":"objective","properties":[{"name":"label","value":"SC-20(a)"}],"prose":"provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;"},{"id":"sc-20.b_obj","name":"objective","properties":[{"name":"label","value":"SC-20(b)"}],"prose":"provides the means to, when operating as part of a distributed, hierarchical\n namespace:","parts":[{"id":"sc-20.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-20(b)[1]"}],"prose":"indicate the security status of child zones; and"},{"id":"sc-20.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-20(b)[2]"}],"prose":"enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing secure name/address resolution\n service"}]}]},{"id":"sc-21","class":"SP800-53","title":"Secure Name / Address Resolution Service (recursive or Caching Resolver)","properties":[{"name":"label","value":"SC-21"},{"name":"sort-id","value":"sc-21"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-21_smt","name":"statement","prose":"The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources."},{"id":"sc-21_gdn","name":"guidance","prose":"Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.","links":[{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-21_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"sc-21_obj.1","name":"objective","properties":[{"name":"label","value":"SC-21[1]"}],"prose":"requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.2","name":"objective","properties":[{"name":"label","value":"SC-21[2]"}],"prose":"requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.3","name":"objective","properties":[{"name":"label","value":"SC-21[3]"}],"prose":"performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and"},{"id":"sc-21_obj.4","name":"objective","properties":[{"name":"label","value":"SC-21[4]"}],"prose":"performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services"}]}]},{"id":"sc-22","class":"SP800-53","title":"Architecture and Provisioning for Name / Address Resolution Service","properties":[{"name":"label","value":"SC-22"},{"name":"sort-id","value":"sc-22"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-22_smt","name":"statement","prose":"The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation."},{"id":"sc-22_gdn","name":"guidance","prose":"Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).","links":[{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"sc-22_obj","name":"objective","prose":"Determine if the information systems that collectively provide name/address\n resolution service for an organization: ","parts":[{"id":"sc-22_obj.1","name":"objective","properties":[{"name":"label","value":"SC-22[1]"}],"prose":"are fault tolerant; and"},{"id":"sc-22_obj.2","name":"objective","properties":[{"name":"label","value":"SC-22[2]"}],"prose":"implement internal/external role separation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation"}]}]},{"id":"sc-39","class":"SP800-53","title":"Process Isolation","properties":[{"name":"label","value":"SC-39"},{"name":"sort-id","value":"sc-39"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"id":"sc-39_smt","name":"statement","prose":"The information system maintains a separate execution domain for each executing\n process."},{"id":"sc-39_gdn","name":"guidance","prose":"Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-39_obj","name":"objective","prose":"Determine if the information system maintains a separate execution domain for each\n executing process."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Information system developers/integrators\\n\\ninformation system security architect"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process"}]}]}]},{"id":"si","class":"family","title":"System and Information Integrity","controls":[{"id":"si-1","class":"SP800-53","title":"System and Information Integrity Policy and Procedures","parameters":[{"id":"si-1_prm_1","label":"organization-defined personnel or roles"},{"id":"si-1_prm_2","label":"organization-defined frequency"},{"id":"si-1_prm_3","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"SI-1"},{"name":"sort-id","value":"si-01"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"si-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ si-1_prm_1 }}:","parts":[{"id":"si-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"si-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and"}]},{"id":"si-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"si-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and information integrity policy {{ si-1_prm_2 }};\n and"},{"id":"si-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and information integrity procedures {{ si-1_prm_3 }}."}]}]},{"id":"si-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"si-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-1.a_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)"}],"parts":[{"id":"si-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)"}],"parts":[{"id":"si-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1]"}],"prose":"develops and documents a system and information integrity policy that\n addresses:","parts":[{"id":"si-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"si-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"si-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"si-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"si-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"si-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"si-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"si-1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;"},{"id":"si-1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[3]"}],"prose":"disseminates the system and information integrity policy to\n organization-defined personnel or roles;"}]},{"id":"si-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)"}],"parts":[{"id":"si-1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;"},{"id":"si-1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"si-1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"si-1.b_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)"}],"parts":[{"id":"si-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(1)"}],"parts":[{"id":"si-1.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SI-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity policy;"},{"id":"si-1.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SI-1(b)(1)[2]"}],"prose":"reviews and updates the current system and information integrity policy with\n the organization-defined frequency;"}]},{"id":"si-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(2)"}],"parts":[{"id":"si-1.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"SI-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity procedures; and"},{"id":"si-1.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"SI-1(b)(2)[2]"}],"prose":"reviews and updates the current system and information integrity procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"si-2","class":"SP800-53","title":"Flaw Remediation","parameters":[{"id":"si-2_prm_1","label":"organization-defined time period","constraints":[{"detail":"within 30 days of release of updates"}]}],"properties":[{"name":"label","value":"SI-2"},{"name":"sort-id","value":"si-02"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"si-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies, reports, and corrects information system flaws;"},{"id":"si-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;"},{"id":"si-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and"},{"id":"si-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Incorporates flaw remediation into the organizational configuration management\n process."}]},{"id":"si-2_gdn","name":"guidance","prose":"Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"si-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.a_obj","name":"objective","properties":[{"name":"label","value":"SI-2(a)"}],"parts":[{"id":"si-2.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-2(a)[1]"}],"prose":"identifies information system flaws;"},{"id":"si-2.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-2(a)[2]"}],"prose":"reports information system flaws;"},{"id":"si-2.a_obj.3","name":"objective","properties":[{"name":"label","value":"SI-2(a)[3]"}],"prose":"corrects information system flaws;"}]},{"id":"si-2.b_obj","name":"objective","properties":[{"name":"label","value":"SI-2(b)"}],"parts":[{"id":"si-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"SI-2(b)[1]"}],"prose":"tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;"},{"id":"si-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"SI-2(b)[2]"}],"prose":"tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;"}]},{"id":"si-2.c_obj","name":"objective","properties":[{"name":"label","value":"SI-2(c)"}],"parts":[{"id":"si-2.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-2(c)[1]"}],"prose":"defines the time period within which to install security-relevant software\n updates after the release of the updates;"},{"id":"si-2.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-2(c)[2]"}],"prose":"defines the time period within which to install security-relevant firmware\n updates after the release of the updates;"},{"id":"si-2.c_obj.3","name":"objective","properties":[{"name":"label","value":"SI-2(c)[3]"}],"prose":"installs software updates within the organization-defined time period of the\n release of the updates;"},{"id":"si-2.c_obj.4","name":"objective","properties":[{"name":"label","value":"SI-2(c)[4]"}],"prose":"installs firmware updates within the organization-defined time period of the\n release of the updates; and"}]},{"id":"si-2.d_obj","name":"objective","properties":[{"name":"label","value":"SI-2(d)"}],"prose":"incorporates flaw remediation into the organizational configuration management\n process."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates"}]}]},{"id":"si-3","class":"SP800-53","title":"Malicious Code Protection","parameters":[{"id":"si-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"si-3_prm_2","constraints":[{"detail":"to include endpoints"}]},{"id":"si-3_prm_3","constraints":[{"detail":"to include alerting administrator or defined security personnel"}]},{"id":"si-3_prm_4","depends-on":"si-3_prm_3","label":"organization-defined action"}],"properties":[{"name":"label","value":"SI-3"},{"name":"sort-id","value":"si-03"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"}],"parts":[{"id":"si-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;"},{"id":"si-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;"},{"id":"si-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Configures malicious code protection mechanisms to:","parts":[{"id":"si-3_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and"},{"id":"si-3_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"\n {{ si-3_prm_3 }} in response to malicious code detection;\n and"}]},{"id":"si-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system."}]},{"id":"si-3_gdn","name":"guidance","prose":"Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-13","rel":"related","text":"SA-13"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-44","rel":"related","text":"SC-44"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-3.a_obj","name":"objective","properties":[{"name":"label","value":"SI-3(a)"}],"prose":"employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:","parts":[{"id":"si-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-3(a)[1]"}],"prose":"entry points;"},{"id":"si-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-3(a)[2]"}],"prose":"exit points;"}]},{"id":"si-3.b_obj","name":"objective","properties":[{"name":"label","value":"SI-3(b)"}],"prose":"updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);"},{"id":"si-3.c_obj","name":"objective","properties":[{"name":"label","value":"SI-3(c)"}],"parts":[{"id":"si-3.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-3(c)[1]"}],"prose":"defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;"},{"id":"si-3.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-3(c)[2]"}],"prose":"defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;"},{"id":"si-3.c_obj.3","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3]"}],"parts":[{"id":"si-3.c.1_obj.3","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)"}],"prose":"configures malicious code protection mechanisms to:","parts":[{"id":"si-3.c.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[a]"}],"prose":"perform periodic scans of the information system with the\n organization-defined frequency;"},{"id":"si-3.c.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[b]"}],"prose":"perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;"}]},{"id":"si-3.c.2_obj.3","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)"}],"prose":"configures malicious code protection mechanisms to do one or more of the\n following:","parts":[{"id":"si-3.c.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[a]"}],"prose":"block malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[b]"}],"prose":"quarantine malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[c]"}],"prose":"send alert to administrator in response to malicious code detection;\n and/or"},{"id":"si-3.c.2_obj.3.d","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[d]"}],"prose":"initiate organization-defined action in response to malicious code\n detection;"}]}]}]},{"id":"si-3.d_obj","name":"objective","properties":[{"name":"label","value":"SI-3(d)"}],"parts":[{"id":"si-3.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-3(d)[1]"}],"prose":"addresses the receipt of false positives during malicious code detection and\n eradication; and"},{"id":"si-3.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-3(d)[2]"}],"prose":"addresses the resulting potential impact on the availability of the information\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions"}]}]},{"id":"si-4","class":"SP800-53","title":"Information System Monitoring","parameters":[{"id":"si-4_prm_1","label":"organization-defined monitoring objectives"},{"id":"si-4_prm_2","label":"organization-defined techniques and methods"},{"id":"si-4_prm_3","label":"organization-defined information system monitoring information"},{"id":"si-4_prm_4","label":"organization-defined personnel or roles"},{"id":"si-4_prm_5"},{"id":"si-4_prm_6","depends-on":"si-4_prm_5","label":"organization-defined frequency"}],"properties":[{"name":"label","value":"SI-4"},{"name":"sort-id","value":"si-04"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"si-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors the information system to detect:","parts":[{"id":"si-4_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and"},{"id":"si-4_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Unauthorized local, network, and remote connections;"}]},{"id":"si-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Identifies unauthorized use of the information system through {{ si-4_prm_2 }};"},{"id":"si-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Deploys monitoring devices:","parts":[{"id":"si-4_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Strategically within the information system to collect organization-determined\n essential information; and"},{"id":"si-4_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;"},{"id":"si-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and"},{"id":"si-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}."}]},{"id":"si-4_gdn","name":"guidance","prose":"Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-35","rel":"related","text":"SC-35"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.a_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)"}],"parts":[{"id":"si-4.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)"}],"parts":[{"id":"si-4.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[1]"}],"prose":"defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;"},{"id":"si-4.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2]"}],"prose":"monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:","parts":[{"id":"si-4.a.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][a]"}],"prose":"attacks;"},{"id":"si-4.a.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][b]"}],"prose":"indicators of potential attacks;"}]}]},{"id":"si-4.a.2_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)"}],"prose":"monitors the information system to detect unauthorized:","parts":[{"id":"si-4.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[1]"}],"prose":"local connections;"},{"id":"si-4.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[2]"}],"prose":"network connections;"},{"id":"si-4.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[3]"}],"prose":"remote connections;"}]}]},{"id":"si-4.b_obj","name":"objective","properties":[{"name":"label","value":"SI-4(b)"}],"parts":[{"id":"si-4.b.1_obj","name":"objective","properties":[{"name":"label","value":"SI-4(b)(1)"}],"prose":"defines techniques and methods to identify unauthorized use of the information\n system;"},{"id":"si-4.b.2_obj","name":"objective","properties":[{"name":"label","value":"SI-4(b)(2)"}],"prose":"identifies unauthorized use of the information system through\n organization-defined techniques and methods;"}]},{"id":"si-4.c_obj","name":"objective","properties":[{"name":"label","value":"SI-4(c)"}],"prose":"deploys monitoring devices:","parts":[{"id":"si-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(c)[1]"}],"prose":"strategically within the information system to collect organization-determined\n essential information;"},{"id":"si-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(c)[2]"}],"prose":"at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4.d_obj","name":"objective","properties":[{"name":"label","value":"SI-4(d)"}],"prose":"protects information obtained from intrusion-monitoring tools from\n unauthorized:","parts":[{"id":"si-4.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(d)[1]"}],"prose":"access;"},{"id":"si-4.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(d)[2]"}],"prose":"modification;"},{"id":"si-4.d_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(d)[3]"}],"prose":"deletion;"}]},{"id":"si-4.e_obj","name":"objective","properties":[{"name":"label","value":"SI-4(e)"}],"prose":"heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4.f_obj","name":"objective","properties":[{"name":"label","value":"SI-4(f)"}],"prose":"obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;"},{"id":"si-4.g_obj","name":"objective","properties":[{"name":"label","value":"SI-4(g)"}],"parts":[{"id":"si-4.g_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(g)[1]"}],"prose":"defines personnel or roles to whom information system monitoring information is\n to be provided;"},{"id":"si-4.g_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(g)[2]"}],"prose":"defines information system monitoring information to be provided to\n organization-defined personnel or roles;"},{"id":"si-4.g_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(g)[3]"}],"prose":"defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;"},{"id":"si-4.g_obj.4","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4]"}],"prose":"provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:","parts":[{"id":"si-4.g_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][a]"}],"prose":"as needed; and/or"},{"id":"si-4.g_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][b]"}],"prose":"with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability"}]}]},{"id":"si-5","class":"SP800-53","title":"Security Alerts, Advisories, and Directives","parameters":[{"id":"si-5_prm_1","label":"organization-defined external organizations"},{"id":"si-5_prm_2"},{"id":"si-5_prm_3","depends-on":"si-5_prm_2","label":"organization-defined personnel or roles"},{"id":"si-5_prm_4","depends-on":"si-5_prm_2","label":"organization-defined elements within the organization"},{"id":"si-5_prm_5","depends-on":"si-5_prm_2","label":"organization-defined external organizations"}],"properties":[{"name":"label","value":"SI-5"},{"name":"sort-id","value":"si-05"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"}],"parts":[{"id":"si-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;"},{"id":"si-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and"},{"id":"si-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance."}]},{"id":"si-5_gdn","name":"guidance","prose":"The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.","links":[{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"si-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-5.a_obj","name":"objective","properties":[{"name":"label","value":"SI-5(a)"}],"parts":[{"id":"si-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-5(a)[1]"}],"prose":"defines external organizations from whom information system security alerts,\n advisories and directives are to be received;"},{"id":"si-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-5(a)[2]"}],"prose":"receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;"}]},{"id":"si-5.b_obj","name":"objective","properties":[{"name":"label","value":"SI-5(b)"}],"prose":"generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5.c_obj","name":"objective","properties":[{"name":"label","value":"SI-5(c)"}],"parts":[{"id":"si-5.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-5(c)[1]"}],"prose":"defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;"},{"id":"si-5.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-5(c)[2]"}],"prose":"defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;"},{"id":"si-5.c_obj.3","name":"objective","properties":[{"name":"label","value":"SI-5(c)[3]"}],"prose":"defines external organizations to whom security alerts, advisories, and\n directives are to be provided;"},{"id":"si-5.c_obj.4","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4]"}],"prose":"disseminates security alerts, advisories, and directives to one or more of the\n following:","parts":[{"id":"si-5.c_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][a]"}],"prose":"organization-defined personnel or roles;"},{"id":"si-5.c_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][b]"}],"prose":"organization-defined elements within the organization; 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policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ac-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the access control policy and\n associated access controls; and" - } - ] - }, - { - "id": "ac-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ac-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Access control policy {{ ac-1_prm_2 }}; and" - }, - { - "id": "ac-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Access control procedures {{ ac-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ac-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ac-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)" - } - ], - "parts": [ - { - "id": "ac-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)" - } - ], - "parts": [ - { - "id": "ac-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1]" - } - ], - "prose": "develops and documents an access control policy that addresses:", - "parts": [ - { - "id": "ac-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ac-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ac-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ac-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ac-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ac-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ac-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ac-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the access control policy are to be\n disseminated;" - }, - { - "id": "ac-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[3]" - } - ], - "prose": "disseminates the access control policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ac-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)" - } - ], - "parts": [ - { - "id": "ac-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;" - }, - { - "id": "ac-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ac-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ac-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(1)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n policy;" - }, - { - "id": "ac-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current access control policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ac-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(2)" - } - ], - "parts": [ - { - "id": "ac-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n procedures; and" - }, - { - "id": "ac-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current access control procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "parameters": [ - { - "id": "ac-2_prm_1", - "label": "organization-defined information system account types" - }, - { - "id": "ac-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_3", - "label": "organization-defined procedures or conditions" - }, - { - "id": "ac-2_prm_4", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2" - }, - { - "name": "sort-id", - "value": "ac-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitors the use of information system accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notifies account managers:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "When accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "When individual information system usage or need-to-know changes;" - } - ] - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-10", - "rel": "related", - "text": "AC-10" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(a)" - } - ], - "parts": [ - { - "id": "ac-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(a)[1]" - } - ], - "prose": "defines information system account types to be identified and selected to\n support organizational missions/business functions;" - }, - { - "id": "ac-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(a)[2]" - } - ], - "prose": "identifies and selects organization-defined information system account types to\n support organizational missions/business functions;" - } - ] - }, - { - "id": "ac-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(b)" - } - ], - "prose": "assigns account managers for information system accounts;" - }, - { - "id": "ac-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(c)" - } - ], - "prose": "establishes conditions for group and role membership;" - }, - { - "id": "ac-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)" - } - ], - "prose": "specifies for each account (as required):", - "parts": [ - { - "id": "ac-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[1]" - } - ], - "prose": "authorized users of the information system;" - }, - { - "id": "ac-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[2]" - } - ], - "prose": "group and role membership;" - }, - { - "id": "ac-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[3]" - } - ], - "prose": "access authorizations (i.e., privileges);" - }, - { - "id": "ac-2.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[4]" - } - ], - "prose": "other attributes;" - } - ] - }, - { - "id": "ac-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(e)" - } - ], - "parts": [ - { - "id": "ac-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(e)[1]" - } - ], - "prose": "defines personnel or roles required to approve requests to create information\n system accounts;" - }, - { - "id": "ac-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(e)[2]" - } - ], - "prose": "requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)" - } - ], - "parts": [ - { - "id": "ac-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1]" - } - ], - "prose": "defines procedures or conditions to:", - "parts": [ - { - "id": "ac-2.f_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][a]" - } - ], - "prose": "create information system accounts;" - }, - { - "id": "ac-2.f_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][b]" - } - ], - "prose": "enable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][c]" - } - ], - "prose": "modify information system accounts;" - }, - { - "id": "ac-2.f_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][d]" - } - ], - "prose": "disable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][e]" - } - ], - "prose": "remove information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2]" - } - ], - "prose": "in accordance with organization-defined procedures or conditions:", - "parts": [ - { - "id": "ac-2.f_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][a]" - } - ], - "prose": "creates information system accounts;" - }, - { - "id": "ac-2.f_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][b]" - } - ], - "prose": "enables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][c]" - } - ], - "prose": "modifies information system accounts;" - }, - { - "id": "ac-2.f_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][d]" - } - ], - "prose": "disables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][e]" - } - ], - "prose": "removes information system accounts;" - } - ] - } - ] - }, - { - "id": "ac-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(g)" - } - ], - "prose": "monitors the use of information system accounts;" - }, - { - "id": "ac-2.h_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)" - } - ], - "prose": "notifies account managers:", - "parts": [ - { - "id": "ac-2.h.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(1)" - } - ], - "prose": "when accounts are no longer required;" - }, - { - "id": "ac-2.h.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(2)" - } - ], - "prose": "when users are terminated or transferred;" - }, - { - "id": "ac-2.h.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(3)" - } - ], - "prose": "when individual information system usage or need to know changes;" - } - ] - }, - { - "id": "ac-2.i_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)" - } - ], - "prose": "authorizes access to the information system based on;", - "parts": [ - { - "id": "ac-2.i.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(1)" - } - ], - "prose": "a valid access authorization;" - }, - { - "id": "ac-2.i.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(2)" - } - ], - "prose": "intended system usage;" - }, - { - "id": "ac-2.i.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(3)" - } - ], - "prose": "other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2.j_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(j)" - } - ], - "parts": [ - { - "id": "ac-2.j_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(j)[1]" - } - ], - "prose": "defines the frequency to review accounts for compliance with account management\n requirements;" - }, - { - "id": "ac-2.j_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(j)[2]" - } - ], - "prose": "reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and" - } - ] - }, - { - "id": "ac-2.k_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(k)" - } - ], - "prose": "establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management" - } - ] - }, - { - "id": "ac-2_fr", - "name": "item", - "title": "AC-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored\n for LI-SaaS." - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "properties": [ - { - "name": "label", - "value": "AC-3" - }, - { - "name": "sort-id", - "value": "ac-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - }, - { - "href": "#ac-22", - "rel": "related", - "text": "AC-22" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "ac-3_obj", - "name": "objective", - "prose": "Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy" - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "parameters": [ - { - "id": "ac-7_prm_1", - "label": "organization-defined number" - }, - { - "id": "ac-7_prm_2", - "label": "organization-defined time period" - }, - { - "id": "ac-7_prm_3" - }, - { - "id": "ac-7_prm_4", - "depends-on": "ac-7_prm_3", - "label": "organization-defined time period" - }, - { - "id": "ac-7_prm_5", - "depends-on": "ac-7_prm_3", - "label": "organization-defined delay algorithm" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-7" - }, - { - "name": "sort-id", - "value": "ac-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - } - ] - }, - { - "id": "ac-7_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)" - } - ], - "parts": [ - { - "id": "ac-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)[1]" - } - ], - "prose": "the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;" - }, - { - "id": "ac-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)[2]" - } - ], - "prose": "the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;" - }, - { - "id": "ac-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)[3]" - } - ], - "prose": "the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;" - } - ] - }, - { - "id": "ac-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)" - } - ], - "parts": [ - { - "id": "ac-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[1]" - } - ], - "prose": "the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;" - }, - { - "id": "ac-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2]" - } - ], - "prose": "the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:", - "parts": [ - { - "id": "ac-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][a]" - } - ], - "prose": "locks the account/node for the organization-defined time period;" - }, - { - "id": "ac-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][b]" - } - ], - "prose": "locks the account/node until released by an administrator; or" - }, - { - "id": "ac-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][c]" - } - ], - "prose": "delays next logon prompt according to the organization-defined delay\n algorithm." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon\n attempts" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication." - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "parameters": [ - { - "id": "ac-8_prm_1", - "label": "organization-defined system use notification message or banner" - }, - { - "id": "ac-8_prm_2", - "label": "organization-defined conditions" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-8" - }, - { - "name": "sort-id", - "value": "ac-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Information system usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Use of the information system indicates consent to monitoring and\n recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Includes a description of the authorized uses of the system." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content." - }, - { - "id": "ac-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)" - } - ], - "parts": [ - { - "id": "ac-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[1]" - } - ], - "prose": "the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;" - }, - { - "id": "ac-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2]" - } - ], - "prose": "the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:", - "parts": [ - { - "id": "ac-8.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](1)" - } - ], - "prose": "users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](2)" - } - ], - "prose": "information system usage may be monitored, recorded, and subject to\n audit;" - }, - { - "id": "ac-8.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](3)" - } - ], - "prose": "unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;" - }, - { - "id": "ac-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](4)" - } - ], - "prose": "use of the information system indicates consent to monitoring and\n recording;" - } - ] - } - ] - }, - { - "id": "ac-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(b)" - } - ], - "prose": "the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;" - }, - { - "id": "ac-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)" - } - ], - "prose": "for publicly accessible systems:", - "parts": [ - { - "id": "ac-8.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(1)" - } - ], - "parts": [ - { - "id": "ac-8.c.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(1)[1]" - } - ], - "prose": "the organization defines conditions for system use to be displayed by the\n information system before granting further access;" - }, - { - "id": "ac-8.c.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(1)[2]" - } - ], - "prose": "the information system displays organization-defined conditions before\n granting further access;" - } - ] - }, - { - "id": "ac-8.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(2)" - } - ], - "prose": "the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and" - }, - { - "id": "ac-8.c.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(3)" - } - ], - "prose": "the information system includes a description of the authorized uses of the\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system use notification" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "FED - This is related to agency data and agency policy solution." - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "parameters": [ - { - "id": "ac-14_prm_1", - "label": "organization-defined user actions" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "ac-14" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - } - ] - }, - { - "id": "ac-14_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(a)" - } - ], - "parts": [ - { - "id": "ac-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(a)[1]" - } - ], - "prose": "defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;" - }, - { - "id": "ac-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(a)[2]" - } - ], - "prose": "identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - } - ] - }, - { - "id": "ac-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(b)" - } - ], - "prose": "documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "FED - This is related to agency data and agency policy solution." - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "properties": [ - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "ac-17" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#5309d4d0-46f8-4213-a749-e7584164e5e8", - "rel": "reference", - "text": "NIST Special Publication 800-46" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#349fe082-502d-464a-aa0c-1443c6a5cf40", - "rel": "reference", - "text": "NIST Special Publication 800-113" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#d1a4e2a9-e512-4132-8795-5357aba29254", - "rel": "reference", - "text": "NIST Special Publication 800-121" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#pe-17", - "rel": "related", - "text": "PE-17" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-17_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)" - } - ], - "parts": [ - { - "id": "ac-17.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[1]" - } - ], - "prose": "identifies the types of remote access allowed to the information system;" - }, - { - "id": "ac-17.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2]" - } - ], - "prose": "establishes for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][c]" - } - ], - "prose": "implementation guidance;" - } - ] - }, - { - "id": "ac-17.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3]" - } - ], - "prose": "documents for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][c]" - } - ], - "prose": "implementation guidance; and" - } - ] - } - ] - }, - { - "id": "ac-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(b)" - } - ], - "prose": "authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Remote access management capability for the information system" - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "properties": [ - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "ac-18" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "links": [ - { - "href": "#238ed479-eccb-49f6-82ec-ab74a7a428cf", - "rel": "reference", - "text": "NIST Special Publication 800-48" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#6f336ecd-f2a0-4c84-9699-0491d81b6e0d", - "rel": "reference", - "text": "NIST Special Publication 800-97" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-18.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)" - } - ], - "prose": "establishes for wireless access:", - "parts": [ - { - "id": "ac-18.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-18.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-18.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-18.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(b)" - } - ], - "prose": "authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access management capability for the information system" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - All access to Cloud SaaS are via web services and/or API. The device\n accessed from or whether via wired or wireless connection is out of scope.\n Regardless of device accessed from, must utilize approved remote access methods\n (AC-17), secure communication with strong encryption (SC-13), key management\n (SC-12), and multi-factor authentication for privileged access (IA-2[1])." - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "properties": [ - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "ac-19" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "links": [ - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589", - "rel": "reference", - "text": "NIST Special Publication 800-124" - }, - { - "href": "#6513e480-fada-4876-abba-1397084dfb26", - "rel": "reference", - "text": "NIST Special Publication 800-164" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-9", - "rel": "related", - "text": "CA-9" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-43", - "rel": "related", - "text": "SC-43" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-19.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)" - } - ], - "prose": "establishes for organization-controlled mobile devices:", - "parts": [ - { - "id": "ac-19.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-19.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-19.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-19.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(b)" - } - ], - "prose": "authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control capability authorizing mobile device connections to organizational\n information systems" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - All access to Cloud SaaS are via web service and/or API. The device accessed\n from is out of the scope. Regardless of device accessed from, must utilize\n approved remote access methods (AC-17), secure communication with strong\n encryption (SC-13), key management (SC-12), and multi-factor authentication for\n privileged access (IA-2 [1])." - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Information Systems", - "properties": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "ac-20" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "prose": "The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Access the information system from external information systems; and" - }, - { - "id": "ac-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ac-20_obj", - "name": "objective", - "prose": "Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ", - "parts": [ - { - "id": "ac-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-20(a)" - } - ], - "prose": "access the information system from the external information systems; and" - }, - { - "id": "ac-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-20(b)" - } - ], - "prose": "process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing terms and conditions on use of external\n information systems" - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "parameters": [ - { - "id": "ac-22_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "ac-22" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-13", - "rel": "related", - "text": "AU-13" - } - ] - }, - { - "id": "ac-22_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-22.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(a)" - } - ], - "prose": "designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(b)" - } - ], - "prose": "trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(c)" - } - ], - "prose": "reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;" - }, - { - "id": "ac-22.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)" - } - ], - "parts": [ - { - "id": "ac-22.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)[1]" - } - ], - "prose": "defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;" - }, - { - "id": "ac-22.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)[2]" - } - ], - "prose": "reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and" - }, - { - "id": "ac-22.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)[3]" - } - ], - "prose": "removes nonpublic information from the publicly accessible information system,\n if discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of publicly accessible content" - } - ] - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Security Awareness and Training Policy and Procedures", - "parameters": [ - { - "id": "at-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "at-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "AT-1" - }, - { - "name": "sort-id", - "value": "at-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "at-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security awareness and training policy {{ at-1_prm_2 }}; and" - }, - { - "id": "at-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security awareness and training procedures {{ at-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "at-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1]" - } - ], - "prose": "develops and documents an security awareness and training policy that\n addresses:", - "parts": [ - { - "id": "at-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "at-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "at-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "at-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "at-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "at-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "at-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "at-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;" - }, - { - "id": "at-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[3]" - } - ], - "prose": "disseminates the security awareness and training policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "at-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)" - } - ], - "parts": [ - { - "id": "at-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;" - }, - { - "id": "at-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "at-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "at-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(1)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training policy;" - }, - { - "id": "at-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "at-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(2)" - } - ], - "parts": [ - { - "id": "at-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training procedures; and" - }, - { - "id": "at-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Security Awareness Training", - "parameters": [ - { - "id": "at-2_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "AT-2" - }, - { - "name": "sort-id", - "value": "at-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "prose": "The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "As part of initial training for new users;" - }, - { - "id": "at-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-2_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "at-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(a)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;" - }, - { - "id": "at-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(b)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and" - }, - { - "id": "at-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(c)" - } - ], - "parts": [ - { - "id": "at-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and" - }, - { - "id": "at-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(c)[2]" - } - ], - "prose": "provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing security awareness training" - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Security Training", - "parameters": [ - { - "id": "at-3_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "AT-3" - }, - { - "name": "sort-id", - "value": "at-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "prose": "The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Before authorizing access to the information system or performing assigned\n duties;" - }, - { - "id": "at-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-3_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-16", - "rel": "related", - "text": "SA-16" - } - ] - }, - { - "id": "at-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(a)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;" - }, - { - "id": "at-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(b)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and" - }, - { - "id": "at-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(c)" - } - ], - "parts": [ - { - "id": "at-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and" - }, - { - "id": "at-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(c)[2]" - } - ], - "prose": "provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing role-based security training" - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Security Training Records", - "parameters": [ - { - "id": "at-4_prm_1", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "AT-4" - }, - { - "name": "sort-id", - "value": "at-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains individual training records for {{ at-4_prm_1 }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-14", - "rel": "related", - "text": "PM-14" - } - ] - }, - { - "id": "at-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)" - } - ], - "parts": [ - { - "id": "at-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1]" - } - ], - "prose": "documents individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - }, - { - "id": "at-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2]" - } - ], - "prose": "monitors individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - } - ] - }, - { - "id": "at-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(b)" - } - ], - "parts": [ - { - "id": "at-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(b)[1]" - } - ], - "prose": "defines a time period to retain individual training records; and" - }, - { - "id": "at-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(b)[2]" - } - ], - "prose": "retains individual training records for the organization-defined time\n period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security training record retention\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security training records" - } - ] - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Audit and Accountability Policy and Procedures", - "parameters": [ - { - "id": "au-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "au-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-1" - }, - { - "name": "sort-id", - "value": "au-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "au-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Audit and accountability policy {{ au-1_prm_2 }}; and" - }, - { - "id": "au-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Audit and accountability procedures {{ au-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "au-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1]" - } - ], - "prose": "develops and documents an audit and accountability policy that\n addresses:", - "parts": [ - { - "id": "au-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "au-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "au-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "au-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "au-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "au-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "au-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "au-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;" - }, - { - "id": "au-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[3]" - } - ], - "prose": "disseminates the audit and accountability policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "au-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)" - } - ], - "parts": [ - { - "id": "au-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;" - }, - { - "id": "au-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "au-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "au-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(1)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability policy;" - }, - { - "id": "au-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(2)" - } - ], - "parts": [ - { - "id": "au-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability procedures; and" - }, - { - "id": "au-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Audit Events", - "parameters": [ - { - "id": "au-2_prm_1", - "label": "organization-defined auditable events" - }, - { - "id": "au-2_prm_2", - "label": "organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-2" - }, - { - "name": "sort-id", - "value": "au-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and" - }, - { - "id": "au-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}." - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(a)" - } - ], - "parts": [ - { - "id": "au-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(a)[1]" - } - ], - "prose": "defines the auditable events that the information system must be capable of\n auditing;" - }, - { - "id": "au-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(a)[2]" - } - ], - "prose": "determines that the information system is capable of auditing\n organization-defined auditable events;" - } - ] - }, - { - "id": "au-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(b)" - } - ], - "prose": "coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(c)" - } - ], - "prose": "provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;" - }, - { - "id": "au-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)" - } - ], - "parts": [ - { - "id": "au-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)[1]" - } - ], - "prose": "defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;" - }, - { - "id": "au-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)[2]" - } - ], - "prose": "determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and" - }, - { - "id": "au-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)[3]" - } - ], - "prose": "determines the frequency of (or situation requiring) auditing for each\n identified event." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing" - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "properties": [ - { - "name": "label", - "value": "AU-3" - }, - { - "name": "sort-id", - "value": "au-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event." - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-8", - "rel": "related", - "text": "AU-8" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "au-3_obj", - "name": "objective", - "prose": "Determine if the information system generates audit records containing information\n that establishes: ", - "parts": [ - { - "id": "au-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[1]" - } - ], - "prose": "what type of event occurred;" - }, - { - "id": "au-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[2]" - } - ], - "prose": "when the event occurred;" - }, - { - "id": "au-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[3]" - } - ], - "prose": "where the event occurred;" - }, - { - "id": "au-3_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[4]" - } - ], - "prose": "the source of the event;" - }, - { - "id": "au-3_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[5]" - } - ], - "prose": "the outcome of the event; and" - }, - { - "id": "au-3_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[6]" - } - ], - "prose": "the identity of any individuals or subjects associated with the event." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing of auditable\n events" - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Storage Capacity", - "parameters": [ - { - "id": "au-4_prm_1", - "label": "organization-defined audit record storage requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-4" - }, - { - "name": "sort-id", - "value": "au-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-4[1]" - } - ], - "prose": "defines audit record storage requirements; and" - }, - { - "id": "au-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-4[2]" - } - ], - "prose": "allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit record storage capacity and related configuration settings" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the audit data has been determined to have little or\n no impact to government business/mission needs." - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Processing Failures", - "parameters": [ - { - "id": "au-5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-5_prm_2", - "label": "organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)", - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-5" - }, - { - "name": "sort-id", - "value": "au-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Takes the following additional actions: {{ au-5_prm_2 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "au-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(a)" - } - ], - "parts": [ - { - "id": "au-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(a)[1]" - } - ], - "prose": "the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;" - }, - { - "id": "au-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(a)[2]" - } - ], - "prose": "the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;" - } - ] - }, - { - "id": "au-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(b)" - } - ], - "parts": [ - { - "id": "au-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(b)[1]" - } - ], - "prose": "the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and" - }, - { - "id": "au-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(b)[2]" - } - ], - "prose": "the information system takes the additional organization-defined actions in the\n event of an audit processing failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system response to audit processing\n failures" - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Review, Analysis, and Reporting", - "parameters": [ - { - "id": "au-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "au-6_prm_2", - "label": "organization-defined inappropriate or unusual activity" - }, - { - "id": "au-6_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-6" - }, - { - "name": "sort-id", - "value": "au-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and" - }, - { - "id": "au-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports findings to {{ au-6_prm_3 }}." - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-10", - "rel": "related", - "text": "CM-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#pe-14", - "rel": "related", - "text": "PE-14" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-18", - "rel": "related", - "text": "SC-18" - }, - { - "href": "#sc-19", - "rel": "related", - "text": "SC-19" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "au-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)" - } - ], - "parts": [ - { - "id": "au-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)[1]" - } - ], - "prose": "defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;" - }, - { - "id": "au-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)[2]" - } - ], - "prose": "defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;" - }, - { - "id": "au-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)[3]" - } - ], - "prose": "reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(b)" - } - ], - "parts": [ - { - "id": "au-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(b)[1]" - } - ], - "prose": "defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and" - }, - { - "id": "au-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(b)[2]" - } - ], - "prose": "reports findings to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "parameters": [ - { - "id": "au-8_prm_1", - "label": "organization-defined granularity of time measurement" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-8" - }, - { - "name": "sort-id", - "value": "au-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.", - "links": [ - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(a)" - } - ], - "prose": "the information system uses internal system clocks to generate time stamps for\n audit records;" - }, - { - "id": "au-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)" - } - ], - "parts": [ - { - "id": "au-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)[1]" - } - ], - "prose": "the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);" - }, - { - "id": "au-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)[2]" - } - ], - "prose": "the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and" - }, - { - "id": "au-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)[3]" - } - ], - "prose": "the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing time stamp generation" - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "properties": [ - { - "name": "label", - "value": "AU-9" - }, - { - "name": "sort-id", - "value": "au-09" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "prose": "The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion." - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - } - ] - }, - { - "id": "au-9_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-9_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1]" - } - ], - "prose": "the information system protects audit information from unauthorized:", - "parts": [ - { - "id": "au-9_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][b]" - } - ], - "prose": "modification;" - }, - { - "id": "au-9_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][c]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "au-9_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2]" - } - ], - "prose": "the information system protects audit tools from unauthorized:", - "parts": [ - { - "id": "au-9_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][b]" - } - ], - "prose": "modification; and" - }, - { - "id": "au-9_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][c]" - } - ], - "prose": "deletion." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit information protection" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "parameters": [ - { - "id": "au-11_prm_1", - "label": "organization-defined time period consistent with records retention policy" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "au-11" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements." - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "au-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[1]" - } - ], - "prose": "defines a time period to retain audit records that is consistent with records\n retention policy;" - }, - { - "id": "au-11_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2]" - } - ], - "prose": "retains audit records for the organization-defined time period consistent with\n records retention policy to:", - "parts": [ - { - "id": "au-11_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][a]" - } - ], - "prose": "provide support for after-the-fact investigations of security incidents;\n and" - }, - { - "id": "au-11_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][b]" - } - ], - "prose": "meet regulatory and organizational information retention requirements." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the audit data has been determined as little or no\n impact to government business/mission needs." - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Generation", - "parameters": [ - { - "id": "au-12_prm_1", - "label": "organization-defined information system components" - }, - { - "id": "au-12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "au-12" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - } - ] - }, - { - "id": "au-12_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-12.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(a)" - } - ], - "parts": [ - { - "id": "au-12.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(a)[1]" - } - ], - "prose": "the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;" - }, - { - "id": "au-12.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(a)[2]" - } - ], - "prose": "the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;" - } - ] - }, - { - "id": "au-12.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(b)" - } - ], - "parts": [ - { - "id": "au-12.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(b)[1]" - } - ], - "prose": "the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;" - }, - { - "id": "au-12.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(b)[2]" - } - ], - "prose": "the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and" - } - ] - }, - { - "id": "au-12.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(c)" - } - ], - "prose": "the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Security Assessment and Authorization", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Security Assessment and Authorization Policy and Procedures", - "parameters": [ - { - "id": "ca-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ca-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-1" - }, - { - "name": "sort-id", - "value": "ca-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ca-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security assessment and authorization policy {{ ca-1_prm_2 }};\n and" - }, - { - "id": "ca-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security assessment and authorization procedures {{ ca-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ca-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a security assessment and authorization policy that\n addresses:", - "parts": [ - { - "id": "ca-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ca-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ca-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ca-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ca-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ca-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ca-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ca-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;" - }, - { - "id": "ca-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[3]" - } - ], - "prose": "disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ca-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ca-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;" - }, - { - "id": "ca-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ca-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ca-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization policy;" - }, - { - "id": "ca-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "ca-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ca-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization procedures; and" - }, - { - "id": "ca-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Security Assessments", - "parameters": [ - { - "id": "ca-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-2_prm_2", - "label": "organization-defined individuals or roles", - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2" - }, - { - "name": "sort-id", - "value": "ca-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Assessment procedures to be used to determine security control effectiveness;\n and" - }, - { - "id": "ca-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and\n responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;" - }, - { - "id": "ca-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produces a security assessment report that documents the results of the\n assessment; and" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provides the results of the security control assessment to {{ ca-2_prm_2 }}." - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.", - "links": [ - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)" - } - ], - "prose": "develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(1)" - } - ], - "prose": "security controls and control enhancements under assessment;" - }, - { - "id": "ca-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(2)" - } - ], - "prose": "assessment procedures to be used to determine security control\n effectiveness;" - }, - { - "id": "ca-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)" - } - ], - "parts": [ - { - "id": "ca-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[1]" - } - ], - "prose": "assessment environment;" - }, - { - "id": "ca-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[2]" - } - ], - "prose": "assessment team;" - }, - { - "id": "ca-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[3]" - } - ], - "prose": "assessment roles and responsibilities;" - } - ] - } - ] - }, - { - "id": "ca-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(b)" - } - ], - "parts": [ - { - "id": "ca-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(b)[1]" - } - ], - "prose": "defines the frequency to assess the security controls in the information system\n and its environment of operation;" - }, - { - "id": "ca-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(b)[2]" - } - ], - "prose": "assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;" - } - ] - }, - { - "id": "ca-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(c)" - } - ], - "prose": "produces a security assessment report that documents the results of the\n assessment;" - }, - { - "id": "ca-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(d)" - } - ], - "parts": [ - { - "id": "ca-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(d)[1]" - } - ], - "prose": "defines individuals or roles to whom the results of the security control\n assessment are to be provided; and" - }, - { - "id": "ca-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(d)[2]" - } - ], - "prose": "provides the results of the security control assessment to organization-defined\n individuals or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting" - } - ] - }, - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "parameters": [ - { - "id": "ca-2.1_prm_1", - "label": "organization-defined level of independence" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2(1)" - }, - { - "name": "sort-id", - "value": "ca-02.01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments." - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments." - }, - { - "id": "ca-2.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(1)[1]" - } - ], - "prose": "defines the level of independence to be employed to conduct security control\n assessments; and" - }, - { - "id": "ca-2.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(1)[2]" - } - ], - "prose": "employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "System Interconnections", - "parameters": [ - { - "id": "ca-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually and on input from FedRAMP" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-3" - }, - { - "name": "sort-id", - "value": "ca-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#2711f068-734e-4afd-94ba-0b22247fbc88", - "rel": "reference", - "text": "NIST Special Publication 800-47" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(a)" - } - ], - "prose": "authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)" - } - ], - "prose": "documents, for each interconnection:", - "parts": [ - { - "id": "ca-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[2]" - } - ], - "prose": "the security requirements;" - }, - { - "id": "ca-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[3]" - } - ], - "prose": "the nature of the information communicated;" - } - ] - }, - { - "id": "ca-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(c)" - } - ], - "parts": [ - { - "id": "ca-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(c)[1]" - } - ], - "prose": "defines the frequency to review and update Interconnection Security Agreements;\n and" - }, - { - "id": "ca-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(c)[2]" - } - ], - "prose": "reviews and updates Interconnection Security Agreements with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured." - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "parameters": [ - { - "id": "ca-5_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-5" - }, - { - "name": "sort-id", - "value": "ca-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#2c5884cd-7b96-425c-862a-99877e1cf909", - "rel": "reference", - "text": "OMB Memorandum 02-01" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities." - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-4", - "rel": "related", - "text": "PM-4" - } - ] - }, - { - "id": "ca-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)" - } - ], - "prose": "develops a plan of action and milestones for the information system to:", - "parts": [ - { - "id": "ca-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[1]" - } - ], - "prose": "document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;" - }, - { - "id": "ca-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[2]" - } - ], - "prose": "reduce or eliminate known vulnerabilities in the system;" - } - ] - }, - { - "id": "ca-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)" - } - ], - "parts": [ - { - "id": "ca-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[1]" - } - ], - "prose": "defines the frequency to update the existing plan of action and milestones;" - }, - { - "id": "ca-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2]" - } - ], - "prose": "updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:", - "parts": [ - { - "id": "ca-5.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][a]" - } - ], - "prose": "security controls assessments;" - }, - { - "id": "ca-5.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][b]" - } - ], - "prose": "security impact analyses; and" - }, - { - "id": "ca-5.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][c]" - } - ], - "prose": "continuous monitoring activities." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring\n Requirements." - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Security Authorization", - "parameters": [ - { - "id": "ca-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-6" - }, - { - "name": "sort-id", - "value": "ca-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab", - "rel": "reference", - "text": "OMB Circular A-130" - }, - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Updates the security authorization {{ ca-6_prm_1 }}." - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-10", - "rel": "related", - "text": "PM-10" - } - ] - }, - { - "id": "ca-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(a)" - } - ], - "prose": "assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(b)" - } - ], - "prose": "ensures that the authorizing official authorizes the information system for\n processing before commencing operations;" - }, - { - "id": "ca-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(c)" - } - ], - "parts": [ - { - "id": "ca-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(c)[1]" - } - ], - "prose": "defines the frequency to update the security authorization; and" - }, - { - "id": "ca-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(c)[2]" - } - ], - "prose": "updates the security authorization with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate security authorizations and updates" - } - ] - }, - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F. The service provider describes the types of changes to the\n information system or the environment of operations that would impact the risk\n posture. The types of changes are approved and accepted by the Authorizing\n Official." - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "parameters": [ - { - "id": "ca-7_prm_1", - "label": "organization-defined metrics" - }, - { - "id": "ca-7_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_4", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - { - "id": "ca-7_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-7" - }, - { - "name": "sort-id", - "value": "ca-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb", - "rel": "reference", - "text": "US-CERT Technical Cyber Security Alerts" - }, - { - "href": "#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b", - "rel": "reference", - "text": "DoD Information Assurance Vulnerability Alerts" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishment of {{ ca-7_prm_1 }} to be monitored;" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of security-related information generated by assessments\n and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of security-related\n information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}." - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-6", - "rel": "related", - "text": "PM-6" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ca-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)" - } - ], - "parts": [ - { - "id": "ca-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines metrics to be\n monitored;" - }, - { - "id": "ca-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;" - }, - { - "id": "ca-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)[3]" - } - ], - "prose": "implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;" - } - ] - }, - { - "id": "ca-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)" - } - ], - "parts": [ - { - "id": "ca-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines frequencies for\n monitoring;" - }, - { - "id": "ca-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)[2]" - } - ], - "prose": "defines frequencies for assessments supporting monitoring;" - }, - { - "id": "ca-7.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;" - }, - { - "id": "ca-7.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(c)" - } - ], - "parts": [ - { - "id": "ca-7.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(c)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security\n control assessments;" - }, - { - "id": "ca-7.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(c)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(d)" - } - ], - "parts": [ - { - "id": "ca-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(d)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;" - }, - { - "id": "ca-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(d)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(e)" - } - ], - "parts": [ - { - "id": "ca-7.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(e)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;" - }, - { - "id": "ca-7.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(e)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(f)" - } - ], - "parts": [ - { - "id": "ca-7.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(f)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;" - }, - { - "id": "ca-7.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(f)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)" - } - ], - "parts": [ - { - "id": "ca-7.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;" - }, - { - "id": "ca-7.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;" - }, - { - "id": "ca-7.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and" - }, - { - "id": "ca-7.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing continuous monitoring" - } - ] - }, - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities\n within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "parameters": [ - { - "id": "ca-9_prm_1", - "label": "organization-defined information system components or classes of\n components" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-9" - }, - { - "name": "sort-id", - "value": "ca-09" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(a)" - } - ], - "parts": [ - { - "id": "ca-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(a)[1]" - } - ], - "prose": "defines information system components or classes of components to be authorized\n as internal connections to the information system;" - }, - { - "id": "ca-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(a)[2]" - } - ], - "prose": "authorizes internal connections of organization-defined information system\n components or classes of components to the information system;" - } - ] - }, - { - "id": "ca-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)" - } - ], - "prose": "documents, for each internal connection:", - "parts": [ - { - "id": "ca-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[2]" - } - ], - "prose": "the security requirements; and" - }, - { - "id": "ca-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[3]" - } - ], - "prose": "the nature of the information communicated." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured." - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Configuration Management Policy and Procedures", - "parameters": [ - { - "id": "cm-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "cm-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-1" - }, - { - "name": "sort-id", - "value": "cm-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cm-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Configuration management policy {{ cm-1_prm_2 }}; and" - }, - { - "id": "cm-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Configuration management procedures {{ cm-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cm-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1]" - } - ], - "prose": "develops and documents a configuration management policy that addresses:", - "parts": [ - { - "id": "cm-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cm-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cm-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cm-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cm-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cm-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cm-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cm-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the configuration management policy is to\n be disseminated;" - }, - { - "id": "cm-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[3]" - } - ], - "prose": "disseminates the configuration management policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "cm-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)" - } - ], - "parts": [ - { - "id": "cm-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;" - }, - { - "id": "cm-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cm-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cm-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(1)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management policy;" - }, - { - "id": "cm-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current configuration management policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "cm-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(2)" - } - ], - "parts": [ - { - "id": "cm-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management procedures; and" - }, - { - "id": "cm-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current configuration management procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "properties": [ - { - "name": "label", - "value": "CM-2" - }, - { - "name": "sort-id", - "value": "cm-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "prose": "The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system." - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - } - ] - }, - { - "id": "cm-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2[1]" - } - ], - "prose": "develops and documents a current baseline configuration of the information system;\n and" - }, - { - "id": "cm-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2[2]" - } - ], - "prose": "maintains, under configuration control, a current baseline configuration of the\n information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration" - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Security Impact Analysis", - "properties": [ - { - "name": "label", - "value": "CM-4" - }, - { - "name": "sort-id", - "value": "cm-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "cm-4_obj", - "name": "objective", - "prose": "Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analysis" - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "parameters": [ - { - "id": "cm-6_prm_1", - "label": "organization-defined security configuration checklists", - "constraints": [ - { - "detail": "see CM-6(a) Additional FedRAMP Requirements and Guidance" - } - ] - }, - { - "id": "cm-6_prm_2", - "label": "organization-defined information system components" - }, - { - "id": "cm-6_prm_3", - "label": "organization-defined operational requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-6" - }, - { - "name": "sort-id", - "value": "cm-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#990268bf-f4a9-4c81-91ae-dc7d3115f4b1", - "rel": "reference", - "text": "OMB Memorandum 07-11" - }, - { - "href": "#0b3d8ba9-051f-498d-81ea-97f0f018c612", - "rel": "reference", - "text": "OMB Memorandum 07-18" - }, - { - "href": "#0916ef02-3618-411b-a525-565c088849a6", - "rel": "reference", - "text": "OMB Memorandum 08-22" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - }, - { - "href": "#e95dd121-2733-413e-bf1e-f1eb49f20a98", - "rel": "reference", - "text": "http://checklists.nist.gov" - }, - { - "href": "#647b6de3-81d0-4d22-bec1-5f1333e34380", - "rel": "reference", - "text": "http://www.nsa.gov" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures." - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "cm-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)" - } - ], - "parts": [ - { - "id": "cm-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)[1]" - } - ], - "prose": "defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;" - }, - { - "id": "cm-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)[2]" - } - ], - "prose": "ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;" - }, - { - "id": "cm-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)[3]" - } - ], - "prose": "establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;" - } - ] - }, - { - "id": "cm-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(b)" - } - ], - "prose": "implements the configuration settings established/documented in CM-6(a);;" - }, - { - "id": "cm-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)" - } - ], - "parts": [ - { - "id": "cm-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1]" - } - ], - "prose": "defines information system components for which any deviations from established\n configuration settings must be:", - "parts": [ - { - "id": "cm-6.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][a]" - } - ], - "prose": "identified;" - }, - { - "id": "cm-6.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][b]" - } - ], - "prose": "documented;" - }, - { - "id": "cm-6.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][c]" - } - ], - "prose": "approved;" - } - ] - }, - { - "id": "cm-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2]" - } - ], - "prose": "defines operational requirements to support:", - "parts": [ - { - "id": "cm-6.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][a]" - } - ], - "prose": "the identification of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][b]" - } - ], - "prose": "the documentation of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][c]" - } - ], - "prose": "the approval of any deviations from established configuration settings;" - } - ] - }, - { - "id": "cm-6.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[3]" - } - ], - "prose": "identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[4]" - } - ], - "prose": "documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[5]" - } - ], - "prose": "approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - } - ] - }, - { - "id": "cm-6.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(d)" - } - ], - "parts": [ - { - "id": "cm-6.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(d)[1]" - } - ], - "prose": "monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and" - }, - { - "id": "cm-6.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(d)[2]" - } - ], - "prose": "controls changes to the configuration settings in accordance with\n organizational policies and procedures." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Required - Specifically include details of least functionality." - }, - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines\n (Level 1) to establish configuration settings or establishes its own\n configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings\n are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP\n compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "parameters": [ - { - "id": "cm-7_prm_1", - "label": "organization-defined prohibited or restricted functions, ports, protocols, and/or\n services" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-7" - }, - { - "name": "sort-id", - "value": "cm-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#e42b2099-3e1c-415b-952c-61c96533c12e", - "rel": "reference", - "text": "DoD Instruction 8551.01" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configures the information system to provide only essential capabilities; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}." - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(a)" - } - ], - "prose": "configures the information system to provide only essential capabilities;" - }, - { - "id": "cm-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)" - } - ], - "parts": [ - { - "id": "cm-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1]" - } - ], - "prose": "defines prohibited or restricted:", - "parts": [ - { - "id": "cm-7.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2]" - } - ], - "prose": "prohibits or restricts the use of organization-defined:", - "parts": [ - { - "id": "cm-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][d]" - } - ], - "prose": "services." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "Information System Component Inventory", - "parameters": [ - { - "id": "cm-8_prm_1", - "label": "organization-defined information deemed necessary to achieve effective\n information system component accountability" - }, - { - "id": "cm-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-8" - }, - { - "name": "sort-id", - "value": "cm-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents an inventory of information system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accurately reflects the current information system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting;\n and" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Includes {{ cm-8_prm_1 }}; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the information system component inventory {{ cm-8_prm_2 }}." - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - } - ] - }, - { - "id": "cm-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)" - } - ], - "parts": [ - { - "id": "cm-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(1)" - } - ], - "prose": "develops and documents an inventory of information system components that\n accurately reflects the current information system;" - }, - { - "id": "cm-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(2)" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(3)" - } - ], - "prose": "develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;" - }, - { - "id": "cm-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(4)" - } - ], - "parts": [ - { - "id": "cm-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(4)[1]" - } - ], - "prose": "defines the information deemed necessary to achieve effective information\n system component accountability;" - }, - { - "id": "cm-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(4)[2]" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;" - } - ] - } - ] - }, - { - "id": "cm-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(b)" - } - ], - "parts": [ - { - "id": "cm-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(b)[1]" - } - ], - "prose": "defines the frequency to review and update the information system component\n inventory; and" - }, - { - "id": "cm-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(b)[2]" - } - ], - "prose": "reviews and updates the information system component inventory with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory" - } - ] - }, - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "properties": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "cm-10" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-10_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-10(a)" - } - ], - "prose": "uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-10(b)" - } - ], - "prose": "tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-10(c)" - } - ], - "prose": "controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO- Not directly related to protection of the data." - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "parameters": [ - { - "id": "cm-11_prm_1", - "label": "organization-defined policies" - }, - { - "id": "cm-11_prm_2", - "label": "organization-defined methods" - }, - { - "id": "cm-11_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "cm-11" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforces software installation policies through {{ cm-11_prm_2 }};\n and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitors policy compliance at {{ cm-11_prm_3 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "cm-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(a)" - } - ], - "parts": [ - { - "id": "cm-11.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(a)[1]" - } - ], - "prose": "defines policies to govern the installation of software by users;" - }, - { - "id": "cm-11.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(a)[2]" - } - ], - "prose": "establishes organization-defined policies governing the installation of\n software by users;" - } - ] - }, - { - "id": "cm-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(b)" - } - ], - "parts": [ - { - "id": "cm-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(b)[1]" - } - ], - "prose": "defines methods to enforce software installation policies;" - }, - { - "id": "cm-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(b)[2]" - } - ], - "prose": "enforces software installation policies through organization-defined\n methods;" - } - ] - }, - { - "id": "cm-11.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(c)" - } - ], - "parts": [ - { - "id": "cm-11.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(c)[1]" - } - ], - "prose": "defines frequency to monitor policy compliance; and" - }, - { - "id": "cm-11.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(c)[2]" - } - ], - "prose": "monitors policy compliance at organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Boundary is specific to SaaS environment; all access is via web services;\n users' machine or internal network are not contemplated. External services (SA-9),\n internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and\n SC-13), and privileged authentication (IA-2[1]) are considerations." - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Contingency Planning Policy and Procedures", - "parameters": [ - { - "id": "cp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "cp-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-1" - }, - { - "name": "sort-id", - "value": "cp-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Contingency planning policy {{ cp-1_prm_2 }}; and" - }, - { - "id": "cp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Contingency planning procedures {{ cp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cp-1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1]" - } - ], - "prose": "the organization develops and documents a contingency planning policy that\n addresses:", - "parts": [ - { - "id": "cp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;" - }, - { - "id": "cp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[3]" - } - ], - "prose": "the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "cp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)" - } - ], - "parts": [ - { - "id": "cp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)[1]" - } - ], - "prose": "the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;" - }, - { - "id": "cp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)[3]" - } - ], - "prose": "the organization disseminates the procedures to organization-defined\n personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(1)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(1)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning policy;" - }, - { - "id": "cp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(1)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning with\n the organization-defined frequency;" - } - ] - }, - { - "id": "cp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(2)" - } - ], - "parts": [ - { - "id": "cp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(2)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning procedures; and" - }, - { - "id": "cp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(2)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "parameters": [ - { - "id": "cp-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_2", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - }, - { - "id": "cp-2_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cp-2_prm_4", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-2" - }, - { - "name": "sort-id", - "value": "cp-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with\n contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is reviewed and approved by {{ cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the contingency plan to {{ cp-2_prm_2 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the contingency plan for the information system {{ cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicates contingency plan changes to {{ cp-2_prm_4 }}; and" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protects the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.", - "links": [ - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "cp-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)" - } - ], - "prose": "develops and documents a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(1)" - } - ], - "prose": "identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)" - } - ], - "parts": [ - { - "id": "cp-2.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[1]" - } - ], - "prose": "provides recovery objectives;" - }, - { - "id": "cp-2.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[2]" - } - ], - "prose": "provides restoration priorities;" - }, - { - "id": "cp-2.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[3]" - } - ], - "prose": "provides metrics;" - } - ] - }, - { - "id": "cp-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)" - } - ], - "parts": [ - { - "id": "cp-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[1]" - } - ], - "prose": "addresses contingency roles;" - }, - { - "id": "cp-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[2]" - } - ], - "prose": "addresses contingency responsibilities;" - }, - { - "id": "cp-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[3]" - } - ], - "prose": "addresses assigned individuals with contact information;" - } - ] - }, - { - "id": "cp-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(4)" - } - ], - "prose": "addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(5)" - } - ], - "prose": "addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;" - }, - { - "id": "cp-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(6)" - } - ], - "parts": [ - { - "id": "cp-2.a.6_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(6)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the contingency plan for\n the information system;" - }, - { - "id": "cp-2.a.6_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(6)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(b)" - } - ], - "parts": [ - { - "id": "cp-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(b)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;" - }, - { - "id": "cp-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(b)[2]" - } - ], - "prose": "distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;" - } - ] - }, - { - "id": "cp-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(c)" - } - ], - "prose": "coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(d)" - } - ], - "parts": [ - { - "id": "cp-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(d)[1]" - } - ], - "prose": "defines a frequency to review the contingency plan for the information\n system;" - }, - { - "id": "cp-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(d)[2]" - } - ], - "prose": "reviews the contingency plan with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(e)" - } - ], - "prose": "updates the contingency plan to address:", - "parts": [ - { - "id": "cp-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(e)[1]" - } - ], - "prose": "changes to the organization, information system, or environment of\n operation;" - }, - { - "id": "cp-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(e)[2]" - } - ], - "prose": "problems encountered during plan implementation, execution, and testing;" - } - ] - }, - { - "id": "cp-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(f)" - } - ], - "parts": [ - { - "id": "cp-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(f)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;" - }, - { - "id": "cp-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(f)[2]" - } - ], - "prose": "communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and" - } - ] - }, - { - "id": "cp-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(g)" - } - ], - "prose": "protects the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "parameters": [ - { - "id": "cp-3_prm_1", - "label": "organization-defined time period" - }, - { - "id": "cp-3_prm_2", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-3" - }, - { - "name": "sort-id", - "value": "cp-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "prose": "The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;" - }, - { - "id": "cp-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "cp-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ cp-3_prm_2 }} thereafter." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - } - ] - }, - { - "id": "cp-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(a)" - } - ], - "parts": [ - { - "id": "cp-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(a)[1]" - } - ], - "prose": "defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;" - }, - { - "id": "cp-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(a)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;" - } - ] - }, - { - "id": "cp-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(b)" - } - ], - "prose": "provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;" - }, - { - "id": "cp-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(c)" - } - ], - "parts": [ - { - "id": "cp-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(c)[1]" - } - ], - "prose": "defines the frequency for contingency training thereafter; and" - }, - { - "id": "cp-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(c)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "parameters": [ - { - "id": "cp-4_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "cp-4_prm_2", - "label": "organization-defined tests" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-4" - }, - { - "name": "sort-id", - "value": "cp-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf", - "rel": "reference", - "text": "NIST Special Publication 800-84" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;" - }, - { - "id": "cp-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiates corrective actions, if needed." - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - } - ] - }, - { - "id": "cp-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)" - } - ], - "parts": [ - { - "id": "cp-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)[1]" - } - ], - "prose": "defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;" - }, - { - "id": "cp-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)[2]" - } - ], - "prose": "defines a frequency to test the contingency plan for the information\n system;" - }, - { - "id": "cp-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)[3]" - } - ], - "prose": "tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;" - } - ] - }, - { - "id": "cp-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(b)" - } - ], - "prose": "reviews the contingency plan test results; and" - }, - { - "id": "cp-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(c)" - } - ], - "prose": "initiates corrective actions, if needed." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "Information System Backup", - "parameters": [ - { - "id": "cp-9_prm_1", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_2", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_3", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CP-9" - }, - { - "name": "sort-id", - "value": "cp-09" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects the confidentiality, integrity, and availability of backup information at\n storage locations." - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "cp-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(a)" - } - ], - "parts": [ - { - "id": "cp-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(a)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;" - }, - { - "id": "cp-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(a)[2]" - } - ], - "prose": "conducts backups of user-level information contained in the information system\n with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(b)" - } - ], - "parts": [ - { - "id": "cp-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(b)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;" - }, - { - "id": "cp-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(b)[2]" - } - ], - "prose": "conducts backups of system-level information contained in the information\n system with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(c)" - } - ], - "parts": [ - { - "id": "cp-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(c)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;" - }, - { - "id": "cp-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(c)[2]" - } - ], - "prose": "conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and" - } - ] - }, - { - "id": "cp-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(d)" - } - ], - "prose": "protects the confidentiality, integrity, and availability of backup information at\n storage locations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups" - } - ] - }, - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment\n require the Information System Backup control. The service provider shall\n determine how Information System Backup is going to be verified and appropriate\n periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level\n information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level\n information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information\n system documentation including security information (at least one of which is\n available online)." - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "Information System Recovery and Reconstitution", - "properties": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "cp-10" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "cp-10_obj", - "name": "objective", - "prose": "Determine if the organization provides for: ", - "parts": [ - { - "id": "cp-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1]" - } - ], - "prose": "the recovery of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][c]" - } - ], - "prose": "a failure;" - } - ] - }, - { - "id": "cp-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2]" - } - ], - "prose": "the reconstitution of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][c]" - } - ], - "prose": "a failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Identification and Authentication Policy and Procedures", - "parameters": [ - { - "id": "ia-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ia-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-1" - }, - { - "name": "sort-id", - "value": "ia-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ia-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identification and authentication policy {{ ia-1_prm_2 }};\n and" - }, - { - "id": "ia-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identification and authentication procedures {{ ia-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ia-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ia-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1]" - } - ], - "prose": "develops and documents an identification and authentication policy that\n addresses:", - "parts": [ - { - "id": "ia-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ia-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ia-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ia-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ia-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ia-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ia-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ia-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and" - }, - { - "id": "ia-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[3]" - } - ], - "prose": "disseminates the identification and authentication policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ia-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ia-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;" - }, - { - "id": "ia-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ia-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ia-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication policy;" - }, - { - "id": "ia-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "ia-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ia-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication procedures; and" - }, - { - "id": "ia-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-2" - }, - { - "name": "sort-id", - "value": "ia-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "ia-2_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication - specifically include description\n of management of service accounts." - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(1)" - }, - { - "name": "sort-id", - "value": "ia-02.01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for network access to\n privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.1_obj", - "name": "objective", - "prose": "Determine if the information system implements multifactor authentication for\n network access to privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "properties": [ - { - "name": "label", - "value": "IA-2(12)" - }, - { - "name": "sort-id", - "value": "ia-02.12" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials." - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-2.12_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-2.12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-2(12)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials; and" - }, - { - "id": "ia-2.12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-2(12)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP." - }, - { - "id": "ia-2.12_fr", - "name": "item", - "title": "IA-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include Common Access Card (CAC), i.e., the DoD technical implementation of\n PIV/FIPS 201/HSPD-12." - } - ] - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "parameters": [ - { - "id": "ia-4_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-4_prm_2", - "label": "organization-defined time period" - }, - { - "id": "ia-4_prm_3", - "label": "organization-defined time period of inactivity" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-4" - }, - { - "name": "sort-id", - "value": "ia-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "The organization manages information system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, or device;" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and" - }, - { - "id": "ia-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disabling the identifier after {{ ia-4_prm_3 }}." - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#sc-37", - "rel": "related", - "text": "SC-37" - } - ] - }, - { - "id": "ia-4_obj", - "name": "objective", - "prose": "Determine if the organization manages information system identifiers by: ", - "parts": [ - { - "id": "ia-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)" - } - ], - "parts": [ - { - "id": "ia-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1]" - } - ], - "prose": "defining personnel or roles from whom authorization must be received to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][d]" - } - ], - "prose": "a device identifier;" - } - ] - }, - { - "id": "ia-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2]" - } - ], - "prose": "receiving authorization from organization-defined personnel or roles to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][d]" - } - ], - "prose": "a device identifier;" - } - ] - } - ] - }, - { - "id": "ia-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)" - } - ], - "prose": "selecting an identifier that identifies:", - "parts": [ - { - "id": "ia-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[1]" - } - ], - "prose": "an individual;" - }, - { - "id": "ia-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[2]" - } - ], - "prose": "a group;" - }, - { - "id": "ia-4.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[3]" - } - ], - "prose": "a role; and/or" - }, - { - "id": "ia-4.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[4]" - } - ], - "prose": "a device;" - } - ] - }, - { - "id": "ia-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)" - } - ], - "prose": "assigning the identifier to the intended:", - "parts": [ - { - "id": "ia-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[1]" - } - ], - "prose": "individual;" - }, - { - "id": "ia-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[2]" - } - ], - "prose": "group;" - }, - { - "id": "ia-4.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[3]" - } - ], - "prose": "role; and/or" - }, - { - "id": "ia-4.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[4]" - } - ], - "prose": "device;" - } - ] - }, - { - "id": "ia-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(d)" - } - ], - "parts": [ - { - "id": "ia-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(d)[1]" - } - ], - "prose": "defining a time period for preventing reuse of identifiers;" - }, - { - "id": "ia-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(d)[2]" - } - ], - "prose": "preventing reuse of identifiers for the organization-defined time period;" - } - ] - }, - { - "id": "ia-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(e)" - } - ], - "parts": [ - { - "id": "ia-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(e)[1]" - } - ], - "prose": "defining a time period of inactivity to disable the identifier; and" - }, - { - "id": "ia-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(e)[2]" - } - ], - "prose": "disabling the identifier after the organization-defined time period of\n inactivity." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "parameters": [ - { - "id": "ia-5_prm_1", - "label": "organization-defined time period by authenticator type" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5" - }, - { - "name": "sort-id", - "value": "ia-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "The organization manages information system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changing/refreshing authenticators {{ ia-5_prm_1 }};" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and\n modification;" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and" - }, - { - "id": "ia-5_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Changing authenticators for group/role accounts when membership to those accounts\n changes." - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "ia-5_obj", - "name": "objective", - "prose": "Determine if the organization manages information system authenticators by: ", - "parts": [ - { - "id": "ia-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)" - } - ], - "prose": "verifying, as part of the initial authenticator distribution, the identity of:", - "parts": [ - { - "id": "ia-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[1]" - } - ], - "prose": "the individual receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[2]" - } - ], - "prose": "the group receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[3]" - } - ], - "prose": "the role receiving the authenticator; and/or" - }, - { - "id": "ia-5.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[4]" - } - ], - "prose": "the device receiving the authenticator;" - } - ] - }, - { - "id": "ia-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(b)" - } - ], - "prose": "establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(c)" - } - ], - "prose": "ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)" - } - ], - "parts": [ - { - "id": "ia-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)[1]" - } - ], - "prose": "establishing and implementing administrative procedures for initial\n authenticator distribution;" - }, - { - "id": "ia-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)[2]" - } - ], - "prose": "establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;" - }, - { - "id": "ia-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)[3]" - } - ], - "prose": "establishing and implementing administrative procedures for revoking\n authenticators;" - } - ] - }, - { - "id": "ia-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(e)" - } - ], - "prose": "changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)" - } - ], - "parts": [ - { - "id": "ia-5.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)[1]" - } - ], - "prose": "establishing minimum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)[2]" - } - ], - "prose": "establishing maximum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)[3]" - } - ], - "prose": "establishing reuse conditions for authenticators;" - } - ] - }, - { - "id": "ia-5.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(g)" - } - ], - "parts": [ - { - "id": "ia-5.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(g)[1]" - } - ], - "prose": "defining a time period (by authenticator type) for changing/refreshing\n authenticators;" - }, - { - "id": "ia-5.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(g)[2]" - } - ], - "prose": "changing/refreshing authenticators with the organization-defined time period by\n authenticator type;" - } - ] - }, - { - "id": "ia-5.h_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)" - } - ], - "prose": "protecting authenticator content from unauthorized:", - "parts": [ - { - "id": "ia-5.h_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[1]" - } - ], - "prose": "disclosure;" - }, - { - "id": "ia-5.h_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[2]" - } - ], - "prose": "modification;" - } - ] - }, - { - "id": "ia-5.i_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(i)" - } - ], - "parts": [ - { - "id": "ia-5.i_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(i)[1]" - } - ], - "prose": "requiring individuals to take specific security safeguards to protect\n authenticators;" - }, - { - "id": "ia-5.i_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(i)[2]" - } - ], - "prose": "having devices implement specific security safeguards to protect\n authenticators; and" - } - ] - }, - { - "id": "ia-5.j_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(j)" - } - ], - "prose": "changing authenticators for group/role accounts when membership to those accounts\n changes." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "parameters": [ - { - "id": "ia-5.1_prm_1", - "label": "organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type" - }, - { - "id": "ia-5.1_prm_2", - "label": "organization-defined number" - }, - { - "id": "ia-5.1_prm_3", - "label": "organization-defined numbers for lifetime minimum, lifetime maximum" - }, - { - "id": "ia-5.1_prm_4", - "label": "organization-defined number" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(1)" - }, - { - "name": "sort-id", - "value": "ia-05.01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "The information system, for password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforces minimum password complexity of {{ ia-5.1_prm_1 }};" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Stores and transmits only cryptographically-protected passwords;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allows the use of a temporary password for system logons with an immediate\n change to a permanent password." - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.", - "links": [ - { - "href": "#ia-6", - "rel": "related", - "text": "IA-6" - } - ] - }, - { - "id": "ia-5.1_obj", - "name": "objective", - "prose": "Determine if, for password-based authentication: ", - "parts": [ - { - "id": "ia-5.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)" - } - ], - "parts": [ - { - "id": "ia-5.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)[1]" - } - ], - "prose": "the organization defines requirements for case sensitivity;" - }, - { - "id": "ia-5.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)[2]" - } - ], - "prose": "the organization defines requirements for number of characters;" - }, - { - "id": "ia-5.1.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)[3]" - } - ], - "prose": "the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;" - }, - { - "id": "ia-5.1.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)[4]" - } - ], - "prose": "the organization defines minimum requirements for each type of\n character;" - }, - { - "id": "ia-5.1.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)[5]" - } - ], - "prose": "the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.a", - "rel": "corresp", - "text": "IA-5(1)(a)" - } - ] - }, - { - "id": "ia-5.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(b)" - } - ], - "parts": [ - { - "id": "ia-5.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(b)[1]" - } - ], - "prose": "the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;" - }, - { - "id": "ia-5.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(b)[2]" - } - ], - "prose": "the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.b", - "rel": "corresp", - "text": "IA-5(1)(b)" - } - ] - }, - { - "id": "ia-5.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(c)" - } - ], - "prose": "the information system stores and transmits only encrypted representations of\n passwords;", - "links": [ - { - "href": "#ia-5.1_smt.c", - "rel": "corresp", - "text": "IA-5(1)(c)" - } - ] - }, - { - "id": "ia-5.1.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)" - } - ], - "parts": [ - { - "id": "ia-5.1.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)[1]" - } - ], - "prose": "the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)[2]" - } - ], - "prose": "the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)[3]" - } - ], - "prose": "the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;" - }, - { - "id": "ia-5.1.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)[4]" - } - ], - "prose": "the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.d", - "rel": "corresp", - "text": "IA-5(1)(d)" - } - ] - }, - { - "id": "ia-5.1.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(e)" - } - ], - "parts": [ - { - "id": "ia-5.1.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(e)[1]" - } - ], - "prose": "the organization defines the number of password generations to be prohibited\n from password reuse;" - }, - { - "id": "ia-5.1.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(e)[2]" - } - ], - "prose": "the information system prohibits password reuse for the organization-defined\n number of generations; and" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.e", - "rel": "corresp", - "text": "IA-5(1)(e)" - } - ] - }, - { - "id": "ia-5.1.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(f)" - } - ], - "prose": "the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.", - "links": [ - { - "href": "#ia-5.1_smt.f", - "rel": "corresp", - "text": "IA-5(1)(f)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based\n authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "parameters": [ - { - "id": "ia-5.11_prm_1", - "label": "organization-defined token quality requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(11)" - }, - { - "name": "sort-id", - "value": "ia-05.11" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ia-5.11_smt", - "name": "statement", - "prose": "The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}." - }, - { - "id": "ia-5.11_gdn", - "name": "guidance", - "prose": "Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI." - }, - { - "id": "ia-5.11_obj", - "name": "objective", - "prose": "Determine if, for hardware token-based authentication: ", - "parts": [ - { - "id": "ia-5.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(11)[1]" - } - ], - "prose": "the organization defines token quality requirements to be satisfied; and" - }, - { - "id": "ia-5.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(11)[2]" - } - ], - "prose": "the information system employs mechanisms that satisfy organization-defined\n token quality requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "FED - for Federal privileged users. Condition - Must document and assess for\n privileged users. May attest to this control for non-privileged users." - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authenticator Feedback", - "properties": [ - { - "name": "label", - "value": "IA-6" - }, - { - "name": "sort-id", - "value": "ia-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.", - "links": [ - { - "href": "#pe-18", - "rel": "related", - "text": "PE-18" - } - ] - }, - { - "id": "ia-6_obj", - "name": "objective", - "prose": "Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication" - } - ] - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "properties": [ - { - "name": "label", - "value": "IA-7" - }, - { - "name": "sort-id", - "value": "ia-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#b09d1a31-d3c9-4138-a4f4-4c63816afd7d", - "rel": "reference", - "text": "http://csrc.nist.gov/groups/STM/cmvp/index.html" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ia-7_obj", - "name": "objective", - "prose": "Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic module\n authentication" - } - ] - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-8" - }, - { - "name": "sort-id", - "value": "ia-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#599fe9ba-4750-4450-9eeb-b95bd19a5e8f", - "rel": "reference", - "text": "OMB Memorandum 10-06-2011" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#654f21e2-f3bc-43b2-abdc-60ab8d09744b", - "rel": "reference", - "text": "National Strategy for Trusted Identities in\n Cyberspace" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "ia-8_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "properties": [ - { - "name": "label", - "value": "IA-8(1)" - }, - { - "name": "sort-id", - "value": "ia-08.01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.1_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-8(1)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials from other agencies;\n and" - }, - { - "id": "ia-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-8(1)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP." - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of Third-party Credentials", - "properties": [ - { - "name": "label", - "value": "IA-8(2)" - }, - { - "name": "sort-id", - "value": "ia-08.02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "prose": "The information system accepts only FICAM-approved third-party credentials." - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "ia-8.2_obj", - "name": "objective", - "prose": "Determine if the information system accepts only FICAM-approved third-party\n credentials. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP." - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "parameters": [ - { - "id": "ia-8.3_prm_1", - "label": "organization-defined information systems" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-8(3)" - }, - { - "name": "sort-id", - "value": "ia-08.03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ia-8.3_smt", - "name": "statement", - "prose": "The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials." - }, - { - "id": "ia-8.3_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-8.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-8(3)[1]" - } - ], - "prose": "defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and" - }, - { - "id": "ia-8.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-8(3)[2]" - } - ], - "prose": "employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-issued Profiles", - "properties": [ - { - "name": "label", - "value": "IA-8(4)" - }, - { - "name": "sort-id", - "value": "ia-08.04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "The information system conforms to FICAM-issued profiles." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.4_obj", - "name": "objective", - "prose": "Determine if the information system conforms to FICAM-issued profiles. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Incident Response Policy and Procedures", - "parameters": [ - { - "id": "ir-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ir-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-1" - }, - { - "name": "sort-id", - "value": "ir-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ir-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Incident response policy {{ ir-1_prm_2 }}; and" - }, - { - "id": "ir-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Incident response procedures {{ ir-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ir-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1]" - } - ], - "prose": "develops and documents an incident response policy that addresses:", - "parts": [ - { - "id": "ir-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ir-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ir-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ir-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ir-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ir-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ir-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ir-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the incident response policy is to be\n disseminated;" - }, - { - "id": "ir-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[3]" - } - ], - "prose": "disseminates the incident response policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ir-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)" - } - ], - "parts": [ - { - "id": "ir-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;" - }, - { - "id": "ir-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ir-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(1)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n policy;" - }, - { - "id": "ir-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current incident response policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ir-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(2)" - } - ], - "parts": [ - { - "id": "ir-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n procedures; and" - }, - { - "id": "ir-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current incident response procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "parameters": [ - { - "id": "ir-2_prm_1", - "label": "organization-defined time period" - }, - { - "id": "ir-2_prm_2", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-2" - }, - { - "name": "sort-id", - "value": "ir-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "prose": "The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "ir-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ ir-2_prm_2 }} thereafter." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(a)" - } - ], - "parts": [ - { - "id": "ir-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(a)[1]" - } - ], - "prose": "defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(a)[2]" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;" - } - ] - }, - { - "id": "ir-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(b)" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;" - }, - { - "id": "ir-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(c)" - } - ], - "parts": [ - { - "id": "ir-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and" - }, - { - "id": "ir-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(c)[2]" - } - ], - "prose": "after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "properties": [ - { - "name": "label", - "value": "IR-4" - }, - { - "name": "sort-id", - "value": "ir-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates incident handling activities with contingency planning activities;\n and" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly." - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)" - } - ], - "prose": "implements an incident handling capability for security incidents that\n includes:", - "parts": [ - { - "id": "ir-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[1]" - } - ], - "prose": "preparation;" - }, - { - "id": "ir-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[2]" - } - ], - "prose": "detection and analysis;" - }, - { - "id": "ir-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[3]" - } - ], - "prose": "containment;" - }, - { - "id": "ir-4.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[4]" - } - ], - "prose": "eradication;" - }, - { - "id": "ir-4.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[5]" - } - ], - "prose": "recovery;" - } - ] - }, - { - "id": "ir-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(b)" - } - ], - "prose": "coordinates incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)" - } - ], - "parts": [ - { - "id": "ir-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1]" - } - ], - "prose": "incorporates lessons learned from ongoing incident handling activities\n into:", - "parts": [ - { - "id": "ir-4.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][b]" - } - ], - "prose": "training;" - }, - { - "id": "ir-4.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][c]" - } - ], - "prose": "testing/exercises;" - } - ] - }, - { - "id": "ir-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2]" - } - ], - "prose": "implements the resulting changes accordingly to:", - "parts": [ - { - "id": "ir-4.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][b]" - } - ], - "prose": "training; and" - }, - { - "id": "ir-4.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][c]" - } - ], - "prose": "testing/exercises." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - }, - { - "id": "ir-4_fr", - "name": "item", - "title": "IR-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-4_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider ensures that individuals conducting incident handling meet\n personnel security requirements commensurate with the criticality/sensitivity\n of the information being processed, stored, and transmitted by the information\n system." - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "properties": [ - { - "name": "label", - "value": "IR-5" - }, - { - "name": "sort-id", - "value": "ir-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "The organization tracks and documents information system security incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5[1]" - } - ], - "prose": "tracks information system security incidents; and" - }, - { - "id": "ir-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5[2]" - } - ], - "prose": "documents information system security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents" - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "parameters": [ - { - "id": "ir-6_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - { - "id": "ir-6_prm_2", - "label": "organization-defined authorities" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-6" - }, - { - "name": "sort-id", - "value": "ir-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#02631467-668b-4233-989b-3dfded2fd184", - "rel": "reference", - "text": "http://www.us-cert.gov" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports security incident information to {{ ir-6_prm_2 }}." - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(a)" - } - ], - "parts": [ - { - "id": "ir-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(a)[1]" - } - ], - "prose": "defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;" - }, - { - "id": "ir-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(a)[2]" - } - ], - "prose": "requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;" - } - ] - }, - { - "id": "ir-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(b)" - } - ], - "parts": [ - { - "id": "ir-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(b)[1]" - } - ], - "prose": "defines authorities to whom security incident information is to be reported;\n and" - }, - { - "id": "ir-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(b)[2]" - } - ], - "prose": "reports security incident information to organization-defined authorities." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting" - } - ] - }, - { - "id": "ir-6_fr", - "name": "item", - "title": "IR-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Report security incident information according to FedRAMP Incident\n Communications Procedure." - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "properties": [ - { - "name": "label", - "value": "IR-7" - }, - { - "name": "sort-id", - "value": "ir-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ir-7_obj", - "name": "objective", - "prose": "Determine if the organization provides an incident response support resource:", - "parts": [ - { - "id": "ir-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[1]" - } - ], - "prose": "that is integral to the organizational incident response capability; and" - }, - { - "id": "ir-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[2]" - } - ], - "prose": "that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance" - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "parameters": [ - { - "id": "ir-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-8_prm_2", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements" - }, - { - "id": "ir-8_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "ir-8_prm_4", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-8" - }, - { - "name": "sort-id", - "value": "ir-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Is reviewed and approved by {{ ir-8_prm_1 }};" - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the incident response plan to {{ ir-8_prm_2 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the incident response plan {{ ir-8_prm_3 }};" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and" - }, - { - "id": "ir-8_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Protects the incident response plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - } - ] - }, - { - "id": "ir-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)" - } - ], - "prose": "develops an incident response plan that:", - "parts": [ - { - "id": "ir-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(1)" - } - ], - "prose": "provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(2)" - } - ], - "prose": "describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(3)" - } - ], - "prose": "provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)" - } - ], - "prose": "meets the unique requirements of the organization, which relate to:", - "parts": [ - { - "id": "ir-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[1]" - } - ], - "prose": "mission;" - }, - { - "id": "ir-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[2]" - } - ], - "prose": "size;" - }, - { - "id": "ir-8.a.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[3]" - } - ], - "prose": "structure;" - }, - { - "id": "ir-8.a.4_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[4]" - } - ], - "prose": "functions;" - } - ] - }, - { - "id": "ir-8.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(5)" - } - ], - "prose": "defines reportable incidents;" - }, - { - "id": "ir-8.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(6)" - } - ], - "prose": "provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(7)" - } - ], - "prose": "defines the resources and management support needed to effectively maintain and\n mature an incident response capability;" - }, - { - "id": "ir-8.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(8)" - } - ], - "parts": [ - { - "id": "ir-8.a.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(8)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the incident response\n plan;" - }, - { - "id": "ir-8.a.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(8)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[1]" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;" - }, - { - "id": "ir-8.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[1][b]" - } - ], - "prose": "defines organizational elements to whom copies of the incident response plan\n are to be distributed;" - } - ] - }, - { - "id": "ir-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[2]" - } - ], - "prose": "distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;" - } - ] - }, - { - "id": "ir-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(c)" - } - ], - "parts": [ - { - "id": "ir-8.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(c)[1]" - } - ], - "prose": "defines the frequency to review the incident response plan;" - }, - { - "id": "ir-8.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(c)[2]" - } - ], - "prose": "reviews the incident response plan with the organization-defined frequency;" - } - ] - }, - { - "id": "ir-8.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)" - } - ], - "prose": "updates the incident response plan to address system/organizational changes or\n problems encountered during plan:", - "parts": [ - { - "id": "ir-8.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[1]" - } - ], - "prose": "implementation;" - }, - { - "id": "ir-8.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[2]" - } - ], - "prose": "execution; or" - }, - { - "id": "ir-8.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[3]" - } - ], - "prose": "testing;" - } - ] - }, - { - "id": "ir-8.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[1]" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;" - }, - { - "id": "ir-8.e_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[1][b]" - } - ], - "prose": "defines organizational elements to whom incident response plan changes are\n to be communicated;" - } - ] - }, - { - "id": "ir-8.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[2]" - } - ], - "prose": "communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and" - } - ] - }, - { - "id": "ir-8.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(f)" - } - ], - "prose": "protects the incident response plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically attest to US-CERT compliance." - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "parameters": [ - { - "id": "ir-9_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_2", - "label": "organization-defined actions" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9" - }, - { - "name": "sort-id", - "value": "ir-09" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "The organization responds to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifying the specific information involved in the information system\n contamination;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Alerting {{ ir-9_prm_1 }} of the information spill using a method\n of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Isolating the contaminated information system or system component;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Eradicating the information from the contaminated information system or\n component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Identifying other information systems or system components that may have been\n subsequently contaminated; and" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Performing other {{ ir-9_prm_2 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where either classified or sensitive\n information is inadvertently placed on information systems that are not authorized to\n process such information. Such information spills often occur when information that\n is initially thought to be of lower sensitivity is transmitted to an information\n system and then is subsequently determined to be of higher sensitivity. At that\n point, corrective action is required. The nature of the organizational response is\n generally based upon the degree of sensitivity of the spilled information (e.g.,\n security category or classification level), the security capabilities of the\n information system, the specific nature of contaminated storage media, and the access\n authorizations (e.g., security clearances) of individuals with authorized access to\n the contaminated system. The methods used to communicate information about the spill\n after the fact do not involve methods directly associated with the actual spill to\n minimize the risk of further spreading the contamination before such contamination is\n isolated and eradicated." - }, - { - "id": "ir-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(a)" - } - ], - "prose": "responds to information spills by identifying the specific information causing the\n information system contamination;" - }, - { - "id": "ir-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(b)" - } - ], - "parts": [ - { - "id": "ir-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(b)[1]" - } - ], - "prose": "defines personnel to be alerted of the information spillage;" - }, - { - "id": "ir-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(b)[2]" - } - ], - "prose": "identifies a method of communication not associated with the information spill\n to use to alert organization-defined personnel of the spill;" - }, - { - "id": "ir-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(b)[3]" - } - ], - "prose": "responds to information spills by alerting organization-defined personnel of\n the information spill using a method of communication not associated with the\n spill;" - } - ] - }, - { - "id": "ir-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(c)" - } - ], - "prose": "responds to information spills by isolating the contaminated information\n system;" - }, - { - "id": "ir-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(d)" - } - ], - "prose": "responds to information spills by eradicating the information from the\n contaminated information system;" - }, - { - "id": "ir-9.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(e)" - } - ], - "prose": "responds to information spills by identifying other information systems that may\n have been subsequently contaminated;" - }, - { - "id": "ir-9.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(f)" - } - ], - "parts": [ - { - "id": "ir-9.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(f)[1]" - } - ], - "prose": "defines other actions to be performed in response to information spills;\n and" - }, - { - "id": "ir-9.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(f)[2]" - } - ], - "prose": "responds to information spills by performing other organization-defined\n actions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nrecords of information spillage alerts/notifications, list of personnel who should\n receive alerts of information spillage\\n\\nlist of actions to be performed regarding information spillage\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information spillage response\\n\\nautomated mechanisms supporting and/or implementing information spillage response\n actions and related communications" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically describe information spillage response processes." - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "System Maintenance Policy and Procedures", - "parameters": [ - { - "id": "ma-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ma-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-1" - }, - { - "name": "sort-id", - "value": "ma-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ma-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System maintenance policy {{ ma-1_prm_2 }}; and" - }, - { - "id": "ma-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System maintenance procedures {{ ma-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ma-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system maintenance policy that addresses:", - "parts": [ - { - "id": "ma-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ma-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ma-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ma-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ma-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ma-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ma-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ma-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system maintenance policy is to be\n disseminated;" - }, - { - "id": "ma-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system maintenance policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ma-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ma-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;" - }, - { - "id": "ma-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ma-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ma-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n policy;" - }, - { - "id": "ma-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system maintenance policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ma-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ma-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n procedures; and" - }, - { - "id": "ma-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system maintenance procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "parameters": [ - { - "id": "ma-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-2_prm_2", - "label": "organization-defined maintenance-related information" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-2" - }, - { - "name": "sort-id", - "value": "ma-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Includes {{ ma-2_prm_2 }} in organizational maintenance\n records." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ma-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)" - } - ], - "parts": [ - { - "id": "ma-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1]" - } - ], - "prose": "schedules maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2]" - } - ], - "prose": "performs maintenance and repairs on information system components in accordance\n with:", - "parts": [ - { - "id": "ma-2.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3]" - } - ], - "prose": "documents maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4]" - } - ], - "prose": "reviews records of maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][b]" - } - ], - "prose": "organizational requirements;" - } - ] - } - ] - }, - { - "id": "ma-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(b)" - } - ], - "parts": [ - { - "id": "ma-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(b)[1]" - } - ], - "prose": "approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - }, - { - "id": "ma-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(b)[2]" - } - ], - "prose": "monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - } - ] - }, - { - "id": "ma-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(c)" - } - ], - "parts": [ - { - "id": "ma-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(c)[1]" - } - ], - "prose": "defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(c)[2]" - } - ], - "prose": "requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;" - } - ] - }, - { - "id": "ma-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(d)" - } - ], - "prose": "sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(e)" - } - ], - "prose": "checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;" - }, - { - "id": "ma-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(f)" - } - ], - "parts": [ - { - "id": "ma-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(f)[1]" - } - ], - "prose": "defines maintenance-related information to be included in organizational\n maintenance records; and" - }, - { - "id": "ma-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(f)[2]" - } - ], - "prose": "includes organization-defined maintenance-related information in organizational\n maintenance records." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "properties": [ - { - "name": "label", - "value": "MA-4" - }, - { - "name": "sort-id", - "value": "ma-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#f2dbd4ec-c413-4714-b85b-6b7184d1c195", - "rel": "reference", - "text": "FIPS Publication 197" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a4aa9645-9a8a-4b51-90a9-e223250f9a75", - "rel": "reference", - "text": "CNSS Policy 15" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approves and monitors nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintains records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminates session and network connections when nonlocal maintenance is\n completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "ma-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(a)" - } - ], - "parts": [ - { - "id": "ma-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(a)[1]" - } - ], - "prose": "approves nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(a)[2]" - } - ], - "prose": "monitors nonlocal maintenance and diagnostic activities;" - } - ] - }, - { - "id": "ma-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)" - } - ], - "prose": "allows the use of nonlocal maintenance and diagnostic tools only:", - "parts": [ - { - "id": "ma-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[1]" - } - ], - "prose": "as consistent with organizational policy;" - }, - { - "id": "ma-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[2]" - } - ], - "prose": "as documented in the security plan for the information system;" - } - ] - }, - { - "id": "ma-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(c)" - } - ], - "prose": "employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(d)" - } - ], - "prose": "maintains records for nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(e)" - } - ], - "parts": [ - { - "id": "ma-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(e)[1]" - } - ], - "prose": "terminates sessions when nonlocal maintenance or diagnostics is completed;\n and" - }, - { - "id": "ma-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(e)[2]" - } - ], - "prose": "terminates network connections when nonlocal maintenance or diagnostics is\n completed." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections" - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "properties": [ - { - "name": "label", - "value": "MA-5" - }, - { - "name": "sort-id", - "value": "ma-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "ma-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(a)" - } - ], - "parts": [ - { - "id": "ma-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(a)[1]" - } - ], - "prose": "establishes a process for maintenance personnel authorization;" - }, - { - "id": "ma-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(a)[2]" - } - ], - "prose": "maintains a list of authorized maintenance organizations or personnel;" - } - ] - }, - { - "id": "ma-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(b)" - } - ], - "prose": "ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(c)" - } - ], - "prose": "designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Media Protection Policy and Procedures", - "parameters": [ - { - "id": "mp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "mp-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-1" - }, - { - "name": "sort-id", - "value": "mp-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "mp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Media protection policy {{ mp-1_prm_2 }}; and" - }, - { - "id": "mp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Media protection procedures {{ mp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "mp-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "mp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1]" - } - ], - "prose": "develops and documents a media protection policy that addresses:", - "parts": [ - { - "id": "mp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "mp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "mp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "mp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "mp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "mp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "mp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "mp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the media protection policy is to be\n disseminated;" - }, - { - "id": "mp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[3]" - } - ], - "prose": "disseminates the media protection policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "mp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)" - } - ], - "parts": [ - { - "id": "mp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;" - }, - { - "id": "mp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "mp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "mp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(1)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n policy;" - }, - { - "id": "mp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current media protection policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "mp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(2)" - } - ], - "parts": [ - { - "id": "mp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n procedures; and" - }, - { - "id": "mp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current media protection procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Media protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "parameters": [ - { - "id": "mp-2_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-2" - }, - { - "name": "sort-id", - "value": "mp-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "mp-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-2[1]" - } - ], - "prose": "defines types of digital and/or non-digital media requiring restricted access;" - }, - { - "id": "mp-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-2[2]" - } - ], - "prose": "defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and" - }, - { - "id": "mp-2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-2[3]" - } - ], - "prose": "restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "parameters": [ - { - "id": "mp-6_prm_1", - "label": "organization-defined information system media" - }, - { - "id": "mp-6_prm_2", - "label": "organization-defined sanitization techniques and procedures" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-6" - }, - { - "name": "sort-id", - "value": "mp-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a47466c4-c837-4f06-a39f-e68412a5f73d", - "rel": "reference", - "text": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.", - "links": [ - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-4", - "rel": "related", - "text": "SC-4" - } - ] - }, - { - "id": "mp-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)" - } - ], - "parts": [ - { - "id": "mp-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1]" - } - ], - "prose": "defines information system media to be sanitized prior to:", - "parts": [ - { - "id": "mp-6.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2]" - } - ], - "prose": "defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:", - "parts": [ - { - "id": "mp-6.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[3]" - } - ], - "prose": "sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and" - } - ] - }, - { - "id": "mp-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(b)" - } - ], - "prose": "employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "parameters": [ - { - "id": "mp-7_prm_1" - }, - { - "id": "mp-7_prm_2", - "label": "organization-defined types of information system media" - }, - { - "id": "mp-7_prm_3", - "label": "organization-defined information systems or system components" - }, - { - "id": "mp-7_prm_4", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-7" - }, - { - "name": "sort-id", - "value": "mp-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "prose": "The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}." - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "mp-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1]" - } - ], - "prose": "defines types of information system media to be:", - "parts": [ - { - "id": "mp-7_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][a]" - } - ], - "prose": "restricted on information systems or system components; or" - }, - { - "id": "mp-7_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][b]" - } - ], - "prose": "prohibited from use on information systems or system components;" - } - ] - }, - { - "id": "mp-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2]" - } - ], - "prose": "defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:", - "parts": [ - { - "id": "mp-7_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][a]" - } - ], - "prose": "restricted; or" - }, - { - "id": "mp-7_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][b]" - } - ], - "prose": "prohibited;" - } - ] - }, - { - "id": "mp-7_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[3]" - } - ], - "prose": "defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and" - }, - { - "id": "mp-7_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[4]" - } - ], - "prose": "restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Physical and Environmental Protection Policy and Procedures", - "parameters": [ - { - "id": "pe-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "pe-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-1" - }, - { - "name": "sort-id", - "value": "pe-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pe-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Physical and environmental protection policy {{ pe-1_prm_2 }};\n and" - }, - { - "id": "pe-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Physical and environmental protection procedures {{ pe-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pe-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pe-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1]" - } - ], - "prose": "develops and documents a physical and environmental protection policy that\n addresses:", - "parts": [ - { - "id": "pe-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pe-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pe-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pe-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pe-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pe-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pe-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pe-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;" - }, - { - "id": "pe-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[3]" - } - ], - "prose": "disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "pe-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)" - } - ], - "parts": [ - { - "id": "pe-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;" - }, - { - "id": "pe-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pe-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pe-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(1)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection policy;" - }, - { - "id": "pe-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "pe-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(2)" - } - ], - "parts": [ - { - "id": "pe-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection procedures; and" - }, - { - "id": "pe-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "parameters": [ - { - "id": "pe-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-2" - }, - { - "name": "sort-id", - "value": "pe-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issues authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.", - "links": [ - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "pe-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)" - } - ], - "parts": [ - { - "id": "pe-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)[1]" - } - ], - "prose": "develops a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)[2]" - } - ], - "prose": "approves a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)[3]" - } - ], - "prose": "maintains a list of individuals with authorized access to the facility where\n the information system resides;" - } - ] - }, - { - "id": "pe-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(b)" - } - ], - "prose": "issues authorization credentials for facility access;" - }, - { - "id": "pe-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(c)" - } - ], - "parts": [ - { - "id": "pe-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(c)[1]" - } - ], - "prose": "defines the frequency to review the access list detailing authorized facility\n access by individuals;" - }, - { - "id": "pe-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(c)[2]" - } - ], - "prose": "reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "pe-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(d)" - } - ], - "prose": "removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "parameters": [ - { - "id": "pe-3_prm_1", - "label": "organization-defined entry/exit points to the facility where the information\n system resides" - }, - { - "id": "pe-3_prm_2", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - { - "id": "pe-3_prm_3", - "depends-on": "pe-3_prm_2", - "label": "organization-defined physical access control systems/devices" - }, - { - "id": "pe-3_prm_4", - "label": "organization-defined entry/exit points" - }, - { - "id": "pe-3_prm_5", - "label": "organization-defined security safeguards" - }, - { - "id": "pe-3_prm_6", - "label": "organization-defined circumstances requiring visitor escorts and\n monitoring", - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - { - "id": "pe-3_prm_7", - "label": "organization-defined physical access devices" - }, - { - "id": "pe-3_prm_8", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "pe-3_prm_9", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-3" - }, - { - "name": "sort-id", - "value": "pe-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - }, - { - "href": "#398e33fd-f404-4e5c-b90e-2d50d3181244", - "rel": "reference", - "text": "ICD 705" - }, - { - "href": "#61081e7f-041d-4033-96a7-44a439071683", - "rel": "reference", - "text": "DoD Instruction 5200.39" - }, - { - "href": "#dd2f5acd-08f1-435a-9837-f8203088dc1a", - "rel": "reference", - "text": "Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces physical access authorizations at {{ pe-3_prm_1 }} by;", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Verifying individual access authorizations before granting access to the\n facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintains physical access audit logs for {{ pe-3_prm_4 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secures keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#pe-5", - "rel": "related", - "text": "PE-5" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "pe-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)" - } - ], - "parts": [ - { - "id": "pe-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[1]" - } - ], - "prose": "defines entry/exit points to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2]" - } - ], - "prose": "enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:", - "parts": [ - { - "id": "pe-3.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](1)" - } - ], - "prose": "verifying individual access authorizations before granting access to the\n facility;" - }, - { - "id": "pe-3.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)" - } - ], - "parts": [ - { - "id": "pe-3.a.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[a]" - } - ], - "prose": "defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b]" - } - ], - "prose": "using one or more of the following ways to control ingress/egress to the\n facility:", - "parts": [ - { - "id": "pe-3.a.2_obj.2.b.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][1]" - } - ], - "prose": "organization-defined physical access control systems/devices;\n and/or" - }, - { - "id": "pe-3.a.2_obj.2.b.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][2]" - } - ], - "prose": "guards;" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(b)" - } - ], - "parts": [ - { - "id": "pe-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(b)[1]" - } - ], - "prose": "defines entry/exit points for which physical access audit logs are to be\n maintained;" - }, - { - "id": "pe-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(b)[2]" - } - ], - "prose": "maintains physical access audit logs for organization-defined entry/exit\n points;" - } - ] - }, - { - "id": "pe-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(c)" - } - ], - "parts": [ - { - "id": "pe-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(c)[1]" - } - ], - "prose": "defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;" - }, - { - "id": "pe-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(c)[2]" - } - ], - "prose": "provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;" - } - ] - }, - { - "id": "pe-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)" - } - ], - "parts": [ - { - "id": "pe-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1]" - } - ], - "prose": "defines circumstances requiring visitor:", - "parts": [ - { - "id": "pe-3.d_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][a]" - } - ], - "prose": "escorts;" - }, - { - "id": "pe-3.d_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][b]" - } - ], - "prose": "monitoring;" - } - ] - }, - { - "id": "pe-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2]" - } - ], - "prose": "in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:", - "parts": [ - { - "id": "pe-3.d_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][a]" - } - ], - "prose": "escorts visitors;" - }, - { - "id": "pe-3.d_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][b]" - } - ], - "prose": "monitors visitor activities;" - } - ] - } - ] - }, - { - "id": "pe-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)" - } - ], - "parts": [ - { - "id": "pe-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)[1]" - } - ], - "prose": "secures keys;" - }, - { - "id": "pe-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)[2]" - } - ], - "prose": "secures combinations;" - }, - { - "id": "pe-3.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)[3]" - } - ], - "prose": "secures other physical access devices;" - } - ] - }, - { - "id": "pe-3.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)" - } - ], - "parts": [ - { - "id": "pe-3.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)[1]" - } - ], - "prose": "defines physical access devices to be inventoried;" - }, - { - "id": "pe-3.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)[2]" - } - ], - "prose": "defines the frequency to inventory organization-defined physical access\n devices;" - }, - { - "id": "pe-3.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)[3]" - } - ], - "prose": "inventories the organization-defined physical access devices with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pe-3.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)" - } - ], - "parts": [ - { - "id": "pe-3.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[1]" - } - ], - "prose": "defines the frequency to change combinations and keys; and" - }, - { - "id": "pe-3.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2]" - } - ], - "prose": "changes combinations and keys with the organization-defined frequency and/or\n when:", - "parts": [ - { - "id": "pe-3.g_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][a]" - } - ], - "prose": "keys are lost;" - }, - { - "id": "pe-3.g_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][b]" - } - ], - "prose": "combinations are compromised;" - }, - { - "id": "pe-3.g_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][c]" - } - ], - "prose": "individuals are transferred or terminated." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "parameters": [ - { - "id": "pe-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "pe-6_prm_2", - "label": "organization-defined events or potential indications of events" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-6" - }, - { - "name": "sort-id", - "value": "pe-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "pe-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(a)" - } - ], - "prose": "monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)" - } - ], - "parts": [ - { - "id": "pe-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)[1]" - } - ], - "prose": "defines the frequency to review physical access logs;" - }, - { - "id": "pe-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)[2]" - } - ], - "prose": "defines events or potential indication of events requiring physical access logs\n to be reviewed;" - }, - { - "id": "pe-6.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)[3]" - } - ], - "prose": "reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and" - } - ] - }, - { - "id": "pe-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(c)" - } - ], - "prose": "coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "parameters": [ - { - "id": "pe-8_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - { - "id": "pe-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-8" - }, - { - "name": "sort-id", - "value": "pe-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews visitor access records {{ pe-8_prm_2 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas." - }, - { - "id": "pe-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(a)" - } - ], - "parts": [ - { - "id": "pe-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(a)[1]" - } - ], - "prose": "defines the time period to maintain visitor access records to the facility\n where the information system resides;" - }, - { - "id": "pe-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(a)[2]" - } - ], - "prose": "maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;" - } - ] - }, - { - "id": "pe-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(b)" - } - ], - "parts": [ - { - "id": "pe-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(b)[1]" - } - ], - "prose": "defines the frequency to review visitor access records; and" - }, - { - "id": "pe-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(b)[2]" - } - ], - "prose": "reviews visitor access records with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "properties": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "pe-12" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-12_obj", - "name": "objective", - "prose": "Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ", - "parts": [ - { - "id": "pe-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-12[1]" - } - ], - "prose": "activates in the event of a power outage or disruption; and" - }, - { - "id": "pe-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-12[2]" - } - ], - "prose": "covers emergency exits and evacuation routes within the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency lighting\n capability" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "properties": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "pe-13" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors." - }, - { - "id": "pe-13_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[1]" - } - ], - "prose": "employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and" - }, - { - "id": "pe-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[2]" - } - ], - "prose": "maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Temperature and Humidity Controls", - "parameters": [ - { - "id": "pe-14_prm_1", - "label": "organization-defined acceptable levels", - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - { - "id": "pe-14_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "continuously" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "pe-14" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitors temperature and humidity levels {{ pe-14_prm_2 }}." - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-14_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)" - } - ], - "parts": [ - { - "id": "pe-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)[1]" - } - ], - "prose": "defines acceptable temperature levels to be maintained within the facility\n where the information system resides;" - }, - { - "id": "pe-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)[2]" - } - ], - "prose": "defines acceptable humidity levels to be maintained within the facility where\n the information system resides;" - }, - { - "id": "pe-14.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)[3]" - } - ], - "prose": "maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;" - }, - { - "id": "pe-14.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)[4]" - } - ], - "prose": "maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;" - } - ] - }, - { - "id": "pe-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)" - } - ], - "parts": [ - { - "id": "pe-14.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)[1]" - } - ], - "prose": "defines the frequency to monitor temperature levels;" - }, - { - "id": "pe-14.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)[2]" - } - ], - "prose": "defines the frequency to monitor humidity levels;" - }, - { - "id": "pe-14.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)[3]" - } - ], - "prose": "monitors temperature levels with the organization-defined frequency; and" - }, - { - "id": "pe-14.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)[4]" - } - ], - "prose": "monitors humidity levels with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - }, - { - "id": "pe-14_fr", - "name": "item", - "title": "PE-14(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pe-14_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider measures temperature at server inlets and humidity levels\n by dew point." - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "properties": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "pe-15" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-15_obj", - "name": "objective", - "prose": "Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ", - "parts": [ - { - "id": "pe-15_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[1]" - } - ], - "prose": "accessible;" - }, - { - "id": "pe-15_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[2]" - } - ], - "prose": "working properly; and" - }, - { - "id": "pe-15_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[3]" - } - ], - "prose": "known to key personnel." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "parameters": [ - { - "id": "pe-16_prm_1", - "label": "organization-defined types of information system components", - "constraints": [ - { - "detail": "all information system components" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "pe-16" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "prose": "The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items." - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "pe-16_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[1]" - } - ], - "prose": "defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;" - }, - { - "id": "pe-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[2]" - } - ], - "prose": "authorizes organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[3]" - } - ], - "prose": "monitors organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[4]" - } - ], - "prose": "controls organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[5]" - } - ], - "prose": "authorizes organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[6]" - } - ], - "prose": "monitors organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.7", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[7]" - } - ], - "prose": "controls organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.8", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[8]" - } - ], - "prose": "maintains records of information system components entering the facility; and" - }, - { - "id": "pe-16_obj.9", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-16[9]" - } - ], - "prose": "maintains records of information system components exiting the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Security Planning Policy and Procedures", - "parameters": [ - { - "id": "pl-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "pl-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "PL-1" - }, - { - "name": "sort-id", - "value": "pl-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pl-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security planning policy {{ pl-1_prm_2 }}; and" - }, - { - "id": "pl-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security planning procedures {{ pl-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pl-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pl-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1]" - } - ], - "prose": "develops and documents a planning policy that addresses:", - "parts": [ - { - "id": "pl-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pl-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pl-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pl-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pl-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pl-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pl-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pl-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the planning policy is to be\n disseminated;" - }, - { - "id": "pl-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[3]" - } - ], - "prose": "disseminates the planning policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "pl-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)" - } - ], - "parts": [ - { - "id": "pl-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;" - }, - { - "id": "pl-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pl-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pl-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(1)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning policy;" - }, - { - "id": "pl-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current planning policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(2)" - } - ], - "parts": [ - { - "id": "pl-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning procedures;\n and" - }, - { - "id": "pl-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current planning procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security Plan", - "parameters": [ - { - "id": "pl-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PL-2" - }, - { - "name": "sort-id", - "value": "pl-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "properties": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the security plan for the information system {{ pl-2_prm_2 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the security plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-7", - "rel": "related", - "text": "PL-7" - }, - { - "href": "#pm-1", - "rel": "related", - "text": "PM-1" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - } - ] - }, - { - "id": "pl-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)" - } - ], - "prose": "develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(1)" - } - ], - "prose": "is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(2)" - } - ], - "prose": "explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(3)" - } - ], - "prose": "describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(4)" - } - ], - "prose": "provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(5)" - } - ], - "prose": "describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(6)" - } - ], - "prose": "provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(7)" - } - ], - "prose": "identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(8)" - } - ], - "prose": "describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;" - }, - { - "id": "pl-2.a.9_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)(9)" - } - ], - "prose": "is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(b)" - } - ], - "parts": [ - { - "id": "pl-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(b)[1]" - } - ], - "prose": "defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;" - }, - { - "id": "pl-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(b)[2]" - } - ], - "prose": "distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;" - } - ] - }, - { - "id": "pl-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(c)" - } - ], - "parts": [ - { - "id": "pl-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(c)[1]" - } - ], - "prose": "defines the frequency to review the security plan for the information\n system;" - }, - { - "id": "pl-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(c)[2]" - } - ], - "prose": "reviews the security plan for the information system with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)" - } - ], - "prose": "updates the plan to address:", - "parts": [ - { - "id": "pl-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[1]" - } - ], - "prose": "changes to the information system/environment of operation;" - }, - { - "id": "pl-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[2]" - } - ], - "prose": "problems identified during plan implementation;" - }, - { - "id": "pl-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[3]" - } - ], - "prose": "problems identified during security control assessments;" - } - ] - }, - { - "id": "pl-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)" - } - ], - "prose": "protects the security plan from unauthorized:", - "parts": [ - { - "id": "pl-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[1]" - } - ], - "prose": "disclosure; and" - }, - { - "id": "pl-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[2]" - } - ], - "prose": "modification." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan" - } - ] - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "parameters": [ - { - "id": "pl-4_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "PL-4" - }, - { - "name": "sort-id", - "value": "pl-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#mp-7", - "rel": "related", - "text": "MP-7" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "pl-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(a)" - } - ], - "parts": [ - { - "id": "pl-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(a)[1]" - } - ], - "prose": "establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;" - }, - { - "id": "pl-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(a)[2]" - } - ], - "prose": "makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;" - } - ] - }, - { - "id": "pl-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(b)" - } - ], - "prose": "receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(c)" - } - ], - "parts": [ - { - "id": "pl-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(c)[1]" - } - ], - "prose": "defines the frequency to review and update the rules of behavior;" - }, - { - "id": "pl-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(c)[2]" - } - ], - "prose": "reviews and updates the rules of behavior with the organization-defined\n frequency; and" - } - ] - }, - { - "id": "pl-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(d)" - } - ], - "prose": "requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior" - } - ] - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Personnel Security Policy and Procedures", - "parameters": [ - { - "id": "ps-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ps-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-1" - }, - { - "name": "sort-id", - "value": "ps-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ps-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Personnel security policy {{ ps-1_prm_2 }}; and" - }, - { - "id": "ps-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Personnel security procedures {{ ps-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ps-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1]" - } - ], - "prose": "develops and documents an personnel security policy that addresses:", - "parts": [ - { - "id": "ps-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ps-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ps-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ps-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ps-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ps-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ps-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ps-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the personnel security policy is to be\n disseminated;" - }, - { - "id": "ps-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[3]" - } - ], - "prose": "disseminates the personnel security policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ps-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)" - } - ], - "parts": [ - { - "id": "ps-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;" - }, - { - "id": "ps-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ps-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ps-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(1)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n policy;" - }, - { - "id": "ps-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current personnel security policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ps-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(2)" - } - ], - "parts": [ - { - "id": "ps-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n procedures; and" - }, - { - "id": "ps-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current personnel security procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "parameters": [ - { - "id": "ps-2_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-2" - }, - { - "name": "sort-id", - "value": "ps-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates position risk designations {{ ps-2_prm_1 }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "ps-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(a)" - } - ], - "prose": "assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(b)" - } - ], - "prose": "establishes screening criteria for individuals filling those positions;" - }, - { - "id": "ps-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(c)" - } - ], - "parts": [ - { - "id": "ps-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(c)[1]" - } - ], - "prose": "defines the frequency to review and update position risk designations; and" - }, - { - "id": "ps-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(c)[2]" - } - ], - "prose": "reviews and updates position risk designations with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria" - } - ] - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "parameters": [ - { - "id": "ps-3_prm_1", - "label": "organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening", - "constraints": [ - { - "detail": "For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions." - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-3" - }, - { - "name": "sort-id", - "value": "ps-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screens individuals prior to authorizing access to the information system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreens individuals according to {{ ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "ps-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(a)" - } - ], - "prose": "screens individuals prior to authorizing access to the information system;" - }, - { - "id": "ps-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)" - } - ], - "parts": [ - { - "id": "ps-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)[1]" - } - ], - "prose": "defines conditions requiring re-screening;" - }, - { - "id": "ps-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)[2]" - } - ], - "prose": "defines the frequency of re-screening where it is so indicated; and" - }, - { - "id": "ps-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)[3]" - } - ], - "prose": "re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel screening" - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "parameters": [ - { - "id": "ps-4_prm_1", - "label": "organization-defined time period" - }, - { - "id": "ps-4_prm_2", - "label": "organization-defined information security topics" - }, - { - "id": "ps-4_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-4_prm_4", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-4" - }, - { - "name": "sort-id", - "value": "ps-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "The organization, upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disables information system access within {{ ps-4_prm_1 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retains access to organizational information and information systems formerly\n controlled by terminated individual; and" - }, - { - "id": "ps-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-4_obj", - "name": "objective", - "prose": "Determine if the organization, upon termination of individual employment,:", - "parts": [ - { - "id": "ps-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(a)" - } - ], - "parts": [ - { - "id": "ps-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(a)[1]" - } - ], - "prose": "defines a time period within which to disable information system access;" - }, - { - "id": "ps-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(a)[2]" - } - ], - "prose": "disables information system access within the organization-defined time\n period;" - } - ] - }, - { - "id": "ps-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(b)" - } - ], - "prose": "terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(c)" - } - ], - "parts": [ - { - "id": "ps-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(c)[1]" - } - ], - "prose": "defines information security topics to be discussed when conducting exit\n interviews;" - }, - { - "id": "ps-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(c)[2]" - } - ], - "prose": "conducts exit interviews that include a discussion of organization-defined\n information security topics;" - } - ] - }, - { - "id": "ps-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(d)" - } - ], - "prose": "retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(e)" - } - ], - "prose": "retains access to organizational information and information systems formerly\n controlled by the terminated individual;" - }, - { - "id": "ps-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)" - } - ], - "parts": [ - { - "id": "ps-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)[1]" - } - ], - "prose": "defines personnel or roles to be notified of the termination;" - }, - { - "id": "ps-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles; and" - }, - { - "id": "ps-4.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "parameters": [ - { - "id": "ps-5_prm_1", - "label": "organization-defined transfer or reassignment actions" - }, - { - "id": "ps-5_prm_2", - "label": "organization-defined time period following the formal transfer action" - }, - { - "id": "ps-5_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-5_prm_4", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-5" - }, - { - "name": "sort-id", - "value": "ps-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - } - ] - }, - { - "id": "ps-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(a)" - } - ], - "prose": "when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:", - "parts": [ - { - "id": "ps-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(a)[1]" - } - ], - "prose": "logical access authorizations to information systems;" - }, - { - "id": "ps-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(a)[2]" - } - ], - "prose": "physical access authorizations to information systems and facilities;" - } - ] - }, - { - "id": "ps-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)" - } - ], - "parts": [ - { - "id": "ps-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)[1]" - } - ], - "prose": "defines transfer or reassignment actions to be initiated following transfer or\n reassignment;" - }, - { - "id": "ps-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)[2]" - } - ], - "prose": "defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;" - }, - { - "id": "ps-5.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)[3]" - } - ], - "prose": "initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;" - } - ] - }, - { - "id": "ps-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(c)" - } - ], - "prose": "modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;" - }, - { - "id": "ps-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)" - } - ], - "parts": [ - { - "id": "ps-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;" - }, - { - "id": "ps-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and" - }, - { - "id": "ps-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "parameters": [ - { - "id": "ps-6_prm_1", - "label": "organization-defined frequency" - }, - { - "id": "ps-6_prm_2", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-6" - }, - { - "name": "sort-id", - "value": "ps-06" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the access agreements {{ ps-6_prm_1 }}; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that individuals requiring access to organizational information and\n information systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - } - ] - }, - { - "id": "ps-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(a)" - } - ], - "prose": "develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(b)" - } - ], - "parts": [ - { - "id": "ps-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(b)[1]" - } - ], - "prose": "defines the frequency to review and update the access agreements;" - }, - { - "id": "ps-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(b)[2]" - } - ], - "prose": "reviews and updates the access agreements with the organization-defined\n frequency;" - } - ] - }, - { - "id": "ps-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)" - } - ], - "parts": [ - { - "id": "ps-6.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(1)" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;" - }, - { - "id": "ps-6.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(2)" - } - ], - "parts": [ - { - "id": "ps-6.c.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(2)[1]" - } - ], - "prose": "defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;" - }, - { - "id": "ps-6.c.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(2)[2]" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements" - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "Third-party Personnel Security", - "parameters": [ - { - "id": "ps-7_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-7_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-7" - }, - { - "name": "sort-id", - "value": "ps-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitors provider compliance." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.", - "links": [ - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sa-21", - "rel": "related", - "text": "SA-21" - } - ] - }, - { - "id": "ps-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(a)" - } - ], - "prose": "establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;" - }, - { - "id": "ps-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(b)" - } - ], - "prose": "requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(c)" - } - ], - "prose": "documents personnel security requirements;" - }, - { - "id": "ps-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)" - } - ], - "parts": [ - { - "id": "ps-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)[2]" - } - ], - "prose": "defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)[3]" - } - ], - "prose": "requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and" - } - ] - }, - { - "id": "ps-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(e)" - } - ], - "prose": "monitors provider compliance." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically stating that any third-party security personnel are\n treated as CSP employees." - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "parameters": [ - { - "id": "ps-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-8_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-8" - }, - { - "name": "sort-id", - "value": "ps-08" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(a)" - } - ], - "prose": "employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;" - }, - { - "id": "ps-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)" - } - ], - "parts": [ - { - "id": "ps-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)[1]" - } - ], - "prose": "defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;" - }, - { - "id": "ps-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)[2]" - } - ], - "prose": "defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and" - }, - { - "id": "ps-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Risk Assessment Policy and Procedures", - "parameters": [ - { - "id": "ra-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "ra-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "RA-1" - }, - { - "name": "sort-id", - "value": "ra-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ra-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Risk assessment policy {{ ra-1_prm_2 }}; and" - }, - { - "id": "ra-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Risk assessment procedures {{ ra-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a risk assessment policy that addresses:", - "parts": [ - { - "id": "ra-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ra-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ra-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ra-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ra-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ra-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ra-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ra-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the risk assessment policy is to be\n disseminated;" - }, - { - "id": "ra-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[3]" - } - ], - "prose": "disseminates the risk assessment policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ra-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;" - }, - { - "id": "ra-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ra-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ra-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n policy;" - }, - { - "id": "ra-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current risk assessment policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ra-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ra-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n procedures; and" - }, - { - "id": "ra-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current risk assessment procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "risk assessment policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "properties": [ - { - "name": "label", - "value": "RA-2" - }, - { - "name": "sort-id", - "value": "ra-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "ra-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-2(a)" - } - ], - "prose": "categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-2(b)" - } - ], - "prose": "documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-2(c)" - } - ], - "prose": "ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "parameters": [ - { - "id": "ra-3_prm_1" - }, - { - "id": "ra-3_prm_2", - "depends-on": "ra-3_prm_1", - "label": "organization-defined document", - "constraints": [ - { - "detail": "security assessment report" - } - ] - }, - { - "id": "ra-3_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - { - "id": "ra-3_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-3_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "RA-3" - }, - { - "name": "sort-id", - "value": "ra-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;" - }, - { - "id": "ra-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents risk assessment results in {{ ra-3_prm_1 }};" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews risk assessment results {{ ra-3_prm_3 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Disseminates risk assessment results to {{ ra-3_prm_4 }}; and" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system." - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.", - "links": [ - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(a)" - } - ], - "prose": "conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:", - "parts": [ - { - "id": "ra-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(a)[1]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(a)[2]" - } - ], - "prose": "the information the system processes, stores, or transmits;" - } - ] - }, - { - "id": "ra-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)" - } - ], - "parts": [ - { - "id": "ra-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[1]" - } - ], - "prose": "defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);" - }, - { - "id": "ra-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2]" - } - ], - "prose": "documents risk assessment results in one of the following:", - "parts": [ - { - "id": "ra-3.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][a]" - } - ], - "prose": "the security plan;" - }, - { - "id": "ra-3.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][b]" - } - ], - "prose": "the risk assessment report; or" - }, - { - "id": "ra-3.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][c]" - } - ], - "prose": "the organization-defined document;" - } - ] - } - ] - }, - { - "id": "ra-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(c)" - } - ], - "parts": [ - { - "id": "ra-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(c)[1]" - } - ], - "prose": "defines the frequency to review risk assessment results;" - }, - { - "id": "ra-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(c)[2]" - } - ], - "prose": "reviews risk assessment results with the organization-defined frequency;" - } - ] - }, - { - "id": "ra-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(d)" - } - ], - "parts": [ - { - "id": "ra-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(d)[1]" - } - ], - "prose": "defines personnel or roles to whom risk assessment results are to be\n disseminated;" - }, - { - "id": "ra-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(d)[2]" - } - ], - "prose": "disseminates risk assessment results to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)" - } - ], - "parts": [ - { - "id": "ra-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[1]" - } - ], - "prose": "defines the frequency to update the risk assessment;" - }, - { - "id": "ra-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2]" - } - ], - "prose": "updates the risk assessment:", - "parts": [ - { - "id": "ra-3.e_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][a]" - } - ], - "prose": "with the organization-defined frequency;" - }, - { - "id": "ra-3.e_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][b]" - } - ], - "prose": "whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and" - }, - { - "id": "ra-3.e_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][c]" - } - ], - "prose": "whenever there are other conditions that may impact the security state of\n the system." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment" - } - ] - }, - { - "id": "ra-3_fr", - "name": "item", - "title": "RA-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F" - }, - { - "id": "ra-3_fr_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "RA-3 (d) Requirement:" - } - ], - "prose": "Include all Authorizing Officials; for JAB authorizations to include\n FedRAMP." - } - ] - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Scanning", - "parameters": [ - { - "id": "ra-5_prm_1", - "label": "organization-defined frequency and/or randomly in accordance with\n organization-defined process", - "constraints": [ - { - "detail": "monthly operating system/infrastructure; monthly web applications and databases" - } - ] - }, - { - "id": "ra-5_prm_2", - "label": "organization-defined response times", - "constraints": [ - { - "detail": "[high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery." - } - ] - }, - { - "id": "ra-5_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "RA-5" - }, - { - "name": "sort-id", - "value": "ra-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#15522e92-9192-463d-9646-6a01982db8ca", - "rel": "reference", - "text": "http://cwe.mitre.org" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyzes vulnerability scan reports and results from security control\n assessments;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ra-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1]" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][a]" - } - ], - "prose": "defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or" - }, - { - "id": "ra-5.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][b]" - } - ], - "prose": "defines the process for conducting random vulnerability scans on the\n information system and hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2]" - } - ], - "prose": "in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][b]" - } - ], - "prose": "hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3]" - } - ], - "prose": "when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][b]" - } - ], - "prose": "hosted applications;" - } - ] - } - ] - }, - { - "id": "ra-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)" - } - ], - "prose": "employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)" - } - ], - "parts": [ - { - "id": "ra-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[1]" - } - ], - "prose": "enumerating platforms;" - }, - { - "id": "ra-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[2]" - } - ], - "prose": "enumerating software flaws;" - }, - { - "id": "ra-5.b.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[3]" - } - ], - "prose": "enumerating improper configurations;" - } - ] - }, - { - "id": "ra-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)" - } - ], - "parts": [ - { - "id": "ra-5.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[1]" - } - ], - "prose": "formatting checklists;" - }, - { - "id": "ra-5.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[2]" - } - ], - "prose": "formatting test procedures;" - } - ] - }, - { - "id": "ra-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(3)" - } - ], - "prose": "measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(c)" - } - ], - "parts": [ - { - "id": "ra-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(c)[1]" - } - ], - "prose": "analyzes vulnerability scan reports;" - }, - { - "id": "ra-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(c)[2]" - } - ], - "prose": "analyzes results from security control assessments;" - } - ] - }, - { - "id": "ra-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(d)" - } - ], - "parts": [ - { - "id": "ra-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(d)[1]" - } - ], - "prose": "defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;" - }, - { - "id": "ra-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(d)[2]" - } - ], - "prose": "remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;" - } - ] - }, - { - "id": "ra-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)" - } - ], - "parts": [ - { - "id": "ra-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)[1]" - } - ], - "prose": "defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;" - }, - { - "id": "ra-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)[2]" - } - ], - "prose": "shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and" - }, - { - "id": "ra-5.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)[3]" - } - ], - "prose": "shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing" - } - ] - }, - { - "id": "ra-5_fr_smt.a", - "name": "item", - "title": "RA-5(a) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (a)Requirement:" - } - ], - "prose": "An accredited independent assessor scans operating systems/infrastructure, web\n applications, and databases once annually." - }, - { - "id": "ra-5_fr_smt.e", - "name": "item", - "title": "RA-5(e) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (e)Requirement:" - } - ], - "prose": "To include all Authorizing Officials; for JAB authorizations to include\n FedRAMP." - }, - { - "id": "ra-5_fr", - "name": "item", - "title": "RA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))" - } - ] - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "System and Services Acquisition Policy and Procedures", - "parameters": [ - { - "id": "sa-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "sa-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-1" - }, - { - "name": "sort-id", - "value": "sa-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sa-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and services acquisition policy {{ sa-1_prm_2 }}; and" - }, - { - "id": "sa-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and services acquisition procedures {{ sa-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sa-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and services acquisition policy that\n addresses:", - "parts": [ - { - "id": "sa-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sa-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sa-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sa-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sa-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sa-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sa-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sa-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;" - }, - { - "id": "sa-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and services acquisition policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sa-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)" - } - ], - "parts": [ - { - "id": "sa-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;" - }, - { - "id": "sa-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sa-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sa-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(1)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition policy;" - }, - { - "id": "sa-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "sa-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(2)" - } - ], - "parts": [ - { - "id": "sa-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition procedures; and" - }, - { - "id": "sa-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "properties": [ - { - "name": "label", - "value": "SA-2" - }, - { - "name": "sort-id", - "value": "sa-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#29fcfe59-33cd-494a-8756-5907ae3a8f92", - "rel": "reference", - "text": "NIST Special Publication 800-65" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.", - "links": [ - { - "href": "#pm-3", - "rel": "related", - "text": "PM-3" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "sa-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(a)" - } - ], - "prose": "determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)" - } - ], - "prose": "to protect the information system or information system service as part of its\n capital planning and investment control process:", - "parts": [ - { - "id": "sa-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[1]" - } - ], - "prose": "determines the resources required;" - }, - { - "id": "sa-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[2]" - } - ], - "prose": "documents the resources required;" - }, - { - "id": "sa-2.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[3]" - } - ], - "prose": "allocates the resources required; and" - } - ] - }, - { - "id": "sa-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(c)" - } - ], - "prose": "establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting" - } - ] - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "parameters": [ - { - "id": "sa-3_prm_1", - "label": "organization-defined system development life cycle" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-3" - }, - { - "name": "sort-id", - "value": "sa-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - } - ] - }, - { - "id": "sa-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(a)" - } - ], - "parts": [ - { - "id": "sa-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(a)[1]" - } - ], - "prose": "defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;" - }, - { - "id": "sa-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(a)[2]" - } - ], - "prose": "manages the information system using the organization-defined system\n development life cycle;" - } - ] - }, - { - "id": "sa-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(b)" - } - ], - "prose": "defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(c)" - } - ], - "prose": "identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(d)" - } - ], - "prose": "integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC" - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "properties": [ - { - "name": "label", - "value": "SA-4" - }, - { - "name": "sort-id", - "value": "sa-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#1737a687-52fb-4008-b900-cbfa836f7b65", - "rel": "reference", - "text": "ISO/IEC 15408" - }, - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#0a5db899-f033-467f-8631-f5a8ba971475", - "rel": "reference", - "text": "NIST Special Publication 800-23" - }, - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - }, - { - "href": "#d818efd3-db31-4953-8afa-9e76afe83ce2", - "rel": "reference", - "text": "NIST Special Publication 800-36" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#56d671da-6b7b-4abf-8296-84b61980390a", - "rel": "reference", - "text": "Federal Acquisition Regulation" - }, - { - "href": "#c95a9986-3cd6-4a98-931b-ccfc56cb11e5", - "rel": "reference", - "text": "http://www.niap-ccevs.org" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - }, - { - "href": "#bbd50dd1-54ce-4432-959d-63ea564b1bb4", - "rel": "reference", - "text": "http://www.acquisition.gov/far" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Security strength requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Security-related documentation requirements;" - }, - { - "id": "sa-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requirements for protecting security-related documentation;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Description of the information system development environment and environment in\n which the system is intended to operate; and" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Acceptance criteria." - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "sa-4_obj", - "name": "objective", - "prose": "Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:", - "parts": [ - { - "id": "sa-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(a)" - } - ], - "prose": "security functional requirements;" - }, - { - "id": "sa-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(b)" - } - ], - "prose": "security strength requirements;" - }, - { - "id": "sa-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(c)" - } - ], - "prose": "security assurance requirements;" - }, - { - "id": "sa-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(d)" - } - ], - "prose": "security-related documentation requirements;" - }, - { - "id": "sa-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(e)" - } - ], - "prose": "requirements for protecting security-related documentation;" - }, - { - "id": "sa-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)" - } - ], - "prose": "description of:", - "parts": [ - { - "id": "sa-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[1]" - } - ], - "prose": "the information system development environment;" - }, - { - "id": "sa-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[2]" - } - ], - "prose": "the environment in which the system is intended to operate; and" - } - ] - }, - { - "id": "sa-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(g)" - } - ], - "prose": "acceptance criteria." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts" - } - ] - } - ], - "controls": [ - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "properties": [ - { - "name": "label", - "value": "SA-4(10)" - }, - { - "name": "sort-id", - "value": "sa-04.10" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "The organization employs only information technology products on the FIPS\n 201-approved products list for Personal Identity Verification (PIV) capability\n implemented within organizational information systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "links": [ - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "sa-4.10_obj", - "name": "objective", - "prose": "Determine if the organization employs only information technology products on the\n FIPS 201-approved products list for Personal Identity Verification (PIV)\n capability implemented within organizational information systems. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with responsibility for ensuring only FIPS\n 201-approved products are implemented\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing FIPS 201-approved\n products" - } - ] - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "Information System Documentation", - "parameters": [ - { - "id": "sa-5_prm_1", - "label": "organization-defined actions" - }, - { - "id": "sa-5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-5" - }, - { - "name": "sort-id", - "value": "sa-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or\n service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Effective use and maintenance of security functions/mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects documentation as required, in accordance with the risk management\n strategy; and" - }, - { - "id": "sa-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Distributes documentation to {{ sa-5_prm_2 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "sa-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)" - } - ], - "prose": "obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)" - } - ], - "parts": [ - { - "id": "sa-5.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[1]" - } - ], - "prose": "secure configuration of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[2]" - } - ], - "prose": "secure installation of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[3]" - } - ], - "prose": "secure operation of the system, system component, or service;" - } - ] - }, - { - "id": "sa-5.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)" - } - ], - "parts": [ - { - "id": "sa-5.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[1]" - } - ], - "prose": "effective use of the security features/mechanisms;" - }, - { - "id": "sa-5.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[2]" - } - ], - "prose": "effective maintenance of the security features/mechanisms;" - } - ] - }, - { - "id": "sa-5.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(3)" - } - ], - "prose": "known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)" - } - ], - "prose": "obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)" - } - ], - "parts": [ - { - "id": "sa-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[1]" - } - ], - "prose": "user-accessible security functions/mechanisms;" - }, - { - "id": "sa-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[2]" - } - ], - "prose": "how to effectively use those functions/mechanisms;" - } - ] - }, - { - "id": "sa-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(2)" - } - ], - "prose": "methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;" - }, - { - "id": "sa-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(3)" - } - ], - "prose": "user responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)" - } - ], - "parts": [ - { - "id": "sa-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)[1]" - } - ], - "prose": "defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)[2]" - } - ], - "prose": "documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)[3]" - } - ], - "prose": "takes organization-defined actions in response;" - } - ] - }, - { - "id": "sa-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(d)" - } - ], - "prose": "protects documentation as required, in accordance with the risk management\n strategy;" - }, - { - "id": "sa-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(e)" - } - ], - "parts": [ - { - "id": "sa-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(e)[1]" - } - ], - "prose": "defines personnel or roles to whom documentation is to be distributed; and" - }, - { - "id": "sa-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(e)[2]" - } - ], - "prose": "distributes documentation to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation" - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External Information System Services", - "parameters": [ - { - "id": "sa-9_prm_1", - "label": "organization-defined security controls", - "constraints": [ - { - "detail": "FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system" - } - ] - }, - { - "id": "sa-9_prm_2", - "label": "organization-defined processes, methods, and techniques", - "constraints": [ - { - "detail": "Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9" - }, - { - "name": "sort-id", - "value": "sa-09" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.", - "links": [ - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ir-7", - "rel": "related", - "text": "IR-7" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - } - ] - }, - { - "id": "sa-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)" - } - ], - "parts": [ - { - "id": "sa-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)[1]" - } - ], - "prose": "defines security controls to be employed by providers of external information\n system services;" - }, - { - "id": "sa-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)[2]" - } - ], - "prose": "requires that providers of external information system services comply with\n organizational information security requirements;" - }, - { - "id": "sa-9.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)[3]" - } - ], - "prose": "requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - } - ] - }, - { - "id": "sa-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(b)" - } - ], - "parts": [ - { - "id": "sa-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(b)[1]" - } - ], - "prose": "defines and documents government oversight with regard to external information\n system services;" - }, - { - "id": "sa-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(b)[2]" - } - ], - "prose": "defines and documents user roles and responsibilities with regard to external\n information system services;" - } - ] - }, - { - "id": "sa-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(c)" - } - ], - "parts": [ - { - "id": "sa-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(c)[1]" - } - ], - "prose": "defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and" - }, - { - "id": "sa-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(c)[2]" - } - ], - "prose": "employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis" - } - ] - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "System and Communications Protection Policy and Procedures", - "parameters": [ - { - "id": "sc-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "sc-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-1" - }, - { - "name": "sort-id", - "value": "sc-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sc-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and communications protection policy {{ sc-1_prm_2 }};\n and" - }, - { - "id": "sc-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and communications protection procedures {{ sc-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sc-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and communications protection policy that\n addresses:", - "parts": [ - { - "id": "sc-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sc-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sc-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sc-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sc-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sc-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sc-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sc-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;" - }, - { - "id": "sc-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and communications protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sc-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)" - } - ], - "parts": [ - { - "id": "sc-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;" - }, - { - "id": "sc-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sc-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sc-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(1)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection policy;" - }, - { - "id": "sc-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "sc-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(2)" - } - ], - "parts": [ - { - "id": "sc-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection procedures; and" - }, - { - "id": "sc-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial of Service Protection", - "parameters": [ - { - "id": "sc-5_prm_1", - "label": "organization-defined types of denial of service attacks or references to sources\n for such information" - }, - { - "id": "sc-5_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-5" - }, - { - "name": "sort-id", - "value": "sc-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "prose": "The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}." - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.", - "links": [ - { - "href": "#sc-6", - "rel": "related", - "text": "SC-6" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "sc-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[1]" - } - ], - "prose": "the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;" - }, - { - "id": "sc-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[2]" - } - ], - "prose": "the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and" - }, - { - "id": "sc-5_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[3]" - } - ], - "prose": "the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms protecting against or limiting the effects of denial of\n service attacks" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: If availability is a requirement, define protections in place as per\n control requirement." - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "parameters": [ - { - "id": "sc-7_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7" - }, - { - "name": "sort-id", - "value": "sc-07" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#756a8e86-57d5-4701-8382-f7a40439665a", - "rel": "reference", - "text": "NIST Special Publication 800-41" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.", - "links": [ - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "sc-7_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)" - } - ], - "parts": [ - { - "id": "sc-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)[1]" - } - ], - "prose": "monitors communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)[2]" - } - ], - "prose": "monitors communications at key internal boundaries within the system;" - }, - { - "id": "sc-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)[3]" - } - ], - "prose": "controls communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)[4]" - } - ], - "prose": "controls communications at key internal boundaries within the system;" - } - ] - }, - { - "id": "sc-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)" - } - ], - "prose": "implements subnetworks for publicly accessible system components that are\n either:", - "parts": [ - { - "id": "sc-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[1]" - } - ], - "prose": "physically separated from internal organizational networks; and/or" - }, - { - "id": "sc-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[2]" - } - ], - "prose": "logically separated from internal organizational networks; and" - } - ] - }, - { - "id": "sc-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(c)" - } - ], - "prose": "connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability" - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "parameters": [ - { - "id": "sc-12_prm_1", - "label": "organization-defined requirements for key generation, distribution, storage,\n access, and destruction" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "sc-12" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}." - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "sc-12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1]" - } - ], - "prose": "defines requirements for cryptographic key:", - "parts": [ - { - "id": "sc-12_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][a]" - } - ], - "prose": "generation;" - }, - { - "id": "sc-12_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][b]" - } - ], - "prose": "distribution;" - }, - { - "id": "sc-12_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][c]" - } - ], - "prose": "storage;" - }, - { - "id": "sc-12_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][d]" - } - ], - "prose": "access;" - }, - { - "id": "sc-12_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][e]" - } - ], - "prose": "destruction; and" - } - ] - }, - { - "id": "sc-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[2]" - } - ], - "prose": "establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management" - } - ] - }, - { - "id": "sc-12_fr", - "name": "item", - "title": "SC-12 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Federally approved cryptography." - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "parameters": [ - { - "id": "sc-13_prm_1", - "label": "organization-defined cryptographic uses and type of cryptography required for\n each use", - "constraints": [ - { - "detail": "FIPS-validated or NSA-approved cryptography" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "sc-13" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#6a1041fc-054e-4230-946b-2e6f4f3731bb", - "rel": "reference", - "text": "http://csrc.nist.gov/cryptval" - }, - { - "href": "#9b97ed27-3dd6-4f9a-ade5-1b43e9669794", - "rel": "reference", - "text": "http://www.cnss.gov" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "prose": "The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards." - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-7", - "rel": "related", - "text": "IA-7" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sc-13_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-13[1]" - } - ], - "prose": "the organization defines cryptographic uses; and" - }, - { - "id": "sc-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-13[2]" - } - ], - "prose": "the organization defines the type of cryptography required for each use; and" - }, - { - "id": "sc-13_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-13[3]" - } - ], - "prose": "the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: If implementing need to detail how they meet it or don't meet it." - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices", - "parameters": [ - { - "id": "sc-15_prm_1", - "label": "organization-defined exceptions where remote activation is to be allowed" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "sc-15" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides an explicit indication of use to users physically present at the\n devices." - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.", - "links": [ - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - } - ] - }, - { - "id": "sc-15_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-15.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(a)" - } - ], - "parts": [ - { - "id": "sc-15.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(a)[1]" - } - ], - "prose": "the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;" - }, - { - "id": "sc-15.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(a)[2]" - } - ], - "prose": "the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and" - } - ] - }, - { - "id": "sc-15.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(b)" - } - ], - "prose": "the information system provides an explicit indication of use to users physically\n present at the devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Not directly related to the security of the SaaS." - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (authoritative Source)", - "properties": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "sc-20" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#28115a56-da6b-4d44-b1df-51dd7f048a3e", - "rel": "reference", - "text": "OMB Memorandum 08-23" - }, - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.", - "links": [ - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-20_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(a)" - } - ], - "prose": "provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;" - }, - { - "id": "sc-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)" - } - ], - "prose": "provides the means to, when operating as part of a distributed, hierarchical\n namespace:", - "parts": [ - { - "id": "sc-20.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[1]" - } - ], - "prose": "indicate the security status of child zones; and" - }, - { - "id": "sc-20.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[2]" - } - ], - "prose": "enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure name/address resolution\n service" - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (recursive or Caching Resolver)", - "properties": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "sc-21" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.", - "links": [ - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-21_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "sc-21_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-21[1]" - } - ], - "prose": "requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-21[2]" - } - ], - "prose": "requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-21[3]" - } - ], - "prose": "performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and" - }, - { - "id": "sc-21_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-21[4]" - } - ], - "prose": "performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name / Address Resolution Service", - "properties": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "sc-22" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).", - "links": [ - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "sc-22_obj", - "name": "objective", - "prose": "Determine if the information systems that collectively provide name/address\n resolution service for an organization: ", - "parts": [ - { - "id": "sc-22_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-22[1]" - } - ], - "prose": "are fault tolerant; and" - }, - { - "id": "sc-22_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-22[2]" - } - ], - "prose": "implement internal/external role separation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation" - } - ] - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "properties": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "sc-39" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "The information system maintains a separate execution domain for each executing\n process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-39_obj", - "name": "objective", - "prose": "Determine if the information system maintains a separate execution domain for each\n executing process." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system developers/integrators\\n\\ninformation system security architect" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process" - } - ] - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "System and Information Integrity Policy and Procedures", - "parameters": [ - { - "id": "si-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-1_prm_2", - "label": "organization-defined frequency" - }, - { - "id": "si-1_prm_3", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-1" - }, - { - "name": "sort-id", - "value": "si-01" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "si-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and information integrity policy {{ si-1_prm_2 }};\n and" - }, - { - "id": "si-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and information integrity procedures {{ si-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "si-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and information integrity policy that\n addresses:", - "parts": [ - { - "id": "si-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "si-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "si-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "si-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "si-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "si-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "si-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "si-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;" - }, - { - "id": "si-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and information integrity policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "si-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)" - } - ], - "parts": [ - { - "id": "si-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;" - }, - { - "id": "si-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "si-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "si-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(1)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity policy;" - }, - { - "id": "si-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "si-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(2)" - } - ], - "parts": [ - { - "id": "si-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity procedures; and" - }, - { - "id": "si-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "parameters": [ - { - "id": "si-2_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "within 30 days of release of updates" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SI-2" - }, - { - "name": "sort-id", - "value": "si-02" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies, reports, and corrects information system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "si-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)" - } - ], - "parts": [ - { - "id": "si-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)[1]" - } - ], - "prose": "identifies information system flaws;" - }, - { - "id": "si-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)[2]" - } - ], - "prose": "reports information system flaws;" - }, - { - "id": "si-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)[3]" - } - ], - "prose": "corrects information system flaws;" - } - ] - }, - { - "id": "si-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(b)" - } - ], - "parts": [ - { - "id": "si-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(b)[1]" - } - ], - "prose": "tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - }, - { - "id": "si-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(b)[2]" - } - ], - "prose": "tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - } - ] - }, - { - "id": "si-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)" - } - ], - "parts": [ - { - "id": "si-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)[1]" - } - ], - "prose": "defines the time period within which to install security-relevant software\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)[2]" - } - ], - "prose": "defines the time period within which to install security-relevant firmware\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)[3]" - } - ], - "prose": "installs software updates within the organization-defined time period of the\n release of the updates;" - }, - { - "id": "si-2.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)[4]" - } - ], - "prose": "installs firmware updates within the organization-defined time period of the\n release of the updates; and" - } - ] - }, - { - "id": "si-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(d)" - } - ], - "prose": "incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates" - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "parameters": [ - { - "id": "si-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "si-3_prm_2", - "constraints": [ - { - "detail": "to include endpoints" - } - ] - }, - { - "id": "si-3_prm_3", - "constraints": [ - { - "detail": "to include alerting administrator or defined security personnel" - } - ] - }, - { - "id": "si-3_prm_4", - "depends-on": "si-3_prm_3", - "label": "organization-defined action" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-3" - }, - { - "name": "sort-id", - "value": "si-03" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "\n {{ si-3_prm_3 }} in response to malicious code detection;\n and" - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-13", - "rel": "related", - "text": "SA-13" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-44", - "rel": "related", - "text": "SC-44" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)" - } - ], - "prose": "employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:", - "parts": [ - { - "id": "si-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[1]" - } - ], - "prose": "entry points;" - }, - { - "id": "si-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[2]" - } - ], - "prose": "exit points;" - } - ] - }, - { - "id": "si-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(b)" - } - ], - "prose": "updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);" - }, - { - "id": "si-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)" - } - ], - "parts": [ - { - "id": "si-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[1]" - } - ], - "prose": "defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;" - }, - { - "id": "si-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[2]" - } - ], - "prose": "defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;" - }, - { - "id": "si-3.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3]" - } - ], - "parts": [ - { - "id": "si-3.c.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)" - } - ], - "prose": "configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3.c.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[a]" - } - ], - "prose": "perform periodic scans of the information system with the\n organization-defined frequency;" - }, - { - "id": "si-3.c.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[b]" - } - ], - "prose": "perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;" - } - ] - }, - { - "id": "si-3.c.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)" - } - ], - "prose": "configures malicious code protection mechanisms to do one or more of the\n following:", - "parts": [ - { - "id": "si-3.c.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[a]" - } - ], - "prose": "block malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[b]" - } - ], - "prose": "quarantine malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[c]" - } - ], - "prose": "send alert to administrator in response to malicious code detection;\n and/or" - }, - { - "id": "si-3.c.2_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[d]" - } - ], - "prose": "initiate organization-defined action in response to malicious code\n detection;" - } - ] - } - ] - } - ] - }, - { - "id": "si-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(d)" - } - ], - "parts": [ - { - "id": "si-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(d)[1]" - } - ], - "prose": "addresses the receipt of false positives during malicious code detection and\n eradication; and" - }, - { - "id": "si-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(d)[2]" - } - ], - "prose": "addresses the resulting potential impact on the availability of the information\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions" - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "Information System Monitoring", - "parameters": [ - { - "id": "si-4_prm_1", - "label": "organization-defined monitoring objectives" - }, - { - "id": "si-4_prm_2", - "label": "organization-defined techniques and methods" - }, - { - "id": "si-4_prm_3", - "label": "organization-defined information system monitoring information" - }, - { - "id": "si-4_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4_prm_5" - }, - { - "id": "si-4_prm_6", - "depends-on": "si-4_prm_5", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4" - }, - { - "name": "sort-id", - "value": "si-04" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors the information system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifies unauthorized use of the information system through {{ si-4_prm_2 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Deploys monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Strategically within the information system to collect organization-determined\n essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}." - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-35", - "rel": "related", - "text": "SC-35" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[1]" - } - ], - "prose": "defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;" - }, - { - "id": "si-4.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2]" - } - ], - "prose": "monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:", - "parts": [ - { - "id": "si-4.a.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][a]" - } - ], - "prose": "attacks;" - }, - { - "id": "si-4.a.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][b]" - } - ], - "prose": "indicators of potential attacks;" - } - ] - } - ] - }, - { - "id": "si-4.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)" - } - ], - "prose": "monitors the information system to detect unauthorized:", - "parts": [ - { - "id": "si-4.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[1]" - } - ], - "prose": "local connections;" - }, - { - "id": "si-4.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[2]" - } - ], - "prose": "network connections;" - }, - { - "id": "si-4.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[3]" - } - ], - "prose": "remote connections;" - } - ] - } - ] - }, - { - "id": "si-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(b)" - } - ], - "parts": [ - { - "id": "si-4.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(b)(1)" - } - ], - "prose": "defines techniques and methods to identify unauthorized use of the information\n system;" - }, - { - "id": "si-4.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(b)(2)" - } - ], - "prose": "identifies unauthorized use of the information system through\n organization-defined techniques and methods;" - } - ] - }, - { - "id": "si-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)" - } - ], - "prose": "deploys monitoring devices:", - "parts": [ - { - "id": "si-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[1]" - } - ], - "prose": "strategically within the information system to collect organization-determined\n essential information;" - }, - { - "id": "si-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[2]" - } - ], - "prose": "at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)" - } - ], - "prose": "protects information obtained from intrusion-monitoring tools from\n unauthorized:", - "parts": [ - { - "id": "si-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[1]" - } - ], - "prose": "access;" - }, - { - "id": "si-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[2]" - } - ], - "prose": "modification;" - }, - { - "id": "si-4.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[3]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "si-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(e)" - } - ], - "prose": "heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(f)" - } - ], - "prose": "obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;" - }, - { - "id": "si-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)" - } - ], - "parts": [ - { - "id": "si-4.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[1]" - } - ], - "prose": "defines personnel or roles to whom information system monitoring information is\n to be provided;" - }, - { - "id": "si-4.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[2]" - } - ], - "prose": "defines information system monitoring information to be provided to\n organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[3]" - } - ], - "prose": "defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4]" - } - ], - "prose": "provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:", - "parts": [ - { - "id": "si-4.g_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][a]" - } - ], - "prose": "as needed; and/or" - }, - { - "id": "si-4.g_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][b]" - } - ], - "prose": "with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability" - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "parameters": [ - { - "id": "si-5_prm_1", - "label": "organization-defined external organizations" - }, - { - "id": "si-5_prm_2" - }, - { - "id": "si-5_prm_3", - "depends-on": "si-5_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-5_prm_4", - "depends-on": "si-5_prm_2", - "label": "organization-defined elements within the organization" - }, - { - "id": "si-5_prm_5", - "depends-on": "si-5_prm_2", - "label": "organization-defined external organizations" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-5" - }, - { - "name": "sort-id", - "value": "si-05" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.", - "links": [ - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "si-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(a)" - } - ], - "parts": [ - { - "id": "si-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(a)[1]" - } - ], - "prose": "defines external organizations from whom information system security alerts,\n advisories and directives are to be received;" - }, - { - "id": "si-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(a)[2]" - } - ], - "prose": "receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;" - } - ] - }, - { - "id": "si-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(b)" - } - ], - "prose": "generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)" - } - ], - "parts": [ - { - "id": "si-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[1]" - } - ], - "prose": "defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;" - }, - { - "id": "si-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[2]" - } - ], - "prose": "defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;" - }, - { - "id": "si-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[3]" - } - ], - "prose": "defines external organizations to whom security alerts, advisories, and\n directives are to be provided;" - }, - { - "id": "si-5.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4]" - } - ], - "prose": "disseminates security alerts, advisories, and directives to one or more of the\n following:", - "parts": [ - { - "id": "si-5.c_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][a]" - } - ], - "prose": "organization-defined personnel or roles;" - }, - { - "id": "si-5.c_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][b]" - } - ], - "prose": "organization-defined elements within the organization; and/or" - }, - { - "id": "si-5.c_obj.4.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][c]" - } - ], - "prose": "organization-defined external organizations; and" - } - ] - } - ] - }, - { - "id": "si-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)" - } - ], - "parts": [ - { - "id": "si-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[1]" - } - ], - "prose": "implements security directives in accordance with established time frames;\n or" - }, - { - "id": "si-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[2]" - } - ], - "prose": "notifies the issuing organization of the degree of noncompliance." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives" - } - ] - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Handling and Retention", - "properties": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "si-12" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "The organization handles and retains information within the information system and\n information output from the system in accordance with applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and operational\n requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information handling and retention requirements cover the full life cycle of\n information, in some cases extending beyond the disposal of information systems. The\n National Archives and Records Administration provides guidance on records\n retention.", - "links": [ - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - } - ] - }, - { - "id": "si-12_obj", - "name": "objective", - "prose": "Determine if the organization, in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and operational\n requirements:", - "parts": [ - { - "id": "si-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[1]" - } - ], - "prose": "handles information within the information system;" - }, - { - "id": "si-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[2]" - } - ], - "prose": "handles output from the information system;" - }, - { - "id": "si-12_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[3]" - } - ], - "prose": "retains information within the information system; and" - }, - { - "id": "si-12_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[4]" - } - ], - "prose": "retains output from the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nfederal laws, Executive Orders, directives, policies, regulations, standards, and\n operational requirements applicable to information handling and retention\\n\\nmedia protection policy and procedures\\n\\nprocedures addressing information system output handling and retention\\n\\ninformation retention records, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information handling and\n retention\\n\\norganizational personnel with information security responsibilities/network\n administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information handling and retention\\n\\nautomated mechanisms supporting and/or implementing information handling and\n retention" - } - ] - }, - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically related to US-CERT and FedRAMP communications\n procedures." - } - ] - } - ] - } - ], - "back-matter": { - "resources": [ - { - "uuid": "0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "title": "5 C.F.R. 731.106", - "citation": { - "text": "Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106,\n Designation of Public Trust Positions and Investigative Requirements (5 C.F.R.\n 731.106)." - }, - "rlinks": [ - { - "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html" - } - ] - }, - { - "uuid": "bb61234b-46c3-4211-8c2b-9869222a720d", - "title": "C.F.R. 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Regardless of device accessed from, must utilize\n approved remote access methods (AC-17), secure communication with strong\n encryption (SC-13), key management (SC-12), and multi-factor authentication for\n privileged access (IA-2 [1])."}]}]},{"control-id":"ac-20","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ac-22","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"at-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"at-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"at-3","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"at-4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"au-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"au-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"au-3","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"au-4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the audit data has been determined to have little or\n no impact to government business/mission needs."}]}]},{"control-id":"au-5","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"au-6","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"au-8","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"au-9","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"au-11","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the audit data has been determined as little or no\n impact to government business/mission needs."}]}]},{"control-id":"au-12","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ca-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ca-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ca-2_fr","name":"item","title":"CA-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)"}]}]}]},{"control-id":"ca-2.1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ca-3","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured."}]}]},{"control-id":"ca-5","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring\n Requirements."}]}]},{"control-id":"ca-6","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ca-6_fr","name":"item","title":"CA-6(c) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F. The service provider describes the types of changes to the\n information system or the environment of operations that would impact the risk\n posture. The types of changes are approved and accepted by the Authorizing\n Official."}]}]}]},{"control-id":"ca-7","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ca-7_fr","name":"item","title":"CA-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSPs must provide evidence of closure and remediation of high vulnerabilities\n within the timeframe for standard POA&M updates."},{"id":"ca-7_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)"}]}]}]},{"control-id":"ca-9","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured."}]}]},{"control-id":"cm-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"cm-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"cm-4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"cm-6","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Required - Specifically include details of least functionality."},{"id":"cm-6_fr","name":"item","title":"CM-6(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement 1:"}],"prose":"The service provider shall use the Center for Internet Security guidelines\n (Level 1) to establish configuration settings or establishes its own\n configuration settings if USGCB is not available. "},{"id":"cm-6_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement 2:"}],"prose":"The service provider shall ensure that checklists for configuration settings\n are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP\n compatible (if validated checklists are not available)."},{"id":"cm-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)."}]}]}]},{"control-id":"cm-7","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"cm-8","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"cm-8_fr","name":"item","title":"CM-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Must be provided at least monthly or when there is a change."}]}]}]},{"control-id":"cm-10","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO- Not directly related to protection of the data."}]}]},{"control-id":"cm-11","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Boundary is specific to SaaS environment; all access is via web services;\n users' machine or internal network are not contemplated. External services (SA-9),\n internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and\n SC-13), and privileged authentication (IA-2[1]) are considerations."}]}]},{"control-id":"cp-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"cp-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]}]},{"control-id":"cp-3","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]}]},{"control-id":"cp-4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]}]},{"control-id":"cp-9","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"cp-9_fr","name":"item","title":"CP-9 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-9_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine what elements of the cloud environment\n require the Information System Backup control. The service provider shall\n determine how Information System Backup is going to be verified and appropriate\n periodicity of the check."},{"id":"cp-9_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-9(a) Requirement:"}],"prose":"The service provider maintains at least three backup copies of user-level\n information (at least one of which is available online)."},{"id":"cp-9_fr_smt.b","name":"item","properties":[{"name":"label","value":"CP-9(b)Requirement:"}],"prose":"The service provider maintains at least three backup copies of system-level\n information (at least one of which is available online)."},{"id":"cp-9_fr_smt.c","name":"item","properties":[{"name":"label","value":"CP-9(c)Requirement:"}],"prose":"The service provider maintains at least three backup copies of information\n system documentation including security information (at least one of which is\n available online)."}]}]}]},{"control-id":"cp-10","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs."}]}]},{"control-id":"ia-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"NSO"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication - specifically include description\n of management of service accounts."}]}]},{"control-id":"ia-2.1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"ia-2.12","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP."},{"id":"ia-2.12_fr","name":"item","title":"IA-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include Common Access Card (CAC), i.e., the DoD technical implementation of\n PIV/FIPS 201/HSPD-12."}]}]}]},{"control-id":"ia-4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-5","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-5.1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-5.11","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"FED"},{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"FED - for Federal privileged users. Condition - Must document and assess for\n privileged users. May attest to this control for non-privileged users."}]}]},{"control-id":"ia-6","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}]}]},{"control-id":"ia-7","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-8","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-8.1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP."}]}]},{"control-id":"ia-8.2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"CONDITIONAL"}],"parts":[{"name":"guidance","class":"FedRAMP-Tailored-LI-SaaS","prose":"Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP."}]}]},{"control-id":"ia-8.3","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ia-8.4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ir-1","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ir-2","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ir-4","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ir-4_fr","name":"item","title":"IR-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-4_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider ensures that individuals conducting incident handling meet\n personnel security requirements commensurate with the criticality/sensitivity\n of the information being processed, stored, and transmitted by the information\n system."}]}]}]},{"control-id":"ir-5","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ATTEST"}]}]},{"control-id":"ir-6","removals":[{"name-ref":"objective"},{"name-ref":"assessment"}],"additions":[{"position":"ending","properties":[{"name":"method","class":"FedRAMP-Tailored-LI-SaaS","value":"ASSESS"}],"parts":[{"id":"ir-6_fr","name":"item","title":"IR-6 Additional FedRAMP Requirements and 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}, - { - "control-id": "cp-1" - }, - { - "control-id": "cp-2" - }, - { - "control-id": "cp-3" - }, - { - "control-id": "cp-4" - }, - { - "control-id": "cp-9" - }, - { - "control-id": "cp-10" - }, - { - "control-id": "ia-1" - }, - { - "control-id": "ia-2" - }, - { - "control-id": "ia-2.1" - }, - { - "control-id": "ia-2.12" - }, - { - "control-id": "ia-4" - }, - { - "control-id": "ia-5" - }, - { - "control-id": "ia-5.1" - }, - { - "control-id": "ia-5.11" - }, - { - "control-id": "ia-6" - }, - { - "control-id": "ia-7" - }, - { - "control-id": "ia-8" - }, - { - "control-id": "ia-8.1" - }, - { - "control-id": "ia-8.2" - }, - { - "control-id": "ia-8.3" - }, - { - "control-id": "ia-8.4" - }, - { - "control-id": "ir-1" - }, - { - "control-id": "ir-2" - }, - { - "control-id": "ir-4" - }, - { - "control-id": "ir-5" - }, - { - "control-id": "ir-6" - }, - { - "control-id": "ir-7" - }, - { - "control-id": "ir-8" - }, - { - "control-id": "ir-9" - }, - { - "control-id": "ma-1" - }, - { - "control-id": "ma-2" - }, - { - "control-id": "ma-4" - }, - { - "control-id": "ma-5" - }, - { - "control-id": "mp-1" - }, - { - "control-id": "mp-2" - }, - { - "control-id": "mp-6" - }, - { - "control-id": "mp-7" - }, - { - "control-id": "pe-1" - }, - { - "control-id": "pe-2" - }, - { - "control-id": "pe-3" - }, - { - "control-id": "pe-6" - }, - { - "control-id": "pe-8" - }, - { - "control-id": "pe-12" - }, - { - "control-id": "pe-13" - }, - { - "control-id": "pe-14" - }, - { - "control-id": "pe-15" - }, - { - "control-id": "pe-16" - }, - { - "control-id": "pl-1" - }, - { - "control-id": "pl-2" - }, - { - "control-id": "pl-4" - }, - { - "control-id": "ps-1" - }, - { - "control-id": "ps-2" - }, - { - "control-id": "ps-3" - }, - { - "control-id": "ps-4" - }, - { - "control-id": "ps-5" - }, - { - "control-id": "ps-6" - }, - { - "control-id": "ps-7" - }, - { - "control-id": "ps-8" - }, - { - "control-id": "ra-1" - }, - { - "control-id": "ra-2" - }, - { - "control-id": "ra-3" - }, - { - "control-id": "ra-5" - }, - { - "control-id": "sa-1" - }, - { - "control-id": "sa-2" - }, - { - "control-id": "sa-3" - }, - { - "control-id": "sa-4" - }, - { - "control-id": "sa-4.10" - }, - { - "control-id": "sa-5" - }, - { - "control-id": "sa-9" - }, - { - "control-id": "sc-1" - }, - { - "control-id": "sc-5" - }, - { - "control-id": "sc-7" - }, - { - "control-id": "sc-12" - }, - { - "control-id": "sc-13" - }, - { - "control-id": "sc-15" - }, - { - "control-id": "sc-20" - }, - { - "control-id": "sc-21" - }, - { - "control-id": "sc-22" - }, - { - "control-id": "sc-39" - }, - { - "control-id": "si-1" - }, - { - "control-id": "si-2" - }, - { - "control-id": "si-3" - }, - { - "control-id": "si-4" - }, - { - "control-id": "si-5" - }, - { - "control-id": "si-12" - } - ] - } - } - ], - "merge": { - "combine": { - "method": "keep" - }, - "as-is": true - }, - "modify": { - "parameter-settings": { - "ac-22_prm_1": { - "constraints": [ - { - "detail": "at least quarterly" - } - ] - }, - "au-5_prm_2": { - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - }, - "au-6_prm_1": { - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - "ca-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-2_prm_2": { - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - }, - "ca-3_prm_1": { - "constraints": [ - { - "detail": "at least annually and on input from FedRAMP" - } - ] - }, - "ca-5_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "ca-6_prm_1": { - "constraints": [ - { - "detail": "at least every three years or when a significant change occurs" - } - ] - }, - "ca-7_prm_4": { - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - "ca-7_prm_5": { - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - "cm-6_prm_1": { - "constraints": [ - { - "detail": "see CM-6(a) Additional FedRAMP Requirements and Guidance" - } - ] - }, - "cm-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "cp-9_prm_1": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9_prm_2": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9_prm_3": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "ir-6_prm_1": { - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - "pe-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_2": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - "pe-3_prm_6": { - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - "pe-3_prm_8": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_9": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-6_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-8_prm_1": { - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - "pe-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-14_prm_1": { - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - "pe-14_prm_2": { - "constraints": [ - { - "detail": "continuously" - } - ] - }, - "pe-16_prm_1": { - "constraints": [ - { - "detail": "all information system components" - } - ] - }, - "pl-2_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ps-3_prm_1": { - "constraints": [ - { - "detail": "For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions." - } - ] - }, - "ra-3_prm_2": { - "constraints": [ - { - "detail": "security assessment report" - } - ] - }, - "ra-3_prm_3": { - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - "ra-3_prm_5": { - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - "ra-5_prm_1": { - "constraints": [ - { - "detail": "monthly operating system/infrastructure; monthly web applications and databases" - } - ] - }, - "ra-5_prm_2": { - "constraints": [ - { - "detail": "[high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery." - } - ] - }, - "sa-9_prm_1": { - "constraints": [ - { - "detail": "FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system" - } - ] - }, - "sa-9_prm_2": { - "constraints": [ - { - "detail": "Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored" - } - ] - }, - "sc-13_prm_1": { - "constraints": [ - { - "detail": "FIPS-validated or NSA-approved cryptography" - } - ] - }, - "si-2_prm_1": { - "constraints": [ - { - "detail": "within 30 days of release of updates" - } - ] - }, - "si-3_prm_1": { - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - "si-3_prm_2": { - "constraints": [ - { - "detail": "to include endpoints" - } - ] - }, - "si-3_prm_3": { - "constraints": [ - { - "detail": "to include alerting administrator or defined security personnel" - } - ] - } - }, - "alterations": [ - { - "control-id": "ac-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ac-2", - "removals": [ - { - "id-ref": "ac-2_smt.b" - }, - { - "id-ref": "ac-2_smt.c" - }, - { - "id-ref": "ac-2_smt.d" - }, - { - "id-ref": "ac-2_smt.e" - }, - { - "id-ref": "ac-2_smt.i" - }, - { - "id-ref": "ac-2_smt.j" - }, - { - "id-ref": "ac-2_smt.k" - }, - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ac-2_fr", - "name": "item", - "title": "AC-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored\n for LI-SaaS." - } - ] - } - ] - } - ] - }, - { - "control-id": "ac-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "ac-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication." - } - ] - } - ] - }, - { - "control-id": "ac-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "FED - This is related to agency data and agency policy solution." - } - ] - } - ] - }, - { - "control-id": "ac-14", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "FED - This is related to agency data and agency policy solution." - } - ] - } - ] - }, - { - "control-id": "ac-17", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "ac-18", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - All access to Cloud SaaS are via web services and/or API. The device\n accessed from or whether via wired or wireless connection is out of scope.\n Regardless of device accessed from, must utilize approved remote access methods\n (AC-17), secure communication with strong encryption (SC-13), key management\n (SC-12), and multi-factor authentication for privileged access (IA-2[1])." - } - ] - } - ] - }, - { - "control-id": "ac-19", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - All access to Cloud SaaS are via web service and/or API. The device accessed\n from is out of the scope. Regardless of device accessed from, must utilize\n approved remote access methods (AC-17), secure communication with strong\n encryption (SC-13), key management (SC-12), and multi-factor authentication for\n privileged access (IA-2 [1])." - } - ] - } - ] - }, - { - "control-id": "ac-20", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ac-22", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "at-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "at-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "at-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "at-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "au-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "au-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "au-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "au-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the audit data has been determined to have little or\n no impact to government business/mission needs." - } - ] - } - ] - }, - { - "control-id": "au-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "au-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "au-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "au-9", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "au-11", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the audit data has been determined as little or no\n impact to government business/mission needs." - } - ] - } - ] - }, - { - "control-id": "au-12", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ca-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ca-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)" - } - ] - } - ] - } - ] - }, - { - "control-id": "ca-2.1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ca-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured." - } - ] - } - ] - }, - { - "control-id": "ca-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring\n Requirements." - } - ] - } - ] - }, - { - "control-id": "ca-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F. The service provider describes the types of changes to the\n information system or the environment of operations that would impact the risk\n posture. The types of changes are approved and accepted by the Authorizing\n Official." - } - ] - } - ] - } - ] - }, - { - "control-id": "ca-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities\n within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)" - } - ] - } - ] - } - ] - }, - { - "control-id": "ca-9", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: There are connection(s) to external systems. Connections (if any) shall\n be authorized and must: 1) Identify the interface/connection. 2) Detail what data\n is involved and its sensitivity. 3) Determine whether the connection is one-way or\n bi-directional. 4) Identify how the connection is secured." - } - ] - } - ] - }, - { - "control-id": "cm-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "cm-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "cm-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "cm-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Required - Specifically include details of least functionality." - }, - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines\n (Level 1) to establish configuration settings or establishes its own\n configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings\n are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP\n compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - } - ] - }, - { - "control-id": "cm-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "cm-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - } - ] - }, - { - "control-id": "cm-10", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO- Not directly related to protection of the data." - } - ] - } - ] - }, - { - "control-id": "cm-11", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Boundary is specific to SaaS environment; all access is via web services;\n users' machine or internal network are not contemplated. External services (SA-9),\n internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and\n SC-13), and privileged authentication (IA-2[1]) are considerations." - } - ] - } - ] - }, - { - "control-id": "cp-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "cp-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - } - ] - }, - { - "control-id": "cp-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - } - ] - }, - { - "control-id": "cp-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - } - ] - }, - { - "control-id": "cp-9", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment\n require the Information System Backup control. The service provider shall\n determine how Information System Backup is going to be verified and appropriate\n periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level\n information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level\n information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information\n system documentation including security information (at least one of which is\n available online)." - } - ] - } - ] - } - ] - }, - { - "control-id": "cp-10", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Loss of availability of the SaaS has been determined as little or no impact\n to government business/mission needs." - } - ] - } - ] - }, - { - "control-id": "ia-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO for non-privileged users. Attestation for privileged users related to\n multi-factor identification and authentication - specifically include description\n of management of service accounts." - } - ] - } - ] - }, - { - "control-id": "ia-2.1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "ia-2.12", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP." - }, - { - "id": "ia-2.12_fr", - "name": "item", - "title": "IA-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include Common Access Card (CAC), i.e., the DoD technical implementation of\n PIV/FIPS 201/HSPD-12." - } - ] - } - ] - } - ] - }, - { - "control-id": "ia-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-5.1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-5.11", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - }, - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "FED - for Federal privileged users. Condition - Must document and assess for\n privileged users. May attest to this control for non-privileged users." - } - ] - } - ] - }, - { - "control-id": "ia-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "ia-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-8.1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP." - } - ] - } - ] - }, - { - "control-id": "ia-8.2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Must document and assess for privileged users. May attest to this\n control for non-privileged users. FedRAMP requires a minimum of multi-factor\n authentication for all Federal privileged users, if acceptance of PIV credentials\n is not supported. The implementation status and details of how this control is\n implemented must be clearly defined by the CSP." - } - ] - } - ] - }, - { - "control-id": "ia-8.3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ia-8.4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ir-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ir-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ir-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ir-4_fr", - "name": "item", - "title": "IR-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-4_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider ensures that individuals conducting incident handling meet\n personnel security requirements commensurate with the criticality/sensitivity\n of the information being processed, stored, and transmitted by the information\n system." - } - ] - } - ] - } - ] - }, - { - "control-id": "ir-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ir-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ir-6_fr", - "name": "item", - "title": "IR-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Report security incident information according to FedRAMP Incident\n Communications Procedure." - } - ] - } - ] - } - ] - }, - { - "control-id": "ir-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ir-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically attest to US-CERT compliance." - } - ] - } - ] - }, - { - "control-id": "ir-9", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically describe information spillage response processes." - } - ] - } - ] - }, - { - "control-id": "ma-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ma-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "ma-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ma-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "mp-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "mp-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "mp-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "mp-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "pe-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-12", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-13", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-14", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - }, - { - "id": "pe-14_fr", - "name": "item", - "title": "PE-14(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pe-14_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider measures temperature at server inlets and humidity levels\n by dew point." - } - ] - } - ] - } - ] - }, - { - "control-id": "pe-15", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pe-16", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS." - } - ] - } - ] - }, - { - "control-id": "pl-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "pl-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "pl-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ps-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ps-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "FED" - } - ] - } - ] - }, - { - "control-id": "ps-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "ps-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ps-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ps-6", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ps-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Attestation - Specifically stating that any third-party security personnel are\n treated as CSP employees." - } - ] - } - ] - }, - { - "control-id": "ps-8", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ra-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "ra-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "ra-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ra-3_fr", - "name": "item", - "title": "RA-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1,\n Appendix F" - }, - { - "id": "ra-3_fr_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "RA-3 (d) Requirement:" - } - ], - "prose": "Include all Authorizing Officials; for JAB authorizations to include\n FedRAMP." - } - ] - } - ] - } - ] - }, - { - "control-id": "ra-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "ra-5_fr_smt.a", - "name": "item", - "title": "RA-5(a) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (a)Requirement:" - } - ], - "prose": "An accredited independent assessor scans operating systems/infrastructure, web\n applications, and databases once annually." - }, - { - "id": "ra-5_fr_smt.e", - "name": "item", - "title": "RA-5(e) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (e)Requirement:" - } - ], - "prose": "To include all Authorizing Officials; for JAB authorizations to include\n FedRAMP." - }, - { - "id": "ra-5_fr", - "name": "item", - "title": "RA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "**See the FedRAMP Documents page under Key Cloud Service Provider (CSP)\n Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))" - } - ] - } - ] - } - ] - }, - { - "control-id": "sa-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sa-2", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sa-3", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sa-4", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sa-4.10", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sa-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sa-9", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "sc-1", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sc-5", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: If availability is a requirement, define protections in place as per\n control requirement." - } - ] - } - ] - }, - { - "control-id": "sc-7", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ] - } - ] - }, - { - "control-id": "sc-12", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ASSESS" - } - ], - "parts": [ - { - "id": "sc-12_fr", - "name": "item", - "title": "SC-12 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Federally approved cryptography." - } - ] - } - ] - } - ] - }, - { - "control-id": "sc-13", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "CONDITIONAL" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "Condition: If implementing need to detail how they meet it or don't meet it." - } - ] - } - ] - }, - { - "control-id": "sc-15", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "NSO" - } - ], - "parts": [ - { - "name": "guidance", - "class": "FedRAMP-Tailored-LI-SaaS", - "prose": "NSO - Not directly related to the security of the SaaS." - } - ] - } - ] - }, - { - "control-id": "sc-20", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sc-21", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sc-22", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "sc-39", - "removals": [ - { - "name-ref": "objective" - }, - { - "name-ref": "assessment" - } - ], - "additions": [ - { - "position": "ending", - "properties": [ - { - "name": "method", - "class": "FedRAMP-Tailored-LI-SaaS", - "value": "ATTEST" - } - ] - } - ] - }, - { - "control-id": "si-1", - "removals": [ - { - "name-ref": "objective" - 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"title": "NIST Special Publication (SP) 800-53", - "properties": [ - { - "name": "version", - "ns": "https://fedramp.gov/ns/oscal", - "value": "Revision 4" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "media-type": "application/xml" - } - ] - } - ] - } - } -} diff --git a/content/fedramp.gov/json/FedRAMP_LOW-baseline-resolved-profile_catalog-min.json b/content/fedramp.gov/json/FedRAMP_LOW-baseline-resolved-profile_catalog-min.json deleted file mode 100644 index ea239455c9..0000000000 --- a/content/fedramp.gov/json/FedRAMP_LOW-baseline-resolved-profile_catalog-min.json +++ /dev/null @@ -1 +0,0 @@ -{"catalog":{"uuid":"d320d731-1aea-4d48-a4df-05b1c9f48c04","metadata":{"title":"FedRAMP Low Baseline","published":"2020-06-01T00:00:00.000-04:00","last-modified":"2020-06-01T10:00:00.000-04:00","version":"1.2","oscal-version":"1.0.0-milestone3","properties":[{"name":"resolution-timestamp","value":"2020-08-31T17:38:45.129825Z"}],"links":[{"href":"FedRAMP_LOW-baseline_profile.xml","rel":"resolution-source","text":"FedRAMP Low Baseline"}],"roles":[{"id":"parpared-by","title":"Document creator"},{"id":"fedramp-pmo","title":"The FedRAMP Program Management Office (PMO)","short-name":"CSP"},{"id":"fedramp-jab","title":"The FedRAMP Joint Authorization Board (JAB)","short-name":"CSP"}],"parties":[{"uuid":"8cc0b8e5-9650-4d5f-9796-316f05fa9a2d","type":"organization","party-name":"Federal Risk and Authorization Management Program: Program Management Office","short-name":"FedRAMP PMO","links":[{"href":"https://fedramp.gov","rel":"homepage","text":""}],"addresses":[{"type":"work","postal-address":["1800 F St. NW",""],"city":"Washington","state":"DC","postal-code":"","country":"US"}],"email-addresses":["info@fedramp.gov"]},{"uuid":"ca9ba80e-1342-4bfd-b32a-abac468c24b4","type":"organization","party-name":"Federal Risk and Authorization Management Program: Joint Authorization Board","short-name":"FedRAMP JAB"}],"responsible-parties":{"prepared-by":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-pmo":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-jab":{"party-uuids":["ca9ba80e-1342-4bfd-b32a-abac468c24b4"]}}},"groups":[{"id":"ac","class":"family","title":"Access Control","controls":[{"id":"ac-1","class":"SP800-53","title":"Access Control Policy and Procedures","parameters":[{"id":"ac-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ac-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ac-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-1"},{"name":"sort-id","value":"ac-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ac-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ac-1_prm_1 }}:","parts":[{"id":"ac-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An access control policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ac-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the access control policy and\n associated access controls; and"}]},{"id":"ac-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ac-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Access control policy {{ ac-1_prm_2 }}; and"},{"id":"ac-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Access control procedures {{ ac-1_prm_3 }}."}]}]},{"id":"ac-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ac-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)"}],"parts":[{"id":"ac-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)"}],"parts":[{"id":"ac-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(1)[1]"}],"prose":"develops and documents an access control policy that addresses:","parts":[{"id":"ac-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ac-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ac-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ac-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ac-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ac-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ac-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ac-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the access control policy are to be\n disseminated;"},{"id":"ac-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-1(a)(1)[3]"}],"prose":"disseminates the access control policy to organization-defined personnel or\n roles;"}]},{"id":"ac-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)"}],"parts":[{"id":"ac-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;"},{"id":"ac-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ac-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ac-1.b_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)"}],"parts":[{"id":"ac-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(1)"}],"parts":[{"id":"ac-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current access control\n policy;"},{"id":"ac-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(1)[2]"}],"prose":"reviews and updates the current access control policy with the\n organization-defined frequency;"}]},{"id":"ac-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(2)"}],"parts":[{"id":"ac-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current access control\n procedures; and"},{"id":"ac-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(2)[2]"}],"prose":"reviews and updates the current access control procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-2","class":"SP800-53","title":"Account Management","parameters":[{"id":"ac-2_prm_1","label":"organization-defined information system account types"},{"id":"ac-2_prm_2","label":"organization-defined personnel or roles"},{"id":"ac-2_prm_3","label":"organization-defined procedures or conditions"},{"id":"ac-2_prm_4","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2"},{"name":"sort-id","value":"ac-02"}],"parts":[{"id":"ac-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};"},{"id":"ac-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assigns account managers for information system accounts;"},{"id":"ac-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes conditions for group and role membership;"},{"id":"ac-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Specifies authorized users of the information system, group and role membership,\n and access authorizations (i.e., privileges) and other attributes (as required)\n for each account;"},{"id":"ac-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requires approvals by {{ ac-2_prm_2 }} for requests to create\n information system accounts;"},{"id":"ac-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};"},{"id":"ac-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Monitors the use of information system accounts;"},{"id":"ac-2_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Notifies account managers:","parts":[{"id":"ac-2_smt.h.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"When accounts are no longer required;"},{"id":"ac-2_smt.h.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"When users are terminated or transferred; and"},{"id":"ac-2_smt.h.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"When individual information system usage or need-to-know changes;"}]},{"id":"ac-2_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Authorizes access to the information system based on:","parts":[{"id":"ac-2_smt.i.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A valid access authorization;"},{"id":"ac-2_smt.i.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Intended system usage; and"},{"id":"ac-2_smt.i.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and"},{"id":"ac-2_smt.k","name":"item","properties":[{"name":"label","value":"k."}],"prose":"Establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"id":"ac-2_gdn","name":"guidance","prose":"Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-10","rel":"related","text":"AC-10"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.a_obj","name":"objective","properties":[{"name":"label","value":"AC-2(a)"}],"parts":[{"id":"ac-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(a)[1]"}],"prose":"defines information system account types to be identified and selected to\n support organizational missions/business functions;"},{"id":"ac-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-2(a)[2]"}],"prose":"identifies and selects organization-defined information system account types to\n support organizational missions/business functions;"}]},{"id":"ac-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-2(b)"}],"prose":"assigns account managers for information system accounts;"},{"id":"ac-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(c)"}],"prose":"establishes conditions for group and role membership;"},{"id":"ac-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(d)"}],"prose":"specifies for each account (as required):","parts":[{"id":"ac-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(d)[1]"}],"prose":"authorized users of the information system;"},{"id":"ac-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(d)[2]"}],"prose":"group and role membership;"},{"id":"ac-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"AC-2(d)[3]"}],"prose":"access authorizations (i.e., privileges);"},{"id":"ac-2.d_obj.4","name":"objective","properties":[{"name":"label","value":"AC-2(d)[4]"}],"prose":"other attributes;"}]},{"id":"ac-2.e_obj","name":"objective","properties":[{"name":"label","value":"AC-2(e)"}],"parts":[{"id":"ac-2.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(e)[1]"}],"prose":"defines personnel or roles required to approve requests to create information\n system accounts;"},{"id":"ac-2.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(e)[2]"}],"prose":"requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;"}]},{"id":"ac-2.f_obj","name":"objective","properties":[{"name":"label","value":"AC-2(f)"}],"parts":[{"id":"ac-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(f)[1]"}],"prose":"defines procedures or conditions to:","parts":[{"id":"ac-2.f_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][a]"}],"prose":"create information system accounts;"},{"id":"ac-2.f_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][b]"}],"prose":"enable information system accounts;"},{"id":"ac-2.f_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][c]"}],"prose":"modify information system accounts;"},{"id":"ac-2.f_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][d]"}],"prose":"disable information system accounts;"},{"id":"ac-2.f_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][e]"}],"prose":"remove information system accounts;"}]},{"id":"ac-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(f)[2]"}],"prose":"in accordance with organization-defined procedures or conditions:","parts":[{"id":"ac-2.f_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][a]"}],"prose":"creates information system accounts;"},{"id":"ac-2.f_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][b]"}],"prose":"enables information system accounts;"},{"id":"ac-2.f_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][c]"}],"prose":"modifies information system accounts;"},{"id":"ac-2.f_obj.2.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][d]"}],"prose":"disables information system accounts;"},{"id":"ac-2.f_obj.2.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][e]"}],"prose":"removes information system accounts;"}]}]},{"id":"ac-2.g_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(g)"}],"prose":"monitors the use of information system accounts;"},{"id":"ac-2.h_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(h)"}],"prose":"notifies account managers:","parts":[{"id":"ac-2.h.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(1)"}],"prose":"when accounts are no longer required;"},{"id":"ac-2.h.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(2)"}],"prose":"when users are terminated or transferred;"},{"id":"ac-2.h.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(3)"}],"prose":"when individual information system usage or need to know changes;"}]},{"id":"ac-2.i_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(i)"}],"prose":"authorizes access to the information system based on;","parts":[{"id":"ac-2.i.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(1)"}],"prose":"a valid access authorization;"},{"id":"ac-2.i.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(2)"}],"prose":"intended system usage;"},{"id":"ac-2.i.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(3)"}],"prose":"other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2.j_obj","name":"objective","properties":[{"name":"label","value":"AC-2(j)"}],"parts":[{"id":"ac-2.j_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(j)[1]"}],"prose":"defines the frequency to review accounts for compliance with account management\n requirements;"},{"id":"ac-2.j_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(j)[2]"}],"prose":"reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and"}]},{"id":"ac-2.k_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(k)"}],"prose":"establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management"}]}]},{"id":"ac-3","class":"SP800-53","title":"Access Enforcement","properties":[{"name":"label","value":"AC-3"},{"name":"sort-id","value":"ac-03"}],"parts":[{"id":"ac-3_smt","name":"statement","prose":"The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies."},{"id":"ac-3_gdn","name":"guidance","prose":"Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ac-21","rel":"related","text":"AC-21"},{"href":"#ac-22","rel":"related","text":"AC-22"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"ac-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy"}]}]},{"id":"ac-7","class":"SP800-53","title":"Unsuccessful Logon Attempts","parameters":[{"id":"ac-7_prm_1","label":"organization-defined number","constraints":[{"detail":"not more than three (3)"}]},{"id":"ac-7_prm_2","label":"organization-defined time period","constraints":[{"detail":"fifteen (15) minutes"}]},{"id":"ac-7_prm_3"},{"id":"ac-7_prm_4","depends-on":"ac-7_prm_3","label":"organization-defined time period","constraints":[{"detail":"thirty (30) minutes"}]},{"id":"ac-7_prm_5","depends-on":"ac-7_prm_3","label":"organization-defined delay algorithm"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-7"},{"name":"sort-id","value":"ac-07"}],"parts":[{"id":"ac-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and"},{"id":"ac-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded."}]},{"id":"ac-7_gdn","name":"guidance","prose":"This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ia-5","rel":"related","text":"IA-5"}]},{"id":"ac-7_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-7.a_obj","name":"objective","properties":[{"name":"label","value":"AC-7(a)"}],"parts":[{"id":"ac-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(a)[1]"}],"prose":"the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;"},{"id":"ac-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(a)[2]"}],"prose":"the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;"},{"id":"ac-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(a)[3]"}],"prose":"the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;"}]},{"id":"ac-7.b_obj","name":"objective","properties":[{"name":"label","value":"AC-7(b)"}],"parts":[{"id":"ac-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(b)[1]"}],"prose":"the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;"},{"id":"ac-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(b)[2]"}],"prose":"the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:","parts":[{"id":"ac-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][a]"}],"prose":"locks the account/node for the organization-defined time period;"},{"id":"ac-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][b]"}],"prose":"locks the account/node until released by an administrator; or"},{"id":"ac-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][c]"}],"prose":"delays next logon prompt according to the organization-defined delay\n algorithm."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for unsuccessful logon\n attempts"}]}]},{"id":"ac-8","class":"SP800-53","title":"System Use Notification","parameters":[{"id":"ac-8_prm_1","label":"organization-defined system use notification message or banner","constraints":[{"detail":"see additional Requirements and Guidance"}]},{"id":"ac-8_prm_2","label":"organization-defined conditions","constraints":[{"detail":"see additional Requirements and Guidance"}]}],"properties":[{"name":"label","value":"AC-8"},{"name":"sort-id","value":"ac-08"}],"parts":[{"id":"ac-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:","parts":[{"id":"ac-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Users are accessing a U.S. Government information system;"},{"id":"ac-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Information system usage may be monitored, recorded, and subject to audit;"},{"id":"ac-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and"},{"id":"ac-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Use of the information system indicates consent to monitoring and\n recording;"}]},{"id":"ac-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and"},{"id":"ac-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"For publicly accessible systems:","parts":[{"id":"ac-8_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;"},{"id":"ac-8_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and"},{"id":"ac-8_smt.c.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Includes a description of the authorized uses of the system."}]},{"id":"ac-8_fr","name":"item","title":"AC-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO."},{"id":"ac-8_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided."},{"id":"ac-8_fr_smt.3","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO."}]}]},{"id":"ac-8_gdn","name":"guidance","prose":"System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content."},{"id":"ac-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-8.a_obj","name":"objective","properties":[{"name":"label","value":"AC-8(a)"}],"parts":[{"id":"ac-8.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(a)[1]"}],"prose":"the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;"},{"id":"ac-8.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(a)[2]"}],"prose":"the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:","parts":[{"id":"ac-8.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](1)"}],"prose":"users are accessing a U.S. Government information system;"},{"id":"ac-8.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](2)"}],"prose":"information system usage may be monitored, recorded, and subject to\n audit;"},{"id":"ac-8.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](3)"}],"prose":"unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;"},{"id":"ac-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](4)"}],"prose":"use of the information system indicates consent to monitoring and\n recording;"}]}]},{"id":"ac-8.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(b)"}],"prose":"the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;"},{"id":"ac-8.c_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)"}],"prose":"for publicly accessible systems:","parts":[{"id":"ac-8.c.1_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)(1)"}],"parts":[{"id":"ac-8.c.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(c)(1)[1]"}],"prose":"the organization defines conditions for system use to be displayed by the\n information system before granting further access;"},{"id":"ac-8.c.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(c)(1)[2]"}],"prose":"the information system displays organization-defined conditions before\n granting further access;"}]},{"id":"ac-8.c.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(c)(2)"}],"prose":"the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and"},{"id":"ac-8.c.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(c)(3)"}],"prose":"the information system includes a description of the authorized uses of the\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing system use notification"}]}]},{"id":"ac-14","class":"SP800-53","title":"Permitted Actions Without Identification or Authentication","parameters":[{"id":"ac-14_prm_1","label":"organization-defined user actions"}],"properties":[{"name":"label","value":"AC-14"},{"name":"sort-id","value":"ac-14"}],"parts":[{"id":"ac-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"},{"id":"ac-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"id":"ac-14_gdn","name":"guidance","prose":"This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ia-2","rel":"related","text":"IA-2"}]},{"id":"ac-14_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-14.a_obj","name":"objective","properties":[{"name":"label","value":"AC-14(a)"}],"parts":[{"id":"ac-14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-14(a)[1]"}],"prose":"defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;"},{"id":"ac-14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-14(a)[2]"}],"prose":"identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"}]},{"id":"ac-14.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-14(b)"}],"prose":"documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-17","class":"SP800-53","title":"Remote Access","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-17"},{"name":"sort-id","value":"ac-17"}],"links":[{"href":"#5309d4d0-46f8-4213-a749-e7584164e5e8","rel":"reference","text":"NIST Special Publication 800-46"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#349fe082-502d-464a-aa0c-1443c6a5cf40","rel":"reference","text":"NIST Special Publication 800-113"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#d1a4e2a9-e512-4132-8795-5357aba29254","rel":"reference","text":"NIST Special Publication 800-121"}],"parts":[{"id":"ac-17_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and"},{"id":"ac-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes remote access to the information system prior to allowing such\n connections."}]},{"id":"ac-17_gdn","name":"guidance","prose":"Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#pe-17","rel":"related","text":"PE-17"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-17_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.a_obj","name":"objective","properties":[{"name":"label","value":"AC-17(a)"}],"parts":[{"id":"ac-17.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[1]"}],"prose":"identifies the types of remote access allowed to the information system;"},{"id":"ac-17.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[2]"}],"prose":"establishes for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][c]"}],"prose":"implementation guidance;"}]},{"id":"ac-17.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[3]"}],"prose":"documents for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.3.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][c]"}],"prose":"implementation guidance; and"}]}]},{"id":"ac-17.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(b)"}],"prose":"authorizes remote access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Remote access management capability for the information system"}]}]},{"id":"ac-18","class":"SP800-53","title":"Wireless Access","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-18"},{"name":"sort-id","value":"ac-18"}],"links":[{"href":"#238ed479-eccb-49f6-82ec-ab74a7a428cf","rel":"reference","text":"NIST Special Publication 800-48"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#6f336ecd-f2a0-4c84-9699-0491d81b6e0d","rel":"reference","text":"NIST Special Publication 800-97"}],"parts":[{"id":"ac-18_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-18_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and"},{"id":"ac-18_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes wireless access to the information system prior to allowing such\n connections."}]},{"id":"ac-18_gdn","name":"guidance","prose":"Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-18.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-18(a)"}],"prose":"establishes for wireless access:","parts":[{"id":"ac-18.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-18(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-18.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-18(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-18.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-18(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-18.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-18(b)"}],"prose":"authorizes wireless access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Wireless access management capability for the information system"}]}]},{"id":"ac-19","class":"SP800-53","title":"Access Control for Mobile Devices","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-19"},{"name":"sort-id","value":"ac-19"}],"links":[{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589","rel":"reference","text":"NIST Special Publication 800-124"},{"href":"#6513e480-fada-4876-abba-1397084dfb26","rel":"reference","text":"NIST Special Publication 800-164"}],"parts":[{"id":"ac-19_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-19_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and"},{"id":"ac-19_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes the connection of mobile devices to organizational information\n systems."}]},{"id":"ac-19_gdn","name":"guidance","prose":"A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-9","rel":"related","text":"CA-9"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-43","rel":"related","text":"SC-43"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-19.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-19(a)"}],"prose":"establishes for organization-controlled mobile devices:","parts":[{"id":"ac-19.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-19(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-19.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-19(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-19.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-19(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-19.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-19(b)"}],"prose":"authorizes the connection of mobile devices to organizational information\n systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Access control capability authorizing mobile device connections to organizational\n information systems"}]}]},{"id":"ac-20","class":"SP800-53","title":"Use of External Information Systems","properties":[{"name":"label","value":"AC-20"},{"name":"sort-id","value":"ac-20"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"}],"parts":[{"id":"ac-20_smt","name":"statement","prose":"The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:","parts":[{"id":"ac-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Access the information system from external information systems; and"},{"id":"ac-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Process, store, or transmit organization-controlled information using external\n information systems."}]},{"id":"ac-20_gdn","name":"guidance","prose":"External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ac-20_obj","name":"objective","prose":"Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ","parts":[{"id":"ac-20.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-20(a)"}],"prose":"access the information system from the external information systems; and"},{"id":"ac-20.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-20(b)"}],"prose":"process, store, or transmit organization-controlled information using external\n information systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing terms and conditions on use of external\n information systems"}]}]},{"id":"ac-22","class":"SP800-53","title":"Publicly Accessible Content","parameters":[{"id":"ac-22_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-22"},{"name":"sort-id","value":"ac-22"}],"parts":[{"id":"ac-22_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-22_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and"},{"id":"ac-22_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered."}]},{"id":"ac-22_gdn","name":"guidance","prose":"In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-13","rel":"related","text":"AU-13"}]},{"id":"ac-22_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-22.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-22(a)"}],"prose":"designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(b)"}],"prose":"trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(c)"}],"prose":"reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;"},{"id":"ac-22.d_obj","name":"objective","properties":[{"name":"label","value":"AC-22(d)"}],"parts":[{"id":"ac-22.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-22(d)[1]"}],"prose":"defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;"},{"id":"ac-22.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(d)[2]"}],"prose":"reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and"},{"id":"ac-22.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(d)[3]"}],"prose":"removes nonpublic information from the publicly accessible information system,\n if discovered."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing management of publicly accessible content"}]}]}]},{"id":"at","class":"family","title":"Awareness and Training","controls":[{"id":"at-1","class":"SP800-53","title":"Security Awareness and Training Policy and Procedures","parameters":[{"id":"at-1_prm_1","label":"organization-defined personnel or roles"},{"id":"at-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"at-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-1"},{"name":"sort-id","value":"at-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"at-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ at-1_prm_1 }}:","parts":[{"id":"at-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"at-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and"}]},{"id":"at-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"at-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security awareness and training policy {{ at-1_prm_2 }}; and"},{"id":"at-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security awareness and training procedures {{ at-1_prm_3 }}."}]}]},{"id":"at-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"at-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-1.a_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)"}],"parts":[{"id":"at-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)"}],"parts":[{"id":"at-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(1)[1]"}],"prose":"develops and documents an security awareness and training policy that\n addresses:","parts":[{"id":"at-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"at-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"at-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"at-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"at-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"at-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"at-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"at-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;"},{"id":"at-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-1(a)(1)[3]"}],"prose":"disseminates the security awareness and training policy to\n organization-defined personnel or roles;"}]},{"id":"at-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)"}],"parts":[{"id":"at-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;"},{"id":"at-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"at-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"at-1.b_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)"}],"parts":[{"id":"at-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(1)"}],"parts":[{"id":"at-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training policy;"},{"id":"at-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(1)[2]"}],"prose":"reviews and updates the current security awareness and training policy with\n the organization-defined frequency;"}]},{"id":"at-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(2)"}],"parts":[{"id":"at-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training procedures; and"},{"id":"at-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(2)[2]"}],"prose":"reviews and updates the current security awareness and training procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"at-2","class":"SP800-53","title":"Security Awareness Training","parameters":[{"id":"at-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-2"},{"name":"sort-id","value":"at-02"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-2_smt","name":"statement","prose":"The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):","parts":[{"id":"at-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"As part of initial training for new users;"},{"id":"at-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-2_prm_1 }} thereafter."}]},{"id":"at-2_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"at-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-2(a)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;"},{"id":"at-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-2(b)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and"},{"id":"at-2.c_obj","name":"objective","properties":[{"name":"label","value":"AT-2(c)"}],"parts":[{"id":"at-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-2(c)[1]"}],"prose":"defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and"},{"id":"at-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-2(c)[2]"}],"prose":"provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing security awareness training"}]}]},{"id":"at-3","class":"SP800-53","title":"Role-based Security Training","parameters":[{"id":"at-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-3"},{"name":"sort-id","value":"at-03"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-3_smt","name":"statement","prose":"The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:","parts":[{"id":"at-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Before authorizing access to the information system or performing assigned\n duties;"},{"id":"at-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-3_prm_1 }} thereafter."}]},{"id":"at-3_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-16","rel":"related","text":"SA-16"}]},{"id":"at-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(a)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;"},{"id":"at-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(b)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and"},{"id":"at-3.c_obj","name":"objective","properties":[{"name":"label","value":"AT-3(c)"}],"parts":[{"id":"at-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-3(c)[1]"}],"prose":"defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and"},{"id":"at-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-3(c)[2]"}],"prose":"provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing role-based security training"}]}]},{"id":"at-4","class":"SP800-53","title":"Security Training Records","parameters":[{"id":"at-4_prm_1","label":"organization-defined time period","constraints":[{"detail":"At least one year"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-4"},{"name":"sort-id","value":"at-04"}],"parts":[{"id":"at-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and"},{"id":"at-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains individual training records for {{ at-4_prm_1 }}."}]},{"id":"at-4_gdn","name":"guidance","prose":"Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-14","rel":"related","text":"PM-14"}]},{"id":"at-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-4.a_obj","name":"objective","properties":[{"name":"label","value":"AT-4(a)"}],"parts":[{"id":"at-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-4(a)[1]"}],"prose":"documents individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][b]"}],"prose":"specific role-based information system security training;"}]},{"id":"at-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-4(a)[2]"}],"prose":"monitors individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][b]"}],"prose":"specific role-based information system security training;"}]}]},{"id":"at-4.b_obj","name":"objective","properties":[{"name":"label","value":"AT-4(b)"}],"parts":[{"id":"at-4.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-4(b)[1]"}],"prose":"defines a time period to retain individual training records; and"},{"id":"at-4.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-4(b)[2]"}],"prose":"retains individual training records for the organization-defined time\n period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security training record retention\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting management of security training records"}]}]}]},{"id":"au","class":"family","title":"Audit and Accountability","controls":[{"id":"au-1","class":"SP800-53","title":"Audit and Accountability Policy and Procedures","parameters":[{"id":"au-1_prm_1","label":"organization-defined personnel or roles"},{"id":"au-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"au-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-1"},{"name":"sort-id","value":"au-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"au-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ au-1_prm_1 }}:","parts":[{"id":"au-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"au-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and"}]},{"id":"au-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"au-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Audit and accountability policy {{ au-1_prm_2 }}; and"},{"id":"au-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Audit and accountability procedures {{ au-1_prm_3 }}."}]}]},{"id":"au-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"au-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-1.a_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)"}],"parts":[{"id":"au-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)"}],"parts":[{"id":"au-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(1)[1]"}],"prose":"develops and documents an audit and accountability policy that\n addresses:","parts":[{"id":"au-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"au-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"au-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"au-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"au-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"au-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"au-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"au-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;"},{"id":"au-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-1(a)(1)[3]"}],"prose":"disseminates the audit and accountability policy to organization-defined\n personnel or roles;"}]},{"id":"au-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)"}],"parts":[{"id":"au-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;"},{"id":"au-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"au-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"au-1.b_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)"}],"parts":[{"id":"au-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(1)"}],"parts":[{"id":"au-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability policy;"},{"id":"au-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(1)[2]"}],"prose":"reviews and updates the current audit and accountability policy with the\n organization-defined frequency;"}]},{"id":"au-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(2)"}],"parts":[{"id":"au-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability procedures; and"},{"id":"au-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(2)[2]"}],"prose":"reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"au-2","class":"SP800-53","title":"Audit Events","parameters":[{"id":"au-2_prm_1","label":"organization-defined auditable events","constraints":[{"detail":"Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes"}]},{"id":"au-2_prm_2","label":"organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event","constraints":[{"detail":"organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-2"},{"name":"sort-id","value":"au-02"}],"links":[{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"au-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};"},{"id":"au-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and"},{"id":"au-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}."},{"id":"au-2_fr","name":"item","title":"AU-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-2_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO."}]}]},{"id":"au-2_gdn","name":"guidance","prose":"An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-2.a_obj","name":"objective","properties":[{"name":"label","value":"AU-2(a)"}],"parts":[{"id":"au-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(a)[1]"}],"prose":"defines the auditable events that the information system must be capable of\n auditing;"},{"id":"au-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-2(a)[2]"}],"prose":"determines that the information system is capable of auditing\n organization-defined auditable events;"}]},{"id":"au-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(b)"}],"prose":"coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(c)"}],"prose":"provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;"},{"id":"au-2.d_obj","name":"objective","properties":[{"name":"label","value":"AU-2(d)"}],"parts":[{"id":"au-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(d)[1]"}],"prose":"defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;"},{"id":"au-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(d)[2]"}],"prose":"determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and"},{"id":"au-2.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(d)[3]"}],"prose":"determines the frequency of (or situation requiring) auditing for each\n identified event."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing"}]}]},{"id":"au-3","class":"SP800-53","title":"Content of Audit Records","properties":[{"name":"label","value":"AU-3"},{"name":"sort-id","value":"au-03"}],"parts":[{"id":"au-3_smt","name":"statement","prose":"The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event."},{"id":"au-3_gdn","name":"guidance","prose":"Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-8","rel":"related","text":"AU-8"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"au-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system generates audit records containing information\n that establishes: ","parts":[{"id":"au-3_obj.1","name":"objective","properties":[{"name":"label","value":"AU-3[1]"}],"prose":"what type of event occurred;"},{"id":"au-3_obj.2","name":"objective","properties":[{"name":"label","value":"AU-3[2]"}],"prose":"when the event occurred;"},{"id":"au-3_obj.3","name":"objective","properties":[{"name":"label","value":"AU-3[3]"}],"prose":"where the event occurred;"},{"id":"au-3_obj.4","name":"objective","properties":[{"name":"label","value":"AU-3[4]"}],"prose":"the source of the event;"},{"id":"au-3_obj.5","name":"objective","properties":[{"name":"label","value":"AU-3[5]"}],"prose":"the outcome of the event; and"},{"id":"au-3_obj.6","name":"objective","properties":[{"name":"label","value":"AU-3[6]"}],"prose":"the identity of any individuals or subjects associated with the event."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing of auditable\n events"}]}]},{"id":"au-4","class":"SP800-53","title":"Audit Storage Capacity","parameters":[{"id":"au-4_prm_1","label":"organization-defined audit record storage requirements"}],"properties":[{"name":"label","value":"AU-4"},{"name":"sort-id","value":"au-04"}],"parts":[{"id":"au-4_smt","name":"statement","prose":"The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}."},{"id":"au-4_gdn","name":"guidance","prose":"Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-11","rel":"related","text":"AU-11"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-4_obj.1","name":"objective","properties":[{"name":"label","value":"AU-4[1]"}],"prose":"defines audit record storage requirements; and"},{"id":"au-4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-4[2]"}],"prose":"allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit record storage capacity and related configuration settings"}]}]},{"id":"au-5","class":"SP800-53","title":"Response to Audit Processing Failures","parameters":[{"id":"au-5_prm_1","label":"organization-defined personnel or roles"},{"id":"au-5_prm_2","label":"organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)","constraints":[{"detail":"organization-defined actions to be taken (overwrite oldest record)"}]}],"properties":[{"name":"label","value":"AU-5"},{"name":"sort-id","value":"au-05"}],"parts":[{"id":"au-5_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and"},{"id":"au-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Takes the following additional actions: {{ au-5_prm_2 }}."}]},{"id":"au-5_gdn","name":"guidance","prose":"Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"au-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-5.a_obj","name":"objective","properties":[{"name":"label","value":"AU-5(a)"}],"parts":[{"id":"au-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(a)[1]"}],"prose":"the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;"},{"id":"au-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(a)[2]"}],"prose":"the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;"}]},{"id":"au-5.b_obj","name":"objective","properties":[{"name":"label","value":"AU-5(b)"}],"parts":[{"id":"au-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(b)[1]"}],"prose":"the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and"},{"id":"au-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(b)[2]"}],"prose":"the information system takes the additional organization-defined actions in the\n event of an audit processing failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system response to audit processing\n failures"}]}]},{"id":"au-6","class":"SP800-53","title":"Audit Review, Analysis, and Reporting","parameters":[{"id":"au-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"au-6_prm_2","label":"organization-defined inappropriate or unusual activity"},{"id":"au-6_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-6"},{"name":"sort-id","value":"au-06"}],"parts":[{"id":"au-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and"},{"id":"au-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports findings to {{ au-6_prm_3 }}."},{"id":"au-6_fr","name":"item","title":"AU-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented."}]}]},{"id":"au-6_gdn","name":"guidance","prose":"Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-10","rel":"related","text":"CM-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#pe-14","rel":"related","text":"PE-14"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-18","rel":"related","text":"SC-18"},{"href":"#sc-19","rel":"related","text":"SC-19"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"au-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-6.a_obj","name":"objective","properties":[{"name":"label","value":"AU-6(a)"}],"parts":[{"id":"au-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(a)[1]"}],"prose":"defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;"},{"id":"au-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(a)[2]"}],"prose":"defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;"},{"id":"au-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(a)[3]"}],"prose":"reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;"}]},{"id":"au-6.b_obj","name":"objective","properties":[{"name":"label","value":"AU-6(b)"}],"parts":[{"id":"au-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(b)[1]"}],"prose":"defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and"},{"id":"au-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(b)[2]"}],"prose":"reports findings to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"au-8","class":"SP800-53","title":"Time Stamps","parameters":[{"id":"au-8_prm_1","label":"organization-defined granularity of time measurement"}],"properties":[{"name":"label","value":"AU-8"},{"name":"sort-id","value":"au-08"}],"parts":[{"id":"au-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses internal system clocks to generate time stamps for audit records; and"},{"id":"au-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}."}]},{"id":"au-8_gdn","name":"guidance","prose":"Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.","links":[{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(a)"}],"prose":"the information system uses internal system clocks to generate time stamps for\n audit records;"},{"id":"au-8.b_obj","name":"objective","properties":[{"name":"label","value":"AU-8(b)"}],"parts":[{"id":"au-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(b)[1]"}],"prose":"the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);"},{"id":"au-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(b)[2]"}],"prose":"the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and"},{"id":"au-8.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(b)[3]"}],"prose":"the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing time stamp generation"}]}]},{"id":"au-9","class":"SP800-53","title":"Protection of Audit Information","properties":[{"name":"label","value":"AU-9"},{"name":"sort-id","value":"au-09"}],"parts":[{"id":"au-9_smt","name":"statement","prose":"The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion."},{"id":"au-9_gdn","name":"guidance","prose":"Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"}]},{"id":"au-9_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-9_obj.1","name":"objective","properties":[{"name":"label","value":"AU-9[1]"}],"prose":"the information system protects audit information from unauthorized:","parts":[{"id":"au-9_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-9[1][a]"}],"prose":"access;"},{"id":"au-9_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-9[1][b]"}],"prose":"modification;"},{"id":"au-9_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-9[1][c]"}],"prose":"deletion;"}]},{"id":"au-9_obj.2","name":"objective","properties":[{"name":"label","value":"AU-9[2]"}],"prose":"the information system protects audit tools from unauthorized:","parts":[{"id":"au-9_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-9[2][a]"}],"prose":"access;"},{"id":"au-9_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-9[2][b]"}],"prose":"modification; and"},{"id":"au-9_obj.2.c","name":"objective","properties":[{"name":"label","value":"AU-9[2][c]"}],"prose":"deletion."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit information protection"}]}]},{"id":"au-11","class":"SP800-53","title":"Audit Record Retention","parameters":[{"id":"au-11_prm_1","label":"organization-defined time period consistent with records retention policy","constraints":[{"detail":"at least ninety days"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-11"},{"name":"sort-id","value":"au-11"}],"parts":[{"id":"au-11_smt","name":"statement","prose":"The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements.","parts":[{"id":"au-11_fr","name":"item","title":"AU-11 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-11_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements."}]}]},{"id":"au-11_gdn","name":"guidance","prose":"Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"au-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-11_obj.1","name":"objective","properties":[{"name":"label","value":"AU-11[1]"}],"prose":"defines a time period to retain audit records that is consistent with records\n retention policy;"},{"id":"au-11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-11[2]"}],"prose":"retains audit records for the organization-defined time period consistent with\n records retention policy to:","parts":[{"id":"au-11_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-11[2][a]"}],"prose":"provide support for after-the-fact investigations of security incidents;\n and"},{"id":"au-11_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-11[2][b]"}],"prose":"meet regulatory and organizational information retention requirements."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"au-12","class":"SP800-53","title":"Audit Generation","parameters":[{"id":"au-12_prm_1","label":"organization-defined information system components","constraints":[{"detail":"all information system and network components where audit capability is deployed/available"}]},{"id":"au-12_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AU-12"},{"name":"sort-id","value":"au-12"}],"parts":[{"id":"au-12_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-12_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};"},{"id":"au-12_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and"},{"id":"au-12_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3."}]},{"id":"au-12_gdn","name":"guidance","prose":"Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"}]},{"id":"au-12_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-12.a_obj","name":"objective","properties":[{"name":"label","value":"AU-12(a)"}],"parts":[{"id":"au-12.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(a)[1]"}],"prose":"the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;"},{"id":"au-12.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(a)[2]"}],"prose":"the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;"}]},{"id":"au-12.b_obj","name":"objective","properties":[{"name":"label","value":"AU-12(b)"}],"parts":[{"id":"au-12.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(b)[1]"}],"prose":"the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;"},{"id":"au-12.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(b)[2]"}],"prose":"the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and"}]},{"id":"au-12.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(c)"}],"prose":"the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit record generation capability"}]}]}]},{"id":"ca","class":"family","title":"Security Assessment and Authorization","controls":[{"id":"ca-1","class":"SP800-53","title":"Security Assessment and Authorization Policy and Procedures","parameters":[{"id":"ca-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ca-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ca-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-1"},{"name":"sort-id","value":"ca-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ca-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ca-1_prm_1 }}:","parts":[{"id":"ca-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ca-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and"}]},{"id":"ca-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ca-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security assessment and authorization policy {{ ca-1_prm_2 }};\n and"},{"id":"ca-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security assessment and authorization procedures {{ ca-1_prm_3 }}."}]}]},{"id":"ca-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ca-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-1.a_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)"}],"parts":[{"id":"ca-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)"}],"parts":[{"id":"ca-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(1)[1]"}],"prose":"develops and documents a security assessment and authorization policy that\n addresses:","parts":[{"id":"ca-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ca-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ca-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ca-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ca-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ca-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ca-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ca-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;"},{"id":"ca-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-1(a)(1)[3]"}],"prose":"disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;"}]},{"id":"ca-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)"}],"parts":[{"id":"ca-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;"},{"id":"ca-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ca-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ca-1.b_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)"}],"parts":[{"id":"ca-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(1)"}],"parts":[{"id":"ca-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization policy;"},{"id":"ca-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(1)[2]"}],"prose":"reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;"}]},{"id":"ca-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(2)"}],"parts":[{"id":"ca-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization procedures; and"},{"id":"ca-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(2)[2]"}],"prose":"reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-2","class":"SP800-53","title":"Security Assessments","parameters":[{"id":"ca-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-2_prm_2","label":"organization-defined individuals or roles","constraints":[{"detail":"individuals or roles to include FedRAMP PMO"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-2"},{"name":"sort-id","value":"ca-02"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security controls and control enhancements under assessment;"},{"id":"ca-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Assessment procedures to be used to determine security control effectiveness;\n and"},{"id":"ca-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Assessment environment, assessment team, and assessment roles and\n responsibilities;"}]},{"id":"ca-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;"},{"id":"ca-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Produces a security assessment report that documents the results of the\n assessment; and"},{"id":"ca-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Provides the results of the security control assessment to {{ ca-2_prm_2 }}."},{"id":"ca-2_fr","name":"item","title":"CA-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-2_gdn","name":"guidance","prose":"Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.","links":[{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(a)"}],"prose":"develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(1)"}],"prose":"security controls and control enhancements under assessment;"},{"id":"ca-2.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(2)"}],"prose":"assessment procedures to be used to determine security control\n effectiveness;"},{"id":"ca-2.a.3_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)"}],"parts":[{"id":"ca-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[1]"}],"prose":"assessment environment;"},{"id":"ca-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[2]"}],"prose":"assessment team;"},{"id":"ca-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[3]"}],"prose":"assessment roles and responsibilities;"}]}]},{"id":"ca-2.b_obj","name":"objective","properties":[{"name":"label","value":"CA-2(b)"}],"parts":[{"id":"ca-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(b)[1]"}],"prose":"defines the frequency to assess the security controls in the information system\n and its environment of operation;"},{"id":"ca-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(b)[2]"}],"prose":"assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;"}]},{"id":"ca-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(c)"}],"prose":"produces a security assessment report that documents the results of the\n assessment;"},{"id":"ca-2.d_obj","name":"objective","properties":[{"name":"label","value":"CA-2(d)"}],"parts":[{"id":"ca-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(d)[1]"}],"prose":"defines individuals or roles to whom the results of the security control\n assessment are to be provided; and"},{"id":"ca-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(d)[2]"}],"prose":"provides the results of the security control assessment to organization-defined\n individuals or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting"}]}],"controls":[{"id":"ca-2.1","class":"SP800-53-enhancement","title":"Independent Assessors","parameters":[{"id":"ca-2.1_prm_1","label":"organization-defined level of independence"}],"properties":[{"name":"label","value":"CA-2(1)"},{"name":"sort-id","value":"ca-02.01"}],"parts":[{"id":"ca-2.1_smt","name":"statement","prose":"The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments.","parts":[{"id":"ca-2.1_fr","name":"item","title":"CA-2 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)."}]}]},{"id":"ca-2.1_gdn","name":"guidance","prose":"Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments."},{"id":"ca-2.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(1)[1]"}],"prose":"defines the level of independence to be employed to conduct security control\n assessments; and"},{"id":"ca-2.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-2(1)[2]"}],"prose":"employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ca-3","class":"SP800-53","title":"System Interconnections","parameters":[{"id":"ca-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually and on input from FedRAMP"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-3"},{"name":"sort-id","value":"ca-03"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#2711f068-734e-4afd-94ba-0b22247fbc88","rel":"reference","text":"NIST Special Publication 800-47"}],"parts":[{"id":"ca-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and"},{"id":"ca-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}."}]},{"id":"ca-3_gdn","name":"guidance","prose":"This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(a)"}],"prose":"authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(b)"}],"prose":"documents, for each interconnection:","parts":[{"id":"ca-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-3(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-3(b)[2]"}],"prose":"the security requirements;"},{"id":"ca-3.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-3(b)[3]"}],"prose":"the nature of the information communicated;"}]},{"id":"ca-3.c_obj","name":"objective","properties":[{"name":"label","value":"CA-3(c)"}],"parts":[{"id":"ca-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(c)[1]"}],"prose":"defines the frequency to review and update Interconnection Security Agreements;\n and"},{"id":"ca-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(c)[2]"}],"prose":"reviews and updates Interconnection Security Agreements with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies"}]}]},{"id":"ca-5","class":"SP800-53","title":"Plan of Action and Milestones","parameters":[{"id":"ca-5_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-5"},{"name":"sort-id","value":"ca-05"}],"links":[{"href":"#2c5884cd-7b96-425c-862a-99877e1cf909","rel":"reference","text":"OMB Memorandum 02-01"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"}],"parts":[{"id":"ca-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and"},{"id":"ca-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities."},{"id":"ca-5_fr","name":"item","title":"CA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-5_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Plan of Action & Milestones (POA&M) must be provided at least monthly."},{"id":"ca-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-5_gdn","name":"guidance","prose":"Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-4","rel":"related","text":"PM-4"}]},{"id":"ca-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-5(a)"}],"prose":"develops a plan of action and milestones for the information system to:","parts":[{"id":"ca-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"CA-5(a)[1]"}],"prose":"document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;"},{"id":"ca-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"CA-5(a)[2]"}],"prose":"reduce or eliminate known vulnerabilities in the system;"}]},{"id":"ca-5.b_obj","name":"objective","properties":[{"name":"label","value":"CA-5(b)"}],"parts":[{"id":"ca-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-5(b)[1]"}],"prose":"defines the frequency to update the existing plan of action and milestones;"},{"id":"ca-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-5(b)[2]"}],"prose":"updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:","parts":[{"id":"ca-5.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][a]"}],"prose":"security controls assessments;"},{"id":"ca-5.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][b]"}],"prose":"security impact analyses; and"},{"id":"ca-5.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][c]"}],"prose":"continuous monitoring activities."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones"}]}]},{"id":"ca-6","class":"SP800-53","title":"Security Authorization","parameters":[{"id":"ca-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"CA-6"},{"name":"sort-id","value":"ca-06"}],"links":[{"href":"#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab","rel":"reference","text":"OMB Circular A-130"},{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and"},{"id":"ca-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Updates the security authorization {{ ca-6_prm_1 }}."},{"id":"ca-6_fr","name":"item","title":"CA-6(c) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO."}]}]},{"id":"ca-6_gdn","name":"guidance","prose":"Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-10","rel":"related","text":"PM-10"}]},{"id":"ca-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-6(a)"}],"prose":"assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-6(b)"}],"prose":"ensures that the authorizing official authorizes the information system for\n processing before commencing operations;"},{"id":"ca-6.c_obj","name":"objective","properties":[{"name":"label","value":"CA-6(c)"}],"parts":[{"id":"ca-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-6(c)[1]"}],"prose":"defines the frequency to update the security authorization; and"},{"id":"ca-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-6(c)[2]"}],"prose":"updates the security authorization with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that facilitate security authorizations and updates"}]}]},{"id":"ca-7","class":"SP800-53","title":"Continuous Monitoring","parameters":[{"id":"ca-7_prm_1","label":"organization-defined metrics"},{"id":"ca-7_prm_2","label":"organization-defined frequencies"},{"id":"ca-7_prm_3","label":"organization-defined frequencies"},{"id":"ca-7_prm_4","label":"organization-defined personnel or roles","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]},{"id":"ca-7_prm_5","label":"organization-defined frequency","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-7"},{"name":"sort-id","value":"ca-07"}],"links":[{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb","rel":"reference","text":"US-CERT Technical Cyber Security Alerts"},{"href":"#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b","rel":"reference","text":"DoD Information Assurance Vulnerability Alerts"}],"parts":[{"id":"ca-7_smt","name":"statement","prose":"The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:","parts":[{"id":"ca-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishment of {{ ca-7_prm_1 }} to be monitored;"},{"id":"ca-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;"},{"id":"ca-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;"},{"id":"ca-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;"},{"id":"ca-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Correlation and analysis of security-related information generated by assessments\n and monitoring;"},{"id":"ca-7_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Response actions to address results of the analysis of security-related\n information; and"},{"id":"ca-7_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}."},{"id":"ca-7_fr","name":"item","title":"CA-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-7_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually."},{"id":"ca-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates."},{"id":"ca-7_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-7_gdn","name":"guidance","prose":"Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-6","rel":"related","text":"PM-6"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ca-7.a_obj","name":"objective","properties":[{"name":"label","value":"CA-7(a)"}],"parts":[{"id":"ca-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(a)[1]"}],"prose":"develops a continuous monitoring strategy that defines metrics to be\n monitored;"},{"id":"ca-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(a)[2]"}],"prose":"develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;"},{"id":"ca-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(a)[3]"}],"prose":"implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;"}]},{"id":"ca-7.b_obj","name":"objective","properties":[{"name":"label","value":"CA-7(b)"}],"parts":[{"id":"ca-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[1]"}],"prose":"develops a continuous monitoring strategy that defines frequencies for\n monitoring;"},{"id":"ca-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[2]"}],"prose":"defines frequencies for assessments supporting monitoring;"},{"id":"ca-7.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[3]"}],"prose":"develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;"},{"id":"ca-7.b_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(b)[4]"}],"prose":"implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.c_obj","name":"objective","properties":[{"name":"label","value":"CA-7(c)"}],"parts":[{"id":"ca-7.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(c)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security\n control assessments;"},{"id":"ca-7.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(c)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.d_obj","name":"objective","properties":[{"name":"label","value":"CA-7(d)"}],"parts":[{"id":"ca-7.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(d)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;"},{"id":"ca-7.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(d)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;"}]},{"id":"ca-7.e_obj","name":"objective","properties":[{"name":"label","value":"CA-7(e)"}],"parts":[{"id":"ca-7.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(e)[1]"}],"prose":"develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;"},{"id":"ca-7.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(e)[2]"}],"prose":"implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.f_obj","name":"objective","properties":[{"name":"label","value":"CA-7(f)"}],"parts":[{"id":"ca-7.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(f)[1]"}],"prose":"develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;"},{"id":"ca-7.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(f)[2]"}],"prose":"implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;"}]},{"id":"ca-7.g_obj","name":"objective","properties":[{"name":"label","value":"CA-7(g)"}],"parts":[{"id":"ca-7.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[1]"}],"prose":"develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;"},{"id":"ca-7.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[2]"}],"prose":"develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;"},{"id":"ca-7.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[3]"}],"prose":"develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and"},{"id":"ca-7.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(g)[4]"}],"prose":"implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Mechanisms implementing continuous monitoring"}]}]},{"id":"ca-9","class":"SP800-53","title":"Internal System Connections","parameters":[{"id":"ca-9_prm_1","label":"organization-defined information system components or classes of\n components"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-9"},{"name":"sort-id","value":"ca-09"}],"parts":[{"id":"ca-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and"},{"id":"ca-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated."}]},{"id":"ca-9_gdn","name":"guidance","prose":"This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-9.a_obj","name":"objective","properties":[{"name":"label","value":"CA-9(a)"}],"parts":[{"id":"ca-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-9(a)[1]"}],"prose":"defines information system components or classes of components to be authorized\n as internal connections to the information system;"},{"id":"ca-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-9(a)[2]"}],"prose":"authorizes internal connections of organization-defined information system\n components or classes of components to the information system;"}]},{"id":"ca-9.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-9(b)"}],"prose":"documents, for each internal connection:","parts":[{"id":"ca-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-9(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-9(b)[2]"}],"prose":"the security requirements; and"},{"id":"ca-9.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-9(b)[3]"}],"prose":"the nature of the information communicated."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cm","class":"family","title":"Configuration Management","controls":[{"id":"cm-1","class":"SP800-53","title":"Configuration Management Policy and Procedures","parameters":[{"id":"cm-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cm-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"cm-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-1"},{"name":"sort-id","value":"cm-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cm-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cm-1_prm_1 }}:","parts":[{"id":"cm-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cm-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and"}]},{"id":"cm-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cm-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Configuration management policy {{ cm-1_prm_2 }}; and"},{"id":"cm-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Configuration management procedures {{ cm-1_prm_3 }}."}]}]},{"id":"cm-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cm-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)"}],"parts":[{"id":"cm-1.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(1)"}],"parts":[{"id":"cm-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1]"}],"prose":"develops and documents a configuration management policy that addresses:","parts":[{"id":"cm-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cm-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cm-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cm-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cm-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cm-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cm-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cm-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the configuration management policy is to\n be disseminated;"},{"id":"cm-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-1(a)(1)[3]"}],"prose":"disseminates the configuration management policy to organization-defined\n personnel or roles;"}]},{"id":"cm-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)"}],"parts":[{"id":"cm-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;"},{"id":"cm-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cm-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"cm-1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)"}],"parts":[{"id":"cm-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(1)"}],"parts":[{"id":"cm-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management policy;"},{"id":"cm-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(1)[2]"}],"prose":"reviews and updates the current configuration management policy with the\n organization-defined frequency;"}]},{"id":"cm-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(2)"}],"parts":[{"id":"cm-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management procedures; and"},{"id":"cm-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(2)[2]"}],"prose":"reviews and updates the current configuration management procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"cm-2","class":"SP800-53","title":"Baseline Configuration","properties":[{"name":"label","value":"CM-2"},{"name":"sort-id","value":"cm-02"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-2_smt","name":"statement","prose":"The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system."},{"id":"cm-2_gdn","name":"guidance","prose":"This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#pm-5","rel":"related","text":"PM-5"},{"href":"#pm-7","rel":"related","text":"PM-7"}]},{"id":"cm-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-2[1]"}],"prose":"develops and documents a current baseline configuration of the information system;\n and"},{"id":"cm-2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2[2]"}],"prose":"maintains, under configuration control, a current baseline configuration of the\n information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration"}]}]},{"id":"cm-4","class":"SP800-53","title":"Security Impact Analysis","properties":[{"name":"label","value":"CM-4"},{"name":"sort-id","value":"cm-04"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-4_smt","name":"statement","prose":"The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation."},{"id":"cm-4_gdn","name":"guidance","prose":"Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"cm-4_obj","name":"objective","prose":"Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security impact analysis"}]}]},{"id":"cm-6","class":"SP800-53","title":"Configuration Settings","parameters":[{"id":"cm-6_prm_1","label":"organization-defined security configuration checklists","constraints":[{"detail":"United States Government Configuration Baseline (USGCB)"}]},{"id":"cm-6_prm_2","label":"organization-defined information system components"},{"id":"cm-6_prm_3","label":"organization-defined operational requirements"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-6"},{"name":"sort-id","value":"cm-06"}],"links":[{"href":"#990268bf-f4a9-4c81-91ae-dc7d3115f4b1","rel":"reference","text":"OMB Memorandum 07-11"},{"href":"#0b3d8ba9-051f-498d-81ea-97f0f018c612","rel":"reference","text":"OMB Memorandum 07-18"},{"href":"#0916ef02-3618-411b-a525-565c088849a6","rel":"reference","text":"OMB Memorandum 08-22"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"},{"href":"#e95dd121-2733-413e-bf1e-f1eb49f20a98","rel":"reference","text":"http://checklists.nist.gov"},{"href":"#647b6de3-81d0-4d22-bec1-5f1333e34380","rel":"reference","text":"http://www.nsa.gov"}],"parts":[{"id":"cm-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;"},{"id":"cm-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements the configuration settings;"},{"id":"cm-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and"},{"id":"cm-6_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures."},{"id":"cm-6_fr","name":"item","title":"CM-6(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement 1:"}],"prose":"The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. "},{"id":"cm-6_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement 2:"}],"prose":"The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)."},{"id":"cm-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)."}]}]},{"id":"cm-6_gdn","name":"guidance","prose":"Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"cm-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.a_obj","name":"objective","properties":[{"name":"label","value":"CM-6(a)"}],"parts":[{"id":"cm-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(a)[1]"}],"prose":"defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;"},{"id":"cm-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-6(a)[2]"}],"prose":"ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;"},{"id":"cm-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(a)[3]"}],"prose":"establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;"}]},{"id":"cm-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(b)"}],"prose":"implements the configuration settings established/documented in CM-6(a);;"},{"id":"cm-6.c_obj","name":"objective","properties":[{"name":"label","value":"CM-6(c)"}],"parts":[{"id":"cm-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[1]"}],"prose":"defines information system components for which any deviations from established\n configuration settings must be:","parts":[{"id":"cm-6.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][a]"}],"prose":"identified;"},{"id":"cm-6.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][b]"}],"prose":"documented;"},{"id":"cm-6.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][c]"}],"prose":"approved;"}]},{"id":"cm-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[2]"}],"prose":"defines operational requirements to support:","parts":[{"id":"cm-6.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][a]"}],"prose":"the identification of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][b]"}],"prose":"the documentation of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][c]"}],"prose":"the approval of any deviations from established configuration settings;"}]},{"id":"cm-6.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(c)[3]"}],"prose":"identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[4]"}],"prose":"documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(c)[5]"}],"prose":"approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"}]},{"id":"cm-6.d_obj","name":"objective","properties":[{"name":"label","value":"CM-6(d)"}],"parts":[{"id":"cm-6.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(d)[1]"}],"prose":"monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and"},{"id":"cm-6.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(d)[2]"}],"prose":"controls changes to the configuration settings in accordance with\n organizational policies and procedures."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings"}]}]},{"id":"cm-7","class":"SP800-53","title":"Least Functionality","parameters":[{"id":"cm-7_prm_1","label":"organization-defined prohibited or restricted functions, ports, protocols, and/or\n services","constraints":[{"detail":"United States Government Configuration Baseline (USGCB)"}]}],"properties":[{"name":"label","value":"CM-7"},{"name":"sort-id","value":"cm-07"}],"links":[{"href":"#e42b2099-3e1c-415b-952c-61c96533c12e","rel":"reference","text":"DoD Instruction 8551.01"}],"parts":[{"id":"cm-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Configures the information system to provide only essential capabilities; and"},{"id":"cm-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}."},{"id":"cm-7_fr","name":"item","title":"CM-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-7_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available."},{"id":"cm-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc)\n\t\t\t\t\t\t\tPartially derived from AC-17(8)."}]}]},{"id":"cm-7_gdn","name":"guidance","prose":"Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(a)"}],"prose":"configures the information system to provide only essential capabilities;"},{"id":"cm-7.b_obj","name":"objective","properties":[{"name":"label","value":"CM-7(b)"}],"parts":[{"id":"cm-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(b)[1]"}],"prose":"defines prohibited or restricted:","parts":[{"id":"cm-7.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(b)[2]"}],"prose":"prohibits or restricts the use of organization-defined:","parts":[{"id":"cm-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][d]"}],"prose":"services."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services"}]}]},{"id":"cm-8","class":"SP800-53","title":"Information System Component Inventory","parameters":[{"id":"cm-8_prm_1","label":"organization-defined information deemed necessary to achieve effective\n information system component accountability"},{"id":"cm-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-8"},{"name":"sort-id","value":"cm-08"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents an inventory of information system components that:","parts":[{"id":"cm-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Accurately reflects the current information system;"},{"id":"cm-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Is at the level of granularity deemed necessary for tracking and reporting;\n and"},{"id":"cm-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Includes {{ cm-8_prm_1 }}; and"}]},{"id":"cm-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the information system component inventory {{ cm-8_prm_2 }}."},{"id":"cm-8_fr","name":"item","title":"CM-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Must be provided at least monthly or when there is a change."}]}]},{"id":"cm-8_gdn","name":"guidance","prose":"Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pm-5","rel":"related","text":"PM-5"}]},{"id":"cm-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-8.a_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)"}],"parts":[{"id":"cm-8.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(1)"}],"prose":"develops and documents an inventory of information system components that\n accurately reflects the current information system;"},{"id":"cm-8.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(2)"}],"prose":"develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(3)"}],"prose":"develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;"},{"id":"cm-8.a.4_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(4)"}],"parts":[{"id":"cm-8.a.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(4)[1]"}],"prose":"defines the information deemed necessary to achieve effective information\n system component accountability;"},{"id":"cm-8.a.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(4)[2]"}],"prose":"develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;"}]}]},{"id":"cm-8.b_obj","name":"objective","properties":[{"name":"label","value":"CM-8(b)"}],"parts":[{"id":"cm-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(b)[1]"}],"prose":"defines the frequency to review and update the information system component\n inventory; and"},{"id":"cm-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(b)[2]"}],"prose":"reviews and updates the information system component inventory with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory"}]}]},{"id":"cm-10","class":"SP800-53","title":"Software Usage Restrictions","properties":[{"name":"label","value":"CM-10"},{"name":"sort-id","value":"cm-10"}],"parts":[{"id":"cm-10_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"id":"cm-10_gdn","name":"guidance","prose":"Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-10_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(a)"}],"prose":"uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-10(b)"}],"prose":"tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(c)"}],"prose":"controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology"}]}]},{"id":"cm-11","class":"SP800-53","title":"User-installed Software","parameters":[{"id":"cm-11_prm_1","label":"organization-defined policies"},{"id":"cm-11_prm_2","label":"organization-defined methods"},{"id":"cm-11_prm_3","label":"organization-defined frequency","constraints":[{"detail":"Continuously (via CM-7 (5))"}]}],"properties":[{"name":"label","value":"CM-11"},{"name":"sort-id","value":"cm-11"}],"parts":[{"id":"cm-11_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;"},{"id":"cm-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Enforces software installation policies through {{ cm-11_prm_2 }};\n and"},{"id":"cm-11_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Monitors policy compliance at {{ cm-11_prm_3 }}."}]},{"id":"cm-11_gdn","name":"guidance","prose":"If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"cm-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-11.a_obj","name":"objective","properties":[{"name":"label","value":"CM-11(a)"}],"parts":[{"id":"cm-11.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(a)[1]"}],"prose":"defines policies to govern the installation of software by users;"},{"id":"cm-11.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(a)[2]"}],"prose":"establishes organization-defined policies governing the installation of\n software by users;"}]},{"id":"cm-11.b_obj","name":"objective","properties":[{"name":"label","value":"CM-11(b)"}],"parts":[{"id":"cm-11.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(b)[1]"}],"prose":"defines methods to enforce software installation policies;"},{"id":"cm-11.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(b)[2]"}],"prose":"enforces software installation policies through organization-defined\n methods;"}]},{"id":"cm-11.c_obj","name":"objective","properties":[{"name":"label","value":"CM-11(c)"}],"parts":[{"id":"cm-11.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(c)[1]"}],"prose":"defines frequency to monitor policy compliance; and"},{"id":"cm-11.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(c)[2]"}],"prose":"monitors policy compliance at organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance"}]}]}]},{"id":"cp","class":"family","title":"Contingency Planning","controls":[{"id":"cp-1","class":"SP800-53","title":"Contingency Planning Policy and Procedures","parameters":[{"id":"cp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"cp-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-1"},{"name":"sort-id","value":"cp-01"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cp-1_prm_1 }}:","parts":[{"id":"cp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and"}]},{"id":"cp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Contingency planning policy {{ cp-1_prm_2 }}; and"},{"id":"cp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Contingency planning procedures {{ cp-1_prm_3 }}."}]}]},{"id":"cp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cp-1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cp-1.a_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)"}],"parts":[{"id":"cp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)"}],"parts":[{"id":"cp-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(1)[1]"}],"prose":"the organization develops and documents a contingency planning policy that\n addresses:","parts":[{"id":"cp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cp-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(1)[2]"}],"prose":"the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;"},{"id":"cp-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-1(a)(1)[3]"}],"prose":"the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;"}]},{"id":"cp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)"}],"parts":[{"id":"cp-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(2)[1]"}],"prose":"the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;"},{"id":"cp-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(2)[2]"}],"prose":"the organization defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cp-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-1(a)(2)[3]"}],"prose":"the organization disseminates the procedures to organization-defined\n personnel or roles;"}]}]},{"id":"cp-1.b_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)"}],"parts":[{"id":"cp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(1)"}],"parts":[{"id":"cp-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(1)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning policy;"},{"id":"cp-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(1)[2]"}],"prose":"the organization reviews and updates the current contingency planning with\n the organization-defined frequency;"}]},{"id":"cp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(2)"}],"parts":[{"id":"cp-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(2)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning procedures; and"},{"id":"cp-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(2)[2]"}],"prose":"the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-2","class":"SP800-53","title":"Contingency Plan","parameters":[{"id":"cp-2_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-2_prm_2","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"},{"id":"cp-2_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cp-2_prm_4","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-2"},{"name":"sort-id","value":"cp-02"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a contingency plan for the information system that:","parts":[{"id":"cp-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Provides recovery objectives, restoration priorities, and metrics;"},{"id":"cp-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Addresses contingency roles, responsibilities, assigned individuals with\n contact information;"},{"id":"cp-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and"},{"id":"cp-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Is reviewed and approved by {{ cp-2_prm_1 }};"}]},{"id":"cp-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the contingency plan to {{ cp-2_prm_2 }};"},{"id":"cp-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the contingency plan for the information system {{ cp-2_prm_3 }};"},{"id":"cp-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;"},{"id":"cp-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Communicates contingency plan changes to {{ cp-2_prm_4 }}; and"},{"id":"cp-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Protects the contingency plan from unauthorized disclosure and modification."},{"id":"cp-2_fr","name":"item","title":"CP-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-2_fr_smt.1","name":"item","properties":[{"name":"label","value":"CP-2 Requirement:"}],"prose":"For JAB authorizations the contingency lists include designated FedRAMP personnel."}]}]},{"id":"cp-2_gdn","name":"guidance","prose":"Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.","links":[{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"cp-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.a_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)"}],"prose":"develops and documents a contingency plan for the information system that:","parts":[{"id":"cp-2.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(1)"}],"prose":"identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(2)"}],"parts":[{"id":"cp-2.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[1]"}],"prose":"provides recovery objectives;"},{"id":"cp-2.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[2]"}],"prose":"provides restoration priorities;"},{"id":"cp-2.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[3]"}],"prose":"provides metrics;"}]},{"id":"cp-2.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(3)"}],"parts":[{"id":"cp-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[1]"}],"prose":"addresses contingency roles;"},{"id":"cp-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[2]"}],"prose":"addresses contingency responsibilities;"},{"id":"cp-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[3]"}],"prose":"addresses assigned individuals with contact information;"}]},{"id":"cp-2.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(4)"}],"prose":"addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(5)"}],"prose":"addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;"},{"id":"cp-2.a.6_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(6)"}],"parts":[{"id":"cp-2.a.6_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(6)[1]"}],"prose":"defines personnel or roles to review and approve the contingency plan for\n the information system;"},{"id":"cp-2.a.6_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(6)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"cp-2.b_obj","name":"objective","properties":[{"name":"label","value":"CP-2(b)"}],"parts":[{"id":"cp-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(b)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;"},{"id":"cp-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(b)[2]"}],"prose":"distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;"}]},{"id":"cp-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(c)"}],"prose":"coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2.d_obj","name":"objective","properties":[{"name":"label","value":"CP-2(d)"}],"parts":[{"id":"cp-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(d)[1]"}],"prose":"defines a frequency to review the contingency plan for the information\n system;"},{"id":"cp-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(d)[2]"}],"prose":"reviews the contingency plan with the organization-defined frequency;"}]},{"id":"cp-2.e_obj","name":"objective","properties":[{"name":"label","value":"CP-2(e)"}],"prose":"updates the contingency plan to address:","parts":[{"id":"cp-2.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(e)[1]"}],"prose":"changes to the organization, information system, or environment of\n operation;"},{"id":"cp-2.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(e)[2]"}],"prose":"problems encountered during plan implementation, execution, and testing;"}]},{"id":"cp-2.f_obj","name":"objective","properties":[{"name":"label","value":"CP-2(f)"}],"parts":[{"id":"cp-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(f)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;"},{"id":"cp-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(f)[2]"}],"prose":"communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and"}]},{"id":"cp-2.g_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(g)"}],"prose":"protects the contingency plan from unauthorized disclosure and modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan"}]}]},{"id":"cp-3","class":"SP800-53","title":"Contingency Training","parameters":[{"id":"cp-3_prm_1","label":"organization-defined time period","constraints":[{"detail":"ten (10) days"}]},{"id":"cp-3_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-3"},{"name":"sort-id","value":"cp-03"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"cp-3_smt","name":"statement","prose":"The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:","parts":[{"id":"cp-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;"},{"id":"cp-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"cp-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ cp-3_prm_2 }} thereafter."}]},{"id":"cp-3_gdn","name":"guidance","prose":"Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-2","rel":"related","text":"IR-2"}]},{"id":"cp-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-3.a_obj","name":"objective","properties":[{"name":"label","value":"CP-3(a)"}],"parts":[{"id":"cp-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-3(a)[1]"}],"prose":"defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;"},{"id":"cp-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(a)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;"}]},{"id":"cp-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(b)"}],"prose":"provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;"},{"id":"cp-3.c_obj","name":"objective","properties":[{"name":"label","value":"CP-3(c)"}],"parts":[{"id":"cp-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-3(c)[1]"}],"prose":"defines the frequency for contingency training thereafter; and"},{"id":"cp-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(c)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency training"}]}]},{"id":"cp-4","class":"SP800-53","title":"Contingency Plan Testing","parameters":[{"id":"cp-4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three years"}]},{"id":"cp-4_prm_2","label":"organization-defined tests","constraints":[{"detail":"classroom exercises/table top written tests"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-4"},{"name":"sort-id","value":"cp-04"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf","rel":"reference","text":"NIST Special Publication 800-84"}],"parts":[{"id":"cp-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;"},{"id":"cp-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews the contingency plan test results; and"},{"id":"cp-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Initiates corrective actions, if needed."},{"id":"cp-4_fr","name":"item","title":"CP-4(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-4_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-4(a) Requirement:"}],"prose":"The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing."}]}]},{"id":"cp-4_gdn","name":"guidance","prose":"Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-3","rel":"related","text":"IR-3"}]},{"id":"cp-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-4.a_obj","name":"objective","properties":[{"name":"label","value":"CP-4(a)"}],"parts":[{"id":"cp-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-4(a)[1]"}],"prose":"defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;"},{"id":"cp-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-4(a)[2]"}],"prose":"defines a frequency to test the contingency plan for the information\n system;"},{"id":"cp-4.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(a)[3]"}],"prose":"tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;"}]},{"id":"cp-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(b)"}],"prose":"reviews the contingency plan test results; and"},{"id":"cp-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(c)"}],"prose":"initiates corrective actions, if needed."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing"}]}]},{"id":"cp-9","class":"SP800-53","title":"Information System Backup","parameters":[{"id":"cp-9_prm_1","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_2","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_3","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-9"},{"name":"sort-id","value":"cp-09"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};"},{"id":"cp-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};"},{"id":"cp-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and"},{"id":"cp-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects the confidentiality, integrity, and availability of backup information at\n storage locations."},{"id":"cp-9_fr","name":"item","title":"CP-9 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-9_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check."},{"id":"cp-9_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-9(a) Requirement:"}],"prose":"The service provider maintains at least three backup copies of user-level information (at least one of which is available online)."},{"id":"cp-9_fr_smt.b","name":"item","properties":[{"name":"label","value":"CP-9(b)Requirement:"}],"prose":"The service provider maintains at least three backup copies of system-level information (at least one of which is available online)."},{"id":"cp-9_fr_smt.c","name":"item","properties":[{"name":"label","value":"CP-9(c)Requirement:"}],"prose":"The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)."}]}]},{"id":"cp-9_gdn","name":"guidance","prose":"System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"cp-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.a_obj","name":"objective","properties":[{"name":"label","value":"CP-9(a)"}],"parts":[{"id":"cp-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(a)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;"},{"id":"cp-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(a)[2]"}],"prose":"conducts backups of user-level information contained in the information system\n with the organization-defined frequency;"}]},{"id":"cp-9.b_obj","name":"objective","properties":[{"name":"label","value":"CP-9(b)"}],"parts":[{"id":"cp-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(b)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;"},{"id":"cp-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(b)[2]"}],"prose":"conducts backups of system-level information contained in the information\n system with the organization-defined frequency;"}]},{"id":"cp-9.c_obj","name":"objective","properties":[{"name":"label","value":"CP-9(c)"}],"parts":[{"id":"cp-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(c)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;"},{"id":"cp-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(c)[2]"}],"prose":"conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and"}]},{"id":"cp-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(d)"}],"prose":"protects the confidentiality, integrity, and availability of backup information at\n storage locations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups"}]}]},{"id":"cp-10","class":"SP800-53","title":"Information System Recovery and Reconstitution","properties":[{"name":"label","value":"CP-10"},{"name":"sort-id","value":"cp-10"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-10_smt","name":"statement","prose":"The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure."},{"id":"cp-10_gdn","name":"guidance","prose":"Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"cp-10_obj","name":"objective","prose":"Determine if the organization provides for: ","parts":[{"id":"cp-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-10[1]"}],"prose":"the recovery of the information system to a known state after:","parts":[{"id":"cp-10_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-10[1][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-10[1][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-10[1][c]"}],"prose":"a failure;"}]},{"id":"cp-10_obj.2","name":"objective","properties":[{"name":"label","value":"CP-10[2]"}],"prose":"the reconstitution of the information system to a known state after:","parts":[{"id":"cp-10_obj.2.a","name":"objective","properties":[{"name":"label","value":"CP-10[2][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.2.b","name":"objective","properties":[{"name":"label","value":"CP-10[2][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.2.c","name":"objective","properties":[{"name":"label","value":"CP-10[2][c]"}],"prose":"a failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations"}]}]}]},{"id":"ia","class":"family","title":"Identification and Authentication","controls":[{"id":"ia-1","class":"SP800-53","title":"Identification and Authentication Policy and Procedures","parameters":[{"id":"ia-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ia-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-1"},{"name":"sort-id","value":"ia-01"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ia-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ia-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ia-1_prm_1 }}:","parts":[{"id":"ia-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ia-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and"}]},{"id":"ia-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ia-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identification and authentication policy {{ ia-1_prm_2 }};\n and"},{"id":"ia-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Identification and authentication procedures {{ ia-1_prm_3 }}."}]}]},{"id":"ia-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ia-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ia-1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)"}],"parts":[{"id":"ia-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)"}],"parts":[{"id":"ia-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(1)[1]"}],"prose":"develops and documents an identification and authentication policy that\n addresses:","parts":[{"id":"ia-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ia-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ia-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ia-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ia-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ia-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ia-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ia-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and"},{"id":"ia-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-1(a)(1)[3]"}],"prose":"disseminates the identification and authentication policy to\n organization-defined personnel or roles;"}]},{"id":"ia-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)"}],"parts":[{"id":"ia-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;"},{"id":"ia-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ia-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ia-1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)"}],"parts":[{"id":"ia-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(1)"}],"parts":[{"id":"ia-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication policy;"},{"id":"ia-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(1)[2]"}],"prose":"reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and"}]},{"id":"ia-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(2)"}],"parts":[{"id":"ia-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication procedures; and"},{"id":"ia-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(2)[2]"}],"prose":"reviews and updates the current identification and authentication procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ia-2","class":"SP800-53","title":"Identification and Authentication (organizational Users)","properties":[{"name":"label","value":"IA-2"},{"name":"sort-id","value":"ia-02"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-2_smt","name":"statement","prose":"The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)."},{"id":"ia-2_gdn","name":"guidance","prose":"Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"ia-2_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-2.1","class":"SP800-53-enhancement","title":"Network Access to Privileged Accounts","properties":[{"name":"label","value":"IA-2(1)"},{"name":"sort-id","value":"ia-02.01"}],"parts":[{"id":"ia-2.1_smt","name":"statement","prose":"The information system implements multifactor authentication for network access to\n privileged accounts."},{"id":"ia-2.1_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n network access to privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.12","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials","properties":[{"name":"label","value":"IA-2(12)"},{"name":"sort-id","value":"ia-02.12"}],"parts":[{"id":"ia-2.12_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials.","parts":[{"id":"ia-2.12_fr","name":"item","title":"IA-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12."}]}]},{"id":"ia-2.12_gdn","name":"guidance","prose":"This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-2.12_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-2.12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(12)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials; and"},{"id":"ia-2.12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(12)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials"}]}]}]},{"id":"ia-4","class":"SP800-53","title":"Identifier Management","parameters":[{"id":"ia-4_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-4_prm_2","label":"organization-defined time period","constraints":[{"detail":"IA-4 (d) [at least two years]"}]},{"id":"ia-4_prm_3","label":"organization-defined time period of inactivity","constraints":[{"detail":"ninety days for user identifiers (See additional requirements and guidance)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-4"},{"name":"sort-id","value":"ia-04"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"}],"parts":[{"id":"ia-4_smt","name":"statement","prose":"The organization manages information system identifiers by:","parts":[{"id":"ia-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;"},{"id":"ia-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Selecting an identifier that identifies an individual, group, role, or device;"},{"id":"ia-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Assigning the identifier to the intended individual, group, role, or device;"},{"id":"ia-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and"},{"id":"ia-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Disabling the identifier after {{ ia-4_prm_3 }}."},{"id":"ia-4_fr","name":"item","title":"IA-4(e) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-4_fr_smt.e","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines the time period of inactivity for device identifiers."},{"id":"ia-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx)."}]}]},{"id":"ia-4_gdn","name":"guidance","prose":"Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#sc-37","rel":"related","text":"SC-37"}]},{"id":"ia-4_obj","name":"objective","prose":"Determine if the organization manages information system identifiers by: ","parts":[{"id":"ia-4.a_obj","name":"objective","properties":[{"name":"label","value":"IA-4(a)"}],"parts":[{"id":"ia-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(a)[1]"}],"prose":"defining personnel or roles from whom authorization must be received to\n assign:","parts":[{"id":"ia-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][d]"}],"prose":"a device identifier;"}]},{"id":"ia-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(a)[2]"}],"prose":"receiving authorization from organization-defined personnel or roles to\n assign:","parts":[{"id":"ia-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.2.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][d]"}],"prose":"a device identifier;"}]}]},{"id":"ia-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(b)"}],"prose":"selecting an identifier that identifies:","parts":[{"id":"ia-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(b)[1]"}],"prose":"an individual;"},{"id":"ia-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(b)[2]"}],"prose":"a group;"},{"id":"ia-4.b_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(b)[3]"}],"prose":"a role; and/or"},{"id":"ia-4.b_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(b)[4]"}],"prose":"a device;"}]},{"id":"ia-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(c)"}],"prose":"assigning the identifier to the intended:","parts":[{"id":"ia-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(c)[1]"}],"prose":"individual;"},{"id":"ia-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(c)[2]"}],"prose":"group;"},{"id":"ia-4.c_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(c)[3]"}],"prose":"role; and/or"},{"id":"ia-4.c_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(c)[4]"}],"prose":"device;"}]},{"id":"ia-4.d_obj","name":"objective","properties":[{"name":"label","value":"IA-4(d)"}],"parts":[{"id":"ia-4.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(d)[1]"}],"prose":"defining a time period for preventing reuse of identifiers;"},{"id":"ia-4.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(d)[2]"}],"prose":"preventing reuse of identifiers for the organization-defined time period;"}]},{"id":"ia-4.e_obj","name":"objective","properties":[{"name":"label","value":"IA-4(e)"}],"parts":[{"id":"ia-4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(e)[1]"}],"prose":"defining a time period of inactivity to disable the identifier; and"},{"id":"ia-4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(e)[2]"}],"prose":"disabling the identifier after the organization-defined time period of\n inactivity."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identifier management"}]}]},{"id":"ia-5","class":"SP800-53","title":"Authenticator Management","parameters":[{"id":"ia-5_prm_1","label":"organization-defined time period by authenticator type"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-5"},{"name":"sort-id","value":"ia-05"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-5_smt","name":"statement","prose":"The organization manages information system authenticators by:","parts":[{"id":"ia-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;"},{"id":"ia-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;"},{"id":"ia-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;"},{"id":"ia-5_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changing/refreshing authenticators {{ ia-5_prm_1 }};"},{"id":"ia-5_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Protecting authenticator content from unauthorized disclosure and\n modification;"},{"id":"ia-5_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and"},{"id":"ia-5_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Changing authenticators for group/role accounts when membership to those accounts\n changes."},{"id":"ia-5_fr","name":"item","title":"IA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3)."}]}]},{"id":"ia-5_gdn","name":"guidance","prose":"Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"ia-5_obj","name":"objective","prose":"Determine if the organization manages information system authenticators by: ","parts":[{"id":"ia-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(a)"}],"prose":"verifying, as part of the initial authenticator distribution, the identity of:","parts":[{"id":"ia-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(a)[1]"}],"prose":"the individual receiving the authenticator;"},{"id":"ia-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(a)[2]"}],"prose":"the group receiving the authenticator;"},{"id":"ia-5.a_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(a)[3]"}],"prose":"the role receiving the authenticator; and/or"},{"id":"ia-5.a_obj.4","name":"objective","properties":[{"name":"label","value":"IA-5(a)[4]"}],"prose":"the device receiving the authenticator;"}]},{"id":"ia-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(b)"}],"prose":"establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(c)"}],"prose":"ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(d)"}],"parts":[{"id":"ia-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[1]"}],"prose":"establishing and implementing administrative procedures for initial\n authenticator distribution;"},{"id":"ia-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[2]"}],"prose":"establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;"},{"id":"ia-5.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[3]"}],"prose":"establishing and implementing administrative procedures for revoking\n authenticators;"}]},{"id":"ia-5.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(e)"}],"prose":"changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5.f_obj","name":"objective","properties":[{"name":"label","value":"IA-5(f)"}],"parts":[{"id":"ia-5.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[1]"}],"prose":"establishing minimum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[2]"}],"prose":"establishing maximum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[3]"}],"prose":"establishing reuse conditions for authenticators;"}]},{"id":"ia-5.g_obj","name":"objective","properties":[{"name":"label","value":"IA-5(g)"}],"parts":[{"id":"ia-5.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(g)[1]"}],"prose":"defining a time period (by authenticator type) for changing/refreshing\n authenticators;"},{"id":"ia-5.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(g)[2]"}],"prose":"changing/refreshing authenticators with the organization-defined time period by\n authenticator type;"}]},{"id":"ia-5.h_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(h)"}],"prose":"protecting authenticator content from unauthorized:","parts":[{"id":"ia-5.h_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(h)[1]"}],"prose":"disclosure;"},{"id":"ia-5.h_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(h)[2]"}],"prose":"modification;"}]},{"id":"ia-5.i_obj","name":"objective","properties":[{"name":"label","value":"IA-5(i)"}],"parts":[{"id":"ia-5.i_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-5(i)[1]"}],"prose":"requiring individuals to take specific security safeguards to protect\n authenticators;"},{"id":"ia-5.i_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(i)[2]"}],"prose":"having devices implement specific security safeguards to protect\n authenticators; and"}]},{"id":"ia-5.j_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(j)"}],"prose":"changing authenticators for group/role accounts when membership to those accounts\n changes."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability"}]}],"controls":[{"id":"ia-5.1","class":"SP800-53-enhancement","title":"Password-based Authentication","parameters":[{"id":"ia-5.1_prm_1","label":"organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type"},{"id":"ia-5.1_prm_2","label":"organization-defined number","constraints":[{"detail":"at least one"}]},{"id":"ia-5.1_prm_3","label":"organization-defined numbers for lifetime minimum, lifetime maximum"},{"id":"ia-5.1_prm_4","label":"organization-defined number","constraints":[{"detail":"twenty four"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-5(1)"},{"name":"sort-id","value":"ia-05.01"}],"parts":[{"id":"ia-5.1_smt","name":"statement","prose":"The information system, for password-based authentication:","parts":[{"id":"ia-5.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Enforces minimum password complexity of {{ ia-5.1_prm_1 }};"},{"id":"ia-5.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};"},{"id":"ia-5.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Stores and transmits only cryptographically-protected passwords;"},{"id":"ia-5.1_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};"},{"id":"ia-5.1_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and"},{"id":"ia-5.1_smt.f","name":"item","properties":[{"name":"label","value":"(f)"}],"prose":"Allows the use of a temporary password for system logons with an immediate\n change to a permanent password."},{"id":"ia-5.1_fr","name":"item","title":"IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance (a) (d):"}],"prose":"If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant."}]}]},{"id":"ia-5.1_gdn","name":"guidance","prose":"This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.","links":[{"href":"#ia-6","rel":"related","text":"IA-6"}]},{"id":"ia-5.1_obj","name":"objective","prose":"Determine if, for password-based authentication: ","parts":[{"id":"ia-5.1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)"}],"parts":[{"id":"ia-5.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[1]"}],"prose":"the organization defines requirements for case sensitivity;"},{"id":"ia-5.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[2]"}],"prose":"the organization defines requirements for number of characters;"},{"id":"ia-5.1.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[3]"}],"prose":"the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;"},{"id":"ia-5.1.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[4]"}],"prose":"the organization defines minimum requirements for each type of\n character;"},{"id":"ia-5.1.a_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(a)[5]"}],"prose":"the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;"}],"links":[{"href":"#ia-5.1_smt.a","rel":"corresp","text":"IA-5(1)(a)"}]},{"id":"ia-5.1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(b)"}],"parts":[{"id":"ia-5.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(b)[1]"}],"prose":"the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;"},{"id":"ia-5.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(b)[2]"}],"prose":"the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;"}],"links":[{"href":"#ia-5.1_smt.b","rel":"corresp","text":"IA-5(1)(b)"}]},{"id":"ia-5.1.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(c)"}],"prose":"the information system stores and transmits only encrypted representations of\n passwords;","links":[{"href":"#ia-5.1_smt.c","rel":"corresp","text":"IA-5(1)(c)"}]},{"id":"ia-5.1.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)"}],"parts":[{"id":"ia-5.1.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(d)[1]"}],"prose":"the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(d)[2]"}],"prose":"the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(d)[3]"}],"prose":"the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;"},{"id":"ia-5.1.d_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(d)[4]"}],"prose":"the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;"}],"links":[{"href":"#ia-5.1_smt.d","rel":"corresp","text":"IA-5(1)(d)"}]},{"id":"ia-5.1.e_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(e)"}],"parts":[{"id":"ia-5.1.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(e)[1]"}],"prose":"the organization defines the number of password generations to be prohibited\n from password reuse;"},{"id":"ia-5.1.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(e)[2]"}],"prose":"the information system prohibits password reuse for the organization-defined\n number of generations; and"}],"links":[{"href":"#ia-5.1_smt.e","rel":"corresp","text":"IA-5(1)(e)"}]},{"id":"ia-5.1.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(f)"}],"prose":"the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.","links":[{"href":"#ia-5.1_smt.f","rel":"corresp","text":"IA-5(1)(f)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing password-based\n authenticator management capability"}]}]},{"id":"ia-5.11","class":"SP800-53-enhancement","title":"Hardware Token-based Authentication","parameters":[{"id":"ia-5.11_prm_1","label":"organization-defined token quality requirements"}],"properties":[{"name":"label","value":"IA-5(11)"},{"name":"sort-id","value":"ia-05.11"}],"parts":[{"id":"ia-5.11_smt","name":"statement","prose":"The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}."},{"id":"ia-5.11_gdn","name":"guidance","prose":"Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI."},{"id":"ia-5.11_obj","name":"objective","prose":"Determine if, for hardware token-based authentication: ","parts":[{"id":"ia-5.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(11)[1]"}],"prose":"the organization defines token quality requirements to be satisfied; and"},{"id":"ia-5.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(11)[2]"}],"prose":"the information system employs mechanisms that satisfy organization-defined\n token quality requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability"}]}]}]},{"id":"ia-6","class":"SP800-53","title":"Authenticator Feedback","properties":[{"name":"label","value":"IA-6"},{"name":"sort-id","value":"ia-06"}],"parts":[{"id":"ia-6_smt","name":"statement","prose":"The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals."},{"id":"ia-6_gdn","name":"guidance","prose":"The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.","links":[{"href":"#pe-18","rel":"related","text":"PE-18"}]},{"id":"ia-6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication"}]}]},{"id":"ia-7","class":"SP800-53","title":"Cryptographic Module Authentication","properties":[{"name":"label","value":"IA-7"},{"name":"sort-id","value":"ia-07"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#b09d1a31-d3c9-4138-a4f4-4c63816afd7d","rel":"reference","text":"http://csrc.nist.gov/groups/STM/cmvp/index.html"}],"parts":[{"id":"ia-7_smt","name":"statement","prose":"The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication."},{"id":"ia-7_gdn","name":"guidance","prose":"Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.","links":[{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ia-7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic module\n authentication"}]}]},{"id":"ia-8","class":"SP800-53","title":"Identification and Authentication (non-organizational Users)","properties":[{"name":"label","value":"IA-8"},{"name":"sort-id","value":"ia-08"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#599fe9ba-4750-4450-9eeb-b95bd19a5e8f","rel":"reference","text":"OMB Memorandum 10-06-2011"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#654f21e2-f3bc-43b2-abdc-60ab8d09744b","rel":"reference","text":"National Strategy for Trusted Identities in\n Cyberspace"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-8_smt","name":"statement","prose":"The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)."},{"id":"ia-8_gdn","name":"guidance","prose":"Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"ia-8_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-8.1","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials from Other Agencies","properties":[{"name":"label","value":"IA-8(1)"},{"name":"sort-id","value":"ia-08.01"}],"parts":[{"id":"ia-8.1_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies."},{"id":"ia-8.1_gdn","name":"guidance","prose":"This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.1_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(1)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials from other agencies;\n and"},{"id":"ia-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(1)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials"}]}]},{"id":"ia-8.2","class":"SP800-53-enhancement","title":"Acceptance of Third-party Credentials","properties":[{"name":"label","value":"IA-8(2)"},{"name":"sort-id","value":"ia-08.02"}],"parts":[{"id":"ia-8.2_smt","name":"statement","prose":"The information system accepts only FICAM-approved third-party credentials."},{"id":"ia-8.2_gdn","name":"guidance","prose":"This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.","links":[{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"ia-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system accepts only FICAM-approved third-party\n credentials. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials"}]}]},{"id":"ia-8.3","class":"SP800-53-enhancement","title":"Use of Ficam-approved Products","parameters":[{"id":"ia-8.3_prm_1","label":"organization-defined information systems"}],"properties":[{"name":"label","value":"IA-8(3)"},{"name":"sort-id","value":"ia-08.03"}],"parts":[{"id":"ia-8.3_smt","name":"statement","prose":"The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials."},{"id":"ia-8.3_gdn","name":"guidance","prose":"This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-8.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-8(3)[1]"}],"prose":"defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and"},{"id":"ia-8.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(3)[2]"}],"prose":"employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}]},{"id":"ia-8.4","class":"SP800-53-enhancement","title":"Use of Ficam-issued Profiles","properties":[{"name":"label","value":"IA-8(4)"},{"name":"sort-id","value":"ia-08.04"}],"parts":[{"id":"ia-8.4_smt","name":"statement","prose":"The information system conforms to FICAM-issued profiles."},{"id":"ia-8.4_gdn","name":"guidance","prose":"This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system conforms to FICAM-issued profiles. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles"}]}]}]}]},{"id":"ir","class":"family","title":"Incident Response","controls":[{"id":"ir-1","class":"SP800-53","title":"Incident Response Policy and Procedures","parameters":[{"id":"ir-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ir-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-1"},{"name":"sort-id","value":"ir-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ir-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ir-1_prm_1 }}:","parts":[{"id":"ir-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ir-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and"}]},{"id":"ir-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ir-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Incident response policy {{ ir-1_prm_2 }}; and"},{"id":"ir-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Incident response procedures {{ ir-1_prm_3 }}."}]}]},{"id":"ir-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ir-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-1.a_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)"}],"parts":[{"id":"ir-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)"}],"parts":[{"id":"ir-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(1)[1]"}],"prose":"develops and documents an incident response policy that addresses:","parts":[{"id":"ir-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ir-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ir-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ir-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ir-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ir-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ir-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ir-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the incident response policy is to be\n disseminated;"},{"id":"ir-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-1(a)(1)[3]"}],"prose":"disseminates the incident response policy to organization-defined personnel\n or roles;"}]},{"id":"ir-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)"}],"parts":[{"id":"ir-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;"},{"id":"ir-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ir-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ir-1.b_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)"}],"parts":[{"id":"ir-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(1)"}],"parts":[{"id":"ir-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current incident response\n policy;"},{"id":"ir-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(1)[2]"}],"prose":"reviews and updates the current incident response policy with the\n organization-defined frequency;"}]},{"id":"ir-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(2)"}],"parts":[{"id":"ir-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current incident response\n procedures; and"},{"id":"ir-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(2)[2]"}],"prose":"reviews and updates the current incident response procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-2","class":"SP800-53","title":"Incident Response Training","parameters":[{"id":"ir-2_prm_1","label":"organization-defined time period"},{"id":"ir-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-2"},{"name":"sort-id","value":"ir-02"}],"links":[{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"ir-2_smt","name":"statement","prose":"The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:","parts":[{"id":"ir-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;"},{"id":"ir-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"ir-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ ir-2_prm_2 }} thereafter."}]},{"id":"ir-2_gdn","name":"guidance","prose":"Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-2.a_obj","name":"objective","properties":[{"name":"label","value":"IR-2(a)"}],"parts":[{"id":"ir-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-2(a)[1]"}],"prose":"defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;"},{"id":"ir-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(a)[2]"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;"}]},{"id":"ir-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(b)"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;"},{"id":"ir-2.c_obj","name":"objective","properties":[{"name":"label","value":"IR-2(c)"}],"parts":[{"id":"ir-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-2(c)[1]"}],"prose":"defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and"},{"id":"ir-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(c)[2]"}],"prose":"after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-4","class":"SP800-53","title":"Incident Handling","properties":[{"name":"label","value":"IR-4"},{"name":"sort-id","value":"ir-04"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;"},{"id":"ir-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates incident handling activities with contingency planning activities;\n and"},{"id":"ir-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly."},{"id":"ir-4_fr","name":"item","title":"IR-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-4_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system."}]}]},{"id":"ir-4_gdn","name":"guidance","prose":"Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-2","rel":"related","text":"IR-2"},{"href":"#ir-3","rel":"related","text":"IR-3"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-4.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(a)"}],"prose":"implements an incident handling capability for security incidents that\n includes:","parts":[{"id":"ir-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"IR-4(a)[1]"}],"prose":"preparation;"},{"id":"ir-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"IR-4(a)[2]"}],"prose":"detection and analysis;"},{"id":"ir-4.a_obj.3","name":"objective","properties":[{"name":"label","value":"IR-4(a)[3]"}],"prose":"containment;"},{"id":"ir-4.a_obj.4","name":"objective","properties":[{"name":"label","value":"IR-4(a)[4]"}],"prose":"eradication;"},{"id":"ir-4.a_obj.5","name":"objective","properties":[{"name":"label","value":"IR-4(a)[5]"}],"prose":"recovery;"}]},{"id":"ir-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-4(b)"}],"prose":"coordinates incident handling activities with contingency planning activities;"},{"id":"ir-4.c_obj","name":"objective","properties":[{"name":"label","value":"IR-4(c)"}],"parts":[{"id":"ir-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(c)[1]"}],"prose":"incorporates lessons learned from ongoing incident handling activities\n into:","parts":[{"id":"ir-4.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][b]"}],"prose":"training;"},{"id":"ir-4.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][c]"}],"prose":"testing/exercises;"}]},{"id":"ir-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-4(c)[2]"}],"prose":"implements the resulting changes accordingly to:","parts":[{"id":"ir-4.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][b]"}],"prose":"training; and"},{"id":"ir-4.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][c]"}],"prose":"testing/exercises."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident handling capability for the organization"}]}]},{"id":"ir-5","class":"SP800-53","title":"Incident Monitoring","properties":[{"name":"label","value":"IR-5"},{"name":"sort-id","value":"ir-05"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-5_smt","name":"statement","prose":"The organization tracks and documents information system security incidents."},{"id":"ir-5_gdn","name":"guidance","prose":"Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-5_obj.1","name":"objective","properties":[{"name":"label","value":"IR-5[1]"}],"prose":"tracks information system security incidents; and"},{"id":"ir-5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-5[2]"}],"prose":"documents information system security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents"}]}]},{"id":"ir-6","class":"SP800-53","title":"Incident Reporting","parameters":[{"id":"ir-6_prm_1","label":"organization-defined time period","constraints":[{"detail":"US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)"}]},{"id":"ir-6_prm_2","label":"organization-defined authorities"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-6"},{"name":"sort-id","value":"ir-06"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#02631467-668b-4233-989b-3dfded2fd184","rel":"reference","text":"http://www.us-cert.gov"}],"parts":[{"id":"ir-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and"},{"id":"ir-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports security incident information to {{ ir-6_prm_2 }}."},{"id":"ir-6_fr","name":"item","title":"IR-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Report security incident information according to FedRAMP Incident Communications Procedure."}]}]},{"id":"ir-6_gdn","name":"guidance","prose":"The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-6.a_obj","name":"objective","properties":[{"name":"label","value":"IR-6(a)"}],"parts":[{"id":"ir-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-6(a)[1]"}],"prose":"defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;"},{"id":"ir-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-6(a)[2]"}],"prose":"requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;"}]},{"id":"ir-6.b_obj","name":"objective","properties":[{"name":"label","value":"IR-6(b)"}],"parts":[{"id":"ir-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-6(b)[1]"}],"prose":"defines authorities to whom security incident information is to be reported;\n and"},{"id":"ir-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-6(b)[2]"}],"prose":"reports security incident information to organization-defined authorities."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting"}]}]},{"id":"ir-7","class":"SP800-53","title":"Incident Response Assistance","properties":[{"name":"label","value":"IR-7"},{"name":"sort-id","value":"ir-07"}],"parts":[{"id":"ir-7_smt","name":"statement","prose":"The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents."},{"id":"ir-7_gdn","name":"guidance","prose":"Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ir-7_obj","name":"objective","prose":"Determine if the organization provides an incident response support resource:","parts":[{"id":"ir-7_obj.1","name":"objective","properties":[{"name":"label","value":"IR-7[1]"}],"prose":"that is integral to the organizational incident response capability; and"},{"id":"ir-7_obj.2","name":"objective","properties":[{"name":"label","value":"IR-7[2]"}],"prose":"that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance"}]}]},{"id":"ir-8","class":"SP800-53","title":"Incident Response Plan","parameters":[{"id":"ir-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-8_prm_2","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]},{"id":"ir-8_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ir-8_prm_4","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-8"},{"name":"sort-id","value":"ir-08"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops an incident response plan that:","parts":[{"id":"ir-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Describes the structure and organization of the incident response\n capability;"},{"id":"ir-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;"},{"id":"ir-8_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Defines reportable incidents;"},{"id":"ir-8_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and"},{"id":"ir-8_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Is reviewed and approved by {{ ir-8_prm_1 }};"}]},{"id":"ir-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the incident response plan to {{ ir-8_prm_2 }};"},{"id":"ir-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the incident response plan {{ ir-8_prm_3 }};"},{"id":"ir-8_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;"},{"id":"ir-8_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and"},{"id":"ir-8_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Protects the incident response plan from unauthorized disclosure and\n modification."},{"id":"ir-8_fr","name":"item","title":"IR-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-8_fr_smt.b","name":"item","properties":[{"name":"label","value":"(b) Requirement:"}],"prose":"The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel."},{"id":"ir-8_fr_smt.e","name":"item","properties":[{"name":"label","value":"(e) Requirement:"}],"prose":"The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel."}]}]},{"id":"ir-8_gdn","name":"guidance","prose":"It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.","links":[{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"}]},{"id":"ir-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-8.a_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)"}],"prose":"develops an incident response plan that:","parts":[{"id":"ir-8.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(1)"}],"prose":"provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(2)"}],"prose":"describes the structure and organization of the incident response\n capability;"},{"id":"ir-8.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(3)"}],"prose":"provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(4)"}],"prose":"meets the unique requirements of the organization, which relate to:","parts":[{"id":"ir-8.a.4_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[1]"}],"prose":"mission;"},{"id":"ir-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[2]"}],"prose":"size;"},{"id":"ir-8.a.4_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[3]"}],"prose":"structure;"},{"id":"ir-8.a.4_obj.4","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[4]"}],"prose":"functions;"}]},{"id":"ir-8.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(5)"}],"prose":"defines reportable incidents;"},{"id":"ir-8.a.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(a)(6)"}],"prose":"provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8.a.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(7)"}],"prose":"defines the resources and management support needed to effectively maintain and\n mature an incident response capability;"},{"id":"ir-8.a.8_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(8)"}],"parts":[{"id":"ir-8.a.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(8)[1]"}],"prose":"defines personnel or roles to review and approve the incident response\n plan;"},{"id":"ir-8.a.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-8(a)(8)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"ir-8.b_obj","name":"objective","properties":[{"name":"label","value":"IR-8(b)"}],"parts":[{"id":"ir-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(b)[1]"}],"parts":[{"id":"ir-8.b_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(b)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;"},{"id":"ir-8.b_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(b)[1][b]"}],"prose":"defines organizational elements to whom copies of the incident response plan\n are to be distributed;"}]},{"id":"ir-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(b)[2]"}],"prose":"distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;"}]},{"id":"ir-8.c_obj","name":"objective","properties":[{"name":"label","value":"IR-8(c)"}],"parts":[{"id":"ir-8.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(c)[1]"}],"prose":"defines the frequency to review the incident response plan;"},{"id":"ir-8.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-8(c)[2]"}],"prose":"reviews the incident response plan with the organization-defined frequency;"}]},{"id":"ir-8.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(d)"}],"prose":"updates the incident response plan to address system/organizational changes or\n problems encountered during plan:","parts":[{"id":"ir-8.d_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(d)[1]"}],"prose":"implementation;"},{"id":"ir-8.d_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(d)[2]"}],"prose":"execution; or"},{"id":"ir-8.d_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(d)[3]"}],"prose":"testing;"}]},{"id":"ir-8.e_obj","name":"objective","properties":[{"name":"label","value":"IR-8(e)"}],"parts":[{"id":"ir-8.e_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(e)[1]"}],"parts":[{"id":"ir-8.e_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(e)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;"},{"id":"ir-8.e_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(e)[1][b]"}],"prose":"defines organizational elements to whom incident response plan changes are\n to be communicated;"}]},{"id":"ir-8.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(e)[2]"}],"prose":"communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and"}]},{"id":"ir-8.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(f)"}],"prose":"protects the incident response plan from unauthorized disclosure and\n modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational incident response plan and related organizational processes"}]}]}]},{"id":"ma","class":"family","title":"Maintenance","controls":[{"id":"ma-1","class":"SP800-53","title":"System Maintenance Policy and Procedures","parameters":[{"id":"ma-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ma-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MA-1"},{"name":"sort-id","value":"ma-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ma-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ma-1_prm_1 }}:","parts":[{"id":"ma-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ma-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and"}]},{"id":"ma-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ma-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System maintenance policy {{ ma-1_prm_2 }}; and"},{"id":"ma-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System maintenance procedures {{ ma-1_prm_3 }}."}]}]},{"id":"ma-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ma-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-1.a_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)"}],"parts":[{"id":"ma-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)"}],"parts":[{"id":"ma-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(1)[1]"}],"prose":"develops and documents a system maintenance policy that addresses:","parts":[{"id":"ma-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ma-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ma-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ma-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ma-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ma-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ma-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ma-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system maintenance policy is to be\n disseminated;"},{"id":"ma-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-1(a)(1)[3]"}],"prose":"disseminates the system maintenance policy to organization-defined personnel\n or roles;"}]},{"id":"ma-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)"}],"parts":[{"id":"ma-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;"},{"id":"ma-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ma-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ma-1.b_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)"}],"parts":[{"id":"ma-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(1)"}],"parts":[{"id":"ma-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n policy;"},{"id":"ma-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(1)[2]"}],"prose":"reviews and updates the current system maintenance policy with the\n organization-defined frequency;"}]},{"id":"ma-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(2)"}],"parts":[{"id":"ma-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n procedures; and"},{"id":"ma-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(2)[2]"}],"prose":"reviews and updates the current system maintenance procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Maintenance policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ma-2","class":"SP800-53","title":"Controlled Maintenance","parameters":[{"id":"ma-2_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-2_prm_2","label":"organization-defined maintenance-related information"}],"properties":[{"name":"label","value":"MA-2"},{"name":"sort-id","value":"ma-02"}],"parts":[{"id":"ma-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;"},{"id":"ma-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;"},{"id":"ma-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and"},{"id":"ma-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Includes {{ ma-2_prm_2 }} in organizational maintenance\n records."}]},{"id":"ma-2_gdn","name":"guidance","prose":"This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ma-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-2.a_obj","name":"objective","properties":[{"name":"label","value":"MA-2(a)"}],"parts":[{"id":"ma-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(a)[1]"}],"prose":"schedules maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(a)[2]"}],"prose":"performs maintenance and repairs on information system components in accordance\n with:","parts":[{"id":"ma-2.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(a)[3]"}],"prose":"documents maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(a)[4]"}],"prose":"reviews records of maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.4.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.4.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][b]"}],"prose":"organizational requirements;"}]}]},{"id":"ma-2.b_obj","name":"objective","properties":[{"name":"label","value":"MA-2(b)"}],"parts":[{"id":"ma-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(b)[1]"}],"prose":"approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"},{"id":"ma-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(b)[2]"}],"prose":"monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"}]},{"id":"ma-2.c_obj","name":"objective","properties":[{"name":"label","value":"MA-2(c)"}],"parts":[{"id":"ma-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(c)[1]"}],"prose":"defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(c)[2]"}],"prose":"requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;"}]},{"id":"ma-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(d)"}],"prose":"sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(e)"}],"prose":"checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;"},{"id":"ma-2.f_obj","name":"objective","properties":[{"name":"label","value":"MA-2(f)"}],"parts":[{"id":"ma-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(f)[1]"}],"prose":"defines maintenance-related information to be included in organizational\n maintenance records; and"},{"id":"ma-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(f)[2]"}],"prose":"includes organization-defined maintenance-related information in organizational\n maintenance records."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components"}]}]},{"id":"ma-4","class":"SP800-53","title":"Nonlocal Maintenance","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MA-4"},{"name":"sort-id","value":"ma-04"}],"links":[{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#f2dbd4ec-c413-4714-b85b-6b7184d1c195","rel":"reference","text":"FIPS Publication 197"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a4aa9645-9a8a-4b51-90a9-e223250f9a75","rel":"reference","text":"CNSS Policy 15"}],"parts":[{"id":"ma-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Approves and monitors nonlocal maintenance and diagnostic activities;"},{"id":"ma-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;"},{"id":"ma-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Maintains records for nonlocal maintenance and diagnostic activities; and"},{"id":"ma-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Terminates session and network connections when nonlocal maintenance is\n completed."}]},{"id":"ma-4_gdn","name":"guidance","prose":"Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"ma-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-4.a_obj","name":"objective","properties":[{"name":"label","value":"MA-4(a)"}],"parts":[{"id":"ma-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(a)[1]"}],"prose":"approves nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(a)[2]"}],"prose":"monitors nonlocal maintenance and diagnostic activities;"}]},{"id":"ma-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(b)"}],"prose":"allows the use of nonlocal maintenance and diagnostic tools only:","parts":[{"id":"ma-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(b)[1]"}],"prose":"as consistent with organizational policy;"},{"id":"ma-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(b)[2]"}],"prose":"as documented in the security plan for the information system;"}]},{"id":"ma-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(c)"}],"prose":"employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(d)"}],"prose":"maintains records for nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.e_obj","name":"objective","properties":[{"name":"label","value":"MA-4(e)"}],"parts":[{"id":"ma-4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(e)[1]"}],"prose":"terminates sessions when nonlocal maintenance or diagnostics is completed;\n and"},{"id":"ma-4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(e)[2]"}],"prose":"terminates network connections when nonlocal maintenance or diagnostics is\n completed."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections"}]}]},{"id":"ma-5","class":"SP800-53","title":"Maintenance Personnel","properties":[{"name":"label","value":"MA-5"},{"name":"sort-id","value":"ma-05"}],"parts":[{"id":"ma-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;"},{"id":"ma-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"id":"ma-5_gdn","name":"guidance","prose":"This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"ma-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-5.a_obj","name":"objective","properties":[{"name":"label","value":"MA-5(a)"}],"parts":[{"id":"ma-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(a)[1]"}],"prose":"establishes a process for maintenance personnel authorization;"},{"id":"ma-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(a)[2]"}],"prose":"maintains a list of authorized maintenance organizations or personnel;"}]},{"id":"ma-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(b)"}],"prose":"ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(c)"}],"prose":"designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel"}]}]}]},{"id":"mp","class":"family","title":"Media Protection","controls":[{"id":"mp-1","class":"SP800-53","title":"Media Protection Policy and Procedures","parameters":[{"id":"mp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"mp-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"mp-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MP-1"},{"name":"sort-id","value":"mp-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"mp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ mp-1_prm_1 }}:","parts":[{"id":"mp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"mp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and"}]},{"id":"mp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"mp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Media protection policy {{ mp-1_prm_2 }}; and"},{"id":"mp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Media protection procedures {{ mp-1_prm_3 }}."}]}]},{"id":"mp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"mp-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"mp-1.a_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)"}],"parts":[{"id":"mp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)"}],"parts":[{"id":"mp-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(1)[1]"}],"prose":"develops and documents a media protection policy that addresses:","parts":[{"id":"mp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"mp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"mp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"mp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"mp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"mp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"mp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"mp-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the media protection policy is to be\n disseminated;"},{"id":"mp-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MP-1(a)(1)[3]"}],"prose":"disseminates the media protection policy to organization-defined personnel\n or roles;"}]},{"id":"mp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)"}],"parts":[{"id":"mp-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;"},{"id":"mp-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"mp-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MP-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"mp-1.b_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)"}],"parts":[{"id":"mp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(1)"}],"parts":[{"id":"mp-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current media protection\n policy;"},{"id":"mp-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(1)[2]"}],"prose":"reviews and updates the current media protection policy with the\n organization-defined frequency;"}]},{"id":"mp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(2)"}],"parts":[{"id":"mp-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current media protection\n procedures; and"},{"id":"mp-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(2)[2]"}],"prose":"reviews and updates the current media protection procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Media protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"mp-2","class":"SP800-53","title":"Media Access","parameters":[{"id":"mp-2_prm_1","label":"organization-defined types of digital and/or non-digital media"},{"id":"mp-2_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"MP-2"},{"name":"sort-id","value":"mp-02"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-2_smt","name":"statement","prose":"The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}."},{"id":"mp-2_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"mp-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-2[1]"}],"prose":"defines types of digital and/or non-digital media requiring restricted access;"},{"id":"mp-2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-2[2]"}],"prose":"defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and"},{"id":"mp-2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-2[3]"}],"prose":"restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions"}]}]},{"id":"mp-6","class":"SP800-53","title":"Media Sanitization","parameters":[{"id":"mp-6_prm_1","label":"organization-defined information system media"},{"id":"mp-6_prm_2","label":"organization-defined sanitization techniques and procedures"}],"properties":[{"name":"label","value":"MP-6"},{"name":"sort-id","value":"mp-06"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a47466c4-c837-4f06-a39f-e68412a5f73d","rel":"reference","text":"http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml"}],"parts":[{"id":"mp-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and"},{"id":"mp-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information."}]},{"id":"mp-6_gdn","name":"guidance","prose":"This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.","links":[{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-4","rel":"related","text":"SC-4"}]},{"id":"mp-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.a_obj","name":"objective","properties":[{"name":"label","value":"MP-6(a)"}],"parts":[{"id":"mp-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(a)[1]"}],"prose":"defines information system media to be sanitized prior to:","parts":[{"id":"mp-6.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(a)[2]"}],"prose":"defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:","parts":[{"id":"mp-6.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(a)[3]"}],"prose":"sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and"}]},{"id":"mp-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(b)"}],"prose":"employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}]},{"id":"mp-7","class":"SP800-53","title":"Media Use","parameters":[{"id":"mp-7_prm_1"},{"id":"mp-7_prm_2","label":"organization-defined types of information system media"},{"id":"mp-7_prm_3","label":"organization-defined information systems or system components"},{"id":"mp-7_prm_4","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"MP-7"},{"name":"sort-id","value":"mp-07"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-7_smt","name":"statement","prose":"The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}."},{"id":"mp-7_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"mp-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-7_obj.1","name":"objective","properties":[{"name":"label","value":"MP-7[1]"}],"prose":"defines types of information system media to be:","parts":[{"id":"mp-7_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-7[1][a]"}],"prose":"restricted on information systems or system components; or"},{"id":"mp-7_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-7[1][b]"}],"prose":"prohibited from use on information systems or system components;"}]},{"id":"mp-7_obj.2","name":"objective","properties":[{"name":"label","value":"MP-7[2]"}],"prose":"defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:","parts":[{"id":"mp-7_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-7[2][a]"}],"prose":"restricted; or"},{"id":"mp-7_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-7[2][b]"}],"prose":"prohibited;"}]},{"id":"mp-7_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-7[3]"}],"prose":"defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and"},{"id":"mp-7_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-7[4]"}],"prose":"restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components"}]}]}]},{"id":"pe","class":"family","title":"Physical and Environmental Protection","controls":[{"id":"pe-1","class":"SP800-53","title":"Physical and Environmental Protection Policy and Procedures","parameters":[{"id":"pe-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pe-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"pe-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-1"},{"name":"sort-id","value":"pe-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pe-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pe-1_prm_1 }}:","parts":[{"id":"pe-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"pe-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and"}]},{"id":"pe-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pe-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Physical and environmental protection policy {{ pe-1_prm_2 }};\n and"},{"id":"pe-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Physical and environmental protection procedures {{ pe-1_prm_3 }}."}]}]},{"id":"pe-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pe-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pe-1.a_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)"}],"parts":[{"id":"pe-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)"}],"parts":[{"id":"pe-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(1)[1]"}],"prose":"develops and documents a physical and environmental protection policy that\n addresses:","parts":[{"id":"pe-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pe-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pe-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pe-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pe-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pe-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pe-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pe-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;"},{"id":"pe-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-1(a)(1)[3]"}],"prose":"disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;"}]},{"id":"pe-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)"}],"parts":[{"id":"pe-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;"},{"id":"pe-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pe-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pe-1.b_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)"}],"parts":[{"id":"pe-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(1)"}],"parts":[{"id":"pe-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection policy;"},{"id":"pe-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(1)[2]"}],"prose":"reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;"}]},{"id":"pe-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(2)"}],"parts":[{"id":"pe-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection procedures; and"},{"id":"pe-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(2)[2]"}],"prose":"reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pe-2","class":"SP800-53","title":"Physical Access Authorizations","parameters":[{"id":"pe-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-2"},{"name":"sort-id","value":"pe-02"}],"parts":[{"id":"pe-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;"},{"id":"pe-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Issues authorization credentials for facility access;"},{"id":"pe-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and"},{"id":"pe-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Removes individuals from the facility access list when access is no longer\n required."}]},{"id":"pe-2_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.","links":[{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"pe-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-2.a_obj","name":"objective","properties":[{"name":"label","value":"PE-2(a)"}],"parts":[{"id":"pe-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-2(a)[1]"}],"prose":"develops a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(a)[2]"}],"prose":"approves a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-2(a)[3]"}],"prose":"maintains a list of individuals with authorized access to the facility where\n the information system resides;"}]},{"id":"pe-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(b)"}],"prose":"issues authorization credentials for facility access;"},{"id":"pe-2.c_obj","name":"objective","properties":[{"name":"label","value":"PE-2(c)"}],"parts":[{"id":"pe-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-2(c)[1]"}],"prose":"defines the frequency to review the access list detailing authorized facility\n access by individuals;"},{"id":"pe-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(c)[2]"}],"prose":"reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and"}]},{"id":"pe-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(d)"}],"prose":"removes individuals from the facility access list when access is no longer\n required."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations"}]}]},{"id":"pe-3","class":"SP800-53","title":"Physical Access Control","parameters":[{"id":"pe-3_prm_1","label":"organization-defined entry/exit points to the facility where the information\n system resides"},{"id":"pe-3_prm_2","constraints":[{"detail":"CSP defined physical access control systems/devices AND guards"}]},{"id":"pe-3_prm_3","depends-on":"pe-3_prm_2","label":"organization-defined physical access control systems/devices","constraints":[{"detail":"CSP defined physical access control systems/devices"}]},{"id":"pe-3_prm_4","label":"organization-defined entry/exit points"},{"id":"pe-3_prm_5","label":"organization-defined security safeguards"},{"id":"pe-3_prm_6","label":"organization-defined circumstances requiring visitor escorts and\n monitoring","constraints":[{"detail":"in all circumstances within restricted access area where the information system resides"}]},{"id":"pe-3_prm_7","label":"organization-defined physical access devices"},{"id":"pe-3_prm_8","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"pe-3_prm_9","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-3"},{"name":"sort-id","value":"pe-03"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"},{"href":"#398e33fd-f404-4e5c-b90e-2d50d3181244","rel":"reference","text":"ICD 705"},{"href":"#61081e7f-041d-4033-96a7-44a439071683","rel":"reference","text":"DoD Instruction 5200.39"},{"href":"#dd2f5acd-08f1-435a-9837-f8203088dc1a","rel":"reference","text":"Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"}],"parts":[{"id":"pe-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces physical access authorizations at {{ pe-3_prm_1 }} by;","parts":[{"id":"pe-3_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Verifying individual access authorizations before granting access to the\n facility; and"},{"id":"pe-3_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};"}]},{"id":"pe-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Maintains physical access audit logs for {{ pe-3_prm_4 }};"},{"id":"pe-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;"},{"id":"pe-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};"},{"id":"pe-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Secures keys, combinations, and other physical access devices;"},{"id":"pe-3_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and"},{"id":"pe-3_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated."}]},{"id":"pe-3_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#pe-5","rel":"related","text":"PE-5"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"pe-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-3.a_obj","name":"objective","properties":[{"name":"label","value":"PE-3(a)"}],"parts":[{"id":"pe-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(a)[1]"}],"prose":"defines entry/exit points to the facility where the information system\n resides;"},{"id":"pe-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2]"}],"prose":"enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:","parts":[{"id":"pe-3.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](1)"}],"prose":"verifying individual access authorizations before granting access to the\n facility;"},{"id":"pe-3.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(a)[2](2)"}],"parts":[{"id":"pe-3.a.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[a]"}],"prose":"defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;"},{"id":"pe-3.a.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b]"}],"prose":"using one or more of the following ways to control ingress/egress to the\n facility:","parts":[{"id":"pe-3.a.2_obj.2.b.1","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][1]"}],"prose":"organization-defined physical access control systems/devices;\n and/or"},{"id":"pe-3.a.2_obj.2.b.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][2]"}],"prose":"guards;"}]}]}]}]},{"id":"pe-3.b_obj","name":"objective","properties":[{"name":"label","value":"PE-3(b)"}],"parts":[{"id":"pe-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(b)[1]"}],"prose":"defines entry/exit points for which physical access audit logs are to be\n maintained;"},{"id":"pe-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(b)[2]"}],"prose":"maintains physical access audit logs for organization-defined entry/exit\n points;"}]},{"id":"pe-3.c_obj","name":"objective","properties":[{"name":"label","value":"PE-3(c)"}],"parts":[{"id":"pe-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(c)[1]"}],"prose":"defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;"},{"id":"pe-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(c)[2]"}],"prose":"provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;"}]},{"id":"pe-3.d_obj","name":"objective","properties":[{"name":"label","value":"PE-3(d)"}],"parts":[{"id":"pe-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(d)[1]"}],"prose":"defines circumstances requiring visitor:","parts":[{"id":"pe-3.d_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][a]"}],"prose":"escorts;"},{"id":"pe-3.d_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][b]"}],"prose":"monitoring;"}]},{"id":"pe-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(d)[2]"}],"prose":"in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:","parts":[{"id":"pe-3.d_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][a]"}],"prose":"escorts visitors;"},{"id":"pe-3.d_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][b]"}],"prose":"monitors visitor activities;"}]}]},{"id":"pe-3.e_obj","name":"objective","properties":[{"name":"label","value":"PE-3(e)"}],"parts":[{"id":"pe-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[1]"}],"prose":"secures keys;"},{"id":"pe-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[2]"}],"prose":"secures combinations;"},{"id":"pe-3.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[3]"}],"prose":"secures other physical access devices;"}]},{"id":"pe-3.f_obj","name":"objective","properties":[{"name":"label","value":"PE-3(f)"}],"parts":[{"id":"pe-3.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(f)[1]"}],"prose":"defines physical access devices to be inventoried;"},{"id":"pe-3.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(f)[2]"}],"prose":"defines the frequency to inventory organization-defined physical access\n devices;"},{"id":"pe-3.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(f)[3]"}],"prose":"inventories the organization-defined physical access devices with the\n organization-defined frequency;"}]},{"id":"pe-3.g_obj","name":"objective","properties":[{"name":"label","value":"PE-3(g)"}],"parts":[{"id":"pe-3.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(g)[1]"}],"prose":"defines the frequency to change combinations and keys; and"},{"id":"pe-3.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(g)[2]"}],"prose":"changes combinations and keys with the organization-defined frequency and/or\n when:","parts":[{"id":"pe-3.g_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][a]"}],"prose":"keys are lost;"},{"id":"pe-3.g_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][b]"}],"prose":"combinations are compromised;"},{"id":"pe-3.g_obj.2.c","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][c]"}],"prose":"individuals are transferred or terminated."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices"}]}]},{"id":"pe-6","class":"SP800-53","title":"Monitoring Physical Access","parameters":[{"id":"pe-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"pe-6_prm_2","label":"organization-defined events or potential indications of events"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-6"},{"name":"sort-id","value":"pe-06"}],"parts":[{"id":"pe-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and"},{"id":"pe-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"id":"pe-6_gdn","name":"guidance","prose":"Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"pe-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(a)"}],"prose":"monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6.b_obj","name":"objective","properties":[{"name":"label","value":"PE-6(b)"}],"parts":[{"id":"pe-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(b)[1]"}],"prose":"defines the frequency to review physical access logs;"},{"id":"pe-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(b)[2]"}],"prose":"defines events or potential indication of events requiring physical access logs\n to be reviewed;"},{"id":"pe-6.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(b)[3]"}],"prose":"reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and"}]},{"id":"pe-6.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-6(c)"}],"prose":"coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs"}]}]},{"id":"pe-8","class":"SP800-53","title":"Visitor Access Records","parameters":[{"id":"pe-8_prm_1","label":"organization-defined time period","constraints":[{"detail":"for a minimum of one (1) year"}]},{"id":"pe-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-8"},{"name":"sort-id","value":"pe-08"}],"parts":[{"id":"pe-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and"},{"id":"pe-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews visitor access records {{ pe-8_prm_2 }}."}]},{"id":"pe-8_gdn","name":"guidance","prose":"Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas."},{"id":"pe-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-8.a_obj","name":"objective","properties":[{"name":"label","value":"PE-8(a)"}],"parts":[{"id":"pe-8.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-8(a)[1]"}],"prose":"defines the time period to maintain visitor access records to the facility\n where the information system resides;"},{"id":"pe-8.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-8(a)[2]"}],"prose":"maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;"}]},{"id":"pe-8.b_obj","name":"objective","properties":[{"name":"label","value":"PE-8(b)"}],"parts":[{"id":"pe-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-8(b)[1]"}],"prose":"defines the frequency to review visitor access records; and"},{"id":"pe-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-8(b)[2]"}],"prose":"reviews visitor access records with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records"}]}]},{"id":"pe-12","class":"SP800-53","title":"Emergency Lighting","properties":[{"name":"label","value":"PE-12"},{"name":"sort-id","value":"pe-12"}],"parts":[{"id":"pe-12_smt","name":"statement","prose":"The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility."},{"id":"pe-12_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-12_obj","name":"objective","prose":"Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ","parts":[{"id":"pe-12_obj.1","name":"objective","properties":[{"name":"label","value":"PE-12[1]"}],"prose":"activates in the event of a power outage or disruption; and"},{"id":"pe-12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-12[2]"}],"prose":"covers emergency exits and evacuation routes within the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing emergency lighting\n capability"}]}]},{"id":"pe-13","class":"SP800-53","title":"Fire Protection","properties":[{"name":"label","value":"PE-13"},{"name":"sort-id","value":"pe-13"}],"parts":[{"id":"pe-13_smt","name":"statement","prose":"The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source."},{"id":"pe-13_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors."},{"id":"pe-13_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13_obj.1","name":"objective","properties":[{"name":"label","value":"PE-13[1]"}],"prose":"employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and"},{"id":"pe-13_obj.2","name":"objective","properties":[{"name":"label","value":"PE-13[2]"}],"prose":"maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems"}]}]},{"id":"pe-14","class":"SP800-53","title":"Temperature and Humidity Controls","parameters":[{"id":"pe-14_prm_1","label":"organization-defined acceptable levels","constraints":[{"detail":"consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments"}]},{"id":"pe-14_prm_2","label":"organization-defined frequency","constraints":[{"detail":"continuously"}]}],"properties":[{"name":"label","value":"PE-14"},{"name":"sort-id","value":"pe-14"}],"parts":[{"id":"pe-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and"},{"id":"pe-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Monitors temperature and humidity levels {{ pe-14_prm_2 }}."},{"id":"pe-14_fr","name":"item","title":"PE-14(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"pe-14_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider measures temperature at server inlets and humidity levels by dew point."}]}]},{"id":"pe-14_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-14_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-14.a_obj","name":"objective","properties":[{"name":"label","value":"PE-14(a)"}],"parts":[{"id":"pe-14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(a)[1]"}],"prose":"defines acceptable temperature levels to be maintained within the facility\n where the information system resides;"},{"id":"pe-14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(a)[2]"}],"prose":"defines acceptable humidity levels to be maintained within the facility where\n the information system resides;"},{"id":"pe-14.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(a)[3]"}],"prose":"maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;"},{"id":"pe-14.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(a)[4]"}],"prose":"maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;"}]},{"id":"pe-14.b_obj","name":"objective","properties":[{"name":"label","value":"PE-14(b)"}],"parts":[{"id":"pe-14.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(b)[1]"}],"prose":"defines the frequency to monitor temperature levels;"},{"id":"pe-14.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(b)[2]"}],"prose":"defines the frequency to monitor humidity levels;"},{"id":"pe-14.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(b)[3]"}],"prose":"monitors temperature levels with the organization-defined frequency; and"},{"id":"pe-14.b_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(b)[4]"}],"prose":"monitors humidity levels with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels"}]}]},{"id":"pe-15","class":"SP800-53","title":"Water Damage Protection","properties":[{"name":"label","value":"PE-15"},{"name":"sort-id","value":"pe-15"}],"parts":[{"id":"pe-15_smt","name":"statement","prose":"The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel."},{"id":"pe-15_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-15_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ","parts":[{"id":"pe-15_obj.1","name":"objective","properties":[{"name":"label","value":"PE-15[1]"}],"prose":"accessible;"},{"id":"pe-15_obj.2","name":"objective","properties":[{"name":"label","value":"PE-15[2]"}],"prose":"working properly; and"},{"id":"pe-15_obj.3","name":"objective","properties":[{"name":"label","value":"PE-15[3]"}],"prose":"known to key personnel."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff"}]}]},{"id":"pe-16","class":"SP800-53","title":"Delivery and Removal","parameters":[{"id":"pe-16_prm_1","label":"organization-defined types of information system components","constraints":[{"detail":"all information system components"}]}],"properties":[{"name":"label","value":"PE-16"},{"name":"sort-id","value":"pe-16"}],"parts":[{"id":"pe-16_smt","name":"statement","prose":"The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items."},{"id":"pe-16_gdn","name":"guidance","prose":"Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"pe-16_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-16_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-16[1]"}],"prose":"defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;"},{"id":"pe-16_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[2]"}],"prose":"authorizes organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[3]"}],"prose":"monitors organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[4]"}],"prose":"controls organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[5]"}],"prose":"authorizes organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.6","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[6]"}],"prose":"monitors organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.7","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[7]"}],"prose":"controls organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.8","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-16[8]"}],"prose":"maintains records of information system components entering the facility; and"},{"id":"pe-16_obj.9","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-16[9]"}],"prose":"maintains records of information system components exiting the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility"}]}]}]},{"id":"pl","class":"family","title":"Planning","controls":[{"id":"pl-1","class":"SP800-53","title":"Security Planning Policy and Procedures","parameters":[{"id":"pl-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"pl-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-1"},{"name":"sort-id","value":"pl-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pl-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pl-1_prm_1 }}:","parts":[{"id":"pl-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"pl-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and"}]},{"id":"pl-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pl-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security planning policy {{ pl-1_prm_2 }}; and"},{"id":"pl-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security planning procedures {{ pl-1_prm_3 }}."}]}]},{"id":"pl-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pl-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pl-1.a_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)"}],"parts":[{"id":"pl-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)"}],"parts":[{"id":"pl-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(1)[1]"}],"prose":"develops and documents a planning policy that addresses:","parts":[{"id":"pl-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pl-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pl-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pl-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pl-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pl-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pl-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pl-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the planning policy is to be\n disseminated;"},{"id":"pl-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-1(a)(1)[3]"}],"prose":"disseminates the planning policy to organization-defined personnel or\n roles;"}]},{"id":"pl-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)"}],"parts":[{"id":"pl-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;"},{"id":"pl-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pl-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pl-1.b_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)"}],"parts":[{"id":"pl-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(1)"}],"parts":[{"id":"pl-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current planning policy;"},{"id":"pl-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(1)[2]"}],"prose":"reviews and updates the current planning policy with the\n organization-defined frequency;"}]},{"id":"pl-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(2)"}],"parts":[{"id":"pl-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current planning procedures;\n and"},{"id":"pl-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(2)[2]"}],"prose":"reviews and updates the current planning procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pl-2","class":"SP800-53","title":"System Security Plan","parameters":[{"id":"pl-2_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-2"},{"name":"sort-id","value":"pl-02"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security plan for the information system that:","parts":[{"id":"pl-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Is consistent with the organization’s enterprise architecture;"},{"id":"pl-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Explicitly defines the authorization boundary for the system;"},{"id":"pl-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides an overview of the security requirements for the system;"},{"id":"pl-2_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Identifies any relevant overlays, if applicable;"},{"id":"pl-2_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and"},{"id":"pl-2_smt.a.9","name":"item","properties":[{"name":"label","value":"9."}],"prose":"Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};"},{"id":"pl-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the security plan for the information system {{ pl-2_prm_2 }};"},{"id":"pl-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and"},{"id":"pl-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Protects the security plan from unauthorized disclosure and modification."}]},{"id":"pl-2_gdn","name":"guidance","prose":"Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-7","rel":"related","text":"PL-7"},{"href":"#pm-1","rel":"related","text":"PM-1"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-11","rel":"related","text":"PM-11"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-17","rel":"related","text":"SA-17"}]},{"id":"pl-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-2.a_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)"}],"prose":"develops a security plan for the information system that:","parts":[{"id":"pl-2.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(1)"}],"prose":"is consistent with the organization’s enterprise architecture;"},{"id":"pl-2.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(2)"}],"prose":"explicitly defines the authorization boundary for the system;"},{"id":"pl-2.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(3)"}],"prose":"describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(4)"}],"prose":"provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(5)"}],"prose":"describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2.a.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(6)"}],"prose":"provides an overview of the security requirements for the system;"},{"id":"pl-2.a.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(7)"}],"prose":"identifies any relevant overlays, if applicable;"},{"id":"pl-2.a.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(8)"}],"prose":"describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;"},{"id":"pl-2.a.9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(a)(9)"}],"prose":"is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2.b_obj","name":"objective","properties":[{"name":"label","value":"PL-2(b)"}],"parts":[{"id":"pl-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(b)[1]"}],"prose":"defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;"},{"id":"pl-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(b)[2]"}],"prose":"distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;"}]},{"id":"pl-2.c_obj","name":"objective","properties":[{"name":"label","value":"PL-2(c)"}],"parts":[{"id":"pl-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(c)[1]"}],"prose":"defines the frequency to review the security plan for the information\n system;"},{"id":"pl-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(c)[2]"}],"prose":"reviews the security plan for the information system with the\n organization-defined frequency;"}]},{"id":"pl-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(d)"}],"prose":"updates the plan to address:","parts":[{"id":"pl-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(d)[1]"}],"prose":"changes to the information system/environment of operation;"},{"id":"pl-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(d)[2]"}],"prose":"problems identified during plan implementation;"},{"id":"pl-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"PL-2(d)[3]"}],"prose":"problems identified during security control assessments;"}]},{"id":"pl-2.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(e)"}],"prose":"protects the security plan from unauthorized:","parts":[{"id":"pl-2.e_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(e)[1]"}],"prose":"disclosure; and"},{"id":"pl-2.e_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(e)[2]"}],"prose":"modification."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan"}]}]},{"id":"pl-4","class":"SP800-53","title":"Rules of Behavior","parameters":[{"id":"pl-4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"At least every 3 years"}]}],"properties":[{"name":"label","value":"PL-4"},{"name":"sort-id","value":"pl-04"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;"},{"id":"pl-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and"},{"id":"pl-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated."}]},{"id":"pl-4_gdn","name":"guidance","prose":"This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#mp-7","rel":"related","text":"MP-7"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#ps-8","rel":"related","text":"PS-8"},{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"pl-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-4.a_obj","name":"objective","properties":[{"name":"label","value":"PL-4(a)"}],"parts":[{"id":"pl-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-4(a)[1]"}],"prose":"establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;"},{"id":"pl-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(a)[2]"}],"prose":"makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;"}]},{"id":"pl-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(b)"}],"prose":"receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4.c_obj","name":"objective","properties":[{"name":"label","value":"PL-4(c)"}],"parts":[{"id":"pl-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-4(c)[1]"}],"prose":"defines the frequency to review and update the rules of behavior;"},{"id":"pl-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(c)[2]"}],"prose":"reviews and updates the rules of behavior with the organization-defined\n frequency; and"}]},{"id":"pl-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(d)"}],"prose":"requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior"}]}]}]},{"id":"ps","class":"family","title":"Personnel Security","controls":[{"id":"ps-1","class":"SP800-53","title":"Personnel Security Policy and Procedures","parameters":[{"id":"ps-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ps-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-1"},{"name":"sort-id","value":"ps-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ps-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ps-1_prm_1 }}:","parts":[{"id":"ps-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ps-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and"}]},{"id":"ps-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ps-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Personnel security policy {{ ps-1_prm_2 }}; and"},{"id":"ps-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Personnel security procedures {{ ps-1_prm_3 }}."}]}]},{"id":"ps-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ps-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-1.a_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)"}],"parts":[{"id":"ps-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)"}],"parts":[{"id":"ps-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(1)[1]"}],"prose":"develops and documents an personnel security policy that addresses:","parts":[{"id":"ps-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ps-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ps-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ps-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ps-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ps-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ps-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ps-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the personnel security policy is to be\n disseminated;"},{"id":"ps-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-1(a)(1)[3]"}],"prose":"disseminates the personnel security policy to organization-defined personnel\n or roles;"}]},{"id":"ps-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)"}],"parts":[{"id":"ps-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;"},{"id":"ps-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ps-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ps-1.b_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)"}],"parts":[{"id":"ps-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(1)"}],"parts":[{"id":"ps-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n policy;"},{"id":"ps-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(1)[2]"}],"prose":"reviews and updates the current personnel security policy with the\n organization-defined frequency;"}]},{"id":"ps-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(2)"}],"parts":[{"id":"ps-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n procedures; and"},{"id":"ps-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(2)[2]"}],"prose":"reviews and updates the current personnel security procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ps-2","class":"SP800-53","title":"Position Risk Designation","parameters":[{"id":"ps-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three years"}]}],"properties":[{"name":"label","value":"PS-2"},{"name":"sort-id","value":"ps-02"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"}],"parts":[{"id":"ps-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a risk designation to all organizational positions;"},{"id":"ps-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes screening criteria for individuals filling those positions; and"},{"id":"ps-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates position risk designations {{ ps-2_prm_1 }}."}]},{"id":"ps-2_gdn","name":"guidance","prose":"Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"ps-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-2(a)"}],"prose":"assigns a risk designation to all organizational positions;"},{"id":"ps-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-2(b)"}],"prose":"establishes screening criteria for individuals filling those positions;"},{"id":"ps-2.c_obj","name":"objective","properties":[{"name":"label","value":"PS-2(c)"}],"parts":[{"id":"ps-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-2(c)[1]"}],"prose":"defines the frequency to review and update position risk designations; and"},{"id":"ps-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-2(c)[2]"}],"prose":"reviews and updates position risk designations with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria"}]}]},{"id":"ps-3","class":"SP800-53","title":"Personnel Screening","parameters":[{"id":"ps-3_prm_1","label":"organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening","constraints":[{"detail":"For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions."}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-3"},{"name":"sort-id","value":"ps-03"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"}],"parts":[{"id":"ps-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Screens individuals prior to authorizing access to the information system; and"},{"id":"ps-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Rescreens individuals according to {{ ps-3_prm_1 }}."}]},{"id":"ps-3_gdn","name":"guidance","prose":"Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"ps-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-3(a)"}],"prose":"screens individuals prior to authorizing access to the information system;"},{"id":"ps-3.b_obj","name":"objective","properties":[{"name":"label","value":"PS-3(b)"}],"parts":[{"id":"ps-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(b)[1]"}],"prose":"defines conditions requiring re-screening;"},{"id":"ps-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(b)[2]"}],"prose":"defines the frequency of re-screening where it is so indicated; and"},{"id":"ps-3.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(b)[3]"}],"prose":"re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel screening"}]}]},{"id":"ps-4","class":"SP800-53","title":"Personnel Termination","parameters":[{"id":"ps-4_prm_1","label":"organization-defined time period","constraints":[{"detail":"same day"}]},{"id":"ps-4_prm_2","label":"organization-defined information security topics"},{"id":"ps-4_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-4_prm_4","label":"organization-defined time period"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-4"},{"name":"sort-id","value":"ps-04"}],"parts":[{"id":"ps-4_smt","name":"statement","prose":"The organization, upon termination of individual employment:","parts":[{"id":"ps-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Disables information system access within {{ ps-4_prm_1 }};"},{"id":"ps-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};"},{"id":"ps-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Retains access to organizational information and information systems formerly\n controlled by terminated individual; and"},{"id":"ps-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}."}]},{"id":"ps-4_gdn","name":"guidance","prose":"Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-4_obj","name":"objective","prose":"Determine if the organization, upon termination of individual employment,:","parts":[{"id":"ps-4.a_obj","name":"objective","properties":[{"name":"label","value":"PS-4(a)"}],"parts":[{"id":"ps-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(a)[1]"}],"prose":"defines a time period within which to disable information system access;"},{"id":"ps-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(a)[2]"}],"prose":"disables information system access within the organization-defined time\n period;"}]},{"id":"ps-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(b)"}],"prose":"terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4.c_obj","name":"objective","properties":[{"name":"label","value":"PS-4(c)"}],"parts":[{"id":"ps-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(c)[1]"}],"prose":"defines information security topics to be discussed when conducting exit\n interviews;"},{"id":"ps-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(c)[2]"}],"prose":"conducts exit interviews that include a discussion of organization-defined\n information security topics;"}]},{"id":"ps-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(d)"}],"prose":"retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(e)"}],"prose":"retains access to organizational information and information systems formerly\n controlled by the terminated individual;"},{"id":"ps-4.f_obj","name":"objective","properties":[{"name":"label","value":"PS-4(f)"}],"parts":[{"id":"ps-4.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(f)[1]"}],"prose":"defines personnel or roles to be notified of the termination;"},{"id":"ps-4.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(f)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles; and"},{"id":"ps-4.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(f)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-5","class":"SP800-53","title":"Personnel Transfer","parameters":[{"id":"ps-5_prm_1","label":"organization-defined transfer or reassignment actions"},{"id":"ps-5_prm_2","label":"organization-defined time period following the formal transfer action"},{"id":"ps-5_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-5_prm_4","label":"organization-defined time period","constraints":[{"detail":"five days of the time period following the formal transfer action (DoD 24 hours)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-5"},{"name":"sort-id","value":"ps-05"}],"parts":[{"id":"ps-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;"},{"id":"ps-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};"},{"id":"ps-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and"},{"id":"ps-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}."}]},{"id":"ps-5_gdn","name":"guidance","prose":"This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-4","rel":"related","text":"PS-4"}]},{"id":"ps-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-5.a_obj","name":"objective","properties":[{"name":"label","value":"PS-5(a)"}],"prose":"when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:","parts":[{"id":"ps-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-5(a)[1]"}],"prose":"logical access authorizations to information systems;"},{"id":"ps-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-5(a)[2]"}],"prose":"physical access authorizations to information systems and facilities;"}]},{"id":"ps-5.b_obj","name":"objective","properties":[{"name":"label","value":"PS-5(b)"}],"parts":[{"id":"ps-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(b)[1]"}],"prose":"defines transfer or reassignment actions to be initiated following transfer or\n reassignment;"},{"id":"ps-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(b)[2]"}],"prose":"defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;"},{"id":"ps-5.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(b)[3]"}],"prose":"initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;"}]},{"id":"ps-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(c)"}],"prose":"modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;"},{"id":"ps-5.d_obj","name":"objective","properties":[{"name":"label","value":"PS-5(d)"}],"parts":[{"id":"ps-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(d)[1]"}],"prose":"defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;"},{"id":"ps-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(d)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and"},{"id":"ps-5.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(d)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-6","class":"SP800-53","title":"Access Agreements","parameters":[{"id":"ps-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ps-6_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-6"},{"name":"sort-id","value":"ps-06"}],"parts":[{"id":"ps-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the access agreements {{ ps-6_prm_1 }}; and"},{"id":"ps-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that individuals requiring access to organizational information and\n information systems:","parts":[{"id":"ps-6_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Sign appropriate access agreements prior to being granted access; and"},{"id":"ps-6_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}."}]}]},{"id":"ps-6_gdn","name":"guidance","prose":"Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-8","rel":"related","text":"PS-8"}]},{"id":"ps-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(a)"}],"prose":"develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6.b_obj","name":"objective","properties":[{"name":"label","value":"PS-6(b)"}],"parts":[{"id":"ps-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(b)[1]"}],"prose":"defines the frequency to review and update the access agreements;"},{"id":"ps-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(b)[2]"}],"prose":"reviews and updates the access agreements with the organization-defined\n frequency;"}]},{"id":"ps-6.c_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)"}],"parts":[{"id":"ps-6.c.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-6(c)(1)"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;"},{"id":"ps-6.c.2_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)(2)"}],"parts":[{"id":"ps-6.c.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(c)(2)[1]"}],"prose":"defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;"},{"id":"ps-6.c.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-6(c)(2)[2]"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements"}]}]},{"id":"ps-7","class":"SP800-53","title":"Third-party Personnel Security","parameters":[{"id":"ps-7_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-7_prm_2","label":"organization-defined time period","constraints":[{"detail":"organization-defined time period - same day"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-7"},{"name":"sort-id","value":"ps-07"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"ps-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;"},{"id":"ps-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents personnel security requirements;"},{"id":"ps-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and"},{"id":"ps-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Monitors provider compliance."}]},{"id":"ps-7_gdn","name":"guidance","prose":"Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.","links":[{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sa-21","rel":"related","text":"SA-21"}]},{"id":"ps-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(a)"}],"prose":"establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;"},{"id":"ps-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-7(b)"}],"prose":"requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(c)"}],"prose":"documents personnel security requirements;"},{"id":"ps-7.d_obj","name":"objective","properties":[{"name":"label","value":"PS-7(d)"}],"parts":[{"id":"ps-7.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[1]"}],"prose":"defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[2]"}],"prose":"defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[3]"}],"prose":"requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and"}]},{"id":"ps-7.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-7(e)"}],"prose":"monitors provider compliance."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance"}]}]},{"id":"ps-8","class":"SP800-53","title":"Personnel Sanctions","parameters":[{"id":"ps-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-8_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-8"},{"name":"sort-id","value":"ps-08"}],"parts":[{"id":"ps-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and"},{"id":"ps-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction."}]},{"id":"ps-8_gdn","name":"guidance","prose":"Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(a)"}],"prose":"employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;"},{"id":"ps-8.b_obj","name":"objective","properties":[{"name":"label","value":"PS-8(b)"}],"parts":[{"id":"ps-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(b)[1]"}],"prose":"defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;"},{"id":"ps-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(b)[2]"}],"prose":"defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and"},{"id":"ps-8.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-8(b)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications"}]}]}]},{"id":"ra","class":"family","title":"Risk Assessment","controls":[{"id":"ra-1","class":"SP800-53","title":"Risk Assessment Policy and Procedures","parameters":[{"id":"ra-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ra-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ra-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-1"},{"name":"sort-id","value":"ra-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ra-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ra-1_prm_1 }}:","parts":[{"id":"ra-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ra-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and"}]},{"id":"ra-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ra-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Risk assessment policy {{ ra-1_prm_2 }}; and"},{"id":"ra-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Risk assessment procedures {{ ra-1_prm_3 }}."}]}]},{"id":"ra-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-1.a_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)"}],"parts":[{"id":"ra-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)"}],"parts":[{"id":"ra-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(1)[1]"}],"prose":"develops and documents a risk assessment policy that addresses:","parts":[{"id":"ra-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ra-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ra-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ra-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ra-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ra-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ra-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ra-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the risk assessment policy is to be\n disseminated;"},{"id":"ra-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"RA-1(a)(1)[3]"}],"prose":"disseminates the risk assessment policy to organization-defined personnel or\n roles;"}]},{"id":"ra-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)"}],"parts":[{"id":"ra-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;"},{"id":"ra-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ra-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"RA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ra-1.b_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)"}],"parts":[{"id":"ra-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(1)"}],"parts":[{"id":"ra-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n policy;"},{"id":"ra-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(1)[2]"}],"prose":"reviews and updates the current risk assessment policy with the\n organization-defined frequency;"}]},{"id":"ra-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(2)"}],"parts":[{"id":"ra-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n procedures; and"},{"id":"ra-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(2)[2]"}],"prose":"reviews and updates the current risk assessment procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"risk assessment policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ra-2","class":"SP800-53","title":"Security Categorization","properties":[{"name":"label","value":"RA-2"},{"name":"sort-id","value":"ra-02"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"}],"parts":[{"id":"ra-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision."}]},{"id":"ra-2_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"ra-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-2(a)"}],"prose":"categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-2(b)"}],"prose":"documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-2(c)"}],"prose":"ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security categorization"}]}]},{"id":"ra-3","class":"SP800-53","title":"Risk Assessment","parameters":[{"id":"ra-3_prm_1"},{"id":"ra-3_prm_2","depends-on":"ra-3_prm_1","label":"organization-defined document","constraints":[{"detail":"security assessment report"}]},{"id":"ra-3_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]},{"id":"ra-3_prm_4","label":"organization-defined personnel or roles"},{"id":"ra-3_prm_5","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"RA-3"},{"name":"sort-id","value":"ra-03"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ra-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;"},{"id":"ra-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents risk assessment results in {{ ra-3_prm_1 }};"},{"id":"ra-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews risk assessment results {{ ra-3_prm_3 }};"},{"id":"ra-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Disseminates risk assessment results to {{ ra-3_prm_4 }}; and"},{"id":"ra-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system."},{"id":"ra-3_fr","name":"item","title":"RA-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F"},{"id":"ra-3_fr_smt.d","name":"item","properties":[{"name":"label","value":"RA-3 (d) Requirement:"}],"prose":"Include all Authorizing Officials; for JAB authorizations to include FedRAMP."}]}]},{"id":"ra-3_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.","links":[{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-3.a_obj","name":"objective","properties":[{"name":"label","value":"RA-3(a)"}],"prose":"conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:","parts":[{"id":"ra-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(a)[1]"}],"prose":"the information system;"},{"id":"ra-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(a)[2]"}],"prose":"the information the system processes, stores, or transmits;"}]},{"id":"ra-3.b_obj","name":"objective","properties":[{"name":"label","value":"RA-3(b)"}],"parts":[{"id":"ra-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(b)[1]"}],"prose":"defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);"},{"id":"ra-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(b)[2]"}],"prose":"documents risk assessment results in one of the following:","parts":[{"id":"ra-3.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][a]"}],"prose":"the security plan;"},{"id":"ra-3.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][b]"}],"prose":"the risk assessment report; or"},{"id":"ra-3.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][c]"}],"prose":"the organization-defined document;"}]}]},{"id":"ra-3.c_obj","name":"objective","properties":[{"name":"label","value":"RA-3(c)"}],"parts":[{"id":"ra-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(c)[1]"}],"prose":"defines the frequency to review risk assessment results;"},{"id":"ra-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(c)[2]"}],"prose":"reviews risk assessment results with the organization-defined frequency;"}]},{"id":"ra-3.d_obj","name":"objective","properties":[{"name":"label","value":"RA-3(d)"}],"parts":[{"id":"ra-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(d)[1]"}],"prose":"defines personnel or roles to whom risk assessment results are to be\n disseminated;"},{"id":"ra-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(d)[2]"}],"prose":"disseminates risk assessment results to organization-defined personnel or\n roles;"}]},{"id":"ra-3.e_obj","name":"objective","properties":[{"name":"label","value":"RA-3(e)"}],"parts":[{"id":"ra-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(e)[1]"}],"prose":"defines the frequency to update the risk assessment;"},{"id":"ra-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(e)[2]"}],"prose":"updates the risk assessment:","parts":[{"id":"ra-3.e_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][a]"}],"prose":"with the organization-defined frequency;"},{"id":"ra-3.e_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][b]"}],"prose":"whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and"},{"id":"ra-3.e_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][c]"}],"prose":"whenever there are other conditions that may impact the security state of\n the system."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment"}]}]},{"id":"ra-5","class":"SP800-53","title":"Vulnerability Scanning","parameters":[{"id":"ra-5_prm_1","label":"organization-defined frequency and/or randomly in accordance with\n organization-defined process","constraints":[{"detail":"monthly operating system/infrastructure; monthly web applications and databases"}]},{"id":"ra-5_prm_2","label":"organization-defined response times","constraints":[{"detail":"[high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery."}]},{"id":"ra-5_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5"},{"name":"sort-id","value":"ra-05"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#15522e92-9192-463d-9646-6a01982db8ca","rel":"reference","text":"http://cwe.mitre.org"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"}],"parts":[{"id":"ra-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;"},{"id":"ra-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Enumerating platforms, software flaws, and improper configurations;"},{"id":"ra-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Formatting checklists and test procedures; and"},{"id":"ra-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Measuring vulnerability impact;"}]},{"id":"ra-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Analyzes vulnerability scan reports and results from security control\n assessments;"},{"id":"ra-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and"},{"id":"ra-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."},{"id":"ra-5_fr_smt.a","name":"item","title":"RA-5(a) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (a)Requirement:"}],"prose":"An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually."},{"id":"ra-5_fr_smt.e","name":"item","title":"RA-5(e) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (e)Requirement:"}],"prose":"To include all Authorizing Officials; for JAB authorizations to include FedRAMP."},{"id":"ra-5_fr","name":"item","title":"RA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))"}]}]},{"id":"ra-5_gdn","name":"guidance","prose":"Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ra-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.a_obj","name":"objective","properties":[{"name":"label","value":"RA-5(a)"}],"parts":[{"id":"ra-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(a)[1]"}],"parts":[{"id":"ra-5.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][a]"}],"prose":"defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or"},{"id":"ra-5.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][b]"}],"prose":"defines the process for conducting random vulnerability scans on the\n information system and hosted applications;"}]},{"id":"ra-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(a)[2]"}],"prose":"in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:","parts":[{"id":"ra-5.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][b]"}],"prose":"hosted applications;"}]},{"id":"ra-5.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(a)[3]"}],"prose":"when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:","parts":[{"id":"ra-5.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][b]"}],"prose":"hosted applications;"}]}]},{"id":"ra-5.b_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)"}],"prose":"employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5.b.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(1)"}],"parts":[{"id":"ra-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[1]"}],"prose":"enumerating platforms;"},{"id":"ra-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[2]"}],"prose":"enumerating software flaws;"},{"id":"ra-5.b.1_obj.3","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[3]"}],"prose":"enumerating improper configurations;"}]},{"id":"ra-5.b.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(2)"}],"parts":[{"id":"ra-5.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[1]"}],"prose":"formatting checklists;"},{"id":"ra-5.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[2]"}],"prose":"formatting test procedures;"}]},{"id":"ra-5.b.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(3)"}],"prose":"measuring vulnerability impact;"}]},{"id":"ra-5.c_obj","name":"objective","properties":[{"name":"label","value":"RA-5(c)"}],"parts":[{"id":"ra-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(c)[1]"}],"prose":"analyzes vulnerability scan reports;"},{"id":"ra-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(c)[2]"}],"prose":"analyzes results from security control assessments;"}]},{"id":"ra-5.d_obj","name":"objective","properties":[{"name":"label","value":"RA-5(d)"}],"parts":[{"id":"ra-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(d)[1]"}],"prose":"defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;"},{"id":"ra-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(d)[2]"}],"prose":"remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;"}]},{"id":"ra-5.e_obj","name":"objective","properties":[{"name":"label","value":"RA-5(e)"}],"parts":[{"id":"ra-5.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(e)[1]"}],"prose":"defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;"},{"id":"ra-5.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(e)[2]"}],"prose":"shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and"},{"id":"ra-5.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(e)[3]"}],"prose":"shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing"}]}]}]},{"id":"sa","class":"family","title":"System and Services Acquisition","controls":[{"id":"sa-1","class":"SP800-53","title":"System and Services Acquisition Policy and Procedures","parameters":[{"id":"sa-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sa-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"sa-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SA-1"},{"name":"sort-id","value":"sa-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sa-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sa-1_prm_1 }}:","parts":[{"id":"sa-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"sa-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and"}]},{"id":"sa-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sa-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and services acquisition policy {{ sa-1_prm_2 }}; and"},{"id":"sa-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and services acquisition procedures {{ sa-1_prm_3 }}."}]}]},{"id":"sa-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sa-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-1.a_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)"}],"parts":[{"id":"sa-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)"}],"parts":[{"id":"sa-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(1)[1]"}],"prose":"develops and documents a system and services acquisition policy that\n addresses:","parts":[{"id":"sa-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sa-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sa-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sa-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sa-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sa-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sa-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sa-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;"},{"id":"sa-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-1(a)(1)[3]"}],"prose":"disseminates the system and services acquisition policy to\n organization-defined personnel or roles;"}]},{"id":"sa-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)"}],"parts":[{"id":"sa-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;"},{"id":"sa-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sa-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sa-1.b_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)"}],"parts":[{"id":"sa-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(1)"}],"parts":[{"id":"sa-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition policy;"},{"id":"sa-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(1)[2]"}],"prose":"reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;"}]},{"id":"sa-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(2)"}],"parts":[{"id":"sa-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition procedures; and"},{"id":"sa-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(2)[2]"}],"prose":"reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sa-2","class":"SP800-53","title":"Allocation of Resources","properties":[{"name":"label","value":"SA-2"},{"name":"sort-id","value":"sa-02"}],"links":[{"href":"#29fcfe59-33cd-494a-8756-5907ae3a8f92","rel":"reference","text":"NIST Special Publication 800-65"}],"parts":[{"id":"sa-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and"},{"id":"sa-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"id":"sa-2_gdn","name":"guidance","prose":"Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.","links":[{"href":"#pm-3","rel":"related","text":"PM-3"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"sa-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-2(a)"}],"prose":"determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-2(b)"}],"prose":"to protect the information system or information system service as part of its\n capital planning and investment control process:","parts":[{"id":"sa-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"SA-2(b)[1]"}],"prose":"determines the resources required;"},{"id":"sa-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"SA-2(b)[2]"}],"prose":"documents the resources required;"},{"id":"sa-2.b_obj.3","name":"objective","properties":[{"name":"label","value":"SA-2(b)[3]"}],"prose":"allocates the resources required; and"}]},{"id":"sa-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-2(c)"}],"prose":"establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting"}]}]},{"id":"sa-3","class":"SP800-53","title":"System Development Life Cycle","parameters":[{"id":"sa-3_prm_1","label":"organization-defined system development life cycle"}],"properties":[{"name":"label","value":"SA-3"},{"name":"sort-id","value":"sa-03"}],"links":[{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"}],"parts":[{"id":"sa-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;"},{"id":"sa-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"id":"sa-3_gdn","name":"guidance","prose":"A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-8","rel":"related","text":"SA-8"}]},{"id":"sa-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-3.a_obj","name":"objective","properties":[{"name":"label","value":"SA-3(a)"}],"parts":[{"id":"sa-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(a)[1]"}],"prose":"defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;"},{"id":"sa-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-3(a)[2]"}],"prose":"manages the information system using the organization-defined system\n development life cycle;"}]},{"id":"sa-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(b)"}],"prose":"defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(c)"}],"prose":"identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-3(d)"}],"prose":"integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC"}]}]},{"id":"sa-4","class":"SP800-53","title":"Acquisition Process","properties":[{"name":"label","value":"SA-4"},{"name":"sort-id","value":"sa-04"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#1737a687-52fb-4008-b900-cbfa836f7b65","rel":"reference","text":"ISO/IEC 15408"},{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#0a5db899-f033-467f-8631-f5a8ba971475","rel":"reference","text":"NIST Special Publication 800-23"},{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"},{"href":"#d818efd3-db31-4953-8afa-9e76afe83ce2","rel":"reference","text":"NIST Special Publication 800-36"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#56d671da-6b7b-4abf-8296-84b61980390a","rel":"reference","text":"Federal Acquisition Regulation"},{"href":"#c95a9986-3cd6-4a98-931b-ccfc56cb11e5","rel":"reference","text":"http://www.niap-ccevs.org"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"},{"href":"#bbd50dd1-54ce-4432-959d-63ea564b1bb4","rel":"reference","text":"http://www.acquisition.gov/far"}],"parts":[{"id":"sa-4_smt","name":"statement","prose":"The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:","parts":[{"id":"sa-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Security functional requirements;"},{"id":"sa-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Security strength requirements;"},{"id":"sa-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Security assurance requirements;"},{"id":"sa-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Security-related documentation requirements;"},{"id":"sa-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requirements for protecting security-related documentation;"},{"id":"sa-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Description of the information system development environment and environment in\n which the system is intended to operate; and"},{"id":"sa-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Acceptance criteria."},{"id":"sa-4_fr","name":"item","title":"SA-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html)."}]}]},{"id":"sa-4_gdn","name":"guidance","prose":"Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"sa-4_obj","name":"objective","prose":"Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:","parts":[{"id":"sa-4.a_obj","name":"objective","properties":[{"name":"label","value":"SA-4(a)"}],"prose":"security functional requirements;"},{"id":"sa-4.b_obj","name":"objective","properties":[{"name":"label","value":"SA-4(b)"}],"prose":"security strength requirements;"},{"id":"sa-4.c_obj","name":"objective","properties":[{"name":"label","value":"SA-4(c)"}],"prose":"security assurance requirements;"},{"id":"sa-4.d_obj","name":"objective","properties":[{"name":"label","value":"SA-4(d)"}],"prose":"security-related documentation requirements;"},{"id":"sa-4.e_obj","name":"objective","properties":[{"name":"label","value":"SA-4(e)"}],"prose":"requirements for protecting security-related documentation;"},{"id":"sa-4.f_obj","name":"objective","properties":[{"name":"label","value":"SA-4(f)"}],"prose":"description of:","parts":[{"id":"sa-4.f_obj.1","name":"objective","properties":[{"name":"label","value":"SA-4(f)[1]"}],"prose":"the information system development environment;"},{"id":"sa-4.f_obj.2","name":"objective","properties":[{"name":"label","value":"SA-4(f)[2]"}],"prose":"the environment in which the system is intended to operate; and"}]},{"id":"sa-4.g_obj","name":"objective","properties":[{"name":"label","value":"SA-4(g)"}],"prose":"acceptance criteria."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts"}]}]},{"id":"sa-5","class":"SP800-53","title":"Information System Documentation","parameters":[{"id":"sa-5_prm_1","label":"organization-defined actions"},{"id":"sa-5_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SA-5"},{"name":"sort-id","value":"sa-05"}],"parts":[{"id":"sa-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Secure configuration, installation, and operation of the system, component, or\n service;"},{"id":"sa-5_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Effective use and maintenance of security functions/mechanisms; and"},{"id":"sa-5_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;"},{"id":"sa-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and"},{"id":"sa-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"User responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;"},{"id":"sa-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects documentation as required, in accordance with the risk management\n strategy; and"},{"id":"sa-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Distributes documentation to {{ sa-5_prm_2 }}."}]},{"id":"sa-5_gdn","name":"guidance","prose":"This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"sa-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(a)"}],"prose":"obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)"}],"parts":[{"id":"sa-5.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[1]"}],"prose":"secure configuration of the system, system component, or service;"},{"id":"sa-5.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[2]"}],"prose":"secure installation of the system, system component, or service;"},{"id":"sa-5.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[3]"}],"prose":"secure operation of the system, system component, or service;"}]},{"id":"sa-5.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)"}],"parts":[{"id":"sa-5.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[1]"}],"prose":"effective use of the security features/mechanisms;"},{"id":"sa-5.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[2]"}],"prose":"effective maintenance of the security features/mechanisms;"}]},{"id":"sa-5.a.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(3)"}],"prose":"known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(b)"}],"prose":"obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)"}],"parts":[{"id":"sa-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[1]"}],"prose":"user-accessible security functions/mechanisms;"},{"id":"sa-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[2]"}],"prose":"how to effectively use those functions/mechanisms;"}]},{"id":"sa-5.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(2)"}],"prose":"methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;"},{"id":"sa-5.b.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(3)"}],"prose":"user responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5.c_obj","name":"objective","properties":[{"name":"label","value":"SA-5(c)"}],"parts":[{"id":"sa-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(c)[1]"}],"prose":"defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;"},{"id":"sa-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(c)[2]"}],"prose":"documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;"},{"id":"sa-5.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(c)[3]"}],"prose":"takes organization-defined actions in response;"}]},{"id":"sa-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(d)"}],"prose":"protects documentation as required, in accordance with the risk management\n strategy;"},{"id":"sa-5.e_obj","name":"objective","properties":[{"name":"label","value":"SA-5(e)"}],"parts":[{"id":"sa-5.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(e)[1]"}],"prose":"defines personnel or roles to whom documentation is to be distributed; and"},{"id":"sa-5.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(e)[2]"}],"prose":"distributes documentation to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation"}]}]},{"id":"sa-9","class":"SP800-53","title":"External Information System Services","parameters":[{"id":"sa-9_prm_1","label":"organization-defined security controls","constraints":[{"detail":"FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system"}]},{"id":"sa-9_prm_2","label":"organization-defined processes, methods, and techniques","constraints":[{"detail":"Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9"},{"name":"sort-id","value":"sa-09"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"sa-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;"},{"id":"sa-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and"},{"id":"sa-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis."},{"id":"sa-9_fr","name":"item","title":"SA-9 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-9_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide [https://www.FedRAMP.gov/documents](https://www.FedRAMP.gov/documents)\n "},{"id":"sa-9_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance"}]}]},{"id":"sa-9_gdn","name":"guidance","prose":"External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.","links":[{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ir-7","rel":"related","text":"IR-7"},{"href":"#ps-7","rel":"related","text":"PS-7"}]},{"id":"sa-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.a_obj","name":"objective","properties":[{"name":"label","value":"SA-9(a)"}],"parts":[{"id":"sa-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[1]"}],"prose":"defines security controls to be employed by providers of external information\n system services;"},{"id":"sa-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[2]"}],"prose":"requires that providers of external information system services comply with\n organizational information security requirements;"},{"id":"sa-9.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[3]"}],"prose":"requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"}]},{"id":"sa-9.b_obj","name":"objective","properties":[{"name":"label","value":"SA-9(b)"}],"parts":[{"id":"sa-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(b)[1]"}],"prose":"defines and documents government oversight with regard to external information\n system services;"},{"id":"sa-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(b)[2]"}],"prose":"defines and documents user roles and responsibilities with regard to external\n information system services;"}]},{"id":"sa-9.c_obj","name":"objective","properties":[{"name":"label","value":"SA-9(c)"}],"parts":[{"id":"sa-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(c)[1]"}],"prose":"defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and"},{"id":"sa-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(c)[2]"}],"prose":"employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis"}]}]}]},{"id":"sc","class":"family","title":"System and Communications Protection","controls":[{"id":"sc-1","class":"SP800-53","title":"System and Communications Protection Policy and Procedures","parameters":[{"id":"sc-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sc-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"sc-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-1"},{"name":"sort-id","value":"sc-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sc-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sc-1_prm_1 }}:","parts":[{"id":"sc-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"sc-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and"}]},{"id":"sc-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sc-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and communications protection policy {{ sc-1_prm_2 }};\n and"},{"id":"sc-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and communications protection procedures {{ sc-1_prm_3 }}."}]}]},{"id":"sc-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sc-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-1.a_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)"}],"parts":[{"id":"sc-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)"}],"parts":[{"id":"sc-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(1)[1]"}],"prose":"develops and documents a system and communications protection policy that\n addresses:","parts":[{"id":"sc-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sc-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sc-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sc-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sc-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sc-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sc-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sc-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;"},{"id":"sc-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SC-1(a)(1)[3]"}],"prose":"disseminates the system and communications protection policy to\n organization-defined personnel or roles;"}]},{"id":"sc-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)"}],"parts":[{"id":"sc-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;"},{"id":"sc-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sc-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sc-1.b_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)"}],"parts":[{"id":"sc-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(1)"}],"parts":[{"id":"sc-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection policy;"},{"id":"sc-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(1)[2]"}],"prose":"reviews and updates the current system and communications protection policy\n with the organization-defined frequency;"}]},{"id":"sc-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(2)"}],"parts":[{"id":"sc-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection procedures; and"},{"id":"sc-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(2)[2]"}],"prose":"reviews and updates the current system and communications protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sc-5","class":"SP800-53","title":"Denial of Service Protection","parameters":[{"id":"sc-5_prm_1","label":"organization-defined types of denial of service attacks or references to sources\n for such information"},{"id":"sc-5_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SC-5"},{"name":"sort-id","value":"sc-05"}],"parts":[{"id":"sc-5_smt","name":"statement","prose":"The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}."},{"id":"sc-5_gdn","name":"guidance","prose":"A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.","links":[{"href":"#sc-6","rel":"related","text":"SC-6"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"sc-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-5_obj.1","name":"objective","properties":[{"name":"label","value":"SC-5[1]"}],"prose":"the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;"},{"id":"sc-5_obj.2","name":"objective","properties":[{"name":"label","value":"SC-5[2]"}],"prose":"the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and"},{"id":"sc-5_obj.3","name":"objective","properties":[{"name":"label","value":"SC-5[3]"}],"prose":"the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms protecting against or limiting the effects of denial of\n service attacks"}]}]},{"id":"sc-7","class":"SP800-53","title":"Boundary Protection","parameters":[{"id":"sc-7_prm_1"}],"properties":[{"name":"label","value":"SC-7"},{"name":"sort-id","value":"sc-07"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#756a8e86-57d5-4701-8382-f7a40439665a","rel":"reference","text":"NIST Special Publication 800-41"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"}],"parts":[{"id":"sc-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;"},{"id":"sc-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and"},{"id":"sc-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"id":"sc-7_gdn","name":"guidance","prose":"Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.","links":[{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"sc-7_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-7.a_obj","name":"objective","properties":[{"name":"label","value":"SC-7(a)"}],"parts":[{"id":"sc-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[1]"}],"prose":"monitors communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[2]"}],"prose":"monitors communications at key internal boundaries within the system;"},{"id":"sc-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[3]"}],"prose":"controls communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[4]"}],"prose":"controls communications at key internal boundaries within the system;"}]},{"id":"sc-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(b)"}],"prose":"implements subnetworks for publicly accessible system components that are\n either:","parts":[{"id":"sc-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-7(b)[1]"}],"prose":"physically separated from internal organizational networks; and/or"},{"id":"sc-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-7(b)[2]"}],"prose":"logically separated from internal organizational networks; and"}]},{"id":"sc-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(c)"}],"prose":"connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability"}]}]},{"id":"sc-12","class":"SP800-53","title":"Cryptographic Key Establishment and Management","parameters":[{"id":"sc-12_prm_1","label":"organization-defined requirements for key generation, distribution, storage,\n access, and destruction"}],"properties":[{"name":"label","value":"SC-12"},{"name":"sort-id","value":"sc-12"}],"links":[{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"}],"parts":[{"id":"sc-12_smt","name":"statement","prose":"The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}.","parts":[{"id":"sc-12_fr","name":"item","title":"SC-12 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Federally approved and validated cryptography."}]}]},{"id":"sc-12_gdn","name":"guidance","prose":"Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"sc-12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-12_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12[1]"}],"prose":"defines requirements for cryptographic key:","parts":[{"id":"sc-12_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-12[1][a]"}],"prose":"generation;"},{"id":"sc-12_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-12[1][b]"}],"prose":"distribution;"},{"id":"sc-12_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-12[1][c]"}],"prose":"storage;"},{"id":"sc-12_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-12[1][d]"}],"prose":"access;"},{"id":"sc-12_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-12[1][e]"}],"prose":"destruction; and"}]},{"id":"sc-12_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12[2]"}],"prose":"establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management"}]}]},{"id":"sc-13","class":"SP800-53","title":"Cryptographic Protection","parameters":[{"id":"sc-13_prm_1","label":"organization-defined cryptographic uses and type of cryptography required for\n each use","constraints":[{"detail":"FIPS-validated or NSA-approved cryptography"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-13"},{"name":"sort-id","value":"sc-13"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#6a1041fc-054e-4230-946b-2e6f4f3731bb","rel":"reference","text":"http://csrc.nist.gov/cryptval"},{"href":"#9b97ed27-3dd6-4f9a-ade5-1b43e9669794","rel":"reference","text":"http://www.cnss.gov"}],"parts":[{"id":"sc-13_smt","name":"statement","prose":"The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards."},{"id":"sc-13_gdn","name":"guidance","prose":"Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-7","rel":"related","text":"IA-7"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-28","rel":"related","text":"SC-28"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sc-13_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-13[1]"}],"prose":"the organization defines cryptographic uses; and"},{"id":"sc-13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-13[2]"}],"prose":"the organization defines the type of cryptography required for each use; and"},{"id":"sc-13_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-13[3]"}],"prose":"the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic protection"}]}]},{"id":"sc-15","class":"SP800-53","title":"Collaborative Computing Devices","parameters":[{"id":"sc-15_prm_1","label":"organization-defined exceptions where remote activation is to be allowed","constraints":[{"detail":"no exceptions"}]}],"properties":[{"name":"label","value":"SC-15"},{"name":"sort-id","value":"sc-15"}],"parts":[{"id":"sc-15_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-15_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and"},{"id":"sc-15_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides an explicit indication of use to users physically present at the\n devices."},{"id":"sc-15_fr","name":"item","title":"SC-15 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-15_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use."}]}]},{"id":"sc-15_gdn","name":"guidance","prose":"Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.","links":[{"href":"#ac-21","rel":"related","text":"AC-21"}]},{"id":"sc-15_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-15.a_obj","name":"objective","properties":[{"name":"label","value":"SC-15(a)"}],"parts":[{"id":"sc-15.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-15(a)[1]"}],"prose":"the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;"},{"id":"sc-15.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-15(a)[2]"}],"prose":"the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and"}]},{"id":"sc-15.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-15(b)"}],"prose":"the information system provides an explicit indication of use to users physically\n present at the devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices"}]}]},{"id":"sc-20","class":"SP800-53","title":"Secure Name / Address Resolution Service (authoritative Source)","properties":[{"name":"label","value":"SC-20"},{"name":"sort-id","value":"sc-20"}],"links":[{"href":"#28115a56-da6b-4d44-b1df-51dd7f048a3e","rel":"reference","text":"OMB Memorandum 08-23"},{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-20_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and"},{"id":"sc-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace."}]},{"id":"sc-20_gdn","name":"guidance","prose":"This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.","links":[{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-20_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-20.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-20(a)"}],"prose":"provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;"},{"id":"sc-20.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-20(b)"}],"prose":"provides the means to, when operating as part of a distributed, hierarchical\n namespace:","parts":[{"id":"sc-20.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-20(b)[1]"}],"prose":"indicate the security status of child zones; and"},{"id":"sc-20.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-20(b)[2]"}],"prose":"enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing secure name/address resolution\n service"}]}]},{"id":"sc-21","class":"SP800-53","title":"Secure Name / Address Resolution Service (recursive or Caching Resolver)","properties":[{"name":"label","value":"SC-21"},{"name":"sort-id","value":"sc-21"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-21_smt","name":"statement","prose":"The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources."},{"id":"sc-21_gdn","name":"guidance","prose":"Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.","links":[{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-21_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"sc-21_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-21[1]"}],"prose":"requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-21[2]"}],"prose":"requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-21[3]"}],"prose":"performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and"},{"id":"sc-21_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-21[4]"}],"prose":"performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services"}]}]},{"id":"sc-22","class":"SP800-53","title":"Architecture and Provisioning for Name / Address Resolution Service","properties":[{"name":"label","value":"SC-22"},{"name":"sort-id","value":"sc-22"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-22_smt","name":"statement","prose":"The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation."},{"id":"sc-22_gdn","name":"guidance","prose":"Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).","links":[{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"sc-22_obj","name":"objective","prose":"Determine if the information systems that collectively provide name/address\n resolution service for an organization: ","parts":[{"id":"sc-22_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-22[1]"}],"prose":"are fault tolerant; and"},{"id":"sc-22_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-22[2]"}],"prose":"implement internal/external role separation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation"}]}]},{"id":"sc-39","class":"SP800-53","title":"Process Isolation","properties":[{"name":"label","value":"SC-39"},{"name":"sort-id","value":"sc-39"}],"parts":[{"id":"sc-39_smt","name":"statement","prose":"The information system maintains a separate execution domain for each executing\n process."},{"id":"sc-39_gdn","name":"guidance","prose":"Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-39_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system maintains a separate execution domain for each\n executing process."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Information system developers/integrators\\n\\ninformation system security architect"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process"}]}]}]},{"id":"si","class":"family","title":"System and Information Integrity","controls":[{"id":"si-1","class":"SP800-53","title":"System and Information Integrity Policy and Procedures","parameters":[{"id":"si-1_prm_1","label":"organization-defined personnel or roles"},{"id":"si-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"si-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-1"},{"name":"sort-id","value":"si-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"si-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ si-1_prm_1 }}:","parts":[{"id":"si-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"si-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and"}]},{"id":"si-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"si-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and information integrity policy {{ si-1_prm_2 }};\n and"},{"id":"si-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and information integrity procedures {{ si-1_prm_3 }}."}]}]},{"id":"si-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"si-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-1.a_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)"}],"parts":[{"id":"si-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)"}],"parts":[{"id":"si-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(1)[1]"}],"prose":"develops and documents a system and information integrity policy that\n addresses:","parts":[{"id":"si-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"si-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"si-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"si-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"si-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"si-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"si-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"si-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;"},{"id":"si-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-1(a)(1)[3]"}],"prose":"disseminates the system and information integrity policy to\n organization-defined personnel or roles;"}]},{"id":"si-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)"}],"parts":[{"id":"si-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;"},{"id":"si-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"si-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"si-1.b_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)"}],"parts":[{"id":"si-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(1)"}],"parts":[{"id":"si-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity policy;"},{"id":"si-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(1)[2]"}],"prose":"reviews and updates the current system and information integrity policy with\n the organization-defined frequency;"}]},{"id":"si-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(2)"}],"parts":[{"id":"si-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity procedures; and"},{"id":"si-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(2)[2]"}],"prose":"reviews and updates the current system and information integrity procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"si-2","class":"SP800-53","title":"Flaw Remediation","parameters":[{"id":"si-2_prm_1","label":"organization-defined time period","constraints":[{"detail":"within 30 days of release of updates"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-2"},{"name":"sort-id","value":"si-02"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"si-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies, reports, and corrects information system flaws;"},{"id":"si-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;"},{"id":"si-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and"},{"id":"si-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Incorporates flaw remediation into the organizational configuration management\n process."}]},{"id":"si-2_gdn","name":"guidance","prose":"Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"si-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.a_obj","name":"objective","properties":[{"name":"label","value":"SI-2(a)"}],"parts":[{"id":"si-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[1]"}],"prose":"identifies information system flaws;"},{"id":"si-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[2]"}],"prose":"reports information system flaws;"},{"id":"si-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[3]"}],"prose":"corrects information system flaws;"}]},{"id":"si-2.b_obj","name":"objective","properties":[{"name":"label","value":"SI-2(b)"}],"parts":[{"id":"si-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(b)[1]"}],"prose":"tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;"},{"id":"si-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(b)[2]"}],"prose":"tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;"}]},{"id":"si-2.c_obj","name":"objective","properties":[{"name":"label","value":"SI-2(c)"}],"parts":[{"id":"si-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(c)[1]"}],"prose":"defines the time period within which to install security-relevant software\n updates after the release of the updates;"},{"id":"si-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(c)[2]"}],"prose":"defines the time period within which to install security-relevant firmware\n updates after the release of the updates;"},{"id":"si-2.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(c)[3]"}],"prose":"installs software updates within the organization-defined time period of the\n release of the updates;"},{"id":"si-2.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(c)[4]"}],"prose":"installs firmware updates within the organization-defined time period of the\n release of the updates; and"}]},{"id":"si-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(d)"}],"prose":"incorporates flaw remediation into the organizational configuration management\n process."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates"}]}]},{"id":"si-3","class":"SP800-53","title":"Malicious Code Protection","parameters":[{"id":"si-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"si-3_prm_2","constraints":[{"detail":"to include endpoints"}]},{"id":"si-3_prm_3","constraints":[{"detail":"to include alerting administrator or defined security personnel"}]},{"id":"si-3_prm_4","depends-on":"si-3_prm_3","label":"organization-defined action"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-3"},{"name":"sort-id","value":"si-03"}],"links":[{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"}],"parts":[{"id":"si-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;"},{"id":"si-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;"},{"id":"si-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Configures malicious code protection mechanisms to:","parts":[{"id":"si-3_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and"},{"id":"si-3_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"\n {{ si-3_prm_3 }} in response to malicious code detection;\n and"}]},{"id":"si-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system."}]},{"id":"si-3_gdn","name":"guidance","prose":"Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-13","rel":"related","text":"SA-13"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-44","rel":"related","text":"SC-44"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(a)"}],"prose":"employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:","parts":[{"id":"si-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-3(a)[1]"}],"prose":"entry points;"},{"id":"si-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-3(a)[2]"}],"prose":"exit points;"}]},{"id":"si-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(b)"}],"prose":"updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);"},{"id":"si-3.c_obj","name":"objective","properties":[{"name":"label","value":"SI-3(c)"}],"parts":[{"id":"si-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-3(c)[1]"}],"prose":"defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;"},{"id":"si-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-3(c)[2]"}],"prose":"defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;"},{"id":"si-3.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(c)[3]"}],"parts":[{"id":"si-3.c.1_obj.3","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)"}],"prose":"configures malicious code protection mechanisms to:","parts":[{"id":"si-3.c.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[a]"}],"prose":"perform periodic scans of the information system with the\n organization-defined frequency;"},{"id":"si-3.c.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[b]"}],"prose":"perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;"}]},{"id":"si-3.c.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(c)[3](2)"}],"prose":"configures malicious code protection mechanisms to do one or more of the\n following:","parts":[{"id":"si-3.c.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[a]"}],"prose":"block malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[b]"}],"prose":"quarantine malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[c]"}],"prose":"send alert to administrator in response to malicious code detection;\n and/or"},{"id":"si-3.c.2_obj.3.d","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[d]"}],"prose":"initiate organization-defined action in response to malicious code\n detection;"}]}]}]},{"id":"si-3.d_obj","name":"objective","properties":[{"name":"label","value":"SI-3(d)"}],"parts":[{"id":"si-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(d)[1]"}],"prose":"addresses the receipt of false positives during malicious code detection and\n eradication; and"},{"id":"si-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(d)[2]"}],"prose":"addresses the resulting potential impact on the availability of the information\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions"}]}]},{"id":"si-4","class":"SP800-53","title":"Information System Monitoring","parameters":[{"id":"si-4_prm_1","label":"organization-defined monitoring objectives"},{"id":"si-4_prm_2","label":"organization-defined techniques and methods"},{"id":"si-4_prm_3","label":"organization-defined information system monitoring information"},{"id":"si-4_prm_4","label":"organization-defined personnel or roles"},{"id":"si-4_prm_5"},{"id":"si-4_prm_6","depends-on":"si-4_prm_5","label":"organization-defined frequency"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4"},{"name":"sort-id","value":"si-04"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"si-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors the information system to detect:","parts":[{"id":"si-4_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and"},{"id":"si-4_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Unauthorized local, network, and remote connections;"}]},{"id":"si-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Identifies unauthorized use of the information system through {{ si-4_prm_2 }};"},{"id":"si-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Deploys monitoring devices:","parts":[{"id":"si-4_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Strategically within the information system to collect organization-determined\n essential information; and"},{"id":"si-4_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;"},{"id":"si-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and"},{"id":"si-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}."},{"id":"si-4_fr","name":"item","title":"SI-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"si-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See US-CERT Incident Response Reporting Guidelines."}]}]},{"id":"si-4_gdn","name":"guidance","prose":"Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-35","rel":"related","text":"SC-35"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.a_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)"}],"parts":[{"id":"si-4.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)"}],"parts":[{"id":"si-4.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(a)(1)[1]"}],"prose":"defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;"},{"id":"si-4.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(a)(1)[2]"}],"prose":"monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:","parts":[{"id":"si-4.a.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][a]"}],"prose":"attacks;"},{"id":"si-4.a.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][b]"}],"prose":"indicators of potential attacks;"}]}]},{"id":"si-4.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(a)(2)"}],"prose":"monitors the information system to detect unauthorized:","parts":[{"id":"si-4.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[1]"}],"prose":"local connections;"},{"id":"si-4.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[2]"}],"prose":"network connections;"},{"id":"si-4.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[3]"}],"prose":"remote connections;"}]}]},{"id":"si-4.b_obj","name":"objective","properties":[{"name":"label","value":"SI-4(b)"}],"parts":[{"id":"si-4.b.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(b)(1)"}],"prose":"defines techniques and methods to identify unauthorized use of the information\n system;"},{"id":"si-4.b.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(b)(2)"}],"prose":"identifies unauthorized use of the information system through\n organization-defined techniques and methods;"}]},{"id":"si-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(c)"}],"prose":"deploys monitoring devices:","parts":[{"id":"si-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(c)[1]"}],"prose":"strategically within the information system to collect organization-determined\n essential information;"},{"id":"si-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(c)[2]"}],"prose":"at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(d)"}],"prose":"protects information obtained from intrusion-monitoring tools from\n unauthorized:","parts":[{"id":"si-4.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(d)[1]"}],"prose":"access;"},{"id":"si-4.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(d)[2]"}],"prose":"modification;"},{"id":"si-4.d_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(d)[3]"}],"prose":"deletion;"}]},{"id":"si-4.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(e)"}],"prose":"heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-4(f)"}],"prose":"obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;"},{"id":"si-4.g_obj","name":"objective","properties":[{"name":"label","value":"SI-4(g)"}],"parts":[{"id":"si-4.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[1]"}],"prose":"defines personnel or roles to whom information system monitoring information is\n to be provided;"},{"id":"si-4.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[2]"}],"prose":"defines information system monitoring information to be provided to\n organization-defined personnel or roles;"},{"id":"si-4.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[3]"}],"prose":"defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;"},{"id":"si-4.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(g)[4]"}],"prose":"provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:","parts":[{"id":"si-4.g_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][a]"}],"prose":"as needed; and/or"},{"id":"si-4.g_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][b]"}],"prose":"with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability"}]}]},{"id":"si-5","class":"SP800-53","title":"Security Alerts, Advisories, and Directives","parameters":[{"id":"si-5_prm_1","label":"organization-defined external organizations","constraints":[{"detail":"to include US-CERT"}]},{"id":"si-5_prm_2","constraints":[{"detail":"to include system security personnel and administrators with configuration/patch-management responsibilities"}]},{"id":"si-5_prm_3","depends-on":"si-5_prm_2","label":"organization-defined personnel or roles"},{"id":"si-5_prm_4","depends-on":"si-5_prm_2","label":"organization-defined elements within the organization"},{"id":"si-5_prm_5","depends-on":"si-5_prm_2","label":"organization-defined external organizations"}],"properties":[{"name":"label","value":"SI-5"},{"name":"sort-id","value":"si-05"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"}],"parts":[{"id":"si-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;"},{"id":"si-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and"},{"id":"si-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance."}]},{"id":"si-5_gdn","name":"guidance","prose":"The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.","links":[{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"si-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-5.a_obj","name":"objective","properties":[{"name":"label","value":"SI-5(a)"}],"parts":[{"id":"si-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(a)[1]"}],"prose":"defines external organizations from whom information system security alerts,\n advisories and directives are to be received;"},{"id":"si-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(a)[2]"}],"prose":"receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;"}]},{"id":"si-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(b)"}],"prose":"generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5.c_obj","name":"objective","properties":[{"name":"label","value":"SI-5(c)"}],"parts":[{"id":"si-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[1]"}],"prose":"defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;"},{"id":"si-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[2]"}],"prose":"defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;"},{"id":"si-5.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[3]"}],"prose":"defines external organizations to whom security alerts, advisories, and\n directives are to be provided;"},{"id":"si-5.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(c)[4]"}],"prose":"disseminates security alerts, advisories, and directives to one or more of the\n following:","parts":[{"id":"si-5.c_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][a]"}],"prose":"organization-defined personnel or roles;"},{"id":"si-5.c_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][b]"}],"prose":"organization-defined elements within the organization; and/or"},{"id":"si-5.c_obj.4.c","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][c]"}],"prose":"organization-defined external organizations; and"}]}]},{"id":"si-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(d)"}],"parts":[{"id":"si-5.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-5(d)[1]"}],"prose":"implements security directives in accordance with established time frames;\n or"},{"id":"si-5.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-5(d)[2]"}],"prose":"notifies the issuing organization of the degree of noncompliance."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives"}]}]},{"id":"si-12","class":"SP800-53","title":"Information Handling and Retention","properties":[{"name":"label","value":"SI-12"},{"name":"sort-id","value":"si-12"}],"parts":[{"id":"si-12_smt","name":"statement","prose":"The organization handles and retains information within the information system and\n information output from the system in accordance with applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and operational\n requirements."},{"id":"si-12_gdn","name":"guidance","prose":"Information handling and retention requirements cover the full life cycle of\n information, in some cases extending beyond the disposal of information systems. The\n National Archives and Records Administration provides guidance on records\n retention.","links":[{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-11","rel":"related","text":"AU-11"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"}]},{"id":"si-12_obj","name":"objective","prose":"Determine if the organization, in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and operational\n requirements:","parts":[{"id":"si-12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-12[1]"}],"prose":"handles information within the information system;"},{"id":"si-12_obj.2","name":"objective","properties":[{"name":"label","value":"SI-12[2]"}],"prose":"handles output from the information system;"},{"id":"si-12_obj.3","name":"objective","properties":[{"name":"label","value":"SI-12[3]"}],"prose":"retains information within the information system; and"},{"id":"si-12_obj.4","name":"objective","properties":[{"name":"label","value":"SI-12[4]"}],"prose":"retains output from the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nfederal laws, Executive Orders, directives, policies, regulations, standards, and\n operational requirements applicable to information handling and retention\\n\\nmedia protection policy and procedures\\n\\nprocedures addressing information system output handling and retention\\n\\ninformation retention records, other relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for information handling and\n retention\\n\\norganizational personnel with information security responsibilities/network\n administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information handling and retention\\n\\nautomated mechanisms supporting and/or implementing information handling and\n retention"}]}]},{"id":"si-16","class":"SP800-53","title":"Memory Protection","parameters":[{"id":"si-16_prm_1","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SI-16"},{"name":"sort-id","value":"si-16"}],"parts":[{"id":"si-16_smt","name":"statement","prose":"The information system implements {{ si-16_prm_1 }} to protect its\n memory from unauthorized code execution."},{"id":"si-16_gdn","name":"guidance","prose":"Some adversaries launch attacks with the intent of executing code in non-executable\n regions of memory or in memory locations that are prohibited. Security safeguards\n employed to protect memory include, for example, data execution prevention and\n address space layout randomization. Data execution prevention safeguards can either\n be hardware-enforced or software-enforced with hardware providing the greater\n strength of mechanism.","links":[{"href":"#ac-25","rel":"related","text":"AC-25"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"si-16_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-16_obj.1","name":"objective","properties":[{"name":"label","value":"SI-16[1]"}],"prose":"the organization defines security safeguards to be implemented to protect\n information system memory from unauthorized code execution; and"},{"id":"si-16_obj.2","name":"objective","properties":[{"name":"label","value":"SI-16[2]"}],"prose":"the information system implements organization-defined security safeguards to\n protect its memory from unauthorized code execution."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing memory protection for the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security safeguards protecting information system memory from unauthorized\n code execution\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for memory protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing safeguards to protect\n information system memory from unauthorized code execution"}]}]}]}],"back-matter":{"resources":[{"uuid":"0c97e60b-325a-4efa-ba2b-90f20ccd5abc","title":"5 C.F.R. 731.106","citation":{"text":"Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106,\n Designation of Public Trust Positions and Investigative Requirements (5 C.F.R.\n 731.106)."},"rlinks":[{"href":"http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html"}]},{"uuid":"bb61234b-46c3-4211-8c2b-9869222a720d","title":"C.F.R. 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- ], - "links": [ - { - "href": "FedRAMP_LOW-baseline_profile.xml", - "rel": "resolution-source", - "text": "FedRAMP Low Baseline" - } - ], - "roles": [ - { - "id": "parpared-by", - "title": "Document creator" - }, - { - "id": "fedramp-pmo", - "title": "The FedRAMP Program Management Office (PMO)", - "short-name": "CSP" - }, - { - "id": "fedramp-jab", - "title": "The FedRAMP Joint Authorization Board (JAB)", - "short-name": "CSP" - } - ], - "parties": [ - { - "uuid": "8cc0b8e5-9650-4d5f-9796-316f05fa9a2d", - "type": "organization", - "party-name": "Federal Risk and Authorization Management Program: Program Management Office", - "short-name": "FedRAMP PMO", - "links": [ - { - "href": "https://fedramp.gov", - "rel": "homepage", - "text": "" - } - ], - "addresses": [ - { - "type": "work", - "postal-address": [ - "1800 F St. NW", - "" - ], - "city": "Washington", - "state": "DC", - "postal-code": "", - "country": "US" - } - ], - "email-addresses": [ - "info@fedramp.gov" - ] - }, - { - "uuid": "ca9ba80e-1342-4bfd-b32a-abac468c24b4", - "type": "organization", - "party-name": "Federal Risk and Authorization Management Program: Joint Authorization Board", - "short-name": "FedRAMP JAB" - } - ], - "responsible-parties": { - "prepared-by": { - "party-uuids": [ - "4aa7b203-318b-4cde-96cf-feaeffc3a4b7" - ] - }, - "fedramp-pmo": { - "party-uuids": [ - "4aa7b203-318b-4cde-96cf-feaeffc3a4b7" - ] - }, - "fedramp-jab": { - "party-uuids": [ - "ca9ba80e-1342-4bfd-b32a-abac468c24b4" - ] - } - } - }, - "groups": [ - { - "id": "ac", - "class": "family", - "title": "Access Control", - "controls": [ - { - "id": "ac-1", - "class": "SP800-53", - "title": "Access Control Policy and Procedures", - "parameters": [ - { - "id": "ac-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ac-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-1" - }, - { - "name": "sort-id", - "value": "ac-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ac-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ac-1_prm_1 }}:", - "parts": [ - { - "id": "ac-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An access control policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ac-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the access control policy and\n associated access controls; and" - } - ] - }, - { - "id": "ac-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ac-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Access control policy {{ ac-1_prm_2 }}; and" - }, - { - "id": "ac-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Access control procedures {{ ac-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ac-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ac-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)" - } - ], - "parts": [ - { - "id": "ac-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)" - } - ], - "parts": [ - { - "id": "ac-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(1)[1]" - } - ], - "prose": "develops and documents an access control policy that addresses:", - "parts": [ - { - "id": "ac-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ac-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ac-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ac-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ac-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ac-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ac-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ac-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the access control policy are to be\n disseminated;" - }, - { - "id": "ac-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-1(a)(1)[3]" - } - ], - "prose": "disseminates the access control policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ac-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)" - } - ], - "parts": [ - { - "id": "ac-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;" - }, - { - "id": "ac-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ac-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ac-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(1)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n policy;" - }, - { - "id": "ac-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current access control policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ac-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(2)" - } - ], - "parts": [ - { - "id": "ac-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n procedures; and" - }, - { - "id": "ac-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current access control procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "parameters": [ - { - "id": "ac-2_prm_1", - "label": "organization-defined information system account types" - }, - { - "id": "ac-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_3", - "label": "organization-defined procedures or conditions" - }, - { - "id": "ac-2_prm_4", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2" - }, - { - "name": "sort-id", - "value": "ac-02" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assigns account managers for information system accounts;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes conditions for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specifies authorized users of the information system, group and role membership,\n and access authorizations (i.e., privileges) and other attributes (as required)\n for each account;" - }, - { - "id": "ac-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requires approvals by {{ ac-2_prm_2 }} for requests to create\n information system accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitors the use of information system accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notifies account managers:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "When accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "When individual information system usage or need-to-know changes;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorizes access to the information system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "properties": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-10", - "rel": "related", - "text": "AC-10" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(a)" - } - ], - "parts": [ - { - "id": "ac-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(a)[1]" - } - ], - "prose": "defines information system account types to be identified and selected to\n support organizational missions/business functions;" - }, - { - "id": "ac-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-2(a)[2]" - } - ], - "prose": "identifies and selects organization-defined information system account types to\n support organizational missions/business functions;" - } - ] - }, - { - "id": "ac-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-2(b)" - } - ], - "prose": "assigns account managers for information system accounts;" - }, - { - "id": "ac-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(c)" - } - ], - "prose": "establishes conditions for group and role membership;" - }, - { - "id": "ac-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(d)" - } - ], - "prose": "specifies for each account (as required):", - "parts": [ - { - "id": "ac-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[1]" - } - ], - "prose": "authorized users of the information system;" - }, - { - "id": "ac-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[2]" - } - ], - "prose": "group and role membership;" - }, - { - "id": "ac-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[3]" - } - ], - "prose": "access authorizations (i.e., privileges);" - }, - { - "id": "ac-2.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[4]" - } - ], - "prose": "other attributes;" - } - ] - }, - { - "id": "ac-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(e)" - } - ], - "parts": [ - { - "id": "ac-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(e)[1]" - } - ], - "prose": "defines personnel or roles required to approve requests to create information\n system accounts;" - }, - { - "id": "ac-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(e)[2]" - } - ], - "prose": "requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)" - } - ], - "parts": [ - { - "id": "ac-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(f)[1]" - } - ], - "prose": "defines procedures or conditions to:", - "parts": [ - { - "id": "ac-2.f_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][a]" - } - ], - "prose": "create information system accounts;" - }, - { - "id": "ac-2.f_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][b]" - } - ], - "prose": "enable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][c]" - } - ], - "prose": "modify information system accounts;" - }, - { - "id": "ac-2.f_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][d]" - } - ], - "prose": "disable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][e]" - } - ], - "prose": "remove information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(f)[2]" - } - ], - "prose": "in accordance with organization-defined procedures or conditions:", - "parts": [ - { - "id": "ac-2.f_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][a]" - } - ], - "prose": "creates information system accounts;" - }, - { - "id": "ac-2.f_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][b]" - } - ], - "prose": "enables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][c]" - } - ], - "prose": "modifies information system accounts;" - }, - { - "id": "ac-2.f_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][d]" - } - ], - "prose": "disables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][e]" - } - ], - "prose": "removes information system accounts;" - } - ] - } - ] - }, - { - "id": "ac-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(g)" - } - ], - "prose": "monitors the use of information system accounts;" - }, - { - "id": "ac-2.h_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(h)" - } - ], - "prose": "notifies account managers:", - "parts": [ - { - "id": "ac-2.h.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(1)" - } - ], - "prose": "when accounts are no longer required;" - }, - { - "id": "ac-2.h.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(2)" - } - ], - "prose": "when users are terminated or transferred;" - }, - { - "id": "ac-2.h.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(3)" - } - ], - "prose": "when individual information system usage or need to know changes;" - } - ] - }, - { - "id": "ac-2.i_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(i)" - } - ], - "prose": "authorizes access to the information system based on;", - "parts": [ - { - "id": "ac-2.i.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(1)" - } - ], - "prose": "a valid access authorization;" - }, - { - "id": "ac-2.i.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(2)" - } - ], - "prose": "intended system usage;" - }, - { - "id": "ac-2.i.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(3)" - } - ], - "prose": "other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2.j_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(j)" - } - ], - "parts": [ - { - "id": "ac-2.j_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(j)[1]" - } - ], - "prose": "defines the frequency to review accounts for compliance with account management\n requirements;" - }, - { - "id": "ac-2.j_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(j)[2]" - } - ], - "prose": "reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and" - } - ] - }, - { - "id": "ac-2.k_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(k)" - } - ], - "prose": "establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management" - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "properties": [ - { - "name": "label", - "value": "AC-3" - }, - { - "name": "sort-id", - "value": "ac-03" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - }, - { - "href": "#ac-22", - "rel": "related", - "text": "AC-22" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "ac-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy" - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "parameters": [ - { - "id": "ac-7_prm_1", - "label": "organization-defined number", - "constraints": [ - { - "detail": "not more than three (3)" - } - ] - }, - { - "id": "ac-7_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - { - "id": "ac-7_prm_3" - }, - { - "id": "ac-7_prm_4", - "depends-on": "ac-7_prm_3", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "thirty (30) minutes" - } - ] - }, - { - "id": "ac-7_prm_5", - "depends-on": "ac-7_prm_3", - "label": "organization-defined delay algorithm" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-7" - }, - { - "name": "sort-id", - "value": "ac-07" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - } - ] - }, - { - "id": "ac-7_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)" - } - ], - "parts": [ - { - "id": "ac-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(a)[1]" - } - ], - "prose": "the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;" - }, - { - "id": "ac-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(a)[2]" - } - ], - "prose": "the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;" - }, - { - "id": "ac-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(a)[3]" - } - ], - "prose": "the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;" - } - ] - }, - { - "id": "ac-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)" - } - ], - "parts": [ - { - "id": "ac-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(b)[1]" - } - ], - "prose": "the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;" - }, - { - "id": "ac-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(b)[2]" - } - ], - "prose": "the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:", - "parts": [ - { - "id": "ac-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][a]" - } - ], - "prose": "locks the account/node for the organization-defined time period;" - }, - { - "id": "ac-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][b]" - } - ], - "prose": "locks the account/node until released by an administrator; or" - }, - { - "id": "ac-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][c]" - } - ], - "prose": "delays next logon prompt according to the organization-defined delay\n algorithm." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon\n attempts" - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "parameters": [ - { - "id": "ac-8_prm_1", - "label": "organization-defined system use notification message or banner", - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - }, - { - "id": "ac-8_prm_2", - "label": "organization-defined conditions", - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-8" - }, - { - "name": "sort-id", - "value": "ac-08" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Information system usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Use of the information system indicates consent to monitoring and\n recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Includes a description of the authorized uses of the system." - } - ] - }, - { - "id": "ac-8_fr", - "name": "item", - "title": "AC-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO." - }, - { - "id": "ac-8_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided." - }, - { - "id": "ac-8_fr_smt.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content." - }, - { - "id": "ac-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)" - } - ], - "parts": [ - { - "id": "ac-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(a)[1]" - } - ], - "prose": "the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;" - }, - { - "id": "ac-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(a)[2]" - } - ], - "prose": "the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:", - "parts": [ - { - "id": "ac-8.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](1)" - } - ], - "prose": "users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](2)" - } - ], - "prose": "information system usage may be monitored, recorded, and subject to\n audit;" - }, - { - "id": "ac-8.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](3)" - } - ], - "prose": "unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;" - }, - { - "id": "ac-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](4)" - } - ], - "prose": "use of the information system indicates consent to monitoring and\n recording;" - } - ] - } - ] - }, - { - "id": "ac-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(b)" - } - ], - "prose": "the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;" - }, - { - "id": "ac-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)" - } - ], - "prose": "for publicly accessible systems:", - "parts": [ - { - "id": "ac-8.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(1)" - } - ], - "parts": [ - { - "id": "ac-8.c.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(c)(1)[1]" - } - ], - "prose": "the organization defines conditions for system use to be displayed by the\n information system before granting further access;" - }, - { - "id": "ac-8.c.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(c)(1)[2]" - } - ], - "prose": "the information system displays organization-defined conditions before\n granting further access;" - } - ] - }, - { - "id": "ac-8.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(c)(2)" - } - ], - "prose": "the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and" - }, - { - "id": "ac-8.c.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(c)(3)" - } - ], - "prose": "the information system includes a description of the authorized uses of the\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system use notification" - } - ] - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "parameters": [ - { - "id": "ac-14_prm_1", - "label": "organization-defined user actions" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "ac-14" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - } - ] - }, - { - "id": "ac-14_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(a)" - } - ], - "parts": [ - { - "id": "ac-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14(a)[1]" - } - ], - "prose": "defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;" - }, - { - "id": "ac-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-14(a)[2]" - } - ], - "prose": "identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - } - ] - }, - { - "id": "ac-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14(b)" - } - ], - "prose": "documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "ac-17" - } - ], - "links": [ - { - "href": "#5309d4d0-46f8-4213-a749-e7584164e5e8", - "rel": "reference", - "text": "NIST Special Publication 800-46" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#349fe082-502d-464a-aa0c-1443c6a5cf40", - "rel": "reference", - "text": "NIST Special Publication 800-113" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#d1a4e2a9-e512-4132-8795-5357aba29254", - "rel": "reference", - "text": "NIST Special Publication 800-121" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#pe-17", - "rel": "related", - "text": "PE-17" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-17_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)" - } - ], - "parts": [ - { - "id": "ac-17.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[1]" - } - ], - "prose": "identifies the types of remote access allowed to the information system;" - }, - { - "id": "ac-17.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[2]" - } - ], - "prose": "establishes for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][c]" - } - ], - "prose": "implementation guidance;" - } - ] - }, - { - "id": "ac-17.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[3]" - } - ], - "prose": "documents for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][c]" - } - ], - "prose": "implementation guidance; and" - } - ] - } - ] - }, - { - "id": "ac-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(b)" - } - ], - "prose": "authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Remote access management capability for the information system" - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "ac-18" - } - ], - "links": [ - { - "href": "#238ed479-eccb-49f6-82ec-ab74a7a428cf", - "rel": "reference", - "text": "NIST Special Publication 800-48" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#6f336ecd-f2a0-4c84-9699-0491d81b6e0d", - "rel": "reference", - "text": "NIST Special Publication 800-97" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-18.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(a)" - } - ], - "prose": "establishes for wireless access:", - "parts": [ - { - "id": "ac-18.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-18.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-18.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-18.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(b)" - } - ], - "prose": "authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access management capability for the information system" - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "ac-19" - } - ], - "links": [ - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589", - "rel": "reference", - "text": "NIST Special Publication 800-124" - }, - { - "href": "#6513e480-fada-4876-abba-1397084dfb26", - "rel": "reference", - "text": "NIST Special Publication 800-164" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-9", - "rel": "related", - "text": "CA-9" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-43", - "rel": "related", - "text": "SC-43" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-19.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(a)" - } - ], - "prose": "establishes for organization-controlled mobile devices:", - "parts": [ - { - "id": "ac-19.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-19.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-19.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-19.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(b)" - } - ], - "prose": "authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control capability authorizing mobile device connections to organizational\n information systems" - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Information Systems", - "properties": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "ac-20" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "prose": "The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Access the information system from external information systems; and" - }, - { - "id": "ac-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ac-20_obj", - "name": "objective", - "prose": "Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ", - "parts": [ - { - "id": "ac-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(a)" - } - ], - "prose": "access the information system from the external information systems; and" - }, - { - "id": "ac-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(b)" - } - ], - "prose": "process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing terms and conditions on use of external\n information systems" - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "parameters": [ - { - "id": "ac-22_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "ac-22" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-13", - "rel": "related", - "text": "AU-13" - } - ] - }, - { - "id": "ac-22_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-22.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22(a)" - } - ], - "prose": "designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(b)" - } - ], - "prose": "trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(c)" - } - ], - "prose": "reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;" - }, - { - "id": "ac-22.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)" - } - ], - "parts": [ - { - "id": "ac-22.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22(d)[1]" - } - ], - "prose": "defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;" - }, - { - "id": "ac-22.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(d)[2]" - } - ], - "prose": "reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and" - }, - { - "id": "ac-22.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(d)[3]" - } - ], - "prose": "removes nonpublic information from the publicly accessible information system,\n if discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of publicly accessible content" - } - ] - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Security Awareness and Training Policy and Procedures", - "parameters": [ - { - "id": "at-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "at-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-1" - }, - { - "name": "sort-id", - "value": "at-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "at-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security awareness and training policy {{ at-1_prm_2 }}; and" - }, - { - "id": "at-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security awareness and training procedures {{ at-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "at-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(1)[1]" - } - ], - "prose": "develops and documents an security awareness and training policy that\n addresses:", - "parts": [ - { - "id": "at-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "at-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "at-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "at-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "at-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "at-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "at-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "at-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;" - }, - { - "id": "at-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-1(a)(1)[3]" - } - ], - "prose": "disseminates the security awareness and training policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "at-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)" - } - ], - "parts": [ - { - "id": "at-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;" - }, - { - "id": "at-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "at-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "at-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(1)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training policy;" - }, - { - "id": "at-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "at-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(2)" - } - ], - "parts": [ - { - "id": "at-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training procedures; and" - }, - { - "id": "at-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Security Awareness Training", - "parameters": [ - { - "id": "at-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-2" - }, - { - "name": "sort-id", - "value": "at-02" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "prose": "The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "As part of initial training for new users;" - }, - { - "id": "at-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-2_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "at-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-2(a)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;" - }, - { - "id": "at-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-2(b)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and" - }, - { - "id": "at-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(c)" - } - ], - "parts": [ - { - "id": "at-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and" - }, - { - "id": "at-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-2(c)[2]" - } - ], - "prose": "provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing security awareness training" - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Security Training", - "parameters": [ - { - "id": "at-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-3" - }, - { - "name": "sort-id", - "value": "at-03" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "prose": "The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Before authorizing access to the information system or performing assigned\n duties;" - }, - { - "id": "at-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-3_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-16", - "rel": "related", - "text": "SA-16" - } - ] - }, - { - "id": "at-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(a)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;" - }, - { - "id": "at-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(b)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and" - }, - { - "id": "at-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(c)" - } - ], - "parts": [ - { - "id": "at-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-3(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and" - }, - { - "id": "at-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-3(c)[2]" - } - ], - "prose": "provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing role-based security training" - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Security Training Records", - "parameters": [ - { - "id": "at-4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "At least one year" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-4" - }, - { - "name": "sort-id", - "value": "at-04" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains individual training records for {{ at-4_prm_1 }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-14", - "rel": "related", - "text": "PM-14" - } - ] - }, - { - "id": "at-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)" - } - ], - "parts": [ - { - "id": "at-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-4(a)[1]" - } - ], - "prose": "documents individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - }, - { - "id": "at-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-4(a)[2]" - } - ], - "prose": "monitors individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - } - ] - }, - { - "id": "at-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(b)" - } - ], - "parts": [ - { - "id": "at-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-4(b)[1]" - } - ], - "prose": "defines a time period to retain individual training records; and" - }, - { - "id": "at-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-4(b)[2]" - } - ], - "prose": "retains individual training records for the organization-defined time\n period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security training record retention\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security training records" - } - ] - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Audit and Accountability Policy and Procedures", - "parameters": [ - { - "id": "au-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "au-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-1" - }, - { - "name": "sort-id", - "value": "au-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "au-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Audit and accountability policy {{ au-1_prm_2 }}; and" - }, - { - "id": "au-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Audit and accountability procedures {{ au-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "au-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(1)[1]" - } - ], - "prose": "develops and documents an audit and accountability policy that\n addresses:", - "parts": [ - { - "id": "au-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "au-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "au-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "au-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "au-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "au-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "au-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "au-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;" - }, - { - "id": "au-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-1(a)(1)[3]" - } - ], - "prose": "disseminates the audit and accountability policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "au-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)" - } - ], - "parts": [ - { - "id": "au-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;" - }, - { - "id": "au-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "au-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "au-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(1)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability policy;" - }, - { - "id": "au-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(2)" - } - ], - "parts": [ - { - "id": "au-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability procedures; and" - }, - { - "id": "au-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Audit Events", - "parameters": [ - { - "id": "au-2_prm_1", - "label": "organization-defined auditable events", - "constraints": [ - { - "detail": "Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes" - } - ] - }, - { - "id": "au-2_prm_2", - "label": "organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event", - "constraints": [ - { - "detail": "organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-2" - }, - { - "name": "sort-id", - "value": "au-02" - } - ], - "links": [ - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and" - }, - { - "id": "au-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}." - }, - { - "id": "au-2_fr", - "name": "item", - "title": "AU-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(a)" - } - ], - "parts": [ - { - "id": "au-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(a)[1]" - } - ], - "prose": "defines the auditable events that the information system must be capable of\n auditing;" - }, - { - "id": "au-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-2(a)[2]" - } - ], - "prose": "determines that the information system is capable of auditing\n organization-defined auditable events;" - } - ] - }, - { - "id": "au-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(b)" - } - ], - "prose": "coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(c)" - } - ], - "prose": "provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;" - }, - { - "id": "au-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)" - } - ], - "parts": [ - { - "id": "au-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(d)[1]" - } - ], - "prose": "defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;" - }, - { - "id": "au-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(d)[2]" - } - ], - "prose": "determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and" - }, - { - "id": "au-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(d)[3]" - } - ], - "prose": "determines the frequency of (or situation requiring) auditing for each\n identified event." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing" - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "properties": [ - { - "name": "label", - "value": "AU-3" - }, - { - "name": "sort-id", - "value": "au-03" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event." - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-8", - "rel": "related", - "text": "AU-8" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "au-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system generates audit records containing information\n that establishes: ", - "parts": [ - { - "id": "au-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[1]" - } - ], - "prose": "what type of event occurred;" - }, - { - "id": "au-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[2]" - } - ], - "prose": "when the event occurred;" - }, - { - "id": "au-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[3]" - } - ], - "prose": "where the event occurred;" - }, - { - "id": "au-3_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[4]" - } - ], - "prose": "the source of the event;" - }, - { - "id": "au-3_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[5]" - } - ], - "prose": "the outcome of the event; and" - }, - { - "id": "au-3_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[6]" - } - ], - "prose": "the identity of any individuals or subjects associated with the event." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing of auditable\n events" - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Storage Capacity", - "parameters": [ - { - "id": "au-4_prm_1", - "label": "organization-defined audit record storage requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-4" - }, - { - "name": "sort-id", - "value": "au-04" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-4[1]" - } - ], - "prose": "defines audit record storage requirements; and" - }, - { - "id": "au-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-4[2]" - } - ], - "prose": "allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit record storage capacity and related configuration settings" - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Processing Failures", - "parameters": [ - { - "id": "au-5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-5_prm_2", - "label": "organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)", - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-5" - }, - { - "name": "sort-id", - "value": "au-05" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Takes the following additional actions: {{ au-5_prm_2 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "au-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(a)" - } - ], - "parts": [ - { - "id": "au-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(a)[1]" - } - ], - "prose": "the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;" - }, - { - "id": "au-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(a)[2]" - } - ], - "prose": "the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;" - } - ] - }, - { - "id": "au-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(b)" - } - ], - "parts": [ - { - "id": "au-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(b)[1]" - } - ], - "prose": "the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and" - }, - { - "id": "au-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(b)[2]" - } - ], - "prose": "the information system takes the additional organization-defined actions in the\n event of an audit processing failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system response to audit processing\n failures" - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Review, Analysis, and Reporting", - "parameters": [ - { - "id": "au-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "au-6_prm_2", - "label": "organization-defined inappropriate or unusual activity" - }, - { - "id": "au-6_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-6" - }, - { - "name": "sort-id", - "value": "au-06" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and" - }, - { - "id": "au-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports findings to {{ au-6_prm_3 }}." - }, - { - "id": "au-6_fr", - "name": "item", - "title": "AU-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented." - } - ] - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-10", - "rel": "related", - "text": "CM-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#pe-14", - "rel": "related", - "text": "PE-14" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-18", - "rel": "related", - "text": "SC-18" - }, - { - "href": "#sc-19", - "rel": "related", - "text": "SC-19" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "au-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)" - } - ], - "parts": [ - { - "id": "au-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(a)[1]" - } - ], - "prose": "defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;" - }, - { - "id": "au-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(a)[2]" - } - ], - "prose": "defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;" - }, - { - "id": "au-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(a)[3]" - } - ], - "prose": "reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(b)" - } - ], - "parts": [ - { - "id": "au-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(b)[1]" - } - ], - "prose": "defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and" - }, - { - "id": "au-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(b)[2]" - } - ], - "prose": "reports findings to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "parameters": [ - { - "id": "au-8_prm_1", - "label": "organization-defined granularity of time measurement" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-8" - }, - { - "name": "sort-id", - "value": "au-08" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.", - "links": [ - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(a)" - } - ], - "prose": "the information system uses internal system clocks to generate time stamps for\n audit records;" - }, - { - "id": "au-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)" - } - ], - "parts": [ - { - "id": "au-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(b)[1]" - } - ], - "prose": "the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);" - }, - { - "id": "au-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(b)[2]" - } - ], - "prose": "the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and" - }, - { - "id": "au-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(b)[3]" - } - ], - "prose": "the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing time stamp generation" - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "properties": [ - { - "name": "label", - "value": "AU-9" - }, - { - "name": "sort-id", - "value": "au-09" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "prose": "The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion." - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - } - ] - }, - { - "id": "au-9_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-9_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1]" - } - ], - "prose": "the information system protects audit information from unauthorized:", - "parts": [ - { - "id": "au-9_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][b]" - } - ], - "prose": "modification;" - }, - { - "id": "au-9_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][c]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "au-9_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2]" - } - ], - "prose": "the information system protects audit tools from unauthorized:", - "parts": [ - { - "id": "au-9_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][b]" - } - ], - "prose": "modification; and" - }, - { - "id": "au-9_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][c]" - } - ], - "prose": "deletion." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit information protection" - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "parameters": [ - { - "id": "au-11_prm_1", - "label": "organization-defined time period consistent with records retention policy", - "constraints": [ - { - "detail": "at least ninety days" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "au-11" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements.", - "parts": [ - { - "id": "au-11_fr", - "name": "item", - "title": "AU-11 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-11_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements." - } - ] - } - ] - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "au-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[1]" - } - ], - "prose": "defines a time period to retain audit records that is consistent with records\n retention policy;" - }, - { - "id": "au-11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11[2]" - } - ], - "prose": "retains audit records for the organization-defined time period consistent with\n records retention policy to:", - "parts": [ - { - "id": "au-11_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][a]" - } - ], - "prose": "provide support for after-the-fact investigations of security incidents;\n and" - }, - { - "id": "au-11_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][b]" - } - ], - "prose": "meet regulatory and organizational information retention requirements." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Generation", - "parameters": [ - { - "id": "au-12_prm_1", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all information system and network components where audit capability is deployed/available" - } - ] - }, - { - "id": "au-12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "au-12" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - } - ] - }, - { - "id": "au-12_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-12.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(a)" - } - ], - "parts": [ - { - "id": "au-12.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(a)[1]" - } - ], - "prose": "the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;" - }, - { - "id": "au-12.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(a)[2]" - } - ], - "prose": "the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;" - } - ] - }, - { - "id": "au-12.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(b)" - } - ], - "parts": [ - { - "id": "au-12.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(b)[1]" - } - ], - "prose": "the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;" - }, - { - "id": "au-12.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(b)[2]" - } - ], - "prose": "the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and" - } - ] - }, - { - "id": "au-12.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(c)" - } - ], - "prose": "the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Security Assessment and Authorization", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Security Assessment and Authorization Policy and Procedures", - "parameters": [ - { - "id": "ca-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ca-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-1" - }, - { - "name": "sort-id", - "value": "ca-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ca-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security assessment and authorization policy {{ ca-1_prm_2 }};\n and" - }, - { - "id": "ca-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security assessment and authorization procedures {{ ca-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ca-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a security assessment and authorization policy that\n addresses:", - "parts": [ - { - "id": "ca-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ca-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ca-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ca-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ca-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ca-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ca-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ca-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;" - }, - { - "id": "ca-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-1(a)(1)[3]" - } - ], - "prose": "disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ca-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ca-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;" - }, - { - "id": "ca-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ca-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ca-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization policy;" - }, - { - "id": "ca-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "ca-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ca-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization procedures; and" - }, - { - "id": "ca-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Security Assessments", - "parameters": [ - { - "id": "ca-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-2_prm_2", - "label": "organization-defined individuals or roles", - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-2" - }, - { - "name": "sort-id", - "value": "ca-02" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Assessment procedures to be used to determine security control effectiveness;\n and" - }, - { - "id": "ca-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and\n responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;" - }, - { - "id": "ca-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produces a security assessment report that documents the results of the\n assessment; and" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provides the results of the security control assessment to {{ ca-2_prm_2 }}." - }, - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.", - "links": [ - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(a)" - } - ], - "prose": "develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(1)" - } - ], - "prose": "security controls and control enhancements under assessment;" - }, - { - "id": "ca-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(2)" - } - ], - "prose": "assessment procedures to be used to determine security control\n effectiveness;" - }, - { - "id": "ca-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)" - } - ], - "parts": [ - { - "id": "ca-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[1]" - } - ], - "prose": "assessment environment;" - }, - { - "id": "ca-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[2]" - } - ], - "prose": "assessment team;" - }, - { - "id": "ca-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[3]" - } - ], - "prose": "assessment roles and responsibilities;" - } - ] - } - ] - }, - { - "id": "ca-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(b)" - } - ], - "parts": [ - { - "id": "ca-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(b)[1]" - } - ], - "prose": "defines the frequency to assess the security controls in the information system\n and its environment of operation;" - }, - { - "id": "ca-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(b)[2]" - } - ], - "prose": "assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;" - } - ] - }, - { - "id": "ca-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(c)" - } - ], - "prose": "produces a security assessment report that documents the results of the\n assessment;" - }, - { - "id": "ca-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(d)" - } - ], - "parts": [ - { - "id": "ca-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(d)[1]" - } - ], - "prose": "defines individuals or roles to whom the results of the security control\n assessment are to be provided; and" - }, - { - "id": "ca-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(d)[2]" - } - ], - "prose": "provides the results of the security control assessment to organization-defined\n individuals or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "parameters": [ - { - "id": "ca-2.1_prm_1", - "label": "organization-defined level of independence" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2(1)" - }, - { - "name": "sort-id", - "value": "ca-02.01" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments.", - "parts": [ - { - "id": "ca-2.1_fr", - "name": "item", - "title": "CA-2 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)." - } - ] - } - ] - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments." - }, - { - "id": "ca-2.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(1)[1]" - } - ], - "prose": "defines the level of independence to be employed to conduct security control\n assessments; and" - }, - { - "id": "ca-2.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-2(1)[2]" - } - ], - "prose": "employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "System Interconnections", - "parameters": [ - { - "id": "ca-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually and on input from FedRAMP" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-3" - }, - { - "name": "sort-id", - "value": "ca-03" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#2711f068-734e-4afd-94ba-0b22247fbc88", - "rel": "reference", - "text": "NIST Special Publication 800-47" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(a)" - } - ], - "prose": "authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(b)" - } - ], - "prose": "documents, for each interconnection:", - "parts": [ - { - "id": "ca-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[2]" - } - ], - "prose": "the security requirements;" - }, - { - "id": "ca-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[3]" - } - ], - "prose": "the nature of the information communicated;" - } - ] - }, - { - "id": "ca-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(c)" - } - ], - "parts": [ - { - "id": "ca-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(c)[1]" - } - ], - "prose": "defines the frequency to review and update Interconnection Security Agreements;\n and" - }, - { - "id": "ca-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(c)[2]" - } - ], - "prose": "reviews and updates Interconnection Security Agreements with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies" - } - ] - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "parameters": [ - { - "id": "ca-5_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-5" - }, - { - "name": "sort-id", - "value": "ca-05" - } - ], - "links": [ - { - "href": "#2c5884cd-7b96-425c-862a-99877e1cf909", - "rel": "reference", - "text": "OMB Memorandum 02-01" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities." - }, - { - "id": "ca-5_fr", - "name": "item", - "title": "CA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Plan of Action & Milestones (POA&M) must be provided at least monthly." - }, - { - "id": "ca-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-4", - "rel": "related", - "text": "PM-4" - } - ] - }, - { - "id": "ca-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-5(a)" - } - ], - "prose": "develops a plan of action and milestones for the information system to:", - "parts": [ - { - "id": "ca-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[1]" - } - ], - "prose": "document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;" - }, - { - "id": "ca-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[2]" - } - ], - "prose": "reduce or eliminate known vulnerabilities in the system;" - } - ] - }, - { - "id": "ca-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)" - } - ], - "parts": [ - { - "id": "ca-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-5(b)[1]" - } - ], - "prose": "defines the frequency to update the existing plan of action and milestones;" - }, - { - "id": "ca-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-5(b)[2]" - } - ], - "prose": "updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:", - "parts": [ - { - "id": "ca-5.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][a]" - } - ], - "prose": "security controls assessments;" - }, - { - "id": "ca-5.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][b]" - } - ], - "prose": "security impact analyses; and" - }, - { - "id": "ca-5.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][c]" - } - ], - "prose": "continuous monitoring activities." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones" - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Security Authorization", - "parameters": [ - { - "id": "ca-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-6" - }, - { - "name": "sort-id", - "value": "ca-06" - } - ], - "links": [ - { - "href": "#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab", - "rel": "reference", - "text": "OMB Circular A-130" - }, - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Updates the security authorization {{ ca-6_prm_1 }}." - }, - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-10", - "rel": "related", - "text": "PM-10" - } - ] - }, - { - "id": "ca-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-6(a)" - } - ], - "prose": "assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-6(b)" - } - ], - "prose": "ensures that the authorizing official authorizes the information system for\n processing before commencing operations;" - }, - { - "id": "ca-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(c)" - } - ], - "parts": [ - { - "id": "ca-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-6(c)[1]" - } - ], - "prose": "defines the frequency to update the security authorization; and" - }, - { - "id": "ca-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-6(c)[2]" - } - ], - "prose": "updates the security authorization with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate security authorizations and updates" - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "parameters": [ - { - "id": "ca-7_prm_1", - "label": "organization-defined metrics" - }, - { - "id": "ca-7_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_4", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - { - "id": "ca-7_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-7" - }, - { - "name": "sort-id", - "value": "ca-07" - } - ], - "links": [ - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb", - "rel": "reference", - "text": "US-CERT Technical Cyber Security Alerts" - }, - { - "href": "#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b", - "rel": "reference", - "text": "DoD Information Assurance Vulnerability Alerts" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishment of {{ ca-7_prm_1 }} to be monitored;" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of security-related information generated by assessments\n and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of security-related\n information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}." - }, - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually." - }, - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-6", - "rel": "related", - "text": "PM-6" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ca-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)" - } - ], - "parts": [ - { - "id": "ca-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(a)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines metrics to be\n monitored;" - }, - { - "id": "ca-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(a)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;" - }, - { - "id": "ca-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(a)[3]" - } - ], - "prose": "implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;" - } - ] - }, - { - "id": "ca-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)" - } - ], - "parts": [ - { - "id": "ca-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines frequencies for\n monitoring;" - }, - { - "id": "ca-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[2]" - } - ], - "prose": "defines frequencies for assessments supporting monitoring;" - }, - { - "id": "ca-7.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;" - }, - { - "id": "ca-7.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(b)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(c)" - } - ], - "parts": [ - { - "id": "ca-7.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(c)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security\n control assessments;" - }, - { - "id": "ca-7.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(c)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(d)" - } - ], - "parts": [ - { - "id": "ca-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(d)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;" - }, - { - "id": "ca-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(d)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(e)" - } - ], - "parts": [ - { - "id": "ca-7.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(e)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;" - }, - { - "id": "ca-7.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(e)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(f)" - } - ], - "parts": [ - { - "id": "ca-7.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(f)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;" - }, - { - "id": "ca-7.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(f)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)" - } - ], - "parts": [ - { - "id": "ca-7.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;" - }, - { - "id": "ca-7.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;" - }, - { - "id": "ca-7.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and" - }, - { - "id": "ca-7.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(g)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing continuous monitoring" - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "parameters": [ - { - "id": "ca-9_prm_1", - "label": "organization-defined information system components or classes of\n components" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-9" - }, - { - "name": "sort-id", - "value": "ca-09" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(a)" - } - ], - "parts": [ - { - "id": "ca-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-9(a)[1]" - } - ], - "prose": "defines information system components or classes of components to be authorized\n as internal connections to the information system;" - }, - { - "id": "ca-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-9(a)[2]" - } - ], - "prose": "authorizes internal connections of organization-defined information system\n components or classes of components to the information system;" - } - ] - }, - { - "id": "ca-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-9(b)" - } - ], - "prose": "documents, for each internal connection:", - "parts": [ - { - "id": "ca-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[2]" - } - ], - "prose": "the security requirements; and" - }, - { - "id": "ca-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[3]" - } - ], - "prose": "the nature of the information communicated." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Configuration Management Policy and Procedures", - "parameters": [ - { - "id": "cm-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "cm-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-1" - }, - { - "name": "sort-id", - "value": "cm-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cm-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Configuration management policy {{ cm-1_prm_2 }}; and" - }, - { - "id": "cm-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Configuration management procedures {{ cm-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cm-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(1)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1]" - } - ], - "prose": "develops and documents a configuration management policy that addresses:", - "parts": [ - { - "id": "cm-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cm-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cm-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cm-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cm-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cm-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cm-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cm-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the configuration management policy is to\n be disseminated;" - }, - { - "id": "cm-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-1(a)(1)[3]" - } - ], - "prose": "disseminates the configuration management policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "cm-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)" - } - ], - "parts": [ - { - "id": "cm-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;" - }, - { - "id": "cm-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cm-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cm-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(1)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management policy;" - }, - { - "id": "cm-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current configuration management policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "cm-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(2)" - } - ], - "parts": [ - { - "id": "cm-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management procedures; and" - }, - { - "id": "cm-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current configuration management procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "properties": [ - { - "name": "label", - "value": "CM-2" - }, - { - "name": "sort-id", - "value": "cm-02" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "prose": "The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system." - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - } - ] - }, - { - "id": "cm-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-2[1]" - } - ], - "prose": "develops and documents a current baseline configuration of the information system;\n and" - }, - { - "id": "cm-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2[2]" - } - ], - "prose": "maintains, under configuration control, a current baseline configuration of the\n information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration" - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Security Impact Analysis", - "properties": [ - { - "name": "label", - "value": "CM-4" - }, - { - "name": "sort-id", - "value": "cm-04" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "cm-4_obj", - "name": "objective", - "prose": "Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analysis" - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "parameters": [ - { - "id": "cm-6_prm_1", - "label": "organization-defined security configuration checklists", - "constraints": [ - { - "detail": "United States Government Configuration Baseline (USGCB)" - } - ] - }, - { - "id": "cm-6_prm_2", - "label": "organization-defined information system components" - }, - { - "id": "cm-6_prm_3", - "label": "organization-defined operational requirements" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-6" - }, - { - "name": "sort-id", - "value": "cm-06" - } - ], - "links": [ - { - "href": "#990268bf-f4a9-4c81-91ae-dc7d3115f4b1", - "rel": "reference", - "text": "OMB Memorandum 07-11" - }, - { - "href": "#0b3d8ba9-051f-498d-81ea-97f0f018c612", - "rel": "reference", - "text": "OMB Memorandum 07-18" - }, - { - "href": "#0916ef02-3618-411b-a525-565c088849a6", - "rel": "reference", - "text": "OMB Memorandum 08-22" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - }, - { - "href": "#e95dd121-2733-413e-bf1e-f1eb49f20a98", - "rel": "reference", - "text": "http://checklists.nist.gov" - }, - { - "href": "#647b6de3-81d0-4d22-bec1-5f1333e34380", - "rel": "reference", - "text": "http://www.nsa.gov" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures." - }, - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "cm-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)" - } - ], - "parts": [ - { - "id": "cm-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(a)[1]" - } - ], - "prose": "defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;" - }, - { - "id": "cm-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-6(a)[2]" - } - ], - "prose": "ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;" - }, - { - "id": "cm-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(a)[3]" - } - ], - "prose": "establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;" - } - ] - }, - { - "id": "cm-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(b)" - } - ], - "prose": "implements the configuration settings established/documented in CM-6(a);;" - }, - { - "id": "cm-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)" - } - ], - "parts": [ - { - "id": "cm-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[1]" - } - ], - "prose": "defines information system components for which any deviations from established\n configuration settings must be:", - "parts": [ - { - "id": "cm-6.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][a]" - } - ], - "prose": "identified;" - }, - { - "id": "cm-6.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][b]" - } - ], - "prose": "documented;" - }, - { - "id": "cm-6.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][c]" - } - ], - "prose": "approved;" - } - ] - }, - { - "id": "cm-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[2]" - } - ], - "prose": "defines operational requirements to support:", - "parts": [ - { - "id": "cm-6.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][a]" - } - ], - "prose": "the identification of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][b]" - } - ], - "prose": "the documentation of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][c]" - } - ], - "prose": "the approval of any deviations from established configuration settings;" - } - ] - }, - { - "id": "cm-6.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(c)[3]" - } - ], - "prose": "identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[4]" - } - ], - "prose": "documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(c)[5]" - } - ], - "prose": "approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - } - ] - }, - { - "id": "cm-6.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(d)" - } - ], - "parts": [ - { - "id": "cm-6.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(d)[1]" - } - ], - "prose": "monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and" - }, - { - "id": "cm-6.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(d)[2]" - } - ], - "prose": "controls changes to the configuration settings in accordance with\n organizational policies and procedures." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings" - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "parameters": [ - { - "id": "cm-7_prm_1", - "label": "organization-defined prohibited or restricted functions, ports, protocols, and/or\n services", - "constraints": [ - { - "detail": "United States Government Configuration Baseline (USGCB)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-7" - }, - { - "name": "sort-id", - "value": "cm-07" - } - ], - "links": [ - { - "href": "#e42b2099-3e1c-415b-952c-61c96533c12e", - "rel": "reference", - "text": "DoD Instruction 8551.01" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configures the information system to provide only essential capabilities; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}." - }, - { - "id": "cm-7_fr", - "name": "item", - "title": "CM-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available." - }, - { - "id": "cm-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc)\n\t\t\t\t\t\t\tPartially derived from AC-17(8)." - } - ] - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(a)" - } - ], - "prose": "configures the information system to provide only essential capabilities;" - }, - { - "id": "cm-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)" - } - ], - "parts": [ - { - "id": "cm-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(b)[1]" - } - ], - "prose": "defines prohibited or restricted:", - "parts": [ - { - "id": "cm-7.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(b)[2]" - } - ], - "prose": "prohibits or restricts the use of organization-defined:", - "parts": [ - { - "id": "cm-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][d]" - } - ], - "prose": "services." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "Information System Component Inventory", - "parameters": [ - { - "id": "cm-8_prm_1", - "label": "organization-defined information deemed necessary to achieve effective\n information system component accountability" - }, - { - "id": "cm-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-8" - }, - { - "name": "sort-id", - "value": "cm-08" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents an inventory of information system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accurately reflects the current information system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting;\n and" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Includes {{ cm-8_prm_1 }}; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the information system component inventory {{ cm-8_prm_2 }}." - }, - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - } - ] - }, - { - "id": "cm-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)" - } - ], - "parts": [ - { - "id": "cm-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(1)" - } - ], - "prose": "develops and documents an inventory of information system components that\n accurately reflects the current information system;" - }, - { - "id": "cm-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(2)" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(3)" - } - ], - "prose": "develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;" - }, - { - "id": "cm-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(4)" - } - ], - "parts": [ - { - "id": "cm-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(4)[1]" - } - ], - "prose": "defines the information deemed necessary to achieve effective information\n system component accountability;" - }, - { - "id": "cm-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(4)[2]" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;" - } - ] - } - ] - }, - { - "id": "cm-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(b)" - } - ], - "parts": [ - { - "id": "cm-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(b)[1]" - } - ], - "prose": "defines the frequency to review and update the information system component\n inventory; and" - }, - { - "id": "cm-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(b)[2]" - } - ], - "prose": "reviews and updates the information system component inventory with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory" - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "properties": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "cm-10" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-10_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(a)" - } - ], - "prose": "uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(b)" - } - ], - "prose": "tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(c)" - } - ], - "prose": "controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology" - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "parameters": [ - { - "id": "cm-11_prm_1", - "label": "organization-defined policies" - }, - { - "id": "cm-11_prm_2", - "label": "organization-defined methods" - }, - { - "id": "cm-11_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "Continuously (via CM-7 (5))" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "cm-11" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforces software installation policies through {{ cm-11_prm_2 }};\n and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitors policy compliance at {{ cm-11_prm_3 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "cm-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(a)" - } - ], - "parts": [ - { - "id": "cm-11.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(a)[1]" - } - ], - "prose": "defines policies to govern the installation of software by users;" - }, - { - "id": "cm-11.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(a)[2]" - } - ], - "prose": "establishes organization-defined policies governing the installation of\n software by users;" - } - ] - }, - { - "id": "cm-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(b)" - } - ], - "parts": [ - { - "id": "cm-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(b)[1]" - } - ], - "prose": "defines methods to enforce software installation policies;" - }, - { - "id": "cm-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(b)[2]" - } - ], - "prose": "enforces software installation policies through organization-defined\n methods;" - } - ] - }, - { - "id": "cm-11.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(c)" - } - ], - "parts": [ - { - "id": "cm-11.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(c)[1]" - } - ], - "prose": "defines frequency to monitor policy compliance; and" - }, - { - "id": "cm-11.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(c)[2]" - } - ], - "prose": "monitors policy compliance at organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance" - } - ] - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Contingency Planning Policy and Procedures", - "parameters": [ - { - "id": "cp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "cp-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-1" - }, - { - "name": "sort-id", - "value": "cp-01" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Contingency planning policy {{ cp-1_prm_2 }}; and" - }, - { - "id": "cp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Contingency planning procedures {{ cp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cp-1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(1)[1]" - } - ], - "prose": "the organization develops and documents a contingency planning policy that\n addresses:", - "parts": [ - { - "id": "cp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(1)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;" - }, - { - "id": "cp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-1(a)(1)[3]" - } - ], - "prose": "the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "cp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)" - } - ], - "parts": [ - { - "id": "cp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(2)[1]" - } - ], - "prose": "the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;" - }, - { - "id": "cp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(2)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-1(a)(2)[3]" - } - ], - "prose": "the organization disseminates the procedures to organization-defined\n personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(1)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(1)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning policy;" - }, - { - "id": "cp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(1)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning with\n the organization-defined frequency;" - } - ] - }, - { - "id": "cp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(2)" - } - ], - "parts": [ - { - "id": "cp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(2)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning procedures; and" - }, - { - "id": "cp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(2)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "parameters": [ - { - "id": "cp-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_2", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - }, - { - "id": "cp-2_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cp-2_prm_4", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-2" - }, - { - "name": "sort-id", - "value": "cp-02" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with\n contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is reviewed and approved by {{ cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the contingency plan to {{ cp-2_prm_2 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the contingency plan for the information system {{ cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicates contingency plan changes to {{ cp-2_prm_4 }}; and" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protects the contingency plan from unauthorized disclosure and modification." - }, - { - "id": "cp-2_fr", - "name": "item", - "title": "CP-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-2 Requirement:" - } - ], - "prose": "For JAB authorizations the contingency lists include designated FedRAMP personnel." - } - ] - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.", - "links": [ - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "cp-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)" - } - ], - "prose": "develops and documents a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(1)" - } - ], - "prose": "identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(2)" - } - ], - "parts": [ - { - "id": "cp-2.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[1]" - } - ], - "prose": "provides recovery objectives;" - }, - { - "id": "cp-2.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[2]" - } - ], - "prose": "provides restoration priorities;" - }, - { - "id": "cp-2.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[3]" - } - ], - "prose": "provides metrics;" - } - ] - }, - { - "id": "cp-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(3)" - } - ], - "parts": [ - { - "id": "cp-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[1]" - } - ], - "prose": "addresses contingency roles;" - }, - { - "id": "cp-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[2]" - } - ], - "prose": "addresses contingency responsibilities;" - }, - { - "id": "cp-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[3]" - } - ], - "prose": "addresses assigned individuals with contact information;" - } - ] - }, - { - "id": "cp-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(4)" - } - ], - "prose": "addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(5)" - } - ], - "prose": "addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;" - }, - { - "id": "cp-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(6)" - } - ], - "parts": [ - { - "id": "cp-2.a.6_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(6)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the contingency plan for\n the information system;" - }, - { - "id": "cp-2.a.6_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(6)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(b)" - } - ], - "parts": [ - { - "id": "cp-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(b)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;" - }, - { - "id": "cp-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(b)[2]" - } - ], - "prose": "distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;" - } - ] - }, - { - "id": "cp-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(c)" - } - ], - "prose": "coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(d)" - } - ], - "parts": [ - { - "id": "cp-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(d)[1]" - } - ], - "prose": "defines a frequency to review the contingency plan for the information\n system;" - }, - { - "id": "cp-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(d)[2]" - } - ], - "prose": "reviews the contingency plan with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(e)" - } - ], - "prose": "updates the contingency plan to address:", - "parts": [ - { - "id": "cp-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(e)[1]" - } - ], - "prose": "changes to the organization, information system, or environment of\n operation;" - }, - { - "id": "cp-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(e)[2]" - } - ], - "prose": "problems encountered during plan implementation, execution, and testing;" - } - ] - }, - { - "id": "cp-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(f)" - } - ], - "parts": [ - { - "id": "cp-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(f)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;" - }, - { - "id": "cp-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(f)[2]" - } - ], - "prose": "communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and" - } - ] - }, - { - "id": "cp-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(g)" - } - ], - "prose": "protects the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan" - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "parameters": [ - { - "id": "cp-3_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "ten (10) days" - } - ] - }, - { - "id": "cp-3_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-3" - }, - { - "name": "sort-id", - "value": "cp-03" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "prose": "The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;" - }, - { - "id": "cp-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "cp-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ cp-3_prm_2 }} thereafter." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - } - ] - }, - { - "id": "cp-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(a)" - } - ], - "parts": [ - { - "id": "cp-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-3(a)[1]" - } - ], - "prose": "defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;" - }, - { - "id": "cp-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(a)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;" - } - ] - }, - { - "id": "cp-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(b)" - } - ], - "prose": "provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;" - }, - { - "id": "cp-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(c)" - } - ], - "parts": [ - { - "id": "cp-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-3(c)[1]" - } - ], - "prose": "defines the frequency for contingency training thereafter; and" - }, - { - "id": "cp-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(c)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training" - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "parameters": [ - { - "id": "cp-4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three years" - } - ] - }, - { - "id": "cp-4_prm_2", - "label": "organization-defined tests", - "constraints": [ - { - "detail": "classroom exercises/table top written tests" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-4" - }, - { - "name": "sort-id", - "value": "cp-04" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf", - "rel": "reference", - "text": "NIST Special Publication 800-84" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;" - }, - { - "id": "cp-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiates corrective actions, if needed." - }, - { - "id": "cp-4_fr", - "name": "item", - "title": "CP-4(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-4(a) Requirement:" - } - ], - "prose": "The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing." - } - ] - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - } - ] - }, - { - "id": "cp-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)" - } - ], - "parts": [ - { - "id": "cp-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-4(a)[1]" - } - ], - "prose": "defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;" - }, - { - "id": "cp-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-4(a)[2]" - } - ], - "prose": "defines a frequency to test the contingency plan for the information\n system;" - }, - { - "id": "cp-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(a)[3]" - } - ], - "prose": "tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;" - } - ] - }, - { - "id": "cp-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(b)" - } - ], - "prose": "reviews the contingency plan test results; and" - }, - { - "id": "cp-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(c)" - } - ], - "prose": "initiates corrective actions, if needed." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing" - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "Information System Backup", - "parameters": [ - { - "id": "cp-9_prm_1", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_2", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_3", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-9" - }, - { - "name": "sort-id", - "value": "cp-09" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects the confidentiality, integrity, and availability of backup information at\n storage locations." - }, - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)." - } - ] - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "cp-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(a)" - } - ], - "parts": [ - { - "id": "cp-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(a)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;" - }, - { - "id": "cp-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(a)[2]" - } - ], - "prose": "conducts backups of user-level information contained in the information system\n with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(b)" - } - ], - "parts": [ - { - "id": "cp-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(b)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;" - }, - { - "id": "cp-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(b)[2]" - } - ], - "prose": "conducts backups of system-level information contained in the information\n system with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(c)" - } - ], - "parts": [ - { - "id": "cp-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(c)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;" - }, - { - "id": "cp-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(c)[2]" - } - ], - "prose": "conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and" - } - ] - }, - { - "id": "cp-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(d)" - } - ], - "prose": "protects the confidentiality, integrity, and availability of backup information at\n storage locations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups" - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "Information System Recovery and Reconstitution", - "properties": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "cp-10" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "cp-10_obj", - "name": "objective", - "prose": "Determine if the organization provides for: ", - "parts": [ - { - "id": "cp-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10[1]" - } - ], - "prose": "the recovery of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][c]" - } - ], - "prose": "a failure;" - } - ] - }, - { - "id": "cp-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2]" - } - ], - "prose": "the reconstitution of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][c]" - } - ], - "prose": "a failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations" - } - ] - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Identification and Authentication Policy and Procedures", - "parameters": [ - { - "id": "ia-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ia-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-1" - }, - { - "name": "sort-id", - "value": "ia-01" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ia-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identification and authentication policy {{ ia-1_prm_2 }};\n and" - }, - { - "id": "ia-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identification and authentication procedures {{ ia-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ia-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ia-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(1)[1]" - } - ], - "prose": "develops and documents an identification and authentication policy that\n addresses:", - "parts": [ - { - "id": "ia-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ia-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ia-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ia-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ia-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ia-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ia-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ia-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and" - }, - { - "id": "ia-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-1(a)(1)[3]" - } - ], - "prose": "disseminates the identification and authentication policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ia-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ia-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;" - }, - { - "id": "ia-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ia-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ia-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication policy;" - }, - { - "id": "ia-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "ia-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ia-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication procedures; and" - }, - { - "id": "ia-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-2" - }, - { - "name": "sort-id", - "value": "ia-02" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "ia-2_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(1)" - }, - { - "name": "sort-id", - "value": "ia-02.01" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for network access to\n privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n network access to privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "properties": [ - { - "name": "label", - "value": "IA-2(12)" - }, - { - "name": "sort-id", - "value": "ia-02.12" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials.", - "parts": [ - { - "id": "ia-2.12_fr", - "name": "item", - "title": "IA-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12." - } - ] - } - ] - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-2.12_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-2.12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(12)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials; and" - }, - { - "id": "ia-2.12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(12)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials" - } - ] - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "parameters": [ - { - "id": "ia-4_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-4_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "IA-4 (d) [at least two years]" - } - ] - }, - { - "id": "ia-4_prm_3", - "label": "organization-defined time period of inactivity", - "constraints": [ - { - "detail": "ninety days for user identifiers (See additional requirements and guidance)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-4" - }, - { - "name": "sort-id", - "value": "ia-04" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "The organization manages information system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, or device;" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and" - }, - { - "id": "ia-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disabling the identifier after {{ ia-4_prm_3 }}." - }, - { - "id": "ia-4_fr", - "name": "item", - "title": "IA-4(e) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-4_fr_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines the time period of inactivity for device identifiers." - }, - { - "id": "ia-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx)." - } - ] - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#sc-37", - "rel": "related", - "text": "SC-37" - } - ] - }, - { - "id": "ia-4_obj", - "name": "objective", - "prose": "Determine if the organization manages information system identifiers by: ", - "parts": [ - { - "id": "ia-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)" - } - ], - "parts": [ - { - "id": "ia-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(a)[1]" - } - ], - "prose": "defining personnel or roles from whom authorization must be received to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][d]" - } - ], - "prose": "a device identifier;" - } - ] - }, - { - "id": "ia-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(a)[2]" - } - ], - "prose": "receiving authorization from organization-defined personnel or roles to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][d]" - } - ], - "prose": "a device identifier;" - } - ] - } - ] - }, - { - "id": "ia-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(b)" - } - ], - "prose": "selecting an identifier that identifies:", - "parts": [ - { - "id": "ia-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[1]" - } - ], - "prose": "an individual;" - }, - { - "id": "ia-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[2]" - } - ], - "prose": "a group;" - }, - { - "id": "ia-4.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[3]" - } - ], - "prose": "a role; and/or" - }, - { - "id": "ia-4.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[4]" - } - ], - "prose": "a device;" - } - ] - }, - { - "id": "ia-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(c)" - } - ], - "prose": "assigning the identifier to the intended:", - "parts": [ - { - "id": "ia-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[1]" - } - ], - "prose": "individual;" - }, - { - "id": "ia-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[2]" - } - ], - "prose": "group;" - }, - { - "id": "ia-4.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[3]" - } - ], - "prose": "role; and/or" - }, - { - "id": "ia-4.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[4]" - } - ], - "prose": "device;" - } - ] - }, - { - "id": "ia-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(d)" - } - ], - "parts": [ - { - "id": "ia-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(d)[1]" - } - ], - "prose": "defining a time period for preventing reuse of identifiers;" - }, - { - "id": "ia-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(d)[2]" - } - ], - "prose": "preventing reuse of identifiers for the organization-defined time period;" - } - ] - }, - { - "id": "ia-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(e)" - } - ], - "parts": [ - { - "id": "ia-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(e)[1]" - } - ], - "prose": "defining a time period of inactivity to disable the identifier; and" - }, - { - "id": "ia-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(e)[2]" - } - ], - "prose": "disabling the identifier after the organization-defined time period of\n inactivity." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "parameters": [ - { - "id": "ia-5_prm_1", - "label": "organization-defined time period by authenticator type" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-5" - }, - { - "name": "sort-id", - "value": "ia-05" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "The organization manages information system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changing/refreshing authenticators {{ ia-5_prm_1 }};" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and\n modification;" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and" - }, - { - "id": "ia-5_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Changing authenticators for group/role accounts when membership to those accounts\n changes." - }, - { - "id": "ia-5_fr", - "name": "item", - "title": "IA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3)." - } - ] - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "ia-5_obj", - "name": "objective", - "prose": "Determine if the organization manages information system authenticators by: ", - "parts": [ - { - "id": "ia-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(a)" - } - ], - "prose": "verifying, as part of the initial authenticator distribution, the identity of:", - "parts": [ - { - "id": "ia-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[1]" - } - ], - "prose": "the individual receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[2]" - } - ], - "prose": "the group receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[3]" - } - ], - "prose": "the role receiving the authenticator; and/or" - }, - { - "id": "ia-5.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[4]" - } - ], - "prose": "the device receiving the authenticator;" - } - ] - }, - { - "id": "ia-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(b)" - } - ], - "prose": "establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(c)" - } - ], - "prose": "ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)" - } - ], - "parts": [ - { - "id": "ia-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[1]" - } - ], - "prose": "establishing and implementing administrative procedures for initial\n authenticator distribution;" - }, - { - "id": "ia-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[2]" - } - ], - "prose": "establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;" - }, - { - "id": "ia-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[3]" - } - ], - "prose": "establishing and implementing administrative procedures for revoking\n authenticators;" - } - ] - }, - { - "id": "ia-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(e)" - } - ], - "prose": "changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)" - } - ], - "parts": [ - { - "id": "ia-5.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[1]" - } - ], - "prose": "establishing minimum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[2]" - } - ], - "prose": "establishing maximum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[3]" - } - ], - "prose": "establishing reuse conditions for authenticators;" - } - ] - }, - { - "id": "ia-5.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(g)" - } - ], - "parts": [ - { - "id": "ia-5.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(g)[1]" - } - ], - "prose": "defining a time period (by authenticator type) for changing/refreshing\n authenticators;" - }, - { - "id": "ia-5.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(g)[2]" - } - ], - "prose": "changing/refreshing authenticators with the organization-defined time period by\n authenticator type;" - } - ] - }, - { - "id": "ia-5.h_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(h)" - } - ], - "prose": "protecting authenticator content from unauthorized:", - "parts": [ - { - "id": "ia-5.h_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[1]" - } - ], - "prose": "disclosure;" - }, - { - "id": "ia-5.h_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[2]" - } - ], - "prose": "modification;" - } - ] - }, - { - "id": "ia-5.i_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(i)" - } - ], - "parts": [ - { - "id": "ia-5.i_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-5(i)[1]" - } - ], - "prose": "requiring individuals to take specific security safeguards to protect\n authenticators;" - }, - { - "id": "ia-5.i_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(i)[2]" - } - ], - "prose": "having devices implement specific security safeguards to protect\n authenticators; and" - } - ] - }, - { - "id": "ia-5.j_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(j)" - } - ], - "prose": "changing authenticators for group/role accounts when membership to those accounts\n changes." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "parameters": [ - { - "id": "ia-5.1_prm_1", - "label": "organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type" - }, - { - "id": "ia-5.1_prm_2", - "label": "organization-defined number", - "constraints": [ - { - "detail": "at least one" - } - ] - }, - { - "id": "ia-5.1_prm_3", - "label": "organization-defined numbers for lifetime minimum, lifetime maximum" - }, - { - "id": "ia-5.1_prm_4", - "label": "organization-defined number", - "constraints": [ - { - "detail": "twenty four" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-5(1)" - }, - { - "name": "sort-id", - "value": "ia-05.01" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "The information system, for password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforces minimum password complexity of {{ ia-5.1_prm_1 }};" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Stores and transmits only cryptographically-protected passwords;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allows the use of a temporary password for system logons with an immediate\n change to a permanent password." - }, - { - "id": "ia-5.1_fr", - "name": "item", - "title": "IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance (a) (d):" - } - ], - "prose": "If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant." - } - ] - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.", - "links": [ - { - "href": "#ia-6", - "rel": "related", - "text": "IA-6" - } - ] - }, - { - "id": "ia-5.1_obj", - "name": "objective", - "prose": "Determine if, for password-based authentication: ", - "parts": [ - { - "id": "ia-5.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)" - } - ], - "parts": [ - { - "id": "ia-5.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[1]" - } - ], - "prose": "the organization defines requirements for case sensitivity;" - }, - { - "id": "ia-5.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[2]" - } - ], - "prose": "the organization defines requirements for number of characters;" - }, - { - "id": "ia-5.1.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[3]" - } - ], - "prose": "the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;" - }, - { - "id": "ia-5.1.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[4]" - } - ], - "prose": "the organization defines minimum requirements for each type of\n character;" - }, - { - "id": "ia-5.1.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(a)[5]" - } - ], - "prose": "the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.a", - "rel": "corresp", - "text": "IA-5(1)(a)" - } - ] - }, - { - "id": "ia-5.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(b)" - } - ], - "parts": [ - { - "id": "ia-5.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(b)[1]" - } - ], - "prose": "the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;" - }, - { - "id": "ia-5.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(b)[2]" - } - ], - "prose": "the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.b", - "rel": "corresp", - "text": "IA-5(1)(b)" - } - ] - }, - { - "id": "ia-5.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(c)" - } - ], - "prose": "the information system stores and transmits only encrypted representations of\n passwords;", - "links": [ - { - "href": "#ia-5.1_smt.c", - "rel": "corresp", - "text": "IA-5(1)(c)" - } - ] - }, - { - "id": "ia-5.1.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)" - } - ], - "parts": [ - { - "id": "ia-5.1.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(d)[1]" - } - ], - "prose": "the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(d)[2]" - } - ], - "prose": "the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(d)[3]" - } - ], - "prose": "the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;" - }, - { - "id": "ia-5.1.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(d)[4]" - } - ], - "prose": "the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.d", - "rel": "corresp", - "text": "IA-5(1)(d)" - } - ] - }, - { - "id": "ia-5.1.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(e)" - } - ], - "parts": [ - { - "id": "ia-5.1.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(e)[1]" - } - ], - "prose": "the organization defines the number of password generations to be prohibited\n from password reuse;" - }, - { - "id": "ia-5.1.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(e)[2]" - } - ], - "prose": "the information system prohibits password reuse for the organization-defined\n number of generations; and" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.e", - "rel": "corresp", - "text": "IA-5(1)(e)" - } - ] - }, - { - "id": "ia-5.1.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(f)" - } - ], - "prose": "the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.", - "links": [ - { - "href": "#ia-5.1_smt.f", - "rel": "corresp", - "text": "IA-5(1)(f)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based\n authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "parameters": [ - { - "id": "ia-5.11_prm_1", - "label": "organization-defined token quality requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(11)" - }, - { - "name": "sort-id", - "value": "ia-05.11" - } - ], - "parts": [ - { - "id": "ia-5.11_smt", - "name": "statement", - "prose": "The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}." - }, - { - "id": "ia-5.11_gdn", - "name": "guidance", - "prose": "Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI." - }, - { - "id": "ia-5.11_obj", - "name": "objective", - "prose": "Determine if, for hardware token-based authentication: ", - "parts": [ - { - "id": "ia-5.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(11)[1]" - } - ], - "prose": "the organization defines token quality requirements to be satisfied; and" - }, - { - "id": "ia-5.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(11)[2]" - } - ], - "prose": "the information system employs mechanisms that satisfy organization-defined\n token quality requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability" - } - ] - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authenticator Feedback", - "properties": [ - { - "name": "label", - "value": "IA-6" - }, - { - "name": "sort-id", - "value": "ia-06" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.", - "links": [ - { - "href": "#pe-18", - "rel": "related", - "text": "PE-18" - } - ] - }, - { - "id": "ia-6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication" - } - ] - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "properties": [ - { - "name": "label", - "value": "IA-7" - }, - { - "name": "sort-id", - "value": "ia-07" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#b09d1a31-d3c9-4138-a4f4-4c63816afd7d", - "rel": "reference", - "text": "http://csrc.nist.gov/groups/STM/cmvp/index.html" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ia-7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic module\n authentication" - } - ] - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-8" - }, - { - "name": "sort-id", - "value": "ia-08" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#599fe9ba-4750-4450-9eeb-b95bd19a5e8f", - "rel": "reference", - "text": "OMB Memorandum 10-06-2011" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#654f21e2-f3bc-43b2-abdc-60ab8d09744b", - "rel": "reference", - "text": "National Strategy for Trusted Identities in\n Cyberspace" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "ia-8_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "properties": [ - { - "name": "label", - "value": "IA-8(1)" - }, - { - "name": "sort-id", - "value": "ia-08.01" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.1_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(1)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials from other agencies;\n and" - }, - { - "id": "ia-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(1)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of Third-party Credentials", - "properties": [ - { - "name": "label", - "value": "IA-8(2)" - }, - { - "name": "sort-id", - "value": "ia-08.02" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "prose": "The information system accepts only FICAM-approved third-party credentials." - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "ia-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system accepts only FICAM-approved third-party\n credentials. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials" - } - ] - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "parameters": [ - { - "id": "ia-8.3_prm_1", - "label": "organization-defined information systems" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-8(3)" - }, - { - "name": "sort-id", - "value": "ia-08.03" - } - ], - "parts": [ - { - "id": "ia-8.3_smt", - "name": "statement", - "prose": "The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials." - }, - { - "id": "ia-8.3_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-8.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-8(3)[1]" - } - ], - "prose": "defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and" - }, - { - "id": "ia-8.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(3)[2]" - } - ], - "prose": "employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-issued Profiles", - "properties": [ - { - "name": "label", - "value": "IA-8(4)" - }, - { - "name": "sort-id", - "value": "ia-08.04" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "The information system conforms to FICAM-issued profiles." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system conforms to FICAM-issued profiles. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Incident Response Policy and Procedures", - "parameters": [ - { - "id": "ir-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ir-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-1" - }, - { - "name": "sort-id", - "value": "ir-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ir-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Incident response policy {{ ir-1_prm_2 }}; and" - }, - { - "id": "ir-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Incident response procedures {{ ir-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ir-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(1)[1]" - } - ], - "prose": "develops and documents an incident response policy that addresses:", - "parts": [ - { - "id": "ir-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ir-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ir-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ir-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ir-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ir-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ir-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ir-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the incident response policy is to be\n disseminated;" - }, - { - "id": "ir-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-1(a)(1)[3]" - } - ], - "prose": "disseminates the incident response policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ir-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)" - } - ], - "parts": [ - { - "id": "ir-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;" - }, - { - "id": "ir-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ir-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(1)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n policy;" - }, - { - "id": "ir-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current incident response policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ir-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(2)" - } - ], - "parts": [ - { - "id": "ir-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n procedures; and" - }, - { - "id": "ir-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current incident response procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "parameters": [ - { - "id": "ir-2_prm_1", - "label": "organization-defined time period" - }, - { - "id": "ir-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-2" - }, - { - "name": "sort-id", - "value": "ir-02" - } - ], - "links": [ - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "prose": "The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "ir-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ ir-2_prm_2 }} thereafter." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(a)" - } - ], - "parts": [ - { - "id": "ir-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-2(a)[1]" - } - ], - "prose": "defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(a)[2]" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;" - } - ] - }, - { - "id": "ir-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(b)" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;" - }, - { - "id": "ir-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(c)" - } - ], - "parts": [ - { - "id": "ir-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and" - }, - { - "id": "ir-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(c)[2]" - } - ], - "prose": "after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "properties": [ - { - "name": "label", - "value": "IR-4" - }, - { - "name": "sort-id", - "value": "ir-04" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates incident handling activities with contingency planning activities;\n and" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly." - }, - { - "id": "ir-4_fr", - "name": "item", - "title": "IR-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-4_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system." - } - ] - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(a)" - } - ], - "prose": "implements an incident handling capability for security incidents that\n includes:", - "parts": [ - { - "id": "ir-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[1]" - } - ], - "prose": "preparation;" - }, - { - "id": "ir-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[2]" - } - ], - "prose": "detection and analysis;" - }, - { - "id": "ir-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[3]" - } - ], - "prose": "containment;" - }, - { - "id": "ir-4.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[4]" - } - ], - "prose": "eradication;" - }, - { - "id": "ir-4.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[5]" - } - ], - "prose": "recovery;" - } - ] - }, - { - "id": "ir-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-4(b)" - } - ], - "prose": "coordinates incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)" - } - ], - "parts": [ - { - "id": "ir-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(c)[1]" - } - ], - "prose": "incorporates lessons learned from ongoing incident handling activities\n into:", - "parts": [ - { - "id": "ir-4.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][b]" - } - ], - "prose": "training;" - }, - { - "id": "ir-4.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][c]" - } - ], - "prose": "testing/exercises;" - } - ] - }, - { - "id": "ir-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-4(c)[2]" - } - ], - "prose": "implements the resulting changes accordingly to:", - "parts": [ - { - "id": "ir-4.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][b]" - } - ], - "prose": "training; and" - }, - { - "id": "ir-4.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][c]" - } - ], - "prose": "testing/exercises." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "properties": [ - { - "name": "label", - "value": "IR-5" - }, - { - "name": "sort-id", - "value": "ir-05" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "The organization tracks and documents information system security incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5[1]" - } - ], - "prose": "tracks information system security incidents; and" - }, - { - "id": "ir-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-5[2]" - } - ], - "prose": "documents information system security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents" - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "parameters": [ - { - "id": "ir-6_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - { - "id": "ir-6_prm_2", - "label": "organization-defined authorities" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-6" - }, - { - "name": "sort-id", - "value": "ir-06" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#02631467-668b-4233-989b-3dfded2fd184", - "rel": "reference", - "text": "http://www.us-cert.gov" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports security incident information to {{ ir-6_prm_2 }}." - }, - { - "id": "ir-6_fr", - "name": "item", - "title": "IR-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Report security incident information according to FedRAMP Incident Communications Procedure." - } - ] - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(a)" - } - ], - "parts": [ - { - "id": "ir-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-6(a)[1]" - } - ], - "prose": "defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;" - }, - { - "id": "ir-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-6(a)[2]" - } - ], - "prose": "requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;" - } - ] - }, - { - "id": "ir-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(b)" - } - ], - "parts": [ - { - "id": "ir-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-6(b)[1]" - } - ], - "prose": "defines authorities to whom security incident information is to be reported;\n and" - }, - { - "id": "ir-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-6(b)[2]" - } - ], - "prose": "reports security incident information to organization-defined authorities." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting" - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "properties": [ - { - "name": "label", - "value": "IR-7" - }, - { - "name": "sort-id", - "value": "ir-07" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ir-7_obj", - "name": "objective", - "prose": "Determine if the organization provides an incident response support resource:", - "parts": [ - { - "id": "ir-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[1]" - } - ], - "prose": "that is integral to the organizational incident response capability; and" - }, - { - "id": "ir-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[2]" - } - ], - "prose": "that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance" - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "parameters": [ - { - "id": "ir-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-8_prm_2", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - { - "id": "ir-8_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ir-8_prm_4", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-8" - }, - { - "name": "sort-id", - "value": "ir-08" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Is reviewed and approved by {{ ir-8_prm_1 }};" - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the incident response plan to {{ ir-8_prm_2 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the incident response plan {{ ir-8_prm_3 }};" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and" - }, - { - "id": "ir-8_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Protects the incident response plan from unauthorized disclosure and\n modification." - }, - { - "id": "ir-8_fr", - "name": "item", - "title": "IR-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-8_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b) Requirement:" - } - ], - "prose": "The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel." - }, - { - "id": "ir-8_fr_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e) Requirement:" - } - ], - "prose": "The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel." - } - ] - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - } - ] - }, - { - "id": "ir-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)" - } - ], - "prose": "develops an incident response plan that:", - "parts": [ - { - "id": "ir-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(1)" - } - ], - "prose": "provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(2)" - } - ], - "prose": "describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(3)" - } - ], - "prose": "provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(4)" - } - ], - "prose": "meets the unique requirements of the organization, which relate to:", - "parts": [ - { - "id": "ir-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[1]" - } - ], - "prose": "mission;" - }, - { - "id": "ir-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[2]" - } - ], - "prose": "size;" - }, - { - "id": "ir-8.a.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[3]" - } - ], - "prose": "structure;" - }, - { - "id": "ir-8.a.4_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[4]" - } - ], - "prose": "functions;" - } - ] - }, - { - "id": "ir-8.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(5)" - } - ], - "prose": "defines reportable incidents;" - }, - { - "id": "ir-8.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(a)(6)" - } - ], - "prose": "provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(7)" - } - ], - "prose": "defines the resources and management support needed to effectively maintain and\n mature an incident response capability;" - }, - { - "id": "ir-8.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(8)" - } - ], - "parts": [ - { - "id": "ir-8.a.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(8)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the incident response\n plan;" - }, - { - "id": "ir-8.a.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-8(a)(8)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[1]" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(b)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;" - }, - { - "id": "ir-8.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(b)[1][b]" - } - ], - "prose": "defines organizational elements to whom copies of the incident response plan\n are to be distributed;" - } - ] - }, - { - "id": "ir-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(b)[2]" - } - ], - "prose": "distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;" - } - ] - }, - { - "id": "ir-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(c)" - } - ], - "parts": [ - { - "id": "ir-8.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(c)[1]" - } - ], - "prose": "defines the frequency to review the incident response plan;" - }, - { - "id": "ir-8.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-8(c)[2]" - } - ], - "prose": "reviews the incident response plan with the organization-defined frequency;" - } - ] - }, - { - "id": "ir-8.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(d)" - } - ], - "prose": "updates the incident response plan to address system/organizational changes or\n problems encountered during plan:", - "parts": [ - { - "id": "ir-8.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[1]" - } - ], - "prose": "implementation;" - }, - { - "id": "ir-8.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[2]" - } - ], - "prose": "execution; or" - }, - { - "id": "ir-8.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[3]" - } - ], - "prose": "testing;" - } - ] - }, - { - "id": "ir-8.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[1]" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(e)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;" - }, - { - "id": "ir-8.e_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(e)[1][b]" - } - ], - "prose": "defines organizational elements to whom incident response plan changes are\n to be communicated;" - } - ] - }, - { - "id": "ir-8.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(e)[2]" - } - ], - "prose": "communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and" - } - ] - }, - { - "id": "ir-8.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(f)" - } - ], - "prose": "protects the incident response plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "System Maintenance Policy and Procedures", - "parameters": [ - { - "id": "ma-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ma-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MA-1" - }, - { - "name": "sort-id", - "value": "ma-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ma-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System maintenance policy {{ ma-1_prm_2 }}; and" - }, - { - "id": "ma-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System maintenance procedures {{ ma-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ma-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system maintenance policy that addresses:", - "parts": [ - { - "id": "ma-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ma-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ma-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ma-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ma-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ma-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ma-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ma-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system maintenance policy is to be\n disseminated;" - }, - { - "id": "ma-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system maintenance policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ma-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ma-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;" - }, - { - "id": "ma-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ma-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ma-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n policy;" - }, - { - "id": "ma-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system maintenance policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ma-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ma-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n procedures; and" - }, - { - "id": "ma-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system maintenance procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "parameters": [ - { - "id": "ma-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-2_prm_2", - "label": "organization-defined maintenance-related information" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-2" - }, - { - "name": "sort-id", - "value": "ma-02" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Includes {{ ma-2_prm_2 }} in organizational maintenance\n records." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ma-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)" - } - ], - "parts": [ - { - "id": "ma-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(a)[1]" - } - ], - "prose": "schedules maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(a)[2]" - } - ], - "prose": "performs maintenance and repairs on information system components in accordance\n with:", - "parts": [ - { - "id": "ma-2.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(a)[3]" - } - ], - "prose": "documents maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(a)[4]" - } - ], - "prose": "reviews records of maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][b]" - } - ], - "prose": "organizational requirements;" - } - ] - } - ] - }, - { - "id": "ma-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(b)" - } - ], - "parts": [ - { - "id": "ma-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(b)[1]" - } - ], - "prose": "approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - }, - { - "id": "ma-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(b)[2]" - } - ], - "prose": "monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - } - ] - }, - { - "id": "ma-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(c)" - } - ], - "parts": [ - { - "id": "ma-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(c)[1]" - } - ], - "prose": "defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(c)[2]" - } - ], - "prose": "requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;" - } - ] - }, - { - "id": "ma-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(d)" - } - ], - "prose": "sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(e)" - } - ], - "prose": "checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;" - }, - { - "id": "ma-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(f)" - } - ], - "parts": [ - { - "id": "ma-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(f)[1]" - } - ], - "prose": "defines maintenance-related information to be included in organizational\n maintenance records; and" - }, - { - "id": "ma-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(f)[2]" - } - ], - "prose": "includes organization-defined maintenance-related information in organizational\n maintenance records." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components" - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MA-4" - }, - { - "name": "sort-id", - "value": "ma-04" - } - ], - "links": [ - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#f2dbd4ec-c413-4714-b85b-6b7184d1c195", - "rel": "reference", - "text": "FIPS Publication 197" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a4aa9645-9a8a-4b51-90a9-e223250f9a75", - "rel": "reference", - "text": "CNSS Policy 15" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approves and monitors nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintains records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminates session and network connections when nonlocal maintenance is\n completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "ma-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(a)" - } - ], - "parts": [ - { - "id": "ma-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(a)[1]" - } - ], - "prose": "approves nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(a)[2]" - } - ], - "prose": "monitors nonlocal maintenance and diagnostic activities;" - } - ] - }, - { - "id": "ma-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(b)" - } - ], - "prose": "allows the use of nonlocal maintenance and diagnostic tools only:", - "parts": [ - { - "id": "ma-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[1]" - } - ], - "prose": "as consistent with organizational policy;" - }, - { - "id": "ma-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[2]" - } - ], - "prose": "as documented in the security plan for the information system;" - } - ] - }, - { - "id": "ma-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(c)" - } - ], - "prose": "employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(d)" - } - ], - "prose": "maintains records for nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(e)" - } - ], - "parts": [ - { - "id": "ma-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(e)[1]" - } - ], - "prose": "terminates sessions when nonlocal maintenance or diagnostics is completed;\n and" - }, - { - "id": "ma-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(e)[2]" - } - ], - "prose": "terminates network connections when nonlocal maintenance or diagnostics is\n completed." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections" - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "properties": [ - { - "name": "label", - "value": "MA-5" - }, - { - "name": "sort-id", - "value": "ma-05" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "ma-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(a)" - } - ], - "parts": [ - { - "id": "ma-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(a)[1]" - } - ], - "prose": "establishes a process for maintenance personnel authorization;" - }, - { - "id": "ma-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(a)[2]" - } - ], - "prose": "maintains a list of authorized maintenance organizations or personnel;" - } - ] - }, - { - "id": "ma-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(b)" - } - ], - "prose": "ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(c)" - } - ], - "prose": "designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel" - } - ] - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Media Protection Policy and Procedures", - "parameters": [ - { - "id": "mp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "mp-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MP-1" - }, - { - "name": "sort-id", - "value": "mp-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "mp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Media protection policy {{ mp-1_prm_2 }}; and" - }, - { - "id": "mp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Media protection procedures {{ mp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "mp-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "mp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(1)[1]" - } - ], - "prose": "develops and documents a media protection policy that addresses:", - "parts": [ - { - "id": "mp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "mp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "mp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "mp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "mp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "mp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "mp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "mp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the media protection policy is to be\n disseminated;" - }, - { - "id": "mp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-1(a)(1)[3]" - } - ], - "prose": "disseminates the media protection policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "mp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)" - } - ], - "parts": [ - { - "id": "mp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;" - }, - { - "id": "mp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "mp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "mp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(1)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n policy;" - }, - { - "id": "mp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current media protection policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "mp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(2)" - } - ], - "parts": [ - { - "id": "mp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n procedures; and" - }, - { - "id": "mp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current media protection procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Media protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "parameters": [ - { - "id": "mp-2_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-2" - }, - { - "name": "sort-id", - "value": "mp-02" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "mp-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-2[1]" - } - ], - "prose": "defines types of digital and/or non-digital media requiring restricted access;" - }, - { - "id": "mp-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-2[2]" - } - ], - "prose": "defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and" - }, - { - "id": "mp-2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-2[3]" - } - ], - "prose": "restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions" - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "parameters": [ - { - "id": "mp-6_prm_1", - "label": "organization-defined information system media" - }, - { - "id": "mp-6_prm_2", - "label": "organization-defined sanitization techniques and procedures" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-6" - }, - { - "name": "sort-id", - "value": "mp-06" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a47466c4-c837-4f06-a39f-e68412a5f73d", - "rel": "reference", - "text": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.", - "links": [ - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-4", - "rel": "related", - "text": "SC-4" - } - ] - }, - { - "id": "mp-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)" - } - ], - "parts": [ - { - "id": "mp-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(a)[1]" - } - ], - "prose": "defines information system media to be sanitized prior to:", - "parts": [ - { - "id": "mp-6.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(a)[2]" - } - ], - "prose": "defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:", - "parts": [ - { - "id": "mp-6.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(a)[3]" - } - ], - "prose": "sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and" - } - ] - }, - { - "id": "mp-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(b)" - } - ], - "prose": "employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "parameters": [ - { - "id": "mp-7_prm_1" - }, - { - "id": "mp-7_prm_2", - "label": "organization-defined types of information system media" - }, - { - "id": "mp-7_prm_3", - "label": "organization-defined information systems or system components" - }, - { - "id": "mp-7_prm_4", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-7" - }, - { - "name": "sort-id", - "value": "mp-07" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "prose": "The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}." - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "mp-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1]" - } - ], - "prose": "defines types of information system media to be:", - "parts": [ - { - "id": "mp-7_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][a]" - } - ], - "prose": "restricted on information systems or system components; or" - }, - { - "id": "mp-7_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][b]" - } - ], - "prose": "prohibited from use on information systems or system components;" - } - ] - }, - { - "id": "mp-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2]" - } - ], - "prose": "defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:", - "parts": [ - { - "id": "mp-7_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][a]" - } - ], - "prose": "restricted; or" - }, - { - "id": "mp-7_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][b]" - } - ], - "prose": "prohibited;" - } - ] - }, - { - "id": "mp-7_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-7[3]" - } - ], - "prose": "defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and" - }, - { - "id": "mp-7_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-7[4]" - } - ], - "prose": "restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components" - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Physical and Environmental Protection Policy and Procedures", - "parameters": [ - { - "id": "pe-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "pe-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-1" - }, - { - "name": "sort-id", - "value": "pe-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pe-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Physical and environmental protection policy {{ pe-1_prm_2 }};\n and" - }, - { - "id": "pe-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Physical and environmental protection procedures {{ pe-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pe-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pe-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(1)[1]" - } - ], - "prose": "develops and documents a physical and environmental protection policy that\n addresses:", - "parts": [ - { - "id": "pe-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pe-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pe-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pe-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pe-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pe-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pe-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pe-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;" - }, - { - "id": "pe-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-1(a)(1)[3]" - } - ], - "prose": "disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "pe-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)" - } - ], - "parts": [ - { - "id": "pe-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;" - }, - { - "id": "pe-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pe-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pe-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(1)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection policy;" - }, - { - "id": "pe-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "pe-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(2)" - } - ], - "parts": [ - { - "id": "pe-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection procedures; and" - }, - { - "id": "pe-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "parameters": [ - { - "id": "pe-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-2" - }, - { - "name": "sort-id", - "value": "pe-02" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issues authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.", - "links": [ - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "pe-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)" - } - ], - "parts": [ - { - "id": "pe-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-2(a)[1]" - } - ], - "prose": "develops a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(a)[2]" - } - ], - "prose": "approves a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-2(a)[3]" - } - ], - "prose": "maintains a list of individuals with authorized access to the facility where\n the information system resides;" - } - ] - }, - { - "id": "pe-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(b)" - } - ], - "prose": "issues authorization credentials for facility access;" - }, - { - "id": "pe-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(c)" - } - ], - "parts": [ - { - "id": "pe-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-2(c)[1]" - } - ], - "prose": "defines the frequency to review the access list detailing authorized facility\n access by individuals;" - }, - { - "id": "pe-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(c)[2]" - } - ], - "prose": "reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "pe-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(d)" - } - ], - "prose": "removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations" - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "parameters": [ - { - "id": "pe-3_prm_1", - "label": "organization-defined entry/exit points to the facility where the information\n system resides" - }, - { - "id": "pe-3_prm_2", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - { - "id": "pe-3_prm_3", - "depends-on": "pe-3_prm_2", - "label": "organization-defined physical access control systems/devices", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices" - } - ] - }, - { - "id": "pe-3_prm_4", - "label": "organization-defined entry/exit points" - }, - { - "id": "pe-3_prm_5", - "label": "organization-defined security safeguards" - }, - { - "id": "pe-3_prm_6", - "label": "organization-defined circumstances requiring visitor escorts and\n monitoring", - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - { - "id": "pe-3_prm_7", - "label": "organization-defined physical access devices" - }, - { - "id": "pe-3_prm_8", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "pe-3_prm_9", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-3" - }, - { - "name": "sort-id", - "value": "pe-03" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - }, - { - "href": "#398e33fd-f404-4e5c-b90e-2d50d3181244", - "rel": "reference", - "text": "ICD 705" - }, - { - "href": "#61081e7f-041d-4033-96a7-44a439071683", - "rel": "reference", - "text": "DoD Instruction 5200.39" - }, - { - "href": "#dd2f5acd-08f1-435a-9837-f8203088dc1a", - "rel": "reference", - "text": "Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces physical access authorizations at {{ pe-3_prm_1 }} by;", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Verifying individual access authorizations before granting access to the\n facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintains physical access audit logs for {{ pe-3_prm_4 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secures keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#pe-5", - "rel": "related", - "text": "PE-5" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "pe-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)" - } - ], - "parts": [ - { - "id": "pe-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(a)[1]" - } - ], - "prose": "defines entry/exit points to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2]" - } - ], - "prose": "enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:", - "parts": [ - { - "id": "pe-3.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](1)" - } - ], - "prose": "verifying individual access authorizations before granting access to the\n facility;" - }, - { - "id": "pe-3.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(a)[2](2)" - } - ], - "parts": [ - { - "id": "pe-3.a.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[a]" - } - ], - "prose": "defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b]" - } - ], - "prose": "using one or more of the following ways to control ingress/egress to the\n facility:", - "parts": [ - { - "id": "pe-3.a.2_obj.2.b.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][1]" - } - ], - "prose": "organization-defined physical access control systems/devices;\n and/or" - }, - { - "id": "pe-3.a.2_obj.2.b.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][2]" - } - ], - "prose": "guards;" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(b)" - } - ], - "parts": [ - { - "id": "pe-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(b)[1]" - } - ], - "prose": "defines entry/exit points for which physical access audit logs are to be\n maintained;" - }, - { - "id": "pe-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(b)[2]" - } - ], - "prose": "maintains physical access audit logs for organization-defined entry/exit\n points;" - } - ] - }, - { - "id": "pe-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(c)" - } - ], - "parts": [ - { - "id": "pe-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(c)[1]" - } - ], - "prose": "defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;" - }, - { - "id": "pe-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(c)[2]" - } - ], - "prose": "provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;" - } - ] - }, - { - "id": "pe-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)" - } - ], - "parts": [ - { - "id": "pe-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(d)[1]" - } - ], - "prose": "defines circumstances requiring visitor:", - "parts": [ - { - "id": "pe-3.d_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][a]" - } - ], - "prose": "escorts;" - }, - { - "id": "pe-3.d_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][b]" - } - ], - "prose": "monitoring;" - } - ] - }, - { - "id": "pe-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(d)[2]" - } - ], - "prose": "in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:", - "parts": [ - { - "id": "pe-3.d_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][a]" - } - ], - "prose": "escorts visitors;" - }, - { - "id": "pe-3.d_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][b]" - } - ], - "prose": "monitors visitor activities;" - } - ] - } - ] - }, - { - "id": "pe-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)" - } - ], - "parts": [ - { - "id": "pe-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[1]" - } - ], - "prose": "secures keys;" - }, - { - "id": "pe-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[2]" - } - ], - "prose": "secures combinations;" - }, - { - "id": "pe-3.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[3]" - } - ], - "prose": "secures other physical access devices;" - } - ] - }, - { - "id": "pe-3.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)" - } - ], - "parts": [ - { - "id": "pe-3.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(f)[1]" - } - ], - "prose": "defines physical access devices to be inventoried;" - }, - { - "id": "pe-3.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(f)[2]" - } - ], - "prose": "defines the frequency to inventory organization-defined physical access\n devices;" - }, - { - "id": "pe-3.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(f)[3]" - } - ], - "prose": "inventories the organization-defined physical access devices with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pe-3.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)" - } - ], - "parts": [ - { - "id": "pe-3.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(g)[1]" - } - ], - "prose": "defines the frequency to change combinations and keys; and" - }, - { - "id": "pe-3.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(g)[2]" - } - ], - "prose": "changes combinations and keys with the organization-defined frequency and/or\n when:", - "parts": [ - { - "id": "pe-3.g_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][a]" - } - ], - "prose": "keys are lost;" - }, - { - "id": "pe-3.g_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][b]" - } - ], - "prose": "combinations are compromised;" - }, - { - "id": "pe-3.g_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][c]" - } - ], - "prose": "individuals are transferred or terminated." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices" - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "parameters": [ - { - "id": "pe-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "pe-6_prm_2", - "label": "organization-defined events or potential indications of events" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-6" - }, - { - "name": "sort-id", - "value": "pe-06" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "pe-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(a)" - } - ], - "prose": "monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)" - } - ], - "parts": [ - { - "id": "pe-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(b)[1]" - } - ], - "prose": "defines the frequency to review physical access logs;" - }, - { - "id": "pe-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(b)[2]" - } - ], - "prose": "defines events or potential indication of events requiring physical access logs\n to be reviewed;" - }, - { - "id": "pe-6.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(b)[3]" - } - ], - "prose": "reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and" - } - ] - }, - { - "id": "pe-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-6(c)" - } - ], - "prose": "coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs" - } - ] - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "parameters": [ - { - "id": "pe-8_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - { - "id": "pe-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-8" - }, - { - "name": "sort-id", - "value": "pe-08" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews visitor access records {{ pe-8_prm_2 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas." - }, - { - "id": "pe-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(a)" - } - ], - "parts": [ - { - "id": "pe-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-8(a)[1]" - } - ], - "prose": "defines the time period to maintain visitor access records to the facility\n where the information system resides;" - }, - { - "id": "pe-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-8(a)[2]" - } - ], - "prose": "maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;" - } - ] - }, - { - "id": "pe-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(b)" - } - ], - "parts": [ - { - "id": "pe-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-8(b)[1]" - } - ], - "prose": "defines the frequency to review visitor access records; and" - }, - { - "id": "pe-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-8(b)[2]" - } - ], - "prose": "reviews visitor access records with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records" - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "properties": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "pe-12" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-12_obj", - "name": "objective", - "prose": "Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ", - "parts": [ - { - "id": "pe-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-12[1]" - } - ], - "prose": "activates in the event of a power outage or disruption; and" - }, - { - "id": "pe-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12[2]" - } - ], - "prose": "covers emergency exits and evacuation routes within the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency lighting\n capability" - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "properties": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "pe-13" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors." - }, - { - "id": "pe-13_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[1]" - } - ], - "prose": "employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and" - }, - { - "id": "pe-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[2]" - } - ], - "prose": "maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems" - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Temperature and Humidity Controls", - "parameters": [ - { - "id": "pe-14_prm_1", - "label": "organization-defined acceptable levels", - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - { - "id": "pe-14_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "continuously" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "pe-14" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitors temperature and humidity levels {{ pe-14_prm_2 }}." - }, - { - "id": "pe-14_fr", - "name": "item", - "title": "PE-14(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pe-14_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider measures temperature at server inlets and humidity levels by dew point." - } - ] - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-14_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)" - } - ], - "parts": [ - { - "id": "pe-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(a)[1]" - } - ], - "prose": "defines acceptable temperature levels to be maintained within the facility\n where the information system resides;" - }, - { - "id": "pe-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(a)[2]" - } - ], - "prose": "defines acceptable humidity levels to be maintained within the facility where\n the information system resides;" - }, - { - "id": "pe-14.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(a)[3]" - } - ], - "prose": "maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;" - }, - { - "id": "pe-14.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(a)[4]" - } - ], - "prose": "maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;" - } - ] - }, - { - "id": "pe-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)" - } - ], - "parts": [ - { - "id": "pe-14.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(b)[1]" - } - ], - "prose": "defines the frequency to monitor temperature levels;" - }, - { - "id": "pe-14.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(b)[2]" - } - ], - "prose": "defines the frequency to monitor humidity levels;" - }, - { - "id": "pe-14.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(b)[3]" - } - ], - "prose": "monitors temperature levels with the organization-defined frequency; and" - }, - { - "id": "pe-14.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(b)[4]" - } - ], - "prose": "monitors humidity levels with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels" - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "properties": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "pe-15" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-15_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ", - "parts": [ - { - "id": "pe-15_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[1]" - } - ], - "prose": "accessible;" - }, - { - "id": "pe-15_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[2]" - } - ], - "prose": "working properly; and" - }, - { - "id": "pe-15_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[3]" - } - ], - "prose": "known to key personnel." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff" - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "parameters": [ - { - "id": "pe-16_prm_1", - "label": "organization-defined types of information system components", - "constraints": [ - { - "detail": "all information system components" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "pe-16" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "prose": "The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items." - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "pe-16_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-16[1]" - } - ], - "prose": "defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;" - }, - { - "id": "pe-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[2]" - } - ], - "prose": "authorizes organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[3]" - } - ], - "prose": "monitors organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[4]" - } - ], - "prose": "controls organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[5]" - } - ], - "prose": "authorizes organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.6", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[6]" - } - ], - "prose": "monitors organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.7", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[7]" - } - ], - "prose": "controls organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.8", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16[8]" - } - ], - "prose": "maintains records of information system components entering the facility; and" - }, - { - "id": "pe-16_obj.9", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16[9]" - } - ], - "prose": "maintains records of information system components exiting the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility" - } - ] - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Security Planning Policy and Procedures", - "parameters": [ - { - "id": "pl-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "pl-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-1" - }, - { - "name": "sort-id", - "value": "pl-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pl-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security planning policy {{ pl-1_prm_2 }}; and" - }, - { - "id": "pl-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security planning procedures {{ pl-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pl-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pl-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(1)[1]" - } - ], - "prose": "develops and documents a planning policy that addresses:", - "parts": [ - { - "id": "pl-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pl-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pl-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pl-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pl-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pl-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pl-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pl-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the planning policy is to be\n disseminated;" - }, - { - "id": "pl-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-1(a)(1)[3]" - } - ], - "prose": "disseminates the planning policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "pl-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)" - } - ], - "parts": [ - { - "id": "pl-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;" - }, - { - "id": "pl-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pl-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pl-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(1)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning policy;" - }, - { - "id": "pl-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current planning policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(2)" - } - ], - "parts": [ - { - "id": "pl-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning procedures;\n and" - }, - { - "id": "pl-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current planning procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security Plan", - "parameters": [ - { - "id": "pl-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-2" - }, - { - "name": "sort-id", - "value": "pl-02" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "properties": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the security plan for the information system {{ pl-2_prm_2 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the security plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-7", - "rel": "related", - "text": "PL-7" - }, - { - "href": "#pm-1", - "rel": "related", - "text": "PM-1" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - } - ] - }, - { - "id": "pl-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)" - } - ], - "prose": "develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(1)" - } - ], - "prose": "is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(2)" - } - ], - "prose": "explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(3)" - } - ], - "prose": "describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(4)" - } - ], - "prose": "provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(5)" - } - ], - "prose": "describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(6)" - } - ], - "prose": "provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(7)" - } - ], - "prose": "identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(8)" - } - ], - "prose": "describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;" - }, - { - "id": "pl-2.a.9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(a)(9)" - } - ], - "prose": "is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(b)" - } - ], - "parts": [ - { - "id": "pl-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(b)[1]" - } - ], - "prose": "defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;" - }, - { - "id": "pl-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(b)[2]" - } - ], - "prose": "distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;" - } - ] - }, - { - "id": "pl-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(c)" - } - ], - "parts": [ - { - "id": "pl-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(c)[1]" - } - ], - "prose": "defines the frequency to review the security plan for the information\n system;" - }, - { - "id": "pl-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(c)[2]" - } - ], - "prose": "reviews the security plan for the information system with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(d)" - } - ], - "prose": "updates the plan to address:", - "parts": [ - { - "id": "pl-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[1]" - } - ], - "prose": "changes to the information system/environment of operation;" - }, - { - "id": "pl-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[2]" - } - ], - "prose": "problems identified during plan implementation;" - }, - { - "id": "pl-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[3]" - } - ], - "prose": "problems identified during security control assessments;" - } - ] - }, - { - "id": "pl-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(e)" - } - ], - "prose": "protects the security plan from unauthorized:", - "parts": [ - { - "id": "pl-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[1]" - } - ], - "prose": "disclosure; and" - }, - { - "id": "pl-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[2]" - } - ], - "prose": "modification." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan" - } - ] - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "parameters": [ - { - "id": "pl-4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "At least every 3 years" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PL-4" - }, - { - "name": "sort-id", - "value": "pl-04" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#mp-7", - "rel": "related", - "text": "MP-7" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "pl-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(a)" - } - ], - "parts": [ - { - "id": "pl-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-4(a)[1]" - } - ], - "prose": "establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;" - }, - { - "id": "pl-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(a)[2]" - } - ], - "prose": "makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;" - } - ] - }, - { - "id": "pl-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(b)" - } - ], - "prose": "receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(c)" - } - ], - "parts": [ - { - "id": "pl-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-4(c)[1]" - } - ], - "prose": "defines the frequency to review and update the rules of behavior;" - }, - { - "id": "pl-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(c)[2]" - } - ], - "prose": "reviews and updates the rules of behavior with the organization-defined\n frequency; and" - } - ] - }, - { - "id": "pl-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(d)" - } - ], - "prose": "requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior" - } - ] - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Personnel Security Policy and Procedures", - "parameters": [ - { - "id": "ps-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ps-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-1" - }, - { - "name": "sort-id", - "value": "ps-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ps-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Personnel security policy {{ ps-1_prm_2 }}; and" - }, - { - "id": "ps-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Personnel security procedures {{ ps-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ps-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(1)[1]" - } - ], - "prose": "develops and documents an personnel security policy that addresses:", - "parts": [ - { - "id": "ps-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ps-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ps-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ps-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ps-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ps-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ps-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ps-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the personnel security policy is to be\n disseminated;" - }, - { - "id": "ps-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-1(a)(1)[3]" - } - ], - "prose": "disseminates the personnel security policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ps-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)" - } - ], - "parts": [ - { - "id": "ps-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;" - }, - { - "id": "ps-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ps-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ps-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(1)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n policy;" - }, - { - "id": "ps-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current personnel security policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ps-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(2)" - } - ], - "parts": [ - { - "id": "ps-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n procedures; and" - }, - { - "id": "ps-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current personnel security procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "parameters": [ - { - "id": "ps-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three years" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-2" - }, - { - "name": "sort-id", - "value": "ps-02" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates position risk designations {{ ps-2_prm_1 }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "ps-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-2(a)" - } - ], - "prose": "assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-2(b)" - } - ], - "prose": "establishes screening criteria for individuals filling those positions;" - }, - { - "id": "ps-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(c)" - } - ], - "parts": [ - { - "id": "ps-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-2(c)[1]" - } - ], - "prose": "defines the frequency to review and update position risk designations; and" - }, - { - "id": "ps-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-2(c)[2]" - } - ], - "prose": "reviews and updates position risk designations with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria" - } - ] - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "parameters": [ - { - "id": "ps-3_prm_1", - "label": "organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening", - "constraints": [ - { - "detail": "For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions." - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-3" - }, - { - "name": "sort-id", - "value": "ps-03" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screens individuals prior to authorizing access to the information system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreens individuals according to {{ ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "ps-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-3(a)" - } - ], - "prose": "screens individuals prior to authorizing access to the information system;" - }, - { - "id": "ps-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)" - } - ], - "parts": [ - { - "id": "ps-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(b)[1]" - } - ], - "prose": "defines conditions requiring re-screening;" - }, - { - "id": "ps-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(b)[2]" - } - ], - "prose": "defines the frequency of re-screening where it is so indicated; and" - }, - { - "id": "ps-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(b)[3]" - } - ], - "prose": "re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel screening" - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "parameters": [ - { - "id": "ps-4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "same day" - } - ] - }, - { - "id": "ps-4_prm_2", - "label": "organization-defined information security topics" - }, - { - "id": "ps-4_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-4_prm_4", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-4" - }, - { - "name": "sort-id", - "value": "ps-04" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "The organization, upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disables information system access within {{ ps-4_prm_1 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retains access to organizational information and information systems formerly\n controlled by terminated individual; and" - }, - { - "id": "ps-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-4_obj", - "name": "objective", - "prose": "Determine if the organization, upon termination of individual employment,:", - "parts": [ - { - "id": "ps-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(a)" - } - ], - "parts": [ - { - "id": "ps-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(a)[1]" - } - ], - "prose": "defines a time period within which to disable information system access;" - }, - { - "id": "ps-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(a)[2]" - } - ], - "prose": "disables information system access within the organization-defined time\n period;" - } - ] - }, - { - "id": "ps-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(b)" - } - ], - "prose": "terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(c)" - } - ], - "parts": [ - { - "id": "ps-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(c)[1]" - } - ], - "prose": "defines information security topics to be discussed when conducting exit\n interviews;" - }, - { - "id": "ps-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(c)[2]" - } - ], - "prose": "conducts exit interviews that include a discussion of organization-defined\n information security topics;" - } - ] - }, - { - "id": "ps-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(d)" - } - ], - "prose": "retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(e)" - } - ], - "prose": "retains access to organizational information and information systems formerly\n controlled by the terminated individual;" - }, - { - "id": "ps-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)" - } - ], - "parts": [ - { - "id": "ps-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(f)[1]" - } - ], - "prose": "defines personnel or roles to be notified of the termination;" - }, - { - "id": "ps-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(f)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles; and" - }, - { - "id": "ps-4.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(f)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "parameters": [ - { - "id": "ps-5_prm_1", - "label": "organization-defined transfer or reassignment actions" - }, - { - "id": "ps-5_prm_2", - "label": "organization-defined time period following the formal transfer action" - }, - { - "id": "ps-5_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-5_prm_4", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "five days of the time period following the formal transfer action (DoD 24 hours)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-5" - }, - { - "name": "sort-id", - "value": "ps-05" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - } - ] - }, - { - "id": "ps-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(a)" - } - ], - "prose": "when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:", - "parts": [ - { - "id": "ps-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-5(a)[1]" - } - ], - "prose": "logical access authorizations to information systems;" - }, - { - "id": "ps-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-5(a)[2]" - } - ], - "prose": "physical access authorizations to information systems and facilities;" - } - ] - }, - { - "id": "ps-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)" - } - ], - "parts": [ - { - "id": "ps-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(b)[1]" - } - ], - "prose": "defines transfer or reassignment actions to be initiated following transfer or\n reassignment;" - }, - { - "id": "ps-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(b)[2]" - } - ], - "prose": "defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;" - }, - { - "id": "ps-5.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(b)[3]" - } - ], - "prose": "initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;" - } - ] - }, - { - "id": "ps-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(c)" - } - ], - "prose": "modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;" - }, - { - "id": "ps-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)" - } - ], - "parts": [ - { - "id": "ps-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;" - }, - { - "id": "ps-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(d)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and" - }, - { - "id": "ps-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(d)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "parameters": [ - { - "id": "ps-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ps-6_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-6" - }, - { - "name": "sort-id", - "value": "ps-06" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the access agreements {{ ps-6_prm_1 }}; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that individuals requiring access to organizational information and\n information systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - } - ] - }, - { - "id": "ps-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(a)" - } - ], - "prose": "develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(b)" - } - ], - "parts": [ - { - "id": "ps-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(b)[1]" - } - ], - "prose": "defines the frequency to review and update the access agreements;" - }, - { - "id": "ps-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(b)[2]" - } - ], - "prose": "reviews and updates the access agreements with the organization-defined\n frequency;" - } - ] - }, - { - "id": "ps-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)" - } - ], - "parts": [ - { - "id": "ps-6.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-6(c)(1)" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;" - }, - { - "id": "ps-6.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(2)" - } - ], - "parts": [ - { - "id": "ps-6.c.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(c)(2)[1]" - } - ], - "prose": "defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;" - }, - { - "id": "ps-6.c.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-6(c)(2)[2]" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements" - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "Third-party Personnel Security", - "parameters": [ - { - "id": "ps-7_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-7_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "organization-defined time period - same day" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-7" - }, - { - "name": "sort-id", - "value": "ps-07" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitors provider compliance." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.", - "links": [ - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sa-21", - "rel": "related", - "text": "SA-21" - } - ] - }, - { - "id": "ps-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(a)" - } - ], - "prose": "establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;" - }, - { - "id": "ps-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-7(b)" - } - ], - "prose": "requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(c)" - } - ], - "prose": "documents personnel security requirements;" - }, - { - "id": "ps-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)" - } - ], - "parts": [ - { - "id": "ps-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[2]" - } - ], - "prose": "defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[3]" - } - ], - "prose": "requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and" - } - ] - }, - { - "id": "ps-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-7(e)" - } - ], - "prose": "monitors provider compliance." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance" - } - ] - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "parameters": [ - { - "id": "ps-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-8_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-8" - }, - { - "name": "sort-id", - "value": "ps-08" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(a)" - } - ], - "prose": "employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;" - }, - { - "id": "ps-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)" - } - ], - "parts": [ - { - "id": "ps-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(b)[1]" - } - ], - "prose": "defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;" - }, - { - "id": "ps-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(b)[2]" - } - ], - "prose": "defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and" - }, - { - "id": "ps-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-8(b)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Risk Assessment Policy and Procedures", - "parameters": [ - { - "id": "ra-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ra-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-1" - }, - { - "name": "sort-id", - "value": "ra-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ra-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Risk assessment policy {{ ra-1_prm_2 }}; and" - }, - { - "id": "ra-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Risk assessment procedures {{ ra-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a risk assessment policy that addresses:", - "parts": [ - { - "id": "ra-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ra-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ra-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ra-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ra-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ra-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ra-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ra-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the risk assessment policy is to be\n disseminated;" - }, - { - "id": "ra-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-1(a)(1)[3]" - } - ], - "prose": "disseminates the risk assessment policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ra-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;" - }, - { - "id": "ra-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ra-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ra-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n policy;" - }, - { - "id": "ra-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current risk assessment policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ra-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ra-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n procedures; and" - }, - { - "id": "ra-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current risk assessment procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "risk assessment policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "properties": [ - { - "name": "label", - "value": "RA-2" - }, - { - "name": "sort-id", - "value": "ra-02" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "ra-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-2(a)" - } - ], - "prose": "categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-2(b)" - } - ], - "prose": "documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-2(c)" - } - ], - "prose": "ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "parameters": [ - { - "id": "ra-3_prm_1" - }, - { - "id": "ra-3_prm_2", - "depends-on": "ra-3_prm_1", - "label": "organization-defined document", - "constraints": [ - { - "detail": "security assessment report" - } - ] - }, - { - "id": "ra-3_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - { - "id": "ra-3_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-3_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "RA-3" - }, - { - "name": "sort-id", - "value": "ra-03" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;" - }, - { - "id": "ra-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents risk assessment results in {{ ra-3_prm_1 }};" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews risk assessment results {{ ra-3_prm_3 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Disseminates risk assessment results to {{ ra-3_prm_4 }}; and" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system." - }, - { - "id": "ra-3_fr", - "name": "item", - "title": "RA-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F" - }, - { - "id": "ra-3_fr_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "RA-3 (d) Requirement:" - } - ], - "prose": "Include all Authorizing Officials; for JAB authorizations to include FedRAMP." - } - ] - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.", - "links": [ - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(a)" - } - ], - "prose": "conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:", - "parts": [ - { - "id": "ra-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(a)[1]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(a)[2]" - } - ], - "prose": "the information the system processes, stores, or transmits;" - } - ] - }, - { - "id": "ra-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)" - } - ], - "parts": [ - { - "id": "ra-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(b)[1]" - } - ], - "prose": "defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);" - }, - { - "id": "ra-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(b)[2]" - } - ], - "prose": "documents risk assessment results in one of the following:", - "parts": [ - { - "id": "ra-3.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][a]" - } - ], - "prose": "the security plan;" - }, - { - "id": "ra-3.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][b]" - } - ], - "prose": "the risk assessment report; or" - }, - { - "id": "ra-3.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][c]" - } - ], - "prose": "the organization-defined document;" - } - ] - } - ] - }, - { - "id": "ra-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(c)" - } - ], - "parts": [ - { - "id": "ra-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(c)[1]" - } - ], - "prose": "defines the frequency to review risk assessment results;" - }, - { - "id": "ra-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(c)[2]" - } - ], - "prose": "reviews risk assessment results with the organization-defined frequency;" - } - ] - }, - { - "id": "ra-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(d)" - } - ], - "parts": [ - { - "id": "ra-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(d)[1]" - } - ], - "prose": "defines personnel or roles to whom risk assessment results are to be\n disseminated;" - }, - { - "id": "ra-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(d)[2]" - } - ], - "prose": "disseminates risk assessment results to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)" - } - ], - "parts": [ - { - "id": "ra-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(e)[1]" - } - ], - "prose": "defines the frequency to update the risk assessment;" - }, - { - "id": "ra-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(e)[2]" - } - ], - "prose": "updates the risk assessment:", - "parts": [ - { - "id": "ra-3.e_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][a]" - } - ], - "prose": "with the organization-defined frequency;" - }, - { - "id": "ra-3.e_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][b]" - } - ], - "prose": "whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and" - }, - { - "id": "ra-3.e_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][c]" - } - ], - "prose": "whenever there are other conditions that may impact the security state of\n the system." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Scanning", - "parameters": [ - { - "id": "ra-5_prm_1", - "label": "organization-defined frequency and/or randomly in accordance with\n organization-defined process", - "constraints": [ - { - "detail": "monthly operating system/infrastructure; monthly web applications and databases" - } - ] - }, - { - "id": "ra-5_prm_2", - "label": "organization-defined response times", - "constraints": [ - { - "detail": "[high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery." - } - ] - }, - { - "id": "ra-5_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5" - }, - { - "name": "sort-id", - "value": "ra-05" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#15522e92-9192-463d-9646-6a01982db8ca", - "rel": "reference", - "text": "http://cwe.mitre.org" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;" - }, - { - "id": "ra-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyzes vulnerability scan reports and results from security control\n assessments;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - }, - { - "id": "ra-5_fr_smt.a", - "name": "item", - "title": "RA-5(a) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (a)Requirement:" - } - ], - "prose": "An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually." - }, - { - "id": "ra-5_fr_smt.e", - "name": "item", - "title": "RA-5(e) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (e)Requirement:" - } - ], - "prose": "To include all Authorizing Officials; for JAB authorizations to include FedRAMP." - }, - { - "id": "ra-5_fr", - "name": "item", - "title": "RA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))" - } - ] - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ra-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(a)[1]" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][a]" - } - ], - "prose": "defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or" - }, - { - "id": "ra-5.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][b]" - } - ], - "prose": "defines the process for conducting random vulnerability scans on the\n information system and hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(a)[2]" - } - ], - "prose": "in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][b]" - } - ], - "prose": "hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(a)[3]" - } - ], - "prose": "when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][b]" - } - ], - "prose": "hosted applications;" - } - ] - } - ] - }, - { - "id": "ra-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)" - } - ], - "prose": "employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(1)" - } - ], - "parts": [ - { - "id": "ra-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[1]" - } - ], - "prose": "enumerating platforms;" - }, - { - "id": "ra-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[2]" - } - ], - "prose": "enumerating software flaws;" - }, - { - "id": "ra-5.b.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[3]" - } - ], - "prose": "enumerating improper configurations;" - } - ] - }, - { - "id": "ra-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(2)" - } - ], - "parts": [ - { - "id": "ra-5.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[1]" - } - ], - "prose": "formatting checklists;" - }, - { - "id": "ra-5.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[2]" - } - ], - "prose": "formatting test procedures;" - } - ] - }, - { - "id": "ra-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(3)" - } - ], - "prose": "measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(c)" - } - ], - "parts": [ - { - "id": "ra-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(c)[1]" - } - ], - "prose": "analyzes vulnerability scan reports;" - }, - { - "id": "ra-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(c)[2]" - } - ], - "prose": "analyzes results from security control assessments;" - } - ] - }, - { - "id": "ra-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(d)" - } - ], - "parts": [ - { - "id": "ra-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(d)[1]" - } - ], - "prose": "defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;" - }, - { - "id": "ra-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(d)[2]" - } - ], - "prose": "remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;" - } - ] - }, - { - "id": "ra-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)" - } - ], - "parts": [ - { - "id": "ra-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(e)[1]" - } - ], - "prose": "defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;" - }, - { - "id": "ra-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(e)[2]" - } - ], - "prose": "shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and" - }, - { - "id": "ra-5.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(e)[3]" - } - ], - "prose": "shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing" - } - ] - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "System and Services Acquisition Policy and Procedures", - "parameters": [ - { - "id": "sa-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "sa-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SA-1" - }, - { - "name": "sort-id", - "value": "sa-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sa-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and services acquisition policy {{ sa-1_prm_2 }}; and" - }, - { - "id": "sa-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and services acquisition procedures {{ sa-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sa-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and services acquisition policy that\n addresses:", - "parts": [ - { - "id": "sa-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sa-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sa-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sa-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sa-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sa-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sa-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sa-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;" - }, - { - "id": "sa-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and services acquisition policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sa-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)" - } - ], - "parts": [ - { - "id": "sa-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;" - }, - { - "id": "sa-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sa-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sa-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(1)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition policy;" - }, - { - "id": "sa-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "sa-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(2)" - } - ], - "parts": [ - { - "id": "sa-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition procedures; and" - }, - { - "id": "sa-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "properties": [ - { - "name": "label", - "value": "SA-2" - }, - { - "name": "sort-id", - "value": "sa-02" - } - ], - "links": [ - { - "href": "#29fcfe59-33cd-494a-8756-5907ae3a8f92", - "rel": "reference", - "text": "NIST Special Publication 800-65" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.", - "links": [ - { - "href": "#pm-3", - "rel": "related", - "text": "PM-3" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "sa-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-2(a)" - } - ], - "prose": "determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-2(b)" - } - ], - "prose": "to protect the information system or information system service as part of its\n capital planning and investment control process:", - "parts": [ - { - "id": "sa-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[1]" - } - ], - "prose": "determines the resources required;" - }, - { - "id": "sa-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[2]" - } - ], - "prose": "documents the resources required;" - }, - { - "id": "sa-2.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[3]" - } - ], - "prose": "allocates the resources required; and" - } - ] - }, - { - "id": "sa-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-2(c)" - } - ], - "prose": "establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting" - } - ] - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "parameters": [ - { - "id": "sa-3_prm_1", - "label": "organization-defined system development life cycle" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-3" - }, - { - "name": "sort-id", - "value": "sa-03" - } - ], - "links": [ - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - } - ] - }, - { - "id": "sa-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(a)" - } - ], - "parts": [ - { - "id": "sa-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(a)[1]" - } - ], - "prose": "defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;" - }, - { - "id": "sa-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-3(a)[2]" - } - ], - "prose": "manages the information system using the organization-defined system\n development life cycle;" - } - ] - }, - { - "id": "sa-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(b)" - } - ], - "prose": "defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(c)" - } - ], - "prose": "identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-3(d)" - } - ], - "prose": "integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC" - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "properties": [ - { - "name": "label", - "value": "SA-4" - }, - { - "name": "sort-id", - "value": "sa-04" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#1737a687-52fb-4008-b900-cbfa836f7b65", - "rel": "reference", - "text": "ISO/IEC 15408" - }, - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#0a5db899-f033-467f-8631-f5a8ba971475", - "rel": "reference", - "text": "NIST Special Publication 800-23" - }, - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - }, - { - "href": "#d818efd3-db31-4953-8afa-9e76afe83ce2", - "rel": "reference", - "text": "NIST Special Publication 800-36" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#56d671da-6b7b-4abf-8296-84b61980390a", - "rel": "reference", - "text": "Federal Acquisition Regulation" - }, - { - "href": "#c95a9986-3cd6-4a98-931b-ccfc56cb11e5", - "rel": "reference", - "text": "http://www.niap-ccevs.org" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - }, - { - "href": "#bbd50dd1-54ce-4432-959d-63ea564b1bb4", - "rel": "reference", - "text": "http://www.acquisition.gov/far" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Security strength requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Security-related documentation requirements;" - }, - { - "id": "sa-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requirements for protecting security-related documentation;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Description of the information system development environment and environment in\n which the system is intended to operate; and" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Acceptance criteria." - }, - { - "id": "sa-4_fr", - "name": "item", - "title": "SA-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html)." - } - ] - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "sa-4_obj", - "name": "objective", - "prose": "Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:", - "parts": [ - { - "id": "sa-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(a)" - } - ], - "prose": "security functional requirements;" - }, - { - "id": "sa-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(b)" - } - ], - "prose": "security strength requirements;" - }, - { - "id": "sa-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(c)" - } - ], - "prose": "security assurance requirements;" - }, - { - "id": "sa-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(d)" - } - ], - "prose": "security-related documentation requirements;" - }, - { - "id": "sa-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(e)" - } - ], - "prose": "requirements for protecting security-related documentation;" - }, - { - "id": "sa-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)" - } - ], - "prose": "description of:", - "parts": [ - { - "id": "sa-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[1]" - } - ], - "prose": "the information system development environment;" - }, - { - "id": "sa-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[2]" - } - ], - "prose": "the environment in which the system is intended to operate; and" - } - ] - }, - { - "id": "sa-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(g)" - } - ], - "prose": "acceptance criteria." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts" - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "Information System Documentation", - "parameters": [ - { - "id": "sa-5_prm_1", - "label": "organization-defined actions" - }, - { - "id": "sa-5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-5" - }, - { - "name": "sort-id", - "value": "sa-05" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or\n service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Effective use and maintenance of security functions/mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects documentation as required, in accordance with the risk management\n strategy; and" - }, - { - "id": "sa-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Distributes documentation to {{ sa-5_prm_2 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "sa-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(a)" - } - ], - "prose": "obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)" - } - ], - "parts": [ - { - "id": "sa-5.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[1]" - } - ], - "prose": "secure configuration of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[2]" - } - ], - "prose": "secure installation of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[3]" - } - ], - "prose": "secure operation of the system, system component, or service;" - } - ] - }, - { - "id": "sa-5.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)" - } - ], - "parts": [ - { - "id": "sa-5.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[1]" - } - ], - "prose": "effective use of the security features/mechanisms;" - }, - { - "id": "sa-5.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[2]" - } - ], - "prose": "effective maintenance of the security features/mechanisms;" - } - ] - }, - { - "id": "sa-5.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(3)" - } - ], - "prose": "known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(b)" - } - ], - "prose": "obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)" - } - ], - "parts": [ - { - "id": "sa-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[1]" - } - ], - "prose": "user-accessible security functions/mechanisms;" - }, - { - "id": "sa-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[2]" - } - ], - "prose": "how to effectively use those functions/mechanisms;" - } - ] - }, - { - "id": "sa-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(2)" - } - ], - "prose": "methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;" - }, - { - "id": "sa-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(3)" - } - ], - "prose": "user responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)" - } - ], - "parts": [ - { - "id": "sa-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(c)[1]" - } - ], - "prose": "defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(c)[2]" - } - ], - "prose": "documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(c)[3]" - } - ], - "prose": "takes organization-defined actions in response;" - } - ] - }, - { - "id": "sa-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(d)" - } - ], - "prose": "protects documentation as required, in accordance with the risk management\n strategy;" - }, - { - "id": "sa-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(e)" - } - ], - "parts": [ - { - "id": "sa-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(e)[1]" - } - ], - "prose": "defines personnel or roles to whom documentation is to be distributed; and" - }, - { - "id": "sa-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(e)[2]" - } - ], - "prose": "distributes documentation to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation" - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External Information System Services", - "parameters": [ - { - "id": "sa-9_prm_1", - "label": "organization-defined security controls", - "constraints": [ - { - "detail": "FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system" - } - ] - }, - { - "id": "sa-9_prm_2", - "label": "organization-defined processes, methods, and techniques", - "constraints": [ - { - "detail": "Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9" - }, - { - "name": "sort-id", - "value": "sa-09" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis." - }, - { - "id": "sa-9_fr", - "name": "item", - "title": "SA-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-9_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide [https://www.FedRAMP.gov/documents](https://www.FedRAMP.gov/documents)\n " - }, - { - "id": "sa-9_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance" - } - ] - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.", - "links": [ - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ir-7", - "rel": "related", - "text": "IR-7" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - } - ] - }, - { - "id": "sa-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)" - } - ], - "parts": [ - { - "id": "sa-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[1]" - } - ], - "prose": "defines security controls to be employed by providers of external information\n system services;" - }, - { - "id": "sa-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[2]" - } - ], - "prose": "requires that providers of external information system services comply with\n organizational information security requirements;" - }, - { - "id": "sa-9.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[3]" - } - ], - "prose": "requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - } - ] - }, - { - "id": "sa-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(b)" - } - ], - "parts": [ - { - "id": "sa-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(b)[1]" - } - ], - "prose": "defines and documents government oversight with regard to external information\n system services;" - }, - { - "id": "sa-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(b)[2]" - } - ], - "prose": "defines and documents user roles and responsibilities with regard to external\n information system services;" - } - ] - }, - { - "id": "sa-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(c)" - } - ], - "parts": [ - { - "id": "sa-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(c)[1]" - } - ], - "prose": "defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and" - }, - { - "id": "sa-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(c)[2]" - } - ], - "prose": "employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis" - } - ] - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "System and Communications Protection Policy and Procedures", - "parameters": [ - { - "id": "sc-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "sc-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-1" - }, - { - "name": "sort-id", - "value": "sc-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sc-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and communications protection policy {{ sc-1_prm_2 }};\n and" - }, - { - "id": "sc-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and communications protection procedures {{ sc-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sc-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and communications protection policy that\n addresses:", - "parts": [ - { - "id": "sc-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sc-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sc-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sc-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sc-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sc-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sc-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sc-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;" - }, - { - "id": "sc-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and communications protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sc-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)" - } - ], - "parts": [ - { - "id": "sc-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;" - }, - { - "id": "sc-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sc-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sc-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(1)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection policy;" - }, - { - "id": "sc-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "sc-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(2)" - } - ], - "parts": [ - { - "id": "sc-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection procedures; and" - }, - { - "id": "sc-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial of Service Protection", - "parameters": [ - { - "id": "sc-5_prm_1", - "label": "organization-defined types of denial of service attacks or references to sources\n for such information" - }, - { - "id": "sc-5_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-5" - }, - { - "name": "sort-id", - "value": "sc-05" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "prose": "The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}." - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.", - "links": [ - { - "href": "#sc-6", - "rel": "related", - "text": "SC-6" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "sc-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[1]" - } - ], - "prose": "the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;" - }, - { - "id": "sc-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[2]" - } - ], - "prose": "the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and" - }, - { - "id": "sc-5_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[3]" - } - ], - "prose": "the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms protecting against or limiting the effects of denial of\n service attacks" - } - ] - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "parameters": [ - { - "id": "sc-7_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7" - }, - { - "name": "sort-id", - "value": "sc-07" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#756a8e86-57d5-4701-8382-f7a40439665a", - "rel": "reference", - "text": "NIST Special Publication 800-41" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.", - "links": [ - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "sc-7_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)" - } - ], - "parts": [ - { - "id": "sc-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[1]" - } - ], - "prose": "monitors communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[2]" - } - ], - "prose": "monitors communications at key internal boundaries within the system;" - }, - { - "id": "sc-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[3]" - } - ], - "prose": "controls communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[4]" - } - ], - "prose": "controls communications at key internal boundaries within the system;" - } - ] - }, - { - "id": "sc-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(b)" - } - ], - "prose": "implements subnetworks for publicly accessible system components that are\n either:", - "parts": [ - { - "id": "sc-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[1]" - } - ], - "prose": "physically separated from internal organizational networks; and/or" - }, - { - "id": "sc-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[2]" - } - ], - "prose": "logically separated from internal organizational networks; and" - } - ] - }, - { - "id": "sc-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(c)" - } - ], - "prose": "connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability" - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "parameters": [ - { - "id": "sc-12_prm_1", - "label": "organization-defined requirements for key generation, distribution, storage,\n access, and destruction" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "sc-12" - } - ], - "links": [ - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}.", - "parts": [ - { - "id": "sc-12_fr", - "name": "item", - "title": "SC-12 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Federally approved and validated cryptography." - } - ] - } - ] - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "sc-12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1]" - } - ], - "prose": "defines requirements for cryptographic key:", - "parts": [ - { - "id": "sc-12_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][a]" - } - ], - "prose": "generation;" - }, - { - "id": "sc-12_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][b]" - } - ], - "prose": "distribution;" - }, - { - "id": "sc-12_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][c]" - } - ], - "prose": "storage;" - }, - { - "id": "sc-12_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][d]" - } - ], - "prose": "access;" - }, - { - "id": "sc-12_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][e]" - } - ], - "prose": "destruction; and" - } - ] - }, - { - "id": "sc-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[2]" - } - ], - "prose": "establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management" - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "parameters": [ - { - "id": "sc-13_prm_1", - "label": "organization-defined cryptographic uses and type of cryptography required for\n each use", - "constraints": [ - { - "detail": "FIPS-validated or NSA-approved cryptography" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "sc-13" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#6a1041fc-054e-4230-946b-2e6f4f3731bb", - "rel": "reference", - "text": "http://csrc.nist.gov/cryptval" - }, - { - "href": "#9b97ed27-3dd6-4f9a-ade5-1b43e9669794", - "rel": "reference", - "text": "http://www.cnss.gov" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "prose": "The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards." - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-7", - "rel": "related", - "text": "IA-7" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sc-13_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13[1]" - } - ], - "prose": "the organization defines cryptographic uses; and" - }, - { - "id": "sc-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13[2]" - } - ], - "prose": "the organization defines the type of cryptography required for each use; and" - }, - { - "id": "sc-13_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-13[3]" - } - ], - "prose": "the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection" - } - ] - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices", - "parameters": [ - { - "id": "sc-15_prm_1", - "label": "organization-defined exceptions where remote activation is to be allowed", - "constraints": [ - { - "detail": "no exceptions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "sc-15" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides an explicit indication of use to users physically present at the\n devices." - }, - { - "id": "sc-15_fr", - "name": "item", - "title": "SC-15 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-15_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use." - } - ] - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.", - "links": [ - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - } - ] - }, - { - "id": "sc-15_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-15.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(a)" - } - ], - "parts": [ - { - "id": "sc-15.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(a)[1]" - } - ], - "prose": "the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;" - }, - { - "id": "sc-15.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(a)[2]" - } - ], - "prose": "the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and" - } - ] - }, - { - "id": "sc-15.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(b)" - } - ], - "prose": "the information system provides an explicit indication of use to users physically\n present at the devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices" - } - ] - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (authoritative Source)", - "properties": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "sc-20" - } - ], - "links": [ - { - "href": "#28115a56-da6b-4d44-b1df-51dd7f048a3e", - "rel": "reference", - "text": "OMB Memorandum 08-23" - }, - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.", - "links": [ - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-20_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(a)" - } - ], - "prose": "provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;" - }, - { - "id": "sc-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(b)" - } - ], - "prose": "provides the means to, when operating as part of a distributed, hierarchical\n namespace:", - "parts": [ - { - "id": "sc-20.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[1]" - } - ], - "prose": "indicate the security status of child zones; and" - }, - { - "id": "sc-20.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[2]" - } - ], - "prose": "enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure name/address resolution\n service" - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (recursive or Caching Resolver)", - "properties": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "sc-21" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.", - "links": [ - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-21_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "sc-21_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21[1]" - } - ], - "prose": "requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21[2]" - } - ], - "prose": "requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21[3]" - } - ], - "prose": "performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and" - }, - { - "id": "sc-21_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21[4]" - } - ], - "prose": "performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name / Address Resolution Service", - "properties": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "sc-22" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).", - "links": [ - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "sc-22_obj", - "name": "objective", - "prose": "Determine if the information systems that collectively provide name/address\n resolution service for an organization: ", - "parts": [ - { - "id": "sc-22_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22[1]" - } - ], - "prose": "are fault tolerant; and" - }, - { - "id": "sc-22_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22[2]" - } - ], - "prose": "implement internal/external role separation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation" - } - ] - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "properties": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "sc-39" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "The information system maintains a separate execution domain for each executing\n process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-39_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system maintains a separate execution domain for each\n executing process." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system developers/integrators\\n\\ninformation system security architect" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process" - } - ] - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "System and Information Integrity Policy and Procedures", - "parameters": [ - { - "id": "si-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "si-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-1" - }, - { - "name": "sort-id", - "value": "si-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "si-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and information integrity policy {{ si-1_prm_2 }};\n and" - }, - { - "id": "si-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and information integrity procedures {{ si-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "si-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and information integrity policy that\n addresses:", - "parts": [ - { - "id": "si-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "si-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "si-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "si-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "si-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "si-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "si-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "si-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;" - }, - { - "id": "si-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and information integrity policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "si-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)" - } - ], - "parts": [ - { - "id": "si-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;" - }, - { - "id": "si-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "si-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "si-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(1)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity policy;" - }, - { - "id": "si-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "si-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(2)" - } - ], - "parts": [ - { - "id": "si-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity procedures; and" - }, - { - "id": "si-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "parameters": [ - { - "id": "si-2_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "within 30 days of release of updates" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-2" - }, - { - "name": "sort-id", - "value": "si-02" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies, reports, and corrects information system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "si-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)" - } - ], - "parts": [ - { - "id": "si-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[1]" - } - ], - "prose": "identifies information system flaws;" - }, - { - "id": "si-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[2]" - } - ], - "prose": "reports information system flaws;" - }, - { - "id": "si-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[3]" - } - ], - "prose": "corrects information system flaws;" - } - ] - }, - { - "id": "si-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(b)" - } - ], - "parts": [ - { - "id": "si-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(b)[1]" - } - ], - "prose": "tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - }, - { - "id": "si-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(b)[2]" - } - ], - "prose": "tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - } - ] - }, - { - "id": "si-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)" - } - ], - "parts": [ - { - "id": "si-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(c)[1]" - } - ], - "prose": "defines the time period within which to install security-relevant software\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(c)[2]" - } - ], - "prose": "defines the time period within which to install security-relevant firmware\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(c)[3]" - } - ], - "prose": "installs software updates within the organization-defined time period of the\n release of the updates;" - }, - { - "id": "si-2.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(c)[4]" - } - ], - "prose": "installs firmware updates within the organization-defined time period of the\n release of the updates; and" - } - ] - }, - { - "id": "si-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(d)" - } - ], - "prose": "incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates" - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "parameters": [ - { - "id": "si-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "si-3_prm_2", - "constraints": [ - { - "detail": "to include endpoints" - } - ] - }, - { - "id": "si-3_prm_3", - "constraints": [ - { - "detail": "to include alerting administrator or defined security personnel" - } - ] - }, - { - "id": "si-3_prm_4", - "depends-on": "si-3_prm_3", - "label": "organization-defined action" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-3" - }, - { - "name": "sort-id", - "value": "si-03" - } - ], - "links": [ - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "\n {{ si-3_prm_3 }} in response to malicious code detection;\n and" - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-13", - "rel": "related", - "text": "SA-13" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-44", - "rel": "related", - "text": "SC-44" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(a)" - } - ], - "prose": "employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:", - "parts": [ - { - "id": "si-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[1]" - } - ], - "prose": "entry points;" - }, - { - "id": "si-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[2]" - } - ], - "prose": "exit points;" - } - ] - }, - { - "id": "si-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(b)" - } - ], - "prose": "updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);" - }, - { - "id": "si-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)" - } - ], - "parts": [ - { - "id": "si-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-3(c)[1]" - } - ], - "prose": "defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;" - }, - { - "id": "si-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-3(c)[2]" - } - ], - "prose": "defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;" - }, - { - "id": "si-3.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(c)[3]" - } - ], - "parts": [ - { - "id": "si-3.c.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)" - } - ], - "prose": "configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3.c.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[a]" - } - ], - "prose": "perform periodic scans of the information system with the\n organization-defined frequency;" - }, - { - "id": "si-3.c.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[b]" - } - ], - "prose": "perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;" - } - ] - }, - { - "id": "si-3.c.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(c)[3](2)" - } - ], - "prose": "configures malicious code protection mechanisms to do one or more of the\n following:", - "parts": [ - { - "id": "si-3.c.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[a]" - } - ], - "prose": "block malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[b]" - } - ], - "prose": "quarantine malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[c]" - } - ], - "prose": "send alert to administrator in response to malicious code detection;\n and/or" - }, - { - "id": "si-3.c.2_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[d]" - } - ], - "prose": "initiate organization-defined action in response to malicious code\n detection;" - } - ] - } - ] - } - ] - }, - { - "id": "si-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(d)" - } - ], - "parts": [ - { - "id": "si-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(d)[1]" - } - ], - "prose": "addresses the receipt of false positives during malicious code detection and\n eradication; and" - }, - { - "id": "si-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(d)[2]" - } - ], - "prose": "addresses the resulting potential impact on the availability of the information\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions" - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "Information System Monitoring", - "parameters": [ - { - "id": "si-4_prm_1", - "label": "organization-defined monitoring objectives" - }, - { - "id": "si-4_prm_2", - "label": "organization-defined techniques and methods" - }, - { - "id": "si-4_prm_3", - "label": "organization-defined information system monitoring information" - }, - { - "id": "si-4_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4_prm_5" - }, - { - "id": "si-4_prm_6", - "depends-on": "si-4_prm_5", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4" - }, - { - "name": "sort-id", - "value": "si-04" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors the information system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifies unauthorized use of the information system through {{ si-4_prm_2 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Deploys monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Strategically within the information system to collect organization-determined\n essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}." - }, - { - "id": "si-4_fr", - "name": "item", - "title": "SI-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "si-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See US-CERT Incident Response Reporting Guidelines." - } - ] - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-35", - "rel": "related", - "text": "SC-35" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(a)(1)[1]" - } - ], - "prose": "defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;" - }, - { - "id": "si-4.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(a)(1)[2]" - } - ], - "prose": "monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:", - "parts": [ - { - "id": "si-4.a.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][a]" - } - ], - "prose": "attacks;" - }, - { - "id": "si-4.a.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][b]" - } - ], - "prose": "indicators of potential attacks;" - } - ] - } - ] - }, - { - "id": "si-4.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(a)(2)" - } - ], - "prose": "monitors the information system to detect unauthorized:", - "parts": [ - { - "id": "si-4.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[1]" - } - ], - "prose": "local connections;" - }, - { - "id": "si-4.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[2]" - } - ], - "prose": "network connections;" - }, - { - "id": "si-4.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[3]" - } - ], - "prose": "remote connections;" - } - ] - } - ] - }, - { - "id": "si-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(b)" - } - ], - "parts": [ - { - "id": "si-4.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(b)(1)" - } - ], - "prose": "defines techniques and methods to identify unauthorized use of the information\n system;" - }, - { - "id": "si-4.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(b)(2)" - } - ], - "prose": "identifies unauthorized use of the information system through\n organization-defined techniques and methods;" - } - ] - }, - { - "id": "si-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(c)" - } - ], - "prose": "deploys monitoring devices:", - "parts": [ - { - "id": "si-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[1]" - } - ], - "prose": "strategically within the information system to collect organization-determined\n essential information;" - }, - { - "id": "si-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[2]" - } - ], - "prose": "at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(d)" - } - ], - "prose": "protects information obtained from intrusion-monitoring tools from\n unauthorized:", - "parts": [ - { - "id": "si-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[1]" - } - ], - "prose": "access;" - }, - { - "id": "si-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[2]" - } - ], - "prose": "modification;" - }, - { - "id": "si-4.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[3]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "si-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(e)" - } - ], - "prose": "heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-4(f)" - } - ], - "prose": "obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;" - }, - { - "id": "si-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)" - } - ], - "parts": [ - { - "id": "si-4.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[1]" - } - ], - "prose": "defines personnel or roles to whom information system monitoring information is\n to be provided;" - }, - { - "id": "si-4.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[2]" - } - ], - "prose": "defines information system monitoring information to be provided to\n organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[3]" - } - ], - "prose": "defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(g)[4]" - } - ], - "prose": "provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:", - "parts": [ - { - "id": "si-4.g_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][a]" - } - ], - "prose": "as needed; and/or" - }, - { - "id": "si-4.g_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][b]" - } - ], - "prose": "with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability" - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "parameters": [ - { - "id": "si-5_prm_1", - "label": "organization-defined external organizations", - "constraints": [ - { - "detail": "to include US-CERT" - } - ] - }, - { - "id": "si-5_prm_2", - "constraints": [ - { - "detail": "to include system security personnel and administrators with configuration/patch-management responsibilities" - } - ] - }, - { - "id": "si-5_prm_3", - "depends-on": "si-5_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-5_prm_4", - "depends-on": "si-5_prm_2", - "label": "organization-defined elements within the organization" - }, - { - "id": "si-5_prm_5", - "depends-on": "si-5_prm_2", - "label": "organization-defined external organizations" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-5" - }, - { - "name": "sort-id", - "value": "si-05" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.", - "links": [ - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "si-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(a)" - } - ], - "parts": [ - { - "id": "si-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(a)[1]" - } - ], - "prose": "defines external organizations from whom information system security alerts,\n advisories and directives are to be received;" - }, - { - "id": "si-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(a)[2]" - } - ], - "prose": "receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;" - } - ] - }, - { - "id": "si-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(b)" - } - ], - "prose": "generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)" - } - ], - "parts": [ - { - "id": "si-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[1]" - } - ], - "prose": "defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;" - }, - { - "id": "si-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[2]" - } - ], - "prose": "defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;" - }, - { - "id": "si-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[3]" - } - ], - "prose": "defines external organizations to whom security alerts, advisories, and\n directives are to be provided;" - }, - { - "id": "si-5.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(c)[4]" - } - ], - "prose": "disseminates security alerts, advisories, and directives to one or more of the\n following:", - "parts": [ - { - "id": "si-5.c_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][a]" - } - ], - "prose": "organization-defined personnel or roles;" - }, - { - "id": "si-5.c_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][b]" - } - ], - "prose": "organization-defined elements within the organization; and/or" - }, - { - "id": "si-5.c_obj.4.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][c]" - } - ], - "prose": "organization-defined external organizations; and" - } - ] - } - ] - }, - { - "id": "si-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(d)" - } - ], - "parts": [ - { - "id": "si-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[1]" - } - ], - "prose": "implements security directives in accordance with established time frames;\n or" - }, - { - "id": "si-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[2]" - } - ], - "prose": "notifies the issuing organization of the degree of noncompliance." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives" - } - ] - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Handling and Retention", - "properties": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "si-12" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "The organization handles and retains information within the information system and\n information output from the system in accordance with applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and operational\n requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information handling and retention requirements cover the full life cycle of\n information, in some cases extending beyond the disposal of information systems. The\n National Archives and Records Administration provides guidance on records\n retention.", - "links": [ - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - } - ] - }, - { - "id": "si-12_obj", - "name": "objective", - "prose": "Determine if the organization, in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and operational\n requirements:", - "parts": [ - { - "id": "si-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12[1]" - } - ], - "prose": "handles information within the information system;" - }, - { - "id": "si-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[2]" - } - ], - "prose": "handles output from the information system;" - }, - { - "id": "si-12_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[3]" - } - ], - "prose": "retains information within the information system; and" - }, - { - "id": "si-12_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[4]" - } - ], - "prose": "retains output from the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nfederal laws, Executive Orders, directives, policies, regulations, standards, and\n operational requirements applicable to information handling and retention\\n\\nmedia protection policy and procedures\\n\\nprocedures addressing information system output handling and retention\\n\\ninformation retention records, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information handling and\n retention\\n\\norganizational personnel with information security responsibilities/network\n administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information handling and retention\\n\\nautomated mechanisms supporting and/or implementing information handling and\n retention" - } - ] - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "parameters": [ - { - "id": "si-16_prm_1", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "si-16" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "The information system implements {{ si-16_prm_1 }} to protect its\n memory from unauthorized code execution." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable\n regions of memory or in memory locations that are prohibited. Security safeguards\n employed to protect memory include, for example, data execution prevention and\n address space layout randomization. Data execution prevention safeguards can either\n be hardware-enforced or software-enforced with hardware providing the greater\n strength of mechanism.", - "links": [ - { - "href": "#ac-25", - "rel": "related", - "text": "AC-25" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "si-16_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-16[1]" - } - ], - "prose": "the organization defines security safeguards to be implemented to protect\n information system memory from unauthorized code execution; and" - }, - { - "id": "si-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-16[2]" - } - ], - "prose": "the information system implements organization-defined security safeguards to\n protect its memory from unauthorized code execution." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing memory protection for the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security safeguards protecting information system memory from unauthorized\n code execution\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for memory protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards to protect\n information system memory from unauthorized code execution" - } - ] - } - ] - } - ] - } - ], - "back-matter": { - "resources": [ - { - "uuid": "0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "title": "5 C.F.R. 731.106", - "citation": { - "text": "Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106,\n Designation of Public Trust Positions and Investigative Requirements (5 C.F.R.\n 731.106)." - }, - "rlinks": [ - { - "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html" - } - ] - }, - { - "uuid": "bb61234b-46c3-4211-8c2b-9869222a720d", - "title": "C.F.R. 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} - ] - }, - "ma-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "mp-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "mp-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "pe-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_2": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - "pe-3_prm_3": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices" - } - ] - }, - "pe-3_prm_6": { - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - "pe-3_prm_8": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_9": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-6_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-8_prm_1": { - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - "pe-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-14_prm_1": { - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - "pe-14_prm_2": { - "constraints": [ - { - "detail": "continuously" - } - ] - }, - "pe-16_prm_1": { - "constraints": [ - { - "detail": "all information system components" - } - ] - }, - "pl-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "pl-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pl-2_prm_2": { 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} - ] - }, - { - "position": "starting", - "id-ref": "au-5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-6", - "additions": [ - { - "position": "ending", - "id-ref": "au-6_smt", - "parts": [ - { - "id": "au-6_fr", - "name": "item", - "title": "AU-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "au-6", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-6.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "au-8", - "additions": [ - { - "position": "starting", - "id-ref": "au-8.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-9", - "additions": [ - { - "position": "starting", - "id-ref": "au-9.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-9.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-1", - "additions": [ - { - "position": "starting", - "id-ref": "ca-1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.a.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.a.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.a.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.a.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.a.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.a.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "ca-2", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2_smt", - "parts": [ - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-2.1", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2.1_smt", - "parts": [ - { - "id": "ca-2.1_fr", - "name": "item", - "title": "CA-2 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-3", - "additions": [ - { - "position": "starting", - "id-ref": "ca-3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-5", - "additions": [ - { - "position": "ending", - "id-ref": "ca-5_smt", - "parts": [ - { - "id": "ca-5_fr", - "name": "item", - "title": "CA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Plan of Action & Milestones (POA&M) must be provided at least monthly." - }, - { - "id": "ca-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-6", - "additions": [ - { - "position": "ending", - "id-ref": "ca-6_smt", - "parts": [ - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-7", - "additions": [ - { - "position": "ending", - "id-ref": "ca-7_smt", - "parts": [ - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually." - }, - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.e_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.e_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.f_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.f_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.g_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.g_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.g_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.g_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-9", - "additions": [ - { - "position": "starting", - "id-ref": "ca-9", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-9.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-9.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-9.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "cm-1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.a.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.a.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.a.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.a.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.a.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.a.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.b.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.b.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "cm-10", - "additions": [ - { - "position": "starting", - "id-ref": "cm-10.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-10.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-10.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-11", - "additions": [ - { - "position": "starting", - "id-ref": "cm-11.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-11.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-11.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-11.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-11.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-11.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-2", - "additions": [ - { - "position": "starting", - "id-ref": "cm-2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-4", - "additions": [ - { - "position": "starting", - "id-ref": "cm-4.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-6", - "additions": [ - { - "position": "ending", - "id-ref": "cm-6_smt", - "parts": [ - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.5", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7", - "additions": [ - { - "position": "ending", - "id-ref": "cm-7_smt", - "parts": [ - { - "id": "cm-7_fr", - "name": "item", - "title": "CM-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available." - }, - { - "id": "cm-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc)\n\t\t\t\t\t\t\tPartially derived from AC-17(8)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-8", - "additions": [ - { - "position": "ending", - "id-ref": "cm-8_smt", - "parts": [ - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.4_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.4_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-1", - "additions": [ - { - "position": "starting", - "id-ref": "cp-1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "cp-10", - "additions": [ - { - "position": "starting", - "id-ref": "cp-10_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-10.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-2", - "additions": [ - { - "position": "ending", - "id-ref": "cp-2_smt", - "parts": [ - { - "id": "cp-2_fr", - "name": "item", - "title": "CP-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-2 Requirement:" - } - ], - "prose": "For JAB authorizations the contingency lists include designated FedRAMP personnel." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.4_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.5_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.6_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.6_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.e_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.e_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.f_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.f_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.g_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-3", - "additions": [ - { - "position": "starting", - "id-ref": "cp-3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-3.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-3.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - 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"value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-4", - "additions": [ - { - "position": "ending", - "id-ref": "cp-4_smt", - "parts": [ - { - "id": "cp-4_fr", - "name": "item", - "title": "CP-4(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-4(a) Requirement:" - } - ], - "prose": "The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-9", - "additions": [ - { - "position": "ending", - "id-ref": "cp-9_smt", - "parts": [ - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.b_obj.2", - 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"class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-1", - "additions": [ - { - "position": "starting", - "id-ref": "ia-1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - 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} - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ia-4", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-4.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-4.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-4.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - 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"title": "NIST Special Publication (SP) 800-53", - "properties": [ - { - "name": "version", - "ns": "https://fedramp.gov/ns/oscal", - "value": "Revision 4" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "media-type": "application/xml" - } - ] - } - ] - } - } -} diff --git a/content/fedramp.gov/json/FedRAMP_MODERATE-baseline-resolved-profile_catalog-min.json b/content/fedramp.gov/json/FedRAMP_MODERATE-baseline-resolved-profile_catalog-min.json deleted file mode 100644 index 3f0ee626e8..0000000000 --- a/content/fedramp.gov/json/FedRAMP_MODERATE-baseline-resolved-profile_catalog-min.json +++ /dev/null @@ -1 +0,0 @@ -{"catalog":{"uuid":"c9301b61-9f2b-431e-9c7f-c8ffcd110388","metadata":{"title":"FedRAMP Moderate Baseline","published":"2020-06-01T00:00:00.000-04:00","last-modified":"2020-06-01T10:00:00.000-04:00","version":"1.2","oscal-version":"1.0.0-milestone3","properties":[{"name":"resolution-timestamp","value":"2020-08-31T17:38:53.967424Z"}],"links":[{"href":"FedRAMP_MODERATE-baseline_profile.xml","rel":"resolution-source","text":"FedRAMP Moderate Baseline"}],"roles":[{"id":"parpared-by","title":"Document creator"},{"id":"fedramp-pmo","title":"The FedRAMP Program Management Office (PMO)","short-name":"CSP"},{"id":"fedramp-jab","title":"The FedRAMP Joint Authorization Board (JAB)","short-name":"CSP"}],"parties":[{"uuid":"8cc0b8e5-9650-4d5f-9796-316f05fa9a2d","type":"organization","party-name":"Federal Risk and Authorization Management Program: Program Management Office","short-name":"FedRAMP PMO","links":[{"href":"https://fedramp.gov","rel":"homepage","text":""}],"addresses":[{"type":"work","postal-address":["1800 F St. NW",""],"city":"Washington","state":"DC","postal-code":"","country":"US"}],"email-addresses":["info@fedramp.gov"]},{"uuid":"ca9ba80e-1342-4bfd-b32a-abac468c24b4","type":"organization","party-name":"Federal Risk and Authorization Management Program: Joint Authorization Board","short-name":"FedRAMP JAB"}],"responsible-parties":{"prepared-by":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-pmo":{"party-uuids":["4aa7b203-318b-4cde-96cf-feaeffc3a4b7"]},"fedramp-jab":{"party-uuids":["ca9ba80e-1342-4bfd-b32a-abac468c24b4"]}}},"groups":[{"id":"ac","class":"family","title":"Access Control","controls":[{"id":"ac-1","class":"SP800-53","title":"Access Control Policy and Procedures","parameters":[{"id":"ac-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ac-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ac-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-1"},{"name":"sort-id","value":"ac-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ac-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ac-1_prm_1 }}:","parts":[{"id":"ac-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An access control policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ac-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the access control policy and\n associated access controls; and"}]},{"id":"ac-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ac-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Access control policy {{ ac-1_prm_2 }}; and"},{"id":"ac-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Access control procedures {{ ac-1_prm_3 }}."}]}]},{"id":"ac-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ac-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)"}],"parts":[{"id":"ac-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)"}],"parts":[{"id":"ac-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(1)[1]"}],"prose":"develops and documents an access control policy that addresses:","parts":[{"id":"ac-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ac-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ac-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ac-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ac-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ac-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ac-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ac-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the access control policy are to be\n disseminated;"},{"id":"ac-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-1(a)(1)[3]"}],"prose":"disseminates the access control policy to organization-defined personnel or\n roles;"}]},{"id":"ac-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(a)(2)"}],"parts":[{"id":"ac-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;"},{"id":"ac-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ac-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ac-1.b_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)"}],"parts":[{"id":"ac-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(1)"}],"parts":[{"id":"ac-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current access control\n policy;"},{"id":"ac-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(1)[2]"}],"prose":"reviews and updates the current access control policy with the\n organization-defined frequency;"}]},{"id":"ac-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AC-1(b)(2)"}],"parts":[{"id":"ac-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current access control\n procedures; and"},{"id":"ac-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-1(b)(2)[2]"}],"prose":"reviews and updates the current access control procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-2","class":"SP800-53","title":"Account Management","parameters":[{"id":"ac-2_prm_1","label":"organization-defined information system account types"},{"id":"ac-2_prm_2","label":"organization-defined personnel or roles"},{"id":"ac-2_prm_3","label":"organization-defined procedures or conditions"},{"id":"ac-2_prm_4","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2"},{"name":"sort-id","value":"ac-02"}],"parts":[{"id":"ac-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};"},{"id":"ac-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assigns account managers for information system accounts;"},{"id":"ac-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes conditions for group and role membership;"},{"id":"ac-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Specifies authorized users of the information system, group and role membership,\n and access authorizations (i.e., privileges) and other attributes (as required)\n for each account;"},{"id":"ac-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requires approvals by {{ ac-2_prm_2 }} for requests to create\n information system accounts;"},{"id":"ac-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};"},{"id":"ac-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Monitors the use of information system accounts;"},{"id":"ac-2_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Notifies account managers:","parts":[{"id":"ac-2_smt.h.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"When accounts are no longer required;"},{"id":"ac-2_smt.h.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"When users are terminated or transferred; and"},{"id":"ac-2_smt.h.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"When individual information system usage or need-to-know changes;"}]},{"id":"ac-2_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Authorizes access to the information system based on:","parts":[{"id":"ac-2_smt.i.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A valid access authorization;"},{"id":"ac-2_smt.i.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Intended system usage; and"},{"id":"ac-2_smt.i.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and"},{"id":"ac-2_smt.k","name":"item","properties":[{"name":"label","value":"k."}],"prose":"Establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"id":"ac-2_gdn","name":"guidance","prose":"Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-10","rel":"related","text":"AC-10"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.a_obj","name":"objective","properties":[{"name":"label","value":"AC-2(a)"}],"parts":[{"id":"ac-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(a)[1]"}],"prose":"defines information system account types to be identified and selected to\n support organizational missions/business functions;"},{"id":"ac-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-2(a)[2]"}],"prose":"identifies and selects organization-defined information system account types to\n support organizational missions/business functions;"}]},{"id":"ac-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-2(b)"}],"prose":"assigns account managers for information system accounts;"},{"id":"ac-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(c)"}],"prose":"establishes conditions for group and role membership;"},{"id":"ac-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(d)"}],"prose":"specifies for each account (as required):","parts":[{"id":"ac-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"AC-2(d)[1]"}],"prose":"authorized users of the information system;"},{"id":"ac-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"AC-2(d)[2]"}],"prose":"group and role membership;"},{"id":"ac-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"AC-2(d)[3]"}],"prose":"access authorizations (i.e., privileges);"},{"id":"ac-2.d_obj.4","name":"objective","properties":[{"name":"label","value":"AC-2(d)[4]"}],"prose":"other attributes;"}]},{"id":"ac-2.e_obj","name":"objective","properties":[{"name":"label","value":"AC-2(e)"}],"parts":[{"id":"ac-2.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(e)[1]"}],"prose":"defines personnel or roles required to approve requests to create information\n system accounts;"},{"id":"ac-2.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(e)[2]"}],"prose":"requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;"}]},{"id":"ac-2.f_obj","name":"objective","properties":[{"name":"label","value":"AC-2(f)"}],"parts":[{"id":"ac-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(f)[1]"}],"prose":"defines procedures or conditions to:","parts":[{"id":"ac-2.f_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][a]"}],"prose":"create information system accounts;"},{"id":"ac-2.f_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][b]"}],"prose":"enable information system accounts;"},{"id":"ac-2.f_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][c]"}],"prose":"modify information system accounts;"},{"id":"ac-2.f_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][d]"}],"prose":"disable information system accounts;"},{"id":"ac-2.f_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[1][e]"}],"prose":"remove information system accounts;"}]},{"id":"ac-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(f)[2]"}],"prose":"in accordance with organization-defined procedures or conditions:","parts":[{"id":"ac-2.f_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][a]"}],"prose":"creates information system accounts;"},{"id":"ac-2.f_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][b]"}],"prose":"enables information system accounts;"},{"id":"ac-2.f_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][c]"}],"prose":"modifies information system accounts;"},{"id":"ac-2.f_obj.2.d","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][d]"}],"prose":"disables information system accounts;"},{"id":"ac-2.f_obj.2.e","name":"objective","properties":[{"name":"label","value":"AC-2(f)[2][e]"}],"prose":"removes information system accounts;"}]}]},{"id":"ac-2.g_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(g)"}],"prose":"monitors the use of information system accounts;"},{"id":"ac-2.h_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(h)"}],"prose":"notifies account managers:","parts":[{"id":"ac-2.h.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(1)"}],"prose":"when accounts are no longer required;"},{"id":"ac-2.h.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(2)"}],"prose":"when users are terminated or transferred;"},{"id":"ac-2.h.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(h)(3)"}],"prose":"when individual information system usage or need to know changes;"}]},{"id":"ac-2.i_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(i)"}],"prose":"authorizes access to the information system based on;","parts":[{"id":"ac-2.i.1_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(1)"}],"prose":"a valid access authorization;"},{"id":"ac-2.i.2_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(2)"}],"prose":"intended system usage;"},{"id":"ac-2.i.3_obj","name":"objective","properties":[{"name":"label","value":"AC-2(i)(3)"}],"prose":"other attributes as required by the organization or associated\n missions/business functions;"}]},{"id":"ac-2.j_obj","name":"objective","properties":[{"name":"label","value":"AC-2(j)"}],"parts":[{"id":"ac-2.j_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(j)[1]"}],"prose":"defines the frequency to review accounts for compliance with account management\n requirements;"},{"id":"ac-2.j_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(j)[2]"}],"prose":"reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and"}]},{"id":"ac-2.k_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(k)"}],"prose":"establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management"}]}],"controls":[{"id":"ac-2.1","class":"SP800-53-enhancement","title":"Automated System Account Management","properties":[{"name":"label","value":"AC-2(1)"},{"name":"sort-id","value":"ac-02.01"}],"parts":[{"id":"ac-2.1_smt","name":"statement","prose":"The organization employs automated mechanisms to support the management of\n information system accounts."},{"id":"ac-2.1_gdn","name":"guidance","prose":"The use of automated mechanisms can include, for example: using email or text\n messaging to automatically notify account managers when users are terminated or\n transferred; using the information system to monitor account usage; and using\n telephonic notification to report atypical system account usage."},{"id":"ac-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to support the\n management of information system accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.2","class":"SP800-53-enhancement","title":"Removal of Temporary / Emergency Accounts","parameters":[{"id":"ac-2.2_prm_1"},{"id":"ac-2.2_prm_2","label":"organization-defined time period for each type of account","constraints":[{"detail":"no more than 30 days for temporary and emergency account types"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(2)"},{"name":"sort-id","value":"ac-02.02"}],"parts":[{"id":"ac-2.2_smt","name":"statement","prose":"The information system automatically {{ ac-2.2_prm_1 }} temporary\n and emergency accounts after {{ ac-2.2_prm_2 }}."},{"id":"ac-2.2_gdn","name":"guidance","prose":"This control enhancement requires the removal of both temporary and emergency\n accounts automatically after a predefined period of time has elapsed, rather than\n at the convenience of the systems administrator."},{"id":"ac-2.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(2)[1]"}],"prose":"the organization defines the time period after which the information system\n automatically removes or disables temporary and emergency accounts; and"},{"id":"ac-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(2)[2]"}],"prose":"the information system automatically removes or disables temporary and\n emergency accounts after the organization-defined time period for each type of\n account."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.3","class":"SP800-53-enhancement","title":"Disable Inactive Accounts","parameters":[{"id":"ac-2.3_prm_1","label":"organization-defined time period","constraints":[{"detail":"90 days for user accounts"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(3)"},{"name":"sort-id","value":"ac-02.03"}],"parts":[{"id":"ac-2.3_smt","name":"statement","prose":"The information system automatically disables inactive accounts after {{ ac-2.3_prm_1 }}."},{"id":"ac-2.3_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(3)[1]"}],"prose":"the organization defines the time period after which the information system\n automatically disables inactive accounts; and"},{"id":"ac-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(3)[2]"}],"prose":"the information system automatically disables inactive accounts after the\n organization-defined time period."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.4","class":"SP800-53-enhancement","title":"Automated Audit Actions","parameters":[{"id":"ac-2.4_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AC-2(4)"},{"name":"sort-id","value":"ac-02.04"}],"parts":[{"id":"ac-2.4_smt","name":"statement","prose":"The information system automatically audits account creation, modification,\n enabling, disabling, and removal actions, and notifies {{ ac-2.4_prm_1 }}."},{"id":"ac-2.4_gdn","name":"guidance","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"ac-2.4_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-2.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(4)[1]"}],"prose":"the information system automatically audits the following account actions:","parts":[{"id":"ac-2.4_obj.1.a","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][a]"}],"prose":"creation;"},{"id":"ac-2.4_obj.1.b","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][b]"}],"prose":"modification;"},{"id":"ac-2.4_obj.1.c","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][c]"}],"prose":"enabling;"},{"id":"ac-2.4_obj.1.d","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][d]"}],"prose":"disabling;"},{"id":"ac-2.4_obj.1.e","name":"objective","properties":[{"name":"label","value":"AC-2(4)[1][e]"}],"prose":"removal;"}]},{"id":"ac-2.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(4)[2]"}],"prose":"the organization defines personnel or roles to be notified of the following\n account actions:","parts":[{"id":"ac-2.4_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][a]"}],"prose":"creation;"},{"id":"ac-2.4_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][b]"}],"prose":"modification;"},{"id":"ac-2.4_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][c]"}],"prose":"enabling;"},{"id":"ac-2.4_obj.2.d","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][d]"}],"prose":"disabling;"},{"id":"ac-2.4_obj.2.e","name":"objective","properties":[{"name":"label","value":"AC-2(4)[2][e]"}],"prose":"removal;"}]},{"id":"ac-2.4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(4)[3]"}],"prose":"the information system notifies organization-defined personnel or roles of the\n following account actions:","parts":[{"id":"ac-2.4_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][a]"}],"prose":"creation;"},{"id":"ac-2.4_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][b]"}],"prose":"modification;"},{"id":"ac-2.4_obj.3.c","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][c]"}],"prose":"enabling;"},{"id":"ac-2.4_obj.3.d","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][d]"}],"prose":"disabling; and"},{"id":"ac-2.4_obj.3.e","name":"objective","properties":[{"name":"label","value":"AC-2(4)[3][e]"}],"prose":"removal."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nnotifications/alerts of account creation, modification, enabling, disabling,\n and removal actions\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.5","class":"SP800-53-enhancement","title":"Inactivity Logout","parameters":[{"id":"ac-2.5_prm_1","label":"organization-defined time-period of expected inactivity or description of when\n to log out"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(5)"},{"name":"sort-id","value":"ac-02.05"}],"parts":[{"id":"ac-2.5_smt","name":"statement","prose":"The organization requires that users log out when {{ ac-2.5_prm_1 }}.","parts":[{"id":"ac-2.5_fr","name":"item","title":"AC-2 (5) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Should use a shorter timeframe than AC-12."}]}]},{"id":"ac-2.5_gdn","name":"guidance","links":[{"href":"#sc-23","rel":"related","text":"SC-23"}]},{"id":"ac-2.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(5)[1]"}],"prose":"defines either the time period of expected inactivity that requires users to\n log out or the description of when users are required to log out; and"},{"id":"ac-2.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(5)[2]"}],"prose":"requires that users log out when the organization-defined time period of\n inactivity is reached or in accordance with organization-defined description of\n when to log out."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity violation reports\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nusers that must comply with inactivity logout policy"}]}]},{"id":"ac-2.7","class":"SP800-53-enhancement","title":"Role-based Schemes","parameters":[{"id":"ac-2.7_prm_1","label":"organization-defined actions"}],"properties":[{"name":"label","value":"AC-2(7)"},{"name":"sort-id","value":"ac-02.07"}],"parts":[{"id":"ac-2.7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2.7_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;"},{"id":"ac-2.7_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Monitors privileged role assignments; and"},{"id":"ac-2.7_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Takes {{ ac-2.7_prm_1 }} when privileged role assignments are no\n longer appropriate."}]},{"id":"ac-2.7_gdn","name":"guidance","prose":"Privileged roles are organization-defined roles assigned to individuals that allow\n those individuals to perform certain security-relevant functions that ordinary\n users are not authorized to perform. These privileged roles include, for example,\n key management, account management, network and system administration, database\n administration, and web administration."},{"id":"ac-2.7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(7)(a)"}],"prose":"establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;","links":[{"href":"#ac-2.7_smt.a","rel":"corresp","text":"AC-2(7)(a)"}]},{"id":"ac-2.7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(7)(b)"}],"prose":"monitors privileged role assignments;","links":[{"href":"#ac-2.7_smt.b","rel":"corresp","text":"AC-2(7)(b)"}]},{"id":"ac-2.7.c_obj","name":"objective","properties":[{"name":"label","value":"AC-2(7)(c)"}],"parts":[{"id":"ac-2.7.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(7)(c)[1]"}],"prose":"defines actions to be taken when privileged role assignments are no longer\n appropriate; and"},{"id":"ac-2.7.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(7)(c)[2]"}],"prose":"takes organization-defined actions when privileged role assignments are no\n longer appropriate."}],"links":[{"href":"#ac-2.7_smt.c","rel":"corresp","text":"AC-2(7)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of privileged user accounts and associated\n role\\n\\nrecords of actions taken when privileged role assignments are no longer\n appropriate\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\ninformation system monitoring records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions\\n\\nautomated mechanisms monitoring privileged role assignments"}]}]},{"id":"ac-2.9","class":"SP800-53-enhancement","title":"Restrictions On Use of Shared / Group Accounts","parameters":[{"id":"ac-2.9_prm_1","label":"organization-defined conditions for establishing shared/group accounts"}],"properties":[{"name":"label","value":"AC-2(9)"},{"name":"sort-id","value":"ac-02.09"}],"parts":[{"id":"ac-2.9_smt","name":"statement","prose":"The organization only permits the use of shared/group accounts that meet {{ ac-2.9_prm_1 }}.","parts":[{"id":"ac-2.9_fr","name":"item","title":"AC-2 (9) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.9_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Required if shared/group accounts are deployed"}]}]},{"id":"ac-2.9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.9_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(9)[1]"}],"prose":"defines conditions for establishing shared/group accounts; and"},{"id":"ac-2.9_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(9)[2]"}],"prose":"only permits the use of shared/group accounts that meet organization-defined\n conditions for establishing shared/group accounts."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of shared/group accounts and associated role\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing management of shared/group accounts"}]}]},{"id":"ac-2.10","class":"SP800-53-enhancement","title":"Shared / Group Account Credential Termination","properties":[{"name":"label","value":"AC-2(10)"},{"name":"sort-id","value":"ac-02.10"}],"parts":[{"id":"ac-2.10_smt","name":"statement","prose":"The information system terminates shared/group account credentials when members\n leave the group.","parts":[{"id":"ac-2.10_fr","name":"item","title":"AC-2 (10) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.10_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Required if shared/group accounts are deployed"}]}]},{"id":"ac-2.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system terminates shared/group account credentials\n when members leave the group."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naccount access termination records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]},{"id":"ac-2.12","class":"SP800-53-enhancement","title":"Account Monitoring / Atypical Usage","parameters":[{"id":"ac-2.12_prm_1","label":"organization-defined atypical usage"},{"id":"ac-2.12_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-2(12)"},{"name":"sort-id","value":"ac-02.12"}],"parts":[{"id":"ac-2.12_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-2.12_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Monitors information system accounts for {{ ac-2.12_prm_1 }};\n and"},{"id":"ac-2.12_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Reports atypical usage of information system accounts to {{ ac-2.12_prm_2 }}."},{"id":"ac-2.12_fr","name":"item","title":"AC-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(a) Guidance:"}],"prose":"Required for privileged accounts."},{"id":"ac-2.12_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"(b) Guidance:"}],"prose":"Required for privileged accounts."}]}]},{"id":"ac-2.12_gdn","name":"guidance","prose":"Atypical usage includes, for example, accessing information systems at certain\n times of the day and from locations that are not consistent with the normal usage\n patterns of individuals working in organizations.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"}]},{"id":"ac-2.12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-2.12.a_obj","name":"objective","properties":[{"name":"label","value":"AC-2(12)(a)"}],"parts":[{"id":"ac-2.12.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(12)(a)[1]"}],"prose":"defines atypical usage to be monitored for information system accounts;"},{"id":"ac-2.12.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(12)(a)[2]"}],"prose":"monitors information system accounts for organization-defined atypical\n usage;"}],"links":[{"href":"#ac-2.12_smt.a","rel":"corresp","text":"AC-2(12)(a)"}]},{"id":"ac-2.12.b_obj","name":"objective","properties":[{"name":"label","value":"AC-2(12)(b)"}],"parts":[{"id":"ac-2.12.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-2(12)(b)[1]"}],"prose":"defines personnel or roles to whom atypical usage of information system\n accounts are to be reported; and"},{"id":"ac-2.12.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-2(12)(b)[2]"}],"prose":"reports atypical usage of information system accounts to\n organization-defined personnel or roles."}],"links":[{"href":"#ac-2.12_smt.b","rel":"corresp","text":"AC-2(12)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing account management functions"}]}]}]},{"id":"ac-3","class":"SP800-53","title":"Access Enforcement","properties":[{"name":"label","value":"AC-3"},{"name":"sort-id","value":"ac-03"}],"parts":[{"id":"ac-3_smt","name":"statement","prose":"The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies."},{"id":"ac-3_gdn","name":"guidance","prose":"Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ac-21","rel":"related","text":"AC-21"},{"href":"#ac-22","rel":"related","text":"AC-22"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"ac-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy"}]}]},{"id":"ac-4","class":"SP800-53","title":"Information Flow Enforcement","parameters":[{"id":"ac-4_prm_1","label":"organization-defined information flow control policies"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-4"},{"name":"sort-id","value":"ac-04"}],"parts":[{"id":"ac-4_smt","name":"statement","prose":"The information system enforces approved authorizations for controlling the flow of\n information within the system and between interconnected systems based on {{ ac-4_prm_1 }}."},{"id":"ac-4_gdn","name":"guidance","prose":"Information flow control regulates where information is allowed to travel within an\n information system and between information systems (as opposed to who is allowed to\n access the information) and without explicit regard to subsequent accesses to that\n information. Flow control restrictions include, for example, keeping\n export-controlled information from being transmitted in the clear to the Internet,\n blocking outside traffic that claims to be from within the organization, restricting\n web requests to the Internet that are not from the internal web proxy server, and\n limiting information transfers between organizations based on data structures and\n content. Transferring information between information systems representing different\n security domains with different security policies introduces risk that such transfers\n violate one or more domain security policies. In such situations, information\n owners/stewards provide guidance at designated policy enforcement points between\n interconnected systems. Organizations consider mandating specific architectural\n solutions when required to enforce specific security policies. Enforcement includes,\n for example: (i) prohibiting information transfers between interconnected systems\n (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way\n information flows; and (iii) implementing trustworthy regrading mechanisms to\n reassign security attributes and security labels. Organizations commonly employ\n information flow control policies and enforcement mechanisms to control the flow of\n information between designated sources and destinations (e.g., networks, individuals,\n and devices) within information systems and between interconnected systems. Flow\n control is based on the characteristics of the information and/or the information\n path. Enforcement occurs, for example, in boundary protection devices (e.g.,\n gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or\n establish configuration settings that restrict information system services, provide a\n packet-filtering capability based on header information, or message-filtering\n capability based on message content (e.g., implementing key word searches or using\n document characteristics). Organizations also consider the trustworthiness of\n filtering/inspection mechanisms (i.e., hardware, firmware, and software components)\n that are critical to information flow enforcement. Control enhancements 3 through 22\n primarily address cross-domain solution needs which focus on more advanced filtering\n techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented\n in cross-domain products, for example, high-assurance guards. Such capabilities are\n generally not available in commercial off-the-shelf information technology\n products.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-21","rel":"related","text":"AC-21"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-18","rel":"related","text":"SC-18"}]},{"id":"ac-4_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-4_obj.1","name":"objective","properties":[{"name":"label","value":"AC-4[1]"}],"prose":"the organization defines information flow control policies to control the flow of\n information within the system and between interconnected systems; and"},{"id":"ac-4_obj.2","name":"objective","properties":[{"name":"label","value":"AC-4[2]"}],"prose":"the information system enforces approved authorizations for controlling the flow\n of information within the system and between interconnected systems based on\n organization-defined information flow control policies."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system baseline configuration\\n\\nlist of information flow authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information flow enforcement policy"}]}],"controls":[{"id":"ac-4.21","class":"SP800-53-enhancement","title":"Physical / Logical Separation of Information Flows","parameters":[{"id":"ac-4.21_prm_1","label":"organization-defined mechanisms and/or techniques"},{"id":"ac-4.21_prm_2","label":"organization-defined required separations by types of information"}],"properties":[{"name":"label","value":"AC-4(21)"},{"name":"sort-id","value":"ac-04.21"}],"parts":[{"id":"ac-4.21_smt","name":"statement","prose":"The information system separates information flows logically or physically using\n {{ ac-4.21_prm_1 }} to accomplish {{ ac-4.21_prm_2 }}."},{"id":"ac-4.21_gdn","name":"guidance","prose":"Enforcing the separation of information flows by type can enhance protection by\n ensuring that information is not commingled while in transit and by enabling flow\n control by transmission paths perhaps not otherwise achievable. Types of separable\n information include, for example, inbound and outbound communications traffic,\n service requests and responses, and information of differing security\n categories."},{"id":"ac-4.21_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-4.21_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-4(21)[1]"}],"prose":"the organization defines the required separations of information flows by types\n of information;"},{"id":"ac-4.21_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-4(21)[2]"}],"prose":"the organization defines the mechanisms and/or techniques to be used to\n separate information flows logically or physically; and"},{"id":"ac-4.21_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-4(21)[3]"}],"prose":"the information system separates information flows logically or physically\n using organization-defined mechanisms and/or techniques to accomplish\n organization-defined required separations by types of information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information flow enforcement policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of required separation of information flows by information types\\n\\nlist of mechanisms and/or techniques used to logically or physically separate\n information flows\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information flow enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information flow enforcement functions"}]}]}]},{"id":"ac-5","class":"SP800-53","title":"Separation of Duties","parameters":[{"id":"ac-5_prm_1","label":"organization-defined duties of individuals"}],"properties":[{"name":"label","value":"AC-5"},{"name":"sort-id","value":"ac-05"}],"parts":[{"id":"ac-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Separates {{ ac-5_prm_1 }};"},{"id":"ac-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents separation of duties of individuals; and"},{"id":"ac-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Defines information system access authorizations to support separation of\n duties."},{"id":"ac-5_fr","name":"item","title":"AC-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP."}]}]},{"id":"ac-5_gdn","name":"guidance","prose":"Separation of duties addresses the potential for abuse of authorized privileges and\n helps to reduce the risk of malevolent activity without collusion. Separation of\n duties includes, for example: (i) dividing mission functions and information system\n support functions among different individuals and/or roles; (ii) conducting\n information system support functions with different individuals (e.g., system\n management, programming, configuration management, quality assurance and testing, and\n network security); and (iii) ensuring security personnel administering access control\n functions do not also administer audit functions.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"ac-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-5.a_obj","name":"objective","properties":[{"name":"label","value":"AC-5(a)"}],"parts":[{"id":"ac-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-5(a)[1]"}],"prose":"defines duties of individuals to be separated;"},{"id":"ac-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-5(a)[2]"}],"prose":"separates organization-defined duties of individuals;"}]},{"id":"ac-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-5(b)"}],"prose":"documents separation of duties; and"},{"id":"ac-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-5(c)"}],"prose":"defines information system access authorizations to support separation of\n duties."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing divisions of responsibility and separation of duties\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of divisions of responsibility and separation of duties\\n\\ninformation system access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining appropriate divisions\n of responsibility and separation of duties\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing separation of duties policy"}]}]},{"id":"ac-6","class":"SP800-53","title":"Least Privilege","properties":[{"name":"label","value":"AC-6"},{"name":"sort-id","value":"ac-06"}],"parts":[{"id":"ac-6_smt","name":"statement","prose":"The organization employs the principle of least privilege, allowing only authorized\n accesses for users (or processes acting on behalf of users) which are necessary to\n accomplish assigned tasks in accordance with organizational missions and business\n functions."},{"id":"ac-6_gdn","name":"guidance","prose":"Organizations employ least privilege for specific duties and information systems. The\n principle of least privilege is also applied to information system processes,\n ensuring that the processes operate at privilege levels no higher than necessary to\n accomplish required organizational missions/business functions. Organizations\n consider the creation of additional processes, roles, and information system accounts\n as necessary, to achieve least privilege. Organizations also apply least privilege to\n the development, implementation, and operation of organizational information\n systems.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-5","rel":"related","text":"AC-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"ac-6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs the principle of least privilege, allowing only\n authorized access for users (and processes acting on behalf of users) which are\n necessary to accomplish assigned tasks in accordance with organizational missions and\n business functions. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of assigned access authorizations (user privileges)\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}],"controls":[{"id":"ac-6.1","class":"SP800-53-enhancement","title":"Authorize Access to Security Functions","parameters":[{"id":"ac-6.1_prm_1","label":"organization-defined security functions (deployed in hardware, software, and\n firmware) and security-relevant information"}],"properties":[{"name":"label","value":"AC-6(1)"},{"name":"sort-id","value":"ac-06.01"}],"parts":[{"id":"ac-6.1_smt","name":"statement","prose":"The organization explicitly authorizes access to {{ ac-6.1_prm_1 }}."},{"id":"ac-6.1_gdn","name":"guidance","prose":"Security functions include, for example, establishing system accounts, configuring\n access authorizations (i.e., permissions, privileges), setting events to be\n audited, and setting intrusion detection parameters. Security-relevant information\n includes, for example, filtering rules for routers/firewalls, cryptographic key\n management information, configuration parameters for security services, and access\n control lists. Explicitly authorized personnel include, for example, security\n administrators, system and network administrators, system security officers,\n system maintenance personnel, system programmers, and other privileged users.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"}]},{"id":"ac-6.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(1)[1]"}],"prose":"defines security-relevant information for which access must be explicitly\n authorized;"},{"id":"ac-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(1)[2]"}],"prose":"defines security functions deployed in:","parts":[{"id":"ac-6.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-6(1)[2][a]"}],"prose":"hardware;"},{"id":"ac-6.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-6(1)[2][b]"}],"prose":"software;"},{"id":"ac-6.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-6(1)[2][c]"}],"prose":"firmware;"}]},{"id":"ac-6.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(1)[3]"}],"prose":"explicitly authorizes access to:","parts":[{"id":"ac-6.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-6(1)[3][a]"}],"prose":"organization-defined security functions; and"},{"id":"ac-6.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-6(1)[3][b]"}],"prose":"security-relevant information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of security functions (deployed in hardware, software, and firmware) and\n security-relevant information for which access must be explicitly\n authorized\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.2","class":"SP800-53-enhancement","title":"Non-privileged Access for Nonsecurity Functions","parameters":[{"id":"ac-6.2_prm_1","label":"organization-defined security functions or security-relevant\n information","constraints":[{"detail":"all security functions"}]}],"properties":[{"name":"label","value":"AC-6(2)"},{"name":"sort-id","value":"ac-06.02"}],"parts":[{"id":"ac-6.2_smt","name":"statement","prose":"The organization requires that users of information system accounts, or roles,\n with access to {{ ac-6.2_prm_1 }}, use non-privileged accounts or\n roles, when accessing nonsecurity functions.","parts":[{"id":"ac-6.2_fr","name":"item","title":"AC-6 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-6.2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions."}]}]},{"id":"ac-6.2_gdn","name":"guidance","prose":"This control enhancement limits exposure when operating from within privileged\n accounts or roles. The inclusion of roles addresses situations where organizations\n implement access control policies such as role-based access control and where a\n change of role provides the same degree of assurance in the change of access\n authorizations for both the user and all processes acting on behalf of the user as\n would be provided by a change between a privileged and non-privileged account.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"ac-6.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-6.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(2)[1]"}],"prose":"defines security functions or security-relevant information to which users of\n information system accounts, or roles, have access; and"},{"id":"ac-6.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(2)[2]"}],"prose":"requires that users of information system accounts, or roles, with access to\n organization-defined security functions or security-relevant information, use\n non-privileged accounts, or roles, when accessing nonsecurity functions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated security functions or security-relevant information\n assigned to information system accounts or roles\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.5","class":"SP800-53-enhancement","title":"Privileged Accounts","parameters":[{"id":"ac-6.5_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AC-6(5)"},{"name":"sort-id","value":"ac-06.05"}],"parts":[{"id":"ac-6.5_smt","name":"statement","prose":"The organization restricts privileged accounts on the information system to\n {{ ac-6.5_prm_1 }}."},{"id":"ac-6.5_gdn","name":"guidance","prose":"Privileged accounts, including super user accounts, are typically described as\n system administrator for various types of commercial off-the-shelf operating\n systems. Restricting privileged accounts to specific personnel or roles prevents\n day-to-day users from having access to privileged information/functions.\n Organizations may differentiate in the application of this control enhancement\n between allowed privileges for local accounts and for domain accounts provided\n organizations retain the ability to control information system configurations for\n key security parameters and as otherwise necessary to sufficiently mitigate\n risk.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"ac-6.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-6.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-6(5)[1]"}],"prose":"defines personnel or roles for which privileged accounts on the information\n system are to be restricted; and"},{"id":"ac-6.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-6(5)[2]"}],"prose":"restricts privileged accounts on the information system to organization-defined\n personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated privileged accounts\\n\\nlist of system administration personnel\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions"}]}]},{"id":"ac-6.9","class":"SP800-53-enhancement","title":"Auditing Use of Privileged Functions","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-6(9)"},{"name":"sort-id","value":"ac-06.09"}],"parts":[{"id":"ac-6.9_smt","name":"statement","prose":"The information system audits the execution of privileged functions."},{"id":"ac-6.9_gdn","name":"guidance","prose":"Misuse of privileged functions, either intentionally or unintentionally by\n authorized users, or by unauthorized external entities that have compromised\n information system accounts, is a serious and ongoing concern and can have\n significant adverse impacts on organizations. Auditing the use of privileged\n functions is one way to detect such misuse, and in doing so, help mitigate the\n risk from insider threats and the advanced persistent threat (APT).","links":[{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"ac-6.9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system audits the execution of privileged functions.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions to be audited\\n\\nlist of audited events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for reviewing least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms auditing the execution of least privilege functions"}]}]},{"id":"ac-6.10","class":"SP800-53-enhancement","title":"Prohibit Non-privileged Users from Executing Privileged Functions","properties":[{"name":"label","value":"AC-6(10)"},{"name":"sort-id","value":"ac-06.10"}],"parts":[{"id":"ac-6.10_smt","name":"statement","prose":"The information system prevents non-privileged users from executing privileged\n functions to include disabling, circumventing, or altering implemented security\n safeguards/countermeasures."},{"id":"ac-6.10_gdn","name":"guidance","prose":"Privileged functions include, for example, establishing information system\n accounts, performing system integrity checks, or administering cryptographic key\n management activities. Non-privileged users are individuals that do not possess\n appropriate authorizations. Circumventing intrusion detection and prevention\n mechanisms or malicious code protection mechanisms are examples of privileged\n functions that require protection from non-privileged users."},{"id":"ac-6.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system prevents non-privileged users from executing\n privileged functions to include:","parts":[{"id":"ac-6.10_obj.1","name":"objective","properties":[{"name":"label","value":"AC-6(10)[1]"}],"prose":"disabling implemented security safeguards/countermeasures;"},{"id":"ac-6.10_obj.2","name":"objective","properties":[{"name":"label","value":"AC-6(10)[2]"}],"prose":"circumventing security safeguards/countermeasures; or"},{"id":"ac-6.10_obj.3","name":"objective","properties":[{"name":"label","value":"AC-6(10)[3]"}],"prose":"altering implemented security safeguards/countermeasures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions and associated user account assignments\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing least privilege functions for non-privileged\n users"}]}]}]},{"id":"ac-7","class":"SP800-53","title":"Unsuccessful Logon Attempts","parameters":[{"id":"ac-7_prm_1","label":"organization-defined number","constraints":[{"detail":"not more than three (3)"}]},{"id":"ac-7_prm_2","label":"organization-defined time period","constraints":[{"detail":"fifteen (15) minutes"}]},{"id":"ac-7_prm_3"},{"id":"ac-7_prm_4","depends-on":"ac-7_prm_3","label":"organization-defined time period","constraints":[{"detail":"locks the account/node for thirty minutes"}]},{"id":"ac-7_prm_5","depends-on":"ac-7_prm_3","label":"organization-defined delay algorithm"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-7"},{"name":"sort-id","value":"ac-07"}],"parts":[{"id":"ac-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and"},{"id":"ac-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded."}]},{"id":"ac-7_gdn","name":"guidance","prose":"This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ia-5","rel":"related","text":"IA-5"}]},{"id":"ac-7_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ac-7.a_obj","name":"objective","properties":[{"name":"label","value":"AC-7(a)"}],"parts":[{"id":"ac-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(a)[1]"}],"prose":"the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;"},{"id":"ac-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(a)[2]"}],"prose":"the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;"},{"id":"ac-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(a)[3]"}],"prose":"the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;"}]},{"id":"ac-7.b_obj","name":"objective","properties":[{"name":"label","value":"AC-7(b)"}],"parts":[{"id":"ac-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-7(b)[1]"}],"prose":"the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;"},{"id":"ac-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-7(b)[2]"}],"prose":"the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:","parts":[{"id":"ac-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][a]"}],"prose":"locks the account/node for the organization-defined time period;"},{"id":"ac-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][b]"}],"prose":"locks the account/node until released by an administrator; or"},{"id":"ac-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-7(b)[2][c]"}],"prose":"delays next logon prompt according to the organization-defined delay\n algorithm."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for unsuccessful logon\n attempts"}]}]},{"id":"ac-8","class":"SP800-53","title":"System Use Notification","parameters":[{"id":"ac-8_prm_1","label":"organization-defined system use notification message or banner","constraints":[{"detail":"see additional Requirements and Guidance"}]},{"id":"ac-8_prm_2","label":"organization-defined conditions","constraints":[{"detail":"see additional Requirements and Guidance]"}]}],"properties":[{"name":"label","value":"AC-8"},{"name":"sort-id","value":"ac-08"}],"parts":[{"id":"ac-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:","parts":[{"id":"ac-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Users are accessing a U.S. Government information system;"},{"id":"ac-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Information system usage may be monitored, recorded, and subject to audit;"},{"id":"ac-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and"},{"id":"ac-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Use of the information system indicates consent to monitoring and\n recording;"}]},{"id":"ac-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and"},{"id":"ac-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"For publicly accessible systems:","parts":[{"id":"ac-8_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;"},{"id":"ac-8_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and"},{"id":"ac-8_smt.c.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Includes a description of the authorized uses of the system."}]},{"id":"ac-8_fr","name":"item","title":"AC-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ac-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO."},{"id":"ac-8_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided."},{"id":"ac-8_fr_smt.3","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO."}]}]},{"id":"ac-8_gdn","name":"guidance","prose":"System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content."},{"id":"ac-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-8.a_obj","name":"objective","properties":[{"name":"label","value":"AC-8(a)"}],"parts":[{"id":"ac-8.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(a)[1]"}],"prose":"the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;"},{"id":"ac-8.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(a)[2]"}],"prose":"the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:","parts":[{"id":"ac-8.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](1)"}],"prose":"users are accessing a U.S. Government information system;"},{"id":"ac-8.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](2)"}],"prose":"information system usage may be monitored, recorded, and subject to\n audit;"},{"id":"ac-8.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](3)"}],"prose":"unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;"},{"id":"ac-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"AC-8(a)[2](4)"}],"prose":"use of the information system indicates consent to monitoring and\n recording;"}]}]},{"id":"ac-8.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(b)"}],"prose":"the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;"},{"id":"ac-8.c_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)"}],"prose":"for publicly accessible systems:","parts":[{"id":"ac-8.c.1_obj","name":"objective","properties":[{"name":"label","value":"AC-8(c)(1)"}],"parts":[{"id":"ac-8.c.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(c)(1)[1]"}],"prose":"the organization defines conditions for system use to be displayed by the\n information system before granting further access;"},{"id":"ac-8.c.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(c)(1)[2]"}],"prose":"the information system displays organization-defined conditions before\n granting further access;"}]},{"id":"ac-8.c.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-8(c)(2)"}],"prose":"the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and"},{"id":"ac-8.c.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-8(c)(3)"}],"prose":"the information system includes a description of the authorized uses of the\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing system use notification"}]}]},{"id":"ac-10","class":"SP800-53","title":"Concurrent Session Control","parameters":[{"id":"ac-10_prm_1","label":"organization-defined account and/or account type"},{"id":"ac-10_prm_2","label":"organization-defined number","constraints":[{"detail":"three (3) sessions for privileged access and two (2) sessions for non-privileged access"}]}],"properties":[{"name":"label","value":"AC-10"},{"name":"sort-id","value":"ac-10"}],"parts":[{"id":"ac-10_smt","name":"statement","prose":"The information system limits the number of concurrent sessions for each {{ ac-10_prm_1 }} to {{ ac-10_prm_2 }}."},{"id":"ac-10_gdn","name":"guidance","prose":"Organizations may define the maximum number of concurrent sessions for information\n system accounts globally, by account type (e.g., privileged user, non-privileged\n user, domain, specific application), by account, or a combination. For example,\n organizations may limit the number of concurrent sessions for system administrators\n or individuals working in particularly sensitive domains or mission-critical\n applications. This control addresses concurrent sessions for information system\n accounts and does not address concurrent sessions by single users via multiple system\n accounts."},{"id":"ac-10_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-10[1]"}],"prose":"the organization defines account and/or account types for the information\n system;"},{"id":"ac-10_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-10[2]"}],"prose":"the organization defines the number of concurrent sessions to be allowed for each\n organization-defined account and/or account type; and"},{"id":"ac-10_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-10[3]"}],"prose":"the information system limits the number of concurrent sessions for each\n organization-defined account and/or account type to the organization-defined\n number of concurrent sessions allowed."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing concurrent session control\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for concurrent session\n control"}]}]},{"id":"ac-11","class":"SP800-53","title":"Session Lock","parameters":[{"id":"ac-11_prm_1","label":"organization-defined time period","constraints":[{"detail":"fifteen (15) minutes"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-11"},{"name":"sort-id","value":"ac-11"}],"links":[{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"}],"parts":[{"id":"ac-11_smt","name":"statement","prose":"The information system:","parts":[{"id":"ac-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Prevents further access to the system by initiating a session lock after {{ ac-11_prm_1 }} of inactivity or upon receiving a request from a user;\n and"},{"id":"ac-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains the session lock until the user reestablishes access using established\n identification and authentication procedures."}]},{"id":"ac-11_gdn","name":"guidance","prose":"Session locks are temporary actions taken when users stop work and move away from the\n immediate vicinity of information systems but do not want to log out because of the\n temporary nature of their absences. Session locks are implemented where session\n activities can be determined. This is typically at the operating system level, but\n can also be at the application level. Session locks are not an acceptable substitute\n for logging out of information systems, for example, if organizations require users\n to log out at the end of workdays.","links":[{"href":"#ac-7","rel":"related","text":"AC-7"}]},{"id":"ac-11_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-11.a_obj","name":"objective","properties":[{"name":"label","value":"AC-11(a)"}],"parts":[{"id":"ac-11.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-11(a)[1]"}],"prose":"the organization defines the time period of user inactivity after which the\n information system initiates a session lock;"},{"id":"ac-11.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-11(a)[2]"}],"prose":"the information system prevents further access to the system by initiating a\n session lock after organization-defined time period of user inactivity or upon\n receiving a request from a user; and"}]},{"id":"ac-11.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-11(b)"}],"prose":"the information system retains the session lock until the user reestablishes\n access using established identification and authentication procedures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session lock\\n\\nprocedures addressing identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing access control policy for session lock"}]}],"controls":[{"id":"ac-11.1","class":"SP800-53-enhancement","title":"Pattern-hiding Displays","properties":[{"name":"label","value":"AC-11(1)"},{"name":"sort-id","value":"ac-11.01"}],"parts":[{"id":"ac-11.1_smt","name":"statement","prose":"The information system conceals, via the session lock, information previously\n visible on the display with a publicly viewable image."},{"id":"ac-11.1_gdn","name":"guidance","prose":"Publicly viewable images can include static or dynamic images, for example,\n patterns used with screen savers, photographic images, solid colors, clock,\n battery life indicator, or a blank screen, with the additional caveat that none of\n the images convey sensitive information."},{"id":"ac-11.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system conceals, via the session lock, information\n previously visible on the display with a publicly viewable image."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session lock\\n\\ndisplay screen with session lock activated\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system session lock mechanisms"}]}]}]},{"id":"ac-12","class":"SP800-53","title":"Session Termination","parameters":[{"id":"ac-12_prm_1","label":"organization-defined conditions or trigger events requiring session\n disconnect"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-12"},{"name":"sort-id","value":"ac-12"}],"parts":[{"id":"ac-12_smt","name":"statement","prose":"The information system automatically terminates a user session after {{ ac-12_prm_1 }}."},{"id":"ac-12_gdn","name":"guidance","prose":"This control addresses the termination of user-initiated logical sessions in contrast\n to SC-10 which addresses the termination of network connections that are associated\n with communications sessions (i.e., network disconnect). A logical session (for\n local, network, and remote access) is initiated whenever a user (or process acting on\n behalf of a user) accesses an organizational information system. Such user sessions\n can be terminated (and thus terminate user access) without terminating network\n sessions. Session termination terminates all processes associated with a user’s\n logical session except those processes that are specifically created by the user\n (i.e., session owner) to continue after the session is terminated. Conditions or\n trigger events requiring automatic session termination can include, for example,\n organization-defined periods of user inactivity, targeted responses to certain types\n of incidents, time-of-day restrictions on information system use.","links":[{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-23","rel":"related","text":"SC-23"}]},{"id":"ac-12_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-12_obj.1","name":"objective","properties":[{"name":"label","value":"AC-12[1]"}],"prose":"the organization defines conditions or trigger events requiring session\n disconnect; and"},{"id":"ac-12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-12[2]"}],"prose":"the information system automatically terminates a user session after\n organization-defined conditions or trigger events requiring session disconnect\n occurs."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing session termination\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of conditions or trigger events requiring session disconnect\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing user session termination"}]}]},{"id":"ac-14","class":"SP800-53","title":"Permitted Actions Without Identification or Authentication","parameters":[{"id":"ac-14_prm_1","label":"organization-defined user actions"}],"properties":[{"name":"label","value":"AC-14"},{"name":"sort-id","value":"ac-14"}],"parts":[{"id":"ac-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"},{"id":"ac-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"id":"ac-14_gdn","name":"guidance","prose":"This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ia-2","rel":"related","text":"IA-2"}]},{"id":"ac-14_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-14.a_obj","name":"objective","properties":[{"name":"label","value":"AC-14(a)"}],"parts":[{"id":"ac-14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-14(a)[1]"}],"prose":"defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;"},{"id":"ac-14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AC-14(a)[2]"}],"prose":"identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and"}]},{"id":"ac-14.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-14(b)"}],"prose":"documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ac-17","class":"SP800-53","title":"Remote Access","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-17"},{"name":"sort-id","value":"ac-17"}],"links":[{"href":"#5309d4d0-46f8-4213-a749-e7584164e5e8","rel":"reference","text":"NIST Special Publication 800-46"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#349fe082-502d-464a-aa0c-1443c6a5cf40","rel":"reference","text":"NIST Special Publication 800-113"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#d1a4e2a9-e512-4132-8795-5357aba29254","rel":"reference","text":"NIST Special Publication 800-121"}],"parts":[{"id":"ac-17_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and"},{"id":"ac-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes remote access to the information system prior to allowing such\n connections."}]},{"id":"ac-17_gdn","name":"guidance","prose":"Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#pe-17","rel":"related","text":"PE-17"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-17_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.a_obj","name":"objective","properties":[{"name":"label","value":"AC-17(a)"}],"parts":[{"id":"ac-17.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[1]"}],"prose":"identifies the types of remote access allowed to the information system;"},{"id":"ac-17.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[2]"}],"prose":"establishes for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[2][c]"}],"prose":"implementation guidance;"}]},{"id":"ac-17.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(a)[3]"}],"prose":"documents for each type of remote access allowed:","parts":[{"id":"ac-17.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][a]"}],"prose":"usage restrictions;"},{"id":"ac-17.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][b]"}],"prose":"configuration/connection requirements;"},{"id":"ac-17.a_obj.3.c","name":"objective","properties":[{"name":"label","value":"AC-17(a)[3][c]"}],"prose":"implementation guidance; and"}]}]},{"id":"ac-17.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(b)"}],"prose":"authorizes remote access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Remote access management capability for the information system"}]}],"controls":[{"id":"ac-17.1","class":"SP800-53-enhancement","title":"Automated Monitoring / Control","properties":[{"name":"label","value":"AC-17(1)"},{"name":"sort-id","value":"ac-17.01"}],"parts":[{"id":"ac-17.1_smt","name":"statement","prose":"The information system monitors and controls remote access methods."},{"id":"ac-17.1_gdn","name":"guidance","prose":"Automated monitoring and control of remote access sessions allows organizations to\n detect cyber attacks and also ensure ongoing compliance with remote access\n policies by auditing connection activities of remote users on a variety of\n information system components (e.g., servers, workstations, notebook computers,\n smart phones, and tablets).","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"ac-17.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system monitors and controls remote access methods.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system monitoring records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms monitoring and controlling remote access methods"}]}]},{"id":"ac-17.2","class":"SP800-53-enhancement","title":"Protection of Confidentiality / Integrity Using Encryption","properties":[{"name":"label","value":"AC-17(2)"},{"name":"sort-id","value":"ac-17.02"}],"parts":[{"id":"ac-17.2_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of remote access sessions."},{"id":"ac-17.2_gdn","name":"guidance","prose":"The encryption strength of mechanism is selected based on the security\n categorization of the information.","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-17.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements cryptographic mechanisms to protect\n the confidentiality and integrity of remote access sessions. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms protecting confidentiality and integrity of remote\n access sessions"}]}]},{"id":"ac-17.3","class":"SP800-53-enhancement","title":"Managed Access Control Points","parameters":[{"id":"ac-17.3_prm_1","label":"organization-defined number"}],"properties":[{"name":"label","value":"AC-17(3)"},{"name":"sort-id","value":"ac-17.03"}],"parts":[{"id":"ac-17.3_smt","name":"statement","prose":"The information system routes all remote accesses through {{ ac-17.3_prm_1 }} managed network access control points."},{"id":"ac-17.3_gdn","name":"guidance","prose":"Limiting the number of access control points for remote accesses reduces the\n attack surface for organizations. Organizations consider the Trusted Internet\n Connections (TIC) initiative requirements for external network connections.","links":[{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"ac-17.3_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ac-17.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(3)[1]"}],"prose":"the organization defines the number of managed network access control points\n through which all remote accesses are to be routed; and"},{"id":"ac-17.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(3)[2]"}],"prose":"the information system routes all remote accesses through the\n organization-defined number of managed network access control points."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\nlist of all managed network access control points\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms routing all remote accesses through managed network access\n control points"}]}]},{"id":"ac-17.4","class":"SP800-53-enhancement","title":"Privileged Commands / Access","parameters":[{"id":"ac-17.4_prm_1","label":"organization-defined needs"}],"properties":[{"name":"label","value":"AC-17(4)"},{"name":"sort-id","value":"ac-17.04"}],"parts":[{"id":"ac-17.4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-17.4_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Authorizes the execution of privileged commands and access to security-relevant\n information via remote access only for {{ ac-17.4_prm_1 }};\n and"},{"id":"ac-17.4_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Documents the rationale for such access in the security plan for the\n information system."}]},{"id":"ac-17.4_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ac-17.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.4.a_obj","name":"objective","properties":[{"name":"label","value":"AC-17(4)(a)"}],"parts":[{"id":"ac-17.4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(4)(a)[1]"}],"prose":"defines needs to authorize the execution of privileged commands and access\n to security-relevant information via remote access;"},{"id":"ac-17.4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(4)(a)[2]"}],"prose":"authorizes the execution of privileged commands and access to\n security-relevant information via remote access only for\n organization-defined needs; and"}],"links":[{"href":"#ac-17.4_smt.a","rel":"corresp","text":"AC-17(4)(a)"}]},{"id":"ac-17.4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(4)(b)"}],"prose":"documents the rationale for such access in the information system security\n plan.","links":[{"href":"#ac-17.4_smt.b","rel":"corresp","text":"AC-17(4)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing remote access management"}]}]},{"id":"ac-17.9","class":"SP800-53-enhancement","title":"Disconnect / Disable Access","parameters":[{"id":"ac-17.9_prm_1","label":"organization-defined time period","constraints":[{"detail":"fifteen 15 minutes"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-17(9)"},{"name":"sort-id","value":"ac-17.09"}],"parts":[{"id":"ac-17.9_smt","name":"statement","prose":"The organization provides the capability to expeditiously disconnect or disable\n remote access to the information system within {{ ac-17.9_prm_1 }}."},{"id":"ac-17.9_gdn","name":"guidance","prose":"This control enhancement requires organizations to have the capability to rapidly\n disconnect current users remotely accessing the information system and/or disable\n further remote access. The speed of disconnect or disablement varies based on the\n criticality of missions/business functions and the need to eliminate immediate or\n future remote access to organizational information systems."},{"id":"ac-17.9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-17.9_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-17(9)[1]"}],"prose":"defines the time period within which to expeditiously disconnect or disable\n remote access to the information system; and"},{"id":"ac-17.9_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-17(9)[2]"}],"prose":"provides the capability to expeditiously disconnect or disable remote access to\n the information system within the organization-defined time period."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing disconnecting or disabling remote access to the\n information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan, information system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing capability to disconnect or disable remote\n access to information system"}]}]}]},{"id":"ac-18","class":"SP800-53","title":"Wireless Access","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-18"},{"name":"sort-id","value":"ac-18"}],"links":[{"href":"#238ed479-eccb-49f6-82ec-ab74a7a428cf","rel":"reference","text":"NIST Special Publication 800-48"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#6f336ecd-f2a0-4c84-9699-0491d81b6e0d","rel":"reference","text":"NIST Special Publication 800-97"}],"parts":[{"id":"ac-18_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-18_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and"},{"id":"ac-18_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes wireless access to the information system prior to allowing such\n connections."}]},{"id":"ac-18_gdn","name":"guidance","prose":"Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-18.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-18(a)"}],"prose":"establishes for wireless access:","parts":[{"id":"ac-18.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-18(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-18.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-18(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-18.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-18(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-18.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-18(b)"}],"prose":"authorizes wireless access to the information system prior to allowing such\n connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Wireless access management capability for the information system"}]}],"controls":[{"id":"ac-18.1","class":"SP800-53-enhancement","title":"Authentication and Encryption","parameters":[{"id":"ac-18.1_prm_1"}],"properties":[{"name":"label","value":"AC-18(1)"},{"name":"sort-id","value":"ac-18.01"}],"parts":[{"id":"ac-18.1_smt","name":"statement","prose":"The information system protects wireless access to the system using authentication\n of {{ ac-18.1_prm_1 }} and encryption."},{"id":"ac-18.1_gdn","name":"guidance","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ac-18.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system protects wireless access to the system using\n encryption and one or more of the following:","parts":[{"id":"ac-18.1_obj.1","name":"objective","properties":[{"name":"label","value":"AC-18(1)[1]"}],"prose":"authentication of users; and/or"},{"id":"ac-18.1_obj.2","name":"objective","properties":[{"name":"label","value":"AC-18(1)[2]"}],"prose":"authentication of devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing wireless access protections to the\n information system"}]}]}]},{"id":"ac-19","class":"SP800-53","title":"Access Control for Mobile Devices","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-19"},{"name":"sort-id","value":"ac-19"}],"links":[{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#1201fcf3-afb1-4675-915a-fb4ae0435717","rel":"reference","text":"NIST Special Publication 800-114"},{"href":"#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589","rel":"reference","text":"NIST Special Publication 800-124"},{"href":"#6513e480-fada-4876-abba-1397084dfb26","rel":"reference","text":"NIST Special Publication 800-164"}],"parts":[{"id":"ac-19_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-19_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and"},{"id":"ac-19_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes the connection of mobile devices to organizational information\n systems."}]},{"id":"ac-19_gdn","name":"guidance","prose":"A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-9","rel":"related","text":"CA-9"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-43","rel":"related","text":"SC-43"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ac-19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-19.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-19(a)"}],"prose":"establishes for organization-controlled mobile devices:","parts":[{"id":"ac-19.a_obj.1","name":"objective","properties":[{"name":"label","value":"AC-19(a)[1]"}],"prose":"usage restrictions;"},{"id":"ac-19.a_obj.2","name":"objective","properties":[{"name":"label","value":"AC-19(a)[2]"}],"prose":"configuration/connection requirement;"},{"id":"ac-19.a_obj.3","name":"objective","properties":[{"name":"label","value":"AC-19(a)[3]"}],"prose":"implementation guidance; and"}]},{"id":"ac-19.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-19(b)"}],"prose":"authorizes the connection of mobile devices to organizational information\n systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Access control capability authorizing mobile device connections to organizational\n information systems"}]}],"controls":[{"id":"ac-19.5","class":"SP800-53-enhancement","title":"Full Device / Container-based Encryption","parameters":[{"id":"ac-19.5_prm_1"},{"id":"ac-19.5_prm_2","label":"organization-defined mobile devices"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-19(5)"},{"name":"sort-id","value":"ac-19.05"}],"parts":[{"id":"ac-19.5_smt","name":"statement","prose":"The organization employs {{ ac-19.5_prm_1 }} to protect the\n confidentiality and integrity of information on {{ ac-19.5_prm_2 }}."},{"id":"ac-19.5_gdn","name":"guidance","prose":"Container-based encryption provides a more fine-grained approach to the encryption\n of data/information on mobile devices, including for example, encrypting selected\n data structures such as files, records, or fields.","links":[{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"ac-19.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ac-19.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-19(5)[1]"}],"prose":"defines mobile devices for which full-device encryption or container encryption\n is required to protect the confidentiality and integrity of information on such\n devices; and"},{"id":"ac-19.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-19(5)[2]"}],"prose":"employs full-device encryption or container encryption to protect the\n confidentiality and integrity of information on organization-defined mobile\n devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing access control for mobile devices\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nencryption mechanism s and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities for mobile\n devices\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Encryption mechanisms protecting confidentiality and integrity of information\n on mobile devices"}]}]}]},{"id":"ac-20","class":"SP800-53","title":"Use of External Information Systems","properties":[{"name":"label","value":"AC-20"},{"name":"sort-id","value":"ac-20"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"}],"parts":[{"id":"ac-20_smt","name":"statement","prose":"The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:","parts":[{"id":"ac-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Access the information system from external information systems; and"},{"id":"ac-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Process, store, or transmit organization-controlled information using external\n information systems."}]},{"id":"ac-20_gdn","name":"guidance","prose":"External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ac-20_obj","name":"objective","prose":"Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ","parts":[{"id":"ac-20.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-20(a)"}],"prose":"access the information system from the external information systems; and"},{"id":"ac-20.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-20(b)"}],"prose":"process, store, or transmit organization-controlled information using external\n information systems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing terms and conditions on use of external\n information systems"}]}],"controls":[{"id":"ac-20.1","class":"SP800-53-enhancement","title":"Limits On Authorized Use","properties":[{"name":"label","value":"AC-20(1)"},{"name":"sort-id","value":"ac-20.01"}],"parts":[{"id":"ac-20.1_smt","name":"statement","prose":"The organization permits authorized individuals to use an external information\n system to access the information system or to process, store, or transmit\n organization-controlled information only when the organization:","parts":[{"id":"ac-20.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or"},{"id":"ac-20.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system."}]},{"id":"ac-20.1_gdn","name":"guidance","prose":"This control enhancement recognizes that there are circumstances where individuals\n using external information systems (e.g., contractors, coalition partners) need to\n access organizational information systems. In those situations, organizations need\n confidence that the external information systems contain the necessary security\n safeguards (i.e., security controls), so as not to compromise, damage, or\n otherwise harm organizational information systems. Verification that the required\n security controls have been implemented can be achieved, for example, by\n third-party, independent assessments, attestations, or other means, depending on\n the confidence level required by organizations.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"}]},{"id":"ac-20.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization permits authorized individuals to use an external\n information system to access the information system or to process, store, or\n transmit organization-controlled information only when the organization: ","parts":[{"id":"ac-20.1.a_obj","name":"objective","properties":[{"name":"label","value":"AC-20(1)(a)"}],"prose":"verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or","links":[{"href":"#ac-20.1_smt.a","rel":"corresp","text":"AC-20(1)(a)"}]},{"id":"ac-20.1.b_obj","name":"objective","properties":[{"name":"label","value":"AC-20(1)(b)"}],"prose":"retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system.","links":[{"href":"#ac-20.1_smt.b","rel":"corresp","text":"AC-20(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing limits on use of external information\n systems"}]}]},{"id":"ac-20.2","class":"SP800-53-enhancement","title":"Portable Storage Devices","parameters":[{"id":"ac-20.2_prm_1"}],"properties":[{"name":"label","value":"AC-20(2)"},{"name":"sort-id","value":"ac-20.02"}],"parts":[{"id":"ac-20.2_smt","name":"statement","prose":"The organization {{ ac-20.2_prm_1 }} the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems."},{"id":"ac-20.2_gdn","name":"guidance","prose":"Limits on the use of organization-controlled portable storage devices in external\n information systems include, for example, complete prohibition of the use of such\n devices or restrictions on how the devices may be used and under what conditions\n the devices may be used."},{"id":"ac-20.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization restricts or prohibits the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for restricting or prohibiting\n use of organization-controlled storage devices on external information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing restrictions on use of portable storage\n devices"}]}]}]},{"id":"ac-21","class":"SP800-53","title":"Information Sharing","parameters":[{"id":"ac-21_prm_1","label":"organization-defined information sharing circumstances where user discretion is\n required"},{"id":"ac-21_prm_2","label":"organization-defined automated mechanisms or manual processes"}],"properties":[{"name":"label","value":"AC-21"},{"name":"sort-id","value":"ac-21"}],"parts":[{"id":"ac-21_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-21_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Facilitates information sharing by enabling authorized users to determine whether\n access authorizations assigned to the sharing partner match the access\n restrictions on the information for {{ ac-21_prm_1 }}; and"},{"id":"ac-21_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs {{ ac-21_prm_2 }} to assist users in making information\n sharing/collaboration decisions."}]},{"id":"ac-21_gdn","name":"guidance","prose":"This control applies to information that may be restricted in some manner (e.g.,\n privileged medical information, contract-sensitive information, proprietary\n information, personally identifiable information, classified information related to\n special access programs or compartments) based on some formal or administrative\n determination. Depending on the particular information-sharing circumstances, sharing\n partners may be defined at the individual, group, or organizational level.\n Information may be defined by content, type, security category, or special access\n program/compartment.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"}]},{"id":"ac-21_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-21.a_obj","name":"objective","properties":[{"name":"label","value":"AC-21(a)"}],"parts":[{"id":"ac-21.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-21(a)[1]"}],"prose":"defines information sharing circumstances where user discretion is\n required;"},{"id":"ac-21.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-21(a)[2]"}],"prose":"facilitates information sharing by enabling authorized users to determine\n whether access authorizations assigned to the sharing partner match the access\n restrictions on the information for organization-defined information sharing\n circumstances;"}]},{"id":"ac-21.b_obj","name":"objective","properties":[{"name":"label","value":"AC-21(b)"}],"parts":[{"id":"ac-21.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-21(b)[1]"}],"prose":"defines automated mechanisms or manual processes to be employed to assist users\n in making information sharing/collaboration decisions; and"},{"id":"ac-21.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-21(b)[2]"}],"prose":"employs organization-defined automated mechanisms or manual processes to assist\n users in making information sharing/collaboration decisions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing user-based collaboration and information sharing (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of users authorized to make information sharing/collaboration decisions\\n\\nlist of information sharing circumstances requiring user discretion\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel responsible for making information sharing/collaboration\n decisions\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms or manual process implementing access authorizations\n supporting information sharing/user collaboration decisions"}]}]},{"id":"ac-22","class":"SP800-53","title":"Publicly Accessible Content","parameters":[{"id":"ac-22_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AC-22"},{"name":"sort-id","value":"ac-22"}],"parts":[{"id":"ac-22_smt","name":"statement","prose":"The organization:","parts":[{"id":"ac-22_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and"},{"id":"ac-22_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered."}]},{"id":"ac-22_gdn","name":"guidance","prose":"In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-13","rel":"related","text":"AU-13"}]},{"id":"ac-22_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ac-22.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-22(a)"}],"prose":"designates individuals authorized to post information onto a publicly accessible\n information system;"},{"id":"ac-22.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(b)"}],"prose":"trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;"},{"id":"ac-22.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(c)"}],"prose":"reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;"},{"id":"ac-22.d_obj","name":"objective","properties":[{"name":"label","value":"AC-22(d)"}],"parts":[{"id":"ac-22.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AC-22(d)[1]"}],"prose":"defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;"},{"id":"ac-22.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(d)[2]"}],"prose":"reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and"},{"id":"ac-22.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AC-22(d)[3]"}],"prose":"removes nonpublic information from the publicly accessible information system,\n if discovered."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing management of publicly accessible content"}]}]}]},{"id":"at","class":"family","title":"Awareness and Training","controls":[{"id":"at-1","class":"SP800-53","title":"Security Awareness and Training Policy and Procedures","parameters":[{"id":"at-1_prm_1","label":"organization-defined personnel or roles"},{"id":"at-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"at-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-1"},{"name":"sort-id","value":"at-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"at-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ at-1_prm_1 }}:","parts":[{"id":"at-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"at-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and"}]},{"id":"at-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"at-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security awareness and training policy {{ at-1_prm_2 }}; and"},{"id":"at-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security awareness and training procedures {{ at-1_prm_3 }}."}]}]},{"id":"at-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"at-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-1.a_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)"}],"parts":[{"id":"at-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)"}],"parts":[{"id":"at-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(1)[1]"}],"prose":"develops and documents an security awareness and training policy that\n addresses:","parts":[{"id":"at-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"at-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"at-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"at-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"at-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"at-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"at-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AT-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"at-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;"},{"id":"at-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-1(a)(1)[3]"}],"prose":"disseminates the security awareness and training policy to\n organization-defined personnel or roles;"}]},{"id":"at-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(a)(2)"}],"parts":[{"id":"at-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;"},{"id":"at-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"at-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"at-1.b_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)"}],"parts":[{"id":"at-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(1)"}],"parts":[{"id":"at-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training policy;"},{"id":"at-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(1)[2]"}],"prose":"reviews and updates the current security awareness and training policy with\n the organization-defined frequency;"}]},{"id":"at-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AT-1(b)(2)"}],"parts":[{"id":"at-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security awareness\n and training procedures; and"},{"id":"at-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-1(b)(2)[2]"}],"prose":"reviews and updates the current security awareness and training procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"at-2","class":"SP800-53","title":"Security Awareness Training","parameters":[{"id":"at-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-2"},{"name":"sort-id","value":"at-02"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-2_smt","name":"statement","prose":"The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):","parts":[{"id":"at-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"As part of initial training for new users;"},{"id":"at-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-2_prm_1 }} thereafter."}]},{"id":"at-2_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"at-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-2(a)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;"},{"id":"at-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-2(b)"}],"prose":"provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and"},{"id":"at-2.c_obj","name":"objective","properties":[{"name":"label","value":"AT-2(c)"}],"parts":[{"id":"at-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-2(c)[1]"}],"prose":"defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and"},{"id":"at-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-2(c)[2]"}],"prose":"provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing security awareness training"}]}],"controls":[{"id":"at-2.2","class":"SP800-53-enhancement","title":"Insider Threat","properties":[{"name":"label","value":"AT-2(2)"},{"name":"sort-id","value":"at-02.02"}],"parts":[{"id":"at-2.2_smt","name":"statement","prose":"The organization includes security awareness training on recognizing and reporting\n potential indicators of insider threat."},{"id":"at-2.2_gdn","name":"guidance","prose":"Potential indicators and possible precursors of insider threat can include\n behaviors such as inordinate, long-term job dissatisfaction, attempts to gain\n access to information not required for job performance, unexplained access to\n financial resources, bullying or sexual harassment of fellow employees, workplace\n violence, and other serious violations of organizational policies, procedures,\n directives, rules, or practices. Security awareness training includes how to\n communicate employee and management concerns regarding potential indicators of\n insider threat through appropriate organizational channels in accordance with\n established organizational policies and procedures.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#pm-12","rel":"related","text":"PM-12"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"at-2.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization includes security awareness training on recognizing\n and reporting potential indicators of insider threat. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel that participate in security awareness training\\n\\norganizational personnel with responsibilities for basic security awareness\n training\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"at-3","class":"SP800-53","title":"Role-based Security Training","parameters":[{"id":"at-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-3"},{"name":"sort-id","value":"at-03"}],"links":[{"href":"#bb61234b-46c3-4211-8c2b-9869222a720d","rel":"reference","text":"C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"at-3_smt","name":"statement","prose":"The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:","parts":[{"id":"at-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Before authorizing access to the information system or performing assigned\n duties;"},{"id":"at-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"at-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ at-3_prm_1 }} thereafter."}]},{"id":"at-3_gdn","name":"guidance","prose":"Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-4","rel":"related","text":"AT-4"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-16","rel":"related","text":"SA-16"}]},{"id":"at-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(a)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;"},{"id":"at-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AT-3(b)"}],"prose":"provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and"},{"id":"at-3.c_obj","name":"objective","properties":[{"name":"label","value":"AT-3(c)"}],"parts":[{"id":"at-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-3(c)[1]"}],"prose":"defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and"},{"id":"at-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-3(c)[2]"}],"prose":"provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing role-based security training"}]}]},{"id":"at-4","class":"SP800-53","title":"Security Training Records","parameters":[{"id":"at-4_prm_1","label":"organization-defined time period","constraints":[{"detail":"At least one year"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AT-4"},{"name":"sort-id","value":"at-04"}],"parts":[{"id":"at-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"at-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and"},{"id":"at-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Retains individual training records for {{ at-4_prm_1 }}."}]},{"id":"at-4_gdn","name":"guidance","prose":"Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-14","rel":"related","text":"PM-14"}]},{"id":"at-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"at-4.a_obj","name":"objective","properties":[{"name":"label","value":"AT-4(a)"}],"parts":[{"id":"at-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-4(a)[1]"}],"prose":"documents individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[1][b]"}],"prose":"specific role-based information system security training;"}]},{"id":"at-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-4(a)[2]"}],"prose":"monitors individual information system security training activities\n including:","parts":[{"id":"at-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][a]"}],"prose":"basic security awareness training;"},{"id":"at-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"AT-4(a)[2][b]"}],"prose":"specific role-based information system security training;"}]}]},{"id":"at-4.b_obj","name":"objective","properties":[{"name":"label","value":"AT-4(b)"}],"parts":[{"id":"at-4.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AT-4(b)[1]"}],"prose":"defines a time period to retain individual training records; and"},{"id":"at-4.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AT-4(b)[2]"}],"prose":"retains individual training records for the organization-defined time\n period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security training record retention\n responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting management of security training records"}]}]}]},{"id":"au","class":"family","title":"Audit and Accountability","controls":[{"id":"au-1","class":"SP800-53","title":"Audit and Accountability Policy and Procedures","parameters":[{"id":"au-1_prm_1","label":"organization-defined personnel or roles"},{"id":"au-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"au-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-1"},{"name":"sort-id","value":"au-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"au-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ au-1_prm_1 }}:","parts":[{"id":"au-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"au-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and"}]},{"id":"au-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"au-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Audit and accountability policy {{ au-1_prm_2 }}; and"},{"id":"au-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Audit and accountability procedures {{ au-1_prm_3 }}."}]}]},{"id":"au-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"au-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-1.a_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)"}],"parts":[{"id":"au-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)"}],"parts":[{"id":"au-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(1)[1]"}],"prose":"develops and documents an audit and accountability policy that\n addresses:","parts":[{"id":"au-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"au-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"au-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"au-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"au-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"au-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"au-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"AU-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"au-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;"},{"id":"au-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-1(a)(1)[3]"}],"prose":"disseminates the audit and accountability policy to organization-defined\n personnel or roles;"}]},{"id":"au-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(a)(2)"}],"parts":[{"id":"au-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;"},{"id":"au-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"au-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"au-1.b_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)"}],"parts":[{"id":"au-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(1)"}],"parts":[{"id":"au-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability policy;"},{"id":"au-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(1)[2]"}],"prose":"reviews and updates the current audit and accountability policy with the\n organization-defined frequency;"}]},{"id":"au-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"AU-1(b)(2)"}],"parts":[{"id":"au-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current audit and\n accountability procedures; and"},{"id":"au-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-1(b)(2)[2]"}],"prose":"reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"au-2","class":"SP800-53","title":"Audit Events","parameters":[{"id":"au-2_prm_1","label":"organization-defined auditable events","constraints":[{"detail":"successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes"}]},{"id":"au-2_prm_2","label":"organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event","constraints":[{"detail":"organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-2"},{"name":"sort-id","value":"au-02"}],"links":[{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"au-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};"},{"id":"au-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and"},{"id":"au-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}."},{"id":"au-2_fr","name":"item","title":"AU-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-2_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO."}]}]},{"id":"au-2_gdn","name":"guidance","prose":"An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-2.a_obj","name":"objective","properties":[{"name":"label","value":"AU-2(a)"}],"parts":[{"id":"au-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(a)[1]"}],"prose":"defines the auditable events that the information system must be capable of\n auditing;"},{"id":"au-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-2(a)[2]"}],"prose":"determines that the information system is capable of auditing\n organization-defined auditable events;"}]},{"id":"au-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(b)"}],"prose":"coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;"},{"id":"au-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(c)"}],"prose":"provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;"},{"id":"au-2.d_obj","name":"objective","properties":[{"name":"label","value":"AU-2(d)"}],"parts":[{"id":"au-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(d)[1]"}],"prose":"defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;"},{"id":"au-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(d)[2]"}],"prose":"determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and"},{"id":"au-2.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-2(d)[3]"}],"prose":"determines the frequency of (or situation requiring) auditing for each\n identified event."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing"}]}],"controls":[{"id":"au-2.3","class":"SP800-53-enhancement","title":"Reviews and Updates","parameters":[{"id":"au-2.3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"annually or whenever there is a change in the threat environment"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-2(3)"},{"name":"sort-id","value":"au-02.03"}],"parts":[{"id":"au-2.3_smt","name":"statement","prose":"The organization reviews and updates the audited events {{ au-2.3_prm_1 }}.","parts":[{"id":"au-2.3_fr","name":"item","title":"AU-2 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-2.3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO."}]}]},{"id":"au-2.3_gdn","name":"guidance","prose":"Over time, the events that organizations believe should be audited may change.\n Reviewing and updating the set of audited events periodically is necessary to\n ensure that the current set is still necessary and sufficient."},{"id":"au-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-2(3)[1]"}],"prose":"defines the frequency to review and update the audited events; and"},{"id":"au-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-2(3)[2]"}],"prose":"reviews and updates the auditable events with organization-defined\n frequency."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\nlist of organization-defined auditable events\\n\\nauditable events review and update records\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting review and update of auditable events"}]}]}]},{"id":"au-3","class":"SP800-53","title":"Content of Audit Records","properties":[{"name":"label","value":"AU-3"},{"name":"sort-id","value":"au-03"}],"parts":[{"id":"au-3_smt","name":"statement","prose":"The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event."},{"id":"au-3_gdn","name":"guidance","prose":"Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-8","rel":"related","text":"AU-8"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"au-3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system generates audit records containing information\n that establishes: ","parts":[{"id":"au-3_obj.1","name":"objective","properties":[{"name":"label","value":"AU-3[1]"}],"prose":"what type of event occurred;"},{"id":"au-3_obj.2","name":"objective","properties":[{"name":"label","value":"AU-3[2]"}],"prose":"when the event occurred;"},{"id":"au-3_obj.3","name":"objective","properties":[{"name":"label","value":"AU-3[3]"}],"prose":"where the event occurred;"},{"id":"au-3_obj.4","name":"objective","properties":[{"name":"label","value":"AU-3[4]"}],"prose":"the source of the event;"},{"id":"au-3_obj.5","name":"objective","properties":[{"name":"label","value":"AU-3[5]"}],"prose":"the outcome of the event; and"},{"id":"au-3_obj.6","name":"objective","properties":[{"name":"label","value":"AU-3[6]"}],"prose":"the identity of any individuals or subjects associated with the event."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system auditing of auditable\n events"}]}],"controls":[{"id":"au-3.1","class":"SP800-53-enhancement","title":"Additional Audit Information","parameters":[{"id":"au-3.1_prm_1","label":"organization-defined additional, more detailed information","constraints":[{"detail":"session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon"}]}],"properties":[{"name":"label","value":"AU-3(1)"},{"name":"sort-id","value":"au-03.01"}],"parts":[{"id":"au-3.1_smt","name":"statement","prose":"The information system generates audit records containing the following additional\n information: {{ au-3.1_prm_1 }}.","parts":[{"id":"au-3.1_fr","name":"item","title":"AU-3 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-3.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO."},{"id":"au-3.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry."}]}]},{"id":"au-3.1_gdn","name":"guidance","prose":"Detailed information that organizations may consider in audit records includes,\n for example, full text recording of privileged commands or the individual\n identities of group account users. Organizations consider limiting the additional\n audit information to only that information explicitly needed for specific audit\n requirements. This facilitates the use of audit trails and audit logs by not\n including information that could potentially be misleading or could make it more\n difficult to locate information of interest."},{"id":"au-3.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-3.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-3(1)[1]"}],"prose":"the organization defines additional, more detailed information to be contained\n in audit records that the information system generates; and"},{"id":"au-3.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-3(1)[2]"}],"prose":"the information system generates audit records containing the\n organization-defined additional, more detailed information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Information system audit capability"}]}]}]},{"id":"au-4","class":"SP800-53","title":"Audit Storage Capacity","parameters":[{"id":"au-4_prm_1","label":"organization-defined audit record storage requirements"}],"properties":[{"name":"label","value":"AU-4"},{"name":"sort-id","value":"au-04"}],"parts":[{"id":"au-4_smt","name":"statement","prose":"The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}."},{"id":"au-4_gdn","name":"guidance","prose":"Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-11","rel":"related","text":"AU-11"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"au-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-4_obj.1","name":"objective","properties":[{"name":"label","value":"AU-4[1]"}],"prose":"defines audit record storage requirements; and"},{"id":"au-4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-4[2]"}],"prose":"allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit record storage capacity and related configuration settings"}]}]},{"id":"au-5","class":"SP800-53","title":"Response to Audit Processing Failures","parameters":[{"id":"au-5_prm_1","label":"organization-defined personnel or roles"},{"id":"au-5_prm_2","label":"organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)","constraints":[{"detail":"organization-defined actions to be taken (overwrite oldest record)"}]}],"properties":[{"name":"label","value":"AU-5"},{"name":"sort-id","value":"au-05"}],"parts":[{"id":"au-5_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and"},{"id":"au-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Takes the following additional actions: {{ au-5_prm_2 }}."}]},{"id":"au-5_gdn","name":"guidance","prose":"Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"au-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-5.a_obj","name":"objective","properties":[{"name":"label","value":"AU-5(a)"}],"parts":[{"id":"au-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(a)[1]"}],"prose":"the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;"},{"id":"au-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(a)[2]"}],"prose":"the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;"}]},{"id":"au-5.b_obj","name":"objective","properties":[{"name":"label","value":"AU-5(b)"}],"parts":[{"id":"au-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-5(b)[1]"}],"prose":"the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and"},{"id":"au-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-5(b)[2]"}],"prose":"the information system takes the additional organization-defined actions in the\n event of an audit processing failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing information system response to audit processing\n failures"}]}]},{"id":"au-6","class":"SP800-53","title":"Audit Review, Analysis, and Reporting","parameters":[{"id":"au-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"au-6_prm_2","label":"organization-defined inappropriate or unusual activity"},{"id":"au-6_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-6"},{"name":"sort-id","value":"au-06"}],"parts":[{"id":"au-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"au-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and"},{"id":"au-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports findings to {{ au-6_prm_3 }}."},{"id":"au-6_fr","name":"item","title":"AU-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented."}]}]},{"id":"au-6_gdn","name":"guidance","prose":"Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-10","rel":"related","text":"CM-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#pe-14","rel":"related","text":"PE-14"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-18","rel":"related","text":"SC-18"},{"href":"#sc-19","rel":"related","text":"SC-19"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"au-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-6.a_obj","name":"objective","properties":[{"name":"label","value":"AU-6(a)"}],"parts":[{"id":"au-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(a)[1]"}],"prose":"defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;"},{"id":"au-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(a)[2]"}],"prose":"defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;"},{"id":"au-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(a)[3]"}],"prose":"reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;"}]},{"id":"au-6.b_obj","name":"objective","properties":[{"name":"label","value":"AU-6(b)"}],"parts":[{"id":"au-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-6(b)[1]"}],"prose":"defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and"},{"id":"au-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(b)[2]"}],"prose":"reports findings to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}],"controls":[{"id":"au-6.1","class":"SP800-53-enhancement","title":"Process Integration","properties":[{"name":"label","value":"AU-6(1)"},{"name":"sort-id","value":"au-06.01"}],"parts":[{"id":"au-6.1_smt","name":"statement","prose":"The organization employs automated mechanisms to integrate audit review, analysis,\n and reporting processes to support organizational processes for investigation and\n response to suspicious activities."},{"id":"au-6.1_gdn","name":"guidance","prose":"Organizational processes benefiting from integrated audit review, analysis, and\n reporting include, for example, incident response, continuous monitoring,\n contingency planning, and Inspector General audits.","links":[{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#pm-7","rel":"related","text":"PM-7"}]},{"id":"au-6.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"au-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-6(1)[1]"}],"prose":"employs automated mechanisms to integrate:","parts":[{"id":"au-6.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-6(1)[1][a]"}],"prose":"audit review;"},{"id":"au-6.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-6(1)[1][b]"}],"prose":"analysis;"},{"id":"au-6.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-6(1)[1][c]"}],"prose":"reporting processes;"}]},{"id":"au-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-6(1)[2]"}],"prose":"uses integrated audit review, analysis and reporting processes to support\n organizational processes for:","parts":[{"id":"au-6.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-6(1)[2][a]"}],"prose":"investigation of suspicious activities; and"},{"id":"au-6.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-6(1)[2][b]"}],"prose":"response to suspicious activities."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nprocedures addressing investigation and response to suspicious activities\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms integrating audit review, analysis, and reporting\n processes"}]}]},{"id":"au-6.3","class":"SP800-53-enhancement","title":"Correlate Audit Repositories","properties":[{"name":"label","value":"AU-6(3)"},{"name":"sort-id","value":"au-06.03"}],"parts":[{"id":"au-6.3_smt","name":"statement","prose":"The organization analyzes and correlates audit records across different\n repositories to gain organization-wide situational awareness."},{"id":"au-6.3_gdn","name":"guidance","prose":"Organization-wide situational awareness includes awareness across all three tiers\n of risk management (i.e., organizational, mission/business process, and\n information system) and supports cross-organization awareness.","links":[{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ir-4","rel":"related","text":"IR-4"}]},{"id":"au-6.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization analyzes and correlates audit records across\n different repositories to gain organization-wide situational awareness. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records across different repositories\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting analysis and correlation of audit records"}]}]}]},{"id":"au-7","class":"SP800-53","title":"Audit Reduction and Report Generation","properties":[{"name":"label","value":"AU-7"},{"name":"sort-id","value":"au-07"}],"parts":[{"id":"au-7_smt","name":"statement","prose":"The information system provides an audit reduction and report generation capability\n that:","parts":[{"id":"au-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Supports on-demand audit review, analysis, and reporting requirements and\n after-the-fact investigations of security incidents; and"},{"id":"au-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Does not alter the original content or time ordering of audit records."}]},{"id":"au-7_gdn","name":"guidance","prose":"Audit reduction is a process that manipulates collected audit information and\n organizes such information in a summary format that is more meaningful to analysts.\n Audit reduction and report generation capabilities do not always emanate from the\n same information system or from the same organizational entities conducting auditing\n activities. Audit reduction capability can include, for example, modern data mining\n techniques with advanced data filters to identify anomalous behavior in audit\n records. The report generation capability provided by the information system can\n generate customizable reports. Time ordering of audit records can be a significant\n issue if the granularity of the timestamp in the record is insufficient.","links":[{"href":"#au-6","rel":"related","text":"AU-6"}]},{"id":"au-7_obj","name":"objective","prose":"Determine if the information system provides an audit reduction and report generation\n capability that supports:","parts":[{"id":"au-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-7(a)"}],"parts":[{"id":"au-7.a_obj.1","name":"objective","properties":[{"name":"label","value":"AU-7(a)[1]"}],"prose":"on-demand audit review;"},{"id":"au-7.a_obj.2","name":"objective","properties":[{"name":"label","value":"AU-7(a)[2]"}],"prose":"analysis;"},{"id":"au-7.a_obj.3","name":"objective","properties":[{"name":"label","value":"AU-7(a)[3]"}],"prose":"reporting requirements;"},{"id":"au-7.a_obj.4","name":"objective","properties":[{"name":"label","value":"AU-7(a)[4]"}],"prose":"after-the-fact investigations of security incidents; and"}]},{"id":"au-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-7(b)"}],"prose":"does not alter the original content or time ordering of audit records."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit reduction and report generation capability"}]}],"controls":[{"id":"au-7.1","class":"SP800-53-enhancement","title":"Automatic Processing","parameters":[{"id":"au-7.1_prm_1","label":"organization-defined audit fields within audit records"}],"properties":[{"name":"label","value":"AU-7(1)"},{"name":"sort-id","value":"au-07.01"}],"parts":[{"id":"au-7.1_smt","name":"statement","prose":"The information system provides the capability to process audit records for events\n of interest based on {{ au-7.1_prm_1 }}."},{"id":"au-7.1_gdn","name":"guidance","prose":"Events of interest can be identified by the content of specific audit record\n fields including, for example, identities of individuals, event types, event\n locations, event times, event dates, system resources involved, IP addresses\n involved, or information objects accessed. Organizations may define audit event\n criteria to any degree of granularity required, for example, locations selectable\n by general networking location (e.g., by network or subnetwork) or selectable by\n specific information system component.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-7.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-7.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-7(1)[1]"}],"prose":"the organization defines audit fields within audit records in order to process\n audit records for events of interest; and"},{"id":"au-7.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-7(1)[2]"}],"prose":"the information system provides the capability to process audit records for\n events of interest based on the organization-defined audit fields within audit\n records."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\naudit record criteria (fields) establishing events of interest\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Audit reduction and report generation capability"}]}]}]},{"id":"au-8","class":"SP800-53","title":"Time Stamps","parameters":[{"id":"au-8_prm_1","label":"organization-defined granularity of time measurement"}],"properties":[{"name":"label","value":"AU-8"},{"name":"sort-id","value":"au-08"}],"parts":[{"id":"au-8_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses internal system clocks to generate time stamps for audit records; and"},{"id":"au-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}."}]},{"id":"au-8_gdn","name":"guidance","prose":"Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.","links":[{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-12","rel":"related","text":"AU-12"}]},{"id":"au-8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(a)"}],"prose":"the information system uses internal system clocks to generate time stamps for\n audit records;"},{"id":"au-8.b_obj","name":"objective","properties":[{"name":"label","value":"AU-8(b)"}],"parts":[{"id":"au-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(b)[1]"}],"prose":"the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);"},{"id":"au-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(b)[2]"}],"prose":"the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and"},{"id":"au-8.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(b)[3]"}],"prose":"the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing time stamp generation"}]}],"controls":[{"id":"au-8.1","class":"SP800-53-enhancement","title":"Synchronization with Authoritative Time Source","parameters":[{"id":"au-8.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"At least hourly"}]},{"id":"au-8.1_prm_2","label":"organization-defined authoritative time source","constraints":[{"detail":"http://tf.nist.gov/tf-cgi/servers.cgi"}]},{"id":"au-8.1_prm_3","label":"organization-defined time period"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-8(1)"},{"name":"sort-id","value":"au-08.01"}],"parts":[{"id":"au-8.1_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-8.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Compares the internal information system clocks {{ au-8.1_prm_1 }} with {{ au-8.1_prm_2 }}; and"},{"id":"au-8.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Synchronizes the internal system clocks to the authoritative time source when\n the time difference is greater than {{ au-8.1_prm_3 }}."},{"id":"au-8.1_fr","name":"item","title":"AU-8 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-8.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server."},{"id":"au-8.1_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server."},{"id":"au-8.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Synchronization of system clocks improves the accuracy of log analysis."}]}]},{"id":"au-8.1_gdn","name":"guidance","prose":"This control enhancement provides uniformity of time stamps for information\n systems with multiple system clocks and systems connected over a network."},{"id":"au-8.1_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-8.1.a_obj","name":"objective","properties":[{"name":"label","value":"AU-8(1)(a)"}],"parts":[{"id":"au-8.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(1)(a)[1]"}],"prose":"the organization defines the authoritative time source to which internal\n information system clocks are to be compared;"},{"id":"au-8.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(1)(a)[2]"}],"prose":"the organization defines the frequency to compare the internal information\n system clocks with the organization-defined authoritative time source;\n and"},{"id":"au-8.1.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(1)(a)[3]"}],"prose":"the information system compares the internal information system clocks with\n the organization-defined authoritative time source with organization-defined\n frequency; and"}],"links":[{"href":"#au-8.1_smt.a","rel":"corresp","text":"AU-8(1)(a)"}]},{"id":"au-8.1.b_obj","name":"objective","properties":[{"name":"label","value":"AU-8(1)(b)"}],"parts":[{"id":"au-8.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-8(1)(b)[1]"}],"prose":"the organization defines the time period that, if exceeded by the time\n difference between the internal system clocks and the authoritative time\n source, will result in the internal system clocks being synchronized to the\n authoritative time source; and"},{"id":"au-8.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-8(1)(b)[2]"}],"prose":"the information system synchronizes the internal information system clocks\n to the authoritative time source when the time difference is greater than\n the organization-defined time period."}],"links":[{"href":"#au-8.1_smt.b","rel":"corresp","text":"AU-8(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing internal information system clock\n synchronization"}]}]}]},{"id":"au-9","class":"SP800-53","title":"Protection of Audit Information","properties":[{"name":"label","value":"AU-9"},{"name":"sort-id","value":"au-09"}],"parts":[{"id":"au-9_smt","name":"statement","prose":"The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion."},{"id":"au-9_gdn","name":"guidance","prose":"Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-6","rel":"related","text":"PE-6"}]},{"id":"au-9_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"au-9_obj.1","name":"objective","properties":[{"name":"label","value":"AU-9[1]"}],"prose":"the information system protects audit information from unauthorized:","parts":[{"id":"au-9_obj.1.a","name":"objective","properties":[{"name":"label","value":"AU-9[1][a]"}],"prose":"access;"},{"id":"au-9_obj.1.b","name":"objective","properties":[{"name":"label","value":"AU-9[1][b]"}],"prose":"modification;"},{"id":"au-9_obj.1.c","name":"objective","properties":[{"name":"label","value":"AU-9[1][c]"}],"prose":"deletion;"}]},{"id":"au-9_obj.2","name":"objective","properties":[{"name":"label","value":"AU-9[2]"}],"prose":"the information system protects audit tools from unauthorized:","parts":[{"id":"au-9_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-9[2][a]"}],"prose":"access;"},{"id":"au-9_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-9[2][b]"}],"prose":"modification; and"},{"id":"au-9_obj.2.c","name":"objective","properties":[{"name":"label","value":"AU-9[2][c]"}],"prose":"deletion."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit information protection"}]}],"controls":[{"id":"au-9.2","class":"SP800-53-enhancement","title":"Audit Backup On Separate Physical Systems / Components","parameters":[{"id":"au-9.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-9(2)"},{"name":"sort-id","value":"au-09.02"}],"parts":[{"id":"au-9.2_smt","name":"statement","prose":"The information system backs up audit records {{ au-9.2_prm_1 }}\n onto a physically different system or system component than the system or\n component being audited."},{"id":"au-9.2_gdn","name":"guidance","prose":"This control enhancement helps to ensure that a compromise of the information\n system being audited does not also result in a compromise of the audit\n records.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-11","rel":"related","text":"AU-11"}]},{"id":"au-9.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-9.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-9(2)[1]"}],"prose":"the organization defines the frequency to back up audit records onto a\n physically different system or system component than the system or component\n being audited; and"},{"id":"au-9.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-9(2)[2]"}],"prose":"the information system backs up audit records with the organization-defined\n frequency, onto a physically different system or system component than the\n system or component being audited."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation, system\n or media storing backups of information system audit records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing the backing up of audit records"}]}]},{"id":"au-9.4","class":"SP800-53-enhancement","title":"Access by Subset of Privileged Users","parameters":[{"id":"au-9.4_prm_1","label":"organization-defined subset of privileged users"}],"properties":[{"name":"label","value":"AU-9(4)"},{"name":"sort-id","value":"au-09.04"}],"parts":[{"id":"au-9.4_smt","name":"statement","prose":"The organization authorizes access to management of audit functionality to only\n {{ au-9.4_prm_1 }}."},{"id":"au-9.4_gdn","name":"guidance","prose":"Individuals with privileged access to an information system and who are also the\n subject of an audit by that system, may affect the reliability of audit\n information by inhibiting audit activities or modifying audit records. This\n control enhancement requires that privileged access be further defined between\n audit-related privileges and other privileges, thus limiting the users with\n audit-related privileges.","links":[{"href":"#ac-5","rel":"related","text":"AC-5"}]},{"id":"au-9.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-9.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-9(4)[1]"}],"prose":"defines a subset of privileged users to be authorized access to management of\n audit functionality; and"},{"id":"au-9.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-9(4)[2]"}],"prose":"authorizes access to management of audit functionality to only the\n organization-defined subset of privileged users."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n system-generated list of privileged users with access to management of audit\n functionality\\n\\naccess authorizations\\n\\naccess control list\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms managing access to audit functionality"}]}]}]},{"id":"au-11","class":"SP800-53","title":"Audit Record Retention","parameters":[{"id":"au-11_prm_1","label":"organization-defined time period consistent with records retention policy","constraints":[{"detail":"at least ninety days"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"AU-11"},{"name":"sort-id","value":"au-11"}],"parts":[{"id":"au-11_smt","name":"statement","prose":"The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements.","parts":[{"id":"au-11_fr","name":"item","title":"AU-11 Additional FedRAMP Requirements and Guidance","parts":[{"id":"au-11_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements."}]}]},{"id":"au-11_gdn","name":"guidance","prose":"Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.","links":[{"href":"#au-4","rel":"related","text":"AU-4"},{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"au-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"au-11_obj.1","name":"objective","properties":[{"name":"label","value":"AU-11[1]"}],"prose":"defines a time period to retain audit records that is consistent with records\n retention policy;"},{"id":"au-11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"AU-11[2]"}],"prose":"retains audit records for the organization-defined time period consistent with\n records retention policy to:","parts":[{"id":"au-11_obj.2.a","name":"objective","properties":[{"name":"label","value":"AU-11[2][a]"}],"prose":"provide support for after-the-fact investigations of security incidents;\n and"},{"id":"au-11_obj.2.b","name":"objective","properties":[{"name":"label","value":"AU-11[2][b]"}],"prose":"meet regulatory and organizational information retention requirements."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"au-12","class":"SP800-53","title":"Audit Generation","parameters":[{"id":"au-12_prm_1","label":"organization-defined information system components","constraints":[{"detail":"all information system and network components where audit capability is deployed/available"}]},{"id":"au-12_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"AU-12"},{"name":"sort-id","value":"au-12"}],"parts":[{"id":"au-12_smt","name":"statement","prose":"The information system:","parts":[{"id":"au-12_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};"},{"id":"au-12_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and"},{"id":"au-12_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3."}]},{"id":"au-12_gdn","name":"guidance","prose":"Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"}]},{"id":"au-12_obj","name":"objective","prose":"Determine if:","parts":[{"id":"au-12.a_obj","name":"objective","properties":[{"name":"label","value":"AU-12(a)"}],"parts":[{"id":"au-12.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(a)[1]"}],"prose":"the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;"},{"id":"au-12.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(a)[2]"}],"prose":"the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;"}]},{"id":"au-12.b_obj","name":"objective","properties":[{"name":"label","value":"AU-12(b)"}],"parts":[{"id":"au-12.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"AU-12(b)[1]"}],"prose":"the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;"},{"id":"au-12.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(b)[2]"}],"prose":"the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and"}]},{"id":"au-12.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"AU-12(c)"}],"prose":"the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing audit record generation capability"}]}]}]},{"id":"ca","class":"family","title":"Security Assessment and Authorization","controls":[{"id":"ca-1","class":"SP800-53","title":"Security Assessment and Authorization Policy and Procedures","parameters":[{"id":"ca-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ca-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ca-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-1"},{"name":"sort-id","value":"ca-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ca-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ca-1_prm_1 }}:","parts":[{"id":"ca-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ca-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and"}]},{"id":"ca-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ca-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security assessment and authorization policy {{ ca-1_prm_2 }};\n and"},{"id":"ca-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security assessment and authorization procedures {{ ca-1_prm_3 }}."}]}]},{"id":"ca-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ca-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-1.a_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)"}],"parts":[{"id":"ca-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)"}],"parts":[{"id":"ca-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(1)[1]"}],"prose":"develops and documents a security assessment and authorization policy that\n addresses:","parts":[{"id":"ca-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ca-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ca-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ca-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ca-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ca-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ca-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ca-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;"},{"id":"ca-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-1(a)(1)[3]"}],"prose":"disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;"}]},{"id":"ca-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(a)(2)"}],"parts":[{"id":"ca-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;"},{"id":"ca-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ca-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ca-1.b_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)"}],"parts":[{"id":"ca-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(1)"}],"parts":[{"id":"ca-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization policy;"},{"id":"ca-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(1)[2]"}],"prose":"reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;"}]},{"id":"ca-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CA-1(b)(2)"}],"parts":[{"id":"ca-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current security assessment\n and authorization procedures; and"},{"id":"ca-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-1(b)(2)[2]"}],"prose":"reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-2","class":"SP800-53","title":"Security Assessments","parameters":[{"id":"ca-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-2_prm_2","label":"organization-defined individuals or roles","constraints":[{"detail":"individuals or roles to include FedRAMP PMO"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-2"},{"name":"sort-id","value":"ca-02"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security controls and control enhancements under assessment;"},{"id":"ca-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Assessment procedures to be used to determine security control effectiveness;\n and"},{"id":"ca-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Assessment environment, assessment team, and assessment roles and\n responsibilities;"}]},{"id":"ca-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;"},{"id":"ca-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Produces a security assessment report that documents the results of the\n assessment; and"},{"id":"ca-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Provides the results of the security control assessment to {{ ca-2_prm_2 }}."},{"id":"ca-2_fr","name":"item","title":"CA-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-2_gdn","name":"guidance","prose":"Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.","links":[{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(a)"}],"prose":"develops a security assessment plan that describes the scope of the assessment\n including:","parts":[{"id":"ca-2.a.1_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(1)"}],"prose":"security controls and control enhancements under assessment;"},{"id":"ca-2.a.2_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(2)"}],"prose":"assessment procedures to be used to determine security control\n effectiveness;"},{"id":"ca-2.a.3_obj","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)"}],"parts":[{"id":"ca-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[1]"}],"prose":"assessment environment;"},{"id":"ca-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[2]"}],"prose":"assessment team;"},{"id":"ca-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CA-2(a)(3)[3]"}],"prose":"assessment roles and responsibilities;"}]}]},{"id":"ca-2.b_obj","name":"objective","properties":[{"name":"label","value":"CA-2(b)"}],"parts":[{"id":"ca-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(b)[1]"}],"prose":"defines the frequency to assess the security controls in the information system\n and its environment of operation;"},{"id":"ca-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(b)[2]"}],"prose":"assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;"}]},{"id":"ca-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(c)"}],"prose":"produces a security assessment report that documents the results of the\n assessment;"},{"id":"ca-2.d_obj","name":"objective","properties":[{"name":"label","value":"CA-2(d)"}],"parts":[{"id":"ca-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(d)[1]"}],"prose":"defines individuals or roles to whom the results of the security control\n assessment are to be provided; and"},{"id":"ca-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(d)[2]"}],"prose":"provides the results of the security control assessment to organization-defined\n individuals or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting"}]}],"controls":[{"id":"ca-2.1","class":"SP800-53-enhancement","title":"Independent Assessors","parameters":[{"id":"ca-2.1_prm_1","label":"organization-defined level of independence"}],"properties":[{"name":"label","value":"CA-2(1)"},{"name":"sort-id","value":"ca-02.01"}],"parts":[{"id":"ca-2.1_smt","name":"statement","prose":"The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments.","parts":[{"id":"ca-2.1_fr","name":"item","title":"CA-2 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)."}]}]},{"id":"ca-2.1_gdn","name":"guidance","prose":"Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments."},{"id":"ca-2.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(1)[1]"}],"prose":"defines the level of independence to be employed to conduct security control\n assessments; and"},{"id":"ca-2.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-2(1)[2]"}],"prose":"employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ca-2.2","class":"SP800-53-enhancement","title":"Specialized Assessments","parameters":[{"id":"ca-2.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-2.2_prm_2"},{"id":"ca-2.2_prm_3"},{"id":"ca-2.2_prm_4","depends-on":"ca-2.2_prm_3","label":"organization-defined other forms of security assessment"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-2(2)"},{"name":"sort-id","value":"ca-02.02"}],"parts":[{"id":"ca-2.2_smt","name":"statement","prose":"The organization includes as part of security control assessments, {{ ca-2.2_prm_1 }}, {{ ca-2.2_prm_2 }}, {{ ca-2.2_prm_3 }}.","parts":[{"id":"ca-2.2_fr","name":"item","title":"CA-2 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-2.2_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"To include 'announced', 'vulnerability scanning'"}]}]},{"id":"ca-2.2_gdn","name":"guidance","prose":"Organizations can employ information system monitoring, insider threat\n assessments, malicious user testing, and other forms of testing (e.g.,\n verification and validation) to improve readiness by exercising organizational\n capabilities and indicating current performance levels as a means of focusing\n actions to improve security. Organizations conduct assessment activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n regulations, and standards. Authorizing officials approve the assessment methods\n in coordination with the organizational risk executive function. Organizations can\n incorporate vulnerabilities uncovered during assessments into vulnerability\n remediation processes.","links":[{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ca-2.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(2)[1]"}],"prose":"selects one or more of the following forms of specialized security assessment\n to be included as part of security control assessments:","parts":[{"id":"ca-2.2_obj.1.a","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][a]"}],"prose":"in-depth monitoring;"},{"id":"ca-2.2_obj.1.b","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][b]"}],"prose":"vulnerability scanning;"},{"id":"ca-2.2_obj.1.c","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][c]"}],"prose":"malicious user testing;"},{"id":"ca-2.2_obj.1.d","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][d]"}],"prose":"insider threat assessment;"},{"id":"ca-2.2_obj.1.e","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][e]"}],"prose":"performance/load testing; and/or"},{"id":"ca-2.2_obj.1.f","name":"objective","properties":[{"name":"label","value":"CA-2(2)[1][f]"}],"prose":"other forms of organization-defined specialized security assessment;"}]},{"id":"ca-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(2)[2]"}],"prose":"defines the frequency for conducting the selected form(s) of specialized\n security assessment;"},{"id":"ca-2.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(2)[3]"}],"prose":"defines whether the specialized security assessment will be announced or\n unannounced; and"},{"id":"ca-2.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-2(2)[4]"}],"prose":"conducts announced or unannounced organization-defined forms of specialized\n security assessments with the organization-defined frequency as part of\n security control assessments."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting security control assessment"}]}]},{"id":"ca-2.3","class":"SP800-53-enhancement","title":"External Organizations","parameters":[{"id":"ca-2.3_prm_1","label":"organization-defined information system","constraints":[{"detail":"any FedRAMP Accredited 3PAO"}]},{"id":"ca-2.3_prm_2","label":"organization-defined external organization","constraints":[{"detail":"any FedRAMP Accredited 3PAO"}]},{"id":"ca-2.3_prm_3","label":"organization-defined requirements","constraints":[{"detail":"the conditions of the JAB/AO in the FedRAMP Repository"}]}],"properties":[{"name":"label","value":"CA-2(3)"},{"name":"sort-id","value":"ca-02.03"}],"parts":[{"id":"ca-2.3_smt","name":"statement","prose":"The organization accepts the results of an assessment of {{ ca-2.3_prm_1 }} performed by {{ ca-2.3_prm_2 }} when\n the assessment meets {{ ca-2.3_prm_3 }}."},{"id":"ca-2.3_gdn","name":"guidance","prose":"Organizations may often rely on assessments of specific information systems by\n other (external) organizations. Utilizing such existing assessments (i.e., reusing\n existing assessment evidence) can significantly decrease the time and resources\n required for organizational assessments by limiting the amount of independent\n assessment activities that organizations need to perform. The factors that\n organizations may consider in determining whether to accept assessment results\n from external organizations can vary. Determinations for accepting assessment\n results can be based on, for example, past assessment experiences one organization\n has had with another organization, the reputation that organizations have with\n regard to assessments, the level of detail of supporting assessment documentation\n provided, or mandates imposed upon organizations by federal legislation, policies,\n or directives."},{"id":"ca-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(3)[1]"}],"prose":"defines an information system for which the results of a security assessment\n performed by an external organization are to be accepted;"},{"id":"ca-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(3)[2]"}],"prose":"defines an external organization from which to accept a security assessment\n performed on an organization-defined information system;"},{"id":"ca-2.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-2(3)[3]"}],"prose":"defines the requirements to be met by a security assessment performed by\n organization-defined external organization on organization-defined information\n system; and"},{"id":"ca-2.3_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-2(3)[4]"}],"prose":"accepts the results of an assessment of an organization-defined information\n system performed by an organization-defined external organization when the\n assessment meets organization-defined requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment requirements\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel performing security assessments for the specified external\n organization"}]}]}]},{"id":"ca-3","class":"SP800-53","title":"System Interconnections","parameters":[{"id":"ca-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually and on input from FedRAMP"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-3"},{"name":"sort-id","value":"ca-03"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#2711f068-734e-4afd-94ba-0b22247fbc88","rel":"reference","text":"NIST Special Publication 800-47"}],"parts":[{"id":"ca-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and"},{"id":"ca-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}."}]},{"id":"ca-3_gdn","name":"guidance","prose":"This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#au-16","rel":"related","text":"AU-16"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(a)"}],"prose":"authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;"},{"id":"ca-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(b)"}],"prose":"documents, for each interconnection:","parts":[{"id":"ca-3.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-3(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-3.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-3(b)[2]"}],"prose":"the security requirements;"},{"id":"ca-3.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-3(b)[3]"}],"prose":"the nature of the information communicated;"}]},{"id":"ca-3.c_obj","name":"objective","properties":[{"name":"label","value":"CA-3(c)"}],"parts":[{"id":"ca-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(c)[1]"}],"prose":"defines the frequency to review and update Interconnection Security Agreements;\n and"},{"id":"ca-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(c)[2]"}],"prose":"reviews and updates Interconnection Security Agreements with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies"}]}],"controls":[{"id":"ca-3.3","class":"SP800-53-enhancement","title":"Unclassified Non-national Security System Connections","parameters":[{"id":"ca-3.3_prm_1","label":"organization-defined unclassified, non-national security system"},{"id":"ca-3.3_prm_2","label":"Assignment; organization-defined boundary protection device","constraints":[{"detail":"Boundary Protections which meet the Trusted Internet Connection (TIC) requirements"}]}],"properties":[{"name":"label","value":"CA-3(3)"},{"name":"sort-id","value":"ca-03.03"}],"parts":[{"id":"ca-3.3_smt","name":"statement","prose":"The organization prohibits the direct connection of an {{ ca-3.3_prm_1 }} to an external network without the use of {{ ca-3.3_prm_2 }}.","parts":[{"id":"ca-3.3_fr","name":"item","title":"CA-3 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-3.3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document."}]}]},{"id":"ca-3.3_gdn","name":"guidance","prose":"Organizations typically do not have control over external networks (e.g., the\n Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate\n communications (i.e., information flows) between unclassified non-national\n security systems and external networks. This control enhancement is required for\n organizations processing, storing, or transmitting Controlled Unclassified\n Information (CUI)."},{"id":"ca-3.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-3.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-3(3)[1]"}],"prose":"defines an unclassified, non-national security system whose direct connection\n to an external network is to be prohibited without the use of approved boundary\n protection device;"},{"id":"ca-3.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(3)[2]"}],"prose":"defines a boundary protection device to be used to establish the direct\n connection of an organization-defined unclassified, non-national security\n system to an external network; and"},{"id":"ca-3.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-3(3)[3]"}],"prose":"prohibits the direct connection of an organization-defined unclassified,\n non-national security system to an external network without the use of an\n organization-defined boundary protection device."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection security agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for managing direct connections to\n external networks\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing directly connected external networks"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting the management of external network\n connections"}]}]},{"id":"ca-3.5","class":"SP800-53-enhancement","title":"Restrictions On External System Connections","parameters":[{"id":"ca-3.5_prm_1"},{"id":"ca-3.5_prm_2","label":"organization-defined information systems"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-3(5)"},{"name":"sort-id","value":"ca-03.05"}],"parts":[{"id":"ca-3.5_smt","name":"statement","prose":"The organization employs {{ ca-3.5_prm_1 }} policy for allowing\n {{ ca-3.5_prm_2 }} to connect to external information\n systems.","parts":[{"id":"ca-3.5_fr","name":"item","title":"CA-3 (5) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-3.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing"}]}]},{"id":"ca-3.5_gdn","name":"guidance","prose":"Organizations can constrain information system connectivity to external domains\n (e.g., websites) by employing one of two policies with regard to such\n connectivity: (i) allow-all, deny by exception, also known as blacklisting (the\n weaker of the two policies); or (ii) deny-all, allow by exception, also known as\n whitelisting (the stronger of the two policies). For either policy, organizations\n determine what exceptions, if any, are acceptable.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"}]},{"id":"ca-3.5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ca-3.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-3(5)[1]"}],"prose":"defines information systems to be allowed to connect to external information\n systems;"},{"id":"ca-3.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-3(5)[2]"}],"prose":"employs one of the following policies for allowing organization-defined\n information systems to connect to external information systems:","parts":[{"id":"ca-3.5_obj.2.a","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][a]"}],"prose":"allow-all policy;"},{"id":"ca-3.5_obj.2.b","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][b]"}],"prose":"deny-by-exception policy;"},{"id":"ca-3.5_obj.2.c","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][c]"}],"prose":"deny-all policy; or"},{"id":"ca-3.5_obj.2.d","name":"objective","properties":[{"name":"label","value":"CA-3(5)[2][d]"}],"prose":"permit-by-exception policy."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for managing connections to\n external information systems\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing restrictions on external system\n connections"}]}]}]},{"id":"ca-5","class":"SP800-53","title":"Plan of Action and Milestones","parameters":[{"id":"ca-5_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-5"},{"name":"sort-id","value":"ca-05"}],"links":[{"href":"#2c5884cd-7b96-425c-862a-99877e1cf909","rel":"reference","text":"OMB Memorandum 02-01"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"}],"parts":[{"id":"ca-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and"},{"id":"ca-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities."},{"id":"ca-5_fr","name":"item","title":"CA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-5_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Plan of Action & Milestones (POA&M) must be provided at least monthly."},{"id":"ca-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-5_gdn","name":"guidance","prose":"Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-4","rel":"related","text":"PM-4"}]},{"id":"ca-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-5(a)"}],"prose":"develops a plan of action and milestones for the information system to:","parts":[{"id":"ca-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"CA-5(a)[1]"}],"prose":"document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;"},{"id":"ca-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"CA-5(a)[2]"}],"prose":"reduce or eliminate known vulnerabilities in the system;"}]},{"id":"ca-5.b_obj","name":"objective","properties":[{"name":"label","value":"CA-5(b)"}],"parts":[{"id":"ca-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-5(b)[1]"}],"prose":"defines the frequency to update the existing plan of action and milestones;"},{"id":"ca-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-5(b)[2]"}],"prose":"updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:","parts":[{"id":"ca-5.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][a]"}],"prose":"security controls assessments;"},{"id":"ca-5.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][b]"}],"prose":"security impact analyses; and"},{"id":"ca-5.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CA-5(b)[2][c]"}],"prose":"continuous monitoring activities."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones"}]}]},{"id":"ca-6","class":"SP800-53","title":"Security Authorization","parameters":[{"id":"ca-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"CA-6"},{"name":"sort-id","value":"ca-06"}],"links":[{"href":"#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab","rel":"reference","text":"OMB Circular A-130"},{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"ca-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and"},{"id":"ca-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Updates the security authorization {{ ca-6_prm_1 }}."},{"id":"ca-6_fr","name":"item","title":"CA-6(c) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO."}]}]},{"id":"ca-6_gdn","name":"guidance","prose":"Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-10","rel":"related","text":"PM-10"}]},{"id":"ca-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-6(a)"}],"prose":"assigns a senior-level executive or manager as the authorizing official for the\n information system;"},{"id":"ca-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-6(b)"}],"prose":"ensures that the authorizing official authorizes the information system for\n processing before commencing operations;"},{"id":"ca-6.c_obj","name":"objective","properties":[{"name":"label","value":"CA-6(c)"}],"parts":[{"id":"ca-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-6(c)[1]"}],"prose":"defines the frequency to update the security authorization; and"},{"id":"ca-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-6(c)[2]"}],"prose":"updates the security authorization with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that facilitate security authorizations and updates"}]}]},{"id":"ca-7","class":"SP800-53","title":"Continuous Monitoring","parameters":[{"id":"ca-7_prm_1","label":"organization-defined metrics"},{"id":"ca-7_prm_2","label":"organization-defined frequencies"},{"id":"ca-7_prm_3","label":"organization-defined frequencies"},{"id":"ca-7_prm_4","label":"organization-defined personnel or roles","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]},{"id":"ca-7_prm_5","label":"organization-defined frequency","constraints":[{"detail":"to meet Federal and FedRAMP requirements (See additional guidance)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-7"},{"name":"sort-id","value":"ca-07"}],"links":[{"href":"#bedb15b7-ec5c-4a68-807f-385125751fcd","rel":"reference","text":"OMB Memorandum 11-33"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb","rel":"reference","text":"US-CERT Technical Cyber Security Alerts"},{"href":"#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b","rel":"reference","text":"DoD Information Assurance Vulnerability Alerts"}],"parts":[{"id":"ca-7_smt","name":"statement","prose":"The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:","parts":[{"id":"ca-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishment of {{ ca-7_prm_1 }} to be monitored;"},{"id":"ca-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;"},{"id":"ca-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;"},{"id":"ca-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;"},{"id":"ca-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Correlation and analysis of security-related information generated by assessments\n and monitoring;"},{"id":"ca-7_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Response actions to address results of the analysis of security-related\n information; and"},{"id":"ca-7_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}."},{"id":"ca-7_fr","name":"item","title":"CA-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-7_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually."},{"id":"ca-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates."},{"id":"ca-7_fr_gdn.2","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n "}]}]},{"id":"ca-7_gdn","name":"guidance","prose":"Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-5","rel":"related","text":"CA-5"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#pm-6","rel":"related","text":"PM-6"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ca-7.a_obj","name":"objective","properties":[{"name":"label","value":"CA-7(a)"}],"parts":[{"id":"ca-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(a)[1]"}],"prose":"develops a continuous monitoring strategy that defines metrics to be\n monitored;"},{"id":"ca-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(a)[2]"}],"prose":"develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;"},{"id":"ca-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(a)[3]"}],"prose":"implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;"}]},{"id":"ca-7.b_obj","name":"objective","properties":[{"name":"label","value":"CA-7(b)"}],"parts":[{"id":"ca-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[1]"}],"prose":"develops a continuous monitoring strategy that defines frequencies for\n monitoring;"},{"id":"ca-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[2]"}],"prose":"defines frequencies for assessments supporting monitoring;"},{"id":"ca-7.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(b)[3]"}],"prose":"develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;"},{"id":"ca-7.b_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(b)[4]"}],"prose":"implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.c_obj","name":"objective","properties":[{"name":"label","value":"CA-7(c)"}],"parts":[{"id":"ca-7.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(c)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security\n control assessments;"},{"id":"ca-7.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(c)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.d_obj","name":"objective","properties":[{"name":"label","value":"CA-7(d)"}],"parts":[{"id":"ca-7.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(d)[1]"}],"prose":"develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;"},{"id":"ca-7.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(d)[2]"}],"prose":"implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;"}]},{"id":"ca-7.e_obj","name":"objective","properties":[{"name":"label","value":"CA-7(e)"}],"parts":[{"id":"ca-7.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(e)[1]"}],"prose":"develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;"},{"id":"ca-7.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(e)[2]"}],"prose":"implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;"}]},{"id":"ca-7.f_obj","name":"objective","properties":[{"name":"label","value":"CA-7(f)"}],"parts":[{"id":"ca-7.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(f)[1]"}],"prose":"develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;"},{"id":"ca-7.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(f)[2]"}],"prose":"implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;"}]},{"id":"ca-7.g_obj","name":"objective","properties":[{"name":"label","value":"CA-7(g)"}],"parts":[{"id":"ca-7.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[1]"}],"prose":"develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;"},{"id":"ca-7.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[2]"}],"prose":"develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;"},{"id":"ca-7.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(g)[3]"}],"prose":"develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and"},{"id":"ca-7.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-7(g)[4]"}],"prose":"implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Mechanisms implementing continuous monitoring"}]}],"controls":[{"id":"ca-7.1","class":"SP800-53-enhancement","title":"Independent Assessment","parameters":[{"id":"ca-7.1_prm_1","label":"organization-defined level of independence"}],"properties":[{"name":"label","value":"CA-7(1)"},{"name":"sort-id","value":"ca-07.01"}],"parts":[{"id":"ca-7.1_smt","name":"statement","prose":"The organization employs assessors or assessment teams with {{ ca-7.1_prm_1 }} to monitor the security controls in the information\n system on an ongoing basis."},{"id":"ca-7.1_gdn","name":"guidance","prose":"Organizations can maximize the value of assessments of security controls during\n the continuous monitoring process by requiring that such assessments be conducted\n by assessors or assessment teams with appropriate levels of independence based on\n continuous monitoring strategies. Assessor independence provides a degree of\n impartiality to the monitoring process. To achieve such impartiality, assessors\n should not: (i) create a mutual or conflicting interest with the organizations\n where the assessments are being conducted; (ii) assess their own work; (iii) act\n as management or employees of the organizations they are serving; or (iv) place\n themselves in advocacy positions for the organizations acquiring their\n services."},{"id":"ca-7.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-7.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-7(1)[1]"}],"prose":"defines a level of independence to be employed to monitor the security controls\n in the information system on an ongoing basis; and"},{"id":"ca-7.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-7(1)[2]"}],"prose":"employs assessors or assessment teams with the organization-defined level of\n independence to monitor the security controls in the information system on an\n ongoing basis."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nsecurity impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ca-8","class":"SP800-53","title":"Penetration Testing","parameters":[{"id":"ca-8_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ca-8_prm_2","label":"organization-defined information systems or system components"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-8"},{"name":"sort-id","value":"ca-08"}],"parts":[{"id":"ca-8_smt","name":"statement","prose":"The organization conducts penetration testing {{ ca-8_prm_1 }} on\n {{ ca-8_prm_2 }}.","parts":[{"id":"ca-8_fr","name":"item","title":"CA-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ca-8_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)\n "}]}]},{"id":"ca-8_gdn","name":"guidance","prose":"Penetration testing is a specialized type of assessment conducted on information\n systems or individual system components to identify vulnerabilities that could be\n exploited by adversaries. Such testing can be used to either validate vulnerabilities\n or determine the degree of resistance organizational information systems have to\n adversaries within a set of specified constraints (e.g., time, resources, and/or\n skills). Penetration testing attempts to duplicate the actions of adversaries in\n carrying out hostile cyber attacks against organizations and provides a more in-depth\n analysis of security-related weaknesses/deficiencies. Organizations can also use the\n results of vulnerability analyses to support penetration testing activities.\n Penetration testing can be conducted on the hardware, software, or firmware\n components of an information system and can exercise both physical and technical\n security controls. A standard method for penetration testing includes, for example:\n (i) pretest analysis based on full knowledge of the target system; (ii) pretest\n identification of potential vulnerabilities based on pretest analysis; and (iii)\n testing designed to determine exploitability of identified vulnerabilities. All\n parties agree to the rules of engagement before the commencement of penetration\n testing scenarios. Organizations correlate the penetration testing rules of\n engagement with the tools, techniques, and procedures that are anticipated to be\n employed by adversaries carrying out attacks. Organizational risk assessments guide\n decisions on the level of independence required for personnel conducting penetration\n testing.","links":[{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"ca-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-8_obj.1","name":"objective","properties":[{"name":"label","value":"CA-8[1]"}],"prose":"defines information systems or system components on which penetration testing is\n to be conducted;"},{"id":"ca-8_obj.2","name":"objective","properties":[{"name":"label","value":"CA-8[2]"}],"prose":"defines the frequency to conduct penetration testing on organization-defined\n information systems or system components; and"},{"id":"ca-8_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CA-8[3]"}],"prose":"conducts penetration testing on organization-defined information systems or system\n components with the organization-defined frequency."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities,\n system/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting penetration testing"}]}],"controls":[{"id":"ca-8.1","class":"SP800-53-enhancement","title":"Independent Penetration Agent or Team","properties":[{"name":"label","value":"CA-8(1)"},{"name":"sort-id","value":"ca-08.01"}],"parts":[{"id":"ca-8.1_smt","name":"statement","prose":"The organization employs an independent penetration agent or penetration team to\n perform penetration testing on the information system or system components."},{"id":"ca-8.1_gdn","name":"guidance","prose":"Independent penetration agents or teams are individuals or groups who conduct\n impartial penetration testing of organizational information systems. Impartiality\n implies that penetration agents or teams are free from any perceived or actual\n conflicts of interest with regard to the development, operation, or management of\n the information systems that are the targets of the penetration testing.\n Supplemental guidance for CA-2 (1) provides additional information regarding\n independent assessments that can be applied to penetration testing.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"}]},{"id":"ca-8.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization employs an independent penetration agent or\n penetration team to perform penetration testing on the information system or\n system components. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ca-9","class":"SP800-53","title":"Internal System Connections","parameters":[{"id":"ca-9_prm_1","label":"organization-defined information system components or classes of\n components"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CA-9"},{"name":"sort-id","value":"ca-09"}],"parts":[{"id":"ca-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"ca-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and"},{"id":"ca-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated."}]},{"id":"ca-9_gdn","name":"guidance","prose":"This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ca-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ca-9.a_obj","name":"objective","properties":[{"name":"label","value":"CA-9(a)"}],"parts":[{"id":"ca-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-9(a)[1]"}],"prose":"defines information system components or classes of components to be authorized\n as internal connections to the information system;"},{"id":"ca-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CA-9(a)[2]"}],"prose":"authorizes internal connections of organization-defined information system\n components or classes of components to the information system;"}]},{"id":"ca-9.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CA-9(b)"}],"prose":"documents, for each internal connection:","parts":[{"id":"ca-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CA-9(b)[1]"}],"prose":"the interface characteristics;"},{"id":"ca-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CA-9(b)[2]"}],"prose":"the security requirements; and"},{"id":"ca-9.b_obj.3","name":"objective","properties":[{"name":"label","value":"CA-9(b)[3]"}],"prose":"the nature of the information communicated."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cm","class":"family","title":"Configuration Management","controls":[{"id":"cm-1","class":"SP800-53","title":"Configuration Management Policy and Procedures","parameters":[{"id":"cm-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cm-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"cm-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-1"},{"name":"sort-id","value":"cm-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cm-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cm-1_prm_1 }}:","parts":[{"id":"cm-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cm-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and"}]},{"id":"cm-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cm-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Configuration management policy {{ cm-1_prm_2 }}; and"},{"id":"cm-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Configuration management procedures {{ cm-1_prm_3 }}."}]}]},{"id":"cm-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cm-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)"}],"parts":[{"id":"cm-1.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(1)"}],"parts":[{"id":"cm-1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1]"}],"prose":"develops and documents a configuration management policy that addresses:","parts":[{"id":"cm-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cm-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cm-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cm-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cm-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cm-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cm-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CM-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cm-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the configuration management policy is to\n be disseminated;"},{"id":"cm-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-1(a)(1)[3]"}],"prose":"disseminates the configuration management policy to organization-defined\n personnel or roles;"}]},{"id":"cm-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(a)(2)"}],"parts":[{"id":"cm-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;"},{"id":"cm-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cm-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"cm-1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)"}],"parts":[{"id":"cm-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(1)"}],"parts":[{"id":"cm-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management policy;"},{"id":"cm-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(1)[2]"}],"prose":"reviews and updates the current configuration management policy with the\n organization-defined frequency;"}]},{"id":"cm-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CM-1(b)(2)"}],"parts":[{"id":"cm-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current configuration\n management procedures; and"},{"id":"cm-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-1(b)(2)[2]"}],"prose":"reviews and updates the current configuration management procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]}]},{"id":"cm-2","class":"SP800-53","title":"Baseline Configuration","properties":[{"name":"label","value":"CM-2"},{"name":"sort-id","value":"cm-02"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-2_smt","name":"statement","prose":"The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system."},{"id":"cm-2_gdn","name":"guidance","prose":"This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#pm-5","rel":"related","text":"PM-5"},{"href":"#pm-7","rel":"related","text":"PM-7"}]},{"id":"cm-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-2[1]"}],"prose":"develops and documents a current baseline configuration of the information system;\n and"},{"id":"cm-2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2[2]"}],"prose":"maintains, under configuration control, a current baseline configuration of the\n information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration"}]}],"controls":[{"id":"cm-2.1","class":"SP800-53-enhancement","title":"Reviews and Updates","parameters":[{"id":"cm-2.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually or when a significant change occurs"}]},{"id":"cm-2.1_prm_2","label":"Assignment organization-defined circumstances","constraints":[{"detail":"to include when directed by the JAB"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-2(1)"},{"name":"sort-id","value":"cm-02.01"}],"parts":[{"id":"cm-2.1_smt","name":"statement","prose":"The organization reviews and updates the baseline configuration of the information\n system:","parts":[{"id":"cm-2.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"\n {{ cm-2.1_prm_1 }};"},{"id":"cm-2.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"When required due to {{ cm-2.1_prm_2 }}; and"},{"id":"cm-2.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"As an integral part of information system component installations and\n upgrades."}]},{"id":"cm-2.1_gdn","name":"guidance","links":[{"href":"#cm-5","rel":"related","text":"CM-5"}]},{"id":"cm-2.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2.1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-2(1)(a)"}],"parts":[{"id":"cm-2.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(1)(a)[1]"}],"prose":"defines the frequency to review and update the baseline configuration of the\n information system;"},{"id":"cm-2.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(1)(a)[2]"}],"prose":"reviews and updates the baseline configuration of the information system\n with the organization-defined frequency;"}],"links":[{"href":"#cm-2.1_smt.a","rel":"corresp","text":"CM-2(1)(a)"}]},{"id":"cm-2.1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-2(1)(b)"}],"parts":[{"id":"cm-2.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(1)(b)[1]"}],"prose":"defines circumstances that require the baseline configuration of the\n information system to be reviewed and updated;"},{"id":"cm-2.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(1)(b)[2]"}],"prose":"reviews and updates the baseline configuration of the information system\n when required due to organization-defined circumstances; and"}],"links":[{"href":"#cm-2.1_smt.b","rel":"corresp","text":"CM-2(1)(b)"}]},{"id":"cm-2.1.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(1)(c)"}],"prose":"reviews and updates the baseline configuration of the information system as an\n integral part of information system component installations and upgrades.","links":[{"href":"#cm-2.1_smt.c","rel":"corresp","text":"CM-2(1)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting review and update of the baseline\n configuration"}]}]},{"id":"cm-2.2","class":"SP800-53-enhancement","title":"Automation Support for Accuracy / Currency","properties":[{"name":"label","value":"CM-2(2)"},{"name":"sort-id","value":"cm-02.02"}],"parts":[{"id":"cm-2.2_smt","name":"statement","prose":"The organization employs automated mechanisms to maintain an up-to-date, complete,\n accurate, and readily available baseline configuration of the information\n system."},{"id":"cm-2.2_gdn","name":"guidance","prose":"Automated mechanisms that help organizations maintain consistent baseline\n configurations for information systems include, for example, hardware and software\n inventory tools, configuration management tools, and network management tools.\n Such tools can be deployed and/or allocated as common controls, at the information\n system level, or at the operating system or component level (e.g., on\n workstations, servers, notebook computers, network components, or mobile devices).\n Tools can be used, for example, to track version numbers on operating system\n applications, types of software installed, and current patch levels. This control\n enhancement can be satisfied by the implementation of CM-8 (2) for organizations\n that choose to combine information system component inventory and baseline\n configuration activities.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"cm-2.2_obj","name":"objective","prose":"Determine if the organization employs automated mechanisms to maintain: ","parts":[{"id":"cm-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[1]"}],"prose":"an up-to-date baseline configuration of the information system;"},{"id":"cm-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[2]"}],"prose":"a complete baseline configuration of the information system;"},{"id":"cm-2.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[3]"}],"prose":"an accurate baseline configuration of the information system; and"},{"id":"cm-2.2_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(2)[4]"}],"prose":"a readily available baseline configuration of the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nconfiguration change control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations\\n\\nautomated mechanisms implementing baseline configuration maintenance"}]}]},{"id":"cm-2.3","class":"SP800-53-enhancement","title":"Retention of Previous Configurations","parameters":[{"id":"cm-2.3_prm_1","label":"organization-defined previous versions of baseline configurations of the\n information system"}],"properties":[{"name":"label","value":"CM-2(3)"},{"name":"sort-id","value":"cm-02.03"}],"parts":[{"id":"cm-2.3_smt","name":"statement","prose":"The organization retains {{ cm-2.3_prm_1 }} to support\n rollback."},{"id":"cm-2.3_gdn","name":"guidance","prose":"Retaining previous versions of baseline configurations to support rollback may\n include, for example, hardware, software, firmware, configuration files, and\n configuration records."},{"id":"cm-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(3)[1]"}],"prose":"defines previous versions of baseline configurations of the information system\n to be retained to support rollback; and"},{"id":"cm-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(3)[2]"}],"prose":"retains organization-defined previous versions of baseline configurations of\n the information system to support rollback."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncopies of previous baseline configuration versions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations"}]}]},{"id":"cm-2.7","class":"SP800-53-enhancement","title":"Configure Systems, Components, or Devices for High-risk Areas","parameters":[{"id":"cm-2.7_prm_1","label":"organization-defined information systems, system components, or\n devices"},{"id":"cm-2.7_prm_2","label":"organization-defined configurations"},{"id":"cm-2.7_prm_3","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"CM-2(7)"},{"name":"sort-id","value":"cm-02.07"}],"parts":[{"id":"cm-2.7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-2.7_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Issues {{ cm-2.7_prm_1 }} with {{ cm-2.7_prm_2 }}\n to individuals traveling to locations that the organization deems to be of\n significant risk; and"},{"id":"cm-2.7_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Applies {{ cm-2.7_prm_3 }} to the devices when the individuals\n return."}]},{"id":"cm-2.7_gdn","name":"guidance","prose":"When it is known that information systems, system components, or devices (e.g.,\n notebook computers, mobile devices) will be located in high-risk areas, additional\n security controls may be implemented to counter the greater threat in such areas\n coupled with the lack of physical security relative to organizational-controlled\n areas. For example, organizational policies and procedures for notebook computers\n used by individuals departing on and returning from travel include, for example,\n determining which locations are of concern, defining required configurations for\n the devices, ensuring that the devices are configured as intended before travel is\n initiated, and applying specific safeguards to the device after travel is\n completed. Specially configured notebook computers include, for example, computers\n with sanitized hard drives, limited applications, and additional hardening (e.g.,\n more stringent configuration settings). Specified safeguards applied to mobile\n devices upon return from travel include, for example, examining the device for\n signs of physical tampering and purging/reimaging the hard disk drive. Protecting\n information residing on mobile devices is covered in the media protection\n family."},{"id":"cm-2.7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-2.7.a_obj","name":"objective","properties":[{"name":"label","value":"CM-2(7)(a)"}],"parts":[{"id":"cm-2.7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(7)(a)[1]"}],"prose":"defines information systems, system components, or devices to be issued to\n individuals traveling to locations that the organization deems to be of\n significant risk;"},{"id":"cm-2.7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(7)(a)[2]"}],"prose":"defines configurations to be employed on organization-defined information\n systems, system components, or devices issued to individuals traveling to\n such locations;"},{"id":"cm-2.7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(7)(a)[3]"}],"prose":"issues organization-defined information systems, system components, or\n devices with organization-defined configurations to individuals traveling to\n locations that the organization deems to be of significant risk;"}],"links":[{"href":"#cm-2.7_smt.a","rel":"corresp","text":"CM-2(7)(a)"}]},{"id":"cm-2.7.b_obj","name":"objective","properties":[{"name":"label","value":"CM-2(7)(b)"}],"parts":[{"id":"cm-2.7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-2(7)(b)[1]"}],"prose":"defines security safeguards to be applied to the devices when the\n individuals return; and"},{"id":"cm-2.7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-2(7)(b)[2]"}],"prose":"applies organization-defined safeguards to the devices when the individuals\n return."}],"links":[{"href":"#cm-2.7_smt.b","rel":"corresp","text":"CM-2(7)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing baseline configurations"}]}]}]},{"id":"cm-3","class":"SP800-53","title":"Configuration Change Control","parameters":[{"id":"cm-3_prm_1","label":"organization-defined time period"},{"id":"cm-3_prm_2","label":"organization-defined configuration change control element (e.g., committee,\n board)"},{"id":"cm-3_prm_3"},{"id":"cm-3_prm_4","depends-on":"cm-3_prm_3","label":"organization-defined frequency"},{"id":"cm-3_prm_5","depends-on":"cm-3_prm_3","label":"organization-defined configuration change conditions"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-3"},{"name":"sort-id","value":"cm-03"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines the types of changes to the information system that are\n configuration-controlled;"},{"id":"cm-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;"},{"id":"cm-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents configuration change decisions associated with the information\n system;"},{"id":"cm-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implements approved configuration-controlled changes to the information\n system;"},{"id":"cm-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Retains records of configuration-controlled changes to the information system for\n {{ cm-3_prm_1 }};"},{"id":"cm-3_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Audits and reviews activities associated with configuration-controlled changes to\n the information system; and"},{"id":"cm-3_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Coordinates and provides oversight for configuration change control activities\n through {{ cm-3_prm_2 }} that convenes {{ cm-3_prm_3 }}."},{"id":"cm-3_fr","name":"item","title":"CM-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-3_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO."},{"id":"cm-3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(e) Guidance:"}],"prose":"In accordance with record retention policies and procedures."}]}]},{"id":"cm-3_gdn","name":"guidance","prose":"Configuration change controls for organizational information systems involve the\n systematic proposal, justification, implementation, testing, review, and disposition\n of changes to the systems, including system upgrades and modifications. Configuration\n change control includes changes to baseline configurations for components and\n configuration items of information systems, changes to configuration settings for\n information technology products (e.g., operating systems, applications, firewalls,\n routers, and mobile devices), unscheduled/unauthorized changes, and changes to\n remediate vulnerabilities. Typical processes for managing configuration changes to\n information systems include, for example, Configuration Control Boards that approve\n proposed changes to systems. For new development information systems or systems\n undergoing major upgrades, organizations consider including representatives from\n development organizations on the Configuration Control Boards. Auditing of changes\n includes activities before and after changes are made to organizational information\n systems and the auditing activities required to implement such changes.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-12","rel":"related","text":"SI-12"}]},{"id":"cm-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(a)"}],"prose":"determines the type of changes to the information system that must be\n configuration-controlled;"},{"id":"cm-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-3(b)"}],"prose":"reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;"},{"id":"cm-3.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-3(c)"}],"prose":"documents configuration change decisions associated with the information\n system;"},{"id":"cm-3.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(d)"}],"prose":"implements approved configuration-controlled changes to the information\n system;"},{"id":"cm-3.e_obj","name":"objective","properties":[{"name":"label","value":"CM-3(e)"}],"parts":[{"id":"cm-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(e)[1]"}],"prose":"defines a time period to retain records of configuration-controlled changes to\n the information system;"},{"id":"cm-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(e)[2]"}],"prose":"retains records of configuration-controlled changes to the information system\n for the organization-defined time period;"}]},{"id":"cm-3.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(f)"}],"prose":"audits and reviews activities associated with configuration-controlled changes to\n the information system;"},{"id":"cm-3.g_obj","name":"objective","properties":[{"name":"label","value":"CM-3(g)"}],"parts":[{"id":"cm-3.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(g)[1]"}],"prose":"defines a configuration change control element (e.g., committee, board)\n responsible for coordinating and providing oversight for configuration change\n control activities;"},{"id":"cm-3.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(g)[2]"}],"prose":"defines the frequency with which the configuration change control element must\n convene; and/or"},{"id":"cm-3.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-3(g)[3]"}],"prose":"defines configuration change conditions that prompt the configuration change\n control element to convene; and"},{"id":"cm-3.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-3(g)[4]"}],"prose":"coordinates and provides oversight for configuration change control activities\n through organization-defined configuration change control element that convenes\n at organization-defined frequency and/or for any organization-defined\n configuration change conditions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\nsecurity plan\\n\\nchange control records\\n\\ninformation system audit records\\n\\nchange control audit and review reports\\n\\nagenda /minutes from configuration change control oversight meetings\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nmembers of change control board or similar"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for configuration change control\\n\\nautomated mechanisms that implement configuration change control"}]}]},{"id":"cm-4","class":"SP800-53","title":"Security Impact Analysis","properties":[{"name":"label","value":"CM-4"},{"name":"sort-id","value":"cm-04"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-4_smt","name":"statement","prose":"The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation."},{"id":"cm-4_gdn","name":"guidance","prose":"Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"cm-4_obj","name":"objective","prose":"Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security impact analysis"}]}]},{"id":"cm-5","class":"SP800-53","title":"Access Restrictions for Change","properties":[{"name":"label","value":"CM-5"},{"name":"sort-id","value":"cm-05"}],"parts":[{"id":"cm-5_smt","name":"statement","prose":"The organization defines, documents, approves, and enforces physical and logical\n access restrictions associated with changes to the information system."},{"id":"cm-5_gdn","name":"guidance","prose":"Any changes to the hardware, software, and/or firmware components of information\n systems can potentially have significant effects on the overall security of the\n systems. Therefore, organizations permit only qualified and authorized individuals to\n access information systems for purposes of initiating changes, including upgrades and\n modifications. Organizations maintain records of access to ensure that configuration\n change control is implemented and to support after-the-fact actions should\n organizations discover any unauthorized changes. Access restrictions for change also\n include software libraries. Access restrictions include, for example, physical and\n logical access controls (see AC-3 and PE-3), workflow automation, media libraries,\n abstract layers (e.g., changes implemented into third-party interfaces rather than\n directly into information systems), and change windows (e.g., changes occur only\n during specified times, making unauthorized changes easy to discover).","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"cm-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-5_obj.1","name":"objective","properties":[{"name":"label","value":"CM-5[1]"}],"prose":"defines physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.2","name":"objective","properties":[{"name":"label","value":"CM-5[2]"}],"prose":"documents physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.3","name":"objective","properties":[{"name":"label","value":"CM-5[3]"}],"prose":"approves physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.4","name":"objective","properties":[{"name":"label","value":"CM-5[4]"}],"prose":"enforces physical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.5","name":"objective","properties":[{"name":"label","value":"CM-5[5]"}],"prose":"defines logical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.6","name":"objective","properties":[{"name":"label","value":"CM-5[6]"}],"prose":"documents logical access restrictions associated with changes to the information\n system;"},{"id":"cm-5_obj.7","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5[7]"}],"prose":"approves logical access restrictions associated with changes to the information\n system; and"},{"id":"cm-5_obj.8","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5[8]"}],"prose":"enforces logical access restrictions associated with changes to the information\n system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access approvals\\n\\nphysical access approvals\\n\\naccess credentials\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with logical access control responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting/implementing/enforcing access restrictions\n associated with changes to the information system"}]}],"controls":[{"id":"cm-5.1","class":"SP800-53-enhancement","title":"Automated Access Enforcement / Auditing","properties":[{"name":"label","value":"CM-5(1)"},{"name":"sort-id","value":"cm-05.01"}],"parts":[{"id":"cm-5.1_smt","name":"statement","prose":"The information system enforces access restrictions and supports auditing of the\n enforcement actions."},{"id":"cm-5.1_gdn","name":"guidance","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"cm-5.1_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"cm-5.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(1)[1]"}],"prose":"enforces access restrictions for change; and"},{"id":"cm-5.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(1)[2]"}],"prose":"supports auditing of the enforcement actions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms implementing enforcement of access restrictions for\n changes to the information system\\n\\nautomated mechanisms supporting auditing of enforcement actions"}]}]},{"id":"cm-5.3","class":"SP800-53-enhancement","title":"Signed Components","parameters":[{"id":"cm-5.3_prm_1","label":"organization-defined software and firmware components"}],"properties":[{"name":"label","value":"CM-5(3)"},{"name":"sort-id","value":"cm-05.03"}],"parts":[{"id":"cm-5.3_smt","name":"statement","prose":"The information system prevents the installation of {{ cm-5.3_prm_1 }} without verification that the component has been\n digitally signed using a certificate that is recognized and approved by the\n organization.","parts":[{"id":"cm-5.3_fr","name":"item","title":"CM-5 (3) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-5.3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized."}]}]},{"id":"cm-5.3_gdn","name":"guidance","prose":"Software and firmware components prevented from installation unless signed with\n recognized and approved certificates include, for example, software and firmware\n version updates, patches, service packs, device drivers, and basic input output\n system (BIOS) updates. Organizations can identify applicable software and firmware\n components by type, by specific items, or a combination of both. Digital\n signatures and organizational verification of such signatures, is a method of code\n authentication.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"cm-5.3_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cm-5.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(3)[1]"}],"prose":"the organization defines software and firmware components that the information\n system will prevent from being installed without verification that such\n components have been digitally signed using a certificate that is recognized\n and approved by the organization; and"},{"id":"cm-5.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(3)[2]"}],"prose":"the information system prevents the installation of organization-defined\n software and firmware components without verification that such components have\n been digitally signed using a certificate that is recognized and approved by\n the organization."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nlist of software and firmware components to be prohibited from installation\n without a recognized and approved certificate\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms preventing installation of software and firmware\n components not signed with an organization-recognized and approved\n certificate"}]}]},{"id":"cm-5.5","class":"SP800-53-enhancement","title":"Limit Production / Operational Privileges","parameters":[{"id":"cm-5.5_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least quarterly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-5(5)"},{"name":"sort-id","value":"cm-05.05"}],"parts":[{"id":"cm-5.5_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-5.5_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Limits privileges to change information system components and system-related\n information within a production or operational environment; and"},{"id":"cm-5.5_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Reviews and reevaluates privileges {{ cm-5.5_prm_1 }}."}]},{"id":"cm-5.5_gdn","name":"guidance","prose":"In many organizations, information systems support multiple core missions/business\n functions. Limiting privileges to change information system components with\n respect to operational systems is necessary because changes to a particular\n information system component may have far-reaching effects on mission/business\n processes supported by the system where the component resides. The complex,\n many-to-many relationships between systems and mission/business processes are in\n some cases, unknown to developers.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"}]},{"id":"cm-5.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-5.5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-5(5)(a)"}],"prose":"limits privileges to change information system components and system-related\n information within a production or operational environment;","links":[{"href":"#cm-5.5_smt.a","rel":"corresp","text":"CM-5(5)(a)"}]},{"id":"cm-5.5.b_obj","name":"objective","properties":[{"name":"label","value":"CM-5(5)(b)"}],"parts":[{"id":"cm-5.5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(5)(b)[1]"}],"prose":"defines the frequency to review and reevaluate privileges; and"},{"id":"cm-5.5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-5(5)(b)[2]"}],"prose":"reviews and reevaluates privileges with the organization-defined\n frequency."}],"links":[{"href":"#cm-5.5_smt.b","rel":"corresp","text":"CM-5(5)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nuser privilege reviews\\n\\nuser privilege recertifications\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting and/or implementing access restrictions for\n change"}]}]}]},{"id":"cm-6","class":"SP800-53","title":"Configuration Settings","parameters":[{"id":"cm-6_prm_1","label":"organization-defined security configuration checklists","guidance":[{"prose":"See CM-6(a) Additional FedRAMP Requirements and Guidance"}]},{"id":"cm-6_prm_2","label":"organization-defined information system components"},{"id":"cm-6_prm_3","label":"organization-defined operational requirements"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-6"},{"name":"sort-id","value":"cm-06"}],"links":[{"href":"#990268bf-f4a9-4c81-91ae-dc7d3115f4b1","rel":"reference","text":"OMB Memorandum 07-11"},{"href":"#0b3d8ba9-051f-498d-81ea-97f0f018c612","rel":"reference","text":"OMB Memorandum 07-18"},{"href":"#0916ef02-3618-411b-a525-565c088849a6","rel":"reference","text":"OMB Memorandum 08-22"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"},{"href":"#e95dd121-2733-413e-bf1e-f1eb49f20a98","rel":"reference","text":"http://checklists.nist.gov"},{"href":"#647b6de3-81d0-4d22-bec1-5f1333e34380","rel":"reference","text":"http://www.nsa.gov"}],"parts":[{"id":"cm-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;"},{"id":"cm-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements the configuration settings;"},{"id":"cm-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and"},{"id":"cm-6_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures."},{"id":"cm-6_fr","name":"item","title":"CM-6(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement 1:"}],"prose":"The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. "},{"id":"cm-6_fr_smt.2","name":"item","properties":[{"name":"label","value":"Requirement 2:"}],"prose":"The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)."},{"id":"cm-6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)."}]}]},{"id":"cm-6_gdn","name":"guidance","prose":"Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"cm-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.a_obj","name":"objective","properties":[{"name":"label","value":"CM-6(a)"}],"parts":[{"id":"cm-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(a)[1]"}],"prose":"defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;"},{"id":"cm-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CM-6(a)[2]"}],"prose":"ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;"},{"id":"cm-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(a)[3]"}],"prose":"establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;"}]},{"id":"cm-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(b)"}],"prose":"implements the configuration settings established/documented in CM-6(a);;"},{"id":"cm-6.c_obj","name":"objective","properties":[{"name":"label","value":"CM-6(c)"}],"parts":[{"id":"cm-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[1]"}],"prose":"defines information system components for which any deviations from established\n configuration settings must be:","parts":[{"id":"cm-6.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][a]"}],"prose":"identified;"},{"id":"cm-6.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][b]"}],"prose":"documented;"},{"id":"cm-6.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[1][c]"}],"prose":"approved;"}]},{"id":"cm-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[2]"}],"prose":"defines operational requirements to support:","parts":[{"id":"cm-6.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][a]"}],"prose":"the identification of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][b]"}],"prose":"the documentation of any deviations from established configuration\n settings;"},{"id":"cm-6.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-6(c)[2][c]"}],"prose":"the approval of any deviations from established configuration settings;"}]},{"id":"cm-6.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(c)[3]"}],"prose":"identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(c)[4]"}],"prose":"documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"},{"id":"cm-6.c_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(c)[5]"}],"prose":"approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;"}]},{"id":"cm-6.d_obj","name":"objective","properties":[{"name":"label","value":"CM-6(d)"}],"parts":[{"id":"cm-6.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(d)[1]"}],"prose":"monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and"},{"id":"cm-6.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(d)[2]"}],"prose":"controls changes to the configuration settings in accordance with\n organizational policies and procedures."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings"}]}],"controls":[{"id":"cm-6.1","class":"SP800-53-enhancement","title":"Automated Central Management / Application / Verification","parameters":[{"id":"cm-6.1_prm_1","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"CM-6(1)"},{"name":"sort-id","value":"cm-06.01"}],"parts":[{"id":"cm-6.1_smt","name":"statement","prose":"The organization employs automated mechanisms to centrally manage, apply, and\n verify configuration settings for {{ cm-6.1_prm_1 }}."},{"id":"cm-6.1_gdn","name":"guidance","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"}]},{"id":"cm-6.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-6.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-6(1)[1]"}],"prose":"defines information system components for which automated mechanisms are to be\n employed to:","parts":[{"id":"cm-6.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-6(1)[1][a]"}],"prose":"centrally manage configuration settings of such components;"},{"id":"cm-6.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-6(1)[1][b]"}],"prose":"apply configuration settings of such components;"},{"id":"cm-6.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-6(1)[1][c]"}],"prose":"verify configuration settings of such components;"}]},{"id":"cm-6.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-6(1)[2]"}],"prose":"employs automated mechanisms to:","parts":[{"id":"cm-6.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-6(1)[2][a]"}],"prose":"centrally manage configuration settings for organization-defined information\n system components;"},{"id":"cm-6.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-6(1)[2][b]"}],"prose":"apply configuration settings for organization-defined information system\n components; and"},{"id":"cm-6.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-6(1)[2][c]"}],"prose":"verify configuration settings for organization-defined information system\n components."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing configuration settings\\n\\nautomated mechanisms implemented to centrally manage, apply, and verify\n information system configuration settings"}]}]}]},{"id":"cm-7","class":"SP800-53","title":"Least Functionality","parameters":[{"id":"cm-7_prm_1","label":"organization-defined prohibited or restricted functions, ports, protocols, and/or\n services","constraints":[{"detail":"United States Government Configuration Baseline (USGCB)"}]}],"properties":[{"name":"label","value":"CM-7"},{"name":"sort-id","value":"cm-07"}],"links":[{"href":"#e42b2099-3e1c-415b-952c-61c96533c12e","rel":"reference","text":"DoD Instruction 8551.01"}],"parts":[{"id":"cm-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Configures the information system to provide only essential capabilities; and"},{"id":"cm-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}."},{"id":"cm-7_fr","name":"item","title":"CM-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-7_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available."},{"id":"cm-7_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8)."}]}]},{"id":"cm-7_gdn","name":"guidance","prose":"Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(a)"}],"prose":"configures the information system to provide only essential capabilities;"},{"id":"cm-7.b_obj","name":"objective","properties":[{"name":"label","value":"CM-7(b)"}],"parts":[{"id":"cm-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(b)[1]"}],"prose":"defines prohibited or restricted:","parts":[{"id":"cm-7.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(b)[2]"}],"prose":"prohibits or restricts the use of organization-defined:","parts":[{"id":"cm-7.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][a]"}],"prose":"functions;"},{"id":"cm-7.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][b]"}],"prose":"ports;"},{"id":"cm-7.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.b_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(b)[2][d]"}],"prose":"services."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services"}]}],"controls":[{"id":"cm-7.1","class":"SP800-53-enhancement","title":"Periodic Review","parameters":[{"id":"cm-7.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"cm-7.1_prm_2","label":"organization-defined functions, ports, protocols, and services within the\n information system deemed to be unnecessary and/or nonsecure"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-7(1)"},{"name":"sort-id","value":"cm-07.01"}],"parts":[{"id":"cm-7.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Reviews the information system {{ cm-7.1_prm_1 }} to identify\n unnecessary and/or nonsecure functions, ports, protocols, and services; and"},{"id":"cm-7.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Disables {{ cm-7.1_prm_2 }}."}]},{"id":"cm-7.1_gdn","name":"guidance","prose":"The organization can either make a determination of the relative security of the\n function, port, protocol, and/or service or base the security decision on the\n assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are\n examples of less than secure protocols.","links":[{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#ia-2","rel":"related","text":"IA-2"}]},{"id":"cm-7.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.1.a_obj","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)"}],"parts":[{"id":"cm-7.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(1)(a)[1]"}],"prose":"defines the frequency to review the information system to identify\n unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][a]"}],"prose":"functions;"},{"id":"cm-7.1.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][b]"}],"prose":"ports;"},{"id":"cm-7.1.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.a_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(1)(a)[2]"}],"prose":"reviews the information system with the organization-defined frequency to\n identify unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][a]"}],"prose":"functions;"},{"id":"cm-7.1.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][b]"}],"prose":"ports;"},{"id":"cm-7.1.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.a_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(a)[2][d]"}],"prose":"services;"}]}],"links":[{"href":"#cm-7.1_smt.a","rel":"corresp","text":"CM-7(1)(a)"}]},{"id":"cm-7.1.b_obj","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)"}],"parts":[{"id":"cm-7.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(1)(b)[1]"}],"prose":"defines, within the information system, unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.b_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][a]"}],"prose":"functions;"},{"id":"cm-7.1.b_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][b]"}],"prose":"ports;"},{"id":"cm-7.1.b_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.b_obj.1.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[1][d]"}],"prose":"services;"}]},{"id":"cm-7.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(1)(b)[2]"}],"prose":"disables organization-defined unnecessary and/or nonsecure:","parts":[{"id":"cm-7.1.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][a]"}],"prose":"functions;"},{"id":"cm-7.1.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][b]"}],"prose":"ports;"},{"id":"cm-7.1.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][c]"}],"prose":"protocols; and/or"},{"id":"cm-7.1.b_obj.2.d","name":"objective","properties":[{"name":"label","value":"CM-7(1)(b)[2][d]"}],"prose":"services."}]}],"links":[{"href":"#cm-7.1_smt.b","rel":"corresp","text":"CM-7(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\ndocumented reviews of functions, ports, protocols, and/or services\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for reviewing functions, ports,\n protocols, and services on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for reviewing/disabling nonsecure functions, ports,\n protocols, and/or services\\n\\nautomated mechanisms implementing review and disabling of nonsecure functions,\n ports, protocols, and/or services"}]}]},{"id":"cm-7.2","class":"SP800-53-enhancement","title":"Prevent Program Execution","parameters":[{"id":"cm-7.2_prm_1"},{"id":"cm-7.2_prm_2","depends-on":"cm-7.2_prm_1","label":"organization-defined policies regarding software program usage and\n restrictions"}],"properties":[{"name":"label","value":"CM-7(2)"},{"name":"sort-id","value":"cm-07.02"}],"parts":[{"id":"cm-7.2_smt","name":"statement","prose":"The information system prevents program execution in accordance with {{ cm-7.2_prm_1 }}.","parts":[{"id":"cm-7.2_fr","name":"item","title":"CM-7 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-7.2_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run."}]}]},{"id":"cm-7.2_gdn","name":"guidance","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pm-5","rel":"related","text":"PM-5"}]},{"id":"cm-7.2_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cm-7.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(2)[1]"}],"prose":"the organization defines policies regarding software program usage and\n restrictions;"},{"id":"cm-7.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(2)[2]"}],"prose":"the information system prevents program execution in accordance with one or\n more of the following:","parts":[{"id":"cm-7.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-7(2)[2][a]"}],"prose":"organization-defined policies regarding program usage and restrictions;\n and/or"},{"id":"cm-7.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-7(2)[2][b]"}],"prose":"rules authorizing the terms and conditions of software program usage."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nspecifications for preventing software program execution\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes preventing program execution on the information\n system\\n\\norganizational processes for software program usage and restrictions\\n\\nautomated mechanisms preventing program execution on the information system\\n\\nautomated mechanisms supporting and/or implementing software program usage and\n restrictions"}]}]},{"id":"cm-7.5","class":"SP800-53-enhancement","title":"Authorized Software / Whitelisting","parameters":[{"id":"cm-7.5_prm_1","label":"organization-defined software programs authorized to execute on the\n information system"},{"id":"cm-7.5_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least Annually or when there is a change"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-7(5)"},{"name":"sort-id","value":"cm-07.05"}],"parts":[{"id":"cm-7.5_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-7.5_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Identifies {{ cm-7.5_prm_1 }};"},{"id":"cm-7.5_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system; and"},{"id":"cm-7.5_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Reviews and updates the list of authorized software programs {{ cm-7.5_prm_2 }}."}]},{"id":"cm-7.5_gdn","name":"guidance","prose":"The process used to identify software programs that are authorized to execute on\n organizational information systems is commonly referred to as whitelisting. In\n addition to whitelisting, organizations consider verifying the integrity of\n white-listed software programs using, for example, cryptographic checksums,\n digital signatures, or hash functions. Verification of white-listed software can\n occur either prior to execution or at system startup.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pm-5","rel":"related","text":"PM-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sc-34","rel":"related","text":"SC-34"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"cm-7.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-7.5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(5)(a)"}],"prose":"Identifies/defines software programs authorized to execute on the information\n system;","links":[{"href":"#cm-7.5_smt.a","rel":"corresp","text":"CM-7(5)(a)"}]},{"id":"cm-7.5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(5)(b)"}],"prose":"employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system;","links":[{"href":"#cm-7.5_smt.b","rel":"corresp","text":"CM-7(5)(b)"}]},{"id":"cm-7.5.c_obj","name":"objective","properties":[{"name":"label","value":"CM-7(5)(c)"}],"parts":[{"id":"cm-7.5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-7(5)(c)[1]"}],"prose":"defines the frequency to review and update the list of authorized software\n programs on the information system; and"},{"id":"cm-7.5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-7(5)(c)[2]"}],"prose":"reviews and updates the list of authorized software programs with the\n organization-defined frequency."}],"links":[{"href":"#cm-7.5_smt.c","rel":"corresp","text":"CM-7(5)(c)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of software programs authorized to execute on the information system\\n\\nsecurity configuration checklists\\n\\nreview and update records associated with list of authorized software\n programs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for identifying software\n authorized to execute on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for identifying, reviewing, and updating programs\n authorized to execute on the information system\\n\\norganizational process for implementing whitelisting\\n\\nautomated mechanisms implementing whitelisting"}]}]}]},{"id":"cm-8","class":"SP800-53","title":"Information System Component Inventory","parameters":[{"id":"cm-8_prm_1","label":"organization-defined information deemed necessary to achieve effective\n information system component accountability"},{"id":"cm-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-8"},{"name":"sort-id","value":"cm-08"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents an inventory of information system components that:","parts":[{"id":"cm-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Accurately reflects the current information system;"},{"id":"cm-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Is at the level of granularity deemed necessary for tracking and reporting;\n and"},{"id":"cm-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Includes {{ cm-8_prm_1 }}; and"}]},{"id":"cm-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the information system component inventory {{ cm-8_prm_2 }}."},{"id":"cm-8_fr","name":"item","title":"CM-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cm-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Must be provided at least monthly or when there is a change."}]}]},{"id":"cm-8_gdn","name":"guidance","prose":"Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pm-5","rel":"related","text":"PM-5"}]},{"id":"cm-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-8.a_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)"}],"parts":[{"id":"cm-8.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(1)"}],"prose":"develops and documents an inventory of information system components that\n accurately reflects the current information system;"},{"id":"cm-8.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(2)"}],"prose":"develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;"},{"id":"cm-8.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(3)"}],"prose":"develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;"},{"id":"cm-8.a.4_obj","name":"objective","properties":[{"name":"label","value":"CM-8(a)(4)"}],"parts":[{"id":"cm-8.a.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(4)[1]"}],"prose":"defines the information deemed necessary to achieve effective information\n system component accountability;"},{"id":"cm-8.a.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(a)(4)[2]"}],"prose":"develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;"}]}]},{"id":"cm-8.b_obj","name":"objective","properties":[{"name":"label","value":"CM-8(b)"}],"parts":[{"id":"cm-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(b)[1]"}],"prose":"defines the frequency to review and update the information system component\n inventory; and"},{"id":"cm-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(b)[2]"}],"prose":"reviews and updates the information system component inventory with the\n organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory"}]}],"controls":[{"id":"cm-8.1","class":"SP800-53-enhancement","title":"Updates During Installations / Removals","properties":[{"name":"label","value":"CM-8(1)"},{"name":"sort-id","value":"cm-08.01"}],"parts":[{"id":"cm-8.1_smt","name":"statement","prose":"The organization updates the inventory of information system components as an\n integral part of component installations, removals, and information system\n updates."},{"id":"cm-8.1_obj","name":"objective","prose":"Determine if the organization updates the inventory of information system\n components as an integral part of:","parts":[{"id":"cm-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(1)[1]"}],"prose":"component installations;"},{"id":"cm-8.1_obj.2","name":"objective","properties":[{"name":"label","value":"CM-8(1)[2]"}],"prose":"component removals; and"},{"id":"cm-8.1_obj.3","name":"objective","properties":[{"name":"label","value":"CM-8(1)[3]"}],"prose":"information system updates."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\ncomponent installation records\\n\\ncomponent removal records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for updating the information\n system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for updating inventory of information system\n components\\n\\nautomated mechanisms implementing updating of the information system component\n inventory"}]}]},{"id":"cm-8.3","class":"SP800-53-enhancement","title":"Automated Unauthorized Component Detection","parameters":[{"id":"cm-8.3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"Continuously, using automated mechanisms with a maximum five-minute delay in detection"}]},{"id":"cm-8.3_prm_2"},{"id":"cm-8.3_prm_3","depends-on":"cm-8.3_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-8(3)"},{"name":"sort-id","value":"cm-08.03"}],"parts":[{"id":"cm-8.3_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-8.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Employs automated mechanisms {{ cm-8.3_prm_1 }} to detect the\n presence of unauthorized hardware, software, and firmware components within the\n information system; and"},{"id":"cm-8.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Takes the following actions when unauthorized components are detected: {{ cm-8.3_prm_2 }}."}]},{"id":"cm-8.3_gdn","name":"guidance","prose":"This control enhancement is applied in addition to the monitoring for unauthorized\n remote connections and mobile devices. Monitoring for unauthorized system\n components may be accomplished on an ongoing basis or by the periodic scanning of\n systems for that purpose. Automated mechanisms can be implemented within\n information systems or in other separate devices. Isolation can be achieved, for\n example, by placing unauthorized information system components in separate domains\n or subnets or otherwise quarantining such components. This type of component\n isolation is commonly referred to as sandboxing.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"cm-8.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-8.3.a_obj","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)"}],"parts":[{"id":"cm-8.3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(3)(a)[1]"}],"prose":"defines the frequency to employ automated mechanisms to detect the presence\n of unauthorized:","parts":[{"id":"cm-8.3.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[1][a]"}],"prose":"hardware components within the information system;"},{"id":"cm-8.3.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[1][b]"}],"prose":"software components within the information system;"},{"id":"cm-8.3.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[1][c]"}],"prose":"firmware components within the information system;"}]},{"id":"cm-8.3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(3)(a)[2]"}],"prose":"employs automated mechanisms with the organization-defined frequency to\n detect the presence of unauthorized:","parts":[{"id":"cm-8.3.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[2][a]"}],"prose":"hardware components within the information system;"},{"id":"cm-8.3.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[2][b]"}],"prose":"software components within the information system;"},{"id":"cm-8.3.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-8(3)(a)[2][c]"}],"prose":"firmware components within the information system;"}]}],"links":[{"href":"#cm-8.3_smt.a","rel":"corresp","text":"CM-8(3)(a)"}]},{"id":"cm-8.3.b_obj","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)"}],"parts":[{"id":"cm-8.3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-8(3)(b)[1]"}],"prose":"defines personnel or roles to be notified when unauthorized components are\n detected;"},{"id":"cm-8.3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-8(3)(b)[2]"}],"prose":"takes one or more of the following actions when unauthorized components are\n detected:","parts":[{"id":"cm-8.3.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)[2][a]"}],"prose":"disables network access by such components;"},{"id":"cm-8.3.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)[2][b]"}],"prose":"isolates the components; and/or"},{"id":"cm-8.3.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"CM-8(3)(b)[2][c]"}],"prose":"notifies organization-defined personnel or roles."}]}],"links":[{"href":"#cm-8.3_smt.b","rel":"corresp","text":"CM-8(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system inventory records\\n\\nalerts/notifications of unauthorized components within the information\n system\\n\\ninformation system monitoring records\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for managing the automated\n mechanisms implementing unauthorized information system component detection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for detection of unauthorized information system\n components\\n\\nautomated mechanisms implementing the detection of unauthorized information\n system components"}]}]},{"id":"cm-8.5","class":"SP800-53-enhancement","title":"No Duplicate Accounting of Components","properties":[{"name":"label","value":"CM-8(5)"},{"name":"sort-id","value":"cm-08.05"}],"parts":[{"id":"cm-8.5_smt","name":"statement","prose":"The organization verifies that all components within the authorization boundary of\n the information system are not duplicated in other information system component\n inventories."},{"id":"cm-8.5_gdn","name":"guidance","prose":"This control enhancement addresses the potential problem of duplicate accounting\n of information system components in large or complex interconnected systems."},{"id":"cm-8.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization verifies that all components within the\n authorization boundary of the information system are not duplicated in other\n information system inventories. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system inventory responsibilities\\n\\norganizational personnel with responsibilities for defining information system\n components within the authorization boundary of the system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory"}]}]}]},{"id":"cm-9","class":"SP800-53","title":"Configuration Management Plan","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CM-9"},{"name":"sort-id","value":"cm-09"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"cm-9_smt","name":"statement","prose":"The organization develops, documents, and implements a configuration management plan\n for the information system that:","parts":[{"id":"cm-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Addresses roles, responsibilities, and configuration management processes and\n procedures;"},{"id":"cm-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes a process for identifying configuration items throughout the system\n development life cycle and for managing the configuration of the configuration\n items;"},{"id":"cm-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Defines the configuration items for the information system and places the\n configuration items under configuration management; and"},{"id":"cm-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects the configuration management plan from unauthorized disclosure and\n modification."}]},{"id":"cm-9_gdn","name":"guidance","prose":"Configuration management plans satisfy the requirements in configuration management\n policies while being tailored to individual information systems. Such plans define\n detailed processes and procedures for how configuration management is used to support\n system development life cycle activities at the information system level.\n Configuration management plans are typically developed during the\n development/acquisition phase of the system development life cycle. The plans\n describe how to move changes through change management processes, how to update\n configuration settings and baselines, how to maintain information system component\n inventories, how to control development, test, and operational environments, and how\n to develop, release, and update key documents. Organizations can employ templates to\n help ensure consistent and timely development and implementation of configuration\n management plans. Such templates can represent a master configuration management plan\n for the organization at large with subsets of the plan implemented on a system by\n system basis. Configuration management approval processes include designation of key\n management stakeholders responsible for reviewing and approving proposed changes to\n information systems, and personnel that conduct security impact analyses prior to the\n implementation of changes to the systems. Configuration items are the information\n system items (hardware, software, firmware, and documentation) to be\n configuration-managed. As information systems continue through the system development\n life cycle, new configuration items may be identified and some existing configuration\n items may no longer need to be under configuration control.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#sa-10","rel":"related","text":"SA-10"}]},{"id":"cm-9_obj","name":"objective","prose":"Determine if the organization develops, documents, and implements a configuration\n management plan for the information system that:","parts":[{"id":"cm-9.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(a)"}],"parts":[{"id":"cm-9.a_obj.1","name":"objective","properties":[{"name":"label","value":"CM-9(a)[1]"}],"prose":"addresses roles;"},{"id":"cm-9.a_obj.2","name":"objective","properties":[{"name":"label","value":"CM-9(a)[2]"}],"prose":"addresses responsibilities;"},{"id":"cm-9.a_obj.3","name":"objective","properties":[{"name":"label","value":"CM-9(a)[3]"}],"prose":"addresses configuration management processes and procedures;"}]},{"id":"cm-9.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(b)"}],"prose":"establishes a process for:","parts":[{"id":"cm-9.b_obj.1","name":"objective","properties":[{"name":"label","value":"CM-9(b)[1]"}],"prose":"identifying configuration items throughout the SDLC;"},{"id":"cm-9.b_obj.2","name":"objective","properties":[{"name":"label","value":"CM-9(b)[2]"}],"prose":"managing the configuration of the configuration items;"}]},{"id":"cm-9.c_obj","name":"objective","properties":[{"name":"label","value":"CM-9(c)"}],"parts":[{"id":"cm-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(c)[1]"}],"prose":"defines the configuration items for the information system;"},{"id":"cm-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-9(c)[2]"}],"prose":"places the configuration items under configuration management;"}]},{"id":"cm-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-9(d)"}],"prose":"protects the configuration management plan from unauthorized:","parts":[{"id":"cm-9.d_obj.1","name":"objective","properties":[{"name":"label","value":"CM-9(d)[1]"}],"prose":"disclosure; and"},{"id":"cm-9.d_obj.2","name":"objective","properties":[{"name":"label","value":"CM-9(d)[2]"}],"prose":"modification."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing configuration management planning\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for developing the configuration\n management plan\\n\\norganizational personnel with responsibilities for implementing and managing\n processes defined in the configuration management plan\\n\\norganizational personnel with responsibilities for protecting the configuration\n management plan\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing and documenting the configuration\n management plan\\n\\norganizational processes for identifying and managing configuration items\\n\\norganizational processes for protecting the configuration management plan\\n\\nautomated mechanisms implementing the configuration management plan\\n\\nautomated mechanisms for managing configuration items\\n\\nautomated mechanisms for protecting the configuration management plan"}]}]},{"id":"cm-10","class":"SP800-53","title":"Software Usage Restrictions","properties":[{"name":"label","value":"CM-10"},{"name":"sort-id","value":"cm-10"}],"parts":[{"id":"cm-10_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"id":"cm-10_gdn","name":"guidance","prose":"Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"cm-10_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(a)"}],"prose":"uses software and associated documentation in accordance with contract agreements\n and copyright laws;"},{"id":"cm-10.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-10(b)"}],"prose":"tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and"},{"id":"cm-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(c)"}],"prose":"controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology"}]}],"controls":[{"id":"cm-10.1","class":"SP800-53-enhancement","title":"Open Source Software","parameters":[{"id":"cm-10.1_prm_1","label":"organization-defined restrictions"}],"properties":[{"name":"label","value":"CM-10(1)"},{"name":"sort-id","value":"cm-10.01"}],"parts":[{"id":"cm-10.1_smt","name":"statement","prose":"The organization establishes the following restrictions on the use of open source\n software: {{ cm-10.1_prm_1 }}."},{"id":"cm-10.1_gdn","name":"guidance","prose":"Open source software refers to software that is available in source code form.\n Certain software rights normally reserved for copyright holders are routinely\n provided under software license agreements that permit individuals to study,\n change, and improve the software. From a security perspective, the major advantage\n of open source software is that it provides organizations with the ability to\n examine the source code. However, there are also various licensing issues\n associated with open source software including, for example, the constraints on\n derivative use of such software."},{"id":"cm-10.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-10.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-10(1)[1]"}],"prose":"defines restrictions on the use of open source software; and"},{"id":"cm-10.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-10(1)[2]"}],"prose":"establishes organization-defined restrictions on the use of open source\n software."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing restrictions on use of open source software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for establishing and enforcing\n restrictions on use of open source software\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for restricting the use of open source software\\n\\nautomated mechanisms implementing restrictions on the use of open source\n software"}]}]}]},{"id":"cm-11","class":"SP800-53","title":"User-installed Software","parameters":[{"id":"cm-11_prm_1","label":"organization-defined policies"},{"id":"cm-11_prm_2","label":"organization-defined methods"},{"id":"cm-11_prm_3","label":"organization-defined frequency","constraints":[{"detail":"Continuously (via CM-7 (5))"}]}],"properties":[{"name":"label","value":"CM-11"},{"name":"sort-id","value":"cm-11"}],"parts":[{"id":"cm-11_smt","name":"statement","prose":"The organization:","parts":[{"id":"cm-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;"},{"id":"cm-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Enforces software installation policies through {{ cm-11_prm_2 }};\n and"},{"id":"cm-11_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Monitors policy compliance at {{ cm-11_prm_3 }}."}]},{"id":"cm-11_gdn","name":"guidance","prose":"If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"cm-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cm-11.a_obj","name":"objective","properties":[{"name":"label","value":"CM-11(a)"}],"parts":[{"id":"cm-11.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(a)[1]"}],"prose":"defines policies to govern the installation of software by users;"},{"id":"cm-11.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(a)[2]"}],"prose":"establishes organization-defined policies governing the installation of\n software by users;"}]},{"id":"cm-11.b_obj","name":"objective","properties":[{"name":"label","value":"CM-11(b)"}],"parts":[{"id":"cm-11.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(b)[1]"}],"prose":"defines methods to enforce software installation policies;"},{"id":"cm-11.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(b)[2]"}],"prose":"enforces software installation policies through organization-defined\n methods;"}]},{"id":"cm-11.c_obj","name":"objective","properties":[{"name":"label","value":"CM-11(c)"}],"parts":[{"id":"cm-11.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CM-11(c)[1]"}],"prose":"defines frequency to monitor policy compliance; and"},{"id":"cm-11.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CM-11(c)[2]"}],"prose":"monitors policy compliance at organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance"}]}]}]},{"id":"cp","class":"family","title":"Contingency Planning","controls":[{"id":"cp-1","class":"SP800-53","title":"Contingency Planning Policy and Procedures","parameters":[{"id":"cp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"cp-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-1"},{"name":"sort-id","value":"cp-01"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"cp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ cp-1_prm_1 }}:","parts":[{"id":"cp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"cp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and"}]},{"id":"cp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"cp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Contingency planning policy {{ cp-1_prm_2 }}; and"},{"id":"cp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Contingency planning procedures {{ cp-1_prm_3 }}."}]}]},{"id":"cp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"cp-1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"cp-1.a_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)"}],"parts":[{"id":"cp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)"}],"parts":[{"id":"cp-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(1)[1]"}],"prose":"the organization develops and documents a contingency planning policy that\n addresses:","parts":[{"id":"cp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"cp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"cp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"cp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"cp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"cp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"cp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"CP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"cp-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(1)[2]"}],"prose":"the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;"},{"id":"cp-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-1(a)(1)[3]"}],"prose":"the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;"}]},{"id":"cp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(a)(2)"}],"parts":[{"id":"cp-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(2)[1]"}],"prose":"the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;"},{"id":"cp-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(a)(2)[2]"}],"prose":"the organization defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"cp-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-1(a)(2)[3]"}],"prose":"the organization disseminates the procedures to organization-defined\n personnel or roles;"}]}]},{"id":"cp-1.b_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)"}],"parts":[{"id":"cp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(1)"}],"parts":[{"id":"cp-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(1)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning policy;"},{"id":"cp-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(1)[2]"}],"prose":"the organization reviews and updates the current contingency planning with\n the organization-defined frequency;"}]},{"id":"cp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"CP-1(b)(2)"}],"parts":[{"id":"cp-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(2)[1]"}],"prose":"the organization defines the frequency to review and update the current\n contingency planning procedures; and"},{"id":"cp-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-1(b)(2)[2]"}],"prose":"the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-2","class":"SP800-53","title":"Contingency Plan","parameters":[{"id":"cp-2_prm_1","label":"organization-defined personnel or roles"},{"id":"cp-2_prm_2","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"},{"id":"cp-2_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cp-2_prm_4","label":"organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-2"},{"name":"sort-id","value":"cp-02"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a contingency plan for the information system that:","parts":[{"id":"cp-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Provides recovery objectives, restoration priorities, and metrics;"},{"id":"cp-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Addresses contingency roles, responsibilities, assigned individuals with\n contact information;"},{"id":"cp-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and"},{"id":"cp-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Is reviewed and approved by {{ cp-2_prm_1 }};"}]},{"id":"cp-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the contingency plan to {{ cp-2_prm_2 }};"},{"id":"cp-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Reviews the contingency plan for the information system {{ cp-2_prm_3 }};"},{"id":"cp-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;"},{"id":"cp-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Communicates contingency plan changes to {{ cp-2_prm_4 }}; and"},{"id":"cp-2_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Protects the contingency plan from unauthorized disclosure and modification."},{"id":"cp-2_fr","name":"item","title":"CP-2 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-2_fr_smt.1","name":"item","properties":[{"name":"label","value":"CP-2 Requirement:"}],"prose":"For JAB authorizations the contingency lists include designated FedRAMP personnel."}]}]},{"id":"cp-2_gdn","name":"guidance","prose":"Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.","links":[{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"cp-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.a_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)"}],"prose":"develops and documents a contingency plan for the information system that:","parts":[{"id":"cp-2.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(1)"}],"prose":"identifies essential missions and business functions and associated contingency\n requirements;"},{"id":"cp-2.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(2)"}],"parts":[{"id":"cp-2.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[1]"}],"prose":"provides recovery objectives;"},{"id":"cp-2.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[2]"}],"prose":"provides restoration priorities;"},{"id":"cp-2.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(2)[3]"}],"prose":"provides metrics;"}]},{"id":"cp-2.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(3)"}],"parts":[{"id":"cp-2.a.3_obj.1","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[1]"}],"prose":"addresses contingency roles;"},{"id":"cp-2.a.3_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[2]"}],"prose":"addresses contingency responsibilities;"},{"id":"cp-2.a.3_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(a)(3)[3]"}],"prose":"addresses assigned individuals with contact information;"}]},{"id":"cp-2.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(4)"}],"prose":"addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;"},{"id":"cp-2.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(5)"}],"prose":"addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;"},{"id":"cp-2.a.6_obj","name":"objective","properties":[{"name":"label","value":"CP-2(a)(6)"}],"parts":[{"id":"cp-2.a.6_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(6)[1]"}],"prose":"defines personnel or roles to review and approve the contingency plan for\n the information system;"},{"id":"cp-2.a.6_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(a)(6)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"cp-2.b_obj","name":"objective","properties":[{"name":"label","value":"CP-2(b)"}],"parts":[{"id":"cp-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(b)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;"},{"id":"cp-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(b)[2]"}],"prose":"distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;"}]},{"id":"cp-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(c)"}],"prose":"coordinates contingency planning activities with incident handling activities;"},{"id":"cp-2.d_obj","name":"objective","properties":[{"name":"label","value":"CP-2(d)"}],"parts":[{"id":"cp-2.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(d)[1]"}],"prose":"defines a frequency to review the contingency plan for the information\n system;"},{"id":"cp-2.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(d)[2]"}],"prose":"reviews the contingency plan with the organization-defined frequency;"}]},{"id":"cp-2.e_obj","name":"objective","properties":[{"name":"label","value":"CP-2(e)"}],"prose":"updates the contingency plan to address:","parts":[{"id":"cp-2.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(e)[1]"}],"prose":"changes to the organization, information system, or environment of\n operation;"},{"id":"cp-2.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(e)[2]"}],"prose":"problems encountered during plan implementation, execution, and testing;"}]},{"id":"cp-2.f_obj","name":"objective","properties":[{"name":"label","value":"CP-2(f)"}],"parts":[{"id":"cp-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(f)[1]"}],"prose":"defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;"},{"id":"cp-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(f)[2]"}],"prose":"communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and"}]},{"id":"cp-2.g_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(g)"}],"prose":"protects the contingency plan from unauthorized disclosure and modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan"}]}],"controls":[{"id":"cp-2.1","class":"SP800-53-enhancement","title":"Coordinate with Related Plans","properties":[{"name":"label","value":"CP-2(1)"},{"name":"sort-id","value":"cp-02.01"}],"parts":[{"id":"cp-2.1_smt","name":"statement","prose":"The organization coordinates contingency plan development with organizational\n elements responsible for related plans."},{"id":"cp-2.1_gdn","name":"guidance","prose":"Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant\n Emergency Plans."},{"id":"cp-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization coordinates contingency plan development with\n organizational elements responsible for related plans."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness contingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plan\\n\\ninsider threat implementation plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel with responsibility for related plans"}]}]},{"id":"cp-2.2","class":"SP800-53-enhancement","title":"Capacity Planning","properties":[{"name":"label","value":"CP-2(2)"},{"name":"sort-id","value":"cp-02.02"}],"parts":[{"id":"cp-2.2_smt","name":"statement","prose":"The organization conducts capacity planning so that necessary capacity for\n information processing, telecommunications, and environmental support exists\n during contingency operations."},{"id":"cp-2.2_gdn","name":"guidance","prose":"Capacity planning is needed because different types of threats (e.g., natural\n disasters, targeted cyber attacks) can result in a reduction of the available\n processing, telecommunications, and support services originally intended to\n support the organizational missions/business functions. Organizations may need to\n anticipate degraded operations during contingency operations and factor such\n degradation into capacity planning."},{"id":"cp-2.2_obj","name":"objective","prose":"Determine if the organization conducts capacity planning so that necessary\n capacity exists during contingency operations for: ","parts":[{"id":"cp-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-2(2)[1]"}],"prose":"information processing;"},{"id":"cp-2.2_obj.2","name":"objective","properties":[{"name":"label","value":"CP-2(2)[2]"}],"prose":"telecommunications; and"},{"id":"cp-2.2_obj.3","name":"objective","properties":[{"name":"label","value":"CP-2(2)[3]"}],"prose":"environmental support."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\ncapacity planning documents\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-2.3","class":"SP800-53-enhancement","title":"Resume Essential Missions / Business Functions","parameters":[{"id":"cp-2.3_prm_1","label":"organization-defined time period"}],"properties":[{"name":"label","value":"CP-2(3)"},{"name":"sort-id","value":"cp-02.03"}],"parts":[{"id":"cp-2.3_smt","name":"statement","prose":"The organization plans for the resumption of essential missions and business\n functions within {{ cp-2.3_prm_1 }} of contingency plan\n activation."},{"id":"cp-2.3_gdn","name":"guidance","prose":"Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. The time period for\n resumption of essential missions/business functions may be dependent on the\n severity/extent of disruptions to the information system and its supporting\n infrastructure.","links":[{"href":"#pe-12","rel":"related","text":"PE-12"}]},{"id":"cp-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-2(3)[1]"}],"prose":"defines the time period to plan for the resumption of essential missions and\n business functions as a result of contingency plan activation; and"},{"id":"cp-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-2(3)[2]"}],"prose":"plans for the resumption of essential missions and business functions within\n organization-defined time period of contingency plan activation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nbusiness impact assessment\\n\\nother related plans\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for resumption of missions and business functions"}]}]},{"id":"cp-2.8","class":"SP800-53-enhancement","title":"Identify Critical Assets","properties":[{"name":"label","value":"CP-2(8)"},{"name":"sort-id","value":"cp-02.08"}],"parts":[{"id":"cp-2.8_smt","name":"statement","prose":"The organization identifies critical information system assets supporting\n essential missions and business functions."},{"id":"cp-2.8_gdn","name":"guidance","prose":"Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. Organizations\n identify critical information system assets so that additional safeguards and\n countermeasures can be employed (above and beyond those safeguards and\n countermeasures routinely implemented) to help ensure that organizational\n missions/business functions can continue to be conducted during contingency\n operations. In addition, the identification of critical information assets\n facilitates the prioritization of organizational resources. Critical information\n system assets include technical and operational aspects. Technical aspects\n include, for example, information technology services, information system\n components, information technology products, and mechanisms. Operational aspects\n include, for example, procedures (manually executed operations) and personnel\n (individuals operating technical safeguards and/or executing manual procedures).\n Organizational program protection plans can provide assistance in identifying\n critical assets.","links":[{"href":"#sa-14","rel":"related","text":"SA-14"},{"href":"#sa-15","rel":"related","text":"SA-15"}]},{"id":"cp-2.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization identifies critical information system assets\n supporting essential missions and business functions."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness impact assessment\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-3","class":"SP800-53","title":"Contingency Training","parameters":[{"id":"cp-3_prm_1","label":"organization-defined time period","constraints":[{"detail":"ten (10) days"}]},{"id":"cp-3_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-3"},{"name":"sort-id","value":"cp-03"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"cp-3_smt","name":"statement","prose":"The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:","parts":[{"id":"cp-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;"},{"id":"cp-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"cp-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ cp-3_prm_2 }} thereafter."}]},{"id":"cp-3_gdn","name":"guidance","prose":"Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-2","rel":"related","text":"IR-2"}]},{"id":"cp-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"cp-3.a_obj","name":"objective","properties":[{"name":"label","value":"CP-3(a)"}],"parts":[{"id":"cp-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-3(a)[1]"}],"prose":"defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;"},{"id":"cp-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(a)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;"}]},{"id":"cp-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(b)"}],"prose":"provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;"},{"id":"cp-3.c_obj","name":"objective","properties":[{"name":"label","value":"CP-3(c)"}],"parts":[{"id":"cp-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-3(c)[1]"}],"prose":"defines the frequency for contingency training thereafter; and"},{"id":"cp-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-3(c)[2]"}],"prose":"provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency training"}]}]},{"id":"cp-4","class":"SP800-53","title":"Contingency Plan Testing","parameters":[{"id":"cp-4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"cp-4_prm_2","label":"organization-defined tests","constraints":[{"detail":"functional exercises"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-4"},{"name":"sort-id","value":"cp-04"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf","rel":"reference","text":"NIST Special Publication 800-84"}],"parts":[{"id":"cp-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;"},{"id":"cp-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews the contingency plan test results; and"},{"id":"cp-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Initiates corrective actions, if needed."},{"id":"cp-4_fr","name":"item","title":"CP-4(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-4_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-4(a) Requirement:"}],"prose":"The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing."}]}]},{"id":"cp-4_gdn","name":"guidance","prose":"Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-3","rel":"related","text":"IR-3"}]},{"id":"cp-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-4.a_obj","name":"objective","properties":[{"name":"label","value":"CP-4(a)"}],"parts":[{"id":"cp-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-4(a)[1]"}],"prose":"defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;"},{"id":"cp-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-4(a)[2]"}],"prose":"defines a frequency to test the contingency plan for the information\n system;"},{"id":"cp-4.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(a)[3]"}],"prose":"tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;"}]},{"id":"cp-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(b)"}],"prose":"reviews the contingency plan test results; and"},{"id":"cp-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-4(c)"}],"prose":"initiates corrective actions, if needed."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing"}]}],"controls":[{"id":"cp-4.1","class":"SP800-53-enhancement","title":"Coordinate with Related Plans","properties":[{"name":"label","value":"CP-4(1)"},{"name":"sort-id","value":"cp-04.01"}],"parts":[{"id":"cp-4.1_smt","name":"statement","prose":"The organization coordinates contingency plan testing with organizational elements\n responsible for related plans."},{"id":"cp-4.1_gdn","name":"guidance","prose":"Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, and Occupant Emergency Plans. This control\n enhancement does not require organizations to create organizational elements to\n handle related plans or to align such elements with specific plans. It does\n require, however, that if such organizational elements are responsible for related\n plans, organizations should coordinate with those elements.","links":[{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pm-8","rel":"related","text":"PM-8"}]},{"id":"cp-4.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization coordinates contingency plan testing with\n organizational elements responsible for related plans. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nincident response policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan testing documentation\\n\\ncontingency plan\\n\\nbusiness continuity plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan testing responsibilities\\n\\norganizational personnel\\n\\npersonnel with responsibilities for related plans\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-6","class":"SP800-53","title":"Alternate Storage Site","properties":[{"name":"label","value":"CP-6"},{"name":"sort-id","value":"cp-06"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and"},{"id":"cp-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site."}]},{"id":"cp-6_gdn","name":"guidance","prose":"Alternate storage sites are sites that are geographically distinct from primary\n storage sites. An alternate storage site maintains duplicate copies of information\n and data in the event that the primary storage site is not available. Items covered\n by alternate storage site agreements include, for example, environmental conditions\n at alternate sites, access rules, physical and environmental protection requirements,\n and coordination of delivery/retrieval of backup media. Alternate storage sites\n reflect the requirements in contingency plans so that organizations can maintain\n essential missions/business functions despite disruption, compromise, or failure in\n organizational information systems.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#mp-4","rel":"related","text":"MP-4"}]},{"id":"cp-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-6_obj.1","name":"objective","properties":[{"name":"label","value":"CP-6[1]"}],"prose":"establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and"},{"id":"cp-6_obj.2","name":"objective","properties":[{"name":"label","value":"CP-6[2]"}],"prose":"ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for storing and retrieving information system backup\n information at the alternate storage site\\n\\nautomated mechanisms supporting and/or implementing storage and retrieval of\n information system backup information at the alternate storage site"}]}],"controls":[{"id":"cp-6.1","class":"SP800-53-enhancement","title":"Separation from Primary Site","properties":[{"name":"label","value":"CP-6(1)"},{"name":"sort-id","value":"cp-06.01"}],"parts":[{"id":"cp-6.1_smt","name":"statement","prose":"The organization identifies an alternate storage site that is separated from the\n primary storage site to reduce susceptibility to the same threats."},{"id":"cp-6.1_gdn","name":"guidance","prose":"Threats that affect alternate storage sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate storage sites based on the types of threats that are\n of concern. For one particular type of threat (i.e., hostile cyber attack), the\n degree of separation between sites is less relevant.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-6.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization identifies an alternate storage site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-6.3","class":"SP800-53-enhancement","title":"Accessibility","properties":[{"name":"label","value":"CP-6(3)"},{"name":"sort-id","value":"cp-06.03"}],"parts":[{"id":"cp-6.3_smt","name":"statement","prose":"The organization identifies potential accessibility problems to the alternate\n storage site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions."},{"id":"cp-6.3_gdn","name":"guidance","prose":"Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk. Explicit\n mitigation actions include, for example: (i) duplicating backup information at\n other alternate storage sites if access problems occur at originally designated\n alternate sites; or (ii) planning for physical access to retrieve backup\n information if electronic accessibility to the alternate site is disrupted.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-6.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-6.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-6(3)[1]"}],"prose":"identifies potential accessibility problems to the alternate storage site in\n the event of an area-wide disruption or disaster; and"},{"id":"cp-6.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-6(3)[2]"}],"prose":"outlines explicit mitigation actions for such potential accessibility problems\n to the alternate storage site in the event of an area-wide disruption or\n disaster."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nlist of potential accessibility problems to alternate storage site\\n\\nmitigation actions for accessibility problems to alternate storage site\\n\\norganizational risk assessments\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-7","class":"SP800-53","title":"Alternate Processing Site","parameters":[{"id":"cp-7_prm_1","label":"organization-defined information system operations"},{"id":"cp-7_prm_2","label":"organization-defined time period consistent with recovery time and recovery point\n objectives"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-7"},{"name":"sort-id","value":"cp-07"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes an alternate processing site including necessary agreements to permit\n the transfer and resumption of {{ cp-7_prm_1 }} for essential\n missions/business functions within {{ cp-7_prm_2 }} when the\n primary processing capabilities are unavailable;"},{"id":"cp-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that equipment and supplies required to transfer and resume operations are\n available at the alternate processing site or contracts are in place to support\n delivery to the site within the organization-defined time period for\n transfer/resumption; and"},{"id":"cp-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site."},{"id":"cp-7_fr","name":"item","title":"CP-7 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-7_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider defines a time period consistent with the recovery time objectives and business impact analysis."}]}]},{"id":"cp-7_gdn","name":"guidance","prose":"Alternate processing sites are sites that are geographically distinct from primary\n processing sites. An alternate processing site provides processing capability in the\n event that the primary processing site is not available. Items covered by alternate\n processing site agreements include, for example, environmental conditions at\n alternate sites, access rules, physical and environmental protection requirements,\n and coordination for the transfer/assignment of personnel. Requirements are\n specifically allocated to alternate processing sites that reflect the requirements in\n contingency plans to maintain essential missions/business functions despite\n disruption, compromise, or failure in organizational information systems.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#cp-10","rel":"related","text":"CP-10"},{"href":"#ma-6","rel":"related","text":"MA-6"}]},{"id":"cp-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-7.a_obj","name":"objective","properties":[{"name":"label","value":"CP-7(a)"}],"parts":[{"id":"cp-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-7(a)[1]"}],"prose":"defines information system operations requiring an alternate processing site to\n be established to permit the transfer and resumption of such operations;"},{"id":"cp-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-7(a)[2]"}],"prose":"defines the time period consistent with recovery time objectives and recovery\n point objectives (as specified in the information system contingency plan) for\n transfer/resumption of organization-defined information system operations for\n essential missions/business functions;"},{"id":"cp-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(a)[3]"}],"prose":"establishes an alternate processing site including necessary agreements to\n permit the transfer and resumption of organization-defined information system\n operations for essential missions/business functions, within the\n organization-defined time period, when the primary processing capabilities are\n unavailable;"}]},{"id":"cp-7.b_obj","name":"objective","properties":[{"name":"label","value":"CP-7(b)"}],"parts":[{"id":"cp-7.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(b)[1]"}],"prose":"ensures that equipment and supplies required to transfer and resume operations\n are available at the alternate processing site; or"},{"id":"cp-7.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(b)[2]"}],"prose":"ensures that contracts are in place to support delivery to the site within the\n organization-defined time period for transfer/resumption; and"}]},{"id":"cp-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-7(c)"}],"prose":"ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nspare equipment and supplies inventory at alternate processing site\\n\\nequipment and supply contracts\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for contingency planning and/or\n alternate site arrangements\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for recovery at the alternate site\\n\\nautomated mechanisms supporting and/or implementing recovery at the alternate\n processing site"}]}],"controls":[{"id":"cp-7.1","class":"SP800-53-enhancement","title":"Separation from Primary Site","properties":[{"name":"label","value":"CP-7(1)"},{"name":"sort-id","value":"cp-07.01"}],"parts":[{"id":"cp-7.1_smt","name":"statement","prose":"The organization identifies an alternate processing site that is separated from\n the primary processing site to reduce susceptibility to the same threats.","parts":[{"id":"cp-7.1_fr","name":"item","title":"CP-7 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-7.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant."}]}]},{"id":"cp-7.1_gdn","name":"guidance","prose":"Threats that affect alternate processing sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate processing sites based on the types of threats that\n are of concern. For one particular type of threat (i.e., hostile cyber attack),\n the degree of separation between sites is less relevant.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-7.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization identifies an alternate processing site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-7.2","class":"SP800-53-enhancement","title":"Accessibility","properties":[{"name":"label","value":"CP-7(2)"},{"name":"sort-id","value":"cp-07.02"}],"parts":[{"id":"cp-7.2_smt","name":"statement","prose":"The organization identifies potential accessibility problems to the alternate\n processing site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions."},{"id":"cp-7.2_gdn","name":"guidance","prose":"Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk.","links":[{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"cp-7.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-7.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-7(2)[1]"}],"prose":"identifies potential accessibility problems to the alternate processing site in\n the event of an area-wide disruption or disaster; and"},{"id":"cp-7.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-7(2)[2]"}],"prose":"outlines explicit mitigation actions for such potential accessibility problems\n to the alternate processing site in the event of an area-wide disruption or\n disaster."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"cp-7.3","class":"SP800-53-enhancement","title":"Priority of Service","properties":[{"name":"label","value":"CP-7(3)"},{"name":"sort-id","value":"cp-07.03"}],"parts":[{"id":"cp-7.3_smt","name":"statement","prose":"The organization develops alternate processing site agreements that contain\n priority-of-service provisions in accordance with organizational availability\n requirements (including recovery time objectives)."},{"id":"cp-7.3_gdn","name":"guidance","prose":"Priority-of-service agreements refer to negotiated agreements with service\n providers that ensure that organizations receive priority treatment consistent\n with their availability requirements and the availability of information resources\n at the alternate processing site."},{"id":"cp-7.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization develops alternate processing site agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in the\n information system contingency plan)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]}]}]},{"id":"cp-8","class":"SP800-53","title":"Telecommunications Services","parameters":[{"id":"cp-8_prm_1","label":"organization-defined information system operations"},{"id":"cp-8_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"CP-8"},{"name":"sort-id","value":"cp-08"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"},{"href":"#fb5844de-ff96-47c0-b258-4f52bcc2f30d","rel":"reference","text":"National Communications Systems Directive 3-10"},{"href":"#3ac12e79-f54f-4a63-9f4b-ee4bcd4df604","rel":"reference","text":"http://www.dhs.gov/telecommunications-service-priority-tsp"}],"parts":[{"id":"cp-8_smt","name":"statement","prose":"The organization establishes alternate telecommunications services including\n necessary agreements to permit the resumption of {{ cp-8_prm_1 }} for\n essential missions and business functions within {{ cp-8_prm_2 }} when\n the primary telecommunications capabilities are unavailable at either the primary or\n alternate processing or storage sites.","parts":[{"id":"cp-8_fr","name":"item","title":"CP-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines a time period consistent with the recovery time objectives and business impact analysis."}]}]},{"id":"cp-8_gdn","name":"guidance","prose":"This control applies to telecommunications services (data and voice) for primary and\n alternate processing and storage sites. Alternate telecommunications services reflect\n the continuity requirements in contingency plans to maintain essential\n missions/business functions despite the loss of primary telecommunications services.\n Organizations may specify different time periods for primary/alternate sites.\n Alternate telecommunications services include, for example, additional organizational\n or commercial ground-based circuits/lines or satellites in lieu of ground-based\n communications. Organizations consider factors such as availability, quality of\n service, and access when entering into alternate telecommunications agreements.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"cp-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-8_obj.1","name":"objective","properties":[{"name":"label","value":"CP-8[1]"}],"prose":"defines information system operations requiring alternate telecommunications\n services to be established to permit the resumption of such operations;"},{"id":"cp-8_obj.2","name":"objective","properties":[{"name":"label","value":"CP-8[2]"}],"prose":"defines the time period to permit resumption of organization-defined information\n system operations for essential missions and business functions; and"},{"id":"cp-8_obj.3","name":"objective","properties":[{"name":"label","value":"CP-8[3]"}],"prose":"establishes alternate telecommunications services including necessary agreements\n to permit the resumption of organization-defined information system operations for\n essential missions and business functions, within the organization-defined time\n period, when the primary telecommunications capabilities are unavailable at either\n the primary or alternate processing or storage sites."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting telecommunications"}]}],"controls":[{"id":"cp-8.1","class":"SP800-53-enhancement","title":"Priority of Service Provisions","properties":[{"name":"label","value":"CP-8(1)"},{"name":"sort-id","value":"cp-08.01"}],"parts":[{"id":"cp-8.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-8.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives); and"},{"id":"cp-8.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier."}]},{"id":"cp-8.1_gdn","name":"guidance","prose":"Organizations consider the potential mission/business impact in situations where\n telecommunications service providers are servicing other organizations with\n similar priority-of-service provisions."},{"id":"cp-8.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-8(1)[1]"}],"prose":"develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in\n the information system contingency plan); and"},{"id":"cp-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-8(1)[2]"}],"prose":"requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nTelecommunications Service Priority documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting telecommunications"}]}]},{"id":"cp-8.2","class":"SP800-53-enhancement","title":"Single Points of Failure","properties":[{"name":"label","value":"CP-8(2)"},{"name":"sort-id","value":"cp-08.02"}],"parts":[{"id":"cp-8.2_smt","name":"statement","prose":"The organization obtains alternate telecommunications services to reduce the\n likelihood of sharing a single point of failure with primary telecommunications\n services."},{"id":"cp-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization obtains alternate telecommunications services to\n reduce the likelihood of sharing a single point of failure with primary\n telecommunications services. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-9","class":"SP800-53","title":"Information System Backup","parameters":[{"id":"cp-9_prm_1","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_2","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]},{"id":"cp-9_prm_3","label":"organization-defined frequency consistent with recovery time and recovery point\n objectives","constraints":[{"detail":"daily incremental; weekly full"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-9"},{"name":"sort-id","value":"cp-09"}],"links":[{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"cp-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};"},{"id":"cp-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};"},{"id":"cp-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and"},{"id":"cp-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects the confidentiality, integrity, and availability of backup information at\n storage locations."},{"id":"cp-9_fr","name":"item","title":"CP-9 Additional FedRAMP Requirements and Guidance","parts":[{"id":"cp-9_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check."},{"id":"cp-9_fr_smt.a","name":"item","properties":[{"name":"label","value":"CP-9(a) Requirement:"}],"prose":"The service provider maintains at least three backup copies of user-level information (at least one of which is available online)."},{"id":"cp-9_fr_smt.b","name":"item","properties":[{"name":"label","value":"CP-9(b)Requirement:"}],"prose":"The service provider maintains at least three backup copies of system-level information (at least one of which is available online)."},{"id":"cp-9_fr_smt.c","name":"item","properties":[{"name":"label","value":"CP-9(c)Requirement:"}],"prose":"The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)."}]}]},{"id":"cp-9_gdn","name":"guidance","prose":"System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"cp-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.a_obj","name":"objective","properties":[{"name":"label","value":"CP-9(a)"}],"parts":[{"id":"cp-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(a)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;"},{"id":"cp-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(a)[2]"}],"prose":"conducts backups of user-level information contained in the information system\n with the organization-defined frequency;"}]},{"id":"cp-9.b_obj","name":"objective","properties":[{"name":"label","value":"CP-9(b)"}],"parts":[{"id":"cp-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(b)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;"},{"id":"cp-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(b)[2]"}],"prose":"conducts backups of system-level information contained in the information\n system with the organization-defined frequency;"}]},{"id":"cp-9.c_obj","name":"objective","properties":[{"name":"label","value":"CP-9(c)"}],"parts":[{"id":"cp-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(c)[1]"}],"prose":"defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;"},{"id":"cp-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(c)[2]"}],"prose":"conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and"}]},{"id":"cp-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(d)"}],"prose":"protects the confidentiality, integrity, and availability of backup information at\n storage locations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups"}]}],"controls":[{"id":"cp-9.1","class":"SP800-53-enhancement","title":"Testing for Reliability / Integrity","parameters":[{"id":"cp-9.1_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"CP-9(1)"},{"name":"sort-id","value":"cp-09.01"}],"parts":[{"id":"cp-9.1_smt","name":"statement","prose":"The organization tests backup information {{ cp-9.1_prm_1 }} to\n verify media reliability and information integrity."},{"id":"cp-9.1_gdn","name":"guidance","links":[{"href":"#cp-4","rel":"related","text":"CP-4"}]},{"id":"cp-9.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(1)[1]"}],"prose":"defines the frequency to test backup information to verify media reliability\n and information integrity; and"},{"id":"cp-9.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-9(1)[2]"}],"prose":"tests backup information with the organization-defined frequency to verify\n media reliability and information integrity."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system\n backups"}]}]},{"id":"cp-9.3","class":"SP800-53-enhancement","title":"Separate Storage for Critical Information","parameters":[{"id":"cp-9.3_prm_1","label":"organization-defined critical information system software and other\n security-related information"}],"properties":[{"name":"label","value":"CP-9(3)"},{"name":"sort-id","value":"cp-09.03"}],"parts":[{"id":"cp-9.3_smt","name":"statement","prose":"The organization stores backup copies of {{ cp-9.3_prm_1 }} in a\n separate facility or in a fire-rated container that is not collocated with the\n operational system."},{"id":"cp-9.3_gdn","name":"guidance","prose":"Critical information system software includes, for example, operating systems,\n cryptographic key management systems, and intrusion detection/prevention systems.\n Security-related information includes, for example, organizational inventories of\n hardware, software, and firmware components. Alternate storage sites typically\n serve as separate storage facilities for organizations.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-8","rel":"related","text":"CM-8"}]},{"id":"cp-9.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"cp-9.3_obj.1","name":"objective","properties":[{"name":"label","value":"CP-9(3)[1]"}],"parts":[{"id":"cp-9.3_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(3)[1][a]"}],"prose":"defines critical information system software and other security-related\n information requiring backup copies to be stored in a separate facility;\n or"},{"id":"cp-9.3_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"CP-9(3)[1][b]"}],"prose":"defines critical information system software and other security-related\n information requiring backup copies to be stored in a fire-rated container\n that is not collocated with the operational system; and"}]},{"id":"cp-9.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"CP-9(3)[2]"}],"prose":"stores backup copies of organization-defined critical information system\n software and other security-related information in a separate facility or in a\n fire-rated container that is not collocated with the operational system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup configurations and associated documentation\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"cp-10","class":"SP800-53","title":"Information System Recovery and Reconstitution","properties":[{"name":"label","value":"CP-10"},{"name":"sort-id","value":"cp-10"}],"links":[{"href":"#023104bc-6f75-4cd5-b7d0-fc92326f8007","rel":"reference","text":"Federal Continuity Directive 1"},{"href":"#748a81b9-9cad-463f-abde-8b368167e70d","rel":"reference","text":"NIST Special Publication 800-34"}],"parts":[{"id":"cp-10_smt","name":"statement","prose":"The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure."},{"id":"cp-10_gdn","name":"guidance","prose":"Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"cp-10_obj","name":"objective","prose":"Determine if the organization provides for: ","parts":[{"id":"cp-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"CP-10[1]"}],"prose":"the recovery of the information system to a known state after:","parts":[{"id":"cp-10_obj.1.a","name":"objective","properties":[{"name":"label","value":"CP-10[1][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.1.b","name":"objective","properties":[{"name":"label","value":"CP-10[1][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.1.c","name":"objective","properties":[{"name":"label","value":"CP-10[1][c]"}],"prose":"a failure;"}]},{"id":"cp-10_obj.2","name":"objective","properties":[{"name":"label","value":"CP-10[2]"}],"prose":"the reconstitution of the information system to a known state after:","parts":[{"id":"cp-10_obj.2.a","name":"objective","properties":[{"name":"label","value":"CP-10[2][a]"}],"prose":"a disruption;"},{"id":"cp-10_obj.2.b","name":"objective","properties":[{"name":"label","value":"CP-10[2][b]"}],"prose":"a compromise; or"},{"id":"cp-10_obj.2.c","name":"objective","properties":[{"name":"label","value":"CP-10[2][c]"}],"prose":"a failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations"}]}],"controls":[{"id":"cp-10.2","class":"SP800-53-enhancement","title":"Transaction Recovery","properties":[{"name":"label","value":"CP-10(2)"},{"name":"sort-id","value":"cp-10.02"}],"parts":[{"id":"cp-10.2_smt","name":"statement","prose":"The information system implements transaction recovery for systems that are\n transaction-based."},{"id":"cp-10.2_gdn","name":"guidance","prose":"Transaction-based information systems include, for example, database management\n systems and transaction processing systems. Mechanisms supporting transaction\n recovery include, for example, transaction rollback and transaction\n journaling."},{"id":"cp-10.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements transaction recovery for systems\n that are transaction-based. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Contingency planning policy\\n\\nprocedures addressing information system recovery and reconstitution\\n\\ncontingency plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\ninformation system transaction recovery records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for transaction recovery\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing transaction recovery\n capability"}]}]}]}]},{"id":"ia","class":"family","title":"Identification and Authentication","controls":[{"id":"ia-1","class":"SP800-53","title":"Identification and Authentication Policy and Procedures","parameters":[{"id":"ia-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ia-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-1"},{"name":"sort-id","value":"ia-01"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ia-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ia-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ia-1_prm_1 }}:","parts":[{"id":"ia-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"ia-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and"}]},{"id":"ia-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ia-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Identification and authentication policy {{ ia-1_prm_2 }};\n and"},{"id":"ia-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Identification and authentication procedures {{ ia-1_prm_3 }}."}]}]},{"id":"ia-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ia-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ia-1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)"}],"parts":[{"id":"ia-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)"}],"parts":[{"id":"ia-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(1)[1]"}],"prose":"develops and documents an identification and authentication policy that\n addresses:","parts":[{"id":"ia-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ia-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ia-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ia-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ia-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ia-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ia-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ia-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and"},{"id":"ia-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-1(a)(1)[3]"}],"prose":"disseminates the identification and authentication policy to\n organization-defined personnel or roles;"}]},{"id":"ia-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(a)(2)"}],"parts":[{"id":"ia-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;"},{"id":"ia-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ia-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ia-1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)"}],"parts":[{"id":"ia-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(1)"}],"parts":[{"id":"ia-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication policy;"},{"id":"ia-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(1)[2]"}],"prose":"reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and"}]},{"id":"ia-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IA-1(b)(2)"}],"parts":[{"id":"ia-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current identification and\n authentication procedures; and"},{"id":"ia-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-1(b)(2)[2]"}],"prose":"reviews and updates the current identification and authentication procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ia-2","class":"SP800-53","title":"Identification and Authentication (organizational Users)","properties":[{"name":"label","value":"IA-2"},{"name":"sort-id","value":"ia-02"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#4da24a96-6cf8-435d-9d1f-c73247cad109","rel":"reference","text":"OMB Memorandum 06-16"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-2_smt","name":"statement","prose":"The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)."},{"id":"ia-2_gdn","name":"guidance","prose":"Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"ia-2_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-2.1","class":"SP800-53-enhancement","title":"Network Access to Privileged Accounts","properties":[{"name":"label","value":"IA-2(1)"},{"name":"sort-id","value":"ia-02.01"}],"parts":[{"id":"ia-2.1_smt","name":"statement","prose":"The information system implements multifactor authentication for network access to\n privileged accounts."},{"id":"ia-2.1_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n network access to privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.2","class":"SP800-53-enhancement","title":"Network Access to Non-privileged Accounts","properties":[{"name":"label","value":"IA-2(2)"},{"name":"sort-id","value":"ia-02.02"}],"parts":[{"id":"ia-2.2_smt","name":"statement","prose":"The information system implements multifactor authentication for network access to\n non-privileged accounts."},{"id":"ia-2.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n network access to non-privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.3","class":"SP800-53-enhancement","title":"Local Access to Privileged Accounts","properties":[{"name":"label","value":"IA-2(3)"},{"name":"sort-id","value":"ia-02.03"}],"parts":[{"id":"ia-2.3_smt","name":"statement","prose":"The information system implements multifactor authentication for local access to\n privileged accounts."},{"id":"ia-2.3_gdn","name":"guidance","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements multifactor authentication for\n local access to privileged accounts."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing multifactor authentication\n capability"}]}]},{"id":"ia-2.5","class":"SP800-53-enhancement","title":"Group Authentication","properties":[{"name":"label","value":"IA-2(5)"},{"name":"sort-id","value":"ia-02.05"}],"parts":[{"id":"ia-2.5_smt","name":"statement","prose":"The organization requires individuals to be authenticated with an individual\n authenticator when a group authenticator is employed."},{"id":"ia-2.5_gdn","name":"guidance","prose":"Requiring individuals to use individual authenticators as a second level of\n authentication helps organizations to mitigate the risk of using group\n authenticators."},{"id":"ia-2.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires individuals to be authenticated with an\n individual authenticator when a group authenticator is employed."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authentication capability\n for group accounts"}]}]},{"id":"ia-2.8","class":"SP800-53-enhancement","title":"Network Access to Privileged Accounts - Replay Resistant","properties":[{"name":"label","value":"IA-2(8)"},{"name":"sort-id","value":"ia-02.08"}],"parts":[{"id":"ia-2.8_smt","name":"statement","prose":"The information system implements replay-resistant authentication mechanisms for\n network access to privileged accounts."},{"id":"ia-2.8_gdn","name":"guidance","prose":"Authentication processes resist replay attacks if it is impractical to achieve\n successful authentications by replaying previous authentication messages.\n Replay-resistant techniques include, for example, protocols that use nonces or\n challenges such as Transport Layer Security (TLS) and time synchronous or\n challenge-response one-time authenticators."},{"id":"ia-2.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements replay-resistant authentication\n mechanisms for network access to privileged accounts. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing replay resistant\n authentication mechanisms"}]}]},{"id":"ia-2.11","class":"SP800-53-enhancement","title":"Remote Access - Separate Device","parameters":[{"id":"ia-2.11_prm_1","label":"organization-defined strength of mechanism requirements","constraints":[{"detail":"FIPS 140-2, NIAP Certification, or NSA approval"}]}],"properties":[{"name":"label","value":"IA-2(11)"},{"name":"sort-id","value":"ia-02.11"}],"parts":[{"id":"ia-2.11_smt","name":"statement","prose":"The information system implements multifactor authentication for remote access to\n privileged and non-privileged accounts such that one of the factors is provided by\n a device separate from the system gaining access and the device meets {{ ia-2.11_prm_1 }}.","parts":[{"id":"ia-2.11_fr","name":"item","title":"IA-2 (11) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.11_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials."}]}]},{"id":"ia-2.11_gdn","name":"guidance","prose":"For remote access to privileged/non-privileged accounts, the purpose of requiring\n a device that is separate from the information system gaining access for one of\n the factors during multifactor authentication is to reduce the likelihood of\n compromising authentication credentials stored on the system. For example,\n adversaries deploying malicious code on organizational information systems can\n potentially compromise such credentials resident on the system and subsequently\n impersonate authorized users.","links":[{"href":"#ac-6","rel":"related","text":"AC-6"}]},{"id":"ia-2.11_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ia-2.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[1]"}],"prose":"the information system implements multifactor authentication for remote access\n to privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;"},{"id":"ia-2.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[2]"}],"prose":"the information system implements multifactor authentication for remote access\n to non-privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;"},{"id":"ia-2.11_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-2(11)[3]"}],"prose":"the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to privileged\n accounts;"},{"id":"ia-2.11_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-2(11)[4]"}],"prose":"the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to non-privileged\n accounts;"},{"id":"ia-2.11_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[5]"}],"prose":"the information system implements multifactor authentication for remote access\n to privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements; and"},{"id":"ia-2.11_obj.6","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(11)[6]"}],"prose":"the information system implements multifactor authentication for remote access\n to non-privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged and non-privileged information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}]},{"id":"ia-2.12","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials","properties":[{"name":"label","value":"IA-2(12)"},{"name":"sort-id","value":"ia-02.12"}],"parts":[{"id":"ia-2.12_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials.","parts":[{"id":"ia-2.12_fr","name":"item","title":"IA-2 (12) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-2.12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12."}]}]},{"id":"ia-2.12_gdn","name":"guidance","prose":"This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-2.12_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-2.12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(12)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials; and"},{"id":"ia-2.12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-2(12)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials"}]}]}]},{"id":"ia-3","class":"SP800-53","title":"Device Identification and Authentication","parameters":[{"id":"ia-3_prm_1","label":"organization-defined specific and/or types of devices"},{"id":"ia-3_prm_2"}],"properties":[{"name":"label","value":"IA-3"},{"name":"sort-id","value":"ia-03"}],"parts":[{"id":"ia-3_smt","name":"statement","prose":"The information system uniquely identifies and authenticates {{ ia-3_prm_1 }} before establishing a {{ ia-3_prm_2 }}\n connection."},{"id":"ia-3_gdn","name":"guidance","prose":"Organizational devices requiring unique device-to-device identification and\n authentication may be defined by type, by device, or by a combination of type/device.\n Information systems typically use either shared known information (e.g., Media Access\n Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses)\n for device identification or organizational authentication solutions (e.g., IEEE\n 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport\n Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on\n local and/or wide area networks. Organizations determine the required strength of\n authentication mechanisms by the security categories of information systems. Because\n of the challenges of applying this control on large scale, organizations are\n encouraged to only apply the control to those limited number (and type) of devices\n that truly need to support this capability.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"}]},{"id":"ia-3_obj","name":"objective","prose":"Determine if: ","parts":[{"id":"ia-3_obj.1","name":"objective","properties":[{"name":"label","value":"IA-3[1]"}],"prose":"the organization defines specific and/or types of devices that the information\n system uniquely identifies and authenticates before establishing one or more of\n the following:","parts":[{"id":"ia-3_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-3[1][a]"}],"prose":"a local connection;"},{"id":"ia-3_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-3[1][b]"}],"prose":"a remote connection; and/or"},{"id":"ia-3_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-3[1][c]"}],"prose":"a network connection; and"}]},{"id":"ia-3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-3[2]"}],"prose":"the information system uniquely identifies and authenticates organization-defined\n devices before establishing one or more of the following:","parts":[{"id":"ia-3_obj.2.a","name":"objective","properties":[{"name":"label","value":"IA-3[2][a]"}],"prose":"a local connection;"},{"id":"ia-3_obj.2.b","name":"objective","properties":[{"name":"label","value":"IA-3[2][b]"}],"prose":"a remote connection; and/or"},{"id":"ia-3_obj.2.c","name":"objective","properties":[{"name":"label","value":"IA-3[2][c]"}],"prose":"a network connection."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing device identification and authentication\\n\\ninformation system design documentation\\n\\nlist of devices requiring unique identification and authentication\\n\\ndevice connection reports\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with operational responsibilities for device\n identification and authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing device identification and\n authentication capability"}]}]},{"id":"ia-4","class":"SP800-53","title":"Identifier Management","parameters":[{"id":"ia-4_prm_1","label":"organization-defined personnel or roles"},{"id":"ia-4_prm_2","label":"organization-defined time period","constraints":[{"detail":"IA-4 (d) [at least two years]"}]},{"id":"ia-4_prm_3","label":"organization-defined time period of inactivity","constraints":[{"detail":"ninety days for user identifiers (See additional requirements and guidance)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-4"},{"name":"sort-id","value":"ia-04"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"}],"parts":[{"id":"ia-4_smt","name":"statement","prose":"The organization manages information system identifiers by:","parts":[{"id":"ia-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;"},{"id":"ia-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Selecting an identifier that identifies an individual, group, role, or device;"},{"id":"ia-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Assigning the identifier to the intended individual, group, role, or device;"},{"id":"ia-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and"},{"id":"ia-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Disabling the identifier after {{ ia-4_prm_3 }}."},{"id":"ia-4_fr","name":"item","title":"IA-4(e) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-4_fr_smt.e","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines the time period of inactivity for device identifiers."},{"id":"ia-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx)."}]}]},{"id":"ia-4_gdn","name":"guidance","prose":"Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#sc-37","rel":"related","text":"SC-37"}]},{"id":"ia-4_obj","name":"objective","prose":"Determine if the organization manages information system identifiers by: ","parts":[{"id":"ia-4.a_obj","name":"objective","properties":[{"name":"label","value":"IA-4(a)"}],"parts":[{"id":"ia-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(a)[1]"}],"prose":"defining personnel or roles from whom authorization must be received to\n assign:","parts":[{"id":"ia-4.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.1.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[1][d]"}],"prose":"a device identifier;"}]},{"id":"ia-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(a)[2]"}],"prose":"receiving authorization from organization-defined personnel or roles to\n assign:","parts":[{"id":"ia-4.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][a]"}],"prose":"an individual identifier;"},{"id":"ia-4.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][b]"}],"prose":"a group identifier;"},{"id":"ia-4.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][c]"}],"prose":"a role identifier; and/or"},{"id":"ia-4.a_obj.2.d","name":"objective","properties":[{"name":"label","value":"IA-4(a)[2][d]"}],"prose":"a device identifier;"}]}]},{"id":"ia-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(b)"}],"prose":"selecting an identifier that identifies:","parts":[{"id":"ia-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(b)[1]"}],"prose":"an individual;"},{"id":"ia-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(b)[2]"}],"prose":"a group;"},{"id":"ia-4.b_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(b)[3]"}],"prose":"a role; and/or"},{"id":"ia-4.b_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(b)[4]"}],"prose":"a device;"}]},{"id":"ia-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(c)"}],"prose":"assigning the identifier to the intended:","parts":[{"id":"ia-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"IA-4(c)[1]"}],"prose":"individual;"},{"id":"ia-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"IA-4(c)[2]"}],"prose":"group;"},{"id":"ia-4.c_obj.3","name":"objective","properties":[{"name":"label","value":"IA-4(c)[3]"}],"prose":"role; and/or"},{"id":"ia-4.c_obj.4","name":"objective","properties":[{"name":"label","value":"IA-4(c)[4]"}],"prose":"device;"}]},{"id":"ia-4.d_obj","name":"objective","properties":[{"name":"label","value":"IA-4(d)"}],"parts":[{"id":"ia-4.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(d)[1]"}],"prose":"defining a time period for preventing reuse of identifiers;"},{"id":"ia-4.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(d)[2]"}],"prose":"preventing reuse of identifiers for the organization-defined time period;"}]},{"id":"ia-4.e_obj","name":"objective","properties":[{"name":"label","value":"IA-4(e)"}],"parts":[{"id":"ia-4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(e)[1]"}],"prose":"defining a time period of inactivity to disable the identifier; and"},{"id":"ia-4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(e)[2]"}],"prose":"disabling the identifier after the organization-defined time period of\n inactivity."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identifier management"}]}],"controls":[{"id":"ia-4.4","class":"SP800-53-enhancement","title":"Identify User Status","parameters":[{"id":"ia-4.4_prm_1","label":"organization-defined characteristic identifying individual status","constraints":[{"detail":"contractors; foreign nationals"}]}],"properties":[{"name":"label","value":"IA-4(4)"},{"name":"sort-id","value":"ia-04.04"}],"parts":[{"id":"ia-4.4_smt","name":"statement","prose":"The organization manages individual identifiers by uniquely identifying each\n individual as {{ ia-4.4_prm_1 }}."},{"id":"ia-4.4_gdn","name":"guidance","prose":"Characteristics identifying the status of individuals include, for example,\n contractors and foreign nationals. Identifying the status of individuals by\n specific characteristics provides additional information about the people with\n whom organizational personnel are communicating. For example, it might be useful\n for a government employee to know that one of the individuals on an email message\n is a contractor.","links":[{"href":"#at-2","rel":"related","text":"AT-2"}]},{"id":"ia-4.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-4.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-4(4)[1]"}],"prose":"defines a characteristic to be used to identify individual status; and"},{"id":"ia-4.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-4(4)[2]"}],"prose":"manages individual identifiers by uniquely identifying each individual as the\n organization-defined characteristic identifying individual status."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nlist of characteristics identifying individual status\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identifier management"}]}]}]},{"id":"ia-5","class":"SP800-53","title":"Authenticator Management","parameters":[{"id":"ia-5_prm_1","label":"organization-defined time period by authenticator type"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-5"},{"name":"sort-id","value":"ia-05"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-5_smt","name":"statement","prose":"The organization manages information system authenticators by:","parts":[{"id":"ia-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;"},{"id":"ia-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;"},{"id":"ia-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;"},{"id":"ia-5_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changing/refreshing authenticators {{ ia-5_prm_1 }};"},{"id":"ia-5_smt.h","name":"item","properties":[{"name":"label","value":"h."}],"prose":"Protecting authenticator content from unauthorized disclosure and\n modification;"},{"id":"ia-5_smt.i","name":"item","properties":[{"name":"label","value":"i."}],"prose":"Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and"},{"id":"ia-5_smt.j","name":"item","properties":[{"name":"label","value":"j."}],"prose":"Changing authenticators for group/role accounts when membership to those accounts\n changes."},{"id":"ia-5_fr","name":"item","title":"IA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3)."}]}]},{"id":"ia-5_gdn","name":"guidance","prose":"Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"ia-5_obj","name":"objective","prose":"Determine if the organization manages information system authenticators by: ","parts":[{"id":"ia-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(a)"}],"prose":"verifying, as part of the initial authenticator distribution, the identity of:","parts":[{"id":"ia-5.a_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(a)[1]"}],"prose":"the individual receiving the authenticator;"},{"id":"ia-5.a_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(a)[2]"}],"prose":"the group receiving the authenticator;"},{"id":"ia-5.a_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(a)[3]"}],"prose":"the role receiving the authenticator; and/or"},{"id":"ia-5.a_obj.4","name":"objective","properties":[{"name":"label","value":"IA-5(a)[4]"}],"prose":"the device receiving the authenticator;"}]},{"id":"ia-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(b)"}],"prose":"establishing initial authenticator content for authenticators defined by the\n organization;"},{"id":"ia-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(c)"}],"prose":"ensuring that authenticators have sufficient strength of mechanism for their\n intended use;"},{"id":"ia-5.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(d)"}],"parts":[{"id":"ia-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[1]"}],"prose":"establishing and implementing administrative procedures for initial\n authenticator distribution;"},{"id":"ia-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[2]"}],"prose":"establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;"},{"id":"ia-5.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(d)[3]"}],"prose":"establishing and implementing administrative procedures for revoking\n authenticators;"}]},{"id":"ia-5.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(e)"}],"prose":"changing default content of authenticators prior to information system\n installation;"},{"id":"ia-5.f_obj","name":"objective","properties":[{"name":"label","value":"IA-5(f)"}],"parts":[{"id":"ia-5.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[1]"}],"prose":"establishing minimum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[2]"}],"prose":"establishing maximum lifetime restrictions for authenticators;"},{"id":"ia-5.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(f)[3]"}],"prose":"establishing reuse conditions for authenticators;"}]},{"id":"ia-5.g_obj","name":"objective","properties":[{"name":"label","value":"IA-5(g)"}],"parts":[{"id":"ia-5.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(g)[1]"}],"prose":"defining a time period (by authenticator type) for changing/refreshing\n authenticators;"},{"id":"ia-5.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(g)[2]"}],"prose":"changing/refreshing authenticators with the organization-defined time period by\n authenticator type;"}]},{"id":"ia-5.h_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(h)"}],"prose":"protecting authenticator content from unauthorized:","parts":[{"id":"ia-5.h_obj.1","name":"objective","properties":[{"name":"label","value":"IA-5(h)[1]"}],"prose":"disclosure;"},{"id":"ia-5.h_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(h)[2]"}],"prose":"modification;"}]},{"id":"ia-5.i_obj","name":"objective","properties":[{"name":"label","value":"IA-5(i)"}],"parts":[{"id":"ia-5.i_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-5(i)[1]"}],"prose":"requiring individuals to take specific security safeguards to protect\n authenticators;"},{"id":"ia-5.i_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(i)[2]"}],"prose":"having devices implement specific security safeguards to protect\n authenticators; and"}]},{"id":"ia-5.j_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(j)"}],"prose":"changing authenticators for group/role accounts when membership to those accounts\n changes."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability"}]}],"controls":[{"id":"ia-5.1","class":"SP800-53-enhancement","title":"Password-based Authentication","parameters":[{"id":"ia-5.1_prm_1","label":"organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type"},{"id":"ia-5.1_prm_2","label":"organization-defined number","constraints":[{"detail":"at least one"}]},{"id":"ia-5.1_prm_3","label":"organization-defined numbers for lifetime minimum, lifetime maximum"},{"id":"ia-5.1_prm_4","label":"organization-defined number","constraints":[{"detail":"twenty four (24)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IA-5(1)"},{"name":"sort-id","value":"ia-05.01"}],"parts":[{"id":"ia-5.1_smt","name":"statement","prose":"The information system, for password-based authentication:","parts":[{"id":"ia-5.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Enforces minimum password complexity of {{ ia-5.1_prm_1 }};"},{"id":"ia-5.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};"},{"id":"ia-5.1_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Stores and transmits only cryptographically-protected passwords;"},{"id":"ia-5.1_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};"},{"id":"ia-5.1_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and"},{"id":"ia-5.1_smt.f","name":"item","properties":[{"name":"label","value":"(f)"}],"prose":"Allows the use of a temporary password for system logons with an immediate\n change to a permanent password."},{"id":"ia-5.1_fr","name":"item","title":"IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5.1_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"(a) (d) Guidance:"}],"prose":"If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant."}]}]},{"id":"ia-5.1_gdn","name":"guidance","prose":"This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.","links":[{"href":"#ia-6","rel":"related","text":"IA-6"}]},{"id":"ia-5.1_obj","name":"objective","prose":"Determine if, for password-based authentication: ","parts":[{"id":"ia-5.1.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(a)"}],"parts":[{"id":"ia-5.1.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[1]"}],"prose":"the organization defines requirements for case sensitivity;"},{"id":"ia-5.1.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[2]"}],"prose":"the organization defines requirements for number of characters;"},{"id":"ia-5.1.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[3]"}],"prose":"the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;"},{"id":"ia-5.1.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(a)[4]"}],"prose":"the organization defines minimum requirements for each type of\n character;"},{"id":"ia-5.1.a_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(a)[5]"}],"prose":"the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;"}],"links":[{"href":"#ia-5.1_smt.a","rel":"corresp","text":"IA-5(1)(a)"}]},{"id":"ia-5.1.b_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(b)"}],"parts":[{"id":"ia-5.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(b)[1]"}],"prose":"the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;"},{"id":"ia-5.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(b)[2]"}],"prose":"the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;"}],"links":[{"href":"#ia-5.1_smt.b","rel":"corresp","text":"IA-5(1)(b)"}]},{"id":"ia-5.1.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(c)"}],"prose":"the information system stores and transmits only encrypted representations of\n passwords;","links":[{"href":"#ia-5.1_smt.c","rel":"corresp","text":"IA-5(1)(c)"}]},{"id":"ia-5.1.d_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(d)"}],"parts":[{"id":"ia-5.1.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(d)[1]"}],"prose":"the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(d)[2]"}],"prose":"the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;"},{"id":"ia-5.1.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(d)[3]"}],"prose":"the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;"},{"id":"ia-5.1.d_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(d)[4]"}],"prose":"the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;"}],"links":[{"href":"#ia-5.1_smt.d","rel":"corresp","text":"IA-5(1)(d)"}]},{"id":"ia-5.1.e_obj","name":"objective","properties":[{"name":"label","value":"IA-5(1)(e)"}],"parts":[{"id":"ia-5.1.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(1)(e)[1]"}],"prose":"the organization defines the number of password generations to be prohibited\n from password reuse;"},{"id":"ia-5.1.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(e)[2]"}],"prose":"the information system prohibits password reuse for the organization-defined\n number of generations; and"}],"links":[{"href":"#ia-5.1_smt.e","rel":"corresp","text":"IA-5(1)(e)"}]},{"id":"ia-5.1.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(1)(f)"}],"prose":"the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.","links":[{"href":"#ia-5.1_smt.f","rel":"corresp","text":"IA-5(1)(f)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing password-based\n authenticator management capability"}]}]},{"id":"ia-5.2","class":"SP800-53-enhancement","title":"Pki-based Authentication","properties":[{"name":"label","value":"IA-5(2)"},{"name":"sort-id","value":"ia-05.02"}],"parts":[{"id":"ia-5.2_smt","name":"statement","prose":"The information system, for PKI-based authentication:","parts":[{"id":"ia-5.2_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Validates certifications by constructing and verifying a certification path to\n an accepted trust anchor including checking certificate status information;"},{"id":"ia-5.2_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Enforces authorized access to the corresponding private key;"},{"id":"ia-5.2_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Maps the authenticated identity to the account of the individual or group;\n and"},{"id":"ia-5.2_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network."}]},{"id":"ia-5.2_gdn","name":"guidance","prose":"Status information for certification paths includes, for example, certificate\n revocation lists or certificate status protocol responses. For PIV cards,\n validation of certifications involves the construction and verification of a\n certification path to the Common Policy Root trust anchor including certificate\n policy processing.","links":[{"href":"#ia-6","rel":"related","text":"IA-6"}]},{"id":"ia-5.2_obj","name":"objective","prose":"Determine if the information system, for PKI-based authentication: ","parts":[{"id":"ia-5.2.a_obj","name":"objective","properties":[{"name":"label","value":"IA-5(2)(a)"}],"parts":[{"id":"ia-5.2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(a)[1]"}],"prose":"validates certifications by constructing a certification path to an accepted\n trust anchor;"},{"id":"ia-5.2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(a)[2]"}],"prose":"validates certifications by verifying a certification path to an accepted\n trust anchor;"},{"id":"ia-5.2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(a)[3]"}],"prose":"includes checking certificate status information when constructing and\n verifying the certification path;"}],"links":[{"href":"#ia-5.2_smt.a","rel":"corresp","text":"IA-5(2)(a)"}]},{"id":"ia-5.2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(b)"}],"prose":"enforces authorized access to the corresponding private key;","links":[{"href":"#ia-5.2_smt.b","rel":"corresp","text":"IA-5(2)(b)"}]},{"id":"ia-5.2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(c)"}],"prose":"maps the authenticated identity to the account of the individual or group;\n and","links":[{"href":"#ia-5.2_smt.c","rel":"corresp","text":"IA-5(2)(c)"}]},{"id":"ia-5.2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(2)(d)"}],"prose":"implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network.","links":[{"href":"#ia-5.2_smt.d","rel":"corresp","text":"IA-5(2)(d)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nPKI certification validation records\\n\\nPKI certification revocation lists\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with PKI-based, authenticator management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing PKI-based, authenticator\n management capability"}]}]},{"id":"ia-5.3","class":"SP800-53-enhancement","title":"In-person or Trusted Third-party Registration","parameters":[{"id":"ia-5.3_prm_1","label":"organization-defined types of and/or specific authenticators","constraints":[{"detail":"All hardware/biometric (multifactor authenticators)"}]},{"id":"ia-5.3_prm_2","constraints":[{"detail":"in person"}]},{"id":"ia-5.3_prm_3","label":"organization-defined registration authority"},{"id":"ia-5.3_prm_4","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"IA-5(3)"},{"name":"sort-id","value":"ia-05.03"}],"parts":[{"id":"ia-5.3_smt","name":"statement","prose":"The organization requires that the registration process to receive {{ ia-5.3_prm_1 }} be conducted {{ ia-5.3_prm_2 }} before\n {{ ia-5.3_prm_3 }} with authorization by {{ ia-5.3_prm_4 }}."},{"id":"ia-5.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-5.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[1]"}],"prose":"defines types of and/or specific authenticators to be received in person or by\n a trusted third party;"},{"id":"ia-5.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[2]"}],"prose":"defines the registration authority with oversight of the registration process\n for receipt of organization-defined types of and/or specific\n authenticators;"},{"id":"ia-5.3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[3]"}],"prose":"defines personnel or roles responsible for authorizing organization-defined\n registration authority;"},{"id":"ia-5.3_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(3)[4]"}],"prose":"defines if the registration process is to be conducted:","parts":[{"id":"ia-5.3_obj.4.a","name":"objective","properties":[{"name":"label","value":"IA-5(3)[4][a]"}],"prose":"in person; or"},{"id":"ia-5.3_obj.4.b","name":"objective","properties":[{"name":"label","value":"IA-5(3)[4][b]"}],"prose":"by a trusted third party; and"}]},{"id":"ia-5.3_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IA-5(3)[5]"}],"prose":"requires that the registration process to receive organization-defined types of\n and/or specific authenticators be conducted in person or by a trusted third\n party before organization-defined registration authority with authorization by\n organization-defined personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nregistration process for receiving information system authenticators\\n\\nlist of authenticators requiring in-person registration\\n\\nlist of authenticators requiring trusted third party registration\\n\\nauthenticator registration documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\nregistration authority\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ia-5.4","class":"SP800-53-enhancement","title":"Automated Support for Password Strength Determination","parameters":[{"id":"ia-5.4_prm_1","label":"organization-defined requirements"}],"properties":[{"name":"label","value":"IA-5(4)"},{"name":"sort-id","value":"ia-05.04"}],"parts":[{"id":"ia-5.4_smt","name":"statement","prose":"The organization employs automated tools to determine if password authenticators\n are sufficiently strong to satisfy {{ ia-5.4_prm_1 }}.","parts":[{"id":"ia-5.4_fr","name":"item","title":"IA-5 (4) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ia-5.4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators."}]}]},{"id":"ia-5.4_gdn","name":"guidance","prose":"This control enhancement focuses on the creation of strong passwords and the\n characteristics of such passwords (e.g., complexity) prior to use, the enforcement\n of which is carried out by organizational information systems in IA-5 (1).","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"ia-5.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-5.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(4)[1]"}],"prose":"defines requirements to be satisfied by password authenticators; and"},{"id":"ia-5.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(4)[2]"}],"prose":"employs automated tools to determine if password authenticators are\n sufficiently strong to satisfy organization-defined requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nautomated tools for evaluating password authenticators\\n\\npassword strength assessment results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing password-based\n authenticator management capability\\n\\nautomated tools for determining password strength"}]}]},{"id":"ia-5.6","class":"SP800-53-enhancement","title":"Protection of Authenticators","properties":[{"name":"label","value":"IA-5(6)"},{"name":"sort-id","value":"ia-05.06"}],"parts":[{"id":"ia-5.6_smt","name":"statement","prose":"The organization protects authenticators commensurate with the security category\n of the information to which use of the authenticator permits access."},{"id":"ia-5.6_gdn","name":"guidance","prose":"For information systems containing multiple security categories of information\n without reliable physical or logical separation between categories, authenticators\n used to grant access to the systems are protected commensurate with the highest\n security category of information on the systems."},{"id":"ia-5.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects authenticators commensurate with the\n security category of the information to which use of the authenticator permits\n access."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity categorization documentation for the information system\\n\\nsecurity assessments of authenticator protections\\n\\nrisk assessment results\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel implementing and/or maintaining authenticator\n protections\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms protecting authenticators"}]}]},{"id":"ia-5.7","class":"SP800-53-enhancement","title":"No Embedded Unencrypted Static Authenticators","properties":[{"name":"label","value":"IA-5(7)"},{"name":"sort-id","value":"ia-05.07"}],"parts":[{"id":"ia-5.7_smt","name":"statement","prose":"The organization ensures that unencrypted static authenticators are not embedded\n in applications or access scripts or stored on function keys."},{"id":"ia-5.7_gdn","name":"guidance","prose":"Organizations exercise caution in determining whether embedded or stored\n authenticators are in encrypted or unencrypted form. If authenticators are used in\n the manner stored, then those representations are considered unencrypted\n authenticators. This is irrespective of whether that representation is perhaps an\n encrypted version of something else (e.g., a password)."},{"id":"ia-5.7_obj","name":"objective","prose":"Determine if the organization ensures that unencrypted static authenticators are\n not: ","parts":[{"id":"ia-5.7_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(7)[1]"}],"prose":"embedded in applications;"},{"id":"ia-5.7_obj.2","name":"objective","properties":[{"name":"label","value":"IA-5(7)[2]"}],"prose":"embedded in access scripts; or"},{"id":"ia-5.7_obj.3","name":"objective","properties":[{"name":"label","value":"IA-5(7)[3]"}],"prose":"stored on function keys."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access scripts\\n\\napplication code reviews for detecting unencrypted static authenticators\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms implementing authentication in applications"}]}]},{"id":"ia-5.11","class":"SP800-53-enhancement","title":"Hardware Token-based Authentication","parameters":[{"id":"ia-5.11_prm_1","label":"organization-defined token quality requirements"}],"properties":[{"name":"label","value":"IA-5(11)"},{"name":"sort-id","value":"ia-05.11"}],"parts":[{"id":"ia-5.11_smt","name":"statement","prose":"The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}."},{"id":"ia-5.11_gdn","name":"guidance","prose":"Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI."},{"id":"ia-5.11_obj","name":"objective","prose":"Determine if, for hardware token-based authentication: ","parts":[{"id":"ia-5.11_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-5(11)[1]"}],"prose":"the organization defines token quality requirements to be satisfied; and"},{"id":"ia-5.11_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-5(11)[2]"}],"prose":"the information system employs mechanisms that satisfy organization-defined\n token quality requirements."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability"}]}]}]},{"id":"ia-6","class":"SP800-53","title":"Authenticator Feedback","properties":[{"name":"label","value":"IA-6"},{"name":"sort-id","value":"ia-06"}],"parts":[{"id":"ia-6_smt","name":"statement","prose":"The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals."},{"id":"ia-6_gdn","name":"guidance","prose":"The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.","links":[{"href":"#pe-18","rel":"related","text":"PE-18"}]},{"id":"ia-6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication"}]}]},{"id":"ia-7","class":"SP800-53","title":"Cryptographic Module Authentication","properties":[{"name":"label","value":"IA-7"},{"name":"sort-id","value":"ia-07"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#b09d1a31-d3c9-4138-a4f4-4c63816afd7d","rel":"reference","text":"http://csrc.nist.gov/groups/STM/cmvp/index.html"}],"parts":[{"id":"ia-7_smt","name":"statement","prose":"The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication."},{"id":"ia-7_gdn","name":"guidance","prose":"Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.","links":[{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"ia-7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic module\n authentication"}]}]},{"id":"ia-8","class":"SP800-53","title":"Identification and Authentication (non-organizational Users)","properties":[{"name":"label","value":"IA-8"},{"name":"sort-id","value":"ia-08"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#74e740a4-c45d-49f3-a86e-eb747c549e01","rel":"reference","text":"OMB Memorandum 11-11"},{"href":"#599fe9ba-4750-4450-9eeb-b95bd19a5e8f","rel":"reference","text":"OMB Memorandum 10-06-2011"},{"href":"#ba557c91-ba3e-4792-adc6-a4ae479b39ff","rel":"reference","text":"FICAM Roadmap and Implementation Guidance"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#654f21e2-f3bc-43b2-abdc-60ab8d09744b","rel":"reference","text":"National Strategy for Trusted Identities in\n Cyberspace"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ia-8_smt","name":"statement","prose":"The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)."},{"id":"ia-8_gdn","name":"guidance","prose":"Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"ia-8_obj","name":"objective","prose":"Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}],"controls":[{"id":"ia-8.1","class":"SP800-53-enhancement","title":"Acceptance of PIV Credentials from Other Agencies","properties":[{"name":"label","value":"IA-8(1)"},{"name":"sort-id","value":"ia-08.01"}],"parts":[{"id":"ia-8.1_smt","name":"statement","prose":"The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies."},{"id":"ia-8.1_gdn","name":"guidance","prose":"This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.1_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"ia-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(1)[1]"}],"prose":"accepts Personal Identity Verification (PIV) credentials from other agencies;\n and"},{"id":"ia-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(1)[2]"}],"prose":"electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials"}]}]},{"id":"ia-8.2","class":"SP800-53-enhancement","title":"Acceptance of Third-party Credentials","properties":[{"name":"label","value":"IA-8(2)"},{"name":"sort-id","value":"ia-08.02"}],"parts":[{"id":"ia-8.2_smt","name":"statement","prose":"The information system accepts only FICAM-approved third-party credentials."},{"id":"ia-8.2_gdn","name":"guidance","prose":"This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.","links":[{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"ia-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system accepts only FICAM-approved third-party\n credentials. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials"}]}]},{"id":"ia-8.3","class":"SP800-53-enhancement","title":"Use of Ficam-approved Products","parameters":[{"id":"ia-8.3_prm_1","label":"organization-defined information systems"}],"properties":[{"name":"label","value":"IA-8(3)"},{"name":"sort-id","value":"ia-08.03"}],"parts":[{"id":"ia-8.3_smt","name":"statement","prose":"The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials."},{"id":"ia-8.3_gdn","name":"guidance","prose":"This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ia-8.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IA-8(3)[1]"}],"prose":"defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and"},{"id":"ia-8.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IA-8(3)[2]"}],"prose":"employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability"}]}]},{"id":"ia-8.4","class":"SP800-53-enhancement","title":"Use of Ficam-issued Profiles","properties":[{"name":"label","value":"IA-8(4)"},{"name":"sort-id","value":"ia-08.04"}],"parts":[{"id":"ia-8.4_smt","name":"statement","prose":"The information system conforms to FICAM-issued profiles."},{"id":"ia-8.4_gdn","name":"guidance","prose":"This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).","links":[{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"ia-8.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system conforms to FICAM-issued profiles. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles"}]}]}]}]},{"id":"ir","class":"family","title":"Incident Response","controls":[{"id":"ir-1","class":"SP800-53","title":"Incident Response Policy and Procedures","parameters":[{"id":"ir-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ir-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-1"},{"name":"sort-id","value":"ir-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ir-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ir-1_prm_1 }}:","parts":[{"id":"ir-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ir-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and"}]},{"id":"ir-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ir-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Incident response policy {{ ir-1_prm_2 }}; and"},{"id":"ir-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Incident response procedures {{ ir-1_prm_3 }}."}]}]},{"id":"ir-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ir-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-1.a_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)"}],"parts":[{"id":"ir-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)"}],"parts":[{"id":"ir-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(1)[1]"}],"prose":"develops and documents an incident response policy that addresses:","parts":[{"id":"ir-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ir-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ir-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ir-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ir-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ir-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ir-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"IR-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ir-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the incident response policy is to be\n disseminated;"},{"id":"ir-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-1(a)(1)[3]"}],"prose":"disseminates the incident response policy to organization-defined personnel\n or roles;"}]},{"id":"ir-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(a)(2)"}],"parts":[{"id":"ir-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;"},{"id":"ir-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ir-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ir-1.b_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)"}],"parts":[{"id":"ir-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(1)"}],"parts":[{"id":"ir-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current incident response\n policy;"},{"id":"ir-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(1)[2]"}],"prose":"reviews and updates the current incident response policy with the\n organization-defined frequency;"}]},{"id":"ir-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"IR-1(b)(2)"}],"parts":[{"id":"ir-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current incident response\n procedures; and"},{"id":"ir-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-1(b)(2)[2]"}],"prose":"reviews and updates the current incident response procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-2","class":"SP800-53","title":"Incident Response Training","parameters":[{"id":"ir-2_prm_1","label":"organization-defined time period"},{"id":"ir-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-2"},{"name":"sort-id","value":"ir-02"}],"links":[{"href":"#825438c3-248d-4e30-a51e-246473ce6ada","rel":"reference","text":"NIST Special Publication 800-16"},{"href":"#e12b5738-de74-4fb3-8317-a3995a8a1898","rel":"reference","text":"NIST Special Publication 800-50"}],"parts":[{"id":"ir-2_smt","name":"statement","prose":"The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:","parts":[{"id":"ir-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;"},{"id":"ir-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"When required by information system changes; and"},{"id":"ir-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"\n {{ ir-2_prm_2 }} thereafter."}]},{"id":"ir-2_gdn","name":"guidance","prose":"Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-3","rel":"related","text":"CP-3"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-2.a_obj","name":"objective","properties":[{"name":"label","value":"IR-2(a)"}],"parts":[{"id":"ir-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-2(a)[1]"}],"prose":"defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;"},{"id":"ir-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(a)[2]"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;"}]},{"id":"ir-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(b)"}],"prose":"provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;"},{"id":"ir-2.c_obj","name":"objective","properties":[{"name":"label","value":"IR-2(c)"}],"parts":[{"id":"ir-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-2(c)[1]"}],"prose":"defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and"},{"id":"ir-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-2(c)[2]"}],"prose":"after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-3","class":"SP800-53","title":"Incident Response Testing","parameters":[{"id":"ir-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ir-3_prm_2","label":"organization-defined tests","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-3"},{"name":"sort-id","value":"ir-03"}],"links":[{"href":"#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf","rel":"reference","text":"NIST Special Publication 800-84"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"}],"parts":[{"id":"ir-3_smt","name":"statement","prose":"The organization tests the incident response capability for the information system\n {{ ir-3_prm_1 }} using {{ ir-3_prm_2 }} to determine\n the incident response effectiveness and documents the results.","parts":[{"id":"ir-3_fr","name":"item","title":"IR-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-3_fr_smt.1","name":"item","properties":[{"name":"label","value":"IR-3 -2 Requirement:"}],"prose":"The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing."}]}]},{"id":"ir-3_gdn","name":"guidance","prose":"Organizations test incident response capabilities to determine the overall\n effectiveness of the capabilities and to identify potential weaknesses or\n deficiencies. Incident response testing includes, for example, the use of checklists,\n walk-through or tabletop exercises, simulations (parallel/full interrupt), and\n comprehensive exercises. Incident response testing can also include a determination\n of the effects on organizational operations (e.g., reduction in mission\n capabilities), organizational assets, and individuals due to incident response.","links":[{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-3_obj.1","name":"objective","properties":[{"name":"label","value":"IR-3[1]"}],"prose":"defines incident response tests to test the incident response capability for the\n information system;"},{"id":"ir-3_obj.2","name":"objective","properties":[{"name":"label","value":"IR-3[2]"}],"prose":"defines the frequency to test the incident response capability for the information\n system; and"},{"id":"ir-3_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-3[3]"}],"prose":"tests the incident response capability for the information system with the\n organization-defined frequency, using organization-defined tests to determine the\n incident response effectiveness and documents the results."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nprocedures addressing contingency plan testing\\n\\nincident response testing material\\n\\nincident response test results\\n\\nincident response test plan\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with information security responsibilities"}]}],"controls":[{"id":"ir-3.2","class":"SP800-53-enhancement","title":"Coordination with Related Plans","properties":[{"name":"label","value":"IR-3(2)"},{"name":"sort-id","value":"ir-03.02"}],"parts":[{"id":"ir-3.2_smt","name":"statement","prose":"The organization coordinates incident response testing with organizational\n elements responsible for related plans."},{"id":"ir-3.2_gdn","name":"guidance","prose":"Organizational plans related to incident response testing include, for example,\n Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity\n of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n and Occupant Emergency Plans."},{"id":"ir-3.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"}],"prose":"Determine if the organization coordinates incident response testing with\n organizational elements responsible for related plans. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nincident response testing documentation\\n\\nincident response plan\\n\\nbusiness continuity plans\\n\\ncontingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with responsibilities for testing organizational plans\n related to incident response testing\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ir-4","class":"SP800-53","title":"Incident Handling","properties":[{"name":"label","value":"IR-4"},{"name":"sort-id","value":"ir-04"}],"links":[{"href":"#c5034e0c-eba6-4ecd-a541-79f0678f4ba4","rel":"reference","text":"Executive Order 13587"},{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;"},{"id":"ir-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Coordinates incident handling activities with contingency planning activities;\n and"},{"id":"ir-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly."},{"id":"ir-4_fr","name":"item","title":"IR-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-4_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system."}]}]},{"id":"ir-4_gdn","name":"guidance","prose":"Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-2","rel":"related","text":"IR-2"},{"href":"#ir-3","rel":"related","text":"IR-3"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-4.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(a)"}],"prose":"implements an incident handling capability for security incidents that\n includes:","parts":[{"id":"ir-4.a_obj.1","name":"objective","properties":[{"name":"label","value":"IR-4(a)[1]"}],"prose":"preparation;"},{"id":"ir-4.a_obj.2","name":"objective","properties":[{"name":"label","value":"IR-4(a)[2]"}],"prose":"detection and analysis;"},{"id":"ir-4.a_obj.3","name":"objective","properties":[{"name":"label","value":"IR-4(a)[3]"}],"prose":"containment;"},{"id":"ir-4.a_obj.4","name":"objective","properties":[{"name":"label","value":"IR-4(a)[4]"}],"prose":"eradication;"},{"id":"ir-4.a_obj.5","name":"objective","properties":[{"name":"label","value":"IR-4(a)[5]"}],"prose":"recovery;"}]},{"id":"ir-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-4(b)"}],"prose":"coordinates incident handling activities with contingency planning activities;"},{"id":"ir-4.c_obj","name":"objective","properties":[{"name":"label","value":"IR-4(c)"}],"parts":[{"id":"ir-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-4(c)[1]"}],"prose":"incorporates lessons learned from ongoing incident handling activities\n into:","parts":[{"id":"ir-4.c_obj.1.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.1.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][b]"}],"prose":"training;"},{"id":"ir-4.c_obj.1.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[1][c]"}],"prose":"testing/exercises;"}]},{"id":"ir-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-4(c)[2]"}],"prose":"implements the resulting changes accordingly to:","parts":[{"id":"ir-4.c_obj.2.a","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][a]"}],"prose":"incident response procedures;"},{"id":"ir-4.c_obj.2.b","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][b]"}],"prose":"training; and"},{"id":"ir-4.c_obj.2.c","name":"objective","properties":[{"name":"label","value":"IR-4(c)[2][c]"}],"prose":"testing/exercises."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident handling capability for the organization"}]}],"controls":[{"id":"ir-4.1","class":"SP800-53-enhancement","title":"Automated Incident Handling Processes","properties":[{"name":"label","value":"IR-4(1)"},{"name":"sort-id","value":"ir-04.01"}],"parts":[{"id":"ir-4.1_smt","name":"statement","prose":"The organization employs automated mechanisms to support the incident handling\n process."},{"id":"ir-4.1_gdn","name":"guidance","prose":"Automated mechanisms supporting incident handling processes include, for example,\n online incident management systems."},{"id":"ir-4.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to support the incident\n handling process. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms that support and/or implement the incident handling\n process"}]}]}]},{"id":"ir-5","class":"SP800-53","title":"Incident Monitoring","properties":[{"name":"label","value":"IR-5"},{"name":"sort-id","value":"ir-05"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-5_smt","name":"statement","prose":"The organization tracks and documents information system security incidents."},{"id":"ir-5_gdn","name":"guidance","prose":"Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.","links":[{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#pe-6","rel":"related","text":"PE-6"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ir-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-5_obj.1","name":"objective","properties":[{"name":"label","value":"IR-5[1]"}],"prose":"tracks information system security incidents; and"},{"id":"ir-5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-5[2]"}],"prose":"documents information system security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents"}]}]},{"id":"ir-6","class":"SP800-53","title":"Incident Reporting","parameters":[{"id":"ir-6_prm_1","label":"organization-defined time period","constraints":[{"detail":"US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)"}]},{"id":"ir-6_prm_2","label":"organization-defined authorities"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-6"},{"name":"sort-id","value":"ir-06"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#02631467-668b-4233-989b-3dfded2fd184","rel":"reference","text":"http://www.us-cert.gov"}],"parts":[{"id":"ir-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and"},{"id":"ir-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reports security incident information to {{ ir-6_prm_2 }}."},{"id":"ir-6_fr","name":"item","title":"IR-6 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-6_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Report security incident information according to FedRAMP Incident Communications Procedure."}]}]},{"id":"ir-6_gdn","name":"guidance","prose":"The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"ir-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-6.a_obj","name":"objective","properties":[{"name":"label","value":"IR-6(a)"}],"parts":[{"id":"ir-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-6(a)[1]"}],"prose":"defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;"},{"id":"ir-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-6(a)[2]"}],"prose":"requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;"}]},{"id":"ir-6.b_obj","name":"objective","properties":[{"name":"label","value":"IR-6(b)"}],"parts":[{"id":"ir-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-6(b)[1]"}],"prose":"defines authorities to whom security incident information is to be reported;\n and"},{"id":"ir-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-6(b)[2]"}],"prose":"reports security incident information to organization-defined authorities."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting"}]}],"controls":[{"id":"ir-6.1","class":"SP800-53-enhancement","title":"Automated Reporting","properties":[{"name":"label","value":"IR-6(1)"},{"name":"sort-id","value":"ir-06.01"}],"parts":[{"id":"ir-6.1_smt","name":"statement","prose":"The organization employs automated mechanisms to assist in the reporting of\n security incidents."},{"id":"ir-6.1_gdn","name":"guidance","links":[{"href":"#ir-7","rel":"related","text":"IR-7"}]},{"id":"ir-6.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to assist in the\n reporting of security incidents."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nautomated mechanisms supporting incident reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing reporting of security\n incidents"}]}]}]},{"id":"ir-7","class":"SP800-53","title":"Incident Response Assistance","properties":[{"name":"label","value":"IR-7"},{"name":"sort-id","value":"ir-07"}],"parts":[{"id":"ir-7_smt","name":"statement","prose":"The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents."},{"id":"ir-7_gdn","name":"guidance","prose":"Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-6","rel":"related","text":"IR-6"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"ir-7_obj","name":"objective","prose":"Determine if the organization provides an incident response support resource:","parts":[{"id":"ir-7_obj.1","name":"objective","properties":[{"name":"label","value":"IR-7[1]"}],"prose":"that is integral to the organizational incident response capability; and"},{"id":"ir-7_obj.2","name":"objective","properties":[{"name":"label","value":"IR-7[2]"}],"prose":"that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance"}]}],"controls":[{"id":"ir-7.1","class":"SP800-53-enhancement","title":"Automation Support for Availability of Information / Support","properties":[{"name":"label","value":"IR-7(1)"},{"name":"sort-id","value":"ir-07.01"}],"parts":[{"id":"ir-7.1_smt","name":"statement","prose":"The organization employs automated mechanisms to increase the availability of\n incident response-related information and support."},{"id":"ir-7.1_gdn","name":"guidance","prose":"Automated mechanisms can provide a push and/or pull capability for users to obtain\n incident response assistance. For example, individuals might have access to a\n website to query the assistance capability, or conversely, the assistance\n capability may have the ability to proactively send information to users (general\n distribution or targeted) as part of increasing understanding of current response\n capabilities and support."},{"id":"ir-7.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to increase the\n availability of incident response-related information and support."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nautomated mechanisms supporting incident response support and assistance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response support and assistance\n responsibilities\\n\\norganizational personnel with access to incident response support and\n assistance capability\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing an increase in the\n availability of incident response information and support"}]}]},{"id":"ir-7.2","class":"SP800-53-enhancement","title":"Coordination with External Providers","properties":[{"name":"label","value":"IR-7(2)"},{"name":"sort-id","value":"ir-07.02"}],"parts":[{"id":"ir-7.2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-7.2_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and"},{"id":"ir-7.2_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Identifies organizational incident response team members to the external\n providers."}]},{"id":"ir-7.2_gdn","name":"guidance","prose":"External providers of information system protection capability include, for\n example, the Computer Network Defense program within the U.S. Department of\n Defense. External providers help to protect, monitor, analyze, detect, and respond\n to unauthorized activity within organizational information systems and\n networks."},{"id":"ir-7.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-7.2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-7(2)(a)"}],"prose":"establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and","links":[{"href":"#ir-7.2_smt.a","rel":"corresp","text":"IR-7(2)(a)"}]},{"id":"ir-7.2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-7(2)(b)"}],"prose":"identifies organizational incident response team members to the external\n providers.","links":[{"href":"#ir-7.2_smt.b","rel":"corresp","text":"IR-7(2)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response support and assistance\n responsibilities\\n\\nexternal providers of information system protection capability\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ir-8","class":"SP800-53","title":"Incident Response Plan","parameters":[{"id":"ir-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-8_prm_2","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]},{"id":"ir-8_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ir-8_prm_4","label":"organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements","constraints":[{"detail":"see additional FedRAMP Requirements and Guidance"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-8"},{"name":"sort-id","value":"ir-08"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"}],"parts":[{"id":"ir-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ir-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops an incident response plan that:","parts":[{"id":"ir-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Describes the structure and organization of the incident response\n capability;"},{"id":"ir-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;"},{"id":"ir-8_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Defines reportable incidents;"},{"id":"ir-8_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and"},{"id":"ir-8_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Is reviewed and approved by {{ ir-8_prm_1 }};"}]},{"id":"ir-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the incident response plan to {{ ir-8_prm_2 }};"},{"id":"ir-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the incident response plan {{ ir-8_prm_3 }};"},{"id":"ir-8_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;"},{"id":"ir-8_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and"},{"id":"ir-8_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Protects the incident response plan from unauthorized disclosure and\n modification."},{"id":"ir-8_fr","name":"item","title":"IR-8 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ir-8_fr_smt.b","name":"item","properties":[{"name":"label","value":"(b) Requirement:"}],"prose":"The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel."},{"id":"ir-8_fr_smt.e","name":"item","properties":[{"name":"label","value":"(e) Requirement:"}],"prose":"The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel."}]}]},{"id":"ir-8_gdn","name":"guidance","prose":"It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.","links":[{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"}]},{"id":"ir-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-8.a_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)"}],"prose":"develops an incident response plan that:","parts":[{"id":"ir-8.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(1)"}],"prose":"provides the organization with a roadmap for implementing its incident response\n capability;"},{"id":"ir-8.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(2)"}],"prose":"describes the structure and organization of the incident response\n capability;"},{"id":"ir-8.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(3)"}],"prose":"provides a high-level approach for how the incident response capability fits\n into the overall organization;"},{"id":"ir-8.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(4)"}],"prose":"meets the unique requirements of the organization, which relate to:","parts":[{"id":"ir-8.a.4_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[1]"}],"prose":"mission;"},{"id":"ir-8.a.4_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[2]"}],"prose":"size;"},{"id":"ir-8.a.4_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[3]"}],"prose":"structure;"},{"id":"ir-8.a.4_obj.4","name":"objective","properties":[{"name":"label","value":"IR-8(a)(4)[4]"}],"prose":"functions;"}]},{"id":"ir-8.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(5)"}],"prose":"defines reportable incidents;"},{"id":"ir-8.a.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(a)(6)"}],"prose":"provides metrics for measuring the incident response capability within the\n organization;"},{"id":"ir-8.a.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(7)"}],"prose":"defines the resources and management support needed to effectively maintain and\n mature an incident response capability;"},{"id":"ir-8.a.8_obj","name":"objective","properties":[{"name":"label","value":"IR-8(a)(8)"}],"parts":[{"id":"ir-8.a.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(a)(8)[1]"}],"prose":"defines personnel or roles to review and approve the incident response\n plan;"},{"id":"ir-8.a.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-8(a)(8)[2]"}],"prose":"is reviewed and approved by organization-defined personnel or roles;"}]}]},{"id":"ir-8.b_obj","name":"objective","properties":[{"name":"label","value":"IR-8(b)"}],"parts":[{"id":"ir-8.b_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(b)[1]"}],"parts":[{"id":"ir-8.b_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(b)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;"},{"id":"ir-8.b_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(b)[1][b]"}],"prose":"defines organizational elements to whom copies of the incident response plan\n are to be distributed;"}]},{"id":"ir-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(b)[2]"}],"prose":"distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;"}]},{"id":"ir-8.c_obj","name":"objective","properties":[{"name":"label","value":"IR-8(c)"}],"parts":[{"id":"ir-8.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(c)[1]"}],"prose":"defines the frequency to review the incident response plan;"},{"id":"ir-8.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-8(c)[2]"}],"prose":"reviews the incident response plan with the organization-defined frequency;"}]},{"id":"ir-8.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(d)"}],"prose":"updates the incident response plan to address system/organizational changes or\n problems encountered during plan:","parts":[{"id":"ir-8.d_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(d)[1]"}],"prose":"implementation;"},{"id":"ir-8.d_obj.2","name":"objective","properties":[{"name":"label","value":"IR-8(d)[2]"}],"prose":"execution; or"},{"id":"ir-8.d_obj.3","name":"objective","properties":[{"name":"label","value":"IR-8(d)[3]"}],"prose":"testing;"}]},{"id":"ir-8.e_obj","name":"objective","properties":[{"name":"label","value":"IR-8(e)"}],"parts":[{"id":"ir-8.e_obj.1","name":"objective","properties":[{"name":"label","value":"IR-8(e)[1]"}],"parts":[{"id":"ir-8.e_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-8(e)[1][a]"}],"prose":"defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;"},{"id":"ir-8.e_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(e)[1][b]"}],"prose":"defines organizational elements to whom incident response plan changes are\n to be communicated;"}]},{"id":"ir-8.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(e)[2]"}],"prose":"communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and"}]},{"id":"ir-8.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-8(f)"}],"prose":"protects the incident response plan from unauthorized disclosure and\n modification."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational incident response plan and related organizational processes"}]}]},{"id":"ir-9","class":"SP800-53","title":"Information Spillage Response","parameters":[{"id":"ir-9_prm_1","label":"organization-defined personnel or roles"},{"id":"ir-9_prm_2","label":"organization-defined actions"}],"properties":[{"name":"label","value":"IR-9"},{"name":"sort-id","value":"ir-09"}],"parts":[{"id":"ir-9_smt","name":"statement","prose":"The organization responds to information spills by:","parts":[{"id":"ir-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifying the specific information involved in the information system\n contamination;"},{"id":"ir-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Alerting {{ ir-9_prm_1 }} of the information spill using a method\n of communication not associated with the spill;"},{"id":"ir-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Isolating the contaminated information system or system component;"},{"id":"ir-9_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Eradicating the information from the contaminated information system or\n component;"},{"id":"ir-9_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Identifying other information systems or system components that may have been\n subsequently contaminated; and"},{"id":"ir-9_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Performing other {{ ir-9_prm_2 }}."}]},{"id":"ir-9_gdn","name":"guidance","prose":"Information spillage refers to instances where either classified or sensitive\n information is inadvertently placed on information systems that are not authorized to\n process such information. Such information spills often occur when information that\n is initially thought to be of lower sensitivity is transmitted to an information\n system and then is subsequently determined to be of higher sensitivity. At that\n point, corrective action is required. The nature of the organizational response is\n generally based upon the degree of sensitivity of the spilled information (e.g.,\n security category or classification level), the security capabilities of the\n information system, the specific nature of contaminated storage media, and the access\n authorizations (e.g., security clearances) of individuals with authorized access to\n the contaminated system. The methods used to communicate information about the spill\n after the fact do not involve methods directly associated with the actual spill to\n minimize the risk of further spreading the contamination before such contamination is\n isolated and eradicated."},{"id":"ir-9_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(a)"}],"prose":"responds to information spills by identifying the specific information causing the\n information system contamination;"},{"id":"ir-9.b_obj","name":"objective","properties":[{"name":"label","value":"IR-9(b)"}],"parts":[{"id":"ir-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(b)[1]"}],"prose":"defines personnel to be alerted of the information spillage;"},{"id":"ir-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-9(b)[2]"}],"prose":"identifies a method of communication not associated with the information spill\n to use to alert organization-defined personnel of the spill;"},{"id":"ir-9.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(b)[3]"}],"prose":"responds to information spills by alerting organization-defined personnel of\n the information spill using a method of communication not associated with the\n spill;"}]},{"id":"ir-9.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(c)"}],"prose":"responds to information spills by isolating the contaminated information\n system;"},{"id":"ir-9.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(d)"}],"prose":"responds to information spills by eradicating the information from the\n contaminated information system;"},{"id":"ir-9.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(e)"}],"prose":"responds to information spills by identifying other information systems that may\n have been subsequently contaminated;"},{"id":"ir-9.f_obj","name":"objective","properties":[{"name":"label","value":"IR-9(f)"}],"parts":[{"id":"ir-9.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(f)[1]"}],"prose":"defines other actions to be performed in response to information spills;\n and"},{"id":"ir-9.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(f)[2]"}],"prose":"responds to information spills by performing other organization-defined\n actions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nrecords of information spillage alerts/notifications, list of personnel who should\n receive alerts of information spillage\\n\\nlist of actions to be performed regarding information spillage\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information spillage response\\n\\nautomated mechanisms supporting and/or implementing information spillage response\n actions and related communications"}]}],"controls":[{"id":"ir-9.1","class":"SP800-53-enhancement","title":"Responsible Personnel","parameters":[{"id":"ir-9.1_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"IR-9(1)"},{"name":"sort-id","value":"ir-09.01"}],"parts":[{"id":"ir-9.1_smt","name":"statement","prose":"The organization assigns {{ ir-9.1_prm_1 }} with responsibility for\n responding to information spills."},{"id":"ir-9.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ir-9.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(1)[1]"}],"prose":"defines personnel with responsibility for responding to information spills;\n and"},{"id":"ir-9.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-9(1)[2]"}],"prose":"assigns organization-defined personnel with responsibility for responding to\n information spills."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nlist of personnel responsible for responding to information spillage\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-9.2","class":"SP800-53-enhancement","title":"Training","parameters":[{"id":"ir-9.2_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"IR-9(2)"},{"name":"sort-id","value":"ir-09.02"}],"parts":[{"id":"ir-9.2_smt","name":"statement","prose":"The organization provides information spillage response training {{ ir-9.2_prm_1 }}."},{"id":"ir-9.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(2)[1]"}],"prose":"defines the frequency to provide information spillage response training;\n and"},{"id":"ir-9.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"IR-9(2)[2]"}],"prose":"provides information spillage response training with the organization-defined\n frequency."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing information spillage response training\\n\\ninformation spillage response training curriculum\\n\\ninformation spillage response training materials\\n\\nincident response plan\\n\\ninformation spillage response training records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response training responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ir-9.3","class":"SP800-53-enhancement","title":"Post-spill Operations","parameters":[{"id":"ir-9.3_prm_1","label":"organization-defined procedures"}],"properties":[{"name":"label","value":"IR-9(3)"},{"name":"sort-id","value":"ir-09.03"}],"parts":[{"id":"ir-9.3_smt","name":"statement","prose":"The organization implements {{ ir-9.3_prm_1 }} to ensure that\n organizational personnel impacted by information spills can continue to carry out\n assigned tasks while contaminated systems are undergoing corrective actions."},{"id":"ir-9.3_gdn","name":"guidance","prose":"Correction actions for information systems contaminated due to information\n spillages may be very time-consuming. During those periods, personnel may not have\n access to the contaminated systems, which may potentially affect their ability to\n conduct organizational business."},{"id":"ir-9.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(3)[1]"}],"prose":"defines procedures that ensure organizational personnel impacted by information\n spills can continue to carry out assigned tasks while contaminated systems are\n undergoing corrective actions; and"},{"id":"ir-9.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(3)[2]"}],"prose":"implements organization-defined procedures to ensure that organizational\n personnel impacted by information spills can continue to carry out assigned\n tasks while contaminated systems are undergoing corrective actions."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for post-spill operations"}]}]},{"id":"ir-9.4","class":"SP800-53-enhancement","title":"Exposure to Unauthorized Personnel","parameters":[{"id":"ir-9.4_prm_1","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"IR-9(4)"},{"name":"sort-id","value":"ir-09.04"}],"parts":[{"id":"ir-9.4_smt","name":"statement","prose":"The organization employs {{ ir-9.4_prm_1 }} for personnel exposed\n to information not within assigned access authorizations."},{"id":"ir-9.4_gdn","name":"guidance","prose":"Security safeguards include, for example, making personnel exposed to spilled\n information aware of the federal laws, directives, policies, and/or regulations\n regarding the information and the restrictions imposed based on exposure to such\n information."},{"id":"ir-9.4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ir-9.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"IR-9(4)[1]"}],"prose":"defines security safeguards to be employed for personnel exposed to information\n not within assigned access authorizations; and"},{"id":"ir-9.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"IR-9(4)[2]"}],"prose":"employs organization-defined security safeguards for personnel exposed to\n information not within assigned access authorizations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nsecurity safeguards regarding information spillage/exposure to unauthorized\n personnel\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for dealing with information exposed to unauthorized\n personnel\\n\\nautomated mechanisms supporting and/or implementing safeguards for personnel\n exposed to information not within assigned access authorizations"}]}]}]}]},{"id":"ma","class":"family","title":"Maintenance","controls":[{"id":"ma-1","class":"SP800-53","title":"System Maintenance Policy and Procedures","parameters":[{"id":"ma-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ma-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MA-1"},{"name":"sort-id","value":"ma-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ma-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ma-1_prm_1 }}:","parts":[{"id":"ma-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ma-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and"}]},{"id":"ma-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ma-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System maintenance policy {{ ma-1_prm_2 }}; and"},{"id":"ma-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System maintenance procedures {{ ma-1_prm_3 }}."}]}]},{"id":"ma-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ma-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-1.a_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)"}],"parts":[{"id":"ma-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)"}],"parts":[{"id":"ma-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(1)[1]"}],"prose":"develops and documents a system maintenance policy that addresses:","parts":[{"id":"ma-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ma-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ma-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ma-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ma-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ma-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ma-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ma-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system maintenance policy is to be\n disseminated;"},{"id":"ma-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-1(a)(1)[3]"}],"prose":"disseminates the system maintenance policy to organization-defined personnel\n or roles;"}]},{"id":"ma-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(a)(2)"}],"parts":[{"id":"ma-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;"},{"id":"ma-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ma-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ma-1.b_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)"}],"parts":[{"id":"ma-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(1)"}],"parts":[{"id":"ma-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n policy;"},{"id":"ma-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(1)[2]"}],"prose":"reviews and updates the current system maintenance policy with the\n organization-defined frequency;"}]},{"id":"ma-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MA-1(b)(2)"}],"parts":[{"id":"ma-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system maintenance\n procedures; and"},{"id":"ma-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-1(b)(2)[2]"}],"prose":"reviews and updates the current system maintenance procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Maintenance policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ma-2","class":"SP800-53","title":"Controlled Maintenance","parameters":[{"id":"ma-2_prm_1","label":"organization-defined personnel or roles"},{"id":"ma-2_prm_2","label":"organization-defined maintenance-related information"}],"properties":[{"name":"label","value":"MA-2"},{"name":"sort-id","value":"ma-02"}],"parts":[{"id":"ma-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;"},{"id":"ma-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;"},{"id":"ma-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and"},{"id":"ma-2_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Includes {{ ma-2_prm_2 }} in organizational maintenance\n records."}]},{"id":"ma-2_gdn","name":"guidance","prose":"This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pe-16","rel":"related","text":"PE-16"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ma-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ma-2.a_obj","name":"objective","properties":[{"name":"label","value":"MA-2(a)"}],"parts":[{"id":"ma-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(a)[1]"}],"prose":"schedules maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[1][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(a)[2]"}],"prose":"performs maintenance and repairs on information system components in accordance\n with:","parts":[{"id":"ma-2.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[2][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(a)[3]"}],"prose":"documents maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[3][b]"}],"prose":"organizational requirements;"}]},{"id":"ma-2.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(a)[4]"}],"prose":"reviews records of maintenance and repairs on information system components in\n accordance with:","parts":[{"id":"ma-2.a_obj.4.a","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][a]"}],"prose":"manufacturer or vendor specifications; and/or"},{"id":"ma-2.a_obj.4.b","name":"objective","properties":[{"name":"label","value":"MA-2(a)[4][b]"}],"prose":"organizational requirements;"}]}]},{"id":"ma-2.b_obj","name":"objective","properties":[{"name":"label","value":"MA-2(b)"}],"parts":[{"id":"ma-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-2(b)[1]"}],"prose":"approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"},{"id":"ma-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(b)[2]"}],"prose":"monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;"}]},{"id":"ma-2.c_obj","name":"objective","properties":[{"name":"label","value":"MA-2(c)"}],"parts":[{"id":"ma-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(c)[1]"}],"prose":"defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;"},{"id":"ma-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(c)[2]"}],"prose":"requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;"}]},{"id":"ma-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(d)"}],"prose":"sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;"},{"id":"ma-2.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-2(e)"}],"prose":"checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;"},{"id":"ma-2.f_obj","name":"objective","properties":[{"name":"label","value":"MA-2(f)"}],"parts":[{"id":"ma-2.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(f)[1]"}],"prose":"defines maintenance-related information to be included in organizational\n maintenance records; and"},{"id":"ma-2.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-2(f)[2]"}],"prose":"includes organization-defined maintenance-related information in organizational\n maintenance records."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components"}]}]},{"id":"ma-3","class":"SP800-53","title":"Maintenance Tools","properties":[{"name":"label","value":"MA-3"},{"name":"sort-id","value":"ma-03"}],"links":[{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"}],"parts":[{"id":"ma-3_smt","name":"statement","prose":"The organization approves, controls, and monitors information system maintenance\n tools."},{"id":"ma-3_gdn","name":"guidance","prose":"This control addresses security-related issues associated with maintenance tools used\n specifically for diagnostic and repair actions on organizational information systems.\n Maintenance tools can include hardware, software, and firmware items. Maintenance\n tools are potential vehicles for transporting malicious code, either intentionally or\n unintentionally, into a facility and subsequently into organizational information\n systems. Maintenance tools can include, for example, hardware/software diagnostic\n test equipment and hardware/software packet sniffers. This control does not cover\n hardware/software components that may support information system maintenance, yet are\n a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,\n or the hardware and software implementing the monitoring port of an Ethernet\n switch.","links":[{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"ma-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-3_obj.1","name":"objective","properties":[{"name":"label","value":"MA-3[1]"}],"prose":"approves information system maintenance tools;"},{"id":"ma-3_obj.2","name":"objective","properties":[{"name":"label","value":"MA-3[2]"}],"prose":"controls information system maintenance tools; and"},{"id":"ma-3_obj.3","name":"objective","properties":[{"name":"label","value":"MA-3[3]"}],"prose":"monitors information system maintenance tools."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for approving, controlling, and monitoring maintenance\n tools\\n\\nautomated mechanisms supporting and/or implementing approval, control, and/or\n monitoring of maintenance tools"}]}],"controls":[{"id":"ma-3.1","class":"SP800-53-enhancement","title":"Inspect Tools","properties":[{"name":"label","value":"MA-3(1)"},{"name":"sort-id","value":"ma-03.01"}],"parts":[{"id":"ma-3.1_smt","name":"statement","prose":"The organization inspects the maintenance tools carried into a facility by\n maintenance personnel for improper or unauthorized modifications."},{"id":"ma-3.1_gdn","name":"guidance","prose":"If, upon inspection of maintenance tools, organizations determine that the tools\n have been modified in an improper/unauthorized manner or contain malicious code,\n the incident is handled consistent with organizational policies and procedures for\n incident handling.","links":[{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ma-3.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization inspects the maintenance tools carried into a\n facility by maintenance personnel for improper or unauthorized modifications. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance tool inspection records\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for inspecting maintenance tools\\n\\nautomated mechanisms supporting and/or implementing inspection of maintenance\n tools"}]}]},{"id":"ma-3.2","class":"SP800-53-enhancement","title":"Inspect Media","properties":[{"name":"label","value":"MA-3(2)"},{"name":"sort-id","value":"ma-03.02"}],"parts":[{"id":"ma-3.2_smt","name":"statement","prose":"The organization checks media containing diagnostic and test programs for\n malicious code before the media are used in the information system."},{"id":"ma-3.2_gdn","name":"guidance","prose":"If, upon inspection of media containing maintenance diagnostic and test programs,\n organizations determine that the media contain malicious code, the incident is\n handled consistent with organizational incident handling policies and\n procedures.","links":[{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"ma-3.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization checks media containing diagnostic and test programs\n for malicious code before the media are used in the information system. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for inspecting media for malicious code\\n\\nautomated mechanisms supporting and/or implementing inspection of media used\n for maintenance"}]}]},{"id":"ma-3.3","class":"SP800-53-enhancement","title":"Prevent Unauthorized Removal","parameters":[{"id":"ma-3.3_prm_1","label":"organization-defined personnel or roles","constraints":[{"detail":"the information owner explicitly authorizing removal of the equipment from the facility"}]}],"properties":[{"name":"label","value":"MA-3(3)"},{"name":"sort-id","value":"ma-03.03"}],"parts":[{"id":"ma-3.3_smt","name":"statement","prose":"The organization prevents the unauthorized removal of maintenance equipment\n containing organizational information by:","parts":[{"id":"ma-3.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Verifying that there is no organizational information contained on the\n equipment;"},{"id":"ma-3.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Sanitizing or destroying the equipment;"},{"id":"ma-3.3_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Retaining the equipment within the facility; or"},{"id":"ma-3.3_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Obtaining an exemption from {{ ma-3.3_prm_1 }} explicitly\n authorizing removal of the equipment from the facility."}]},{"id":"ma-3.3_gdn","name":"guidance","prose":"Organizational information includes all information specifically owned by\n organizations and information provided to organizations in which organizations\n serve as information stewards."},{"id":"ma-3.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization prevents the unauthorized removal of maintenance\n equipment containing organizational information by: ","parts":[{"id":"ma-3.3.a_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(a)"}],"prose":"verifying that there is no organizational information contained on the\n equipment;","links":[{"href":"#ma-3.3_smt.a","rel":"corresp","text":"MA-3(3)(a)"}]},{"id":"ma-3.3.b_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(b)"}],"prose":"sanitizing or destroying the equipment;","links":[{"href":"#ma-3.3_smt.b","rel":"corresp","text":"MA-3(3)(b)"}]},{"id":"ma-3.3.c_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(c)"}],"prose":"retaining the equipment within the facility; or","links":[{"href":"#ma-3.3_smt.c","rel":"corresp","text":"MA-3(3)(c)"}]},{"id":"ma-3.3.d_obj","name":"objective","properties":[{"name":"label","value":"MA-3(3)(d)"}],"parts":[{"id":"ma-3.3.d_obj.1","name":"objective","properties":[{"name":"label","value":"MA-3(3)(d)[1]"}],"prose":"defining personnel or roles that can grant an exemption from explicitly\n authorizing removal of the equipment from the facility; and"},{"id":"ma-3.3.d_obj.2","name":"objective","properties":[{"name":"label","value":"MA-3(3)(d)[2]"}],"prose":"obtaining an exemption from organization-defined personnel or roles\n explicitly authorizing removal of the equipment from the facility."}],"links":[{"href":"#ma-3.3_smt.d","rel":"corresp","text":"MA-3(3)(d)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nexemptions for equipment removal\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for preventing unauthorized removal of information\\n\\nautomated mechanisms supporting media sanitization or destruction of\n equipment\\n\\nautomated mechanisms supporting verification of media sanitization"}]}]}]},{"id":"ma-4","class":"SP800-53","title":"Nonlocal Maintenance","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MA-4"},{"name":"sort-id","value":"ma-04"}],"links":[{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#f2dbd4ec-c413-4714-b85b-6b7184d1c195","rel":"reference","text":"FIPS Publication 197"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a4aa9645-9a8a-4b51-90a9-e223250f9a75","rel":"reference","text":"CNSS Policy 15"}],"parts":[{"id":"ma-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Approves and monitors nonlocal maintenance and diagnostic activities;"},{"id":"ma-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;"},{"id":"ma-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Maintains records for nonlocal maintenance and diagnostic activities; and"},{"id":"ma-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Terminates session and network connections when nonlocal maintenance is\n completed."}]},{"id":"ma-4_gdn","name":"guidance","prose":"Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"ma-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-4.a_obj","name":"objective","properties":[{"name":"label","value":"MA-4(a)"}],"parts":[{"id":"ma-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(a)[1]"}],"prose":"approves nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(a)[2]"}],"prose":"monitors nonlocal maintenance and diagnostic activities;"}]},{"id":"ma-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(b)"}],"prose":"allows the use of nonlocal maintenance and diagnostic tools only:","parts":[{"id":"ma-4.b_obj.1","name":"objective","properties":[{"name":"label","value":"MA-4(b)[1]"}],"prose":"as consistent with organizational policy;"},{"id":"ma-4.b_obj.2","name":"objective","properties":[{"name":"label","value":"MA-4(b)[2]"}],"prose":"as documented in the security plan for the information system;"}]},{"id":"ma-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(c)"}],"prose":"employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;"},{"id":"ma-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-4(d)"}],"prose":"maintains records for nonlocal maintenance and diagnostic activities;"},{"id":"ma-4.e_obj","name":"objective","properties":[{"name":"label","value":"MA-4(e)"}],"parts":[{"id":"ma-4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(e)[1]"}],"prose":"terminates sessions when nonlocal maintenance or diagnostics is completed;\n and"},{"id":"ma-4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-4(e)[2]"}],"prose":"terminates network connections when nonlocal maintenance or diagnostics is\n completed."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections"}]}],"controls":[{"id":"ma-4.2","class":"SP800-53-enhancement","title":"Document Nonlocal Maintenance","properties":[{"name":"label","value":"MA-4(2)"},{"name":"sort-id","value":"ma-04.02"}],"parts":[{"id":"ma-4.2_smt","name":"statement","prose":"The organization documents in the security plan for the information system, the\n policies and procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections."},{"id":"ma-4.2_obj","name":"objective","prose":"Determine if the organization documents in the security plan for the information\n system: ","parts":[{"id":"ma-4.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-4(2)[1]"}],"prose":"the policies for the establishment and use of nonlocal maintenance and\n diagnostic connections; and"},{"id":"ma-4.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MA-4(2)[2]"}],"prose":"the procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing non-local information system maintenance\\n\\nsecurity plan\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"ma-5","class":"SP800-53","title":"Maintenance Personnel","properties":[{"name":"label","value":"MA-5"},{"name":"sort-id","value":"ma-05"}],"parts":[{"id":"ma-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;"},{"id":"ma-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"id":"ma-5_gdn","name":"guidance","prose":"This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-8","rel":"related","text":"IA-8"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"ma-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-5.a_obj","name":"objective","properties":[{"name":"label","value":"MA-5(a)"}],"parts":[{"id":"ma-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(a)[1]"}],"prose":"establishes a process for maintenance personnel authorization;"},{"id":"ma-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(a)[2]"}],"prose":"maintains a list of authorized maintenance organizations or personnel;"}]},{"id":"ma-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(b)"}],"prose":"ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and"},{"id":"ma-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MA-5(c)"}],"prose":"designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel"}]}],"controls":[{"id":"ma-5.1","class":"SP800-53-enhancement","title":"Individuals Without Appropriate Access","properties":[{"name":"label","value":"MA-5(1)"},{"name":"sort-id","value":"ma-05.01"}],"parts":[{"id":"ma-5.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ma-5.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:","parts":[{"id":"ma-5.1_smt.a.1","name":"item","properties":[{"name":"label","value":"(1)"}],"prose":"Maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who are fully cleared, have\n appropriate access authorizations, and are technically qualified;"},{"id":"ma-5.1_smt.a.2","name":"item","properties":[{"name":"label","value":"(2)"}],"prose":"Prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances or formal access\n approvals, all volatile information storage components within the\n information system are sanitized and all nonvolatile storage media are\n removed or physically disconnected from the system and secured; and"}]},{"id":"ma-5.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Develops and implements alternate security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system."},{"id":"ma-5.1_fr","name":"item","title":"MA-5 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ma-5.1_fr_smt.b","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline"}]}]},{"id":"ma-5.1_gdn","name":"guidance","prose":"This control enhancement denies individuals who lack appropriate security\n clearances (i.e., individuals who do not possess security clearances or possess\n security clearances at a lower level than required) or who are not U.S. citizens,\n visual and electronic access to any classified information, Controlled\n Unclassified Information (CUI), or any other sensitive information contained on\n organizational information systems. Procedures for the use of maintenance\n personnel can be documented in security plans for the information systems.","links":[{"href":"#mp-6","rel":"related","text":"MP-6"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"ma-5.1_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-5.1.a_obj","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)"}],"prose":"implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:","parts":[{"id":"ma-5.1.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(1)(a)(1)"}],"prose":"maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who:","parts":[{"id":"ma-5.1.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(1)[1]"}],"prose":"are fully cleared;"},{"id":"ma-5.1.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(1)[2]"}],"prose":"have appropriate access authorizations;"},{"id":"ma-5.1.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(1)[3]"}],"prose":"are technically qualified;"}],"links":[{"href":"#ma-5.1_smt.a.1","rel":"corresp","text":"MA-5(1)(a)(1)"}]},{"id":"ma-5.1.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(1)(a)(2)"}],"prose":"prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances, or formal access\n approvals:","parts":[{"id":"ma-5.1.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(2)[1]"}],"prose":"all volatile information storage components within the information system\n are sanitized; and"},{"id":"ma-5.1.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(2)[2]"}],"prose":"all nonvolatile storage media are removed; or"},{"id":"ma-5.1.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"MA-5(1)(a)(2)[3]"}],"prose":"all nonvolatile storage media are physically disconnected from the system\n and secured; and"}],"links":[{"href":"#ma-5.1_smt.a.2","rel":"corresp","text":"MA-5(1)(a)(2)"}]}],"links":[{"href":"#ma-5.1_smt.a","rel":"corresp","text":"MA-5(1)(a)"}]},{"id":"ma-5.1.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MA-5(1)(b)"}],"prose":"develops and implements alternative security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system.","links":[{"href":"#ma-5.1_smt.b","rel":"corresp","text":"MA-5(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\ninformation system media protection policy\\n\\nphysical and environmental protection policy\\n\\nsecurity plan\\n\\nlist of maintenance personnel requiring escort/supervision\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with personnel security responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing maintenance personnel without appropriate\n access\\n\\nautomated mechanisms supporting and/or implementing alternative security\n safeguards\\n\\nautomated mechanisms supporting and/or implementing information storage\n component sanitization"}]}]}]},{"id":"ma-6","class":"SP800-53","title":"Timely Maintenance","parameters":[{"id":"ma-6_prm_1","label":"organization-defined information system components"},{"id":"ma-6_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"MA-6"},{"name":"sort-id","value":"ma-06"}],"parts":[{"id":"ma-6_smt","name":"statement","prose":"The organization obtains maintenance support and/or spare parts for {{ ma-6_prm_1 }} within {{ ma-6_prm_2 }} of failure."},{"id":"ma-6_gdn","name":"guidance","prose":"Organizations specify the information system components that result in increased risk\n to organizational operations and assets, individuals, other organizations, or the\n Nation when the functionality provided by those components is not operational.\n Organizational actions to obtain maintenance support typically include having\n appropriate contracts in place.","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"},{"href":"#sa-14","rel":"related","text":"SA-14"},{"href":"#sa-15","rel":"related","text":"SA-15"}]},{"id":"ma-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ma-6_obj.1","name":"objective","properties":[{"name":"label","value":"MA-6[1]"}],"prose":"defines information system components for which maintenance support and/or spare\n parts are to be obtained;"},{"id":"ma-6_obj.2","name":"objective","properties":[{"name":"label","value":"MA-6[2]"}],"prose":"defines the time period within which maintenance support and/or spare parts are to\n be obtained after a failure;"},{"id":"ma-6_obj.3","name":"objective","properties":[{"name":"label","value":"MA-6[3]"}],"parts":[{"id":"ma-6_obj.3.a","name":"objective","properties":[{"name":"label","value":"MA-6[3][a]"}],"prose":"obtains maintenance support for organization-defined information system\n components within the organization-defined time period of failure; and/or"},{"id":"ma-6_obj.3.b","name":"objective","properties":[{"name":"label","value":"MA-6[3][b]"}],"prose":"obtains spare parts for organization-defined information system components\n within the organization-defined time period of failure."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system maintenance policy\\n\\nprocedures addressing information system maintenance\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\ninventory and availability of spare parts\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for ensuring timely maintenance"}]}]}]},{"id":"mp","class":"family","title":"Media Protection","controls":[{"id":"mp-1","class":"SP800-53","title":"Media Protection Policy and Procedures","parameters":[{"id":"mp-1_prm_1","label":"organization-defined personnel or roles"},{"id":"mp-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"mp-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MP-1"},{"name":"sort-id","value":"mp-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"mp-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ mp-1_prm_1 }}:","parts":[{"id":"mp-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"mp-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and"}]},{"id":"mp-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"mp-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Media protection policy {{ mp-1_prm_2 }}; and"},{"id":"mp-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Media protection procedures {{ mp-1_prm_3 }}."}]}]},{"id":"mp-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"mp-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"mp-1.a_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)"}],"parts":[{"id":"mp-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)"}],"parts":[{"id":"mp-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(1)[1]"}],"prose":"develops and documents a media protection policy that addresses:","parts":[{"id":"mp-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"mp-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"mp-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"mp-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"mp-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"mp-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"mp-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"MP-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"mp-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the media protection policy is to be\n disseminated;"},{"id":"mp-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MP-1(a)(1)[3]"}],"prose":"disseminates the media protection policy to organization-defined personnel\n or roles;"}]},{"id":"mp-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(a)(2)"}],"parts":[{"id":"mp-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;"},{"id":"mp-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"mp-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"MP-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"mp-1.b_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)"}],"parts":[{"id":"mp-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(1)"}],"parts":[{"id":"mp-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current media protection\n policy;"},{"id":"mp-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(1)[2]"}],"prose":"reviews and updates the current media protection policy with the\n organization-defined frequency;"}]},{"id":"mp-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"MP-1(b)(2)"}],"parts":[{"id":"mp-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current media protection\n procedures; and"},{"id":"mp-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-1(b)(2)[2]"}],"prose":"reviews and updates the current media protection procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Media protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"mp-2","class":"SP800-53","title":"Media Access","parameters":[{"id":"mp-2_prm_1","label":"organization-defined types of digital and/or non-digital media"},{"id":"mp-2_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"MP-2"},{"name":"sort-id","value":"mp-02"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-2_smt","name":"statement","prose":"The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}."},{"id":"mp-2_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pl-2","rel":"related","text":"PL-2"}]},{"id":"mp-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-2[1]"}],"prose":"defines types of digital and/or non-digital media requiring restricted access;"},{"id":"mp-2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-2[2]"}],"prose":"defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and"},{"id":"mp-2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-2[3]"}],"prose":"restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions"}]}]},{"id":"mp-3","class":"SP800-53","title":"Media Marking","parameters":[{"id":"mp-3_prm_1","label":"organization-defined types of information system media","constraints":[{"detail":"no removable media types"}]},{"id":"mp-3_prm_2","label":"organization-defined controlled areas"}],"properties":[{"name":"label","value":"MP-3"},{"name":"sort-id","value":"mp-03"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"}],"parts":[{"id":"mp-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Marks information system media indicating the distribution limitations, handling\n caveats, and applicable security markings (if any) of the information; and"},{"id":"mp-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Exempts {{ mp-3_prm_1 }} from marking as long as the media remain\n within {{ mp-3_prm_2 }}."},{"id":"mp-3_fr","name":"item","title":"MP-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-3_fr_gdn.b","name":"guidance","properties":[{"name":"label","value":"(b) Guidance:"}],"prose":"Second parameter not-applicable"}]}]},{"id":"mp-3_gdn","name":"guidance","prose":"The term security marking refers to the application/use of human-readable security\n attributes. The term security labeling refers to the application/use of security\n attributes with regard to internal data structures within information systems (see\n AC-16). Information system media includes both digital and non-digital media. Digital\n media includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Security marking is generally not\n required for media containing information determined by organizations to be in the\n public domain or to be publicly releasable. However, some organizations may require\n markings for public information indicating that the information is publicly\n releasable. Marking of information system media reflects applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and guidance.","links":[{"href":"#ac-16","rel":"related","text":"AC-16"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"mp-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-3(a)"}],"prose":"marks information system media indicating the:","parts":[{"id":"mp-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"MP-3(a)[1]"}],"prose":"distribution limitations of the information;"},{"id":"mp-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"MP-3(a)[2]"}],"prose":"handling caveats of the information;"},{"id":"mp-3.a_obj.3","name":"objective","properties":[{"name":"label","value":"MP-3(a)[3]"}],"prose":"applicable security markings (if any) of the information;"}]},{"id":"mp-3.b_obj","name":"objective","properties":[{"name":"label","value":"MP-3(b)"}],"parts":[{"id":"mp-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-3(b)[1]"}],"prose":"defines types of information system media to be exempted from marking as long\n as the media remain in designated controlled areas;"},{"id":"mp-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-3(b)[2]"}],"prose":"defines controlled areas where organization-defined types of information system\n media exempt from marking are to be retained; and"},{"id":"mp-3.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-3(b)[3]"}],"prose":"exempts organization-defined types of information system media from marking as\n long as the media remain within organization-defined controlled areas."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media marking\\n\\nphysical and environmental protection policy and procedures\\n\\nsecurity plan\\n\\nlist of information system media marking security attributes\\n\\ndesignated controlled areas\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection and marking\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for marking information media\\n\\nautomated mechanisms supporting and/or implementing media marking"}]}]},{"id":"mp-4","class":"SP800-53","title":"Media Storage","parameters":[{"id":"mp-4_prm_1","label":"organization-defined types of digital and/or non-digital media","constraints":[{"detail":"all types of digital and non-digital media with sensitive information"}]},{"id":"mp-4_prm_2","label":"organization-defined controlled areas","constraints":[{"detail":"see additional FedRAMP requirements and guidance"}]}],"properties":[{"name":"label","value":"MP-4"},{"name":"sort-id","value":"mp-04"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Physically controls and securely stores {{ mp-4_prm_1 }} within\n {{ mp-4_prm_2 }}; and"},{"id":"mp-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures."},{"id":"mp-4_fr","name":"item","title":"MP-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-4_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider defines controlled areas within facilities where the information and information system reside."}]}]},{"id":"mp-4_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Physically controlling information system\n media includes, for example, conducting inventories, ensuring procedures are in place\n to allow individuals to check out and return media to the media library, and\n maintaining accountability for all stored media. Secure storage includes, for\n example, a locked drawer, desk, or cabinet, or a controlled media library. The type\n of media storage is commensurate with the security category and/or classification of\n the information residing on the media. Controlled areas are areas for which\n organizations provide sufficient physical and procedural safeguards to meet the\n requirements established for protecting information and/or information systems. For\n media containing information determined by organizations to be in the public domain,\n to be publicly releasable, or to have limited or no adverse impact on organizations\n or individuals if accessed by other than authorized personnel, fewer safeguards may\n be needed. In these situations, physical access controls provide adequate\n protection.","links":[{"href":"#cp-6","rel":"related","text":"CP-6"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-7","rel":"related","text":"MP-7"},{"href":"#pe-3","rel":"related","text":"PE-3"}]},{"id":"mp-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-4.a_obj","name":"objective","properties":[{"name":"label","value":"MP-4(a)"}],"parts":[{"id":"mp-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-4(a)[1]"}],"prose":"defines types of digital and/or non-digital media to be physically controlled\n and securely stored within designated controlled areas;"},{"id":"mp-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-4(a)[2]"}],"prose":"defines controlled areas designated to physically control and securely store\n organization-defined types of digital and/or non-digital media;"},{"id":"mp-4.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-4(a)[3]"}],"prose":"physically controls organization-defined types of digital and/or non-digital\n media within organization-defined controlled areas;"},{"id":"mp-4.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-4(a)[4]"}],"prose":"securely stores organization-defined types of digital and/or non-digital media\n within organization-defined controlled areas; and"}]},{"id":"mp-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-4(b)"}],"prose":"protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing secure media storage/media\n protection"}]}]},{"id":"mp-5","class":"SP800-53","title":"Media Transport","parameters":[{"id":"mp-5_prm_1","label":"organization-defined types of information system media","constraints":[{"detail":"all media with sensitive information"}]},{"id":"mp-5_prm_2","label":"organization-defined security safeguards","constraints":[{"detail":"prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container"}]}],"properties":[{"name":"label","value":"MP-5"},{"name":"sort-id","value":"mp-05"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"}],"parts":[{"id":"mp-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Protects and controls {{ mp-5_prm_1 }} during transport outside of\n controlled areas using {{ mp-5_prm_2 }};"},{"id":"mp-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Maintains accountability for information system media during transport outside of\n controlled areas;"},{"id":"mp-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents activities associated with the transport of information system media;\n and"},{"id":"mp-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Restricts the activities associated with the transport of information system media\n to authorized personnel."},{"id":"mp-5_fr","name":"item","title":"MP-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-5_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB."}]}]},{"id":"mp-5_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers),\n that are transported outside of controlled areas. Controlled areas are areas or\n spaces for which organizations provide sufficient physical and/or procedural\n safeguards to meet the requirements established for protecting information and/or\n information systems. Physical and technical safeguards for media are commensurate\n with the security category or classification of the information residing on the\n media. Safeguards to protect media during transport include, for example, locked\n containers and cryptography. Cryptographic mechanisms can provide confidentiality and\n integrity protections depending upon the mechanisms used. Activities associated with\n transport include the actual transport as well as those activities such as releasing\n media for transport and ensuring that media enters the appropriate transport\n processes. For the actual transport, authorized transport and courier personnel may\n include individuals from outside the organization (e.g., U.S. Postal Service or a\n commercial transport or delivery service). Maintaining accountability of media during\n transport includes, for example, restricting transport activities to authorized\n personnel, and tracking and/or obtaining explicit records of transport activities as\n the media moves through the transportation system to prevent and detect loss,\n destruction, or tampering. Organizations establish documentation requirements for\n activities associated with the transport of information system media in accordance\n with organizational assessments of risk to include the flexibility to define\n different record-keeping methods for the different types of media transport as part\n of an overall system of transport-related records.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#mp-3","rel":"related","text":"MP-3"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-28","rel":"related","text":"SC-28"}]},{"id":"mp-5_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-5.a_obj","name":"objective","properties":[{"name":"label","value":"MP-5(a)"}],"parts":[{"id":"mp-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-5(a)[1]"}],"prose":"defines types of information system media to be protected and controlled during\n transport outside of controlled areas;"},{"id":"mp-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-5(a)[2]"}],"prose":"defines security safeguards to protect and control organization-defined\n information system media during transport outside of controlled areas;"},{"id":"mp-5.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-5(a)[3]"}],"prose":"protects and controls organization-defined information system media during\n transport outside of controlled areas using organization-defined security\n safeguards;"}]},{"id":"mp-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-5(b)"}],"prose":"maintains accountability for information system media during transport outside of\n controlled areas;"},{"id":"mp-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-5(c)"}],"prose":"documents activities associated with the transport of information system media;\n and"},{"id":"mp-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-5(d)"}],"prose":"restricts the activities associated with transport of information system media to\n authorized personnel."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing media storage/media\n protection"}]}],"controls":[{"id":"mp-5.4","class":"SP800-53-enhancement","title":"Cryptographic Protection","properties":[{"name":"label","value":"MP-5(4)"},{"name":"sort-id","value":"mp-05.04"}],"parts":[{"id":"mp-5.4_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas."},{"id":"mp-5.4_gdn","name":"guidance","prose":"This control enhancement applies to both portable storage devices (e.g., USB\n memory sticks, compact disks, digital video disks, external/removable hard disk\n drives) and mobile devices with storage capability (e.g., smart phones, tablets,\n E-readers).","links":[{"href":"#mp-2","rel":"related","text":"MP-2"}]},{"id":"mp-5.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media transport\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system media transport records\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media transport\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms protecting information on digital media during\n transportation outside controlled areas"}]}]}]},{"id":"mp-6","class":"SP800-53","title":"Media Sanitization","parameters":[{"id":"mp-6_prm_1","label":"organization-defined information system media"},{"id":"mp-6_prm_2","label":"organization-defined sanitization techniques and procedures"}],"properties":[{"name":"label","value":"MP-6"},{"name":"sort-id","value":"mp-06"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#263823e0-a971-4b00-959d-315b26278b22","rel":"reference","text":"NIST Special Publication 800-88"},{"href":"#a47466c4-c837-4f06-a39f-e68412a5f73d","rel":"reference","text":"http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml"}],"parts":[{"id":"mp-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"mp-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and"},{"id":"mp-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information."}]},{"id":"mp-6_gdn","name":"guidance","prose":"This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.","links":[{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-4","rel":"related","text":"SC-4"}]},{"id":"mp-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.a_obj","name":"objective","properties":[{"name":"label","value":"MP-6(a)"}],"parts":[{"id":"mp-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(a)[1]"}],"prose":"defines information system media to be sanitized prior to:","parts":[{"id":"mp-6.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.1.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[1][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(a)[2]"}],"prose":"defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:","parts":[{"id":"mp-6.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][a]"}],"prose":"disposal;"},{"id":"mp-6.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][b]"}],"prose":"release out of organizational control; or"},{"id":"mp-6.a_obj.2.c","name":"objective","properties":[{"name":"label","value":"MP-6(a)[2][c]"}],"prose":"release for reuse;"}]},{"id":"mp-6.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(a)[3]"}],"prose":"sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and"}]},{"id":"mp-6.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(b)"}],"prose":"employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}],"controls":[{"id":"mp-6.2","class":"SP800-53-enhancement","title":"Equipment Testing","parameters":[{"id":"mp-6.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"MP-6(2)"},{"name":"sort-id","value":"mp-06.02"}],"parts":[{"id":"mp-6.2_smt","name":"statement","prose":"The organization tests sanitization equipment and procedures {{ mp-6.2_prm_1 }} to verify that the intended sanitization is being\n achieved.","parts":[{"id":"mp-6.2_fr","name":"item","title":"MP-6 (2) Additional FedRAMP Requirements and Guidance","parts":[{"id":"mp-6.2_fr_gdn.a","name":"guidance","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"Equipment and procedures may be tested or validated for effectiveness"}]}]},{"id":"mp-6.2_gdn","name":"guidance","prose":"Testing of sanitization equipment and procedures may be conducted by qualified and\n authorized external entities (e.g., other federal agencies or external service\n providers)."},{"id":"mp-6.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-6.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-6(2)[1]"}],"prose":"defines the frequency for testing sanitization equipment and procedures to\n verify that the intended sanitization is being achieved; and"},{"id":"mp-6.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-6(2)[2]"}],"prose":"tests sanitization equipment and procedures with the organization-defined\n frequency to verify that the intended sanitization is being achieved."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nprocedures addressing testing of media sanitization equipment\\n\\nresults of media sanitization equipment and procedures testing\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media sanitization\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization"}]}]}]},{"id":"mp-7","class":"SP800-53","title":"Media Use","parameters":[{"id":"mp-7_prm_1"},{"id":"mp-7_prm_2","label":"organization-defined types of information system media"},{"id":"mp-7_prm_3","label":"organization-defined information systems or system components"},{"id":"mp-7_prm_4","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"MP-7"},{"name":"sort-id","value":"mp-07"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"mp-7_smt","name":"statement","prose":"The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}."},{"id":"mp-7_gdn","name":"guidance","prose":"Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"mp-7_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"mp-7_obj.1","name":"objective","properties":[{"name":"label","value":"MP-7[1]"}],"prose":"defines types of information system media to be:","parts":[{"id":"mp-7_obj.1.a","name":"objective","properties":[{"name":"label","value":"MP-7[1][a]"}],"prose":"restricted on information systems or system components; or"},{"id":"mp-7_obj.1.b","name":"objective","properties":[{"name":"label","value":"MP-7[1][b]"}],"prose":"prohibited from use on information systems or system components;"}]},{"id":"mp-7_obj.2","name":"objective","properties":[{"name":"label","value":"MP-7[2]"}],"prose":"defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:","parts":[{"id":"mp-7_obj.2.a","name":"objective","properties":[{"name":"label","value":"MP-7[2][a]"}],"prose":"restricted; or"},{"id":"mp-7_obj.2.b","name":"objective","properties":[{"name":"label","value":"MP-7[2][b]"}],"prose":"prohibited;"}]},{"id":"mp-7_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"MP-7[3]"}],"prose":"defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and"},{"id":"mp-7_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"MP-7[4]"}],"prose":"restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components"}]}],"controls":[{"id":"mp-7.1","class":"SP800-53-enhancement","title":"Prohibit Use Without Owner","properties":[{"name":"label","value":"MP-7(1)"},{"name":"sort-id","value":"mp-07.01"}],"parts":[{"id":"mp-7.1_smt","name":"statement","prose":"The organization prohibits the use of portable storage devices in organizational\n information systems when such devices have no identifiable owner."},{"id":"mp-7.1_gdn","name":"guidance","prose":"Requiring identifiable owners (e.g., individuals, organizations, or projects) for\n portable storage devices reduces the risk of using such technologies by allowing\n organizations to assign responsibility and accountability for addressing known\n vulnerabilities in the devices (e.g., malicious code insertion).","links":[{"href":"#pl-4","rel":"related","text":"PL-4"}]},{"id":"mp-7.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization prohibits the use of portable storage devices in\n organizational information systems when such devices have no identifiable owner.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for media use\\n\\nautomated mechanisms prohibiting use of media on information systems or system\n components"}]}]}]}]},{"id":"pe","class":"family","title":"Physical and Environmental Protection","controls":[{"id":"pe-1","class":"SP800-53","title":"Physical and Environmental Protection Policy and Procedures","parameters":[{"id":"pe-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pe-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"pe-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-1"},{"name":"sort-id","value":"pe-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pe-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pe-1_prm_1 }}:","parts":[{"id":"pe-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"pe-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and"}]},{"id":"pe-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pe-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Physical and environmental protection policy {{ pe-1_prm_2 }};\n and"},{"id":"pe-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Physical and environmental protection procedures {{ pe-1_prm_3 }}."}]}]},{"id":"pe-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pe-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pe-1.a_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)"}],"parts":[{"id":"pe-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)"}],"parts":[{"id":"pe-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(1)[1]"}],"prose":"develops and documents a physical and environmental protection policy that\n addresses:","parts":[{"id":"pe-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pe-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pe-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pe-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pe-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pe-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pe-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PE-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pe-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;"},{"id":"pe-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-1(a)(1)[3]"}],"prose":"disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;"}]},{"id":"pe-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(a)(2)"}],"parts":[{"id":"pe-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;"},{"id":"pe-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pe-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pe-1.b_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)"}],"parts":[{"id":"pe-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(1)"}],"parts":[{"id":"pe-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection policy;"},{"id":"pe-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(1)[2]"}],"prose":"reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;"}]},{"id":"pe-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PE-1(b)(2)"}],"parts":[{"id":"pe-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current physical and\n environmental protection procedures; and"},{"id":"pe-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-1(b)(2)[2]"}],"prose":"reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pe-2","class":"SP800-53","title":"Physical Access Authorizations","parameters":[{"id":"pe-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-2"},{"name":"sort-id","value":"pe-02"}],"parts":[{"id":"pe-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;"},{"id":"pe-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Issues authorization credentials for facility access;"},{"id":"pe-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and"},{"id":"pe-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Removes individuals from the facility access list when access is no longer\n required."}]},{"id":"pe-2_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.","links":[{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"pe-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-2.a_obj","name":"objective","properties":[{"name":"label","value":"PE-2(a)"}],"parts":[{"id":"pe-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-2(a)[1]"}],"prose":"develops a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(a)[2]"}],"prose":"approves a list of individuals with authorized access to the facility where the\n information system resides;"},{"id":"pe-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-2(a)[3]"}],"prose":"maintains a list of individuals with authorized access to the facility where\n the information system resides;"}]},{"id":"pe-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(b)"}],"prose":"issues authorization credentials for facility access;"},{"id":"pe-2.c_obj","name":"objective","properties":[{"name":"label","value":"PE-2(c)"}],"parts":[{"id":"pe-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-2(c)[1]"}],"prose":"defines the frequency to review the access list detailing authorized facility\n access by individuals;"},{"id":"pe-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(c)[2]"}],"prose":"reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and"}]},{"id":"pe-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-2(d)"}],"prose":"removes individuals from the facility access list when access is no longer\n required."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations"}]}]},{"id":"pe-3","class":"SP800-53","title":"Physical Access Control","parameters":[{"id":"pe-3_prm_1","label":"organization-defined entry/exit points to the facility where the information\n system resides"},{"id":"pe-3_prm_2","constraints":[{"detail":"CSP defined physical access control systems/devices AND guards"}]},{"id":"pe-3_prm_3","depends-on":"pe-3_prm_2","label":"organization-defined physical access control systems/devices","constraints":[{"detail":"CSP defined physical access control systems/devices"}]},{"id":"pe-3_prm_4","label":"organization-defined entry/exit points"},{"id":"pe-3_prm_5","label":"organization-defined security safeguards"},{"id":"pe-3_prm_6","label":"organization-defined circumstances requiring visitor escorts and\n monitoring","constraints":[{"detail":"in all circumstances within restricted access area where the information system resides"}]},{"id":"pe-3_prm_7","label":"organization-defined physical access devices"},{"id":"pe-3_prm_8","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"pe-3_prm_9","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-3"},{"name":"sort-id","value":"pe-03"}],"links":[{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#2157bb7e-192c-4eaa-877f-93ef6b0a3292","rel":"reference","text":"NIST Special Publication 800-116"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"},{"href":"#398e33fd-f404-4e5c-b90e-2d50d3181244","rel":"reference","text":"ICD 705"},{"href":"#61081e7f-041d-4033-96a7-44a439071683","rel":"reference","text":"DoD Instruction 5200.39"},{"href":"#dd2f5acd-08f1-435a-9837-f8203088dc1a","rel":"reference","text":"Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"}],"parts":[{"id":"pe-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Enforces physical access authorizations at {{ pe-3_prm_1 }} by;","parts":[{"id":"pe-3_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Verifying individual access authorizations before granting access to the\n facility; and"},{"id":"pe-3_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};"}]},{"id":"pe-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Maintains physical access audit logs for {{ pe-3_prm_4 }};"},{"id":"pe-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;"},{"id":"pe-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};"},{"id":"pe-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Secures keys, combinations, and other physical access devices;"},{"id":"pe-3_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and"},{"id":"pe-3_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated."}]},{"id":"pe-3_gdn","name":"guidance","prose":"This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#pe-5","rel":"related","text":"PE-5"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"pe-3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-3.a_obj","name":"objective","properties":[{"name":"label","value":"PE-3(a)"}],"parts":[{"id":"pe-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(a)[1]"}],"prose":"defines entry/exit points to the facility where the information system\n resides;"},{"id":"pe-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(a)[2]"}],"prose":"enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:","parts":[{"id":"pe-3.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](1)"}],"prose":"verifying individual access authorizations before granting access to the\n facility;"},{"id":"pe-3.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(a)[2](2)"}],"parts":[{"id":"pe-3.a.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[a]"}],"prose":"defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;"},{"id":"pe-3.a.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b]"}],"prose":"using one or more of the following ways to control ingress/egress to the\n facility:","parts":[{"id":"pe-3.a.2_obj.2.b.1","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][1]"}],"prose":"organization-defined physical access control systems/devices;\n and/or"},{"id":"pe-3.a.2_obj.2.b.2","name":"objective","properties":[{"name":"label","value":"PE-3(a)[2](2)[b][2]"}],"prose":"guards;"}]}]}]}]},{"id":"pe-3.b_obj","name":"objective","properties":[{"name":"label","value":"PE-3(b)"}],"parts":[{"id":"pe-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(b)[1]"}],"prose":"defines entry/exit points for which physical access audit logs are to be\n maintained;"},{"id":"pe-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(b)[2]"}],"prose":"maintains physical access audit logs for organization-defined entry/exit\n points;"}]},{"id":"pe-3.c_obj","name":"objective","properties":[{"name":"label","value":"PE-3(c)"}],"parts":[{"id":"pe-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(c)[1]"}],"prose":"defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;"},{"id":"pe-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(c)[2]"}],"prose":"provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;"}]},{"id":"pe-3.d_obj","name":"objective","properties":[{"name":"label","value":"PE-3(d)"}],"parts":[{"id":"pe-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(d)[1]"}],"prose":"defines circumstances requiring visitor:","parts":[{"id":"pe-3.d_obj.1.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][a]"}],"prose":"escorts;"},{"id":"pe-3.d_obj.1.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[1][b]"}],"prose":"monitoring;"}]},{"id":"pe-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(d)[2]"}],"prose":"in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:","parts":[{"id":"pe-3.d_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][a]"}],"prose":"escorts visitors;"},{"id":"pe-3.d_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(d)[2][b]"}],"prose":"monitors visitor activities;"}]}]},{"id":"pe-3.e_obj","name":"objective","properties":[{"name":"label","value":"PE-3(e)"}],"parts":[{"id":"pe-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[1]"}],"prose":"secures keys;"},{"id":"pe-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[2]"}],"prose":"secures combinations;"},{"id":"pe-3.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(e)[3]"}],"prose":"secures other physical access devices;"}]},{"id":"pe-3.f_obj","name":"objective","properties":[{"name":"label","value":"PE-3(f)"}],"parts":[{"id":"pe-3.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(f)[1]"}],"prose":"defines physical access devices to be inventoried;"},{"id":"pe-3.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(f)[2]"}],"prose":"defines the frequency to inventory organization-defined physical access\n devices;"},{"id":"pe-3.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(f)[3]"}],"prose":"inventories the organization-defined physical access devices with the\n organization-defined frequency;"}]},{"id":"pe-3.g_obj","name":"objective","properties":[{"name":"label","value":"PE-3(g)"}],"parts":[{"id":"pe-3.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-3(g)[1]"}],"prose":"defines the frequency to change combinations and keys; and"},{"id":"pe-3.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-3(g)[2]"}],"prose":"changes combinations and keys with the organization-defined frequency and/or\n when:","parts":[{"id":"pe-3.g_obj.2.a","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][a]"}],"prose":"keys are lost;"},{"id":"pe-3.g_obj.2.b","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][b]"}],"prose":"combinations are compromised;"},{"id":"pe-3.g_obj.2.c","name":"objective","properties":[{"name":"label","value":"PE-3(g)[2][c]"}],"prose":"individuals are transferred or terminated."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices"}]}]},{"id":"pe-4","class":"SP800-53","title":"Access Control for Transmission Medium","parameters":[{"id":"pe-4_prm_1","label":"organization-defined information system distribution and transmission\n lines"},{"id":"pe-4_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"PE-4"},{"name":"sort-id","value":"pe-04"}],"links":[{"href":"#06dff0ea-3848-4945-8d91-e955ee69f05d","rel":"reference","text":"NSTISSI No. 7003"}],"parts":[{"id":"pe-4_smt","name":"statement","prose":"The organization controls physical access to {{ pe-4_prm_1 }} within\n organizational facilities using {{ pe-4_prm_2 }}."},{"id":"pe-4_gdn","name":"guidance","prose":"Physical security safeguards applied to information system distribution and\n transmission lines help to prevent accidental damage, disruption, and physical\n tampering. In addition, physical safeguards may be necessary to help prevent\n eavesdropping or in transit modification of unencrypted transmissions. Security\n safeguards to control physical access to system distribution and transmission lines\n include, for example: (i) locked wiring closets; (ii) disconnected or locked spare\n jacks; and/or (iii) protection of cabling by conduit or cable trays.","links":[{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-5","rel":"related","text":"PE-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"pe-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-4[1]"}],"prose":"defines information system distribution and transmission lines requiring physical\n access controls;"},{"id":"pe-4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-4[2]"}],"prose":"defines security safeguards to be employed to control physical access to\n organization-defined information system distribution and transmission lines within\n organizational facilities; and"},{"id":"pe-4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-4[3]"}],"prose":"controls physical access to organization-defined information system distribution\n and transmission lines within organizational facilities using organization-defined\n security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing access control for transmission medium\\n\\ninformation system design documentation\\n\\nfacility communications and wiring diagrams\\n\\nlist of physical security safeguards applied to information system distribution\n and transmission lines\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access control to distribution and transmission\n lines\\n\\nautomated mechanisms/security safeguards supporting and/or implementing access\n control to distribution and transmission lines"}]}]},{"id":"pe-5","class":"SP800-53","title":"Access Control for Output Devices","properties":[{"name":"label","value":"PE-5"},{"name":"sort-id","value":"pe-05"}],"parts":[{"id":"pe-5_smt","name":"statement","prose":"The organization controls physical access to information system output devices to\n prevent unauthorized individuals from obtaining the output."},{"id":"pe-5_gdn","name":"guidance","prose":"Controlling physical access to output devices includes, for example, placing output\n devices in locked rooms or other secured areas and allowing access to authorized\n individuals only, and placing output devices in locations that can be monitored by\n organizational personnel. Monitors, printers, copiers, scanners, facsimile machines,\n and audio devices are examples of information system output devices.","links":[{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#pe-4","rel":"related","text":"PE-4"},{"href":"#pe-18","rel":"related","text":"PE-18"}]},{"id":"pe-5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization controls physical access to information system output\n devices to prevent unauthorized individuals from obtaining the output. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing access control for display medium\\n\\nfacility layout of information system components\\n\\nactual displays from information system components\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access control to output devices\\n\\nautomated mechanisms supporting and/or implementing access control to output\n devices"}]}]},{"id":"pe-6","class":"SP800-53","title":"Monitoring Physical Access","parameters":[{"id":"pe-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"pe-6_prm_2","label":"organization-defined events or potential indications of events"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-6"},{"name":"sort-id","value":"pe-06"}],"parts":[{"id":"pe-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and"},{"id":"pe-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"id":"pe-6_gdn","name":"guidance","prose":"Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-8","rel":"related","text":"IR-8"}]},{"id":"pe-6_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(a)"}],"prose":"monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;"},{"id":"pe-6.b_obj","name":"objective","properties":[{"name":"label","value":"PE-6(b)"}],"parts":[{"id":"pe-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(b)[1]"}],"prose":"defines the frequency to review physical access logs;"},{"id":"pe-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-6(b)[2]"}],"prose":"defines events or potential indication of events requiring physical access logs\n to be reviewed;"},{"id":"pe-6.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-6(b)[3]"}],"prose":"reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and"}]},{"id":"pe-6.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-6(c)"}],"prose":"coordinates results of reviews and investigations with the organizational incident\n response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs"}]}],"controls":[{"id":"pe-6.1","class":"SP800-53-enhancement","title":"Intrusion Alarms / Surveillance Equipment","properties":[{"name":"label","value":"PE-6(1)"},{"name":"sort-id","value":"pe-06.01"}],"parts":[{"id":"pe-6.1_smt","name":"statement","prose":"The organization monitors physical intrusion alarms and surveillance\n equipment."},{"id":"pe-6.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization monitors physical intrusion alarms and surveillance\n equipment. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring physical intrusion alarms and\n surveillance equipment\\n\\nautomated mechanisms supporting and/or implementing physical access\n monitoring\\n\\nautomated mechanisms supporting and/or implementing physical intrusion alarms\n and surveillance equipment"}]}]}]},{"id":"pe-8","class":"SP800-53","title":"Visitor Access Records","parameters":[{"id":"pe-8_prm_1","label":"organization-defined time period","constraints":[{"detail":"for a minimum of one (1) year"}]},{"id":"pe-8_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PE-8"},{"name":"sort-id","value":"pe-08"}],"parts":[{"id":"pe-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and"},{"id":"pe-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews visitor access records {{ pe-8_prm_2 }}."}]},{"id":"pe-8_gdn","name":"guidance","prose":"Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas."},{"id":"pe-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-8.a_obj","name":"objective","properties":[{"name":"label","value":"PE-8(a)"}],"parts":[{"id":"pe-8.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-8(a)[1]"}],"prose":"defines the time period to maintain visitor access records to the facility\n where the information system resides;"},{"id":"pe-8.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-8(a)[2]"}],"prose":"maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;"}]},{"id":"pe-8.b_obj","name":"objective","properties":[{"name":"label","value":"PE-8(b)"}],"parts":[{"id":"pe-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-8(b)[1]"}],"prose":"defines the frequency to review visitor access records; and"},{"id":"pe-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-8(b)[2]"}],"prose":"reviews visitor access records with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records"}]}]},{"id":"pe-9","class":"SP800-53","title":"Power Equipment and Cabling","properties":[{"name":"label","value":"PE-9"},{"name":"sort-id","value":"pe-09"}],"parts":[{"id":"pe-9_smt","name":"statement","prose":"The organization protects power equipment and power cabling for the information\n system from damage and destruction."},{"id":"pe-9_gdn","name":"guidance","prose":"Organizations determine the types of protection necessary for power equipment and\n cabling employed at different locations both internal and external to organizational\n facilities and environments of operation. This includes, for example, generators and\n power cabling outside of buildings, internal cabling and uninterruptable power\n sources within an office or data center, and power sources for self-contained\n entities such as vehicles and satellites.","links":[{"href":"#pe-4","rel":"related","text":"PE-4"}]},{"id":"pe-9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects power equipment and power cabling for the\n information system from damage and destruction. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing power equipment/cabling protection\\n\\nfacilities housing power equipment/cabling\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for protecting power\n equipment/cabling\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing protection of power\n equipment/cabling"}]}]},{"id":"pe-10","class":"SP800-53","title":"Emergency Shutoff","parameters":[{"id":"pe-10_prm_1","label":"organization-defined location by information system or system component"}],"properties":[{"name":"label","value":"PE-10"},{"name":"sort-id","value":"pe-10"}],"parts":[{"id":"pe-10_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides the capability of shutting off power to the information system or\n individual system components in emergency situations;"},{"id":"pe-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Places emergency shutoff switches or devices in {{ pe-10_prm_1 }}\n to facilitate safe and easy access for personnel; and"},{"id":"pe-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Protects emergency power shutoff capability from unauthorized activation."}]},{"id":"pe-10_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.","links":[{"href":"#pe-15","rel":"related","text":"PE-15"}]},{"id":"pe-10_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-10(a)"}],"prose":"provides the capability of shutting off power to the information system or\n individual system components in emergency situations;"},{"id":"pe-10.b_obj","name":"objective","properties":[{"name":"label","value":"PE-10(b)"}],"parts":[{"id":"pe-10.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-10(b)[1]"}],"prose":"defines the location of emergency shutoff switches or devices by information\n system or system component;"},{"id":"pe-10.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-10(b)[2]"}],"prose":"places emergency shutoff switches or devices in the organization-defined\n location by information system or system component to facilitate safe and easy\n access for personnel; and"}]},{"id":"pe-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-10(c)"}],"prose":"protects emergency power shutoff capability from unauthorized activation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing power source emergency shutoff\\n\\nsecurity plan\\n\\nemergency shutoff controls or switches\\n\\nlocations housing emergency shutoff switches and devices\\n\\nsecurity safeguards protecting emergency power shutoff capability from\n unauthorized activation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency power shutoff\n capability (both implementing and using the capability)\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing emergency power shutoff"}]}]},{"id":"pe-11","class":"SP800-53","title":"Emergency Power","parameters":[{"id":"pe-11_prm_1"}],"properties":[{"name":"label","value":"PE-11"},{"name":"sort-id","value":"pe-11"}],"parts":[{"id":"pe-11_smt","name":"statement","prose":"The organization provides a short-term uninterruptible power supply to facilitate\n {{ pe-11_prm_1 }} in the event of a primary power source loss."},{"id":"pe-11_gdn","name":"guidance","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-11_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization provides a short-term uninterruptible power supply to\n facilitate one or more of the following in the event of a primary power source loss: ","parts":[{"id":"pe-11_obj.1","name":"objective","properties":[{"name":"label","value":"PE-11[1]"}],"prose":"an orderly shutdown of the information system; and/or"},{"id":"pe-11_obj.2","name":"objective","properties":[{"name":"label","value":"PE-11[2]"}],"prose":"transition of the information system to long-term alternate power."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency power\\n\\nuninterruptible power supply\\n\\nuninterruptible power supply documentation\\n\\nuninterruptible power supply test records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency power and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing uninterruptible power\n supply\\n\\nthe uninterruptable power supply"}]}]},{"id":"pe-12","class":"SP800-53","title":"Emergency Lighting","properties":[{"name":"label","value":"PE-12"},{"name":"sort-id","value":"pe-12"}],"parts":[{"id":"pe-12_smt","name":"statement","prose":"The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility."},{"id":"pe-12_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-12_obj","name":"objective","prose":"Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ","parts":[{"id":"pe-12_obj.1","name":"objective","properties":[{"name":"label","value":"PE-12[1]"}],"prose":"activates in the event of a power outage or disruption; and"},{"id":"pe-12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-12[2]"}],"prose":"covers emergency exits and evacuation routes within the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing emergency lighting\n capability"}]}]},{"id":"pe-13","class":"SP800-53","title":"Fire Protection","properties":[{"name":"label","value":"PE-13"},{"name":"sort-id","value":"pe-13"}],"parts":[{"id":"pe-13_smt","name":"statement","prose":"The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source."},{"id":"pe-13_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors."},{"id":"pe-13_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13_obj.1","name":"objective","properties":[{"name":"label","value":"PE-13[1]"}],"prose":"employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and"},{"id":"pe-13_obj.2","name":"objective","properties":[{"name":"label","value":"PE-13[2]"}],"prose":"maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems"}]}],"controls":[{"id":"pe-13.2","class":"SP800-53-enhancement","title":"Suppression Devices / Systems","parameters":[{"id":"pe-13.2_prm_1","label":"organization-defined personnel or roles"},{"id":"pe-13.2_prm_2","label":"organization-defined emergency responders"}],"properties":[{"name":"label","value":"PE-13(2)"},{"name":"sort-id","value":"pe-13.02"}],"parts":[{"id":"pe-13.2_smt","name":"statement","prose":"The organization employs fire suppression devices/systems for the information\n system that provide automatic notification of any activation to {{ pe-13.2_prm_1 }} and {{ pe-13.2_prm_2 }}."},{"id":"pe-13.2_gdn","name":"guidance","prose":"Organizations can identify specific personnel, roles, and emergency responders in\n the event that individuals on the notification list must have appropriate access\n authorizations and/or clearances, for example, to obtain access to facilities\n where classified operations are taking place or where there are information\n systems containing classified information."},{"id":"pe-13.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-13.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-13(2)[1]"}],"prose":"defines personnel or roles to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;"},{"id":"pe-13.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-13(2)[2]"}],"prose":"defines emergency responders to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;"},{"id":"pe-13.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-13(2)[3]"}],"prose":"employs fire suppression devices/systems for the information system that\n provide automatic notification of any activation to:","parts":[{"id":"pe-13.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"PE-13(2)[3][a]"}],"prose":"organization-defined personnel or roles; and"},{"id":"pe-13.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"PE-13(2)[3][b]"}],"prose":"organization-defined emergency responders."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)\\n\\nautomated notifications"}]}]},{"id":"pe-13.3","class":"SP800-53-enhancement","title":"Automatic Fire Suppression","properties":[{"name":"label","value":"PE-13(3)"},{"name":"sort-id","value":"pe-13.03"}],"parts":[{"id":"pe-13.3_smt","name":"statement","prose":"The organization employs an automatic fire suppression capability for the\n information system when the facility is not staffed on a continuous basis."},{"id":"pe-13.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs an automatic fire suppression capability for\n the information system when the facility is not staffed on a continuous basis.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)"}]}]}]},{"id":"pe-14","class":"SP800-53","title":"Temperature and Humidity Controls","parameters":[{"id":"pe-14_prm_1","label":"organization-defined acceptable levels","constraints":[{"detail":"consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments"}]},{"id":"pe-14_prm_2","label":"organization-defined frequency","constraints":[{"detail":"continuously"}]}],"properties":[{"name":"label","value":"PE-14"},{"name":"sort-id","value":"pe-14"}],"parts":[{"id":"pe-14_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-14_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and"},{"id":"pe-14_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Monitors temperature and humidity levels {{ pe-14_prm_2 }}."},{"id":"pe-14_fr","name":"item","title":"PE-14(a) Additional FedRAMP Requirements and Guidance","parts":[{"id":"pe-14_fr_smt.a","name":"item","properties":[{"name":"label","value":"(a) Requirement:"}],"prose":"The service provider measures temperature at server inlets and humidity levels by dew point."}]}]},{"id":"pe-14_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-14_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-14.a_obj","name":"objective","properties":[{"name":"label","value":"PE-14(a)"}],"parts":[{"id":"pe-14.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(a)[1]"}],"prose":"defines acceptable temperature levels to be maintained within the facility\n where the information system resides;"},{"id":"pe-14.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(a)[2]"}],"prose":"defines acceptable humidity levels to be maintained within the facility where\n the information system resides;"},{"id":"pe-14.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(a)[3]"}],"prose":"maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;"},{"id":"pe-14.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(a)[4]"}],"prose":"maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;"}]},{"id":"pe-14.b_obj","name":"objective","properties":[{"name":"label","value":"PE-14(b)"}],"parts":[{"id":"pe-14.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(b)[1]"}],"prose":"defines the frequency to monitor temperature levels;"},{"id":"pe-14.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-14(b)[2]"}],"prose":"defines the frequency to monitor humidity levels;"},{"id":"pe-14.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(b)[3]"}],"prose":"monitors temperature levels with the organization-defined frequency; and"},{"id":"pe-14.b_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(b)[4]"}],"prose":"monitors humidity levels with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels"}]}],"controls":[{"id":"pe-14.2","class":"SP800-53-enhancement","title":"Monitoring with Alarms / Notifications","properties":[{"name":"label","value":"PE-14(2)"},{"name":"sort-id","value":"pe-14.02"}],"parts":[{"id":"pe-14.2_smt","name":"statement","prose":"The organization employs temperature and humidity monitoring that provides an\n alarm or notification of changes potentially harmful to personnel or\n equipment."},{"id":"pe-14.2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-14.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(2)[1]"}],"prose":"employs temperature monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or"},{"id":"pe-14.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-14(2)[2]"}],"prose":"employs temperature monitoring that provides notification of changes\n potentially harmful to personnel or equipment;"},{"id":"pe-14.2_obj.3","name":"objective","properties":[{"name":"label","value":"PE-14(2)[3]"}],"prose":"employs humidity monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or"},{"id":"pe-14.2_obj.4","name":"objective","properties":[{"name":"label","value":"PE-14(2)[4]"}],"prose":"employs humidity monitoring that provides notification of changes potentially\n harmful to personnel or equipment."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity monitoring\\n\\nfacility housing the information system\\n\\nlogs or records of temperature and humidity monitoring\\n\\nrecords of changes to temperature and humidity levels that generate alarms or\n notifications\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing temperature and humidity\n monitoring"}]}]}]},{"id":"pe-15","class":"SP800-53","title":"Water Damage Protection","properties":[{"name":"label","value":"PE-15"},{"name":"sort-id","value":"pe-15"}],"parts":[{"id":"pe-15_smt","name":"statement","prose":"The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel."},{"id":"pe-15_gdn","name":"guidance","prose":"This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.","links":[{"href":"#at-3","rel":"related","text":"AT-3"}]},{"id":"pe-15_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ","parts":[{"id":"pe-15_obj.1","name":"objective","properties":[{"name":"label","value":"PE-15[1]"}],"prose":"accessible;"},{"id":"pe-15_obj.2","name":"objective","properties":[{"name":"label","value":"PE-15[2]"}],"prose":"working properly; and"},{"id":"pe-15_obj.3","name":"objective","properties":[{"name":"label","value":"PE-15[3]"}],"prose":"known to key personnel."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff"}]}]},{"id":"pe-16","class":"SP800-53","title":"Delivery and Removal","parameters":[{"id":"pe-16_prm_1","label":"organization-defined types of information system components","constraints":[{"detail":"all information system components"}]}],"properties":[{"name":"label","value":"PE-16"},{"name":"sort-id","value":"pe-16"}],"parts":[{"id":"pe-16_smt","name":"statement","prose":"The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items."},{"id":"pe-16_gdn","name":"guidance","prose":"Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ma-3","rel":"related","text":"MA-3"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"pe-16_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-16_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-16[1]"}],"prose":"defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;"},{"id":"pe-16_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[2]"}],"prose":"authorizes organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[3]"}],"prose":"monitors organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[4]"}],"prose":"controls organization-defined information system components entering the\n facility;"},{"id":"pe-16_obj.5","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[5]"}],"prose":"authorizes organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.6","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[6]"}],"prose":"monitors organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.7","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-16[7]"}],"prose":"controls organization-defined information system components exiting the\n facility;"},{"id":"pe-16_obj.8","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-16[8]"}],"prose":"maintains records of information system components entering the facility; and"},{"id":"pe-16_obj.9","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-16[9]"}],"prose":"maintains records of information system components exiting the facility."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility"}]}]},{"id":"pe-17","class":"SP800-53","title":"Alternate Work Site","parameters":[{"id":"pe-17_prm_1","label":"organization-defined security controls"}],"properties":[{"name":"label","value":"PE-17"},{"name":"sort-id","value":"pe-17"}],"links":[{"href":"#5309d4d0-46f8-4213-a749-e7584164e5e8","rel":"reference","text":"NIST Special Publication 800-46"}],"parts":[{"id":"pe-17_smt","name":"statement","prose":"The organization:","parts":[{"id":"pe-17_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs {{ pe-17_prm_1 }} at alternate work sites;"},{"id":"pe-17_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Assesses as feasible, the effectiveness of security controls at alternate work\n sites; and"},{"id":"pe-17_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Provides a means for employees to communicate with information security personnel\n in case of security incidents or problems."}]},{"id":"pe-17_gdn","name":"guidance","prose":"Alternate work sites may include, for example, government facilities or private\n residences of employees. While commonly distinct from alternative processing sites,\n alternate work sites may provide readily available alternate locations as part of\n contingency operations. Organizations may define different sets of security controls\n for specific alternate work sites or types of sites depending on the work-related\n activities conducted at those sites. This control supports the contingency planning\n activities of organizations and the federal telework initiative.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#cp-7","rel":"related","text":"CP-7"}]},{"id":"pe-17_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pe-17.a_obj","name":"objective","properties":[{"name":"label","value":"PE-17(a)"}],"parts":[{"id":"pe-17.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PE-17(a)[1]"}],"prose":"defines security controls to be employed at alternate work sites;"},{"id":"pe-17.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-17(a)[2]"}],"prose":"employs organization-defined security controls at alternate work sites;"}]},{"id":"pe-17.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PE-17(b)"}],"prose":"assesses, as feasible, the effectiveness of security controls at alternate work\n sites; and"},{"id":"pe-17.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PE-17(c)"}],"prose":"provides a means for employees to communicate with information security personnel\n in case of security incidents or problems."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Physical and environmental protection policy\\n\\nprocedures addressing alternate work sites for organizational personnel\\n\\nsecurity plan\\n\\nlist of security controls required for alternate work sites\\n\\nassessments of security controls at alternate work sites\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel approving use of alternate work sites\\n\\norganizational personnel using alternate work sites\\n\\norganizational personnel assessing controls at alternate work sites\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security at alternate work sites\\n\\nautomated mechanisms supporting alternate work sites\\n\\nsecurity controls employed at alternate work sites\\n\\nmeans of communications between personnel at alternate work sites and security\n personnel"}]}]}]},{"id":"pl","class":"family","title":"Planning","controls":[{"id":"pl-1","class":"SP800-53","title":"Security Planning Policy and Procedures","parameters":[{"id":"pl-1_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"pl-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-1"},{"name":"sort-id","value":"pl-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"pl-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ pl-1_prm_1 }}:","parts":[{"id":"pl-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"pl-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and"}]},{"id":"pl-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"pl-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Security planning policy {{ pl-1_prm_2 }}; and"},{"id":"pl-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Security planning procedures {{ pl-1_prm_3 }}."}]}]},{"id":"pl-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"pl-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"pl-1.a_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)"}],"parts":[{"id":"pl-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)"}],"parts":[{"id":"pl-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(1)[1]"}],"prose":"develops and documents a planning policy that addresses:","parts":[{"id":"pl-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"pl-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"pl-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"pl-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"pl-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"pl-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"pl-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PL-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"pl-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the planning policy is to be\n disseminated;"},{"id":"pl-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-1(a)(1)[3]"}],"prose":"disseminates the planning policy to organization-defined personnel or\n roles;"}]},{"id":"pl-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(a)(2)"}],"parts":[{"id":"pl-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;"},{"id":"pl-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"pl-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"pl-1.b_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)"}],"parts":[{"id":"pl-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(1)"}],"parts":[{"id":"pl-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current planning policy;"},{"id":"pl-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(1)[2]"}],"prose":"reviews and updates the current planning policy with the\n organization-defined frequency;"}]},{"id":"pl-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PL-1(b)(2)"}],"parts":[{"id":"pl-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current planning procedures;\n and"},{"id":"pl-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-1(b)(2)[2]"}],"prose":"reviews and updates the current planning procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Planning policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"pl-2","class":"SP800-53","title":"System Security Plan","parameters":[{"id":"pl-2_prm_1","label":"organization-defined personnel or roles"},{"id":"pl-2_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-2"},{"name":"sort-id","value":"pl-02"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops a security plan for the information system that:","parts":[{"id":"pl-2_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Is consistent with the organization’s enterprise architecture;"},{"id":"pl-2_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Explicitly defines the authorization boundary for the system;"},{"id":"pl-2_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2_smt.a.4","name":"item","properties":[{"name":"label","value":"4."}],"prose":"Provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2_smt.a.5","name":"item","properties":[{"name":"label","value":"5."}],"prose":"Describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2_smt.a.6","name":"item","properties":[{"name":"label","value":"6."}],"prose":"Provides an overview of the security requirements for the system;"},{"id":"pl-2_smt.a.7","name":"item","properties":[{"name":"label","value":"7."}],"prose":"Identifies any relevant overlays, if applicable;"},{"id":"pl-2_smt.a.8","name":"item","properties":[{"name":"label","value":"8."}],"prose":"Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and"},{"id":"pl-2_smt.a.9","name":"item","properties":[{"name":"label","value":"9."}],"prose":"Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};"},{"id":"pl-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews the security plan for the information system {{ pl-2_prm_2 }};"},{"id":"pl-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and"},{"id":"pl-2_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Protects the security plan from unauthorized disclosure and modification."}]},{"id":"pl-2_gdn","name":"guidance","prose":"Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-14","rel":"related","text":"AC-14"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#ir-8","rel":"related","text":"IR-8"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#ma-5","rel":"related","text":"MA-5"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#pl-7","rel":"related","text":"PL-7"},{"href":"#pm-1","rel":"related","text":"PM-1"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#pm-8","rel":"related","text":"PM-8"},{"href":"#pm-9","rel":"related","text":"PM-9"},{"href":"#pm-11","rel":"related","text":"PM-11"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-17","rel":"related","text":"SA-17"}]},{"id":"pl-2_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-2.a_obj","name":"objective","properties":[{"name":"label","value":"PL-2(a)"}],"prose":"develops a security plan for the information system that:","parts":[{"id":"pl-2.a.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(1)"}],"prose":"is consistent with the organization’s enterprise architecture;"},{"id":"pl-2.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(2)"}],"prose":"explicitly defines the authorization boundary for the system;"},{"id":"pl-2.a.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(3)"}],"prose":"describes the operational context of the information system in terms of\n missions and business processes;"},{"id":"pl-2.a.4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(4)"}],"prose":"provides the security categorization of the information system including\n supporting rationale;"},{"id":"pl-2.a.5_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(5)"}],"prose":"describes the operational environment for the information system and\n relationships with or connections to other information systems;"},{"id":"pl-2.a.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(6)"}],"prose":"provides an overview of the security requirements for the system;"},{"id":"pl-2.a.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(7)"}],"prose":"identifies any relevant overlays, if applicable;"},{"id":"pl-2.a.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(a)(8)"}],"prose":"describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;"},{"id":"pl-2.a.9_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(a)(9)"}],"prose":"is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;"}]},{"id":"pl-2.b_obj","name":"objective","properties":[{"name":"label","value":"PL-2(b)"}],"parts":[{"id":"pl-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(b)[1]"}],"prose":"defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;"},{"id":"pl-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(b)[2]"}],"prose":"distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;"}]},{"id":"pl-2.c_obj","name":"objective","properties":[{"name":"label","value":"PL-2(c)"}],"parts":[{"id":"pl-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(c)[1]"}],"prose":"defines the frequency to review the security plan for the information\n system;"},{"id":"pl-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(c)[2]"}],"prose":"reviews the security plan for the information system with the\n organization-defined frequency;"}]},{"id":"pl-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(d)"}],"prose":"updates the plan to address:","parts":[{"id":"pl-2.d_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(d)[1]"}],"prose":"changes to the information system/environment of operation;"},{"id":"pl-2.d_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(d)[2]"}],"prose":"problems identified during plan implementation;"},{"id":"pl-2.d_obj.3","name":"objective","properties":[{"name":"label","value":"PL-2(d)[3]"}],"prose":"problems identified during security control assessments;"}]},{"id":"pl-2.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-2(e)"}],"prose":"protects the security plan from unauthorized:","parts":[{"id":"pl-2.e_obj.1","name":"objective","properties":[{"name":"label","value":"PL-2(e)[1]"}],"prose":"disclosure; and"},{"id":"pl-2.e_obj.2","name":"objective","properties":[{"name":"label","value":"PL-2(e)[2]"}],"prose":"modification."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan"}]}],"controls":[{"id":"pl-2.3","class":"SP800-53-enhancement","title":"Plan / Coordinate with Other Organizational Entities","parameters":[{"id":"pl-2.3_prm_1","label":"organization-defined individuals or groups"}],"properties":[{"name":"label","value":"PL-2(3)"},{"name":"sort-id","value":"pl-02.03"}],"parts":[{"id":"pl-2.3_smt","name":"statement","prose":"The organization plans and coordinates security-related activities affecting the\n information system with {{ pl-2.3_prm_1 }} before conducting such\n activities in order to reduce the impact on other organizational entities."},{"id":"pl-2.3_gdn","name":"guidance","prose":"Security-related activities include, for example, security assessments, audits,\n hardware and software maintenance, patch management, and contingency plan testing.\n Advance planning and coordination includes emergency and nonemergency (i.e.,\n planned or nonurgent unplanned) situations. The process defined by organizations\n to plan and coordinate security-related activities can be included in security\n plans for information systems or other documents, as appropriate.","links":[{"href":"#cp-4","rel":"related","text":"CP-4"},{"href":"#ir-4","rel":"related","text":"IR-4"}]},{"id":"pl-2.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-2.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-2(3)[1]"}],"prose":"defines individuals or groups with whom security-related activities affecting\n the information system are to be planned and coordinated before conducting such\n activities in order to reduce the impact on other organizational entities;\n and"},{"id":"pl-2.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PL-2(3)[2]"}],"prose":"plans and coordinates security-related activities affecting the information\n system with organization-defined individuals or groups before conducting such\n activities in order to reduce the impact on other organizational entities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\naccess control policy\\n\\ncontingency planning policy\\n\\nprocedures addressing security-related activity planning for the information\n system\\n\\nsecurity plan for the information system\\n\\ncontingency plan for the information system\\n\\ninformation system design documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational individuals or groups with whom security-related activities are\n to be planned and coordinated\\n\\norganizational personnel with information security responsibilities"}]}]}]},{"id":"pl-4","class":"SP800-53","title":"Rules of Behavior","parameters":[{"id":"pl-4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"At least every 3 years"}]}],"properties":[{"name":"label","value":"PL-4"},{"name":"sort-id","value":"pl-04"}],"links":[{"href":"#9c5c9e8c-dc81-4f55-a11c-d71d7487790f","rel":"reference","text":"NIST Special Publication 800-18"}],"parts":[{"id":"pl-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;"},{"id":"pl-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and"},{"id":"pl-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated."}]},{"id":"pl-4_gdn","name":"guidance","prose":"This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-9","rel":"related","text":"AC-9"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#ac-20","rel":"related","text":"AC-20"},{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#ia-5","rel":"related","text":"IA-5"},{"href":"#mp-7","rel":"related","text":"MP-7"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#ps-8","rel":"related","text":"PS-8"},{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"pl-4_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-4.a_obj","name":"objective","properties":[{"name":"label","value":"PL-4(a)"}],"parts":[{"id":"pl-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-4(a)[1]"}],"prose":"establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;"},{"id":"pl-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(a)[2]"}],"prose":"makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;"}]},{"id":"pl-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(b)"}],"prose":"receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;"},{"id":"pl-4.c_obj","name":"objective","properties":[{"name":"label","value":"PL-4(c)"}],"parts":[{"id":"pl-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-4(c)[1]"}],"prose":"defines the frequency to review and update the rules of behavior;"},{"id":"pl-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(c)[2]"}],"prose":"reviews and updates the rules of behavior with the organization-defined\n frequency; and"}]},{"id":"pl-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(d)"}],"prose":"requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior"}]}],"controls":[{"id":"pl-4.1","class":"SP800-53-enhancement","title":"Social Media and Networking Restrictions","properties":[{"name":"label","value":"PL-4(1)"},{"name":"sort-id","value":"pl-04.01"}],"parts":[{"id":"pl-4.1_smt","name":"statement","prose":"The organization includes in the rules of behavior, explicit restrictions on the\n use of social media/networking sites and posting organizational information on\n public websites."},{"id":"pl-4.1_gdn","name":"guidance","prose":"This control enhancement addresses rules of behavior related to the use of social\n media/networking sites: (i) when organizational personnel are using such sites for\n official duties or in the conduct of official business; (ii) when organizational\n information is involved in social media/networking transactions; and (iii) when\n personnel are accessing social media/networking sites from organizational\n information systems. Organizations also address specific rules that prevent\n unauthorized entities from obtaining and/or inferring non-public organizational\n information (e.g., system account information, personally identifiable\n information) from social media/networking sites."},{"id":"pl-4.1_obj","name":"objective","prose":"Determine if the organization includes the following in the rules of behavior: ","parts":[{"id":"pl-4.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(1)[1]"}],"prose":"explicit restrictions on the use of social media/networking sites; and"},{"id":"pl-4.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-4(1)[2]"}],"prose":"posting organizational information on public websites."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed rules of behavior\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for establishing rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment of rules\n of behavior"}]}]}]},{"id":"pl-8","class":"SP800-53","title":"Information Security Architecture","parameters":[{"id":"pl-8_prm_1","label":"organization-defined frequency","constraints":[{"detail":"At least annually or when a significant change occurs"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PL-8"},{"name":"sort-id","value":"pl-08"}],"parts":[{"id":"pl-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"pl-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops an information security architecture for the information system that:","parts":[{"id":"pl-8_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Describes the overall philosophy, requirements, and approach to be taken with\n regard to protecting the confidentiality, integrity, and availability of\n organizational information;"},{"id":"pl-8_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Describes how the information security architecture is integrated into and\n supports the enterprise architecture; and"},{"id":"pl-8_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Describes any information security assumptions about, and dependencies on,\n external services;"}]},{"id":"pl-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the information security architecture {{ pl-8_prm_1 }} to reflect updates in the enterprise architecture;\n and"},{"id":"pl-8_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that planned information security architecture changes are reflected in\n the security plan, the security Concept of Operations (CONOPS), and organizational\n procurements/acquisitions."},{"id":"pl-8_fr","name":"item","title":"PL-8(b) Additional FedRAMP Requirements and Guidance","parts":[{"id":"pl-8_fr_gdn.b","name":"guidance","properties":[{"name":"label","value":"(b) Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7."}]}]},{"id":"pl-8_gdn","name":"guidance","prose":"This control addresses actions taken by organizations in the design and development\n of information systems. The information security architecture at the individual\n information system level is consistent with and complements the more global,\n organization-wide information security architecture described in PM-7 that is\n integral to and developed as part of the enterprise architecture. The information\n security architecture includes an architectural description, the placement/allocation\n of security functionality (including security controls), security-related information\n for external interfaces, information being exchanged across the interfaces, and the\n protection mechanisms associated with each interface. In addition, the security\n architecture can include other important security-related information, for example,\n user roles and access privileges assigned to each role, unique security requirements,\n the types of information processed, stored, and transmitted by the information\n system, restoration priorities of information and information system services, and\n any other specific protection needs. In today’s modern architecture, it is becoming\n less common for organizations to control all information resources. There are going\n to be key dependencies on external information services and service providers.\n Describing such dependencies in the information security architecture is important to\n developing a comprehensive mission/business protection strategy. Establishing,\n developing, documenting, and maintaining under configuration control, a baseline\n configuration for organizational information systems is critical to implementing and\n maintaining an effective information security architecture. The development of the\n information security architecture is coordinated with the Senior Agency Official for\n Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to\n support privacy requirements are identified and effectively implemented. PL-8 is\n primarily directed at organizations (i.e., internally focused) to help ensure that\n organizations develop an information security architecture for the information\n system, and that the security architecture is integrated with or tightly coupled to\n the enterprise architecture through the organization-wide information security\n architecture. In contrast, SA-17 is primarily directed at external information\n technology product/system developers and integrators (although SA-17 could be used\n internally within organizations for in-house system development). SA-17, which is\n complementary to PL-8, is selected when organizations outsource the development of\n information systems or information system components to external entities, and there\n is a need to demonstrate/show consistency with the organization’s enterprise\n architecture and information security architecture.","links":[{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-17","rel":"related","text":"SA-17"},{"href":"https://doi.org/10.6028/NIST.SP.800-53r4","rel":"related","text":"Appendix J"}]},{"id":"pl-8_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"pl-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-8(a)"}],"prose":"develops an information security architecture for the information system that\n describes:","parts":[{"id":"pl-8.a.1_obj","name":"objective","properties":[{"name":"label","value":"PL-8(a)(1)"}],"prose":"the overall philosophy, requirements, and approach to be taken with regard to\n protecting the confidentiality, integrity, and availability of organizational\n information;"},{"id":"pl-8.a.2_obj","name":"objective","properties":[{"name":"label","value":"PL-8(a)(2)"}],"prose":"how the information security architecture is integrated into and supports the\n enterprise architecture;"},{"id":"pl-8.a.3_obj","name":"objective","properties":[{"name":"label","value":"PL-8(a)(3)"}],"prose":"any information security assumptions about, and dependencies on, external\n services;"}]},{"id":"pl-8.b_obj","name":"objective","properties":[{"name":"label","value":"PL-8(b)"}],"parts":[{"id":"pl-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PL-8(b)[1]"}],"prose":"defines the frequency to review and update the information security\n architecture;"},{"id":"pl-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-8(b)[2]"}],"prose":"reviews and updates the information security architecture with the\n organization-defined frequency to reflect updates in the enterprise\n architecture;"}]},{"id":"pl-8.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PL-8(c)"}],"prose":"ensures that planned information security architecture changes are reflected\n in:","parts":[{"id":"pl-8.c_obj.1","name":"objective","properties":[{"name":"label","value":"PL-8(c)[1]"}],"prose":"the security plan;"},{"id":"pl-8.c_obj.2","name":"objective","properties":[{"name":"label","value":"PL-8(c)[2]"}],"prose":"the security Concept of Operations (CONOPS); and"},{"id":"pl-8.c_obj.3","name":"objective","properties":[{"name":"label","value":"PL-8(c)[3]"}],"prose":"the organizational procurements/acquisitions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Security planning policy\\n\\nprocedures addressing information security architecture development\\n\\nprocedures addressing information security architecture reviews and updates\\n\\nenterprise architecture documentation\\n\\ninformation security architecture documentation\\n\\nsecurity plan for the information system\\n\\nsecurity CONOPS for the information system\\n\\nrecords of information security architecture reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security architecture development\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for developing, reviewing, and updating the information\n security architecture\\n\\nautomated mechanisms supporting and/or implementing the development, review, and\n update of the information security architecture"}]}]}]},{"id":"ps","class":"family","title":"Personnel Security","controls":[{"id":"ps-1","class":"SP800-53","title":"Personnel Security Policy and Procedures","parameters":[{"id":"ps-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ps-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-1"},{"name":"sort-id","value":"ps-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ps-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ps-1_prm_1 }}:","parts":[{"id":"ps-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ps-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and"}]},{"id":"ps-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ps-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Personnel security policy {{ ps-1_prm_2 }}; and"},{"id":"ps-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Personnel security procedures {{ ps-1_prm_3 }}."}]}]},{"id":"ps-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ps-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-1.a_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)"}],"parts":[{"id":"ps-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)"}],"parts":[{"id":"ps-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(1)[1]"}],"prose":"develops and documents an personnel security policy that addresses:","parts":[{"id":"ps-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ps-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ps-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ps-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ps-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ps-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ps-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"PS-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ps-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the personnel security policy is to be\n disseminated;"},{"id":"ps-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-1(a)(1)[3]"}],"prose":"disseminates the personnel security policy to organization-defined personnel\n or roles;"}]},{"id":"ps-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(a)(2)"}],"parts":[{"id":"ps-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;"},{"id":"ps-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ps-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ps-1.b_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)"}],"parts":[{"id":"ps-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(1)"}],"parts":[{"id":"ps-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n policy;"},{"id":"ps-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(1)[2]"}],"prose":"reviews and updates the current personnel security policy with the\n organization-defined frequency;"}]},{"id":"ps-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"PS-1(b)(2)"}],"parts":[{"id":"ps-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current personnel security\n procedures; and"},{"id":"ps-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-1(b)(2)[2]"}],"prose":"reviews and updates the current personnel security procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ps-2","class":"SP800-53","title":"Position Risk Designation","parameters":[{"id":"ps-2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least every three years"}]}],"properties":[{"name":"label","value":"PS-2"},{"name":"sort-id","value":"ps-02"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"}],"parts":[{"id":"ps-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Assigns a risk designation to all organizational positions;"},{"id":"ps-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes screening criteria for individuals filling those positions; and"},{"id":"ps-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews and updates position risk designations {{ ps-2_prm_1 }}."}]},{"id":"ps-2_gdn","name":"guidance","prose":"Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-3","rel":"related","text":"PS-3"}]},{"id":"ps-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-2(a)"}],"prose":"assigns a risk designation to all organizational positions;"},{"id":"ps-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-2(b)"}],"prose":"establishes screening criteria for individuals filling those positions;"},{"id":"ps-2.c_obj","name":"objective","properties":[{"name":"label","value":"PS-2(c)"}],"parts":[{"id":"ps-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-2(c)[1]"}],"prose":"defines the frequency to review and update position risk designations; and"},{"id":"ps-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-2(c)[2]"}],"prose":"reviews and updates position risk designations with the organization-defined\n frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria"}]}]},{"id":"ps-3","class":"SP800-53","title":"Personnel Screening","parameters":[{"id":"ps-3_prm_1","label":"organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening","constraints":[{"detail":"for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-3"},{"name":"sort-id","value":"ps-03"}],"links":[{"href":"#0c97e60b-325a-4efa-ba2b-90f20ccd5abc","rel":"reference","text":"5 C.F.R. 731.106"},{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"},{"href":"#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655","rel":"reference","text":"NIST Special Publication 800-73"},{"href":"#2a71298a-ee90-490e-80ff-48c967173a47","rel":"reference","text":"NIST Special Publication 800-76"},{"href":"#2042d97b-f7f6-4c74-84f8-981867684659","rel":"reference","text":"NIST Special Publication 800-78"},{"href":"#6caa237b-531b-43ac-9711-d8f6b97b0377","rel":"reference","text":"ICD 704"}],"parts":[{"id":"ps-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Screens individuals prior to authorizing access to the information system; and"},{"id":"ps-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Rescreens individuals according to {{ ps-3_prm_1 }}."}]},{"id":"ps-3_gdn","name":"guidance","prose":"Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-2","rel":"related","text":"PS-2"}]},{"id":"ps-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-3(a)"}],"prose":"screens individuals prior to authorizing access to the information system;"},{"id":"ps-3.b_obj","name":"objective","properties":[{"name":"label","value":"PS-3(b)"}],"parts":[{"id":"ps-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(b)[1]"}],"prose":"defines conditions requiring re-screening;"},{"id":"ps-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(b)[2]"}],"prose":"defines the frequency of re-screening where it is so indicated; and"},{"id":"ps-3.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(b)[3]"}],"prose":"re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel screening"}]}],"controls":[{"id":"ps-3.3","class":"SP800-53-enhancement","title":"Information with Special Protection Measures","parameters":[{"id":"ps-3.3_prm_1","label":"organization-defined additional personnel screening criteria","constraints":[{"detail":"personnel screening criteria - as required by specific information"}]}],"properties":[{"name":"label","value":"PS-3(3)"},{"name":"sort-id","value":"ps-03.03"}],"parts":[{"id":"ps-3.3_smt","name":"statement","prose":"The organization ensures that individuals accessing an information system\n processing, storing, or transmitting information requiring special protection:","parts":[{"id":"ps-3.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Have valid access authorizations that are demonstrated by assigned official\n government duties; and"},{"id":"ps-3.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Satisfy {{ ps-3.3_prm_1 }}."}]},{"id":"ps-3.3_gdn","name":"guidance","prose":"Organizational information requiring special protection includes, for example,\n Controlled Unclassified Information (CUI) and Sources and Methods Information\n (SAMI). Personnel security criteria include, for example, position sensitivity\n background screening requirements."},{"id":"ps-3.3_obj","name":"objective","prose":"Determine if the organization: ","parts":[{"id":"ps-3.3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(3)(a)"}],"prose":"ensures that individuals accessing an information system processing, storing,\n or transmitting information requiring special protection have valid access\n authorizations that are demonstrated by assigned official government\n duties;","links":[{"href":"#ps-3.3_smt.a","rel":"corresp","text":"PS-3(3)(a)"}]},{"id":"ps-3.3.b_obj","name":"objective","properties":[{"name":"label","value":"PS-3(3)(b)"}],"parts":[{"id":"ps-3.3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-3(3)(b)[1]"}],"prose":"defines additional personnel screening criteria to be satisfied for\n individuals accessing an information system processing, storing, or\n transmitting information requiring special protection; and"},{"id":"ps-3.3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-3(3)(b)[2]"}],"prose":"ensures that individuals accessing an information system processing,\n storing, or transmitting information requiring special protection satisfy\n organization-defined additional personnel screening criteria."}],"links":[{"href":"#ps-3.3_smt.b","rel":"corresp","text":"PS-3(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\naccess control policy, procedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nscreening criteria\\n\\nrecords of access authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for ensuring valid access authorizations for\n information requiring special protection\\n\\norganizational process for additional personnel screening for information\n requiring special protection"}]}]}]},{"id":"ps-4","class":"SP800-53","title":"Personnel Termination","parameters":[{"id":"ps-4_prm_1","label":"organization-defined time period","constraints":[{"detail":"same day"}]},{"id":"ps-4_prm_2","label":"organization-defined information security topics"},{"id":"ps-4_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-4_prm_4","label":"organization-defined time period"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-4"},{"name":"sort-id","value":"ps-04"}],"parts":[{"id":"ps-4_smt","name":"statement","prose":"The organization, upon termination of individual employment:","parts":[{"id":"ps-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Disables information system access within {{ ps-4_prm_1 }};"},{"id":"ps-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};"},{"id":"ps-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Retains access to organizational information and information systems formerly\n controlled by terminated individual; and"},{"id":"ps-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}."}]},{"id":"ps-4_gdn","name":"guidance","prose":"Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-4_obj","name":"objective","prose":"Determine if the organization, upon termination of individual employment,:","parts":[{"id":"ps-4.a_obj","name":"objective","properties":[{"name":"label","value":"PS-4(a)"}],"parts":[{"id":"ps-4.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(a)[1]"}],"prose":"defines a time period within which to disable information system access;"},{"id":"ps-4.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(a)[2]"}],"prose":"disables information system access within the organization-defined time\n period;"}]},{"id":"ps-4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(b)"}],"prose":"terminates/revokes any authenticators/credentials associated with the\n individual;"},{"id":"ps-4.c_obj","name":"objective","properties":[{"name":"label","value":"PS-4(c)"}],"parts":[{"id":"ps-4.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(c)[1]"}],"prose":"defines information security topics to be discussed when conducting exit\n interviews;"},{"id":"ps-4.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(c)[2]"}],"prose":"conducts exit interviews that include a discussion of organization-defined\n information security topics;"}]},{"id":"ps-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(d)"}],"prose":"retrieves all security-related organizational information system-related\n property;"},{"id":"ps-4.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-4(e)"}],"prose":"retains access to organizational information and information systems formerly\n controlled by the terminated individual;"},{"id":"ps-4.f_obj","name":"objective","properties":[{"name":"label","value":"PS-4(f)"}],"parts":[{"id":"ps-4.f_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(f)[1]"}],"prose":"defines personnel or roles to be notified of the termination;"},{"id":"ps-4.f_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-4(f)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles; and"},{"id":"ps-4.f_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-4(f)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-5","class":"SP800-53","title":"Personnel Transfer","parameters":[{"id":"ps-5_prm_1","label":"organization-defined transfer or reassignment actions"},{"id":"ps-5_prm_2","label":"organization-defined time period following the formal transfer action"},{"id":"ps-5_prm_3","label":"organization-defined personnel or roles"},{"id":"ps-5_prm_4","label":"organization-defined time period","constraints":[{"detail":"five days of the time period following the formal transfer action (DoD 24 hours)"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-5"},{"name":"sort-id","value":"ps-05"}],"parts":[{"id":"ps-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;"},{"id":"ps-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};"},{"id":"ps-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and"},{"id":"ps-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}."}]},{"id":"ps-5_gdn","name":"guidance","prose":"This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ia-4","rel":"related","text":"IA-4"},{"href":"#pe-2","rel":"related","text":"PE-2"},{"href":"#ps-4","rel":"related","text":"PS-4"}]},{"id":"ps-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-5.a_obj","name":"objective","properties":[{"name":"label","value":"PS-5(a)"}],"prose":"when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:","parts":[{"id":"ps-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-5(a)[1]"}],"prose":"logical access authorizations to information systems;"},{"id":"ps-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-5(a)[2]"}],"prose":"physical access authorizations to information systems and facilities;"}]},{"id":"ps-5.b_obj","name":"objective","properties":[{"name":"label","value":"PS-5(b)"}],"parts":[{"id":"ps-5.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(b)[1]"}],"prose":"defines transfer or reassignment actions to be initiated following transfer or\n reassignment;"},{"id":"ps-5.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(b)[2]"}],"prose":"defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;"},{"id":"ps-5.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(b)[3]"}],"prose":"initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;"}]},{"id":"ps-5.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(c)"}],"prose":"modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;"},{"id":"ps-5.d_obj","name":"objective","properties":[{"name":"label","value":"PS-5(d)"}],"parts":[{"id":"ps-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(d)[1]"}],"prose":"defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;"},{"id":"ps-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-5(d)[2]"}],"prose":"defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and"},{"id":"ps-5.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-5(d)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators"}]}]},{"id":"ps-6","class":"SP800-53","title":"Access Agreements","parameters":[{"id":"ps-6_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]},{"id":"ps-6_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-6"},{"name":"sort-id","value":"ps-06"}],"parts":[{"id":"ps-6_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the access agreements {{ ps-6_prm_1 }}; and"},{"id":"ps-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that individuals requiring access to organizational information and\n information systems:","parts":[{"id":"ps-6_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Sign appropriate access agreements prior to being granted access; and"},{"id":"ps-6_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}."}]}]},{"id":"ps-6_gdn","name":"guidance","prose":"Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-8","rel":"related","text":"PS-8"}]},{"id":"ps-6_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-6.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(a)"}],"prose":"develops and documents access agreements for organizational information\n systems;"},{"id":"ps-6.b_obj","name":"objective","properties":[{"name":"label","value":"PS-6(b)"}],"parts":[{"id":"ps-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(b)[1]"}],"prose":"defines the frequency to review and update the access agreements;"},{"id":"ps-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(b)[2]"}],"prose":"reviews and updates the access agreements with the organization-defined\n frequency;"}]},{"id":"ps-6.c_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)"}],"parts":[{"id":"ps-6.c.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-6(c)(1)"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;"},{"id":"ps-6.c.2_obj","name":"objective","properties":[{"name":"label","value":"PS-6(c)(2)"}],"parts":[{"id":"ps-6.c.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-6(c)(2)[1]"}],"prose":"defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;"},{"id":"ps-6.c.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-6(c)(2)[2]"}],"prose":"ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements"}]}]},{"id":"ps-7","class":"SP800-53","title":"Third-party Personnel Security","parameters":[{"id":"ps-7_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-7_prm_2","label":"organization-defined time period","constraints":[{"detail":"organization-defined time period - same day"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"PS-7"},{"name":"sort-id","value":"ps-07"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"ps-7_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;"},{"id":"ps-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents personnel security requirements;"},{"id":"ps-7_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and"},{"id":"ps-7_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Monitors provider compliance."}]},{"id":"ps-7_gdn","name":"guidance","prose":"Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.","links":[{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#ps-3","rel":"related","text":"PS-3"},{"href":"#ps-4","rel":"related","text":"PS-4"},{"href":"#ps-5","rel":"related","text":"PS-5"},{"href":"#ps-6","rel":"related","text":"PS-6"},{"href":"#sa-9","rel":"related","text":"SA-9"},{"href":"#sa-21","rel":"related","text":"SA-21"}]},{"id":"ps-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-7.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(a)"}],"prose":"establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;"},{"id":"ps-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"PS-7(b)"}],"prose":"requires third-party providers to comply with personnel security policies and\n procedures established by the organization;"},{"id":"ps-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(c)"}],"prose":"documents personnel security requirements;"},{"id":"ps-7.d_obj","name":"objective","properties":[{"name":"label","value":"PS-7(d)"}],"parts":[{"id":"ps-7.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[1]"}],"prose":"defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[2]"}],"prose":"defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;"},{"id":"ps-7.d_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-7(d)[3]"}],"prose":"requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and"}]},{"id":"ps-7.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-7(e)"}],"prose":"monitors provider compliance."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance"}]}]},{"id":"ps-8","class":"SP800-53","title":"Personnel Sanctions","parameters":[{"id":"ps-8_prm_1","label":"organization-defined personnel or roles"},{"id":"ps-8_prm_2","label":"organization-defined time period"}],"properties":[{"name":"label","value":"PS-8"},{"name":"sort-id","value":"ps-08"}],"parts":[{"id":"ps-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"ps-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and"},{"id":"ps-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction."}]},{"id":"ps-8_gdn","name":"guidance","prose":"Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.","links":[{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-6","rel":"related","text":"PS-6"}]},{"id":"ps-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ps-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(a)"}],"prose":"employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;"},{"id":"ps-8.b_obj","name":"objective","properties":[{"name":"label","value":"PS-8(b)"}],"parts":[{"id":"ps-8.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(b)[1]"}],"prose":"defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;"},{"id":"ps-8.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"PS-8(b)[2]"}],"prose":"defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and"},{"id":"ps-8.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"PS-8(b)[3]"}],"prose":"notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications"}]}]}]},{"id":"ra","class":"family","title":"Risk Assessment","controls":[{"id":"ra-1","class":"SP800-53","title":"Risk Assessment Policy and Procedures","parameters":[{"id":"ra-1_prm_1","label":"organization-defined personnel or roles"},{"id":"ra-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"ra-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-1"},{"name":"sort-id","value":"ra-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"ra-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ ra-1_prm_1 }}:","parts":[{"id":"ra-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"ra-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and"}]},{"id":"ra-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"ra-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Risk assessment policy {{ ra-1_prm_2 }}; and"},{"id":"ra-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Risk assessment procedures {{ ra-1_prm_3 }}."}]}]},{"id":"ra-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-1.a_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)"}],"parts":[{"id":"ra-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)"}],"parts":[{"id":"ra-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(1)[1]"}],"prose":"develops and documents a risk assessment policy that addresses:","parts":[{"id":"ra-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"ra-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"ra-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"ra-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"ra-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"ra-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"ra-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"RA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"ra-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the risk assessment policy is to be\n disseminated;"},{"id":"ra-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"RA-1(a)(1)[3]"}],"prose":"disseminates the risk assessment policy to organization-defined personnel or\n roles;"}]},{"id":"ra-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(a)(2)"}],"parts":[{"id":"ra-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;"},{"id":"ra-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"ra-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"RA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"ra-1.b_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)"}],"parts":[{"id":"ra-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(1)"}],"parts":[{"id":"ra-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n policy;"},{"id":"ra-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(1)[2]"}],"prose":"reviews and updates the current risk assessment policy with the\n organization-defined frequency;"}]},{"id":"ra-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"RA-1(b)(2)"}],"parts":[{"id":"ra-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current risk assessment\n procedures; and"},{"id":"ra-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-1(b)(2)[2]"}],"prose":"reviews and updates the current risk assessment procedures with the\n organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"risk assessment policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"ra-2","class":"SP800-53","title":"Security Categorization","properties":[{"name":"label","value":"RA-2"},{"name":"sort-id","value":"ra-02"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#f152844f-b1ef-4836-8729-6277078ebee1","rel":"reference","text":"NIST Special Publication 800-60"}],"parts":[{"id":"ra-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision."}]},{"id":"ra-2_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.","links":[{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"ra-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-2(a)"}],"prose":"categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"},{"id":"ra-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-2(b)"}],"prose":"documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and"},{"id":"ra-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-2(c)"}],"prose":"ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security categorization"}]}]},{"id":"ra-3","class":"SP800-53","title":"Risk Assessment","parameters":[{"id":"ra-3_prm_1"},{"id":"ra-3_prm_2","depends-on":"ra-3_prm_1","label":"organization-defined document","constraints":[{"detail":"security assessment report"}]},{"id":"ra-3_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]},{"id":"ra-3_prm_4","label":"organization-defined personnel or roles"},{"id":"ra-3_prm_5","label":"organization-defined frequency","constraints":[{"detail":"at least every three (3) years or when a significant change occurs"}]}],"properties":[{"name":"label","value":"RA-3"},{"name":"sort-id","value":"ra-03"}],"links":[{"href":"#ff3bfb02-79b2-411f-8735-98dfe5af2ab0","rel":"reference","text":"OMB Memorandum 04-04"},{"href":"#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15","rel":"reference","text":"NIST Special Publication 800-30"},{"href":"#d480aa6a-7a88-424e-a10c-ad1c7870354b","rel":"reference","text":"NIST Special Publication 800-39"},{"href":"#85280698-0417-489d-b214-12bb935fb939","rel":"reference","text":"http://idmanagement.gov"}],"parts":[{"id":"ra-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;"},{"id":"ra-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Documents risk assessment results in {{ ra-3_prm_1 }};"},{"id":"ra-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Reviews risk assessment results {{ ra-3_prm_3 }};"},{"id":"ra-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Disseminates risk assessment results to {{ ra-3_prm_4 }}; and"},{"id":"ra-3_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system."},{"id":"ra-3_fr","name":"item","title":"RA-3 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-3_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F"},{"id":"ra-3_fr_smt.d","name":"item","properties":[{"name":"label","value":"RA-3 (d) Requirement:"}],"prose":"Include all Authorizing Officials; for JAB authorizations to include FedRAMP."}]}]},{"id":"ra-3_gdn","name":"guidance","prose":"Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.","links":[{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"ra-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-3.a_obj","name":"objective","properties":[{"name":"label","value":"RA-3(a)"}],"prose":"conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:","parts":[{"id":"ra-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(a)[1]"}],"prose":"the information system;"},{"id":"ra-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(a)[2]"}],"prose":"the information the system processes, stores, or transmits;"}]},{"id":"ra-3.b_obj","name":"objective","properties":[{"name":"label","value":"RA-3(b)"}],"parts":[{"id":"ra-3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(b)[1]"}],"prose":"defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);"},{"id":"ra-3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(b)[2]"}],"prose":"documents risk assessment results in one of the following:","parts":[{"id":"ra-3.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][a]"}],"prose":"the security plan;"},{"id":"ra-3.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][b]"}],"prose":"the risk assessment report; or"},{"id":"ra-3.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(b)[2][c]"}],"prose":"the organization-defined document;"}]}]},{"id":"ra-3.c_obj","name":"objective","properties":[{"name":"label","value":"RA-3(c)"}],"parts":[{"id":"ra-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(c)[1]"}],"prose":"defines the frequency to review risk assessment results;"},{"id":"ra-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(c)[2]"}],"prose":"reviews risk assessment results with the organization-defined frequency;"}]},{"id":"ra-3.d_obj","name":"objective","properties":[{"name":"label","value":"RA-3(d)"}],"parts":[{"id":"ra-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(d)[1]"}],"prose":"defines personnel or roles to whom risk assessment results are to be\n disseminated;"},{"id":"ra-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(d)[2]"}],"prose":"disseminates risk assessment results to organization-defined personnel or\n roles;"}]},{"id":"ra-3.e_obj","name":"objective","properties":[{"name":"label","value":"RA-3(e)"}],"parts":[{"id":"ra-3.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-3(e)[1]"}],"prose":"defines the frequency to update the risk assessment;"},{"id":"ra-3.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-3(e)[2]"}],"prose":"updates the risk assessment:","parts":[{"id":"ra-3.e_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][a]"}],"prose":"with the organization-defined frequency;"},{"id":"ra-3.e_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][b]"}],"prose":"whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and"},{"id":"ra-3.e_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-3(e)[2][c]"}],"prose":"whenever there are other conditions that may impact the security state of\n the system."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment"}]}]},{"id":"ra-5","class":"SP800-53","title":"Vulnerability Scanning","parameters":[{"id":"ra-5_prm_1","label":"organization-defined frequency and/or randomly in accordance with\n organization-defined process","constraints":[{"detail":"monthly operating system/infrastructure; monthly web applications and databases"}]},{"id":"ra-5_prm_2","label":"organization-defined response times","constraints":[{"detail":"high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery"}]},{"id":"ra-5_prm_3","label":"organization-defined personnel or roles"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5"},{"name":"sort-id","value":"ra-05"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#c4691b88-57d1-463b-9053-2d0087913f31","rel":"reference","text":"NIST Special Publication 800-115"},{"href":"#15522e92-9192-463d-9646-6a01982db8ca","rel":"reference","text":"http://cwe.mitre.org"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"}],"parts":[{"id":"ra-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"ra-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;","parts":[{"id":"ra-5_fr_smt.a","name":"item","title":"RA-5(a) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (a)Requirement:"}],"prose":"An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually."}]},{"id":"ra-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Enumerating platforms, software flaws, and improper configurations;"},{"id":"ra-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Formatting checklists and test procedures; and"},{"id":"ra-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Measuring vulnerability impact;"}]},{"id":"ra-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Analyzes vulnerability scan reports and results from security control\n assessments;"},{"id":"ra-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and"},{"id":"ra-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies).","parts":[{"id":"ra-5_fr_smt.e","name":"item","title":"RA-5(e) Additional FedRAMP Requirements and Guidance","properties":[{"name":"label","value":"RA-5 (e)Requirement:"}],"prose":"To include all Authorizing Officials; for JAB authorizations to include FedRAMP."}]},{"id":"ra-5_fr","name":"item","title":"RA-5 Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))"}]}]},{"id":"ra-5_gdn","name":"guidance","prose":"Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#ra-2","rel":"related","text":"RA-2"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"ra-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.a_obj","name":"objective","properties":[{"name":"label","value":"RA-5(a)"}],"parts":[{"id":"ra-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(a)[1]"}],"parts":[{"id":"ra-5.a_obj.1.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][a]"}],"prose":"defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or"},{"id":"ra-5.a_obj.1.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[1][b]"}],"prose":"defines the process for conducting random vulnerability scans on the\n information system and hosted applications;"}]},{"id":"ra-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(a)[2]"}],"prose":"in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:","parts":[{"id":"ra-5.a_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[2][b]"}],"prose":"hosted applications;"}]},{"id":"ra-5.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(a)[3]"}],"prose":"when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:","parts":[{"id":"ra-5.a_obj.3.a","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][a]"}],"prose":"the information system;"},{"id":"ra-5.a_obj.3.b","name":"objective","properties":[{"name":"label","value":"RA-5(a)[3][b]"}],"prose":"hosted applications;"}]}]},{"id":"ra-5.b_obj","name":"objective","properties":[{"name":"label","value":"RA-5(b)"}],"prose":"employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:","parts":[{"id":"ra-5.b.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(1)"}],"parts":[{"id":"ra-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[1]"}],"prose":"enumerating platforms;"},{"id":"ra-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[2]"}],"prose":"enumerating software flaws;"},{"id":"ra-5.b.1_obj.3","name":"objective","properties":[{"name":"label","value":"RA-5(b)(1)[3]"}],"prose":"enumerating improper configurations;"}]},{"id":"ra-5.b.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(2)"}],"parts":[{"id":"ra-5.b.2_obj.1","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[1]"}],"prose":"formatting checklists;"},{"id":"ra-5.b.2_obj.2","name":"objective","properties":[{"name":"label","value":"RA-5(b)(2)[2]"}],"prose":"formatting test procedures;"}]},{"id":"ra-5.b.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(b)(3)"}],"prose":"measuring vulnerability impact;"}]},{"id":"ra-5.c_obj","name":"objective","properties":[{"name":"label","value":"RA-5(c)"}],"parts":[{"id":"ra-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(c)[1]"}],"prose":"analyzes vulnerability scan reports;"},{"id":"ra-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(c)[2]"}],"prose":"analyzes results from security control assessments;"}]},{"id":"ra-5.d_obj","name":"objective","properties":[{"name":"label","value":"RA-5(d)"}],"parts":[{"id":"ra-5.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(d)[1]"}],"prose":"defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;"},{"id":"ra-5.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(d)[2]"}],"prose":"remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;"}]},{"id":"ra-5.e_obj","name":"objective","properties":[{"name":"label","value":"RA-5(e)"}],"parts":[{"id":"ra-5.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(e)[1]"}],"prose":"defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;"},{"id":"ra-5.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(e)[2]"}],"prose":"shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and"},{"id":"ra-5.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(e)[3]"}],"prose":"shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing"}]}],"controls":[{"id":"ra-5.1","class":"SP800-53-enhancement","title":"Update Tool 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This\n updating process helps to ensure that potential vulnerabilities in the information\n system are identified and addressed as quickly as possible.","links":[{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"ra-5.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs vulnerability scanning tools that include\n the capability to readily update the information system vulnerabilities to be\n scanned."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.2","class":"SP800-53-enhancement","title":"Update by Frequency / Prior to New Scan / When Identified","parameters":[{"id":"ra-5.2_prm_1","constraints":[{"detail":"prior to a new scan"}]},{"id":"ra-5.2_prm_2","depends-on":"ra-5.2_prm_1","label":"organization-defined frequency"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5(2)"},{"name":"sort-id","value":"ra-05.02"}],"parts":[{"id":"ra-5.2_smt","name":"statement","prose":"The organization updates the information system vulnerabilities scanned {{ ra-5.2_prm_1 }}."},{"id":"ra-5.2_gdn","name":"guidance","links":[{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-5","rel":"related","text":"SI-5"}]},{"id":"ra-5.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"ra-5.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(2)[1]"}],"prose":"defines the frequency to update the information system vulnerabilities\n scanned;"},{"id":"ra-5.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(2)[2]"}],"prose":"updates the information system vulnerabilities scanned one or more of the\n following:","parts":[{"id":"ra-5.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"RA-5(2)[2][a]"}],"prose":"with the organization-defined frequency;"},{"id":"ra-5.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"RA-5(2)[2][b]"}],"prose":"prior to a new scan; and/or"},{"id":"ra-5.2_obj.2.c","name":"objective","properties":[{"name":"label","value":"RA-5(2)[2][c]"}],"prose":"when new vulnerabilities are identified and reported."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.3","class":"SP800-53-enhancement","title":"Breadth / Depth of Coverage","properties":[{"name":"label","value":"RA-5(3)"},{"name":"sort-id","value":"ra-05.03"}],"parts":[{"id":"ra-5.3_smt","name":"statement","prose":"The organization employs vulnerability scanning procedures that can identify the\n breadth and depth of coverage (i.e., information system components scanned and\n vulnerabilities checked)."},{"id":"ra-5.3_obj","name":"objective","prose":"Determine if the organization employs vulnerability scanning procedures that can\n identify:","parts":[{"id":"ra-5.3_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(3)[1]"}],"prose":"the breadth of coverage (i.e., information system components scanned); and"},{"id":"ra-5.3_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(3)[2]"}],"prose":"the depth of coverage (i.e., vulnerabilities checked)."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.5","class":"SP800-53-enhancement","title":"Privileged Access","parameters":[{"id":"ra-5.5_prm_1","label":"organization-identified information system components","constraints":[{"detail":"operating systems / web applications / databases"}]},{"id":"ra-5.5_prm_2","label":"organization-defined vulnerability scanning activities","constraints":[{"detail":"all scans"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"RA-5(5)"},{"name":"sort-id","value":"ra-05.05"}],"parts":[{"id":"ra-5.5_smt","name":"statement","prose":"The information system implements privileged access authorization to {{ ra-5.5_prm_1 }} for selected {{ ra-5.5_prm_2 }}."},{"id":"ra-5.5_gdn","name":"guidance","prose":"In certain situations, the nature of the vulnerability scanning may be more\n intrusive or the information system component that is the subject of the scanning\n may contain highly sensitive information. Privileged access authorization to\n selected system components facilitates more thorough vulnerability scanning and\n also protects the sensitive nature of such scanning."},{"id":"ra-5.5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"ra-5.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(5)[1]"}],"prose":"the organization defines information system components to which privileged\n access is authorized for selected vulnerability scanning activities;"},{"id":"ra-5.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"RA-5(5)[2]"}],"prose":"the organization defines vulnerability scanning activities selected for\n privileged access authorization to organization-defined information system\n components; and"},{"id":"ra-5.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"RA-5(5)[3]"}],"prose":"the information system implements privileged access authorization to\n organization-defined information system components for selected\n organization-defined vulnerability scanning activities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components for vulnerability scanning\\n\\npersonnel access authorization list\\n\\nauthorization credentials\\n\\naccess authorization records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel responsible for access control to the information\n system\\n\\norganizational personnel responsible for configuration management of the\n information system\\n\\nsystem developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\norganizational processes for access control\\n\\nautomated mechanisms supporting and/or implementing access control\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning"}]}]},{"id":"ra-5.6","class":"SP800-53-enhancement","title":"Automated Trend Analyses","properties":[{"name":"label","value":"RA-5(6)"},{"name":"sort-id","value":"ra-05.06"}],"parts":[{"id":"ra-5.6_smt","name":"statement","prose":"The organization employs automated mechanisms to compare the results of\n vulnerability scans over time to determine trends in information system\n vulnerabilities.","parts":[{"id":"ra-5.6_fr","name":"item","title":"RA-5 (6) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5.6_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Include in Continuous Monitoring ISSO digest/report to JAB/AO"}]}]},{"id":"ra-5.6_gdn","name":"guidance","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"ra-5.6_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated mechanisms to compare the results\n of vulnerability scans over time to determine trends in information system\n vulnerabilities."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\ninformation system design documentation\\n\\nvulnerability scanning tools and techniques documentation\\n\\nvulnerability scanning results\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing trend analysis of\n vulnerability scan results"}]}]},{"id":"ra-5.8","class":"SP800-53-enhancement","title":"Review Historic Audit Logs","properties":[{"name":"label","value":"RA-5(8)"},{"name":"sort-id","value":"ra-05.08"}],"parts":[{"id":"ra-5.8_smt","name":"statement","prose":"The organization reviews historic audit logs to determine if a vulnerability\n identified in the information system has been previously exploited.","parts":[{"id":"ra-5.8_fr","name":"item","title":"RA-5 (8) Additional FedRAMP Requirements and Guidance","parts":[{"id":"ra-5.8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"This enhancement is required for all high vulnerability scan findings."},{"id":"ra-5.8_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability."}]}]},{"id":"ra-5.8_gdn","name":"guidance","links":[{"href":"#au-6","rel":"related","text":"AU-6"}]},{"id":"ra-5.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization reviews historic audit logs to determine if a\n vulnerability identified in the information system has been previously exploited.\n "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\naudit logs\\n\\nrecords of audit log reviews\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with audit record review responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for vulnerability scanning\\n\\norganizational process for audit record review and response\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing audit record review"}]}]}]}]},{"id":"sa","class":"family","title":"System and Services Acquisition","controls":[{"id":"sa-1","class":"SP800-53","title":"System and Services Acquisition Policy and Procedures","parameters":[{"id":"sa-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sa-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"sa-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SA-1"},{"name":"sort-id","value":"sa-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sa-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sa-1_prm_1 }}:","parts":[{"id":"sa-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"sa-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and"}]},{"id":"sa-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sa-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and services acquisition policy {{ sa-1_prm_2 }}; and"},{"id":"sa-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and services acquisition procedures {{ sa-1_prm_3 }}."}]}]},{"id":"sa-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sa-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-1.a_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)"}],"parts":[{"id":"sa-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)"}],"parts":[{"id":"sa-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(1)[1]"}],"prose":"develops and documents a system and services acquisition policy that\n addresses:","parts":[{"id":"sa-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sa-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sa-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sa-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sa-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sa-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sa-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SA-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sa-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;"},{"id":"sa-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-1(a)(1)[3]"}],"prose":"disseminates the system and services acquisition policy to\n organization-defined personnel or roles;"}]},{"id":"sa-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(a)(2)"}],"parts":[{"id":"sa-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;"},{"id":"sa-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sa-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sa-1.b_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)"}],"parts":[{"id":"sa-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(1)"}],"parts":[{"id":"sa-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition policy;"},{"id":"sa-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(1)[2]"}],"prose":"reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;"}]},{"id":"sa-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-1(b)(2)"}],"parts":[{"id":"sa-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and services\n acquisition procedures; and"},{"id":"sa-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-1(b)(2)[2]"}],"prose":"reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sa-2","class":"SP800-53","title":"Allocation of Resources","properties":[{"name":"label","value":"SA-2"},{"name":"sort-id","value":"sa-02"}],"links":[{"href":"#29fcfe59-33cd-494a-8756-5907ae3a8f92","rel":"reference","text":"NIST Special Publication 800-65"}],"parts":[{"id":"sa-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and"},{"id":"sa-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"id":"sa-2_gdn","name":"guidance","prose":"Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.","links":[{"href":"#pm-3","rel":"related","text":"PM-3"},{"href":"#pm-11","rel":"related","text":"PM-11"}]},{"id":"sa-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-2.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-2(a)"}],"prose":"determines information security requirements for the information system or\n information system service in mission/business process planning;"},{"id":"sa-2.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-2(b)"}],"prose":"to protect the information system or information system service as part of its\n capital planning and investment control process:","parts":[{"id":"sa-2.b_obj.1","name":"objective","properties":[{"name":"label","value":"SA-2(b)[1]"}],"prose":"determines the resources required;"},{"id":"sa-2.b_obj.2","name":"objective","properties":[{"name":"label","value":"SA-2(b)[2]"}],"prose":"documents the resources required;"},{"id":"sa-2.b_obj.3","name":"objective","properties":[{"name":"label","value":"SA-2(b)[3]"}],"prose":"allocates the resources required; and"}]},{"id":"sa-2.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-2(c)"}],"prose":"establishes a discrete line item for information security in organizational\n programming and budgeting documentation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting"}]}]},{"id":"sa-3","class":"SP800-53","title":"System Development Life Cycle","parameters":[{"id":"sa-3_prm_1","label":"organization-defined system development life cycle"}],"properties":[{"name":"label","value":"SA-3"},{"name":"sort-id","value":"sa-03"}],"links":[{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"}],"parts":[{"id":"sa-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;"},{"id":"sa-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"id":"sa-3_gdn","name":"guidance","prose":"A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.","links":[{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-8","rel":"related","text":"SA-8"}]},{"id":"sa-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-3.a_obj","name":"objective","properties":[{"name":"label","value":"SA-3(a)"}],"parts":[{"id":"sa-3.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(a)[1]"}],"prose":"defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;"},{"id":"sa-3.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-3(a)[2]"}],"prose":"manages the information system using the organization-defined system\n development life cycle;"}]},{"id":"sa-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(b)"}],"prose":"defines and documents information security roles and responsibilities throughout\n the system development life cycle;"},{"id":"sa-3.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-3(c)"}],"prose":"identifies individuals having information security roles and responsibilities;\n and"},{"id":"sa-3.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-3(d)"}],"prose":"integrates the organizational information security risk management process into\n system development life cycle activities."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC"}]}]},{"id":"sa-4","class":"SP800-53","title":"Acquisition Process","properties":[{"name":"label","value":"SA-4"},{"name":"sort-id","value":"sa-04"}],"links":[{"href":"#ad733a42-a7ed-4774-b988-4930c28852f3","rel":"reference","text":"HSPD-12"},{"href":"#1737a687-52fb-4008-b900-cbfa836f7b65","rel":"reference","text":"ISO/IEC 15408"},{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#c80c10b3-1294-4984-a4cc-d1733ca432b9","rel":"reference","text":"FIPS Publication 201"},{"href":"#0a5db899-f033-467f-8631-f5a8ba971475","rel":"reference","text":"NIST Special Publication 800-23"},{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"},{"href":"#d818efd3-db31-4953-8afa-9e76afe83ce2","rel":"reference","text":"NIST Special Publication 800-36"},{"href":"#0a0c26b6-fd44-4274-8b36-93442d49d998","rel":"reference","text":"NIST Special Publication 800-37"},{"href":"#abd950ae-092f-4b7a-b374-1c7c67fe9350","rel":"reference","text":"NIST Special Publication 800-64"},{"href":"#84a37532-6db6-477b-9ea8-f9085ebca0fc","rel":"reference","text":"NIST Special Publication 800-70"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"},{"href":"#56d671da-6b7b-4abf-8296-84b61980390a","rel":"reference","text":"Federal Acquisition Regulation"},{"href":"#c95a9986-3cd6-4a98-931b-ccfc56cb11e5","rel":"reference","text":"http://www.niap-ccevs.org"},{"href":"#5ed1f4d5-1494-421b-97ed-39d3c88ab51f","rel":"reference","text":"http://fips201ep.cio.gov"},{"href":"#bbd50dd1-54ce-4432-959d-63ea564b1bb4","rel":"reference","text":"http://www.acquisition.gov/far"}],"parts":[{"id":"sa-4_smt","name":"statement","prose":"The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:","parts":[{"id":"sa-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Security functional requirements;"},{"id":"sa-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Security strength requirements;"},{"id":"sa-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Security assurance requirements;"},{"id":"sa-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Security-related documentation requirements;"},{"id":"sa-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Requirements for protecting security-related documentation;"},{"id":"sa-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Description of the information system development environment and environment in\n which the system is intended to operate; and"},{"id":"sa-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Acceptance criteria."},{"id":"sa-4_fr","name":"item","title":"SA-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html)."}]}]},{"id":"sa-4_gdn","name":"guidance","prose":"Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#ps-7","rel":"related","text":"PS-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#sa-12","rel":"related","text":"SA-12"}]},{"id":"sa-4_obj","name":"objective","prose":"Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:","parts":[{"id":"sa-4.a_obj","name":"objective","properties":[{"name":"label","value":"SA-4(a)"}],"prose":"security functional requirements;"},{"id":"sa-4.b_obj","name":"objective","properties":[{"name":"label","value":"SA-4(b)"}],"prose":"security strength requirements;"},{"id":"sa-4.c_obj","name":"objective","properties":[{"name":"label","value":"SA-4(c)"}],"prose":"security assurance requirements;"},{"id":"sa-4.d_obj","name":"objective","properties":[{"name":"label","value":"SA-4(d)"}],"prose":"security-related documentation requirements;"},{"id":"sa-4.e_obj","name":"objective","properties":[{"name":"label","value":"SA-4(e)"}],"prose":"requirements for protecting security-related documentation;"},{"id":"sa-4.f_obj","name":"objective","properties":[{"name":"label","value":"SA-4(f)"}],"prose":"description of:","parts":[{"id":"sa-4.f_obj.1","name":"objective","properties":[{"name":"label","value":"SA-4(f)[1]"}],"prose":"the information system development environment;"},{"id":"sa-4.f_obj.2","name":"objective","properties":[{"name":"label","value":"SA-4(f)[2]"}],"prose":"the environment in which the system is intended to operate; and"}]},{"id":"sa-4.g_obj","name":"objective","properties":[{"name":"label","value":"SA-4(g)"}],"prose":"acceptance criteria."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts"}]}],"controls":[{"id":"sa-4.1","class":"SP800-53-enhancement","title":"Functional Properties of Security Controls","properties":[{"name":"label","value":"SA-4(1)"},{"name":"sort-id","value":"sa-04.01"}],"parts":[{"id":"sa-4.1_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to provide a description of the\n functional properties of the security controls to be employed."},{"id":"sa-4.1_gdn","name":"guidance","prose":"Functional properties of security controls describe the functionality (i.e.,\n security capability, functions, or mechanisms) visible at the interfaces of the\n controls and specifically exclude functionality and data structures internal to\n the operation of the controls.","links":[{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"sa-4.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to provide a description of the\n functional properties of the security controls to be employed."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining information system security\n functional, requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion\n of security requirements in contracts"}]}]},{"id":"sa-4.2","class":"SP800-53-enhancement","title":"Design / Implementation Information for Security Controls","parameters":[{"id":"sa-4.2_prm_1","constraints":[{"detail":"to include security-relevant external system interfaces and high-level design"}]},{"id":"sa-4.2_prm_2","depends-on":"sa-4.2_prm_1","label":"organization-defined design/implementation information"},{"id":"sa-4.2_prm_3","label":"organization-defined level of detail"}],"properties":[{"name":"label","value":"SA-4(2)"},{"name":"sort-id","value":"sa-04.02"}],"parts":[{"id":"sa-4.2_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to provide design and implementation\n information for the security controls to be employed that includes: {{ sa-4.2_prm_1 }} at {{ sa-4.2_prm_3 }}."},{"id":"sa-4.2_gdn","name":"guidance","prose":"Organizations may require different levels of detail in design and implementation\n documentation for security controls employed in organizational information\n systems, system components, or information system services based on\n mission/business requirements, requirements for trustworthiness/resiliency, and\n requirements for analysis and testing. Information systems can be partitioned into\n multiple subsystems. Each subsystem within the system can contain one or more\n modules. The high-level design for the system is expressed in terms of multiple\n subsystems and the interfaces between subsystems providing security-relevant\n functionality. The low-level design for the system is expressed in terms of\n modules with particular emphasis on software and firmware (but not excluding\n hardware) and the interfaces between modules providing security-relevant\n functionality. Source code and hardware schematics are typically referred to as\n the implementation representation of the information system.","links":[{"href":"#sa-5","rel":"related","text":"SA-5"}]},{"id":"sa-4.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-4.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-4(2)[1]"}],"prose":"defines level of detail that the developer is required to provide in design and\n implementation information for the security controls to be employed in the\n information system, system component, or information system service;"},{"id":"sa-4.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-4(2)[2]"}],"prose":"defines design/implementation information that the developer is to provide for\n the security controls to be employed (if selected);"},{"id":"sa-4.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-4(2)[3]"}],"prose":"requires the developer of the information system, system component, or\n information system service to provide design and implementation information for\n the security controls to be employed that includes, at the organization-defined\n level of detail, one or more of the following:","parts":[{"id":"sa-4.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][a]"}],"prose":"security-relevant external system interfaces;"},{"id":"sa-4.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][b]"}],"prose":"high-level design;"},{"id":"sa-4.2_obj.3.c","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][c]"}],"prose":"low-level design;"},{"id":"sa-4.2_obj.3.d","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][d]"}],"prose":"source code;"},{"id":"sa-4.2_obj.3.e","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][e]"}],"prose":"hardware schematics; and/or"},{"id":"sa-4.2_obj.3.f","name":"objective","properties":[{"name":"label","value":"SA-4(2)[3][f]"}],"prose":"organization-defined design/implementation information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system components, or\n information system services\\n\\ndesign and implementation information for security controls employed in the\n information system, system component, or information system service\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for determining level of detail for system design and\n security controls\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing development of system\n design details"}]}]},{"id":"sa-4.8","class":"SP800-53-enhancement","title":"Continuous Monitoring Plan","parameters":[{"id":"sa-4.8_prm_1","label":"organization-defined level of detail","constraints":[{"detail":"at least the minimum requirement as defined in control CA-7"}]}],"properties":[{"name":"label","value":"SA-4(8)"},{"name":"sort-id","value":"sa-04.08"}],"parts":[{"id":"sa-4.8_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to produce a plan for the continuous\n monitoring of security control effectiveness that contains {{ sa-4.8_prm_1 }}.","parts":[{"id":"sa-4.8_fr","name":"item","title":"SA-4 (8) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-4.8_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"CSP must use the same security standards regardless of where the system component or information system service is acquired."}]}]},{"id":"sa-4.8_gdn","name":"guidance","prose":"The objective of continuous monitoring plans is to determine if the complete set\n of planned, required, and deployed security controls within the information\n system, system component, or information system service continue to be effective\n over time based on the inevitable changes that occur. Developer continuous\n monitoring plans include a sufficient level of detail such that the information\n can be incorporated into the continuous monitoring strategies and programs\n implemented by organizations.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"}]},{"id":"sa-4.8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-4.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-4(8)[1]"}],"prose":"defines the level of detail the developer of the information system, system\n component, or information system service is required to provide when producing\n a plan for the continuous monitoring of security control effectiveness; and"},{"id":"sa-4.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-4(8)[2]"}],"prose":"requires the developer of the information system, system component, or\n information system service to produce a plan for the continuous monitoring of\n security control effectiveness that contains the organization-defined level of\n detail."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing developer continuous monitoring plans\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ndeveloper continuous monitoring plans\\n\\nsecurity assessment plans\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Vendor processes for continuous monitoring\\n\\nautomated mechanisms supporting and/or implementing developer continuous\n monitoring"}]}]},{"id":"sa-4.9","class":"SP800-53-enhancement","title":"Functions / Ports / Protocols / Services in Use","properties":[{"name":"label","value":"SA-4(9)"},{"name":"sort-id","value":"sa-04.09"}],"parts":[{"id":"sa-4.9_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to identify early in the system\n development life cycle, the functions, ports, protocols, and services intended for\n organizational use."},{"id":"sa-4.9_gdn","name":"guidance","prose":"The identification of functions, ports, protocols, and services early in the\n system development life cycle (e.g., during the initial requirements definition\n and design phases) allows organizations to influence the design of the information\n system, information system component, or information system service. This early\n involvement in the life cycle helps organizations to avoid or minimize the use of\n functions, ports, protocols, or services that pose unnecessarily high risks and\n understand the trade-offs involved in blocking specific ports, protocols, or\n services (or when requiring information system service providers to do so). Early\n identification of functions, ports, protocols, and services avoids costly\n retrofitting of security controls after the information system, system component,\n or information system service has been implemented. SA-9 describes requirements\n for external information system services with organizations identifying which\n functions, ports, protocols, and services are provided from external sources.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#sa-9","rel":"related","text":"SA-9"}]},{"id":"sa-4.9_obj","name":"objective","prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to identify early in the system\n development life cycle:","parts":[{"id":"sa-4.9_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-4(9)[1]"}],"prose":"the functions intended for organizational use;"},{"id":"sa-4.9_obj.2","name":"objective","properties":[{"name":"label","value":"SA-4(9)[2]"}],"prose":"the ports intended for organizational use;"},{"id":"sa-4.9_obj.3","name":"objective","properties":[{"name":"label","value":"SA-4(9)[3]"}],"prose":"the protocols intended for organizational use; and"},{"id":"sa-4.9_obj.4","name":"objective","properties":[{"name":"label","value":"SA-4(9)[4]"}],"prose":"the services intended for organizational use."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ninformation system design documentation\\n\\ninformation system documentation including functions, ports, protocols, and\n services intended for organizational use\\n\\nacquisition contracts for information systems or services\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\norganizational security requirements, descriptions, and criteria for developers\n of information systems, system components, and information system services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sa-4.10","class":"SP800-53-enhancement","title":"Use of Approved PIV Products","properties":[{"name":"label","value":"SA-4(10)"},{"name":"sort-id","value":"sa-04.10"}],"parts":[{"id":"sa-4.10_smt","name":"statement","prose":"The organization employs only information technology products on the FIPS\n 201-approved products list for Personal Identity Verification (PIV) capability\n implemented within organizational information systems."},{"id":"sa-4.10_gdn","name":"guidance","links":[{"href":"#ia-2","rel":"related","text":"IA-2"},{"href":"#ia-8","rel":"related","text":"IA-8"}]},{"id":"sa-4.10_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs only information technology products on the\n FIPS 201-approved products list for Personal Identity Verification (PIV)\n capability implemented within organizational information systems. "},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nservice-level agreements\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with responsibility for ensuring only FIPS\n 201-approved products are implemented\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for selecting and employing FIPS 201-approved\n products"}]}]}]},{"id":"sa-5","class":"SP800-53","title":"Information System Documentation","parameters":[{"id":"sa-5_prm_1","label":"organization-defined actions"},{"id":"sa-5_prm_2","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SA-5"},{"name":"sort-id","value":"sa-05"}],"parts":[{"id":"sa-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Secure configuration, installation, and operation of the system, component, or\n service;"},{"id":"sa-5_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Effective use and maintenance of security functions/mechanisms; and"},{"id":"sa-5_smt.a.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;"},{"id":"sa-5_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and"},{"id":"sa-5_smt.b.3","name":"item","properties":[{"name":"label","value":"3."}],"prose":"User responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;"},{"id":"sa-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects documentation as required, in accordance with the risk management\n strategy; and"},{"id":"sa-5_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Distributes documentation to {{ sa-5_prm_2 }}."}]},{"id":"sa-5_gdn","name":"guidance","prose":"This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#pl-2","rel":"related","text":"PL-2"},{"href":"#pl-4","rel":"related","text":"PL-4"},{"href":"#ps-2","rel":"related","text":"PS-2"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"}]},{"id":"sa-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-5.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(a)"}],"prose":"obtains administrator documentation for the information system, system component,\n or information system service that describes:","parts":[{"id":"sa-5.a.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)"}],"parts":[{"id":"sa-5.a.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[1]"}],"prose":"secure configuration of the system, system component, or service;"},{"id":"sa-5.a.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[2]"}],"prose":"secure installation of the system, system component, or service;"},{"id":"sa-5.a.1_obj.3","name":"objective","properties":[{"name":"label","value":"SA-5(a)(1)[3]"}],"prose":"secure operation of the system, system component, or service;"}]},{"id":"sa-5.a.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)"}],"parts":[{"id":"sa-5.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[1]"}],"prose":"effective use of the security features/mechanisms;"},{"id":"sa-5.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(a)(2)[2]"}],"prose":"effective maintenance of the security features/mechanisms;"}]},{"id":"sa-5.a.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(a)(3)"}],"prose":"known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;"}]},{"id":"sa-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(b)"}],"prose":"obtains user documentation for the information system, system component, or\n information system service that describes:","parts":[{"id":"sa-5.b.1_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)"}],"parts":[{"id":"sa-5.b.1_obj.1","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[1]"}],"prose":"user-accessible security functions/mechanisms;"},{"id":"sa-5.b.1_obj.2","name":"objective","properties":[{"name":"label","value":"SA-5(b)(1)[2]"}],"prose":"how to effectively use those functions/mechanisms;"}]},{"id":"sa-5.b.2_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(2)"}],"prose":"methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;"},{"id":"sa-5.b.3_obj","name":"objective","properties":[{"name":"label","value":"SA-5(b)(3)"}],"prose":"user responsibilities in maintaining the security of the system, component, or\n service;"}]},{"id":"sa-5.c_obj","name":"objective","properties":[{"name":"label","value":"SA-5(c)"}],"parts":[{"id":"sa-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(c)[1]"}],"prose":"defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;"},{"id":"sa-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(c)[2]"}],"prose":"documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;"},{"id":"sa-5.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(c)[3]"}],"prose":"takes organization-defined actions in response;"}]},{"id":"sa-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(d)"}],"prose":"protects documentation as required, in accordance with the risk management\n strategy;"},{"id":"sa-5.e_obj","name":"objective","properties":[{"name":"label","value":"SA-5(e)"}],"parts":[{"id":"sa-5.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-5(e)[1]"}],"prose":"defines personnel or roles to whom documentation is to be distributed; and"},{"id":"sa-5.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-5(e)[2]"}],"prose":"distributes documentation to organization-defined personnel or roles."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation"}]}]},{"id":"sa-8","class":"SP800-53","title":"Security Engineering Principles","properties":[{"name":"label","value":"SA-8"},{"name":"sort-id","value":"sa-08"}],"links":[{"href":"#21b1ed35-56d2-40a8-bdfe-b461fffe322f","rel":"reference","text":"NIST Special Publication 800-27"}],"parts":[{"id":"sa-8_smt","name":"statement","prose":"The organization applies information system security engineering principles in the\n specification, design, development, implementation, and modification of the\n information system."},{"id":"sa-8_gdn","name":"guidance","prose":"Organizations apply security engineering principles primarily to new development\n information systems or systems undergoing major upgrades. For legacy systems,\n organizations apply security engineering principles to system upgrades and\n modifications to the extent feasible, given the current state of hardware, software,\n and firmware within those systems. Security engineering principles include, for\n example: (i) developing layered protections; (ii) establishing sound security policy,\n architecture, and controls as the foundation for design; (iii) incorporating security\n requirements into the system development life cycle; (iv) delineating physical and\n logical security boundaries; (v) ensuring that system developers are trained on how\n to build secure software; (vi) tailoring security controls to meet organizational and\n operational needs; (vii) performing threat modeling to identify use cases, threat\n agents, attack vectors, and attack patterns as well as compensating controls and\n design patterns needed to mitigate risk; and (viii) reducing risk to acceptable\n levels, thus enabling informed risk management decisions.","links":[{"href":"#pm-7","rel":"related","text":"PM-7"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-17","rel":"related","text":"SA-17"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sa-8_obj","name":"objective","prose":"Determine if the organization applies information system security engineering\n principles in: ","parts":[{"id":"sa-8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-8[1]"}],"prose":"the specification of the information system;"},{"id":"sa-8_obj.2","name":"objective","properties":[{"name":"label","value":"SA-8[2]"}],"prose":"the design of the information system;"},{"id":"sa-8_obj.3","name":"objective","properties":[{"name":"label","value":"SA-8[3]"}],"prose":"the development of the information system;"},{"id":"sa-8_obj.4","name":"objective","properties":[{"name":"label","value":"SA-8[4]"}],"prose":"the implementation of the information system; and"},{"id":"sa-8_obj.5","name":"objective","properties":[{"name":"label","value":"SA-8[5]"}],"prose":"the modification of the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing security engineering principles used in the specification,\n design, development, implementation, and modification of the information\n system\\n\\ninformation system design documentation\\n\\ninformation security requirements and specifications for the information\n system\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with information system specification, design,\n development, implementation, and modification responsibilities\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for applying security engineering principles in\n information system specification, design, development, implementation, and\n modification\\n\\nautomated mechanisms supporting the application of security engineering principles\n in information system specification, design, development, implementation, and\n modification"}]}]},{"id":"sa-9","class":"SP800-53","title":"External Information System Services","parameters":[{"id":"sa-9_prm_1","label":"organization-defined security controls","constraints":[{"detail":"FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system"}]},{"id":"sa-9_prm_2","label":"organization-defined processes, methods, and techniques","constraints":[{"detail":"Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9"},{"name":"sort-id","value":"sa-09"}],"links":[{"href":"#0c775bc3-bfc3-42c7-a382-88949f503171","rel":"reference","text":"NIST Special Publication 800-35"}],"parts":[{"id":"sa-9_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-9_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;"},{"id":"sa-9_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and"},{"id":"sa-9_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis."}]},{"id":"sa-9_gdn","name":"guidance","prose":"External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.","links":[{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#ir-7","rel":"related","text":"IR-7"},{"href":"#ps-7","rel":"related","text":"PS-7"}]},{"id":"sa-9_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.a_obj","name":"objective","properties":[{"name":"label","value":"SA-9(a)"}],"parts":[{"id":"sa-9.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[1]"}],"prose":"defines security controls to be employed by providers of external information\n system services;"},{"id":"sa-9.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[2]"}],"prose":"requires that providers of external information system services comply with\n organizational information security requirements;"},{"id":"sa-9.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(a)[3]"}],"prose":"requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;"}]},{"id":"sa-9.b_obj","name":"objective","properties":[{"name":"label","value":"SA-9(b)"}],"parts":[{"id":"sa-9.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(b)[1]"}],"prose":"defines and documents government oversight with regard to external information\n system services;"},{"id":"sa-9.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(b)[2]"}],"prose":"defines and documents user roles and responsibilities with regard to external\n information system services;"}]},{"id":"sa-9.c_obj","name":"objective","properties":[{"name":"label","value":"SA-9(c)"}],"parts":[{"id":"sa-9.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(c)[1]"}],"prose":"defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and"},{"id":"sa-9.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(c)[2]"}],"prose":"employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis"}]}],"controls":[{"id":"sa-9.1","class":"SP800-53-enhancement","title":"Risk Assessments / Organizational Approvals","parameters":[{"id":"sa-9.1_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SA-9(1)"},{"name":"sort-id","value":"sa-09.01"}],"parts":[{"id":"sa-9.1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sa-9.1_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services; and"},{"id":"sa-9.1_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Ensures that the acquisition or outsourcing of dedicated information security\n services is approved by {{ sa-9.1_prm_1 }}."}]},{"id":"sa-9.1_gdn","name":"guidance","prose":"Dedicated information security services include, for example, incident monitoring,\n analysis and response, operation of information security-related devices such as\n firewalls, or key management services.","links":[{"href":"#ca-6","rel":"related","text":"CA-6"},{"href":"#ra-3","rel":"related","text":"RA-3"}]},{"id":"sa-9.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.1.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(1)(a)"}],"prose":"conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services;","links":[{"href":"#sa-9.1_smt.a","rel":"corresp","text":"SA-9(1)(a)"}]},{"id":"sa-9.1.b_obj","name":"objective","properties":[{"name":"label","value":"SA-9(1)(b)"}],"parts":[{"id":"sa-9.1.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(1)(b)[1]"}],"prose":"defines personnel or roles designated to approve the acquisition or\n outsourcing of dedicated information security services; and"},{"id":"sa-9.1.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(1)(b)[2]"}],"prose":"ensures that the acquisition or outsourcing of dedicated information\n security services is approved by organization-defined personnel or\n roles."}],"links":[{"href":"#sa-9.1_smt.b","rel":"corresp","text":"SA-9(1)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nrisk assessment reports\\n\\napproval records for acquisition or outsourcing of dedicated information\n security services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information system security responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for conducting a risk assessment prior to acquiring or\n outsourcing dedicated information security services\\n\\norganizational processes for approving the outsourcing of dedicated information\n security services\\n\\nautomated mechanisms supporting and/or implementing risk assessment\\n\\nautomated mechanisms supporting and/or implementing approval processes"}]}]},{"id":"sa-9.2","class":"SP800-53-enhancement","title":"Identification of Functions / Ports / Protocols / Services","parameters":[{"id":"sa-9.2_prm_1","label":"organization-defined external information system services","constraints":[{"detail":"all external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9(2)"},{"name":"sort-id","value":"sa-09.02"}],"parts":[{"id":"sa-9.2_smt","name":"statement","prose":"The organization requires providers of {{ sa-9.2_prm_1 }} to\n identify the functions, ports, protocols, and other services required for the use\n of such services."},{"id":"sa-9.2_gdn","name":"guidance","prose":"Information from external service providers regarding the specific functions,\n ports, protocols, and services used in the provision of such services can be\n particularly useful when the need arises to understand the trade-offs involved in\n restricting certain functions/services or blocking certain ports/protocols.","links":[{"href":"#cm-7","rel":"related","text":"CM-7"}]},{"id":"sa-9.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(2)[1]"}],"prose":"defines external information system services for which providers of such\n services are to identify the functions, ports, protocols, and other services\n required for the use of such services;"},{"id":"sa-9.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SA-9(2)[2]"}],"prose":"requires providers of organization-defined external information system services\n to identify:","parts":[{"id":"sa-9.2_obj.2.a","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][a]"}],"prose":"the functions required for the use of such services;"},{"id":"sa-9.2_obj.2.b","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][b]"}],"prose":"the ports required for the use of such services;"},{"id":"sa-9.2_obj.2.c","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][c]"}],"prose":"the protocols required for the use of such services; and"},{"id":"sa-9.2_obj.2.d","name":"objective","properties":[{"name":"label","value":"SA-9(2)[2][d]"}],"prose":"the other services required for the use of such services."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation, service-level agreements\\n\\norganizational security requirements and security specifications for external\n service providers\\n\\nlist of required functions, ports, protocols, and other services\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nexternal providers of information system services"}]}]},{"id":"sa-9.4","class":"SP800-53-enhancement","title":"Consistent Interests of Consumers and Providers","parameters":[{"id":"sa-9.4_prm_1","label":"organization-defined security safeguards"},{"id":"sa-9.4_prm_2","label":"organization-defined external service providers","constraints":[{"detail":"all external systems where Federal information is processed or stored"}]}],"properties":[{"name":"label","value":"SA-9(4)"},{"name":"sort-id","value":"sa-09.04"}],"parts":[{"id":"sa-9.4_smt","name":"statement","prose":"The organization employs {{ sa-9.4_prm_1 }} to ensure that the\n interests of {{ sa-9.4_prm_2 }} are consistent with and reflect\n organizational interests."},{"id":"sa-9.4_gdn","name":"guidance","prose":"As organizations increasingly use external service providers, the possibility\n exists that the interests of the service providers may diverge from organizational\n interests. In such situations, simply having the correct technical, procedural, or\n operational safeguards in place may not be sufficient if the service providers\n that implement and control those safeguards are not operating in a manner\n consistent with the interests of the consuming organizations. Possible actions\n that organizations might take to address such concerns include, for example,\n requiring background checks for selected service provider personnel, examining\n ownership records, employing only trustworthy service providers (i.e., providers\n with which organizations have had positive experiences), and conducting\n periodic/unscheduled visits to service provider facilities."},{"id":"sa-9.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(4)[1]"}],"prose":"defines external service providers whose interests are to be consistent with\n and reflect organizational interests;"},{"id":"sa-9.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(4)[2]"}],"prose":"defines security safeguards to be employed to ensure that the interests of\n organization-defined external service providers are consistent with and reflect\n organizational interests; and"},{"id":"sa-9.4_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(4)[3]"}],"prose":"employs organization-defined security safeguards to ensure that the interests\n of organization-defined external service providers are consistent with and\n reflect organizational interests."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\norganizational security requirements/safeguards for external service\n providers\\n\\npersonnel security policies for external service providers\\n\\nassessments performed on external service providers\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining and employing safeguards to ensure\n consistent interests with external service providers\\n\\nautomated mechanisms supporting and/or implementing safeguards to ensure\n consistent interests with external service providers"}]}]},{"id":"sa-9.5","class":"SP800-53-enhancement","title":"Processing, Storage, and Service Location","parameters":[{"id":"sa-9.5_prm_1","constraints":[{"detail":"information processing, information data, AND information services"}]},{"id":"sa-9.5_prm_2","label":"organization-defined locations"},{"id":"sa-9.5_prm_3","label":"organization-defined requirements or conditions"}],"properties":[{"name":"label","value":"SA-9(5)"},{"name":"sort-id","value":"sa-09.05"}],"parts":[{"id":"sa-9.5_smt","name":"statement","prose":"The organization restricts the location of {{ sa-9.5_prm_1 }} to\n {{ sa-9.5_prm_2 }} based on {{ sa-9.5_prm_3 }}."},{"id":"sa-9.5_gdn","name":"guidance","prose":"The location of information processing, information/data storage, or information\n system services that are critical to organizations can have a direct impact on the\n ability of those organizations to successfully execute their missions/business\n functions. This situation exists when external providers control the location of\n processing, storage or services. The criteria external providers use for the\n selection of processing, storage, or service locations may be different from\n organizational criteria. For example, organizations may want to ensure that\n data/information storage locations are restricted to certain locations to\n facilitate incident response activities (e.g., forensic analyses, after-the-fact\n investigations) in case of information security breaches/compromises. Such\n incident response activities may be adversely affected by the governing laws or\n protocols in the locations where processing and storage occur and/or the locations\n from which information system services emanate."},{"id":"sa-9.5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-9.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(5)[1]"}],"prose":"defines locations where organization-defined information processing,\n information/data, and/or information system services are to be restricted;"},{"id":"sa-9.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-9(5)[2]"}],"prose":"defines requirements or conditions to restrict the location of information\n processing, information/data, and/or information system services;"},{"id":"sa-9.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-9(5)[3]"}],"prose":"restricts the location of one or more of the following to organization-defined\n locations based on organization-defined requirements or conditions:","parts":[{"id":"sa-9.5_obj.3.a","name":"objective","properties":[{"name":"label","value":"SA-9(5)[3][a]"}],"prose":"information processing;"},{"id":"sa-9.5_obj.3.b","name":"objective","properties":[{"name":"label","value":"SA-9(5)[3][b]"}],"prose":"information/data; and/or"},{"id":"sa-9.5_obj.3.c","name":"objective","properties":[{"name":"label","value":"SA-9(5)[3][c]"}],"prose":"information services."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nrestricted locations for information processing\\n\\ninformation/data and/or information system services\\n\\ninformation processing, information/data, and/or information system services to\n be maintained in restricted locations\\n\\norganizational security requirements or conditions for external providers\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining requirements to restrict locations of\n information processing, information/data, or information services\\n\\norganizational processes for ensuring the location is restricted in accordance\n with requirements or conditions"}]}]}]},{"id":"sa-10","class":"SP800-53","title":"Developer Configuration Management","parameters":[{"id":"sa-10_prm_1","constraints":[{"detail":"development, implementation, AND operation"}]},{"id":"sa-10_prm_2","label":"organization-defined configuration items under configuration management"},{"id":"sa-10_prm_3","label":"organization-defined personnel"}],"properties":[{"name":"label","value":"SA-10"},{"name":"sort-id","value":"sa-10"}],"links":[{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"sa-10_smt","name":"statement","prose":"The organization requires the developer of the information system, system component,\n or information system service to:","parts":[{"id":"sa-10_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Perform configuration management during system, component, or service {{ sa-10_prm_1 }};"},{"id":"sa-10_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Document, manage, and control the integrity of changes to {{ sa-10_prm_2 }};"},{"id":"sa-10_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Implement only organization-approved changes to the system, component, or\n service;"},{"id":"sa-10_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Document approved changes to the system, component, or service and the potential\n security impacts of such changes; and"},{"id":"sa-10_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Track security flaws and flaw resolution within the system, component, or service\n and report findings to {{ sa-10_prm_3 }}."},{"id":"sa-10_fr","name":"item","title":"SA-10 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-10_fr_smt.1","name":"item","properties":[{"name":"label","value":"(e) Requirement:"}],"prose":"For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP."}]}]},{"id":"sa-10_gdn","name":"guidance","prose":"This control also applies to organizations conducting internal information systems\n development and integration. Organizations consider the quality and completeness of\n the configuration management activities conducted by developers as evidence of\n applying effective security safeguards. Safeguards include, for example, protecting\n from unauthorized modification or destruction, the master copies of all material used\n to generate security-relevant portions of the system hardware, software, and\n firmware. Maintaining the integrity of changes to the information system, information\n system component, or information system service requires configuration control\n throughout the system development life cycle to track authorized changes and prevent\n unauthorized changes. Configuration items that are placed under configuration\n management (if existence/use is required by other security controls) include: the\n formal model; the functional, high-level, and low-level design specifications; other\n design data; implementation documentation; source code and hardware schematics; the\n running version of the object code; tools for comparing new versions of\n security-relevant hardware descriptions and software/firmware source code with\n previous versions; and test fixtures and documentation. Depending on the\n mission/business needs of organizations and the nature of the contractual\n relationships in place, developers may provide configuration management support\n during the operations and maintenance phases of the life cycle.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#cm-9","rel":"related","text":"CM-9"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"sa-10_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-10.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(a)"}],"prose":"requires the developer of the information system, system component, or information\n system service to perform configuration management during one or more of the\n following:","parts":[{"id":"sa-10.a_obj.1","name":"objective","properties":[{"name":"label","value":"SA-10(a)[1]"}],"prose":"system, component, or service design;"},{"id":"sa-10.a_obj.2","name":"objective","properties":[{"name":"label","value":"SA-10(a)[2]"}],"prose":"system, component, or service development;"},{"id":"sa-10.a_obj.3","name":"objective","properties":[{"name":"label","value":"SA-10(a)[3]"}],"prose":"system, component, or service implementation; and/or"},{"id":"sa-10.a_obj.4","name":"objective","properties":[{"name":"label","value":"SA-10(a)[4]"}],"prose":"system, component, or service operation;"}]},{"id":"sa-10.b_obj","name":"objective","properties":[{"name":"label","value":"SA-10(b)"}],"parts":[{"id":"sa-10.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-10(b)[1]"}],"prose":"defines configuration items to be placed under configuration management;"},{"id":"sa-10.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(b)[2]"}],"prose":"requires the developer of the information system, system component, or\n information system service to:","parts":[{"id":"sa-10.b_obj.2.a","name":"objective","properties":[{"name":"label","value":"SA-10(b)[2][a]"}],"prose":"document the integrity of changes to organization-defined items under\n configuration management;"},{"id":"sa-10.b_obj.2.b","name":"objective","properties":[{"name":"label","value":"SA-10(b)[2][b]"}],"prose":"manage the integrity of changes to organization-defined items under\n configuration management;"},{"id":"sa-10.b_obj.2.c","name":"objective","properties":[{"name":"label","value":"SA-10(b)[2][c]"}],"prose":"control the integrity of changes to organization-defined items under\n configuration management;"}]}]},{"id":"sa-10.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(c)"}],"prose":"requires the developer of the information system, system component, or information\n system service to implement only organization-approved changes to the system,\n component, or service;"},{"id":"sa-10.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(d)"}],"prose":"requires the developer of the information system, system component, or information\n system service to document:","parts":[{"id":"sa-10.d_obj.1","name":"objective","properties":[{"name":"label","value":"SA-10(d)[1]"}],"prose":"approved changes to the system, component, or service;"},{"id":"sa-10.d_obj.2","name":"objective","properties":[{"name":"label","value":"SA-10(d)[2]"}],"prose":"the potential security impacts of such changes;"}]},{"id":"sa-10.e_obj","name":"objective","properties":[{"name":"label","value":"SA-10(e)"}],"parts":[{"id":"sa-10.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-10(e)[1]"}],"prose":"defines personnel to whom findings, resulting from security flaws and flaw\n resolution tracked within the system, component, or service, are to be\n reported;"},{"id":"sa-10.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-10(e)[2]"}],"prose":"requires the developer of the information system, system component, or\n information system service to:","parts":[{"id":"sa-10.e_obj.2.a","name":"objective","properties":[{"name":"label","value":"SA-10(e)[2][a]"}],"prose":"track security flaws within the system, component, or service;"},{"id":"sa-10.e_obj.2.b","name":"objective","properties":[{"name":"label","value":"SA-10(e)[2][b]"}],"prose":"track security flaw resolution within the system, component, or service;\n and"},{"id":"sa-10.e_obj.2.c","name":"objective","properties":[{"name":"label","value":"SA-10(e)[2][c]"}],"prose":"report findings to organization-defined personnel."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer configuration management plan\\n\\nsecurity flaw and flaw resolution tracking records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management"}]}],"controls":[{"id":"sa-10.1","class":"SP800-53-enhancement","title":"Software / Firmware Integrity Verification","properties":[{"name":"label","value":"SA-10(1)"},{"name":"sort-id","value":"sa-10.01"}],"parts":[{"id":"sa-10.1_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to enable integrity verification of\n software and firmware components."},{"id":"sa-10.1_gdn","name":"guidance","prose":"This control enhancement allows organizations to detect unauthorized changes to\n software and firmware components through the use of tools, techniques, and/or\n mechanisms provided by developers. Integrity checking mechanisms can also address\n counterfeiting of software and firmware components. Organizations verify the\n integrity of software and firmware components, for example, through secure one-way\n hashes provided by developers. Delivered software and firmware components also\n include any updates to such components.","links":[{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sa-10.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to enable integrity verification\n of software and firmware components."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system\\n\\nsystem component, or information system service\\n\\nsystem developer configuration management plan\\n\\nsoftware and firmware integrity verification records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management"}]}]}]},{"id":"sa-11","class":"SP800-53","title":"Developer Security Testing and Evaluation","parameters":[{"id":"sa-11_prm_1"},{"id":"sa-11_prm_2","label":"organization-defined depth and coverage"}],"properties":[{"name":"label","value":"SA-11"},{"name":"sort-id","value":"sa-11"}],"links":[{"href":"#1737a687-52fb-4008-b900-cbfa836f7b65","rel":"reference","text":"ISO/IEC 15408"},{"href":"#cd4cf751-3312-4a55-b1a9-fad2f1db9119","rel":"reference","text":"NIST Special Publication 800-53A"},{"href":"#275cc052-0f7f-423c-bdb6-ed503dc36228","rel":"reference","text":"http://nvd.nist.gov"},{"href":"#15522e92-9192-463d-9646-6a01982db8ca","rel":"reference","text":"http://cwe.mitre.org"},{"href":"#0931209f-00ae-4132-b92c-bc645847e8f9","rel":"reference","text":"http://cve.mitre.org"},{"href":"#4ef539ba-b767-4666-b0d3-168c53005fa3","rel":"reference","text":"http://capec.mitre.org"}],"parts":[{"id":"sa-11_smt","name":"statement","prose":"The organization requires the developer of the information system, system component,\n or information system service to:","parts":[{"id":"sa-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Create and implement a security assessment plan;"},{"id":"sa-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Perform {{ sa-11_prm_1 }} testing/evaluation at {{ sa-11_prm_2 }};"},{"id":"sa-11_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Produce evidence of the execution of the security assessment plan and the results\n of the security testing/evaluation;"},{"id":"sa-11_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implement a verifiable flaw remediation process; and"},{"id":"sa-11_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Correct flaws identified during security testing/evaluation."}]},{"id":"sa-11_gdn","name":"guidance","prose":"Developmental security testing/evaluation occurs at all post-design phases of the\n system development life cycle. Such testing/evaluation confirms that the required\n security controls are implemented correctly, operating as intended, enforcing the\n desired security policy, and meeting established security requirements. Security\n properties of information systems may be affected by the interconnection of system\n components or changes to those components. These interconnections or changes (e.g.,\n upgrading or replacing applications and operating systems) may adversely affect\n previously implemented security controls. This control provides additional types of\n security testing/evaluation that developers can conduct to reduce or eliminate\n potential flaws. Testing custom software applications may require approaches such as\n static analysis, dynamic analysis, binary analysis, or a hybrid of the three\n approaches. Developers can employ these analysis approaches in a variety of tools\n (e.g., web-based application scanners, static analysis tools, binary analyzers) and\n in source code reviews. Security assessment plans provide the specific activities\n that developers plan to carry out including the types of analyses, testing,\n evaluation, and reviews of software and firmware components, the degree of rigor to\n be applied, and the types of artifacts produced during those processes. The depth of\n security testing/evaluation refers to the rigor and level of detail associated with\n the assessment process (e.g., black box, gray box, or white box testing). The\n coverage of security testing/evaluation refers to the scope (i.e., number and type)\n of the artifacts included in the assessment process. Contracts specify the acceptance\n criteria for security assessment plans, flaw remediation processes, and the evidence\n that the plans/processes have been diligently applied. Methods for reviewing and\n protecting assessment plans, evidence, and documentation are commensurate with the\n security category or classification level of the information system. Contracts may\n specify documentation protection requirements.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#cm-4","rel":"related","text":"CM-4"},{"href":"#sa-3","rel":"related","text":"SA-3"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"sa-11_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sa-11.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(a)"}],"prose":"requires the developer of the information system, system component, or information\n system service to create and implement a security plan;"},{"id":"sa-11.b_obj","name":"objective","properties":[{"name":"label","value":"SA-11(b)"}],"parts":[{"id":"sa-11.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-11(b)[1]"}],"prose":"defines the depth of testing/evaluation to be performed by the developer of the\n information system, system component, or information system service;"},{"id":"sa-11.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SA-11(b)[2]"}],"prose":"defines the coverage of testing/evaluation to be performed by the developer of\n the information system, system component, or information system service;"},{"id":"sa-11.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(b)[3]"}],"prose":"requires the developer of the information system, system component, or\n information system service to perform one or more of the following\n testing/evaluation at the organization-defined depth and coverage:","parts":[{"id":"sa-11.b_obj.3.a","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][a]"}],"prose":"unit testing/evaluation;"},{"id":"sa-11.b_obj.3.b","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][b]"}],"prose":"integration testing/evaluation;"},{"id":"sa-11.b_obj.3.c","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][c]"}],"prose":"system testing/evaluation; and/or"},{"id":"sa-11.b_obj.3.d","name":"objective","properties":[{"name":"label","value":"SA-11(b)[3][d]"}],"prose":"regression testing/evaluation;"}]}]},{"id":"sa-11.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(c)"}],"prose":"requires the developer of the information system, system component, or information\n system service to produce evidence of:","parts":[{"id":"sa-11.c_obj.1","name":"objective","properties":[{"name":"label","value":"SA-11(c)[1]"}],"prose":"the execution of the security assessment plan;"},{"id":"sa-11.c_obj.2","name":"objective","properties":[{"name":"label","value":"SA-11(c)[2]"}],"prose":"the results of the security testing/evaluation;"}]},{"id":"sa-11.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(d)"}],"prose":"requires the developer of the information system, system component, or information\n system service to implement a verifiable flaw remediation process; and"},{"id":"sa-11.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(e)"}],"prose":"requires the developer of the information system, system component, or information\n system service to correct flaws identified during security testing/evaluation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system, system\n component, or information system service\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation"}]}],"controls":[{"id":"sa-11.1","class":"SP800-53-enhancement","title":"Static Code Analysis","properties":[{"name":"label","value":"SA-11(1)"},{"name":"sort-id","value":"sa-11.01"}],"parts":[{"id":"sa-11.1_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to employ static code analysis tools to\n identify common flaws and document the results of the analysis.","parts":[{"id":"sa-11.1_fr","name":"item","title":"SA-11 (1) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-11.1_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed."}]}]},{"id":"sa-11.1_gdn","name":"guidance","prose":"Static code analysis provides a technology and methodology for security reviews.\n Such analysis can be used to identify security vulnerabilities and enforce\n security coding practices. Static code analysis is most effective when used early\n in the development process, when each code change can be automatically scanned for\n potential weaknesses. Static analysis can provide clear remediation guidance along\n with defects to enable developers to fix such defects. Evidence of correct\n implementation of static analysis can include, for example, aggregate defect\n density for critical defect types, evidence that defects were inspected by\n developers or security professionals, and evidence that defects were fixed. An\n excessively high density of ignored findings (commonly referred to as ignored or\n false positives) indicates a potential problem with the analysis process or tool.\n In such cases, organizations weigh the validity of the evidence against evidence\n from other sources."},{"id":"sa-11.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to employ static code analysis\n tools to identify common flaws and document the results of the analysis."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nsystem developer security testing results\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation\\n\\nstatic code analysis tools"}]}]},{"id":"sa-11.2","class":"SP800-53-enhancement","title":"Threat and Vulnerability Analyses","properties":[{"name":"label","value":"SA-11(2)"},{"name":"sort-id","value":"sa-11.02"}],"parts":[{"id":"sa-11.2_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to perform threat and vulnerability\n analyses and subsequent testing/evaluation of the as-built system, component, or\n service."},{"id":"sa-11.2_gdn","name":"guidance","prose":"Applications may deviate significantly from the functional and design\n specifications created during the requirements and design phases of the system\n development life cycle. Therefore, threat and vulnerability analyses of\n information systems, system components, and information system services prior to\n delivery are critical to the effective operation of those systems, components, and\n services. Threat and vulnerability analyses at this phase of the life cycle help\n to ensure that design or implementation changes have been accounted for, and that\n any new vulnerabilities created as a result of those changes have been reviewed\n and mitigated.","links":[{"href":"#pm-15","rel":"related","text":"PM-15"},{"href":"#ra-5","rel":"related","text":"RA-5"}]},{"id":"sa-11.2_obj","name":"objective","prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to perform:","parts":[{"id":"sa-11.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SA-11(2)[1]"}],"prose":"threat analyses of the as-built, system component, or service;"},{"id":"sa-11.2_obj.2","name":"objective","properties":[{"name":"label","value":"SA-11(2)[2]"}],"prose":"vulnerability analyses of the as-built, system component, or service; and"},{"id":"sa-11.2_obj.3","name":"objective","properties":[{"name":"label","value":"SA-11(2)[3]"}],"prose":"subsequent testing/evaluation of the as-built, system component, or\n service."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system,\n system component, or information system service\\n\\nvulnerability scanning results\\n\\ninformation system risk assessment reports\\n\\nthreat and vulnerability analysis reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation"}]}]},{"id":"sa-11.8","class":"SP800-53-enhancement","title":"Dynamic Code Analysis","properties":[{"name":"label","value":"SA-11(8)"},{"name":"sort-id","value":"sa-11.08"}],"parts":[{"id":"sa-11.8_smt","name":"statement","prose":"The organization requires the developer of the information system, system\n component, or information system service to employ dynamic code analysis tools to\n identify common flaws and document the results of the analysis.","parts":[{"id":"sa-11.8_fr","name":"item","title":"SA-11 (8) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sa-11.8_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed."}]}]},{"id":"sa-11.8_gdn","name":"guidance","prose":"Dynamic code analysis provides run-time verification of software programs, using\n tools capable of monitoring programs for memory corruption, user privilege issues,\n and other potential security problems. Dynamic code analysis employs run-time\n tools to help to ensure that security functionality performs in the manner in\n which it was designed. A specialized type of dynamic analysis, known as fuzz\n testing, induces program failures by deliberately introducing malformed or random\n data into software programs. Fuzz testing strategies derive from the intended use\n of applications and the functional and design specifications for the applications.\n To understand the scope of dynamic code analysis and hence the assurance provided,\n organizations may also consider conducting code coverage analysis (checking the\n degree to which the code has been tested using metrics such as percent of\n subroutines tested or percent of program statements called during execution of the\n test suite) and/or concordance analysis (checking for words that are out of place\n in software code such as non-English language words or derogatory terms)."},{"id":"sa-11.8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization requires the developer of the information system,\n system component, or information system service to employ dynamic code analysis\n tools to identify common flaws and document the results of the analysis."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test and evaluation plans\\n\\nsecurity test and evaluation results\\n\\nsecurity flaw and remediation tracking reports\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation"}]}]}]}]},{"id":"sc","class":"family","title":"System and Communications Protection","controls":[{"id":"sc-1","class":"SP800-53","title":"System and Communications Protection Policy and Procedures","parameters":[{"id":"sc-1_prm_1","label":"organization-defined personnel or roles"},{"id":"sc-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"sc-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-1"},{"name":"sort-id","value":"sc-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"sc-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ sc-1_prm_1 }}:","parts":[{"id":"sc-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and"},{"id":"sc-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and"}]},{"id":"sc-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"sc-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and communications protection policy {{ sc-1_prm_2 }};\n and"},{"id":"sc-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and communications protection procedures {{ sc-1_prm_3 }}."}]}]},{"id":"sc-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"sc-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-1.a_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)"}],"parts":[{"id":"sc-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)"}],"parts":[{"id":"sc-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(1)[1]"}],"prose":"develops and documents a system and communications protection policy that\n addresses:","parts":[{"id":"sc-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"sc-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"sc-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"sc-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"sc-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"sc-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"sc-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SC-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"sc-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;"},{"id":"sc-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SC-1(a)(1)[3]"}],"prose":"disseminates the system and communications protection policy to\n organization-defined personnel or roles;"}]},{"id":"sc-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(a)(2)"}],"parts":[{"id":"sc-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;"},{"id":"sc-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"sc-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SC-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"sc-1.b_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)"}],"parts":[{"id":"sc-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(1)"}],"parts":[{"id":"sc-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection policy;"},{"id":"sc-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(1)[2]"}],"prose":"reviews and updates the current system and communications protection policy\n with the organization-defined frequency;"}]},{"id":"sc-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SC-1(b)(2)"}],"parts":[{"id":"sc-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n communications protection procedures; and"},{"id":"sc-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-1(b)(2)[2]"}],"prose":"reviews and updates the current system and communications protection\n procedures with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"sc-2","class":"SP800-53","title":"Application Partitioning","properties":[{"name":"label","value":"SC-2"},{"name":"sort-id","value":"sc-02"}],"parts":[{"id":"sc-2_smt","name":"statement","prose":"The information system separates user functionality (including user interface\n services) from information system management functionality."},{"id":"sc-2_gdn","name":"guidance","prose":"Information system management functionality includes, for example, functions\n necessary to administer databases, network components, workstations, or servers, and\n typically requires privileged user access. The separation of user functionality from\n information system management functionality is either physical or logical.\n Organizations implement separation of system management-related functionality from\n user functionality by using different computers, different central processing units,\n different instances of operating systems, different network addresses, virtualization\n techniques, or combinations of these or other methods, as appropriate. This type of\n separation includes, for example, web administrative interfaces that use separate\n authentication methods for users of any other information system resources.\n Separation of system and user functionality may include isolating administrative\n interfaces on different domains and with additional access controls.","links":[{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system separates user functionality (including user\n interface services) from information system management functionality."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing application partitioning\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Separation of user functionality from information system management\n functionality"}]}]},{"id":"sc-4","class":"SP800-53","title":"Information in Shared Resources","properties":[{"name":"label","value":"SC-4"},{"name":"sort-id","value":"sc-04"}],"parts":[{"id":"sc-4_smt","name":"statement","prose":"The information system prevents unauthorized and unintended information transfer via\n shared system resources."},{"id":"sc-4_gdn","name":"guidance","prose":"This control prevents information, including encrypted representations of\n information, produced by the actions of prior users/roles (or the actions of\n processes acting on behalf of prior users/roles) from being available to any current\n users/roles (or current processes) that obtain access to shared system resources\n (e.g., registers, main memory, hard disks) after those resources have been released\n back to information systems. The control of information in shared resources is also\n commonly referred to as object reuse and residual information protection. This\n control does not address: (i) information remanence which refers to residual\n representation of data that has been nominally erased or removed; (ii) covert\n channels (including storage and/or timing channels) where shared resources are\n manipulated to violate information flow restrictions; or (iii) components within\n information systems for which there are only single users/roles.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#mp-6","rel":"related","text":"MP-6"}]},{"id":"sc-4_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system prevents unauthorized and unintended information\n transfer via shared system resources."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing information protection in shared system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms preventing unauthorized and unintended transfer of\n information via shared system resources"}]}]},{"id":"sc-5","class":"SP800-53","title":"Denial of Service Protection","parameters":[{"id":"sc-5_prm_1","label":"organization-defined types of denial of service attacks or references to sources\n for such information"},{"id":"sc-5_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SC-5"},{"name":"sort-id","value":"sc-05"}],"parts":[{"id":"sc-5_smt","name":"statement","prose":"The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}."},{"id":"sc-5_gdn","name":"guidance","prose":"A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.","links":[{"href":"#sc-6","rel":"related","text":"SC-6"},{"href":"#sc-7","rel":"related","text":"SC-7"}]},{"id":"sc-5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-5_obj.1","name":"objective","properties":[{"name":"label","value":"SC-5[1]"}],"prose":"the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;"},{"id":"sc-5_obj.2","name":"objective","properties":[{"name":"label","value":"SC-5[2]"}],"prose":"the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and"},{"id":"sc-5_obj.3","name":"objective","properties":[{"name":"label","value":"SC-5[3]"}],"prose":"the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms protecting against or limiting the effects of denial of\n service attacks"}]}]},{"id":"sc-6","class":"SP800-53","title":"Resource Availability","parameters":[{"id":"sc-6_prm_1","label":"organization-defined resources"},{"id":"sc-6_prm_2"},{"id":"sc-6_prm_3","depends-on":"sc-6_prm_2","label":"organization-defined security safeguards"}],"properties":[{"name":"label","value":"SC-6"},{"name":"sort-id","value":"sc-06"}],"parts":[{"id":"sc-6_smt","name":"statement","prose":"The information system protects the availability of resources by allocating {{ sc-6_prm_1 }} by {{ sc-6_prm_2 }}."},{"id":"sc-6_gdn","name":"guidance","prose":"Priority protection helps prevent lower-priority processes from delaying or\n interfering with the information system servicing any higher-priority processes.\n Quotas prevent users or processes from obtaining more than predetermined amounts of\n resources. This control does not apply to information system components for which\n there are only single users/roles."},{"id":"sc-6_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-6_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-6[1]"}],"prose":"the organization defines resources to be allocated to protect the availability of\n resources;"},{"id":"sc-6_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-6[2]"}],"prose":"the organization defines security safeguards to be employed to protect the\n availability of resources;"},{"id":"sc-6_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-6[3]"}],"prose":"the information system protects the availability of resources by allocating\n organization-defined resources by one or more of the following:","parts":[{"id":"sc-6_obj.3.a","name":"objective","properties":[{"name":"label","value":"SC-6[3][a]"}],"prose":"priority;"},{"id":"sc-6_obj.3.b","name":"objective","properties":[{"name":"label","value":"SC-6[3][b]"}],"prose":"quota; and/or"},{"id":"sc-6_obj.3.c","name":"objective","properties":[{"name":"label","value":"SC-6[3][c]"}],"prose":"organization-defined safeguards."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing prioritization of information system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing resource allocation\n capability\\n\\nsafeguards employed to protect availability of resources"}]}]},{"id":"sc-7","class":"SP800-53","title":"Boundary Protection","parameters":[{"id":"sc-7_prm_1"}],"properties":[{"name":"label","value":"SC-7"},{"name":"sort-id","value":"sc-07"}],"links":[{"href":"#e85cdb3f-7f0a-4083-8639-f13f70d3760b","rel":"reference","text":"FIPS Publication 199"},{"href":"#756a8e86-57d5-4701-8382-f7a40439665a","rel":"reference","text":"NIST Special Publication 800-41"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"}],"parts":[{"id":"sc-7_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-7_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;"},{"id":"sc-7_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and"},{"id":"sc-7_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"id":"sc-7_gdn","name":"guidance","prose":"Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.","links":[{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ca-3","rel":"related","text":"CA-3"},{"href":"#cm-7","rel":"related","text":"CM-7"},{"href":"#cp-8","rel":"related","text":"CP-8"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-3","rel":"related","text":"RA-3"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"sc-7_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-7.a_obj","name":"objective","properties":[{"name":"label","value":"SC-7(a)"}],"parts":[{"id":"sc-7.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[1]"}],"prose":"monitors communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[2]"}],"prose":"monitors communications at key internal boundaries within the system;"},{"id":"sc-7.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[3]"}],"prose":"controls communications at the external boundary of the information system;"},{"id":"sc-7.a_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(a)[4]"}],"prose":"controls communications at key internal boundaries within the system;"}]},{"id":"sc-7.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(b)"}],"prose":"implements subnetworks for publicly accessible system components that are\n either:","parts":[{"id":"sc-7.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-7(b)[1]"}],"prose":"physically separated from internal organizational networks; and/or"},{"id":"sc-7.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-7(b)[2]"}],"prose":"logically separated from internal organizational networks; and"}]},{"id":"sc-7.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(c)"}],"prose":"connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability"}]}],"controls":[{"id":"sc-7.3","class":"SP800-53-enhancement","title":"Access Points","properties":[{"name":"label","value":"SC-7(3)"},{"name":"sort-id","value":"sc-07.03"}],"parts":[{"id":"sc-7.3_smt","name":"statement","prose":"The organization limits the number of external network connections to the\n information system."},{"id":"sc-7.3_gdn","name":"guidance","prose":"Limiting the number of external network connections facilitates more comprehensive\n monitoring of inbound and outbound communications traffic. The Trusted Internet\n Connection (TIC) initiative is an example of limiting the number of external\n network connections."},{"id":"sc-7.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization limits the number of external network connections to\n the information system."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncommunications and network traffic monitoring logs\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms limiting the number of external network connections to the\n information system"}]}]},{"id":"sc-7.4","class":"SP800-53-enhancement","title":"External Telecommunications Services","parameters":[{"id":"sc-7.4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-7(4)"},{"name":"sort-id","value":"sc-07.04"}],"parts":[{"id":"sc-7.4_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-7.4_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Implements a managed interface for each external telecommunication service;"},{"id":"sc-7.4_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Establishes a traffic flow policy for each managed interface;"},{"id":"sc-7.4_smt.c","name":"item","properties":[{"name":"label","value":"(c)"}],"prose":"Protects the confidentiality and integrity of the information being transmitted\n across each interface;"},{"id":"sc-7.4_smt.d","name":"item","properties":[{"name":"label","value":"(d)"}],"prose":"Documents each exception to the traffic flow policy with a supporting\n mission/business need and duration of that need; and"},{"id":"sc-7.4_smt.e","name":"item","properties":[{"name":"label","value":"(e)"}],"prose":"Reviews exceptions to the traffic flow policy {{ sc-7.4_prm_1 }}\n and removes exceptions that are no longer supported by an explicit\n mission/business need."}]},{"id":"sc-7.4_gdn","name":"guidance","links":[{"href":"#sc-8","rel":"related","text":"SC-8"}]},{"id":"sc-7.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.4.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(a)"}],"prose":"implements a managed interface for each external telecommunication service;","links":[{"href":"#sc-7.4_smt.a","rel":"corresp","text":"SC-7(4)(a)"}]},{"id":"sc-7.4.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(b)"}],"prose":"establishes a traffic flow policy for each managed interface;","links":[{"href":"#sc-7.4_smt.b","rel":"corresp","text":"SC-7(4)(b)"}]},{"id":"sc-7.4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(c)"}],"prose":"protects the confidentiality and integrity of the information being transmitted\n across each interface;","links":[{"href":"#sc-7.4_smt.c","rel":"corresp","text":"SC-7(4)(c)"}]},{"id":"sc-7.4.d_obj","name":"objective","properties":[{"name":"label","value":"SC-7(4)(d)"}],"prose":"documents each exception to the traffic flow policy with:","parts":[{"id":"sc-7.4.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(d)[1]"}],"prose":"a supporting mission/business need;"},{"id":"sc-7.4.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(d)[2]"}],"prose":"duration of that need;"}],"links":[{"href":"#sc-7.4_smt.d","rel":"corresp","text":"SC-7(4)(d)"}]},{"id":"sc-7.4.e_obj","name":"objective","properties":[{"name":"label","value":"SC-7(4)(e)"}],"parts":[{"id":"sc-7.4.e_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(4)(e)[1]"}],"prose":"defines a frequency to review exceptions to traffic flow policy;"},{"id":"sc-7.4.e_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(e)[2]"}],"prose":"reviews exceptions to the traffic flow policy with the organization-defined\n frequency; and"},{"id":"sc-7.4.e_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(4)(e)[3]"}],"prose":"removes traffic flow policy exceptions that are no longer supported by an\n explicit mission/business need"}],"links":[{"href":"#sc-7.4_smt.e","rel":"corresp","text":"SC-7(4)(e)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\ntraffic flow policy\\n\\ninformation flow control policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system security architecture\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of traffic flow policy exceptions\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for documenting and reviewing exceptions to the\n traffic flow policy\\n\\norganizational processes for removing exceptions to the traffic flow policy\\n\\nautomated mechanisms implementing boundary protection capability\\n\\nmanaged interfaces implementing traffic flow policy"}]}]},{"id":"sc-7.5","class":"SP800-53-enhancement","title":"Deny by Default / Allow by Exception","properties":[{"name":"label","value":"SC-7(5)"},{"name":"sort-id","value":"sc-07.05"}],"parts":[{"id":"sc-7.5_smt","name":"statement","prose":"The information system at managed interfaces denies network communications traffic\n by default and allows network communications traffic by exception (i.e., deny all,\n permit by exception)."},{"id":"sc-7.5_gdn","name":"guidance","prose":"This control enhancement applies to both inbound and outbound network\n communications traffic. A deny-all, permit-by-exception network communications\n traffic policy ensures that only those connections which are essential and\n approved are allowed."},{"id":"sc-7.5_obj","name":"objective","prose":"Determine if the information system, at managed interfaces:","parts":[{"id":"sc-7.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(5)[1]"}],"prose":"denies network traffic by default; and"},{"id":"sc-7.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(5)[2]"}],"prose":"allows network traffic by exception."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing traffic management at managed interfaces"}]}]},{"id":"sc-7.7","class":"SP800-53-enhancement","title":"Prevent Split Tunneling for Remote Devices","properties":[{"name":"label","value":"SC-7(7)"},{"name":"sort-id","value":"sc-07.07"}],"parts":[{"id":"sc-7.7_smt","name":"statement","prose":"The information system, in conjunction with a remote device, prevents the device\n from simultaneously establishing non-remote connections with the system and\n communicating via some other connection to resources in external networks."},{"id":"sc-7.7_gdn","name":"guidance","prose":"This control enhancement is implemented within remote devices (e.g., notebook\n computers) through configuration settings to disable split tunneling in those\n devices, and by preventing those configuration settings from being readily\n configurable by users. This control enhancement is implemented within the\n information system by the detection of split tunneling (or of configuration\n settings that allow split tunneling) in the remote device, and by prohibiting the\n connection if the remote device is using split tunneling. Split tunneling might be\n desirable by remote users to communicate with local information system resources\n such as printers/file servers. However, split tunneling would in effect allow\n unauthorized external connections, making the system more vulnerable to attack and\n to exfiltration of organizational information. The use of VPNs for remote\n connections, when adequately provisioned with appropriate security controls, may\n provide the organization with sufficient assurance that it can effectively treat\n such connections as non-remote connections from the confidentiality and integrity\n perspective. VPNs thus provide a means for allowing non-remote communications\n paths from remote devices. The use of an adequately provisioned VPN does not\n eliminate the need for preventing split tunneling."},{"id":"sc-7.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system, in conjunction with a remote device, prevents\n the device from simultaneously establishing non-remote connections with the system\n and communicating via some other connection to resources in external networks."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms supporting/restricting non-remote connections"}]}]},{"id":"sc-7.8","class":"SP800-53-enhancement","title":"Route Traffic to Authenticated Proxy Servers","parameters":[{"id":"sc-7.8_prm_1","label":"organization-defined internal communications traffic"},{"id":"sc-7.8_prm_2","label":"organization-defined external networks"}],"properties":[{"name":"label","value":"SC-7(8)"},{"name":"sort-id","value":"sc-07.08"}],"parts":[{"id":"sc-7.8_smt","name":"statement","prose":"The information system routes {{ sc-7.8_prm_1 }} to {{ sc-7.8_prm_2 }} through authenticated proxy servers at managed\n interfaces."},{"id":"sc-7.8_gdn","name":"guidance","prose":"External networks are networks outside of organizational control. A proxy server\n is a server (i.e., information system or application) that acts as an intermediary\n for clients requesting information system resources (e.g., files, connections, web\n pages, or services) from other organizational servers. Client requests established\n through an initial connection to the proxy server are evaluated to manage\n complexity and to provide additional protection by limiting direct connectivity.\n Web content filtering devices are one of the most common proxy servers providing\n access to the Internet. Proxy servers support logging individual Transmission\n Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators\n (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be\n configured with organization-defined lists of authorized and unauthorized\n websites.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#au-2","rel":"related","text":"AU-2"}]},{"id":"sc-7.8_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-7.8_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(8)[1]"}],"prose":"the organization defines internal communications traffic to be routed to\n external networks;"},{"id":"sc-7.8_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(8)[2]"}],"prose":"the organization defines external networks to which organization-defined\n internal communications traffic is to be routed; and"},{"id":"sc-7.8_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(8)[3]"}],"prose":"the information system routes organization-defined internal communications\n traffic to organization-defined external networks through authenticated proxy\n servers at managed interfaces."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing traffic management through authenticated\n proxy servers at managed interfaces"}]}]},{"id":"sc-7.12","class":"SP800-53-enhancement","title":"Host-based Protection","parameters":[{"id":"sc-7.12_prm_1","label":"organization-defined host-based boundary protection mechanisms"},{"id":"sc-7.12_prm_2","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"SC-7(12)"},{"name":"sort-id","value":"sc-07.12"}],"parts":[{"id":"sc-7.12_smt","name":"statement","prose":"The organization implements {{ sc-7.12_prm_1 }} at {{ sc-7.12_prm_2 }}."},{"id":"sc-7.12_gdn","name":"guidance","prose":"Host-based boundary protection mechanisms include, for example, host-based\n firewalls. Information system components employing host-based boundary protection\n mechanisms include, for example, servers, workstations, and mobile devices."},{"id":"sc-7.12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.12_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(12)[1]"}],"prose":"defines host-based boundary protection mechanisms;"},{"id":"sc-7.12_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(12)[2]"}],"prose":"defines information system components where organization-defined host-based\n boundary protection mechanisms are to be implemented; and"},{"id":"sc-7.12_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(12)[3]"}],"prose":"implements organization-defined host-based boundary protection mechanisms at\n organization-defined information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities\\n\\ninformation system users"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms implementing host-based boundary protection\n capabilities"}]}]},{"id":"sc-7.13","class":"SP800-53-enhancement","title":"Isolation of Security Tools / Mechanisms / Support Components","parameters":[{"id":"sc-7.13_prm_1","label":"organization-defined information security tools, mechanisms, and support\n components"}],"properties":[{"name":"label","value":"SC-7(13)"},{"name":"sort-id","value":"sc-07.13"}],"parts":[{"id":"sc-7.13_smt","name":"statement","prose":"The organization isolates {{ sc-7.13_prm_1 }} from other internal\n information system components by implementing physically separate subnetworks with\n managed interfaces to other components of the system.","parts":[{"id":"sc-7.13_fr","name":"item","title":"SC-7 (13) Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-7.13_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets."}]}]},{"id":"sc-7.13_gdn","name":"guidance","prose":"Physically separate subnetworks with managed interfaces are useful, for example,\n in isolating computer network defenses from critical operational processing\n networks to prevent adversaries from discovering the analysis and forensics\n techniques of organizations.","links":[{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-7.13_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-7.13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-7(13)[1]"}],"prose":"defines information security tools, mechanisms, and support components to be\n isolated from other internal information system components; and"},{"id":"sc-7.13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-7(13)[2]"}],"prose":"isolates organization-defined information security tools, mechanisms, and\n support components from other internal information system components by\n implementing physically separate subnetworks with managed interfaces to other\n components of the system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security tools and support components to be isolated from other\n internal information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing isolation of information\n security tools, mechanisms, and support components"}]}]},{"id":"sc-7.18","class":"SP800-53-enhancement","title":"Fail Secure","properties":[{"name":"label","value":"SC-7(18)"},{"name":"sort-id","value":"sc-07.18"}],"parts":[{"id":"sc-7.18_smt","name":"statement","prose":"The information system fails securely in the event of an operational failure of a\n boundary protection device."},{"id":"sc-7.18_gdn","name":"guidance","prose":"Fail secure is a condition achieved by employing information system mechanisms to\n ensure that in the event of operational failures of boundary protection devices at\n managed interfaces (e.g., routers, firewalls, guards, and application gateways\n residing on protected subnetworks commonly referred to as demilitarized zones),\n information systems do not enter into unsecure states where intended security\n properties no longer hold. Failures of boundary protection devices cannot lead to,\n or cause information external to the devices to enter the devices, nor can\n failures permit unauthorized information releases.","links":[{"href":"#cp-2","rel":"related","text":"CP-2"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"sc-7.18_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system fails securely in the event of an operational\n failure of a boundary protection device."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing secure failure"}]}]}]},{"id":"sc-8","class":"SP800-53","title":"Transmission Confidentiality and Integrity","parameters":[{"id":"sc-8_prm_1","constraints":[{"detail":"confidentiality AND integrity"}]}],"properties":[{"name":"label","value":"SC-8"},{"name":"sort-id","value":"sc-08"}],"links":[{"href":"#d715b234-9b5b-4e07-b1ed-99836727664d","rel":"reference","text":"FIPS Publication 140-2"},{"href":"#f2dbd4ec-c413-4714-b85b-6b7184d1c195","rel":"reference","text":"FIPS Publication 197"},{"href":"#90c5bc98-f9c4-44c9-98b7-787422f0999c","rel":"reference","text":"NIST Special Publication 800-52"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"},{"href":"#349fe082-502d-464a-aa0c-1443c6a5cf40","rel":"reference","text":"NIST Special Publication 800-113"},{"href":"#a4aa9645-9a8a-4b51-90a9-e223250f9a75","rel":"reference","text":"CNSS Policy 15"},{"href":"#06dff0ea-3848-4945-8d91-e955ee69f05d","rel":"reference","text":"NSTISSI No. 7003"}],"parts":[{"id":"sc-8_smt","name":"statement","prose":"The information system protects the {{ sc-8_prm_1 }} of transmitted\n information."},{"id":"sc-8_gdn","name":"guidance","prose":"This control applies to both internal and external networks and all types of\n information system components from which information can be transmitted (e.g.,\n servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile\n machines). Communication paths outside the physical protection of a controlled\n boundary are exposed to the possibility of interception and modification. Protecting\n the confidentiality and/or integrity of organizational information can be\n accomplished by physical means (e.g., by employing protected distribution systems) or\n by logical means (e.g., employing encryption techniques). Organizations relying on\n commercial providers offering transmission services as commodity services rather than\n as fully dedicated services (i.e., services which can be highly specialized to\n individual customer needs), may find it difficult to obtain the necessary assurances\n regarding the implementation of needed security controls for transmission\n confidentiality/integrity. In such situations, organizations determine what types of\n confidentiality/integrity services are available in standard, commercial\n telecommunication service packages. If it is infeasible or impractical to obtain the\n necessary security controls and assurances of control effectiveness through\n appropriate contracting vehicles, organizations implement appropriate compensating\n security controls or explicitly accept the additional risk.","links":[{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#pe-4","rel":"related","text":"PE-4"}]},{"id":"sc-8_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system protects one or more of the following:","parts":[{"id":"sc-8_obj.1","name":"objective","properties":[{"name":"label","value":"SC-8[1]"}],"prose":"confidentiality of transmitted information; and/or"},{"id":"sc-8_obj.2","name":"objective","properties":[{"name":"label","value":"SC-8[2]"}],"prose":"integrity of transmitted information."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing transmission confidentiality\n and/or integrity"}]}],"controls":[{"id":"sc-8.1","class":"SP800-53-enhancement","title":"Cryptographic or Alternate Physical Protection","parameters":[{"id":"sc-8.1_prm_1","constraints":[{"detail":"prevent unauthorized disclosure of information AND detect changes to information"}]},{"id":"sc-8.1_prm_2","label":"organization-defined alternative physical safeguards","constraints":[{"detail":"a hardened or alarmed carrier Protective Distribution System (PDS)"}]}],"properties":[{"name":"label","value":"SC-8(1)"},{"name":"sort-id","value":"sc-08.01"}],"parts":[{"id":"sc-8.1_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to {{ sc-8.1_prm_1 }} during transmission unless otherwise protected by\n {{ sc-8.1_prm_2 }}."},{"id":"sc-8.1_gdn","name":"guidance","prose":"Encrypting information for transmission protects information from unauthorized\n disclosure and modification. Cryptographic mechanisms implemented to protect\n information integrity include, for example, cryptographic hash functions which\n have common application in digital signatures, checksums, and message\n authentication codes. Alternative physical security safeguards include, for\n example, protected distribution systems.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"}]},{"id":"sc-8.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-8.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-8(1)[1]"}],"prose":"the organization defines physical safeguards to be implemented to protect\n information during transmission when cryptographic mechanisms are not\n implemented; and"},{"id":"sc-8.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-8(1)[2]"}],"prose":"the information system implements cryptographic mechanisms to do one or more of\n the following during transmission unless otherwise protected by\n organization-defined alternative physical safeguards:","parts":[{"id":"sc-8.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SC-8(1)[2][a]"}],"prose":"prevent unauthorized disclosure of information; and/or"},{"id":"sc-8.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SC-8(1)[2][b]"}],"prose":"detect changes to information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms supporting and/or implementing transmission\n confidentiality and/or integrity\\n\\nautomated mechanisms supporting and/or implementing alternative physical\n safeguards\\n\\norganizational processes for defining and implementing alternative physical\n safeguards"}]}]}]},{"id":"sc-10","class":"SP800-53","title":"Network Disconnect","parameters":[{"id":"sc-10_prm_1","label":"organization-defined time period","constraints":[{"detail":"no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions"}]}],"properties":[{"name":"label","value":"SC-10"},{"name":"sort-id","value":"sc-10"}],"parts":[{"id":"sc-10_smt","name":"statement","prose":"The information system terminates the network connection associated with a\n communications session at the end of the session or after {{ sc-10_prm_1 }} of inactivity."},{"id":"sc-10_gdn","name":"guidance","prose":"This control applies to both internal and external networks. Terminating network\n connections associated with communications sessions include, for example,\n de-allocating associated TCP/IP address/port pairs at the operating system level, or\n de-allocating networking assignments at the application level if multiple application\n sessions are using a single, operating system-level network connection. Time periods\n of inactivity may be established by organizations and include, for example, time\n periods by type of network access or for specific network accesses."},{"id":"sc-10_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-10[1]"}],"prose":"the organization defines a time period of inactivity after which the information\n system terminates a network connection associated with a communications session;\n and"},{"id":"sc-10_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-10[2]"}],"prose":"the information system terminates the network connection associated with a\n communication session at the end of the session or after the organization-defined\n time period of inactivity."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing network disconnect\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing network disconnect\n capability"}]}]},{"id":"sc-12","class":"SP800-53","title":"Cryptographic Key Establishment and Management","parameters":[{"id":"sc-12_prm_1","label":"organization-defined requirements for key generation, distribution, storage,\n access, and destruction"}],"properties":[{"name":"label","value":"SC-12"},{"name":"sort-id","value":"sc-12"}],"links":[{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"}],"parts":[{"id":"sc-12_smt","name":"statement","prose":"The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}.","parts":[{"id":"sc-12_fr","name":"item","title":"SC-12 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-12_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"Federally approved and validated cryptography."}]}]},{"id":"sc-12_gdn","name":"guidance","prose":"Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.","links":[{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-17","rel":"related","text":"SC-17"}]},{"id":"sc-12_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-12_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12[1]"}],"prose":"defines requirements for cryptographic key:","parts":[{"id":"sc-12_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-12[1][a]"}],"prose":"generation;"},{"id":"sc-12_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-12[1][b]"}],"prose":"distribution;"},{"id":"sc-12_obj.1.c","name":"objective","properties":[{"name":"label","value":"SC-12[1][c]"}],"prose":"storage;"},{"id":"sc-12_obj.1.d","name":"objective","properties":[{"name":"label","value":"SC-12[1][d]"}],"prose":"access;"},{"id":"sc-12_obj.1.e","name":"objective","properties":[{"name":"label","value":"SC-12[1][e]"}],"prose":"destruction; and"}]},{"id":"sc-12_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12[2]"}],"prose":"establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management"}]}],"controls":[{"id":"sc-12.2","class":"SP800-53-enhancement","title":"Symmetric Keys","parameters":[{"id":"sc-12.2_prm_1","constraints":[{"detail":"NIST FIPS-compliant"}]}],"properties":[{"name":"label","value":"SC-12(2)"},{"name":"sort-id","value":"sc-12.02"}],"parts":[{"id":"sc-12.2_smt","name":"statement","prose":"The organization produces, controls, and distributes symmetric cryptographic keys\n using {{ sc-12.2_prm_1 }} key management technology and\n processes."},{"id":"sc-12.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization produces, controls, and distributes symmetric\n cryptographic keys using one of the following: ","parts":[{"id":"sc-12.2_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12(2)[1]"}],"prose":"NIST FIPS-compliant key management technology and processes; or"},{"id":"sc-12.2_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12(2)[2]"}],"prose":"NSA-approved key management technology and processes."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FIPS validated cryptographic products\\n\\nlist of NSA-approved cryptographic products\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing symmetric cryptographic key\n establishment and management"}]}]},{"id":"sc-12.3","class":"SP800-53-enhancement","title":"Asymmetric Keys","parameters":[{"id":"sc-12.3_prm_1"}],"properties":[{"name":"label","value":"SC-12(3)"},{"name":"sort-id","value":"sc-12.03"}],"parts":[{"id":"sc-12.3_smt","name":"statement","prose":"The organization produces, controls, and distributes asymmetric cryptographic keys\n using {{ sc-12.3_prm_1 }}."},{"id":"sc-12.3_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization produces, controls, and distributes asymmetric\n cryptographic keys using one of the following: ","parts":[{"id":"sc-12.3_obj.1","name":"objective","properties":[{"name":"label","value":"SC-12(3)[1]"}],"prose":"NSA-approved key management technology and processes;"},{"id":"sc-12.3_obj.2","name":"objective","properties":[{"name":"label","value":"SC-12(3)[2]"}],"prose":"approved PKI Class 3 certificates or prepositioned keying material; or"},{"id":"sc-12.3_obj.3","name":"objective","properties":[{"name":"label","value":"SC-12(3)[3]"}],"prose":"approved PKI Class 3 or Class 4 certificates and hardware security tokens that\n protect the user’s private key."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of NSA-approved cryptographic products\\n\\nlist of approved PKI Class 3 and Class 4 certificates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management\\n\\norganizational personnel with responsibilities for PKI certificates"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing asymmetric cryptographic\n key establishment and management"}]}]}]},{"id":"sc-13","class":"SP800-53","title":"Cryptographic Protection","parameters":[{"id":"sc-13_prm_1","label":"organization-defined cryptographic uses and type of cryptography required for\n each use","constraints":[{"detail":"FIPS-validated or NSA-approved cryptography"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SC-13"},{"name":"sort-id","value":"sc-13"}],"links":[{"href":"#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9","rel":"reference","text":"FIPS Publication 140"},{"href":"#6a1041fc-054e-4230-946b-2e6f4f3731bb","rel":"reference","text":"http://csrc.nist.gov/cryptval"},{"href":"#9b97ed27-3dd6-4f9a-ade5-1b43e9669794","rel":"reference","text":"http://www.cnss.gov"}],"parts":[{"id":"sc-13_smt","name":"statement","prose":"The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards."},{"id":"sc-13_gdn","name":"guidance","prose":"Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).","links":[{"href":"#ac-2","rel":"related","text":"AC-2"},{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-7","rel":"related","text":"AC-7"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#cm-11","rel":"related","text":"CM-11"},{"href":"#cp-9","rel":"related","text":"CP-9"},{"href":"#ia-3","rel":"related","text":"IA-3"},{"href":"#ia-7","rel":"related","text":"IA-7"},{"href":"#ma-4","rel":"related","text":"MA-4"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#mp-4","rel":"related","text":"MP-4"},{"href":"#mp-5","rel":"related","text":"MP-5"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-28","rel":"related","text":"SC-28"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sc-13_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-13_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-13[1]"}],"prose":"the organization defines cryptographic uses; and"},{"id":"sc-13_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-13[2]"}],"prose":"the organization defines the type of cryptography required for each use; and"},{"id":"sc-13_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-13[3]"}],"prose":"the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing cryptographic protection"}]}]},{"id":"sc-15","class":"SP800-53","title":"Collaborative Computing Devices","parameters":[{"id":"sc-15_prm_1","label":"organization-defined exceptions where remote activation is to be allowed","constraints":[{"detail":"no exceptions"}]}],"properties":[{"name":"label","value":"SC-15"},{"name":"sort-id","value":"sc-15"}],"parts":[{"id":"sc-15_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-15_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and"},{"id":"sc-15_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides an explicit indication of use to users physically present at the\n devices."},{"id":"sc-15_fr","name":"item","title":"SC-15 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-15_fr_smt.1","name":"item","properties":[{"name":"label","value":"Requirement:"}],"prose":"The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use."}]}]},{"id":"sc-15_gdn","name":"guidance","prose":"Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.","links":[{"href":"#ac-21","rel":"related","text":"AC-21"}]},{"id":"sc-15_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-15.a_obj","name":"objective","properties":[{"name":"label","value":"SC-15(a)"}],"parts":[{"id":"sc-15.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-15(a)[1]"}],"prose":"the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;"},{"id":"sc-15.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-15(a)[2]"}],"prose":"the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and"}]},{"id":"sc-15.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-15(b)"}],"prose":"the information system provides an explicit indication of use to users physically\n present at the devices."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices"}]}]},{"id":"sc-17","class":"SP800-53","title":"Public Key Infrastructure Certificates","parameters":[{"id":"sc-17_prm_1","label":"organization-defined certificate policy"}],"properties":[{"name":"label","value":"SC-17"},{"name":"sort-id","value":"sc-17"}],"links":[{"href":"#58ad6f27-af99-429f-86a8-8bb767b014b9","rel":"reference","text":"OMB Memorandum 05-24"},{"href":"#8f174e91-844e-4cf1-a72a-45c119a3a8dd","rel":"reference","text":"NIST Special Publication 800-32"},{"href":"#644f44a9-a2de-4494-9c04-cd37fba45471","rel":"reference","text":"NIST Special Publication 800-63"}],"parts":[{"id":"sc-17_smt","name":"statement","prose":"The organization issues public key certificates under an {{ sc-17_prm_1 }} or obtains public key certificates from an approved\n service provider."},{"id":"sc-17_gdn","name":"guidance","prose":"For all certificates, organizations manage information system trust stores to ensure\n only approved trust anchors are in the trust stores. This control addresses both\n certificates with visibility external to organizational information systems and\n certificates related to the internal operations of systems, for example,\n application-specific time services.","links":[{"href":"#sc-12","rel":"related","text":"SC-12"}]},{"id":"sc-17_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-17_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-17[1]"}],"prose":"defines a certificate policy for issuing public key certificates;"},{"id":"sc-17_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-17[2]"}],"prose":"issues public key certificates:","parts":[{"id":"sc-17_obj.2.a","name":"objective","properties":[{"name":"label","value":"SC-17[2][a]"}],"prose":"under an organization-defined certificate policy: or"},{"id":"sc-17_obj.2.b","name":"objective","properties":[{"name":"label","value":"SC-17[2][b]"}],"prose":"obtains public key certificates from an approved service provider."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing public key infrastructure certificates\\n\\npublic key certificate policy or policies\\n\\npublic key issuing process\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for issuing public key\n certificates\\n\\nservice providers"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing the management of public key\n infrastructure certificates"}]}]},{"id":"sc-18","class":"SP800-53","title":"Mobile Code","properties":[{"name":"label","value":"SC-18"},{"name":"sort-id","value":"sc-18"}],"links":[{"href":"#e716cd51-d1d5-4c6a-967a-22e9fbbc42f1","rel":"reference","text":"NIST Special Publication 800-28"},{"href":"#e6522953-6714-435d-a0d3-140df554c186","rel":"reference","text":"DoD Instruction 8552.01"}],"parts":[{"id":"sc-18_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-18_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Defines acceptable and unacceptable mobile code and mobile code technologies;"},{"id":"sc-18_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Establishes usage restrictions and implementation guidance for acceptable mobile\n code and mobile code technologies; and"},{"id":"sc-18_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Authorizes, monitors, and controls the use of mobile code within the information\n system."}]},{"id":"sc-18_gdn","name":"guidance","prose":"Decisions regarding the employment of mobile code within organizational information\n systems are based on the potential for the code to cause damage to the systems if\n used maliciously. Mobile code technologies include, for example, Java, JavaScript,\n ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage\n restrictions and implementation guidance apply to both the selection and use of\n mobile code installed on servers and mobile code downloaded and executed on\n individual workstations and devices (e.g., smart phones). Mobile code policy and\n procedures address preventing the development, acquisition, or introduction of\n unacceptable mobile code within organizational information systems.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#cm-2","rel":"related","text":"CM-2"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"sc-18_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-18.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-18(a)"}],"prose":"defines acceptable and unacceptable mobile code and mobile code technologies;"},{"id":"sc-18.b_obj","name":"objective","properties":[{"name":"label","value":"SC-18(b)"}],"parts":[{"id":"sc-18.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-18(b)[1]"}],"prose":"establishes usage restrictions for acceptable mobile code and mobile code\n technologies;"},{"id":"sc-18.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-18(b)[2]"}],"prose":"establishes implementation guidance for acceptable mobile code and mobile code\n technologies;"}]},{"id":"sc-18.c_obj","name":"objective","properties":[{"name":"label","value":"SC-18(c)"}],"parts":[{"id":"sc-18.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-18(c)[1]"}],"prose":"authorizes the use of mobile code within the information system;"},{"id":"sc-18.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-18(c)[2]"}],"prose":"monitors the use of mobile code within the information system; and"},{"id":"sc-18.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-18(c)[3]"}],"prose":"controls the use of mobile code within the information system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing mobile code\\n\\nmobile code usage restrictions, mobile code implementation policy and\n procedures\\n\\nlist of acceptable mobile code and mobile code technologies\\n\\nlist of unacceptable mobile code and mobile technologies\\n\\nauthorization records\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing mobile code"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for controlling, authorizing, monitoring, and restricting\n mobile code\\n\\nautomated mechanisms supporting and/or implementing the management of mobile\n code\\n\\nautomated mechanisms supporting and/or implementing the monitoring of mobile\n code"}]}]},{"id":"sc-19","class":"SP800-53","title":"Voice Over Internet Protocol","properties":[{"name":"label","value":"SC-19"},{"name":"sort-id","value":"sc-19"}],"links":[{"href":"#7783f3e7-09b3-478b-9aa2-4a76dfd0ea90","rel":"reference","text":"NIST Special Publication 800-58"}],"parts":[{"id":"sc-19_smt","name":"statement","prose":"The organization:","parts":[{"id":"sc-19_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Establishes usage restrictions and implementation guidance for Voice over Internet\n Protocol (VoIP) technologies based on the potential to cause damage to the\n information system if used maliciously; and"},{"id":"sc-19_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Authorizes, monitors, and controls the use of VoIP within the information\n system."}]},{"id":"sc-19_gdn","name":"guidance","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-15","rel":"related","text":"SC-15"}]},{"id":"sc-19_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"sc-19.a_obj","name":"objective","properties":[{"name":"label","value":"SC-19(a)"}],"parts":[{"id":"sc-19.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-19(a)[1]"}],"prose":"establishes usage restrictions for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;"},{"id":"sc-19.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-19(a)[2]"}],"prose":"establishes implementation guidance for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;"}]},{"id":"sc-19.b_obj","name":"objective","properties":[{"name":"label","value":"SC-19(b)"}],"parts":[{"id":"sc-19.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-19(b)[1]"}],"prose":"authorizes the use of VoIP within the information system;"},{"id":"sc-19.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-19(b)[2]"}],"prose":"monitors the use of VoIP within the information system; and"},{"id":"sc-19.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-19(b)[3]"}],"prose":"controls the use of VoIP within the information system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing VoIP\\n\\nVoIP usage restrictions\\n\\nVoIP implementation guidance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing VoIP"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational process for authorizing, monitoring, and controlling VoIP\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling VoIP"}]}]},{"id":"sc-20","class":"SP800-53","title":"Secure Name / Address Resolution Service (authoritative Source)","properties":[{"name":"label","value":"SC-20"},{"name":"sort-id","value":"sc-20"}],"links":[{"href":"#28115a56-da6b-4d44-b1df-51dd7f048a3e","rel":"reference","text":"OMB Memorandum 08-23"},{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-20_smt","name":"statement","prose":"The information system:","parts":[{"id":"sc-20_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and"},{"id":"sc-20_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace."}]},{"id":"sc-20_gdn","name":"guidance","prose":"This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.","links":[{"href":"#au-10","rel":"related","text":"AU-10"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-12","rel":"related","text":"SC-12"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-20_obj","name":"objective","prose":"Determine if the information system:","parts":[{"id":"sc-20.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-20(a)"}],"prose":"provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;"},{"id":"sc-20.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-20(b)"}],"prose":"provides the means to, when operating as part of a distributed, hierarchical\n namespace:","parts":[{"id":"sc-20.b_obj.1","name":"objective","properties":[{"name":"label","value":"SC-20(b)[1]"}],"prose":"indicate the security status of child zones; and"},{"id":"sc-20.b_obj.2","name":"objective","properties":[{"name":"label","value":"SC-20(b)[2]"}],"prose":"enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing secure name/address resolution\n service"}]}]},{"id":"sc-21","class":"SP800-53","title":"Secure Name / Address Resolution Service (recursive or Caching Resolver)","properties":[{"name":"label","value":"SC-21"},{"name":"sort-id","value":"sc-21"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-21_smt","name":"statement","prose":"The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources."},{"id":"sc-21_gdn","name":"guidance","prose":"Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.","links":[{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-22","rel":"related","text":"SC-22"}]},{"id":"sc-21_obj","name":"objective","prose":"Determine if the information system: ","parts":[{"id":"sc-21_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-21[1]"}],"prose":"requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-21[2]"}],"prose":"requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;"},{"id":"sc-21_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-21[3]"}],"prose":"performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and"},{"id":"sc-21_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-21[4]"}],"prose":"performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services"}]}]},{"id":"sc-22","class":"SP800-53","title":"Architecture and Provisioning for Name / Address Resolution Service","properties":[{"name":"label","value":"SC-22"},{"name":"sort-id","value":"sc-22"}],"links":[{"href":"#6af1e841-672c-46c4-b121-96f603d04be3","rel":"reference","text":"NIST Special Publication 800-81"}],"parts":[{"id":"sc-22_smt","name":"statement","prose":"The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation."},{"id":"sc-22_gdn","name":"guidance","prose":"Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).","links":[{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-20","rel":"related","text":"SC-20"},{"href":"#sc-21","rel":"related","text":"SC-21"},{"href":"#sc-24","rel":"related","text":"SC-24"}]},{"id":"sc-22_obj","name":"objective","prose":"Determine if the information systems that collectively provide name/address\n resolution service for an organization: ","parts":[{"id":"sc-22_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-22[1]"}],"prose":"are fault tolerant; and"},{"id":"sc-22_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-22[2]"}],"prose":"implement internal/external role separation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation"}]}]},{"id":"sc-23","class":"SP800-53","title":"Session Authenticity","properties":[{"name":"label","value":"SC-23"},{"name":"sort-id","value":"sc-23"}],"links":[{"href":"#90c5bc98-f9c4-44c9-98b7-787422f0999c","rel":"reference","text":"NIST Special Publication 800-52"},{"href":"#99f331f2-a9f0-46c2-9856-a3cbb9b89442","rel":"reference","text":"NIST Special Publication 800-77"},{"href":"#1ebdf782-d95d-4a7b-8ec7-ee860951eced","rel":"reference","text":"NIST Special Publication 800-95"}],"parts":[{"id":"sc-23_smt","name":"statement","prose":"The information system protects the authenticity of communications sessions."},{"id":"sc-23_gdn","name":"guidance","prose":"This control addresses communications protection at the session, versus packet level\n (e.g., sessions in service-oriented architectures providing web-based services) and\n establishes grounds for confidence at both ends of communications sessions in ongoing\n identities of other parties and in the validity of information transmitted.\n Authenticity protection includes, for example, protecting against man-in-the-middle\n attacks/session hijacking and the insertion of false information into sessions.","links":[{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-10","rel":"related","text":"SC-10"},{"href":"#sc-11","rel":"related","text":"SC-11"}]},{"id":"sc-23_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system protects the authenticity of communications\n sessions."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing session authenticity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing session authenticity"}]}]},{"id":"sc-28","class":"SP800-53","title":"Protection of Information at Rest","parameters":[{"id":"sc-28_prm_1","constraints":[{"detail":"confidentiality AND integrity"}]},{"id":"sc-28_prm_2","label":"organization-defined information at rest"}],"properties":[{"name":"label","value":"SC-28"},{"name":"sort-id","value":"sc-28"}],"links":[{"href":"#81f09e01-d0b0-4ae2-aa6a-064ed9950070","rel":"reference","text":"NIST Special Publication 800-56"},{"href":"#a6c774c0-bf50-4590-9841-2a5c1c91ac6f","rel":"reference","text":"NIST Special Publication 800-57"},{"href":"#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e","rel":"reference","text":"NIST Special Publication 800-111"}],"parts":[{"id":"sc-28_smt","name":"statement","prose":"The information system protects the {{ sc-28_prm_1 }} of {{ sc-28_prm_2 }}.","parts":[{"id":"sc-28_fr","name":"item","title":"SC-28 Additional FedRAMP Requirements and Guidance","parts":[{"id":"sc-28_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"The organization supports the capability to use cryptographic mechanisms to protect information at rest."}]}]},{"id":"sc-28_gdn","name":"guidance","prose":"This control addresses the confidentiality and integrity of information at rest and\n covers user information and system information. Information at rest refers to the\n state of information when it is located on storage devices as specific components of\n information systems. System-related information requiring protection includes, for\n example, configurations or rule sets for firewalls, gateways, intrusion\n detection/prevention systems, filtering routers, and authenticator content.\n Organizations may employ different mechanisms to achieve confidentiality and\n integrity protections, including the use of cryptographic mechanisms and file share\n scanning. Integrity protection can be achieved, for example, by implementing\n Write-Once-Read-Many (WORM) technologies. Organizations may also employ other\n security controls including, for example, secure off-line storage in lieu of online\n storage when adequate protection of information at rest cannot otherwise be achieved\n and/or continuous monitoring to identify malicious code at rest.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"sc-28_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-28_obj.1","name":"objective","properties":[{"name":"label","value":"SC-28[1]"}],"prose":"the organization defines information at rest requiring one or more of the\n following:","parts":[{"id":"sc-28_obj.1.a","name":"objective","properties":[{"name":"label","value":"SC-28[1][a]"}],"prose":"confidentiality protection; and/or"},{"id":"sc-28_obj.1.b","name":"objective","properties":[{"name":"label","value":"SC-28[1][b]"}],"prose":"integrity protection;"}]},{"id":"sc-28_obj.2","name":"objective","properties":[{"name":"label","value":"SC-28[2]"}],"prose":"the information system protects:","parts":[{"id":"sc-28_obj.2.a","name":"objective","properties":[{"name":"label","value":"SC-28[2][a]"}],"prose":"the confidentiality of organization-defined information at rest; and/or"},{"id":"sc-28_obj.2.b","name":"objective","properties":[{"name":"label","value":"SC-28[2][b]"}],"prose":"the integrity of organization-defined information at rest."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\nlist of information at rest requiring confidentiality and integrity\n protections\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing confidentiality and integrity\n protections for information at rest"}]}],"controls":[{"id":"sc-28.1","class":"SP800-53-enhancement","title":"Cryptographic Protection","parameters":[{"id":"sc-28.1_prm_1","label":"organization-defined information"},{"id":"sc-28.1_prm_2","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"SC-28(1)"},{"name":"sort-id","value":"sc-28.01"}],"parts":[{"id":"sc-28.1_smt","name":"statement","prose":"The information system implements cryptographic mechanisms to prevent unauthorized\n disclosure and modification of {{ sc-28.1_prm_1 }} on {{ sc-28.1_prm_2 }}."},{"id":"sc-28.1_gdn","name":"guidance","prose":"Selection of cryptographic mechanisms is based on the need to protect the\n confidentiality and integrity of organizational information. The strength of\n mechanism is commensurate with the security category and/or classification of the\n information. This control enhancement applies to significant concentrations of\n digital media in organizational areas designated for media storage and also to\n limited quantities of media generally associated with information system\n components in operational environments (e.g., portable storage devices, mobile\n devices). Organizations have the flexibility to either encrypt all information on\n storage devices (i.e., full disk encryption) or encrypt specific data structures\n (e.g., files, records, or fields). Organizations employing cryptographic\n mechanisms to protect information at rest also consider cryptographic key\n management solutions.","links":[{"href":"#ac-19","rel":"related","text":"AC-19"},{"href":"#sc-12","rel":"related","text":"SC-12"}]},{"id":"sc-28.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"sc-28.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-28(1)[1]"}],"prose":"the organization defines information requiring cryptographic protection;"},{"id":"sc-28.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SC-28(1)[2]"}],"prose":"the organization defines information system components with\n organization-defined information requiring cryptographic protection; and"},{"id":"sc-28.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SC-28(1)[3]"}],"prose":"the information system employs cryptographic mechanisms to prevent unauthorized\n disclosure and modification of organization-defined information on\n organization-defined information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Cryptographic mechanisms implementing confidentiality and integrity protections\n for information at rest"}]}]}]},{"id":"sc-39","class":"SP800-53","title":"Process Isolation","properties":[{"name":"label","value":"SC-39"},{"name":"sort-id","value":"sc-39"}],"parts":[{"id":"sc-39_smt","name":"statement","prose":"The information system maintains a separate execution domain for each executing\n process."},{"id":"sc-39_gdn","name":"guidance","prose":"Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-6","rel":"related","text":"AC-6"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-5","rel":"related","text":"SA-5"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sc-2","rel":"related","text":"SC-2"},{"href":"#sc-3","rel":"related","text":"SC-3"}]},{"id":"sc-39_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system maintains a separate execution domain for each\n executing process."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Information system developers/integrators\\n\\ninformation system security architect"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process"}]}]}]},{"id":"si","class":"family","title":"System and Information Integrity","controls":[{"id":"si-1","class":"SP800-53","title":"System and Information Integrity Policy and Procedures","parameters":[{"id":"si-1_prm_1","label":"organization-defined personnel or roles"},{"id":"si-1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least every 3 years"}]},{"id":"si-1_prm_3","label":"organization-defined frequency","constraints":[{"detail":"at least annually"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-1"},{"name":"sort-id","value":"si-01"}],"links":[{"href":"#5c201b63-0768-417b-ac22-3f014e3941b2","rel":"reference","text":"NIST Special Publication 800-12"},{"href":"#9cb3d8fe-2127-48ba-821e-cdd2d7aee921","rel":"reference","text":"NIST Special Publication 800-100"}],"parts":[{"id":"si-1_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-1_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Develops, documents, and disseminates to {{ si-1_prm_1 }}:","parts":[{"id":"si-1_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and"},{"id":"si-1_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and"}]},{"id":"si-1_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reviews and updates the current:","parts":[{"id":"si-1_smt.b.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"System and information integrity policy {{ si-1_prm_2 }};\n and"},{"id":"si-1_smt.b.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"System and information integrity procedures {{ si-1_prm_3 }}."}]}]},{"id":"si-1_gdn","name":"guidance","prose":"This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.","links":[{"href":"#pm-9","rel":"related","text":"PM-9"}]},{"id":"si-1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-1.a_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)"}],"parts":[{"id":"si-1.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)"}],"parts":[{"id":"si-1.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(1)[1]"}],"prose":"develops and documents a system and information integrity policy that\n addresses:","parts":[{"id":"si-1.a.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][a]"}],"prose":"purpose;"},{"id":"si-1.a.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][b]"}],"prose":"scope;"},{"id":"si-1.a.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][c]"}],"prose":"roles;"},{"id":"si-1.a.1_obj.1.d","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][d]"}],"prose":"responsibilities;"},{"id":"si-1.a.1_obj.1.e","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][e]"}],"prose":"management commitment;"},{"id":"si-1.a.1_obj.1.f","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][f]"}],"prose":"coordination among organizational entities;"},{"id":"si-1.a.1_obj.1.g","name":"objective","properties":[{"name":"label","value":"SI-1(a)(1)[1][g]"}],"prose":"compliance;"}]},{"id":"si-1.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(1)[2]"}],"prose":"defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;"},{"id":"si-1.a.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-1(a)(1)[3]"}],"prose":"disseminates the system and information integrity policy to\n organization-defined personnel or roles;"}]},{"id":"si-1.a.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(a)(2)"}],"parts":[{"id":"si-1.a.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(2)[1]"}],"prose":"develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;"},{"id":"si-1.a.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(a)(2)[2]"}],"prose":"defines personnel or roles to whom the procedures are to be\n disseminated;"},{"id":"si-1.a.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-1(a)(2)[3]"}],"prose":"disseminates the procedures to organization-defined personnel or roles;"}]}]},{"id":"si-1.b_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)"}],"parts":[{"id":"si-1.b.1_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(1)"}],"parts":[{"id":"si-1.b.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(1)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity policy;"},{"id":"si-1.b.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(1)[2]"}],"prose":"reviews and updates the current system and information integrity policy with\n the organization-defined frequency;"}]},{"id":"si-1.b.2_obj","name":"objective","properties":[{"name":"label","value":"SI-1(b)(2)"}],"parts":[{"id":"si-1.b.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(2)[1]"}],"prose":"defines the frequency to review and update the current system and\n information integrity procedures; and"},{"id":"si-1.b.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-1(b)(2)[2]"}],"prose":"reviews and updates the current system and information integrity procedures\n with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy and procedures\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities"}]}]},{"id":"si-2","class":"SP800-53","title":"Flaw Remediation","parameters":[{"id":"si-2_prm_1","label":"organization-defined time period","constraints":[{"detail":"within 30 days of release of updates"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-2"},{"name":"sort-id","value":"si-02"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"},{"href":"#080f8068-5e3e-435e-9790-d22ba4722693","rel":"reference","text":"NIST Special Publication 800-128"}],"parts":[{"id":"si-2_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-2_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Identifies, reports, and corrects information system flaws;"},{"id":"si-2_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;"},{"id":"si-2_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and"},{"id":"si-2_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Incorporates flaw remediation into the organizational configuration management\n process."}]},{"id":"si-2_gdn","name":"guidance","prose":"Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.","links":[{"href":"#ca-2","rel":"related","text":"CA-2"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#cm-5","rel":"related","text":"CM-5"},{"href":"#cm-8","rel":"related","text":"CM-8"},{"href":"#ma-2","rel":"related","text":"MA-2"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sa-10","rel":"related","text":"SA-10"},{"href":"#sa-11","rel":"related","text":"SA-11"},{"href":"#si-11","rel":"related","text":"SI-11"}]},{"id":"si-2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.a_obj","name":"objective","properties":[{"name":"label","value":"SI-2(a)"}],"parts":[{"id":"si-2.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[1]"}],"prose":"identifies information system flaws;"},{"id":"si-2.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[2]"}],"prose":"reports information system flaws;"},{"id":"si-2.a_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(a)[3]"}],"prose":"corrects information system flaws;"}]},{"id":"si-2.b_obj","name":"objective","properties":[{"name":"label","value":"SI-2(b)"}],"parts":[{"id":"si-2.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(b)[1]"}],"prose":"tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;"},{"id":"si-2.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(b)[2]"}],"prose":"tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;"}]},{"id":"si-2.c_obj","name":"objective","properties":[{"name":"label","value":"SI-2(c)"}],"parts":[{"id":"si-2.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(c)[1]"}],"prose":"defines the time period within which to install security-relevant software\n updates after the release of the updates;"},{"id":"si-2.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(c)[2]"}],"prose":"defines the time period within which to install security-relevant firmware\n updates after the release of the updates;"},{"id":"si-2.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(c)[3]"}],"prose":"installs software updates within the organization-defined time period of the\n release of the updates;"},{"id":"si-2.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(c)[4]"}],"prose":"installs firmware updates within the organization-defined time period of the\n release of the updates; and"}]},{"id":"si-2.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(d)"}],"prose":"incorporates flaw remediation into the organizational configuration management\n process."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates"}]}],"controls":[{"id":"si-2.2","class":"SP800-53-enhancement","title":"Automated Flaw Remediation Status","parameters":[{"id":"si-2.2_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-2(2)"},{"name":"sort-id","value":"si-02.02"}],"parts":[{"id":"si-2.2_smt","name":"statement","prose":"The organization employs automated mechanisms {{ si-2.2_prm_1 }} to\n determine the state of information system components with regard to flaw\n remediation."},{"id":"si-2.2_gdn","name":"guidance","links":[{"href":"#cm-6","rel":"related","text":"CM-6"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"si-2.2_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.2_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(2)[1]"}],"prose":"defines a frequency to employ automated mechanisms to determine the state of\n information system components with regard to flaw remediation; and"},{"id":"si-2.2_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(2)[2]"}],"prose":"employs automated mechanisms with the organization-defined frequency to\n determine the state of information system components with regard to flaw\n remediation."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nautomated mechanisms supporting centralized management of flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms used to determine the state of information system\n components with regard to flaw remediation"}]}]},{"id":"si-2.3","class":"SP800-53-enhancement","title":"Time to Remediate Flaws / Benchmarks for Corrective Actions","parameters":[{"id":"si-2.3_prm_1","label":"organization-defined benchmarks"}],"properties":[{"name":"label","value":"SI-2(3)"},{"name":"sort-id","value":"si-02.03"}],"parts":[{"id":"si-2.3_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-2.3_smt.a","name":"item","properties":[{"name":"label","value":"(a)"}],"prose":"Measures the time between flaw identification and flaw remediation; and"},{"id":"si-2.3_smt.b","name":"item","properties":[{"name":"label","value":"(b)"}],"prose":"Establishes {{ si-2.3_prm_1 }} for taking corrective\n actions."}]},{"id":"si-2.3_gdn","name":"guidance","prose":"This control enhancement requires organizations to determine the current time it\n takes on the average to correct information system flaws after such flaws have\n been identified, and subsequently establish organizational benchmarks (i.e., time\n frames) for taking corrective actions. Benchmarks can be established by type of\n flaw and/or severity of the potential vulnerability if the flaw can be\n exploited."},{"id":"si-2.3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-2.3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-2(3)(a)"}],"prose":"measures the time between flaw identification and flaw remediation;","links":[{"href":"#si-2.3_smt.a","rel":"corresp","text":"SI-2(3)(a)"}]},{"id":"si-2.3.b_obj","name":"objective","properties":[{"name":"label","value":"SI-2(3)(b)"}],"parts":[{"id":"si-2.3.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(3)(b)[1]"}],"prose":"defines benchmarks for taking corrective actions; and"},{"id":"si-2.3.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-2(3)(b)[2]"}],"prose":"establishes organization-defined benchmarks for taking corrective\n actions."}],"links":[{"href":"#si-2.3_smt.b","rel":"corresp","text":"SI-2(3)(b)"}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of benchmarks for taking corrective action on flaws identified\\n\\nrecords providing time stamps of flaw identification and subsequent flaw\n remediation activities\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\nautomated mechanisms used to measure the time between flaw identification and\n flaw remediation"}]}]}]},{"id":"si-3","class":"SP800-53","title":"Malicious Code Protection","parameters":[{"id":"si-3_prm_1","label":"organization-defined frequency","constraints":[{"detail":"at least weekly"}]},{"id":"si-3_prm_2","constraints":[{"detail":"to include endpoints"}]},{"id":"si-3_prm_3","constraints":[{"detail":"to include alerting administrator or defined security personnel"}]},{"id":"si-3_prm_4","depends-on":"si-3_prm_3","label":"organization-defined action"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-3"},{"name":"sort-id","value":"si-03"}],"links":[{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"}],"parts":[{"id":"si-3_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-3_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;"},{"id":"si-3_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;"},{"id":"si-3_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Configures malicious code protection mechanisms to:","parts":[{"id":"si-3_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and"},{"id":"si-3_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"\n {{ si-3_prm_3 }} in response to malicious code detection;\n and"}]},{"id":"si-3_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system."}]},{"id":"si-3_gdn","name":"guidance","prose":"Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.","links":[{"href":"#cm-3","rel":"related","text":"CM-3"},{"href":"#mp-2","rel":"related","text":"MP-2"},{"href":"#sa-4","rel":"related","text":"SA-4"},{"href":"#sa-8","rel":"related","text":"SA-8"},{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sa-13","rel":"related","text":"SA-13"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-44","rel":"related","text":"SC-44"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-4","rel":"related","text":"SI-4"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-3_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-3.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(a)"}],"prose":"employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:","parts":[{"id":"si-3.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-3(a)[1]"}],"prose":"entry points;"},{"id":"si-3.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-3(a)[2]"}],"prose":"exit points;"}]},{"id":"si-3.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(b)"}],"prose":"updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);"},{"id":"si-3.c_obj","name":"objective","properties":[{"name":"label","value":"SI-3(c)"}],"parts":[{"id":"si-3.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-3(c)[1]"}],"prose":"defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;"},{"id":"si-3.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-3(c)[2]"}],"prose":"defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;"},{"id":"si-3.c_obj.3","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3]"}],"parts":[{"id":"si-3.c.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(c)[3](1)"}],"prose":"configures malicious code protection mechanisms to:","parts":[{"id":"si-3.c.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[a]"}],"prose":"perform periodic scans of the information system with the\n organization-defined frequency;"},{"id":"si-3.c.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](1)[b]"}],"prose":"perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;"}]},{"id":"si-3.c.2_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(c)[3](2)"}],"prose":"configures malicious code protection mechanisms to do one or more of the\n following:","parts":[{"id":"si-3.c.2_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[a]"}],"prose":"block malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[b]"}],"prose":"quarantine malicious code in response to malicious code detection;"},{"id":"si-3.c.2_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[c]"}],"prose":"send alert to administrator in response to malicious code detection;\n and/or"},{"id":"si-3.c.2_obj.3.d","name":"objective","properties":[{"name":"label","value":"SI-3(c)[3](2)[d]"}],"prose":"initiate organization-defined action in response to malicious code\n detection;"}]}]}]},{"id":"si-3.d_obj","name":"objective","properties":[{"name":"label","value":"SI-3(d)"}],"parts":[{"id":"si-3.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(d)[1]"}],"prose":"addresses the receipt of false positives during malicious code detection and\n eradication; and"},{"id":"si-3.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-3(d)[2]"}],"prose":"addresses the resulting potential impact on the availability of the information\n system."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions"}]}],"controls":[{"id":"si-3.1","class":"SP800-53-enhancement","title":"Central Management","properties":[{"name":"label","value":"SI-3(1)"},{"name":"sort-id","value":"si-03.01"}],"parts":[{"id":"si-3.1_smt","name":"statement","prose":"The organization centrally manages malicious code protection mechanisms."},{"id":"si-3.1_gdn","name":"guidance","prose":"Central management is the organization-wide management and implementation of\n malicious code protection mechanisms. Central management includes planning,\n implementing, assessing, authorizing, and monitoring the organization-defined,\n centrally managed flaw malicious code protection security controls.","links":[{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#si-8","rel":"related","text":"SI-8"}]},{"id":"si-3.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization centrally manages malicious code protection\n mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for central management of malicious code protection\n mechanisms\\n\\nautomated mechanisms supporting and/or implementing central management of\n malicious code protection mechanisms"}]}]},{"id":"si-3.2","class":"SP800-53-enhancement","title":"Automatic Updates","properties":[{"name":"label","value":"SI-3(2)"},{"name":"sort-id","value":"si-03.02"}],"parts":[{"id":"si-3.2_smt","name":"statement","prose":"The information system automatically updates malicious code protection\n mechanisms."},{"id":"si-3.2_gdn","name":"guidance","prose":"Malicious code protection mechanisms include, for example, signature definitions.\n Due to information system integrity and availability concerns, organizations give\n careful consideration to the methodology used to carry out automatic updates.","links":[{"href":"#si-8","rel":"related","text":"SI-8"}]},{"id":"si-3.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system automatically updates malicious code\n protection mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing automatic updates to\n malicious code protection capability"}]}]},{"id":"si-3.7","class":"SP800-53-enhancement","title":"Nonsignature-based Detection","properties":[{"name":"label","value":"SI-3(7)"},{"name":"sort-id","value":"si-03.07"}],"parts":[{"id":"si-3.7_smt","name":"statement","prose":"The information system implements nonsignature-based malicious code detection\n mechanisms."},{"id":"si-3.7_gdn","name":"guidance","prose":"Nonsignature-based detection mechanisms include, for example, the use of\n heuristics to detect, analyze, and describe the characteristics or behavior of\n malicious code and to provide safeguards against malicious code for which\n signatures do not yet exist or for which existing signatures may not be effective.\n This includes polymorphic malicious code (i.e., code that changes signatures when\n it replicates). This control enhancement does not preclude the use of\n signature-based detection mechanisms."},{"id":"si-3.7_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system implements non signature-based malicious code\n detection mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\ninformation system design documentation\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing nonsignature-based\n malicious code protection capability"}]}]}]},{"id":"si-4","class":"SP800-53","title":"Information System Monitoring","parameters":[{"id":"si-4_prm_1","label":"organization-defined monitoring objectives"},{"id":"si-4_prm_2","label":"organization-defined techniques and methods"},{"id":"si-4_prm_3","label":"organization-defined information system monitoring information"},{"id":"si-4_prm_4","label":"organization-defined personnel or roles"},{"id":"si-4_prm_5"},{"id":"si-4_prm_6","depends-on":"si-4_prm_5","label":"organization-defined frequency"}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4"},{"name":"sort-id","value":"si-04"}],"links":[{"href":"#be95fb85-a53f-4624-bdbb-140075500aa3","rel":"reference","text":"NIST Special Publication 800-61"},{"href":"#6d431fee-658f-4a0e-9f2e-a38b5d398fab","rel":"reference","text":"NIST Special Publication 800-83"},{"href":"#672fd561-b92b-4713-b9cf-6c9d9456728b","rel":"reference","text":"NIST Special Publication 800-92"},{"href":"#d1b1d689-0f66-4474-9924-c81119758dc1","rel":"reference","text":"NIST Special Publication 800-94"},{"href":"#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b","rel":"reference","text":"NIST Special Publication 800-137"}],"parts":[{"id":"si-4_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-4_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Monitors the information system to detect:","parts":[{"id":"si-4_smt.a.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and"},{"id":"si-4_smt.a.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"Unauthorized local, network, and remote connections;"}]},{"id":"si-4_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Identifies unauthorized use of the information system through {{ si-4_prm_2 }};"},{"id":"si-4_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Deploys monitoring devices:","parts":[{"id":"si-4_smt.c.1","name":"item","properties":[{"name":"label","value":"1."}],"prose":"Strategically within the information system to collect organization-determined\n essential information; and"},{"id":"si-4_smt.c.2","name":"item","properties":[{"name":"label","value":"2."}],"prose":"At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;"},{"id":"si-4_smt.e","name":"item","properties":[{"name":"label","value":"e."}],"prose":"Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4_smt.f","name":"item","properties":[{"name":"label","value":"f."}],"prose":"Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and"},{"id":"si-4_smt.g","name":"item","properties":[{"name":"label","value":"g."}],"prose":"Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}."},{"id":"si-4_fr","name":"item","title":"SI-4 Additional FedRAMP Requirements and Guidance","parts":[{"id":"si-4_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"See US-CERT Incident Response Reporting Guidelines."}]}]},{"id":"si-4_gdn","name":"guidance","prose":"Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.","links":[{"href":"#ac-3","rel":"related","text":"AC-3"},{"href":"#ac-4","rel":"related","text":"AC-4"},{"href":"#ac-8","rel":"related","text":"AC-8"},{"href":"#ac-17","rel":"related","text":"AC-17"},{"href":"#au-2","rel":"related","text":"AU-2"},{"href":"#au-6","rel":"related","text":"AU-6"},{"href":"#au-7","rel":"related","text":"AU-7"},{"href":"#au-9","rel":"related","text":"AU-9"},{"href":"#au-12","rel":"related","text":"AU-12"},{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#pe-3","rel":"related","text":"PE-3"},{"href":"#ra-5","rel":"related","text":"RA-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#sc-26","rel":"related","text":"SC-26"},{"href":"#sc-35","rel":"related","text":"SC-35"},{"href":"#si-3","rel":"related","text":"SI-3"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.a_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)"}],"parts":[{"id":"si-4.a.1_obj","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)"}],"parts":[{"id":"si-4.a.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(a)(1)[1]"}],"prose":"defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;"},{"id":"si-4.a.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(a)(1)[2]"}],"prose":"monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:","parts":[{"id":"si-4.a.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][a]"}],"prose":"attacks;"},{"id":"si-4.a.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(a)(1)[2][b]"}],"prose":"indicators of potential attacks;"}]}]},{"id":"si-4.a.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(a)(2)"}],"prose":"monitors the information system to detect unauthorized:","parts":[{"id":"si-4.a.2_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[1]"}],"prose":"local connections;"},{"id":"si-4.a.2_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[2]"}],"prose":"network connections;"},{"id":"si-4.a.2_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(a)(2)[3]"}],"prose":"remote connections;"}]}]},{"id":"si-4.b_obj","name":"objective","properties":[{"name":"label","value":"SI-4(b)"}],"parts":[{"id":"si-4.b.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(b)(1)"}],"prose":"defines techniques and methods to identify unauthorized use of the information\n system;"},{"id":"si-4.b.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(b)(2)"}],"prose":"identifies unauthorized use of the information system through\n organization-defined techniques and methods;"}]},{"id":"si-4.c_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(c)"}],"prose":"deploys monitoring devices:","parts":[{"id":"si-4.c_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(c)[1]"}],"prose":"strategically within the information system to collect organization-determined\n essential information;"},{"id":"si-4.c_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(c)[2]"}],"prose":"at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;"}]},{"id":"si-4.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(d)"}],"prose":"protects information obtained from intrusion-monitoring tools from\n unauthorized:","parts":[{"id":"si-4.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-4(d)[1]"}],"prose":"access;"},{"id":"si-4.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-4(d)[2]"}],"prose":"modification;"},{"id":"si-4.d_obj.3","name":"objective","properties":[{"name":"label","value":"SI-4(d)[3]"}],"prose":"deletion;"}]},{"id":"si-4.e_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(e)"}],"prose":"heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;"},{"id":"si-4.f_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"label","value":"SI-4(f)"}],"prose":"obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;"},{"id":"si-4.g_obj","name":"objective","properties":[{"name":"label","value":"SI-4(g)"}],"parts":[{"id":"si-4.g_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[1]"}],"prose":"defines personnel or roles to whom information system monitoring information is\n to be provided;"},{"id":"si-4.g_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[2]"}],"prose":"defines information system monitoring information to be provided to\n organization-defined personnel or roles;"},{"id":"si-4.g_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(g)[3]"}],"prose":"defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;"},{"id":"si-4.g_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(g)[4]"}],"prose":"provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:","parts":[{"id":"si-4.g_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][a]"}],"prose":"as needed; and/or"},{"id":"si-4.g_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-4(g)[4][b]"}],"prose":"with the organization-defined frequency."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability"}]}],"controls":[{"id":"si-4.1","class":"SP800-53-enhancement","title":"System-wide Intrusion Detection System","properties":[{"name":"label","value":"SI-4(1)"},{"name":"sort-id","value":"si-04.01"}],"parts":[{"id":"si-4.1_smt","name":"statement","prose":"The organization connects and configures individual intrusion detection tools into\n an information system-wide intrusion detection system."},{"id":"si-4.1_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(1)[1]"}],"prose":"connects individual intrusion detection tools into an information system-wide\n intrusion detection system; and"},{"id":"si-4.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(1)[2]"}],"prose":"configures individual intrusion detection tools into an information system-wide\n intrusion detection system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability"}]}]},{"id":"si-4.2","class":"SP800-53-enhancement","title":"Automated Tools for Real-time Analysis","properties":[{"name":"label","value":"SI-4(2)"},{"name":"sort-id","value":"si-04.02"}],"parts":[{"id":"si-4.2_smt","name":"statement","prose":"The organization employs automated tools to support near real-time analysis of\n events."},{"id":"si-4.2_gdn","name":"guidance","prose":"Automated tools include, for example, host-based, network-based, transport-based,\n or storage-based event monitoring tools or Security Information and Event\n Management (SIEM) technologies that provide real time analysis of alerts and/or\n notifications generated by organizational information systems."},{"id":"si-4.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization employs automated tools to support near real-time\n analysis of events."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for incident\n response/management"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for near real-time analysis of events\\n\\norganizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system\n monitoring\\n\\nautomated mechanisms/tools supporting and/or implementing analysis of\n events"}]}]},{"id":"si-4.4","class":"SP800-53-enhancement","title":"Inbound and Outbound Communications Traffic","parameters":[{"id":"si-4.4_prm_1","label":"organization-defined frequency","constraints":[{"detail":"continuously"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4(4)"},{"name":"sort-id","value":"si-04.04"}],"parts":[{"id":"si-4.4_smt","name":"statement","prose":"The information system monitors inbound and outbound communications traffic\n {{ si-4.4_prm_1 }} for unusual or unauthorized activities or\n conditions."},{"id":"si-4.4_gdn","name":"guidance","prose":"Unusual/unauthorized activities or conditions related to information system\n inbound and outbound communications traffic include, for example, internal traffic\n that indicates the presence of malicious code within organizational information\n systems or propagating among system components, the unauthorized exporting of\n information, or signaling to external information systems. Evidence of malicious\n code is used to identify potentially compromised information systems or\n information system components."},{"id":"si-4.4_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.4_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(4)[1]"}],"prose":"defines a frequency to monitor:","parts":[{"id":"si-4.4_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-4(4)[1][a]"}],"prose":"inbound communications traffic for unusual or unauthorized activities or\n conditions;"},{"id":"si-4.4_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-4(4)[1][b]"}],"prose":"outbound communications traffic for unusual or unauthorized activities or\n conditions;"}]},{"id":"si-4.4_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(4)[2]"}],"prose":"monitors, with the organization-defined frequency:","parts":[{"id":"si-4.4_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-4(4)[2][a]"}],"prose":"inbound communications traffic for unusual or unauthorized activities or\n conditions; and"},{"id":"si-4.4_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-4(4)[2][b]"}],"prose":"outbound communications traffic for unusual or unauthorized activities or\n conditions."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability/information system monitoring\\n\\nautomated mechanisms supporting and/or implementing monitoring of\n inbound/outbound communications traffic"}]}]},{"id":"si-4.5","class":"SP800-53-enhancement","title":"System-generated Alerts","parameters":[{"id":"si-4.5_prm_1","label":"organization-defined personnel or roles"},{"id":"si-4.5_prm_2","label":"organization-defined compromise indicators"}],"properties":[{"name":"label","value":"SI-4(5)"},{"name":"sort-id","value":"si-04.05"}],"parts":[{"id":"si-4.5_smt","name":"statement","prose":"The information system alerts {{ si-4.5_prm_1 }} when the following\n indications of compromise or potential compromise occur: {{ si-4.5_prm_2 }}.","parts":[{"id":"si-4.5_fr","name":"item","title":"SI-4 (5) Additional FedRAMP Requirements and Guidance","parts":[{"id":"si-4.5_fr_gdn.1","name":"guidance","properties":[{"name":"label","value":"Guidance:"}],"prose":"In accordance with the incident response plan."}]}]},{"id":"si-4.5_gdn","name":"guidance","prose":"Alerts may be generated from a variety of sources, including, for example, audit\n records or inputs from malicious code protection mechanisms, intrusion detection\n or prevention mechanisms, or boundary protection devices such as firewalls,\n gateways, and routers. Alerts can be transmitted, for example, telephonically, by\n electronic mail messages, or by text messaging. Organizational personnel on the\n notification list can include, for example, system administrators,\n mission/business owners, system owners, or information system security\n officers.","links":[{"href":"#au-5","rel":"related","text":"AU-5"},{"href":"#pe-6","rel":"related","text":"PE-6"}]},{"id":"si-4.5_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-4.5_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(5)[1]"}],"prose":"the organization defines compromise indicators for the information system;"},{"id":"si-4.5_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(5)[2]"}],"prose":"the organization defines personnel or roles to be alerted when indications of\n compromise or potential compromise occur; and"},{"id":"si-4.5_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(5)[3]"}],"prose":"the information system alerts organization-defined personnel or roles when\n organization-defined compromise indicators occur."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications generated based on compromise indicators\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing alerts for compromise\n indicators"}]}]},{"id":"si-4.14","class":"SP800-53-enhancement","title":"Wireless Intrusion Detection","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-4(14)"},{"name":"sort-id","value":"si-04.14"}],"parts":[{"id":"si-4.14_smt","name":"statement","prose":"The organization employs a wireless intrusion detection system to identify rogue\n wireless devices and to detect attack attempts and potential compromises/breaches\n to the information system."},{"id":"si-4.14_gdn","name":"guidance","prose":"Wireless signals may radiate beyond the confines of organization-controlled\n facilities. Organizations proactively search for unauthorized wireless connections\n including the conduct of thorough scans for unauthorized wireless access points.\n Scans are not limited to those areas within facilities containing information\n systems, but also include areas outside of facilities as needed, to verify that\n unauthorized wireless access points are not connected to the systems.","links":[{"href":"#ac-18","rel":"related","text":"AC-18"},{"href":"#ia-3","rel":"related","text":"IA-3"}]},{"id":"si-4.14_obj","name":"objective","prose":"Determine if the organization employs a wireless intrusion detection system\n to:","parts":[{"id":"si-4.14_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(14)[1]"}],"prose":"identify rogue wireless devices;"},{"id":"si-4.14_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(14)[2]"}],"prose":"detect attack attempts to the information system; and"},{"id":"si-4.14_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(14)[3]"}],"prose":"detect potential compromises/breaches to the information system."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection\\n\\nautomated mechanisms supporting and/or implementing wireless intrusion\n detection capability"}]}]},{"id":"si-4.16","class":"SP800-53-enhancement","title":"Correlate Monitoring Information","properties":[{"name":"label","value":"SI-4(16)"},{"name":"sort-id","value":"si-04.16"}],"parts":[{"id":"si-4.16_smt","name":"statement","prose":"The organization correlates information from monitoring tools employed throughout\n the information system."},{"id":"si-4.16_gdn","name":"guidance","prose":"Correlating information from different monitoring tools can provide a more\n comprehensive view of information system activity. The correlation of monitoring\n tools that usually work in isolation (e.g., host monitoring, network monitoring,\n anti-virus software) can provide an organization-wide view and in so doing, may\n reveal otherwise unseen attack patterns. Understanding the\n capabilities/limitations of diverse monitoring tools and how to maximize the\n utility of information generated by those tools can help organizations to build,\n operate, and maintain effective monitoring programs.","links":[{"href":"#au-6","rel":"related","text":"AU-6"}]},{"id":"si-4.16_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization correlates information from monitoring tools\n employed throughout the information system."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nevent correlation logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing correlation of information\n from monitoring tools"}]}]},{"id":"si-4.23","class":"SP800-53-enhancement","title":"Host-based Devices","parameters":[{"id":"si-4.23_prm_1","label":"organization-defined host-based monitoring mechanisms"},{"id":"si-4.23_prm_2","label":"organization-defined information system components"}],"properties":[{"name":"label","value":"SI-4(23)"},{"name":"sort-id","value":"si-04.23"}],"parts":[{"id":"si-4.23_smt","name":"statement","prose":"The organization implements {{ si-4.23_prm_1 }} at {{ si-4.23_prm_2 }}."},{"id":"si-4.23_gdn","name":"guidance","prose":"Information system components where host-based monitoring can be implemented\n include, for example, servers, workstations, and mobile devices. Organizations\n consider employing host-based monitoring mechanisms from multiple information\n technology product developers."},{"id":"si-4.23_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-4.23_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(23)[1]"}],"prose":"defines host-based monitoring mechanisms to be implemented;"},{"id":"si-4.23_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-4(23)[2]"}],"prose":"defines information system components where organization-defined host-based\n monitoring is to be implemented; and"},{"id":"si-4.23_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-4(23)[3]"}],"prose":"implements organization-defined host-based monitoring mechanisms at\n organization-defined information system components."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nhost-based monitoring mechanisms\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components requiring host-based monitoring\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring information system\n hosts"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing host-based monitoring\n capability"}]}]}]},{"id":"si-5","class":"SP800-53","title":"Security Alerts, Advisories, and Directives","parameters":[{"id":"si-5_prm_1","label":"organization-defined external organizations","constraints":[{"detail":"to include US-CERT"}]},{"id":"si-5_prm_2","constraints":[{"detail":"to include system security personnel and administrators with configuration/patch-management responsibilities"}]},{"id":"si-5_prm_3","depends-on":"si-5_prm_2","label":"organization-defined personnel or roles"},{"id":"si-5_prm_4","depends-on":"si-5_prm_2","label":"organization-defined elements within the organization"},{"id":"si-5_prm_5","depends-on":"si-5_prm_2","label":"organization-defined external organizations"}],"properties":[{"name":"label","value":"SI-5"},{"name":"sort-id","value":"si-05"}],"links":[{"href":"#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d","rel":"reference","text":"NIST Special Publication 800-40"}],"parts":[{"id":"si-5_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-5_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;"},{"id":"si-5_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and"},{"id":"si-5_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance."}]},{"id":"si-5_gdn","name":"guidance","prose":"The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.","links":[{"href":"#si-2","rel":"related","text":"SI-2"}]},{"id":"si-5_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-5.a_obj","name":"objective","properties":[{"name":"label","value":"SI-5(a)"}],"parts":[{"id":"si-5.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(a)[1]"}],"prose":"defines external organizations from whom information system security alerts,\n advisories and directives are to be received;"},{"id":"si-5.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(a)[2]"}],"prose":"receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;"}]},{"id":"si-5.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(b)"}],"prose":"generates internal security alerts, advisories, and directives as deemed\n necessary;"},{"id":"si-5.c_obj","name":"objective","properties":[{"name":"label","value":"SI-5(c)"}],"parts":[{"id":"si-5.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[1]"}],"prose":"defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;"},{"id":"si-5.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[2]"}],"prose":"defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;"},{"id":"si-5.c_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-5(c)[3]"}],"prose":"defines external organizations to whom security alerts, advisories, and\n directives are to be provided;"},{"id":"si-5.c_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(c)[4]"}],"prose":"disseminates security alerts, advisories, and directives to one or more of the\n following:","parts":[{"id":"si-5.c_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][a]"}],"prose":"organization-defined personnel or roles;"},{"id":"si-5.c_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][b]"}],"prose":"organization-defined elements within the organization; and/or"},{"id":"si-5.c_obj.4.c","name":"objective","properties":[{"name":"label","value":"SI-5(c)[4][c]"}],"prose":"organization-defined external organizations; and"}]}]},{"id":"si-5.d_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-5(d)"}],"parts":[{"id":"si-5.d_obj.1","name":"objective","properties":[{"name":"label","value":"SI-5(d)[1]"}],"prose":"implements security directives in accordance with established time frames;\n or"},{"id":"si-5.d_obj.2","name":"objective","properties":[{"name":"label","value":"SI-5(d)[2]"}],"prose":"notifies the issuing organization of the degree of noncompliance."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives"}]}]},{"id":"si-6","class":"SP800-53","title":"Security Function Verification","parameters":[{"id":"si-6_prm_1","label":"organization-defined security functions"},{"id":"si-6_prm_2"},{"id":"si-6_prm_3","depends-on":"si-6_prm_2","label":"organization-defined system transitional states","constraints":[{"detail":"to include upon system startup and/or restart"}]},{"id":"si-6_prm_4","depends-on":"si-6_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]},{"id":"si-6_prm_5","label":"organization-defined personnel or roles","constraints":[{"detail":"to include system administrators and security personnel"}]},{"id":"si-6_prm_6"},{"id":"si-6_prm_7","depends-on":"si-6_prm_6","label":"organization-defined alternative action(s)","constraints":[{"detail":"to include notification of system administrators and security personnel"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-6"},{"name":"sort-id","value":"si-06"}],"parts":[{"id":"si-6_smt","name":"statement","prose":"The information system:","parts":[{"id":"si-6_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Verifies the correct operation of {{ si-6_prm_1 }};"},{"id":"si-6_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Performs this verification {{ si-6_prm_2 }};"},{"id":"si-6_smt.c","name":"item","properties":[{"name":"label","value":"c."}],"prose":"Notifies {{ si-6_prm_5 }} of failed security verification tests;\n and"},{"id":"si-6_smt.d","name":"item","properties":[{"name":"label","value":"d."}],"prose":"\n {{ si-6_prm_6 }} when anomalies are discovered."}]},{"id":"si-6_gdn","name":"guidance","prose":"Transitional states for information systems include, for example, system startup,\n restart, shutdown, and abort. Notifications provided by information systems include,\n for example, electronic alerts to system administrators, messages to local computer\n consoles, and/or hardware indications such as lights.","links":[{"href":"#ca-7","rel":"related","text":"CA-7"},{"href":"#cm-6","rel":"related","text":"CM-6"}]},{"id":"si-6_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-6.a_obj","name":"objective","properties":[{"name":"label","value":"SI-6(a)"}],"parts":[{"id":"si-6.a_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(a)[1]"}],"prose":"the organization defines security functions to be verified for correct\n operation;"},{"id":"si-6.a_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(a)[2]"}],"prose":"the information system verifies the correct operation of organization-defined\n security functions;"}]},{"id":"si-6.b_obj","name":"objective","properties":[{"name":"label","value":"SI-6(b)"}],"parts":[{"id":"si-6.b_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(b)[1]"}],"prose":"the organization defines system transitional states requiring verification of\n organization-defined security functions;"},{"id":"si-6.b_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(b)[2]"}],"prose":"the organization defines a frequency to verify the correct operation of\n organization-defined security functions;"},{"id":"si-6.b_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(b)[3]"}],"prose":"the information system performs this verification one or more of the\n following:","parts":[{"id":"si-6.b_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-6(b)[3][a]"}],"prose":"at organization-defined system transitional states;"},{"id":"si-6.b_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-6(b)[3][b]"}],"prose":"upon command by user with appropriate privilege; and/or"},{"id":"si-6.b_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-6(b)[3][c]"}],"prose":"with the organization-defined frequency;"}]}]},{"id":"si-6.c_obj","name":"objective","properties":[{"name":"label","value":"SI-6(c)"}],"parts":[{"id":"si-6.c_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(c)[1]"}],"prose":"the organization defines personnel or roles to be notified of failed security\n verification tests;"},{"id":"si-6.c_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(c)[2]"}],"prose":"the information system notifies organization-defined personnel or roles of\n failed security verification tests;"}]},{"id":"si-6.d_obj","name":"objective","properties":[{"name":"label","value":"SI-6(d)"}],"parts":[{"id":"si-6.d_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-6(d)[1]"}],"prose":"the organization defines alternative action(s) to be performed when anomalies\n are discovered;"},{"id":"si-6.d_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-6(d)[2]"}],"prose":"the information system performs one or more of the following actions when\n anomalies are discovered:","parts":[{"id":"si-6.d_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-6(d)[2][a]"}],"prose":"shuts the information system down;"},{"id":"si-6.d_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-6(d)[2][b]"}],"prose":"restarts the information system; and/or"},{"id":"si-6.d_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-6(d)[2][c]"}],"prose":"performs organization-defined alternative action(s)."}]}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing security function verification\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications of failed security verification tests\\n\\nlist of system transition states requiring security functionality verification\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with security function verification responsibilities\\n\\norganizational personnel implementing, operating, and maintaining the information\n system\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for security function verification\\n\\nautomated mechanisms supporting and/or implementing security function verification\n capability"}]}]},{"id":"si-7","class":"SP800-53","title":"Software, Firmware, and Information Integrity","parameters":[{"id":"si-7_prm_1","label":"organization-defined software, firmware, and information"}],"properties":[{"name":"label","value":"SI-7"},{"name":"sort-id","value":"si-07"}],"links":[{"href":"#6bf8d24a-78dc-4727-a2ac-0e64d71c495c","rel":"reference","text":"NIST Special Publication 800-147"},{"href":"#3878cc04-144a-483e-af62-8fe6f4ad6c7a","rel":"reference","text":"NIST Special Publication 800-155"}],"parts":[{"id":"si-7_smt","name":"statement","prose":"The organization employs integrity verification tools to detect unauthorized changes\n to {{ si-7_prm_1 }}."},{"id":"si-7_gdn","name":"guidance","prose":"Unauthorized changes to software, firmware, and information can occur due to errors\n or malicious activity (e.g., tampering). Software includes, for example, operating\n systems (with key internal components such as kernels, drivers), middleware, and\n applications. Firmware includes, for example, the Basic Input Output System (BIOS).\n Information includes metadata such as security attributes associated with\n information. State-of-the-practice integrity-checking mechanisms (e.g., parity\n checks, cyclical redundancy checks, cryptographic hashes) and associated tools can\n automatically monitor the integrity of information systems and hosted\n applications.","links":[{"href":"#sa-12","rel":"related","text":"SA-12"},{"href":"#sc-8","rel":"related","text":"SC-8"},{"href":"#sc-13","rel":"related","text":"SC-13"},{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"si-7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-7_obj.1","name":"objective","properties":[{"name":"label","value":"SI-7[1]"}],"parts":[{"id":"si-7_obj.1.a","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7[1][a]"}],"prose":"defines software requiring integrity verification tools to be employed to\n detect unauthorized changes;"},{"id":"si-7_obj.1.b","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7[1][b]"}],"prose":"defines firmware requiring integrity verification tools to be employed to\n detect unauthorized changes;"},{"id":"si-7_obj.1.c","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7[1][c]"}],"prose":"defines information requiring integrity verification tools to be employed to\n detect unauthorized changes;"}]},{"id":"si-7_obj.2","name":"objective","properties":[{"name":"label","value":"SI-7[2]"}],"prose":"employs integrity verification tools to detect unauthorized changes to\n organization-defined:","parts":[{"id":"si-7_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-7[2][a]"}],"prose":"software;"},{"id":"si-7_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-7[2][b]"}],"prose":"firmware; and"},{"id":"si-7_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-7[2][c]"}],"prose":"information."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords generated/triggered from integrity verification tools regarding\n unauthorized software, firmware, and information changes\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Software, firmware, and information integrity verification tools"}]}],"controls":[{"id":"si-7.1","class":"SP800-53-enhancement","title":"Integrity Checks","parameters":[{"id":"si-7.1_prm_1","label":"organization-defined software, firmware, and information"},{"id":"si-7.1_prm_2"},{"id":"si-7.1_prm_3","depends-on":"si-7.1_prm_2","label":"organization-defined transitional states or security-relevant events","constraints":[{"detail":"Selection to include security relevant events"}]},{"id":"si-7.1_prm_4","depends-on":"si-7.1_prm_2","label":"organization-defined frequency","constraints":[{"detail":"at least monthly"}]}],"properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-7(1)"},{"name":"sort-id","value":"si-07.01"}],"parts":[{"id":"si-7.1_smt","name":"statement","prose":"The information system performs an integrity check of {{ si-7.1_prm_1 }}\n {{ si-7.1_prm_2 }}."},{"id":"si-7.1_gdn","name":"guidance","prose":"Security-relevant events include, for example, the identification of a new threat\n to which organizational information systems are susceptible, and the installation\n of new hardware, software, or firmware. Transitional states include, for example,\n system startup, restart, shutdown, and abort."},{"id":"si-7.1_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-7.1_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(1)[1]"}],"prose":"the organization defines:","parts":[{"id":"si-7.1_obj.1.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[1][a]"}],"prose":"software requiring integrity checks to be performed;"},{"id":"si-7.1_obj.1.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[1][b]"}],"prose":"firmware requiring integrity checks to be performed;"},{"id":"si-7.1_obj.1.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[1][c]"}],"prose":"information requiring integrity checks to be performed;"}]},{"id":"si-7.1_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(1)[2]"}],"prose":"the organization defines transitional states or security-relevant events\n requiring integrity checks of organization-defined:","parts":[{"id":"si-7.1_obj.2.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[2][a]"}],"prose":"software;"},{"id":"si-7.1_obj.2.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[2][b]"}],"prose":"firmware;"},{"id":"si-7.1_obj.2.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[2][c]"}],"prose":"information;"}]},{"id":"si-7.1_obj.3","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(1)[3]"}],"prose":"the organization defines a frequency with which to perform an integrity check\n of organization-defined:","parts":[{"id":"si-7.1_obj.3.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[3][a]"}],"prose":"software;"},{"id":"si-7.1_obj.3.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[3][b]"}],"prose":"firmware;"},{"id":"si-7.1_obj.3.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[3][c]"}],"prose":"information;"}]},{"id":"si-7.1_obj.4","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(1)[4]"}],"prose":"the information system performs an integrity check of organization-defined\n software, firmware, and information one or more of the following:","parts":[{"id":"si-7.1_obj.4.a","name":"objective","properties":[{"name":"label","value":"SI-7(1)[4][a]"}],"prose":"at startup;"},{"id":"si-7.1_obj.4.b","name":"objective","properties":[{"name":"label","value":"SI-7(1)[4][b]"}],"prose":"at organization-defined transitional states or security-relevant events;\n and/or"},{"id":"si-7.1_obj.4.c","name":"objective","properties":[{"name":"label","value":"SI-7(1)[4][c]"}],"prose":"with the organization-defined frequency."}]}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Software, firmware, and information integrity verification tools"}]}]},{"id":"si-7.7","class":"SP800-53-enhancement","title":"Integration of Detection and Response","parameters":[{"id":"si-7.7_prm_1","label":"organization-defined security-relevant changes to the information\n system"}],"properties":[{"name":"label","value":"SI-7(7)"},{"name":"sort-id","value":"si-07.07"}],"parts":[{"id":"si-7.7_smt","name":"statement","prose":"The organization incorporates the detection of unauthorized {{ si-7.7_prm_1 }} into the organizational incident response\n capability."},{"id":"si-7.7_gdn","name":"guidance","prose":"This control enhancement helps to ensure that detected events are tracked,\n monitored, corrected, and available for historical purposes. Maintaining\n historical records is important both for being able to identify and discern\n adversary actions over an extended period of time and for possible legal actions.\n Security-relevant changes include, for example, unauthorized changes to\n established configuration settings or unauthorized elevation of information system\n privileges.","links":[{"href":"#ir-4","rel":"related","text":"IR-4"},{"href":"#ir-5","rel":"related","text":"IR-5"},{"href":"#si-4","rel":"related","text":"SI-4"}]},{"id":"si-7.7_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-7.7_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-7(7)[1]"}],"prose":"defines unauthorized security-relevant changes to the information system;\n and"},{"id":"si-7.7_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-7(7)[2]"}],"prose":"incorporates the detection of unauthorized organization-defined\n security-relevant changes to the information system into the organizational\n incident response capability."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\nprocedures addressing incident response\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response records\\n\\ninformation audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for incorporating detection of unauthorized\n security-relevant changes into the incident response capability\\n\\nsoftware, firmware, and information integrity verification tools\\n\\nautomated mechanisms supporting and/or implementing incorporation of detection\n of unauthorized security-relevant changes into the incident response\n capability"}]}]}]},{"id":"si-8","class":"SP800-53","title":"Spam Protection","properties":[{"name":"label","value":"SI-8"},{"name":"sort-id","value":"si-08"}],"links":[{"href":"#c6e95ca0-5828-420e-b095-00895b72b5e8","rel":"reference","text":"NIST Special Publication 800-45"}],"parts":[{"id":"si-8_smt","name":"statement","prose":"The organization:","parts":[{"id":"si-8_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Employs spam protection mechanisms at information system entry and exit points to\n detect and take action on unsolicited messages; and"},{"id":"si-8_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures."}]},{"id":"si-8_gdn","name":"guidance","prose":"Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations, mobile\n devices, and notebook/laptop computers. Spam can be transported by different means\n including, for example, electronic mail, electronic mail attachments, and web\n accesses. Spam protection mechanisms include, for example, signature definitions.","links":[{"href":"#at-2","rel":"related","text":"AT-2"},{"href":"#at-3","rel":"related","text":"AT-3"},{"href":"#sc-5","rel":"related","text":"SC-5"},{"href":"#sc-7","rel":"related","text":"SC-7"},{"href":"#si-3","rel":"related","text":"SI-3"}]},{"id":"si-8_obj","name":"objective","prose":"Determine if the organization:","parts":[{"id":"si-8.a_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-8(a)"}],"prose":"employs spam protection mechanisms:","parts":[{"id":"si-8.a_obj.1","name":"objective","properties":[{"name":"label","value":"SI-8(a)[1]"}],"prose":"at information system entry points to detect unsolicited messages;"},{"id":"si-8.a_obj.2","name":"objective","properties":[{"name":"label","value":"SI-8(a)[2]"}],"prose":"at information system entry points to take action on unsolicited messages;"},{"id":"si-8.a_obj.3","name":"objective","properties":[{"name":"label","value":"SI-8(a)[3]"}],"prose":"at information system exit points to detect unsolicited messages;"},{"id":"si-8.a_obj.4","name":"objective","properties":[{"name":"label","value":"SI-8(a)[4]"}],"prose":"at information system exit points to take action on unsolicited messages;\n and"}]},{"id":"si-8.b_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-8(b)"}],"prose":"updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nconfiguration management policy and procedures (CM-1)\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for implementing spam protection\\n\\nautomated mechanisms supporting and/or implementing spam protection"}]}],"controls":[{"id":"si-8.1","class":"SP800-53-enhancement","title":"Central Management","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-8(1)"},{"name":"sort-id","value":"si-08.01"}],"parts":[{"id":"si-8.1_smt","name":"statement","prose":"The organization centrally manages spam protection mechanisms."},{"id":"si-8.1_gdn","name":"guidance","prose":"Central management is the organization-wide management and implementation of spam\n protection mechanisms. Central management includes planning, implementing,\n assessing, authorizing, and monitoring the organization-defined, centrally managed\n spam protection security controls.","links":[{"href":"#au-3","rel":"related","text":"AU-3"},{"href":"#si-2","rel":"related","text":"SI-2"},{"href":"#si-7","rel":"related","text":"SI-7"}]},{"id":"si-8.1_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the organization centrally manages spam protection mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for central management of spam protection\\n\\nautomated mechanisms supporting and/or implementing central management of spam\n protection"}]}]},{"id":"si-8.2","class":"SP800-53-enhancement","title":"Automatic Updates","properties":[{"name":"CORE","ns":"https://fedramp.gov/ns/oscal","value":""},{"name":"label","value":"SI-8(2)"},{"name":"sort-id","value":"si-08.02"}],"parts":[{"id":"si-8.2_smt","name":"statement","prose":"The information system automatically updates spam protection mechanisms."},{"id":"si-8.2_obj","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"}],"prose":"Determine if the information system automatically updates spam protection\n mechanisms."},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Organizational processes for spam protection\\n\\nautomated mechanisms supporting and/or implementing automatic updates to spam\n protection mechanisms"}]}]}]},{"id":"si-10","class":"SP800-53","title":"Information Input Validation","parameters":[{"id":"si-10_prm_1","label":"organization-defined information inputs"}],"properties":[{"name":"label","value":"SI-10"},{"name":"sort-id","value":"si-10"}],"parts":[{"id":"si-10_smt","name":"statement","prose":"The information system checks the validity of {{ si-10_prm_1 }}."},{"id":"si-10_gdn","name":"guidance","prose":"Checking the valid syntax and semantics of information system inputs (e.g., character\n set, length, numerical range, and acceptable values) verifies that inputs match\n specified definitions for format and content. Software applications typically follow\n well-defined protocols that use structured messages (i.e., commands or queries) to\n communicate between software modules or system components. Structured messages can\n contain raw or unstructured data interspersed with metadata or control information.\n If software applications use attacker-supplied inputs to construct structured\n messages without properly encoding such messages, then the attacker could insert\n malicious commands or special characters that can cause the data to be interpreted as\n control information or metadata. Consequently, the module or component that receives\n the tainted output will perform the wrong operations or otherwise interpret the data\n incorrectly. Prescreening inputs prior to passing to interpreters prevents the\n content from being unintentionally interpreted as commands. Input validation helps to\n ensure accurate and correct inputs and prevent attacks such as cross-site scripting\n and a variety of injection attacks."},{"id":"si-10_obj","name":"objective","prose":"Determine if:","parts":[{"id":"si-10_obj.1","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"EXAMINE"},{"name":"label","value":"SI-10[1]"}],"prose":"the organization defines information inputs requiring validity checks; and"},{"id":"si-10_obj.2","name":"objective","properties":[{"name":"conformity","ns":"https://fedramp.gov/ns/oscal","value":"assessment-objective"},{"name":"method","class":"fedramp","value":"INTERVIEW"},{"name":"method","class":"fedramp","value":"TEST"},{"name":"label","value":"SI-10[2]"}],"prose":"the information system checks the validity of organization-defined information\n inputs."}]},{"name":"assessment","properties":[{"name":"method","value":"EXAMINE"}],"parts":[{"name":"objects","prose":"System and information integrity policy\\n\\naccess control policy and procedures\\n\\nseparation of duties policy and procedures\\n\\nprocedures addressing information input validation\\n\\ndocumentation for automated tools and applications to verify validity of\n information\\n\\nlist of information inputs requiring validity checks\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records"}]},{"name":"assessment","properties":[{"name":"method","value":"INTERVIEW"}],"parts":[{"name":"objects","prose":"Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer"}]},{"name":"assessment","properties":[{"name":"method","value":"TEST"}],"parts":[{"name":"objects","prose":"Automated mechanisms supporting and/or implementing validity checks on information\n inputs"}]}]},{"id":"si-11","class":"SP800-53","title":"Error Handling","parameters":[{"id":"si-11_prm_1","label":"organization-defined personnel or roles"}],"properties":[{"name":"label","value":"SI-11"},{"name":"sort-id","value":"si-11"}],"parts":[{"id":"si-11_smt","name":"statement","prose":"The information system:","parts":[{"id":"si-11_smt.a","name":"item","properties":[{"name":"label","value":"a."}],"prose":"Generates error messages that provide information necessary for corrective actions\n without revealing information that could be exploited by adversaries; and"},{"id":"si-11_smt.b","name":"item","properties":[{"name":"label","value":"b."}],"prose":"Reveals error messages only to {{ si-11_prm_1 }}."}]},{"id":"si-11_gdn","name":"guidance","prose":"Organizations carefully consider the structure/content of error messages. The extent\n to which information systems are able to identify and handle error conditions is\n guided by organizational policy and operational requirements. Information that could\n be exploited by adversaries includes, for example, erroneous logon attempts with\n passwords entered by mistake as the username, mission/business information that can\n be derived from (if not stated explicitly by) information recorded, and personal\n information such as account numbers, social security numbers, and credit card\n numbers. 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Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ac-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)" - } - ], - "parts": [ - { - "id": "ac-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)" - } - ], - "parts": [ - { - "id": "ac-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(1)[1]" - } - ], - "prose": "develops and documents an access control policy that addresses:", - "parts": [ - { - "id": "ac-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ac-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ac-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ac-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ac-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ac-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ac-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ac-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the access control policy are to be\n disseminated;" - }, - { - "id": "ac-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-1(a)(1)[3]" - } - ], - "prose": "disseminates the access control policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ac-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(a)(2)" - } - ], - "parts": [ - { - "id": "ac-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n access control policy and associated access control controls;" - }, - { - "id": "ac-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ac-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ac-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(1)" - } - ], - "parts": [ - { - "id": "ac-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n policy;" - }, - { - "id": "ac-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current access control policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ac-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-1(b)(2)" - } - ], - "parts": [ - { - "id": "ac-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current access control\n procedures; and" - }, - { - "id": "ac-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current access control procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-2", - "class": "SP800-53", - "title": "Account Management", - "parameters": [ - { - "id": "ac-2_prm_1", - "label": "organization-defined information system account types" - }, - { - "id": "ac-2_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "ac-2_prm_3", - "label": "organization-defined procedures or conditions" - }, - { - "id": "ac-2_prm_4", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2" - }, - { - "name": "sort-id", - "value": "ac-02" - } - ], - "parts": [ - { - "id": "ac-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies and selects the following types of information system accounts to\n support organizational missions/business functions: {{ ac-2_prm_1 }};" - }, - { - "id": "ac-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assigns account managers for information system accounts;" - }, - { - "id": "ac-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes conditions for group and role membership;" - }, - { - "id": "ac-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Specifies authorized users of the information system, group and role membership,\n and access authorizations (i.e., privileges) and other attributes (as required)\n for each account;" - }, - { - "id": "ac-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requires approvals by {{ ac-2_prm_2 }} for requests to create\n information system accounts;" - }, - { - "id": "ac-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Creates, enables, modifies, disables, and removes information system accounts in\n accordance with {{ ac-2_prm_3 }};" - }, - { - "id": "ac-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Monitors the use of information system accounts;" - }, - { - "id": "ac-2_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Notifies account managers:", - "parts": [ - { - "id": "ac-2_smt.h.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "When accounts are no longer required;" - }, - { - "id": "ac-2_smt.h.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "When users are terminated or transferred; and" - }, - { - "id": "ac-2_smt.h.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "When individual information system usage or need-to-know changes;" - } - ] - }, - { - "id": "ac-2_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Authorizes access to the information system based on:", - "parts": [ - { - "id": "ac-2_smt.i.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A valid access authorization;" - }, - { - "id": "ac-2_smt.i.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Intended system usage; and" - }, - { - "id": "ac-2_smt.i.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and" - }, - { - "id": "ac-2_smt.k", - "name": "item", - "properties": [ - { - "name": "label", - "value": "k." - } - ], - "prose": "Establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "id": "ac-2_gdn", - "name": "guidance", - "prose": "Information system account types include, for example, individual, shared, group,\n system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and\n service. Some of the account management requirements listed above can be implemented\n by organizational information systems. The identification of authorized users of the\n information system and the specification of access privileges reflects the\n requirements in other security controls in the security plan. Users requiring\n administrative privileges on information system accounts receive additional scrutiny\n by appropriate organizational personnel (e.g., system owner, mission/business owner,\n or chief information security officer) responsible for approving such accounts and\n privileged access. Organizations may choose to define access privileges or other\n attributes by account, by type of account, or a combination of both. Other attributes\n required for authorizing access include, for example, restrictions on time-of-day,\n day-of-week, and point-of-origin. In defining other account attributes, organizations\n consider system-related requirements (e.g., scheduled maintenance, system upgrades)\n and mission/business requirements, (e.g., time zone differences, customer\n requirements, remote access to support travel requirements). Failure to consider\n these factors could affect information system availability. Temporary and emergency\n accounts are accounts intended for short-term use. Organizations establish temporary\n accounts as a part of normal account activation procedures when there is a need for\n short-term accounts without the demand for immediacy in account activation.\n Organizations establish emergency accounts in response to crisis situations and with\n the need for rapid account activation. Therefore, emergency account activation may\n bypass normal account authorization processes. Emergency and temporary accounts are\n not to be confused with infrequently used accounts (e.g., local logon accounts used\n for special tasks defined by organizations or when network resources are\n unavailable). Such accounts remain available and are not subject to automatic\n disabling or removal dates. Conditions for disabling or deactivating accounts\n include, for example: (i) when shared/group, emergency, or temporary accounts are no\n longer required; or (ii) when individuals are transferred or terminated. Some types\n of information system accounts may require specialized training.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-10", - "rel": "related", - "text": "AC-10" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(a)" - } - ], - "parts": [ - { - "id": "ac-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(a)[1]" - } - ], - "prose": "defines information system account types to be identified and selected to\n support organizational missions/business functions;" - }, - { - "id": "ac-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-2(a)[2]" - } - ], - "prose": "identifies and selects organization-defined information system account types to\n support organizational missions/business functions;" - } - ] - }, - { - "id": "ac-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-2(b)" - } - ], - "prose": "assigns account managers for information system accounts;" - }, - { - "id": "ac-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(c)" - } - ], - "prose": "establishes conditions for group and role membership;" - }, - { - "id": "ac-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(d)" - } - ], - "prose": "specifies for each account (as required):", - "parts": [ - { - "id": "ac-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[1]" - } - ], - "prose": "authorized users of the information system;" - }, - { - "id": "ac-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[2]" - } - ], - "prose": "group and role membership;" - }, - { - "id": "ac-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[3]" - } - ], - "prose": "access authorizations (i.e., privileges);" - }, - { - "id": "ac-2.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(d)[4]" - } - ], - "prose": "other attributes;" - } - ] - }, - { - "id": "ac-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(e)" - } - ], - "parts": [ - { - "id": "ac-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(e)[1]" - } - ], - "prose": "defines personnel or roles required to approve requests to create information\n system accounts;" - }, - { - "id": "ac-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(e)[2]" - } - ], - "prose": "requires approvals by organization-defined personnel or roles for requests to\n create information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)" - } - ], - "parts": [ - { - "id": "ac-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(f)[1]" - } - ], - "prose": "defines procedures or conditions to:", - "parts": [ - { - "id": "ac-2.f_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][a]" - } - ], - "prose": "create information system accounts;" - }, - { - "id": "ac-2.f_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][b]" - } - ], - "prose": "enable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][c]" - } - ], - "prose": "modify information system accounts;" - }, - { - "id": "ac-2.f_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][d]" - } - ], - "prose": "disable information system accounts;" - }, - { - "id": "ac-2.f_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[1][e]" - } - ], - "prose": "remove information system accounts;" - } - ] - }, - { - "id": "ac-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(f)[2]" - } - ], - "prose": "in accordance with organization-defined procedures or conditions:", - "parts": [ - { - "id": "ac-2.f_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][a]" - } - ], - "prose": "creates information system accounts;" - }, - { - "id": "ac-2.f_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][b]" - } - ], - "prose": "enables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][c]" - } - ], - "prose": "modifies information system accounts;" - }, - { - "id": "ac-2.f_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][d]" - } - ], - "prose": "disables information system accounts;" - }, - { - "id": "ac-2.f_obj.2.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(f)[2][e]" - } - ], - "prose": "removes information system accounts;" - } - ] - } - ] - }, - { - "id": "ac-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(g)" - } - ], - "prose": "monitors the use of information system accounts;" - }, - { - "id": "ac-2.h_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(h)" - } - ], - "prose": "notifies account managers:", - "parts": [ - { - "id": "ac-2.h.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(1)" - } - ], - "prose": "when accounts are no longer required;" - }, - { - "id": "ac-2.h.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(2)" - } - ], - "prose": "when users are terminated or transferred;" - }, - { - "id": "ac-2.h.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(h)(3)" - } - ], - "prose": "when individual information system usage or need to know changes;" - } - ] - }, - { - "id": "ac-2.i_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(i)" - } - ], - "prose": "authorizes access to the information system based on;", - "parts": [ - { - "id": "ac-2.i.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(1)" - } - ], - "prose": "a valid access authorization;" - }, - { - "id": "ac-2.i.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(2)" - } - ], - "prose": "intended system usage;" - }, - { - "id": "ac-2.i.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(i)(3)" - } - ], - "prose": "other attributes as required by the organization or associated\n missions/business functions;" - } - ] - }, - { - "id": "ac-2.j_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(j)" - } - ], - "parts": [ - { - "id": "ac-2.j_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(j)[1]" - } - ], - "prose": "defines the frequency to review accounts for compliance with account management\n requirements;" - }, - { - "id": "ac-2.j_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(j)[2]" - } - ], - "prose": "reviews accounts for compliance with account management requirements with the\n organization-defined frequency; and" - } - ] - }, - { - "id": "ac-2.k_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(k)" - } - ], - "prose": "establishes a process for reissuing shared/group account credentials (if deployed)\n when individuals are removed from the group." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of active system accounts along with the name of the individual associated\n with each account\\n\\nlist of conditions for group and role membership\\n\\nnotifications or records of recently transferred, separated, or terminated\n employees\\n\\nlist of recently disabled information system accounts along with the name of the\n individual associated with each account\\n\\naccess authorization records\\n\\naccount management compliance reviews\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes account management on the information system\\n\\nautomated mechanisms for implementing account management" - } - ] - } - ], - "controls": [ - { - "id": "ac-2.1", - "class": "SP800-53-enhancement", - "title": "Automated System Account Management", - "properties": [ - { - "name": "label", - "value": "AC-2(1)" - }, - { - "name": "sort-id", - "value": "ac-02.01" - } - ], - "parts": [ - { - "id": "ac-2.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to support the management of\n information system accounts." - }, - { - "id": "ac-2.1_gdn", - "name": "guidance", - "prose": "The use of automated mechanisms can include, for example: using email or text\n messaging to automatically notify account managers when users are terminated or\n transferred; using the information system to monitor account usage; and using\n telephonic notification to report atypical system account usage." - }, - { - "id": "ac-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to support the\n management of information system accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.2", - "class": "SP800-53-enhancement", - "title": "Removal of Temporary / Emergency Accounts", - "parameters": [ - { - "id": "ac-2.2_prm_1" - }, - { - "id": "ac-2.2_prm_2", - "label": "organization-defined time period for each type of account", - "constraints": [ - { - "detail": "no more than 30 days for temporary and emergency account types" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(2)" - }, - { - "name": "sort-id", - "value": "ac-02.02" - } - ], - "parts": [ - { - "id": "ac-2.2_smt", - "name": "statement", - "prose": "The information system automatically {{ ac-2.2_prm_1 }} temporary\n and emergency accounts after {{ ac-2.2_prm_2 }}." - }, - { - "id": "ac-2.2_gdn", - "name": "guidance", - "prose": "This control enhancement requires the removal of both temporary and emergency\n accounts automatically after a predefined period of time has elapsed, rather than\n at the convenience of the systems administrator." - }, - { - "id": "ac-2.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(2)[1]" - } - ], - "prose": "the organization defines the time period after which the information system\n automatically removes or disables temporary and emergency accounts; and" - }, - { - "id": "ac-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(2)[2]" - } - ], - "prose": "the information system automatically removes or disables temporary and\n emergency accounts after the organization-defined time period for each type of\n account." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.3", - "class": "SP800-53-enhancement", - "title": "Disable Inactive Accounts", - "parameters": [ - { - "id": "ac-2.3_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "90 days for user accounts" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(3)" - }, - { - "name": "sort-id", - "value": "ac-02.03" - } - ], - "parts": [ - { - "id": "ac-2.3_smt", - "name": "statement", - "prose": "The information system automatically disables inactive accounts after {{ ac-2.3_prm_1 }}." - }, - { - "id": "ac-2.3_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(3)[1]" - } - ], - "prose": "the organization defines the time period after which the information system\n automatically disables inactive accounts; and" - }, - { - "id": "ac-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(3)[2]" - } - ], - "prose": "the information system automatically disables inactive accounts after the\n organization-defined time period." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of temporary accounts removed and/or\n disabled\\n\\ninformation system-generated list of emergency accounts removed and/or\n disabled\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.4", - "class": "SP800-53-enhancement", - "title": "Automated Audit Actions", - "parameters": [ - { - "id": "ac-2.4_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(4)" - }, - { - "name": "sort-id", - "value": "ac-02.04" - } - ], - "parts": [ - { - "id": "ac-2.4_smt", - "name": "statement", - "prose": "The information system automatically audits account creation, modification,\n enabling, disabling, and removal actions, and notifies {{ ac-2.4_prm_1 }}." - }, - { - "id": "ac-2.4_gdn", - "name": "guidance", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "ac-2.4_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-2.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(4)[1]" - } - ], - "prose": "the information system automatically audits the following account actions:", - "parts": [ - { - "id": "ac-2.4_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][a]" - } - ], - "prose": "creation;" - }, - { - "id": "ac-2.4_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][b]" - } - ], - "prose": "modification;" - }, - { - "id": "ac-2.4_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][c]" - } - ], - "prose": "enabling;" - }, - { - "id": "ac-2.4_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][d]" - } - ], - "prose": "disabling;" - }, - { - "id": "ac-2.4_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[1][e]" - } - ], - "prose": "removal;" - } - ] - }, - { - "id": "ac-2.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(4)[2]" - } - ], - "prose": "the organization defines personnel or roles to be notified of the following\n account actions:", - "parts": [ - { - "id": "ac-2.4_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][a]" - } - ], - "prose": "creation;" - }, - { - "id": "ac-2.4_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][b]" - } - ], - "prose": "modification;" - }, - { - "id": "ac-2.4_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][c]" - } - ], - "prose": "enabling;" - }, - { - "id": "ac-2.4_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][d]" - } - ], - "prose": "disabling;" - }, - { - "id": "ac-2.4_obj.2.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[2][e]" - } - ], - "prose": "removal;" - } - ] - }, - { - "id": "ac-2.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(4)[3]" - } - ], - "prose": "the information system notifies organization-defined personnel or roles of the\n following account actions:", - "parts": [ - { - "id": "ac-2.4_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][a]" - } - ], - "prose": "creation;" - }, - { - "id": "ac-2.4_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][b]" - } - ], - "prose": "modification;" - }, - { - "id": "ac-2.4_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][c]" - } - ], - "prose": "enabling;" - }, - { - "id": "ac-2.4_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][d]" - } - ], - "prose": "disabling; and" - }, - { - "id": "ac-2.4_obj.3.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(4)[3][e]" - } - ], - "prose": "removal." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nnotifications/alerts of account creation, modification, enabling, disabling,\n and removal actions\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.5", - "class": "SP800-53-enhancement", - "title": "Inactivity Logout", - "parameters": [ - { - "id": "ac-2.5_prm_1", - "label": "organization-defined time-period of expected inactivity or description of when\n to log out" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(5)" - }, - { - "name": "sort-id", - "value": "ac-02.05" - } - ], - "parts": [ - { - "id": "ac-2.5_smt", - "name": "statement", - "prose": "The organization requires that users log out when {{ ac-2.5_prm_1 }}.", - "parts": [ - { - "id": "ac-2.5_fr", - "name": "item", - "title": "AC-2 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Should use a shorter timeframe than AC-12." - } - ] - } - ] - }, - { - "id": "ac-2.5_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-23", - "rel": "related", - "text": "SC-23" - } - ] - }, - { - "id": "ac-2.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(5)[1]" - } - ], - "prose": "defines either the time period of expected inactivity that requires users to\n log out or the description of when users are required to log out; and" - }, - { - "id": "ac-2.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(5)[2]" - } - ], - "prose": "requires that users log out when the organization-defined time period of\n inactivity is reached or in accordance with organization-defined description of\n when to log out." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity violation reports\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nusers that must comply with inactivity logout policy" - } - ] - } - ] - }, - { - "id": "ac-2.7", - "class": "SP800-53-enhancement", - "title": "Role-based Schemes", - "parameters": [ - { - "id": "ac-2.7_prm_1", - "label": "organization-defined actions" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(7)" - }, - { - "name": "sort-id", - "value": "ac-02.07" - } - ], - "parts": [ - { - "id": "ac-2.7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2.7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;" - }, - { - "id": "ac-2.7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Monitors privileged role assignments; and" - }, - { - "id": "ac-2.7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Takes {{ ac-2.7_prm_1 }} when privileged role assignments are no\n longer appropriate." - } - ] - }, - { - "id": "ac-2.7_gdn", - "name": "guidance", - "prose": "Privileged roles are organization-defined roles assigned to individuals that allow\n those individuals to perform certain security-relevant functions that ordinary\n users are not authorized to perform. These privileged roles include, for example,\n key management, account management, network and system administration, database\n administration, and web administration." - }, - { - "id": "ac-2.7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(7)(a)" - } - ], - "prose": "establishes and administers privileged user accounts in accordance with a\n role-based access scheme that organizes allowed information system access and\n privileges into roles;", - "links": [ - { - "href": "#ac-2.7_smt.a", - "rel": "corresp", - "text": "AC-2(7)(a)" - } - ] - }, - { - "id": "ac-2.7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(7)(b)" - } - ], - "prose": "monitors privileged role assignments;", - "links": [ - { - "href": "#ac-2.7_smt.b", - "rel": "corresp", - "text": "AC-2(7)(b)" - } - ] - }, - { - "id": "ac-2.7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(7)(c)" - } - ], - "parts": [ - { - "id": "ac-2.7.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(7)(c)[1]" - } - ], - "prose": "defines actions to be taken when privileged role assignments are no longer\n appropriate; and" - }, - { - "id": "ac-2.7.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(7)(c)[2]" - } - ], - "prose": "takes organization-defined actions when privileged role assignments are no\n longer appropriate." - } - ], - "links": [ - { - "href": "#ac-2.7_smt.c", - "rel": "corresp", - "text": "AC-2(7)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system-generated list of privileged user accounts and associated\n role\\n\\nrecords of actions taken when privileged role assignments are no longer\n appropriate\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\ninformation system monitoring records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions\\n\\nautomated mechanisms monitoring privileged role assignments" - } - ] - } - ] - }, - { - "id": "ac-2.9", - "class": "SP800-53-enhancement", - "title": "Restrictions On Use of Shared / Group Accounts", - "parameters": [ - { - "id": "ac-2.9_prm_1", - "label": "organization-defined conditions for establishing shared/group accounts" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-2(9)" - }, - { - "name": "sort-id", - "value": "ac-02.09" - } - ], - "parts": [ - { - "id": "ac-2.9_smt", - "name": "statement", - "prose": "The organization only permits the use of shared/group accounts that meet {{ ac-2.9_prm_1 }}.", - "parts": [ - { - "id": "ac-2.9_fr", - "name": "item", - "title": "AC-2 (9) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Required if shared/group accounts are deployed" - } - ] - } - ] - }, - { - "id": "ac-2.9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.9_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(9)[1]" - } - ], - "prose": "defines conditions for establishing shared/group accounts; and" - }, - { - "id": "ac-2.9_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(9)[2]" - } - ], - "prose": "only permits the use of shared/group accounts that meet organization-defined\n conditions for establishing shared/group accounts." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsystem-generated list of shared/group accounts and associated role\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of shared/group accounts" - } - ] - } - ] - }, - { - "id": "ac-2.10", - "class": "SP800-53-enhancement", - "title": "Shared / Group Account Credential Termination", - "properties": [ - { - "name": "label", - "value": "AC-2(10)" - }, - { - "name": "sort-id", - "value": "ac-02.10" - } - ], - "parts": [ - { - "id": "ac-2.10_smt", - "name": "statement", - "prose": "The information system terminates shared/group account credentials when members\n leave the group.", - "parts": [ - { - "id": "ac-2.10_fr", - "name": "item", - "title": "AC-2 (10) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.10_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Required if shared/group accounts are deployed" - } - ] - } - ] - }, - { - "id": "ac-2.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system terminates shared/group account credentials\n when members leave the group." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naccount access termination records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - }, - { - "id": "ac-2.12", - "class": "SP800-53-enhancement", - "title": "Account Monitoring / Atypical Usage", - "parameters": [ - { - "id": "ac-2.12_prm_1", - "label": "organization-defined atypical usage" - }, - { - "id": "ac-2.12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-2(12)" - }, - { - "name": "sort-id", - "value": "ac-02.12" - } - ], - "parts": [ - { - "id": "ac-2.12_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-2.12_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Monitors information system accounts for {{ ac-2.12_prm_1 }};\n and" - }, - { - "id": "ac-2.12_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reports atypical usage of information system accounts to {{ ac-2.12_prm_2 }}." - }, - { - "id": "ac-2.12_fr", - "name": "item", - "title": "AC-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) Guidance:" - } - ], - "prose": "Required for privileged accounts." - }, - { - "id": "ac-2.12_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(b) Guidance:" - } - ], - "prose": "Required for privileged accounts." - } - ] - } - ] - }, - { - "id": "ac-2.12_gdn", - "name": "guidance", - "prose": "Atypical usage includes, for example, accessing information systems at certain\n times of the day and from locations that are not consistent with the normal usage\n patterns of individuals working in organizations.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - } - ] - }, - { - "id": "ac-2.12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-2.12.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(12)(a)" - } - ], - "parts": [ - { - "id": "ac-2.12.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(12)(a)[1]" - } - ], - "prose": "defines atypical usage to be monitored for information system accounts;" - }, - { - "id": "ac-2.12.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(12)(a)[2]" - } - ], - "prose": "monitors information system accounts for organization-defined atypical\n usage;" - } - ], - "links": [ - { - "href": "#ac-2.12_smt.a", - "rel": "corresp", - "text": "AC-2(12)(a)" - } - ] - }, - { - "id": "ac-2.12.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-2(12)(b)" - } - ], - "parts": [ - { - "id": "ac-2.12.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-2(12)(b)[1]" - } - ], - "prose": "defines personnel or roles to whom atypical usage of information system\n accounts are to be reported; and" - }, - { - "id": "ac-2.12.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-2(12)(b)[2]" - } - ], - "prose": "reports atypical usage of information system accounts to\n organization-defined personnel or roles." - } - ], - "links": [ - { - "href": "#ac-2.12_smt.b", - "rel": "corresp", - "text": "AC-2(12)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing account management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\naudit tracking and monitoring reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing account management functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-3", - "class": "SP800-53", - "title": "Access Enforcement", - "properties": [ - { - "name": "label", - "value": "AC-3" - }, - { - "name": "sort-id", - "value": "ac-03" - } - ], - "parts": [ - { - "id": "ac-3_smt", - "name": "statement", - "prose": "The information system enforces approved authorizations for logical access to\n information and system resources in accordance with applicable access control\n policies." - }, - { - "id": "ac-3_gdn", - "name": "guidance", - "prose": "Access control policies (e.g., identity-based policies, role-based policies, control\n matrices, cryptography) control access between active entities or subjects (i.e.,\n users or processes acting on behalf of users) and passive entities or objects (e.g.,\n devices, files, records, domains) in information systems. In addition to enforcing\n authorized access at the information system level and recognizing that information\n systems can host many applications and services in support of organizational missions\n and business operations, access enforcement mechanisms can also be employed at the\n application and service level to provide increased information security.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - }, - { - "href": "#ac-22", - "rel": "related", - "text": "AC-22" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "ac-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system enforces approved authorizations for logical\n access to information and system resources in accordance with applicable access\n control policies." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of approved authorizations (user privileges)\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy" - } - ] - } - ] - }, - { - "id": "ac-4", - "class": "SP800-53", - "title": "Information Flow Enforcement", - "parameters": [ - { - "id": "ac-4_prm_1", - "label": "organization-defined information flow control policies" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-4" - }, - { - "name": "sort-id", - "value": "ac-04" - } - ], - "parts": [ - { - "id": "ac-4_smt", - "name": "statement", - "prose": "The information system enforces approved authorizations for controlling the flow of\n information within the system and between interconnected systems based on {{ ac-4_prm_1 }}." - }, - { - "id": "ac-4_gdn", - "name": "guidance", - "prose": "Information flow control regulates where information is allowed to travel within an\n information system and between information systems (as opposed to who is allowed to\n access the information) and without explicit regard to subsequent accesses to that\n information. Flow control restrictions include, for example, keeping\n export-controlled information from being transmitted in the clear to the Internet,\n blocking outside traffic that claims to be from within the organization, restricting\n web requests to the Internet that are not from the internal web proxy server, and\n limiting information transfers between organizations based on data structures and\n content. Transferring information between information systems representing different\n security domains with different security policies introduces risk that such transfers\n violate one or more domain security policies. In such situations, information\n owners/stewards provide guidance at designated policy enforcement points between\n interconnected systems. Organizations consider mandating specific architectural\n solutions when required to enforce specific security policies. Enforcement includes,\n for example: (i) prohibiting information transfers between interconnected systems\n (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way\n information flows; and (iii) implementing trustworthy regrading mechanisms to\n reassign security attributes and security labels. Organizations commonly employ\n information flow control policies and enforcement mechanisms to control the flow of\n information between designated sources and destinations (e.g., networks, individuals,\n and devices) within information systems and between interconnected systems. Flow\n control is based on the characteristics of the information and/or the information\n path. Enforcement occurs, for example, in boundary protection devices (e.g.,\n gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or\n establish configuration settings that restrict information system services, provide a\n packet-filtering capability based on header information, or message-filtering\n capability based on message content (e.g., implementing key word searches or using\n document characteristics). Organizations also consider the trustworthiness of\n filtering/inspection mechanisms (i.e., hardware, firmware, and software components)\n that are critical to information flow enforcement. Control enhancements 3 through 22\n primarily address cross-domain solution needs which focus on more advanced filtering\n techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented\n in cross-domain products, for example, high-assurance guards. Such capabilities are\n generally not available in commercial off-the-shelf information technology\n products.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-18", - "rel": "related", - "text": "SC-18" - } - ] - }, - { - "id": "ac-4_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-4[1]" - } - ], - "prose": "the organization defines information flow control policies to control the flow of\n information within the system and between interconnected systems; and" - }, - { - "id": "ac-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-4[2]" - } - ], - "prose": "the information system enforces approved authorizations for controlling the flow\n of information within the system and between interconnected systems based on\n organization-defined information flow control policies." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system baseline configuration\\n\\nlist of information flow authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement policy" - } - ] - } - ], - "controls": [ - { - "id": "ac-4.21", - "class": "SP800-53-enhancement", - "title": "Physical / Logical Separation of Information Flows", - "parameters": [ - { - "id": "ac-4.21_prm_1", - "label": "organization-defined mechanisms and/or techniques" - }, - { - "id": "ac-4.21_prm_2", - "label": "organization-defined required separations by types of information" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-4(21)" - }, - { - "name": "sort-id", - "value": "ac-04.21" - } - ], - "parts": [ - { - "id": "ac-4.21_smt", - "name": "statement", - "prose": "The information system separates information flows logically or physically using\n {{ ac-4.21_prm_1 }} to accomplish {{ ac-4.21_prm_2 }}." - }, - { - "id": "ac-4.21_gdn", - "name": "guidance", - "prose": "Enforcing the separation of information flows by type can enhance protection by\n ensuring that information is not commingled while in transit and by enabling flow\n control by transmission paths perhaps not otherwise achievable. Types of separable\n information include, for example, inbound and outbound communications traffic,\n service requests and responses, and information of differing security\n categories." - }, - { - "id": "ac-4.21_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-4.21_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-4(21)[1]" - } - ], - "prose": "the organization defines the required separations of information flows by types\n of information;" - }, - { - "id": "ac-4.21_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-4(21)[2]" - } - ], - "prose": "the organization defines the mechanisms and/or techniques to be used to\n separate information flows logically or physically; and" - }, - { - "id": "ac-4.21_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-4(21)[3]" - } - ], - "prose": "the information system separates information flows logically or physically\n using organization-defined mechanisms and/or techniques to accomplish\n organization-defined required separations by types of information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information flow enforcement policy\\n\\ninformation flow control policies\\n\\nprocedures addressing information flow enforcement\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of required separation of information flows by information types\\n\\nlist of mechanisms and/or techniques used to logically or physically separate\n information flows\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information flow enforcement responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information flow enforcement functions" - } - ] - } - ] - } - ] - }, - { - "id": "ac-5", - "class": "SP800-53", - "title": "Separation of Duties", - "parameters": [ - { - "id": "ac-5_prm_1", - "label": "organization-defined duties of individuals" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-5" - }, - { - "name": "sort-id", - "value": "ac-05" - } - ], - "parts": [ - { - "id": "ac-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Separates {{ ac-5_prm_1 }};" - }, - { - "id": "ac-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents separation of duties of individuals; and" - }, - { - "id": "ac-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines information system access authorizations to support separation of\n duties." - }, - { - "id": "ac-5_fr", - "name": "item", - "title": "AC-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP." - } - ] - } - ] - }, - { - "id": "ac-5_gdn", - "name": "guidance", - "prose": "Separation of duties addresses the potential for abuse of authorized privileges and\n helps to reduce the risk of malevolent activity without collusion. Separation of\n duties includes, for example: (i) dividing mission functions and information system\n support functions among different individuals and/or roles; (ii) conducting\n information system support functions with different individuals (e.g., system\n management, programming, configuration management, quality assurance and testing, and\n network security); and (iii) ensuring security personnel administering access control\n functions do not also administer audit functions.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "ac-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-5(a)" - } - ], - "parts": [ - { - "id": "ac-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-5(a)[1]" - } - ], - "prose": "defines duties of individuals to be separated;" - }, - { - "id": "ac-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-5(a)[2]" - } - ], - "prose": "separates organization-defined duties of individuals;" - } - ] - }, - { - "id": "ac-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-5(b)" - } - ], - "prose": "documents separation of duties; and" - }, - { - "id": "ac-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-5(c)" - } - ], - "prose": "defines information system access authorizations to support separation of\n duties." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing divisions of responsibility and separation of duties\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of divisions of responsibility and separation of duties\\n\\ninformation system access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining appropriate divisions\n of responsibility and separation of duties\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing separation of duties policy" - } - ] - } - ] - }, - { - "id": "ac-6", - "class": "SP800-53", - "title": "Least Privilege", - "properties": [ - { - "name": "label", - "value": "AC-6" - }, - { - "name": "sort-id", - "value": "ac-06" - } - ], - "parts": [ - { - "id": "ac-6_smt", - "name": "statement", - "prose": "The organization employs the principle of least privilege, allowing only authorized\n accesses for users (or processes acting on behalf of users) which are necessary to\n accomplish assigned tasks in accordance with organizational missions and business\n functions." - }, - { - "id": "ac-6_gdn", - "name": "guidance", - "prose": "Organizations employ least privilege for specific duties and information systems. The\n principle of least privilege is also applied to information system processes,\n ensuring that the processes operate at privilege levels no higher than necessary to\n accomplish required organizational missions/business functions. Organizations\n consider the creation of additional processes, roles, and information system accounts\n as necessary, to achieve least privilege. Organizations also apply least privilege to\n the development, implementation, and operation of organizational information\n systems.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "ac-6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs the principle of least privilege, allowing only\n authorized access for users (and processes acting on behalf of users) which are\n necessary to accomplish assigned tasks in accordance with organizational missions and\n business functions. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of assigned access authorizations (user privileges)\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ], - "controls": [ - { - "id": "ac-6.1", - "class": "SP800-53-enhancement", - "title": "Authorize Access to Security Functions", - "parameters": [ - { - "id": "ac-6.1_prm_1", - "label": "organization-defined security functions (deployed in hardware, software, and\n firmware) and security-relevant information" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(1)" - }, - { - "name": "sort-id", - "value": "ac-06.01" - } - ], - "parts": [ - { - "id": "ac-6.1_smt", - "name": "statement", - "prose": "The organization explicitly authorizes access to {{ ac-6.1_prm_1 }}." - }, - { - "id": "ac-6.1_gdn", - "name": "guidance", - "prose": "Security functions include, for example, establishing system accounts, configuring\n access authorizations (i.e., permissions, privileges), setting events to be\n audited, and setting intrusion detection parameters. Security-relevant information\n includes, for example, filtering rules for routers/firewalls, cryptographic key\n management information, configuration parameters for security services, and access\n control lists. Explicitly authorized personnel include, for example, security\n administrators, system and network administrators, system security officers,\n system maintenance personnel, system programmers, and other privileged users.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - } - ] - }, - { - "id": "ac-6.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(1)[1]" - } - ], - "prose": "defines security-relevant information for which access must be explicitly\n authorized;" - }, - { - "id": "ac-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(1)[2]" - } - ], - "prose": "defines security functions deployed in:", - "parts": [ - { - "id": "ac-6.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[2][a]" - } - ], - "prose": "hardware;" - }, - { - "id": "ac-6.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[2][b]" - } - ], - "prose": "software;" - }, - { - "id": "ac-6.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[2][c]" - } - ], - "prose": "firmware;" - } - ] - }, - { - "id": "ac-6.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(1)[3]" - } - ], - "prose": "explicitly authorizes access to:", - "parts": [ - { - "id": "ac-6.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[3][a]" - } - ], - "prose": "organization-defined security functions; and" - }, - { - "id": "ac-6.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(1)[3][b]" - } - ], - "prose": "security-relevant information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of security functions (deployed in hardware, software, and firmware) and\n security-relevant information for which access must be explicitly\n authorized\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.2", - "class": "SP800-53-enhancement", - "title": "Non-privileged Access for Nonsecurity Functions", - "parameters": [ - { - "id": "ac-6.2_prm_1", - "label": "organization-defined security functions or security-relevant\n information", - "constraints": [ - { - "detail": "all security functions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(2)" - }, - { - "name": "sort-id", - "value": "ac-06.02" - } - ], - "parts": [ - { - "id": "ac-6.2_smt", - "name": "statement", - "prose": "The organization requires that users of information system accounts, or roles,\n with access to {{ ac-6.2_prm_1 }}, use non-privileged accounts or\n roles, when accessing nonsecurity functions.", - "parts": [ - { - "id": "ac-6.2_fr", - "name": "item", - "title": "AC-6 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-6.2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions." - } - ] - } - ] - }, - { - "id": "ac-6.2_gdn", - "name": "guidance", - "prose": "This control enhancement limits exposure when operating from within privileged\n accounts or roles. The inclusion of roles addresses situations where organizations\n implement access control policies such as role-based access control and where a\n change of role provides the same degree of assurance in the change of access\n authorizations for both the user and all processes acting on behalf of the user as\n would be provided by a change between a privileged and non-privileged account.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "ac-6.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-6.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(2)[1]" - } - ], - "prose": "defines security functions or security-relevant information to which users of\n information system accounts, or roles, have access; and" - }, - { - "id": "ac-6.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(2)[2]" - } - ], - "prose": "requires that users of information system accounts, or roles, with access to\n organization-defined security functions or security-relevant information, use\n non-privileged accounts, or roles, when accessing nonsecurity functions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated security functions or security-relevant information\n assigned to information system accounts or roles\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.5", - "class": "SP800-53-enhancement", - "title": "Privileged Accounts", - "parameters": [ - { - "id": "ac-6.5_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-6(5)" - }, - { - "name": "sort-id", - "value": "ac-06.05" - } - ], - "parts": [ - { - "id": "ac-6.5_smt", - "name": "statement", - "prose": "The organization restricts privileged accounts on the information system to\n {{ ac-6.5_prm_1 }}." - }, - { - "id": "ac-6.5_gdn", - "name": "guidance", - "prose": "Privileged accounts, including super user accounts, are typically described as\n system administrator for various types of commercial off-the-shelf operating\n systems. Restricting privileged accounts to specific personnel or roles prevents\n day-to-day users from having access to privileged information/functions.\n Organizations may differentiate in the application of this control enhancement\n between allowed privileges for local accounts and for domain accounts provided\n organizations retain the ability to control information system configurations for\n key security parameters and as otherwise necessary to sufficiently mitigate\n risk.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "ac-6.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-6.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-6(5)[1]" - } - ], - "prose": "defines personnel or roles for which privileged accounts on the information\n system are to be restricted; and" - }, - { - "id": "ac-6.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-6(5)[2]" - } - ], - "prose": "restricts privileged accounts on the information system to organization-defined\n personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\nlist of system-generated privileged accounts\\n\\nlist of system administration personnel\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.9", - "class": "SP800-53-enhancement", - "title": "Auditing Use of Privileged Functions", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-6(9)" - }, - { - "name": "sort-id", - "value": "ac-06.09" - } - ], - "parts": [ - { - "id": "ac-6.9_smt", - "name": "statement", - "prose": "The information system audits the execution of privileged functions." - }, - { - "id": "ac-6.9_gdn", - "name": "guidance", - "prose": "Misuse of privileged functions, either intentionally or unintentionally by\n authorized users, or by unauthorized external entities that have compromised\n information system accounts, is a serious and ongoing concern and can have\n significant adverse impacts on organizations. Auditing the use of privileged\n functions is one way to detect such misuse, and in doing so, help mitigate the\n risk from insider threats and the advanced persistent threat (APT).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "ac-6.9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system audits the execution of privileged functions.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions to be audited\\n\\nlist of audited events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms auditing the execution of least privilege functions" - } - ] - } - ] - }, - { - "id": "ac-6.10", - "class": "SP800-53-enhancement", - "title": "Prohibit Non-privileged Users from Executing Privileged Functions", - "properties": [ - { - "name": "label", - "value": "AC-6(10)" - }, - { - "name": "sort-id", - "value": "ac-06.10" - } - ], - "parts": [ - { - "id": "ac-6.10_smt", - "name": "statement", - "prose": "The information system prevents non-privileged users from executing privileged\n functions to include disabling, circumventing, or altering implemented security\n safeguards/countermeasures." - }, - { - "id": "ac-6.10_gdn", - "name": "guidance", - "prose": "Privileged functions include, for example, establishing information system\n accounts, performing system integrity checks, or administering cryptographic key\n management activities. Non-privileged users are individuals that do not possess\n appropriate authorizations. Circumventing intrusion detection and prevention\n mechanisms or malicious code protection mechanisms are examples of privileged\n functions that require protection from non-privileged users." - }, - { - "id": "ac-6.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system prevents non-privileged users from executing\n privileged functions to include:", - "parts": [ - { - "id": "ac-6.10_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(10)[1]" - } - ], - "prose": "disabling implemented security safeguards/countermeasures;" - }, - { - "id": "ac-6.10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(10)[2]" - } - ], - "prose": "circumventing security safeguards/countermeasures; or" - }, - { - "id": "ac-6.10_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-6(10)[3]" - } - ], - "prose": "altering implemented security safeguards/countermeasures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing least privilege\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of privileged functions and associated user account assignments\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining least privileges\n necessary to accomplish specified tasks\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing least privilege functions for non-privileged\n users" - } - ] - } - ] - } - ] - }, - { - "id": "ac-7", - "class": "SP800-53", - "title": "Unsuccessful Logon Attempts", - "parameters": [ - { - "id": "ac-7_prm_1", - "label": "organization-defined number", - "constraints": [ - { - "detail": "not more than three (3)" - } - ] - }, - { - "id": "ac-7_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - { - "id": "ac-7_prm_3" - }, - { - "id": "ac-7_prm_4", - "depends-on": "ac-7_prm_3", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "locks the account/node for thirty minutes" - } - ] - }, - { - "id": "ac-7_prm_5", - "depends-on": "ac-7_prm_3", - "label": "organization-defined delay algorithm" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-7" - }, - { - "name": "sort-id", - "value": "ac-07" - } - ], - "parts": [ - { - "id": "ac-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon\n attempts by a user during a {{ ac-7_prm_2 }}; and" - }, - { - "id": "ac-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Automatically {{ ac-7_prm_3 }} when the maximum number of\n unsuccessful attempts is exceeded." - } - ] - }, - { - "id": "ac-7_gdn", - "name": "guidance", - "prose": "This control applies regardless of whether the logon occurs via a local or network\n connection. Due to the potential for denial of service, automatic lockouts initiated\n by information systems are usually temporary and automatically release after a\n predetermined time period established by organizations. If a delay algorithm is\n selected, organizations may choose to employ different algorithms for different\n information system components based on the capabilities of those components.\n Responses to unsuccessful logon attempts may be implemented at both the operating\n system and the application levels.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - } - ] - }, - { - "id": "ac-7_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ac-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(a)" - } - ], - "parts": [ - { - "id": "ac-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(a)[1]" - } - ], - "prose": "the organization defines the number of consecutive invalid logon attempts\n allowed to the information system by a user during an organization-defined time\n period;" - }, - { - "id": "ac-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(a)[2]" - } - ], - "prose": "the organization defines the time period allowed by a user of the information\n system for an organization-defined number of consecutive invalid logon\n attempts;" - }, - { - "id": "ac-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(a)[3]" - } - ], - "prose": "the information system enforces a limit of organization-defined number of\n consecutive invalid logon attempts by a user during an organization-defined\n time period;" - } - ] - }, - { - "id": "ac-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)" - } - ], - "parts": [ - { - "id": "ac-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-7(b)[1]" - } - ], - "prose": "the organization defines account/node lockout time period or logon delay\n algorithm to be automatically enforced by the information system when the\n maximum number of unsuccessful logon attempts is exceeded;" - }, - { - "id": "ac-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-7(b)[2]" - } - ], - "prose": "the information system, when the maximum number of unsuccessful logon attempts\n is exceeded, automatically:", - "parts": [ - { - "id": "ac-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][a]" - } - ], - "prose": "locks the account/node for the organization-defined time period;" - }, - { - "id": "ac-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][b]" - } - ], - "prose": "locks the account/node until released by an administrator; or" - }, - { - "id": "ac-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-7(b)[2][c]" - } - ], - "prose": "delays next logon prompt according to the organization-defined delay\n algorithm." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing unsuccessful logon attempts\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem developers\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for unsuccessful logon\n attempts" - } - ] - } - ] - }, - { - "id": "ac-8", - "class": "SP800-53", - "title": "System Use Notification", - "parameters": [ - { - "id": "ac-8_prm_1", - "label": "organization-defined system use notification message or banner", - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - }, - { - "id": "ac-8_prm_2", - "label": "organization-defined conditions", - "constraints": [ - { - "detail": "see additional Requirements and Guidance]" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-8" - }, - { - "name": "sort-id", - "value": "ac-08" - } - ], - "parts": [ - { - "id": "ac-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Displays to users {{ ac-8_prm_1 }} before granting access to the\n system that provides privacy and security notices consistent with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance and states that:", - "parts": [ - { - "id": "ac-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Information system usage may be monitored, recorded, and subject to audit;" - }, - { - "id": "ac-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties; and" - }, - { - "id": "ac-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Use of the information system indicates consent to monitoring and\n recording;" - } - ] - }, - { - "id": "ac-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains the notification message or banner on the screen until users acknowledge\n the usage conditions and take explicit actions to log on to or further access the\n information system; and" - }, - { - "id": "ac-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "For publicly accessible systems:", - "parts": [ - { - "id": "ac-8_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Displays system use information {{ ac-8_prm_2 }}, before\n granting further access;" - }, - { - "id": "ac-8_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Displays references, if any, to monitoring, recording, or auditing that are\n consistent with privacy accommodations for such systems that generally prohibit\n those activities; and" - }, - { - "id": "ac-8_smt.c.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Includes a description of the authorized uses of the system." - } - ] - }, - { - "id": "ac-8_fr", - "name": "item", - "title": "AC-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ac-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO." - }, - { - "id": "ac-8_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided." - }, - { - "id": "ac-8_fr_smt.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "ac-8_gdn", - "name": "guidance", - "prose": "System use notifications can be implemented using messages or warning banners\n displayed before individuals log in to information systems. System use notifications\n are used only for access via logon interfaces with human users and are not required\n when such human interfaces do not exist. Organizations consider system use\n notification messages/banners displayed in multiple languages based on specific\n organizational needs and the demographics of information system users. Organizations\n also consult with the Office of the General Counsel for legal review and approval of\n warning banner content." - }, - { - "id": "ac-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)" - } - ], - "parts": [ - { - "id": "ac-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(a)[1]" - } - ], - "prose": "the organization defines a system use notification message or banner to be\n displayed by the information system to users before granting access to the\n system;" - }, - { - "id": "ac-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(a)[2]" - } - ], - "prose": "the information system displays to users the organization-defined system use\n notification message or banner before granting access to the information system\n that provides privacy and security notices consistent with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance, and states that:", - "parts": [ - { - "id": "ac-8.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](1)" - } - ], - "prose": "users are accessing a U.S. Government information system;" - }, - { - "id": "ac-8.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](2)" - } - ], - "prose": "information system usage may be monitored, recorded, and subject to\n audit;" - }, - { - "id": "ac-8.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](3)" - } - ], - "prose": "unauthorized use of the information system is prohibited and subject to\n criminal and civil penalties;" - }, - { - "id": "ac-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(a)[2](4)" - } - ], - "prose": "use of the information system indicates consent to monitoring and\n recording;" - } - ] - } - ] - }, - { - "id": "ac-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(b)" - } - ], - "prose": "the information system retains the notification message or banner on the screen\n until users acknowledge the usage conditions and take explicit actions to log on\n to or further access the information system;" - }, - { - "id": "ac-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)" - } - ], - "prose": "for publicly accessible systems:", - "parts": [ - { - "id": "ac-8.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-8(c)(1)" - } - ], - "parts": [ - { - "id": "ac-8.c.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(c)(1)[1]" - } - ], - "prose": "the organization defines conditions for system use to be displayed by the\n information system before granting further access;" - }, - { - "id": "ac-8.c.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(c)(1)[2]" - } - ], - "prose": "the information system displays organization-defined conditions before\n granting further access;" - } - ] - }, - { - "id": "ac-8.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-8(c)(2)" - } - ], - "prose": "the information system displays references, if any, to monitoring, recording,\n or auditing that are consistent with privacy accommodations for such systems\n that generally prohibit those activities; and" - }, - { - "id": "ac-8.c.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-8(c)(3)" - } - ], - "prose": "the information system includes a description of the authorized uses of the\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprivacy and security policies, procedures addressing system use notification\\n\\ndocumented approval of information system use notification messages or banners\\n\\ninformation system audit records\\n\\nuser acknowledgements of notification message or banner\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system use notification messages\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for providing legal advice\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing system use notification" - } - ] - } - ] - }, - { - "id": "ac-10", - "class": "SP800-53", - "title": "Concurrent Session Control", - "parameters": [ - { - "id": "ac-10_prm_1", - "label": "organization-defined account and/or account type" - }, - { - "id": "ac-10_prm_2", - "label": "organization-defined number", - "constraints": [ - { - "detail": "three (3) sessions for privileged access and two (2) sessions for non-privileged access" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AC-10" - }, - { - "name": "sort-id", - "value": "ac-10" - } - ], - "parts": [ - { - "id": "ac-10_smt", - "name": "statement", - "prose": "The information system limits the number of concurrent sessions for each {{ ac-10_prm_1 }} to {{ ac-10_prm_2 }}." - }, - { - "id": "ac-10_gdn", - "name": "guidance", - "prose": "Organizations may define the maximum number of concurrent sessions for information\n system accounts globally, by account type (e.g., privileged user, non-privileged\n user, domain, specific application), by account, or a combination. For example,\n organizations may limit the number of concurrent sessions for system administrators\n or individuals working in particularly sensitive domains or mission-critical\n applications. This control addresses concurrent sessions for information system\n accounts and does not address concurrent sessions by single users via multiple system\n accounts." - }, - { - "id": "ac-10_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-10[1]" - } - ], - "prose": "the organization defines account and/or account types for the information\n system;" - }, - { - "id": "ac-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-10[2]" - } - ], - "prose": "the organization defines the number of concurrent sessions to be allowed for each\n organization-defined account and/or account type; and" - }, - { - "id": "ac-10_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-10[3]" - } - ], - "prose": "the information system limits the number of concurrent sessions for each\n organization-defined account and/or account type to the organization-defined\n number of concurrent sessions allowed." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing concurrent session control\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for concurrent session\n control" - } - ] - } - ] - }, - { - "id": "ac-11", - "class": "SP800-53", - "title": "Session Lock", - "parameters": [ - { - "id": "ac-11_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-11" - }, - { - "name": "sort-id", - "value": "ac-11" - } - ], - "links": [ - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - } - ], - "parts": [ - { - "id": "ac-11_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "ac-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prevents further access to the system by initiating a session lock after {{ ac-11_prm_1 }} of inactivity or upon receiving a request from a user;\n and" - }, - { - "id": "ac-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains the session lock until the user reestablishes access using established\n identification and authentication procedures." - } - ] - }, - { - "id": "ac-11_gdn", - "name": "guidance", - "prose": "Session locks are temporary actions taken when users stop work and move away from the\n immediate vicinity of information systems but do not want to log out because of the\n temporary nature of their absences. Session locks are implemented where session\n activities can be determined. This is typically at the operating system level, but\n can also be at the application level. Session locks are not an acceptable substitute\n for logging out of information systems, for example, if organizations require users\n to log out at the end of workdays.", - "links": [ - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - } - ] - }, - { - "id": "ac-11_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-11(a)" - } - ], - "parts": [ - { - "id": "ac-11.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-11(a)[1]" - } - ], - "prose": "the organization defines the time period of user inactivity after which the\n information system initiates a session lock;" - }, - { - "id": "ac-11.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11(a)[2]" - } - ], - "prose": "the information system prevents further access to the system by initiating a\n session lock after organization-defined time period of user inactivity or upon\n receiving a request from a user; and" - } - ] - }, - { - "id": "ac-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-11(b)" - } - ], - "prose": "the information system retains the session lock until the user reestablishes\n access using established identification and authentication procedures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session lock\\n\\nprocedures addressing identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing access control policy for session lock" - } - ] - } - ], - "controls": [ - { - "id": "ac-11.1", - "class": "SP800-53-enhancement", - "title": "Pattern-hiding Displays", - "properties": [ - { - "name": "label", - "value": "AC-11(1)" - }, - { - "name": "sort-id", - "value": "ac-11.01" - } - ], - "parts": [ - { - "id": "ac-11.1_smt", - "name": "statement", - "prose": "The information system conceals, via the session lock, information previously\n visible on the display with a publicly viewable image." - }, - { - "id": "ac-11.1_gdn", - "name": "guidance", - "prose": "Publicly viewable images can include static or dynamic images, for example,\n patterns used with screen savers, photographic images, solid colors, clock,\n battery life indicator, or a blank screen, with the additional caveat that none of\n the images convey sensitive information." - }, - { - "id": "ac-11.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system conceals, via the session lock, information\n previously visible on the display with a publicly viewable image." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session lock\\n\\ndisplay screen with session lock activated\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system session lock mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "ac-12", - "class": "SP800-53", - "title": "Session Termination", - "parameters": [ - { - "id": "ac-12_prm_1", - "label": "organization-defined conditions or trigger events requiring session\n disconnect" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-12" - }, - { - "name": "sort-id", - "value": "ac-12" - } - ], - "parts": [ - { - "id": "ac-12_smt", - "name": "statement", - "prose": "The information system automatically terminates a user session after {{ ac-12_prm_1 }}." - }, - { - "id": "ac-12_gdn", - "name": "guidance", - "prose": "This control addresses the termination of user-initiated logical sessions in contrast\n to SC-10 which addresses the termination of network connections that are associated\n with communications sessions (i.e., network disconnect). A logical session (for\n local, network, and remote access) is initiated whenever a user (or process acting on\n behalf of a user) accesses an organizational information system. Such user sessions\n can be terminated (and thus terminate user access) without terminating network\n sessions. Session termination terminates all processes associated with a user’s\n logical session except those processes that are specifically created by the user\n (i.e., session owner) to continue after the session is terminated. Conditions or\n trigger events requiring automatic session termination can include, for example,\n organization-defined periods of user inactivity, targeted responses to certain types\n of incidents, time-of-day restrictions on information system use.", - "links": [ - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-23", - "rel": "related", - "text": "SC-23" - } - ] - }, - { - "id": "ac-12_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-12[1]" - } - ], - "prose": "the organization defines conditions or trigger events requiring session\n disconnect; and" - }, - { - "id": "ac-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-12[2]" - } - ], - "prose": "the information system automatically terminates a user session after\n organization-defined conditions or trigger events requiring session disconnect\n occurs." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing session termination\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of conditions or trigger events requiring session disconnect\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing user session termination" - } - ] - } - ] - }, - { - "id": "ac-14", - "class": "SP800-53", - "title": "Permitted Actions Without Identification or Authentication", - "parameters": [ - { - "id": "ac-14_prm_1", - "label": "organization-defined user actions" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-14" - }, - { - "name": "sort-id", - "value": "ac-14" - } - ], - "parts": [ - { - "id": "ac-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies {{ ac-14_prm_1 }} that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - }, - { - "id": "ac-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "id": "ac-14_gdn", - "name": "guidance", - "prose": "This control addresses situations in which organizations determine that no\n identification or authentication is required in organizational information systems.\n Organizations may allow a limited number of user actions without identification or\n authentication including, for example, when individuals access public websites or\n other publicly accessible federal information systems, when individuals use mobile\n phones to receive calls, or when facsimiles are received. Organizations also identify\n actions that normally require identification or authentication but may under certain\n circumstances (e.g., emergencies), allow identification or authentication mechanisms\n to be bypassed. Such bypasses may occur, for example, via a software-readable\n physical switch that commands bypass of the logon functionality and is protected from\n accidental or unmonitored use. This control does not apply to situations where\n identification and authentication have already occurred and are not repeated, but\n rather to situations where identification and authentication have not yet occurred.\n Organizations may decide that there are no user actions that can be performed on\n organizational information systems without identification and authentication and\n thus, the values for assignment statements can be none.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - } - ] - }, - { - "id": "ac-14_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-14(a)" - } - ], - "parts": [ - { - "id": "ac-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14(a)[1]" - } - ], - "prose": "defines user actions that can be performed on the information system without\n identification or authentication consistent with organizational\n missions/business functions;" - }, - { - "id": "ac-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AC-14(a)[2]" - } - ], - "prose": "identifies organization-defined user actions that can be performed on the\n information system without identification or authentication consistent with\n organizational missions/business functions; and" - } - ] - }, - { - "id": "ac-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-14(b)" - } - ], - "prose": "documents and provides supporting rationale in the security plan for the\n information system, user actions not requiring identification or\n authentication." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing permitted actions without identification or\n authentication\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\nlist of user actions that can be performed without identification or\n authentication\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ac-17", - "class": "SP800-53", - "title": "Remote Access", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-17" - }, - { - "name": "sort-id", - "value": "ac-17" - } - ], - "links": [ - { - "href": "#5309d4d0-46f8-4213-a749-e7584164e5e8", - "rel": "reference", - "text": "NIST Special Publication 800-46" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#349fe082-502d-464a-aa0c-1443c6a5cf40", - "rel": "reference", - "text": "NIST Special Publication 800-113" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#d1a4e2a9-e512-4132-8795-5357aba29254", - "rel": "reference", - "text": "NIST Special Publication 800-121" - } - ], - "parts": [ - { - "id": "ac-17_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents usage restrictions, configuration/connection\n requirements, and implementation guidance for each type of remote access allowed;\n and" - }, - { - "id": "ac-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-17_gdn", - "name": "guidance", - "prose": "Remote access is access to organizational information systems by users (or processes\n acting on behalf of users) communicating through external networks (e.g., the\n Internet). Remote access methods include, for example, dial-up, broadband, and\n wireless. Organizations often employ encrypted virtual private networks (VPNs) to\n enhance confidentiality and integrity over remote connections. The use of encrypted\n VPNs does not make the access non-remote; however, the use of VPNs, when adequately\n provisioned with appropriate security controls (e.g., employing appropriate\n encryption techniques for confidentiality and integrity protection) may provide\n sufficient assurance to the organization that it can effectively treat such\n connections as internal networks. Still, VPN connections traverse external networks,\n and the encrypted VPN does not enhance the availability of remote connections. Also,\n VPNs with encrypted tunnels can affect the organizational capability to adequately\n monitor network communications traffic for malicious code. Remote access controls\n apply to information systems other than public web servers or systems designed for\n public access. This control addresses authorization prior to allowing remote access\n without specifying the formats for such authorization. While organizations may use\n interconnection security agreements to authorize remote access connections, such\n agreements are not required by this control. Enforcing access restrictions for remote\n connections is addressed in AC-3.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#pe-17", - "rel": "related", - "text": "PE-17" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-17_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)" - } - ], - "parts": [ - { - "id": "ac-17.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[1]" - } - ], - "prose": "identifies the types of remote access allowed to the information system;" - }, - { - "id": "ac-17.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[2]" - } - ], - "prose": "establishes for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[2][c]" - } - ], - "prose": "implementation guidance;" - } - ] - }, - { - "id": "ac-17.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(a)[3]" - } - ], - "prose": "documents for each type of remote access allowed:", - "parts": [ - { - "id": "ac-17.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][a]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-17.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][b]" - } - ], - "prose": "configuration/connection requirements;" - }, - { - "id": "ac-17.a_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(a)[3][c]" - } - ], - "prose": "implementation guidance; and" - } - ] - } - ] - }, - { - "id": "ac-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(b)" - } - ], - "prose": "authorizes remote access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nremote access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing remote access\n connections\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Remote access management capability for the information system" - } - ] - } - ], - "controls": [ - { - "id": "ac-17.1", - "class": "SP800-53-enhancement", - "title": "Automated Monitoring / Control", - "properties": [ - { - "name": "label", - "value": "AC-17(1)" - }, - { - "name": "sort-id", - "value": "ac-17.01" - } - ], - "parts": [ - { - "id": "ac-17.1_smt", - "name": "statement", - "prose": "The information system monitors and controls remote access methods." - }, - { - "id": "ac-17.1_gdn", - "name": "guidance", - "prose": "Automated monitoring and control of remote access sessions allows organizations to\n detect cyber attacks and also ensure ongoing compliance with remote access\n policies by auditing connection activities of remote users on a variety of\n information system components (e.g., servers, workstations, notebook computers,\n smart phones, and tablets).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "ac-17.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system monitors and controls remote access methods.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system monitoring records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms monitoring and controlling remote access methods" - } - ] - } - ] - }, - { - "id": "ac-17.2", - "class": "SP800-53-enhancement", - "title": "Protection of Confidentiality / Integrity Using Encryption", - "properties": [ - { - "name": "label", - "value": "AC-17(2)" - }, - { - "name": "sort-id", - "value": "ac-17.02" - } - ], - "parts": [ - { - "id": "ac-17.2_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of remote access sessions." - }, - { - "id": "ac-17.2_gdn", - "name": "guidance", - "prose": "The encryption strength of mechanism is selected based on the security\n categorization of the information.", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-17.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements cryptographic mechanisms to protect\n the confidentiality and integrity of remote access sessions. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting confidentiality and integrity of remote\n access sessions" - } - ] - } - ] - }, - { - "id": "ac-17.3", - "class": "SP800-53-enhancement", - "title": "Managed Access Control Points", - "parameters": [ - { - "id": "ac-17.3_prm_1", - "label": "organization-defined number" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-17(3)" - }, - { - "name": "sort-id", - "value": "ac-17.03" - } - ], - "parts": [ - { - "id": "ac-17.3_smt", - "name": "statement", - "prose": "The information system routes all remote accesses through {{ ac-17.3_prm_1 }} managed network access control points." - }, - { - "id": "ac-17.3_gdn", - "name": "guidance", - "prose": "Limiting the number of access control points for remote accesses reduces the\n attack surface for organizations. Organizations consider the Trusted Internet\n Connections (TIC) initiative requirements for external network connections.", - "links": [ - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "ac-17.3_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ac-17.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(3)[1]" - } - ], - "prose": "the organization defines the number of managed network access control points\n through which all remote accesses are to be routed; and" - }, - { - "id": "ac-17.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(3)[2]" - } - ], - "prose": "the information system routes all remote accesses through the\n organization-defined number of managed network access control points." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system design documentation\\n\\nlist of all managed network access control points\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms routing all remote accesses through managed network access\n control points" - } - ] - } - ] - }, - { - "id": "ac-17.4", - "class": "SP800-53-enhancement", - "title": "Privileged Commands / Access", - "parameters": [ - { - "id": "ac-17.4_prm_1", - "label": "organization-defined needs" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-17(4)" - }, - { - "name": "sort-id", - "value": "ac-17.04" - } - ], - "parts": [ - { - "id": "ac-17.4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-17.4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Authorizes the execution of privileged commands and access to security-relevant\n information via remote access only for {{ ac-17.4_prm_1 }};\n and" - }, - { - "id": "ac-17.4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Documents the rationale for such access in the security plan for the\n information system." - } - ] - }, - { - "id": "ac-17.4_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ac-17.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-17(4)(a)" - } - ], - "parts": [ - { - "id": "ac-17.4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(4)(a)[1]" - } - ], - "prose": "defines needs to authorize the execution of privileged commands and access\n to security-relevant information via remote access;" - }, - { - "id": "ac-17.4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(4)(a)[2]" - } - ], - "prose": "authorizes the execution of privileged commands and access to\n security-relevant information via remote access only for\n organization-defined needs; and" - } - ], - "links": [ - { - "href": "#ac-17.4_smt.a", - "rel": "corresp", - "text": "AC-17(4)(a)" - } - ] - }, - { - "id": "ac-17.4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(4)(b)" - } - ], - "prose": "documents the rationale for such access in the information system security\n plan.", - "links": [ - { - "href": "#ac-17.4_smt.b", - "rel": "corresp", - "text": "AC-17(4)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing remote access to the information system\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing remote access management" - } - ] - } - ] - }, - { - "id": "ac-17.9", - "class": "SP800-53-enhancement", - "title": "Disconnect / Disable Access", - "parameters": [ - { - "id": "ac-17.9_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "fifteen 15 minutes" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-17(9)" - }, - { - "name": "sort-id", - "value": "ac-17.09" - } - ], - "parts": [ - { - "id": "ac-17.9_smt", - "name": "statement", - "prose": "The organization provides the capability to expeditiously disconnect or disable\n remote access to the information system within {{ ac-17.9_prm_1 }}." - }, - { - "id": "ac-17.9_gdn", - "name": "guidance", - "prose": "This control enhancement requires organizations to have the capability to rapidly\n disconnect current users remotely accessing the information system and/or disable\n further remote access. The speed of disconnect or disablement varies based on the\n criticality of missions/business functions and the need to eliminate immediate or\n future remote access to organizational information systems." - }, - { - "id": "ac-17.9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-17.9_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-17(9)[1]" - } - ], - "prose": "defines the time period within which to expeditiously disconnect or disable\n remote access to the information system; and" - }, - { - "id": "ac-17.9_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-17(9)[2]" - } - ], - "prose": "provides the capability to expeditiously disconnect or disable remote access to\n the information system within the organization-defined time period." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing disconnecting or disabling remote access to the\n information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity plan, information system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing capability to disconnect or disable remote\n access to information system" - } - ] - } - ] - } - ] - }, - { - "id": "ac-18", - "class": "SP800-53", - "title": "Wireless Access", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-18" - }, - { - "name": "sort-id", - "value": "ac-18" - } - ], - "links": [ - { - "href": "#238ed479-eccb-49f6-82ec-ab74a7a428cf", - "rel": "reference", - "text": "NIST Special Publication 800-48" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#6f336ecd-f2a0-4c84-9699-0491d81b6e0d", - "rel": "reference", - "text": "NIST Special Publication 800-97" - } - ], - "parts": [ - { - "id": "ac-18_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-18_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration/connection requirements, and\n implementation guidance for wireless access; and" - }, - { - "id": "ac-18_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "id": "ac-18_gdn", - "name": "guidance", - "prose": "Wireless technologies include, for example, microwave, packet radio (UHF/VHF),\n 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,\n EAP/TLS, PEAP), which provide credential protection and mutual authentication.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-18.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-18(a)" - } - ], - "prose": "establishes for wireless access:", - "parts": [ - { - "id": "ac-18.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-18.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-18.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-18.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-18(b)" - } - ], - "prose": "authorizes wireless access to the information system prior to allowing such\n connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless access implementation and usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nwireless access authorizations\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing wireless access\n connections\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Wireless access management capability for the information system" - } - ] - } - ], - "controls": [ - { - "id": "ac-18.1", - "class": "SP800-53-enhancement", - "title": "Authentication and Encryption", - "parameters": [ - { - "id": "ac-18.1_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-18(1)" - }, - { - "name": "sort-id", - "value": "ac-18.01" - } - ], - "parts": [ - { - "id": "ac-18.1_smt", - "name": "statement", - "prose": "The information system protects wireless access to the system using authentication\n of {{ ac-18.1_prm_1 }} and encryption." - }, - { - "id": "ac-18.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ac-18.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system protects wireless access to the system using\n encryption and one or more of the following:", - "parts": [ - { - "id": "ac-18.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(1)[1]" - } - ], - "prose": "authentication of users; and/or" - }, - { - "id": "ac-18.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-18(1)[2]" - } - ], - "prose": "authentication of devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing wireless implementation and usage (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing wireless access protections to the\n information system" - } - ] - } - ] - } - ] - }, - { - "id": "ac-19", - "class": "SP800-53", - "title": "Access Control for Mobile Devices", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-19" - }, - { - "name": "sort-id", - "value": "ac-19" - } - ], - "links": [ - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#1201fcf3-afb1-4675-915a-fb4ae0435717", - "rel": "reference", - "text": "NIST Special Publication 800-114" - }, - { - "href": "#0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589", - "rel": "reference", - "text": "NIST Special Publication 800-124" - }, - { - "href": "#6513e480-fada-4876-abba-1397084dfb26", - "rel": "reference", - "text": "NIST Special Publication 800-164" - } - ], - "parts": [ - { - "id": "ac-19_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-19_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions, configuration requirements, connection\n requirements, and implementation guidance for organization-controlled mobile\n devices; and" - }, - { - "id": "ac-19_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "id": "ac-19_gdn", - "name": "guidance", - "prose": "A mobile device is a computing device that: (i) has a small form factor such that it\n can easily be carried by a single individual; (ii) is designed to operate without a\n physical connection (e.g., wirelessly transmit or receive information); (iii)\n possesses local, non-removable or removable data storage; and (iv) includes a\n self-contained power source. Mobile devices may also include voice communication\n capabilities, on-board sensors that allow the device to capture information, and/or\n built-in features for synchronizing local data with remote locations. Examples\n include smart phones, E-readers, and tablets. Mobile devices are typically associated\n with a single individual and the device is usually in close proximity to the\n individual; however, the degree of proximity can vary depending upon on the form\n factor and size of the device. The processing, storage, and transmission capability\n of the mobile device may be comparable to or merely a subset of desktop systems,\n depending upon the nature and intended purpose of the device. Due to the large\n variety of mobile devices with different technical characteristics and capabilities,\n organizational restrictions may vary for the different classes/types of such devices.\n Usage restrictions and specific implementation guidance for mobile devices include,\n for example, configuration management, device identification and authentication,\n implementation of mandatory protective software (e.g., malicious code detection,\n firewall), scanning devices for malicious code, updating virus protection software,\n scanning for critical software updates and patches, conducting primary operating\n system (and possibly other resident software) integrity checks, and disabling\n unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the\n need to provide adequate security for mobile devices goes beyond the requirements in\n this control. Many safeguards and countermeasures for mobile devices are reflected in\n other security controls in the catalog allocated in the initial control baselines as\n starting points for the development of security plans and overlays using the\n tailoring process. There may also be some degree of overlap in the requirements\n articulated by the security controls within the different families of controls. AC-20\n addresses mobile devices that are not organization-controlled.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-9", - "rel": "related", - "text": "CA-9" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-43", - "rel": "related", - "text": "SC-43" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ac-19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-19.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(a)" - } - ], - "prose": "establishes for organization-controlled mobile devices:", - "parts": [ - { - "id": "ac-19.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[1]" - } - ], - "prose": "usage restrictions;" - }, - { - "id": "ac-19.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[2]" - } - ], - "prose": "configuration/connection requirement;" - }, - { - "id": "ac-19.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-19(a)[3]" - } - ], - "prose": "implementation guidance; and" - } - ] - }, - { - "id": "ac-19.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(b)" - } - ], - "prose": "authorizes the connection of mobile devices to organizational information\n systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access control for mobile device usage (including\n restrictions)\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nauthorizations for mobile device connections to organizational information\n systems\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel using mobile devices to access organizational information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control capability authorizing mobile device connections to organizational\n information systems" - } - ] - } - ], - "controls": [ - { - "id": "ac-19.5", - "class": "SP800-53-enhancement", - "title": "Full Device / Container-based Encryption", - "parameters": [ - { - "id": "ac-19.5_prm_1" - }, - { - "id": "ac-19.5_prm_2", - "label": "organization-defined mobile devices" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-19(5)" - }, - { - "name": "sort-id", - "value": "ac-19.05" - } - ], - "parts": [ - { - "id": "ac-19.5_smt", - "name": "statement", - "prose": "The organization employs {{ ac-19.5_prm_1 }} to protect the\n confidentiality and integrity of information on {{ ac-19.5_prm_2 }}." - }, - { - "id": "ac-19.5_gdn", - "name": "guidance", - "prose": "Container-based encryption provides a more fine-grained approach to the encryption\n of data/information on mobile devices, including for example, encrypting selected\n data structures such as files, records, or fields.", - "links": [ - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "ac-19.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ac-19.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-19(5)[1]" - } - ], - "prose": "defines mobile devices for which full-device encryption or container encryption\n is required to protect the confidentiality and integrity of information on such\n devices; and" - }, - { - "id": "ac-19.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-19(5)[2]" - } - ], - "prose": "employs full-device encryption or container encryption to protect the\n confidentiality and integrity of information on organization-defined mobile\n devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing access control for mobile devices\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nencryption mechanism s and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities for mobile\n devices\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Encryption mechanisms protecting confidentiality and integrity of information\n on mobile devices" - } - ] - } - ] - } - ] - }, - { - "id": "ac-20", - "class": "SP800-53", - "title": "Use of External Information Systems", - "properties": [ - { - "name": "label", - "value": "AC-20" - }, - { - "name": "sort-id", - "value": "ac-20" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - } - ], - "parts": [ - { - "id": "ac-20_smt", - "name": "statement", - "prose": "The organization establishes terms and conditions, consistent with any trust\n relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to:", - "parts": [ - { - "id": "ac-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Access the information system from external information systems; and" - }, - { - "id": "ac-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "id": "ac-20_gdn", - "name": "guidance", - "prose": "External information systems are information systems or components of information\n systems that are outside of the authorization boundary established by organizations\n and for which organizations typically have no direct supervision and authority over\n the application of required security controls or the assessment of control\n effectiveness. External information systems include, for example: (i) personally\n owned information systems/devices (e.g., notebook computers, smart phones, tablets,\n personal digital assistants); (ii) privately owned computing and communications\n devices resident in commercial or public facilities (e.g., hotels, train stations,\n convention centers, shopping malls, or airports); (iii) information systems owned or\n controlled by nonfederal governmental organizations; and (iv) federal information\n systems that are not owned by, operated by, or under the direct supervision and\n authority of organizations. This control also addresses the use of external\n information systems for the processing, storage, or transmission of organizational\n information, including, for example, accessing cloud services (e.g., infrastructure\n as a service, platform as a service, or software as a service) from organizational\n information systems. For some external information systems (i.e., information systems\n operated by other federal agencies, including organizations subordinate to those\n agencies), the trust relationships that have been established between those\n organizations and the originating organization may be such, that no explicit terms\n and conditions are required. Information systems within these organizations would not\n be considered external. These situations occur when, for example, there are\n pre-existing sharing/trust agreements (either implicit or explicit) established\n between federal agencies or organizations subordinate to those agencies, or when such\n trust agreements are specified by applicable laws, Executive Orders, directives, or\n policies. Authorized individuals include, for example, organizational personnel,\n contractors, or other individuals with authorized access to organizational\n information systems and over which organizations have the authority to impose rules\n of behavior with regard to system access. Restrictions that organizations impose on\n authorized individuals need not be uniform, as those restrictions may vary depending\n upon the trust relationships between organizations. Therefore, organizations may\n choose to impose different security restrictions on contractors than on state, local,\n or tribal governments. This control does not apply to the use of external information\n systems to access public interfaces to organizational information systems (e.g.,\n individuals accessing federal information through www.usa.gov). Organizations\n establish terms and conditions for the use of external information systems in\n accordance with organizational security policies and procedures. Terms and conditions\n address as a minimum: types of applications that can be accessed on organizational\n information systems from external information systems; and the highest security\n category of information that can be processed, stored, or transmitted on external\n information systems. If terms and conditions with the owners of external information\n systems cannot be established, organizations may impose restrictions on\n organizational personnel using those external systems.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ac-20_obj", - "name": "objective", - "prose": "Determine if the organization establishes terms and conditions, consistent with any\n trust relationships established with other organizations owning, operating, and/or\n maintaining external information systems, allowing authorized individuals to: ", - "parts": [ - { - "id": "ac-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(a)" - } - ], - "prose": "access the information system from the external information systems; and" - }, - { - "id": "ac-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-20(b)" - } - ], - "prose": "process, store, or transmit organization-controlled information using external\n information systems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nexternal information systems terms and conditions\\n\\nlist of types of applications accessible from external information systems\\n\\nmaximum security categorization for information processed, stored, or transmitted\n on external information systems\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for defining terms and conditions\n for use of external information systems to access organizational systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing terms and conditions on use of external\n information systems" - } - ] - } - ], - "controls": [ - { - "id": "ac-20.1", - "class": "SP800-53-enhancement", - "title": "Limits On Authorized Use", - "properties": [ - { - "name": "label", - "value": "AC-20(1)" - }, - { - "name": "sort-id", - "value": "ac-20.01" - } - ], - "parts": [ - { - "id": "ac-20.1_smt", - "name": "statement", - "prose": "The organization permits authorized individuals to use an external information\n system to access the information system or to process, store, or transmit\n organization-controlled information only when the organization:", - "parts": [ - { - "id": "ac-20.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or" - }, - { - "id": "ac-20.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system." - } - ] - }, - { - "id": "ac-20.1_gdn", - "name": "guidance", - "prose": "This control enhancement recognizes that there are circumstances where individuals\n using external information systems (e.g., contractors, coalition partners) need to\n access organizational information systems. In those situations, organizations need\n confidence that the external information systems contain the necessary security\n safeguards (i.e., security controls), so as not to compromise, damage, or\n otherwise harm organizational information systems. Verification that the required\n security controls have been implemented can be achieved, for example, by\n third-party, independent assessments, attestations, or other means, depending on\n the confidence level required by organizations.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - } - ] - }, - { - "id": "ac-20.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization permits authorized individuals to use an external\n information system to access the information system or to process, store, or\n transmit organization-controlled information only when the organization: ", - "parts": [ - { - "id": "ac-20.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-20(1)(a)" - } - ], - "prose": "verifies the implementation of required security controls on the external\n system as specified in the organization’s information security policy and\n security plan; or", - "links": [ - { - "href": "#ac-20.1_smt.a", - "rel": "corresp", - "text": "AC-20(1)(a)" - } - ] - }, - { - "id": "ac-20.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-20(1)(b)" - } - ], - "prose": "retains approved information system connection or processing agreements with\n the organizational entity hosting the external information system.", - "links": [ - { - "href": "#ac-20.1_smt.b", - "rel": "corresp", - "text": "AC-20(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing limits on use of external information\n systems" - } - ] - } - ] - }, - { - "id": "ac-20.2", - "class": "SP800-53-enhancement", - "title": "Portable Storage Devices", - "parameters": [ - { - "id": "ac-20.2_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-20(2)" - }, - { - "name": "sort-id", - "value": "ac-20.02" - } - ], - "parts": [ - { - "id": "ac-20.2_smt", - "name": "statement", - "prose": "The organization {{ ac-20.2_prm_1 }} the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems." - }, - { - "id": "ac-20.2_gdn", - "name": "guidance", - "prose": "Limits on the use of organization-controlled portable storage devices in external\n information systems include, for example, complete prohibition of the use of such\n devices or restrictions on how the devices may be used and under what conditions\n the devices may be used." - }, - { - "id": "ac-20.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization restricts or prohibits the use of\n organization-controlled portable storage devices by authorized individuals on\n external information systems. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing the use of external information systems\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system connection or processing agreements\\n\\naccount management documents\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for restricting or prohibiting\n use of organization-controlled storage devices on external information\n systems\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on use of portable storage\n devices" - } - ] - } - ] - } - ] - }, - { - "id": "ac-21", - "class": "SP800-53", - "title": "Information Sharing", - "parameters": [ - { - "id": "ac-21_prm_1", - "label": "organization-defined information sharing circumstances where user discretion is\n required" - }, - { - "id": "ac-21_prm_2", - "label": "organization-defined automated mechanisms or manual processes" - } - ], - "properties": [ - { - "name": "label", - "value": "AC-21" - }, - { - "name": "sort-id", - "value": "ac-21" - } - ], - "parts": [ - { - "id": "ac-21_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-21_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Facilitates information sharing by enabling authorized users to determine whether\n access authorizations assigned to the sharing partner match the access\n restrictions on the information for {{ ac-21_prm_1 }}; and" - }, - { - "id": "ac-21_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs {{ ac-21_prm_2 }} to assist users in making information\n sharing/collaboration decisions." - } - ] - }, - { - "id": "ac-21_gdn", - "name": "guidance", - "prose": "This control applies to information that may be restricted in some manner (e.g.,\n privileged medical information, contract-sensitive information, proprietary\n information, personally identifiable information, classified information related to\n special access programs or compartments) based on some formal or administrative\n determination. Depending on the particular information-sharing circumstances, sharing\n partners may be defined at the individual, group, or organizational level.\n Information may be defined by content, type, security category, or special access\n program/compartment.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - } - ] - }, - { - "id": "ac-21_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-21.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-21(a)" - } - ], - "parts": [ - { - "id": "ac-21.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(a)[1]" - } - ], - "prose": "defines information sharing circumstances where user discretion is\n required;" - }, - { - "id": "ac-21.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(a)[2]" - } - ], - "prose": "facilitates information sharing by enabling authorized users to determine\n whether access authorizations assigned to the sharing partner match the access\n restrictions on the information for organization-defined information sharing\n circumstances;" - } - ] - }, - { - "id": "ac-21.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-21(b)" - } - ], - "parts": [ - { - "id": "ac-21.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-21(b)[1]" - } - ], - "prose": "defines automated mechanisms or manual processes to be employed to assist users\n in making information sharing/collaboration decisions; and" - }, - { - "id": "ac-21.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-21(b)[2]" - } - ], - "prose": "employs organization-defined automated mechanisms or manual processes to assist\n users in making information sharing/collaboration decisions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing user-based collaboration and information sharing (including\n restrictions)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of users authorized to make information sharing/collaboration decisions\\n\\nlist of information sharing circumstances requiring user discretion\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel responsible for making information sharing/collaboration\n decisions\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms or manual process implementing access authorizations\n supporting information sharing/user collaboration decisions" - } - ] - } - ] - }, - { - "id": "ac-22", - "class": "SP800-53", - "title": "Publicly Accessible Content", - "parameters": [ - { - "id": "ac-22_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AC-22" - }, - { - "name": "sort-id", - "value": "ac-22" - } - ], - "parts": [ - { - "id": "ac-22_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ac-22_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included; and" - }, - { - "id": "ac-22_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the content on the publicly accessible information system for nonpublic\n information {{ ac-22_prm_1 }} and removes such information, if\n discovered." - } - ] - }, - { - "id": "ac-22_gdn", - "name": "guidance", - "prose": "In accordance with federal laws, Executive Orders, directives, policies, regulations,\n standards, and/or guidance, the general public is not authorized access to nonpublic\n information (e.g., information protected under the Privacy Act and proprietary\n information). This control addresses information systems that are controlled by the\n organization and accessible to the general public, typically without identification\n or authentication. The posting of information on non-organization information systems\n is covered by organizational policy.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-13", - "rel": "related", - "text": "AU-13" - } - ] - }, - { - "id": "ac-22_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ac-22.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22(a)" - } - ], - "prose": "designates individuals authorized to post information onto a publicly accessible\n information system;" - }, - { - "id": "ac-22.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(b)" - } - ], - "prose": "trains authorized individuals to ensure that publicly accessible information does\n not contain nonpublic information;" - }, - { - "id": "ac-22.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(c)" - } - ], - "prose": "reviews the proposed content of information prior to posting onto the publicly\n accessible information system to ensure that nonpublic information is not\n included;" - }, - { - "id": "ac-22.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AC-22(d)" - } - ], - "parts": [ - { - "id": "ac-22.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AC-22(d)[1]" - } - ], - "prose": "defines the frequency to review the content on the publicly accessible\n information system for nonpublic information;" - }, - { - "id": "ac-22.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(d)[2]" - } - ], - "prose": "reviews the content on the publicly accessible information system for nonpublic\n information with the organization-defined frequency; and" - }, - { - "id": "ac-22.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AC-22(d)[3]" - } - ], - "prose": "removes nonpublic information from the publicly accessible information system,\n if discovered." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing publicly accessible content\\n\\nlist of users authorized to post publicly accessible content on organizational\n information systems\\n\\ntraining materials and/or records\\n\\nrecords of publicly accessible information reviews\\n\\nrecords of response to nonpublic information on public websites\\n\\nsystem audit logs\\n\\nsecurity awareness training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing publicly accessible\n information posted on organizational information systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing management of publicly accessible content" - } - ] - } - ] - } - ] - }, - { - "id": "at", - "class": "family", - "title": "Awareness and Training", - "controls": [ - { - "id": "at-1", - "class": "SP800-53", - "title": "Security Awareness and Training Policy and Procedures", - "parameters": [ - { - "id": "at-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "at-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "at-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-1" - }, - { - "name": "sort-id", - "value": "at-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "at-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ at-1_prm_1 }}:", - "parts": [ - { - "id": "at-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security awareness and training policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "at-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security awareness and\n training policy and associated security awareness and training controls;\n and" - } - ] - }, - { - "id": "at-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "at-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security awareness and training policy {{ at-1_prm_2 }}; and" - }, - { - "id": "at-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security awareness and training procedures {{ at-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "at-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AT\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "at-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)" - } - ], - "parts": [ - { - "id": "at-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(1)[1]" - } - ], - "prose": "develops and documents an security awareness and training policy that\n addresses:", - "parts": [ - { - "id": "at-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "at-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "at-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "at-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "at-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "at-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "at-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "at-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security awareness and training\n policy are to be disseminated;" - }, - { - "id": "at-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-1(a)(1)[3]" - } - ], - "prose": "disseminates the security awareness and training policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "at-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(a)(2)" - } - ], - "parts": [ - { - "id": "at-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security awareness and training policy and associated awareness and training\n controls;" - }, - { - "id": "at-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "at-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "at-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(1)" - } - ], - "parts": [ - { - "id": "at-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training policy;" - }, - { - "id": "at-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "at-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-1(b)(2)" - } - ], - "parts": [ - { - "id": "at-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security awareness\n and training procedures; and" - }, - { - "id": "at-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security awareness and training procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security awareness and training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "at-2", - "class": "SP800-53", - "title": "Security Awareness Training", - "parameters": [ - { - "id": "at-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-2" - }, - { - "name": "sort-id", - "value": "at-02" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-2_smt", - "name": "statement", - "prose": "The organization provides basic security awareness training to information system\n users (including managers, senior executives, and contractors):", - "parts": [ - { - "id": "at-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "As part of initial training for new users;" - }, - { - "id": "at-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-2_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-2_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security awareness training and\n security awareness techniques based on the specific organizational requirements and\n the information systems to which personnel have authorized access. The content\n includes a basic understanding of the need for information security and user actions\n to maintain security and to respond to suspected security incidents. The content also\n addresses awareness of the need for operations security. Security awareness\n techniques can include, for example, displaying posters, offering supplies inscribed\n with security reminders, generating email advisories/notices from senior\n organizational officials, displaying logon screen messages, and conducting\n information security awareness events.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "at-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-2(a)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) as part of initial training for new\n users;" - }, - { - "id": "at-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-2(b)" - } - ], - "prose": "provides basic security awareness training to information system users (including\n managers, senior executives, and contractors) when required by information system\n changes; and" - }, - { - "id": "at-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-2(c)" - } - ], - "parts": [ - { - "id": "at-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher security awareness training\n thereafter to information system users (including managers, senior executives,\n and contractors); and" - }, - { - "id": "at-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-2(c)[2]" - } - ], - "prose": "provides refresher security awareness training to information users (including\n managers, senior executives, and contractors) with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nappropriate codes of federal regulations\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for security awareness training\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel comprising the general information system user\n community" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing security awareness training" - } - ] - } - ], - "controls": [ - { - "id": "at-2.2", - "class": "SP800-53-enhancement", - "title": "Insider Threat", - "properties": [ - { - "name": "label", - "value": "AT-2(2)" - }, - { - "name": "sort-id", - "value": "at-02.02" - } - ], - "parts": [ - { - "id": "at-2.2_smt", - "name": "statement", - "prose": "The organization includes security awareness training on recognizing and reporting\n potential indicators of insider threat." - }, - { - "id": "at-2.2_gdn", - "name": "guidance", - "prose": "Potential indicators and possible precursors of insider threat can include\n behaviors such as inordinate, long-term job dissatisfaction, attempts to gain\n access to information not required for job performance, unexplained access to\n financial resources, bullying or sexual harassment of fellow employees, workplace\n violence, and other serious violations of organizational policies, procedures,\n directives, rules, or practices. Security awareness training includes how to\n communicate employee and management concerns regarding potential indicators of\n insider threat through appropriate organizational channels in accordance with\n established organizational policies and procedures.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#pm-12", - "rel": "related", - "text": "PM-12" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "at-2.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization includes security awareness training on recognizing\n and reporting potential indicators of insider threat. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security awareness training implementation\\n\\nsecurity awareness training curriculum\\n\\nsecurity awareness training materials\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel that participate in security awareness training\\n\\norganizational personnel with responsibilities for basic security awareness\n training\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "at-3", - "class": "SP800-53", - "title": "Role-based Security Training", - "parameters": [ - { - "id": "at-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-3" - }, - { - "name": "sort-id", - "value": "at-03" - } - ], - "links": [ - { - "href": "#bb61234b-46c3-4211-8c2b-9869222a720d", - "rel": "reference", - "text": "C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "at-3_smt", - "name": "statement", - "prose": "The organization provides role-based security training to personnel with assigned\n security roles and responsibilities:", - "parts": [ - { - "id": "at-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Before authorizing access to the information system or performing assigned\n duties;" - }, - { - "id": "at-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "at-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ at-3_prm_1 }} thereafter." - } - ] - }, - { - "id": "at-3_gdn", - "name": "guidance", - "prose": "Organizations determine the appropriate content of security training based on the\n assigned roles and responsibilities of individuals and the specific security\n requirements of organizations and the information systems to which personnel have\n authorized access. In addition, organizations provide enterprise architects,\n information system developers, software developers, acquisition/procurement\n officials, information system managers, system/network administrators, personnel\n conducting configuration management and auditing activities, personnel performing\n independent verification and validation activities, security control assessors, and\n other personnel having access to system-level software, adequate security-related\n technical training specifically tailored for their assigned duties. Comprehensive\n role-based training addresses management, operational, and technical roles and\n responsibilities covering physical, personnel, and technical safeguards and\n countermeasures. Such training can include for example, policies, procedures, tools,\n and artifacts for the organizational security roles defined. Organizations also\n provide the training necessary for individuals to carry out their responsibilities\n related to operations and supply chain security within the context of organizational\n information security programs. Role-based security training also applies to\n contractors providing services to federal agencies.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-4", - "rel": "related", - "text": "AT-4" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-16", - "rel": "related", - "text": "SA-16" - } - ] - }, - { - "id": "at-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(a)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities before authorizing access to the information system or\n performing assigned duties;" - }, - { - "id": "at-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AT-3(b)" - } - ], - "prose": "provides role-based security training to personnel with assigned security roles\n and responsibilities when required by information system changes; and" - }, - { - "id": "at-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-3(c)" - } - ], - "parts": [ - { - "id": "at-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-3(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher role-based security training\n thereafter to personnel with assigned security roles and responsibilities;\n and" - }, - { - "id": "at-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-3(c)[2]" - } - ], - "prose": "provides refresher role-based security training to personnel with assigned\n security roles and responsibilities with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training implementation\\n\\ncodes of federal regulations\\n\\nsecurity training curriculum\\n\\nsecurity training materials\\n\\nsecurity plan\\n\\ntraining records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for role-based security\n training\\n\\norganizational personnel with assigned information system security roles and\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing role-based security training" - } - ] - } - ] - }, - { - "id": "at-4", - "class": "SP800-53", - "title": "Security Training Records", - "parameters": [ - { - "id": "at-4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "At least one year" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AT-4" - }, - { - "name": "sort-id", - "value": "at-04" - } - ], - "parts": [ - { - "id": "at-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "at-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Documents and monitors individual information system security training activities\n including basic security awareness training and specific information system\n security training; and" - }, - { - "id": "at-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Retains individual training records for {{ at-4_prm_1 }}." - } - ] - }, - { - "id": "at-4_gdn", - "name": "guidance", - "prose": "Documentation for specialized training may be maintained by individual supervisors at\n the option of the organization.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-14", - "rel": "related", - "text": "PM-14" - } - ] - }, - { - "id": "at-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "at-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)" - } - ], - "parts": [ - { - "id": "at-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-4(a)[1]" - } - ], - "prose": "documents individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[1][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - }, - { - "id": "at-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-4(a)[2]" - } - ], - "prose": "monitors individual information system security training activities\n including:", - "parts": [ - { - "id": "at-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][a]" - } - ], - "prose": "basic security awareness training;" - }, - { - "id": "at-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(a)[2][b]" - } - ], - "prose": "specific role-based information system security training;" - } - ] - } - ] - }, - { - "id": "at-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AT-4(b)" - } - ], - "parts": [ - { - "id": "at-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AT-4(b)[1]" - } - ], - "prose": "defines a time period to retain individual training records; and" - }, - { - "id": "at-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AT-4(b)[2]" - } - ], - "prose": "retains individual training records for the organization-defined time\n period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security awareness and training policy\\n\\nprocedures addressing security training records\\n\\nsecurity awareness and training records\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security training record retention\n responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting management of security training records" - } - ] - } - ] - } - ] - }, - { - "id": "au", - "class": "family", - "title": "Audit and Accountability", - "controls": [ - { - "id": "au-1", - "class": "SP800-53", - "title": "Audit and Accountability Policy and Procedures", - "parameters": [ - { - "id": "au-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "au-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-1" - }, - { - "name": "sort-id", - "value": "au-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "au-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ au-1_prm_1 }}:", - "parts": [ - { - "id": "au-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An audit and accountability policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "au-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the audit and accountability\n policy and associated audit and accountability controls; and" - } - ] - }, - { - "id": "au-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "au-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Audit and accountability policy {{ au-1_prm_2 }}; and" - }, - { - "id": "au-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Audit and accountability procedures {{ au-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "au-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the AU\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "au-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)" - } - ], - "parts": [ - { - "id": "au-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(1)[1]" - } - ], - "prose": "develops and documents an audit and accountability policy that\n addresses:", - "parts": [ - { - "id": "au-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "au-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "au-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "au-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "au-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "au-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "au-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "au-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the audit and accountability policy are\n to be disseminated;" - }, - { - "id": "au-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-1(a)(1)[3]" - } - ], - "prose": "disseminates the audit and accountability policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "au-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(a)(2)" - } - ], - "parts": [ - { - "id": "au-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n audit and accountability policy and associated audit and accountability\n controls;" - }, - { - "id": "au-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "au-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "au-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(1)" - } - ], - "parts": [ - { - "id": "au-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability policy;" - }, - { - "id": "au-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-1(b)(2)" - } - ], - "parts": [ - { - "id": "au-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current audit and\n accountability procedures; and" - }, - { - "id": "au-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current audit and accountability procedures in\n accordance with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "au-2", - "class": "SP800-53", - "title": "Audit Events", - "parameters": [ - { - "id": "au-2_prm_1", - "label": "organization-defined auditable events", - "constraints": [ - { - "detail": "successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes" - } - ] - }, - { - "id": "au-2_prm_2", - "label": "organization-defined audited events (the subset of the auditable events defined\n in AU-2 a.) along with the frequency of (or situation requiring) auditing for each\n identified event", - "constraints": [ - { - "detail": "organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-2" - }, - { - "name": "sort-id", - "value": "au-02" - } - ], - "links": [ - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "au-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines that the information system is capable of auditing the following\n events: {{ au-2_prm_1 }};" - }, - { - "id": "au-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents; and" - }, - { - "id": "au-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Determines that the following events are to be audited within the information\n system: {{ au-2_prm_2 }}." - }, - { - "id": "au-2_fr", - "name": "item", - "title": "AU-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "au-2_gdn", - "name": "guidance", - "prose": "An event is any observable occurrence in an organizational information system.\n Organizations identify audit events as those events which are significant and\n relevant to the security of information systems and the environments in which those\n systems operate in order to meet specific and ongoing audit needs. Audit events can\n include, for example, password changes, failed logons, or failed accesses related to\n information systems, administrative privilege usage, PIV credential usage, or\n third-party credential usage. In determining the set of auditable events,\n organizations consider the auditing appropriate for each of the security controls to\n be implemented. To balance auditing requirements with other information system needs,\n this control also requires identifying that subset of auditable events that are\n audited at a given point in time. For example, organizations may determine that\n information systems must have the capability to log every file access both successful\n and unsuccessful, but not activate that capability except for specific circumstances\n due to the potential burden on system performance. Auditing requirements, including\n the need for auditable events, may be referenced in other security controls and\n control enhancements. Organizations also include auditable events that are required\n by applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards. Audit records can be generated at various levels of abstraction, including\n at the packet level as information traverses the network. Selecting the appropriate\n level of abstraction is a critical aspect of an audit capability and can facilitate\n the identification of root causes to problems. Organizations consider in the\n definition of auditable events, the auditing necessary to cover related events such\n as the steps in distributed, transaction-based processes (e.g., processes that are\n distributed across multiple organizations) and actions that occur in service-oriented\n architectures.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(a)" - } - ], - "parts": [ - { - "id": "au-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(a)[1]" - } - ], - "prose": "defines the auditable events that the information system must be capable of\n auditing;" - }, - { - "id": "au-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-2(a)[2]" - } - ], - "prose": "determines that the information system is capable of auditing\n organization-defined auditable events;" - } - ] - }, - { - "id": "au-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(b)" - } - ], - "prose": "coordinates the security audit function with other organizational entities\n requiring audit-related information to enhance mutual support and to help guide\n the selection of auditable events;" - }, - { - "id": "au-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(c)" - } - ], - "prose": "provides a rationale for why the auditable events are deemed to be adequate to\n support after-the-fact investigations of security incidents;" - }, - { - "id": "au-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-2(d)" - } - ], - "parts": [ - { - "id": "au-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(d)[1]" - } - ], - "prose": "defines the subset of auditable events defined in AU-2a that are to be audited\n within the information system;" - }, - { - "id": "au-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(d)[2]" - } - ], - "prose": "determines that the subset of auditable events defined in AU-2a are to be\n audited within the information system; and" - }, - { - "id": "au-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-2(d)[3]" - } - ], - "prose": "determines the frequency of (or situation requiring) auditing for each\n identified event." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\ninformation system auditable events\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing" - } - ] - } - ], - "controls": [ - { - "id": "au-2.3", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "parameters": [ - { - "id": "au-2.3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "annually or whenever there is a change in the threat environment" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-2(3)" - }, - { - "name": "sort-id", - "value": "au-02.03" - } - ], - "parts": [ - { - "id": "au-2.3_smt", - "name": "statement", - "prose": "The organization reviews and updates the audited events {{ au-2.3_prm_1 }}.", - "parts": [ - { - "id": "au-2.3_fr", - "name": "item", - "title": "AU-2 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-2.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO." - } - ] - } - ] - }, - { - "id": "au-2.3_gdn", - "name": "guidance", - "prose": "Over time, the events that organizations believe should be audited may change.\n Reviewing and updating the set of audited events periodically is necessary to\n ensure that the current set is still necessary and sufficient." - }, - { - "id": "au-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-2(3)[1]" - } - ], - "prose": "defines the frequency to review and update the audited events; and" - }, - { - "id": "au-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-2(3)[2]" - } - ], - "prose": "reviews and updates the auditable events with organization-defined\n frequency." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing auditable events\\n\\nsecurity plan\\n\\nlist of organization-defined auditable events\\n\\nauditable events review and update records\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting review and update of auditable events" - } - ] - } - ] - } - ] - }, - { - "id": "au-3", - "class": "SP800-53", - "title": "Content of Audit Records", - "properties": [ - { - "name": "label", - "value": "AU-3" - }, - { - "name": "sort-id", - "value": "au-03" - } - ], - "parts": [ - { - "id": "au-3_smt", - "name": "statement", - "prose": "The information system generates audit records containing information that\n establishes what type of event occurred, when the event occurred, where the event\n occurred, the source of the event, the outcome of the event, and the identity of any\n individuals or subjects associated with the event." - }, - { - "id": "au-3_gdn", - "name": "guidance", - "prose": "Audit record content that may be necessary to satisfy the requirement of this\n control, includes, for example, time stamps, source and destination addresses,\n user/process identifiers, event descriptions, success/fail indications, filenames\n involved, and access control or flow control rules invoked. Event outcomes can\n include indicators of event success or failure and event-specific results (e.g., the\n security state of the information system after the event occurred).", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-8", - "rel": "related", - "text": "AU-8" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "au-3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system generates audit records containing information\n that establishes: ", - "parts": [ - { - "id": "au-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[1]" - } - ], - "prose": "what type of event occurred;" - }, - { - "id": "au-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[2]" - } - ], - "prose": "when the event occurred;" - }, - { - "id": "au-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[3]" - } - ], - "prose": "where the event occurred;" - }, - { - "id": "au-3_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[4]" - } - ], - "prose": "the source of the event;" - }, - { - "id": "au-3_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[5]" - } - ], - "prose": "the outcome of the event; and" - }, - { - "id": "au-3_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-3[6]" - } - ], - "prose": "the identity of any individuals or subjects associated with the event." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\ninformation system incident reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system auditing of auditable\n events" - } - ] - } - ], - "controls": [ - { - "id": "au-3.1", - "class": "SP800-53-enhancement", - "title": "Additional Audit Information", - "parameters": [ - { - "id": "au-3.1_prm_1", - "label": "organization-defined additional, more detailed information", - "constraints": [ - { - "detail": "session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-3(1)" - }, - { - "name": "sort-id", - "value": "au-03.01" - } - ], - "parts": [ - { - "id": "au-3.1_smt", - "name": "statement", - "prose": "The information system generates audit records containing the following additional\n information: {{ au-3.1_prm_1 }}.", - "parts": [ - { - "id": "au-3.1_fr", - "name": "item", - "title": "AU-3 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-3.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO." - }, - { - "id": "au-3.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry." - } - ] - } - ] - }, - { - "id": "au-3.1_gdn", - "name": "guidance", - "prose": "Detailed information that organizations may consider in audit records includes,\n for example, full text recording of privileged commands or the individual\n identities of group account users. Organizations consider limiting the additional\n audit information to only that information explicitly needed for specific audit\n requirements. This facilitates the use of audit trails and audit logs by not\n including information that could potentially be misleading or could make it more\n difficult to locate information of interest." - }, - { - "id": "au-3.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-3.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-3(1)[1]" - } - ], - "prose": "the organization defines additional, more detailed information to be contained\n in audit records that the information system generates; and" - }, - { - "id": "au-3.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-3(1)[2]" - } - ], - "prose": "the information system generates audit records containing the\n organization-defined additional, more detailed information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing content of audit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of organization-defined auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system audit capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-4", - "class": "SP800-53", - "title": "Audit Storage Capacity", - "parameters": [ - { - "id": "au-4_prm_1", - "label": "organization-defined audit record storage requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-4" - }, - { - "name": "sort-id", - "value": "au-04" - } - ], - "parts": [ - { - "id": "au-4_smt", - "name": "statement", - "prose": "The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}." - }, - { - "id": "au-4_gdn", - "name": "guidance", - "prose": "Organizations consider the types of auditing to be performed and the audit processing\n requirements when allocating audit storage capacity. Allocating sufficient audit\n storage capacity reduces the likelihood of such capacity being exceeded and resulting\n in the potential loss or reduction of auditing capability.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "au-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-4[1]" - } - ], - "prose": "defines audit record storage requirements; and" - }, - { - "id": "au-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-4[2]" - } - ], - "prose": "allocates audit record storage capacity in accordance with the\n organization-defined audit record storage requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit storage capacity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit record storage requirements\\n\\naudit record storage capability for information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit record storage capacity and related configuration settings" - } - ] - } - ] - }, - { - "id": "au-5", - "class": "SP800-53", - "title": "Response to Audit Processing Failures", - "parameters": [ - { - "id": "au-5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "au-5_prm_2", - "label": "organization-defined actions to be taken (e.g., shut down information system,\n overwrite oldest audit records, stop generating audit records)", - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "AU-5" - }, - { - "name": "sort-id", - "value": "au-05" - } - ], - "parts": [ - { - "id": "au-5_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Alerts {{ au-5_prm_1 }} in the event of an audit processing\n failure; and" - }, - { - "id": "au-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Takes the following additional actions: {{ au-5_prm_2 }}." - } - ] - }, - { - "id": "au-5_gdn", - "name": "guidance", - "prose": "Audit processing failures include, for example, software/hardware errors, failures in\n the audit capturing mechanisms, and audit storage capacity being reached or exceeded.\n Organizations may choose to define additional actions for different audit processing\n failures (e.g., by type, by location, by severity, or a combination of such factors).\n This control applies to each audit data storage repository (i.e., distinct\n information system component where audit records are stored), the total audit storage\n capacity of organizations (i.e., all audit data storage repositories combined), or\n both.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "au-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(a)" - } - ], - "parts": [ - { - "id": "au-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(a)[1]" - } - ], - "prose": "the organization defines the personnel or roles to be alerted in the event of\n an audit processing failure;" - }, - { - "id": "au-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(a)[2]" - } - ], - "prose": "the information system alerts the organization-defined personnel or roles in\n the event of an audit processing failure;" - } - ] - }, - { - "id": "au-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-5(b)" - } - ], - "parts": [ - { - "id": "au-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-5(b)[1]" - } - ], - "prose": "the organization defines additional actions to be taken (e.g., shutdown\n information system, overwrite oldest audit records, stop generating audit\n records) in the event of an audit processing failure; and" - }, - { - "id": "au-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-5(b)[2]" - } - ], - "prose": "the information system takes the additional organization-defined actions in the\n event of an audit processing failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing response to audit processing failures\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of personnel to be notified in case of an audit processing failure\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing information system response to audit processing\n failures" - } - ] - } - ] - }, - { - "id": "au-6", - "class": "SP800-53", - "title": "Audit Review, Analysis, and Reporting", - "parameters": [ - { - "id": "au-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "au-6_prm_2", - "label": "organization-defined inappropriate or unusual activity" - }, - { - "id": "au-6_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-6" - }, - { - "name": "sort-id", - "value": "au-06" - } - ], - "parts": [ - { - "id": "au-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "au-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }};\n and" - }, - { - "id": "au-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports findings to {{ au-6_prm_3 }}." - }, - { - "id": "au-6_fr", - "name": "item", - "title": "AU-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented." - } - ] - } - ] - }, - { - "id": "au-6_gdn", - "name": "guidance", - "prose": "Audit review, analysis, and reporting covers information security-related auditing\n performed by organizations including, for example, auditing that results from\n monitoring of account usage, remote access, wireless connectivity, mobile device\n connection, configuration settings, system component inventory, use of maintenance\n tools and nonlocal maintenance, physical access, temperature and humidity, equipment\n delivery and removal, communications at the information system boundaries, use of\n mobile code, and use of VoIP. Findings can be reported to organizational entities\n that include, for example, incident response team, help desk, information security\n group/department. If organizations are prohibited from reviewing and analyzing audit\n information or unable to conduct such activities (e.g., in certain national security\n applications or systems), the review/analysis may be carried out by other\n organizations granted such authority.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-10", - "rel": "related", - "text": "CM-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#pe-14", - "rel": "related", - "text": "PE-14" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-18", - "rel": "related", - "text": "SC-18" - }, - { - "href": "#sc-19", - "rel": "related", - "text": "SC-19" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "au-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(a)" - } - ], - "parts": [ - { - "id": "au-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(a)[1]" - } - ], - "prose": "defines the types of inappropriate or unusual activity to look for when\n information system audit records are reviewed and analyzed;" - }, - { - "id": "au-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(a)[2]" - } - ], - "prose": "defines the frequency to review and analyze information system audit records\n for indications of organization-defined inappropriate or unusual activity;" - }, - { - "id": "au-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(a)[3]" - } - ], - "prose": "reviews and analyzes information system audit records for indications of\n organization-defined inappropriate or unusual activity with the\n organization-defined frequency;" - } - ] - }, - { - "id": "au-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(b)" - } - ], - "parts": [ - { - "id": "au-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-6(b)[1]" - } - ], - "prose": "defines personnel or roles to whom findings resulting from reviews and analysis\n of information system audit records are to be reported; and" - }, - { - "id": "au-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(b)[2]" - } - ], - "prose": "reports findings to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nreports of audit findings\\n\\nrecords of actions taken in response to reviews/analyses of audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "au-6.1", - "class": "SP800-53-enhancement", - "title": "Process Integration", - "properties": [ - { - "name": "label", - "value": "AU-6(1)" - }, - { - "name": "sort-id", - "value": "au-06.01" - } - ], - "parts": [ - { - "id": "au-6.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to integrate audit review, analysis,\n and reporting processes to support organizational processes for investigation and\n response to suspicious activities." - }, - { - "id": "au-6.1_gdn", - "name": "guidance", - "prose": "Organizational processes benefiting from integrated audit review, analysis, and\n reporting include, for example, incident response, continuous monitoring,\n contingency planning, and Inspector General audits.", - "links": [ - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - } - ] - }, - { - "id": "au-6.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "au-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-6(1)[1]" - } - ], - "prose": "employs automated mechanisms to integrate:", - "parts": [ - { - "id": "au-6.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[1][a]" - } - ], - "prose": "audit review;" - }, - { - "id": "au-6.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[1][b]" - } - ], - "prose": "analysis;" - }, - { - "id": "au-6.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[1][c]" - } - ], - "prose": "reporting processes;" - } - ] - }, - { - "id": "au-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-6(1)[2]" - } - ], - "prose": "uses integrated audit review, analysis and reporting processes to support\n organizational processes for:", - "parts": [ - { - "id": "au-6.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[2][a]" - } - ], - "prose": "investigation of suspicious activities; and" - }, - { - "id": "au-6.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-6(1)[2][b]" - } - ], - "prose": "response to suspicious activities." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\nprocedures addressing investigation and response to suspicious activities\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms integrating audit review, analysis, and reporting\n processes" - } - ] - } - ] - }, - { - "id": "au-6.3", - "class": "SP800-53-enhancement", - "title": "Correlate Audit Repositories", - "properties": [ - { - "name": "label", - "value": "AU-6(3)" - }, - { - "name": "sort-id", - "value": "au-06.03" - } - ], - "parts": [ - { - "id": "au-6.3_smt", - "name": "statement", - "prose": "The organization analyzes and correlates audit records across different\n repositories to gain organization-wide situational awareness." - }, - { - "id": "au-6.3_gdn", - "name": "guidance", - "prose": "Organization-wide situational awareness includes awareness across all three tiers\n of risk management (i.e., organizational, mission/business process, and\n information system) and supports cross-organization awareness.", - "links": [ - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - } - ] - }, - { - "id": "au-6.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization analyzes and correlates audit records across\n different repositories to gain organization-wide situational awareness. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit review, analysis, and reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records across different repositories\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit review, analysis, and reporting\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting analysis and correlation of audit records" - } - ] - } - ] - } - ] - }, - { - "id": "au-7", - "class": "SP800-53", - "title": "Audit Reduction and Report Generation", - "properties": [ - { - "name": "label", - "value": "AU-7" - }, - { - "name": "sort-id", - "value": "au-07" - } - ], - "parts": [ - { - "id": "au-7_smt", - "name": "statement", - "prose": "The information system provides an audit reduction and report generation capability\n that:", - "parts": [ - { - "id": "au-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Supports on-demand audit review, analysis, and reporting requirements and\n after-the-fact investigations of security incidents; and" - }, - { - "id": "au-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Does not alter the original content or time ordering of audit records." - } - ] - }, - { - "id": "au-7_gdn", - "name": "guidance", - "prose": "Audit reduction is a process that manipulates collected audit information and\n organizes such information in a summary format that is more meaningful to analysts.\n Audit reduction and report generation capabilities do not always emanate from the\n same information system or from the same organizational entities conducting auditing\n activities. Audit reduction capability can include, for example, modern data mining\n techniques with advanced data filters to identify anomalous behavior in audit\n records. The report generation capability provided by the information system can\n generate customizable reports. Time ordering of audit records can be a significant\n issue if the granularity of the timestamp in the record is insufficient.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - } - ] - }, - { - "id": "au-7_obj", - "name": "objective", - "prose": "Determine if the information system provides an audit reduction and report generation\n capability that supports:", - "parts": [ - { - "id": "au-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-7(a)" - } - ], - "parts": [ - { - "id": "au-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[1]" - } - ], - "prose": "on-demand audit review;" - }, - { - "id": "au-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[2]" - } - ], - "prose": "analysis;" - }, - { - "id": "au-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[3]" - } - ], - "prose": "reporting requirements;" - }, - { - "id": "au-7.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-7(a)[4]" - } - ], - "prose": "after-the-fact investigations of security incidents; and" - } - ] - }, - { - "id": "au-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-7(b)" - } - ], - "prose": "does not alter the original content or time ordering of audit records." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ], - "controls": [ - { - "id": "au-7.1", - "class": "SP800-53-enhancement", - "title": "Automatic Processing", - "parameters": [ - { - "id": "au-7.1_prm_1", - "label": "organization-defined audit fields within audit records" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-7(1)" - }, - { - "name": "sort-id", - "value": "au-07.01" - } - ], - "parts": [ - { - "id": "au-7.1_smt", - "name": "statement", - "prose": "The information system provides the capability to process audit records for events\n of interest based on {{ au-7.1_prm_1 }}." - }, - { - "id": "au-7.1_gdn", - "name": "guidance", - "prose": "Events of interest can be identified by the content of specific audit record\n fields including, for example, identities of individuals, event types, event\n locations, event times, event dates, system resources involved, IP addresses\n involved, or information objects accessed. Organizations may define audit event\n criteria to any degree of granularity required, for example, locations selectable\n by general networking location (e.g., by network or subnetwork) or selectable by\n specific information system component.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-7.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-7.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-7(1)[1]" - } - ], - "prose": "the organization defines audit fields within audit records in order to process\n audit records for events of interest; and" - }, - { - "id": "au-7.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-7(1)[2]" - } - ], - "prose": "the information system provides the capability to process audit records for\n events of interest based on the organization-defined audit fields within audit\n records." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit reduction and report generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit reduction, review, analysis, and reporting tools\\n\\naudit record criteria (fields) establishing events of interest\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit reduction and report generation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit reduction and report generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "au-8", - "class": "SP800-53", - "title": "Time Stamps", - "parameters": [ - { - "id": "au-8_prm_1", - "label": "organization-defined granularity of time measurement" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-8" - }, - { - "name": "sort-id", - "value": "au-08" - } - ], - "parts": [ - { - "id": "au-8_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses internal system clocks to generate time stamps for audit records; and" - }, - { - "id": "au-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Records time stamps for audit records that can be mapped to Coordinated Universal\n Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}." - } - ] - }, - { - "id": "au-8_gdn", - "name": "guidance", - "prose": "Time stamps generated by the information system include date and time. Time is\n commonly expressed in Coordinated Universal Time (UTC), a modern continuation of\n Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time\n measurements refers to the degree of synchronization between information system\n clocks and reference clocks, for example, clocks synchronizing within hundreds of\n milliseconds or within tens of milliseconds. Organizations may define different time\n granularities for different system components. Time service can also be critical to\n other security capabilities such as access control and identification and\n authentication, depending on the nature of the mechanisms used to support those\n capabilities.", - "links": [ - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - } - ] - }, - { - "id": "au-8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(a)" - } - ], - "prose": "the information system uses internal system clocks to generate time stamps for\n audit records;" - }, - { - "id": "au-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(b)" - } - ], - "parts": [ - { - "id": "au-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(b)[1]" - } - ], - "prose": "the information system records time stamps for audit records that can be mapped\n to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);" - }, - { - "id": "au-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(b)[2]" - } - ], - "prose": "the organization defines the granularity of time measurement to be met when\n recording time stamps for audit records; and" - }, - { - "id": "au-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(b)[3]" - } - ], - "prose": "the organization records time stamps for audit records that meet the\n organization-defined granularity of time measurement." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing time stamp generation" - } - ] - } - ], - "controls": [ - { - "id": "au-8.1", - "class": "SP800-53-enhancement", - "title": "Synchronization with Authoritative Time Source", - "parameters": [ - { - "id": "au-8.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "At least hourly" - } - ] - }, - { - "id": "au-8.1_prm_2", - "label": "organization-defined authoritative time source", - "constraints": [ - { - "detail": "http://tf.nist.gov/tf-cgi/servers.cgi" - } - ] - }, - { - "id": "au-8.1_prm_3", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-8(1)" - }, - { - "name": "sort-id", - "value": "au-08.01" - } - ], - "parts": [ - { - "id": "au-8.1_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-8.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Compares the internal information system clocks {{ au-8.1_prm_1 }} with {{ au-8.1_prm_2 }}; and" - }, - { - "id": "au-8.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Synchronizes the internal system clocks to the authoritative time source when\n the time difference is greater than {{ au-8.1_prm_3 }}." - }, - { - "id": "au-8.1_fr", - "name": "item", - "title": "AU-8 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-8.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server." - }, - { - "id": "au-8.1_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server." - }, - { - "id": "au-8.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Synchronization of system clocks improves the accuracy of log analysis." - } - ] - } - ] - }, - { - "id": "au-8.1_gdn", - "name": "guidance", - "prose": "This control enhancement provides uniformity of time stamps for information\n systems with multiple system clocks and systems connected over a network." - }, - { - "id": "au-8.1_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-8.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(1)(a)" - } - ], - "parts": [ - { - "id": "au-8.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(1)(a)[1]" - } - ], - "prose": "the organization defines the authoritative time source to which internal\n information system clocks are to be compared;" - }, - { - "id": "au-8.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(1)(a)[2]" - } - ], - "prose": "the organization defines the frequency to compare the internal information\n system clocks with the organization-defined authoritative time source;\n and" - }, - { - "id": "au-8.1.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(1)(a)[3]" - } - ], - "prose": "the information system compares the internal information system clocks with\n the organization-defined authoritative time source with organization-defined\n frequency; and" - } - ], - "links": [ - { - "href": "#au-8.1_smt.a", - "rel": "corresp", - "text": "AU-8(1)(a)" - } - ] - }, - { - "id": "au-8.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-8(1)(b)" - } - ], - "parts": [ - { - "id": "au-8.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-8(1)(b)[1]" - } - ], - "prose": "the organization defines the time period that, if exceeded by the time\n difference between the internal system clocks and the authoritative time\n source, will result in the internal system clocks being synchronized to the\n authoritative time source; and" - }, - { - "id": "au-8.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-8(1)(b)[2]" - } - ], - "prose": "the information system synchronizes the internal information system clocks\n to the authoritative time source when the time difference is greater than\n the organization-defined time period." - } - ], - "links": [ - { - "href": "#au-8.1_smt.b", - "rel": "corresp", - "text": "AU-8(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing time stamp generation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing internal information system clock\n synchronization" - } - ] - } - ] - } - ] - }, - { - "id": "au-9", - "class": "SP800-53", - "title": "Protection of Audit Information", - "properties": [ - { - "name": "label", - "value": "AU-9" - }, - { - "name": "sort-id", - "value": "au-09" - } - ], - "parts": [ - { - "id": "au-9_smt", - "name": "statement", - "prose": "The information system protects audit information and audit tools from unauthorized\n access, modification, and deletion." - }, - { - "id": "au-9_gdn", - "name": "guidance", - "prose": "Audit information includes all information (e.g., audit records, audit settings, and\n audit reports) needed to successfully audit information system activity. This control\n focuses on technical protection of audit information. Physical protection of audit\n information is addressed by media protection controls and physical and environmental\n protection controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - } - ] - }, - { - "id": "au-9_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "au-9_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1]" - } - ], - "prose": "the information system protects audit information from unauthorized:", - "parts": [ - { - "id": "au-9_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][b]" - } - ], - "prose": "modification;" - }, - { - "id": "au-9_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[1][c]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "au-9_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2]" - } - ], - "prose": "the information system protects audit tools from unauthorized:", - "parts": [ - { - "id": "au-9_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][a]" - } - ], - "prose": "access;" - }, - { - "id": "au-9_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][b]" - } - ], - "prose": "modification; and" - }, - { - "id": "au-9_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-9[2][c]" - } - ], - "prose": "deletion." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n information system audit records\\n\\naudit tools\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit information protection" - } - ] - } - ], - "controls": [ - { - "id": "au-9.2", - "class": "SP800-53-enhancement", - "title": "Audit Backup On Separate Physical Systems / Components", - "parameters": [ - { - "id": "au-9.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-9(2)" - }, - { - "name": "sort-id", - "value": "au-09.02" - } - ], - "parts": [ - { - "id": "au-9.2_smt", - "name": "statement", - "prose": "The information system backs up audit records {{ au-9.2_prm_1 }}\n onto a physically different system or system component than the system or\n component being audited." - }, - { - "id": "au-9.2_gdn", - "name": "guidance", - "prose": "This control enhancement helps to ensure that a compromise of the information\n system being audited does not also result in a compromise of the audit\n records.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - } - ] - }, - { - "id": "au-9.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-9.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-9(2)[1]" - } - ], - "prose": "the organization defines the frequency to back up audit records onto a\n physically different system or system component than the system or component\n being audited; and" - }, - { - "id": "au-9.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-9(2)[2]" - } - ], - "prose": "the information system backs up audit records with the organization-defined\n frequency, onto a physically different system or system component than the\n system or component being audited." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation, system\n or media storing backups of information system audit records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing the backing up of audit records" - } - ] - } - ] - }, - { - "id": "au-9.4", - "class": "SP800-53-enhancement", - "title": "Access by Subset of Privileged Users", - "parameters": [ - { - "id": "au-9.4_prm_1", - "label": "organization-defined subset of privileged users" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-9(4)" - }, - { - "name": "sort-id", - "value": "au-09.04" - } - ], - "parts": [ - { - "id": "au-9.4_smt", - "name": "statement", - "prose": "The organization authorizes access to management of audit functionality to only\n {{ au-9.4_prm_1 }}." - }, - { - "id": "au-9.4_gdn", - "name": "guidance", - "prose": "Individuals with privileged access to an information system and who are also the\n subject of an audit by that system, may affect the reliability of audit\n information by inhibiting audit activities or modifying audit records. This\n control enhancement requires that privileged access be further defined between\n audit-related privileges and other privileges, thus limiting the users with\n audit-related privileges.", - "links": [ - { - "href": "#ac-5", - "rel": "related", - "text": "AC-5" - } - ] - }, - { - "id": "au-9.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-9.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-9(4)[1]" - } - ], - "prose": "defines a subset of privileged users to be authorized access to management of\n audit functionality; and" - }, - { - "id": "au-9.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-9(4)[2]" - } - ], - "prose": "authorizes access to management of audit functionality to only the\n organization-defined subset of privileged users." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naccess control policy and procedures\\n\\nprocedures addressing protection of audit information\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation,\n system-generated list of privileged users with access to management of audit\n functionality\\n\\naccess authorizations\\n\\naccess control list\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit and accountability responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms managing access to audit functionality" - } - ] - } - ] - } - ] - }, - { - "id": "au-11", - "class": "SP800-53", - "title": "Audit Record Retention", - "parameters": [ - { - "id": "au-11_prm_1", - "label": "organization-defined time period consistent with records retention policy", - "constraints": [ - { - "detail": "at least ninety days" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "AU-11" - }, - { - "name": "sort-id", - "value": "au-11" - } - ], - "parts": [ - { - "id": "au-11_smt", - "name": "statement", - "prose": "The organization retains audit records for {{ au-11_prm_1 }} to\n provide support for after-the-fact investigations of security incidents and to meet\n regulatory and organizational information retention requirements.", - "parts": [ - { - "id": "au-11_fr", - "name": "item", - "title": "AU-11 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-11_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements." - } - ] - } - ] - }, - { - "id": "au-11_gdn", - "name": "guidance", - "prose": "Organizations retain audit records until it is determined that they are no longer\n needed for administrative, legal, audit, or other operational purposes. This\n includes, for example, retention and availability of audit records relative to\n Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions.\n Organizations develop standard categories of audit records relative to such types of\n actions and standard response processes for each type of action. The National\n Archives and Records Administration (NARA) General Records Schedules provide federal\n policy on record retention.", - "links": [ - { - "href": "#au-4", - "rel": "related", - "text": "AU-4" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "au-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "au-11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[1]" - } - ], - "prose": "defines a time period to retain audit records that is consistent with records\n retention policy;" - }, - { - "id": "au-11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "AU-11[2]" - } - ], - "prose": "retains audit records for the organization-defined time period consistent with\n records retention policy to:", - "parts": [ - { - "id": "au-11_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][a]" - } - ], - "prose": "provide support for after-the-fact investigations of security incidents;\n and" - }, - { - "id": "au-11_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-11[2][b]" - } - ], - "prose": "meet regulatory and organizational information retention requirements." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\naudit record retention policy and procedures\\n\\nsecurity plan\\n\\norganization-defined retention period for audit records\\n\\naudit record archives\\n\\naudit logs\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record retention responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "au-12", - "class": "SP800-53", - "title": "Audit Generation", - "parameters": [ - { - "id": "au-12_prm_1", - "label": "organization-defined information system components", - "constraints": [ - { - "detail": "all information system and network components where audit capability is deployed/available" - } - ] - }, - { - "id": "au-12_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "AU-12" - }, - { - "name": "sort-id", - "value": "au-12" - } - ], - "parts": [ - { - "id": "au-12_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "au-12_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides audit record generation capability for the auditable events defined in\n AU-2 a. at {{ au-12_prm_1 }};" - }, - { - "id": "au-12_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows {{ au-12_prm_2 }} to select which auditable events are to be\n audited by specific components of the information system; and" - }, - { - "id": "au-12_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Generates audit records for the events defined in AU-2 d. with the content defined\n in AU-3." - } - ] - }, - { - "id": "au-12_gdn", - "name": "guidance", - "prose": "Audit records can be generated from many different information system components. The\n list of audited events is the set of events for which audits are to be generated.\n These events are typically a subset of all events for which the information system is\n capable of generating audit records.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - } - ] - }, - { - "id": "au-12_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "au-12.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(a)" - } - ], - "parts": [ - { - "id": "au-12.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(a)[1]" - } - ], - "prose": "the organization defines the information system components which are to provide\n audit record generation capability for the auditable events defined in\n AU-2a;" - }, - { - "id": "au-12.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(a)[2]" - } - ], - "prose": "the information system provides audit record generation capability, for the\n auditable events defined in AU-2a, at organization-defined information system\n components;" - } - ] - }, - { - "id": "au-12.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "AU-12(b)" - } - ], - "parts": [ - { - "id": "au-12.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "AU-12(b)[1]" - } - ], - "prose": "the organization defines the personnel or roles allowed to select which\n auditable events are to be audited by specific components of the information\n system;" - }, - { - "id": "au-12.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(b)[2]" - } - ], - "prose": "the information system allows the organization-defined personnel or roles to\n select which auditable events are to be audited by specific components of the\n system; and" - } - ] - }, - { - "id": "au-12.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "AU-12(c)" - } - ], - "prose": "the information system generates audit records for the events defined in AU-2d\n with the content in defined in AU-3." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Audit and accountability policy\\n\\nprocedures addressing audit record generation\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of auditable events\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with audit record generation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing audit record generation capability" - } - ] - } - ] - } - ] - }, - { - "id": "ca", - "class": "family", - "title": "Security Assessment and Authorization", - "controls": [ - { - "id": "ca-1", - "class": "SP800-53", - "title": "Security Assessment and Authorization Policy and Procedures", - "parameters": [ - { - "id": "ca-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ca-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ca-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-1" - }, - { - "name": "sort-id", - "value": "ca-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ca-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ca-1_prm_1 }}:", - "parts": [ - { - "id": "ca-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security assessment and authorization policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ca-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security assessment and\n authorization policy and associated security assessment and authorization\n controls; and" - } - ] - }, - { - "id": "ca-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ca-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security assessment and authorization policy {{ ca-1_prm_2 }};\n and" - }, - { - "id": "ca-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security assessment and authorization procedures {{ ca-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ca-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ca-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ca-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a security assessment and authorization policy that\n addresses:", - "parts": [ - { - "id": "ca-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ca-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ca-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ca-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ca-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ca-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ca-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ca-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the security assessment and authorization\n policy is to be disseminated;" - }, - { - "id": "ca-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-1(a)(1)[3]" - } - ], - "prose": "disseminates the security assessment and authorization policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ca-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ca-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n security assessment and authorization policy and associated assessment and\n authorization controls;" - }, - { - "id": "ca-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ca-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ca-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ca-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization policy;" - }, - { - "id": "ca-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "ca-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ca-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current security assessment\n and authorization procedures; and" - }, - { - "id": "ca-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current security assessment and authorization\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment and authorization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2", - "class": "SP800-53", - "title": "Security Assessments", - "parameters": [ - { - "id": "ca-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-2_prm_2", - "label": "organization-defined individuals or roles", - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-2" - }, - { - "name": "sort-id", - "value": "ca-02" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security controls and control enhancements under assessment;" - }, - { - "id": "ca-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Assessment procedures to be used to determine security control effectiveness;\n and" - }, - { - "id": "ca-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Assessment environment, assessment team, and assessment roles and\n responsibilities;" - } - ] - }, - { - "id": "ca-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assesses the security controls in the information system and its environment of\n operation {{ ca-2_prm_1 }} to determine the extent to which the\n controls are implemented correctly, operating as intended, and producing the\n desired outcome with respect to meeting established security requirements;" - }, - { - "id": "ca-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produces a security assessment report that documents the results of the\n assessment; and" - }, - { - "id": "ca-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Provides the results of the security control assessment to {{ ca-2_prm_2 }}." - }, - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-2_gdn", - "name": "guidance", - "prose": "Organizations assess security controls in organizational information systems and the\n environments in which those systems operate as part of: (i) initial and ongoing\n security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring;\n and (iv) system development life cycle activities. Security assessments: (i) ensure\n that information security is built into organizational information systems; (ii)\n identify weaknesses and deficiencies early in the development process; (iii) provide\n essential information needed to make risk-based decisions as part of security\n authorization processes; and (iv) ensure compliance to vulnerability mitigation\n procedures. Assessments are conducted on the implemented security controls from\n Appendix F (main catalog) and Appendix G (Program Management controls) as documented\n in System Security Plans and Information Security Program Plans. Organizations can\n use other types of assessment activities such as vulnerability scanning and system\n monitoring to maintain the security posture of information systems during the entire\n life cycle. Security assessment reports document assessment results in sufficient\n detail as deemed necessary by organizations, to determine the accuracy and\n completeness of the reports and whether the security controls are implemented\n correctly, operating as intended, and producing the desired outcome with respect to\n meeting security requirements. The FISMA requirement for assessing security controls\n at least annually does not require additional assessment activities to those\n activities already in place in organizational security authorization processes.\n Security assessment results are provided to the individuals or roles appropriate for\n the types of assessments being conducted. For example, assessments conducted in\n support of security authorization decisions are provided to authorizing officials or\n authorizing official designated representatives. To satisfy annual assessment\n requirements, organizations can use assessment results from the following sources:\n (i) initial or ongoing information system authorizations; (ii) continuous monitoring;\n or (iii) system development life cycle activities. Organizations ensure that security\n assessment results are current, relevant to the determination of security control\n effectiveness, and obtained with the appropriate level of assessor independence.\n Existing security control assessment results can be reused to the extent that the\n results are still valid and can also be supplemented with additional assessments as\n needed. Subsequent to initial authorizations and in accordance with OMB policy,\n organizations assess security controls during continuous monitoring. Organizations\n establish the frequency for ongoing security control assessments in accordance with\n organizational continuous monitoring strategies. Information Assurance Vulnerability\n Alerts provide useful examples of vulnerability mitigation procedures. External\n audits (e.g., audits by external entities such as regulatory agencies) are outside\n the scope of this control.", - "links": [ - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(a)" - } - ], - "prose": "develops a security assessment plan that describes the scope of the assessment\n including:", - "parts": [ - { - "id": "ca-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(1)" - } - ], - "prose": "security controls and control enhancements under assessment;" - }, - { - "id": "ca-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(2)" - } - ], - "prose": "assessment procedures to be used to determine security control\n effectiveness;" - }, - { - "id": "ca-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)" - } - ], - "parts": [ - { - "id": "ca-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[1]" - } - ], - "prose": "assessment environment;" - }, - { - "id": "ca-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[2]" - } - ], - "prose": "assessment team;" - }, - { - "id": "ca-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(a)(3)[3]" - } - ], - "prose": "assessment roles and responsibilities;" - } - ] - } - ] - }, - { - "id": "ca-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(b)" - } - ], - "parts": [ - { - "id": "ca-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(b)[1]" - } - ], - "prose": "defines the frequency to assess the security controls in the information system\n and its environment of operation;" - }, - { - "id": "ca-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(b)[2]" - } - ], - "prose": "assesses the security controls in the information system with the\n organization-defined frequency to determine the extent to which the controls\n are implemented correctly, operating as intended, and producing the desired\n outcome with respect to meeting established security requirements;" - } - ] - }, - { - "id": "ca-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(c)" - } - ], - "prose": "produces a security assessment report that documents the results of the\n assessment;" - }, - { - "id": "ca-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(d)" - } - ], - "parts": [ - { - "id": "ca-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(d)[1]" - } - ], - "prose": "defines individuals or roles to whom the results of the security control\n assessment are to be provided; and" - }, - { - "id": "ca-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(d)[2]" - } - ], - "prose": "provides the results of the security control assessment to organization-defined\n individuals or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessment planning\\n\\nprocedures addressing security assessments\\n\\nsecurity assessment plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting security assessment, security assessment plan\n development, and/or security assessment reporting" - } - ] - } - ], - "controls": [ - { - "id": "ca-2.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessors", - "parameters": [ - { - "id": "ca-2.1_prm_1", - "label": "organization-defined level of independence" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2(1)" - }, - { - "name": "sort-id", - "value": "ca-02.01" - } - ], - "parts": [ - { - "id": "ca-2.1_smt", - "name": "statement", - "prose": "The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments.", - "parts": [ - { - "id": "ca-2.1_fr", - "name": "item", - "title": "CA-2 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)." - } - ] - } - ] - }, - { - "id": "ca-2.1_gdn", - "name": "guidance", - "prose": "Independent assessors or assessment teams are individuals or groups who conduct\n impartial assessments of organizational information systems. Impartiality implies\n that assessors are free from any perceived or actual conflicts of interest with\n regard to the development, operation, or management of the organizational\n information systems under assessment or to the determination of security control\n effectiveness. To achieve impartiality, assessors should not: (i) create a mutual\n or conflicting interest with the organizations where the assessments are being\n conducted; (ii) assess their own work; (iii) act as management or employees of the\n organizations they are serving; or (iv) place themselves in positions of advocacy\n for the organizations acquiring their services. Independent assessments can be\n obtained from elements within organizations or can be contracted to public or\n private sector entities outside of organizations. Authorizing officials determine\n the required level of independence based on the security categories of information\n systems and/or the ultimate risk to organizational operations, organizational\n assets, or individuals. Authorizing officials also determine if the level of\n assessor independence provides sufficient assurance that the results are sound and\n can be used to make credible, risk-based decisions. This includes determining\n whether contracted security assessment services have sufficient independence, for\n example, when information system owners are not directly involved in contracting\n processes or cannot unduly influence the impartiality of assessors conducting\n assessments. In special situations, for example, when organizations that own the\n information systems are small or organizational structures require that\n assessments are conducted by individuals that are in the developmental,\n operational, or management chain of system owners, independence in assessment\n processes can be achieved by ensuring that assessment results are carefully\n reviewed and analyzed by independent teams of experts to validate the\n completeness, accuracy, integrity, and reliability of the results. Organizations\n recognize that assessments performed for purposes other than direct support to\n authorization decisions are, when performed by assessors with sufficient\n independence, more likely to be useable for such decisions, thereby reducing the\n need to repeat assessments." - }, - { - "id": "ca-2.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(1)[1]" - } - ], - "prose": "defines the level of independence to be employed to conduct security control\n assessments; and" - }, - { - "id": "ca-2.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-2(1)[2]" - } - ], - "prose": "employs assessors or assessment teams with the organization-defined level of\n independence to conduct security control assessments." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity authorization package (including security plan, security assessment\n plan, security assessment report, plan of action and milestones, authorization\n statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ca-2.2", - "class": "SP800-53-enhancement", - "title": "Specialized Assessments", - "parameters": [ - { - "id": "ca-2.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-2.2_prm_2" - }, - { - "id": "ca-2.2_prm_3" - }, - { - "id": "ca-2.2_prm_4", - "depends-on": "ca-2.2_prm_3", - "label": "organization-defined other forms of security assessment" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-2(2)" - }, - { - "name": "sort-id", - "value": "ca-02.02" - } - ], - "parts": [ - { - "id": "ca-2.2_smt", - "name": "statement", - "prose": "The organization includes as part of security control assessments, {{ ca-2.2_prm_1 }}, {{ ca-2.2_prm_2 }}, {{ ca-2.2_prm_3 }}.", - "parts": [ - { - "id": "ca-2.2_fr", - "name": "item", - "title": "CA-2 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "To include 'announced', 'vulnerability scanning'" - } - ] - } - ] - }, - { - "id": "ca-2.2_gdn", - "name": "guidance", - "prose": "Organizations can employ information system monitoring, insider threat\n assessments, malicious user testing, and other forms of testing (e.g.,\n verification and validation) to improve readiness by exercising organizational\n capabilities and indicating current performance levels as a means of focusing\n actions to improve security. Organizations conduct assessment activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n regulations, and standards. Authorizing officials approve the assessment methods\n in coordination with the organizational risk executive function. Organizations can\n incorporate vulnerabilities uncovered during assessments into vulnerability\n remediation processes.", - "links": [ - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ca-2.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(2)[1]" - } - ], - "prose": "selects one or more of the following forms of specialized security assessment\n to be included as part of security control assessments:", - "parts": [ - { - "id": "ca-2.2_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][a]" - } - ], - "prose": "in-depth monitoring;" - }, - { - "id": "ca-2.2_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][b]" - } - ], - "prose": "vulnerability scanning;" - }, - { - "id": "ca-2.2_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][c]" - } - ], - "prose": "malicious user testing;" - }, - { - "id": "ca-2.2_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][d]" - } - ], - "prose": "insider threat assessment;" - }, - { - "id": "ca-2.2_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][e]" - } - ], - "prose": "performance/load testing; and/or" - }, - { - "id": "ca-2.2_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-2(2)[1][f]" - } - ], - "prose": "other forms of organization-defined specialized security assessment;" - } - ] - }, - { - "id": "ca-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(2)[2]" - } - ], - "prose": "defines the frequency for conducting the selected form(s) of specialized\n security assessment;" - }, - { - "id": "ca-2.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(2)[3]" - } - ], - "prose": "defines whether the specialized security assessment will be announced or\n unannounced; and" - }, - { - "id": "ca-2.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-2(2)[4]" - } - ], - "prose": "conducts announced or unannounced organization-defined forms of specialized\n security assessments with the organization-defined frequency as part of\n security control assessments." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting security control assessment" - } - ] - } - ] - }, - { - "id": "ca-2.3", - "class": "SP800-53-enhancement", - "title": "External Organizations", - "parameters": [ - { - "id": "ca-2.3_prm_1", - "label": "organization-defined information system", - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - { - "id": "ca-2.3_prm_2", - "label": "organization-defined external organization", - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - { - "id": "ca-2.3_prm_3", - "label": "organization-defined requirements", - "constraints": [ - { - "detail": "the conditions of the JAB/AO in the FedRAMP Repository" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-2(3)" - }, - { - "name": "sort-id", - "value": "ca-02.03" - } - ], - "parts": [ - { - "id": "ca-2.3_smt", - "name": "statement", - "prose": "The organization accepts the results of an assessment of {{ ca-2.3_prm_1 }} performed by {{ ca-2.3_prm_2 }} when\n the assessment meets {{ ca-2.3_prm_3 }}." - }, - { - "id": "ca-2.3_gdn", - "name": "guidance", - "prose": "Organizations may often rely on assessments of specific information systems by\n other (external) organizations. Utilizing such existing assessments (i.e., reusing\n existing assessment evidence) can significantly decrease the time and resources\n required for organizational assessments by limiting the amount of independent\n assessment activities that organizations need to perform. The factors that\n organizations may consider in determining whether to accept assessment results\n from external organizations can vary. Determinations for accepting assessment\n results can be based on, for example, past assessment experiences one organization\n has had with another organization, the reputation that organizations have with\n regard to assessments, the level of detail of supporting assessment documentation\n provided, or mandates imposed upon organizations by federal legislation, policies,\n or directives." - }, - { - "id": "ca-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(3)[1]" - } - ], - "prose": "defines an information system for which the results of a security assessment\n performed by an external organization are to be accepted;" - }, - { - "id": "ca-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(3)[2]" - } - ], - "prose": "defines an external organization from which to accept a security assessment\n performed on an organization-defined information system;" - }, - { - "id": "ca-2.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-2(3)[3]" - } - ], - "prose": "defines the requirements to be met by a security assessment performed by\n organization-defined external organization on organization-defined information\n system; and" - }, - { - "id": "ca-2.3_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-2(3)[4]" - } - ], - "prose": "accepts the results of an assessment of an organization-defined information\n system performed by an organization-defined external organization when the\n assessment meets organization-defined requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security assessments\\n\\nsecurity plan\\n\\nsecurity assessment requirements\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel performing security assessments for the specified external\n organization" - } - ] - } - ] - } - ] - }, - { - "id": "ca-3", - "class": "SP800-53", - "title": "System Interconnections", - "parameters": [ - { - "id": "ca-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually and on input from FedRAMP" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-3" - }, - { - "name": "sort-id", - "value": "ca-03" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#2711f068-734e-4afd-94ba-0b22247fbc88", - "rel": "reference", - "text": "NIST Special Publication 800-47" - } - ], - "parts": [ - { - "id": "ca-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each interconnection, the interface characteristics, security\n requirements, and the nature of the information communicated; and" - }, - { - "id": "ca-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}." - } - ] - }, - { - "id": "ca-3_gdn", - "name": "guidance", - "prose": "This control applies to dedicated connections between information systems (i.e.,\n system interconnections) and does not apply to transitory, user-controlled\n connections such as email and website browsing. Organizations carefully consider the\n risks that may be introduced when information systems are connected to other systems\n with different security requirements and security controls, both within organizations\n and external to organizations. Authorizing officials determine the risk associated\n with information system connections and the appropriate controls employed. If\n interconnecting systems have the same authorizing official, organizations do not need\n to develop Interconnection Security Agreements. Instead, organizations can describe\n the interface characteristics between those interconnecting systems in their\n respective security plans. If interconnecting systems have different authorizing\n officials within the same organization, organizations can either develop\n Interconnection Security Agreements or describe the interface characteristics between\n systems in the security plans for the respective systems. Organizations may also\n incorporate Interconnection Security Agreement information into formal contracts,\n especially for interconnections established between federal agencies and nonfederal\n (i.e., private sector) organizations. Risk considerations also include information\n systems sharing the same networks. For certain technologies (e.g., space, unmanned\n aerial vehicles, and medical devices), there may be specialized connections in place\n during preoperational testing. Such connections may require Interconnection Security\n Agreements and be subject to additional security controls.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#au-16", - "rel": "related", - "text": "AU-16" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(a)" - } - ], - "prose": "authorizes connections from the information system to other information systems\n through the use of Interconnection Security Agreements;" - }, - { - "id": "ca-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(b)" - } - ], - "prose": "documents, for each interconnection:", - "parts": [ - { - "id": "ca-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[2]" - } - ], - "prose": "the security requirements;" - }, - { - "id": "ca-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(b)[3]" - } - ], - "prose": "the nature of the information communicated;" - } - ] - }, - { - "id": "ca-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(c)" - } - ], - "parts": [ - { - "id": "ca-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(c)[1]" - } - ], - "prose": "defines the frequency to review and update Interconnection Security Agreements;\n and" - }, - { - "id": "ca-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(c)[2]" - } - ], - "prose": "reviews and updates Interconnection Security Agreements with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system Interconnection Security Agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n approving information system interconnection agreements\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing the system(s) to which the Interconnection Security Agreement\n applies" - } - ] - } - ], - "controls": [ - { - "id": "ca-3.3", - "class": "SP800-53-enhancement", - "title": "Unclassified Non-national Security System Connections", - "parameters": [ - { - "id": "ca-3.3_prm_1", - "label": "organization-defined unclassified, non-national security system" - }, - { - "id": "ca-3.3_prm_2", - "label": "Assignment; organization-defined boundary protection device", - "constraints": [ - { - "detail": "Boundary Protections which meet the Trusted Internet Connection (TIC) requirements" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-3(3)" - }, - { - "name": "sort-id", - "value": "ca-03.03" - } - ], - "parts": [ - { - "id": "ca-3.3_smt", - "name": "statement", - "prose": "The organization prohibits the direct connection of an {{ ca-3.3_prm_1 }} to an external network without the use of {{ ca-3.3_prm_2 }}.", - "parts": [ - { - "id": "ca-3.3_fr", - "name": "item", - "title": "CA-3 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document." - } - ] - } - ] - }, - { - "id": "ca-3.3_gdn", - "name": "guidance", - "prose": "Organizations typically do not have control over external networks (e.g., the\n Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate\n communications (i.e., information flows) between unclassified non-national\n security systems and external networks. This control enhancement is required for\n organizations processing, storing, or transmitting Controlled Unclassified\n Information (CUI)." - }, - { - "id": "ca-3.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-3.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-3(3)[1]" - } - ], - "prose": "defines an unclassified, non-national security system whose direct connection\n to an external network is to be prohibited without the use of approved boundary\n protection device;" - }, - { - "id": "ca-3.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(3)[2]" - } - ], - "prose": "defines a boundary protection device to be used to establish the direct\n connection of an organization-defined unclassified, non-national security\n system to an external network; and" - }, - { - "id": "ca-3.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-3(3)[3]" - } - ], - "prose": "prohibits the direct connection of an organization-defined unclassified,\n non-national security system to an external network without the use of an\n organization-defined boundary protection device." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection security agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for managing direct connections to\n external networks\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel managing directly connected external networks" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting the management of external network\n connections" - } - ] - } - ] - }, - { - "id": "ca-3.5", - "class": "SP800-53-enhancement", - "title": "Restrictions On External System Connections", - "parameters": [ - { - "id": "ca-3.5_prm_1" - }, - { - "id": "ca-3.5_prm_2", - "label": "organization-defined information systems" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-3(5)" - }, - { - "name": "sort-id", - "value": "ca-03.05" - } - ], - "parts": [ - { - "id": "ca-3.5_smt", - "name": "statement", - "prose": "The organization employs {{ ca-3.5_prm_1 }} policy for allowing\n {{ ca-3.5_prm_2 }} to connect to external information\n systems.", - "parts": [ - { - "id": "ca-3.5_fr", - "name": "item", - "title": "CA-3 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing" - } - ] - } - ] - }, - { - "id": "ca-3.5_gdn", - "name": "guidance", - "prose": "Organizations can constrain information system connectivity to external domains\n (e.g., websites) by employing one of two policies with regard to such\n connectivity: (i) allow-all, deny by exception, also known as blacklisting (the\n weaker of the two policies); or (ii) deny-all, allow by exception, also known as\n whitelisting (the stronger of the two policies). For either policy, organizations\n determine what exceptions, if any, are acceptable.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - } - ] - }, - { - "id": "ca-3.5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ca-3.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-3(5)[1]" - } - ], - "prose": "defines information systems to be allowed to connect to external information\n systems;" - }, - { - "id": "ca-3.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-3(5)[2]" - } - ], - "prose": "employs one of the following policies for allowing organization-defined\n information systems to connect to external information systems:", - "parts": [ - { - "id": "ca-3.5_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][a]" - } - ], - "prose": "allow-all policy;" - }, - { - "id": "ca-3.5_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][b]" - } - ], - "prose": "deny-by-exception policy;" - }, - { - "id": "ca-3.5_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][c]" - } - ], - "prose": "deny-all policy; or" - }, - { - "id": "ca-3.5_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-3(5)[2][d]" - } - ], - "prose": "permit-by-exception policy." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\ninformation system interconnection agreements\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for managing connections to\n external information systems\\n\\nnetwork administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing restrictions on external system\n connections" - } - ] - } - ] - } - ] - }, - { - "id": "ca-5", - "class": "SP800-53", - "title": "Plan of Action and Milestones", - "parameters": [ - { - "id": "ca-5_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-5" - }, - { - "name": "sort-id", - "value": "ca-05" - } - ], - "links": [ - { - "href": "#2c5884cd-7b96-425c-862a-99877e1cf909", - "rel": "reference", - "text": "OMB Memorandum 02-01" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - } - ], - "parts": [ - { - "id": "ca-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a plan of action and milestones for the information system to document\n the organization’s planned remedial actions to correct weaknesses or deficiencies\n noted during the assessment of the security controls and to reduce or eliminate\n known vulnerabilities in the system; and" - }, - { - "id": "ca-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates existing plan of action and milestones {{ ca-5_prm_1 }}\n based on the findings from security controls assessments, security impact\n analyses, and continuous monitoring activities." - }, - { - "id": "ca-5_fr", - "name": "item", - "title": "CA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Plan of Action & Milestones (POA&M) must be provided at least monthly." - }, - { - "id": "ca-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-5_gdn", - "name": "guidance", - "prose": "Plans of action and milestones are key documents in security authorization packages\n and are subject to federal reporting requirements established by OMB.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-4", - "rel": "related", - "text": "PM-4" - } - ] - }, - { - "id": "ca-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-5(a)" - } - ], - "prose": "develops a plan of action and milestones for the information system to:", - "parts": [ - { - "id": "ca-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[1]" - } - ], - "prose": "document the organization’s planned remedial actions to correct weaknesses or\n deficiencies noted during the assessment of the security controls;" - }, - { - "id": "ca-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(a)[2]" - } - ], - "prose": "reduce or eliminate known vulnerabilities in the system;" - } - ] - }, - { - "id": "ca-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)" - } - ], - "parts": [ - { - "id": "ca-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-5(b)[1]" - } - ], - "prose": "defines the frequency to update the existing plan of action and milestones;" - }, - { - "id": "ca-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-5(b)[2]" - } - ], - "prose": "updates the existing plan of action and milestones with the\n organization-defined frequency based on the findings from:", - "parts": [ - { - "id": "ca-5.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][a]" - } - ], - "prose": "security controls assessments;" - }, - { - "id": "ca-5.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][b]" - } - ], - "prose": "security impact analyses; and" - }, - { - "id": "ca-5.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-5(b)[2][c]" - } - ], - "prose": "continuous monitoring activities." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing plan of action and milestones\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nplan of action and milestones\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with plan of action and milestones development and\n implementation responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms for developing, implementing, and maintaining plan of action\n and milestones" - } - ] - } - ] - }, - { - "id": "ca-6", - "class": "SP800-53", - "title": "Security Authorization", - "parameters": [ - { - "id": "ca-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CA-6" - }, - { - "name": "sort-id", - "value": "ca-06" - } - ], - "links": [ - { - "href": "#9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab", - "rel": "reference", - "text": "OMB Circular A-130" - }, - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "ca-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that the authorizing official authorizes the information system for\n processing before commencing operations; and" - }, - { - "id": "ca-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Updates the security authorization {{ ca-6_prm_1 }}." - }, - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "id": "ca-6_gdn", - "name": "guidance", - "prose": "Security authorizations are official management decisions, conveyed through\n authorization decision documents, by senior organizational officials or executives\n (i.e., authorizing officials) to authorize operation of information systems and to\n explicitly accept the risk to organizational operations and assets, individuals,\n other organizations, and the Nation based on the implementation of agreed-upon\n security controls. Authorizing officials provide budgetary oversight for\n organizational information systems or assume responsibility for the mission/business\n operations supported by those systems. The security authorization process is an\n inherently federal responsibility and therefore, authorizing officials must be\n federal employees. Through the security authorization process, authorizing officials\n assume responsibility and are accountable for security risks associated with the\n operation and use of organizational information systems. Accordingly, authorizing\n officials are in positions with levels of authority commensurate with understanding\n and accepting such information security-related risks. OMB policy requires that\n organizations conduct ongoing authorizations of information systems by implementing\n continuous monitoring programs. Continuous monitoring programs can satisfy three-year\n reauthorization requirements, so separate reauthorization processes are not\n necessary. Through the employment of comprehensive continuous monitoring processes,\n critical information contained in authorization packages (i.e., security plans,\n security assessment reports, and plans of action and milestones) is updated on an\n ongoing basis, providing authorizing officials and information system owners with an\n up-to-date status of the security state of organizational information systems and\n environments of operation. To reduce the administrative cost of security\n reauthorization, authorizing officials use the results of continuous monitoring\n processes to the maximum extent possible as the basis for rendering reauthorization\n decisions.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-10", - "rel": "related", - "text": "PM-10" - } - ] - }, - { - "id": "ca-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-6(a)" - } - ], - "prose": "assigns a senior-level executive or manager as the authorizing official for the\n information system;" - }, - { - "id": "ca-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-6(b)" - } - ], - "prose": "ensures that the authorizing official authorizes the information system for\n processing before commencing operations;" - }, - { - "id": "ca-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-6(c)" - } - ], - "parts": [ - { - "id": "ca-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-6(c)[1]" - } - ], - "prose": "defines the frequency to update the security authorization; and" - }, - { - "id": "ca-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-6(c)[2]" - } - ], - "prose": "updates the security authorization with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing security authorization\\n\\nsecurity authorization package (including security plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\nauthorization statement)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security authorization responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that facilitate security authorizations and updates" - } - ] - } - ] - }, - { - "id": "ca-7", - "class": "SP800-53", - "title": "Continuous Monitoring", - "parameters": [ - { - "id": "ca-7_prm_1", - "label": "organization-defined metrics" - }, - { - "id": "ca-7_prm_2", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_3", - "label": "organization-defined frequencies" - }, - { - "id": "ca-7_prm_4", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - { - "id": "ca-7_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-7" - }, - { - "name": "sort-id", - "value": "ca-07" - } - ], - "links": [ - { - "href": "#bedb15b7-ec5c-4a68-807f-385125751fcd", - "rel": "reference", - "text": "OMB Memorandum 11-33" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#8ade2fbe-e468-4ca8-9a40-54d7f23c32bb", - "rel": "reference", - "text": "US-CERT Technical Cyber Security Alerts" - }, - { - "href": "#2d8b14e9-c8b5-4d3d-8bdc-155078f3281b", - "rel": "reference", - "text": "DoD Information Assurance Vulnerability Alerts" - } - ], - "parts": [ - { - "id": "ca-7_smt", - "name": "statement", - "prose": "The organization develops a continuous monitoring strategy and implements a\n continuous monitoring program that includes:", - "parts": [ - { - "id": "ca-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishment of {{ ca-7_prm_1 }} to be monitored;" - }, - { - "id": "ca-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring;" - }, - { - "id": "ca-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ongoing security control assessments in accordance with the organizational\n continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Ongoing security status monitoring of organization-defined metrics in accordance\n with the organizational continuous monitoring strategy;" - }, - { - "id": "ca-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correlation and analysis of security-related information generated by assessments\n and monitoring;" - }, - { - "id": "ca-7_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Response actions to address results of the analysis of security-related\n information; and" - }, - { - "id": "ca-7_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Reporting the security status of organization and the information system to\n {{ ca-7_prm_4 }}\n {{ ca-7_prm_5 }}." - }, - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually." - }, - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-7_gdn", - "name": "guidance", - "prose": "Continuous monitoring programs facilitate ongoing awareness of threats,\n vulnerabilities, and information security to support organizational risk management\n decisions. The terms continuous and ongoing imply that organizations assess/analyze\n security controls and information security-related risks at a frequency sufficient to\n support organizational risk-based decisions. The results of continuous monitoring\n programs generate appropriate risk response actions by organizations. Continuous\n monitoring programs also allow organizations to maintain the security authorizations\n of information systems and common controls over time in highly dynamic environments\n of operation with changing mission/business needs, threats, vulnerabilities, and\n technologies. Having access to security-related information on a continuing basis\n through reports/dashboards gives organizational officials the capability to make more\n effective and timely risk management decisions, including ongoing security\n authorization decisions. Automation supports more frequent updates to security\n authorization packages, hardware/software/firmware inventories, and other system\n information. Effectiveness is further enhanced when continuous monitoring outputs are\n formatted to provide information that is specific, measurable, actionable, relevant,\n and timely. Continuous monitoring activities are scaled in accordance with the\n security categories of information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-5", - "rel": "related", - "text": "CA-5" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#pm-6", - "rel": "related", - "text": "PM-6" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ca-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(a)" - } - ], - "parts": [ - { - "id": "ca-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(a)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines metrics to be\n monitored;" - }, - { - "id": "ca-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(a)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that includes monitoring of\n organization-defined metrics;" - }, - { - "id": "ca-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(a)[3]" - } - ], - "prose": "implements a continuous monitoring program that includes monitoring of\n organization-defined metrics in accordance with the organizational continuous\n monitoring strategy;" - } - ] - }, - { - "id": "ca-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(b)" - } - ], - "parts": [ - { - "id": "ca-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines frequencies for\n monitoring;" - }, - { - "id": "ca-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[2]" - } - ], - "prose": "defines frequencies for assessments supporting monitoring;" - }, - { - "id": "ca-7.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(b)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes establishment of the\n organization-defined frequencies for monitoring and for assessments supporting\n monitoring;" - }, - { - "id": "ca-7.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(b)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes establishment of\n organization-defined frequencies for monitoring and for assessments supporting\n such monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(c)" - } - ], - "parts": [ - { - "id": "ca-7.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(c)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security\n control assessments;" - }, - { - "id": "ca-7.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(c)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n control assessments in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(d)" - } - ], - "parts": [ - { - "id": "ca-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(d)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes ongoing security status\n monitoring of organization-defined metrics;" - }, - { - "id": "ca-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(d)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes ongoing security\n status monitoring of organization-defined metrics in accordance with the\n organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(e)" - } - ], - "parts": [ - { - "id": "ca-7.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(e)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring;" - }, - { - "id": "ca-7.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(e)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes correlation and\n analysis of security-related information generated by assessments and\n monitoring in accordance with the organizational continuous monitoring\n strategy;" - } - ] - }, - { - "id": "ca-7.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(f)" - } - ], - "parts": [ - { - "id": "ca-7.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(f)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that includes response actions to\n address results of the analysis of security-related information;" - }, - { - "id": "ca-7.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(f)[2]" - } - ], - "prose": "implements a continuous monitoring program that includes response actions to\n address results of the analysis of security-related information in accordance\n with the organizational continuous monitoring strategy;" - } - ] - }, - { - "id": "ca-7.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-7(g)" - } - ], - "parts": [ - { - "id": "ca-7.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[1]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the personnel or roles\n to whom the security status of the organization and information system are to\n be reported;" - }, - { - "id": "ca-7.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[2]" - } - ], - "prose": "develops a continuous monitoring strategy that defines the frequency to report\n the security status of the organization and information system to\n organization-defined personnel or roles;" - }, - { - "id": "ca-7.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(g)[3]" - } - ], - "prose": "develops a continuous monitoring strategy that includes reporting the security\n status of the organization or information system to organizational-defined\n personnel or roles with the organization-defined frequency; and" - }, - { - "id": "ca-7.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-7(g)[4]" - } - ], - "prose": "implements a continuous monitoring program that includes reporting the security\n status of the organization and information system to organization-defined\n personnel or roles with the organization-defined frequency in accordance with\n the organizational continuous monitoring strategy." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nprocedures addressing configuration management\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nconfiguration management records, security impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Mechanisms implementing continuous monitoring" - } - ] - } - ], - "controls": [ - { - "id": "ca-7.1", - "class": "SP800-53-enhancement", - "title": "Independent Assessment", - "parameters": [ - { - "id": "ca-7.1_prm_1", - "label": "organization-defined level of independence" - } - ], - "properties": [ - { - "name": "label", - "value": "CA-7(1)" - }, - { - "name": "sort-id", - "value": "ca-07.01" - } - ], - "parts": [ - { - "id": "ca-7.1_smt", - "name": "statement", - "prose": "The organization employs assessors or assessment teams with {{ ca-7.1_prm_1 }} to monitor the security controls in the information\n system on an ongoing basis." - }, - { - "id": "ca-7.1_gdn", - "name": "guidance", - "prose": "Organizations can maximize the value of assessments of security controls during\n the continuous monitoring process by requiring that such assessments be conducted\n by assessors or assessment teams with appropriate levels of independence based on\n continuous monitoring strategies. Assessor independence provides a degree of\n impartiality to the monitoring process. To achieve such impartiality, assessors\n should not: (i) create a mutual or conflicting interest with the organizations\n where the assessments are being conducted; (ii) assess their own work; (iii) act\n as management or employees of the organizations they are serving; or (iv) place\n themselves in advocacy positions for the organizations acquiring their\n services." - }, - { - "id": "ca-7.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-7.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-7(1)[1]" - } - ], - "prose": "defines a level of independence to be employed to monitor the security controls\n in the information system on an ongoing basis; and" - }, - { - "id": "ca-7.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-7(1)[2]" - } - ], - "prose": "employs assessors or assessment teams with the organization-defined level of\n independence to monitor the security controls in the information system on an\n ongoing basis." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing continuous monitoring of information system security\n controls\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nplan of action and milestones\\n\\ninformation system monitoring records\\n\\nsecurity impact analyses\\n\\nstatus reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with continuous monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ca-8", - "class": "SP800-53", - "title": "Penetration Testing", - "parameters": [ - { - "id": "ca-8_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ca-8_prm_2", - "label": "organization-defined information systems or system components" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-8" - }, - { - "name": "sort-id", - "value": "ca-08" - } - ], - "parts": [ - { - "id": "ca-8_smt", - "name": "statement", - "prose": "The organization conducts penetration testing {{ ca-8_prm_1 }} on\n {{ ca-8_prm_2 }}.", - "parts": [ - { - "id": "ca-8_fr", - "name": "item", - "title": "CA-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-8_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)\n " - } - ] - } - ] - }, - { - "id": "ca-8_gdn", - "name": "guidance", - "prose": "Penetration testing is a specialized type of assessment conducted on information\n systems or individual system components to identify vulnerabilities that could be\n exploited by adversaries. Such testing can be used to either validate vulnerabilities\n or determine the degree of resistance organizational information systems have to\n adversaries within a set of specified constraints (e.g., time, resources, and/or\n skills). Penetration testing attempts to duplicate the actions of adversaries in\n carrying out hostile cyber attacks against organizations and provides a more in-depth\n analysis of security-related weaknesses/deficiencies. Organizations can also use the\n results of vulnerability analyses to support penetration testing activities.\n Penetration testing can be conducted on the hardware, software, or firmware\n components of an information system and can exercise both physical and technical\n security controls. A standard method for penetration testing includes, for example:\n (i) pretest analysis based on full knowledge of the target system; (ii) pretest\n identification of potential vulnerabilities based on pretest analysis; and (iii)\n testing designed to determine exploitability of identified vulnerabilities. All\n parties agree to the rules of engagement before the commencement of penetration\n testing scenarios. Organizations correlate the penetration testing rules of\n engagement with the tools, techniques, and procedures that are anticipated to be\n employed by adversaries carrying out attacks. Organizational risk assessments guide\n decisions on the level of independence required for personnel conducting penetration\n testing.", - "links": [ - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "ca-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-8[1]" - } - ], - "prose": "defines information systems or system components on which penetration testing is\n to be conducted;" - }, - { - "id": "ca-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-8[2]" - } - ], - "prose": "defines the frequency to conduct penetration testing on organization-defined\n information systems or system components; and" - }, - { - "id": "ca-8_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CA-8[3]" - } - ], - "prose": "conducts penetration testing on organization-defined information systems or system\n components with the organization-defined frequency." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities,\n system/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting penetration testing" - } - ] - } - ], - "controls": [ - { - "id": "ca-8.1", - "class": "SP800-53-enhancement", - "title": "Independent Penetration Agent or Team", - "properties": [ - { - "name": "label", - "value": "CA-8(1)" - }, - { - "name": "sort-id", - "value": "ca-08.01" - } - ], - "parts": [ - { - "id": "ca-8.1_smt", - "name": "statement", - "prose": "The organization employs an independent penetration agent or penetration team to\n perform penetration testing on the information system or system components." - }, - { - "id": "ca-8.1_gdn", - "name": "guidance", - "prose": "Independent penetration agents or teams are individuals or groups who conduct\n impartial penetration testing of organizational information systems. Impartiality\n implies that penetration agents or teams are free from any perceived or actual\n conflicts of interest with regard to the development, operation, or management of\n the information systems that are the targets of the penetration testing.\n Supplemental guidance for CA-2 (1) provides additional information regarding\n independent assessments that can be applied to penetration testing.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - } - ] - }, - { - "id": "ca-8.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization employs an independent penetration agent or\n penetration team to perform penetration testing on the information system or\n system components. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security assessment and authorization policy\\n\\nprocedures addressing penetration testing\\n\\nsecurity plan\\n\\nsecurity assessment plan\\n\\npenetration test report\\n\\nsecurity assessment report\\n\\nsecurity assessment evidence\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ca-9", - "class": "SP800-53", - "title": "Internal System Connections", - "parameters": [ - { - "id": "ca-9_prm_1", - "label": "organization-defined information system components or classes of\n components" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CA-9" - }, - { - "name": "sort-id", - "value": "ca-09" - } - ], - "parts": [ - { - "id": "ca-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ca-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Authorizes internal connections of {{ ca-9_prm_1 }} to the\n information system; and" - }, - { - "id": "ca-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents, for each internal connection, the interface characteristics, security\n requirements, and the nature of the information communicated." - } - ] - }, - { - "id": "ca-9_gdn", - "name": "guidance", - "prose": "This control applies to connections between organizational information systems and\n (separate) constituent system components (i.e., intra-system connections) including,\n for example, system connections with mobile devices, notebook/desktop computers,\n printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of\n authorizing each individual internal connection, organizations can authorize internal\n connections for a class of components with common characteristics and/or\n configurations, for example, all digital printers, scanners, and copiers with a\n specified processing, storage, and transmission capability or all smart phones with a\n specific baseline configuration.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ca-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ca-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(a)" - } - ], - "parts": [ - { - "id": "ca-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-9(a)[1]" - } - ], - "prose": "defines information system components or classes of components to be authorized\n as internal connections to the information system;" - }, - { - "id": "ca-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CA-9(a)[2]" - } - ], - "prose": "authorizes internal connections of organization-defined information system\n components or classes of components to the information system;" - } - ] - }, - { - "id": "ca-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CA-9(b)" - } - ], - "prose": "documents, for each internal connection:", - "parts": [ - { - "id": "ca-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[1]" - } - ], - "prose": "the interface characteristics;" - }, - { - "id": "ca-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[2]" - } - ], - "prose": "the security requirements; and" - }, - { - "id": "ca-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CA-9(b)[3]" - } - ], - "prose": "the nature of the information communicated." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Access control policy\\n\\nprocedures addressing information system connections\\n\\nsystem and communications protection policy\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of components or classes of components authorized as internal system\n connections\\n\\nsecurity assessment report\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for developing, implementing, or\n authorizing internal system connections\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cm", - "class": "family", - "title": "Configuration Management", - "controls": [ - { - "id": "cm-1", - "class": "SP800-53", - "title": "Configuration Management Policy and Procedures", - "parameters": [ - { - "id": "cm-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cm-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "cm-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-1" - }, - { - "name": "sort-id", - "value": "cm-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cm-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cm-1_prm_1 }}:", - "parts": [ - { - "id": "cm-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A configuration management policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cm-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the configuration management\n policy and associated configuration management controls; and" - } - ] - }, - { - "id": "cm-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cm-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Configuration management policy {{ cm-1_prm_2 }}; and" - }, - { - "id": "cm-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Configuration management procedures {{ cm-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cm-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CM\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cm-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(1)" - } - ], - "parts": [ - { - "id": "cm-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1]" - } - ], - "prose": "develops and documents a configuration management policy that addresses:", - "parts": [ - { - "id": "cm-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cm-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cm-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cm-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cm-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cm-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cm-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cm-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the configuration management policy is to\n be disseminated;" - }, - { - "id": "cm-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-1(a)(1)[3]" - } - ], - "prose": "disseminates the configuration management policy to organization-defined\n personnel or roles;" - } - ] - }, - { - "id": "cm-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(a)(2)" - } - ], - "parts": [ - { - "id": "cm-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n configuration management policy and associated configuration management\n controls;" - }, - { - "id": "cm-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cm-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cm-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(1)" - } - ], - "parts": [ - { - "id": "cm-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management policy;" - }, - { - "id": "cm-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current configuration management policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "cm-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-1(b)(2)" - } - ], - "parts": [ - { - "id": "cm-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current configuration\n management procedures; and" - }, - { - "id": "cm-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current configuration management procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - } - ] - }, - { - "id": "cm-2", - "class": "SP800-53", - "title": "Baseline Configuration", - "properties": [ - { - "name": "label", - "value": "CM-2" - }, - { - "name": "sort-id", - "value": "cm-02" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-2_smt", - "name": "statement", - "prose": "The organization develops, documents, and maintains under configuration control, a\n current baseline configuration of the information system." - }, - { - "id": "cm-2_gdn", - "name": "guidance", - "prose": "This control establishes baseline configurations for information systems and system\n components including communications and connectivity-related aspects of systems.\n Baseline configurations are documented, formally reviewed and agreed-upon sets of\n specifications for information systems or configuration items within those systems.\n Baseline configurations serve as a basis for future builds, releases, and/or changes\n to information systems. Baseline configurations include information about information\n system components (e.g., standard software packages installed on workstations,\n notebook computers, servers, network components, or mobile devices; current version\n numbers and patch information on operating systems and applications; and\n configuration settings/parameters), network topology, and the logical placement of\n those components within the system architecture. Maintaining baseline configurations\n requires creating new baselines as organizational information systems change over\n time. Baseline configurations of information systems reflect the current enterprise\n architecture.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - } - ] - }, - { - "id": "cm-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-2[1]" - } - ], - "prose": "develops and documents a current baseline configuration of the information system;\n and" - }, - { - "id": "cm-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2[2]" - } - ], - "prose": "maintains, under configuration control, a current baseline configuration of the\n information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\nenterprise architecture documentation\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting configuration control of the baseline\n configuration" - } - ] - } - ], - "controls": [ - { - "id": "cm-2.1", - "class": "SP800-53-enhancement", - "title": "Reviews and Updates", - "parameters": [ - { - "id": "cm-2.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually or when a significant change occurs" - } - ] - }, - { - "id": "cm-2.1_prm_2", - "label": "Assignment organization-defined circumstances", - "constraints": [ - { - "detail": "to include when directed by the JAB" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-2(1)" - }, - { - "name": "sort-id", - "value": "cm-02.01" - } - ], - "parts": [ - { - "id": "cm-2.1_smt", - "name": "statement", - "prose": "The organization reviews and updates the baseline configuration of the information\n system:", - "parts": [ - { - "id": "cm-2.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "\n {{ cm-2.1_prm_1 }};" - }, - { - "id": "cm-2.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "When required due to {{ cm-2.1_prm_2 }}; and" - }, - { - "id": "cm-2.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "As an integral part of information system component installations and\n upgrades." - } - ] - }, - { - "id": "cm-2.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - } - ] - }, - { - "id": "cm-2.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(1)(a)" - } - ], - "parts": [ - { - "id": "cm-2.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(1)(a)[1]" - } - ], - "prose": "defines the frequency to review and update the baseline configuration of the\n information system;" - }, - { - "id": "cm-2.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(1)(a)[2]" - } - ], - "prose": "reviews and updates the baseline configuration of the information system\n with the organization-defined frequency;" - } - ], - "links": [ - { - "href": "#cm-2.1_smt.a", - "rel": "corresp", - "text": "CM-2(1)(a)" - } - ] - }, - { - "id": "cm-2.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(1)(b)" - } - ], - "parts": [ - { - "id": "cm-2.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(1)(b)[1]" - } - ], - "prose": "defines circumstances that require the baseline configuration of the\n information system to be reviewed and updated;" - }, - { - "id": "cm-2.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(1)(b)[2]" - } - ], - "prose": "reviews and updates the baseline configuration of the information system\n when required due to organization-defined circumstances; and" - } - ], - "links": [ - { - "href": "#cm-2.1_smt.b", - "rel": "corresp", - "text": "CM-2(1)(b)" - } - ] - }, - { - "id": "cm-2.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(1)(c)" - } - ], - "prose": "reviews and updates the baseline configuration of the information system as an\n integral part of information system component installations and upgrades.", - "links": [ - { - "href": "#cm-2.1_smt.c", - "rel": "corresp", - "text": "CM-2(1)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms supporting review and update of the baseline\n configuration" - } - ] - } - ] - }, - { - "id": "cm-2.2", - "class": "SP800-53-enhancement", - "title": "Automation Support for Accuracy / Currency", - "properties": [ - { - "name": "label", - "value": "CM-2(2)" - }, - { - "name": "sort-id", - "value": "cm-02.02" - } - ], - "parts": [ - { - "id": "cm-2.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to maintain an up-to-date, complete,\n accurate, and readily available baseline configuration of the information\n system." - }, - { - "id": "cm-2.2_gdn", - "name": "guidance", - "prose": "Automated mechanisms that help organizations maintain consistent baseline\n configurations for information systems include, for example, hardware and software\n inventory tools, configuration management tools, and network management tools.\n Such tools can be deployed and/or allocated as common controls, at the information\n system level, or at the operating system or component level (e.g., on\n workstations, servers, notebook computers, network components, or mobile devices).\n Tools can be used, for example, to track version numbers on operating system\n applications, types of software installed, and current patch levels. This control\n enhancement can be satisfied by the implementation of CM-8 (2) for organizations\n that choose to combine information system component inventory and baseline\n configuration activities.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "cm-2.2_obj", - "name": "objective", - "prose": "Determine if the organization employs automated mechanisms to maintain: ", - "parts": [ - { - "id": "cm-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[1]" - } - ], - "prose": "an up-to-date baseline configuration of the information system;" - }, - { - "id": "cm-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[2]" - } - ], - "prose": "a complete baseline configuration of the information system;" - }, - { - "id": "cm-2.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[3]" - } - ], - "prose": "an accurate baseline configuration of the information system; and" - }, - { - "id": "cm-2.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(2)[4]" - } - ], - "prose": "a readily available baseline configuration of the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nconfiguration change control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations\\n\\nautomated mechanisms implementing baseline configuration maintenance" - } - ] - } - ] - }, - { - "id": "cm-2.3", - "class": "SP800-53-enhancement", - "title": "Retention of Previous Configurations", - "parameters": [ - { - "id": "cm-2.3_prm_1", - "label": "organization-defined previous versions of baseline configurations of the\n information system" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-2(3)" - }, - { - "name": "sort-id", - "value": "cm-02.03" - } - ], - "parts": [ - { - "id": "cm-2.3_smt", - "name": "statement", - "prose": "The organization retains {{ cm-2.3_prm_1 }} to support\n rollback." - }, - { - "id": "cm-2.3_gdn", - "name": "guidance", - "prose": "Retaining previous versions of baseline configurations to support rollback may\n include, for example, hardware, software, firmware, configuration files, and\n configuration records." - }, - { - "id": "cm-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(3)[1]" - } - ], - "prose": "defines previous versions of baseline configurations of the information system\n to be retained to support rollback; and" - }, - { - "id": "cm-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(3)[2]" - } - ], - "prose": "retains organization-defined previous versions of baseline configurations of\n the information system to support rollback." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncopies of previous baseline configuration versions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - }, - { - "id": "cm-2.7", - "class": "SP800-53-enhancement", - "title": "Configure Systems, Components, or Devices for High-risk Areas", - "parameters": [ - { - "id": "cm-2.7_prm_1", - "label": "organization-defined information systems, system components, or\n devices" - }, - { - "id": "cm-2.7_prm_2", - "label": "organization-defined configurations" - }, - { - "id": "cm-2.7_prm_3", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-2(7)" - }, - { - "name": "sort-id", - "value": "cm-02.07" - } - ], - "parts": [ - { - "id": "cm-2.7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-2.7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Issues {{ cm-2.7_prm_1 }} with {{ cm-2.7_prm_2 }}\n to individuals traveling to locations that the organization deems to be of\n significant risk; and" - }, - { - "id": "cm-2.7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Applies {{ cm-2.7_prm_3 }} to the devices when the individuals\n return." - } - ] - }, - { - "id": "cm-2.7_gdn", - "name": "guidance", - "prose": "When it is known that information systems, system components, or devices (e.g.,\n notebook computers, mobile devices) will be located in high-risk areas, additional\n security controls may be implemented to counter the greater threat in such areas\n coupled with the lack of physical security relative to organizational-controlled\n areas. For example, organizational policies and procedures for notebook computers\n used by individuals departing on and returning from travel include, for example,\n determining which locations are of concern, defining required configurations for\n the devices, ensuring that the devices are configured as intended before travel is\n initiated, and applying specific safeguards to the device after travel is\n completed. Specially configured notebook computers include, for example, computers\n with sanitized hard drives, limited applications, and additional hardening (e.g.,\n more stringent configuration settings). Specified safeguards applied to mobile\n devices upon return from travel include, for example, examining the device for\n signs of physical tampering and purging/reimaging the hard disk drive. Protecting\n information residing on mobile devices is covered in the media protection\n family." - }, - { - "id": "cm-2.7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-2.7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(7)(a)" - } - ], - "parts": [ - { - "id": "cm-2.7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(7)(a)[1]" - } - ], - "prose": "defines information systems, system components, or devices to be issued to\n individuals traveling to locations that the organization deems to be of\n significant risk;" - }, - { - "id": "cm-2.7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(7)(a)[2]" - } - ], - "prose": "defines configurations to be employed on organization-defined information\n systems, system components, or devices issued to individuals traveling to\n such locations;" - }, - { - "id": "cm-2.7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(7)(a)[3]" - } - ], - "prose": "issues organization-defined information systems, system components, or\n devices with organization-defined configurations to individuals traveling to\n locations that the organization deems to be of significant risk;" - } - ], - "links": [ - { - "href": "#cm-2.7_smt.a", - "rel": "corresp", - "text": "CM-2(7)(a)" - } - ] - }, - { - "id": "cm-2.7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-2(7)(b)" - } - ], - "parts": [ - { - "id": "cm-2.7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-2(7)(b)[1]" - } - ], - "prose": "defines security safeguards to be applied to the devices when the\n individuals return; and" - }, - { - "id": "cm-2.7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-2(7)(b)[2]" - } - ], - "prose": "applies organization-defined safeguards to the devices when the individuals\n return." - } - ], - "links": [ - { - "href": "#cm-2.7_smt.b", - "rel": "corresp", - "text": "CM-2(7)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing the baseline configuration of the information system\\n\\nprocedures addressing information system component installations and\n upgrades\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of information system baseline configuration reviews and updates\\n\\ninformation system component installations/upgrades and associated records\\n\\nchange control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing baseline configurations" - } - ] - } - ] - } - ] - }, - { - "id": "cm-3", - "class": "SP800-53", - "title": "Configuration Change Control", - "parameters": [ - { - "id": "cm-3_prm_1", - "label": "organization-defined time period" - }, - { - "id": "cm-3_prm_2", - "label": "organization-defined configuration change control element (e.g., committee,\n board)" - }, - { - "id": "cm-3_prm_3" - }, - { - "id": "cm-3_prm_4", - "depends-on": "cm-3_prm_3", - "label": "organization-defined frequency" - }, - { - "id": "cm-3_prm_5", - "depends-on": "cm-3_prm_3", - "label": "organization-defined configuration change conditions" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-3" - }, - { - "name": "sort-id", - "value": "cm-03" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines the types of changes to the information system that are\n configuration-controlled;" - }, - { - "id": "cm-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;" - }, - { - "id": "cm-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents configuration change decisions associated with the information\n system;" - }, - { - "id": "cm-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implements approved configuration-controlled changes to the information\n system;" - }, - { - "id": "cm-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retains records of configuration-controlled changes to the information system for\n {{ cm-3_prm_1 }};" - }, - { - "id": "cm-3_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Audits and reviews activities associated with configuration-controlled changes to\n the information system; and" - }, - { - "id": "cm-3_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Coordinates and provides oversight for configuration change control activities\n through {{ cm-3_prm_2 }} that convenes {{ cm-3_prm_3 }}." - }, - { - "id": "cm-3_fr", - "name": "item", - "title": "CM-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-3_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO." - }, - { - "id": "cm-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(e) Guidance:" - } - ], - "prose": "In accordance with record retention policies and procedures." - } - ] - } - ] - }, - { - "id": "cm-3_gdn", - "name": "guidance", - "prose": "Configuration change controls for organizational information systems involve the\n systematic proposal, justification, implementation, testing, review, and disposition\n of changes to the systems, including system upgrades and modifications. Configuration\n change control includes changes to baseline configurations for components and\n configuration items of information systems, changes to configuration settings for\n information technology products (e.g., operating systems, applications, firewalls,\n routers, and mobile devices), unscheduled/unauthorized changes, and changes to\n remediate vulnerabilities. Typical processes for managing configuration changes to\n information systems include, for example, Configuration Control Boards that approve\n proposed changes to systems. For new development information systems or systems\n undergoing major upgrades, organizations consider including representatives from\n development organizations on the Configuration Control Boards. Auditing of changes\n includes activities before and after changes are made to organizational information\n systems and the auditing activities required to implement such changes.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-12", - "rel": "related", - "text": "SI-12" - } - ] - }, - { - "id": "cm-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(a)" - } - ], - "prose": "determines the type of changes to the information system that must be\n configuration-controlled;" - }, - { - "id": "cm-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-3(b)" - } - ], - "prose": "reviews proposed configuration-controlled changes to the information system and\n approves or disapproves such changes with explicit consideration for security\n impact analyses;" - }, - { - "id": "cm-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-3(c)" - } - ], - "prose": "documents configuration change decisions associated with the information\n system;" - }, - { - "id": "cm-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(d)" - } - ], - "prose": "implements approved configuration-controlled changes to the information\n system;" - }, - { - "id": "cm-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(e)" - } - ], - "parts": [ - { - "id": "cm-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(e)[1]" - } - ], - "prose": "defines a time period to retain records of configuration-controlled changes to\n the information system;" - }, - { - "id": "cm-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(e)[2]" - } - ], - "prose": "retains records of configuration-controlled changes to the information system\n for the organization-defined time period;" - } - ] - }, - { - "id": "cm-3.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(f)" - } - ], - "prose": "audits and reviews activities associated with configuration-controlled changes to\n the information system;" - }, - { - "id": "cm-3.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-3(g)" - } - ], - "parts": [ - { - "id": "cm-3.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(g)[1]" - } - ], - "prose": "defines a configuration change control element (e.g., committee, board)\n responsible for coordinating and providing oversight for configuration change\n control activities;" - }, - { - "id": "cm-3.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(g)[2]" - } - ], - "prose": "defines the frequency with which the configuration change control element must\n convene; and/or" - }, - { - "id": "cm-3.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-3(g)[3]" - } - ], - "prose": "defines configuration change conditions that prompt the configuration change\n control element to convene; and" - }, - { - "id": "cm-3.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-3(g)[4]" - } - ], - "prose": "coordinates and provides oversight for configuration change control activities\n through organization-defined configuration change control element that convenes\n at organization-defined frequency and/or for any organization-defined\n configuration change conditions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system configuration change control\\n\\nconfiguration management plan\\n\\ninformation system architecture and configuration documentation\\n\\nsecurity plan\\n\\nchange control records\\n\\ninformation system audit records\\n\\nchange control audit and review reports\\n\\nagenda /minutes from configuration change control oversight meetings\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with configuration change control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nmembers of change control board or similar" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for configuration change control\\n\\nautomated mechanisms that implement configuration change control" - } - ] - } - ] - }, - { - "id": "cm-4", - "class": "SP800-53", - "title": "Security Impact Analysis", - "properties": [ - { - "name": "label", - "value": "CM-4" - }, - { - "name": "sort-id", - "value": "cm-04" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-4_smt", - "name": "statement", - "prose": "The organization analyzes changes to the information system to determine potential\n security impacts prior to change implementation." - }, - { - "id": "cm-4_gdn", - "name": "guidance", - "prose": "Organizational personnel with information security responsibilities (e.g.,\n Information System Administrators, Information System Security Officers, Information\n System Security Managers, and Information System Security Engineers) conduct security\n impact analyses. Individuals conducting security impact analyses possess the\n necessary skills/technical expertise to analyze the changes to information systems\n and the associated security ramifications. Security impact analysis may include, for\n example, reviewing security plans to understand security control requirements and\n reviewing system design documentation to understand control implementation and how\n specific changes might affect the controls. Security impact analyses may also include\n assessments of risk to better understand the impact of the changes and to determine\n if additional security controls are required. Security impact analyses are scaled in\n accordance with the security categories of the information systems.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "cm-4_obj", - "name": "objective", - "prose": "Determine if the organization analyzes changes to the information system to determine\n potential security impacts prior to change implementation." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing security impact analysis for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity impact analysis documentation\\n\\nanalysis tools and associated outputs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for conducting security impact\n analysis\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security impact analysis" - } - ] - } - ] - }, - { - "id": "cm-5", - "class": "SP800-53", - "title": "Access Restrictions for Change", - "properties": [ - { - "name": "label", - "value": "CM-5" - }, - { - "name": "sort-id", - "value": "cm-05" - } - ], - "parts": [ - { - "id": "cm-5_smt", - "name": "statement", - "prose": "The organization defines, documents, approves, and enforces physical and logical\n access restrictions associated with changes to the information system." - }, - { - "id": "cm-5_gdn", - "name": "guidance", - "prose": "Any changes to the hardware, software, and/or firmware components of information\n systems can potentially have significant effects on the overall security of the\n systems. Therefore, organizations permit only qualified and authorized individuals to\n access information systems for purposes of initiating changes, including upgrades and\n modifications. Organizations maintain records of access to ensure that configuration\n change control is implemented and to support after-the-fact actions should\n organizations discover any unauthorized changes. Access restrictions for change also\n include software libraries. Access restrictions include, for example, physical and\n logical access controls (see AC-3 and PE-3), workflow automation, media libraries,\n abstract layers (e.g., changes implemented into third-party interfaces rather than\n directly into information systems), and change windows (e.g., changes occur only\n during specified times, making unauthorized changes easy to discover).", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "cm-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[1]" - } - ], - "prose": "defines physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[2]" - } - ], - "prose": "documents physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[3]" - } - ], - "prose": "approves physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[4]" - } - ], - "prose": "enforces physical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[5]" - } - ], - "prose": "defines logical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.6", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5[6]" - } - ], - "prose": "documents logical access restrictions associated with changes to the information\n system;" - }, - { - "id": "cm-5_obj.7", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5[7]" - } - ], - "prose": "approves logical access restrictions associated with changes to the information\n system; and" - }, - { - "id": "cm-5_obj.8", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5[8]" - } - ], - "prose": "enforces logical access restrictions associated with changes to the information\n system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access approvals\\n\\nphysical access approvals\\n\\naccess credentials\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with logical access control responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting/implementing/enforcing access restrictions\n associated with changes to the information system" - } - ] - } - ], - "controls": [ - { - "id": "cm-5.1", - "class": "SP800-53-enhancement", - "title": "Automated Access Enforcement / Auditing", - "properties": [ - { - "name": "label", - "value": "CM-5(1)" - }, - { - "name": "sort-id", - "value": "cm-05.01" - } - ], - "parts": [ - { - "id": "cm-5.1_smt", - "name": "statement", - "prose": "The information system enforces access restrictions and supports auditing of the\n enforcement actions." - }, - { - "id": "cm-5.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "cm-5.1_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "cm-5.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(1)[1]" - } - ], - "prose": "enforces access restrictions for change; and" - }, - { - "id": "cm-5.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(1)[2]" - } - ], - "prose": "supports auditing of the enforcement actions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms implementing enforcement of access restrictions for\n changes to the information system\\n\\nautomated mechanisms supporting auditing of enforcement actions" - } - ] - } - ] - }, - { - "id": "cm-5.3", - "class": "SP800-53-enhancement", - "title": "Signed Components", - "parameters": [ - { - "id": "cm-5.3_prm_1", - "label": "organization-defined software and firmware components" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-5(3)" - }, - { - "name": "sort-id", - "value": "cm-05.03" - } - ], - "parts": [ - { - "id": "cm-5.3_smt", - "name": "statement", - "prose": "The information system prevents the installation of {{ cm-5.3_prm_1 }} without verification that the component has been\n digitally signed using a certificate that is recognized and approved by the\n organization.", - "parts": [ - { - "id": "cm-5.3_fr", - "name": "item", - "title": "CM-5 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-5.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized." - } - ] - } - ] - }, - { - "id": "cm-5.3_gdn", - "name": "guidance", - "prose": "Software and firmware components prevented from installation unless signed with\n recognized and approved certificates include, for example, software and firmware\n version updates, patches, service packs, device drivers, and basic input output\n system (BIOS) updates. Organizations can identify applicable software and firmware\n components by type, by specific items, or a combination of both. Digital\n signatures and organizational verification of such signatures, is a method of code\n authentication.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "cm-5.3_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cm-5.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(3)[1]" - } - ], - "prose": "the organization defines software and firmware components that the information\n system will prevent from being installed without verification that such\n components have been digitally signed using a certificate that is recognized\n and approved by the organization; and" - }, - { - "id": "cm-5.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(3)[2]" - } - ], - "prose": "the information system prevents the installation of organization-defined\n software and firmware components without verification that such components have\n been digitally signed using a certificate that is recognized and approved by\n the organization." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nlist of software and firmware components to be prohibited from installation\n without a recognized and approved certificate\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms preventing installation of software and firmware\n components not signed with an organization-recognized and approved\n certificate" - } - ] - } - ] - }, - { - "id": "cm-5.5", - "class": "SP800-53-enhancement", - "title": "Limit Production / Operational Privileges", - "parameters": [ - { - "id": "cm-5.5_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least quarterly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-5(5)" - }, - { - "name": "sort-id", - "value": "cm-05.05" - } - ], - "parts": [ - { - "id": "cm-5.5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-5.5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Limits privileges to change information system components and system-related\n information within a production or operational environment; and" - }, - { - "id": "cm-5.5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Reviews and reevaluates privileges {{ cm-5.5_prm_1 }}." - } - ] - }, - { - "id": "cm-5.5_gdn", - "name": "guidance", - "prose": "In many organizations, information systems support multiple core missions/business\n functions. Limiting privileges to change information system components with\n respect to operational systems is necessary because changes to a particular\n information system component may have far-reaching effects on mission/business\n processes supported by the system where the component resides. The complex,\n many-to-many relationships between systems and mission/business processes are in\n some cases, unknown to developers.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - } - ] - }, - { - "id": "cm-5.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-5.5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-5(5)(a)" - } - ], - "prose": "limits privileges to change information system components and system-related\n information within a production or operational environment;", - "links": [ - { - "href": "#cm-5.5_smt.a", - "rel": "corresp", - "text": "CM-5(5)(a)" - } - ] - }, - { - "id": "cm-5.5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-5(5)(b)" - } - ], - "parts": [ - { - "id": "cm-5.5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(5)(b)[1]" - } - ], - "prose": "defines the frequency to review and reevaluate privileges; and" - }, - { - "id": "cm-5.5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-5(5)(b)[2]" - } - ], - "prose": "reviews and reevaluates privileges with the organization-defined\n frequency." - } - ], - "links": [ - { - "href": "#cm-5.5_smt.b", - "rel": "corresp", - "text": "CM-5(5)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing access restrictions for changes to the information\n system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nuser privilege reviews\\n\\nuser privilege recertifications\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing access restrictions to change\\n\\nautomated mechanisms supporting and/or implementing access restrictions for\n change" - } - ] - } - ] - } - ] - }, - { - "id": "cm-6", - "class": "SP800-53", - "title": "Configuration Settings", - "parameters": [ - { - "id": "cm-6_prm_1", - "label": "organization-defined security configuration checklists", - "guidance": [ - { - "prose": "See CM-6(a) Additional FedRAMP Requirements and Guidance" - } - ] - }, - { - "id": "cm-6_prm_2", - "label": "organization-defined information system components" - }, - { - "id": "cm-6_prm_3", - "label": "organization-defined operational requirements" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-6" - }, - { - "name": "sort-id", - "value": "cm-06" - } - ], - "links": [ - { - "href": "#990268bf-f4a9-4c81-91ae-dc7d3115f4b1", - "rel": "reference", - "text": "OMB Memorandum 07-11" - }, - { - "href": "#0b3d8ba9-051f-498d-81ea-97f0f018c612", - "rel": "reference", - "text": "OMB Memorandum 07-18" - }, - { - "href": "#0916ef02-3618-411b-a525-565c088849a6", - "rel": "reference", - "text": "OMB Memorandum 08-22" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - }, - { - "href": "#e95dd121-2733-413e-bf1e-f1eb49f20a98", - "rel": "reference", - "text": "http://checklists.nist.gov" - }, - { - "href": "#647b6de3-81d0-4d22-bec1-5f1333e34380", - "rel": "reference", - "text": "http://www.nsa.gov" - } - ], - "parts": [ - { - "id": "cm-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and documents configuration settings for information technology\n products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with\n operational requirements;" - }, - { - "id": "cm-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements the configuration settings;" - }, - { - "id": "cm-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies, documents, and approves any deviations from established configuration\n settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and" - }, - { - "id": "cm-6_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Monitors and controls changes to the configuration settings in accordance with\n organizational policies and procedures." - }, - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "id": "cm-6_gdn", - "name": "guidance", - "prose": "Configuration settings are the set of parameters that can be changed in hardware,\n software, or firmware components of the information system that affect the security\n posture and/or functionality of the system. Information technology products for which\n security-related configuration settings can be defined include, for example,\n mainframe computers, servers (e.g., database, electronic mail, authentication, web,\n proxy, file, domain name), workstations, input/output devices (e.g., scanners,\n copiers, and printers), network components (e.g., firewalls, routers, gateways, voice\n and data switches, wireless access points, network appliances, sensors), operating\n systems, middleware, and applications. Security-related parameters are those\n parameters impacting the security state of information systems including the\n parameters required to satisfy other security control requirements. Security-related\n parameters include, for example: (i) registry settings; (ii) account, file, directory\n permission settings; and (iii) settings for functions, ports, protocols, services,\n and remote connections. Organizations establish organization-wide configuration\n settings and subsequently derive specific settings for information systems. The\n established settings become part of the systems configuration baseline. Common secure\n configurations (also referred to as security configuration checklists, lockdown and\n hardening guides, security reference guides, security technical implementation\n guides) provide recognized, standardized, and established benchmarks that stipulate\n secure configuration settings for specific information technology platforms/products\n and instructions for configuring those information system components to meet\n operational requirements. Common secure configurations can be developed by a variety\n of organizations including, for example, information technology product developers,\n manufacturers, vendors, consortia, academia, industry, federal agencies, and other\n organizations in the public and private sectors. Common secure configurations include\n the United States Government Configuration Baseline (USGCB) which affects the\n implementation of CM-6 and other controls such as AC-19 and CM-7. The Security\n Content Automation Protocol (SCAP) and the defined standards within the protocol\n (e.g., Common Configuration Enumeration) provide an effective method to uniquely\n identify, track, and control configuration settings. OMB establishes federal policy\n on configuration requirements for federal information systems.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "cm-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(a)" - } - ], - "parts": [ - { - "id": "cm-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(a)[1]" - } - ], - "prose": "defines security configuration checklists to be used to establish and document\n configuration settings for the information technology products employed;" - }, - { - "id": "cm-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CM-6(a)[2]" - } - ], - "prose": "ensures the defined security configuration checklists reflect the most\n restrictive mode consistent with operational requirements;" - }, - { - "id": "cm-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(a)[3]" - } - ], - "prose": "establishes and documents configuration settings for information technology\n products employed within the information system using organization-defined\n security configuration checklists;" - } - ] - }, - { - "id": "cm-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(b)" - } - ], - "prose": "implements the configuration settings established/documented in CM-6(a);;" - }, - { - "id": "cm-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)" - } - ], - "parts": [ - { - "id": "cm-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[1]" - } - ], - "prose": "defines information system components for which any deviations from established\n configuration settings must be:", - "parts": [ - { - "id": "cm-6.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][a]" - } - ], - "prose": "identified;" - }, - { - "id": "cm-6.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][b]" - } - ], - "prose": "documented;" - }, - { - "id": "cm-6.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[1][c]" - } - ], - "prose": "approved;" - } - ] - }, - { - "id": "cm-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[2]" - } - ], - "prose": "defines operational requirements to support:", - "parts": [ - { - "id": "cm-6.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][a]" - } - ], - "prose": "the identification of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][b]" - } - ], - "prose": "the documentation of any deviations from established configuration\n settings;" - }, - { - "id": "cm-6.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(c)[2][c]" - } - ], - "prose": "the approval of any deviations from established configuration settings;" - } - ] - }, - { - "id": "cm-6.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(c)[3]" - } - ], - "prose": "identifies any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(c)[4]" - } - ], - "prose": "documents any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - }, - { - "id": "cm-6.c_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(c)[5]" - } - ], - "prose": "approves any deviations from established configuration settings for\n organization-defined information system components based on\n organizational-defined operational requirements;" - } - ] - }, - { - "id": "cm-6.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(d)" - } - ], - "parts": [ - { - "id": "cm-6.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(d)[1]" - } - ], - "prose": "monitors changes to the configuration settings in accordance with\n organizational policies and procedures; and" - }, - { - "id": "cm-6.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(d)[2]" - } - ], - "prose": "controls changes to the configuration settings in accordance with\n organizational policies and procedures." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nevidence supporting approved deviations from established configuration\n settings\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\\n\\nautomated mechanisms that implement, monitor, and/or control information system\n configuration settings\\n\\nautomated mechanisms that identify and/or document deviations from established\n configuration settings" - } - ] - } - ], - "controls": [ - { - "id": "cm-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Central Management / Application / Verification", - "parameters": [ - { - "id": "cm-6.1_prm_1", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-6(1)" - }, - { - "name": "sort-id", - "value": "cm-06.01" - } - ], - "parts": [ - { - "id": "cm-6.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to centrally manage, apply, and\n verify configuration settings for {{ cm-6.1_prm_1 }}." - }, - { - "id": "cm-6.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - } - ] - }, - { - "id": "cm-6.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-6.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-6(1)[1]" - } - ], - "prose": "defines information system components for which automated mechanisms are to be\n employed to:", - "parts": [ - { - "id": "cm-6.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[1][a]" - } - ], - "prose": "centrally manage configuration settings of such components;" - }, - { - "id": "cm-6.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[1][b]" - } - ], - "prose": "apply configuration settings of such components;" - }, - { - "id": "cm-6.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[1][c]" - } - ], - "prose": "verify configuration settings of such components;" - } - ] - }, - { - "id": "cm-6.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-6(1)[2]" - } - ], - "prose": "employs automated mechanisms to:", - "parts": [ - { - "id": "cm-6.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[2][a]" - } - ], - "prose": "centrally manage configuration settings for organization-defined information\n system components;" - }, - { - "id": "cm-6.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[2][b]" - } - ], - "prose": "apply configuration settings for organization-defined information system\n components; and" - }, - { - "id": "cm-6.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-6(1)[2][c]" - } - ], - "prose": "verify configuration settings for organization-defined information system\n components." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration settings for the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing configuration settings\\n\\nautomated mechanisms implemented to centrally manage, apply, and verify\n information system configuration settings" - } - ] - } - ] - } - ] - }, - { - "id": "cm-7", - "class": "SP800-53", - "title": "Least Functionality", - "parameters": [ - { - "id": "cm-7_prm_1", - "label": "organization-defined prohibited or restricted functions, ports, protocols, and/or\n services", - "constraints": [ - { - "detail": "United States Government Configuration Baseline (USGCB)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-7" - }, - { - "name": "sort-id", - "value": "cm-07" - } - ], - "links": [ - { - "href": "#e42b2099-3e1c-415b-952c-61c96533c12e", - "rel": "reference", - "text": "DoD Instruction 8551.01" - } - ], - "parts": [ - { - "id": "cm-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Configures the information system to provide only essential capabilities; and" - }, - { - "id": "cm-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Prohibits or restricts the use of the following functions, ports, protocols,\n and/or services: {{ cm-7_prm_1 }}." - }, - { - "id": "cm-7_fr", - "name": "item", - "title": "CM-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available." - }, - { - "id": "cm-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8)." - } - ] - } - ] - }, - { - "id": "cm-7_gdn", - "name": "guidance", - "prose": "Information systems can provide a wide variety of functions and services. Some of the\n functions and services, provided by default, may not be necessary to support\n essential organizational operations (e.g., key missions, functions). Additionally, it\n is sometimes convenient to provide multiple services from single information system\n components, but doing so increases risk over limiting the services provided by any\n one component. Where feasible, organizations limit component functionality to a\n single function per device (e.g., email servers or web servers, but not both).\n Organizations review functions and services provided by information systems or\n individual components of information systems, to determine which functions and\n services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant\n Messaging, auto-execute, and file sharing). Organizations consider disabling unused\n or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File\n Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to\n prevent unauthorized connection of devices, unauthorized transfer of information, or\n unauthorized tunneling. Organizations can utilize network scanning tools, intrusion\n detection and prevention systems, and end-point protections such as firewalls and\n host-based intrusion detection systems to identify and prevent the use of prohibited\n functions, ports, protocols, and services.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(a)" - } - ], - "prose": "configures the information system to provide only essential capabilities;" - }, - { - "id": "cm-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)" - } - ], - "parts": [ - { - "id": "cm-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(b)[1]" - } - ], - "prose": "defines prohibited or restricted:", - "parts": [ - { - "id": "cm-7.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(b)[2]" - } - ], - "prose": "prohibits or restricts the use of organization-defined:", - "parts": [ - { - "id": "cm-7.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.b_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(b)[2][d]" - } - ], - "prose": "services." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nconfiguration management plan\\n\\nprocedures addressing least functionality in the information system\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security configuration management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes prohibiting or restricting functions, ports, protocols,\n and/or services\\n\\nautomated mechanisms implementing restrictions or prohibition of functions, ports,\n protocols, and/or services" - } - ] - } - ], - "controls": [ - { - "id": "cm-7.1", - "class": "SP800-53-enhancement", - "title": "Periodic Review", - "parameters": [ - { - "id": "cm-7.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "cm-7.1_prm_2", - "label": "organization-defined functions, ports, protocols, and services within the\n information system deemed to be unnecessary and/or nonsecure" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-7(1)" - }, - { - "name": "sort-id", - "value": "cm-07.01" - } - ], - "parts": [ - { - "id": "cm-7.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Reviews the information system {{ cm-7.1_prm_1 }} to identify\n unnecessary and/or nonsecure functions, ports, protocols, and services; and" - }, - { - "id": "cm-7.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Disables {{ cm-7.1_prm_2 }}." - } - ] - }, - { - "id": "cm-7.1_gdn", - "name": "guidance", - "prose": "The organization can either make a determination of the relative security of the\n function, port, protocol, and/or service or base the security decision on the\n assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are\n examples of less than secure protocols.", - "links": [ - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - } - ] - }, - { - "id": "cm-7.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)" - } - ], - "parts": [ - { - "id": "cm-7.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(1)(a)[1]" - } - ], - "prose": "defines the frequency to review the information system to identify\n unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.a_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(1)(a)[2]" - } - ], - "prose": "reviews the information system with the organization-defined frequency to\n identify unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.a_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(a)[2][d]" - } - ], - "prose": "services;" - } - ] - } - ], - "links": [ - { - "href": "#cm-7.1_smt.a", - "rel": "corresp", - "text": "CM-7(1)(a)" - } - ] - }, - { - "id": "cm-7.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)" - } - ], - "parts": [ - { - "id": "cm-7.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(1)(b)[1]" - } - ], - "prose": "defines, within the information system, unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.b_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.b_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[1][d]" - } - ], - "prose": "services;" - } - ] - }, - { - "id": "cm-7.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(1)(b)[2]" - } - ], - "prose": "disables organization-defined unnecessary and/or nonsecure:", - "parts": [ - { - "id": "cm-7.1.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][a]" - } - ], - "prose": "functions;" - }, - { - "id": "cm-7.1.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][b]" - } - ], - "prose": "ports;" - }, - { - "id": "cm-7.1.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][c]" - } - ], - "prose": "protocols; and/or" - }, - { - "id": "cm-7.1.b_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(1)(b)[2][d]" - } - ], - "prose": "services." - } - ] - } - ], - "links": [ - { - "href": "#cm-7.1_smt.b", - "rel": "corresp", - "text": "CM-7(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nsecurity configuration checklists\\n\\ndocumented reviews of functions, ports, protocols, and/or services\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for reviewing functions, ports,\n protocols, and services on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for reviewing/disabling nonsecure functions, ports,\n protocols, and/or services\\n\\nautomated mechanisms implementing review and disabling of nonsecure functions,\n ports, protocols, and/or services" - } - ] - } - ] - }, - { - "id": "cm-7.2", - "class": "SP800-53-enhancement", - "title": "Prevent Program Execution", - "parameters": [ - { - "id": "cm-7.2_prm_1" - }, - { - "id": "cm-7.2_prm_2", - "depends-on": "cm-7.2_prm_1", - "label": "organization-defined policies regarding software program usage and\n restrictions" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-7(2)" - }, - { - "name": "sort-id", - "value": "cm-07.02" - } - ], - "parts": [ - { - "id": "cm-7.2_smt", - "name": "statement", - "prose": "The information system prevents program execution in accordance with {{ cm-7.2_prm_1 }}.", - "parts": [ - { - "id": "cm-7.2_fr", - "name": "item", - "title": "CM-7 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7.2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run." - } - ] - } - ] - }, - { - "id": "cm-7.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - } - ] - }, - { - "id": "cm-7.2_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cm-7.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(2)[1]" - } - ], - "prose": "the organization defines policies regarding software program usage and\n restrictions;" - }, - { - "id": "cm-7.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(2)[2]" - } - ], - "prose": "the information system prevents program execution in accordance with one or\n more of the following:", - "parts": [ - { - "id": "cm-7.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(2)[2][a]" - } - ], - "prose": "organization-defined policies regarding program usage and restrictions;\n and/or" - }, - { - "id": "cm-7.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(2)[2][b]" - } - ], - "prose": "rules authorizing the terms and conditions of software program usage." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nspecifications for preventing software program execution\\n\\ninformation system configuration settings and associated documentation\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes preventing program execution on the information\n system\\n\\norganizational processes for software program usage and restrictions\\n\\nautomated mechanisms preventing program execution on the information system\\n\\nautomated mechanisms supporting and/or implementing software program usage and\n restrictions" - } - ] - } - ] - }, - { - "id": "cm-7.5", - "class": "SP800-53-enhancement", - "title": "Authorized Software / Whitelisting", - "parameters": [ - { - "id": "cm-7.5_prm_1", - "label": "organization-defined software programs authorized to execute on the\n information system" - }, - { - "id": "cm-7.5_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least Annually or when there is a change" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-7(5)" - }, - { - "name": "sort-id", - "value": "cm-07.05" - } - ], - "parts": [ - { - "id": "cm-7.5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-7.5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Identifies {{ cm-7.5_prm_1 }};" - }, - { - "id": "cm-7.5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system; and" - }, - { - "id": "cm-7.5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Reviews and updates the list of authorized software programs {{ cm-7.5_prm_2 }}." - } - ] - }, - { - "id": "cm-7.5_gdn", - "name": "guidance", - "prose": "The process used to identify software programs that are authorized to execute on\n organizational information systems is commonly referred to as whitelisting. In\n addition to whitelisting, organizations consider verifying the integrity of\n white-listed software programs using, for example, cryptographic checksums,\n digital signatures, or hash functions. Verification of white-listed software can\n occur either prior to execution or at system startup.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sc-34", - "rel": "related", - "text": "SC-34" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "cm-7.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-7.5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(5)(a)" - } - ], - "prose": "Identifies/defines software programs authorized to execute on the information\n system;", - "links": [ - { - "href": "#cm-7.5_smt.a", - "rel": "corresp", - "text": "CM-7(5)(a)" - } - ] - }, - { - "id": "cm-7.5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(5)(b)" - } - ], - "prose": "employs a deny-all, permit-by-exception policy to allow the execution of\n authorized software programs on the information system;", - "links": [ - { - "href": "#cm-7.5_smt.b", - "rel": "corresp", - "text": "CM-7(5)(b)" - } - ] - }, - { - "id": "cm-7.5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-7(5)(c)" - } - ], - "parts": [ - { - "id": "cm-7.5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-7(5)(c)[1]" - } - ], - "prose": "defines the frequency to review and update the list of authorized software\n programs on the information system; and" - }, - { - "id": "cm-7.5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-7(5)(c)[2]" - } - ], - "prose": "reviews and updates the list of authorized software programs with the\n organization-defined frequency." - } - ], - "links": [ - { - "href": "#cm-7.5_smt.c", - "rel": "corresp", - "text": "CM-7(5)(c)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing least functionality in the information system\\n\\nconfiguration management plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of software programs authorized to execute on the information system\\n\\nsecurity configuration checklists\\n\\nreview and update records associated with list of authorized software\n programs\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for identifying software\n authorized to execute on the information system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for identifying, reviewing, and updating programs\n authorized to execute on the information system\\n\\norganizational process for implementing whitelisting\\n\\nautomated mechanisms implementing whitelisting" - } - ] - } - ] - } - ] - }, - { - "id": "cm-8", - "class": "SP800-53", - "title": "Information System Component Inventory", - "parameters": [ - { - "id": "cm-8_prm_1", - "label": "organization-defined information deemed necessary to achieve effective\n information system component accountability" - }, - { - "id": "cm-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-8" - }, - { - "name": "sort-id", - "value": "cm-08" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents an inventory of information system components that:", - "parts": [ - { - "id": "cm-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Accurately reflects the current information system;" - }, - { - "id": "cm-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Is at the level of granularity deemed necessary for tracking and reporting;\n and" - }, - { - "id": "cm-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Includes {{ cm-8_prm_1 }}; and" - } - ] - }, - { - "id": "cm-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the information system component inventory {{ cm-8_prm_2 }}." - }, - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - }, - { - "id": "cm-8_gdn", - "name": "guidance", - "prose": "Organizations may choose to implement centralized information system component\n inventories that include components from all organizational information systems. In\n such situations, organizations ensure that the resulting inventories include\n system-specific information required for proper component accountability (e.g.,\n information system association, information system owner). Information deemed\n necessary for effective accountability of information system components includes, for\n example, hardware inventory specifications, software license information, software\n version numbers, component owners, and for networked components or devices, machine\n names and network addresses. Inventory specifications include, for example,\n manufacturer, device type, model, serial number, and physical location.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pm-5", - "rel": "related", - "text": "PM-5" - } - ] - }, - { - "id": "cm-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)" - } - ], - "parts": [ - { - "id": "cm-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(1)" - } - ], - "prose": "develops and documents an inventory of information system components that\n accurately reflects the current information system;" - }, - { - "id": "cm-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(2)" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes all components within the authorization boundary of the information\n system;" - }, - { - "id": "cm-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(3)" - } - ], - "prose": "develops and documents an inventory of information system components that is at\n the level of granularity deemed necessary for tracking and reporting;" - }, - { - "id": "cm-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(a)(4)" - } - ], - "parts": [ - { - "id": "cm-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(4)[1]" - } - ], - "prose": "defines the information deemed necessary to achieve effective information\n system component accountability;" - }, - { - "id": "cm-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(a)(4)[2]" - } - ], - "prose": "develops and documents an inventory of information system components that\n includes organization-defined information deemed necessary to achieve\n effective information system component accountability;" - } - ] - } - ] - }, - { - "id": "cm-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(b)" - } - ], - "parts": [ - { - "id": "cm-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(b)[1]" - } - ], - "prose": "defines the frequency to review and update the information system component\n inventory; and" - }, - { - "id": "cm-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(b)[2]" - } - ], - "prose": "reviews and updates the information system component inventory with the\n organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system component\n inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting an inventory of\n information system components\\n\\nautomated mechanisms supporting and/or implementing the information system\n component inventory" - } - ] - } - ], - "controls": [ - { - "id": "cm-8.1", - "class": "SP800-53-enhancement", - "title": "Updates During Installations / Removals", - "properties": [ - { - "name": "label", - "value": "CM-8(1)" - }, - { - "name": "sort-id", - "value": "cm-08.01" - } - ], - "parts": [ - { - "id": "cm-8.1_smt", - "name": "statement", - "prose": "The organization updates the inventory of information system components as an\n integral part of component installations, removals, and information system\n updates." - }, - { - "id": "cm-8.1_obj", - "name": "objective", - "prose": "Determine if the organization updates the inventory of information system\n components as an integral part of:", - "parts": [ - { - "id": "cm-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(1)[1]" - } - ], - "prose": "component installations;" - }, - { - "id": "cm-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(1)[2]" - } - ], - "prose": "component removals; and" - }, - { - "id": "cm-8.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(1)[3]" - } - ], - "prose": "information system updates." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\ninventory reviews and update records\\n\\ncomponent installation records\\n\\ncomponent removal records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for updating the information\n system component inventory\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for updating inventory of information system\n components\\n\\nautomated mechanisms implementing updating of the information system component\n inventory" - } - ] - } - ] - }, - { - "id": "cm-8.3", - "class": "SP800-53-enhancement", - "title": "Automated Unauthorized Component Detection", - "parameters": [ - { - "id": "cm-8.3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "Continuously, using automated mechanisms with a maximum five-minute delay in detection" - } - ] - }, - { - "id": "cm-8.3_prm_2" - }, - { - "id": "cm-8.3_prm_3", - "depends-on": "cm-8.3_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-8(3)" - }, - { - "name": "sort-id", - "value": "cm-08.03" - } - ], - "parts": [ - { - "id": "cm-8.3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-8.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Employs automated mechanisms {{ cm-8.3_prm_1 }} to detect the\n presence of unauthorized hardware, software, and firmware components within the\n information system; and" - }, - { - "id": "cm-8.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Takes the following actions when unauthorized components are detected: {{ cm-8.3_prm_2 }}." - } - ] - }, - { - "id": "cm-8.3_gdn", - "name": "guidance", - "prose": "This control enhancement is applied in addition to the monitoring for unauthorized\n remote connections and mobile devices. Monitoring for unauthorized system\n components may be accomplished on an ongoing basis or by the periodic scanning of\n systems for that purpose. Automated mechanisms can be implemented within\n information systems or in other separate devices. Isolation can be achieved, for\n example, by placing unauthorized information system components in separate domains\n or subnets or otherwise quarantining such components. This type of component\n isolation is commonly referred to as sandboxing.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "cm-8.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-8.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)" - } - ], - "parts": [ - { - "id": "cm-8.3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(3)(a)[1]" - } - ], - "prose": "defines the frequency to employ automated mechanisms to detect the presence\n of unauthorized:", - "parts": [ - { - "id": "cm-8.3.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[1][a]" - } - ], - "prose": "hardware components within the information system;" - }, - { - "id": "cm-8.3.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[1][b]" - } - ], - "prose": "software components within the information system;" - }, - { - "id": "cm-8.3.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[1][c]" - } - ], - "prose": "firmware components within the information system;" - } - ] - }, - { - "id": "cm-8.3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(3)(a)[2]" - } - ], - "prose": "employs automated mechanisms with the organization-defined frequency to\n detect the presence of unauthorized:", - "parts": [ - { - "id": "cm-8.3.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[2][a]" - } - ], - "prose": "hardware components within the information system;" - }, - { - "id": "cm-8.3.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[2][b]" - } - ], - "prose": "software components within the information system;" - }, - { - "id": "cm-8.3.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(a)[2][c]" - } - ], - "prose": "firmware components within the information system;" - } - ] - } - ], - "links": [ - { - "href": "#cm-8.3_smt.a", - "rel": "corresp", - "text": "CM-8(3)(a)" - } - ] - }, - { - "id": "cm-8.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)" - } - ], - "parts": [ - { - "id": "cm-8.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-8(3)(b)[1]" - } - ], - "prose": "defines personnel or roles to be notified when unauthorized components are\n detected;" - }, - { - "id": "cm-8.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-8(3)(b)[2]" - } - ], - "prose": "takes one or more of the following actions when unauthorized components are\n detected:", - "parts": [ - { - "id": "cm-8.3.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)[2][a]" - } - ], - "prose": "disables network access by such components;" - }, - { - "id": "cm-8.3.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)[2][b]" - } - ], - "prose": "isolates the components; and/or" - }, - { - "id": "cm-8.3.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-8(3)(b)[2][c]" - } - ], - "prose": "notifies organization-defined personnel or roles." - } - ] - } - ], - "links": [ - { - "href": "#cm-8.3_smt.b", - "rel": "corresp", - "text": "CM-8(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system inventory records\\n\\nalerts/notifications of unauthorized components within the information\n system\\n\\ninformation system monitoring records\\n\\nchange control records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for managing the automated\n mechanisms implementing unauthorized information system component detection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for detection of unauthorized information system\n components\\n\\nautomated mechanisms implementing the detection of unauthorized information\n system components" - } - ] - } - ] - }, - { - "id": "cm-8.5", - "class": "SP800-53-enhancement", - "title": "No Duplicate Accounting of Components", - "properties": [ - { - "name": "label", - "value": "CM-8(5)" - }, - { - "name": "sort-id", - "value": "cm-08.05" - } - ], - "parts": [ - { - "id": "cm-8.5_smt", - "name": "statement", - "prose": "The organization verifies that all components within the authorization boundary of\n the information system are not duplicated in other information system component\n inventories." - }, - { - "id": "cm-8.5_gdn", - "name": "guidance", - "prose": "This control enhancement addresses the potential problem of duplicate accounting\n of information system components in large or complex interconnected systems." - }, - { - "id": "cm-8.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization verifies that all components within the\n authorization boundary of the information system are not duplicated in other\n information system inventories. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing information system component inventory\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system inventory records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system inventory responsibilities\\n\\norganizational personnel with responsibilities for defining information system\n components within the authorization boundary of the system\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining the inventory of information system\n components\\n\\nautomated mechanisms implementing the information system component\n inventory" - } - ] - } - ] - } - ] - }, - { - "id": "cm-9", - "class": "SP800-53", - "title": "Configuration Management Plan", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CM-9" - }, - { - "name": "sort-id", - "value": "cm-09" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "cm-9_smt", - "name": "statement", - "prose": "The organization develops, documents, and implements a configuration management plan\n for the information system that:", - "parts": [ - { - "id": "cm-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Addresses roles, responsibilities, and configuration management processes and\n procedures;" - }, - { - "id": "cm-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes a process for identifying configuration items throughout the system\n development life cycle and for managing the configuration of the configuration\n items;" - }, - { - "id": "cm-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Defines the configuration items for the information system and places the\n configuration items under configuration management; and" - }, - { - "id": "cm-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects the configuration management plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "id": "cm-9_gdn", - "name": "guidance", - "prose": "Configuration management plans satisfy the requirements in configuration management\n policies while being tailored to individual information systems. Such plans define\n detailed processes and procedures for how configuration management is used to support\n system development life cycle activities at the information system level.\n Configuration management plans are typically developed during the\n development/acquisition phase of the system development life cycle. The plans\n describe how to move changes through change management processes, how to update\n configuration settings and baselines, how to maintain information system component\n inventories, how to control development, test, and operational environments, and how\n to develop, release, and update key documents. Organizations can employ templates to\n help ensure consistent and timely development and implementation of configuration\n management plans. Such templates can represent a master configuration management plan\n for the organization at large with subsets of the plan implemented on a system by\n system basis. Configuration management approval processes include designation of key\n management stakeholders responsible for reviewing and approving proposed changes to\n information systems, and personnel that conduct security impact analyses prior to the\n implementation of changes to the systems. Configuration items are the information\n system items (hardware, software, firmware, and documentation) to be\n configuration-managed. As information systems continue through the system development\n life cycle, new configuration items may be identified and some existing configuration\n items may no longer need to be under configuration control.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - } - ] - }, - { - "id": "cm-9_obj", - "name": "objective", - "prose": "Determine if the organization develops, documents, and implements a configuration\n management plan for the information system that:", - "parts": [ - { - "id": "cm-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(a)" - } - ], - "parts": [ - { - "id": "cm-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(a)[1]" - } - ], - "prose": "addresses roles;" - }, - { - "id": "cm-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(a)[2]" - } - ], - "prose": "addresses responsibilities;" - }, - { - "id": "cm-9.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(a)[3]" - } - ], - "prose": "addresses configuration management processes and procedures;" - } - ] - }, - { - "id": "cm-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(b)" - } - ], - "prose": "establishes a process for:", - "parts": [ - { - "id": "cm-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(b)[1]" - } - ], - "prose": "identifying configuration items throughout the SDLC;" - }, - { - "id": "cm-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(b)[2]" - } - ], - "prose": "managing the configuration of the configuration items;" - } - ] - }, - { - "id": "cm-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(c)" - } - ], - "parts": [ - { - "id": "cm-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(c)[1]" - } - ], - "prose": "defines the configuration items for the information system;" - }, - { - "id": "cm-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-9(c)[2]" - } - ], - "prose": "places the configuration items under configuration management;" - } - ] - }, - { - "id": "cm-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-9(d)" - } - ], - "prose": "protects the configuration management plan from unauthorized:", - "parts": [ - { - "id": "cm-9.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(d)[1]" - } - ], - "prose": "disclosure; and" - }, - { - "id": "cm-9.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-9(d)[2]" - } - ], - "prose": "modification." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing configuration management planning\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for developing the configuration\n management plan\\n\\norganizational personnel with responsibilities for implementing and managing\n processes defined in the configuration management plan\\n\\norganizational personnel with responsibilities for protecting the configuration\n management plan\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing and documenting the configuration\n management plan\\n\\norganizational processes for identifying and managing configuration items\\n\\norganizational processes for protecting the configuration management plan\\n\\nautomated mechanisms implementing the configuration management plan\\n\\nautomated mechanisms for managing configuration items\\n\\nautomated mechanisms for protecting the configuration management plan" - } - ] - } - ] - }, - { - "id": "cm-10", - "class": "SP800-53", - "title": "Software Usage Restrictions", - "properties": [ - { - "name": "label", - "value": "CM-10" - }, - { - "name": "sort-id", - "value": "cm-10" - } - ], - "parts": [ - { - "id": "cm-10_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "id": "cm-10_gdn", - "name": "guidance", - "prose": "Software license tracking can be accomplished by manual methods (e.g., simple\n spreadsheets) or automated methods (e.g., specialized tracking applications)\n depending on organizational needs.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "cm-10_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(a)" - } - ], - "prose": "uses software and associated documentation in accordance with contract agreements\n and copyright laws;" - }, - { - "id": "cm-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(b)" - } - ], - "prose": "tracks the use of software and associated documentation protected by quantity\n licenses to control copying and distribution; and" - }, - { - "id": "cm-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(c)" - } - ], - "prose": "controls and documents the use of peer-to-peer file sharing technology to ensure\n that this capability is not used for the unauthorized distribution, display,\n performance, or reproduction of copyrighted work." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing software usage restrictions\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nsoftware contract agreements and copyright laws\\n\\nsite license documentation\\n\\nlist of software usage restrictions\\n\\nsoftware license tracking reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel with software license management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for tracking the use of software protected by quantity\n licenses\\n\\norganization process for controlling/documenting the use of peer-to-peer file\n sharing technology\\n\\nautomated mechanisms implementing software license tracking\\n\\nautomated mechanisms implementing and controlling the use of peer-to-peer files\n sharing technology" - } - ] - } - ], - "controls": [ - { - "id": "cm-10.1", - "class": "SP800-53-enhancement", - "title": "Open Source Software", - "parameters": [ - { - "id": "cm-10.1_prm_1", - "label": "organization-defined restrictions" - } - ], - "properties": [ - { - "name": "label", - "value": "CM-10(1)" - }, - { - "name": "sort-id", - "value": "cm-10.01" - } - ], - "parts": [ - { - "id": "cm-10.1_smt", - "name": "statement", - "prose": "The organization establishes the following restrictions on the use of open source\n software: {{ cm-10.1_prm_1 }}." - }, - { - "id": "cm-10.1_gdn", - "name": "guidance", - "prose": "Open source software refers to software that is available in source code form.\n Certain software rights normally reserved for copyright holders are routinely\n provided under software license agreements that permit individuals to study,\n change, and improve the software. From a security perspective, the major advantage\n of open source software is that it provides organizations with the ability to\n examine the source code. However, there are also various licensing issues\n associated with open source software including, for example, the constraints on\n derivative use of such software." - }, - { - "id": "cm-10.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-10.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-10(1)[1]" - } - ], - "prose": "defines restrictions on the use of open source software; and" - }, - { - "id": "cm-10.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-10(1)[2]" - } - ], - "prose": "establishes organization-defined restrictions on the use of open source\n software." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing restrictions on use of open source software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for establishing and enforcing\n restrictions on use of open source software\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for restricting the use of open source software\\n\\nautomated mechanisms implementing restrictions on the use of open source\n software" - } - ] - } - ] - } - ] - }, - { - "id": "cm-11", - "class": "SP800-53", - "title": "User-installed Software", - "parameters": [ - { - "id": "cm-11_prm_1", - "label": "organization-defined policies" - }, - { - "id": "cm-11_prm_2", - "label": "organization-defined methods" - }, - { - "id": "cm-11_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "Continuously (via CM-7 (5))" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "CM-11" - }, - { - "name": "sort-id", - "value": "cm-11" - } - ], - "parts": [ - { - "id": "cm-11_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cm-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes {{ cm-11_prm_1 }} governing the installation of\n software by users;" - }, - { - "id": "cm-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Enforces software installation policies through {{ cm-11_prm_2 }};\n and" - }, - { - "id": "cm-11_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Monitors policy compliance at {{ cm-11_prm_3 }}." - } - ] - }, - { - "id": "cm-11_gdn", - "name": "guidance", - "prose": "If provided the necessary privileges, users have the ability to install software in\n organizational information systems. To maintain control over the types of software\n installed, organizations identify permitted and prohibited actions regarding software\n installation. Permitted software installations may include, for example, updates and\n security patches to existing software and downloading applications from\n organization-approved “app stores” Prohibited software installations may include, for\n example, software with unknown or suspect pedigrees or software that organizations\n consider potentially malicious. The policies organizations select governing\n user-installed software may be organization-developed or provided by some external\n entity. Policy enforcement methods include procedural methods (e.g., periodic\n examination of user accounts), automated methods (e.g., configuration settings\n implemented on organizational information systems), or both.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "cm-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cm-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(a)" - } - ], - "parts": [ - { - "id": "cm-11.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(a)[1]" - } - ], - "prose": "defines policies to govern the installation of software by users;" - }, - { - "id": "cm-11.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(a)[2]" - } - ], - "prose": "establishes organization-defined policies governing the installation of\n software by users;" - } - ] - }, - { - "id": "cm-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(b)" - } - ], - "parts": [ - { - "id": "cm-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(b)[1]" - } - ], - "prose": "defines methods to enforce software installation policies;" - }, - { - "id": "cm-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(b)[2]" - } - ], - "prose": "enforces software installation policies through organization-defined\n methods;" - } - ] - }, - { - "id": "cm-11.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CM-11(c)" - } - ], - "parts": [ - { - "id": "cm-11.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CM-11(c)[1]" - } - ], - "prose": "defines frequency to monitor policy compliance; and" - }, - { - "id": "cm-11.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CM-11(c)[2]" - } - ], - "prose": "monitors policy compliance at organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Configuration management policy\\n\\nprocedures addressing user installed software\\n\\nconfiguration management plan\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of rules governing user installed software\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records\\n\\ncontinuous monitoring strategy" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for governing user-installed\n software\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\norganizational personnel monitoring compliance with user-installed software\n policy\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes governing user-installed software on the information\n system\\n\\nautomated mechanisms enforcing rules/methods for governing the installation of\n software by users\\n\\nautomated mechanisms monitoring policy compliance" - } - ] - } - ] - } - ] - }, - { - "id": "cp", - "class": "family", - "title": "Contingency Planning", - "controls": [ - { - "id": "cp-1", - "class": "SP800-53", - "title": "Contingency Planning Policy and Procedures", - "parameters": [ - { - "id": "cp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "cp-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-1" - }, - { - "name": "sort-id", - "value": "cp-01" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "cp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ cp-1_prm_1 }}:", - "parts": [ - { - "id": "cp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A contingency planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "cp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the contingency planning policy\n and associated contingency planning controls; and" - } - ] - }, - { - "id": "cp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "cp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Contingency planning policy {{ cp-1_prm_2 }}; and" - }, - { - "id": "cp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Contingency planning procedures {{ cp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "cp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the CP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "cp-1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "cp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)" - } - ], - "parts": [ - { - "id": "cp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(1)[1]" - } - ], - "prose": "the organization develops and documents a contingency planning policy that\n addresses:", - "parts": [ - { - "id": "cp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "cp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "cp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "cp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "cp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "cp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "cp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "cp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(1)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the contingency planning\n policy is to be disseminated;" - }, - { - "id": "cp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-1(a)(1)[3]" - } - ], - "prose": "the organization disseminates the contingency planning policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "cp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(a)(2)" - } - ], - "parts": [ - { - "id": "cp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(2)[1]" - } - ], - "prose": "the organization develops and documents procedures to facilitate the\n implementation of the contingency planning policy and associated contingency\n planning controls;" - }, - { - "id": "cp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(a)(2)[2]" - } - ], - "prose": "the organization defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "cp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-1(a)(2)[3]" - } - ], - "prose": "the organization disseminates the procedures to organization-defined\n personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(1)" - } - ], - "parts": [ - { - "id": "cp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(1)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning policy;" - }, - { - "id": "cp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(1)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning with\n the organization-defined frequency;" - } - ] - }, - { - "id": "cp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-1(b)(2)" - } - ], - "parts": [ - { - "id": "cp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(2)[1]" - } - ], - "prose": "the organization defines the frequency to review and update the current\n contingency planning procedures; and" - }, - { - "id": "cp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-1(b)(2)[2]" - } - ], - "prose": "the organization reviews and updates the current contingency planning\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2", - "class": "SP800-53", - "title": "Contingency Plan", - "parameters": [ - { - "id": "cp-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "cp-2_prm_2", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - }, - { - "id": "cp-2_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cp-2_prm_4", - "label": "organization-defined key contingency personnel (identified by name and/or by\n role) and organizational elements" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-2" - }, - { - "name": "sort-id", - "value": "cp-02" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Provides recovery objectives, restoration priorities, and metrics;" - }, - { - "id": "cp-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Addresses contingency roles, responsibilities, assigned individuals with\n contact information;" - }, - { - "id": "cp-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented; and" - }, - { - "id": "cp-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Is reviewed and approved by {{ cp-2_prm_1 }};" - } - ] - }, - { - "id": "cp-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the contingency plan to {{ cp-2_prm_2 }};" - }, - { - "id": "cp-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Reviews the contingency plan for the information system {{ cp-2_prm_3 }};" - }, - { - "id": "cp-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the contingency plan to address changes to the organization, information\n system, or environment of operation and problems encountered during contingency\n plan implementation, execution, or testing;" - }, - { - "id": "cp-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Communicates contingency plan changes to {{ cp-2_prm_4 }}; and" - }, - { - "id": "cp-2_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Protects the contingency plan from unauthorized disclosure and modification." - }, - { - "id": "cp-2_fr", - "name": "item", - "title": "CP-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-2 Requirement:" - } - ], - "prose": "For JAB authorizations the contingency lists include designated FedRAMP personnel." - } - ] - } - ] - }, - { - "id": "cp-2_gdn", - "name": "guidance", - "prose": "Contingency planning for information systems is part of an overall organizational\n program for achieving continuity of operations for mission/business functions.\n Contingency planning addresses both information system restoration and implementation\n of alternative mission/business processes when systems are compromised. The\n effectiveness of contingency planning is maximized by considering such planning\n throughout the phases of the system development life cycle. Performing contingency\n planning on hardware, software, and firmware development can be an effective means of\n achieving information system resiliency. Contingency plans reflect the degree of\n restoration required for organizational information systems since not all systems may\n need to fully recover to achieve the level of continuity of operations desired.\n Information system recovery objectives reflect applicable laws, Executive Orders,\n directives, policies, standards, regulations, and guidelines. In addition to\n information system availability, contingency plans also address other\n security-related events resulting in a reduction in mission and/or business\n effectiveness, such as malicious attacks compromising the confidentiality or\n integrity of information systems. Actions addressed in contingency plans include, for\n example, orderly/graceful degradation, information system shutdown, fallback to a\n manual mode, alternate information flows, and operating in modes reserved for when\n systems are under attack. By closely coordinating contingency planning with incident\n handling activities, organizations can ensure that the necessary contingency planning\n activities are in place and activated in the event of a security incident.", - "links": [ - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "cp-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)" - } - ], - "prose": "develops and documents a contingency plan for the information system that:", - "parts": [ - { - "id": "cp-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(1)" - } - ], - "prose": "identifies essential missions and business functions and associated contingency\n requirements;" - }, - { - "id": "cp-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(2)" - } - ], - "parts": [ - { - "id": "cp-2.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[1]" - } - ], - "prose": "provides recovery objectives;" - }, - { - "id": "cp-2.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[2]" - } - ], - "prose": "provides restoration priorities;" - }, - { - "id": "cp-2.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(2)[3]" - } - ], - "prose": "provides metrics;" - } - ] - }, - { - "id": "cp-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(3)" - } - ], - "parts": [ - { - "id": "cp-2.a.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[1]" - } - ], - "prose": "addresses contingency roles;" - }, - { - "id": "cp-2.a.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[2]" - } - ], - "prose": "addresses contingency responsibilities;" - }, - { - "id": "cp-2.a.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(3)[3]" - } - ], - "prose": "addresses assigned individuals with contact information;" - } - ] - }, - { - "id": "cp-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(4)" - } - ], - "prose": "addresses maintaining essential missions and business functions despite an\n information system disruption, compromise, or failure;" - }, - { - "id": "cp-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(5)" - } - ], - "prose": "addresses eventual, full information system restoration without deterioration\n of the security safeguards originally planned and implemented;" - }, - { - "id": "cp-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(a)(6)" - } - ], - "parts": [ - { - "id": "cp-2.a.6_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(6)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the contingency plan for\n the information system;" - }, - { - "id": "cp-2.a.6_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(a)(6)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "cp-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(b)" - } - ], - "parts": [ - { - "id": "cp-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(b)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom copies of the contingency plan are to be\n distributed;" - }, - { - "id": "cp-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(b)[2]" - } - ], - "prose": "distributes copies of the contingency plan to organization-defined key\n contingency personnel and organizational elements;" - } - ] - }, - { - "id": "cp-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(c)" - } - ], - "prose": "coordinates contingency planning activities with incident handling activities;" - }, - { - "id": "cp-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(d)" - } - ], - "parts": [ - { - "id": "cp-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(d)[1]" - } - ], - "prose": "defines a frequency to review the contingency plan for the information\n system;" - }, - { - "id": "cp-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(d)[2]" - } - ], - "prose": "reviews the contingency plan with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(e)" - } - ], - "prose": "updates the contingency plan to address:", - "parts": [ - { - "id": "cp-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(e)[1]" - } - ], - "prose": "changes to the organization, information system, or environment of\n operation;" - }, - { - "id": "cp-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(e)[2]" - } - ], - "prose": "problems encountered during plan implementation, execution, and testing;" - } - ] - }, - { - "id": "cp-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(f)" - } - ], - "parts": [ - { - "id": "cp-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(f)[1]" - } - ], - "prose": "defines key contingency personnel (identified by name and/or by role) and\n organizational elements to whom contingency plan changes are to be\n communicated;" - }, - { - "id": "cp-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(f)[2]" - } - ], - "prose": "communicates contingency plan changes to organization-defined key contingency\n personnel and organizational elements; and" - } - ] - }, - { - "id": "cp-2.g_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(g)" - } - ], - "prose": "protects the contingency plan from unauthorized disclosure and modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nevidence of contingency plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan development, review, update, and\n protection\\n\\nautomated mechanisms for developing, reviewing, updating and/or protecting the\n contingency plan" - } - ] - } - ], - "controls": [ - { - "id": "cp-2.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "properties": [ - { - "name": "label", - "value": "CP-2(1)" - }, - { - "name": "sort-id", - "value": "cp-02.01" - } - ], - "parts": [ - { - "id": "cp-2.1_smt", - "name": "statement", - "prose": "The organization coordinates contingency plan development with organizational\n elements responsible for related plans." - }, - { - "id": "cp-2.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant\n Emergency Plans." - }, - { - "id": "cp-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization coordinates contingency plan development with\n organizational elements responsible for related plans." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness contingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plan\\n\\ninsider threat implementation plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel with responsibility for related plans" - } - ] - } - ] - }, - { - "id": "cp-2.2", - "class": "SP800-53-enhancement", - "title": "Capacity Planning", - "properties": [ - { - "name": "label", - "value": "CP-2(2)" - }, - { - "name": "sort-id", - "value": "cp-02.02" - } - ], - "parts": [ - { - "id": "cp-2.2_smt", - "name": "statement", - "prose": "The organization conducts capacity planning so that necessary capacity for\n information processing, telecommunications, and environmental support exists\n during contingency operations." - }, - { - "id": "cp-2.2_gdn", - "name": "guidance", - "prose": "Capacity planning is needed because different types of threats (e.g., natural\n disasters, targeted cyber attacks) can result in a reduction of the available\n processing, telecommunications, and support services originally intended to\n support the organizational missions/business functions. Organizations may need to\n anticipate degraded operations during contingency operations and factor such\n degradation into capacity planning." - }, - { - "id": "cp-2.2_obj", - "name": "objective", - "prose": "Determine if the organization conducts capacity planning so that necessary\n capacity exists during contingency operations for: ", - "parts": [ - { - "id": "cp-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-2(2)[1]" - } - ], - "prose": "information processing;" - }, - { - "id": "cp-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(2)[2]" - } - ], - "prose": "telecommunications; and" - }, - { - "id": "cp-2.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-2(2)[3]" - } - ], - "prose": "environmental support." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\ncapacity planning documents\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-2.3", - "class": "SP800-53-enhancement", - "title": "Resume Essential Missions / Business Functions", - "parameters": [ - { - "id": "cp-2.3_prm_1", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-2(3)" - }, - { - "name": "sort-id", - "value": "cp-02.03" - } - ], - "parts": [ - { - "id": "cp-2.3_smt", - "name": "statement", - "prose": "The organization plans for the resumption of essential missions and business\n functions within {{ cp-2.3_prm_1 }} of contingency plan\n activation." - }, - { - "id": "cp-2.3_gdn", - "name": "guidance", - "prose": "Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. The time period for\n resumption of essential missions/business functions may be dependent on the\n severity/extent of disruptions to the information system and its supporting\n infrastructure.", - "links": [ - { - "href": "#pe-12", - "rel": "related", - "text": "PE-12" - } - ] - }, - { - "id": "cp-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-2(3)[1]" - } - ], - "prose": "defines the time period to plan for the resumption of essential missions and\n business functions as a result of contingency plan activation; and" - }, - { - "id": "cp-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-2(3)[2]" - } - ], - "prose": "plans for the resumption of essential missions and business functions within\n organization-defined time period of contingency plan activation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nbusiness impact assessment\\n\\nother related plans\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for resumption of missions and business functions" - } - ] - } - ] - }, - { - "id": "cp-2.8", - "class": "SP800-53-enhancement", - "title": "Identify Critical Assets", - "properties": [ - { - "name": "label", - "value": "CP-2(8)" - }, - { - "name": "sort-id", - "value": "cp-02.08" - } - ], - "parts": [ - { - "id": "cp-2.8_smt", - "name": "statement", - "prose": "The organization identifies critical information system assets supporting\n essential missions and business functions." - }, - { - "id": "cp-2.8_gdn", - "name": "guidance", - "prose": "Organizations may choose to carry out the contingency planning activities in this\n control enhancement as part of organizational business continuity planning\n including, for example, as part of business impact analyses. Organizations\n identify critical information system assets so that additional safeguards and\n countermeasures can be employed (above and beyond those safeguards and\n countermeasures routinely implemented) to help ensure that organizational\n missions/business functions can continue to be conducted during contingency\n operations. In addition, the identification of critical information assets\n facilitates the prioritization of organizational resources. Critical information\n system assets include technical and operational aspects. Technical aspects\n include, for example, information technology services, information system\n components, information technology products, and mechanisms. Operational aspects\n include, for example, procedures (manually executed operations) and personnel\n (individuals operating technical safeguards and/or executing manual procedures).\n Organizational program protection plans can provide assistance in identifying\n critical assets.", - "links": [ - { - "href": "#sa-14", - "rel": "related", - "text": "SA-14" - }, - { - "href": "#sa-15", - "rel": "related", - "text": "SA-15" - } - ] - }, - { - "id": "cp-2.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization identifies critical information system assets\n supporting essential missions and business functions." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency operations for the information system\\n\\ncontingency plan\\n\\nbusiness impact assessment\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-3", - "class": "SP800-53", - "title": "Contingency Training", - "parameters": [ - { - "id": "cp-3_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "ten (10) days" - } - ] - }, - { - "id": "cp-3_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-3" - }, - { - "name": "sort-id", - "value": "cp-03" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "cp-3_smt", - "name": "statement", - "prose": "The organization provides contingency training to information system users consistent\n with assigned roles and responsibilities:", - "parts": [ - { - "id": "cp-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ cp-3_prm_1 }} of assuming a contingency role or\n responsibility;" - }, - { - "id": "cp-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "cp-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ cp-3_prm_2 }} thereafter." - } - ] - }, - { - "id": "cp-3_gdn", - "name": "guidance", - "prose": "Contingency training provided by organizations is linked to the assigned roles and\n responsibilities of organizational personnel to ensure that the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know when and where to report for duty during contingency operations and if\n normal duties are affected; system administrators may require additional training on\n how to set up information systems at alternate processing and storage sites; and\n managers/senior leaders may receive more specific training on how to conduct\n mission-essential functions in designated off-site locations and how to establish\n communications with other governmental entities for purposes of coordination on\n contingency-related activities. Training for contingency roles/responsibilities\n reflects the specific continuity requirements in the contingency plan.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - } - ] - }, - { - "id": "cp-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "cp-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(a)" - } - ], - "parts": [ - { - "id": "cp-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-3(a)[1]" - } - ], - "prose": "defines a time period within which contingency training is to be provided to\n information system users assuming a contingency role or responsibility;" - }, - { - "id": "cp-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(a)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming a contingency role or responsibility;" - } - ] - }, - { - "id": "cp-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(b)" - } - ], - "prose": "provides contingency training to information system users consistent with assigned\n roles and responsibilities when required by information system changes;" - }, - { - "id": "cp-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-3(c)" - } - ], - "parts": [ - { - "id": "cp-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-3(c)[1]" - } - ], - "prose": "defines the frequency for contingency training thereafter; and" - }, - { - "id": "cp-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-3(c)[2]" - } - ], - "prose": "provides contingency training to information system users consistent with\n assigned roles and responsibilities with the organization-defined frequency\n thereafter." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency training\\n\\ncontingency plan\\n\\ncontingency training curriculum\\n\\ncontingency training material\\n\\nsecurity plan\\n\\ncontingency training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, plan implementation, and\n training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency training" - } - ] - } - ] - }, - { - "id": "cp-4", - "class": "SP800-53", - "title": "Contingency Plan Testing", - "parameters": [ - { - "id": "cp-4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "cp-4_prm_2", - "label": "organization-defined tests", - "constraints": [ - { - "detail": "functional exercises" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-4" - }, - { - "name": "sort-id", - "value": "cp-04" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf", - "rel": "reference", - "text": "NIST Special Publication 800-84" - } - ], - "parts": [ - { - "id": "cp-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the\n effectiveness of the plan and the organizational readiness to execute the\n plan;" - }, - { - "id": "cp-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews the contingency plan test results; and" - }, - { - "id": "cp-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Initiates corrective actions, if needed." - }, - { - "id": "cp-4_fr", - "name": "item", - "title": "CP-4(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-4(a) Requirement:" - } - ], - "prose": "The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing." - } - ] - } - ] - }, - { - "id": "cp-4_gdn", - "name": "guidance", - "prose": "Methods for testing contingency plans to determine the effectiveness of the plans and\n to identify potential weaknesses in the plans include, for example, walk-through and\n tabletop exercises, checklists, simulations (parallel, full interrupt), and\n comprehensive exercises. Organizations conduct testing based on the continuity\n requirements in contingency plans and include a determination of the effects on\n organizational operations, assets, and individuals arising due to contingency\n operations. Organizations have flexibility and discretion in the breadth, depth, and\n timelines of corrective actions.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - } - ] - }, - { - "id": "cp-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-4(a)" - } - ], - "parts": [ - { - "id": "cp-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-4(a)[1]" - } - ], - "prose": "defines tests to determine the effectiveness of the contingency plan and the\n organizational readiness to execute the plan;" - }, - { - "id": "cp-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-4(a)[2]" - } - ], - "prose": "defines a frequency to test the contingency plan for the information\n system;" - }, - { - "id": "cp-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(a)[3]" - } - ], - "prose": "tests the contingency plan for the information system with the\n organization-defined frequency, using organization-defined tests to determine\n the effectiveness of the plan and the organizational readiness to execute the\n plan;" - } - ] - }, - { - "id": "cp-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(b)" - } - ], - "prose": "reviews the contingency plan test results; and" - }, - { - "id": "cp-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-4(c)" - } - ], - "prose": "initiates corrective actions, if needed." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan\\n\\nsecurity plan\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency plan testing,\n reviewing or responding to contingency plan tests\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for contingency plan testing\\n\\nautomated mechanisms supporting the contingency plan and/or contingency plan\n testing" - } - ] - } - ], - "controls": [ - { - "id": "cp-4.1", - "class": "SP800-53-enhancement", - "title": "Coordinate with Related Plans", - "properties": [ - { - "name": "label", - "value": "CP-4(1)" - }, - { - "name": "sort-id", - "value": "cp-04.01" - } - ], - "parts": [ - { - "id": "cp-4.1_smt", - "name": "statement", - "prose": "The organization coordinates contingency plan testing with organizational elements\n responsible for related plans." - }, - { - "id": "cp-4.1_gdn", - "name": "guidance", - "prose": "Plans related to contingency plans for organizational information systems include,\n for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of\n Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n Cyber Incident Response Plans, and Occupant Emergency Plans. This control\n enhancement does not require organizations to create organizational elements to\n handle related plans or to align such elements with specific plans. It does\n require, however, that if such organizational elements are responsible for related\n plans, organizations should coordinate with those elements.", - "links": [ - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - } - ] - }, - { - "id": "cp-4.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization coordinates contingency plan testing with\n organizational elements responsible for related plans. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nincident response policy\\n\\nprocedures addressing contingency plan testing\\n\\ncontingency plan testing documentation\\n\\ncontingency plan\\n\\nbusiness continuity plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\ncyber incident response plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan testing responsibilities\\n\\norganizational personnel\\n\\npersonnel with responsibilities for related plans\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-6", - "class": "SP800-53", - "title": "Alternate Storage Site", - "properties": [ - { - "name": "label", - "value": "CP-6" - }, - { - "name": "sort-id", - "value": "cp-06" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and" - }, - { - "id": "cp-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site." - } - ] - }, - { - "id": "cp-6_gdn", - "name": "guidance", - "prose": "Alternate storage sites are sites that are geographically distinct from primary\n storage sites. An alternate storage site maintains duplicate copies of information\n and data in the event that the primary storage site is not available. Items covered\n by alternate storage site agreements include, for example, environmental conditions\n at alternate sites, access rules, physical and environmental protection requirements,\n and coordination of delivery/retrieval of backup media. Alternate storage sites\n reflect the requirements in contingency plans so that organizations can maintain\n essential missions/business functions despite disruption, compromise, or failure in\n organizational information systems.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - } - ] - }, - { - "id": "cp-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-6_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-6[1]" - } - ], - "prose": "establishes an alternate storage site including necessary agreements to permit the\n storage and retrieval of information system backup information; and" - }, - { - "id": "cp-6_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-6[2]" - } - ], - "prose": "ensures that the alternate storage site provides information security safeguards\n equivalent to that of the primary site." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing and retrieving information system backup\n information at the alternate storage site\\n\\nautomated mechanisms supporting and/or implementing storage and retrieval of\n information system backup information at the alternate storage site" - } - ] - } - ], - "controls": [ - { - "id": "cp-6.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "properties": [ - { - "name": "label", - "value": "CP-6(1)" - }, - { - "name": "sort-id", - "value": "cp-06.01" - } - ], - "parts": [ - { - "id": "cp-6.1_smt", - "name": "statement", - "prose": "The organization identifies an alternate storage site that is separated from the\n primary storage site to reduce susceptibility to the same threats." - }, - { - "id": "cp-6.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate storage sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate storage sites based on the types of threats that are\n of concern. For one particular type of threat (i.e., hostile cyber attack), the\n degree of separation between sites is less relevant.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-6.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization identifies an alternate storage site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nalternate storage site agreements\\n\\nprimary storage site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-6.3", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "properties": [ - { - "name": "label", - "value": "CP-6(3)" - }, - { - "name": "sort-id", - "value": "cp-06.03" - } - ], - "parts": [ - { - "id": "cp-6.3_smt", - "name": "statement", - "prose": "The organization identifies potential accessibility problems to the alternate\n storage site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions." - }, - { - "id": "cp-6.3_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk. Explicit\n mitigation actions include, for example: (i) duplicating backup information at\n other alternate storage sites if access problems occur at originally designated\n alternate sites; or (ii) planning for physical access to retrieve backup\n information if electronic accessibility to the alternate site is disrupted.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-6.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-6.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-6(3)[1]" - } - ], - "prose": "identifies potential accessibility problems to the alternate storage site in\n the event of an area-wide disruption or disaster; and" - }, - { - "id": "cp-6.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-6(3)[2]" - } - ], - "prose": "outlines explicit mitigation actions for such potential accessibility problems\n to the alternate storage site in the event of an area-wide disruption or\n disaster." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate storage sites\\n\\ncontingency plan\\n\\nalternate storage site\\n\\nlist of potential accessibility problems to alternate storage site\\n\\nmitigation actions for accessibility problems to alternate storage site\\n\\norganizational risk assessments\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate storage site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-7", - "class": "SP800-53", - "title": "Alternate Processing Site", - "parameters": [ - { - "id": "cp-7_prm_1", - "label": "organization-defined information system operations" - }, - { - "id": "cp-7_prm_2", - "label": "organization-defined time period consistent with recovery time and recovery point\n objectives" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-7" - }, - { - "name": "sort-id", - "value": "cp-07" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes an alternate processing site including necessary agreements to permit\n the transfer and resumption of {{ cp-7_prm_1 }} for essential\n missions/business functions within {{ cp-7_prm_2 }} when the\n primary processing capabilities are unavailable;" - }, - { - "id": "cp-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that equipment and supplies required to transfer and resume operations are\n available at the alternate processing site or contracts are in place to support\n delivery to the site within the organization-defined time period for\n transfer/resumption; and" - }, - { - "id": "cp-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site." - }, - { - "id": "cp-7_fr", - "name": "item", - "title": "CP-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-7_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines a time period consistent with the recovery time objectives and business impact analysis." - } - ] - } - ] - }, - { - "id": "cp-7_gdn", - "name": "guidance", - "prose": "Alternate processing sites are sites that are geographically distinct from primary\n processing sites. An alternate processing site provides processing capability in the\n event that the primary processing site is not available. Items covered by alternate\n processing site agreements include, for example, environmental conditions at\n alternate sites, access rules, physical and environmental protection requirements,\n and coordination for the transfer/assignment of personnel. Requirements are\n specifically allocated to alternate processing sites that reflect the requirements in\n contingency plans to maintain essential missions/business functions despite\n disruption, compromise, or failure in organizational information systems.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#cp-10", - "rel": "related", - "text": "CP-10" - }, - { - "href": "#ma-6", - "rel": "related", - "text": "MA-6" - } - ] - }, - { - "id": "cp-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-7(a)" - } - ], - "parts": [ - { - "id": "cp-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-7(a)[1]" - } - ], - "prose": "defines information system operations requiring an alternate processing site to\n be established to permit the transfer and resumption of such operations;" - }, - { - "id": "cp-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-7(a)[2]" - } - ], - "prose": "defines the time period consistent with recovery time objectives and recovery\n point objectives (as specified in the information system contingency plan) for\n transfer/resumption of organization-defined information system operations for\n essential missions/business functions;" - }, - { - "id": "cp-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(a)[3]" - } - ], - "prose": "establishes an alternate processing site including necessary agreements to\n permit the transfer and resumption of organization-defined information system\n operations for essential missions/business functions, within the\n organization-defined time period, when the primary processing capabilities are\n unavailable;" - } - ] - }, - { - "id": "cp-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-7(b)" - } - ], - "parts": [ - { - "id": "cp-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(b)[1]" - } - ], - "prose": "ensures that equipment and supplies required to transfer and resume operations\n are available at the alternate processing site; or" - }, - { - "id": "cp-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(b)[2]" - } - ], - "prose": "ensures that contracts are in place to support delivery to the site within the\n organization-defined time period for transfer/resumption; and" - } - ] - }, - { - "id": "cp-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-7(c)" - } - ], - "prose": "ensures that the alternate processing site provides information security\n safeguards equivalent to those of the primary site." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nspare equipment and supplies inventory at alternate processing site\\n\\nequipment and supply contracts\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for contingency planning and/or\n alternate site arrangements\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for recovery at the alternate site\\n\\nautomated mechanisms supporting and/or implementing recovery at the alternate\n processing site" - } - ] - } - ], - "controls": [ - { - "id": "cp-7.1", - "class": "SP800-53-enhancement", - "title": "Separation from Primary Site", - "properties": [ - { - "name": "label", - "value": "CP-7(1)" - }, - { - "name": "sort-id", - "value": "cp-07.01" - } - ], - "parts": [ - { - "id": "cp-7.1_smt", - "name": "statement", - "prose": "The organization identifies an alternate processing site that is separated from\n the primary processing site to reduce susceptibility to the same threats.", - "parts": [ - { - "id": "cp-7.1_fr", - "name": "item", - "title": "CP-7 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-7.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant." - } - ] - } - ] - }, - { - "id": "cp-7.1_gdn", - "name": "guidance", - "prose": "Threats that affect alternate processing sites are typically defined in\n organizational assessments of risk and include, for example, natural disasters,\n structural failures, hostile cyber attacks, and errors of omission/commission.\n Organizations determine what is considered a sufficient degree of separation\n between primary and alternate processing sites based on the types of threats that\n are of concern. For one particular type of threat (i.e., hostile cyber attack),\n the degree of separation between sites is less relevant.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-7.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization identifies an alternate processing site that is\n separated from the primary storage site to reduce susceptibility to the same\n threats. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.2", - "class": "SP800-53-enhancement", - "title": "Accessibility", - "properties": [ - { - "name": "label", - "value": "CP-7(2)" - }, - { - "name": "sort-id", - "value": "cp-07.02" - } - ], - "parts": [ - { - "id": "cp-7.2_smt", - "name": "statement", - "prose": "The organization identifies potential accessibility problems to the alternate\n processing site in the event of an area-wide disruption or disaster and outlines\n explicit mitigation actions." - }, - { - "id": "cp-7.2_gdn", - "name": "guidance", - "prose": "Area-wide disruptions refer to those types of disruptions that are broad in\n geographic scope (e.g., hurricane, regional power outage) with such determinations\n made by organizations based on organizational assessments of risk.", - "links": [ - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "cp-7.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-7.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-7(2)[1]" - } - ], - "prose": "identifies potential accessibility problems to the alternate processing site in\n the event of an area-wide disruption or disaster; and" - }, - { - "id": "cp-7.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-7(2)[2]" - } - ], - "prose": "outlines explicit mitigation actions for such potential accessibility problems\n to the alternate processing site in the event of an area-wide disruption or\n disaster." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site\\n\\nalternate processing site agreements\\n\\nprimary processing site agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "cp-7.3", - "class": "SP800-53-enhancement", - "title": "Priority of Service", - "properties": [ - { - "name": "label", - "value": "CP-7(3)" - }, - { - "name": "sort-id", - "value": "cp-07.03" - } - ], - "parts": [ - { - "id": "cp-7.3_smt", - "name": "statement", - "prose": "The organization develops alternate processing site agreements that contain\n priority-of-service provisions in accordance with organizational availability\n requirements (including recovery time objectives)." - }, - { - "id": "cp-7.3_gdn", - "name": "guidance", - "prose": "Priority-of-service agreements refer to negotiated agreements with service\n providers that ensure that organizations receive priority treatment consistent\n with their availability requirements and the availability of information resources\n at the alternate processing site." - }, - { - "id": "cp-7.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization develops alternate processing site agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in the\n information system contingency plan)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate processing sites\\n\\ncontingency plan\\n\\nalternate processing site agreements\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan alternate processing site\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - } - ] - } - ] - }, - { - "id": "cp-8", - "class": "SP800-53", - "title": "Telecommunications Services", - "parameters": [ - { - "id": "cp-8_prm_1", - "label": "organization-defined information system operations" - }, - { - "id": "cp-8_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-8" - }, - { - "name": "sort-id", - "value": "cp-08" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - }, - { - "href": "#fb5844de-ff96-47c0-b258-4f52bcc2f30d", - "rel": "reference", - "text": "National Communications Systems Directive 3-10" - }, - { - "href": "#3ac12e79-f54f-4a63-9f4b-ee4bcd4df604", - "rel": "reference", - "text": "http://www.dhs.gov/telecommunications-service-priority-tsp" - } - ], - "parts": [ - { - "id": "cp-8_smt", - "name": "statement", - "prose": "The organization establishes alternate telecommunications services including\n necessary agreements to permit the resumption of {{ cp-8_prm_1 }} for\n essential missions and business functions within {{ cp-8_prm_2 }} when\n the primary telecommunications capabilities are unavailable at either the primary or\n alternate processing or storage sites.", - "parts": [ - { - "id": "cp-8_fr", - "name": "item", - "title": "CP-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines a time period consistent with the recovery time objectives and business impact analysis." - } - ] - } - ] - }, - { - "id": "cp-8_gdn", - "name": "guidance", - "prose": "This control applies to telecommunications services (data and voice) for primary and\n alternate processing and storage sites. Alternate telecommunications services reflect\n the continuity requirements in contingency plans to maintain essential\n missions/business functions despite the loss of primary telecommunications services.\n Organizations may specify different time periods for primary/alternate sites.\n Alternate telecommunications services include, for example, additional organizational\n or commercial ground-based circuits/lines or satellites in lieu of ground-based\n communications. Organizations consider factors such as availability, quality of\n service, and access when entering into alternate telecommunications agreements.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "cp-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8[1]" - } - ], - "prose": "defines information system operations requiring alternate telecommunications\n services to be established to permit the resumption of such operations;" - }, - { - "id": "cp-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8[2]" - } - ], - "prose": "defines the time period to permit resumption of organization-defined information\n system operations for essential missions and business functions; and" - }, - { - "id": "cp-8_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-8[3]" - } - ], - "prose": "establishes alternate telecommunications services including necessary agreements\n to permit the resumption of organization-defined information system operations for\n essential missions and business functions, within the organization-defined time\n period, when the primary telecommunications capabilities are unavailable at either\n the primary or alternate processing or storage sites." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ], - "controls": [ - { - "id": "cp-8.1", - "class": "SP800-53-enhancement", - "title": "Priority of Service Provisions", - "properties": [ - { - "name": "label", - "value": "CP-8(1)" - }, - { - "name": "sort-id", - "value": "cp-08.01" - } - ], - "parts": [ - { - "id": "cp-8.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-8.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives); and" - }, - { - "id": "cp-8.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier." - } - ] - }, - { - "id": "cp-8.1_gdn", - "name": "guidance", - "prose": "Organizations consider the potential mission/business impact in situations where\n telecommunications service providers are servicing other organizations with\n similar priority-of-service provisions." - }, - { - "id": "cp-8.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-8(1)[1]" - } - ], - "prose": "develops primary and alternate telecommunications service agreements that\n contain priority-of-service provisions in accordance with organizational\n availability requirements (including recovery time objectives as specified in\n the information system contingency plan); and" - }, - { - "id": "cp-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-8(1)[2]" - } - ], - "prose": "requests Telecommunications Service Priority for all telecommunications\n services used for national security emergency preparedness in the event that\n the primary and/or alternate telecommunications services are provided by a\n common carrier." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nTelecommunications Service Priority documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibility for acquisitions/contractual\n agreements" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting telecommunications" - } - ] - } - ] - }, - { - "id": "cp-8.2", - "class": "SP800-53-enhancement", - "title": "Single Points of Failure", - "properties": [ - { - "name": "label", - "value": "CP-8(2)" - }, - { - "name": "sort-id", - "value": "cp-08.02" - } - ], - "parts": [ - { - "id": "cp-8.2_smt", - "name": "statement", - "prose": "The organization obtains alternate telecommunications services to reduce the\n likelihood of sharing a single point of failure with primary telecommunications\n services." - }, - { - "id": "cp-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization obtains alternate telecommunications services to\n reduce the likelihood of sharing a single point of failure with primary\n telecommunications services. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing primary and alternate telecommunications services\\n\\ncontingency plan\\n\\nprimary and alternate telecommunications service agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency plan telecommunications\n responsibilities\\n\\norganizational personnel with information system recovery responsibilities\\n\\nprimary and alternate telecommunications service providers\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-9", - "class": "SP800-53", - "title": "Information System Backup", - "parameters": [ - { - "id": "cp-9_prm_1", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_2", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - { - "id": "cp-9_prm_3", - "label": "organization-defined frequency consistent with recovery time and recovery point\n objectives", - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-9" - }, - { - "name": "sort-id", - "value": "cp-09" - } - ], - "links": [ - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "cp-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts backups of user-level information contained in the information system\n {{ cp-9_prm_1 }};" - }, - { - "id": "cp-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Conducts backups of system-level information contained in the information system\n {{ cp-9_prm_2 }};" - }, - { - "id": "cp-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts backups of information system documentation including security-related\n documentation {{ cp-9_prm_3 }}; and" - }, - { - "id": "cp-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects the confidentiality, integrity, and availability of backup information at\n storage locations." - }, - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)." - } - ] - } - ] - }, - { - "id": "cp-9_gdn", - "name": "guidance", - "prose": "System-level information includes, for example, system-state information, operating\n system and application software, and licenses. User-level information includes any\n information other than system-level information. Mechanisms employed by organizations\n to protect the integrity of information system backups include, for example, digital\n signatures and cryptographic hashes. Protection of system backup information while in\n transit is beyond the scope of this control. Information system backups reflect the\n requirements in contingency plans as well as other organizational requirements for\n backing up information.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "cp-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(a)" - } - ], - "parts": [ - { - "id": "cp-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(a)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of user-level information contained in the information\n system;" - }, - { - "id": "cp-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(a)[2]" - } - ], - "prose": "conducts backups of user-level information contained in the information system\n with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(b)" - } - ], - "parts": [ - { - "id": "cp-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(b)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of system-level information contained in the information\n system;" - }, - { - "id": "cp-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(b)[2]" - } - ], - "prose": "conducts backups of system-level information contained in the information\n system with the organization-defined frequency;" - } - ] - }, - { - "id": "cp-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(c)" - } - ], - "parts": [ - { - "id": "cp-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(c)[1]" - } - ], - "prose": "defines a frequency, consistent with recovery time objectives and recovery\n point objectives as specified in the information system contingency plan, to\n conduct backups of information system documentation including security-related\n documentation;" - }, - { - "id": "cp-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(c)[2]" - } - ], - "prose": "conducts backups of information system documentation, including\n security-related documentation, with the organization-defined frequency;\n and" - } - ] - }, - { - "id": "cp-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(d)" - } - ], - "prose": "protects the confidentiality, integrity, and availability of backup information at\n storage locations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system backups" - } - ] - } - ], - "controls": [ - { - "id": "cp-9.1", - "class": "SP800-53-enhancement", - "title": "Testing for Reliability / Integrity", - "parameters": [ - { - "id": "cp-9.1_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "CP-9(1)" - }, - { - "name": "sort-id", - "value": "cp-09.01" - } - ], - "parts": [ - { - "id": "cp-9.1_smt", - "name": "statement", - "prose": "The organization tests backup information {{ cp-9.1_prm_1 }} to\n verify media reliability and information integrity." - }, - { - "id": "cp-9.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - } - ] - }, - { - "id": "cp-9.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(1)[1]" - } - ], - "prose": "defines the frequency to test backup information to verify media reliability\n and information integrity; and" - }, - { - "id": "cp-9.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-9(1)[2]" - } - ], - "prose": "tests backup information with the organization-defined frequency to verify\n media reliability and information integrity." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting information system backups\\n\\nautomated mechanisms supporting and/or implementing information system\n backups" - } - ] - } - ] - }, - { - "id": "cp-9.3", - "class": "SP800-53-enhancement", - "title": "Separate Storage for Critical Information", - "parameters": [ - { - "id": "cp-9.3_prm_1", - "label": "organization-defined critical information system software and other\n security-related information" - } - ], - "properties": [ - { - "name": "label", - "value": "CP-9(3)" - }, - { - "name": "sort-id", - "value": "cp-09.03" - } - ], - "parts": [ - { - "id": "cp-9.3_smt", - "name": "statement", - "prose": "The organization stores backup copies of {{ cp-9.3_prm_1 }} in a\n separate facility or in a fire-rated container that is not collocated with the\n operational system." - }, - { - "id": "cp-9.3_gdn", - "name": "guidance", - "prose": "Critical information system software includes, for example, operating systems,\n cryptographic key management systems, and intrusion detection/prevention systems.\n Security-related information includes, for example, organizational inventories of\n hardware, software, and firmware components. Alternate storage sites typically\n serve as separate storage facilities for organizations.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - } - ] - }, - { - "id": "cp-9.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "cp-9.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-9(3)[1]" - } - ], - "parts": [ - { - "id": "cp-9.3_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(3)[1][a]" - } - ], - "prose": "defines critical information system software and other security-related\n information requiring backup copies to be stored in a separate facility;\n or" - }, - { - "id": "cp-9.3_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "CP-9(3)[1][b]" - } - ], - "prose": "defines critical information system software and other security-related\n information requiring backup copies to be stored in a fire-rated container\n that is not collocated with the operational system; and" - } - ] - }, - { - "id": "cp-9.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "CP-9(3)[2]" - } - ], - "prose": "stores backup copies of organization-defined critical information system\n software and other security-related information in a separate facility or in a\n fire-rated container that is not collocated with the operational system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\nbackup storage location(s)\\n\\ninformation system backup configurations and associated documentation\\n\\ninformation system backup logs or records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning and plan implementation\n responsibilities\\n\\norganizational personnel with information system backup responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "cp-10", - "class": "SP800-53", - "title": "Information System Recovery and Reconstitution", - "properties": [ - { - "name": "label", - "value": "CP-10" - }, - { - "name": "sort-id", - "value": "cp-10" - } - ], - "links": [ - { - "href": "#023104bc-6f75-4cd5-b7d0-fc92326f8007", - "rel": "reference", - "text": "Federal Continuity Directive 1" - }, - { - "href": "#748a81b9-9cad-463f-abde-8b368167e70d", - "rel": "reference", - "text": "NIST Special Publication 800-34" - } - ], - "parts": [ - { - "id": "cp-10_smt", - "name": "statement", - "prose": "The organization provides for the recovery and reconstitution of the information\n system to a known state after a disruption, compromise, or failure." - }, - { - "id": "cp-10_gdn", - "name": "guidance", - "prose": "Recovery is executing information system contingency plan activities to restore\n organizational missions/business functions. Reconstitution takes place following\n recovery and includes activities for returning organizational information systems to\n fully operational states. Recovery and reconstitution operations reflect mission and\n business priorities, recovery point/time and reconstitution objectives, and\n established organizational metrics consistent with contingency plan requirements.\n Reconstitution includes the deactivation of any interim information system\n capabilities that may have been needed during recovery operations. Reconstitution\n also includes assessments of fully restored information system capabilities,\n reestablishment of continuous monitoring activities, potential information system\n reauthorizations, and activities to prepare the systems against future disruptions,\n compromises, or failures. Recovery/reconstitution capabilities employed by\n organizations can include both automated mechanisms and manual procedures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "cp-10_obj", - "name": "objective", - "prose": "Determine if the organization provides for: ", - "parts": [ - { - "id": "cp-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "CP-10[1]" - } - ], - "prose": "the recovery of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[1][c]" - } - ], - "prose": "a failure;" - } - ] - }, - { - "id": "cp-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2]" - } - ], - "prose": "the reconstitution of the information system to a known state after:", - "parts": [ - { - "id": "cp-10_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][a]" - } - ], - "prose": "a disruption;" - }, - { - "id": "cp-10_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][b]" - } - ], - "prose": "a compromise; or" - }, - { - "id": "cp-10_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "CP-10[2][c]" - } - ], - "prose": "a failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system backup\\n\\ncontingency plan\\n\\ninformation system backup test results\\n\\ncontingency plan test results\\n\\ncontingency plan test documentation\\n\\nredundant secondary system for information system backups\\n\\nlocation(s) of redundant secondary backup system(s)\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with contingency planning, recovery, and/or\n reconstitution responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes implementing information system recovery and\n reconstitution operations\\n\\nautomated mechanisms supporting and/or implementing information system recovery\n and reconstitution operations" - } - ] - } - ], - "controls": [ - { - "id": "cp-10.2", - "class": "SP800-53-enhancement", - "title": "Transaction Recovery", - "properties": [ - { - "name": "label", - "value": "CP-10(2)" - }, - { - "name": "sort-id", - "value": "cp-10.02" - } - ], - "parts": [ - { - "id": "cp-10.2_smt", - "name": "statement", - "prose": "The information system implements transaction recovery for systems that are\n transaction-based." - }, - { - "id": "cp-10.2_gdn", - "name": "guidance", - "prose": "Transaction-based information systems include, for example, database management\n systems and transaction processing systems. Mechanisms supporting transaction\n recovery include, for example, transaction rollback and transaction\n journaling." - }, - { - "id": "cp-10.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements transaction recovery for systems\n that are transaction-based. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Contingency planning policy\\n\\nprocedures addressing information system recovery and reconstitution\\n\\ncontingency plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncontingency plan test documentation\\n\\ncontingency plan test results\\n\\ninformation system transaction recovery records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for transaction recovery\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transaction recovery\n capability" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ia", - "class": "family", - "title": "Identification and Authentication", - "controls": [ - { - "id": "ia-1", - "class": "SP800-53", - "title": "Identification and Authentication Policy and Procedures", - "parameters": [ - { - "id": "ia-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ia-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-1" - }, - { - "name": "sort-id", - "value": "ia-01" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ia-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ia-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ia-1_prm_1 }}:", - "parts": [ - { - "id": "ia-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An identification and authentication policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "ia-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the identification and\n authentication policy and associated identification and authentication\n controls; and" - } - ] - }, - { - "id": "ia-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ia-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Identification and authentication policy {{ ia-1_prm_2 }};\n and" - }, - { - "id": "ia-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Identification and authentication procedures {{ ia-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ia-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ia-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ia-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ia-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(1)[1]" - } - ], - "prose": "develops and documents an identification and authentication policy that\n addresses:", - "parts": [ - { - "id": "ia-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ia-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ia-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ia-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ia-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ia-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ia-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ia-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the identification and authentication\n policy is to be disseminated; and" - }, - { - "id": "ia-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-1(a)(1)[3]" - } - ], - "prose": "disseminates the identification and authentication policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "ia-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ia-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n identification and authentication policy and associated identification and\n authentication controls;" - }, - { - "id": "ia-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ia-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ia-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ia-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication policy;" - }, - { - "id": "ia-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication policy\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "ia-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ia-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current identification and\n authentication procedures; and" - }, - { - "id": "ia-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current identification and authentication procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identification and authentication\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ia-2", - "class": "SP800-53", - "title": "Identification and Authentication (organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-2" - }, - { - "name": "sort-id", - "value": "ia-02" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#4da24a96-6cf8-435d-9d1f-c73247cad109", - "rel": "reference", - "text": "OMB Memorandum 06-16" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-2_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates organizational users (or\n processes acting on behalf of organizational users)." - }, - { - "id": "ia-2_gdn", - "name": "guidance", - "prose": "Organizational users include employees or individuals that organizations deem to have\n equivalent status of employees (e.g., contractors, guest researchers). This control\n applies to all accesses other than: (i) accesses that are explicitly identified and\n documented in AC-14; and (ii) accesses that occur through authorized use of group\n authenticators without individual authentication. Organizations may require unique\n identification of individuals in group accounts (e.g., shared privilege accounts) or\n for detailed accountability of individual activity. Organizations employ passwords,\n tokens, or biometrics to authenticate user identities, or in the case multifactor\n authentication, or some combination thereof. Access to organizational information\n systems is defined as either local access or network access. Local access is any\n access to organizational information systems by users (or processes acting on behalf\n of users) where such access is obtained by direct connections without the use of\n networks. Network access is access to organizational information systems by users (or\n processes acting on behalf of users) where such access is obtained through network\n connections (i.e., nonlocal accesses). Remote access is a type of network access that\n involves communication through external networks (e.g., the Internet). Internal\n networks include local area networks and wide area networks. In addition, the use of\n encrypted virtual private networks (VPNs) for network connections between\n organization-controlled endpoints and non-organization controlled endpoints may be\n treated as internal networks from the perspective of protecting the confidentiality\n and integrity of information traversing the network. Organizations can satisfy the\n identification and authentication requirements in this control by complying with the\n requirements in Homeland Security Presidential Directive 12 consistent with the\n specific organizational implementation plans. Multifactor authentication requires the\n use of two or more different factors to achieve authentication. The factors are\n defined as: (i) something you know (e.g., password, personal identification number\n [PIN]); (ii) something you have (e.g., cryptographic identification device, token);\n or (iii) something you are (e.g., biometric). Multifactor solutions that require\n devices separate from information systems gaining access include, for example,\n hardware tokens providing time-based or challenge-response authenticators and smart\n cards such as the U.S. Government Personal Identity Verification card and the DoD\n common access card. In addition to identifying and authenticating users at the\n information system level (i.e., at logon), organizations also employ identification\n and authentication mechanisms at the application level, when necessary, to provide\n increased information security. Identification and authentication requirements for\n other than organizational users are described in IA-8.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "ia-2_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n organizational users (or processes acting on behalf of organizational users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for uniquely identifying and authenticating users\\n\\nautomated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-2.1", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(1)" - }, - { - "name": "sort-id", - "value": "ia-02.01" - } - ], - "parts": [ - { - "id": "ia-2.1_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for network access to\n privileged accounts." - }, - { - "id": "ia-2.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n network access to privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.2", - "class": "SP800-53-enhancement", - "title": "Network Access to Non-privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(2)" - }, - { - "name": "sort-id", - "value": "ia-02.02" - } - ], - "parts": [ - { - "id": "ia-2.2_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for network access to\n non-privileged accounts." - }, - { - "id": "ia-2.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n network access to non-privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.3", - "class": "SP800-53-enhancement", - "title": "Local Access to Privileged Accounts", - "properties": [ - { - "name": "label", - "value": "IA-2(3)" - }, - { - "name": "sort-id", - "value": "ia-02.03" - } - ], - "parts": [ - { - "id": "ia-2.3_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for local access to\n privileged accounts." - }, - { - "id": "ia-2.3_gdn", - "name": "guidance", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements multifactor authentication for\n local access to privileged accounts." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing multifactor authentication\n capability" - } - ] - } - ] - }, - { - "id": "ia-2.5", - "class": "SP800-53-enhancement", - "title": "Group Authentication", - "properties": [ - { - "name": "label", - "value": "IA-2(5)" - }, - { - "name": "sort-id", - "value": "ia-02.05" - } - ], - "parts": [ - { - "id": "ia-2.5_smt", - "name": "statement", - "prose": "The organization requires individuals to be authenticated with an individual\n authenticator when a group authenticator is employed." - }, - { - "id": "ia-2.5_gdn", - "name": "guidance", - "prose": "Requiring individuals to use individual authenticators as a second level of\n authentication helps organizations to mitigate the risk of using group\n authenticators." - }, - { - "id": "ia-2.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires individuals to be authenticated with an\n individual authenticator when a group authenticator is employed." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authentication capability\n for group accounts" - } - ] - } - ] - }, - { - "id": "ia-2.8", - "class": "SP800-53-enhancement", - "title": "Network Access to Privileged Accounts - Replay Resistant", - "properties": [ - { - "name": "label", - "value": "IA-2(8)" - }, - { - "name": "sort-id", - "value": "ia-02.08" - } - ], - "parts": [ - { - "id": "ia-2.8_smt", - "name": "statement", - "prose": "The information system implements replay-resistant authentication mechanisms for\n network access to privileged accounts." - }, - { - "id": "ia-2.8_gdn", - "name": "guidance", - "prose": "Authentication processes resist replay attacks if it is impractical to achieve\n successful authentications by replaying previous authentication messages.\n Replay-resistant techniques include, for example, protocols that use nonces or\n challenges such as Transport Layer Security (TLS) and time synchronous or\n challenge-response one-time authenticators." - }, - { - "id": "ia-2.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements replay-resistant authentication\n mechanisms for network access to privileged accounts. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing replay resistant\n authentication mechanisms" - } - ] - } - ] - }, - { - "id": "ia-2.11", - "class": "SP800-53-enhancement", - "title": "Remote Access - Separate Device", - "parameters": [ - { - "id": "ia-2.11_prm_1", - "label": "organization-defined strength of mechanism requirements", - "constraints": [ - { - "detail": "FIPS 140-2, NIAP Certification, or NSA approval" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IA-2(11)" - }, - { - "name": "sort-id", - "value": "ia-02.11" - } - ], - "parts": [ - { - "id": "ia-2.11_smt", - "name": "statement", - "prose": "The information system implements multifactor authentication for remote access to\n privileged and non-privileged accounts such that one of the factors is provided by\n a device separate from the system gaining access and the device meets {{ ia-2.11_prm_1 }}.", - "parts": [ - { - "id": "ia-2.11_fr", - "name": "item", - "title": "IA-2 (11) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.11_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials." - } - ] - } - ] - }, - { - "id": "ia-2.11_gdn", - "name": "guidance", - "prose": "For remote access to privileged/non-privileged accounts, the purpose of requiring\n a device that is separate from the information system gaining access for one of\n the factors during multifactor authentication is to reduce the likelihood of\n compromising authentication credentials stored on the system. For example,\n adversaries deploying malicious code on organizational information systems can\n potentially compromise such credentials resident on the system and subsequently\n impersonate authorized users.", - "links": [ - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - } - ] - }, - { - "id": "ia-2.11_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ia-2.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[1]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;" - }, - { - "id": "ia-2.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[2]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to non-privileged accounts such that one of the factors is provided by a device\n separate from the system gaining access;" - }, - { - "id": "ia-2.11_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-2(11)[3]" - } - ], - "prose": "the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to privileged\n accounts;" - }, - { - "id": "ia-2.11_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-2(11)[4]" - } - ], - "prose": "the organization defines strength of mechanism requirements to be enforced by a\n device separate from the system gaining remote access to non-privileged\n accounts;" - }, - { - "id": "ia-2.11_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[5]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements; and" - }, - { - "id": "ia-2.11_obj.6", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(11)[6]" - } - ], - "prose": "the information system implements multifactor authentication for remote access\n to non-privileged accounts such that a device, separate from the system gaining\n access, meets organization-defined strength of mechanism requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of privileged and non-privileged information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-2.12", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials", - "properties": [ - { - "name": "label", - "value": "IA-2(12)" - }, - { - "name": "sort-id", - "value": "ia-02.12" - } - ], - "parts": [ - { - "id": "ia-2.12_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials.", - "parts": [ - { - "id": "ia-2.12_fr", - "name": "item", - "title": "IA-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12." - } - ] - } - ] - }, - { - "id": "ia-2.12_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizations implementing logical access\n control systems (LACS) and physical access control systems (PACS). Personal\n Identity Verification (PIV) credentials are those credentials issued by federal\n agencies that conform to FIPS Publication 201 and supporting guidance documents.\n OMB Memorandum 11-11 requires federal agencies to continue implementing the\n requirements specified in HSPD-12 to enable agency-wide use of PIV\n credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-2.12_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-2.12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(12)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials; and" - }, - { - "id": "ia-2.12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-2(12)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing acceptance and verification\n of PIV credentials" - } - ] - } - ] - } - ] - }, - { - "id": "ia-3", - "class": "SP800-53", - "title": "Device Identification and Authentication", - "parameters": [ - { - "id": "ia-3_prm_1", - "label": "organization-defined specific and/or types of devices" - }, - { - "id": "ia-3_prm_2" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-3" - }, - { - "name": "sort-id", - "value": "ia-03" - } - ], - "parts": [ - { - "id": "ia-3_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates {{ ia-3_prm_1 }} before establishing a {{ ia-3_prm_2 }}\n connection." - }, - { - "id": "ia-3_gdn", - "name": "guidance", - "prose": "Organizational devices requiring unique device-to-device identification and\n authentication may be defined by type, by device, or by a combination of type/device.\n Information systems typically use either shared known information (e.g., Media Access\n Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses)\n for device identification or organizational authentication solutions (e.g., IEEE\n 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport\n Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on\n local and/or wide area networks. Organizations determine the required strength of\n authentication mechanisms by the security categories of information systems. Because\n of the challenges of applying this control on large scale, organizations are\n encouraged to only apply the control to those limited number (and type) of devices\n that truly need to support this capability.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - } - ] - }, - { - "id": "ia-3_obj", - "name": "objective", - "prose": "Determine if: ", - "parts": [ - { - "id": "ia-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1]" - } - ], - "prose": "the organization defines specific and/or types of devices that the information\n system uniquely identifies and authenticates before establishing one or more of\n the following:", - "parts": [ - { - "id": "ia-3_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1][a]" - } - ], - "prose": "a local connection;" - }, - { - "id": "ia-3_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1][b]" - } - ], - "prose": "a remote connection; and/or" - }, - { - "id": "ia-3_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[1][c]" - } - ], - "prose": "a network connection; and" - } - ] - }, - { - "id": "ia-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-3[2]" - } - ], - "prose": "the information system uniquely identifies and authenticates organization-defined\n devices before establishing one or more of the following:", - "parts": [ - { - "id": "ia-3_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[2][a]" - } - ], - "prose": "a local connection;" - }, - { - "id": "ia-3_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[2][b]" - } - ], - "prose": "a remote connection; and/or" - }, - { - "id": "ia-3_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-3[2][c]" - } - ], - "prose": "a network connection." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing device identification and authentication\\n\\ninformation system design documentation\\n\\nlist of devices requiring unique identification and authentication\\n\\ndevice connection reports\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with operational responsibilities for device\n identification and authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing device identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-4", - "class": "SP800-53", - "title": "Identifier Management", - "parameters": [ - { - "id": "ia-4_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ia-4_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "IA-4 (d) [at least two years]" - } - ] - }, - { - "id": "ia-4_prm_3", - "label": "organization-defined time period of inactivity", - "constraints": [ - { - "detail": "ninety days for user identifiers (See additional requirements and guidance)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-4" - }, - { - "name": "sort-id", - "value": "ia-04" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - } - ], - "parts": [ - { - "id": "ia-4_smt", - "name": "statement", - "prose": "The organization manages information system identifiers by:", - "parts": [ - { - "id": "ia-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receiving authorization from {{ ia-4_prm_1 }} to assign an\n individual, group, role, or device identifier;" - }, - { - "id": "ia-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Selecting an identifier that identifies an individual, group, role, or device;" - }, - { - "id": "ia-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Assigning the identifier to the intended individual, group, role, or device;" - }, - { - "id": "ia-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and" - }, - { - "id": "ia-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Disabling the identifier after {{ ia-4_prm_3 }}." - }, - { - "id": "ia-4_fr", - "name": "item", - "title": "IA-4(e) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-4_fr_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines the time period of inactivity for device identifiers." - }, - { - "id": "ia-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx)." - } - ] - } - ] - }, - { - "id": "ia-4_gdn", - "name": "guidance", - "prose": "Common device identifiers include, for example, media access control (MAC), Internet\n protocol (IP) addresses, or device-unique token identifiers. Management of individual\n identifiers is not applicable to shared information system accounts (e.g., guest and\n anonymous accounts). Typically, individual identifiers are the user names of the\n information system accounts assigned to those individuals. In such instances, the\n account management activities of AC-2 use account names provided by IA-4. This\n control also addresses individual identifiers not necessarily associated with\n information system accounts (e.g., identifiers used in physical security control\n databases accessed by badge reader systems for access to information systems).\n Preventing reuse of identifiers implies preventing the assignment of previously used\n individual, group, role, or device identifiers to different individuals, groups,\n roles, or devices.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#sc-37", - "rel": "related", - "text": "SC-37" - } - ] - }, - { - "id": "ia-4_obj", - "name": "objective", - "prose": "Determine if the organization manages information system identifiers by: ", - "parts": [ - { - "id": "ia-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)" - } - ], - "parts": [ - { - "id": "ia-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(a)[1]" - } - ], - "prose": "defining personnel or roles from whom authorization must be received to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[1][d]" - } - ], - "prose": "a device identifier;" - } - ] - }, - { - "id": "ia-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(a)[2]" - } - ], - "prose": "receiving authorization from organization-defined personnel or roles to\n assign:", - "parts": [ - { - "id": "ia-4.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][a]" - } - ], - "prose": "an individual identifier;" - }, - { - "id": "ia-4.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][b]" - } - ], - "prose": "a group identifier;" - }, - { - "id": "ia-4.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][c]" - } - ], - "prose": "a role identifier; and/or" - }, - { - "id": "ia-4.a_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(a)[2][d]" - } - ], - "prose": "a device identifier;" - } - ] - } - ] - }, - { - "id": "ia-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(b)" - } - ], - "prose": "selecting an identifier that identifies:", - "parts": [ - { - "id": "ia-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[1]" - } - ], - "prose": "an individual;" - }, - { - "id": "ia-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[2]" - } - ], - "prose": "a group;" - }, - { - "id": "ia-4.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[3]" - } - ], - "prose": "a role; and/or" - }, - { - "id": "ia-4.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(b)[4]" - } - ], - "prose": "a device;" - } - ] - }, - { - "id": "ia-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(c)" - } - ], - "prose": "assigning the identifier to the intended:", - "parts": [ - { - "id": "ia-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[1]" - } - ], - "prose": "individual;" - }, - { - "id": "ia-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[2]" - } - ], - "prose": "group;" - }, - { - "id": "ia-4.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[3]" - } - ], - "prose": "role; and/or" - }, - { - "id": "ia-4.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(c)[4]" - } - ], - "prose": "device;" - } - ] - }, - { - "id": "ia-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(d)" - } - ], - "parts": [ - { - "id": "ia-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(d)[1]" - } - ], - "prose": "defining a time period for preventing reuse of identifiers;" - }, - { - "id": "ia-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(d)[2]" - } - ], - "prose": "preventing reuse of identifiers for the organization-defined time period;" - } - ] - }, - { - "id": "ia-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-4(e)" - } - ], - "parts": [ - { - "id": "ia-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(e)[1]" - } - ], - "prose": "defining a time period of inactivity to disable the identifier; and" - }, - { - "id": "ia-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(e)[2]" - } - ], - "prose": "disabling the identifier after the organization-defined time period of\n inactivity." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system accounts\\n\\nlist of identifiers generated from physical access control devices\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ], - "controls": [ - { - "id": "ia-4.4", - "class": "SP800-53-enhancement", - "title": "Identify User Status", - "parameters": [ - { - "id": "ia-4.4_prm_1", - "label": "organization-defined characteristic identifying individual status", - "constraints": [ - { - "detail": "contractors; foreign nationals" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "IA-4(4)" - }, - { - "name": "sort-id", - "value": "ia-04.04" - } - ], - "parts": [ - { - "id": "ia-4.4_smt", - "name": "statement", - "prose": "The organization manages individual identifiers by uniquely identifying each\n individual as {{ ia-4.4_prm_1 }}." - }, - { - "id": "ia-4.4_gdn", - "name": "guidance", - "prose": "Characteristics identifying the status of individuals include, for example,\n contractors and foreign nationals. Identifying the status of individuals by\n specific characteristics provides additional information about the people with\n whom organizational personnel are communicating. For example, it might be useful\n for a government employee to know that one of the individuals on an email message\n is a contractor.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - } - ] - }, - { - "id": "ia-4.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-4.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-4(4)[1]" - } - ], - "prose": "defines a characteristic to be used to identify individual status; and" - }, - { - "id": "ia-4.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-4(4)[2]" - } - ], - "prose": "manages individual identifiers by uniquely identifying each individual as the\n organization-defined characteristic identifying individual status." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing identifier management\\n\\nprocedures addressing account management\\n\\nlist of characteristics identifying individual status\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with identifier management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identifier management" - } - ] - } - ] - } - ] - }, - { - "id": "ia-5", - "class": "SP800-53", - "title": "Authenticator Management", - "parameters": [ - { - "id": "ia-5_prm_1", - "label": "organization-defined time period by authenticator type" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-5" - }, - { - "name": "sort-id", - "value": "ia-05" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-5_smt", - "name": "statement", - "prose": "The organization manages information system authenticators by:", - "parts": [ - { - "id": "ia-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifying, as part of the initial authenticator distribution, the identity of the\n individual, group, role, or device receiving the authenticator;" - }, - { - "id": "ia-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Establishing and implementing administrative procedures for initial authenticator\n distribution, for lost/compromised or damaged authenticators, and for revoking\n authenticators;" - }, - { - "id": "ia-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Establishing minimum and maximum lifetime restrictions and reuse conditions for\n authenticators;" - }, - { - "id": "ia-5_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changing/refreshing authenticators {{ ia-5_prm_1 }};" - }, - { - "id": "ia-5_smt.h", - "name": "item", - "properties": [ - { - "name": "label", - "value": "h." - } - ], - "prose": "Protecting authenticator content from unauthorized disclosure and\n modification;" - }, - { - "id": "ia-5_smt.i", - "name": "item", - "properties": [ - { - "name": "label", - "value": "i." - } - ], - "prose": "Requiring individuals to take, and having devices implement, specific security\n safeguards to protect authenticators; and" - }, - { - "id": "ia-5_smt.j", - "name": "item", - "properties": [ - { - "name": "label", - "value": "j." - } - ], - "prose": "Changing authenticators for group/role accounts when membership to those accounts\n changes." - }, - { - "id": "ia-5_fr", - "name": "item", - "title": "IA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3)." - } - ] - } - ] - }, - { - "id": "ia-5_gdn", - "name": "guidance", - "prose": "Individual authenticators include, for example, passwords, tokens, biometrics, PKI\n certificates, and key cards. Initial authenticator content is the actual content\n (e.g., the initial password) as opposed to requirements about authenticator content\n (e.g., minimum password length). In many cases, developers ship information system\n components with factory default authentication credentials to allow for initial\n installation and configuration. Default authentication credentials are often well\n known, easily discoverable, and present a significant security risk. The requirement\n to protect individual authenticators may be implemented via control PL-4 or PS-6 for\n authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28\n for authenticators stored within organizational information systems (e.g., passwords\n stored in hashed or encrypted formats, files containing encrypted or hashed passwords\n accessible with administrator privileges). Information systems support individual\n authenticator management by organization-defined settings and restrictions for\n various authenticator characteristics including, for example, minimum password\n length, password composition, validation time window for time synchronous one-time\n tokens, and number of allowed rejections during the verification stage of biometric\n authentication. Specific actions that can be taken to safeguard authenticators\n include, for example, maintaining possession of individual authenticators, not\n loaning or sharing individual authenticators with others, and reporting lost, stolen,\n or compromised authenticators immediately. Authenticator management includes issuing\n and revoking, when no longer needed, authenticators for temporary access such as that\n required for remote maintenance. Device authenticators include, for example,\n certificates and passwords.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "ia-5_obj", - "name": "objective", - "prose": "Determine if the organization manages information system authenticators by: ", - "parts": [ - { - "id": "ia-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(a)" - } - ], - "prose": "verifying, as part of the initial authenticator distribution, the identity of:", - "parts": [ - { - "id": "ia-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[1]" - } - ], - "prose": "the individual receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[2]" - } - ], - "prose": "the group receiving the authenticator;" - }, - { - "id": "ia-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[3]" - } - ], - "prose": "the role receiving the authenticator; and/or" - }, - { - "id": "ia-5.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(a)[4]" - } - ], - "prose": "the device receiving the authenticator;" - } - ] - }, - { - "id": "ia-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(b)" - } - ], - "prose": "establishing initial authenticator content for authenticators defined by the\n organization;" - }, - { - "id": "ia-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(c)" - } - ], - "prose": "ensuring that authenticators have sufficient strength of mechanism for their\n intended use;" - }, - { - "id": "ia-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(d)" - } - ], - "parts": [ - { - "id": "ia-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[1]" - } - ], - "prose": "establishing and implementing administrative procedures for initial\n authenticator distribution;" - }, - { - "id": "ia-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[2]" - } - ], - "prose": "establishing and implementing administrative procedures for lost/compromised or\n damaged authenticators;" - }, - { - "id": "ia-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(d)[3]" - } - ], - "prose": "establishing and implementing administrative procedures for revoking\n authenticators;" - } - ] - }, - { - "id": "ia-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(e)" - } - ], - "prose": "changing default content of authenticators prior to information system\n installation;" - }, - { - "id": "ia-5.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(f)" - } - ], - "parts": [ - { - "id": "ia-5.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[1]" - } - ], - "prose": "establishing minimum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[2]" - } - ], - "prose": "establishing maximum lifetime restrictions for authenticators;" - }, - { - "id": "ia-5.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(f)[3]" - } - ], - "prose": "establishing reuse conditions for authenticators;" - } - ] - }, - { - "id": "ia-5.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(g)" - } - ], - "parts": [ - { - "id": "ia-5.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(g)[1]" - } - ], - "prose": "defining a time period (by authenticator type) for changing/refreshing\n authenticators;" - }, - { - "id": "ia-5.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(g)[2]" - } - ], - "prose": "changing/refreshing authenticators with the organization-defined time period by\n authenticator type;" - } - ] - }, - { - "id": "ia-5.h_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(h)" - } - ], - "prose": "protecting authenticator content from unauthorized:", - "parts": [ - { - "id": "ia-5.h_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[1]" - } - ], - "prose": "disclosure;" - }, - { - "id": "ia-5.h_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(h)[2]" - } - ], - "prose": "modification;" - } - ] - }, - { - "id": "ia-5.i_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(i)" - } - ], - "parts": [ - { - "id": "ia-5.i_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-5(i)[1]" - } - ], - "prose": "requiring individuals to take specific security safeguards to protect\n authenticators;" - }, - { - "id": "ia-5.i_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(i)[2]" - } - ], - "prose": "having devices implement specific security safeguards to protect\n authenticators; and" - } - ] - }, - { - "id": "ia-5.j_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(j)" - } - ], - "prose": "changing authenticators for group/role accounts when membership to those accounts\n changes." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system authenticator types\\n\\nchange control records associated with managing information system\n authenticators\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-5.1", - "class": "SP800-53-enhancement", - "title": "Password-based Authentication", - "parameters": [ - { - "id": "ia-5.1_prm_1", - "label": "organization-defined requirements for case sensitivity, number of characters,\n mix of upper-case letters, lower-case letters, numbers, and special characters,\n including minimum requirements for each type" - }, - { - "id": "ia-5.1_prm_2", - "label": "organization-defined number", - "constraints": [ - { - "detail": "at least one" - } - ] - }, - { - "id": "ia-5.1_prm_3", - "label": "organization-defined numbers for lifetime minimum, lifetime maximum" - }, - { - "id": "ia-5.1_prm_4", - "label": "organization-defined number", - "constraints": [ - { - "detail": "twenty four (24)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IA-5(1)" - }, - { - "name": "sort-id", - "value": "ia-05.01" - } - ], - "parts": [ - { - "id": "ia-5.1_smt", - "name": "statement", - "prose": "The information system, for password-based authentication:", - "parts": [ - { - "id": "ia-5.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Enforces minimum password complexity of {{ ia-5.1_prm_1 }};" - }, - { - "id": "ia-5.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforces at least the following number of changed characters when new passwords\n are created: {{ ia-5.1_prm_2 }};" - }, - { - "id": "ia-5.1_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Stores and transmits only cryptographically-protected passwords;" - }, - { - "id": "ia-5.1_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }};" - }, - { - "id": "ia-5.1_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Prohibits password reuse for {{ ia-5.1_prm_4 }} generations;\n and" - }, - { - "id": "ia-5.1_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(f)" - } - ], - "prose": "Allows the use of a temporary password for system logons with an immediate\n change to a permanent password." - }, - { - "id": "ia-5.1_fr", - "name": "item", - "title": "IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) (d) Guidance:" - } - ], - "prose": "If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant." - } - ] - } - ] - }, - { - "id": "ia-5.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to single-factor authentication of individuals\n using passwords as individual or group authenticators, and in a similar manner,\n when passwords are part of multifactor authenticators. This control enhancement\n does not apply when passwords are used to unlock hardware authenticators (e.g.,\n Personal Identity Verification cards). The implementation of such password\n mechanisms may not meet all of the requirements in the enhancement.\n Cryptographically-protected passwords include, for example, encrypted versions of\n passwords and one-way cryptographic hashes of passwords. The number of changed\n characters refers to the number of changes required with respect to the total\n number of positions in the current password. Password lifetime restrictions do not\n apply to temporary passwords. To mitigate certain brute force attacks against\n passwords, organizations may also consider salting passwords.", - "links": [ - { - "href": "#ia-6", - "rel": "related", - "text": "IA-6" - } - ] - }, - { - "id": "ia-5.1_obj", - "name": "objective", - "prose": "Determine if, for password-based authentication: ", - "parts": [ - { - "id": "ia-5.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(a)" - } - ], - "parts": [ - { - "id": "ia-5.1.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[1]" - } - ], - "prose": "the organization defines requirements for case sensitivity;" - }, - { - "id": "ia-5.1.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[2]" - } - ], - "prose": "the organization defines requirements for number of characters;" - }, - { - "id": "ia-5.1.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[3]" - } - ], - "prose": "the organization defines requirements for the mix of upper-case letters,\n lower-case letters, numbers and special characters;" - }, - { - "id": "ia-5.1.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(a)[4]" - } - ], - "prose": "the organization defines minimum requirements for each type of\n character;" - }, - { - "id": "ia-5.1.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(a)[5]" - } - ], - "prose": "the information system enforces minimum password complexity of\n organization-defined requirements for case sensitivity, number of\n characters, mix of upper-case letters, lower-case letters, numbers, and\n special characters, including minimum requirements for each type;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.a", - "rel": "corresp", - "text": "IA-5(1)(a)" - } - ] - }, - { - "id": "ia-5.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(b)" - } - ], - "parts": [ - { - "id": "ia-5.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(b)[1]" - } - ], - "prose": "the organization defines a minimum number of changed characters to be\n enforced when new passwords are created;" - }, - { - "id": "ia-5.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(b)[2]" - } - ], - "prose": "the information system enforces at least the organization-defined minimum\n number of characters that must be changed when new passwords are\n created;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.b", - "rel": "corresp", - "text": "IA-5(1)(b)" - } - ] - }, - { - "id": "ia-5.1.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(c)" - } - ], - "prose": "the information system stores and transmits only encrypted representations of\n passwords;", - "links": [ - { - "href": "#ia-5.1_smt.c", - "rel": "corresp", - "text": "IA-5(1)(c)" - } - ] - }, - { - "id": "ia-5.1.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(d)" - } - ], - "parts": [ - { - "id": "ia-5.1.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(d)[1]" - } - ], - "prose": "the organization defines numbers for password minimum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(d)[2]" - } - ], - "prose": "the organization defines numbers for password maximum lifetime restrictions\n to be enforced for passwords;" - }, - { - "id": "ia-5.1.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(d)[3]" - } - ], - "prose": "the information system enforces password minimum lifetime restrictions of\n organization-defined numbers for lifetime minimum;" - }, - { - "id": "ia-5.1.d_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(d)[4]" - } - ], - "prose": "the information system enforces password maximum lifetime restrictions of\n organization-defined numbers for lifetime maximum;" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.d", - "rel": "corresp", - "text": "IA-5(1)(d)" - } - ] - }, - { - "id": "ia-5.1.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(1)(e)" - } - ], - "parts": [ - { - "id": "ia-5.1.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(1)(e)[1]" - } - ], - "prose": "the organization defines the number of password generations to be prohibited\n from password reuse;" - }, - { - "id": "ia-5.1.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(e)[2]" - } - ], - "prose": "the information system prohibits password reuse for the organization-defined\n number of generations; and" - } - ], - "links": [ - { - "href": "#ia-5.1_smt.e", - "rel": "corresp", - "text": "IA-5(1)(e)" - } - ] - }, - { - "id": "ia-5.1.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(1)(f)" - } - ], - "prose": "the information system allows the use of a temporary password for system logons\n with an immediate change to a permanent password.", - "links": [ - { - "href": "#ia-5.1_smt.f", - "rel": "corresp", - "text": "IA-5(1)(f)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\npassword policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\npassword configurations and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based\n authenticator management capability" - } - ] - } - ] - }, - { - "id": "ia-5.2", - "class": "SP800-53-enhancement", - "title": "Pki-based Authentication", - "properties": [ - { - "name": "label", - "value": "IA-5(2)" - }, - { - "name": "sort-id", - "value": "ia-05.02" - } - ], - "parts": [ - { - "id": "ia-5.2_smt", - "name": "statement", - "prose": "The information system, for PKI-based authentication:", - "parts": [ - { - "id": "ia-5.2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Validates certifications by constructing and verifying a certification path to\n an accepted trust anchor including checking certificate status information;" - }, - { - "id": "ia-5.2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Enforces authorized access to the corresponding private key;" - }, - { - "id": "ia-5.2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Maps the authenticated identity to the account of the individual or group;\n and" - }, - { - "id": "ia-5.2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network." - } - ] - }, - { - "id": "ia-5.2_gdn", - "name": "guidance", - "prose": "Status information for certification paths includes, for example, certificate\n revocation lists or certificate status protocol responses. For PIV cards,\n validation of certifications involves the construction and verification of a\n certification path to the Common Policy Root trust anchor including certificate\n policy processing.", - "links": [ - { - "href": "#ia-6", - "rel": "related", - "text": "IA-6" - } - ] - }, - { - "id": "ia-5.2_obj", - "name": "objective", - "prose": "Determine if the information system, for PKI-based authentication: ", - "parts": [ - { - "id": "ia-5.2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(2)(a)" - } - ], - "parts": [ - { - "id": "ia-5.2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(a)[1]" - } - ], - "prose": "validates certifications by constructing a certification path to an accepted\n trust anchor;" - }, - { - "id": "ia-5.2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(a)[2]" - } - ], - "prose": "validates certifications by verifying a certification path to an accepted\n trust anchor;" - }, - { - "id": "ia-5.2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(a)[3]" - } - ], - "prose": "includes checking certificate status information when constructing and\n verifying the certification path;" - } - ], - "links": [ - { - "href": "#ia-5.2_smt.a", - "rel": "corresp", - "text": "IA-5(2)(a)" - } - ] - }, - { - "id": "ia-5.2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(b)" - } - ], - "prose": "enforces authorized access to the corresponding private key;", - "links": [ - { - "href": "#ia-5.2_smt.b", - "rel": "corresp", - "text": "IA-5(2)(b)" - } - ] - }, - { - "id": "ia-5.2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(c)" - } - ], - "prose": "maps the authenticated identity to the account of the individual or group;\n and", - "links": [ - { - "href": "#ia-5.2_smt.c", - "rel": "corresp", - "text": "IA-5(2)(c)" - } - ] - }, - { - "id": "ia-5.2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(2)(d)" - } - ], - "prose": "implements a local cache of revocation data to support path discovery and\n validation in case of inability to access revocation information via the\n network.", - "links": [ - { - "href": "#ia-5.2_smt.d", - "rel": "corresp", - "text": "IA-5(2)(d)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nPKI certification validation records\\n\\nPKI certification revocation lists\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with PKI-based, authenticator management\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing PKI-based, authenticator\n management capability" - } - ] - } - ] - }, - { - "id": "ia-5.3", - "class": "SP800-53-enhancement", - "title": "In-person or Trusted Third-party Registration", - "parameters": [ - { - "id": "ia-5.3_prm_1", - "label": "organization-defined types of and/or specific authenticators", - "constraints": [ - { - "detail": "All hardware/biometric (multifactor authenticators)" - } - ] - }, - { - "id": "ia-5.3_prm_2", - "constraints": [ - { - "detail": "in person" - } - ] - }, - { - "id": "ia-5.3_prm_3", - "label": "organization-defined registration authority" - }, - { - "id": "ia-5.3_prm_4", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(3)" - }, - { - "name": "sort-id", - "value": "ia-05.03" - } - ], - "parts": [ - { - "id": "ia-5.3_smt", - "name": "statement", - "prose": "The organization requires that the registration process to receive {{ ia-5.3_prm_1 }} be conducted {{ ia-5.3_prm_2 }} before\n {{ ia-5.3_prm_3 }} with authorization by {{ ia-5.3_prm_4 }}." - }, - { - "id": "ia-5.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-5.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[1]" - } - ], - "prose": "defines types of and/or specific authenticators to be received in person or by\n a trusted third party;" - }, - { - "id": "ia-5.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[2]" - } - ], - "prose": "defines the registration authority with oversight of the registration process\n for receipt of organization-defined types of and/or specific\n authenticators;" - }, - { - "id": "ia-5.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[3]" - } - ], - "prose": "defines personnel or roles responsible for authorizing organization-defined\n registration authority;" - }, - { - "id": "ia-5.3_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(3)[4]" - } - ], - "prose": "defines if the registration process is to be conducted:", - "parts": [ - { - "id": "ia-5.3_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(3)[4][a]" - } - ], - "prose": "in person; or" - }, - { - "id": "ia-5.3_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(3)[4][b]" - } - ], - "prose": "by a trusted third party; and" - } - ] - }, - { - "id": "ia-5.3_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IA-5(3)[5]" - } - ], - "prose": "requires that the registration process to receive organization-defined types of\n and/or specific authenticators be conducted in person or by a trusted third\n party before organization-defined registration authority with authorization by\n organization-defined personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nregistration process for receiving information system authenticators\\n\\nlist of authenticators requiring in-person registration\\n\\nlist of authenticators requiring trusted third party registration\\n\\nauthenticator registration documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\nregistration authority\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ia-5.4", - "class": "SP800-53-enhancement", - "title": "Automated Support for Password Strength Determination", - "parameters": [ - { - "id": "ia-5.4_prm_1", - "label": "organization-defined requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(4)" - }, - { - "name": "sort-id", - "value": "ia-05.04" - } - ], - "parts": [ - { - "id": "ia-5.4_smt", - "name": "statement", - "prose": "The organization employs automated tools to determine if password authenticators\n are sufficiently strong to satisfy {{ ia-5.4_prm_1 }}.", - "parts": [ - { - "id": "ia-5.4_fr", - "name": "item", - "title": "IA-5 (4) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-5.4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators." - } - ] - } - ] - }, - { - "id": "ia-5.4_gdn", - "name": "guidance", - "prose": "This control enhancement focuses on the creation of strong passwords and the\n characteristics of such passwords (e.g., complexity) prior to use, the enforcement\n of which is carried out by organizational information systems in IA-5 (1).", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "ia-5.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-5.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(4)[1]" - } - ], - "prose": "defines requirements to be satisfied by password authenticators; and" - }, - { - "id": "ia-5.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(4)[2]" - } - ], - "prose": "employs automated tools to determine if password authenticators are\n sufficiently strong to satisfy organization-defined requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nautomated tools for evaluating password authenticators\\n\\npassword strength assessment results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing password-based\n authenticator management capability\\n\\nautomated tools for determining password strength" - } - ] - } - ] - }, - { - "id": "ia-5.6", - "class": "SP800-53-enhancement", - "title": "Protection of Authenticators", - "properties": [ - { - "name": "label", - "value": "IA-5(6)" - }, - { - "name": "sort-id", - "value": "ia-05.06" - } - ], - "parts": [ - { - "id": "ia-5.6_smt", - "name": "statement", - "prose": "The organization protects authenticators commensurate with the security category\n of the information to which use of the authenticator permits access." - }, - { - "id": "ia-5.6_gdn", - "name": "guidance", - "prose": "For information systems containing multiple security categories of information\n without reliable physical or logical separation between categories, authenticators\n used to grant access to the systems are protected commensurate with the highest\n security category of information on the systems." - }, - { - "id": "ia-5.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects authenticators commensurate with the\n security category of the information to which use of the authenticator permits\n access." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity categorization documentation for the information system\\n\\nsecurity assessments of authenticator protections\\n\\nrisk assessment results\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel implementing and/or maintaining authenticator\n protections\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms protecting authenticators" - } - ] - } - ] - }, - { - "id": "ia-5.7", - "class": "SP800-53-enhancement", - "title": "No Embedded Unencrypted Static Authenticators", - "properties": [ - { - "name": "label", - "value": "IA-5(7)" - }, - { - "name": "sort-id", - "value": "ia-05.07" - } - ], - "parts": [ - { - "id": "ia-5.7_smt", - "name": "statement", - "prose": "The organization ensures that unencrypted static authenticators are not embedded\n in applications or access scripts or stored on function keys." - }, - { - "id": "ia-5.7_gdn", - "name": "guidance", - "prose": "Organizations exercise caution in determining whether embedded or stored\n authenticators are in encrypted or unencrypted form. If authenticators are used in\n the manner stored, then those representations are considered unencrypted\n authenticators. This is irrespective of whether that representation is perhaps an\n encrypted version of something else (e.g., a password)." - }, - { - "id": "ia-5.7_obj", - "name": "objective", - "prose": "Determine if the organization ensures that unencrypted static authenticators are\n not: ", - "parts": [ - { - "id": "ia-5.7_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(7)[1]" - } - ], - "prose": "embedded in applications;" - }, - { - "id": "ia-5.7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(7)[2]" - } - ], - "prose": "embedded in access scripts; or" - }, - { - "id": "ia-5.7_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IA-5(7)[3]" - } - ], - "prose": "stored on function keys." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlogical access scripts\\n\\napplication code reviews for detecting unencrypted static authenticators\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing authenticator management\n capability\\n\\nautomated mechanisms implementing authentication in applications" - } - ] - } - ] - }, - { - "id": "ia-5.11", - "class": "SP800-53-enhancement", - "title": "Hardware Token-based Authentication", - "parameters": [ - { - "id": "ia-5.11_prm_1", - "label": "organization-defined token quality requirements" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-5(11)" - }, - { - "name": "sort-id", - "value": "ia-05.11" - } - ], - "parts": [ - { - "id": "ia-5.11_smt", - "name": "statement", - "prose": "The information system, for hardware token-based authentication, employs\n mechanisms that satisfy {{ ia-5.11_prm_1 }}." - }, - { - "id": "ia-5.11_gdn", - "name": "guidance", - "prose": "Hardware token-based authentication typically refers to the use of PKI-based\n tokens, such as the U.S. Government Personal Identity Verification (PIV) card.\n Organizations define specific requirements for tokens, such as working with a\n particular PKI." - }, - { - "id": "ia-5.11_obj", - "name": "objective", - "prose": "Determine if, for hardware token-based authentication: ", - "parts": [ - { - "id": "ia-5.11_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-5(11)[1]" - } - ], - "prose": "the organization defines token quality requirements to be satisfied; and" - }, - { - "id": "ia-5.11_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-5(11)[2]" - } - ], - "prose": "the information system employs mechanisms that satisfy organization-defined\n token quality requirements." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator management\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\nautomated mechanisms employing hardware token-based authentication for the\n information system\\n\\nlist of token quality requirements\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with authenticator management responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing hardware token-based\n authenticator management capability" - } - ] - } - ] - } - ] - }, - { - "id": "ia-6", - "class": "SP800-53", - "title": "Authenticator Feedback", - "properties": [ - { - "name": "label", - "value": "IA-6" - }, - { - "name": "sort-id", - "value": "ia-06" - } - ], - "parts": [ - { - "id": "ia-6_smt", - "name": "statement", - "prose": "The information system obscures feedback of authentication information during the\n authentication process to protect the information from possible exploitation/use by\n unauthorized individuals." - }, - { - "id": "ia-6_gdn", - "name": "guidance", - "prose": "The feedback from information systems does not provide information that would allow\n unauthorized individuals to compromise authentication mechanisms. For some types of\n information systems or system components, for example, desktops/notebooks with\n relatively large monitors, the threat (often referred to as shoulder surfing) may be\n significant. For other types of systems or components, for example, mobile devices\n with 2-4 inch screens, this threat may be less significant, and may need to be\n balanced against the increased likelihood of typographic input errors due to the\n small keyboards. Therefore, the means for obscuring the authenticator feedback is\n selected accordingly. Obscuring the feedback of authentication information includes,\n for example, displaying asterisks when users type passwords into input devices, or\n displaying feedback for a very limited time before fully obscuring it.", - "links": [ - { - "href": "#pe-18", - "rel": "related", - "text": "PE-18" - } - ] - }, - { - "id": "ia-6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system obscures feedback of authentication information\n during the authentication process to protect the information from possible\n exploitation/use by unauthorized individuals." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing authenticator feedback\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the obscuring of feedback of\n authentication information during authentication" - } - ] - } - ] - }, - { - "id": "ia-7", - "class": "SP800-53", - "title": "Cryptographic Module Authentication", - "properties": [ - { - "name": "label", - "value": "IA-7" - }, - { - "name": "sort-id", - "value": "ia-07" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#b09d1a31-d3c9-4138-a4f4-4c63816afd7d", - "rel": "reference", - "text": "http://csrc.nist.gov/groups/STM/cmvp/index.html" - } - ], - "parts": [ - { - "id": "ia-7_smt", - "name": "statement", - "prose": "The information system implements mechanisms for authentication to a cryptographic\n module that meet the requirements of applicable federal laws, Executive Orders,\n directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "id": "ia-7_gdn", - "name": "guidance", - "prose": "Authentication mechanisms may be required within a cryptographic module to\n authenticate an operator accessing the module and to verify that the operator is\n authorized to assume the requested role and perform services within that role.", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "ia-7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements mechanisms for authentication to a\n cryptographic module that meet the requirements of applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance for such\n authentication." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing cryptographic module authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for cryptographic module\n authentication\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic module\n authentication" - } - ] - } - ] - }, - { - "id": "ia-8", - "class": "SP800-53", - "title": "Identification and Authentication (non-organizational Users)", - "properties": [ - { - "name": "label", - "value": "IA-8" - }, - { - "name": "sort-id", - "value": "ia-08" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#74e740a4-c45d-49f3-a86e-eb747c549e01", - "rel": "reference", - "text": "OMB Memorandum 11-11" - }, - { - "href": "#599fe9ba-4750-4450-9eeb-b95bd19a5e8f", - "rel": "reference", - "text": "OMB Memorandum 10-06-2011" - }, - { - "href": "#ba557c91-ba3e-4792-adc6-a4ae479b39ff", - "rel": "reference", - "text": "FICAM Roadmap and Implementation Guidance" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#654f21e2-f3bc-43b2-abdc-60ab8d09744b", - "rel": "reference", - "text": "National Strategy for Trusted Identities in\n Cyberspace" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ia-8_smt", - "name": "statement", - "prose": "The information system uniquely identifies and authenticates non-organizational users\n (or processes acting on behalf of non-organizational users)." - }, - { - "id": "ia-8_gdn", - "name": "guidance", - "prose": "Non-organizational users include information system users other than organizational\n users explicitly covered by IA-2. These individuals are uniquely identified and\n authenticated for accesses other than those accesses explicitly identified and\n documented in AC-14. In accordance with the E-Authentication E-Government initiative,\n authentication of non-organizational users accessing federal information systems may\n be required to protect federal, proprietary, or privacy-related information (with\n exceptions noted for national security systems). Organizations use risk assessments\n to determine authentication needs and consider scalability, practicality, and\n security in balancing the need to ensure ease of use for access to federal\n information and information systems with the need to protect and adequately mitigate\n risk. IA-2 addresses identification and authentication requirements for access to\n information systems by organizational users.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "ia-8_obj", - "name": "objective", - "prose": "Determine if the information system uniquely identifies and authenticates\n non-organizational users (or processes acting on behalf of non-organizational\n users)." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of information system accounts\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ], - "controls": [ - { - "id": "ia-8.1", - "class": "SP800-53-enhancement", - "title": "Acceptance of PIV Credentials from Other Agencies", - "properties": [ - { - "name": "label", - "value": "IA-8(1)" - }, - { - "name": "sort-id", - "value": "ia-08.01" - } - ], - "parts": [ - { - "id": "ia-8.1_smt", - "name": "statement", - "prose": "The information system accepts and electronically verifies Personal Identity\n Verification (PIV) credentials from other federal agencies." - }, - { - "id": "ia-8.1_gdn", - "name": "guidance", - "prose": "This control enhancement applies to logical access control systems (LACS) and\n physical access control systems (PACS). Personal Identity Verification (PIV)\n credentials are those credentials issued by federal agencies that conform to FIPS\n Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires\n federal agencies to continue implementing the requirements specified in HSPD-12 to\n enable agency-wide use of PIV credentials.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.1_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "ia-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(1)[1]" - } - ], - "prose": "accepts Personal Identity Verification (PIV) credentials from other agencies;\n and" - }, - { - "id": "ia-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(1)[2]" - } - ], - "prose": "electronically verifies Personal Identity Verification (PIV) credentials from\n other agencies." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nPIV verification records\\n\\nevidence of PIV credentials\\n\\nPIV credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept and verify PIV credentials" - } - ] - } - ] - }, - { - "id": "ia-8.2", - "class": "SP800-53-enhancement", - "title": "Acceptance of Third-party Credentials", - "properties": [ - { - "name": "label", - "value": "IA-8(2)" - }, - { - "name": "sort-id", - "value": "ia-08.02" - } - ], - "parts": [ - { - "id": "ia-8.2_smt", - "name": "statement", - "prose": "The information system accepts only FICAM-approved third-party credentials." - }, - { - "id": "ia-8.2_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to organizational information systems\n that are accessible to the general public, for example, public-facing websites.\n Third-party credentials are those credentials issued by nonfederal government\n entities approved by the Federal Identity, Credential, and Access Management\n (FICAM) Trust Framework Solutions initiative. Approved third-party credentials\n meet or exceed the set of minimum federal government-wide technical, security,\n privacy, and organizational maturity requirements. This allows federal government\n relying parties to trust such credentials at their approved assurance levels.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "ia-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system accepts only FICAM-approved third-party\n credentials. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nprocedures addressing user identification and authentication\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-approved, third-party credentialing products, components, or\n services procured and implemented by organization\\n\\nthird-party credential verification records\\n\\nevidence of FICAM-approved third-party credentials\\n\\nthird-party credential authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms that accept FICAM-approved credentials" - } - ] - } - ] - }, - { - "id": "ia-8.3", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-approved Products", - "parameters": [ - { - "id": "ia-8.3_prm_1", - "label": "organization-defined information systems" - } - ], - "properties": [ - { - "name": "label", - "value": "IA-8(3)" - }, - { - "name": "sort-id", - "value": "ia-08.03" - } - ], - "parts": [ - { - "id": "ia-8.3_smt", - "name": "statement", - "prose": "The organization employs only FICAM-approved information system components in\n {{ ia-8.3_prm_1 }} to accept third-party credentials." - }, - { - "id": "ia-8.3_gdn", - "name": "guidance", - "prose": "This control enhancement typically applies to information systems that are\n accessible to the general public, for example, public-facing websites.\n FICAM-approved information system components include, for example, information\n technology products and software libraries that have been approved by the Federal\n Identity, Credential, and Access Management conformance program.", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ia-8.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IA-8(3)[1]" - } - ], - "prose": "defines information systems in which only FICAM-approved information system\n components are to be employed to accept third-party credentials; and" - }, - { - "id": "ia-8.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IA-8(3)[2]" - } - ], - "prose": "employs only FICAM-approved information system components in\n organization-defined information systems to accept third-party credentials." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nthird-party credential validations\\n\\nthird-party credential authorizations\\n\\nthird-party credential records\\n\\nlist of FICAM-approved information system components procured and implemented\n by organization\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information system security, acquisition, and\n contracting responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability" - } - ] - } - ] - }, - { - "id": "ia-8.4", - "class": "SP800-53-enhancement", - "title": "Use of Ficam-issued Profiles", - "properties": [ - { - "name": "label", - "value": "IA-8(4)" - }, - { - "name": "sort-id", - "value": "ia-08.04" - } - ], - "parts": [ - { - "id": "ia-8.4_smt", - "name": "statement", - "prose": "The information system conforms to FICAM-issued profiles." - }, - { - "id": "ia-8.4_gdn", - "name": "guidance", - "prose": "This control enhancement addresses open identity management standards. To ensure\n that these standards are viable, robust, reliable, sustainable (e.g., available in\n commercial information technology products), and interoperable as documented, the\n United States Government assesses and scopes identity management standards and\n technology implementations against applicable federal legislation, directives,\n policies, and requirements. The result is FICAM-issued implementation profiles of\n approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and\n OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute\n Exchange).", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "ia-8.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system conforms to FICAM-issued profiles. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Identification and authentication policy\\n\\nsystem and services acquisition policy\\n\\nprocedures addressing user identification and authentication\\n\\nprocedures addressing the integration of security requirements into the\n acquisition process\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FICAM-issued profiles and associated, approved protocols\\n\\nacquisition documentation\\n\\nacquisition contracts for information system procurements or services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system operations\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developers\\n\\norganizational personnel with account management responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing identification and\n authentication capability\\n\\nautomated mechanisms supporting and/or implementing conformance with\n FICAM-issued profiles" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ir", - "class": "family", - "title": "Incident Response", - "controls": [ - { - "id": "ir-1", - "class": "SP800-53", - "title": "Incident Response Policy and Procedures", - "parameters": [ - { - "id": "ir-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ir-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-1" - }, - { - "name": "sort-id", - "value": "ir-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ir-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ir-1_prm_1 }}:", - "parts": [ - { - "id": "ir-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "An incident response policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ir-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the incident response policy and\n associated incident response controls; and" - } - ] - }, - { - "id": "ir-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ir-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Incident response policy {{ ir-1_prm_2 }}; and" - }, - { - "id": "ir-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Incident response procedures {{ ir-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ir-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the IR\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ir-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)" - } - ], - "parts": [ - { - "id": "ir-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(1)[1]" - } - ], - "prose": "develops and documents an incident response policy that addresses:", - "parts": [ - { - "id": "ir-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ir-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ir-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ir-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ir-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ir-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ir-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ir-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the incident response policy is to be\n disseminated;" - }, - { - "id": "ir-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-1(a)(1)[3]" - } - ], - "prose": "disseminates the incident response policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ir-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(a)(2)" - } - ], - "parts": [ - { - "id": "ir-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n incident response policy and associated incident response controls;" - }, - { - "id": "ir-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ir-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(1)" - } - ], - "parts": [ - { - "id": "ir-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n policy;" - }, - { - "id": "ir-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current incident response policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ir-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-1(b)(2)" - } - ], - "parts": [ - { - "id": "ir-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current incident response\n procedures; and" - }, - { - "id": "ir-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current incident response procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-2", - "class": "SP800-53", - "title": "Incident Response Training", - "parameters": [ - { - "id": "ir-2_prm_1", - "label": "organization-defined time period" - }, - { - "id": "ir-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-2" - }, - { - "name": "sort-id", - "value": "ir-02" - } - ], - "links": [ - { - "href": "#825438c3-248d-4e30-a51e-246473ce6ada", - "rel": "reference", - "text": "NIST Special Publication 800-16" - }, - { - "href": "#e12b5738-de74-4fb3-8317-a3995a8a1898", - "rel": "reference", - "text": "NIST Special Publication 800-50" - } - ], - "parts": [ - { - "id": "ir-2_smt", - "name": "statement", - "prose": "The organization provides incident response training to information system users\n consistent with assigned roles and responsibilities:", - "parts": [ - { - "id": "ir-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Within {{ ir-2_prm_1 }} of assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "When required by information system changes; and" - }, - { - "id": "ir-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "\n {{ ir-2_prm_2 }} thereafter." - } - ] - }, - { - "id": "ir-2_gdn", - "name": "guidance", - "prose": "Incident response training provided by organizations is linked to the assigned roles\n and responsibilities of organizational personnel to ensure the appropriate content\n and level of detail is included in such training. For example, regular users may only\n need to know who to call or how to recognize an incident on the information system;\n system administrators may require additional training on how to handle/remediate\n incidents; and incident responders may receive more specific training on forensics,\n reporting, system recovery, and restoration. Incident response training includes user\n training in the identification and reporting of suspicious activities, both from\n external and internal sources.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-3", - "rel": "related", - "text": "CP-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(a)" - } - ], - "parts": [ - { - "id": "ir-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-2(a)[1]" - } - ], - "prose": "defines a time period within which incident response training is to be provided\n to information system users assuming an incident response role or\n responsibility;" - }, - { - "id": "ir-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(a)[2]" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities within the organization-defined time period\n of assuming an incident response role or responsibility;" - } - ] - }, - { - "id": "ir-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(b)" - } - ], - "prose": "provides incident response training to information system users consistent with\n assigned roles and responsibilities when required by information system\n changes;" - }, - { - "id": "ir-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-2(c)" - } - ], - "parts": [ - { - "id": "ir-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-2(c)[1]" - } - ], - "prose": "defines the frequency to provide refresher incident response training to\n information system users consistent with assigned roles or responsibilities;\n and" - }, - { - "id": "ir-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-2(c)[2]" - } - ], - "prose": "after the initial incident response training, provides refresher incident\n response training to information system users consistent with assigned roles\n and responsibilities in accordance with the organization-defined frequency to\n provide refresher training." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response training\\n\\nincident response training curriculum\\n\\nincident response training materials\\n\\nsecurity plan\\n\\nincident response plan\\n\\nsecurity plan\\n\\nincident response training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training and operational\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-3", - "class": "SP800-53", - "title": "Incident Response Testing", - "parameters": [ - { - "id": "ir-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ir-3_prm_2", - "label": "organization-defined tests", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-3" - }, - { - "name": "sort-id", - "value": "ir-03" - } - ], - "links": [ - { - "href": "#0243a05a-e8a3-4d51-9364-4a9d20b0dcdf", - "rel": "reference", - "text": "NIST Special Publication 800-84" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - } - ], - "parts": [ - { - "id": "ir-3_smt", - "name": "statement", - "prose": "The organization tests the incident response capability for the information system\n {{ ir-3_prm_1 }} using {{ ir-3_prm_2 }} to determine\n the incident response effectiveness and documents the results.", - "parts": [ - { - "id": "ir-3_fr", - "name": "item", - "title": "IR-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-3_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "IR-3 -2 Requirement:" - } - ], - "prose": "The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing." - } - ] - } - ] - }, - { - "id": "ir-3_gdn", - "name": "guidance", - "prose": "Organizations test incident response capabilities to determine the overall\n effectiveness of the capabilities and to identify potential weaknesses or\n deficiencies. Incident response testing includes, for example, the use of checklists,\n walk-through or tabletop exercises, simulations (parallel/full interrupt), and\n comprehensive exercises. Incident response testing can also include a determination\n of the effects on organizational operations (e.g., reduction in mission\n capabilities), organizational assets, and individuals due to incident response.", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-3[1]" - } - ], - "prose": "defines incident response tests to test the incident response capability for the\n information system;" - }, - { - "id": "ir-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-3[2]" - } - ], - "prose": "defines the frequency to test the incident response capability for the information\n system; and" - }, - { - "id": "ir-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-3[3]" - } - ], - "prose": "tests the incident response capability for the information system with the\n organization-defined frequency, using organization-defined tests to determine the\n incident response effectiveness and documents the results." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nprocedures addressing contingency plan testing\\n\\nincident response testing material\\n\\nincident response test results\\n\\nincident response test plan\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ], - "controls": [ - { - "id": "ir-3.2", - "class": "SP800-53-enhancement", - "title": "Coordination with Related Plans", - "properties": [ - { - "name": "label", - "value": "IR-3(2)" - }, - { - "name": "sort-id", - "value": "ir-03.02" - } - ], - "parts": [ - { - "id": "ir-3.2_smt", - "name": "statement", - "prose": "The organization coordinates incident response testing with organizational\n elements responsible for related plans." - }, - { - "id": "ir-3.2_gdn", - "name": "guidance", - "prose": "Organizational plans related to incident response testing include, for example,\n Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity\n of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans,\n and Occupant Emergency Plans." - }, - { - "id": "ir-3.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ], - "prose": "Determine if the organization coordinates incident response testing with\n organizational elements responsible for related plans. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident response testing\\n\\nincident response testing documentation\\n\\nincident response plan\\n\\nbusiness continuity plans\\n\\ncontingency plans\\n\\ndisaster recovery plans\\n\\ncontinuity of operations plans\\n\\ncrisis communications plans\\n\\ncritical infrastructure plans\\n\\noccupant emergency plans\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response testing responsibilities\\n\\norganizational personnel with responsibilities for testing organizational plans\n related to incident response testing\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-4", - "class": "SP800-53", - "title": "Incident Handling", - "properties": [ - { - "name": "label", - "value": "IR-4" - }, - { - "name": "sort-id", - "value": "ir-04" - } - ], - "links": [ - { - "href": "#c5034e0c-eba6-4ecd-a541-79f0678f4ba4", - "rel": "reference", - "text": "Executive Order 13587" - }, - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Implements an incident handling capability for security incidents that includes\n preparation, detection and analysis, containment, eradication, and recovery;" - }, - { - "id": "ir-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Coordinates incident handling activities with contingency planning activities;\n and" - }, - { - "id": "ir-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Incorporates lessons learned from ongoing incident handling activities into\n incident response procedures, training, and testing, and implements the resulting\n changes accordingly." - }, - { - "id": "ir-4_fr", - "name": "item", - "title": "IR-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-4_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system." - } - ] - } - ] - }, - { - "id": "ir-4_gdn", - "name": "guidance", - "prose": "Organizations recognize that incident response capability is dependent on the\n capabilities of organizational information systems and the mission/business processes\n being supported by those systems. Therefore, organizations consider incident response\n as part of the definition, design, and development of mission/business processes and\n information systems. Incident-related information can be obtained from a variety of\n sources including, for example, audit monitoring, network monitoring, physical access\n monitoring, user/administrator reports, and reported supply chain events. Effective\n incident handling capability includes coordination among many organizational entities\n including, for example, mission/business owners, information system owners,\n authorizing officials, human resources offices, physical and personnel security\n offices, legal departments, operations personnel, procurement offices, and the risk\n executive (function).", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-2", - "rel": "related", - "text": "IR-2" - }, - { - "href": "#ir-3", - "rel": "related", - "text": "IR-3" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(a)" - } - ], - "prose": "implements an incident handling capability for security incidents that\n includes:", - "parts": [ - { - "id": "ir-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[1]" - } - ], - "prose": "preparation;" - }, - { - "id": "ir-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[2]" - } - ], - "prose": "detection and analysis;" - }, - { - "id": "ir-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[3]" - } - ], - "prose": "containment;" - }, - { - "id": "ir-4.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[4]" - } - ], - "prose": "eradication;" - }, - { - "id": "ir-4.a_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(a)[5]" - } - ], - "prose": "recovery;" - } - ] - }, - { - "id": "ir-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-4(b)" - } - ], - "prose": "coordinates incident handling activities with contingency planning activities;" - }, - { - "id": "ir-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)" - } - ], - "parts": [ - { - "id": "ir-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-4(c)[1]" - } - ], - "prose": "incorporates lessons learned from ongoing incident handling activities\n into:", - "parts": [ - { - "id": "ir-4.c_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][b]" - } - ], - "prose": "training;" - }, - { - "id": "ir-4.c_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[1][c]" - } - ], - "prose": "testing/exercises;" - } - ] - }, - { - "id": "ir-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-4(c)[2]" - } - ], - "prose": "implements the resulting changes accordingly to:", - "parts": [ - { - "id": "ir-4.c_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][a]" - } - ], - "prose": "incident response procedures;" - }, - { - "id": "ir-4.c_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][b]" - } - ], - "prose": "training; and" - }, - { - "id": "ir-4.c_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-4(c)[2][c]" - } - ], - "prose": "testing/exercises." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\ncontingency planning policy\\n\\nprocedures addressing incident handling\\n\\nincident response plan\\n\\ncontingency plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with contingency planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident handling capability for the organization" - } - ] - } - ], - "controls": [ - { - "id": "ir-4.1", - "class": "SP800-53-enhancement", - "title": "Automated Incident Handling Processes", - "properties": [ - { - "name": "label", - "value": "IR-4(1)" - }, - { - "name": "sort-id", - "value": "ir-04.01" - } - ], - "parts": [ - { - "id": "ir-4.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to support the incident handling\n process." - }, - { - "id": "ir-4.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms supporting incident handling processes include, for example,\n online incident management systems." - }, - { - "id": "ir-4.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to support the incident\n handling process. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nautomated mechanisms supporting incident handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident handling responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms that support and/or implement the incident handling\n process" - } - ] - } - ] - } - ] - }, - { - "id": "ir-5", - "class": "SP800-53", - "title": "Incident Monitoring", - "properties": [ - { - "name": "label", - "value": "IR-5" - }, - { - "name": "sort-id", - "value": "ir-05" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-5_smt", - "name": "statement", - "prose": "The organization tracks and documents information system security incidents." - }, - { - "id": "ir-5_gdn", - "name": "guidance", - "prose": "Documenting information system security incidents includes, for example, maintaining\n records about each incident, the status of the incident, and other pertinent\n information necessary for forensics, evaluating incident details, trends, and\n handling. Incident information can be obtained from a variety of sources including,\n for example, incident reports, incident response teams, audit monitoring, network\n monitoring, physical access monitoring, and user/administrator reports.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ir-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-5[1]" - } - ], - "prose": "tracks information system security incidents; and" - }, - { - "id": "ir-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-5[2]" - } - ], - "prose": "documents information system security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident monitoring\\n\\nincident response records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident monitoring responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident monitoring capability for the organization\\n\\nautomated mechanisms supporting and/or implementing tracking and documenting of\n system security incidents" - } - ] - } - ] - }, - { - "id": "ir-6", - "class": "SP800-53", - "title": "Incident Reporting", - "parameters": [ - { - "id": "ir-6_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - { - "id": "ir-6_prm_2", - "label": "organization-defined authorities" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-6" - }, - { - "name": "sort-id", - "value": "ir-06" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#02631467-668b-4233-989b-3dfded2fd184", - "rel": "reference", - "text": "http://www.us-cert.gov" - } - ], - "parts": [ - { - "id": "ir-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires personnel to report suspected security incidents to the organizational\n incident response capability within {{ ir-6_prm_1 }}; and" - }, - { - "id": "ir-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reports security incident information to {{ ir-6_prm_2 }}." - }, - { - "id": "ir-6_fr", - "name": "item", - "title": "IR-6 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Report security incident information according to FedRAMP Incident Communications Procedure." - } - ] - } - ] - }, - { - "id": "ir-6_gdn", - "name": "guidance", - "prose": "The intent of this control is to address both specific incident reporting\n requirements within an organization and the formal incident reporting requirements\n for federal agencies and their subordinate organizations. Suspected security\n incidents include, for example, the receipt of suspicious email communications that\n can potentially contain malicious code. The types of security incidents reported, the\n content and timeliness of the reports, and the designated reporting authorities\n reflect applicable federal laws, Executive Orders, directives, regulations, policies,\n standards, and guidance. Current federal policy requires that all federal agencies\n (unless specifically exempted from such requirements) report security incidents to\n the United States Computer Emergency Readiness Team (US-CERT) within specified time\n frames designated in the US-CERT Concept of Operations for Federal Cyber Security\n Incident Handling.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "ir-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(a)" - } - ], - "parts": [ - { - "id": "ir-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-6(a)[1]" - } - ], - "prose": "defines the time period within which personnel report suspected security\n incidents to the organizational incident response capability;" - }, - { - "id": "ir-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-6(a)[2]" - } - ], - "prose": "requires personnel to report suspected security incidents to the organizational\n incident response capability within the organization-defined time period;" - } - ] - }, - { - "id": "ir-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-6(b)" - } - ], - "parts": [ - { - "id": "ir-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-6(b)[1]" - } - ], - "prose": "defines authorities to whom security incident information is to be reported;\n and" - }, - { - "id": "ir-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-6(b)[2]" - } - ], - "prose": "reports security incident information to organization-defined authorities." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nincident reporting records and documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\npersonnel who have/should have reported incidents\\n\\npersonnel (authorities) to whom incident information is to be reported" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing incident reporting" - } - ] - } - ], - "controls": [ - { - "id": "ir-6.1", - "class": "SP800-53-enhancement", - "title": "Automated Reporting", - "properties": [ - { - "name": "label", - "value": "IR-6(1)" - }, - { - "name": "sort-id", - "value": "ir-06.01" - } - ], - "parts": [ - { - "id": "ir-6.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to assist in the reporting of\n security incidents." - }, - { - "id": "ir-6.1_gdn", - "name": "guidance", - "links": [ - { - "href": "#ir-7", - "rel": "related", - "text": "IR-7" - } - ] - }, - { - "id": "ir-6.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to assist in the\n reporting of security incidents." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident reporting\\n\\nautomated mechanisms supporting incident reporting\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident reporting responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident reporting\\n\\nautomated mechanisms supporting and/or implementing reporting of security\n incidents" - } - ] - } - ] - } - ] - }, - { - "id": "ir-7", - "class": "SP800-53", - "title": "Incident Response Assistance", - "properties": [ - { - "name": "label", - "value": "IR-7" - }, - { - "name": "sort-id", - "value": "ir-07" - } - ], - "parts": [ - { - "id": "ir-7_smt", - "name": "statement", - "prose": "The organization provides an incident response support resource, integral to the\n organizational incident response capability that offers advice and assistance to\n users of the information system for the handling and reporting of security\n incidents." - }, - { - "id": "ir-7_gdn", - "name": "guidance", - "prose": "Incident response support resources provided by organizations include, for example,\n help desks, assistance groups, and access to forensics services, when required.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-6", - "rel": "related", - "text": "IR-6" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "ir-7_obj", - "name": "objective", - "prose": "Determine if the organization provides an incident response support resource:", - "parts": [ - { - "id": "ir-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[1]" - } - ], - "prose": "that is integral to the organizational incident response capability; and" - }, - { - "id": "ir-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-7[2]" - } - ], - "prose": "that offers advice and assistance to users of the information system for the\n handling and reporting of security incidents." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response assistance and support\n responsibilities\\n\\norganizational personnel with access to incident response support and assistance\n capability\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing incident response\n assistance" - } - ] - } - ], - "controls": [ - { - "id": "ir-7.1", - "class": "SP800-53-enhancement", - "title": "Automation Support for Availability of Information / Support", - "properties": [ - { - "name": "label", - "value": "IR-7(1)" - }, - { - "name": "sort-id", - "value": "ir-07.01" - } - ], - "parts": [ - { - "id": "ir-7.1_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to increase the availability of\n incident response-related information and support." - }, - { - "id": "ir-7.1_gdn", - "name": "guidance", - "prose": "Automated mechanisms can provide a push and/or pull capability for users to obtain\n incident response assistance. For example, individuals might have access to a\n website to query the assistance capability, or conversely, the assistance\n capability may have the ability to proactively send information to users (general\n distribution or targeted) as part of increasing understanding of current response\n capabilities and support." - }, - { - "id": "ir-7.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to increase the\n availability of incident response-related information and support." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nautomated mechanisms supporting incident response support and assistance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance\n responsibilities\\n\\norganizational personnel with access to incident response support and\n assistance capability\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incident response assistance\\n\\nautomated mechanisms supporting and/or implementing an increase in the\n availability of incident response information and support" - } - ] - } - ] - }, - { - "id": "ir-7.2", - "class": "SP800-53-enhancement", - "title": "Coordination with External Providers", - "properties": [ - { - "name": "label", - "value": "IR-7(2)" - }, - { - "name": "sort-id", - "value": "ir-07.02" - } - ], - "parts": [ - { - "id": "ir-7.2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-7.2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and" - }, - { - "id": "ir-7.2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Identifies organizational incident response team members to the external\n providers." - } - ] - }, - { - "id": "ir-7.2_gdn", - "name": "guidance", - "prose": "External providers of information system protection capability include, for\n example, the Computer Network Defense program within the U.S. Department of\n Defense. External providers help to protect, monitor, analyze, detect, and respond\n to unauthorized activity within organizational information systems and\n networks." - }, - { - "id": "ir-7.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-7.2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-7(2)(a)" - } - ], - "prose": "establishes a direct, cooperative relationship between its incident response\n capability and external providers of information system protection capability;\n and", - "links": [ - { - "href": "#ir-7.2_smt.a", - "rel": "corresp", - "text": "IR-7(2)(a)" - } - ] - }, - { - "id": "ir-7.2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-7(2)(b)" - } - ], - "prose": "identifies organizational incident response team members to the external\n providers.", - "links": [ - { - "href": "#ir-7.2_smt.b", - "rel": "corresp", - "text": "IR-7(2)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response assistance\\n\\nincident response plan\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response support and assistance\n responsibilities\\n\\nexternal providers of information system protection capability\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ir-8", - "class": "SP800-53", - "title": "Incident Response Plan", - "parameters": [ - { - "id": "ir-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-8_prm_2", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - { - "id": "ir-8_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ir-8_prm_4", - "label": "organization-defined incident response personnel (identified by name and/or by\n role) and organizational elements", - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-8" - }, - { - "name": "sort-id", - "value": "ir-08" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - } - ], - "parts": [ - { - "id": "ir-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ir-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops an incident response plan that:", - "parts": [ - { - "id": "ir-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Meets the unique requirements of the organization, which relate to mission,\n size, structure, and functions;" - }, - { - "id": "ir-8_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Defines reportable incidents;" - }, - { - "id": "ir-8_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Defines the resources and management support needed to effectively maintain and\n mature an incident response capability; and" - }, - { - "id": "ir-8_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Is reviewed and approved by {{ ir-8_prm_1 }};" - } - ] - }, - { - "id": "ir-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the incident response plan to {{ ir-8_prm_2 }};" - }, - { - "id": "ir-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the incident response plan {{ ir-8_prm_3 }};" - }, - { - "id": "ir-8_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the incident response plan to address system/organizational changes or\n problems encountered during plan implementation, execution, or testing;" - }, - { - "id": "ir-8_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Communicates incident response plan changes to {{ ir-8_prm_4 }};\n and" - }, - { - "id": "ir-8_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Protects the incident response plan from unauthorized disclosure and\n modification." - }, - { - "id": "ir-8_fr", - "name": "item", - "title": "IR-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ir-8_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b) Requirement:" - } - ], - "prose": "The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel." - }, - { - "id": "ir-8_fr_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e) Requirement:" - } - ], - "prose": "The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel." - } - ] - } - ] - }, - { - "id": "ir-8_gdn", - "name": "guidance", - "prose": "It is important that organizations develop and implement a coordinated approach to\n incident response. Organizational missions, business functions, strategies, goals,\n and objectives for incident response help to determine the structure of incident\n response capabilities. As part of a comprehensive incident response capability,\n organizations consider the coordination and sharing of information with external\n organizations, including, for example, external service providers and organizations\n involved in the supply chain for organizational information systems.", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - } - ] - }, - { - "id": "ir-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)" - } - ], - "prose": "develops an incident response plan that:", - "parts": [ - { - "id": "ir-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(1)" - } - ], - "prose": "provides the organization with a roadmap for implementing its incident response\n capability;" - }, - { - "id": "ir-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(2)" - } - ], - "prose": "describes the structure and organization of the incident response\n capability;" - }, - { - "id": "ir-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(3)" - } - ], - "prose": "provides a high-level approach for how the incident response capability fits\n into the overall organization;" - }, - { - "id": "ir-8.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(4)" - } - ], - "prose": "meets the unique requirements of the organization, which relate to:", - "parts": [ - { - "id": "ir-8.a.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[1]" - } - ], - "prose": "mission;" - }, - { - "id": "ir-8.a.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[2]" - } - ], - "prose": "size;" - }, - { - "id": "ir-8.a.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[3]" - } - ], - "prose": "structure;" - }, - { - "id": "ir-8.a.4_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(4)[4]" - } - ], - "prose": "functions;" - } - ] - }, - { - "id": "ir-8.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(5)" - } - ], - "prose": "defines reportable incidents;" - }, - { - "id": "ir-8.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(a)(6)" - } - ], - "prose": "provides metrics for measuring the incident response capability within the\n organization;" - }, - { - "id": "ir-8.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(7)" - } - ], - "prose": "defines the resources and management support needed to effectively maintain and\n mature an incident response capability;" - }, - { - "id": "ir-8.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(a)(8)" - } - ], - "parts": [ - { - "id": "ir-8.a.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(a)(8)[1]" - } - ], - "prose": "defines personnel or roles to review and approve the incident response\n plan;" - }, - { - "id": "ir-8.a.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-8(a)(8)[2]" - } - ], - "prose": "is reviewed and approved by organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ir-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(b)[1]" - } - ], - "parts": [ - { - "id": "ir-8.b_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(b)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom copies of the incident response plan are to be distributed;" - }, - { - "id": "ir-8.b_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(b)[1][b]" - } - ], - "prose": "defines organizational elements to whom copies of the incident response plan\n are to be distributed;" - } - ] - }, - { - "id": "ir-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(b)[2]" - } - ], - "prose": "distributes copies of the incident response plan to organization-defined\n incident response personnel (identified by name and/or by role) and\n organizational elements;" - } - ] - }, - { - "id": "ir-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(c)" - } - ], - "parts": [ - { - "id": "ir-8.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(c)[1]" - } - ], - "prose": "defines the frequency to review the incident response plan;" - }, - { - "id": "ir-8.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-8(c)[2]" - } - ], - "prose": "reviews the incident response plan with the organization-defined frequency;" - } - ] - }, - { - "id": "ir-8.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(d)" - } - ], - "prose": "updates the incident response plan to address system/organizational changes or\n problems encountered during plan:", - "parts": [ - { - "id": "ir-8.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[1]" - } - ], - "prose": "implementation;" - }, - { - "id": "ir-8.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[2]" - } - ], - "prose": "execution; or" - }, - { - "id": "ir-8.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(d)[3]" - } - ], - "prose": "testing;" - } - ] - }, - { - "id": "ir-8.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-8(e)[1]" - } - ], - "parts": [ - { - "id": "ir-8.e_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-8(e)[1][a]" - } - ], - "prose": "defines incident response personnel (identified by name and/or by role) to\n whom incident response plan changes are to be communicated;" - }, - { - "id": "ir-8.e_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(e)[1][b]" - } - ], - "prose": "defines organizational elements to whom incident response plan changes are\n to be communicated;" - } - ] - }, - { - "id": "ir-8.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(e)[2]" - } - ], - "prose": "communicates incident response plan changes to organization-defined incident\n response personnel (identified by name and/or by role) and organizational\n elements; and" - } - ] - }, - { - "id": "ir-8.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-8(f)" - } - ], - "prose": "protects the incident response plan from unauthorized disclosure and\n modification." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident response planning\\n\\nincident response plan\\n\\nrecords of incident response plan reviews and approvals\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational incident response plan and related organizational processes" - } - ] - } - ] - }, - { - "id": "ir-9", - "class": "SP800-53", - "title": "Information Spillage Response", - "parameters": [ - { - "id": "ir-9_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ir-9_prm_2", - "label": "organization-defined actions" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9" - }, - { - "name": "sort-id", - "value": "ir-09" - } - ], - "parts": [ - { - "id": "ir-9_smt", - "name": "statement", - "prose": "The organization responds to information spills by:", - "parts": [ - { - "id": "ir-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifying the specific information involved in the information system\n contamination;" - }, - { - "id": "ir-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Alerting {{ ir-9_prm_1 }} of the information spill using a method\n of communication not associated with the spill;" - }, - { - "id": "ir-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Isolating the contaminated information system or system component;" - }, - { - "id": "ir-9_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Eradicating the information from the contaminated information system or\n component;" - }, - { - "id": "ir-9_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Identifying other information systems or system components that may have been\n subsequently contaminated; and" - }, - { - "id": "ir-9_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Performing other {{ ir-9_prm_2 }}." - } - ] - }, - { - "id": "ir-9_gdn", - "name": "guidance", - "prose": "Information spillage refers to instances where either classified or sensitive\n information is inadvertently placed on information systems that are not authorized to\n process such information. Such information spills often occur when information that\n is initially thought to be of lower sensitivity is transmitted to an information\n system and then is subsequently determined to be of higher sensitivity. At that\n point, corrective action is required. The nature of the organizational response is\n generally based upon the degree of sensitivity of the spilled information (e.g.,\n security category or classification level), the security capabilities of the\n information system, the specific nature of contaminated storage media, and the access\n authorizations (e.g., security clearances) of individuals with authorized access to\n the contaminated system. The methods used to communicate information about the spill\n after the fact do not involve methods directly associated with the actual spill to\n minimize the risk of further spreading the contamination before such contamination is\n isolated and eradicated." - }, - { - "id": "ir-9_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(a)" - } - ], - "prose": "responds to information spills by identifying the specific information causing the\n information system contamination;" - }, - { - "id": "ir-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(b)" - } - ], - "parts": [ - { - "id": "ir-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(b)[1]" - } - ], - "prose": "defines personnel to be alerted of the information spillage;" - }, - { - "id": "ir-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-9(b)[2]" - } - ], - "prose": "identifies a method of communication not associated with the information spill\n to use to alert organization-defined personnel of the spill;" - }, - { - "id": "ir-9.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(b)[3]" - } - ], - "prose": "responds to information spills by alerting organization-defined personnel of\n the information spill using a method of communication not associated with the\n spill;" - } - ] - }, - { - "id": "ir-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(c)" - } - ], - "prose": "responds to information spills by isolating the contaminated information\n system;" - }, - { - "id": "ir-9.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(d)" - } - ], - "prose": "responds to information spills by eradicating the information from the\n contaminated information system;" - }, - { - "id": "ir-9.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(e)" - } - ], - "prose": "responds to information spills by identifying other information systems that may\n have been subsequently contaminated;" - }, - { - "id": "ir-9.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "IR-9(f)" - } - ], - "parts": [ - { - "id": "ir-9.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(f)[1]" - } - ], - "prose": "defines other actions to be performed in response to information spills;\n and" - }, - { - "id": "ir-9.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(f)[2]" - } - ], - "prose": "responds to information spills by performing other organization-defined\n actions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nrecords of information spillage alerts/notifications, list of personnel who should\n receive alerts of information spillage\\n\\nlist of actions to be performed regarding information spillage\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information spillage response\\n\\nautomated mechanisms supporting and/or implementing information spillage response\n actions and related communications" - } - ] - } - ], - "controls": [ - { - "id": "ir-9.1", - "class": "SP800-53-enhancement", - "title": "Responsible Personnel", - "parameters": [ - { - "id": "ir-9.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9(1)" - }, - { - "name": "sort-id", - "value": "ir-09.01" - } - ], - "parts": [ - { - "id": "ir-9.1_smt", - "name": "statement", - "prose": "The organization assigns {{ ir-9.1_prm_1 }} with responsibility for\n responding to information spills." - }, - { - "id": "ir-9.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ir-9.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(1)[1]" - } - ], - "prose": "defines personnel with responsibility for responding to information spills;\n and" - }, - { - "id": "ir-9.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-9(1)[2]" - } - ], - "prose": "assigns organization-defined personnel with responsibility for responding to\n information spills." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nlist of personnel responsible for responding to information spillage\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-9.2", - "class": "SP800-53-enhancement", - "title": "Training", - "parameters": [ - { - "id": "ir-9.2_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "IR-9(2)" - }, - { - "name": "sort-id", - "value": "ir-09.02" - } - ], - "parts": [ - { - "id": "ir-9.2_smt", - "name": "statement", - "prose": "The organization provides information spillage response training {{ ir-9.2_prm_1 }}." - }, - { - "id": "ir-9.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(2)[1]" - } - ], - "prose": "defines the frequency to provide information spillage response training;\n and" - }, - { - "id": "ir-9.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "IR-9(2)[2]" - } - ], - "prose": "provides information spillage response training with the organization-defined\n frequency." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing information spillage response training\\n\\ninformation spillage response training curriculum\\n\\ninformation spillage response training materials\\n\\nincident response plan\\n\\ninformation spillage response training records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response training responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ir-9.3", - "class": "SP800-53-enhancement", - "title": "Post-spill Operations", - "parameters": [ - { - "id": "ir-9.3_prm_1", - "label": "organization-defined procedures" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9(3)" - }, - { - "name": "sort-id", - "value": "ir-09.03" - } - ], - "parts": [ - { - "id": "ir-9.3_smt", - "name": "statement", - "prose": "The organization implements {{ ir-9.3_prm_1 }} to ensure that\n organizational personnel impacted by information spills can continue to carry out\n assigned tasks while contaminated systems are undergoing corrective actions." - }, - { - "id": "ir-9.3_gdn", - "name": "guidance", - "prose": "Correction actions for information systems contaminated due to information\n spillages may be very time-consuming. During those periods, personnel may not have\n access to the contaminated systems, which may potentially affect their ability to\n conduct organizational business." - }, - { - "id": "ir-9.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(3)[1]" - } - ], - "prose": "defines procedures that ensure organizational personnel impacted by information\n spills can continue to carry out assigned tasks while contaminated systems are\n undergoing corrective actions; and" - }, - { - "id": "ir-9.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(3)[2]" - } - ], - "prose": "implements organization-defined procedures to ensure that organizational\n personnel impacted by information spills can continue to carry out assigned\n tasks while contaminated systems are undergoing corrective actions." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for post-spill operations" - } - ] - } - ] - }, - { - "id": "ir-9.4", - "class": "SP800-53-enhancement", - "title": "Exposure to Unauthorized Personnel", - "parameters": [ - { - "id": "ir-9.4_prm_1", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "IR-9(4)" - }, - { - "name": "sort-id", - "value": "ir-09.04" - } - ], - "parts": [ - { - "id": "ir-9.4_smt", - "name": "statement", - "prose": "The organization employs {{ ir-9.4_prm_1 }} for personnel exposed\n to information not within assigned access authorizations." - }, - { - "id": "ir-9.4_gdn", - "name": "guidance", - "prose": "Security safeguards include, for example, making personnel exposed to spilled\n information aware of the federal laws, directives, policies, and/or regulations\n regarding the information and the restrictions imposed based on exposure to such\n information." - }, - { - "id": "ir-9.4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ir-9.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "IR-9(4)[1]" - } - ], - "prose": "defines security safeguards to be employed for personnel exposed to information\n not within assigned access authorizations; and" - }, - { - "id": "ir-9.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "IR-9(4)[2]" - } - ], - "prose": "employs organization-defined security safeguards for personnel exposed to\n information not within assigned access authorizations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Incident response policy\\n\\nprocedures addressing incident handling\\n\\nprocedures addressing information spillage\\n\\nincident response plan\\n\\nsecurity safeguards regarding information spillage/exposure to unauthorized\n personnel\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for dealing with information exposed to unauthorized\n personnel\\n\\nautomated mechanisms supporting and/or implementing safeguards for personnel\n exposed to information not within assigned access authorizations" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "ma", - "class": "family", - "title": "Maintenance", - "controls": [ - { - "id": "ma-1", - "class": "SP800-53", - "title": "System Maintenance Policy and Procedures", - "parameters": [ - { - "id": "ma-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ma-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MA-1" - }, - { - "name": "sort-id", - "value": "ma-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ma-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ma-1_prm_1 }}:", - "parts": [ - { - "id": "ma-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system maintenance policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ma-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system maintenance policy\n and associated system maintenance controls; and" - } - ] - }, - { - "id": "ma-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ma-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System maintenance policy {{ ma-1_prm_2 }}; and" - }, - { - "id": "ma-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System maintenance procedures {{ ma-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ma-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ma-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ma-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system maintenance policy that addresses:", - "parts": [ - { - "id": "ma-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ma-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ma-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ma-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ma-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ma-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ma-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ma-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system maintenance policy is to be\n disseminated;" - }, - { - "id": "ma-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system maintenance policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ma-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ma-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n maintenance policy and associated system maintenance controls;" - }, - { - "id": "ma-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ma-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ma-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ma-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n policy;" - }, - { - "id": "ma-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system maintenance policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ma-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ma-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system maintenance\n procedures; and" - }, - { - "id": "ma-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system maintenance procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Maintenance policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ma-2", - "class": "SP800-53", - "title": "Controlled Maintenance", - "parameters": [ - { - "id": "ma-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ma-2_prm_2", - "label": "organization-defined maintenance-related information" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-2" - }, - { - "name": "sort-id", - "value": "ma-02" - } - ], - "parts": [ - { - "id": "ma-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Schedules, performs, documents, and reviews records of maintenance and repairs on\n information system components in accordance with manufacturer or vendor\n specifications and/or organizational requirements;" - }, - { - "id": "ma-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Approves and monitors all maintenance activities, whether performed on site or\n remotely and whether the equipment is serviced on site or removed to another\n location;" - }, - { - "id": "ma-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Requires that {{ ma-2_prm_1 }} explicitly approve the removal of\n the information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions; and" - }, - { - "id": "ma-2_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Includes {{ ma-2_prm_2 }} in organizational maintenance\n records." - } - ] - }, - { - "id": "ma-2_gdn", - "name": "guidance", - "prose": "This control addresses the information security aspects of the information system\n maintenance program and applies to all types of maintenance to any system component\n (including applications) conducted by any local or nonlocal entity (e.g.,\n in-contract, warranty, in-house, software maintenance agreement). System maintenance\n also includes those components not directly associated with information processing\n and/or data/information retention such as scanners, copiers, and printers.\n Information necessary for creating effective maintenance records includes, for\n example: (i) date and time of maintenance; (ii) name of individuals or group\n performing the maintenance; (iii) name of escort, if necessary; (iv) a description of\n the maintenance performed; and (v) information system components/equipment removed or\n replaced (including identification numbers, if applicable). The level of detail\n included in maintenance records can be informed by the security categories of\n organizational information systems. Organizations consider supply chain issues\n associated with replacement components for information systems.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pe-16", - "rel": "related", - "text": "PE-16" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ma-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ma-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)" - } - ], - "parts": [ - { - "id": "ma-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(a)[1]" - } - ], - "prose": "schedules maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[1][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(a)[2]" - } - ], - "prose": "performs maintenance and repairs on information system components in accordance\n with:", - "parts": [ - { - "id": "ma-2.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[2][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(a)[3]" - } - ], - "prose": "documents maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[3][b]" - } - ], - "prose": "organizational requirements;" - } - ] - }, - { - "id": "ma-2.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(a)[4]" - } - ], - "prose": "reviews records of maintenance and repairs on information system components in\n accordance with:", - "parts": [ - { - "id": "ma-2.a_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][a]" - } - ], - "prose": "manufacturer or vendor specifications; and/or" - }, - { - "id": "ma-2.a_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(a)[4][b]" - } - ], - "prose": "organizational requirements;" - } - ] - } - ] - }, - { - "id": "ma-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(b)" - } - ], - "parts": [ - { - "id": "ma-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-2(b)[1]" - } - ], - "prose": "approves all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - }, - { - "id": "ma-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(b)[2]" - } - ], - "prose": "monitors all maintenance activities, whether performed on site or remotely and\n whether the equipment is serviced on site or removed to another location;" - } - ] - }, - { - "id": "ma-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(c)" - } - ], - "parts": [ - { - "id": "ma-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(c)[1]" - } - ], - "prose": "defines personnel or roles required to explicitly approve the removal of the\n information system or system components from organizational facilities for\n off-site maintenance or repairs;" - }, - { - "id": "ma-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(c)[2]" - } - ], - "prose": "requires that organization-defined personnel or roles explicitly approve the\n removal of the information system or system components from organizational\n facilities for off-site maintenance or repairs;" - } - ] - }, - { - "id": "ma-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(d)" - } - ], - "prose": "sanitizes equipment to remove all information from associated media prior to\n removal from organizational facilities for off-site maintenance or repairs;" - }, - { - "id": "ma-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-2(e)" - } - ], - "prose": "checks all potentially impacted security controls to verify that the controls are\n still functioning properly following maintenance or repair actions;" - }, - { - "id": "ma-2.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-2(f)" - } - ], - "parts": [ - { - "id": "ma-2.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(f)[1]" - } - ], - "prose": "defines maintenance-related information to be included in organizational\n maintenance records; and" - }, - { - "id": "ma-2.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-2(f)[2]" - } - ], - "prose": "includes organization-defined maintenance-related information in organizational\n maintenance records." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing controlled information system maintenance\\n\\nmaintenance records\\n\\nmanufacturer/vendor maintenance specifications\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for scheduling, performing, documenting, reviewing,\n approving, and monitoring maintenance and repairs for the information system\\n\\norganizational processes for sanitizing information system components\\n\\nautomated mechanisms supporting and/or implementing controlled maintenance\\n\\nautomated mechanisms implementing sanitization of information system\n components" - } - ] - } - ] - }, - { - "id": "ma-3", - "class": "SP800-53", - "title": "Maintenance Tools", - "properties": [ - { - "name": "label", - "value": "MA-3" - }, - { - "name": "sort-id", - "value": "ma-03" - } - ], - "links": [ - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - } - ], - "parts": [ - { - "id": "ma-3_smt", - "name": "statement", - "prose": "The organization approves, controls, and monitors information system maintenance\n tools." - }, - { - "id": "ma-3_gdn", - "name": "guidance", - "prose": "This control addresses security-related issues associated with maintenance tools used\n specifically for diagnostic and repair actions on organizational information systems.\n Maintenance tools can include hardware, software, and firmware items. Maintenance\n tools are potential vehicles for transporting malicious code, either intentionally or\n unintentionally, into a facility and subsequently into organizational information\n systems. Maintenance tools can include, for example, hardware/software diagnostic\n test equipment and hardware/software packet sniffers. This control does not cover\n hardware/software components that may support information system maintenance, yet are\n a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,\n or the hardware and software implementing the monitoring port of an Ethernet\n switch.", - "links": [ - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "ma-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3[1]" - } - ], - "prose": "approves information system maintenance tools;" - }, - { - "id": "ma-3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3[2]" - } - ], - "prose": "controls information system maintenance tools; and" - }, - { - "id": "ma-3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3[3]" - } - ], - "prose": "monitors information system maintenance tools." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for approving, controlling, and monitoring maintenance\n tools\\n\\nautomated mechanisms supporting and/or implementing approval, control, and/or\n monitoring of maintenance tools" - } - ] - } - ], - "controls": [ - { - "id": "ma-3.1", - "class": "SP800-53-enhancement", - "title": "Inspect Tools", - "properties": [ - { - "name": "label", - "value": "MA-3(1)" - }, - { - "name": "sort-id", - "value": "ma-03.01" - } - ], - "parts": [ - { - "id": "ma-3.1_smt", - "name": "statement", - "prose": "The organization inspects the maintenance tools carried into a facility by\n maintenance personnel for improper or unauthorized modifications." - }, - { - "id": "ma-3.1_gdn", - "name": "guidance", - "prose": "If, upon inspection of maintenance tools, organizations determine that the tools\n have been modified in an improper/unauthorized manner or contain malicious code,\n the incident is handled consistent with organizational policies and procedures for\n incident handling.", - "links": [ - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ma-3.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization inspects the maintenance tools carried into a\n facility by maintenance personnel for improper or unauthorized modifications. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance tool inspection records\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for inspecting maintenance tools\\n\\nautomated mechanisms supporting and/or implementing inspection of maintenance\n tools" - } - ] - } - ] - }, - { - "id": "ma-3.2", - "class": "SP800-53-enhancement", - "title": "Inspect Media", - "properties": [ - { - "name": "label", - "value": "MA-3(2)" - }, - { - "name": "sort-id", - "value": "ma-03.02" - } - ], - "parts": [ - { - "id": "ma-3.2_smt", - "name": "statement", - "prose": "The organization checks media containing diagnostic and test programs for\n malicious code before the media are used in the information system." - }, - { - "id": "ma-3.2_gdn", - "name": "guidance", - "prose": "If, upon inspection of media containing maintenance diagnostic and test programs,\n organizations determine that the media contain malicious code, the incident is\n handled consistent with organizational incident handling policies and\n procedures.", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "ma-3.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization checks media containing diagnostic and test programs\n for malicious code before the media are used in the information system. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for inspecting media for malicious code\\n\\nautomated mechanisms supporting and/or implementing inspection of media used\n for maintenance" - } - ] - } - ] - }, - { - "id": "ma-3.3", - "class": "SP800-53-enhancement", - "title": "Prevent Unauthorized Removal", - "parameters": [ - { - "id": "ma-3.3_prm_1", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "the information owner explicitly authorizing removal of the equipment from the facility" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MA-3(3)" - }, - { - "name": "sort-id", - "value": "ma-03.03" - } - ], - "parts": [ - { - "id": "ma-3.3_smt", - "name": "statement", - "prose": "The organization prevents the unauthorized removal of maintenance equipment\n containing organizational information by:", - "parts": [ - { - "id": "ma-3.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Verifying that there is no organizational information contained on the\n equipment;" - }, - { - "id": "ma-3.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Sanitizing or destroying the equipment;" - }, - { - "id": "ma-3.3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Retaining the equipment within the facility; or" - }, - { - "id": "ma-3.3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Obtaining an exemption from {{ ma-3.3_prm_1 }} explicitly\n authorizing removal of the equipment from the facility." - } - ] - }, - { - "id": "ma-3.3_gdn", - "name": "guidance", - "prose": "Organizational information includes all information specifically owned by\n organizations and information provided to organizations in which organizations\n serve as information stewards." - }, - { - "id": "ma-3.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization prevents the unauthorized removal of maintenance\n equipment containing organizational information by: ", - "parts": [ - { - "id": "ma-3.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(a)" - } - ], - "prose": "verifying that there is no organizational information contained on the\n equipment;", - "links": [ - { - "href": "#ma-3.3_smt.a", - "rel": "corresp", - "text": "MA-3(3)(a)" - } - ] - }, - { - "id": "ma-3.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(b)" - } - ], - "prose": "sanitizing or destroying the equipment;", - "links": [ - { - "href": "#ma-3.3_smt.b", - "rel": "corresp", - "text": "MA-3(3)(b)" - } - ] - }, - { - "id": "ma-3.3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(c)" - } - ], - "prose": "retaining the equipment within the facility; or", - "links": [ - { - "href": "#ma-3.3_smt.c", - "rel": "corresp", - "text": "MA-3(3)(c)" - } - ] - }, - { - "id": "ma-3.3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(d)" - } - ], - "parts": [ - { - "id": "ma-3.3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(d)[1]" - } - ], - "prose": "defining personnel or roles that can grant an exemption from explicitly\n authorizing removal of the equipment from the facility; and" - }, - { - "id": "ma-3.3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-3(3)(d)[2]" - } - ], - "prose": "obtaining an exemption from organization-defined personnel or roles\n explicitly authorizing removal of the equipment from the facility." - } - ], - "links": [ - { - "href": "#ma-3.3_smt.d", - "rel": "corresp", - "text": "MA-3(3)(d)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance tools\\n\\ninformation system maintenance tools and associated documentation\\n\\nmaintenance records\\n\\nequipment sanitization records\\n\\nmedia sanitization records\\n\\nexemptions for equipment removal\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for preventing unauthorized removal of information\\n\\nautomated mechanisms supporting media sanitization or destruction of\n equipment\\n\\nautomated mechanisms supporting verification of media sanitization" - } - ] - } - ] - } - ] - }, - { - "id": "ma-4", - "class": "SP800-53", - "title": "Nonlocal Maintenance", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MA-4" - }, - { - "name": "sort-id", - "value": "ma-04" - } - ], - "links": [ - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#f2dbd4ec-c413-4714-b85b-6b7184d1c195", - "rel": "reference", - "text": "FIPS Publication 197" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a4aa9645-9a8a-4b51-90a9-e223250f9a75", - "rel": "reference", - "text": "CNSS Policy 15" - } - ], - "parts": [ - { - "id": "ma-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Approves and monitors nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Allows the use of nonlocal maintenance and diagnostic tools only as consistent\n with organizational policy and documented in the security plan for the information\n system;" - }, - { - "id": "ma-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Maintains records for nonlocal maintenance and diagnostic activities; and" - }, - { - "id": "ma-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Terminates session and network connections when nonlocal maintenance is\n completed." - } - ] - }, - { - "id": "ma-4_gdn", - "name": "guidance", - "prose": "Nonlocal maintenance and diagnostic activities are those activities conducted by\n individuals communicating through a network, either an external network (e.g., the\n Internet) or an internal network. Local maintenance and diagnostic activities are\n those activities carried out by individuals physically present at the information\n system or information system component and not communicating across a network\n connection. Authentication techniques used in the establishment of nonlocal\n maintenance and diagnostic sessions reflect the network access requirements in IA-2.\n Typically, strong authentication requires authenticators that are resistant to replay\n attacks and employ multifactor authentication. Strong authenticators include, for\n example, PKI where certificates are stored on a token protected by a password,\n passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by\n other controls.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "ma-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(a)" - } - ], - "parts": [ - { - "id": "ma-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(a)[1]" - } - ], - "prose": "approves nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(a)[2]" - } - ], - "prose": "monitors nonlocal maintenance and diagnostic activities;" - } - ] - }, - { - "id": "ma-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(b)" - } - ], - "prose": "allows the use of nonlocal maintenance and diagnostic tools only:", - "parts": [ - { - "id": "ma-4.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[1]" - } - ], - "prose": "as consistent with organizational policy;" - }, - { - "id": "ma-4.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(b)[2]" - } - ], - "prose": "as documented in the security plan for the information system;" - } - ] - }, - { - "id": "ma-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(c)" - } - ], - "prose": "employs strong authenticators in the establishment of nonlocal maintenance and\n diagnostic sessions;" - }, - { - "id": "ma-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-4(d)" - } - ], - "prose": "maintains records for nonlocal maintenance and diagnostic activities;" - }, - { - "id": "ma-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-4(e)" - } - ], - "parts": [ - { - "id": "ma-4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(e)[1]" - } - ], - "prose": "terminates sessions when nonlocal maintenance or diagnostics is completed;\n and" - }, - { - "id": "ma-4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-4(e)[2]" - } - ], - "prose": "terminates network connections when nonlocal maintenance or diagnostics is\n completed." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing nonlocal information system maintenance\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing nonlocal maintenance\\n\\nautomated mechanisms implementing, supporting, and/or managing nonlocal\n maintenance\\n\\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic\n sessions\\n\\nautomated mechanisms for terminating nonlocal maintenance sessions and network\n connections" - } - ] - } - ], - "controls": [ - { - "id": "ma-4.2", - "class": "SP800-53-enhancement", - "title": "Document Nonlocal Maintenance", - "properties": [ - { - "name": "label", - "value": "MA-4(2)" - }, - { - "name": "sort-id", - "value": "ma-04.02" - } - ], - "parts": [ - { - "id": "ma-4.2_smt", - "name": "statement", - "prose": "The organization documents in the security plan for the information system, the\n policies and procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections." - }, - { - "id": "ma-4.2_obj", - "name": "objective", - "prose": "Determine if the organization documents in the security plan for the information\n system: ", - "parts": [ - { - "id": "ma-4.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-4(2)[1]" - } - ], - "prose": "the policies for the establishment and use of nonlocal maintenance and\n diagnostic connections; and" - }, - { - "id": "ma-4.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MA-4(2)[2]" - } - ], - "prose": "the procedures for the establishment and use of nonlocal maintenance and\n diagnostic connections." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing non-local information system maintenance\\n\\nsecurity plan\\n\\nmaintenance records\\n\\ndiagnostic records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "ma-5", - "class": "SP800-53", - "title": "Maintenance Personnel", - "properties": [ - { - "name": "label", - "value": "MA-5" - }, - { - "name": "sort-id", - "value": "ma-05" - } - ], - "parts": [ - { - "id": "ma-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes a process for maintenance personnel authorization and maintains a list\n of authorized maintenance organizations or personnel;" - }, - { - "id": "ma-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "id": "ma-5_gdn", - "name": "guidance", - "prose": "This control applies to individuals performing hardware or software maintenance on\n organizational information systems, while PE-2 addresses physical access for\n individuals whose maintenance duties place them within the physical protection\n perimeter of the systems (e.g., custodial staff, physical plant maintenance\n personnel). Technical competence of supervising individuals relates to the\n maintenance performed on the information systems while having required access\n authorizations refers to maintenance on and near the systems. Individuals not\n previously identified as authorized maintenance personnel, such as information\n technology manufacturers, vendors, systems integrators, and consultants, may require\n privileged access to organizational information systems, for example, when required\n to conduct maintenance activities with little or no notice. Based on organizational\n assessments of risk, organizations may issue temporary credentials to these\n individuals. Temporary credentials may be for one-time use or for very limited time\n periods.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "ma-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(a)" - } - ], - "parts": [ - { - "id": "ma-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(a)[1]" - } - ], - "prose": "establishes a process for maintenance personnel authorization;" - }, - { - "id": "ma-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(a)[2]" - } - ], - "prose": "maintains a list of authorized maintenance organizations or personnel;" - } - ] - }, - { - "id": "ma-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(b)" - } - ], - "prose": "ensures that non-escorted personnel performing maintenance on the information\n system have required access authorizations; and" - }, - { - "id": "ma-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MA-5(c)" - } - ], - "prose": "designates organizational personnel with required access authorizations and\n technical competence to supervise the maintenance activities of personnel who do\n not possess the required access authorizations." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\nlist of authorized personnel\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for authorizing and managing maintenance personnel\\n\\nautomated mechanisms supporting and/or implementing authorization of maintenance\n personnel" - } - ] - } - ], - "controls": [ - { - "id": "ma-5.1", - "class": "SP800-53-enhancement", - "title": "Individuals Without Appropriate Access", - "properties": [ - { - "name": "label", - "value": "MA-5(1)" - }, - { - "name": "sort-id", - "value": "ma-05.01" - } - ], - "parts": [ - { - "id": "ma-5.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ma-5.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:", - "parts": [ - { - "id": "ma-5.1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(1)" - } - ], - "prose": "Maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who are fully cleared, have\n appropriate access authorizations, and are technically qualified;" - }, - { - "id": "ma-5.1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(2)" - } - ], - "prose": "Prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances or formal access\n approvals, all volatile information storage components within the\n information system are sanitized and all nonvolatile storage media are\n removed or physically disconnected from the system and secured; and" - } - ] - }, - { - "id": "ma-5.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Develops and implements alternate security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system." - }, - { - "id": "ma-5.1_fr", - "name": "item", - "title": "MA-5 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ma-5.1_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline" - } - ] - } - ] - }, - { - "id": "ma-5.1_gdn", - "name": "guidance", - "prose": "This control enhancement denies individuals who lack appropriate security\n clearances (i.e., individuals who do not possess security clearances or possess\n security clearances at a lower level than required) or who are not U.S. citizens,\n visual and electronic access to any classified information, Controlled\n Unclassified Information (CUI), or any other sensitive information contained on\n organizational information systems. Procedures for the use of maintenance\n personnel can be documented in security plans for the information systems.", - "links": [ - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "ma-5.1_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-5.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)" - } - ], - "prose": "implements procedures for the use of maintenance personnel that lack\n appropriate security clearances or are not U.S. citizens, that include the\n following requirements:", - "parts": [ - { - "id": "ma-5.1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(1)(a)(1)" - } - ], - "prose": "maintenance personnel who do not have needed access authorizations,\n clearances, or formal access approvals are escorted and supervised during\n the performance of maintenance and diagnostic activities on the information\n system by approved organizational personnel who:", - "parts": [ - { - "id": "ma-5.1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(1)[1]" - } - ], - "prose": "are fully cleared;" - }, - { - "id": "ma-5.1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(1)[2]" - } - ], - "prose": "have appropriate access authorizations;" - }, - { - "id": "ma-5.1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(1)[3]" - } - ], - "prose": "are technically qualified;" - } - ], - "links": [ - { - "href": "#ma-5.1_smt.a.1", - "rel": "corresp", - "text": "MA-5(1)(a)(1)" - } - ] - }, - { - "id": "ma-5.1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(1)(a)(2)" - } - ], - "prose": "prior to initiating maintenance or diagnostic activities by personnel who do\n not have needed access authorizations, clearances, or formal access\n approvals:", - "parts": [ - { - "id": "ma-5.1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(2)[1]" - } - ], - "prose": "all volatile information storage components within the information system\n are sanitized; and" - }, - { - "id": "ma-5.1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(2)[2]" - } - ], - "prose": "all nonvolatile storage media are removed; or" - }, - { - "id": "ma-5.1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-5(1)(a)(2)[3]" - } - ], - "prose": "all nonvolatile storage media are physically disconnected from the system\n and secured; and" - } - ], - "links": [ - { - "href": "#ma-5.1_smt.a.2", - "rel": "corresp", - "text": "MA-5(1)(a)(2)" - } - ] - } - ], - "links": [ - { - "href": "#ma-5.1_smt.a", - "rel": "corresp", - "text": "MA-5(1)(a)" - } - ] - }, - { - "id": "ma-5.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MA-5(1)(b)" - } - ], - "prose": "develops and implements alternative security safeguards in the event an\n information system component cannot be sanitized, removed, or disconnected from\n the system.", - "links": [ - { - "href": "#ma-5.1_smt.b", - "rel": "corresp", - "text": "MA-5(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing maintenance personnel\\n\\ninformation system media protection policy\\n\\nphysical and environmental protection policy\\n\\nsecurity plan\\n\\nlist of maintenance personnel requiring escort/supervision\\n\\nmaintenance records\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance\n responsibilities\\n\\norganizational personnel with personnel security responsibilities\\n\\norganizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel responsible for media sanitization\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing maintenance personnel without appropriate\n access\\n\\nautomated mechanisms supporting and/or implementing alternative security\n safeguards\\n\\nautomated mechanisms supporting and/or implementing information storage\n component sanitization" - } - ] - } - ] - } - ] - }, - { - "id": "ma-6", - "class": "SP800-53", - "title": "Timely Maintenance", - "parameters": [ - { - "id": "ma-6_prm_1", - "label": "organization-defined information system components" - }, - { - "id": "ma-6_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "MA-6" - }, - { - "name": "sort-id", - "value": "ma-06" - } - ], - "parts": [ - { - "id": "ma-6_smt", - "name": "statement", - "prose": "The organization obtains maintenance support and/or spare parts for {{ ma-6_prm_1 }} within {{ ma-6_prm_2 }} of failure." - }, - { - "id": "ma-6_gdn", - "name": "guidance", - "prose": "Organizations specify the information system components that result in increased risk\n to organizational operations and assets, individuals, other organizations, or the\n Nation when the functionality provided by those components is not operational.\n Organizational actions to obtain maintenance support typically include having\n appropriate contracts in place.", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - }, - { - "href": "#sa-14", - "rel": "related", - "text": "SA-14" - }, - { - "href": "#sa-15", - "rel": "related", - "text": "SA-15" - } - ] - }, - { - "id": "ma-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ma-6_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[1]" - } - ], - "prose": "defines information system components for which maintenance support and/or spare\n parts are to be obtained;" - }, - { - "id": "ma-6_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[2]" - } - ], - "prose": "defines the time period within which maintenance support and/or spare parts are to\n be obtained after a failure;" - }, - { - "id": "ma-6_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[3]" - } - ], - "parts": [ - { - "id": "ma-6_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[3][a]" - } - ], - "prose": "obtains maintenance support for organization-defined information system\n components within the organization-defined time period of failure; and/or" - }, - { - "id": "ma-6_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MA-6[3][b]" - } - ], - "prose": "obtains spare parts for organization-defined information system components\n within the organization-defined time period of failure." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system maintenance policy\\n\\nprocedures addressing information system maintenance\\n\\nservice provider contracts\\n\\nservice-level agreements\\n\\ninventory and availability of spare parts\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system maintenance responsibilities\\n\\norganizational personnel with acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring timely maintenance" - } - ] - } - ] - } - ] - }, - { - "id": "mp", - "class": "family", - "title": "Media Protection", - "controls": [ - { - "id": "mp-1", - "class": "SP800-53", - "title": "Media Protection Policy and Procedures", - "parameters": [ - { - "id": "mp-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "mp-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "mp-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MP-1" - }, - { - "name": "sort-id", - "value": "mp-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "mp-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ mp-1_prm_1 }}:", - "parts": [ - { - "id": "mp-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A media protection policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "mp-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the media protection policy and\n associated media protection controls; and" - } - ] - }, - { - "id": "mp-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "mp-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Media protection policy {{ mp-1_prm_2 }}; and" - }, - { - "id": "mp-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Media protection procedures {{ mp-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "mp-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the MP\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "mp-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "mp-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)" - } - ], - "parts": [ - { - "id": "mp-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(1)[1]" - } - ], - "prose": "develops and documents a media protection policy that addresses:", - "parts": [ - { - "id": "mp-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "mp-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "mp-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "mp-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "mp-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "mp-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "mp-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "mp-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the media protection policy is to be\n disseminated;" - }, - { - "id": "mp-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-1(a)(1)[3]" - } - ], - "prose": "disseminates the media protection policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "mp-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(a)(2)" - } - ], - "parts": [ - { - "id": "mp-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n media protection policy and associated media protection controls;" - }, - { - "id": "mp-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "mp-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "MP-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "mp-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(1)" - } - ], - "parts": [ - { - "id": "mp-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n policy;" - }, - { - "id": "mp-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current media protection policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "mp-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-1(b)(2)" - } - ], - "parts": [ - { - "id": "mp-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current media protection\n procedures; and" - }, - { - "id": "mp-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current media protection procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Media protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media protection responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "mp-2", - "class": "SP800-53", - "title": "Media Access", - "parameters": [ - { - "id": "mp-2_prm_1", - "label": "organization-defined types of digital and/or non-digital media" - }, - { - "id": "mp-2_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-2" - }, - { - "name": "sort-id", - "value": "mp-02" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-2_smt", - "name": "statement", - "prose": "The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}." - }, - { - "id": "mp-2_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Restricting non-digital media access\n includes, for example, denying access to patient medical records in a community\n hospital unless the individuals seeking access to such records are authorized\n healthcare providers. Restricting access to digital media includes, for example,\n limiting access to design specifications stored on compact disks in the media library\n to the project leader and the individuals on the development team.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - } - ] - }, - { - "id": "mp-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-2[1]" - } - ], - "prose": "defines types of digital and/or non-digital media requiring restricted access;" - }, - { - "id": "mp-2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-2[2]" - } - ], - "prose": "defines personnel or roles authorized to access organization-defined types of\n digital and/or non-digital media; and" - }, - { - "id": "mp-2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-2[3]" - } - ], - "prose": "restricts access to organization-defined types of digital and/or non-digital media\n to organization-defined personnel or roles." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media access restrictions\\n\\naccess control policy and procedures\\n\\nphysical and environmental protection policy and procedures\\n\\nmedia storage facilities\\n\\naccess control records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for restricting information media\\n\\nautomated mechanisms supporting and/or implementing media access restrictions" - } - ] - } - ] - }, - { - "id": "mp-3", - "class": "SP800-53", - "title": "Media Marking", - "parameters": [ - { - "id": "mp-3_prm_1", - "label": "organization-defined types of information system media", - "constraints": [ - { - "detail": "no removable media types" - } - ] - }, - { - "id": "mp-3_prm_2", - "label": "organization-defined controlled areas" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-3" - }, - { - "name": "sort-id", - "value": "mp-03" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - } - ], - "parts": [ - { - "id": "mp-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Marks information system media indicating the distribution limitations, handling\n caveats, and applicable security markings (if any) of the information; and" - }, - { - "id": "mp-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Exempts {{ mp-3_prm_1 }} from marking as long as the media remain\n within {{ mp-3_prm_2 }}." - }, - { - "id": "mp-3_fr", - "name": "item", - "title": "MP-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-3_fr_gdn.b", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(b) Guidance:" - } - ], - "prose": "Second parameter not-applicable" - } - ] - } - ] - }, - { - "id": "mp-3_gdn", - "name": "guidance", - "prose": "The term security marking refers to the application/use of human-readable security\n attributes. The term security labeling refers to the application/use of security\n attributes with regard to internal data structures within information systems (see\n AC-16). Information system media includes both digital and non-digital media. Digital\n media includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Security marking is generally not\n required for media containing information determined by organizations to be in the\n public domain or to be publicly releasable. However, some organizations may require\n markings for public information indicating that the information is publicly\n releasable. Marking of information system media reflects applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and guidance.", - "links": [ - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "mp-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-3(a)" - } - ], - "prose": "marks information system media indicating the:", - "parts": [ - { - "id": "mp-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(a)[1]" - } - ], - "prose": "distribution limitations of the information;" - }, - { - "id": "mp-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(a)[2]" - } - ], - "prose": "handling caveats of the information;" - }, - { - "id": "mp-3.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(a)[3]" - } - ], - "prose": "applicable security markings (if any) of the information;" - } - ] - }, - { - "id": "mp-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-3(b)" - } - ], - "parts": [ - { - "id": "mp-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-3(b)[1]" - } - ], - "prose": "defines types of information system media to be exempted from marking as long\n as the media remain in designated controlled areas;" - }, - { - "id": "mp-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-3(b)[2]" - } - ], - "prose": "defines controlled areas where organization-defined types of information system\n media exempt from marking are to be retained; and" - }, - { - "id": "mp-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-3(b)[3]" - } - ], - "prose": "exempts organization-defined types of information system media from marking as\n long as the media remain within organization-defined controlled areas." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media marking\\n\\nphysical and environmental protection policy and procedures\\n\\nsecurity plan\\n\\nlist of information system media marking security attributes\\n\\ndesignated controlled areas\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection and marking\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for marking information media\\n\\nautomated mechanisms supporting and/or implementing media marking" - } - ] - } - ] - }, - { - "id": "mp-4", - "class": "SP800-53", - "title": "Media Storage", - "parameters": [ - { - "id": "mp-4_prm_1", - "label": "organization-defined types of digital and/or non-digital media", - "constraints": [ - { - "detail": "all types of digital and non-digital media with sensitive information" - } - ] - }, - { - "id": "mp-4_prm_2", - "label": "organization-defined controlled areas", - "constraints": [ - { - "detail": "see additional FedRAMP requirements and guidance" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MP-4" - }, - { - "name": "sort-id", - "value": "mp-04" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Physically controls and securely stores {{ mp-4_prm_1 }} within\n {{ mp-4_prm_2 }}; and" - }, - { - "id": "mp-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures." - }, - { - "id": "mp-4_fr", - "name": "item", - "title": "MP-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines controlled areas within facilities where the information and information system reside." - } - ] - } - ] - }, - { - "id": "mp-4_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. Physically controlling information system\n media includes, for example, conducting inventories, ensuring procedures are in place\n to allow individuals to check out and return media to the media library, and\n maintaining accountability for all stored media. Secure storage includes, for\n example, a locked drawer, desk, or cabinet, or a controlled media library. The type\n of media storage is commensurate with the security category and/or classification of\n the information residing on the media. Controlled areas are areas for which\n organizations provide sufficient physical and procedural safeguards to meet the\n requirements established for protecting information and/or information systems. For\n media containing information determined by organizations to be in the public domain,\n to be publicly releasable, or to have limited or no adverse impact on organizations\n or individuals if accessed by other than authorized personnel, fewer safeguards may\n be needed. In these situations, physical access controls provide adequate\n protection.", - "links": [ - { - "href": "#cp-6", - "rel": "related", - "text": "CP-6" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-7", - "rel": "related", - "text": "MP-7" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - } - ] - }, - { - "id": "mp-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-4(a)" - } - ], - "parts": [ - { - "id": "mp-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-4(a)[1]" - } - ], - "prose": "defines types of digital and/or non-digital media to be physically controlled\n and securely stored within designated controlled areas;" - }, - { - "id": "mp-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-4(a)[2]" - } - ], - "prose": "defines controlled areas designated to physically control and securely store\n organization-defined types of digital and/or non-digital media;" - }, - { - "id": "mp-4.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-4(a)[3]" - } - ], - "prose": "physically controls organization-defined types of digital and/or non-digital\n media within organization-defined controlled areas;" - }, - { - "id": "mp-4.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-4(a)[4]" - } - ], - "prose": "securely stores organization-defined types of digital and/or non-digital media\n within organization-defined controlled areas; and" - } - ] - }, - { - "id": "mp-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-4(b)" - } - ], - "prose": "protects information system media until the media are destroyed or sanitized using\n approved equipment, techniques, and procedures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing secure media storage/media\n protection" - } - ] - } - ] - }, - { - "id": "mp-5", - "class": "SP800-53", - "title": "Media Transport", - "parameters": [ - { - "id": "mp-5_prm_1", - "label": "organization-defined types of information system media", - "constraints": [ - { - "detail": "all media with sensitive information" - } - ] - }, - { - "id": "mp-5_prm_2", - "label": "organization-defined security safeguards", - "constraints": [ - { - "detail": "prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "MP-5" - }, - { - "name": "sort-id", - "value": "mp-05" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - } - ], - "parts": [ - { - "id": "mp-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Protects and controls {{ mp-5_prm_1 }} during transport outside of\n controlled areas using {{ mp-5_prm_2 }};" - }, - { - "id": "mp-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintains accountability for information system media during transport outside of\n controlled areas;" - }, - { - "id": "mp-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents activities associated with the transport of information system media;\n and" - }, - { - "id": "mp-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Restricts the activities associated with the transport of information system media\n to authorized personnel." - }, - { - "id": "mp-5_fr", - "name": "item", - "title": "MP-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-5_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB." - } - ] - } - ] - }, - { - "id": "mp-5_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers),\n that are transported outside of controlled areas. Controlled areas are areas or\n spaces for which organizations provide sufficient physical and/or procedural\n safeguards to meet the requirements established for protecting information and/or\n information systems. Physical and technical safeguards for media are commensurate\n with the security category or classification of the information residing on the\n media. Safeguards to protect media during transport include, for example, locked\n containers and cryptography. Cryptographic mechanisms can provide confidentiality and\n integrity protections depending upon the mechanisms used. Activities associated with\n transport include the actual transport as well as those activities such as releasing\n media for transport and ensuring that media enters the appropriate transport\n processes. For the actual transport, authorized transport and courier personnel may\n include individuals from outside the organization (e.g., U.S. Postal Service or a\n commercial transport or delivery service). Maintaining accountability of media during\n transport includes, for example, restricting transport activities to authorized\n personnel, and tracking and/or obtaining explicit records of transport activities as\n the media moves through the transportation system to prevent and detect loss,\n destruction, or tampering. Organizations establish documentation requirements for\n activities associated with the transport of information system media in accordance\n with organizational assessments of risk to include the flexibility to define\n different record-keeping methods for the different types of media transport as part\n of an overall system of transport-related records.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#mp-3", - "rel": "related", - "text": "MP-3" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - } - ] - }, - { - "id": "mp-5_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-5(a)" - } - ], - "parts": [ - { - "id": "mp-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-5(a)[1]" - } - ], - "prose": "defines types of information system media to be protected and controlled during\n transport outside of controlled areas;" - }, - { - "id": "mp-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-5(a)[2]" - } - ], - "prose": "defines security safeguards to protect and control organization-defined\n information system media during transport outside of controlled areas;" - }, - { - "id": "mp-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-5(a)[3]" - } - ], - "prose": "protects and controls organization-defined information system media during\n transport outside of controlled areas using organization-defined security\n safeguards;" - } - ] - }, - { - "id": "mp-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-5(b)" - } - ], - "prose": "maintains accountability for information system media during transport outside of\n controlled areas;" - }, - { - "id": "mp-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-5(c)" - } - ], - "prose": "documents activities associated with the transport of information system media;\n and" - }, - { - "id": "mp-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-5(d)" - } - ], - "prose": "restricts the activities associated with transport of information system media to\n authorized personnel." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media storage\\n\\nphysical and environmental protection policy and procedures\\n\\naccess control policy and procedures\\n\\nsecurity plan\\n\\ninformation system media\\n\\ndesignated controlled areas\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media protection and storage\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for storing information media\\n\\nautomated mechanisms supporting and/or implementing media storage/media\n protection" - } - ] - } - ], - "controls": [ - { - "id": "mp-5.4", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "properties": [ - { - "name": "label", - "value": "MP-5(4)" - }, - { - "name": "sort-id", - "value": "mp-05.04" - } - ], - "parts": [ - { - "id": "mp-5.4_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas." - }, - { - "id": "mp-5.4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to both portable storage devices (e.g., USB\n memory sticks, compact disks, digital video disks, external/removable hard disk\n drives) and mobile devices with storage capability (e.g., smart phones, tablets,\n E-readers).", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - } - ] - }, - { - "id": "mp-5.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs cryptographic mechanisms to protect the\n confidentiality and integrity of information stored on digital media during\n transport outside of controlled areas. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media transport\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system media transport records\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media transport\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms protecting information on digital media during\n transportation outside controlled areas" - } - ] - } - ] - } - ] - }, - { - "id": "mp-6", - "class": "SP800-53", - "title": "Media Sanitization", - "parameters": [ - { - "id": "mp-6_prm_1", - "label": "organization-defined information system media" - }, - { - "id": "mp-6_prm_2", - "label": "organization-defined sanitization techniques and procedures" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-6" - }, - { - "name": "sort-id", - "value": "mp-06" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#263823e0-a971-4b00-959d-315b26278b22", - "rel": "reference", - "text": "NIST Special Publication 800-88" - }, - { - "href": "#a47466c4-c837-4f06-a39f-e68412a5f73d", - "rel": "reference", - "text": "http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml" - } - ], - "parts": [ - { - "id": "mp-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "mp-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of\n organizational control, or release for reuse using {{ mp-6_prm_2 }}\n in accordance with applicable federal and organizational standards and policies;\n and" - }, - { - "id": "mp-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs sanitization mechanisms with the strength and integrity commensurate with\n the security category or classification of the information." - } - ] - }, - { - "id": "mp-6_gdn", - "name": "guidance", - "prose": "This control applies to all information system media, both digital and non-digital,\n subject to disposal or reuse, whether or not the media is considered removable.\n Examples include media found in scanners, copiers, printers, notebook computers,\n workstations, network components, and mobile devices. The sanitization process\n removes information from the media such that the information cannot be retrieved or\n reconstructed. Sanitization techniques, including clearing, purging, cryptographic\n erase, and destruction, prevent the disclosure of information to unauthorized\n individuals when such media is reused or released for disposal. Organizations\n determine the appropriate sanitization methods recognizing that destruction is\n sometimes necessary when other methods cannot be applied to media requiring\n sanitization. Organizations use discretion on the employment of approved sanitization\n techniques and procedures for media containing information deemed to be in the public\n domain or publicly releasable, or deemed to have no adverse impact on organizations\n or individuals if released for reuse or disposal. Sanitization of non-digital media\n includes, for example, removing a classified appendix from an otherwise unclassified\n document, or redacting selected sections or words from a document by obscuring the\n redacted sections/words in a manner equivalent in effectiveness to removing them from\n the document. NSA standards and policies control the sanitization process for media\n containing classified information.", - "links": [ - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-4", - "rel": "related", - "text": "SC-4" - } - ] - }, - { - "id": "mp-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)" - } - ], - "parts": [ - { - "id": "mp-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(a)[1]" - } - ], - "prose": "defines information system media to be sanitized prior to:", - "parts": [ - { - "id": "mp-6.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[1][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(a)[2]" - } - ], - "prose": "defines sanitization techniques or procedures to be used for sanitizing\n organization-defined information system media prior to:", - "parts": [ - { - "id": "mp-6.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][a]" - } - ], - "prose": "disposal;" - }, - { - "id": "mp-6.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][b]" - } - ], - "prose": "release out of organizational control; or" - }, - { - "id": "mp-6.a_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-6(a)[2][c]" - } - ], - "prose": "release for reuse;" - } - ] - }, - { - "id": "mp-6.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(a)[3]" - } - ], - "prose": "sanitizes organization-defined information system media prior to disposal,\n release out of organizational control, or release for reuse using\n organization-defined sanitization techniques or procedures in accordance with\n applicable federal and organizational standards and policies; and" - } - ] - }, - { - "id": "mp-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(b)" - } - ], - "prose": "employs sanitization mechanisms with strength and integrity commensurate with the\n security category or classification of the information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\napplicable federal standards and policies addressing media sanitization\\n\\nmedia sanitization records\\n\\naudit records\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with media sanitization responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ], - "controls": [ - { - "id": "mp-6.2", - "class": "SP800-53-enhancement", - "title": "Equipment Testing", - "parameters": [ - { - "id": "mp-6.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "MP-6(2)" - }, - { - "name": "sort-id", - "value": "mp-06.02" - } - ], - "parts": [ - { - "id": "mp-6.2_smt", - "name": "statement", - "prose": "The organization tests sanitization equipment and procedures {{ mp-6.2_prm_1 }} to verify that the intended sanitization is being\n achieved.", - "parts": [ - { - "id": "mp-6.2_fr", - "name": "item", - "title": "MP-6 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "mp-6.2_fr_gdn.a", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "Equipment and procedures may be tested or validated for effectiveness" - } - ] - } - ] - }, - { - "id": "mp-6.2_gdn", - "name": "guidance", - "prose": "Testing of sanitization equipment and procedures may be conducted by qualified and\n authorized external entities (e.g., other federal agencies or external service\n providers)." - }, - { - "id": "mp-6.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-6.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-6(2)[1]" - } - ], - "prose": "defines the frequency for testing sanitization equipment and procedures to\n verify that the intended sanitization is being achieved; and" - }, - { - "id": "mp-6.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-6(2)[2]" - } - ], - "prose": "tests sanitization equipment and procedures with the organization-defined\n frequency to verify that the intended sanitization is being achieved." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nprocedures addressing media sanitization and disposal\\n\\nprocedures addressing testing of media sanitization equipment\\n\\nresults of media sanitization equipment and procedures testing\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media sanitization\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media sanitization\\n\\nautomated mechanisms supporting and/or implementing media sanitization" - } - ] - } - ] - } - ] - }, - { - "id": "mp-7", - "class": "SP800-53", - "title": "Media Use", - "parameters": [ - { - "id": "mp-7_prm_1" - }, - { - "id": "mp-7_prm_2", - "label": "organization-defined types of information system media" - }, - { - "id": "mp-7_prm_3", - "label": "organization-defined information systems or system components" - }, - { - "id": "mp-7_prm_4", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "MP-7" - }, - { - "name": "sort-id", - "value": "mp-07" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "mp-7_smt", - "name": "statement", - "prose": "The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}." - }, - { - "id": "mp-7_gdn", - "name": "guidance", - "prose": "Information system media includes both digital and non-digital media. Digital media\n includes, for example, diskettes, magnetic tapes, external/removable hard disk\n drives, flash drives, compact disks, and digital video disks. Non-digital media\n includes, for example, paper and microfilm. This control also applies to mobile\n devices with information storage capability (e.g., smart phones, tablets, E-readers).\n In contrast to MP-2, which restricts user access to media, this control restricts the\n use of certain types of media on information systems, for example,\n restricting/prohibiting the use of flash drives or external hard disk drives.\n Organizations can employ technical and nontechnical safeguards (e.g., policies,\n procedures, rules of behavior) to restrict the use of information system media.\n Organizations may restrict the use of portable storage devices, for example, by using\n physical cages on workstations to prohibit access to certain external ports, or\n disabling/removing the ability to insert, read or write to such devices.\n Organizations may also limit the use of portable storage devices to only approved\n devices including, for example, devices provided by the organization, devices\n provided by other approved organizations, and devices that are not personally owned.\n Finally, organizations may restrict the use of portable storage devices based on the\n type of device, for example, prohibiting the use of writeable, portable storage\n devices, and implementing this restriction by disabling or removing the capability to\n write to such devices.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "mp-7_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "mp-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1]" - } - ], - "prose": "defines types of information system media to be:", - "parts": [ - { - "id": "mp-7_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][a]" - } - ], - "prose": "restricted on information systems or system components; or" - }, - { - "id": "mp-7_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[1][b]" - } - ], - "prose": "prohibited from use on information systems or system components;" - } - ] - }, - { - "id": "mp-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2]" - } - ], - "prose": "defines information systems or system components on which the use of\n organization-defined types of information system media is to be one of the\n following:", - "parts": [ - { - "id": "mp-7_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][a]" - } - ], - "prose": "restricted; or" - }, - { - "id": "mp-7_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "MP-7[2][b]" - } - ], - "prose": "prohibited;" - } - ] - }, - { - "id": "mp-7_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "MP-7[3]" - } - ], - "prose": "defines security safeguards to be employed to restrict or prohibit the use of\n organization-defined types of information system media on organization-defined\n information systems or system components; and" - }, - { - "id": "mp-7_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "MP-7[4]" - } - ], - "prose": "restricts or prohibits the use of organization-defined information system media on\n organization-defined information systems or system components using\n organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\\n\\nautomated mechanisms restricting or prohibiting use of information system media on\n information systems or system components" - } - ] - } - ], - "controls": [ - { - "id": "mp-7.1", - "class": "SP800-53-enhancement", - "title": "Prohibit Use Without Owner", - "properties": [ - { - "name": "label", - "value": "MP-7(1)" - }, - { - "name": "sort-id", - "value": "mp-07.01" - } - ], - "parts": [ - { - "id": "mp-7.1_smt", - "name": "statement", - "prose": "The organization prohibits the use of portable storage devices in organizational\n information systems when such devices have no identifiable owner." - }, - { - "id": "mp-7.1_gdn", - "name": "guidance", - "prose": "Requiring identifiable owners (e.g., individuals, organizations, or projects) for\n portable storage devices reduces the risk of using such technologies by allowing\n organizations to assign responsibility and accountability for addressing known\n vulnerabilities in the devices (e.g., malicious code insertion).", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - } - ] - }, - { - "id": "mp-7.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization prohibits the use of portable storage devices in\n organizational information systems when such devices have no identifiable owner.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system media protection policy\\n\\nsystem use policy\\n\\nprocedures addressing media usage restrictions\\n\\nsecurity plan\\n\\nrules of behavior\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\naudit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information system media use responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for media use\\n\\nautomated mechanisms prohibiting use of media on information systems or system\n components" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe", - "class": "family", - "title": "Physical and Environmental Protection", - "controls": [ - { - "id": "pe-1", - "class": "SP800-53", - "title": "Physical and Environmental Protection Policy and Procedures", - "parameters": [ - { - "id": "pe-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "pe-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-1" - }, - { - "name": "sort-id", - "value": "pe-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pe-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pe-1_prm_1 }}:", - "parts": [ - { - "id": "pe-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A physical and environmental protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "pe-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the physical and environmental\n protection policy and associated physical and environmental protection\n controls; and" - } - ] - }, - { - "id": "pe-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pe-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Physical and environmental protection policy {{ pe-1_prm_2 }};\n and" - }, - { - "id": "pe-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Physical and environmental protection procedures {{ pe-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pe-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PE\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pe-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pe-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)" - } - ], - "parts": [ - { - "id": "pe-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(1)[1]" - } - ], - "prose": "develops and documents a physical and environmental protection policy that\n addresses:", - "parts": [ - { - "id": "pe-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pe-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pe-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pe-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pe-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pe-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pe-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pe-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the physical and environmental protection\n policy is to be disseminated;" - }, - { - "id": "pe-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-1(a)(1)[3]" - } - ], - "prose": "disseminates the physical and environmental protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "pe-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(a)(2)" - } - ], - "parts": [ - { - "id": "pe-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n physical and environmental protection policy and associated physical and\n environmental protection controls;" - }, - { - "id": "pe-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pe-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pe-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(1)" - } - ], - "parts": [ - { - "id": "pe-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection policy;" - }, - { - "id": "pe-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "pe-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-1(b)(2)" - } - ], - "parts": [ - { - "id": "pe-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current physical and\n environmental protection procedures; and" - }, - { - "id": "pe-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current physical and environmental protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical and environmental protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pe-2", - "class": "SP800-53", - "title": "Physical Access Authorizations", - "parameters": [ - { - "id": "pe-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-2" - }, - { - "name": "sort-id", - "value": "pe-02" - } - ], - "parts": [ - { - "id": "pe-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, approves, and maintains a list of individuals with authorized access to\n the facility where the information system resides;" - }, - { - "id": "pe-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Issues authorization credentials for facility access;" - }, - { - "id": "pe-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the access list detailing authorized facility access by individuals\n {{ pe-2_prm_1 }}; and" - }, - { - "id": "pe-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "id": "pe-2_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Authorization credentials include, for\n example, badges, identification cards, and smart cards. Organizations determine the\n strength of authorization credentials needed (including level of forge-proof badges,\n smart cards, or identification cards) consistent with federal standards, policies,\n and procedures. This control only applies to areas within facilities that have not\n been designated as publicly accessible.", - "links": [ - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "pe-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(a)" - } - ], - "parts": [ - { - "id": "pe-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-2(a)[1]" - } - ], - "prose": "develops a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(a)[2]" - } - ], - "prose": "approves a list of individuals with authorized access to the facility where the\n information system resides;" - }, - { - "id": "pe-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-2(a)[3]" - } - ], - "prose": "maintains a list of individuals with authorized access to the facility where\n the information system resides;" - } - ] - }, - { - "id": "pe-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(b)" - } - ], - "prose": "issues authorization credentials for facility access;" - }, - { - "id": "pe-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-2(c)" - } - ], - "parts": [ - { - "id": "pe-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-2(c)[1]" - } - ], - "prose": "defines the frequency to review the access list detailing authorized facility\n access by individuals;" - }, - { - "id": "pe-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(c)[2]" - } - ], - "prose": "reviews the access list detailing authorized facility access by individuals\n with the organization-defined frequency; and" - } - ] - }, - { - "id": "pe-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-2(d)" - } - ], - "prose": "removes individuals from the facility access list when access is no longer\n required." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access authorizations\\n\\nsecurity plan\\n\\nauthorized personnel access list\\n\\nauthorization credentials\\n\\nphysical access list reviews\\n\\nphysical access termination records and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access authorization responsibilities\\n\\norganizational personnel with physical access to information system facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access authorizations\\n\\nautomated mechanisms supporting and/or implementing physical access\n authorizations" - } - ] - } - ] - }, - { - "id": "pe-3", - "class": "SP800-53", - "title": "Physical Access Control", - "parameters": [ - { - "id": "pe-3_prm_1", - "label": "organization-defined entry/exit points to the facility where the information\n system resides" - }, - { - "id": "pe-3_prm_2", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - { - "id": "pe-3_prm_3", - "depends-on": "pe-3_prm_2", - "label": "organization-defined physical access control systems/devices", - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices" - } - ] - }, - { - "id": "pe-3_prm_4", - "label": "organization-defined entry/exit points" - }, - { - "id": "pe-3_prm_5", - "label": "organization-defined security safeguards" - }, - { - "id": "pe-3_prm_6", - "label": "organization-defined circumstances requiring visitor escorts and\n monitoring", - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - { - "id": "pe-3_prm_7", - "label": "organization-defined physical access devices" - }, - { - "id": "pe-3_prm_8", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "pe-3_prm_9", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-3" - }, - { - "name": "sort-id", - "value": "pe-03" - } - ], - "links": [ - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#2157bb7e-192c-4eaa-877f-93ef6b0a3292", - "rel": "reference", - "text": "NIST Special Publication 800-116" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - }, - { - "href": "#398e33fd-f404-4e5c-b90e-2d50d3181244", - "rel": "reference", - "text": "ICD 705" - }, - { - "href": "#61081e7f-041d-4033-96a7-44a439071683", - "rel": "reference", - "text": "DoD Instruction 5200.39" - }, - { - "href": "#dd2f5acd-08f1-435a-9837-f8203088dc1a", - "rel": "reference", - "text": "Personal Identity Verification (PIV) in Enterprise\n Physical Access Control System (E-PACS)" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - } - ], - "parts": [ - { - "id": "pe-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Enforces physical access authorizations at {{ pe-3_prm_1 }} by;", - "parts": [ - { - "id": "pe-3_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Verifying individual access authorizations before granting access to the\n facility; and" - }, - { - "id": "pe-3_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Controlling ingress/egress to the facility using {{ pe-3_prm_2 }};" - } - ] - }, - { - "id": "pe-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Maintains physical access audit logs for {{ pe-3_prm_4 }};" - }, - { - "id": "pe-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides {{ pe-3_prm_5 }} to control access to areas within the\n facility officially designated as publicly accessible;" - }, - { - "id": "pe-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }};" - }, - { - "id": "pe-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Secures keys, combinations, and other physical access devices;" - }, - { - "id": "pe-3_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }};\n and" - }, - { - "id": "pe-3_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are\n lost, combinations are compromised, or individuals are transferred or\n terminated." - } - ] - }, - { - "id": "pe-3_gdn", - "name": "guidance", - "prose": "This control applies to organizational employees and visitors. Individuals (e.g.,\n employees, contractors, and others) with permanent physical access authorization\n credentials are not considered visitors. Organizations determine the types of\n facility guards needed including, for example, professional physical security staff\n or other personnel such as administrative staff or information system users. Physical\n access devices include, for example, keys, locks, combinations, and card readers.\n Safeguards for publicly accessible areas within organizational facilities include,\n for example, cameras, monitoring by guards, and isolating selected information\n systems and/or system components in secured areas. Physical access control systems\n comply with applicable federal laws, Executive Orders, directives, policies,\n regulations, standards, and guidance. The Federal Identity, Credential, and Access\n Management Program provides implementation guidance for identity, credential, and\n access management capabilities for physical access control systems. Organizations\n have flexibility in the types of audit logs employed. Audit logs can be procedural\n (e.g., a written log of individuals accessing the facility and when such access\n occurred), automated (e.g., capturing ID provided by a PIV card), or some combination\n thereof. Physical access points can include facility access points, interior access\n points to information systems and/or components requiring supplemental access\n controls, or both. Components of organizational information systems (e.g.,\n workstations, terminals) may be located in areas designated as publicly accessible\n with organizations safeguarding access to such devices.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#pe-5", - "rel": "related", - "text": "PE-5" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "pe-3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)" - } - ], - "parts": [ - { - "id": "pe-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(a)[1]" - } - ], - "prose": "defines entry/exit points to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(a)[2]" - } - ], - "prose": "enforces physical access authorizations at organization-defined entry/exit\n points to the facility where the information system resides by:", - "parts": [ - { - "id": "pe-3.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](1)" - } - ], - "prose": "verifying individual access authorizations before granting access to the\n facility;" - }, - { - "id": "pe-3.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(a)[2](2)" - } - ], - "parts": [ - { - "id": "pe-3.a.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[a]" - } - ], - "prose": "defining physical access control systems/devices to be employed to\n control ingress/egress to the facility where the information system\n resides;" - }, - { - "id": "pe-3.a.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b]" - } - ], - "prose": "using one or more of the following ways to control ingress/egress to the\n facility:", - "parts": [ - { - "id": "pe-3.a.2_obj.2.b.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][1]" - } - ], - "prose": "organization-defined physical access control systems/devices;\n and/or" - }, - { - "id": "pe-3.a.2_obj.2.b.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(a)[2](2)[b][2]" - } - ], - "prose": "guards;" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "pe-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(b)" - } - ], - "parts": [ - { - "id": "pe-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(b)[1]" - } - ], - "prose": "defines entry/exit points for which physical access audit logs are to be\n maintained;" - }, - { - "id": "pe-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(b)[2]" - } - ], - "prose": "maintains physical access audit logs for organization-defined entry/exit\n points;" - } - ] - }, - { - "id": "pe-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(c)" - } - ], - "parts": [ - { - "id": "pe-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(c)[1]" - } - ], - "prose": "defines security safeguards to be employed to control access to areas within\n the facility officially designated as publicly accessible;" - }, - { - "id": "pe-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(c)[2]" - } - ], - "prose": "provides organization-defined security safeguards to control access to areas\n within the facility officially designated as publicly accessible;" - } - ] - }, - { - "id": "pe-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)" - } - ], - "parts": [ - { - "id": "pe-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(d)[1]" - } - ], - "prose": "defines circumstances requiring visitor:", - "parts": [ - { - "id": "pe-3.d_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][a]" - } - ], - "prose": "escorts;" - }, - { - "id": "pe-3.d_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[1][b]" - } - ], - "prose": "monitoring;" - } - ] - }, - { - "id": "pe-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(d)[2]" - } - ], - "prose": "in accordance with organization-defined circumstances requiring visitor escorts\n and monitoring:", - "parts": [ - { - "id": "pe-3.d_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][a]" - } - ], - "prose": "escorts visitors;" - }, - { - "id": "pe-3.d_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(d)[2][b]" - } - ], - "prose": "monitors visitor activities;" - } - ] - } - ] - }, - { - "id": "pe-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(e)" - } - ], - "parts": [ - { - "id": "pe-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[1]" - } - ], - "prose": "secures keys;" - }, - { - "id": "pe-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[2]" - } - ], - "prose": "secures combinations;" - }, - { - "id": "pe-3.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(e)[3]" - } - ], - "prose": "secures other physical access devices;" - } - ] - }, - { - "id": "pe-3.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(f)" - } - ], - "parts": [ - { - "id": "pe-3.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(f)[1]" - } - ], - "prose": "defines physical access devices to be inventoried;" - }, - { - "id": "pe-3.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(f)[2]" - } - ], - "prose": "defines the frequency to inventory organization-defined physical access\n devices;" - }, - { - "id": "pe-3.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(f)[3]" - } - ], - "prose": "inventories the organization-defined physical access devices with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pe-3.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)" - } - ], - "parts": [ - { - "id": "pe-3.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-3(g)[1]" - } - ], - "prose": "defines the frequency to change combinations and keys; and" - }, - { - "id": "pe-3.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-3(g)[2]" - } - ], - "prose": "changes combinations and keys with the organization-defined frequency and/or\n when:", - "parts": [ - { - "id": "pe-3.g_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][a]" - } - ], - "prose": "keys are lost;" - }, - { - "id": "pe-3.g_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][b]" - } - ], - "prose": "combinations are compromised;" - }, - { - "id": "pe-3.g_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-3(g)[2][c]" - } - ], - "prose": "individuals are transferred or terminated." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access control\\n\\nsecurity plan\\n\\nphysical access control logs or records\\n\\ninventory records of physical access control devices\\n\\ninformation system entry and exit points\\n\\nrecords of key and lock combination changes\\n\\nstorage locations for physical access control devices\\n\\nphysical access control devices\\n\\nlist of security safeguards controlling access to designated publicly accessible\n areas within facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for physical access control\\n\\nautomated mechanisms supporting and/or implementing physical access control\\n\\nphysical access control devices" - } - ] - } - ] - }, - { - "id": "pe-4", - "class": "SP800-53", - "title": "Access Control for Transmission Medium", - "parameters": [ - { - "id": "pe-4_prm_1", - "label": "organization-defined information system distribution and transmission\n lines" - }, - { - "id": "pe-4_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-4" - }, - { - "name": "sort-id", - "value": "pe-04" - } - ], - "links": [ - { - "href": "#06dff0ea-3848-4945-8d91-e955ee69f05d", - "rel": "reference", - "text": "NSTISSI No. 7003" - } - ], - "parts": [ - { - "id": "pe-4_smt", - "name": "statement", - "prose": "The organization controls physical access to {{ pe-4_prm_1 }} within\n organizational facilities using {{ pe-4_prm_2 }}." - }, - { - "id": "pe-4_gdn", - "name": "guidance", - "prose": "Physical security safeguards applied to information system distribution and\n transmission lines help to prevent accidental damage, disruption, and physical\n tampering. In addition, physical safeguards may be necessary to help prevent\n eavesdropping or in transit modification of unencrypted transmissions. Security\n safeguards to control physical access to system distribution and transmission lines\n include, for example: (i) locked wiring closets; (ii) disconnected or locked spare\n jacks; and/or (iii) protection of cabling by conduit or cable trays.", - "links": [ - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-5", - "rel": "related", - "text": "PE-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "pe-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-4[1]" - } - ], - "prose": "defines information system distribution and transmission lines requiring physical\n access controls;" - }, - { - "id": "pe-4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-4[2]" - } - ], - "prose": "defines security safeguards to be employed to control physical access to\n organization-defined information system distribution and transmission lines within\n organizational facilities; and" - }, - { - "id": "pe-4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-4[3]" - } - ], - "prose": "controls physical access to organization-defined information system distribution\n and transmission lines within organizational facilities using organization-defined\n security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing access control for transmission medium\\n\\ninformation system design documentation\\n\\nfacility communications and wiring diagrams\\n\\nlist of physical security safeguards applied to information system distribution\n and transmission lines\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to distribution and transmission\n lines\\n\\nautomated mechanisms/security safeguards supporting and/or implementing access\n control to distribution and transmission lines" - } - ] - } - ] - }, - { - "id": "pe-5", - "class": "SP800-53", - "title": "Access Control for Output Devices", - "properties": [ - { - "name": "label", - "value": "PE-5" - }, - { - "name": "sort-id", - "value": "pe-05" - } - ], - "parts": [ - { - "id": "pe-5_smt", - "name": "statement", - "prose": "The organization controls physical access to information system output devices to\n prevent unauthorized individuals from obtaining the output." - }, - { - "id": "pe-5_gdn", - "name": "guidance", - "prose": "Controlling physical access to output devices includes, for example, placing output\n devices in locked rooms or other secured areas and allowing access to authorized\n individuals only, and placing output devices in locations that can be monitored by\n organizational personnel. Monitors, printers, copiers, scanners, facsimile machines,\n and audio devices are examples of information system output devices.", - "links": [ - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - }, - { - "href": "#pe-18", - "rel": "related", - "text": "PE-18" - } - ] - }, - { - "id": "pe-5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization controls physical access to information system output\n devices to prevent unauthorized individuals from obtaining the output. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing access control for display medium\\n\\nfacility layout of information system components\\n\\nactual displays from information system components\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access control to output devices\\n\\nautomated mechanisms supporting and/or implementing access control to output\n devices" - } - ] - } - ] - }, - { - "id": "pe-6", - "class": "SP800-53", - "title": "Monitoring Physical Access", - "parameters": [ - { - "id": "pe-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "pe-6_prm_2", - "label": "organization-defined events or potential indications of events" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-6" - }, - { - "name": "sort-id", - "value": "pe-06" - } - ], - "parts": [ - { - "id": "pe-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence\n of {{ pe-6_prm_2 }}; and" - }, - { - "id": "pe-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "id": "pe-6_gdn", - "name": "guidance", - "prose": "Organizational incident response capabilities include investigations of and responses\n to detected physical security incidents. Security incidents include, for example,\n apparent security violations or suspicious physical access activities. Suspicious\n physical access activities include, for example: (i) accesses outside of normal work\n hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for\n unusual lengths of time; and (iv) out-of-sequence accesses.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - } - ] - }, - { - "id": "pe-6_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(a)" - } - ], - "prose": "monitors physical access to the facility where the information system resides to\n detect and respond to physical security incidents;" - }, - { - "id": "pe-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-6(b)" - } - ], - "parts": [ - { - "id": "pe-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(b)[1]" - } - ], - "prose": "defines the frequency to review physical access logs;" - }, - { - "id": "pe-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-6(b)[2]" - } - ], - "prose": "defines events or potential indication of events requiring physical access logs\n to be reviewed;" - }, - { - "id": "pe-6.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-6(b)[3]" - } - ], - "prose": "reviews physical access logs with the organization-defined frequency and upon\n occurrence of organization-defined events or potential indications of events;\n and" - } - ] - }, - { - "id": "pe-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-6(c)" - } - ], - "prose": "coordinates results of reviews and investigations with the organizational incident\n response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical access\\n\\nautomated mechanisms supporting and/or implementing physical access monitoring\\n\\nautomated mechanisms supporting and/or implementing reviewing of physical access\n logs" - } - ] - } - ], - "controls": [ - { - "id": "pe-6.1", - "class": "SP800-53-enhancement", - "title": "Intrusion Alarms / Surveillance Equipment", - "properties": [ - { - "name": "label", - "value": "PE-6(1)" - }, - { - "name": "sort-id", - "value": "pe-06.01" - } - ], - "parts": [ - { - "id": "pe-6.1_smt", - "name": "statement", - "prose": "The organization monitors physical intrusion alarms and surveillance\n equipment." - }, - { - "id": "pe-6.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization monitors physical intrusion alarms and surveillance\n equipment. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing physical access monitoring\\n\\nsecurity plan\\n\\nphysical access logs or records\\n\\nphysical access monitoring records\\n\\nphysical access log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with physical access monitoring responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring physical intrusion alarms and\n surveillance equipment\\n\\nautomated mechanisms supporting and/or implementing physical access\n monitoring\\n\\nautomated mechanisms supporting and/or implementing physical intrusion alarms\n and surveillance equipment" - } - ] - } - ] - } - ] - }, - { - "id": "pe-8", - "class": "SP800-53", - "title": "Visitor Access Records", - "parameters": [ - { - "id": "pe-8_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - { - "id": "pe-8_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PE-8" - }, - { - "name": "sort-id", - "value": "pe-08" - } - ], - "parts": [ - { - "id": "pe-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains visitor access records to the facility where the information system\n resides for {{ pe-8_prm_1 }}; and" - }, - { - "id": "pe-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews visitor access records {{ pe-8_prm_2 }}." - } - ] - }, - { - "id": "pe-8_gdn", - "name": "guidance", - "prose": "Visitor access records include, for example, names and organizations of persons\n visiting, visitor signatures, forms of identification, dates of access, entry and\n departure times, purposes of visits, and names and organizations of persons visited.\n Visitor access records are not required for publicly accessible areas." - }, - { - "id": "pe-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(a)" - } - ], - "parts": [ - { - "id": "pe-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-8(a)[1]" - } - ], - "prose": "defines the time period to maintain visitor access records to the facility\n where the information system resides;" - }, - { - "id": "pe-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-8(a)[2]" - } - ], - "prose": "maintains visitor access records to the facility where the information system\n resides for the organization-defined time period;" - } - ] - }, - { - "id": "pe-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-8(b)" - } - ], - "parts": [ - { - "id": "pe-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-8(b)[1]" - } - ], - "prose": "defines the frequency to review visitor access records; and" - }, - { - "id": "pe-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-8(b)[2]" - } - ], - "prose": "reviews visitor access records with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing visitor access records\\n\\nsecurity plan\\n\\nvisitor access control logs or records\\n\\nvisitor access record or log reviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with visitor access records responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for maintaining and reviewing visitor access records\\n\\nautomated mechanisms supporting and/or implementing maintenance and review of\n visitor access records" - } - ] - } - ] - }, - { - "id": "pe-9", - "class": "SP800-53", - "title": "Power Equipment and Cabling", - "properties": [ - { - "name": "label", - "value": "PE-9" - }, - { - "name": "sort-id", - "value": "pe-09" - } - ], - "parts": [ - { - "id": "pe-9_smt", - "name": "statement", - "prose": "The organization protects power equipment and power cabling for the information\n system from damage and destruction." - }, - { - "id": "pe-9_gdn", - "name": "guidance", - "prose": "Organizations determine the types of protection necessary for power equipment and\n cabling employed at different locations both internal and external to organizational\n facilities and environments of operation. This includes, for example, generators and\n power cabling outside of buildings, internal cabling and uninterruptable power\n sources within an office or data center, and power sources for self-contained\n entities such as vehicles and satellites.", - "links": [ - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - } - ] - }, - { - "id": "pe-9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects power equipment and power cabling for the\n information system from damage and destruction. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing power equipment/cabling protection\\n\\nfacilities housing power equipment/cabling\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for protecting power\n equipment/cabling\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing protection of power\n equipment/cabling" - } - ] - } - ] - }, - { - "id": "pe-10", - "class": "SP800-53", - "title": "Emergency Shutoff", - "parameters": [ - { - "id": "pe-10_prm_1", - "label": "organization-defined location by information system or system component" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-10" - }, - { - "name": "sort-id", - "value": "pe-10" - } - ], - "parts": [ - { - "id": "pe-10_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides the capability of shutting off power to the information system or\n individual system components in emergency situations;" - }, - { - "id": "pe-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Places emergency shutoff switches or devices in {{ pe-10_prm_1 }}\n to facilitate safe and easy access for personnel; and" - }, - { - "id": "pe-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Protects emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "id": "pe-10_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.", - "links": [ - { - "href": "#pe-15", - "rel": "related", - "text": "PE-15" - } - ] - }, - { - "id": "pe-10_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-10(a)" - } - ], - "prose": "provides the capability of shutting off power to the information system or\n individual system components in emergency situations;" - }, - { - "id": "pe-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-10(b)" - } - ], - "parts": [ - { - "id": "pe-10.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-10(b)[1]" - } - ], - "prose": "defines the location of emergency shutoff switches or devices by information\n system or system component;" - }, - { - "id": "pe-10.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-10(b)[2]" - } - ], - "prose": "places emergency shutoff switches or devices in the organization-defined\n location by information system or system component to facilitate safe and easy\n access for personnel; and" - } - ] - }, - { - "id": "pe-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-10(c)" - } - ], - "prose": "protects emergency power shutoff capability from unauthorized activation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing power source emergency shutoff\\n\\nsecurity plan\\n\\nemergency shutoff controls or switches\\n\\nlocations housing emergency shutoff switches and devices\\n\\nsecurity safeguards protecting emergency power shutoff capability from\n unauthorized activation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency power shutoff\n capability (both implementing and using the capability)\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency power shutoff" - } - ] - } - ] - }, - { - "id": "pe-11", - "class": "SP800-53", - "title": "Emergency Power", - "parameters": [ - { - "id": "pe-11_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-11" - }, - { - "name": "sort-id", - "value": "pe-11" - } - ], - "parts": [ - { - "id": "pe-11_smt", - "name": "statement", - "prose": "The organization provides a short-term uninterruptible power supply to facilitate\n {{ pe-11_prm_1 }} in the event of a primary power source loss." - }, - { - "id": "pe-11_gdn", - "name": "guidance", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-11_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization provides a short-term uninterruptible power supply to\n facilitate one or more of the following in the event of a primary power source loss: ", - "parts": [ - { - "id": "pe-11_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-11[1]" - } - ], - "prose": "an orderly shutdown of the information system; and/or" - }, - { - "id": "pe-11_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-11[2]" - } - ], - "prose": "transition of the information system to long-term alternate power." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency power\\n\\nuninterruptible power supply\\n\\nuninterruptible power supply documentation\\n\\nuninterruptible power supply test records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency power and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing uninterruptible power\n supply\\n\\nthe uninterruptable power supply" - } - ] - } - ] - }, - { - "id": "pe-12", - "class": "SP800-53", - "title": "Emergency Lighting", - "properties": [ - { - "name": "label", - "value": "PE-12" - }, - { - "name": "sort-id", - "value": "pe-12" - } - ], - "parts": [ - { - "id": "pe-12_smt", - "name": "statement", - "prose": "The organization employs and maintains automatic emergency lighting for the\n information system that activates in the event of a power outage or disruption and\n that covers emergency exits and evacuation routes within the facility." - }, - { - "id": "pe-12_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-12_obj", - "name": "objective", - "prose": "Determine if the organization employs and maintains automatic emergency lighting for\n the information system that: ", - "parts": [ - { - "id": "pe-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-12[1]" - } - ], - "prose": "activates in the event of a power outage or disruption; and" - }, - { - "id": "pe-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-12[2]" - } - ], - "prose": "covers emergency exits and evacuation routes within the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing emergency lighting\\n\\nemergency lighting documentation\\n\\nemergency lighting test records\\n\\nemergency exits and evacuation routes\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for emergency lighting and/or\n planning\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing emergency lighting\n capability" - } - ] - } - ] - }, - { - "id": "pe-13", - "class": "SP800-53", - "title": "Fire Protection", - "properties": [ - { - "name": "label", - "value": "PE-13" - }, - { - "name": "sort-id", - "value": "pe-13" - } - ], - "parts": [ - { - "id": "pe-13_smt", - "name": "statement", - "prose": "The organization employs and maintains fire suppression and detection devices/systems\n for the information system that are supported by an independent energy source." - }, - { - "id": "pe-13_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Fire suppression and detection devices/systems include, for example,\n sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke\n detectors." - }, - { - "id": "pe-13_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[1]" - } - ], - "prose": "employs fire suppression and detection devices/systems for the information system\n that are supported by an independent energy source; and" - }, - { - "id": "pe-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13[2]" - } - ], - "prose": "maintains fire suppression and detection devices/systems for the information\n system that are supported by an independent energy source." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems\\n\\nfire suppression and detection devices/systems documentation\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and suppression\n devices/systems\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression/detection\n devices/systems" - } - ] - } - ], - "controls": [ - { - "id": "pe-13.2", - "class": "SP800-53-enhancement", - "title": "Suppression Devices / Systems", - "parameters": [ - { - "id": "pe-13.2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pe-13.2_prm_2", - "label": "organization-defined emergency responders" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-13(2)" - }, - { - "name": "sort-id", - "value": "pe-13.02" - } - ], - "parts": [ - { - "id": "pe-13.2_smt", - "name": "statement", - "prose": "The organization employs fire suppression devices/systems for the information\n system that provide automatic notification of any activation to {{ pe-13.2_prm_1 }} and {{ pe-13.2_prm_2 }}." - }, - { - "id": "pe-13.2_gdn", - "name": "guidance", - "prose": "Organizations can identify specific personnel, roles, and emergency responders in\n the event that individuals on the notification list must have appropriate access\n authorizations and/or clearances, for example, to obtain access to facilities\n where classified operations are taking place or where there are information\n systems containing classified information." - }, - { - "id": "pe-13.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-13.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(2)[1]" - } - ], - "prose": "defines personnel or roles to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;" - }, - { - "id": "pe-13.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-13(2)[2]" - } - ], - "prose": "defines emergency responders to be provided automatic notification of any\n activation of fire suppression devices/systems for the information system;" - }, - { - "id": "pe-13.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-13(2)[3]" - } - ], - "prose": "employs fire suppression devices/systems for the information system that\n provide automatic notification of any activation to:", - "parts": [ - { - "id": "pe-13.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(2)[3][a]" - } - ], - "prose": "organization-defined personnel or roles; and" - }, - { - "id": "pe-13.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-13(2)[3][b]" - } - ], - "prose": "organization-defined emergency responders." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)\\n\\nautomated notifications" - } - ] - } - ] - }, - { - "id": "pe-13.3", - "class": "SP800-53-enhancement", - "title": "Automatic Fire Suppression", - "properties": [ - { - "name": "label", - "value": "PE-13(3)" - }, - { - "name": "sort-id", - "value": "pe-13.03" - } - ], - "parts": [ - { - "id": "pe-13.3_smt", - "name": "statement", - "prose": "The organization employs an automatic fire suppression capability for the\n information system when the facility is not staffed on a continuous basis." - }, - { - "id": "pe-13.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs an automatic fire suppression capability for\n the information system when the facility is not staffed on a continuous basis.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing fire protection\\n\\nfire suppression and detection devices/systems documentation\\n\\nfacility housing the information system\\n\\nalarm service-level agreements\\n\\ntest records of fire suppression and detection devices/systems\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for fire detection and\n suppression devices/systems\\n\\norganizational personnel with responsibilities for providing automatic\n notifications of any activation of fire suppression devices/systems to\n appropriate personnel, roles, and emergency responders\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing fire suppression\n devices/systems\\n\\nactivation of fire suppression devices/systems (simulated)" - } - ] - } - ] - } - ] - }, - { - "id": "pe-14", - "class": "SP800-53", - "title": "Temperature and Humidity Controls", - "parameters": [ - { - "id": "pe-14_prm_1", - "label": "organization-defined acceptable levels", - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - { - "id": "pe-14_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "continuously" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-14" - }, - { - "name": "sort-id", - "value": "pe-14" - } - ], - "parts": [ - { - "id": "pe-14_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-14_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Maintains temperature and humidity levels within the facility where the\n information system resides at {{ pe-14_prm_1 }}; and" - }, - { - "id": "pe-14_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Monitors temperature and humidity levels {{ pe-14_prm_2 }}." - }, - { - "id": "pe-14_fr", - "name": "item", - "title": "PE-14(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pe-14_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider measures temperature at server inlets and humidity levels by dew point." - } - ] - } - ] - }, - { - "id": "pe-14_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources, for example, data centers, server rooms, and mainframe computer\n rooms.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-14_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-14.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(a)" - } - ], - "parts": [ - { - "id": "pe-14.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(a)[1]" - } - ], - "prose": "defines acceptable temperature levels to be maintained within the facility\n where the information system resides;" - }, - { - "id": "pe-14.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(a)[2]" - } - ], - "prose": "defines acceptable humidity levels to be maintained within the facility where\n the information system resides;" - }, - { - "id": "pe-14.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(a)[3]" - } - ], - "prose": "maintains temperature levels within the facility where the information system\n resides at the organization-defined levels;" - }, - { - "id": "pe-14.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(a)[4]" - } - ], - "prose": "maintains humidity levels within the facility where the information system\n resides at the organization-defined levels;" - } - ] - }, - { - "id": "pe-14.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(b)" - } - ], - "parts": [ - { - "id": "pe-14.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(b)[1]" - } - ], - "prose": "defines the frequency to monitor temperature levels;" - }, - { - "id": "pe-14.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-14(b)[2]" - } - ], - "prose": "defines the frequency to monitor humidity levels;" - }, - { - "id": "pe-14.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(b)[3]" - } - ], - "prose": "monitors temperature levels with the organization-defined frequency; and" - }, - { - "id": "pe-14.b_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(b)[4]" - } - ], - "prose": "monitors humidity levels with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity control\\n\\nsecurity plan\\n\\ntemperature and humidity controls\\n\\nfacility housing the information system\\n\\ntemperature and humidity controls documentation\\n\\ntemperature and humidity records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing maintenance and monitoring of\n temperature and humidity levels" - } - ] - } - ], - "controls": [ - { - "id": "pe-14.2", - "class": "SP800-53-enhancement", - "title": "Monitoring with Alarms / Notifications", - "properties": [ - { - "name": "label", - "value": "PE-14(2)" - }, - { - "name": "sort-id", - "value": "pe-14.02" - } - ], - "parts": [ - { - "id": "pe-14.2_smt", - "name": "statement", - "prose": "The organization employs temperature and humidity monitoring that provides an\n alarm or notification of changes potentially harmful to personnel or\n equipment." - }, - { - "id": "pe-14.2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-14.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(2)[1]" - } - ], - "prose": "employs temperature monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or" - }, - { - "id": "pe-14.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-14(2)[2]" - } - ], - "prose": "employs temperature monitoring that provides notification of changes\n potentially harmful to personnel or equipment;" - }, - { - "id": "pe-14.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(2)[3]" - } - ], - "prose": "employs humidity monitoring that provides an alarm of changes potentially\n harmful to personnel or equipment; and/or" - }, - { - "id": "pe-14.2_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-14(2)[4]" - } - ], - "prose": "employs humidity monitoring that provides notification of changes potentially\n harmful to personnel or equipment." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing temperature and humidity monitoring\\n\\nfacility housing the information system\\n\\nlogs or records of temperature and humidity monitoring\\n\\nrecords of changes to temperature and humidity levels that generate alarms or\n notifications\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing temperature and humidity\n monitoring" - } - ] - } - ] - } - ] - }, - { - "id": "pe-15", - "class": "SP800-53", - "title": "Water Damage Protection", - "properties": [ - { - "name": "label", - "value": "PE-15" - }, - { - "name": "sort-id", - "value": "pe-15" - } - ], - "parts": [ - { - "id": "pe-15_smt", - "name": "statement", - "prose": "The organization protects the information system from damage resulting from water\n leakage by providing master shutoff or isolation valves that are accessible, working\n properly, and known to key personnel." - }, - { - "id": "pe-15_gdn", - "name": "guidance", - "prose": "This control applies primarily to facilities containing concentrations of information\n system resources including, for example, data centers, server rooms, and mainframe\n computer rooms. Isolation valves can be employed in addition to or in lieu of master\n shutoff valves to shut off water supplies in specific areas of concern, without\n affecting entire organizations.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - } - ] - }, - { - "id": "pe-15_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization protects the information system from damage resulting\n from water leakage by providing master shutoff or isolation valves that are: ", - "parts": [ - { - "id": "pe-15_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[1]" - } - ], - "prose": "accessible;" - }, - { - "id": "pe-15_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[2]" - } - ], - "prose": "working properly; and" - }, - { - "id": "pe-15_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-15[3]" - } - ], - "prose": "known to key personnel." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing water damage protection\\n\\nfacility housing the information system\\n\\nmaster shutoff valves\\n\\nlist of key personnel with knowledge of location and activation procedures for\n master shutoff valves for the plumbing system\\n\\nmaster shutoff valve documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for information system\n environmental controls\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Master water-shutoff valves\\n\\norganizational process for activating master water-shutoff" - } - ] - } - ] - }, - { - "id": "pe-16", - "class": "SP800-53", - "title": "Delivery and Removal", - "parameters": [ - { - "id": "pe-16_prm_1", - "label": "organization-defined types of information system components", - "constraints": [ - { - "detail": "all information system components" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PE-16" - }, - { - "name": "sort-id", - "value": "pe-16" - } - ], - "parts": [ - { - "id": "pe-16_smt", - "name": "statement", - "prose": "The organization authorizes, monitors, and controls {{ pe-16_prm_1 }}\n entering and exiting the facility and maintains records of those items." - }, - { - "id": "pe-16_gdn", - "name": "guidance", - "prose": "Effectively enforcing authorizations for entry and exit of information system\n components may require restricting access to delivery areas and possibly isolating\n the areas from the information system and media libraries.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ma-3", - "rel": "related", - "text": "MA-3" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "pe-16_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-16[1]" - } - ], - "prose": "defines types of information system components to be authorized, monitored, and\n controlled as such components are entering and exiting the facility;" - }, - { - "id": "pe-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[2]" - } - ], - "prose": "authorizes organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[3]" - } - ], - "prose": "monitors organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[4]" - } - ], - "prose": "controls organization-defined information system components entering the\n facility;" - }, - { - "id": "pe-16_obj.5", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[5]" - } - ], - "prose": "authorizes organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.6", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[6]" - } - ], - "prose": "monitors organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.7", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-16[7]" - } - ], - "prose": "controls organization-defined information system components exiting the\n facility;" - }, - { - "id": "pe-16_obj.8", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16[8]" - } - ], - "prose": "maintains records of information system components entering the facility; and" - }, - { - "id": "pe-16_obj.9", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-16[9]" - } - ], - "prose": "maintains records of information system components exiting the facility." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing delivery and removal of information system components from\n the facility\\n\\nsecurity plan\\n\\nfacility housing the information system\\n\\nrecords of items entering and exiting the facility\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibilities for controlling information system\n components entering and exiting the facility\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling information\n system-related items entering and exiting the facility\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling information system-related items entering and exiting the facility" - } - ] - } - ] - }, - { - "id": "pe-17", - "class": "SP800-53", - "title": "Alternate Work Site", - "parameters": [ - { - "id": "pe-17_prm_1", - "label": "organization-defined security controls" - } - ], - "properties": [ - { - "name": "label", - "value": "PE-17" - }, - { - "name": "sort-id", - "value": "pe-17" - } - ], - "links": [ - { - "href": "#5309d4d0-46f8-4213-a749-e7584164e5e8", - "rel": "reference", - "text": "NIST Special Publication 800-46" - } - ], - "parts": [ - { - "id": "pe-17_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pe-17_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs {{ pe-17_prm_1 }} at alternate work sites;" - }, - { - "id": "pe-17_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Assesses as feasible, the effectiveness of security controls at alternate work\n sites; and" - }, - { - "id": "pe-17_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Provides a means for employees to communicate with information security personnel\n in case of security incidents or problems." - } - ] - }, - { - "id": "pe-17_gdn", - "name": "guidance", - "prose": "Alternate work sites may include, for example, government facilities or private\n residences of employees. While commonly distinct from alternative processing sites,\n alternate work sites may provide readily available alternate locations as part of\n contingency operations. Organizations may define different sets of security controls\n for specific alternate work sites or types of sites depending on the work-related\n activities conducted at those sites. This control supports the contingency planning\n activities of organizations and the federal telework initiative.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#cp-7", - "rel": "related", - "text": "CP-7" - } - ] - }, - { - "id": "pe-17_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pe-17.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PE-17(a)" - } - ], - "parts": [ - { - "id": "pe-17.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PE-17(a)[1]" - } - ], - "prose": "defines security controls to be employed at alternate work sites;" - }, - { - "id": "pe-17.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-17(a)[2]" - } - ], - "prose": "employs organization-defined security controls at alternate work sites;" - } - ] - }, - { - "id": "pe-17.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PE-17(b)" - } - ], - "prose": "assesses, as feasible, the effectiveness of security controls at alternate work\n sites; and" - }, - { - "id": "pe-17.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PE-17(c)" - } - ], - "prose": "provides a means for employees to communicate with information security personnel\n in case of security incidents or problems." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Physical and environmental protection policy\\n\\nprocedures addressing alternate work sites for organizational personnel\\n\\nsecurity plan\\n\\nlist of security controls required for alternate work sites\\n\\nassessments of security controls at alternate work sites\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel approving use of alternate work sites\\n\\norganizational personnel using alternate work sites\\n\\norganizational personnel assessing controls at alternate work sites\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security at alternate work sites\\n\\nautomated mechanisms supporting alternate work sites\\n\\nsecurity controls employed at alternate work sites\\n\\nmeans of communications between personnel at alternate work sites and security\n personnel" - } - ] - } - ] - } - ] - }, - { - "id": "pl", - "class": "family", - "title": "Planning", - "controls": [ - { - "id": "pl-1", - "class": "SP800-53", - "title": "Security Planning Policy and Procedures", - "parameters": [ - { - "id": "pl-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "pl-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-1" - }, - { - "name": "sort-id", - "value": "pl-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "pl-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ pl-1_prm_1 }}:", - "parts": [ - { - "id": "pl-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A security planning policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "pl-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the security planning policy and\n associated security planning controls; and" - } - ] - }, - { - "id": "pl-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "pl-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Security planning policy {{ pl-1_prm_2 }}; and" - }, - { - "id": "pl-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Security planning procedures {{ pl-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "pl-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PL\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "pl-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "pl-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)" - } - ], - "parts": [ - { - "id": "pl-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(1)[1]" - } - ], - "prose": "develops and documents a planning policy that addresses:", - "parts": [ - { - "id": "pl-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "pl-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "pl-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "pl-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "pl-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "pl-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "pl-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "pl-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the planning policy is to be\n disseminated;" - }, - { - "id": "pl-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-1(a)(1)[3]" - } - ], - "prose": "disseminates the planning policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "pl-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(a)(2)" - } - ], - "parts": [ - { - "id": "pl-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n planning policy and associated planning controls;" - }, - { - "id": "pl-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "pl-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "pl-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(1)" - } - ], - "parts": [ - { - "id": "pl-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning policy;" - }, - { - "id": "pl-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current planning policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-1(b)(2)" - } - ], - "parts": [ - { - "id": "pl-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current planning procedures;\n and" - }, - { - "id": "pl-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current planning procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Planning policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with planning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "pl-2", - "class": "SP800-53", - "title": "System Security Plan", - "parameters": [ - { - "id": "pl-2_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "pl-2_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-2" - }, - { - "name": "sort-id", - "value": "pl-02" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2_smt.a.4", - "name": "item", - "properties": [ - { - "name": "label", - "value": "4." - } - ], - "prose": "Provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2_smt.a.5", - "name": "item", - "properties": [ - { - "name": "label", - "value": "5." - } - ], - "prose": "Describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2_smt.a.6", - "name": "item", - "properties": [ - { - "name": "label", - "value": "6." - } - ], - "prose": "Provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2_smt.a.7", - "name": "item", - "properties": [ - { - "name": "label", - "value": "7." - } - ], - "prose": "Identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2_smt.a.8", - "name": "item", - "properties": [ - { - "name": "label", - "value": "8." - } - ], - "prose": "Describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring decisions; and" - }, - { - "id": "pl-2_smt.a.9", - "name": "item", - "properties": [ - { - "name": "label", - "value": "9." - } - ], - "prose": "Is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Distributes copies of the security plan and communicates subsequent changes to the\n plan to {{ pl-2_prm_1 }};" - }, - { - "id": "pl-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews the security plan for the information system {{ pl-2_prm_2 }};" - }, - { - "id": "pl-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Updates the plan to address changes to the information system/environment of\n operation or problems identified during plan implementation or security control\n assessments; and" - }, - { - "id": "pl-2_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Protects the security plan from unauthorized disclosure and modification." - } - ] - }, - { - "id": "pl-2_gdn", - "name": "guidance", - "prose": "Security plans relate security requirements to a set of security controls and control\n enhancements. Security plans also describe, at a high level, how the security\n controls and control enhancements meet those security requirements, but do not\n provide detailed, technical descriptions of the specific design or implementation of\n the controls/enhancements. Security plans contain sufficient information (including\n the specification of parameter values for assignment and selection statements either\n explicitly or by reference) to enable a design and implementation that is\n unambiguously compliant with the intent of the plans and subsequent determinations of\n risk to organizational operations and assets, individuals, other organizations, and\n the Nation if the plan is implemented as intended. Organizations can also apply\n tailoring guidance to the security control baselines in Appendix D and CNSS\n Instruction 1253 to develop overlays for community-wide use or to address specialized\n requirements, technologies, or missions/environments of operation (e.g.,\n DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and\n Access Management, space operations). Appendix I provides guidance on developing\n overlays. Security plans need not be single documents; the plans can be a collection\n of various documents including documents that already exist. Effective security plans\n make extensive use of references to policies, procedures, and additional documents\n (e.g., design and implementation specifications) where more detailed information can\n be obtained. This reduces the documentation requirements associated with security\n programs and maintains security-related information in other established\n management/operational areas related to enterprise architecture, system development\n life cycle, systems engineering, and acquisition. For example, security plans do not\n contain detailed contingency plan or incident response plan information but instead\n provide explicitly or by reference, sufficient information to define what needs to be\n accomplished by those plans.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-14", - "rel": "related", - "text": "AC-14" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#ir-8", - "rel": "related", - "text": "IR-8" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#ma-5", - "rel": "related", - "text": "MA-5" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#pl-7", - "rel": "related", - "text": "PL-7" - }, - { - "href": "#pm-1", - "rel": "related", - "text": "PM-1" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#pm-8", - "rel": "related", - "text": "PM-8" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - } - ] - }, - { - "id": "pl-2_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(a)" - } - ], - "prose": "develops a security plan for the information system that:", - "parts": [ - { - "id": "pl-2.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(1)" - } - ], - "prose": "is consistent with the organization’s enterprise architecture;" - }, - { - "id": "pl-2.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(2)" - } - ], - "prose": "explicitly defines the authorization boundary for the system;" - }, - { - "id": "pl-2.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(3)" - } - ], - "prose": "describes the operational context of the information system in terms of\n missions and business processes;" - }, - { - "id": "pl-2.a.4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(4)" - } - ], - "prose": "provides the security categorization of the information system including\n supporting rationale;" - }, - { - "id": "pl-2.a.5_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(5)" - } - ], - "prose": "describes the operational environment for the information system and\n relationships with or connections to other information systems;" - }, - { - "id": "pl-2.a.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(6)" - } - ], - "prose": "provides an overview of the security requirements for the system;" - }, - { - "id": "pl-2.a.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(7)" - } - ], - "prose": "identifies any relevant overlays, if applicable;" - }, - { - "id": "pl-2.a.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(a)(8)" - } - ], - "prose": "describes the security controls in place or planned for meeting those\n requirements including a rationale for the tailoring and supplemental\n decisions;" - }, - { - "id": "pl-2.a.9_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(a)(9)" - } - ], - "prose": "is reviewed and approved by the authorizing official or designated\n representative prior to plan implementation;" - } - ] - }, - { - "id": "pl-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(b)" - } - ], - "parts": [ - { - "id": "pl-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(b)[1]" - } - ], - "prose": "defines personnel or roles to whom copies of the security plan are to be\n distributed and subsequent changes to the plan are to be communicated;" - }, - { - "id": "pl-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(b)[2]" - } - ], - "prose": "distributes copies of the security plan and communicates subsequent changes to\n the plan to organization-defined personnel or roles;" - } - ] - }, - { - "id": "pl-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(c)" - } - ], - "parts": [ - { - "id": "pl-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(c)[1]" - } - ], - "prose": "defines the frequency to review the security plan for the information\n system;" - }, - { - "id": "pl-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(c)[2]" - } - ], - "prose": "reviews the security plan for the information system with the\n organization-defined frequency;" - } - ] - }, - { - "id": "pl-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(d)" - } - ], - "prose": "updates the plan to address:", - "parts": [ - { - "id": "pl-2.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[1]" - } - ], - "prose": "changes to the information system/environment of operation;" - }, - { - "id": "pl-2.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[2]" - } - ], - "prose": "problems identified during plan implementation;" - }, - { - "id": "pl-2.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(d)[3]" - } - ], - "prose": "problems identified during security control assessments;" - } - ] - }, - { - "id": "pl-2.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-2(e)" - } - ], - "prose": "protects the security plan from unauthorized:", - "parts": [ - { - "id": "pl-2.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[1]" - } - ], - "prose": "disclosure; and" - }, - { - "id": "pl-2.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-2(e)[2]" - } - ], - "prose": "modification." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing security plan development and implementation\\n\\nprocedures addressing security plan reviews and updates\\n\\nenterprise architecture documentation\\n\\nsecurity plan for the information system\\n\\nrecords of security plan reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security plan development/review/update/approval\\n\\nautomated mechanisms supporting the information system security plan" - } - ] - } - ], - "controls": [ - { - "id": "pl-2.3", - "class": "SP800-53-enhancement", - "title": "Plan / Coordinate with Other Organizational Entities", - "parameters": [ - { - "id": "pl-2.3_prm_1", - "label": "organization-defined individuals or groups" - } - ], - "properties": [ - { - "name": "label", - "value": "PL-2(3)" - }, - { - "name": "sort-id", - "value": "pl-02.03" - } - ], - "parts": [ - { - "id": "pl-2.3_smt", - "name": "statement", - "prose": "The organization plans and coordinates security-related activities affecting the\n information system with {{ pl-2.3_prm_1 }} before conducting such\n activities in order to reduce the impact on other organizational entities." - }, - { - "id": "pl-2.3_gdn", - "name": "guidance", - "prose": "Security-related activities include, for example, security assessments, audits,\n hardware and software maintenance, patch management, and contingency plan testing.\n Advance planning and coordination includes emergency and nonemergency (i.e.,\n planned or nonurgent unplanned) situations. The process defined by organizations\n to plan and coordinate security-related activities can be included in security\n plans for information systems or other documents, as appropriate.", - "links": [ - { - "href": "#cp-4", - "rel": "related", - "text": "CP-4" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - } - ] - }, - { - "id": "pl-2.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-2.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-2(3)[1]" - } - ], - "prose": "defines individuals or groups with whom security-related activities affecting\n the information system are to be planned and coordinated before conducting such\n activities in order to reduce the impact on other organizational entities;\n and" - }, - { - "id": "pl-2.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PL-2(3)[2]" - } - ], - "prose": "plans and coordinates security-related activities affecting the information\n system with organization-defined individuals or groups before conducting such\n activities in order to reduce the impact on other organizational entities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\naccess control policy\\n\\ncontingency planning policy\\n\\nprocedures addressing security-related activity planning for the information\n system\\n\\nsecurity plan for the information system\\n\\ncontingency plan for the information system\\n\\ninformation system design documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational individuals or groups with whom security-related activities are\n to be planned and coordinated\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - } - ] - }, - { - "id": "pl-4", - "class": "SP800-53", - "title": "Rules of Behavior", - "parameters": [ - { - "id": "pl-4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "At least every 3 years" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PL-4" - }, - { - "name": "sort-id", - "value": "pl-04" - } - ], - "links": [ - { - "href": "#9c5c9e8c-dc81-4f55-a11c-d71d7487790f", - "rel": "reference", - "text": "NIST Special Publication 800-18" - } - ], - "parts": [ - { - "id": "pl-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes and makes readily available to individuals requiring access to the\n information system, the rules that describe their responsibilities and expected\n behavior with regard to information and information system usage;" - }, - { - "id": "pl-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Receives a signed acknowledgment from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and" - }, - { - "id": "pl-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires individuals who have signed a previous version of the rules of behavior\n to read and re-sign when the rules of behavior are revised/updated." - } - ] - }, - { - "id": "pl-4_gdn", - "name": "guidance", - "prose": "This control enhancement applies to organizational users. Organizations consider\n rules of behavior based on individual user roles and responsibilities,\n differentiating, for example, between rules that apply to privileged users and rules\n that apply to general users. Establishing rules of behavior for some types of\n non-organizational users including, for example, individuals who simply receive\n data/information from federal information systems, is often not feasible given the\n large number of such users and the limited nature of their interactions with the\n systems. Rules of behavior for both organizational and non-organizational users can\n also be established in AC-8, System Use Notification. PL-4 b. (the signed\n acknowledgment portion of this control) may be satisfied by the security awareness\n training and role-based security training programs conducted by organizations if such\n training includes rules of behavior. Organizations can use electronic signatures for\n acknowledging rules of behavior.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-9", - "rel": "related", - "text": "AC-9" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#ac-20", - "rel": "related", - "text": "AC-20" - }, - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#ia-5", - "rel": "related", - "text": "IA-5" - }, - { - "href": "#mp-7", - "rel": "related", - "text": "MP-7" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "pl-4_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(a)" - } - ], - "parts": [ - { - "id": "pl-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-4(a)[1]" - } - ], - "prose": "establishes, for individuals requiring access to the information system, the\n rules that describe their responsibilities and expected behavior with regard to\n information and information system usage;" - }, - { - "id": "pl-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(a)[2]" - } - ], - "prose": "makes readily available to individuals requiring access to the information\n system, the rules that describe their responsibilities and expected behavior\n with regard to information and information system usage;" - } - ] - }, - { - "id": "pl-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(b)" - } - ], - "prose": "receives a signed acknowledgement from such individuals, indicating that they have\n read, understand, and agree to abide by the rules of behavior, before authorizing\n access to information and the information system;" - }, - { - "id": "pl-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-4(c)" - } - ], - "parts": [ - { - "id": "pl-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-4(c)[1]" - } - ], - "prose": "defines the frequency to review and update the rules of behavior;" - }, - { - "id": "pl-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(c)[2]" - } - ], - "prose": "reviews and updates the rules of behavior with the organization-defined\n frequency; and" - } - ] - }, - { - "id": "pl-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(d)" - } - ], - "prose": "requires individuals who have signed a previous version of the rules of behavior\n to read and resign when the rules of behavior are revised/updated." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nsigned acknowledgements\\n\\nrecords for rules of behavior reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed and resigned rules of behavior\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing, reviewing, disseminating, and updating\n rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment, review,\n dissemination, and update of rules of behavior" - } - ] - } - ], - "controls": [ - { - "id": "pl-4.1", - "class": "SP800-53-enhancement", - "title": "Social Media and Networking Restrictions", - "properties": [ - { - "name": "label", - "value": "PL-4(1)" - }, - { - "name": "sort-id", - "value": "pl-04.01" - } - ], - "parts": [ - { - "id": "pl-4.1_smt", - "name": "statement", - "prose": "The organization includes in the rules of behavior, explicit restrictions on the\n use of social media/networking sites and posting organizational information on\n public websites." - }, - { - "id": "pl-4.1_gdn", - "name": "guidance", - "prose": "This control enhancement addresses rules of behavior related to the use of social\n media/networking sites: (i) when organizational personnel are using such sites for\n official duties or in the conduct of official business; (ii) when organizational\n information is involved in social media/networking transactions; and (iii) when\n personnel are accessing social media/networking sites from organizational\n information systems. Organizations also address specific rules that prevent\n unauthorized entities from obtaining and/or inferring non-public organizational\n information (e.g., system account information, personally identifiable\n information) from social media/networking sites." - }, - { - "id": "pl-4.1_obj", - "name": "objective", - "prose": "Determine if the organization includes the following in the rules of behavior: ", - "parts": [ - { - "id": "pl-4.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(1)[1]" - } - ], - "prose": "explicit restrictions on the use of social media/networking sites; and" - }, - { - "id": "pl-4.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-4(1)[2]" - } - ], - "prose": "posting organizational information on public websites." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing rules of behavior for information system users\\n\\nrules of behavior\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for establishing, reviewing, and\n updating rules of behavior\\n\\norganizational personnel who are authorized users of the information system and\n have signed rules of behavior\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for establishing rules of behavior\\n\\nautomated mechanisms supporting and/or implementing the establishment of rules\n of behavior" - } - ] - } - ] - } - ] - }, - { - "id": "pl-8", - "class": "SP800-53", - "title": "Information Security Architecture", - "parameters": [ - { - "id": "pl-8_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "At least annually or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PL-8" - }, - { - "name": "sort-id", - "value": "pl-08" - } - ], - "parts": [ - { - "id": "pl-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "pl-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops an information security architecture for the information system that:", - "parts": [ - { - "id": "pl-8_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Describes the overall philosophy, requirements, and approach to be taken with\n regard to protecting the confidentiality, integrity, and availability of\n organizational information;" - }, - { - "id": "pl-8_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Describes how the information security architecture is integrated into and\n supports the enterprise architecture; and" - }, - { - "id": "pl-8_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Describes any information security assumptions about, and dependencies on,\n external services;" - } - ] - }, - { - "id": "pl-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the information security architecture {{ pl-8_prm_1 }} to reflect updates in the enterprise architecture;\n and" - }, - { - "id": "pl-8_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that planned information security architecture changes are reflected in\n the security plan, the security Concept of Operations (CONOPS), and organizational\n procurements/acquisitions." - }, - { - "id": "pl-8_fr", - "name": "item", - "title": "PL-8(b) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "pl-8_fr_gdn.b", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(b) Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7." - } - ] - } - ] - }, - { - "id": "pl-8_gdn", - "name": "guidance", - "prose": "This control addresses actions taken by organizations in the design and development\n of information systems. The information security architecture at the individual\n information system level is consistent with and complements the more global,\n organization-wide information security architecture described in PM-7 that is\n integral to and developed as part of the enterprise architecture. The information\n security architecture includes an architectural description, the placement/allocation\n of security functionality (including security controls), security-related information\n for external interfaces, information being exchanged across the interfaces, and the\n protection mechanisms associated with each interface. In addition, the security\n architecture can include other important security-related information, for example,\n user roles and access privileges assigned to each role, unique security requirements,\n the types of information processed, stored, and transmitted by the information\n system, restoration priorities of information and information system services, and\n any other specific protection needs. In today’s modern architecture, it is becoming\n less common for organizations to control all information resources. There are going\n to be key dependencies on external information services and service providers.\n Describing such dependencies in the information security architecture is important to\n developing a comprehensive mission/business protection strategy. Establishing,\n developing, documenting, and maintaining under configuration control, a baseline\n configuration for organizational information systems is critical to implementing and\n maintaining an effective information security architecture. The development of the\n information security architecture is coordinated with the Senior Agency Official for\n Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to\n support privacy requirements are identified and effectively implemented. PL-8 is\n primarily directed at organizations (i.e., internally focused) to help ensure that\n organizations develop an information security architecture for the information\n system, and that the security architecture is integrated with or tightly coupled to\n the enterprise architecture through the organization-wide information security\n architecture. In contrast, SA-17 is primarily directed at external information\n technology product/system developers and integrators (although SA-17 could be used\n internally within organizations for in-house system development). SA-17, which is\n complementary to PL-8, is selected when organizations outsource the development of\n information systems or information system components to external entities, and there\n is a need to demonstrate/show consistency with the organization’s enterprise\n architecture and information security architecture.", - "links": [ - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - }, - { - "href": "https://doi.org/10.6028/NIST.SP.800-53r4", - "rel": "related", - "text": "Appendix J" - } - ] - }, - { - "id": "pl-8_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "pl-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-8(a)" - } - ], - "prose": "develops an information security architecture for the information system that\n describes:", - "parts": [ - { - "id": "pl-8.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(a)(1)" - } - ], - "prose": "the overall philosophy, requirements, and approach to be taken with regard to\n protecting the confidentiality, integrity, and availability of organizational\n information;" - }, - { - "id": "pl-8.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(a)(2)" - } - ], - "prose": "how the information security architecture is integrated into and supports the\n enterprise architecture;" - }, - { - "id": "pl-8.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(a)(3)" - } - ], - "prose": "any information security assumptions about, and dependencies on, external\n services;" - } - ] - }, - { - "id": "pl-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(b)" - } - ], - "parts": [ - { - "id": "pl-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PL-8(b)[1]" - } - ], - "prose": "defines the frequency to review and update the information security\n architecture;" - }, - { - "id": "pl-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-8(b)[2]" - } - ], - "prose": "reviews and updates the information security architecture with the\n organization-defined frequency to reflect updates in the enterprise\n architecture;" - } - ] - }, - { - "id": "pl-8.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PL-8(c)" - } - ], - "prose": "ensures that planned information security architecture changes are reflected\n in:", - "parts": [ - { - "id": "pl-8.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(c)[1]" - } - ], - "prose": "the security plan;" - }, - { - "id": "pl-8.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(c)[2]" - } - ], - "prose": "the security Concept of Operations (CONOPS); and" - }, - { - "id": "pl-8.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PL-8(c)[3]" - } - ], - "prose": "the organizational procurements/acquisitions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Security planning policy\\n\\nprocedures addressing information security architecture development\\n\\nprocedures addressing information security architecture reviews and updates\\n\\nenterprise architecture documentation\\n\\ninformation security architecture documentation\\n\\nsecurity plan for the information system\\n\\nsecurity CONOPS for the information system\\n\\nrecords of information security architecture reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security planning and plan implementation\n responsibilities\\n\\norganizational personnel with information security architecture development\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for developing, reviewing, and updating the information\n security architecture\\n\\nautomated mechanisms supporting and/or implementing the development, review, and\n update of the information security architecture" - } - ] - } - ] - } - ] - }, - { - "id": "ps", - "class": "family", - "title": "Personnel Security", - "controls": [ - { - "id": "ps-1", - "class": "SP800-53", - "title": "Personnel Security Policy and Procedures", - "parameters": [ - { - "id": "ps-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ps-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-1" - }, - { - "name": "sort-id", - "value": "ps-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ps-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ps-1_prm_1 }}:", - "parts": [ - { - "id": "ps-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A personnel security policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ps-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the personnel security policy\n and associated personnel security controls; and" - } - ] - }, - { - "id": "ps-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ps-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Personnel security policy {{ ps-1_prm_2 }}; and" - }, - { - "id": "ps-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Personnel security procedures {{ ps-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ps-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the PS\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ps-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)" - } - ], - "parts": [ - { - "id": "ps-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(1)[1]" - } - ], - "prose": "develops and documents an personnel security policy that addresses:", - "parts": [ - { - "id": "ps-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ps-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ps-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ps-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ps-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ps-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ps-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ps-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the personnel security policy is to be\n disseminated;" - }, - { - "id": "ps-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-1(a)(1)[3]" - } - ], - "prose": "disseminates the personnel security policy to organization-defined personnel\n or roles;" - } - ] - }, - { - "id": "ps-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(a)(2)" - } - ], - "parts": [ - { - "id": "ps-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n personnel security policy and associated personnel security controls;" - }, - { - "id": "ps-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ps-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ps-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(1)" - } - ], - "parts": [ - { - "id": "ps-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n policy;" - }, - { - "id": "ps-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current personnel security policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ps-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-1(b)(2)" - } - ], - "parts": [ - { - "id": "ps-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current personnel security\n procedures; and" - }, - { - "id": "ps-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current personnel security procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with access control responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ps-2", - "class": "SP800-53", - "title": "Position Risk Designation", - "parameters": [ - { - "id": "ps-2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three years" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-2" - }, - { - "name": "sort-id", - "value": "ps-02" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - } - ], - "parts": [ - { - "id": "ps-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes screening criteria for individuals filling those positions; and" - }, - { - "id": "ps-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews and updates position risk designations {{ ps-2_prm_1 }}." - } - ] - }, - { - "id": "ps-2_gdn", - "name": "guidance", - "prose": "Position risk designations reflect Office of Personnel Management policy and\n guidance. Risk designations can guide and inform the types of authorizations\n individuals receive when accessing organizational information and information\n systems. Position screening criteria include explicit information security role\n appointment requirements (e.g., training, security clearances).", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - } - ] - }, - { - "id": "ps-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-2(a)" - } - ], - "prose": "assigns a risk designation to all organizational positions;" - }, - { - "id": "ps-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-2(b)" - } - ], - "prose": "establishes screening criteria for individuals filling those positions;" - }, - { - "id": "ps-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-2(c)" - } - ], - "parts": [ - { - "id": "ps-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-2(c)[1]" - } - ], - "prose": "defines the frequency to review and update position risk designations; and" - }, - { - "id": "ps-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-2(c)[2]" - } - ], - "prose": "reviews and updates position risk designations with the organization-defined\n frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing position categorization\\n\\nappropriate codes of federal regulations\\n\\nlist of risk designations for organizational positions\\n\\nsecurity plan\\n\\nrecords of position risk designation reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for assigning, reviewing, and updating position risk\n designations\\n\\norganizational processes for establishing screening criteria" - } - ] - } - ] - }, - { - "id": "ps-3", - "class": "SP800-53", - "title": "Personnel Screening", - "parameters": [ - { - "id": "ps-3_prm_1", - "label": "organization-defined conditions requiring rescreening and, where rescreening is\n so indicated, the frequency of such rescreening", - "constraints": [ - { - "detail": "for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-3" - }, - { - "name": "sort-id", - "value": "ps-03" - } - ], - "links": [ - { - "href": "#0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "rel": "reference", - "text": "5 C.F.R. 731.106" - }, - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - }, - { - "href": "#ead74ea9-4c9c-446d-9b92-bcbf0ad4b655", - "rel": "reference", - "text": "NIST Special Publication 800-73" - }, - { - "href": "#2a71298a-ee90-490e-80ff-48c967173a47", - "rel": "reference", - "text": "NIST Special Publication 800-76" - }, - { - "href": "#2042d97b-f7f6-4c74-84f8-981867684659", - "rel": "reference", - "text": "NIST Special Publication 800-78" - }, - { - "href": "#6caa237b-531b-43ac-9711-d8f6b97b0377", - "rel": "reference", - "text": "ICD 704" - } - ], - "parts": [ - { - "id": "ps-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Screens individuals prior to authorizing access to the information system; and" - }, - { - "id": "ps-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Rescreens individuals according to {{ ps-3_prm_1 }}." - } - ] - }, - { - "id": "ps-3_gdn", - "name": "guidance", - "prose": "Personnel screening and rescreening activities reflect applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, guidance, and\n specific criteria established for the risk designations of assigned positions.\n Organizations may define different rescreening conditions and frequencies for\n personnel accessing information systems based on types of information processed,\n stored, or transmitted by the systems.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - } - ] - }, - { - "id": "ps-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-3(a)" - } - ], - "prose": "screens individuals prior to authorizing access to the information system;" - }, - { - "id": "ps-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(b)" - } - ], - "parts": [ - { - "id": "ps-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(b)[1]" - } - ], - "prose": "defines conditions requiring re-screening;" - }, - { - "id": "ps-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(b)[2]" - } - ], - "prose": "defines the frequency of re-screening where it is so indicated; and" - }, - { - "id": "ps-3.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(b)[3]" - } - ], - "prose": "re-screens individuals in accordance with organization-defined conditions\n requiring re-screening and, where re-screening is so indicated, with the\n organization-defined frequency of such re-screening." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nsecurity plan\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel screening" - } - ] - } - ], - "controls": [ - { - "id": "ps-3.3", - "class": "SP800-53-enhancement", - "title": "Information with Special Protection Measures", - "parameters": [ - { - "id": "ps-3.3_prm_1", - "label": "organization-defined additional personnel screening criteria", - "constraints": [ - { - "detail": "personnel screening criteria - as required by specific information" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "PS-3(3)" - }, - { - "name": "sort-id", - "value": "ps-03.03" - } - ], - "parts": [ - { - "id": "ps-3.3_smt", - "name": "statement", - "prose": "The organization ensures that individuals accessing an information system\n processing, storing, or transmitting information requiring special protection:", - "parts": [ - { - "id": "ps-3.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Have valid access authorizations that are demonstrated by assigned official\n government duties; and" - }, - { - "id": "ps-3.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Satisfy {{ ps-3.3_prm_1 }}." - } - ] - }, - { - "id": "ps-3.3_gdn", - "name": "guidance", - "prose": "Organizational information requiring special protection includes, for example,\n Controlled Unclassified Information (CUI) and Sources and Methods Information\n (SAMI). Personnel security criteria include, for example, position sensitivity\n background screening requirements." - }, - { - "id": "ps-3.3_obj", - "name": "objective", - "prose": "Determine if the organization: ", - "parts": [ - { - "id": "ps-3.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(3)(a)" - } - ], - "prose": "ensures that individuals accessing an information system processing, storing,\n or transmitting information requiring special protection have valid access\n authorizations that are demonstrated by assigned official government\n duties;", - "links": [ - { - "href": "#ps-3.3_smt.a", - "rel": "corresp", - "text": "PS-3(3)(a)" - } - ] - }, - { - "id": "ps-3.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-3(3)(b)" - } - ], - "parts": [ - { - "id": "ps-3.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-3(3)(b)[1]" - } - ], - "prose": "defines additional personnel screening criteria to be satisfied for\n individuals accessing an information system processing, storing, or\n transmitting information requiring special protection; and" - }, - { - "id": "ps-3.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-3(3)(b)[2]" - } - ], - "prose": "ensures that individuals accessing an information system processing,\n storing, or transmitting information requiring special protection satisfy\n organization-defined additional personnel screening criteria." - } - ], - "links": [ - { - "href": "#ps-3.3_smt.b", - "rel": "corresp", - "text": "PS-3(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\naccess control policy, procedures addressing personnel screening\\n\\nrecords of screened personnel\\n\\nscreening criteria\\n\\nrecords of access authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for ensuring valid access authorizations for\n information requiring special protection\\n\\norganizational process for additional personnel screening for information\n requiring special protection" - } - ] - } - ] - } - ] - }, - { - "id": "ps-4", - "class": "SP800-53", - "title": "Personnel Termination", - "parameters": [ - { - "id": "ps-4_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "same day" - } - ] - }, - { - "id": "ps-4_prm_2", - "label": "organization-defined information security topics" - }, - { - "id": "ps-4_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-4_prm_4", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-4" - }, - { - "name": "sort-id", - "value": "ps-04" - } - ], - "parts": [ - { - "id": "ps-4_smt", - "name": "statement", - "prose": "The organization, upon termination of individual employment:", - "parts": [ - { - "id": "ps-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Disables information system access within {{ ps-4_prm_1 }};" - }, - { - "id": "ps-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }};" - }, - { - "id": "ps-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Retains access to organizational information and information systems formerly\n controlled by terminated individual; and" - }, - { - "id": "ps-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}." - } - ] - }, - { - "id": "ps-4_gdn", - "name": "guidance", - "prose": "Information system-related property includes, for example, hardware authentication\n tokens, system administration technical manuals, keys, identification cards, and\n building passes. Exit interviews ensure that terminated individuals understand the\n security constraints imposed by being former employees and that proper accountability\n is achieved for information system-related property. Security topics of interest at\n exit interviews can include, for example, reminding terminated individuals of\n nondisclosure agreements and potential limitations on future employment. Exit\n interviews may not be possible for some terminated individuals, for example, in cases\n related to job abandonment, illnesses, and nonavailability of supervisors. Exit\n interviews are important for individuals with security clearances. Timely execution\n of termination actions is essential for individuals terminated for cause. In certain\n situations, organizations consider disabling the information system accounts of\n individuals that are being terminated prior to the individuals being notified.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-4_obj", - "name": "objective", - "prose": "Determine if the organization, upon termination of individual employment,:", - "parts": [ - { - "id": "ps-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(a)" - } - ], - "parts": [ - { - "id": "ps-4.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(a)[1]" - } - ], - "prose": "defines a time period within which to disable information system access;" - }, - { - "id": "ps-4.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(a)[2]" - } - ], - "prose": "disables information system access within the organization-defined time\n period;" - } - ] - }, - { - "id": "ps-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(b)" - } - ], - "prose": "terminates/revokes any authenticators/credentials associated with the\n individual;" - }, - { - "id": "ps-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(c)" - } - ], - "parts": [ - { - "id": "ps-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(c)[1]" - } - ], - "prose": "defines information security topics to be discussed when conducting exit\n interviews;" - }, - { - "id": "ps-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(c)[2]" - } - ], - "prose": "conducts exit interviews that include a discussion of organization-defined\n information security topics;" - } - ] - }, - { - "id": "ps-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(d)" - } - ], - "prose": "retrieves all security-related organizational information system-related\n property;" - }, - { - "id": "ps-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-4(e)" - } - ], - "prose": "retains access to organizational information and information systems formerly\n controlled by the terminated individual;" - }, - { - "id": "ps-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-4(f)" - } - ], - "parts": [ - { - "id": "ps-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(f)[1]" - } - ], - "prose": "defines personnel or roles to be notified of the termination;" - }, - { - "id": "ps-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-4(f)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles; and" - }, - { - "id": "ps-4.f_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-4(f)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel termination\\n\\nrecords of personnel termination actions\\n\\nlist of information system accounts\\n\\nrecords of terminated or revoked authenticators/credentials\\n\\nrecords of exit interviews\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel termination\\n\\nautomated mechanisms supporting and/or implementing personnel termination\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-5", - "class": "SP800-53", - "title": "Personnel Transfer", - "parameters": [ - { - "id": "ps-5_prm_1", - "label": "organization-defined transfer or reassignment actions" - }, - { - "id": "ps-5_prm_2", - "label": "organization-defined time period following the formal transfer action" - }, - { - "id": "ps-5_prm_3", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-5_prm_4", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "five days of the time period following the formal transfer action (DoD 24 hours)" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-5" - }, - { - "name": "sort-id", - "value": "ps-05" - } - ], - "parts": [ - { - "id": "ps-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Reviews and confirms ongoing operational need for current logical and physical\n access authorizations to information systems/facilities when individuals are\n reassigned or transferred to other positions within the organization;" - }, - { - "id": "ps-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }};" - }, - { - "id": "ps-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer; and" - }, - { - "id": "ps-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}." - } - ] - }, - { - "id": "ps-5_gdn", - "name": "guidance", - "prose": "This control applies when reassignments or transfers of individuals are permanent or\n of such extended durations as to make the actions warranted. Organizations define\n actions appropriate for the types of reassignments or transfers, whether permanent or\n extended. Actions that may be required for personnel transfers or reassignments to\n other positions within organizations include, for example: (i) returning old and\n issuing new keys, identification cards, and building passes; (ii) closing information\n system accounts and establishing new accounts; (iii) changing information system\n access authorizations (i.e., privileges); and (iv) providing for access to official\n records to which individuals had access at previous work locations and in previous\n information system accounts.", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ia-4", - "rel": "related", - "text": "IA-4" - }, - { - "href": "#pe-2", - "rel": "related", - "text": "PE-2" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - } - ] - }, - { - "id": "ps-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(a)" - } - ], - "prose": "when individuals are reassigned or transferred to other positions within the\n organization, reviews and confirms ongoing operational need for current:", - "parts": [ - { - "id": "ps-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-5(a)[1]" - } - ], - "prose": "logical access authorizations to information systems;" - }, - { - "id": "ps-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-5(a)[2]" - } - ], - "prose": "physical access authorizations to information systems and facilities;" - } - ] - }, - { - "id": "ps-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(b)" - } - ], - "parts": [ - { - "id": "ps-5.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(b)[1]" - } - ], - "prose": "defines transfer or reassignment actions to be initiated following transfer or\n reassignment;" - }, - { - "id": "ps-5.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(b)[2]" - } - ], - "prose": "defines the time period within which transfer or reassignment actions must\n occur following transfer or reassignment;" - }, - { - "id": "ps-5.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(b)[3]" - } - ], - "prose": "initiates organization-defined transfer or reassignment actions within the\n organization-defined time period following transfer or reassignment;" - } - ] - }, - { - "id": "ps-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(c)" - } - ], - "prose": "modifies access authorization as needed to correspond with any changes in\n operational need due to reassignment or transfer;" - }, - { - "id": "ps-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-5(d)" - } - ], - "parts": [ - { - "id": "ps-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified when individuals are reassigned or\n transferred to other positions within the organization;" - }, - { - "id": "ps-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-5(d)[2]" - } - ], - "prose": "defines the time period within which to notify organization-defined personnel\n or roles when individuals are reassigned or transferred to other positions\n within the organization; and" - }, - { - "id": "ps-5.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-5(d)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when individuals are reassigned or transferred\n to other positions within the organization." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel transfer\\n\\nsecurity plan\\n\\nrecords of personnel transfer actions\\n\\nlist of information system and facility access authorizations\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities organizational\n personnel with account management responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for personnel transfer\\n\\nautomated mechanisms supporting and/or implementing personnel transfer\n notifications\\n\\nautomated mechanisms for disabling information system access/revoking\n authenticators" - } - ] - } - ] - }, - { - "id": "ps-6", - "class": "SP800-53", - "title": "Access Agreements", - "parameters": [ - { - "id": "ps-6_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - { - "id": "ps-6_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-6" - }, - { - "name": "sort-id", - "value": "ps-06" - } - ], - "parts": [ - { - "id": "ps-6_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the access agreements {{ ps-6_prm_1 }}; and" - }, - { - "id": "ps-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that individuals requiring access to organizational information and\n information systems:", - "parts": [ - { - "id": "ps-6_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Sign appropriate access agreements prior to being granted access; and" - }, - { - "id": "ps-6_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Re-sign access agreements to maintain access to organizational information\n systems when access agreements have been updated or {{ ps-6_prm_2 }}." - } - ] - } - ] - }, - { - "id": "ps-6_gdn", - "name": "guidance", - "prose": "Access agreements include, for example, nondisclosure agreements, acceptable use\n agreements, rules of behavior, and conflict-of-interest agreements. Signed access\n agreements include an acknowledgement that individuals have read, understand, and\n agree to abide by the constraints associated with organizational information systems\n to which access is authorized. Organizations can use electronic signatures to\n acknowledge access agreements unless specifically prohibited by organizational\n policy.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-8", - "rel": "related", - "text": "PS-8" - } - ] - }, - { - "id": "ps-6_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(a)" - } - ], - "prose": "develops and documents access agreements for organizational information\n systems;" - }, - { - "id": "ps-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(b)" - } - ], - "parts": [ - { - "id": "ps-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(b)[1]" - } - ], - "prose": "defines the frequency to review and update the access agreements;" - }, - { - "id": "ps-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(b)[2]" - } - ], - "prose": "reviews and updates the access agreements with the organization-defined\n frequency;" - } - ] - }, - { - "id": "ps-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)" - } - ], - "parts": [ - { - "id": "ps-6.c.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-6(c)(1)" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems sign appropriate access agreements prior to being granted\n access;" - }, - { - "id": "ps-6.c.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-6(c)(2)" - } - ], - "parts": [ - { - "id": "ps-6.c.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-6(c)(2)[1]" - } - ], - "prose": "defines the frequency to re-sign access agreements to maintain access to\n organizational information systems when access agreements have been\n updated;" - }, - { - "id": "ps-6.c.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-6(c)(2)[2]" - } - ], - "prose": "ensures that individuals requiring access to organizational information and\n information systems re-sign access agreements to maintain access to\n organizational information systems when access agreements have been updated\n or with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing access agreements for organizational information and\n information systems\\n\\nsecurity plan\\n\\naccess agreements\\n\\nrecords of access agreement reviews and updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel who have signed/resigned access agreements\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for access agreements\\n\\nautomated mechanisms supporting access agreements" - } - ] - } - ] - }, - { - "id": "ps-7", - "class": "SP800-53", - "title": "Third-party Personnel Security", - "parameters": [ - { - "id": "ps-7_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-7_prm_2", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "organization-defined time period - same day" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "PS-7" - }, - { - "name": "sort-id", - "value": "ps-07" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "ps-7_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes personnel security requirements including security roles and\n responsibilities for third-party providers;" - }, - { - "id": "ps-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents personnel security requirements;" - }, - { - "id": "ps-7_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Requires third-party providers to notify {{ ps-7_prm_1 }} of any\n personnel transfers or terminations of third-party personnel who possess\n organizational credentials and/or badges, or who have information system\n privileges within {{ ps-7_prm_2 }}; and" - }, - { - "id": "ps-7_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Monitors provider compliance." - } - ] - }, - { - "id": "ps-7_gdn", - "name": "guidance", - "prose": "Third-party providers include, for example, service bureaus, contractors, and other\n organizations providing information system development, information technology\n services, outsourced applications, and network and security management. Organizations\n explicitly include personnel security requirements in acquisition-related documents.\n Third-party providers may have personnel working at organizational facilities with\n credentials, badges, or information system privileges issued by organizations.\n Notifications of third-party personnel changes ensure appropriate termination of\n privileges and credentials. Organizations define the transfers and terminations\n deemed reportable by security-related characteristics that include, for example,\n functions, roles, and nature of credentials/privileges associated with individuals\n transferred or terminated.", - "links": [ - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#ps-3", - "rel": "related", - "text": "PS-3" - }, - { - "href": "#ps-4", - "rel": "related", - "text": "PS-4" - }, - { - "href": "#ps-5", - "rel": "related", - "text": "PS-5" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - }, - { - "href": "#sa-21", - "rel": "related", - "text": "SA-21" - } - ] - }, - { - "id": "ps-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(a)" - } - ], - "prose": "establishes personnel security requirements, including security roles and\n responsibilities, for third-party providers;" - }, - { - "id": "ps-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "PS-7(b)" - } - ], - "prose": "requires third-party providers to comply with personnel security policies and\n procedures established by the organization;" - }, - { - "id": "ps-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(c)" - } - ], - "prose": "documents personnel security requirements;" - }, - { - "id": "ps-7.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-7(d)" - } - ], - "parts": [ - { - "id": "ps-7.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[1]" - } - ], - "prose": "defines personnel or roles to be notified of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[2]" - } - ], - "prose": "defines the time period within which third-party providers are required to\n notify organization-defined personnel or roles of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges;" - }, - { - "id": "ps-7.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-7(d)[3]" - } - ], - "prose": "requires third-party providers to notify organization-defined personnel or\n roles within the organization-defined time period of any personnel transfers or\n terminations of third-party personnel who possess organizational credentials\n and/or badges, or who have information system privileges; and" - } - ] - }, - { - "id": "ps-7.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-7(e)" - } - ], - "prose": "monitors provider compliance." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing third-party personnel security\\n\\nlist of personnel security requirements\\n\\nacquisition documents\\n\\nservice-level agreements\\n\\ncompliance monitoring process\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\nthird-party providers\\n\\nsystem/network administrators\\n\\norganizational personnel with account management responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing and monitoring third-party personnel\n security\\n\\nautomated mechanisms supporting and/or implementing monitoring of provider\n compliance" - } - ] - } - ] - }, - { - "id": "ps-8", - "class": "SP800-53", - "title": "Personnel Sanctions", - "parameters": [ - { - "id": "ps-8_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ps-8_prm_2", - "label": "organization-defined time period" - } - ], - "properties": [ - { - "name": "label", - "value": "PS-8" - }, - { - "name": "sort-id", - "value": "ps-08" - } - ], - "parts": [ - { - "id": "ps-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ps-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures; and" - }, - { - "id": "ps-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }}\n when a formal employee sanctions process is initiated, identifying the individual\n sanctioned and the reason for the sanction." - } - ] - }, - { - "id": "ps-8_gdn", - "name": "guidance", - "prose": "Organizational sanctions processes reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Sanctions processes are\n described in access agreements and can be included as part of general personnel\n policies and procedures for organizations. Organizations consult with the Office of\n the General Counsel regarding matters of employee sanctions.", - "links": [ - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-6", - "rel": "related", - "text": "PS-6" - } - ] - }, - { - "id": "ps-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ps-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(a)" - } - ], - "prose": "employs a formal sanctions process for individuals failing to comply with\n established information security policies and procedures;" - }, - { - "id": "ps-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "PS-8(b)" - } - ], - "parts": [ - { - "id": "ps-8.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(b)[1]" - } - ], - "prose": "defines personnel or roles to be notified when a formal employee sanctions\n process is initiated;" - }, - { - "id": "ps-8.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "PS-8(b)[2]" - } - ], - "prose": "defines the time period within which organization-defined personnel or roles\n must be notified when a formal employee sanctions process is initiated; and" - }, - { - "id": "ps-8.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "PS-8(b)[3]" - } - ], - "prose": "notifies organization-defined personnel or roles within the\n organization-defined time period when a formal employee sanctions process is\n initiated, identifying the individual sanctioned and the reason for the\n sanction." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Personnel security policy\\n\\nprocedures addressing personnel sanctions\\n\\nrules of behavior\\n\\nrecords of formal sanctions\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with personnel security responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for managing personnel sanctions\\n\\nautomated mechanisms supporting and/or implementing notifications" - } - ] - } - ] - } - ] - }, - { - "id": "ra", - "class": "family", - "title": "Risk Assessment", - "controls": [ - { - "id": "ra-1", - "class": "SP800-53", - "title": "Risk Assessment Policy and Procedures", - "parameters": [ - { - "id": "ra-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "ra-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-1" - }, - { - "name": "sort-id", - "value": "ra-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "ra-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ ra-1_prm_1 }}:", - "parts": [ - { - "id": "ra-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A risk assessment policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "ra-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the risk assessment policy and\n associated risk assessment controls; and" - } - ] - }, - { - "id": "ra-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "ra-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Risk assessment policy {{ ra-1_prm_2 }}; and" - }, - { - "id": "ra-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Risk assessment procedures {{ ra-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "ra-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the RA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)" - } - ], - "parts": [ - { - "id": "ra-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a risk assessment policy that addresses:", - "parts": [ - { - "id": "ra-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "ra-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "ra-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "ra-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "ra-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "ra-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "ra-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "ra-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the risk assessment policy is to be\n disseminated;" - }, - { - "id": "ra-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-1(a)(1)[3]" - } - ], - "prose": "disseminates the risk assessment policy to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(a)(2)" - } - ], - "parts": [ - { - "id": "ra-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n risk assessment policy and associated risk assessment controls;" - }, - { - "id": "ra-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "ra-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "RA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "ra-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(1)" - } - ], - "parts": [ - { - "id": "ra-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n policy;" - }, - { - "id": "ra-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current risk assessment policy with the\n organization-defined frequency;" - } - ] - }, - { - "id": "ra-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-1(b)(2)" - } - ], - "parts": [ - { - "id": "ra-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current risk assessment\n procedures; and" - }, - { - "id": "ra-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current risk assessment procedures with the\n organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "risk assessment policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "ra-2", - "class": "SP800-53", - "title": "Security Categorization", - "properties": [ - { - "name": "label", - "value": "RA-2" - }, - { - "name": "sort-id", - "value": "ra-02" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#f152844f-b1ef-4836-8729-6277078ebee1", - "rel": "reference", - "text": "NIST Special Publication 800-60" - } - ], - "parts": [ - { - "id": "ra-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Ensures that the authorizing official or authorizing official designated\n representative reviews and approves the security categorization decision." - } - ] - }, - { - "id": "ra-2_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective security\n categorization decisions. Security categories describe the potential adverse impacts\n to organizational operations, organizational assets, and individuals if\n organizational information and information systems are comprised through a loss of\n confidentiality, integrity, or availability. Organizations conduct the security\n categorization process as an organization-wide activity with the involvement of chief\n information officers, senior information security officers, information system\n owners, mission/business owners, and information owners/stewards. Organizations also\n consider the potential adverse impacts to other organizations and, in accordance with\n the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential\n national-level adverse impacts. Security categorization processes carried out by\n organizations facilitate the development of inventories of information assets, and\n along with CM-8, mappings to specific information system components where information\n is processed, stored, or transmitted.", - "links": [ - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "ra-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-2(a)" - } - ], - "prose": "categorizes information and the information system in accordance with applicable\n federal laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - }, - { - "id": "ra-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-2(b)" - } - ], - "prose": "documents the security categorization results (including supporting rationale) in\n the security plan for the information system; and" - }, - { - "id": "ra-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-2(c)" - } - ], - "prose": "ensures the authorizing official or authorizing official designated representative\n reviews and approves the security categorization decision." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing security categorization of organizational information and\n information systems\\n\\nsecurity plan\\n\\nsecurity categorization documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security categorization and risk assessment\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security categorization" - } - ] - } - ] - }, - { - "id": "ra-3", - "class": "SP800-53", - "title": "Risk Assessment", - "parameters": [ - { - "id": "ra-3_prm_1" - }, - { - "id": "ra-3_prm_2", - "depends-on": "ra-3_prm_1", - "label": "organization-defined document", - "constraints": [ - { - "detail": "security assessment report" - } - ] - }, - { - "id": "ra-3_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - { - "id": "ra-3_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "ra-3_prm_5", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "RA-3" - }, - { - "name": "sort-id", - "value": "ra-03" - } - ], - "links": [ - { - "href": "#ff3bfb02-79b2-411f-8735-98dfe5af2ab0", - "rel": "reference", - "text": "OMB Memorandum 04-04" - }, - { - "href": "#a466121b-f0e2-41f0-a5f9-deb0b5fe6b15", - "rel": "reference", - "text": "NIST Special Publication 800-30" - }, - { - "href": "#d480aa6a-7a88-424e-a10c-ad1c7870354b", - "rel": "reference", - "text": "NIST Special Publication 800-39" - }, - { - "href": "#85280698-0417-489d-b214-12bb935fb939", - "rel": "reference", - "text": "http://idmanagement.gov" - } - ], - "parts": [ - { - "id": "ra-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of the information system and the information it processes, stores, or\n transmits;" - }, - { - "id": "ra-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Documents risk assessment results in {{ ra-3_prm_1 }};" - }, - { - "id": "ra-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Reviews risk assessment results {{ ra-3_prm_3 }};" - }, - { - "id": "ra-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Disseminates risk assessment results to {{ ra-3_prm_4 }}; and" - }, - { - "id": "ra-3_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are\n significant changes to the information system or environment of operation\n (including the identification of new threats and vulnerabilities), or other\n conditions that may impact the security state of the system." - }, - { - "id": "ra-3_fr", - "name": "item", - "title": "RA-3 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F" - }, - { - "id": "ra-3_fr_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "RA-3 (d) Requirement:" - } - ], - "prose": "Include all Authorizing Officials; for JAB authorizations to include FedRAMP." - } - ] - } - ] - }, - { - "id": "ra-3_gdn", - "name": "guidance", - "prose": "Clearly defined authorization boundaries are a prerequisite for effective risk\n assessments. Risk assessments take into account threats, vulnerabilities, likelihood,\n and impact to organizational operations and assets, individuals, other organizations,\n and the Nation based on the operation and use of information systems. Risk\n assessments also take into account risk from external parties (e.g., service\n providers, contractors operating information systems on behalf of the organization,\n individuals accessing organizational information systems, outsourcing entities). In\n accordance with OMB policy and related E-authentication initiatives, authentication\n of public users accessing federal information systems may also be required to protect\n nonpublic or privacy-related information. As such, organizational assessments of risk\n also address public access to federal information systems. Risk assessments (either\n formal or informal) can be conducted at all three tiers in the risk management\n hierarchy (i.e., organization level, mission/business process level, or information\n system level) and at any phase in the system development life cycle. Risk assessments\n can also be conducted at various steps in the Risk Management Framework, including\n categorization, security control selection, security control implementation, security\n control assessment, information system authorization, and security control\n monitoring. RA-3 is noteworthy in that the control must be partially implemented\n prior to the implementation of other controls in order to complete the first two\n steps in the Risk Management Framework. Risk assessments can play an important role\n in security control selection processes, particularly during the application of\n tailoring guidance, which includes security control supplementation.", - "links": [ - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "ra-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(a)" - } - ], - "prose": "conducts an assessment of risk, including the likelihood and magnitude of harm,\n from the unauthorized access, use, disclosure, disruption, modification, or\n destruction of:", - "parts": [ - { - "id": "ra-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(a)[1]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(a)[2]" - } - ], - "prose": "the information the system processes, stores, or transmits;" - } - ] - }, - { - "id": "ra-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)" - } - ], - "parts": [ - { - "id": "ra-3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(b)[1]" - } - ], - "prose": "defines a document in which risk assessment results are to be documented (if\n not documented in the security plan or risk assessment report);" - }, - { - "id": "ra-3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(b)[2]" - } - ], - "prose": "documents risk assessment results in one of the following:", - "parts": [ - { - "id": "ra-3.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][a]" - } - ], - "prose": "the security plan;" - }, - { - "id": "ra-3.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][b]" - } - ], - "prose": "the risk assessment report; or" - }, - { - "id": "ra-3.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(b)[2][c]" - } - ], - "prose": "the organization-defined document;" - } - ] - } - ] - }, - { - "id": "ra-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(c)" - } - ], - "parts": [ - { - "id": "ra-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(c)[1]" - } - ], - "prose": "defines the frequency to review risk assessment results;" - }, - { - "id": "ra-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(c)[2]" - } - ], - "prose": "reviews risk assessment results with the organization-defined frequency;" - } - ] - }, - { - "id": "ra-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(d)" - } - ], - "parts": [ - { - "id": "ra-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(d)[1]" - } - ], - "prose": "defines personnel or roles to whom risk assessment results are to be\n disseminated;" - }, - { - "id": "ra-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(d)[2]" - } - ], - "prose": "disseminates risk assessment results to organization-defined personnel or\n roles;" - } - ] - }, - { - "id": "ra-3.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)" - } - ], - "parts": [ - { - "id": "ra-3.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-3(e)[1]" - } - ], - "prose": "defines the frequency to update the risk assessment;" - }, - { - "id": "ra-3.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-3(e)[2]" - } - ], - "prose": "updates the risk assessment:", - "parts": [ - { - "id": "ra-3.e_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][a]" - } - ], - "prose": "with the organization-defined frequency;" - }, - { - "id": "ra-3.e_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][b]" - } - ], - "prose": "whenever there are significant changes to the information system or\n environment of operation (including the identification of new threats and\n vulnerabilities); and" - }, - { - "id": "ra-3.e_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-3(e)[2][c]" - } - ], - "prose": "whenever there are other conditions that may impact the security state of\n the system." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nsecurity planning policy and procedures\\n\\nprocedures addressing organizational assessments of risk\\n\\nsecurity plan\\n\\nrisk assessment\\n\\nrisk assessment results\\n\\nrisk assessment reviews\\n\\nrisk assessment updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for risk assessment\\n\\nautomated mechanisms supporting and/or for conducting, documenting, reviewing,\n disseminating, and updating the risk assessment" - } - ] - } - ] - }, - { - "id": "ra-5", - "class": "SP800-53", - "title": "Vulnerability Scanning", - "parameters": [ - { - "id": "ra-5_prm_1", - "label": "organization-defined frequency and/or randomly in accordance with\n organization-defined process", - "constraints": [ - { - "detail": "monthly operating system/infrastructure; monthly web applications and databases" - } - ] - }, - { - "id": "ra-5_prm_2", - "label": "organization-defined response times", - "constraints": [ - { - "detail": "high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery" - } - ] - }, - { - "id": "ra-5_prm_3", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5" - }, - { - "name": "sort-id", - "value": "ra-05" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#c4691b88-57d1-463b-9053-2d0087913f31", - "rel": "reference", - "text": "NIST Special Publication 800-115" - }, - { - "href": "#15522e92-9192-463d-9646-6a01982db8ca", - "rel": "reference", - "text": "http://cwe.mitre.org" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - } - ], - "parts": [ - { - "id": "ra-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "ra-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Scans for vulnerabilities in the information system and hosted applications\n {{ ra-5_prm_1 }} and when new vulnerabilities potentially\n affecting the system/applications are identified and reported;", - "parts": [ - { - "id": "ra-5_fr_smt.a", - "name": "item", - "title": "RA-5(a) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (a)Requirement:" - } - ], - "prose": "An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually." - } - ] - }, - { - "id": "ra-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Enumerating platforms, software flaws, and improper configurations;" - }, - { - "id": "ra-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Formatting checklists and test procedures; and" - }, - { - "id": "ra-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Analyzes vulnerability scan reports and results from security control\n assessments;" - }, - { - "id": "ra-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in\n accordance with an organizational assessment of risk; and" - }, - { - "id": "ra-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Shares information obtained from the vulnerability scanning process and security\n control assessments with {{ ra-5_prm_3 }} to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies).", - "parts": [ - { - "id": "ra-5_fr_smt.e", - "name": "item", - "title": "RA-5(e) Additional FedRAMP Requirements and Guidance", - "properties": [ - { - "name": "label", - "value": "RA-5 (e)Requirement:" - } - ], - "prose": "To include all Authorizing Officials; for JAB authorizations to include FedRAMP." - } - ] - }, - { - "id": "ra-5_fr", - "name": "item", - "title": "RA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "\n **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/))" - } - ] - } - ] - }, - { - "id": "ra-5_gdn", - "name": "guidance", - "prose": "Security categorization of information systems guides the frequency and\n comprehensiveness of vulnerability scans. Organizations determine the required\n vulnerability scanning for all information system components, ensuring that potential\n sources of vulnerabilities such as networked printers, scanners, and copiers are not\n overlooked. Vulnerability analyses for custom software applications may require\n additional approaches such as static analysis, dynamic analysis, binary analysis, or\n a hybrid of the three approaches. Organizations can employ these analysis approaches\n in a variety of tools (e.g., web-based application scanners, static analysis tools,\n binary analyzers) and in source code reviews. Vulnerability scanning includes, for\n example: (i) scanning for patch levels; (ii) scanning for functions, ports,\n protocols, and services that should not be accessible to users or devices; and (iii)\n scanning for improperly configured or incorrectly operating information flow control\n mechanisms. Organizations consider using tools that express vulnerabilities in the\n Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open\n Vulnerability Assessment Language (OVAL) to determine/test for the presence of\n vulnerabilities. Suggested sources for vulnerability information include the Common\n Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In\n addition, security control assessments such as red team exercises provide other\n sources of potential vulnerabilities for which to scan. Organizations also consider\n using tools that express vulnerability impact by the Common Vulnerability Scoring\n System (CVSS).", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#ra-2", - "rel": "related", - "text": "RA-2" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "ra-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(a)[1]" - } - ], - "parts": [ - { - "id": "ra-5.a_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][a]" - } - ], - "prose": "defines the frequency for conducting vulnerability scans on the information\n system and hosted applications; and/or" - }, - { - "id": "ra-5.a_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[1][b]" - } - ], - "prose": "defines the process for conducting random vulnerability scans on the\n information system and hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(a)[2]" - } - ], - "prose": "in accordance with the organization-defined frequency and/or\n organization-defined process for conducting random scans, scans for\n vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[2][b]" - } - ], - "prose": "hosted applications;" - } - ] - }, - { - "id": "ra-5.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(a)[3]" - } - ], - "prose": "when new vulnerabilities potentially affecting the system/applications are\n identified and reported, scans for vulnerabilities in:", - "parts": [ - { - "id": "ra-5.a_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][a]" - } - ], - "prose": "the information system;" - }, - { - "id": "ra-5.a_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(a)[3][b]" - } - ], - "prose": "hosted applications;" - } - ] - } - ] - }, - { - "id": "ra-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)" - } - ], - "prose": "employs vulnerability scanning tools and techniques that facilitate\n interoperability among tools and automate parts of the vulnerability management\n process by using standards for:", - "parts": [ - { - "id": "ra-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(1)" - } - ], - "parts": [ - { - "id": "ra-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[1]" - } - ], - "prose": "enumerating platforms;" - }, - { - "id": "ra-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[2]" - } - ], - "prose": "enumerating software flaws;" - }, - { - "id": "ra-5.b.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(1)[3]" - } - ], - "prose": "enumerating improper configurations;" - } - ] - }, - { - "id": "ra-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(2)" - } - ], - "parts": [ - { - "id": "ra-5.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[1]" - } - ], - "prose": "formatting checklists;" - }, - { - "id": "ra-5.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(b)(2)[2]" - } - ], - "prose": "formatting test procedures;" - } - ] - }, - { - "id": "ra-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(b)(3)" - } - ], - "prose": "measuring vulnerability impact;" - } - ] - }, - { - "id": "ra-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(c)" - } - ], - "parts": [ - { - "id": "ra-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(c)[1]" - } - ], - "prose": "analyzes vulnerability scan reports;" - }, - { - "id": "ra-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(c)[2]" - } - ], - "prose": "analyzes results from security control assessments;" - } - ] - }, - { - "id": "ra-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(d)" - } - ], - "parts": [ - { - "id": "ra-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(d)[1]" - } - ], - "prose": "defines response times to remediate legitimate vulnerabilities in accordance\n with an organizational assessment of risk;" - }, - { - "id": "ra-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(d)[2]" - } - ], - "prose": "remediates legitimate vulnerabilities within the organization-defined response\n times in accordance with an organizational assessment of risk;" - } - ] - }, - { - "id": "ra-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(e)" - } - ], - "parts": [ - { - "id": "ra-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(e)[1]" - } - ], - "prose": "defines personnel or roles with whom information obtained from the\n vulnerability scanning process and security control assessments is to be\n shared;" - }, - { - "id": "ra-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(e)[2]" - } - ], - "prose": "shares information obtained from the vulnerability scanning process with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies); and" - }, - { - "id": "ra-5.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(e)[3]" - } - ], - "prose": "shares information obtained from security control assessments with\n organization-defined personnel or roles to help eliminate similar\n vulnerabilities in other information systems (i.e., systemic weaknesses or\n deficiencies)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nrisk assessment\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with risk assessment, security control assessment and\n vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with vulnerability remediation responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning, analysis, remediation, and\n information sharing\\n\\nautomated mechanisms supporting and/or implementing vulnerability scanning,\n analysis, remediation, and information sharing" - } - ] - } - ], - "controls": [ - { - "id": "ra-5.1", - "class": "SP800-53-enhancement", - "title": "Update Tool Capability", - "properties": [ - { - "name": "label", - "value": "RA-5(1)" - }, - { - "name": "sort-id", - "value": "ra-05.01" - } - ], - "parts": [ - { - "id": "ra-5.1_smt", - "name": "statement", - "prose": "The organization employs vulnerability scanning tools that include the capability\n to readily update the information system vulnerabilities to be scanned." - }, - { - "id": "ra-5.1_gdn", - "name": "guidance", - "prose": "The vulnerabilities to be scanned need to be readily updated as new\n vulnerabilities are discovered, announced, and scanning methods developed. This\n updating process helps to ensure that potential vulnerabilities in the information\n system are identified and addressed as quickly as possible.", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "ra-5.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs vulnerability scanning tools that include\n the capability to readily update the information system vulnerabilities to be\n scanned." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.2", - "class": "SP800-53-enhancement", - "title": "Update by Frequency / Prior to New Scan / When Identified", - "parameters": [ - { - "id": "ra-5.2_prm_1", - "constraints": [ - { - "detail": "prior to a new scan" - } - ] - }, - { - "id": "ra-5.2_prm_2", - "depends-on": "ra-5.2_prm_1", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5(2)" - }, - { - "name": "sort-id", - "value": "ra-05.02" - } - ], - "parts": [ - { - "id": "ra-5.2_smt", - "name": "statement", - "prose": "The organization updates the information system vulnerabilities scanned {{ ra-5.2_prm_1 }}." - }, - { - "id": "ra-5.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-5", - "rel": "related", - "text": "SI-5" - } - ] - }, - { - "id": "ra-5.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "ra-5.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(2)[1]" - } - ], - "prose": "defines the frequency to update the information system vulnerabilities\n scanned;" - }, - { - "id": "ra-5.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(2)[2]" - } - ], - "prose": "updates the information system vulnerabilities scanned one or more of the\n following:", - "parts": [ - { - "id": "ra-5.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(2)[2][a]" - } - ], - "prose": "with the organization-defined frequency;" - }, - { - "id": "ra-5.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(2)[2][b]" - } - ], - "prose": "prior to a new scan; and/or" - }, - { - "id": "ra-5.2_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "RA-5(2)[2][c]" - } - ], - "prose": "when new vulnerabilities are identified and reported." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.3", - "class": "SP800-53-enhancement", - "title": "Breadth / Depth of Coverage", - "properties": [ - { - "name": "label", - "value": "RA-5(3)" - }, - { - "name": "sort-id", - "value": "ra-05.03" - } - ], - "parts": [ - { - "id": "ra-5.3_smt", - "name": "statement", - "prose": "The organization employs vulnerability scanning procedures that can identify the\n breadth and depth of coverage (i.e., information system components scanned and\n vulnerabilities checked)." - }, - { - "id": "ra-5.3_obj", - "name": "objective", - "prose": "Determine if the organization employs vulnerability scanning procedures that can\n identify:", - "parts": [ - { - "id": "ra-5.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(3)[1]" - } - ], - "prose": "the breadth of coverage (i.e., information system components scanned); and" - }, - { - "id": "ra-5.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(3)[2]" - } - ], - "prose": "the depth of coverage (i.e., vulnerabilities checked)." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Procedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\nsecurity assessment report\\n\\nvulnerability scanning tools and associated configuration documentation\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.5", - "class": "SP800-53-enhancement", - "title": "Privileged Access", - "parameters": [ - { - "id": "ra-5.5_prm_1", - "label": "organization-identified information system components", - "constraints": [ - { - "detail": "operating systems / web applications / databases" - } - ] - }, - { - "id": "ra-5.5_prm_2", - "label": "organization-defined vulnerability scanning activities", - "constraints": [ - { - "detail": "all scans" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "RA-5(5)" - }, - { - "name": "sort-id", - "value": "ra-05.05" - } - ], - "parts": [ - { - "id": "ra-5.5_smt", - "name": "statement", - "prose": "The information system implements privileged access authorization to {{ ra-5.5_prm_1 }} for selected {{ ra-5.5_prm_2 }}." - }, - { - "id": "ra-5.5_gdn", - "name": "guidance", - "prose": "In certain situations, the nature of the vulnerability scanning may be more\n intrusive or the information system component that is the subject of the scanning\n may contain highly sensitive information. Privileged access authorization to\n selected system components facilitates more thorough vulnerability scanning and\n also protects the sensitive nature of such scanning." - }, - { - "id": "ra-5.5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "ra-5.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(5)[1]" - } - ], - "prose": "the organization defines information system components to which privileged\n access is authorized for selected vulnerability scanning activities;" - }, - { - "id": "ra-5.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "RA-5(5)[2]" - } - ], - "prose": "the organization defines vulnerability scanning activities selected for\n privileged access authorization to organization-defined information system\n components; and" - }, - { - "id": "ra-5.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "RA-5(5)[3]" - } - ], - "prose": "the information system implements privileged access authorization to\n organization-defined information system components for selected\n organization-defined vulnerability scanning activities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\nsecurity plan\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components for vulnerability scanning\\n\\npersonnel access authorization list\\n\\nauthorization credentials\\n\\naccess authorization records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel responsible for access control to the information\n system\\n\\norganizational personnel responsible for configuration management of the\n information system\\n\\nsystem developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\norganizational processes for access control\\n\\nautomated mechanisms supporting and/or implementing access control\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning" - } - ] - } - ] - }, - { - "id": "ra-5.6", - "class": "SP800-53-enhancement", - "title": "Automated Trend Analyses", - "properties": [ - { - "name": "label", - "value": "RA-5(6)" - }, - { - "name": "sort-id", - "value": "ra-05.06" - } - ], - "parts": [ - { - "id": "ra-5.6_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms to compare the results of\n vulnerability scans over time to determine trends in information system\n vulnerabilities.", - "parts": [ - { - "id": "ra-5.6_fr", - "name": "item", - "title": "RA-5 (6) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5.6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include in Continuous Monitoring ISSO digest/report to JAB/AO" - } - ] - } - ] - }, - { - "id": "ra-5.6_gdn", - "name": "guidance", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "ra-5.6_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated mechanisms to compare the results\n of vulnerability scans over time to determine trends in information system\n vulnerabilities." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\ninformation system design documentation\\n\\nvulnerability scanning tools and techniques documentation\\n\\nvulnerability scanning results\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing trend analysis of\n vulnerability scan results" - } - ] - } - ] - }, - { - "id": "ra-5.8", - "class": "SP800-53-enhancement", - "title": "Review Historic Audit Logs", - "properties": [ - { - "name": "label", - "value": "RA-5(8)" - }, - { - "name": "sort-id", - "value": "ra-05.08" - } - ], - "parts": [ - { - "id": "ra-5.8_smt", - "name": "statement", - "prose": "The organization reviews historic audit logs to determine if a vulnerability\n identified in the information system has been previously exploited.", - "parts": [ - { - "id": "ra-5.8_fr", - "name": "item", - "title": "RA-5 (8) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ra-5.8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "This enhancement is required for all high vulnerability scan findings." - }, - { - "id": "ra-5.8_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability." - } - ] - } - ] - }, - { - "id": "ra-5.8_gdn", - "name": "guidance", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - } - ] - }, - { - "id": "ra-5.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization reviews historic audit logs to determine if a\n vulnerability identified in the information system has been previously exploited.\n " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Risk assessment policy\\n\\nprocedures addressing vulnerability scanning\\n\\naudit logs\\n\\nrecords of audit log reviews\\n\\nvulnerability scanning results\\n\\npatch and vulnerability management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with vulnerability scanning responsibilities\\n\\norganizational personnel with vulnerability scan analysis responsibilities\\n\\norganizational personnel with audit record review responsibilities\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for vulnerability scanning\\n\\norganizational process for audit record review and response\\n\\nautomated mechanisms/tools supporting and/or implementing vulnerability\n scanning\\n\\nautomated mechanisms supporting and/or implementing audit record review" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "sa", - "class": "family", - "title": "System and Services Acquisition", - "controls": [ - { - "id": "sa-1", - "class": "SP800-53", - "title": "System and Services Acquisition Policy and Procedures", - "parameters": [ - { - "id": "sa-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sa-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "sa-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SA-1" - }, - { - "name": "sort-id", - "value": "sa-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sa-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sa-1_prm_1 }}:", - "parts": [ - { - "id": "sa-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and services acquisition policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "sa-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and services\n acquisition policy and associated system and services acquisition controls;\n and" - } - ] - }, - { - "id": "sa-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sa-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and services acquisition policy {{ sa-1_prm_2 }}; and" - }, - { - "id": "sa-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and services acquisition procedures {{ sa-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sa-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SA\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sa-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)" - } - ], - "parts": [ - { - "id": "sa-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and services acquisition policy that\n addresses:", - "parts": [ - { - "id": "sa-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sa-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sa-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sa-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sa-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sa-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sa-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sa-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and services acquisition\n policy is to be disseminated;" - }, - { - "id": "sa-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and services acquisition policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sa-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(a)(2)" - } - ], - "parts": [ - { - "id": "sa-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and services acquisition policy and associated system and services\n acquisition controls;" - }, - { - "id": "sa-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sa-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sa-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(1)" - } - ], - "parts": [ - { - "id": "sa-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition policy;" - }, - { - "id": "sa-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "sa-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-1(b)(2)" - } - ], - "parts": [ - { - "id": "sa-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and services\n acquisition procedures; and" - }, - { - "id": "sa-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and services acquisition procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-2", - "class": "SP800-53", - "title": "Allocation of Resources", - "properties": [ - { - "name": "label", - "value": "SA-2" - }, - { - "name": "sort-id", - "value": "sa-02" - } - ], - "links": [ - { - "href": "#29fcfe59-33cd-494a-8756-5907ae3a8f92", - "rel": "reference", - "text": "NIST Special Publication 800-65" - } - ], - "parts": [ - { - "id": "sa-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Determines, documents, and allocates the resources required to protect the\n information system or information system service as part of its capital planning\n and investment control process; and" - }, - { - "id": "sa-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "id": "sa-2_gdn", - "name": "guidance", - "prose": "Resource allocation for information security includes funding for the initial\n information system or information system service acquisition and funding for the\n sustainment of the system/service.", - "links": [ - { - "href": "#pm-3", - "rel": "related", - "text": "PM-3" - }, - { - "href": "#pm-11", - "rel": "related", - "text": "PM-11" - } - ] - }, - { - "id": "sa-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-2(a)" - } - ], - "prose": "determines information security requirements for the information system or\n information system service in mission/business process planning;" - }, - { - "id": "sa-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-2(b)" - } - ], - "prose": "to protect the information system or information system service as part of its\n capital planning and investment control process:", - "parts": [ - { - "id": "sa-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[1]" - } - ], - "prose": "determines the resources required;" - }, - { - "id": "sa-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[2]" - } - ], - "prose": "documents the resources required;" - }, - { - "id": "sa-2.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-2(b)[3]" - } - ], - "prose": "allocates the resources required; and" - } - ] - }, - { - "id": "sa-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-2(c)" - } - ], - "prose": "establishes a discrete line item for information security in organizational\n programming and budgeting documentation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the allocation of resources to information security\n requirements\\n\\nprocedures addressing capital planning and investment control\\n\\norganizational programming and budgeting documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with capital planning, investment control, organizational\n programming and budgeting responsibilities\\n\\norganizational personnel responsible for determining information security\n requirements for information systems/services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information security requirements\\n\\norganizational processes for capital planning, programming, and budgeting\\n\\nautomated mechanisms supporting and/or implementing organizational capital\n planning, programming, and budgeting" - } - ] - } - ] - }, - { - "id": "sa-3", - "class": "SP800-53", - "title": "System Development Life Cycle", - "parameters": [ - { - "id": "sa-3_prm_1", - "label": "organization-defined system development life cycle" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-3" - }, - { - "name": "sort-id", - "value": "sa-03" - } - ], - "links": [ - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - } - ], - "parts": [ - { - "id": "sa-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Manages the information system using {{ sa-3_prm_1 }} that\n incorporates information security considerations;" - }, - { - "id": "sa-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "id": "sa-3_gdn", - "name": "guidance", - "prose": "A well-defined system development life cycle provides the foundation for the\n successful development, implementation, and operation of organizational information\n systems. To apply the required security controls within the system development life\n cycle requires a basic understanding of information security, threats,\n vulnerabilities, adverse impacts, and risk to critical missions/business functions.\n The security engineering principles in SA-8 cannot be properly applied if individuals\n that design, code, and test information systems and system components (including\n information technology products) do not understand security. Therefore, organizations\n include qualified personnel, for example, chief information security officers,\n security architects, security engineers, and information system security officers in\n system development life cycle activities to ensure that security requirements are\n incorporated into organizational information systems. It is equally important that\n developers include individuals on the development team that possess the requisite\n security expertise and skills to ensure that needed security capabilities are\n effectively integrated into the information system. Security awareness and training\n programs can help ensure that individuals having key security roles and\n responsibilities have the appropriate experience, skills, and expertise to conduct\n assigned system development life cycle activities. The effective integration of\n security requirements into enterprise architecture also helps to ensure that\n important security considerations are addressed early in the system development life\n cycle and that those considerations are directly related to the organizational\n mission/business processes. This process also facilitates the integration of the\n information security architecture into the enterprise architecture, consistent with\n organizational risk management and information security strategies.", - "links": [ - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - } - ] - }, - { - "id": "sa-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-3(a)" - } - ], - "parts": [ - { - "id": "sa-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(a)[1]" - } - ], - "prose": "defines a system development life cycle that incorporates information security\n considerations to be used to manage the information system;" - }, - { - "id": "sa-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-3(a)[2]" - } - ], - "prose": "manages the information system using the organization-defined system\n development life cycle;" - } - ] - }, - { - "id": "sa-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(b)" - } - ], - "prose": "defines and documents information security roles and responsibilities throughout\n the system development life cycle;" - }, - { - "id": "sa-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-3(c)" - } - ], - "prose": "identifies individuals having information security roles and responsibilities;\n and" - }, - { - "id": "sa-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-3(d)" - } - ], - "prose": "integrates the organizational information security risk management process into\n system development life cycle activities." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security into the system\n development life cycle process\\n\\ninformation system development life cycle documentation\\n\\ninformation security risk management strategy/program documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with information security and system life cycle\n development responsibilities\\n\\norganizational personnel with information security risk management\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and documenting the SDLC\\n\\norganizational processes for identifying SDLC roles and responsibilities\\n\\norganizational process for integrating information security risk management into\n the SDLC\\n\\nautomated mechanisms supporting and/or implementing the SDLC" - } - ] - } - ] - }, - { - "id": "sa-4", - "class": "SP800-53", - "title": "Acquisition Process", - "properties": [ - { - "name": "label", - "value": "SA-4" - }, - { - "name": "sort-id", - "value": "sa-04" - } - ], - "links": [ - { - "href": "#ad733a42-a7ed-4774-b988-4930c28852f3", - "rel": "reference", - "text": "HSPD-12" - }, - { - "href": "#1737a687-52fb-4008-b900-cbfa836f7b65", - "rel": "reference", - "text": "ISO/IEC 15408" - }, - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#c80c10b3-1294-4984-a4cc-d1733ca432b9", - "rel": "reference", - "text": "FIPS Publication 201" - }, - { - "href": "#0a5db899-f033-467f-8631-f5a8ba971475", - "rel": "reference", - "text": "NIST Special Publication 800-23" - }, - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - }, - { - "href": "#d818efd3-db31-4953-8afa-9e76afe83ce2", - "rel": "reference", - "text": "NIST Special Publication 800-36" - }, - { - "href": "#0a0c26b6-fd44-4274-8b36-93442d49d998", - "rel": "reference", - "text": "NIST Special Publication 800-37" - }, - { - "href": "#abd950ae-092f-4b7a-b374-1c7c67fe9350", - "rel": "reference", - "text": "NIST Special Publication 800-64" - }, - { - "href": "#84a37532-6db6-477b-9ea8-f9085ebca0fc", - "rel": "reference", - "text": "NIST Special Publication 800-70" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - }, - { - "href": "#56d671da-6b7b-4abf-8296-84b61980390a", - "rel": "reference", - "text": "Federal Acquisition Regulation" - }, - { - "href": "#c95a9986-3cd6-4a98-931b-ccfc56cb11e5", - "rel": "reference", - "text": "http://www.niap-ccevs.org" - }, - { - "href": "#5ed1f4d5-1494-421b-97ed-39d3c88ab51f", - "rel": "reference", - "text": "http://fips201ep.cio.gov" - }, - { - "href": "#bbd50dd1-54ce-4432-959d-63ea564b1bb4", - "rel": "reference", - "text": "http://www.acquisition.gov/far" - } - ], - "parts": [ - { - "id": "sa-4_smt", - "name": "statement", - "prose": "The organization includes the following requirements, descriptions, and criteria,\n explicitly or by reference, in the acquisition contract for the information system,\n system component, or information system service in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, guidelines, and\n organizational mission/business needs:", - "parts": [ - { - "id": "sa-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Security functional requirements;" - }, - { - "id": "sa-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Security strength requirements;" - }, - { - "id": "sa-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Security assurance requirements;" - }, - { - "id": "sa-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Security-related documentation requirements;" - }, - { - "id": "sa-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Requirements for protecting security-related documentation;" - }, - { - "id": "sa-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Description of the information system development environment and environment in\n which the system is intended to operate; and" - }, - { - "id": "sa-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Acceptance criteria." - }, - { - "id": "sa-4_fr", - "name": "item", - "title": "SA-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html)." - } - ] - } - ] - }, - { - "id": "sa-4_gdn", - "name": "guidance", - "prose": "Information system components are discrete, identifiable information technology\n assets (e.g., hardware, software, or firmware) that represent the building blocks of\n an information system. Information system components include commercial information\n technology products. Security functional requirements include security capabilities,\n security functions, and security mechanisms. Security strength requirements\n associated with such capabilities, functions, and mechanisms include degree of\n correctness, completeness, resistance to direct attack, and resistance to tampering\n or bypass. Security assurance requirements include: (i) development processes,\n procedures, practices, and methodologies; and (ii) evidence from development and\n assessment activities providing grounds for confidence that the required security\n functionality has been implemented and the required security strength has been\n achieved. Security documentation requirements address all phases of the system\n development life cycle. Security functionality, assurance, and documentation\n requirements are expressed in terms of security controls and control enhancements\n that have been selected through the tailoring process. The security control tailoring\n process includes, for example, the specification of parameter values through the use\n of assignment and selection statements and the specification of platform dependencies\n and implementation information. Security documentation provides user and\n administrator guidance regarding the implementation and operation of security\n controls. The level of detail required in security documentation is based on the\n security category or classification level of the information system and the degree to\n which organizations depend on the stated security capability, functions, or\n mechanisms to meet overall risk response expectations (as defined in the\n organizational risk management strategy). Security requirements can also include\n organizationally mandated configuration settings specifying allowed functions, ports,\n protocols, and services. Acceptance criteria for information systems, information\n system components, and information system services are defined in the same manner as\n such criteria for any organizational acquisition or procurement. The Federal\n Acquisition Regulation (FAR) Section 7.103 contains information security requirements\n from FISMA.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - } - ] - }, - { - "id": "sa-4_obj", - "name": "objective", - "prose": "Determine if the organization includes the following requirements, descriptions, and\n criteria, explicitly or by reference, in the acquisition contracts for the\n information system, system component, or information system service in accordance\n with applicable federal laws, Executive Orders, directives, policies, regulations,\n standards, guidelines, and organizational mission/business needs:", - "parts": [ - { - "id": "sa-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(a)" - } - ], - "prose": "security functional requirements;" - }, - { - "id": "sa-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(b)" - } - ], - "prose": "security strength requirements;" - }, - { - "id": "sa-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(c)" - } - ], - "prose": "security assurance requirements;" - }, - { - "id": "sa-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(d)" - } - ], - "prose": "security-related documentation requirements;" - }, - { - "id": "sa-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(e)" - } - ], - "prose": "requirements for protecting security-related documentation;" - }, - { - "id": "sa-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)" - } - ], - "prose": "description of:", - "parts": [ - { - "id": "sa-4.f_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[1]" - } - ], - "prose": "the information system development environment;" - }, - { - "id": "sa-4.f_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(f)[2]" - } - ], - "prose": "the environment in which the system is intended to operate; and" - } - ] - }, - { - "id": "sa-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(g)" - } - ], - "prose": "acceptance criteria." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\ninformation system design documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional, strength, and assurance requirements\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information system security functional,\n strength, and assurance requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of\n security requirements in contracts" - } - ] - } - ], - "controls": [ - { - "id": "sa-4.1", - "class": "SP800-53-enhancement", - "title": "Functional Properties of Security Controls", - "properties": [ - { - "name": "label", - "value": "SA-4(1)" - }, - { - "name": "sort-id", - "value": "sa-04.01" - } - ], - "parts": [ - { - "id": "sa-4.1_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to provide a description of the\n functional properties of the security controls to be employed." - }, - { - "id": "sa-4.1_gdn", - "name": "guidance", - "prose": "Functional properties of security controls describe the functionality (i.e.,\n security capability, functions, or mechanisms) visible at the interfaces of the\n controls and specifically exclude functionality and data structures internal to\n the operation of the controls.", - "links": [ - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "sa-4.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to provide a description of the\n functional properties of the security controls to be employed." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security functional requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining information system security\n functional, requirements\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing acquisitions and inclusion\n of security requirements in contracts" - } - ] - } - ] - }, - { - "id": "sa-4.2", - "class": "SP800-53-enhancement", - "title": "Design / Implementation Information for Security Controls", - "parameters": [ - { - "id": "sa-4.2_prm_1", - "constraints": [ - { - "detail": "to include security-relevant external system interfaces and high-level design" - } - ] - }, - { - "id": "sa-4.2_prm_2", - "depends-on": "sa-4.2_prm_1", - "label": "organization-defined design/implementation information" - }, - { - "id": "sa-4.2_prm_3", - "label": "organization-defined level of detail" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-4(2)" - }, - { - "name": "sort-id", - "value": "sa-04.02" - } - ], - "parts": [ - { - "id": "sa-4.2_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to provide design and implementation\n information for the security controls to be employed that includes: {{ sa-4.2_prm_1 }} at {{ sa-4.2_prm_3 }}." - }, - { - "id": "sa-4.2_gdn", - "name": "guidance", - "prose": "Organizations may require different levels of detail in design and implementation\n documentation for security controls employed in organizational information\n systems, system components, or information system services based on\n mission/business requirements, requirements for trustworthiness/resiliency, and\n requirements for analysis and testing. Information systems can be partitioned into\n multiple subsystems. Each subsystem within the system can contain one or more\n modules. The high-level design for the system is expressed in terms of multiple\n subsystems and the interfaces between subsystems providing security-relevant\n functionality. The low-level design for the system is expressed in terms of\n modules with particular emphasis on software and firmware (but not excluding\n hardware) and the interfaces between modules providing security-relevant\n functionality. Source code and hardware schematics are typically referred to as\n the implementation representation of the information system.", - "links": [ - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - } - ] - }, - { - "id": "sa-4.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-4.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-4(2)[1]" - } - ], - "prose": "defines level of detail that the developer is required to provide in design and\n implementation information for the security controls to be employed in the\n information system, system component, or information system service;" - }, - { - "id": "sa-4.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-4(2)[2]" - } - ], - "prose": "defines design/implementation information that the developer is to provide for\n the security controls to be employed (if selected);" - }, - { - "id": "sa-4.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-4(2)[3]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to provide design and implementation information for\n the security controls to be employed that includes, at the organization-defined\n level of detail, one or more of the following:", - "parts": [ - { - "id": "sa-4.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][a]" - } - ], - "prose": "security-relevant external system interfaces;" - }, - { - "id": "sa-4.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][b]" - } - ], - "prose": "high-level design;" - }, - { - "id": "sa-4.2_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][c]" - } - ], - "prose": "low-level design;" - }, - { - "id": "sa-4.2_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][d]" - } - ], - "prose": "source code;" - }, - { - "id": "sa-4.2_obj.3.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][e]" - } - ], - "prose": "hardware schematics; and/or" - }, - { - "id": "sa-4.2_obj.3.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(2)[3][f]" - } - ], - "prose": "organization-defined design/implementation information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documents\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system components, or\n information system services\\n\\ndesign and implementation information for security controls employed in the\n information system, system component, or information system service\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developer or service provider\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for determining level of detail for system design and\n security controls\\n\\norganizational processes for developing acquisition contracts\\n\\nautomated mechanisms supporting and/or implementing development of system\n design details" - } - ] - } - ] - }, - { - "id": "sa-4.8", - "class": "SP800-53-enhancement", - "title": "Continuous Monitoring Plan", - "parameters": [ - { - "id": "sa-4.8_prm_1", - "label": "organization-defined level of detail", - "constraints": [ - { - "detail": "at least the minimum requirement as defined in control CA-7" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-4(8)" - }, - { - "name": "sort-id", - "value": "sa-04.08" - } - ], - "parts": [ - { - "id": "sa-4.8_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to produce a plan for the continuous\n monitoring of security control effectiveness that contains {{ sa-4.8_prm_1 }}.", - "parts": [ - { - "id": "sa-4.8_fr", - "name": "item", - "title": "SA-4 (8) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-4.8_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSP must use the same security standards regardless of where the system component or information system service is acquired." - } - ] - } - ] - }, - { - "id": "sa-4.8_gdn", - "name": "guidance", - "prose": "The objective of continuous monitoring plans is to determine if the complete set\n of planned, required, and deployed security controls within the information\n system, system component, or information system service continue to be effective\n over time based on the inevitable changes that occur. Developer continuous\n monitoring plans include a sufficient level of detail such that the information\n can be incorporated into the continuous monitoring strategies and programs\n implemented by organizations.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - } - ] - }, - { - "id": "sa-4.8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-4.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-4(8)[1]" - } - ], - "prose": "defines the level of detail the developer of the information system, system\n component, or information system service is required to provide when producing\n a plan for the continuous monitoring of security control effectiveness; and" - }, - { - "id": "sa-4.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-4(8)[2]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to produce a plan for the continuous monitoring of\n security control effectiveness that contains the organization-defined level of\n detail." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing developer continuous monitoring plans\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ndeveloper continuous monitoring plans\\n\\nsecurity assessment plans\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Vendor processes for continuous monitoring\\n\\nautomated mechanisms supporting and/or implementing developer continuous\n monitoring" - } - ] - } - ] - }, - { - "id": "sa-4.9", - "class": "SP800-53-enhancement", - "title": "Functions / Ports / Protocols / Services in Use", - "properties": [ - { - "name": "label", - "value": "SA-4(9)" - }, - { - "name": "sort-id", - "value": "sa-04.09" - } - ], - "parts": [ - { - "id": "sa-4.9_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to identify early in the system\n development life cycle, the functions, ports, protocols, and services intended for\n organizational use." - }, - { - "id": "sa-4.9_gdn", - "name": "guidance", - "prose": "The identification of functions, ports, protocols, and services early in the\n system development life cycle (e.g., during the initial requirements definition\n and design phases) allows organizations to influence the design of the information\n system, information system component, or information system service. This early\n involvement in the life cycle helps organizations to avoid or minimize the use of\n functions, ports, protocols, or services that pose unnecessarily high risks and\n understand the trade-offs involved in blocking specific ports, protocols, or\n services (or when requiring information system service providers to do so). Early\n identification of functions, ports, protocols, and services avoids costly\n retrofitting of security controls after the information system, system component,\n or information system service has been implemented. SA-9 describes requirements\n for external information system services with organizations identifying which\n functions, ports, protocols, and services are provided from external sources.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#sa-9", - "rel": "related", - "text": "SA-9" - } - ] - }, - { - "id": "sa-4.9_obj", - "name": "objective", - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to identify early in the system\n development life cycle:", - "parts": [ - { - "id": "sa-4.9_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-4(9)[1]" - } - ], - "prose": "the functions intended for organizational use;" - }, - { - "id": "sa-4.9_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(9)[2]" - } - ], - "prose": "the ports intended for organizational use;" - }, - { - "id": "sa-4.9_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(9)[3]" - } - ], - "prose": "the protocols intended for organizational use; and" - }, - { - "id": "sa-4.9_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-4(9)[4]" - } - ], - "prose": "the services intended for organizational use." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\ninformation system design documentation\\n\\ninformation system documentation including functions, ports, protocols, and\n services intended for organizational use\\n\\nacquisition contracts for information systems or services\\n\\nacquisition documentation\\n\\nsolicitation documentation\\n\\nservice-level agreements\\n\\norganizational security requirements, descriptions, and criteria for developers\n of information systems, system components, and information system services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem/network administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sa-4.10", - "class": "SP800-53-enhancement", - "title": "Use of Approved PIV Products", - "properties": [ - { - "name": "label", - "value": "SA-4(10)" - }, - { - "name": "sort-id", - "value": "sa-04.10" - } - ], - "parts": [ - { - "id": "sa-4.10_smt", - "name": "statement", - "prose": "The organization employs only information technology products on the FIPS\n 201-approved products list for Personal Identity Verification (PIV) capability\n implemented within organizational information systems." - }, - { - "id": "sa-4.10_gdn", - "name": "guidance", - "links": [ - { - "href": "#ia-2", - "rel": "related", - "text": "IA-2" - }, - { - "href": "#ia-8", - "rel": "related", - "text": "IA-8" - } - ] - }, - { - "id": "sa-4.10_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs only information technology products on the\n FIPS 201-approved products list for Personal Identity Verification (PIV)\n capability implemented within organizational information systems. " - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing the integration of information security requirements,\n descriptions, and criteria into the acquisition process\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nservice-level agreements\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with responsibility for ensuring only FIPS\n 201-approved products are implemented\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for selecting and employing FIPS 201-approved\n products" - } - ] - } - ] - } - ] - }, - { - "id": "sa-5", - "class": "SP800-53", - "title": "Information System Documentation", - "parameters": [ - { - "id": "sa-5_prm_1", - "label": "organization-defined actions" - }, - { - "id": "sa-5_prm_2", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-5" - }, - { - "name": "sort-id", - "value": "sa-05" - } - ], - "parts": [ - { - "id": "sa-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Secure configuration, installation, and operation of the system, component, or\n service;" - }, - { - "id": "sa-5_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Effective use and maintenance of security functions/mechanisms; and" - }, - { - "id": "sa-5_smt.a.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "Known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "User-accessible security functions/mechanisms and how to effectively use those\n security functions/mechanisms;" - }, - { - "id": "sa-5_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner; and" - }, - { - "id": "sa-5_smt.b.3", - "name": "item", - "properties": [ - { - "name": "label", - "value": "3." - } - ], - "prose": "User responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Documents attempts to obtain information system, system component, or information\n system service documentation when such documentation is either unavailable or\n nonexistent and takes {{ sa-5_prm_1 }} in response;" - }, - { - "id": "sa-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects documentation as required, in accordance with the risk management\n strategy; and" - }, - { - "id": "sa-5_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Distributes documentation to {{ sa-5_prm_2 }}." - } - ] - }, - { - "id": "sa-5_gdn", - "name": "guidance", - "prose": "This control helps organizational personnel understand the implementation and\n operation of security controls associated with information systems, system\n components, and information system services. Organizations consider establishing\n specific measures to determine the quality/completeness of the content provided. The\n inability to obtain needed documentation may occur, for example, due to the age of\n the information system/component or lack of support from developers and contractors.\n In those situations, organizations may need to recreate selected documentation if\n such documentation is essential to the effective implementation or operation of\n security controls. The level of protection provided for selected information system,\n component, or service documentation is commensurate with the security category or\n classification of the system. For example, documentation associated with a key DoD\n weapons system or command and control system would typically require a higher level\n of protection than a routine administrative system. Documentation that addresses\n information system vulnerabilities may also require an increased level of protection.\n Secure operation of the information system, includes, for example, initially starting\n the system and resuming secure system operation after any lapse in system\n operation.", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#pl-2", - "rel": "related", - "text": "PL-2" - }, - { - "href": "#pl-4", - "rel": "related", - "text": "PL-4" - }, - { - "href": "#ps-2", - "rel": "related", - "text": "PS-2" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - } - ] - }, - { - "id": "sa-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(a)" - } - ], - "prose": "obtains administrator documentation for the information system, system component,\n or information system service that describes:", - "parts": [ - { - "id": "sa-5.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)" - } - ], - "parts": [ - { - "id": "sa-5.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[1]" - } - ], - "prose": "secure configuration of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[2]" - } - ], - "prose": "secure installation of the system, system component, or service;" - }, - { - "id": "sa-5.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(1)[3]" - } - ], - "prose": "secure operation of the system, system component, or service;" - } - ] - }, - { - "id": "sa-5.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)" - } - ], - "parts": [ - { - "id": "sa-5.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[1]" - } - ], - "prose": "effective use of the security features/mechanisms;" - }, - { - "id": "sa-5.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(2)[2]" - } - ], - "prose": "effective maintenance of the security features/mechanisms;" - } - ] - }, - { - "id": "sa-5.a.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(a)(3)" - } - ], - "prose": "known vulnerabilities regarding configuration and use of administrative (i.e.,\n privileged) functions;" - } - ] - }, - { - "id": "sa-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(b)" - } - ], - "prose": "obtains user documentation for the information system, system component, or\n information system service that describes:", - "parts": [ - { - "id": "sa-5.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)" - } - ], - "parts": [ - { - "id": "sa-5.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[1]" - } - ], - "prose": "user-accessible security functions/mechanisms;" - }, - { - "id": "sa-5.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(1)[2]" - } - ], - "prose": "how to effectively use those functions/mechanisms;" - } - ] - }, - { - "id": "sa-5.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(2)" - } - ], - "prose": "methods for user interaction, which enables individuals to use the system,\n component, or service in a more secure manner;" - }, - { - "id": "sa-5.b.3_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(b)(3)" - } - ], - "prose": "user responsibilities in maintaining the security of the system, component, or\n service;" - } - ] - }, - { - "id": "sa-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(c)" - } - ], - "parts": [ - { - "id": "sa-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(c)[1]" - } - ], - "prose": "defines actions to be taken after documented attempts to obtain information\n system, system component, or information system service documentation when such\n documentation is either unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(c)[2]" - } - ], - "prose": "documents attempts to obtain information system, system component, or\n information system service documentation when such documentation is either\n unavailable or nonexistent;" - }, - { - "id": "sa-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(c)[3]" - } - ], - "prose": "takes organization-defined actions in response;" - } - ] - }, - { - "id": "sa-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(d)" - } - ], - "prose": "protects documentation as required, in accordance with the risk management\n strategy;" - }, - { - "id": "sa-5.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-5(e)" - } - ], - "parts": [ - { - "id": "sa-5.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-5(e)[1]" - } - ], - "prose": "defines personnel or roles to whom documentation is to be distributed; and" - }, - { - "id": "sa-5.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-5(e)[2]" - } - ], - "prose": "distributes documentation to organization-defined personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing information system documentation\\n\\ninformation system documentation including administrator and user guides\\n\\nrecords documenting attempts to obtain unavailable or nonexistent information\n system documentation\\n\\nlist of actions to be taken in response to documented attempts to obtain\n information system, system component, or information system service\n documentation\\n\\nrisk management strategy documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\nsystem administrators\\n\\norganizational personnel operating, using, and/or maintaining the information\n system\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for obtaining, protecting, and distributing information\n system administrator and user documentation" - } - ] - } - ] - }, - { - "id": "sa-8", - "class": "SP800-53", - "title": "Security Engineering Principles", - "properties": [ - { - "name": "label", - "value": "SA-8" - }, - { - "name": "sort-id", - "value": "sa-08" - } - ], - "links": [ - { - "href": "#21b1ed35-56d2-40a8-bdfe-b461fffe322f", - "rel": "reference", - "text": "NIST Special Publication 800-27" - } - ], - "parts": [ - { - "id": "sa-8_smt", - "name": "statement", - "prose": "The organization applies information system security engineering principles in the\n specification, design, development, implementation, and modification of the\n information system." - }, - { - "id": "sa-8_gdn", - "name": "guidance", - "prose": "Organizations apply security engineering principles primarily to new development\n information systems or systems undergoing major upgrades. For legacy systems,\n organizations apply security engineering principles to system upgrades and\n modifications to the extent feasible, given the current state of hardware, software,\n and firmware within those systems. Security engineering principles include, for\n example: (i) developing layered protections; (ii) establishing sound security policy,\n architecture, and controls as the foundation for design; (iii) incorporating security\n requirements into the system development life cycle; (iv) delineating physical and\n logical security boundaries; (v) ensuring that system developers are trained on how\n to build secure software; (vi) tailoring security controls to meet organizational and\n operational needs; (vii) performing threat modeling to identify use cases, threat\n agents, attack vectors, and attack patterns as well as compensating controls and\n design patterns needed to mitigate risk; and (viii) reducing risk to acceptable\n levels, thus enabling informed risk management decisions.", - "links": [ - { - "href": "#pm-7", - "rel": "related", - "text": "PM-7" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-17", - "rel": "related", - "text": "SA-17" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sa-8_obj", - "name": "objective", - "prose": "Determine if the organization applies information system security engineering\n principles in: ", - "parts": [ - { - "id": "sa-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-8[1]" - } - ], - "prose": "the specification of the information system;" - }, - { - "id": "sa-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[2]" - } - ], - "prose": "the design of the information system;" - }, - { - "id": "sa-8_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[3]" - } - ], - "prose": "the development of the information system;" - }, - { - "id": "sa-8_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[4]" - } - ], - "prose": "the implementation of the information system; and" - }, - { - "id": "sa-8_obj.5", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-8[5]" - } - ], - "prose": "the modification of the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing security engineering principles used in the specification,\n design, development, implementation, and modification of the information\n system\\n\\ninformation system design documentation\\n\\ninformation security requirements and specifications for the information\n system\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with acquisition/contracting responsibilities\\n\\norganizational personnel with responsibility for determining information system\n security requirements\\n\\norganizational personnel with information system specification, design,\n development, implementation, and modification responsibilities\\n\\ninformation system developers\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for applying security engineering principles in\n information system specification, design, development, implementation, and\n modification\\n\\nautomated mechanisms supporting the application of security engineering principles\n in information system specification, design, development, implementation, and\n modification" - } - ] - } - ] - }, - { - "id": "sa-9", - "class": "SP800-53", - "title": "External Information System Services", - "parameters": [ - { - "id": "sa-9_prm_1", - "label": "organization-defined security controls", - "constraints": [ - { - "detail": "FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system" - } - ] - }, - { - "id": "sa-9_prm_2", - "label": "organization-defined processes, methods, and techniques", - "constraints": [ - { - "detail": "Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9" - }, - { - "name": "sort-id", - "value": "sa-09" - } - ], - "links": [ - { - "href": "#0c775bc3-bfc3-42c7-a382-88949f503171", - "rel": "reference", - "text": "NIST Special Publication 800-35" - } - ], - "parts": [ - { - "id": "sa-9_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-9_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Requires that providers of external information system services comply with\n organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and guidance;" - }, - { - "id": "sa-9_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Defines and documents government oversight and user roles and responsibilities\n with regard to external information system services; and" - }, - { - "id": "sa-9_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Employs {{ sa-9_prm_2 }} to monitor security control compliance by\n external service providers on an ongoing basis." - } - ] - }, - { - "id": "sa-9_gdn", - "name": "guidance", - "prose": "External information system services are services that are implemented outside of the\n authorization boundaries of organizational information systems. This includes\n services that are used by, but not a part of, organizational information systems.\n FISMA and OMB policy require that organizations using external service providers that\n are processing, storing, or transmitting federal information or operating information\n systems on behalf of the federal government ensure that such providers meet the same\n security requirements that federal agencies are required to meet. Organizations\n establish relationships with external service providers in a variety of ways\n including, for example, through joint ventures, business partnerships, contracts,\n interagency agreements, lines of business arrangements, licensing agreements, and\n supply chain exchanges. The responsibility for managing risks from the use of\n external information system services remains with authorizing officials. For services\n external to organizations, a chain of trust requires that organizations establish and\n retain a level of confidence that each participating provider in the potentially\n complex consumer-provider relationship provides adequate protection for the services\n rendered. The extent and nature of this chain of trust varies based on the\n relationships between organizations and the external providers. Organizations\n document the basis for trust relationships so the relationships can be monitored over\n time. External information system services documentation includes government, service\n providers, end user security roles and responsibilities, and service-level\n agreements. Service-level agreements define expectations of performance for security\n controls, describe measurable outcomes, and identify remedies and response\n requirements for identified instances of noncompliance.", - "links": [ - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#ir-7", - "rel": "related", - "text": "IR-7" - }, - { - "href": "#ps-7", - "rel": "related", - "text": "PS-7" - } - ] - }, - { - "id": "sa-9_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(a)" - } - ], - "parts": [ - { - "id": "sa-9.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[1]" - } - ], - "prose": "defines security controls to be employed by providers of external information\n system services;" - }, - { - "id": "sa-9.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[2]" - } - ], - "prose": "requires that providers of external information system services comply with\n organizational information security requirements;" - }, - { - "id": "sa-9.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(a)[3]" - } - ], - "prose": "requires that providers of external information system services employ\n organization-defined security controls in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, standards, and\n guidance;" - } - ] - }, - { - "id": "sa-9.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(b)" - } - ], - "parts": [ - { - "id": "sa-9.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(b)[1]" - } - ], - "prose": "defines and documents government oversight with regard to external information\n system services;" - }, - { - "id": "sa-9.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(b)[2]" - } - ], - "prose": "defines and documents user roles and responsibilities with regard to external\n information system services;" - } - ] - }, - { - "id": "sa-9.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(c)" - } - ], - "parts": [ - { - "id": "sa-9.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(c)[1]" - } - ], - "prose": "defines processes, methods, and techniques to be employed to monitor security\n control compliance by external service providers; and" - }, - { - "id": "sa-9.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(c)[2]" - } - ], - "prose": "employs organization-defined processes, methods, and techniques to monitor\n security control compliance by external service providers on an ongoing\n basis." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nprocedures addressing methods and techniques for monitoring security control\n compliance by external service providers of information system services\\n\\nacquisition contracts, service-level agreements\\n\\norganizational security requirements and security specifications for external\n provider services\\n\\nsecurity control assessment evidence from external providers of information system\n services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring security control compliance by external\n service providers on an ongoing basis\\n\\nautomated mechanisms for monitoring security control compliance by external\n service providers on an ongoing basis" - } - ] - } - ], - "controls": [ - { - "id": "sa-9.1", - "class": "SP800-53-enhancement", - "title": "Risk Assessments / Organizational Approvals", - "parameters": [ - { - "id": "sa-9.1_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(1)" - }, - { - "name": "sort-id", - "value": "sa-09.01" - } - ], - "parts": [ - { - "id": "sa-9.1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sa-9.1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services; and" - }, - { - "id": "sa-9.1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Ensures that the acquisition or outsourcing of dedicated information security\n services is approved by {{ sa-9.1_prm_1 }}." - } - ] - }, - { - "id": "sa-9.1_gdn", - "name": "guidance", - "prose": "Dedicated information security services include, for example, incident monitoring,\n analysis and response, operation of information security-related devices such as\n firewalls, or key management services.", - "links": [ - { - "href": "#ca-6", - "rel": "related", - "text": "CA-6" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - } - ] - }, - { - "id": "sa-9.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.1.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(1)(a)" - } - ], - "prose": "conducts an organizational assessment of risk prior to the acquisition or\n outsourcing of dedicated information security services;", - "links": [ - { - "href": "#sa-9.1_smt.a", - "rel": "corresp", - "text": "SA-9(1)(a)" - } - ] - }, - { - "id": "sa-9.1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(1)(b)" - } - ], - "parts": [ - { - "id": "sa-9.1.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(1)(b)[1]" - } - ], - "prose": "defines personnel or roles designated to approve the acquisition or\n outsourcing of dedicated information security services; and" - }, - { - "id": "sa-9.1.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(1)(b)[2]" - } - ], - "prose": "ensures that the acquisition or outsourcing of dedicated information\n security services is approved by organization-defined personnel or\n roles." - } - ], - "links": [ - { - "href": "#sa-9.1_smt.b", - "rel": "corresp", - "text": "SA-9(1)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition documentation\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nrisk assessment reports\\n\\napproval records for acquisition or outsourcing of dedicated information\n security services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information system security responsibilities\\n\\nexternal providers of information system services\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for conducting a risk assessment prior to acquiring or\n outsourcing dedicated information security services\\n\\norganizational processes for approving the outsourcing of dedicated information\n security services\\n\\nautomated mechanisms supporting and/or implementing risk assessment\\n\\nautomated mechanisms supporting and/or implementing approval processes" - } - ] - } - ] - }, - { - "id": "sa-9.2", - "class": "SP800-53-enhancement", - "title": "Identification of Functions / Ports / Protocols / Services", - "parameters": [ - { - "id": "sa-9.2_prm_1", - "label": "organization-defined external information system services", - "constraints": [ - { - "detail": "all external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(2)" - }, - { - "name": "sort-id", - "value": "sa-09.02" - } - ], - "parts": [ - { - "id": "sa-9.2_smt", - "name": "statement", - "prose": "The organization requires providers of {{ sa-9.2_prm_1 }} to\n identify the functions, ports, protocols, and other services required for the use\n of such services." - }, - { - "id": "sa-9.2_gdn", - "name": "guidance", - "prose": "Information from external service providers regarding the specific functions,\n ports, protocols, and services used in the provision of such services can be\n particularly useful when the need arises to understand the trade-offs involved in\n restricting certain functions/services or blocking certain ports/protocols.", - "links": [ - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - } - ] - }, - { - "id": "sa-9.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(2)[1]" - } - ], - "prose": "defines external information system services for which providers of such\n services are to identify the functions, ports, protocols, and other services\n required for the use of such services;" - }, - { - "id": "sa-9.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SA-9(2)[2]" - } - ], - "prose": "requires providers of organization-defined external information system services\n to identify:", - "parts": [ - { - "id": "sa-9.2_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][a]" - } - ], - "prose": "the functions required for the use of such services;" - }, - { - "id": "sa-9.2_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][b]" - } - ], - "prose": "the ports required for the use of such services;" - }, - { - "id": "sa-9.2_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][c]" - } - ], - "prose": "the protocols required for the use of such services; and" - }, - { - "id": "sa-9.2_obj.2.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(2)[2][d]" - } - ], - "prose": "the other services required for the use of such services." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nacquisition documentation\\n\\nsolicitation documentation, service-level agreements\\n\\norganizational security requirements and security specifications for external\n service providers\\n\\nlist of required functions, ports, protocols, and other services\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nexternal providers of information system services" - } - ] - } - ] - }, - { - "id": "sa-9.4", - "class": "SP800-53-enhancement", - "title": "Consistent Interests of Consumers and Providers", - "parameters": [ - { - "id": "sa-9.4_prm_1", - "label": "organization-defined security safeguards" - }, - { - "id": "sa-9.4_prm_2", - "label": "organization-defined external service providers", - "constraints": [ - { - "detail": "all external systems where Federal information is processed or stored" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(4)" - }, - { - "name": "sort-id", - "value": "sa-09.04" - } - ], - "parts": [ - { - "id": "sa-9.4_smt", - "name": "statement", - "prose": "The organization employs {{ sa-9.4_prm_1 }} to ensure that the\n interests of {{ sa-9.4_prm_2 }} are consistent with and reflect\n organizational interests." - }, - { - "id": "sa-9.4_gdn", - "name": "guidance", - "prose": "As organizations increasingly use external service providers, the possibility\n exists that the interests of the service providers may diverge from organizational\n interests. In such situations, simply having the correct technical, procedural, or\n operational safeguards in place may not be sufficient if the service providers\n that implement and control those safeguards are not operating in a manner\n consistent with the interests of the consuming organizations. Possible actions\n that organizations might take to address such concerns include, for example,\n requiring background checks for selected service provider personnel, examining\n ownership records, employing only trustworthy service providers (i.e., providers\n with which organizations have had positive experiences), and conducting\n periodic/unscheduled visits to service provider facilities." - }, - { - "id": "sa-9.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(4)[1]" - } - ], - "prose": "defines external service providers whose interests are to be consistent with\n and reflect organizational interests;" - }, - { - "id": "sa-9.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(4)[2]" - } - ], - "prose": "defines security safeguards to be employed to ensure that the interests of\n organization-defined external service providers are consistent with and reflect\n organizational interests; and" - }, - { - "id": "sa-9.4_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(4)[3]" - } - ], - "prose": "employs organization-defined security safeguards to ensure that the interests\n of organization-defined external service providers are consistent with and\n reflect organizational interests." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\norganizational security requirements/safeguards for external service\n providers\\n\\npersonnel security policies for external service providers\\n\\nassessments performed on external service providers\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining and employing safeguards to ensure\n consistent interests with external service providers\\n\\nautomated mechanisms supporting and/or implementing safeguards to ensure\n consistent interests with external service providers" - } - ] - } - ] - }, - { - "id": "sa-9.5", - "class": "SP800-53-enhancement", - "title": "Processing, Storage, and Service Location", - "parameters": [ - { - "id": "sa-9.5_prm_1", - "constraints": [ - { - "detail": "information processing, information data, AND information services" - } - ] - }, - { - "id": "sa-9.5_prm_2", - "label": "organization-defined locations" - }, - { - "id": "sa-9.5_prm_3", - "label": "organization-defined requirements or conditions" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-9(5)" - }, - { - "name": "sort-id", - "value": "sa-09.05" - } - ], - "parts": [ - { - "id": "sa-9.5_smt", - "name": "statement", - "prose": "The organization restricts the location of {{ sa-9.5_prm_1 }} to\n {{ sa-9.5_prm_2 }} based on {{ sa-9.5_prm_3 }}." - }, - { - "id": "sa-9.5_gdn", - "name": "guidance", - "prose": "The location of information processing, information/data storage, or information\n system services that are critical to organizations can have a direct impact on the\n ability of those organizations to successfully execute their missions/business\n functions. This situation exists when external providers control the location of\n processing, storage or services. The criteria external providers use for the\n selection of processing, storage, or service locations may be different from\n organizational criteria. For example, organizations may want to ensure that\n data/information storage locations are restricted to certain locations to\n facilitate incident response activities (e.g., forensic analyses, after-the-fact\n investigations) in case of information security breaches/compromises. Such\n incident response activities may be adversely affected by the governing laws or\n protocols in the locations where processing and storage occur and/or the locations\n from which information system services emanate." - }, - { - "id": "sa-9.5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-9.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(5)[1]" - } - ], - "prose": "defines locations where organization-defined information processing,\n information/data, and/or information system services are to be restricted;" - }, - { - "id": "sa-9.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-9(5)[2]" - } - ], - "prose": "defines requirements or conditions to restrict the location of information\n processing, information/data, and/or information system services;" - }, - { - "id": "sa-9.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-9(5)[3]" - } - ], - "prose": "restricts the location of one or more of the following to organization-defined\n locations based on organization-defined requirements or conditions:", - "parts": [ - { - "id": "sa-9.5_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(5)[3][a]" - } - ], - "prose": "information processing;" - }, - { - "id": "sa-9.5_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(5)[3][b]" - } - ], - "prose": "information/data; and/or" - }, - { - "id": "sa-9.5_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-9(5)[3][c]" - } - ], - "prose": "information services." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing external information system services\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nrestricted locations for information processing\\n\\ninformation/data and/or information system services\\n\\ninformation processing, information/data, and/or information system services to\n be maintained in restricted locations\\n\\norganizational security requirements or conditions for external providers\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\nexternal providers of information system services" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining requirements to restrict locations of\n information processing, information/data, or information services\\n\\norganizational processes for ensuring the location is restricted in accordance\n with requirements or conditions" - } - ] - } - ] - } - ] - }, - { - "id": "sa-10", - "class": "SP800-53", - "title": "Developer Configuration Management", - "parameters": [ - { - "id": "sa-10_prm_1", - "constraints": [ - { - "detail": "development, implementation, AND operation" - } - ] - }, - { - "id": "sa-10_prm_2", - "label": "organization-defined configuration items under configuration management" - }, - { - "id": "sa-10_prm_3", - "label": "organization-defined personnel" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-10" - }, - { - "name": "sort-id", - "value": "sa-10" - } - ], - "links": [ - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "sa-10_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system component,\n or information system service to:", - "parts": [ - { - "id": "sa-10_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Perform configuration management during system, component, or service {{ sa-10_prm_1 }};" - }, - { - "id": "sa-10_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Document, manage, and control the integrity of changes to {{ sa-10_prm_2 }};" - }, - { - "id": "sa-10_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Implement only organization-approved changes to the system, component, or\n service;" - }, - { - "id": "sa-10_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Document approved changes to the system, component, or service and the potential\n security impacts of such changes; and" - }, - { - "id": "sa-10_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Track security flaws and flaw resolution within the system, component, or service\n and report findings to {{ sa-10_prm_3 }}." - }, - { - "id": "sa-10_fr", - "name": "item", - "title": "SA-10 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-10_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e) Requirement:" - } - ], - "prose": "For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP." - } - ] - } - ] - }, - { - "id": "sa-10_gdn", - "name": "guidance", - "prose": "This control also applies to organizations conducting internal information systems\n development and integration. Organizations consider the quality and completeness of\n the configuration management activities conducted by developers as evidence of\n applying effective security safeguards. Safeguards include, for example, protecting\n from unauthorized modification or destruction, the master copies of all material used\n to generate security-relevant portions of the system hardware, software, and\n firmware. Maintaining the integrity of changes to the information system, information\n system component, or information system service requires configuration control\n throughout the system development life cycle to track authorized changes and prevent\n unauthorized changes. Configuration items that are placed under configuration\n management (if existence/use is required by other security controls) include: the\n formal model; the functional, high-level, and low-level design specifications; other\n design data; implementation documentation; source code and hardware schematics; the\n running version of the object code; tools for comparing new versions of\n security-relevant hardware descriptions and software/firmware source code with\n previous versions; and test fixtures and documentation. Depending on the\n mission/business needs of organizations and the nature of the contractual\n relationships in place, developers may provide configuration management support\n during the operations and maintenance phases of the life cycle.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#cm-9", - "rel": "related", - "text": "CM-9" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "sa-10_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-10.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(a)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to perform configuration management during one or more of the\n following:", - "parts": [ - { - "id": "sa-10.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[1]" - } - ], - "prose": "system, component, or service design;" - }, - { - "id": "sa-10.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[2]" - } - ], - "prose": "system, component, or service development;" - }, - { - "id": "sa-10.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[3]" - } - ], - "prose": "system, component, or service implementation; and/or" - }, - { - "id": "sa-10.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(a)[4]" - } - ], - "prose": "system, component, or service operation;" - } - ] - }, - { - "id": "sa-10.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)" - } - ], - "parts": [ - { - "id": "sa-10.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(b)[1]" - } - ], - "prose": "defines configuration items to be placed under configuration management;" - }, - { - "id": "sa-10.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(b)[2]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to:", - "parts": [ - { - "id": "sa-10.b_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)[2][a]" - } - ], - "prose": "document the integrity of changes to organization-defined items under\n configuration management;" - }, - { - "id": "sa-10.b_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)[2][b]" - } - ], - "prose": "manage the integrity of changes to organization-defined items under\n configuration management;" - }, - { - "id": "sa-10.b_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(b)[2][c]" - } - ], - "prose": "control the integrity of changes to organization-defined items under\n configuration management;" - } - ] - } - ] - }, - { - "id": "sa-10.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(c)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to implement only organization-approved changes to the system,\n component, or service;" - }, - { - "id": "sa-10.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(d)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to document:", - "parts": [ - { - "id": "sa-10.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(d)[1]" - } - ], - "prose": "approved changes to the system, component, or service;" - }, - { - "id": "sa-10.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(d)[2]" - } - ], - "prose": "the potential security impacts of such changes;" - } - ] - }, - { - "id": "sa-10.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)" - } - ], - "parts": [ - { - "id": "sa-10.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-10(e)[1]" - } - ], - "prose": "defines personnel to whom findings, resulting from security flaws and flaw\n resolution tracked within the system, component, or service, are to be\n reported;" - }, - { - "id": "sa-10.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-10(e)[2]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to:", - "parts": [ - { - "id": "sa-10.e_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)[2][a]" - } - ], - "prose": "track security flaws within the system, component, or service;" - }, - { - "id": "sa-10.e_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)[2][b]" - } - ], - "prose": "track security flaw resolution within the system, component, or service;\n and" - }, - { - "id": "sa-10.e_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-10(e)[2][c]" - } - ], - "prose": "report findings to organization-defined personnel." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer configuration management plan\\n\\nsecurity flaw and flaw resolution tracking records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management" - } - ] - } - ], - "controls": [ - { - "id": "sa-10.1", - "class": "SP800-53-enhancement", - "title": "Software / Firmware Integrity Verification", - "properties": [ - { - "name": "label", - "value": "SA-10(1)" - }, - { - "name": "sort-id", - "value": "sa-10.01" - } - ], - "parts": [ - { - "id": "sa-10.1_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to enable integrity verification of\n software and firmware components." - }, - { - "id": "sa-10.1_gdn", - "name": "guidance", - "prose": "This control enhancement allows organizations to detect unauthorized changes to\n software and firmware components through the use of tools, techniques, and/or\n mechanisms provided by developers. Integrity checking mechanisms can also address\n counterfeiting of software and firmware components. Organizations verify the\n integrity of software and firmware components, for example, through secure one-way\n hashes provided by developers. Delivered software and firmware components also\n include any updates to such components.", - "links": [ - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sa-10.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to enable integrity verification\n of software and firmware components." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer configuration management\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system\\n\\nsystem component, or information system service\\n\\nsystem developer configuration management plan\\n\\nsoftware and firmware integrity verification records\\n\\nsystem change authorization records\\n\\nchange control records\\n\\nconfiguration management records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer configuration management\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n configuration management" - } - ] - } - ] - } - ] - }, - { - "id": "sa-11", - "class": "SP800-53", - "title": "Developer Security Testing and Evaluation", - "parameters": [ - { - "id": "sa-11_prm_1" - }, - { - "id": "sa-11_prm_2", - "label": "organization-defined depth and coverage" - } - ], - "properties": [ - { - "name": "label", - "value": "SA-11" - }, - { - "name": "sort-id", - "value": "sa-11" - } - ], - "links": [ - { - "href": "#1737a687-52fb-4008-b900-cbfa836f7b65", - "rel": "reference", - "text": "ISO/IEC 15408" - }, - { - "href": "#cd4cf751-3312-4a55-b1a9-fad2f1db9119", - "rel": "reference", - "text": "NIST Special Publication 800-53A" - }, - { - "href": "#275cc052-0f7f-423c-bdb6-ed503dc36228", - "rel": "reference", - "text": "http://nvd.nist.gov" - }, - { - "href": "#15522e92-9192-463d-9646-6a01982db8ca", - "rel": "reference", - "text": "http://cwe.mitre.org" - }, - { - "href": "#0931209f-00ae-4132-b92c-bc645847e8f9", - "rel": "reference", - "text": "http://cve.mitre.org" - }, - { - "href": "#4ef539ba-b767-4666-b0d3-168c53005fa3", - "rel": "reference", - "text": "http://capec.mitre.org" - } - ], - "parts": [ - { - "id": "sa-11_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system component,\n or information system service to:", - "parts": [ - { - "id": "sa-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Create and implement a security assessment plan;" - }, - { - "id": "sa-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Perform {{ sa-11_prm_1 }} testing/evaluation at {{ sa-11_prm_2 }};" - }, - { - "id": "sa-11_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Produce evidence of the execution of the security assessment plan and the results\n of the security testing/evaluation;" - }, - { - "id": "sa-11_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Correct flaws identified during security testing/evaluation." - } - ] - }, - { - "id": "sa-11_gdn", - "name": "guidance", - "prose": "Developmental security testing/evaluation occurs at all post-design phases of the\n system development life cycle. Such testing/evaluation confirms that the required\n security controls are implemented correctly, operating as intended, enforcing the\n desired security policy, and meeting established security requirements. Security\n properties of information systems may be affected by the interconnection of system\n components or changes to those components. These interconnections or changes (e.g.,\n upgrading or replacing applications and operating systems) may adversely affect\n previously implemented security controls. This control provides additional types of\n security testing/evaluation that developers can conduct to reduce or eliminate\n potential flaws. Testing custom software applications may require approaches such as\n static analysis, dynamic analysis, binary analysis, or a hybrid of the three\n approaches. Developers can employ these analysis approaches in a variety of tools\n (e.g., web-based application scanners, static analysis tools, binary analyzers) and\n in source code reviews. Security assessment plans provide the specific activities\n that developers plan to carry out including the types of analyses, testing,\n evaluation, and reviews of software and firmware components, the degree of rigor to\n be applied, and the types of artifacts produced during those processes. The depth of\n security testing/evaluation refers to the rigor and level of detail associated with\n the assessment process (e.g., black box, gray box, or white box testing). The\n coverage of security testing/evaluation refers to the scope (i.e., number and type)\n of the artifacts included in the assessment process. Contracts specify the acceptance\n criteria for security assessment plans, flaw remediation processes, and the evidence\n that the plans/processes have been diligently applied. Methods for reviewing and\n protecting assessment plans, evidence, and documentation are commensurate with the\n security category or classification level of the information system. Contracts may\n specify documentation protection requirements.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#cm-4", - "rel": "related", - "text": "CM-4" - }, - { - "href": "#sa-3", - "rel": "related", - "text": "SA-3" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "sa-11_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sa-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(a)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to create and implement a security plan;" - }, - { - "id": "sa-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)" - } - ], - "parts": [ - { - "id": "sa-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(b)[1]" - } - ], - "prose": "defines the depth of testing/evaluation to be performed by the developer of the\n information system, system component, or information system service;" - }, - { - "id": "sa-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SA-11(b)[2]" - } - ], - "prose": "defines the coverage of testing/evaluation to be performed by the developer of\n the information system, system component, or information system service;" - }, - { - "id": "sa-11.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(b)[3]" - } - ], - "prose": "requires the developer of the information system, system component, or\n information system service to perform one or more of the following\n testing/evaluation at the organization-defined depth and coverage:", - "parts": [ - { - "id": "sa-11.b_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][a]" - } - ], - "prose": "unit testing/evaluation;" - }, - { - "id": "sa-11.b_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][b]" - } - ], - "prose": "integration testing/evaluation;" - }, - { - "id": "sa-11.b_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][c]" - } - ], - "prose": "system testing/evaluation; and/or" - }, - { - "id": "sa-11.b_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(b)[3][d]" - } - ], - "prose": "regression testing/evaluation;" - } - ] - } - ] - }, - { - "id": "sa-11.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(c)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to produce evidence of:", - "parts": [ - { - "id": "sa-11.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(c)[1]" - } - ], - "prose": "the execution of the security assessment plan;" - }, - { - "id": "sa-11.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(c)[2]" - } - ], - "prose": "the results of the security testing/evaluation;" - } - ] - }, - { - "id": "sa-11.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(d)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to implement a verifiable flaw remediation process; and" - }, - { - "id": "sa-11.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(e)" - } - ], - "prose": "requires the developer of the information system, system component, or information\n system service to correct flaws identified during security testing/evaluation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or information\n system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system, system\n component, or information system service\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation" - } - ] - } - ], - "controls": [ - { - "id": "sa-11.1", - "class": "SP800-53-enhancement", - "title": "Static Code Analysis", - "properties": [ - { - "name": "label", - "value": "SA-11(1)" - }, - { - "name": "sort-id", - "value": "sa-11.01" - } - ], - "parts": [ - { - "id": "sa-11.1_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to employ static code analysis tools to\n identify common flaws and document the results of the analysis.", - "parts": [ - { - "id": "sa-11.1_fr", - "name": "item", - "title": "SA-11 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-11.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed." - } - ] - } - ] - }, - { - "id": "sa-11.1_gdn", - "name": "guidance", - "prose": "Static code analysis provides a technology and methodology for security reviews.\n Such analysis can be used to identify security vulnerabilities and enforce\n security coding practices. Static code analysis is most effective when used early\n in the development process, when each code change can be automatically scanned for\n potential weaknesses. Static analysis can provide clear remediation guidance along\n with defects to enable developers to fix such defects. Evidence of correct\n implementation of static analysis can include, for example, aggregate defect\n density for critical defect types, evidence that defects were inspected by\n developers or security professionals, and evidence that defects were fixed. An\n excessively high density of ignored findings (commonly referred to as ignored or\n false positives) indicates a potential problem with the analysis process or tool.\n In such cases, organizations weigh the validity of the evidence against evidence\n from other sources." - }, - { - "id": "sa-11.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to employ static code analysis\n tools to identify common flaws and document the results of the analysis." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nsystem developer security testing results\\n\\nsecurity flaw and remediation tracking records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation\\n\\nstatic code analysis tools" - } - ] - } - ] - }, - { - "id": "sa-11.2", - "class": "SP800-53-enhancement", - "title": "Threat and Vulnerability Analyses", - "properties": [ - { - "name": "label", - "value": "SA-11(2)" - }, - { - "name": "sort-id", - "value": "sa-11.02" - } - ], - "parts": [ - { - "id": "sa-11.2_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to perform threat and vulnerability\n analyses and subsequent testing/evaluation of the as-built system, component, or\n service." - }, - { - "id": "sa-11.2_gdn", - "name": "guidance", - "prose": "Applications may deviate significantly from the functional and design\n specifications created during the requirements and design phases of the system\n development life cycle. Therefore, threat and vulnerability analyses of\n information systems, system components, and information system services prior to\n delivery are critical to the effective operation of those systems, components, and\n services. Threat and vulnerability analyses at this phase of the life cycle help\n to ensure that design or implementation changes have been accounted for, and that\n any new vulnerabilities created as a result of those changes have been reviewed\n and mitigated.", - "links": [ - { - "href": "#pm-15", - "rel": "related", - "text": "PM-15" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - } - ] - }, - { - "id": "sa-11.2_obj", - "name": "objective", - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to perform:", - "parts": [ - { - "id": "sa-11.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SA-11(2)[1]" - } - ], - "prose": "threat analyses of the as-built, system component, or service;" - }, - { - "id": "sa-11.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(2)[2]" - } - ], - "prose": "vulnerability analyses of the as-built, system component, or service; and" - }, - { - "id": "sa-11.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SA-11(2)[3]" - } - ], - "prose": "subsequent testing/evaluation of the as-built, system component, or\n service." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test plans\\n\\nrecords of developer security testing results for the information system,\n system component, or information system service\\n\\nvulnerability scanning results\\n\\ninformation system risk assessment reports\\n\\nthreat and vulnerability analysis reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation" - } - ] - } - ] - }, - { - "id": "sa-11.8", - "class": "SP800-53-enhancement", - "title": "Dynamic Code Analysis", - "properties": [ - { - "name": "label", - "value": "SA-11(8)" - }, - { - "name": "sort-id", - "value": "sa-11.08" - } - ], - "parts": [ - { - "id": "sa-11.8_smt", - "name": "statement", - "prose": "The organization requires the developer of the information system, system\n component, or information system service to employ dynamic code analysis tools to\n identify common flaws and document the results of the analysis.", - "parts": [ - { - "id": "sa-11.8_fr", - "name": "item", - "title": "SA-11 (8) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sa-11.8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed." - } - ] - } - ] - }, - { - "id": "sa-11.8_gdn", - "name": "guidance", - "prose": "Dynamic code analysis provides run-time verification of software programs, using\n tools capable of monitoring programs for memory corruption, user privilege issues,\n and other potential security problems. Dynamic code analysis employs run-time\n tools to help to ensure that security functionality performs in the manner in\n which it was designed. A specialized type of dynamic analysis, known as fuzz\n testing, induces program failures by deliberately introducing malformed or random\n data into software programs. Fuzz testing strategies derive from the intended use\n of applications and the functional and design specifications for the applications.\n To understand the scope of dynamic code analysis and hence the assurance provided,\n organizations may also consider conducting code coverage analysis (checking the\n degree to which the code has been tested using metrics such as percent of\n subroutines tested or percent of program statements called during execution of the\n test suite) and/or concordance analysis (checking for words that are out of place\n in software code such as non-English language words or derogatory terms)." - }, - { - "id": "sa-11.8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization requires the developer of the information system,\n system component, or information system service to employ dynamic code analysis\n tools to identify common flaws and document the results of the analysis." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and services acquisition policy\\n\\nprocedures addressing system developer security testing\\n\\nprocedures addressing flaw remediation\\n\\nsolicitation documentation\\n\\nacquisition documentation\\n\\nservice-level agreements\\n\\nacquisition contracts for the information system, system component, or\n information system service\\n\\nsystem developer security test and evaluation plans\\n\\nsecurity test and evaluation results\\n\\nsecurity flaw and remediation tracking reports\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and services acquisition\n responsibilities\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with developer security testing responsibilities\\n\\norganizational personnel with configuration management responsibilities\\n\\nsystem developers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for monitoring developer security testing and\n evaluation\\n\\nautomated mechanisms supporting and/or implementing the monitoring of developer\n security testing and evaluation" - } - ] - } - ] - } - ] - } - ] - }, - { - "id": "sc", - "class": "family", - "title": "System and Communications Protection", - "controls": [ - { - "id": "sc-1", - "class": "SP800-53", - "title": "System and Communications Protection Policy and Procedures", - "parameters": [ - { - "id": "sc-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "sc-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "sc-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-1" - }, - { - "name": "sort-id", - "value": "sc-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "sc-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ sc-1_prm_1 }}:", - "parts": [ - { - "id": "sc-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and communications protection policy that addresses purpose, scope,\n roles, responsibilities, management commitment, coordination among\n organizational entities, and compliance; and" - }, - { - "id": "sc-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and communications\n protection policy and associated system and communications protection controls;\n and" - } - ] - }, - { - "id": "sc-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "sc-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and communications protection policy {{ sc-1_prm_2 }};\n and" - }, - { - "id": "sc-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and communications protection procedures {{ sc-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "sc-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SC\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "sc-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)" - } - ], - "parts": [ - { - "id": "sc-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and communications protection policy that\n addresses:", - "parts": [ - { - "id": "sc-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "sc-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "sc-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "sc-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "sc-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "sc-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "sc-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "sc-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and communications protection\n policy is to be disseminated;" - }, - { - "id": "sc-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and communications protection policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "sc-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(a)(2)" - } - ], - "parts": [ - { - "id": "sc-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and communications protection policy and associated system and\n communications protection controls;" - }, - { - "id": "sc-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "sc-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SC-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "sc-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(1)" - } - ], - "parts": [ - { - "id": "sc-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection policy;" - }, - { - "id": "sc-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection policy\n with the organization-defined frequency;" - } - ] - }, - { - "id": "sc-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-1(b)(2)" - } - ], - "parts": [ - { - "id": "sc-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n communications protection procedures; and" - }, - { - "id": "sc-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and communications protection\n procedures with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and communications protection\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "sc-2", - "class": "SP800-53", - "title": "Application Partitioning", - "properties": [ - { - "name": "label", - "value": "SC-2" - }, - { - "name": "sort-id", - "value": "sc-02" - } - ], - "parts": [ - { - "id": "sc-2_smt", - "name": "statement", - "prose": "The information system separates user functionality (including user interface\n services) from information system management functionality." - }, - { - "id": "sc-2_gdn", - "name": "guidance", - "prose": "Information system management functionality includes, for example, functions\n necessary to administer databases, network components, workstations, or servers, and\n typically requires privileged user access. The separation of user functionality from\n information system management functionality is either physical or logical.\n Organizations implement separation of system management-related functionality from\n user functionality by using different computers, different central processing units,\n different instances of operating systems, different network addresses, virtualization\n techniques, or combinations of these or other methods, as appropriate. This type of\n separation includes, for example, web administrative interfaces that use separate\n authentication methods for users of any other information system resources.\n Separation of system and user functionality may include isolating administrative\n interfaces on different domains and with additional access controls.", - "links": [ - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system separates user functionality (including user\n interface services) from information system management functionality." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing application partitioning\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Separation of user functionality from information system management\n functionality" - } - ] - } - ] - }, - { - "id": "sc-4", - "class": "SP800-53", - "title": "Information in Shared Resources", - "properties": [ - { - "name": "label", - "value": "SC-4" - }, - { - "name": "sort-id", - "value": "sc-04" - } - ], - "parts": [ - { - "id": "sc-4_smt", - "name": "statement", - "prose": "The information system prevents unauthorized and unintended information transfer via\n shared system resources." - }, - { - "id": "sc-4_gdn", - "name": "guidance", - "prose": "This control prevents information, including encrypted representations of\n information, produced by the actions of prior users/roles (or the actions of\n processes acting on behalf of prior users/roles) from being available to any current\n users/roles (or current processes) that obtain access to shared system resources\n (e.g., registers, main memory, hard disks) after those resources have been released\n back to information systems. The control of information in shared resources is also\n commonly referred to as object reuse and residual information protection. This\n control does not address: (i) information remanence which refers to residual\n representation of data that has been nominally erased or removed; (ii) covert\n channels (including storage and/or timing channels) where shared resources are\n manipulated to violate information flow restrictions; or (iii) components within\n information systems for which there are only single users/roles.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#mp-6", - "rel": "related", - "text": "MP-6" - } - ] - }, - { - "id": "sc-4_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system prevents unauthorized and unintended information\n transfer via shared system resources." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing information protection in shared system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms preventing unauthorized and unintended transfer of\n information via shared system resources" - } - ] - } - ] - }, - { - "id": "sc-5", - "class": "SP800-53", - "title": "Denial of Service Protection", - "parameters": [ - { - "id": "sc-5_prm_1", - "label": "organization-defined types of denial of service attacks or references to sources\n for such information" - }, - { - "id": "sc-5_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-5" - }, - { - "name": "sort-id", - "value": "sc-05" - } - ], - "parts": [ - { - "id": "sc-5_smt", - "name": "statement", - "prose": "The information system protects against or limits the effects of the following types\n of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}." - }, - { - "id": "sc-5_gdn", - "name": "guidance", - "prose": "A variety of technologies exist to limit, or in some cases, eliminate the effects of\n denial of service attacks. For example, boundary protection devices can filter\n certain types of packets to protect information system components on internal\n organizational networks from being directly affected by denial of service attacks.\n Employing increased capacity and bandwidth combined with service redundancy may also\n reduce the susceptibility to denial of service attacks.", - "links": [ - { - "href": "#sc-6", - "rel": "related", - "text": "SC-6" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - } - ] - }, - { - "id": "sc-5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-5_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[1]" - } - ], - "prose": "the organization defines types of denial of service attacks or reference to source\n of such information for the information system to protect against or limit the\n effects;" - }, - { - "id": "sc-5_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[2]" - } - ], - "prose": "the organization defines security safeguards to be employed by the information\n system to protect against or limit the effects of organization-defined types of\n denial of service attacks; and" - }, - { - "id": "sc-5_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-5[3]" - } - ], - "prose": "the information system protects against or limits the effects of the\n organization-defined denial or service attacks (or reference to source for such\n information) by employing organization-defined security safeguards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing denial of service protection\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\nlist of denial of services attacks requiring employment of security safeguards to\n protect against or limit effects of such attacks\\n\\nlist of security safeguards protecting against or limiting the effects of denial\n of service attacks\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms protecting against or limiting the effects of denial of\n service attacks" - } - ] - } - ] - }, - { - "id": "sc-6", - "class": "SP800-53", - "title": "Resource Availability", - "parameters": [ - { - "id": "sc-6_prm_1", - "label": "organization-defined resources" - }, - { - "id": "sc-6_prm_2" - }, - { - "id": "sc-6_prm_3", - "depends-on": "sc-6_prm_2", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-6" - }, - { - "name": "sort-id", - "value": "sc-06" - } - ], - "parts": [ - { - "id": "sc-6_smt", - "name": "statement", - "prose": "The information system protects the availability of resources by allocating {{ sc-6_prm_1 }} by {{ sc-6_prm_2 }}." - }, - { - "id": "sc-6_gdn", - "name": "guidance", - "prose": "Priority protection helps prevent lower-priority processes from delaying or\n interfering with the information system servicing any higher-priority processes.\n Quotas prevent users or processes from obtaining more than predetermined amounts of\n resources. This control does not apply to information system components for which\n there are only single users/roles." - }, - { - "id": "sc-6_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-6_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-6[1]" - } - ], - "prose": "the organization defines resources to be allocated to protect the availability of\n resources;" - }, - { - "id": "sc-6_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-6[2]" - } - ], - "prose": "the organization defines security safeguards to be employed to protect the\n availability of resources;" - }, - { - "id": "sc-6_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-6[3]" - } - ], - "prose": "the information system protects the availability of resources by allocating\n organization-defined resources by one or more of the following:", - "parts": [ - { - "id": "sc-6_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-6[3][a]" - } - ], - "prose": "priority;" - }, - { - "id": "sc-6_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-6[3][b]" - } - ], - "prose": "quota; and/or" - }, - { - "id": "sc-6_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-6[3][c]" - } - ], - "prose": "organization-defined safeguards." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing prioritization of information system resources\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing resource allocation\n capability\\n\\nsafeguards employed to protect availability of resources" - } - ] - } - ] - }, - { - "id": "sc-7", - "class": "SP800-53", - "title": "Boundary Protection", - "parameters": [ - { - "id": "sc-7_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7" - }, - { - "name": "sort-id", - "value": "sc-07" - } - ], - "links": [ - { - "href": "#e85cdb3f-7f0a-4083-8639-f13f70d3760b", - "rel": "reference", - "text": "FIPS Publication 199" - }, - { - "href": "#756a8e86-57d5-4701-8382-f7a40439665a", - "rel": "reference", - "text": "NIST Special Publication 800-41" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - } - ], - "parts": [ - { - "id": "sc-7_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-7_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors and controls communications at the external boundary of the system and at\n key internal boundaries within the system;" - }, - { - "id": "sc-7_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks;\n and" - }, - { - "id": "sc-7_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "id": "sc-7_gdn", - "name": "guidance", - "prose": "Managed interfaces include, for example, gateways, routers, firewalls, guards,\n network-based malicious code analysis and virtualization systems, or encrypted\n tunnels implemented within a security architecture (e.g., routers protecting\n firewalls or application gateways residing on protected subnetworks). Subnetworks\n that are physically or logically separated from internal networks are referred to as\n demilitarized zones or DMZs. Restricting or prohibiting interfaces within\n organizational information systems includes, for example, restricting external web\n traffic to designated web servers within managed interfaces and prohibiting external\n traffic that appears to be spoofing internal addresses. Organizations consider the\n shared nature of commercial telecommunications services in the implementation of\n security controls associated with the use of such services. Commercial\n telecommunications services are commonly based on network components and consolidated\n management systems shared by all attached commercial customers, and may also include\n third party-provided access lines and other service elements. Such transmission\n services may represent sources of increased risk despite contract security\n provisions.", - "links": [ - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ca-3", - "rel": "related", - "text": "CA-3" - }, - { - "href": "#cm-7", - "rel": "related", - "text": "CM-7" - }, - { - "href": "#cp-8", - "rel": "related", - "text": "CP-8" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-3", - "rel": "related", - "text": "RA-3" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "sc-7_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-7.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(a)" - } - ], - "parts": [ - { - "id": "sc-7.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[1]" - } - ], - "prose": "monitors communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[2]" - } - ], - "prose": "monitors communications at key internal boundaries within the system;" - }, - { - "id": "sc-7.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[3]" - } - ], - "prose": "controls communications at the external boundary of the information system;" - }, - { - "id": "sc-7.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(a)[4]" - } - ], - "prose": "controls communications at key internal boundaries within the system;" - } - ] - }, - { - "id": "sc-7.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(b)" - } - ], - "prose": "implements subnetworks for publicly accessible system components that are\n either:", - "parts": [ - { - "id": "sc-7.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[1]" - } - ], - "prose": "physically separated from internal organizational networks; and/or" - }, - { - "id": "sc-7.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(b)[2]" - } - ], - "prose": "logically separated from internal organizational networks; and" - } - ] - }, - { - "id": "sc-7.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(c)" - } - ], - "prose": "connects to external networks or information systems only through managed\n interfaces consisting of boundary protection devices arranged in accordance with\n an organizational security architecture." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\nlist of key internal boundaries of the information system\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\nenterprise security architecture documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability" - } - ] - } - ], - "controls": [ - { - "id": "sc-7.3", - "class": "SP800-53-enhancement", - "title": "Access Points", - "properties": [ - { - "name": "label", - "value": "SC-7(3)" - }, - { - "name": "sort-id", - "value": "sc-07.03" - } - ], - "parts": [ - { - "id": "sc-7.3_smt", - "name": "statement", - "prose": "The organization limits the number of external network connections to the\n information system." - }, - { - "id": "sc-7.3_gdn", - "name": "guidance", - "prose": "Limiting the number of external network connections facilitates more comprehensive\n monitoring of inbound and outbound communications traffic. The Trusted Internet\n Connection (TIC) initiative is an example of limiting the number of external\n network connections." - }, - { - "id": "sc-7.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization limits the number of external network connections to\n the information system." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncommunications and network traffic monitoring logs\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms limiting the number of external network connections to the\n information system" - } - ] - } - ] - }, - { - "id": "sc-7.4", - "class": "SP800-53-enhancement", - "title": "External Telecommunications Services", - "parameters": [ - { - "id": "sc-7.4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-7(4)" - }, - { - "name": "sort-id", - "value": "sc-07.04" - } - ], - "parts": [ - { - "id": "sc-7.4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-7.4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Implements a managed interface for each external telecommunication service;" - }, - { - "id": "sc-7.4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establishes a traffic flow policy for each managed interface;" - }, - { - "id": "sc-7.4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(c)" - } - ], - "prose": "Protects the confidentiality and integrity of the information being transmitted\n across each interface;" - }, - { - "id": "sc-7.4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(d)" - } - ], - "prose": "Documents each exception to the traffic flow policy with a supporting\n mission/business need and duration of that need; and" - }, - { - "id": "sc-7.4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(e)" - } - ], - "prose": "Reviews exceptions to the traffic flow policy {{ sc-7.4_prm_1 }}\n and removes exceptions that are no longer supported by an explicit\n mission/business need." - } - ] - }, - { - "id": "sc-7.4_gdn", - "name": "guidance", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - } - ] - }, - { - "id": "sc-7.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.4.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(a)" - } - ], - "prose": "implements a managed interface for each external telecommunication service;", - "links": [ - { - "href": "#sc-7.4_smt.a", - "rel": "corresp", - "text": "SC-7(4)(a)" - } - ] - }, - { - "id": "sc-7.4.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(b)" - } - ], - "prose": "establishes a traffic flow policy for each managed interface;", - "links": [ - { - "href": "#sc-7.4_smt.b", - "rel": "corresp", - "text": "SC-7(4)(b)" - } - ] - }, - { - "id": "sc-7.4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(c)" - } - ], - "prose": "protects the confidentiality and integrity of the information being transmitted\n across each interface;", - "links": [ - { - "href": "#sc-7.4_smt.c", - "rel": "corresp", - "text": "SC-7(4)(c)" - } - ] - }, - { - "id": "sc-7.4.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(4)(d)" - } - ], - "prose": "documents each exception to the traffic flow policy with:", - "parts": [ - { - "id": "sc-7.4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(d)[1]" - } - ], - "prose": "a supporting mission/business need;" - }, - { - "id": "sc-7.4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(d)[2]" - } - ], - "prose": "duration of that need;" - } - ], - "links": [ - { - "href": "#sc-7.4_smt.d", - "rel": "corresp", - "text": "SC-7(4)(d)" - } - ] - }, - { - "id": "sc-7.4.e_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-7(4)(e)" - } - ], - "parts": [ - { - "id": "sc-7.4.e_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(4)(e)[1]" - } - ], - "prose": "defines a frequency to review exceptions to traffic flow policy;" - }, - { - "id": "sc-7.4.e_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(e)[2]" - } - ], - "prose": "reviews exceptions to the traffic flow policy with the organization-defined\n frequency; and" - }, - { - "id": "sc-7.4.e_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(4)(e)[3]" - } - ], - "prose": "removes traffic flow policy exceptions that are no longer supported by an\n explicit mission/business need" - } - ], - "links": [ - { - "href": "#sc-7.4_smt.e", - "rel": "corresp", - "text": "SC-7(4)(e)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\ntraffic flow policy\\n\\ninformation flow control policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system security architecture\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system architecture and configuration documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nrecords of traffic flow policy exceptions\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for documenting and reviewing exceptions to the\n traffic flow policy\\n\\norganizational processes for removing exceptions to the traffic flow policy\\n\\nautomated mechanisms implementing boundary protection capability\\n\\nmanaged interfaces implementing traffic flow policy" - } - ] - } - ] - }, - { - "id": "sc-7.5", - "class": "SP800-53-enhancement", - "title": "Deny by Default / Allow by Exception", - "properties": [ - { - "name": "label", - "value": "SC-7(5)" - }, - { - "name": "sort-id", - "value": "sc-07.05" - } - ], - "parts": [ - { - "id": "sc-7.5_smt", - "name": "statement", - "prose": "The information system at managed interfaces denies network communications traffic\n by default and allows network communications traffic by exception (i.e., deny all,\n permit by exception)." - }, - { - "id": "sc-7.5_gdn", - "name": "guidance", - "prose": "This control enhancement applies to both inbound and outbound network\n communications traffic. A deny-all, permit-by-exception network communications\n traffic policy ensures that only those connections which are essential and\n approved are allowed." - }, - { - "id": "sc-7.5_obj", - "name": "objective", - "prose": "Determine if the information system, at managed interfaces:", - "parts": [ - { - "id": "sc-7.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(5)[1]" - } - ], - "prose": "denies network traffic by default; and" - }, - { - "id": "sc-7.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(5)[2]" - } - ], - "prose": "allows network traffic by exception." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.7", - "class": "SP800-53-enhancement", - "title": "Prevent Split Tunneling for Remote Devices", - "properties": [ - { - "name": "label", - "value": "SC-7(7)" - }, - { - "name": "sort-id", - "value": "sc-07.07" - } - ], - "parts": [ - { - "id": "sc-7.7_smt", - "name": "statement", - "prose": "The information system, in conjunction with a remote device, prevents the device\n from simultaneously establishing non-remote connections with the system and\n communicating via some other connection to resources in external networks." - }, - { - "id": "sc-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement is implemented within remote devices (e.g., notebook\n computers) through configuration settings to disable split tunneling in those\n devices, and by preventing those configuration settings from being readily\n configurable by users. This control enhancement is implemented within the\n information system by the detection of split tunneling (or of configuration\n settings that allow split tunneling) in the remote device, and by prohibiting the\n connection if the remote device is using split tunneling. Split tunneling might be\n desirable by remote users to communicate with local information system resources\n such as printers/file servers. However, split tunneling would in effect allow\n unauthorized external connections, making the system more vulnerable to attack and\n to exfiltration of organizational information. The use of VPNs for remote\n connections, when adequately provisioned with appropriate security controls, may\n provide the organization with sufficient assurance that it can effectively treat\n such connections as non-remote connections from the confidentiality and integrity\n perspective. VPNs thus provide a means for allowing non-remote communications\n paths from remote devices. The use of an adequately provisioned VPN does not\n eliminate the need for preventing split tunneling." - }, - { - "id": "sc-7.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system, in conjunction with a remote device, prevents\n the device from simultaneously establishing non-remote connections with the system\n and communicating via some other connection to resources in external networks." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing boundary protection capability\\n\\nautomated mechanisms supporting/restricting non-remote connections" - } - ] - } - ] - }, - { - "id": "sc-7.8", - "class": "SP800-53-enhancement", - "title": "Route Traffic to Authenticated Proxy Servers", - "parameters": [ - { - "id": "sc-7.8_prm_1", - "label": "organization-defined internal communications traffic" - }, - { - "id": "sc-7.8_prm_2", - "label": "organization-defined external networks" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(8)" - }, - { - "name": "sort-id", - "value": "sc-07.08" - } - ], - "parts": [ - { - "id": "sc-7.8_smt", - "name": "statement", - "prose": "The information system routes {{ sc-7.8_prm_1 }} to {{ sc-7.8_prm_2 }} through authenticated proxy servers at managed\n interfaces." - }, - { - "id": "sc-7.8_gdn", - "name": "guidance", - "prose": "External networks are networks outside of organizational control. A proxy server\n is a server (i.e., information system or application) that acts as an intermediary\n for clients requesting information system resources (e.g., files, connections, web\n pages, or services) from other organizational servers. Client requests established\n through an initial connection to the proxy server are evaluated to manage\n complexity and to provide additional protection by limiting direct connectivity.\n Web content filtering devices are one of the most common proxy servers providing\n access to the Internet. Proxy servers support logging individual Transmission\n Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators\n (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be\n configured with organization-defined lists of authorized and unauthorized\n websites.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - } - ] - }, - { - "id": "sc-7.8_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-7.8_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(8)[1]" - } - ], - "prose": "the organization defines internal communications traffic to be routed to\n external networks;" - }, - { - "id": "sc-7.8_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(8)[2]" - } - ], - "prose": "the organization defines external networks to which organization-defined\n internal communications traffic is to be routed; and" - }, - { - "id": "sc-7.8_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(8)[3]" - } - ], - "prose": "the information system routes organization-defined internal communications\n traffic to organization-defined external networks through authenticated proxy\n servers at managed interfaces." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing traffic management through authenticated\n proxy servers at managed interfaces" - } - ] - } - ] - }, - { - "id": "sc-7.12", - "class": "SP800-53-enhancement", - "title": "Host-based Protection", - "parameters": [ - { - "id": "sc-7.12_prm_1", - "label": "organization-defined host-based boundary protection mechanisms" - }, - { - "id": "sc-7.12_prm_2", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(12)" - }, - { - "name": "sort-id", - "value": "sc-07.12" - } - ], - "parts": [ - { - "id": "sc-7.12_smt", - "name": "statement", - "prose": "The organization implements {{ sc-7.12_prm_1 }} at {{ sc-7.12_prm_2 }}." - }, - { - "id": "sc-7.12_gdn", - "name": "guidance", - "prose": "Host-based boundary protection mechanisms include, for example, host-based\n firewalls. Information system components employing host-based boundary protection\n mechanisms include, for example, servers, workstations, and mobile devices." - }, - { - "id": "sc-7.12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(12)[1]" - } - ], - "prose": "defines host-based boundary protection mechanisms;" - }, - { - "id": "sc-7.12_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(12)[2]" - } - ], - "prose": "defines information system components where organization-defined host-based\n boundary protection mechanisms are to be implemented; and" - }, - { - "id": "sc-7.12_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(12)[3]" - } - ], - "prose": "implements organization-defined host-based boundary protection mechanisms at\n organization-defined information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\nboundary protection hardware and software\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities\\n\\ninformation system users" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms implementing host-based boundary protection\n capabilities" - } - ] - } - ] - }, - { - "id": "sc-7.13", - "class": "SP800-53-enhancement", - "title": "Isolation of Security Tools / Mechanisms / Support Components", - "parameters": [ - { - "id": "sc-7.13_prm_1", - "label": "organization-defined information security tools, mechanisms, and support\n components" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-7(13)" - }, - { - "name": "sort-id", - "value": "sc-07.13" - } - ], - "parts": [ - { - "id": "sc-7.13_smt", - "name": "statement", - "prose": "The organization isolates {{ sc-7.13_prm_1 }} from other internal\n information system components by implementing physically separate subnetworks with\n managed interfaces to other components of the system.", - "parts": [ - { - "id": "sc-7.13_fr", - "name": "item", - "title": "SC-7 (13) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-7.13_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets." - } - ] - } - ] - }, - { - "id": "sc-7.13_gdn", - "name": "guidance", - "prose": "Physically separate subnetworks with managed interfaces are useful, for example,\n in isolating computer network defenses from critical operational processing\n networks to prevent adversaries from discovering the analysis and forensics\n techniques of organizations.", - "links": [ - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-7.13_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-7.13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-7(13)[1]" - } - ], - "prose": "defines information security tools, mechanisms, and support components to be\n isolated from other internal information system components; and" - }, - { - "id": "sc-7.13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-7(13)[2]" - } - ], - "prose": "isolates organization-defined information security tools, mechanisms, and\n support components from other internal information system components by\n implementing physically separate subnetworks with managed interfaces to other\n components of the system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system hardware and software\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security tools and support components to be isolated from other\n internal information system components\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing isolation of information\n security tools, mechanisms, and support components" - } - ] - } - ] - }, - { - "id": "sc-7.18", - "class": "SP800-53-enhancement", - "title": "Fail Secure", - "properties": [ - { - "name": "label", - "value": "SC-7(18)" - }, - { - "name": "sort-id", - "value": "sc-07.18" - } - ], - "parts": [ - { - "id": "sc-7.18_smt", - "name": "statement", - "prose": "The information system fails securely in the event of an operational failure of a\n boundary protection device." - }, - { - "id": "sc-7.18_gdn", - "name": "guidance", - "prose": "Fail secure is a condition achieved by employing information system mechanisms to\n ensure that in the event of operational failures of boundary protection devices at\n managed interfaces (e.g., routers, firewalls, guards, and application gateways\n residing on protected subnetworks commonly referred to as demilitarized zones),\n information systems do not enter into unsecure states where intended security\n properties no longer hold. Failures of boundary protection devices cannot lead to,\n or cause information external to the devices to enter the devices, nor can\n failures permit unauthorized information releases.", - "links": [ - { - "href": "#cp-2", - "rel": "related", - "text": "CP-2" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "sc-7.18_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system fails securely in the event of an operational\n failure of a boundary protection device." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing boundary protection\\n\\ninformation system design documentation\\n\\ninformation system architecture\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with boundary protection responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure failure" - } - ] - } - ] - } - ] - }, - { - "id": "sc-8", - "class": "SP800-53", - "title": "Transmission Confidentiality and Integrity", - "parameters": [ - { - "id": "sc-8_prm_1", - "constraints": [ - { - "detail": "confidentiality AND integrity" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-8" - }, - { - "name": "sort-id", - "value": "sc-08" - } - ], - "links": [ - { - "href": "#d715b234-9b5b-4e07-b1ed-99836727664d", - "rel": "reference", - "text": "FIPS Publication 140-2" - }, - { - "href": "#f2dbd4ec-c413-4714-b85b-6b7184d1c195", - "rel": "reference", - "text": "FIPS Publication 197" - }, - { - "href": "#90c5bc98-f9c4-44c9-98b7-787422f0999c", - "rel": "reference", - "text": "NIST Special Publication 800-52" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - }, - { - "href": "#349fe082-502d-464a-aa0c-1443c6a5cf40", - "rel": "reference", - "text": "NIST Special Publication 800-113" - }, - { - "href": "#a4aa9645-9a8a-4b51-90a9-e223250f9a75", - "rel": "reference", - "text": "CNSS Policy 15" - }, - { - "href": "#06dff0ea-3848-4945-8d91-e955ee69f05d", - "rel": "reference", - "text": "NSTISSI No. 7003" - } - ], - "parts": [ - { - "id": "sc-8_smt", - "name": "statement", - "prose": "The information system protects the {{ sc-8_prm_1 }} of transmitted\n information." - }, - { - "id": "sc-8_gdn", - "name": "guidance", - "prose": "This control applies to both internal and external networks and all types of\n information system components from which information can be transmitted (e.g.,\n servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile\n machines). Communication paths outside the physical protection of a controlled\n boundary are exposed to the possibility of interception and modification. Protecting\n the confidentiality and/or integrity of organizational information can be\n accomplished by physical means (e.g., by employing protected distribution systems) or\n by logical means (e.g., employing encryption techniques). Organizations relying on\n commercial providers offering transmission services as commodity services rather than\n as fully dedicated services (i.e., services which can be highly specialized to\n individual customer needs), may find it difficult to obtain the necessary assurances\n regarding the implementation of needed security controls for transmission\n confidentiality/integrity. In such situations, organizations determine what types of\n confidentiality/integrity services are available in standard, commercial\n telecommunication service packages. If it is infeasible or impractical to obtain the\n necessary security controls and assurances of control effectiveness through\n appropriate contracting vehicles, organizations implement appropriate compensating\n security controls or explicitly accept the additional risk.", - "links": [ - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#pe-4", - "rel": "related", - "text": "PE-4" - } - ] - }, - { - "id": "sc-8_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system protects one or more of the following:", - "parts": [ - { - "id": "sc-8_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8[1]" - } - ], - "prose": "confidentiality of transmitted information; and/or" - }, - { - "id": "sc-8_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8[2]" - } - ], - "prose": "integrity of transmitted information." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing transmission confidentiality\n and/or integrity" - } - ] - } - ], - "controls": [ - { - "id": "sc-8.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic or Alternate Physical Protection", - "parameters": [ - { - "id": "sc-8.1_prm_1", - "constraints": [ - { - "detail": "prevent unauthorized disclosure of information AND detect changes to information" - } - ] - }, - { - "id": "sc-8.1_prm_2", - "label": "organization-defined alternative physical safeguards", - "constraints": [ - { - "detail": "a hardened or alarmed carrier Protective Distribution System (PDS)" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-8(1)" - }, - { - "name": "sort-id", - "value": "sc-08.01" - } - ], - "parts": [ - { - "id": "sc-8.1_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to {{ sc-8.1_prm_1 }} during transmission unless otherwise protected by\n {{ sc-8.1_prm_2 }}." - }, - { - "id": "sc-8.1_gdn", - "name": "guidance", - "prose": "Encrypting information for transmission protects information from unauthorized\n disclosure and modification. Cryptographic mechanisms implemented to protect\n information integrity include, for example, cryptographic hash functions which\n have common application in digital signatures, checksums, and message\n authentication codes. Alternative physical security safeguards include, for\n example, protected distribution systems.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - } - ] - }, - { - "id": "sc-8.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-8.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-8(1)[1]" - } - ], - "prose": "the organization defines physical safeguards to be implemented to protect\n information during transmission when cryptographic mechanisms are not\n implemented; and" - }, - { - "id": "sc-8.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-8(1)[2]" - } - ], - "prose": "the information system implements cryptographic mechanisms to do one or more of\n the following during transmission unless otherwise protected by\n organization-defined alternative physical safeguards:", - "parts": [ - { - "id": "sc-8.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8(1)[2][a]" - } - ], - "prose": "prevent unauthorized disclosure of information; and/or" - }, - { - "id": "sc-8.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-8(1)[2][b]" - } - ], - "prose": "detect changes to information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing transmission confidentiality and integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms supporting and/or implementing transmission\n confidentiality and/or integrity\\n\\nautomated mechanisms supporting and/or implementing alternative physical\n safeguards\\n\\norganizational processes for defining and implementing alternative physical\n safeguards" - } - ] - } - ] - } - ] - }, - { - "id": "sc-10", - "class": "SP800-53", - "title": "Network Disconnect", - "parameters": [ - { - "id": "sc-10_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-10" - }, - { - "name": "sort-id", - "value": "sc-10" - } - ], - "parts": [ - { - "id": "sc-10_smt", - "name": "statement", - "prose": "The information system terminates the network connection associated with a\n communications session at the end of the session or after {{ sc-10_prm_1 }} of inactivity." - }, - { - "id": "sc-10_gdn", - "name": "guidance", - "prose": "This control applies to both internal and external networks. Terminating network\n connections associated with communications sessions include, for example,\n de-allocating associated TCP/IP address/port pairs at the operating system level, or\n de-allocating networking assignments at the application level if multiple application\n sessions are using a single, operating system-level network connection. Time periods\n of inactivity may be established by organizations and include, for example, time\n periods by type of network access or for specific network accesses." - }, - { - "id": "sc-10_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-10[1]" - } - ], - "prose": "the organization defines a time period of inactivity after which the information\n system terminates a network connection associated with a communications session;\n and" - }, - { - "id": "sc-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-10[2]" - } - ], - "prose": "the information system terminates the network connection associated with a\n communication session at the end of the session or after the organization-defined\n time period of inactivity." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing network disconnect\\n\\ninformation system design documentation\\n\\nsecurity plan\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing network disconnect\n capability" - } - ] - } - ] - }, - { - "id": "sc-12", - "class": "SP800-53", - "title": "Cryptographic Key Establishment and Management", - "parameters": [ - { - "id": "sc-12_prm_1", - "label": "organization-defined requirements for key generation, distribution, storage,\n access, and destruction" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12" - }, - { - "name": "sort-id", - "value": "sc-12" - } - ], - "links": [ - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - } - ], - "parts": [ - { - "id": "sc-12_smt", - "name": "statement", - "prose": "The organization establishes and manages cryptographic keys for required cryptography\n employed within the information system in accordance with {{ sc-12_prm_1 }}.", - "parts": [ - { - "id": "sc-12_fr", - "name": "item", - "title": "SC-12 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Federally approved and validated cryptography." - } - ] - } - ] - }, - { - "id": "sc-12_gdn", - "name": "guidance", - "prose": "Cryptographic key management and establishment can be performed using manual\n procedures or automated mechanisms with supporting manual procedures. Organizations\n define key management requirements in accordance with applicable federal laws,\n Executive Orders, directives, regulations, policies, standards, and guidance,\n specifying appropriate options, levels, and parameters. Organizations manage trust\n stores to ensure that only approved trust anchors are in such trust stores. This\n includes certificates with visibility external to organizational information systems\n and certificates related to the internal operations of systems.", - "links": [ - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-17", - "rel": "related", - "text": "SC-17" - } - ] - }, - { - "id": "sc-12_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1]" - } - ], - "prose": "defines requirements for cryptographic key:", - "parts": [ - { - "id": "sc-12_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][a]" - } - ], - "prose": "generation;" - }, - { - "id": "sc-12_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][b]" - } - ], - "prose": "distribution;" - }, - { - "id": "sc-12_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][c]" - } - ], - "prose": "storage;" - }, - { - "id": "sc-12_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][d]" - } - ], - "prose": "access;" - }, - { - "id": "sc-12_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[1][e]" - } - ], - "prose": "destruction; and" - } - ] - }, - { - "id": "sc-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12[2]" - } - ], - "prose": "establishes and manages cryptographic keys for required cryptography employed\n within the information system in accordance with organization-defined requirements\n for key generation, distribution, storage, access, and destruction." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ncryptographic mechanisms\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for cryptographic key establishment\n and/or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic key\n establishment and management" - } - ] - } - ], - "controls": [ - { - "id": "sc-12.2", - "class": "SP800-53-enhancement", - "title": "Symmetric Keys", - "parameters": [ - { - "id": "sc-12.2_prm_1", - "constraints": [ - { - "detail": "NIST FIPS-compliant" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12(2)" - }, - { - "name": "sort-id", - "value": "sc-12.02" - } - ], - "parts": [ - { - "id": "sc-12.2_smt", - "name": "statement", - "prose": "The organization produces, controls, and distributes symmetric cryptographic keys\n using {{ sc-12.2_prm_1 }} key management technology and\n processes." - }, - { - "id": "sc-12.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization produces, controls, and distributes symmetric\n cryptographic keys using one of the following: ", - "parts": [ - { - "id": "sc-12.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(2)[1]" - } - ], - "prose": "NIST FIPS-compliant key management technology and processes; or" - }, - { - "id": "sc-12.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(2)[2]" - } - ], - "prose": "NSA-approved key management technology and processes." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of FIPS validated cryptographic products\\n\\nlist of NSA-approved cryptographic products\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing symmetric cryptographic key\n establishment and management" - } - ] - } - ] - }, - { - "id": "sc-12.3", - "class": "SP800-53-enhancement", - "title": "Asymmetric Keys", - "parameters": [ - { - "id": "sc-12.3_prm_1" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-12(3)" - }, - { - "name": "sort-id", - "value": "sc-12.03" - } - ], - "parts": [ - { - "id": "sc-12.3_smt", - "name": "statement", - "prose": "The organization produces, controls, and distributes asymmetric cryptographic keys\n using {{ sc-12.3_prm_1 }}." - }, - { - "id": "sc-12.3_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization produces, controls, and distributes asymmetric\n cryptographic keys using one of the following: ", - "parts": [ - { - "id": "sc-12.3_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(3)[1]" - } - ], - "prose": "NSA-approved key management technology and processes;" - }, - { - "id": "sc-12.3_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(3)[2]" - } - ], - "prose": "approved PKI Class 3 certificates or prepositioned keying material; or" - }, - { - "id": "sc-12.3_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-12(3)[3]" - } - ], - "prose": "approved PKI Class 3 or Class 4 certificates and hardware security tokens that\n protect the user’s private key." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic key establishment and management\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nlist of NSA-approved cryptographic products\\n\\nlist of approved PKI Class 3 and Class 4 certificates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic key\n establishment or management\\n\\norganizational personnel with responsibilities for PKI certificates" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing asymmetric cryptographic\n key establishment and management" - } - ] - } - ] - } - ] - }, - { - "id": "sc-13", - "class": "SP800-53", - "title": "Cryptographic Protection", - "parameters": [ - { - "id": "sc-13_prm_1", - "label": "organization-defined cryptographic uses and type of cryptography required for\n each use", - "constraints": [ - { - "detail": "FIPS-validated or NSA-approved cryptography" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SC-13" - }, - { - "name": "sort-id", - "value": "sc-13" - } - ], - "links": [ - { - "href": "#39f9087d-7687-46d2-8eda-b6f4b7a4d8a9", - "rel": "reference", - "text": "FIPS Publication 140" - }, - { - "href": "#6a1041fc-054e-4230-946b-2e6f4f3731bb", - "rel": "reference", - "text": "http://csrc.nist.gov/cryptval" - }, - { - "href": "#9b97ed27-3dd6-4f9a-ade5-1b43e9669794", - "rel": "reference", - "text": "http://www.cnss.gov" - } - ], - "parts": [ - { - "id": "sc-13_smt", - "name": "statement", - "prose": "The information system implements {{ sc-13_prm_1 }} in accordance with\n applicable federal laws, Executive Orders, directives, policies, regulations, and\n standards." - }, - { - "id": "sc-13_gdn", - "name": "guidance", - "prose": "Cryptography can be employed to support a variety of security solutions including,\n for example, the protection of classified and Controlled Unclassified Information,\n the provision of digital signatures, and the enforcement of information separation\n when authorized individuals have the necessary clearances for such information but\n lack the necessary formal access approvals. Cryptography can also be used to support\n random number generation and hash generation. Generally applicable cryptographic\n standards include FIPS-validated cryptography and NSA-approved cryptography. This\n control does not impose any requirements on organizations to use cryptography.\n However, if cryptography is required based on the selection of other security\n controls, organizations define each type of cryptographic use and the type of\n cryptography required (e.g., protection of classified information: NSA-approved\n cryptography; provision of digital signatures: FIPS-validated cryptography).", - "links": [ - { - "href": "#ac-2", - "rel": "related", - "text": "AC-2" - }, - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-7", - "rel": "related", - "text": "AC-7" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#cm-11", - "rel": "related", - "text": "CM-11" - }, - { - "href": "#cp-9", - "rel": "related", - "text": "CP-9" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - }, - { - "href": "#ia-7", - "rel": "related", - "text": "IA-7" - }, - { - "href": "#ma-4", - "rel": "related", - "text": "MA-4" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - }, - { - "href": "#mp-5", - "rel": "related", - "text": "MP-5" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-28", - "rel": "related", - "text": "SC-28" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sc-13_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-13_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13[1]" - } - ], - "prose": "the organization defines cryptographic uses; and" - }, - { - "id": "sc-13_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-13[2]" - } - ], - "prose": "the organization defines the type of cryptography required for each use; and" - }, - { - "id": "sc-13_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-13[3]" - } - ], - "prose": "the information system implements the organization-defined cryptographic uses and\n type of cryptography required for each use in accordance with applicable federal\n laws, Executive Orders, directives, policies, regulations, and standards." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing cryptographic protection\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic module validation certificates\\n\\nlist of FIPS validated cryptographic modules\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for cryptographic protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing cryptographic protection" - } - ] - } - ] - }, - { - "id": "sc-15", - "class": "SP800-53", - "title": "Collaborative Computing Devices", - "parameters": [ - { - "id": "sc-15_prm_1", - "label": "organization-defined exceptions where remote activation is to be allowed", - "constraints": [ - { - "detail": "no exceptions" - } - ] - } - ], - "properties": [ - { - "name": "label", - "value": "SC-15" - }, - { - "name": "sort-id", - "value": "sc-15" - } - ], - "parts": [ - { - "id": "sc-15_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-15_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Prohibits remote activation of collaborative computing devices with the following\n exceptions: {{ sc-15_prm_1 }}; and" - }, - { - "id": "sc-15_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides an explicit indication of use to users physically present at the\n devices." - }, - { - "id": "sc-15_fr", - "name": "item", - "title": "SC-15 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-15_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use." - } - ] - } - ] - }, - { - "id": "sc-15_gdn", - "name": "guidance", - "prose": "Collaborative computing devices include, for example, networked white boards,\n cameras, and microphones. Explicit indication of use includes, for example, signals\n to users when collaborative computing devices are activated.", - "links": [ - { - "href": "#ac-21", - "rel": "related", - "text": "AC-21" - } - ] - }, - { - "id": "sc-15_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-15.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-15(a)" - } - ], - "parts": [ - { - "id": "sc-15.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-15(a)[1]" - } - ], - "prose": "the organization defines exceptions where remote activation of collaborative\n computing devices is to be allowed;" - }, - { - "id": "sc-15.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(a)[2]" - } - ], - "prose": "the information system prohibits remote activation of collaborative computing\n devices, except for organization-defined exceptions where remote activation is\n to be allowed; and" - } - ] - }, - { - "id": "sc-15.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-15(b)" - } - ], - "prose": "the information system provides an explicit indication of use to users physically\n present at the devices." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing collaborative computing\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer\\n\\norganizational personnel with responsibilities for managing collaborative\n computing devices" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing management of remote\n activation of collaborative computing devices\\n\\nautomated mechanisms providing an indication of use of collaborative computing\n devices" - } - ] - } - ] - }, - { - "id": "sc-17", - "class": "SP800-53", - "title": "Public Key Infrastructure Certificates", - "parameters": [ - { - "id": "sc-17_prm_1", - "label": "organization-defined certificate policy" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-17" - }, - { - "name": "sort-id", - "value": "sc-17" - } - ], - "links": [ - { - "href": "#58ad6f27-af99-429f-86a8-8bb767b014b9", - "rel": "reference", - "text": "OMB Memorandum 05-24" - }, - { - "href": "#8f174e91-844e-4cf1-a72a-45c119a3a8dd", - "rel": "reference", - "text": "NIST Special Publication 800-32" - }, - { - "href": "#644f44a9-a2de-4494-9c04-cd37fba45471", - "rel": "reference", - "text": "NIST Special Publication 800-63" - } - ], - "parts": [ - { - "id": "sc-17_smt", - "name": "statement", - "prose": "The organization issues public key certificates under an {{ sc-17_prm_1 }} or obtains public key certificates from an approved\n service provider." - }, - { - "id": "sc-17_gdn", - "name": "guidance", - "prose": "For all certificates, organizations manage information system trust stores to ensure\n only approved trust anchors are in the trust stores. This control addresses both\n certificates with visibility external to organizational information systems and\n certificates related to the internal operations of systems, for example,\n application-specific time services.", - "links": [ - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - } - ] - }, - { - "id": "sc-17_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-17_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-17[1]" - } - ], - "prose": "defines a certificate policy for issuing public key certificates;" - }, - { - "id": "sc-17_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-17[2]" - } - ], - "prose": "issues public key certificates:", - "parts": [ - { - "id": "sc-17_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-17[2][a]" - } - ], - "prose": "under an organization-defined certificate policy: or" - }, - { - "id": "sc-17_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-17[2][b]" - } - ], - "prose": "obtains public key certificates from an approved service provider." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing public key infrastructure certificates\\n\\npublic key certificate policy or policies\\n\\npublic key issuing process\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for issuing public key\n certificates\\n\\nservice providers" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing the management of public key\n infrastructure certificates" - } - ] - } - ] - }, - { - "id": "sc-18", - "class": "SP800-53", - "title": "Mobile Code", - "properties": [ - { - "name": "label", - "value": "SC-18" - }, - { - "name": "sort-id", - "value": "sc-18" - } - ], - "links": [ - { - "href": "#e716cd51-d1d5-4c6a-967a-22e9fbbc42f1", - "rel": "reference", - "text": "NIST Special Publication 800-28" - }, - { - "href": "#e6522953-6714-435d-a0d3-140df554c186", - "rel": "reference", - "text": "DoD Instruction 8552.01" - } - ], - "parts": [ - { - "id": "sc-18_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-18_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Defines acceptable and unacceptable mobile code and mobile code technologies;" - }, - { - "id": "sc-18_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Establishes usage restrictions and implementation guidance for acceptable mobile\n code and mobile code technologies; and" - }, - { - "id": "sc-18_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Authorizes, monitors, and controls the use of mobile code within the information\n system." - } - ] - }, - { - "id": "sc-18_gdn", - "name": "guidance", - "prose": "Decisions regarding the employment of mobile code within organizational information\n systems are based on the potential for the code to cause damage to the systems if\n used maliciously. Mobile code technologies include, for example, Java, JavaScript,\n ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage\n restrictions and implementation guidance apply to both the selection and use of\n mobile code installed on servers and mobile code downloaded and executed on\n individual workstations and devices (e.g., smart phones). Mobile code policy and\n procedures address preventing the development, acquisition, or introduction of\n unacceptable mobile code within organizational information systems.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#cm-2", - "rel": "related", - "text": "CM-2" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "sc-18_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-18.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(a)" - } - ], - "prose": "defines acceptable and unacceptable mobile code and mobile code technologies;" - }, - { - "id": "sc-18.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-18(b)" - } - ], - "parts": [ - { - "id": "sc-18.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(b)[1]" - } - ], - "prose": "establishes usage restrictions for acceptable mobile code and mobile code\n technologies;" - }, - { - "id": "sc-18.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-18(b)[2]" - } - ], - "prose": "establishes implementation guidance for acceptable mobile code and mobile code\n technologies;" - } - ] - }, - { - "id": "sc-18.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-18(c)" - } - ], - "parts": [ - { - "id": "sc-18.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(c)[1]" - } - ], - "prose": "authorizes the use of mobile code within the information system;" - }, - { - "id": "sc-18.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(c)[2]" - } - ], - "prose": "monitors the use of mobile code within the information system; and" - }, - { - "id": "sc-18.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-18(c)[3]" - } - ], - "prose": "controls the use of mobile code within the information system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing mobile code\\n\\nmobile code usage restrictions, mobile code implementation policy and\n procedures\\n\\nlist of acceptable mobile code and mobile code technologies\\n\\nlist of unacceptable mobile code and mobile technologies\\n\\nauthorization records\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing mobile code" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for controlling, authorizing, monitoring, and restricting\n mobile code\\n\\nautomated mechanisms supporting and/or implementing the management of mobile\n code\\n\\nautomated mechanisms supporting and/or implementing the monitoring of mobile\n code" - } - ] - } - ] - }, - { - "id": "sc-19", - "class": "SP800-53", - "title": "Voice Over Internet Protocol", - "properties": [ - { - "name": "label", - "value": "SC-19" - }, - { - "name": "sort-id", - "value": "sc-19" - } - ], - "links": [ - { - "href": "#7783f3e7-09b3-478b-9aa2-4a76dfd0ea90", - "rel": "reference", - "text": "NIST Special Publication 800-58" - } - ], - "parts": [ - { - "id": "sc-19_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "sc-19_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Establishes usage restrictions and implementation guidance for Voice over Internet\n Protocol (VoIP) technologies based on the potential to cause damage to the\n information system if used maliciously; and" - }, - { - "id": "sc-19_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Authorizes, monitors, and controls the use of VoIP within the information\n system." - } - ] - }, - { - "id": "sc-19_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-15", - "rel": "related", - "text": "SC-15" - } - ] - }, - { - "id": "sc-19_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "sc-19.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-19(a)" - } - ], - "parts": [ - { - "id": "sc-19.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-19(a)[1]" - } - ], - "prose": "establishes usage restrictions for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;" - }, - { - "id": "sc-19.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-19(a)[2]" - } - ], - "prose": "establishes implementation guidance for Voice over Internet Protocol (VoIP)\n technologies based on the potential to cause damage to the information system\n if used maliciously;" - } - ] - }, - { - "id": "sc-19.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-19(b)" - } - ], - "parts": [ - { - "id": "sc-19.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-19(b)[1]" - } - ], - "prose": "authorizes the use of VoIP within the information system;" - }, - { - "id": "sc-19.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-19(b)[2]" - } - ], - "prose": "monitors the use of VoIP within the information system; and" - }, - { - "id": "sc-19.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-19(b)[3]" - } - ], - "prose": "controls the use of VoIP within the information system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing VoIP\\n\\nVoIP usage restrictions\\n\\nVoIP implementation guidance\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system monitoring records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing VoIP" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational process for authorizing, monitoring, and controlling VoIP\\n\\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and\n controlling VoIP" - } - ] - } - ] - }, - { - "id": "sc-20", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (authoritative Source)", - "properties": [ - { - "name": "label", - "value": "SC-20" - }, - { - "name": "sort-id", - "value": "sc-20" - } - ], - "links": [ - { - "href": "#28115a56-da6b-4d44-b1df-51dd7f048a3e", - "rel": "reference", - "text": "OMB Memorandum 08-23" - }, - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-20_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "sc-20_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Provides additional data origin authentication and integrity verification\n artifacts along with the authoritative name resolution data the system returns in\n response to external name/address resolution queries; and" - }, - { - "id": "sc-20_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Provides the means to indicate the security status of child zones and (if the\n child supports secure resolution services) to enable verification of a chain of\n trust among parent and child domains, when operating as part of a distributed,\n hierarchical namespace." - } - ] - }, - { - "id": "sc-20_gdn", - "name": "guidance", - "prose": "This control enables external clients including, for example, remote Internet\n clients, to obtain origin authentication and integrity verification assurances for\n the host/service name to network address resolution information obtained through the\n service. Information systems that provide name and address resolution services\n include, for example, domain name system (DNS) servers. Additional artifacts include,\n for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS\n resource records are examples of authoritative data. The means to indicate the\n security status of child zones includes, for example, the use of delegation signer\n resource records in the DNS. The DNS security controls reflect (and are referenced\n from) OMB Memorandum 08-23. Information systems that use technologies other than the\n DNS to map between host/service names and network addresses provide other means to\n assure the authenticity and integrity of response data.", - "links": [ - { - "href": "#au-10", - "rel": "related", - "text": "AU-10" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-20_obj", - "name": "objective", - "prose": "Determine if the information system:", - "parts": [ - { - "id": "sc-20.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(a)" - } - ], - "prose": "provides additional data origin and integrity verification artifacts along with\n the authoritative name resolution data the system returns in response to external\n name/address resolution queries;" - }, - { - "id": "sc-20.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-20(b)" - } - ], - "prose": "provides the means to, when operating as part of a distributed, hierarchical\n namespace:", - "parts": [ - { - "id": "sc-20.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[1]" - } - ], - "prose": "indicate the security status of child zones; and" - }, - { - "id": "sc-20.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-20(b)[2]" - } - ], - "prose": "enable verification of a chain of trust among parent and child domains (if the\n child supports secure resolution services)." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (authoritative\n source)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing secure name/address resolution\n service" - } - ] - } - ] - }, - { - "id": "sc-21", - "class": "SP800-53", - "title": "Secure Name / Address Resolution Service (recursive or Caching Resolver)", - "properties": [ - { - "name": "label", - "value": "SC-21" - }, - { - "name": "sort-id", - "value": "sc-21" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-21_smt", - "name": "statement", - "prose": "The information system requests and performs data origin authentication and data\n integrity verification on the name/address resolution responses the system receives\n from authoritative sources." - }, - { - "id": "sc-21_gdn", - "name": "guidance", - "prose": "Each client of name resolution services either performs this validation on its own,\n or has authenticated channels to trusted validation providers. Information systems\n that provide name and address resolution services for local clients include, for\n example, recursive resolving or caching domain name system (DNS) servers. DNS client\n resolvers either perform validation of DNSSEC signatures, or clients use\n authenticated channels to recursive resolvers that perform such validations.\n Information systems that use technologies other than the DNS to map between\n host/service names and network addresses provide other means to enable clients to\n verify the authenticity and integrity of response data.", - "links": [ - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-22", - "rel": "related", - "text": "SC-22" - } - ] - }, - { - "id": "sc-21_obj", - "name": "objective", - "prose": "Determine if the information system: ", - "parts": [ - { - "id": "sc-21_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21[1]" - } - ], - "prose": "requests data origin authentication on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-21[2]" - } - ], - "prose": "requests data integrity verification on the name/address resolution responses the\n system receives from authoritative sources;" - }, - { - "id": "sc-21_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21[3]" - } - ], - "prose": "performs data origin authentication on the name/address resolution responses the\n system receives from authoritative sources; and" - }, - { - "id": "sc-21_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-21[4]" - } - ], - "prose": "performs data integrity verification on the name/address resolution responses the\n system receives from authoritative sources." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing secure name/address resolution service (recursive or caching\n resolver)\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing data origin authentication and\n data integrity verification for name/address resolution services" - } - ] - } - ] - }, - { - "id": "sc-22", - "class": "SP800-53", - "title": "Architecture and Provisioning for Name / Address Resolution Service", - "properties": [ - { - "name": "label", - "value": "SC-22" - }, - { - "name": "sort-id", - "value": "sc-22" - } - ], - "links": [ - { - "href": "#6af1e841-672c-46c4-b121-96f603d04be3", - "rel": "reference", - "text": "NIST Special Publication 800-81" - } - ], - "parts": [ - { - "id": "sc-22_smt", - "name": "statement", - "prose": "The information systems that collectively provide name/address resolution service for\n an organization are fault-tolerant and implement internal/external role\n separation." - }, - { - "id": "sc-22_gdn", - "name": "guidance", - "prose": "Information systems that provide name and address resolution services include, for\n example, domain name system (DNS) servers. To eliminate single points of failure and\n to enhance redundancy, organizations employ at least two authoritative domain name\n system servers, one configured as the primary server and the other configured as the\n secondary server. Additionally, organizations typically deploy the servers in two\n geographically separated network subnetworks (i.e., not located in the same physical\n facility). For role separation, DNS servers with internal roles only process name and\n address resolution requests from within organizations (i.e., from internal clients).\n DNS servers with external roles only process name and address resolution information\n requests from clients external to organizations (i.e., on external networks including\n the Internet). Organizations specify clients that can access authoritative DNS\n servers in particular roles (e.g., by address ranges, explicit lists).", - "links": [ - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-20", - "rel": "related", - "text": "SC-20" - }, - { - "href": "#sc-21", - "rel": "related", - "text": "SC-21" - }, - { - "href": "#sc-24", - "rel": "related", - "text": "SC-24" - } - ] - }, - { - "id": "sc-22_obj", - "name": "objective", - "prose": "Determine if the information systems that collectively provide name/address\n resolution service for an organization: ", - "parts": [ - { - "id": "sc-22_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22[1]" - } - ], - "prose": "are fault tolerant; and" - }, - { - "id": "sc-22_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-22[2]" - } - ], - "prose": "implement internal/external role separation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing architecture and provisioning for name/address resolution\n service\\n\\naccess control policy and procedures\\n\\ninformation system design documentation\\n\\nassessment results from independent, testing organizations\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with responsibilities for managing DNS" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing name/address resolution\n service for fault tolerance and role separation" - } - ] - } - ] - }, - { - "id": "sc-23", - "class": "SP800-53", - "title": "Session Authenticity", - "properties": [ - { - "name": "label", - "value": "SC-23" - }, - { - "name": "sort-id", - "value": "sc-23" - } - ], - "links": [ - { - "href": "#90c5bc98-f9c4-44c9-98b7-787422f0999c", - "rel": "reference", - "text": "NIST Special Publication 800-52" - }, - { - "href": "#99f331f2-a9f0-46c2-9856-a3cbb9b89442", - "rel": "reference", - "text": "NIST Special Publication 800-77" - }, - { - "href": "#1ebdf782-d95d-4a7b-8ec7-ee860951eced", - "rel": "reference", - "text": "NIST Special Publication 800-95" - } - ], - "parts": [ - { - "id": "sc-23_smt", - "name": "statement", - "prose": "The information system protects the authenticity of communications sessions." - }, - { - "id": "sc-23_gdn", - "name": "guidance", - "prose": "This control addresses communications protection at the session, versus packet level\n (e.g., sessions in service-oriented architectures providing web-based services) and\n establishes grounds for confidence at both ends of communications sessions in ongoing\n identities of other parties and in the validity of information transmitted.\n Authenticity protection includes, for example, protecting against man-in-the-middle\n attacks/session hijacking and the insertion of false information into sessions.", - "links": [ - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-10", - "rel": "related", - "text": "SC-10" - }, - { - "href": "#sc-11", - "rel": "related", - "text": "SC-11" - } - ] - }, - { - "id": "sc-23_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system protects the authenticity of communications\n sessions." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing session authenticity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing session authenticity" - } - ] - } - ] - }, - { - "id": "sc-28", - "class": "SP800-53", - "title": "Protection of Information at Rest", - "parameters": [ - { - "id": "sc-28_prm_1", - "constraints": [ - { - "detail": "confidentiality AND integrity" - } - ] - }, - { - "id": "sc-28_prm_2", - "label": "organization-defined information at rest" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-28" - }, - { - "name": "sort-id", - "value": "sc-28" - } - ], - "links": [ - { - "href": "#81f09e01-d0b0-4ae2-aa6a-064ed9950070", - "rel": "reference", - "text": "NIST Special Publication 800-56" - }, - { - "href": "#a6c774c0-bf50-4590-9841-2a5c1c91ac6f", - "rel": "reference", - "text": "NIST Special Publication 800-57" - }, - { - "href": "#3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e", - "rel": "reference", - "text": "NIST Special Publication 800-111" - } - ], - "parts": [ - { - "id": "sc-28_smt", - "name": "statement", - "prose": "The information system protects the {{ sc-28_prm_1 }} of {{ sc-28_prm_2 }}.", - "parts": [ - { - "id": "sc-28_fr", - "name": "item", - "title": "SC-28 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "sc-28_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The organization supports the capability to use cryptographic mechanisms to protect information at rest." - } - ] - } - ] - }, - { - "id": "sc-28_gdn", - "name": "guidance", - "prose": "This control addresses the confidentiality and integrity of information at rest and\n covers user information and system information. Information at rest refers to the\n state of information when it is located on storage devices as specific components of\n information systems. System-related information requiring protection includes, for\n example, configurations or rule sets for firewalls, gateways, intrusion\n detection/prevention systems, filtering routers, and authenticator content.\n Organizations may employ different mechanisms to achieve confidentiality and\n integrity protections, including the use of cryptographic mechanisms and file share\n scanning. Integrity protection can be achieved, for example, by implementing\n Write-Once-Read-Many (WORM) technologies. Organizations may also employ other\n security controls including, for example, secure off-line storage in lieu of online\n storage when adequate protection of information at rest cannot otherwise be achieved\n and/or continuous monitoring to identify malicious code at rest.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "sc-28_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-28_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[1]" - } - ], - "prose": "the organization defines information at rest requiring one or more of the\n following:", - "parts": [ - { - "id": "sc-28_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[1][a]" - } - ], - "prose": "confidentiality protection; and/or" - }, - { - "id": "sc-28_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[1][b]" - } - ], - "prose": "integrity protection;" - } - ] - }, - { - "id": "sc-28_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[2]" - } - ], - "prose": "the information system protects:", - "parts": [ - { - "id": "sc-28_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[2][a]" - } - ], - "prose": "the confidentiality of organization-defined information at rest; and/or" - }, - { - "id": "sc-28_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SC-28[2][b]" - } - ], - "prose": "the integrity of organization-defined information at rest." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\nlist of information at rest requiring confidentiality and integrity\n protections\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing confidentiality and integrity\n protections for information at rest" - } - ] - } - ], - "controls": [ - { - "id": "sc-28.1", - "class": "SP800-53-enhancement", - "title": "Cryptographic Protection", - "parameters": [ - { - "id": "sc-28.1_prm_1", - "label": "organization-defined information" - }, - { - "id": "sc-28.1_prm_2", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "SC-28(1)" - }, - { - "name": "sort-id", - "value": "sc-28.01" - } - ], - "parts": [ - { - "id": "sc-28.1_smt", - "name": "statement", - "prose": "The information system implements cryptographic mechanisms to prevent unauthorized\n disclosure and modification of {{ sc-28.1_prm_1 }} on {{ sc-28.1_prm_2 }}." - }, - { - "id": "sc-28.1_gdn", - "name": "guidance", - "prose": "Selection of cryptographic mechanisms is based on the need to protect the\n confidentiality and integrity of organizational information. The strength of\n mechanism is commensurate with the security category and/or classification of the\n information. This control enhancement applies to significant concentrations of\n digital media in organizational areas designated for media storage and also to\n limited quantities of media generally associated with information system\n components in operational environments (e.g., portable storage devices, mobile\n devices). Organizations have the flexibility to either encrypt all information on\n storage devices (i.e., full disk encryption) or encrypt specific data structures\n (e.g., files, records, or fields). Organizations employing cryptographic\n mechanisms to protect information at rest also consider cryptographic key\n management solutions.", - "links": [ - { - "href": "#ac-19", - "rel": "related", - "text": "AC-19" - }, - { - "href": "#sc-12", - "rel": "related", - "text": "SC-12" - } - ] - }, - { - "id": "sc-28.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "sc-28.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(1)[1]" - } - ], - "prose": "the organization defines information requiring cryptographic protection;" - }, - { - "id": "sc-28.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SC-28(1)[2]" - } - ], - "prose": "the organization defines information system components with\n organization-defined information requiring cryptographic protection; and" - }, - { - "id": "sc-28.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SC-28(1)[3]" - } - ], - "prose": "the information system employs cryptographic mechanisms to prevent unauthorized\n disclosure and modification of organization-defined information on\n organization-defined information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and communications protection policy\\n\\nprocedures addressing protection of information at rest\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ncryptographic mechanisms and associated configuration documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Cryptographic mechanisms implementing confidentiality and integrity protections\n for information at rest" - } - ] - } - ] - } - ] - }, - { - "id": "sc-39", - "class": "SP800-53", - "title": "Process Isolation", - "properties": [ - { - "name": "label", - "value": "SC-39" - }, - { - "name": "sort-id", - "value": "sc-39" - } - ], - "parts": [ - { - "id": "sc-39_smt", - "name": "statement", - "prose": "The information system maintains a separate execution domain for each executing\n process." - }, - { - "id": "sc-39_gdn", - "name": "guidance", - "prose": "Information systems can maintain separate execution domains for each executing\n process by assigning each process a separate address space. Each information system\n process has a distinct address space so that communication between processes is\n performed in a manner controlled through the security functions, and one process\n cannot modify the executing code of another process. Maintaining separate execution\n domains for executing processes can be achieved, for example, by implementing\n separate address spaces. This capability is available in most commercial operating\n systems that employ multi-state processor technologies.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-6", - "rel": "related", - "text": "AC-6" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-5", - "rel": "related", - "text": "SA-5" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sc-2", - "rel": "related", - "text": "SC-2" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "sc-39_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system maintains a separate execution domain for each\n executing process." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system design documentation\\n\\ninformation system architecture\\n\\nindependent verification and validation documentation\\n\\ntesting and evaluation documentation, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Information system developers/integrators\\n\\ninformation system security architect" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing separate execution domains for\n each executing process" - } - ] - } - ] - } - ] - }, - { - "id": "si", - "class": "family", - "title": "System and Information Integrity", - "controls": [ - { - "id": "si-1", - "class": "SP800-53", - "title": "System and Information Integrity Policy and Procedures", - "parameters": [ - { - "id": "si-1_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - { - "id": "si-1_prm_3", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least annually" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-1" - }, - { - "name": "sort-id", - "value": "si-01" - } - ], - "links": [ - { - "href": "#5c201b63-0768-417b-ac22-3f014e3941b2", - "rel": "reference", - "text": "NIST Special Publication 800-12" - }, - { - "href": "#9cb3d8fe-2127-48ba-821e-cdd2d7aee921", - "rel": "reference", - "text": "NIST Special Publication 800-100" - } - ], - "parts": [ - { - "id": "si-1_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-1_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Develops, documents, and disseminates to {{ si-1_prm_1 }}:", - "parts": [ - { - "id": "si-1_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "A system and information integrity policy that addresses purpose, scope, roles,\n responsibilities, management commitment, coordination among organizational\n entities, and compliance; and" - }, - { - "id": "si-1_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Procedures to facilitate the implementation of the system and information\n integrity policy and associated system and information integrity controls;\n and" - } - ] - }, - { - "id": "si-1_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reviews and updates the current:", - "parts": [ - { - "id": "si-1_smt.b.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "System and information integrity policy {{ si-1_prm_2 }};\n and" - }, - { - "id": "si-1_smt.b.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "System and information integrity procedures {{ si-1_prm_3 }}." - } - ] - } - ] - }, - { - "id": "si-1_gdn", - "name": "guidance", - "prose": "This control addresses the establishment of policy and procedures for the effective\n implementation of selected security controls and control enhancements in the SI\n family. Policy and procedures reflect applicable federal laws, Executive Orders,\n directives, regulations, policies, standards, and guidance. Security program policies\n and procedures at the organization level may make the need for system-specific\n policies and procedures unnecessary. The policy can be included as part of the\n general information security policy for organizations or conversely, can be\n represented by multiple policies reflecting the complex nature of certain\n organizations. The procedures can be established for the security program in general\n and for particular information systems, if needed. The organizational risk management\n strategy is a key factor in establishing policy and procedures.", - "links": [ - { - "href": "#pm-9", - "rel": "related", - "text": "PM-9" - } - ] - }, - { - "id": "si-1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-1.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)" - } - ], - "parts": [ - { - "id": "si-1.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(1)[1]" - } - ], - "prose": "develops and documents a system and information integrity policy that\n addresses:", - "parts": [ - { - "id": "si-1.a.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][a]" - } - ], - "prose": "purpose;" - }, - { - "id": "si-1.a.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][b]" - } - ], - "prose": "scope;" - }, - { - "id": "si-1.a.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][c]" - } - ], - "prose": "roles;" - }, - { - "id": "si-1.a.1_obj.1.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][d]" - } - ], - "prose": "responsibilities;" - }, - { - "id": "si-1.a.1_obj.1.e", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][e]" - } - ], - "prose": "management commitment;" - }, - { - "id": "si-1.a.1_obj.1.f", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][f]" - } - ], - "prose": "coordination among organizational entities;" - }, - { - "id": "si-1.a.1_obj.1.g", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(1)[1][g]" - } - ], - "prose": "compliance;" - } - ] - }, - { - "id": "si-1.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(1)[2]" - } - ], - "prose": "defines personnel or roles to whom the system and information integrity\n policy is to be disseminated;" - }, - { - "id": "si-1.a.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-1(a)(1)[3]" - } - ], - "prose": "disseminates the system and information integrity policy to\n organization-defined personnel or roles;" - } - ] - }, - { - "id": "si-1.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(a)(2)" - } - ], - "parts": [ - { - "id": "si-1.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(2)[1]" - } - ], - "prose": "develops and documents procedures to facilitate the implementation of the\n system and information integrity policy and associated system and\n information integrity controls;" - }, - { - "id": "si-1.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(a)(2)[2]" - } - ], - "prose": "defines personnel or roles to whom the procedures are to be\n disseminated;" - }, - { - "id": "si-1.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-1(a)(2)[3]" - } - ], - "prose": "disseminates the procedures to organization-defined personnel or roles;" - } - ] - } - ] - }, - { - "id": "si-1.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(1)" - } - ], - "parts": [ - { - "id": "si-1.b.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(1)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity policy;" - }, - { - "id": "si-1.b.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(1)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity policy with\n the organization-defined frequency;" - } - ] - }, - { - "id": "si-1.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-1(b)(2)" - } - ], - "parts": [ - { - "id": "si-1.b.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(2)[1]" - } - ], - "prose": "defines the frequency to review and update the current system and\n information integrity procedures; and" - }, - { - "id": "si-1.b.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-1(b)(2)[2]" - } - ], - "prose": "reviews and updates the current system and information integrity procedures\n with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy and procedures\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with system and information integrity\n responsibilities\\n\\norganizational personnel with information security responsibilities" - } - ] - } - ] - }, - { - "id": "si-2", - "class": "SP800-53", - "title": "Flaw Remediation", - "parameters": [ - { - "id": "si-2_prm_1", - "label": "organization-defined time period", - "constraints": [ - { - "detail": "within 30 days of release of updates" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-2" - }, - { - "name": "sort-id", - "value": "si-02" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - }, - { - "href": "#080f8068-5e3e-435e-9790-d22ba4722693", - "rel": "reference", - "text": "NIST Special Publication 800-128" - } - ], - "parts": [ - { - "id": "si-2_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-2_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Identifies, reports, and corrects information system flaws;" - }, - { - "id": "si-2_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Tests software and firmware updates related to flaw remediation for effectiveness\n and potential side effects before installation;" - }, - { - "id": "si-2_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and" - }, - { - "id": "si-2_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "id": "si-2_gdn", - "name": "guidance", - "prose": "Organizations identify information systems affected by announced software flaws\n including potential vulnerabilities resulting from those flaws, and report this\n information to designated organizational personnel with information security\n responsibilities. Security-relevant software updates include, for example, patches,\n service packs, hot fixes, and anti-virus signatures. Organizations also address flaws\n discovered during security assessments, continuous monitoring, incident response\n activities, and system error handling. Organizations take advantage of available\n resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and\n Exposures (CVE) databases in remediating flaws discovered in organizational\n information systems. By incorporating flaw remediation into ongoing configuration\n management processes, required/anticipated remediation actions can be tracked and\n verified. Flaw remediation actions that can be tracked and verified include, for\n example, determining whether organizations follow US-CERT guidance and Information\n Assurance Vulnerability Alerts. Organization-defined time periods for updating\n security-relevant software and firmware may vary based on a variety of factors\n including, for example, the security category of the information system or the\n criticality of the update (i.e., severity of the vulnerability related to the\n discovered flaw). Some types of flaw remediation may require more testing than other\n types. Organizations determine the degree and type of testing needed for the specific\n type of flaw remediation activity under consideration and also the types of changes\n that are to be configuration-managed. In some situations, organizations may determine\n that the testing of software and/or firmware updates is not necessary or practical,\n for example, when implementing simple anti-virus signature updates. Organizations may\n also consider in testing decisions, whether security-relevant software or firmware\n updates are obtained from authorized sources with appropriate digital signatures.", - "links": [ - { - "href": "#ca-2", - "rel": "related", - "text": "CA-2" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#cm-5", - "rel": "related", - "text": "CM-5" - }, - { - "href": "#cm-8", - "rel": "related", - "text": "CM-8" - }, - { - "href": "#ma-2", - "rel": "related", - "text": "MA-2" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sa-10", - "rel": "related", - "text": "SA-10" - }, - { - "href": "#sa-11", - "rel": "related", - "text": "SA-11" - }, - { - "href": "#si-11", - "rel": "related", - "text": "SI-11" - } - ] - }, - { - "id": "si-2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(a)" - } - ], - "parts": [ - { - "id": "si-2.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[1]" - } - ], - "prose": "identifies information system flaws;" - }, - { - "id": "si-2.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[2]" - } - ], - "prose": "reports information system flaws;" - }, - { - "id": "si-2.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(a)[3]" - } - ], - "prose": "corrects information system flaws;" - } - ] - }, - { - "id": "si-2.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(b)" - } - ], - "parts": [ - { - "id": "si-2.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(b)[1]" - } - ], - "prose": "tests software updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - }, - { - "id": "si-2.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(b)[2]" - } - ], - "prose": "tests firmware updates related to flaw remediation for effectiveness and\n potential side effects before installation;" - } - ] - }, - { - "id": "si-2.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(c)" - } - ], - "parts": [ - { - "id": "si-2.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(c)[1]" - } - ], - "prose": "defines the time period within which to install security-relevant software\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(c)[2]" - } - ], - "prose": "defines the time period within which to install security-relevant firmware\n updates after the release of the updates;" - }, - { - "id": "si-2.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(c)[3]" - } - ], - "prose": "installs software updates within the organization-defined time period of the\n release of the updates;" - }, - { - "id": "si-2.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(c)[4]" - } - ], - "prose": "installs firmware updates within the organization-defined time period of the\n release of the updates; and" - } - ] - }, - { - "id": "si-2.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(d)" - } - ], - "prose": "incorporates flaw remediation into the organizational configuration management\n process." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nprocedures addressing configuration management\\n\\nlist of flaws and vulnerabilities potentially affecting the information system\\n\\nlist of recent security flaw remediation actions performed on the information\n system (e.g., list of installed patches, service packs, hot fixes, and other\n software updates to correct information system flaws)\\n\\ntest results from the installation of software and firmware updates to correct\n information system flaws\\n\\ninstallation/change control records for security-relevant software and firmware\n updates\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\norganizational process for installing software and firmware updates\\n\\nautomated mechanisms supporting and/or implementing reporting, and correcting\n information system flaws\\n\\nautomated mechanisms supporting and/or implementing testing software and firmware\n updates" - } - ] - } - ], - "controls": [ - { - "id": "si-2.2", - "class": "SP800-53-enhancement", - "title": "Automated Flaw Remediation Status", - "parameters": [ - { - "id": "si-2.2_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-2(2)" - }, - { - "name": "sort-id", - "value": "si-02.02" - } - ], - "parts": [ - { - "id": "si-2.2_smt", - "name": "statement", - "prose": "The organization employs automated mechanisms {{ si-2.2_prm_1 }} to\n determine the state of information system components with regard to flaw\n remediation." - }, - { - "id": "si-2.2_gdn", - "name": "guidance", - "links": [ - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "si-2.2_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(2)[1]" - } - ], - "prose": "defines a frequency to employ automated mechanisms to determine the state of\n information system components with regard to flaw remediation; and" - }, - { - "id": "si-2.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(2)[2]" - } - ], - "prose": "employs automated mechanisms with the organization-defined frequency to\n determine the state of information system components with regard to flaw\n remediation." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\nautomated mechanisms supporting centralized management of flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms used to determine the state of information system\n components with regard to flaw remediation" - } - ] - } - ] - }, - { - "id": "si-2.3", - "class": "SP800-53-enhancement", - "title": "Time to Remediate Flaws / Benchmarks for Corrective Actions", - "parameters": [ - { - "id": "si-2.3_prm_1", - "label": "organization-defined benchmarks" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-2(3)" - }, - { - "name": "sort-id", - "value": "si-02.03" - } - ], - "parts": [ - { - "id": "si-2.3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-2.3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a)" - } - ], - "prose": "Measures the time between flaw identification and flaw remediation; and" - }, - { - "id": "si-2.3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(b)" - } - ], - "prose": "Establishes {{ si-2.3_prm_1 }} for taking corrective\n actions." - } - ] - }, - { - "id": "si-2.3_gdn", - "name": "guidance", - "prose": "This control enhancement requires organizations to determine the current time it\n takes on the average to correct information system flaws after such flaws have\n been identified, and subsequently establish organizational benchmarks (i.e., time\n frames) for taking corrective actions. Benchmarks can be established by type of\n flaw and/or severity of the potential vulnerability if the flaw can be\n exploited." - }, - { - "id": "si-2.3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-2.3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-2(3)(a)" - } - ], - "prose": "measures the time between flaw identification and flaw remediation;", - "links": [ - { - "href": "#si-2.3_smt.a", - "rel": "corresp", - "text": "SI-2(3)(a)" - } - ] - }, - { - "id": "si-2.3.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-2(3)(b)" - } - ], - "parts": [ - { - "id": "si-2.3.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(3)(b)[1]" - } - ], - "prose": "defines benchmarks for taking corrective actions; and" - }, - { - "id": "si-2.3.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-2(3)(b)[2]" - } - ], - "prose": "establishes organization-defined benchmarks for taking corrective\n actions." - } - ], - "links": [ - { - "href": "#si-2.3_smt.b", - "rel": "corresp", - "text": "SI-2(3)(b)" - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing flaw remediation\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of benchmarks for taking corrective action on flaws identified\\n\\nrecords providing time stamps of flaw identification and subsequent flaw\n remediation activities\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for flaw remediation" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for identifying, reporting, and correcting information\n system flaws\\n\\nautomated mechanisms used to measure the time between flaw identification and\n flaw remediation" - } - ] - } - ] - } - ] - }, - { - "id": "si-3", - "class": "SP800-53", - "title": "Malicious Code Protection", - "parameters": [ - { - "id": "si-3_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - { - "id": "si-3_prm_2", - "constraints": [ - { - "detail": "to include endpoints" - } - ] - }, - { - "id": "si-3_prm_3", - "constraints": [ - { - "detail": "to include alerting administrator or defined security personnel" - } - ] - }, - { - "id": "si-3_prm_4", - "depends-on": "si-3_prm_3", - "label": "organization-defined action" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-3" - }, - { - "name": "sort-id", - "value": "si-03" - } - ], - "links": [ - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - } - ], - "parts": [ - { - "id": "si-3_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-3_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs malicious code protection mechanisms at information system entry and exit\n points to detect and eradicate malicious code;" - }, - { - "id": "si-3_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and\n procedures;" - }, - { - "id": "si-3_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in\n accordance with organizational security policy; and" - }, - { - "id": "si-3_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "\n {{ si-3_prm_3 }} in response to malicious code detection;\n and" - } - ] - }, - { - "id": "si-3_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Addresses the receipt of false positives during malicious code detection and\n eradication and the resulting potential impact on the availability of the\n information system." - } - ] - }, - { - "id": "si-3_gdn", - "name": "guidance", - "prose": "Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations,\n notebook computers, and mobile devices. Malicious code includes, for example,\n viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in\n various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden\n files, or hidden in files using steganography. Malicious code can be transported by\n different means including, for example, web accesses, electronic mail, electronic\n mail attachments, and portable storage devices. Malicious code insertions occur\n through the exploitation of information system vulnerabilities. Malicious code\n protection mechanisms include, for example, anti-virus signature definitions and\n reputation-based technologies. A variety of technologies and methods exist to limit\n or eliminate the effects of malicious code. Pervasive configuration management and\n comprehensive software integrity controls may be effective in preventing execution of\n unauthorized code. In addition to commercial off-the-shelf software, malicious code\n may also be present in custom-built software. This could include, for example, logic\n bombs, back doors, and other types of cyber attacks that could affect organizational\n missions/business functions. Traditional malicious code protection mechanisms cannot\n always detect such code. In these situations, organizations rely instead on other\n safeguards including, for example, secure coding practices, configuration management\n and control, trusted procurement processes, and monitoring practices to help ensure\n that software does not perform functions other than the functions intended.\n Organizations may determine that in response to the detection of malicious code,\n different actions may be warranted. For example, organizations can define actions in\n response to malicious code detection during periodic scans, actions in response to\n detection of malicious downloads, and/or actions in response to detection of\n maliciousness when attempting to open or execute files.", - "links": [ - { - "href": "#cm-3", - "rel": "related", - "text": "CM-3" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#sa-4", - "rel": "related", - "text": "SA-4" - }, - { - "href": "#sa-8", - "rel": "related", - "text": "SA-8" - }, - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sa-13", - "rel": "related", - "text": "SA-13" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-44", - "rel": "related", - "text": "SC-44" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-3_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-3.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(a)" - } - ], - "prose": "employs malicious code protection mechanisms to detect and eradicate malicious\n code at information system:", - "parts": [ - { - "id": "si-3.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[1]" - } - ], - "prose": "entry points;" - }, - { - "id": "si-3.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(a)[2]" - } - ], - "prose": "exit points;" - } - ] - }, - { - "id": "si-3.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(b)" - } - ], - "prose": "updates malicious code protection mechanisms whenever new releases are available\n in accordance with organizational configuration management policy and procedures\n (as identified in CM-1);" - }, - { - "id": "si-3.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)" - } - ], - "parts": [ - { - "id": "si-3.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-3(c)[1]" - } - ], - "prose": "defines a frequency for malicious code protection mechanisms to perform\n periodic scans of the information system;" - }, - { - "id": "si-3.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-3(c)[2]" - } - ], - "prose": "defines action to be initiated by malicious protection mechanisms in response\n to malicious code detection;" - }, - { - "id": "si-3.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3]" - } - ], - "parts": [ - { - "id": "si-3.c.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(c)[3](1)" - } - ], - "prose": "configures malicious code protection mechanisms to:", - "parts": [ - { - "id": "si-3.c.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[a]" - } - ], - "prose": "perform periodic scans of the information system with the\n organization-defined frequency;" - }, - { - "id": "si-3.c.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](1)[b]" - } - ], - "prose": "perform real-time scans of files from external sources at endpoint and/or\n network entry/exit points as the files are downloaded, opened, or\n executed in accordance with organizational security policy;" - } - ] - }, - { - "id": "si-3.c.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(c)[3](2)" - } - ], - "prose": "configures malicious code protection mechanisms to do one or more of the\n following:", - "parts": [ - { - "id": "si-3.c.2_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[a]" - } - ], - "prose": "block malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[b]" - } - ], - "prose": "quarantine malicious code in response to malicious code detection;" - }, - { - "id": "si-3.c.2_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[c]" - } - ], - "prose": "send alert to administrator in response to malicious code detection;\n and/or" - }, - { - "id": "si-3.c.2_obj.3.d", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(c)[3](2)[d]" - } - ], - "prose": "initiate organization-defined action in response to malicious code\n detection;" - } - ] - } - ] - } - ] - }, - { - "id": "si-3.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-3(d)" - } - ], - "parts": [ - { - "id": "si-3.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(d)[1]" - } - ], - "prose": "addresses the receipt of false positives during malicious code detection and\n eradication; and" - }, - { - "id": "si-3.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-3(d)[2]" - } - ], - "prose": "addresses the resulting potential impact on the availability of the information\n system." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nconfiguration management policy and procedures\\n\\nprocedures addressing malicious code protection\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nscan results from malicious code protection mechanisms\\n\\nrecord of actions initiated by malicious code protection mechanisms in response to\n malicious code detection\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection\\n\\norganizational personnel with configuration management responsibility" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for employing, updating, and configuring malicious code\n protection mechanisms\\n\\norganizational process for addressing false positives and resulting potential\n impact\\n\\nautomated mechanisms supporting and/or implementing employing, updating, and\n configuring malicious code protection mechanisms\\n\\nautomated mechanisms supporting and/or implementing malicious code scanning and\n subsequent actions" - } - ] - } - ], - "controls": [ - { - "id": "si-3.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "properties": [ - { - "name": "label", - "value": "SI-3(1)" - }, - { - "name": "sort-id", - "value": "si-03.01" - } - ], - "parts": [ - { - "id": "si-3.1_smt", - "name": "statement", - "prose": "The organization centrally manages malicious code protection mechanisms." - }, - { - "id": "si-3.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of\n malicious code protection mechanisms. Central management includes planning,\n implementing, assessing, authorizing, and monitoring the organization-defined,\n centrally managed flaw malicious code protection security controls.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#si-8", - "rel": "related", - "text": "SI-8" - } - ] - }, - { - "id": "si-3.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization centrally manages malicious code protection\n mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for central management of malicious code protection\n mechanisms\\n\\nautomated mechanisms supporting and/or implementing central management of\n malicious code protection mechanisms" - } - ] - } - ] - }, - { - "id": "si-3.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "properties": [ - { - "name": "label", - "value": "SI-3(2)" - }, - { - "name": "sort-id", - "value": "si-03.02" - } - ], - "parts": [ - { - "id": "si-3.2_smt", - "name": "statement", - "prose": "The information system automatically updates malicious code protection\n mechanisms." - }, - { - "id": "si-3.2_gdn", - "name": "guidance", - "prose": "Malicious code protection mechanisms include, for example, signature definitions.\n Due to information system integrity and availability concerns, organizations give\n careful consideration to the methodology used to carry out automatic updates.", - "links": [ - { - "href": "#si-8", - "rel": "related", - "text": "SI-8" - } - ] - }, - { - "id": "si-3.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system automatically updates malicious code\n protection mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\nautomated mechanisms supporting centralized management of malicious code\n protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing automatic updates to\n malicious code protection capability" - } - ] - } - ] - }, - { - "id": "si-3.7", - "class": "SP800-53-enhancement", - "title": "Nonsignature-based Detection", - "properties": [ - { - "name": "label", - "value": "SI-3(7)" - }, - { - "name": "sort-id", - "value": "si-03.07" - } - ], - "parts": [ - { - "id": "si-3.7_smt", - "name": "statement", - "prose": "The information system implements nonsignature-based malicious code detection\n mechanisms." - }, - { - "id": "si-3.7_gdn", - "name": "guidance", - "prose": "Nonsignature-based detection mechanisms include, for example, the use of\n heuristics to detect, analyze, and describe the characteristics or behavior of\n malicious code and to provide safeguards against malicious code for which\n signatures do not yet exist or for which existing signatures may not be effective.\n This includes polymorphic malicious code (i.e., code that changes signatures when\n it replicates). This control enhancement does not preclude the use of\n signature-based detection mechanisms." - }, - { - "id": "si-3.7_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system implements non signature-based malicious code\n detection mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing malicious code protection\\n\\ninformation system design documentation\\n\\nmalicious code protection mechanisms\\n\\nrecords of malicious code protection updates\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for malicious code protection" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing nonsignature-based\n malicious code protection capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-4", - "class": "SP800-53", - "title": "Information System Monitoring", - "parameters": [ - { - "id": "si-4_prm_1", - "label": "organization-defined monitoring objectives" - }, - { - "id": "si-4_prm_2", - "label": "organization-defined techniques and methods" - }, - { - "id": "si-4_prm_3", - "label": "organization-defined information system monitoring information" - }, - { - "id": "si-4_prm_4", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4_prm_5" - }, - { - "id": "si-4_prm_6", - "depends-on": "si-4_prm_5", - "label": "organization-defined frequency" - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4" - }, - { - "name": "sort-id", - "value": "si-04" - } - ], - "links": [ - { - "href": "#be95fb85-a53f-4624-bdbb-140075500aa3", - "rel": "reference", - "text": "NIST Special Publication 800-61" - }, - { - "href": "#6d431fee-658f-4a0e-9f2e-a38b5d398fab", - "rel": "reference", - "text": "NIST Special Publication 800-83" - }, - { - "href": "#672fd561-b92b-4713-b9cf-6c9d9456728b", - "rel": "reference", - "text": "NIST Special Publication 800-92" - }, - { - "href": "#d1b1d689-0f66-4474-9924-c81119758dc1", - "rel": "reference", - "text": "NIST Special Publication 800-94" - }, - { - "href": "#cee2c6ca-0261-4a6f-b630-e41d8ffdd82b", - "rel": "reference", - "text": "NIST Special Publication 800-137" - } - ], - "parts": [ - { - "id": "si-4_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-4_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Monitors the information system to detect:", - "parts": [ - { - "id": "si-4_smt.a.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and" - }, - { - "id": "si-4_smt.a.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "Unauthorized local, network, and remote connections;" - } - ] - }, - { - "id": "si-4_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Identifies unauthorized use of the information system through {{ si-4_prm_2 }};" - }, - { - "id": "si-4_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Deploys monitoring devices:", - "parts": [ - { - "id": "si-4_smt.c.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "1." - } - ], - "prose": "Strategically within the information system to collect organization-determined\n essential information; and" - }, - { - "id": "si-4_smt.c.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "2." - } - ], - "prose": "At ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Protects information obtained from intrusion-monitoring tools from unauthorized\n access, modification, and deletion;" - }, - { - "id": "si-4_smt.e", - "name": "item", - "properties": [ - { - "name": "label", - "value": "e." - } - ], - "prose": "Heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4_smt.f", - "name": "item", - "properties": [ - { - "name": "label", - "value": "f." - } - ], - "prose": "Obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations; and" - }, - { - "id": "si-4_smt.g", - "name": "item", - "properties": [ - { - "name": "label", - "value": "g." - } - ], - "prose": "Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }}\n {{ si-4_prm_5 }}." - }, - { - "id": "si-4_fr", - "name": "item", - "title": "SI-4 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "si-4_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See US-CERT Incident Response Reporting Guidelines." - } - ] - } - ] - }, - { - "id": "si-4_gdn", - "name": "guidance", - "prose": "Information system monitoring includes external and internal monitoring. External\n monitoring includes the observation of events occurring at the information system\n boundary (i.e., part of perimeter defense and boundary protection). Internal\n monitoring includes the observation of events occurring within the information\n system. Organizations can monitor information systems, for example, by observing\n audit activities in real time or by observing other system aspects such as access\n patterns, characteristics of access, and other actions. The monitoring objectives may\n guide determination of the events. Information system monitoring capability is\n achieved through a variety of tools and techniques (e.g., intrusion detection\n systems, intrusion prevention systems, malicious code protection software, scanning\n tools, audit record monitoring software, network monitoring software). Strategic\n locations for monitoring devices include, for example, selected perimeter locations\n and near server farms supporting critical applications, with such devices typically\n being employed at the managed interfaces associated with controls SC-7 and AC-17.\n Einstein network monitoring devices from the Department of Homeland Security can also\n be included as monitoring devices. The granularity of monitoring information\n collected is based on organizational monitoring objectives and the capability of\n information systems to support such objectives. Specific types of transactions of\n interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that\n bypasses HTTP proxies. Information system monitoring is an integral part of\n organizational continuous monitoring and incident response programs. Output from\n system monitoring serves as input to continuous monitoring and incident response\n programs. A network connection is any connection with a device that communicates\n through a network (e.g., local area network, Internet). A remote connection is any\n connection with a device communicating through an external network (e.g., the\n Internet). Local, network, and remote connections can be either wired or\n wireless.", - "links": [ - { - "href": "#ac-3", - "rel": "related", - "text": "AC-3" - }, - { - "href": "#ac-4", - "rel": "related", - "text": "AC-4" - }, - { - "href": "#ac-8", - "rel": "related", - "text": "AC-8" - }, - { - "href": "#ac-17", - "rel": "related", - "text": "AC-17" - }, - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - }, - { - "href": "#au-7", - "rel": "related", - "text": "AU-7" - }, - { - "href": "#au-9", - "rel": "related", - "text": "AU-9" - }, - { - "href": "#au-12", - "rel": "related", - "text": "AU-12" - }, - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#pe-3", - "rel": "related", - "text": "PE-3" - }, - { - "href": "#ra-5", - "rel": "related", - "text": "RA-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#sc-26", - "rel": "related", - "text": "SC-26" - }, - { - "href": "#sc-35", - "rel": "related", - "text": "SC-35" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)" - } - ], - "parts": [ - { - "id": "si-4.a.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(a)(1)[1]" - } - ], - "prose": "defines monitoring objectives to detect attacks and indicators of potential\n attacks on the information system;" - }, - { - "id": "si-4.a.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(a)(1)[2]" - } - ], - "prose": "monitors the information system to detect, in accordance with\n organization-defined monitoring objectives,:", - "parts": [ - { - "id": "si-4.a.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][a]" - } - ], - "prose": "attacks;" - }, - { - "id": "si-4.a.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(1)[2][b]" - } - ], - "prose": "indicators of potential attacks;" - } - ] - } - ] - }, - { - "id": "si-4.a.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(a)(2)" - } - ], - "prose": "monitors the information system to detect unauthorized:", - "parts": [ - { - "id": "si-4.a.2_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[1]" - } - ], - "prose": "local connections;" - }, - { - "id": "si-4.a.2_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[2]" - } - ], - "prose": "network connections;" - }, - { - "id": "si-4.a.2_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(a)(2)[3]" - } - ], - "prose": "remote connections;" - } - ] - } - ] - }, - { - "id": "si-4.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(b)" - } - ], - "parts": [ - { - "id": "si-4.b.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(b)(1)" - } - ], - "prose": "defines techniques and methods to identify unauthorized use of the information\n system;" - }, - { - "id": "si-4.b.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(b)(2)" - } - ], - "prose": "identifies unauthorized use of the information system through\n organization-defined techniques and methods;" - } - ] - }, - { - "id": "si-4.c_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(c)" - } - ], - "prose": "deploys monitoring devices:", - "parts": [ - { - "id": "si-4.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[1]" - } - ], - "prose": "strategically within the information system to collect organization-determined\n essential information;" - }, - { - "id": "si-4.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(c)[2]" - } - ], - "prose": "at ad hoc locations within the system to track specific types of transactions\n of interest to the organization;" - } - ] - }, - { - "id": "si-4.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(d)" - } - ], - "prose": "protects information obtained from intrusion-monitoring tools from\n unauthorized:", - "parts": [ - { - "id": "si-4.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[1]" - } - ], - "prose": "access;" - }, - { - "id": "si-4.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[2]" - } - ], - "prose": "modification;" - }, - { - "id": "si-4.d_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(d)[3]" - } - ], - "prose": "deletion;" - } - ] - }, - { - "id": "si-4.e_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(e)" - } - ], - "prose": "heightens the level of information system monitoring activity whenever there is an\n indication of increased risk to organizational operations and assets, individuals,\n other organizations, or the Nation based on law enforcement information,\n intelligence information, or other credible sources of information;" - }, - { - "id": "si-4.f_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "label", - "value": "SI-4(f)" - } - ], - "prose": "obtains legal opinion with regard to information system monitoring activities in\n accordance with applicable federal laws, Executive Orders, directives, policies,\n or regulations;" - }, - { - "id": "si-4.g_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)" - } - ], - "parts": [ - { - "id": "si-4.g_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[1]" - } - ], - "prose": "defines personnel or roles to whom information system monitoring information is\n to be provided;" - }, - { - "id": "si-4.g_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[2]" - } - ], - "prose": "defines information system monitoring information to be provided to\n organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(g)[3]" - } - ], - "prose": "defines a frequency to provide organization-defined information system\n monitoring to organization-defined personnel or roles;" - }, - { - "id": "si-4.g_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(g)[4]" - } - ], - "prose": "provides organization-defined information system monitoring information to\n organization-defined personnel or roles one or more of the following:", - "parts": [ - { - "id": "si-4.g_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][a]" - } - ], - "prose": "as needed; and/or" - }, - { - "id": "si-4.g_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(g)[4][b]" - } - ], - "prose": "with the organization-defined frequency." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Continuous monitoring strategy\\n\\nsystem and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\nfacility diagram/layout\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\nlocations within information system where monitoring devices are deployed\\n\\ninformation system configuration settings and associated documentation\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility monitoring the information system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system monitoring\n capability" - } - ] - } - ], - "controls": [ - { - "id": "si-4.1", - "class": "SP800-53-enhancement", - "title": "System-wide Intrusion Detection System", - "properties": [ - { - "name": "label", - "value": "SI-4(1)" - }, - { - "name": "sort-id", - "value": "si-04.01" - } - ], - "parts": [ - { - "id": "si-4.1_smt", - "name": "statement", - "prose": "The organization connects and configures individual intrusion detection tools into\n an information system-wide intrusion detection system." - }, - { - "id": "si-4.1_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(1)[1]" - } - ], - "prose": "connects individual intrusion detection tools into an information system-wide\n intrusion detection system; and" - }, - { - "id": "si-4.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(1)[2]" - } - ], - "prose": "configures individual intrusion detection tools into an information system-wide\n intrusion detection system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability" - } - ] - } - ] - }, - { - "id": "si-4.2", - "class": "SP800-53-enhancement", - "title": "Automated Tools for Real-time Analysis", - "properties": [ - { - "name": "label", - "value": "SI-4(2)" - }, - { - "name": "sort-id", - "value": "si-04.02" - } - ], - "parts": [ - { - "id": "si-4.2_smt", - "name": "statement", - "prose": "The organization employs automated tools to support near real-time analysis of\n events." - }, - { - "id": "si-4.2_gdn", - "name": "guidance", - "prose": "Automated tools include, for example, host-based, network-based, transport-based,\n or storage-based event monitoring tools or Security Information and Event\n Management (SIEM) technologies that provide real time analysis of alerts and/or\n notifications generated by organizational information systems." - }, - { - "id": "si-4.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization employs automated tools to support near real-time\n analysis of events." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for incident\n response/management" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for near real-time analysis of events\\n\\norganizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing information system\n monitoring\\n\\nautomated mechanisms/tools supporting and/or implementing analysis of\n events" - } - ] - } - ] - }, - { - "id": "si-4.4", - "class": "SP800-53-enhancement", - "title": "Inbound and Outbound Communications Traffic", - "parameters": [ - { - "id": "si-4.4_prm_1", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "continuously" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4(4)" - }, - { - "name": "sort-id", - "value": "si-04.04" - } - ], - "parts": [ - { - "id": "si-4.4_smt", - "name": "statement", - "prose": "The information system monitors inbound and outbound communications traffic\n {{ si-4.4_prm_1 }} for unusual or unauthorized activities or\n conditions." - }, - { - "id": "si-4.4_gdn", - "name": "guidance", - "prose": "Unusual/unauthorized activities or conditions related to information system\n inbound and outbound communications traffic include, for example, internal traffic\n that indicates the presence of malicious code within organizational information\n systems or propagating among system components, the unauthorized exporting of\n information, or signaling to external information systems. Evidence of malicious\n code is used to identify potentially compromised information systems or\n information system components." - }, - { - "id": "si-4.4_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.4_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(4)[1]" - } - ], - "prose": "defines a frequency to monitor:", - "parts": [ - { - "id": "si-4.4_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[1][a]" - } - ], - "prose": "inbound communications traffic for unusual or unauthorized activities or\n conditions;" - }, - { - "id": "si-4.4_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[1][b]" - } - ], - "prose": "outbound communications traffic for unusual or unauthorized activities or\n conditions;" - } - ] - }, - { - "id": "si-4.4_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(4)[2]" - } - ], - "prose": "monitors, with the organization-defined frequency:", - "parts": [ - { - "id": "si-4.4_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[2][a]" - } - ], - "prose": "inbound communications traffic for unusual or unauthorized activities or\n conditions; and" - }, - { - "id": "si-4.4_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-4(4)[2][b]" - } - ], - "prose": "outbound communications traffic for unusual or unauthorized activities or\n conditions." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion detection\n capability/information system monitoring\\n\\nautomated mechanisms supporting and/or implementing monitoring of\n inbound/outbound communications traffic" - } - ] - } - ] - }, - { - "id": "si-4.5", - "class": "SP800-53-enhancement", - "title": "System-generated Alerts", - "parameters": [ - { - "id": "si-4.5_prm_1", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-4.5_prm_2", - "label": "organization-defined compromise indicators" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(5)" - }, - { - "name": "sort-id", - "value": "si-04.05" - } - ], - "parts": [ - { - "id": "si-4.5_smt", - "name": "statement", - "prose": "The information system alerts {{ si-4.5_prm_1 }} when the following\n indications of compromise or potential compromise occur: {{ si-4.5_prm_2 }}.", - "parts": [ - { - "id": "si-4.5_fr", - "name": "item", - "title": "SI-4 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "si-4.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "In accordance with the incident response plan." - } - ] - } - ] - }, - { - "id": "si-4.5_gdn", - "name": "guidance", - "prose": "Alerts may be generated from a variety of sources, including, for example, audit\n records or inputs from malicious code protection mechanisms, intrusion detection\n or prevention mechanisms, or boundary protection devices such as firewalls,\n gateways, and routers. Alerts can be transmitted, for example, telephonically, by\n electronic mail messages, or by text messaging. Organizational personnel on the\n notification list can include, for example, system administrators,\n mission/business owners, system owners, or information system security\n officers.", - "links": [ - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#pe-6", - "rel": "related", - "text": "PE-6" - } - ] - }, - { - "id": "si-4.5_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-4.5_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(5)[1]" - } - ], - "prose": "the organization defines compromise indicators for the information system;" - }, - { - "id": "si-4.5_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(5)[2]" - } - ], - "prose": "the organization defines personnel or roles to be alerted when indications of\n compromise or potential compromise occur; and" - }, - { - "id": "si-4.5_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(5)[3]" - } - ], - "prose": "the information system alerts organization-defined personnel or roles when\n organization-defined compromise indicators occur." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications generated based on compromise indicators\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developers\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing alerts for compromise\n indicators" - } - ] - } - ] - }, - { - "id": "si-4.14", - "class": "SP800-53-enhancement", - "title": "Wireless Intrusion Detection", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-4(14)" - }, - { - "name": "sort-id", - "value": "si-04.14" - } - ], - "parts": [ - { - "id": "si-4.14_smt", - "name": "statement", - "prose": "The organization employs a wireless intrusion detection system to identify rogue\n wireless devices and to detect attack attempts and potential compromises/breaches\n to the information system." - }, - { - "id": "si-4.14_gdn", - "name": "guidance", - "prose": "Wireless signals may radiate beyond the confines of organization-controlled\n facilities. Organizations proactively search for unauthorized wireless connections\n including the conduct of thorough scans for unauthorized wireless access points.\n Scans are not limited to those areas within facilities containing information\n systems, but also include areas outside of facilities as needed, to verify that\n unauthorized wireless access points are not connected to the systems.", - "links": [ - { - "href": "#ac-18", - "rel": "related", - "text": "AC-18" - }, - { - "href": "#ia-3", - "rel": "related", - "text": "IA-3" - } - ] - }, - { - "id": "si-4.14_obj", - "name": "objective", - "prose": "Determine if the organization employs a wireless intrusion detection system\n to:", - "parts": [ - { - "id": "si-4.14_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(14)[1]" - } - ], - "prose": "identify rogue wireless devices;" - }, - { - "id": "si-4.14_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(14)[2]" - } - ], - "prose": "detect attack attempts to the information system; and" - }, - { - "id": "si-4.14_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(14)[3]" - } - ], - "prose": "detect potential compromises/breaches to the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system protocols\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection\\n\\nautomated mechanisms supporting and/or implementing wireless intrusion\n detection capability" - } - ] - } - ] - }, - { - "id": "si-4.16", - "class": "SP800-53-enhancement", - "title": "Correlate Monitoring Information", - "properties": [ - { - "name": "label", - "value": "SI-4(16)" - }, - { - "name": "sort-id", - "value": "si-04.16" - } - ], - "parts": [ - { - "id": "si-4.16_smt", - "name": "statement", - "prose": "The organization correlates information from monitoring tools employed throughout\n the information system." - }, - { - "id": "si-4.16_gdn", - "name": "guidance", - "prose": "Correlating information from different monitoring tools can provide a more\n comprehensive view of information system activity. The correlation of monitoring\n tools that usually work in isolation (e.g., host monitoring, network monitoring,\n anti-virus software) can provide an organization-wide view and in so doing, may\n reveal otherwise unseen attack patterns. Understanding the\n capabilities/limitations of diverse monitoring tools and how to maximize the\n utility of information generated by those tools can help organizations to build,\n operate, and maintain effective monitoring programs.", - "links": [ - { - "href": "#au-6", - "rel": "related", - "text": "AU-6" - } - ] - }, - { - "id": "si-4.16_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization correlates information from monitoring tools\n employed throughout the information system." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nevent correlation logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring the information\n system\\n\\norganizational personnel with responsibility for the intrusion detection\n system" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for intrusion detection/information system\n monitoring\\n\\nautomated mechanisms supporting and/or implementing intrusion\n detection/information system monitoring capability\\n\\nautomated mechanisms supporting and/or implementing correlation of information\n from monitoring tools" - } - ] - } - ] - }, - { - "id": "si-4.23", - "class": "SP800-53-enhancement", - "title": "Host-based Devices", - "parameters": [ - { - "id": "si-4.23_prm_1", - "label": "organization-defined host-based monitoring mechanisms" - }, - { - "id": "si-4.23_prm_2", - "label": "organization-defined information system components" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-4(23)" - }, - { - "name": "sort-id", - "value": "si-04.23" - } - ], - "parts": [ - { - "id": "si-4.23_smt", - "name": "statement", - "prose": "The organization implements {{ si-4.23_prm_1 }} at {{ si-4.23_prm_2 }}." - }, - { - "id": "si-4.23_gdn", - "name": "guidance", - "prose": "Information system components where host-based monitoring can be implemented\n include, for example, servers, workstations, and mobile devices. Organizations\n consider employing host-based monitoring mechanisms from multiple information\n technology product developers." - }, - { - "id": "si-4.23_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-4.23_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(23)[1]" - } - ], - "prose": "defines host-based monitoring mechanisms to be implemented;" - }, - { - "id": "si-4.23_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-4(23)[2]" - } - ], - "prose": "defines information system components where organization-defined host-based\n monitoring is to be implemented; and" - }, - { - "id": "si-4.23_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-4(23)[3]" - } - ], - "prose": "implements organization-defined host-based monitoring mechanisms at\n organization-defined information system components." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system monitoring tools and techniques\\n\\ninformation system design documentation\\n\\nhost-based monitoring mechanisms\\n\\ninformation system monitoring tools and techniques documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of information system components requiring host-based monitoring\\n\\ninformation system monitoring logs or records\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel installing, configuring, and/or maintaining the\n information system\\n\\norganizational personnel with responsibility for monitoring information system\n hosts" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information system monitoring\\n\\nautomated mechanisms supporting and/or implementing host-based monitoring\n capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-5", - "class": "SP800-53", - "title": "Security Alerts, Advisories, and Directives", - "parameters": [ - { - "id": "si-5_prm_1", - "label": "organization-defined external organizations", - "constraints": [ - { - "detail": "to include US-CERT" - } - ] - }, - { - "id": "si-5_prm_2", - "constraints": [ - { - "detail": "to include system security personnel and administrators with configuration/patch-management responsibilities" - } - ] - }, - { - "id": "si-5_prm_3", - "depends-on": "si-5_prm_2", - "label": "organization-defined personnel or roles" - }, - { - "id": "si-5_prm_4", - "depends-on": "si-5_prm_2", - "label": "organization-defined elements within the organization" - }, - { - "id": "si-5_prm_5", - "depends-on": "si-5_prm_2", - "label": "organization-defined external organizations" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-5" - }, - { - "name": "sort-id", - "value": "si-05" - } - ], - "links": [ - { - "href": "#bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d", - "rel": "reference", - "text": "NIST Special Publication 800-40" - } - ], - "parts": [ - { - "id": "si-5_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-5_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Receives information system security alerts, advisories, and directives from\n {{ si-5_prm_1 }} on an ongoing basis;" - }, - { - "id": "si-5_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and" - }, - { - "id": "si-5_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "Implements security directives in accordance with established time frames, or\n notifies the issuing organization of the degree of noncompliance." - } - ] - }, - { - "id": "si-5_gdn", - "name": "guidance", - "prose": "The United States Computer Emergency Readiness Team (US-CERT) generates security\n alerts and advisories to maintain situational awareness across the federal\n government. Security directives are issued by OMB or other designated organizations\n with the responsibility and authority to issue such directives. Compliance to\n security directives is essential due to the critical nature of many of these\n directives and the potential immediate adverse effects on organizational operations\n and assets, individuals, other organizations, and the Nation should the directives\n not be implemented in a timely manner. External organizations include, for example,\n external mission/business partners, supply chain partners, external service\n providers, and other peer/supporting organizations.", - "links": [ - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - } - ] - }, - { - "id": "si-5_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-5.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(a)" - } - ], - "parts": [ - { - "id": "si-5.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(a)[1]" - } - ], - "prose": "defines external organizations from whom information system security alerts,\n advisories and directives are to be received;" - }, - { - "id": "si-5.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(a)[2]" - } - ], - "prose": "receives information system security alerts, advisories, and directives from\n organization-defined external organizations on an ongoing basis;" - } - ] - }, - { - "id": "si-5.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(b)" - } - ], - "prose": "generates internal security alerts, advisories, and directives as deemed\n necessary;" - }, - { - "id": "si-5.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)" - } - ], - "parts": [ - { - "id": "si-5.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[1]" - } - ], - "prose": "defines personnel or roles to whom security alerts, advisories, and directives\n are to be provided;" - }, - { - "id": "si-5.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[2]" - } - ], - "prose": "defines elements within the organization to whom security alerts, advisories,\n and directives are to be provided;" - }, - { - "id": "si-5.c_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-5(c)[3]" - } - ], - "prose": "defines external organizations to whom security alerts, advisories, and\n directives are to be provided;" - }, - { - "id": "si-5.c_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(c)[4]" - } - ], - "prose": "disseminates security alerts, advisories, and directives to one or more of the\n following:", - "parts": [ - { - "id": "si-5.c_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][a]" - } - ], - "prose": "organization-defined personnel or roles;" - }, - { - "id": "si-5.c_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][b]" - } - ], - "prose": "organization-defined elements within the organization; and/or" - }, - { - "id": "si-5.c_obj.4.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(c)[4][c]" - } - ], - "prose": "organization-defined external organizations; and" - } - ] - } - ] - }, - { - "id": "si-5.d_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-5(d)" - } - ], - "parts": [ - { - "id": "si-5.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[1]" - } - ], - "prose": "implements security directives in accordance with established time frames;\n or" - }, - { - "id": "si-5.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-5(d)[2]" - } - ], - "prose": "notifies the issuing organization of the degree of noncompliance." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security alerts, advisories, and directives\\n\\nrecords of security alerts and advisories\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security alert and advisory responsibilities\\n\\norganizational personnel implementing, operating, maintaining, and using the\n information system\\n\\norganizational personnel, organizational elements, and/or external organizations\n to whom alerts, advisories, and directives are to be disseminated\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for defining, receiving, generating, disseminating, and\n complying with security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing definition, receipt,\n generation, and dissemination of security alerts, advisories, and directives\\n\\nautomated mechanisms supporting and/or implementing security directives" - } - ] - } - ] - }, - { - "id": "si-6", - "class": "SP800-53", - "title": "Security Function Verification", - "parameters": [ - { - "id": "si-6_prm_1", - "label": "organization-defined security functions" - }, - { - "id": "si-6_prm_2" - }, - { - "id": "si-6_prm_3", - "depends-on": "si-6_prm_2", - "label": "organization-defined system transitional states", - "constraints": [ - { - "detail": "to include upon system startup and/or restart" - } - ] - }, - { - "id": "si-6_prm_4", - "depends-on": "si-6_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - { - "id": "si-6_prm_5", - "label": "organization-defined personnel or roles", - "constraints": [ - { - "detail": "to include system administrators and security personnel" - } - ] - }, - { - "id": "si-6_prm_6" - }, - { - "id": "si-6_prm_7", - "depends-on": "si-6_prm_6", - "label": "organization-defined alternative action(s)", - "constraints": [ - { - "detail": "to include notification of system administrators and security personnel" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-6" - }, - { - "name": "sort-id", - "value": "si-06" - } - ], - "parts": [ - { - "id": "si-6_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "si-6_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Verifies the correct operation of {{ si-6_prm_1 }};" - }, - { - "id": "si-6_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Performs this verification {{ si-6_prm_2 }};" - }, - { - "id": "si-6_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "c." - } - ], - "prose": "Notifies {{ si-6_prm_5 }} of failed security verification tests;\n and" - }, - { - "id": "si-6_smt.d", - "name": "item", - "properties": [ - { - "name": "label", - "value": "d." - } - ], - "prose": "\n {{ si-6_prm_6 }} when anomalies are discovered." - } - ] - }, - { - "id": "si-6_gdn", - "name": "guidance", - "prose": "Transitional states for information systems include, for example, system startup,\n restart, shutdown, and abort. Notifications provided by information systems include,\n for example, electronic alerts to system administrators, messages to local computer\n consoles, and/or hardware indications such as lights.", - "links": [ - { - "href": "#ca-7", - "rel": "related", - "text": "CA-7" - }, - { - "href": "#cm-6", - "rel": "related", - "text": "CM-6" - } - ] - }, - { - "id": "si-6_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-6.a_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(a)" - } - ], - "parts": [ - { - "id": "si-6.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(a)[1]" - } - ], - "prose": "the organization defines security functions to be verified for correct\n operation;" - }, - { - "id": "si-6.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(a)[2]" - } - ], - "prose": "the information system verifies the correct operation of organization-defined\n security functions;" - } - ] - }, - { - "id": "si-6.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)" - } - ], - "parts": [ - { - "id": "si-6.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(b)[1]" - } - ], - "prose": "the organization defines system transitional states requiring verification of\n organization-defined security functions;" - }, - { - "id": "si-6.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(b)[2]" - } - ], - "prose": "the organization defines a frequency to verify the correct operation of\n organization-defined security functions;" - }, - { - "id": "si-6.b_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(b)[3]" - } - ], - "prose": "the information system performs this verification one or more of the\n following:", - "parts": [ - { - "id": "si-6.b_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)[3][a]" - } - ], - "prose": "at organization-defined system transitional states;" - }, - { - "id": "si-6.b_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)[3][b]" - } - ], - "prose": "upon command by user with appropriate privilege; and/or" - }, - { - "id": "si-6.b_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(b)[3][c]" - } - ], - "prose": "with the organization-defined frequency;" - } - ] - } - ] - }, - { - "id": "si-6.c_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(c)" - } - ], - "parts": [ - { - "id": "si-6.c_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(c)[1]" - } - ], - "prose": "the organization defines personnel or roles to be notified of failed security\n verification tests;" - }, - { - "id": "si-6.c_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(c)[2]" - } - ], - "prose": "the information system notifies organization-defined personnel or roles of\n failed security verification tests;" - } - ] - }, - { - "id": "si-6.d_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)" - } - ], - "parts": [ - { - "id": "si-6.d_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-6(d)[1]" - } - ], - "prose": "the organization defines alternative action(s) to be performed when anomalies\n are discovered;" - }, - { - "id": "si-6.d_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-6(d)[2]" - } - ], - "prose": "the information system performs one or more of the following actions when\n anomalies are discovered:", - "parts": [ - { - "id": "si-6.d_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)[2][a]" - } - ], - "prose": "shuts the information system down;" - }, - { - "id": "si-6.d_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)[2][b]" - } - ], - "prose": "restarts the information system; and/or" - }, - { - "id": "si-6.d_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-6(d)[2][c]" - } - ], - "prose": "performs organization-defined alternative action(s)." - } - ] - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing security function verification\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nalerts/notifications of failed security verification tests\\n\\nlist of system transition states requiring security functionality verification\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with security function verification responsibilities\\n\\norganizational personnel implementing, operating, and maintaining the information\n system\\n\\nsystem/network administrators\\n\\norganizational personnel with information security responsibilities\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for security function verification\\n\\nautomated mechanisms supporting and/or implementing security function verification\n capability" - } - ] - } - ] - }, - { - "id": "si-7", - "class": "SP800-53", - "title": "Software, Firmware, and Information Integrity", - "parameters": [ - { - "id": "si-7_prm_1", - "label": "organization-defined software, firmware, and information" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-7" - }, - { - "name": "sort-id", - "value": "si-07" - } - ], - "links": [ - { - "href": "#6bf8d24a-78dc-4727-a2ac-0e64d71c495c", - "rel": "reference", - "text": "NIST Special Publication 800-147" - }, - { - "href": "#3878cc04-144a-483e-af62-8fe6f4ad6c7a", - "rel": "reference", - "text": "NIST Special Publication 800-155" - } - ], - "parts": [ - { - "id": "si-7_smt", - "name": "statement", - "prose": "The organization employs integrity verification tools to detect unauthorized changes\n to {{ si-7_prm_1 }}." - }, - { - "id": "si-7_gdn", - "name": "guidance", - "prose": "Unauthorized changes to software, firmware, and information can occur due to errors\n or malicious activity (e.g., tampering). Software includes, for example, operating\n systems (with key internal components such as kernels, drivers), middleware, and\n applications. Firmware includes, for example, the Basic Input Output System (BIOS).\n Information includes metadata such as security attributes associated with\n information. State-of-the-practice integrity-checking mechanisms (e.g., parity\n checks, cyclical redundancy checks, cryptographic hashes) and associated tools can\n automatically monitor the integrity of information systems and hosted\n applications.", - "links": [ - { - "href": "#sa-12", - "rel": "related", - "text": "SA-12" - }, - { - "href": "#sc-8", - "rel": "related", - "text": "SC-8" - }, - { - "href": "#sc-13", - "rel": "related", - "text": "SC-13" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "si-7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-7_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[1]" - } - ], - "parts": [ - { - "id": "si-7_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7[1][a]" - } - ], - "prose": "defines software requiring integrity verification tools to be employed to\n detect unauthorized changes;" - }, - { - "id": "si-7_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7[1][b]" - } - ], - "prose": "defines firmware requiring integrity verification tools to be employed to\n detect unauthorized changes;" - }, - { - "id": "si-7_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7[1][c]" - } - ], - "prose": "defines information requiring integrity verification tools to be employed to\n detect unauthorized changes;" - } - ] - }, - { - "id": "si-7_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2]" - } - ], - "prose": "employs integrity verification tools to detect unauthorized changes to\n organization-defined:", - "parts": [ - { - "id": "si-7_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2][a]" - } - ], - "prose": "software;" - }, - { - "id": "si-7_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2][b]" - } - ], - "prose": "firmware; and" - }, - { - "id": "si-7_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7[2][c]" - } - ], - "prose": "information." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords generated/triggered from integrity verification tools regarding\n unauthorized software, firmware, and information changes\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ], - "controls": [ - { - "id": "si-7.1", - "class": "SP800-53-enhancement", - "title": "Integrity Checks", - "parameters": [ - { - "id": "si-7.1_prm_1", - "label": "organization-defined software, firmware, and information" - }, - { - "id": "si-7.1_prm_2" - }, - { - "id": "si-7.1_prm_3", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined transitional states or security-relevant events", - "constraints": [ - { - "detail": "Selection to include security relevant events" - } - ] - }, - { - "id": "si-7.1_prm_4", - "depends-on": "si-7.1_prm_2", - "label": "organization-defined frequency", - "constraints": [ - { - "detail": "at least monthly" - } - ] - } - ], - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-7(1)" - }, - { - "name": "sort-id", - "value": "si-07.01" - } - ], - "parts": [ - { - "id": "si-7.1_smt", - "name": "statement", - "prose": "The information system performs an integrity check of {{ si-7.1_prm_1 }}\n {{ si-7.1_prm_2 }}." - }, - { - "id": "si-7.1_gdn", - "name": "guidance", - "prose": "Security-relevant events include, for example, the identification of a new threat\n to which organizational information systems are susceptible, and the installation\n of new hardware, software, or firmware. Transitional states include, for example,\n system startup, restart, shutdown, and abort." - }, - { - "id": "si-7.1_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-7.1_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(1)[1]" - } - ], - "prose": "the organization defines:", - "parts": [ - { - "id": "si-7.1_obj.1.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[1][a]" - } - ], - "prose": "software requiring integrity checks to be performed;" - }, - { - "id": "si-7.1_obj.1.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[1][b]" - } - ], - "prose": "firmware requiring integrity checks to be performed;" - }, - { - "id": "si-7.1_obj.1.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[1][c]" - } - ], - "prose": "information requiring integrity checks to be performed;" - } - ] - }, - { - "id": "si-7.1_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(1)[2]" - } - ], - "prose": "the organization defines transitional states or security-relevant events\n requiring integrity checks of organization-defined:", - "parts": [ - { - "id": "si-7.1_obj.2.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[2][a]" - } - ], - "prose": "software;" - }, - { - "id": "si-7.1_obj.2.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[2][b]" - } - ], - "prose": "firmware;" - }, - { - "id": "si-7.1_obj.2.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[2][c]" - } - ], - "prose": "information;" - } - ] - }, - { - "id": "si-7.1_obj.3", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(1)[3]" - } - ], - "prose": "the organization defines a frequency with which to perform an integrity check\n of organization-defined:", - "parts": [ - { - "id": "si-7.1_obj.3.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[3][a]" - } - ], - "prose": "software;" - }, - { - "id": "si-7.1_obj.3.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[3][b]" - } - ], - "prose": "firmware;" - }, - { - "id": "si-7.1_obj.3.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[3][c]" - } - ], - "prose": "information;" - } - ] - }, - { - "id": "si-7.1_obj.4", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(1)[4]" - } - ], - "prose": "the information system performs an integrity check of organization-defined\n software, firmware, and information one or more of the following:", - "parts": [ - { - "id": "si-7.1_obj.4.a", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[4][a]" - } - ], - "prose": "at startup;" - }, - { - "id": "si-7.1_obj.4.b", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[4][b]" - } - ], - "prose": "at organization-defined transitional states or security-relevant events;\n and/or" - }, - { - "id": "si-7.1_obj.4.c", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-7(1)[4][c]" - } - ], - "prose": "with the organization-defined frequency." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nintegrity verification tools and associated documentation\\n\\nrecords of integrity scans\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Software, firmware, and information integrity verification tools" - } - ] - } - ] - }, - { - "id": "si-7.7", - "class": "SP800-53-enhancement", - "title": "Integration of Detection and Response", - "parameters": [ - { - "id": "si-7.7_prm_1", - "label": "organization-defined security-relevant changes to the information\n system" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-7(7)" - }, - { - "name": "sort-id", - "value": "si-07.07" - } - ], - "parts": [ - { - "id": "si-7.7_smt", - "name": "statement", - "prose": "The organization incorporates the detection of unauthorized {{ si-7.7_prm_1 }} into the organizational incident response\n capability." - }, - { - "id": "si-7.7_gdn", - "name": "guidance", - "prose": "This control enhancement helps to ensure that detected events are tracked,\n monitored, corrected, and available for historical purposes. Maintaining\n historical records is important both for being able to identify and discern\n adversary actions over an extended period of time and for possible legal actions.\n Security-relevant changes include, for example, unauthorized changes to\n established configuration settings or unauthorized elevation of information system\n privileges.", - "links": [ - { - "href": "#ir-4", - "rel": "related", - "text": "IR-4" - }, - { - "href": "#ir-5", - "rel": "related", - "text": "IR-5" - }, - { - "href": "#si-4", - "rel": "related", - "text": "SI-4" - } - ] - }, - { - "id": "si-7.7_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-7.7_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-7(7)[1]" - } - ], - "prose": "defines unauthorized security-relevant changes to the information system;\n and" - }, - { - "id": "si-7.7_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-7(7)[2]" - } - ], - "prose": "incorporates the detection of unauthorized organization-defined\n security-relevant changes to the information system into the organizational\n incident response capability." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing software, firmware, and information integrity\\n\\nprocedures addressing incident response\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nincident response records\\n\\ninformation audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for software, firmware, and/or\n information integrity\\n\\norganizational personnel with information security responsibilities\\n\\norganizational personnel with incident response responsibilities" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for incorporating detection of unauthorized\n security-relevant changes into the incident response capability\\n\\nsoftware, firmware, and information integrity verification tools\\n\\nautomated mechanisms supporting and/or implementing incorporation of detection\n of unauthorized security-relevant changes into the incident response\n capability" - } - ] - } - ] - } - ] - }, - { - "id": "si-8", - "class": "SP800-53", - "title": "Spam Protection", - "properties": [ - { - "name": "label", - "value": "SI-8" - }, - { - "name": "sort-id", - "value": "si-08" - } - ], - "links": [ - { - "href": "#c6e95ca0-5828-420e-b095-00895b72b5e8", - "rel": "reference", - "text": "NIST Special Publication 800-45" - } - ], - "parts": [ - { - "id": "si-8_smt", - "name": "statement", - "prose": "The organization:", - "parts": [ - { - "id": "si-8_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Employs spam protection mechanisms at information system entry and exit points to\n detect and take action on unsolicited messages; and" - }, - { - "id": "si-8_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures." - } - ] - }, - { - "id": "si-8_gdn", - "name": "guidance", - "prose": "Information system entry and exit points include, for example, firewalls, electronic\n mail servers, web servers, proxy servers, remote-access servers, workstations, mobile\n devices, and notebook/laptop computers. Spam can be transported by different means\n including, for example, electronic mail, electronic mail attachments, and web\n accesses. Spam protection mechanisms include, for example, signature definitions.", - "links": [ - { - "href": "#at-2", - "rel": "related", - "text": "AT-2" - }, - { - "href": "#at-3", - "rel": "related", - "text": "AT-3" - }, - { - "href": "#sc-5", - "rel": "related", - "text": "SC-5" - }, - { - "href": "#sc-7", - "rel": "related", - "text": "SC-7" - }, - { - "href": "#si-3", - "rel": "related", - "text": "SI-3" - } - ] - }, - { - "id": "si-8_obj", - "name": "objective", - "prose": "Determine if the organization:", - "parts": [ - { - "id": "si-8.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-8(a)" - } - ], - "prose": "employs spam protection mechanisms:", - "parts": [ - { - "id": "si-8.a_obj.1", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[1]" - } - ], - "prose": "at information system entry points to detect unsolicited messages;" - }, - { - "id": "si-8.a_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[2]" - } - ], - "prose": "at information system entry points to take action on unsolicited messages;" - }, - { - "id": "si-8.a_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[3]" - } - ], - "prose": "at information system exit points to detect unsolicited messages;" - }, - { - "id": "si-8.a_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-8(a)[4]" - } - ], - "prose": "at information system exit points to take action on unsolicited messages;\n and" - } - ] - }, - { - "id": "si-8.b_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-8(b)" - } - ], - "prose": "updates spam protection mechanisms when new releases are available in accordance\n with organizational configuration management policy and procedures." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nconfiguration management policy and procedures (CM-1)\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for implementing spam protection\\n\\nautomated mechanisms supporting and/or implementing spam protection" - } - ] - } - ], - "controls": [ - { - "id": "si-8.1", - "class": "SP800-53-enhancement", - "title": "Central Management", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-8(1)" - }, - { - "name": "sort-id", - "value": "si-08.01" - } - ], - "parts": [ - { - "id": "si-8.1_smt", - "name": "statement", - "prose": "The organization centrally manages spam protection mechanisms." - }, - { - "id": "si-8.1_gdn", - "name": "guidance", - "prose": "Central management is the organization-wide management and implementation of spam\n protection mechanisms. Central management includes planning, implementing,\n assessing, authorizing, and monitoring the organization-defined, centrally managed\n spam protection security controls.", - "links": [ - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#si-2", - "rel": "related", - "text": "SI-2" - }, - { - "href": "#si-7", - "rel": "related", - "text": "SI-7" - } - ] - }, - { - "id": "si-8.1_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the organization centrally manages spam protection mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for central management of spam protection\\n\\nautomated mechanisms supporting and/or implementing central management of spam\n protection" - } - ] - } - ] - }, - { - "id": "si-8.2", - "class": "SP800-53-enhancement", - "title": "Automatic Updates", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - }, - { - "name": "label", - "value": "SI-8(2)" - }, - { - "name": "sort-id", - "value": "si-08.02" - } - ], - "parts": [ - { - "id": "si-8.2_smt", - "name": "statement", - "prose": "The information system automatically updates spam protection mechanisms." - }, - { - "id": "si-8.2_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ], - "prose": "Determine if the information system automatically updates spam protection\n mechanisms." - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing spam protection\\n\\nspam protection mechanisms\\n\\nrecords of spam protection updates\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for spam protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for spam protection\\n\\nautomated mechanisms supporting and/or implementing automatic updates to spam\n protection mechanisms" - } - ] - } - ] - } - ] - }, - { - "id": "si-10", - "class": "SP800-53", - "title": "Information Input Validation", - "parameters": [ - { - "id": "si-10_prm_1", - "label": "organization-defined information inputs" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-10" - }, - { - "name": "sort-id", - "value": "si-10" - } - ], - "parts": [ - { - "id": "si-10_smt", - "name": "statement", - "prose": "The information system checks the validity of {{ si-10_prm_1 }}." - }, - { - "id": "si-10_gdn", - "name": "guidance", - "prose": "Checking the valid syntax and semantics of information system inputs (e.g., character\n set, length, numerical range, and acceptable values) verifies that inputs match\n specified definitions for format and content. Software applications typically follow\n well-defined protocols that use structured messages (i.e., commands or queries) to\n communicate between software modules or system components. Structured messages can\n contain raw or unstructured data interspersed with metadata or control information.\n If software applications use attacker-supplied inputs to construct structured\n messages without properly encoding such messages, then the attacker could insert\n malicious commands or special characters that can cause the data to be interpreted as\n control information or metadata. Consequently, the module or component that receives\n the tainted output will perform the wrong operations or otherwise interpret the data\n incorrectly. Prescreening inputs prior to passing to interpreters prevents the\n content from being unintentionally interpreted as commands. Input validation helps to\n ensure accurate and correct inputs and prevent attacks such as cross-site scripting\n and a variety of injection attacks." - }, - { - "id": "si-10_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-10_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-10[1]" - } - ], - "prose": "the organization defines information inputs requiring validity checks; and" - }, - { - "id": "si-10_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-10[2]" - } - ], - "prose": "the information system checks the validity of organization-defined information\n inputs." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\naccess control policy and procedures\\n\\nseparation of duties policy and procedures\\n\\nprocedures addressing information input validation\\n\\ndocumentation for automated tools and applications to verify validity of\n information\\n\\nlist of information inputs requiring validity checks\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing validity checks on information\n inputs" - } - ] - } - ] - }, - { - "id": "si-11", - "class": "SP800-53", - "title": "Error Handling", - "parameters": [ - { - "id": "si-11_prm_1", - "label": "organization-defined personnel or roles" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-11" - }, - { - "name": "sort-id", - "value": "si-11" - } - ], - "parts": [ - { - "id": "si-11_smt", - "name": "statement", - "prose": "The information system:", - "parts": [ - { - "id": "si-11_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "a." - } - ], - "prose": "Generates error messages that provide information necessary for corrective actions\n without revealing information that could be exploited by adversaries; and" - }, - { - "id": "si-11_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "b." - } - ], - "prose": "Reveals error messages only to {{ si-11_prm_1 }}." - } - ] - }, - { - "id": "si-11_gdn", - "name": "guidance", - "prose": "Organizations carefully consider the structure/content of error messages. The extent\n to which information systems are able to identify and handle error conditions is\n guided by organizational policy and operational requirements. Information that could\n be exploited by adversaries includes, for example, erroneous logon attempts with\n passwords entered by mistake as the username, mission/business information that can\n be derived from (if not stated explicitly by) information recorded, and personal\n information such as account numbers, social security numbers, and credit card\n numbers. In addition, error messages may provide a covert channel for transmitting\n information.", - "links": [ - { - "href": "#au-2", - "rel": "related", - "text": "AU-2" - }, - { - "href": "#au-3", - "rel": "related", - "text": "AU-3" - }, - { - "href": "#sc-31", - "rel": "related", - "text": "SC-31" - } - ] - }, - { - "id": "si-11_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-11.a_obj", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-11(a)" - } - ], - "prose": "the information system generates error messages that provide information necessary\n for corrective actions without revealing information that could be exploited by\n adversaries;" - }, - { - "id": "si-11.b_obj", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-11(b)" - } - ], - "parts": [ - { - "id": "si-11.b_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-11(b)[1]" - } - ], - "prose": "the organization defines personnel or roles to whom error messages are to be\n revealed; and" - }, - { - "id": "si-11.b_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-11(b)[2]" - } - ], - "prose": "the information system reveals error messages only to organization-defined\n personnel or roles." - } - ] - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing information system error handling\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\ndocumentation providing structure/content of error messages\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information input validation\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for error handling\\n\\nautomated mechanisms supporting and/or implementing error handling\\n\\nautomated mechanisms supporting and/or implementing management of error\n messages" - } - ] - } - ] - }, - { - "id": "si-12", - "class": "SP800-53", - "title": "Information Handling and Retention", - "properties": [ - { - "name": "label", - "value": "SI-12" - }, - { - "name": "sort-id", - "value": "si-12" - } - ], - "parts": [ - { - "id": "si-12_smt", - "name": "statement", - "prose": "The organization handles and retains information within the information system and\n information output from the system in accordance with applicable federal laws,\n Executive Orders, directives, policies, regulations, standards, and operational\n requirements." - }, - { - "id": "si-12_gdn", - "name": "guidance", - "prose": "Information handling and retention requirements cover the full life cycle of\n information, in some cases extending beyond the disposal of information systems. The\n National Archives and Records Administration provides guidance on records\n retention.", - "links": [ - { - "href": "#ac-16", - "rel": "related", - "text": "AC-16" - }, - { - "href": "#au-5", - "rel": "related", - "text": "AU-5" - }, - { - "href": "#au-11", - "rel": "related", - "text": "AU-11" - }, - { - "href": "#mp-2", - "rel": "related", - "text": "MP-2" - }, - { - "href": "#mp-4", - "rel": "related", - "text": "MP-4" - } - ] - }, - { - "id": "si-12_obj", - "name": "objective", - "prose": "Determine if the organization, in accordance with applicable federal laws, Executive\n Orders, directives, policies, regulations, standards, and operational\n requirements:", - "parts": [ - { - "id": "si-12_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-12[1]" - } - ], - "prose": "handles information within the information system;" - }, - { - "id": "si-12_obj.2", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[2]" - } - ], - "prose": "handles output from the information system;" - }, - { - "id": "si-12_obj.3", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[3]" - } - ], - "prose": "retains information within the information system; and" - }, - { - "id": "si-12_obj.4", - "name": "objective", - "properties": [ - { - "name": "label", - "value": "SI-12[4]" - } - ], - "prose": "retains output from the information system." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nfederal laws, Executive Orders, directives, policies, regulations, standards, and\n operational requirements applicable to information handling and retention\\n\\nmedia protection policy and procedures\\n\\nprocedures addressing information system output handling and retention\\n\\ninformation retention records, other relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for information handling and\n retention\\n\\norganizational personnel with information security responsibilities/network\n administrators" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational processes for information handling and retention\\n\\nautomated mechanisms supporting and/or implementing information handling and\n retention" - } - ] - } - ] - }, - { - "id": "si-16", - "class": "SP800-53", - "title": "Memory Protection", - "parameters": [ - { - "id": "si-16_prm_1", - "label": "organization-defined security safeguards" - } - ], - "properties": [ - { - "name": "label", - "value": "SI-16" - }, - { - "name": "sort-id", - "value": "si-16" - } - ], - "parts": [ - { - "id": "si-16_smt", - "name": "statement", - "prose": "The information system implements {{ si-16_prm_1 }} to protect its\n memory from unauthorized code execution." - }, - { - "id": "si-16_gdn", - "name": "guidance", - "prose": "Some adversaries launch attacks with the intent of executing code in non-executable\n regions of memory or in memory locations that are prohibited. Security safeguards\n employed to protect memory include, for example, data execution prevention and\n address space layout randomization. Data execution prevention safeguards can either\n be hardware-enforced or software-enforced with hardware providing the greater\n strength of mechanism.", - "links": [ - { - "href": "#ac-25", - "rel": "related", - "text": "AC-25" - }, - { - "href": "#sc-3", - "rel": "related", - "text": "SC-3" - } - ] - }, - { - "id": "si-16_obj", - "name": "objective", - "prose": "Determine if:", - "parts": [ - { - "id": "si-16_obj.1", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "label", - "value": "SI-16[1]" - } - ], - "prose": "the organization defines security safeguards to be implemented to protect\n information system memory from unauthorized code execution; and" - }, - { - "id": "si-16_obj.2", - "name": "objective", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - }, - { - "name": "label", - "value": "SI-16[2]" - } - ], - "prose": "the information system implements organization-defined security safeguards to\n protect its memory from unauthorized code execution." - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "EXAMINE" - } - ], - "parts": [ - { - "name": "objects", - "prose": "System and information integrity policy\\n\\nprocedures addressing memory protection for the information system\\n\\ninformation system design documentation\\n\\ninformation system configuration settings and associated documentation\\n\\nlist of security safeguards protecting information system memory from unauthorized\n code execution\\n\\ninformation system audit records\\n\\nother relevant documents or records" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "INTERVIEW" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Organizational personnel with responsibility for memory protection\\n\\norganizational personnel with information security responsibilities\\n\\nsystem/network administrators\\n\\nsystem developer" - } - ] - }, - { - "name": "assessment", - "properties": [ - { - "name": "method", - "value": "TEST" - } - ], - "parts": [ - { - "name": "objects", - "prose": "Automated mechanisms supporting and/or implementing safeguards to protect\n information system memory from unauthorized code execution" - } - ] - } - ] - } - ] - } - ], - "back-matter": { - "resources": [ - { - "uuid": "0c97e60b-325a-4efa-ba2b-90f20ccd5abc", - "title": "5 C.F.R. 731.106", - "citation": { - "text": "Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106,\n Designation of Public Trust Positions and Investigative Requirements (5 C.F.R.\n 731.106)." - }, - "rlinks": [ - { - "href": "http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html" - } - ] - }, - { - "uuid": "bb61234b-46c3-4211-8c2b-9869222a720d", - "title": "C.F.R. 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"ps-5" - }, - { - "control-id": "ps-6" - }, - { - "control-id": "ps-7" - }, - { - "control-id": "ps-8" - }, - { - "control-id": "ra-1" - }, - { - "control-id": "ra-2" - }, - { - "control-id": "ra-3" - }, - { - "control-id": "ra-5" - }, - { - "control-id": "ra-5.1" - }, - { - "control-id": "ra-5.2" - }, - { - "control-id": "ra-5.3" - }, - { - "control-id": "ra-5.5" - }, - { - "control-id": "ra-5.6" - }, - { - "control-id": "ra-5.8" - }, - { - "control-id": "sa-1" - }, - { - "control-id": "sa-2" - }, - { - "control-id": "sa-3" - }, - { - "control-id": "sa-4" - }, - { - "control-id": "sa-4.1" - }, - { - "control-id": "sa-4.2" - }, - { - "control-id": "sa-4.8" - }, - { - "control-id": "sa-4.9" - }, - { - "control-id": "sa-4.10" - }, - { - "control-id": "sa-5" - }, - { - "control-id": "sa-8" - }, - { - "control-id": "sa-9" - }, - { - "control-id": "sa-9.1" - }, - { - "control-id": "sa-9.2" - }, - { - "control-id": "sa-9.4" - }, - { - "control-id": "sa-9.5" - }, - { - "control-id": "sa-10" - }, - { - "control-id": "sa-10.1" - }, - { - "control-id": "sa-11" - }, - { - "control-id": "sa-11.1" - }, - { - "control-id": "sa-11.2" - }, - { - "control-id": "sa-11.8" - }, - { - "control-id": "sc-1" - }, - { - "control-id": "sc-2" - }, - { - "control-id": "sc-4" - }, - { - "control-id": "sc-5" - }, - { - "control-id": "sc-6" - }, - { - "control-id": "sc-7" - }, - { - "control-id": "sc-7.3" - }, - { - "control-id": "sc-7.4" - }, - { - "control-id": "sc-7.5" - }, - { - "control-id": "sc-7.7" - }, - { - "control-id": "sc-7.8" - }, - { - "control-id": "sc-7.12" - }, - { - "control-id": "sc-7.13" - }, - { - "control-id": "sc-7.18" - }, - { - "control-id": "sc-8" - }, - { - "control-id": "sc-8.1" - }, - { - "control-id": "sc-10" - }, - { - "control-id": "sc-12" - }, - { - "control-id": "sc-12.2" - }, - { - "control-id": "sc-12.3" - }, - { - "control-id": "sc-13" - }, - { - "control-id": "sc-15" - }, - { - "control-id": "sc-17" - }, - { - "control-id": "sc-18" - }, - { - "control-id": "sc-19" - }, - { - "control-id": "sc-20" - }, - { - "control-id": "sc-21" - }, - { - "control-id": "sc-22" - }, - { - "control-id": "sc-23" - }, - { - "control-id": "sc-28" - }, - { - "control-id": "sc-28.1" - }, - { - "control-id": "sc-39" - }, - { - "control-id": "si-1" - }, - { - "control-id": "si-2" - }, - { - "control-id": "si-2.2" - }, - { - "control-id": "si-2.3" - }, - { - "control-id": "si-3" - }, - { - "control-id": "si-3.1" - }, - { - "control-id": "si-3.2" - }, - { - "control-id": "si-3.7" - }, - { - "control-id": "si-4" - }, - { - "control-id": "si-4.1" - }, - { - "control-id": "si-4.2" - }, - { - "control-id": "si-4.4" - }, - { - "control-id": "si-4.5" - }, - { - "control-id": "si-4.14" - }, - { - "control-id": "si-4.16" - }, - { - "control-id": "si-4.23" - }, - { - "control-id": "si-5" - }, - { - "control-id": "si-6" - }, - { - "control-id": "si-7" - }, - { - "control-id": "si-7.1" - }, - { - "control-id": "si-7.7" - }, - { - "control-id": "si-8" - }, - { - "control-id": "si-8.1" - }, - { - "control-id": "si-8.2" - }, - { - "control-id": "si-10" - }, - { - "control-id": "si-11" - }, - { - "control-id": "si-12" - }, - { - "control-id": "si-16" - } - ] - } - } - ], - "merge": { - "combine": { - "method": "keep" - }, - "as-is": true - }, - "modify": { - "parameter-settings": { - "ac-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ac-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ac-2_prm_4": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ac-2.2_prm_2": { - "constraints": [ - { - "detail": "no more than 30 days for temporary and emergency account types" - } - ] - }, - "ac-2.3_prm_1": { - "constraints": [ - { - "detail": "90 days for user accounts" - } - ] - }, - "ac-6.2_prm_1": { - "constraints": [ - { - "detail": "all security functions" - } - ] - }, - "ac-7_prm_1": { - "constraints": [ - { - "detail": "not more than three (3)" - } - ] - }, - "ac-7_prm_2": { - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - "ac-7_prm_4": { - "constraints": [ - { - "detail": "locks the account/node for thirty minutes" - } - ] - }, - "ac-8_prm_1": { - "constraints": [ - { - "detail": "see additional Requirements and Guidance" - } - ] - }, - "ac-8_prm_2": { - "constraints": [ - { - "detail": "see additional Requirements and Guidance]" - } - ] - }, - "ac-10_prm_2": { - "constraints": [ - { - "detail": "three (3) sessions for privileged access and two (2) sessions for non-privileged access" - } - ] - }, - "ac-11_prm_1": { - "constraints": [ - { - "detail": "fifteen (15) minutes" - } - ] - }, - "ac-17.9_prm_1": { - "constraints": [ - { - "detail": "fifteen 15 minutes" - } - ] - }, - "ac-22_prm_1": { - "constraints": [ - { - "detail": "at least quarterly" - } - ] - }, - "at-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "at-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "at-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "at-3_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "at-4_prm_1": { - "constraints": [ - { - "detail": "At least one year" - } - ] - }, - "au-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "au-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "au-2_prm_1": { - "constraints": [ - { - "detail": "successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes" - } - ] - }, - "au-2_prm_2": { - "constraints": [ - { - "detail": "organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event" - } - ] - }, - "au-2.3_prm_1": { - "constraints": [ - { - "detail": "annually or whenever there is a change in the threat environment" - } - ] - }, - "au-3.1_prm_1": { - "constraints": [ - { - "detail": "session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon" - } - ] - }, - "au-5_prm_2": { - "constraints": [ - { - "detail": "organization-defined actions to be taken (overwrite oldest record)" - } - ] - }, - "au-6_prm_1": { - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - "au-8.1_prm_1": { - "constraints": [ - { - "detail": "At least hourly" - } - ] - }, - "au-8.1_prm_2": { - "constraints": [ - { - "detail": "http://tf.nist.gov/tf-cgi/servers.cgi" - } - ] - }, - "au-9.2_prm_1": { - "constraints": [ - { - "detail": "at least weekly" - } - ] - }, - "au-11_prm_1": { - "constraints": [ - { - "detail": "at least ninety days" - } - ] - }, - "au-12_prm_1": { - "constraints": [ - { - "detail": "all information system and network components where audit capability is deployed/available" - } - ] - }, - "ca-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ca-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-2_prm_2": { - "constraints": [ - { - "detail": "individuals or roles to include FedRAMP PMO" - } - ] - }, - "ca-2.2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ca-2.3_prm_1": { - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - "ca-2.3_prm_2": { - "constraints": [ - { - "detail": "any FedRAMP Accredited 3PAO" - } - ] - }, - "ca-2.3_prm_3": { - "constraints": [ - { - "detail": "the conditions of the JAB/AO in the FedRAMP Repository" - } - ] - }, - "ca-3_prm_1": { - "constraints": [ - { - "detail": "at least annually and on input from FedRAMP" - } - ] - }, - "ca-3.3_prm_2": { - "constraints": [ - { - "detail": "Boundary Protections which meet the Trusted Internet Connection (TIC) requirements" - } - ] - }, - "ca-5_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "ca-6_prm_1": { - "constraints": [ - { - "detail": "at least every three (3) years or when a significant change occurs" - } - ] - }, - "ca-7_prm_4": { - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - "ca-7_prm_5": { - "constraints": [ - { - "detail": "to meet Federal and FedRAMP requirements (See additional guidance)" - } - ] - }, - "ca-8_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cm-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "cm-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cm-2.1_prm_1": { - "constraints": [ - { - "detail": "at least annually or when a significant change occurs" - } - ] - }, - "cm-2.1_prm_2": { - "constraints": [ - { - "detail": "to include when directed by the JAB" - } - ] - }, - "cm-5.5_prm_1": { - "constraints": [ - { - "detail": "at least quarterly" - } - ] - }, - "cm-6_prm_1": { - "guidance": [ - { - "prose": "See CM-6(a) Additional FedRAMP Requirements and Guidance" - } - ] - }, - "cm-7_prm_1": { - "constraints": [ - { - "detail": "United States Government Configuration Baseline (USGCB)" - } - ] - }, - "cm-7.1_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "cm-7.5_prm_2": { - "constraints": [ - { - "detail": "at least Annually or when there is a change" - } - ] - }, - "cm-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "cm-8.3_prm_1": { - "constraints": [ - { - "detail": "Continuously, using automated mechanisms with a maximum five-minute delay in detection" - } - ] - }, - "cm-11_prm_3": { - "constraints": [ - { - "detail": "Continuously (via CM-7 (5))" - } - ] - }, - "cp-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "cp-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-2_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-3_prm_1": { - "constraints": [ - { - "detail": "ten (10) days" - } - ] - }, - "cp-3_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-4_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "cp-4_prm_2": { - "constraints": [ - { - "detail": "functional exercises" - } - ] - }, - "cp-9_prm_1": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9_prm_2": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9_prm_3": { - "constraints": [ - { - "detail": "daily incremental; weekly full" - } - ] - }, - "cp-9.1_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ia-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ia-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ia-2.11_prm_1": { - "constraints": [ - { - "detail": "FIPS 140-2, NIAP Certification, or NSA approval" - } - ] - }, - "ia-4_prm_2": { - "constraints": [ - { - "detail": "IA-4 (d) [at least two years]" - } - ] - }, - "ia-4_prm_3": { - "constraints": [ - { - "detail": "ninety days for user identifiers (See additional requirements and guidance)" - } - ] - }, - "ia-4.4_prm_1": { - "constraints": [ - { - "detail": "contractors; foreign nationals" - } - ] - }, - "ia-5.1_prm_2": { - "constraints": [ - { - "detail": "at least one" - } - ] - }, - "ia-5.1_prm_4": { - "constraints": [ - { - "detail": "twenty four (24)" - } - ] - }, - "ia-5.3_prm_1": { - "constraints": [ - { - "detail": "All hardware/biometric (multifactor authenticators)" - } - ] - }, - "ia-5.3_prm_2": { - "constraints": [ - { - "detail": "in person" - } - ] - }, - "ir-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ir-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-2_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-3_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-3_prm_2": { - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - "ir-6_prm_1": { - "constraints": [ - { - "detail": "US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)" - } - ] - }, - "ir-8_prm_2": { - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - "ir-8_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ir-8_prm_4": { - "constraints": [ - { - "detail": "see additional FedRAMP Requirements and Guidance" - } - ] - }, - "ma-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ma-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ma-3.3_prm_1": { - "constraints": [ - { - "detail": "the information owner explicitly authorizing removal of the equipment from the facility" - } - ] - }, - "mp-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "mp-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "mp-3_prm_1": { - "constraints": [ - { - "detail": "no removable media types" - } - ] - }, - "mp-4_prm_1": { - "constraints": [ - { - "detail": "all types of digital and non-digital media with sensitive information" - } - ] - }, - "mp-4_prm_2": { - "constraints": [ - { - "detail": "see additional FedRAMP requirements and guidance" - } - ] - }, - "mp-5_prm_1": { - "constraints": [ - { - "detail": "all media with sensitive information" - } - ] - }, - "mp-5_prm_2": { - "constraints": [ - { - "detail": "prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container" - } - ] - }, - "mp-6.2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "pe-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-2_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_2": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices AND guards" - } - ] - }, - "pe-3_prm_3": { - "constraints": [ - { - "detail": "CSP defined physical access control systems/devices" - } - ] - }, - "pe-3_prm_6": { - "constraints": [ - { - "detail": "in all circumstances within restricted access area where the information system resides" - } - ] - }, - "pe-3_prm_8": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-3_prm_9": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pe-6_prm_1": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-8_prm_1": { - "constraints": [ - { - "detail": "for a minimum of one (1) year" - } - ] - }, - "pe-8_prm_2": { - "constraints": [ - { - "detail": "at least monthly" - } - ] - }, - "pe-14_prm_1": { - "constraints": [ - { - "detail": "consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments" - } - ] - }, - "pe-14_prm_2": { - "constraints": [ - { - "detail": "continuously" - } - ] - }, - "pe-16_prm_1": { - "constraints": [ - { - "detail": "all information system components" - } - ] - }, - "pl-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "pl-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pl-2_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "pl-4_prm_1": { - "constraints": [ - { - "detail": "At least every 3 years" - } - ] - }, - "pl-8_prm_1": { - "constraints": [ - { - "detail": "At least annually or when a significant change occurs" - } - ] - }, - "ps-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ps-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ps-2_prm_1": { - "constraints": [ - { - "detail": "at least every three years" - } - ] - }, - "ps-3_prm_1": { - "constraints": [ - { - "detail": "for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions" - } - ] - }, - "ps-3.3_prm_1": { - "constraints": [ - { - "detail": "personnel screening criteria - as required by specific information" - } - ] - }, - "ps-4_prm_1": { - "constraints": [ - { - "detail": "same day" - } - ] - }, - "ps-5_prm_4": { - "constraints": [ - { - "detail": "five days of the time period following the formal transfer action (DoD 24 hours)" - } - ] - }, - "ps-6_prm_1": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ps-6_prm_2": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ps-7_prm_2": { - "constraints": [ - { - "detail": "organization-defined time period - same day" - } - ] - }, - "ra-1_prm_2": { - "constraints": [ - { - "detail": "at least every 3 years" - } - ] - }, - "ra-1_prm_3": { - "constraints": [ - { - "detail": "at least annually" - } - ] - }, - "ra-3_prm_2": { - "constraints": [ - { - "detail": "security assessment report" - 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"properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "au-2.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-2.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-3", - "additions": [ - { - "position": "starting", - "id-ref": "au-3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - 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} - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "au-8.b_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-8.1", - "additions": [ - { - "position": "ending", - "id-ref": "au-8.1_smt", - "parts": [ - { - "id": "au-8.1_fr", - "name": "item", - "title": "AU-8 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "au-8.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider selects primary and secondary time servers used by the NIST Internet time service. 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"properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "au-9", - "additions": [ - { - "position": "starting", - "id-ref": "au-9.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "au-9.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - 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} - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "ca-2", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2_smt", - "parts": [ - { - "id": "ca-2_fr", - "name": "item", - "title": "CA-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-2.1", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2.1_smt", - "parts": [ - { - "id": "ca-2.1_fr", - "name": "item", - "title": "CA-2 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.1_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-2.2", - "additions": [ - { - "position": "ending", - "id-ref": "ca-2.2_smt", - "parts": [ - { - "id": "ca-2.2_fr", - "name": "item", - "title": "CA-2 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-2.2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "To include 'announced', 'vulnerability scanning'" - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.2_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-2.3", - "additions": [ - { - "position": "starting", - "id-ref": "ca-2.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.3_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-2.3_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-3", - "additions": [ - { - "position": "starting", - "id-ref": "ca-3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "ca-3.3", - "additions": [ - { - "position": "ending", - "id-ref": "ca-3.3_smt", - "parts": [ - { - "id": "ca-3.3_fr", - "name": "item", - "title": "CA-3 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.3_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-3.5", - "additions": [ - { - "position": "ending", - "id-ref": "ca-3.5_smt", - "parts": [ - { - "id": "ca-3.5_fr", - "name": "item", - "title": "CA-3 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-3.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing" - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.5_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-3.5_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-5", - "additions": [ - { - "position": "ending", - "id-ref": "ca-5_smt", - "parts": [ - { - "id": "ca-5_fr", - "name": "item", - "title": "CA-5 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-5_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Plan of Action & Milestones (POA&M) must be provided at least monthly." - }, - { - "id": "ca-5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-6", - "additions": [ - { - "position": "ending", - "id-ref": "ca-6_smt", - "parts": [ - { - "id": "ca-6_fr", - "name": "item", - "title": "CA-6(c) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-6.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ca-7", - "additions": [ - { - "position": "ending", - "id-ref": "ca-7_smt", - "parts": [ - { - "id": "ca-7_fr", - "name": "item", - "title": "CA-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ca-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually." - }, - { - "id": "ca-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates." - }, - { - "id": "ca-7_fr_gdn.2", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/)\n " - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.b_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ca-7.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - 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The means of communication are approved and accepted by the JAB/AO." - }, - { - "id": "cm-3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "(e) Guidance:" - } - ], - "prose": "In accordance with record retention policies and procedures." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.d_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.e_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.e_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.f_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.g_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.g_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.g_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-3.g_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-4", - "additions": [ - { - "position": "starting", - "id-ref": "cm-4.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5", - "additions": [ - { - "position": "starting", - "id-ref": "cm-5.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.4_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.6_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5_obj.7", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5_obj.8", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-5.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.3", - "additions": [ - { - "position": "ending", - "id-ref": "cm-5.3_smt", - "parts": [ - { - "id": "cm-5.3_fr", - "name": "item", - "title": "CM-5 (3) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-5.3_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.3_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-5.5", - "additions": [ - { - "position": "starting", - "id-ref": "cm-5.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-5.5.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "cm-6", - "additions": [ - { - "position": "ending", - "id-ref": "cm-6_smt", - "parts": [ - { - "id": "cm-6_fr", - "name": "item", - "title": "CM-6(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-6_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 1:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. " - }, - { - "id": "cm-6_fr_smt.2", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement 2:" - } - ], - "prose": "The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available)." - }, - { - "id": "cm-6_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.c_obj.5", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.d_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.d_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-6.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-6.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-6.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7", - "additions": [ - { - "position": "ending", - "id-ref": "cm-7_smt", - "parts": [ - { - "id": "cm-7_fr", - "name": "item", - "title": "CM-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available." - }, - { - "id": "cm-7_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-7.1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.1.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7.2", - "additions": [ - { - "position": "ending", - "id-ref": "cm-7.2_smt", - "parts": [ - { - "id": "cm-7.2_fr", - "name": "item", - "title": "CM-7 (2) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-7.2_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-7.5", - "additions": [ - { - "position": "starting", - "id-ref": "cm-7.5", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.5.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.5.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.5.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-7.5.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-8", - "additions": [ - { - "position": "ending", - "id-ref": "cm-8_smt", - "parts": [ - { - "id": "cm-8_fr", - "name": "item", - "title": "CM-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cm-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "Must be provided at least monthly or when there is a change." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.4_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.a.4_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-8.1", - "additions": [ - { - "position": "starting", - "id-ref": "cm-8.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-8.3", - "additions": [ - { - "position": "starting", - "id-ref": "cm-8.3", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.3.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.3.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.3.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-8.3.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-8.5", - "additions": [ - { - "position": "starting", - "id-ref": "cm-8.5_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cm-9", - "additions": [ - { - "position": "starting", - "id-ref": "cm-9", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-9.a_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-9.b_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-9.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-9.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cm-9.d_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-1", - "additions": [ - { - "position": "starting", - "id-ref": "cp-1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.a.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "cp-10", - "additions": [ - { - "position": "starting", - "id-ref": "cp-10_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-10.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-10.2", - "additions": [ - { - "position": "starting", - "id-ref": "cp-10.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-2", - "additions": [ - { - "position": "ending", - "id-ref": "cp-2_smt", - "parts": [ - { - "id": "cp-2_fr", - "name": "item", - "title": "CP-2 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-2_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-2 Requirement:" - } - ], - "prose": "For JAB authorizations the contingency lists include designated FedRAMP personnel." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.a.4_obj", - 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"position": "starting", - "id-ref": "cp-2.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-2.d_obj.1", - "properties": [ - 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} - ] - }, - { - "position": "starting", - "id-ref": "cp-3.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-4", - "additions": [ - { - "position": "ending", - "id-ref": "cp-4_smt", - "parts": [ - { - "id": "cp-4_fr", - "name": "item", - "title": "CP-4(a) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-4_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-4(a) Requirement:" - } - ], - "prose": "The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-4", - "properties": [ - { - "name": "CORE", - 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{ - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-6.3_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "cp-7", - "additions": [ - { - "position": "ending", - "id-ref": "cp-7_smt", - "parts": [ - { - "id": "cp-7_fr", - "name": "item", - "title": "CP-7 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-7_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "(a) Requirement:" - } - ], - "prose": "The service provider defines a time period consistent with the recovery time objectives and business impact analysis." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.a_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.c_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-7.1", - "additions": [ - { - "position": "ending", - "id-ref": "cp-7.1_smt", - "parts": [ - { - "id": "cp-7.1_fr", - "name": "item", - "title": "CP-7 (1) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-7.1_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "cp-7.2", - "additions": [ - { - "position": "starting", - "id-ref": "cp-7.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-7.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "cp-7.3", - "additions": [ - { - "position": "starting", - "id-ref": "cp-7.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "cp-8", - "additions": [ - { - "position": "ending", - "id-ref": "cp-8_smt", - "parts": [ - { - "id": "cp-8_fr", - "name": "item", - "title": "CP-8 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-8_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider defines a time period consistent with the recovery time objectives and business impact analysis." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-8.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-8.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-8.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-8.1", - "additions": [ - { - "position": "starting", - "id-ref": "cp-8.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-8.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-8.2", - "additions": [ - { - "position": "starting", - "id-ref": "cp-8.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - } - ] - }, - { - "control-id": "cp-9", - "additions": [ - { - "position": "ending", - "id-ref": "cp-9_smt", - "parts": [ - { - "id": "cp-9_fr", - "name": "item", - "title": "CP-9 Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "cp-9_fr_smt.1", - "name": "item", - "properties": [ - { - "name": "label", - "value": "Requirement:" - } - ], - "prose": "The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check." - }, - { - "id": "cp-9_fr_smt.a", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(a) Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of user-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.b", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(b)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of system-level information (at least one of which is available online)." - }, - { - "id": "cp-9_fr_smt.c", - "name": "item", - "properties": [ - { - "name": "label", - "value": "CP-9(c)Requirement:" - } - ], - "prose": "The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online)." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.a_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.a_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.b_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.b_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.c_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.c_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.d_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-9.1", - "additions": [ - { - "position": "starting", - "id-ref": "cp-9.1", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "cp-9.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "cp-9.3", - "additions": [ - { - "position": "starting", - "id-ref": "cp-9.3_obj.1.a", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - 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"ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.1_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.a.2_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.1_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.1_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.2_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-1.b.2_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - } - ] - }, - { - "control-id": "ia-2", - "additions": [ - { - "position": "starting", - "id-ref": "ia-2.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.1", - "additions": [ - { - "position": "starting", - "id-ref": "ia-2.1_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.11", - "additions": [ - { - "position": "ending", - "id-ref": "ia-2.11_smt", - "parts": [ - { - "id": "ia-2.11_fr", - "name": "item", - "title": "IA-2 (11) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.11_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.11_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.11_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.11_obj.3", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.11_obj.4", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.11_obj.5", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.11_obj.6", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.12", - "additions": [ - { - "position": "ending", - "id-ref": "ia-2.12_smt", - "parts": [ - { - "id": "ia-2.12_fr", - "name": "item", - "title": "IA-2 (12) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "ia-2.12_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.12_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - }, - { - "position": "starting", - "id-ref": "ia-2.12_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.2", - "additions": [ - { - "position": "starting", - "id-ref": "ia-2.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.3", - "additions": [ - { - "position": "starting", - "id-ref": "ia-2.3_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.5", - "additions": [ - { - "position": "starting", - "id-ref": "ia-2.5_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "ia-2.8", - "additions": [ - { - "position": "starting", - "id-ref": "ia-2.8_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - 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"value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "si-4.5", - "additions": [ - { - "position": "ending", - "id-ref": "si-4.5_smt", - "parts": [ - { - "id": "si-4.5_fr", - "name": "item", - "title": "SI-4 (5) Additional FedRAMP Requirements and Guidance", - "parts": [ - { - "id": "si-4.5_fr_gdn.1", - "name": "guidance", - "properties": [ - { - "name": "label", - "value": "Guidance:" - } - ], - "prose": "In accordance with the incident response plan." - } - ] - } - ] - }, - { - "position": "starting", - "id-ref": "si-4.5_obj.1", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - } - ] - }, - { - "position": "starting", - "id-ref": "si-4.5_obj.2", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - 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"value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - }, - { - "control-id": "si-8.2", - "additions": [ - { - "position": "starting", - "id-ref": "si-8.2", - "properties": [ - { - "name": "CORE", - "ns": "https://fedramp.gov/ns/oscal", - "value": "" - } - ] - }, - { - "position": "starting", - "id-ref": "si-8.2_obj", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "assessment-objective" - }, - { - "name": "method", - "class": "fedramp", - "value": "EXAMINE" - }, - { - "name": "method", - "class": "fedramp", - "value": "INTERVIEW" - }, - { - "name": "method", - "class": "fedramp", - "value": "TEST" - } - ] - } - ] - } - ] - }, - "back-matter": { - "resources": [ - { - "uuid": "985475ee-d4d6-4581-8fdf-d84d3d8caa48", - "title": "FedRAMP Applicable Laws and Regulations", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "fedramp-citations" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "https://www.fedramp.gov/assets/resources/templates/SSP-A12-FedRAMP-Laws-and-Regulations-Template.xlsx" - } - ] - }, - { - "uuid": "1a23a771-d481-4594-9a1a-71d584fa4123", - "title": "FedRAMP Master Acronym and Glossary", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "fedramp-acronyms" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf" - } - ] - }, - { - "uuid": "a2381e87-3d04-4108-a30b-b4d2f36d001f", - "desc": "FedRAMP Logo", - "properties": [ - { - "name": "conformity", - "ns": "https://fedramp.gov/ns/oscal", - "value": "fedramp-logo" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "https://www.fedramp.gov/assets/img/logo-main-fedramp.png" - } - ] - }, - { - "uuid": "ad005eae-cc63-4e64-9109-3905a9a825e4", - "title": "NIST Special Publication (SP) 800-53", - "properties": [ - { - "name": "version", - "ns": "https://fedramp.gov/ns/oscal", - "value": "Revision 4" - }, - { - "name": "keep", - "value": "always" - } - ], - "rlinks": [ - { - "href": "../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "media-type": "application/xml" - } - ] - } - ] - } - } -} diff --git a/content/fedramp.gov/xml/FedRAMP_HIGH-baseline-resolved-profile_catalog.xml b/content/fedramp.gov/xml/FedRAMP_HIGH-baseline-resolved-profile_catalog.xml deleted file mode 100644 index 85f93f136d..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_HIGH-baseline-resolved-profile_catalog.xml +++ /dev/null @@ -1,42714 +0,0 @@ - - - - FedRAMP High Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - 2020-08-31T17:38:24.694738Z - FedRAMP High Baseline - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - Access Control - - Access Control Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - AC-1 - ac-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the access control policy and - associated access controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Access control policy ; and

- - - 2. -

Access control procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AC-1(a) - - AC-1(a)(1) - - assessment-objective - EXAMINE - AC-1(a)(1)[1] -

develops and documents an access control policy that addresses:

- - AC-1(a)(1)[1][a] -

purpose;

- - - AC-1(a)(1)[1][b] -

scope;

- - - AC-1(a)(1)[1][c] -

roles;

- - - AC-1(a)(1)[1][d] -

responsibilities;

- - - AC-1(a)(1)[1][e] -

management commitment;

- - - AC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AC-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AC-1(a)(1)[2] -

defines personnel or roles to whom the access control policy are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-1(a)(1)[3] -

disseminates the access control policy to organization-defined personnel or - roles;

- - - - AC-1(a)(2) - - assessment-objective - EXAMINE - AC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls;

- - - assessment-objective - EXAMINE - AC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AC-1(b) - - AC-1(b)(1) - - assessment-objective - EXAMINE - AC-1(b)(1)[1] -

defines the frequency to review and update the current access control - policy;

- - - assessment-objective - EXAMINE - AC-1(b)(1)[2] -

reviews and updates the current access control policy with the - organization-defined frequency;

- - - - AC-1(b)(2) - - assessment-objective - EXAMINE - AC-1(b)(2)[1] -

defines the frequency to review and update the current access control - procedures; and

- - - assessment-objective - EXAMINE - AC-1(b)(2)[2] -

reviews and updates the current access control procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Access control policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Account Management - - - - - - - - - - - - monthly for privileged accessed, every six (6) months for non-privileged access - - - AC-2 - ac-02 - -

The organization:

- - a. -

Identifies and selects the following types of information system accounts to - support organizational missions/business functions: ;

- - - b. -

Assigns account managers for information system accounts;

- - - c. -

Establishes conditions for group and role membership;

- - - d. -

Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account;

- - - e. -

Requires approvals by for requests to create - information system accounts;

- - - f. -

Creates, enables, modifies, disables, and removes information system accounts in - accordance with ;

- - - g. -

Monitors the use of information system accounts;

- - - h. -

Notifies account managers:

- - 1. -

When accounts are no longer required;

- - - 2. -

When users are terminated or transferred; and

- - - 3. -

When individual information system usage or need-to-know changes;

- - - - i. -

Authorizes access to the information system based on:

- - 1. -

A valid access authorization;

- - - 2. -

Intended system usage; and

- - - 3. -

Other attributes as required by the organization or associated - missions/business functions;

- - - - j. -

Reviews accounts for compliance with account management requirements ; and

- - - k. -

Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - -

Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training.

- AC-3 - AC-4 - AC-5 - AC-6 - AC-10 - AC-17 - AC-19 - AC-20 - AU-9 - IA-2 - IA-4 - IA-5 - IA-8 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PL-4 - SC-13 - - -

Determine if the organization:

- - AC-2(a) - - assessment-objective - EXAMINE - AC-2(a)[1] -

defines information system account types to be identified and selected to - support organizational missions/business functions;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-2(a)[2] -

identifies and selects organization-defined information system account types to - support organizational missions/business functions;

- - - - assessment-objective - EXAMINE - INTERVIEW - AC-2(b) -

assigns account managers for information system accounts;

- - - assessment-objective - EXAMINE - AC-2(c) -

establishes conditions for group and role membership;

- - - assessment-objective - EXAMINE - AC-2(d) -

specifies for each account (as required):

- - AC-2(d)[1] -

authorized users of the information system;

- - - AC-2(d)[2] -

group and role membership;

- - - AC-2(d)[3] -

access authorizations (i.e., privileges);

- - - AC-2(d)[4] -

other attributes;

- - - - AC-2(e) - - assessment-objective - EXAMINE - AC-2(e)[1] -

defines personnel or roles required to approve requests to create information - system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(e)[2] -

requires approvals by organization-defined personnel or roles for requests to - create information system accounts;

- - - - AC-2(f) - - assessment-objective - EXAMINE - AC-2(f)[1] -

defines procedures or conditions to:

- - AC-2(f)[1][a] -

create information system accounts;

- - - AC-2(f)[1][b] -

enable information system accounts;

- - - AC-2(f)[1][c] -

modify information system accounts;

- - - AC-2(f)[1][d] -

disable information system accounts;

- - - AC-2(f)[1][e] -

remove information system accounts;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(f)[2] -

in accordance with organization-defined procedures or conditions:

- - AC-2(f)[2][a] -

creates information system accounts;

- - - AC-2(f)[2][b] -

enables information system accounts;

- - - AC-2(f)[2][c] -

modifies information system accounts;

- - - AC-2(f)[2][d] -

disables information system accounts;

- - - AC-2(f)[2][e] -

removes information system accounts;

- - - - - assessment-objective - INTERVIEW - TEST - AC-2(g) -

monitors the use of information system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(h) -

notifies account managers:

- - AC-2(h)(1) -

when accounts are no longer required;

- - - AC-2(h)(2) -

when users are terminated or transferred;

- - - AC-2(h)(3) -

when individual information system usage or need to know changes;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(i) -

authorizes access to the information system based on;

- - AC-2(i)(1) -

a valid access authorization;

- - - AC-2(i)(2) -

intended system usage;

- - - AC-2(i)(3) -

other attributes as required by the organization or associated - missions/business functions;

- - - - AC-2(j) - - assessment-objective - EXAMINE - AC-2(j)[1] -

defines the frequency to review accounts for compliance with account management - requirements;

- - - assessment-objective - INTERVIEW - TEST - AC-2(j)[2] -

reviews accounts for compliance with account management requirements with the - organization-defined frequency; and

- - - - assessment-objective - EXAMINE - AC-2(k) -

establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of active system accounts along with the name of the individual associated - with each account

-

list of conditions for group and role membership

-

notifications or records of recently transferred, separated, or terminated - employees

-

list of recently disabled information system accounts along with the name of the - individual associated with each account

-

access authorization records

-

account management compliance reviews

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes account management on the information system

-

automated mechanisms for implementing account management

- - - - Automated System Account Management - AC-2(1) - ac-02.01 - -

The organization employs automated mechanisms to support the management of - information system accounts.

- - -

The use of automated mechanisms can include, for example: using email or text - messaging to automatically notify account managers when users are terminated or - transferred; using the information system to monitor account usage; and using - telephonic notification to report atypical system account usage.

- - - assessment-objective - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to support the - management of information system accounts.

- - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Removal of Temporary / Emergency Accounts - - Selection: disables - - - - 24 hours from last use - - - AC-2(2) - ac-02.02 - -

The information system automatically temporary - and emergency accounts after .

- - -

This control enhancement requires the removal of both temporary and emergency - accounts automatically after a predefined period of time has elapsed, rather than - at the convenience of the systems administrator.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-2(2)[1] -

the organization defines the time period after which the information system - automatically removes or disables temporary and emergency accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(2)[2] -

the information system automatically removes or disables temporary and - emergency accounts after the organization-defined time period for each type of - account.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of temporary accounts removed and/or - disabled

-

information system-generated list of emergency accounts removed and/or - disabled

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Disable Inactive Accounts - - - 35 days for user accounts - - - AC-2(3) - ac-02.03 - -

The information system automatically disables inactive accounts after .

- - AC-2 (3) Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Determine if:

- - assessment-objective - EXAMINE - AC-2(3)[1] -

the organization defines the time period after which the information system - automatically disables inactive accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(3)[2] -

the information system automatically disables inactive accounts after the - organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of temporary accounts removed and/or - disabled

-

information system-generated list of emergency accounts removed and/or - disabled

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Automated Audit Actions - - - organization and/or service provider system owner - - AC-2(4) - ac-02.04 - -

The information system automatically audits account creation, modification, - enabling, disabling, and removal actions, and notifies .

- - - AU-2 - AU-12 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - AC-2(4)[1] -

the information system automatically audits the following account actions:

- - AC-2(4)[1][a] -

creation;

- - - AC-2(4)[1][b] -

modification;

- - - AC-2(4)[1][c] -

enabling;

- - - AC-2(4)[1][d] -

disabling;

- - - AC-2(4)[1][e] -

removal;

- - - - assessment-objective - EXAMINE - AC-2(4)[2] -

the organization defines personnel or roles to be notified of the following - account actions:

- - AC-2(4)[2][a] -

creation;

- - - AC-2(4)[2][b] -

modification;

- - - AC-2(4)[2][c] -

enabling;

- - - AC-2(4)[2][d] -

disabling;

- - - AC-2(4)[2][e] -

removal;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(4)[3] -

the information system notifies organization-defined personnel or roles of the - following account actions:

- - AC-2(4)[3][a] -

creation;

- - - AC-2(4)[3][b] -

modification;

- - - AC-2(4)[3][c] -

enabling;

- - - AC-2(4)[3][d] -

disabling; and

- - - AC-2(4)[3][e] -

removal.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

notifications/alerts of account creation, modification, enabling, disabling, - and removal actions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Inactivity Logout - - - inactivity is anticipated to exceed Fifteen (15) minutes - - - AC-2(5) - ac-02.05 - -

The organization requires that users log out when .

- - AC-2 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

Should use a shorter timeframe than AC-12.

- - - - - SC-23 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-2(5)[1] -

defines either the time period of expected inactivity that requires users to - log out or the description of when users are required to log out; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(5)[2] -

requires that users log out when the organization-defined time period of - inactivity is reached or in accordance with organization-defined description of - when to log out.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security violation reports

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

users that must comply with inactivity logout policy

- - - - - Role-based Schemes - - - disables/revokes access within a organization-specified timeframe - - AC-2(7) - ac-02.07 - -

The organization:

- - (a) -

Establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles;

- - - (b) -

Monitors privileged role assignments; and

- - - (c) -

Takes when privileged role assignments are no - longer appropriate.

- - - -

Privileged roles are organization-defined roles assigned to individuals that allow - those individuals to perform certain security-relevant functions that ordinary - users are not authorized to perform. These privileged roles include, for example, - key management, account management, network and system administration, database - administration, and web administration.

- - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - AC-2(7)(a) -

establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles;

- AC-2(7)(a) - - - assessment-objective - INTERVIEW - TEST - AC-2(7)(b) -

monitors privileged role assignments;

- AC-2(7)(b) - - - AC-2(7)(c) - - assessment-objective - EXAMINE - AC-2(7)(c)[1] -

defines actions to be taken when privileged role assignments are no longer - appropriate; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(7)(c)[2] -

takes organization-defined actions when privileged role assignments are no - longer appropriate.

- - AC-2(7)(c) - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of privileged user accounts and associated - role

-

records of actions taken when privileged role assignments are no longer - appropriate

-

information system audit records

-

audit tracking and monitoring reports

-

information system monitoring records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

-

automated mechanisms monitoring privileged role assignments

- - - - - Restrictions On Use of Shared / Group Accounts - - - organization-defined need with justification statement that explains why such accounts are necessary - - AC-2(9) - ac-02.09 - -

The organization only permits the use of shared/group accounts that meet .

- - AC-2 (9) Additional FedRAMP Requirements and Guidance - - Guidance: -

Required if shared/group accounts are deployed

- - - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-2(9)[1] -

defines conditions for establishing shared/group accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(9)[2] -

only permits the use of shared/group accounts that meet organization-defined - conditions for establishing shared/group accounts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of shared/group accounts and associated role

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of shared/group accounts

- - - - - Shared / Group Account Credential Termination - AC-2(10) - ac-02.10 - -

The information system terminates shared/group account credentials when members - leave the group.

- - AC-2 (10) Additional FedRAMP Requirements and Guidance - - Guidance: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system terminates shared/group account credentials - when members leave the group.

- - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

account access termination records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Usage Conditions - - - - - - - AC-2(11) - ac-02.11 - -

The information system enforces for .

- - -

Organizations can describe the specific conditions or circumstances under which - information system accounts can be used, for example, by restricting usage to - certain days of the week, time of day, or specific durations of time.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-2(11)[1] -

the organization defines circumstances and/or usage conditions to be enforced - for information system accounts;

- - - assessment-objective - EXAMINE - AC-2(11)[2] -

the organization defines information system accounts for which - organization-defined circumstances and/or usage conditions are to be enforced; - and

- - - assessment-objective - INTERVIEW - TEST - AC-2(11)[3] -

the information system enforces organization-defined circumstances and/or usage - conditions for organization-defined information system accounts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of information system accounts and associated assignments - of usage circumstances and/or usage conditions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Account Monitoring / Atypical Usage - - - - - - at a minimum, the ISSO and/or similar role within the organization - - - AC-2(12) - ac-02.12 - -

The organization:

- - (a) -

Monitors information system accounts for ; - and

- - - (b) -

Reports atypical usage of information system accounts to .

- - - AC-2 (12) Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Required for privileged accounts.

- - - (b) Guidance: -

Required for privileged accounts.

- - - - -

Atypical usage includes, for example, accessing information systems at certain - times of the day and from locations that are not consistent with the normal usage - patterns of individuals working in organizations.

- CA-7 - - -

Determine if the organization:

- - AC-2(12)(a) - - assessment-objective - EXAMINE - AC-2(12)(a)[1] -

defines atypical usage to be monitored for information system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(12)(a)[2] -

monitors information system accounts for organization-defined atypical - usage;

- - AC-2(12)(a) - - - AC-2(12)(b) - - assessment-objective - EXAMINE - AC-2(12)(b)[1] -

defines personnel or roles to whom atypical usage of information system - accounts are to be reported; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(12)(b)[2] -

reports atypical usage of information system accounts to - organization-defined personnel or roles.

- - AC-2(12)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system monitoring records

-

information system audit records

-

audit tracking and monitoring reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Disable Accounts for High-risk Individuals - - - one (1) hour - - AC-2(13) - ac-02.13 - -

The organization disables accounts of users posing a significant risk within - of discovery of the risk.

- - -

Users posing a significant risk to organizations include individuals for whom - reliable evidence or intelligence indicates either the intention to use authorized - access to information systems to cause harm or through whom adversaries will cause - harm. Harm includes potential adverse impacts to organizational operations and - assets, individuals, other organizations, or the Nation. Close coordination - between authorizing officials, information system administrators, and human - resource managers is essential in order for timely execution of this control - enhancement.

- PS-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-2(13)[1] -

defines the time period within which accounts are disabled upon discovery of a - significant risk posed by users of such accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(13)[2] -

disables accounts of users posing a significant risk within the - organization-defined time period of discovery of the risk.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of disabled accounts

-

list of user activities posing significant organizational risk

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - - Access Enforcement - AC-3 - ac-03 - -

The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies.

- - -

Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security.

- AC-2 - AC-4 - AC-5 - AC-6 - AC-16 - AC-17 - AC-18 - AC-19 - AC-20 - AC-21 - AC-22 - AU-9 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PE-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies.

- - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of approved authorizations (user privileges)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy

- - - - - Information Flow Enforcement - - - - - AC-4 - ac-04 - -

The information system enforces approved authorizations for controlling the flow of - information within the system and between interconnected systems based on .

- - -

Information flow control regulates where information is allowed to travel within an - information system and between information systems (as opposed to who is allowed to - access the information) and without explicit regard to subsequent accesses to that - information. Flow control restrictions include, for example, keeping - export-controlled information from being transmitted in the clear to the Internet, - blocking outside traffic that claims to be from within the organization, restricting - web requests to the Internet that are not from the internal web proxy server, and - limiting information transfers between organizations based on data structures and - content. Transferring information between information systems representing different - security domains with different security policies introduces risk that such transfers - violate one or more domain security policies. In such situations, information - owners/stewards provide guidance at designated policy enforcement points between - interconnected systems. Organizations consider mandating specific architectural - solutions when required to enforce specific security policies. Enforcement includes, - for example: (i) prohibiting information transfers between interconnected systems - (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way - information flows; and (iii) implementing trustworthy regrading mechanisms to - reassign security attributes and security labels. Organizations commonly employ - information flow control policies and enforcement mechanisms to control the flow of - information between designated sources and destinations (e.g., networks, individuals, - and devices) within information systems and between interconnected systems. Flow - control is based on the characteristics of the information and/or the information - path. Enforcement occurs, for example, in boundary protection devices (e.g., - gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or - establish configuration settings that restrict information system services, provide a - packet-filtering capability based on header information, or message-filtering - capability based on message content (e.g., implementing key word searches or using - document characteristics). Organizations also consider the trustworthiness of - filtering/inspection mechanisms (i.e., hardware, firmware, and software components) - that are critical to information flow enforcement. Control enhancements 3 through 22 - primarily address cross-domain solution needs which focus on more advanced filtering - techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented - in cross-domain products, for example, high-assurance guards. Such capabilities are - generally not available in commercial off-the-shelf information technology - products.

- AC-3 - AC-17 - AC-19 - AC-21 - CM-6 - CM-7 - SA-8 - SC-2 - SC-5 - SC-7 - SC-18 - - -

Determine if:

- - AC-4[1] -

the organization defines information flow control policies to control the flow of - information within the system and between interconnected systems; and

- - - AC-4[2] -

the information system enforces approved authorizations for controlling the flow - of information within the system and between interconnected systems based on - organization-defined information flow control policies.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system baseline configuration

-

list of information flow authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - Security Policy Filters - - - - - - - AC-4(8) - ac-04.08 - -

The information system enforces information flow control using as a basis for flow control decisions for .

- - -

Organization-defined security policy filters can address data structures and - content. For example, security policy filters for data structures can check for - maximum file lengths, maximum field sizes, and data/file types (for structured and - unstructured data). Security policy filters for data content can check for - specific words (e.g., dirty/clean word filters), enumerated values or data value - ranges, and hidden content. Structured data permits the interpretation of data - content by applications. Unstructured data typically refers to digital information - without a particular data structure or with a data structure that does not - facilitate the development of rule sets to address the particular sensitivity of - the information conveyed by the data or the associated flow enforcement decisions. - Unstructured data consists of: (i) bitmap objects that are inherently non - language-based (i.e., image, video, or audio files); and (ii) textual objects that - are based on written or printed languages (e.g., commercial off-the-shelf word - processing documents, spreadsheets, or emails). Organizations can implement more - than one security policy filter to meet information flow control objectives (e.g., - employing clean word lists in conjunction with dirty word lists may help to reduce - false positives).

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-4(8)[1] -

the organization defines security policy filters to be used as a basis for - enforcing flow control decisions;

- - - assessment-objective - EXAMINE - AC-4(8)[2] -

the organization defines information flows for which flow control decisions are - to be applied and enforced; and

- - - assessment-objective - INTERVIEW - TEST - AC-4(8)[3] -

the information system enforces information flow control using - organization-defined security policy filters as a basis for flow control - decisions for organization-defined information flows.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security policy filters regulating flow control decisions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Physical / Logical Separation of Information Flows - - - - - - - AC-4(21) - ac-04.21 - -

The information system separates information flows logically or physically using - to accomplish .

- - -

Enforcing the separation of information flows by type can enhance protection by - ensuring that information is not commingled while in transit and by enabling flow - control by transmission paths perhaps not otherwise achievable. Types of separable - information include, for example, inbound and outbound communications traffic, - service requests and responses, and information of differing security - categories.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-4(21)[1] -

the organization defines the required separations of information flows by types - of information;

- - - assessment-objective - EXAMINE - AC-4(21)[2] -

the organization defines the mechanisms and/or techniques to be used to - separate information flows logically or physically; and

- - - assessment-objective - INTERVIEW - TEST - AC-4(21)[3] -

the information system separates information flows logically or physically - using organization-defined mechanisms and/or techniques to accomplish - organization-defined required separations by types of information.

- - - - EXAMINE - -

Information flow enforcement policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of required separation of information flows by information types

-

list of mechanisms and/or techniques used to logically or physically separate - information flows

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - - Separation of Duties - - - - AC-5 - ac-05 - -

The organization:

- - a. -

Separates ;

- - - b. -

Documents separation of duties of individuals; and

- - - c. -

Defines information system access authorizations to support separation of - duties.

- - - AC-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Separation of duties addresses the potential for abuse of authorized privileges and - helps to reduce the risk of malevolent activity without collusion. Separation of - duties includes, for example: (i) dividing mission functions and information system - support functions among different individuals and/or roles; (ii) conducting - information system support functions with different individuals (e.g., system - management, programming, configuration management, quality assurance and testing, and - network security); and (iii) ensuring security personnel administering access control - functions do not also administer audit functions.

- AC-3 - AC-6 - PE-3 - PE-4 - PS-2 - - -

Determine if the organization:

- - AC-5(a) - - assessment-objective - EXAMINE - AC-5(a)[1] -

defines duties of individuals to be separated;

- - - assessment-objective - INTERVIEW - TEST - AC-5(a)[2] -

separates organization-defined duties of individuals;

- - - - assessment-objective - EXAMINE - AC-5(b) -

documents separation of duties; and

- - - assessment-objective - EXAMINE - AC-5(c) -

defines information system access authorizations to support separation of - duties.

- - - - EXAMINE - -

Access control policy

-

procedures addressing divisions of responsibility and separation of duties

-

information system configuration settings and associated documentation

-

list of divisions of responsibility and separation of duties

-

information system access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining appropriate divisions - of responsibility and separation of duties

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing separation of duties policy

- - - - - Least Privilege - AC-6 - ac-06 - -

The organization employs the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) which are necessary to - accomplish assigned tasks in accordance with organizational missions and business - functions.

- - -

Organizations employ least privilege for specific duties and information systems. The - principle of least privilege is also applied to information system processes, - ensuring that the processes operate at privilege levels no higher than necessary to - accomplish required organizational missions/business functions. Organizations - consider the creation of additional processes, roles, and information system accounts - as necessary, to achieve least privilege. Organizations also apply least privilege to - the development, implementation, and operation of organizational information - systems.

- AC-2 - AC-3 - AC-5 - CM-6 - CM-7 - PL-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs the principle of least privilege, allowing only - authorized access for users (and processes acting on behalf of users) which are - necessary to accomplish assigned tasks in accordance with organizational missions and - business functions.

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of assigned access authorizations (user privileges)

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - Authorize Access to Security Functions - - - all functions not publicly accessible and all security-relevant information not publicly available - - AC-6(1) - ac-06.01 - -

The organization explicitly authorizes access to .

- - -

Security functions include, for example, establishing system accounts, configuring - access authorizations (i.e., permissions, privileges), setting events to be - audited, and setting intrusion detection parameters. Security-relevant information - includes, for example, filtering rules for routers/firewalls, cryptographic key - management information, configuration parameters for security services, and access - control lists. Explicitly authorized personnel include, for example, security - administrators, system and network administrators, system security officers, - system maintenance personnel, system programmers, and other privileged users.

- AC-17 - AC-18 - AC-19 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(1)[1] -

defines security-relevant information for which access must be explicitly - authorized;

- - - assessment-objective - EXAMINE - AC-6(1)[2] -

defines security functions deployed in:

- - AC-6(1)[2][a] -

hardware;

- - - AC-6(1)[2][b] -

software;

- - - AC-6(1)[2][c] -

firmware;

- - - - assessment-objective - INTERVIEW - TEST - AC-6(1)[3] -

explicitly authorizes access to:

- - AC-6(1)[3][a] -

organization-defined security functions; and

- - - AC-6(1)[3][b] -

security-relevant information.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of security functions (deployed in hardware, software, and firmware) and - security-relevant information for which access must be explicitly - authorized

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Non-privileged Access for Nonsecurity Functions - - - all security functions - - AC-6(2) - ac-06.02 - -

The organization requires that users of information system accounts, or roles, - with access to , use non-privileged accounts or - roles, when accessing nonsecurity functions.

- - AC-6 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

This control enhancement limits exposure when operating from within privileged - accounts or roles. The inclusion of roles addresses situations where organizations - implement access control policies such as role-based access control and where a - change of role provides the same degree of assurance in the change of access - authorizations for both the user and all processes acting on behalf of the user as - would be provided by a change between a privileged and non-privileged account.

- PL-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(2)[1] -

defines security functions or security-relevant information to which users of - information system accounts, or roles, have access; and

- - - assessment-objective - INTERVIEW - TEST - AC-6(2)[2] -

requires that users of information system accounts, or roles, with access to - organization-defined security functions or security-relevant information, use - non-privileged accounts, or roles, when accessing nonsecurity functions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated security functions or security-relevant information - assigned to information system accounts or roles

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Network Access to Privileged Commands - - - all privileged commands - - - - - AC-6(3) - ac-06.03 - -

The organization authorizes network access to - only for and documents the rationale for such - access in the security plan for the information system.

- - -

Network access is any access across a network connection in lieu of local access - (i.e., user being physically present at the device).

- AC-17 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(3)[1] -

defines privileged commands to which network access is to be authorized only - for compelling operational needs;

- - - assessment-objective - EXAMINE - AC-6(3)[2] -

defines compelling operational needs for which network access to - organization-defined privileged commands are to be solely authorized;

- - - assessment-objective - INTERVIEW - TEST - AC-6(3)[3] -

authorizes network access to organization-defined privileged commands only for - organization-defined compelling operational needs; and

- - - assessment-objective - EXAMINE - INTERVIEW - AC-6(3)[4] -

documents the rationale for authorized network access to organization-defined - privileged commands in the security plan for the information system.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

list of operational needs for authorizing network access to privileged - commands

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Privileged Accounts - - - - AC-6(5) - ac-06.05 - -

The organization restricts privileged accounts on the information system to - .

- - -

Privileged accounts, including super user accounts, are typically described as - system administrator for various types of commercial off-the-shelf operating - systems. Restricting privileged accounts to specific personnel or roles prevents - day-to-day users from having access to privileged information/functions. - Organizations may differentiate in the application of this control enhancement - between allowed privileges for local accounts and for domain accounts provided - organizations retain the ability to control information system configurations for - key security parameters and as otherwise necessary to sufficiently mitigate - risk.

- CM-6 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(5)[1] -

defines personnel or roles for which privileged accounts on the information - system are to be restricted; and

- - - assessment-objective - INTERVIEW - TEST - AC-6(5)[2] -

restricts privileged accounts on the information system to organization-defined - personnel or roles.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated privileged accounts

-

list of system administration personnel

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Review of User Privileges - - - at a minimum, annually - - - - all users with privileges - - AC-6(7) - ac-06.07 - -

The organization:

- - (a) -

Reviews the privileges assigned to to validate the need for such privileges; and

- - - (b) -

Reassigns or removes privileges, if necessary, to correctly reflect - organizational mission/business needs.

- - - -

The need for certain assigned user privileges may change over time reflecting - changes in organizational missions/business function, environments of operation, - technologies, or threat. Periodic review of assigned user privileges is necessary - to determine if the rationale for assigning such privileges remains valid. If the - need cannot be revalidated, organizations take appropriate corrective actions.

- CA-7 - - -

Determine if the organization:

- - AC-6(7)(a) - - assessment-objective - EXAMINE - AC-6(7)(a)[1] -

defines roles or classes of users to which privileges are assigned;

- - - assessment-objective - EXAMINE - AC-6(7)(a)[2] -

defines the frequency to review the privileges assigned to - organization-defined roles or classes of users to validate the need for such - privileges;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-6(7)(a)[3] -

reviews the privileges assigned to organization-defined roles or classes of - users with the organization-defined frequency to validate the need for such - privileges; and

- - AC-6(7)(a) - - - assessment-objective - INTERVIEW - TEST - AC-6(7)(b) -

reassigns or removes privileges, if necessary, to correctly reflect - organizational missions/business needs.

- AC-6(7)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated roles or classes of users and assigned privileges

-

information system design documentation

-

information system configuration settings and associated documentation

-

validation reviews of privileges assigned to roles or classes or users

-

records of privilege removals or reassignments for roles or classes of - users

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing review of user privileges

- - - - - Privilege Levels for Code Execution - - - any software except software explicitly documented - - AC-6(8) - ac-06.08 - -

The information system prevents from executing - at higher privilege levels than users executing the software.

- - -

In certain situations, software applications/programs need to execute with - elevated privileges to perform required functions. However, if the privileges - required for execution are at a higher level than the privileges assigned to - organizational users invoking such applications/programs, those users are - indirectly provided with greater privileges than assigned by organizations.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-6(8)[1] -

the organization defines software that should not execute at higher privilege - levels than users executing the software; and

- - - assessment-objective - INTERVIEW - TEST - AC-6(8)[2] -

the information system prevents organization-defined software from executing at - higher privilege levels than users executing the software.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of software that should not execute at higher privilege levels than users - executing software

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing least privilege functions for software - execution

- - - - - Auditing Use of Privileged Functions - - AC-6(9) - ac-06.09 - -

The information system audits the execution of privileged functions.

- - -

Misuse of privileged functions, either intentionally or unintentionally by - authorized users, or by unauthorized external entities that have compromised - information system accounts, is a serious and ongoing concern and can have - significant adverse impacts on organizations. Auditing the use of privileged - functions is one way to detect such misuse, and in doing so, help mitigate the - risk from insider threats and the advanced persistent threat (APT).

- AU-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system audits the execution of privileged functions. -

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged functions to be audited

-

list of audited events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms auditing the execution of least privilege functions

- - - - - Prohibit Non-privileged Users from Executing Privileged Functions - AC-6(10) - ac-06.10 - -

The information system prevents non-privileged users from executing privileged - functions to include disabling, circumventing, or altering implemented security - safeguards/countermeasures.

- - -

Privileged functions include, for example, establishing information system - accounts, performing system integrity checks, or administering cryptographic key - management activities. Non-privileged users are individuals that do not possess - appropriate authorizations. Circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms are examples of privileged - functions that require protection from non-privileged users.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system prevents non-privileged users from executing - privileged functions to include:

- - AC-6(10)[1] -

disabling implemented security safeguards/countermeasures;

- - - AC-6(10)[2] -

circumventing security safeguards/countermeasures; or

- - - AC-6(10)[3] -

altering implemented security safeguards/countermeasures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged functions and associated user account assignments

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing least privilege functions for non-privileged - users

- - - - - - Unsuccessful Logon Attempts - - - not more than three (3) - - - - fifteen (15) minutes - - - - - locks the account/node for a minimum of three (3) hours or until unlocked by an administrator - - - - - - AC-7 - ac-07 - -

The information system:

- - a. -

Enforces a limit of consecutive invalid logon - attempts by a user during a ; and

- - - b. -

Automatically when the maximum number of - unsuccessful attempts is exceeded.

- - - -

This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels.

- AC-2 - AC-9 - AC-14 - IA-5 - - -

Determine if:

- - AC-7(a) - - assessment-objective - EXAMINE - AC-7(a)[1] -

the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period;

- - - assessment-objective - EXAMINE - AC-7(a)[2] -

the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts;

- - - assessment-objective - INTERVIEW - TEST - AC-7(a)[3] -

the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period;

- - - - AC-7(b) - - assessment-objective - EXAMINE - AC-7(b)[1] -

the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded;

- - - assessment-objective - INTERVIEW - TEST - AC-7(b)[2] -

the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically:

- - AC-7(b)[2][a] -

locks the account/node for the organization-defined time period;

- - - AC-7(b)[2][b] -

locks the account/node until released by an administrator; or

- - - AC-7(b)[2][c] -

delays next logon prompt according to the organization-defined delay - algorithm.

- - - - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful logon attempts

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful logon - attempts

- - - - Purge / Wipe Mobile Device - - - mobile devices as defined by organization policy - - - - - - - three (3) - - AC-7(2) - ac-07.02 - -

The information system purges/wipes information from based on after - consecutive, unsuccessful device logon - attempts.

- - -

This control enhancement applies only to mobile devices for which a logon occurs - (e.g., personal digital assistants, smart phones, tablets). The logon is to the - mobile device, not to any one account on the device. Therefore, successful logons - to any accounts on mobile devices reset the unsuccessful logon count to zero. - Organizations define information to be purged/wiped carefully in order to avoid - over purging/wiping which may result in devices becoming unusable. Purging/wiping - may be unnecessary if the information on the device is protected with sufficiently - strong encryption mechanisms.

- AC-19 - MP-5 - MP-6 - SC-13 - - -

Determine if:

- - assessment-objective - EXAMINE - AC-7(2)[1] -

the organization defines mobile devices to be purged/wiped after - organization-defined number of consecutive, unsuccessful device logon - attempts;

- - - assessment-objective - EXAMINE - AC-7(2)[2] -

the organization defines purging/wiping requirements/techniques to be used when - organization-defined mobile devices are purged/wiped after organization-defined - number of consecutive, unsuccessful device logon attempts;

- - - assessment-objective - EXAMINE - AC-7(2)[3] -

the organization defines the number of consecutive, unsuccessful logon attempts - allowed for accessing mobile devices before the information system purges/wipes - information from such devices; and

- - - assessment-objective - INTERVIEW - TEST - AC-7(2)[4] -

the information system purges/wipes information from organization-defined - mobile devices based on organization-defined purging/wiping - requirements/techniques after organization-defined number of consecutive, - unsuccessful logon attempts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful login attempts on mobile devices

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of mobile devices to be purged/wiped after organization-defined - consecutive, unsuccessful device logon attempts

-

list of purging/wiping requirements or techniques for mobile devices

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful device - logon attempts

- - - - - - System Use Notification - - - see additional Requirements and Guidance - - - - see additional Requirements and Guidance - - AC-8 - ac-08 - -

The information system:

- - a. -

Displays to users before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that:

- - 1. -

Users are accessing a U.S. Government information system;

- - - 2. -

Information system usage may be monitored, recorded, and subject to audit;

- - - 3. -

Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and

- - - 4. -

Use of the information system indicates consent to monitoring and - recording;

- - - - b. -

Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and

- - - c. -

For publicly accessible systems:

- - 1. -

Displays system use information , before - granting further access;

- - - 2. -

Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and

- - - 3. -

Includes a description of the authorized uses of the system.

- - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - -

System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content.

- - -

Determine if:

- - AC-8(a) - - assessment-objective - EXAMINE - AC-8(a)[1] -

the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system;

- - - assessment-objective - INTERVIEW - TEST - AC-8(a)[2] -

the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that:

- - AC-8(a)[2](1) -

users are accessing a U.S. Government information system;

- - - AC-8(a)[2](2) -

information system usage may be monitored, recorded, and subject to - audit;

- - - AC-8(a)[2](3) -

unauthorized use of the information system is prohibited and subject to - criminal and civil penalties;

- - - AC-8(a)[2](4) -

use of the information system indicates consent to monitoring and - recording;

- - - - - assessment-objective - INTERVIEW - TEST - AC-8(b) -

the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system;

- - - AC-8(c) -

for publicly accessible systems:

- - AC-8(c)(1) - - assessment-objective - EXAMINE - AC-8(c)(1)[1] -

the organization defines conditions for system use to be displayed by the - information system before granting further access;

- - - assessment-objective - INTERVIEW - TEST - AC-8(c)(1)[2] -

the information system displays organization-defined conditions before - granting further access;

- - - - assessment-objective - INTERVIEW - TEST - AC-8(c)(2) -

the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and

- - - assessment-objective - EXAMINE - AC-8(c)(3) -

the information system includes a description of the authorized uses of the - system.

- - - - - EXAMINE - -

Access control policy

-

privacy and security policies, procedures addressing system use notification

-

documented approval of information system use notification messages or banners

-

information system audit records

-

user acknowledgements of notification message or banner

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system use notification messages

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for providing legal advice

-

system developers

- - - - TEST - -

Automated mechanisms implementing system use notification

- - - - - Concurrent Session Control - - - - - - three (3) sessions for privileged access and two (2) sessions for non-privileged access - - AC-10 - ac-10 - -

The information system limits the number of concurrent sessions for each to .

- - -

Organizations may define the maximum number of concurrent sessions for information - system accounts globally, by account type (e.g., privileged user, non-privileged - user, domain, specific application), by account, or a combination. For example, - organizations may limit the number of concurrent sessions for system administrators - or individuals working in particularly sensitive domains or mission-critical - applications. This control addresses concurrent sessions for information system - accounts and does not address concurrent sessions by single users via multiple system - accounts.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-10[1] -

the organization defines account and/or account types for the information - system;

- - - assessment-objective - EXAMINE - AC-10[2] -

the organization defines the number of concurrent sessions to be allowed for each - organization-defined account and/or account type; and

- - - assessment-objective - INTERVIEW - TEST - AC-10[3] -

the information system limits the number of concurrent sessions for each - organization-defined account and/or account type to the organization-defined - number of concurrent sessions allowed.

- - - - EXAMINE - -

Access control policy

-

procedures addressing concurrent session control

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for concurrent session - control

- - - - - Session Lock - - - fifteen (15) minutes - - - AC-11 - ac-11 - OMB Memorandum 06-16 - -

The information system:

- - a. -

Prevents further access to the system by initiating a session lock after of inactivity or upon receiving a request from a user; - and

- - - b. -

Retains the session lock until the user reestablishes access using established - identification and authentication procedures.

- - - -

Session locks are temporary actions taken when users stop work and move away from the - immediate vicinity of information systems but do not want to log out because of the - temporary nature of their absences. Session locks are implemented where session - activities can be determined. This is typically at the operating system level, but - can also be at the application level. Session locks are not an acceptable substitute - for logging out of information systems, for example, if organizations require users - to log out at the end of workdays.

- AC-7 - - -

Determine if:

- - AC-11(a) - - assessment-objective - EXAMINE - AC-11(a)[1] -

the organization defines the time period of user inactivity after which the - information system initiates a session lock;

- - - assessment-objective - INTERVIEW - TEST - AC-11(a)[2] -

the information system prevents further access to the system by initiating a - session lock after organization-defined time period of user inactivity or upon - receiving a request from a user; and

- - - - assessment-objective - INTERVIEW - TEST - AC-11(b) -

the information system retains the session lock until the user reestablishes - access using established identification and authentication procedures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing session lock

-

procedures addressing identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for session lock

- - - - Pattern-hiding Displays - AC-11(1) - ac-11.01 - -

The information system conceals, via the session lock, information previously - visible on the display with a publicly viewable image.

- - -

Publicly viewable images can include static or dynamic images, for example, - patterns used with screen savers, photographic images, solid colors, clock, - battery life indicator, or a blank screen, with the additional caveat that none of - the images convey sensitive information.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system conceals, via the session lock, information - previously visible on the display with a publicly viewable image.

- - - EXAMINE - -

Access control policy

-

procedures addressing session lock

-

display screen with session lock activated

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system session lock mechanisms

- - - - - - Session Termination - - - - - AC-12 - ac-12 - -

The information system automatically terminates a user session after .

- - -

This control addresses the termination of user-initiated logical sessions in contrast - to SC-10 which addresses the termination of network connections that are associated - with communications sessions (i.e., network disconnect). A logical session (for - local, network, and remote access) is initiated whenever a user (or process acting on - behalf of a user) accesses an organizational information system. Such user sessions - can be terminated (and thus terminate user access) without terminating network - sessions. Session termination terminates all processes associated with a user’s - logical session except those processes that are specifically created by the user - (i.e., session owner) to continue after the session is terminated. Conditions or - trigger events requiring automatic session termination can include, for example, - organization-defined periods of user inactivity, targeted responses to certain types - of incidents, time-of-day restrictions on information system use.

- SC-10 - SC-23 - - -

Determine if:

- - AC-12[1] -

the organization defines conditions or trigger events requiring session - disconnect; and

- - - assessment-objective - INTERVIEW - TEST - AC-12[2] -

the information system automatically terminates a user session after - organization-defined conditions or trigger events requiring session disconnect - occurs.

- - - - EXAMINE - -

Access control policy

-

procedures addressing session termination

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of conditions or trigger events requiring session disconnect

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session termination

- - - - User-initiated Logouts / Message Displays - - - - AC-12(1) - ac-12.01 - -

The information system:

- - (a) -

Provides a logout capability for user-initiated communications sessions - whenever authentication is used to gain access to ; and

- - - (b) -

Displays an explicit logout message to users indicating the reliable - termination of authenticated communications sessions.

- - - AC-12 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29

- - - - -

Information resources to which users gain access via authentication include, for - example, local workstations, databases, and password-protected websites/web-based - services. Logout messages for web page access, for example, can be displayed after - authenticated sessions have been terminated. However, for some types of - interactive sessions including, for example, file transfer protocol (FTP) - sessions, information systems typically send logout messages as final messages - prior to terminating sessions.

- - -

Determine if:

- - AC-12(1)(a) - - assessment-objective - EXAMINE - AC-12(1)(a)[1] -

the organization defines information resources for which user authentication - is required to gain access to such resources;

- - - assessment-objective - INTERVIEW - TEST - AC-12(1)(a)[2] -

the information system provides a logout capability for user-initiated - communications sessions whenever authentication is used to gain access to - organization-defined information resources; and

- - AC-12(1)(a) - - - assessment-objective - TEST - AC-12(1)(b) -

the information system displays an explicit logout message to users indicating - the reliable termination of authenticated communications sessions.

- AC-12(1)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing session termination

-

user logout messages

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system session lock mechanisms

- - - - - - Permitted Actions Without Identification or Authentication - - - - AC-14 - ac-14 - -

The organization:

- - a. -

Identifies that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - b. -

Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - -

This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none.

- CP-2 - IA-2 - - -

Determine if the organization:

- - AC-14(a) - - assessment-objective - EXAMINE - AC-14(a)[1] -

defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-14(a)[2] -

identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - - assessment-objective - EXAMINE - AC-14(b) -

documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - - EXAMINE - -

Access control policy

-

procedures addressing permitted actions without identification or - authentication

-

information system configuration settings and associated documentation

-

security plan

-

list of user actions that can be performed without identification or - authentication

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - - Remote Access - - AC-17 - ac-17 - NIST Special Publication 800-46 - NIST Special Publication 800-77 - NIST Special Publication 800-113 - NIST Special Publication 800-114 - NIST Special Publication 800-121 - -

The organization:

- - a. -

Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and

- - - b. -

Authorizes remote access to the information system prior to allowing such - connections.

- - - -

Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3.

- AC-2 - AC-3 - AC-18 - AC-19 - AC-20 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - MA-4 - PE-17 - PL-4 - SC-10 - SI-4 - - -

Determine if the organization:

- - AC-17(a) - - assessment-objective - EXAMINE - AC-17(a)[1] -

identifies the types of remote access allowed to the information system;

- - - assessment-objective - EXAMINE - AC-17(a)[2] -

establishes for each type of remote access allowed:

- - AC-17(a)[2][a] -

usage restrictions;

- - - AC-17(a)[2][b] -

configuration/connection requirements;

- - - AC-17(a)[2][c] -

implementation guidance;

- - - - assessment-objective - EXAMINE - AC-17(a)[3] -

documents for each type of remote access allowed:

- - AC-17(a)[3][a] -

usage restrictions;

- - - AC-17(a)[3][b] -

configuration/connection requirements;

- - - AC-17(a)[3][c] -

implementation guidance; and

- - - - - assessment-objective - INTERVIEW - TEST - AC-17(b) -

authorizes remote access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system configuration settings and associated documentation

-

remote access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing remote access - connections

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Remote access management capability for the information system

- - - - Automated Monitoring / Control - AC-17(1) - ac-17.01 - -

The information system monitors and controls remote access methods.

- - -

Automated monitoring and control of remote access sessions allows organizations to - detect cyber attacks and also ensure ongoing compliance with remote access - policies by auditing connection activities of remote users on a variety of - information system components (e.g., servers, workstations, notebook computers, - smart phones, and tablets).

- AU-2 - AU-12 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system monitors and controls remote access methods. -

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system monitoring records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms monitoring and controlling remote access methods

- - - - - Protection of Confidentiality / Integrity Using Encryption - AC-17(2) - ac-17.02 - -

The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of remote access sessions.

- - -

The encryption strength of mechanism is selected based on the security - categorization of the information.

- SC-8 - SC-12 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements cryptographic mechanisms to protect - the confidentiality and integrity of remote access sessions.

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Cryptographic mechanisms protecting confidentiality and integrity of remote - access sessions

- - - - - Managed Access Control Points - - - - AC-17(3) - ac-17.03 - -

The information system routes all remote accesses through managed network access control points.

- - -

Limiting the number of access control points for remote accesses reduces the - attack surface for organizations. Organizations consider the Trusted Internet - Connections (TIC) initiative requirements for external network connections.

- SC-7 - - -

Determine if:

- - assessment-objective - EXAMINE - AC-17(3)[1] -

the organization defines the number of managed network access control points - through which all remote accesses are to be routed; and

- - - assessment-objective - INTERVIEW - TEST - AC-17(3)[2] -

the information system routes all remote accesses through the - organization-defined number of managed network access control points.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

list of all managed network access control points

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms routing all remote accesses through managed network access - control points

- - - - - Privileged Commands / Access - - - - AC-17(4) - ac-17.04 - -

The organization:

- - (a) -

Authorizes the execution of privileged commands and access to security-relevant - information via remote access only for ; - and

- - - (b) -

Documents the rationale for such access in the security plan for the - information system.

- - - - AC-6 - - -

Determine if the organization:

- - AC-17(4)(a) - - assessment-objective - EXAMINE - AC-17(4)(a)[1] -

defines needs to authorize the execution of privileged commands and access - to security-relevant information via remote access;

- - - assessment-objective - INTERVIEW - TEST - AC-17(4)(a)[2] -

authorizes the execution of privileged commands and access to - security-relevant information via remote access only for - organization-defined needs; and

- - AC-17(4)(a) - - - assessment-objective - EXAMINE - AC-17(4)(b) -

documents the rationale for such access in the information system security - plan.

- AC-17(4)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system configuration settings and associated documentation

-

security plan

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing remote access management

- - - - - Disconnect / Disable Access - - - fifteen (15) minutes - - - AC-17(9) - ac-17.09 - -

The organization provides the capability to expeditiously disconnect or disable - remote access to the information system within .

- - -

This control enhancement requires organizations to have the capability to rapidly - disconnect current users remotely accessing the information system and/or disable - further remote access. The speed of disconnect or disablement varies based on the - criticality of missions/business functions and the need to eliminate immediate or - future remote access to organizational information systems.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-17(9)[1] -

defines the time period within which to expeditiously disconnect or disable - remote access to the information system; and

- - - assessment-objective - INTERVIEW - TEST - AC-17(9)[2] -

provides the capability to expeditiously disconnect or disable remote access to - the information system within the organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing disconnecting or disabling remote access to the - information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan, information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing capability to disconnect or disable remote - access to information system

- - - - - - Wireless Access - - AC-18 - ac-18 - NIST Special Publication 800-48 - NIST Special Publication 800-94 - NIST Special Publication 800-97 - -

The organization:

- - a. -

Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and

- - - b. -

Authorizes wireless access to the information system prior to allowing such - connections.

- - - -

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication.

- AC-2 - AC-3 - AC-17 - AC-19 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - PL-4 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-18(a) -

establishes for wireless access:

- - AC-18(a)[1] -

usage restrictions;

- - - AC-18(a)[2] -

configuration/connection requirement;

- - - AC-18(a)[3] -

implementation guidance; and

- - - - assessment-objective - INTERVIEW - TEST - AC-18(b) -

authorizes wireless access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

wireless access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing wireless access - connections

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access management capability for the information system

- - - - Authentication and Encryption - - AC-18(1) - ac-18.01 - -

The information system protects wireless access to the system using authentication - of and encryption.

- - - SC-8 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system protects wireless access to the system using - encryption and one or more of the following:

- - AC-18(1)[1] -

authentication of users; and/or

- - - AC-18(1)[2] -

authentication of devices.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing wireless access protections to the - information system

- - - - - Disable Wireless Networking - AC-18(3) - ac-18.03 - -

The organization disables, when not intended for use, wireless networking - capabilities internally embedded within information system components prior to - issuance and deployment.

- - - AC-19 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization disables, when not intended for use, wireless - networking capabilities internally embedded within information system components - prior to issuance and deployment.

- - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms managing the disabling of wireless networking capabilities - internally embedded within information system components

- - - - - Restrict Configurations by Users - AC-18(4) - ac-18.04 - -

The organization identifies and explicitly authorizes users allowed to - independently configure wireless networking capabilities.

- - -

Organizational authorizations to allow selected users to configure wireless - networking capability are enforced in part, by the access enforcement mechanisms - employed within organizational information systems.

- AC-3 - SC-15 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-18(4)[1] -

identifies users allowed to independently configure wireless networking - capabilities; and

- - - assessment-objective - INTERVIEW - TEST - AC-18(4)[2] -

explicitly authorizes the identified users allowed to independently configure - wireless networking capabilities.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms authorizing independent user configuration of wireless - networking capabilities

- - - - - Antennas / Transmission Power Levels - AC-18(5) - ac-18.05 - -

The organization selects radio antennas and calibrates transmission power levels - to reduce the probability that usable signals can be received outside of - organization-controlled boundaries.

- - -

Actions that may be taken by organizations to limit unauthorized use of wireless - communications outside of organization-controlled boundaries include, for example: - (i) reducing the power of wireless transmissions so that the transmissions are - less likely to emit a signal that can be used by adversaries outside of the - physical perimeters of organizations; (ii) employing measures such as TEMPEST to - control wireless emanations; and (iii) using directional/beam forming antennas - that reduce the likelihood that unintended receivers will be able to intercept - signals. Prior to taking such actions, organizations can conduct periodic wireless - surveys to understand the radio frequency profile of organizational information - systems as well as other systems that may be operating in the area.

- PE-19 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - AC-18(5)[1] -

selects radio antennas to reduce the probability that usable signals can be - received outside of organization-controlled boundaries; and

- - - assessment-objective - INTERVIEW - TEST - AC-18(5)[2] -

calibrates transmission power levels to reduce the probability that usable - signals can be received outside of organization-controlled boundaries.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access capability protecting usable signals from unauthorized access - outside organization-controlled boundaries

- - - - - - Access Control for Mobile Devices - - AC-19 - ac-19 - OMB Memorandum 06-16 - NIST Special Publication 800-114 - NIST Special Publication 800-124 - NIST Special Publication 800-164 - -

The organization:

- - a. -

Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and

- - - b. -

Authorizes the connection of mobile devices to organizational information - systems.

- - - -

A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled.

- AC-3 - AC-7 - AC-18 - AC-20 - CA-9 - CM-2 - IA-2 - IA-3 - MP-2 - MP-4 - MP-5 - PL-4 - SC-7 - SC-43 - SI-3 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-19(a) -

establishes for organization-controlled mobile devices:

- - AC-19(a)[1] -

usage restrictions;

- - - AC-19(a)[2] -

configuration/connection requirement;

- - - AC-19(a)[3] -

implementation guidance; and

- - - - assessment-objective - INTERVIEW - TEST - AC-19(b) -

authorizes the connection of mobile devices to organizational information - systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile device usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

authorizations for mobile device connections to organizational information - systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel using mobile devices to access organizational information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Access control capability authorizing mobile device connections to organizational - information systems

- - - - Full Device / Container-based Encryption - - - - - - AC-19(5) - ac-19.05 - -

The organization employs to protect the - confidentiality and integrity of information on .

- - -

Container-based encryption provides a more fine-grained approach to the encryption - of data/information on mobile devices, including for example, encrypting selected - data structures such as files, records, or fields.

- MP-5 - SC-13 - SC-28 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-19(5)[1] -

defines mobile devices for which full-device encryption or container encryption - is required to protect the confidentiality and integrity of information on such - devices; and

- - - assessment-objective - INTERVIEW - TEST - AC-19(5)[2] -

employs full-device encryption or container encryption to protect the - confidentiality and integrity of information on organization-defined mobile - devices.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile devices

-

information system design documentation

-

information system configuration settings and associated documentation

-

encryption mechanism s and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities for mobile - devices

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Encryption mechanisms protecting confidentiality and integrity of information - on mobile devices

- - - - - - Use of External Information Systems - AC-20 - ac-20 - FIPS Publication 199 - -

The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - a. -

Access the information system from external information systems; and

- - - b. -

Process, store, or transmit organization-controlled information using external - information systems.

- - - -

External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems.

- AC-3 - AC-17 - AC-19 - CA-3 - PL-4 - SA-9 - - -

Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - AC-20(a) -

access the information system from the external information systems; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - AC-20(b) -

process, store, or transmit organization-controlled information using external - information systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

external information systems terms and conditions

-

list of types of applications accessible from external information systems

-

maximum security categorization for information processed, stored, or transmitted - on external information systems

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing terms and conditions on use of external - information systems

- - - - Limits On Authorized Use - AC-20(1) - ac-20.01 - -

The organization permits authorized individuals to use an external information - system to access the information system or to process, store, or transmit - organization-controlled information only when the organization:

- - (a) -

Verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or

- - - (b) -

Retains approved information system connection or processing agreements with - the organizational entity hosting the external information system.

- - - -

This control enhancement recognizes that there are circumstances where individuals - using external information systems (e.g., contractors, coalition partners) need to - access organizational information systems. In those situations, organizations need - confidence that the external information systems contain the necessary security - safeguards (i.e., security controls), so as not to compromise, damage, or - otherwise harm organizational information systems. Verification that the required - security controls have been implemented can be achieved, for example, by - third-party, independent assessments, attestations, or other means, depending on - the confidence level required by organizations.

- CA-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization permits authorized individuals to use an external - information system to access the information system or to process, store, or - transmit organization-controlled information only when the organization:

- - AC-20(1)(a) -

verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or

- AC-20(1)(a) - - - AC-20(1)(b) -

retains approved information system connection or processing agreements with - the organizational entity hosting the external information system.

- AC-20(1)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system connection or processing agreements

-

account management documents

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing limits on use of external information - systems

- - - - - Portable Storage Devices - - AC-20(2) - ac-20.02 - -

The organization the use of - organization-controlled portable storage devices by authorized individuals on - external information systems.

- - -

Limits on the use of organization-controlled portable storage devices in external - information systems include, for example, complete prohibition of the use of such - devices or restrictions on how the devices may be used and under what conditions - the devices may be used.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization restricts or prohibits the use of - organization-controlled portable storage devices by authorized individuals on - external information systems.

- - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system configuration settings and associated documentation

-

information system connection or processing agreements

-

account management documents

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for restricting or prohibiting - use of organization-controlled storage devices on external information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on use of portable storage - devices

- - - - - - Information Sharing - - - - - - - AC-21 - ac-21 - -

The organization:

- - a. -

Facilitates information sharing by enabling authorized users to determine whether - access authorizations assigned to the sharing partner match the access - restrictions on the information for ; and

- - - b. -

Employs to assist users in making information - sharing/collaboration decisions.

- - - -

This control applies to information that may be restricted in some manner (e.g., - privileged medical information, contract-sensitive information, proprietary - information, personally identifiable information, classified information related to - special access programs or compartments) based on some formal or administrative - determination. Depending on the particular information-sharing circumstances, sharing - partners may be defined at the individual, group, or organizational level. - Information may be defined by content, type, security category, or special access - program/compartment.

- AC-3 - - -

Determine if the organization:

- - AC-21(a) - - assessment-objective - EXAMINE - AC-21(a)[1] -

defines information sharing circumstances where user discretion is - required;

- - - assessment-objective - INTERVIEW - TEST - AC-21(a)[2] -

facilitates information sharing by enabling authorized users to determine - whether access authorizations assigned to the sharing partner match the access - restrictions on the information for organization-defined information sharing - circumstances;

- - - - AC-21(b) - - assessment-objective - EXAMINE - AC-21(b)[1] -

defines automated mechanisms or manual processes to be employed to assist users - in making information sharing/collaboration decisions; and

- - - assessment-objective - INTERVIEW - TEST - AC-21(b)[2] -

employs organization-defined automated mechanisms or manual processes to assist - users in making information sharing/collaboration decisions.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing user-based collaboration and information sharing (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of users authorized to make information sharing/collaboration decisions

-

list of information sharing circumstances requiring user discretion

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel responsible for making information sharing/collaboration - decisions

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms or manual process implementing access authorizations - supporting information sharing/user collaboration decisions

- - - - - Publicly Accessible Content - - - at least quarterly - - - AC-22 - ac-22 - -

The organization:

- - a. -

Designates individuals authorized to post information onto a publicly accessible - information system;

- - - b. -

Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - c. -

Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and

- - - d. -

Reviews the content on the publicly accessible information system for nonpublic - information and removes such information, if - discovered.

- - - -

In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy.

- AC-3 - AC-4 - AT-2 - AT-3 - AU-13 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-22(a) -

designates individuals authorized to post information onto a publicly accessible - information system;

- - - assessment-objective - INTERVIEW - TEST - AC-22(b) -

trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - assessment-objective - INTERVIEW - TEST - AC-22(c) -

reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included;

- - - AC-22(d) - - assessment-objective - EXAMINE - AC-22(d)[1] -

defines the frequency to review the content on the publicly accessible - information system for nonpublic information;

- - - assessment-objective - INTERVIEW - TEST - AC-22(d)[2] -

reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - AC-22(d)[3] -

removes nonpublic information from the publicly accessible information system, - if discovered.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing publicly accessible content

-

list of users authorized to post publicly accessible content on organizational - information systems

-

training materials and/or records

-

records of publicly accessible information reviews

-

records of response to nonpublic information on public websites

-

system audit logs

-

security awareness training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of publicly accessible content

- - - - - - Awareness and Training - - Security Awareness and Training Policy and Procedures - - - - - - at least annually or whenever a significant change occurs - - - - at least annually or whenever a significant change occurs - - - AT-1 - at-01 - NIST Special Publication 800-12 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security awareness and training policy ; and

- - - 2. -

Security awareness and training procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AT-1(a) - - AT-1(a)(1) - - assessment-objective - EXAMINE - AT-1(a)(1)[1] -

develops and documents an security awareness and training policy that - addresses:

- - AT-1(a)(1)[1][a] -

purpose;

- - - AT-1(a)(1)[1][b] -

scope;

- - - AT-1(a)(1)[1][c] -

roles;

- - - AT-1(a)(1)[1][d] -

responsibilities;

- - - AT-1(a)(1)[1][e] -

management commitment;

- - - AT-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AT-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AT-1(a)(1)[2] -

defines personnel or roles to whom the security awareness and training - policy are to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-1(a)(1)[3] -

disseminates the security awareness and training policy to - organization-defined personnel or roles;

- - - - AT-1(a)(2) - - assessment-objective - EXAMINE - AT-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls;

- - - assessment-objective - EXAMINE - AT-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AT-1(b) - - AT-1(b)(1) - - assessment-objective - EXAMINE - AT-1(b)(1)[1] -

defines the frequency to review and update the current security awareness - and training policy;

- - - assessment-objective - EXAMINE - AT-1(b)(1)[2] -

reviews and updates the current security awareness and training policy with - the organization-defined frequency;

- - - - AT-1(b)(2) - - assessment-objective - EXAMINE - AT-1(b)(2)[1] -

defines the frequency to review and update the current security awareness - and training procedures; and

- - - assessment-objective - EXAMINE - AT-1(b)(2)[2] -

reviews and updates the current security awareness and training procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Security awareness and training policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security awareness and training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Awareness Training - - - at least annually - - - AT-2 - at-02 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - Executive Order 13587 - NIST Special Publication 800-50 - -

The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors):

- - a. -

As part of initial training for new users;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events.

- AT-3 - AT-4 - PL-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - AT-2(a) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-2(b) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and

- - - AT-2(c) - - assessment-objective - EXAMINE - AT-2(c)[1] -

defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and

- - - assessment-objective - INTERVIEW - TEST - AT-2(c)[2] -

provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

appropriate codes of federal regulations

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for security awareness training

-

organizational personnel with information security responsibilities

-

organizational personnel comprising the general information system user - community

- - - - TEST - -

Automated mechanisms managing security awareness training

- - - - Insider Threat - AT-2(2) - at-02.02 - -

The organization includes security awareness training on recognizing and reporting - potential indicators of insider threat.

- - -

Potential indicators and possible precursors of insider threat can include - behaviors such as inordinate, long-term job dissatisfaction, attempts to gain - access to information not required for job performance, unexplained access to - financial resources, bullying or sexual harassment of fellow employees, workplace - violence, and other serious violations of organizational policies, procedures, - directives, rules, or practices. Security awareness training includes how to - communicate employee and management concerns regarding potential indicators of - insider threat through appropriate organizational channels in accordance with - established organizational policies and procedures.

- PL-4 - PM-12 - PS-3 - PS-6 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization includes security awareness training on recognizing - and reporting potential indicators of insider threat.

- - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel that participate in security awareness training

-

organizational personnel with responsibilities for basic security awareness - training

-

organizational personnel with information security responsibilities

- - - - - - Role-based Security Training - - - at least annually - - - AT-3 - at-03 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides role-based security training to personnel with assigned - security roles and responsibilities:

- - a. -

Before authorizing access to the information system or performing assigned - duties;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies.

- AT-2 - AT-4 - PL-4 - PS-7 - SA-3 - SA-12 - SA-16 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - AT-3(a) -

provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-3(b) -

provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and

- - - AT-3(c) - - assessment-objective - EXAMINE - AT-3(c)[1] -

defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and

- - - assessment-objective - INTERVIEW - TEST - AT-3(c)[2] -

provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

codes of federal regulations

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with assigned information system security roles and - responsibilities

- - - - TEST - -

Automated mechanisms managing role-based security training

- - - - Practical Exercises - AT-3(3) - at-03.03 - -

The organization includes practical exercises in security training that reinforce - training objectives.

- - -

Practical exercises may include, for example, security training for software - developers that includes simulated cyber attacks exploiting common software - vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted - at senior leaders/executives. These types of practical exercises help developers - better understand the effects of such vulnerabilities and appreciate the need for - security coding standards and processes.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization includes practical exercises in security training - that reinforce training objectives.

- - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel that participate in security awareness training

- - - - - Suspicious Communications and Anomalous System Behavior - - - malicious code indicators as defined by organization incident policy/capability. - - AT-3(4) - at-03.04 - -

The organization provides training to its personnel on to recognize suspicious communications and anomalous - behavior in organizational information systems.

- - -

A well-trained workforce provides another organizational safeguard that can be - employed as part of a defense-in-depth strategy to protect organizations against - malicious code coming in to organizations via email or the web applications. - Personnel are trained to look for indications of potentially suspicious email - (e.g., receiving an unexpected email, receiving an email containing strange or - poor grammar, or receiving an email from an unfamiliar sender but who appears to - be from a known sponsor or contractor). Personnel are also trained on how to - respond to such suspicious email or web communications (e.g., not opening - attachments, not clicking on embedded web links, and checking the source of email - addresses). For this process to work effectively, all organizational personnel are - trained and made aware of what constitutes suspicious communications. Training - personnel on how to recognize anomalous behaviors in organizational information - systems can potentially provide early warning for the presence of malicious code. - Recognition of such anomalous behavior by organizational personnel can supplement - automated malicious code detection and protection tools and systems employed by - organizations.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - AT-3(4)[1] -

defines indicators of malicious code; and

- - - assessment-objective - EXAMINE - INTERVIEW - AT-3(4)[2] -

provides training to its personnel on organization-defined indicators of - malicious code to recognize suspicious communications and anomalous behavior in - organizational information systems.

- - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel that participate in security awareness training

- - - - - - Security Training Records - - - five (5) years or 5 years after completion of a specific training program - - - AT-4 - at-04 - -

The organization:

- - a. -

Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and

- - - b. -

Retains individual training records for .

- - - -

Documentation for specialized training may be maintained by individual supervisors at - the option of the organization.

- AT-2 - AT-3 - PM-14 - - -

Determine if the organization:

- - AT-4(a) - - assessment-objective - EXAMINE - AT-4(a)[1] -

documents individual information system security training activities - including:

- - AT-4(a)[1][a] -

basic security awareness training;

- - - AT-4(a)[1][b] -

specific role-based information system security training;

- - - - assessment-objective - INTERVIEW - TEST - AT-4(a)[2] -

monitors individual information system security training activities - including:

- - AT-4(a)[2][a] -

basic security awareness training;

- - - AT-4(a)[2][b] -

specific role-based information system security training;

- - - - - AT-4(b) - - assessment-objective - EXAMINE - AT-4(b)[1] -

defines a time period to retain individual training records; and

- - - assessment-objective - INTERVIEW - TEST - AT-4(b)[2] -

retains individual training records for the organization-defined time - period.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training records

-

security awareness and training records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security training record retention - responsibilities

- - - - TEST - -

Automated mechanisms supporting management of security training records

- - - - - - Audit and Accountability - - Audit and Accountability Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - AU-1 - au-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Audit and accountability policy ; and

- - - 2. -

Audit and accountability procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AU-1(a) - - AU-1(a)(1) - - assessment-objective - EXAMINE - AU-1(a)(1)[1] -

develops and documents an audit and accountability policy that - addresses:

- - AU-1(a)(1)[1][a] -

purpose;

- - - AU-1(a)(1)[1][b] -

scope;

- - - AU-1(a)(1)[1][c] -

roles;

- - - AU-1(a)(1)[1][d] -

responsibilities;

- - - AU-1(a)(1)[1][e] -

management commitment;

- - - AU-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AU-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AU-1(a)(1)[2] -

defines personnel or roles to whom the audit and accountability policy are - to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-1(a)(1)[3] -

disseminates the audit and accountability policy to organization-defined - personnel or roles;

- - - - AU-1(a)(2) - - assessment-objective - EXAMINE - AU-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls;

- - - assessment-objective - EXAMINE - AU-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AU-1(b) - - AU-1(b)(1) - - assessment-objective - EXAMINE - AU-1(b)(1)[1] -

defines the frequency to review and update the current audit and - accountability policy;

- - - assessment-objective - EXAMINE - AU-1(b)(1)[2] -

reviews and updates the current audit and accountability policy with the - organization-defined frequency;

- - - - AU-1(b)(2) - - assessment-objective - EXAMINE - AU-1(b)(2)[1] -

defines the frequency to review and update the current audit and - accountability procedures; and

- - - assessment-objective - EXAMINE - AU-1(b)(2)[2] -

reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency.

- - - - - - EXAMINE - -

Audit and accountability policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - - Audit Events - - - successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - - organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event - - - AU-2 - au-02 - NIST Special Publication 800-92 - http://idmanagement.gov - -

The organization:

- - a. -

Determines that the information system is capable of auditing the following - events: ;

- - - b. -

Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - c. -

Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and

- - - d. -

Determines that the following events are to be audited within the information - system: .

- - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - -

An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures.

- AC-6 - AC-17 - AU-3 - AU-12 - MA-4 - MP-2 - MP-4 - SI-4 - - -

Determine if the organization:

- - AU-2(a) - - assessment-objective - EXAMINE - AU-2(a)[1] -

defines the auditable events that the information system must be capable of - auditing;

- - - assessment-objective - INTERVIEW - TEST - AU-2(a)[2] -

determines that the information system is capable of auditing - organization-defined auditable events;

- - - - assessment-objective - EXAMINE - INTERVIEW - AU-2(b) -

coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - assessment-objective - EXAMINE - AU-2(c) -

provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents;

- - - AU-2(d) - - assessment-objective - EXAMINE - AU-2(d)[1] -

defines the subset of auditable events defined in AU-2a that are to be audited - within the information system;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-2(d)[2] -

determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and

- - - assessment-objective - EXAMINE - INTERVIEW - AU-2(d)[3] -

determines the frequency of (or situation requiring) auditing for each - identified event.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system auditable events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing

- - - - Reviews and Updates - - - annually or whenever there is a change in the threat environment - - - AU-2(3) - au-02.03 - -

The organization reviews and updates the audited events .

- - AU-2 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

- - - - -

Over time, the events that organizations believe should be audited may change. - Reviewing and updating the set of audited events periodically is necessary to - ensure that the current set is still necessary and sufficient.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - AU-2(3)[1] -

defines the frequency to review and update the audited events; and

- - - assessment-objective - INTERVIEW - TEST - AU-2(3)[2] -

reviews and updates the auditable events with organization-defined - frequency.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

list of organization-defined auditable events

-

auditable events review and update records

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting review and update of auditable events

- - - - - - Content of Audit Records - AU-3 - au-03 - -

The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event.

- - -

Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred).

- AU-2 - AU-8 - AU-12 - SI-11 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system generates audit records containing information - that establishes:

- - AU-3[1] -

what type of event occurred;

- - - AU-3[2] -

when the event occurred;

- - - AU-3[3] -

where the event occurred;

- - - AU-3[4] -

the source of the event;

- - - AU-3[5] -

the outcome of the event; and

- - - AU-3[6] -

the identity of any individuals or subjects associated with the event.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing of auditable - events

- - - - Additional Audit Information - - - session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands - - AU-3(1) - au-03.01 - -

The information system generates audit records containing the following additional - information: .

- - AU-3 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines audit record types [FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]. The audit record types are approved and accepted by the JAB/AO.

- - - Guidance: -

For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

- - - - -

Detailed information that organizations may consider in audit records includes, - for example, full text recording of privileged commands or the individual - identities of group account users. Organizations consider limiting the additional - audit information to only that information explicitly needed for specific audit - requirements. This facilitates the use of audit trails and audit logs by not - including information that could potentially be misleading or could make it more - difficult to locate information of interest.

- - -

Determine if:

- - assessment-objective - EXAMINE - AU-3(1)[1] -

the organization defines additional, more detailed information to be contained - in audit records that the information system generates; and

- - - assessment-objective - INTERVIEW - TEST - AU-3(1)[2] -

the information system generates audit records containing the - organization-defined additional, more detailed information.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system audit capability

- - - - - Centralized Management of Planned Audit Record Content - - - all network, data storage, and computing devices - - AU-3(2) - au-03.02 - -

The information system provides centralized management and configuration of the - content to be captured in audit records generated by .

- - -

This control enhancement requires that the content to be captured in audit records - be configured from a central location (necessitating automation). Organizations - coordinate the selection of required audit content to support the centralized - management and configuration capability provided by the information system.

- AU-6 - AU-7 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-3(2)[1] -

the organization defines information system components that generate audit - records whose content is to be centrally managed and configured by the - information system; and

- - - assessment-objective - INTERVIEW - TEST - AU-3(2)[2] -

the information system provides centralized management and configuration of the - content to be captured in audit records generated by the organization-defined - information system components.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system capability implementing centralized management and - configuration of audit record content

- - - - - - Audit Storage Capacity - - - - AU-4 - au-04 - -

The organization allocates audit record storage capacity in accordance with .

- - -

Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability.

- AU-2 - AU-5 - AU-6 - AU-7 - AU-11 - SI-4 - - -

Determine if the organization:

- - AU-4[1] -

defines audit record storage requirements; and

- - - assessment-objective - INTERVIEW - TEST - AU-4[2] -

allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit storage capacity

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit record storage requirements

-

audit record storage capability for information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Audit record storage capacity and related configuration settings

- - - - - Response to Audit Processing Failures - - - - - - organization-defined actions to be taken (overwrite oldest record) - - AU-5 - au-05 - -

The information system:

- - a. -

Alerts in the event of an audit processing - failure; and

- - - b. -

Takes the following additional actions: .

- - - -

Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both.

- AU-4 - SI-12 - - -

Determine if:

- - AU-5(a) - - assessment-objective - EXAMINE - AU-5(a)[1] -

the organization defines the personnel or roles to be alerted in the event of - an audit processing failure;

- - - assessment-objective - INTERVIEW - TEST - AU-5(a)[2] -

the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure;

- - - - AU-5(b) - - assessment-objective - EXAMINE - AU-5(b)[1] -

the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and

- - - assessment-objective - INTERVIEW - TEST - AU-5(b)[2] -

the information system takes the additional organization-defined actions in the - event of an audit processing failure.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

list of personnel to be notified in case of an audit processing failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing information system response to audit processing - failures

- - - - Audit Storage Capacity - - - - - - - - - - AU-5(1) - au-05.01 - -

The information system provides a warning to - within when allocated audit record storage - volume reaches of repository maximum audit - record storage capacity.

- - -

Organizations may have multiple audit data storage repositories distributed across - multiple information system components, with each repository having different - storage volume capacities.

- - -

Determine if:

- - assessment-objective - EXAMINE - AU-5(1)[1] -

the organization defines:

- - AU-5(1)[1][a] -

personnel to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity;

- - - AU-5(1)[1][b] -

roles to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity; and/or

- - - AU-5(1)[1][c] -

locations to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity;

- - - - assessment-objective - EXAMINE - AU-5(1)[2] -

the organization defines the time period within which the information system is - to provide a warning to the organization-defined personnel, roles, and/or - locations when allocated audit record storage volume reaches the - organization-defined percentage of repository maximum audit record storage - capacity;

- - - assessment-objective - EXAMINE - AU-5(1)[3] -

the organization defines the percentage of repository maximum audit record - storage capacity that, if reached, requires a warning to be provided; and

- - - assessment-objective - INTERVIEW - TEST - AU-5(1)[4] -

the information system provides a warning to the organization-defined - personnel, roles, and/or locations within the organization-defined time period - when allocated audit record storage volume reaches the organization-defined - percentage of repository maximum audit record storage capacity.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit storage limit warnings

- - - - - Real-time Alerts - - - real-time - - - - service provider personnel with authority to address failed audit events - - - - audit failure events requiring real-time alerts, as defined by organization audit policy - - AU-5(2) - au-05.02 - -

The information system provides an alert in to - when the following audit failure events - occur: .

- - -

Alerts provide organizations with urgent messages. Real-time alerts provide these - messages at information technology speed (i.e., the time from event detection to - alert occurs in seconds or less).

- - -

Determine if:

- - assessment-objective - EXAMINE - AU-5(2)[1] -

the organization defines audit failure events requiring real-time alerts;

- - - assessment-objective - EXAMINE - AU-5(2)[2] -

the organization defines:

- - AU-5(2)[2][a] -

personnel to be alerted when organization-defined audit failure events - requiring real-time alerts occur;

- - - AU-5(2)[2][b] -

roles to be alerted when organization-defined audit failure events requiring - real-time alerts occur; and/or

- - - AU-5(2)[2][c] -

locations to be alerted when organization-defined audit failure events - requiring real-time alerts occur;

- - - - assessment-objective - EXAMINE - AU-5(2)[3] -

the organization defines the real-time period within which the information - system is to provide an alert to the organization-defined personnel, roles, - and/or locations when the organization-defined audit failure events requiring - real-time alerts occur; and

- - - assessment-objective - INTERVIEW - TEST - AU-5(2)[4] -

the information system provides an alert within the organization-defined - real-time period to the organization-defined personnel, roles, and/or locations - when organization-defined audit failure events requiring real-time alerts - occur.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

records of notifications or real-time alerts when audit processing failures - occur

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing real-time audit alerts when - organization-defined audit failure events occur

- - - - - - Audit Review, Analysis, and Reporting - - - at least weekly - - - - - - - - - AU-6 - au-06 - -

The organization:

- - a. -

Reviews and analyzes information system audit records for indications of ; - and

- - - b. -

Reports findings to .

- - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority.

- AC-2 - AC-3 - AC-6 - AC-17 - AT-3 - AU-7 - AU-16 - CA-7 - CM-5 - CM-10 - CM-11 - IA-3 - IA-5 - IR-5 - IR-6 - MA-4 - MP-4 - PE-3 - PE-6 - PE-14 - PE-16 - RA-5 - SC-7 - SC-18 - SC-19 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - AU-6(a) - - assessment-objective - EXAMINE - AU-6(a)[1] -

defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed;

- - - assessment-objective - EXAMINE - AU-6(a)[2] -

defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-6(a)[3] -

reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency;

- - - - AU-6(b) - - assessment-objective - EXAMINE - AU-6(b)[1] -

defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and

- - - assessment-objective - EXAMINE - INTERVIEW - AU-6(b)[2] -

reports findings to organization-defined personnel or roles.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

reports of audit findings

-

records of actions taken in response to reviews/analyses of audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - Process Integration - AU-6(1) - au-06.01 - -

The organization employs automated mechanisms to integrate audit review, analysis, - and reporting processes to support organizational processes for investigation and - response to suspicious activities.

- - -

Organizational processes benefiting from integrated audit review, analysis, and - reporting include, for example, incident response, continuous monitoring, - contingency planning, and Inspector General audits.

- AU-12 - PM-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - AU-6(1)[1] -

employs automated mechanisms to integrate:

- - AU-6(1)[1][a] -

audit review;

- - - AU-6(1)[1][b] -

analysis;

- - - AU-6(1)[1][c] -

reporting processes;

- - - - assessment-objective - EXAMINE - INTERVIEW - AU-6(1)[2] -

uses integrated audit review, analysis and reporting processes to support - organizational processes for:

- - AU-6(1)[2][a] -

investigation of suspicious activities; and

- - - AU-6(1)[2][b] -

response to suspicious activities.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

procedures addressing investigation and response to suspicious activities

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms integrating audit review, analysis, and reporting - processes

- - - - - Correlate Audit Repositories - AU-6(3) - au-06.03 - -

The organization analyzes and correlates audit records across different - repositories to gain organization-wide situational awareness.

- - -

Organization-wide situational awareness includes awareness across all three tiers - of risk management (i.e., organizational, mission/business process, and - information system) and supports cross-organization awareness.

- AU-12 - IR-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization analyzes and correlates audit records across - different repositories to gain organization-wide situational awareness.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records across different repositories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting analysis and correlation of audit records

- - - - - Central Review and Analysis - AU-6(4) - au-06.04 - -

The information system provides the capability to centrally review and analyze - audit records from multiple components within the system.

- - -

Automated mechanisms for centralized reviews and analyses include, for example, - Security Information Management products.

- AU-2 - AU-12 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system provides the capability to centrally review - and analyze audit records from multiple components within the system.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system capability to centralize review and analysis of audit - records

- - - - - Integration / Scanning and Monitoring Capabilities - - - - Possibly to include penetration test data. - - AU-6(5) - au-06.05 - -

The organization integrates analysis of audit records with analysis of to further enhance the ability to identify - inappropriate or unusual activity.

- - -

This control enhancement does not require vulnerability scanning, the generation - of performance data, or information system monitoring. Rather, the enhancement - requires that the analysis of information being otherwise produced in these areas - is integrated with the analysis of audit information. Security Event and - Information Management System tools can facilitate audit record - aggregation/consolidation from multiple information system components as well as - audit record correlation and analysis. The use of standardized audit record - analysis scripts developed by organizations (with localized script adjustments, as - necessary) provides more cost-effective approaches for analyzing audit record - information collected. The correlation of audit record information with - vulnerability scanning information is important in determining the veracity of - vulnerability scans and correlating attack detection events with scanning results. - Correlation with performance data can help uncover denial of service attacks or - cyber attacks resulting in unauthorized use of resources. Correlation with system - monitoring information can assist in uncovering attacks and in better relating - audit information to operational situations.

- AU-12 - IR-4 - RA-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AU-6(5)[1] -

defines data/information to be collected from other sources;

- - - assessment-objective - INTERVIEW - TEST - AU-6(5)[2] -

selects sources of data/information to be analyzed and integrated with the - analysis of audit records from one or more of the following:

- - AU-6(5)[2][a] -

vulnerability scanning information;

- - - AU-6(5)[2][b] -

performance data;

- - - AU-6(5)[2][c] -

information system monitoring information; and/or

- - - AU-6(5)[2][d] -

organization-defined data/information collected from other sources; and

- - - - assessment-objective - INTERVIEW - TEST - AU-6(5)[3] -

integrates the analysis of audit records with the analysis of selected - data/information to further enhance the ability to identify inappropriate or - unusual activity.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrated analysis of audit records, vulnerability scanning information, - performance data, network monitoring information and associated - documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing capability to integrate analysis of audit - records with analysis of data/information sources

- - - - - Correlation with Physical Monitoring - AU-6(6) - au-06.06 - -

The organization correlates information from audit records with information - obtained from monitoring physical access to further enhance the ability to - identify suspicious, inappropriate, unusual, or malevolent activity.

- - AU-6 (6) Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - -

The correlation of physical audit information and audit logs from information - systems may assist organizations in identifying examples of suspicious behavior or - supporting evidence of such behavior. For example, the correlation of an - individual’s identity for logical access to certain information systems with the - additional physical security information that the individual was actually present - at the facility when the logical access occurred, may prove to be useful in - investigations.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization correlates information from audit records with - information obtained from monitoring physical access to enhance the ability to - identify suspicious, inappropriate, unusual, or malevolent activity.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

procedures addressing physical access monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation providing evidence of correlated information obtained from audit - records and physical access monitoring records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with physical access monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing capability to correlate information from - audit records with information from monitoring physical access

- - - - - Permitted Actions - - information system process; role; user - - AU-6(7) - au-06.07 - -

The organization specifies the permitted actions for each associated with the review, analysis, and reporting - of audit information.

- - -

Organizations specify permitted actions for information system processes, roles, - and/or users associated with the review, analysis, and reporting of audit records - through account management techniques. Specifying permitted actions on audit - information is a way to enforce the principle of least privilege. Permitted - actions are enforced by the information system and include, for example, read, - write, execute, append, and delete.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization specifies the permitted actions for each one or more - of the following associated with the review, analysis and reporting of audit - information:

- - AU-6(7)[1] -

information system process;

- - - AU-6(7)[2] -

role; and/or

- - - AU-6(7)[3] -

user.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing process, role and/or user permitted actions from audit - review, analysis, and reporting

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting permitted actions for review, analysis, and - reporting of audit information

- - - - - Audit Level Adjustment - AU-6(10) - au-06.10 - -

The organization adjusts the level of audit review, analysis, and reporting within - the information system when there is a change in risk based on law enforcement - information, intelligence information, or other credible sources of - information.

- - -

The frequency, scope, and/or depth of the audit review, analysis, and reporting - may be adjusted to meet organizational needs based on new information - received.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization adjusts the level of audit review, analysis, and - reporting within the information system when there is a change in risk based - on:

- - AU-6(10)[1] -

law enforcement information;

- - - AU-6(10)[2] -

intelligence information; and/or

- - - AU-6(10)[3] -

other credible sources of information.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

organizational risk assessment

-

security control assessment

-

vulnerability assessment

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting review, analysis, and reporting of audit - information

- - - - - - Audit Reduction and Report Generation - AU-7 - au-07 - -

The information system provides an audit reduction and report generation capability - that:

- - a. -

Supports on-demand audit review, analysis, and reporting requirements and - after-the-fact investigations of security incidents; and

- - - b. -

Does not alter the original content or time ordering of audit records.

- - - -

Audit reduction is a process that manipulates collected audit information and - organizes such information in a summary format that is more meaningful to analysts. - Audit reduction and report generation capabilities do not always emanate from the - same information system or from the same organizational entities conducting auditing - activities. Audit reduction capability can include, for example, modern data mining - techniques with advanced data filters to identify anomalous behavior in audit - records. The report generation capability provided by the information system can - generate customizable reports. Time ordering of audit records can be a significant - issue if the granularity of the timestamp in the record is insufficient.

- AU-6 - - -

Determine if the information system provides an audit reduction and report generation - capability that supports:

- - assessment-objective - EXAMINE - INTERVIEW - AU-7(a) - - AU-7(a)[1] -

on-demand audit review;

- - - AU-7(a)[2] -

analysis;

- - - AU-7(a)[3] -

reporting requirements;

- - - AU-7(a)[4] -

after-the-fact investigations of security incidents; and

- - - - assessment-objective - INTERVIEW - TEST - AU-7(b) -

does not alter the original content or time ordering of audit records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Audit reduction and report generation capability

- - - - Automatic Processing - - - - AU-7(1) - au-07.01 - -

The information system provides the capability to process audit records for events - of interest based on .

- - -

Events of interest can be identified by the content of specific audit record - fields including, for example, identities of individuals, event types, event - locations, event times, event dates, system resources involved, IP addresses - involved, or information objects accessed. Organizations may define audit event - criteria to any degree of granularity required, for example, locations selectable - by general networking location (e.g., by network or subnetwork) or selectable by - specific information system component.

- AU-2 - AU-12 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-7(1)[1] -

the organization defines audit fields within audit records in order to process - audit records for events of interest; and

- - - assessment-objective - INTERVIEW - TEST - AU-7(1)[2] -

the information system provides the capability to process audit records for - events of interest based on the organization-defined audit fields within audit - records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

audit record criteria (fields) establishing events of interest

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Audit reduction and report generation capability

- - - - - - Time Stamps - - - one second granularity of time measurement - - AU-8 - au-08 - -

The information system:

- - a. -

Uses internal system clocks to generate time stamps for audit records; and

- - - b. -

Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets .

- - - -

Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities.

- AU-3 - AU-12 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - AU-8(a) -

the information system uses internal system clocks to generate time stamps for - audit records;

- - - AU-8(b) - - assessment-objective - INTERVIEW - TEST - AU-8(b)[1] -

the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

- - - assessment-objective - EXAMINE - AU-8(b)[2] -

the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and

- - - assessment-objective - INTERVIEW - TEST - AU-8(b)[3] -

the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing time stamp generation

- - - - Synchronization with Authoritative Time Source - - - At least hourly - - - - http://tf.nist.gov/tf-cgi/servers.cgi - - - - - - AU-8(1) - au-08.01 - -

The information system:

- - (a) -

Compares the internal information system clocks with ; and

- - - (b) -

Synchronizes the internal system clocks to the authoritative time source when - the time difference is greater than .

- - - AU-8 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.

- - - Requirement: -

The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.

- - - Guidance: -

Synchronization of system clocks improves the accuracy of log analysis.

- - - - -

This control enhancement provides uniformity of time stamps for information - systems with multiple system clocks and systems connected over a network.

- - -

Determine if:

- - AU-8(1)(a) - - assessment-objective - EXAMINE - AU-8(1)(a)[1] -

the organization defines the authoritative time source to which internal - information system clocks are to be compared;

- - - assessment-objective - EXAMINE - AU-8(1)(a)[2] -

the organization defines the frequency to compare the internal information - system clocks with the organization-defined authoritative time source; - and

- - - assessment-objective - INTERVIEW - TEST - AU-8(1)(a)[3] -

the information system compares the internal information system clocks with - the organization-defined authoritative time source with organization-defined - frequency; and

- - AU-8(1)(a) - - - AU-8(1)(b) - - assessment-objective - EXAMINE - AU-8(1)(b)[1] -

the organization defines the time period that, if exceeded by the time - difference between the internal system clocks and the authoritative time - source, will result in the internal system clocks being synchronized to the - authoritative time source; and

- - - assessment-objective - INTERVIEW - TEST - AU-8(1)(b)[2] -

the information system synchronizes the internal information system clocks - to the authoritative time source when the time difference is greater than - the organization-defined time period.

- - AU-8(1)(b) - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing internal information system clock - synchronization

- - - - - - Protection of Audit Information - AU-9 - au-09 - -

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

- - -

Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls.

- AC-3 - AC-6 - MP-2 - MP-4 - PE-2 - PE-3 - PE-6 - - -

Determine if:

- - AU-9[1] -

the information system protects audit information from unauthorized:

- - AU-9[1][a] -

access;

- - - AU-9[1][b] -

modification;

- - - AU-9[1][c] -

deletion;

- - - - AU-9[2] -

the information system protects audit tools from unauthorized:

- - AU-9[2][a] -

access;

- - - AU-9[2][b] -

modification; and

- - - AU-9[2][c] -

deletion.

- - - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - information system audit records

-

audit tools

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit information protection

- - - - Audit Backup On Separate Physical Systems / Components - - - at least weekly - - - AU-9(2) - au-09.02 - -

The information system backs up audit records - onto a physically different system or system component than the system or - component being audited.

- - -

This control enhancement helps to ensure that a compromise of the information - system being audited does not also result in a compromise of the audit - records.

- AU-4 - AU-5 - AU-11 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-9(2)[1] -

the organization defines the frequency to back up audit records onto a - physically different system or system component than the system or component - being audited; and

- - - assessment-objective - INTERVIEW - TEST - AU-9(2)[2] -

the information system backs up audit records with the organization-defined - frequency, onto a physically different system or system component than the - system or component being audited.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, system - or media storing backups of information system audit records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing the backing up of audit records

- - - - - Cryptographic Protection - AU-9(3) - au-09.03 - -

The information system implements cryptographic mechanisms to protect the - integrity of audit information and audit tools.

- - -

Cryptographic mechanisms used for protecting the integrity of audit information - include, for example, signed hash functions using asymmetric cryptography enabling - distribution of the public key to verify the hash information while maintaining - the confidentiality of the secret key used to generate the hash.

- AU-10 - SC-12 - SC-13 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - AU-9(3)[1] -

uses cryptographic mechanisms to protect the integrity of audit information; - and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - AU-9(3)[2] -

uses cryptographic mechanisms to protect the integrity of audit tools.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system hardware settings

-

information system configuration settings and associated documentation, - information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Cryptographic mechanisms protecting integrity of audit information and - tools

- - - - - Access by Subset of Privileged Users - - - - AU-9(4) - au-09.04 - -

The organization authorizes access to management of audit functionality to only - .

- - -

Individuals with privileged access to an information system and who are also the - subject of an audit by that system, may affect the reliability of audit - information by inhibiting audit activities or modifying audit records. This - control enhancement requires that privileged access be further defined between - audit-related privileges and other privileges, thus limiting the users with - audit-related privileges.

- AC-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AU-9(4)[1] -

defines a subset of privileged users to be authorized access to management of - audit functionality; and

- - - assessment-objective - INTERVIEW - TEST - AU-9(4)[2] -

authorizes access to management of audit functionality to only the - organization-defined subset of privileged users.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - system-generated list of privileged users with access to management of audit - functionality

-

access authorizations

-

access control list

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms managing access to audit functionality

- - - - - - Non-repudiation - - - minimum actions including the addition, modification, deletion, approval, sending, or receiving of data - - AU-10 - au-10 - -

The information system protects against an individual (or process acting on behalf of - an individual) falsely denying having performed .

- - -

Types of individual actions covered by non-repudiation include, for example, creating - information, sending and receiving messages, approving information (e.g., indicating - concurrence or signing a contract). Non-repudiation protects individuals against - later claims by: (i) authors of not having authored particular documents; (ii) - senders of not having transmitted messages; (iii) receivers of not having received - messages; or (iv) signatories of not having signed documents. Non-repudiation - services can be used to determine if information originated from a particular - individual, or if an individual took specific actions (e.g., sending an email, - signing a contract, approving a procurement request) or received specific - information. Organizations obtain non-repudiation services by employing various - techniques or mechanisms (e.g., digital signatures, digital message receipts).

- SC-12 - SC-8 - SC-13 - SC-16 - SC-17 - SC-23 - - -

Determine if:

- - AU-10[1] -

the organization defines actions to be covered by non-repudiation; and

- - - AU-10[2] -

the information system protects against an individual (or process acting on behalf - of an individual) falsely denying having performed organization-defined actions to - be covered by non-repudiation.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing non-repudiation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing non-repudiation capability

- - - - - Audit Record Retention - - - at least one (1) year - - - AU-11 - au-11 - -

The organization retains audit records for to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements.

- - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention.

- AU-4 - AU-5 - AU-9 - MP-6 - - -

Determine if the organization:

- - AU-11[1] -

defines a time period to retain audit records that is consistent with records - retention policy;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-11[2] -

retains audit records for the organization-defined time period consistent with - records retention policy to:

- - AU-11[2][a] -

provide support for after-the-fact investigations of security incidents; - and

- - - AU-11[2][b] -

meet regulatory and organizational information retention requirements.

- - - - - EXAMINE - -

Audit and accountability policy

-

audit record retention policy and procedures

-

security plan

-

organization-defined retention period for audit records

-

audit record archives

-

audit logs

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record retention responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Audit Generation - - - all information system and network components where audit capability is deployed/available - - - - - AU-12 - au-12 - -

The information system:

- - a. -

Provides audit record generation capability for the auditable events defined in - AU-2 a. at ;

- - - b. -

Allows to select which auditable events are to be - audited by specific components of the information system; and

- - - c. -

Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3.

- - - -

Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records.

- AC-3 - AU-2 - AU-3 - AU-6 - AU-7 - - -

Determine if:

- - AU-12(a) - - assessment-objective - EXAMINE - AU-12(a)[1] -

the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a;

- - - assessment-objective - INTERVIEW - TEST - AU-12(a)[2] -

the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components;

- - - - AU-12(b) - - assessment-objective - EXAMINE - AU-12(b)[1] -

the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system;

- - - assessment-objective - INTERVIEW - TEST - AU-12(b)[2] -

the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and

- - - - assessment-objective - TEST - AU-12(c) -

the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - System-wide / Time-correlated Audit Trail - - - all network, data storage, and computing devices - - - - - AU-12(1) - au-12.01 - -

The information system compiles audit records from into a system-wide (logical or physical) audit trail - that is time-correlated to within .

- - -

Audit trails are time-correlated if the time stamps in the individual audit - records can be reliably related to the time stamps in other audit records to - achieve a time ordering of the records within organizational tolerances.

- AU-8 - AU-12 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-12(1)[1] -

the organization defines the information system components from which audit - records are to be compiled into a system-wide (logical or physical) audit - trail;

- - - assessment-objective - EXAMINE - AU-12(1)[2] -

the organization defines the level of tolerance for the relationship between - time stamps of individual records in the audit trail; and

- - - assessment-objective - INTERVIEW - TEST - AU-12(1)[3] -

the information system compiles audit records from organization-defined - information system components into a system-wide (logical or physical) audit - trail that is time-correlated to within the organization-defined level of - tolerance for the relationship between time stamps of individual records in the - audit trail.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-wide audit trail (logical or physical)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - Changes by Authorized Individuals - - - service provider-defined individuals or roles with audit configuration responsibilities - - - - all network, data storage, and computing devices - - - - - - - - AU-12(3) - au-12.03 - -

The information system provides the capability for to change the auditing to be performed on based on within - .

- - -

This control enhancement enables organizations to extend or limit auditing as - necessary to meet organizational requirements. Auditing that is limited to - conserve information system resources may be extended to address certain threat - situations. In addition, auditing may be limited to a specific set of events to - facilitate audit reduction, analysis, and reporting. Organizations can establish - time thresholds in which audit actions are changed, for example, near real-time, - within minutes, or within hours.

- AU-7 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-12(3)[1] -

the organization defines information system components on which auditing is to - be performed;

- - - assessment-objective - EXAMINE - AU-12(3)[2] -

the organization defines individuals or roles authorized to change the auditing - to be performed on organization-defined information system components;

- - - assessment-objective - EXAMINE - AU-12(3)[3] -

the organization defines time thresholds within which organization-defined - individuals or roles can change the auditing to be performed on - organization-defined information system components;

- - - assessment-objective - EXAMINE - AU-12(3)[4] -

the organization defines selectable event criteria that support the capability - for organization-defined individuals or roles to change the auditing to be - performed on organization-defined information system components; and

- - - assessment-objective - INTERVIEW - TEST - AU-12(3)[5] -

the information system provides the capability for organization-defined - individuals or roles to change the auditing to be performed on - organization-defined information system components based on - organization-defined selectable event criteria within organization-defined time - thresholds.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of individuals or roles authorized to change auditing to - be performed

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - - - Security Assessment and Authorization - - Security Assessment and Authorization Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - CA-1 - ca-01 - NIST Special Publication 800-12 - NIST Special Publication 800-37 - NIST Special Publication 800-53A - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security assessment and authorization policy ; - and

- - - 2. -

Security assessment and authorization procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CA-1(a) - - CA-1(a)(1) - - assessment-objective - EXAMINE - CA-1(a)(1)[1] -

develops and documents a security assessment and authorization policy that - addresses:

- - CA-1(a)(1)[1][a] -

purpose;

- - - CA-1(a)(1)[1][b] -

scope;

- - - CA-1(a)(1)[1][c] -

roles;

- - - CA-1(a)(1)[1][d] -

responsibilities;

- - - CA-1(a)(1)[1][e] -

management commitment;

- - - CA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CA-1(a)(1)[2] -

defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-1(a)(1)[3] -

disseminates the security assessment and authorization policy to - organization-defined personnel or roles;

- - - - CA-1(a)(2) - - assessment-objective - EXAMINE - CA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls;

- - - assessment-objective - EXAMINE - CA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CA-1(b) - - CA-1(b)(1) - - assessment-objective - EXAMINE - CA-1(b)(1)[1] -

defines the frequency to review and update the current security assessment - and authorization policy;

- - - assessment-objective - EXAMINE - CA-1(b)(1)[2] -

reviews and updates the current security assessment and authorization policy - with the organization-defined frequency;

- - - - CA-1(b)(2) - - assessment-objective - EXAMINE - CA-1(b)(2)[1] -

defines the frequency to review and update the current security assessment - and authorization procedures; and

- - - assessment-objective - EXAMINE - CA-1(b)(2)[2] -

reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Security assessment and authorization policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment and authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Assessments - - - at least annually - - - - individuals or roles to include FedRAMP PMO - - - CA-2 - ca-02 - Executive Order 13587 - FIPS Publication 199 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Develops a security assessment plan that describes the scope of the assessment - including:

- - 1. -

Security controls and control enhancements under assessment;

- - - 2. -

Assessment procedures to be used to determine security control effectiveness; - and

- - - 3. -

Assessment environment, assessment team, and assessment roles and - responsibilities;

- - - - b. -

Assesses the security controls in the information system and its environment of - operation to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements;

- - - c. -

Produces a security assessment report that documents the results of the - assessment; and

- - - d. -

Provides the results of the security control assessment to .

- - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - -

Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control.

- CA-5 - CA-6 - CA-7 - PM-9 - RA-5 - SA-11 - SA-12 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(a) -

develops a security assessment plan that describes the scope of the assessment - including:

- - CA-2(a)(1) -

security controls and control enhancements under assessment;

- - - CA-2(a)(2) -

assessment procedures to be used to determine security control - effectiveness;

- - - CA-2(a)(3) - - CA-2(a)(3)[1] -

assessment environment;

- - - CA-2(a)(3)[2] -

assessment team;

- - - CA-2(a)(3)[3] -

assessment roles and responsibilities;

- - - - - CA-2(b) - - assessment-objective - EXAMINE - CA-2(b)[1] -

defines the frequency to assess the security controls in the information system - and its environment of operation;

- - - assessment-objective - INTERVIEW - TEST - CA-2(b)[2] -

assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements;

- - - - assessment-objective - TEST - CA-2(c) -

produces a security assessment report that documents the results of the - assessment;

- - - CA-2(d) - - assessment-objective - EXAMINE - CA-2(d)[1] -

defines individuals or roles to whom the results of the security control - assessment are to be provided; and

- - - assessment-objective - INTERVIEW - TEST - CA-2(d)[2] -

provides the results of the security control assessment to organization-defined - individuals or roles.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessment planning

-

procedures addressing security assessments

-

security assessment plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting

- - - - Independent Assessors - - - - CA-2(1) - ca-02.01 - -

The organization employs assessors or assessment teams with to conduct security control assessments.

- - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - -

Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(1)[1] -

defines the level of independence to be employed to conduct security control - assessments; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-2(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Specialized Assessments - - - at least annually - - - - - - - - CA-2(2) - ca-02.02 - -

The organization includes as part of security control assessments, , , .

- - CA-2 (2) Additional FedRAMP Requirements and Guidance - - Requirement: -

To include 'announced', 'vulnerability scanning'

- - - - -

Organizations can employ information system monitoring, insider threat - assessments, malicious user testing, and other forms of testing (e.g., - verification and validation) to improve readiness by exercising organizational - capabilities and indicating current performance levels as a means of focusing - actions to improve security. Organizations conduct assessment activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - regulations, and standards. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. Organizations can - incorporate vulnerabilities uncovered during assessments into vulnerability - remediation processes.

- PE-3 - SI-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(2)[1] -

selects one or more of the following forms of specialized security assessment - to be included as part of security control assessments:

- - CA-2(2)[1][a] -

in-depth monitoring;

- - - CA-2(2)[1][b] -

vulnerability scanning;

- - - CA-2(2)[1][c] -

malicious user testing;

- - - CA-2(2)[1][d] -

insider threat assessment;

- - - CA-2(2)[1][e] -

performance/load testing; and/or

- - - CA-2(2)[1][f] -

other forms of organization-defined specialized security assessment;

- - - - assessment-objective - EXAMINE - CA-2(2)[2] -

defines the frequency for conducting the selected form(s) of specialized - security assessment;

- - - assessment-objective - EXAMINE - CA-2(2)[3] -

defines whether the specialized security assessment will be announced or - unannounced; and

- - - assessment-objective - INTERVIEW - TEST - CA-2(2)[4] -

conducts announced or unannounced organization-defined forms of specialized - security assessments with the organization-defined frequency as part of - security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security control assessment

- - - - - External Organizations - - - any FedRAMP Accredited 3PAO - - - - any FedRAMP Accredited 3PAO - - - - the conditions of the JAB/AO in the FedRAMP Repository - - CA-2(3) - ca-02.03 - -

The organization accepts the results of an assessment of performed by when - the assessment meets .

- - -

Organizations may often rely on assessments of specific information systems by - other (external) organizations. Utilizing such existing assessments (i.e., reusing - existing assessment evidence) can significantly decrease the time and resources - required for organizational assessments by limiting the amount of independent - assessment activities that organizations need to perform. The factors that - organizations may consider in determining whether to accept assessment results - from external organizations can vary. Determinations for accepting assessment - results can be based on, for example, past assessment experiences one organization - has had with another organization, the reputation that organizations have with - regard to assessments, the level of detail of supporting assessment documentation - provided, or mandates imposed upon organizations by federal legislation, policies, - or directives.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(3)[1] -

defines an information system for which the results of a security assessment - performed by an external organization are to be accepted;

- - - assessment-objective - EXAMINE - CA-2(3)[2] -

defines an external organization from which to accept a security assessment - performed on an organization-defined information system;

- - - assessment-objective - EXAMINE - CA-2(3)[3] -

defines the requirements to be met by a security assessment performed by - organization-defined external organization on organization-defined information - system; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-2(3)[4] -

accepts the results of an assessment of an organization-defined information - system performed by an organization-defined external organization when the - assessment meets organization-defined requirements.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security plan

-

security assessment requirements

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

-

personnel performing security assessments for the specified external - organization

- - - - - - System Interconnections - - - At least annually and on input from FedRAMP - - - CA-3 - ca-03 - FIPS Publication 199 - NIST Special Publication 800-47 - -

The organization:

- - a. -

Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - b. -

Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and

- - - c. -

Reviews and updates Interconnection Security Agreements .

- - - -

This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls.

- AC-3 - AC-4 - AC-20 - AU-2 - AU-12 - AU-16 - CA-7 - IA-3 - SA-9 - SC-7 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-3(a) -

authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - assessment-objective - EXAMINE - CA-3(b) -

documents, for each interconnection:

- - CA-3(b)[1] -

the interface characteristics;

- - - CA-3(b)[2] -

the security requirements;

- - - CA-3(b)[3] -

the nature of the information communicated;

- - - - CA-3(c) - - assessment-objective - EXAMINE - CA-3(c)[1] -

defines the frequency to review and update Interconnection Security Agreements; - and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-3(c)[2] -

reviews and updates Interconnection Security Agreements with the - organization-defined frequency.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system Interconnection Security Agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements

-

organizational personnel with information security responsibilities

-

personnel managing the system(s) to which the Interconnection Security Agreement - applies

- - - - Unclassified Non-national Security System Connections - - - - - - boundary protections which meet the Trusted Internet Connection (TIC) requirements - - CA-3(3) - ca-03.03 - -

The organization prohibits the direct connection of an to an external network without the use of .

- - CA-3 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document.

- - - - -

Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between unclassified non-national - security systems and external networks. This control enhancement is required for - organizations processing, storing, or transmitting Controlled Unclassified - Information (CUI).

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-3(3)[1] -

defines an unclassified, non-national security system whose direct connection - to an external network is to be prohibited without the use of approved boundary - protection device;

- - - assessment-objective - EXAMINE - CA-3(3)[2] -

defines a boundary protection device to be used to establish the direct - connection of an organization-defined unclassified, non-national security - system to an external network; and

- - - assessment-objective - INTERVIEW - TEST - CA-3(3)[3] -

prohibits the direct connection of an organization-defined unclassified, - non-national security system to an external network without the use of an - organization-defined boundary protection device.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection security agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing direct connections to - external networks

-

network administrators

-

organizational personnel with information security responsibilities

-

personnel managing directly connected external networks

- - - - TEST - -

Automated mechanisms supporting the management of external network - connections

- - - - - Restrictions On External System Connections - - deny-all, permit by exception - - - - any systems - - - CA-3(5) - ca-03.05 - -

The organization employs policy for allowing - to connect to external information - systems.

- - CA-3 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

- - - - -

Organizations can constrain information system connectivity to external domains - (e.g., websites) by employing one of two policies with regard to such - connectivity: (i) allow-all, deny by exception, also known as blacklisting (the - weaker of the two policies); or (ii) deny-all, allow by exception, also known as - whitelisting (the stronger of the two policies). For either policy, organizations - determine what exceptions, if any, are acceptable.

- CM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-3(5)[1] -

defines information systems to be allowed to connect to external information - systems;

- - - assessment-objective - INTERVIEW - TEST - CA-3(5)[2] -

employs one of the following policies for allowing organization-defined - information systems to connect to external information systems:

- - CA-3(5)[2][a] -

allow-all policy;

- - - CA-3(5)[2][b] -

deny-by-exception policy;

- - - CA-3(5)[2][c] -

deny-all policy; or

- - - CA-3(5)[2][d] -

permit-by-exception policy.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing connections to - external information systems

-

network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on external system - connections

- - - - - - Plan of Action and Milestones - - - at least monthly - - - CA-5 - ca-05 - OMB Memorandum 02-01 - NIST Special Publication 800-37 - -

The organization:

- - a. -

Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and

- - - b. -

Updates existing plan of action and milestones - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities.

- - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - -

Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB.

- CA-2 - CA-7 - CM-4 - PM-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-5(a) -

develops a plan of action and milestones for the information system to:

- - CA-5(a)[1] -

document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls;

- - - CA-5(a)[2] -

reduce or eliminate known vulnerabilities in the system;

- - - - CA-5(b) - - assessment-objective - EXAMINE - CA-5(b)[1] -

defines the frequency to update the existing plan of action and milestones;

- - - assessment-objective - INTERVIEW - TEST - CA-5(b)[2] -

updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from:

- - CA-5(b)[2][a] -

security controls assessments;

- - - CA-5(b)[2][b] -

security impact analyses; and

- - - CA-5(b)[2][c] -

continuous monitoring activities.

- - - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing plan of action and milestones

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with plan of action and milestones development and - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones

- - - - - Security Authorization - - - at least every three (3) years or when a significant change occurs - - CA-6 - ca-06 - OMB Circular A-130 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - b. -

Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and

- - - c. -

Updates the security authorization .

- - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions.

- CA-2 - CA-7 - PM-9 - PM-10 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-6(a) -

assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - assessment-objective - INTERVIEW - TEST - CA-6(b) -

ensures that the authorizing official authorizes the information system for - processing before commencing operations;

- - - CA-6(c) - - assessment-objective - EXAMINE - CA-6(c)[1] -

defines the frequency to update the security authorization; and

- - - assessment-objective - INTERVIEW - TEST - CA-6(c)[2] -

updates the security authorization with the organization-defined frequency.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security authorization

-

security authorization package (including security plan

-

security assessment report

-

plan of action and milestones

-

authorization statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security authorization responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that facilitate security authorizations and updates

- - - - - Continuous Monitoring - - - - - - - - - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - CA-7 - ca-07 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - US-CERT Technical Cyber Security Alerts - DoD Information Assurance Vulnerability Alerts - -

The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes:

- - a. -

Establishment of to be monitored;

- - - b. -

Establishment of for monitoring and for assessments supporting such monitoring;

- - - c. -

Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy;

- - - d. -

Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy;

- - - e. -

Correlation and analysis of security-related information generated by assessments - and monitoring;

- - - f. -

Response actions to address results of the analysis of security-related - information; and

- - - g. -

Reporting the security status of organization and the information system to - - .

- - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - -

Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems.

- CA-2 - CA-5 - CA-6 - CM-3 - CM-4 - PM-6 - PM-9 - RA-5 - SA-11 - SA-12 - SI-2 - SI-4 - - -

Determine if the organization:

- - CA-7(a) - - assessment-objective - EXAMINE - CA-7(a)[1] -

develops a continuous monitoring strategy that defines metrics to be - monitored;

- - - assessment-objective - EXAMINE - CA-7(a)[2] -

develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics;

- - - assessment-objective - INTERVIEW - TEST - CA-7(a)[3] -

implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy;

- - - - CA-7(b) - - assessment-objective - EXAMINE - CA-7(b)[1] -

develops a continuous monitoring strategy that defines frequencies for - monitoring;

- - - assessment-objective - EXAMINE - CA-7(b)[2] -

defines frequencies for assessments supporting monitoring;

- - - assessment-objective - EXAMINE - CA-7(b)[3] -

develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring;

- - - assessment-objective - INTERVIEW - TEST - CA-7(b)[4] -

implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(c) - - assessment-objective - EXAMINE - CA-7(c)[1] -

develops a continuous monitoring strategy that includes ongoing security - control assessments;

- - - assessment-objective - INTERVIEW - TEST - CA-7(c)[2] -

implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(d) - - assessment-objective - EXAMINE - CA-7(d)[1] -

develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics;

- - - assessment-objective - INTERVIEW - TEST - CA-7(d)[2] -

implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy;

- - - - CA-7(e) - - assessment-objective - EXAMINE - CA-7(e)[1] -

develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring;

- - - assessment-objective - INTERVIEW - TEST - CA-7(e)[2] -

implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(f) - - assessment-objective - EXAMINE - CA-7(f)[1] -

develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information;

- - - assessment-objective - INTERVIEW - TEST - CA-7(f)[2] -

implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy;

- - - - CA-7(g) - - assessment-objective - EXAMINE - CA-7(g)[1] -

develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported;

- - - assessment-objective - EXAMINE - CA-7(g)[2] -

develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles;

- - - assessment-objective - EXAMINE - CA-7(g)[3] -

develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - CA-7(g)[4] -

implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

procedures addressing configuration management

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

configuration management records, security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Mechanisms implementing continuous monitoring

- - - - Independent Assessment - - - - CA-7(1) - ca-07.01 - -

The organization employs assessors or assessment teams with to monitor the security controls in the information - system on an ongoing basis.

- - -

Organizations can maximize the value of assessments of security controls during - the continuous monitoring process by requiring that such assessments be conducted - by assessors or assessment teams with appropriate levels of independence based on - continuous monitoring strategies. Assessor independence provides a degree of - impartiality to the monitoring process. To achieve such impartiality, assessors - should not: (i) create a mutual or conflicting interest with the organizations - where the assessments are being conducted; (ii) assess their own work; (iii) act - as management or employees of the organizations they are serving; or (iv) place - themselves in advocacy positions for the organizations acquiring their - services.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-7(1)[1] -

defines a level of independence to be employed to monitor the security controls - in the information system on an ongoing basis; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-7(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to monitor the security controls in the information system on an - ongoing basis.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - - Trend Analyses - CA-7(3) - ca-07.03 - -

The organization employs trend analyses to determine if security control - implementations, the frequency of continuous monitoring activities, and/or the - types of activities used in the continuous monitoring process need to be modified - based on empirical data.

- - -

Trend analyses can include, for example, examining recent threat information - regarding the types of threat events that have occurred within the organization or - across the federal government, success rates of certain types of cyber attacks, - emerging vulnerabilities in information technologies, evolving social engineering - techniques, results from multiple security control assessments, the effectiveness - of configuration settings, and findings from Inspectors General or auditors.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization employs trend analyses to determine if the following - items need to be modified based on empirical data:

- - CA-7(3)[1] -

security control implementations;

- - - CA-7(3)[2] -

the frequency of continuous monitoring activities; and/or

- - - CA-7(3)[3] -

the types of activities used in the continuous monitoring process.

- - - - EXAMINE - -

Continuous monitoring strategy

-

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Penetration Testing - - - at least annually - - - - - - CA-8 - ca-08 - -

The organization conducts penetration testing on - .

- - CA-8 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance https://www.FedRAMP.gov/documents/ -

- - - - -

Penetration testing is a specialized type of assessment conducted on information - systems or individual system components to identify vulnerabilities that could be - exploited by adversaries. Such testing can be used to either validate vulnerabilities - or determine the degree of resistance organizational information systems have to - adversaries within a set of specified constraints (e.g., time, resources, and/or - skills). Penetration testing attempts to duplicate the actions of adversaries in - carrying out hostile cyber attacks against organizations and provides a more in-depth - analysis of security-related weaknesses/deficiencies. Organizations can also use the - results of vulnerability analyses to support penetration testing activities. - Penetration testing can be conducted on the hardware, software, or firmware - components of an information system and can exercise both physical and technical - security controls. A standard method for penetration testing includes, for example: - (i) pretest analysis based on full knowledge of the target system; (ii) pretest - identification of potential vulnerabilities based on pretest analysis; and (iii) - testing designed to determine exploitability of identified vulnerabilities. All - parties agree to the rules of engagement before the commencement of penetration - testing scenarios. Organizations correlate the penetration testing rules of - engagement with the tools, techniques, and procedures that are anticipated to be - employed by adversaries carrying out attacks. Organizational risk assessments guide - decisions on the level of independence required for personnel conducting penetration - testing.

- SA-12 - - -

Determine if the organization:

- - CA-8[1] -

defines information systems or system components on which penetration testing is - to be conducted;

- - - CA-8[2] -

defines the frequency to conduct penetration testing on organization-defined - information systems or system components; and

- - - assessment-objective - INTERVIEW - TEST - CA-8[3] -

conducts penetration testing on organization-defined information systems or system - components with the organization-defined frequency.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

security plan

-

security assessment plan

-

penetration test report

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities, - system/network administrators

- - - - TEST - -

Automated mechanisms supporting penetration testing

- - - - Independent Penetration Agent or Team - CA-8(1) - ca-08.01 - -

The organization employs an independent penetration agent or penetration team to - perform penetration testing on the information system or system components.

- - -

Independent penetration agents or teams are individuals or groups who conduct - impartial penetration testing of organizational information systems. Impartiality - implies that penetration agents or teams are free from any perceived or actual - conflicts of interest with regard to the development, operation, or management of - the information systems that are the targets of the penetration testing. - Supplemental guidance for CA-2 (1) provides additional information regarding - independent assessments that can be applied to penetration testing.

- CA-2 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization employs an independent penetration agent or - penetration team to perform penetration testing on the information system or - system components.

- - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

security plan

-

security assessment plan

-

penetration test report

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Internal System Connections - - - - - CA-9 - ca-09 - -

The organization:

- - a. -

Authorizes internal connections of to the - information system; and

- - - b. -

Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated.

- - - -

This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration.

- AC-3 - AC-4 - AC-18 - AC-19 - AU-2 - AU-12 - CA-7 - CM-2 - IA-3 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-9(a) - - assessment-objective - EXAMINE - CA-9(a)[1] -

defines information system components or classes of components to be authorized - as internal connections to the information system;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-9(a)[2] -

authorizes internal connections of organization-defined information system - components or classes of components to the information system;

- - - - assessment-objective - EXAMINE - CA-9(b) -

documents, for each internal connection:

- - CA-9(b)[1] -

the interface characteristics;

- - - CA-9(b)[2] -

the security requirements; and

- - - CA-9(b)[3] -

the nature of the information communicated.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of components or classes of components authorized as internal system - connections

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections

-

organizational personnel with information security responsibilities

- - - - - - Configuration Management - - Configuration Management Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - CM-1 - cm-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Configuration management policy ; and

- - - 2. -

Configuration management procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CM-1(a) - - assessment-objective - EXAMINE - CM-1(a)(1) - - CM-1(a)(1)[1] -

develops and documents a configuration management policy that addresses:

- - CM-1(a)(1)[1][a] -

purpose;

- - - CM-1(a)(1)[1][b] -

scope;

- - - CM-1(a)(1)[1][c] -

roles;

- - - CM-1(a)(1)[1][d] -

responsibilities;

- - - CM-1(a)(1)[1][e] -

management commitment;

- - - CM-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CM-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CM-1(a)(1)[2] -

defines personnel or roles to whom the configuration management policy is to - be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-1(a)(1)[3] -

disseminates the configuration management policy to organization-defined - personnel or roles;

- - - - CM-1(a)(2) - - assessment-objective - EXAMINE - CM-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls;

- - - assessment-objective - EXAMINE - CM-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CM-1(b) - - CM-1(b)(1) - - assessment-objective - EXAMINE - CM-1(b)(1)[1] -

defines the frequency to review and update the current configuration - management policy;

- - - assessment-objective - EXAMINE - CM-1(b)(1)[2] -

reviews and updates the current configuration management policy with the - organization-defined frequency;

- - - - CM-1(b)(2) - - assessment-objective - EXAMINE - CM-1(b)(2)[1] -

defines the frequency to review and update the current configuration - management procedures; and

- - - assessment-objective - EXAMINE - CM-1(b)(2)[2] -

reviews and updates the current configuration management procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Configuration management policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Baseline Configuration - CM-2 - cm-02 - NIST Special Publication 800-128 - -

The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system.

- - -

This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture.

- CM-3 - CM-6 - CM-8 - CM-9 - SA-10 - PM-5 - PM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CM-2[1] -

develops and documents a current baseline configuration of the information system; - and

- - - assessment-objective - INTERVIEW - TEST - CM-2[2] -

maintains, under configuration control, a current baseline configuration of the - information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

enterprise architecture documentation

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting configuration control of the baseline - configuration

- - - - Reviews and Updates - - - at least annually or when a significant change occurs - - - - to include when directed by the JAB - - - CM-2(1) - cm-02.01 - -

The organization reviews and updates the baseline configuration of the information - system:

- - (a) -

- ;

- - - (b) -

When required due to ; and

- - - (c) -

As an integral part of information system component installations and - upgrades.

- - - CM-8 Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - CM-5 - - -

Determine if the organization:

- - CM-2(1)(a) - - assessment-objective - EXAMINE - CM-2(1)(a)[1] -

defines the frequency to review and update the baseline configuration of the - information system;

- - - assessment-objective - INTERVIEW - TEST - CM-2(1)(a)[2] -

reviews and updates the baseline configuration of the information system - with the organization-defined frequency;

- - CM-2(1)(a) - - - CM-2(1)(b) - - assessment-objective - EXAMINE - CM-2(1)(b)[1] -

defines circumstances that require the baseline configuration of the - information system to be reviewed and updated;

- - - assessment-objective - INTERVIEW - TEST - CM-2(1)(b)[2] -

reviews and updates the baseline configuration of the information system - when required due to organization-defined circumstances; and

- - CM-2(1)(b) - - - assessment-objective - INTERVIEW - TEST - CM-2(1)(c) -

reviews and updates the baseline configuration of the information system as an - integral part of information system component installations and upgrades.

- CM-2(1)(c) - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing the baseline configuration of the information system

-

procedures addressing information system component installations and - upgrades

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of information system baseline configuration reviews and updates

-

information system component installations/upgrades and associated records

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting review and update of the baseline - configuration

- - - - - Automation Support for Accuracy / Currency - CM-2(2) - cm-02.02 - -

The organization employs automated mechanisms to maintain an up-to-date, complete, - accurate, and readily available baseline configuration of the information - system.

- - -

Automated mechanisms that help organizations maintain consistent baseline - configurations for information systems include, for example, hardware and software - inventory tools, configuration management tools, and network management tools. - Such tools can be deployed and/or allocated as common controls, at the information - system level, or at the operating system or component level (e.g., on - workstations, servers, notebook computers, network components, or mobile devices). - Tools can be used, for example, to track version numbers on operating system - applications, types of software installed, and current patch levels. This control - enhancement can be satisfied by the implementation of CM-8 (2) for organizations - that choose to combine information system component inventory and baseline - configuration activities.

- CM-7 - RA-5 - - -

Determine if the organization employs automated mechanisms to maintain:

- - assessment-objective - INTERVIEW - TEST - CM-2(2)[1] -

an up-to-date baseline configuration of the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-2(2)[2] -

a complete baseline configuration of the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-2(2)[3] -

an accurate baseline configuration of the information system; and

- - - assessment-objective - INTERVIEW - TEST - CM-2(2)[4] -

a readily available baseline configuration of the information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

configuration change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms implementing baseline configuration maintenance

- - - - - Retention of Previous Configurations - - - organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components - - CM-2(3) - cm-02.03 - -

The organization retains to support - rollback.

- - -

Retaining previous versions of baseline configurations to support rollback may - include, for example, hardware, software, firmware, configuration files, and - configuration records.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-2(3)[1] -

defines previous versions of baseline configurations of the information system - to be retained to support rollback; and

- - - assessment-objective - INTERVIEW - TEST - CM-2(3)[2] -

retains organization-defined previous versions of baseline configurations of - the information system to support rollback.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

copies of previous baseline configuration versions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

- - - - - Configure Systems, Components, or Devices for High-risk Areas - - - - - - - - - - CM-2(7) - cm-02.07 - -

The organization:

- - (a) -

Issues with - to individuals traveling to locations that the organization deems to be of - significant risk; and

- - - (b) -

Applies to the devices when the individuals - return.

- - - -

When it is known that information systems, system components, or devices (e.g., - notebook computers, mobile devices) will be located in high-risk areas, additional - security controls may be implemented to counter the greater threat in such areas - coupled with the lack of physical security relative to organizational-controlled - areas. For example, organizational policies and procedures for notebook computers - used by individuals departing on and returning from travel include, for example, - determining which locations are of concern, defining required configurations for - the devices, ensuring that the devices are configured as intended before travel is - initiated, and applying specific safeguards to the device after travel is - completed. Specially configured notebook computers include, for example, computers - with sanitized hard drives, limited applications, and additional hardening (e.g., - more stringent configuration settings). Specified safeguards applied to mobile - devices upon return from travel include, for example, examining the device for - signs of physical tampering and purging/reimaging the hard disk drive. Protecting - information residing on mobile devices is covered in the media protection - family.

- - -

Determine if the organization:

- - CM-2(7)(a) - - assessment-objective - EXAMINE - CM-2(7)(a)[1] -

defines information systems, system components, or devices to be issued to - individuals traveling to locations that the organization deems to be of - significant risk;

- - - assessment-objective - EXAMINE - CM-2(7)(a)[2] -

defines configurations to be employed on organization-defined information - systems, system components, or devices issued to individuals traveling to - such locations;

- - - assessment-objective - INTERVIEW - TEST - CM-2(7)(a)[3] -

issues organization-defined information systems, system components, or - devices with organization-defined configurations to individuals traveling to - locations that the organization deems to be of significant risk;

- - CM-2(7)(a) - - - CM-2(7)(b) - - assessment-objective - EXAMINE - CM-2(7)(b)[1] -

defines security safeguards to be applied to the devices when the - individuals return; and

- - - assessment-objective - INTERVIEW - TEST - CM-2(7)(b)[2] -

applies organization-defined safeguards to the devices when the individuals - return.

- - CM-2(7)(b) - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing the baseline configuration of the information system

-

procedures addressing information system component installations and - upgrades

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of information system baseline configuration reviews and updates

-

information system component installations/upgrades and associated records

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

- - - - - - Configuration Change Control - - - - - - - - - - - - - - - CM-3 - cm-03 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Determines the types of changes to the information system that are - configuration-controlled;

- - - b. -

Reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses;

- - - c. -

Documents configuration change decisions associated with the information - system;

- - - d. -

Implements approved configuration-controlled changes to the information - system;

- - - e. -

Retains records of configuration-controlled changes to the information system for - ;

- - - f. -

Audits and reviews activities associated with configuration-controlled changes to - the information system; and

- - - g. -

Coordinates and provides oversight for configuration change control activities - through that convenes .

- - - CM-3 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - (e) Guidance: -

In accordance with record retention policies and procedures.

- - - - -

Configuration change controls for organizational information systems involve the - systematic proposal, justification, implementation, testing, review, and disposition - of changes to the systems, including system upgrades and modifications. Configuration - change control includes changes to baseline configurations for components and - configuration items of information systems, changes to configuration settings for - information technology products (e.g., operating systems, applications, firewalls, - routers, and mobile devices), unscheduled/unauthorized changes, and changes to - remediate vulnerabilities. Typical processes for managing configuration changes to - information systems include, for example, Configuration Control Boards that approve - proposed changes to systems. For new development information systems or systems - undergoing major upgrades, organizations consider including representatives from - development organizations on the Configuration Control Boards. Auditing of changes - includes activities before and after changes are made to organizational information - systems and the auditing activities required to implement such changes.

- CA-7 - CM-2 - CM-4 - CM-5 - CM-6 - CM-9 - SA-10 - SI-2 - SI-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-3(a) -

determines the type of changes to the information system that must be - configuration-controlled;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-3(b) -

reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-3(c) -

documents configuration change decisions associated with the information - system;

- - - assessment-objective - INTERVIEW - TEST - CM-3(d) -

implements approved configuration-controlled changes to the information - system;

- - - CM-3(e) - - assessment-objective - EXAMINE - CM-3(e)[1] -

defines a time period to retain records of configuration-controlled changes to - the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-3(e)[2] -

retains records of configuration-controlled changes to the information system - for the organization-defined time period;

- - - - assessment-objective - INTERVIEW - TEST - CM-3(f) -

audits and reviews activities associated with configuration-controlled changes to - the information system;

- - - CM-3(g) - - assessment-objective - EXAMINE - CM-3(g)[1] -

defines a configuration change control element (e.g., committee, board) - responsible for coordinating and providing oversight for configuration change - control activities;

- - - assessment-objective - EXAMINE - CM-3(g)[2] -

defines the frequency with which the configuration change control element must - convene; and/or

- - - assessment-objective - EXAMINE - CM-3(g)[3] -

defines configuration change conditions that prompt the configuration change - control element to convene; and

- - - assessment-objective - INTERVIEW - TEST - CM-3(g)[4] -

coordinates and provides oversight for configuration change control activities - through organization-defined configuration change control element that convenes - at organization-defined frequency and/or for any organization-defined - configuration change conditions.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

information system architecture and configuration documentation

-

security plan

-

change control records

-

information system audit records

-

change control audit and review reports

-

agenda /minutes from configuration change control oversight meetings

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

members of change control board or similar

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms that implement configuration change control

- - - - Automated Document / Notification / Prohibition of Changes - - - - - - organization agreed upon time period - - - - organization defined configuration management approval authorities - - CM-3(1) - cm-03.01 - -

The organization employs automated mechanisms to:

- - (a) -

Document proposed changes to the information system;

- - - (b) -

Notify of proposed changes to the information - system and request change approval;

- - - (c) -

Highlight proposed changes to the information system that have not been - approved or disapproved by ;

- - - (d) -

Prohibit changes to the information system until designated approvals are - received;

- - - (e) -

Document all changes to the information system; and

- - - (f) -

Notify when approved changes to the - information system are completed.

- - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - CM-3(1)(a) -

employs automated mechanisms to document proposed changes to the information - system;

- CM-3(1)(a) - - - CM-3(1)(b) - - assessment-objective - EXAMINE - CM-3(1)(b)[1] -

defines approval authorities to be notified of proposed changes to the - information system and request change approval;

- - - assessment-objective - INTERVIEW - TEST - CM-3(1)(b)[2] -

employs automated mechanisms to notify organization-defined approval - authorities of proposed changes to the information system and request change - approval;

- - CM-3(1)(b) - - - CM-3(1)(c) - - assessment-objective - EXAMINE - CM-3(1)(c)[1] -

defines the time period within which proposed changes to the information - system that have not been approved or disapproved must be highlighted;

- - - assessment-objective - INTERVIEW - TEST - CM-3(1)(c)[2] -

employs automated mechanisms to highlight proposed changes to the - information system that have not been approved or disapproved by - organization-defined time period;

- - CM-3(1)(c) - - - assessment-objective - INTERVIEW - TEST - CM-3(1)(d) -

employs automated mechanisms to prohibit changes to the information system - until designated approvals are received;

- CM-3(1)(d) - - - assessment-objective - INTERVIEW - TEST - CM-3(1)(e) -

employs automated mechanisms to document all changes to the information - system;

- CM-3(1)(e) - - - CM-3(1)(f) - - assessment-objective - EXAMINE - CM-3(1)(f)[1] -

defines personnel to be notified when approved changes to the information - system are completed; and

- - - assessment-objective - INTERVIEW - TEST - CM-3(1)(f)[2] -

employs automated mechanisms to notify organization-defined personnel when - approved changes to the information system are completed.

- - CM-3(1)(f) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

automated configuration control mechanisms

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

change approval requests

-

change approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms implementing configuration change control activities

- - - - - Test / Validate / Document Changes - CM-3(2) - cm-03.02 - -

The organization tests, validates, and documents changes to the information system - before implementing the changes on the operational system.

- - -

Changes to information systems include modifications to hardware, software, or - firmware components and configuration settings defined in CM-6. Organizations - ensure that testing does not interfere with information system operations. - Individuals/groups conducting tests understand organizational security policies - and procedures, information system security policies and procedures, and the - specific health, safety, and environmental risks associated with particular - facilities/processes. Operational systems may need to be taken off-line, or - replicated to the extent feasible, before testing can be conducted. If information - systems must be taken off-line for testing, the tests are scheduled to occur - during planned system outages whenever possible. If testing cannot be conducted on - operational systems, organizations employ compensating controls (e.g., testing on - replicated systems).

- - -

Determine if the organization, before implementing changes on the operational - system:

- - assessment-objective - INTERVIEW - TEST - CM-3(2)[1] -

tests changes to the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-3(2)[2] -

validates changes to the information system; and

- - - assessment-objective - EXAMINE - CM-3(2)[3] -

documents changes to the information system.

- - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing information system configuration change control

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

test records

-

validation records

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms supporting and/or implementing testing, validating, and - documenting information system changes

- - - - - Security Representative - - - Configuration control board (CCB) or similar (as defined in CM-3) - - CM-3(4) - cm-03.04 - -

The organization requires an information security representative to be a member of - the .

- - -

Information security representatives can include, for example, senior agency - information security officers, information system security officers, or - information system security managers. Representation by personnel with information - security expertise is important because changes to information system - configurations can have unintended side effects, some of which may be - security-relevant. Detecting such changes early in the process can help avoid - unintended, negative consequences that could ultimately affect the security state - of organizational information systems. The configuration change control element in - this control enhancement reflects the change control elements defined by - organizations in CM-3.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CM-3(4)[1] -

specifies the configuration change control elements (as defined in CM-3g) of - which an information security representative is to be a member; and

- - - assessment-objective - TEST - CM-3(4)[2] -

requires an information security representative to be a member of the specified - configuration control element.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for configuration change control

- - - - - Cryptography Management - - - All security safeguards that rely on cryptography - - CM-3(6) - cm-03.06 - -

The organization ensures that cryptographic mechanisms used to provide are under configuration management.

- - -

Regardless of the cryptographic means employed (e.g., public key, private key, - shared secrets), organizations ensure that there are processes and procedures in - place to effectively manage those means. For example, if devices use certificates - as a basis for identification and authentication, there needs to be a process in - place to address the expiration of those certificates.

- SC-13 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-3(6)[1] -

defines security safeguards provided by cryptographic mechanisms that are to be - under configuration management; and

- - - assessment-objective - INTERVIEW - TEST - CM-3(6)[2] -

ensures that cryptographic mechanisms used to provide organization-defined - security safeguards are under configuration management.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for configuration change control

-

cryptographic mechanisms implementing organizational security safeguards

- - - - - - Security Impact Analysis - CM-4 - cm-04 - NIST Special Publication 800-128 - -

The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation.

- - -

Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems.

- CA-2 - CA-7 - CM-3 - CM-9 - SA-4 - SA-5 - SA-10 - SI-2 - - -

Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

- - - - Separate Test Environments - CM-4(1) - cm-04.01 - -

The organization analyzes changes to the information system in a separate test - environment before implementation in an operational environment, looking for - security impacts due to flaws, weaknesses, incompatibility, or intentional - malice.

- - -

Separate test environment in this context means an environment that is physically - or logically isolated and distinct from the operational environment. The - separation is sufficient to ensure that activities in the test environment do not - impact activities in the operational environment, and information in the - operational environment is not inadvertently transmitted to the test environment. - Separate environments can be achieved by physical or logical means. If physically - separate test environments are not used, organizations determine the strength of - mechanism required when implementing logical separation (e.g., separation achieved - through virtual machines).

- SA-11 - SC-3 - SC-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - assessment-objective - INTERVIEW - TEST - assessment-objective - INTERVIEW - TEST - assessment-objective - INTERVIEW - TEST - CM-4(1)[1] -

analyzes changes to the information system in a separate test environment - before implementation in an operational environment;

- - - CM-4(1)[2] -

when analyzing changes to the information system in a separate test - environment, looks for security impacts due to:

- - assessment-objective - INTERVIEW - TEST - CM-4(1)[2][a] -

flaws;

- - - CM-4(1)[2][b] -

weaknesses;

- - - CM-4(1)[2][c] -

incompatibility; and

- - - CM-4(1)[2][d] -

intentional malice.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs information system design - documentation

-

information system architecture and configuration documentation

-

change control records

-

information system audit records

-

documentation evidence of separate test and operational environments

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

-

automated mechanisms supporting and/or implementing security impact analysis of - changes

- - - - - - Access Restrictions for Change - CM-5 - cm-05 - -

The organization defines, documents, approves, and enforces physical and logical - access restrictions associated with changes to the information system.

- - -

Any changes to the hardware, software, and/or firmware components of information - systems can potentially have significant effects on the overall security of the - systems. Therefore, organizations permit only qualified and authorized individuals to - access information systems for purposes of initiating changes, including upgrades and - modifications. Organizations maintain records of access to ensure that configuration - change control is implemented and to support after-the-fact actions should - organizations discover any unauthorized changes. Access restrictions for change also - include software libraries. Access restrictions include, for example, physical and - logical access controls (see AC-3 and PE-3), workflow automation, media libraries, - abstract layers (e.g., changes implemented into third-party interfaces rather than - directly into information systems), and change windows (e.g., changes occur only - during specified times, making unauthorized changes easy to discover).

- AC-3 - AC-6 - PE-3 - - -

Determine if the organization:

- - CM-5[1] -

defines physical access restrictions associated with changes to the information - system;

- - - CM-5[2] -

documents physical access restrictions associated with changes to the information - system;

- - - CM-5[3] -

approves physical access restrictions associated with changes to the information - system;

- - - CM-5[4] -

enforces physical access restrictions associated with changes to the information - system;

- - - CM-5[5] -

defines logical access restrictions associated with changes to the information - system;

- - - CM-5[6] -

documents logical access restrictions associated with changes to the information - system;

- - - assessment-objective - INTERVIEW - TEST - CM-5[7] -

approves logical access restrictions associated with changes to the information - system; and

- - - assessment-objective - INTERVIEW - TEST - CM-5[8] -

enforces logical access restrictions associated with changes to the information - system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

logical access approvals

-

physical access approvals

-

access credentials

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with logical access control responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting/implementing/enforcing access restrictions - associated with changes to the information system

- - - - Automated Access Enforcement / Auditing - CM-5(1) - cm-05.01 - -

The information system enforces access restrictions and supports auditing of the - enforcement actions.

- - - AU-2 - AU-12 - AU-6 - CM-3 - CM-6 - - -

Determine if the information system:

- - assessment-objective - INTERVIEW - TEST - CM-5(1)[1] -

enforces access restrictions for change; and

- - - assessment-objective - INTERVIEW - TEST - CM-5(1)[2] -

supports auditing of the enforcement actions.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms implementing enforcement of access restrictions for - changes to the information system

-

automated mechanisms supporting auditing of enforcement actions

- - - - - Review System Changes - - - at least every thirty (30) days - - - - - CM-5(2) - cm-05.02 - -

The organization reviews information system changes and to determine - whether unauthorized changes have occurred.

- - -

Indications that warrant review of information system changes and the specific - circumstances justifying such reviews may be obtained from activities carried out - by organizations during the configuration change process.

- AU-6 - AU-7 - CM-3 - CM-5 - PE-6 - PE-8 - - -

Determine if the organization, in an effort to ascertain whether unauthorized - changes have occurred:

- - assessment-objective - EXAMINE - CM-5(2)[1] -

defines the frequency to review information system changes;

- - - assessment-objective - EXAMINE - CM-5(2)[2] -

defines circumstances that warrant review of information system changes;

- - - assessment-objective - INTERVIEW - TEST - CM-5(2)[3] -

reviews information system changes with the organization-defined frequency; - and

- - - assessment-objective - INTERVIEW - TEST - CM-5(2)[4] -

reviews information system changes with the organization-defined - circumstances.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

reviews of information system changes

-

audit and review reports

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting/implementing information system reviews to - determine whether unauthorized changes have occurred

- - - - - Signed Components - - - - CM-5(3) - cm-05.03 - -

The information system prevents the installation of without verification that the component has been - digitally signed using a certificate that is recognized and approved by the - organization.

- - CM-5 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Software and firmware components prevented from installation unless signed with - recognized and approved certificates include, for example, software and firmware - version updates, patches, service packs, device drivers, and basic input output - system (BIOS) updates. Organizations can identify applicable software and firmware - components by type, by specific items, or a combination of both. Digital - signatures and organizational verification of such signatures, is a method of code - authentication.

- CM-7 - SC-13 - SI-7 - - -

Determine if:

- - assessment-objective - EXAMINE - CM-5(3)[1] -

the organization defines software and firmware components that the information - system will prevent from being installed without verification that such - components have been digitally signed using a certificate that is recognized - and approved by the organization; and

- - - assessment-objective - INTERVIEW - TEST - CM-5(3)[2] -

the information system prevents the installation of organization-defined - software and firmware components without verification that such components have - been digitally signed using a certificate that is recognized and approved by - the organization.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

list of software and firmware components to be prohibited from installation - without a recognized and approved certificate

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms preventing installation of software and firmware - components not signed with an organization-recognized and approved - certificate

- - - - - Limit Production / Operational Privileges - - - at least quarterly - - - CM-5(5) - cm-05.05 - -

The organization:

- - (a) -

Limits privileges to change information system components and system-related - information within a production or operational environment; and

- - - (b) -

Reviews and reevaluates privileges .

- - - -

In many organizations, information systems support multiple core missions/business - functions. Limiting privileges to change information system components with - respect to operational systems is necessary because changes to a particular - information system component may have far-reaching effects on mission/business - processes supported by the system where the component resides. The complex, - many-to-many relationships between systems and mission/business processes are in - some cases, unknown to developers.

- AC-2 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - CM-5(5)(a) -

limits privileges to change information system components and system-related - information within a production or operational environment;

- CM-5(5)(a) - - - CM-5(5)(b) - - assessment-objective - EXAMINE - CM-5(5)(b)[1] -

defines the frequency to review and reevaluate privileges; and

- - - assessment-objective - EXAMINE - CM-5(5)(b)[2] -

reviews and reevaluates privileges with the organization-defined - frequency.

- - CM-5(5)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

user privilege reviews

-

user privilege recertifications

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting and/or implementing access restrictions for - change

- - - - - - Configuration Settings - - - -

See CM-6(a) Additional FedRAMP Requirements and Guidance

- - - - - - - - - - CM-6 - cm-06 - OMB Memorandum 07-11 - OMB Memorandum 07-18 - OMB Memorandum 08-22 - NIST Special Publication 800-70 - NIST Special Publication 800-128 - http://nvd.nist.gov - http://checklists.nist.gov - http://www.nsa.gov - -

The organization:

- - a. -

Establishes and documents configuration settings for information technology - products employed within the information system using that reflect the most restrictive mode consistent with - operational requirements;

- - - b. -

Implements the configuration settings;

- - - c. -

Identifies, documents, and approves any deviations from established configuration - settings for based on ; and

- - - d. -

Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - -

Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems.

- AC-19 - CM-2 - CM-3 - CM-7 - SI-4 - - -

Determine if the organization:

- - CM-6(a) - - assessment-objective - EXAMINE - CM-6(a)[1] -

defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-6(a)[2] -

ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements;

- - - assessment-objective - INTERVIEW - TEST - CM-6(a)[3] -

establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(b) -

implements the configuration settings established/documented in CM-6(a);;

- - - CM-6(c) - - assessment-objective - EXAMINE - CM-6(c)[1] -

defines information system components for which any deviations from established - configuration settings must be:

- - CM-6(c)[1][a] -

identified;

- - - CM-6(c)[1][b] -

documented;

- - - CM-6(c)[1][c] -

approved;

- - - - assessment-objective - EXAMINE - CM-6(c)[2] -

defines operational requirements to support:

- - CM-6(c)[2][a] -

the identification of any deviations from established configuration - settings;

- - - CM-6(c)[2][b] -

the documentation of any deviations from established configuration - settings;

- - - CM-6(c)[2][c] -

the approval of any deviations from established configuration settings;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(c)[3] -

identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - assessment-objective - EXAMINE - CM-6(c)[4] -

documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - assessment-objective - INTERVIEW - TEST - CM-6(c)[5] -

approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - - CM-6(d) - - assessment-objective - EXAMINE - CM-6(d)[1] -

monitors changes to the configuration settings in accordance with - organizational policies and procedures; and

- - - assessment-objective - TEST - CM-6(d)[2] -

controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

evidence supporting approved deviations from established configuration - settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms that implement, monitor, and/or control information system - configuration settings

-

automated mechanisms that identify and/or document deviations from established - configuration settings

- - - - Automated Central Management / Application / Verification - - - - CM-6(1) - cm-06.01 - -

The organization employs automated mechanisms to centrally manage, apply, and - verify configuration settings for .

- - - CA-7 - CM-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-6(1)[1] -

defines information system components for which automated mechanisms are to be - employed to:

- - CM-6(1)[1][a] -

centrally manage configuration settings of such components;

- - - CM-6(1)[1][b] -

apply configuration settings of such components;

- - - CM-6(1)[1][c] -

verify configuration settings of such components;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(1)[2] -

employs automated mechanisms to:

- - CM-6(1)[2][a] -

centrally manage configuration settings for organization-defined information - system components;

- - - CM-6(1)[2][b] -

apply configuration settings for organization-defined information system - components; and

- - - CM-6(1)[2][c] -

verify configuration settings for organization-defined information system - components.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms implemented to centrally manage, apply, and verify - information system configuration settings

- - - - - Respond to Unauthorized Changes - - - - - - - CM-6(2) - cm-06.02 - -

The organization employs to respond to - unauthorized changes to .

- - -

Responses to unauthorized changes to configuration settings can include, for - example, alerting designated organizational personnel, restoring established - configuration settings, or in extreme cases, halting affected information system - processing.

- IR-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-6(2)[1] -

defines configuration settings that, if modified by unauthorized changes, - result in organizational security safeguards being employed to respond to such - changes;

- - - assessment-objective - EXAMINE - CM-6(2)[2] -

defines security safeguards to be employed to respond to unauthorized changes - to organization-defined configuration settings; and

- - - assessment-objective - INTERVIEW - TEST - CM-6(2)[3] -

employs organization-defined security safeguards to respond to unauthorized - changes to organization-defined configuration settings.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of unauthorized changes to information system - configuration settings

-

documented responses to unauthorized changes to information system - configuration settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for responding to unauthorized changes to information - system configuration settings

-

automated mechanisms supporting and/or implementing security safeguards for - response to unauthorized changes

- - - - - - Least Functionality - - - United States Government Configuration Baseline (USGCB) - - CM-7 - cm-07 - DoD Instruction 8551.01 - -

The organization:

- - a. -

Configures the information system to provide only essential capabilities; and

- - - b. -

Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: .

- - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. Partially derived from AC-17(8).

- - - - -

Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services.

- AC-6 - CM-2 - RA-5 - SA-5 - SC-7 - - -

Determine if the organization:

- - assessment-objective - TEST - CM-7(a) -

configures the information system to provide only essential capabilities;

- - - CM-7(b) - - assessment-objective - EXAMINE - CM-7(b)[1] -

defines prohibited or restricted:

- - CM-7(b)[1][a] -

functions;

- - - CM-7(b)[1][b] -

ports;

- - - CM-7(b)[1][c] -

protocols; and/or

- - - CM-7(b)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(b)[2] -

prohibits or restricts the use of organization-defined:

- - CM-7(b)[2][a] -

functions;

- - - CM-7(b)[2][b] -

ports;

- - - CM-7(b)[2][c] -

protocols; and/or

- - - CM-7(b)[2][d] -

services.

- - - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing least functionality in the information system

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services

-

automated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services

- - - - Periodic Review - - - at least monthly - - - - - - CM-7(1) - cm-07.01 - -

The organization:

- - (a) -

Reviews the information system to identify - unnecessary and/or nonsecure functions, ports, protocols, and services; and

- - - (b) -

Disables .

- - - -

The organization can either make a determination of the relative security of the - function, port, protocol, and/or service or base the security decision on the - assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are - examples of less than secure protocols.

- AC-18 - CM-7 - IA-2 - - -

Determine if the organization:

- - CM-7(1)(a) - - assessment-objective - EXAMINE - CM-7(1)(a)[1] -

defines the frequency to review the information system to identify - unnecessary and/or nonsecure:

- - CM-7(1)(a)[1][a] -

functions;

- - - CM-7(1)(a)[1][b] -

ports;

- - - CM-7(1)(a)[1][c] -

protocols; and/or

- - - CM-7(1)(a)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(1)(a)[2] -

reviews the information system with the organization-defined frequency to - identify unnecessary and/or nonsecure:

- - CM-7(1)(a)[2][a] -

functions;

- - - CM-7(1)(a)[2][b] -

ports;

- - - CM-7(1)(a)[2][c] -

protocols; and/or

- - - CM-7(1)(a)[2][d] -

services;

- - - CM-7(1)(a) - - - CM-7(1)(b) - - assessment-objective - EXAMINE - CM-7(1)(b)[1] -

defines, within the information system, unnecessary and/or nonsecure:

- - CM-7(1)(b)[1][a] -

functions;

- - - CM-7(1)(b)[1][b] -

ports;

- - - CM-7(1)(b)[1][c] -

protocols; and/or

- - - CM-7(1)(b)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(1)(b)[2] -

disables organization-defined unnecessary and/or nonsecure:

- - CM-7(1)(b)[2][a] -

functions;

- - - CM-7(1)(b)[2][b] -

ports;

- - - CM-7(1)(b)[2][c] -

protocols; and/or

- - - CM-7(1)(b)[2][d] -

services.

- - - CM-7(1)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

documented reviews of functions, ports, protocols, and/or services

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing functions, ports, - protocols, and services on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for reviewing/disabling nonsecure functions, ports, - protocols, and/or services

-

automated mechanisms implementing review and disabling of nonsecure functions, - ports, protocols, and/or services

- - - - - Prevent Program Execution - - - - - CM-7(2) - cm-07.02 - -

The information system prevents program execution in accordance with .

- - CM-7 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - CM-8 - PM-5 - - -

Determine if:

- - assessment-objective - EXAMINE - CM-7(2)[1] -

the organization defines policies regarding software program usage and - restrictions;

- - - assessment-objective - INTERVIEW - TEST - CM-7(2)[2] -

the information system prevents program execution in accordance with one or - more of the following:

- - CM-7(2)[2][a] -

organization-defined policies regarding program usage and restrictions; - and/or

- - - CM-7(2)[2][b] -

rules authorizing the terms and conditions of software program usage.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

specifications for preventing software program execution

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes preventing program execution on the information - system

-

organizational processes for software program usage and restrictions

-

automated mechanisms preventing program execution on the information system

-

automated mechanisms supporting and/or implementing software program usage and - restrictions

- - - - - Authorized Software / Whitelisting - - - - - - at least quarterly or when there is a change - - - CM-7(5) - cm-07.05 - -

The organization:

- - (a) -

Identifies ;

- - - (b) -

Employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; and

- - - (c) -

Reviews and updates the list of authorized software programs .

- - - -

The process used to identify software programs that are authorized to execute on - organizational information systems is commonly referred to as whitelisting. In - addition to whitelisting, organizations consider verifying the integrity of - white-listed software programs using, for example, cryptographic checksums, - digital signatures, or hash functions. Verification of white-listed software can - occur either prior to execution or at system startup.

- CM-2 - CM-6 - CM-8 - PM-5 - SA-10 - SC-34 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-7(5)(a) -

Identifies/defines software programs authorized to execute on the information - system;

- CM-7(5)(a) - - - assessment-objective - INTERVIEW - TEST - CM-7(5)(b) -

employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system;

- CM-7(5)(b) - - - CM-7(5)(c) - - assessment-objective - EXAMINE - CM-7(5)(c)[1] -

defines the frequency to review and update the list of authorized software - programs on the information system; and

- - - assessment-objective - INTERVIEW - TEST - CM-7(5)(c)[2] -

reviews and updates the list of authorized software programs with the - organization-defined frequency.

- - CM-7(5)(c) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of software programs authorized to execute on the information system

-

security configuration checklists

-

review and update records associated with list of authorized software - programs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for identifying software - authorized to execute on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for identifying, reviewing, and updating programs - authorized to execute on the information system

-

organizational process for implementing whitelisting

-

automated mechanisms implementing whitelisting

- - - - - - Information System Component Inventory - - - - - - at least monthly - - - CM-8 - cm-08 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Develops and documents an inventory of information system components that:

- - 1. -

Accurately reflects the current information system;

- - - 2. -

Includes all components within the authorization boundary of the information - system;

- - - 3. -

Is at the level of granularity deemed necessary for tracking and reporting; - and

- - - 4. -

Includes ; and

- - - - b. -

Reviews and updates the information system component inventory .

- - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - -

Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location.

- CM-2 - CM-6 - PM-5 - - -

Determine if the organization:

- - CM-8(a) - - assessment-objective - EXAMINE - CM-8(a)(1) -

develops and documents an inventory of information system components that - accurately reflects the current information system;

- - - assessment-objective - EXAMINE - CM-8(a)(2) -

develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system;

- - - assessment-objective - EXAMINE - CM-8(a)(3) -

develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting;

- - - CM-8(a)(4) - - assessment-objective - EXAMINE - CM-8(a)(4)[1] -

defines the information deemed necessary to achieve effective information - system component accountability;

- - - assessment-objective - EXAMINE - CM-8(a)(4)[2] -

develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability;

- - - - - CM-8(b) - - assessment-objective - EXAMINE - CM-8(b)[1] -

defines the frequency to review and update the information system component - inventory; and

- - - assessment-objective - INTERVIEW - TEST - CM-8(b)[2] -

reviews and updates the information system component inventory with the - organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system component - inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting an inventory of - information system components

-

automated mechanisms supporting and/or implementing the information system - component inventory

- - - - Updates During Installations / Removals - CM-8(1) - cm-08.01 - -

The organization updates the inventory of information system components as an - integral part of component installations, removals, and information system - updates.

- - -

Determine if the organization updates the inventory of information system - components as an integral part of:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - CM-8(1)[1] -

component installations;

- - - CM-8(1)[2] -

component removals; and

- - - CM-8(1)[3] -

information system updates.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

component installation records

-

component removal records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for updating the information - system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for updating inventory of information system - components

-

automated mechanisms implementing updating of the information system component - inventory

- - - - - Automated Maintenance - CM-8(2) - cm-08.02 - -

The organization employs automated mechanisms to help maintain an up-to-date, - complete, accurate, and readily available inventory of information system - components.

- - -

Organizations maintain information system inventories to the extent feasible. - Virtual machines, for example, can be difficult to monitor because such machines - are not visible to the network when not in use. In such cases, organizations - maintain as up-to-date, complete, and accurate an inventory as is deemed - reasonable. This control enhancement can be satisfied by the implementation of - CM-2 (2) for organizations that choose to combine information system component - inventory and baseline configuration activities.

- SI-7 - - -

Determine if the organization employs automated mechanisms to maintain an - inventory of information system components that is:

- - assessment-objective - TEST - CM-8(2)[1] -

up-to-date;

- - - CM-8(2)[2] -

complete;

- - - CM-8(2)[3] -

accurate; and

- - - CM-8(2)[4] -

readily available.

- - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing information system component inventory

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

change control records

-

information system maintenance records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the automated - mechanisms implementing the information system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - Automated Unauthorized Component Detection - - - Continuously, using automated mechanisms with a maximum five-minute delay in detection. - - - - - - - CM-8(3) - cm-08.03 - -

The organization:

- - (a) -

Employs automated mechanisms to detect the - presence of unauthorized hardware, software, and firmware components within the - information system; and

- - - (b) -

Takes the following actions when unauthorized components are detected: .

- - - -

This control enhancement is applied in addition to the monitoring for unauthorized - remote connections and mobile devices. Monitoring for unauthorized system - components may be accomplished on an ongoing basis or by the periodic scanning of - systems for that purpose. Automated mechanisms can be implemented within - information systems or in other separate devices. Isolation can be achieved, for - example, by placing unauthorized information system components in separate domains - or subnets or otherwise quarantining such components. This type of component - isolation is commonly referred to as sandboxing.

- AC-17 - AC-18 - AC-19 - CA-7 - SI-3 - SI-4 - SI-7 - RA-5 - - -

Determine if the organization:

- - CM-8(3)(a) - - assessment-objective - EXAMINE - CM-8(3)(a)[1] -

defines the frequency to employ automated mechanisms to detect the presence - of unauthorized:

- - CM-8(3)(a)[1][a] -

hardware components within the information system;

- - - CM-8(3)(a)[1][b] -

software components within the information system;

- - - CM-8(3)(a)[1][c] -

firmware components within the information system;

- - - - assessment-objective - INTERVIEW - TEST - CM-8(3)(a)[2] -

employs automated mechanisms with the organization-defined frequency to - detect the presence of unauthorized:

- - CM-8(3)(a)[2][a] -

hardware components within the information system;

- - - CM-8(3)(a)[2][b] -

software components within the information system;

- - - CM-8(3)(a)[2][c] -

firmware components within the information system;

- - - CM-8(3)(a) - - - CM-8(3)(b) - - assessment-objective - EXAMINE - CM-8(3)(b)[1] -

defines personnel or roles to be notified when unauthorized components are - detected;

- - - assessment-objective - INTERVIEW - TEST - CM-8(3)(b)[2] -

takes one or more of the following actions when unauthorized components are - detected:

- - CM-8(3)(b)[2][a] -

disables network access by such components;

- - - CM-8(3)(b)[2][b] -

isolates the components; and/or

- - - CM-8(3)(b)[2][c] -

notifies organization-defined personnel or roles.

- - - CM-8(3)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

alerts/notifications of unauthorized components within the information - system

-

information system monitoring records

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the automated - mechanisms implementing unauthorized information system component detection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for detection of unauthorized information system - components

-

automated mechanisms implementing the detection of unauthorized information - system components

- - - - - Accountability Information - - position and role - - CM-8(4) - cm-08.04 - -

The organization includes in the information system component inventory - information, a means for identifying by , - individuals responsible/accountable for administering those components.

- - -

Identifying individuals who are both responsible and accountable for administering - information system components helps to ensure that the assigned components are - properly administered and organizations can contact those individuals if some - action is required (e.g., component is determined to be the source of a - breach/compromise, component needs to be recalled/replaced, or component needs to - be relocated).

- - -

Determine if the organization includes in the information system component - inventory for information system components, a means for identifying the - individuals responsible and accountable for administering those components by one - or more of the following:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - CM-8(4)[1] -

name;

- - - CM-8(4)[2] -

position; and/or

- - - CM-8(4)[3] -

role.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the information - system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - No Duplicate Accounting of Components - CM-8(5) - cm-08.05 - -

The organization verifies that all components within the authorization boundary of - the information system are not duplicated in other information system component - inventories.

- - -

This control enhancement addresses the potential problem of duplicate accounting - of information system components in large or complex interconnected systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization verifies that all components within the - authorization boundary of the information system are not duplicated in other - information system inventories.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system inventory responsibilities

-

organizational personnel with responsibilities for defining information system - components within the authorization boundary of the system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - - Configuration Management Plan - - CM-9 - cm-09 - NIST Special Publication 800-128 - -

The organization develops, documents, and implements a configuration management plan - for the information system that:

- - a. -

Addresses roles, responsibilities, and configuration management processes and - procedures;

- - - b. -

Establishes a process for identifying configuration items throughout the system - development life cycle and for managing the configuration of the configuration - items;

- - - c. -

Defines the configuration items for the information system and places the - configuration items under configuration management; and

- - - d. -

Protects the configuration management plan from unauthorized disclosure and - modification.

- - - -

Configuration management plans satisfy the requirements in configuration management - policies while being tailored to individual information systems. Such plans define - detailed processes and procedures for how configuration management is used to support - system development life cycle activities at the information system level. - Configuration management plans are typically developed during the - development/acquisition phase of the system development life cycle. The plans - describe how to move changes through change management processes, how to update - configuration settings and baselines, how to maintain information system component - inventories, how to control development, test, and operational environments, and how - to develop, release, and update key documents. Organizations can employ templates to - help ensure consistent and timely development and implementation of configuration - management plans. Such templates can represent a master configuration management plan - for the organization at large with subsets of the plan implemented on a system by - system basis. Configuration management approval processes include designation of key - management stakeholders responsible for reviewing and approving proposed changes to - information systems, and personnel that conduct security impact analyses prior to the - implementation of changes to the systems. Configuration items are the information - system items (hardware, software, firmware, and documentation) to be - configuration-managed. As information systems continue through the system development - life cycle, new configuration items may be identified and some existing configuration - items may no longer need to be under configuration control.

- CM-2 - CM-3 - CM-4 - CM-5 - CM-8 - SA-10 - - -

Determine if the organization develops, documents, and implements a configuration - management plan for the information system that:

- - assessment-objective - EXAMINE - CM-9(a) - - CM-9(a)[1] -

addresses roles;

- - - CM-9(a)[2] -

addresses responsibilities;

- - - CM-9(a)[3] -

addresses configuration management processes and procedures;

- - - - assessment-objective - EXAMINE - CM-9(b) -

establishes a process for:

- - CM-9(b)[1] -

identifying configuration items throughout the SDLC;

- - - CM-9(b)[2] -

managing the configuration of the configuration items;

- - - - CM-9(c) - - assessment-objective - EXAMINE - CM-9(c)[1] -

defines the configuration items for the information system;

- - - assessment-objective - EXAMINE - CM-9(c)[2] -

places the configuration items under configuration management;

- - - - assessment-objective - INTERVIEW - TEST - CM-9(d) -

protects the configuration management plan from unauthorized:

- - CM-9(d)[1] -

disclosure; and

- - - CM-9(d)[2] -

modification.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration management planning

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for developing the configuration - management plan

-

organizational personnel with responsibilities for implementing and managing - processes defined in the configuration management plan

-

organizational personnel with responsibilities for protecting the configuration - management plan

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting the configuration - management plan

-

organizational processes for identifying and managing configuration items

-

organizational processes for protecting the configuration management plan

-

automated mechanisms implementing the configuration management plan

-

automated mechanisms for managing configuration items

-

automated mechanisms for protecting the configuration management plan

- - - - - Software Usage Restrictions - CM-10 - cm-10 - -

The organization:

- - a. -

Uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - b. -

Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - c. -

Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - -

Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs.

- AC-17 - CM-8 - SC-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - CM-10(a) -

uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - assessment-objective - EXAMINE - CM-10(b) -

tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - assessment-objective - INTERVIEW - TEST - CM-10(c) -

controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing software usage restrictions

-

configuration management plan

-

security plan

-

software contract agreements and copyright laws

-

site license documentation

-

list of software usage restrictions

-

software license tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with software license management responsibilities

- - - - TEST - -

Organizational process for tracking the use of software protected by quantity - licenses

-

organization process for controlling/documenting the use of peer-to-peer file - sharing technology

-

automated mechanisms implementing software license tracking

-

automated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology

- - - - Open Source Software - - - - CM-10(1) - cm-10.01 - -

The organization establishes the following restrictions on the use of open source - software: .

- - -

Open source software refers to software that is available in source code form. - Certain software rights normally reserved for copyright holders are routinely - provided under software license agreements that permit individuals to study, - change, and improve the software. From a security perspective, the major advantage - of open source software is that it provides organizations with the ability to - examine the source code. However, there are also various licensing issues - associated with open source software including, for example, the constraints on - derivative use of such software.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-10(1)[1] -

defines restrictions on the use of open source software; and

- - - assessment-objective - INTERVIEW - TEST - CM-10(1)[2] -

establishes organization-defined restrictions on the use of open source - software.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing restrictions on use of open source software

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for establishing and enforcing - restrictions on use of open source software

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for restricting the use of open source software

-

automated mechanisms implementing restrictions on the use of open source - software

- - - - - - User-installed Software - - - - - - - - - Continuously (via CM-7 (5)) - - CM-11 - cm-11 - -

The organization:

- - a. -

Establishes governing the installation of - software by users;

- - - b. -

Enforces software installation policies through ; - and

- - - c. -

Monitors policy compliance at .

- - - -

If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both.

- AC-3 - CM-2 - CM-3 - CM-5 - CM-6 - CM-7 - PL-4 - - -

Determine if the organization:

- - CM-11(a) - - assessment-objective - EXAMINE - CM-11(a)[1] -

defines policies to govern the installation of software by users;

- - - assessment-objective - EXAMINE - CM-11(a)[2] -

establishes organization-defined policies governing the installation of - software by users;

- - - - CM-11(b) - - assessment-objective - EXAMINE - CM-11(b)[1] -

defines methods to enforce software installation policies;

- - - assessment-objective - INTERVIEW - TEST - CM-11(b)[2] -

enforces software installation policies through organization-defined - methods;

- - - - CM-11(c) - - assessment-objective - EXAMINE - CM-11(c)[1] -

defines frequency to monitor policy compliance; and

- - - assessment-objective - INTERVIEW - TEST - CM-11(c)[2] -

monitors policy compliance at organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of rules governing user installed software

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

-

continuous monitoring strategy

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel monitoring compliance with user-installed software - policy

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms enforcing rules/methods for governing the installation of - software by users

-

automated mechanisms monitoring policy compliance

- - - - Alerts for Unauthorized Installations - - - - CM-11(1) - cm-11.01 - -

The information system alerts when the - unauthorized installation of software is detected.

- - - CA-7 - SI-4 - - -

Determine if:

- - assessment-objective - EXAMINE - CM-11(1)[1] -

the organization defines personnel or roles to be alerted when the unauthorized - installation of software is detected; and

- - - assessment-objective - INTERVIEW - TEST - CM-11(1)[2] -

the information system alerts organization-defined personnel or roles when the - unauthorized installation of software is detected.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms for alerting personnel/roles when unauthorized - installation of software is detected

- - - - - - - Contingency Planning - - Contingency Planning Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - CP-1 - cp-01 - Federal Continuity Directive 1 - NIST Special Publication 800-12 - NIST Special Publication 800-34 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Contingency planning policy ; and

- - - 2. -

Contingency planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if:

- - CP-1(a) - - CP-1(a)(1) - - assessment-objective - EXAMINE - CP-1(a)(1)[1] -

the organization develops and documents a contingency planning policy that - addresses:

- - CP-1(a)(1)[1][a] -

purpose;

- - - CP-1(a)(1)[1][b] -

scope;

- - - CP-1(a)(1)[1][c] -

roles;

- - - CP-1(a)(1)[1][d] -

responsibilities;

- - - CP-1(a)(1)[1][e] -

management commitment;

- - - CP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CP-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CP-1(a)(1)[2] -

the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-1(a)(1)[3] -

the organization disseminates the contingency planning policy to - organization-defined personnel or roles;

- - - - CP-1(a)(2) - - assessment-objective - EXAMINE - CP-1(a)(2)[1] -

the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls;

- - - assessment-objective - EXAMINE - CP-1(a)(2)[2] -

the organization defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-1(a)(2)[3] -

the organization disseminates the procedures to organization-defined - personnel or roles;

- - - - - CP-1(b) - - CP-1(b)(1) - - assessment-objective - EXAMINE - CP-1(b)(1)[1] -

the organization defines the frequency to review and update the current - contingency planning policy;

- - - assessment-objective - EXAMINE - CP-1(b)(1)[2] -

the organization reviews and updates the current contingency planning with - the organization-defined frequency;

- - - - CP-1(b)(2) - - assessment-objective - EXAMINE - CP-1(b)(2)[1] -

the organization defines the frequency to review and update the current - contingency planning procedures; and

- - - assessment-objective - EXAMINE - CP-1(b)(2)[2] -

the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Contingency planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - Contingency Plan - - - - - - - - - at least annually - - - - - - CP-2 - cp-02 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Develops a contingency plan for the information system that:

- - 1. -

Identifies essential missions and business functions and associated contingency - requirements;

- - - 2. -

Provides recovery objectives, restoration priorities, and metrics;

- - - 3. -

Addresses contingency roles, responsibilities, assigned individuals with - contact information;

- - - 4. -

Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - 5. -

Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and

- - - 6. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the contingency plan to ;

- - - c. -

Coordinates contingency planning activities with incident handling activities;

- - - d. -

Reviews the contingency plan for the information system ;

- - - e. -

Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing;

- - - f. -

Communicates contingency plan changes to ; and

- - - g. -

Protects the contingency plan from unauthorized disclosure and modification.

- - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - -

Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident.

- AC-14 - CP-6 - CP-7 - CP-8 - CP-9 - CP-10 - IR-4 - IR-8 - MP-2 - MP-4 - MP-5 - PM-8 - PM-11 - - -

Determine if the organization:

- - CP-2(a) -

develops and documents a contingency plan for the information system that:

- - assessment-objective - EXAMINE - CP-2(a)(1) -

identifies essential missions and business functions and associated contingency - requirements;

- - - assessment-objective - EXAMINE - CP-2(a)(2) - - CP-2(a)(2)[1] -

provides recovery objectives;

- - - CP-2(a)(2)[2] -

provides restoration priorities;

- - - CP-2(a)(2)[3] -

provides metrics;

- - - - assessment-objective - EXAMINE - CP-2(a)(3) - - CP-2(a)(3)[1] -

addresses contingency roles;

- - - CP-2(a)(3)[2] -

addresses contingency responsibilities;

- - - CP-2(a)(3)[3] -

addresses assigned individuals with contact information;

- - - - assessment-objective - EXAMINE - CP-2(a)(4) -

addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - assessment-objective - EXAMINE - CP-2(a)(5) -

addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented;

- - - CP-2(a)(6) - - assessment-objective - EXAMINE - CP-2(a)(6)[1] -

defines personnel or roles to review and approve the contingency plan for - the information system;

- - - assessment-objective - EXAMINE - CP-2(a)(6)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - CP-2(b) - - assessment-objective - EXAMINE - CP-2(b)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-2(b)[2] -

distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements;

- - - - assessment-objective - EXAMINE - INTERVIEW - CP-2(c) -

coordinates contingency planning activities with incident handling activities;

- - - CP-2(d) - - assessment-objective - EXAMINE - CP-2(d)[1] -

defines a frequency to review the contingency plan for the information - system;

- - - assessment-objective - EXAMINE - CP-2(d)[2] -

reviews the contingency plan with the organization-defined frequency;

- - - - CP-2(e) -

updates the contingency plan to address:

- - assessment-objective - TEST - CP-2(e)[1] -

changes to the organization, information system, or environment of - operation;

- - - assessment-objective - TEST - CP-2(e)[2] -

problems encountered during plan implementation, execution, and testing;

- - - - CP-2(f) - - assessment-objective - EXAMINE - CP-2(f)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-2(f)[2] -

communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and

- - - - assessment-objective - TEST - CP-2(g) -

protects the contingency plan from unauthorized disclosure and modification.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

evidence of contingency plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan development, review, update, and - protection

-

automated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan

- - - - Coordinate with Related Plans - CP-2(1) - cp-02.01 - -

The organization coordinates contingency plan development with organizational - elements responsible for related plans.

- - -

Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant - Emergency Plans.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization coordinates contingency plan development with - organizational elements responsible for related plans.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business contingency plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

cyber incident response plan

-

insider threat implementation plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

-

personnel with responsibility for related plans

- - - - - Capacity Planning - CP-2(2) - cp-02.02 - -

The organization conducts capacity planning so that necessary capacity for - information processing, telecommunications, and environmental support exists - during contingency operations.

- - -

Capacity planning is needed because different types of threats (e.g., natural - disasters, targeted cyber attacks) can result in a reduction of the available - processing, telecommunications, and support services originally intended to - support the organizational missions/business functions. Organizations may need to - anticipate degraded operations during contingency operations and factor such - degradation into capacity planning.

- - -

Determine if the organization conducts capacity planning so that necessary - capacity exists during contingency operations for:

- - assessment-objective - EXAMINE - INTERVIEW - CP-2(2)[1] -

information processing;

- - - CP-2(2)[2] -

telecommunications; and

- - - CP-2(2)[3] -

environmental support.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

capacity planning documents

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Resume Essential Missions / Business Functions - - - - CP-2(3) - cp-02.03 - -

The organization plans for the resumption of essential missions and business - functions within of contingency plan - activation.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of essential missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure.

- PE-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-2(3)[1] -

defines the time period to plan for the resumption of essential missions and - business functions as a result of contingency plan activation; and

- - - assessment-objective - INTERVIEW - TEST - CP-2(3)[2] -

plans for the resumption of essential missions and business functions within - organization-defined time period of contingency plan activation.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

business impact assessment

-

other related plans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for resumption of missions and business functions

- - - - - Resume All Missions / Business Functions - - - time period defined in service provider and organization SLA - - CP-2(4) - cp-02.04 - -

The organization plans for the resumption of all missions and business functions - within of contingency plan activation.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of all missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure.

- PE-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-2(4)[1] -

defines the time period to plan for the resumption of all missions and business - functions as a result of contingency plan activation; and

- - - assessment-objective - INTERVIEW - TEST - CP-2(4)[2] -

plans for the resumption of all missions and business functions within - organization-defined time period of contingency plan activation.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

business impact assessment

-

other related plans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for resumption of missions and business functions

- - - - - Continue Essential Missions / Business Functions - CP-2(5) - cp-02.05 - -

The organization plans for the continuance of essential missions and business - functions with little or no loss of operational continuity and sustains that - continuity until full information system restoration at primary processing and/or - storage sites.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Primary processing - and/or storage sites defined by organizations as part of contingency planning may - change depending on the circumstances associated with the contingency (e.g., - backup sites may become primary sites).

- PE-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-2(5)[1] -

plans for the continuance of essential missions and business functions with - little or no loss of operational continuity; and

- - - assessment-objective - INTERVIEW - TEST - CP-2(5)[2] -

sustains that operational continuity until full information system restoration - at primary processing and/or storage sites.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business impact assessment

-

primary processing site agreements

-

primary storage site agreements

-

alternate processing site agreements

-

alternate storage site agreements

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for continuing missions and business functions

- - - - - Identify Critical Assets - CP-2(8) - cp-02.08 - -

The organization identifies critical information system assets supporting - essential missions and business functions.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Organizations - identify critical information system assets so that additional safeguards and - countermeasures can be employed (above and beyond those safeguards and - countermeasures routinely implemented) to help ensure that organizational - missions/business functions can continue to be conducted during contingency - operations. In addition, the identification of critical information assets - facilitates the prioritization of organizational resources. Critical information - system assets include technical and operational aspects. Technical aspects - include, for example, information technology services, information system - components, information technology products, and mechanisms. Operational aspects - include, for example, procedures (manually executed operations) and personnel - (individuals operating technical safeguards and/or executing manual procedures). - Organizational program protection plans can provide assistance in identifying - critical assets.

- SA-14 - SA-15 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization identifies critical information system assets - supporting essential missions and business functions.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business impact assessment

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Contingency Training - - - ten (10) days - - - - at least annually - - - CP-3 - cp-03 - Federal Continuity Directive 1 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides contingency training to information system users consistent - with assigned roles and responsibilities:

- - a. -

Within of assuming a contingency role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan.

- AT-2 - AT-3 - CP-2 - IR-2 - - -

Determine if the organization:

- - CP-3(a) - - assessment-objective - EXAMINE - CP-3(a)[1] -

defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility;

- - - assessment-objective - INTERVIEW - TEST - CP-3(a)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility;

- - - - assessment-objective - INTERVIEW - TEST - CP-3(b) -

provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes;

- - - CP-3(c) - - assessment-objective - EXAMINE - CP-3(c)[1] -

defines the frequency for contingency training thereafter; and

- - - assessment-objective - INTERVIEW - TEST - CP-3(c)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

security plan

-

contingency training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

- - - - Simulated Events - CP-3(1) - cp-03.01 - -

The organization incorporates simulated events into contingency training to - facilitate effective response by personnel in crisis situations.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization incorporates simulated events into contingency - training to facilitate effective response by personnel in crisis situations.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

-

automated mechanisms for simulating contingency events

- - - - - - Contingency Plan Testing - - - at least annually - - - - functional exercises - - - CP-4 - cp-04 - Federal Continuity Directive 1 - FIPS Publication 199 - NIST Special Publication 800-34 - NIST Special Publication 800-84 - -

The organization:

- - a. -

Tests the contingency plan for the information system using to determine the - effectiveness of the plan and the organizational readiness to execute the - plan;

- - - b. -

Reviews the contingency plan test results; and

- - - c. -

Initiates corrective actions, if needed.

- - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - -

Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions.

- CP-2 - CP-3 - IR-3 - - -

Determine if the organization:

- - CP-4(a) - - assessment-objective - EXAMINE - CP-4(a)[1] -

defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan;

- - - assessment-objective - EXAMINE - CP-4(a)[2] -

defines a frequency to test the contingency plan for the information - system;

- - - assessment-objective - TEST - CP-4(a)[3] -

tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan;

- - - - assessment-objective - INTERVIEW - TEST - CP-4(b) -

reviews the contingency plan test results; and

- - - assessment-objective - TEST - CP-4(c) -

initiates corrective actions, if needed.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

security plan

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - - Coordinate with Related Plans - CP-4(1) - cp-04.01 - -

The organization coordinates contingency plan testing with organizational elements - responsible for related plans.

- - -

Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, and Occupant Emergency Plans. This control - enhancement does not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. It does - require, however, that if such organizational elements are responsible for related - plans, organizations should coordinate with those elements.

- IR-8 - PM-8 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization coordinates contingency plan testing with - organizational elements responsible for related plans.

- - - EXAMINE - -

Contingency planning policy

-

incident response policy

-

procedures addressing contingency plan testing

-

contingency plan testing documentation

-

contingency plan

-

business continuity plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

cyber incident response plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel

-

personnel with responsibilities for related plans

-

organizational personnel with information security responsibilities

- - - - - Alternate Processing Site - CP-4(2) - cp-04.02 - -

The organization tests the contingency plan at the alternate processing site:

- - (a) -

To familiarize contingency personnel with the facility and available resources; - and

- - - (b) -

To evaluate the capabilities of the alternate processing site to support - contingency operations.

- - - - CP-7 - - -

Determine if the organization tests the contingency plan at the alternate - processing site to:

- - assessment-objective - EXAMINE - INTERVIEW - CP-4(2)(a) -

familiarize contingency personnel with the facility and available resources; - and

- CP-4(2)(a) - - - assessment-objective - EXAMINE - INTERVIEW - CP-4(2)(b) -

evaluate the capabilities of the alternate processing site to support - contingency operations.

- CP-4(2)(b) - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

contingency plan test documentation

-

contingency plan test results

-

alternate processing site agreements

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - - - - Alternate Storage Site - CP-6 - cp-06 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and

- - - b. -

Ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site.

- - - -

Alternate storage sites are sites that are geographically distinct from primary - storage sites. An alternate storage site maintains duplicate copies of information - and data in the event that the primary storage site is not available. Items covered - by alternate storage site agreements include, for example, environmental conditions - at alternate sites, access rules, physical and environmental protection requirements, - and coordination of delivery/retrieval of backup media. Alternate storage sites - reflect the requirements in contingency plans so that organizations can maintain - essential missions/business functions despite disruption, compromise, or failure in - organizational information systems.

- CP-2 - CP-7 - CP-9 - CP-10 - MP-4 - - -

Determine if the organization:

- - CP-6[1] -

establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and

- - - CP-6[2] -

ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site agreements

-

primary storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for storing and retrieving information system backup - information at the alternate storage site

-

automated mechanisms supporting and/or implementing storage and retrieval of - information system backup information at the alternate storage site

- - - - Separation from Primary Site - CP-6(1) - cp-06.01 - -

The organization identifies an alternate storage site that is separated from the - primary storage site to reduce susceptibility to the same threats.

- - -

Threats that affect alternate storage sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate storage sites based on the types of threats that are - of concern. For one particular type of threat (i.e., hostile cyber attack), the - degree of separation between sites is less relevant.

- RA-3 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization identifies an alternate storage site that is - separated from the primary storage site to reduce susceptibility to the same - threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

alternate storage site agreements

-

primary storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Recovery Time / Point Objectives - CP-6(2) - cp-06.02 - -

The organization configures the alternate storage site to facilitate recovery - operations in accordance with recovery time and recovery point objectives.

- - - assessment-objective - EXAMINE - TEST -

Determine if the organization configures the alternate storage site to facilitate - recovery operations in accordance with recovery time objectives and recovery point - objectives (as specified in the information system contingency plan).

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

alternate storage site agreements

-

alternate storage site configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel with responsibilities for testing related plans

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting recovery time/point objectives

- - - - - Accessibility - CP-6(3) - cp-06.03 - -

The organization identifies potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. Explicit - mitigation actions include, for example: (i) duplicating backup information at - other alternate storage sites if access problems occur at originally designated - alternate sites; or (ii) planning for physical access to retrieve backup - information if electronic accessibility to the alternate site is disrupted.

- RA-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-6(3)[1] -

identifies potential accessibility problems to the alternate storage site in - the event of an area-wide disruption or disaster; and

- - - assessment-objective - EXAMINE - INTERVIEW - CP-6(3)[2] -

outlines explicit mitigation actions for such potential accessibility problems - to the alternate storage site in the event of an area-wide disruption or - disaster.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

list of potential accessibility problems to alternate storage site

-

mitigation actions for accessibility problems to alternate storage site

-

organizational risk assessments

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Alternate Processing Site - - - - - - - - CP-7 - cp-07 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Establishes an alternate processing site including necessary agreements to permit - the transfer and resumption of for essential - missions/business functions within when the - primary processing capabilities are unavailable;

- - - b. -

Ensures that equipment and supplies required to transfer and resume operations are - available at the alternate processing site or contracts are in place to support - delivery to the site within the organization-defined time period for - transfer/resumption; and

- - - c. -

Ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site.

- - - CP-7 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - -

Alternate processing sites are sites that are geographically distinct from primary - processing sites. An alternate processing site provides processing capability in the - event that the primary processing site is not available. Items covered by alternate - processing site agreements include, for example, environmental conditions at - alternate sites, access rules, physical and environmental protection requirements, - and coordination for the transfer/assignment of personnel. Requirements are - specifically allocated to alternate processing sites that reflect the requirements in - contingency plans to maintain essential missions/business functions despite - disruption, compromise, or failure in organizational information systems.

- CP-2 - CP-6 - CP-8 - CP-9 - CP-10 - MA-6 - - -

Determine if the organization:

- - CP-7(a) - - assessment-objective - EXAMINE - CP-7(a)[1] -

defines information system operations requiring an alternate processing site to - be established to permit the transfer and resumption of such operations;

- - - assessment-objective - EXAMINE - CP-7(a)[2] -

defines the time period consistent with recovery time objectives and recovery - point objectives (as specified in the information system contingency plan) for - transfer/resumption of organization-defined information system operations for - essential missions/business functions;

- - - assessment-objective - INTERVIEW - TEST - CP-7(a)[3] -

establishes an alternate processing site including necessary agreements to - permit the transfer and resumption of organization-defined information system - operations for essential missions/business functions, within the - organization-defined time period, when the primary processing capabilities are - unavailable;

- - - - CP-7(b) - - assessment-objective - INTERVIEW - TEST - CP-7(b)[1] -

ensures that equipment and supplies required to transfer and resume operations - are available at the alternate processing site; or

- - - assessment-objective - INTERVIEW - TEST - CP-7(b)[2] -

ensures that contracts are in place to support delivery to the site within the - organization-defined time period for transfer/resumption; and

- - - - assessment-objective - INTERVIEW - TEST - CP-7(c) -

ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site agreements

-

primary processing site agreements

-

spare equipment and supplies inventory at alternate processing site

-

equipment and supply contracts

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency planning and/or - alternate site arrangements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for recovery at the alternate site

-

automated mechanisms supporting and/or implementing recovery at the alternate - processing site

- - - - Separation from Primary Site - CP-7(1) - cp-07.01 - -

The organization identifies an alternate processing site that is separated from - the primary processing site to reduce susceptibility to the same threats.

- - CP-7 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Threats that affect alternate processing sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate processing sites based on the types of threats that - are of concern. For one particular type of threat (i.e., hostile cyber attack), - the degree of separation between sites is less relevant.

- RA-3 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization identifies an alternate processing site that is - separated from the primary storage site to reduce susceptibility to the same - threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

primary processing site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Accessibility - CP-7(2) - cp-07.02 - -

The organization identifies potential accessibility problems to the alternate - processing site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk.

- RA-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-7(2)[1] -

identifies potential accessibility problems to the alternate processing site in - the event of an area-wide disruption or disaster; and

- - - assessment-objective - EXAMINE - INTERVIEW - CP-7(2)[2] -

outlines explicit mitigation actions for such potential accessibility problems - to the alternate processing site in the event of an area-wide disruption or - disaster.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

primary processing site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Priority of Service - CP-7(3) - cp-07.03 - -

The organization develops alternate processing site agreements that contain - priority-of-service provisions in accordance with organizational availability - requirements (including recovery time objectives).

- - -

Priority-of-service agreements refer to negotiated agreements with service - providers that ensure that organizations receive priority treatment consistent - with their availability requirements and the availability of information resources - at the alternate processing site.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization develops alternate processing site agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in the - information system contingency plan).

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site agreements

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - - Preparation for Use - CP-7(4) - cp-07.04 - -

The organization prepares the alternate processing site so that the site is ready - to be used as the operational site supporting essential missions and business - functions.

- - -

Site preparation includes, for example, establishing configuration settings for - information system components at the alternate processing site consistent with the - requirements for such settings at the primary site and ensuring that essential - supplies and other logistical considerations are in place.

- CM-2 - CM-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization prepares the alternate processing site so that the - site is ready to be used as the operational site supporting essential missions and - business functions.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

alternate processing site configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing recovery at the alternate - processing site

- - - - - - Telecommunications Services - - - - - - - CP-8 - cp-08 - NIST Special Publication 800-34 - National Communications Systems Directive 3-10 - http://www.dhs.gov/telecommunications-service-priority-tsp - -

The organization establishes alternate telecommunications services including - necessary agreements to permit the resumption of for - essential missions and business functions within when - the primary telecommunications capabilities are unavailable at either the primary or - alternate processing or storage sites.

- - CP-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - -

This control applies to telecommunications services (data and voice) for primary and - alternate processing and storage sites. Alternate telecommunications services reflect - the continuity requirements in contingency plans to maintain essential - missions/business functions despite the loss of primary telecommunications services. - Organizations may specify different time periods for primary/alternate sites. - Alternate telecommunications services include, for example, additional organizational - or commercial ground-based circuits/lines or satellites in lieu of ground-based - communications. Organizations consider factors such as availability, quality of - service, and access when entering into alternate telecommunications agreements.

- CP-2 - CP-6 - CP-7 - - -

Determine if the organization:

- - CP-8[1] -

defines information system operations requiring alternate telecommunications - services to be established to permit the resumption of such operations;

- - - CP-8[2] -

defines the time period to permit resumption of organization-defined information - system operations for essential missions and business functions; and

- - - CP-8[3] -

establishes alternate telecommunications services including necessary agreements - to permit the resumption of organization-defined information system operations for - essential missions and business functions, within the organization-defined time - period, when the primary telecommunications capabilities are unavailable at either - the primary or alternate processing or storage sites.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - TEST - -

Automated mechanisms supporting telecommunications

- - - - Priority of Service Provisions - CP-8(1) - cp-08.01 - -

The organization:

- - (a) -

Develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives); and

- - - (b) -

Requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier.

- - - -

Organizations consider the potential mission/business impact in situations where - telecommunications service providers are servicing other organizations with - similar priority-of-service provisions.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-8(1)[1] -

develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in - the information system contingency plan); and

- - - assessment-objective - INTERVIEW - TEST - CP-8(1)[2] -

requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

Telecommunications Service Priority documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - TEST - -

Automated mechanisms supporting telecommunications

- - - - - Single Points of Failure - CP-8(2) - cp-08.02 - -

The organization obtains alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization obtains alternate telecommunications services to - reduce the likelihood of sharing a single point of failure with primary - telecommunications services.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

- - - - - Separation of Primary / Alternate Providers - CP-8(3) - cp-08.03 - -

The organization obtains alternate telecommunications services from providers that - are separated from primary service providers to reduce susceptibility to the same - threats.

- - -

Threats that affect telecommunications services are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber/physical attacks, and errors of - omission/commission. Organizations seek to reduce common susceptibilities by, for - example, minimizing shared infrastructure among telecommunications service - providers and achieving sufficient geographic separation between services. - Organizations may consider using a single service provider in situations where the - service provider can provide alternate telecommunications services meeting the - separation needs addressed in the risk assessment.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization obtains alternate telecommunications services from - providers that are separated from primary service providers to reduce - susceptibility to the same threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

alternate telecommunications service provider site

-

primary telecommunications service provider site

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

- - - - - Provider Contingency Plan - - - annually - - CP-8(4) - cp-08.04 - -

The organization:

- - (a) -

Requires primary and alternate telecommunications service providers to have - contingency plans;

- - - (b) -

Reviews provider contingency plans to ensure that the plans meet organizational - contingency requirements; and

- - - (c) -

Obtains evidence of contingency testing/training by providers .

- - - -

Reviews of provider contingency plans consider the proprietary nature of such - plans. In some situations, a summary of provider contingency plans may be - sufficient evidence for organizations to satisfy the review requirement. - Telecommunications service providers may also participate in ongoing disaster - recovery exercises in coordination with the Department of Homeland Security, - state, and local governments. Organizations may use these types of activities to - satisfy evidentiary requirements related to service provider contingency plan - reviews, testing, and training.

- - -

Determine if the organization:

- - CP-8(4)(a) - - assessment-objective - EXAMINE - INTERVIEW - CP-8(4)(a)[1] -

requires primary telecommunications service provider to have contingency - plans;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-8(4)(a)[2] -

requires alternate telecommunications service provider(s) to have - contingency plans;

- - CP-8(4)(a) - - - assessment-objective - EXAMINE - INTERVIEW - CP-8(4)(b) -

reviews provider contingency plans to ensure that the plans meet organizational - contingency requirements;

- CP-8(4)(b) - - - CP-8(4)(c) - - assessment-objective - EXAMINE - CP-8(4)(c)[1] -

defines the frequency to obtain evidence of contingency testing/training by - providers; and

- - - assessment-objective - EXAMINE - INTERVIEW - CP-8(4)(c)[2] -

obtains evidence of contingency testing/training by providers with the - organization-defined frequency.

- - CP-8(4)(c) - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

provider contingency plans

-

evidence of contingency testing/training by providers

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - testing responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - - - Information System Backup - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - CP-9 - cp-09 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Conducts backups of user-level information contained in the information system - ;

- - - b. -

Conducts backups of system-level information contained in the information system - ;

- - - c. -

Conducts backups of information system documentation including security-related - documentation ; and

- - - d. -

Protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - -

System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information.

- CP-2 - CP-6 - MP-4 - MP-5 - SC-13 - - -

Determine if the organization:

- - CP-9(a) - - assessment-objective - EXAMINE - CP-9(a)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system;

- - - assessment-objective - TEST - CP-9(a)[2] -

conducts backups of user-level information contained in the information system - with the organization-defined frequency;

- - - - CP-9(b) - - assessment-objective - EXAMINE - CP-9(b)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system;

- - - assessment-objective - TEST - CP-9(b)[2] -

conducts backups of system-level information contained in the information - system with the organization-defined frequency;

- - - - CP-9(c) - - assessment-objective - EXAMINE - CP-9(c)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation;

- - - assessment-objective - TEST - CP-9(c)[2] -

conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and

- - - - assessment-objective - INTERVIEW - TEST - CP-9(d) -

protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system backups

- - - - Testing for Reliability / Integrity - - - at least monthly - - - CP-9(1) - cp-09.01 - -

The organization tests backup information to - verify media reliability and information integrity.

- - - CP-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-9(1)[1] -

defines the frequency to test backup information to verify media reliability - and information integrity; and

- - - assessment-objective - TEST - CP-9(1)[2] -

tests backup information with the organization-defined frequency to verify - media reliability and information integrity.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system - backups

- - - - - Test Restoration Using Sampling - CP-9(2) - cp-09.02 - -

The organization uses a sample of backup information in the restoration of - selected information system functions as part of contingency plan testing.

- - - CP-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization uses a sample of backup information in the - restoration of selected information system functions as part of contingency plan - testing.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with contingency planning/contingency plan testing - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system - backups

- - - - - Separate Storage for Critical Information - - - - CP-9(3) - cp-09.03 - -

The organization stores backup copies of in a - separate facility or in a fire-rated container that is not collocated with the - operational system.

- - -

Critical information system software includes, for example, operating systems, - cryptographic key management systems, and intrusion detection/prevention systems. - Security-related information includes, for example, organizational inventories of - hardware, software, and firmware components. Alternate storage sites typically - serve as separate storage facilities for organizations.

- CM-2 - CM-8 - - -

Determine if the organization:

- - CP-9(3)[1] - - assessment-objective - EXAMINE - CP-9(3)[1][a] -

defines critical information system software and other security-related - information requiring backup copies to be stored in a separate facility; - or

- - - assessment-objective - EXAMINE - CP-9(3)[1][b] -

defines critical information system software and other security-related - information requiring backup copies to be stored in a fire-rated container - that is not collocated with the operational system; and

- - - - assessment-objective - EXAMINE - INTERVIEW - CP-9(3)[2] -

stores backup copies of organization-defined critical information system - software and other security-related information in a separate facility or in a - fire-rated container that is not collocated with the operational system.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup configurations and associated documentation

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - - Transfer to Alternate Storage Site - - - time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA - - CP-9(5) - cp-09.05 - -

The organization transfers information system backup information to the alternate - storage site .

- - -

Information system backup information can be transferred to alternate storage - sites either electronically or by physical shipment of storage media.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-9(5)[1] -

defines a time period, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - transfer information system backup information to the alternate storage - site;

- - - assessment-objective - EXAMINE - CP-9(5)[2] -

defines a transfer rate, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - transfer information system backup information to the alternate storage site; - and

- - - assessment-objective - TEST - CP-9(5)[3] -

transfers information system backup information to the alternate storage site - with the organization-defined time period and transfer rate.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup logs or records

-

evidence of system backup information transferred to alternate storage site

-

alternate storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for transferring information system backups to the - alternate storage site

-

automated mechanisms supporting and/or implementing information system - backups

-

automated mechanisms supporting and/or implementing information transfer to the - alternate storage site

- - - - - - Information System Recovery and Reconstitution - CP-10 - cp-10 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure.

- - -

Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures.

- CA-2 - CA-6 - CA-7 - CP-2 - CP-6 - CP-7 - CP-9 - SC-24 - - -

Determine if the organization provides for:

- - assessment-objective - EXAMINE - TEST - CP-10[1] -

the recovery of the information system to a known state after:

- - CP-10[1][a] -

a disruption;

- - - CP-10[1][b] -

a compromise; or

- - - CP-10[1][c] -

a failure;

- - - - CP-10[2] -

the reconstitution of the information system to a known state after:

- - CP-10[2][a] -

a disruption;

- - - CP-10[2][b] -

a compromise; or

- - - CP-10[2][c] -

a failure.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test results

-

contingency plan test documentation

-

redundant secondary system for information system backups

-

location(s) of redundant secondary backup system(s)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes implementing information system recovery and - reconstitution operations

-

automated mechanisms supporting and/or implementing information system recovery - and reconstitution operations

- - - - Transaction Recovery - CP-10(2) - cp-10.02 - -

The information system implements transaction recovery for systems that are - transaction-based.

- - -

Transaction-based information systems include, for example, database management - systems and transaction processing systems. Mechanisms supporting transaction - recovery include, for example, transaction rollback and transaction - journaling.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements transaction recovery for systems - that are transaction-based.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

contingency plan test documentation

-

contingency plan test results

-

information system transaction recovery records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for transaction recovery

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing transaction recovery - capability

- - - - - Restore Within Time Period - - - time period consistent with the restoration time-periods defined in the service provider and organization SLA - - CP-10(4) - cp-10.04 - -

The organization provides the capability to restore information system components - within from configuration-controlled and - integrity-protected information representing a known, operational state for the - components.

- - -

Restoration of information system components includes, for example, reimaging - which restores components to known, operational states.

- CM-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-10(4)[1] -

defines a time period to restore information system components from - configuration-controlled and integrity-protected information representing a - known, operational state for the components; and

- - - assessment-objective - INTERVIEW - TEST - CP-10(4)[2] -

provides the capability to restore information system components within the - organization-defined time period from configuration-controlled and - integrity-protected information representing a known, operational state for the - components.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

contingency plan test documentation

-

contingency plan test results

-

evidence of information system recovery and reconstitution operations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system recovery and reconstitution - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing recovery/reconstitution of - information system information

- - - - - - - Identification and Authentication - - Identification and Authentication Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - IA-1 - ia-01 - FIPS Publication 201 - NIST Special Publication 800-12 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Identification and authentication policy ; - and

- - - 2. -

Identification and authentication procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IA-1(a) - - IA-1(a)(1) - - assessment-objective - EXAMINE - IA-1(a)(1)[1] -

develops and documents an identification and authentication policy that - addresses:

- - IA-1(a)(1)[1][a] -

purpose;

- - - IA-1(a)(1)[1][b] -

scope;

- - - IA-1(a)(1)[1][c] -

roles;

- - - IA-1(a)(1)[1][d] -

responsibilities;

- - - IA-1(a)(1)[1][e] -

management commitment;

- - - IA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - IA-1(a)(1)[2] -

defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and

- - - assessment-objective - EXAMINE - INTERVIEW - IA-1(a)(1)[3] -

disseminates the identification and authentication policy to - organization-defined personnel or roles;

- - - - IA-1(a)(2) - - assessment-objective - EXAMINE - IA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls;

- - - assessment-objective - EXAMINE - IA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IA-1(b) - - IA-1(b)(1) - - assessment-objective - EXAMINE - IA-1(b)(1)[1] -

defines the frequency to review and update the current identification and - authentication policy;

- - - assessment-objective - EXAMINE - IA-1(b)(1)[2] -

reviews and updates the current identification and authentication policy - with the organization-defined frequency; and

- - - - IA-1(b)(2) - - assessment-objective - EXAMINE - IA-1(b)(2)[1] -

defines the frequency to review and update the current identification and - authentication procedures; and

- - - assessment-objective - EXAMINE - IA-1(b)(2)[2] -

reviews and updates the current identification and authentication procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Identification and authentication policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Identification and Authentication (organizational Users) - IA-2 - ia-02 - HSPD-12 - OMB Memorandum 04-04 - OMB Memorandum 06-16 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

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

- - -

Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8.

- AC-2 - AC-3 - AC-14 - AC-17 - AC-18 - IA-4 - IA-5 - IA-8 - - -

Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for uniquely identifying and authenticating users

-

automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Network Access to Privileged Accounts - IA-2(1) - ia-02.01 - -

The information system implements multifactor authentication for network access to - privileged accounts.

- - - AC-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Network Access to Non-privileged Accounts - IA-2(2) - ia-02.02 - -

The information system implements multifactor authentication for network access to - non-privileged accounts.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - network access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Local Access to Privileged Accounts - IA-2(3) - ia-02.03 - -

The information system implements multifactor authentication for local access to - privileged accounts.

- - - AC-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - local access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Local Access to Non-privileged Accounts - IA-2(4) - ia-02.04 - -

The information system implements multifactor authentication for local access to - non-privileged accounts.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - local access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Group Authentication - IA-2(5) - ia-02.05 - -

The organization requires individuals to be authenticated with an individual - authenticator when a group authenticator is employed.

- - -

Requiring individuals to use individual authenticators as a second level of - authentication helps organizations to mitigate the risk of using group - authenticators.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires individuals to be authenticated with an - individual authenticator when a group authenticator is employed.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authentication capability - for group accounts

- - - - - Network Access to Privileged Accounts - Replay Resistant - IA-2(8) - ia-02.08 - -

The information system implements replay-resistant authentication mechanisms for - network access to privileged accounts.

- - -

Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by replaying previous authentication messages. - Replay-resistant techniques include, for example, protocols that use nonces or - challenges such as Transport Layer Security (TLS) and time synchronous or - challenge-response one-time authenticators.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements replay-resistant authentication - mechanisms for network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing replay resistant - authentication mechanisms

- - - - - Network Access to Non-privileged Accounts - Replay Resistant - IA-2(9) - ia-02.09 - -

The information system implements replay-resistant authentication mechanisms for - network access to non-privileged accounts.

- - -

Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by recording/replaying previous authentication - messages. Replay-resistant techniques include, for example, protocols that use - nonces or challenges such as Transport Layer Security (TLS) and time synchronous - or challenge-response one-time authenticators.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements replay-resistant authentication - mechanisms for network access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of non-privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing replay resistant - authentication mechanisms

- - - - - Remote Access - Separate Device - - - FIPS 140-2, NIAP Certification, or NSA approval - - IA-2(11) - ia-02.11 - -

The information system implements multifactor authentication for remote access to - privileged and non-privileged accounts such that one of the factors is provided by - a device separate from the system gaining access and the device meets .

- - IA-2 (11) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

For remote access to privileged/non-privileged accounts, the purpose of requiring - a device that is separate from the information system gaining access for one of - the factors during multifactor authentication is to reduce the likelihood of - compromising authentication credentials stored on the system. For example, - adversaries deploying malicious code on organizational information systems can - potentially compromise such credentials resident on the system and subsequently - impersonate authorized users.

- AC-6 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - IA-2(11)[1] -

the information system implements multifactor authentication for remote access - to privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - assessment-objective - INTERVIEW - TEST - IA-2(11)[2] -

the information system implements multifactor authentication for remote access - to non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - assessment-objective - EXAMINE - IA-2(11)[3] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to privileged - accounts;

- - - assessment-objective - EXAMINE - IA-2(11)[4] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to non-privileged - accounts;

- - - assessment-objective - INTERVIEW - TEST - IA-2(11)[5] -

the information system implements multifactor authentication for remote access - to privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements; and

- - - assessment-objective - INTERVIEW - TEST - IA-2(11)[6] -

the information system implements multifactor authentication for remote access - to non-privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of privileged and non-privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Acceptance of PIV Credentials - IA-2(12) - ia-02.12 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials.

- - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-2(12)[1] -

accepts Personal Identity Verification (PIV) credentials; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-2(12)[2] -

electronically verifies Personal Identity Verification (PIV) credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials

- - - - - - Device Identification and Authentication - - - - - IA-3 - ia-03 - -

The information system uniquely identifies and authenticates before establishing a - connection.

- - -

Organizational devices requiring unique device-to-device identification and - authentication may be defined by type, by device, or by a combination of type/device. - Information systems typically use either shared known information (e.g., Media Access - Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) - for device identification or organizational authentication solutions (e.g., IEEE - 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport - Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on - local and/or wide area networks. Organizations determine the required strength of - authentication mechanisms by the security categories of information systems. Because - of the challenges of applying this control on large scale, organizations are - encouraged to only apply the control to those limited number (and type) of devices - that truly need to support this capability.

- AC-17 - AC-18 - AC-19 - CA-3 - IA-4 - IA-5 - - -

Determine if:

- - IA-3[1] -

the organization defines specific and/or types of devices that the information - system uniquely identifies and authenticates before establishing one or more of - the following:

- - IA-3[1][a] -

a local connection;

- - - IA-3[1][b] -

a remote connection; and/or

- - - IA-3[1][c] -

a network connection; and

- - - - assessment-objective - INTERVIEW - TEST - IA-3[2] -

the information system uniquely identifies and authenticates organization-defined - devices before establishing one or more of the following:

- - IA-3[2][a] -

a local connection;

- - - IA-3[2][b] -

a remote connection; and/or

- - - IA-3[2][c] -

a network connection.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing device identification and authentication

-

information system design documentation

-

list of devices requiring unique identification and authentication

-

device connection reports

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with operational responsibilities for device - identification and authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing device identification and - authentication capability

- - - - - Identifier Management - - - at a minimum, the ISSO (or similar role within the organization) - - - - at least two (2) years - - - - thirty-five (35) days (See additional requirements and guidance.) - - - IA-4 - ia-04 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - -

The organization manages information system identifiers by:

- - a. -

Receiving authorization from to assign an - individual, group, role, or device identifier;

- - - b. -

Selecting an identifier that identifies an individual, group, role, or device;

- - - c. -

Assigning the identifier to the intended individual, group, role, or device;

- - - d. -

Preventing reuse of identifiers for ; and

- - - e. -

Disabling the identifier after .

- - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - -

Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices.

- AC-2 - IA-2 - IA-3 - IA-5 - IA-8 - SC-37 - - -

Determine if the organization manages information system identifiers by:

- - IA-4(a) - - assessment-objective - EXAMINE - IA-4(a)[1] -

defining personnel or roles from whom authorization must be received to - assign:

- - IA-4(a)[1][a] -

an individual identifier;

- - - IA-4(a)[1][b] -

a group identifier;

- - - IA-4(a)[1][c] -

a role identifier; and/or

- - - IA-4(a)[1][d] -

a device identifier;

- - - - assessment-objective - INTERVIEW - TEST - IA-4(a)[2] -

receiving authorization from organization-defined personnel or roles to - assign:

- - IA-4(a)[2][a] -

an individual identifier;

- - - IA-4(a)[2][b] -

a group identifier;

- - - IA-4(a)[2][c] -

a role identifier; and/or

- - - IA-4(a)[2][d] -

a device identifier;

- - - - - assessment-objective - INTERVIEW - TEST - IA-4(b) -

selecting an identifier that identifies:

- - IA-4(b)[1] -

an individual;

- - - IA-4(b)[2] -

a group;

- - - IA-4(b)[3] -

a role; and/or

- - - IA-4(b)[4] -

a device;

- - - - assessment-objective - INTERVIEW - TEST - IA-4(c) -

assigning the identifier to the intended:

- - IA-4(c)[1] -

individual;

- - - IA-4(c)[2] -

group;

- - - IA-4(c)[3] -

role; and/or

- - - IA-4(c)[4] -

device;

- - - - IA-4(d) - - assessment-objective - EXAMINE - IA-4(d)[1] -

defining a time period for preventing reuse of identifiers;

- - - assessment-objective - INTERVIEW - TEST - IA-4(d)[2] -

preventing reuse of identifiers for the organization-defined time period;

- - - - IA-4(e) - - assessment-objective - EXAMINE - IA-4(e)[1] -

defining a time period of inactivity to disable the identifier; and

- - - assessment-objective - INTERVIEW - TEST - IA-4(e)[2] -

disabling the identifier after the organization-defined time period of - inactivity.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system accounts

-

list of identifiers generated from physical access control devices

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - Identify User Status - - - contractors; foreign nationals] - - IA-4(4) - ia-04.04 - -

The organization manages individual identifiers by uniquely identifying each - individual as .

- - -

Characteristics identifying the status of individuals include, for example, - contractors and foreign nationals. Identifying the status of individuals by - specific characteristics provides additional information about the people with - whom organizational personnel are communicating. For example, it might be useful - for a government employee to know that one of the individuals on an email message - is a contractor.

- AT-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-4(4)[1] -

defines a characteristic to be used to identify individual status; and

- - - assessment-objective - INTERVIEW - TEST - IA-4(4)[2] -

manages individual identifiers by uniquely identifying each individual as the - organization-defined characteristic identifying individual status.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

list of characteristics identifying individual status

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - - Authenticator Management - - - - - IA-5 - ia-05 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-63 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

The organization manages information system authenticators by:

- - a. -

Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator;

- - - b. -

Establishing initial authenticator content for authenticators defined by the - organization;

- - - c. -

Ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - d. -

Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators;

- - - e. -

Changing default content of authenticators prior to information system - installation;

- - - f. -

Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators;

- - - g. -

Changing/refreshing authenticators ;

- - - h. -

Protecting authenticator content from unauthorized disclosure and - modification;

- - - i. -

Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and

- - - j. -

Changing authenticators for group/role accounts when membership to those accounts - changes.

- - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link https://pages.nist.gov/800-63-3.

- - - - -

Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords.

- AC-2 - AC-3 - AC-6 - CM-6 - IA-2 - IA-4 - IA-8 - PL-4 - PS-5 - PS-6 - SC-12 - SC-13 - SC-17 - SC-28 - - -

Determine if the organization manages information system authenticators by:

- - assessment-objective - INTERVIEW - TEST - IA-5(a) -

verifying, as part of the initial authenticator distribution, the identity of:

- - IA-5(a)[1] -

the individual receiving the authenticator;

- - - IA-5(a)[2] -

the group receiving the authenticator;

- - - IA-5(a)[3] -

the role receiving the authenticator; and/or

- - - IA-5(a)[4] -

the device receiving the authenticator;

- - - - assessment-objective - EXAMINE - IA-5(b) -

establishing initial authenticator content for authenticators defined by the - organization;

- - - assessment-objective - INTERVIEW - TEST - IA-5(c) -

ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - IA-5(d) - - assessment-objective - EXAMINE - IA-5(d)[1] -

establishing and implementing administrative procedures for initial - authenticator distribution;

- - - assessment-objective - EXAMINE - IA-5(d)[2] -

establishing and implementing administrative procedures for lost/compromised or - damaged authenticators;

- - - assessment-objective - EXAMINE - IA-5(d)[3] -

establishing and implementing administrative procedures for revoking - authenticators;

- - - - assessment-objective - INTERVIEW - TEST - IA-5(e) -

changing default content of authenticators prior to information system - installation;

- - - IA-5(f) - - assessment-objective - EXAMINE - IA-5(f)[1] -

establishing minimum lifetime restrictions for authenticators;

- - - assessment-objective - EXAMINE - IA-5(f)[2] -

establishing maximum lifetime restrictions for authenticators;

- - - assessment-objective - EXAMINE - IA-5(f)[3] -

establishing reuse conditions for authenticators;

- - - - IA-5(g) - - assessment-objective - EXAMINE - IA-5(g)[1] -

defining a time period (by authenticator type) for changing/refreshing - authenticators;

- - - assessment-objective - INTERVIEW - TEST - IA-5(g)[2] -

changing/refreshing authenticators with the organization-defined time period by - authenticator type;

- - - - assessment-objective - INTERVIEW - TEST - IA-5(h) -

protecting authenticator content from unauthorized:

- - IA-5(h)[1] -

disclosure;

- - - IA-5(h)[2] -

modification;

- - - - IA-5(i) - - assessment-objective - EXAMINE - INTERVIEW - IA-5(i)[1] -

requiring individuals to take specific security safeguards to protect - authenticators;

- - - assessment-objective - INTERVIEW - TEST - IA-5(i)[2] -

having devices implement specific security safeguards to protect - authenticators; and

- - - - assessment-objective - INTERVIEW - TEST - IA-5(j) -

changing authenticators for group/role accounts when membership to those accounts - changes.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system authenticator types

-

change control records associated with managing information system - authenticators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - Password-based Authentication - - - - - - at least fifty percent (50%) - - - - - - - twenty four (24) - - - IA-5(1) - ia-05.01 - -

The information system, for password-based authentication:

- - (a) -

Enforces minimum password complexity of ;

- - - (b) -

Enforces at least the following number of changed characters when new passwords - are created: ;

- - - (c) -

Stores and transmits only cryptographically-protected passwords;

- - - (d) -

Enforces password minimum and maximum lifetime restrictions of ;

- - - (e) -

Prohibits password reuse for generations; - and

- - - (f) -

Allows the use of a temporary password for system logons with an immediate - change to a permanent password.

- - - IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - - (a) (d) Guidance: -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - -

This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords.

- IA-6 - - -

Determine if, for password-based authentication:

- - IA-5(1)(a) - - assessment-objective - EXAMINE - IA-5(1)(a)[1] -

the organization defines requirements for case sensitivity;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[2] -

the organization defines requirements for number of characters;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[3] -

the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[4] -

the organization defines minimum requirements for each type of - character;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(a)[5] -

the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type;

- - IA-5(1)(a) - - - IA-5(1)(b) - - assessment-objective - EXAMINE - IA-5(1)(b)[1] -

the organization defines a minimum number of changed characters to be - enforced when new passwords are created;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(b)[2] -

the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created;

- - IA-5(1)(b) - - - assessment-objective - INTERVIEW - TEST - IA-5(1)(c) -

the information system stores and transmits only encrypted representations of - passwords;

- IA-5(1)(c) - - - IA-5(1)(d) - - assessment-objective - EXAMINE - IA-5(1)(d)[1] -

the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords;

- - - assessment-objective - EXAMINE - IA-5(1)(d)[2] -

the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(d)[3] -

the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(d)[4] -

the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum;

- - IA-5(1)(d) - - - IA-5(1)(e) - - assessment-objective - EXAMINE - IA-5(1)(e)[1] -

the organization defines the number of password generations to be prohibited - from password reuse;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(e)[2] -

the information system prohibits password reuse for the organization-defined - number of generations; and

- - IA-5(1)(e) - - - assessment-objective - INTERVIEW - TEST - IA-5(1)(f) -

the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password.

- IA-5(1)(f) - - - - EXAMINE - -

Identification and authentication policy

-

password policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

password configurations and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

- - - - - Pki-based Authentication - IA-5(2) - ia-05.02 - -

The information system, for PKI-based authentication:

- - (a) -

Validates certifications by constructing and verifying a certification path to - an accepted trust anchor including checking certificate status information;

- - - (b) -

Enforces authorized access to the corresponding private key;

- - - (c) -

Maps the authenticated identity to the account of the individual or group; - and

- - - (d) -

Implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network.

- - - -

Status information for certification paths includes, for example, certificate - revocation lists or certificate status protocol responses. For PIV cards, - validation of certifications involves the construction and verification of a - certification path to the Common Policy Root trust anchor including certificate - policy processing.

- IA-6 - - -

Determine if the information system, for PKI-based authentication:

- - IA-5(2)(a) - - assessment-objective - INTERVIEW - TEST - IA-5(2)(a)[1] -

validates certifications by constructing a certification path to an accepted - trust anchor;

- - - assessment-objective - INTERVIEW - TEST - IA-5(2)(a)[2] -

validates certifications by verifying a certification path to an accepted - trust anchor;

- - - assessment-objective - INTERVIEW - TEST - IA-5(2)(a)[3] -

includes checking certificate status information when constructing and - verifying the certification path;

- - IA-5(2)(a) - - - assessment-objective - INTERVIEW - TEST - IA-5(2)(b) -

enforces authorized access to the corresponding private key;

- IA-5(2)(b) - - - assessment-objective - INTERVIEW - TEST - IA-5(2)(c) -

maps the authenticated identity to the account of the individual or group; - and

- IA-5(2)(c) - - - assessment-objective - INTERVIEW - TEST - IA-5(2)(d) -

implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network.

- IA-5(2)(d) - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

PKI certification validation records

-

PKI certification revocation lists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with PKI-based, authenticator management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing PKI-based, authenticator - management capability

- - - - - In-person or Trusted Third-party Registration - - - All hardware/biometric (multifactor authenticators) - - - in person - - - - - - - - IA-5(3) - ia-05.03 - -

The organization requires that the registration process to receive be conducted before - with authorization by .

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-5(3)[1] -

defines types of and/or specific authenticators to be received in person or by - a trusted third party;

- - - assessment-objective - EXAMINE - IA-5(3)[2] -

defines the registration authority with oversight of the registration process - for receipt of organization-defined types of and/or specific - authenticators;

- - - assessment-objective - EXAMINE - IA-5(3)[3] -

defines personnel or roles responsible for authorizing organization-defined - registration authority;

- - - assessment-objective - EXAMINE - IA-5(3)[4] -

defines if the registration process is to be conducted:

- - IA-5(3)[4][a] -

in person; or

- - - IA-5(3)[4][b] -

by a trusted third party; and

- - - - assessment-objective - INTERVIEW - IA-5(3)[5] -

requires that the registration process to receive organization-defined types of - and/or specific authenticators be conducted in person or by a trusted third - party before organization-defined registration authority with authorization by - organization-defined personnel or roles.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

registration process for receiving information system authenticators

-

list of authenticators requiring in-person registration

-

list of authenticators requiring trusted third party registration

-

authenticator registration documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

registration authority

-

organizational personnel with information security responsibilities

- - - - - Automated Support for Password Strength Determination - - - complexity as identified in IA-5 (1) Control Enhancement Part (a) - - IA-5(4) - ia-05.04 - -

The organization employs automated tools to determine if password authenticators - are sufficiently strong to satisfy .

- - IA-5 (4) Additional FedRAMP Requirements and Guidance - - Guidance: -

If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

- - - - -

This control enhancement focuses on the creation of strong passwords and the - characteristics of such passwords (e.g., complexity) prior to use, the enforcement - of which is carried out by organizational information systems in IA-5 (1).

- CA-2 - CA-7 - RA-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-5(4)[1] -

defines requirements to be satisfied by password authenticators; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(4)[2] -

employs automated tools to determine if password authenticators are - sufficiently strong to satisfy organization-defined requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

automated tools for evaluating password authenticators

-

password strength assessment results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

-

automated tools for determining password strength

- - - - - Protection of Authenticators - IA-5(6) - ia-05.06 - -

The organization protects authenticators commensurate with the security category - of the information to which use of the authenticator permits access.

- - -

For information systems containing multiple security categories of information - without reliable physical or logical separation between categories, authenticators - used to grant access to the systems are protected commensurate with the highest - security category of information on the systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects authenticators commensurate with the - security category of the information to which use of the authenticator permits - access.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security categorization documentation for the information system

-

security assessments of authenticator protections

-

risk assessment results

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel implementing and/or maintaining authenticator - protections

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

-

automated mechanisms protecting authenticators

- - - - - No Embedded Unencrypted Static Authenticators - IA-5(7) - ia-05.07 - -

The organization ensures that unencrypted static authenticators are not embedded - in applications or access scripts or stored on function keys.

- - -

Organizations exercise caution in determining whether embedded or stored - authenticators are in encrypted or unencrypted form. If authenticators are used in - the manner stored, then those representations are considered unencrypted - authenticators. This is irrespective of whether that representation is perhaps an - encrypted version of something else (e.g., a password).

- - -

Determine if the organization ensures that unencrypted static authenticators are - not:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-5(7)[1] -

embedded in applications;

- - - IA-5(7)[2] -

embedded in access scripts; or

- - - IA-5(7)[3] -

stored on function keys.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

logical access scripts

-

application code reviews for detecting unencrypted static authenticators

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

-

automated mechanisms implementing authentication in applications

- - - - - Multiple Information System Accounts - - - different authenticators on different systems - - IA-5(8) - ia-05.08 - -

The organization implements to manage the risk - of compromise due to individuals having accounts on multiple information - systems.

- - -

When individuals have accounts on multiple information systems, there is the risk - that the compromise of one account may lead to the compromise of other accounts if - individuals use the same authenticators. Possible alternatives include, for - example: (i) having different authenticators on all systems; (ii) employing some - form of single sign-on mechanism; or (iii) including some form of one-time - passwords on all systems.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-5(8)[1] -

defines security safeguards to manage the risk of compromise due to individuals - having accounts on multiple information systems; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(8)[2] -

implements organization-defined security safeguards to manage the risk of - compromise due to individuals having accounts on multiple information - systems.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

list of individuals having accounts on multiple information systems

-

list of security safeguards intended to manage risk of compromise due to - individuals having accounts on multiple information systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards for - authenticator management

- - - - - Hardware Token-based Authentication - - - - IA-5(11) - ia-05.11 - -

The information system, for hardware token-based authentication, employs - mechanisms that satisfy .

- - -

Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI.

- - -

Determine if, for hardware token-based authentication:

- - assessment-objective - EXAMINE - IA-5(11)[1] -

the organization defines token quality requirements to be satisfied; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(11)[2] -

the information system employs mechanisms that satisfy organization-defined - token quality requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

automated mechanisms employing hardware token-based authentication for the - information system

-

list of token quality requirements

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability

- - - - - Expiration of Cached Authenticators - - - - IA-5(13) - ia-05.13 - -

The information system prohibits the use of cached authenticators after .

- - -

Determine if:

- - assessment-objective - EXAMINE - IA-5(13)[1] -

the organization defines the time period after which the information system is - to prohibit the use of cached authenticators; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(13)[2] -

the information system prohibits the use of cached authenticators after the - organization-defined time period.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - - - Authenticator Feedback - IA-6 - ia-06 - -

The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals.

- - -

The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it.

- PE-18 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator feedback

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication

- - - - - Cryptographic Module Authentication - IA-7 - ia-07 - FIPS Publication 140 - http://csrc.nist.gov/groups/STM/cmvp/index.html - -

The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication.

- - -

Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role.

- SC-12 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing cryptographic module authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for cryptographic module - authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic module - authentication

- - - - - Identification and Authentication (non-organizational Users) - IA-8 - ia-08 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - OMB Memorandum 10-06-2011 - FICAM Roadmap and Implementation Guidance - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-116 - National Strategy for Trusted Identities in - Cyberspace - http://idmanagement.gov - -

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

- - -

Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users.

- AC-2 - AC-14 - AC-17 - AC-18 - IA-2 - IA-4 - IA-5 - MA-4 - RA-3 - SA-12 - SC-8 - - -

Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Acceptance of PIV Credentials from Other Agencies - IA-8(1) - ia-08.01 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies.

- - -

This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-8(1)[1] -

accepts Personal Identity Verification (PIV) credentials from other agencies; - and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-8(1)[2] -

electronically verifies Personal Identity Verification (PIV) credentials from - other agencies.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept and verify PIV credentials

- - - - - Acceptance of Third-party Credentials - IA-8(2) - ia-08.02 - -

The information system accepts only FICAM-approved third-party credentials.

- - -

This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels.

- AU-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system accepts only FICAM-approved third-party - credentials.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization

-

third-party credential verification records

-

evidence of FICAM-approved third-party credentials

-

third-party credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept FICAM-approved credentials

- - - - - Use of Ficam-approved Products - - - - IA-8(3) - ia-08.03 - -

The organization employs only FICAM-approved information system components in - to accept third-party credentials.

- - -

This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program.

- SA-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-8(3)[1] -

defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and

- - - assessment-objective - INTERVIEW - TEST - IA-8(3)[2] -

employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

third-party credential validations

-

third-party credential authorizations

-

third-party credential records

-

list of FICAM-approved information system components procured and implemented - by organization

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information system security, acquisition, and - contracting responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Use of Ficam-issued Profiles - IA-8(4) - ia-08.04 - -

The information system conforms to FICAM-issued profiles.

- - -

This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange).

- SA-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system conforms to FICAM-issued profiles.

- - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-issued profiles and associated, approved protocols

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles

- - - - - - - Incident Response - - Incident Response Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - IR-1 - ir-01 - NIST Special Publication 800-12 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Incident response policy ; and

- - - 2. -

Incident response procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IR-1(a) - - IR-1(a)(1) - - assessment-objective - EXAMINE - IR-1(a)(1)[1] -

develops and documents an incident response policy that addresses:

- - IR-1(a)(1)[1][a] -

purpose;

- - - IR-1(a)(1)[1][b] -

scope;

- - - IR-1(a)(1)[1][c] -

roles;

- - - IR-1(a)(1)[1][d] -

responsibilities;

- - - IR-1(a)(1)[1][e] -

management commitment;

- - - IR-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IR-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - IR-1(a)(1)[2] -

defines personnel or roles to whom the incident response policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-1(a)(1)[3] -

disseminates the incident response policy to organization-defined personnel - or roles;

- - - - IR-1(a)(2) - - assessment-objective - EXAMINE - IR-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls;

- - - assessment-objective - EXAMINE - IR-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IR-1(b) - - IR-1(b)(1) - - assessment-objective - EXAMINE - IR-1(b)(1)[1] -

defines the frequency to review and update the current incident response - policy;

- - - assessment-objective - EXAMINE - IR-1(b)(1)[2] -

reviews and updates the current incident response policy with the - organization-defined frequency;

- - - - IR-1(b)(2) - - assessment-objective - EXAMINE - IR-1(b)(2)[1] -

defines the frequency to review and update the current incident response - procedures; and

- - - assessment-objective - EXAMINE - IR-1(b)(2)[2] -

reviews and updates the current incident response procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Incident response policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Response Training - - - within ten (10) days - - - - at least annually - - - IR-2 - ir-02 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides incident response training to information system users - consistent with assigned roles and responsibilities:

- - a. -

Within of assuming an incident response role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources.

- AT-3 - CP-3 - IR-8 - - -

Determine if the organization:

- - IR-2(a) - - assessment-objective - EXAMINE - IR-2(a)[1] -

defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-2(a)[2] -

provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility;

- - - - assessment-objective - EXAMINE - INTERVIEW - IR-2(b) -

provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes;

- - - IR-2(c) - - assessment-objective - EXAMINE - IR-2(c)[1] -

defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-2(c)[2] -

after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

security plan

-

incident response plan

-

security plan

-

incident response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - Simulated Events - IR-2(1) - ir-02.01 - -

The organization incorporates simulated events into incident response training to - facilitate effective response by personnel in crisis situations.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization incorporates simulated events into incident response - training to facilitate effective response by personnel in crisis situations.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement simulated events for - incident response training

- - - - - Automated Training Environments - IR-2(2) - ir-02.02 - -

The organization employs automated mechanisms to provide a more thorough and - realistic incident response training environment.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to provide a more - thorough and realistic incident response training environment.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

automated mechanisms supporting incident response training

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that provide a thorough and realistic incident response - training environment

- - - - - - Incident Response Testing - - - at least every six (6) months - - - - - - IR-3 - ir-03 - NIST Special Publication 800-84 - NIST Special Publication 800-115 - -

The organization tests the incident response capability for the information system - using to determine - the incident response effectiveness and documents the results.

- - IR-3 Additional FedRAMP Requirements and Guidance - - IR-3 -2 Requirement: -

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

- - - - -

Organizations test incident response capabilities to determine the overall - effectiveness of the capabilities and to identify potential weaknesses or - deficiencies. Incident response testing includes, for example, the use of checklists, - walk-through or tabletop exercises, simulations (parallel/full interrupt), and - comprehensive exercises. Incident response testing can also include a determination - of the effects on organizational operations (e.g., reduction in mission - capabilities), organizational assets, and individuals due to incident response.

- CP-4 - IR-8 - - -

Determine if the organization:

- - IR-3[1] -

defines incident response tests to test the incident response capability for the - information system;

- - - IR-3[2] -

defines the frequency to test the incident response capability for the information - system; and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-3[3] -

tests the incident response capability for the information system with the - organization-defined frequency, using organization-defined tests to determine the - incident response effectiveness and documents the results.

- - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

procedures addressing contingency plan testing

-

incident response testing material

-

incident response test results

-

incident response test plan

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with information security responsibilities

- - - - Coordination with Related Plans - IR-3(2) - ir-03.02 - -

The organization coordinates incident response testing with organizational - elements responsible for related plans.

- - -

Organizational plans related to incident response testing include, for example, - Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity - of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - and Occupant Emergency Plans.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization coordinates incident response testing with - organizational elements responsible for related plans.

- - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

incident response testing documentation

-

incident response plan

-

business continuity plans

-

contingency plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with responsibilities for testing organizational plans - related to incident response testing

-

organizational personnel with information security responsibilities

- - - - - - Incident Handling - IR-4 - ir-04 - Executive Order 13587 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery;

- - - b. -

Coordinates incident handling activities with contingency planning activities; - and

- - - c. -

Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly.

- - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function).

- AU-6 - CM-6 - CP-2 - CP-4 - IR-2 - IR-3 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-4(a) -

implements an incident handling capability for security incidents that - includes:

- - IR-4(a)[1] -

preparation;

- - - IR-4(a)[2] -

detection and analysis;

- - - IR-4(a)[3] -

containment;

- - - IR-4(a)[4] -

eradication;

- - - IR-4(a)[5] -

recovery;

- - - - assessment-objective - EXAMINE - INTERVIEW - IR-4(b) -

coordinates incident handling activities with contingency planning activities;

- - - IR-4(c) - - assessment-objective - EXAMINE - IR-4(c)[1] -

incorporates lessons learned from ongoing incident handling activities - into:

- - IR-4(c)[1][a] -

incident response procedures;

- - - IR-4(c)[1][b] -

training;

- - - IR-4(c)[1][c] -

testing/exercises;

- - - - assessment-objective - TEST - IR-4(c)[2] -

implements the resulting changes accordingly to:

- - IR-4(c)[2][a] -

incident response procedures;

- - - IR-4(c)[2][b] -

training; and

- - - IR-4(c)[2][c] -

testing/exercises.

- - - - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident handling

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - Automated Incident Handling Processes - IR-4(1) - ir-04.01 - -

The organization employs automated mechanisms to support the incident handling - process.

- - -

Automated mechanisms supporting incident handling processes include, for example, - online incident management systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to support the incident - handling process.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement the incident handling - process

- - - - - Dynamic Reconfiguration - - - all network, data storage, and computing devices - - IR-4(2) - ir-04.02 - -

The organization includes dynamic reconfiguration of as part of the incident response capability.

- - -

Dynamic reconfiguration includes, for example, changes to router rules, access - control lists, intrusion detection/prevention system parameters, and filter rules - for firewalls and gateways. Organizations perform dynamic reconfiguration of - information systems, for example, to stop attacks, to misdirect attackers, and to - isolate components of systems, thus limiting the extent of the damage from - breaches or compromises. Organizations include time frames for achieving the - reconfiguration of information systems in the definition of the reconfiguration - capability, considering the potential need for rapid response in order to - effectively address sophisticated cyber threats.

- AC-2 - AC-4 - AC-16 - CM-2 - CM-3 - CM-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-4(2)[1] -

defines information system components to be dynamically reconfigured as part of - the incident response capability; and

- - - assessment-objective - INTERVIEW - TEST - IR-4(2)[2] -

includes dynamic reconfiguration of organization-defined information system - components as part of the incident response capability.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

list of system components to be dynamically reconfigured as part of incident - response capability

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement dynamic reconfiguration of - components as part of incident response

- - - - - Continuity of Operations - - - - - - - IR-4(3) - ir-04.03 - -

The organization identifies and to ensure continuation of organizational missions and - business functions.

- - -

Classes of incidents include, for example, malfunctions due to - design/implementation errors and omissions, targeted malicious attacks, and - untargeted malicious attacks. Appropriate incident response actions include, for - example, graceful degradation, information system shutdown, fall back to manual - mode/alternative technology whereby the system operates differently, employing - deceptive measures, alternate information flows, or operating in a mode that is - reserved solely for when systems are under attack.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-4(3)[1] -

defines classes of incidents requiring an organization-defined action to be - taken;

- - - assessment-objective - EXAMINE - IR-4(3)[2] -

defines actions to be taken in response to organization-defined classes of - incidents; and

- - - assessment-objective - INTERVIEW - TEST - IR-4(3)[3] -

identifies organization-defined classes of incidents and organization-defined - actions to take in response to classes of incidents to ensure continuation of - organizational missions and business functions.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

incident response plan

-

security plan

-

list of classes of incidents

-

list of appropriate incident response actions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement continuity of operations

- - - - - Information Correlation - IR-4(4) - ir-04.04 - -

The organization correlates incident information and individual incident responses - to achieve an organization-wide perspective on incident awareness and - response.

- - -

Sometimes the nature of a threat event, for example, a hostile cyber attack, is - such that it can only be observed by bringing together information from different - sources including various reports and reporting procedures established by - organizations.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization correlates incident information and individual - incident responses to achieve an organization-wide perspective on incident - awareness and response.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

incident response plan

-

security plan

-

automated mechanisms supporting incident and event correlation

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident management correlation logs

-

event management correlation logs

-

security information and event management logs

-

incident management correlation reports

-

event management correlation reports

-

security information and event management reports

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with whom incident information and individual incident - responses are to be correlated

- - - - TEST - -

Organizational processes for correlating incident information and individual - incident responses

-

automated mechanisms that support and or implement correlation of incident - response information with individual incident responses

- - - - - Insider Threats - Specific Capabilities - IR-4(6) - ir-04.06 - -

The organization implements incident handling capability for insider threats.

- - -

While many organizations address insider threat incidents as an inherent part of - their organizational incident response capability, this control enhancement - provides additional emphasis on this type of threat and the need for specific - incident handling capabilities (as defined within organizations) to provide - appropriate and timely responses.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization implements incident handling capability for insider - threats.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - - Correlation with External Organizations - - - external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT) - - - - - IR-4(8) - ir-04.08 - -

The organization coordinates with to correlate - and share to achieve a cross-organization - perspective on incident awareness and more effective incident responses.

- - -

The coordination of incident information with external organizations including, - for example, mission/business partners, military/coalition partners, customers, - and multitiered developers, can provide significant benefits. Cross-organizational - coordination with respect to incident handling can serve as an important risk - management capability. This capability allows organizations to leverage critical - information from a variety of sources to effectively respond to information - security-related incidents potentially affecting the organization’s operations, - assets, and individuals.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-4(8)[1] -

defines external organizations with whom organizational incident information is - to be coordinated;

- - - assessment-objective - EXAMINE - IR-4(8)[2] -

defines incident information to be correlated and shared with - organization-defined external organizations; and

- - - assessment-objective - INTERVIEW - TEST - IR-4(8)[3] -

the organization coordinates with organization-defined external organizations - to correlate and share organization-defined information to achieve a - cross-organization perspective on incident awareness and more effective - incident responses.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

list of external organizations

-

records of incident handling coordination with external organizations

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

personnel from external organizations with whom incident response information - is to be coordinated/shared/correlated

- - - - TEST - -

Organizational processes for coordinating incident handling information with - external organizations

- - - - - - Incident Monitoring - IR-5 - ir-05 - NIST Special Publication 800-61 - -

The organization tracks and documents information system security incidents.

- - -

Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports.

- AU-6 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-5[1] -

tracks information system security incidents; and

- - - assessment-objective - EXAMINE - TEST - IR-5[2] -

documents information system security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

incident response records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident monitoring capability for the organization

-

automated mechanisms supporting and/or implementing tracking and documenting of - system security incidents

- - - - Automated Tracking / Data Collection / Analysis - IR-5(1) - ir-05.01 - -

The organization employs automated mechanisms to assist in the tracking of - security incidents and in the collection and analysis of incident information.

- - -

Automated mechanisms for tracking security incidents and collecting/analyzing - incident information include, for example, the Einstein network monitoring device - and monitoring online Computer Incident Response Centers (CIRCs) or other - electronic databases of incidents.

- AU-7 - IR-4 - - -

Determine if the organization employs automated mechanisms to assist in:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IR-5(1)[1] -

the tracking of security incidents;

- - - IR-5(1)[2] -

the collection of incident information; and

- - - IR-5(1)[3] -

the analysis of incident information.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

automated mechanisms supporting incident monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms assisting in tracking of security incidents and in the - collection and analysis of incident information

- - - - - - Incident Reporting - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - - - - IR-6 - ir-06 - NIST Special Publication 800-61 - http://www.us-cert.gov - -

The organization:

- - a. -

Requires personnel to report suspected security incidents to the organizational - incident response capability within ; and

- - - b. -

Reports security incident information to .

- - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - -

The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling.

- IR-4 - IR-5 - IR-8 - - -

Determine if the organization:

- - IR-6(a) - - assessment-objective - EXAMINE - IR-6(a)[1] -

defines the time period within which personnel report suspected security - incidents to the organizational incident response capability;

- - - assessment-objective - INTERVIEW - TEST - IR-6(a)[2] -

requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period;

- - - - IR-6(b) - - assessment-objective - EXAMINE - IR-6(b)[1] -

defines authorities to whom security incident information is to be reported; - and

- - - assessment-objective - INTERVIEW - TEST - IR-6(b)[2] -

reports security incident information to organization-defined authorities.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

incident reporting records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

personnel who have/should have reported incidents

-

personnel (authorities) to whom incident information is to be reported

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing incident reporting

- - - - Automated Reporting - IR-6(1) - ir-06.01 - -

The organization employs automated mechanisms to assist in the reporting of - security incidents.

- - - IR-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to assist in the - reporting of security incidents.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

automated mechanisms supporting incident reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing reporting of security - incidents

- - - - - - Incident Response Assistance - IR-7 - ir-07 - -

The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents.

- - -

Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required.

- AT-2 - IR-4 - IR-6 - IR-8 - SA-9 - - -

Determine if the organization provides an incident response support resource:

- - IR-7[1] -

that is integral to the organizational incident response capability; and

- - - IR-7[2] -

that offers advice and assistance to users of the information system for the - handling and reporting of security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response assistance and support - responsibilities

-

organizational personnel with access to incident response support and assistance - capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing incident response - assistance

- - - - Automation Support for Availability of Information / Support - IR-7(1) - ir-07.01 - -

The organization employs automated mechanisms to increase the availability of - incident response-related information and support.

- - -

Automated mechanisms can provide a push and/or pull capability for users to obtain - incident response assistance. For example, individuals might have access to a - website to query the assistance capability, or conversely, the assistance - capability may have the ability to proactively send information to users (general - distribution or targeted) as part of increasing understanding of current response - capabilities and support.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to increase the - availability of incident response-related information and support.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

automated mechanisms supporting incident response support and assistance

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response support and assistance - responsibilities

-

organizational personnel with access to incident response support and - assistance capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing an increase in the - availability of incident response information and support

- - - - - Coordination with External Providers - IR-7(2) - ir-07.02 - -

The organization:

- - (a) -

Establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and

- - - (b) -

Identifies organizational incident response team members to the external - providers.

- - - -

External providers of information system protection capability include, for - example, the Computer Network Defense program within the U.S. Department of - Defense. External providers help to protect, monitor, analyze, detect, and respond - to unauthorized activity within organizational information systems and - networks.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - IR-7(2)(a) -

establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and

- IR-7(2)(a) - - - assessment-objective - EXAMINE - INTERVIEW - IR-7(2)(b) -

identifies organizational incident response team members to the external - providers.

- IR-7(2)(b) - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response support and assistance - responsibilities

-

external providers of information system protection capability

-

organizational personnel with information security responsibilities

- - - - - - Incident Response Plan - - - - - - see additional FedRAMP Requirements and Guidance - - - - at least annually - - - - see additional FedRAMP Requirements and Guidance - - - IR-8 - ir-08 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Develops an incident response plan that:

- - 1. -

Provides the organization with a roadmap for implementing its incident response - capability;

- - - 2. -

Describes the structure and organization of the incident response - capability;

- - - 3. -

Provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - 4. -

Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions;

- - - 5. -

Defines reportable incidents;

- - - 6. -

Provides metrics for measuring the incident response capability within the - organization;

- - - 7. -

Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and

- - - 8. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the incident response plan to ;

- - - c. -

Reviews the incident response plan ;

- - - d. -

Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing;

- - - e. -

Communicates incident response plan changes to ; - and

- - - f. -

Protects the incident response plan from unauthorized disclosure and - modification.

- - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - -

It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems.

- MP-2 - MP-4 - MP-5 - - -

Determine if the organization:

- - IR-8(a) -

develops an incident response plan that:

- - assessment-objective - EXAMINE - IR-8(a)(1) -

provides the organization with a roadmap for implementing its incident response - capability;

- - - assessment-objective - EXAMINE - IR-8(a)(2) -

describes the structure and organization of the incident response - capability;

- - - assessment-objective - EXAMINE - IR-8(a)(3) -

provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - assessment-objective - EXAMINE - IR-8(a)(4) -

meets the unique requirements of the organization, which relate to:

- - IR-8(a)(4)[1] -

mission;

- - - IR-8(a)(4)[2] -

size;

- - - IR-8(a)(4)[3] -

structure;

- - - IR-8(a)(4)[4] -

functions;

- - - - assessment-objective - EXAMINE - IR-8(a)(5) -

defines reportable incidents;

- - - assessment-objective - TEST - IR-8(a)(6) -

provides metrics for measuring the incident response capability within the - organization;

- - - assessment-objective - EXAMINE - IR-8(a)(7) -

defines the resources and management support needed to effectively maintain and - mature an incident response capability;

- - - IR-8(a)(8) - - assessment-objective - EXAMINE - IR-8(a)(8)[1] -

defines personnel or roles to review and approve the incident response - plan;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-8(a)(8)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - IR-8(b) - - IR-8(b)[1] - - assessment-objective - EXAMINE - IR-8(b)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed;

- - - assessment-objective - EXAMINE - IR-8(b)[1][b] -

defines organizational elements to whom copies of the incident response plan - are to be distributed;

- - - - assessment-objective - INTERVIEW - TEST - IR-8(b)[2] -

distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements;

- - - - IR-8(c) - - assessment-objective - EXAMINE - IR-8(c)[1] -

defines the frequency to review the incident response plan;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-8(c)[2] -

reviews the incident response plan with the organization-defined frequency;

- - - - assessment-objective - TEST - IR-8(d) -

updates the incident response plan to address system/organizational changes or - problems encountered during plan:

- - IR-8(d)[1] -

implementation;

- - - IR-8(d)[2] -

execution; or

- - - IR-8(d)[3] -

testing;

- - - - IR-8(e) - - IR-8(e)[1] - - assessment-objective - EXAMINE - IR-8(e)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated;

- - - assessment-objective - TEST - IR-8(e)[1][b] -

defines organizational elements to whom incident response plan changes are - to be communicated;

- - - - assessment-objective - TEST - IR-8(e)[2] -

communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and

- - - - assessment-objective - TEST - IR-8(f) -

protects the incident response plan from unauthorized disclosure and - modification.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response planning

-

incident response plan

-

records of incident response plan reviews and approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational incident response plan and related organizational processes

- - - - - Information Spillage Response - - - - - - - IR-9 - ir-09 - -

The organization responds to information spills by:

- - a. -

Identifying the specific information involved in the information system - contamination;

- - - b. -

Alerting of the information spill using a method - of communication not associated with the spill;

- - - c. -

Isolating the contaminated information system or system component;

- - - d. -

Eradicating the information from the contaminated information system or - component;

- - - e. -

Identifying other information systems or system components that may have been - subsequently contaminated; and

- - - f. -

Performing other .

- - - -

Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated.

- - -

Determine if the organization:

- - assessment-objective - TEST - IR-9(a) -

responds to information spills by identifying the specific information causing the - information system contamination;

- - - IR-9(b) - - assessment-objective - EXAMINE - IR-9(b)[1] -

defines personnel to be alerted of the information spillage;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-9(b)[2] -

identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill;

- - - assessment-objective - TEST - IR-9(b)[3] -

responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill;

- - - - assessment-objective - TEST - IR-9(c) -

responds to information spills by isolating the contaminated information - system;

- - - assessment-objective - TEST - IR-9(d) -

responds to information spills by eradicating the information from the - contaminated information system;

- - - assessment-objective - TEST - IR-9(e) -

responds to information spills by identifying other information systems that may - have been subsequently contaminated;

- - - IR-9(f) - - assessment-objective - EXAMINE - IR-9(f)[1] -

defines other actions to be performed in response to information spills; - and

- - - assessment-objective - TEST - IR-9(f)[2] -

responds to information spills by performing other organization-defined - actions.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

records of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage

-

list of actions to be performed regarding information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for information spillage response

-

automated mechanisms supporting and/or implementing information spillage response - actions and related communications

- - - - Responsible Personnel - - - - IR-9(1) - ir-09.01 - -

The organization assigns with responsibility for - responding to information spills.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(1)[1] -

defines personnel with responsibility for responding to information spills; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-9(1)[2] -

assigns organization-defined personnel with responsibility for responding to - information spills.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

list of personnel responsible for responding to information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Training - - - at least annually - - - IR-9(2) - ir-09.02 - -

The organization provides information spillage response training .

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(2)[1] -

defines the frequency to provide information spillage response training; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-9(2)[2] -

provides information spillage response training with the organization-defined - frequency.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage response training

-

information spillage response training curriculum

-

information spillage response training materials

-

incident response plan

-

information spillage response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Post-spill Operations - - - - IR-9(3) - ir-09.03 - -

The organization implements to ensure that - organizational personnel impacted by information spills can continue to carry out - assigned tasks while contaminated systems are undergoing corrective actions.

- - -

Correction actions for information systems contaminated due to information - spillages may be very time-consuming. During those periods, personnel may not have - access to the contaminated systems, which may potentially affect their ability to - conduct organizational business.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(3)[1] -

defines procedures that ensure organizational personnel impacted by information - spills can continue to carry out assigned tasks while contaminated systems are - undergoing corrective actions; and

- - - assessment-objective - INTERVIEW - TEST - IR-9(3)[2] -

implements organization-defined procedures to ensure that organizational - personnel impacted by information spills can continue to carry out assigned - tasks while contaminated systems are undergoing corrective actions.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

procedures addressing information spillage

-

incident response plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for post-spill operations

- - - - - Exposure to Unauthorized Personnel - - - - IR-9(4) - ir-09.04 - -

The organization employs for personnel exposed - to information not within assigned access authorizations.

- - -

Security safeguards include, for example, making personnel exposed to spilled - information aware of the federal laws, directives, policies, and/or regulations - regarding the information and the restrictions imposed based on exposure to such - information.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(4)[1] -

defines security safeguards to be employed for personnel exposed to information - not within assigned access authorizations; and

- - - assessment-objective - INTERVIEW - TEST - IR-9(4)[2] -

employs organization-defined security safeguards for personnel exposed to - information not within assigned access authorizations.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

procedures addressing information spillage

-

incident response plan

-

security safeguards regarding information spillage/exposure to unauthorized - personnel

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for dealing with information exposed to unauthorized - personnel

-

automated mechanisms supporting and/or implementing safeguards for personnel - exposed to information not within assigned access authorizations

- - - - - - - Maintenance - - System Maintenance Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - MA-1 - ma-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

System maintenance policy ; and

- - - 2. -

System maintenance procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MA-1(a) - - MA-1(a)(1) - - assessment-objective - EXAMINE - MA-1(a)(1)[1] -

develops and documents a system maintenance policy that addresses:

- - MA-1(a)(1)[1][a] -

purpose;

- - - MA-1(a)(1)[1][b] -

scope;

- - - MA-1(a)(1)[1][c] -

roles;

- - - MA-1(a)(1)[1][d] -

responsibilities;

- - - MA-1(a)(1)[1][e] -

management commitment;

- - - MA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - MA-1(a)(1)[2] -

defines personnel or roles to whom the system maintenance policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MA-1(a)(1)[3] -

disseminates the system maintenance policy to organization-defined personnel - or roles;

- - - - MA-1(a)(2) - - assessment-objective - EXAMINE - MA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls;

- - - assessment-objective - EXAMINE - MA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MA-1(b) - - MA-1(b)(1) - - assessment-objective - EXAMINE - MA-1(b)(1)[1] -

defines the frequency to review and update the current system maintenance - policy;

- - - assessment-objective - EXAMINE - MA-1(b)(1)[2] -

reviews and updates the current system maintenance policy with the - organization-defined frequency;

- - - - MA-1(b)(2) - - assessment-objective - EXAMINE - MA-1(b)(2)[1] -

defines the frequency to review and update the current system maintenance - procedures; and

- - - assessment-objective - EXAMINE - MA-1(b)(2)[2] -

reviews and updates the current system maintenance procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Maintenance policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - - Controlled Maintenance - - - - - - - MA-2 - ma-02 - -

The organization:

- - a. -

Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements;

- - - b. -

Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location;

- - - c. -

Requires that explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - d. -

Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - e. -

Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and

- - - f. -

Includes in organizational maintenance - records.

- - - -

This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems.

- CM-3 - CM-4 - MA-4 - MP-6 - PE-16 - SA-12 - SI-2 - - -

Determine if the organization:

- - MA-2(a) - - assessment-objective - EXAMINE - MA-2(a)[1] -

schedules maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[1][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[1][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - INTERVIEW - MA-2(a)[2] -

performs maintenance and repairs on information system components in accordance - with:

- - MA-2(a)[2][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[2][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - MA-2(a)[3] -

documents maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[3][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[3][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - INTERVIEW - MA-2(a)[4] -

reviews records of maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[4][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[4][b] -

organizational requirements;

- - - - - MA-2(b) - - assessment-objective - EXAMINE - INTERVIEW - MA-2(b)[1] -

approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - assessment-objective - INTERVIEW - TEST - MA-2(b)[2] -

monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - - MA-2(c) - - assessment-objective - EXAMINE - MA-2(c)[1] -

defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - assessment-objective - EXAMINE - MA-2(c)[2] -

requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs;

- - - - assessment-objective - INTERVIEW - TEST - MA-2(d) -

sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - assessment-objective - INTERVIEW - TEST - MA-2(e) -

checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions;

- - - MA-2(f) - - assessment-objective - EXAMINE - MA-2(f)[1] -

defines maintenance-related information to be included in organizational - maintenance records; and

- - - assessment-objective - EXAMINE - MA-2(f)[2] -

includes organization-defined maintenance-related information in organizational - maintenance records.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

maintenance records

-

manufacturer/vendor maintenance specifications

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system

-

organizational processes for sanitizing information system components

-

automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms implementing sanitization of information system - components

- - - - Automated Maintenance Activities - MA-2(2) - ma-02.02 - -

The organization:

- - (a) -

Employs automated mechanisms to schedule, conduct, and document maintenance and - repairs; and

- - - (b) -

Produces up-to date, accurate, and complete records of all maintenance and - repair actions requested, scheduled, in process, and completed.

- - - - CA-7 - MA-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MA-2(2)(a) -

employs automated mechanisms to:

- - MA-2(2)(a)[1] -

schedule maintenance and repairs;

- - - MA-2(2)(a)[2] -

conduct maintenance and repairs;

- - - MA-2(2)(a)[3] -

document maintenance and repairs;

- - MA-2(2)(a) - - - assessment-objective - INTERVIEW - TEST - MA-2(2)(b) -

produces up-to-date, accurate, and complete records of all maintenance and - repair actions:

- - MA-2(2)(b)[1] -

requested;

- - - MA-2(2)(b)[2] -

scheduled;

- - - MA-2(2)(b)[3] -

in process; and

- - - MA-2(2)(b)[4] -

completed.

- - MA-2(2)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

automated mechanisms supporting information system maintenance activities

-

information system configuration settings and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms supporting and/or implementing production of records of - maintenance and repair actions

- - - - - - Maintenance Tools - MA-3 - ma-03 - NIST Special Publication 800-88 - -

The organization approves, controls, and monitors information system maintenance - tools.

- - -

This control addresses security-related issues associated with maintenance tools used - specifically for diagnostic and repair actions on organizational information systems. - Maintenance tools can include hardware, software, and firmware items. Maintenance - tools are potential vehicles for transporting malicious code, either intentionally or - unintentionally, into a facility and subsequently into organizational information - systems. Maintenance tools can include, for example, hardware/software diagnostic - test equipment and hardware/software packet sniffers. This control does not cover - hardware/software components that may support information system maintenance, yet are - a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, - or the hardware and software implementing the monitoring port of an Ethernet - switch.

- MA-2 - MA-5 - MP-6 - - -

Determine if the organization:

- - MA-3[1] -

approves information system maintenance tools;

- - - MA-3[2] -

controls information system maintenance tools; and

- - - MA-3[3] -

monitors information system maintenance tools.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for approving, controlling, and monitoring maintenance - tools

-

automated mechanisms supporting and/or implementing approval, control, and/or - monitoring of maintenance tools

- - - - Inspect Tools - MA-3(1) - ma-03.01 - -

The organization inspects the maintenance tools carried into a facility by - maintenance personnel for improper or unauthorized modifications.

- - -

If, upon inspection of maintenance tools, organizations determine that the tools - have been modified in an improper/unauthorized manner or contain malicious code, - the incident is handled consistent with organizational policies and procedures for - incident handling.

- SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization inspects the maintenance tools carried into a - facility by maintenance personnel for improper or unauthorized modifications.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance tool inspection records

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for inspecting maintenance tools

-

automated mechanisms supporting and/or implementing inspection of maintenance - tools

- - - - - Inspect Media - MA-3(2) - ma-03.02 - -

The organization checks media containing diagnostic and test programs for - malicious code before the media are used in the information system.

- - -

If, upon inspection of media containing maintenance diagnostic and test programs, - organizations determine that the media contain malicious code, the incident is - handled consistent with organizational incident handling policies and - procedures.

- SI-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization checks media containing diagnostic and test programs - for malicious code before the media are used in the information system.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for inspecting media for malicious code

-

automated mechanisms supporting and/or implementing inspection of media used - for maintenance

- - - - - Prevent Unauthorized Removal - - - the information owner explicitly authorizing removal of the equipment from the facility - - MA-3(3) - ma-03.03 - -

The organization prevents the unauthorized removal of maintenance equipment - containing organizational information by:

- - (a) -

Verifying that there is no organizational information contained on the - equipment;

- - - (b) -

Sanitizing or destroying the equipment;

- - - (c) -

Retaining the equipment within the facility; or

- - - (d) -

Obtaining an exemption from explicitly - authorizing removal of the equipment from the facility.

- - - -

Organizational information includes all information specifically owned by - organizations and information provided to organizations in which organizations - serve as information stewards.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization prevents the unauthorized removal of maintenance - equipment containing organizational information by:

- - MA-3(3)(a) -

verifying that there is no organizational information contained on the - equipment;

- MA-3(3)(a) - - - MA-3(3)(b) -

sanitizing or destroying the equipment;

- MA-3(3)(b) - - - MA-3(3)(c) -

retaining the equipment within the facility; or

- MA-3(3)(c) - - - MA-3(3)(d) - - MA-3(3)(d)[1] -

defining personnel or roles that can grant an exemption from explicitly - authorizing removal of the equipment from the facility; and

- - - MA-3(3)(d)[2] -

obtaining an exemption from organization-defined personnel or roles - explicitly authorizing removal of the equipment from the facility.

- - MA-3(3)(d) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

equipment sanitization records

-

media sanitization records

-

exemptions for equipment removal

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

- - - - TEST - -

Organizational process for preventing unauthorized removal of information

-

automated mechanisms supporting media sanitization or destruction of - equipment

-

automated mechanisms supporting verification of media sanitization

- - - - - - Nonlocal Maintenance - - MA-4 - ma-04 - FIPS Publication 140-2 - FIPS Publication 197 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-88 - CNSS Policy 15 - -

The organization:

- - a. -

Approves and monitors nonlocal maintenance and diagnostic activities;

- - - b. -

Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system;

- - - c. -

Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - d. -

Maintains records for nonlocal maintenance and diagnostic activities; and

- - - e. -

Terminates session and network connections when nonlocal maintenance is - completed.

- - - -

Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls.

- AC-2 - AC-3 - AC-6 - AC-17 - AU-2 - AU-3 - IA-2 - IA-4 - IA-5 - IA-8 - MA-2 - MA-5 - MP-6 - PL-2 - SC-7 - SC-10 - SC-17 - - -

Determine if the organization:

- - MA-4(a) - - assessment-objective - EXAMINE - MA-4(a)[1] -

approves nonlocal maintenance and diagnostic activities;

- - - assessment-objective - INTERVIEW - TEST - MA-4(a)[2] -

monitors nonlocal maintenance and diagnostic activities;

- - - - assessment-objective - EXAMINE - MA-4(b) -

allows the use of nonlocal maintenance and diagnostic tools only:

- - MA-4(b)[1] -

as consistent with organizational policy;

- - - MA-4(b)[2] -

as documented in the security plan for the information system;

- - - - assessment-objective - INTERVIEW - TEST - MA-4(c) -

employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - assessment-objective - EXAMINE - MA-4(d) -

maintains records for nonlocal maintenance and diagnostic activities;

- - - MA-4(e) - - assessment-objective - TEST - MA-4(e)[1] -

terminates sessions when nonlocal maintenance or diagnostics is completed; - and

- - - assessment-objective - TEST - MA-4(e)[2] -

terminates network connections when nonlocal maintenance or diagnostics is - completed.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

maintenance records

-

diagnostic records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing nonlocal maintenance

-

automated mechanisms implementing, supporting, and/or managing nonlocal - maintenance

-

automated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions

-

automated mechanisms for terminating nonlocal maintenance sessions and network - connections

- - - - Document Nonlocal Maintenance - MA-4(2) - ma-04.02 - -

The organization documents in the security plan for the information system, the - policies and procedures for the establishment and use of nonlocal maintenance and - diagnostic connections.

- - -

Determine if the organization documents in the security plan for the information - system:

- - assessment-objective - EXAMINE - INTERVIEW - MA-4(2)[1] -

the policies for the establishment and use of nonlocal maintenance and - diagnostic connections; and

- - - assessment-objective - EXAMINE - INTERVIEW - MA-4(2)[2] -

the procedures for the establishment and use of nonlocal maintenance and - diagnostic connections.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

security plan

-

maintenance records

-

diagnostic records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Comparable Security / Sanitization - MA-4(3) - ma-04.03 - -

The organization:

- - (a) -

Requires that nonlocal maintenance and diagnostic services be performed from an - information system that implements a security capability comparable to the - capability implemented on the system being serviced; or

- - - (b) -

Removes the component to be serviced from the information system prior to - nonlocal maintenance or diagnostic services, sanitizes the component (with - regard to organizational information) before removal from organizational - facilities, and after the service is performed, inspects and sanitizes the - component (with regard to potentially malicious software) before reconnecting - the component to the information system.

- - - -

Comparable security capability on information systems, diagnostic tools, and - equipment providing maintenance services implies that the implemented security - controls on those systems, tools, and equipment are at least as comprehensive as - the controls on the information system being serviced.

- MA-3 - SA-12 - SI-3 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MA-4(3)(a) -

requires that nonlocal maintenance and diagnostic services be performed from an - information system that implements a security capability comparable to the - capability implemented on the system being serviced; or

- MA-4(3)(a) - - - assessment-objective - INTERVIEW - TEST - MA-4(3)(b) - - MA-4(3)(b)[1] -

removes the component to be serviced from the information system;

- - - MA-4(3)(b)[2] -

sanitizes the component (with regard to organizational information) prior to - nonlocal maintenance or diagnostic services and/or before removal from - organizational facilities; and

- - - MA-4(3)(b)[3] -

inspects and sanitizes the component (with regard to potentially malicious - software) after service is performed on the component and before - reconnecting the component to the information system.

- - MA-4(3)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

service provider contracts and/or service-level agreements

-

maintenance records

-

inspection records

-

audit records

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

information system maintenance provider

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for comparable security and sanitization for nonlocal - maintenance

-

organizational processes for removal, sanitization, and inspection of - components serviced via nonlocal maintenance

-

automated mechanisms supporting and/or implementing component sanitization and - inspection

- - - - - Cryptographic Protection - MA-4(6) - ma-04.06 - -

The information system implements cryptographic mechanisms to protect the - integrity and confidentiality of nonlocal maintenance and diagnostic - communications.

- - - SC-8 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements cryptographic mechanisms to protect - the integrity and confidentiality of nonlocal maintenance and diagnostic - communications.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms protecting nonlocal maintenance activities

-

maintenance records

-

diagnostic records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

network engineers

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Cryptographic mechanisms protecting nonlocal maintenance and diagnostic - communications

- - - - - - Maintenance Personnel - MA-5 - ma-05 - -

The organization:

- - a. -

Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel;

- - - b. -

Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - c. -

Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - -

This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods.

- AC-2 - IA-8 - MP-2 - PE-2 - PE-3 - PE-4 - RA-3 - - -

Determine if the organization:

- - MA-5(a) - - assessment-objective - EXAMINE - MA-5(a)[1] -

establishes a process for maintenance personnel authorization;

- - - assessment-objective - EXAMINE - MA-5(a)[2] -

maintains a list of authorized maintenance organizations or personnel;

- - - - assessment-objective - INTERVIEW - TEST - MA-5(b) -

ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - assessment-objective - EXAMINE - MA-5(c) -

designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

service provider contracts

-

service-level agreements

-

list of authorized personnel

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for authorizing and managing maintenance personnel

-

automated mechanisms supporting and/or implementing authorization of maintenance - personnel

- - - - Individuals Without Appropriate Access - MA-5(1) - ma-05.01 - -

The organization:

- - (a) -

Implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements:

- - (1) -

Maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who are fully cleared, have - appropriate access authorizations, and are technically qualified;

- - - (2) -

Prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances or formal access - approvals, all volatile information storage components within the - information system are sanitized and all nonvolatile storage media are - removed or physically disconnected from the system and secured; and

- - - - (b) -

Develops and implements alternate security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system.

- - - -

This control enhancement denies individuals who lack appropriate security - clearances (i.e., individuals who do not possess security clearances or possess - security clearances at a lower level than required) or who are not U.S. citizens, - visual and electronic access to any classified information, Controlled - Unclassified Information (CUI), or any other sensitive information contained on - organizational information systems. Procedures for the use of maintenance - personnel can be documented in security plans for the information systems.

- MP-6 - PL-2 - - -

Determine if the organization:

- - MA-5(1)(a) -

implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements:

- - assessment-objective - INTERVIEW - TEST - MA-5(1)(a)(1) -

maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who:

- - MA-5(1)(a)(1)[1] -

are fully cleared;

- - - MA-5(1)(a)(1)[2] -

have appropriate access authorizations;

- - - MA-5(1)(a)(1)[3] -

are technically qualified;

- - MA-5(1)(a)(1) - - - assessment-objective - INTERVIEW - TEST - MA-5(1)(a)(2) -

prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances, or formal access - approvals:

- - MA-5(1)(a)(2)[1] -

all volatile information storage components within the information system - are sanitized; and

- - - MA-5(1)(a)(2)[2] -

all nonvolatile storage media are removed; or

- - - MA-5(1)(a)(2)[3] -

all nonvolatile storage media are physically disconnected from the system - and secured; and

- - MA-5(1)(a)(2) - - MA-5(1)(a) - - - assessment-objective - EXAMINE - INTERVIEW - TEST - MA-5(1)(b) -

develops and implements alternative security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system.

- MA-5(1)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

information system media protection policy

-

physical and environmental protection policy

-

security plan

-

list of maintenance personnel requiring escort/supervision

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with personnel security responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for managing maintenance personnel without appropriate - access

-

automated mechanisms supporting and/or implementing alternative security - safeguards

-

automated mechanisms supporting and/or implementing information storage - component sanitization

- - - - - - Timely Maintenance - - - - - - - MA-6 - ma-06 - -

The organization obtains maintenance support and/or spare parts for within of failure.

- - -

Organizations specify the information system components that result in increased risk - to organizational operations and assets, individuals, other organizations, or the - Nation when the functionality provided by those components is not operational. - Organizational actions to obtain maintenance support typically include having - appropriate contracts in place.

- CM-8 - CP-2 - CP-7 - SA-14 - SA-15 - - -

Determine if the organization:

- - MA-6[1] -

defines information system components for which maintenance support and/or spare - parts are to be obtained;

- - - MA-6[2] -

defines the time period within which maintenance support and/or spare parts are to - be obtained after a failure;

- - - MA-6[3] - - MA-6[3][a] -

obtains maintenance support for organization-defined information system - components within the organization-defined time period of failure; and/or

- - - MA-6[3][b] -

obtains spare parts for organization-defined information system components - within the organization-defined time period of failure.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance

-

service provider contracts

-

service-level agreements

-

inventory and availability of spare parts

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for ensuring timely maintenance

- - - - - - Media Protection - - Media Protection Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - MP-1 - mp-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Media protection policy ; and

- - - 2. -

Media protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MP-1(a) - - MP-1(a)(1) - - assessment-objective - EXAMINE - MP-1(a)(1)[1] -

develops and documents a media protection policy that addresses:

- - MP-1(a)(1)[1][a] -

purpose;

- - - MP-1(a)(1)[1][b] -

scope;

- - - MP-1(a)(1)[1][c] -

roles;

- - - MP-1(a)(1)[1][d] -

responsibilities;

- - - MP-1(a)(1)[1][e] -

management commitment;

- - - MP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MP-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - MP-1(a)(1)[2] -

defines personnel or roles to whom the media protection policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MP-1(a)(1)[3] -

disseminates the media protection policy to organization-defined personnel - or roles;

- - - - MP-1(a)(2) - - assessment-objective - EXAMINE - MP-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls;

- - - assessment-objective - EXAMINE - MP-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MP-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MP-1(b) - - MP-1(b)(1) - - assessment-objective - EXAMINE - MP-1(b)(1)[1] -

defines the frequency to review and update the current media protection - policy;

- - - assessment-objective - EXAMINE - MP-1(b)(1)[2] -

reviews and updates the current media protection policy with the - organization-defined frequency;

- - - - MP-1(b)(2) - - assessment-objective - EXAMINE - MP-1(b)(2)[1] -

defines the frequency to review and update the current media protection - procedures; and

- - - assessment-objective - EXAMINE - MP-1(b)(2)[2] -

reviews and updates the current media protection procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Media protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media protection responsibilities

-

organizational personnel with information security responsibilities

- - - - - Media Access - - - any digital and non-digital media deemed sensitive - - - - - MP-2 - mp-02 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization restricts access to to .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team.

- AC-3 - IA-2 - MP-4 - PE-2 - PE-3 - PL-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-2[1] -

defines types of digital and/or non-digital media requiring restricted access;

- - - assessment-objective - EXAMINE - MP-2[2] -

defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - MP-2[3] -

restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media access restrictions

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

media storage facilities

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for restricting information media

-

automated mechanisms supporting and/or implementing media access restrictions

- - - - - Media Marking - - - no removable media types - - - - organization-defined security safeguards not applicable - - MP-3 - mp-03 - FIPS Publication 199 - -

The organization:

- - a. -

Marks information system media indicating the distribution limitations, handling - caveats, and applicable security markings (if any) of the information; and

- - - b. -

Exempts from marking as long as the media remain - within .

- - - MP-3 Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Second parameter not-applicable

- - - - -

The term security marking refers to the application/use of human-readable security - attributes. The term security labeling refers to the application/use of security - attributes with regard to internal data structures within information systems (see - AC-16). Information system media includes both digital and non-digital media. Digital - media includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Security marking is generally not - required for media containing information determined by organizations to be in the - public domain or to be publicly releasable. However, some organizations may require - markings for public information indicating that the information is publicly - releasable. Marking of information system media reflects applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and guidance.

- AC-16 - PL-2 - RA-3 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - MP-3(a) -

marks information system media indicating the:

- - MP-3(a)[1] -

distribution limitations of the information;

- - - MP-3(a)[2] -

handling caveats of the information;

- - - MP-3(a)[3] -

applicable security markings (if any) of the information;

- - - - MP-3(b) - - assessment-objective - EXAMINE - MP-3(b)[1] -

defines types of information system media to be exempted from marking as long - as the media remain in designated controlled areas;

- - - assessment-objective - EXAMINE - MP-3(b)[2] -

defines controlled areas where organization-defined types of information system - media exempt from marking are to be retained; and

- - - assessment-objective - INTERVIEW - TEST - MP-3(b)[3] -

exempts organization-defined types of information system media from marking as - long as the media remain within organization-defined controlled areas.

- - - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media marking

-

physical and environmental protection policy and procedures

-

security plan

-

list of information system media marking security attributes

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and marking - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for marking information media

-

automated mechanisms supporting and/or implementing media marking

- - - - - Media Storage - - - all types of digital and non-digital media with sensitive information - - - - see additional FedRAMP requirements and guidance - - MP-4 - mp-04 - FIPS Publication 199 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - NIST Special Publication 800-111 - -

The organization:

- - a. -

Physically controls and securely stores within - ; and

- - - b. -

Protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures.

- - - MP-4 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines controlled areas within facilities where the information and information system reside.

- - - - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Physically controlling information system - media includes, for example, conducting inventories, ensuring procedures are in place - to allow individuals to check out and return media to the media library, and - maintaining accountability for all stored media. Secure storage includes, for - example, a locked drawer, desk, or cabinet, or a controlled media library. The type - of media storage is commensurate with the security category and/or classification of - the information residing on the media. Controlled areas are areas for which - organizations provide sufficient physical and procedural safeguards to meet the - requirements established for protecting information and/or information systems. For - media containing information determined by organizations to be in the public domain, - to be publicly releasable, or to have limited or no adverse impact on organizations - or individuals if accessed by other than authorized personnel, fewer safeguards may - be needed. In these situations, physical access controls provide adequate - protection.

- CP-6 - CP-9 - MP-2 - MP-7 - PE-3 - - -

Determine if the organization:

- - MP-4(a) - - assessment-objective - EXAMINE - MP-4(a)[1] -

defines types of digital and/or non-digital media to be physically controlled - and securely stored within designated controlled areas;

- - - assessment-objective - EXAMINE - MP-4(a)[2] -

defines controlled areas designated to physically control and securely store - organization-defined types of digital and/or non-digital media;

- - - assessment-objective - INTERVIEW - TEST - MP-4(a)[3] -

physically controls organization-defined types of digital and/or non-digital - media within organization-defined controlled areas;

- - - assessment-objective - INTERVIEW - TEST - MP-4(a)[4] -

securely stores organization-defined types of digital and/or non-digital media - within organization-defined controlled areas; and

- - - - assessment-objective - INTERVIEW - TEST - MP-4(b) -

protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

physical and environmental protection policy and procedures

-

access control policy and procedures

-

security plan

-

information system media

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for storing information media

-

automated mechanisms supporting and/or implementing secure media storage/media - protection

- - - - - Media Transport - - - all media with sensitive information - - - - prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container - - MP-5 - mp-05 - FIPS Publication 199 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Protects and controls during transport outside of - controlled areas using ;

- - - b. -

Maintains accountability for information system media during transport outside of - controlled areas;

- - - c. -

Documents activities associated with the transport of information system media; - and

- - - d. -

Restricts the activities associated with the transport of information system media - to authorized personnel.

- - - MP-5 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

- - - - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers), - that are transported outside of controlled areas. Controlled areas are areas or - spaces for which organizations provide sufficient physical and/or procedural - safeguards to meet the requirements established for protecting information and/or - information systems. Physical and technical safeguards for media are commensurate - with the security category or classification of the information residing on the - media. Safeguards to protect media during transport include, for example, locked - containers and cryptography. Cryptographic mechanisms can provide confidentiality and - integrity protections depending upon the mechanisms used. Activities associated with - transport include the actual transport as well as those activities such as releasing - media for transport and ensuring that media enters the appropriate transport - processes. For the actual transport, authorized transport and courier personnel may - include individuals from outside the organization (e.g., U.S. Postal Service or a - commercial transport or delivery service). Maintaining accountability of media during - transport includes, for example, restricting transport activities to authorized - personnel, and tracking and/or obtaining explicit records of transport activities as - the media moves through the transportation system to prevent and detect loss, - destruction, or tampering. Organizations establish documentation requirements for - activities associated with the transport of information system media in accordance - with organizational assessments of risk to include the flexibility to define - different record-keeping methods for the different types of media transport as part - of an overall system of transport-related records.

- AC-19 - CP-9 - MP-3 - MP-4 - RA-3 - SC-8 - SC-13 - SC-28 - - -

Determine if the organization:

- - MP-5(a) - - assessment-objective - EXAMINE - MP-5(a)[1] -

defines types of information system media to be protected and controlled during - transport outside of controlled areas;

- - - assessment-objective - EXAMINE - MP-5(a)[2] -

defines security safeguards to protect and control organization-defined - information system media during transport outside of controlled areas;

- - - assessment-objective - INTERVIEW - TEST - MP-5(a)[3] -

protects and controls organization-defined information system media during - transport outside of controlled areas using organization-defined security - safeguards;

- - - - assessment-objective - INTERVIEW - TEST - MP-5(b) -

maintains accountability for information system media during transport outside of - controlled areas;

- - - assessment-objective - EXAMINE - MP-5(c) -

documents activities associated with the transport of information system media; - and

- - - assessment-objective - INTERVIEW - TEST - MP-5(d) -

restricts the activities associated with transport of information system media to - authorized personnel.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

physical and environmental protection policy and procedures

-

access control policy and procedures

-

security plan

-

information system media

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for storing information media

-

automated mechanisms supporting and/or implementing media storage/media - protection

- - - - Cryptographic Protection - MP-5(4) - mp-05.04 - -

The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas.

- - -

This control enhancement applies to both portable storage devices (e.g., USB - memory sticks, compact disks, digital video disks, external/removable hard disk - drives) and mobile devices with storage capability (e.g., smart phones, tablets, - E-readers).

- MP-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas.

- - - EXAMINE - -

Information system media protection policy

-

procedures addressing media transport

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system media transport records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media transport - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Cryptographic mechanisms protecting information on digital media during - transportation outside controlled areas

- - - - - - Media Sanitization - - - - - - techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations - - MP-6 - mp-06 - FIPS Publication 199 - NIST Special Publication 800-60 - NIST Special Publication 800-88 - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - -

The organization:

- - a. -

Sanitizes prior to disposal, release out of - organizational control, or release for reuse using - in accordance with applicable federal and organizational standards and policies; - and

- - - b. -

Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information.

- - - -

This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information.

- MA-2 - MA-4 - RA-3 - SC-4 - - -

Determine if the organization:

- - MP-6(a) - - assessment-objective - EXAMINE - MP-6(a)[1] -

defines information system media to be sanitized prior to:

- - MP-6(a)[1][a] -

disposal;

- - - MP-6(a)[1][b] -

release out of organizational control; or

- - - MP-6(a)[1][c] -

release for reuse;

- - - - assessment-objective - EXAMINE - MP-6(a)[2] -

defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to:

- - MP-6(a)[2][a] -

disposal;

- - - MP-6(a)[2][b] -

release out of organizational control; or

- - - MP-6(a)[2][c] -

release for reuse;

- - - - assessment-objective - INTERVIEW - TEST - MP-6(a)[3] -

sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and

- - - - assessment-objective - INTERVIEW - TEST - MP-6(b) -

employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

applicable federal standards and policies addressing media sanitization

-

media sanitization records

-

audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media sanitization responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - Review / Approve / Track / Document / Verify - MP-6(1) - mp-06.01 - -

The organization reviews, approves, tracks, documents, and verifies media - sanitization and disposal actions.

- - -

Organizations review and approve media to be sanitized to ensure compliance with - records-retention policies. Tracking/documenting actions include, for example, - listing personnel who reviewed and approved sanitization and disposal actions, - types of media sanitized, specific files stored on the media, sanitization methods - used, date and time of the sanitization actions, personnel who performed the - sanitization, verification actions taken, personnel who performed the - verification, and disposal action taken. Organizations verify that the - sanitization of the media was effective prior to disposal.

- SI-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-6(1)[1] -

reviews media sanitization and disposal actions;

- - - assessment-objective - EXAMINE - MP-6(1)[2] -

approves media sanitization and disposal actions;

- - - assessment-objective - EXAMINE - MP-6(1)[3] -

tracks media sanitization and disposal actions;

- - - assessment-objective - EXAMINE - MP-6(1)[4] -

documents media sanitization and disposal actions; and

- - - assessment-objective - INTERVIEW - TEST - MP-6(1)[5] -

verifies media sanitization and disposal actions.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

media sanitization and disposal records

-

review records for media sanitization and disposal actions

-

approvals for media sanitization and disposal actions

-

tracking records

-

verification records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization and - disposal responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - Equipment Testing - - - at least every six (6) months - - - MP-6(2) - mp-06.02 - -

The organization tests sanitization equipment and procedures to verify that the intended sanitization is being - achieved.

- - MP-6 (2) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

Equipment and procedures may be tested or validated for effectiveness

- - - - -

Testing of sanitization equipment and procedures may be conducted by qualified and - authorized external entities (e.g., other federal agencies or external service - providers).

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-6(2)[1] -

defines the frequency for testing sanitization equipment and procedures to - verify that the intended sanitization is being achieved; and

- - - assessment-objective - INTERVIEW - TEST - MP-6(2)[2] -

tests sanitization equipment and procedures with the organization-defined - frequency to verify that the intended sanitization is being achieved.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

procedures addressing testing of media sanitization equipment

-

results of media sanitization equipment and procedures testing

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - Nondestructive Techniques - - - - MP-6(3) - mp-06.03 - -

The organization applies nondestructive sanitization techniques to portable - storage devices prior to connecting such devices to the information system under - the following circumstances: .

- - -

This control enhancement applies to digital media containing classified - information and Controlled Unclassified Information (CUI). Portable storage - devices can be the source of malicious code insertions into organizational - information systems. Many of these devices are obtained from unknown and - potentially untrustworthy sources and may contain malicious code that can be - readily transferred to information systems through USB ports or other entry - portals. While scanning such storage devices is always recommended, sanitization - provides additional assurance that the devices are free of malicious code to - include code capable of initiating zero-day attacks. Organizations consider - nondestructive sanitization of portable storage devices when such devices are - first purchased from the manufacturer or vendor prior to initial use or when - organizations lose a positive chain of custody for the devices.

- SI-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-6(3)[1] -

defines circumstances requiring sanitization of portable storage devices; - and

- - - assessment-objective - INTERVIEW - TEST - MP-6(3)[2] -

applies nondestructive sanitization techniques to portable storage devices - prior to connecting such devices to the information system under - organization-defined circumstances requiring sanitization of portable storage - devices.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

list of circumstances requiring sanitization of portable storage devices

-

media sanitization records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media sanitization of portable storage devices

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - - Media Use - - - - - - - - - - - MP-7 - mp-07 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization the use of on using .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices.

- AC-19 - PL-4 - - -

Determine if the organization:

- - MP-7[1] -

defines types of information system media to be:

- - MP-7[1][a] -

restricted on information systems or system components; or

- - - MP-7[1][b] -

prohibited from use on information systems or system components;

- - - - MP-7[2] -

defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following:

- - MP-7[2][a] -

restricted; or

- - - MP-7[2][b] -

prohibited;

- - - - assessment-objective - EXAMINE - MP-7[3] -

defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and

- - - assessment-objective - INTERVIEW - TEST - MP-7[4] -

restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards.

- - - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms restricting or prohibiting use of information system media on - information systems or system components

- - - - Prohibit Use Without Owner - MP-7(1) - mp-07.01 - -

The organization prohibits the use of portable storage devices in organizational - information systems when such devices have no identifiable owner.

- - -

Requiring identifiable owners (e.g., individuals, organizations, or projects) for - portable storage devices reduces the risk of using such technologies by allowing - organizations to assign responsibility and accountability for addressing known - vulnerabilities in the devices (e.g., malicious code insertion).

- PL-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization prohibits the use of portable storage devices in - organizational information systems when such devices have no identifiable owner. -

- - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms prohibiting use of media on information systems or system - components

- - - - - - - Physical and Environmental Protection - - Physical and Environmental Protection Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - PE-1 - pe-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Physical and environmental protection policy ; - and

- - - 2. -

Physical and environmental protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PE-1(a) - - PE-1(a)(1) - - assessment-objective - EXAMINE - PE-1(a)(1)[1] -

develops and documents a physical and environmental protection policy that - addresses:

- - PE-1(a)(1)[1][a] -

purpose;

- - - PE-1(a)(1)[1][b] -

scope;

- - - PE-1(a)(1)[1][c] -

roles;

- - - PE-1(a)(1)[1][d] -

responsibilities;

- - - PE-1(a)(1)[1][e] -

management commitment;

- - - PE-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PE-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PE-1(a)(1)[2] -

defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-1(a)(1)[3] -

disseminates the physical and environmental protection policy to - organization-defined personnel or roles;

- - - - PE-1(a)(2) - - assessment-objective - EXAMINE - PE-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls;

- - - assessment-objective - EXAMINE - PE-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PE-1(b) - - PE-1(b)(1) - - assessment-objective - EXAMINE - PE-1(b)(1)[1] -

defines the frequency to review and update the current physical and - environmental protection policy;

- - - assessment-objective - EXAMINE - PE-1(b)(1)[2] -

reviews and updates the current physical and environmental protection policy - with the organization-defined frequency;

- - - - PE-1(b)(2) - - assessment-objective - EXAMINE - PE-1(b)(2)[1] -

defines the frequency to review and update the current physical and - environmental protection procedures; and

- - - assessment-objective - EXAMINE - PE-1(b)(2)[2] -

reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Physical and environmental protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical and environmental protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Physical Access Authorizations - - - at least every ninety (90) days - - - PE-2 - pe-02 - -

The organization:

- - a. -

Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides;

- - - b. -

Issues authorization credentials for facility access;

- - - c. -

Reviews the access list detailing authorized facility access by individuals - ; and

- - - d. -

Removes individuals from the facility access list when access is no longer - required.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible.

- PE-3 - PE-4 - PS-3 - - -

Determine if the organization:

- - PE-2(a) - - assessment-objective - EXAMINE - INTERVIEW - PE-2(a)[1] -

develops a list of individuals with authorized access to the facility where the - information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-2(a)[2] -

approves a list of individuals with authorized access to the facility where the - information system resides;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-2(a)[3] -

maintains a list of individuals with authorized access to the facility where - the information system resides;

- - - - assessment-objective - INTERVIEW - TEST - PE-2(b) -

issues authorization credentials for facility access;

- - - PE-2(c) - - assessment-objective - EXAMINE - PE-2(c)[1] -

defines the frequency to review the access list detailing authorized facility - access by individuals;

- - - assessment-objective - INTERVIEW - TEST - PE-2(c)[2] -

reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and

- - - - assessment-objective - INTERVIEW - TEST - PE-2(d) -

removes individuals from the facility access list when access is no longer - required.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

security plan

-

authorized personnel access list

-

authorization credentials

-

physical access list reviews

-

physical access termination records and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization responsibilities

-

organizational personnel with physical access to information system facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - - Physical Access Control - - - - - CSP defined physical access control systems/devices AND guards - - - - CSP defined physical access control systems/devices - - - - - - - - - - in all circumstances within restricted access area where the information system resides - - - - - - - at least annually - - - - at least annually - - - PE-3 - pe-03 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-116 - ICD 704 - ICD 705 - DoD Instruction 5200.39 - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - http://idmanagement.gov - http://fips201ep.cio.gov - -

The organization:

- - a. -

Enforces physical access authorizations at by;

- - 1. -

Verifying individual access authorizations before granting access to the - facility; and

- - - 2. -

Controlling ingress/egress to the facility using ;

- - - - b. -

Maintains physical access audit logs for ;

- - - c. -

Provides to control access to areas within the - facility officially designated as publicly accessible;

- - - d. -

Escorts visitors and monitors visitor activity ;

- - - e. -

Secures keys, combinations, and other physical access devices;

- - - f. -

Inventories every ; - and

- - - g. -

Changes combinations and keys and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices.

- AU-2 - AU-6 - MP-2 - MP-4 - PE-2 - PE-4 - PE-5 - PS-3 - RA-3 - - -

Determine if the organization:

- - PE-3(a) - - assessment-objective - EXAMINE - PE-3(a)[1] -

defines entry/exit points to the facility where the information system - resides;

- - - assessment-objective - INTERVIEW - TEST - PE-3(a)[2] -

enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by:

- - PE-3(a)[2](1) -

verifying individual access authorizations before granting access to the - facility;

- - - assessment-objective - EXAMINE - PE-3(a)[2](2) - - PE-3(a)[2](2)[a] -

defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides;

- - - PE-3(a)[2](2)[b] -

using one or more of the following ways to control ingress/egress to the - facility:

- - PE-3(a)[2](2)[b][1] -

organization-defined physical access control systems/devices; - and/or

- - - PE-3(a)[2](2)[b][2] -

guards;

- - - - - - - PE-3(b) - - assessment-objective - EXAMINE - PE-3(b)[1] -

defines entry/exit points for which physical access audit logs are to be - maintained;

- - - assessment-objective - INTERVIEW - TEST - PE-3(b)[2] -

maintains physical access audit logs for organization-defined entry/exit - points;

- - - - PE-3(c) - - assessment-objective - EXAMINE - PE-3(c)[1] -

defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible;

- - - assessment-objective - INTERVIEW - TEST - PE-3(c)[2] -

provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible;

- - - - PE-3(d) - - assessment-objective - EXAMINE - PE-3(d)[1] -

defines circumstances requiring visitor:

- - PE-3(d)[1][a] -

escorts;

- - - PE-3(d)[1][b] -

monitoring;

- - - - assessment-objective - INTERVIEW - TEST - PE-3(d)[2] -

in accordance with organization-defined circumstances requiring visitor escorts - and monitoring:

- - PE-3(d)[2][a] -

escorts visitors;

- - - PE-3(d)[2][b] -

monitors visitor activities;

- - - - - PE-3(e) - - assessment-objective - INTERVIEW - TEST - PE-3(e)[1] -

secures keys;

- - - assessment-objective - INTERVIEW - TEST - PE-3(e)[2] -

secures combinations;

- - - assessment-objective - INTERVIEW - TEST - PE-3(e)[3] -

secures other physical access devices;

- - - - PE-3(f) - - assessment-objective - EXAMINE - PE-3(f)[1] -

defines physical access devices to be inventoried;

- - - assessment-objective - EXAMINE - PE-3(f)[2] -

defines the frequency to inventory organization-defined physical access - devices;

- - - assessment-objective - INTERVIEW - TEST - PE-3(f)[3] -

inventories the organization-defined physical access devices with the - organization-defined frequency;

- - - - PE-3(g) - - assessment-objective - EXAMINE - PE-3(g)[1] -

defines the frequency to change combinations and keys; and

- - - assessment-objective - INTERVIEW - TEST - PE-3(g)[2] -

changes combinations and keys with the organization-defined frequency and/or - when:

- - PE-3(g)[2][a] -

keys are lost;

- - - PE-3(g)[2][b] -

combinations are compromised;

- - - PE-3(g)[2][c] -

individuals are transferred or terminated.

- - - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security plan

-

physical access control logs or records

-

inventory records of physical access control devices

-

information system entry and exit points

-

records of key and lock combination changes

-

storage locations for physical access control devices

-

physical access control devices

-

list of security safeguards controlling access to designated publicly accessible - areas within facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control

-

automated mechanisms supporting and/or implementing physical access control

-

physical access control devices

- - - - Information System Access - - - - PE-3(1) - pe-03.01 - -

The organization enforces physical access authorizations to the information system - in addition to the physical access controls for the facility at .

- - -

This control enhancement provides additional physical security for those areas - within facilities where there is a concentration of information system components - (e.g., server rooms, media storage areas, data and communications centers).

- PS-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-3(1)[1] -

defines physical spaces containing one or more components of the information - system; and

- - - assessment-objective - INTERVIEW - TEST - PE-3(1)[2] -

enforces physical access authorizations to the information system in addition - to the physical access controls for the facility at organization-defined - physical spaces containing one or more components of the information - system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

physical access control logs or records

-

physical access control devices

-

access authorizations

-

access credentials

-

information system entry and exit points

-

list of areas within the facility containing concentrations of information - system components or information system components requiring additional - physical protection

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control to the information - system/components

-

automated mechanisms supporting and/or implementing physical access control for - facility areas containing information system components

- - - - - - Access Control for Transmission Medium - - - - - - - PE-4 - pe-04 - NSTISSI No. 7003 - -

The organization controls physical access to within - organizational facilities using .

- - -

Physical security safeguards applied to information system distribution and - transmission lines help to prevent accidental damage, disruption, and physical - tampering. In addition, physical safeguards may be necessary to help prevent - eavesdropping or in transit modification of unencrypted transmissions. Security - safeguards to control physical access to system distribution and transmission lines - include, for example: (i) locked wiring closets; (ii) disconnected or locked spare - jacks; and/or (iii) protection of cabling by conduit or cable trays.

- MP-2 - MP-4 - PE-2 - PE-3 - PE-5 - SC-7 - SC-8 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-4[1] -

defines information system distribution and transmission lines requiring physical - access controls;

- - - assessment-objective - EXAMINE - PE-4[2] -

defines security safeguards to be employed to control physical access to - organization-defined information system distribution and transmission lines within - organizational facilities; and

- - - assessment-objective - INTERVIEW - TEST - PE-4[3] -

controls physical access to organization-defined information system distribution - and transmission lines within organizational facilities using organization-defined - security safeguards.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing access control for transmission medium

-

information system design documentation

-

facility communications and wiring diagrams

-

list of physical security safeguards applied to information system distribution - and transmission lines

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to distribution and transmission - lines

-

automated mechanisms/security safeguards supporting and/or implementing access - control to distribution and transmission lines

- - - - - Access Control for Output Devices - PE-5 - pe-05 - -

The organization controls physical access to information system output devices to - prevent unauthorized individuals from obtaining the output.

- - -

Controlling physical access to output devices includes, for example, placing output - devices in locked rooms or other secured areas and allowing access to authorized - individuals only, and placing output devices in locations that can be monitored by - organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, - and audio devices are examples of information system output devices.

- PE-2 - PE-3 - PE-4 - PE-18 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization controls physical access to information system output - devices to prevent unauthorized individuals from obtaining the output.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing access control for display medium

-

facility layout of information system components

-

actual displays from information system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to output devices

-

automated mechanisms supporting and/or implementing access control to output - devices

- - - - - Monitoring Physical Access - - - at least monthly - - - - - - PE-6 - pe-06 - -

The organization:

- - a. -

Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - b. -

Reviews physical access logs and upon occurrence - of ; and

- - - c. -

Coordinates results of reviews and investigations with the organizational incident - response capability.

- - - -

Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses.

- CA-7 - IR-4 - IR-8 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - PE-6(a) -

monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - PE-6(b) - - assessment-objective - EXAMINE - PE-6(b)[1] -

defines the frequency to review physical access logs;

- - - assessment-objective - EXAMINE - PE-6(b)[2] -

defines events or potential indication of events requiring physical access logs - to be reviewed;

- - - assessment-objective - INTERVIEW - TEST - PE-6(b)[3] -

reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and

- - - - assessment-objective - EXAMINE - INTERVIEW - PE-6(c) -

coordinates results of reviews and investigations with the organizational incident - response capability.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access monitoring

-

automated mechanisms supporting and/or implementing reviewing of physical access - logs

- - - - Intrusion Alarms / Surveillance Equipment - PE-6(1) - pe-06.01 - -

The organization monitors physical intrusion alarms and surveillance - equipment.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization monitors physical intrusion alarms and surveillance - equipment.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical intrusion alarms and - surveillance equipment

-

automated mechanisms supporting and/or implementing physical access - monitoring

-

automated mechanisms supporting and/or implementing physical intrusion alarms - and surveillance equipment

- - - - - Monitoring Physical Access to Information Systems - - - - PE-6(4) - pe-06.04 - -

The organization monitors physical access to the information system in addition to - the physical access monitoring of the facility as .

- - -

This control enhancement provides additional monitoring for those areas within - facilities where there is a concentration of information system components (e.g., - server rooms, media storage areas, communications centers).

- PS-2 - PS-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-6(4)[1] -

defines physical spaces containing one or more components of the information - system; and

- - - assessment-objective - INTERVIEW - TEST - PE-6(4)[2] -

monitors physical access to the information system in addition to the physical - access monitoring of the facility at organization-defined physical spaces - containing one or more components of the information system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

physical access control logs or records

-

physical access control devices

-

access authorizations

-

access credentials

-

list of areas within the facility containing concentrations of information - system components or information system components requiring additional - physical access monitoring

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access to the information - system

-

automated mechanisms supporting and/or implementing physical access monitoring - for facility areas containing information system components

- - - - - - Visitor Access Records - - - for a minimum of one (1) year - - - - at least monthly - - - PE-8 - pe-08 - -

The organization:

- - a. -

Maintains visitor access records to the facility where the information system - resides for ; and

- - - b. -

Reviews visitor access records .

- - - -

Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas.

- - -

Determine if the organization:

- - PE-8(a) - - assessment-objective - EXAMINE - PE-8(a)[1] -

defines the time period to maintain visitor access records to the facility - where the information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-8(a)[2] -

maintains visitor access records to the facility where the information system - resides for the organization-defined time period;

- - - - PE-8(b) - - assessment-objective - EXAMINE - PE-8(b)[1] -

defines the frequency to review visitor access records; and

- - - assessment-objective - INTERVIEW - TEST - PE-8(b)[2] -

reviews visitor access records with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

security plan

-

visitor access control logs or records

-

visitor access record or log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - - Automated Records Maintenance / Review - PE-8(1) - pe-08.01 - -

The organization employs automated mechanisms to facilitate the maintenance and - review of visitor access records.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to facilitate the - maintenance and review of visitor access records.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

automated mechanisms supporting management of visitor access records

-

visitor access control logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access - records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - - - - Power Equipment and Cabling - PE-9 - pe-09 - -

The organization protects power equipment and power cabling for the information - system from damage and destruction.

- - -

Organizations determine the types of protection necessary for power equipment and - cabling employed at different locations both internal and external to organizational - facilities and environments of operation. This includes, for example, generators and - power cabling outside of buildings, internal cabling and uninterruptable power - sources within an office or data center, and power sources for self-contained - entities such as vehicles and satellites.

- PE-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects power equipment and power cabling for the - information system from damage and destruction.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power equipment/cabling protection

-

facilities housing power equipment/cabling

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for protecting power - equipment/cabling

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection of power - equipment/cabling

- - - - - Emergency Shutoff - - - - PE-10 - pe-10 - -

The organization:

- - a. -

Provides the capability of shutting off power to the information system or - individual system components in emergency situations;

- - - b. -

Places emergency shutoff switches or devices in - to facilitate safe and easy access for personnel; and

- - - c. -

Protects emergency power shutoff capability from unauthorized activation.

- - - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- PE-15 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - PE-10(a) -

provides the capability of shutting off power to the information system or - individual system components in emergency situations;

- - - PE-10(b) - - assessment-objective - EXAMINE - PE-10(b)[1] -

defines the location of emergency shutoff switches or devices by information - system or system component;

- - - assessment-objective - INTERVIEW - TEST - PE-10(b)[2] -

places emergency shutoff switches or devices in the organization-defined - location by information system or system component to facilitate safe and easy - access for personnel; and

- - - - assessment-objective - INTERVIEW - TEST - PE-10(c) -

protects emergency power shutoff capability from unauthorized activation.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power source emergency shutoff

-

security plan

-

emergency shutoff controls or switches

-

locations housing emergency shutoff switches and devices

-

security safeguards protecting emergency power shutoff capability from - unauthorized activation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power shutoff - capability (both implementing and using the capability)

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency power shutoff

- - - - - Emergency Power - - PE-11 - pe-11 - -

The organization provides a short-term uninterruptible power supply to facilitate - in the event of a primary power source loss.

- - - AT-3 - CP-2 - CP-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization provides a short-term uninterruptible power supply to - facilitate one or more of the following in the event of a primary power source loss:

- - PE-11[1] -

an orderly shutdown of the information system; and/or

- - - PE-11[2] -

transition of the information system to long-term alternate power.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency power

-

uninterruptible power supply

-

uninterruptible power supply documentation

-

uninterruptible power supply test records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing uninterruptible power - supply

-

the uninterruptable power supply

- - - - Long-term Alternate Power Supply - Minimal Operational Capability - PE-11(1) - pe-11.01 - -

The organization provides a long-term alternate power supply for the information - system that is capable of maintaining minimally required operational capability in - the event of an extended loss of the primary power source.

- - -

This control enhancement can be satisfied, for example, by the use of a secondary - commercial power supply or other external power supply. Long-term alternate power - supplies for the information system can be either manually or automatically - activated.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization provides a long-term alternate power supply for the - information system that is capable of maintaining minimally required operational - capability in the event of an extended loss of the primary power source.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency power

-

alternate power supply

-

alternate power supply documentation

-

alternate power supply test records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing alternate power supply

-

the alternate power supply

- - - - - - Emergency Lighting - PE-12 - pe-12 - -

The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- CP-2 - CP-7 - - -

Determine if the organization employs and maintains automatic emergency lighting for - the information system that:

- - PE-12[1] -

activates in the event of a power outage or disruption; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-12[2] -

covers emergency exits and evacuation routes within the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency lighting

-

emergency lighting documentation

-

emergency lighting test records

-

emergency exits and evacuation routes

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency lighting and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency lighting - capability

- - - - - Fire Protection - PE-13 - pe-13 - -

The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors.

- - -

Determine if the organization:

- - PE-13[1] -

employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and

- - - PE-13[2] -

maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and suppression - devices/systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems

- - - - Detection Devices / Systems - - - service provider building maintenance/physical security personnel - - - - service provider emergency responders with incident response responsibilities - - PE-13(1) - pe-13.01 - -

The organization employs fire detection devices/systems for the information system - that activate automatically and notify and - in the event of a fire.

- - -

Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-13(1)[1] -

defines personnel or roles to be notified in the event of a fire;

- - - assessment-objective - EXAMINE - PE-13(1)[2] -

defines emergency responders to be notified in the event of a fire;

- - - assessment-objective - INTERVIEW - TEST - PE-13(1)[3] -

employs fire detection devices/systems for the information system that, in the - event of a fire,:

- - PE-13(1)[3][a] -

activate automatically;

- - - PE-13(1)[3][b] -

notify organization-defined personnel or roles; and

- - - PE-13(1)[3][c] -

notify organization-defined emergency responders.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

alerts/notifications of fire events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for notifying appropriate - personnel, roles, and emergency responders of fires

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire detection - devices/systems

-

activation of fire detection devices/systems (simulated)

-

automated notifications

- - - - - Suppression Devices / Systems - - - - - - - PE-13(2) - pe-13.02 - -

The organization employs fire suppression devices/systems for the information - system that provide automatic notification of any activation to and .

- - -

Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-13(2)[1] -

defines personnel or roles to be provided automatic notification of any - activation of fire suppression devices/systems for the information system;

- - - assessment-objective - EXAMINE - PE-13(2)[2] -

defines emergency responders to be provided automatic notification of any - activation of fire suppression devices/systems for the information system;

- - - assessment-objective - INTERVIEW - TEST - PE-13(2)[3] -

employs fire suppression devices/systems for the information system that - provide automatic notification of any activation to:

- - PE-13(2)[3][a] -

organization-defined personnel or roles; and

- - - PE-13(2)[3][b] -

organization-defined emergency responders.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems documentation

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression - devices/systems

-

activation of fire suppression devices/systems (simulated)

-

automated notifications

- - - - - Automatic Fire Suppression - PE-13(3) - pe-13.03 - -

The organization employs an automatic fire suppression capability for the - information system when the facility is not staffed on a continuous basis.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs an automatic fire suppression capability for - the information system when the facility is not staffed on a continuous basis. -

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems documentation

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression - devices/systems

-

activation of fire suppression devices/systems (simulated)

- - - - - - Temperature and Humidity Controls - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - - continuously - - PE-14 - pe-14 - -

The organization:

- - a. -

Maintains temperature and humidity levels within the facility where the - information system resides at ; and

- - - b. -

Monitors temperature and humidity levels .

- - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - -

This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms.

- AT-3 - - -

Determine if the organization:

- - PE-14(a) - - assessment-objective - EXAMINE - PE-14(a)[1] -

defines acceptable temperature levels to be maintained within the facility - where the information system resides;

- - - assessment-objective - EXAMINE - PE-14(a)[2] -

defines acceptable humidity levels to be maintained within the facility where - the information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-14(a)[3] -

maintains temperature levels within the facility where the information system - resides at the organization-defined levels;

- - - assessment-objective - INTERVIEW - TEST - PE-14(a)[4] -

maintains humidity levels within the facility where the information system - resides at the organization-defined levels;

- - - - PE-14(b) - - assessment-objective - EXAMINE - PE-14(b)[1] -

defines the frequency to monitor temperature levels;

- - - assessment-objective - EXAMINE - PE-14(b)[2] -

defines the frequency to monitor humidity levels;

- - - assessment-objective - INTERVIEW - TEST - PE-14(b)[3] -

monitors temperature levels with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - PE-14(b)[4] -

monitors humidity levels with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity control

-

security plan

-

temperature and humidity controls

-

facility housing the information system

-

temperature and humidity controls documentation

-

temperature and humidity records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels

- - - - Monitoring with Alarms / Notifications - PE-14(2) - pe-14.02 - -

The organization employs temperature and humidity monitoring that provides an - alarm or notification of changes potentially harmful to personnel or - equipment.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-14(2)[1] -

employs temperature monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-14(2)[2] -

employs temperature monitoring that provides notification of changes - potentially harmful to personnel or equipment;

- - - PE-14(2)[3] -

employs humidity monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or

- - - PE-14(2)[4] -

employs humidity monitoring that provides notification of changes potentially - harmful to personnel or equipment.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity monitoring

-

facility housing the information system

-

logs or records of temperature and humidity monitoring

-

records of changes to temperature and humidity levels that generate alarms or - notifications

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing temperature and humidity - monitoring

- - - - - - Water Damage Protection - PE-15 - pe-15 - -

The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations.

- AT-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are:

- - PE-15[1] -

accessible;

- - - PE-15[2] -

working properly; and

- - - PE-15[3] -

known to key personnel.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

master shutoff valves

-

list of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system

-

master shutoff valve documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Master water-shutoff valves

-

organizational process for activating master water-shutoff

- - - - Automation Support - - - service provider building maintenance/physical security personnel - - PE-15(1) - pe-15.01 - -

The organization employs automated mechanisms to detect the presence of water in - the vicinity of the information system and alerts .

- - -

Automated mechanisms can include, for example, water detection sensors, alarms, - and notification systems.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-15(1)[1] -

defines personnel or roles to be alerted when the presence of water is detected - in the vicinity of the information system;

- - - assessment-objective - INTERVIEW - TEST - PE-15(1)[2] -

employs automated mechanisms to detect the presence of water in the vicinity of - the information system; and

- - - assessment-objective - INTERVIEW - TEST - PE-15(1)[3] -

alerts organization-defined personnel or roles when the presence of water is - detected in the vicinity of the information system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

automated mechanisms for water shutoff valves

-

automated mechanisms detecting presence of water in vicinity of information - system

-

alerts/notifications of water detection in information system facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing water detection capability - and alerts for the information system

- - - - - - Delivery and Removal - - - all information system components - - PE-16 - pe-16 - -

The organization authorizes, monitors, and controls - entering and exiting the facility and maintains records of those items.

- - -

Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries.

- CM-3 - MA-2 - MA-3 - MP-5 - SA-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-16[1] -

defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[2] -

authorizes organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[3] -

monitors organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[4] -

controls organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[5] -

authorizes organization-defined information system components exiting the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[6] -

monitors organization-defined information system components exiting the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[7] -

controls organization-defined information system components exiting the - facility;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-16[8] -

maintains records of information system components entering the facility; and

- - - assessment-objective - EXAMINE - INTERVIEW - PE-16[9] -

maintains records of information system components exiting the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing delivery and removal of information system components from - the facility

-

security plan

-

facility housing the information system

-

records of items entering and exiting the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility

- - - - - Alternate Work Site - - - - PE-17 - pe-17 - NIST Special Publication 800-46 - -

The organization:

- - a. -

Employs at alternate work sites;

- - - b. -

Assesses as feasible, the effectiveness of security controls at alternate work - sites; and

- - - c. -

Provides a means for employees to communicate with information security personnel - in case of security incidents or problems.

- - - -

Alternate work sites may include, for example, government facilities or private - residences of employees. While commonly distinct from alternative processing sites, - alternate work sites may provide readily available alternate locations as part of - contingency operations. Organizations may define different sets of security controls - for specific alternate work sites or types of sites depending on the work-related - activities conducted at those sites. This control supports the contingency planning - activities of organizations and the federal telework initiative.

- AC-17 - CP-7 - - -

Determine if the organization:

- - PE-17(a) - - assessment-objective - EXAMINE - PE-17(a)[1] -

defines security controls to be employed at alternate work sites;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-17(a)[2] -

employs organization-defined security controls at alternate work sites;

- - - - assessment-objective - EXAMINE - INTERVIEW - PE-17(b) -

assesses, as feasible, the effectiveness of security controls at alternate work - sites; and

- - - assessment-objective - INTERVIEW - TEST - PE-17(c) -

provides a means for employees to communicate with information security personnel - in case of security incidents or problems.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing alternate work sites for organizational personnel

-

security plan

-

list of security controls required for alternate work sites

-

assessments of security controls at alternate work sites

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel approving use of alternate work sites

-

organizational personnel using alternate work sites

-

organizational personnel assessing controls at alternate work sites

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security at alternate work sites

-

automated mechanisms supporting alternate work sites

-

security controls employed at alternate work sites

-

means of communications between personnel at alternate work sites and security - personnel

- - - - - Location of Information System Components - - - physical and environmental hazards identified during threat assessment - - PE-18 - pe-18 - -

The organization positions information system components within the facility to - minimize potential damage from and to minimize the - opportunity for unauthorized access.

- - -

Physical and environmental hazards include, for example, flooding, fire, tornados, - earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, - electrical interference, and other forms of incoming electromagnetic radiation. In - addition, organizations consider the location of physical entry points where - unauthorized individuals, while not being granted access, might nonetheless be in - close proximity to information systems and therefore increase the potential for - unauthorized access to organizational communications (e.g., through the use of - wireless sniffers or microphones).

- CP-2 - PE-19 - RA-3 - - -

Determine if the organization:

- - PE-18[1] -

defines physical hazards that could result in potential damage to information - system components within the facility;

- - - assessment-objective - EXAMINE - PE-18[2] -

defines environmental hazards that could result in potential damage to information - system components within the facility;

- - - assessment-objective - INTERVIEW - TEST - PE-18[3] -

positions information system components within the facility to minimize potential - damage from organization-defined physical and environmental hazards; and

- - - assessment-objective - INTERVIEW - TEST - PE-18[4] -

positions information system components within the facility to minimize the - opportunity for unauthorized access.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing positioning of information system components

-

documentation providing the location and position of information system components - within the facility

-

locations housing information system components within the facility

-

list of physical and environmental hazards with potential to damage information - system components within the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for positioning information system - components

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for positioning information system components

- - - - - - Planning - - Security Planning Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - PL-1 - pl-01 - NIST Special Publication 800-12 - NIST Special Publication 800-18 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security planning policy ; and

- - - 2. -

Security planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PL-1(a) - - PL-1(a)(1) - - assessment-objective - EXAMINE - PL-1(a)(1)[1] -

develops and documents a planning policy that addresses:

- - PL-1(a)(1)[1][a] -

purpose;

- - - PL-1(a)(1)[1][b] -

scope;

- - - PL-1(a)(1)[1][c] -

roles;

- - - PL-1(a)(1)[1][d] -

responsibilities;

- - - PL-1(a)(1)[1][e] -

management commitment;

- - - PL-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PL-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PL-1(a)(1)[2] -

defines personnel or roles to whom the planning policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PL-1(a)(1)[3] -

disseminates the planning policy to organization-defined personnel or - roles;

- - - - PL-1(a)(2) - - assessment-objective - EXAMINE - PL-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls;

- - - assessment-objective - EXAMINE - PL-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PL-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PL-1(b) - - PL-1(b)(1) - - assessment-objective - EXAMINE - PL-1(b)(1)[1] -

defines the frequency to review and update the current planning policy;

- - - assessment-objective - EXAMINE - PL-1(b)(1)[2] -

reviews and updates the current planning policy with the - organization-defined frequency;

- - - - PL-1(b)(2) - - assessment-objective - EXAMINE - PL-1(b)(2)[1] -

defines the frequency to review and update the current planning procedures; - and

- - - assessment-objective - EXAMINE - PL-1(b)(2)[2] -

reviews and updates the current planning procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - System Security Plan - - - - - - at least annually - - - PL-2 - pl-02 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Develops a security plan for the information system that:

- - 1. -

Is consistent with the organization’s enterprise architecture;

- - - 2. -

Explicitly defines the authorization boundary for the system;

- - - 3. -

Describes the operational context of the information system in terms of - missions and business processes;

- - - 4. -

Provides the security categorization of the information system including - supporting rationale;

- - - 5. -

Describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - 6. -

Provides an overview of the security requirements for the system;

- - - 7. -

Identifies any relevant overlays, if applicable;

- - - 8. -

Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and

- - - 9. -

Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - b. -

Distributes copies of the security plan and communicates subsequent changes to the - plan to ;

- - - c. -

Reviews the security plan for the information system ;

- - - d. -

Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and

- - - e. -

Protects the security plan from unauthorized disclosure and modification.

- - - -

Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans.

- AC-2 - AC-6 - AC-14 - AC-17 - AC-20 - CA-2 - CA-3 - CA-7 - CM-9 - CP-2 - IR-8 - MA-4 - MA-5 - MP-2 - MP-4 - MP-5 - PL-7 - PM-1 - PM-7 - PM-8 - PM-9 - PM-11 - SA-5 - SA-17 - - -

Determine if the organization:

- - PL-2(a) -

develops a security plan for the information system that:

- - assessment-objective - EXAMINE - PL-2(a)(1) -

is consistent with the organization’s enterprise architecture;

- - - assessment-objective - EXAMINE - PL-2(a)(2) -

explicitly defines the authorization boundary for the system;

- - - assessment-objective - EXAMINE - PL-2(a)(3) -

describes the operational context of the information system in terms of - missions and business processes;

- - - assessment-objective - EXAMINE - PL-2(a)(4) -

provides the security categorization of the information system including - supporting rationale;

- - - assessment-objective - EXAMINE - PL-2(a)(5) -

describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - assessment-objective - EXAMINE - PL-2(a)(6) -

provides an overview of the security requirements for the system;

- - - assessment-objective - EXAMINE - PL-2(a)(7) -

identifies any relevant overlays, if applicable;

- - - assessment-objective - EXAMINE - PL-2(a)(8) -

describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions;

- - - assessment-objective - INTERVIEW - TEST - PL-2(a)(9) -

is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - PL-2(b) - - assessment-objective - EXAMINE - PL-2(b)[1] -

defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated;

- - - assessment-objective - INTERVIEW - TEST - PL-2(b)[2] -

distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles;

- - - - PL-2(c) - - assessment-objective - EXAMINE - PL-2(c)[1] -

defines the frequency to review the security plan for the information - system;

- - - assessment-objective - EXAMINE - PL-2(c)[2] -

reviews the security plan for the information system with the - organization-defined frequency;

- - - - assessment-objective - INTERVIEW - TEST - PL-2(d) -

updates the plan to address:

- - PL-2(d)[1] -

changes to the information system/environment of operation;

- - - PL-2(d)[2] -

problems identified during plan implementation;

- - - PL-2(d)[3] -

problems identified during security control assessments;

- - - - assessment-objective - INTERVIEW - TEST - PL-2(e) -

protects the security plan from unauthorized:

- - PL-2(e)[1] -

disclosure; and

- - - PL-2(e)[2] -

modification.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing security plan development and implementation

-

procedures addressing security plan reviews and updates

-

enterprise architecture documentation

-

security plan for the information system

-

records of security plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security plan development/review/update/approval

-

automated mechanisms supporting the information system security plan

- - - - Plan / Coordinate with Other Organizational Entities - - - - PL-2(3) - pl-02.03 - -

The organization plans and coordinates security-related activities affecting the - information system with before conducting such - activities in order to reduce the impact on other organizational entities.

- - -

Security-related activities include, for example, security assessments, audits, - hardware and software maintenance, patch management, and contingency plan testing. - Advance planning and coordination includes emergency and nonemergency (i.e., - planned or nonurgent unplanned) situations. The process defined by organizations - to plan and coordinate security-related activities can be included in security - plans for information systems or other documents, as appropriate.

- CP-4 - IR-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PL-2(3)[1] -

defines individuals or groups with whom security-related activities affecting - the information system are to be planned and coordinated before conducting such - activities in order to reduce the impact on other organizational entities; - and

- - - assessment-objective - EXAMINE - INTERVIEW - PL-2(3)[2] -

plans and coordinates security-related activities affecting the information - system with organization-defined individuals or groups before conducting such - activities in order to reduce the impact on other organizational entities.

- - - - EXAMINE - -

Security planning policy

-

access control policy

-

contingency planning policy

-

procedures addressing security-related activity planning for the information - system

-

security plan for the information system

-

contingency plan for the information system

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational individuals or groups with whom security-related activities are - to be planned and coordinated

-

organizational personnel with information security responsibilities

- - - - - - Rules of Behavior - - - annually - - PL-4 - pl-04 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage;

- - - b. -

Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - c. -

Reviews and updates the rules of behavior ; and

- - - d. -

Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated.

- - - -

This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior.

- AC-2 - AC-6 - AC-8 - AC-9 - AC-17 - AC-18 - AC-19 - AC-20 - AT-2 - AT-3 - CM-11 - IA-2 - IA-4 - IA-5 - MP-7 - PS-6 - PS-8 - SA-5 - - -

Determine if the organization:

- - PL-4(a) - - assessment-objective - EXAMINE - PL-4(a)[1] -

establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage;

- - - assessment-objective - INTERVIEW - TEST - PL-4(a)[2] -

makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage;

- - - - assessment-objective - TEST - PL-4(b) -

receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - PL-4(c) - - assessment-objective - EXAMINE - PL-4(c)[1] -

defines the frequency to review and update the rules of behavior;

- - - assessment-objective - INTERVIEW - TEST - PL-4(c)[2] -

reviews and updates the rules of behavior with the organization-defined - frequency; and

- - - - assessment-objective - INTERVIEW - TEST - PL-4(d) -

requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

signed acknowledgements

-

records for rules of behavior reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior

-

automated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior

- - - - Social Media and Networking Restrictions - PL-4(1) - pl-04.01 - -

The organization includes in the rules of behavior, explicit restrictions on the - use of social media/networking sites and posting organizational information on - public websites.

- - -

This control enhancement addresses rules of behavior related to the use of social - media/networking sites: (i) when organizational personnel are using such sites for - official duties or in the conduct of official business; (ii) when organizational - information is involved in social media/networking transactions; and (iii) when - personnel are accessing social media/networking sites from organizational - information systems. Organizations also address specific rules that prevent - unauthorized entities from obtaining and/or inferring non-public organizational - information (e.g., system account information, personally identifiable - information) from social media/networking sites.

- - -

Determine if the organization includes the following in the rules of behavior:

- - assessment-objective - INTERVIEW - TEST - PL-4(1)[1] -

explicit restrictions on the use of social media/networking sites; and

- - - assessment-objective - INTERVIEW - TEST - PL-4(1)[2] -

posting organizational information on public websites.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing rules of behavior

-

automated mechanisms supporting and/or implementing the establishment of rules - of behavior

- - - - - - Information Security Architecture - - - at least annually or when a significant change occurs - - - PL-8 - pl-08 - -

The organization:

- - a. -

Develops an information security architecture for the information system that:

- - 1. -

Describes the overall philosophy, requirements, and approach to be taken with - regard to protecting the confidentiality, integrity, and availability of - organizational information;

- - - 2. -

Describes how the information security architecture is integrated into and - supports the enterprise architecture; and

- - - 3. -

Describes any information security assumptions about, and dependencies on, - external services;

- - - - b. -

Reviews and updates the information security architecture to reflect updates in the enterprise architecture; - and

- - - c. -

Ensures that planned information security architecture changes are reflected in - the security plan, the security Concept of Operations (CONOPS), and organizational - procurements/acquisitions.

- - - PL-8(b) Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - -

This control addresses actions taken by organizations in the design and development - of information systems. The information security architecture at the individual - information system level is consistent with and complements the more global, - organization-wide information security architecture described in PM-7 that is - integral to and developed as part of the enterprise architecture. The information - security architecture includes an architectural description, the placement/allocation - of security functionality (including security controls), security-related information - for external interfaces, information being exchanged across the interfaces, and the - protection mechanisms associated with each interface. In addition, the security - architecture can include other important security-related information, for example, - user roles and access privileges assigned to each role, unique security requirements, - the types of information processed, stored, and transmitted by the information - system, restoration priorities of information and information system services, and - any other specific protection needs. In today’s modern architecture, it is becoming - less common for organizations to control all information resources. There are going - to be key dependencies on external information services and service providers. - Describing such dependencies in the information security architecture is important to - developing a comprehensive mission/business protection strategy. Establishing, - developing, documenting, and maintaining under configuration control, a baseline - configuration for organizational information systems is critical to implementing and - maintaining an effective information security architecture. The development of the - information security architecture is coordinated with the Senior Agency Official for - Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to - support privacy requirements are identified and effectively implemented. PL-8 is - primarily directed at organizations (i.e., internally focused) to help ensure that - organizations develop an information security architecture for the information - system, and that the security architecture is integrated with or tightly coupled to - the enterprise architecture through the organization-wide information security - architecture. In contrast, SA-17 is primarily directed at external information - technology product/system developers and integrators (although SA-17 could be used - internally within organizations for in-house system development). SA-17, which is - complementary to PL-8, is selected when organizations outsource the development of - information systems or information system components to external entities, and there - is a need to demonstrate/show consistency with the organization’s enterprise - architecture and information security architecture.

- CM-2 - CM-6 - PL-2 - PM-7 - SA-5 - SA-17 - Appendix J - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PL-8(a) -

develops an information security architecture for the information system that - describes:

- - PL-8(a)(1) -

the overall philosophy, requirements, and approach to be taken with regard to - protecting the confidentiality, integrity, and availability of organizational - information;

- - - PL-8(a)(2) -

how the information security architecture is integrated into and supports the - enterprise architecture;

- - - PL-8(a)(3) -

any information security assumptions about, and dependencies on, external - services;

- - - - PL-8(b) - - assessment-objective - EXAMINE - PL-8(b)[1] -

defines the frequency to review and update the information security - architecture;

- - - assessment-objective - INTERVIEW - TEST - PL-8(b)[2] -

reviews and updates the information security architecture with the - organization-defined frequency to reflect updates in the enterprise - architecture;

- - - - assessment-objective - INTERVIEW - TEST - PL-8(c) -

ensures that planned information security architecture changes are reflected - in:

- - PL-8(c)[1] -

the security plan;

- - - PL-8(c)[2] -

the security Concept of Operations (CONOPS); and

- - - PL-8(c)[3] -

the organizational procurements/acquisitions.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing information security architecture development

-

procedures addressing information security architecture reviews and updates

-

enterprise architecture documentation

-

information security architecture documentation

-

security plan for the information system

-

security CONOPS for the information system

-

records of information security architecture reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security architecture development - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for developing, reviewing, and updating the information - security architecture

-

automated mechanisms supporting and/or implementing the development, review, and - update of the information security architecture

- - - - - - Personnel Security - - Personnel Security Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - PS-1 - ps-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Personnel security policy ; and

- - - 2. -

Personnel security procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PS-1(a) - - PS-1(a)(1) - - assessment-objective - EXAMINE - PS-1(a)(1)[1] -

develops and documents an personnel security policy that addresses:

- - PS-1(a)(1)[1][a] -

purpose;

- - - PS-1(a)(1)[1][b] -

scope;

- - - PS-1(a)(1)[1][c] -

roles;

- - - PS-1(a)(1)[1][d] -

responsibilities;

- - - PS-1(a)(1)[1][e] -

management commitment;

- - - PS-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PS-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PS-1(a)(1)[2] -

defines personnel or roles to whom the personnel security policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-1(a)(1)[3] -

disseminates the personnel security policy to organization-defined personnel - or roles;

- - - - PS-1(a)(2) - - assessment-objective - EXAMINE - PS-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls;

- - - assessment-objective - EXAMINE - PS-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PS-1(b) - - PS-1(b)(1) - - assessment-objective - EXAMINE - PS-1(b)(1)[1] -

defines the frequency to review and update the current personnel security - policy;

- - - assessment-objective - EXAMINE - PS-1(b)(1)[2] -

reviews and updates the current personnel security policy with the - organization-defined frequency;

- - - - PS-1(b)(2) - - assessment-objective - EXAMINE - PS-1(b)(2)[1] -

defines the frequency to review and update the current personnel security - procedures; and

- - - assessment-objective - EXAMINE - PS-1(b)(2)[2] -

reviews and updates the current personnel security procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Position Risk Designation - - - at least annually - - PS-2 - ps-02 - 5 C.F.R. 731.106 - -

The organization:

- - a. -

Assigns a risk designation to all organizational positions;

- - - b. -

Establishes screening criteria for individuals filling those positions; and

- - - c. -

Reviews and updates position risk designations .

- - - -

Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances).

- AT-3 - PL-2 - PS-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-2(a) -

assigns a risk designation to all organizational positions;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-2(b) -

establishes screening criteria for individuals filling those positions;

- - - PS-2(c) - - assessment-objective - EXAMINE - PS-2(c)[1] -

defines the frequency to review and update position risk designations; and

- - - assessment-objective - INTERVIEW - TEST - PS-2(c)[2] -

reviews and updates position risk designations with the organization-defined - frequency.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing position categorization

-

appropriate codes of federal regulations

-

list of risk designations for organizational positions

-

security plan

-

records of position risk designation reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for assigning, reviewing, and updating position risk - designations

-

organizational processes for establishing screening criteria

- - - - - Personnel Screening - - - for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - - - PS-3 - ps-03 - 5 C.F.R. 731.106 - FIPS Publication 199 - FIPS Publication 201 - NIST Special Publication 800-60 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - ICD 704 - -

The organization:

- - a. -

Screens individuals prior to authorizing access to the information system; and

- - - b. -

Rescreens individuals according to .

- - - -

Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems.

- AC-2 - IA-4 - PE-2 - PS-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - PS-3(a) -

screens individuals prior to authorizing access to the information system;

- - - PS-3(b) - - assessment-objective - EXAMINE - PS-3(b)[1] -

defines conditions requiring re-screening;

- - - assessment-objective - EXAMINE - PS-3(b)[2] -

defines the frequency of re-screening where it is so indicated; and

- - - assessment-objective - INTERVIEW - TEST - PS-3(b)[3] -

re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel screening

- - - - Information with Special Protection Measures - - - personnel screening criteria - as required by specific information - - PS-3(3) - ps-03.03 - -

The organization ensures that individuals accessing an information system - processing, storing, or transmitting information requiring special protection:

- - (a) -

Have valid access authorizations that are demonstrated by assigned official - government duties; and

- - - (b) -

Satisfy .

- - - -

Organizational information requiring special protection includes, for example, - Controlled Unclassified Information (CUI) and Sources and Methods Information - (SAMI). Personnel security criteria include, for example, position sensitivity - background screening requirements.

- - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - PS-3(3)(a) -

ensures that individuals accessing an information system processing, storing, - or transmitting information requiring special protection have valid access - authorizations that are demonstrated by assigned official government - duties;

- PS-3(3)(a) - - - PS-3(3)(b) - - assessment-objective - EXAMINE - PS-3(3)(b)[1] -

defines additional personnel screening criteria to be satisfied for - individuals accessing an information system processing, storing, or - transmitting information requiring special protection; and

- - - assessment-objective - INTERVIEW - TEST - PS-3(3)(b)[2] -

ensures that individuals accessing an information system processing, - storing, or transmitting information requiring special protection satisfy - organization-defined additional personnel screening criteria.

- - PS-3(3)(b) - - - - EXAMINE - -

Personnel security policy

-

access control policy, procedures addressing personnel screening

-

records of screened personnel

-

screening criteria

-

records of access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for ensuring valid access authorizations for - information requiring special protection

-

organizational process for additional personnel screening for information - requiring special protection

- - - - - - Personnel Termination - - - eight (8) hours - - - - - - - - - - - - PS-4 - ps-04 - -

The organization, upon termination of individual employment:

- - a. -

Disables information system access within ;

- - - b. -

Terminates/revokes any authenticators/credentials associated with the - individual;

- - - c. -

Conducts exit interviews that include a discussion of ;

- - - d. -

Retrieves all security-related organizational information system-related - property;

- - - e. -

Retains access to organizational information and information systems formerly - controlled by terminated individual; and

- - - f. -

Notifies within .

- - - -

Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified.

- AC-2 - IA-4 - PE-2 - PS-5 - PS-6 - - -

Determine if the organization, upon termination of individual employment,:

- - PS-4(a) - - assessment-objective - EXAMINE - PS-4(a)[1] -

defines a time period within which to disable information system access;

- - - assessment-objective - INTERVIEW - TEST - PS-4(a)[2] -

disables information system access within the organization-defined time - period;

- - - - assessment-objective - INTERVIEW - TEST - PS-4(b) -

terminates/revokes any authenticators/credentials associated with the - individual;

- - - PS-4(c) - - assessment-objective - EXAMINE - PS-4(c)[1] -

defines information security topics to be discussed when conducting exit - interviews;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-4(c)[2] -

conducts exit interviews that include a discussion of organization-defined - information security topics;

- - - - assessment-objective - EXAMINE - INTERVIEW - PS-4(d) -

retrieves all security-related organizational information system-related - property;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-4(e) -

retains access to organizational information and information systems formerly - controlled by the terminated individual;

- - - PS-4(f) - - assessment-objective - EXAMINE - PS-4(f)[1] -

defines personnel or roles to be notified of the termination;

- - - assessment-objective - EXAMINE - PS-4(f)[2] -

defines the time period within which to notify organization-defined personnel - or roles; and

- - - assessment-objective - INTERVIEW - TEST - PS-4(f)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

records of personnel termination actions

-

list of information system accounts

-

records of terminated or revoked authenticators/credentials

-

records of exit interviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - Automated Notification - - - access control personnel responsible for disabling access to the system - - PS-4(2) - ps-04.02 - -

The organization employs automated mechanisms to notify upon termination of an individual.

- - -

In organizations with a large number of employees, not all personnel who need to - know about termination actions receive the appropriate notifications—or, if such - notifications are received, they may not occur in a timely manner. Automated - mechanisms can be used to send automatic alerts or notifications to specific - organizational personnel or roles (e.g., management personnel, supervisors, - personnel security officers, information security officers, systems - administrators, or information technology administrators) when individuals are - terminated. Such automatic alerts or notifications can be conveyed in a variety of - ways, including, for example, telephonically, via electronic mail, via text - message, or via websites.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-4(2)[1] -

defines personnel or roles to be notified upon termination of an individual; - and

- - - assessment-objective - INTERVIEW - TEST - PS-4(2)[2] -

employs automated mechanisms to notify organization-defined personnel or roles - upon termination of an individual.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of personnel termination actions

-

automated notifications of employee terminations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

- - - - - - Personnel Transfer - - - - - - twenty-four (24) hours - - - - - - - twenty-four (24) hours - - - PS-5 - ps-05 - -

The organization:

- - a. -

Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization;

- - - b. -

Initiates within ;

- - - c. -

Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and

- - - d. -

Notifies within .

- - - -

This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts.

- AC-2 - IA-4 - PE-2 - PS-4 - - -

Determine if the organization:

- - PS-5(a) -

when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current:

- - assessment-objective - EXAMINE - INTERVIEW - PS-5(a)[1] -

logical access authorizations to information systems;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-5(a)[2] -

physical access authorizations to information systems and facilities;

- - - - PS-5(b) - - assessment-objective - EXAMINE - PS-5(b)[1] -

defines transfer or reassignment actions to be initiated following transfer or - reassignment;

- - - assessment-objective - EXAMINE - PS-5(b)[2] -

defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment;

- - - assessment-objective - INTERVIEW - TEST - PS-5(b)[3] -

initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment;

- - - - assessment-objective - INTERVIEW - TEST - PS-5(c) -

modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer;

- - - PS-5(d) - - assessment-objective - EXAMINE - PS-5(d)[1] -

defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization;

- - - assessment-objective - EXAMINE - PS-5(d)[2] -

defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and

- - - assessment-objective - INTERVIEW - TEST - PS-5(d)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel transfer

-

security plan

-

records of personnel transfer actions

-

list of information system and facility access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel transfer

-

automated mechanisms supporting and/or implementing personnel transfer - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Access Agreements - - - at least annually - - - - at least annually and any time there is a change to the user's level of access - - - PS-6 - ps-06 - -

The organization:

- - a. -

Develops and documents access agreements for organizational information - systems;

- - - b. -

Reviews and updates the access agreements ; and

- - - c. -

Ensures that individuals requiring access to organizational information and - information systems:

- - 1. -

Sign appropriate access agreements prior to being granted access; and

- - - 2. -

Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or .

- - - - -

Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy.

- PL-4 - PS-2 - PS-3 - PS-4 - PS-8 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-6(a) -

develops and documents access agreements for organizational information - systems;

- - - PS-6(b) - - assessment-objective - EXAMINE - PS-6(b)[1] -

defines the frequency to review and update the access agreements;

- - - assessment-objective - EXAMINE - PS-6(b)[2] -

reviews and updates the access agreements with the organization-defined - frequency;

- - - - PS-6(c) - - assessment-objective - INTERVIEW - TEST - PS-6(c)(1) -

ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access;

- - - PS-6(c)(2) - - assessment-objective - EXAMINE - PS-6(c)(2)[1] -

defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated;

- - - assessment-objective - INTERVIEW - TEST - PS-6(c)(2)[2] -

ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

security plan

-

access agreements

-

records of access agreement reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed/resigned access agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access agreements

-

automated mechanisms supporting access agreements

- - - - - Third-party Personnel Security - - - - - - terminations: immediately; transfers: within twenty-four (24) hours - - - PS-7 - ps-07 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Establishes personnel security requirements including security roles and - responsibilities for third-party providers;

- - - b. -

Requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - c. -

Documents personnel security requirements;

- - - d. -

Requires third-party providers to notify of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within ; and

- - - e. -

Monitors provider compliance.

- - - -

Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated.

- PS-2 - PS-3 - PS-4 - PS-5 - PS-6 - SA-9 - SA-21 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-7(a) -

establishes personnel security requirements, including security roles and - responsibilities, for third-party providers;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-7(b) -

requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - assessment-objective - EXAMINE - PS-7(c) -

documents personnel security requirements;

- - - PS-7(d) - - assessment-objective - EXAMINE - PS-7(d)[1] -

defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - assessment-objective - EXAMINE - PS-7(d)[2] -

defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - assessment-objective - EXAMINE - PS-7(d)[3] -

requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and

- - - - assessment-objective - INTERVIEW - TEST - PS-7(e) -

monitors provider compliance.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing third-party personnel security

-

list of personnel security requirements

-

acquisition documents

-

service-level agreements

-

compliance monitoring process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

third-party providers

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing and monitoring third-party personnel - security

-

automated mechanisms supporting and/or implementing monitoring of provider - compliance

- - - - - Personnel Sanctions - - - at a minimum, the ISSO and/or similar role within the organization - - - - - PS-8 - ps-08 - -

The organization:

- - a. -

Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and

- - - b. -

Notifies within - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction.

- - - -

Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions.

- PL-4 - PS-6 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-8(a) -

employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures;

- - - PS-8(b) - - assessment-objective - EXAMINE - PS-8(b)[1] -

defines personnel or roles to be notified when a formal employee sanctions - process is initiated;

- - - assessment-objective - EXAMINE - PS-8(b)[2] -

defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and

- - - assessment-objective - INTERVIEW - TEST - PS-8(b)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel sanctions

-

rules of behavior

-

records of formal sanctions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing personnel sanctions

-

automated mechanisms supporting and/or implementing notifications

- - - - - - Risk Assessment - - Risk Assessment Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - RA-1 - ra-01 - NIST Special Publication 800-12 - NIST Special Publication 800-30 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Risk assessment policy ; and

- - - 2. -

Risk assessment procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - RA-1(a) - - RA-1(a)(1) - - assessment-objective - EXAMINE - RA-1(a)(1)[1] -

develops and documents a risk assessment policy that addresses:

- - RA-1(a)(1)[1][a] -

purpose;

- - - RA-1(a)(1)[1][b] -

scope;

- - - RA-1(a)(1)[1][c] -

roles;

- - - RA-1(a)(1)[1][d] -

responsibilities;

- - - RA-1(a)(1)[1][e] -

management commitment;

- - - RA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - RA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - RA-1(a)(1)[2] -

defines personnel or roles to whom the risk assessment policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - RA-1(a)(1)[3] -

disseminates the risk assessment policy to organization-defined personnel or - roles;

- - - - RA-1(a)(2) - - assessment-objective - EXAMINE - RA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls;

- - - assessment-objective - EXAMINE - RA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - RA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - RA-1(b) - - RA-1(b)(1) - - assessment-objective - EXAMINE - RA-1(b)(1)[1] -

defines the frequency to review and update the current risk assessment - policy;

- - - assessment-objective - EXAMINE - RA-1(b)(1)[2] -

reviews and updates the current risk assessment policy with the - organization-defined frequency;

- - - - RA-1(b)(2) - - assessment-objective - EXAMINE - RA-1(b)(2)[1] -

defines the frequency to review and update the current risk assessment - procedures; and

- - - assessment-objective - EXAMINE - RA-1(b)(2)[2] -

reviews and updates the current risk assessment procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

risk assessment policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Categorization - RA-2 - ra-02 - FIPS Publication 199 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - b. -

Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - c. -

Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted.

- CM-8 - MP-4 - RA-3 - SC-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - RA-2(a) -

categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - assessment-objective - EXAMINE - RA-2(b) -

documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - assessment-objective - INTERVIEW - TEST - RA-2(c) -

ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision.

- - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing security categorization of organizational information and - information systems

-

security plan

-

security categorization documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security categorization and risk assessment - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security categorization

- - - - - Risk Assessment - - - - security assessment report - - - - at least annually or whenever a significant change occurs - - - - - - - annually - - RA-3 - ra-03 - OMB Memorandum 04-04 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - http://idmanagement.gov - -

The organization:

- - a. -

Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits;

- - - b. -

Documents risk assessment results in ;

- - - c. -

Reviews risk assessment results ;

- - - d. -

Disseminates risk assessment results to ; and

- - - e. -

Updates the risk assessment or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system.

- - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - -

Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation.

- RA-2 - PM-9 - - -

Determine if the organization:

- - RA-3(a) -

conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of:

- - assessment-objective - INTERVIEW - TEST - RA-3(a)[1] -

the information system;

- - - assessment-objective - INTERVIEW - TEST - RA-3(a)[2] -

the information the system processes, stores, or transmits;

- - - - RA-3(b) - - assessment-objective - EXAMINE - RA-3(b)[1] -

defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report);

- - - assessment-objective - EXAMINE - RA-3(b)[2] -

documents risk assessment results in one of the following:

- - RA-3(b)[2][a] -

the security plan;

- - - RA-3(b)[2][b] -

the risk assessment report; or

- - - RA-3(b)[2][c] -

the organization-defined document;

- - - - - RA-3(c) - - assessment-objective - EXAMINE - RA-3(c)[1] -

defines the frequency to review risk assessment results;

- - - assessment-objective - TEST - RA-3(c)[2] -

reviews risk assessment results with the organization-defined frequency;

- - - - RA-3(d) - - assessment-objective - EXAMINE - RA-3(d)[1] -

defines personnel or roles to whom risk assessment results are to be - disseminated;

- - - assessment-objective - INTERVIEW - TEST - RA-3(d)[2] -

disseminates risk assessment results to organization-defined personnel or - roles;

- - - - RA-3(e) - - assessment-objective - EXAMINE - RA-3(e)[1] -

defines the frequency to update the risk assessment;

- - - assessment-objective - INTERVIEW - TEST - RA-3(e)[2] -

updates the risk assessment:

- - RA-3(e)[2][a] -

with the organization-defined frequency;

- - - RA-3(e)[2][b] -

whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and

- - - RA-3(e)[2][c] -

whenever there are other conditions that may impact the security state of - the system.

- - - - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing organizational assessments of risk

-

security plan

-

risk assessment

-

risk assessment results

-

risk assessment reviews

-

risk assessment updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for risk assessment

-

automated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment

- - - - - Vulnerability Scanning - - - monthly operating system/infrastructure; monthly web applications and databases - - - - high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - - - - RA-5 - ra-05 - NIST Special Publication 800-40 - NIST Special Publication 800-70 - NIST Special Publication 800-115 - http://cwe.mitre.org - http://nvd.nist.gov - -

The organization:

- - a. -

Scans for vulnerabilities in the information system and hosted applications - and when new vulnerabilities potentially - affecting the system/applications are identified and reported;

- - - b. -

Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - 1. -

Enumerating platforms, software flaws, and improper configurations;

- - - 2. -

Formatting checklists and test procedures; and

- - - 3. -

Measuring vulnerability impact;

- - - - c. -

Analyzes vulnerability scan reports and results from security control - assessments;

- - - d. -

Remediates legitimate vulnerabilities in - accordance with an organizational assessment of risk; and

- - - e. -

Shares information obtained from the vulnerability scanning process and security - control assessments with to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - -

Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS).

- CA-2 - CA-7 - CM-4 - CM-6 - RA-2 - RA-3 - SA-11 - SI-2 - - -

Determine if the organization:

- - RA-5(a) - - assessment-objective - EXAMINE - RA-5(a)[1] - - RA-5(a)[1][a] -

defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or

- - - RA-5(a)[1][b] -

defines the process for conducting random vulnerability scans on the - information system and hosted applications;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(a)[2] -

in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in:

- - RA-5(a)[2][a] -

the information system;

- - - RA-5(a)[2][b] -

hosted applications;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(a)[3] -

when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in:

- - RA-5(a)[3][a] -

the information system;

- - - RA-5(a)[3][b] -

hosted applications;

- - - - - RA-5(b) -

employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - assessment-objective - INTERVIEW - TEST - RA-5(b)(1) - - RA-5(b)(1)[1] -

enumerating platforms;

- - - RA-5(b)(1)[2] -

enumerating software flaws;

- - - RA-5(b)(1)[3] -

enumerating improper configurations;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(b)(2) - - RA-5(b)(2)[1] -

formatting checklists;

- - - RA-5(b)(2)[2] -

formatting test procedures;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(b)(3) -

measuring vulnerability impact;

- - - - RA-5(c) - - assessment-objective - INTERVIEW - TEST - RA-5(c)[1] -

analyzes vulnerability scan reports;

- - - assessment-objective - INTERVIEW - TEST - RA-5(c)[2] -

analyzes results from security control assessments;

- - - - RA-5(d) - - assessment-objective - EXAMINE - RA-5(d)[1] -

defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk;

- - - assessment-objective - INTERVIEW - TEST - RA-5(d)[2] -

remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk;

- - - - RA-5(e) - - assessment-objective - EXAMINE - RA-5(e)[1] -

defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared;

- - - assessment-objective - INTERVIEW - TEST - RA-5(e)[2] -

shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and

- - - assessment-objective - INTERVIEW - TEST - RA-5(e)[3] -

shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with vulnerability remediation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing

-

automated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing

- - - - Update Tool Capability - RA-5(1) - ra-05.01 - -

The organization employs vulnerability scanning tools that include the capability - to readily update the information system vulnerabilities to be scanned.

- - -

The vulnerabilities to be scanned need to be readily updated as new - vulnerabilities are discovered, announced, and scanning methods developed. This - updating process helps to ensure that potential vulnerabilities in the information - system are identified and addressed as quickly as possible.

- SI-3 - SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs vulnerability scanning tools that include - the capability to readily update the information system vulnerabilities to be - scanned.

- - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Update by Frequency / Prior to New Scan / When Identified - - prior to a new scan - - - - - - RA-5(2) - ra-05.02 - -

The organization updates the information system vulnerabilities scanned .

- - - SI-3 - SI-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - RA-5(2)[1] -

defines the frequency to update the information system vulnerabilities - scanned;

- - - assessment-objective - INTERVIEW - TEST - RA-5(2)[2] -

updates the information system vulnerabilities scanned one or more of the - following:

- - RA-5(2)[2][a] -

with the organization-defined frequency;

- - - RA-5(2)[2][b] -

prior to a new scan; and/or

- - - RA-5(2)[2][c] -

when new vulnerabilities are identified and reported.

- - - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Breadth / Depth of Coverage - RA-5(3) - ra-05.03 - -

The organization employs vulnerability scanning procedures that can identify the - breadth and depth of coverage (i.e., information system components scanned and - vulnerabilities checked).

- - -

Determine if the organization employs vulnerability scanning procedures that can - identify:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - RA-5(3)[1] -

the breadth of coverage (i.e., information system components scanned); and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - RA-5(3)[2] -

the depth of coverage (i.e., vulnerabilities checked).

- - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Discoverable Information - - - notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions - - RA-5(4) - ra-05.04 - -

The organization determines what information about the information system is - discoverable by adversaries and subsequently takes .

- - -

Discoverable information includes information that adversaries could obtain - without directly compromising or breaching the information system, for example, by - collecting information the system is exposing or by conducting extensive searches - of the web. Corrective actions can include, for example, notifying appropriate - organizational personnel, removing designated information, or changing the - information system to make designated information less relevant or attractive to - adversaries.

- AU-13 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - RA-5(4)[1] -

defines corrective actions to be taken if information about the information - system is discoverable by adversaries;

- - - assessment-objective - INTERVIEW - TEST - RA-5(4)[2] -

determines what information about the information system is discoverable by - adversaries; and

- - - assessment-objective - INTERVIEW - TEST - RA-5(4)[3] -

subsequently takes organization-defined corrective actions.

- - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security assessment report

-

penetration test results

-

vulnerability scanning results

-

risk assessment report

-

records of corrective actions taken

-

incident response records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning and/or penetration testing - responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel responsible for risk response

-

organizational personnel responsible for incident management and response

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational processes for risk response

-

organizational processes for incident management and response

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing risk response

-

automated mechanisms supporting and/or implementing incident management and - response

- - - - - Privileged Access - - - operating systems / web applications / databases - - - - all scans - - - RA-5(5) - ra-05.05 - -

The information system implements privileged access authorization to for selected .

- - -

In certain situations, the nature of the vulnerability scanning may be more - intrusive or the information system component that is the subject of the scanning - may contain highly sensitive information. Privileged access authorization to - selected system components facilitates more thorough vulnerability scanning and - also protects the sensitive nature of such scanning.

- - -

Determine if:

- - assessment-objective - EXAMINE - RA-5(5)[1] -

the organization defines information system components to which privileged - access is authorized for selected vulnerability scanning activities;

- - - assessment-objective - EXAMINE - RA-5(5)[2] -

the organization defines vulnerability scanning activities selected for - privileged access authorization to organization-defined information system - components; and

- - - assessment-objective - INTERVIEW - TEST - RA-5(5)[3] -

the information system implements privileged access authorization to - organization-defined information system components for selected - organization-defined vulnerability scanning activities.

- - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system components for vulnerability scanning

-

personnel access authorization list

-

authorization credentials

-

access authorization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

system/network administrators

-

organizational personnel responsible for access control to the information - system

-

organizational personnel responsible for configuration management of the - information system

-

system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational processes for access control

-

automated mechanisms supporting and/or implementing access control

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Automated Trend Analyses - RA-5(6) - ra-05.06 - -

The organization employs automated mechanisms to compare the results of - vulnerability scans over time to determine trends in information system - vulnerabilities.

- - RA-5 (6) Additional FedRAMP Requirements and Guidance - - Guidance: -

Include in Continuous Monitoring ISSO digest/report to JAB/AO

- - - - - IR-4 - IR-5 - SI-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to compare the results - of vulnerability scans over time to determine trends in information system - vulnerabilities.

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

information system design documentation

-

vulnerability scanning tools and techniques documentation

-

vulnerability scanning results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing trend analysis of - vulnerability scan results

- - - - - Review Historic Audit Logs - RA-5(8) - ra-05.08 - -

The organization reviews historic audit logs to determine if a vulnerability - identified in the information system has been previously exploited.

- - RA-5 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

This enhancement is required for all high vulnerability scan findings.

- - - Guidance: -

While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

- - - - - AU-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization reviews historic audit logs to determine if a - vulnerability identified in the information system has been previously exploited. -

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

audit logs

-

records of audit log reviews

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with audit record review responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational process for audit record review and response

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing audit record review

- - - - - Correlate Scanning Information - RA-5(10) - ra-05.10 - -

The organization correlates the output from vulnerability scanning tools to - determine the presence of multi-vulnerability/multi-hop attack vectors.

- - RA-5 (10) Additional FedRAMP Requirements and Guidance - - Guidance: -

If multiple tools are not used, this control is not applicable.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization correlates the output from vulnerability scanning - tools to determine the presence of multi-vulnerability/multi-hop attack vectors. -

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

vulnerability scanning tools and techniques documentation

-

vulnerability scanning results

-

vulnerability management records

-

audit records

-

event/vulnerability correlation logs

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms implementing correlation of vulnerability scan results

- - - - - - - System and Services Acquisition - - System and Services Acquisition Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - SA-1 - sa-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and services acquisition policy ; and

- - - 2. -

System and services acquisition procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SA-1(a) - - SA-1(a)(1) - - assessment-objective - EXAMINE - SA-1(a)(1)[1] -

develops and documents a system and services acquisition policy that - addresses:

- - SA-1(a)(1)[1][a] -

purpose;

- - - SA-1(a)(1)[1][b] -

scope;

- - - SA-1(a)(1)[1][c] -

roles;

- - - SA-1(a)(1)[1][d] -

responsibilities;

- - - SA-1(a)(1)[1][e] -

management commitment;

- - - SA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SA-1(a)(1)[2] -

defines personnel or roles to whom the system and services acquisition - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-1(a)(1)[3] -

disseminates the system and services acquisition policy to - organization-defined personnel or roles;

- - - - SA-1(a)(2) - - assessment-objective - EXAMINE - SA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls;

- - - assessment-objective - EXAMINE - SA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SA-1(b) - - SA-1(b)(1) - - assessment-objective - EXAMINE - SA-1(b)(1)[1] -

defines the frequency to review and update the current system and services - acquisition policy;

- - - assessment-objective - EXAMINE - SA-1(b)(1)[2] -

reviews and updates the current system and services acquisition policy with - the organization-defined frequency;

- - - - SA-1(b)(2) - - assessment-objective - EXAMINE - SA-1(b)(2)[1] -

defines the frequency to review and update the current system and services - acquisition procedures; and

- - - assessment-objective - EXAMINE - SA-1(b)(2)[2] -

reviews and updates the current system and services acquisition procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and services acquisition policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

- - - - - Allocation of Resources - SA-2 - sa-02 - NIST Special Publication 800-65 - -

The organization:

- - a. -

Determines information security requirements for the information system or - information system service in mission/business process planning;

- - - b. -

Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and

- - - c. -

Establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - -

Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service.

- PM-3 - PM-11 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-2(a) -

determines information security requirements for the information system or - information system service in mission/business process planning;

- - - assessment-objective - INTERVIEW - TEST - SA-2(b) -

to protect the information system or information system service as part of its - capital planning and investment control process:

- - SA-2(b)[1] -

determines the resources required;

- - - SA-2(b)[2] -

documents the resources required;

- - - SA-2(b)[3] -

allocates the resources required; and

- - - - assessment-objective - INTERVIEW - TEST - SA-2(c) -

establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the allocation of resources to information security - requirements

-

procedures addressing capital planning and investment control

-

organizational programming and budgeting documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities

-

organizational personnel responsible for determining information security - requirements for information systems/services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information security requirements

-

organizational processes for capital planning, programming, and budgeting

-

automated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting

- - - - - System Development Life Cycle - - - - SA-3 - sa-03 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - -

The organization:

- - a. -

Manages the information system using that - incorporates information security considerations;

- - - b. -

Defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - c. -

Identifies individuals having information security roles and responsibilities; - and

- - - d. -

Integrates the organizational information security risk management process into - system development life cycle activities.

- - - -

A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies.

- AT-3 - PM-7 - SA-8 - - -

Determine if the organization:

- - SA-3(a) - - assessment-objective - EXAMINE - SA-3(a)[1] -

defines a system development life cycle that incorporates information security - considerations to be used to manage the information system;

- - - assessment-objective - INTERVIEW - TEST - SA-3(a)[2] -

manages the information system using the organization-defined system - development life cycle;

- - - - assessment-objective - EXAMINE - SA-3(b) -

defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - assessment-objective - EXAMINE - SA-3(c) -

identifies individuals having information security roles and responsibilities; - and

- - - assessment-objective - INTERVIEW - TEST - SA-3(d) -

integrates the organizational information security risk management process into - system development life cycle activities.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security into the system - development life cycle process

-

information system development life cycle documentation

-

information security risk management strategy/program documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security and system life cycle - development responsibilities

-

organizational personnel with information security risk management - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining and documenting the SDLC

-

organizational processes for identifying SDLC roles and responsibilities

-

organizational process for integrating information security risk management into - the SDLC

-

automated mechanisms supporting and/or implementing the SDLC

- - - - - Acquisition Process - SA-4 - sa-04 - HSPD-12 - ISO/IEC 15408 - FIPS Publication 140-2 - FIPS Publication 201 - NIST Special Publication 800-23 - NIST Special Publication 800-35 - NIST Special Publication 800-36 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - NIST Special Publication 800-70 - NIST Special Publication 800-137 - Federal Acquisition Regulation - http://www.niap-ccevs.org - http://fips201ep.cio.gov - http://www.acquisition.gov/far - -

The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs:

- - a. -

Security functional requirements;

- - - b. -

Security strength requirements;

- - - c. -

Security assurance requirements;

- - - d. -

Security-related documentation requirements;

- - - e. -

Requirements for protecting security-related documentation;

- - - f. -

Description of the information system development environment and environment in - which the system is intended to operate; and

- - - g. -

Acceptance criteria.

- - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA.

- CM-6 - PL-2 - PS-7 - SA-3 - SA-5 - SA-8 - SA-11 - SA-12 - - -

Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs:

- - SA-4(a) -

security functional requirements;

- - - SA-4(b) -

security strength requirements;

- - - SA-4(c) -

security assurance requirements;

- - - SA-4(d) -

security-related documentation requirements;

- - - SA-4(e) -

requirements for protecting security-related documentation;

- - - SA-4(f) -

description of:

- - SA-4(f)[1] -

the information system development environment;

- - - SA-4(f)[2] -

the environment in which the system is intended to operate; and

- - - - SA-4(g) -

acceptance criteria.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

acquisition contracts for the information system, system component, or information - system service

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security functional, - strength, and assurance requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts

- - - - Functional Properties of Security Controls - SA-4(1) - sa-04.01 - -

The organization requires the developer of the information system, system - component, or information system service to provide a description of the - functional properties of the security controls to be employed.

- - -

Functional properties of security controls describe the functionality (i.e., - security capability, functions, or mechanisms) visible at the interfaces of the - controls and specifically exclude functionality and data structures internal to - the operation of the controls.

- SA-5 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to provide a description of the - functional properties of the security controls to be employed.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security - functional, requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion - of security requirements in contracts

- - - - - Design / Implementation Information for Security Controls - - at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information] - - - - - - - - SA-4(2) - sa-04.02 - -

The organization requires the developer of the information system, system - component, or information system service to provide design and implementation - information for the security controls to be employed that includes: at .

- - -

Organizations may require different levels of detail in design and implementation - documentation for security controls employed in organizational information - systems, system components, or information system services based on - mission/business requirements, requirements for trustworthiness/resiliency, and - requirements for analysis and testing. Information systems can be partitioned into - multiple subsystems. Each subsystem within the system can contain one or more - modules. The high-level design for the system is expressed in terms of multiple - subsystems and the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed in terms of - modules with particular emphasis on software and firmware (but not excluding - hardware) and the interfaces between modules providing security-relevant - functionality. Source code and hardware schematics are typically referred to as - the implementation representation of the information system.

- SA-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SA-4(2)[1] -

defines level of detail that the developer is required to provide in design and - implementation information for the security controls to be employed in the - information system, system component, or information system service;

- - - assessment-objective - EXAMINE - SA-4(2)[2] -

defines design/implementation information that the developer is to provide for - the security controls to be employed (if selected);

- - - assessment-objective - INTERVIEW - TEST - SA-4(2)[3] -

requires the developer of the information system, system component, or - information system service to provide design and implementation information for - the security controls to be employed that includes, at the organization-defined - level of detail, one or more of the following:

- - SA-4(2)[3][a] -

security-relevant external system interfaces;

- - - SA-4(2)[3][b] -

high-level design;

- - - SA-4(2)[3][c] -

low-level design;

- - - SA-4(2)[3][d] -

source code;

- - - SA-4(2)[3][e] -

hardware schematics; and/or

- - - SA-4(2)[3][f] -

organization-defined design/implementation information.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system components, or - information system services

-

design and implementation information for security controls employed in the - information system, system component, or information system service

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining level of detail for system design and - security controls

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing development of system - design details

- - - - - Continuous Monitoring Plan - - - at least the minimum requirement as defined in control CA-7 - - SA-4(8) - sa-04.08 - -

The organization requires the developer of the information system, system - component, or information system service to produce a plan for the continuous - monitoring of security control effectiveness that contains .

- - SA-4 (8) Additional FedRAMP Requirements and Guidance - - Guidance: -

CSP must use the same security standards regardless of where the system component or information system service is acquired.

- - - - -

The objective of continuous monitoring plans is to determine if the complete set - of planned, required, and deployed security controls within the information - system, system component, or information system service continue to be effective - over time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that the information - can be incorporated into the continuous monitoring strategies and programs - implemented by organizations.

- CA-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-4(8)[1] -

defines the level of detail the developer of the information system, system - component, or information system service is required to provide when producing - a plan for the continuous monitoring of security control effectiveness; and

- - - assessment-objective - INTERVIEW - TEST - SA-4(8)[2] -

requires the developer of the information system, system component, or - information system service to produce a plan for the continuous monitoring of - security control effectiveness that contains the organization-defined level of - detail.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing developer continuous monitoring plans

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

developer continuous monitoring plans

-

security assessment plans

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Vendor processes for continuous monitoring

-

automated mechanisms supporting and/or implementing developer continuous - monitoring

- - - - - Functions / Ports / Protocols / Services in Use - SA-4(9) - sa-04.09 - -

The organization requires the developer of the information system, system - component, or information system service to identify early in the system - development life cycle, the functions, ports, protocols, and services intended for - organizational use.

- - -

The identification of functions, ports, protocols, and services early in the - system development life cycle (e.g., during the initial requirements definition - and design phases) allows organizations to influence the design of the information - system, information system component, or information system service. This early - involvement in the life cycle helps organizations to avoid or minimize the use of - functions, ports, protocols, or services that pose unnecessarily high risks and - understand the trade-offs involved in blocking specific ports, protocols, or - services (or when requiring information system service providers to do so). Early - identification of functions, ports, protocols, and services avoids costly - retrofitting of security controls after the information system, system component, - or information system service has been implemented. SA-9 describes requirements - for external information system services with organizations identifying which - functions, ports, protocols, and services are provided from external sources.

- CM-7 - SA-9 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to identify early in the system - development life cycle:

- - assessment-objective - EXAMINE - INTERVIEW - SA-4(9)[1] -

the functions intended for organizational use;

- - - SA-4(9)[2] -

the ports intended for organizational use;

- - - SA-4(9)[3] -

the protocols intended for organizational use; and

- - - SA-4(9)[4] -

the services intended for organizational use.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

information system design documentation

-

information system documentation including functions, ports, protocols, and - services intended for organizational use

-

acquisition contracts for information systems or services

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

organizational security requirements, descriptions, and criteria for developers - of information systems, system components, and information system services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - - Use of Approved PIV Products - SA-4(10) - sa-04.10 - -

The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems.

- - - IA-2 - IA-8 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for selecting and employing FIPS 201-approved - products

- - - - - - Information System Documentation - - - - - - at a minimum, the ISSO (or similar role within the organization) - - SA-5 - sa-05 - -

The organization:

- - a. -

Obtains administrator documentation for the information system, system component, - or information system service that describes:

- - 1. -

Secure configuration, installation, and operation of the system, component, or - service;

- - - 2. -

Effective use and maintenance of security functions/mechanisms; and

- - - 3. -

Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - b. -

Obtains user documentation for the information system, system component, or - information system service that describes:

- - 1. -

User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms;

- - - 2. -

Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and

- - - 3. -

User responsibilities in maintaining the security of the system, component, or - service;

- - - - c. -

Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes in response;

- - - d. -

Protects documentation as required, in accordance with the risk management - strategy; and

- - - e. -

Distributes documentation to .

- - - -

This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation.

- CM-6 - CM-8 - PL-2 - PL-4 - PS-2 - SA-3 - SA-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-5(a) -

obtains administrator documentation for the information system, system component, - or information system service that describes:

- - SA-5(a)(1) - - SA-5(a)(1)[1] -

secure configuration of the system, system component, or service;

- - - SA-5(a)(1)[2] -

secure installation of the system, system component, or service;

- - - SA-5(a)(1)[3] -

secure operation of the system, system component, or service;

- - - - SA-5(a)(2) - - SA-5(a)(2)[1] -

effective use of the security features/mechanisms;

- - - SA-5(a)(2)[2] -

effective maintenance of the security features/mechanisms;

- - - - SA-5(a)(3) -

known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - assessment-objective - EXAMINE - SA-5(b) -

obtains user documentation for the information system, system component, or - information system service that describes:

- - SA-5(b)(1) - - SA-5(b)(1)[1] -

user-accessible security functions/mechanisms;

- - - SA-5(b)(1)[2] -

how to effectively use those functions/mechanisms;

- - - - SA-5(b)(2) -

methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner;

- - - SA-5(b)(3) -

user responsibilities in maintaining the security of the system, component, or - service;

- - - - SA-5(c) - - assessment-objective - EXAMINE - SA-5(c)[1] -

defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent;

- - - assessment-objective - INTERVIEW - TEST - SA-5(c)[2] -

documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent;

- - - assessment-objective - INTERVIEW - TEST - SA-5(c)[3] -

takes organization-defined actions in response;

- - - - assessment-objective - INTERVIEW - TEST - SA-5(d) -

protects documentation as required, in accordance with the risk management - strategy;

- - - SA-5(e) - - assessment-objective - EXAMINE - SA-5(e)[1] -

defines personnel or roles to whom documentation is to be distributed; and

- - - assessment-objective - INTERVIEW - TEST - SA-5(e)[2] -

distributes documentation to organization-defined personnel or roles.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing information system documentation

-

information system documentation including administrator and user guides

-

records documenting attempts to obtain unavailable or nonexistent information - system documentation

-

list of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation

-

risk management strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation

- - - - - Security Engineering Principles - SA-8 - sa-08 - NIST Special Publication 800-27 - -

The organization applies information system security engineering principles in the - specification, design, development, implementation, and modification of the - information system.

- - -

Organizations apply security engineering principles primarily to new development - information systems or systems undergoing major upgrades. For legacy systems, - organizations apply security engineering principles to system upgrades and - modifications to the extent feasible, given the current state of hardware, software, - and firmware within those systems. Security engineering principles include, for - example: (i) developing layered protections; (ii) establishing sound security policy, - architecture, and controls as the foundation for design; (iii) incorporating security - requirements into the system development life cycle; (iv) delineating physical and - logical security boundaries; (v) ensuring that system developers are trained on how - to build secure software; (vi) tailoring security controls to meet organizational and - operational needs; (vii) performing threat modeling to identify use cases, threat - agents, attack vectors, and attack patterns as well as compensating controls and - design patterns needed to mitigate risk; and (viii) reducing risk to acceptable - levels, thus enabling informed risk management decisions.

- PM-7 - SA-3 - SA-4 - SA-17 - SC-2 - SC-3 - - -

Determine if the organization applies information system security engineering - principles in:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SA-8[1] -

the specification of the information system;

- - - SA-8[2] -

the design of the information system;

- - - SA-8[3] -

the development of the information system;

- - - SA-8[4] -

the implementation of the information system; and

- - - SA-8[5] -

the modification of the information system.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing security engineering principles used in the specification, - design, development, implementation, and modification of the information - system

-

information system design documentation

-

information security requirements and specifications for the information - system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with information system specification, design, - development, implementation, and modification responsibilities

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for applying security engineering principles in - information system specification, design, development, implementation, and - modification

-

automated mechanisms supporting the application of security engineering principles - in information system specification, design, development, implementation, and - modification

- - - - - External Information System Services - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - SA-9 - sa-09 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Requires that providers of external information system services comply with - organizational information security requirements and employ in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance;

- - - b. -

Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and

- - - c. -

Employs to monitor security control compliance by - external service providers on an ongoing basis.

- - - -

External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance.

- CA-3 - IR-7 - PS-7 - - -

Determine if the organization:

- - SA-9(a) - - assessment-objective - EXAMINE - SA-9(a)[1] -

defines security controls to be employed by providers of external information - system services;

- - - assessment-objective - EXAMINE - SA-9(a)[2] -

requires that providers of external information system services comply with - organizational information security requirements;

- - - assessment-objective - EXAMINE - SA-9(a)[3] -

requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - - SA-9(b) - - assessment-objective - EXAMINE - SA-9(b)[1] -

defines and documents government oversight with regard to external information - system services;

- - - assessment-objective - EXAMINE - SA-9(b)[2] -

defines and documents user roles and responsibilities with regard to external - information system services;

- - - - SA-9(c) - - assessment-objective - EXAMINE - SA-9(c)[1] -

defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(c)[2] -

employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

procedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services

-

acquisition contracts, service-level agreements

-

organizational security requirements and security specifications for external - provider services

-

security control assessment evidence from external providers of information system - services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis

-

automated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis

- - - - Risk Assessments / Organizational Approvals - - - - SA-9(1) - sa-09.01 - -

The organization:

- - (a) -

Conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; and

- - - (b) -

Ensures that the acquisition or outsourcing of dedicated information security - services is approved by .

- - - -

Dedicated information security services include, for example, incident monitoring, - analysis and response, operation of information security-related devices such as - firewalls, or key management services.

- CA-6 - RA-3 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SA-9(1)(a) -

conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services;

- SA-9(1)(a) - - - SA-9(1)(b) - - assessment-objective - EXAMINE - SA-9(1)(b)[1] -

defines personnel or roles designated to approve the acquisition or - outsourcing of dedicated information security services; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(1)(b)[2] -

ensures that the acquisition or outsourcing of dedicated information - security services is approved by organization-defined personnel or - roles.

- - SA-9(1)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

risk assessment reports

-

approval records for acquisition or outsourcing of dedicated information - security services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information system security responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting a risk assessment prior to acquiring or - outsourcing dedicated information security services

-

organizational processes for approving the outsourcing of dedicated information - security services

-

automated mechanisms supporting and/or implementing risk assessment

-

automated mechanisms supporting and/or implementing approval processes

- - - - - Identification of Functions / Ports / Protocols / Services - - - all external systems where Federal information is processed or stored - - SA-9(2) - sa-09.02 - -

The organization requires providers of to - identify the functions, ports, protocols, and other services required for the use - of such services.

- - -

Information from external service providers regarding the specific functions, - ports, protocols, and services used in the provision of such services can be - particularly useful when the need arises to understand the trade-offs involved in - restricting certain functions/services or blocking certain ports/protocols.

- CM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-9(2)[1] -

defines external information system services for which providers of such - services are to identify the functions, ports, protocols, and other services - required for the use of such services;

- - - assessment-objective - INTERVIEW - SA-9(2)[2] -

requires providers of organization-defined external information system services - to identify:

- - SA-9(2)[2][a] -

the functions required for the use of such services;

- - - SA-9(2)[2][b] -

the ports required for the use of such services;

- - - SA-9(2)[2][c] -

the protocols required for the use of such services; and

- - - SA-9(2)[2][d] -

the other services required for the use of such services.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation, service-level agreements

-

organizational security requirements and security specifications for external - service providers

-

list of required functions, ports, protocols, and other services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

external providers of information system services

- - - - - Consistent Interests of Consumers and Providers - - - - - - all external systems where Federal information is processed or stored - - SA-9(4) - sa-09.04 - -

The organization employs to ensure that the - interests of are consistent with and reflect - organizational interests.

- - -

As organizations increasingly use external service providers, the possibility - exists that the interests of the service providers may diverge from organizational - interests. In such situations, simply having the correct technical, procedural, or - operational safeguards in place may not be sufficient if the service providers - that implement and control those safeguards are not operating in a manner - consistent with the interests of the consuming organizations. Possible actions - that organizations might take to address such concerns include, for example, - requiring background checks for selected service provider personnel, examining - ownership records, employing only trustworthy service providers (i.e., providers - with which organizations have had positive experiences), and conducting - periodic/unscheduled visits to service provider facilities.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-9(4)[1] -

defines external service providers whose interests are to be consistent with - and reflect organizational interests;

- - - assessment-objective - EXAMINE - SA-9(4)[2] -

defines security safeguards to be employed to ensure that the interests of - organization-defined external service providers are consistent with and reflect - organizational interests; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(4)[3] -

employs organization-defined security safeguards to ensure that the interests - of organization-defined external service providers are consistent with and - reflect organizational interests.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

organizational security requirements/safeguards for external service - providers

-

personnel security policies for external service providers

-

assessments performed on external service providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - TEST - -

Organizational processes for defining and employing safeguards to ensure - consistent interests with external service providers

-

automated mechanisms supporting and/or implementing safeguards to ensure - consistent interests with external service providers

- - - - - Processing, Storage, and Service Location - - information processing, information data, AND information services - - - - U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction - - - - all High Impact Data, Systems, or Services - - SA-9(5) - sa-09.05 - -

The organization restricts the location of to - based on .

- - -

The location of information processing, information/data storage, or information - system services that are critical to organizations can have a direct impact on the - ability of those organizations to successfully execute their missions/business - functions. This situation exists when external providers control the location of - processing, storage or services. The criteria external providers use for the - selection of processing, storage, or service locations may be different from - organizational criteria. For example, organizations may want to ensure that - data/information storage locations are restricted to certain locations to - facilitate incident response activities (e.g., forensic analyses, after-the-fact - investigations) in case of information security breaches/compromises. Such - incident response activities may be adversely affected by the governing laws or - protocols in the locations where processing and storage occur and/or the locations - from which information system services emanate.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-9(5)[1] -

defines locations where organization-defined information processing, - information/data, and/or information system services are to be restricted;

- - - assessment-objective - EXAMINE - SA-9(5)[2] -

defines requirements or conditions to restrict the location of information - processing, information/data, and/or information system services;

- - - assessment-objective - INTERVIEW - TEST - SA-9(5)[3] -

restricts the location of one or more of the following to organization-defined - locations based on organization-defined requirements or conditions:

- - SA-9(5)[3][a] -

information processing;

- - - SA-9(5)[3][b] -

information/data; and/or

- - - SA-9(5)[3][c] -

information services.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

restricted locations for information processing

-

information/data and/or information system services

-

information processing, information/data, and/or information system services to - be maintained in restricted locations

-

organizational security requirements or conditions for external providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - TEST - -

Organizational processes for defining requirements to restrict locations of - information processing, information/data, or information services

-

organizational processes for ensuring the location is restricted in accordance - with requirements or conditions

- - - - - - Developer Configuration Management - - development, implementation, AND operation - - - - - - - - SA-10 - sa-10 - NIST Special Publication 800-128 - -

The organization requires the developer of the information system, system component, - or information system service to:

- - a. -

Perform configuration management during system, component, or service ;

- - - b. -

Document, manage, and control the integrity of changes to ;

- - - c. -

Implement only organization-approved changes to the system, component, or - service;

- - - d. -

Document approved changes to the system, component, or service and the potential - security impacts of such changes; and

- - - e. -

Track security flaws and flaw resolution within the system, component, or service - and report findings to .

- - - SA-10 Additional FedRAMP Requirements and Guidance - - (e) Requirement: -

For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

- - - - -

This control also applies to organizations conducting internal information systems - development and integration. Organizations consider the quality and completeness of - the configuration management activities conducted by developers as evidence of - applying effective security safeguards. Safeguards include, for example, protecting - from unauthorized modification or destruction, the master copies of all material used - to generate security-relevant portions of the system hardware, software, and - firmware. Maintaining the integrity of changes to the information system, information - system component, or information system service requires configuration control - throughout the system development life cycle to track authorized changes and prevent - unauthorized changes. Configuration items that are placed under configuration - management (if existence/use is required by other security controls) include: the - formal model; the functional, high-level, and low-level design specifications; other - design data; implementation documentation; source code and hardware schematics; the - running version of the object code; tools for comparing new versions of - security-relevant hardware descriptions and software/firmware source code with - previous versions; and test fixtures and documentation. Depending on the - mission/business needs of organizations and the nature of the contractual - relationships in place, developers may provide configuration management support - during the operations and maintenance phases of the life cycle.

- CM-3 - CM-4 - CM-9 - SA-12 - SI-2 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SA-10(a) -

requires the developer of the information system, system component, or information - system service to perform configuration management during one or more of the - following:

- - SA-10(a)[1] -

system, component, or service design;

- - - SA-10(a)[2] -

system, component, or service development;

- - - SA-10(a)[3] -

system, component, or service implementation; and/or

- - - SA-10(a)[4] -

system, component, or service operation;

- - - - SA-10(b) - - assessment-objective - EXAMINE - SA-10(b)[1] -

defines configuration items to be placed under configuration management;

- - - assessment-objective - INTERVIEW - TEST - SA-10(b)[2] -

requires the developer of the information system, system component, or - information system service to:

- - SA-10(b)[2][a] -

document the integrity of changes to organization-defined items under - configuration management;

- - - SA-10(b)[2][b] -

manage the integrity of changes to organization-defined items under - configuration management;

- - - SA-10(b)[2][c] -

control the integrity of changes to organization-defined items under - configuration management;

- - - - - assessment-objective - INTERVIEW - TEST - SA-10(c) -

requires the developer of the information system, system component, or information - system service to implement only organization-approved changes to the system, - component, or service;

- - - assessment-objective - INTERVIEW - TEST - SA-10(d) -

requires the developer of the information system, system component, or information - system service to document:

- - SA-10(d)[1] -

approved changes to the system, component, or service;

- - - SA-10(d)[2] -

the potential security impacts of such changes;

- - - - SA-10(e) - - assessment-objective - EXAMINE - SA-10(e)[1] -

defines personnel to whom findings, resulting from security flaws and flaw - resolution tracked within the system, component, or service, are to be - reported;

- - - assessment-objective - INTERVIEW - TEST - SA-10(e)[2] -

requires the developer of the information system, system component, or - information system service to:

- - SA-10(e)[2][a] -

track security flaws within the system, component, or service;

- - - SA-10(e)[2][b] -

track security flaw resolution within the system, component, or service; - and

- - - SA-10(e)[2][c] -

report findings to organization-defined personnel.

- - - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer configuration management plan

-

security flaw and flaw resolution tracking records

-

system change authorization records

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - Software / Firmware Integrity Verification - SA-10(1) - sa-10.01 - -

The organization requires the developer of the information system, system - component, or information system service to enable integrity verification of - software and firmware components.

- - -

This control enhancement allows organizations to detect unauthorized changes to - software and firmware components through the use of tools, techniques, and/or - mechanisms provided by developers. Integrity checking mechanisms can also address - counterfeiting of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through secure one-way - hashes provided by developers. Delivered software and firmware components also - include any updates to such components.

- SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to enable integrity verification - of software and firmware components.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system

-

system component, or information system service

-

system developer configuration management plan

-

software and firmware integrity verification records

-

system change authorization records

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - - Developer Security Testing and Evaluation - - - - - SA-11 - sa-11 - ISO/IEC 15408 - NIST Special Publication 800-53A - http://nvd.nist.gov - http://cwe.mitre.org - http://cve.mitre.org - http://capec.mitre.org - -

The organization requires the developer of the information system, system component, - or information system service to:

- - a. -

Create and implement a security assessment plan;

- - - b. -

Perform testing/evaluation at ;

- - - c. -

Produce evidence of the execution of the security assessment plan and the results - of the security testing/evaluation;

- - - d. -

Implement a verifiable flaw remediation process; and

- - - e. -

Correct flaws identified during security testing/evaluation.

- - - -

Developmental security testing/evaluation occurs at all post-design phases of the - system development life cycle. Such testing/evaluation confirms that the required - security controls are implemented correctly, operating as intended, enforcing the - desired security policy, and meeting established security requirements. Security - properties of information systems may be affected by the interconnection of system - components or changes to those components. These interconnections or changes (e.g., - upgrading or replacing applications and operating systems) may adversely affect - previously implemented security controls. This control provides additional types of - security testing/evaluation that developers can conduct to reduce or eliminate - potential flaws. Testing custom software applications may require approaches such as - static analysis, dynamic analysis, binary analysis, or a hybrid of the three - approaches. Developers can employ these analysis approaches in a variety of tools - (e.g., web-based application scanners, static analysis tools, binary analyzers) and - in source code reviews. Security assessment plans provide the specific activities - that developers plan to carry out including the types of analyses, testing, - evaluation, and reviews of software and firmware components, the degree of rigor to - be applied, and the types of artifacts produced during those processes. The depth of - security testing/evaluation refers to the rigor and level of detail associated with - the assessment process (e.g., black box, gray box, or white box testing). The - coverage of security testing/evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify the acceptance - criteria for security assessment plans, flaw remediation processes, and the evidence - that the plans/processes have been diligently applied. Methods for reviewing and - protecting assessment plans, evidence, and documentation are commensurate with the - security category or classification level of the information system. Contracts may - specify documentation protection requirements.

- CA-2 - CM-4 - SA-3 - SA-4 - SA-5 - SI-2 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SA-11(a) -

requires the developer of the information system, system component, or information - system service to create and implement a security plan;

- - - SA-11(b) - - assessment-objective - EXAMINE - SA-11(b)[1] -

defines the depth of testing/evaluation to be performed by the developer of the - information system, system component, or information system service;

- - - assessment-objective - EXAMINE - SA-11(b)[2] -

defines the coverage of testing/evaluation to be performed by the developer of - the information system, system component, or information system service;

- - - assessment-objective - INTERVIEW - TEST - SA-11(b)[3] -

requires the developer of the information system, system component, or - information system service to perform one or more of the following - testing/evaluation at the organization-defined depth and coverage:

- - SA-11(b)[3][a] -

unit testing/evaluation;

- - - SA-11(b)[3][b] -

integration testing/evaluation;

- - - SA-11(b)[3][c] -

system testing/evaluation; and/or

- - - SA-11(b)[3][d] -

regression testing/evaluation;

- - - - - assessment-objective - INTERVIEW - TEST - SA-11(c) -

requires the developer of the information system, system component, or information - system service to produce evidence of:

- - SA-11(c)[1] -

the execution of the security assessment plan;

- - - SA-11(c)[2] -

the results of the security testing/evaluation;

- - - - assessment-objective - INTERVIEW - TEST - SA-11(d) -

requires the developer of the information system, system component, or information - system service to implement a verifiable flaw remediation process; and

- - - assessment-objective - INTERVIEW - TEST - SA-11(e) -

requires the developer of the information system, system component, or information - system service to correct flaws identified during security testing/evaluation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer security test plans

-

records of developer security testing results for the information system, system - component, or information system service

-

security flaw and remediation tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - Static Code Analysis - SA-11(1) - sa-11.01 - -

The organization requires the developer of the information system, system - component, or information system service to employ static code analysis tools to - identify common flaws and document the results of the analysis.

- - SA-11 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - -

Static code analysis provides a technology and methodology for security reviews. - Such analysis can be used to identify security vulnerabilities and enforce - security coding practices. Static code analysis is most effective when used early - in the development process, when each code change can be automatically scanned for - potential weaknesses. Static analysis can provide clear remediation guidance along - with defects to enable developers to fix such defects. Evidence of correct - implementation of static analysis can include, for example, aggregate defect - density for critical defect types, evidence that defects were inspected by - developers or security professionals, and evidence that defects were fixed. An - excessively high density of ignored findings (commonly referred to as ignored or - false positives) indicates a potential problem with the analysis process or tool. - In such cases, organizations weigh the validity of the evidence against evidence - from other sources.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ static code analysis - tools to identify common flaws and document the results of the analysis.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test plans

-

system developer security testing results

-

security flaw and remediation tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

-

static code analysis tools

- - - - - Threat and Vulnerability Analyses - SA-11(2) - sa-11.02 - -

The organization requires the developer of the information system, system - component, or information system service to perform threat and vulnerability - analyses and subsequent testing/evaluation of the as-built system, component, or - service.

- - -

Applications may deviate significantly from the functional and design - specifications created during the requirements and design phases of the system - development life cycle. Therefore, threat and vulnerability analyses of - information systems, system components, and information system services prior to - delivery are critical to the effective operation of those systems, components, and - services. Threat and vulnerability analyses at this phase of the life cycle help - to ensure that design or implementation changes have been accounted for, and that - any new vulnerabilities created as a result of those changes have been reviewed - and mitigated.

- PM-15 - RA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to perform:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SA-11(2)[1] -

threat analyses of the as-built, system component, or service;

- - - SA-11(2)[2] -

vulnerability analyses of the as-built, system component, or service; and

- - - SA-11(2)[3] -

subsequent testing/evaluation of the as-built, system component, or - service.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test plans

-

records of developer security testing results for the information system, - system component, or information system service

-

vulnerability scanning results

-

information system risk assessment reports

-

threat and vulnerability analysis reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Dynamic Code Analysis - SA-11(8) - sa-11.08 - -

The organization requires the developer of the information system, system - component, or information system service to employ dynamic code analysis tools to - identify common flaws and document the results of the analysis.

- - SA-11 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - -

Dynamic code analysis provides run-time verification of software programs, using - tools capable of monitoring programs for memory corruption, user privilege issues, - and other potential security problems. Dynamic code analysis employs run-time - tools to help to ensure that security functionality performs in the manner in - which it was designed. A specialized type of dynamic analysis, known as fuzz - testing, induces program failures by deliberately introducing malformed or random - data into software programs. Fuzz testing strategies derive from the intended use - of applications and the functional and design specifications for the applications. - To understand the scope of dynamic code analysis and hence the assurance provided, - organizations may also consider conducting code coverage analysis (checking the - degree to which the code has been tested using metrics such as percent of - subroutines tested or percent of program statements called during execution of the - test suite) and/or concordance analysis (checking for words that are out of place - in software code such as non-English language words or derogatory terms).

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ dynamic code analysis - tools to identify common flaws and document the results of the analysis.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test and evaluation plans

-

security test and evaluation results

-

security flaw and remediation tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - - Supply Chain Protection - - - organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures - - SA-12 - sa-12 - NIST Special Publication 800-161 - NIST Interagency Report 7622 - -

The organization protects against supply chain threats to the information system, - system component, or information system service by employing as part of a comprehensive, defense-in-breadth - information security strategy.

- - -

Information systems (including system components that compose those systems) need to - be protected throughout the system development life cycle (i.e., during design, - development, manufacturing, packaging, assembly, distribution, system integration, - operations, maintenance, and retirement). Protection of organizational information - systems is accomplished through threat awareness, by the identification, management, - and reduction of vulnerabilities at each phase of the life cycle and the use of - complementary, mutually reinforcing strategies to respond to risk. Organizations - consider implementing a standardized process to address supply chain risk with - respect to information systems and system components, and to educate the acquisition - workforce on threats, risk, and required security controls. Organizations use the - acquisition/procurement processes to require supply chain entities to implement - necessary security safeguards to: (i) reduce the likelihood of unauthorized - modifications at each stage in the supply chain; and (ii) protect information systems - and information system components, prior to taking delivery of such - systems/components. This control also applies to information system services. - Security safeguards include, for example: (i) security controls for development - systems, development facilities, and external connections to development systems; - (ii) vetting development personnel; and (iii) use of tamper-evident packaging during - shipping/warehousing. Methods for reviewing and protecting development plans, - evidence, and documentation are commensurate with the security category or - classification level of the information system. Contracts may specify documentation - protection requirements.

- AT-3 - CM-8 - IR-4 - PE-16 - PL-8 - SA-3 - SA-4 - SA-8 - SA-10 - SA-14 - SA-15 - SA-18 - SA-19 - SC-29 - SC-30 - SC-38 - SI-7 - - -

Determine if the organization:

- - SA-12[1] -

defines security safeguards to be employed to protect against supply chain threats - to the information system, system component, or information system service; - and

- - - SA-12[2] -

protects against supply chain threats to the information system, system component, - or information system service by employing organization-defined security - safeguards as part of a comprehensive, defense-in-breadth information security - strategy.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

list of supply chain threats

-

list of security safeguards to be taken against supply chain threats

-

system development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining safeguards for and protecting against supply - chain threats

-

automated mechanisms supporting and/or implementing safeguards for supply chain - threats

- - - - - Development Process, Standards, and Tools - - - as needed and as dictated by the current threat posture - - - - organization and service provider- defined security requirements - - SA-15 - sa-15 - -

The organization:

- - a. -

Requires the developer of the information system, system component, or information - system service to follow a documented development process that:

- - 1. -

Explicitly addresses security requirements;

- - - 2. -

Identifies the standards and tools used in the development process;

- - - 3. -

Documents the specific tool options and tool configurations used in the - development process; and

- - - 4. -

Documents, manages, and ensures the integrity of changes to the process and/or - tools used in development; and

- - - - b. -

Reviews the development process, standards, tools, and tool options/configurations - to determine if the process, standards, tools, - and tool options/configurations selected and employed can satisfy .

- - - -

Development tools include, for example, programming languages and computer-aided - design (CAD) systems. Reviews of development processes can include, for example, the - use of maturity models to determine the potential effectiveness of such processes. - Maintaining the integrity of changes to tools and processes enables accurate supply - chain risk assessment and mitigation, and requires robust configuration control - throughout the life cycle (including design, development, transport, delivery, - integration, and maintenance) to track authorized changes and prevent unauthorized - changes.

- SA-3 - SA-8 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-15(a) -

requires the developer of the information system, system component, or information - system service to follow a documented development process that:

- - SA-15(a)(1) -

explicitly addresses security requirements;

- - - SA-15(a)(2) -

identifies the standards and tools used in the development process;

- - - SA-15(a)(3) - - SA-15(a)(3)[1] -

documents the specific tool options used in the development process;

- - - SA-15(a)(3)[2] -

documents the specific tool configurations used in the development - process;

- - - - SA-15(a)(4) - - SA-15(a)(4)[1] -

documents changes to the process and/or tools used in the development;

- - - SA-15(a)(4)[2] -

manages changes to the process and/or tools used in the development;

- - - SA-15(a)(4)[3] -

ensures the integrity of changes to the process and/or tools used in the - development;

- - - - - SA-15(b) - - assessment-objective - EXAMINE - SA-15(b)[1] -

defines a frequency to review the development process, standards, tools, and - tool options/configurations;

- - - assessment-objective - EXAMINE - SA-15(b)[2] -

defines security requirements to be satisfied by the process, standards, tools, - and tool option/configurations selected and employed; and

- - - SA-15(b)[3] - - assessment-objective - EXAMINE - INTERVIEW - SA-15(b)[3][a] -

reviews the development process with the organization-defined frequency to - determine if the process selected and employed can satisfy - organization-defined security requirements;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-15(b)[3][b] -

reviews the development standards with the organization-defined frequency to - determine if the standards selected and employed can satisfy - organization-defined security requirements;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-15(b)[3][c] -

reviews the development tools with the organization-defined frequency to - determine if the tools selected and employed can satisfy - organization-defined security requirements; and

- - - assessment-objective - EXAMINE - INTERVIEW - SA-15(b)[3][d] -

reviews the development tool options/configurations with the - organization-defined frequency to determine if the tool - options/configurations selected and employed can satisfy - organization-defined security requirements.

- - - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

procedures addressing the integration of security requirements during the - development process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer documentation listing tool options/configuration guides, - configuration management records

-

change control records

-

configuration control records

-

documented reviews of development process, standards, tools, and tool - options/configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - Developer-provided Training - - - - SA-16 - sa-16 - -

The organization requires the developer of the information system, system component, - or information system service to provide on the - correct use and operation of the implemented security functions, controls, and/or - mechanisms.

- - -

This control applies to external and internal (in-house) developers. Training of - personnel is an essential element to ensure the effectiveness of security controls - implemented within organizational information systems. Training options include, for - example, classroom-style training, web-based/computer-based training, and hands-on - training. Organizations can also request sufficient training materials from - developers to conduct in-house training or offer self-training to organizational - personnel. Organizations determine the type of training necessary and may require - different types of training for different security functions, controls, or - mechanisms.

- AT-2 - AT-3 - SA-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-16[1] -

defines training to be provided by the developer of the information system, system - component, or information system service; and

- - - assessment-objective - EXAMINE - INTERVIEW - SA-16[2] -

requires the developer of the information system, system component, or information - system service to provide organization-defined training on the correct use and - operation of the implemented security functions, controls, and/or mechanisms.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing developer-provided training

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

developer-provided training materials

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information system security responsibilities

-

system developer

-

organizational or third-party developers with training responsibilities for the - information system, system component, or information system service

- - - - - Developer Security Architecture and Design - SA-17 - sa-17 - -

The organization requires the developer of the information system, system component, - or information system service to produce a design specification and security - architecture that:

- - a. -

Is consistent with and supportive of the organization’s security architecture - which is established within and is an integrated part of the organization’s - enterprise architecture;

- - - b. -

Accurately and completely describes the required security functionality, and the - allocation of security controls among physical and logical components; and

- - - c. -

Expresses how individual security functions, mechanisms, and services work - together to provide required security capabilities and a unified approach to - protection.

- - - -

This control is primarily directed at external developers, although it could also be - used for internal (in-house) development. In contrast, PL-8 is primarily directed at - internal developers to help ensure that organizations develop an information security - architecture and such security architecture is integrated or tightly coupled to the - enterprise architecture. This distinction is important if/when organizations - outsource the development of information systems, information system components, or - information system services to external entities, and there is a requirement to - demonstrate consistency with the organization’s enterprise architecture and - information security architecture.

- PL-8 - PM-7 - SA-3 - SA-8 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to produce a design specification and - security architecture that:

- - assessment-objective - EXAMINE - INTERVIEW - SA-17(a) -

is consistent with and supportive of the organization’s security architecture - which is established within and is an integrated part of the organization’s - enterprise architecture;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-17(b) -

accurately and completely describes:

- - SA-17(b)[1] -

the required security functionality;

- - - SA-17(b)[2] -

the allocation of security controls among physical and logical components; - and

- - - - assessment-objective - EXAMINE - INTERVIEW - SA-17(c) -

expresses how individual security functions, mechanisms, and services work - together to provide required security capabilities and a unified approach to - protection.

- - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification for - the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

design specification and security architecture documentation for the system

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - - System and Communications Protection - - System and Communications Protection Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - SC-1 - sc-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and communications protection policy ; - and

- - - 2. -

System and communications protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SC-1(a) - - SC-1(a)(1) - - assessment-objective - EXAMINE - SC-1(a)(1)[1] -

develops and documents a system and communications protection policy that - addresses:

- - SC-1(a)(1)[1][a] -

purpose;

- - - SC-1(a)(1)[1][b] -

scope;

- - - SC-1(a)(1)[1][c] -

roles;

- - - SC-1(a)(1)[1][d] -

responsibilities;

- - - SC-1(a)(1)[1][e] -

management commitment;

- - - SC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SC-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SC-1(a)(1)[2] -

defines personnel or roles to whom the system and communications protection - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SC-1(a)(1)[3] -

disseminates the system and communications protection policy to - organization-defined personnel or roles;

- - - - SC-1(a)(2) - - assessment-objective - EXAMINE - SC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls;

- - - assessment-objective - EXAMINE - SC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SC-1(b) - - SC-1(b)(1) - - assessment-objective - EXAMINE - SC-1(b)(1)[1] -

defines the frequency to review and update the current system and - communications protection policy;

- - - assessment-objective - EXAMINE - SC-1(b)(1)[2] -

reviews and updates the current system and communications protection policy - with the organization-defined frequency;

- - - - SC-1(b)(2) - - assessment-objective - EXAMINE - SC-1(b)(2)[1] -

defines the frequency to review and update the current system and - communications protection procedures; and

- - - assessment-objective - EXAMINE - SC-1(b)(2)[2] -

reviews and updates the current system and communications protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

System and communications protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and communications protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Application Partitioning - SC-2 - sc-02 - -

The information system separates user functionality (including user interface - services) from information system management functionality.

- - -

Information system management functionality includes, for example, functions - necessary to administer databases, network components, workstations, or servers, and - typically requires privileged user access. The separation of user functionality from - information system management functionality is either physical or logical. - Organizations implement separation of system management-related functionality from - user functionality by using different computers, different central processing units, - different instances of operating systems, different network addresses, virtualization - techniques, or combinations of these or other methods, as appropriate. This type of - separation includes, for example, web administrative interfaces that use separate - authentication methods for users of any other information system resources. - Separation of system and user functionality may include isolating administrative - interfaces on different domains and with additional access controls.

- SA-4 - SA-8 - SC-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system separates user functionality (including user - interface services) from information system management functionality.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing application partitioning

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Separation of user functionality from information system management - functionality

- - - - - Security Function Isolation - SC-3 - sc-03 - -

The information system isolates security functions from nonsecurity functions.

- - -

The information system isolates security functions from nonsecurity functions by - means of an isolation boundary (implemented via partitions and domains). Such - isolation controls access to and protects the integrity of the hardware, software, - and firmware that perform those security functions. Information systems implement - code separation (i.e., separation of security functions from nonsecurity functions) - in a number of ways, including, for example, through the provision of security - kernels via processor rings or processor modes. For non-kernel code, security - function isolation is often achieved through file system protections that serve to - protect the code on disk, and address space protections that protect executing code. - Information systems restrict access to security functions through the use of access - control mechanisms and by implementing least privilege capabilities. While the ideal - is for all of the code within the security function isolation boundary to only - contain security-relevant code, it is sometimes necessary to include nonsecurity - functions within the isolation boundary as an exception.

- AC-3 - AC-6 - SA-4 - SA-5 - SA-8 - SA-13 - SC-2 - SC-7 - SC-39 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system isolates security functions from nonsecurity - functions.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

list of security functions to be isolated from nonsecurity functions

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Separation of security functions from nonsecurity functions within the information - system

- - - - - Information in Shared Resources - SC-4 - sc-04 - -

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

- - -

This control prevents information, including encrypted representations of - information, produced by the actions of prior users/roles (or the actions of - processes acting on behalf of prior users/roles) from being available to any current - users/roles (or current processes) that obtain access to shared system resources - (e.g., registers, main memory, hard disks) after those resources have been released - back to information systems. The control of information in shared resources is also - commonly referred to as object reuse and residual information protection. This - control does not address: (i) information remanence which refers to residual - representation of data that has been nominally erased or removed; (ii) covert - channels (including storage and/or timing channels) where shared resources are - manipulated to violate information flow restrictions; or (iii) components within - information systems for which there are only single users/roles.

- AC-3 - AC-4 - MP-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system prevents unauthorized and unintended information - transfer via shared system resources.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing information protection in shared system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms preventing unauthorized and unintended transfer of - information via shared system resources

- - - - - Denial of Service Protection - - - - - - - SC-5 - sc-05 - -

The information system protects against or limits the effects of the following types - of denial of service attacks: by employing .

- - -

A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks.

- SC-6 - SC-7 - - -

Determine if:

- - SC-5[1] -

the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects;

- - - SC-5[2] -

the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and

- - - SC-5[3] -

the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

security plan

-

list of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks

-

list of security safeguards protecting against or limiting the effects of denial - of service attacks

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms protecting against or limiting the effects of denial of - service attacks

- - - - - Resource Availability - - - - - - - - SC-6 - sc-06 - -

The information system protects the availability of resources by allocating by .

- - -

Priority protection helps prevent lower-priority processes from delaying or - interfering with the information system servicing any higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined amounts of - resources. This control does not apply to information system components for which - there are only single users/roles.

- - -

Determine if:

- - assessment-objective - EXAMINE - SC-6[1] -

the organization defines resources to be allocated to protect the availability of - resources;

- - - assessment-objective - EXAMINE - SC-6[2] -

the organization defines security safeguards to be employed to protect the - availability of resources;

- - - assessment-objective - INTERVIEW - TEST - SC-6[3] -

the information system protects the availability of resources by allocating - organization-defined resources by one or more of the following:

- - SC-6[3][a] -

priority;

- - - SC-6[3][b] -

quota; and/or

- - - SC-6[3][c] -

organization-defined safeguards.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing prioritization of information system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing resource allocation - capability

-

safeguards employed to protect availability of resources

- - - - - Boundary Protection - - SC-7 - sc-07 - FIPS Publication 199 - NIST Special Publication 800-41 - NIST Special Publication 800-77 - -

The information system:

- - a. -

Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system;

- - - b. -

Implements subnetworks for publicly accessible system components that are separated from internal organizational networks; - and

- - - c. -

Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - -

Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions.

- AC-4 - AC-17 - CA-3 - CM-7 - CP-8 - IR-4 - RA-3 - SC-5 - SC-13 - - -

Determine if the information system:

- - SC-7(a) - - assessment-objective - INTERVIEW - TEST - SC-7(a)[1] -

monitors communications at the external boundary of the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[2] -

monitors communications at key internal boundaries within the system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[3] -

controls communications at the external boundary of the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[4] -

controls communications at key internal boundaries within the system;

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(b) -

implements subnetworks for publicly accessible system components that are - either:

- - SC-7(b)[1] -

physically separated from internal organizational networks; and/or

- - - SC-7(b)[2] -

logically separated from internal organizational networks; and

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(c) -

connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

list of key internal boundaries of the information system

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

enterprise security architecture documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

- - - - Access Points - SC-7(3) - sc-07.03 - -

The organization limits the number of external network connections to the - information system.

- - -

Limiting the number of external network connections facilitates more comprehensive - monitoring of inbound and outbound communications traffic. The Trusted Internet - Connection (TIC) initiative is an example of limiting the number of external - network connections.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization limits the number of external network connections to - the information system.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

boundary protection hardware and software

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

communications and network traffic monitoring logs

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms limiting the number of external network connections to the - information system

- - - - - External Telecommunications Services - - - at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions - - - SC-7(4) - sc-07.04 - -

The organization:

- - (a) -

Implements a managed interface for each external telecommunication service;

- - - (b) -

Establishes a traffic flow policy for each managed interface;

- - - (c) -

Protects the confidentiality and integrity of the information being transmitted - across each interface;

- - - (d) -

Documents each exception to the traffic flow policy with a supporting - mission/business need and duration of that need; and

- - - (e) -

Reviews exceptions to the traffic flow policy - and removes exceptions that are no longer supported by an explicit - mission/business need.

- - - - SC-8 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SC-7(4)(a) -

implements a managed interface for each external telecommunication service;

- SC-7(4)(a) - - - assessment-objective - EXAMINE - SC-7(4)(b) -

establishes a traffic flow policy for each managed interface;

- SC-7(4)(b) - - - assessment-objective - INTERVIEW - TEST - SC-7(4)(c) -

protects the confidentiality and integrity of the information being transmitted - across each interface;

- SC-7(4)(c) - - - SC-7(4)(d) -

documents each exception to the traffic flow policy with:

- - assessment-objective - EXAMINE - SC-7(4)(d)[1] -

a supporting mission/business need;

- - - assessment-objective - EXAMINE - SC-7(4)(d)[2] -

duration of that need;

- - SC-7(4)(d) - - - SC-7(4)(e) - - assessment-objective - EXAMINE - SC-7(4)(e)[1] -

defines a frequency to review exceptions to traffic flow policy;

- - - assessment-objective - INTERVIEW - TEST - SC-7(4)(e)[2] -

reviews exceptions to the traffic flow policy with the organization-defined - frequency; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(4)(e)[3] -

removes traffic flow policy exceptions that are no longer supported by an - explicit mission/business need

- - SC-7(4)(e) - - - - EXAMINE - -

System and communications protection policy

-

traffic flow policy

-

information flow control policy

-

procedures addressing boundary protection

-

information system security architecture

-

information system design documentation

-

boundary protection hardware and software

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of traffic flow policy exceptions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Organizational processes for documenting and reviewing exceptions to the - traffic flow policy

-

organizational processes for removing exceptions to the traffic flow policy

-

automated mechanisms implementing boundary protection capability

-

managed interfaces implementing traffic flow policy

- - - - - Deny by Default / Allow by Exception - SC-7(5) - sc-07.05 - -

The information system at managed interfaces denies network communications traffic - by default and allows network communications traffic by exception (i.e., deny all, - permit by exception).

- - -

This control enhancement applies to both inbound and outbound network - communications traffic. A deny-all, permit-by-exception network communications - traffic policy ensures that only those connections which are essential and - approved are allowed.

- - -

Determine if the information system, at managed interfaces:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(5)[1] -

denies network traffic by default; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(5)[2] -

allows network traffic by exception.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing traffic management at managed interfaces

- - - - - Prevent Split Tunneling for Remote Devices - SC-7(7) - sc-07.07 - -

The information system, in conjunction with a remote device, prevents the device - from simultaneously establishing non-remote connections with the system and - communicating via some other connection to resources in external networks.

- - -

This control enhancement is implemented within remote devices (e.g., notebook - computers) through configuration settings to disable split tunneling in those - devices, and by preventing those configuration settings from being readily - configurable by users. This control enhancement is implemented within the - information system by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and by prohibiting the - connection if the remote device is using split tunneling. Split tunneling might be - desirable by remote users to communicate with local information system resources - such as printers/file servers. However, split tunneling would in effect allow - unauthorized external connections, making the system more vulnerable to attack and - to exfiltration of organizational information. The use of VPNs for remote - connections, when adequately provisioned with appropriate security controls, may - provide the organization with sufficient assurance that it can effectively treat - such connections as non-remote connections from the confidentiality and integrity - perspective. VPNs thus provide a means for allowing non-remote communications - paths from remote devices. The use of an adequately provisioned VPN does not - eliminate the need for preventing split tunneling.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system, in conjunction with a remote device, prevents - the device from simultaneously establishing non-remote connections with the system - and communicating via some other connection to resources in external networks.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms supporting/restricting non-remote connections

- - - - - Route Traffic to Authenticated Proxy Servers - - - - - - - SC-7(8) - sc-07.08 - -

The information system routes to through authenticated proxy servers at managed - interfaces.

- - -

External networks are networks outside of organizational control. A proxy server - is a server (i.e., information system or application) that acts as an intermediary - for clients requesting information system resources (e.g., files, connections, web - pages, or services) from other organizational servers. Client requests established - through an initial connection to the proxy server are evaluated to manage - complexity and to provide additional protection by limiting direct connectivity. - Web content filtering devices are one of the most common proxy servers providing - access to the Internet. Proxy servers support logging individual Transmission - Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators - (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be - configured with organization-defined lists of authorized and unauthorized - websites.

- AC-3 - AU-2 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-7(8)[1] -

the organization defines internal communications traffic to be routed to - external networks;

- - - assessment-objective - EXAMINE - SC-7(8)[2] -

the organization defines external networks to which organization-defined - internal communications traffic is to be routed; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(8)[3] -

the information system routes organization-defined internal communications - traffic to organization-defined external networks through authenticated proxy - servers at managed interfaces.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing traffic management through authenticated - proxy servers at managed interfaces

- - - - - Prevent Unauthorized Exfiltration - SC-7(10) - sc-07.10 - -

The organization prevents the unauthorized exfiltration of information across - managed interfaces.

- - -

Safeguards implemented by organizations to prevent unauthorized exfiltration of - information from information systems include, for example: (i) strict adherence to - protocol formats; (ii) monitoring for beaconing from information systems; (iii) - monitoring for steganography; (iv) disconnecting external network interfaces - except when explicitly needed; (v) disassembling and reassembling packet headers; - and (vi) employing traffic profile analysis to detect deviations from the - volume/types of traffic expected within organizations or call backs to command and - control centers. Devices enforcing strict adherence to protocol formats include, - for example, deep packet inspection firewalls and XML gateways. These devices - verify adherence to protocol formats and specification at the application layer - and serve to identify vulnerabilities that cannot be detected by devices operating - at the network or transport layers. This control enhancement is closely associated - with cross-domain solutions and system guards enforcing information flow - requirements.

- SI-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization prevents the unauthorized exfiltration of - information across managed interfaces.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

preventing unauthorized exfiltration of information across managed - interfaces

- - - - - Host-based Protection - - - Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall - - - - - SC-7(12) - sc-07.12 - -

The organization implements at .

- - -

Host-based boundary protection mechanisms include, for example, host-based - firewalls. Information system components employing host-based boundary protection - mechanisms include, for example, servers, workstations, and mobile devices.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-7(12)[1] -

defines host-based boundary protection mechanisms;

- - - assessment-objective - EXAMINE - SC-7(12)[2] -

defines information system components where organization-defined host-based - boundary protection mechanisms are to be implemented; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(12)[3] -

implements organization-defined host-based boundary protection mechanisms at - organization-defined information system components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

-

information system users

- - - - TEST - -

Automated mechanisms implementing host-based boundary protection - capabilities

- - - - - Isolation of Security Tools / Mechanisms / Support Components - - - - SC-7(13) - sc-07.13 - -

The organization isolates from other internal - information system components by implementing physically separate subnetworks with - managed interfaces to other components of the system.

- - SC-7 (13) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

- - - Guidance: -

Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.

- - - - -

Physically separate subnetworks with managed interfaces are useful, for example, - in isolating computer network defenses from critical operational processing - networks to prevent adversaries from discovering the analysis and forensics - techniques of organizations.

- SA-8 - SC-2 - SC-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-7(13)[1] -

defines information security tools, mechanisms, and support components to be - isolated from other internal information system components; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(13)[2] -

isolates organization-defined information security tools, mechanisms, and - support components from other internal information system components by - implementing physically separate subnetworks with managed interfaces to other - components of the system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

list of security tools and support components to be isolated from other - internal information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing isolation of information - security tools, mechanisms, and support components

- - - - - Fail Secure - SC-7(18) - sc-07.18 - -

The information system fails securely in the event of an operational failure of a - boundary protection device.

- - -

Fail secure is a condition achieved by employing information system mechanisms to - ensure that in the event of operational failures of boundary protection devices at - managed interfaces (e.g., routers, firewalls, guards, and application gateways - residing on protected subnetworks commonly referred to as demilitarized zones), - information systems do not enter into unsecure states where intended security - properties no longer hold. Failures of boundary protection devices cannot lead to, - or cause information external to the devices to enter the devices, nor can - failures permit unauthorized information releases.

- CP-2 - SC-24 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system fails securely in the event of an operational - failure of a boundary protection device.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure failure

- - - - - Dynamic Isolation / Segregation - - - - SC-7(20) - sc-07.20 - -

The information system provides the capability to dynamically isolate/segregate - from other components of the system.

- - -

The capability to dynamically isolate or segregate certain internal components of - organizational information systems is useful when it is necessary to partition or - separate certain components of dubious origin from those components possessing - greater trustworthiness. Component isolation reduces the attack surface of - organizational information systems. Isolation of selected information system - components is also a means of limiting the damage from successful cyber attacks - when those attacks occur.

- - -

Determine if:

- - assessment-objective - EXAMINE - SC-7(20)[1] -

the organization defines information system components to be dynamically - isolated/segregated from other components of the system; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(20)[2] -

the information system provides the capability to dynamically isolate/segregate - organization-defined information system components from other components of the - system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

list of information system components to be dynamically isolated/segregated - from other components of the system

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the capability to - dynamically isolate/segregate information system components

- - - - - Isolation of Information System Components - - - - - - - SC-7(21) - sc-07.21 - -

The organization employs boundary protection mechanisms to separate supporting .

- - -

Organizations can isolate information system components performing different - missions and/or business functions. Such isolation limits unauthorized information - flows among system components and also provides the opportunity to deploy greater - levels of protection for selected components. Separating system components with - boundary protection mechanisms provides the capability for increased protection of - individual components and to more effectively control information flows between - those components. This type of enhanced protection limits the potential harm from - cyber attacks and errors. The degree of separation provided varies depending upon - the mechanisms chosen. Boundary protection mechanisms include, for example, - routers, gateways, and firewalls separating system components into physically - separate networks or subnetworks, cross-domain devices separating subnetworks, - virtualization techniques, and encrypting information flows among system - components using distinct encryption keys.

- CA-9 - SC-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-7(21)[1] -

defines information system components to be separated by boundary protection - mechanisms;

- - - assessment-objective - EXAMINE - SC-7(21)[2] -

defines missions and/or business functions to be supported by - organization-defined information system components separated by boundary - protection mechanisms; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(21)[3] -

employs boundary protection mechanisms to separate organization-defined - information system components supporting organization-defined missions and/or - business functions.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

enterprise architecture documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the capability to separate - information system components supporting organizational missions and/or - business functions

- - - - - - Transmission Confidentiality and Integrity - - confidentiality AND integrity - - SC-8 - sc-08 - FIPS Publication 140-2 - FIPS Publication 197 - NIST Special Publication 800-52 - NIST Special Publication 800-77 - NIST Special Publication 800-81 - NIST Special Publication 800-113 - CNSS Policy 15 - NSTISSI No. 7003 - -

The information system protects the of transmitted - information.

- - -

This control applies to both internal and external networks and all types of - information system components from which information can be transmitted (e.g., - servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile - machines). Communication paths outside the physical protection of a controlled - boundary are exposed to the possibility of interception and modification. Protecting - the confidentiality and/or integrity of organizational information can be - accomplished by physical means (e.g., by employing protected distribution systems) or - by logical means (e.g., employing encryption techniques). Organizations relying on - commercial providers offering transmission services as commodity services rather than - as fully dedicated services (i.e., services which can be highly specialized to - individual customer needs), may find it difficult to obtain the necessary assurances - regarding the implementation of needed security controls for transmission - confidentiality/integrity. In such situations, organizations determine what types of - confidentiality/integrity services are available in standard, commercial - telecommunication service packages. If it is infeasible or impractical to obtain the - necessary security controls and assurances of control effectiveness through - appropriate contracting vehicles, organizations implement appropriate compensating - security controls or explicitly accept the additional risk.

- AC-17 - PE-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system protects one or more of the following:

- - SC-8[1] -

confidentiality of transmitted information; and/or

- - - SC-8[2] -

integrity of transmitted information.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing transmission confidentiality - and/or integrity

- - - - Cryptographic or Alternate Physical Protection - - prevent unauthorized disclosure of information AND detect changes to information - - - - a hardened or alarmed carrier Protective Distribution System (PDS) - - SC-8(1) - sc-08.01 - -

The information system implements cryptographic mechanisms to during transmission unless otherwise protected by - .

- - -

Encrypting information for transmission protects information from unauthorized - disclosure and modification. Cryptographic mechanisms implemented to protect - information integrity include, for example, cryptographic hash functions which - have common application in digital signatures, checksums, and message - authentication codes. Alternative physical security safeguards include, for - example, protected distribution systems.

- SC-13 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-8(1)[1] -

the organization defines physical safeguards to be implemented to protect - information during transmission when cryptographic mechanisms are not - implemented; and

- - - assessment-objective - INTERVIEW - TEST - SC-8(1)[2] -

the information system implements cryptographic mechanisms to do one or more of - the following during transmission unless otherwise protected by - organization-defined alternative physical safeguards:

- - SC-8(1)[2][a] -

prevent unauthorized disclosure of information; and/or

- - - SC-8(1)[2][b] -

detect changes to information.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms supporting and/or implementing transmission - confidentiality and/or integrity

-

automated mechanisms supporting and/or implementing alternative physical - safeguards

-

organizational processes for defining and implementing alternative physical - safeguards

- - - - - - Network Disconnect - - - no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions - - SC-10 - sc-10 - -

The information system terminates the network connection associated with a - communications session at the end of the session or after of inactivity.

- - -

This control applies to both internal and external networks. Terminating network - connections associated with communications sessions include, for example, - de-allocating associated TCP/IP address/port pairs at the operating system level, or - de-allocating networking assignments at the application level if multiple application - sessions are using a single, operating system-level network connection. Time periods - of inactivity may be established by organizations and include, for example, time - periods by type of network access or for specific network accesses.

- - -

Determine if:

- - assessment-objective - EXAMINE - SC-10[1] -

the organization defines a time period of inactivity after which the information - system terminates a network connection associated with a communications session; - and

- - - assessment-objective - INTERVIEW - TEST - SC-10[2] -

the information system terminates the network connection associated with a - communication session at the end of the session or after the organization-defined - time period of inactivity.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing network disconnect

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing network disconnect - capability

- - - - - Cryptographic Key Establishment and Management - - - - SC-12 - sc-12 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - -

The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with .

- - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - -

Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems.

- SC-13 - SC-17 - - -

Determine if the organization:

- - SC-12[1] -

defines requirements for cryptographic key:

- - SC-12[1][a] -

generation;

- - - SC-12[1][b] -

distribution;

- - - SC-12[1][c] -

storage;

- - - SC-12[1][d] -

access;

- - - SC-12[1][e] -

destruction; and

- - - - SC-12[2] -

establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

cryptographic mechanisms

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key establishment - and/or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - Availability - SC-12(1) - sc-12.01 - -

The organization maintains availability of information in the event of the loss of - cryptographic keys by users.

- - -

Escrowing of encryption keys is a common practice for ensuring availability in the - event of loss of keys (e.g., due to forgotten passphrase).

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization maintains availability of information in the event - of the loss of cryptographic keys by users.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment, management, and - recovery

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key - establishment or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - - Symmetric Keys - - NIST FIPS-compliant - - SC-12(2) - sc-12.02 - -

The organization produces, controls, and distributes symmetric cryptographic keys - using key management technology and - processes.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization produces, controls, and distributes symmetric - cryptographic keys using one of the following:

- - SC-12(2)[1] -

NIST FIPS-compliant key management technology and processes; or

- - - SC-12(2)[2] -

NSA-approved key management technology and processes.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FIPS validated cryptographic products

-

list of NSA-approved cryptographic products

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic key - establishment or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing symmetric cryptographic key - establishment and management

- - - - - Asymmetric Keys - - SC-12(3) - sc-12.03 - -

The organization produces, controls, and distributes asymmetric cryptographic keys - using .

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization produces, controls, and distributes asymmetric - cryptographic keys using one of the following:

- - SC-12(3)[1] -

NSA-approved key management technology and processes;

- - - SC-12(3)[2] -

approved PKI Class 3 certificates or prepositioned keying material; or

- - - SC-12(3)[3] -

approved PKI Class 3 or Class 4 certificates and hardware security tokens that - protect the user’s private key.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of NSA-approved cryptographic products

-

list of approved PKI Class 3 and Class 4 certificates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic key - establishment or management

-

organizational personnel with responsibilities for PKI certificates

- - - - TEST - -

Automated mechanisms supporting and/or implementing asymmetric cryptographic - key establishment and management

- - - - - - Cryptographic Protection - - - FIPS-validated or NSA-approved cryptography - - - SC-13 - sc-13 - FIPS Publication 140 - http://csrc.nist.gov/cryptval - http://www.cnss.gov - -

The information system implements in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards.

- - -

Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography).

- AC-2 - AC-3 - AC-7 - AC-17 - AC-18 - AU-9 - AU-10 - CM-11 - CP-9 - IA-3 - IA-7 - MA-4 - MP-2 - MP-4 - MP-5 - SA-4 - SC-8 - SC-12 - SC-28 - SI-7 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-13[1] -

the organization defines cryptographic uses; and

- - - assessment-objective - EXAMINE - SC-13[2] -

the organization defines the type of cryptography required for each use; and

- - - assessment-objective - INTERVIEW - TEST - SC-13[3] -

the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic module validation certificates

-

list of FIPS validated cryptographic modules

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic protection

- - - - - Collaborative Computing Devices - - - no exceptions - - SC-15 - sc-15 - -

The information system:

- - a. -

Prohibits remote activation of collaborative computing devices with the following - exceptions: ; and

- - - b. -

Provides an explicit indication of use to users physically present at the - devices.

- - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated.

- AC-21 - - -

Determine if:

- - SC-15(a) - - assessment-objective - EXAMINE - SC-15(a)[1] -

the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed;

- - - assessment-objective - INTERVIEW - TEST - SC-15(a)[2] -

the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and

- - - - assessment-objective - INTERVIEW - TEST - SC-15(b) -

the information system provides an explicit indication of use to users physically - present at the devices.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices

-

automated mechanisms providing an indication of use of collaborative computing - devices

- - - - - Public Key Infrastructure Certificates - - - - SC-17 - sc-17 - OMB Memorandum 05-24 - NIST Special Publication 800-32 - NIST Special Publication 800-63 - -

The organization issues public key certificates under an or obtains public key certificates from an approved - service provider.

- - -

For all certificates, organizations manage information system trust stores to ensure - only approved trust anchors are in the trust stores. This control addresses both - certificates with visibility external to organizational information systems and - certificates related to the internal operations of systems, for example, - application-specific time services.

- SC-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-17[1] -

defines a certificate policy for issuing public key certificates;

- - - assessment-objective - INTERVIEW - TEST - SC-17[2] -

issues public key certificates:

- - SC-17[2][a] -

under an organization-defined certificate policy: or

- - - SC-17[2][b] -

obtains public key certificates from an approved service provider.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing public key infrastructure certificates

-

public key certificate policy or policies

-

public key issuing process

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for issuing public key - certificates

-

service providers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the management of public key - infrastructure certificates

- - - - - Mobile Code - SC-18 - sc-18 - NIST Special Publication 800-28 - DoD Instruction 8552.01 - -

The organization:

- - a. -

Defines acceptable and unacceptable mobile code and mobile code technologies;

- - - b. -

Establishes usage restrictions and implementation guidance for acceptable mobile - code and mobile code technologies; and

- - - c. -

Authorizes, monitors, and controls the use of mobile code within the information - system.

- - - -

Decisions regarding the employment of mobile code within organizational information - systems are based on the potential for the code to cause damage to the systems if - used maliciously. Mobile code technologies include, for example, Java, JavaScript, - ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage - restrictions and implementation guidance apply to both the selection and use of - mobile code installed on servers and mobile code downloaded and executed on - individual workstations and devices (e.g., smart phones). Mobile code policy and - procedures address preventing the development, acquisition, or introduction of - unacceptable mobile code within organizational information systems.

- AU-2 - AU-12 - CM-2 - CM-6 - SI-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-18(a) -

defines acceptable and unacceptable mobile code and mobile code technologies;

- - - SC-18(b) - - assessment-objective - EXAMINE - SC-18(b)[1] -

establishes usage restrictions for acceptable mobile code and mobile code - technologies;

- - - assessment-objective - EXAMINE - SC-18(b)[2] -

establishes implementation guidance for acceptable mobile code and mobile code - technologies;

- - - - SC-18(c) - - assessment-objective - INTERVIEW - TEST - SC-18(c)[1] -

authorizes the use of mobile code within the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-18(c)[2] -

monitors the use of mobile code within the information system; and

- - - assessment-objective - INTERVIEW - TEST - SC-18(c)[3] -

controls the use of mobile code within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage restrictions, mobile code implementation policy and - procedures

-

list of acceptable mobile code and mobile code technologies

-

list of unacceptable mobile code and mobile technologies

-

authorization records

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Organizational process for controlling, authorizing, monitoring, and restricting - mobile code

-

automated mechanisms supporting and/or implementing the management of mobile - code

-

automated mechanisms supporting and/or implementing the monitoring of mobile - code

- - - - - Voice Over Internet Protocol - SC-19 - sc-19 - NIST Special Publication 800-58 - -

The organization:

- - a. -

Establishes usage restrictions and implementation guidance for Voice over Internet - Protocol (VoIP) technologies based on the potential to cause damage to the - information system if used maliciously; and

- - - b. -

Authorizes, monitors, and controls the use of VoIP within the information - system.

- - - - CM-6 - SC-7 - SC-15 - - -

Determine if the organization:

- - SC-19(a) - - assessment-objective - EXAMINE - SC-19(a)[1] -

establishes usage restrictions for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously;

- - - assessment-objective - EXAMINE - SC-19(a)[2] -

establishes implementation guidance for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously;

- - - - SC-19(b) - - assessment-objective - INTERVIEW - TEST - SC-19(b)[1] -

authorizes the use of VoIP within the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-19(b)[2] -

monitors the use of VoIP within the information system; and

- - - assessment-objective - INTERVIEW - TEST - SC-19(b)[3] -

controls the use of VoIP within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing VoIP

-

VoIP usage restrictions

-

VoIP implementation guidance

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing VoIP

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling VoIP

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling VoIP

- - - - - Secure Name / Address Resolution Service (authoritative Source) - SC-20 - sc-20 - OMB Memorandum 08-23 - NIST Special Publication 800-81 - -

The information system:

- - a. -

Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and

- - - b. -

Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace.

- - - -

This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data.

- AU-10 - SC-8 - SC-12 - SC-13 - SC-21 - SC-22 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-20(a) -

provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries;

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-20(b) -

provides the means to, when operating as part of a distributed, hierarchical - namespace:

- - SC-20(b)[1] -

indicate the security status of child zones; and

- - - SC-20(b)[2] -

enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services).

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (authoritative - source)

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure name/address resolution - service

- - - - - Secure Name / Address Resolution Service (recursive or Caching Resolver) - SC-21 - sc-21 - NIST Special Publication 800-81 - -

The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources.

- - -

Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data.

- SC-20 - SC-22 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - SC-21[1] -

requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources;

- - - assessment-objective - EXAMINE - SC-21[2] -

requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources;

- - - assessment-objective - INTERVIEW - TEST - SC-21[3] -

performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and

- - - assessment-objective - INTERVIEW - TEST - SC-21[4] -

performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (recursive or caching - resolver)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services

- - - - - Architecture and Provisioning for Name / Address Resolution Service - SC-22 - sc-22 - NIST Special Publication 800-81 - -

The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation.

- - -

Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists).

- SC-2 - SC-20 - SC-21 - SC-24 - - -

Determine if the information systems that collectively provide name/address - resolution service for an organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-22[1] -

are fault tolerant; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-22[2] -

implement internal/external role separation.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing architecture and provisioning for name/address resolution - service

-

access control policy and procedures

-

information system design documentation

-

assessment results from independent, testing organizations

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation

- - - - - Session Authenticity - SC-23 - sc-23 - NIST Special Publication 800-52 - NIST Special Publication 800-77 - NIST Special Publication 800-95 - -

The information system protects the authenticity of communications sessions.

- - -

This control addresses communications protection at the session, versus packet level - (e.g., sessions in service-oriented architectures providing web-based services) and - establishes grounds for confidence at both ends of communications sessions in ongoing - identities of other parties and in the validity of information transmitted. - Authenticity protection includes, for example, protecting against man-in-the-middle - attacks/session hijacking and the insertion of false information into sessions.

- SC-8 - SC-10 - SC-11 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system protects the authenticity of communications - sessions.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing session authenticity

- - - - Invalidate Session Identifiers at Logout - SC-23(1) - sc-23.01 - -

The information system invalidates session identifiers upon user logout or other - session termination.

- - -

This control enhancement curtails the ability of adversaries from capturing and - continuing to employ previously valid session IDs.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system invalidates session identifiers upon user - logout or other session termination.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing session identifier - invalidation upon session termination

- - - - - - Fail in Known State - - - - - - - - - - SC-24 - sc-24 - -

The information system fails to a for preserving in - failure.

- - -

Failure in a known state addresses security concerns in accordance with the - mission/business needs of organizations. Failure in a known secure state helps to - prevent the loss of confidentiality, integrity, or availability of information in the - event of failures of organizational information systems or system components. Failure - in a known safe state helps to prevent systems from failing to a state that may cause - injury to individuals or destruction to property. Preserving information system state - information facilitates system restart and return to the operational mode of - organizations with less disruption of mission/business processes.

- CP-2 - CP-10 - CP-12 - SC-7 - SC-22 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-24[1] -

the organization defines a known-state to which the information system is to fail - in the event of a system failure;

- - - assessment-objective - EXAMINE - SC-24[2] -

the organization defines types of failures for which the information system is to - fail to an organization-defined known-state;

- - - assessment-objective - EXAMINE - SC-24[3] -

the organization defines system state information to be preserved in the event of - a system failure;

- - - assessment-objective - INTERVIEW - TEST - SC-24[4] -

the information system fails to the organization-defined known-state for - organization-defined types of failures; and

- - - assessment-objective - INTERVIEW - TEST - SC-24[5] -

the information system preserves the organization-defined system state information - in the event of a system failure.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing information system failure to known state

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of failures requiring information system to fail in a known state

-

state information to be preserved in system failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing fail-in-known state - capability

-

automated mechanisms preserving system state information in the event of a system - failure

- - - - - Protection of Information at Rest - - confidentiality AND integrity - - - - - SC-28 - sc-28 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - NIST Special Publication 800-111 - -

The information system protects the of .

- - SC-28 Additional FedRAMP Requirements and Guidance - - Guidance: -

The organization supports the capability to use cryptographic mechanisms to protect information at rest.

- - - - -

This control addresses the confidentiality and integrity of information at rest and - covers user information and system information. Information at rest refers to the - state of information when it is located on storage devices as specific components of - information systems. System-related information requiring protection includes, for - example, configurations or rule sets for firewalls, gateways, intrusion - detection/prevention systems, filtering routers, and authenticator content. - Organizations may employ different mechanisms to achieve confidentiality and - integrity protections, including the use of cryptographic mechanisms and file share - scanning. Integrity protection can be achieved, for example, by implementing - Write-Once-Read-Many (WORM) technologies. Organizations may also employ other - security controls including, for example, secure off-line storage in lieu of online - storage when adequate protection of information at rest cannot otherwise be achieved - and/or continuous monitoring to identify malicious code at rest.

- AC-3 - AC-6 - CA-7 - CM-3 - CM-5 - CM-6 - PE-3 - SC-8 - SC-13 - SI-3 - SI-7 - - -

Determine if:

- - SC-28[1] -

the organization defines information at rest requiring one or more of the - following:

- - SC-28[1][a] -

confidentiality protection; and/or

- - - SC-28[1][b] -

integrity protection;

- - - - SC-28[2] -

the information system protects:

- - SC-28[2][a] -

the confidentiality of organization-defined information at rest; and/or

- - - SC-28[2][b] -

the integrity of organization-defined information at rest.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

list of information at rest requiring confidentiality and integrity - protections

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing confidentiality and integrity - protections for information at rest

- - - - Cryptographic Protection - - - - - - all information system components storing customer data deemed sensitive - - SC-28(1) - sc-28.01 - -

The information system implements cryptographic mechanisms to prevent unauthorized - disclosure and modification of on .

- - -

Selection of cryptographic mechanisms is based on the need to protect the - confidentiality and integrity of organizational information. The strength of - mechanism is commensurate with the security category and/or classification of the - information. This control enhancement applies to significant concentrations of - digital media in organizational areas designated for media storage and also to - limited quantities of media generally associated with information system - components in operational environments (e.g., portable storage devices, mobile - devices). Organizations have the flexibility to either encrypt all information on - storage devices (i.e., full disk encryption) or encrypt specific data structures - (e.g., files, records, or fields). Organizations employing cryptographic - mechanisms to protect information at rest also consider cryptographic key - management solutions.

- AC-19 - SC-12 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-28(1)[1] -

the organization defines information requiring cryptographic protection;

- - - assessment-objective - EXAMINE - SC-28(1)[2] -

the organization defines information system components with - organization-defined information requiring cryptographic protection; and

- - - assessment-objective - INTERVIEW - TEST - SC-28(1)[3] -

the information system employs cryptographic mechanisms to prevent unauthorized - disclosure and modification of organization-defined information on - organization-defined information system components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms implementing confidentiality and integrity protections - for information at rest

- - - - - - Process Isolation - SC-39 - sc-39 - -

The information system maintains a separate execution domain for each executing - process.

- - -

Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies.

- AC-3 - AC-4 - AC-6 - SA-4 - SA-5 - SA-8 - SC-2 - SC-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system maintains a separate execution domain for each - executing process.

- - - EXAMINE - -

Information system design documentation

-

information system architecture

-

independent verification and validation documentation

-

testing and evaluation documentation, other relevant documents or records

- - - - INTERVIEW - -

Information system developers/integrators

-

information system security architect

- - - - TEST - -

Automated mechanisms supporting and/or implementing separate execution domains for - each executing process

- - - - - - System and Information Integrity - - System and Information Integrity Policy and Procedures - - - - - - at least annually - - - - at least annually or whenever a significant change occurs - - - SI-1 - si-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and information integrity policy ; - and

- - - 2. -

System and information integrity procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SI-1(a) - - SI-1(a)(1) - - assessment-objective - EXAMINE - SI-1(a)(1)[1] -

develops and documents a system and information integrity policy that - addresses:

- - SI-1(a)(1)[1][a] -

purpose;

- - - SI-1(a)(1)[1][b] -

scope;

- - - SI-1(a)(1)[1][c] -

roles;

- - - SI-1(a)(1)[1][d] -

responsibilities;

- - - SI-1(a)(1)[1][e] -

management commitment;

- - - SI-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SI-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SI-1(a)(1)[2] -

defines personnel or roles to whom the system and information integrity - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-1(a)(1)[3] -

disseminates the system and information integrity policy to - organization-defined personnel or roles;

- - - - SI-1(a)(2) - - assessment-objective - EXAMINE - SI-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls;

- - - assessment-objective - EXAMINE - SI-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SI-1(b) - - SI-1(b)(1) - - assessment-objective - EXAMINE - SI-1(b)(1)[1] -

defines the frequency to review and update the current system and - information integrity policy;

- - - assessment-objective - EXAMINE - SI-1(b)(1)[2] -

reviews and updates the current system and information integrity policy with - the organization-defined frequency;

- - - - SI-1(b)(2) - - assessment-objective - EXAMINE - SI-1(b)(2)[1] -

defines the frequency to review and update the current system and - information integrity procedures; and

- - - assessment-objective - EXAMINE - SI-1(b)(2)[2] -

reviews and updates the current system and information integrity procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and information integrity policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and information integrity - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Flaw Remediation - - - thirty (30) days of release of updates - - - SI-2 - si-02 - NIST Special Publication 800-40 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Identifies, reports, and corrects information system flaws;

- - - b. -

Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation;

- - - c. -

Installs security-relevant software and firmware updates within of the release of the updates; and

- - - d. -

Incorporates flaw remediation into the organizational configuration management - process.

- - - -

Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures.

- CA-2 - CA-7 - CM-3 - CM-5 - CM-8 - MA-2 - IR-4 - RA-5 - SA-10 - SA-11 - SI-11 - - -

Determine if the organization:

- - SI-2(a) - - assessment-objective - INTERVIEW - TEST - SI-2(a)[1] -

identifies information system flaws;

- - - assessment-objective - INTERVIEW - TEST - SI-2(a)[2] -

reports information system flaws;

- - - assessment-objective - INTERVIEW - TEST - SI-2(a)[3] -

corrects information system flaws;

- - - - SI-2(b) - - assessment-objective - INTERVIEW - TEST - SI-2(b)[1] -

tests software updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - assessment-objective - INTERVIEW - TEST - SI-2(b)[2] -

tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - - SI-2(c) - - assessment-objective - EXAMINE - SI-2(c)[1] -

defines the time period within which to install security-relevant software - updates after the release of the updates;

- - - assessment-objective - EXAMINE - SI-2(c)[2] -

defines the time period within which to install security-relevant firmware - updates after the release of the updates;

- - - assessment-objective - INTERVIEW - TEST - SI-2(c)[3] -

installs software updates within the organization-defined time period of the - release of the updates;

- - - assessment-objective - INTERVIEW - TEST - SI-2(c)[4] -

installs firmware updates within the organization-defined time period of the - release of the updates; and

- - - - assessment-objective - INTERVIEW - TEST - SI-2(d) -

incorporates flaw remediation into the organizational configuration management - process.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

procedures addressing configuration management

-

list of flaws and vulnerabilities potentially affecting the information system

-

list of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)

-

test results from the installation of software and firmware updates to correct - information system flaws

-

installation/change control records for security-relevant software and firmware - updates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

organizational process for installing software and firmware updates

-

automated mechanisms supporting and/or implementing reporting, and correcting - information system flaws

-

automated mechanisms supporting and/or implementing testing software and firmware - updates

- - - - Central Management - SI-2(1) - si-02.01 - -

The organization centrally manages the flaw remediation process.

- - -

Central management is the organization-wide management and implementation of flaw - remediation processes. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - flaw remediation security controls.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization centrally manages the flaw remediation process.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting centralized management of flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Organizational processes for central management of the flaw remediation - process

-

automated mechanisms supporting and/or implementing central management of the - flaw remediation process

- - - - - Automated Flaw Remediation Status - - - at least monthly - - - SI-2(2) - si-02.02 - -

The organization employs automated mechanisms to - determine the state of information system components with regard to flaw - remediation.

- - - CM-6 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-2(2)[1] -

defines a frequency to employ automated mechanisms to determine the state of - information system components with regard to flaw remediation; and

- - - assessment-objective - INTERVIEW - TEST - SI-2(2)[2] -

employs automated mechanisms with the organization-defined frequency to - determine the state of information system components with regard to flaw - remediation.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting centralized management of flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Automated mechanisms used to determine the state of information system - components with regard to flaw remediation

- - - - - Time to Remediate Flaws / Benchmarks for Corrective Actions - - - - SI-2(3) - si-02.03 - -

The organization:

- - (a) -

Measures the time between flaw identification and flaw remediation; and

- - - (b) -

Establishes for taking corrective - actions.

- - - -

This control enhancement requires organizations to determine the current time it - takes on the average to correct information system flaws after such flaws have - been identified, and subsequently establish organizational benchmarks (i.e., time - frames) for taking corrective actions. Benchmarks can be established by type of - flaw and/or severity of the potential vulnerability if the flaw can be - exploited.

- - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SI-2(3)(a) -

measures the time between flaw identification and flaw remediation;

- SI-2(3)(a) - - - SI-2(3)(b) - - assessment-objective - EXAMINE - SI-2(3)(b)[1] -

defines benchmarks for taking corrective actions; and

- - - assessment-objective - EXAMINE - SI-2(3)(b)[2] -

establishes organization-defined benchmarks for taking corrective - actions.

- - SI-2(3)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of benchmarks for taking corrective action on flaws identified

-

records providing time stamps of flaw identification and subsequent flaw - remediation activities

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

automated mechanisms used to measure the time between flaw identification and - flaw remediation

- - - - - - Malicious Code Protection - - - at least weekly - - - to include endpoints - - - to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime - - - - - - SI-3 - si-03 - NIST Special Publication 800-83 - -

The organization:

- - a. -

Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code;

- - - b. -

Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures;

- - - c. -

Configures malicious code protection mechanisms to:

- - 1. -

Perform periodic scans of the information system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in - accordance with organizational security policy; and

- - - 2. -

- in response to malicious code detection; - and

- - - - d. -

Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files.

- CM-3 - MP-2 - SA-4 - SA-8 - SA-12 - SA-13 - SC-7 - SC-26 - SC-44 - SI-2 - SI-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SI-3(a) -

employs malicious code protection mechanisms to detect and eradicate malicious - code at information system:

- - SI-3(a)[1] -

entry points;

- - - SI-3(a)[2] -

exit points;

- - - - assessment-objective - INTERVIEW - TEST - SI-3(b) -

updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1);

- - - SI-3(c) - - assessment-objective - EXAMINE - SI-3(c)[1] -

defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system;

- - - assessment-objective - EXAMINE - SI-3(c)[2] -

defines action to be initiated by malicious protection mechanisms in response - to malicious code detection;

- - - SI-3(c)[3] - - assessment-objective - INTERVIEW - TEST - SI-3(c)[3](1) -

configures malicious code protection mechanisms to:

- - SI-3(c)[3](1)[a] -

perform periodic scans of the information system with the - organization-defined frequency;

- - - SI-3(c)[3](1)[b] -

perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy;

- - - - assessment-objective - INTERVIEW - TEST - SI-3(c)[3](2) -

configures malicious code protection mechanisms to do one or more of the - following:

- - SI-3(c)[3](2)[a] -

block malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[b] -

quarantine malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[c] -

send alert to administrator in response to malicious code detection; - and/or

- - - SI-3(c)[3](2)[d] -

initiate organization-defined action in response to malicious code - detection;

- - - - - - SI-3(d) - - assessment-objective - INTERVIEW - TEST - SI-3(d)[1] -

addresses the receipt of false positives during malicious code detection and - eradication; and

- - - assessment-objective - INTERVIEW - TEST - SI-3(d)[2] -

addresses the resulting potential impact on the availability of the information - system.

- - - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures

-

procedures addressing malicious code protection

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

scan results from malicious code protection mechanisms

-

record of actions initiated by malicious code protection mechanisms in response to - malicious code detection

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for employing, updating, and configuring malicious code - protection mechanisms

-

organizational process for addressing false positives and resulting potential - impact

-

automated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms

-

automated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions

- - - - Central Management - SI-3(1) - si-03.01 - -

The organization centrally manages malicious code protection mechanisms.

- - -

Central management is the organization-wide management and implementation of - malicious code protection mechanisms. Central management includes planning, - implementing, assessing, authorizing, and monitoring the organization-defined, - centrally managed flaw malicious code protection security controls.

- AU-2 - SI-8 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization centrally manages malicious code protection - mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

automated mechanisms supporting centralized management of malicious code - protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Organizational processes for central management of malicious code protection - mechanisms

-

automated mechanisms supporting and/or implementing central management of - malicious code protection mechanisms

- - - - - Automatic Updates - SI-3(2) - si-03.02 - -

The information system automatically updates malicious code protection - mechanisms.

- - -

Malicious code protection mechanisms include, for example, signature definitions. - Due to information system integrity and availability concerns, organizations give - careful consideration to the methodology used to carry out automatic updates.

- SI-8 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system automatically updates malicious code - protection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

automated mechanisms supporting centralized management of malicious code - protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing automatic updates to - malicious code protection capability

- - - - - Nonsignature-based Detection - SI-3(7) - si-03.07 - -

The information system implements nonsignature-based malicious code detection - mechanisms.

- - -

Nonsignature-based detection mechanisms include, for example, the use of - heuristics to detect, analyze, and describe the characteristics or behavior of - malicious code and to provide safeguards against malicious code for which - signatures do not yet exist or for which existing signatures may not be effective. - This includes polymorphic malicious code (i.e., code that changes signatures when - it replicates). This control enhancement does not preclude the use of - signature-based detection mechanisms.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements non signature-based malicious code - detection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing nonsignature-based - malicious code protection capability

- - - - - - Information System Monitoring - - - - - - - - - - - - - - - - - - SI-4 - si-04 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-92 - NIST Special Publication 800-94 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Monitors the information system to detect:

- - 1. -

Attacks and indicators of potential attacks in accordance with ; and

- - - 2. -

Unauthorized local, network, and remote connections;

- - - - b. -

Identifies unauthorized use of the information system through ;

- - - c. -

Deploys monitoring devices:

- - 1. -

Strategically within the information system to collect organization-determined - essential information; and

- - - 2. -

At ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - d. -

Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion;

- - - e. -

Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - f. -

Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and

- - - g. -

Provides to - .

- - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - -

Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless.

- AC-3 - AC-4 - AC-8 - AC-17 - AU-2 - AU-6 - AU-7 - AU-9 - AU-12 - CA-7 - IR-4 - PE-3 - RA-5 - SC-7 - SC-26 - SC-35 - SI-3 - SI-7 - - -

Determine if the organization:

- - SI-4(a) - - SI-4(a)(1) - - assessment-objective - EXAMINE - SI-4(a)(1)[1] -

defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system;

- - - assessment-objective - INTERVIEW - TEST - SI-4(a)(1)[2] -

monitors the information system to detect, in accordance with - organization-defined monitoring objectives,:

- - SI-4(a)(1)[2][a] -

attacks;

- - - SI-4(a)(1)[2][b] -

indicators of potential attacks;

- - - - - assessment-objective - INTERVIEW - TEST - SI-4(a)(2) -

monitors the information system to detect unauthorized:

- - SI-4(a)(2)[1] -

local connections;

- - - SI-4(a)(2)[2] -

network connections;

- - - SI-4(a)(2)[3] -

remote connections;

- - - - - SI-4(b) - - assessment-objective - EXAMINE - SI-4(b)(1) -

defines techniques and methods to identify unauthorized use of the information - system;

- - - assessment-objective - INTERVIEW - TEST - SI-4(b)(2) -

identifies unauthorized use of the information system through - organization-defined techniques and methods;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(c) -

deploys monitoring devices:

- - SI-4(c)[1] -

strategically within the information system to collect organization-determined - essential information;

- - - SI-4(c)[2] -

at ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(d) -

protects information obtained from intrusion-monitoring tools from - unauthorized:

- - SI-4(d)[1] -

access;

- - - SI-4(d)[2] -

modification;

- - - SI-4(d)[3] -

deletion;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(e) -

heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-4(f) -

obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations;

- - - SI-4(g) - - assessment-objective - EXAMINE - SI-4(g)[1] -

defines personnel or roles to whom information system monitoring information is - to be provided;

- - - assessment-objective - EXAMINE - SI-4(g)[2] -

defines information system monitoring information to be provided to - organization-defined personnel or roles;

- - - assessment-objective - EXAMINE - SI-4(g)[3] -

defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles;

- - - assessment-objective - INTERVIEW - TEST - SI-4(g)[4] -

provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following:

- - SI-4(g)[4][a] -

as needed; and/or

- - - SI-4(g)[4][b] -

with the organization-defined frequency.

- - - - - - EXAMINE - -

Continuous monitoring strategy

-

system and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

facility diagram/layout

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

locations within information system where monitoring devices are deployed

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility monitoring the information system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system monitoring - capability

- - - - System-wide Intrusion Detection System - SI-4(1) - si-04.01 - -

The organization connects and configures individual intrusion detection tools into - an information system-wide intrusion detection system.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-4(1)[1] -

connects individual intrusion detection tools into an information system-wide - intrusion detection system; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-4(1)[2] -

configures individual intrusion detection tools into an information system-wide - intrusion detection system.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection - capability

- - - - - Automated Tools for Real-time Analysis - SI-4(2) - si-04.02 - -

The organization employs automated tools to support near real-time analysis of - events.

- - -

Automated tools include, for example, host-based, network-based, transport-based, - or storage-based event monitoring tools or Security Information and Event - Management (SIEM) technologies that provide real time analysis of alerts and/or - notifications generated by organizational information systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated tools to support near real-time - analysis of events.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for incident - response/management

- - - - TEST - -

Organizational processes for near real-time analysis of events

-

organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system - monitoring

-

automated mechanisms/tools supporting and/or implementing analysis of - events

- - - - - Inbound and Outbound Communications Traffic - - - continuously - - - SI-4(4) - si-04.04 - -

The information system monitors inbound and outbound communications traffic - for unusual or unauthorized activities or - conditions.

- - -

Unusual/unauthorized activities or conditions related to information system - inbound and outbound communications traffic include, for example, internal traffic - that indicates the presence of malicious code within organizational information - systems or propagating among system components, the unauthorized exporting of - information, or signaling to external information systems. Evidence of malicious - code is used to identify potentially compromised information systems or - information system components.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(4)[1] -

defines a frequency to monitor:

- - SI-4(4)[1][a] -

inbound communications traffic for unusual or unauthorized activities or - conditions;

- - - SI-4(4)[1][b] -

outbound communications traffic for unusual or unauthorized activities or - conditions;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(4)[2] -

monitors, with the organization-defined frequency:

- - SI-4(4)[2][a] -

inbound communications traffic for unusual or unauthorized activities or - conditions; and

- - - SI-4(4)[2][b] -

outbound communications traffic for unusual or unauthorized activities or - conditions.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection - capability/information system monitoring

-

automated mechanisms supporting and/or implementing monitoring of - inbound/outbound communications traffic

- - - - - System-generated Alerts - - - - - - - SI-4(5) - si-04.05 - -

The information system alerts when the following - indications of compromise or potential compromise occur: .

- - SI-4 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

In accordance with the incident response plan.

- - - - -

Alerts may be generated from a variety of sources, including, for example, audit - records or inputs from malicious code protection mechanisms, intrusion detection - or prevention mechanisms, or boundary protection devices such as firewalls, - gateways, and routers. Alerts can be transmitted, for example, telephonically, by - electronic mail messages, or by text messaging. Organizational personnel on the - notification list can include, for example, system administrators, - mission/business owners, system owners, or information system security - officers.

- AU-5 - PE-6 - - -

Determine if:

- - assessment-objective - EXAMINE - SI-4(5)[1] -

the organization defines compromise indicators for the information system;

- - - assessment-objective - EXAMINE - SI-4(5)[2] -

the organization defines personnel or roles to be alerted when indications of - compromise or potential compromise occur; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(5)[3] -

the information system alerts organization-defined personnel or roles when - organization-defined compromise indicators occur.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

alerts/notifications generated based on compromise indicators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing alerts for compromise - indicators

- - - - - Analyze Communications Traffic Anomalies - - - - SI-4(11) - si-04.11 - -

The organization analyzes outbound communications traffic at the external boundary - of the information system and selected to - discover anomalies.

- - -

Anomalies within organizational information systems include, for example, large - file transfers, long-time persistent connections, unusual protocols and ports in - use, and attempted communications with suspected malicious external addresses.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(11)[1] -

defines interior points within the system (e.g., subnetworks, subsystems) where - communications traffic is to be analyzed;

- - - assessment-objective - INTERVIEW - TEST - SI-4(11)[2] -

analyzes outbound communications traffic to discover anomalies at:

- - SI-4(11)[2][a] -

the external boundary of the information system; and

- - - SI-4(11)[2][b] -

selected organization-defined interior points within the system.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

network diagram

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing analysis of communications - traffic

- - - - - Wireless Intrusion Detection - - SI-4(14) - si-04.14 - -

The organization employs a wireless intrusion detection system to identify rogue - wireless devices and to detect attack attempts and potential compromises/breaches - to the information system.

- - -

Wireless signals may radiate beyond the confines of organization-controlled - facilities. Organizations proactively search for unauthorized wireless connections - including the conduct of thorough scans for unauthorized wireless access points. - Scans are not limited to those areas within facilities containing information - systems, but also include areas outside of facilities as needed, to verify that - unauthorized wireless access points are not connected to the systems.

- AC-18 - IA-3 - - -

Determine if the organization employs a wireless intrusion detection system - to:

- - assessment-objective - INTERVIEW - TEST - SI-4(14)[1] -

identify rogue wireless devices;

- - - assessment-objective - INTERVIEW - TEST - SI-4(14)[2] -

detect attack attempts to the information system; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(14)[3] -

detect potential compromises/breaches to the information system.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection

-

automated mechanisms supporting and/or implementing wireless intrusion - detection capability

- - - - - Correlate Monitoring Information - SI-4(16) - si-04.16 - -

The organization correlates information from monitoring tools employed throughout - the information system.

- - -

Correlating information from different monitoring tools can provide a more - comprehensive view of information system activity. The correlation of monitoring - tools that usually work in isolation (e.g., host monitoring, network monitoring, - anti-virus software) can provide an organization-wide view and in so doing, may - reveal otherwise unseen attack patterns. Understanding the - capabilities/limitations of diverse monitoring tools and how to maximize the - utility of information generated by those tools can help organizations to build, - operate, and maintain effective monitoring programs.

- AU-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization correlates information from monitoring tools - employed throughout the information system.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

event correlation logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing correlation of information - from monitoring tools

- - - - - Analyze Traffic / Covert Exfiltration - - - - SI-4(18) - si-04.18 - -

The organization analyzes outbound communications traffic at the external boundary - of the information system (i.e., system perimeter) and at to detect covert exfiltration of information.

- - -

Covert means that can be used for the unauthorized exfiltration of organizational - information include, for example, steganography.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(18)[1] -

defines interior points within the system (e.g., subsystems, subnetworks) where - communications traffic is to be analyzed;

- - - assessment-objective - INTERVIEW - TEST - SI-4(18)[2] -

to detect covert exfiltration of information, analyzes outbound communications - traffic at:

- - SI-4(18)[2][a] -

the external boundary of the information system (i.e., system perimeter); - and

- - - SI-4(18)[2][b] -

organization-defined interior points within the system.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

network diagram

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection/system - monitoring capability

-

automated mechanisms supporting and/or implementing analysis of outbound - communications traffic

- - - - - Individuals Posing Greater Risk - - - - - - - SI-4(19) - si-04.19 - -

The organization implements of individuals who - have been identified by as posing an increased - level of risk.

- - -

Indications of increased risk from individuals can be obtained from a variety of - sources including, for example, human resource records, intelligence agencies, law - enforcement organizations, and/or other credible sources. The monitoring of - individuals is closely coordinated with management, legal, security, and human - resources officials within organizations conducting such monitoring and complies - with federal legislation, Executive Orders, policies, directives, regulations, and - standards.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(19)[1] -

defines sources that identify individuals who pose an increased level of - risk;

- - - assessment-objective - EXAMINE - SI-4(19)[2] -

defines additional monitoring to be implemented on individuals who have been - identified by organization-defined sources as posing an increased level of - risk; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(19)[3] -

implements organization-defined additional monitoring of individuals who have - been identified by organization-defined sources as posing an increased level of - risk.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring

-

information system design documentation

-

list of individuals who have been identified as posing an increased level of - risk

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

- - - - - Privileged Users - - - - SI-4(20) - si-04.20 - -

The organization implements of privileged - users.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(20)[1] -

defines additional monitoring to be implemented on privileged users; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(20)[2] -

implements organization-defined additional monitoring of privileged users;

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

list of privileged users

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

- - - - - Unauthorized Network Services - - - - - - - - SI-4(22) - si-04.22 - -

The information system detects network services that have not been authorized or - approved by and .

- - -

Unauthorized or unapproved network services include, for example, services in - service-oriented architectures that lack organizational verification or validation - and therefore may be unreliable or serve as malicious rogues for valid - services.

- AC-6 - CM-7 - SA-5 - SA-9 - - -

Determine if:

- - assessment-objective - EXAMINE - SI-4(22)[1] -

the organization defines authorization or approval processes for network - services;

- - - assessment-objective - EXAMINE - SI-4(22)[2] -

the organization defines personnel or roles to be alerted upon detection of - network services that have not been authorized or approved by - organization-defined authorization or approval processes;

- - - assessment-objective - INTERVIEW - TEST - SI-4(22)[3] -

the information system detects network services that have not been authorized - or approved by organization-defined authorization or approval processes and - does one or more of the following:

- - SI-4(22)[3][a] -

audits; and/or

- - - SI-4(22)[3][b] -

alerts organization-defined personnel or roles.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

documented authorization/approval of network services

-

notifications or alerts of unauthorized network services

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

-

automated mechanisms for auditing network services

-

automated mechanisms for providing alerts

- - - - - Host-based Devices - - - - - - - SI-4(23) - si-04.23 - -

The organization implements at .

- - -

Information system components where host-based monitoring can be implemented - include, for example, servers, workstations, and mobile devices. Organizations - consider employing host-based monitoring mechanisms from multiple information - technology product developers.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(23)[1] -

defines host-based monitoring mechanisms to be implemented;

- - - assessment-objective - EXAMINE - SI-4(23)[2] -

defines information system components where organization-defined host-based - monitoring is to be implemented; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(23)[3] -

implements organization-defined host-based monitoring mechanisms at - organization-defined information system components.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

host-based monitoring mechanisms

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

list of information system components requiring host-based monitoring

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring information system - hosts

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing host-based monitoring - capability

- - - - - Indicators of Compromise - SI-4(24) - si-04.24 - -

The information system discovers, collects, distributes, and uses indicators of - compromise.

- - -

Indicators of compromise (IOC) are forensic artifacts from intrusions that are - identified on organizational information systems (at the host or network level). - IOCs provide organizations with valuable information on objects or information - systems that have been compromised. IOCs for the discovery of compromised hosts - can include for example, the creation of registry key values. IOCs for network - traffic include, for example, Universal Resource Locator (URL) or protocol - elements that indicate malware command and control servers. The rapid distribution - and adoption of IOCs can improve information security by reducing the time that - information systems and organizations are vulnerable to the same exploit or - attack.

- - -

Determine if the information system:

- - assessment-objective - INTERVIEW - TEST - SI-4(24)[1] -

discovers indicators of compromise;

- - - SI-4(24)[2] -

collects indicators of compromise;

- - - SI-4(24)[3] -

distributes indicators of compromise; and

- - - SI-4(24)[4] -

uses indicators of compromise.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring information system - hosts

- - - - TEST - -

Organizational processes for information system monitoring

-

organizational processes for discovery, collection, distribution, and use of - indicators of compromise

-

automated mechanisms supporting and/or implementing system monitoring - capability

-

automated mechanisms supporting and/or implementing the discovery, collection, - distribution, and use of indicators of compromise

- - - - - - Security Alerts, Advisories, and Directives - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - - - - - - - - - SI-5 - si-05 - NIST Special Publication 800-40 - -

The organization:

- - a. -

Receives information system security alerts, advisories, and directives from - on an ongoing basis;

- - - b. -

Generates internal security alerts, advisories, and directives as deemed - necessary;

- - - c. -

Disseminates security alerts, advisories, and directives to: ; and

- - - d. -

Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance.

- - - -

The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations.

- SI-2 - - -

Determine if the organization:

- - SI-5(a) - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-5(a)[1] -

defines external organizations from whom information system security alerts, - advisories and directives are to be received;

- - - assessment-objective - INTERVIEW - TEST - SI-5(a)[2] -

receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis;

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-5(b) -

generates internal security alerts, advisories, and directives as deemed - necessary;

- - - SI-5(c) - - assessment-objective - EXAMINE - SI-5(c)[1] -

defines personnel or roles to whom security alerts, advisories, and directives - are to be provided;

- - - assessment-objective - EXAMINE - SI-5(c)[2] -

defines elements within the organization to whom security alerts, advisories, - and directives are to be provided;

- - - assessment-objective - EXAMINE - SI-5(c)[3] -

defines external organizations to whom security alerts, advisories, and - directives are to be provided;

- - - assessment-objective - INTERVIEW - TEST - SI-5(c)[4] -

disseminates security alerts, advisories, and directives to one or more of the - following:

- - SI-5(c)[4][a] -

organization-defined personnel or roles;

- - - SI-5(c)[4][b] -

organization-defined elements within the organization; and/or

- - - SI-5(c)[4][c] -

organization-defined external organizations; and

- - - - - assessment-objective - INTERVIEW - TEST - SI-5(d) - - SI-5(d)[1] -

implements security directives in accordance with established time frames; - or

- - - SI-5(d)[2] -

notifies the issuing organization of the degree of noncompliance.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

records of security alerts and advisories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing security directives

- - - - Automated Alerts and Advisories - SI-5(1) - si-05.01 - -

The organization employs automated mechanisms to make security alert and advisory - information available throughout the organization.

- - -

The significant number of changes to organizational information systems and the - environments in which those systems operate requires the dissemination of - security-related information to a variety of organizational entities that have a - direct interest in the success of organizational missions and business functions. - Based on the information provided by the security alerts and advisories, changes - may be required at one or more of the three tiers related to the management of - information security risk including the governance level, mission/business - process/enterprise architecture level, and the information system level.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to make security alert - and advisory information available throughout the organization.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

information system design documentation

-

information system configuration settings and associated documentation

-

automated mechanisms supporting the distribution of security alert and advisory - information

-

records of security alerts and advisories

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external - organizations to whom alerts and advisories are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, and disseminating - security alerts and advisories

-

automated mechanisms supporting and/or implementing dissemination of security - alerts and advisories

- - - - - - Security Function Verification - - - - - - - to include upon system startup and/or restart - - - - at least monthly - - - - to include system administrators and security personnel - - - - - to include notification of system administrators and security personnel - - - SI-6 - si-06 - -

The information system:

- - a. -

Verifies the correct operation of ;

- - - b. -

Performs this verification ;

- - - c. -

Notifies of failed security verification tests; - and

- - - d. -

- when anomalies are discovered.

- - - -

Transitional states for information systems include, for example, system startup, - restart, shutdown, and abort. Notifications provided by information systems include, - for example, electronic alerts to system administrators, messages to local computer - consoles, and/or hardware indications such as lights.

- CA-7 - CM-6 - - -

Determine if:

- - SI-6(a) - - assessment-objective - EXAMINE - SI-6(a)[1] -

the organization defines security functions to be verified for correct - operation;

- - - assessment-objective - INTERVIEW - TEST - SI-6(a)[2] -

the information system verifies the correct operation of organization-defined - security functions;

- - - - SI-6(b) - - assessment-objective - EXAMINE - SI-6(b)[1] -

the organization defines system transitional states requiring verification of - organization-defined security functions;

- - - assessment-objective - EXAMINE - SI-6(b)[2] -

the organization defines a frequency to verify the correct operation of - organization-defined security functions;

- - - assessment-objective - INTERVIEW - TEST - SI-6(b)[3] -

the information system performs this verification one or more of the - following:

- - SI-6(b)[3][a] -

at organization-defined system transitional states;

- - - SI-6(b)[3][b] -

upon command by user with appropriate privilege; and/or

- - - SI-6(b)[3][c] -

with the organization-defined frequency;

- - - - - SI-6(c) - - assessment-objective - EXAMINE - SI-6(c)[1] -

the organization defines personnel or roles to be notified of failed security - verification tests;

- - - assessment-objective - INTERVIEW - TEST - SI-6(c)[2] -

the information system notifies organization-defined personnel or roles of - failed security verification tests;

- - - - SI-6(d) - - assessment-objective - EXAMINE - SI-6(d)[1] -

the organization defines alternative action(s) to be performed when anomalies - are discovered;

- - - assessment-objective - INTERVIEW - TEST - SI-6(d)[2] -

the information system performs one or more of the following actions when - anomalies are discovered:

- - SI-6(d)[2][a] -

shuts the information system down;

- - - SI-6(d)[2][b] -

restarts the information system; and/or

- - - SI-6(d)[2][c] -

performs organization-defined alternative action(s).

- - - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security function verification

-

information system design documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of failed security verification tests

-

list of system transition states requiring security functionality verification

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security function verification responsibilities

-

organizational personnel implementing, operating, and maintaining the information - system

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Organizational processes for security function verification

-

automated mechanisms supporting and/or implementing security function verification - capability

- - - - - Software, Firmware, and Information Integrity - - - - SI-7 - si-07 - NIST Special Publication 800-147 - NIST Special Publication 800-155 - -

The organization employs integrity verification tools to detect unauthorized changes - to .

- - -

Unauthorized changes to software, firmware, and information can occur due to errors - or malicious activity (e.g., tampering). Software includes, for example, operating - systems (with key internal components such as kernels, drivers), middleware, and - applications. Firmware includes, for example, the Basic Input Output System (BIOS). - Information includes metadata such as security attributes associated with - information. State-of-the-practice integrity-checking mechanisms (e.g., parity - checks, cyclical redundancy checks, cryptographic hashes) and associated tools can - automatically monitor the integrity of information systems and hosted - applications.

- SA-12 - SC-8 - SC-13 - SI-3 - - -

Determine if the organization:

- - SI-7[1] - - assessment-objective - EXAMINE - SI-7[1][a] -

defines software requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - assessment-objective - EXAMINE - SI-7[1][b] -

defines firmware requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - assessment-objective - EXAMINE - SI-7[1][c] -

defines information requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - - SI-7[2] -

employs integrity verification tools to detect unauthorized changes to - organization-defined:

- - SI-7[2][a] -

software;

- - - SI-7[2][b] -

firmware; and

- - - SI-7[2][c] -

information.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records generated/triggered from integrity verification tools regarding - unauthorized software, firmware, and information changes

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Software, firmware, and information integrity verification tools

- - - - Integrity Checks - - - - - - - selection to include security relevant events - - - - at least monthly - - - SI-7(1) - si-07.01 - -

The information system performs an integrity check of - .

- - -

Security-relevant events include, for example, the identification of a new threat - to which organizational information systems are susceptible, and the installation - of new hardware, software, or firmware. Transitional states include, for example, - system startup, restart, shutdown, and abort.

- - -

Determine if:

- - assessment-objective - EXAMINE - SI-7(1)[1] -

the organization defines:

- - SI-7(1)[1][a] -

software requiring integrity checks to be performed;

- - - SI-7(1)[1][b] -

firmware requiring integrity checks to be performed;

- - - SI-7(1)[1][c] -

information requiring integrity checks to be performed;

- - - - assessment-objective - EXAMINE - SI-7(1)[2] -

the organization defines transitional states or security-relevant events - requiring integrity checks of organization-defined:

- - SI-7(1)[2][a] -

software;

- - - SI-7(1)[2][b] -

firmware;

- - - SI-7(1)[2][c] -

information;

- - - - assessment-objective - EXAMINE - SI-7(1)[3] -

the organization defines a frequency with which to perform an integrity check - of organization-defined:

- - SI-7(1)[3][a] -

software;

- - - SI-7(1)[3][b] -

firmware;

- - - SI-7(1)[3][c] -

information;

- - - - assessment-objective - INTERVIEW - TEST - SI-7(1)[4] -

the information system performs an integrity check of organization-defined - software, firmware, and information one or more of the following:

- - SI-7(1)[4][a] -

at startup;

- - - SI-7(1)[4][b] -

at organization-defined transitional states or security-relevant events; - and/or

- - - SI-7(1)[4][c] -

with the organization-defined frequency.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

- - - - - Automated Notifications of Integrity Violations - - - - SI-7(2) - si-07.02 - -

The organization employs automated tools that provide notification to upon discovering discrepancies during integrity - verification.

- - -

The use of automated tools to report integrity violations and to notify - organizational personnel in a timely matter is an essential precursor to effective - risk response. Personnel having an interest in integrity violations include, for - example, mission/business owners, information system owners, systems - administrators, software developers, systems integrators, and information security - officers.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-7(2)[1] -

defines personnel or roles to whom notification is to be provided upon - discovering discrepancies during integrity verification; and

- - - assessment-objective - INTERVIEW - TEST - SI-7(2)[2] -

employs automated tools that provide notification to organization-defined - personnel or roles upon discovering discrepancies during integrity - verification.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

automated tools supporting alerts and notifications for integrity - discrepancies

-

alerts/notifications provided upon discovering discrepancies during integrity - verifications

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms providing integrity discrepancy notifications

- - - - - Automated Response to Integrity Violations - - - - - SI-7(5) - si-07.05 - -

The information system automatically when - integrity violations are discovered.

- - -

Organizations may define different integrity checking and anomaly responses: (i) - by type of information (e.g., firmware, software, user data); (ii) by specific - information (e.g., boot firmware, boot firmware for a specific types of machines); - or (iii) a combination of both. Automatic implementation of specific safeguards - within organizational information systems includes, for example, reversing the - changes, halting the information system, or triggering audit alerts when - unauthorized modifications to critical security files occur.

- - -

Determine if:

- - assessment-objective - EXAMINE - SI-7(5)[1] -

the organization defines security safeguards to be implemented when integrity - violations are discovered;

- - - assessment-objective - INTERVIEW - TEST - SI-7(5)[2] -

the information system automatically performs one or more of the following - actions when integrity violations are discovered:

- - SI-7(5)[2][a] -

shuts the information system down;

- - - SI-7(5)[2][b] -

restarts the information system; and/or

- - - SI-7(5)[2][c] -

implements the organization-defined security safeguards.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

records of integrity checks and responses to integrity violations

-

information audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms providing an automated response to integrity - violations

-

automated mechanisms supporting and/or implementing security safeguards to be - implemented when integrity violations are discovered

- - - - - Integration of Detection and Response - - - - SI-7(7) - si-07.07 - -

The organization incorporates the detection of unauthorized into the organizational incident response - capability.

- - -

This control enhancement helps to ensure that detected events are tracked, - monitored, corrected, and available for historical purposes. Maintaining - historical records is important both for being able to identify and discern - adversary actions over an extended period of time and for possible legal actions. - Security-relevant changes include, for example, unauthorized changes to - established configuration settings or unauthorized elevation of information system - privileges.

- IR-4 - IR-5 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-7(7)[1] -

defines unauthorized security-relevant changes to the information system; - and

- - - assessment-objective - INTERVIEW - TEST - SI-7(7)[2] -

incorporates the detection of unauthorized organization-defined - security-relevant changes to the information system into the organizational - incident response capability.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

procedures addressing incident response

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response records

-

information audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

- - - - TEST - -

Organizational processes for incorporating detection of unauthorized - security-relevant changes into the incident response capability

-

software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing incorporation of detection - of unauthorized security-relevant changes into the incident response - capability

- - - - - Binary or Machine Executable Code - SI-7(14) - si-07.14 - -

The organization:

- - (a) -

Prohibits the use of binary or machine-executable code from sources with - limited or no warranty and without the provision of source code; and

- - - (b) -

Provides exceptions to the source code requirement only for compelling - mission/operational requirements and with the approval of the authorizing - official.

- - - -

This control enhancement applies to all sources of binary or machine-executable - code including, for example, commercial software/firmware and open source - software. Organizations assess software products without accompanying source code - from sources with limited or no warranty for potential security impacts. The - assessments address the fact that these types of software products may be very - difficult to review, repair, or extend, given that organizations, in most cases, - do not have access to the original source code, and there may be no owners who - could make such repairs on behalf of organizations.

- SA-5 - - -

Determine if the organization:

- - SI-7(14)(a) - - assessment-objective - EXAMINE - SI-7(14)(a)[1] -

prohibits the use of binary or machine-executable code from sources with - limited or no warranty;

- - - assessment-objective - EXAMINE - SI-7(14)(a)[2] -

prohibits the use of binary or machine-executable code without the provision - of source code;

- - SI-7(14)(a) - - - SI-7(14)(b) - - assessment-objective - INTERVIEW - TEST - SI-7(14)(b)[1] -

provides exceptions to the source code requirement only for compelling - mission/operational requirements; and

- - - assessment-objective - INTERVIEW - TEST - SI-7(14)(b)[2] -

provides exceptions to the source code requirement only with the approval of - the authorizing official.

- - SI-7(14)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

approval records for execution of binary and machine-executable code

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

authorizing official

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing prohibition of the - execution of binary or machine-executable code

- - - - - - Spam Protection - SI-8 - si-08 - NIST Special Publication 800-45 - -

The organization:

- - a. -

Employs spam protection mechanisms at information system entry and exit points to - detect and take action on unsolicited messages; and

- - - b. -

Updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, mobile - devices, and notebook/laptop computers. Spam can be transported by different means - including, for example, electronic mail, electronic mail attachments, and web - accesses. Spam protection mechanisms include, for example, signature definitions.

- AT-2 - AT-3 - SC-5 - SC-7 - SI-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-8(a) -

employs spam protection mechanisms:

- - SI-8(a)[1] -

at information system entry points to detect unsolicited messages;

- - - SI-8(a)[2] -

at information system entry points to take action on unsolicited messages;

- - - SI-8(a)[3] -

at information system exit points to detect unsolicited messages;

- - - SI-8(a)[4] -

at information system exit points to take action on unsolicited messages; - and

- - - - assessment-objective - INTERVIEW - TEST - SI-8(b) -

updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures.

- - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures (CM-1)

-

procedures addressing spam protection

-

spam protection mechanisms

-

records of spam protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for implementing spam protection

-

automated mechanisms supporting and/or implementing spam protection

- - - - Central Management - - SI-8(1) - si-08.01 - -

The organization centrally manages spam protection mechanisms.

- - -

Central management is the organization-wide management and implementation of spam - protection mechanisms. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - spam protection security controls.

- AU-3 - SI-2 - SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization centrally manages spam protection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for central management of spam protection

-

automated mechanisms supporting and/or implementing central management of spam - protection

- - - - - Automatic Updates - - SI-8(2) - si-08.02 - -

The information system automatically updates spam protection mechanisms.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system automatically updates spam protection - mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

records of spam protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for spam protection

-

automated mechanisms supporting and/or implementing automatic updates to spam - protection mechanisms

- - - - - - Information Input Validation - - - - SI-10 - si-10 - -

The information system checks the validity of .

- - -

Checking the valid syntax and semantics of information system inputs (e.g., character - set, length, numerical range, and acceptable values) verifies that inputs match - specified definitions for format and content. Software applications typically follow - well-defined protocols that use structured messages (i.e., commands or queries) to - communicate between software modules or system components. Structured messages can - contain raw or unstructured data interspersed with metadata or control information. - If software applications use attacker-supplied inputs to construct structured - messages without properly encoding such messages, then the attacker could insert - malicious commands or special characters that can cause the data to be interpreted as - control information or metadata. Consequently, the module or component that receives - the tainted output will perform the wrong operations or otherwise interpret the data - incorrectly. Prescreening inputs prior to passing to interpreters prevents the - content from being unintentionally interpreted as commands. Input validation helps to - ensure accurate and correct inputs and prevent attacks such as cross-site scripting - and a variety of injection attacks.

- - -

Determine if:

- - assessment-objective - EXAMINE - SI-10[1] -

the organization defines information inputs requiring validity checks; and

- - - assessment-objective - INTERVIEW - TEST - SI-10[2] -

the information system checks the validity of organization-defined information - inputs.

- - - - EXAMINE - -

System and information integrity policy

-

access control policy and procedures

-

separation of duties policy and procedures

-

procedures addressing information input validation

-

documentation for automated tools and applications to verify validity of - information

-

list of information inputs requiring validity checks

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing validity checks on information - inputs

- - - - - Error Handling - - - - SI-11 - si-11 - -

The information system:

- - a. -

Generates error messages that provide information necessary for corrective actions - without revealing information that could be exploited by adversaries; and

- - - b. -

Reveals error messages only to .

- - - -

Organizations carefully consider the structure/content of error messages. The extent - to which information systems are able to identify and handle error conditions is - guided by organizational policy and operational requirements. Information that could - be exploited by adversaries includes, for example, erroneous logon attempts with - passwords entered by mistake as the username, mission/business information that can - be derived from (if not stated explicitly by) information recorded, and personal - information such as account numbers, social security numbers, and credit card - numbers. In addition, error messages may provide a covert channel for transmitting - information.

- AU-2 - AU-3 - SC-31 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - SI-11(a) -

the information system generates error messages that provide information necessary - for corrective actions without revealing information that could be exploited by - adversaries;

- - - SI-11(b) - - assessment-objective - EXAMINE - SI-11(b)[1] -

the organization defines personnel or roles to whom error messages are to be - revealed; and

- - - assessment-objective - INTERVIEW - TEST - SI-11(b)[2] -

the information system reveals error messages only to organization-defined - personnel or roles.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system error handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation providing structure/content of error messages

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for error handling

-

automated mechanisms supporting and/or implementing error handling

-

automated mechanisms supporting and/or implementing management of error - messages

- - - - - Information Handling and Retention - SI-12 - si-12 - -

The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements.

- - -

Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention.

- AC-16 - AU-5 - AU-11 - MP-2 - MP-4 - - -

Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-12[1] -

handles information within the information system;

- - - SI-12[2] -

handles output from the information system;

- - - SI-12[3] -

retains information within the information system; and

- - - SI-12[4] -

retains output from the information system.

- - - - EXAMINE - -

System and information integrity policy

-

federal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention

-

media protection policy and procedures

-

procedures addressing information system output handling and retention

-

information retention records, other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information handling and - retention

-

organizational personnel with information security responsibilities/network - administrators

- - - - TEST - -

Organizational processes for information handling and retention

-

automated mechanisms supporting and/or implementing information handling and - retention

- - - - - Memory Protection - - - - SI-16 - si-16 - -

The information system implements to protect its - memory from unauthorized code execution.

- - -

Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism.

- AC-25 - SC-3 - - -

Determine if:

- - assessment-objective - EXAMINE - SI-16[1] -

the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and

- - - assessment-objective - INTERVIEW - TEST - SI-16[2] -

the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing memory protection for the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security safeguards protecting information system memory from unauthorized - code execution

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for memory protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution

- - - - - - - 5 C.F.R. 731.106 - - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - - - - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - - - CNSS Policy 15 - - CNSS Policy 15 - - - - - DoD Information Assurance Vulnerability Alerts - - DoD Information Assurance Vulnerability Alerts - - - - DoD Instruction 5200.39 - - DoD Instruction 5200.39 - - - - - DoD Instruction 8551.01 - - DoD Instruction 8551.01 - - - - - DoD Instruction 8552.01 - - DoD Instruction 8552.01 - - - - - Executive Order 13587 - - Executive Order 13587 - - - - - Federal Acquisition Regulation - - Federal Acquisition Regulation - - - - - Federal Continuity Directive 1 - - Federal Continuity Directive 1 - - - - - FICAM Roadmap and Implementation Guidance - - FICAM Roadmap and Implementation Guidance - - - - - FIPS Publication 140 - - FIPS Publication 140 - - - - - FIPS Publication 140-2 - - FIPS Publication 140-2 - - - - - FIPS Publication 197 - - FIPS Publication 197 - - - - - FIPS Publication 199 - - FIPS Publication 199 - - - - - FIPS Publication 201 - - FIPS Publication 201 - - - - - HSPD-12 - - HSPD-12 - - - - - http://capec.mitre.org - - http://capec.mitre.org - - - - - http://checklists.nist.gov - - http://checklists.nist.gov - - - - - http://csrc.nist.gov/cryptval - - http://csrc.nist.gov/cryptval - - - - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - - - - http://cve.mitre.org - - http://cve.mitre.org - - - - - http://cwe.mitre.org - - http://cwe.mitre.org - - - - - http://fips201ep.cio.gov - - http://fips201ep.cio.gov - - - - - http://idmanagement.gov - - http://idmanagement.gov - - - - - http://nvd.nist.gov - - http://nvd.nist.gov - - - - - http://www.acquisition.gov/far - - http://www.acquisition.gov/far - - - - - http://www.cnss.gov - - http://www.cnss.gov - - - - - http://www.dhs.gov/telecommunications-service-priority-tsp - - http://www.dhs.gov/telecommunications-service-priority-tsp - - - - - http://www.niap-ccevs.org - - http://www.niap-ccevs.org - - - - - http://www.nsa.gov - - http://www.nsa.gov - - - - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - - - - http://www.us-cert.gov - - http://www.us-cert.gov - - - - - ICD 704 - - ICD 704 - - - - - ICD 705 - - ICD 705 - - - - - ISO/IEC 15408 - - ISO/IEC 15408 - - - - - National Communications Systems Directive 3-10 - - National Communications Systems Directive 3-10 - - - - National Strategy for Trusted Identities in Cyberspace - - National Strategy for Trusted Identities in Cyberspace - - - - - NIST Interagency Report 7622 - - NIST Interagency Report 7622 - - - - - NIST Special Publication 800-100 - 10.6028/NIST.SP.800-100 - - NIST Special Publication 800-100 - - - - - NIST Special Publication 800-111 - 10.6028/NIST.SP.800-111 - - NIST Special Publication 800-111 - - - - - NIST Special Publication 800-113 - 10.6028/NIST.SP.800-113 - - NIST Special Publication 800-113 - - - - - NIST Special Publication 800-114 Rev. 1 - 10.6028/NIST.SP.800-114r1 - - NIST Special Publication 800-114 Rev. 1 - - - - - NIST Special Publication 800-115 - 10.6028/NIST.SP.800-115 - - NIST Special Publication 800-115 - - - - - NIST Special Publication 800-116 Rev. 1 - 10.6028/NIST.SP.800-116r1 - - NIST Special Publication 800-116 Rev. 1 - - - - - NIST Special Publication 800-12 Rev. 1 - 10.6028/NIST.SP.800-12r1 - - NIST Special Publication 800-12 Rev. 1 - - - - - NIST Special Publication 800-121 - - NIST Special Publication 800-121 - - - - - NIST Special Publication 800-124 - - NIST Special Publication 800-124 - - - - - NIST Special Publication 800-128 - - NIST Special Publication 800-128 - - - - - NIST Special Publication 800-137 - - NIST Special Publication 800-137 - - - - - NIST Special Publication 800-147 - - NIST Special Publication 800-147 - - - - - NIST Special Publication 800-155 - - NIST Special Publication 800-155 - - - - - NIST Special Publication 800-16 - - NIST Special Publication 800-16 - - - - - NIST Special Publication 800-161 - - NIST Special Publication 800-161 - - - - - NIST Special Publication 800-164 - - NIST Special Publication 800-164 - - - - - NIST Special Publication 800-18 - - NIST Special Publication 800-18 - - - - - NIST Special Publication 800-23 - - NIST Special Publication 800-23 - - - - - NIST Special Publication 800-27 - - NIST Special Publication 800-27 - - - - - NIST Special Publication 800-28 - - NIST Special Publication 800-28 - - - - - NIST Special Publication 800-30 - - NIST Special Publication 800-30 - - - - - NIST Special Publication 800-32 - - NIST Special Publication 800-32 - - - - - NIST Special Publication 800-34 - - NIST Special Publication 800-34 - - - - - NIST Special Publication 800-35 - - NIST Special Publication 800-35 - - - - - NIST Special Publication 800-36 - - NIST Special Publication 800-36 - - - - - NIST Special Publication 800-37 - - NIST Special Publication 800-37 - - - - - NIST Special Publication 800-39 - - NIST Special Publication 800-39 - - - - - NIST Special Publication 800-40 - - NIST Special Publication 800-40 - - - - - NIST Special Publication 800-41 - - NIST Special Publication 800-41 - - - - - NIST Special Publication 800-45 - - NIST Special Publication 800-45 - - - - - NIST Special Publication 800-46 - - NIST Special Publication 800-46 - - - - - NIST Special Publication 800-47 - - NIST Special Publication 800-47 - - - - - NIST Special Publication 800-48 - - NIST Special Publication 800-48 - - - - - NIST Special Publication 800-50 - - NIST Special Publication 800-50 - - - - - NIST Special Publication 800-52 - - NIST Special Publication 800-52 - - - - - NIST Special Publication 800-53A - - NIST Special Publication 800-53A - - - - - NIST Special Publication 800-56 - - NIST Special Publication 800-56 - - - - - NIST Special Publication 800-57 - - NIST Special Publication 800-57 - - - - - NIST Special Publication 800-58 - - NIST Special Publication 800-58 - - - - - NIST Special Publication 800-60 - - NIST Special Publication 800-60 - - - - - NIST Special Publication 800-61 - - NIST Special Publication 800-61 - - - - - NIST Special Publication 800-63 - - NIST Special Publication 800-63 - - - - - NIST Special Publication 800-64 - - NIST Special Publication 800-64 - - - - - NIST Special Publication 800-65 - - NIST Special Publication 800-65 - - - - - NIST Special Publication 800-70 - - NIST Special Publication 800-70 - - - - - NIST Special Publication 800-73 - - NIST Special Publication 800-73 - - - - - NIST Special Publication 800-76 - - NIST Special Publication 800-76 - - - - - NIST Special Publication 800-77 - - NIST Special Publication 800-77 - - - - - NIST Special Publication 800-78 - - NIST Special Publication 800-78 - - - - - NIST Special Publication 800-81 - - NIST Special Publication 800-81 - - - - - NIST Special Publication 800-83 - - NIST Special Publication 800-83 - - - - - NIST Special Publication 800-84 - - NIST Special Publication 800-84 - - - - - NIST Special Publication 800-88 - - NIST Special Publication 800-88 - - - - - NIST Special Publication 800-92 - - NIST Special Publication 800-92 - - - - - NIST Special Publication 800-94 - - NIST Special Publication 800-94 - - - - - NIST Special Publication 800-95 - - NIST Special Publication 800-95 - - - - - NIST Special Publication 800-97 - - NIST Special Publication 800-97 - - - - - NSTISSI No. 7003 - - NSTISSI No. 7003 - - - - - OMB Circular A-130 - - OMB Circular A-130 - - - - - OMB Memorandum 02-01 - - OMB Memorandum 02-01 - - - - - OMB Memorandum 04-04 - - OMB Memorandum 04-04 - - - - - OMB Memorandum 05-24 - - OMB Memorandum 05-24 - - - - - OMB Memorandum 06-16 - - OMB Memorandum 06-16 - - - - - OMB Memorandum 07-11 - - OMB Memorandum 07-11 - - - - - OMB Memorandum 07-18 - - OMB Memorandum 07-18 - - - - - OMB Memorandum 08-22 - - OMB Memorandum 08-22 - - - - - OMB Memorandum 08-23 - - OMB Memorandum 08-23 - - - - - OMB Memorandum 10-06-2011 - - OMB Memorandum 10-06-2011 - - - - OMB Memorandum 11-11 - - OMB Memorandum 11-11 - - - - - OMB Memorandum 11-33 - - OMB Memorandum 11-33 - - - - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - - - US-CERT Technical Cyber Security Alerts - - US-CERT Technical Cyber Security Alerts - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_HIGH-baseline_profile.xml b/content/fedramp.gov/xml/FedRAMP_HIGH-baseline_profile.xml deleted file mode 100644 index e3e4565bfa..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_HIGH-baseline_profile.xml +++ /dev/null @@ -1,9689 +0,0 @@ - - - - - FedRAMP High Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - at least annually - - - at least annually or whenever a significant change occurs - - - monthly for privileged accessed, every six (6) months for non-privileged access - - - Selection: disables - - - 24 hours from last use - - - 35 days for user accounts - - - organization and/or service provider system owner - - - inactivity is anticipated to exceed Fifteen (15) minutes - - - disables/revokes access within a organization-specified timeframe - - - organization-defined need with justification statement that explains why such accounts are necessary - - - at a minimum, the ISSO and/or similar role within the organization - - - one (1) hour - - - all functions not publicly accessible and all security-relevant information not publicly available - - - all security functions - - - all privileged commands - - - at a minimum, annually - - - all users with privileges - - - any software except software explicitly documented - - - not more than three (3) - - - fifteen (15) minutes - - - locks the account/node for a minimum of three (3) hours or until unlocked by an administrator - - - mobile devices as defined by organization policy - - - three (3) - - - see additional Requirements and Guidance - - - see additional Requirements and Guidance - - - three (3) sessions for privileged access and two (2) sessions for non-privileged access - - - fifteen (15) minutes - - - fifteen (15) minutes - - - at least quarterly - - - at least annually or whenever a significant change occurs - - - at least annually or whenever a significant change occurs - - - at least annually - - - at least annually - - - malicious code indicators as defined by organization incident policy/capability. - - - five (5) years or 5 years after completion of a specific training program - - - at least annually - - - at least annually or whenever a significant change occurs - - - successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event - - - annually or whenever there is a change in the threat environment - - - session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands - - - all network, data storage, and computing devices - - - organization-defined actions to be taken (overwrite oldest record) - - - real-time - - - service provider personnel with authority to address failed audit events - - - audit failure events requiring real-time alerts, as defined by organization audit policy - - - at least weekly - - - Possibly to include penetration test data. - - - information system process; role; user - - - one second granularity of time measurement - - - At least hourly - - - http://tf.nist.gov/tf-cgi/servers.cgi - - - at least weekly - - - minimum actions including the addition, modification, deletion, approval, sending, or receiving of data - - - at least one (1) year - - - all information system and network components where audit capability is deployed/available - - - all network, data storage, and computing devices - - - service provider-defined individuals or roles with audit configuration responsibilities - - - all network, data storage, and computing devices - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - at least annually - - - any FedRAMP Accredited 3PAO - - - any FedRAMP Accredited 3PAO - - - the conditions of the JAB/AO in the FedRAMP Repository - - - At least annually and on input from FedRAMP - - - boundary protections which meet the Trusted Internet Connection (TIC) requirements - - - deny-all, permit by exception - - - any systems - - - at least monthly - - - at least every three (3) years or when a significant change occurs - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - at least annually - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually or when a significant change occurs - - - to include when directed by the JAB - - - organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components - - - organization agreed upon time period - - - organization defined configuration management approval authorities - - - Configuration control board (CCB) or similar (as defined in CM-3) - - - All security safeguards that rely on cryptography - - - at least every thirty (30) days - - - at least quarterly - - - -

See CM-6(a) Additional FedRAMP Requirements and Guidance

- - - - United States Government Configuration Baseline (USGCB) - - - at least monthly - - - at least quarterly or when there is a change - - - at least monthly - - - Continuously, using automated mechanisms with a maximum five-minute delay in detection. - - - position and role - - - Continuously (via CM-7 (5)) - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - time period defined in service provider and organization SLA - - - ten (10) days - - - at least annually - - - at least annually - - - functional exercises - - - annually - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - at least monthly - - - time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA - - - time period consistent with the restoration time-periods defined in the service provider and organization SLA - - - at least annually - - - at least annually or whenever a significant change occurs - - - FIPS 140-2, NIAP Certification, or NSA approval - - - at a minimum, the ISSO (or similar role within the organization) - - - at least two (2) years - - - thirty-five (35) days (See additional requirements and guidance.) - - - contractors; foreign nationals] - - - at least fifty percent (50%) - - - twenty four (24) - - - All hardware/biometric (multifactor authenticators) - - - in person - - - complexity as identified in IA-5 (1) Control Enhancement Part (a) - - - different authenticators on different systems - - - at least annually - - - at least annually or whenever a significant change occurs - - - within ten (10) days - - - at least annually - - - at least every six (6) months - - - all network, data storage, and computing devices - - - external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT) - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - at least annually - - - at least annually or whenever a significant change occurs - - - the information owner explicitly authorizing removal of the equipment from the facility - - - at least annually - - - at least annually or whenever a significant change occurs - - - any digital and non-digital media deemed sensitive - - - no removable media types - - - organization-defined security safeguards not applicable - - - all types of digital and non-digital media with sensitive information - - - see additional FedRAMP requirements and guidance - - - all media with sensitive information - - - prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container - - - techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations - - - at least every six (6) months - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least every ninety (90) days - - - CSP defined physical access control systems/devices AND guards - - - CSP defined physical access control systems/devices - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - at least monthly - - - for a minimum of one (1) year - - - at least monthly - - - service provider building maintenance/physical security personnel - - - service provider emergency responders with incident response responsibilities - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - service provider building maintenance/physical security personnel - - - all information system components - - - physical and environmental hazards identified during threat assessment - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - annually - - - at least annually or when a significant change occurs - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - - - personnel screening criteria - as required by specific information - - - eight (8) hours - - - access control personnel responsible for disabling access to the system - - - twenty-four (24) hours - - - twenty-four (24) hours - - - at least annually - - - at least annually and any time there is a change to the user's level of access - - - terminations: immediately; transfers: within twenty-four (24) hours - - - at a minimum, the ISSO and/or similar role within the organization - - - at least annually - - - at least annually or whenever a significant change occurs - - - security assessment report - - - at least annually or whenever a significant change occurs - - - annually - - - monthly operating system/infrastructure; monthly web applications and databases - - - high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - prior to a new scan - - - notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions - - - operating systems / web applications / databases - - - all scans - - - at least annually - - - at least annually or whenever a significant change occurs - - - at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information] - - - at least the minimum requirement as defined in control CA-7 - - - at a minimum, the ISSO (or similar role within the organization) - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - information processing, information data, AND information services - - - U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction - - - all High Impact Data, Systems, or Services - - - development, implementation, AND operation - - - organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures - - - as needed and as dictated by the current threat posture - - - organization and service provider- defined security requirements - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions - - - Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall - - - confidentiality AND integrity - - - prevent unauthorized disclosure of information AND detect changes to information - - - a hardened or alarmed carrier Protective Distribution System (PDS) - - - no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions - - - NIST FIPS-compliant - - - FIPS-validated or NSA-approved cryptography - - - no exceptions - - - confidentiality AND integrity - - - all information system components storing customer data deemed sensitive - - - at least annually - - - at least annually or whenever a significant change occurs - - - thirty (30) days of release of updates - - - at least monthly - - - at least weekly - - - to include endpoints - - - to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime - - - continuously - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - to include upon system startup and/or restart - - - at least monthly - - - to include system administrators and security personnel - - - to include notification of system administrators and security personnel - - - selection to include security relevant events - - - at least monthly - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-12 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (10) Additional FedRAMP Requirements and Guidance - - Guidance: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (12) Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Required for privileged accounts.

- - - (b) Guidance: -

Required for privileged accounts.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (3) Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

Should use a shorter timeframe than AC-12.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (9) Additional FedRAMP Requirements and Guidance - - Guidance: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AC-6 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - AU-2 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AU-3 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines audit record types [FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]. The audit record types are approved and accepted by the JAB/AO.

- - - Guidance: -

For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 (6) Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-8 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.

- - - Requirement: -

The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.

- - - Guidance: -

Synchronization of system clocks improves the accuracy of log analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-2 (2) Additional FedRAMP Requirements and Guidance - - Requirement: -

To include 'announced', 'vulnerability scanning'

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-3 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document.

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-3 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-8 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance https://www.FedRAMP.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-3 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - (e) Guidance: -

In accordance with record retention policies and procedures.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-5 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. Partially derived from AC-17(8).

- - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-7 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-7 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - CP-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-2 (11) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link https://pages.nist.gov/800-63-3.

- - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - - (a) (d) Guidance: -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - - IA-5 (4) Additional FedRAMP Requirements and Guidance - - Guidance: -

If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IR-3 Additional FedRAMP Requirements and Guidance - - IR-3 -2 Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - MP-3 Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Second parameter not-applicable

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-4 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines controlled areas within facilities where the information and information system reside.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-5 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-6 (2) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

Equipment and procedures may be tested or validated for effectiveness

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - PL-8(b) Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - RA-5 (10) Additional FedRAMP Requirements and Guidance - - Guidance: -

If multiple tools are not used, this control is not applicable.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5 (6) Additional FedRAMP Requirements and Guidance - - Guidance: -

Include in Continuous Monitoring ISSO digest/report to JAB/AO

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - RA-5 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

This enhancement is required for all high vulnerability scan findings.

- - - Guidance: -

While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - SA-10 Additional FedRAMP Requirements and Guidance - - (e) Requirement: -

For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-11 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SA-11 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 (8) Additional FedRAMP Requirements and Guidance - - Guidance: -

CSP must use the same security standards regardless of where the system component or information system service is acquired.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-28 Additional FedRAMP Requirements and Guidance - - Guidance: -

The organization supports the capability to use cryptographic mechanisms to protect information at rest.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-7 (13) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

- - - Guidance: -

Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SI-4 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

In accordance with the incident response plan.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog.xml b/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog.xml deleted file mode 100644 index 2165714969..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog.xml +++ /dev/null @@ -1,17511 +0,0 @@ - - - - FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - 2020-02-02T00:00:00.000-05:00 - 2020-06-01T10:00:00.000-05:00 - 1.2 - 1.0.0-milestone3 - 2020-08-31T17:38:37.186738Z - FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - Access Control - - Access Control Policy and Procedures - - - - - - - - - - AC-1 - ac-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the access control policy and - associated access controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Access control policy ; and

- - - 2. -

Access control procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AC-1(a) - - AC-1(a)(1) - - AC-1(a)(1)[1] -

develops and documents an access control policy that addresses:

- - AC-1(a)(1)[1][a] -

purpose;

- - - AC-1(a)(1)[1][b] -

scope;

- - - AC-1(a)(1)[1][c] -

roles;

- - - AC-1(a)(1)[1][d] -

responsibilities;

- - - AC-1(a)(1)[1][e] -

management commitment;

- - - AC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AC-1(a)(1)[1][g] -

compliance;

- - - - AC-1(a)(1)[2] -

defines personnel or roles to whom the access control policy are to be - disseminated;

- - - AC-1(a)(1)[3] -

disseminates the access control policy to organization-defined personnel or - roles;

- - - - AC-1(a)(2) - - AC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls;

- - - AC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - AC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AC-1(b) - - AC-1(b)(1) - - AC-1(b)(1)[1] -

defines the frequency to review and update the current access control - policy;

- - - AC-1(b)(1)[2] -

reviews and updates the current access control policy with the - organization-defined frequency;

- - - - AC-1(b)(2) - - AC-1(b)(2)[1] -

defines the frequency to review and update the current access control - procedures; and

- - - AC-1(b)(2)[2] -

reviews and updates the current access control procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Access control policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Account Management - - - - - - - - - - - - - AC-2 - ac-02 - ASSESS - -

The organization:

- - a. -

Identifies and selects the following types of information system accounts to - support organizational missions/business functions: ;

- - - f. -

Creates, enables, modifies, disables, and removes information system accounts in - accordance with ;

- - - g. -

Monitors the use of information system accounts;

- - - h. -

Notifies account managers:

- - 1. -

When accounts are no longer required;

- - - 2. -

When users are terminated or transferred; and

- - - 3. -

When individual information system usage or need-to-know changes;

- - - - -

Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training.

- AC-3 - AC-4 - AC-5 - AC-6 - AC-10 - AC-17 - AC-19 - AC-20 - AU-9 - IA-2 - IA-4 - IA-5 - IA-8 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PL-4 - SC-13 - - -

Determine if the organization:

- - AC-2(a) - - AC-2(a)[1] -

defines information system account types to be identified and selected to - support organizational missions/business functions;

- - - AC-2(a)[2] -

identifies and selects organization-defined information system account types to - support organizational missions/business functions;

- - - - AC-2(b) -

assigns account managers for information system accounts;

- - - AC-2(c) -

establishes conditions for group and role membership;

- - - AC-2(d) -

specifies for each account (as required):

- - AC-2(d)[1] -

authorized users of the information system;

- - - AC-2(d)[2] -

group and role membership;

- - - AC-2(d)[3] -

access authorizations (i.e., privileges);

- - - AC-2(d)[4] -

other attributes;

- - - - AC-2(e) - - AC-2(e)[1] -

defines personnel or roles required to approve requests to create information - system accounts;

- - - AC-2(e)[2] -

requires approvals by organization-defined personnel or roles for requests to - create information system accounts;

- - - - AC-2(f) - - AC-2(f)[1] -

defines procedures or conditions to:

- - AC-2(f)[1][a] -

create information system accounts;

- - - AC-2(f)[1][b] -

enable information system accounts;

- - - AC-2(f)[1][c] -

modify information system accounts;

- - - AC-2(f)[1][d] -

disable information system accounts;

- - - AC-2(f)[1][e] -

remove information system accounts;

- - - - AC-2(f)[2] -

in accordance with organization-defined procedures or conditions:

- - AC-2(f)[2][a] -

creates information system accounts;

- - - AC-2(f)[2][b] -

enables information system accounts;

- - - AC-2(f)[2][c] -

modifies information system accounts;

- - - AC-2(f)[2][d] -

disables information system accounts;

- - - AC-2(f)[2][e] -

removes information system accounts;

- - - - - AC-2(g) -

monitors the use of information system accounts;

- - - AC-2(h) -

notifies account managers:

- - AC-2(h)(1) -

when accounts are no longer required;

- - - AC-2(h)(2) -

when users are terminated or transferred;

- - - AC-2(h)(3) -

when individual information system usage or need to know changes;

- - - - AC-2(i) -

authorizes access to the information system based on;

- - AC-2(i)(1) -

a valid access authorization;

- - - AC-2(i)(2) -

intended system usage;

- - - AC-2(i)(3) -

other attributes as required by the organization or associated - missions/business functions;

- - - - AC-2(j) - - AC-2(j)[1] -

defines the frequency to review accounts for compliance with account management - requirements;

- - - AC-2(j)[2] -

reviews accounts for compliance with account management requirements with the - organization-defined frequency; and

- - - - AC-2(k) -

establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of active system accounts along with the name of the individual associated - with each account

-

list of conditions for group and role membership

-

notifications or records of recently transferred, separated, or terminated - employees

-

list of recently disabled information system accounts along with the name of the - individual associated with each account

-

access authorization records

-

account management compliance reviews

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes account management on the information system

-

automated mechanisms for implementing account management

- - - - AC-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored - for LI-SaaS.

- - - - - Access Enforcement - AC-3 - ac-03 - ASSESS - -

The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies.

- - -

Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security.

- AC-2 - AC-4 - AC-5 - AC-6 - AC-16 - AC-17 - AC-18 - AC-19 - AC-20 - AC-21 - AC-22 - AU-9 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PE-3 - - -

Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies.

- - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of approved authorizations (user privileges)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy

- - - - - Unsuccessful Logon Attempts - - - - - - - - - - - - - - AC-7 - ac-07 - NSO - ATTEST - -

The information system:

- - a. -

Enforces a limit of consecutive invalid logon - attempts by a user during a ; and

- - - b. -

Automatically when the maximum number of - unsuccessful attempts is exceeded.

- - - -

This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels.

- AC-2 - AC-9 - AC-14 - IA-5 - - -

Determine if:

- - AC-7(a) - - AC-7(a)[1] -

the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period;

- - - AC-7(a)[2] -

the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts;

- - - AC-7(a)[3] -

the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period;

- - - - AC-7(b) - - AC-7(b)[1] -

the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded;

- - - AC-7(b)[2] -

the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically:

- - AC-7(b)[2][a] -

locks the account/node for the organization-defined time period;

- - - AC-7(b)[2][b] -

locks the account/node until released by an administrator; or

- - - AC-7(b)[2][c] -

delays next logon prompt according to the organization-defined delay - algorithm.

- - - - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful logon attempts

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful logon - attempts

- - - -

NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication.

- - - - System Use Notification - - - - - - - AC-8 - ac-08 - FED - -

The information system:

- - a. -

Displays to users before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that:

- - 1. -

Users are accessing a U.S. Government information system;

- - - 2. -

Information system usage may be monitored, recorded, and subject to audit;

- - - 3. -

Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and

- - - 4. -

Use of the information system indicates consent to monitoring and - recording;

- - - - b. -

Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and

- - - c. -

For publicly accessible systems:

- - 1. -

Displays system use information , before - granting further access;

- - - 2. -

Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and

- - - 3. -

Includes a description of the authorized uses of the system.

- - - - -

System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content.

- - -

Determine if:

- - AC-8(a) - - AC-8(a)[1] -

the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system;

- - - AC-8(a)[2] -

the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that:

- - AC-8(a)[2](1) -

users are accessing a U.S. Government information system;

- - - AC-8(a)[2](2) -

information system usage may be monitored, recorded, and subject to - audit;

- - - AC-8(a)[2](3) -

unauthorized use of the information system is prohibited and subject to - criminal and civil penalties;

- - - AC-8(a)[2](4) -

use of the information system indicates consent to monitoring and - recording;

- - - - - AC-8(b) -

the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system;

- - - AC-8(c) -

for publicly accessible systems:

- - AC-8(c)(1) - - AC-8(c)(1)[1] -

the organization defines conditions for system use to be displayed by the - information system before granting further access;

- - - AC-8(c)(1)[2] -

the information system displays organization-defined conditions before - granting further access;

- - - - AC-8(c)(2) -

the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and

- - - AC-8(c)(3) -

the information system includes a description of the authorized uses of the - system.

- - - - - EXAMINE - -

Access control policy

-

privacy and security policies, procedures addressing system use notification

-

documented approval of information system use notification messages or banners

-

information system audit records

-

user acknowledgements of notification message or banner

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system use notification messages

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for providing legal advice

-

system developers

- - - - TEST - -

Automated mechanisms implementing system use notification

- - - -

FED - This is related to agency data and agency policy solution.

- - - - Permitted Actions Without Identification or Authentication - - - - AC-14 - ac-14 - FED - -

The organization:

- - a. -

Identifies that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - b. -

Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - -

This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none.

- CP-2 - IA-2 - - -

Determine if the organization:

- - AC-14(a) - - AC-14(a)[1] -

defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions;

- - - AC-14(a)[2] -

identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - - AC-14(b) -

documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - - EXAMINE - -

Access control policy

-

procedures addressing permitted actions without identification or - authentication

-

information system configuration settings and associated documentation

-

security plan

-

list of user actions that can be performed without identification or - authentication

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - -

FED - This is related to agency data and agency policy solution.

- - - - Remote Access - AC-17 - ac-17 - ASSESS - NIST Special Publication 800-46 - NIST Special Publication 800-77 - NIST Special Publication 800-113 - NIST Special Publication 800-114 - NIST Special Publication 800-121 - -

The organization:

- - a. -

Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and

- - - b. -

Authorizes remote access to the information system prior to allowing such - connections.

- - - -

Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3.

- AC-2 - AC-3 - AC-18 - AC-19 - AC-20 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - MA-4 - PE-17 - PL-4 - SC-10 - SI-4 - - -

Determine if the organization:

- - AC-17(a) - - AC-17(a)[1] -

identifies the types of remote access allowed to the information system;

- - - AC-17(a)[2] -

establishes for each type of remote access allowed:

- - AC-17(a)[2][a] -

usage restrictions;

- - - AC-17(a)[2][b] -

configuration/connection requirements;

- - - AC-17(a)[2][c] -

implementation guidance;

- - - - AC-17(a)[3] -

documents for each type of remote access allowed:

- - AC-17(a)[3][a] -

usage restrictions;

- - - AC-17(a)[3][b] -

configuration/connection requirements;

- - - AC-17(a)[3][c] -

implementation guidance; and

- - - - - AC-17(b) -

authorizes remote access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system configuration settings and associated documentation

-

remote access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing remote access - connections

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Remote access management capability for the information system

- - - - - Wireless Access - AC-18 - ac-18 - NSO - NIST Special Publication 800-48 - NIST Special Publication 800-94 - NIST Special Publication 800-97 - -

The organization:

- - a. -

Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and

- - - b. -

Authorizes wireless access to the information system prior to allowing such - connections.

- - - -

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication.

- AC-2 - AC-3 - AC-17 - AC-19 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - PL-4 - SI-4 - - -

Determine if the organization:

- - AC-18(a) -

establishes for wireless access:

- - AC-18(a)[1] -

usage restrictions;

- - - AC-18(a)[2] -

configuration/connection requirement;

- - - AC-18(a)[3] -

implementation guidance; and

- - - - AC-18(b) -

authorizes wireless access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

wireless access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing wireless access - connections

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access management capability for the information system

- - - -

NSO - All access to Cloud SaaS are via web services and/or API. The device - accessed from or whether via wired or wireless connection is out of scope. - Regardless of device accessed from, must utilize approved remote access methods - (AC-17), secure communication with strong encryption (SC-13), key management - (SC-12), and multi-factor authentication for privileged access (IA-2[1]).

- - - - Access Control for Mobile Devices - AC-19 - ac-19 - NSO - OMB Memorandum 06-16 - NIST Special Publication 800-114 - NIST Special Publication 800-124 - NIST Special Publication 800-164 - -

The organization:

- - a. -

Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and

- - - b. -

Authorizes the connection of mobile devices to organizational information - systems.

- - - -

A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled.

- AC-3 - AC-7 - AC-18 - AC-20 - CA-9 - CM-2 - IA-2 - IA-3 - MP-2 - MP-4 - MP-5 - PL-4 - SC-7 - SC-43 - SI-3 - SI-4 - - -

Determine if the organization:

- - AC-19(a) -

establishes for organization-controlled mobile devices:

- - AC-19(a)[1] -

usage restrictions;

- - - AC-19(a)[2] -

configuration/connection requirement;

- - - AC-19(a)[3] -

implementation guidance; and

- - - - AC-19(b) -

authorizes the connection of mobile devices to organizational information - systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile device usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

authorizations for mobile device connections to organizational information - systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel using mobile devices to access organizational information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Access control capability authorizing mobile device connections to organizational - information systems

- - - -

NSO - All access to Cloud SaaS are via web service and/or API. The device accessed - from is out of the scope. Regardless of device accessed from, must utilize - approved remote access methods (AC-17), secure communication with strong - encryption (SC-13), key management (SC-12), and multi-factor authentication for - privileged access (IA-2 [1]).

- - - - Use of External Information Systems - AC-20 - ac-20 - ATTEST - FIPS Publication 199 - -

The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - a. -

Access the information system from external information systems; and

- - - b. -

Process, store, or transmit organization-controlled information using external - information systems.

- - - -

External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems.

- AC-3 - AC-17 - AC-19 - CA-3 - PL-4 - SA-9 - - -

Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - AC-20(a) -

access the information system from the external information systems; and

- - - AC-20(b) -

process, store, or transmit organization-controlled information using external - information systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

external information systems terms and conditions

-

list of types of applications accessible from external information systems

-

maximum security categorization for information processed, stored, or transmitted - on external information systems

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing terms and conditions on use of external - information systems

- - - - - Publicly Accessible Content - - - at least quarterly - - AC-22 - ac-22 - ASSESS - -

The organization:

- - a. -

Designates individuals authorized to post information onto a publicly accessible - information system;

- - - b. -

Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - c. -

Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and

- - - d. -

Reviews the content on the publicly accessible information system for nonpublic - information and removes such information, if - discovered.

- - - -

In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy.

- AC-3 - AC-4 - AT-2 - AT-3 - AU-13 - - -

Determine if the organization:

- - AC-22(a) -

designates individuals authorized to post information onto a publicly accessible - information system;

- - - AC-22(b) -

trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - AC-22(c) -

reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included;

- - - AC-22(d) - - AC-22(d)[1] -

defines the frequency to review the content on the publicly accessible - information system for nonpublic information;

- - - AC-22(d)[2] -

reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and

- - - AC-22(d)[3] -

removes nonpublic information from the publicly accessible information system, - if discovered.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing publicly accessible content

-

list of users authorized to post publicly accessible content on organizational - information systems

-

training materials and/or records

-

records of publicly accessible information reviews

-

records of response to nonpublic information on public websites

-

system audit logs

-

security awareness training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of publicly accessible content

- - - - - - Awareness and Training - - Security Awareness and Training Policy and Procedures - - - - - - - - - - AT-1 - at-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security awareness and training policy ; and

- - - 2. -

Security awareness and training procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AT-1(a) - - AT-1(a)(1) - - AT-1(a)(1)[1] -

develops and documents an security awareness and training policy that - addresses:

- - AT-1(a)(1)[1][a] -

purpose;

- - - AT-1(a)(1)[1][b] -

scope;

- - - AT-1(a)(1)[1][c] -

roles;

- - - AT-1(a)(1)[1][d] -

responsibilities;

- - - AT-1(a)(1)[1][e] -

management commitment;

- - - AT-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AT-1(a)(1)[1][g] -

compliance;

- - - - AT-1(a)(1)[2] -

defines personnel or roles to whom the security awareness and training - policy are to be disseminated;

- - - AT-1(a)(1)[3] -

disseminates the security awareness and training policy to - organization-defined personnel or roles;

- - - - AT-1(a)(2) - - AT-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls;

- - - AT-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - AT-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AT-1(b) - - AT-1(b)(1) - - AT-1(b)(1)[1] -

defines the frequency to review and update the current security awareness - and training policy;

- - - AT-1(b)(1)[2] -

reviews and updates the current security awareness and training policy with - the organization-defined frequency;

- - - - AT-1(b)(2) - - AT-1(b)(2)[1] -

defines the frequency to review and update the current security awareness - and training procedures; and

- - - AT-1(b)(2)[2] -

reviews and updates the current security awareness and training procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Security awareness and training policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security awareness and training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Awareness Training - - - - AT-2 - at-02 - ATTEST - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - Executive Order 13587 - NIST Special Publication 800-50 - -

The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors):

- - a. -

As part of initial training for new users;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events.

- AT-3 - AT-4 - PL-4 - - -

Determine if the organization:

- - AT-2(a) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users;

- - - AT-2(b) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and

- - - AT-2(c) - - AT-2(c)[1] -

defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and

- - - AT-2(c)[2] -

provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

appropriate codes of federal regulations

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for security awareness training

-

organizational personnel with information security responsibilities

-

organizational personnel comprising the general information system user - community

- - - - TEST - -

Automated mechanisms managing security awareness training

- - - - - Role-based Security Training - - - - AT-3 - at-03 - ATTEST - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides role-based security training to personnel with assigned - security roles and responsibilities:

- - a. -

Before authorizing access to the information system or performing assigned - duties;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies.

- AT-2 - AT-4 - PL-4 - PS-7 - SA-3 - SA-12 - SA-16 - - -

Determine if the organization:

- - AT-3(a) -

provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties;

- - - AT-3(b) -

provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and

- - - AT-3(c) - - AT-3(c)[1] -

defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and

- - - AT-3(c)[2] -

provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

codes of federal regulations

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with assigned information system security roles and - responsibilities

- - - - TEST - -

Automated mechanisms managing role-based security training

- - - - - Security Training Records - - - - AT-4 - at-04 - ATTEST - -

The organization:

- - a. -

Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and

- - - b. -

Retains individual training records for .

- - - -

Documentation for specialized training may be maintained by individual supervisors at - the option of the organization.

- AT-2 - AT-3 - PM-14 - - -

Determine if the organization:

- - AT-4(a) - - AT-4(a)[1] -

documents individual information system security training activities - including:

- - AT-4(a)[1][a] -

basic security awareness training;

- - - AT-4(a)[1][b] -

specific role-based information system security training;

- - - - AT-4(a)[2] -

monitors individual information system security training activities - including:

- - AT-4(a)[2][a] -

basic security awareness training;

- - - AT-4(a)[2][b] -

specific role-based information system security training;

- - - - - AT-4(b) - - AT-4(b)[1] -

defines a time period to retain individual training records; and

- - - AT-4(b)[2] -

retains individual training records for the organization-defined time - period.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training records

-

security awareness and training records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security training record retention - responsibilities

- - - - TEST - -

Automated mechanisms supporting management of security training records

- - - - - - Audit and Accountability - - Audit and Accountability Policy and Procedures - - - - - - - - - - AU-1 - au-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Audit and accountability policy ; and

- - - 2. -

Audit and accountability procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AU-1(a) - - AU-1(a)(1) - - AU-1(a)(1)[1] -

develops and documents an audit and accountability policy that - addresses:

- - AU-1(a)(1)[1][a] -

purpose;

- - - AU-1(a)(1)[1][b] -

scope;

- - - AU-1(a)(1)[1][c] -

roles;

- - - AU-1(a)(1)[1][d] -

responsibilities;

- - - AU-1(a)(1)[1][e] -

management commitment;

- - - AU-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AU-1(a)(1)[1][g] -

compliance;

- - - - AU-1(a)(1)[2] -

defines personnel or roles to whom the audit and accountability policy are - to be disseminated;

- - - AU-1(a)(1)[3] -

disseminates the audit and accountability policy to organization-defined - personnel or roles;

- - - - AU-1(a)(2) - - AU-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls;

- - - AU-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - AU-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AU-1(b) - - AU-1(b)(1) - - AU-1(b)(1)[1] -

defines the frequency to review and update the current audit and - accountability policy;

- - - AU-1(b)(1)[2] -

reviews and updates the current audit and accountability policy with the - organization-defined frequency;

- - - - AU-1(b)(2) - - AU-1(b)(2)[1] -

defines the frequency to review and update the current audit and - accountability procedures; and

- - - AU-1(b)(2)[2] -

reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency.

- - - - - - EXAMINE - -

Audit and accountability policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - - Audit Events - - - - - - - AU-2 - au-02 - ATTEST - NIST Special Publication 800-92 - http://idmanagement.gov - -

The organization:

- - a. -

Determines that the information system is capable of auditing the following - events: ;

- - - b. -

Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - c. -

Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and

- - - d. -

Determines that the following events are to be audited within the information - system: .

- - - -

An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures.

- AC-6 - AC-17 - AU-3 - AU-12 - MA-4 - MP-2 - MP-4 - SI-4 - - -

Determine if the organization:

- - AU-2(a) - - AU-2(a)[1] -

defines the auditable events that the information system must be capable of - auditing;

- - - AU-2(a)[2] -

determines that the information system is capable of auditing - organization-defined auditable events;

- - - - AU-2(b) -

coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - AU-2(c) -

provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents;

- - - AU-2(d) - - AU-2(d)[1] -

defines the subset of auditable events defined in AU-2a that are to be audited - within the information system;

- - - AU-2(d)[2] -

determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and

- - - AU-2(d)[3] -

determines the frequency of (or situation requiring) auditing for each - identified event.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system auditable events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing

- - - - - Content of Audit Records - AU-3 - au-03 - ASSESS - -

The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event.

- - -

Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred).

- AU-2 - AU-8 - AU-12 - SI-11 - - -

Determine if the information system generates audit records containing information - that establishes:

- - AU-3[1] -

what type of event occurred;

- - - AU-3[2] -

when the event occurred;

- - - AU-3[3] -

where the event occurred;

- - - AU-3[4] -

the source of the event;

- - - AU-3[5] -

the outcome of the event; and

- - - AU-3[6] -

the identity of any individuals or subjects associated with the event.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing of auditable - events

- - - - - Audit Storage Capacity - - - - AU-4 - au-04 - NSO - -

The organization allocates audit record storage capacity in accordance with .

- - -

Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability.

- AU-2 - AU-5 - AU-6 - AU-7 - AU-11 - SI-4 - - -

Determine if the organization:

- - AU-4[1] -

defines audit record storage requirements; and

- - - AU-4[2] -

allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit storage capacity

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit record storage requirements

-

audit record storage capability for information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Audit record storage capacity and related configuration settings

- - - -

NSO - Loss of availability of the audit data has been determined to have little or - no impact to government business/mission needs.

- - - - Response to Audit Processing Failures - - - - - - organization-defined actions to be taken (overwrite oldest record) - - AU-5 - au-05 - ASSESS - -

The information system:

- - a. -

Alerts in the event of an audit processing - failure; and

- - - b. -

Takes the following additional actions: .

- - - -

Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both.

- AU-4 - SI-12 - - -

Determine if:

- - AU-5(a) - - AU-5(a)[1] -

the organization defines the personnel or roles to be alerted in the event of - an audit processing failure;

- - - AU-5(a)[2] -

the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure;

- - - - AU-5(b) - - AU-5(b)[1] -

the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and

- - - AU-5(b)[2] -

the information system takes the additional organization-defined actions in the - event of an audit processing failure.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

list of personnel to be notified in case of an audit processing failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing information system response to audit processing - failures

- - - - - Audit Review, Analysis, and Reporting - - - at least weekly - - - - - - - - AU-6 - au-06 - ASSESS - -

The organization:

- - a. -

Reviews and analyzes information system audit records for indications of ; - and

- - - b. -

Reports findings to .

- - - -

Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority.

- AC-2 - AC-3 - AC-6 - AC-17 - AT-3 - AU-7 - AU-16 - CA-7 - CM-5 - CM-10 - CM-11 - IA-3 - IA-5 - IR-5 - IR-6 - MA-4 - MP-4 - PE-3 - PE-6 - PE-14 - PE-16 - RA-5 - SC-7 - SC-18 - SC-19 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - AU-6(a) - - AU-6(a)[1] -

defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed;

- - - AU-6(a)[2] -

defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity;

- - - AU-6(a)[3] -

reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency;

- - - - AU-6(b) - - AU-6(b)[1] -

defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and

- - - AU-6(b)[2] -

reports findings to organization-defined personnel or roles.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

reports of audit findings

-

records of actions taken in response to reviews/analyses of audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Time Stamps - - - - AU-8 - au-08 - ATTEST - -

The information system:

- - a. -

Uses internal system clocks to generate time stamps for audit records; and

- - - b. -

Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets .

- - - -

Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities.

- AU-3 - AU-12 - - -

Determine if:

- - AU-8(a) -

the information system uses internal system clocks to generate time stamps for - audit records;

- - - AU-8(b) - - AU-8(b)[1] -

the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

- - - AU-8(b)[2] -

the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and

- - - AU-8(b)[3] -

the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing time stamp generation

- - - - - Protection of Audit Information - AU-9 - au-09 - ATTEST - -

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

- - -

Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls.

- AC-3 - AC-6 - MP-2 - MP-4 - PE-2 - PE-3 - PE-6 - - -

Determine if:

- - AU-9[1] -

the information system protects audit information from unauthorized:

- - AU-9[1][a] -

access;

- - - AU-9[1][b] -

modification;

- - - AU-9[1][c] -

deletion;

- - - - AU-9[2] -

the information system protects audit tools from unauthorized:

- - AU-9[2][a] -

access;

- - - AU-9[2][b] -

modification; and

- - - AU-9[2][c] -

deletion.

- - - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - information system audit records

-

audit tools

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit information protection

- - - - - Audit Record Retention - - - - AU-11 - au-11 - NSO - -

The organization retains audit records for to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements.

- - -

Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention.

- AU-4 - AU-5 - AU-9 - MP-6 - - -

Determine if the organization:

- - AU-11[1] -

defines a time period to retain audit records that is consistent with records - retention policy;

- - - AU-11[2] -

retains audit records for the organization-defined time period consistent with - records retention policy to:

- - AU-11[2][a] -

provide support for after-the-fact investigations of security incidents; - and

- - - AU-11[2][b] -

meet regulatory and organizational information retention requirements.

- - - - - EXAMINE - -

Audit and accountability policy

-

audit record retention policy and procedures

-

security plan

-

organization-defined retention period for audit records

-

audit record archives

-

audit logs

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record retention responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - -

NSO - Loss of availability of the audit data has been determined as little or no - impact to government business/mission needs.

- - - - Audit Generation - - - - - - - AU-12 - au-12 - ATTEST - -

The information system:

- - a. -

Provides audit record generation capability for the auditable events defined in - AU-2 a. at ;

- - - b. -

Allows to select which auditable events are to be - audited by specific components of the information system; and

- - - c. -

Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3.

- - - -

Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records.

- AC-3 - AU-2 - AU-3 - AU-6 - AU-7 - - -

Determine if:

- - AU-12(a) - - AU-12(a)[1] -

the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a;

- - - AU-12(a)[2] -

the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components;

- - - - AU-12(b) - - AU-12(b)[1] -

the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system;

- - - AU-12(b)[2] -

the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and

- - - - AU-12(c) -

the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - - Security Assessment and Authorization - - Security Assessment and Authorization Policy and Procedures - - - - - - - - - - CA-1 - ca-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-37 - NIST Special Publication 800-53A - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security assessment and authorization policy ; - and

- - - 2. -

Security assessment and authorization procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CA-1(a) - - CA-1(a)(1) - - CA-1(a)(1)[1] -

develops and documents a security assessment and authorization policy that - addresses:

- - CA-1(a)(1)[1][a] -

purpose;

- - - CA-1(a)(1)[1][b] -

scope;

- - - CA-1(a)(1)[1][c] -

roles;

- - - CA-1(a)(1)[1][d] -

responsibilities;

- - - CA-1(a)(1)[1][e] -

management commitment;

- - - CA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CA-1(a)(1)[1][g] -

compliance;

- - - - CA-1(a)(1)[2] -

defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated;

- - - CA-1(a)(1)[3] -

disseminates the security assessment and authorization policy to - organization-defined personnel or roles;

- - - - CA-1(a)(2) - - CA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls;

- - - CA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - CA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CA-1(b) - - CA-1(b)(1) - - CA-1(b)(1)[1] -

defines the frequency to review and update the current security assessment - and authorization policy;

- - - CA-1(b)(1)[2] -

reviews and updates the current security assessment and authorization policy - with the organization-defined frequency;

- - - - CA-1(b)(2) - - CA-1(b)(2)[1] -

defines the frequency to review and update the current security assessment - and authorization procedures; and

- - - CA-1(b)(2)[2] -

reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Security assessment and authorization policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment and authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Assessments - - - at least annually - - - - individuals or roles to include FedRAMP PMO - - CA-2 - ca-02 - ASSESS - Executive Order 13587 - FIPS Publication 199 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Develops a security assessment plan that describes the scope of the assessment - including:

- - 1. -

Security controls and control enhancements under assessment;

- - - 2. -

Assessment procedures to be used to determine security control effectiveness; - and

- - - 3. -

Assessment environment, assessment team, and assessment roles and - responsibilities;

- - - - b. -

Assesses the security controls in the information system and its environment of - operation to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements;

- - - c. -

Produces a security assessment report that documents the results of the - assessment; and

- - - d. -

Provides the results of the security control assessment to .

- - - -

Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control.

- CA-5 - CA-6 - CA-7 - PM-9 - RA-5 - SA-11 - SA-12 - SI-4 - - -

Determine if the organization:

- - CA-2(a) -

develops a security assessment plan that describes the scope of the assessment - including:

- - CA-2(a)(1) -

security controls and control enhancements under assessment;

- - - CA-2(a)(2) -

assessment procedures to be used to determine security control - effectiveness;

- - - CA-2(a)(3) - - CA-2(a)(3)[1] -

assessment environment;

- - - CA-2(a)(3)[2] -

assessment team;

- - - CA-2(a)(3)[3] -

assessment roles and responsibilities;

- - - - - CA-2(b) - - CA-2(b)[1] -

defines the frequency to assess the security controls in the information system - and its environment of operation;

- - - CA-2(b)[2] -

assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements;

- - - - CA-2(c) -

produces a security assessment report that documents the results of the - assessment;

- - - CA-2(d) - - CA-2(d)[1] -

defines individuals or roles to whom the results of the security control - assessment are to be provided; and

- - - CA-2(d)[2] -

provides the results of the security control assessment to organization-defined - individuals or roles.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessment planning

-

procedures addressing security assessments

-

security assessment plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting

- - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - Independent Assessors - - - - CA-2(1) - ca-02.01 - ATTEST - -

The organization employs assessors or assessment teams with to conduct security control assessments.

- - -

Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments.

- - -

Determine if the organization:

- - CA-2(1)[1] -

defines the level of independence to be employed to conduct security control - assessments; and

- - - CA-2(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - - System Interconnections - - - at least annually and on input from FedRAMP - - CA-3 - ca-03 - CONDITIONAL - FIPS Publication 199 - NIST Special Publication 800-47 - -

The organization:

- - a. -

Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - b. -

Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and

- - - c. -

Reviews and updates Interconnection Security Agreements .

- - - -

This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls.

- AC-3 - AC-4 - AC-20 - AU-2 - AU-12 - AU-16 - CA-7 - IA-3 - SA-9 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-3(a) -

authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - CA-3(b) -

documents, for each interconnection:

- - CA-3(b)[1] -

the interface characteristics;

- - - CA-3(b)[2] -

the security requirements;

- - - CA-3(b)[3] -

the nature of the information communicated;

- - - - CA-3(c) - - CA-3(c)[1] -

defines the frequency to review and update Interconnection Security Agreements; - and

- - - CA-3(c)[2] -

reviews and updates Interconnection Security Agreements with the - organization-defined frequency.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system Interconnection Security Agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements

-

organizational personnel with information security responsibilities

-

personnel managing the system(s) to which the Interconnection Security Agreement - applies

- - - -

Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured.

- - - - Plan of Action and Milestones - - - at least monthly - - CA-5 - ca-05 - ATTEST - OMB Memorandum 02-01 - NIST Special Publication 800-37 - -

The organization:

- - a. -

Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and

- - - b. -

Updates existing plan of action and milestones - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities.

- - - -

Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB.

- CA-2 - CA-7 - CM-4 - PM-4 - - -

Determine if the organization:

- - CA-5(a) -

develops a plan of action and milestones for the information system to:

- - CA-5(a)[1] -

document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls;

- - - CA-5(a)[2] -

reduce or eliminate known vulnerabilities in the system;

- - - - CA-5(b) - - CA-5(b)[1] -

defines the frequency to update the existing plan of action and milestones;

- - - CA-5(b)[2] -

updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from:

- - CA-5(b)[2][a] -

security controls assessments;

- - - CA-5(b)[2][b] -

security impact analyses; and

- - - CA-5(b)[2][c] -

continuous monitoring activities.

- - - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing plan of action and milestones

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with plan of action and milestones development and - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones

- - - -

Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring - Requirements.

- - - - Security Authorization - - - at least every three years or when a significant change occurs - - CA-6 - ca-06 - ASSESS - OMB Circular A-130 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - b. -

Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and

- - - c. -

Updates the security authorization .

- - - -

Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions.

- CA-2 - CA-7 - PM-9 - PM-10 - - -

Determine if the organization:

- - CA-6(a) -

assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - CA-6(b) -

ensures that the authorizing official authorizes the information system for - processing before commencing operations;

- - - CA-6(c) - - CA-6(c)[1] -

defines the frequency to update the security authorization; and

- - - CA-6(c)[2] -

updates the security authorization with the organization-defined frequency.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security authorization

-

security authorization package (including security plan

-

security assessment report

-

plan of action and milestones

-

authorization statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security authorization responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that facilitate security authorizations and updates

- - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F. The service provider describes the types of changes to the - information system or the environment of operations that would impact the risk - posture. The types of changes are approved and accepted by the Authorizing - Official.

- - - - - Continuous Monitoring - - - - - - - - - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - CA-7 - ca-07 - ASSESS - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - US-CERT Technical Cyber Security Alerts - DoD Information Assurance Vulnerability Alerts - -

The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes:

- - a. -

Establishment of to be monitored;

- - - b. -

Establishment of for monitoring and for assessments supporting such monitoring;

- - - c. -

Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy;

- - - d. -

Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy;

- - - e. -

Correlation and analysis of security-related information generated by assessments - and monitoring;

- - - f. -

Response actions to address results of the analysis of security-related - information; and

- - - g. -

Reporting the security status of organization and the information system to - - .

- - - -

Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems.

- CA-2 - CA-5 - CA-6 - CM-3 - CM-4 - PM-6 - PM-9 - RA-5 - SA-11 - SA-12 - SI-2 - SI-4 - - -

Determine if the organization:

- - CA-7(a) - - CA-7(a)[1] -

develops a continuous monitoring strategy that defines metrics to be - monitored;

- - - CA-7(a)[2] -

develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics;

- - - CA-7(a)[3] -

implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy;

- - - - CA-7(b) - - CA-7(b)[1] -

develops a continuous monitoring strategy that defines frequencies for - monitoring;

- - - CA-7(b)[2] -

defines frequencies for assessments supporting monitoring;

- - - CA-7(b)[3] -

develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring;

- - - CA-7(b)[4] -

implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(c) - - CA-7(c)[1] -

develops a continuous monitoring strategy that includes ongoing security - control assessments;

- - - CA-7(c)[2] -

implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(d) - - CA-7(d)[1] -

develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics;

- - - CA-7(d)[2] -

implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy;

- - - - CA-7(e) - - CA-7(e)[1] -

develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring;

- - - CA-7(e)[2] -

implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(f) - - CA-7(f)[1] -

develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information;

- - - CA-7(f)[2] -

implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy;

- - - - CA-7(g) - - CA-7(g)[1] -

develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported;

- - - CA-7(g)[2] -

develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles;

- - - CA-7(g)[3] -

develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and

- - - CA-7(g)[4] -

implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

procedures addressing configuration management

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

configuration management records, security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Mechanisms implementing continuous monitoring

- - - - CA-7 Additional FedRAMP Requirements and Guidance - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities - within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - Internal System Connections - - - - CA-9 - ca-09 - CONDITIONAL - -

The organization:

- - a. -

Authorizes internal connections of to the - information system; and

- - - b. -

Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated.

- - - -

This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration.

- AC-3 - AC-4 - AC-18 - AC-19 - AU-2 - AU-12 - CA-7 - CM-2 - IA-3 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-9(a) - - CA-9(a)[1] -

defines information system components or classes of components to be authorized - as internal connections to the information system;

- - - CA-9(a)[2] -

authorizes internal connections of organization-defined information system - components or classes of components to the information system;

- - - - CA-9(b) -

documents, for each internal connection:

- - CA-9(b)[1] -

the interface characteristics;

- - - CA-9(b)[2] -

the security requirements; and

- - - CA-9(b)[3] -

the nature of the information communicated.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of components or classes of components authorized as internal system - connections

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections

-

organizational personnel with information security responsibilities

- - - -

Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured.

- - - - - Configuration Management - - Configuration Management Policy and Procedures - - - - - - - - - - CM-1 - cm-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Configuration management policy ; and

- - - 2. -

Configuration management procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CM-1(a) - - CM-1(a)(1) - - CM-1(a)(1)[1] -

develops and documents a configuration management policy that addresses:

- - CM-1(a)(1)[1][a] -

purpose;

- - - CM-1(a)(1)[1][b] -

scope;

- - - CM-1(a)(1)[1][c] -

roles;

- - - CM-1(a)(1)[1][d] -

responsibilities;

- - - CM-1(a)(1)[1][e] -

management commitment;

- - - CM-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CM-1(a)(1)[1][g] -

compliance;

- - - - CM-1(a)(1)[2] -

defines personnel or roles to whom the configuration management policy is to - be disseminated;

- - - CM-1(a)(1)[3] -

disseminates the configuration management policy to organization-defined - personnel or roles;

- - - - CM-1(a)(2) - - CM-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls;

- - - CM-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - CM-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CM-1(b) - - CM-1(b)(1) - - CM-1(b)(1)[1] -

defines the frequency to review and update the current configuration - management policy;

- - - CM-1(b)(1)[2] -

reviews and updates the current configuration management policy with the - organization-defined frequency;

- - - - CM-1(b)(2) - - CM-1(b)(2)[1] -

defines the frequency to review and update the current configuration - management procedures; and

- - - CM-1(b)(2)[2] -

reviews and updates the current configuration management procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Configuration management policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Baseline Configuration - CM-2 - cm-02 - ATTEST - NIST Special Publication 800-128 - -

The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system.

- - -

This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture.

- CM-3 - CM-6 - CM-8 - CM-9 - SA-10 - PM-5 - PM-7 - - -

Determine if the organization:

- - CM-2[1] -

develops and documents a current baseline configuration of the information system; - and

- - - CM-2[2] -

maintains, under configuration control, a current baseline configuration of the - information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

enterprise architecture documentation

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting configuration control of the baseline - configuration

- - - - - Security Impact Analysis - CM-4 - cm-04 - ASSESS - NIST Special Publication 800-128 - -

The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation.

- - -

Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems.

- CA-2 - CA-7 - CM-3 - CM-9 - SA-4 - SA-5 - SA-10 - SI-2 - - -

Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

- - - - - Configuration Settings - - - see CM-6(a) Additional FedRAMP Requirements and Guidance - - - - - - - - CM-6 - cm-06 - ASSESS - OMB Memorandum 07-11 - OMB Memorandum 07-18 - OMB Memorandum 08-22 - NIST Special Publication 800-70 - NIST Special Publication 800-128 - http://nvd.nist.gov - http://checklists.nist.gov - http://www.nsa.gov - -

The organization:

- - a. -

Establishes and documents configuration settings for information technology - products employed within the information system using that reflect the most restrictive mode consistent with - operational requirements;

- - - b. -

Implements the configuration settings;

- - - c. -

Identifies, documents, and approves any deviations from established configuration - settings for based on ; and

- - - d. -

Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - -

Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems.

- AC-19 - CM-2 - CM-3 - CM-7 - SI-4 - - -

Determine if the organization:

- - CM-6(a) - - CM-6(a)[1] -

defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed;

- - - CM-6(a)[2] -

ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements;

- - - CM-6(a)[3] -

establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists;

- - - - CM-6(b) -

implements the configuration settings established/documented in CM-6(a);;

- - - CM-6(c) - - CM-6(c)[1] -

defines information system components for which any deviations from established - configuration settings must be:

- - CM-6(c)[1][a] -

identified;

- - - CM-6(c)[1][b] -

documented;

- - - CM-6(c)[1][c] -

approved;

- - - - CM-6(c)[2] -

defines operational requirements to support:

- - CM-6(c)[2][a] -

the identification of any deviations from established configuration - settings;

- - - CM-6(c)[2][b] -

the documentation of any deviations from established configuration - settings;

- - - CM-6(c)[2][c] -

the approval of any deviations from established configuration settings;

- - - - CM-6(c)[3] -

identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - CM-6(c)[4] -

documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - CM-6(c)[5] -

approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - - CM-6(d) - - CM-6(d)[1] -

monitors changes to the configuration settings in accordance with - organizational policies and procedures; and

- - - CM-6(d)[2] -

controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

evidence supporting approved deviations from established configuration - settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms that implement, monitor, and/or control information system - configuration settings

-

automated mechanisms that identify and/or document deviations from established - configuration settings

- - - -

Required - Specifically include details of least functionality.

- - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines - (Level 1) to establish configuration settings or establishes its own - configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings - are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP - compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - Least Functionality - - - - CM-7 - cm-07 - ATTEST - DoD Instruction 8551.01 - -

The organization:

- - a. -

Configures the information system to provide only essential capabilities; and

- - - b. -

Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: .

- - - -

Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services.

- AC-6 - CM-2 - RA-5 - SA-5 - SC-7 - - -

Determine if the organization:

- - CM-7(a) -

configures the information system to provide only essential capabilities;

- - - CM-7(b) - - CM-7(b)[1] -

defines prohibited or restricted:

- - CM-7(b)[1][a] -

functions;

- - - CM-7(b)[1][b] -

ports;

- - - CM-7(b)[1][c] -

protocols; and/or

- - - CM-7(b)[1][d] -

services;

- - - - CM-7(b)[2] -

prohibits or restricts the use of organization-defined:

- - CM-7(b)[2][a] -

functions;

- - - CM-7(b)[2][b] -

ports;

- - - CM-7(b)[2][c] -

protocols; and/or

- - - CM-7(b)[2][d] -

services.

- - - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing least functionality in the information system

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services

-

automated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services

- - - - - Information System Component Inventory - - - - - - at least monthly - - CM-8 - cm-08 - ASSESS - NIST Special Publication 800-128 - -

The organization:

- - a. -

Develops and documents an inventory of information system components that:

- - 1. -

Accurately reflects the current information system;

- - - 2. -

Includes all components within the authorization boundary of the information - system;

- - - 3. -

Is at the level of granularity deemed necessary for tracking and reporting; - and

- - - 4. -

Includes ; and

- - - - b. -

Reviews and updates the information system component inventory .

- - - -

Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location.

- CM-2 - CM-6 - PM-5 - - -

Determine if the organization:

- - CM-8(a) - - CM-8(a)(1) -

develops and documents an inventory of information system components that - accurately reflects the current information system;

- - - CM-8(a)(2) -

develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system;

- - - CM-8(a)(3) -

develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting;

- - - CM-8(a)(4) - - CM-8(a)(4)[1] -

defines the information deemed necessary to achieve effective information - system component accountability;

- - - CM-8(a)(4)[2] -

develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability;

- - - - - CM-8(b) - - CM-8(b)[1] -

defines the frequency to review and update the information system component - inventory; and

- - - CM-8(b)[2] -

reviews and updates the information system component inventory with the - organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system component - inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting an inventory of - information system components

-

automated mechanisms supporting and/or implementing the information system - component inventory

- - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - Software Usage Restrictions - CM-10 - cm-10 - NSO - -

The organization:

- - a. -

Uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - b. -

Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - c. -

Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - -

Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs.

- AC-17 - CM-8 - SC-7 - - -

Determine if the organization:

- - CM-10(a) -

uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - CM-10(b) -

tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - CM-10(c) -

controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing software usage restrictions

-

configuration management plan

-

security plan

-

software contract agreements and copyright laws

-

site license documentation

-

list of software usage restrictions

-

software license tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with software license management responsibilities

- - - - TEST - -

Organizational process for tracking the use of software protected by quantity - licenses

-

organization process for controlling/documenting the use of peer-to-peer file - sharing technology

-

automated mechanisms implementing software license tracking

-

automated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology

- - - -

NSO- Not directly related to protection of the data.

- - - - User-installed Software - - - - - - - - - - CM-11 - cm-11 - NSO - -

The organization:

- - a. -

Establishes governing the installation of - software by users;

- - - b. -

Enforces software installation policies through ; - and

- - - c. -

Monitors policy compliance at .

- - - -

If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both.

- AC-3 - CM-2 - CM-3 - CM-5 - CM-6 - CM-7 - PL-4 - - -

Determine if the organization:

- - CM-11(a) - - CM-11(a)[1] -

defines policies to govern the installation of software by users;

- - - CM-11(a)[2] -

establishes organization-defined policies governing the installation of - software by users;

- - - - CM-11(b) - - CM-11(b)[1] -

defines methods to enforce software installation policies;

- - - CM-11(b)[2] -

enforces software installation policies through organization-defined - methods;

- - - - CM-11(c) - - CM-11(c)[1] -

defines frequency to monitor policy compliance; and

- - - CM-11(c)[2] -

monitors policy compliance at organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of rules governing user installed software

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

-

continuous monitoring strategy

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel monitoring compliance with user-installed software - policy

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms enforcing rules/methods for governing the installation of - software by users

-

automated mechanisms monitoring policy compliance

- - - -

NSO - Boundary is specific to SaaS environment; all access is via web services; - users' machine or internal network are not contemplated. External services (SA-9), - internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and - SC-13), and privileged authentication (IA-2[1]) are considerations.

- - - - - Contingency Planning - - Contingency Planning Policy and Procedures - - - - - - - - - - CP-1 - cp-01 - ATTEST - Federal Continuity Directive 1 - NIST Special Publication 800-12 - NIST Special Publication 800-34 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Contingency planning policy ; and

- - - 2. -

Contingency planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if:

- - CP-1(a) - - CP-1(a)(1) - - CP-1(a)(1)[1] -

the organization develops and documents a contingency planning policy that - addresses:

- - CP-1(a)(1)[1][a] -

purpose;

- - - CP-1(a)(1)[1][b] -

scope;

- - - CP-1(a)(1)[1][c] -

roles;

- - - CP-1(a)(1)[1][d] -

responsibilities;

- - - CP-1(a)(1)[1][e] -

management commitment;

- - - CP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CP-1(a)(1)[1][g] -

compliance;

- - - - CP-1(a)(1)[2] -

the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated;

- - - CP-1(a)(1)[3] -

the organization disseminates the contingency planning policy to - organization-defined personnel or roles;

- - - - CP-1(a)(2) - - CP-1(a)(2)[1] -

the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls;

- - - CP-1(a)(2)[2] -

the organization defines personnel or roles to whom the procedures are to be - disseminated;

- - - CP-1(a)(2)[3] -

the organization disseminates the procedures to organization-defined - personnel or roles;

- - - - - CP-1(b) - - CP-1(b)(1) - - CP-1(b)(1)[1] -

the organization defines the frequency to review and update the current - contingency planning policy;

- - - CP-1(b)(1)[2] -

the organization reviews and updates the current contingency planning with - the organization-defined frequency;

- - - - CP-1(b)(2) - - CP-1(b)(2)[1] -

the organization defines the frequency to review and update the current - contingency planning procedures; and

- - - CP-1(b)(2)[2] -

the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Contingency planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - Contingency Plan - - - - - - - - - - - - - CP-2 - cp-02 - NSO - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Develops a contingency plan for the information system that:

- - 1. -

Identifies essential missions and business functions and associated contingency - requirements;

- - - 2. -

Provides recovery objectives, restoration priorities, and metrics;

- - - 3. -

Addresses contingency roles, responsibilities, assigned individuals with - contact information;

- - - 4. -

Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - 5. -

Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and

- - - 6. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the contingency plan to ;

- - - c. -

Coordinates contingency planning activities with incident handling activities;

- - - d. -

Reviews the contingency plan for the information system ;

- - - e. -

Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing;

- - - f. -

Communicates contingency plan changes to ; and

- - - g. -

Protects the contingency plan from unauthorized disclosure and modification.

- - - -

Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident.

- AC-14 - CP-6 - CP-7 - CP-8 - CP-9 - CP-10 - IR-4 - IR-8 - MP-2 - MP-4 - MP-5 - PM-8 - PM-11 - - -

Determine if the organization:

- - CP-2(a) -

develops and documents a contingency plan for the information system that:

- - CP-2(a)(1) -

identifies essential missions and business functions and associated contingency - requirements;

- - - CP-2(a)(2) - - CP-2(a)(2)[1] -

provides recovery objectives;

- - - CP-2(a)(2)[2] -

provides restoration priorities;

- - - CP-2(a)(2)[3] -

provides metrics;

- - - - CP-2(a)(3) - - CP-2(a)(3)[1] -

addresses contingency roles;

- - - CP-2(a)(3)[2] -

addresses contingency responsibilities;

- - - CP-2(a)(3)[3] -

addresses assigned individuals with contact information;

- - - - CP-2(a)(4) -

addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - CP-2(a)(5) -

addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented;

- - - CP-2(a)(6) - - CP-2(a)(6)[1] -

defines personnel or roles to review and approve the contingency plan for - the information system;

- - - CP-2(a)(6)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - CP-2(b) - - CP-2(b)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed;

- - - CP-2(b)[2] -

distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements;

- - - - CP-2(c) -

coordinates contingency planning activities with incident handling activities;

- - - CP-2(d) - - CP-2(d)[1] -

defines a frequency to review the contingency plan for the information - system;

- - - CP-2(d)[2] -

reviews the contingency plan with the organization-defined frequency;

- - - - CP-2(e) -

updates the contingency plan to address:

- - CP-2(e)[1] -

changes to the organization, information system, or environment of - operation;

- - - CP-2(e)[2] -

problems encountered during plan implementation, execution, and testing;

- - - - CP-2(f) - - CP-2(f)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated;

- - - CP-2(f)[2] -

communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and

- - - - CP-2(g) -

protects the contingency plan from unauthorized disclosure and modification.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

evidence of contingency plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan development, review, update, and - protection

-

automated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan

- - - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - Contingency Training - - - - - - - CP-3 - cp-03 - NSO - Federal Continuity Directive 1 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides contingency training to information system users consistent - with assigned roles and responsibilities:

- - a. -

Within of assuming a contingency role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan.

- AT-2 - AT-3 - CP-2 - IR-2 - - -

Determine if the organization:

- - CP-3(a) - - CP-3(a)[1] -

defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility;

- - - CP-3(a)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility;

- - - - CP-3(b) -

provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes;

- - - CP-3(c) - - CP-3(c)[1] -

defines the frequency for contingency training thereafter; and

- - - CP-3(c)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

security plan

-

contingency training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

- - - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - Contingency Plan Testing - - - - - - - CP-4 - cp-04 - NSO - Federal Continuity Directive 1 - FIPS Publication 199 - NIST Special Publication 800-34 - NIST Special Publication 800-84 - -

The organization:

- - a. -

Tests the contingency plan for the information system using to determine the - effectiveness of the plan and the organizational readiness to execute the - plan;

- - - b. -

Reviews the contingency plan test results; and

- - - c. -

Initiates corrective actions, if needed.

- - - -

Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions.

- CP-2 - CP-3 - IR-3 - - -

Determine if the organization:

- - CP-4(a) - - CP-4(a)[1] -

defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan;

- - - CP-4(a)[2] -

defines a frequency to test the contingency plan for the information - system;

- - - CP-4(a)[3] -

tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan;

- - - - CP-4(b) -

reviews the contingency plan test results; and

- - - CP-4(c) -

initiates corrective actions, if needed.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

security plan

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - Information System Backup - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - - daily incremental; weekly full - - CP-9 - cp-09 - ASSESS - NIST Special Publication 800-34 - -

The organization:

- - a. -

Conducts backups of user-level information contained in the information system - ;

- - - b. -

Conducts backups of system-level information contained in the information system - ;

- - - c. -

Conducts backups of information system documentation including security-related - documentation ; and

- - - d. -

Protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - -

System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information.

- CP-2 - CP-6 - MP-4 - MP-5 - SC-13 - - -

Determine if the organization:

- - CP-9(a) - - CP-9(a)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system;

- - - CP-9(a)[2] -

conducts backups of user-level information contained in the information system - with the organization-defined frequency;

- - - - CP-9(b) - - CP-9(b)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system;

- - - CP-9(b)[2] -

conducts backups of system-level information contained in the information - system with the organization-defined frequency;

- - - - CP-9(c) - - CP-9(c)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation;

- - - CP-9(c)[2] -

conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and

- - - - CP-9(d) -

protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system backups

- - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment - require the Information System Backup control. The service provider shall - determine how Information System Backup is going to be verified and appropriate - periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level - information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level - information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information - system documentation including security information (at least one of which is - available online).

- - - - - Information System Recovery and Reconstitution - CP-10 - cp-10 - NSO - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure.

- - -

Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures.

- CA-2 - CA-6 - CA-7 - CP-2 - CP-6 - CP-7 - CP-9 - SC-24 - - -

Determine if the organization provides for:

- - CP-10[1] -

the recovery of the information system to a known state after:

- - CP-10[1][a] -

a disruption;

- - - CP-10[1][b] -

a compromise; or

- - - CP-10[1][c] -

a failure;

- - - - CP-10[2] -

the reconstitution of the information system to a known state after:

- - CP-10[2][a] -

a disruption;

- - - CP-10[2][b] -

a compromise; or

- - - CP-10[2][c] -

a failure.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test results

-

contingency plan test documentation

-

redundant secondary system for information system backups

-

location(s) of redundant secondary backup system(s)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes implementing information system recovery and - reconstitution operations

-

automated mechanisms supporting and/or implementing information system recovery - and reconstitution operations

- - - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - Identification and Authentication - - Identification and Authentication Policy and Procedures - - - - - - - - - - IA-1 - ia-01 - ATTEST - FIPS Publication 201 - NIST Special Publication 800-12 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Identification and authentication policy ; - and

- - - 2. -

Identification and authentication procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IA-1(a) - - IA-1(a)(1) - - IA-1(a)(1)[1] -

develops and documents an identification and authentication policy that - addresses:

- - IA-1(a)(1)[1][a] -

purpose;

- - - IA-1(a)(1)[1][b] -

scope;

- - - IA-1(a)(1)[1][c] -

roles;

- - - IA-1(a)(1)[1][d] -

responsibilities;

- - - IA-1(a)(1)[1][e] -

management commitment;

- - - IA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IA-1(a)(1)[1][g] -

compliance;

- - - - IA-1(a)(1)[2] -

defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and

- - - IA-1(a)(1)[3] -

disseminates the identification and authentication policy to - organization-defined personnel or roles;

- - - - IA-1(a)(2) - - IA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls;

- - - IA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - IA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IA-1(b) - - IA-1(b)(1) - - IA-1(b)(1)[1] -

defines the frequency to review and update the current identification and - authentication policy;

- - - IA-1(b)(1)[2] -

reviews and updates the current identification and authentication policy - with the organization-defined frequency; and

- - - - IA-1(b)(2) - - IA-1(b)(2)[1] -

defines the frequency to review and update the current identification and - authentication procedures; and

- - - IA-1(b)(2)[2] -

reviews and updates the current identification and authentication procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Identification and authentication policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Identification and Authentication (organizational Users) - IA-2 - ia-02 - NSO - ATTEST - HSPD-12 - OMB Memorandum 04-04 - OMB Memorandum 06-16 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

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

- - -

Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8.

- AC-2 - AC-3 - AC-14 - AC-17 - AC-18 - IA-4 - IA-5 - IA-8 - - -

Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for uniquely identifying and authenticating users

-

automated mechanisms supporting and/or implementing identification and - authentication capability

- - - -

NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication - specifically include description - of management of service accounts.

- - - Network Access to Privileged Accounts - IA-2(1) - ia-02.01 - ASSESS - -

The information system implements multifactor authentication for network access to - privileged accounts.

- - - AC-6 - - -

Determine if the information system implements multifactor authentication for - network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Acceptance of PIV Credentials - IA-2(12) - ia-02.12 - CONDITIONAL - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials.

- - -

This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - IA-2(12)[1] -

accepts Personal Identity Verification (PIV) credentials; and

- - - IA-2(12)[2] -

electronically verifies Personal Identity Verification (PIV) credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials

- - - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - - Identifier Management - - - - - - - - - - IA-4 - ia-04 - ATTEST - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - -

The organization manages information system identifiers by:

- - a. -

Receiving authorization from to assign an - individual, group, role, or device identifier;

- - - b. -

Selecting an identifier that identifies an individual, group, role, or device;

- - - c. -

Assigning the identifier to the intended individual, group, role, or device;

- - - d. -

Preventing reuse of identifiers for ; and

- - - e. -

Disabling the identifier after .

- - - -

Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices.

- AC-2 - IA-2 - IA-3 - IA-5 - IA-8 - SC-37 - - -

Determine if the organization manages information system identifiers by:

- - IA-4(a) - - IA-4(a)[1] -

defining personnel or roles from whom authorization must be received to - assign:

- - IA-4(a)[1][a] -

an individual identifier;

- - - IA-4(a)[1][b] -

a group identifier;

- - - IA-4(a)[1][c] -

a role identifier; and/or

- - - IA-4(a)[1][d] -

a device identifier;

- - - - IA-4(a)[2] -

receiving authorization from organization-defined personnel or roles to - assign:

- - IA-4(a)[2][a] -

an individual identifier;

- - - IA-4(a)[2][b] -

a group identifier;

- - - IA-4(a)[2][c] -

a role identifier; and/or

- - - IA-4(a)[2][d] -

a device identifier;

- - - - - IA-4(b) -

selecting an identifier that identifies:

- - IA-4(b)[1] -

an individual;

- - - IA-4(b)[2] -

a group;

- - - IA-4(b)[3] -

a role; and/or

- - - IA-4(b)[4] -

a device;

- - - - IA-4(c) -

assigning the identifier to the intended:

- - IA-4(c)[1] -

individual;

- - - IA-4(c)[2] -

group;

- - - IA-4(c)[3] -

role; and/or

- - - IA-4(c)[4] -

device;

- - - - IA-4(d) - - IA-4(d)[1] -

defining a time period for preventing reuse of identifiers;

- - - IA-4(d)[2] -

preventing reuse of identifiers for the organization-defined time period;

- - - - IA-4(e) - - IA-4(e)[1] -

defining a time period of inactivity to disable the identifier; and

- - - IA-4(e)[2] -

disabling the identifier after the organization-defined time period of - inactivity.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system accounts

-

list of identifiers generated from physical access control devices

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - Authenticator Management - - - - IA-5 - ia-05 - ATTEST - OMB Memorandum 04-04 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-63 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

The organization manages information system authenticators by:

- - a. -

Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator;

- - - b. -

Establishing initial authenticator content for authenticators defined by the - organization;

- - - c. -

Ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - d. -

Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators;

- - - e. -

Changing default content of authenticators prior to information system - installation;

- - - f. -

Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators;

- - - g. -

Changing/refreshing authenticators ;

- - - h. -

Protecting authenticator content from unauthorized disclosure and - modification;

- - - i. -

Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and

- - - j. -

Changing authenticators for group/role accounts when membership to those accounts - changes.

- - - -

Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords.

- AC-2 - AC-3 - AC-6 - CM-6 - IA-2 - IA-4 - IA-8 - PL-4 - PS-5 - PS-6 - SC-12 - SC-13 - SC-17 - SC-28 - - -

Determine if the organization manages information system authenticators by:

- - IA-5(a) -

verifying, as part of the initial authenticator distribution, the identity of:

- - IA-5(a)[1] -

the individual receiving the authenticator;

- - - IA-5(a)[2] -

the group receiving the authenticator;

- - - IA-5(a)[3] -

the role receiving the authenticator; and/or

- - - IA-5(a)[4] -

the device receiving the authenticator;

- - - - IA-5(b) -

establishing initial authenticator content for authenticators defined by the - organization;

- - - IA-5(c) -

ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - IA-5(d) - - IA-5(d)[1] -

establishing and implementing administrative procedures for initial - authenticator distribution;

- - - IA-5(d)[2] -

establishing and implementing administrative procedures for lost/compromised or - damaged authenticators;

- - - IA-5(d)[3] -

establishing and implementing administrative procedures for revoking - authenticators;

- - - - IA-5(e) -

changing default content of authenticators prior to information system - installation;

- - - IA-5(f) - - IA-5(f)[1] -

establishing minimum lifetime restrictions for authenticators;

- - - IA-5(f)[2] -

establishing maximum lifetime restrictions for authenticators;

- - - IA-5(f)[3] -

establishing reuse conditions for authenticators;

- - - - IA-5(g) - - IA-5(g)[1] -

defining a time period (by authenticator type) for changing/refreshing - authenticators;

- - - IA-5(g)[2] -

changing/refreshing authenticators with the organization-defined time period by - authenticator type;

- - - - IA-5(h) -

protecting authenticator content from unauthorized:

- - IA-5(h)[1] -

disclosure;

- - - IA-5(h)[2] -

modification;

- - - - IA-5(i) - - IA-5(i)[1] -

requiring individuals to take specific security safeguards to protect - authenticators;

- - - IA-5(i)[2] -

having devices implement specific security safeguards to protect - authenticators; and

- - - - IA-5(j) -

changing authenticators for group/role accounts when membership to those accounts - changes.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system authenticator types

-

change control records associated with managing information system - authenticators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - Password-based Authentication - - - - - - - - - - - - - IA-5(1) - ia-05.01 - ATTEST - -

The information system, for password-based authentication:

- - (a) -

Enforces minimum password complexity of ;

- - - (b) -

Enforces at least the following number of changed characters when new passwords - are created: ;

- - - (c) -

Stores and transmits only cryptographically-protected passwords;

- - - (d) -

Enforces password minimum and maximum lifetime restrictions of ;

- - - (e) -

Prohibits password reuse for generations; - and

- - - (f) -

Allows the use of a temporary password for system logons with an immediate - change to a permanent password.

- - - -

This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords.

- IA-6 - - -

Determine if, for password-based authentication:

- - IA-5(1)(a) - - IA-5(1)(a)[1] -

the organization defines requirements for case sensitivity;

- - - IA-5(1)(a)[2] -

the organization defines requirements for number of characters;

- - - IA-5(1)(a)[3] -

the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters;

- - - IA-5(1)(a)[4] -

the organization defines minimum requirements for each type of - character;

- - - IA-5(1)(a)[5] -

the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type;

- - IA-5(1)(a) - - - IA-5(1)(b) - - IA-5(1)(b)[1] -

the organization defines a minimum number of changed characters to be - enforced when new passwords are created;

- - - IA-5(1)(b)[2] -

the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created;

- - IA-5(1)(b) - - - IA-5(1)(c) -

the information system stores and transmits only encrypted representations of - passwords;

- IA-5(1)(c) - - - IA-5(1)(d) - - IA-5(1)(d)[1] -

the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords;

- - - IA-5(1)(d)[2] -

the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords;

- - - IA-5(1)(d)[3] -

the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum;

- - - IA-5(1)(d)[4] -

the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum;

- - IA-5(1)(d) - - - IA-5(1)(e) - - IA-5(1)(e)[1] -

the organization defines the number of password generations to be prohibited - from password reuse;

- - - IA-5(1)(e)[2] -

the information system prohibits password reuse for the organization-defined - number of generations; and

- - IA-5(1)(e) - - - IA-5(1)(f) -

the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password.

- IA-5(1)(f) - - - - EXAMINE - -

Identification and authentication policy

-

password policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

password configurations and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

- - - - - Hardware Token-based Authentication - - - - IA-5(11) - ia-05.11 - FED - CONDITIONAL - -

The information system, for hardware token-based authentication, employs - mechanisms that satisfy .

- - -

Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI.

- - -

Determine if, for hardware token-based authentication:

- - IA-5(11)[1] -

the organization defines token quality requirements to be satisfied; and

- - - IA-5(11)[2] -

the information system employs mechanisms that satisfy organization-defined - token quality requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

automated mechanisms employing hardware token-based authentication for the - information system

-

list of token quality requirements

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability

- - - -

FED - for Federal privileged users. Condition - Must document and assess for - privileged users. May attest to this control for non-privileged users.

- - - - - Authenticator Feedback - IA-6 - ia-06 - ASSESS - -

The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals.

- - -

The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it.

- PE-18 - - -

Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator feedback

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication

- - - - - Cryptographic Module Authentication - IA-7 - ia-07 - ATTEST - FIPS Publication 140 - http://csrc.nist.gov/groups/STM/cmvp/index.html - -

The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication.

- - -

Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role.

- SC-12 - SC-13 - - -

Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing cryptographic module authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for cryptographic module - authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic module - authentication

- - - - - Identification and Authentication (non-organizational Users) - IA-8 - ia-08 - ATTEST - OMB Memorandum 04-04 - OMB Memorandum 11-11 - OMB Memorandum 10-06-2011 - FICAM Roadmap and Implementation Guidance - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-116 - National Strategy for Trusted Identities in - Cyberspace - http://idmanagement.gov - -

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

- - -

Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users.

- AC-2 - AC-14 - AC-17 - AC-18 - IA-2 - IA-4 - IA-5 - MA-4 - RA-3 - SA-12 - SC-8 - - -

Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Acceptance of PIV Credentials from Other Agencies - IA-8(1) - ia-08.01 - CONDITIONAL - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies.

- - -

This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - IA-8(1)[1] -

accepts Personal Identity Verification (PIV) credentials from other agencies; - and

- - - IA-8(1)[2] -

electronically verifies Personal Identity Verification (PIV) credentials from - other agencies.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept and verify PIV credentials

- - - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - - Acceptance of Third-party Credentials - IA-8(2) - ia-08.02 - CONDITIONAL - -

The information system accepts only FICAM-approved third-party credentials.

- - -

This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels.

- AU-2 - - -

Determine if the information system accepts only FICAM-approved third-party - credentials.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization

-

third-party credential verification records

-

evidence of FICAM-approved third-party credentials

-

third-party credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept FICAM-approved credentials

- - - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - - Use of Ficam-approved Products - - - - IA-8(3) - ia-08.03 - ATTEST - -

The organization employs only FICAM-approved information system components in - to accept third-party credentials.

- - -

This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program.

- SA-4 - - -

Determine if the organization:

- - IA-8(3)[1] -

defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and

- - - IA-8(3)[2] -

employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

third-party credential validations

-

third-party credential authorizations

-

third-party credential records

-

list of FICAM-approved information system components procured and implemented - by organization

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information system security, acquisition, and - contracting responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Use of Ficam-issued Profiles - IA-8(4) - ia-08.04 - ATTEST - -

The information system conforms to FICAM-issued profiles.

- - -

This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange).

- SA-4 - - -

Determine if the information system conforms to FICAM-issued profiles.

- - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-issued profiles and associated, approved protocols

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles

- - - - - - - Incident Response - - Incident Response Policy and Procedures - - - - - - - - - - IR-1 - ir-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Incident response policy ; and

- - - 2. -

Incident response procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IR-1(a) - - IR-1(a)(1) - - IR-1(a)(1)[1] -

develops and documents an incident response policy that addresses:

- - IR-1(a)(1)[1][a] -

purpose;

- - - IR-1(a)(1)[1][b] -

scope;

- - - IR-1(a)(1)[1][c] -

roles;

- - - IR-1(a)(1)[1][d] -

responsibilities;

- - - IR-1(a)(1)[1][e] -

management commitment;

- - - IR-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IR-1(a)(1)[1][g] -

compliance;

- - - - IR-1(a)(1)[2] -

defines personnel or roles to whom the incident response policy is to be - disseminated;

- - - IR-1(a)(1)[3] -

disseminates the incident response policy to organization-defined personnel - or roles;

- - - - IR-1(a)(2) - - IR-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls;

- - - IR-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - IR-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IR-1(b) - - IR-1(b)(1) - - IR-1(b)(1)[1] -

defines the frequency to review and update the current incident response - policy;

- - - IR-1(b)(1)[2] -

reviews and updates the current incident response policy with the - organization-defined frequency;

- - - - IR-1(b)(2) - - IR-1(b)(2)[1] -

defines the frequency to review and update the current incident response - procedures; and

- - - IR-1(b)(2)[2] -

reviews and updates the current incident response procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Incident response policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Response Training - - - - - - - IR-2 - ir-02 - ATTEST - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides incident response training to information system users - consistent with assigned roles and responsibilities:

- - a. -

Within of assuming an incident response role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources.

- AT-3 - CP-3 - IR-8 - - -

Determine if the organization:

- - IR-2(a) - - IR-2(a)[1] -

defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility;

- - - IR-2(a)[2] -

provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility;

- - - - IR-2(b) -

provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes;

- - - IR-2(c) - - IR-2(c)[1] -

defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and

- - - IR-2(c)[2] -

after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

security plan

-

incident response plan

-

security plan

-

incident response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Handling - IR-4 - ir-04 - ASSESS - Executive Order 13587 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery;

- - - b. -

Coordinates incident handling activities with contingency planning activities; - and

- - - c. -

Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly.

- - - -

Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function).

- AU-6 - CM-6 - CP-2 - CP-4 - IR-2 - IR-3 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-4(a) -

implements an incident handling capability for security incidents that - includes:

- - IR-4(a)[1] -

preparation;

- - - IR-4(a)[2] -

detection and analysis;

- - - IR-4(a)[3] -

containment;

- - - IR-4(a)[4] -

eradication;

- - - IR-4(a)[5] -

recovery;

- - - - IR-4(b) -

coordinates incident handling activities with contingency planning activities;

- - - IR-4(c) - - IR-4(c)[1] -

incorporates lessons learned from ongoing incident handling activities - into:

- - IR-4(c)[1][a] -

incident response procedures;

- - - IR-4(c)[1][b] -

training;

- - - IR-4(c)[1][c] -

testing/exercises;

- - - - IR-4(c)[2] -

implements the resulting changes accordingly to:

- - IR-4(c)[2][a] -

incident response procedures;

- - - IR-4(c)[2][b] -

training; and

- - - IR-4(c)[2][c] -

testing/exercises.

- - - - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident handling

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - Incident Monitoring - IR-5 - ir-05 - ATTEST - NIST Special Publication 800-61 - -

The organization tracks and documents information system security incidents.

- - -

Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports.

- AU-6 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-5[1] -

tracks information system security incidents; and

- - - IR-5[2] -

documents information system security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

incident response records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident monitoring capability for the organization

-

automated mechanisms supporting and/or implementing tracking and documenting of - system security incidents

- - - - - Incident Reporting - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - - - IR-6 - ir-06 - ASSESS - NIST Special Publication 800-61 - http://www.us-cert.gov - -

The organization:

- - a. -

Requires personnel to report suspected security incidents to the organizational - incident response capability within ; and

- - - b. -

Reports security incident information to .

- - - -

The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling.

- IR-4 - IR-5 - IR-8 - - -

Determine if the organization:

- - IR-6(a) - - IR-6(a)[1] -

defines the time period within which personnel report suspected security - incidents to the organizational incident response capability;

- - - IR-6(a)[2] -

requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period;

- - - - IR-6(b) - - IR-6(b)[1] -

defines authorities to whom security incident information is to be reported; - and

- - - IR-6(b)[2] -

reports security incident information to organization-defined authorities.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

incident reporting records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

personnel who have/should have reported incidents

-

personnel (authorities) to whom incident information is to be reported

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing incident reporting

- - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident - Communications Procedure.

- - - - - Incident Response Assistance - IR-7 - ir-07 - ATTEST - -

The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents.

- - -

Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required.

- AT-2 - IR-4 - IR-6 - IR-8 - SA-9 - - -

Determine if the organization provides an incident response support resource:

- - IR-7[1] -

that is integral to the organizational incident response capability; and

- - - IR-7[2] -

that offers advice and assistance to users of the information system for the - handling and reporting of security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response assistance and support - responsibilities

-

organizational personnel with access to incident response support and assistance - capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing incident response - assistance

- - - - - Incident Response Plan - - - - - - - - - - - - - IR-8 - ir-08 - ATTEST - NIST Special Publication 800-61 - -

The organization:

- - a. -

Develops an incident response plan that:

- - 1. -

Provides the organization with a roadmap for implementing its incident response - capability;

- - - 2. -

Describes the structure and organization of the incident response - capability;

- - - 3. -

Provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - 4. -

Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions;

- - - 5. -

Defines reportable incidents;

- - - 6. -

Provides metrics for measuring the incident response capability within the - organization;

- - - 7. -

Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and

- - - 8. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the incident response plan to ;

- - - c. -

Reviews the incident response plan ;

- - - d. -

Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing;

- - - e. -

Communicates incident response plan changes to ; - and

- - - f. -

Protects the incident response plan from unauthorized disclosure and - modification.

- - - -

It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems.

- MP-2 - MP-4 - MP-5 - - -

Determine if the organization:

- - IR-8(a) -

develops an incident response plan that:

- - IR-8(a)(1) -

provides the organization with a roadmap for implementing its incident response - capability;

- - - IR-8(a)(2) -

describes the structure and organization of the incident response - capability;

- - - IR-8(a)(3) -

provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - IR-8(a)(4) -

meets the unique requirements of the organization, which relate to:

- - IR-8(a)(4)[1] -

mission;

- - - IR-8(a)(4)[2] -

size;

- - - IR-8(a)(4)[3] -

structure;

- - - IR-8(a)(4)[4] -

functions;

- - - - IR-8(a)(5) -

defines reportable incidents;

- - - IR-8(a)(6) -

provides metrics for measuring the incident response capability within the - organization;

- - - IR-8(a)(7) -

defines the resources and management support needed to effectively maintain and - mature an incident response capability;

- - - IR-8(a)(8) - - IR-8(a)(8)[1] -

defines personnel or roles to review and approve the incident response - plan;

- - - IR-8(a)(8)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - IR-8(b) - - IR-8(b)[1] - - IR-8(b)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed;

- - - IR-8(b)[1][b] -

defines organizational elements to whom copies of the incident response plan - are to be distributed;

- - - - IR-8(b)[2] -

distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements;

- - - - IR-8(c) - - IR-8(c)[1] -

defines the frequency to review the incident response plan;

- - - IR-8(c)[2] -

reviews the incident response plan with the organization-defined frequency;

- - - - IR-8(d) -

updates the incident response plan to address system/organizational changes or - problems encountered during plan:

- - IR-8(d)[1] -

implementation;

- - - IR-8(d)[2] -

execution; or

- - - IR-8(d)[3] -

testing;

- - - - IR-8(e) - - IR-8(e)[1] - - IR-8(e)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated;

- - - IR-8(e)[1][b] -

defines organizational elements to whom incident response plan changes are - to be communicated;

- - - - IR-8(e)[2] -

communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and

- - - - IR-8(f) -

protects the incident response plan from unauthorized disclosure and - modification.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response planning

-

incident response plan

-

records of incident response plan reviews and approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational incident response plan and related organizational processes

- - - -

Attestation - Specifically attest to US-CERT compliance.

- - - - Information Spillage Response - - - - - - - IR-9 - ir-09 - ATTEST - -

The organization responds to information spills by:

- - a. -

Identifying the specific information involved in the information system - contamination;

- - - b. -

Alerting of the information spill using a method - of communication not associated with the spill;

- - - c. -

Isolating the contaminated information system or system component;

- - - d. -

Eradicating the information from the contaminated information system or - component;

- - - e. -

Identifying other information systems or system components that may have been - subsequently contaminated; and

- - - f. -

Performing other .

- - - -

Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated.

- - -

Determine if the organization:

- - IR-9(a) -

responds to information spills by identifying the specific information causing the - information system contamination;

- - - IR-9(b) - - IR-9(b)[1] -

defines personnel to be alerted of the information spillage;

- - - IR-9(b)[2] -

identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill;

- - - IR-9(b)[3] -

responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill;

- - - - IR-9(c) -

responds to information spills by isolating the contaminated information - system;

- - - IR-9(d) -

responds to information spills by eradicating the information from the - contaminated information system;

- - - IR-9(e) -

responds to information spills by identifying other information systems that may - have been subsequently contaminated;

- - - IR-9(f) - - IR-9(f)[1] -

defines other actions to be performed in response to information spills; - and

- - - IR-9(f)[2] -

responds to information spills by performing other organization-defined - actions.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

records of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage

-

list of actions to be performed regarding information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for information spillage response

-

automated mechanisms supporting and/or implementing information spillage response - actions and related communications

- - - -

Attestation - Specifically describe information spillage response processes.

- - - - - Maintenance - - System Maintenance Policy and Procedures - - - - - - - - - - MA-1 - ma-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

System maintenance policy ; and

- - - 2. -

System maintenance procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MA-1(a) - - MA-1(a)(1) - - MA-1(a)(1)[1] -

develops and documents a system maintenance policy that addresses:

- - MA-1(a)(1)[1][a] -

purpose;

- - - MA-1(a)(1)[1][b] -

scope;

- - - MA-1(a)(1)[1][c] -

roles;

- - - MA-1(a)(1)[1][d] -

responsibilities;

- - - MA-1(a)(1)[1][e] -

management commitment;

- - - MA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MA-1(a)(1)[1][g] -

compliance;

- - - - MA-1(a)(1)[2] -

defines personnel or roles to whom the system maintenance policy is to be - disseminated;

- - - MA-1(a)(1)[3] -

disseminates the system maintenance policy to organization-defined personnel - or roles;

- - - - MA-1(a)(2) - - MA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls;

- - - MA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - MA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MA-1(b) - - MA-1(b)(1) - - MA-1(b)(1)[1] -

defines the frequency to review and update the current system maintenance - policy;

- - - MA-1(b)(1)[2] -

reviews and updates the current system maintenance policy with the - organization-defined frequency;

- - - - MA-1(b)(2) - - MA-1(b)(2)[1] -

defines the frequency to review and update the current system maintenance - procedures; and

- - - MA-1(b)(2)[2] -

reviews and updates the current system maintenance procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Maintenance policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - - Controlled Maintenance - - - - - - - MA-2 - ma-02 - CONDITIONAL - -

The organization:

- - a. -

Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements;

- - - b. -

Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location;

- - - c. -

Requires that explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - d. -

Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - e. -

Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and

- - - f. -

Includes in organizational maintenance - records.

- - - -

This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems.

- CM-3 - CM-4 - MA-4 - MP-6 - PE-16 - SA-12 - SI-2 - - -

Determine if the organization:

- - MA-2(a) - - MA-2(a)[1] -

schedules maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[1][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[1][b] -

organizational requirements;

- - - - MA-2(a)[2] -

performs maintenance and repairs on information system components in accordance - with:

- - MA-2(a)[2][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[2][b] -

organizational requirements;

- - - - MA-2(a)[3] -

documents maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[3][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[3][b] -

organizational requirements;

- - - - MA-2(a)[4] -

reviews records of maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[4][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[4][b] -

organizational requirements;

- - - - - MA-2(b) - - MA-2(b)[1] -

approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - MA-2(b)[2] -

monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - - MA-2(c) - - MA-2(c)[1] -

defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - MA-2(c)[2] -

requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs;

- - - - MA-2(d) -

sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - MA-2(e) -

checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions;

- - - MA-2(f) - - MA-2(f)[1] -

defines maintenance-related information to be included in organizational - maintenance records; and

- - - MA-2(f)[2] -

includes organization-defined maintenance-related information in organizational - maintenance records.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

maintenance records

-

manufacturer/vendor maintenance specifications

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system

-

organizational processes for sanitizing information system components

-

automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms implementing sanitization of information system - components

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Nonlocal Maintenance - MA-4 - ma-04 - ATTEST - FIPS Publication 140-2 - FIPS Publication 197 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-88 - CNSS Policy 15 - -

The organization:

- - a. -

Approves and monitors nonlocal maintenance and diagnostic activities;

- - - b. -

Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system;

- - - c. -

Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - d. -

Maintains records for nonlocal maintenance and diagnostic activities; and

- - - e. -

Terminates session and network connections when nonlocal maintenance is - completed.

- - - -

Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls.

- AC-2 - AC-3 - AC-6 - AC-17 - AU-2 - AU-3 - IA-2 - IA-4 - IA-5 - IA-8 - MA-2 - MA-5 - MP-6 - PL-2 - SC-7 - SC-10 - SC-17 - - -

Determine if the organization:

- - MA-4(a) - - MA-4(a)[1] -

approves nonlocal maintenance and diagnostic activities;

- - - MA-4(a)[2] -

monitors nonlocal maintenance and diagnostic activities;

- - - - MA-4(b) -

allows the use of nonlocal maintenance and diagnostic tools only:

- - MA-4(b)[1] -

as consistent with organizational policy;

- - - MA-4(b)[2] -

as documented in the security plan for the information system;

- - - - MA-4(c) -

employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - MA-4(d) -

maintains records for nonlocal maintenance and diagnostic activities;

- - - MA-4(e) - - MA-4(e)[1] -

terminates sessions when nonlocal maintenance or diagnostics is completed; - and

- - - MA-4(e)[2] -

terminates network connections when nonlocal maintenance or diagnostics is - completed.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

maintenance records

-

diagnostic records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing nonlocal maintenance

-

automated mechanisms implementing, supporting, and/or managing nonlocal - maintenance

-

automated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions

-

automated mechanisms for terminating nonlocal maintenance sessions and network - connections

- - - - - Maintenance Personnel - MA-5 - ma-05 - CONDITIONAL - -

The organization:

- - a. -

Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel;

- - - b. -

Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - c. -

Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - -

This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods.

- AC-2 - IA-8 - MP-2 - PE-2 - PE-3 - PE-4 - RA-3 - - -

Determine if the organization:

- - MA-5(a) - - MA-5(a)[1] -

establishes a process for maintenance personnel authorization;

- - - MA-5(a)[2] -

maintains a list of authorized maintenance organizations or personnel;

- - - - MA-5(b) -

ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - MA-5(c) -

designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

service provider contracts

-

service-level agreements

-

list of authorized personnel

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for authorizing and managing maintenance personnel

-

automated mechanisms supporting and/or implementing authorization of maintenance - personnel

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - Media Protection - - Media Protection Policy and Procedures - - - - - - - - - - MP-1 - mp-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Media protection policy ; and

- - - 2. -

Media protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MP-1(a) - - MP-1(a)(1) - - MP-1(a)(1)[1] -

develops and documents a media protection policy that addresses:

- - MP-1(a)(1)[1][a] -

purpose;

- - - MP-1(a)(1)[1][b] -

scope;

- - - MP-1(a)(1)[1][c] -

roles;

- - - MP-1(a)(1)[1][d] -

responsibilities;

- - - MP-1(a)(1)[1][e] -

management commitment;

- - - MP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MP-1(a)(1)[1][g] -

compliance;

- - - - MP-1(a)(1)[2] -

defines personnel or roles to whom the media protection policy is to be - disseminated;

- - - MP-1(a)(1)[3] -

disseminates the media protection policy to organization-defined personnel - or roles;

- - - - MP-1(a)(2) - - MP-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls;

- - - MP-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - MP-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MP-1(b) - - MP-1(b)(1) - - MP-1(b)(1)[1] -

defines the frequency to review and update the current media protection - policy;

- - - MP-1(b)(1)[2] -

reviews and updates the current media protection policy with the - organization-defined frequency;

- - - - MP-1(b)(2) - - MP-1(b)(2)[1] -

defines the frequency to review and update the current media protection - procedures; and

- - - MP-1(b)(2)[2] -

reviews and updates the current media protection procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Media protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media protection responsibilities

-

organizational personnel with information security responsibilities

- - - - - Media Access - - - - - - - MP-2 - mp-02 - CONDITIONAL - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization restricts access to to .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team.

- AC-3 - IA-2 - MP-4 - PE-2 - PE-3 - PL-2 - - -

Determine if the organization:

- - MP-2[1] -

defines types of digital and/or non-digital media requiring restricted access;

- - - MP-2[2] -

defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and

- - - MP-2[3] -

restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media access restrictions

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

media storage facilities

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for restricting information media

-

automated mechanisms supporting and/or implementing media access restrictions

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Media Sanitization - - - - - - - MP-6 - mp-06 - CONDITIONAL - FIPS Publication 199 - NIST Special Publication 800-60 - NIST Special Publication 800-88 - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - -

The organization:

- - a. -

Sanitizes prior to disposal, release out of - organizational control, or release for reuse using - in accordance with applicable federal and organizational standards and policies; - and

- - - b. -

Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information.

- - - -

This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information.

- MA-2 - MA-4 - RA-3 - SC-4 - - -

Determine if the organization:

- - MP-6(a) - - MP-6(a)[1] -

defines information system media to be sanitized prior to:

- - MP-6(a)[1][a] -

disposal;

- - - MP-6(a)[1][b] -

release out of organizational control; or

- - - MP-6(a)[1][c] -

release for reuse;

- - - - MP-6(a)[2] -

defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to:

- - MP-6(a)[2][a] -

disposal;

- - - MP-6(a)[2][b] -

release out of organizational control; or

- - - MP-6(a)[2][c] -

release for reuse;

- - - - MP-6(a)[3] -

sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and

- - - - MP-6(b) -

employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

applicable federal standards and policies addressing media sanitization

-

media sanitization records

-

audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media sanitization responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Media Use - - - - - - - - - - - MP-7 - mp-07 - CONDITIONAL - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization the use of on using .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices.

- AC-19 - PL-4 - - -

Determine if the organization:

- - MP-7[1] -

defines types of information system media to be:

- - MP-7[1][a] -

restricted on information systems or system components; or

- - - MP-7[1][b] -

prohibited from use on information systems or system components;

- - - - MP-7[2] -

defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following:

- - MP-7[2][a] -

restricted; or

- - - MP-7[2][b] -

prohibited;

- - - - MP-7[3] -

defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and

- - - MP-7[4] -

restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards.

- - - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms restricting or prohibiting use of information system media on - information systems or system components

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - Physical and Environmental Protection - - Physical and Environmental Protection Policy and Procedures - - - - - - - - - - PE-1 - pe-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Physical and environmental protection policy ; - and

- - - 2. -

Physical and environmental protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PE-1(a) - - PE-1(a)(1) - - PE-1(a)(1)[1] -

develops and documents a physical and environmental protection policy that - addresses:

- - PE-1(a)(1)[1][a] -

purpose;

- - - PE-1(a)(1)[1][b] -

scope;

- - - PE-1(a)(1)[1][c] -

roles;

- - - PE-1(a)(1)[1][d] -

responsibilities;

- - - PE-1(a)(1)[1][e] -

management commitment;

- - - PE-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PE-1(a)(1)[1][g] -

compliance;

- - - - PE-1(a)(1)[2] -

defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated;

- - - PE-1(a)(1)[3] -

disseminates the physical and environmental protection policy to - organization-defined personnel or roles;

- - - - PE-1(a)(2) - - PE-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls;

- - - PE-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - PE-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PE-1(b) - - PE-1(b)(1) - - PE-1(b)(1)[1] -

defines the frequency to review and update the current physical and - environmental protection policy;

- - - PE-1(b)(1)[2] -

reviews and updates the current physical and environmental protection policy - with the organization-defined frequency;

- - - - PE-1(b)(2) - - PE-1(b)(2)[1] -

defines the frequency to review and update the current physical and - environmental protection procedures; and

- - - PE-1(b)(2)[2] -

reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Physical and environmental protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical and environmental protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Physical Access Authorizations - - - at least annually - - PE-2 - pe-02 - CONDITIONAL - -

The organization:

- - a. -

Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides;

- - - b. -

Issues authorization credentials for facility access;

- - - c. -

Reviews the access list detailing authorized facility access by individuals - ; and

- - - d. -

Removes individuals from the facility access list when access is no longer - required.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible.

- PE-3 - PE-4 - PS-3 - - -

Determine if the organization:

- - PE-2(a) - - PE-2(a)[1] -

develops a list of individuals with authorized access to the facility where the - information system resides;

- - - PE-2(a)[2] -

approves a list of individuals with authorized access to the facility where the - information system resides;

- - - PE-2(a)[3] -

maintains a list of individuals with authorized access to the facility where - the information system resides;

- - - - PE-2(b) -

issues authorization credentials for facility access;

- - - PE-2(c) - - PE-2(c)[1] -

defines the frequency to review the access list detailing authorized facility - access by individuals;

- - - PE-2(c)[2] -

reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and

- - - - PE-2(d) -

removes individuals from the facility access list when access is no longer - required.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

security plan

-

authorized personnel access list

-

authorization credentials

-

physical access list reviews

-

physical access termination records and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization responsibilities

-

organizational personnel with physical access to information system facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Physical Access Control - - - - - CSP defined physical access control systems/devices AND guards - - - - - - - - - - - - - in all circumstances within restricted access area where the information system resides - - - - - - - at least annually - - - - at least annually - - PE-3 - pe-03 - CONDITIONAL - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-116 - ICD 704 - ICD 705 - DoD Instruction 5200.39 - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - http://idmanagement.gov - http://fips201ep.cio.gov - -

The organization:

- - a. -

Enforces physical access authorizations at by;

- - 1. -

Verifying individual access authorizations before granting access to the - facility; and

- - - 2. -

Controlling ingress/egress to the facility using ;

- - - - b. -

Maintains physical access audit logs for ;

- - - c. -

Provides to control access to areas within the - facility officially designated as publicly accessible;

- - - d. -

Escorts visitors and monitors visitor activity ;

- - - e. -

Secures keys, combinations, and other physical access devices;

- - - f. -

Inventories every ; - and

- - - g. -

Changes combinations and keys and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices.

- AU-2 - AU-6 - MP-2 - MP-4 - PE-2 - PE-4 - PE-5 - PS-3 - RA-3 - - -

Determine if the organization:

- - PE-3(a) - - PE-3(a)[1] -

defines entry/exit points to the facility where the information system - resides;

- - - PE-3(a)[2] -

enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by:

- - PE-3(a)[2](1) -

verifying individual access authorizations before granting access to the - facility;

- - - PE-3(a)[2](2) - - PE-3(a)[2](2)[a] -

defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides;

- - - PE-3(a)[2](2)[b] -

using one or more of the following ways to control ingress/egress to the - facility:

- - PE-3(a)[2](2)[b][1] -

organization-defined physical access control systems/devices; - and/or

- - - PE-3(a)[2](2)[b][2] -

guards;

- - - - - - - PE-3(b) - - PE-3(b)[1] -

defines entry/exit points for which physical access audit logs are to be - maintained;

- - - PE-3(b)[2] -

maintains physical access audit logs for organization-defined entry/exit - points;

- - - - PE-3(c) - - PE-3(c)[1] -

defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible;

- - - PE-3(c)[2] -

provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible;

- - - - PE-3(d) - - PE-3(d)[1] -

defines circumstances requiring visitor:

- - PE-3(d)[1][a] -

escorts;

- - - PE-3(d)[1][b] -

monitoring;

- - - - PE-3(d)[2] -

in accordance with organization-defined circumstances requiring visitor escorts - and monitoring:

- - PE-3(d)[2][a] -

escorts visitors;

- - - PE-3(d)[2][b] -

monitors visitor activities;

- - - - - PE-3(e) - - PE-3(e)[1] -

secures keys;

- - - PE-3(e)[2] -

secures combinations;

- - - PE-3(e)[3] -

secures other physical access devices;

- - - - PE-3(f) - - PE-3(f)[1] -

defines physical access devices to be inventoried;

- - - PE-3(f)[2] -

defines the frequency to inventory organization-defined physical access - devices;

- - - PE-3(f)[3] -

inventories the organization-defined physical access devices with the - organization-defined frequency;

- - - - PE-3(g) - - PE-3(g)[1] -

defines the frequency to change combinations and keys; and

- - - PE-3(g)[2] -

changes combinations and keys with the organization-defined frequency and/or - when:

- - PE-3(g)[2][a] -

keys are lost;

- - - PE-3(g)[2][b] -

combinations are compromised;

- - - PE-3(g)[2][c] -

individuals are transferred or terminated.

- - - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security plan

-

physical access control logs or records

-

inventory records of physical access control devices

-

information system entry and exit points

-

records of key and lock combination changes

-

storage locations for physical access control devices

-

physical access control devices

-

list of security safeguards controlling access to designated publicly accessible - areas within facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control

-

automated mechanisms supporting and/or implementing physical access control

-

physical access control devices

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Monitoring Physical Access - - - at least monthly - - - - - PE-6 - pe-06 - CONDITIONAL - -

The organization:

- - a. -

Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - b. -

Reviews physical access logs and upon occurrence - of ; and

- - - c. -

Coordinates results of reviews and investigations with the organizational incident - response capability.

- - - -

Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses.

- CA-7 - IR-4 - IR-8 - - -

Determine if the organization:

- - PE-6(a) -

monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - PE-6(b) - - PE-6(b)[1] -

defines the frequency to review physical access logs;

- - - PE-6(b)[2] -

defines events or potential indication of events requiring physical access logs - to be reviewed;

- - - PE-6(b)[3] -

reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and

- - - - PE-6(c) -

coordinates results of reviews and investigations with the organizational incident - response capability.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access monitoring

-

automated mechanisms supporting and/or implementing reviewing of physical access - logs

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Visitor Access Records - - - for a minimum of one (1) year - - - - at least monthly - - PE-8 - pe-08 - CONDITIONAL - -

The organization:

- - a. -

Maintains visitor access records to the facility where the information system - resides for ; and

- - - b. -

Reviews visitor access records .

- - - -

Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas.

- - -

Determine if the organization:

- - PE-8(a) - - PE-8(a)[1] -

defines the time period to maintain visitor access records to the facility - where the information system resides;

- - - PE-8(a)[2] -

maintains visitor access records to the facility where the information system - resides for the organization-defined time period;

- - - - PE-8(b) - - PE-8(b)[1] -

defines the frequency to review visitor access records; and

- - - PE-8(b)[2] -

reviews visitor access records with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

security plan

-

visitor access control logs or records

-

visitor access record or log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Emergency Lighting - PE-12 - pe-12 - CONDITIONAL - -

The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- CP-2 - CP-7 - - -

Determine if the organization employs and maintains automatic emergency lighting for - the information system that:

- - PE-12[1] -

activates in the event of a power outage or disruption; and

- - - PE-12[2] -

covers emergency exits and evacuation routes within the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency lighting

-

emergency lighting documentation

-

emergency lighting test records

-

emergency exits and evacuation routes

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency lighting and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency lighting - capability

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Fire Protection - PE-13 - pe-13 - CONDITIONAL - -

The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors.

- - -

Determine if the organization:

- - PE-13[1] -

employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and

- - - PE-13[2] -

maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and suppression - devices/systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Temperature and Humidity Controls - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - - continuously - - PE-14 - pe-14 - CONDITIONAL - -

The organization:

- - a. -

Maintains temperature and humidity levels within the facility where the - information system resides at ; and

- - - b. -

Monitors temperature and humidity levels .

- - - -

This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms.

- AT-3 - - -

Determine if the organization:

- - PE-14(a) - - PE-14(a)[1] -

defines acceptable temperature levels to be maintained within the facility - where the information system resides;

- - - PE-14(a)[2] -

defines acceptable humidity levels to be maintained within the facility where - the information system resides;

- - - PE-14(a)[3] -

maintains temperature levels within the facility where the information system - resides at the organization-defined levels;

- - - PE-14(a)[4] -

maintains humidity levels within the facility where the information system - resides at the organization-defined levels;

- - - - PE-14(b) - - PE-14(b)[1] -

defines the frequency to monitor temperature levels;

- - - PE-14(b)[2] -

defines the frequency to monitor humidity levels;

- - - PE-14(b)[3] -

monitors temperature levels with the organization-defined frequency; and

- - - PE-14(b)[4] -

monitors humidity levels with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity control

-

security plan

-

temperature and humidity controls

-

facility housing the information system

-

temperature and humidity controls documentation

-

temperature and humidity records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels - by dew point.

- - - - - Water Damage Protection - PE-15 - pe-15 - CONDITIONAL - -

The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations.

- AT-3 - - -

Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are:

- - PE-15[1] -

accessible;

- - - PE-15[2] -

working properly; and

- - - PE-15[3] -

known to key personnel.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

master shutoff valves

-

list of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system

-

master shutoff valve documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Master water-shutoff valves

-

organizational process for activating master water-shutoff

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - Delivery and Removal - - - all information system components - - PE-16 - pe-16 - CONDITIONAL - -

The organization authorizes, monitors, and controls - entering and exiting the facility and maintains records of those items.

- - -

Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries.

- CM-3 - MA-2 - MA-3 - MP-5 - SA-12 - - -

Determine if the organization:

- - PE-16[1] -

defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility;

- - - PE-16[2] -

authorizes organization-defined information system components entering the - facility;

- - - PE-16[3] -

monitors organization-defined information system components entering the - facility;

- - - PE-16[4] -

controls organization-defined information system components entering the - facility;

- - - PE-16[5] -

authorizes organization-defined information system components exiting the - facility;

- - - PE-16[6] -

monitors organization-defined information system components exiting the - facility;

- - - PE-16[7] -

controls organization-defined information system components exiting the - facility;

- - - PE-16[8] -

maintains records of information system components entering the facility; and

- - - PE-16[9] -

maintains records of information system components exiting the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing delivery and removal of information system components from - the facility

-

security plan

-

facility housing the information system

-

records of items entering and exiting the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility

- - - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - Planning - - Security Planning Policy and Procedures - - - - - - - - - - PL-1 - pl-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-18 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security planning policy ; and

- - - 2. -

Security planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PL-1(a) - - PL-1(a)(1) - - PL-1(a)(1)[1] -

develops and documents a planning policy that addresses:

- - PL-1(a)(1)[1][a] -

purpose;

- - - PL-1(a)(1)[1][b] -

scope;

- - - PL-1(a)(1)[1][c] -

roles;

- - - PL-1(a)(1)[1][d] -

responsibilities;

- - - PL-1(a)(1)[1][e] -

management commitment;

- - - PL-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PL-1(a)(1)[1][g] -

compliance;

- - - - PL-1(a)(1)[2] -

defines personnel or roles to whom the planning policy is to be - disseminated;

- - - PL-1(a)(1)[3] -

disseminates the planning policy to organization-defined personnel or - roles;

- - - - PL-1(a)(2) - - PL-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls;

- - - PL-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - PL-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PL-1(b) - - PL-1(b)(1) - - PL-1(b)(1)[1] -

defines the frequency to review and update the current planning policy;

- - - PL-1(b)(1)[2] -

reviews and updates the current planning policy with the - organization-defined frequency;

- - - - PL-1(b)(2) - - PL-1(b)(2)[1] -

defines the frequency to review and update the current planning procedures; - and

- - - PL-1(b)(2)[2] -

reviews and updates the current planning procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - System Security Plan - - - - - - at least annually - - PL-2 - pl-02 - ASSESS - NIST Special Publication 800-18 - -

The organization:

- - a. -

Develops a security plan for the information system that:

- - 1. -

Is consistent with the organization’s enterprise architecture;

- - - 2. -

Explicitly defines the authorization boundary for the system;

- - - 3. -

Describes the operational context of the information system in terms of - missions and business processes;

- - - 4. -

Provides the security categorization of the information system including - supporting rationale;

- - - 5. -

Describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - 6. -

Provides an overview of the security requirements for the system;

- - - 7. -

Identifies any relevant overlays, if applicable;

- - - 8. -

Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and

- - - 9. -

Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - b. -

Distributes copies of the security plan and communicates subsequent changes to the - plan to ;

- - - c. -

Reviews the security plan for the information system ;

- - - d. -

Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and

- - - e. -

Protects the security plan from unauthorized disclosure and modification.

- - - -

Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans.

- AC-2 - AC-6 - AC-14 - AC-17 - AC-20 - CA-2 - CA-3 - CA-7 - CM-9 - CP-2 - IR-8 - MA-4 - MA-5 - MP-2 - MP-4 - MP-5 - PL-7 - PM-1 - PM-7 - PM-8 - PM-9 - PM-11 - SA-5 - SA-17 - - -

Determine if the organization:

- - PL-2(a) -

develops a security plan for the information system that:

- - PL-2(a)(1) -

is consistent with the organization’s enterprise architecture;

- - - PL-2(a)(2) -

explicitly defines the authorization boundary for the system;

- - - PL-2(a)(3) -

describes the operational context of the information system in terms of - missions and business processes;

- - - PL-2(a)(4) -

provides the security categorization of the information system including - supporting rationale;

- - - PL-2(a)(5) -

describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - PL-2(a)(6) -

provides an overview of the security requirements for the system;

- - - PL-2(a)(7) -

identifies any relevant overlays, if applicable;

- - - PL-2(a)(8) -

describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions;

- - - PL-2(a)(9) -

is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - PL-2(b) - - PL-2(b)[1] -

defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated;

- - - PL-2(b)[2] -

distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles;

- - - - PL-2(c) - - PL-2(c)[1] -

defines the frequency to review the security plan for the information - system;

- - - PL-2(c)[2] -

reviews the security plan for the information system with the - organization-defined frequency;

- - - - PL-2(d) -

updates the plan to address:

- - PL-2(d)[1] -

changes to the information system/environment of operation;

- - - PL-2(d)[2] -

problems identified during plan implementation;

- - - PL-2(d)[3] -

problems identified during security control assessments;

- - - - PL-2(e) -

protects the security plan from unauthorized:

- - PL-2(e)[1] -

disclosure; and

- - - PL-2(e)[2] -

modification.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing security plan development and implementation

-

procedures addressing security plan reviews and updates

-

enterprise architecture documentation

-

security plan for the information system

-

records of security plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security plan development/review/update/approval

-

automated mechanisms supporting the information system security plan

- - - - - Rules of Behavior - - - - PL-4 - pl-04 - ATTEST - NIST Special Publication 800-18 - -

The organization:

- - a. -

Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage;

- - - b. -

Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - c. -

Reviews and updates the rules of behavior ; and

- - - d. -

Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated.

- - - -

This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior.

- AC-2 - AC-6 - AC-8 - AC-9 - AC-17 - AC-18 - AC-19 - AC-20 - AT-2 - AT-3 - CM-11 - IA-2 - IA-4 - IA-5 - MP-7 - PS-6 - PS-8 - SA-5 - - -

Determine if the organization:

- - PL-4(a) - - PL-4(a)[1] -

establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage;

- - - PL-4(a)[2] -

makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage;

- - - - PL-4(b) -

receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - PL-4(c) - - PL-4(c)[1] -

defines the frequency to review and update the rules of behavior;

- - - PL-4(c)[2] -

reviews and updates the rules of behavior with the organization-defined - frequency; and

- - - - PL-4(d) -

requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

signed acknowledgements

-

records for rules of behavior reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior

-

automated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior

- - - - - - Personnel Security - - Personnel Security Policy and Procedures - - - - - - - - - - PS-1 - ps-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Personnel security policy ; and

- - - 2. -

Personnel security procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PS-1(a) - - PS-1(a)(1) - - PS-1(a)(1)[1] -

develops and documents an personnel security policy that addresses:

- - PS-1(a)(1)[1][a] -

purpose;

- - - PS-1(a)(1)[1][b] -

scope;

- - - PS-1(a)(1)[1][c] -

roles;

- - - PS-1(a)(1)[1][d] -

responsibilities;

- - - PS-1(a)(1)[1][e] -

management commitment;

- - - PS-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PS-1(a)(1)[1][g] -

compliance;

- - - - PS-1(a)(1)[2] -

defines personnel or roles to whom the personnel security policy is to be - disseminated;

- - - PS-1(a)(1)[3] -

disseminates the personnel security policy to organization-defined personnel - or roles;

- - - - PS-1(a)(2) - - PS-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls;

- - - PS-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - PS-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PS-1(b) - - PS-1(b)(1) - - PS-1(b)(1)[1] -

defines the frequency to review and update the current personnel security - policy;

- - - PS-1(b)(1)[2] -

reviews and updates the current personnel security policy with the - organization-defined frequency;

- - - - PS-1(b)(2) - - PS-1(b)(2)[1] -

defines the frequency to review and update the current personnel security - procedures; and

- - - PS-1(b)(2)[2] -

reviews and updates the current personnel security procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Position Risk Designation - - - - PS-2 - ps-02 - FED - 5 C.F.R. 731.106 - -

The organization:

- - a. -

Assigns a risk designation to all organizational positions;

- - - b. -

Establishes screening criteria for individuals filling those positions; and

- - - c. -

Reviews and updates position risk designations .

- - - -

Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances).

- AT-3 - PL-2 - PS-3 - - -

Determine if the organization:

- - PS-2(a) -

assigns a risk designation to all organizational positions;

- - - PS-2(b) -

establishes screening criteria for individuals filling those positions;

- - - PS-2(c) - - PS-2(c)[1] -

defines the frequency to review and update position risk designations; and

- - - PS-2(c)[2] -

reviews and updates position risk designations with the organization-defined - frequency.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing position categorization

-

appropriate codes of federal regulations

-

list of risk designations for organizational positions

-

security plan

-

records of position risk designation reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for assigning, reviewing, and updating position risk - designations

-

organizational processes for establishing screening criteria

- - - - - Personnel Screening - - - For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - - PS-3 - ps-03 - ASSESS - 5 C.F.R. 731.106 - FIPS Publication 199 - FIPS Publication 201 - NIST Special Publication 800-60 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - ICD 704 - -

The organization:

- - a. -

Screens individuals prior to authorizing access to the information system; and

- - - b. -

Rescreens individuals according to .

- - - -

Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems.

- AC-2 - IA-4 - PE-2 - PS-2 - - -

Determine if the organization:

- - PS-3(a) -

screens individuals prior to authorizing access to the information system;

- - - PS-3(b) - - PS-3(b)[1] -

defines conditions requiring re-screening;

- - - PS-3(b)[2] -

defines the frequency of re-screening where it is so indicated; and

- - - PS-3(b)[3] -

re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel screening

- - - - - Personnel Termination - - - - - - - - - - - - - PS-4 - ps-04 - ATTEST - -

The organization, upon termination of individual employment:

- - a. -

Disables information system access within ;

- - - b. -

Terminates/revokes any authenticators/credentials associated with the - individual;

- - - c. -

Conducts exit interviews that include a discussion of ;

- - - d. -

Retrieves all security-related organizational information system-related - property;

- - - e. -

Retains access to organizational information and information systems formerly - controlled by terminated individual; and

- - - f. -

Notifies within .

- - - -

Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified.

- AC-2 - IA-4 - PE-2 - PS-5 - PS-6 - - -

Determine if the organization, upon termination of individual employment,:

- - PS-4(a) - - PS-4(a)[1] -

defines a time period within which to disable information system access;

- - - PS-4(a)[2] -

disables information system access within the organization-defined time - period;

- - - - PS-4(b) -

terminates/revokes any authenticators/credentials associated with the - individual;

- - - PS-4(c) - - PS-4(c)[1] -

defines information security topics to be discussed when conducting exit - interviews;

- - - PS-4(c)[2] -

conducts exit interviews that include a discussion of organization-defined - information security topics;

- - - - PS-4(d) -

retrieves all security-related organizational information system-related - property;

- - - PS-4(e) -

retains access to organizational information and information systems formerly - controlled by the terminated individual;

- - - PS-4(f) - - PS-4(f)[1] -

defines personnel or roles to be notified of the termination;

- - - PS-4(f)[2] -

defines the time period within which to notify organization-defined personnel - or roles; and

- - - PS-4(f)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

records of personnel termination actions

-

list of information system accounts

-

records of terminated or revoked authenticators/credentials

-

records of exit interviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Personnel Transfer - - - - - - - - - - - - - PS-5 - ps-05 - ATTEST - -

The organization:

- - a. -

Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization;

- - - b. -

Initiates within ;

- - - c. -

Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and

- - - d. -

Notifies within .

- - - -

This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts.

- AC-2 - IA-4 - PE-2 - PS-4 - - -

Determine if the organization:

- - PS-5(a) -

when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current:

- - PS-5(a)[1] -

logical access authorizations to information systems;

- - - PS-5(a)[2] -

physical access authorizations to information systems and facilities;

- - - - PS-5(b) - - PS-5(b)[1] -

defines transfer or reassignment actions to be initiated following transfer or - reassignment;

- - - PS-5(b)[2] -

defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment;

- - - PS-5(b)[3] -

initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment;

- - - - PS-5(c) -

modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer;

- - - PS-5(d) - - PS-5(d)[1] -

defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization;

- - - PS-5(d)[2] -

defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and

- - - PS-5(d)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel transfer

-

security plan

-

records of personnel transfer actions

-

list of information system and facility access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel transfer

-

automated mechanisms supporting and/or implementing personnel transfer - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Access Agreements - - - - - - - PS-6 - ps-06 - ATTEST - -

The organization:

- - a. -

Develops and documents access agreements for organizational information - systems;

- - - b. -

Reviews and updates the access agreements ; and

- - - c. -

Ensures that individuals requiring access to organizational information and - information systems:

- - 1. -

Sign appropriate access agreements prior to being granted access; and

- - - 2. -

Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or .

- - - - -

Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy.

- PL-4 - PS-2 - PS-3 - PS-4 - PS-8 - - -

Determine if the organization:

- - PS-6(a) -

develops and documents access agreements for organizational information - systems;

- - - PS-6(b) - - PS-6(b)[1] -

defines the frequency to review and update the access agreements;

- - - PS-6(b)[2] -

reviews and updates the access agreements with the organization-defined - frequency;

- - - - PS-6(c) - - PS-6(c)(1) -

ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access;

- - - PS-6(c)(2) - - PS-6(c)(2)[1] -

defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated;

- - - PS-6(c)(2)[2] -

ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

security plan

-

access agreements

-

records of access agreement reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed/resigned access agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access agreements

-

automated mechanisms supporting access agreements

- - - - - Third-party Personnel Security - - - - - - - PS-7 - ps-07 - ATTEST - NIST Special Publication 800-35 - -

The organization:

- - a. -

Establishes personnel security requirements including security roles and - responsibilities for third-party providers;

- - - b. -

Requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - c. -

Documents personnel security requirements;

- - - d. -

Requires third-party providers to notify of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within ; and

- - - e. -

Monitors provider compliance.

- - - -

Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated.

- PS-2 - PS-3 - PS-4 - PS-5 - PS-6 - SA-9 - SA-21 - - -

Determine if the organization:

- - PS-7(a) -

establishes personnel security requirements, including security roles and - responsibilities, for third-party providers;

- - - PS-7(b) -

requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - PS-7(c) -

documents personnel security requirements;

- - - PS-7(d) - - PS-7(d)[1] -

defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - PS-7(d)[2] -

defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - PS-7(d)[3] -

requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and

- - - - PS-7(e) -

monitors provider compliance.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing third-party personnel security

-

list of personnel security requirements

-

acquisition documents

-

service-level agreements

-

compliance monitoring process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

third-party providers

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing and monitoring third-party personnel - security

-

automated mechanisms supporting and/or implementing monitoring of provider - compliance

- - - -

Attestation - Specifically stating that any third-party security personnel are - treated as CSP employees.

- - - - Personnel Sanctions - - - - - - - PS-8 - ps-08 - ATTEST - -

The organization:

- - a. -

Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and

- - - b. -

Notifies within - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction.

- - - -

Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions.

- PL-4 - PS-6 - - -

Determine if the organization:

- - PS-8(a) -

employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures;

- - - PS-8(b) - - PS-8(b)[1] -

defines personnel or roles to be notified when a formal employee sanctions - process is initiated;

- - - PS-8(b)[2] -

defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and

- - - PS-8(b)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel sanctions

-

rules of behavior

-

records of formal sanctions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing personnel sanctions

-

automated mechanisms supporting and/or implementing notifications

- - - - - - Risk Assessment - - Risk Assessment Policy and Procedures - - - - - - - - - - RA-1 - ra-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-30 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Risk assessment policy ; and

- - - 2. -

Risk assessment procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - RA-1(a) - - RA-1(a)(1) - - RA-1(a)(1)[1] -

develops and documents a risk assessment policy that addresses:

- - RA-1(a)(1)[1][a] -

purpose;

- - - RA-1(a)(1)[1][b] -

scope;

- - - RA-1(a)(1)[1][c] -

roles;

- - - RA-1(a)(1)[1][d] -

responsibilities;

- - - RA-1(a)(1)[1][e] -

management commitment;

- - - RA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - RA-1(a)(1)[1][g] -

compliance;

- - - - RA-1(a)(1)[2] -

defines personnel or roles to whom the risk assessment policy is to be - disseminated;

- - - RA-1(a)(1)[3] -

disseminates the risk assessment policy to organization-defined personnel or - roles;

- - - - RA-1(a)(2) - - RA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls;

- - - RA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - RA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - RA-1(b) - - RA-1(b)(1) - - RA-1(b)(1)[1] -

defines the frequency to review and update the current risk assessment - policy;

- - - RA-1(b)(1)[2] -

reviews and updates the current risk assessment policy with the - organization-defined frequency;

- - - - RA-1(b)(2) - - RA-1(b)(2)[1] -

defines the frequency to review and update the current risk assessment - procedures; and

- - - RA-1(b)(2)[2] -

reviews and updates the current risk assessment procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

risk assessment policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Categorization - RA-2 - ra-02 - ASSESS - FIPS Publication 199 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - b. -

Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - c. -

Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted.

- CM-8 - MP-4 - RA-3 - SC-7 - - -

Determine if the organization:

- - RA-2(a) -

categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - RA-2(b) -

documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - RA-2(c) -

ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision.

- - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing security categorization of organizational information and - information systems

-

security plan

-

security categorization documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security categorization and risk assessment - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security categorization

- - - - - Risk Assessment - - - - security assessment report - - - - at least every three (3) years or when a significant change occurs - - - - - - - at least every three (3) years or when a significant change occurs - - RA-3 - ra-03 - ASSESS - OMB Memorandum 04-04 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - http://idmanagement.gov - -

The organization:

- - a. -

Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits;

- - - b. -

Documents risk assessment results in ;

- - - c. -

Reviews risk assessment results ;

- - - d. -

Disseminates risk assessment results to ; and

- - - e. -

Updates the risk assessment or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation.

- RA-2 - PM-9 - - -

Determine if the organization:

- - RA-3(a) -

conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of:

- - RA-3(a)[1] -

the information system;

- - - RA-3(a)[2] -

the information the system processes, stores, or transmits;

- - - - RA-3(b) - - RA-3(b)[1] -

defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report);

- - - RA-3(b)[2] -

documents risk assessment results in one of the following:

- - RA-3(b)[2][a] -

the security plan;

- - - RA-3(b)[2][b] -

the risk assessment report; or

- - - RA-3(b)[2][c] -

the organization-defined document;

- - - - - RA-3(c) - - RA-3(c)[1] -

defines the frequency to review risk assessment results;

- - - RA-3(c)[2] -

reviews risk assessment results with the organization-defined frequency;

- - - - RA-3(d) - - RA-3(d)[1] -

defines personnel or roles to whom risk assessment results are to be - disseminated;

- - - RA-3(d)[2] -

disseminates risk assessment results to organization-defined personnel or - roles;

- - - - RA-3(e) - - RA-3(e)[1] -

defines the frequency to update the risk assessment;

- - - RA-3(e)[2] -

updates the risk assessment:

- - RA-3(e)[2][a] -

with the organization-defined frequency;

- - - RA-3(e)[2][b] -

whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and

- - - RA-3(e)[2][c] -

whenever there are other conditions that may impact the security state of - the system.

- - - - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing organizational assessments of risk

-

security plan

-

risk assessment

-

risk assessment results

-

risk assessment reviews

-

risk assessment updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for risk assessment

-

automated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment

- - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include - FedRAMP.

- - - - - Vulnerability Scanning - - - monthly operating system/infrastructure; monthly web applications and databases - - - - [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - - - RA-5 - ra-05 - ASSESS - NIST Special Publication 800-40 - NIST Special Publication 800-70 - NIST Special Publication 800-115 - http://cwe.mitre.org - http://nvd.nist.gov - -

The organization:

- - a. -

Scans for vulnerabilities in the information system and hosted applications - and when new vulnerabilities potentially - affecting the system/applications are identified and reported;

- - - b. -

Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - 1. -

Enumerating platforms, software flaws, and improper configurations;

- - - 2. -

Formatting checklists and test procedures; and

- - - 3. -

Measuring vulnerability impact;

- - - - c. -

Analyzes vulnerability scan reports and results from security control - assessments;

- - - d. -

Remediates legitimate vulnerabilities in - accordance with an organizational assessment of risk; and

- - - e. -

Shares information obtained from the vulnerability scanning process and security - control assessments with to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - -

Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS).

- CA-2 - CA-7 - CM-4 - CM-6 - RA-2 - RA-3 - SA-11 - SI-2 - - -

Determine if the organization:

- - RA-5(a) - - RA-5(a)[1] - - RA-5(a)[1][a] -

defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or

- - - RA-5(a)[1][b] -

defines the process for conducting random vulnerability scans on the - information system and hosted applications;

- - - - RA-5(a)[2] -

in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in:

- - RA-5(a)[2][a] -

the information system;

- - - RA-5(a)[2][b] -

hosted applications;

- - - - RA-5(a)[3] -

when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in:

- - RA-5(a)[3][a] -

the information system;

- - - RA-5(a)[3][b] -

hosted applications;

- - - - - RA-5(b) -

employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - RA-5(b)(1) - - RA-5(b)(1)[1] -

enumerating platforms;

- - - RA-5(b)(1)[2] -

enumerating software flaws;

- - - RA-5(b)(1)[3] -

enumerating improper configurations;

- - - - RA-5(b)(2) - - RA-5(b)(2)[1] -

formatting checklists;

- - - RA-5(b)(2)[2] -

formatting test procedures;

- - - - RA-5(b)(3) -

measuring vulnerability impact;

- - - - RA-5(c) - - RA-5(c)[1] -

analyzes vulnerability scan reports;

- - - RA-5(c)[2] -

analyzes results from security control assessments;

- - - - RA-5(d) - - RA-5(d)[1] -

defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk;

- - - RA-5(d)[2] -

remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk;

- - - - RA-5(e) - - RA-5(e)[1] -

defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared;

- - - RA-5(e)[2] -

shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and

- - - RA-5(e)[3] -

shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with vulnerability remediation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing

-

automated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing

- - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web - applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include - FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - System and Services Acquisition - - System and Services Acquisition Policy and Procedures - - - - - - - - - - SA-1 - sa-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and services acquisition policy ; and

- - - 2. -

System and services acquisition procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SA-1(a) - - SA-1(a)(1) - - SA-1(a)(1)[1] -

develops and documents a system and services acquisition policy that - addresses:

- - SA-1(a)(1)[1][a] -

purpose;

- - - SA-1(a)(1)[1][b] -

scope;

- - - SA-1(a)(1)[1][c] -

roles;

- - - SA-1(a)(1)[1][d] -

responsibilities;

- - - SA-1(a)(1)[1][e] -

management commitment;

- - - SA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SA-1(a)(1)[1][g] -

compliance;

- - - - SA-1(a)(1)[2] -

defines personnel or roles to whom the system and services acquisition - policy is to be disseminated;

- - - SA-1(a)(1)[3] -

disseminates the system and services acquisition policy to - organization-defined personnel or roles;

- - - - SA-1(a)(2) - - SA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls;

- - - SA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - SA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SA-1(b) - - SA-1(b)(1) - - SA-1(b)(1)[1] -

defines the frequency to review and update the current system and services - acquisition policy;

- - - SA-1(b)(1)[2] -

reviews and updates the current system and services acquisition policy with - the organization-defined frequency;

- - - - SA-1(b)(2) - - SA-1(b)(2)[1] -

defines the frequency to review and update the current system and services - acquisition procedures; and

- - - SA-1(b)(2)[2] -

reviews and updates the current system and services acquisition procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and services acquisition policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

- - - - - Allocation of Resources - SA-2 - sa-02 - ATTEST - NIST Special Publication 800-65 - -

The organization:

- - a. -

Determines information security requirements for the information system or - information system service in mission/business process planning;

- - - b. -

Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and

- - - c. -

Establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - -

Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service.

- PM-3 - PM-11 - - -

Determine if the organization:

- - SA-2(a) -

determines information security requirements for the information system or - information system service in mission/business process planning;

- - - SA-2(b) -

to protect the information system or information system service as part of its - capital planning and investment control process:

- - SA-2(b)[1] -

determines the resources required;

- - - SA-2(b)[2] -

documents the resources required;

- - - SA-2(b)[3] -

allocates the resources required; and

- - - - SA-2(c) -

establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the allocation of resources to information security - requirements

-

procedures addressing capital planning and investment control

-

organizational programming and budgeting documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities

-

organizational personnel responsible for determining information security - requirements for information systems/services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information security requirements

-

organizational processes for capital planning, programming, and budgeting

-

automated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting

- - - - - System Development Life Cycle - - - - SA-3 - sa-03 - ATTEST - NIST Special Publication 800-37 - NIST Special Publication 800-64 - -

The organization:

- - a. -

Manages the information system using that - incorporates information security considerations;

- - - b. -

Defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - c. -

Identifies individuals having information security roles and responsibilities; - and

- - - d. -

Integrates the organizational information security risk management process into - system development life cycle activities.

- - - -

A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies.

- AT-3 - PM-7 - SA-8 - - -

Determine if the organization:

- - SA-3(a) - - SA-3(a)[1] -

defines a system development life cycle that incorporates information security - considerations to be used to manage the information system;

- - - SA-3(a)[2] -

manages the information system using the organization-defined system - development life cycle;

- - - - SA-3(b) -

defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - SA-3(c) -

identifies individuals having information security roles and responsibilities; - and

- - - SA-3(d) -

integrates the organizational information security risk management process into - system development life cycle activities.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security into the system - development life cycle process

-

information system development life cycle documentation

-

information security risk management strategy/program documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security and system life cycle - development responsibilities

-

organizational personnel with information security risk management - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining and documenting the SDLC

-

organizational processes for identifying SDLC roles and responsibilities

-

organizational process for integrating information security risk management into - the SDLC

-

automated mechanisms supporting and/or implementing the SDLC

- - - - - Acquisition Process - SA-4 - sa-04 - ATTEST - HSPD-12 - ISO/IEC 15408 - FIPS Publication 140-2 - FIPS Publication 201 - NIST Special Publication 800-23 - NIST Special Publication 800-35 - NIST Special Publication 800-36 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - NIST Special Publication 800-70 - NIST Special Publication 800-137 - Federal Acquisition Regulation - http://www.niap-ccevs.org - http://fips201ep.cio.gov - http://www.acquisition.gov/far - -

The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs:

- - a. -

Security functional requirements;

- - - b. -

Security strength requirements;

- - - c. -

Security assurance requirements;

- - - d. -

Security-related documentation requirements;

- - - e. -

Requirements for protecting security-related documentation;

- - - f. -

Description of the information system development environment and environment in - which the system is intended to operate; and

- - - g. -

Acceptance criteria.

- - - -

Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA.

- CM-6 - PL-2 - PS-7 - SA-3 - SA-5 - SA-8 - SA-11 - SA-12 - - -

Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs:

- - SA-4(a) -

security functional requirements;

- - - SA-4(b) -

security strength requirements;

- - - SA-4(c) -

security assurance requirements;

- - - SA-4(d) -

security-related documentation requirements;

- - - SA-4(e) -

requirements for protecting security-related documentation;

- - - SA-4(f) -

description of:

- - SA-4(f)[1] -

the information system development environment;

- - - SA-4(f)[2] -

the environment in which the system is intended to operate; and

- - - - SA-4(g) -

acceptance criteria.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

acquisition contracts for the information system, system component, or information - system service

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security functional, - strength, and assurance requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts

- - - - Use of Approved PIV Products - SA-4(10) - sa-04.10 - ATTEST - -

The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems.

- - - IA-2 - IA-8 - - -

Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for selecting and employing FIPS 201-approved - products

- - - - - - Information System Documentation - - - - - - - SA-5 - sa-05 - ATTEST - -

The organization:

- - a. -

Obtains administrator documentation for the information system, system component, - or information system service that describes:

- - 1. -

Secure configuration, installation, and operation of the system, component, or - service;

- - - 2. -

Effective use and maintenance of security functions/mechanisms; and

- - - 3. -

Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - b. -

Obtains user documentation for the information system, system component, or - information system service that describes:

- - 1. -

User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms;

- - - 2. -

Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and

- - - 3. -

User responsibilities in maintaining the security of the system, component, or - service;

- - - - c. -

Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes in response;

- - - d. -

Protects documentation as required, in accordance with the risk management - strategy; and

- - - e. -

Distributes documentation to .

- - - -

This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation.

- CM-6 - CM-8 - PL-2 - PL-4 - PS-2 - SA-3 - SA-4 - - -

Determine if the organization:

- - SA-5(a) -

obtains administrator documentation for the information system, system component, - or information system service that describes:

- - SA-5(a)(1) - - SA-5(a)(1)[1] -

secure configuration of the system, system component, or service;

- - - SA-5(a)(1)[2] -

secure installation of the system, system component, or service;

- - - SA-5(a)(1)[3] -

secure operation of the system, system component, or service;

- - - - SA-5(a)(2) - - SA-5(a)(2)[1] -

effective use of the security features/mechanisms;

- - - SA-5(a)(2)[2] -

effective maintenance of the security features/mechanisms;

- - - - SA-5(a)(3) -

known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - SA-5(b) -

obtains user documentation for the information system, system component, or - information system service that describes:

- - SA-5(b)(1) - - SA-5(b)(1)[1] -

user-accessible security functions/mechanisms;

- - - SA-5(b)(1)[2] -

how to effectively use those functions/mechanisms;

- - - - SA-5(b)(2) -

methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner;

- - - SA-5(b)(3) -

user responsibilities in maintaining the security of the system, component, or - service;

- - - - SA-5(c) - - SA-5(c)[1] -

defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent;

- - - SA-5(c)[2] -

documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent;

- - - SA-5(c)[3] -

takes organization-defined actions in response;

- - - - SA-5(d) -

protects documentation as required, in accordance with the risk management - strategy;

- - - SA-5(e) - - SA-5(e)[1] -

defines personnel or roles to whom documentation is to be distributed; and

- - - SA-5(e)[2] -

distributes documentation to organization-defined personnel or roles.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing information system documentation

-

information system documentation including administrator and user guides

-

records documenting attempts to obtain unavailable or nonexistent information - system documentation

-

list of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation

-

risk management strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation

- - - - - External Information System Services - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - SA-9 - sa-09 - ASSESS - NIST Special Publication 800-35 - -

The organization:

- - a. -

Requires that providers of external information system services comply with - organizational information security requirements and employ in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance;

- - - b. -

Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and

- - - c. -

Employs to monitor security control compliance by - external service providers on an ongoing basis.

- - - -

External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance.

- CA-3 - IR-7 - PS-7 - - -

Determine if the organization:

- - SA-9(a) - - SA-9(a)[1] -

defines security controls to be employed by providers of external information - system services;

- - - SA-9(a)[2] -

requires that providers of external information system services comply with - organizational information security requirements;

- - - SA-9(a)[3] -

requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - - SA-9(b) - - SA-9(b)[1] -

defines and documents government oversight with regard to external information - system services;

- - - SA-9(b)[2] -

defines and documents user roles and responsibilities with regard to external - information system services;

- - - - SA-9(c) - - SA-9(c)[1] -

defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and

- - - SA-9(c)[2] -

employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

procedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services

-

acquisition contracts, service-level agreements

-

organizational security requirements and security specifications for external - provider services

-

security control assessment evidence from external providers of information system - services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis

-

automated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis

- - - - - - System and Communications Protection - - System and Communications Protection Policy and Procedures - - - - - - - - - - SC-1 - sc-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and communications protection policy ; - and

- - - 2. -

System and communications protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SC-1(a) - - SC-1(a)(1) - - SC-1(a)(1)[1] -

develops and documents a system and communications protection policy that - addresses:

- - SC-1(a)(1)[1][a] -

purpose;

- - - SC-1(a)(1)[1][b] -

scope;

- - - SC-1(a)(1)[1][c] -

roles;

- - - SC-1(a)(1)[1][d] -

responsibilities;

- - - SC-1(a)(1)[1][e] -

management commitment;

- - - SC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SC-1(a)(1)[1][g] -

compliance;

- - - - SC-1(a)(1)[2] -

defines personnel or roles to whom the system and communications protection - policy is to be disseminated;

- - - SC-1(a)(1)[3] -

disseminates the system and communications protection policy to - organization-defined personnel or roles;

- - - - SC-1(a)(2) - - SC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls;

- - - SC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - SC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SC-1(b) - - SC-1(b)(1) - - SC-1(b)(1)[1] -

defines the frequency to review and update the current system and - communications protection policy;

- - - SC-1(b)(1)[2] -

reviews and updates the current system and communications protection policy - with the organization-defined frequency;

- - - - SC-1(b)(2) - - SC-1(b)(2)[1] -

defines the frequency to review and update the current system and - communications protection procedures; and

- - - SC-1(b)(2)[2] -

reviews and updates the current system and communications protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

System and communications protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and communications protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Denial of Service Protection - - - - - - - SC-5 - sc-05 - CONDITIONAL - -

The information system protects against or limits the effects of the following types - of denial of service attacks: by employing .

- - -

A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks.

- SC-6 - SC-7 - - -

Determine if:

- - SC-5[1] -

the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects;

- - - SC-5[2] -

the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and

- - - SC-5[3] -

the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

security plan

-

list of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks

-

list of security safeguards protecting against or limiting the effects of denial - of service attacks

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms protecting against or limiting the effects of denial of - service attacks

- - - -

Condition: If availability is a requirement, define protections in place as per - control requirement.

- - - - Boundary Protection - - SC-7 - sc-07 - ASSESS - FIPS Publication 199 - NIST Special Publication 800-41 - NIST Special Publication 800-77 - -

The information system:

- - a. -

Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system;

- - - b. -

Implements subnetworks for publicly accessible system components that are separated from internal organizational networks; - and

- - - c. -

Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - -

Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions.

- AC-4 - AC-17 - CA-3 - CM-7 - CP-8 - IR-4 - RA-3 - SC-5 - SC-13 - - -

Determine if the information system:

- - SC-7(a) - - SC-7(a)[1] -

monitors communications at the external boundary of the information system;

- - - SC-7(a)[2] -

monitors communications at key internal boundaries within the system;

- - - SC-7(a)[3] -

controls communications at the external boundary of the information system;

- - - SC-7(a)[4] -

controls communications at key internal boundaries within the system;

- - - - SC-7(b) -

implements subnetworks for publicly accessible system components that are - either:

- - SC-7(b)[1] -

physically separated from internal organizational networks; and/or

- - - SC-7(b)[2] -

logically separated from internal organizational networks; and

- - - - SC-7(c) -

connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

list of key internal boundaries of the information system

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

enterprise security architecture documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

- - - - - Cryptographic Key Establishment and Management - - - - SC-12 - sc-12 - ASSESS - NIST Special Publication 800-56 - NIST Special Publication 800-57 - -

The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with .

- - -

Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems.

- SC-13 - SC-17 - - -

Determine if the organization:

- - SC-12[1] -

defines requirements for cryptographic key:

- - SC-12[1][a] -

generation;

- - - SC-12[1][b] -

distribution;

- - - SC-12[1][c] -

storage;

- - - SC-12[1][d] -

access;

- - - SC-12[1][e] -

destruction; and

- - - - SC-12[2] -

establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

cryptographic mechanisms

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key establishment - and/or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved cryptography.

- - - - - Cryptographic Protection - - - FIPS-validated or NSA-approved cryptography - - SC-13 - sc-13 - CONDITIONAL - FIPS Publication 140 - http://csrc.nist.gov/cryptval - http://www.cnss.gov - -

The information system implements in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards.

- - -

Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography).

- AC-2 - AC-3 - AC-7 - AC-17 - AC-18 - AU-9 - AU-10 - CM-11 - CP-9 - IA-3 - IA-7 - MA-4 - MP-2 - MP-4 - MP-5 - SA-4 - SC-8 - SC-12 - SC-28 - SI-7 - - -

Determine if:

- - SC-13[1] -

the organization defines cryptographic uses; and

- - - SC-13[2] -

the organization defines the type of cryptography required for each use; and

- - - SC-13[3] -

the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic module validation certificates

-

list of FIPS validated cryptographic modules

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic protection

- - - -

Condition: If implementing need to detail how they meet it or don't meet it.

- - - - Collaborative Computing Devices - - - - SC-15 - sc-15 - NSO - -

The information system:

- - a. -

Prohibits remote activation of collaborative computing devices with the following - exceptions: ; and

- - - b. -

Provides an explicit indication of use to users physically present at the - devices.

- - - -

Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated.

- AC-21 - - -

Determine if:

- - SC-15(a) - - SC-15(a)[1] -

the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed;

- - - SC-15(a)[2] -

the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and

- - - - SC-15(b) -

the information system provides an explicit indication of use to users physically - present at the devices.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices

-

automated mechanisms providing an indication of use of collaborative computing - devices

- - - -

NSO - Not directly related to the security of the SaaS.

- - - - Secure Name / Address Resolution Service (authoritative Source) - SC-20 - sc-20 - ATTEST - OMB Memorandum 08-23 - NIST Special Publication 800-81 - -

The information system:

- - a. -

Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and

- - - b. -

Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace.

- - - -

This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data.

- AU-10 - SC-8 - SC-12 - SC-13 - SC-21 - SC-22 - - -

Determine if the information system:

- - SC-20(a) -

provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries;

- - - SC-20(b) -

provides the means to, when operating as part of a distributed, hierarchical - namespace:

- - SC-20(b)[1] -

indicate the security status of child zones; and

- - - SC-20(b)[2] -

enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services).

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (authoritative - source)

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure name/address resolution - service

- - - - - Secure Name / Address Resolution Service (recursive or Caching Resolver) - SC-21 - sc-21 - ATTEST - NIST Special Publication 800-81 - -

The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources.

- - -

Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data.

- SC-20 - SC-22 - - -

Determine if the information system:

- - SC-21[1] -

requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources;

- - - SC-21[2] -

requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources;

- - - SC-21[3] -

performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and

- - - SC-21[4] -

performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (recursive or caching - resolver)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services

- - - - - Architecture and Provisioning for Name / Address Resolution Service - SC-22 - sc-22 - ATTEST - NIST Special Publication 800-81 - -

The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation.

- - -

Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists).

- SC-2 - SC-20 - SC-21 - SC-24 - - -

Determine if the information systems that collectively provide name/address - resolution service for an organization:

- - SC-22[1] -

are fault tolerant; and

- - - SC-22[2] -

implement internal/external role separation.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing architecture and provisioning for name/address resolution - service

-

access control policy and procedures

-

information system design documentation

-

assessment results from independent, testing organizations

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation

- - - - - Process Isolation - SC-39 - sc-39 - ATTEST - -

The information system maintains a separate execution domain for each executing - process.

- - -

Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies.

- AC-3 - AC-4 - AC-6 - SA-4 - SA-5 - SA-8 - SC-2 - SC-3 - - -

Determine if the information system maintains a separate execution domain for each - executing process.

- - - EXAMINE - -

Information system design documentation

-

information system architecture

-

independent verification and validation documentation

-

testing and evaluation documentation, other relevant documents or records

- - - - INTERVIEW - -

Information system developers/integrators

-

information system security architect

- - - - TEST - -

Automated mechanisms supporting and/or implementing separate execution domains for - each executing process

- - - - - - System and Information Integrity - - System and Information Integrity Policy and Procedures - - - - - - - - - - SI-1 - si-01 - ATTEST - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and information integrity policy ; - and

- - - 2. -

System and information integrity procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SI-1(a) - - SI-1(a)(1) - - SI-1(a)(1)[1] -

develops and documents a system and information integrity policy that - addresses:

- - SI-1(a)(1)[1][a] -

purpose;

- - - SI-1(a)(1)[1][b] -

scope;

- - - SI-1(a)(1)[1][c] -

roles;

- - - SI-1(a)(1)[1][d] -

responsibilities;

- - - SI-1(a)(1)[1][e] -

management commitment;

- - - SI-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SI-1(a)(1)[1][g] -

compliance;

- - - - SI-1(a)(1)[2] -

defines personnel or roles to whom the system and information integrity - policy is to be disseminated;

- - - SI-1(a)(1)[3] -

disseminates the system and information integrity policy to - organization-defined personnel or roles;

- - - - SI-1(a)(2) - - SI-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls;

- - - SI-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - SI-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SI-1(b) - - SI-1(b)(1) - - SI-1(b)(1)[1] -

defines the frequency to review and update the current system and - information integrity policy;

- - - SI-1(b)(1)[2] -

reviews and updates the current system and information integrity policy with - the organization-defined frequency;

- - - - SI-1(b)(2) - - SI-1(b)(2)[1] -

defines the frequency to review and update the current system and - information integrity procedures; and

- - - SI-1(b)(2)[2] -

reviews and updates the current system and information integrity procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and information integrity policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and information integrity - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Flaw Remediation - - - within 30 days of release of updates - - SI-2 - si-02 - ASSESS - NIST Special Publication 800-40 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Identifies, reports, and corrects information system flaws;

- - - b. -

Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation;

- - - c. -

Installs security-relevant software and firmware updates within of the release of the updates; and

- - - d. -

Incorporates flaw remediation into the organizational configuration management - process.

- - - -

Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures.

- CA-2 - CA-7 - CM-3 - CM-5 - CM-8 - MA-2 - IR-4 - RA-5 - SA-10 - SA-11 - SI-11 - - -

Determine if the organization:

- - SI-2(a) - - SI-2(a)[1] -

identifies information system flaws;

- - - SI-2(a)[2] -

reports information system flaws;

- - - SI-2(a)[3] -

corrects information system flaws;

- - - - SI-2(b) - - SI-2(b)[1] -

tests software updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - SI-2(b)[2] -

tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - - SI-2(c) - - SI-2(c)[1] -

defines the time period within which to install security-relevant software - updates after the release of the updates;

- - - SI-2(c)[2] -

defines the time period within which to install security-relevant firmware - updates after the release of the updates;

- - - SI-2(c)[3] -

installs software updates within the organization-defined time period of the - release of the updates;

- - - SI-2(c)[4] -

installs firmware updates within the organization-defined time period of the - release of the updates; and

- - - - SI-2(d) -

incorporates flaw remediation into the organizational configuration management - process.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

procedures addressing configuration management

-

list of flaws and vulnerabilities potentially affecting the information system

-

list of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)

-

test results from the installation of software and firmware updates to correct - information system flaws

-

installation/change control records for security-relevant software and firmware - updates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

organizational process for installing software and firmware updates

-

automated mechanisms supporting and/or implementing reporting, and correcting - information system flaws

-

automated mechanisms supporting and/or implementing testing software and firmware - updates

- - - - - Malicious Code Protection - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - - - SI-3 - si-03 - ASSESS - NIST Special Publication 800-83 - -

The organization:

- - a. -

Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code;

- - - b. -

Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures;

- - - c. -

Configures malicious code protection mechanisms to:

- - 1. -

Perform periodic scans of the information system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in - accordance with organizational security policy; and

- - - 2. -

- in response to malicious code detection; - and

- - - - d. -

Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files.

- CM-3 - MP-2 - SA-4 - SA-8 - SA-12 - SA-13 - SC-7 - SC-26 - SC-44 - SI-2 - SI-4 - SI-7 - - -

Determine if the organization:

- - SI-3(a) -

employs malicious code protection mechanisms to detect and eradicate malicious - code at information system:

- - SI-3(a)[1] -

entry points;

- - - SI-3(a)[2] -

exit points;

- - - - SI-3(b) -

updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1);

- - - SI-3(c) - - SI-3(c)[1] -

defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system;

- - - SI-3(c)[2] -

defines action to be initiated by malicious protection mechanisms in response - to malicious code detection;

- - - SI-3(c)[3] - - SI-3(c)[3](1) -

configures malicious code protection mechanisms to:

- - SI-3(c)[3](1)[a] -

perform periodic scans of the information system with the - organization-defined frequency;

- - - SI-3(c)[3](1)[b] -

perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy;

- - - - SI-3(c)[3](2) -

configures malicious code protection mechanisms to do one or more of the - following:

- - SI-3(c)[3](2)[a] -

block malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[b] -

quarantine malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[c] -

send alert to administrator in response to malicious code detection; - and/or

- - - SI-3(c)[3](2)[d] -

initiate organization-defined action in response to malicious code - detection;

- - - - - - SI-3(d) - - SI-3(d)[1] -

addresses the receipt of false positives during malicious code detection and - eradication; and

- - - SI-3(d)[2] -

addresses the resulting potential impact on the availability of the information - system.

- - - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures

-

procedures addressing malicious code protection

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

scan results from malicious code protection mechanisms

-

record of actions initiated by malicious code protection mechanisms in response to - malicious code detection

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for employing, updating, and configuring malicious code - protection mechanisms

-

organizational process for addressing false positives and resulting potential - impact

-

automated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms

-

automated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions

- - - - - Information System Monitoring - - - - - - - - - - - - - - - - - SI-4 - si-04 - ASSESS - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-92 - NIST Special Publication 800-94 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Monitors the information system to detect:

- - 1. -

Attacks and indicators of potential attacks in accordance with ; and

- - - 2. -

Unauthorized local, network, and remote connections;

- - - - b. -

Identifies unauthorized use of the information system through ;

- - - c. -

Deploys monitoring devices:

- - 1. -

Strategically within the information system to collect organization-determined - essential information; and

- - - 2. -

At ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - d. -

Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion;

- - - e. -

Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - f. -

Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and

- - - g. -

Provides to - .

- - - -

Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless.

- AC-3 - AC-4 - AC-8 - AC-17 - AU-2 - AU-6 - AU-7 - AU-9 - AU-12 - CA-7 - IR-4 - PE-3 - RA-5 - SC-7 - SC-26 - SC-35 - SI-3 - SI-7 - - -

Determine if the organization:

- - SI-4(a) - - SI-4(a)(1) - - SI-4(a)(1)[1] -

defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system;

- - - SI-4(a)(1)[2] -

monitors the information system to detect, in accordance with - organization-defined monitoring objectives,:

- - SI-4(a)(1)[2][a] -

attacks;

- - - SI-4(a)(1)[2][b] -

indicators of potential attacks;

- - - - - SI-4(a)(2) -

monitors the information system to detect unauthorized:

- - SI-4(a)(2)[1] -

local connections;

- - - SI-4(a)(2)[2] -

network connections;

- - - SI-4(a)(2)[3] -

remote connections;

- - - - - SI-4(b) - - SI-4(b)(1) -

defines techniques and methods to identify unauthorized use of the information - system;

- - - SI-4(b)(2) -

identifies unauthorized use of the information system through - organization-defined techniques and methods;

- - - - SI-4(c) -

deploys monitoring devices:

- - SI-4(c)[1] -

strategically within the information system to collect organization-determined - essential information;

- - - SI-4(c)[2] -

at ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - SI-4(d) -

protects information obtained from intrusion-monitoring tools from - unauthorized:

- - SI-4(d)[1] -

access;

- - - SI-4(d)[2] -

modification;

- - - SI-4(d)[3] -

deletion;

- - - - SI-4(e) -

heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - SI-4(f) -

obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations;

- - - SI-4(g) - - SI-4(g)[1] -

defines personnel or roles to whom information system monitoring information is - to be provided;

- - - SI-4(g)[2] -

defines information system monitoring information to be provided to - organization-defined personnel or roles;

- - - SI-4(g)[3] -

defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles;

- - - SI-4(g)[4] -

provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following:

- - SI-4(g)[4][a] -

as needed; and/or

- - - SI-4(g)[4][b] -

with the organization-defined frequency.

- - - - - - EXAMINE - -

Continuous monitoring strategy

-

system and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

facility diagram/layout

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

locations within information system where monitoring devices are deployed

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility monitoring the information system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system monitoring - capability

- - - - - Security Alerts, Advisories, and Directives - - - - - - - - - - - - - - SI-5 - si-05 - ATTEST - NIST Special Publication 800-40 - -

The organization:

- - a. -

Receives information system security alerts, advisories, and directives from - on an ongoing basis;

- - - b. -

Generates internal security alerts, advisories, and directives as deemed - necessary;

- - - c. -

Disseminates security alerts, advisories, and directives to: ; and

- - - d. -

Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance.

- - - -

The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations.

- SI-2 - - -

Determine if the organization:

- - SI-5(a) - - SI-5(a)[1] -

defines external organizations from whom information system security alerts, - advisories and directives are to be received;

- - - SI-5(a)[2] -

receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis;

- - - - SI-5(b) -

generates internal security alerts, advisories, and directives as deemed - necessary;

- - - SI-5(c) - - SI-5(c)[1] -

defines personnel or roles to whom security alerts, advisories, and directives - are to be provided;

- - - SI-5(c)[2] -

defines elements within the organization to whom security alerts, advisories, - and directives are to be provided;

- - - SI-5(c)[3] -

defines external organizations to whom security alerts, advisories, and - directives are to be provided;

- - - SI-5(c)[4] -

disseminates security alerts, advisories, and directives to one or more of the - following:

- - SI-5(c)[4][a] -

organization-defined personnel or roles;

- - - SI-5(c)[4][b] -

organization-defined elements within the organization; and/or

- - - SI-5(c)[4][c] -

organization-defined external organizations; and

- - - - - SI-5(d) - - SI-5(d)[1] -

implements security directives in accordance with established time frames; - or

- - - SI-5(d)[2] -

notifies the issuing organization of the degree of noncompliance.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

records of security alerts and advisories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing security directives

- - - - - Information Handling and Retention - SI-12 - si-12 - ATTEST - -

The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements.

- - -

Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention.

- AC-16 - AU-5 - AU-11 - MP-2 - MP-4 - - -

Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements:

- - SI-12[1] -

handles information within the information system;

- - - SI-12[2] -

handles output from the information system;

- - - SI-12[3] -

retains information within the information system; and

- - - SI-12[4] -

retains output from the information system.

- - - - EXAMINE - -

System and information integrity policy

-

federal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention

-

media protection policy and procedures

-

procedures addressing information system output handling and retention

-

information retention records, other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information handling and - retention

-

organizational personnel with information security responsibilities/network - administrators

- - - - TEST - -

Organizational processes for information handling and retention

-

automated mechanisms supporting and/or implementing information handling and - retention

- - - -

Attestation - Specifically related to US-CERT and FedRAMP communications - procedures.

- - - - - - 5 C.F.R. 731.106 - - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - - - - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - - - CNSS Policy 15 - - CNSS Policy 15 - - - - - DoD Information Assurance Vulnerability Alerts - - DoD Information Assurance Vulnerability Alerts - - - - DoD Instruction 5200.39 - - DoD Instruction 5200.39 - - - - - DoD Instruction 8551.01 - - DoD Instruction 8551.01 - - - - - Executive Order 13587 - - Executive Order 13587 - - - - - Federal Acquisition Regulation - - Federal Acquisition Regulation - - - - - Federal Continuity Directive 1 - - Federal Continuity Directive 1 - - - - - FICAM Roadmap and Implementation Guidance - - FICAM Roadmap and Implementation Guidance - - - - - FIPS Publication 140 - - FIPS Publication 140 - - - - - FIPS Publication 140-2 - - FIPS Publication 140-2 - - - - - FIPS Publication 197 - - FIPS Publication 197 - - - - - FIPS Publication 199 - - FIPS Publication 199 - - - - - FIPS Publication 201 - - FIPS Publication 201 - - - - - HSPD-12 - - HSPD-12 - - - - - http://checklists.nist.gov - - http://checklists.nist.gov - - - - - http://csrc.nist.gov/cryptval - - http://csrc.nist.gov/cryptval - - - - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - - - - http://cwe.mitre.org - - http://cwe.mitre.org - - - - - http://fips201ep.cio.gov - - http://fips201ep.cio.gov - - - - - http://idmanagement.gov - - http://idmanagement.gov - - - - - http://nvd.nist.gov - - http://nvd.nist.gov - - - - - http://www.acquisition.gov/far - - http://www.acquisition.gov/far - - - - - http://www.cnss.gov - - http://www.cnss.gov - - - - - http://www.niap-ccevs.org - - http://www.niap-ccevs.org - - - - - http://www.nsa.gov - - http://www.nsa.gov - - - - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - - - - http://www.us-cert.gov - - http://www.us-cert.gov - - - - - ICD 704 - - ICD 704 - - - - - ICD 705 - - ICD 705 - - - - - ISO/IEC 15408 - - ISO/IEC 15408 - - - - - National Strategy for Trusted Identities in Cyberspace - - National Strategy for Trusted Identities in Cyberspace - - - - - NIST Special Publication 800-100 - 10.6028/NIST.SP.800-100 - - NIST Special Publication 800-100 - - - - - NIST Special Publication 800-111 - 10.6028/NIST.SP.800-111 - - NIST Special Publication 800-111 - - - - - NIST Special Publication 800-113 - 10.6028/NIST.SP.800-113 - - NIST Special Publication 800-113 - - - - - NIST Special Publication 800-114 Rev. 1 - 10.6028/NIST.SP.800-114r1 - - NIST Special Publication 800-114 Rev. 1 - - - - - NIST Special Publication 800-115 - 10.6028/NIST.SP.800-115 - - NIST Special Publication 800-115 - - - - - NIST Special Publication 800-116 Rev. 1 - 10.6028/NIST.SP.800-116r1 - - NIST Special Publication 800-116 Rev. 1 - - - - - NIST Special Publication 800-12 Rev. 1 - 10.6028/NIST.SP.800-12r1 - - NIST Special Publication 800-12 Rev. 1 - - - - - NIST Special Publication 800-121 - - NIST Special Publication 800-121 - - - - - NIST Special Publication 800-124 - - NIST Special Publication 800-124 - - - - - NIST Special Publication 800-128 - - NIST Special Publication 800-128 - - - - - NIST Special Publication 800-137 - - NIST Special Publication 800-137 - - - - - NIST Special Publication 800-16 - - NIST Special Publication 800-16 - - - - - NIST Special Publication 800-164 - - NIST Special Publication 800-164 - - - - - NIST Special Publication 800-18 - - NIST Special Publication 800-18 - - - - - NIST Special Publication 800-23 - - NIST Special Publication 800-23 - - - - - NIST Special Publication 800-30 - - NIST Special Publication 800-30 - - - - - NIST Special Publication 800-34 - - NIST Special Publication 800-34 - - - - - NIST Special Publication 800-35 - - NIST Special Publication 800-35 - - - - - NIST Special Publication 800-36 - - NIST Special Publication 800-36 - - - - - NIST Special Publication 800-37 - - NIST Special Publication 800-37 - - - - - NIST Special Publication 800-39 - - NIST Special Publication 800-39 - - - - - NIST Special Publication 800-40 - - NIST Special Publication 800-40 - - - - - NIST Special Publication 800-41 - - NIST Special Publication 800-41 - - - - - NIST Special Publication 800-46 - - NIST Special Publication 800-46 - - - - - NIST Special Publication 800-47 - - NIST Special Publication 800-47 - - - - - NIST Special Publication 800-48 - - NIST Special Publication 800-48 - - - - - NIST Special Publication 800-50 - - NIST Special Publication 800-50 - - - - - NIST Special Publication 800-53A - - NIST Special Publication 800-53A - - - - - NIST Special Publication 800-56 - - NIST Special Publication 800-56 - - - - - NIST Special Publication 800-57 - - NIST Special Publication 800-57 - - - - - NIST Special Publication 800-60 - - NIST Special Publication 800-60 - - - - - NIST Special Publication 800-61 - - NIST Special Publication 800-61 - - - - - NIST Special Publication 800-63 - - NIST Special Publication 800-63 - - - - - NIST Special Publication 800-64 - - NIST Special Publication 800-64 - - - - - NIST Special Publication 800-65 - - NIST Special Publication 800-65 - - - - - NIST Special Publication 800-70 - - NIST Special Publication 800-70 - - - - - NIST Special Publication 800-73 - - NIST Special Publication 800-73 - - - - - NIST Special Publication 800-76 - - NIST Special Publication 800-76 - - - - - NIST Special Publication 800-77 - - NIST Special Publication 800-77 - - - - - NIST Special Publication 800-78 - - NIST Special Publication 800-78 - - - - - NIST Special Publication 800-81 - - NIST Special Publication 800-81 - - - - - NIST Special Publication 800-83 - - NIST Special Publication 800-83 - - - - - NIST Special Publication 800-84 - - NIST Special Publication 800-84 - - - - - NIST Special Publication 800-88 - - NIST Special Publication 800-88 - - - - - NIST Special Publication 800-92 - - NIST Special Publication 800-92 - - - - - NIST Special Publication 800-94 - - NIST Special Publication 800-94 - - - - - NIST Special Publication 800-97 - - NIST Special Publication 800-97 - - - - - OMB Circular A-130 - - OMB Circular A-130 - - - - - OMB Memorandum 02-01 - - OMB Memorandum 02-01 - - - - - OMB Memorandum 04-04 - - OMB Memorandum 04-04 - - - - - OMB Memorandum 06-16 - - OMB Memorandum 06-16 - - - - - OMB Memorandum 07-11 - - OMB Memorandum 07-11 - - - - - OMB Memorandum 07-18 - - OMB Memorandum 07-18 - - - - - OMB Memorandum 08-22 - - OMB Memorandum 08-22 - - - - - OMB Memorandum 08-23 - - OMB Memorandum 08-23 - - - - - OMB Memorandum 10-06-2011 - - OMB Memorandum 10-06-2011 - - - - OMB Memorandum 11-11 - - OMB Memorandum 11-11 - - - - - OMB Memorandum 11-33 - - OMB Memorandum 11-33 - - - - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - - - US-CERT Technical Cyber Security Alerts - - US-CERT Technical Cyber Security Alerts - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline_profile.xml b/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline_profile.xml deleted file mode 100644 index 74ed89cbf0..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline_profile.xml +++ /dev/null @@ -1,1734 +0,0 @@ - - - - - FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - 2020-02-02T00:00:00.000-05:00 - 2020-06-01T10:00:00.000-05:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - - at least quarterly - - - - organization-defined actions to be taken (overwrite oldest record) - - - - at least weekly - - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - - - at least annually and on input from FedRAMP - - - - at least monthly - - - - at least every three years or when a significant change occurs - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - - see CM-6(a) Additional FedRAMP Requirements and Guidance - - - - at least monthly - - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - - at least annually - - - - CSP defined physical access control systems/devices AND guards - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - - at least monthly - - - - for a minimum of one (1) year - - - at least monthly - - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - - all information system components - - - - at least annually - - - - For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - - - - security assessment report - - - at least every three (3) years or when a significant change occurs - - - at least every three (3) years or when a significant change occurs - - - - monthly operating system/infrastructure; monthly web applications and databases - - - [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - - FIPS-validated or NSA-approved cryptography - - - - within 30 days of release of updates - - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - - - - - - ATTEST - - - - - - - - - - - - - - - ASSESS - - AC-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored - for LI-SaaS.

- - - - - - - - - - ASSESS - - - - - - - - NSO - ATTEST - -

NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication.

- - - - - - - - - FED - -

FED - This is related to agency data and agency policy solution.

- - - - - - - - - FED - -

FED - This is related to agency data and agency policy solution.

- - - - - - - - - ASSESS - - - - - - - - NSO - -

NSO - All access to Cloud SaaS are via web services and/or API. The device - accessed from or whether via wired or wireless connection is out of scope. - Regardless of device accessed from, must utilize approved remote access methods - (AC-17), secure communication with strong encryption (SC-13), key management - (SC-12), and multi-factor authentication for privileged access (IA-2[1]).

- - - - - - - - - NSO - -

NSO - All access to Cloud SaaS are via web service and/or API. The device accessed - from is out of the scope. Regardless of device accessed from, must utilize - approved remote access methods (AC-17), secure communication with strong - encryption (SC-13), key management (SC-12), and multi-factor authentication for - privileged access (IA-2 [1]).

- - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - NSO - -

NSO - Loss of availability of the audit data has been determined to have little or - no impact to government business/mission needs.

- - - - - - - - - ASSESS - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - NSO - -

NSO - Loss of availability of the audit data has been determined as little or no - impact to government business/mission needs.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/

- - - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured.

- - - - - - - - - ATTEST - -

Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring - Requirements.

- - - - - - - - - ASSESS - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F. The service provider describes the types of changes to the - information system or the environment of operations that would impact the risk - posture. The types of changes are approved and accepted by the Authorizing - Official.

- - - - - - - - - - ASSESS - - CA-7 Additional FedRAMP Requirements and Guidance - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities - within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/

- - - - - - - - - - CONDITIONAL - -

Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ASSESS - -

Required - Specifically include details of least functionality.

- - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines - (Level 1) to establish configuration settings or establishes its own - configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings - are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP - compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - - - ATTEST - - - - - - - - ASSESS - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - - - NSO - -

NSO- Not directly related to protection of the data.

- - - - - - - - - NSO - -

NSO - Boundary is specific to SaaS environment; all access is via web services; - users' machine or internal network are not contemplated. External services (SA-9), - internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and - SC-13), and privileged authentication (IA-2[1]) are considerations.

- - - - - - - - - ATTEST - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - ASSESS - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment - require the Information System Backup control. The service provider shall - determine how Information System Backup is going to be verified and appropriate - periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level - information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level - information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information - system documentation including security information (at least one of which is - available online).

- - - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - ATTEST - - - - - - - - NSO - ATTEST - -

NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication - specifically include description - of management of service accounts.

- - - - - - - - - ASSESS - - - - - - - - CONDITIONAL - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - FED - CONDITIONAL - -

FED - for Federal privileged users. Condition - Must document and assess for - privileged users. May attest to this control for non-privileged users.

- - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - - - - - - - CONDITIONAL - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - - - ATTEST - - - - - - - - ASSESS - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident - Communications Procedure.

- - - - - - - - - - ATTEST - - - - - - - - ATTEST - -

Attestation - Specifically attest to US-CERT compliance.

- - - - - - - - - ATTEST - -

Attestation - Specifically describe information spillage response processes.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels - by dew point.

- - - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - FED - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - -

Attestation - Specifically stating that any third-party security personnel are - treated as CSP employees.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ASSESS - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include - FedRAMP.

- - - - - - - - - - ASSESS - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web - applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include - FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: If availability is a requirement, define protections in place as per - control requirement.

- - - - - - - - - ASSESS - - - - - - - - ASSESS - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved cryptography.

- - - - - - - - - - CONDITIONAL - -

Condition: If implementing need to detail how they meet it or don't meet it.

- - - - - - - - - NSO - -

NSO - Not directly related to the security of the SaaS.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ASSESS - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - -

Attestation - Specifically related to US-CERT and FedRAMP communications - procedures.

- - - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_LOW-baseline-resolved-profile_catalog.xml b/content/fedramp.gov/xml/FedRAMP_LOW-baseline-resolved-profile_catalog.xml deleted file mode 100644 index eda383843b..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_LOW-baseline-resolved-profile_catalog.xml +++ /dev/null @@ -1,19131 +0,0 @@ - - - - FedRAMP Low Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - 2020-08-31T17:38:45.129825Z - FedRAMP Low Baseline - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - Access Control - - Access Control Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - AC-1 - ac-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the access control policy and - associated access controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Access control policy ; and

- - - 2. -

Access control procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AC-1(a) - - AC-1(a)(1) - - assessment-objective - EXAMINE - AC-1(a)(1)[1] -

develops and documents an access control policy that addresses:

- - AC-1(a)(1)[1][a] -

purpose;

- - - AC-1(a)(1)[1][b] -

scope;

- - - AC-1(a)(1)[1][c] -

roles;

- - - AC-1(a)(1)[1][d] -

responsibilities;

- - - AC-1(a)(1)[1][e] -

management commitment;

- - - AC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AC-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AC-1(a)(1)[2] -

defines personnel or roles to whom the access control policy are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-1(a)(1)[3] -

disseminates the access control policy to organization-defined personnel or - roles;

- - - - AC-1(a)(2) - - assessment-objective - EXAMINE - AC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls;

- - - assessment-objective - EXAMINE - AC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AC-1(b) - - AC-1(b)(1) - - assessment-objective - EXAMINE - AC-1(b)(1)[1] -

defines the frequency to review and update the current access control - policy;

- - - assessment-objective - EXAMINE - AC-1(b)(1)[2] -

reviews and updates the current access control policy with the - organization-defined frequency;

- - - - AC-1(b)(2) - - assessment-objective - EXAMINE - AC-1(b)(2)[1] -

defines the frequency to review and update the current access control - procedures; and

- - - assessment-objective - EXAMINE - AC-1(b)(2)[2] -

reviews and updates the current access control procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Access control policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Account Management - - - - - - - - - - - - at least annually - - - AC-2 - ac-02 - -

The organization:

- - a. -

Identifies and selects the following types of information system accounts to - support organizational missions/business functions: ;

- - - b. -

Assigns account managers for information system accounts;

- - - c. -

Establishes conditions for group and role membership;

- - - d. -

Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account;

- - - e. -

Requires approvals by for requests to create - information system accounts;

- - - f. -

Creates, enables, modifies, disables, and removes information system accounts in - accordance with ;

- - - g. -

Monitors the use of information system accounts;

- - - h. -

Notifies account managers:

- - 1. -

When accounts are no longer required;

- - - 2. -

When users are terminated or transferred; and

- - - 3. -

When individual information system usage or need-to-know changes;

- - - - i. -

Authorizes access to the information system based on:

- - 1. -

A valid access authorization;

- - - 2. -

Intended system usage; and

- - - 3. -

Other attributes as required by the organization or associated - missions/business functions;

- - - - j. -

Reviews accounts for compliance with account management requirements ; and

- - - k. -

Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - -

Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training.

- AC-3 - AC-4 - AC-5 - AC-6 - AC-10 - AC-17 - AC-19 - AC-20 - AU-9 - IA-2 - IA-4 - IA-5 - IA-8 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PL-4 - SC-13 - - -

Determine if the organization:

- - AC-2(a) - - assessment-objective - EXAMINE - AC-2(a)[1] -

defines information system account types to be identified and selected to - support organizational missions/business functions;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-2(a)[2] -

identifies and selects organization-defined information system account types to - support organizational missions/business functions;

- - - - assessment-objective - EXAMINE - INTERVIEW - AC-2(b) -

assigns account managers for information system accounts;

- - - assessment-objective - EXAMINE - AC-2(c) -

establishes conditions for group and role membership;

- - - assessment-objective - EXAMINE - AC-2(d) -

specifies for each account (as required):

- - AC-2(d)[1] -

authorized users of the information system;

- - - AC-2(d)[2] -

group and role membership;

- - - AC-2(d)[3] -

access authorizations (i.e., privileges);

- - - AC-2(d)[4] -

other attributes;

- - - - AC-2(e) - - assessment-objective - EXAMINE - AC-2(e)[1] -

defines personnel or roles required to approve requests to create information - system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(e)[2] -

requires approvals by organization-defined personnel or roles for requests to - create information system accounts;

- - - - AC-2(f) - - assessment-objective - EXAMINE - AC-2(f)[1] -

defines procedures or conditions to:

- - AC-2(f)[1][a] -

create information system accounts;

- - - AC-2(f)[1][b] -

enable information system accounts;

- - - AC-2(f)[1][c] -

modify information system accounts;

- - - AC-2(f)[1][d] -

disable information system accounts;

- - - AC-2(f)[1][e] -

remove information system accounts;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(f)[2] -

in accordance with organization-defined procedures or conditions:

- - AC-2(f)[2][a] -

creates information system accounts;

- - - AC-2(f)[2][b] -

enables information system accounts;

- - - AC-2(f)[2][c] -

modifies information system accounts;

- - - AC-2(f)[2][d] -

disables information system accounts;

- - - AC-2(f)[2][e] -

removes information system accounts;

- - - - - assessment-objective - INTERVIEW - TEST - AC-2(g) -

monitors the use of information system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(h) -

notifies account managers:

- - AC-2(h)(1) -

when accounts are no longer required;

- - - AC-2(h)(2) -

when users are terminated or transferred;

- - - AC-2(h)(3) -

when individual information system usage or need to know changes;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(i) -

authorizes access to the information system based on;

- - AC-2(i)(1) -

a valid access authorization;

- - - AC-2(i)(2) -

intended system usage;

- - - AC-2(i)(3) -

other attributes as required by the organization or associated - missions/business functions;

- - - - AC-2(j) - - assessment-objective - EXAMINE - AC-2(j)[1] -

defines the frequency to review accounts for compliance with account management - requirements;

- - - assessment-objective - INTERVIEW - TEST - AC-2(j)[2] -

reviews accounts for compliance with account management requirements with the - organization-defined frequency; and

- - - - assessment-objective - EXAMINE - AC-2(k) -

establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of active system accounts along with the name of the individual associated - with each account

-

list of conditions for group and role membership

-

notifications or records of recently transferred, separated, or terminated - employees

-

list of recently disabled information system accounts along with the name of the - individual associated with each account

-

access authorization records

-

account management compliance reviews

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes account management on the information system

-

automated mechanisms for implementing account management

- - - - - Access Enforcement - AC-3 - ac-03 - -

The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies.

- - -

Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security.

- AC-2 - AC-4 - AC-5 - AC-6 - AC-16 - AC-17 - AC-18 - AC-19 - AC-20 - AC-21 - AC-22 - AU-9 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PE-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies.

- - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of approved authorizations (user privileges)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy

- - - - - Unsuccessful Logon Attempts - - - not more than three (3) - - - - fifteen (15) minutes - - - - - thirty (30) minutes - - - - - - AC-7 - ac-07 - -

The information system:

- - a. -

Enforces a limit of consecutive invalid logon - attempts by a user during a ; and

- - - b. -

Automatically when the maximum number of - unsuccessful attempts is exceeded.

- - - -

This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels.

- AC-2 - AC-9 - AC-14 - IA-5 - - -

Determine if:

- - AC-7(a) - - assessment-objective - EXAMINE - AC-7(a)[1] -

the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period;

- - - assessment-objective - EXAMINE - AC-7(a)[2] -

the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts;

- - - assessment-objective - INTERVIEW - TEST - AC-7(a)[3] -

the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period;

- - - - AC-7(b) - - assessment-objective - EXAMINE - AC-7(b)[1] -

the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded;

- - - assessment-objective - INTERVIEW - TEST - AC-7(b)[2] -

the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically:

- - AC-7(b)[2][a] -

locks the account/node for the organization-defined time period;

- - - AC-7(b)[2][b] -

locks the account/node until released by an administrator; or

- - - AC-7(b)[2][c] -

delays next logon prompt according to the organization-defined delay - algorithm.

- - - - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful logon attempts

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful logon - attempts

- - - - - System Use Notification - - - see additional Requirements and Guidance - - - - see additional Requirements and Guidance - - AC-8 - ac-08 - -

The information system:

- - a. -

Displays to users before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that:

- - 1. -

Users are accessing a U.S. Government information system;

- - - 2. -

Information system usage may be monitored, recorded, and subject to audit;

- - - 3. -

Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and

- - - 4. -

Use of the information system indicates consent to monitoring and - recording;

- - - - b. -

Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and

- - - c. -

For publicly accessible systems:

- - 1. -

Displays system use information , before - granting further access;

- - - 2. -

Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and

- - - 3. -

Includes a description of the authorized uses of the system.

- - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - -

System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content.

- - -

Determine if:

- - AC-8(a) - - assessment-objective - EXAMINE - AC-8(a)[1] -

the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system;

- - - assessment-objective - INTERVIEW - TEST - AC-8(a)[2] -

the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that:

- - AC-8(a)[2](1) -

users are accessing a U.S. Government information system;

- - - AC-8(a)[2](2) -

information system usage may be monitored, recorded, and subject to - audit;

- - - AC-8(a)[2](3) -

unauthorized use of the information system is prohibited and subject to - criminal and civil penalties;

- - - AC-8(a)[2](4) -

use of the information system indicates consent to monitoring and - recording;

- - - - - assessment-objective - INTERVIEW - TEST - AC-8(b) -

the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system;

- - - AC-8(c) -

for publicly accessible systems:

- - AC-8(c)(1) - - assessment-objective - EXAMINE - AC-8(c)(1)[1] -

the organization defines conditions for system use to be displayed by the - information system before granting further access;

- - - assessment-objective - INTERVIEW - TEST - AC-8(c)(1)[2] -

the information system displays organization-defined conditions before - granting further access;

- - - - assessment-objective - INTERVIEW - TEST - AC-8(c)(2) -

the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and

- - - assessment-objective - EXAMINE - AC-8(c)(3) -

the information system includes a description of the authorized uses of the - system.

- - - - - EXAMINE - -

Access control policy

-

privacy and security policies, procedures addressing system use notification

-

documented approval of information system use notification messages or banners

-

information system audit records

-

user acknowledgements of notification message or banner

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system use notification messages

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for providing legal advice

-

system developers

- - - - TEST - -

Automated mechanisms implementing system use notification

- - - - - Permitted Actions Without Identification or Authentication - - - - AC-14 - ac-14 - -

The organization:

- - a. -

Identifies that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - b. -

Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - -

This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none.

- CP-2 - IA-2 - - -

Determine if the organization:

- - AC-14(a) - - assessment-objective - EXAMINE - AC-14(a)[1] -

defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-14(a)[2] -

identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - - assessment-objective - EXAMINE - AC-14(b) -

documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - - EXAMINE - -

Access control policy

-

procedures addressing permitted actions without identification or - authentication

-

information system configuration settings and associated documentation

-

security plan

-

list of user actions that can be performed without identification or - authentication

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - - Remote Access - - AC-17 - ac-17 - NIST Special Publication 800-46 - NIST Special Publication 800-77 - NIST Special Publication 800-113 - NIST Special Publication 800-114 - NIST Special Publication 800-121 - -

The organization:

- - a. -

Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and

- - - b. -

Authorizes remote access to the information system prior to allowing such - connections.

- - - -

Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3.

- AC-2 - AC-3 - AC-18 - AC-19 - AC-20 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - MA-4 - PE-17 - PL-4 - SC-10 - SI-4 - - -

Determine if the organization:

- - AC-17(a) - - assessment-objective - EXAMINE - AC-17(a)[1] -

identifies the types of remote access allowed to the information system;

- - - assessment-objective - EXAMINE - AC-17(a)[2] -

establishes for each type of remote access allowed:

- - AC-17(a)[2][a] -

usage restrictions;

- - - AC-17(a)[2][b] -

configuration/connection requirements;

- - - AC-17(a)[2][c] -

implementation guidance;

- - - - assessment-objective - EXAMINE - AC-17(a)[3] -

documents for each type of remote access allowed:

- - AC-17(a)[3][a] -

usage restrictions;

- - - AC-17(a)[3][b] -

configuration/connection requirements;

- - - AC-17(a)[3][c] -

implementation guidance; and

- - - - - assessment-objective - INTERVIEW - TEST - AC-17(b) -

authorizes remote access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system configuration settings and associated documentation

-

remote access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing remote access - connections

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Remote access management capability for the information system

- - - - - Wireless Access - - AC-18 - ac-18 - NIST Special Publication 800-48 - NIST Special Publication 800-94 - NIST Special Publication 800-97 - -

The organization:

- - a. -

Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and

- - - b. -

Authorizes wireless access to the information system prior to allowing such - connections.

- - - -

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication.

- AC-2 - AC-3 - AC-17 - AC-19 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - PL-4 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-18(a) -

establishes for wireless access:

- - AC-18(a)[1] -

usage restrictions;

- - - AC-18(a)[2] -

configuration/connection requirement;

- - - AC-18(a)[3] -

implementation guidance; and

- - - - assessment-objective - INTERVIEW - TEST - AC-18(b) -

authorizes wireless access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

wireless access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing wireless access - connections

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access management capability for the information system

- - - - - Access Control for Mobile Devices - - AC-19 - ac-19 - OMB Memorandum 06-16 - NIST Special Publication 800-114 - NIST Special Publication 800-124 - NIST Special Publication 800-164 - -

The organization:

- - a. -

Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and

- - - b. -

Authorizes the connection of mobile devices to organizational information - systems.

- - - -

A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled.

- AC-3 - AC-7 - AC-18 - AC-20 - CA-9 - CM-2 - IA-2 - IA-3 - MP-2 - MP-4 - MP-5 - PL-4 - SC-7 - SC-43 - SI-3 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-19(a) -

establishes for organization-controlled mobile devices:

- - AC-19(a)[1] -

usage restrictions;

- - - AC-19(a)[2] -

configuration/connection requirement;

- - - AC-19(a)[3] -

implementation guidance; and

- - - - assessment-objective - INTERVIEW - TEST - AC-19(b) -

authorizes the connection of mobile devices to organizational information - systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile device usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

authorizations for mobile device connections to organizational information - systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel using mobile devices to access organizational information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Access control capability authorizing mobile device connections to organizational - information systems

- - - - - Use of External Information Systems - AC-20 - ac-20 - FIPS Publication 199 - -

The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - a. -

Access the information system from external information systems; and

- - - b. -

Process, store, or transmit organization-controlled information using external - information systems.

- - - -

External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems.

- AC-3 - AC-17 - AC-19 - CA-3 - PL-4 - SA-9 - - -

Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - AC-20(a) -

access the information system from the external information systems; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - AC-20(b) -

process, store, or transmit organization-controlled information using external - information systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

external information systems terms and conditions

-

list of types of applications accessible from external information systems

-

maximum security categorization for information processed, stored, or transmitted - on external information systems

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing terms and conditions on use of external - information systems

- - - - - Publicly Accessible Content - - - at least quarterly - - - AC-22 - ac-22 - -

The organization:

- - a. -

Designates individuals authorized to post information onto a publicly accessible - information system;

- - - b. -

Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - c. -

Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and

- - - d. -

Reviews the content on the publicly accessible information system for nonpublic - information and removes such information, if - discovered.

- - - -

In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy.

- AC-3 - AC-4 - AT-2 - AT-3 - AU-13 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-22(a) -

designates individuals authorized to post information onto a publicly accessible - information system;

- - - assessment-objective - INTERVIEW - TEST - AC-22(b) -

trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - assessment-objective - INTERVIEW - TEST - AC-22(c) -

reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included;

- - - AC-22(d) - - assessment-objective - EXAMINE - AC-22(d)[1] -

defines the frequency to review the content on the publicly accessible - information system for nonpublic information;

- - - assessment-objective - INTERVIEW - TEST - AC-22(d)[2] -

reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - AC-22(d)[3] -

removes nonpublic information from the publicly accessible information system, - if discovered.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing publicly accessible content

-

list of users authorized to post publicly accessible content on organizational - information systems

-

training materials and/or records

-

records of publicly accessible information reviews

-

records of response to nonpublic information on public websites

-

system audit logs

-

security awareness training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of publicly accessible content

- - - - - - Awareness and Training - - Security Awareness and Training Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - AT-1 - at-01 - NIST Special Publication 800-12 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security awareness and training policy ; and

- - - 2. -

Security awareness and training procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AT-1(a) - - AT-1(a)(1) - - assessment-objective - EXAMINE - AT-1(a)(1)[1] -

develops and documents an security awareness and training policy that - addresses:

- - AT-1(a)(1)[1][a] -

purpose;

- - - AT-1(a)(1)[1][b] -

scope;

- - - AT-1(a)(1)[1][c] -

roles;

- - - AT-1(a)(1)[1][d] -

responsibilities;

- - - AT-1(a)(1)[1][e] -

management commitment;

- - - AT-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AT-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AT-1(a)(1)[2] -

defines personnel or roles to whom the security awareness and training - policy are to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-1(a)(1)[3] -

disseminates the security awareness and training policy to - organization-defined personnel or roles;

- - - - AT-1(a)(2) - - assessment-objective - EXAMINE - AT-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls;

- - - assessment-objective - EXAMINE - AT-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AT-1(b) - - AT-1(b)(1) - - assessment-objective - EXAMINE - AT-1(b)(1)[1] -

defines the frequency to review and update the current security awareness - and training policy;

- - - assessment-objective - EXAMINE - AT-1(b)(1)[2] -

reviews and updates the current security awareness and training policy with - the organization-defined frequency;

- - - - AT-1(b)(2) - - assessment-objective - EXAMINE - AT-1(b)(2)[1] -

defines the frequency to review and update the current security awareness - and training procedures; and

- - - assessment-objective - EXAMINE - AT-1(b)(2)[2] -

reviews and updates the current security awareness and training procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Security awareness and training policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security awareness and training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Awareness Training - - - at least annually - - - AT-2 - at-02 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - Executive Order 13587 - NIST Special Publication 800-50 - -

The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors):

- - a. -

As part of initial training for new users;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events.

- AT-3 - AT-4 - PL-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - AT-2(a) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-2(b) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and

- - - AT-2(c) - - assessment-objective - EXAMINE - AT-2(c)[1] -

defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and

- - - assessment-objective - INTERVIEW - TEST - AT-2(c)[2] -

provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

appropriate codes of federal regulations

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for security awareness training

-

organizational personnel with information security responsibilities

-

organizational personnel comprising the general information system user - community

- - - - TEST - -

Automated mechanisms managing security awareness training

- - - - - Role-based Security Training - - - at least annually - - - AT-3 - at-03 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides role-based security training to personnel with assigned - security roles and responsibilities:

- - a. -

Before authorizing access to the information system or performing assigned - duties;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies.

- AT-2 - AT-4 - PL-4 - PS-7 - SA-3 - SA-12 - SA-16 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - AT-3(a) -

provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-3(b) -

provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and

- - - AT-3(c) - - assessment-objective - EXAMINE - AT-3(c)[1] -

defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and

- - - assessment-objective - INTERVIEW - TEST - AT-3(c)[2] -

provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

codes of federal regulations

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with assigned information system security roles and - responsibilities

- - - - TEST - -

Automated mechanisms managing role-based security training

- - - - - Security Training Records - - - At least one year - - - AT-4 - at-04 - -

The organization:

- - a. -

Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and

- - - b. -

Retains individual training records for .

- - - -

Documentation for specialized training may be maintained by individual supervisors at - the option of the organization.

- AT-2 - AT-3 - PM-14 - - -

Determine if the organization:

- - AT-4(a) - - assessment-objective - EXAMINE - AT-4(a)[1] -

documents individual information system security training activities - including:

- - AT-4(a)[1][a] -

basic security awareness training;

- - - AT-4(a)[1][b] -

specific role-based information system security training;

- - - - assessment-objective - INTERVIEW - TEST - AT-4(a)[2] -

monitors individual information system security training activities - including:

- - AT-4(a)[2][a] -

basic security awareness training;

- - - AT-4(a)[2][b] -

specific role-based information system security training;

- - - - - AT-4(b) - - assessment-objective - EXAMINE - AT-4(b)[1] -

defines a time period to retain individual training records; and

- - - assessment-objective - INTERVIEW - TEST - AT-4(b)[2] -

retains individual training records for the organization-defined time - period.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training records

-

security awareness and training records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security training record retention - responsibilities

- - - - TEST - -

Automated mechanisms supporting management of security training records

- - - - - - Audit and Accountability - - Audit and Accountability Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - AU-1 - au-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Audit and accountability policy ; and

- - - 2. -

Audit and accountability procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AU-1(a) - - AU-1(a)(1) - - assessment-objective - EXAMINE - AU-1(a)(1)[1] -

develops and documents an audit and accountability policy that - addresses:

- - AU-1(a)(1)[1][a] -

purpose;

- - - AU-1(a)(1)[1][b] -

scope;

- - - AU-1(a)(1)[1][c] -

roles;

- - - AU-1(a)(1)[1][d] -

responsibilities;

- - - AU-1(a)(1)[1][e] -

management commitment;

- - - AU-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AU-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AU-1(a)(1)[2] -

defines personnel or roles to whom the audit and accountability policy are - to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-1(a)(1)[3] -

disseminates the audit and accountability policy to organization-defined - personnel or roles;

- - - - AU-1(a)(2) - - assessment-objective - EXAMINE - AU-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls;

- - - assessment-objective - EXAMINE - AU-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AU-1(b) - - AU-1(b)(1) - - assessment-objective - EXAMINE - AU-1(b)(1)[1] -

defines the frequency to review and update the current audit and - accountability policy;

- - - assessment-objective - EXAMINE - AU-1(b)(1)[2] -

reviews and updates the current audit and accountability policy with the - organization-defined frequency;

- - - - AU-1(b)(2) - - assessment-objective - EXAMINE - AU-1(b)(2)[1] -

defines the frequency to review and update the current audit and - accountability procedures; and

- - - assessment-objective - EXAMINE - AU-1(b)(2)[2] -

reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency.

- - - - - - EXAMINE - -

Audit and accountability policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - - Audit Events - - - Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - - organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - - - AU-2 - au-02 - NIST Special Publication 800-92 - http://idmanagement.gov - -

The organization:

- - a. -

Determines that the information system is capable of auditing the following - events: ;

- - - b. -

Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - c. -

Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and

- - - d. -

Determines that the following events are to be audited within the information - system: .

- - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - -

An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures.

- AC-6 - AC-17 - AU-3 - AU-12 - MA-4 - MP-2 - MP-4 - SI-4 - - -

Determine if the organization:

- - AU-2(a) - - assessment-objective - EXAMINE - AU-2(a)[1] -

defines the auditable events that the information system must be capable of - auditing;

- - - assessment-objective - INTERVIEW - TEST - AU-2(a)[2] -

determines that the information system is capable of auditing - organization-defined auditable events;

- - - - assessment-objective - EXAMINE - INTERVIEW - AU-2(b) -

coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - assessment-objective - EXAMINE - AU-2(c) -

provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents;

- - - AU-2(d) - - assessment-objective - EXAMINE - AU-2(d)[1] -

defines the subset of auditable events defined in AU-2a that are to be audited - within the information system;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-2(d)[2] -

determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and

- - - assessment-objective - EXAMINE - INTERVIEW - AU-2(d)[3] -

determines the frequency of (or situation requiring) auditing for each - identified event.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system auditable events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing

- - - - - Content of Audit Records - AU-3 - au-03 - -

The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event.

- - -

Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred).

- AU-2 - AU-8 - AU-12 - SI-11 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system generates audit records containing information - that establishes:

- - AU-3[1] -

what type of event occurred;

- - - AU-3[2] -

when the event occurred;

- - - AU-3[3] -

where the event occurred;

- - - AU-3[4] -

the source of the event;

- - - AU-3[5] -

the outcome of the event; and

- - - AU-3[6] -

the identity of any individuals or subjects associated with the event.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing of auditable - events

- - - - - Audit Storage Capacity - - - - AU-4 - au-04 - -

The organization allocates audit record storage capacity in accordance with .

- - -

Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability.

- AU-2 - AU-5 - AU-6 - AU-7 - AU-11 - SI-4 - - -

Determine if the organization:

- - AU-4[1] -

defines audit record storage requirements; and

- - - assessment-objective - INTERVIEW - TEST - AU-4[2] -

allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit storage capacity

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit record storage requirements

-

audit record storage capability for information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Audit record storage capacity and related configuration settings

- - - - - Response to Audit Processing Failures - - - - - - organization-defined actions to be taken (overwrite oldest record) - - AU-5 - au-05 - -

The information system:

- - a. -

Alerts in the event of an audit processing - failure; and

- - - b. -

Takes the following additional actions: .

- - - -

Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both.

- AU-4 - SI-12 - - -

Determine if:

- - AU-5(a) - - assessment-objective - EXAMINE - AU-5(a)[1] -

the organization defines the personnel or roles to be alerted in the event of - an audit processing failure;

- - - assessment-objective - INTERVIEW - TEST - AU-5(a)[2] -

the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure;

- - - - AU-5(b) - - assessment-objective - EXAMINE - AU-5(b)[1] -

the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and

- - - assessment-objective - INTERVIEW - TEST - AU-5(b)[2] -

the information system takes the additional organization-defined actions in the - event of an audit processing failure.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

list of personnel to be notified in case of an audit processing failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing information system response to audit processing - failures

- - - - - Audit Review, Analysis, and Reporting - - - at least weekly - - - - - - - - - AU-6 - au-06 - -

The organization:

- - a. -

Reviews and analyzes information system audit records for indications of ; - and

- - - b. -

Reports findings to .

- - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority.

- AC-2 - AC-3 - AC-6 - AC-17 - AT-3 - AU-7 - AU-16 - CA-7 - CM-5 - CM-10 - CM-11 - IA-3 - IA-5 - IR-5 - IR-6 - MA-4 - MP-4 - PE-3 - PE-6 - PE-14 - PE-16 - RA-5 - SC-7 - SC-18 - SC-19 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - AU-6(a) - - assessment-objective - EXAMINE - AU-6(a)[1] -

defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed;

- - - assessment-objective - EXAMINE - AU-6(a)[2] -

defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-6(a)[3] -

reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency;

- - - - AU-6(b) - - assessment-objective - EXAMINE - AU-6(b)[1] -

defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and

- - - assessment-objective - EXAMINE - INTERVIEW - AU-6(b)[2] -

reports findings to organization-defined personnel or roles.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

reports of audit findings

-

records of actions taken in response to reviews/analyses of audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Time Stamps - - - - AU-8 - au-08 - -

The information system:

- - a. -

Uses internal system clocks to generate time stamps for audit records; and

- - - b. -

Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets .

- - - -

Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities.

- AU-3 - AU-12 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - AU-8(a) -

the information system uses internal system clocks to generate time stamps for - audit records;

- - - AU-8(b) - - assessment-objective - INTERVIEW - TEST - AU-8(b)[1] -

the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

- - - assessment-objective - EXAMINE - AU-8(b)[2] -

the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and

- - - assessment-objective - INTERVIEW - TEST - AU-8(b)[3] -

the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing time stamp generation

- - - - - Protection of Audit Information - AU-9 - au-09 - -

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

- - -

Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls.

- AC-3 - AC-6 - MP-2 - MP-4 - PE-2 - PE-3 - PE-6 - - -

Determine if:

- - AU-9[1] -

the information system protects audit information from unauthorized:

- - AU-9[1][a] -

access;

- - - AU-9[1][b] -

modification;

- - - AU-9[1][c] -

deletion;

- - - - AU-9[2] -

the information system protects audit tools from unauthorized:

- - AU-9[2][a] -

access;

- - - AU-9[2][b] -

modification; and

- - - AU-9[2][c] -

deletion.

- - - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - information system audit records

-

audit tools

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit information protection

- - - - - Audit Record Retention - - - at least ninety days - - - AU-11 - au-11 - -

The organization retains audit records for to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements.

- - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention.

- AU-4 - AU-5 - AU-9 - MP-6 - - -

Determine if the organization:

- - AU-11[1] -

defines a time period to retain audit records that is consistent with records - retention policy;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-11[2] -

retains audit records for the organization-defined time period consistent with - records retention policy to:

- - AU-11[2][a] -

provide support for after-the-fact investigations of security incidents; - and

- - - AU-11[2][b] -

meet regulatory and organizational information retention requirements.

- - - - - EXAMINE - -

Audit and accountability policy

-

audit record retention policy and procedures

-

security plan

-

organization-defined retention period for audit records

-

audit record archives

-

audit logs

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record retention responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Audit Generation - - - all information system and network components where audit capability is deployed/available - - - - - AU-12 - au-12 - -

The information system:

- - a. -

Provides audit record generation capability for the auditable events defined in - AU-2 a. at ;

- - - b. -

Allows to select which auditable events are to be - audited by specific components of the information system; and

- - - c. -

Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3.

- - - -

Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records.

- AC-3 - AU-2 - AU-3 - AU-6 - AU-7 - - -

Determine if:

- - AU-12(a) - - assessment-objective - EXAMINE - AU-12(a)[1] -

the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a;

- - - assessment-objective - INTERVIEW - TEST - AU-12(a)[2] -

the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components;

- - - - AU-12(b) - - assessment-objective - EXAMINE - AU-12(b)[1] -

the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system;

- - - assessment-objective - INTERVIEW - TEST - AU-12(b)[2] -

the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and

- - - - assessment-objective - TEST - AU-12(c) -

the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - - Security Assessment and Authorization - - Security Assessment and Authorization Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - CA-1 - ca-01 - NIST Special Publication 800-12 - NIST Special Publication 800-37 - NIST Special Publication 800-53A - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security assessment and authorization policy ; - and

- - - 2. -

Security assessment and authorization procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CA-1(a) - - CA-1(a)(1) - - assessment-objective - EXAMINE - CA-1(a)(1)[1] -

develops and documents a security assessment and authorization policy that - addresses:

- - CA-1(a)(1)[1][a] -

purpose;

- - - CA-1(a)(1)[1][b] -

scope;

- - - CA-1(a)(1)[1][c] -

roles;

- - - CA-1(a)(1)[1][d] -

responsibilities;

- - - CA-1(a)(1)[1][e] -

management commitment;

- - - CA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CA-1(a)(1)[2] -

defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-1(a)(1)[3] -

disseminates the security assessment and authorization policy to - organization-defined personnel or roles;

- - - - CA-1(a)(2) - - assessment-objective - EXAMINE - CA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls;

- - - assessment-objective - EXAMINE - CA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CA-1(b) - - CA-1(b)(1) - - assessment-objective - EXAMINE - CA-1(b)(1)[1] -

defines the frequency to review and update the current security assessment - and authorization policy;

- - - assessment-objective - EXAMINE - CA-1(b)(1)[2] -

reviews and updates the current security assessment and authorization policy - with the organization-defined frequency;

- - - - CA-1(b)(2) - - assessment-objective - EXAMINE - CA-1(b)(2)[1] -

defines the frequency to review and update the current security assessment - and authorization procedures; and

- - - assessment-objective - EXAMINE - CA-1(b)(2)[2] -

reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Security assessment and authorization policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment and authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Assessments - - - at least annually - - - - individuals or roles to include FedRAMP PMO - - - CA-2 - ca-02 - Executive Order 13587 - FIPS Publication 199 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Develops a security assessment plan that describes the scope of the assessment - including:

- - 1. -

Security controls and control enhancements under assessment;

- - - 2. -

Assessment procedures to be used to determine security control effectiveness; - and

- - - 3. -

Assessment environment, assessment team, and assessment roles and - responsibilities;

- - - - b. -

Assesses the security controls in the information system and its environment of - operation to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements;

- - - c. -

Produces a security assessment report that documents the results of the - assessment; and

- - - d. -

Provides the results of the security control assessment to .

- - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - -

Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control.

- CA-5 - CA-6 - CA-7 - PM-9 - RA-5 - SA-11 - SA-12 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(a) -

develops a security assessment plan that describes the scope of the assessment - including:

- - CA-2(a)(1) -

security controls and control enhancements under assessment;

- - - CA-2(a)(2) -

assessment procedures to be used to determine security control - effectiveness;

- - - CA-2(a)(3) - - CA-2(a)(3)[1] -

assessment environment;

- - - CA-2(a)(3)[2] -

assessment team;

- - - CA-2(a)(3)[3] -

assessment roles and responsibilities;

- - - - - CA-2(b) - - assessment-objective - EXAMINE - CA-2(b)[1] -

defines the frequency to assess the security controls in the information system - and its environment of operation;

- - - assessment-objective - INTERVIEW - TEST - CA-2(b)[2] -

assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements;

- - - - assessment-objective - TEST - CA-2(c) -

produces a security assessment report that documents the results of the - assessment;

- - - CA-2(d) - - assessment-objective - EXAMINE - CA-2(d)[1] -

defines individuals or roles to whom the results of the security control - assessment are to be provided; and

- - - assessment-objective - INTERVIEW - TEST - CA-2(d)[2] -

provides the results of the security control assessment to organization-defined - individuals or roles.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessment planning

-

procedures addressing security assessments

-

security assessment plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting

- - - - Independent Assessors - - - - CA-2(1) - ca-02.01 - -

The organization employs assessors or assessment teams with to conduct security control assessments.

- - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - -

Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(1)[1] -

defines the level of independence to be employed to conduct security control - assessments; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-2(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - - System Interconnections - - - at least annually and on input from FedRAMP - - - CA-3 - ca-03 - FIPS Publication 199 - NIST Special Publication 800-47 - -

The organization:

- - a. -

Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - b. -

Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and

- - - c. -

Reviews and updates Interconnection Security Agreements .

- - - -

This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls.

- AC-3 - AC-4 - AC-20 - AU-2 - AU-12 - AU-16 - CA-7 - IA-3 - SA-9 - SC-7 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-3(a) -

authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - assessment-objective - EXAMINE - CA-3(b) -

documents, for each interconnection:

- - CA-3(b)[1] -

the interface characteristics;

- - - CA-3(b)[2] -

the security requirements;

- - - CA-3(b)[3] -

the nature of the information communicated;

- - - - CA-3(c) - - assessment-objective - EXAMINE - CA-3(c)[1] -

defines the frequency to review and update Interconnection Security Agreements; - and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-3(c)[2] -

reviews and updates Interconnection Security Agreements with the - organization-defined frequency.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system Interconnection Security Agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements

-

organizational personnel with information security responsibilities

-

personnel managing the system(s) to which the Interconnection Security Agreement - applies

- - - - - Plan of Action and Milestones - - - at least monthly - - - CA-5 - ca-05 - OMB Memorandum 02-01 - NIST Special Publication 800-37 - -

The organization:

- - a. -

Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and

- - - b. -

Updates existing plan of action and milestones - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities.

- - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - -

Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB.

- CA-2 - CA-7 - CM-4 - PM-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-5(a) -

develops a plan of action and milestones for the information system to:

- - CA-5(a)[1] -

document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls;

- - - CA-5(a)[2] -

reduce or eliminate known vulnerabilities in the system;

- - - - CA-5(b) - - assessment-objective - EXAMINE - CA-5(b)[1] -

defines the frequency to update the existing plan of action and milestones;

- - - assessment-objective - INTERVIEW - TEST - CA-5(b)[2] -

updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from:

- - CA-5(b)[2][a] -

security controls assessments;

- - - CA-5(b)[2][b] -

security impact analyses; and

- - - CA-5(b)[2][c] -

continuous monitoring activities.

- - - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing plan of action and milestones

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with plan of action and milestones development and - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones

- - - - - Security Authorization - - - at least every three years or when a significant change occurs - - CA-6 - ca-06 - OMB Circular A-130 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - b. -

Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and

- - - c. -

Updates the security authorization .

- - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions.

- CA-2 - CA-7 - PM-9 - PM-10 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-6(a) -

assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - assessment-objective - INTERVIEW - TEST - CA-6(b) -

ensures that the authorizing official authorizes the information system for - processing before commencing operations;

- - - CA-6(c) - - assessment-objective - EXAMINE - CA-6(c)[1] -

defines the frequency to update the security authorization; and

- - - assessment-objective - INTERVIEW - TEST - CA-6(c)[2] -

updates the security authorization with the organization-defined frequency.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security authorization

-

security authorization package (including security plan

-

security assessment report

-

plan of action and milestones

-

authorization statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security authorization responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that facilitate security authorizations and updates

- - - - - Continuous Monitoring - - - - - - - - - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - CA-7 - ca-07 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - US-CERT Technical Cyber Security Alerts - DoD Information Assurance Vulnerability Alerts - -

The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes:

- - a. -

Establishment of to be monitored;

- - - b. -

Establishment of for monitoring and for assessments supporting such monitoring;

- - - c. -

Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy;

- - - d. -

Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy;

- - - e. -

Correlation and analysis of security-related information generated by assessments - and monitoring;

- - - f. -

Response actions to address results of the analysis of security-related - information; and

- - - g. -

Reporting the security status of organization and the information system to - - .

- - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - -

Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems.

- CA-2 - CA-5 - CA-6 - CM-3 - CM-4 - PM-6 - PM-9 - RA-5 - SA-11 - SA-12 - SI-2 - SI-4 - - -

Determine if the organization:

- - CA-7(a) - - assessment-objective - EXAMINE - CA-7(a)[1] -

develops a continuous monitoring strategy that defines metrics to be - monitored;

- - - assessment-objective - EXAMINE - CA-7(a)[2] -

develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics;

- - - assessment-objective - INTERVIEW - TEST - CA-7(a)[3] -

implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy;

- - - - CA-7(b) - - assessment-objective - EXAMINE - CA-7(b)[1] -

develops a continuous monitoring strategy that defines frequencies for - monitoring;

- - - assessment-objective - EXAMINE - CA-7(b)[2] -

defines frequencies for assessments supporting monitoring;

- - - assessment-objective - EXAMINE - CA-7(b)[3] -

develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring;

- - - assessment-objective - INTERVIEW - TEST - CA-7(b)[4] -

implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(c) - - assessment-objective - EXAMINE - CA-7(c)[1] -

develops a continuous monitoring strategy that includes ongoing security - control assessments;

- - - assessment-objective - INTERVIEW - TEST - CA-7(c)[2] -

implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(d) - - assessment-objective - EXAMINE - CA-7(d)[1] -

develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics;

- - - assessment-objective - INTERVIEW - TEST - CA-7(d)[2] -

implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy;

- - - - CA-7(e) - - assessment-objective - EXAMINE - CA-7(e)[1] -

develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring;

- - - assessment-objective - INTERVIEW - TEST - CA-7(e)[2] -

implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(f) - - assessment-objective - EXAMINE - CA-7(f)[1] -

develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information;

- - - assessment-objective - INTERVIEW - TEST - CA-7(f)[2] -

implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy;

- - - - CA-7(g) - - assessment-objective - EXAMINE - CA-7(g)[1] -

develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported;

- - - assessment-objective - EXAMINE - CA-7(g)[2] -

develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles;

- - - assessment-objective - EXAMINE - CA-7(g)[3] -

develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - CA-7(g)[4] -

implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

procedures addressing configuration management

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

configuration management records, security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Mechanisms implementing continuous monitoring

- - - - - Internal System Connections - - - - - CA-9 - ca-09 - -

The organization:

- - a. -

Authorizes internal connections of to the - information system; and

- - - b. -

Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated.

- - - -

This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration.

- AC-3 - AC-4 - AC-18 - AC-19 - AU-2 - AU-12 - CA-7 - CM-2 - IA-3 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-9(a) - - assessment-objective - EXAMINE - CA-9(a)[1] -

defines information system components or classes of components to be authorized - as internal connections to the information system;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-9(a)[2] -

authorizes internal connections of organization-defined information system - components or classes of components to the information system;

- - - - assessment-objective - EXAMINE - CA-9(b) -

documents, for each internal connection:

- - CA-9(b)[1] -

the interface characteristics;

- - - CA-9(b)[2] -

the security requirements; and

- - - CA-9(b)[3] -

the nature of the information communicated.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of components or classes of components authorized as internal system - connections

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections

-

organizational personnel with information security responsibilities

- - - - - - Configuration Management - - Configuration Management Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - CM-1 - cm-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Configuration management policy ; and

- - - 2. -

Configuration management procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CM-1(a) - - assessment-objective - EXAMINE - CM-1(a)(1) - - CM-1(a)(1)[1] -

develops and documents a configuration management policy that addresses:

- - CM-1(a)(1)[1][a] -

purpose;

- - - CM-1(a)(1)[1][b] -

scope;

- - - CM-1(a)(1)[1][c] -

roles;

- - - CM-1(a)(1)[1][d] -

responsibilities;

- - - CM-1(a)(1)[1][e] -

management commitment;

- - - CM-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CM-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CM-1(a)(1)[2] -

defines personnel or roles to whom the configuration management policy is to - be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-1(a)(1)[3] -

disseminates the configuration management policy to organization-defined - personnel or roles;

- - - - CM-1(a)(2) - - assessment-objective - EXAMINE - CM-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls;

- - - assessment-objective - EXAMINE - CM-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CM-1(b) - - CM-1(b)(1) - - assessment-objective - EXAMINE - CM-1(b)(1)[1] -

defines the frequency to review and update the current configuration - management policy;

- - - assessment-objective - EXAMINE - CM-1(b)(1)[2] -

reviews and updates the current configuration management policy with the - organization-defined frequency;

- - - - CM-1(b)(2) - - assessment-objective - EXAMINE - CM-1(b)(2)[1] -

defines the frequency to review and update the current configuration - management procedures; and

- - - assessment-objective - EXAMINE - CM-1(b)(2)[2] -

reviews and updates the current configuration management procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Configuration management policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Baseline Configuration - CM-2 - cm-02 - NIST Special Publication 800-128 - -

The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system.

- - -

This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture.

- CM-3 - CM-6 - CM-8 - CM-9 - SA-10 - PM-5 - PM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CM-2[1] -

develops and documents a current baseline configuration of the information system; - and

- - - assessment-objective - INTERVIEW - TEST - CM-2[2] -

maintains, under configuration control, a current baseline configuration of the - information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

enterprise architecture documentation

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting configuration control of the baseline - configuration

- - - - - Security Impact Analysis - CM-4 - cm-04 - NIST Special Publication 800-128 - -

The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation.

- - -

Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems.

- CA-2 - CA-7 - CM-3 - CM-9 - SA-4 - SA-5 - SA-10 - SI-2 - - -

Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

- - - - - Configuration Settings - - - United States Government Configuration Baseline (USGCB) - - - - - - - - - CM-6 - cm-06 - OMB Memorandum 07-11 - OMB Memorandum 07-18 - OMB Memorandum 08-22 - NIST Special Publication 800-70 - NIST Special Publication 800-128 - http://nvd.nist.gov - http://checklists.nist.gov - http://www.nsa.gov - -

The organization:

- - a. -

Establishes and documents configuration settings for information technology - products employed within the information system using that reflect the most restrictive mode consistent with - operational requirements;

- - - b. -

Implements the configuration settings;

- - - c. -

Identifies, documents, and approves any deviations from established configuration - settings for based on ; and

- - - d. -

Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - -

Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems.

- AC-19 - CM-2 - CM-3 - CM-7 - SI-4 - - -

Determine if the organization:

- - CM-6(a) - - assessment-objective - EXAMINE - CM-6(a)[1] -

defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-6(a)[2] -

ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements;

- - - assessment-objective - INTERVIEW - TEST - CM-6(a)[3] -

establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(b) -

implements the configuration settings established/documented in CM-6(a);;

- - - CM-6(c) - - assessment-objective - EXAMINE - CM-6(c)[1] -

defines information system components for which any deviations from established - configuration settings must be:

- - CM-6(c)[1][a] -

identified;

- - - CM-6(c)[1][b] -

documented;

- - - CM-6(c)[1][c] -

approved;

- - - - assessment-objective - EXAMINE - CM-6(c)[2] -

defines operational requirements to support:

- - CM-6(c)[2][a] -

the identification of any deviations from established configuration - settings;

- - - CM-6(c)[2][b] -

the documentation of any deviations from established configuration - settings;

- - - CM-6(c)[2][c] -

the approval of any deviations from established configuration settings;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(c)[3] -

identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - assessment-objective - EXAMINE - CM-6(c)[4] -

documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - assessment-objective - INTERVIEW - TEST - CM-6(c)[5] -

approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - - CM-6(d) - - assessment-objective - EXAMINE - CM-6(d)[1] -

monitors changes to the configuration settings in accordance with - organizational policies and procedures; and

- - - assessment-objective - TEST - CM-6(d)[2] -

controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

evidence supporting approved deviations from established configuration - settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms that implement, monitor, and/or control information system - configuration settings

-

automated mechanisms that identify and/or document deviations from established - configuration settings

- - - - - Least Functionality - - - United States Government Configuration Baseline (USGCB) - - CM-7 - cm-07 - DoD Instruction 8551.01 - -

The organization:

- - a. -

Configures the information system to provide only essential capabilities; and

- - - b. -

Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: .

- - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc - Partially derived from AC-17(8).

- - - - -

Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services.

- AC-6 - CM-2 - RA-5 - SA-5 - SC-7 - - -

Determine if the organization:

- - assessment-objective - TEST - CM-7(a) -

configures the information system to provide only essential capabilities;

- - - CM-7(b) - - assessment-objective - EXAMINE - CM-7(b)[1] -

defines prohibited or restricted:

- - CM-7(b)[1][a] -

functions;

- - - CM-7(b)[1][b] -

ports;

- - - CM-7(b)[1][c] -

protocols; and/or

- - - CM-7(b)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(b)[2] -

prohibits or restricts the use of organization-defined:

- - CM-7(b)[2][a] -

functions;

- - - CM-7(b)[2][b] -

ports;

- - - CM-7(b)[2][c] -

protocols; and/or

- - - CM-7(b)[2][d] -

services.

- - - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing least functionality in the information system

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services

-

automated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services

- - - - - Information System Component Inventory - - - - - - at least monthly - - - CM-8 - cm-08 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Develops and documents an inventory of information system components that:

- - 1. -

Accurately reflects the current information system;

- - - 2. -

Includes all components within the authorization boundary of the information - system;

- - - 3. -

Is at the level of granularity deemed necessary for tracking and reporting; - and

- - - 4. -

Includes ; and

- - - - b. -

Reviews and updates the information system component inventory .

- - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - -

Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location.

- CM-2 - CM-6 - PM-5 - - -

Determine if the organization:

- - CM-8(a) - - assessment-objective - EXAMINE - CM-8(a)(1) -

develops and documents an inventory of information system components that - accurately reflects the current information system;

- - - assessment-objective - EXAMINE - CM-8(a)(2) -

develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system;

- - - assessment-objective - EXAMINE - CM-8(a)(3) -

develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting;

- - - CM-8(a)(4) - - assessment-objective - EXAMINE - CM-8(a)(4)[1] -

defines the information deemed necessary to achieve effective information - system component accountability;

- - - assessment-objective - EXAMINE - CM-8(a)(4)[2] -

develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability;

- - - - - CM-8(b) - - assessment-objective - EXAMINE - CM-8(b)[1] -

defines the frequency to review and update the information system component - inventory; and

- - - assessment-objective - INTERVIEW - TEST - CM-8(b)[2] -

reviews and updates the information system component inventory with the - organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system component - inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting an inventory of - information system components

-

automated mechanisms supporting and/or implementing the information system - component inventory

- - - - - Software Usage Restrictions - CM-10 - cm-10 - -

The organization:

- - a. -

Uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - b. -

Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - c. -

Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - -

Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs.

- AC-17 - CM-8 - SC-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - CM-10(a) -

uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - assessment-objective - EXAMINE - CM-10(b) -

tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - assessment-objective - INTERVIEW - TEST - CM-10(c) -

controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing software usage restrictions

-

configuration management plan

-

security plan

-

software contract agreements and copyright laws

-

site license documentation

-

list of software usage restrictions

-

software license tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with software license management responsibilities

- - - - TEST - -

Organizational process for tracking the use of software protected by quantity - licenses

-

organization process for controlling/documenting the use of peer-to-peer file - sharing technology

-

automated mechanisms implementing software license tracking

-

automated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology

- - - - - User-installed Software - - - - - - - - - Continuously (via CM-7 (5)) - - CM-11 - cm-11 - -

The organization:

- - a. -

Establishes governing the installation of - software by users;

- - - b. -

Enforces software installation policies through ; - and

- - - c. -

Monitors policy compliance at .

- - - -

If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both.

- AC-3 - CM-2 - CM-3 - CM-5 - CM-6 - CM-7 - PL-4 - - -

Determine if the organization:

- - CM-11(a) - - assessment-objective - EXAMINE - CM-11(a)[1] -

defines policies to govern the installation of software by users;

- - - assessment-objective - EXAMINE - CM-11(a)[2] -

establishes organization-defined policies governing the installation of - software by users;

- - - - CM-11(b) - - assessment-objective - EXAMINE - CM-11(b)[1] -

defines methods to enforce software installation policies;

- - - assessment-objective - INTERVIEW - TEST - CM-11(b)[2] -

enforces software installation policies through organization-defined - methods;

- - - - CM-11(c) - - assessment-objective - EXAMINE - CM-11(c)[1] -

defines frequency to monitor policy compliance; and

- - - assessment-objective - INTERVIEW - TEST - CM-11(c)[2] -

monitors policy compliance at organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of rules governing user installed software

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

-

continuous monitoring strategy

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel monitoring compliance with user-installed software - policy

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms enforcing rules/methods for governing the installation of - software by users

-

automated mechanisms monitoring policy compliance

- - - - - - Contingency Planning - - Contingency Planning Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - CP-1 - cp-01 - Federal Continuity Directive 1 - NIST Special Publication 800-12 - NIST Special Publication 800-34 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Contingency planning policy ; and

- - - 2. -

Contingency planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if:

- - CP-1(a) - - CP-1(a)(1) - - assessment-objective - EXAMINE - CP-1(a)(1)[1] -

the organization develops and documents a contingency planning policy that - addresses:

- - CP-1(a)(1)[1][a] -

purpose;

- - - CP-1(a)(1)[1][b] -

scope;

- - - CP-1(a)(1)[1][c] -

roles;

- - - CP-1(a)(1)[1][d] -

responsibilities;

- - - CP-1(a)(1)[1][e] -

management commitment;

- - - CP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CP-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CP-1(a)(1)[2] -

the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-1(a)(1)[3] -

the organization disseminates the contingency planning policy to - organization-defined personnel or roles;

- - - - CP-1(a)(2) - - assessment-objective - EXAMINE - CP-1(a)(2)[1] -

the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls;

- - - assessment-objective - EXAMINE - CP-1(a)(2)[2] -

the organization defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-1(a)(2)[3] -

the organization disseminates the procedures to organization-defined - personnel or roles;

- - - - - CP-1(b) - - CP-1(b)(1) - - assessment-objective - EXAMINE - CP-1(b)(1)[1] -

the organization defines the frequency to review and update the current - contingency planning policy;

- - - assessment-objective - EXAMINE - CP-1(b)(1)[2] -

the organization reviews and updates the current contingency planning with - the organization-defined frequency;

- - - - CP-1(b)(2) - - assessment-objective - EXAMINE - CP-1(b)(2)[1] -

the organization defines the frequency to review and update the current - contingency planning procedures; and

- - - assessment-objective - EXAMINE - CP-1(b)(2)[2] -

the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Contingency planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - Contingency Plan - - - - - - - - - at least annually - - - - - - CP-2 - cp-02 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Develops a contingency plan for the information system that:

- - 1. -

Identifies essential missions and business functions and associated contingency - requirements;

- - - 2. -

Provides recovery objectives, restoration priorities, and metrics;

- - - 3. -

Addresses contingency roles, responsibilities, assigned individuals with - contact information;

- - - 4. -

Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - 5. -

Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and

- - - 6. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the contingency plan to ;

- - - c. -

Coordinates contingency planning activities with incident handling activities;

- - - d. -

Reviews the contingency plan for the information system ;

- - - e. -

Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing;

- - - f. -

Communicates contingency plan changes to ; and

- - - g. -

Protects the contingency plan from unauthorized disclosure and modification.

- - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - -

Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident.

- AC-14 - CP-6 - CP-7 - CP-8 - CP-9 - CP-10 - IR-4 - IR-8 - MP-2 - MP-4 - MP-5 - PM-8 - PM-11 - - -

Determine if the organization:

- - CP-2(a) -

develops and documents a contingency plan for the information system that:

- - assessment-objective - EXAMINE - CP-2(a)(1) -

identifies essential missions and business functions and associated contingency - requirements;

- - - assessment-objective - EXAMINE - CP-2(a)(2) - - CP-2(a)(2)[1] -

provides recovery objectives;

- - - CP-2(a)(2)[2] -

provides restoration priorities;

- - - CP-2(a)(2)[3] -

provides metrics;

- - - - assessment-objective - EXAMINE - CP-2(a)(3) - - CP-2(a)(3)[1] -

addresses contingency roles;

- - - CP-2(a)(3)[2] -

addresses contingency responsibilities;

- - - CP-2(a)(3)[3] -

addresses assigned individuals with contact information;

- - - - assessment-objective - EXAMINE - CP-2(a)(4) -

addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - assessment-objective - EXAMINE - CP-2(a)(5) -

addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented;

- - - CP-2(a)(6) - - assessment-objective - EXAMINE - CP-2(a)(6)[1] -

defines personnel or roles to review and approve the contingency plan for - the information system;

- - - assessment-objective - EXAMINE - CP-2(a)(6)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - CP-2(b) - - assessment-objective - EXAMINE - CP-2(b)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-2(b)[2] -

distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements;

- - - - assessment-objective - EXAMINE - INTERVIEW - CP-2(c) -

coordinates contingency planning activities with incident handling activities;

- - - CP-2(d) - - assessment-objective - EXAMINE - CP-2(d)[1] -

defines a frequency to review the contingency plan for the information - system;

- - - assessment-objective - EXAMINE - CP-2(d)[2] -

reviews the contingency plan with the organization-defined frequency;

- - - - CP-2(e) -

updates the contingency plan to address:

- - assessment-objective - TEST - CP-2(e)[1] -

changes to the organization, information system, or environment of - operation;

- - - assessment-objective - TEST - CP-2(e)[2] -

problems encountered during plan implementation, execution, and testing;

- - - - CP-2(f) - - assessment-objective - EXAMINE - CP-2(f)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-2(f)[2] -

communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and

- - - - assessment-objective - TEST - CP-2(g) -

protects the contingency plan from unauthorized disclosure and modification.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

evidence of contingency plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan development, review, update, and - protection

-

automated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan

- - - - - Contingency Training - - - ten (10) days - - - - at least annually - - - CP-3 - cp-03 - Federal Continuity Directive 1 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides contingency training to information system users consistent - with assigned roles and responsibilities:

- - a. -

Within of assuming a contingency role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan.

- AT-2 - AT-3 - CP-2 - IR-2 - - -

Determine if the organization:

- - CP-3(a) - - assessment-objective - EXAMINE - CP-3(a)[1] -

defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility;

- - - assessment-objective - INTERVIEW - TEST - CP-3(a)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility;

- - - - assessment-objective - INTERVIEW - TEST - CP-3(b) -

provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes;

- - - CP-3(c) - - assessment-objective - EXAMINE - CP-3(c)[1] -

defines the frequency for contingency training thereafter; and

- - - assessment-objective - INTERVIEW - TEST - CP-3(c)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

security plan

-

contingency training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

- - - - - Contingency Plan Testing - - - at least every three years - - - - classroom exercises/table top written tests - - - CP-4 - cp-04 - Federal Continuity Directive 1 - FIPS Publication 199 - NIST Special Publication 800-34 - NIST Special Publication 800-84 - -

The organization:

- - a. -

Tests the contingency plan for the information system using to determine the - effectiveness of the plan and the organizational readiness to execute the - plan;

- - - b. -

Reviews the contingency plan test results; and

- - - c. -

Initiates corrective actions, if needed.

- - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - -

Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions.

- CP-2 - CP-3 - IR-3 - - -

Determine if the organization:

- - CP-4(a) - - assessment-objective - EXAMINE - CP-4(a)[1] -

defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan;

- - - assessment-objective - EXAMINE - CP-4(a)[2] -

defines a frequency to test the contingency plan for the information - system;

- - - assessment-objective - TEST - CP-4(a)[3] -

tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan;

- - - - assessment-objective - INTERVIEW - TEST - CP-4(b) -

reviews the contingency plan test results; and

- - - assessment-objective - TEST - CP-4(c) -

initiates corrective actions, if needed.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

security plan

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - - - Information System Backup - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - CP-9 - cp-09 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Conducts backups of user-level information contained in the information system - ;

- - - b. -

Conducts backups of system-level information contained in the information system - ;

- - - c. -

Conducts backups of information system documentation including security-related - documentation ; and

- - - d. -

Protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - -

System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information.

- CP-2 - CP-6 - MP-4 - MP-5 - SC-13 - - -

Determine if the organization:

- - CP-9(a) - - assessment-objective - EXAMINE - CP-9(a)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system;

- - - assessment-objective - TEST - CP-9(a)[2] -

conducts backups of user-level information contained in the information system - with the organization-defined frequency;

- - - - CP-9(b) - - assessment-objective - EXAMINE - CP-9(b)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system;

- - - assessment-objective - TEST - CP-9(b)[2] -

conducts backups of system-level information contained in the information - system with the organization-defined frequency;

- - - - CP-9(c) - - assessment-objective - EXAMINE - CP-9(c)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation;

- - - assessment-objective - TEST - CP-9(c)[2] -

conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and

- - - - assessment-objective - INTERVIEW - TEST - CP-9(d) -

protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system backups

- - - - - Information System Recovery and Reconstitution - CP-10 - cp-10 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure.

- - -

Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures.

- CA-2 - CA-6 - CA-7 - CP-2 - CP-6 - CP-7 - CP-9 - SC-24 - - -

Determine if the organization provides for:

- - assessment-objective - EXAMINE - TEST - CP-10[1] -

the recovery of the information system to a known state after:

- - CP-10[1][a] -

a disruption;

- - - CP-10[1][b] -

a compromise; or

- - - CP-10[1][c] -

a failure;

- - - - CP-10[2] -

the reconstitution of the information system to a known state after:

- - CP-10[2][a] -

a disruption;

- - - CP-10[2][b] -

a compromise; or

- - - CP-10[2][c] -

a failure.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test results

-

contingency plan test documentation

-

redundant secondary system for information system backups

-

location(s) of redundant secondary backup system(s)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes implementing information system recovery and - reconstitution operations

-

automated mechanisms supporting and/or implementing information system recovery - and reconstitution operations

- - - - - - Identification and Authentication - - Identification and Authentication Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - IA-1 - ia-01 - FIPS Publication 201 - NIST Special Publication 800-12 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Identification and authentication policy ; - and

- - - 2. -

Identification and authentication procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IA-1(a) - - IA-1(a)(1) - - assessment-objective - EXAMINE - IA-1(a)(1)[1] -

develops and documents an identification and authentication policy that - addresses:

- - IA-1(a)(1)[1][a] -

purpose;

- - - IA-1(a)(1)[1][b] -

scope;

- - - IA-1(a)(1)[1][c] -

roles;

- - - IA-1(a)(1)[1][d] -

responsibilities;

- - - IA-1(a)(1)[1][e] -

management commitment;

- - - IA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - IA-1(a)(1)[2] -

defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and

- - - assessment-objective - EXAMINE - INTERVIEW - IA-1(a)(1)[3] -

disseminates the identification and authentication policy to - organization-defined personnel or roles;

- - - - IA-1(a)(2) - - assessment-objective - EXAMINE - IA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls;

- - - assessment-objective - EXAMINE - IA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IA-1(b) - - IA-1(b)(1) - - assessment-objective - EXAMINE - IA-1(b)(1)[1] -

defines the frequency to review and update the current identification and - authentication policy;

- - - assessment-objective - EXAMINE - IA-1(b)(1)[2] -

reviews and updates the current identification and authentication policy - with the organization-defined frequency; and

- - - - IA-1(b)(2) - - assessment-objective - EXAMINE - IA-1(b)(2)[1] -

defines the frequency to review and update the current identification and - authentication procedures; and

- - - assessment-objective - EXAMINE - IA-1(b)(2)[2] -

reviews and updates the current identification and authentication procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Identification and authentication policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Identification and Authentication (organizational Users) - IA-2 - ia-02 - HSPD-12 - OMB Memorandum 04-04 - OMB Memorandum 06-16 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

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

- - -

Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8.

- AC-2 - AC-3 - AC-14 - AC-17 - AC-18 - IA-4 - IA-5 - IA-8 - - -

Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for uniquely identifying and authenticating users

-

automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Network Access to Privileged Accounts - IA-2(1) - ia-02.01 - -

The information system implements multifactor authentication for network access to - privileged accounts.

- - - AC-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Acceptance of PIV Credentials - IA-2(12) - ia-02.12 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials.

- - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-2(12)[1] -

accepts Personal Identity Verification (PIV) credentials; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-2(12)[2] -

electronically verifies Personal Identity Verification (PIV) credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials

- - - - - - Identifier Management - - - - - - IA-4 (d) [at least two years] - - - - ninety days for user identifiers (See additional requirements and guidance) - - - IA-4 - ia-04 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - -

The organization manages information system identifiers by:

- - a. -

Receiving authorization from to assign an - individual, group, role, or device identifier;

- - - b. -

Selecting an identifier that identifies an individual, group, role, or device;

- - - c. -

Assigning the identifier to the intended individual, group, role, or device;

- - - d. -

Preventing reuse of identifiers for ; and

- - - e. -

Disabling the identifier after .

- - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - -

Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices.

- AC-2 - IA-2 - IA-3 - IA-5 - IA-8 - SC-37 - - -

Determine if the organization manages information system identifiers by:

- - IA-4(a) - - assessment-objective - EXAMINE - IA-4(a)[1] -

defining personnel or roles from whom authorization must be received to - assign:

- - IA-4(a)[1][a] -

an individual identifier;

- - - IA-4(a)[1][b] -

a group identifier;

- - - IA-4(a)[1][c] -

a role identifier; and/or

- - - IA-4(a)[1][d] -

a device identifier;

- - - - assessment-objective - INTERVIEW - TEST - IA-4(a)[2] -

receiving authorization from organization-defined personnel or roles to - assign:

- - IA-4(a)[2][a] -

an individual identifier;

- - - IA-4(a)[2][b] -

a group identifier;

- - - IA-4(a)[2][c] -

a role identifier; and/or

- - - IA-4(a)[2][d] -

a device identifier;

- - - - - assessment-objective - INTERVIEW - TEST - IA-4(b) -

selecting an identifier that identifies:

- - IA-4(b)[1] -

an individual;

- - - IA-4(b)[2] -

a group;

- - - IA-4(b)[3] -

a role; and/or

- - - IA-4(b)[4] -

a device;

- - - - assessment-objective - INTERVIEW - TEST - IA-4(c) -

assigning the identifier to the intended:

- - IA-4(c)[1] -

individual;

- - - IA-4(c)[2] -

group;

- - - IA-4(c)[3] -

role; and/or

- - - IA-4(c)[4] -

device;

- - - - IA-4(d) - - assessment-objective - EXAMINE - IA-4(d)[1] -

defining a time period for preventing reuse of identifiers;

- - - assessment-objective - INTERVIEW - TEST - IA-4(d)[2] -

preventing reuse of identifiers for the organization-defined time period;

- - - - IA-4(e) - - assessment-objective - EXAMINE - IA-4(e)[1] -

defining a time period of inactivity to disable the identifier; and

- - - assessment-objective - INTERVIEW - TEST - IA-4(e)[2] -

disabling the identifier after the organization-defined time period of - inactivity.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system accounts

-

list of identifiers generated from physical access control devices

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - Authenticator Management - - - - - IA-5 - ia-05 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-63 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

The organization manages information system authenticators by:

- - a. -

Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator;

- - - b. -

Establishing initial authenticator content for authenticators defined by the - organization;

- - - c. -

Ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - d. -

Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators;

- - - e. -

Changing default content of authenticators prior to information system - installation;

- - - f. -

Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators;

- - - g. -

Changing/refreshing authenticators ;

- - - h. -

Protecting authenticator content from unauthorized disclosure and - modification;

- - - i. -

Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and

- - - j. -

Changing authenticators for group/role accounts when membership to those accounts - changes.

- - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link https://pages.nist.gov/800-63-3.

- - - - -

Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords.

- AC-2 - AC-3 - AC-6 - CM-6 - IA-2 - IA-4 - IA-8 - PL-4 - PS-5 - PS-6 - SC-12 - SC-13 - SC-17 - SC-28 - - -

Determine if the organization manages information system authenticators by:

- - assessment-objective - INTERVIEW - TEST - IA-5(a) -

verifying, as part of the initial authenticator distribution, the identity of:

- - IA-5(a)[1] -

the individual receiving the authenticator;

- - - IA-5(a)[2] -

the group receiving the authenticator;

- - - IA-5(a)[3] -

the role receiving the authenticator; and/or

- - - IA-5(a)[4] -

the device receiving the authenticator;

- - - - assessment-objective - EXAMINE - IA-5(b) -

establishing initial authenticator content for authenticators defined by the - organization;

- - - assessment-objective - INTERVIEW - TEST - IA-5(c) -

ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - IA-5(d) - - assessment-objective - EXAMINE - IA-5(d)[1] -

establishing and implementing administrative procedures for initial - authenticator distribution;

- - - assessment-objective - EXAMINE - IA-5(d)[2] -

establishing and implementing administrative procedures for lost/compromised or - damaged authenticators;

- - - assessment-objective - EXAMINE - IA-5(d)[3] -

establishing and implementing administrative procedures for revoking - authenticators;

- - - - assessment-objective - INTERVIEW - TEST - IA-5(e) -

changing default content of authenticators prior to information system - installation;

- - - IA-5(f) - - assessment-objective - EXAMINE - IA-5(f)[1] -

establishing minimum lifetime restrictions for authenticators;

- - - assessment-objective - EXAMINE - IA-5(f)[2] -

establishing maximum lifetime restrictions for authenticators;

- - - assessment-objective - EXAMINE - IA-5(f)[3] -

establishing reuse conditions for authenticators;

- - - - IA-5(g) - - assessment-objective - EXAMINE - IA-5(g)[1] -

defining a time period (by authenticator type) for changing/refreshing - authenticators;

- - - assessment-objective - INTERVIEW - TEST - IA-5(g)[2] -

changing/refreshing authenticators with the organization-defined time period by - authenticator type;

- - - - assessment-objective - INTERVIEW - TEST - IA-5(h) -

protecting authenticator content from unauthorized:

- - IA-5(h)[1] -

disclosure;

- - - IA-5(h)[2] -

modification;

- - - - IA-5(i) - - assessment-objective - EXAMINE - INTERVIEW - IA-5(i)[1] -

requiring individuals to take specific security safeguards to protect - authenticators;

- - - assessment-objective - INTERVIEW - TEST - IA-5(i)[2] -

having devices implement specific security safeguards to protect - authenticators; and

- - - - assessment-objective - INTERVIEW - TEST - IA-5(j) -

changing authenticators for group/role accounts when membership to those accounts - changes.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system authenticator types

-

change control records associated with managing information system - authenticators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - Password-based Authentication - - - - - - at least one - - - - - - - twenty four - - - IA-5(1) - ia-05.01 - -

The information system, for password-based authentication:

- - (a) -

Enforces minimum password complexity of ;

- - - (b) -

Enforces at least the following number of changed characters when new passwords - are created: ;

- - - (c) -

Stores and transmits only cryptographically-protected passwords;

- - - (d) -

Enforces password minimum and maximum lifetime restrictions of ;

- - - (e) -

Prohibits password reuse for generations; - and

- - - (f) -

Allows the use of a temporary password for system logons with an immediate - change to a permanent password.

- - - IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance - - Guidance (a) (d): -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - -

This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords.

- IA-6 - - -

Determine if, for password-based authentication:

- - IA-5(1)(a) - - assessment-objective - EXAMINE - IA-5(1)(a)[1] -

the organization defines requirements for case sensitivity;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[2] -

the organization defines requirements for number of characters;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[3] -

the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[4] -

the organization defines minimum requirements for each type of - character;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(a)[5] -

the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type;

- - IA-5(1)(a) - - - IA-5(1)(b) - - assessment-objective - EXAMINE - IA-5(1)(b)[1] -

the organization defines a minimum number of changed characters to be - enforced when new passwords are created;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(b)[2] -

the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created;

- - IA-5(1)(b) - - - assessment-objective - INTERVIEW - TEST - IA-5(1)(c) -

the information system stores and transmits only encrypted representations of - passwords;

- IA-5(1)(c) - - - IA-5(1)(d) - - assessment-objective - EXAMINE - IA-5(1)(d)[1] -

the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords;

- - - assessment-objective - EXAMINE - IA-5(1)(d)[2] -

the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(d)[3] -

the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(d)[4] -

the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum;

- - IA-5(1)(d) - - - IA-5(1)(e) - - assessment-objective - EXAMINE - IA-5(1)(e)[1] -

the organization defines the number of password generations to be prohibited - from password reuse;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(e)[2] -

the information system prohibits password reuse for the organization-defined - number of generations; and

- - IA-5(1)(e) - - - assessment-objective - INTERVIEW - TEST - IA-5(1)(f) -

the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password.

- IA-5(1)(f) - - - - EXAMINE - -

Identification and authentication policy

-

password policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

password configurations and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

- - - - - Hardware Token-based Authentication - - - - IA-5(11) - ia-05.11 - -

The information system, for hardware token-based authentication, employs - mechanisms that satisfy .

- - -

Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI.

- - -

Determine if, for hardware token-based authentication:

- - assessment-objective - EXAMINE - IA-5(11)[1] -

the organization defines token quality requirements to be satisfied; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(11)[2] -

the information system employs mechanisms that satisfy organization-defined - token quality requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

automated mechanisms employing hardware token-based authentication for the - information system

-

list of token quality requirements

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability

- - - - - - Authenticator Feedback - IA-6 - ia-06 - -

The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals.

- - -

The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it.

- PE-18 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator feedback

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication

- - - - - Cryptographic Module Authentication - IA-7 - ia-07 - FIPS Publication 140 - http://csrc.nist.gov/groups/STM/cmvp/index.html - -

The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication.

- - -

Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role.

- SC-12 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing cryptographic module authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for cryptographic module - authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic module - authentication

- - - - - Identification and Authentication (non-organizational Users) - IA-8 - ia-08 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - OMB Memorandum 10-06-2011 - FICAM Roadmap and Implementation Guidance - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-116 - National Strategy for Trusted Identities in - Cyberspace - http://idmanagement.gov - -

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

- - -

Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users.

- AC-2 - AC-14 - AC-17 - AC-18 - IA-2 - IA-4 - IA-5 - MA-4 - RA-3 - SA-12 - SC-8 - - -

Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Acceptance of PIV Credentials from Other Agencies - IA-8(1) - ia-08.01 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies.

- - -

This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-8(1)[1] -

accepts Personal Identity Verification (PIV) credentials from other agencies; - and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-8(1)[2] -

electronically verifies Personal Identity Verification (PIV) credentials from - other agencies.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept and verify PIV credentials

- - - - - Acceptance of Third-party Credentials - IA-8(2) - ia-08.02 - -

The information system accepts only FICAM-approved third-party credentials.

- - -

This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels.

- AU-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system accepts only FICAM-approved third-party - credentials.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization

-

third-party credential verification records

-

evidence of FICAM-approved third-party credentials

-

third-party credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept FICAM-approved credentials

- - - - - Use of Ficam-approved Products - - - - IA-8(3) - ia-08.03 - -

The organization employs only FICAM-approved information system components in - to accept third-party credentials.

- - -

This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program.

- SA-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-8(3)[1] -

defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and

- - - assessment-objective - INTERVIEW - TEST - IA-8(3)[2] -

employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

third-party credential validations

-

third-party credential authorizations

-

third-party credential records

-

list of FICAM-approved information system components procured and implemented - by organization

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information system security, acquisition, and - contracting responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Use of Ficam-issued Profiles - IA-8(4) - ia-08.04 - -

The information system conforms to FICAM-issued profiles.

- - -

This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange).

- SA-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system conforms to FICAM-issued profiles.

- - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-issued profiles and associated, approved protocols

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles

- - - - - - - Incident Response - - Incident Response Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - IR-1 - ir-01 - NIST Special Publication 800-12 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Incident response policy ; and

- - - 2. -

Incident response procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IR-1(a) - - IR-1(a)(1) - - assessment-objective - EXAMINE - IR-1(a)(1)[1] -

develops and documents an incident response policy that addresses:

- - IR-1(a)(1)[1][a] -

purpose;

- - - IR-1(a)(1)[1][b] -

scope;

- - - IR-1(a)(1)[1][c] -

roles;

- - - IR-1(a)(1)[1][d] -

responsibilities;

- - - IR-1(a)(1)[1][e] -

management commitment;

- - - IR-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IR-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - IR-1(a)(1)[2] -

defines personnel or roles to whom the incident response policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-1(a)(1)[3] -

disseminates the incident response policy to organization-defined personnel - or roles;

- - - - IR-1(a)(2) - - assessment-objective - EXAMINE - IR-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls;

- - - assessment-objective - EXAMINE - IR-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IR-1(b) - - IR-1(b)(1) - - assessment-objective - EXAMINE - IR-1(b)(1)[1] -

defines the frequency to review and update the current incident response - policy;

- - - assessment-objective - EXAMINE - IR-1(b)(1)[2] -

reviews and updates the current incident response policy with the - organization-defined frequency;

- - - - IR-1(b)(2) - - assessment-objective - EXAMINE - IR-1(b)(2)[1] -

defines the frequency to review and update the current incident response - procedures; and

- - - assessment-objective - EXAMINE - IR-1(b)(2)[2] -

reviews and updates the current incident response procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Incident response policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Response Training - - - - - - at least annually - - - IR-2 - ir-02 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides incident response training to information system users - consistent with assigned roles and responsibilities:

- - a. -

Within of assuming an incident response role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources.

- AT-3 - CP-3 - IR-8 - - -

Determine if the organization:

- - IR-2(a) - - assessment-objective - EXAMINE - IR-2(a)[1] -

defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-2(a)[2] -

provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility;

- - - - assessment-objective - EXAMINE - INTERVIEW - IR-2(b) -

provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes;

- - - IR-2(c) - - assessment-objective - EXAMINE - IR-2(c)[1] -

defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-2(c)[2] -

after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

security plan

-

incident response plan

-

security plan

-

incident response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Handling - IR-4 - ir-04 - Executive Order 13587 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery;

- - - b. -

Coordinates incident handling activities with contingency planning activities; - and

- - - c. -

Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly.

- - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function).

- AU-6 - CM-6 - CP-2 - CP-4 - IR-2 - IR-3 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-4(a) -

implements an incident handling capability for security incidents that - includes:

- - IR-4(a)[1] -

preparation;

- - - IR-4(a)[2] -

detection and analysis;

- - - IR-4(a)[3] -

containment;

- - - IR-4(a)[4] -

eradication;

- - - IR-4(a)[5] -

recovery;

- - - - assessment-objective - EXAMINE - INTERVIEW - IR-4(b) -

coordinates incident handling activities with contingency planning activities;

- - - IR-4(c) - - assessment-objective - EXAMINE - IR-4(c)[1] -

incorporates lessons learned from ongoing incident handling activities - into:

- - IR-4(c)[1][a] -

incident response procedures;

- - - IR-4(c)[1][b] -

training;

- - - IR-4(c)[1][c] -

testing/exercises;

- - - - assessment-objective - TEST - IR-4(c)[2] -

implements the resulting changes accordingly to:

- - IR-4(c)[2][a] -

incident response procedures;

- - - IR-4(c)[2][b] -

training; and

- - - IR-4(c)[2][c] -

testing/exercises.

- - - - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident handling

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - - Incident Monitoring - IR-5 - ir-05 - NIST Special Publication 800-61 - -

The organization tracks and documents information system security incidents.

- - -

Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports.

- AU-6 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-5[1] -

tracks information system security incidents; and

- - - assessment-objective - EXAMINE - TEST - IR-5[2] -

documents information system security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

incident response records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident monitoring capability for the organization

-

automated mechanisms supporting and/or implementing tracking and documenting of - system security incidents

- - - - - Incident Reporting - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - - - - IR-6 - ir-06 - NIST Special Publication 800-61 - http://www.us-cert.gov - -

The organization:

- - a. -

Requires personnel to report suspected security incidents to the organizational - incident response capability within ; and

- - - b. -

Reports security incident information to .

- - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - -

The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling.

- IR-4 - IR-5 - IR-8 - - -

Determine if the organization:

- - IR-6(a) - - assessment-objective - EXAMINE - IR-6(a)[1] -

defines the time period within which personnel report suspected security - incidents to the organizational incident response capability;

- - - assessment-objective - INTERVIEW - TEST - IR-6(a)[2] -

requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period;

- - - - IR-6(b) - - assessment-objective - EXAMINE - IR-6(b)[1] -

defines authorities to whom security incident information is to be reported; - and

- - - assessment-objective - INTERVIEW - TEST - IR-6(b)[2] -

reports security incident information to organization-defined authorities.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

incident reporting records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

personnel who have/should have reported incidents

-

personnel (authorities) to whom incident information is to be reported

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing incident reporting

- - - - - Incident Response Assistance - IR-7 - ir-07 - -

The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents.

- - -

Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required.

- AT-2 - IR-4 - IR-6 - IR-8 - SA-9 - - -

Determine if the organization provides an incident response support resource:

- - IR-7[1] -

that is integral to the organizational incident response capability; and

- - - IR-7[2] -

that offers advice and assistance to users of the information system for the - handling and reporting of security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response assistance and support - responsibilities

-

organizational personnel with access to incident response support and assistance - capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing incident response - assistance

- - - - - Incident Response Plan - - - - - - see additional FedRAMP Requirements and Guidance - - - - at least annually - - - - see additional FedRAMP Requirements and Guidance - - - IR-8 - ir-08 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Develops an incident response plan that:

- - 1. -

Provides the organization with a roadmap for implementing its incident response - capability;

- - - 2. -

Describes the structure and organization of the incident response - capability;

- - - 3. -

Provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - 4. -

Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions;

- - - 5. -

Defines reportable incidents;

- - - 6. -

Provides metrics for measuring the incident response capability within the - organization;

- - - 7. -

Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and

- - - 8. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the incident response plan to ;

- - - c. -

Reviews the incident response plan ;

- - - d. -

Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing;

- - - e. -

Communicates incident response plan changes to ; - and

- - - f. -

Protects the incident response plan from unauthorized disclosure and - modification.

- - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - -

It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems.

- MP-2 - MP-4 - MP-5 - - -

Determine if the organization:

- - IR-8(a) -

develops an incident response plan that:

- - assessment-objective - EXAMINE - IR-8(a)(1) -

provides the organization with a roadmap for implementing its incident response - capability;

- - - assessment-objective - EXAMINE - IR-8(a)(2) -

describes the structure and organization of the incident response - capability;

- - - assessment-objective - EXAMINE - IR-8(a)(3) -

provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - assessment-objective - EXAMINE - IR-8(a)(4) -

meets the unique requirements of the organization, which relate to:

- - IR-8(a)(4)[1] -

mission;

- - - IR-8(a)(4)[2] -

size;

- - - IR-8(a)(4)[3] -

structure;

- - - IR-8(a)(4)[4] -

functions;

- - - - assessment-objective - EXAMINE - IR-8(a)(5) -

defines reportable incidents;

- - - assessment-objective - TEST - IR-8(a)(6) -

provides metrics for measuring the incident response capability within the - organization;

- - - assessment-objective - EXAMINE - IR-8(a)(7) -

defines the resources and management support needed to effectively maintain and - mature an incident response capability;

- - - IR-8(a)(8) - - assessment-objective - EXAMINE - IR-8(a)(8)[1] -

defines personnel or roles to review and approve the incident response - plan;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-8(a)(8)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - IR-8(b) - - IR-8(b)[1] - - assessment-objective - EXAMINE - IR-8(b)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed;

- - - assessment-objective - EXAMINE - IR-8(b)[1][b] -

defines organizational elements to whom copies of the incident response plan - are to be distributed;

- - - - assessment-objective - INTERVIEW - TEST - IR-8(b)[2] -

distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements;

- - - - IR-8(c) - - assessment-objective - EXAMINE - IR-8(c)[1] -

defines the frequency to review the incident response plan;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-8(c)[2] -

reviews the incident response plan with the organization-defined frequency;

- - - - assessment-objective - TEST - IR-8(d) -

updates the incident response plan to address system/organizational changes or - problems encountered during plan:

- - IR-8(d)[1] -

implementation;

- - - IR-8(d)[2] -

execution; or

- - - IR-8(d)[3] -

testing;

- - - - IR-8(e) - - IR-8(e)[1] - - assessment-objective - EXAMINE - IR-8(e)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated;

- - - assessment-objective - TEST - IR-8(e)[1][b] -

defines organizational elements to whom incident response plan changes are - to be communicated;

- - - - assessment-objective - TEST - IR-8(e)[2] -

communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and

- - - - assessment-objective - TEST - IR-8(f) -

protects the incident response plan from unauthorized disclosure and - modification.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response planning

-

incident response plan

-

records of incident response plan reviews and approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational incident response plan and related organizational processes

- - - - - - Maintenance - - System Maintenance Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - MA-1 - ma-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

System maintenance policy ; and

- - - 2. -

System maintenance procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MA-1(a) - - MA-1(a)(1) - - assessment-objective - EXAMINE - MA-1(a)(1)[1] -

develops and documents a system maintenance policy that addresses:

- - MA-1(a)(1)[1][a] -

purpose;

- - - MA-1(a)(1)[1][b] -

scope;

- - - MA-1(a)(1)[1][c] -

roles;

- - - MA-1(a)(1)[1][d] -

responsibilities;

- - - MA-1(a)(1)[1][e] -

management commitment;

- - - MA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - MA-1(a)(1)[2] -

defines personnel or roles to whom the system maintenance policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MA-1(a)(1)[3] -

disseminates the system maintenance policy to organization-defined personnel - or roles;

- - - - MA-1(a)(2) - - assessment-objective - EXAMINE - MA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls;

- - - assessment-objective - EXAMINE - MA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MA-1(b) - - MA-1(b)(1) - - assessment-objective - EXAMINE - MA-1(b)(1)[1] -

defines the frequency to review and update the current system maintenance - policy;

- - - assessment-objective - EXAMINE - MA-1(b)(1)[2] -

reviews and updates the current system maintenance policy with the - organization-defined frequency;

- - - - MA-1(b)(2) - - assessment-objective - EXAMINE - MA-1(b)(2)[1] -

defines the frequency to review and update the current system maintenance - procedures; and

- - - assessment-objective - EXAMINE - MA-1(b)(2)[2] -

reviews and updates the current system maintenance procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Maintenance policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - - Controlled Maintenance - - - - - - - MA-2 - ma-02 - -

The organization:

- - a. -

Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements;

- - - b. -

Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location;

- - - c. -

Requires that explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - d. -

Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - e. -

Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and

- - - f. -

Includes in organizational maintenance - records.

- - - -

This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems.

- CM-3 - CM-4 - MA-4 - MP-6 - PE-16 - SA-12 - SI-2 - - -

Determine if the organization:

- - MA-2(a) - - assessment-objective - EXAMINE - MA-2(a)[1] -

schedules maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[1][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[1][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - INTERVIEW - MA-2(a)[2] -

performs maintenance and repairs on information system components in accordance - with:

- - MA-2(a)[2][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[2][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - MA-2(a)[3] -

documents maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[3][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[3][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - INTERVIEW - MA-2(a)[4] -

reviews records of maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[4][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[4][b] -

organizational requirements;

- - - - - MA-2(b) - - assessment-objective - EXAMINE - INTERVIEW - MA-2(b)[1] -

approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - assessment-objective - INTERVIEW - TEST - MA-2(b)[2] -

monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - - MA-2(c) - - assessment-objective - EXAMINE - MA-2(c)[1] -

defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - assessment-objective - EXAMINE - MA-2(c)[2] -

requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs;

- - - - assessment-objective - INTERVIEW - TEST - MA-2(d) -

sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - assessment-objective - INTERVIEW - TEST - MA-2(e) -

checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions;

- - - MA-2(f) - - assessment-objective - EXAMINE - MA-2(f)[1] -

defines maintenance-related information to be included in organizational - maintenance records; and

- - - assessment-objective - EXAMINE - MA-2(f)[2] -

includes organization-defined maintenance-related information in organizational - maintenance records.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

maintenance records

-

manufacturer/vendor maintenance specifications

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system

-

organizational processes for sanitizing information system components

-

automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms implementing sanitization of information system - components

- - - - - Nonlocal Maintenance - - MA-4 - ma-04 - FIPS Publication 140-2 - FIPS Publication 197 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-88 - CNSS Policy 15 - -

The organization:

- - a. -

Approves and monitors nonlocal maintenance and diagnostic activities;

- - - b. -

Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system;

- - - c. -

Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - d. -

Maintains records for nonlocal maintenance and diagnostic activities; and

- - - e. -

Terminates session and network connections when nonlocal maintenance is - completed.

- - - -

Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls.

- AC-2 - AC-3 - AC-6 - AC-17 - AU-2 - AU-3 - IA-2 - IA-4 - IA-5 - IA-8 - MA-2 - MA-5 - MP-6 - PL-2 - SC-7 - SC-10 - SC-17 - - -

Determine if the organization:

- - MA-4(a) - - assessment-objective - EXAMINE - MA-4(a)[1] -

approves nonlocal maintenance and diagnostic activities;

- - - assessment-objective - INTERVIEW - TEST - MA-4(a)[2] -

monitors nonlocal maintenance and diagnostic activities;

- - - - assessment-objective - EXAMINE - MA-4(b) -

allows the use of nonlocal maintenance and diagnostic tools only:

- - MA-4(b)[1] -

as consistent with organizational policy;

- - - MA-4(b)[2] -

as documented in the security plan for the information system;

- - - - assessment-objective - INTERVIEW - TEST - MA-4(c) -

employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - assessment-objective - EXAMINE - MA-4(d) -

maintains records for nonlocal maintenance and diagnostic activities;

- - - MA-4(e) - - assessment-objective - TEST - MA-4(e)[1] -

terminates sessions when nonlocal maintenance or diagnostics is completed; - and

- - - assessment-objective - TEST - MA-4(e)[2] -

terminates network connections when nonlocal maintenance or diagnostics is - completed.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

maintenance records

-

diagnostic records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing nonlocal maintenance

-

automated mechanisms implementing, supporting, and/or managing nonlocal - maintenance

-

automated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions

-

automated mechanisms for terminating nonlocal maintenance sessions and network - connections

- - - - - Maintenance Personnel - MA-5 - ma-05 - -

The organization:

- - a. -

Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel;

- - - b. -

Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - c. -

Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - -

This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods.

- AC-2 - IA-8 - MP-2 - PE-2 - PE-3 - PE-4 - RA-3 - - -

Determine if the organization:

- - MA-5(a) - - assessment-objective - EXAMINE - MA-5(a)[1] -

establishes a process for maintenance personnel authorization;

- - - assessment-objective - EXAMINE - MA-5(a)[2] -

maintains a list of authorized maintenance organizations or personnel;

- - - - assessment-objective - INTERVIEW - TEST - MA-5(b) -

ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - assessment-objective - EXAMINE - MA-5(c) -

designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

service provider contracts

-

service-level agreements

-

list of authorized personnel

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for authorizing and managing maintenance personnel

-

automated mechanisms supporting and/or implementing authorization of maintenance - personnel

- - - - - - Media Protection - - Media Protection Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - MP-1 - mp-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Media protection policy ; and

- - - 2. -

Media protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MP-1(a) - - MP-1(a)(1) - - assessment-objective - EXAMINE - MP-1(a)(1)[1] -

develops and documents a media protection policy that addresses:

- - MP-1(a)(1)[1][a] -

purpose;

- - - MP-1(a)(1)[1][b] -

scope;

- - - MP-1(a)(1)[1][c] -

roles;

- - - MP-1(a)(1)[1][d] -

responsibilities;

- - - MP-1(a)(1)[1][e] -

management commitment;

- - - MP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MP-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - MP-1(a)(1)[2] -

defines personnel or roles to whom the media protection policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MP-1(a)(1)[3] -

disseminates the media protection policy to organization-defined personnel - or roles;

- - - - MP-1(a)(2) - - assessment-objective - EXAMINE - MP-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls;

- - - assessment-objective - EXAMINE - MP-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MP-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MP-1(b) - - MP-1(b)(1) - - assessment-objective - EXAMINE - MP-1(b)(1)[1] -

defines the frequency to review and update the current media protection - policy;

- - - assessment-objective - EXAMINE - MP-1(b)(1)[2] -

reviews and updates the current media protection policy with the - organization-defined frequency;

- - - - MP-1(b)(2) - - assessment-objective - EXAMINE - MP-1(b)(2)[1] -

defines the frequency to review and update the current media protection - procedures; and

- - - assessment-objective - EXAMINE - MP-1(b)(2)[2] -

reviews and updates the current media protection procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Media protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media protection responsibilities

-

organizational personnel with information security responsibilities

- - - - - Media Access - - - - - - - MP-2 - mp-02 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization restricts access to to .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team.

- AC-3 - IA-2 - MP-4 - PE-2 - PE-3 - PL-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-2[1] -

defines types of digital and/or non-digital media requiring restricted access;

- - - assessment-objective - EXAMINE - MP-2[2] -

defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - MP-2[3] -

restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media access restrictions

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

media storage facilities

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for restricting information media

-

automated mechanisms supporting and/or implementing media access restrictions

- - - - - Media Sanitization - - - - - - - MP-6 - mp-06 - FIPS Publication 199 - NIST Special Publication 800-60 - NIST Special Publication 800-88 - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - -

The organization:

- - a. -

Sanitizes prior to disposal, release out of - organizational control, or release for reuse using - in accordance with applicable federal and organizational standards and policies; - and

- - - b. -

Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information.

- - - -

This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information.

- MA-2 - MA-4 - RA-3 - SC-4 - - -

Determine if the organization:

- - MP-6(a) - - assessment-objective - EXAMINE - MP-6(a)[1] -

defines information system media to be sanitized prior to:

- - MP-6(a)[1][a] -

disposal;

- - - MP-6(a)[1][b] -

release out of organizational control; or

- - - MP-6(a)[1][c] -

release for reuse;

- - - - assessment-objective - EXAMINE - MP-6(a)[2] -

defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to:

- - MP-6(a)[2][a] -

disposal;

- - - MP-6(a)[2][b] -

release out of organizational control; or

- - - MP-6(a)[2][c] -

release for reuse;

- - - - assessment-objective - INTERVIEW - TEST - MP-6(a)[3] -

sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and

- - - - assessment-objective - INTERVIEW - TEST - MP-6(b) -

employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

applicable federal standards and policies addressing media sanitization

-

media sanitization records

-

audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media sanitization responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - Media Use - - - - - - - - - - - MP-7 - mp-07 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization the use of on using .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices.

- AC-19 - PL-4 - - -

Determine if the organization:

- - MP-7[1] -

defines types of information system media to be:

- - MP-7[1][a] -

restricted on information systems or system components; or

- - - MP-7[1][b] -

prohibited from use on information systems or system components;

- - - - MP-7[2] -

defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following:

- - MP-7[2][a] -

restricted; or

- - - MP-7[2][b] -

prohibited;

- - - - assessment-objective - EXAMINE - MP-7[3] -

defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and

- - - assessment-objective - INTERVIEW - TEST - MP-7[4] -

restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards.

- - - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms restricting or prohibiting use of information system media on - information systems or system components

- - - - - - Physical and Environmental Protection - - Physical and Environmental Protection Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - PE-1 - pe-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Physical and environmental protection policy ; - and

- - - 2. -

Physical and environmental protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PE-1(a) - - PE-1(a)(1) - - assessment-objective - EXAMINE - PE-1(a)(1)[1] -

develops and documents a physical and environmental protection policy that - addresses:

- - PE-1(a)(1)[1][a] -

purpose;

- - - PE-1(a)(1)[1][b] -

scope;

- - - PE-1(a)(1)[1][c] -

roles;

- - - PE-1(a)(1)[1][d] -

responsibilities;

- - - PE-1(a)(1)[1][e] -

management commitment;

- - - PE-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PE-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PE-1(a)(1)[2] -

defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-1(a)(1)[3] -

disseminates the physical and environmental protection policy to - organization-defined personnel or roles;

- - - - PE-1(a)(2) - - assessment-objective - EXAMINE - PE-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls;

- - - assessment-objective - EXAMINE - PE-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PE-1(b) - - PE-1(b)(1) - - assessment-objective - EXAMINE - PE-1(b)(1)[1] -

defines the frequency to review and update the current physical and - environmental protection policy;

- - - assessment-objective - EXAMINE - PE-1(b)(1)[2] -

reviews and updates the current physical and environmental protection policy - with the organization-defined frequency;

- - - - PE-1(b)(2) - - assessment-objective - EXAMINE - PE-1(b)(2)[1] -

defines the frequency to review and update the current physical and - environmental protection procedures; and

- - - assessment-objective - EXAMINE - PE-1(b)(2)[2] -

reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Physical and environmental protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical and environmental protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Physical Access Authorizations - - - at least annually - - - PE-2 - pe-02 - -

The organization:

- - a. -

Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides;

- - - b. -

Issues authorization credentials for facility access;

- - - c. -

Reviews the access list detailing authorized facility access by individuals - ; and

- - - d. -

Removes individuals from the facility access list when access is no longer - required.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible.

- PE-3 - PE-4 - PS-3 - - -

Determine if the organization:

- - PE-2(a) - - assessment-objective - EXAMINE - INTERVIEW - PE-2(a)[1] -

develops a list of individuals with authorized access to the facility where the - information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-2(a)[2] -

approves a list of individuals with authorized access to the facility where the - information system resides;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-2(a)[3] -

maintains a list of individuals with authorized access to the facility where - the information system resides;

- - - - assessment-objective - INTERVIEW - TEST - PE-2(b) -

issues authorization credentials for facility access;

- - - PE-2(c) - - assessment-objective - EXAMINE - PE-2(c)[1] -

defines the frequency to review the access list detailing authorized facility - access by individuals;

- - - assessment-objective - INTERVIEW - TEST - PE-2(c)[2] -

reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and

- - - - assessment-objective - INTERVIEW - TEST - PE-2(d) -

removes individuals from the facility access list when access is no longer - required.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

security plan

-

authorized personnel access list

-

authorization credentials

-

physical access list reviews

-

physical access termination records and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization responsibilities

-

organizational personnel with physical access to information system facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - - Physical Access Control - - - - - CSP defined physical access control systems/devices AND guards - - - - CSP defined physical access control systems/devices - - - - - - - - - - in all circumstances within restricted access area where the information system resides - - - - - - - at least annually - - - - at least annually - - - PE-3 - pe-03 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-116 - ICD 704 - ICD 705 - DoD Instruction 5200.39 - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - http://idmanagement.gov - http://fips201ep.cio.gov - -

The organization:

- - a. -

Enforces physical access authorizations at by;

- - 1. -

Verifying individual access authorizations before granting access to the - facility; and

- - - 2. -

Controlling ingress/egress to the facility using ;

- - - - b. -

Maintains physical access audit logs for ;

- - - c. -

Provides to control access to areas within the - facility officially designated as publicly accessible;

- - - d. -

Escorts visitors and monitors visitor activity ;

- - - e. -

Secures keys, combinations, and other physical access devices;

- - - f. -

Inventories every ; - and

- - - g. -

Changes combinations and keys and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices.

- AU-2 - AU-6 - MP-2 - MP-4 - PE-2 - PE-4 - PE-5 - PS-3 - RA-3 - - -

Determine if the organization:

- - PE-3(a) - - assessment-objective - EXAMINE - assessment-objective - INTERVIEW - TEST - PE-3(a)[1] -

defines entry/exit points to the facility where the information system - resides;

- - - PE-3(a)[2] -

enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by:

- - PE-3(a)[2](1) -

verifying individual access authorizations before granting access to the - facility;

- - - assessment-objective - EXAMINE - PE-3(a)[2](2) - - PE-3(a)[2](2)[a] -

defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides;

- - - PE-3(a)[2](2)[b] -

using one or more of the following ways to control ingress/egress to the - facility:

- - PE-3(a)[2](2)[b][1] -

organization-defined physical access control systems/devices; - and/or

- - - PE-3(a)[2](2)[b][2] -

guards;

- - - - - - - PE-3(b) - - assessment-objective - EXAMINE - PE-3(b)[1] -

defines entry/exit points for which physical access audit logs are to be - maintained;

- - - assessment-objective - INTERVIEW - TEST - PE-3(b)[2] -

maintains physical access audit logs for organization-defined entry/exit - points;

- - - - PE-3(c) - - assessment-objective - EXAMINE - PE-3(c)[1] -

defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible;

- - - assessment-objective - INTERVIEW - TEST - PE-3(c)[2] -

provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible;

- - - - PE-3(d) - - assessment-objective - EXAMINE - PE-3(d)[1] -

defines circumstances requiring visitor:

- - PE-3(d)[1][a] -

escorts;

- - - PE-3(d)[1][b] -

monitoring;

- - - - assessment-objective - INTERVIEW - TEST - PE-3(d)[2] -

in accordance with organization-defined circumstances requiring visitor escorts - and monitoring:

- - PE-3(d)[2][a] -

escorts visitors;

- - - PE-3(d)[2][b] -

monitors visitor activities;

- - - - - PE-3(e) - - assessment-objective - INTERVIEW - TEST - PE-3(e)[1] -

secures keys;

- - - assessment-objective - INTERVIEW - TEST - PE-3(e)[2] -

secures combinations;

- - - assessment-objective - INTERVIEW - TEST - PE-3(e)[3] -

secures other physical access devices;

- - - - PE-3(f) - - assessment-objective - EXAMINE - PE-3(f)[1] -

defines physical access devices to be inventoried;

- - - assessment-objective - EXAMINE - PE-3(f)[2] -

defines the frequency to inventory organization-defined physical access - devices;

- - - assessment-objective - INTERVIEW - TEST - PE-3(f)[3] -

inventories the organization-defined physical access devices with the - organization-defined frequency;

- - - - PE-3(g) - - assessment-objective - EXAMINE - PE-3(g)[1] -

defines the frequency to change combinations and keys; and

- - - assessment-objective - INTERVIEW - TEST - PE-3(g)[2] -

changes combinations and keys with the organization-defined frequency and/or - when:

- - PE-3(g)[2][a] -

keys are lost;

- - - PE-3(g)[2][b] -

combinations are compromised;

- - - PE-3(g)[2][c] -

individuals are transferred or terminated.

- - - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security plan

-

physical access control logs or records

-

inventory records of physical access control devices

-

information system entry and exit points

-

records of key and lock combination changes

-

storage locations for physical access control devices

-

physical access control devices

-

list of security safeguards controlling access to designated publicly accessible - areas within facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control

-

automated mechanisms supporting and/or implementing physical access control

-

physical access control devices

- - - - - Monitoring Physical Access - - - at least monthly - - - - - - PE-6 - pe-06 - -

The organization:

- - a. -

Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - b. -

Reviews physical access logs and upon occurrence - of ; and

- - - c. -

Coordinates results of reviews and investigations with the organizational incident - response capability.

- - - -

Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses.

- CA-7 - IR-4 - IR-8 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - PE-6(a) -

monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - PE-6(b) - - assessment-objective - EXAMINE - PE-6(b)[1] -

defines the frequency to review physical access logs;

- - - assessment-objective - EXAMINE - PE-6(b)[2] -

defines events or potential indication of events requiring physical access logs - to be reviewed;

- - - assessment-objective - INTERVIEW - TEST - PE-6(b)[3] -

reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and

- - - - assessment-objective - EXAMINE - INTERVIEW - PE-6(c) -

coordinates results of reviews and investigations with the organizational incident - response capability.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access monitoring

-

automated mechanisms supporting and/or implementing reviewing of physical access - logs

- - - - - Visitor Access Records - - - for a minimum of one (1) year - - - - at least monthly - - - PE-8 - pe-08 - -

The organization:

- - a. -

Maintains visitor access records to the facility where the information system - resides for ; and

- - - b. -

Reviews visitor access records .

- - - -

Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas.

- - -

Determine if the organization:

- - PE-8(a) - - assessment-objective - EXAMINE - PE-8(a)[1] -

defines the time period to maintain visitor access records to the facility - where the information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-8(a)[2] -

maintains visitor access records to the facility where the information system - resides for the organization-defined time period;

- - - - PE-8(b) - - assessment-objective - EXAMINE - PE-8(b)[1] -

defines the frequency to review visitor access records; and

- - - assessment-objective - INTERVIEW - TEST - PE-8(b)[2] -

reviews visitor access records with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

security plan

-

visitor access control logs or records

-

visitor access record or log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - - - Emergency Lighting - PE-12 - pe-12 - -

The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- CP-2 - CP-7 - - -

Determine if the organization employs and maintains automatic emergency lighting for - the information system that:

- - PE-12[1] -

activates in the event of a power outage or disruption; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-12[2] -

covers emergency exits and evacuation routes within the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency lighting

-

emergency lighting documentation

-

emergency lighting test records

-

emergency exits and evacuation routes

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency lighting and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency lighting - capability

- - - - - Fire Protection - PE-13 - pe-13 - -

The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors.

- - -

Determine if the organization:

- - PE-13[1] -

employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and

- - - PE-13[2] -

maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and suppression - devices/systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems

- - - - - Temperature and Humidity Controls - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - - continuously - - PE-14 - pe-14 - -

The organization:

- - a. -

Maintains temperature and humidity levels within the facility where the - information system resides at ; and

- - - b. -

Monitors temperature and humidity levels .

- - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - -

This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms.

- AT-3 - - -

Determine if the organization:

- - PE-14(a) - - assessment-objective - EXAMINE - PE-14(a)[1] -

defines acceptable temperature levels to be maintained within the facility - where the information system resides;

- - - assessment-objective - EXAMINE - PE-14(a)[2] -

defines acceptable humidity levels to be maintained within the facility where - the information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-14(a)[3] -

maintains temperature levels within the facility where the information system - resides at the organization-defined levels;

- - - assessment-objective - INTERVIEW - TEST - PE-14(a)[4] -

maintains humidity levels within the facility where the information system - resides at the organization-defined levels;

- - - - PE-14(b) - - assessment-objective - EXAMINE - PE-14(b)[1] -

defines the frequency to monitor temperature levels;

- - - assessment-objective - EXAMINE - PE-14(b)[2] -

defines the frequency to monitor humidity levels;

- - - assessment-objective - INTERVIEW - TEST - PE-14(b)[3] -

monitors temperature levels with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - PE-14(b)[4] -

monitors humidity levels with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity control

-

security plan

-

temperature and humidity controls

-

facility housing the information system

-

temperature and humidity controls documentation

-

temperature and humidity records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels

- - - - - Water Damage Protection - PE-15 - pe-15 - -

The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations.

- AT-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are:

- - PE-15[1] -

accessible;

- - - PE-15[2] -

working properly; and

- - - PE-15[3] -

known to key personnel.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

master shutoff valves

-

list of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system

-

master shutoff valve documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Master water-shutoff valves

-

organizational process for activating master water-shutoff

- - - - - Delivery and Removal - - - all information system components - - PE-16 - pe-16 - -

The organization authorizes, monitors, and controls - entering and exiting the facility and maintains records of those items.

- - -

Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries.

- CM-3 - MA-2 - MA-3 - MP-5 - SA-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-16[1] -

defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[2] -

authorizes organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[3] -

monitors organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[4] -

controls organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[5] -

authorizes organization-defined information system components exiting the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[6] -

monitors organization-defined information system components exiting the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[7] -

controls organization-defined information system components exiting the - facility;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-16[8] -

maintains records of information system components entering the facility; and

- - - assessment-objective - EXAMINE - INTERVIEW - PE-16[9] -

maintains records of information system components exiting the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing delivery and removal of information system components from - the facility

-

security plan

-

facility housing the information system

-

records of items entering and exiting the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility

- - - - - - Planning - - Security Planning Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - PL-1 - pl-01 - NIST Special Publication 800-12 - NIST Special Publication 800-18 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security planning policy ; and

- - - 2. -

Security planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PL-1(a) - - PL-1(a)(1) - - assessment-objective - EXAMINE - PL-1(a)(1)[1] -

develops and documents a planning policy that addresses:

- - PL-1(a)(1)[1][a] -

purpose;

- - - PL-1(a)(1)[1][b] -

scope;

- - - PL-1(a)(1)[1][c] -

roles;

- - - PL-1(a)(1)[1][d] -

responsibilities;

- - - PL-1(a)(1)[1][e] -

management commitment;

- - - PL-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PL-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PL-1(a)(1)[2] -

defines personnel or roles to whom the planning policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PL-1(a)(1)[3] -

disseminates the planning policy to organization-defined personnel or - roles;

- - - - PL-1(a)(2) - - assessment-objective - EXAMINE - PL-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls;

- - - assessment-objective - EXAMINE - PL-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PL-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PL-1(b) - - PL-1(b)(1) - - assessment-objective - EXAMINE - PL-1(b)(1)[1] -

defines the frequency to review and update the current planning policy;

- - - assessment-objective - EXAMINE - PL-1(b)(1)[2] -

reviews and updates the current planning policy with the - organization-defined frequency;

- - - - PL-1(b)(2) - - assessment-objective - EXAMINE - PL-1(b)(2)[1] -

defines the frequency to review and update the current planning procedures; - and

- - - assessment-objective - EXAMINE - PL-1(b)(2)[2] -

reviews and updates the current planning procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - System Security Plan - - - - - - at least annually - - - PL-2 - pl-02 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Develops a security plan for the information system that:

- - 1. -

Is consistent with the organization’s enterprise architecture;

- - - 2. -

Explicitly defines the authorization boundary for the system;

- - - 3. -

Describes the operational context of the information system in terms of - missions and business processes;

- - - 4. -

Provides the security categorization of the information system including - supporting rationale;

- - - 5. -

Describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - 6. -

Provides an overview of the security requirements for the system;

- - - 7. -

Identifies any relevant overlays, if applicable;

- - - 8. -

Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and

- - - 9. -

Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - b. -

Distributes copies of the security plan and communicates subsequent changes to the - plan to ;

- - - c. -

Reviews the security plan for the information system ;

- - - d. -

Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and

- - - e. -

Protects the security plan from unauthorized disclosure and modification.

- - - -

Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans.

- AC-2 - AC-6 - AC-14 - AC-17 - AC-20 - CA-2 - CA-3 - CA-7 - CM-9 - CP-2 - IR-8 - MA-4 - MA-5 - MP-2 - MP-4 - MP-5 - PL-7 - PM-1 - PM-7 - PM-8 - PM-9 - PM-11 - SA-5 - SA-17 - - -

Determine if the organization:

- - PL-2(a) -

develops a security plan for the information system that:

- - assessment-objective - EXAMINE - PL-2(a)(1) -

is consistent with the organization’s enterprise architecture;

- - - assessment-objective - EXAMINE - PL-2(a)(2) -

explicitly defines the authorization boundary for the system;

- - - assessment-objective - EXAMINE - PL-2(a)(3) -

describes the operational context of the information system in terms of - missions and business processes;

- - - assessment-objective - EXAMINE - PL-2(a)(4) -

provides the security categorization of the information system including - supporting rationale;

- - - assessment-objective - EXAMINE - PL-2(a)(5) -

describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - assessment-objective - EXAMINE - PL-2(a)(6) -

provides an overview of the security requirements for the system;

- - - assessment-objective - EXAMINE - PL-2(a)(7) -

identifies any relevant overlays, if applicable;

- - - assessment-objective - EXAMINE - PL-2(a)(8) -

describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions;

- - - assessment-objective - INTERVIEW - TEST - PL-2(a)(9) -

is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - PL-2(b) - - assessment-objective - EXAMINE - PL-2(b)[1] -

defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated;

- - - assessment-objective - INTERVIEW - TEST - PL-2(b)[2] -

distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles;

- - - - PL-2(c) - - assessment-objective - EXAMINE - PL-2(c)[1] -

defines the frequency to review the security plan for the information - system;

- - - assessment-objective - EXAMINE - PL-2(c)[2] -

reviews the security plan for the information system with the - organization-defined frequency;

- - - - assessment-objective - INTERVIEW - TEST - PL-2(d) -

updates the plan to address:

- - PL-2(d)[1] -

changes to the information system/environment of operation;

- - - PL-2(d)[2] -

problems identified during plan implementation;

- - - PL-2(d)[3] -

problems identified during security control assessments;

- - - - assessment-objective - INTERVIEW - TEST - PL-2(e) -

protects the security plan from unauthorized:

- - PL-2(e)[1] -

disclosure; and

- - - PL-2(e)[2] -

modification.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing security plan development and implementation

-

procedures addressing security plan reviews and updates

-

enterprise architecture documentation

-

security plan for the information system

-

records of security plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security plan development/review/update/approval

-

automated mechanisms supporting the information system security plan

- - - - - Rules of Behavior - - - At least every 3 years - - PL-4 - pl-04 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage;

- - - b. -

Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - c. -

Reviews and updates the rules of behavior ; and

- - - d. -

Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated.

- - - -

This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior.

- AC-2 - AC-6 - AC-8 - AC-9 - AC-17 - AC-18 - AC-19 - AC-20 - AT-2 - AT-3 - CM-11 - IA-2 - IA-4 - IA-5 - MP-7 - PS-6 - PS-8 - SA-5 - - -

Determine if the organization:

- - PL-4(a) - - assessment-objective - EXAMINE - PL-4(a)[1] -

establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage;

- - - assessment-objective - INTERVIEW - TEST - PL-4(a)[2] -

makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage;

- - - - assessment-objective - TEST - PL-4(b) -

receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - PL-4(c) - - assessment-objective - EXAMINE - PL-4(c)[1] -

defines the frequency to review and update the rules of behavior;

- - - assessment-objective - INTERVIEW - TEST - PL-4(c)[2] -

reviews and updates the rules of behavior with the organization-defined - frequency; and

- - - - assessment-objective - INTERVIEW - TEST - PL-4(d) -

requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

signed acknowledgements

-

records for rules of behavior reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior

-

automated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior

- - - - - - Personnel Security - - Personnel Security Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - PS-1 - ps-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Personnel security policy ; and

- - - 2. -

Personnel security procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PS-1(a) - - PS-1(a)(1) - - assessment-objective - EXAMINE - PS-1(a)(1)[1] -

develops and documents an personnel security policy that addresses:

- - PS-1(a)(1)[1][a] -

purpose;

- - - PS-1(a)(1)[1][b] -

scope;

- - - PS-1(a)(1)[1][c] -

roles;

- - - PS-1(a)(1)[1][d] -

responsibilities;

- - - PS-1(a)(1)[1][e] -

management commitment;

- - - PS-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PS-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PS-1(a)(1)[2] -

defines personnel or roles to whom the personnel security policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-1(a)(1)[3] -

disseminates the personnel security policy to organization-defined personnel - or roles;

- - - - PS-1(a)(2) - - assessment-objective - EXAMINE - PS-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls;

- - - assessment-objective - EXAMINE - PS-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PS-1(b) - - PS-1(b)(1) - - assessment-objective - EXAMINE - PS-1(b)(1)[1] -

defines the frequency to review and update the current personnel security - policy;

- - - assessment-objective - EXAMINE - PS-1(b)(1)[2] -

reviews and updates the current personnel security policy with the - organization-defined frequency;

- - - - PS-1(b)(2) - - assessment-objective - EXAMINE - PS-1(b)(2)[1] -

defines the frequency to review and update the current personnel security - procedures; and

- - - assessment-objective - EXAMINE - PS-1(b)(2)[2] -

reviews and updates the current personnel security procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Position Risk Designation - - - at least every three years - - PS-2 - ps-02 - 5 C.F.R. 731.106 - -

The organization:

- - a. -

Assigns a risk designation to all organizational positions;

- - - b. -

Establishes screening criteria for individuals filling those positions; and

- - - c. -

Reviews and updates position risk designations .

- - - -

Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances).

- AT-3 - PL-2 - PS-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-2(a) -

assigns a risk designation to all organizational positions;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-2(b) -

establishes screening criteria for individuals filling those positions;

- - - PS-2(c) - - assessment-objective - EXAMINE - PS-2(c)[1] -

defines the frequency to review and update position risk designations; and

- - - assessment-objective - INTERVIEW - TEST - PS-2(c)[2] -

reviews and updates position risk designations with the organization-defined - frequency.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing position categorization

-

appropriate codes of federal regulations

-

list of risk designations for organizational positions

-

security plan

-

records of position risk designation reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for assigning, reviewing, and updating position risk - designations

-

organizational processes for establishing screening criteria

- - - - - Personnel Screening - - - For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - - - PS-3 - ps-03 - 5 C.F.R. 731.106 - FIPS Publication 199 - FIPS Publication 201 - NIST Special Publication 800-60 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - ICD 704 - -

The organization:

- - a. -

Screens individuals prior to authorizing access to the information system; and

- - - b. -

Rescreens individuals according to .

- - - -

Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems.

- AC-2 - IA-4 - PE-2 - PS-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - PS-3(a) -

screens individuals prior to authorizing access to the information system;

- - - PS-3(b) - - assessment-objective - EXAMINE - PS-3(b)[1] -

defines conditions requiring re-screening;

- - - assessment-objective - EXAMINE - PS-3(b)[2] -

defines the frequency of re-screening where it is so indicated; and

- - - assessment-objective - INTERVIEW - TEST - PS-3(b)[3] -

re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel screening

- - - - - Personnel Termination - - - same day - - - - - - - - - - - - PS-4 - ps-04 - -

The organization, upon termination of individual employment:

- - a. -

Disables information system access within ;

- - - b. -

Terminates/revokes any authenticators/credentials associated with the - individual;

- - - c. -

Conducts exit interviews that include a discussion of ;

- - - d. -

Retrieves all security-related organizational information system-related - property;

- - - e. -

Retains access to organizational information and information systems formerly - controlled by terminated individual; and

- - - f. -

Notifies within .

- - - -

Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified.

- AC-2 - IA-4 - PE-2 - PS-5 - PS-6 - - -

Determine if the organization, upon termination of individual employment,:

- - PS-4(a) - - assessment-objective - EXAMINE - PS-4(a)[1] -

defines a time period within which to disable information system access;

- - - assessment-objective - INTERVIEW - TEST - PS-4(a)[2] -

disables information system access within the organization-defined time - period;

- - - - assessment-objective - INTERVIEW - TEST - PS-4(b) -

terminates/revokes any authenticators/credentials associated with the - individual;

- - - PS-4(c) - - assessment-objective - EXAMINE - PS-4(c)[1] -

defines information security topics to be discussed when conducting exit - interviews;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-4(c)[2] -

conducts exit interviews that include a discussion of organization-defined - information security topics;

- - - - assessment-objective - EXAMINE - INTERVIEW - PS-4(d) -

retrieves all security-related organizational information system-related - property;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-4(e) -

retains access to organizational information and information systems formerly - controlled by the terminated individual;

- - - PS-4(f) - - assessment-objective - EXAMINE - PS-4(f)[1] -

defines personnel or roles to be notified of the termination;

- - - assessment-objective - EXAMINE - PS-4(f)[2] -

defines the time period within which to notify organization-defined personnel - or roles; and

- - - assessment-objective - INTERVIEW - TEST - PS-4(f)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

records of personnel termination actions

-

list of information system accounts

-

records of terminated or revoked authenticators/credentials

-

records of exit interviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Personnel Transfer - - - - - - - - - - - - five days of the time period following the formal transfer action (DoD 24 hours) - - - PS-5 - ps-05 - -

The organization:

- - a. -

Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization;

- - - b. -

Initiates within ;

- - - c. -

Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and

- - - d. -

Notifies within .

- - - -

This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts.

- AC-2 - IA-4 - PE-2 - PS-4 - - -

Determine if the organization:

- - PS-5(a) -

when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current:

- - assessment-objective - EXAMINE - INTERVIEW - PS-5(a)[1] -

logical access authorizations to information systems;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-5(a)[2] -

physical access authorizations to information systems and facilities;

- - - - PS-5(b) - - assessment-objective - EXAMINE - PS-5(b)[1] -

defines transfer or reassignment actions to be initiated following transfer or - reassignment;

- - - assessment-objective - EXAMINE - PS-5(b)[2] -

defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment;

- - - assessment-objective - INTERVIEW - TEST - PS-5(b)[3] -

initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment;

- - - - assessment-objective - INTERVIEW - TEST - PS-5(c) -

modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer;

- - - PS-5(d) - - assessment-objective - EXAMINE - PS-5(d)[1] -

defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization;

- - - assessment-objective - EXAMINE - PS-5(d)[2] -

defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and

- - - assessment-objective - INTERVIEW - TEST - PS-5(d)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel transfer

-

security plan

-

records of personnel transfer actions

-

list of information system and facility access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel transfer

-

automated mechanisms supporting and/or implementing personnel transfer - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Access Agreements - - - at least annually - - - - at least annually - - - PS-6 - ps-06 - -

The organization:

- - a. -

Develops and documents access agreements for organizational information - systems;

- - - b. -

Reviews and updates the access agreements ; and

- - - c. -

Ensures that individuals requiring access to organizational information and - information systems:

- - 1. -

Sign appropriate access agreements prior to being granted access; and

- - - 2. -

Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or .

- - - - -

Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy.

- PL-4 - PS-2 - PS-3 - PS-4 - PS-8 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-6(a) -

develops and documents access agreements for organizational information - systems;

- - - PS-6(b) - - assessment-objective - EXAMINE - PS-6(b)[1] -

defines the frequency to review and update the access agreements;

- - - assessment-objective - EXAMINE - PS-6(b)[2] -

reviews and updates the access agreements with the organization-defined - frequency;

- - - - PS-6(c) - - assessment-objective - INTERVIEW - TEST - PS-6(c)(1) -

ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access;

- - - PS-6(c)(2) - - assessment-objective - EXAMINE - PS-6(c)(2)[1] -

defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated;

- - - assessment-objective - INTERVIEW - TEST - PS-6(c)(2)[2] -

ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

security plan

-

access agreements

-

records of access agreement reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed/resigned access agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access agreements

-

automated mechanisms supporting access agreements

- - - - - Third-party Personnel Security - - - - - - organization-defined time period - same day - - - PS-7 - ps-07 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Establishes personnel security requirements including security roles and - responsibilities for third-party providers;

- - - b. -

Requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - c. -

Documents personnel security requirements;

- - - d. -

Requires third-party providers to notify of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within ; and

- - - e. -

Monitors provider compliance.

- - - -

Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated.

- PS-2 - PS-3 - PS-4 - PS-5 - PS-6 - SA-9 - SA-21 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-7(a) -

establishes personnel security requirements, including security roles and - responsibilities, for third-party providers;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-7(b) -

requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - assessment-objective - EXAMINE - PS-7(c) -

documents personnel security requirements;

- - - PS-7(d) - - assessment-objective - EXAMINE - PS-7(d)[1] -

defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - assessment-objective - EXAMINE - PS-7(d)[2] -

defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - assessment-objective - EXAMINE - PS-7(d)[3] -

requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and

- - - - assessment-objective - INTERVIEW - TEST - PS-7(e) -

monitors provider compliance.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing third-party personnel security

-

list of personnel security requirements

-

acquisition documents

-

service-level agreements

-

compliance monitoring process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

third-party providers

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing and monitoring third-party personnel - security

-

automated mechanisms supporting and/or implementing monitoring of provider - compliance

- - - - - Personnel Sanctions - - - - - - - PS-8 - ps-08 - -

The organization:

- - a. -

Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and

- - - b. -

Notifies within - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction.

- - - -

Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions.

- PL-4 - PS-6 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-8(a) -

employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures;

- - - PS-8(b) - - assessment-objective - EXAMINE - PS-8(b)[1] -

defines personnel or roles to be notified when a formal employee sanctions - process is initiated;

- - - assessment-objective - EXAMINE - PS-8(b)[2] -

defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and

- - - assessment-objective - INTERVIEW - TEST - PS-8(b)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel sanctions

-

rules of behavior

-

records of formal sanctions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing personnel sanctions

-

automated mechanisms supporting and/or implementing notifications

- - - - - - Risk Assessment - - Risk Assessment Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - RA-1 - ra-01 - NIST Special Publication 800-12 - NIST Special Publication 800-30 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Risk assessment policy ; and

- - - 2. -

Risk assessment procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - RA-1(a) - - RA-1(a)(1) - - assessment-objective - EXAMINE - RA-1(a)(1)[1] -

develops and documents a risk assessment policy that addresses:

- - RA-1(a)(1)[1][a] -

purpose;

- - - RA-1(a)(1)[1][b] -

scope;

- - - RA-1(a)(1)[1][c] -

roles;

- - - RA-1(a)(1)[1][d] -

responsibilities;

- - - RA-1(a)(1)[1][e] -

management commitment;

- - - RA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - RA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - RA-1(a)(1)[2] -

defines personnel or roles to whom the risk assessment policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - RA-1(a)(1)[3] -

disseminates the risk assessment policy to organization-defined personnel or - roles;

- - - - RA-1(a)(2) - - assessment-objective - EXAMINE - RA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls;

- - - assessment-objective - EXAMINE - RA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - RA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - RA-1(b) - - RA-1(b)(1) - - assessment-objective - EXAMINE - RA-1(b)(1)[1] -

defines the frequency to review and update the current risk assessment - policy;

- - - assessment-objective - EXAMINE - RA-1(b)(1)[2] -

reviews and updates the current risk assessment policy with the - organization-defined frequency;

- - - - RA-1(b)(2) - - assessment-objective - EXAMINE - RA-1(b)(2)[1] -

defines the frequency to review and update the current risk assessment - procedures; and

- - - assessment-objective - EXAMINE - RA-1(b)(2)[2] -

reviews and updates the current risk assessment procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

risk assessment policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Categorization - RA-2 - ra-02 - FIPS Publication 199 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - b. -

Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - c. -

Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted.

- CM-8 - MP-4 - RA-3 - SC-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - RA-2(a) -

categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - assessment-objective - EXAMINE - RA-2(b) -

documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - assessment-objective - INTERVIEW - TEST - RA-2(c) -

ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision.

- - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing security categorization of organizational information and - information systems

-

security plan

-

security categorization documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security categorization and risk assessment - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security categorization

- - - - - Risk Assessment - - - - security assessment report - - - - at least every three (3) years or when a significant change occurs - - - - - - - at least every three (3) years or when a significant change occurs - - RA-3 - ra-03 - OMB Memorandum 04-04 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - http://idmanagement.gov - -

The organization:

- - a. -

Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits;

- - - b. -

Documents risk assessment results in ;

- - - c. -

Reviews risk assessment results ;

- - - d. -

Disseminates risk assessment results to ; and

- - - e. -

Updates the risk assessment or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system.

- - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - -

Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation.

- RA-2 - PM-9 - - -

Determine if the organization:

- - RA-3(a) -

conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of:

- - assessment-objective - INTERVIEW - TEST - RA-3(a)[1] -

the information system;

- - - assessment-objective - INTERVIEW - TEST - RA-3(a)[2] -

the information the system processes, stores, or transmits;

- - - - RA-3(b) - - assessment-objective - EXAMINE - RA-3(b)[1] -

defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report);

- - - assessment-objective - EXAMINE - RA-3(b)[2] -

documents risk assessment results in one of the following:

- - RA-3(b)[2][a] -

the security plan;

- - - RA-3(b)[2][b] -

the risk assessment report; or

- - - RA-3(b)[2][c] -

the organization-defined document;

- - - - - RA-3(c) - - assessment-objective - EXAMINE - RA-3(c)[1] -

defines the frequency to review risk assessment results;

- - - assessment-objective - TEST - RA-3(c)[2] -

reviews risk assessment results with the organization-defined frequency;

- - - - RA-3(d) - - assessment-objective - EXAMINE - RA-3(d)[1] -

defines personnel or roles to whom risk assessment results are to be - disseminated;

- - - assessment-objective - INTERVIEW - TEST - RA-3(d)[2] -

disseminates risk assessment results to organization-defined personnel or - roles;

- - - - RA-3(e) - - assessment-objective - EXAMINE - RA-3(e)[1] -

defines the frequency to update the risk assessment;

- - - assessment-objective - INTERVIEW - TEST - RA-3(e)[2] -

updates the risk assessment:

- - RA-3(e)[2][a] -

with the organization-defined frequency;

- - - RA-3(e)[2][b] -

whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and

- - - RA-3(e)[2][c] -

whenever there are other conditions that may impact the security state of - the system.

- - - - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing organizational assessments of risk

-

security plan

-

risk assessment

-

risk assessment results

-

risk assessment reviews

-

risk assessment updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for risk assessment

-

automated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment

- - - - - Vulnerability Scanning - - - monthly operating system/infrastructure; monthly web applications and databases - - - - [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - - - - RA-5 - ra-05 - NIST Special Publication 800-40 - NIST Special Publication 800-70 - NIST Special Publication 800-115 - http://cwe.mitre.org - http://nvd.nist.gov - -

The organization:

- - a. -

Scans for vulnerabilities in the information system and hosted applications - and when new vulnerabilities potentially - affecting the system/applications are identified and reported;

- - - b. -

Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - 1. -

Enumerating platforms, software flaws, and improper configurations;

- - - 2. -

Formatting checklists and test procedures; and

- - - 3. -

Measuring vulnerability impact;

- - - - c. -

Analyzes vulnerability scan reports and results from security control - assessments;

- - - d. -

Remediates legitimate vulnerabilities in - accordance with an organizational assessment of risk; and

- - - e. -

Shares information obtained from the vulnerability scanning process and security - control assessments with to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - -

Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS).

- CA-2 - CA-7 - CM-4 - CM-6 - RA-2 - RA-3 - SA-11 - SI-2 - - -

Determine if the organization:

- - RA-5(a) - - assessment-objective - EXAMINE - RA-5(a)[1] - - RA-5(a)[1][a] -

defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or

- - - RA-5(a)[1][b] -

defines the process for conducting random vulnerability scans on the - information system and hosted applications;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(a)[2] -

in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in:

- - RA-5(a)[2][a] -

the information system;

- - - RA-5(a)[2][b] -

hosted applications;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(a)[3] -

when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in:

- - RA-5(a)[3][a] -

the information system;

- - - RA-5(a)[3][b] -

hosted applications;

- - - - - RA-5(b) -

employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - assessment-objective - INTERVIEW - TEST - RA-5(b)(1) - - RA-5(b)(1)[1] -

enumerating platforms;

- - - RA-5(b)(1)[2] -

enumerating software flaws;

- - - RA-5(b)(1)[3] -

enumerating improper configurations;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(b)(2) - - RA-5(b)(2)[1] -

formatting checklists;

- - - RA-5(b)(2)[2] -

formatting test procedures;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(b)(3) -

measuring vulnerability impact;

- - - - RA-5(c) - - assessment-objective - INTERVIEW - TEST - RA-5(c)[1] -

analyzes vulnerability scan reports;

- - - assessment-objective - INTERVIEW - TEST - RA-5(c)[2] -

analyzes results from security control assessments;

- - - - RA-5(d) - - assessment-objective - EXAMINE - RA-5(d)[1] -

defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk;

- - - assessment-objective - INTERVIEW - TEST - RA-5(d)[2] -

remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk;

- - - - RA-5(e) - - assessment-objective - EXAMINE - RA-5(e)[1] -

defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared;

- - - assessment-objective - INTERVIEW - TEST - RA-5(e)[2] -

shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and

- - - assessment-objective - INTERVIEW - TEST - RA-5(e)[3] -

shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with vulnerability remediation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing

-

automated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing

- - - - - - System and Services Acquisition - - System and Services Acquisition Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - SA-1 - sa-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and services acquisition policy ; and

- - - 2. -

System and services acquisition procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SA-1(a) - - SA-1(a)(1) - - assessment-objective - EXAMINE - SA-1(a)(1)[1] -

develops and documents a system and services acquisition policy that - addresses:

- - SA-1(a)(1)[1][a] -

purpose;

- - - SA-1(a)(1)[1][b] -

scope;

- - - SA-1(a)(1)[1][c] -

roles;

- - - SA-1(a)(1)[1][d] -

responsibilities;

- - - SA-1(a)(1)[1][e] -

management commitment;

- - - SA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SA-1(a)(1)[2] -

defines personnel or roles to whom the system and services acquisition - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-1(a)(1)[3] -

disseminates the system and services acquisition policy to - organization-defined personnel or roles;

- - - - SA-1(a)(2) - - assessment-objective - EXAMINE - SA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls;

- - - assessment-objective - EXAMINE - SA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SA-1(b) - - SA-1(b)(1) - - assessment-objective - EXAMINE - SA-1(b)(1)[1] -

defines the frequency to review and update the current system and services - acquisition policy;

- - - assessment-objective - EXAMINE - SA-1(b)(1)[2] -

reviews and updates the current system and services acquisition policy with - the organization-defined frequency;

- - - - SA-1(b)(2) - - assessment-objective - EXAMINE - SA-1(b)(2)[1] -

defines the frequency to review and update the current system and services - acquisition procedures; and

- - - assessment-objective - EXAMINE - SA-1(b)(2)[2] -

reviews and updates the current system and services acquisition procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and services acquisition policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

- - - - - Allocation of Resources - SA-2 - sa-02 - NIST Special Publication 800-65 - -

The organization:

- - a. -

Determines information security requirements for the information system or - information system service in mission/business process planning;

- - - b. -

Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and

- - - c. -

Establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - -

Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service.

- PM-3 - PM-11 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-2(a) -

determines information security requirements for the information system or - information system service in mission/business process planning;

- - - assessment-objective - INTERVIEW - TEST - SA-2(b) -

to protect the information system or information system service as part of its - capital planning and investment control process:

- - SA-2(b)[1] -

determines the resources required;

- - - SA-2(b)[2] -

documents the resources required;

- - - SA-2(b)[3] -

allocates the resources required; and

- - - - assessment-objective - INTERVIEW - TEST - SA-2(c) -

establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the allocation of resources to information security - requirements

-

procedures addressing capital planning and investment control

-

organizational programming and budgeting documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities

-

organizational personnel responsible for determining information security - requirements for information systems/services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information security requirements

-

organizational processes for capital planning, programming, and budgeting

-

automated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting

- - - - - System Development Life Cycle - - - - SA-3 - sa-03 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - -

The organization:

- - a. -

Manages the information system using that - incorporates information security considerations;

- - - b. -

Defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - c. -

Identifies individuals having information security roles and responsibilities; - and

- - - d. -

Integrates the organizational information security risk management process into - system development life cycle activities.

- - - -

A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies.

- AT-3 - PM-7 - SA-8 - - -

Determine if the organization:

- - SA-3(a) - - assessment-objective - EXAMINE - SA-3(a)[1] -

defines a system development life cycle that incorporates information security - considerations to be used to manage the information system;

- - - assessment-objective - INTERVIEW - TEST - SA-3(a)[2] -

manages the information system using the organization-defined system - development life cycle;

- - - - assessment-objective - EXAMINE - SA-3(b) -

defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - assessment-objective - EXAMINE - SA-3(c) -

identifies individuals having information security roles and responsibilities; - and

- - - assessment-objective - INTERVIEW - TEST - SA-3(d) -

integrates the organizational information security risk management process into - system development life cycle activities.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security into the system - development life cycle process

-

information system development life cycle documentation

-

information security risk management strategy/program documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security and system life cycle - development responsibilities

-

organizational personnel with information security risk management - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining and documenting the SDLC

-

organizational processes for identifying SDLC roles and responsibilities

-

organizational process for integrating information security risk management into - the SDLC

-

automated mechanisms supporting and/or implementing the SDLC

- - - - - Acquisition Process - SA-4 - sa-04 - HSPD-12 - ISO/IEC 15408 - FIPS Publication 140-2 - FIPS Publication 201 - NIST Special Publication 800-23 - NIST Special Publication 800-35 - NIST Special Publication 800-36 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - NIST Special Publication 800-70 - NIST Special Publication 800-137 - Federal Acquisition Regulation - http://www.niap-ccevs.org - http://fips201ep.cio.gov - http://www.acquisition.gov/far - -

The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs:

- - a. -

Security functional requirements;

- - - b. -

Security strength requirements;

- - - c. -

Security assurance requirements;

- - - d. -

Security-related documentation requirements;

- - - e. -

Requirements for protecting security-related documentation;

- - - f. -

Description of the information system development environment and environment in - which the system is intended to operate; and

- - - g. -

Acceptance criteria.

- - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA.

- CM-6 - PL-2 - PS-7 - SA-3 - SA-5 - SA-8 - SA-11 - SA-12 - - -

Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs:

- - SA-4(a) -

security functional requirements;

- - - SA-4(b) -

security strength requirements;

- - - SA-4(c) -

security assurance requirements;

- - - SA-4(d) -

security-related documentation requirements;

- - - SA-4(e) -

requirements for protecting security-related documentation;

- - - SA-4(f) -

description of:

- - SA-4(f)[1] -

the information system development environment;

- - - SA-4(f)[2] -

the environment in which the system is intended to operate; and

- - - - SA-4(g) -

acceptance criteria.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

acquisition contracts for the information system, system component, or information - system service

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security functional, - strength, and assurance requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts

- - - - - Information System Documentation - - - - - - - SA-5 - sa-05 - -

The organization:

- - a. -

Obtains administrator documentation for the information system, system component, - or information system service that describes:

- - 1. -

Secure configuration, installation, and operation of the system, component, or - service;

- - - 2. -

Effective use and maintenance of security functions/mechanisms; and

- - - 3. -

Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - b. -

Obtains user documentation for the information system, system component, or - information system service that describes:

- - 1. -

User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms;

- - - 2. -

Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and

- - - 3. -

User responsibilities in maintaining the security of the system, component, or - service;

- - - - c. -

Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes in response;

- - - d. -

Protects documentation as required, in accordance with the risk management - strategy; and

- - - e. -

Distributes documentation to .

- - - -

This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation.

- CM-6 - CM-8 - PL-2 - PL-4 - PS-2 - SA-3 - SA-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-5(a) -

obtains administrator documentation for the information system, system component, - or information system service that describes:

- - SA-5(a)(1) - - SA-5(a)(1)[1] -

secure configuration of the system, system component, or service;

- - - SA-5(a)(1)[2] -

secure installation of the system, system component, or service;

- - - SA-5(a)(1)[3] -

secure operation of the system, system component, or service;

- - - - SA-5(a)(2) - - SA-5(a)(2)[1] -

effective use of the security features/mechanisms;

- - - SA-5(a)(2)[2] -

effective maintenance of the security features/mechanisms;

- - - - SA-5(a)(3) -

known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - assessment-objective - EXAMINE - SA-5(b) -

obtains user documentation for the information system, system component, or - information system service that describes:

- - SA-5(b)(1) - - SA-5(b)(1)[1] -

user-accessible security functions/mechanisms;

- - - SA-5(b)(1)[2] -

how to effectively use those functions/mechanisms;

- - - - SA-5(b)(2) -

methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner;

- - - SA-5(b)(3) -

user responsibilities in maintaining the security of the system, component, or - service;

- - - - SA-5(c) - - assessment-objective - EXAMINE - SA-5(c)[1] -

defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent;

- - - assessment-objective - INTERVIEW - TEST - SA-5(c)[2] -

documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent;

- - - assessment-objective - INTERVIEW - TEST - SA-5(c)[3] -

takes organization-defined actions in response;

- - - - assessment-objective - INTERVIEW - TEST - SA-5(d) -

protects documentation as required, in accordance with the risk management - strategy;

- - - SA-5(e) - - assessment-objective - EXAMINE - SA-5(e)[1] -

defines personnel or roles to whom documentation is to be distributed; and

- - - assessment-objective - INTERVIEW - TEST - SA-5(e)[2] -

distributes documentation to organization-defined personnel or roles.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing information system documentation

-

information system documentation including administrator and user guides

-

records documenting attempts to obtain unavailable or nonexistent information - system documentation

-

list of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation

-

risk management strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation

- - - - - External Information System Services - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - SA-9 - sa-09 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Requires that providers of external information system services comply with - organizational information security requirements and employ in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance;

- - - b. -

Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and

- - - c. -

Employs to monitor security control compliance by - external service providers on an ongoing basis.

- - - SA-9 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide https://www.FedRAMP.gov/documents -

- - - Guidance: -

Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance

- - - - -

External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance.

- CA-3 - IR-7 - PS-7 - - -

Determine if the organization:

- - SA-9(a) - - assessment-objective - EXAMINE - SA-9(a)[1] -

defines security controls to be employed by providers of external information - system services;

- - - assessment-objective - EXAMINE - SA-9(a)[2] -

requires that providers of external information system services comply with - organizational information security requirements;

- - - assessment-objective - EXAMINE - SA-9(a)[3] -

requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - - SA-9(b) - - assessment-objective - EXAMINE - SA-9(b)[1] -

defines and documents government oversight with regard to external information - system services;

- - - assessment-objective - EXAMINE - SA-9(b)[2] -

defines and documents user roles and responsibilities with regard to external - information system services;

- - - - SA-9(c) - - assessment-objective - EXAMINE - SA-9(c)[1] -

defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(c)[2] -

employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

procedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services

-

acquisition contracts, service-level agreements

-

organizational security requirements and security specifications for external - provider services

-

security control assessment evidence from external providers of information system - services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis

-

automated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis

- - - - - - System and Communications Protection - - System and Communications Protection Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - SC-1 - sc-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and communications protection policy ; - and

- - - 2. -

System and communications protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SC-1(a) - - SC-1(a)(1) - - assessment-objective - EXAMINE - SC-1(a)(1)[1] -

develops and documents a system and communications protection policy that - addresses:

- - SC-1(a)(1)[1][a] -

purpose;

- - - SC-1(a)(1)[1][b] -

scope;

- - - SC-1(a)(1)[1][c] -

roles;

- - - SC-1(a)(1)[1][d] -

responsibilities;

- - - SC-1(a)(1)[1][e] -

management commitment;

- - - SC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SC-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SC-1(a)(1)[2] -

defines personnel or roles to whom the system and communications protection - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SC-1(a)(1)[3] -

disseminates the system and communications protection policy to - organization-defined personnel or roles;

- - - - SC-1(a)(2) - - assessment-objective - EXAMINE - SC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls;

- - - assessment-objective - EXAMINE - SC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SC-1(b) - - SC-1(b)(1) - - assessment-objective - EXAMINE - SC-1(b)(1)[1] -

defines the frequency to review and update the current system and - communications protection policy;

- - - assessment-objective - EXAMINE - SC-1(b)(1)[2] -

reviews and updates the current system and communications protection policy - with the organization-defined frequency;

- - - - SC-1(b)(2) - - assessment-objective - EXAMINE - SC-1(b)(2)[1] -

defines the frequency to review and update the current system and - communications protection procedures; and

- - - assessment-objective - EXAMINE - SC-1(b)(2)[2] -

reviews and updates the current system and communications protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

System and communications protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and communications protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Denial of Service Protection - - - - - - - SC-5 - sc-05 - -

The information system protects against or limits the effects of the following types - of denial of service attacks: by employing .

- - -

A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks.

- SC-6 - SC-7 - - -

Determine if:

- - SC-5[1] -

the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects;

- - - SC-5[2] -

the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and

- - - SC-5[3] -

the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

security plan

-

list of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks

-

list of security safeguards protecting against or limiting the effects of denial - of service attacks

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms protecting against or limiting the effects of denial of - service attacks

- - - - - Boundary Protection - - SC-7 - sc-07 - FIPS Publication 199 - NIST Special Publication 800-41 - NIST Special Publication 800-77 - -

The information system:

- - a. -

Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system;

- - - b. -

Implements subnetworks for publicly accessible system components that are separated from internal organizational networks; - and

- - - c. -

Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - -

Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions.

- AC-4 - AC-17 - CA-3 - CM-7 - CP-8 - IR-4 - RA-3 - SC-5 - SC-13 - - -

Determine if the information system:

- - SC-7(a) - - assessment-objective - INTERVIEW - TEST - SC-7(a)[1] -

monitors communications at the external boundary of the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[2] -

monitors communications at key internal boundaries within the system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[3] -

controls communications at the external boundary of the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[4] -

controls communications at key internal boundaries within the system;

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(b) -

implements subnetworks for publicly accessible system components that are - either:

- - SC-7(b)[1] -

physically separated from internal organizational networks; and/or

- - - SC-7(b)[2] -

logically separated from internal organizational networks; and

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(c) -

connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

list of key internal boundaries of the information system

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

enterprise security architecture documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

- - - - - Cryptographic Key Establishment and Management - - - - SC-12 - sc-12 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - -

The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with .

- - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - -

Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems.

- SC-13 - SC-17 - - -

Determine if the organization:

- - SC-12[1] -

defines requirements for cryptographic key:

- - SC-12[1][a] -

generation;

- - - SC-12[1][b] -

distribution;

- - - SC-12[1][c] -

storage;

- - - SC-12[1][d] -

access;

- - - SC-12[1][e] -

destruction; and

- - - - SC-12[2] -

establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

cryptographic mechanisms

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key establishment - and/or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - - Cryptographic Protection - - - FIPS-validated or NSA-approved cryptography - - - SC-13 - sc-13 - FIPS Publication 140 - http://csrc.nist.gov/cryptval - http://www.cnss.gov - -

The information system implements in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards.

- - -

Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography).

- AC-2 - AC-3 - AC-7 - AC-17 - AC-18 - AU-9 - AU-10 - CM-11 - CP-9 - IA-3 - IA-7 - MA-4 - MP-2 - MP-4 - MP-5 - SA-4 - SC-8 - SC-12 - SC-28 - SI-7 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-13[1] -

the organization defines cryptographic uses; and

- - - assessment-objective - EXAMINE - SC-13[2] -

the organization defines the type of cryptography required for each use; and

- - - assessment-objective - INTERVIEW - TEST - SC-13[3] -

the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic module validation certificates

-

list of FIPS validated cryptographic modules

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic protection

- - - - - Collaborative Computing Devices - - - no exceptions - - SC-15 - sc-15 - -

The information system:

- - a. -

Prohibits remote activation of collaborative computing devices with the following - exceptions: ; and

- - - b. -

Provides an explicit indication of use to users physically present at the - devices.

- - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated.

- AC-21 - - -

Determine if:

- - SC-15(a) - - assessment-objective - EXAMINE - SC-15(a)[1] -

the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed;

- - - assessment-objective - INTERVIEW - TEST - SC-15(a)[2] -

the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and

- - - - assessment-objective - INTERVIEW - TEST - SC-15(b) -

the information system provides an explicit indication of use to users physically - present at the devices.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices

-

automated mechanisms providing an indication of use of collaborative computing - devices

- - - - - Secure Name / Address Resolution Service (authoritative Source) - SC-20 - sc-20 - OMB Memorandum 08-23 - NIST Special Publication 800-81 - -

The information system:

- - a. -

Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and

- - - b. -

Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace.

- - - -

This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data.

- AU-10 - SC-8 - SC-12 - SC-13 - SC-21 - SC-22 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-20(a) -

provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries;

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-20(b) -

provides the means to, when operating as part of a distributed, hierarchical - namespace:

- - SC-20(b)[1] -

indicate the security status of child zones; and

- - - SC-20(b)[2] -

enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services).

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (authoritative - source)

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure name/address resolution - service

- - - - - Secure Name / Address Resolution Service (recursive or Caching Resolver) - SC-21 - sc-21 - NIST Special Publication 800-81 - -

The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources.

- - -

Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data.

- SC-20 - SC-22 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - SC-21[1] -

requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources;

- - - assessment-objective - EXAMINE - SC-21[2] -

requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources;

- - - assessment-objective - INTERVIEW - TEST - SC-21[3] -

performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and

- - - assessment-objective - INTERVIEW - TEST - SC-21[4] -

performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (recursive or caching - resolver)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services

- - - - - Architecture and Provisioning for Name / Address Resolution Service - SC-22 - sc-22 - NIST Special Publication 800-81 - -

The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation.

- - -

Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists).

- SC-2 - SC-20 - SC-21 - SC-24 - - -

Determine if the information systems that collectively provide name/address - resolution service for an organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-22[1] -

are fault tolerant; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-22[2] -

implement internal/external role separation.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing architecture and provisioning for name/address resolution - service

-

access control policy and procedures

-

information system design documentation

-

assessment results from independent, testing organizations

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation

- - - - - Process Isolation - SC-39 - sc-39 - -

The information system maintains a separate execution domain for each executing - process.

- - -

Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies.

- AC-3 - AC-4 - AC-6 - SA-4 - SA-5 - SA-8 - SC-2 - SC-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system maintains a separate execution domain for each - executing process.

- - - EXAMINE - -

Information system design documentation

-

information system architecture

-

independent verification and validation documentation

-

testing and evaluation documentation, other relevant documents or records

- - - - INTERVIEW - -

Information system developers/integrators

-

information system security architect

- - - - TEST - -

Automated mechanisms supporting and/or implementing separate execution domains for - each executing process

- - - - - - System and Information Integrity - - System and Information Integrity Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - SI-1 - si-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and information integrity policy ; - and

- - - 2. -

System and information integrity procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SI-1(a) - - SI-1(a)(1) - - assessment-objective - EXAMINE - SI-1(a)(1)[1] -

develops and documents a system and information integrity policy that - addresses:

- - SI-1(a)(1)[1][a] -

purpose;

- - - SI-1(a)(1)[1][b] -

scope;

- - - SI-1(a)(1)[1][c] -

roles;

- - - SI-1(a)(1)[1][d] -

responsibilities;

- - - SI-1(a)(1)[1][e] -

management commitment;

- - - SI-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SI-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SI-1(a)(1)[2] -

defines personnel or roles to whom the system and information integrity - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-1(a)(1)[3] -

disseminates the system and information integrity policy to - organization-defined personnel or roles;

- - - - SI-1(a)(2) - - assessment-objective - EXAMINE - SI-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls;

- - - assessment-objective - EXAMINE - SI-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SI-1(b) - - SI-1(b)(1) - - assessment-objective - EXAMINE - SI-1(b)(1)[1] -

defines the frequency to review and update the current system and - information integrity policy;

- - - assessment-objective - EXAMINE - SI-1(b)(1)[2] -

reviews and updates the current system and information integrity policy with - the organization-defined frequency;

- - - - SI-1(b)(2) - - assessment-objective - EXAMINE - SI-1(b)(2)[1] -

defines the frequency to review and update the current system and - information integrity procedures; and

- - - assessment-objective - EXAMINE - SI-1(b)(2)[2] -

reviews and updates the current system and information integrity procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and information integrity policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and information integrity - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Flaw Remediation - - - within 30 days of release of updates - - - SI-2 - si-02 - NIST Special Publication 800-40 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Identifies, reports, and corrects information system flaws;

- - - b. -

Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation;

- - - c. -

Installs security-relevant software and firmware updates within of the release of the updates; and

- - - d. -

Incorporates flaw remediation into the organizational configuration management - process.

- - - -

Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures.

- CA-2 - CA-7 - CM-3 - CM-5 - CM-8 - MA-2 - IR-4 - RA-5 - SA-10 - SA-11 - SI-11 - - -

Determine if the organization:

- - SI-2(a) - - assessment-objective - INTERVIEW - TEST - SI-2(a)[1] -

identifies information system flaws;

- - - assessment-objective - INTERVIEW - TEST - SI-2(a)[2] -

reports information system flaws;

- - - assessment-objective - INTERVIEW - TEST - SI-2(a)[3] -

corrects information system flaws;

- - - - SI-2(b) - - assessment-objective - INTERVIEW - TEST - SI-2(b)[1] -

tests software updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - assessment-objective - INTERVIEW - TEST - SI-2(b)[2] -

tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - - SI-2(c) - - assessment-objective - EXAMINE - SI-2(c)[1] -

defines the time period within which to install security-relevant software - updates after the release of the updates;

- - - assessment-objective - EXAMINE - SI-2(c)[2] -

defines the time period within which to install security-relevant firmware - updates after the release of the updates;

- - - assessment-objective - INTERVIEW - TEST - SI-2(c)[3] -

installs software updates within the organization-defined time period of the - release of the updates;

- - - assessment-objective - INTERVIEW - TEST - SI-2(c)[4] -

installs firmware updates within the organization-defined time period of the - release of the updates; and

- - - - assessment-objective - INTERVIEW - TEST - SI-2(d) -

incorporates flaw remediation into the organizational configuration management - process.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

procedures addressing configuration management

-

list of flaws and vulnerabilities potentially affecting the information system

-

list of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)

-

test results from the installation of software and firmware updates to correct - information system flaws

-

installation/change control records for security-relevant software and firmware - updates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

organizational process for installing software and firmware updates

-

automated mechanisms supporting and/or implementing reporting, and correcting - information system flaws

-

automated mechanisms supporting and/or implementing testing software and firmware - updates

- - - - - Malicious Code Protection - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - - - - SI-3 - si-03 - NIST Special Publication 800-83 - -

The organization:

- - a. -

Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code;

- - - b. -

Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures;

- - - c. -

Configures malicious code protection mechanisms to:

- - 1. -

Perform periodic scans of the information system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in - accordance with organizational security policy; and

- - - 2. -

- in response to malicious code detection; - and

- - - - d. -

Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files.

- CM-3 - MP-2 - SA-4 - SA-8 - SA-12 - SA-13 - SC-7 - SC-26 - SC-44 - SI-2 - SI-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SI-3(a) -

employs malicious code protection mechanisms to detect and eradicate malicious - code at information system:

- - SI-3(a)[1] -

entry points;

- - - SI-3(a)[2] -

exit points;

- - - - assessment-objective - INTERVIEW - TEST - SI-3(b) -

updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1);

- - - SI-3(c) - - assessment-objective - EXAMINE - SI-3(c)[1] -

defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system;

- - - assessment-objective - EXAMINE - SI-3(c)[2] -

defines action to be initiated by malicious protection mechanisms in response - to malicious code detection;

- - - assessment-objective - INTERVIEW - TEST - SI-3(c)[3] - - SI-3(c)[3](1) -

configures malicious code protection mechanisms to:

- - SI-3(c)[3](1)[a] -

perform periodic scans of the information system with the - organization-defined frequency;

- - - SI-3(c)[3](1)[b] -

perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy;

- - - - assessment-objective - INTERVIEW - TEST - SI-3(c)[3](2) -

configures malicious code protection mechanisms to do one or more of the - following:

- - SI-3(c)[3](2)[a] -

block malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[b] -

quarantine malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[c] -

send alert to administrator in response to malicious code detection; - and/or

- - - SI-3(c)[3](2)[d] -

initiate organization-defined action in response to malicious code - detection;

- - - - - - SI-3(d) - - assessment-objective - INTERVIEW - TEST - SI-3(d)[1] -

addresses the receipt of false positives during malicious code detection and - eradication; and

- - - assessment-objective - INTERVIEW - TEST - SI-3(d)[2] -

addresses the resulting potential impact on the availability of the information - system.

- - - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures

-

procedures addressing malicious code protection

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

scan results from malicious code protection mechanisms

-

record of actions initiated by malicious code protection mechanisms in response to - malicious code detection

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for employing, updating, and configuring malicious code - protection mechanisms

-

organizational process for addressing false positives and resulting potential - impact

-

automated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms

-

automated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions

- - - - - Information System Monitoring - - - - - - - - - - - - - - - - - - SI-4 - si-04 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-92 - NIST Special Publication 800-94 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Monitors the information system to detect:

- - 1. -

Attacks and indicators of potential attacks in accordance with ; and

- - - 2. -

Unauthorized local, network, and remote connections;

- - - - b. -

Identifies unauthorized use of the information system through ;

- - - c. -

Deploys monitoring devices:

- - 1. -

Strategically within the information system to collect organization-determined - essential information; and

- - - 2. -

At ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - d. -

Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion;

- - - e. -

Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - f. -

Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and

- - - g. -

Provides to - .

- - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - -

Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless.

- AC-3 - AC-4 - AC-8 - AC-17 - AU-2 - AU-6 - AU-7 - AU-9 - AU-12 - CA-7 - IR-4 - PE-3 - RA-5 - SC-7 - SC-26 - SC-35 - SI-3 - SI-7 - - -

Determine if the organization:

- - SI-4(a) - - SI-4(a)(1) - - assessment-objective - EXAMINE - SI-4(a)(1)[1] -

defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system;

- - - assessment-objective - INTERVIEW - TEST - SI-4(a)(1)[2] -

monitors the information system to detect, in accordance with - organization-defined monitoring objectives,:

- - SI-4(a)(1)[2][a] -

attacks;

- - - SI-4(a)(1)[2][b] -

indicators of potential attacks;

- - - - - assessment-objective - INTERVIEW - TEST - SI-4(a)(2) -

monitors the information system to detect unauthorized:

- - SI-4(a)(2)[1] -

local connections;

- - - SI-4(a)(2)[2] -

network connections;

- - - SI-4(a)(2)[3] -

remote connections;

- - - - - SI-4(b) - - assessment-objective - EXAMINE - SI-4(b)(1) -

defines techniques and methods to identify unauthorized use of the information - system;

- - - assessment-objective - INTERVIEW - TEST - SI-4(b)(2) -

identifies unauthorized use of the information system through - organization-defined techniques and methods;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(c) -

deploys monitoring devices:

- - SI-4(c)[1] -

strategically within the information system to collect organization-determined - essential information;

- - - SI-4(c)[2] -

at ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(d) -

protects information obtained from intrusion-monitoring tools from - unauthorized:

- - SI-4(d)[1] -

access;

- - - SI-4(d)[2] -

modification;

- - - SI-4(d)[3] -

deletion;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(e) -

heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-4(f) -

obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations;

- - - SI-4(g) - - assessment-objective - EXAMINE - SI-4(g)[1] -

defines personnel or roles to whom information system monitoring information is - to be provided;

- - - assessment-objective - EXAMINE - SI-4(g)[2] -

defines information system monitoring information to be provided to - organization-defined personnel or roles;

- - - assessment-objective - EXAMINE - SI-4(g)[3] -

defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles;

- - - assessment-objective - INTERVIEW - TEST - SI-4(g)[4] -

provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following:

- - SI-4(g)[4][a] -

as needed; and/or

- - - SI-4(g)[4][b] -

with the organization-defined frequency.

- - - - - - EXAMINE - -

Continuous monitoring strategy

-

system and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

facility diagram/layout

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

locations within information system where monitoring devices are deployed

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility monitoring the information system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system monitoring - capability

- - - - - Security Alerts, Advisories, and Directives - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - - - - - - - - - SI-5 - si-05 - NIST Special Publication 800-40 - -

The organization:

- - a. -

Receives information system security alerts, advisories, and directives from - on an ongoing basis;

- - - b. -

Generates internal security alerts, advisories, and directives as deemed - necessary;

- - - c. -

Disseminates security alerts, advisories, and directives to: ; and

- - - d. -

Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance.

- - - -

The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations.

- SI-2 - - -

Determine if the organization:

- - SI-5(a) - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-5(a)[1] -

defines external organizations from whom information system security alerts, - advisories and directives are to be received;

- - - assessment-objective - INTERVIEW - TEST - SI-5(a)[2] -

receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis;

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-5(b) -

generates internal security alerts, advisories, and directives as deemed - necessary;

- - - SI-5(c) - - assessment-objective - EXAMINE - SI-5(c)[1] -

defines personnel or roles to whom security alerts, advisories, and directives - are to be provided;

- - - assessment-objective - EXAMINE - SI-5(c)[2] -

defines elements within the organization to whom security alerts, advisories, - and directives are to be provided;

- - - assessment-objective - EXAMINE - SI-5(c)[3] -

defines external organizations to whom security alerts, advisories, and - directives are to be provided;

- - - assessment-objective - INTERVIEW - TEST - SI-5(c)[4] -

disseminates security alerts, advisories, and directives to one or more of the - following:

- - SI-5(c)[4][a] -

organization-defined personnel or roles;

- - - SI-5(c)[4][b] -

organization-defined elements within the organization; and/or

- - - SI-5(c)[4][c] -

organization-defined external organizations; and

- - - - - assessment-objective - INTERVIEW - TEST - SI-5(d) - - SI-5(d)[1] -

implements security directives in accordance with established time frames; - or

- - - SI-5(d)[2] -

notifies the issuing organization of the degree of noncompliance.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

records of security alerts and advisories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing security directives

- - - - - Information Handling and Retention - SI-12 - si-12 - -

The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements.

- - -

Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention.

- AC-16 - AU-5 - AU-11 - MP-2 - MP-4 - - -

Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-12[1] -

handles information within the information system;

- - - SI-12[2] -

handles output from the information system;

- - - SI-12[3] -

retains information within the information system; and

- - - SI-12[4] -

retains output from the information system.

- - - - EXAMINE - -

System and information integrity policy

-

federal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention

-

media protection policy and procedures

-

procedures addressing information system output handling and retention

-

information retention records, other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information handling and - retention

-

organizational personnel with information security responsibilities/network - administrators

- - - - TEST - -

Organizational processes for information handling and retention

-

automated mechanisms supporting and/or implementing information handling and - retention

- - - - - Memory Protection - - - - SI-16 - si-16 - -

The information system implements to protect its - memory from unauthorized code execution.

- - -

Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism.

- AC-25 - SC-3 - - -

Determine if:

- - SI-16[1] -

the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and

- - - SI-16[2] -

the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing memory protection for the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security safeguards protecting information system memory from unauthorized - code execution

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for memory protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution

- - - - - - - 5 C.F.R. 731.106 - - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - - - - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - - - CNSS Policy 15 - - CNSS Policy 15 - - - - - DoD Information Assurance Vulnerability Alerts - - DoD Information Assurance Vulnerability Alerts - - - - DoD Instruction 5200.39 - - DoD Instruction 5200.39 - - - - - DoD Instruction 8551.01 - - DoD Instruction 8551.01 - - - - - Executive Order 13587 - - Executive Order 13587 - - - - - Federal Acquisition Regulation - - Federal Acquisition Regulation - - - - - Federal Continuity Directive 1 - - Federal Continuity Directive 1 - - - - - FICAM Roadmap and Implementation Guidance - - FICAM Roadmap and Implementation Guidance - - - - - FIPS Publication 140 - - FIPS Publication 140 - - - - - FIPS Publication 140-2 - - FIPS Publication 140-2 - - - - - FIPS Publication 197 - - FIPS Publication 197 - - - - - FIPS Publication 199 - - FIPS Publication 199 - - - - - FIPS Publication 201 - - FIPS Publication 201 - - - - - HSPD-12 - - HSPD-12 - - - - - http://checklists.nist.gov - - http://checklists.nist.gov - - - - - http://csrc.nist.gov/cryptval - - http://csrc.nist.gov/cryptval - - - - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - - - - http://cwe.mitre.org - - http://cwe.mitre.org - - - - - http://fips201ep.cio.gov - - http://fips201ep.cio.gov - - - - - http://idmanagement.gov - - http://idmanagement.gov - - - - - http://nvd.nist.gov - - http://nvd.nist.gov - - - - - http://www.acquisition.gov/far - - http://www.acquisition.gov/far - - - - - http://www.cnss.gov - - http://www.cnss.gov - - - - - http://www.niap-ccevs.org - - http://www.niap-ccevs.org - - - - - http://www.nsa.gov - - http://www.nsa.gov - - - - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - - - - http://www.us-cert.gov - - http://www.us-cert.gov - - - - - ICD 704 - - ICD 704 - - - - - ICD 705 - - ICD 705 - - - - - ISO/IEC 15408 - - ISO/IEC 15408 - - - - - National Strategy for Trusted Identities in Cyberspace - - National Strategy for Trusted Identities in Cyberspace - - - - - NIST Special Publication 800-100 - 10.6028/NIST.SP.800-100 - - NIST Special Publication 800-100 - - - - - NIST Special Publication 800-111 - 10.6028/NIST.SP.800-111 - - NIST Special Publication 800-111 - - - - - NIST Special Publication 800-113 - 10.6028/NIST.SP.800-113 - - NIST Special Publication 800-113 - - - - - NIST Special Publication 800-114 Rev. 1 - 10.6028/NIST.SP.800-114r1 - - NIST Special Publication 800-114 Rev. 1 - - - - - NIST Special Publication 800-115 - 10.6028/NIST.SP.800-115 - - NIST Special Publication 800-115 - - - - - NIST Special Publication 800-116 Rev. 1 - 10.6028/NIST.SP.800-116r1 - - NIST Special Publication 800-116 Rev. 1 - - - - - NIST Special Publication 800-12 Rev. 1 - 10.6028/NIST.SP.800-12r1 - - NIST Special Publication 800-12 Rev. 1 - - - - - NIST Special Publication 800-121 - - NIST Special Publication 800-121 - - - - - NIST Special Publication 800-124 - - NIST Special Publication 800-124 - - - - - NIST Special Publication 800-128 - - NIST Special Publication 800-128 - - - - - NIST Special Publication 800-137 - - NIST Special Publication 800-137 - - - - - NIST Special Publication 800-16 - - NIST Special Publication 800-16 - - - - - NIST Special Publication 800-164 - - NIST Special Publication 800-164 - - - - - NIST Special Publication 800-18 - - NIST Special Publication 800-18 - - - - - NIST Special Publication 800-23 - - NIST Special Publication 800-23 - - - - - NIST Special Publication 800-30 - - NIST Special Publication 800-30 - - - - - NIST Special Publication 800-34 - - NIST Special Publication 800-34 - - - - - NIST Special Publication 800-35 - - NIST Special Publication 800-35 - - - - - NIST Special Publication 800-36 - - NIST Special Publication 800-36 - - - - - NIST Special Publication 800-37 - - NIST Special Publication 800-37 - - - - - NIST Special Publication 800-39 - - NIST Special Publication 800-39 - - - - - NIST Special Publication 800-40 - - NIST Special Publication 800-40 - - - - - NIST Special Publication 800-41 - - NIST Special Publication 800-41 - - - - - NIST Special Publication 800-46 - - NIST Special Publication 800-46 - - - - - NIST Special Publication 800-47 - - NIST Special Publication 800-47 - - - - - NIST Special Publication 800-48 - - NIST Special Publication 800-48 - - - - - NIST Special Publication 800-50 - - NIST Special Publication 800-50 - - - - - NIST Special Publication 800-53A - - NIST Special Publication 800-53A - - - - - NIST Special Publication 800-56 - - NIST Special Publication 800-56 - - - - - NIST Special Publication 800-57 - - NIST Special Publication 800-57 - - - - - NIST Special Publication 800-60 - - NIST Special Publication 800-60 - - - - - NIST Special Publication 800-61 - - NIST Special Publication 800-61 - - - - - NIST Special Publication 800-63 - - NIST Special Publication 800-63 - - - - - NIST Special Publication 800-64 - - NIST Special Publication 800-64 - - - - - NIST Special Publication 800-65 - - NIST Special Publication 800-65 - - - - - NIST Special Publication 800-70 - - NIST Special Publication 800-70 - - - - - NIST Special Publication 800-73 - - NIST Special Publication 800-73 - - - - - NIST Special Publication 800-76 - - NIST Special Publication 800-76 - - - - - NIST Special Publication 800-77 - - NIST Special Publication 800-77 - - - - - NIST Special Publication 800-78 - - NIST Special Publication 800-78 - - - - - NIST Special Publication 800-81 - - NIST Special Publication 800-81 - - - - - NIST Special Publication 800-83 - - NIST Special Publication 800-83 - - - - - NIST Special Publication 800-84 - - NIST Special Publication 800-84 - - - - - NIST Special Publication 800-88 - - NIST Special Publication 800-88 - - - - - NIST Special Publication 800-92 - - NIST Special Publication 800-92 - - - - - NIST Special Publication 800-94 - - NIST Special Publication 800-94 - - - - - NIST Special Publication 800-97 - - NIST Special Publication 800-97 - - - - - OMB Circular A-130 - - OMB Circular A-130 - - - - - OMB Memorandum 02-01 - - OMB Memorandum 02-01 - - - - - OMB Memorandum 04-04 - - OMB Memorandum 04-04 - - - - - OMB Memorandum 06-16 - - OMB Memorandum 06-16 - - - - - OMB Memorandum 07-11 - - OMB Memorandum 07-11 - - - - - OMB Memorandum 07-18 - - OMB Memorandum 07-18 - - - - - OMB Memorandum 08-22 - - OMB Memorandum 08-22 - - - - - OMB Memorandum 08-23 - - OMB Memorandum 08-23 - - - - - OMB Memorandum 10-06-2011 - - OMB Memorandum 10-06-2011 - - - - OMB Memorandum 11-11 - - OMB Memorandum 11-11 - - - - - OMB Memorandum 11-33 - - OMB Memorandum 11-33 - - - - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - - - US-CERT Technical Cyber Security Alerts - - US-CERT Technical Cyber Security Alerts - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_LOW-baseline_profile.xml b/content/fedramp.gov/xml/FedRAMP_LOW-baseline_profile.xml deleted file mode 100644 index 8e29d4ae72..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_LOW-baseline_profile.xml +++ /dev/null @@ -1,4623 +0,0 @@ - - - - - FedRAMP Low Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - at least every 3 years - - - at least annually - - - at least annually - - - not more than three (3) - - - fifteen (15) minutes - - - thirty (30) minutes - - - see additional Requirements and Guidance - - - see additional Requirements and Guidance - - - at least quarterly - - - at least every 3 years - - - at least annually - - - at least annually - - - at least annually - - - At least one year - - - at least every 3 years - - - at least annually - - - Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - - - organization-defined actions to be taken (overwrite oldest record) - - - at least weekly - - - at least ninety days - - - all information system and network components where audit capability is deployed/available - - - at least every 3 years - - - at least annually - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - at least annually and on input from FedRAMP - - - at least monthly - - - at least every three years or when a significant change occurs - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - at least every 3 years - - - at least annually - - - United States Government Configuration Baseline (USGCB) - - - United States Government Configuration Baseline (USGCB) - - - at least monthly - - - Continuously (via CM-7 (5)) - - - at least every 3 years - - - at least annually - - - at least annually - - - ten (10) days - - - at least annually - - - at least every three years - - - classroom exercises/table top written tests - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - at least every 3 years - - - at least annually - - - IA-4 (d) [at least two years] - - - ninety days for user identifiers (See additional requirements and guidance) - - - at least one - - - twenty four - - - at least every 3 years - - - at least annually - - - at least annually - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - at least every 3 years - - - at least annually - - - at least every 3 years - - - at least annually - - - at least every 3 years - - - at least annually - - - at least annually - - - CSP defined physical access control systems/devices AND guards - - - CSP defined physical access control systems/devices - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - at least monthly - - - for a minimum of one (1) year - - - at least monthly - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - all information system components - - - at least every 3 years - - - at least annually - - - at least annually - - - At least every 3 years - - - at least every 3 years - - - at least annually - - - at least every three years - - - For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - - - same day - - - five days of the time period following the formal transfer action (DoD 24 hours) - - - at least annually - - - at least annually - - - organization-defined time period - same day - - - at least every 3 years - - - at least annually - - - security assessment report - - - at least every three (3) years or when a significant change occurs - - - at least every three (3) years or when a significant change occurs - - - monthly operating system/infrastructure; monthly web applications and databases - - - [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - at least every 3 years - - - at least annually - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - at least every 3 years - - - at least annually - - - FIPS-validated or NSA-approved cryptography - - - no exceptions - - - at least every 3 years - - - at least annually - - - within 30 days of release of updates - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc - Partially derived from AC-17(8).

- - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link https://pages.nist.gov/800-63-3.

- - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance - - Guidance (a) (d): -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-9 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide https://www.FedRAMP.gov/documents -

- - - Guidance: -

Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline-resolved-profile_catalog.xml b/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline-resolved-profile_catalog.xml deleted file mode 100644 index dbd6a0854b..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline-resolved-profile_catalog.xml +++ /dev/null @@ -1,35446 +0,0 @@ - - - - FedRAMP Moderate Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - 2020-08-31T17:38:53.967424Z - FedRAMP Moderate Baseline - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - Access Control - - Access Control Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - AC-1 - ac-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the access control policy and - associated access controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Access control policy ; and

- - - 2. -

Access control procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AC-1(a) - - AC-1(a)(1) - - assessment-objective - EXAMINE - AC-1(a)(1)[1] -

develops and documents an access control policy that addresses:

- - AC-1(a)(1)[1][a] -

purpose;

- - - AC-1(a)(1)[1][b] -

scope;

- - - AC-1(a)(1)[1][c] -

roles;

- - - AC-1(a)(1)[1][d] -

responsibilities;

- - - AC-1(a)(1)[1][e] -

management commitment;

- - - AC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AC-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AC-1(a)(1)[2] -

defines personnel or roles to whom the access control policy are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-1(a)(1)[3] -

disseminates the access control policy to organization-defined personnel or - roles;

- - - - AC-1(a)(2) - - assessment-objective - EXAMINE - AC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls;

- - - assessment-objective - EXAMINE - AC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AC-1(b) - - AC-1(b)(1) - - assessment-objective - EXAMINE - AC-1(b)(1)[1] -

defines the frequency to review and update the current access control - policy;

- - - assessment-objective - EXAMINE - AC-1(b)(1)[2] -

reviews and updates the current access control policy with the - organization-defined frequency;

- - - - AC-1(b)(2) - - assessment-objective - EXAMINE - AC-1(b)(2)[1] -

defines the frequency to review and update the current access control - procedures; and

- - - assessment-objective - EXAMINE - AC-1(b)(2)[2] -

reviews and updates the current access control procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Access control policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Account Management - - - - - - - - - - - - at least annually - - - AC-2 - ac-02 - -

The organization:

- - a. -

Identifies and selects the following types of information system accounts to - support organizational missions/business functions: ;

- - - b. -

Assigns account managers for information system accounts;

- - - c. -

Establishes conditions for group and role membership;

- - - d. -

Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account;

- - - e. -

Requires approvals by for requests to create - information system accounts;

- - - f. -

Creates, enables, modifies, disables, and removes information system accounts in - accordance with ;

- - - g. -

Monitors the use of information system accounts;

- - - h. -

Notifies account managers:

- - 1. -

When accounts are no longer required;

- - - 2. -

When users are terminated or transferred; and

- - - 3. -

When individual information system usage or need-to-know changes;

- - - - i. -

Authorizes access to the information system based on:

- - 1. -

A valid access authorization;

- - - 2. -

Intended system usage; and

- - - 3. -

Other attributes as required by the organization or associated - missions/business functions;

- - - - j. -

Reviews accounts for compliance with account management requirements ; and

- - - k. -

Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - -

Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training.

- AC-3 - AC-4 - AC-5 - AC-6 - AC-10 - AC-17 - AC-19 - AC-20 - AU-9 - IA-2 - IA-4 - IA-5 - IA-8 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PL-4 - SC-13 - - -

Determine if the organization:

- - AC-2(a) - - assessment-objective - EXAMINE - AC-2(a)[1] -

defines information system account types to be identified and selected to - support organizational missions/business functions;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-2(a)[2] -

identifies and selects organization-defined information system account types to - support organizational missions/business functions;

- - - - assessment-objective - EXAMINE - INTERVIEW - AC-2(b) -

assigns account managers for information system accounts;

- - - assessment-objective - EXAMINE - AC-2(c) -

establishes conditions for group and role membership;

- - - assessment-objective - EXAMINE - AC-2(d) -

specifies for each account (as required):

- - AC-2(d)[1] -

authorized users of the information system;

- - - AC-2(d)[2] -

group and role membership;

- - - AC-2(d)[3] -

access authorizations (i.e., privileges);

- - - AC-2(d)[4] -

other attributes;

- - - - AC-2(e) - - assessment-objective - EXAMINE - AC-2(e)[1] -

defines personnel or roles required to approve requests to create information - system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(e)[2] -

requires approvals by organization-defined personnel or roles for requests to - create information system accounts;

- - - - AC-2(f) - - assessment-objective - EXAMINE - AC-2(f)[1] -

defines procedures or conditions to:

- - AC-2(f)[1][a] -

create information system accounts;

- - - AC-2(f)[1][b] -

enable information system accounts;

- - - AC-2(f)[1][c] -

modify information system accounts;

- - - AC-2(f)[1][d] -

disable information system accounts;

- - - AC-2(f)[1][e] -

remove information system accounts;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(f)[2] -

in accordance with organization-defined procedures or conditions:

- - AC-2(f)[2][a] -

creates information system accounts;

- - - AC-2(f)[2][b] -

enables information system accounts;

- - - AC-2(f)[2][c] -

modifies information system accounts;

- - - AC-2(f)[2][d] -

disables information system accounts;

- - - AC-2(f)[2][e] -

removes information system accounts;

- - - - - assessment-objective - INTERVIEW - TEST - AC-2(g) -

monitors the use of information system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(h) -

notifies account managers:

- - AC-2(h)(1) -

when accounts are no longer required;

- - - AC-2(h)(2) -

when users are terminated or transferred;

- - - AC-2(h)(3) -

when individual information system usage or need to know changes;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(i) -

authorizes access to the information system based on;

- - AC-2(i)(1) -

a valid access authorization;

- - - AC-2(i)(2) -

intended system usage;

- - - AC-2(i)(3) -

other attributes as required by the organization or associated - missions/business functions;

- - - - AC-2(j) - - assessment-objective - EXAMINE - AC-2(j)[1] -

defines the frequency to review accounts for compliance with account management - requirements;

- - - assessment-objective - INTERVIEW - TEST - AC-2(j)[2] -

reviews accounts for compliance with account management requirements with the - organization-defined frequency; and

- - - - assessment-objective - EXAMINE - AC-2(k) -

establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of active system accounts along with the name of the individual associated - with each account

-

list of conditions for group and role membership

-

notifications or records of recently transferred, separated, or terminated - employees

-

list of recently disabled information system accounts along with the name of the - individual associated with each account

-

access authorization records

-

account management compliance reviews

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes account management on the information system

-

automated mechanisms for implementing account management

- - - - Automated System Account Management - AC-2(1) - ac-02.01 - -

The organization employs automated mechanisms to support the management of - information system accounts.

- - -

The use of automated mechanisms can include, for example: using email or text - messaging to automatically notify account managers when users are terminated or - transferred; using the information system to monitor account usage; and using - telephonic notification to report atypical system account usage.

- - - assessment-objective - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to support the - management of information system accounts.

- - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Removal of Temporary / Emergency Accounts - - - - no more than 30 days for temporary and emergency account types - - - AC-2(2) - ac-02.02 - -

The information system automatically temporary - and emergency accounts after .

- - -

This control enhancement requires the removal of both temporary and emergency - accounts automatically after a predefined period of time has elapsed, rather than - at the convenience of the systems administrator.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-2(2)[1] -

the organization defines the time period after which the information system - automatically removes or disables temporary and emergency accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(2)[2] -

the information system automatically removes or disables temporary and - emergency accounts after the organization-defined time period for each type of - account.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of temporary accounts removed and/or - disabled

-

information system-generated list of emergency accounts removed and/or - disabled

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Disable Inactive Accounts - - - 90 days for user accounts - - - AC-2(3) - ac-02.03 - -

The information system automatically disables inactive accounts after .

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-2(3)[1] -

the organization defines the time period after which the information system - automatically disables inactive accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(3)[2] -

the information system automatically disables inactive accounts after the - organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of temporary accounts removed and/or - disabled

-

information system-generated list of emergency accounts removed and/or - disabled

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Automated Audit Actions - - - - AC-2(4) - ac-02.04 - -

The information system automatically audits account creation, modification, - enabling, disabling, and removal actions, and notifies .

- - - AU-2 - AU-12 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - AC-2(4)[1] -

the information system automatically audits the following account actions:

- - AC-2(4)[1][a] -

creation;

- - - AC-2(4)[1][b] -

modification;

- - - AC-2(4)[1][c] -

enabling;

- - - AC-2(4)[1][d] -

disabling;

- - - AC-2(4)[1][e] -

removal;

- - - - assessment-objective - EXAMINE - AC-2(4)[2] -

the organization defines personnel or roles to be notified of the following - account actions:

- - AC-2(4)[2][a] -

creation;

- - - AC-2(4)[2][b] -

modification;

- - - AC-2(4)[2][c] -

enabling;

- - - AC-2(4)[2][d] -

disabling;

- - - AC-2(4)[2][e] -

removal;

- - - - assessment-objective - INTERVIEW - TEST - AC-2(4)[3] -

the information system notifies organization-defined personnel or roles of the - following account actions:

- - AC-2(4)[3][a] -

creation;

- - - AC-2(4)[3][b] -

modification;

- - - AC-2(4)[3][c] -

enabling;

- - - AC-2(4)[3][d] -

disabling; and

- - - AC-2(4)[3][e] -

removal.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

notifications/alerts of account creation, modification, enabling, disabling, - and removal actions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Inactivity Logout - - - - - AC-2(5) - ac-02.05 - -

The organization requires that users log out when .

- - AC-2 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

Should use a shorter timeframe than AC-12.

- - - - - SC-23 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-2(5)[1] -

defines either the time period of expected inactivity that requires users to - log out or the description of when users are required to log out; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(5)[2] -

requires that users log out when the organization-defined time period of - inactivity is reached or in accordance with organization-defined description of - when to log out.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security violation reports

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

users that must comply with inactivity logout policy

- - - - - Role-based Schemes - - - - AC-2(7) - ac-02.07 - -

The organization:

- - (a) -

Establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles;

- - - (b) -

Monitors privileged role assignments; and

- - - (c) -

Takes when privileged role assignments are no - longer appropriate.

- - - -

Privileged roles are organization-defined roles assigned to individuals that allow - those individuals to perform certain security-relevant functions that ordinary - users are not authorized to perform. These privileged roles include, for example, - key management, account management, network and system administration, database - administration, and web administration.

- - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - AC-2(7)(a) -

establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles;

- AC-2(7)(a) - - - assessment-objective - INTERVIEW - TEST - AC-2(7)(b) -

monitors privileged role assignments;

- AC-2(7)(b) - - - AC-2(7)(c) - - assessment-objective - EXAMINE - AC-2(7)(c)[1] -

defines actions to be taken when privileged role assignments are no longer - appropriate; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(7)(c)[2] -

takes organization-defined actions when privileged role assignments are no - longer appropriate.

- - AC-2(7)(c) - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of privileged user accounts and associated - role

-

records of actions taken when privileged role assignments are no longer - appropriate

-

information system audit records

-

audit tracking and monitoring reports

-

information system monitoring records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

-

automated mechanisms monitoring privileged role assignments

- - - - - Restrictions On Use of Shared / Group Accounts - - - - AC-2(9) - ac-02.09 - -

The organization only permits the use of shared/group accounts that meet .

- - AC-2 (9) Additional FedRAMP Requirements and Guidance - - Requirement: -

Required if shared/group accounts are deployed

- - - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-2(9)[1] -

defines conditions for establishing shared/group accounts; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(9)[2] -

only permits the use of shared/group accounts that meet organization-defined - conditions for establishing shared/group accounts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of shared/group accounts and associated role

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of shared/group accounts

- - - - - Shared / Group Account Credential Termination - AC-2(10) - ac-02.10 - -

The information system terminates shared/group account credentials when members - leave the group.

- - AC-2 (10) Additional FedRAMP Requirements and Guidance - - Requirement: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system terminates shared/group account credentials - when members leave the group.

- - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

account access termination records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Account Monitoring / Atypical Usage - - - - - - - - AC-2(12) - ac-02.12 - -

The organization:

- - (a) -

Monitors information system accounts for ; - and

- - - (b) -

Reports atypical usage of information system accounts to .

- - - AC-2 (12) Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Required for privileged accounts.

- - - (b) Guidance: -

Required for privileged accounts.

- - - - -

Atypical usage includes, for example, accessing information systems at certain - times of the day and from locations that are not consistent with the normal usage - patterns of individuals working in organizations.

- CA-7 - - -

Determine if the organization:

- - AC-2(12)(a) - - assessment-objective - EXAMINE - AC-2(12)(a)[1] -

defines atypical usage to be monitored for information system accounts;

- - - assessment-objective - INTERVIEW - TEST - AC-2(12)(a)[2] -

monitors information system accounts for organization-defined atypical - usage;

- - AC-2(12)(a) - - - AC-2(12)(b) - - assessment-objective - EXAMINE - AC-2(12)(b)[1] -

defines personnel or roles to whom atypical usage of information system - accounts are to be reported; and

- - - assessment-objective - INTERVIEW - TEST - AC-2(12)(b)[2] -

reports atypical usage of information system accounts to - organization-defined personnel or roles.

- - AC-2(12)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system monitoring records

-

information system audit records

-

audit tracking and monitoring reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - - Access Enforcement - AC-3 - ac-03 - -

The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies.

- - -

Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security.

- AC-2 - AC-4 - AC-5 - AC-6 - AC-16 - AC-17 - AC-18 - AC-19 - AC-20 - AC-21 - AC-22 - AU-9 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PE-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies.

- - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of approved authorizations (user privileges)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy

- - - - - Information Flow Enforcement - - - - - AC-4 - ac-04 - -

The information system enforces approved authorizations for controlling the flow of - information within the system and between interconnected systems based on .

- - -

Information flow control regulates where information is allowed to travel within an - information system and between information systems (as opposed to who is allowed to - access the information) and without explicit regard to subsequent accesses to that - information. Flow control restrictions include, for example, keeping - export-controlled information from being transmitted in the clear to the Internet, - blocking outside traffic that claims to be from within the organization, restricting - web requests to the Internet that are not from the internal web proxy server, and - limiting information transfers between organizations based on data structures and - content. Transferring information between information systems representing different - security domains with different security policies introduces risk that such transfers - violate one or more domain security policies. In such situations, information - owners/stewards provide guidance at designated policy enforcement points between - interconnected systems. Organizations consider mandating specific architectural - solutions when required to enforce specific security policies. Enforcement includes, - for example: (i) prohibiting information transfers between interconnected systems - (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way - information flows; and (iii) implementing trustworthy regrading mechanisms to - reassign security attributes and security labels. Organizations commonly employ - information flow control policies and enforcement mechanisms to control the flow of - information between designated sources and destinations (e.g., networks, individuals, - and devices) within information systems and between interconnected systems. Flow - control is based on the characteristics of the information and/or the information - path. Enforcement occurs, for example, in boundary protection devices (e.g., - gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or - establish configuration settings that restrict information system services, provide a - packet-filtering capability based on header information, or message-filtering - capability based on message content (e.g., implementing key word searches or using - document characteristics). Organizations also consider the trustworthiness of - filtering/inspection mechanisms (i.e., hardware, firmware, and software components) - that are critical to information flow enforcement. Control enhancements 3 through 22 - primarily address cross-domain solution needs which focus on more advanced filtering - techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented - in cross-domain products, for example, high-assurance guards. Such capabilities are - generally not available in commercial off-the-shelf information technology - products.

- AC-3 - AC-17 - AC-19 - AC-21 - CM-6 - CM-7 - SA-8 - SC-2 - SC-5 - SC-7 - SC-18 - - -

Determine if:

- - AC-4[1] -

the organization defines information flow control policies to control the flow of - information within the system and between interconnected systems; and

- - - AC-4[2] -

the information system enforces approved authorizations for controlling the flow - of information within the system and between interconnected systems based on - organization-defined information flow control policies.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system baseline configuration

-

list of information flow authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - Physical / Logical Separation of Information Flows - - - - - - - AC-4(21) - ac-04.21 - -

The information system separates information flows logically or physically using - to accomplish .

- - -

Enforcing the separation of information flows by type can enhance protection by - ensuring that information is not commingled while in transit and by enabling flow - control by transmission paths perhaps not otherwise achievable. Types of separable - information include, for example, inbound and outbound communications traffic, - service requests and responses, and information of differing security - categories.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-4(21)[1] -

the organization defines the required separations of information flows by types - of information;

- - - assessment-objective - EXAMINE - AC-4(21)[2] -

the organization defines the mechanisms and/or techniques to be used to - separate information flows logically or physically; and

- - - assessment-objective - INTERVIEW - TEST - AC-4(21)[3] -

the information system separates information flows logically or physically - using organization-defined mechanisms and/or techniques to accomplish - organization-defined required separations by types of information.

- - - - EXAMINE - -

Information flow enforcement policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of required separation of information flows by information types

-

list of mechanisms and/or techniques used to logically or physically separate - information flows

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - - Separation of Duties - - - - AC-5 - ac-05 - -

The organization:

- - a. -

Separates ;

- - - b. -

Documents separation of duties of individuals; and

- - - c. -

Defines information system access authorizations to support separation of - duties.

- - - AC-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Separation of duties addresses the potential for abuse of authorized privileges and - helps to reduce the risk of malevolent activity without collusion. Separation of - duties includes, for example: (i) dividing mission functions and information system - support functions among different individuals and/or roles; (ii) conducting - information system support functions with different individuals (e.g., system - management, programming, configuration management, quality assurance and testing, and - network security); and (iii) ensuring security personnel administering access control - functions do not also administer audit functions.

- AC-3 - AC-6 - PE-3 - PE-4 - PS-2 - - -

Determine if the organization:

- - AC-5(a) - - assessment-objective - EXAMINE - AC-5(a)[1] -

defines duties of individuals to be separated;

- - - assessment-objective - INTERVIEW - TEST - AC-5(a)[2] -

separates organization-defined duties of individuals;

- - - - assessment-objective - EXAMINE - AC-5(b) -

documents separation of duties; and

- - - assessment-objective - EXAMINE - AC-5(c) -

defines information system access authorizations to support separation of - duties.

- - - - EXAMINE - -

Access control policy

-

procedures addressing divisions of responsibility and separation of duties

-

information system configuration settings and associated documentation

-

list of divisions of responsibility and separation of duties

-

information system access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining appropriate divisions - of responsibility and separation of duties

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing separation of duties policy

- - - - - Least Privilege - AC-6 - ac-06 - -

The organization employs the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) which are necessary to - accomplish assigned tasks in accordance with organizational missions and business - functions.

- - -

Organizations employ least privilege for specific duties and information systems. The - principle of least privilege is also applied to information system processes, - ensuring that the processes operate at privilege levels no higher than necessary to - accomplish required organizational missions/business functions. Organizations - consider the creation of additional processes, roles, and information system accounts - as necessary, to achieve least privilege. Organizations also apply least privilege to - the development, implementation, and operation of organizational information - systems.

- AC-2 - AC-3 - AC-5 - CM-6 - CM-7 - PL-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs the principle of least privilege, allowing only - authorized access for users (and processes acting on behalf of users) which are - necessary to accomplish assigned tasks in accordance with organizational missions and - business functions.

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of assigned access authorizations (user privileges)

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - Authorize Access to Security Functions - - - - AC-6(1) - ac-06.01 - -

The organization explicitly authorizes access to .

- - -

Security functions include, for example, establishing system accounts, configuring - access authorizations (i.e., permissions, privileges), setting events to be - audited, and setting intrusion detection parameters. Security-relevant information - includes, for example, filtering rules for routers/firewalls, cryptographic key - management information, configuration parameters for security services, and access - control lists. Explicitly authorized personnel include, for example, security - administrators, system and network administrators, system security officers, - system maintenance personnel, system programmers, and other privileged users.

- AC-17 - AC-18 - AC-19 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(1)[1] -

defines security-relevant information for which access must be explicitly - authorized;

- - - assessment-objective - EXAMINE - AC-6(1)[2] -

defines security functions deployed in:

- - AC-6(1)[2][a] -

hardware;

- - - AC-6(1)[2][b] -

software;

- - - AC-6(1)[2][c] -

firmware;

- - - - assessment-objective - INTERVIEW - TEST - AC-6(1)[3] -

explicitly authorizes access to:

- - AC-6(1)[3][a] -

organization-defined security functions; and

- - - AC-6(1)[3][b] -

security-relevant information.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of security functions (deployed in hardware, software, and firmware) and - security-relevant information for which access must be explicitly - authorized

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Non-privileged Access for Nonsecurity Functions - - - all security functions - - AC-6(2) - ac-06.02 - -

The organization requires that users of information system accounts, or roles, - with access to , use non-privileged accounts or - roles, when accessing nonsecurity functions.

- - AC-6 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

This control enhancement limits exposure when operating from within privileged - accounts or roles. The inclusion of roles addresses situations where organizations - implement access control policies such as role-based access control and where a - change of role provides the same degree of assurance in the change of access - authorizations for both the user and all processes acting on behalf of the user as - would be provided by a change between a privileged and non-privileged account.

- PL-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(2)[1] -

defines security functions or security-relevant information to which users of - information system accounts, or roles, have access; and

- - - assessment-objective - INTERVIEW - TEST - AC-6(2)[2] -

requires that users of information system accounts, or roles, with access to - organization-defined security functions or security-relevant information, use - non-privileged accounts, or roles, when accessing nonsecurity functions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated security functions or security-relevant information - assigned to information system accounts or roles

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Privileged Accounts - - - - AC-6(5) - ac-06.05 - -

The organization restricts privileged accounts on the information system to - .

- - -

Privileged accounts, including super user accounts, are typically described as - system administrator for various types of commercial off-the-shelf operating - systems. Restricting privileged accounts to specific personnel or roles prevents - day-to-day users from having access to privileged information/functions. - Organizations may differentiate in the application of this control enhancement - between allowed privileges for local accounts and for domain accounts provided - organizations retain the ability to control information system configurations for - key security parameters and as otherwise necessary to sufficiently mitigate - risk.

- CM-6 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-6(5)[1] -

defines personnel or roles for which privileged accounts on the information - system are to be restricted; and

- - - assessment-objective - INTERVIEW - TEST - AC-6(5)[2] -

restricts privileged accounts on the information system to organization-defined - personnel or roles.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated privileged accounts

-

list of system administration personnel

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Auditing Use of Privileged Functions - - AC-6(9) - ac-06.09 - -

The information system audits the execution of privileged functions.

- - -

Misuse of privileged functions, either intentionally or unintentionally by - authorized users, or by unauthorized external entities that have compromised - information system accounts, is a serious and ongoing concern and can have - significant adverse impacts on organizations. Auditing the use of privileged - functions is one way to detect such misuse, and in doing so, help mitigate the - risk from insider threats and the advanced persistent threat (APT).

- AU-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system audits the execution of privileged functions. -

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged functions to be audited

-

list of audited events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms auditing the execution of least privilege functions

- - - - - Prohibit Non-privileged Users from Executing Privileged Functions - AC-6(10) - ac-06.10 - -

The information system prevents non-privileged users from executing privileged - functions to include disabling, circumventing, or altering implemented security - safeguards/countermeasures.

- - -

Privileged functions include, for example, establishing information system - accounts, performing system integrity checks, or administering cryptographic key - management activities. Non-privileged users are individuals that do not possess - appropriate authorizations. Circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms are examples of privileged - functions that require protection from non-privileged users.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system prevents non-privileged users from executing - privileged functions to include:

- - AC-6(10)[1] -

disabling implemented security safeguards/countermeasures;

- - - AC-6(10)[2] -

circumventing security safeguards/countermeasures; or

- - - AC-6(10)[3] -

altering implemented security safeguards/countermeasures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged functions and associated user account assignments

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing least privilege functions for non-privileged - users

- - - - - - Unsuccessful Logon Attempts - - - not more than three (3) - - - - fifteen (15) minutes - - - - - locks the account/node for thirty minutes - - - - - - AC-7 - ac-07 - -

The information system:

- - a. -

Enforces a limit of consecutive invalid logon - attempts by a user during a ; and

- - - b. -

Automatically when the maximum number of - unsuccessful attempts is exceeded.

- - - -

This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels.

- AC-2 - AC-9 - AC-14 - IA-5 - - -

Determine if:

- - AC-7(a) - - assessment-objective - EXAMINE - AC-7(a)[1] -

the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period;

- - - assessment-objective - EXAMINE - AC-7(a)[2] -

the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts;

- - - assessment-objective - INTERVIEW - TEST - AC-7(a)[3] -

the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period;

- - - - AC-7(b) - - assessment-objective - EXAMINE - AC-7(b)[1] -

the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded;

- - - assessment-objective - INTERVIEW - TEST - AC-7(b)[2] -

the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically:

- - AC-7(b)[2][a] -

locks the account/node for the organization-defined time period;

- - - AC-7(b)[2][b] -

locks the account/node until released by an administrator; or

- - - AC-7(b)[2][c] -

delays next logon prompt according to the organization-defined delay - algorithm.

- - - - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful logon attempts

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful logon - attempts

- - - - - System Use Notification - - - see additional Requirements and Guidance - - - - see additional Requirements and Guidance] - - AC-8 - ac-08 - -

The information system:

- - a. -

Displays to users before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that:

- - 1. -

Users are accessing a U.S. Government information system;

- - - 2. -

Information system usage may be monitored, recorded, and subject to audit;

- - - 3. -

Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and

- - - 4. -

Use of the information system indicates consent to monitoring and - recording;

- - - - b. -

Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and

- - - c. -

For publicly accessible systems:

- - 1. -

Displays system use information , before - granting further access;

- - - 2. -

Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and

- - - 3. -

Includes a description of the authorized uses of the system.

- - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - -

System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content.

- - -

Determine if:

- - AC-8(a) - - assessment-objective - EXAMINE - AC-8(a)[1] -

the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system;

- - - assessment-objective - INTERVIEW - TEST - AC-8(a)[2] -

the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that:

- - AC-8(a)[2](1) -

users are accessing a U.S. Government information system;

- - - AC-8(a)[2](2) -

information system usage may be monitored, recorded, and subject to - audit;

- - - AC-8(a)[2](3) -

unauthorized use of the information system is prohibited and subject to - criminal and civil penalties;

- - - AC-8(a)[2](4) -

use of the information system indicates consent to monitoring and - recording;

- - - - - assessment-objective - INTERVIEW - TEST - AC-8(b) -

the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system;

- - - AC-8(c) -

for publicly accessible systems:

- - AC-8(c)(1) - - assessment-objective - EXAMINE - AC-8(c)(1)[1] -

the organization defines conditions for system use to be displayed by the - information system before granting further access;

- - - assessment-objective - INTERVIEW - TEST - AC-8(c)(1)[2] -

the information system displays organization-defined conditions before - granting further access;

- - - - assessment-objective - INTERVIEW - TEST - AC-8(c)(2) -

the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and

- - - assessment-objective - EXAMINE - AC-8(c)(3) -

the information system includes a description of the authorized uses of the - system.

- - - - - EXAMINE - -

Access control policy

-

privacy and security policies, procedures addressing system use notification

-

documented approval of information system use notification messages or banners

-

information system audit records

-

user acknowledgements of notification message or banner

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system use notification messages

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for providing legal advice

-

system developers

- - - - TEST - -

Automated mechanisms implementing system use notification

- - - - - Concurrent Session Control - - - - - - three (3) sessions for privileged access and two (2) sessions for non-privileged access - - AC-10 - ac-10 - -

The information system limits the number of concurrent sessions for each to .

- - -

Organizations may define the maximum number of concurrent sessions for information - system accounts globally, by account type (e.g., privileged user, non-privileged - user, domain, specific application), by account, or a combination. For example, - organizations may limit the number of concurrent sessions for system administrators - or individuals working in particularly sensitive domains or mission-critical - applications. This control addresses concurrent sessions for information system - accounts and does not address concurrent sessions by single users via multiple system - accounts.

- - -

Determine if:

- - assessment-objective - EXAMINE - AC-10[1] -

the organization defines account and/or account types for the information - system;

- - - assessment-objective - EXAMINE - AC-10[2] -

the organization defines the number of concurrent sessions to be allowed for each - organization-defined account and/or account type; and

- - - assessment-objective - INTERVIEW - TEST - AC-10[3] -

the information system limits the number of concurrent sessions for each - organization-defined account and/or account type to the organization-defined - number of concurrent sessions allowed.

- - - - EXAMINE - -

Access control policy

-

procedures addressing concurrent session control

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for concurrent session - control

- - - - - Session Lock - - - fifteen (15) minutes - - - AC-11 - ac-11 - OMB Memorandum 06-16 - -

The information system:

- - a. -

Prevents further access to the system by initiating a session lock after of inactivity or upon receiving a request from a user; - and

- - - b. -

Retains the session lock until the user reestablishes access using established - identification and authentication procedures.

- - - -

Session locks are temporary actions taken when users stop work and move away from the - immediate vicinity of information systems but do not want to log out because of the - temporary nature of their absences. Session locks are implemented where session - activities can be determined. This is typically at the operating system level, but - can also be at the application level. Session locks are not an acceptable substitute - for logging out of information systems, for example, if organizations require users - to log out at the end of workdays.

- AC-7 - - -

Determine if:

- - AC-11(a) - - assessment-objective - EXAMINE - AC-11(a)[1] -

the organization defines the time period of user inactivity after which the - information system initiates a session lock;

- - - assessment-objective - INTERVIEW - TEST - AC-11(a)[2] -

the information system prevents further access to the system by initiating a - session lock after organization-defined time period of user inactivity or upon - receiving a request from a user; and

- - - - assessment-objective - INTERVIEW - TEST - AC-11(b) -

the information system retains the session lock until the user reestablishes - access using established identification and authentication procedures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing session lock

-

procedures addressing identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for session lock

- - - - Pattern-hiding Displays - AC-11(1) - ac-11.01 - -

The information system conceals, via the session lock, information previously - visible on the display with a publicly viewable image.

- - -

Publicly viewable images can include static or dynamic images, for example, - patterns used with screen savers, photographic images, solid colors, clock, - battery life indicator, or a blank screen, with the additional caveat that none of - the images convey sensitive information.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system conceals, via the session lock, information - previously visible on the display with a publicly viewable image.

- - - EXAMINE - -

Access control policy

-

procedures addressing session lock

-

display screen with session lock activated

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system session lock mechanisms

- - - - - - Session Termination - - - - - AC-12 - ac-12 - -

The information system automatically terminates a user session after .

- - -

This control addresses the termination of user-initiated logical sessions in contrast - to SC-10 which addresses the termination of network connections that are associated - with communications sessions (i.e., network disconnect). A logical session (for - local, network, and remote access) is initiated whenever a user (or process acting on - behalf of a user) accesses an organizational information system. Such user sessions - can be terminated (and thus terminate user access) without terminating network - sessions. Session termination terminates all processes associated with a user’s - logical session except those processes that are specifically created by the user - (i.e., session owner) to continue after the session is terminated. Conditions or - trigger events requiring automatic session termination can include, for example, - organization-defined periods of user inactivity, targeted responses to certain types - of incidents, time-of-day restrictions on information system use.

- SC-10 - SC-23 - - -

Determine if:

- - AC-12[1] -

the organization defines conditions or trigger events requiring session - disconnect; and

- - - assessment-objective - INTERVIEW - TEST - AC-12[2] -

the information system automatically terminates a user session after - organization-defined conditions or trigger events requiring session disconnect - occurs.

- - - - EXAMINE - -

Access control policy

-

procedures addressing session termination

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of conditions or trigger events requiring session disconnect

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session termination

- - - - - Permitted Actions Without Identification or Authentication - - - - AC-14 - ac-14 - -

The organization:

- - a. -

Identifies that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - b. -

Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - -

This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none.

- CP-2 - IA-2 - - -

Determine if the organization:

- - AC-14(a) - - assessment-objective - EXAMINE - AC-14(a)[1] -

defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions;

- - - assessment-objective - EXAMINE - INTERVIEW - AC-14(a)[2] -

identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - - assessment-objective - EXAMINE - AC-14(b) -

documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - - EXAMINE - -

Access control policy

-

procedures addressing permitted actions without identification or - authentication

-

information system configuration settings and associated documentation

-

security plan

-

list of user actions that can be performed without identification or - authentication

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - - Remote Access - - AC-17 - ac-17 - NIST Special Publication 800-46 - NIST Special Publication 800-77 - NIST Special Publication 800-113 - NIST Special Publication 800-114 - NIST Special Publication 800-121 - -

The organization:

- - a. -

Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and

- - - b. -

Authorizes remote access to the information system prior to allowing such - connections.

- - - -

Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3.

- AC-2 - AC-3 - AC-18 - AC-19 - AC-20 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - MA-4 - PE-17 - PL-4 - SC-10 - SI-4 - - -

Determine if the organization:

- - AC-17(a) - - assessment-objective - EXAMINE - AC-17(a)[1] -

identifies the types of remote access allowed to the information system;

- - - assessment-objective - EXAMINE - AC-17(a)[2] -

establishes for each type of remote access allowed:

- - AC-17(a)[2][a] -

usage restrictions;

- - - AC-17(a)[2][b] -

configuration/connection requirements;

- - - AC-17(a)[2][c] -

implementation guidance;

- - - - assessment-objective - EXAMINE - AC-17(a)[3] -

documents for each type of remote access allowed:

- - AC-17(a)[3][a] -

usage restrictions;

- - - AC-17(a)[3][b] -

configuration/connection requirements;

- - - AC-17(a)[3][c] -

implementation guidance; and

- - - - - assessment-objective - INTERVIEW - TEST - AC-17(b) -

authorizes remote access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system configuration settings and associated documentation

-

remote access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing remote access - connections

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Remote access management capability for the information system

- - - - Automated Monitoring / Control - AC-17(1) - ac-17.01 - -

The information system monitors and controls remote access methods.

- - -

Automated monitoring and control of remote access sessions allows organizations to - detect cyber attacks and also ensure ongoing compliance with remote access - policies by auditing connection activities of remote users on a variety of - information system components (e.g., servers, workstations, notebook computers, - smart phones, and tablets).

- AU-2 - AU-12 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system monitors and controls remote access methods. -

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system monitoring records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms monitoring and controlling remote access methods

- - - - - Protection of Confidentiality / Integrity Using Encryption - AC-17(2) - ac-17.02 - -

The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of remote access sessions.

- - -

The encryption strength of mechanism is selected based on the security - categorization of the information.

- SC-8 - SC-12 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements cryptographic mechanisms to protect - the confidentiality and integrity of remote access sessions.

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Cryptographic mechanisms protecting confidentiality and integrity of remote - access sessions

- - - - - Managed Access Control Points - - - - AC-17(3) - ac-17.03 - -

The information system routes all remote accesses through managed network access control points.

- - -

Limiting the number of access control points for remote accesses reduces the - attack surface for organizations. Organizations consider the Trusted Internet - Connections (TIC) initiative requirements for external network connections.

- SC-7 - - -

Determine if:

- - assessment-objective - EXAMINE - AC-17(3)[1] -

the organization defines the number of managed network access control points - through which all remote accesses are to be routed; and

- - - assessment-objective - INTERVIEW - TEST - AC-17(3)[2] -

the information system routes all remote accesses through the - organization-defined number of managed network access control points.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

list of all managed network access control points

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms routing all remote accesses through managed network access - control points

- - - - - Privileged Commands / Access - - - - AC-17(4) - ac-17.04 - -

The organization:

- - (a) -

Authorizes the execution of privileged commands and access to security-relevant - information via remote access only for ; - and

- - - (b) -

Documents the rationale for such access in the security plan for the - information system.

- - - - AC-6 - - -

Determine if the organization:

- - AC-17(4)(a) - - assessment-objective - EXAMINE - AC-17(4)(a)[1] -

defines needs to authorize the execution of privileged commands and access - to security-relevant information via remote access;

- - - assessment-objective - INTERVIEW - TEST - AC-17(4)(a)[2] -

authorizes the execution of privileged commands and access to - security-relevant information via remote access only for - organization-defined needs; and

- - AC-17(4)(a) - - - assessment-objective - EXAMINE - AC-17(4)(b) -

documents the rationale for such access in the information system security - plan.

- AC-17(4)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system configuration settings and associated documentation

-

security plan

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing remote access management

- - - - - Disconnect / Disable Access - - - fifteen 15 minutes - - - AC-17(9) - ac-17.09 - -

The organization provides the capability to expeditiously disconnect or disable - remote access to the information system within .

- - -

This control enhancement requires organizations to have the capability to rapidly - disconnect current users remotely accessing the information system and/or disable - further remote access. The speed of disconnect or disablement varies based on the - criticality of missions/business functions and the need to eliminate immediate or - future remote access to organizational information systems.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-17(9)[1] -

defines the time period within which to expeditiously disconnect or disable - remote access to the information system; and

- - - assessment-objective - INTERVIEW - TEST - AC-17(9)[2] -

provides the capability to expeditiously disconnect or disable remote access to - the information system within the organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing disconnecting or disabling remote access to the - information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan, information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing capability to disconnect or disable remote - access to information system

- - - - - - Wireless Access - - AC-18 - ac-18 - NIST Special Publication 800-48 - NIST Special Publication 800-94 - NIST Special Publication 800-97 - -

The organization:

- - a. -

Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and

- - - b. -

Authorizes wireless access to the information system prior to allowing such - connections.

- - - -

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication.

- AC-2 - AC-3 - AC-17 - AC-19 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - PL-4 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-18(a) -

establishes for wireless access:

- - AC-18(a)[1] -

usage restrictions;

- - - AC-18(a)[2] -

configuration/connection requirement;

- - - AC-18(a)[3] -

implementation guidance; and

- - - - assessment-objective - INTERVIEW - TEST - AC-18(b) -

authorizes wireless access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

wireless access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing wireless access - connections

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access management capability for the information system

- - - - Authentication and Encryption - - AC-18(1) - ac-18.01 - -

The information system protects wireless access to the system using authentication - of and encryption.

- - - SC-8 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system protects wireless access to the system using - encryption and one or more of the following:

- - AC-18(1)[1] -

authentication of users; and/or

- - - AC-18(1)[2] -

authentication of devices.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing wireless access protections to the - information system

- - - - - - Access Control for Mobile Devices - - AC-19 - ac-19 - OMB Memorandum 06-16 - NIST Special Publication 800-114 - NIST Special Publication 800-124 - NIST Special Publication 800-164 - -

The organization:

- - a. -

Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and

- - - b. -

Authorizes the connection of mobile devices to organizational information - systems.

- - - -

A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled.

- AC-3 - AC-7 - AC-18 - AC-20 - CA-9 - CM-2 - IA-2 - IA-3 - MP-2 - MP-4 - MP-5 - PL-4 - SC-7 - SC-43 - SI-3 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-19(a) -

establishes for organization-controlled mobile devices:

- - AC-19(a)[1] -

usage restrictions;

- - - AC-19(a)[2] -

configuration/connection requirement;

- - - AC-19(a)[3] -

implementation guidance; and

- - - - assessment-objective - INTERVIEW - TEST - AC-19(b) -

authorizes the connection of mobile devices to organizational information - systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile device usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

authorizations for mobile device connections to organizational information - systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel using mobile devices to access organizational information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Access control capability authorizing mobile device connections to organizational - information systems

- - - - Full Device / Container-based Encryption - - - - - - AC-19(5) - ac-19.05 - -

The organization employs to protect the - confidentiality and integrity of information on .

- - -

Container-based encryption provides a more fine-grained approach to the encryption - of data/information on mobile devices, including for example, encrypting selected - data structures such as files, records, or fields.

- MP-5 - SC-13 - SC-28 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-19(5)[1] -

defines mobile devices for which full-device encryption or container encryption - is required to protect the confidentiality and integrity of information on such - devices; and

- - - assessment-objective - INTERVIEW - TEST - AC-19(5)[2] -

employs full-device encryption or container encryption to protect the - confidentiality and integrity of information on organization-defined mobile - devices.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile devices

-

information system design documentation

-

information system configuration settings and associated documentation

-

encryption mechanism s and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities for mobile - devices

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Encryption mechanisms protecting confidentiality and integrity of information - on mobile devices

- - - - - - Use of External Information Systems - AC-20 - ac-20 - FIPS Publication 199 - -

The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - a. -

Access the information system from external information systems; and

- - - b. -

Process, store, or transmit organization-controlled information using external - information systems.

- - - -

External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems.

- AC-3 - AC-17 - AC-19 - CA-3 - PL-4 - SA-9 - - -

Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - AC-20(a) -

access the information system from the external information systems; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - AC-20(b) -

process, store, or transmit organization-controlled information using external - information systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

external information systems terms and conditions

-

list of types of applications accessible from external information systems

-

maximum security categorization for information processed, stored, or transmitted - on external information systems

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing terms and conditions on use of external - information systems

- - - - Limits On Authorized Use - AC-20(1) - ac-20.01 - -

The organization permits authorized individuals to use an external information - system to access the information system or to process, store, or transmit - organization-controlled information only when the organization:

- - (a) -

Verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or

- - - (b) -

Retains approved information system connection or processing agreements with - the organizational entity hosting the external information system.

- - - -

This control enhancement recognizes that there are circumstances where individuals - using external information systems (e.g., contractors, coalition partners) need to - access organizational information systems. In those situations, organizations need - confidence that the external information systems contain the necessary security - safeguards (i.e., security controls), so as not to compromise, damage, or - otherwise harm organizational information systems. Verification that the required - security controls have been implemented can be achieved, for example, by - third-party, independent assessments, attestations, or other means, depending on - the confidence level required by organizations.

- CA-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization permits authorized individuals to use an external - information system to access the information system or to process, store, or - transmit organization-controlled information only when the organization:

- - AC-20(1)(a) -

verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or

- AC-20(1)(a) - - - AC-20(1)(b) -

retains approved information system connection or processing agreements with - the organizational entity hosting the external information system.

- AC-20(1)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system connection or processing agreements

-

account management documents

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing limits on use of external information - systems

- - - - - Portable Storage Devices - - AC-20(2) - ac-20.02 - -

The organization the use of - organization-controlled portable storage devices by authorized individuals on - external information systems.

- - -

Limits on the use of organization-controlled portable storage devices in external - information systems include, for example, complete prohibition of the use of such - devices or restrictions on how the devices may be used and under what conditions - the devices may be used.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization restricts or prohibits the use of - organization-controlled portable storage devices by authorized individuals on - external information systems.

- - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system configuration settings and associated documentation

-

information system connection or processing agreements

-

account management documents

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for restricting or prohibiting - use of organization-controlled storage devices on external information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on use of portable storage - devices

- - - - - - Information Sharing - - - - - - - AC-21 - ac-21 - -

The organization:

- - a. -

Facilitates information sharing by enabling authorized users to determine whether - access authorizations assigned to the sharing partner match the access - restrictions on the information for ; and

- - - b. -

Employs to assist users in making information - sharing/collaboration decisions.

- - - -

This control applies to information that may be restricted in some manner (e.g., - privileged medical information, contract-sensitive information, proprietary - information, personally identifiable information, classified information related to - special access programs or compartments) based on some formal or administrative - determination. Depending on the particular information-sharing circumstances, sharing - partners may be defined at the individual, group, or organizational level. - Information may be defined by content, type, security category, or special access - program/compartment.

- AC-3 - - -

Determine if the organization:

- - AC-21(a) - - assessment-objective - EXAMINE - AC-21(a)[1] -

defines information sharing circumstances where user discretion is - required;

- - - assessment-objective - INTERVIEW - TEST - AC-21(a)[2] -

facilitates information sharing by enabling authorized users to determine - whether access authorizations assigned to the sharing partner match the access - restrictions on the information for organization-defined information sharing - circumstances;

- - - - AC-21(b) - - assessment-objective - EXAMINE - AC-21(b)[1] -

defines automated mechanisms or manual processes to be employed to assist users - in making information sharing/collaboration decisions; and

- - - assessment-objective - INTERVIEW - TEST - AC-21(b)[2] -

employs organization-defined automated mechanisms or manual processes to assist - users in making information sharing/collaboration decisions.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing user-based collaboration and information sharing (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of users authorized to make information sharing/collaboration decisions

-

list of information sharing circumstances requiring user discretion

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel responsible for making information sharing/collaboration - decisions

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms or manual process implementing access authorizations - supporting information sharing/user collaboration decisions

- - - - - Publicly Accessible Content - - - at least quarterly - - - AC-22 - ac-22 - -

The organization:

- - a. -

Designates individuals authorized to post information onto a publicly accessible - information system;

- - - b. -

Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - c. -

Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and

- - - d. -

Reviews the content on the publicly accessible information system for nonpublic - information and removes such information, if - discovered.

- - - -

In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy.

- AC-3 - AC-4 - AT-2 - AT-3 - AU-13 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AC-22(a) -

designates individuals authorized to post information onto a publicly accessible - information system;

- - - assessment-objective - INTERVIEW - TEST - AC-22(b) -

trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - assessment-objective - INTERVIEW - TEST - AC-22(c) -

reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included;

- - - AC-22(d) - - assessment-objective - EXAMINE - AC-22(d)[1] -

defines the frequency to review the content on the publicly accessible - information system for nonpublic information;

- - - assessment-objective - INTERVIEW - TEST - AC-22(d)[2] -

reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - AC-22(d)[3] -

removes nonpublic information from the publicly accessible information system, - if discovered.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing publicly accessible content

-

list of users authorized to post publicly accessible content on organizational - information systems

-

training materials and/or records

-

records of publicly accessible information reviews

-

records of response to nonpublic information on public websites

-

system audit logs

-

security awareness training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of publicly accessible content

- - - - - - Awareness and Training - - Security Awareness and Training Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - AT-1 - at-01 - NIST Special Publication 800-12 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security awareness and training policy ; and

- - - 2. -

Security awareness and training procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AT-1(a) - - AT-1(a)(1) - - assessment-objective - EXAMINE - AT-1(a)(1)[1] -

develops and documents an security awareness and training policy that - addresses:

- - AT-1(a)(1)[1][a] -

purpose;

- - - AT-1(a)(1)[1][b] -

scope;

- - - AT-1(a)(1)[1][c] -

roles;

- - - AT-1(a)(1)[1][d] -

responsibilities;

- - - AT-1(a)(1)[1][e] -

management commitment;

- - - AT-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AT-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AT-1(a)(1)[2] -

defines personnel or roles to whom the security awareness and training - policy are to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-1(a)(1)[3] -

disseminates the security awareness and training policy to - organization-defined personnel or roles;

- - - - AT-1(a)(2) - - assessment-objective - EXAMINE - AT-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls;

- - - assessment-objective - EXAMINE - AT-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AT-1(b) - - AT-1(b)(1) - - assessment-objective - EXAMINE - AT-1(b)(1)[1] -

defines the frequency to review and update the current security awareness - and training policy;

- - - assessment-objective - EXAMINE - AT-1(b)(1)[2] -

reviews and updates the current security awareness and training policy with - the organization-defined frequency;

- - - - AT-1(b)(2) - - assessment-objective - EXAMINE - AT-1(b)(2)[1] -

defines the frequency to review and update the current security awareness - and training procedures; and

- - - assessment-objective - EXAMINE - AT-1(b)(2)[2] -

reviews and updates the current security awareness and training procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Security awareness and training policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security awareness and training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Awareness Training - - - at least annually - - - AT-2 - at-02 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - Executive Order 13587 - NIST Special Publication 800-50 - -

The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors):

- - a. -

As part of initial training for new users;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events.

- AT-3 - AT-4 - PL-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - AT-2(a) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-2(b) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and

- - - AT-2(c) - - assessment-objective - EXAMINE - AT-2(c)[1] -

defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and

- - - assessment-objective - INTERVIEW - TEST - AT-2(c)[2] -

provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

appropriate codes of federal regulations

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for security awareness training

-

organizational personnel with information security responsibilities

-

organizational personnel comprising the general information system user - community

- - - - TEST - -

Automated mechanisms managing security awareness training

- - - - Insider Threat - AT-2(2) - at-02.02 - -

The organization includes security awareness training on recognizing and reporting - potential indicators of insider threat.

- - -

Potential indicators and possible precursors of insider threat can include - behaviors such as inordinate, long-term job dissatisfaction, attempts to gain - access to information not required for job performance, unexplained access to - financial resources, bullying or sexual harassment of fellow employees, workplace - violence, and other serious violations of organizational policies, procedures, - directives, rules, or practices. Security awareness training includes how to - communicate employee and management concerns regarding potential indicators of - insider threat through appropriate organizational channels in accordance with - established organizational policies and procedures.

- PL-4 - PM-12 - PS-3 - PS-6 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization includes security awareness training on recognizing - and reporting potential indicators of insider threat.

- - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel that participate in security awareness training

-

organizational personnel with responsibilities for basic security awareness - training

-

organizational personnel with information security responsibilities

- - - - - - Role-based Security Training - - - at least annually - - - AT-3 - at-03 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides role-based security training to personnel with assigned - security roles and responsibilities:

- - a. -

Before authorizing access to the information system or performing assigned - duties;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies.

- AT-2 - AT-4 - PL-4 - PS-7 - SA-3 - SA-12 - SA-16 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - AT-3(a) -

provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties;

- - - assessment-objective - EXAMINE - INTERVIEW - AT-3(b) -

provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and

- - - AT-3(c) - - assessment-objective - EXAMINE - AT-3(c)[1] -

defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and

- - - assessment-objective - INTERVIEW - TEST - AT-3(c)[2] -

provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

codes of federal regulations

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with assigned information system security roles and - responsibilities

- - - - TEST - -

Automated mechanisms managing role-based security training

- - - - - Security Training Records - - - At least one year - - - AT-4 - at-04 - -

The organization:

- - a. -

Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and

- - - b. -

Retains individual training records for .

- - - -

Documentation for specialized training may be maintained by individual supervisors at - the option of the organization.

- AT-2 - AT-3 - PM-14 - - -

Determine if the organization:

- - AT-4(a) - - assessment-objective - EXAMINE - AT-4(a)[1] -

documents individual information system security training activities - including:

- - AT-4(a)[1][a] -

basic security awareness training;

- - - AT-4(a)[1][b] -

specific role-based information system security training;

- - - - assessment-objective - INTERVIEW - TEST - AT-4(a)[2] -

monitors individual information system security training activities - including:

- - AT-4(a)[2][a] -

basic security awareness training;

- - - AT-4(a)[2][b] -

specific role-based information system security training;

- - - - - AT-4(b) - - assessment-objective - EXAMINE - AT-4(b)[1] -

defines a time period to retain individual training records; and

- - - assessment-objective - INTERVIEW - TEST - AT-4(b)[2] -

retains individual training records for the organization-defined time - period.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training records

-

security awareness and training records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security training record retention - responsibilities

- - - - TEST - -

Automated mechanisms supporting management of security training records

- - - - - - Audit and Accountability - - Audit and Accountability Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - AU-1 - au-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Audit and accountability policy ; and

- - - 2. -

Audit and accountability procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AU-1(a) - - AU-1(a)(1) - - assessment-objective - EXAMINE - AU-1(a)(1)[1] -

develops and documents an audit and accountability policy that - addresses:

- - AU-1(a)(1)[1][a] -

purpose;

- - - AU-1(a)(1)[1][b] -

scope;

- - - AU-1(a)(1)[1][c] -

roles;

- - - AU-1(a)(1)[1][d] -

responsibilities;

- - - AU-1(a)(1)[1][e] -

management commitment;

- - - AU-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AU-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - AU-1(a)(1)[2] -

defines personnel or roles to whom the audit and accountability policy are - to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-1(a)(1)[3] -

disseminates the audit and accountability policy to organization-defined - personnel or roles;

- - - - AU-1(a)(2) - - assessment-objective - EXAMINE - AU-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls;

- - - assessment-objective - EXAMINE - AU-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AU-1(b) - - AU-1(b)(1) - - assessment-objective - EXAMINE - AU-1(b)(1)[1] -

defines the frequency to review and update the current audit and - accountability policy;

- - - assessment-objective - EXAMINE - AU-1(b)(1)[2] -

reviews and updates the current audit and accountability policy with the - organization-defined frequency;

- - - - AU-1(b)(2) - - assessment-objective - EXAMINE - AU-1(b)(2)[1] -

defines the frequency to review and update the current audit and - accountability procedures; and

- - - assessment-objective - EXAMINE - AU-1(b)(2)[2] -

reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency.

- - - - - - EXAMINE - -

Audit and accountability policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - - Audit Events - - - successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - - organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - - - AU-2 - au-02 - NIST Special Publication 800-92 - http://idmanagement.gov - -

The organization:

- - a. -

Determines that the information system is capable of auditing the following - events: ;

- - - b. -

Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - c. -

Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and

- - - d. -

Determines that the following events are to be audited within the information - system: .

- - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - -

An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures.

- AC-6 - AC-17 - AU-3 - AU-12 - MA-4 - MP-2 - MP-4 - SI-4 - - -

Determine if the organization:

- - AU-2(a) - - assessment-objective - EXAMINE - AU-2(a)[1] -

defines the auditable events that the information system must be capable of - auditing;

- - - assessment-objective - INTERVIEW - TEST - AU-2(a)[2] -

determines that the information system is capable of auditing - organization-defined auditable events;

- - - - assessment-objective - EXAMINE - INTERVIEW - AU-2(b) -

coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - assessment-objective - EXAMINE - AU-2(c) -

provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents;

- - - AU-2(d) - - assessment-objective - EXAMINE - AU-2(d)[1] -

defines the subset of auditable events defined in AU-2a that are to be audited - within the information system;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-2(d)[2] -

determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and

- - - assessment-objective - EXAMINE - INTERVIEW - AU-2(d)[3] -

determines the frequency of (or situation requiring) auditing for each - identified event.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system auditable events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing

- - - - Reviews and Updates - - - annually or whenever there is a change in the threat environment - - - AU-2(3) - au-02.03 - -

The organization reviews and updates the audited events .

- - AU-2 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

- - - - -

Over time, the events that organizations believe should be audited may change. - Reviewing and updating the set of audited events periodically is necessary to - ensure that the current set is still necessary and sufficient.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - AU-2(3)[1] -

defines the frequency to review and update the audited events; and

- - - assessment-objective - INTERVIEW - TEST - AU-2(3)[2] -

reviews and updates the auditable events with organization-defined - frequency.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

list of organization-defined auditable events

-

auditable events review and update records

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting review and update of auditable events

- - - - - - Content of Audit Records - AU-3 - au-03 - -

The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event.

- - -

Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred).

- AU-2 - AU-8 - AU-12 - SI-11 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system generates audit records containing information - that establishes:

- - AU-3[1] -

what type of event occurred;

- - - AU-3[2] -

when the event occurred;

- - - AU-3[3] -

where the event occurred;

- - - AU-3[4] -

the source of the event;

- - - AU-3[5] -

the outcome of the event; and

- - - AU-3[6] -

the identity of any individuals or subjects associated with the event.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing of auditable - events

- - - - Additional Audit Information - - - session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon - - AU-3(1) - au-03.01 - -

The information system generates audit records containing the following additional - information: .

- - AU-3 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines audit record types [FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]. The audit record types are approved and accepted by the JAB/AO.

- - - Guidance: -

For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

- - - - -

Detailed information that organizations may consider in audit records includes, - for example, full text recording of privileged commands or the individual - identities of group account users. Organizations consider limiting the additional - audit information to only that information explicitly needed for specific audit - requirements. This facilitates the use of audit trails and audit logs by not - including information that could potentially be misleading or could make it more - difficult to locate information of interest.

- - -

Determine if:

- - assessment-objective - EXAMINE - AU-3(1)[1] -

the organization defines additional, more detailed information to be contained - in audit records that the information system generates; and

- - - assessment-objective - INTERVIEW - TEST - AU-3(1)[2] -

the information system generates audit records containing the - organization-defined additional, more detailed information.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system audit capability

- - - - - - Audit Storage Capacity - - - - AU-4 - au-04 - -

The organization allocates audit record storage capacity in accordance with .

- - -

Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability.

- AU-2 - AU-5 - AU-6 - AU-7 - AU-11 - SI-4 - - -

Determine if the organization:

- - AU-4[1] -

defines audit record storage requirements; and

- - - assessment-objective - INTERVIEW - TEST - AU-4[2] -

allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit storage capacity

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit record storage requirements

-

audit record storage capability for information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Audit record storage capacity and related configuration settings

- - - - - Response to Audit Processing Failures - - - - - - organization-defined actions to be taken (overwrite oldest record) - - AU-5 - au-05 - -

The information system:

- - a. -

Alerts in the event of an audit processing - failure; and

- - - b. -

Takes the following additional actions: .

- - - -

Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both.

- AU-4 - SI-12 - - -

Determine if:

- - AU-5(a) - - assessment-objective - EXAMINE - AU-5(a)[1] -

the organization defines the personnel or roles to be alerted in the event of - an audit processing failure;

- - - assessment-objective - INTERVIEW - TEST - AU-5(a)[2] -

the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure;

- - - - AU-5(b) - - assessment-objective - EXAMINE - AU-5(b)[1] -

the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and

- - - assessment-objective - INTERVIEW - TEST - AU-5(b)[2] -

the information system takes the additional organization-defined actions in the - event of an audit processing failure.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

list of personnel to be notified in case of an audit processing failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing information system response to audit processing - failures

- - - - - Audit Review, Analysis, and Reporting - - - at least weekly - - - - - - - - - AU-6 - au-06 - -

The organization:

- - a. -

Reviews and analyzes information system audit records for indications of ; - and

- - - b. -

Reports findings to .

- - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority.

- AC-2 - AC-3 - AC-6 - AC-17 - AT-3 - AU-7 - AU-16 - CA-7 - CM-5 - CM-10 - CM-11 - IA-3 - IA-5 - IR-5 - IR-6 - MA-4 - MP-4 - PE-3 - PE-6 - PE-14 - PE-16 - RA-5 - SC-7 - SC-18 - SC-19 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - AU-6(a) - - assessment-objective - EXAMINE - AU-6(a)[1] -

defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed;

- - - assessment-objective - EXAMINE - AU-6(a)[2] -

defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-6(a)[3] -

reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency;

- - - - AU-6(b) - - assessment-objective - EXAMINE - AU-6(b)[1] -

defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and

- - - assessment-objective - EXAMINE - INTERVIEW - AU-6(b)[2] -

reports findings to organization-defined personnel or roles.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

reports of audit findings

-

records of actions taken in response to reviews/analyses of audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - Process Integration - AU-6(1) - au-06.01 - -

The organization employs automated mechanisms to integrate audit review, analysis, - and reporting processes to support organizational processes for investigation and - response to suspicious activities.

- - -

Organizational processes benefiting from integrated audit review, analysis, and - reporting include, for example, incident response, continuous monitoring, - contingency planning, and Inspector General audits.

- AU-12 - PM-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - AU-6(1)[1] -

employs automated mechanisms to integrate:

- - AU-6(1)[1][a] -

audit review;

- - - AU-6(1)[1][b] -

analysis;

- - - AU-6(1)[1][c] -

reporting processes;

- - - - assessment-objective - EXAMINE - INTERVIEW - AU-6(1)[2] -

uses integrated audit review, analysis and reporting processes to support - organizational processes for:

- - AU-6(1)[2][a] -

investigation of suspicious activities; and

- - - AU-6(1)[2][b] -

response to suspicious activities.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

procedures addressing investigation and response to suspicious activities

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms integrating audit review, analysis, and reporting - processes

- - - - - Correlate Audit Repositories - AU-6(3) - au-06.03 - -

The organization analyzes and correlates audit records across different - repositories to gain organization-wide situational awareness.

- - -

Organization-wide situational awareness includes awareness across all three tiers - of risk management (i.e., organizational, mission/business process, and - information system) and supports cross-organization awareness.

- AU-12 - IR-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization analyzes and correlates audit records across - different repositories to gain organization-wide situational awareness.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records across different repositories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting analysis and correlation of audit records

- - - - - - Audit Reduction and Report Generation - AU-7 - au-07 - -

The information system provides an audit reduction and report generation capability - that:

- - a. -

Supports on-demand audit review, analysis, and reporting requirements and - after-the-fact investigations of security incidents; and

- - - b. -

Does not alter the original content or time ordering of audit records.

- - - -

Audit reduction is a process that manipulates collected audit information and - organizes such information in a summary format that is more meaningful to analysts. - Audit reduction and report generation capabilities do not always emanate from the - same information system or from the same organizational entities conducting auditing - activities. Audit reduction capability can include, for example, modern data mining - techniques with advanced data filters to identify anomalous behavior in audit - records. The report generation capability provided by the information system can - generate customizable reports. Time ordering of audit records can be a significant - issue if the granularity of the timestamp in the record is insufficient.

- AU-6 - - -

Determine if the information system provides an audit reduction and report generation - capability that supports:

- - assessment-objective - EXAMINE - INTERVIEW - AU-7(a) - - AU-7(a)[1] -

on-demand audit review;

- - - AU-7(a)[2] -

analysis;

- - - AU-7(a)[3] -

reporting requirements;

- - - AU-7(a)[4] -

after-the-fact investigations of security incidents; and

- - - - assessment-objective - INTERVIEW - TEST - AU-7(b) -

does not alter the original content or time ordering of audit records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Audit reduction and report generation capability

- - - - Automatic Processing - - - - AU-7(1) - au-07.01 - -

The information system provides the capability to process audit records for events - of interest based on .

- - -

Events of interest can be identified by the content of specific audit record - fields including, for example, identities of individuals, event types, event - locations, event times, event dates, system resources involved, IP addresses - involved, or information objects accessed. Organizations may define audit event - criteria to any degree of granularity required, for example, locations selectable - by general networking location (e.g., by network or subnetwork) or selectable by - specific information system component.

- AU-2 - AU-12 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-7(1)[1] -

the organization defines audit fields within audit records in order to process - audit records for events of interest; and

- - - assessment-objective - INTERVIEW - TEST - AU-7(1)[2] -

the information system provides the capability to process audit records for - events of interest based on the organization-defined audit fields within audit - records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

audit record criteria (fields) establishing events of interest

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Audit reduction and report generation capability

- - - - - - Time Stamps - - - - AU-8 - au-08 - -

The information system:

- - a. -

Uses internal system clocks to generate time stamps for audit records; and

- - - b. -

Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets .

- - - -

Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities.

- AU-3 - AU-12 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - AU-8(a) -

the information system uses internal system clocks to generate time stamps for - audit records;

- - - AU-8(b) - - assessment-objective - INTERVIEW - TEST - AU-8(b)[1] -

the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

- - - assessment-objective - EXAMINE - AU-8(b)[2] -

the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and

- - - assessment-objective - INTERVIEW - TEST - AU-8(b)[3] -

the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing time stamp generation

- - - - Synchronization with Authoritative Time Source - - - At least hourly - - - - http://tf.nist.gov/tf-cgi/servers.cgi - - - - - - AU-8(1) - au-08.01 - -

The information system:

- - (a) -

Compares the internal information system clocks with ; and

- - - (b) -

Synchronizes the internal system clocks to the authoritative time source when - the time difference is greater than .

- - - AU-8 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.

- - - Requirement: -

The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.

- - - Guidance: -

Synchronization of system clocks improves the accuracy of log analysis.

- - - - -

This control enhancement provides uniformity of time stamps for information - systems with multiple system clocks and systems connected over a network.

- - -

Determine if:

- - AU-8(1)(a) - - assessment-objective - EXAMINE - AU-8(1)(a)[1] -

the organization defines the authoritative time source to which internal - information system clocks are to be compared;

- - - assessment-objective - EXAMINE - AU-8(1)(a)[2] -

the organization defines the frequency to compare the internal information - system clocks with the organization-defined authoritative time source; - and

- - - assessment-objective - INTERVIEW - TEST - AU-8(1)(a)[3] -

the information system compares the internal information system clocks with - the organization-defined authoritative time source with organization-defined - frequency; and

- - AU-8(1)(a) - - - AU-8(1)(b) - - assessment-objective - EXAMINE - AU-8(1)(b)[1] -

the organization defines the time period that, if exceeded by the time - difference between the internal system clocks and the authoritative time - source, will result in the internal system clocks being synchronized to the - authoritative time source; and

- - - assessment-objective - INTERVIEW - TEST - AU-8(1)(b)[2] -

the information system synchronizes the internal information system clocks - to the authoritative time source when the time difference is greater than - the organization-defined time period.

- - AU-8(1)(b) - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing internal information system clock - synchronization

- - - - - - Protection of Audit Information - AU-9 - au-09 - -

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

- - -

Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls.

- AC-3 - AC-6 - MP-2 - MP-4 - PE-2 - PE-3 - PE-6 - - -

Determine if:

- - AU-9[1] -

the information system protects audit information from unauthorized:

- - AU-9[1][a] -

access;

- - - AU-9[1][b] -

modification;

- - - AU-9[1][c] -

deletion;

- - - - AU-9[2] -

the information system protects audit tools from unauthorized:

- - AU-9[2][a] -

access;

- - - AU-9[2][b] -

modification; and

- - - AU-9[2][c] -

deletion.

- - - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - information system audit records

-

audit tools

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit information protection

- - - - Audit Backup On Separate Physical Systems / Components - - - at least weekly - - - AU-9(2) - au-09.02 - -

The information system backs up audit records - onto a physically different system or system component than the system or - component being audited.

- - -

This control enhancement helps to ensure that a compromise of the information - system being audited does not also result in a compromise of the audit - records.

- AU-4 - AU-5 - AU-11 - - -

Determine if:

- - assessment-objective - EXAMINE - AU-9(2)[1] -

the organization defines the frequency to back up audit records onto a - physically different system or system component than the system or component - being audited; and

- - - assessment-objective - INTERVIEW - TEST - AU-9(2)[2] -

the information system backs up audit records with the organization-defined - frequency, onto a physically different system or system component than the - system or component being audited.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, system - or media storing backups of information system audit records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing the backing up of audit records

- - - - - Access by Subset of Privileged Users - - - - AU-9(4) - au-09.04 - -

The organization authorizes access to management of audit functionality to only - .

- - -

Individuals with privileged access to an information system and who are also the - subject of an audit by that system, may affect the reliability of audit - information by inhibiting audit activities or modifying audit records. This - control enhancement requires that privileged access be further defined between - audit-related privileges and other privileges, thus limiting the users with - audit-related privileges.

- AC-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - AU-9(4)[1] -

defines a subset of privileged users to be authorized access to management of - audit functionality; and

- - - assessment-objective - INTERVIEW - TEST - AU-9(4)[2] -

authorizes access to management of audit functionality to only the - organization-defined subset of privileged users.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - system-generated list of privileged users with access to management of audit - functionality

-

access authorizations

-

access control list

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms managing access to audit functionality

- - - - - - Audit Record Retention - - - at least ninety days - - - AU-11 - au-11 - -

The organization retains audit records for to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements.

- - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention.

- AU-4 - AU-5 - AU-9 - MP-6 - - -

Determine if the organization:

- - AU-11[1] -

defines a time period to retain audit records that is consistent with records - retention policy;

- - - assessment-objective - EXAMINE - INTERVIEW - AU-11[2] -

retains audit records for the organization-defined time period consistent with - records retention policy to:

- - AU-11[2][a] -

provide support for after-the-fact investigations of security incidents; - and

- - - AU-11[2][b] -

meet regulatory and organizational information retention requirements.

- - - - - EXAMINE - -

Audit and accountability policy

-

audit record retention policy and procedures

-

security plan

-

organization-defined retention period for audit records

-

audit record archives

-

audit logs

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record retention responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Audit Generation - - - all information system and network components where audit capability is deployed/available - - - - - AU-12 - au-12 - -

The information system:

- - a. -

Provides audit record generation capability for the auditable events defined in - AU-2 a. at ;

- - - b. -

Allows to select which auditable events are to be - audited by specific components of the information system; and

- - - c. -

Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3.

- - - -

Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records.

- AC-3 - AU-2 - AU-3 - AU-6 - AU-7 - - -

Determine if:

- - AU-12(a) - - assessment-objective - EXAMINE - AU-12(a)[1] -

the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a;

- - - assessment-objective - INTERVIEW - TEST - AU-12(a)[2] -

the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components;

- - - - AU-12(b) - - assessment-objective - EXAMINE - AU-12(b)[1] -

the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system;

- - - assessment-objective - INTERVIEW - TEST - AU-12(b)[2] -

the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and

- - - - assessment-objective - TEST - AU-12(c) -

the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - - Security Assessment and Authorization - - Security Assessment and Authorization Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - CA-1 - ca-01 - NIST Special Publication 800-12 - NIST Special Publication 800-37 - NIST Special Publication 800-53A - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security assessment and authorization policy ; - and

- - - 2. -

Security assessment and authorization procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CA-1(a) - - CA-1(a)(1) - - assessment-objective - EXAMINE - CA-1(a)(1)[1] -

develops and documents a security assessment and authorization policy that - addresses:

- - CA-1(a)(1)[1][a] -

purpose;

- - - CA-1(a)(1)[1][b] -

scope;

- - - CA-1(a)(1)[1][c] -

roles;

- - - CA-1(a)(1)[1][d] -

responsibilities;

- - - CA-1(a)(1)[1][e] -

management commitment;

- - - CA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CA-1(a)(1)[2] -

defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-1(a)(1)[3] -

disseminates the security assessment and authorization policy to - organization-defined personnel or roles;

- - - - CA-1(a)(2) - - assessment-objective - EXAMINE - CA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls;

- - - assessment-objective - EXAMINE - CA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CA-1(b) - - CA-1(b)(1) - - assessment-objective - EXAMINE - CA-1(b)(1)[1] -

defines the frequency to review and update the current security assessment - and authorization policy;

- - - assessment-objective - EXAMINE - CA-1(b)(1)[2] -

reviews and updates the current security assessment and authorization policy - with the organization-defined frequency;

- - - - CA-1(b)(2) - - assessment-objective - EXAMINE - CA-1(b)(2)[1] -

defines the frequency to review and update the current security assessment - and authorization procedures; and

- - - assessment-objective - EXAMINE - CA-1(b)(2)[2] -

reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Security assessment and authorization policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment and authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Assessments - - - at least annually - - - - individuals or roles to include FedRAMP PMO - - - CA-2 - ca-02 - Executive Order 13587 - FIPS Publication 199 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Develops a security assessment plan that describes the scope of the assessment - including:

- - 1. -

Security controls and control enhancements under assessment;

- - - 2. -

Assessment procedures to be used to determine security control effectiveness; - and

- - - 3. -

Assessment environment, assessment team, and assessment roles and - responsibilities;

- - - - b. -

Assesses the security controls in the information system and its environment of - operation to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements;

- - - c. -

Produces a security assessment report that documents the results of the - assessment; and

- - - d. -

Provides the results of the security control assessment to .

- - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - -

Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control.

- CA-5 - CA-6 - CA-7 - PM-9 - RA-5 - SA-11 - SA-12 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(a) -

develops a security assessment plan that describes the scope of the assessment - including:

- - CA-2(a)(1) -

security controls and control enhancements under assessment;

- - - CA-2(a)(2) -

assessment procedures to be used to determine security control - effectiveness;

- - - CA-2(a)(3) - - CA-2(a)(3)[1] -

assessment environment;

- - - CA-2(a)(3)[2] -

assessment team;

- - - CA-2(a)(3)[3] -

assessment roles and responsibilities;

- - - - - CA-2(b) - - assessment-objective - EXAMINE - CA-2(b)[1] -

defines the frequency to assess the security controls in the information system - and its environment of operation;

- - - assessment-objective - INTERVIEW - TEST - CA-2(b)[2] -

assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements;

- - - - assessment-objective - TEST - CA-2(c) -

produces a security assessment report that documents the results of the - assessment;

- - - CA-2(d) - - assessment-objective - EXAMINE - CA-2(d)[1] -

defines individuals or roles to whom the results of the security control - assessment are to be provided; and

- - - assessment-objective - INTERVIEW - TEST - CA-2(d)[2] -

provides the results of the security control assessment to organization-defined - individuals or roles.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessment planning

-

procedures addressing security assessments

-

security assessment plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting

- - - - Independent Assessors - - - - CA-2(1) - ca-02.01 - -

The organization employs assessors or assessment teams with to conduct security control assessments.

- - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - -

Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(1)[1] -

defines the level of independence to be employed to conduct security control - assessments; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-2(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Specialized Assessments - - - at least annually - - - - - - - - CA-2(2) - ca-02.02 - -

The organization includes as part of security control assessments, , , .

- - CA-2 (2) Additional FedRAMP Requirements and Guidance - - Requirement: -

To include 'announced', 'vulnerability scanning'

- - - - -

Organizations can employ information system monitoring, insider threat - assessments, malicious user testing, and other forms of testing (e.g., - verification and validation) to improve readiness by exercising organizational - capabilities and indicating current performance levels as a means of focusing - actions to improve security. Organizations conduct assessment activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - regulations, and standards. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. Organizations can - incorporate vulnerabilities uncovered during assessments into vulnerability - remediation processes.

- PE-3 - SI-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(2)[1] -

selects one or more of the following forms of specialized security assessment - to be included as part of security control assessments:

- - CA-2(2)[1][a] -

in-depth monitoring;

- - - CA-2(2)[1][b] -

vulnerability scanning;

- - - CA-2(2)[1][c] -

malicious user testing;

- - - CA-2(2)[1][d] -

insider threat assessment;

- - - CA-2(2)[1][e] -

performance/load testing; and/or

- - - CA-2(2)[1][f] -

other forms of organization-defined specialized security assessment;

- - - - assessment-objective - EXAMINE - CA-2(2)[2] -

defines the frequency for conducting the selected form(s) of specialized - security assessment;

- - - assessment-objective - EXAMINE - CA-2(2)[3] -

defines whether the specialized security assessment will be announced or - unannounced; and

- - - assessment-objective - INTERVIEW - TEST - CA-2(2)[4] -

conducts announced or unannounced organization-defined forms of specialized - security assessments with the organization-defined frequency as part of - security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security control assessment

- - - - - External Organizations - - - any FedRAMP Accredited 3PAO - - - - any FedRAMP Accredited 3PAO - - - - the conditions of the JAB/AO in the FedRAMP Repository - - CA-2(3) - ca-02.03 - -

The organization accepts the results of an assessment of performed by when - the assessment meets .

- - -

Organizations may often rely on assessments of specific information systems by - other (external) organizations. Utilizing such existing assessments (i.e., reusing - existing assessment evidence) can significantly decrease the time and resources - required for organizational assessments by limiting the amount of independent - assessment activities that organizations need to perform. The factors that - organizations may consider in determining whether to accept assessment results - from external organizations can vary. Determinations for accepting assessment - results can be based on, for example, past assessment experiences one organization - has had with another organization, the reputation that organizations have with - regard to assessments, the level of detail of supporting assessment documentation - provided, or mandates imposed upon organizations by federal legislation, policies, - or directives.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-2(3)[1] -

defines an information system for which the results of a security assessment - performed by an external organization are to be accepted;

- - - assessment-objective - EXAMINE - CA-2(3)[2] -

defines an external organization from which to accept a security assessment - performed on an organization-defined information system;

- - - assessment-objective - EXAMINE - CA-2(3)[3] -

defines the requirements to be met by a security assessment performed by - organization-defined external organization on organization-defined information - system; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-2(3)[4] -

accepts the results of an assessment of an organization-defined information - system performed by an organization-defined external organization when the - assessment meets organization-defined requirements.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security plan

-

security assessment requirements

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

-

personnel performing security assessments for the specified external - organization

- - - - - - System Interconnections - - - at least annually and on input from FedRAMP - - - CA-3 - ca-03 - FIPS Publication 199 - NIST Special Publication 800-47 - -

The organization:

- - a. -

Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - b. -

Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and

- - - c. -

Reviews and updates Interconnection Security Agreements .

- - - -

This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls.

- AC-3 - AC-4 - AC-20 - AU-2 - AU-12 - AU-16 - CA-7 - IA-3 - SA-9 - SC-7 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-3(a) -

authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - assessment-objective - EXAMINE - CA-3(b) -

documents, for each interconnection:

- - CA-3(b)[1] -

the interface characteristics;

- - - CA-3(b)[2] -

the security requirements;

- - - CA-3(b)[3] -

the nature of the information communicated;

- - - - CA-3(c) - - assessment-objective - EXAMINE - CA-3(c)[1] -

defines the frequency to review and update Interconnection Security Agreements; - and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-3(c)[2] -

reviews and updates Interconnection Security Agreements with the - organization-defined frequency.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system Interconnection Security Agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements

-

organizational personnel with information security responsibilities

-

personnel managing the system(s) to which the Interconnection Security Agreement - applies

- - - - Unclassified Non-national Security System Connections - - - - - - Boundary Protections which meet the Trusted Internet Connection (TIC) requirements - - CA-3(3) - ca-03.03 - -

The organization prohibits the direct connection of an to an external network without the use of .

- - CA-3 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document.

- - - - -

Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between unclassified non-national - security systems and external networks. This control enhancement is required for - organizations processing, storing, or transmitting Controlled Unclassified - Information (CUI).

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-3(3)[1] -

defines an unclassified, non-national security system whose direct connection - to an external network is to be prohibited without the use of approved boundary - protection device;

- - - assessment-objective - EXAMINE - CA-3(3)[2] -

defines a boundary protection device to be used to establish the direct - connection of an organization-defined unclassified, non-national security - system to an external network; and

- - - assessment-objective - INTERVIEW - TEST - CA-3(3)[3] -

prohibits the direct connection of an organization-defined unclassified, - non-national security system to an external network without the use of an - organization-defined boundary protection device.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection security agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing direct connections to - external networks

-

network administrators

-

organizational personnel with information security responsibilities

-

personnel managing directly connected external networks

- - - - TEST - -

Automated mechanisms supporting the management of external network - connections

- - - - - Restrictions On External System Connections - - - - - - CA-3(5) - ca-03.05 - -

The organization employs policy for allowing - to connect to external information - systems.

- - CA-3 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

- - - - -

Organizations can constrain information system connectivity to external domains - (e.g., websites) by employing one of two policies with regard to such - connectivity: (i) allow-all, deny by exception, also known as blacklisting (the - weaker of the two policies); or (ii) deny-all, allow by exception, also known as - whitelisting (the stronger of the two policies). For either policy, organizations - determine what exceptions, if any, are acceptable.

- CM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-3(5)[1] -

defines information systems to be allowed to connect to external information - systems;

- - - assessment-objective - INTERVIEW - TEST - CA-3(5)[2] -

employs one of the following policies for allowing organization-defined - information systems to connect to external information systems:

- - CA-3(5)[2][a] -

allow-all policy;

- - - CA-3(5)[2][b] -

deny-by-exception policy;

- - - CA-3(5)[2][c] -

deny-all policy; or

- - - CA-3(5)[2][d] -

permit-by-exception policy.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing connections to - external information systems

-

network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on external system - connections

- - - - - - Plan of Action and Milestones - - - at least monthly - - - CA-5 - ca-05 - OMB Memorandum 02-01 - NIST Special Publication 800-37 - -

The organization:

- - a. -

Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and

- - - b. -

Updates existing plan of action and milestones - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities.

- - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - -

Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB.

- CA-2 - CA-7 - CM-4 - PM-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CA-5(a) -

develops a plan of action and milestones for the information system to:

- - CA-5(a)[1] -

document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls;

- - - CA-5(a)[2] -

reduce or eliminate known vulnerabilities in the system;

- - - - CA-5(b) - - assessment-objective - EXAMINE - CA-5(b)[1] -

defines the frequency to update the existing plan of action and milestones;

- - - assessment-objective - INTERVIEW - TEST - CA-5(b)[2] -

updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from:

- - CA-5(b)[2][a] -

security controls assessments;

- - - CA-5(b)[2][b] -

security impact analyses; and

- - - CA-5(b)[2][c] -

continuous monitoring activities.

- - - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing plan of action and milestones

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with plan of action and milestones development and - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones

- - - - - Security Authorization - - - at least every three (3) years or when a significant change occurs - - CA-6 - ca-06 - OMB Circular A-130 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - b. -

Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and

- - - c. -

Updates the security authorization .

- - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions.

- CA-2 - CA-7 - PM-9 - PM-10 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-6(a) -

assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - assessment-objective - INTERVIEW - TEST - CA-6(b) -

ensures that the authorizing official authorizes the information system for - processing before commencing operations;

- - - CA-6(c) - - assessment-objective - EXAMINE - CA-6(c)[1] -

defines the frequency to update the security authorization; and

- - - assessment-objective - INTERVIEW - TEST - CA-6(c)[2] -

updates the security authorization with the organization-defined frequency.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security authorization

-

security authorization package (including security plan

-

security assessment report

-

plan of action and milestones

-

authorization statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security authorization responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that facilitate security authorizations and updates

- - - - - Continuous Monitoring - - - - - - - - - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - CA-7 - ca-07 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - US-CERT Technical Cyber Security Alerts - DoD Information Assurance Vulnerability Alerts - -

The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes:

- - a. -

Establishment of to be monitored;

- - - b. -

Establishment of for monitoring and for assessments supporting such monitoring;

- - - c. -

Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy;

- - - d. -

Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy;

- - - e. -

Correlation and analysis of security-related information generated by assessments - and monitoring;

- - - f. -

Response actions to address results of the analysis of security-related - information; and

- - - g. -

Reporting the security status of organization and the information system to - - .

- - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - -

Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems.

- CA-2 - CA-5 - CA-6 - CM-3 - CM-4 - PM-6 - PM-9 - RA-5 - SA-11 - SA-12 - SI-2 - SI-4 - - -

Determine if the organization:

- - CA-7(a) - - assessment-objective - EXAMINE - CA-7(a)[1] -

develops a continuous monitoring strategy that defines metrics to be - monitored;

- - - assessment-objective - EXAMINE - CA-7(a)[2] -

develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics;

- - - assessment-objective - INTERVIEW - TEST - CA-7(a)[3] -

implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy;

- - - - CA-7(b) - - assessment-objective - EXAMINE - CA-7(b)[1] -

develops a continuous monitoring strategy that defines frequencies for - monitoring;

- - - assessment-objective - EXAMINE - CA-7(b)[2] -

defines frequencies for assessments supporting monitoring;

- - - assessment-objective - EXAMINE - CA-7(b)[3] -

develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring;

- - - assessment-objective - INTERVIEW - TEST - CA-7(b)[4] -

implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(c) - - assessment-objective - EXAMINE - CA-7(c)[1] -

develops a continuous monitoring strategy that includes ongoing security - control assessments;

- - - assessment-objective - INTERVIEW - TEST - CA-7(c)[2] -

implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(d) - - assessment-objective - EXAMINE - CA-7(d)[1] -

develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics;

- - - assessment-objective - INTERVIEW - TEST - CA-7(d)[2] -

implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy;

- - - - CA-7(e) - - assessment-objective - EXAMINE - CA-7(e)[1] -

develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring;

- - - assessment-objective - INTERVIEW - TEST - CA-7(e)[2] -

implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(f) - - assessment-objective - EXAMINE - CA-7(f)[1] -

develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information;

- - - assessment-objective - INTERVIEW - TEST - CA-7(f)[2] -

implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy;

- - - - CA-7(g) - - assessment-objective - EXAMINE - CA-7(g)[1] -

develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported;

- - - assessment-objective - EXAMINE - CA-7(g)[2] -

develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles;

- - - assessment-objective - EXAMINE - CA-7(g)[3] -

develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - CA-7(g)[4] -

implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

procedures addressing configuration management

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

configuration management records, security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Mechanisms implementing continuous monitoring

- - - - Independent Assessment - - - - CA-7(1) - ca-07.01 - -

The organization employs assessors or assessment teams with to monitor the security controls in the information - system on an ongoing basis.

- - -

Organizations can maximize the value of assessments of security controls during - the continuous monitoring process by requiring that such assessments be conducted - by assessors or assessment teams with appropriate levels of independence based on - continuous monitoring strategies. Assessor independence provides a degree of - impartiality to the monitoring process. To achieve such impartiality, assessors - should not: (i) create a mutual or conflicting interest with the organizations - where the assessments are being conducted; (ii) assess their own work; (iii) act - as management or employees of the organizations they are serving; or (iv) place - themselves in advocacy positions for the organizations acquiring their - services.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CA-7(1)[1] -

defines a level of independence to be employed to monitor the security controls - in the information system on an ongoing basis; and

- - - assessment-objective - EXAMINE - INTERVIEW - CA-7(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to monitor the security controls in the information system on an - ongoing basis.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Penetration Testing - - - at least annually - - - - - - CA-8 - ca-08 - -

The organization conducts penetration testing on - .

- - CA-8 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance https://www.FedRAMP.gov/documents/ -

- - - - -

Penetration testing is a specialized type of assessment conducted on information - systems or individual system components to identify vulnerabilities that could be - exploited by adversaries. Such testing can be used to either validate vulnerabilities - or determine the degree of resistance organizational information systems have to - adversaries within a set of specified constraints (e.g., time, resources, and/or - skills). Penetration testing attempts to duplicate the actions of adversaries in - carrying out hostile cyber attacks against organizations and provides a more in-depth - analysis of security-related weaknesses/deficiencies. Organizations can also use the - results of vulnerability analyses to support penetration testing activities. - Penetration testing can be conducted on the hardware, software, or firmware - components of an information system and can exercise both physical and technical - security controls. A standard method for penetration testing includes, for example: - (i) pretest analysis based on full knowledge of the target system; (ii) pretest - identification of potential vulnerabilities based on pretest analysis; and (iii) - testing designed to determine exploitability of identified vulnerabilities. All - parties agree to the rules of engagement before the commencement of penetration - testing scenarios. Organizations correlate the penetration testing rules of - engagement with the tools, techniques, and procedures that are anticipated to be - employed by adversaries carrying out attacks. Organizational risk assessments guide - decisions on the level of independence required for personnel conducting penetration - testing.

- SA-12 - - -

Determine if the organization:

- - CA-8[1] -

defines information systems or system components on which penetration testing is - to be conducted;

- - - CA-8[2] -

defines the frequency to conduct penetration testing on organization-defined - information systems or system components; and

- - - assessment-objective - INTERVIEW - TEST - CA-8[3] -

conducts penetration testing on organization-defined information systems or system - components with the organization-defined frequency.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

security plan

-

security assessment plan

-

penetration test report

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities, - system/network administrators

- - - - TEST - -

Automated mechanisms supporting penetration testing

- - - - Independent Penetration Agent or Team - CA-8(1) - ca-08.01 - -

The organization employs an independent penetration agent or penetration team to - perform penetration testing on the information system or system components.

- - -

Independent penetration agents or teams are individuals or groups who conduct - impartial penetration testing of organizational information systems. Impartiality - implies that penetration agents or teams are free from any perceived or actual - conflicts of interest with regard to the development, operation, or management of - the information systems that are the targets of the penetration testing. - Supplemental guidance for CA-2 (1) provides additional information regarding - independent assessments that can be applied to penetration testing.

- CA-2 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization employs an independent penetration agent or - penetration team to perform penetration testing on the information system or - system components.

- - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

security plan

-

security assessment plan

-

penetration test report

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Internal System Connections - - - - - CA-9 - ca-09 - -

The organization:

- - a. -

Authorizes internal connections of to the - information system; and

- - - b. -

Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated.

- - - -

This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration.

- AC-3 - AC-4 - AC-18 - AC-19 - AU-2 - AU-12 - CA-7 - CM-2 - IA-3 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-9(a) - - assessment-objective - EXAMINE - CA-9(a)[1] -

defines information system components or classes of components to be authorized - as internal connections to the information system;

- - - assessment-objective - EXAMINE - INTERVIEW - CA-9(a)[2] -

authorizes internal connections of organization-defined information system - components or classes of components to the information system;

- - - - assessment-objective - EXAMINE - CA-9(b) -

documents, for each internal connection:

- - CA-9(b)[1] -

the interface characteristics;

- - - CA-9(b)[2] -

the security requirements; and

- - - CA-9(b)[3] -

the nature of the information communicated.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of components or classes of components authorized as internal system - connections

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections

-

organizational personnel with information security responsibilities

- - - - - - Configuration Management - - Configuration Management Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - CM-1 - cm-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Configuration management policy ; and

- - - 2. -

Configuration management procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CM-1(a) - - assessment-objective - EXAMINE - CM-1(a)(1) - - CM-1(a)(1)[1] -

develops and documents a configuration management policy that addresses:

- - CM-1(a)(1)[1][a] -

purpose;

- - - CM-1(a)(1)[1][b] -

scope;

- - - CM-1(a)(1)[1][c] -

roles;

- - - CM-1(a)(1)[1][d] -

responsibilities;

- - - CM-1(a)(1)[1][e] -

management commitment;

- - - CM-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CM-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CM-1(a)(1)[2] -

defines personnel or roles to whom the configuration management policy is to - be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-1(a)(1)[3] -

disseminates the configuration management policy to organization-defined - personnel or roles;

- - - - CM-1(a)(2) - - assessment-objective - EXAMINE - CM-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls;

- - - assessment-objective - EXAMINE - CM-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CM-1(b) - - CM-1(b)(1) - - assessment-objective - EXAMINE - CM-1(b)(1)[1] -

defines the frequency to review and update the current configuration - management policy;

- - - assessment-objective - EXAMINE - CM-1(b)(1)[2] -

reviews and updates the current configuration management policy with the - organization-defined frequency;

- - - - CM-1(b)(2) - - assessment-objective - EXAMINE - CM-1(b)(2)[1] -

defines the frequency to review and update the current configuration - management procedures; and

- - - assessment-objective - EXAMINE - CM-1(b)(2)[2] -

reviews and updates the current configuration management procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Configuration management policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Baseline Configuration - CM-2 - cm-02 - NIST Special Publication 800-128 - -

The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system.

- - -

This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture.

- CM-3 - CM-6 - CM-8 - CM-9 - SA-10 - PM-5 - PM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - CM-2[1] -

develops and documents a current baseline configuration of the information system; - and

- - - assessment-objective - INTERVIEW - TEST - CM-2[2] -

maintains, under configuration control, a current baseline configuration of the - information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

enterprise architecture documentation

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting configuration control of the baseline - configuration

- - - - Reviews and Updates - - - at least annually or when a significant change occurs - - - - to include when directed by the JAB - - - CM-2(1) - cm-02.01 - -

The organization reviews and updates the baseline configuration of the information - system:

- - (a) -

- ;

- - - (b) -

When required due to ; and

- - - (c) -

As an integral part of information system component installations and - upgrades.

- - - - CM-5 - - -

Determine if the organization:

- - CM-2(1)(a) - - assessment-objective - EXAMINE - CM-2(1)(a)[1] -

defines the frequency to review and update the baseline configuration of the - information system;

- - - assessment-objective - INTERVIEW - TEST - CM-2(1)(a)[2] -

reviews and updates the baseline configuration of the information system - with the organization-defined frequency;

- - CM-2(1)(a) - - - CM-2(1)(b) - - assessment-objective - EXAMINE - CM-2(1)(b)[1] -

defines circumstances that require the baseline configuration of the - information system to be reviewed and updated;

- - - assessment-objective - INTERVIEW - TEST - CM-2(1)(b)[2] -

reviews and updates the baseline configuration of the information system - when required due to organization-defined circumstances; and

- - CM-2(1)(b) - - - assessment-objective - INTERVIEW - TEST - CM-2(1)(c) -

reviews and updates the baseline configuration of the information system as an - integral part of information system component installations and upgrades.

- CM-2(1)(c) - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing the baseline configuration of the information system

-

procedures addressing information system component installations and - upgrades

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of information system baseline configuration reviews and updates

-

information system component installations/upgrades and associated records

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting review and update of the baseline - configuration

- - - - - Automation Support for Accuracy / Currency - CM-2(2) - cm-02.02 - -

The organization employs automated mechanisms to maintain an up-to-date, complete, - accurate, and readily available baseline configuration of the information - system.

- - -

Automated mechanisms that help organizations maintain consistent baseline - configurations for information systems include, for example, hardware and software - inventory tools, configuration management tools, and network management tools. - Such tools can be deployed and/or allocated as common controls, at the information - system level, or at the operating system or component level (e.g., on - workstations, servers, notebook computers, network components, or mobile devices). - Tools can be used, for example, to track version numbers on operating system - applications, types of software installed, and current patch levels. This control - enhancement can be satisfied by the implementation of CM-8 (2) for organizations - that choose to combine information system component inventory and baseline - configuration activities.

- CM-7 - RA-5 - - -

Determine if the organization employs automated mechanisms to maintain:

- - assessment-objective - INTERVIEW - TEST - CM-2(2)[1] -

an up-to-date baseline configuration of the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-2(2)[2] -

a complete baseline configuration of the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-2(2)[3] -

an accurate baseline configuration of the information system; and

- - - assessment-objective - INTERVIEW - TEST - CM-2(2)[4] -

a readily available baseline configuration of the information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

configuration change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms implementing baseline configuration maintenance

- - - - - Retention of Previous Configurations - - - - CM-2(3) - cm-02.03 - -

The organization retains to support - rollback.

- - -

Retaining previous versions of baseline configurations to support rollback may - include, for example, hardware, software, firmware, configuration files, and - configuration records.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-2(3)[1] -

defines previous versions of baseline configurations of the information system - to be retained to support rollback; and

- - - assessment-objective - INTERVIEW - TEST - CM-2(3)[2] -

retains organization-defined previous versions of baseline configurations of - the information system to support rollback.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

copies of previous baseline configuration versions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

- - - - - Configure Systems, Components, or Devices for High-risk Areas - - - - - - - - - - CM-2(7) - cm-02.07 - -

The organization:

- - (a) -

Issues with - to individuals traveling to locations that the organization deems to be of - significant risk; and

- - - (b) -

Applies to the devices when the individuals - return.

- - - -

When it is known that information systems, system components, or devices (e.g., - notebook computers, mobile devices) will be located in high-risk areas, additional - security controls may be implemented to counter the greater threat in such areas - coupled with the lack of physical security relative to organizational-controlled - areas. For example, organizational policies and procedures for notebook computers - used by individuals departing on and returning from travel include, for example, - determining which locations are of concern, defining required configurations for - the devices, ensuring that the devices are configured as intended before travel is - initiated, and applying specific safeguards to the device after travel is - completed. Specially configured notebook computers include, for example, computers - with sanitized hard drives, limited applications, and additional hardening (e.g., - more stringent configuration settings). Specified safeguards applied to mobile - devices upon return from travel include, for example, examining the device for - signs of physical tampering and purging/reimaging the hard disk drive. Protecting - information residing on mobile devices is covered in the media protection - family.

- - -

Determine if the organization:

- - CM-2(7)(a) - - assessment-objective - EXAMINE - CM-2(7)(a)[1] -

defines information systems, system components, or devices to be issued to - individuals traveling to locations that the organization deems to be of - significant risk;

- - - assessment-objective - EXAMINE - CM-2(7)(a)[2] -

defines configurations to be employed on organization-defined information - systems, system components, or devices issued to individuals traveling to - such locations;

- - - assessment-objective - INTERVIEW - TEST - CM-2(7)(a)[3] -

issues organization-defined information systems, system components, or - devices with organization-defined configurations to individuals traveling to - locations that the organization deems to be of significant risk;

- - CM-2(7)(a) - - - CM-2(7)(b) - - assessment-objective - EXAMINE - CM-2(7)(b)[1] -

defines security safeguards to be applied to the devices when the - individuals return; and

- - - assessment-objective - INTERVIEW - TEST - CM-2(7)(b)[2] -

applies organization-defined safeguards to the devices when the individuals - return.

- - CM-2(7)(b) - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing the baseline configuration of the information system

-

procedures addressing information system component installations and - upgrades

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of information system baseline configuration reviews and updates

-

information system component installations/upgrades and associated records

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

- - - - - - Configuration Change Control - - - - - - - - - - - - - - - CM-3 - cm-03 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Determines the types of changes to the information system that are - configuration-controlled;

- - - b. -

Reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses;

- - - c. -

Documents configuration change decisions associated with the information - system;

- - - d. -

Implements approved configuration-controlled changes to the information - system;

- - - e. -

Retains records of configuration-controlled changes to the information system for - ;

- - - f. -

Audits and reviews activities associated with configuration-controlled changes to - the information system; and

- - - g. -

Coordinates and provides oversight for configuration change control activities - through that convenes .

- - - CM-3 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - (e) Guidance: -

In accordance with record retention policies and procedures.

- - - - -

Configuration change controls for organizational information systems involve the - systematic proposal, justification, implementation, testing, review, and disposition - of changes to the systems, including system upgrades and modifications. Configuration - change control includes changes to baseline configurations for components and - configuration items of information systems, changes to configuration settings for - information technology products (e.g., operating systems, applications, firewalls, - routers, and mobile devices), unscheduled/unauthorized changes, and changes to - remediate vulnerabilities. Typical processes for managing configuration changes to - information systems include, for example, Configuration Control Boards that approve - proposed changes to systems. For new development information systems or systems - undergoing major upgrades, organizations consider including representatives from - development organizations on the Configuration Control Boards. Auditing of changes - includes activities before and after changes are made to organizational information - systems and the auditing activities required to implement such changes.

- CA-7 - CM-2 - CM-4 - CM-5 - CM-6 - CM-9 - SA-10 - SI-2 - SI-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-3(a) -

determines the type of changes to the information system that must be - configuration-controlled;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-3(b) -

reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-3(c) -

documents configuration change decisions associated with the information - system;

- - - assessment-objective - INTERVIEW - TEST - CM-3(d) -

implements approved configuration-controlled changes to the information - system;

- - - CM-3(e) - - assessment-objective - EXAMINE - CM-3(e)[1] -

defines a time period to retain records of configuration-controlled changes to - the information system;

- - - assessment-objective - INTERVIEW - TEST - CM-3(e)[2] -

retains records of configuration-controlled changes to the information system - for the organization-defined time period;

- - - - assessment-objective - INTERVIEW - TEST - CM-3(f) -

audits and reviews activities associated with configuration-controlled changes to - the information system;

- - - CM-3(g) - - assessment-objective - EXAMINE - CM-3(g)[1] -

defines a configuration change control element (e.g., committee, board) - responsible for coordinating and providing oversight for configuration change - control activities;

- - - assessment-objective - EXAMINE - CM-3(g)[2] -

defines the frequency with which the configuration change control element must - convene; and/or

- - - assessment-objective - EXAMINE - CM-3(g)[3] -

defines configuration change conditions that prompt the configuration change - control element to convene; and

- - - assessment-objective - INTERVIEW - TEST - CM-3(g)[4] -

coordinates and provides oversight for configuration change control activities - through organization-defined configuration change control element that convenes - at organization-defined frequency and/or for any organization-defined - configuration change conditions.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

information system architecture and configuration documentation

-

security plan

-

change control records

-

information system audit records

-

change control audit and review reports

-

agenda /minutes from configuration change control oversight meetings

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

members of change control board or similar

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms that implement configuration change control

- - - - - Security Impact Analysis - CM-4 - cm-04 - NIST Special Publication 800-128 - -

The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation.

- - -

Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems.

- CA-2 - CA-7 - CM-3 - CM-9 - SA-4 - SA-5 - SA-10 - SI-2 - - -

Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

- - - - - Access Restrictions for Change - CM-5 - cm-05 - -

The organization defines, documents, approves, and enforces physical and logical - access restrictions associated with changes to the information system.

- - -

Any changes to the hardware, software, and/or firmware components of information - systems can potentially have significant effects on the overall security of the - systems. Therefore, organizations permit only qualified and authorized individuals to - access information systems for purposes of initiating changes, including upgrades and - modifications. Organizations maintain records of access to ensure that configuration - change control is implemented and to support after-the-fact actions should - organizations discover any unauthorized changes. Access restrictions for change also - include software libraries. Access restrictions include, for example, physical and - logical access controls (see AC-3 and PE-3), workflow automation, media libraries, - abstract layers (e.g., changes implemented into third-party interfaces rather than - directly into information systems), and change windows (e.g., changes occur only - during specified times, making unauthorized changes easy to discover).

- AC-3 - AC-6 - PE-3 - - -

Determine if the organization:

- - CM-5[1] -

defines physical access restrictions associated with changes to the information - system;

- - - CM-5[2] -

documents physical access restrictions associated with changes to the information - system;

- - - CM-5[3] -

approves physical access restrictions associated with changes to the information - system;

- - - CM-5[4] -

enforces physical access restrictions associated with changes to the information - system;

- - - CM-5[5] -

defines logical access restrictions associated with changes to the information - system;

- - - CM-5[6] -

documents logical access restrictions associated with changes to the information - system;

- - - assessment-objective - INTERVIEW - TEST - CM-5[7] -

approves logical access restrictions associated with changes to the information - system; and

- - - assessment-objective - INTERVIEW - TEST - CM-5[8] -

enforces logical access restrictions associated with changes to the information - system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

logical access approvals

-

physical access approvals

-

access credentials

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with logical access control responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting/implementing/enforcing access restrictions - associated with changes to the information system

- - - - Automated Access Enforcement / Auditing - CM-5(1) - cm-05.01 - -

The information system enforces access restrictions and supports auditing of the - enforcement actions.

- - - AU-2 - AU-12 - AU-6 - CM-3 - CM-6 - - -

Determine if the information system:

- - assessment-objective - INTERVIEW - TEST - CM-5(1)[1] -

enforces access restrictions for change; and

- - - assessment-objective - INTERVIEW - TEST - CM-5(1)[2] -

supports auditing of the enforcement actions.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms implementing enforcement of access restrictions for - changes to the information system

-

automated mechanisms supporting auditing of enforcement actions

- - - - - Signed Components - - - - CM-5(3) - cm-05.03 - -

The information system prevents the installation of without verification that the component has been - digitally signed using a certificate that is recognized and approved by the - organization.

- - CM-5 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Software and firmware components prevented from installation unless signed with - recognized and approved certificates include, for example, software and firmware - version updates, patches, service packs, device drivers, and basic input output - system (BIOS) updates. Organizations can identify applicable software and firmware - components by type, by specific items, or a combination of both. Digital - signatures and organizational verification of such signatures, is a method of code - authentication.

- CM-7 - SC-13 - SI-7 - - -

Determine if:

- - assessment-objective - EXAMINE - CM-5(3)[1] -

the organization defines software and firmware components that the information - system will prevent from being installed without verification that such - components have been digitally signed using a certificate that is recognized - and approved by the organization; and

- - - assessment-objective - INTERVIEW - TEST - CM-5(3)[2] -

the information system prevents the installation of organization-defined - software and firmware components without verification that such components have - been digitally signed using a certificate that is recognized and approved by - the organization.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

list of software and firmware components to be prohibited from installation - without a recognized and approved certificate

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms preventing installation of software and firmware - components not signed with an organization-recognized and approved - certificate

- - - - - Limit Production / Operational Privileges - - - at least quarterly - - - CM-5(5) - cm-05.05 - -

The organization:

- - (a) -

Limits privileges to change information system components and system-related - information within a production or operational environment; and

- - - (b) -

Reviews and reevaluates privileges .

- - - -

In many organizations, information systems support multiple core missions/business - functions. Limiting privileges to change information system components with - respect to operational systems is necessary because changes to a particular - information system component may have far-reaching effects on mission/business - processes supported by the system where the component resides. The complex, - many-to-many relationships between systems and mission/business processes are in - some cases, unknown to developers.

- AC-2 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - CM-5(5)(a) -

limits privileges to change information system components and system-related - information within a production or operational environment;

- CM-5(5)(a) - - - CM-5(5)(b) - - assessment-objective - EXAMINE - CM-5(5)(b)[1] -

defines the frequency to review and reevaluate privileges; and

- - - assessment-objective - EXAMINE - CM-5(5)(b)[2] -

reviews and reevaluates privileges with the organization-defined - frequency.

- - CM-5(5)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

user privilege reviews

-

user privilege recertifications

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting and/or implementing access restrictions for - change

- - - - - - Configuration Settings - - - -

See CM-6(a) Additional FedRAMP Requirements and Guidance

- - - - - - - - - - CM-6 - cm-06 - OMB Memorandum 07-11 - OMB Memorandum 07-18 - OMB Memorandum 08-22 - NIST Special Publication 800-70 - NIST Special Publication 800-128 - http://nvd.nist.gov - http://checklists.nist.gov - http://www.nsa.gov - -

The organization:

- - a. -

Establishes and documents configuration settings for information technology - products employed within the information system using that reflect the most restrictive mode consistent with - operational requirements;

- - - b. -

Implements the configuration settings;

- - - c. -

Identifies, documents, and approves any deviations from established configuration - settings for based on ; and

- - - d. -

Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - -

Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems.

- AC-19 - CM-2 - CM-3 - CM-7 - SI-4 - - -

Determine if the organization:

- - CM-6(a) - - assessment-objective - EXAMINE - CM-6(a)[1] -

defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed;

- - - assessment-objective - EXAMINE - INTERVIEW - CM-6(a)[2] -

ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements;

- - - assessment-objective - INTERVIEW - TEST - CM-6(a)[3] -

establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(b) -

implements the configuration settings established/documented in CM-6(a);;

- - - CM-6(c) - - assessment-objective - EXAMINE - CM-6(c)[1] -

defines information system components for which any deviations from established - configuration settings must be:

- - CM-6(c)[1][a] -

identified;

- - - CM-6(c)[1][b] -

documented;

- - - CM-6(c)[1][c] -

approved;

- - - - assessment-objective - EXAMINE - CM-6(c)[2] -

defines operational requirements to support:

- - CM-6(c)[2][a] -

the identification of any deviations from established configuration - settings;

- - - CM-6(c)[2][b] -

the documentation of any deviations from established configuration - settings;

- - - CM-6(c)[2][c] -

the approval of any deviations from established configuration settings;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(c)[3] -

identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - assessment-objective - EXAMINE - CM-6(c)[4] -

documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - assessment-objective - INTERVIEW - TEST - CM-6(c)[5] -

approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - - CM-6(d) - - assessment-objective - EXAMINE - CM-6(d)[1] -

monitors changes to the configuration settings in accordance with - organizational policies and procedures; and

- - - assessment-objective - TEST - CM-6(d)[2] -

controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

evidence supporting approved deviations from established configuration - settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms that implement, monitor, and/or control information system - configuration settings

-

automated mechanisms that identify and/or document deviations from established - configuration settings

- - - - Automated Central Management / Application / Verification - - - - CM-6(1) - cm-06.01 - -

The organization employs automated mechanisms to centrally manage, apply, and - verify configuration settings for .

- - - CA-7 - CM-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-6(1)[1] -

defines information system components for which automated mechanisms are to be - employed to:

- - CM-6(1)[1][a] -

centrally manage configuration settings of such components;

- - - CM-6(1)[1][b] -

apply configuration settings of such components;

- - - CM-6(1)[1][c] -

verify configuration settings of such components;

- - - - assessment-objective - INTERVIEW - TEST - CM-6(1)[2] -

employs automated mechanisms to:

- - CM-6(1)[2][a] -

centrally manage configuration settings for organization-defined information - system components;

- - - CM-6(1)[2][b] -

apply configuration settings for organization-defined information system - components; and

- - - CM-6(1)[2][c] -

verify configuration settings for organization-defined information system - components.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms implemented to centrally manage, apply, and verify - information system configuration settings

- - - - - - Least Functionality - - - United States Government Configuration Baseline (USGCB) - - CM-7 - cm-07 - DoD Instruction 8551.01 - -

The organization:

- - a. -

Configures the information system to provide only essential capabilities; and

- - - b. -

Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: .

- - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. Partially derived from AC-17(8).

- - - - -

Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services.

- AC-6 - CM-2 - RA-5 - SA-5 - SC-7 - - -

Determine if the organization:

- - assessment-objective - TEST - CM-7(a) -

configures the information system to provide only essential capabilities;

- - - CM-7(b) - - assessment-objective - EXAMINE - CM-7(b)[1] -

defines prohibited or restricted:

- - CM-7(b)[1][a] -

functions;

- - - CM-7(b)[1][b] -

ports;

- - - CM-7(b)[1][c] -

protocols; and/or

- - - CM-7(b)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(b)[2] -

prohibits or restricts the use of organization-defined:

- - CM-7(b)[2][a] -

functions;

- - - CM-7(b)[2][b] -

ports;

- - - CM-7(b)[2][c] -

protocols; and/or

- - - CM-7(b)[2][d] -

services.

- - - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing least functionality in the information system

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services

-

automated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services

- - - - Periodic Review - - - at least monthly - - - - - - CM-7(1) - cm-07.01 - -

The organization:

- - (a) -

Reviews the information system to identify - unnecessary and/or nonsecure functions, ports, protocols, and services; and

- - - (b) -

Disables .

- - - -

The organization can either make a determination of the relative security of the - function, port, protocol, and/or service or base the security decision on the - assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are - examples of less than secure protocols.

- AC-18 - CM-7 - IA-2 - - -

Determine if the organization:

- - CM-7(1)(a) - - assessment-objective - EXAMINE - CM-7(1)(a)[1] -

defines the frequency to review the information system to identify - unnecessary and/or nonsecure:

- - CM-7(1)(a)[1][a] -

functions;

- - - CM-7(1)(a)[1][b] -

ports;

- - - CM-7(1)(a)[1][c] -

protocols; and/or

- - - CM-7(1)(a)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(1)(a)[2] -

reviews the information system with the organization-defined frequency to - identify unnecessary and/or nonsecure:

- - CM-7(1)(a)[2][a] -

functions;

- - - CM-7(1)(a)[2][b] -

ports;

- - - CM-7(1)(a)[2][c] -

protocols; and/or

- - - CM-7(1)(a)[2][d] -

services;

- - - CM-7(1)(a) - - - CM-7(1)(b) - - assessment-objective - EXAMINE - CM-7(1)(b)[1] -

defines, within the information system, unnecessary and/or nonsecure:

- - CM-7(1)(b)[1][a] -

functions;

- - - CM-7(1)(b)[1][b] -

ports;

- - - CM-7(1)(b)[1][c] -

protocols; and/or

- - - CM-7(1)(b)[1][d] -

services;

- - - - assessment-objective - INTERVIEW - TEST - CM-7(1)(b)[2] -

disables organization-defined unnecessary and/or nonsecure:

- - CM-7(1)(b)[2][a] -

functions;

- - - CM-7(1)(b)[2][b] -

ports;

- - - CM-7(1)(b)[2][c] -

protocols; and/or

- - - CM-7(1)(b)[2][d] -

services.

- - - CM-7(1)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

documented reviews of functions, ports, protocols, and/or services

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing functions, ports, - protocols, and services on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for reviewing/disabling nonsecure functions, ports, - protocols, and/or services

-

automated mechanisms implementing review and disabling of nonsecure functions, - ports, protocols, and/or services

- - - - - Prevent Program Execution - - - - - CM-7(2) - cm-07.02 - -

The information system prevents program execution in accordance with .

- - CM-7 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - CM-8 - PM-5 - - -

Determine if:

- - assessment-objective - EXAMINE - CM-7(2)[1] -

the organization defines policies regarding software program usage and - restrictions;

- - - assessment-objective - INTERVIEW - TEST - CM-7(2)[2] -

the information system prevents program execution in accordance with one or - more of the following:

- - CM-7(2)[2][a] -

organization-defined policies regarding program usage and restrictions; - and/or

- - - CM-7(2)[2][b] -

rules authorizing the terms and conditions of software program usage.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

specifications for preventing software program execution

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes preventing program execution on the information - system

-

organizational processes for software program usage and restrictions

-

automated mechanisms preventing program execution on the information system

-

automated mechanisms supporting and/or implementing software program usage and - restrictions

- - - - - Authorized Software / Whitelisting - - - - - - at least Annually or when there is a change - - - CM-7(5) - cm-07.05 - -

The organization:

- - (a) -

Identifies ;

- - - (b) -

Employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; and

- - - (c) -

Reviews and updates the list of authorized software programs .

- - - -

The process used to identify software programs that are authorized to execute on - organizational information systems is commonly referred to as whitelisting. In - addition to whitelisting, organizations consider verifying the integrity of - white-listed software programs using, for example, cryptographic checksums, - digital signatures, or hash functions. Verification of white-listed software can - occur either prior to execution or at system startup.

- CM-2 - CM-6 - CM-8 - PM-5 - SA-10 - SC-34 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-7(5)(a) -

Identifies/defines software programs authorized to execute on the information - system;

- CM-7(5)(a) - - - assessment-objective - INTERVIEW - TEST - CM-7(5)(b) -

employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system;

- CM-7(5)(b) - - - CM-7(5)(c) - - assessment-objective - EXAMINE - CM-7(5)(c)[1] -

defines the frequency to review and update the list of authorized software - programs on the information system; and

- - - assessment-objective - INTERVIEW - TEST - CM-7(5)(c)[2] -

reviews and updates the list of authorized software programs with the - organization-defined frequency.

- - CM-7(5)(c) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of software programs authorized to execute on the information system

-

security configuration checklists

-

review and update records associated with list of authorized software - programs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for identifying software - authorized to execute on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for identifying, reviewing, and updating programs - authorized to execute on the information system

-

organizational process for implementing whitelisting

-

automated mechanisms implementing whitelisting

- - - - - - Information System Component Inventory - - - - - - at least monthly - - - CM-8 - cm-08 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Develops and documents an inventory of information system components that:

- - 1. -

Accurately reflects the current information system;

- - - 2. -

Includes all components within the authorization boundary of the information - system;

- - - 3. -

Is at the level of granularity deemed necessary for tracking and reporting; - and

- - - 4. -

Includes ; and

- - - - b. -

Reviews and updates the information system component inventory .

- - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - -

Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location.

- CM-2 - CM-6 - PM-5 - - -

Determine if the organization:

- - CM-8(a) - - assessment-objective - EXAMINE - CM-8(a)(1) -

develops and documents an inventory of information system components that - accurately reflects the current information system;

- - - assessment-objective - EXAMINE - CM-8(a)(2) -

develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system;

- - - assessment-objective - EXAMINE - CM-8(a)(3) -

develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting;

- - - CM-8(a)(4) - - assessment-objective - EXAMINE - CM-8(a)(4)[1] -

defines the information deemed necessary to achieve effective information - system component accountability;

- - - assessment-objective - EXAMINE - CM-8(a)(4)[2] -

develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability;

- - - - - CM-8(b) - - assessment-objective - EXAMINE - CM-8(b)[1] -

defines the frequency to review and update the information system component - inventory; and

- - - assessment-objective - INTERVIEW - TEST - CM-8(b)[2] -

reviews and updates the information system component inventory with the - organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system component - inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting an inventory of - information system components

-

automated mechanisms supporting and/or implementing the information system - component inventory

- - - - Updates During Installations / Removals - CM-8(1) - cm-08.01 - -

The organization updates the inventory of information system components as an - integral part of component installations, removals, and information system - updates.

- - -

Determine if the organization updates the inventory of information system - components as an integral part of:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - CM-8(1)[1] -

component installations;

- - - CM-8(1)[2] -

component removals; and

- - - CM-8(1)[3] -

information system updates.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

component installation records

-

component removal records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for updating the information - system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for updating inventory of information system - components

-

automated mechanisms implementing updating of the information system component - inventory

- - - - - Automated Unauthorized Component Detection - - - Continuously, using automated mechanisms with a maximum five-minute delay in detection - - - - - - - CM-8(3) - cm-08.03 - -

The organization:

- - (a) -

Employs automated mechanisms to detect the - presence of unauthorized hardware, software, and firmware components within the - information system; and

- - - (b) -

Takes the following actions when unauthorized components are detected: .

- - - -

This control enhancement is applied in addition to the monitoring for unauthorized - remote connections and mobile devices. Monitoring for unauthorized system - components may be accomplished on an ongoing basis or by the periodic scanning of - systems for that purpose. Automated mechanisms can be implemented within - information systems or in other separate devices. Isolation can be achieved, for - example, by placing unauthorized information system components in separate domains - or subnets or otherwise quarantining such components. This type of component - isolation is commonly referred to as sandboxing.

- AC-17 - AC-18 - AC-19 - CA-7 - SI-3 - SI-4 - SI-7 - RA-5 - - -

Determine if the organization:

- - CM-8(3)(a) - - assessment-objective - EXAMINE - CM-8(3)(a)[1] -

defines the frequency to employ automated mechanisms to detect the presence - of unauthorized:

- - CM-8(3)(a)[1][a] -

hardware components within the information system;

- - - CM-8(3)(a)[1][b] -

software components within the information system;

- - - CM-8(3)(a)[1][c] -

firmware components within the information system;

- - - - assessment-objective - INTERVIEW - TEST - CM-8(3)(a)[2] -

employs automated mechanisms with the organization-defined frequency to - detect the presence of unauthorized:

- - CM-8(3)(a)[2][a] -

hardware components within the information system;

- - - CM-8(3)(a)[2][b] -

software components within the information system;

- - - CM-8(3)(a)[2][c] -

firmware components within the information system;

- - - CM-8(3)(a) - - - CM-8(3)(b) - - assessment-objective - EXAMINE - CM-8(3)(b)[1] -

defines personnel or roles to be notified when unauthorized components are - detected;

- - - assessment-objective - INTERVIEW - TEST - CM-8(3)(b)[2] -

takes one or more of the following actions when unauthorized components are - detected:

- - CM-8(3)(b)[2][a] -

disables network access by such components;

- - - CM-8(3)(b)[2][b] -

isolates the components; and/or

- - - CM-8(3)(b)[2][c] -

notifies organization-defined personnel or roles.

- - - CM-8(3)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

alerts/notifications of unauthorized components within the information - system

-

information system monitoring records

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the automated - mechanisms implementing unauthorized information system component detection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for detection of unauthorized information system - components

-

automated mechanisms implementing the detection of unauthorized information - system components

- - - - - No Duplicate Accounting of Components - CM-8(5) - cm-08.05 - -

The organization verifies that all components within the authorization boundary of - the information system are not duplicated in other information system component - inventories.

- - -

This control enhancement addresses the potential problem of duplicate accounting - of information system components in large or complex interconnected systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization verifies that all components within the - authorization boundary of the information system are not duplicated in other - information system inventories.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system inventory responsibilities

-

organizational personnel with responsibilities for defining information system - components within the authorization boundary of the system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - - Configuration Management Plan - - CM-9 - cm-09 - NIST Special Publication 800-128 - -

The organization develops, documents, and implements a configuration management plan - for the information system that:

- - a. -

Addresses roles, responsibilities, and configuration management processes and - procedures;

- - - b. -

Establishes a process for identifying configuration items throughout the system - development life cycle and for managing the configuration of the configuration - items;

- - - c. -

Defines the configuration items for the information system and places the - configuration items under configuration management; and

- - - d. -

Protects the configuration management plan from unauthorized disclosure and - modification.

- - - -

Configuration management plans satisfy the requirements in configuration management - policies while being tailored to individual information systems. Such plans define - detailed processes and procedures for how configuration management is used to support - system development life cycle activities at the information system level. - Configuration management plans are typically developed during the - development/acquisition phase of the system development life cycle. The plans - describe how to move changes through change management processes, how to update - configuration settings and baselines, how to maintain information system component - inventories, how to control development, test, and operational environments, and how - to develop, release, and update key documents. Organizations can employ templates to - help ensure consistent and timely development and implementation of configuration - management plans. Such templates can represent a master configuration management plan - for the organization at large with subsets of the plan implemented on a system by - system basis. Configuration management approval processes include designation of key - management stakeholders responsible for reviewing and approving proposed changes to - information systems, and personnel that conduct security impact analyses prior to the - implementation of changes to the systems. Configuration items are the information - system items (hardware, software, firmware, and documentation) to be - configuration-managed. As information systems continue through the system development - life cycle, new configuration items may be identified and some existing configuration - items may no longer need to be under configuration control.

- CM-2 - CM-3 - CM-4 - CM-5 - CM-8 - SA-10 - - -

Determine if the organization develops, documents, and implements a configuration - management plan for the information system that:

- - assessment-objective - EXAMINE - CM-9(a) - - CM-9(a)[1] -

addresses roles;

- - - CM-9(a)[2] -

addresses responsibilities;

- - - CM-9(a)[3] -

addresses configuration management processes and procedures;

- - - - assessment-objective - EXAMINE - CM-9(b) -

establishes a process for:

- - CM-9(b)[1] -

identifying configuration items throughout the SDLC;

- - - CM-9(b)[2] -

managing the configuration of the configuration items;

- - - - CM-9(c) - - assessment-objective - EXAMINE - CM-9(c)[1] -

defines the configuration items for the information system;

- - - assessment-objective - EXAMINE - CM-9(c)[2] -

places the configuration items under configuration management;

- - - - assessment-objective - INTERVIEW - TEST - CM-9(d) -

protects the configuration management plan from unauthorized:

- - CM-9(d)[1] -

disclosure; and

- - - CM-9(d)[2] -

modification.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration management planning

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for developing the configuration - management plan

-

organizational personnel with responsibilities for implementing and managing - processes defined in the configuration management plan

-

organizational personnel with responsibilities for protecting the configuration - management plan

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting the configuration - management plan

-

organizational processes for identifying and managing configuration items

-

organizational processes for protecting the configuration management plan

-

automated mechanisms implementing the configuration management plan

-

automated mechanisms for managing configuration items

-

automated mechanisms for protecting the configuration management plan

- - - - - Software Usage Restrictions - CM-10 - cm-10 - -

The organization:

- - a. -

Uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - b. -

Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - c. -

Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - -

Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs.

- AC-17 - CM-8 - SC-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - CM-10(a) -

uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - assessment-objective - EXAMINE - CM-10(b) -

tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - assessment-objective - INTERVIEW - TEST - CM-10(c) -

controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing software usage restrictions

-

configuration management plan

-

security plan

-

software contract agreements and copyright laws

-

site license documentation

-

list of software usage restrictions

-

software license tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with software license management responsibilities

- - - - TEST - -

Organizational process for tracking the use of software protected by quantity - licenses

-

organization process for controlling/documenting the use of peer-to-peer file - sharing technology

-

automated mechanisms implementing software license tracking

-

automated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology

- - - - Open Source Software - - - - CM-10(1) - cm-10.01 - -

The organization establishes the following restrictions on the use of open source - software: .

- - -

Open source software refers to software that is available in source code form. - Certain software rights normally reserved for copyright holders are routinely - provided under software license agreements that permit individuals to study, - change, and improve the software. From a security perspective, the major advantage - of open source software is that it provides organizations with the ability to - examine the source code. However, there are also various licensing issues - associated with open source software including, for example, the constraints on - derivative use of such software.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CM-10(1)[1] -

defines restrictions on the use of open source software; and

- - - assessment-objective - INTERVIEW - TEST - CM-10(1)[2] -

establishes organization-defined restrictions on the use of open source - software.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing restrictions on use of open source software

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for establishing and enforcing - restrictions on use of open source software

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for restricting the use of open source software

-

automated mechanisms implementing restrictions on the use of open source - software

- - - - - - User-installed Software - - - - - - - - - Continuously (via CM-7 (5)) - - CM-11 - cm-11 - -

The organization:

- - a. -

Establishes governing the installation of - software by users;

- - - b. -

Enforces software installation policies through ; - and

- - - c. -

Monitors policy compliance at .

- - - -

If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both.

- AC-3 - CM-2 - CM-3 - CM-5 - CM-6 - CM-7 - PL-4 - - -

Determine if the organization:

- - CM-11(a) - - assessment-objective - EXAMINE - CM-11(a)[1] -

defines policies to govern the installation of software by users;

- - - assessment-objective - EXAMINE - CM-11(a)[2] -

establishes organization-defined policies governing the installation of - software by users;

- - - - CM-11(b) - - assessment-objective - EXAMINE - CM-11(b)[1] -

defines methods to enforce software installation policies;

- - - assessment-objective - INTERVIEW - TEST - CM-11(b)[2] -

enforces software installation policies through organization-defined - methods;

- - - - CM-11(c) - - assessment-objective - EXAMINE - CM-11(c)[1] -

defines frequency to monitor policy compliance; and

- - - assessment-objective - INTERVIEW - TEST - CM-11(c)[2] -

monitors policy compliance at organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of rules governing user installed software

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

-

continuous monitoring strategy

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel monitoring compliance with user-installed software - policy

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms enforcing rules/methods for governing the installation of - software by users

-

automated mechanisms monitoring policy compliance

- - - - - - Contingency Planning - - Contingency Planning Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - CP-1 - cp-01 - Federal Continuity Directive 1 - NIST Special Publication 800-12 - NIST Special Publication 800-34 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Contingency planning policy ; and

- - - 2. -

Contingency planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if:

- - CP-1(a) - - CP-1(a)(1) - - assessment-objective - EXAMINE - CP-1(a)(1)[1] -

the organization develops and documents a contingency planning policy that - addresses:

- - CP-1(a)(1)[1][a] -

purpose;

- - - CP-1(a)(1)[1][b] -

scope;

- - - CP-1(a)(1)[1][c] -

roles;

- - - CP-1(a)(1)[1][d] -

responsibilities;

- - - CP-1(a)(1)[1][e] -

management commitment;

- - - CP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CP-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - CP-1(a)(1)[2] -

the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-1(a)(1)[3] -

the organization disseminates the contingency planning policy to - organization-defined personnel or roles;

- - - - CP-1(a)(2) - - assessment-objective - EXAMINE - CP-1(a)(2)[1] -

the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls;

- - - assessment-objective - EXAMINE - CP-1(a)(2)[2] -

the organization defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-1(a)(2)[3] -

the organization disseminates the procedures to organization-defined - personnel or roles;

- - - - - CP-1(b) - - CP-1(b)(1) - - assessment-objective - EXAMINE - CP-1(b)(1)[1] -

the organization defines the frequency to review and update the current - contingency planning policy;

- - - assessment-objective - EXAMINE - CP-1(b)(1)[2] -

the organization reviews and updates the current contingency planning with - the organization-defined frequency;

- - - - CP-1(b)(2) - - assessment-objective - EXAMINE - CP-1(b)(2)[1] -

the organization defines the frequency to review and update the current - contingency planning procedures; and

- - - assessment-objective - EXAMINE - CP-1(b)(2)[2] -

the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Contingency planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - Contingency Plan - - - - - - - - - at least annually - - - - - - CP-2 - cp-02 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Develops a contingency plan for the information system that:

- - 1. -

Identifies essential missions and business functions and associated contingency - requirements;

- - - 2. -

Provides recovery objectives, restoration priorities, and metrics;

- - - 3. -

Addresses contingency roles, responsibilities, assigned individuals with - contact information;

- - - 4. -

Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - 5. -

Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and

- - - 6. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the contingency plan to ;

- - - c. -

Coordinates contingency planning activities with incident handling activities;

- - - d. -

Reviews the contingency plan for the information system ;

- - - e. -

Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing;

- - - f. -

Communicates contingency plan changes to ; and

- - - g. -

Protects the contingency plan from unauthorized disclosure and modification.

- - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - -

Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident.

- AC-14 - CP-6 - CP-7 - CP-8 - CP-9 - CP-10 - IR-4 - IR-8 - MP-2 - MP-4 - MP-5 - PM-8 - PM-11 - - -

Determine if the organization:

- - CP-2(a) -

develops and documents a contingency plan for the information system that:

- - assessment-objective - EXAMINE - CP-2(a)(1) -

identifies essential missions and business functions and associated contingency - requirements;

- - - assessment-objective - EXAMINE - CP-2(a)(2) - - CP-2(a)(2)[1] -

provides recovery objectives;

- - - CP-2(a)(2)[2] -

provides restoration priorities;

- - - CP-2(a)(2)[3] -

provides metrics;

- - - - assessment-objective - EXAMINE - CP-2(a)(3) - - CP-2(a)(3)[1] -

addresses contingency roles;

- - - CP-2(a)(3)[2] -

addresses contingency responsibilities;

- - - CP-2(a)(3)[3] -

addresses assigned individuals with contact information;

- - - - assessment-objective - EXAMINE - CP-2(a)(4) -

addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - assessment-objective - EXAMINE - CP-2(a)(5) -

addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented;

- - - CP-2(a)(6) - - assessment-objective - EXAMINE - CP-2(a)(6)[1] -

defines personnel or roles to review and approve the contingency plan for - the information system;

- - - assessment-objective - EXAMINE - CP-2(a)(6)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - CP-2(b) - - assessment-objective - EXAMINE - CP-2(b)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-2(b)[2] -

distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements;

- - - - assessment-objective - EXAMINE - INTERVIEW - CP-2(c) -

coordinates contingency planning activities with incident handling activities;

- - - CP-2(d) - - assessment-objective - EXAMINE - CP-2(d)[1] -

defines a frequency to review the contingency plan for the information - system;

- - - assessment-objective - EXAMINE - CP-2(d)[2] -

reviews the contingency plan with the organization-defined frequency;

- - - - CP-2(e) -

updates the contingency plan to address:

- - assessment-objective - TEST - CP-2(e)[1] -

changes to the organization, information system, or environment of - operation;

- - - assessment-objective - TEST - CP-2(e)[2] -

problems encountered during plan implementation, execution, and testing;

- - - - CP-2(f) - - assessment-objective - EXAMINE - CP-2(f)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated;

- - - assessment-objective - EXAMINE - INTERVIEW - CP-2(f)[2] -

communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and

- - - - assessment-objective - TEST - CP-2(g) -

protects the contingency plan from unauthorized disclosure and modification.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

evidence of contingency plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan development, review, update, and - protection

-

automated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan

- - - - Coordinate with Related Plans - CP-2(1) - cp-02.01 - -

The organization coordinates contingency plan development with organizational - elements responsible for related plans.

- - -

Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant - Emergency Plans.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization coordinates contingency plan development with - organizational elements responsible for related plans.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business contingency plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

cyber incident response plan

-

insider threat implementation plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

-

personnel with responsibility for related plans

- - - - - Capacity Planning - CP-2(2) - cp-02.02 - -

The organization conducts capacity planning so that necessary capacity for - information processing, telecommunications, and environmental support exists - during contingency operations.

- - -

Capacity planning is needed because different types of threats (e.g., natural - disasters, targeted cyber attacks) can result in a reduction of the available - processing, telecommunications, and support services originally intended to - support the organizational missions/business functions. Organizations may need to - anticipate degraded operations during contingency operations and factor such - degradation into capacity planning.

- - -

Determine if the organization conducts capacity planning so that necessary - capacity exists during contingency operations for:

- - assessment-objective - EXAMINE - INTERVIEW - CP-2(2)[1] -

information processing;

- - - CP-2(2)[2] -

telecommunications; and

- - - CP-2(2)[3] -

environmental support.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

capacity planning documents

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Resume Essential Missions / Business Functions - - - - CP-2(3) - cp-02.03 - -

The organization plans for the resumption of essential missions and business - functions within of contingency plan - activation.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of essential missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure.

- PE-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-2(3)[1] -

defines the time period to plan for the resumption of essential missions and - business functions as a result of contingency plan activation; and

- - - assessment-objective - INTERVIEW - TEST - CP-2(3)[2] -

plans for the resumption of essential missions and business functions within - organization-defined time period of contingency plan activation.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

business impact assessment

-

other related plans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for resumption of missions and business functions

- - - - - Identify Critical Assets - CP-2(8) - cp-02.08 - -

The organization identifies critical information system assets supporting - essential missions and business functions.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Organizations - identify critical information system assets so that additional safeguards and - countermeasures can be employed (above and beyond those safeguards and - countermeasures routinely implemented) to help ensure that organizational - missions/business functions can continue to be conducted during contingency - operations. In addition, the identification of critical information assets - facilitates the prioritization of organizational resources. Critical information - system assets include technical and operational aspects. Technical aspects - include, for example, information technology services, information system - components, information technology products, and mechanisms. Operational aspects - include, for example, procedures (manually executed operations) and personnel - (individuals operating technical safeguards and/or executing manual procedures). - Organizational program protection plans can provide assistance in identifying - critical assets.

- SA-14 - SA-15 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization identifies critical information system assets - supporting essential missions and business functions.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business impact assessment

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Contingency Training - - - ten (10) days - - - - at least annually - - - CP-3 - cp-03 - Federal Continuity Directive 1 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides contingency training to information system users consistent - with assigned roles and responsibilities:

- - a. -

Within of assuming a contingency role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan.

- AT-2 - AT-3 - CP-2 - IR-2 - - -

Determine if the organization:

- - CP-3(a) - - assessment-objective - EXAMINE - CP-3(a)[1] -

defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility;

- - - assessment-objective - INTERVIEW - TEST - CP-3(a)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility;

- - - - assessment-objective - INTERVIEW - TEST - CP-3(b) -

provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes;

- - - CP-3(c) - - assessment-objective - EXAMINE - CP-3(c)[1] -

defines the frequency for contingency training thereafter; and

- - - assessment-objective - INTERVIEW - TEST - CP-3(c)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

security plan

-

contingency training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

- - - - - Contingency Plan Testing - - - at least annually - - - - functional exercises - - - CP-4 - cp-04 - Federal Continuity Directive 1 - FIPS Publication 199 - NIST Special Publication 800-34 - NIST Special Publication 800-84 - -

The organization:

- - a. -

Tests the contingency plan for the information system using to determine the - effectiveness of the plan and the organizational readiness to execute the - plan;

- - - b. -

Reviews the contingency plan test results; and

- - - c. -

Initiates corrective actions, if needed.

- - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - -

Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions.

- CP-2 - CP-3 - IR-3 - - -

Determine if the organization:

- - CP-4(a) - - assessment-objective - EXAMINE - CP-4(a)[1] -

defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan;

- - - assessment-objective - EXAMINE - CP-4(a)[2] -

defines a frequency to test the contingency plan for the information - system;

- - - assessment-objective - TEST - CP-4(a)[3] -

tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan;

- - - - assessment-objective - INTERVIEW - TEST - CP-4(b) -

reviews the contingency plan test results; and

- - - assessment-objective - TEST - CP-4(c) -

initiates corrective actions, if needed.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

security plan

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - - Coordinate with Related Plans - CP-4(1) - cp-04.01 - -

The organization coordinates contingency plan testing with organizational elements - responsible for related plans.

- - -

Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, and Occupant Emergency Plans. This control - enhancement does not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. It does - require, however, that if such organizational elements are responsible for related - plans, organizations should coordinate with those elements.

- IR-8 - PM-8 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization coordinates contingency plan testing with - organizational elements responsible for related plans.

- - - EXAMINE - -

Contingency planning policy

-

incident response policy

-

procedures addressing contingency plan testing

-

contingency plan testing documentation

-

contingency plan

-

business continuity plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

cyber incident response plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel

-

personnel with responsibilities for related plans

-

organizational personnel with information security responsibilities

- - - - - - Alternate Storage Site - CP-6 - cp-06 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and

- - - b. -

Ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site.

- - - -

Alternate storage sites are sites that are geographically distinct from primary - storage sites. An alternate storage site maintains duplicate copies of information - and data in the event that the primary storage site is not available. Items covered - by alternate storage site agreements include, for example, environmental conditions - at alternate sites, access rules, physical and environmental protection requirements, - and coordination of delivery/retrieval of backup media. Alternate storage sites - reflect the requirements in contingency plans so that organizations can maintain - essential missions/business functions despite disruption, compromise, or failure in - organizational information systems.

- CP-2 - CP-7 - CP-9 - CP-10 - MP-4 - - -

Determine if the organization:

- - CP-6[1] -

establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and

- - - CP-6[2] -

ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site agreements

-

primary storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for storing and retrieving information system backup - information at the alternate storage site

-

automated mechanisms supporting and/or implementing storage and retrieval of - information system backup information at the alternate storage site

- - - - Separation from Primary Site - CP-6(1) - cp-06.01 - -

The organization identifies an alternate storage site that is separated from the - primary storage site to reduce susceptibility to the same threats.

- - -

Threats that affect alternate storage sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate storage sites based on the types of threats that are - of concern. For one particular type of threat (i.e., hostile cyber attack), the - degree of separation between sites is less relevant.

- RA-3 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization identifies an alternate storage site that is - separated from the primary storage site to reduce susceptibility to the same - threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

alternate storage site agreements

-

primary storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Accessibility - CP-6(3) - cp-06.03 - -

The organization identifies potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. Explicit - mitigation actions include, for example: (i) duplicating backup information at - other alternate storage sites if access problems occur at originally designated - alternate sites; or (ii) planning for physical access to retrieve backup - information if electronic accessibility to the alternate site is disrupted.

- RA-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-6(3)[1] -

identifies potential accessibility problems to the alternate storage site in - the event of an area-wide disruption or disaster; and

- - - assessment-objective - EXAMINE - INTERVIEW - CP-6(3)[2] -

outlines explicit mitigation actions for such potential accessibility problems - to the alternate storage site in the event of an area-wide disruption or - disaster.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

list of potential accessibility problems to alternate storage site

-

mitigation actions for accessibility problems to alternate storage site

-

organizational risk assessments

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Alternate Processing Site - - - - - - - - CP-7 - cp-07 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Establishes an alternate processing site including necessary agreements to permit - the transfer and resumption of for essential - missions/business functions within when the - primary processing capabilities are unavailable;

- - - b. -

Ensures that equipment and supplies required to transfer and resume operations are - available at the alternate processing site or contracts are in place to support - delivery to the site within the organization-defined time period for - transfer/resumption; and

- - - c. -

Ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site.

- - - CP-7 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - -

Alternate processing sites are sites that are geographically distinct from primary - processing sites. An alternate processing site provides processing capability in the - event that the primary processing site is not available. Items covered by alternate - processing site agreements include, for example, environmental conditions at - alternate sites, access rules, physical and environmental protection requirements, - and coordination for the transfer/assignment of personnel. Requirements are - specifically allocated to alternate processing sites that reflect the requirements in - contingency plans to maintain essential missions/business functions despite - disruption, compromise, or failure in organizational information systems.

- CP-2 - CP-6 - CP-8 - CP-9 - CP-10 - MA-6 - - -

Determine if the organization:

- - CP-7(a) - - assessment-objective - EXAMINE - CP-7(a)[1] -

defines information system operations requiring an alternate processing site to - be established to permit the transfer and resumption of such operations;

- - - assessment-objective - EXAMINE - CP-7(a)[2] -

defines the time period consistent with recovery time objectives and recovery - point objectives (as specified in the information system contingency plan) for - transfer/resumption of organization-defined information system operations for - essential missions/business functions;

- - - assessment-objective - INTERVIEW - TEST - CP-7(a)[3] -

establishes an alternate processing site including necessary agreements to - permit the transfer and resumption of organization-defined information system - operations for essential missions/business functions, within the - organization-defined time period, when the primary processing capabilities are - unavailable;

- - - - CP-7(b) - - assessment-objective - INTERVIEW - TEST - CP-7(b)[1] -

ensures that equipment and supplies required to transfer and resume operations - are available at the alternate processing site; or

- - - assessment-objective - INTERVIEW - TEST - CP-7(b)[2] -

ensures that contracts are in place to support delivery to the site within the - organization-defined time period for transfer/resumption; and

- - - - assessment-objective - INTERVIEW - TEST - CP-7(c) -

ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site agreements

-

primary processing site agreements

-

spare equipment and supplies inventory at alternate processing site

-

equipment and supply contracts

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency planning and/or - alternate site arrangements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for recovery at the alternate site

-

automated mechanisms supporting and/or implementing recovery at the alternate - processing site

- - - - Separation from Primary Site - CP-7(1) - cp-07.01 - -

The organization identifies an alternate processing site that is separated from - the primary processing site to reduce susceptibility to the same threats.

- - CP-7 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Threats that affect alternate processing sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate processing sites based on the types of threats that - are of concern. For one particular type of threat (i.e., hostile cyber attack), - the degree of separation between sites is less relevant.

- RA-3 - - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization identifies an alternate processing site that is - separated from the primary storage site to reduce susceptibility to the same - threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

primary processing site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Accessibility - CP-7(2) - cp-07.02 - -

The organization identifies potential accessibility problems to the alternate - processing site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk.

- RA-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-7(2)[1] -

identifies potential accessibility problems to the alternate processing site in - the event of an area-wide disruption or disaster; and

- - - assessment-objective - EXAMINE - INTERVIEW - CP-7(2)[2] -

outlines explicit mitigation actions for such potential accessibility problems - to the alternate processing site in the event of an area-wide disruption or - disaster.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

primary processing site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Priority of Service - CP-7(3) - cp-07.03 - -

The organization develops alternate processing site agreements that contain - priority-of-service provisions in accordance with organizational availability - requirements (including recovery time objectives).

- - -

Priority-of-service agreements refer to negotiated agreements with service - providers that ensure that organizations receive priority treatment consistent - with their availability requirements and the availability of information resources - at the alternate processing site.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization develops alternate processing site agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in the - information system contingency plan).

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site agreements

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - - - Telecommunications Services - - - - - - - CP-8 - cp-08 - NIST Special Publication 800-34 - National Communications Systems Directive 3-10 - http://www.dhs.gov/telecommunications-service-priority-tsp - -

The organization establishes alternate telecommunications services including - necessary agreements to permit the resumption of for - essential missions and business functions within when - the primary telecommunications capabilities are unavailable at either the primary or - alternate processing or storage sites.

- - CP-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - -

This control applies to telecommunications services (data and voice) for primary and - alternate processing and storage sites. Alternate telecommunications services reflect - the continuity requirements in contingency plans to maintain essential - missions/business functions despite the loss of primary telecommunications services. - Organizations may specify different time periods for primary/alternate sites. - Alternate telecommunications services include, for example, additional organizational - or commercial ground-based circuits/lines or satellites in lieu of ground-based - communications. Organizations consider factors such as availability, quality of - service, and access when entering into alternate telecommunications agreements.

- CP-2 - CP-6 - CP-7 - - -

Determine if the organization:

- - CP-8[1] -

defines information system operations requiring alternate telecommunications - services to be established to permit the resumption of such operations;

- - - CP-8[2] -

defines the time period to permit resumption of organization-defined information - system operations for essential missions and business functions; and

- - - CP-8[3] -

establishes alternate telecommunications services including necessary agreements - to permit the resumption of organization-defined information system operations for - essential missions and business functions, within the organization-defined time - period, when the primary telecommunications capabilities are unavailable at either - the primary or alternate processing or storage sites.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - TEST - -

Automated mechanisms supporting telecommunications

- - - - Priority of Service Provisions - CP-8(1) - cp-08.01 - -

The organization:

- - (a) -

Develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives); and

- - - (b) -

Requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier.

- - - -

Organizations consider the potential mission/business impact in situations where - telecommunications service providers are servicing other organizations with - similar priority-of-service provisions.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-8(1)[1] -

develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in - the information system contingency plan); and

- - - assessment-objective - INTERVIEW - TEST - CP-8(1)[2] -

requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

Telecommunications Service Priority documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - TEST - -

Automated mechanisms supporting telecommunications

- - - - - Single Points of Failure - CP-8(2) - cp-08.02 - -

The organization obtains alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization obtains alternate telecommunications services to - reduce the likelihood of sharing a single point of failure with primary - telecommunications services.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

- - - - - - Information System Backup - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - - daily incremental; weekly full - - - CP-9 - cp-09 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Conducts backups of user-level information contained in the information system - ;

- - - b. -

Conducts backups of system-level information contained in the information system - ;

- - - c. -

Conducts backups of information system documentation including security-related - documentation ; and

- - - d. -

Protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - -

System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information.

- CP-2 - CP-6 - MP-4 - MP-5 - SC-13 - - -

Determine if the organization:

- - CP-9(a) - - assessment-objective - EXAMINE - CP-9(a)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system;

- - - assessment-objective - TEST - CP-9(a)[2] -

conducts backups of user-level information contained in the information system - with the organization-defined frequency;

- - - - CP-9(b) - - assessment-objective - EXAMINE - CP-9(b)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system;

- - - assessment-objective - TEST - CP-9(b)[2] -

conducts backups of system-level information contained in the information - system with the organization-defined frequency;

- - - - CP-9(c) - - assessment-objective - EXAMINE - CP-9(c)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation;

- - - assessment-objective - TEST - CP-9(c)[2] -

conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and

- - - - assessment-objective - INTERVIEW - TEST - CP-9(d) -

protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system backups

- - - - Testing for Reliability / Integrity - - - at least annually - - - CP-9(1) - cp-09.01 - -

The organization tests backup information to - verify media reliability and information integrity.

- - - CP-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - CP-9(1)[1] -

defines the frequency to test backup information to verify media reliability - and information integrity; and

- - - assessment-objective - TEST - CP-9(1)[2] -

tests backup information with the organization-defined frequency to verify - media reliability and information integrity.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system - backups

- - - - - Separate Storage for Critical Information - - - - CP-9(3) - cp-09.03 - -

The organization stores backup copies of in a - separate facility or in a fire-rated container that is not collocated with the - operational system.

- - -

Critical information system software includes, for example, operating systems, - cryptographic key management systems, and intrusion detection/prevention systems. - Security-related information includes, for example, organizational inventories of - hardware, software, and firmware components. Alternate storage sites typically - serve as separate storage facilities for organizations.

- CM-2 - CM-8 - - -

Determine if the organization:

- - CP-9(3)[1] - - assessment-objective - EXAMINE - CP-9(3)[1][a] -

defines critical information system software and other security-related - information requiring backup copies to be stored in a separate facility; - or

- - - assessment-objective - EXAMINE - CP-9(3)[1][b] -

defines critical information system software and other security-related - information requiring backup copies to be stored in a fire-rated container - that is not collocated with the operational system; and

- - - - assessment-objective - EXAMINE - INTERVIEW - CP-9(3)[2] -

stores backup copies of organization-defined critical information system - software and other security-related information in a separate facility or in a - fire-rated container that is not collocated with the operational system.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup configurations and associated documentation

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Information System Recovery and Reconstitution - CP-10 - cp-10 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure.

- - -

Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures.

- CA-2 - CA-6 - CA-7 - CP-2 - CP-6 - CP-7 - CP-9 - SC-24 - - -

Determine if the organization provides for:

- - assessment-objective - EXAMINE - TEST - CP-10[1] -

the recovery of the information system to a known state after:

- - CP-10[1][a] -

a disruption;

- - - CP-10[1][b] -

a compromise; or

- - - CP-10[1][c] -

a failure;

- - - - CP-10[2] -

the reconstitution of the information system to a known state after:

- - CP-10[2][a] -

a disruption;

- - - CP-10[2][b] -

a compromise; or

- - - CP-10[2][c] -

a failure.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test results

-

contingency plan test documentation

-

redundant secondary system for information system backups

-

location(s) of redundant secondary backup system(s)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes implementing information system recovery and - reconstitution operations

-

automated mechanisms supporting and/or implementing information system recovery - and reconstitution operations

- - - - Transaction Recovery - CP-10(2) - cp-10.02 - -

The information system implements transaction recovery for systems that are - transaction-based.

- - -

Transaction-based information systems include, for example, database management - systems and transaction processing systems. Mechanisms supporting transaction - recovery include, for example, transaction rollback and transaction - journaling.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements transaction recovery for systems - that are transaction-based.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

contingency plan test documentation

-

contingency plan test results

-

information system transaction recovery records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for transaction recovery

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing transaction recovery - capability

- - - - - - - Identification and Authentication - - Identification and Authentication Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - IA-1 - ia-01 - FIPS Publication 201 - NIST Special Publication 800-12 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Identification and authentication policy ; - and

- - - 2. -

Identification and authentication procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IA-1(a) - - IA-1(a)(1) - - assessment-objective - EXAMINE - IA-1(a)(1)[1] -

develops and documents an identification and authentication policy that - addresses:

- - IA-1(a)(1)[1][a] -

purpose;

- - - IA-1(a)(1)[1][b] -

scope;

- - - IA-1(a)(1)[1][c] -

roles;

- - - IA-1(a)(1)[1][d] -

responsibilities;

- - - IA-1(a)(1)[1][e] -

management commitment;

- - - IA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - IA-1(a)(1)[2] -

defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and

- - - assessment-objective - EXAMINE - INTERVIEW - IA-1(a)(1)[3] -

disseminates the identification and authentication policy to - organization-defined personnel or roles;

- - - - IA-1(a)(2) - - assessment-objective - EXAMINE - IA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls;

- - - assessment-objective - EXAMINE - IA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IA-1(b) - - IA-1(b)(1) - - assessment-objective - EXAMINE - IA-1(b)(1)[1] -

defines the frequency to review and update the current identification and - authentication policy;

- - - assessment-objective - EXAMINE - IA-1(b)(1)[2] -

reviews and updates the current identification and authentication policy - with the organization-defined frequency; and

- - - - IA-1(b)(2) - - assessment-objective - EXAMINE - IA-1(b)(2)[1] -

defines the frequency to review and update the current identification and - authentication procedures; and

- - - assessment-objective - EXAMINE - IA-1(b)(2)[2] -

reviews and updates the current identification and authentication procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Identification and authentication policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Identification and Authentication (organizational Users) - IA-2 - ia-02 - HSPD-12 - OMB Memorandum 04-04 - OMB Memorandum 06-16 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

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

- - -

Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8.

- AC-2 - AC-3 - AC-14 - AC-17 - AC-18 - IA-4 - IA-5 - IA-8 - - -

Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for uniquely identifying and authenticating users

-

automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Network Access to Privileged Accounts - IA-2(1) - ia-02.01 - -

The information system implements multifactor authentication for network access to - privileged accounts.

- - - AC-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Network Access to Non-privileged Accounts - IA-2(2) - ia-02.02 - -

The information system implements multifactor authentication for network access to - non-privileged accounts.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - network access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Local Access to Privileged Accounts - IA-2(3) - ia-02.03 - -

The information system implements multifactor authentication for local access to - privileged accounts.

- - - AC-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements multifactor authentication for - local access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Group Authentication - IA-2(5) - ia-02.05 - -

The organization requires individuals to be authenticated with an individual - authenticator when a group authenticator is employed.

- - -

Requiring individuals to use individual authenticators as a second level of - authentication helps organizations to mitigate the risk of using group - authenticators.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires individuals to be authenticated with an - individual authenticator when a group authenticator is employed.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authentication capability - for group accounts

- - - - - Network Access to Privileged Accounts - Replay Resistant - IA-2(8) - ia-02.08 - -

The information system implements replay-resistant authentication mechanisms for - network access to privileged accounts.

- - -

Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by replaying previous authentication messages. - Replay-resistant techniques include, for example, protocols that use nonces or - challenges such as Transport Layer Security (TLS) and time synchronous or - challenge-response one-time authenticators.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements replay-resistant authentication - mechanisms for network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing replay resistant - authentication mechanisms

- - - - - Remote Access - Separate Device - - - FIPS 140-2, NIAP Certification, or NSA approval - - IA-2(11) - ia-02.11 - -

The information system implements multifactor authentication for remote access to - privileged and non-privileged accounts such that one of the factors is provided by - a device separate from the system gaining access and the device meets .

- - IA-2 (11) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

For remote access to privileged/non-privileged accounts, the purpose of requiring - a device that is separate from the information system gaining access for one of - the factors during multifactor authentication is to reduce the likelihood of - compromising authentication credentials stored on the system. For example, - adversaries deploying malicious code on organizational information systems can - potentially compromise such credentials resident on the system and subsequently - impersonate authorized users.

- AC-6 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - IA-2(11)[1] -

the information system implements multifactor authentication for remote access - to privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - assessment-objective - INTERVIEW - TEST - IA-2(11)[2] -

the information system implements multifactor authentication for remote access - to non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - assessment-objective - EXAMINE - IA-2(11)[3] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to privileged - accounts;

- - - assessment-objective - EXAMINE - IA-2(11)[4] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to non-privileged - accounts;

- - - assessment-objective - INTERVIEW - TEST - IA-2(11)[5] -

the information system implements multifactor authentication for remote access - to privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements; and

- - - assessment-objective - INTERVIEW - TEST - IA-2(11)[6] -

the information system implements multifactor authentication for remote access - to non-privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of privileged and non-privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Acceptance of PIV Credentials - IA-2(12) - ia-02.12 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials.

- - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-2(12)[1] -

accepts Personal Identity Verification (PIV) credentials; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-2(12)[2] -

electronically verifies Personal Identity Verification (PIV) credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials

- - - - - - Device Identification and Authentication - - - - - IA-3 - ia-03 - -

The information system uniquely identifies and authenticates before establishing a - connection.

- - -

Organizational devices requiring unique device-to-device identification and - authentication may be defined by type, by device, or by a combination of type/device. - Information systems typically use either shared known information (e.g., Media Access - Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) - for device identification or organizational authentication solutions (e.g., IEEE - 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport - Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on - local and/or wide area networks. Organizations determine the required strength of - authentication mechanisms by the security categories of information systems. Because - of the challenges of applying this control on large scale, organizations are - encouraged to only apply the control to those limited number (and type) of devices - that truly need to support this capability.

- AC-17 - AC-18 - AC-19 - CA-3 - IA-4 - IA-5 - - -

Determine if:

- - IA-3[1] -

the organization defines specific and/or types of devices that the information - system uniquely identifies and authenticates before establishing one or more of - the following:

- - IA-3[1][a] -

a local connection;

- - - IA-3[1][b] -

a remote connection; and/or

- - - IA-3[1][c] -

a network connection; and

- - - - assessment-objective - INTERVIEW - TEST - IA-3[2] -

the information system uniquely identifies and authenticates organization-defined - devices before establishing one or more of the following:

- - IA-3[2][a] -

a local connection;

- - - IA-3[2][b] -

a remote connection; and/or

- - - IA-3[2][c] -

a network connection.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing device identification and authentication

-

information system design documentation

-

list of devices requiring unique identification and authentication

-

device connection reports

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with operational responsibilities for device - identification and authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing device identification and - authentication capability

- - - - - Identifier Management - - - - - - IA-4 (d) [at least two years] - - - - ninety days for user identifiers (See additional requirements and guidance) - - - IA-4 - ia-04 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - -

The organization manages information system identifiers by:

- - a. -

Receiving authorization from to assign an - individual, group, role, or device identifier;

- - - b. -

Selecting an identifier that identifies an individual, group, role, or device;

- - - c. -

Assigning the identifier to the intended individual, group, role, or device;

- - - d. -

Preventing reuse of identifiers for ; and

- - - e. -

Disabling the identifier after .

- - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - -

Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices.

- AC-2 - IA-2 - IA-3 - IA-5 - IA-8 - SC-37 - - -

Determine if the organization manages information system identifiers by:

- - IA-4(a) - - assessment-objective - EXAMINE - IA-4(a)[1] -

defining personnel or roles from whom authorization must be received to - assign:

- - IA-4(a)[1][a] -

an individual identifier;

- - - IA-4(a)[1][b] -

a group identifier;

- - - IA-4(a)[1][c] -

a role identifier; and/or

- - - IA-4(a)[1][d] -

a device identifier;

- - - - assessment-objective - INTERVIEW - TEST - IA-4(a)[2] -

receiving authorization from organization-defined personnel or roles to - assign:

- - IA-4(a)[2][a] -

an individual identifier;

- - - IA-4(a)[2][b] -

a group identifier;

- - - IA-4(a)[2][c] -

a role identifier; and/or

- - - IA-4(a)[2][d] -

a device identifier;

- - - - - assessment-objective - INTERVIEW - TEST - IA-4(b) -

selecting an identifier that identifies:

- - IA-4(b)[1] -

an individual;

- - - IA-4(b)[2] -

a group;

- - - IA-4(b)[3] -

a role; and/or

- - - IA-4(b)[4] -

a device;

- - - - assessment-objective - INTERVIEW - TEST - IA-4(c) -

assigning the identifier to the intended:

- - IA-4(c)[1] -

individual;

- - - IA-4(c)[2] -

group;

- - - IA-4(c)[3] -

role; and/or

- - - IA-4(c)[4] -

device;

- - - - IA-4(d) - - assessment-objective - EXAMINE - IA-4(d)[1] -

defining a time period for preventing reuse of identifiers;

- - - assessment-objective - INTERVIEW - TEST - IA-4(d)[2] -

preventing reuse of identifiers for the organization-defined time period;

- - - - IA-4(e) - - assessment-objective - EXAMINE - IA-4(e)[1] -

defining a time period of inactivity to disable the identifier; and

- - - assessment-objective - INTERVIEW - TEST - IA-4(e)[2] -

disabling the identifier after the organization-defined time period of - inactivity.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system accounts

-

list of identifiers generated from physical access control devices

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - Identify User Status - - - contractors; foreign nationals - - IA-4(4) - ia-04.04 - -

The organization manages individual identifiers by uniquely identifying each - individual as .

- - -

Characteristics identifying the status of individuals include, for example, - contractors and foreign nationals. Identifying the status of individuals by - specific characteristics provides additional information about the people with - whom organizational personnel are communicating. For example, it might be useful - for a government employee to know that one of the individuals on an email message - is a contractor.

- AT-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-4(4)[1] -

defines a characteristic to be used to identify individual status; and

- - - assessment-objective - INTERVIEW - TEST - IA-4(4)[2] -

manages individual identifiers by uniquely identifying each individual as the - organization-defined characteristic identifying individual status.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

list of characteristics identifying individual status

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - - Authenticator Management - - - - - IA-5 - ia-05 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-63 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

The organization manages information system authenticators by:

- - a. -

Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator;

- - - b. -

Establishing initial authenticator content for authenticators defined by the - organization;

- - - c. -

Ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - d. -

Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators;

- - - e. -

Changing default content of authenticators prior to information system - installation;

- - - f. -

Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators;

- - - g. -

Changing/refreshing authenticators ;

- - - h. -

Protecting authenticator content from unauthorized disclosure and - modification;

- - - i. -

Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and

- - - j. -

Changing authenticators for group/role accounts when membership to those accounts - changes.

- - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link https://pages.nist.gov/800-63-3.

- - - - -

Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords.

- AC-2 - AC-3 - AC-6 - CM-6 - IA-2 - IA-4 - IA-8 - PL-4 - PS-5 - PS-6 - SC-12 - SC-13 - SC-17 - SC-28 - - -

Determine if the organization manages information system authenticators by:

- - assessment-objective - INTERVIEW - TEST - IA-5(a) -

verifying, as part of the initial authenticator distribution, the identity of:

- - IA-5(a)[1] -

the individual receiving the authenticator;

- - - IA-5(a)[2] -

the group receiving the authenticator;

- - - IA-5(a)[3] -

the role receiving the authenticator; and/or

- - - IA-5(a)[4] -

the device receiving the authenticator;

- - - - assessment-objective - EXAMINE - IA-5(b) -

establishing initial authenticator content for authenticators defined by the - organization;

- - - assessment-objective - INTERVIEW - TEST - IA-5(c) -

ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - IA-5(d) - - assessment-objective - EXAMINE - IA-5(d)[1] -

establishing and implementing administrative procedures for initial - authenticator distribution;

- - - assessment-objective - EXAMINE - IA-5(d)[2] -

establishing and implementing administrative procedures for lost/compromised or - damaged authenticators;

- - - assessment-objective - EXAMINE - IA-5(d)[3] -

establishing and implementing administrative procedures for revoking - authenticators;

- - - - assessment-objective - INTERVIEW - TEST - IA-5(e) -

changing default content of authenticators prior to information system - installation;

- - - IA-5(f) - - assessment-objective - EXAMINE - IA-5(f)[1] -

establishing minimum lifetime restrictions for authenticators;

- - - assessment-objective - EXAMINE - IA-5(f)[2] -

establishing maximum lifetime restrictions for authenticators;

- - - assessment-objective - EXAMINE - IA-5(f)[3] -

establishing reuse conditions for authenticators;

- - - - IA-5(g) - - assessment-objective - EXAMINE - IA-5(g)[1] -

defining a time period (by authenticator type) for changing/refreshing - authenticators;

- - - assessment-objective - INTERVIEW - TEST - IA-5(g)[2] -

changing/refreshing authenticators with the organization-defined time period by - authenticator type;

- - - - assessment-objective - INTERVIEW - TEST - IA-5(h) -

protecting authenticator content from unauthorized:

- - IA-5(h)[1] -

disclosure;

- - - IA-5(h)[2] -

modification;

- - - - IA-5(i) - - assessment-objective - EXAMINE - INTERVIEW - IA-5(i)[1] -

requiring individuals to take specific security safeguards to protect - authenticators;

- - - assessment-objective - INTERVIEW - TEST - IA-5(i)[2] -

having devices implement specific security safeguards to protect - authenticators; and

- - - - assessment-objective - INTERVIEW - TEST - IA-5(j) -

changing authenticators for group/role accounts when membership to those accounts - changes.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system authenticator types

-

change control records associated with managing information system - authenticators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - Password-based Authentication - - - - - - at least one - - - - - - - twenty four (24) - - - IA-5(1) - ia-05.01 - -

The information system, for password-based authentication:

- - (a) -

Enforces minimum password complexity of ;

- - - (b) -

Enforces at least the following number of changed characters when new passwords - are created: ;

- - - (c) -

Stores and transmits only cryptographically-protected passwords;

- - - (d) -

Enforces password minimum and maximum lifetime restrictions of ;

- - - (e) -

Prohibits password reuse for generations; - and

- - - (f) -

Allows the use of a temporary password for system logons with an immediate - change to a permanent password.

- - - IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - - (a) (d) Guidance: -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - -

This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords.

- IA-6 - - -

Determine if, for password-based authentication:

- - IA-5(1)(a) - - assessment-objective - EXAMINE - IA-5(1)(a)[1] -

the organization defines requirements for case sensitivity;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[2] -

the organization defines requirements for number of characters;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[3] -

the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters;

- - - assessment-objective - EXAMINE - IA-5(1)(a)[4] -

the organization defines minimum requirements for each type of - character;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(a)[5] -

the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type;

- - IA-5(1)(a) - - - IA-5(1)(b) - - assessment-objective - EXAMINE - IA-5(1)(b)[1] -

the organization defines a minimum number of changed characters to be - enforced when new passwords are created;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(b)[2] -

the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created;

- - IA-5(1)(b) - - - assessment-objective - INTERVIEW - TEST - IA-5(1)(c) -

the information system stores and transmits only encrypted representations of - passwords;

- IA-5(1)(c) - - - IA-5(1)(d) - - assessment-objective - EXAMINE - IA-5(1)(d)[1] -

the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords;

- - - assessment-objective - EXAMINE - IA-5(1)(d)[2] -

the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(d)[3] -

the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(d)[4] -

the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum;

- - IA-5(1)(d) - - - IA-5(1)(e) - - assessment-objective - EXAMINE - IA-5(1)(e)[1] -

the organization defines the number of password generations to be prohibited - from password reuse;

- - - assessment-objective - INTERVIEW - TEST - IA-5(1)(e)[2] -

the information system prohibits password reuse for the organization-defined - number of generations; and

- - IA-5(1)(e) - - - assessment-objective - INTERVIEW - TEST - IA-5(1)(f) -

the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password.

- IA-5(1)(f) - - - - EXAMINE - -

Identification and authentication policy

-

password policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

password configurations and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

- - - - - Pki-based Authentication - IA-5(2) - ia-05.02 - -

The information system, for PKI-based authentication:

- - (a) -

Validates certifications by constructing and verifying a certification path to - an accepted trust anchor including checking certificate status information;

- - - (b) -

Enforces authorized access to the corresponding private key;

- - - (c) -

Maps the authenticated identity to the account of the individual or group; - and

- - - (d) -

Implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network.

- - - -

Status information for certification paths includes, for example, certificate - revocation lists or certificate status protocol responses. For PIV cards, - validation of certifications involves the construction and verification of a - certification path to the Common Policy Root trust anchor including certificate - policy processing.

- IA-6 - - -

Determine if the information system, for PKI-based authentication:

- - IA-5(2)(a) - - assessment-objective - INTERVIEW - TEST - IA-5(2)(a)[1] -

validates certifications by constructing a certification path to an accepted - trust anchor;

- - - assessment-objective - INTERVIEW - TEST - IA-5(2)(a)[2] -

validates certifications by verifying a certification path to an accepted - trust anchor;

- - - assessment-objective - INTERVIEW - TEST - IA-5(2)(a)[3] -

includes checking certificate status information when constructing and - verifying the certification path;

- - IA-5(2)(a) - - - assessment-objective - INTERVIEW - TEST - IA-5(2)(b) -

enforces authorized access to the corresponding private key;

- IA-5(2)(b) - - - assessment-objective - INTERVIEW - TEST - IA-5(2)(c) -

maps the authenticated identity to the account of the individual or group; - and

- IA-5(2)(c) - - - assessment-objective - INTERVIEW - TEST - IA-5(2)(d) -

implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network.

- IA-5(2)(d) - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

PKI certification validation records

-

PKI certification revocation lists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with PKI-based, authenticator management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing PKI-based, authenticator - management capability

- - - - - In-person or Trusted Third-party Registration - - - All hardware/biometric (multifactor authenticators) - - - in person - - - - - - - - IA-5(3) - ia-05.03 - -

The organization requires that the registration process to receive be conducted before - with authorization by .

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-5(3)[1] -

defines types of and/or specific authenticators to be received in person or by - a trusted third party;

- - - assessment-objective - EXAMINE - IA-5(3)[2] -

defines the registration authority with oversight of the registration process - for receipt of organization-defined types of and/or specific - authenticators;

- - - assessment-objective - EXAMINE - IA-5(3)[3] -

defines personnel or roles responsible for authorizing organization-defined - registration authority;

- - - assessment-objective - EXAMINE - IA-5(3)[4] -

defines if the registration process is to be conducted:

- - IA-5(3)[4][a] -

in person; or

- - - IA-5(3)[4][b] -

by a trusted third party; and

- - - - assessment-objective - INTERVIEW - IA-5(3)[5] -

requires that the registration process to receive organization-defined types of - and/or specific authenticators be conducted in person or by a trusted third - party before organization-defined registration authority with authorization by - organization-defined personnel or roles.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

registration process for receiving information system authenticators

-

list of authenticators requiring in-person registration

-

list of authenticators requiring trusted third party registration

-

authenticator registration documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

registration authority

-

organizational personnel with information security responsibilities

- - - - - Automated Support for Password Strength Determination - - - - IA-5(4) - ia-05.04 - -

The organization employs automated tools to determine if password authenticators - are sufficiently strong to satisfy .

- - IA-5 (4) Additional FedRAMP Requirements and Guidance - - Guidance: -

If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

- - - - -

This control enhancement focuses on the creation of strong passwords and the - characteristics of such passwords (e.g., complexity) prior to use, the enforcement - of which is carried out by organizational information systems in IA-5 (1).

- CA-2 - CA-7 - RA-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-5(4)[1] -

defines requirements to be satisfied by password authenticators; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(4)[2] -

employs automated tools to determine if password authenticators are - sufficiently strong to satisfy organization-defined requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

automated tools for evaluating password authenticators

-

password strength assessment results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

-

automated tools for determining password strength

- - - - - Protection of Authenticators - IA-5(6) - ia-05.06 - -

The organization protects authenticators commensurate with the security category - of the information to which use of the authenticator permits access.

- - -

For information systems containing multiple security categories of information - without reliable physical or logical separation between categories, authenticators - used to grant access to the systems are protected commensurate with the highest - security category of information on the systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects authenticators commensurate with the - security category of the information to which use of the authenticator permits - access.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security categorization documentation for the information system

-

security assessments of authenticator protections

-

risk assessment results

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel implementing and/or maintaining authenticator - protections

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

-

automated mechanisms protecting authenticators

- - - - - No Embedded Unencrypted Static Authenticators - IA-5(7) - ia-05.07 - -

The organization ensures that unencrypted static authenticators are not embedded - in applications or access scripts or stored on function keys.

- - -

Organizations exercise caution in determining whether embedded or stored - authenticators are in encrypted or unencrypted form. If authenticators are used in - the manner stored, then those representations are considered unencrypted - authenticators. This is irrespective of whether that representation is perhaps an - encrypted version of something else (e.g., a password).

- - -

Determine if the organization ensures that unencrypted static authenticators are - not:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-5(7)[1] -

embedded in applications;

- - - IA-5(7)[2] -

embedded in access scripts; or

- - - IA-5(7)[3] -

stored on function keys.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

logical access scripts

-

application code reviews for detecting unencrypted static authenticators

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

-

automated mechanisms implementing authentication in applications

- - - - - Hardware Token-based Authentication - - - - IA-5(11) - ia-05.11 - -

The information system, for hardware token-based authentication, employs - mechanisms that satisfy .

- - -

Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI.

- - -

Determine if, for hardware token-based authentication:

- - assessment-objective - EXAMINE - IA-5(11)[1] -

the organization defines token quality requirements to be satisfied; and

- - - assessment-objective - INTERVIEW - TEST - IA-5(11)[2] -

the information system employs mechanisms that satisfy organization-defined - token quality requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

automated mechanisms employing hardware token-based authentication for the - information system

-

list of token quality requirements

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability

- - - - - - Authenticator Feedback - IA-6 - ia-06 - -

The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals.

- - -

The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it.

- PE-18 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator feedback

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication

- - - - - Cryptographic Module Authentication - IA-7 - ia-07 - FIPS Publication 140 - http://csrc.nist.gov/groups/STM/cmvp/index.html - -

The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication.

- - -

Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role.

- SC-12 - SC-13 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing cryptographic module authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for cryptographic module - authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic module - authentication

- - - - - Identification and Authentication (non-organizational Users) - IA-8 - ia-08 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - OMB Memorandum 10-06-2011 - FICAM Roadmap and Implementation Guidance - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-116 - National Strategy for Trusted Identities in - Cyberspace - http://idmanagement.gov - -

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

- - -

Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users.

- AC-2 - AC-14 - AC-17 - AC-18 - IA-2 - IA-4 - IA-5 - MA-4 - RA-3 - SA-12 - SC-8 - - -

Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Acceptance of PIV Credentials from Other Agencies - IA-8(1) - ia-08.01 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies.

- - -

This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-8(1)[1] -

accepts Personal Identity Verification (PIV) credentials from other agencies; - and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - IA-8(1)[2] -

electronically verifies Personal Identity Verification (PIV) credentials from - other agencies.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept and verify PIV credentials

- - - - - Acceptance of Third-party Credentials - IA-8(2) - ia-08.02 - -

The information system accepts only FICAM-approved third-party credentials.

- - -

This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels.

- AU-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system accepts only FICAM-approved third-party - credentials.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization

-

third-party credential verification records

-

evidence of FICAM-approved third-party credentials

-

third-party credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept FICAM-approved credentials

- - - - - Use of Ficam-approved Products - - - - IA-8(3) - ia-08.03 - -

The organization employs only FICAM-approved information system components in - to accept third-party credentials.

- - -

This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program.

- SA-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IA-8(3)[1] -

defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and

- - - assessment-objective - INTERVIEW - TEST - IA-8(3)[2] -

employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

third-party credential validations

-

third-party credential authorizations

-

third-party credential records

-

list of FICAM-approved information system components procured and implemented - by organization

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information system security, acquisition, and - contracting responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Use of Ficam-issued Profiles - IA-8(4) - ia-08.04 - -

The information system conforms to FICAM-issued profiles.

- - -

This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange).

- SA-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system conforms to FICAM-issued profiles.

- - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-issued profiles and associated, approved protocols

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles

- - - - - - - Incident Response - - Incident Response Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - IR-1 - ir-01 - NIST Special Publication 800-12 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Incident response policy ; and

- - - 2. -

Incident response procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IR-1(a) - - IR-1(a)(1) - - assessment-objective - EXAMINE - IR-1(a)(1)[1] -

develops and documents an incident response policy that addresses:

- - IR-1(a)(1)[1][a] -

purpose;

- - - IR-1(a)(1)[1][b] -

scope;

- - - IR-1(a)(1)[1][c] -

roles;

- - - IR-1(a)(1)[1][d] -

responsibilities;

- - - IR-1(a)(1)[1][e] -

management commitment;

- - - IR-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IR-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - IR-1(a)(1)[2] -

defines personnel or roles to whom the incident response policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-1(a)(1)[3] -

disseminates the incident response policy to organization-defined personnel - or roles;

- - - - IR-1(a)(2) - - assessment-objective - EXAMINE - IR-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls;

- - - assessment-objective - EXAMINE - IR-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IR-1(b) - - IR-1(b)(1) - - assessment-objective - EXAMINE - IR-1(b)(1)[1] -

defines the frequency to review and update the current incident response - policy;

- - - assessment-objective - EXAMINE - IR-1(b)(1)[2] -

reviews and updates the current incident response policy with the - organization-defined frequency;

- - - - IR-1(b)(2) - - assessment-objective - EXAMINE - IR-1(b)(2)[1] -

defines the frequency to review and update the current incident response - procedures; and

- - - assessment-objective - EXAMINE - IR-1(b)(2)[2] -

reviews and updates the current incident response procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Incident response policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Response Training - - - - - - at least annually - - - IR-2 - ir-02 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides incident response training to information system users - consistent with assigned roles and responsibilities:

- - a. -

Within of assuming an incident response role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources.

- AT-3 - CP-3 - IR-8 - - -

Determine if the organization:

- - IR-2(a) - - assessment-objective - EXAMINE - IR-2(a)[1] -

defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-2(a)[2] -

provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility;

- - - - assessment-objective - EXAMINE - INTERVIEW - IR-2(b) -

provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes;

- - - IR-2(c) - - assessment-objective - EXAMINE - IR-2(c)[1] -

defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-2(c)[2] -

after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

security plan

-

incident response plan

-

security plan

-

incident response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Response Testing - - - at least annually - - - - see additional FedRAMP Requirements and Guidance - - - IR-3 - ir-03 - NIST Special Publication 800-84 - NIST Special Publication 800-115 - -

The organization tests the incident response capability for the information system - using to determine - the incident response effectiveness and documents the results.

- - IR-3 Additional FedRAMP Requirements and Guidance - - IR-3 -2 Requirement: -

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

- - - - -

Organizations test incident response capabilities to determine the overall - effectiveness of the capabilities and to identify potential weaknesses or - deficiencies. Incident response testing includes, for example, the use of checklists, - walk-through or tabletop exercises, simulations (parallel/full interrupt), and - comprehensive exercises. Incident response testing can also include a determination - of the effects on organizational operations (e.g., reduction in mission - capabilities), organizational assets, and individuals due to incident response.

- CP-4 - IR-8 - - -

Determine if the organization:

- - IR-3[1] -

defines incident response tests to test the incident response capability for the - information system;

- - - IR-3[2] -

defines the frequency to test the incident response capability for the information - system; and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-3[3] -

tests the incident response capability for the information system with the - organization-defined frequency, using organization-defined tests to determine the - incident response effectiveness and documents the results.

- - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

procedures addressing contingency plan testing

-

incident response testing material

-

incident response test results

-

incident response test plan

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with information security responsibilities

- - - - Coordination with Related Plans - IR-3(2) - ir-03.02 - -

The organization coordinates incident response testing with organizational - elements responsible for related plans.

- - -

Organizational plans related to incident response testing include, for example, - Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity - of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - and Occupant Emergency Plans.

- - - assessment-objective - EXAMINE - INTERVIEW -

Determine if the organization coordinates incident response testing with - organizational elements responsible for related plans.

- - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

incident response testing documentation

-

incident response plan

-

business continuity plans

-

contingency plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with responsibilities for testing organizational plans - related to incident response testing

-

organizational personnel with information security responsibilities

- - - - - - Incident Handling - IR-4 - ir-04 - Executive Order 13587 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery;

- - - b. -

Coordinates incident handling activities with contingency planning activities; - and

- - - c. -

Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly.

- - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function).

- AU-6 - CM-6 - CP-2 - CP-4 - IR-2 - IR-3 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-4(a) -

implements an incident handling capability for security incidents that - includes:

- - IR-4(a)[1] -

preparation;

- - - IR-4(a)[2] -

detection and analysis;

- - - IR-4(a)[3] -

containment;

- - - IR-4(a)[4] -

eradication;

- - - IR-4(a)[5] -

recovery;

- - - - assessment-objective - EXAMINE - INTERVIEW - IR-4(b) -

coordinates incident handling activities with contingency planning activities;

- - - IR-4(c) - - assessment-objective - EXAMINE - IR-4(c)[1] -

incorporates lessons learned from ongoing incident handling activities - into:

- - IR-4(c)[1][a] -

incident response procedures;

- - - IR-4(c)[1][b] -

training;

- - - IR-4(c)[1][c] -

testing/exercises;

- - - - assessment-objective - TEST - IR-4(c)[2] -

implements the resulting changes accordingly to:

- - IR-4(c)[2][a] -

incident response procedures;

- - - IR-4(c)[2][b] -

training; and

- - - IR-4(c)[2][c] -

testing/exercises.

- - - - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident handling

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - Automated Incident Handling Processes - IR-4(1) - ir-04.01 - -

The organization employs automated mechanisms to support the incident handling - process.

- - -

Automated mechanisms supporting incident handling processes include, for example, - online incident management systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to support the incident - handling process.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement the incident handling - process

- - - - - - Incident Monitoring - IR-5 - ir-05 - NIST Special Publication 800-61 - -

The organization tracks and documents information system security incidents.

- - -

Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports.

- AU-6 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-5[1] -

tracks information system security incidents; and

- - - assessment-objective - EXAMINE - TEST - IR-5[2] -

documents information system security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

incident response records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident monitoring capability for the organization

-

automated mechanisms supporting and/or implementing tracking and documenting of - system security incidents

- - - - - Incident Reporting - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - - - - IR-6 - ir-06 - NIST Special Publication 800-61 - http://www.us-cert.gov - -

The organization:

- - a. -

Requires personnel to report suspected security incidents to the organizational - incident response capability within ; and

- - - b. -

Reports security incident information to .

- - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - -

The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling.

- IR-4 - IR-5 - IR-8 - - -

Determine if the organization:

- - IR-6(a) - - assessment-objective - EXAMINE - IR-6(a)[1] -

defines the time period within which personnel report suspected security - incidents to the organizational incident response capability;

- - - assessment-objective - INTERVIEW - TEST - IR-6(a)[2] -

requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period;

- - - - IR-6(b) - - assessment-objective - EXAMINE - IR-6(b)[1] -

defines authorities to whom security incident information is to be reported; - and

- - - assessment-objective - INTERVIEW - TEST - IR-6(b)[2] -

reports security incident information to organization-defined authorities.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

incident reporting records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

personnel who have/should have reported incidents

-

personnel (authorities) to whom incident information is to be reported

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing incident reporting

- - - - Automated Reporting - IR-6(1) - ir-06.01 - -

The organization employs automated mechanisms to assist in the reporting of - security incidents.

- - - IR-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to assist in the - reporting of security incidents.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

automated mechanisms supporting incident reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing reporting of security - incidents

- - - - - - Incident Response Assistance - IR-7 - ir-07 - -

The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents.

- - -

Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required.

- AT-2 - IR-4 - IR-6 - IR-8 - SA-9 - - -

Determine if the organization provides an incident response support resource:

- - IR-7[1] -

that is integral to the organizational incident response capability; and

- - - IR-7[2] -

that offers advice and assistance to users of the information system for the - handling and reporting of security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response assistance and support - responsibilities

-

organizational personnel with access to incident response support and assistance - capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing incident response - assistance

- - - - Automation Support for Availability of Information / Support - IR-7(1) - ir-07.01 - -

The organization employs automated mechanisms to increase the availability of - incident response-related information and support.

- - -

Automated mechanisms can provide a push and/or pull capability for users to obtain - incident response assistance. For example, individuals might have access to a - website to query the assistance capability, or conversely, the assistance - capability may have the ability to proactively send information to users (general - distribution or targeted) as part of increasing understanding of current response - capabilities and support.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to increase the - availability of incident response-related information and support.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

automated mechanisms supporting incident response support and assistance

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response support and assistance - responsibilities

-

organizational personnel with access to incident response support and - assistance capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing an increase in the - availability of incident response information and support

- - - - - Coordination with External Providers - IR-7(2) - ir-07.02 - -

The organization:

- - (a) -

Establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and

- - - (b) -

Identifies organizational incident response team members to the external - providers.

- - - -

External providers of information system protection capability include, for - example, the Computer Network Defense program within the U.S. Department of - Defense. External providers help to protect, monitor, analyze, detect, and respond - to unauthorized activity within organizational information systems and - networks.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - IR-7(2)(a) -

establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and

- IR-7(2)(a) - - - assessment-objective - EXAMINE - INTERVIEW - IR-7(2)(b) -

identifies organizational incident response team members to the external - providers.

- IR-7(2)(b) - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response support and assistance - responsibilities

-

external providers of information system protection capability

-

organizational personnel with information security responsibilities

- - - - - - Incident Response Plan - - - - - - see additional FedRAMP Requirements and Guidance - - - - at least annually - - - - see additional FedRAMP Requirements and Guidance - - - IR-8 - ir-08 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Develops an incident response plan that:

- - 1. -

Provides the organization with a roadmap for implementing its incident response - capability;

- - - 2. -

Describes the structure and organization of the incident response - capability;

- - - 3. -

Provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - 4. -

Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions;

- - - 5. -

Defines reportable incidents;

- - - 6. -

Provides metrics for measuring the incident response capability within the - organization;

- - - 7. -

Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and

- - - 8. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the incident response plan to ;

- - - c. -

Reviews the incident response plan ;

- - - d. -

Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing;

- - - e. -

Communicates incident response plan changes to ; - and

- - - f. -

Protects the incident response plan from unauthorized disclosure and - modification.

- - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - -

It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems.

- MP-2 - MP-4 - MP-5 - - -

Determine if the organization:

- - IR-8(a) -

develops an incident response plan that:

- - assessment-objective - EXAMINE - IR-8(a)(1) -

provides the organization with a roadmap for implementing its incident response - capability;

- - - assessment-objective - EXAMINE - IR-8(a)(2) -

describes the structure and organization of the incident response - capability;

- - - assessment-objective - EXAMINE - IR-8(a)(3) -

provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - assessment-objective - EXAMINE - IR-8(a)(4) -

meets the unique requirements of the organization, which relate to:

- - IR-8(a)(4)[1] -

mission;

- - - IR-8(a)(4)[2] -

size;

- - - IR-8(a)(4)[3] -

structure;

- - - IR-8(a)(4)[4] -

functions;

- - - - assessment-objective - EXAMINE - IR-8(a)(5) -

defines reportable incidents;

- - - assessment-objective - TEST - IR-8(a)(6) -

provides metrics for measuring the incident response capability within the - organization;

- - - assessment-objective - EXAMINE - IR-8(a)(7) -

defines the resources and management support needed to effectively maintain and - mature an incident response capability;

- - - IR-8(a)(8) - - assessment-objective - EXAMINE - IR-8(a)(8)[1] -

defines personnel or roles to review and approve the incident response - plan;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-8(a)(8)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - IR-8(b) - - IR-8(b)[1] - - assessment-objective - EXAMINE - IR-8(b)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed;

- - - assessment-objective - EXAMINE - IR-8(b)[1][b] -

defines organizational elements to whom copies of the incident response plan - are to be distributed;

- - - - assessment-objective - INTERVIEW - TEST - IR-8(b)[2] -

distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements;

- - - - IR-8(c) - - assessment-objective - EXAMINE - IR-8(c)[1] -

defines the frequency to review the incident response plan;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-8(c)[2] -

reviews the incident response plan with the organization-defined frequency;

- - - - assessment-objective - TEST - IR-8(d) -

updates the incident response plan to address system/organizational changes or - problems encountered during plan:

- - IR-8(d)[1] -

implementation;

- - - IR-8(d)[2] -

execution; or

- - - IR-8(d)[3] -

testing;

- - - - IR-8(e) - - IR-8(e)[1] - - assessment-objective - EXAMINE - IR-8(e)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated;

- - - assessment-objective - TEST - IR-8(e)[1][b] -

defines organizational elements to whom incident response plan changes are - to be communicated;

- - - - assessment-objective - TEST - IR-8(e)[2] -

communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and

- - - - assessment-objective - TEST - IR-8(f) -

protects the incident response plan from unauthorized disclosure and - modification.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response planning

-

incident response plan

-

records of incident response plan reviews and approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational incident response plan and related organizational processes

- - - - - Information Spillage Response - - - - - - - IR-9 - ir-09 - -

The organization responds to information spills by:

- - a. -

Identifying the specific information involved in the information system - contamination;

- - - b. -

Alerting of the information spill using a method - of communication not associated with the spill;

- - - c. -

Isolating the contaminated information system or system component;

- - - d. -

Eradicating the information from the contaminated information system or - component;

- - - e. -

Identifying other information systems or system components that may have been - subsequently contaminated; and

- - - f. -

Performing other .

- - - -

Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated.

- - -

Determine if the organization:

- - assessment-objective - TEST - IR-9(a) -

responds to information spills by identifying the specific information causing the - information system contamination;

- - - IR-9(b) - - assessment-objective - EXAMINE - IR-9(b)[1] -

defines personnel to be alerted of the information spillage;

- - - assessment-objective - EXAMINE - INTERVIEW - IR-9(b)[2] -

identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill;

- - - assessment-objective - TEST - IR-9(b)[3] -

responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill;

- - - - assessment-objective - TEST - IR-9(c) -

responds to information spills by isolating the contaminated information - system;

- - - assessment-objective - TEST - IR-9(d) -

responds to information spills by eradicating the information from the - contaminated information system;

- - - assessment-objective - TEST - IR-9(e) -

responds to information spills by identifying other information systems that may - have been subsequently contaminated;

- - - IR-9(f) - - assessment-objective - EXAMINE - IR-9(f)[1] -

defines other actions to be performed in response to information spills; - and

- - - assessment-objective - TEST - IR-9(f)[2] -

responds to information spills by performing other organization-defined - actions.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

records of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage

-

list of actions to be performed regarding information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for information spillage response

-

automated mechanisms supporting and/or implementing information spillage response - actions and related communications

- - - - Responsible Personnel - - - - IR-9(1) - ir-09.01 - -

The organization assigns with responsibility for - responding to information spills.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(1)[1] -

defines personnel with responsibility for responding to information spills; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-9(1)[2] -

assigns organization-defined personnel with responsibility for responding to - information spills.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

list of personnel responsible for responding to information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Training - - - - - IR-9(2) - ir-09.02 - -

The organization provides information spillage response training .

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(2)[1] -

defines the frequency to provide information spillage response training; - and

- - - assessment-objective - EXAMINE - INTERVIEW - IR-9(2)[2] -

provides information spillage response training with the organization-defined - frequency.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage response training

-

information spillage response training curriculum

-

information spillage response training materials

-

incident response plan

-

information spillage response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Post-spill Operations - - - - IR-9(3) - ir-09.03 - -

The organization implements to ensure that - organizational personnel impacted by information spills can continue to carry out - assigned tasks while contaminated systems are undergoing corrective actions.

- - -

Correction actions for information systems contaminated due to information - spillages may be very time-consuming. During those periods, personnel may not have - access to the contaminated systems, which may potentially affect their ability to - conduct organizational business.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(3)[1] -

defines procedures that ensure organizational personnel impacted by information - spills can continue to carry out assigned tasks while contaminated systems are - undergoing corrective actions; and

- - - assessment-objective - INTERVIEW - TEST - IR-9(3)[2] -

implements organization-defined procedures to ensure that organizational - personnel impacted by information spills can continue to carry out assigned - tasks while contaminated systems are undergoing corrective actions.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

procedures addressing information spillage

-

incident response plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for post-spill operations

- - - - - Exposure to Unauthorized Personnel - - - - IR-9(4) - ir-09.04 - -

The organization employs for personnel exposed - to information not within assigned access authorizations.

- - -

Security safeguards include, for example, making personnel exposed to spilled - information aware of the federal laws, directives, policies, and/or regulations - regarding the information and the restrictions imposed based on exposure to such - information.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - IR-9(4)[1] -

defines security safeguards to be employed for personnel exposed to information - not within assigned access authorizations; and

- - - assessment-objective - INTERVIEW - TEST - IR-9(4)[2] -

employs organization-defined security safeguards for personnel exposed to - information not within assigned access authorizations.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

procedures addressing information spillage

-

incident response plan

-

security safeguards regarding information spillage/exposure to unauthorized - personnel

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for dealing with information exposed to unauthorized - personnel

-

automated mechanisms supporting and/or implementing safeguards for personnel - exposed to information not within assigned access authorizations

- - - - - - - Maintenance - - System Maintenance Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - MA-1 - ma-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

System maintenance policy ; and

- - - 2. -

System maintenance procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MA-1(a) - - MA-1(a)(1) - - assessment-objective - EXAMINE - MA-1(a)(1)[1] -

develops and documents a system maintenance policy that addresses:

- - MA-1(a)(1)[1][a] -

purpose;

- - - MA-1(a)(1)[1][b] -

scope;

- - - MA-1(a)(1)[1][c] -

roles;

- - - MA-1(a)(1)[1][d] -

responsibilities;

- - - MA-1(a)(1)[1][e] -

management commitment;

- - - MA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - MA-1(a)(1)[2] -

defines personnel or roles to whom the system maintenance policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MA-1(a)(1)[3] -

disseminates the system maintenance policy to organization-defined personnel - or roles;

- - - - MA-1(a)(2) - - assessment-objective - EXAMINE - MA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls;

- - - assessment-objective - EXAMINE - MA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MA-1(b) - - MA-1(b)(1) - - assessment-objective - EXAMINE - MA-1(b)(1)[1] -

defines the frequency to review and update the current system maintenance - policy;

- - - assessment-objective - EXAMINE - MA-1(b)(1)[2] -

reviews and updates the current system maintenance policy with the - organization-defined frequency;

- - - - MA-1(b)(2) - - assessment-objective - EXAMINE - MA-1(b)(2)[1] -

defines the frequency to review and update the current system maintenance - procedures; and

- - - assessment-objective - EXAMINE - MA-1(b)(2)[2] -

reviews and updates the current system maintenance procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Maintenance policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - - Controlled Maintenance - - - - - - - MA-2 - ma-02 - -

The organization:

- - a. -

Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements;

- - - b. -

Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location;

- - - c. -

Requires that explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - d. -

Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - e. -

Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and

- - - f. -

Includes in organizational maintenance - records.

- - - -

This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems.

- CM-3 - CM-4 - MA-4 - MP-6 - PE-16 - SA-12 - SI-2 - - -

Determine if the organization:

- - MA-2(a) - - assessment-objective - EXAMINE - MA-2(a)[1] -

schedules maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[1][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[1][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - INTERVIEW - MA-2(a)[2] -

performs maintenance and repairs on information system components in accordance - with:

- - MA-2(a)[2][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[2][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - MA-2(a)[3] -

documents maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[3][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[3][b] -

organizational requirements;

- - - - assessment-objective - EXAMINE - INTERVIEW - MA-2(a)[4] -

reviews records of maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[4][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[4][b] -

organizational requirements;

- - - - - MA-2(b) - - assessment-objective - EXAMINE - INTERVIEW - MA-2(b)[1] -

approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - assessment-objective - INTERVIEW - TEST - MA-2(b)[2] -

monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - - MA-2(c) - - assessment-objective - EXAMINE - MA-2(c)[1] -

defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - assessment-objective - EXAMINE - MA-2(c)[2] -

requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs;

- - - - assessment-objective - INTERVIEW - TEST - MA-2(d) -

sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - assessment-objective - INTERVIEW - TEST - MA-2(e) -

checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions;

- - - MA-2(f) - - assessment-objective - EXAMINE - MA-2(f)[1] -

defines maintenance-related information to be included in organizational - maintenance records; and

- - - assessment-objective - EXAMINE - MA-2(f)[2] -

includes organization-defined maintenance-related information in organizational - maintenance records.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

maintenance records

-

manufacturer/vendor maintenance specifications

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system

-

organizational processes for sanitizing information system components

-

automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms implementing sanitization of information system - components

- - - - - Maintenance Tools - MA-3 - ma-03 - NIST Special Publication 800-88 - -

The organization approves, controls, and monitors information system maintenance - tools.

- - -

This control addresses security-related issues associated with maintenance tools used - specifically for diagnostic and repair actions on organizational information systems. - Maintenance tools can include hardware, software, and firmware items. Maintenance - tools are potential vehicles for transporting malicious code, either intentionally or - unintentionally, into a facility and subsequently into organizational information - systems. Maintenance tools can include, for example, hardware/software diagnostic - test equipment and hardware/software packet sniffers. This control does not cover - hardware/software components that may support information system maintenance, yet are - a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, - or the hardware and software implementing the monitoring port of an Ethernet - switch.

- MA-2 - MA-5 - MP-6 - - -

Determine if the organization:

- - MA-3[1] -

approves information system maintenance tools;

- - - MA-3[2] -

controls information system maintenance tools; and

- - - MA-3[3] -

monitors information system maintenance tools.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for approving, controlling, and monitoring maintenance - tools

-

automated mechanisms supporting and/or implementing approval, control, and/or - monitoring of maintenance tools

- - - - Inspect Tools - MA-3(1) - ma-03.01 - -

The organization inspects the maintenance tools carried into a facility by - maintenance personnel for improper or unauthorized modifications.

- - -

If, upon inspection of maintenance tools, organizations determine that the tools - have been modified in an improper/unauthorized manner or contain malicious code, - the incident is handled consistent with organizational policies and procedures for - incident handling.

- SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization inspects the maintenance tools carried into a - facility by maintenance personnel for improper or unauthorized modifications.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance tool inspection records

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for inspecting maintenance tools

-

automated mechanisms supporting and/or implementing inspection of maintenance - tools

- - - - - Inspect Media - MA-3(2) - ma-03.02 - -

The organization checks media containing diagnostic and test programs for - malicious code before the media are used in the information system.

- - -

If, upon inspection of media containing maintenance diagnostic and test programs, - organizations determine that the media contain malicious code, the incident is - handled consistent with organizational incident handling policies and - procedures.

- SI-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization checks media containing diagnostic and test programs - for malicious code before the media are used in the information system.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for inspecting media for malicious code

-

automated mechanisms supporting and/or implementing inspection of media used - for maintenance

- - - - - Prevent Unauthorized Removal - - - the information owner explicitly authorizing removal of the equipment from the facility - - MA-3(3) - ma-03.03 - -

The organization prevents the unauthorized removal of maintenance equipment - containing organizational information by:

- - (a) -

Verifying that there is no organizational information contained on the - equipment;

- - - (b) -

Sanitizing or destroying the equipment;

- - - (c) -

Retaining the equipment within the facility; or

- - - (d) -

Obtaining an exemption from explicitly - authorizing removal of the equipment from the facility.

- - - -

Organizational information includes all information specifically owned by - organizations and information provided to organizations in which organizations - serve as information stewards.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization prevents the unauthorized removal of maintenance - equipment containing organizational information by:

- - MA-3(3)(a) -

verifying that there is no organizational information contained on the - equipment;

- MA-3(3)(a) - - - MA-3(3)(b) -

sanitizing or destroying the equipment;

- MA-3(3)(b) - - - MA-3(3)(c) -

retaining the equipment within the facility; or

- MA-3(3)(c) - - - MA-3(3)(d) - - MA-3(3)(d)[1] -

defining personnel or roles that can grant an exemption from explicitly - authorizing removal of the equipment from the facility; and

- - - MA-3(3)(d)[2] -

obtaining an exemption from organization-defined personnel or roles - explicitly authorizing removal of the equipment from the facility.

- - MA-3(3)(d) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

equipment sanitization records

-

media sanitization records

-

exemptions for equipment removal

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

- - - - TEST - -

Organizational process for preventing unauthorized removal of information

-

automated mechanisms supporting media sanitization or destruction of - equipment

-

automated mechanisms supporting verification of media sanitization

- - - - - - Nonlocal Maintenance - - MA-4 - ma-04 - FIPS Publication 140-2 - FIPS Publication 197 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-88 - CNSS Policy 15 - -

The organization:

- - a. -

Approves and monitors nonlocal maintenance and diagnostic activities;

- - - b. -

Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system;

- - - c. -

Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - d. -

Maintains records for nonlocal maintenance and diagnostic activities; and

- - - e. -

Terminates session and network connections when nonlocal maintenance is - completed.

- - - -

Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls.

- AC-2 - AC-3 - AC-6 - AC-17 - AU-2 - AU-3 - IA-2 - IA-4 - IA-5 - IA-8 - MA-2 - MA-5 - MP-6 - PL-2 - SC-7 - SC-10 - SC-17 - - -

Determine if the organization:

- - MA-4(a) - - assessment-objective - EXAMINE - MA-4(a)[1] -

approves nonlocal maintenance and diagnostic activities;

- - - assessment-objective - INTERVIEW - TEST - MA-4(a)[2] -

monitors nonlocal maintenance and diagnostic activities;

- - - - assessment-objective - EXAMINE - MA-4(b) -

allows the use of nonlocal maintenance and diagnostic tools only:

- - MA-4(b)[1] -

as consistent with organizational policy;

- - - MA-4(b)[2] -

as documented in the security plan for the information system;

- - - - assessment-objective - INTERVIEW - TEST - MA-4(c) -

employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - assessment-objective - EXAMINE - MA-4(d) -

maintains records for nonlocal maintenance and diagnostic activities;

- - - MA-4(e) - - assessment-objective - TEST - MA-4(e)[1] -

terminates sessions when nonlocal maintenance or diagnostics is completed; - and

- - - assessment-objective - TEST - MA-4(e)[2] -

terminates network connections when nonlocal maintenance or diagnostics is - completed.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

maintenance records

-

diagnostic records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing nonlocal maintenance

-

automated mechanisms implementing, supporting, and/or managing nonlocal - maintenance

-

automated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions

-

automated mechanisms for terminating nonlocal maintenance sessions and network - connections

- - - - Document Nonlocal Maintenance - MA-4(2) - ma-04.02 - -

The organization documents in the security plan for the information system, the - policies and procedures for the establishment and use of nonlocal maintenance and - diagnostic connections.

- - -

Determine if the organization documents in the security plan for the information - system:

- - assessment-objective - EXAMINE - INTERVIEW - MA-4(2)[1] -

the policies for the establishment and use of nonlocal maintenance and - diagnostic connections; and

- - - assessment-objective - EXAMINE - INTERVIEW - MA-4(2)[2] -

the procedures for the establishment and use of nonlocal maintenance and - diagnostic connections.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

security plan

-

maintenance records

-

diagnostic records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Maintenance Personnel - MA-5 - ma-05 - -

The organization:

- - a. -

Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel;

- - - b. -

Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - c. -

Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - -

This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods.

- AC-2 - IA-8 - MP-2 - PE-2 - PE-3 - PE-4 - RA-3 - - -

Determine if the organization:

- - MA-5(a) - - assessment-objective - EXAMINE - MA-5(a)[1] -

establishes a process for maintenance personnel authorization;

- - - assessment-objective - EXAMINE - MA-5(a)[2] -

maintains a list of authorized maintenance organizations or personnel;

- - - - assessment-objective - INTERVIEW - TEST - MA-5(b) -

ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - assessment-objective - EXAMINE - MA-5(c) -

designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

service provider contracts

-

service-level agreements

-

list of authorized personnel

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for authorizing and managing maintenance personnel

-

automated mechanisms supporting and/or implementing authorization of maintenance - personnel

- - - - Individuals Without Appropriate Access - MA-5(1) - ma-05.01 - -

The organization:

- - (a) -

Implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements:

- - (1) -

Maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who are fully cleared, have - appropriate access authorizations, and are technically qualified;

- - - (2) -

Prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances or formal access - approvals, all volatile information storage components within the - information system are sanitized and all nonvolatile storage media are - removed or physically disconnected from the system and secured; and

- - - - (b) -

Develops and implements alternate security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system.

- - - MA-5 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline

- - - - -

This control enhancement denies individuals who lack appropriate security - clearances (i.e., individuals who do not possess security clearances or possess - security clearances at a lower level than required) or who are not U.S. citizens, - visual and electronic access to any classified information, Controlled - Unclassified Information (CUI), or any other sensitive information contained on - organizational information systems. Procedures for the use of maintenance - personnel can be documented in security plans for the information systems.

- MP-6 - PL-2 - - -

Determine if the organization:

- - MA-5(1)(a) -

implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements:

- - assessment-objective - INTERVIEW - TEST - MA-5(1)(a)(1) -

maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who:

- - MA-5(1)(a)(1)[1] -

are fully cleared;

- - - MA-5(1)(a)(1)[2] -

have appropriate access authorizations;

- - - MA-5(1)(a)(1)[3] -

are technically qualified;

- - MA-5(1)(a)(1) - - - assessment-objective - INTERVIEW - TEST - MA-5(1)(a)(2) -

prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances, or formal access - approvals:

- - MA-5(1)(a)(2)[1] -

all volatile information storage components within the information system - are sanitized; and

- - - MA-5(1)(a)(2)[2] -

all nonvolatile storage media are removed; or

- - - MA-5(1)(a)(2)[3] -

all nonvolatile storage media are physically disconnected from the system - and secured; and

- - MA-5(1)(a)(2) - - MA-5(1)(a) - - - assessment-objective - EXAMINE - INTERVIEW - TEST - MA-5(1)(b) -

develops and implements alternative security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system.

- MA-5(1)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

information system media protection policy

-

physical and environmental protection policy

-

security plan

-

list of maintenance personnel requiring escort/supervision

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with personnel security responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for managing maintenance personnel without appropriate - access

-

automated mechanisms supporting and/or implementing alternative security - safeguards

-

automated mechanisms supporting and/or implementing information storage - component sanitization

- - - - - - Timely Maintenance - - - - - - - MA-6 - ma-06 - -

The organization obtains maintenance support and/or spare parts for within of failure.

- - -

Organizations specify the information system components that result in increased risk - to organizational operations and assets, individuals, other organizations, or the - Nation when the functionality provided by those components is not operational. - Organizational actions to obtain maintenance support typically include having - appropriate contracts in place.

- CM-8 - CP-2 - CP-7 - SA-14 - SA-15 - - -

Determine if the organization:

- - MA-6[1] -

defines information system components for which maintenance support and/or spare - parts are to be obtained;

- - - MA-6[2] -

defines the time period within which maintenance support and/or spare parts are to - be obtained after a failure;

- - - MA-6[3] - - MA-6[3][a] -

obtains maintenance support for organization-defined information system - components within the organization-defined time period of failure; and/or

- - - MA-6[3][b] -

obtains spare parts for organization-defined information system components - within the organization-defined time period of failure.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance

-

service provider contracts

-

service-level agreements

-

inventory and availability of spare parts

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for ensuring timely maintenance

- - - - - - Media Protection - - Media Protection Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - MP-1 - mp-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Media protection policy ; and

- - - 2. -

Media protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MP-1(a) - - MP-1(a)(1) - - assessment-objective - EXAMINE - MP-1(a)(1)[1] -

develops and documents a media protection policy that addresses:

- - MP-1(a)(1)[1][a] -

purpose;

- - - MP-1(a)(1)[1][b] -

scope;

- - - MP-1(a)(1)[1][c] -

roles;

- - - MP-1(a)(1)[1][d] -

responsibilities;

- - - MP-1(a)(1)[1][e] -

management commitment;

- - - MP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MP-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - MP-1(a)(1)[2] -

defines personnel or roles to whom the media protection policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MP-1(a)(1)[3] -

disseminates the media protection policy to organization-defined personnel - or roles;

- - - - MP-1(a)(2) - - assessment-objective - EXAMINE - MP-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls;

- - - assessment-objective - EXAMINE - MP-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - MP-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MP-1(b) - - MP-1(b)(1) - - assessment-objective - EXAMINE - MP-1(b)(1)[1] -

defines the frequency to review and update the current media protection - policy;

- - - assessment-objective - EXAMINE - MP-1(b)(1)[2] -

reviews and updates the current media protection policy with the - organization-defined frequency;

- - - - MP-1(b)(2) - - assessment-objective - EXAMINE - MP-1(b)(2)[1] -

defines the frequency to review and update the current media protection - procedures; and

- - - assessment-objective - EXAMINE - MP-1(b)(2)[2] -

reviews and updates the current media protection procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Media protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media protection responsibilities

-

organizational personnel with information security responsibilities

- - - - - Media Access - - - - - - - MP-2 - mp-02 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization restricts access to to .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team.

- AC-3 - IA-2 - MP-4 - PE-2 - PE-3 - PL-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-2[1] -

defines types of digital and/or non-digital media requiring restricted access;

- - - assessment-objective - EXAMINE - MP-2[2] -

defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - MP-2[3] -

restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media access restrictions

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

media storage facilities

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for restricting information media

-

automated mechanisms supporting and/or implementing media access restrictions

- - - - - Media Marking - - - no removable media types - - - - - MP-3 - mp-03 - FIPS Publication 199 - -

The organization:

- - a. -

Marks information system media indicating the distribution limitations, handling - caveats, and applicable security markings (if any) of the information; and

- - - b. -

Exempts from marking as long as the media remain - within .

- - - MP-3 Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Second parameter not-applicable

- - - - -

The term security marking refers to the application/use of human-readable security - attributes. The term security labeling refers to the application/use of security - attributes with regard to internal data structures within information systems (see - AC-16). Information system media includes both digital and non-digital media. Digital - media includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Security marking is generally not - required for media containing information determined by organizations to be in the - public domain or to be publicly releasable. However, some organizations may require - markings for public information indicating that the information is publicly - releasable. Marking of information system media reflects applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and guidance.

- AC-16 - PL-2 - RA-3 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - MP-3(a) -

marks information system media indicating the:

- - MP-3(a)[1] -

distribution limitations of the information;

- - - MP-3(a)[2] -

handling caveats of the information;

- - - MP-3(a)[3] -

applicable security markings (if any) of the information;

- - - - MP-3(b) - - assessment-objective - EXAMINE - MP-3(b)[1] -

defines types of information system media to be exempted from marking as long - as the media remain in designated controlled areas;

- - - assessment-objective - EXAMINE - MP-3(b)[2] -

defines controlled areas where organization-defined types of information system - media exempt from marking are to be retained; and

- - - assessment-objective - INTERVIEW - TEST - MP-3(b)[3] -

exempts organization-defined types of information system media from marking as - long as the media remain within organization-defined controlled areas.

- - - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media marking

-

physical and environmental protection policy and procedures

-

security plan

-

list of information system media marking security attributes

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and marking - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for marking information media

-

automated mechanisms supporting and/or implementing media marking

- - - - - Media Storage - - - all types of digital and non-digital media with sensitive information - - - - see additional FedRAMP requirements and guidance - - MP-4 - mp-04 - FIPS Publication 199 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - NIST Special Publication 800-111 - -

The organization:

- - a. -

Physically controls and securely stores within - ; and

- - - b. -

Protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures.

- - - MP-4 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines controlled areas within facilities where the information and information system reside.

- - - - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Physically controlling information system - media includes, for example, conducting inventories, ensuring procedures are in place - to allow individuals to check out and return media to the media library, and - maintaining accountability for all stored media. Secure storage includes, for - example, a locked drawer, desk, or cabinet, or a controlled media library. The type - of media storage is commensurate with the security category and/or classification of - the information residing on the media. Controlled areas are areas for which - organizations provide sufficient physical and procedural safeguards to meet the - requirements established for protecting information and/or information systems. For - media containing information determined by organizations to be in the public domain, - to be publicly releasable, or to have limited or no adverse impact on organizations - or individuals if accessed by other than authorized personnel, fewer safeguards may - be needed. In these situations, physical access controls provide adequate - protection.

- CP-6 - CP-9 - MP-2 - MP-7 - PE-3 - - -

Determine if the organization:

- - MP-4(a) - - assessment-objective - EXAMINE - MP-4(a)[1] -

defines types of digital and/or non-digital media to be physically controlled - and securely stored within designated controlled areas;

- - - assessment-objective - EXAMINE - MP-4(a)[2] -

defines controlled areas designated to physically control and securely store - organization-defined types of digital and/or non-digital media;

- - - assessment-objective - INTERVIEW - TEST - MP-4(a)[3] -

physically controls organization-defined types of digital and/or non-digital - media within organization-defined controlled areas;

- - - assessment-objective - INTERVIEW - TEST - MP-4(a)[4] -

securely stores organization-defined types of digital and/or non-digital media - within organization-defined controlled areas; and

- - - - assessment-objective - INTERVIEW - TEST - MP-4(b) -

protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

physical and environmental protection policy and procedures

-

access control policy and procedures

-

security plan

-

information system media

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for storing information media

-

automated mechanisms supporting and/or implementing secure media storage/media - protection

- - - - - Media Transport - - - all media with sensitive information - - - - prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container - - MP-5 - mp-05 - FIPS Publication 199 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Protects and controls during transport outside of - controlled areas using ;

- - - b. -

Maintains accountability for information system media during transport outside of - controlled areas;

- - - c. -

Documents activities associated with the transport of information system media; - and

- - - d. -

Restricts the activities associated with the transport of information system media - to authorized personnel.

- - - MP-5 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

- - - - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers), - that are transported outside of controlled areas. Controlled areas are areas or - spaces for which organizations provide sufficient physical and/or procedural - safeguards to meet the requirements established for protecting information and/or - information systems. Physical and technical safeguards for media are commensurate - with the security category or classification of the information residing on the - media. Safeguards to protect media during transport include, for example, locked - containers and cryptography. Cryptographic mechanisms can provide confidentiality and - integrity protections depending upon the mechanisms used. Activities associated with - transport include the actual transport as well as those activities such as releasing - media for transport and ensuring that media enters the appropriate transport - processes. For the actual transport, authorized transport and courier personnel may - include individuals from outside the organization (e.g., U.S. Postal Service or a - commercial transport or delivery service). Maintaining accountability of media during - transport includes, for example, restricting transport activities to authorized - personnel, and tracking and/or obtaining explicit records of transport activities as - the media moves through the transportation system to prevent and detect loss, - destruction, or tampering. Organizations establish documentation requirements for - activities associated with the transport of information system media in accordance - with organizational assessments of risk to include the flexibility to define - different record-keeping methods for the different types of media transport as part - of an overall system of transport-related records.

- AC-19 - CP-9 - MP-3 - MP-4 - RA-3 - SC-8 - SC-13 - SC-28 - - -

Determine if the organization:

- - MP-5(a) - - assessment-objective - EXAMINE - MP-5(a)[1] -

defines types of information system media to be protected and controlled during - transport outside of controlled areas;

- - - assessment-objective - EXAMINE - MP-5(a)[2] -

defines security safeguards to protect and control organization-defined - information system media during transport outside of controlled areas;

- - - assessment-objective - INTERVIEW - TEST - MP-5(a)[3] -

protects and controls organization-defined information system media during - transport outside of controlled areas using organization-defined security - safeguards;

- - - - assessment-objective - INTERVIEW - TEST - MP-5(b) -

maintains accountability for information system media during transport outside of - controlled areas;

- - - assessment-objective - EXAMINE - MP-5(c) -

documents activities associated with the transport of information system media; - and

- - - assessment-objective - INTERVIEW - TEST - MP-5(d) -

restricts the activities associated with transport of information system media to - authorized personnel.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

physical and environmental protection policy and procedures

-

access control policy and procedures

-

security plan

-

information system media

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for storing information media

-

automated mechanisms supporting and/or implementing media storage/media - protection

- - - - Cryptographic Protection - MP-5(4) - mp-05.04 - -

The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas.

- - -

This control enhancement applies to both portable storage devices (e.g., USB - memory sticks, compact disks, digital video disks, external/removable hard disk - drives) and mobile devices with storage capability (e.g., smart phones, tablets, - E-readers).

- MP-2 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas.

- - - EXAMINE - -

Information system media protection policy

-

procedures addressing media transport

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system media transport records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media transport - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Cryptographic mechanisms protecting information on digital media during - transportation outside controlled areas

- - - - - - Media Sanitization - - - - - - - MP-6 - mp-06 - FIPS Publication 199 - NIST Special Publication 800-60 - NIST Special Publication 800-88 - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - -

The organization:

- - a. -

Sanitizes prior to disposal, release out of - organizational control, or release for reuse using - in accordance with applicable federal and organizational standards and policies; - and

- - - b. -

Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information.

- - - -

This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information.

- MA-2 - MA-4 - RA-3 - SC-4 - - -

Determine if the organization:

- - MP-6(a) - - assessment-objective - EXAMINE - MP-6(a)[1] -

defines information system media to be sanitized prior to:

- - MP-6(a)[1][a] -

disposal;

- - - MP-6(a)[1][b] -

release out of organizational control; or

- - - MP-6(a)[1][c] -

release for reuse;

- - - - assessment-objective - EXAMINE - MP-6(a)[2] -

defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to:

- - MP-6(a)[2][a] -

disposal;

- - - MP-6(a)[2][b] -

release out of organizational control; or

- - - MP-6(a)[2][c] -

release for reuse;

- - - - assessment-objective - INTERVIEW - TEST - MP-6(a)[3] -

sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and

- - - - assessment-objective - INTERVIEW - TEST - MP-6(b) -

employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

applicable federal standards and policies addressing media sanitization

-

media sanitization records

-

audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media sanitization responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - Equipment Testing - - - at least annually - - - MP-6(2) - mp-06.02 - -

The organization tests sanitization equipment and procedures to verify that the intended sanitization is being - achieved.

- - MP-6 (2) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

Equipment and procedures may be tested or validated for effectiveness

- - - - -

Testing of sanitization equipment and procedures may be conducted by qualified and - authorized external entities (e.g., other federal agencies or external service - providers).

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - MP-6(2)[1] -

defines the frequency for testing sanitization equipment and procedures to - verify that the intended sanitization is being achieved; and

- - - assessment-objective - INTERVIEW - TEST - MP-6(2)[2] -

tests sanitization equipment and procedures with the organization-defined - frequency to verify that the intended sanitization is being achieved.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

procedures addressing testing of media sanitization equipment

-

results of media sanitization equipment and procedures testing

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - - Media Use - - - - - - - - - - - MP-7 - mp-07 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization the use of on using .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices.

- AC-19 - PL-4 - - -

Determine if the organization:

- - MP-7[1] -

defines types of information system media to be:

- - MP-7[1][a] -

restricted on information systems or system components; or

- - - MP-7[1][b] -

prohibited from use on information systems or system components;

- - - - MP-7[2] -

defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following:

- - MP-7[2][a] -

restricted; or

- - - MP-7[2][b] -

prohibited;

- - - - assessment-objective - EXAMINE - MP-7[3] -

defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and

- - - assessment-objective - INTERVIEW - TEST - MP-7[4] -

restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards.

- - - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms restricting or prohibiting use of information system media on - information systems or system components

- - - - Prohibit Use Without Owner - MP-7(1) - mp-07.01 - -

The organization prohibits the use of portable storage devices in organizational - information systems when such devices have no identifiable owner.

- - -

Requiring identifiable owners (e.g., individuals, organizations, or projects) for - portable storage devices reduces the risk of using such technologies by allowing - organizations to assign responsibility and accountability for addressing known - vulnerabilities in the devices (e.g., malicious code insertion).

- PL-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization prohibits the use of portable storage devices in - organizational information systems when such devices have no identifiable owner. -

- - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms prohibiting use of media on information systems or system - components

- - - - - - - Physical and Environmental Protection - - Physical and Environmental Protection Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - PE-1 - pe-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Physical and environmental protection policy ; - and

- - - 2. -

Physical and environmental protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PE-1(a) - - PE-1(a)(1) - - assessment-objective - EXAMINE - PE-1(a)(1)[1] -

develops and documents a physical and environmental protection policy that - addresses:

- - PE-1(a)(1)[1][a] -

purpose;

- - - PE-1(a)(1)[1][b] -

scope;

- - - PE-1(a)(1)[1][c] -

roles;

- - - PE-1(a)(1)[1][d] -

responsibilities;

- - - PE-1(a)(1)[1][e] -

management commitment;

- - - PE-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PE-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PE-1(a)(1)[2] -

defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-1(a)(1)[3] -

disseminates the physical and environmental protection policy to - organization-defined personnel or roles;

- - - - PE-1(a)(2) - - assessment-objective - EXAMINE - PE-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls;

- - - assessment-objective - EXAMINE - PE-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PE-1(b) - - PE-1(b)(1) - - assessment-objective - EXAMINE - PE-1(b)(1)[1] -

defines the frequency to review and update the current physical and - environmental protection policy;

- - - assessment-objective - EXAMINE - PE-1(b)(1)[2] -

reviews and updates the current physical and environmental protection policy - with the organization-defined frequency;

- - - - PE-1(b)(2) - - assessment-objective - EXAMINE - PE-1(b)(2)[1] -

defines the frequency to review and update the current physical and - environmental protection procedures; and

- - - assessment-objective - EXAMINE - PE-1(b)(2)[2] -

reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Physical and environmental protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical and environmental protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Physical Access Authorizations - - - at least annually - - - PE-2 - pe-02 - -

The organization:

- - a. -

Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides;

- - - b. -

Issues authorization credentials for facility access;

- - - c. -

Reviews the access list detailing authorized facility access by individuals - ; and

- - - d. -

Removes individuals from the facility access list when access is no longer - required.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible.

- PE-3 - PE-4 - PS-3 - - -

Determine if the organization:

- - PE-2(a) - - assessment-objective - EXAMINE - INTERVIEW - PE-2(a)[1] -

develops a list of individuals with authorized access to the facility where the - information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-2(a)[2] -

approves a list of individuals with authorized access to the facility where the - information system resides;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-2(a)[3] -

maintains a list of individuals with authorized access to the facility where - the information system resides;

- - - - assessment-objective - INTERVIEW - TEST - PE-2(b) -

issues authorization credentials for facility access;

- - - PE-2(c) - - assessment-objective - EXAMINE - PE-2(c)[1] -

defines the frequency to review the access list detailing authorized facility - access by individuals;

- - - assessment-objective - INTERVIEW - TEST - PE-2(c)[2] -

reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and

- - - - assessment-objective - INTERVIEW - TEST - PE-2(d) -

removes individuals from the facility access list when access is no longer - required.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

security plan

-

authorized personnel access list

-

authorization credentials

-

physical access list reviews

-

physical access termination records and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization responsibilities

-

organizational personnel with physical access to information system facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - - Physical Access Control - - - - - CSP defined physical access control systems/devices AND guards - - - - CSP defined physical access control systems/devices - - - - - - - - - - in all circumstances within restricted access area where the information system resides - - - - - - - at least annually - - - - at least annually - - - PE-3 - pe-03 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-116 - ICD 704 - ICD 705 - DoD Instruction 5200.39 - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - http://idmanagement.gov - http://fips201ep.cio.gov - -

The organization:

- - a. -

Enforces physical access authorizations at by;

- - 1. -

Verifying individual access authorizations before granting access to the - facility; and

- - - 2. -

Controlling ingress/egress to the facility using ;

- - - - b. -

Maintains physical access audit logs for ;

- - - c. -

Provides to control access to areas within the - facility officially designated as publicly accessible;

- - - d. -

Escorts visitors and monitors visitor activity ;

- - - e. -

Secures keys, combinations, and other physical access devices;

- - - f. -

Inventories every ; - and

- - - g. -

Changes combinations and keys and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices.

- AU-2 - AU-6 - MP-2 - MP-4 - PE-2 - PE-4 - PE-5 - PS-3 - RA-3 - - -

Determine if the organization:

- - PE-3(a) - - assessment-objective - EXAMINE - PE-3(a)[1] -

defines entry/exit points to the facility where the information system - resides;

- - - assessment-objective - INTERVIEW - TEST - PE-3(a)[2] -

enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by:

- - PE-3(a)[2](1) -

verifying individual access authorizations before granting access to the - facility;

- - - assessment-objective - EXAMINE - PE-3(a)[2](2) - - PE-3(a)[2](2)[a] -

defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides;

- - - PE-3(a)[2](2)[b] -

using one or more of the following ways to control ingress/egress to the - facility:

- - PE-3(a)[2](2)[b][1] -

organization-defined physical access control systems/devices; - and/or

- - - PE-3(a)[2](2)[b][2] -

guards;

- - - - - - - PE-3(b) - - assessment-objective - EXAMINE - PE-3(b)[1] -

defines entry/exit points for which physical access audit logs are to be - maintained;

- - - assessment-objective - INTERVIEW - TEST - PE-3(b)[2] -

maintains physical access audit logs for organization-defined entry/exit - points;

- - - - PE-3(c) - - assessment-objective - EXAMINE - PE-3(c)[1] -

defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible;

- - - assessment-objective - INTERVIEW - TEST - PE-3(c)[2] -

provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible;

- - - - PE-3(d) - - assessment-objective - EXAMINE - PE-3(d)[1] -

defines circumstances requiring visitor:

- - PE-3(d)[1][a] -

escorts;

- - - PE-3(d)[1][b] -

monitoring;

- - - - assessment-objective - INTERVIEW - TEST - PE-3(d)[2] -

in accordance with organization-defined circumstances requiring visitor escorts - and monitoring:

- - PE-3(d)[2][a] -

escorts visitors;

- - - PE-3(d)[2][b] -

monitors visitor activities;

- - - - - PE-3(e) - - assessment-objective - INTERVIEW - TEST - PE-3(e)[1] -

secures keys;

- - - assessment-objective - INTERVIEW - TEST - PE-3(e)[2] -

secures combinations;

- - - assessment-objective - INTERVIEW - TEST - PE-3(e)[3] -

secures other physical access devices;

- - - - PE-3(f) - - assessment-objective - EXAMINE - PE-3(f)[1] -

defines physical access devices to be inventoried;

- - - assessment-objective - EXAMINE - PE-3(f)[2] -

defines the frequency to inventory organization-defined physical access - devices;

- - - assessment-objective - INTERVIEW - TEST - PE-3(f)[3] -

inventories the organization-defined physical access devices with the - organization-defined frequency;

- - - - PE-3(g) - - assessment-objective - EXAMINE - PE-3(g)[1] -

defines the frequency to change combinations and keys; and

- - - assessment-objective - INTERVIEW - TEST - PE-3(g)[2] -

changes combinations and keys with the organization-defined frequency and/or - when:

- - PE-3(g)[2][a] -

keys are lost;

- - - PE-3(g)[2][b] -

combinations are compromised;

- - - PE-3(g)[2][c] -

individuals are transferred or terminated.

- - - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security plan

-

physical access control logs or records

-

inventory records of physical access control devices

-

information system entry and exit points

-

records of key and lock combination changes

-

storage locations for physical access control devices

-

physical access control devices

-

list of security safeguards controlling access to designated publicly accessible - areas within facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control

-

automated mechanisms supporting and/or implementing physical access control

-

physical access control devices

- - - - - Access Control for Transmission Medium - - - - - - - PE-4 - pe-04 - NSTISSI No. 7003 - -

The organization controls physical access to within - organizational facilities using .

- - -

Physical security safeguards applied to information system distribution and - transmission lines help to prevent accidental damage, disruption, and physical - tampering. In addition, physical safeguards may be necessary to help prevent - eavesdropping or in transit modification of unencrypted transmissions. Security - safeguards to control physical access to system distribution and transmission lines - include, for example: (i) locked wiring closets; (ii) disconnected or locked spare - jacks; and/or (iii) protection of cabling by conduit or cable trays.

- MP-2 - MP-4 - PE-2 - PE-3 - PE-5 - SC-7 - SC-8 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-4[1] -

defines information system distribution and transmission lines requiring physical - access controls;

- - - assessment-objective - EXAMINE - PE-4[2] -

defines security safeguards to be employed to control physical access to - organization-defined information system distribution and transmission lines within - organizational facilities; and

- - - assessment-objective - INTERVIEW - TEST - PE-4[3] -

controls physical access to organization-defined information system distribution - and transmission lines within organizational facilities using organization-defined - security safeguards.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing access control for transmission medium

-

information system design documentation

-

facility communications and wiring diagrams

-

list of physical security safeguards applied to information system distribution - and transmission lines

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to distribution and transmission - lines

-

automated mechanisms/security safeguards supporting and/or implementing access - control to distribution and transmission lines

- - - - - Access Control for Output Devices - PE-5 - pe-05 - -

The organization controls physical access to information system output devices to - prevent unauthorized individuals from obtaining the output.

- - -

Controlling physical access to output devices includes, for example, placing output - devices in locked rooms or other secured areas and allowing access to authorized - individuals only, and placing output devices in locations that can be monitored by - organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, - and audio devices are examples of information system output devices.

- PE-2 - PE-3 - PE-4 - PE-18 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization controls physical access to information system output - devices to prevent unauthorized individuals from obtaining the output.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing access control for display medium

-

facility layout of information system components

-

actual displays from information system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to output devices

-

automated mechanisms supporting and/or implementing access control to output - devices

- - - - - Monitoring Physical Access - - - at least monthly - - - - - - PE-6 - pe-06 - -

The organization:

- - a. -

Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - b. -

Reviews physical access logs and upon occurrence - of ; and

- - - c. -

Coordinates results of reviews and investigations with the organizational incident - response capability.

- - - -

Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses.

- CA-7 - IR-4 - IR-8 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - PE-6(a) -

monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - PE-6(b) - - assessment-objective - EXAMINE - PE-6(b)[1] -

defines the frequency to review physical access logs;

- - - assessment-objective - EXAMINE - PE-6(b)[2] -

defines events or potential indication of events requiring physical access logs - to be reviewed;

- - - assessment-objective - INTERVIEW - TEST - PE-6(b)[3] -

reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and

- - - - assessment-objective - EXAMINE - INTERVIEW - PE-6(c) -

coordinates results of reviews and investigations with the organizational incident - response capability.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access monitoring

-

automated mechanisms supporting and/or implementing reviewing of physical access - logs

- - - - Intrusion Alarms / Surveillance Equipment - PE-6(1) - pe-06.01 - -

The organization monitors physical intrusion alarms and surveillance - equipment.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization monitors physical intrusion alarms and surveillance - equipment.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical intrusion alarms and - surveillance equipment

-

automated mechanisms supporting and/or implementing physical access - monitoring

-

automated mechanisms supporting and/or implementing physical intrusion alarms - and surveillance equipment

- - - - - - Visitor Access Records - - - for a minimum of one (1) year - - - - at least monthly - - - PE-8 - pe-08 - -

The organization:

- - a. -

Maintains visitor access records to the facility where the information system - resides for ; and

- - - b. -

Reviews visitor access records .

- - - -

Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas.

- - -

Determine if the organization:

- - PE-8(a) - - assessment-objective - EXAMINE - PE-8(a)[1] -

defines the time period to maintain visitor access records to the facility - where the information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-8(a)[2] -

maintains visitor access records to the facility where the information system - resides for the organization-defined time period;

- - - - PE-8(b) - - assessment-objective - EXAMINE - PE-8(b)[1] -

defines the frequency to review visitor access records; and

- - - assessment-objective - INTERVIEW - TEST - PE-8(b)[2] -

reviews visitor access records with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

security plan

-

visitor access control logs or records

-

visitor access record or log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - - - Power Equipment and Cabling - PE-9 - pe-09 - -

The organization protects power equipment and power cabling for the information - system from damage and destruction.

- - -

Organizations determine the types of protection necessary for power equipment and - cabling employed at different locations both internal and external to organizational - facilities and environments of operation. This includes, for example, generators and - power cabling outside of buildings, internal cabling and uninterruptable power - sources within an office or data center, and power sources for self-contained - entities such as vehicles and satellites.

- PE-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects power equipment and power cabling for the - information system from damage and destruction.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power equipment/cabling protection

-

facilities housing power equipment/cabling

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for protecting power - equipment/cabling

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection of power - equipment/cabling

- - - - - Emergency Shutoff - - - - PE-10 - pe-10 - -

The organization:

- - a. -

Provides the capability of shutting off power to the information system or - individual system components in emergency situations;

- - - b. -

Places emergency shutoff switches or devices in - to facilitate safe and easy access for personnel; and

- - - c. -

Protects emergency power shutoff capability from unauthorized activation.

- - - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- PE-15 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - PE-10(a) -

provides the capability of shutting off power to the information system or - individual system components in emergency situations;

- - - PE-10(b) - - assessment-objective - EXAMINE - PE-10(b)[1] -

defines the location of emergency shutoff switches or devices by information - system or system component;

- - - assessment-objective - INTERVIEW - TEST - PE-10(b)[2] -

places emergency shutoff switches or devices in the organization-defined - location by information system or system component to facilitate safe and easy - access for personnel; and

- - - - assessment-objective - INTERVIEW - TEST - PE-10(c) -

protects emergency power shutoff capability from unauthorized activation.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power source emergency shutoff

-

security plan

-

emergency shutoff controls or switches

-

locations housing emergency shutoff switches and devices

-

security safeguards protecting emergency power shutoff capability from - unauthorized activation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power shutoff - capability (both implementing and using the capability)

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency power shutoff

- - - - - Emergency Power - - PE-11 - pe-11 - -

The organization provides a short-term uninterruptible power supply to facilitate - in the event of a primary power source loss.

- - - AT-3 - CP-2 - CP-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization provides a short-term uninterruptible power supply to - facilitate one or more of the following in the event of a primary power source loss:

- - PE-11[1] -

an orderly shutdown of the information system; and/or

- - - PE-11[2] -

transition of the information system to long-term alternate power.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency power

-

uninterruptible power supply

-

uninterruptible power supply documentation

-

uninterruptible power supply test records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing uninterruptible power - supply

-

the uninterruptable power supply

- - - - - Emergency Lighting - PE-12 - pe-12 - -

The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- CP-2 - CP-7 - - -

Determine if the organization employs and maintains automatic emergency lighting for - the information system that:

- - PE-12[1] -

activates in the event of a power outage or disruption; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-12[2] -

covers emergency exits and evacuation routes within the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency lighting

-

emergency lighting documentation

-

emergency lighting test records

-

emergency exits and evacuation routes

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency lighting and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency lighting - capability

- - - - - Fire Protection - PE-13 - pe-13 - -

The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors.

- - -

Determine if the organization:

- - PE-13[1] -

employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and

- - - PE-13[2] -

maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and suppression - devices/systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems

- - - - Suppression Devices / Systems - - - - - - - PE-13(2) - pe-13.02 - -

The organization employs fire suppression devices/systems for the information - system that provide automatic notification of any activation to and .

- - -

Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-13(2)[1] -

defines personnel or roles to be provided automatic notification of any - activation of fire suppression devices/systems for the information system;

- - - assessment-objective - EXAMINE - PE-13(2)[2] -

defines emergency responders to be provided automatic notification of any - activation of fire suppression devices/systems for the information system;

- - - assessment-objective - INTERVIEW - TEST - PE-13(2)[3] -

employs fire suppression devices/systems for the information system that - provide automatic notification of any activation to:

- - PE-13(2)[3][a] -

organization-defined personnel or roles; and

- - - PE-13(2)[3][b] -

organization-defined emergency responders.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems documentation

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression - devices/systems

-

activation of fire suppression devices/systems (simulated)

-

automated notifications

- - - - - Automatic Fire Suppression - PE-13(3) - pe-13.03 - -

The organization employs an automatic fire suppression capability for the - information system when the facility is not staffed on a continuous basis.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs an automatic fire suppression capability for - the information system when the facility is not staffed on a continuous basis. -

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems documentation

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression - devices/systems

-

activation of fire suppression devices/systems (simulated)

- - - - - - Temperature and Humidity Controls - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - - continuously - - PE-14 - pe-14 - -

The organization:

- - a. -

Maintains temperature and humidity levels within the facility where the - information system resides at ; and

- - - b. -

Monitors temperature and humidity levels .

- - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - -

This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms.

- AT-3 - - -

Determine if the organization:

- - PE-14(a) - - assessment-objective - EXAMINE - PE-14(a)[1] -

defines acceptable temperature levels to be maintained within the facility - where the information system resides;

- - - assessment-objective - EXAMINE - PE-14(a)[2] -

defines acceptable humidity levels to be maintained within the facility where - the information system resides;

- - - assessment-objective - INTERVIEW - TEST - PE-14(a)[3] -

maintains temperature levels within the facility where the information system - resides at the organization-defined levels;

- - - assessment-objective - INTERVIEW - TEST - PE-14(a)[4] -

maintains humidity levels within the facility where the information system - resides at the organization-defined levels;

- - - - PE-14(b) - - assessment-objective - EXAMINE - PE-14(b)[1] -

defines the frequency to monitor temperature levels;

- - - assessment-objective - EXAMINE - PE-14(b)[2] -

defines the frequency to monitor humidity levels;

- - - assessment-objective - INTERVIEW - TEST - PE-14(b)[3] -

monitors temperature levels with the organization-defined frequency; and

- - - assessment-objective - INTERVIEW - TEST - PE-14(b)[4] -

monitors humidity levels with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity control

-

security plan

-

temperature and humidity controls

-

facility housing the information system

-

temperature and humidity controls documentation

-

temperature and humidity records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels

- - - - Monitoring with Alarms / Notifications - PE-14(2) - pe-14.02 - -

The organization employs temperature and humidity monitoring that provides an - alarm or notification of changes potentially harmful to personnel or - equipment.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-14(2)[1] -

employs temperature monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - PE-14(2)[2] -

employs temperature monitoring that provides notification of changes - potentially harmful to personnel or equipment;

- - - PE-14(2)[3] -

employs humidity monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or

- - - PE-14(2)[4] -

employs humidity monitoring that provides notification of changes potentially - harmful to personnel or equipment.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity monitoring

-

facility housing the information system

-

logs or records of temperature and humidity monitoring

-

records of changes to temperature and humidity levels that generate alarms or - notifications

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing temperature and humidity - monitoring

- - - - - - Water Damage Protection - PE-15 - pe-15 - -

The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations.

- AT-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are:

- - PE-15[1] -

accessible;

- - - PE-15[2] -

working properly; and

- - - PE-15[3] -

known to key personnel.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

master shutoff valves

-

list of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system

-

master shutoff valve documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Master water-shutoff valves

-

organizational process for activating master water-shutoff

- - - - - Delivery and Removal - - - all information system components - - PE-16 - pe-16 - -

The organization authorizes, monitors, and controls - entering and exiting the facility and maintains records of those items.

- - -

Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries.

- CM-3 - MA-2 - MA-3 - MP-5 - SA-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PE-16[1] -

defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[2] -

authorizes organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[3] -

monitors organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[4] -

controls organization-defined information system components entering the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[5] -

authorizes organization-defined information system components exiting the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[6] -

monitors organization-defined information system components exiting the - facility;

- - - assessment-objective - INTERVIEW - TEST - PE-16[7] -

controls organization-defined information system components exiting the - facility;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-16[8] -

maintains records of information system components entering the facility; and

- - - assessment-objective - EXAMINE - INTERVIEW - PE-16[9] -

maintains records of information system components exiting the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing delivery and removal of information system components from - the facility

-

security plan

-

facility housing the information system

-

records of items entering and exiting the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility

- - - - - Alternate Work Site - - - - PE-17 - pe-17 - NIST Special Publication 800-46 - -

The organization:

- - a. -

Employs at alternate work sites;

- - - b. -

Assesses as feasible, the effectiveness of security controls at alternate work - sites; and

- - - c. -

Provides a means for employees to communicate with information security personnel - in case of security incidents or problems.

- - - -

Alternate work sites may include, for example, government facilities or private - residences of employees. While commonly distinct from alternative processing sites, - alternate work sites may provide readily available alternate locations as part of - contingency operations. Organizations may define different sets of security controls - for specific alternate work sites or types of sites depending on the work-related - activities conducted at those sites. This control supports the contingency planning - activities of organizations and the federal telework initiative.

- AC-17 - CP-7 - - -

Determine if the organization:

- - PE-17(a) - - assessment-objective - EXAMINE - PE-17(a)[1] -

defines security controls to be employed at alternate work sites;

- - - assessment-objective - EXAMINE - INTERVIEW - PE-17(a)[2] -

employs organization-defined security controls at alternate work sites;

- - - - assessment-objective - EXAMINE - INTERVIEW - PE-17(b) -

assesses, as feasible, the effectiveness of security controls at alternate work - sites; and

- - - assessment-objective - INTERVIEW - TEST - PE-17(c) -

provides a means for employees to communicate with information security personnel - in case of security incidents or problems.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing alternate work sites for organizational personnel

-

security plan

-

list of security controls required for alternate work sites

-

assessments of security controls at alternate work sites

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel approving use of alternate work sites

-

organizational personnel using alternate work sites

-

organizational personnel assessing controls at alternate work sites

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security at alternate work sites

-

automated mechanisms supporting alternate work sites

-

security controls employed at alternate work sites

-

means of communications between personnel at alternate work sites and security - personnel

- - - - - - Planning - - Security Planning Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - PL-1 - pl-01 - NIST Special Publication 800-12 - NIST Special Publication 800-18 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security planning policy ; and

- - - 2. -

Security planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PL-1(a) - - PL-1(a)(1) - - assessment-objective - EXAMINE - PL-1(a)(1)[1] -

develops and documents a planning policy that addresses:

- - PL-1(a)(1)[1][a] -

purpose;

- - - PL-1(a)(1)[1][b] -

scope;

- - - PL-1(a)(1)[1][c] -

roles;

- - - PL-1(a)(1)[1][d] -

responsibilities;

- - - PL-1(a)(1)[1][e] -

management commitment;

- - - PL-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PL-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PL-1(a)(1)[2] -

defines personnel or roles to whom the planning policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PL-1(a)(1)[3] -

disseminates the planning policy to organization-defined personnel or - roles;

- - - - PL-1(a)(2) - - assessment-objective - EXAMINE - PL-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls;

- - - assessment-objective - EXAMINE - PL-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PL-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PL-1(b) - - PL-1(b)(1) - - assessment-objective - EXAMINE - PL-1(b)(1)[1] -

defines the frequency to review and update the current planning policy;

- - - assessment-objective - EXAMINE - PL-1(b)(1)[2] -

reviews and updates the current planning policy with the - organization-defined frequency;

- - - - PL-1(b)(2) - - assessment-objective - EXAMINE - PL-1(b)(2)[1] -

defines the frequency to review and update the current planning procedures; - and

- - - assessment-objective - EXAMINE - PL-1(b)(2)[2] -

reviews and updates the current planning procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - System Security Plan - - - - - - at least annually - - - PL-2 - pl-02 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Develops a security plan for the information system that:

- - 1. -

Is consistent with the organization’s enterprise architecture;

- - - 2. -

Explicitly defines the authorization boundary for the system;

- - - 3. -

Describes the operational context of the information system in terms of - missions and business processes;

- - - 4. -

Provides the security categorization of the information system including - supporting rationale;

- - - 5. -

Describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - 6. -

Provides an overview of the security requirements for the system;

- - - 7. -

Identifies any relevant overlays, if applicable;

- - - 8. -

Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and

- - - 9. -

Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - b. -

Distributes copies of the security plan and communicates subsequent changes to the - plan to ;

- - - c. -

Reviews the security plan for the information system ;

- - - d. -

Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and

- - - e. -

Protects the security plan from unauthorized disclosure and modification.

- - - -

Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans.

- AC-2 - AC-6 - AC-14 - AC-17 - AC-20 - CA-2 - CA-3 - CA-7 - CM-9 - CP-2 - IR-8 - MA-4 - MA-5 - MP-2 - MP-4 - MP-5 - PL-7 - PM-1 - PM-7 - PM-8 - PM-9 - PM-11 - SA-5 - SA-17 - - -

Determine if the organization:

- - PL-2(a) -

develops a security plan for the information system that:

- - assessment-objective - EXAMINE - PL-2(a)(1) -

is consistent with the organization’s enterprise architecture;

- - - assessment-objective - EXAMINE - PL-2(a)(2) -

explicitly defines the authorization boundary for the system;

- - - assessment-objective - EXAMINE - PL-2(a)(3) -

describes the operational context of the information system in terms of - missions and business processes;

- - - assessment-objective - EXAMINE - PL-2(a)(4) -

provides the security categorization of the information system including - supporting rationale;

- - - assessment-objective - EXAMINE - PL-2(a)(5) -

describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - assessment-objective - EXAMINE - PL-2(a)(6) -

provides an overview of the security requirements for the system;

- - - assessment-objective - EXAMINE - PL-2(a)(7) -

identifies any relevant overlays, if applicable;

- - - assessment-objective - EXAMINE - PL-2(a)(8) -

describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions;

- - - assessment-objective - INTERVIEW - TEST - PL-2(a)(9) -

is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - PL-2(b) - - assessment-objective - EXAMINE - PL-2(b)[1] -

defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated;

- - - assessment-objective - INTERVIEW - TEST - PL-2(b)[2] -

distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles;

- - - - PL-2(c) - - assessment-objective - EXAMINE - PL-2(c)[1] -

defines the frequency to review the security plan for the information - system;

- - - assessment-objective - EXAMINE - PL-2(c)[2] -

reviews the security plan for the information system with the - organization-defined frequency;

- - - - assessment-objective - INTERVIEW - TEST - PL-2(d) -

updates the plan to address:

- - PL-2(d)[1] -

changes to the information system/environment of operation;

- - - PL-2(d)[2] -

problems identified during plan implementation;

- - - PL-2(d)[3] -

problems identified during security control assessments;

- - - - assessment-objective - INTERVIEW - TEST - PL-2(e) -

protects the security plan from unauthorized:

- - PL-2(e)[1] -

disclosure; and

- - - PL-2(e)[2] -

modification.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing security plan development and implementation

-

procedures addressing security plan reviews and updates

-

enterprise architecture documentation

-

security plan for the information system

-

records of security plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security plan development/review/update/approval

-

automated mechanisms supporting the information system security plan

- - - - Plan / Coordinate with Other Organizational Entities - - - - PL-2(3) - pl-02.03 - -

The organization plans and coordinates security-related activities affecting the - information system with before conducting such - activities in order to reduce the impact on other organizational entities.

- - -

Security-related activities include, for example, security assessments, audits, - hardware and software maintenance, patch management, and contingency plan testing. - Advance planning and coordination includes emergency and nonemergency (i.e., - planned or nonurgent unplanned) situations. The process defined by organizations - to plan and coordinate security-related activities can be included in security - plans for information systems or other documents, as appropriate.

- CP-4 - IR-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PL-2(3)[1] -

defines individuals or groups with whom security-related activities affecting - the information system are to be planned and coordinated before conducting such - activities in order to reduce the impact on other organizational entities; - and

- - - assessment-objective - EXAMINE - INTERVIEW - PL-2(3)[2] -

plans and coordinates security-related activities affecting the information - system with organization-defined individuals or groups before conducting such - activities in order to reduce the impact on other organizational entities.

- - - - EXAMINE - -

Security planning policy

-

access control policy

-

contingency planning policy

-

procedures addressing security-related activity planning for the information - system

-

security plan for the information system

-

contingency plan for the information system

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational individuals or groups with whom security-related activities are - to be planned and coordinated

-

organizational personnel with information security responsibilities

- - - - - - Rules of Behavior - - - At least every 3 years - - PL-4 - pl-04 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage;

- - - b. -

Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - c. -

Reviews and updates the rules of behavior ; and

- - - d. -

Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated.

- - - -

This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior.

- AC-2 - AC-6 - AC-8 - AC-9 - AC-17 - AC-18 - AC-19 - AC-20 - AT-2 - AT-3 - CM-11 - IA-2 - IA-4 - IA-5 - MP-7 - PS-6 - PS-8 - SA-5 - - -

Determine if the organization:

- - PL-4(a) - - assessment-objective - EXAMINE - PL-4(a)[1] -

establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage;

- - - assessment-objective - INTERVIEW - TEST - PL-4(a)[2] -

makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage;

- - - - assessment-objective - TEST - PL-4(b) -

receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - PL-4(c) - - assessment-objective - EXAMINE - PL-4(c)[1] -

defines the frequency to review and update the rules of behavior;

- - - assessment-objective - INTERVIEW - TEST - PL-4(c)[2] -

reviews and updates the rules of behavior with the organization-defined - frequency; and

- - - - assessment-objective - INTERVIEW - TEST - PL-4(d) -

requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

signed acknowledgements

-

records for rules of behavior reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior

-

automated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior

- - - - Social Media and Networking Restrictions - PL-4(1) - pl-04.01 - -

The organization includes in the rules of behavior, explicit restrictions on the - use of social media/networking sites and posting organizational information on - public websites.

- - -

This control enhancement addresses rules of behavior related to the use of social - media/networking sites: (i) when organizational personnel are using such sites for - official duties or in the conduct of official business; (ii) when organizational - information is involved in social media/networking transactions; and (iii) when - personnel are accessing social media/networking sites from organizational - information systems. Organizations also address specific rules that prevent - unauthorized entities from obtaining and/or inferring non-public organizational - information (e.g., system account information, personally identifiable - information) from social media/networking sites.

- - -

Determine if the organization includes the following in the rules of behavior:

- - assessment-objective - INTERVIEW - TEST - PL-4(1)[1] -

explicit restrictions on the use of social media/networking sites; and

- - - assessment-objective - INTERVIEW - TEST - PL-4(1)[2] -

posting organizational information on public websites.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing rules of behavior

-

automated mechanisms supporting and/or implementing the establishment of rules - of behavior

- - - - - - Information Security Architecture - - - At least annually or when a significant change occurs - - - PL-8 - pl-08 - -

The organization:

- - a. -

Develops an information security architecture for the information system that:

- - 1. -

Describes the overall philosophy, requirements, and approach to be taken with - regard to protecting the confidentiality, integrity, and availability of - organizational information;

- - - 2. -

Describes how the information security architecture is integrated into and - supports the enterprise architecture; and

- - - 3. -

Describes any information security assumptions about, and dependencies on, - external services;

- - - - b. -

Reviews and updates the information security architecture to reflect updates in the enterprise architecture; - and

- - - c. -

Ensures that planned information security architecture changes are reflected in - the security plan, the security Concept of Operations (CONOPS), and organizational - procurements/acquisitions.

- - - PL-8(b) Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - -

This control addresses actions taken by organizations in the design and development - of information systems. The information security architecture at the individual - information system level is consistent with and complements the more global, - organization-wide information security architecture described in PM-7 that is - integral to and developed as part of the enterprise architecture. The information - security architecture includes an architectural description, the placement/allocation - of security functionality (including security controls), security-related information - for external interfaces, information being exchanged across the interfaces, and the - protection mechanisms associated with each interface. In addition, the security - architecture can include other important security-related information, for example, - user roles and access privileges assigned to each role, unique security requirements, - the types of information processed, stored, and transmitted by the information - system, restoration priorities of information and information system services, and - any other specific protection needs. In today’s modern architecture, it is becoming - less common for organizations to control all information resources. There are going - to be key dependencies on external information services and service providers. - Describing such dependencies in the information security architecture is important to - developing a comprehensive mission/business protection strategy. Establishing, - developing, documenting, and maintaining under configuration control, a baseline - configuration for organizational information systems is critical to implementing and - maintaining an effective information security architecture. The development of the - information security architecture is coordinated with the Senior Agency Official for - Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to - support privacy requirements are identified and effectively implemented. PL-8 is - primarily directed at organizations (i.e., internally focused) to help ensure that - organizations develop an information security architecture for the information - system, and that the security architecture is integrated with or tightly coupled to - the enterprise architecture through the organization-wide information security - architecture. In contrast, SA-17 is primarily directed at external information - technology product/system developers and integrators (although SA-17 could be used - internally within organizations for in-house system development). SA-17, which is - complementary to PL-8, is selected when organizations outsource the development of - information systems or information system components to external entities, and there - is a need to demonstrate/show consistency with the organization’s enterprise - architecture and information security architecture.

- CM-2 - CM-6 - PL-2 - PM-7 - SA-5 - SA-17 - Appendix J - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PL-8(a) -

develops an information security architecture for the information system that - describes:

- - PL-8(a)(1) -

the overall philosophy, requirements, and approach to be taken with regard to - protecting the confidentiality, integrity, and availability of organizational - information;

- - - PL-8(a)(2) -

how the information security architecture is integrated into and supports the - enterprise architecture;

- - - PL-8(a)(3) -

any information security assumptions about, and dependencies on, external - services;

- - - - PL-8(b) - - assessment-objective - EXAMINE - PL-8(b)[1] -

defines the frequency to review and update the information security - architecture;

- - - assessment-objective - INTERVIEW - TEST - PL-8(b)[2] -

reviews and updates the information security architecture with the - organization-defined frequency to reflect updates in the enterprise - architecture;

- - - - assessment-objective - INTERVIEW - TEST - PL-8(c) -

ensures that planned information security architecture changes are reflected - in:

- - PL-8(c)[1] -

the security plan;

- - - PL-8(c)[2] -

the security Concept of Operations (CONOPS); and

- - - PL-8(c)[3] -

the organizational procurements/acquisitions.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing information security architecture development

-

procedures addressing information security architecture reviews and updates

-

enterprise architecture documentation

-

information security architecture documentation

-

security plan for the information system

-

security CONOPS for the information system

-

records of information security architecture reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security architecture development - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for developing, reviewing, and updating the information - security architecture

-

automated mechanisms supporting and/or implementing the development, review, and - update of the information security architecture

- - - - - - Personnel Security - - Personnel Security Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - PS-1 - ps-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Personnel security policy ; and

- - - 2. -

Personnel security procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PS-1(a) - - PS-1(a)(1) - - assessment-objective - EXAMINE - PS-1(a)(1)[1] -

develops and documents an personnel security policy that addresses:

- - PS-1(a)(1)[1][a] -

purpose;

- - - PS-1(a)(1)[1][b] -

scope;

- - - PS-1(a)(1)[1][c] -

roles;

- - - PS-1(a)(1)[1][d] -

responsibilities;

- - - PS-1(a)(1)[1][e] -

management commitment;

- - - PS-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PS-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - PS-1(a)(1)[2] -

defines personnel or roles to whom the personnel security policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-1(a)(1)[3] -

disseminates the personnel security policy to organization-defined personnel - or roles;

- - - - PS-1(a)(2) - - assessment-objective - EXAMINE - PS-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls;

- - - assessment-objective - EXAMINE - PS-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PS-1(b) - - PS-1(b)(1) - - assessment-objective - EXAMINE - PS-1(b)(1)[1] -

defines the frequency to review and update the current personnel security - policy;

- - - assessment-objective - EXAMINE - PS-1(b)(1)[2] -

reviews and updates the current personnel security policy with the - organization-defined frequency;

- - - - PS-1(b)(2) - - assessment-objective - EXAMINE - PS-1(b)(2)[1] -

defines the frequency to review and update the current personnel security - procedures; and

- - - assessment-objective - EXAMINE - PS-1(b)(2)[2] -

reviews and updates the current personnel security procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Position Risk Designation - - - at least every three years - - PS-2 - ps-02 - 5 C.F.R. 731.106 - -

The organization:

- - a. -

Assigns a risk designation to all organizational positions;

- - - b. -

Establishes screening criteria for individuals filling those positions; and

- - - c. -

Reviews and updates position risk designations .

- - - -

Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances).

- AT-3 - PL-2 - PS-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-2(a) -

assigns a risk designation to all organizational positions;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-2(b) -

establishes screening criteria for individuals filling those positions;

- - - PS-2(c) - - assessment-objective - EXAMINE - PS-2(c)[1] -

defines the frequency to review and update position risk designations; and

- - - assessment-objective - INTERVIEW - TEST - PS-2(c)[2] -

reviews and updates position risk designations with the organization-defined - frequency.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing position categorization

-

appropriate codes of federal regulations

-

list of risk designations for organizational positions

-

security plan

-

records of position risk designation reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for assigning, reviewing, and updating position risk - designations

-

organizational processes for establishing screening criteria

- - - - - Personnel Screening - - - for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - - - PS-3 - ps-03 - 5 C.F.R. 731.106 - FIPS Publication 199 - FIPS Publication 201 - NIST Special Publication 800-60 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - ICD 704 - -

The organization:

- - a. -

Screens individuals prior to authorizing access to the information system; and

- - - b. -

Rescreens individuals according to .

- - - -

Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems.

- AC-2 - IA-4 - PE-2 - PS-2 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - PS-3(a) -

screens individuals prior to authorizing access to the information system;

- - - PS-3(b) - - assessment-objective - EXAMINE - PS-3(b)[1] -

defines conditions requiring re-screening;

- - - assessment-objective - EXAMINE - PS-3(b)[2] -

defines the frequency of re-screening where it is so indicated; and

- - - assessment-objective - INTERVIEW - TEST - PS-3(b)[3] -

re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel screening

- - - - Information with Special Protection Measures - - - personnel screening criteria - as required by specific information - - PS-3(3) - ps-03.03 - -

The organization ensures that individuals accessing an information system - processing, storing, or transmitting information requiring special protection:

- - (a) -

Have valid access authorizations that are demonstrated by assigned official - government duties; and

- - - (b) -

Satisfy .

- - - -

Organizational information requiring special protection includes, for example, - Controlled Unclassified Information (CUI) and Sources and Methods Information - (SAMI). Personnel security criteria include, for example, position sensitivity - background screening requirements.

- - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - PS-3(3)(a) -

ensures that individuals accessing an information system processing, storing, - or transmitting information requiring special protection have valid access - authorizations that are demonstrated by assigned official government - duties;

- PS-3(3)(a) - - - PS-3(3)(b) - - assessment-objective - EXAMINE - PS-3(3)(b)[1] -

defines additional personnel screening criteria to be satisfied for - individuals accessing an information system processing, storing, or - transmitting information requiring special protection; and

- - - assessment-objective - INTERVIEW - TEST - PS-3(3)(b)[2] -

ensures that individuals accessing an information system processing, - storing, or transmitting information requiring special protection satisfy - organization-defined additional personnel screening criteria.

- - PS-3(3)(b) - - - - EXAMINE - -

Personnel security policy

-

access control policy, procedures addressing personnel screening

-

records of screened personnel

-

screening criteria

-

records of access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for ensuring valid access authorizations for - information requiring special protection

-

organizational process for additional personnel screening for information - requiring special protection

- - - - - - Personnel Termination - - - same day - - - - - - - - - - - - PS-4 - ps-04 - -

The organization, upon termination of individual employment:

- - a. -

Disables information system access within ;

- - - b. -

Terminates/revokes any authenticators/credentials associated with the - individual;

- - - c. -

Conducts exit interviews that include a discussion of ;

- - - d. -

Retrieves all security-related organizational information system-related - property;

- - - e. -

Retains access to organizational information and information systems formerly - controlled by terminated individual; and

- - - f. -

Notifies within .

- - - -

Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified.

- AC-2 - IA-4 - PE-2 - PS-5 - PS-6 - - -

Determine if the organization, upon termination of individual employment,:

- - PS-4(a) - - assessment-objective - EXAMINE - PS-4(a)[1] -

defines a time period within which to disable information system access;

- - - assessment-objective - INTERVIEW - TEST - PS-4(a)[2] -

disables information system access within the organization-defined time - period;

- - - - assessment-objective - INTERVIEW - TEST - PS-4(b) -

terminates/revokes any authenticators/credentials associated with the - individual;

- - - PS-4(c) - - assessment-objective - EXAMINE - PS-4(c)[1] -

defines information security topics to be discussed when conducting exit - interviews;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-4(c)[2] -

conducts exit interviews that include a discussion of organization-defined - information security topics;

- - - - assessment-objective - EXAMINE - INTERVIEW - PS-4(d) -

retrieves all security-related organizational information system-related - property;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-4(e) -

retains access to organizational information and information systems formerly - controlled by the terminated individual;

- - - PS-4(f) - - assessment-objective - EXAMINE - PS-4(f)[1] -

defines personnel or roles to be notified of the termination;

- - - assessment-objective - EXAMINE - PS-4(f)[2] -

defines the time period within which to notify organization-defined personnel - or roles; and

- - - assessment-objective - INTERVIEW - TEST - PS-4(f)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

records of personnel termination actions

-

list of information system accounts

-

records of terminated or revoked authenticators/credentials

-

records of exit interviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Personnel Transfer - - - - - - - - - - - - five days of the time period following the formal transfer action (DoD 24 hours) - - - PS-5 - ps-05 - -

The organization:

- - a. -

Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization;

- - - b. -

Initiates within ;

- - - c. -

Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and

- - - d. -

Notifies within .

- - - -

This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts.

- AC-2 - IA-4 - PE-2 - PS-4 - - -

Determine if the organization:

- - PS-5(a) -

when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current:

- - assessment-objective - EXAMINE - INTERVIEW - PS-5(a)[1] -

logical access authorizations to information systems;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-5(a)[2] -

physical access authorizations to information systems and facilities;

- - - - PS-5(b) - - assessment-objective - EXAMINE - PS-5(b)[1] -

defines transfer or reassignment actions to be initiated following transfer or - reassignment;

- - - assessment-objective - EXAMINE - PS-5(b)[2] -

defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment;

- - - assessment-objective - INTERVIEW - TEST - PS-5(b)[3] -

initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment;

- - - - assessment-objective - INTERVIEW - TEST - PS-5(c) -

modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer;

- - - PS-5(d) - - assessment-objective - EXAMINE - PS-5(d)[1] -

defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization;

- - - assessment-objective - EXAMINE - PS-5(d)[2] -

defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and

- - - assessment-objective - INTERVIEW - TEST - PS-5(d)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel transfer

-

security plan

-

records of personnel transfer actions

-

list of information system and facility access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel transfer

-

automated mechanisms supporting and/or implementing personnel transfer - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Access Agreements - - - at least annually - - - - at least annually - - - PS-6 - ps-06 - -

The organization:

- - a. -

Develops and documents access agreements for organizational information - systems;

- - - b. -

Reviews and updates the access agreements ; and

- - - c. -

Ensures that individuals requiring access to organizational information and - information systems:

- - 1. -

Sign appropriate access agreements prior to being granted access; and

- - - 2. -

Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or .

- - - - -

Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy.

- PL-4 - PS-2 - PS-3 - PS-4 - PS-8 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-6(a) -

develops and documents access agreements for organizational information - systems;

- - - PS-6(b) - - assessment-objective - EXAMINE - PS-6(b)[1] -

defines the frequency to review and update the access agreements;

- - - assessment-objective - EXAMINE - PS-6(b)[2] -

reviews and updates the access agreements with the organization-defined - frequency;

- - - - PS-6(c) - - assessment-objective - INTERVIEW - TEST - PS-6(c)(1) -

ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access;

- - - PS-6(c)(2) - - assessment-objective - EXAMINE - PS-6(c)(2)[1] -

defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated;

- - - assessment-objective - INTERVIEW - TEST - PS-6(c)(2)[2] -

ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

security plan

-

access agreements

-

records of access agreement reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed/resigned access agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access agreements

-

automated mechanisms supporting access agreements

- - - - - Third-party Personnel Security - - - - - - organization-defined time period - same day - - - PS-7 - ps-07 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Establishes personnel security requirements including security roles and - responsibilities for third-party providers;

- - - b. -

Requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - c. -

Documents personnel security requirements;

- - - d. -

Requires third-party providers to notify of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within ; and

- - - e. -

Monitors provider compliance.

- - - -

Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated.

- PS-2 - PS-3 - PS-4 - PS-5 - PS-6 - SA-9 - SA-21 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-7(a) -

establishes personnel security requirements, including security roles and - responsibilities, for third-party providers;

- - - assessment-objective - EXAMINE - INTERVIEW - PS-7(b) -

requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - assessment-objective - EXAMINE - PS-7(c) -

documents personnel security requirements;

- - - PS-7(d) - - assessment-objective - EXAMINE - PS-7(d)[1] -

defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - assessment-objective - EXAMINE - PS-7(d)[2] -

defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - assessment-objective - EXAMINE - PS-7(d)[3] -

requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and

- - - - assessment-objective - INTERVIEW - TEST - PS-7(e) -

monitors provider compliance.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing third-party personnel security

-

list of personnel security requirements

-

acquisition documents

-

service-level agreements

-

compliance monitoring process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

third-party providers

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing and monitoring third-party personnel - security

-

automated mechanisms supporting and/or implementing monitoring of provider - compliance

- - - - - Personnel Sanctions - - - - - - - PS-8 - ps-08 - -

The organization:

- - a. -

Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and

- - - b. -

Notifies within - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction.

- - - -

Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions.

- PL-4 - PS-6 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - PS-8(a) -

employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures;

- - - PS-8(b) - - assessment-objective - EXAMINE - PS-8(b)[1] -

defines personnel or roles to be notified when a formal employee sanctions - process is initiated;

- - - assessment-objective - EXAMINE - PS-8(b)[2] -

defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and

- - - assessment-objective - INTERVIEW - TEST - PS-8(b)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel sanctions

-

rules of behavior

-

records of formal sanctions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing personnel sanctions

-

automated mechanisms supporting and/or implementing notifications

- - - - - - Risk Assessment - - Risk Assessment Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - RA-1 - ra-01 - NIST Special Publication 800-12 - NIST Special Publication 800-30 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Risk assessment policy ; and

- - - 2. -

Risk assessment procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - RA-1(a) - - RA-1(a)(1) - - assessment-objective - EXAMINE - RA-1(a)(1)[1] -

develops and documents a risk assessment policy that addresses:

- - RA-1(a)(1)[1][a] -

purpose;

- - - RA-1(a)(1)[1][b] -

scope;

- - - RA-1(a)(1)[1][c] -

roles;

- - - RA-1(a)(1)[1][d] -

responsibilities;

- - - RA-1(a)(1)[1][e] -

management commitment;

- - - RA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - RA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - RA-1(a)(1)[2] -

defines personnel or roles to whom the risk assessment policy is to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - RA-1(a)(1)[3] -

disseminates the risk assessment policy to organization-defined personnel or - roles;

- - - - RA-1(a)(2) - - assessment-objective - EXAMINE - RA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls;

- - - assessment-objective - EXAMINE - RA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - RA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - RA-1(b) - - RA-1(b)(1) - - assessment-objective - EXAMINE - RA-1(b)(1)[1] -

defines the frequency to review and update the current risk assessment - policy;

- - - assessment-objective - EXAMINE - RA-1(b)(1)[2] -

reviews and updates the current risk assessment policy with the - organization-defined frequency;

- - - - RA-1(b)(2) - - assessment-objective - EXAMINE - RA-1(b)(2)[1] -

defines the frequency to review and update the current risk assessment - procedures; and

- - - assessment-objective - EXAMINE - RA-1(b)(2)[2] -

reviews and updates the current risk assessment procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

risk assessment policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Categorization - RA-2 - ra-02 - FIPS Publication 199 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - b. -

Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - c. -

Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted.

- CM-8 - MP-4 - RA-3 - SC-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - RA-2(a) -

categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - assessment-objective - EXAMINE - RA-2(b) -

documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - assessment-objective - INTERVIEW - TEST - RA-2(c) -

ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision.

- - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing security categorization of organizational information and - information systems

-

security plan

-

security categorization documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security categorization and risk assessment - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security categorization

- - - - - Risk Assessment - - - - security assessment report - - - - at least every three (3) years or when a significant change occurs - - - - - - - at least every three (3) years or when a significant change occurs - - RA-3 - ra-03 - OMB Memorandum 04-04 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - http://idmanagement.gov - -

The organization:

- - a. -

Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits;

- - - b. -

Documents risk assessment results in ;

- - - c. -

Reviews risk assessment results ;

- - - d. -

Disseminates risk assessment results to ; and

- - - e. -

Updates the risk assessment or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system.

- - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - -

Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation.

- RA-2 - PM-9 - - -

Determine if the organization:

- - RA-3(a) -

conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of:

- - assessment-objective - INTERVIEW - TEST - RA-3(a)[1] -

the information system;

- - - assessment-objective - INTERVIEW - TEST - RA-3(a)[2] -

the information the system processes, stores, or transmits;

- - - - RA-3(b) - - assessment-objective - EXAMINE - RA-3(b)[1] -

defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report);

- - - assessment-objective - EXAMINE - RA-3(b)[2] -

documents risk assessment results in one of the following:

- - RA-3(b)[2][a] -

the security plan;

- - - RA-3(b)[2][b] -

the risk assessment report; or

- - - RA-3(b)[2][c] -

the organization-defined document;

- - - - - RA-3(c) - - assessment-objective - EXAMINE - RA-3(c)[1] -

defines the frequency to review risk assessment results;

- - - assessment-objective - TEST - RA-3(c)[2] -

reviews risk assessment results with the organization-defined frequency;

- - - - RA-3(d) - - assessment-objective - EXAMINE - RA-3(d)[1] -

defines personnel or roles to whom risk assessment results are to be - disseminated;

- - - assessment-objective - INTERVIEW - TEST - RA-3(d)[2] -

disseminates risk assessment results to organization-defined personnel or - roles;

- - - - RA-3(e) - - assessment-objective - EXAMINE - RA-3(e)[1] -

defines the frequency to update the risk assessment;

- - - assessment-objective - INTERVIEW - TEST - RA-3(e)[2] -

updates the risk assessment:

- - RA-3(e)[2][a] -

with the organization-defined frequency;

- - - RA-3(e)[2][b] -

whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and

- - - RA-3(e)[2][c] -

whenever there are other conditions that may impact the security state of - the system.

- - - - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing organizational assessments of risk

-

security plan

-

risk assessment

-

risk assessment results

-

risk assessment reviews

-

risk assessment updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for risk assessment

-

automated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment

- - - - - Vulnerability Scanning - - - monthly operating system/infrastructure; monthly web applications and databases - - - - high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - - - - RA-5 - ra-05 - NIST Special Publication 800-40 - NIST Special Publication 800-70 - NIST Special Publication 800-115 - http://cwe.mitre.org - http://nvd.nist.gov - -

The organization:

- - a. -

Scans for vulnerabilities in the information system and hosted applications - and when new vulnerabilities potentially - affecting the system/applications are identified and reported;

- - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - - b. -

Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - 1. -

Enumerating platforms, software flaws, and improper configurations;

- - - 2. -

Formatting checklists and test procedures; and

- - - 3. -

Measuring vulnerability impact;

- - - - c. -

Analyzes vulnerability scan reports and results from security control - assessments;

- - - d. -

Remediates legitimate vulnerabilities in - accordance with an organizational assessment of risk; and

- - - e. -

Shares information obtained from the vulnerability scanning process and security - control assessments with to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - -

Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS).

- CA-2 - CA-7 - CM-4 - CM-6 - RA-2 - RA-3 - SA-11 - SI-2 - - -

Determine if the organization:

- - RA-5(a) - - assessment-objective - EXAMINE - RA-5(a)[1] - - RA-5(a)[1][a] -

defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or

- - - RA-5(a)[1][b] -

defines the process for conducting random vulnerability scans on the - information system and hosted applications;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(a)[2] -

in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in:

- - RA-5(a)[2][a] -

the information system;

- - - RA-5(a)[2][b] -

hosted applications;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(a)[3] -

when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in:

- - RA-5(a)[3][a] -

the information system;

- - - RA-5(a)[3][b] -

hosted applications;

- - - - - RA-5(b) -

employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - assessment-objective - INTERVIEW - TEST - RA-5(b)(1) - - RA-5(b)(1)[1] -

enumerating platforms;

- - - RA-5(b)(1)[2] -

enumerating software flaws;

- - - RA-5(b)(1)[3] -

enumerating improper configurations;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(b)(2) - - RA-5(b)(2)[1] -

formatting checklists;

- - - RA-5(b)(2)[2] -

formatting test procedures;

- - - - assessment-objective - INTERVIEW - TEST - RA-5(b)(3) -

measuring vulnerability impact;

- - - - RA-5(c) - - assessment-objective - INTERVIEW - TEST - RA-5(c)[1] -

analyzes vulnerability scan reports;

- - - assessment-objective - INTERVIEW - TEST - RA-5(c)[2] -

analyzes results from security control assessments;

- - - - RA-5(d) - - assessment-objective - EXAMINE - RA-5(d)[1] -

defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk;

- - - assessment-objective - INTERVIEW - TEST - RA-5(d)[2] -

remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk;

- - - - RA-5(e) - - assessment-objective - EXAMINE - RA-5(e)[1] -

defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared;

- - - assessment-objective - INTERVIEW - TEST - RA-5(e)[2] -

shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and

- - - assessment-objective - INTERVIEW - TEST - RA-5(e)[3] -

shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with vulnerability remediation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing

-

automated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing

- - - - Update Tool Capability - RA-5(1) - ra-05.01 - -

The organization employs vulnerability scanning tools that include the capability - to readily update the information system vulnerabilities to be scanned.

- - -

The vulnerabilities to be scanned need to be readily updated as new - vulnerabilities are discovered, announced, and scanning methods developed. This - updating process helps to ensure that potential vulnerabilities in the information - system are identified and addressed as quickly as possible.

- SI-3 - SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs vulnerability scanning tools that include - the capability to readily update the information system vulnerabilities to be - scanned.

- - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Update by Frequency / Prior to New Scan / When Identified - - prior to a new scan - - - - - - RA-5(2) - ra-05.02 - -

The organization updates the information system vulnerabilities scanned .

- - - SI-3 - SI-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - RA-5(2)[1] -

defines the frequency to update the information system vulnerabilities - scanned;

- - - assessment-objective - INTERVIEW - TEST - RA-5(2)[2] -

updates the information system vulnerabilities scanned one or more of the - following:

- - RA-5(2)[2][a] -

with the organization-defined frequency;

- - - RA-5(2)[2][b] -

prior to a new scan; and/or

- - - RA-5(2)[2][c] -

when new vulnerabilities are identified and reported.

- - - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Breadth / Depth of Coverage - RA-5(3) - ra-05.03 - -

The organization employs vulnerability scanning procedures that can identify the - breadth and depth of coverage (i.e., information system components scanned and - vulnerabilities checked).

- - -

Determine if the organization employs vulnerability scanning procedures that can - identify:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - RA-5(3)[1] -

the breadth of coverage (i.e., information system components scanned); and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - RA-5(3)[2] -

the depth of coverage (i.e., vulnerabilities checked).

- - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Privileged Access - - - operating systems / web applications / databases - - - - all scans - - - RA-5(5) - ra-05.05 - -

The information system implements privileged access authorization to for selected .

- - -

In certain situations, the nature of the vulnerability scanning may be more - intrusive or the information system component that is the subject of the scanning - may contain highly sensitive information. Privileged access authorization to - selected system components facilitates more thorough vulnerability scanning and - also protects the sensitive nature of such scanning.

- - -

Determine if:

- - assessment-objective - EXAMINE - RA-5(5)[1] -

the organization defines information system components to which privileged - access is authorized for selected vulnerability scanning activities;

- - - assessment-objective - EXAMINE - RA-5(5)[2] -

the organization defines vulnerability scanning activities selected for - privileged access authorization to organization-defined information system - components; and

- - - assessment-objective - INTERVIEW - TEST - RA-5(5)[3] -

the information system implements privileged access authorization to - organization-defined information system components for selected - organization-defined vulnerability scanning activities.

- - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system components for vulnerability scanning

-

personnel access authorization list

-

authorization credentials

-

access authorization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

system/network administrators

-

organizational personnel responsible for access control to the information - system

-

organizational personnel responsible for configuration management of the - information system

-

system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational processes for access control

-

automated mechanisms supporting and/or implementing access control

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Automated Trend Analyses - RA-5(6) - ra-05.06 - -

The organization employs automated mechanisms to compare the results of - vulnerability scans over time to determine trends in information system - vulnerabilities.

- - RA-5 (6) Additional FedRAMP Requirements and Guidance - - Guidance: -

Include in Continuous Monitoring ISSO digest/report to JAB/AO

- - - - - IR-4 - IR-5 - SI-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated mechanisms to compare the results - of vulnerability scans over time to determine trends in information system - vulnerabilities.

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

information system design documentation

-

vulnerability scanning tools and techniques documentation

-

vulnerability scanning results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing trend analysis of - vulnerability scan results

- - - - - Review Historic Audit Logs - RA-5(8) - ra-05.08 - -

The organization reviews historic audit logs to determine if a vulnerability - identified in the information system has been previously exploited.

- - RA-5 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

This enhancement is required for all high vulnerability scan findings.

- - - Guidance: -

While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

- - - - - AU-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization reviews historic audit logs to determine if a - vulnerability identified in the information system has been previously exploited. -

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

audit logs

-

records of audit log reviews

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with audit record review responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational process for audit record review and response

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing audit record review

- - - - - - - System and Services Acquisition - - System and Services Acquisition Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - SA-1 - sa-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and services acquisition policy ; and

- - - 2. -

System and services acquisition procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SA-1(a) - - SA-1(a)(1) - - assessment-objective - EXAMINE - SA-1(a)(1)[1] -

develops and documents a system and services acquisition policy that - addresses:

- - SA-1(a)(1)[1][a] -

purpose;

- - - SA-1(a)(1)[1][b] -

scope;

- - - SA-1(a)(1)[1][c] -

roles;

- - - SA-1(a)(1)[1][d] -

responsibilities;

- - - SA-1(a)(1)[1][e] -

management commitment;

- - - SA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SA-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SA-1(a)(1)[2] -

defines personnel or roles to whom the system and services acquisition - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-1(a)(1)[3] -

disseminates the system and services acquisition policy to - organization-defined personnel or roles;

- - - - SA-1(a)(2) - - assessment-objective - EXAMINE - SA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls;

- - - assessment-objective - EXAMINE - SA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SA-1(b) - - SA-1(b)(1) - - assessment-objective - EXAMINE - SA-1(b)(1)[1] -

defines the frequency to review and update the current system and services - acquisition policy;

- - - assessment-objective - EXAMINE - SA-1(b)(1)[2] -

reviews and updates the current system and services acquisition policy with - the organization-defined frequency;

- - - - SA-1(b)(2) - - assessment-objective - EXAMINE - SA-1(b)(2)[1] -

defines the frequency to review and update the current system and services - acquisition procedures; and

- - - assessment-objective - EXAMINE - SA-1(b)(2)[2] -

reviews and updates the current system and services acquisition procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and services acquisition policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

- - - - - Allocation of Resources - SA-2 - sa-02 - NIST Special Publication 800-65 - -

The organization:

- - a. -

Determines information security requirements for the information system or - information system service in mission/business process planning;

- - - b. -

Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and

- - - c. -

Establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - -

Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service.

- PM-3 - PM-11 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-2(a) -

determines information security requirements for the information system or - information system service in mission/business process planning;

- - - assessment-objective - INTERVIEW - TEST - SA-2(b) -

to protect the information system or information system service as part of its - capital planning and investment control process:

- - SA-2(b)[1] -

determines the resources required;

- - - SA-2(b)[2] -

documents the resources required;

- - - SA-2(b)[3] -

allocates the resources required; and

- - - - assessment-objective - INTERVIEW - TEST - SA-2(c) -

establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the allocation of resources to information security - requirements

-

procedures addressing capital planning and investment control

-

organizational programming and budgeting documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities

-

organizational personnel responsible for determining information security - requirements for information systems/services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information security requirements

-

organizational processes for capital planning, programming, and budgeting

-

automated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting

- - - - - System Development Life Cycle - - - - SA-3 - sa-03 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - -

The organization:

- - a. -

Manages the information system using that - incorporates information security considerations;

- - - b. -

Defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - c. -

Identifies individuals having information security roles and responsibilities; - and

- - - d. -

Integrates the organizational information security risk management process into - system development life cycle activities.

- - - -

A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies.

- AT-3 - PM-7 - SA-8 - - -

Determine if the organization:

- - SA-3(a) - - assessment-objective - EXAMINE - SA-3(a)[1] -

defines a system development life cycle that incorporates information security - considerations to be used to manage the information system;

- - - assessment-objective - INTERVIEW - TEST - SA-3(a)[2] -

manages the information system using the organization-defined system - development life cycle;

- - - - assessment-objective - EXAMINE - SA-3(b) -

defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - assessment-objective - EXAMINE - SA-3(c) -

identifies individuals having information security roles and responsibilities; - and

- - - assessment-objective - INTERVIEW - TEST - SA-3(d) -

integrates the organizational information security risk management process into - system development life cycle activities.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security into the system - development life cycle process

-

information system development life cycle documentation

-

information security risk management strategy/program documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security and system life cycle - development responsibilities

-

organizational personnel with information security risk management - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining and documenting the SDLC

-

organizational processes for identifying SDLC roles and responsibilities

-

organizational process for integrating information security risk management into - the SDLC

-

automated mechanisms supporting and/or implementing the SDLC

- - - - - Acquisition Process - SA-4 - sa-04 - HSPD-12 - ISO/IEC 15408 - FIPS Publication 140-2 - FIPS Publication 201 - NIST Special Publication 800-23 - NIST Special Publication 800-35 - NIST Special Publication 800-36 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - NIST Special Publication 800-70 - NIST Special Publication 800-137 - Federal Acquisition Regulation - http://www.niap-ccevs.org - http://fips201ep.cio.gov - http://www.acquisition.gov/far - -

The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs:

- - a. -

Security functional requirements;

- - - b. -

Security strength requirements;

- - - c. -

Security assurance requirements;

- - - d. -

Security-related documentation requirements;

- - - e. -

Requirements for protecting security-related documentation;

- - - f. -

Description of the information system development environment and environment in - which the system is intended to operate; and

- - - g. -

Acceptance criteria.

- - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - -

Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA.

- CM-6 - PL-2 - PS-7 - SA-3 - SA-5 - SA-8 - SA-11 - SA-12 - - -

Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs:

- - SA-4(a) -

security functional requirements;

- - - SA-4(b) -

security strength requirements;

- - - SA-4(c) -

security assurance requirements;

- - - SA-4(d) -

security-related documentation requirements;

- - - SA-4(e) -

requirements for protecting security-related documentation;

- - - SA-4(f) -

description of:

- - SA-4(f)[1] -

the information system development environment;

- - - SA-4(f)[2] -

the environment in which the system is intended to operate; and

- - - - SA-4(g) -

acceptance criteria.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

acquisition contracts for the information system, system component, or information - system service

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security functional, - strength, and assurance requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts

- - - - Functional Properties of Security Controls - SA-4(1) - sa-04.01 - -

The organization requires the developer of the information system, system - component, or information system service to provide a description of the - functional properties of the security controls to be employed.

- - -

Functional properties of security controls describe the functionality (i.e., - security capability, functions, or mechanisms) visible at the interfaces of the - controls and specifically exclude functionality and data structures internal to - the operation of the controls.

- SA-5 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to provide a description of the - functional properties of the security controls to be employed.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security - functional, requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion - of security requirements in contracts

- - - - - Design / Implementation Information for Security Controls - - to include security-relevant external system interfaces and high-level design - - - - - - - - SA-4(2) - sa-04.02 - -

The organization requires the developer of the information system, system - component, or information system service to provide design and implementation - information for the security controls to be employed that includes: at .

- - -

Organizations may require different levels of detail in design and implementation - documentation for security controls employed in organizational information - systems, system components, or information system services based on - mission/business requirements, requirements for trustworthiness/resiliency, and - requirements for analysis and testing. Information systems can be partitioned into - multiple subsystems. Each subsystem within the system can contain one or more - modules. The high-level design for the system is expressed in terms of multiple - subsystems and the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed in terms of - modules with particular emphasis on software and firmware (but not excluding - hardware) and the interfaces between modules providing security-relevant - functionality. Source code and hardware schematics are typically referred to as - the implementation representation of the information system.

- SA-5 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SA-4(2)[1] -

defines level of detail that the developer is required to provide in design and - implementation information for the security controls to be employed in the - information system, system component, or information system service;

- - - assessment-objective - EXAMINE - SA-4(2)[2] -

defines design/implementation information that the developer is to provide for - the security controls to be employed (if selected);

- - - assessment-objective - INTERVIEW - TEST - SA-4(2)[3] -

requires the developer of the information system, system component, or - information system service to provide design and implementation information for - the security controls to be employed that includes, at the organization-defined - level of detail, one or more of the following:

- - SA-4(2)[3][a] -

security-relevant external system interfaces;

- - - SA-4(2)[3][b] -

high-level design;

- - - SA-4(2)[3][c] -

low-level design;

- - - SA-4(2)[3][d] -

source code;

- - - SA-4(2)[3][e] -

hardware schematics; and/or

- - - SA-4(2)[3][f] -

organization-defined design/implementation information.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system components, or - information system services

-

design and implementation information for security controls employed in the - information system, system component, or information system service

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining level of detail for system design and - security controls

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing development of system - design details

- - - - - Continuous Monitoring Plan - - - at least the minimum requirement as defined in control CA-7 - - SA-4(8) - sa-04.08 - -

The organization requires the developer of the information system, system - component, or information system service to produce a plan for the continuous - monitoring of security control effectiveness that contains .

- - SA-4 (8) Additional FedRAMP Requirements and Guidance - - Guidance: -

CSP must use the same security standards regardless of where the system component or information system service is acquired.

- - - - -

The objective of continuous monitoring plans is to determine if the complete set - of planned, required, and deployed security controls within the information - system, system component, or information system service continue to be effective - over time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that the information - can be incorporated into the continuous monitoring strategies and programs - implemented by organizations.

- CA-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-4(8)[1] -

defines the level of detail the developer of the information system, system - component, or information system service is required to provide when producing - a plan for the continuous monitoring of security control effectiveness; and

- - - assessment-objective - INTERVIEW - TEST - SA-4(8)[2] -

requires the developer of the information system, system component, or - information system service to produce a plan for the continuous monitoring of - security control effectiveness that contains the organization-defined level of - detail.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing developer continuous monitoring plans

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

developer continuous monitoring plans

-

security assessment plans

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Vendor processes for continuous monitoring

-

automated mechanisms supporting and/or implementing developer continuous - monitoring

- - - - - Functions / Ports / Protocols / Services in Use - SA-4(9) - sa-04.09 - -

The organization requires the developer of the information system, system - component, or information system service to identify early in the system - development life cycle, the functions, ports, protocols, and services intended for - organizational use.

- - -

The identification of functions, ports, protocols, and services early in the - system development life cycle (e.g., during the initial requirements definition - and design phases) allows organizations to influence the design of the information - system, information system component, or information system service. This early - involvement in the life cycle helps organizations to avoid or minimize the use of - functions, ports, protocols, or services that pose unnecessarily high risks and - understand the trade-offs involved in blocking specific ports, protocols, or - services (or when requiring information system service providers to do so). Early - identification of functions, ports, protocols, and services avoids costly - retrofitting of security controls after the information system, system component, - or information system service has been implemented. SA-9 describes requirements - for external information system services with organizations identifying which - functions, ports, protocols, and services are provided from external sources.

- CM-7 - SA-9 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to identify early in the system - development life cycle:

- - assessment-objective - EXAMINE - INTERVIEW - SA-4(9)[1] -

the functions intended for organizational use;

- - - SA-4(9)[2] -

the ports intended for organizational use;

- - - SA-4(9)[3] -

the protocols intended for organizational use; and

- - - SA-4(9)[4] -

the services intended for organizational use.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

information system design documentation

-

information system documentation including functions, ports, protocols, and - services intended for organizational use

-

acquisition contracts for information systems or services

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

organizational security requirements, descriptions, and criteria for developers - of information systems, system components, and information system services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - - Use of Approved PIV Products - SA-4(10) - sa-04.10 - -

The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems.

- - - IA-2 - IA-8 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for selecting and employing FIPS 201-approved - products

- - - - - - Information System Documentation - - - - - - - SA-5 - sa-05 - -

The organization:

- - a. -

Obtains administrator documentation for the information system, system component, - or information system service that describes:

- - 1. -

Secure configuration, installation, and operation of the system, component, or - service;

- - - 2. -

Effective use and maintenance of security functions/mechanisms; and

- - - 3. -

Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - b. -

Obtains user documentation for the information system, system component, or - information system service that describes:

- - 1. -

User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms;

- - - 2. -

Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and

- - - 3. -

User responsibilities in maintaining the security of the system, component, or - service;

- - - - c. -

Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes in response;

- - - d. -

Protects documentation as required, in accordance with the risk management - strategy; and

- - - e. -

Distributes documentation to .

- - - -

This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation.

- CM-6 - CM-8 - PL-2 - PL-4 - PS-2 - SA-3 - SA-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-5(a) -

obtains administrator documentation for the information system, system component, - or information system service that describes:

- - SA-5(a)(1) - - SA-5(a)(1)[1] -

secure configuration of the system, system component, or service;

- - - SA-5(a)(1)[2] -

secure installation of the system, system component, or service;

- - - SA-5(a)(1)[3] -

secure operation of the system, system component, or service;

- - - - SA-5(a)(2) - - SA-5(a)(2)[1] -

effective use of the security features/mechanisms;

- - - SA-5(a)(2)[2] -

effective maintenance of the security features/mechanisms;

- - - - SA-5(a)(3) -

known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - assessment-objective - EXAMINE - SA-5(b) -

obtains user documentation for the information system, system component, or - information system service that describes:

- - SA-5(b)(1) - - SA-5(b)(1)[1] -

user-accessible security functions/mechanisms;

- - - SA-5(b)(1)[2] -

how to effectively use those functions/mechanisms;

- - - - SA-5(b)(2) -

methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner;

- - - SA-5(b)(3) -

user responsibilities in maintaining the security of the system, component, or - service;

- - - - SA-5(c) - - assessment-objective - EXAMINE - SA-5(c)[1] -

defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent;

- - - assessment-objective - INTERVIEW - TEST - SA-5(c)[2] -

documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent;

- - - assessment-objective - INTERVIEW - TEST - SA-5(c)[3] -

takes organization-defined actions in response;

- - - - assessment-objective - INTERVIEW - TEST - SA-5(d) -

protects documentation as required, in accordance with the risk management - strategy;

- - - SA-5(e) - - assessment-objective - EXAMINE - SA-5(e)[1] -

defines personnel or roles to whom documentation is to be distributed; and

- - - assessment-objective - INTERVIEW - TEST - SA-5(e)[2] -

distributes documentation to organization-defined personnel or roles.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing information system documentation

-

information system documentation including administrator and user guides

-

records documenting attempts to obtain unavailable or nonexistent information - system documentation

-

list of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation

-

risk management strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation

- - - - - Security Engineering Principles - SA-8 - sa-08 - NIST Special Publication 800-27 - -

The organization applies information system security engineering principles in the - specification, design, development, implementation, and modification of the - information system.

- - -

Organizations apply security engineering principles primarily to new development - information systems or systems undergoing major upgrades. For legacy systems, - organizations apply security engineering principles to system upgrades and - modifications to the extent feasible, given the current state of hardware, software, - and firmware within those systems. Security engineering principles include, for - example: (i) developing layered protections; (ii) establishing sound security policy, - architecture, and controls as the foundation for design; (iii) incorporating security - requirements into the system development life cycle; (iv) delineating physical and - logical security boundaries; (v) ensuring that system developers are trained on how - to build secure software; (vi) tailoring security controls to meet organizational and - operational needs; (vii) performing threat modeling to identify use cases, threat - agents, attack vectors, and attack patterns as well as compensating controls and - design patterns needed to mitigate risk; and (viii) reducing risk to acceptable - levels, thus enabling informed risk management decisions.

- PM-7 - SA-3 - SA-4 - SA-17 - SC-2 - SC-3 - - -

Determine if the organization applies information system security engineering - principles in:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SA-8[1] -

the specification of the information system;

- - - SA-8[2] -

the design of the information system;

- - - SA-8[3] -

the development of the information system;

- - - SA-8[4] -

the implementation of the information system; and

- - - SA-8[5] -

the modification of the information system.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing security engineering principles used in the specification, - design, development, implementation, and modification of the information - system

-

information system design documentation

-

information security requirements and specifications for the information - system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with information system specification, design, - development, implementation, and modification responsibilities

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for applying security engineering principles in - information system specification, design, development, implementation, and - modification

-

automated mechanisms supporting the application of security engineering principles - in information system specification, design, development, implementation, and - modification

- - - - - External Information System Services - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - SA-9 - sa-09 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Requires that providers of external information system services comply with - organizational information security requirements and employ in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance;

- - - b. -

Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and

- - - c. -

Employs to monitor security control compliance by - external service providers on an ongoing basis.

- - - -

External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance.

- CA-3 - IR-7 - PS-7 - - -

Determine if the organization:

- - SA-9(a) - - assessment-objective - EXAMINE - SA-9(a)[1] -

defines security controls to be employed by providers of external information - system services;

- - - assessment-objective - EXAMINE - SA-9(a)[2] -

requires that providers of external information system services comply with - organizational information security requirements;

- - - assessment-objective - EXAMINE - SA-9(a)[3] -

requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - - SA-9(b) - - assessment-objective - EXAMINE - SA-9(b)[1] -

defines and documents government oversight with regard to external information - system services;

- - - assessment-objective - EXAMINE - SA-9(b)[2] -

defines and documents user roles and responsibilities with regard to external - information system services;

- - - - SA-9(c) - - assessment-objective - EXAMINE - SA-9(c)[1] -

defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(c)[2] -

employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

procedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services

-

acquisition contracts, service-level agreements

-

organizational security requirements and security specifications for external - provider services

-

security control assessment evidence from external providers of information system - services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis

-

automated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis

- - - - Risk Assessments / Organizational Approvals - - - - SA-9(1) - sa-09.01 - -

The organization:

- - (a) -

Conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; and

- - - (b) -

Ensures that the acquisition or outsourcing of dedicated information security - services is approved by .

- - - -

Dedicated information security services include, for example, incident monitoring, - analysis and response, operation of information security-related devices such as - firewalls, or key management services.

- CA-6 - RA-3 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SA-9(1)(a) -

conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services;

- SA-9(1)(a) - - - SA-9(1)(b) - - assessment-objective - EXAMINE - SA-9(1)(b)[1] -

defines personnel or roles designated to approve the acquisition or - outsourcing of dedicated information security services; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(1)(b)[2] -

ensures that the acquisition or outsourcing of dedicated information - security services is approved by organization-defined personnel or - roles.

- - SA-9(1)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

risk assessment reports

-

approval records for acquisition or outsourcing of dedicated information - security services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information system security responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting a risk assessment prior to acquiring or - outsourcing dedicated information security services

-

organizational processes for approving the outsourcing of dedicated information - security services

-

automated mechanisms supporting and/or implementing risk assessment

-

automated mechanisms supporting and/or implementing approval processes

- - - - - Identification of Functions / Ports / Protocols / Services - - - all external systems where Federal information is processed or stored - - SA-9(2) - sa-09.02 - -

The organization requires providers of to - identify the functions, ports, protocols, and other services required for the use - of such services.

- - -

Information from external service providers regarding the specific functions, - ports, protocols, and services used in the provision of such services can be - particularly useful when the need arises to understand the trade-offs involved in - restricting certain functions/services or blocking certain ports/protocols.

- CM-7 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-9(2)[1] -

defines external information system services for which providers of such - services are to identify the functions, ports, protocols, and other services - required for the use of such services;

- - - assessment-objective - INTERVIEW - SA-9(2)[2] -

requires providers of organization-defined external information system services - to identify:

- - SA-9(2)[2][a] -

the functions required for the use of such services;

- - - SA-9(2)[2][b] -

the ports required for the use of such services;

- - - SA-9(2)[2][c] -

the protocols required for the use of such services; and

- - - SA-9(2)[2][d] -

the other services required for the use of such services.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation, service-level agreements

-

organizational security requirements and security specifications for external - service providers

-

list of required functions, ports, protocols, and other services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

external providers of information system services

- - - - - Consistent Interests of Consumers and Providers - - - - - - all external systems where Federal information is processed or stored - - SA-9(4) - sa-09.04 - -

The organization employs to ensure that the - interests of are consistent with and reflect - organizational interests.

- - -

As organizations increasingly use external service providers, the possibility - exists that the interests of the service providers may diverge from organizational - interests. In such situations, simply having the correct technical, procedural, or - operational safeguards in place may not be sufficient if the service providers - that implement and control those safeguards are not operating in a manner - consistent with the interests of the consuming organizations. Possible actions - that organizations might take to address such concerns include, for example, - requiring background checks for selected service provider personnel, examining - ownership records, employing only trustworthy service providers (i.e., providers - with which organizations have had positive experiences), and conducting - periodic/unscheduled visits to service provider facilities.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-9(4)[1] -

defines external service providers whose interests are to be consistent with - and reflect organizational interests;

- - - assessment-objective - EXAMINE - SA-9(4)[2] -

defines security safeguards to be employed to ensure that the interests of - organization-defined external service providers are consistent with and reflect - organizational interests; and

- - - assessment-objective - INTERVIEW - TEST - SA-9(4)[3] -

employs organization-defined security safeguards to ensure that the interests - of organization-defined external service providers are consistent with and - reflect organizational interests.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

organizational security requirements/safeguards for external service - providers

-

personnel security policies for external service providers

-

assessments performed on external service providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - TEST - -

Organizational processes for defining and employing safeguards to ensure - consistent interests with external service providers

-

automated mechanisms supporting and/or implementing safeguards to ensure - consistent interests with external service providers

- - - - - Processing, Storage, and Service Location - - information processing, information data, AND information services - - - - - - - - SA-9(5) - sa-09.05 - -

The organization restricts the location of to - based on .

- - -

The location of information processing, information/data storage, or information - system services that are critical to organizations can have a direct impact on the - ability of those organizations to successfully execute their missions/business - functions. This situation exists when external providers control the location of - processing, storage or services. The criteria external providers use for the - selection of processing, storage, or service locations may be different from - organizational criteria. For example, organizations may want to ensure that - data/information storage locations are restricted to certain locations to - facilitate incident response activities (e.g., forensic analyses, after-the-fact - investigations) in case of information security breaches/compromises. Such - incident response activities may be adversely affected by the governing laws or - protocols in the locations where processing and storage occur and/or the locations - from which information system services emanate.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SA-9(5)[1] -

defines locations where organization-defined information processing, - information/data, and/or information system services are to be restricted;

- - - assessment-objective - EXAMINE - SA-9(5)[2] -

defines requirements or conditions to restrict the location of information - processing, information/data, and/or information system services;

- - - assessment-objective - INTERVIEW - TEST - SA-9(5)[3] -

restricts the location of one or more of the following to organization-defined - locations based on organization-defined requirements or conditions:

- - SA-9(5)[3][a] -

information processing;

- - - SA-9(5)[3][b] -

information/data; and/or

- - - SA-9(5)[3][c] -

information services.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

restricted locations for information processing

-

information/data and/or information system services

-

information processing, information/data, and/or information system services to - be maintained in restricted locations

-

organizational security requirements or conditions for external providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - TEST - -

Organizational processes for defining requirements to restrict locations of - information processing, information/data, or information services

-

organizational processes for ensuring the location is restricted in accordance - with requirements or conditions

- - - - - - Developer Configuration Management - - development, implementation, AND operation - - - - - - - - SA-10 - sa-10 - NIST Special Publication 800-128 - -

The organization requires the developer of the information system, system component, - or information system service to:

- - a. -

Perform configuration management during system, component, or service ;

- - - b. -

Document, manage, and control the integrity of changes to ;

- - - c. -

Implement only organization-approved changes to the system, component, or - service;

- - - d. -

Document approved changes to the system, component, or service and the potential - security impacts of such changes; and

- - - e. -

Track security flaws and flaw resolution within the system, component, or service - and report findings to .

- - - SA-10 Additional FedRAMP Requirements and Guidance - - (e) Requirement: -

For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

- - - - -

This control also applies to organizations conducting internal information systems - development and integration. Organizations consider the quality and completeness of - the configuration management activities conducted by developers as evidence of - applying effective security safeguards. Safeguards include, for example, protecting - from unauthorized modification or destruction, the master copies of all material used - to generate security-relevant portions of the system hardware, software, and - firmware. Maintaining the integrity of changes to the information system, information - system component, or information system service requires configuration control - throughout the system development life cycle to track authorized changes and prevent - unauthorized changes. Configuration items that are placed under configuration - management (if existence/use is required by other security controls) include: the - formal model; the functional, high-level, and low-level design specifications; other - design data; implementation documentation; source code and hardware schematics; the - running version of the object code; tools for comparing new versions of - security-relevant hardware descriptions and software/firmware source code with - previous versions; and test fixtures and documentation. Depending on the - mission/business needs of organizations and the nature of the contractual - relationships in place, developers may provide configuration management support - during the operations and maintenance phases of the life cycle.

- CM-3 - CM-4 - CM-9 - SA-12 - SI-2 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SA-10(a) -

requires the developer of the information system, system component, or information - system service to perform configuration management during one or more of the - following:

- - SA-10(a)[1] -

system, component, or service design;

- - - SA-10(a)[2] -

system, component, or service development;

- - - SA-10(a)[3] -

system, component, or service implementation; and/or

- - - SA-10(a)[4] -

system, component, or service operation;

- - - - SA-10(b) - - assessment-objective - EXAMINE - SA-10(b)[1] -

defines configuration items to be placed under configuration management;

- - - assessment-objective - INTERVIEW - TEST - SA-10(b)[2] -

requires the developer of the information system, system component, or - information system service to:

- - SA-10(b)[2][a] -

document the integrity of changes to organization-defined items under - configuration management;

- - - SA-10(b)[2][b] -

manage the integrity of changes to organization-defined items under - configuration management;

- - - SA-10(b)[2][c] -

control the integrity of changes to organization-defined items under - configuration management;

- - - - - assessment-objective - INTERVIEW - TEST - SA-10(c) -

requires the developer of the information system, system component, or information - system service to implement only organization-approved changes to the system, - component, or service;

- - - assessment-objective - INTERVIEW - TEST - SA-10(d) -

requires the developer of the information system, system component, or information - system service to document:

- - SA-10(d)[1] -

approved changes to the system, component, or service;

- - - SA-10(d)[2] -

the potential security impacts of such changes;

- - - - SA-10(e) - - assessment-objective - EXAMINE - SA-10(e)[1] -

defines personnel to whom findings, resulting from security flaws and flaw - resolution tracked within the system, component, or service, are to be - reported;

- - - assessment-objective - INTERVIEW - TEST - SA-10(e)[2] -

requires the developer of the information system, system component, or - information system service to:

- - SA-10(e)[2][a] -

track security flaws within the system, component, or service;

- - - SA-10(e)[2][b] -

track security flaw resolution within the system, component, or service; - and

- - - SA-10(e)[2][c] -

report findings to organization-defined personnel.

- - - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer configuration management plan

-

security flaw and flaw resolution tracking records

-

system change authorization records

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - Software / Firmware Integrity Verification - SA-10(1) - sa-10.01 - -

The organization requires the developer of the information system, system - component, or information system service to enable integrity verification of - software and firmware components.

- - -

This control enhancement allows organizations to detect unauthorized changes to - software and firmware components through the use of tools, techniques, and/or - mechanisms provided by developers. Integrity checking mechanisms can also address - counterfeiting of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through secure one-way - hashes provided by developers. Delivered software and firmware components also - include any updates to such components.

- SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to enable integrity verification - of software and firmware components.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system

-

system component, or information system service

-

system developer configuration management plan

-

software and firmware integrity verification records

-

system change authorization records

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - - Developer Security Testing and Evaluation - - - - - SA-11 - sa-11 - ISO/IEC 15408 - NIST Special Publication 800-53A - http://nvd.nist.gov - http://cwe.mitre.org - http://cve.mitre.org - http://capec.mitre.org - -

The organization requires the developer of the information system, system component, - or information system service to:

- - a. -

Create and implement a security assessment plan;

- - - b. -

Perform testing/evaluation at ;

- - - c. -

Produce evidence of the execution of the security assessment plan and the results - of the security testing/evaluation;

- - - d. -

Implement a verifiable flaw remediation process; and

- - - e. -

Correct flaws identified during security testing/evaluation.

- - - -

Developmental security testing/evaluation occurs at all post-design phases of the - system development life cycle. Such testing/evaluation confirms that the required - security controls are implemented correctly, operating as intended, enforcing the - desired security policy, and meeting established security requirements. Security - properties of information systems may be affected by the interconnection of system - components or changes to those components. These interconnections or changes (e.g., - upgrading or replacing applications and operating systems) may adversely affect - previously implemented security controls. This control provides additional types of - security testing/evaluation that developers can conduct to reduce or eliminate - potential flaws. Testing custom software applications may require approaches such as - static analysis, dynamic analysis, binary analysis, or a hybrid of the three - approaches. Developers can employ these analysis approaches in a variety of tools - (e.g., web-based application scanners, static analysis tools, binary analyzers) and - in source code reviews. Security assessment plans provide the specific activities - that developers plan to carry out including the types of analyses, testing, - evaluation, and reviews of software and firmware components, the degree of rigor to - be applied, and the types of artifacts produced during those processes. The depth of - security testing/evaluation refers to the rigor and level of detail associated with - the assessment process (e.g., black box, gray box, or white box testing). The - coverage of security testing/evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify the acceptance - criteria for security assessment plans, flaw remediation processes, and the evidence - that the plans/processes have been diligently applied. Methods for reviewing and - protecting assessment plans, evidence, and documentation are commensurate with the - security category or classification level of the information system. Contracts may - specify documentation protection requirements.

- CA-2 - CM-4 - SA-3 - SA-4 - SA-5 - SI-2 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SA-11(a) -

requires the developer of the information system, system component, or information - system service to create and implement a security plan;

- - - SA-11(b) - - assessment-objective - EXAMINE - SA-11(b)[1] -

defines the depth of testing/evaluation to be performed by the developer of the - information system, system component, or information system service;

- - - assessment-objective - EXAMINE - SA-11(b)[2] -

defines the coverage of testing/evaluation to be performed by the developer of - the information system, system component, or information system service;

- - - assessment-objective - INTERVIEW - TEST - SA-11(b)[3] -

requires the developer of the information system, system component, or - information system service to perform one or more of the following - testing/evaluation at the organization-defined depth and coverage:

- - SA-11(b)[3][a] -

unit testing/evaluation;

- - - SA-11(b)[3][b] -

integration testing/evaluation;

- - - SA-11(b)[3][c] -

system testing/evaluation; and/or

- - - SA-11(b)[3][d] -

regression testing/evaluation;

- - - - - assessment-objective - INTERVIEW - TEST - SA-11(c) -

requires the developer of the information system, system component, or information - system service to produce evidence of:

- - SA-11(c)[1] -

the execution of the security assessment plan;

- - - SA-11(c)[2] -

the results of the security testing/evaluation;

- - - - assessment-objective - INTERVIEW - TEST - SA-11(d) -

requires the developer of the information system, system component, or information - system service to implement a verifiable flaw remediation process; and

- - - assessment-objective - INTERVIEW - TEST - SA-11(e) -

requires the developer of the information system, system component, or information - system service to correct flaws identified during security testing/evaluation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer security test plans

-

records of developer security testing results for the information system, system - component, or information system service

-

security flaw and remediation tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - Static Code Analysis - SA-11(1) - sa-11.01 - -

The organization requires the developer of the information system, system - component, or information system service to employ static code analysis tools to - identify common flaws and document the results of the analysis.

- - SA-11 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - -

Static code analysis provides a technology and methodology for security reviews. - Such analysis can be used to identify security vulnerabilities and enforce - security coding practices. Static code analysis is most effective when used early - in the development process, when each code change can be automatically scanned for - potential weaknesses. Static analysis can provide clear remediation guidance along - with defects to enable developers to fix such defects. Evidence of correct - implementation of static analysis can include, for example, aggregate defect - density for critical defect types, evidence that defects were inspected by - developers or security professionals, and evidence that defects were fixed. An - excessively high density of ignored findings (commonly referred to as ignored or - false positives) indicates a potential problem with the analysis process or tool. - In such cases, organizations weigh the validity of the evidence against evidence - from other sources.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ static code analysis - tools to identify common flaws and document the results of the analysis.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test plans

-

system developer security testing results

-

security flaw and remediation tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

-

static code analysis tools

- - - - - Threat and Vulnerability Analyses - SA-11(2) - sa-11.02 - -

The organization requires the developer of the information system, system - component, or information system service to perform threat and vulnerability - analyses and subsequent testing/evaluation of the as-built system, component, or - service.

- - -

Applications may deviate significantly from the functional and design - specifications created during the requirements and design phases of the system - development life cycle. Therefore, threat and vulnerability analyses of - information systems, system components, and information system services prior to - delivery are critical to the effective operation of those systems, components, and - services. Threat and vulnerability analyses at this phase of the life cycle help - to ensure that design or implementation changes have been accounted for, and that - any new vulnerabilities created as a result of those changes have been reviewed - and mitigated.

- PM-15 - RA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to perform:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SA-11(2)[1] -

threat analyses of the as-built, system component, or service;

- - - SA-11(2)[2] -

vulnerability analyses of the as-built, system component, or service; and

- - - SA-11(2)[3] -

subsequent testing/evaluation of the as-built, system component, or - service.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test plans

-

records of developer security testing results for the information system, - system component, or information system service

-

vulnerability scanning results

-

information system risk assessment reports

-

threat and vulnerability analysis reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Dynamic Code Analysis - SA-11(8) - sa-11.08 - -

The organization requires the developer of the information system, system - component, or information system service to employ dynamic code analysis tools to - identify common flaws and document the results of the analysis.

- - SA-11 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - -

Dynamic code analysis provides run-time verification of software programs, using - tools capable of monitoring programs for memory corruption, user privilege issues, - and other potential security problems. Dynamic code analysis employs run-time - tools to help to ensure that security functionality performs in the manner in - which it was designed. A specialized type of dynamic analysis, known as fuzz - testing, induces program failures by deliberately introducing malformed or random - data into software programs. Fuzz testing strategies derive from the intended use - of applications and the functional and design specifications for the applications. - To understand the scope of dynamic code analysis and hence the assurance provided, - organizations may also consider conducting code coverage analysis (checking the - degree to which the code has been tested using metrics such as percent of - subroutines tested or percent of program statements called during execution of the - test suite) and/or concordance analysis (checking for words that are out of place - in software code such as non-English language words or derogatory terms).

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ dynamic code analysis - tools to identify common flaws and document the results of the analysis.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test and evaluation plans

-

security test and evaluation results

-

security flaw and remediation tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - - - System and Communications Protection - - System and Communications Protection Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - SC-1 - sc-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and communications protection policy ; - and

- - - 2. -

System and communications protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SC-1(a) - - SC-1(a)(1) - - assessment-objective - EXAMINE - SC-1(a)(1)[1] -

develops and documents a system and communications protection policy that - addresses:

- - SC-1(a)(1)[1][a] -

purpose;

- - - SC-1(a)(1)[1][b] -

scope;

- - - SC-1(a)(1)[1][c] -

roles;

- - - SC-1(a)(1)[1][d] -

responsibilities;

- - - SC-1(a)(1)[1][e] -

management commitment;

- - - SC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SC-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SC-1(a)(1)[2] -

defines personnel or roles to whom the system and communications protection - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SC-1(a)(1)[3] -

disseminates the system and communications protection policy to - organization-defined personnel or roles;

- - - - SC-1(a)(2) - - assessment-objective - EXAMINE - SC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls;

- - - assessment-objective - EXAMINE - SC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SC-1(b) - - SC-1(b)(1) - - assessment-objective - EXAMINE - SC-1(b)(1)[1] -

defines the frequency to review and update the current system and - communications protection policy;

- - - assessment-objective - EXAMINE - SC-1(b)(1)[2] -

reviews and updates the current system and communications protection policy - with the organization-defined frequency;

- - - - SC-1(b)(2) - - assessment-objective - EXAMINE - SC-1(b)(2)[1] -

defines the frequency to review and update the current system and - communications protection procedures; and

- - - assessment-objective - EXAMINE - SC-1(b)(2)[2] -

reviews and updates the current system and communications protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

System and communications protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and communications protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Application Partitioning - SC-2 - sc-02 - -

The information system separates user functionality (including user interface - services) from information system management functionality.

- - -

Information system management functionality includes, for example, functions - necessary to administer databases, network components, workstations, or servers, and - typically requires privileged user access. The separation of user functionality from - information system management functionality is either physical or logical. - Organizations implement separation of system management-related functionality from - user functionality by using different computers, different central processing units, - different instances of operating systems, different network addresses, virtualization - techniques, or combinations of these or other methods, as appropriate. This type of - separation includes, for example, web administrative interfaces that use separate - authentication methods for users of any other information system resources. - Separation of system and user functionality may include isolating administrative - interfaces on different domains and with additional access controls.

- SA-4 - SA-8 - SC-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system separates user functionality (including user - interface services) from information system management functionality.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing application partitioning

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Separation of user functionality from information system management - functionality

- - - - - Information in Shared Resources - SC-4 - sc-04 - -

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

- - -

This control prevents information, including encrypted representations of - information, produced by the actions of prior users/roles (or the actions of - processes acting on behalf of prior users/roles) from being available to any current - users/roles (or current processes) that obtain access to shared system resources - (e.g., registers, main memory, hard disks) after those resources have been released - back to information systems. The control of information in shared resources is also - commonly referred to as object reuse and residual information protection. This - control does not address: (i) information remanence which refers to residual - representation of data that has been nominally erased or removed; (ii) covert - channels (including storage and/or timing channels) where shared resources are - manipulated to violate information flow restrictions; or (iii) components within - information systems for which there are only single users/roles.

- AC-3 - AC-4 - MP-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system prevents unauthorized and unintended information - transfer via shared system resources.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing information protection in shared system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms preventing unauthorized and unintended transfer of - information via shared system resources

- - - - - Denial of Service Protection - - - - - - - SC-5 - sc-05 - -

The information system protects against or limits the effects of the following types - of denial of service attacks: by employing .

- - -

A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks.

- SC-6 - SC-7 - - -

Determine if:

- - SC-5[1] -

the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects;

- - - SC-5[2] -

the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and

- - - SC-5[3] -

the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

security plan

-

list of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks

-

list of security safeguards protecting against or limiting the effects of denial - of service attacks

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms protecting against or limiting the effects of denial of - service attacks

- - - - - Resource Availability - - - - - - - - SC-6 - sc-06 - -

The information system protects the availability of resources by allocating by .

- - -

Priority protection helps prevent lower-priority processes from delaying or - interfering with the information system servicing any higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined amounts of - resources. This control does not apply to information system components for which - there are only single users/roles.

- - -

Determine if:

- - assessment-objective - EXAMINE - SC-6[1] -

the organization defines resources to be allocated to protect the availability of - resources;

- - - assessment-objective - EXAMINE - SC-6[2] -

the organization defines security safeguards to be employed to protect the - availability of resources;

- - - assessment-objective - INTERVIEW - TEST - SC-6[3] -

the information system protects the availability of resources by allocating - organization-defined resources by one or more of the following:

- - SC-6[3][a] -

priority;

- - - SC-6[3][b] -

quota; and/or

- - - SC-6[3][c] -

organization-defined safeguards.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing prioritization of information system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing resource allocation - capability

-

safeguards employed to protect availability of resources

- - - - - Boundary Protection - - SC-7 - sc-07 - FIPS Publication 199 - NIST Special Publication 800-41 - NIST Special Publication 800-77 - -

The information system:

- - a. -

Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system;

- - - b. -

Implements subnetworks for publicly accessible system components that are separated from internal organizational networks; - and

- - - c. -

Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - -

Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions.

- AC-4 - AC-17 - CA-3 - CM-7 - CP-8 - IR-4 - RA-3 - SC-5 - SC-13 - - -

Determine if the information system:

- - SC-7(a) - - assessment-objective - INTERVIEW - TEST - SC-7(a)[1] -

monitors communications at the external boundary of the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[2] -

monitors communications at key internal boundaries within the system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[3] -

controls communications at the external boundary of the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-7(a)[4] -

controls communications at key internal boundaries within the system;

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(b) -

implements subnetworks for publicly accessible system components that are - either:

- - SC-7(b)[1] -

physically separated from internal organizational networks; and/or

- - - SC-7(b)[2] -

logically separated from internal organizational networks; and

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(c) -

connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

list of key internal boundaries of the information system

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

enterprise security architecture documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

- - - - Access Points - SC-7(3) - sc-07.03 - -

The organization limits the number of external network connections to the - information system.

- - -

Limiting the number of external network connections facilitates more comprehensive - monitoring of inbound and outbound communications traffic. The Trusted Internet - Connection (TIC) initiative is an example of limiting the number of external - network connections.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization limits the number of external network connections to - the information system.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

boundary protection hardware and software

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

communications and network traffic monitoring logs

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms limiting the number of external network connections to the - information system

- - - - - External Telecommunications Services - - - at least annually - - - SC-7(4) - sc-07.04 - -

The organization:

- - (a) -

Implements a managed interface for each external telecommunication service;

- - - (b) -

Establishes a traffic flow policy for each managed interface;

- - - (c) -

Protects the confidentiality and integrity of the information being transmitted - across each interface;

- - - (d) -

Documents each exception to the traffic flow policy with a supporting - mission/business need and duration of that need; and

- - - (e) -

Reviews exceptions to the traffic flow policy - and removes exceptions that are no longer supported by an explicit - mission/business need.

- - - - SC-8 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SC-7(4)(a) -

implements a managed interface for each external telecommunication service;

- SC-7(4)(a) - - - assessment-objective - EXAMINE - SC-7(4)(b) -

establishes a traffic flow policy for each managed interface;

- SC-7(4)(b) - - - assessment-objective - INTERVIEW - TEST - SC-7(4)(c) -

protects the confidentiality and integrity of the information being transmitted - across each interface;

- SC-7(4)(c) - - - SC-7(4)(d) -

documents each exception to the traffic flow policy with:

- - assessment-objective - EXAMINE - SC-7(4)(d)[1] -

a supporting mission/business need;

- - - assessment-objective - EXAMINE - SC-7(4)(d)[2] -

duration of that need;

- - SC-7(4)(d) - - - SC-7(4)(e) - - assessment-objective - EXAMINE - SC-7(4)(e)[1] -

defines a frequency to review exceptions to traffic flow policy;

- - - assessment-objective - INTERVIEW - TEST - SC-7(4)(e)[2] -

reviews exceptions to the traffic flow policy with the organization-defined - frequency; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(4)(e)[3] -

removes traffic flow policy exceptions that are no longer supported by an - explicit mission/business need

- - SC-7(4)(e) - - - - EXAMINE - -

System and communications protection policy

-

traffic flow policy

-

information flow control policy

-

procedures addressing boundary protection

-

information system security architecture

-

information system design documentation

-

boundary protection hardware and software

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of traffic flow policy exceptions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Organizational processes for documenting and reviewing exceptions to the - traffic flow policy

-

organizational processes for removing exceptions to the traffic flow policy

-

automated mechanisms implementing boundary protection capability

-

managed interfaces implementing traffic flow policy

- - - - - Deny by Default / Allow by Exception - SC-7(5) - sc-07.05 - -

The information system at managed interfaces denies network communications traffic - by default and allows network communications traffic by exception (i.e., deny all, - permit by exception).

- - -

This control enhancement applies to both inbound and outbound network - communications traffic. A deny-all, permit-by-exception network communications - traffic policy ensures that only those connections which are essential and - approved are allowed.

- - -

Determine if the information system, at managed interfaces:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(5)[1] -

denies network traffic by default; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-7(5)[2] -

allows network traffic by exception.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing traffic management at managed interfaces

- - - - - Prevent Split Tunneling for Remote Devices - SC-7(7) - sc-07.07 - -

The information system, in conjunction with a remote device, prevents the device - from simultaneously establishing non-remote connections with the system and - communicating via some other connection to resources in external networks.

- - -

This control enhancement is implemented within remote devices (e.g., notebook - computers) through configuration settings to disable split tunneling in those - devices, and by preventing those configuration settings from being readily - configurable by users. This control enhancement is implemented within the - information system by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and by prohibiting the - connection if the remote device is using split tunneling. Split tunneling might be - desirable by remote users to communicate with local information system resources - such as printers/file servers. However, split tunneling would in effect allow - unauthorized external connections, making the system more vulnerable to attack and - to exfiltration of organizational information. The use of VPNs for remote - connections, when adequately provisioned with appropriate security controls, may - provide the organization with sufficient assurance that it can effectively treat - such connections as non-remote connections from the confidentiality and integrity - perspective. VPNs thus provide a means for allowing non-remote communications - paths from remote devices. The use of an adequately provisioned VPN does not - eliminate the need for preventing split tunneling.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system, in conjunction with a remote device, prevents - the device from simultaneously establishing non-remote connections with the system - and communicating via some other connection to resources in external networks.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms supporting/restricting non-remote connections

- - - - - Route Traffic to Authenticated Proxy Servers - - - - - - - SC-7(8) - sc-07.08 - -

The information system routes to through authenticated proxy servers at managed - interfaces.

- - -

External networks are networks outside of organizational control. A proxy server - is a server (i.e., information system or application) that acts as an intermediary - for clients requesting information system resources (e.g., files, connections, web - pages, or services) from other organizational servers. Client requests established - through an initial connection to the proxy server are evaluated to manage - complexity and to provide additional protection by limiting direct connectivity. - Web content filtering devices are one of the most common proxy servers providing - access to the Internet. Proxy servers support logging individual Transmission - Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators - (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be - configured with organization-defined lists of authorized and unauthorized - websites.

- AC-3 - AU-2 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-7(8)[1] -

the organization defines internal communications traffic to be routed to - external networks;

- - - assessment-objective - EXAMINE - SC-7(8)[2] -

the organization defines external networks to which organization-defined - internal communications traffic is to be routed; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(8)[3] -

the information system routes organization-defined internal communications - traffic to organization-defined external networks through authenticated proxy - servers at managed interfaces.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing traffic management through authenticated - proxy servers at managed interfaces

- - - - - Host-based Protection - - - - - - - SC-7(12) - sc-07.12 - -

The organization implements at .

- - -

Host-based boundary protection mechanisms include, for example, host-based - firewalls. Information system components employing host-based boundary protection - mechanisms include, for example, servers, workstations, and mobile devices.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-7(12)[1] -

defines host-based boundary protection mechanisms;

- - - assessment-objective - EXAMINE - SC-7(12)[2] -

defines information system components where organization-defined host-based - boundary protection mechanisms are to be implemented; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(12)[3] -

implements organization-defined host-based boundary protection mechanisms at - organization-defined information system components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

-

information system users

- - - - TEST - -

Automated mechanisms implementing host-based boundary protection - capabilities

- - - - - Isolation of Security Tools / Mechanisms / Support Components - - - - SC-7(13) - sc-07.13 - -

The organization isolates from other internal - information system components by implementing physically separate subnetworks with - managed interfaces to other components of the system.

- - SC-7 (13) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

- - - - -

Physically separate subnetworks with managed interfaces are useful, for example, - in isolating computer network defenses from critical operational processing - networks to prevent adversaries from discovering the analysis and forensics - techniques of organizations.

- SA-8 - SC-2 - SC-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-7(13)[1] -

defines information security tools, mechanisms, and support components to be - isolated from other internal information system components; and

- - - assessment-objective - INTERVIEW - TEST - SC-7(13)[2] -

isolates organization-defined information security tools, mechanisms, and - support components from other internal information system components by - implementing physically separate subnetworks with managed interfaces to other - components of the system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

list of security tools and support components to be isolated from other - internal information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing isolation of information - security tools, mechanisms, and support components

- - - - - Fail Secure - SC-7(18) - sc-07.18 - -

The information system fails securely in the event of an operational failure of a - boundary protection device.

- - -

Fail secure is a condition achieved by employing information system mechanisms to - ensure that in the event of operational failures of boundary protection devices at - managed interfaces (e.g., routers, firewalls, guards, and application gateways - residing on protected subnetworks commonly referred to as demilitarized zones), - information systems do not enter into unsecure states where intended security - properties no longer hold. Failures of boundary protection devices cannot lead to, - or cause information external to the devices to enter the devices, nor can - failures permit unauthorized information releases.

- CP-2 - SC-24 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system fails securely in the event of an operational - failure of a boundary protection device.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure failure

- - - - - - Transmission Confidentiality and Integrity - - confidentiality AND integrity - - SC-8 - sc-08 - FIPS Publication 140-2 - FIPS Publication 197 - NIST Special Publication 800-52 - NIST Special Publication 800-77 - NIST Special Publication 800-81 - NIST Special Publication 800-113 - CNSS Policy 15 - NSTISSI No. 7003 - -

The information system protects the of transmitted - information.

- - -

This control applies to both internal and external networks and all types of - information system components from which information can be transmitted (e.g., - servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile - machines). Communication paths outside the physical protection of a controlled - boundary are exposed to the possibility of interception and modification. Protecting - the confidentiality and/or integrity of organizational information can be - accomplished by physical means (e.g., by employing protected distribution systems) or - by logical means (e.g., employing encryption techniques). Organizations relying on - commercial providers offering transmission services as commodity services rather than - as fully dedicated services (i.e., services which can be highly specialized to - individual customer needs), may find it difficult to obtain the necessary assurances - regarding the implementation of needed security controls for transmission - confidentiality/integrity. In such situations, organizations determine what types of - confidentiality/integrity services are available in standard, commercial - telecommunication service packages. If it is infeasible or impractical to obtain the - necessary security controls and assurances of control effectiveness through - appropriate contracting vehicles, organizations implement appropriate compensating - security controls or explicitly accept the additional risk.

- AC-17 - PE-4 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system protects one or more of the following:

- - SC-8[1] -

confidentiality of transmitted information; and/or

- - - SC-8[2] -

integrity of transmitted information.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing transmission confidentiality - and/or integrity

- - - - Cryptographic or Alternate Physical Protection - - prevent unauthorized disclosure of information AND detect changes to information - - - - a hardened or alarmed carrier Protective Distribution System (PDS) - - SC-8(1) - sc-08.01 - -

The information system implements cryptographic mechanisms to during transmission unless otherwise protected by - .

- - -

Encrypting information for transmission protects information from unauthorized - disclosure and modification. Cryptographic mechanisms implemented to protect - information integrity include, for example, cryptographic hash functions which - have common application in digital signatures, checksums, and message - authentication codes. Alternative physical security safeguards include, for - example, protected distribution systems.

- SC-13 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-8(1)[1] -

the organization defines physical safeguards to be implemented to protect - information during transmission when cryptographic mechanisms are not - implemented; and

- - - assessment-objective - INTERVIEW - TEST - SC-8(1)[2] -

the information system implements cryptographic mechanisms to do one or more of - the following during transmission unless otherwise protected by - organization-defined alternative physical safeguards:

- - SC-8(1)[2][a] -

prevent unauthorized disclosure of information; and/or

- - - SC-8(1)[2][b] -

detect changes to information.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms supporting and/or implementing transmission - confidentiality and/or integrity

-

automated mechanisms supporting and/or implementing alternative physical - safeguards

-

organizational processes for defining and implementing alternative physical - safeguards

- - - - - - Network Disconnect - - - no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions - - SC-10 - sc-10 - -

The information system terminates the network connection associated with a - communications session at the end of the session or after of inactivity.

- - -

This control applies to both internal and external networks. Terminating network - connections associated with communications sessions include, for example, - de-allocating associated TCP/IP address/port pairs at the operating system level, or - de-allocating networking assignments at the application level if multiple application - sessions are using a single, operating system-level network connection. Time periods - of inactivity may be established by organizations and include, for example, time - periods by type of network access or for specific network accesses.

- - -

Determine if:

- - assessment-objective - EXAMINE - SC-10[1] -

the organization defines a time period of inactivity after which the information - system terminates a network connection associated with a communications session; - and

- - - assessment-objective - INTERVIEW - TEST - SC-10[2] -

the information system terminates the network connection associated with a - communication session at the end of the session or after the organization-defined - time period of inactivity.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing network disconnect

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing network disconnect - capability

- - - - - Cryptographic Key Establishment and Management - - - - SC-12 - sc-12 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - -

The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with .

- - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - -

Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems.

- SC-13 - SC-17 - - -

Determine if the organization:

- - SC-12[1] -

defines requirements for cryptographic key:

- - SC-12[1][a] -

generation;

- - - SC-12[1][b] -

distribution;

- - - SC-12[1][c] -

storage;

- - - SC-12[1][d] -

access;

- - - SC-12[1][e] -

destruction; and

- - - - SC-12[2] -

establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

cryptographic mechanisms

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key establishment - and/or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - Symmetric Keys - - NIST FIPS-compliant - - SC-12(2) - sc-12.02 - -

The organization produces, controls, and distributes symmetric cryptographic keys - using key management technology and - processes.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization produces, controls, and distributes symmetric - cryptographic keys using one of the following:

- - SC-12(2)[1] -

NIST FIPS-compliant key management technology and processes; or

- - - SC-12(2)[2] -

NSA-approved key management technology and processes.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FIPS validated cryptographic products

-

list of NSA-approved cryptographic products

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic key - establishment or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing symmetric cryptographic key - establishment and management

- - - - - Asymmetric Keys - - SC-12(3) - sc-12.03 - -

The organization produces, controls, and distributes asymmetric cryptographic keys - using .

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization produces, controls, and distributes asymmetric - cryptographic keys using one of the following:

- - SC-12(3)[1] -

NSA-approved key management technology and processes;

- - - SC-12(3)[2] -

approved PKI Class 3 certificates or prepositioned keying material; or

- - - SC-12(3)[3] -

approved PKI Class 3 or Class 4 certificates and hardware security tokens that - protect the user’s private key.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of NSA-approved cryptographic products

-

list of approved PKI Class 3 and Class 4 certificates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic key - establishment or management

-

organizational personnel with responsibilities for PKI certificates

- - - - TEST - -

Automated mechanisms supporting and/or implementing asymmetric cryptographic - key establishment and management

- - - - - - Cryptographic Protection - - - FIPS-validated or NSA-approved cryptography - - - SC-13 - sc-13 - FIPS Publication 140 - http://csrc.nist.gov/cryptval - http://www.cnss.gov - -

The information system implements in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards.

- - -

Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography).

- AC-2 - AC-3 - AC-7 - AC-17 - AC-18 - AU-9 - AU-10 - CM-11 - CP-9 - IA-3 - IA-7 - MA-4 - MP-2 - MP-4 - MP-5 - SA-4 - SC-8 - SC-12 - SC-28 - SI-7 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-13[1] -

the organization defines cryptographic uses; and

- - - assessment-objective - EXAMINE - SC-13[2] -

the organization defines the type of cryptography required for each use; and

- - - assessment-objective - INTERVIEW - TEST - SC-13[3] -

the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic module validation certificates

-

list of FIPS validated cryptographic modules

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic protection

- - - - - Collaborative Computing Devices - - - no exceptions - - SC-15 - sc-15 - -

The information system:

- - a. -

Prohibits remote activation of collaborative computing devices with the following - exceptions: ; and

- - - b. -

Provides an explicit indication of use to users physically present at the - devices.

- - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - -

Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated.

- AC-21 - - -

Determine if:

- - SC-15(a) - - assessment-objective - EXAMINE - SC-15(a)[1] -

the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed;

- - - assessment-objective - INTERVIEW - TEST - SC-15(a)[2] -

the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and

- - - - assessment-objective - INTERVIEW - TEST - SC-15(b) -

the information system provides an explicit indication of use to users physically - present at the devices.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices

-

automated mechanisms providing an indication of use of collaborative computing - devices

- - - - - Public Key Infrastructure Certificates - - - - SC-17 - sc-17 - OMB Memorandum 05-24 - NIST Special Publication 800-32 - NIST Special Publication 800-63 - -

The organization issues public key certificates under an or obtains public key certificates from an approved - service provider.

- - -

For all certificates, organizations manage information system trust stores to ensure - only approved trust anchors are in the trust stores. This control addresses both - certificates with visibility external to organizational information systems and - certificates related to the internal operations of systems, for example, - application-specific time services.

- SC-12 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-17[1] -

defines a certificate policy for issuing public key certificates;

- - - assessment-objective - INTERVIEW - TEST - SC-17[2] -

issues public key certificates:

- - SC-17[2][a] -

under an organization-defined certificate policy: or

- - - SC-17[2][b] -

obtains public key certificates from an approved service provider.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing public key infrastructure certificates

-

public key certificate policy or policies

-

public key issuing process

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for issuing public key - certificates

-

service providers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the management of public key - infrastructure certificates

- - - - - Mobile Code - SC-18 - sc-18 - NIST Special Publication 800-28 - DoD Instruction 8552.01 - -

The organization:

- - a. -

Defines acceptable and unacceptable mobile code and mobile code technologies;

- - - b. -

Establishes usage restrictions and implementation guidance for acceptable mobile - code and mobile code technologies; and

- - - c. -

Authorizes, monitors, and controls the use of mobile code within the information - system.

- - - -

Decisions regarding the employment of mobile code within organizational information - systems are based on the potential for the code to cause damage to the systems if - used maliciously. Mobile code technologies include, for example, Java, JavaScript, - ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage - restrictions and implementation guidance apply to both the selection and use of - mobile code installed on servers and mobile code downloaded and executed on - individual workstations and devices (e.g., smart phones). Mobile code policy and - procedures address preventing the development, acquisition, or introduction of - unacceptable mobile code within organizational information systems.

- AU-2 - AU-12 - CM-2 - CM-6 - SI-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SC-18(a) -

defines acceptable and unacceptable mobile code and mobile code technologies;

- - - SC-18(b) - - assessment-objective - EXAMINE - SC-18(b)[1] -

establishes usage restrictions for acceptable mobile code and mobile code - technologies;

- - - assessment-objective - EXAMINE - SC-18(b)[2] -

establishes implementation guidance for acceptable mobile code and mobile code - technologies;

- - - - SC-18(c) - - assessment-objective - INTERVIEW - TEST - SC-18(c)[1] -

authorizes the use of mobile code within the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-18(c)[2] -

monitors the use of mobile code within the information system; and

- - - assessment-objective - INTERVIEW - TEST - SC-18(c)[3] -

controls the use of mobile code within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage restrictions, mobile code implementation policy and - procedures

-

list of acceptable mobile code and mobile code technologies

-

list of unacceptable mobile code and mobile technologies

-

authorization records

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Organizational process for controlling, authorizing, monitoring, and restricting - mobile code

-

automated mechanisms supporting and/or implementing the management of mobile - code

-

automated mechanisms supporting and/or implementing the monitoring of mobile - code

- - - - - Voice Over Internet Protocol - SC-19 - sc-19 - NIST Special Publication 800-58 - -

The organization:

- - a. -

Establishes usage restrictions and implementation guidance for Voice over Internet - Protocol (VoIP) technologies based on the potential to cause damage to the - information system if used maliciously; and

- - - b. -

Authorizes, monitors, and controls the use of VoIP within the information - system.

- - - - CM-6 - SC-7 - SC-15 - - -

Determine if the organization:

- - SC-19(a) - - assessment-objective - EXAMINE - SC-19(a)[1] -

establishes usage restrictions for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously;

- - - assessment-objective - EXAMINE - SC-19(a)[2] -

establishes implementation guidance for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously;

- - - - SC-19(b) - - assessment-objective - INTERVIEW - TEST - SC-19(b)[1] -

authorizes the use of VoIP within the information system;

- - - assessment-objective - INTERVIEW - TEST - SC-19(b)[2] -

monitors the use of VoIP within the information system; and

- - - assessment-objective - INTERVIEW - TEST - SC-19(b)[3] -

controls the use of VoIP within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing VoIP

-

VoIP usage restrictions

-

VoIP implementation guidance

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing VoIP

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling VoIP

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling VoIP

- - - - - Secure Name / Address Resolution Service (authoritative Source) - SC-20 - sc-20 - OMB Memorandum 08-23 - NIST Special Publication 800-81 - -

The information system:

- - a. -

Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and

- - - b. -

Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace.

- - - -

This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data.

- AU-10 - SC-8 - SC-12 - SC-13 - SC-21 - SC-22 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-20(a) -

provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries;

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-20(b) -

provides the means to, when operating as part of a distributed, hierarchical - namespace:

- - SC-20(b)[1] -

indicate the security status of child zones; and

- - - SC-20(b)[2] -

enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services).

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (authoritative - source)

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure name/address resolution - service

- - - - - Secure Name / Address Resolution Service (recursive or Caching Resolver) - SC-21 - sc-21 - NIST Special Publication 800-81 - -

The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources.

- - -

Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data.

- SC-20 - SC-22 - - -

Determine if the information system:

- - assessment-objective - EXAMINE - SC-21[1] -

requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources;

- - - assessment-objective - EXAMINE - SC-21[2] -

requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources;

- - - assessment-objective - INTERVIEW - TEST - SC-21[3] -

performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and

- - - assessment-objective - INTERVIEW - TEST - SC-21[4] -

performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (recursive or caching - resolver)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services

- - - - - Architecture and Provisioning for Name / Address Resolution Service - SC-22 - sc-22 - NIST Special Publication 800-81 - -

The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation.

- - -

Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists).

- SC-2 - SC-20 - SC-21 - SC-24 - - -

Determine if the information systems that collectively provide name/address - resolution service for an organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-22[1] -

are fault tolerant; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SC-22[2] -

implement internal/external role separation.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing architecture and provisioning for name/address resolution - service

-

access control policy and procedures

-

information system design documentation

-

assessment results from independent, testing organizations

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation

- - - - - Session Authenticity - SC-23 - sc-23 - NIST Special Publication 800-52 - NIST Special Publication 800-77 - NIST Special Publication 800-95 - -

The information system protects the authenticity of communications sessions.

- - -

This control addresses communications protection at the session, versus packet level - (e.g., sessions in service-oriented architectures providing web-based services) and - establishes grounds for confidence at both ends of communications sessions in ongoing - identities of other parties and in the validity of information transmitted. - Authenticity protection includes, for example, protecting against man-in-the-middle - attacks/session hijacking and the insertion of false information into sessions.

- SC-8 - SC-10 - SC-11 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system protects the authenticity of communications - sessions.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing session authenticity

- - - - - Protection of Information at Rest - - confidentiality AND integrity - - - - - SC-28 - sc-28 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - NIST Special Publication 800-111 - -

The information system protects the of .

- - SC-28 Additional FedRAMP Requirements and Guidance - - Guidance: -

The organization supports the capability to use cryptographic mechanisms to protect information at rest.

- - - - -

This control addresses the confidentiality and integrity of information at rest and - covers user information and system information. Information at rest refers to the - state of information when it is located on storage devices as specific components of - information systems. System-related information requiring protection includes, for - example, configurations or rule sets for firewalls, gateways, intrusion - detection/prevention systems, filtering routers, and authenticator content. - Organizations may employ different mechanisms to achieve confidentiality and - integrity protections, including the use of cryptographic mechanisms and file share - scanning. Integrity protection can be achieved, for example, by implementing - Write-Once-Read-Many (WORM) technologies. Organizations may also employ other - security controls including, for example, secure off-line storage in lieu of online - storage when adequate protection of information at rest cannot otherwise be achieved - and/or continuous monitoring to identify malicious code at rest.

- AC-3 - AC-6 - CA-7 - CM-3 - CM-5 - CM-6 - PE-3 - SC-8 - SC-13 - SI-3 - SI-7 - - -

Determine if:

- - SC-28[1] -

the organization defines information at rest requiring one or more of the - following:

- - SC-28[1][a] -

confidentiality protection; and/or

- - - SC-28[1][b] -

integrity protection;

- - - - SC-28[2] -

the information system protects:

- - SC-28[2][a] -

the confidentiality of organization-defined information at rest; and/or

- - - SC-28[2][b] -

the integrity of organization-defined information at rest.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

list of information at rest requiring confidentiality and integrity - protections

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing confidentiality and integrity - protections for information at rest

- - - - Cryptographic Protection - - - - - - - SC-28(1) - sc-28.01 - -

The information system implements cryptographic mechanisms to prevent unauthorized - disclosure and modification of on .

- - -

Selection of cryptographic mechanisms is based on the need to protect the - confidentiality and integrity of organizational information. The strength of - mechanism is commensurate with the security category and/or classification of the - information. This control enhancement applies to significant concentrations of - digital media in organizational areas designated for media storage and also to - limited quantities of media generally associated with information system - components in operational environments (e.g., portable storage devices, mobile - devices). Organizations have the flexibility to either encrypt all information on - storage devices (i.e., full disk encryption) or encrypt specific data structures - (e.g., files, records, or fields). Organizations employing cryptographic - mechanisms to protect information at rest also consider cryptographic key - management solutions.

- AC-19 - SC-12 - - -

Determine if:

- - assessment-objective - EXAMINE - SC-28(1)[1] -

the organization defines information requiring cryptographic protection;

- - - assessment-objective - EXAMINE - SC-28(1)[2] -

the organization defines information system components with - organization-defined information requiring cryptographic protection; and

- - - assessment-objective - INTERVIEW - TEST - SC-28(1)[3] -

the information system employs cryptographic mechanisms to prevent unauthorized - disclosure and modification of organization-defined information on - organization-defined information system components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms implementing confidentiality and integrity protections - for information at rest

- - - - - - Process Isolation - SC-39 - sc-39 - -

The information system maintains a separate execution domain for each executing - process.

- - -

Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies.

- AC-3 - AC-4 - AC-6 - SA-4 - SA-5 - SA-8 - SC-2 - SC-3 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system maintains a separate execution domain for each - executing process.

- - - EXAMINE - -

Information system design documentation

-

information system architecture

-

independent verification and validation documentation

-

testing and evaluation documentation, other relevant documents or records

- - - - INTERVIEW - -

Information system developers/integrators

-

information system security architect

- - - - TEST - -

Automated mechanisms supporting and/or implementing separate execution domains for - each executing process

- - - - - - System and Information Integrity - - System and Information Integrity Policy and Procedures - - - - - - at least every 3 years - - - - at least annually - - - SI-1 - si-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and information integrity policy ; - and

- - - 2. -

System and information integrity procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SI-1(a) - - SI-1(a)(1) - - assessment-objective - EXAMINE - SI-1(a)(1)[1] -

develops and documents a system and information integrity policy that - addresses:

- - SI-1(a)(1)[1][a] -

purpose;

- - - SI-1(a)(1)[1][b] -

scope;

- - - SI-1(a)(1)[1][c] -

roles;

- - - SI-1(a)(1)[1][d] -

responsibilities;

- - - SI-1(a)(1)[1][e] -

management commitment;

- - - SI-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SI-1(a)(1)[1][g] -

compliance;

- - - - assessment-objective - EXAMINE - SI-1(a)(1)[2] -

defines personnel or roles to whom the system and information integrity - policy is to be disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-1(a)(1)[3] -

disseminates the system and information integrity policy to - organization-defined personnel or roles;

- - - - SI-1(a)(2) - - assessment-objective - EXAMINE - SI-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls;

- - - assessment-objective - EXAMINE - SI-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SI-1(b) - - SI-1(b)(1) - - assessment-objective - EXAMINE - SI-1(b)(1)[1] -

defines the frequency to review and update the current system and - information integrity policy;

- - - assessment-objective - EXAMINE - SI-1(b)(1)[2] -

reviews and updates the current system and information integrity policy with - the organization-defined frequency;

- - - - SI-1(b)(2) - - assessment-objective - EXAMINE - SI-1(b)(2)[1] -

defines the frequency to review and update the current system and - information integrity procedures; and

- - - assessment-objective - EXAMINE - SI-1(b)(2)[2] -

reviews and updates the current system and information integrity procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and information integrity policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and information integrity - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Flaw Remediation - - - within 30 days of release of updates - - - SI-2 - si-02 - NIST Special Publication 800-40 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Identifies, reports, and corrects information system flaws;

- - - b. -

Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation;

- - - c. -

Installs security-relevant software and firmware updates within of the release of the updates; and

- - - d. -

Incorporates flaw remediation into the organizational configuration management - process.

- - - -

Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures.

- CA-2 - CA-7 - CM-3 - CM-5 - CM-8 - MA-2 - IR-4 - RA-5 - SA-10 - SA-11 - SI-11 - - -

Determine if the organization:

- - SI-2(a) - - assessment-objective - INTERVIEW - TEST - SI-2(a)[1] -

identifies information system flaws;

- - - assessment-objective - INTERVIEW - TEST - SI-2(a)[2] -

reports information system flaws;

- - - assessment-objective - INTERVIEW - TEST - SI-2(a)[3] -

corrects information system flaws;

- - - - SI-2(b) - - assessment-objective - INTERVIEW - TEST - SI-2(b)[1] -

tests software updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - assessment-objective - INTERVIEW - TEST - SI-2(b)[2] -

tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - - SI-2(c) - - assessment-objective - EXAMINE - SI-2(c)[1] -

defines the time period within which to install security-relevant software - updates after the release of the updates;

- - - assessment-objective - EXAMINE - SI-2(c)[2] -

defines the time period within which to install security-relevant firmware - updates after the release of the updates;

- - - assessment-objective - INTERVIEW - TEST - SI-2(c)[3] -

installs software updates within the organization-defined time period of the - release of the updates;

- - - assessment-objective - INTERVIEW - TEST - SI-2(c)[4] -

installs firmware updates within the organization-defined time period of the - release of the updates; and

- - - - assessment-objective - INTERVIEW - TEST - SI-2(d) -

incorporates flaw remediation into the organizational configuration management - process.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

procedures addressing configuration management

-

list of flaws and vulnerabilities potentially affecting the information system

-

list of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)

-

test results from the installation of software and firmware updates to correct - information system flaws

-

installation/change control records for security-relevant software and firmware - updates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

organizational process for installing software and firmware updates

-

automated mechanisms supporting and/or implementing reporting, and correcting - information system flaws

-

automated mechanisms supporting and/or implementing testing software and firmware - updates

- - - - Automated Flaw Remediation Status - - - at least monthly - - - SI-2(2) - si-02.02 - -

The organization employs automated mechanisms to - determine the state of information system components with regard to flaw - remediation.

- - - CM-6 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-2(2)[1] -

defines a frequency to employ automated mechanisms to determine the state of - information system components with regard to flaw remediation; and

- - - assessment-objective - INTERVIEW - TEST - SI-2(2)[2] -

employs automated mechanisms with the organization-defined frequency to - determine the state of information system components with regard to flaw - remediation.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting centralized management of flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Automated mechanisms used to determine the state of information system - components with regard to flaw remediation

- - - - - Time to Remediate Flaws / Benchmarks for Corrective Actions - - - - SI-2(3) - si-02.03 - -

The organization:

- - (a) -

Measures the time between flaw identification and flaw remediation; and

- - - (b) -

Establishes for taking corrective - actions.

- - - -

This control enhancement requires organizations to determine the current time it - takes on the average to correct information system flaws after such flaws have - been identified, and subsequently establish organizational benchmarks (i.e., time - frames) for taking corrective actions. Benchmarks can be established by type of - flaw and/or severity of the potential vulnerability if the flaw can be - exploited.

- - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SI-2(3)(a) -

measures the time between flaw identification and flaw remediation;

- SI-2(3)(a) - - - SI-2(3)(b) - - assessment-objective - EXAMINE - SI-2(3)(b)[1] -

defines benchmarks for taking corrective actions; and

- - - assessment-objective - EXAMINE - SI-2(3)(b)[2] -

establishes organization-defined benchmarks for taking corrective - actions.

- - SI-2(3)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of benchmarks for taking corrective action on flaws identified

-

records providing time stamps of flaw identification and subsequent flaw - remediation activities

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

automated mechanisms used to measure the time between flaw identification and - flaw remediation

- - - - - - Malicious Code Protection - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - - - - SI-3 - si-03 - NIST Special Publication 800-83 - -

The organization:

- - a. -

Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code;

- - - b. -

Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures;

- - - c. -

Configures malicious code protection mechanisms to:

- - 1. -

Perform periodic scans of the information system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in - accordance with organizational security policy; and

- - - 2. -

- in response to malicious code detection; - and

- - - - d. -

Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files.

- CM-3 - MP-2 - SA-4 - SA-8 - SA-12 - SA-13 - SC-7 - SC-26 - SC-44 - SI-2 - SI-4 - SI-7 - - -

Determine if the organization:

- - assessment-objective - INTERVIEW - TEST - SI-3(a) -

employs malicious code protection mechanisms to detect and eradicate malicious - code at information system:

- - SI-3(a)[1] -

entry points;

- - - SI-3(a)[2] -

exit points;

- - - - assessment-objective - INTERVIEW - TEST - SI-3(b) -

updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1);

- - - SI-3(c) - - assessment-objective - EXAMINE - SI-3(c)[1] -

defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system;

- - - assessment-objective - EXAMINE - SI-3(c)[2] -

defines action to be initiated by malicious protection mechanisms in response - to malicious code detection;

- - - SI-3(c)[3] - - assessment-objective - INTERVIEW - TEST - SI-3(c)[3](1) -

configures malicious code protection mechanisms to:

- - SI-3(c)[3](1)[a] -

perform periodic scans of the information system with the - organization-defined frequency;

- - - SI-3(c)[3](1)[b] -

perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy;

- - - - assessment-objective - INTERVIEW - TEST - SI-3(c)[3](2) -

configures malicious code protection mechanisms to do one or more of the - following:

- - SI-3(c)[3](2)[a] -

block malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[b] -

quarantine malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[c] -

send alert to administrator in response to malicious code detection; - and/or

- - - SI-3(c)[3](2)[d] -

initiate organization-defined action in response to malicious code - detection;

- - - - - - SI-3(d) - - assessment-objective - INTERVIEW - TEST - SI-3(d)[1] -

addresses the receipt of false positives during malicious code detection and - eradication; and

- - - assessment-objective - INTERVIEW - TEST - SI-3(d)[2] -

addresses the resulting potential impact on the availability of the information - system.

- - - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures

-

procedures addressing malicious code protection

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

scan results from malicious code protection mechanisms

-

record of actions initiated by malicious code protection mechanisms in response to - malicious code detection

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for employing, updating, and configuring malicious code - protection mechanisms

-

organizational process for addressing false positives and resulting potential - impact

-

automated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms

-

automated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions

- - - - Central Management - SI-3(1) - si-03.01 - -

The organization centrally manages malicious code protection mechanisms.

- - -

Central management is the organization-wide management and implementation of - malicious code protection mechanisms. Central management includes planning, - implementing, assessing, authorizing, and monitoring the organization-defined, - centrally managed flaw malicious code protection security controls.

- AU-2 - SI-8 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization centrally manages malicious code protection - mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

automated mechanisms supporting centralized management of malicious code - protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Organizational processes for central management of malicious code protection - mechanisms

-

automated mechanisms supporting and/or implementing central management of - malicious code protection mechanisms

- - - - - Automatic Updates - SI-3(2) - si-03.02 - -

The information system automatically updates malicious code protection - mechanisms.

- - -

Malicious code protection mechanisms include, for example, signature definitions. - Due to information system integrity and availability concerns, organizations give - careful consideration to the methodology used to carry out automatic updates.

- SI-8 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system automatically updates malicious code - protection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

automated mechanisms supporting centralized management of malicious code - protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing automatic updates to - malicious code protection capability

- - - - - Nonsignature-based Detection - SI-3(7) - si-03.07 - -

The information system implements nonsignature-based malicious code detection - mechanisms.

- - -

Nonsignature-based detection mechanisms include, for example, the use of - heuristics to detect, analyze, and describe the characteristics or behavior of - malicious code and to provide safeguards against malicious code for which - signatures do not yet exist or for which existing signatures may not be effective. - This includes polymorphic malicious code (i.e., code that changes signatures when - it replicates). This control enhancement does not preclude the use of - signature-based detection mechanisms.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system implements non signature-based malicious code - detection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing nonsignature-based - malicious code protection capability

- - - - - - Information System Monitoring - - - - - - - - - - - - - - - - - - SI-4 - si-04 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-92 - NIST Special Publication 800-94 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Monitors the information system to detect:

- - 1. -

Attacks and indicators of potential attacks in accordance with ; and

- - - 2. -

Unauthorized local, network, and remote connections;

- - - - b. -

Identifies unauthorized use of the information system through ;

- - - c. -

Deploys monitoring devices:

- - 1. -

Strategically within the information system to collect organization-determined - essential information; and

- - - 2. -

At ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - d. -

Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion;

- - - e. -

Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - f. -

Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and

- - - g. -

Provides to - .

- - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - -

Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless.

- AC-3 - AC-4 - AC-8 - AC-17 - AU-2 - AU-6 - AU-7 - AU-9 - AU-12 - CA-7 - IR-4 - PE-3 - RA-5 - SC-7 - SC-26 - SC-35 - SI-3 - SI-7 - - -

Determine if the organization:

- - SI-4(a) - - SI-4(a)(1) - - assessment-objective - EXAMINE - SI-4(a)(1)[1] -

defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system;

- - - assessment-objective - INTERVIEW - TEST - SI-4(a)(1)[2] -

monitors the information system to detect, in accordance with - organization-defined monitoring objectives,:

- - SI-4(a)(1)[2][a] -

attacks;

- - - SI-4(a)(1)[2][b] -

indicators of potential attacks;

- - - - - assessment-objective - INTERVIEW - TEST - SI-4(a)(2) -

monitors the information system to detect unauthorized:

- - SI-4(a)(2)[1] -

local connections;

- - - SI-4(a)(2)[2] -

network connections;

- - - SI-4(a)(2)[3] -

remote connections;

- - - - - SI-4(b) - - assessment-objective - EXAMINE - SI-4(b)(1) -

defines techniques and methods to identify unauthorized use of the information - system;

- - - assessment-objective - INTERVIEW - TEST - SI-4(b)(2) -

identifies unauthorized use of the information system through - organization-defined techniques and methods;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(c) -

deploys monitoring devices:

- - SI-4(c)[1] -

strategically within the information system to collect organization-determined - essential information;

- - - SI-4(c)[2] -

at ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(d) -

protects information obtained from intrusion-monitoring tools from - unauthorized:

- - SI-4(d)[1] -

access;

- - - SI-4(d)[2] -

modification;

- - - SI-4(d)[3] -

deletion;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(e) -

heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - assessment-objective - EXAMINE - INTERVIEW - SI-4(f) -

obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations;

- - - SI-4(g) - - assessment-objective - EXAMINE - SI-4(g)[1] -

defines personnel or roles to whom information system monitoring information is - to be provided;

- - - assessment-objective - EXAMINE - SI-4(g)[2] -

defines information system monitoring information to be provided to - organization-defined personnel or roles;

- - - assessment-objective - EXAMINE - SI-4(g)[3] -

defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles;

- - - assessment-objective - INTERVIEW - TEST - SI-4(g)[4] -

provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following:

- - SI-4(g)[4][a] -

as needed; and/or

- - - SI-4(g)[4][b] -

with the organization-defined frequency.

- - - - - - EXAMINE - -

Continuous monitoring strategy

-

system and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

facility diagram/layout

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

locations within information system where monitoring devices are deployed

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility monitoring the information system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system monitoring - capability

- - - - System-wide Intrusion Detection System - SI-4(1) - si-04.01 - -

The organization connects and configures individual intrusion detection tools into - an information system-wide intrusion detection system.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-4(1)[1] -

connects individual intrusion detection tools into an information system-wide - intrusion detection system; and

- - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-4(1)[2] -

configures individual intrusion detection tools into an information system-wide - intrusion detection system.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection - capability

- - - - - Automated Tools for Real-time Analysis - SI-4(2) - si-04.02 - -

The organization employs automated tools to support near real-time analysis of - events.

- - -

Automated tools include, for example, host-based, network-based, transport-based, - or storage-based event monitoring tools or Security Information and Event - Management (SIEM) technologies that provide real time analysis of alerts and/or - notifications generated by organizational information systems.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization employs automated tools to support near real-time - analysis of events.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for incident - response/management

- - - - TEST - -

Organizational processes for near real-time analysis of events

-

organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system - monitoring

-

automated mechanisms/tools supporting and/or implementing analysis of - events

- - - - - Inbound and Outbound Communications Traffic - - - continuously - - - SI-4(4) - si-04.04 - -

The information system monitors inbound and outbound communications traffic - for unusual or unauthorized activities or - conditions.

- - -

Unusual/unauthorized activities or conditions related to information system - inbound and outbound communications traffic include, for example, internal traffic - that indicates the presence of malicious code within organizational information - systems or propagating among system components, the unauthorized exporting of - information, or signaling to external information systems. Evidence of malicious - code is used to identify potentially compromised information systems or - information system components.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(4)[1] -

defines a frequency to monitor:

- - SI-4(4)[1][a] -

inbound communications traffic for unusual or unauthorized activities or - conditions;

- - - SI-4(4)[1][b] -

outbound communications traffic for unusual or unauthorized activities or - conditions;

- - - - assessment-objective - INTERVIEW - TEST - SI-4(4)[2] -

monitors, with the organization-defined frequency:

- - SI-4(4)[2][a] -

inbound communications traffic for unusual or unauthorized activities or - conditions; and

- - - SI-4(4)[2][b] -

outbound communications traffic for unusual or unauthorized activities or - conditions.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection - capability/information system monitoring

-

automated mechanisms supporting and/or implementing monitoring of - inbound/outbound communications traffic

- - - - - System-generated Alerts - - - - - - - SI-4(5) - si-04.05 - -

The information system alerts when the following - indications of compromise or potential compromise occur: .

- - SI-4 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

In accordance with the incident response plan.

- - - - -

Alerts may be generated from a variety of sources, including, for example, audit - records or inputs from malicious code protection mechanisms, intrusion detection - or prevention mechanisms, or boundary protection devices such as firewalls, - gateways, and routers. Alerts can be transmitted, for example, telephonically, by - electronic mail messages, or by text messaging. Organizational personnel on the - notification list can include, for example, system administrators, - mission/business owners, system owners, or information system security - officers.

- AU-5 - PE-6 - - -

Determine if:

- - assessment-objective - EXAMINE - SI-4(5)[1] -

the organization defines compromise indicators for the information system;

- - - assessment-objective - EXAMINE - SI-4(5)[2] -

the organization defines personnel or roles to be alerted when indications of - compromise or potential compromise occur; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(5)[3] -

the information system alerts organization-defined personnel or roles when - organization-defined compromise indicators occur.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

alerts/notifications generated based on compromise indicators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing alerts for compromise - indicators

- - - - - Wireless Intrusion Detection - - SI-4(14) - si-04.14 - -

The organization employs a wireless intrusion detection system to identify rogue - wireless devices and to detect attack attempts and potential compromises/breaches - to the information system.

- - -

Wireless signals may radiate beyond the confines of organization-controlled - facilities. Organizations proactively search for unauthorized wireless connections - including the conduct of thorough scans for unauthorized wireless access points. - Scans are not limited to those areas within facilities containing information - systems, but also include areas outside of facilities as needed, to verify that - unauthorized wireless access points are not connected to the systems.

- AC-18 - IA-3 - - -

Determine if the organization employs a wireless intrusion detection system - to:

- - assessment-objective - INTERVIEW - TEST - SI-4(14)[1] -

identify rogue wireless devices;

- - - assessment-objective - INTERVIEW - TEST - SI-4(14)[2] -

detect attack attempts to the information system; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(14)[3] -

detect potential compromises/breaches to the information system.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection

-

automated mechanisms supporting and/or implementing wireless intrusion - detection capability

- - - - - Correlate Monitoring Information - SI-4(16) - si-04.16 - -

The organization correlates information from monitoring tools employed throughout - the information system.

- - -

Correlating information from different monitoring tools can provide a more - comprehensive view of information system activity. The correlation of monitoring - tools that usually work in isolation (e.g., host monitoring, network monitoring, - anti-virus software) can provide an organization-wide view and in so doing, may - reveal otherwise unseen attack patterns. Understanding the - capabilities/limitations of diverse monitoring tools and how to maximize the - utility of information generated by those tools can help organizations to build, - operate, and maintain effective monitoring programs.

- AU-6 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization correlates information from monitoring tools - employed throughout the information system.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

event correlation logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing correlation of information - from monitoring tools

- - - - - Host-based Devices - - - - - - - SI-4(23) - si-04.23 - -

The organization implements at .

- - -

Information system components where host-based monitoring can be implemented - include, for example, servers, workstations, and mobile devices. Organizations - consider employing host-based monitoring mechanisms from multiple information - technology product developers.

- - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-4(23)[1] -

defines host-based monitoring mechanisms to be implemented;

- - - assessment-objective - EXAMINE - SI-4(23)[2] -

defines information system components where organization-defined host-based - monitoring is to be implemented; and

- - - assessment-objective - INTERVIEW - TEST - SI-4(23)[3] -

implements organization-defined host-based monitoring mechanisms at - organization-defined information system components.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

host-based monitoring mechanisms

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

list of information system components requiring host-based monitoring

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring information system - hosts

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing host-based monitoring - capability

- - - - - - Security Alerts, Advisories, and Directives - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - - - - - - - - - SI-5 - si-05 - NIST Special Publication 800-40 - -

The organization:

- - a. -

Receives information system security alerts, advisories, and directives from - on an ongoing basis;

- - - b. -

Generates internal security alerts, advisories, and directives as deemed - necessary;

- - - c. -

Disseminates security alerts, advisories, and directives to: ; and

- - - d. -

Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance.

- - - -

The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations.

- SI-2 - - -

Determine if the organization:

- - SI-5(a) - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-5(a)[1] -

defines external organizations from whom information system security alerts, - advisories and directives are to be received;

- - - assessment-objective - INTERVIEW - TEST - SI-5(a)[2] -

receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis;

- - - - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-5(b) -

generates internal security alerts, advisories, and directives as deemed - necessary;

- - - SI-5(c) - - assessment-objective - EXAMINE - SI-5(c)[1] -

defines personnel or roles to whom security alerts, advisories, and directives - are to be provided;

- - - assessment-objective - EXAMINE - SI-5(c)[2] -

defines elements within the organization to whom security alerts, advisories, - and directives are to be provided;

- - - assessment-objective - EXAMINE - SI-5(c)[3] -

defines external organizations to whom security alerts, advisories, and - directives are to be provided;

- - - assessment-objective - INTERVIEW - TEST - SI-5(c)[4] -

disseminates security alerts, advisories, and directives to one or more of the - following:

- - SI-5(c)[4][a] -

organization-defined personnel or roles;

- - - SI-5(c)[4][b] -

organization-defined elements within the organization; and/or

- - - SI-5(c)[4][c] -

organization-defined external organizations; and

- - - - - assessment-objective - INTERVIEW - TEST - SI-5(d) - - SI-5(d)[1] -

implements security directives in accordance with established time frames; - or

- - - SI-5(d)[2] -

notifies the issuing organization of the degree of noncompliance.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

records of security alerts and advisories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing security directives

- - - - - Security Function Verification - - - - - - - to include upon system startup and/or restart - - - - at least monthly - - - - to include system administrators and security personnel - - - - - to include notification of system administrators and security personnel - - - SI-6 - si-06 - -

The information system:

- - a. -

Verifies the correct operation of ;

- - - b. -

Performs this verification ;

- - - c. -

Notifies of failed security verification tests; - and

- - - d. -

- when anomalies are discovered.

- - - -

Transitional states for information systems include, for example, system startup, - restart, shutdown, and abort. Notifications provided by information systems include, - for example, electronic alerts to system administrators, messages to local computer - consoles, and/or hardware indications such as lights.

- CA-7 - CM-6 - - -

Determine if:

- - SI-6(a) - - assessment-objective - EXAMINE - SI-6(a)[1] -

the organization defines security functions to be verified for correct - operation;

- - - assessment-objective - INTERVIEW - TEST - SI-6(a)[2] -

the information system verifies the correct operation of organization-defined - security functions;

- - - - SI-6(b) - - assessment-objective - EXAMINE - SI-6(b)[1] -

the organization defines system transitional states requiring verification of - organization-defined security functions;

- - - assessment-objective - EXAMINE - SI-6(b)[2] -

the organization defines a frequency to verify the correct operation of - organization-defined security functions;

- - - assessment-objective - INTERVIEW - TEST - SI-6(b)[3] -

the information system performs this verification one or more of the - following:

- - SI-6(b)[3][a] -

at organization-defined system transitional states;

- - - SI-6(b)[3][b] -

upon command by user with appropriate privilege; and/or

- - - SI-6(b)[3][c] -

with the organization-defined frequency;

- - - - - SI-6(c) - - assessment-objective - EXAMINE - SI-6(c)[1] -

the organization defines personnel or roles to be notified of failed security - verification tests;

- - - assessment-objective - INTERVIEW - TEST - SI-6(c)[2] -

the information system notifies organization-defined personnel or roles of - failed security verification tests;

- - - - SI-6(d) - - assessment-objective - EXAMINE - SI-6(d)[1] -

the organization defines alternative action(s) to be performed when anomalies - are discovered;

- - - assessment-objective - INTERVIEW - TEST - SI-6(d)[2] -

the information system performs one or more of the following actions when - anomalies are discovered:

- - SI-6(d)[2][a] -

shuts the information system down;

- - - SI-6(d)[2][b] -

restarts the information system; and/or

- - - SI-6(d)[2][c] -

performs organization-defined alternative action(s).

- - - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security function verification

-

information system design documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of failed security verification tests

-

list of system transition states requiring security functionality verification

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security function verification responsibilities

-

organizational personnel implementing, operating, and maintaining the information - system

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Organizational processes for security function verification

-

automated mechanisms supporting and/or implementing security function verification - capability

- - - - - Software, Firmware, and Information Integrity - - - - SI-7 - si-07 - NIST Special Publication 800-147 - NIST Special Publication 800-155 - -

The organization employs integrity verification tools to detect unauthorized changes - to .

- - -

Unauthorized changes to software, firmware, and information can occur due to errors - or malicious activity (e.g., tampering). Software includes, for example, operating - systems (with key internal components such as kernels, drivers), middleware, and - applications. Firmware includes, for example, the Basic Input Output System (BIOS). - Information includes metadata such as security attributes associated with - information. State-of-the-practice integrity-checking mechanisms (e.g., parity - checks, cyclical redundancy checks, cryptographic hashes) and associated tools can - automatically monitor the integrity of information systems and hosted - applications.

- SA-12 - SC-8 - SC-13 - SI-3 - - -

Determine if the organization:

- - SI-7[1] - - assessment-objective - EXAMINE - SI-7[1][a] -

defines software requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - assessment-objective - EXAMINE - SI-7[1][b] -

defines firmware requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - assessment-objective - EXAMINE - SI-7[1][c] -

defines information requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - - SI-7[2] -

employs integrity verification tools to detect unauthorized changes to - organization-defined:

- - SI-7[2][a] -

software;

- - - SI-7[2][b] -

firmware; and

- - - SI-7[2][c] -

information.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records generated/triggered from integrity verification tools regarding - unauthorized software, firmware, and information changes

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Software, firmware, and information integrity verification tools

- - - - Integrity Checks - - - - - - - Selection to include security relevant events - - - - at least monthly - - - SI-7(1) - si-07.01 - -

The information system performs an integrity check of - .

- - -

Security-relevant events include, for example, the identification of a new threat - to which organizational information systems are susceptible, and the installation - of new hardware, software, or firmware. Transitional states include, for example, - system startup, restart, shutdown, and abort.

- - -

Determine if:

- - assessment-objective - EXAMINE - SI-7(1)[1] -

the organization defines:

- - SI-7(1)[1][a] -

software requiring integrity checks to be performed;

- - - SI-7(1)[1][b] -

firmware requiring integrity checks to be performed;

- - - SI-7(1)[1][c] -

information requiring integrity checks to be performed;

- - - - assessment-objective - EXAMINE - SI-7(1)[2] -

the organization defines transitional states or security-relevant events - requiring integrity checks of organization-defined:

- - SI-7(1)[2][a] -

software;

- - - SI-7(1)[2][b] -

firmware;

- - - SI-7(1)[2][c] -

information;

- - - - assessment-objective - EXAMINE - SI-7(1)[3] -

the organization defines a frequency with which to perform an integrity check - of organization-defined:

- - SI-7(1)[3][a] -

software;

- - - SI-7(1)[3][b] -

firmware;

- - - SI-7(1)[3][c] -

information;

- - - - assessment-objective - INTERVIEW - TEST - SI-7(1)[4] -

the information system performs an integrity check of organization-defined - software, firmware, and information one or more of the following:

- - SI-7(1)[4][a] -

at startup;

- - - SI-7(1)[4][b] -

at organization-defined transitional states or security-relevant events; - and/or

- - - SI-7(1)[4][c] -

with the organization-defined frequency.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

- - - - - Integration of Detection and Response - - - - SI-7(7) - si-07.07 - -

The organization incorporates the detection of unauthorized into the organizational incident response - capability.

- - -

This control enhancement helps to ensure that detected events are tracked, - monitored, corrected, and available for historical purposes. Maintaining - historical records is important both for being able to identify and discern - adversary actions over an extended period of time and for possible legal actions. - Security-relevant changes include, for example, unauthorized changes to - established configuration settings or unauthorized elevation of information system - privileges.

- IR-4 - IR-5 - SI-4 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-7(7)[1] -

defines unauthorized security-relevant changes to the information system; - and

- - - assessment-objective - INTERVIEW - TEST - SI-7(7)[2] -

incorporates the detection of unauthorized organization-defined - security-relevant changes to the information system into the organizational - incident response capability.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

procedures addressing incident response

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response records

-

information audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

- - - - TEST - -

Organizational processes for incorporating detection of unauthorized - security-relevant changes into the incident response capability

-

software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing incorporation of detection - of unauthorized security-relevant changes into the incident response - capability

- - - - - - Spam Protection - SI-8 - si-08 - NIST Special Publication 800-45 - -

The organization:

- - a. -

Employs spam protection mechanisms at information system entry and exit points to - detect and take action on unsolicited messages; and

- - - b. -

Updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, mobile - devices, and notebook/laptop computers. Spam can be transported by different means - including, for example, electronic mail, electronic mail attachments, and web - accesses. Spam protection mechanisms include, for example, signature definitions.

- AT-2 - AT-3 - SC-5 - SC-7 - SI-3 - - -

Determine if the organization:

- - assessment-objective - EXAMINE - SI-8(a) -

employs spam protection mechanisms:

- - SI-8(a)[1] -

at information system entry points to detect unsolicited messages;

- - - SI-8(a)[2] -

at information system entry points to take action on unsolicited messages;

- - - SI-8(a)[3] -

at information system exit points to detect unsolicited messages;

- - - SI-8(a)[4] -

at information system exit points to take action on unsolicited messages; - and

- - - - assessment-objective - INTERVIEW - TEST - SI-8(b) -

updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures.

- - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures (CM-1)

-

procedures addressing spam protection

-

spam protection mechanisms

-

records of spam protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for implementing spam protection

-

automated mechanisms supporting and/or implementing spam protection

- - - - Central Management - - SI-8(1) - si-08.01 - -

The organization centrally manages spam protection mechanisms.

- - -

Central management is the organization-wide management and implementation of spam - protection mechanisms. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - spam protection security controls.

- AU-3 - SI-2 - SI-7 - - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the organization centrally manages spam protection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for central management of spam protection

-

automated mechanisms supporting and/or implementing central management of spam - protection

- - - - - Automatic Updates - - SI-8(2) - si-08.02 - -

The information system automatically updates spam protection mechanisms.

- - - assessment-objective - EXAMINE - INTERVIEW - TEST -

Determine if the information system automatically updates spam protection - mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

records of spam protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for spam protection

-

automated mechanisms supporting and/or implementing automatic updates to spam - protection mechanisms

- - - - - - Information Input Validation - - - - SI-10 - si-10 - -

The information system checks the validity of .

- - -

Checking the valid syntax and semantics of information system inputs (e.g., character - set, length, numerical range, and acceptable values) verifies that inputs match - specified definitions for format and content. Software applications typically follow - well-defined protocols that use structured messages (i.e., commands or queries) to - communicate between software modules or system components. Structured messages can - contain raw or unstructured data interspersed with metadata or control information. - If software applications use attacker-supplied inputs to construct structured - messages without properly encoding such messages, then the attacker could insert - malicious commands or special characters that can cause the data to be interpreted as - control information or metadata. Consequently, the module or component that receives - the tainted output will perform the wrong operations or otherwise interpret the data - incorrectly. Prescreening inputs prior to passing to interpreters prevents the - content from being unintentionally interpreted as commands. Input validation helps to - ensure accurate and correct inputs and prevent attacks such as cross-site scripting - and a variety of injection attacks.

- - -

Determine if:

- - assessment-objective - EXAMINE - SI-10[1] -

the organization defines information inputs requiring validity checks; and

- - - assessment-objective - INTERVIEW - TEST - SI-10[2] -

the information system checks the validity of organization-defined information - inputs.

- - - - EXAMINE - -

System and information integrity policy

-

access control policy and procedures

-

separation of duties policy and procedures

-

procedures addressing information input validation

-

documentation for automated tools and applications to verify validity of - information

-

list of information inputs requiring validity checks

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing validity checks on information - inputs

- - - - - Error Handling - - - - SI-11 - si-11 - -

The information system:

- - a. -

Generates error messages that provide information necessary for corrective actions - without revealing information that could be exploited by adversaries; and

- - - b. -

Reveals error messages only to .

- - - -

Organizations carefully consider the structure/content of error messages. The extent - to which information systems are able to identify and handle error conditions is - guided by organizational policy and operational requirements. Information that could - be exploited by adversaries includes, for example, erroneous logon attempts with - passwords entered by mistake as the username, mission/business information that can - be derived from (if not stated explicitly by) information recorded, and personal - information such as account numbers, social security numbers, and credit card - numbers. In addition, error messages may provide a covert channel for transmitting - information.

- AU-2 - AU-3 - SC-31 - - -

Determine if:

- - assessment-objective - INTERVIEW - TEST - SI-11(a) -

the information system generates error messages that provide information necessary - for corrective actions without revealing information that could be exploited by - adversaries;

- - - SI-11(b) - - assessment-objective - EXAMINE - SI-11(b)[1] -

the organization defines personnel or roles to whom error messages are to be - revealed; and

- - - assessment-objective - INTERVIEW - TEST - SI-11(b)[2] -

the information system reveals error messages only to organization-defined - personnel or roles.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system error handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation providing structure/content of error messages

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for error handling

-

automated mechanisms supporting and/or implementing error handling

-

automated mechanisms supporting and/or implementing management of error - messages

- - - - - Information Handling and Retention - SI-12 - si-12 - -

The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements.

- - -

Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention.

- AC-16 - AU-5 - AU-11 - MP-2 - MP-4 - - -

Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements:

- - assessment-objective - EXAMINE - INTERVIEW - TEST - SI-12[1] -

handles information within the information system;

- - - SI-12[2] -

handles output from the information system;

- - - SI-12[3] -

retains information within the information system; and

- - - SI-12[4] -

retains output from the information system.

- - - - EXAMINE - -

System and information integrity policy

-

federal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention

-

media protection policy and procedures

-

procedures addressing information system output handling and retention

-

information retention records, other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information handling and - retention

-

organizational personnel with information security responsibilities/network - administrators

- - - - TEST - -

Organizational processes for information handling and retention

-

automated mechanisms supporting and/or implementing information handling and - retention

- - - - - Memory Protection - - - - SI-16 - si-16 - -

The information system implements to protect its - memory from unauthorized code execution.

- - -

Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism.

- AC-25 - SC-3 - - -

Determine if:

- - assessment-objective - EXAMINE - SI-16[1] -

the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and

- - - assessment-objective - INTERVIEW - TEST - SI-16[2] -

the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing memory protection for the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security safeguards protecting information system memory from unauthorized - code execution

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for memory protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution

- - - - - - - 5 C.F.R. 731.106 - - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - - - - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - - - CNSS Policy 15 - - CNSS Policy 15 - - - - - DoD Information Assurance Vulnerability Alerts - - DoD Information Assurance Vulnerability Alerts - - - - DoD Instruction 5200.39 - - DoD Instruction 5200.39 - - - - - DoD Instruction 8551.01 - - DoD Instruction 8551.01 - - - - - DoD Instruction 8552.01 - - DoD Instruction 8552.01 - - - - - Executive Order 13587 - - Executive Order 13587 - - - - - Federal Acquisition Regulation - - Federal Acquisition Regulation - - - - - Federal Continuity Directive 1 - - Federal Continuity Directive 1 - - - - - FICAM Roadmap and Implementation Guidance - - FICAM Roadmap and Implementation Guidance - - - - - FIPS Publication 140 - - FIPS Publication 140 - - - - - FIPS Publication 140-2 - - FIPS Publication 140-2 - - - - - FIPS Publication 197 - - FIPS Publication 197 - - - - - FIPS Publication 199 - - FIPS Publication 199 - - - - - FIPS Publication 201 - - FIPS Publication 201 - - - - - HSPD-12 - - HSPD-12 - - - - - http://capec.mitre.org - - http://capec.mitre.org - - - - - http://checklists.nist.gov - - http://checklists.nist.gov - - - - - http://csrc.nist.gov/cryptval - - http://csrc.nist.gov/cryptval - - - - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - - - - http://cve.mitre.org - - http://cve.mitre.org - - - - - http://cwe.mitre.org - - http://cwe.mitre.org - - - - - http://fips201ep.cio.gov - - http://fips201ep.cio.gov - - - - - http://idmanagement.gov - - http://idmanagement.gov - - - - - http://nvd.nist.gov - - http://nvd.nist.gov - - - - - http://www.acquisition.gov/far - - http://www.acquisition.gov/far - - - - - http://www.cnss.gov - - http://www.cnss.gov - - - - - http://www.dhs.gov/telecommunications-service-priority-tsp - - http://www.dhs.gov/telecommunications-service-priority-tsp - - - - - http://www.niap-ccevs.org - - http://www.niap-ccevs.org - - - - - http://www.nsa.gov - - http://www.nsa.gov - - - - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - - - - http://www.us-cert.gov - - http://www.us-cert.gov - - - - - ICD 704 - - ICD 704 - - - - - ICD 705 - - ICD 705 - - - - - ISO/IEC 15408 - - ISO/IEC 15408 - - - - - National Communications Systems Directive 3-10 - - National Communications Systems Directive 3-10 - - - - National Strategy for Trusted Identities in Cyberspace - - National Strategy for Trusted Identities in Cyberspace - - - - - NIST Special Publication 800-100 - 10.6028/NIST.SP.800-100 - - NIST Special Publication 800-100 - - - - - NIST Special Publication 800-111 - 10.6028/NIST.SP.800-111 - - NIST Special Publication 800-111 - - - - - NIST Special Publication 800-113 - 10.6028/NIST.SP.800-113 - - NIST Special Publication 800-113 - - - - - NIST Special Publication 800-114 Rev. 1 - 10.6028/NIST.SP.800-114r1 - - NIST Special Publication 800-114 Rev. 1 - - - - - NIST Special Publication 800-115 - 10.6028/NIST.SP.800-115 - - NIST Special Publication 800-115 - - - - - NIST Special Publication 800-116 Rev. 1 - 10.6028/NIST.SP.800-116r1 - - NIST Special Publication 800-116 Rev. 1 - - - - - NIST Special Publication 800-12 Rev. 1 - 10.6028/NIST.SP.800-12r1 - - NIST Special Publication 800-12 Rev. 1 - - - - - NIST Special Publication 800-121 - - NIST Special Publication 800-121 - - - - - NIST Special Publication 800-124 - - NIST Special Publication 800-124 - - - - - NIST Special Publication 800-128 - - NIST Special Publication 800-128 - - - - - NIST Special Publication 800-137 - - NIST Special Publication 800-137 - - - - - NIST Special Publication 800-147 - - NIST Special Publication 800-147 - - - - - NIST Special Publication 800-155 - - NIST Special Publication 800-155 - - - - - NIST Special Publication 800-16 - - NIST Special Publication 800-16 - - - - - NIST Special Publication 800-164 - - NIST Special Publication 800-164 - - - - - NIST Special Publication 800-18 - - NIST Special Publication 800-18 - - - - - NIST Special Publication 800-23 - - NIST Special Publication 800-23 - - - - - NIST Special Publication 800-27 - - NIST Special Publication 800-27 - - - - - NIST Special Publication 800-28 - - NIST Special Publication 800-28 - - - - - NIST Special Publication 800-30 - - NIST Special Publication 800-30 - - - - - NIST Special Publication 800-32 - - NIST Special Publication 800-32 - - - - - NIST Special Publication 800-34 - - NIST Special Publication 800-34 - - - - - NIST Special Publication 800-35 - - NIST Special Publication 800-35 - - - - - NIST Special Publication 800-36 - - NIST Special Publication 800-36 - - - - - NIST Special Publication 800-37 - - NIST Special Publication 800-37 - - - - - NIST Special Publication 800-39 - - NIST Special Publication 800-39 - - - - - NIST Special Publication 800-40 - - NIST Special Publication 800-40 - - - - - NIST Special Publication 800-41 - - NIST Special Publication 800-41 - - - - - NIST Special Publication 800-45 - - NIST Special Publication 800-45 - - - - - NIST Special Publication 800-46 - - NIST Special Publication 800-46 - - - - - NIST Special Publication 800-47 - - NIST Special Publication 800-47 - - - - - NIST Special Publication 800-48 - - NIST Special Publication 800-48 - - - - - NIST Special Publication 800-50 - - NIST Special Publication 800-50 - - - - - NIST Special Publication 800-52 - - NIST Special Publication 800-52 - - - - - NIST Special Publication 800-53A - - NIST Special Publication 800-53A - - - - - NIST Special Publication 800-56 - - NIST Special Publication 800-56 - - - - - NIST Special Publication 800-57 - - NIST Special Publication 800-57 - - - - - NIST Special Publication 800-58 - - NIST Special Publication 800-58 - - - - - NIST Special Publication 800-60 - - NIST Special Publication 800-60 - - - - - NIST Special Publication 800-61 - - NIST Special Publication 800-61 - - - - - NIST Special Publication 800-63 - - NIST Special Publication 800-63 - - - - - NIST Special Publication 800-64 - - NIST Special Publication 800-64 - - - - - NIST Special Publication 800-65 - - NIST Special Publication 800-65 - - - - - NIST Special Publication 800-70 - - NIST Special Publication 800-70 - - - - - NIST Special Publication 800-73 - - NIST Special Publication 800-73 - - - - - NIST Special Publication 800-76 - - NIST Special Publication 800-76 - - - - - NIST Special Publication 800-77 - - NIST Special Publication 800-77 - - - - - NIST Special Publication 800-78 - - NIST Special Publication 800-78 - - - - - NIST Special Publication 800-81 - - NIST Special Publication 800-81 - - - - - NIST Special Publication 800-83 - - NIST Special Publication 800-83 - - - - - NIST Special Publication 800-84 - - NIST Special Publication 800-84 - - - - - NIST Special Publication 800-88 - - NIST Special Publication 800-88 - - - - - NIST Special Publication 800-92 - - NIST Special Publication 800-92 - - - - - NIST Special Publication 800-94 - - NIST Special Publication 800-94 - - - - - NIST Special Publication 800-95 - - NIST Special Publication 800-95 - - - - - NIST Special Publication 800-97 - - NIST Special Publication 800-97 - - - - - NSTISSI No. 7003 - - NSTISSI No. 7003 - - - - - OMB Circular A-130 - - OMB Circular A-130 - - - - - OMB Memorandum 02-01 - - OMB Memorandum 02-01 - - - - - OMB Memorandum 04-04 - - OMB Memorandum 04-04 - - - - - OMB Memorandum 05-24 - - OMB Memorandum 05-24 - - - - - OMB Memorandum 06-16 - - OMB Memorandum 06-16 - - - - - OMB Memorandum 07-11 - - OMB Memorandum 07-11 - - - - - OMB Memorandum 07-18 - - OMB Memorandum 07-18 - - - - - OMB Memorandum 08-22 - - OMB Memorandum 08-22 - - - - - OMB Memorandum 08-23 - - OMB Memorandum 08-23 - - - - - OMB Memorandum 10-06-2011 - - OMB Memorandum 10-06-2011 - - - - OMB Memorandum 11-11 - - OMB Memorandum 11-11 - - - - - OMB Memorandum 11-33 - - OMB Memorandum 11-33 - - - - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - - - US-CERT Technical Cyber Security Alerts - - US-CERT Technical Cyber Security Alerts - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline_profile.xml b/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline_profile.xml deleted file mode 100644 index 774b5bb6c8..0000000000 --- a/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline_profile.xml +++ /dev/null @@ -1,8143 +0,0 @@ - - - - - FedRAMP Moderate Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - at least every 3 years - - - at least annually - - - at least annually - - - no more than 30 days for temporary and emergency account types - - - 90 days for user accounts - - - all security functions - - - not more than three (3) - - - fifteen (15) minutes - - - locks the account/node for thirty minutes - - - see additional Requirements and Guidance - - - see additional Requirements and Guidance] - - - three (3) sessions for privileged access and two (2) sessions for non-privileged access - - - fifteen (15) minutes - - - fifteen 15 minutes - - - at least quarterly - - - at least every 3 years - - - at least annually - - - at least annually - - - at least annually - - - At least one year - - - at least every 3 years - - - at least annually - - - successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - - - annually or whenever there is a change in the threat environment - - - session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon - - - organization-defined actions to be taken (overwrite oldest record) - - - at least weekly - - - At least hourly - - - http://tf.nist.gov/tf-cgi/servers.cgi - - - at least weekly - - - at least ninety days - - - all information system and network components where audit capability is deployed/available - - - at least every 3 years - - - at least annually - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - at least annually - - - any FedRAMP Accredited 3PAO - - - any FedRAMP Accredited 3PAO - - - the conditions of the JAB/AO in the FedRAMP Repository - - - at least annually and on input from FedRAMP - - - Boundary Protections which meet the Trusted Internet Connection (TIC) requirements - - - at least monthly - - - at least every three (3) years or when a significant change occurs - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - at least annually - - - at least every 3 years - - - at least annually - - - at least annually or when a significant change occurs - - - to include when directed by the JAB - - - at least quarterly - - - -

See CM-6(a) Additional FedRAMP Requirements and Guidance

- - - - United States Government Configuration Baseline (USGCB) - - - at least monthly - - - at least Annually or when there is a change - - - at least monthly - - - Continuously, using automated mechanisms with a maximum five-minute delay in detection - - - Continuously (via CM-7 (5)) - - - at least every 3 years - - - at least annually - - - at least annually - - - ten (10) days - - - at least annually - - - at least annually - - - functional exercises - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - at least annually - - - at least every 3 years - - - at least annually - - - FIPS 140-2, NIAP Certification, or NSA approval - - - IA-4 (d) [at least two years] - - - ninety days for user identifiers (See additional requirements and guidance) - - - contractors; foreign nationals - - - at least one - - - twenty four (24) - - - All hardware/biometric (multifactor authenticators) - - - in person - - - at least every 3 years - - - at least annually - - - at least annually - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - at least every 3 years - - - at least annually - - - the information owner explicitly authorizing removal of the equipment from the facility - - - at least every 3 years - - - at least annually - - - no removable media types - - - all types of digital and non-digital media with sensitive information - - - see additional FedRAMP requirements and guidance - - - all media with sensitive information - - - prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container - - - at least annually - - - at least every 3 years - - - at least annually - - - at least annually - - - CSP defined physical access control systems/devices AND guards - - - CSP defined physical access control systems/devices - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - at least monthly - - - for a minimum of one (1) year - - - at least monthly - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - all information system components - - - at least every 3 years - - - at least annually - - - at least annually - - - At least every 3 years - - - At least annually or when a significant change occurs - - - at least every 3 years - - - at least annually - - - at least every three years - - - for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - - - personnel screening criteria - as required by specific information - - - same day - - - five days of the time period following the formal transfer action (DoD 24 hours) - - - at least annually - - - at least annually - - - organization-defined time period - same day - - - at least every 3 years - - - at least annually - - - security assessment report - - - at least every three (3) years or when a significant change occurs - - - at least every three (3) years or when a significant change occurs - - - monthly operating system/infrastructure; monthly web applications and databases - - - high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - prior to a new scan - - - operating systems / web applications / databases - - - all scans - - - at least every 3 years - - - at least annually - - - to include security-relevant external system interfaces and high-level design - - - at least the minimum requirement as defined in control CA-7 - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - information processing, information data, AND information services - - - development, implementation, AND operation - - - at least every 3 years - - - at least annually - - - at least annually - - - confidentiality AND integrity - - - prevent unauthorized disclosure of information AND detect changes to information - - - a hardened or alarmed carrier Protective Distribution System (PDS) - - - no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions - - - NIST FIPS-compliant - - - FIPS-validated or NSA-approved cryptography - - - no exceptions - - - confidentiality AND integrity - - - at least every 3 years - - - at least annually - - - within 30 days of release of updates - - - at least monthly - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - continuously - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - to include upon system startup and/or restart - - - at least monthly - - - to include system administrators and security personnel - - - to include notification of system administrators and security personnel - - - Selection to include security relevant events - - - at least monthly - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (10) Additional FedRAMP Requirements and Guidance - - Requirement: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AC-2 (12) Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Required for privileged accounts.

- - - (b) Guidance: -

Required for privileged accounts.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

Should use a shorter timeframe than AC-12.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (9) Additional FedRAMP Requirements and Guidance - - Requirement: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AC-6 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - AU-2 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AU-3 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines audit record types [FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]. The audit record types are approved and accepted by the JAB/AO.

- - - Guidance: -

For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-8 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.

- - - Requirement: -

The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.

- - - Guidance: -

Synchronization of system clocks improves the accuracy of log analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-2 (2) Additional FedRAMP Requirements and Guidance - - Requirement: -

To include 'announced', 'vulnerability scanning'

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-3 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document.

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-3 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-8 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance https://www.FedRAMP.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-3 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - (e) Guidance: -

In accordance with record retention policies and procedures.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-5 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. Partially derived from AC-17(8).

- - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-7 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-7 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-2 (11) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link https://pages.nist.gov/800-63-3.

- - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - - (a) (d) Guidance: -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - - IA-5 (4) Additional FedRAMP Requirements and Guidance - - Guidance: -

If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-3 Additional FedRAMP Requirements and Guidance - - IR-3 -2 Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - MA-5 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - MP-3 Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Second parameter not-applicable

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-4 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines controlled areas within facilities where the information and information system reside.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-5 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-6 (2) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

Equipment and procedures may be tested or validated for effectiveness

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - PL-8(b) Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5 (6) Additional FedRAMP Requirements and Guidance - - Guidance: -

Include in Continuous Monitoring ISSO digest/report to JAB/AO

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - RA-5 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

This enhancement is required for all high vulnerability scan findings.

- - - Guidance: -

While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - SA-10 Additional FedRAMP Requirements and Guidance - - (e) Requirement: -

For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-11 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SA-11 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 (8) Additional FedRAMP Requirements and Guidance - - Guidance: -

CSP must use the same security standards regardless of where the system component or information system service is acquired.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SC-28 Additional FedRAMP Requirements and Guidance - - Guidance: -

The organization supports the capability to use cryptographic mechanisms to protect information at rest.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-7 (13) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SI-4 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

In accordance with the incident response plan.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/content/fedramp.gov/yaml/FedRAMP_HIGH-baseline-resolved-profile_catalog.yaml b/content/fedramp.gov/yaml/FedRAMP_HIGH-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index 1ff54b3118..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_HIGH-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,86776 +0,0 @@ -catalog: - uuid: a8ace2a3-4082-40eb-be07-0b0cd7bb4c15 - metadata: - title: FedRAMP High Baseline - published: 2020-06-01T00:00:00.000-04:00 - last-modified: 2020-06-01T10:00:00.000-04:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - properties: - - - name: resolution-timestamp - value: 2020-08-31T17:38:24.694738Z - links: - - - href: FedRAMP_HIGH-baseline_profile.xml - rel: resolution-source - text: FedRAMP High Baseline - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - groups: - - - id: ac - class: family - title: Access Control - controls: - - - id: ac-1 - class: SP800-53 - title: Access Control Policy and Procedures - parameters: - - - id: ac-1_prm_1 - label: organization-defined personnel or roles - - - id: ac-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ac-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-1 - - - name: sort-id - value: ac-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ac-1_smt - name: statement - prose: The organization: - parts: - - - id: ac-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ac-1_prm_1 }}: - parts: - - - id: ac-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ac-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the access control policy and - associated access controls; and - """ - - - id: ac-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ac-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Access control policy {{ ac-1_prm_2 }}; and - - - id: ac-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Access control procedures {{ ac-1_prm_3 }}. - - - id: ac-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ac-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-1.a_obj - name: objective - properties: - - - name: label - value: AC-1(a) - parts: - - - id: ac-1.a.1_obj - name: objective - properties: - - - name: label - value: AC-1(a)(1) - parts: - - - id: ac-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(1)[1] - prose: develops and documents an access control policy that addresses: - parts: - - - id: ac-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][a] - prose: purpose; - - - id: ac-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][b] - prose: scope; - - - id: ac-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][c] - prose: roles; - - - id: ac-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][d] - prose: responsibilities; - - - id: ac-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][e] - prose: management commitment; - - - id: ac-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ac-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][g] - prose: compliance; - - - id: ac-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the access control policy are to be - disseminated; - """ - - - id: ac-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-1(a)(1)[3] - prose: - """ - disseminates the access control policy to organization-defined personnel or - roles; - """ - - - id: ac-1.a.2_obj - name: objective - properties: - - - name: label - value: AC-1(a)(2) - parts: - - - id: ac-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls; - """ - - - id: ac-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ac-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ac-1.b_obj - name: objective - properties: - - - name: label - value: AC-1(b) - parts: - - - id: ac-1.b.1_obj - name: objective - properties: - - - name: label - value: AC-1(b)(1) - parts: - - - id: ac-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current access control - policy; - """ - - - id: ac-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(1)[2] - prose: - """ - reviews and updates the current access control policy with the - organization-defined frequency; - """ - - - id: ac-1.b.2_obj - name: objective - properties: - - - name: label - value: AC-1(b)(2) - parts: - - - id: ac-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current access control - procedures; and - """ - - - id: ac-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(2)[2] - prose: - """ - reviews and updates the current access control procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ac-2 - class: SP800-53 - title: Account Management - parameters: - - - id: ac-2_prm_1 - label: organization-defined information system account types - - - id: ac-2_prm_2 - label: organization-defined personnel or roles - - - id: ac-2_prm_3 - label: organization-defined procedures or conditions - - - id: ac-2_prm_4 - label: organization-defined frequency - constraints: - - - detail: monthly for privileged accessed, every six (6) months for non-privileged access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2 - - - name: sort-id - value: ac-02 - parts: - - - id: ac-2_smt - name: statement - prose: The organization: - parts: - - - id: ac-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies and selects the following types of information system accounts to - support organizational missions/business functions: {{ ac-2_prm_1 }}; - """ - - - id: ac-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Assigns account managers for information system accounts; - - - id: ac-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Establishes conditions for group and role membership; - - - id: ac-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account; - """ - - - id: ac-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Requires approvals by {{ ac-2_prm_2 }} for requests to create - information system accounts; - """ - - - id: ac-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Creates, enables, modifies, disables, and removes information system accounts in - accordance with {{ ac-2_prm_3 }}; - """ - - - id: ac-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Monitors the use of information system accounts; - - - id: ac-2_smt.h - name: item - properties: - - - name: label - value: h. - prose: Notifies account managers: - parts: - - - id: ac-2_smt.h.1 - name: item - properties: - - - name: label - value: 1. - prose: When accounts are no longer required; - - - id: ac-2_smt.h.2 - name: item - properties: - - - name: label - value: 2. - prose: When users are terminated or transferred; and - - - id: ac-2_smt.h.3 - name: item - properties: - - - name: label - value: 3. - prose: When individual information system usage or need-to-know changes; - - - id: ac-2_smt.i - name: item - properties: - - - name: label - value: i. - prose: Authorizes access to the information system based on: - parts: - - - id: ac-2_smt.i.1 - name: item - properties: - - - name: label - value: 1. - prose: A valid access authorization; - - - id: ac-2_smt.i.2 - name: item - properties: - - - name: label - value: 2. - prose: Intended system usage; and - - - id: ac-2_smt.i.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2_smt.j - name: item - properties: - - - name: label - value: j. - prose: Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and - - - id: ac-2_smt.k - name: item - properties: - - - name: label - value: k. - prose: - """ - Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - id: ac-2_gdn - name: guidance - prose: - """ - Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-10 - rel: related - text: AC-10 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.a_obj - name: objective - properties: - - - name: label - value: AC-2(a) - parts: - - - id: ac-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(a)[1] - prose: - """ - defines information system account types to be identified and selected to - support organizational missions/business functions; - """ - - - id: ac-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-2(a)[2] - prose: - """ - identifies and selects organization-defined information system account types to - support organizational missions/business functions; - """ - - - id: ac-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-2(b) - prose: assigns account managers for information system accounts; - - - id: ac-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(c) - prose: establishes conditions for group and role membership; - - - id: ac-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(d) - prose: specifies for each account (as required): - parts: - - - id: ac-2.d_obj.1 - name: objective - properties: - - - name: label - value: AC-2(d)[1] - prose: authorized users of the information system; - - - id: ac-2.d_obj.2 - name: objective - properties: - - - name: label - value: AC-2(d)[2] - prose: group and role membership; - - - id: ac-2.d_obj.3 - name: objective - properties: - - - name: label - value: AC-2(d)[3] - prose: access authorizations (i.e., privileges); - - - id: ac-2.d_obj.4 - name: objective - properties: - - - name: label - value: AC-2(d)[4] - prose: other attributes; - - - id: ac-2.e_obj - name: objective - properties: - - - name: label - value: AC-2(e) - parts: - - - id: ac-2.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(e)[1] - prose: - """ - defines personnel or roles required to approve requests to create information - system accounts; - """ - - - id: ac-2.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(e)[2] - prose: - """ - requires approvals by organization-defined personnel or roles for requests to - create information system accounts; - """ - - - id: ac-2.f_obj - name: objective - properties: - - - name: label - value: AC-2(f) - parts: - - - id: ac-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(f)[1] - prose: defines procedures or conditions to: - parts: - - - id: ac-2.f_obj.1.a - name: objective - properties: - - - name: label - value: AC-2(f)[1][a] - prose: create information system accounts; - - - id: ac-2.f_obj.1.b - name: objective - properties: - - - name: label - value: AC-2(f)[1][b] - prose: enable information system accounts; - - - id: ac-2.f_obj.1.c - name: objective - properties: - - - name: label - value: AC-2(f)[1][c] - prose: modify information system accounts; - - - id: ac-2.f_obj.1.d - name: objective - properties: - - - name: label - value: AC-2(f)[1][d] - prose: disable information system accounts; - - - id: ac-2.f_obj.1.e - name: objective - properties: - - - name: label - value: AC-2(f)[1][e] - prose: remove information system accounts; - - - id: ac-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(f)[2] - prose: in accordance with organization-defined procedures or conditions: - parts: - - - id: ac-2.f_obj.2.a - name: objective - properties: - - - name: label - value: AC-2(f)[2][a] - prose: creates information system accounts; - - - id: ac-2.f_obj.2.b - name: objective - properties: - - - name: label - value: AC-2(f)[2][b] - prose: enables information system accounts; - - - id: ac-2.f_obj.2.c - name: objective - properties: - - - name: label - value: AC-2(f)[2][c] - prose: modifies information system accounts; - - - id: ac-2.f_obj.2.d - name: objective - properties: - - - name: label - value: AC-2(f)[2][d] - prose: disables information system accounts; - - - id: ac-2.f_obj.2.e - name: objective - properties: - - - name: label - value: AC-2(f)[2][e] - prose: removes information system accounts; - - - id: ac-2.g_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(g) - prose: monitors the use of information system accounts; - - - id: ac-2.h_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(h) - prose: notifies account managers: - parts: - - - id: ac-2.h.1_obj - name: objective - properties: - - - name: label - value: AC-2(h)(1) - prose: when accounts are no longer required; - - - id: ac-2.h.2_obj - name: objective - properties: - - - name: label - value: AC-2(h)(2) - prose: when users are terminated or transferred; - - - id: ac-2.h.3_obj - name: objective - properties: - - - name: label - value: AC-2(h)(3) - prose: when individual information system usage or need to know changes; - - - id: ac-2.i_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(i) - prose: authorizes access to the information system based on; - parts: - - - id: ac-2.i.1_obj - name: objective - properties: - - - name: label - value: AC-2(i)(1) - prose: a valid access authorization; - - - id: ac-2.i.2_obj - name: objective - properties: - - - name: label - value: AC-2(i)(2) - prose: intended system usage; - - - id: ac-2.i.3_obj - name: objective - properties: - - - name: label - value: AC-2(i)(3) - prose: - """ - other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2.j_obj - name: objective - properties: - - - name: label - value: AC-2(j) - parts: - - - id: ac-2.j_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(j)[1] - prose: - """ - defines the frequency to review accounts for compliance with account management - requirements; - """ - - - id: ac-2.j_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(j)[2] - prose: - """ - reviews accounts for compliance with account management requirements with the - organization-defined frequency; and - """ - - - id: ac-2.k_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(k) - prose: - """ - establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of active system accounts along with the name of the individual associated - with each account\n\nlist of conditions for group and role membership\n\nnotifications or records of recently transferred, separated, or terminated - employees\n\nlist of recently disabled information system accounts along with the name of the - individual associated with each account\n\naccess authorization records\n\naccount management compliance reviews\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes account management on the information system\n\nautomated mechanisms for implementing account management - controls: - - - id: ac-2.1 - class: SP800-53-enhancement - title: Automated System Account Management - properties: - - - name: label - value: AC-2(1) - - - name: sort-id - value: ac-02.01 - parts: - - - id: ac-2.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to support the management of - information system accounts. - """ - - - id: ac-2.1_gdn - name: guidance - prose: - """ - The use of automated mechanisms can include, for example: using email or text - messaging to automatically notify account managers when users are terminated or - transferred; using the information system to monitor account usage; and using - telephonic notification to report atypical system account usage. - """ - - - id: ac-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to support the - management of information system accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.2 - class: SP800-53-enhancement - title: Removal of Temporary / Emergency Accounts - parameters: - - - id: ac-2.2_prm_1 - constraints: - - - detail: Selection: disables - - - id: ac-2.2_prm_2 - label: organization-defined time period for each type of account - constraints: - - - detail: 24 hours from last use - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(2) - - - name: sort-id - value: ac-02.02 - parts: - - - id: ac-2.2_smt - name: statement - prose: - """ - The information system automatically {{ ac-2.2_prm_1 }} temporary - and emergency accounts after {{ ac-2.2_prm_2 }}. - """ - - - id: ac-2.2_gdn - name: guidance - prose: - """ - This control enhancement requires the removal of both temporary and emergency - accounts automatically after a predefined period of time has elapsed, rather than - at the convenience of the systems administrator. - """ - - - id: ac-2.2_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(2)[1] - prose: - """ - the organization defines the time period after which the information system - automatically removes or disables temporary and emergency accounts; and - """ - - - id: ac-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(2)[2] - prose: - """ - the information system automatically removes or disables temporary and - emergency accounts after the organization-defined time period for each type of - account. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system-generated list of temporary accounts removed and/or - disabled\n\ninformation system-generated list of emergency accounts removed and/or - disabled\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.3 - class: SP800-53-enhancement - title: Disable Inactive Accounts - parameters: - - - id: ac-2.3_prm_1 - label: organization-defined time period - constraints: - - - detail: 35 days for user accounts - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(3) - - - name: sort-id - value: ac-02.03 - parts: - - - id: ac-2.3_smt - name: statement - prose: The information system automatically disables inactive accounts after {{ ac-2.3_prm_1 }}. - parts: - - - id: ac-2.3_fr - name: item - title: AC-2 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.3_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available. - - - id: ac-2.3_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(3)[1] - prose: - """ - the organization defines the time period after which the information system - automatically disables inactive accounts; and - """ - - - id: ac-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(3)[2] - prose: - """ - the information system automatically disables inactive accounts after the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system-generated list of temporary accounts removed and/or - disabled\n\ninformation system-generated list of emergency accounts removed and/or - disabled\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.4 - class: SP800-53-enhancement - title: Automated Audit Actions - parameters: - - - id: ac-2.4_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: organization and/or service provider system owner - properties: - - - name: label - value: AC-2(4) - - - name: sort-id - value: ac-02.04 - parts: - - - id: ac-2.4_smt - name: statement - prose: - """ - The information system automatically audits account creation, modification, - enabling, disabling, and removal actions, and notifies {{ ac-2.4_prm_1 }}. - """ - - - id: ac-2.4_gdn - name: guidance - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: ac-2.4_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(4)[1] - prose: the information system automatically audits the following account actions: - parts: - - - id: ac-2.4_obj.1.a - name: objective - properties: - - - name: label - value: AC-2(4)[1][a] - prose: creation; - - - id: ac-2.4_obj.1.b - name: objective - properties: - - - name: label - value: AC-2(4)[1][b] - prose: modification; - - - id: ac-2.4_obj.1.c - name: objective - properties: - - - name: label - value: AC-2(4)[1][c] - prose: enabling; - - - id: ac-2.4_obj.1.d - name: objective - properties: - - - name: label - value: AC-2(4)[1][d] - prose: disabling; - - - id: ac-2.4_obj.1.e - name: objective - properties: - - - name: label - value: AC-2(4)[1][e] - prose: removal; - - - id: ac-2.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(4)[2] - prose: - """ - the organization defines personnel or roles to be notified of the following - account actions: - """ - parts: - - - id: ac-2.4_obj.2.a - name: objective - properties: - - - name: label - value: AC-2(4)[2][a] - prose: creation; - - - id: ac-2.4_obj.2.b - name: objective - properties: - - - name: label - value: AC-2(4)[2][b] - prose: modification; - - - id: ac-2.4_obj.2.c - name: objective - properties: - - - name: label - value: AC-2(4)[2][c] - prose: enabling; - - - id: ac-2.4_obj.2.d - name: objective - properties: - - - name: label - value: AC-2(4)[2][d] - prose: disabling; - - - id: ac-2.4_obj.2.e - name: objective - properties: - - - name: label - value: AC-2(4)[2][e] - prose: removal; - - - id: ac-2.4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(4)[3] - prose: - """ - the information system notifies organization-defined personnel or roles of the - following account actions: - """ - parts: - - - id: ac-2.4_obj.3.a - name: objective - properties: - - - name: label - value: AC-2(4)[3][a] - prose: creation; - - - id: ac-2.4_obj.3.b - name: objective - properties: - - - name: label - value: AC-2(4)[3][b] - prose: modification; - - - id: ac-2.4_obj.3.c - name: objective - properties: - - - name: label - value: AC-2(4)[3][c] - prose: enabling; - - - id: ac-2.4_obj.3.d - name: objective - properties: - - - name: label - value: AC-2(4)[3][d] - prose: disabling; and - - - id: ac-2.4_obj.3.e - name: objective - properties: - - - name: label - value: AC-2(4)[3][e] - prose: removal. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nnotifications/alerts of account creation, modification, enabling, disabling, - and removal actions\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.5 - class: SP800-53-enhancement - title: Inactivity Logout - parameters: - - - id: ac-2.5_prm_1 - label: - """ - organization-defined time-period of expected inactivity or description of when - to log out - """ - constraints: - - - detail: inactivity is anticipated to exceed Fifteen (15) minutes - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(5) - - - name: sort-id - value: ac-02.05 - parts: - - - id: ac-2.5_smt - name: statement - prose: The organization requires that users log out when {{ ac-2.5_prm_1 }}. - parts: - - - id: ac-2.5_fr - name: item - title: AC-2 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Should use a shorter timeframe than AC-12. - - - id: ac-2.5_gdn - name: guidance - links: - - - href: #sc-23 - rel: related - text: SC-23 - - - id: ac-2.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(5)[1] - prose: - """ - defines either the time period of expected inactivity that requires users to - log out or the description of when users are required to log out; and - """ - - - id: ac-2.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(5)[2] - prose: - """ - requires that users log out when the organization-defined time period of - inactivity is reached or in accordance with organization-defined description of - when to log out. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity violation reports\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nusers that must comply with inactivity logout policy - - - id: ac-2.7 - class: SP800-53-enhancement - title: Role-based Schemes - parameters: - - - id: ac-2.7_prm_1 - label: organization-defined actions - constraints: - - - detail: disables/revokes access within a organization-specified timeframe - properties: - - - name: label - value: AC-2(7) - - - name: sort-id - value: ac-02.07 - parts: - - - id: ac-2.7_smt - name: statement - prose: The organization: - parts: - - - id: ac-2.7_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles; - """ - - - id: ac-2.7_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Monitors privileged role assignments; and - - - id: ac-2.7_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Takes {{ ac-2.7_prm_1 }} when privileged role assignments are no - longer appropriate. - """ - - - id: ac-2.7_gdn - name: guidance - prose: - """ - Privileged roles are organization-defined roles assigned to individuals that allow - those individuals to perform certain security-relevant functions that ordinary - users are not authorized to perform. These privileged roles include, for example, - key management, account management, network and system administration, database - administration, and web administration. - """ - - - id: ac-2.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(7)(a) - prose: - """ - establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles; - """ - links: - - - href: #ac-2.7_smt.a - rel: corresp - text: AC-2(7)(a) - - - id: ac-2.7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(7)(b) - prose: monitors privileged role assignments; - links: - - - href: #ac-2.7_smt.b - rel: corresp - text: AC-2(7)(b) - - - id: ac-2.7.c_obj - name: objective - properties: - - - name: label - value: AC-2(7)(c) - parts: - - - id: ac-2.7.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(7)(c)[1] - prose: - """ - defines actions to be taken when privileged role assignments are no longer - appropriate; and - """ - - - id: ac-2.7.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(7)(c)[2] - prose: - """ - takes organization-defined actions when privileged role assignments are no - longer appropriate. - """ - links: - - - href: #ac-2.7_smt.c - rel: corresp - text: AC-2(7)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system-generated list of privileged user accounts and associated - role\n\nrecords of actions taken when privileged role assignments are no longer - appropriate\n\ninformation system audit records\n\naudit tracking and monitoring reports\n\ninformation system monitoring records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions\n\nautomated mechanisms monitoring privileged role assignments - - - id: ac-2.9 - class: SP800-53-enhancement - title: Restrictions On Use of Shared / Group Accounts - parameters: - - - id: ac-2.9_prm_1 - label: organization-defined conditions for establishing shared/group accounts - constraints: - - - detail: organization-defined need with justification statement that explains why such accounts are necessary - properties: - - - name: label - value: AC-2(9) - - - name: sort-id - value: ac-02.09 - parts: - - - id: ac-2.9_smt - name: statement - prose: The organization only permits the use of shared/group accounts that meet {{ ac-2.9_prm_1 }}. - parts: - - - id: ac-2.9_fr - name: item - title: AC-2 (9) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.9_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Required if shared/group accounts are deployed - - - id: ac-2.9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.9_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(9)[1] - prose: defines conditions for establishing shared/group accounts; and - - - id: ac-2.9_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(9)[2] - prose: - """ - only permits the use of shared/group accounts that meet organization-defined - conditions for establishing shared/group accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem-generated list of shared/group accounts and associated role\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing management of shared/group accounts - - - id: ac-2.10 - class: SP800-53-enhancement - title: Shared / Group Account Credential Termination - properties: - - - name: label - value: AC-2(10) - - - name: sort-id - value: ac-02.10 - parts: - - - id: ac-2.10_smt - name: statement - prose: - """ - The information system terminates shared/group account credentials when members - leave the group. - """ - parts: - - - id: ac-2.10_fr - name: item - title: AC-2 (10) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.10_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Required if shared/group accounts are deployed - - - id: ac-2.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system terminates shared/group account credentials - when members leave the group. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naccount access termination records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.11 - class: SP800-53-enhancement - title: Usage Conditions - parameters: - - - id: ac-2.11_prm_1 - label: organization-defined circumstances and/or usage conditions - - - id: ac-2.11_prm_2 - label: organization-defined information system accounts - properties: - - - name: label - value: AC-2(11) - - - name: sort-id - value: ac-02.11 - parts: - - - id: ac-2.11_smt - name: statement - prose: The information system enforces {{ ac-2.11_prm_1 }} for {{ ac-2.11_prm_2 }}. - - - id: ac-2.11_gdn - name: guidance - prose: - """ - Organizations can describe the specific conditions or circumstances under which - information system accounts can be used, for example, by restricting usage to - certain days of the week, time of day, or specific durations of time. - """ - - - id: ac-2.11_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(11)[1] - prose: - """ - the organization defines circumstances and/or usage conditions to be enforced - for information system accounts; - """ - - - id: ac-2.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(11)[2] - prose: - """ - the organization defines information system accounts for which - organization-defined circumstances and/or usage conditions are to be enforced; - and - """ - - - id: ac-2.11_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(11)[3] - prose: - """ - the information system enforces organization-defined circumstances and/or usage - conditions for organization-defined information system accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem-generated list of information system accounts and associated assignments - of usage circumstances and/or usage conditions\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.12 - class: SP800-53-enhancement - title: Account Monitoring / Atypical Usage - parameters: - - - id: ac-2.12_prm_1 - label: organization-defined atypical usage - - - id: ac-2.12_prm_2 - label: organization-defined personnel or roles - constraints: - - - detail: at a minimum, the ISSO and/or similar role within the organization - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(12) - - - name: sort-id - value: ac-02.12 - parts: - - - id: ac-2.12_smt - name: statement - prose: The organization: - parts: - - - id: ac-2.12_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Monitors information system accounts for {{ ac-2.12_prm_1 }}; - and - """ - - - id: ac-2.12_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Reports atypical usage of information system accounts to {{ ac-2.12_prm_2 }}. - - - id: ac-2.12_fr - name: item - title: AC-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) Guidance: - prose: Required for privileged accounts. - - - id: ac-2.12_fr_gdn.2 - name: guidance - properties: - - - name: label - value: (b) Guidance: - prose: Required for privileged accounts. - - - id: ac-2.12_gdn - name: guidance - prose: - """ - Atypical usage includes, for example, accessing information systems at certain - times of the day and from locations that are not consistent with the normal usage - patterns of individuals working in organizations. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - id: ac-2.12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.12.a_obj - name: objective - properties: - - - name: label - value: AC-2(12)(a) - parts: - - - id: ac-2.12.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(12)(a)[1] - prose: defines atypical usage to be monitored for information system accounts; - - - id: ac-2.12.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(12)(a)[2] - prose: - """ - monitors information system accounts for organization-defined atypical - usage; - """ - links: - - - href: #ac-2.12_smt.a - rel: corresp - text: AC-2(12)(a) - - - id: ac-2.12.b_obj - name: objective - properties: - - - name: label - value: AC-2(12)(b) - parts: - - - id: ac-2.12.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(12)(b)[1] - prose: - """ - defines personnel or roles to whom atypical usage of information system - accounts are to be reported; and - """ - - - id: ac-2.12.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(12)(b)[2] - prose: - """ - reports atypical usage of information system accounts to - organization-defined personnel or roles. - """ - links: - - - href: #ac-2.12_smt.b - rel: corresp - text: AC-2(12)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring records\n\ninformation system audit records\n\naudit tracking and monitoring reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.13 - class: SP800-53-enhancement - title: Disable Accounts for High-risk Individuals - parameters: - - - id: ac-2.13_prm_1 - label: organization-defined time period - constraints: - - - detail: one (1) hour - properties: - - - name: label - value: AC-2(13) - - - name: sort-id - value: ac-02.13 - parts: - - - id: ac-2.13_smt - name: statement - prose: - """ - The organization disables accounts of users posing a significant risk within - {{ ac-2.13_prm_1 }} of discovery of the risk. - """ - - - id: ac-2.13_gdn - name: guidance - prose: - """ - Users posing a significant risk to organizations include individuals for whom - reliable evidence or intelligence indicates either the intention to use authorized - access to information systems to cause harm or through whom adversaries will cause - harm. Harm includes potential adverse impacts to organizational operations and - assets, individuals, other organizations, or the Nation. Close coordination - between authorizing officials, information system administrators, and human - resource managers is essential in order for timely execution of this control - enhancement. - """ - links: - - - href: #ps-4 - rel: related - text: PS-4 - - - id: ac-2.13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(13)[1] - prose: - """ - defines the time period within which accounts are disabled upon discovery of a - significant risk posed by users of such accounts; and - """ - - - id: ac-2.13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(13)[2] - prose: - """ - disables accounts of users posing a significant risk within the - organization-defined time period of discovery of the risk. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem-generated list of disabled accounts\n\nlist of user activities posing significant organizational risk\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-3 - class: SP800-53 - title: Access Enforcement - properties: - - - name: label - value: AC-3 - - - name: sort-id - value: ac-03 - parts: - - - id: ac-3_smt - name: statement - prose: - """ - The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies. - """ - - - id: ac-3_gdn - name: guidance - prose: - """ - Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ac-21 - rel: related - text: AC-21 - - - href: #ac-22 - rel: related - text: AC-22 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: ac-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing access enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of approved authorizations (user privileges)\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing access control policy - - - id: ac-4 - class: SP800-53 - title: Information Flow Enforcement - parameters: - - - id: ac-4_prm_1 - label: organization-defined information flow control policies - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-4 - - - name: sort-id - value: ac-04 - parts: - - - id: ac-4_smt - name: statement - prose: - """ - The information system enforces approved authorizations for controlling the flow of - information within the system and between interconnected systems based on {{ ac-4_prm_1 }}. - """ - - - id: ac-4_gdn - name: guidance - prose: - """ - Information flow control regulates where information is allowed to travel within an - information system and between information systems (as opposed to who is allowed to - access the information) and without explicit regard to subsequent accesses to that - information. Flow control restrictions include, for example, keeping - export-controlled information from being transmitted in the clear to the Internet, - blocking outside traffic that claims to be from within the organization, restricting - web requests to the Internet that are not from the internal web proxy server, and - limiting information transfers between organizations based on data structures and - content. Transferring information between information systems representing different - security domains with different security policies introduces risk that such transfers - violate one or more domain security policies. In such situations, information - owners/stewards provide guidance at designated policy enforcement points between - interconnected systems. Organizations consider mandating specific architectural - solutions when required to enforce specific security policies. Enforcement includes, - for example: (i) prohibiting information transfers between interconnected systems - (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way - information flows; and (iii) implementing trustworthy regrading mechanisms to - reassign security attributes and security labels. Organizations commonly employ - information flow control policies and enforcement mechanisms to control the flow of - information between designated sources and destinations (e.g., networks, individuals, - and devices) within information systems and between interconnected systems. Flow - control is based on the characteristics of the information and/or the information - path. Enforcement occurs, for example, in boundary protection devices (e.g., - gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or - establish configuration settings that restrict information system services, provide a - packet-filtering capability based on header information, or message-filtering - capability based on message content (e.g., implementing key word searches or using - document characteristics). Organizations also consider the trustworthiness of - filtering/inspection mechanisms (i.e., hardware, firmware, and software components) - that are critical to information flow enforcement. Control enhancements 3 through 22 - primarily address cross-domain solution needs which focus on more advanced filtering - techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented - in cross-domain products, for example, high-assurance guards. Such capabilities are - generally not available in commercial off-the-shelf information technology - products. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-21 - rel: related - text: AC-21 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-18 - rel: related - text: SC-18 - - - id: ac-4_obj - name: objective - prose: Determine if: - parts: - - - id: ac-4_obj.1 - name: objective - properties: - - - name: label - value: AC-4[1] - prose: - """ - the organization defines information flow control policies to control the flow of - information within the system and between interconnected systems; and - """ - - - id: ac-4_obj.2 - name: objective - properties: - - - name: label - value: AC-4[2] - prose: - """ - the information system enforces approved authorizations for controlling the flow - of information within the system and between interconnected systems based on - organization-defined information flow control policies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system baseline configuration\n\nlist of information flow authorizations\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information flow enforcement policy - controls: - - - id: ac-4.8 - class: SP800-53-enhancement - title: Security Policy Filters - parameters: - - - id: ac-4.8_prm_1 - label: organization-defined security policy filters - - - id: ac-4.8_prm_2 - label: organization-defined information flows - properties: - - - name: label - value: AC-4(8) - - - name: sort-id - value: ac-04.08 - parts: - - - id: ac-4.8_smt - name: statement - prose: The information system enforces information flow control using {{ ac-4.8_prm_1 }} as a basis for flow control decisions for {{ ac-4.8_prm_2 }}. - - - id: ac-4.8_gdn - name: guidance - prose: - """ - Organization-defined security policy filters can address data structures and - content. For example, security policy filters for data structures can check for - maximum file lengths, maximum field sizes, and data/file types (for structured and - unstructured data). Security policy filters for data content can check for - specific words (e.g., dirty/clean word filters), enumerated values or data value - ranges, and hidden content. Structured data permits the interpretation of data - content by applications. Unstructured data typically refers to digital information - without a particular data structure or with a data structure that does not - facilitate the development of rule sets to address the particular sensitivity of - the information conveyed by the data or the associated flow enforcement decisions. - Unstructured data consists of: (i) bitmap objects that are inherently non - language-based (i.e., image, video, or audio files); and (ii) textual objects that - are based on written or printed languages (e.g., commercial off-the-shelf word - processing documents, spreadsheets, or emails). Organizations can implement more - than one security policy filter to meet information flow control objectives (e.g., - employing clean word lists in conjunction with dirty word lists may help to reduce - false positives). - """ - - - id: ac-4.8_obj - name: objective - prose: Determine if: - parts: - - - id: ac-4.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-4(8)[1] - prose: - """ - the organization defines security policy filters to be used as a basis for - enforcing flow control decisions; - """ - - - id: ac-4.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-4(8)[2] - prose: - """ - the organization defines information flows for which flow control decisions are - to be applied and enforced; and - """ - - - id: ac-4.8_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-4(8)[3] - prose: - """ - the information system enforces information flow control using - organization-defined security policy filters as a basis for flow control - decisions for organization-defined information flows. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of security policy filters regulating flow control decisions\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information flow enforcement policy - - - id: ac-4.21 - class: SP800-53-enhancement - title: Physical / Logical Separation of Information Flows - parameters: - - - id: ac-4.21_prm_1 - label: organization-defined mechanisms and/or techniques - - - id: ac-4.21_prm_2 - label: organization-defined required separations by types of information - properties: - - - name: label - value: AC-4(21) - - - name: sort-id - value: ac-04.21 - parts: - - - id: ac-4.21_smt - name: statement - prose: - """ - The information system separates information flows logically or physically using - {{ ac-4.21_prm_1 }} to accomplish {{ ac-4.21_prm_2 }}. - """ - - - id: ac-4.21_gdn - name: guidance - prose: - """ - Enforcing the separation of information flows by type can enhance protection by - ensuring that information is not commingled while in transit and by enabling flow - control by transmission paths perhaps not otherwise achievable. Types of separable - information include, for example, inbound and outbound communications traffic, - service requests and responses, and information of differing security - categories. - """ - - - id: ac-4.21_obj - name: objective - prose: Determine if: - parts: - - - id: ac-4.21_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-4(21)[1] - prose: - """ - the organization defines the required separations of information flows by types - of information; - """ - - - id: ac-4.21_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-4(21)[2] - prose: - """ - the organization defines the mechanisms and/or techniques to be used to - separate information flows logically or physically; and - """ - - - id: ac-4.21_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-4(21)[3] - prose: - """ - the information system separates information flows logically or physically - using organization-defined mechanisms and/or techniques to accomplish - organization-defined required separations by types of information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of required separation of information flows by information types\n\nlist of mechanisms and/or techniques used to logically or physically separate - information flows\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information flow enforcement functions - - - id: ac-5 - class: SP800-53 - title: Separation of Duties - parameters: - - - id: ac-5_prm_1 - label: organization-defined duties of individuals - properties: - - - name: label - value: AC-5 - - - name: sort-id - value: ac-05 - parts: - - - id: ac-5_smt - name: statement - prose: The organization: - parts: - - - id: ac-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: Separates {{ ac-5_prm_1 }}; - - - id: ac-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Documents separation of duties of individuals; and - - - id: ac-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Defines information system access authorizations to support separation of - duties. - """ - - - id: ac-5_fr - name: item - title: AC-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP. - - - id: ac-5_gdn - name: guidance - prose: - """ - Separation of duties addresses the potential for abuse of authorized privileges and - helps to reduce the risk of malevolent activity without collusion. Separation of - duties includes, for example: (i) dividing mission functions and information system - support functions among different individuals and/or roles; (ii) conducting - information system support functions with different individuals (e.g., system - management, programming, configuration management, quality assurance and testing, and - network security); and (iii) ensuring security personnel administering access control - functions do not also administer audit functions. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - id: ac-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-5.a_obj - name: objective - properties: - - - name: label - value: AC-5(a) - parts: - - - id: ac-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-5(a)[1] - prose: defines duties of individuals to be separated; - - - id: ac-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-5(a)[2] - prose: separates organization-defined duties of individuals; - - - id: ac-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-5(b) - prose: documents separation of duties; and - - - id: ac-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-5(c) - prose: - """ - defines information system access authorizations to support separation of - duties. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing divisions of responsibility and separation of duties\n\ninformation system configuration settings and associated documentation\n\nlist of divisions of responsibility and separation of duties\n\ninformation system access authorizations\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining appropriate divisions - of responsibility and separation of duties\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing separation of duties policy - - - id: ac-6 - class: SP800-53 - title: Least Privilege - properties: - - - name: label - value: AC-6 - - - name: sort-id - value: ac-06 - parts: - - - id: ac-6_smt - name: statement - prose: - """ - The organization employs the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) which are necessary to - accomplish assigned tasks in accordance with organizational missions and business - functions. - """ - - - id: ac-6_gdn - name: guidance - prose: - """ - Organizations employ least privilege for specific duties and information systems. The - principle of least privilege is also applied to information system processes, - ensuring that the processes operate at privilege levels no higher than necessary to - accomplish required organizational missions/business functions. Organizations - consider the creation of additional processes, roles, and information system accounts - as necessary, to achieve least privilege. Organizations also apply least privilege to - the development, implementation, and operation of organizational information - systems. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: ac-6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs the principle of least privilege, allowing only - authorized access for users (and processes acting on behalf of users) which are - necessary to accomplish assigned tasks in accordance with organizational missions and - business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\nlist of assigned access authorizations (user privileges)\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - controls: - - - id: ac-6.1 - class: SP800-53-enhancement - title: Authorize Access to Security Functions - parameters: - - - id: ac-6.1_prm_1 - label: - """ - organization-defined security functions (deployed in hardware, software, and - firmware) and security-relevant information - """ - constraints: - - - detail: all functions not publicly accessible and all security-relevant information not publicly available - properties: - - - name: label - value: AC-6(1) - - - name: sort-id - value: ac-06.01 - parts: - - - id: ac-6.1_smt - name: statement - prose: The organization explicitly authorizes access to {{ ac-6.1_prm_1 }}. - - - id: ac-6.1_gdn - name: guidance - prose: - """ - Security functions include, for example, establishing system accounts, configuring - access authorizations (i.e., permissions, privileges), setting events to be - audited, and setting intrusion detection parameters. Security-relevant information - includes, for example, filtering rules for routers/firewalls, cryptographic key - management information, configuration parameters for security services, and access - control lists. Explicitly authorized personnel include, for example, security - administrators, system and network administrators, system security officers, - system maintenance personnel, system programmers, and other privileged users. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - id: ac-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(1)[1] - prose: - """ - defines security-relevant information for which access must be explicitly - authorized; - """ - - - id: ac-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(1)[2] - prose: defines security functions deployed in: - parts: - - - id: ac-6.1_obj.2.a - name: objective - properties: - - - name: label - value: AC-6(1)[2][a] - prose: hardware; - - - id: ac-6.1_obj.2.b - name: objective - properties: - - - name: label - value: AC-6(1)[2][b] - prose: software; - - - id: ac-6.1_obj.2.c - name: objective - properties: - - - name: label - value: AC-6(1)[2][c] - prose: firmware; - - - id: ac-6.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(1)[3] - prose: explicitly authorizes access to: - parts: - - - id: ac-6.1_obj.3.a - name: objective - properties: - - - name: label - value: AC-6(1)[3][a] - prose: organization-defined security functions; and - - - id: ac-6.1_obj.3.b - name: objective - properties: - - - name: label - value: AC-6(1)[3][b] - prose: security-relevant information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nlist of security functions (deployed in hardware, software, and firmware) and - security-relevant information for which access must be explicitly - authorized\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.2 - class: SP800-53-enhancement - title: Non-privileged Access for Nonsecurity Functions - parameters: - - - id: ac-6.2_prm_1 - label: - """ - organization-defined security functions or security-relevant - information - """ - constraints: - - - detail: all security functions - properties: - - - name: label - value: AC-6(2) - - - name: sort-id - value: ac-06.02 - parts: - - - id: ac-6.2_smt - name: statement - prose: - """ - The organization requires that users of information system accounts, or roles, - with access to {{ ac-6.2_prm_1 }}, use non-privileged accounts or - roles, when accessing nonsecurity functions. - """ - parts: - - - id: ac-6.2_fr - name: item - title: AC-6 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-6.2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions. - - - id: ac-6.2_gdn - name: guidance - prose: - """ - This control enhancement limits exposure when operating from within privileged - accounts or roles. The inclusion of roles addresses situations where organizations - implement access control policies such as role-based access control and where a - change of role provides the same degree of assurance in the change of access - authorizations for both the user and all processes acting on behalf of the user as - would be provided by a change between a privileged and non-privileged account. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - id: ac-6.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(2)[1] - prose: - """ - defines security functions or security-relevant information to which users of - information system accounts, or roles, have access; and - """ - - - id: ac-6.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(2)[2] - prose: - """ - requires that users of information system accounts, or roles, with access to - organization-defined security functions or security-relevant information, use - non-privileged accounts, or roles, when accessing nonsecurity functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated security functions or security-relevant information - assigned to information system accounts or roles\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.3 - class: SP800-53-enhancement - title: Network Access to Privileged Commands - parameters: - - - id: ac-6.3_prm_1 - label: organization-defined privileged commands - constraints: - - - detail: all privileged commands - - - id: ac-6.3_prm_2 - label: organization-defined compelling operational needs - properties: - - - name: label - value: AC-6(3) - - - name: sort-id - value: ac-06.03 - parts: - - - id: ac-6.3_smt - name: statement - prose: - """ - The organization authorizes network access to {{ ac-6.3_prm_1 }} - only for {{ ac-6.3_prm_2 }} and documents the rationale for such - access in the security plan for the information system. - """ - - - id: ac-6.3_gdn - name: guidance - prose: - """ - Network access is any access across a network connection in lieu of local access - (i.e., user being physically present at the device). - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - id: ac-6.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(3)[1] - prose: - """ - defines privileged commands to which network access is to be authorized only - for compelling operational needs; - """ - - - id: ac-6.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(3)[2] - prose: - """ - defines compelling operational needs for which network access to - organization-defined privileged commands are to be solely authorized; - """ - - - id: ac-6.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(3)[3] - prose: - """ - authorizes network access to organization-defined privileged commands only for - organization-defined compelling operational needs; and - """ - - - id: ac-6.3_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-6(3)[4] - prose: - """ - documents the rationale for authorized network access to organization-defined - privileged commands in the security plan for the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of operational needs for authorizing network access to privileged - commands\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.5 - class: SP800-53-enhancement - title: Privileged Accounts - parameters: - - - id: ac-6.5_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: AC-6(5) - - - name: sort-id - value: ac-06.05 - parts: - - - id: ac-6.5_smt - name: statement - prose: - """ - The organization restricts privileged accounts on the information system to - {{ ac-6.5_prm_1 }}. - """ - - - id: ac-6.5_gdn - name: guidance - prose: - """ - Privileged accounts, including super user accounts, are typically described as - system administrator for various types of commercial off-the-shelf operating - systems. Restricting privileged accounts to specific personnel or roles prevents - day-to-day users from having access to privileged information/functions. - Organizations may differentiate in the application of this control enhancement - between allowed privileges for local accounts and for domain accounts provided - organizations retain the ability to control information system configurations for - key security parameters and as otherwise necessary to sufficiently mitigate - risk. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - id: ac-6.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(5)[1] - prose: - """ - defines personnel or roles for which privileged accounts on the information - system are to be restricted; and - """ - - - id: ac-6.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(5)[2] - prose: - """ - restricts privileged accounts on the information system to organization-defined - personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated privileged accounts\n\nlist of system administration personnel\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.7 - class: SP800-53-enhancement - title: Review of User Privileges - parameters: - - - id: ac-6.7_prm_1 - label: organization-defined frequency - constraints: - - - detail: at a minimum, annually - - - id: ac-6.7_prm_2 - label: organization-defined roles or classes of users - constraints: - - - detail: all users with privileges - properties: - - - name: label - value: AC-6(7) - - - name: sort-id - value: ac-06.07 - parts: - - - id: ac-6.7_smt - name: statement - prose: The organization: - parts: - - - id: ac-6.7_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Reviews {{ ac-6.7_prm_1 }} the privileges assigned to {{ ac-6.7_prm_2 }} to validate the need for such privileges; and - - - id: ac-6.7_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Reassigns or removes privileges, if necessary, to correctly reflect - organizational mission/business needs. - """ - - - id: ac-6.7_gdn - name: guidance - prose: - """ - The need for certain assigned user privileges may change over time reflecting - changes in organizational missions/business function, environments of operation, - technologies, or threat. Periodic review of assigned user privileges is necessary - to determine if the rationale for assigning such privileges remains valid. If the - need cannot be revalidated, organizations take appropriate corrective actions. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - id: ac-6.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.7.a_obj - name: objective - properties: - - - name: label - value: AC-6(7)(a) - parts: - - - id: ac-6.7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(7)(a)[1] - prose: defines roles or classes of users to which privileges are assigned; - - - id: ac-6.7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(7)(a)[2] - prose: - """ - defines the frequency to review the privileges assigned to - organization-defined roles or classes of users to validate the need for such - privileges; - """ - - - id: ac-6.7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-6(7)(a)[3] - prose: - """ - reviews the privileges assigned to organization-defined roles or classes of - users with the organization-defined frequency to validate the need for such - privileges; and - """ - links: - - - href: #ac-6.7_smt.a - rel: corresp - text: AC-6(7)(a) - - - id: ac-6.7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(7)(b) - prose: - """ - reassigns or removes privileges, if necessary, to correctly reflect - organizational missions/business needs. - """ - links: - - - href: #ac-6.7_smt.b - rel: corresp - text: AC-6(7)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated roles or classes of users and assigned privileges\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nvalidation reviews of privileges assigned to roles or classes or users\n\nrecords of privilege removals or reassignments for roles or classes of - users\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing review of user privileges - - - id: ac-6.8 - class: SP800-53-enhancement - title: Privilege Levels for Code Execution - parameters: - - - id: ac-6.8_prm_1 - label: organization-defined software - constraints: - - - detail: any software except software explicitly documented - properties: - - - name: label - value: AC-6(8) - - - name: sort-id - value: ac-06.08 - parts: - - - id: ac-6.8_smt - name: statement - prose: - """ - The information system prevents {{ ac-6.8_prm_1 }} from executing - at higher privilege levels than users executing the software. - """ - - - id: ac-6.8_gdn - name: guidance - prose: - """ - In certain situations, software applications/programs need to execute with - elevated privileges to perform required functions. However, if the privileges - required for execution are at a higher level than the privileges assigned to - organizational users invoking such applications/programs, those users are - indirectly provided with greater privileges than assigned by organizations. - """ - - - id: ac-6.8_obj - name: objective - prose: Determine if: - parts: - - - id: ac-6.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(8)[1] - prose: - """ - the organization defines software that should not execute at higher privilege - levels than users executing the software; and - """ - - - id: ac-6.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(8)[2] - prose: - """ - the information system prevents organization-defined software from executing at - higher privilege levels than users executing the software. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nlist of software that should not execute at higher privilege levels than users - executing software\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing least privilege functions for software - execution - """ - - - id: ac-6.9 - class: SP800-53-enhancement - title: Auditing Use of Privileged Functions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-6(9) - - - name: sort-id - value: ac-06.09 - parts: - - - id: ac-6.9_smt - name: statement - prose: The information system audits the execution of privileged functions. - - - id: ac-6.9_gdn - name: guidance - prose: - """ - Misuse of privileged functions, either intentionally or unintentionally by - authorized users, or by unauthorized external entities that have compromised - information system accounts, is a serious and ongoing concern and can have - significant adverse impacts on organizations. Auditing the use of privileged - functions is one way to detect such misuse, and in doing so, help mitigate the - risk from insider threats and the advanced persistent threat (APT). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - id: ac-6.9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system audits the execution of privileged functions. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of privileged functions to be audited\n\nlist of audited events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms auditing the execution of least privilege functions - - - id: ac-6.10 - class: SP800-53-enhancement - title: Prohibit Non-privileged Users from Executing Privileged Functions - properties: - - - name: label - value: AC-6(10) - - - name: sort-id - value: ac-06.10 - parts: - - - id: ac-6.10_smt - name: statement - prose: - """ - The information system prevents non-privileged users from executing privileged - functions to include disabling, circumventing, or altering implemented security - safeguards/countermeasures. - """ - - - id: ac-6.10_gdn - name: guidance - prose: - """ - Privileged functions include, for example, establishing information system - accounts, performing system integrity checks, or administering cryptographic key - management activities. Non-privileged users are individuals that do not possess - appropriate authorizations. Circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms are examples of privileged - functions that require protection from non-privileged users. - """ - - - id: ac-6.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system prevents non-privileged users from executing - privileged functions to include: - """ - parts: - - - id: ac-6.10_obj.1 - name: objective - properties: - - - name: label - value: AC-6(10)[1] - prose: disabling implemented security safeguards/countermeasures; - - - id: ac-6.10_obj.2 - name: objective - properties: - - - name: label - value: AC-6(10)[2] - prose: circumventing security safeguards/countermeasures; or - - - id: ac-6.10_obj.3 - name: objective - properties: - - - name: label - value: AC-6(10)[3] - prose: altering implemented security safeguards/countermeasures. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of privileged functions and associated user account assignments\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing least privilege functions for non-privileged - users - """ - - - id: ac-7 - class: SP800-53 - title: Unsuccessful Logon Attempts - parameters: - - - id: ac-7_prm_1 - label: organization-defined number - constraints: - - - detail: not more than three (3) - - - id: ac-7_prm_2 - label: organization-defined time period - constraints: - - - detail: fifteen (15) minutes - - - id: ac-7_prm_3 - - - id: ac-7_prm_4 - depends-on: ac-7_prm_3 - label: organization-defined time period - constraints: - - - detail: locks the account/node for a minimum of three (3) hours or until unlocked by an administrator - - - id: ac-7_prm_5 - depends-on: ac-7_prm_3 - label: organization-defined delay algorithm - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-7 - - - name: sort-id - value: ac-07 - parts: - - - id: ac-7_smt - name: statement - prose: The information system: - parts: - - - id: ac-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon - attempts by a user during a {{ ac-7_prm_2 }}; and - """ - - - id: ac-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Automatically {{ ac-7_prm_3 }} when the maximum number of - unsuccessful attempts is exceeded. - """ - - - id: ac-7_gdn - name: guidance - prose: - """ - This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ia-5 - rel: related - text: IA-5 - - - id: ac-7_obj - name: objective - prose: Determine if: - parts: - - - id: ac-7.a_obj - name: objective - properties: - - - name: label - value: AC-7(a) - parts: - - - id: ac-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(a)[1] - prose: - """ - the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period; - """ - - - id: ac-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(a)[2] - prose: - """ - the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts; - """ - - - id: ac-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(a)[3] - prose: - """ - the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period; - """ - - - id: ac-7.b_obj - name: objective - properties: - - - name: label - value: AC-7(b) - parts: - - - id: ac-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(b)[1] - prose: - """ - the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded; - """ - - - id: ac-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(b)[2] - prose: - """ - the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically: - """ - parts: - - - id: ac-7.b_obj.2.a - name: objective - properties: - - - name: label - value: AC-7(b)[2][a] - prose: locks the account/node for the organization-defined time period; - - - id: ac-7.b_obj.2.b - name: objective - properties: - - - name: label - value: AC-7(b)[2][b] - prose: locks the account/node until released by an administrator; or - - - id: ac-7.b_obj.2.c - name: objective - properties: - - - name: label - value: AC-7(b)[2][c] - prose: - """ - delays next logon prompt according to the organization-defined delay - algorithm. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing unsuccessful logon attempts\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem developers\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for unsuccessful logon - attempts - """ - controls: - - - id: ac-7.2 - class: SP800-53-enhancement - title: Purge / Wipe Mobile Device - parameters: - - - id: ac-7.2_prm_1 - label: organization-defined mobile devices - constraints: - - - detail: mobile devices as defined by organization policy - - - id: ac-7.2_prm_2 - label: organization-defined purging/wiping requirements/techniques - - - id: ac-7.2_prm_3 - label: organization-defined number - constraints: - - - detail: three (3) - properties: - - - name: label - value: AC-7(2) - - - name: sort-id - value: ac-07.02 - parts: - - - id: ac-7.2_smt - name: statement - prose: - """ - The information system purges/wipes information from {{ ac-7.2_prm_1 }} based on {{ ac-7.2_prm_2 }} after - {{ ac-7.2_prm_3 }} consecutive, unsuccessful device logon - attempts. - """ - - - id: ac-7.2_gdn - name: guidance - prose: - """ - This control enhancement applies only to mobile devices for which a logon occurs - (e.g., personal digital assistants, smart phones, tablets). The logon is to the - mobile device, not to any one account on the device. Therefore, successful logons - to any accounts on mobile devices reset the unsuccessful logon count to zero. - Organizations define information to be purged/wiped carefully in order to avoid - over purging/wiping which may result in devices becoming unusable. Purging/wiping - may be unnecessary if the information on the device is protected with sufficiently - strong encryption mechanisms. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-7.2_obj - name: objective - prose: Determine if: - parts: - - - id: ac-7.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(2)[1] - prose: - """ - the organization defines mobile devices to be purged/wiped after - organization-defined number of consecutive, unsuccessful device logon - attempts; - """ - - - id: ac-7.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(2)[2] - prose: - """ - the organization defines purging/wiping requirements/techniques to be used when - organization-defined mobile devices are purged/wiped after organization-defined - number of consecutive, unsuccessful device logon attempts; - """ - - - id: ac-7.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(2)[3] - prose: - """ - the organization defines the number of consecutive, unsuccessful logon attempts - allowed for accessing mobile devices before the information system purges/wipes - information from such devices; and - """ - - - id: ac-7.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(2)[4] - prose: - """ - the information system purges/wipes information from organization-defined - mobile devices based on organization-defined purging/wiping - requirements/techniques after organization-defined number of consecutive, - unsuccessful logon attempts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing unsuccessful login attempts on mobile devices\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of mobile devices to be purged/wiped after organization-defined - consecutive, unsuccessful device logon attempts\n\nlist of purging/wiping requirements or techniques for mobile devices\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for unsuccessful device - logon attempts - """ - - - id: ac-8 - class: SP800-53 - title: System Use Notification - parameters: - - - id: ac-8_prm_1 - label: organization-defined system use notification message or banner - constraints: - - - detail: see additional Requirements and Guidance - - - id: ac-8_prm_2 - label: organization-defined conditions - constraints: - - - detail: see additional Requirements and Guidance - properties: - - - name: label - value: AC-8 - - - name: sort-id - value: ac-08 - parts: - - - id: ac-8_smt - name: statement - prose: The information system: - parts: - - - id: ac-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Displays to users {{ ac-8_prm_1 }} before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that: - """ - parts: - - - id: ac-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Users are accessing a U.S. Government information system; - - - id: ac-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Information system usage may be monitored, recorded, and subject to audit; - - - id: ac-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and - """ - - - id: ac-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and - """ - - - id: ac-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: For publicly accessible systems: - parts: - - - id: ac-8_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Displays system use information {{ ac-8_prm_2 }}, before - granting further access; - """ - - - id: ac-8_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and - """ - - - id: ac-8_smt.c.3 - name: item - properties: - - - name: label - value: 3. - prose: Includes a description of the authorized uses of the system. - - - id: ac-8_fr - name: item - title: AC-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. - - - id: ac-8_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. - - - id: ac-8_fr_smt.3 - name: item - properties: - - - name: label - value: Requirement: - prose: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO. - - - id: ac-8_gdn - name: guidance - prose: - """ - System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content. - """ - - - id: ac-8_obj - name: objective - prose: Determine if: - parts: - - - id: ac-8.a_obj - name: objective - properties: - - - name: label - value: AC-8(a) - parts: - - - id: ac-8.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(a)[1] - prose: - """ - the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system; - """ - - - id: ac-8.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(a)[2] - prose: - """ - the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that: - """ - parts: - - - id: ac-8.a.1_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](1) - prose: users are accessing a U.S. Government information system; - - - id: ac-8.a.2_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](2) - prose: - """ - information system usage may be monitored, recorded, and subject to - audit; - """ - - - id: ac-8.a.3_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](3) - prose: - """ - unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; - """ - - - id: ac-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](4) - prose: - """ - use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(b) - prose: - """ - the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system; - """ - - - id: ac-8.c_obj - name: objective - properties: - - - name: label - value: AC-8(c) - prose: for publicly accessible systems: - parts: - - - id: ac-8.c.1_obj - name: objective - properties: - - - name: label - value: AC-8(c)(1) - parts: - - - id: ac-8.c.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(c)(1)[1] - prose: - """ - the organization defines conditions for system use to be displayed by the - information system before granting further access; - """ - - - id: ac-8.c.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(c)(1)[2] - prose: - """ - the information system displays organization-defined conditions before - granting further access; - """ - - - id: ac-8.c.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(c)(2) - prose: - """ - the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and - """ - - - id: ac-8.c.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(c)(3) - prose: - """ - the information system includes a description of the authorized uses of the - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprivacy and security policies, procedures addressing system use notification\n\ndocumented approval of information system use notification messages or banners\n\ninformation system audit records\n\nuser acknowledgements of notification message or banner\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system use notification messages\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for providing legal advice\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing system use notification - - - id: ac-10 - class: SP800-53 - title: Concurrent Session Control - parameters: - - - id: ac-10_prm_1 - label: organization-defined account and/or account type - - - id: ac-10_prm_2 - label: organization-defined number - constraints: - - - detail: three (3) sessions for privileged access and two (2) sessions for non-privileged access - properties: - - - name: label - value: AC-10 - - - name: sort-id - value: ac-10 - parts: - - - id: ac-10_smt - name: statement - prose: The information system limits the number of concurrent sessions for each {{ ac-10_prm_1 }} to {{ ac-10_prm_2 }}. - - - id: ac-10_gdn - name: guidance - prose: - """ - Organizations may define the maximum number of concurrent sessions for information - system accounts globally, by account type (e.g., privileged user, non-privileged - user, domain, specific application), by account, or a combination. For example, - organizations may limit the number of concurrent sessions for system administrators - or individuals working in particularly sensitive domains or mission-critical - applications. This control addresses concurrent sessions for information system - accounts and does not address concurrent sessions by single users via multiple system - accounts. - """ - - - id: ac-10_obj - name: objective - prose: Determine if: - parts: - - - id: ac-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-10[1] - prose: - """ - the organization defines account and/or account types for the information - system; - """ - - - id: ac-10_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-10[2] - prose: - """ - the organization defines the number of concurrent sessions to be allowed for each - organization-defined account and/or account type; and - """ - - - id: ac-10_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-10[3] - prose: - """ - the information system limits the number of concurrent sessions for each - organization-defined account and/or account type to the organization-defined - number of concurrent sessions allowed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing concurrent session control\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for concurrent session - control - """ - - - id: ac-11 - class: SP800-53 - title: Session Lock - parameters: - - - id: ac-11_prm_1 - label: organization-defined time period - constraints: - - - detail: fifteen (15) minutes - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-11 - - - name: sort-id - value: ac-11 - links: - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - parts: - - - id: ac-11_smt - name: statement - prose: The information system: - parts: - - - id: ac-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Prevents further access to the system by initiating a session lock after {{ ac-11_prm_1 }} of inactivity or upon receiving a request from a user; - and - """ - - - id: ac-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Retains the session lock until the user reestablishes access using established - identification and authentication procedures. - """ - - - id: ac-11_gdn - name: guidance - prose: - """ - Session locks are temporary actions taken when users stop work and move away from the - immediate vicinity of information systems but do not want to log out because of the - temporary nature of their absences. Session locks are implemented where session - activities can be determined. This is typically at the operating system level, but - can also be at the application level. Session locks are not an acceptable substitute - for logging out of information systems, for example, if organizations require users - to log out at the end of workdays. - """ - links: - - - href: #ac-7 - rel: related - text: AC-7 - - - id: ac-11_obj - name: objective - prose: Determine if: - parts: - - - id: ac-11.a_obj - name: objective - properties: - - - name: label - value: AC-11(a) - parts: - - - id: ac-11.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-11(a)[1] - prose: - """ - the organization defines the time period of user inactivity after which the - information system initiates a session lock; - """ - - - id: ac-11.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-11(a)[2] - prose: - """ - the information system prevents further access to the system by initiating a - session lock after organization-defined time period of user inactivity or upon - receiving a request from a user; and - """ - - - id: ac-11.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-11(b) - prose: - """ - the information system retains the session lock until the user reestablishes - access using established identification and authentication procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session lock\n\nprocedures addressing identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing access control policy for session lock - controls: - - - id: ac-11.1 - class: SP800-53-enhancement - title: Pattern-hiding Displays - properties: - - - name: label - value: AC-11(1) - - - name: sort-id - value: ac-11.01 - parts: - - - id: ac-11.1_smt - name: statement - prose: - """ - The information system conceals, via the session lock, information previously - visible on the display with a publicly viewable image. - """ - - - id: ac-11.1_gdn - name: guidance - prose: - """ - Publicly viewable images can include static or dynamic images, for example, - patterns used with screen savers, photographic images, solid colors, clock, - battery life indicator, or a blank screen, with the additional caveat that none of - the images convey sensitive information. - """ - - - id: ac-11.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system conceals, via the session lock, information - previously visible on the display with a publicly viewable image. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session lock\n\ndisplay screen with session lock activated\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Information system session lock mechanisms - - - id: ac-12 - class: SP800-53 - title: Session Termination - parameters: - - - id: ac-12_prm_1 - label: - """ - organization-defined conditions or trigger events requiring session - disconnect - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-12 - - - name: sort-id - value: ac-12 - parts: - - - id: ac-12_smt - name: statement - prose: The information system automatically terminates a user session after {{ ac-12_prm_1 }}. - - - id: ac-12_gdn - name: guidance - prose: - """ - This control addresses the termination of user-initiated logical sessions in contrast - to SC-10 which addresses the termination of network connections that are associated - with communications sessions (i.e., network disconnect). A logical session (for - local, network, and remote access) is initiated whenever a user (or process acting on - behalf of a user) accesses an organizational information system. Such user sessions - can be terminated (and thus terminate user access) without terminating network - sessions. Session termination terminates all processes associated with a user’s - logical session except those processes that are specifically created by the user - (i.e., session owner) to continue after the session is terminated. Conditions or - trigger events requiring automatic session termination can include, for example, - organization-defined periods of user inactivity, targeted responses to certain types - of incidents, time-of-day restrictions on information system use. - """ - links: - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-23 - rel: related - text: SC-23 - - - id: ac-12_obj - name: objective - prose: Determine if: - parts: - - - id: ac-12_obj.1 - name: objective - properties: - - - name: label - value: AC-12[1] - prose: - """ - the organization defines conditions or trigger events requiring session - disconnect; and - """ - - - id: ac-12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-12[2] - prose: - """ - the information system automatically terminates a user session after - organization-defined conditions or trigger events requiring session disconnect - occurs. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session termination\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of conditions or trigger events requiring session disconnect\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing user session termination - controls: - - - id: ac-12.1 - class: SP800-53-enhancement - title: User-initiated Logouts / Message Displays - parameters: - - - id: ac-12.1_prm_1 - label: organization-defined information resources - properties: - - - name: label - value: AC-12(1) - - - name: sort-id - value: ac-12.01 - parts: - - - id: ac-12.1_smt - name: statement - prose: The information system: - parts: - - - id: ac-12.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Provides a logout capability for user-initiated communications sessions - whenever authentication is used to gain access to {{ ac-12.1_prm_1 }}; and - """ - - - id: ac-12.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Displays an explicit logout message to users indicating the reliable - termination of authenticated communications sessions. - """ - - - id: ac-12.1_fr - name: item - title: AC-12 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-12.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29 - - - id: ac-12.1_gdn - name: guidance - prose: - """ - Information resources to which users gain access via authentication include, for - example, local workstations, databases, and password-protected websites/web-based - services. Logout messages for web page access, for example, can be displayed after - authenticated sessions have been terminated. However, for some types of - interactive sessions including, for example, file transfer protocol (FTP) - sessions, information systems typically send logout messages as final messages - prior to terminating sessions. - """ - - - id: ac-12.1_obj - name: objective - prose: Determine if: - parts: - - - id: ac-12.1.a_obj - name: objective - properties: - - - name: label - value: AC-12(1)(a) - parts: - - - id: ac-12.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-12(1)(a)[1] - prose: - """ - the organization defines information resources for which user authentication - is required to gain access to such resources; - """ - - - id: ac-12.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-12(1)(a)[2] - prose: - """ - the information system provides a logout capability for user-initiated - communications sessions whenever authentication is used to gain access to - organization-defined information resources; and - """ - links: - - - href: #ac-12.1_smt.a - rel: corresp - text: AC-12(1)(a) - - - id: ac-12.1.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-12(1)(b) - prose: - """ - the information system displays an explicit logout message to users indicating - the reliable termination of authenticated communications sessions. - """ - links: - - - href: #ac-12.1_smt.b - rel: corresp - text: AC-12(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session termination\n\nuser logout messages\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Information system session lock mechanisms - - - id: ac-14 - class: SP800-53 - title: Permitted Actions Without Identification or Authentication - parameters: - - - id: ac-14_prm_1 - label: organization-defined user actions - properties: - - - name: label - value: AC-14 - - - name: sort-id - value: ac-14 - parts: - - - id: ac-14_smt - name: statement - prose: The organization: - parts: - - - id: ac-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies {{ ac-14_prm_1 }} that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - id: ac-14_gdn - name: guidance - prose: - """ - This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - id: ac-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-14.a_obj - name: objective - properties: - - - name: label - value: AC-14(a) - parts: - - - id: ac-14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-14(a)[1] - prose: - """ - defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions; - """ - - - id: ac-14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-14(a)[2] - prose: - """ - identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-14(b) - prose: - """ - documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing permitted actions without identification or - authentication\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nlist of user actions that can be performed without identification or - authentication\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - id: ac-17 - class: SP800-53 - title: Remote Access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-17 - - - name: sort-id - value: ac-17 - links: - - - href: #5309d4d0-46f8-4213-a749-e7584164e5e8 - rel: reference - text: NIST Special Publication 800-46 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #349fe082-502d-464a-aa0c-1443c6a5cf40 - rel: reference - text: NIST Special Publication 800-113 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #d1a4e2a9-e512-4132-8795-5357aba29254 - rel: reference - text: NIST Special Publication 800-121 - parts: - - - id: ac-17_smt - name: statement - prose: The organization: - parts: - - - id: ac-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and - """ - - - id: ac-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes remote access to the information system prior to allowing such - connections. - """ - - - id: ac-17_gdn - name: guidance - prose: - """ - Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #pe-17 - rel: related - text: PE-17 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.a_obj - name: objective - properties: - - - name: label - value: AC-17(a) - parts: - - - id: ac-17.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[1] - prose: identifies the types of remote access allowed to the information system; - - - id: ac-17.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[2] - prose: establishes for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.2.a - name: objective - properties: - - - name: label - value: AC-17(a)[2][a] - prose: usage restrictions; - - - id: ac-17.a_obj.2.b - name: objective - properties: - - - name: label - value: AC-17(a)[2][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.2.c - name: objective - properties: - - - name: label - value: AC-17(a)[2][c] - prose: implementation guidance; - - - id: ac-17.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[3] - prose: documents for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.3.a - name: objective - properties: - - - name: label - value: AC-17(a)[3][a] - prose: usage restrictions; - - - id: ac-17.a_obj.3.b - name: objective - properties: - - - name: label - value: AC-17(a)[3][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.3.c - name: objective - properties: - - - name: label - value: AC-17(a)[3][c] - prose: implementation guidance; and - - - id: ac-17.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(b) - prose: - """ - authorizes remote access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing remote access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nremote access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing remote access - connections\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Remote access management capability for the information system - controls: - - - id: ac-17.1 - class: SP800-53-enhancement - title: Automated Monitoring / Control - properties: - - - name: label - value: AC-17(1) - - - name: sort-id - value: ac-17.01 - parts: - - - id: ac-17.1_smt - name: statement - prose: The information system monitors and controls remote access methods. - - - id: ac-17.1_gdn - name: guidance - prose: - """ - Automated monitoring and control of remote access sessions allows organizations to - detect cyber attacks and also ensure ongoing compliance with remote access - policies by auditing connection activities of remote users on a variety of - information system components (e.g., servers, workstations, notebook computers, - smart phones, and tablets). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: ac-17.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system monitors and controls remote access methods. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\ninformation system monitoring records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms monitoring and controlling remote access methods - - - id: ac-17.2 - class: SP800-53-enhancement - title: Protection of Confidentiality / Integrity Using Encryption - properties: - - - name: label - value: AC-17(2) - - - name: sort-id - value: ac-17.02 - parts: - - - id: ac-17.2_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of remote access sessions. - """ - - - id: ac-17.2_gdn - name: guidance - prose: - """ - The encryption strength of mechanism is selected based on the security - categorization of the information. - """ - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-17.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements cryptographic mechanisms to protect - the confidentiality and integrity of remote access sessions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms protecting confidentiality and integrity of remote - access sessions - """ - - - id: ac-17.3 - class: SP800-53-enhancement - title: Managed Access Control Points - parameters: - - - id: ac-17.3_prm_1 - label: organization-defined number - properties: - - - name: label - value: AC-17(3) - - - name: sort-id - value: ac-17.03 - parts: - - - id: ac-17.3_smt - name: statement - prose: The information system routes all remote accesses through {{ ac-17.3_prm_1 }} managed network access control points. - - - id: ac-17.3_gdn - name: guidance - prose: - """ - Limiting the number of access control points for remote accesses reduces the - attack surface for organizations. Organizations consider the Trusted Internet - Connections (TIC) initiative requirements for external network connections. - """ - links: - - - href: #sc-7 - rel: related - text: SC-7 - - - id: ac-17.3_obj - name: objective - prose: Determine if: - parts: - - - id: ac-17.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(3)[1] - prose: - """ - the organization defines the number of managed network access control points - through which all remote accesses are to be routed; and - """ - - - id: ac-17.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(3)[2] - prose: - """ - the information system routes all remote accesses through the - organization-defined number of managed network access control points. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system design documentation\n\nlist of all managed network access control points\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms routing all remote accesses through managed network access - control points - """ - - - id: ac-17.4 - class: SP800-53-enhancement - title: Privileged Commands / Access - parameters: - - - id: ac-17.4_prm_1 - label: organization-defined needs - properties: - - - name: label - value: AC-17(4) - - - name: sort-id - value: ac-17.04 - parts: - - - id: ac-17.4_smt - name: statement - prose: The organization: - parts: - - - id: ac-17.4_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Authorizes the execution of privileged commands and access to security-relevant - information via remote access only for {{ ac-17.4_prm_1 }}; - and - """ - - - id: ac-17.4_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Documents the rationale for such access in the security plan for the - information system. - """ - - - id: ac-17.4_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ac-17.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.4.a_obj - name: objective - properties: - - - name: label - value: AC-17(4)(a) - parts: - - - id: ac-17.4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(4)(a)[1] - prose: - """ - defines needs to authorize the execution of privileged commands and access - to security-relevant information via remote access; - """ - - - id: ac-17.4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(4)(a)[2] - prose: - """ - authorizes the execution of privileged commands and access to - security-relevant information via remote access only for - organization-defined needs; and - """ - links: - - - href: #ac-17.4_smt.a - rel: corresp - text: AC-17(4)(a) - - - id: ac-17.4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(4)(b) - prose: - """ - documents the rationale for such access in the information system security - plan. - """ - links: - - - href: #ac-17.4_smt.b - rel: corresp - text: AC-17(4)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing remote access management - - - id: ac-17.9 - class: SP800-53-enhancement - title: Disconnect / Disable Access - parameters: - - - id: ac-17.9_prm_1 - label: organization-defined time period - constraints: - - - detail: fifteen (15) minutes - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-17(9) - - - name: sort-id - value: ac-17.09 - parts: - - - id: ac-17.9_smt - name: statement - prose: - """ - The organization provides the capability to expeditiously disconnect or disable - remote access to the information system within {{ ac-17.9_prm_1 }}. - """ - - - id: ac-17.9_gdn - name: guidance - prose: - """ - This control enhancement requires organizations to have the capability to rapidly - disconnect current users remotely accessing the information system and/or disable - further remote access. The speed of disconnect or disablement varies based on the - criticality of missions/business functions and the need to eliminate immediate or - future remote access to organizational information systems. - """ - - - id: ac-17.9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.9_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(9)[1] - prose: - """ - defines the time period within which to expeditiously disconnect or disable - remote access to the information system; and - """ - - - id: ac-17.9_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(9)[2] - prose: - """ - provides the capability to expeditiously disconnect or disable remote access to - the information system within the organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing disconnecting or disabling remote access to the - information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan, information system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing capability to disconnect or disable remote - access to information system - """ - - - id: ac-18 - class: SP800-53 - title: Wireless Access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-18 - - - name: sort-id - value: ac-18 - links: - - - href: #238ed479-eccb-49f6-82ec-ab74a7a428cf - rel: reference - text: NIST Special Publication 800-48 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #6f336ecd-f2a0-4c84-9699-0491d81b6e0d - rel: reference - text: NIST Special Publication 800-97 - parts: - - - id: ac-18_smt - name: statement - prose: The organization: - parts: - - - id: ac-18_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and - """ - - - id: ac-18_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes wireless access to the information system prior to allowing such - connections. - """ - - - id: ac-18_gdn - name: guidance - prose: - """ - Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-18.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-18(a) - prose: establishes for wireless access: - parts: - - - id: ac-18.a_obj.1 - name: objective - properties: - - - name: label - value: AC-18(a)[1] - prose: usage restrictions; - - - id: ac-18.a_obj.2 - name: objective - properties: - - - name: label - value: AC-18(a)[2] - prose: configuration/connection requirement; - - - id: ac-18.a_obj.3 - name: objective - properties: - - - name: label - value: AC-18(a)[3] - prose: implementation guidance; and - - - id: ac-18.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-18(b) - prose: - """ - authorizes wireless access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nwireless access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing wireless access - connections\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Wireless access management capability for the information system - controls: - - - id: ac-18.1 - class: SP800-53-enhancement - title: Authentication and Encryption - parameters: - - - id: ac-18.1_prm_1 - properties: - - - name: label - value: AC-18(1) - - - name: sort-id - value: ac-18.01 - parts: - - - id: ac-18.1_smt - name: statement - prose: - """ - The information system protects wireless access to the system using authentication - of {{ ac-18.1_prm_1 }} and encryption. - """ - - - id: ac-18.1_gdn - name: guidance - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-18.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system protects wireless access to the system using - encryption and one or more of the following: - """ - parts: - - - id: ac-18.1_obj.1 - name: objective - properties: - - - name: label - value: AC-18(1)[1] - prose: authentication of users; and/or - - - id: ac-18.1_obj.2 - name: objective - properties: - - - name: label - value: AC-18(1)[2] - prose: authentication of devices. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless implementation and usage (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing wireless access protections to the - information system - """ - - - id: ac-18.3 - class: SP800-53-enhancement - title: Disable Wireless Networking - properties: - - - name: label - value: AC-18(3) - - - name: sort-id - value: ac-18.03 - parts: - - - id: ac-18.3_smt - name: statement - prose: - """ - The organization disables, when not intended for use, wireless networking - capabilities internally embedded within information system components prior to - issuance and deployment. - """ - - - id: ac-18.3_gdn - name: guidance - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - id: ac-18.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization disables, when not intended for use, wireless - networking capabilities internally embedded within information system components - prior to issuance and deployment. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless implementation and usage (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms managing the disabling of wireless networking capabilities - internally embedded within information system components - """ - - - id: ac-18.4 - class: SP800-53-enhancement - title: Restrict Configurations by Users - properties: - - - name: label - value: AC-18(4) - - - name: sort-id - value: ac-18.04 - parts: - - - id: ac-18.4_smt - name: statement - prose: - """ - The organization identifies and explicitly authorizes users allowed to - independently configure wireless networking capabilities. - """ - - - id: ac-18.4_gdn - name: guidance - prose: - """ - Organizational authorizations to allow selected users to configure wireless - networking capability are enforced in part, by the access enforcement mechanisms - employed within organizational information systems. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #sc-15 - rel: related - text: SC-15 - - - id: ac-18.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-18.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-18(4)[1] - prose: - """ - identifies users allowed to independently configure wireless networking - capabilities; and - """ - - - id: ac-18.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-18(4)[2] - prose: - """ - explicitly authorizes the identified users allowed to independently configure - wireless networking capabilities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless implementation and usage (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms authorizing independent user configuration of wireless - networking capabilities - """ - - - id: ac-18.5 - class: SP800-53-enhancement - title: Antennas / Transmission Power Levels - properties: - - - name: label - value: AC-18(5) - - - name: sort-id - value: ac-18.05 - parts: - - - id: ac-18.5_smt - name: statement - prose: - """ - The organization selects radio antennas and calibrates transmission power levels - to reduce the probability that usable signals can be received outside of - organization-controlled boundaries. - """ - - - id: ac-18.5_gdn - name: guidance - prose: - """ - Actions that may be taken by organizations to limit unauthorized use of wireless - communications outside of organization-controlled boundaries include, for example: - (i) reducing the power of wireless transmissions so that the transmissions are - less likely to emit a signal that can be used by adversaries outside of the - physical perimeters of organizations; (ii) employing measures such as TEMPEST to - control wireless emanations; and (iii) using directional/beam forming antennas - that reduce the likelihood that unintended receivers will be able to intercept - signals. Prior to taking such actions, organizations can conduct periodic wireless - surveys to understand the radio frequency profile of organizational information - systems as well as other systems that may be operating in the area. - """ - links: - - - href: #pe-19 - rel: related - text: PE-19 - - - id: ac-18.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-18.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-18(5)[1] - prose: - """ - selects radio antennas to reduce the probability that usable signals can be - received outside of organization-controlled boundaries; and - """ - - - id: ac-18.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-18(5)[2] - prose: - """ - calibrates transmission power levels to reduce the probability that usable - signals can be received outside of organization-controlled boundaries. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless implementation and usage (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Wireless access capability protecting usable signals from unauthorized access - outside organization-controlled boundaries - """ - - - id: ac-19 - class: SP800-53 - title: Access Control for Mobile Devices - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-19 - - - name: sort-id - value: ac-19 - links: - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589 - rel: reference - text: NIST Special Publication 800-124 - - - href: #6513e480-fada-4876-abba-1397084dfb26 - rel: reference - text: NIST Special Publication 800-164 - parts: - - - id: ac-19_smt - name: statement - prose: The organization: - parts: - - - id: ac-19_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and - """ - - - id: ac-19_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes the connection of mobile devices to organizational information - systems. - """ - - - id: ac-19_gdn - name: guidance - prose: - """ - A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-9 - rel: related - text: CA-9 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-43 - rel: related - text: SC-43 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-19.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-19(a) - prose: establishes for organization-controlled mobile devices: - parts: - - - id: ac-19.a_obj.1 - name: objective - properties: - - - name: label - value: AC-19(a)[1] - prose: usage restrictions; - - - id: ac-19.a_obj.2 - name: objective - properties: - - - name: label - value: AC-19(a)[2] - prose: configuration/connection requirement; - - - id: ac-19.a_obj.3 - name: objective - properties: - - - name: label - value: AC-19(a)[3] - prose: implementation guidance; and - - - id: ac-19.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-19(b) - prose: - """ - authorizes the connection of mobile devices to organizational information - systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing access control for mobile device usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nauthorizations for mobile device connections to organizational information - systems\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel using mobile devices to access organizational information - systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Access control capability authorizing mobile device connections to organizational - information systems - """ - controls: - - - id: ac-19.5 - class: SP800-53-enhancement - title: Full Device / Container-based Encryption - parameters: - - - id: ac-19.5_prm_1 - - - id: ac-19.5_prm_2 - label: organization-defined mobile devices - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-19(5) - - - name: sort-id - value: ac-19.05 - parts: - - - id: ac-19.5_smt - name: statement - prose: - """ - The organization employs {{ ac-19.5_prm_1 }} to protect the - confidentiality and integrity of information on {{ ac-19.5_prm_2 }}. - """ - - - id: ac-19.5_gdn - name: guidance - prose: - """ - Container-based encryption provides a more fine-grained approach to the encryption - of data/information on mobile devices, including for example, encrypting selected - data structures such as files, records, or fields. - """ - links: - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: ac-19.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-19.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-19(5)[1] - prose: - """ - defines mobile devices for which full-device encryption or container encryption - is required to protect the confidentiality and integrity of information on such - devices; and - """ - - - id: ac-19.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-19(5)[2] - prose: - """ - employs full-device encryption or container encryption to protect the - confidentiality and integrity of information on organization-defined mobile - devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing access control for mobile devices\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nencryption mechanism s and associated configuration documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with access control responsibilities for mobile - devices\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Encryption mechanisms protecting confidentiality and integrity of information - on mobile devices - """ - - - id: ac-20 - class: SP800-53 - title: Use of External Information Systems - properties: - - - name: label - value: AC-20 - - - name: sort-id - value: ac-20 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - parts: - - - id: ac-20_smt - name: statement - prose: - """ - The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: Access the information system from external information systems; and - - - id: ac-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Process, store, or transmit organization-controlled information using external - information systems. - """ - - - id: ac-20_gdn - name: guidance - prose: - """ - External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ac-20_obj - name: objective - prose: - """ - Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-20(a) - prose: access the information system from the external information systems; and - - - id: ac-20.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-20(b) - prose: - """ - process, store, or transmit organization-controlled information using external - information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing the use of external information systems\n\nexternal information systems terms and conditions\n\nlist of types of applications accessible from external information systems\n\nmaximum security categorization for information processed, stored, or transmitted - on external information systems\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing terms and conditions on use of external - information systems - """ - controls: - - - id: ac-20.1 - class: SP800-53-enhancement - title: Limits On Authorized Use - properties: - - - name: label - value: AC-20(1) - - - name: sort-id - value: ac-20.01 - parts: - - - id: ac-20.1_smt - name: statement - prose: - """ - The organization permits authorized individuals to use an external information - system to access the information system or to process, store, or transmit - organization-controlled information only when the organization: - """ - parts: - - - id: ac-20.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or - """ - - - id: ac-20.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Retains approved information system connection or processing agreements with - the organizational entity hosting the external information system. - """ - - - id: ac-20.1_gdn - name: guidance - prose: - """ - This control enhancement recognizes that there are circumstances where individuals - using external information systems (e.g., contractors, coalition partners) need to - access organizational information systems. In those situations, organizations need - confidence that the external information systems contain the necessary security - safeguards (i.e., security controls), so as not to compromise, damage, or - otherwise harm organizational information systems. Verification that the required - security controls have been implemented can be achieved, for example, by - third-party, independent assessments, attestations, or other means, depending on - the confidence level required by organizations. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - id: ac-20.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization permits authorized individuals to use an external - information system to access the information system or to process, store, or - transmit organization-controlled information only when the organization: - """ - parts: - - - id: ac-20.1.a_obj - name: objective - properties: - - - name: label - value: AC-20(1)(a) - prose: - """ - verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or - """ - links: - - - href: #ac-20.1_smt.a - rel: corresp - text: AC-20(1)(a) - - - id: ac-20.1.b_obj - name: objective - properties: - - - name: label - value: AC-20(1)(b) - prose: - """ - retains approved information system connection or processing agreements with - the organizational entity hosting the external information system. - """ - links: - - - href: #ac-20.1_smt.b - rel: corresp - text: AC-20(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing the use of external information systems\n\nsecurity plan\n\ninformation system connection or processing agreements\n\naccount management documents\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing limits on use of external information - systems - """ - - - id: ac-20.2 - class: SP800-53-enhancement - title: Portable Storage Devices - parameters: - - - id: ac-20.2_prm_1 - properties: - - - name: label - value: AC-20(2) - - - name: sort-id - value: ac-20.02 - parts: - - - id: ac-20.2_smt - name: statement - prose: - """ - The organization {{ ac-20.2_prm_1 }} the use of - organization-controlled portable storage devices by authorized individuals on - external information systems. - """ - - - id: ac-20.2_gdn - name: guidance - prose: - """ - Limits on the use of organization-controlled portable storage devices in external - information systems include, for example, complete prohibition of the use of such - devices or restrictions on how the devices may be used and under what conditions - the devices may be used. - """ - - - id: ac-20.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization restricts or prohibits the use of - organization-controlled portable storage devices by authorized individuals on - external information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing the use of external information systems\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\ninformation system connection or processing agreements\n\naccount management documents\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for restricting or prohibiting - use of organization-controlled storage devices on external information - systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing restrictions on use of portable storage - devices - """ - - - id: ac-21 - class: SP800-53 - title: Information Sharing - parameters: - - - id: ac-21_prm_1 - label: - """ - organization-defined information sharing circumstances where user discretion is - required - """ - - - id: ac-21_prm_2 - label: organization-defined automated mechanisms or manual processes - properties: - - - name: label - value: AC-21 - - - name: sort-id - value: ac-21 - parts: - - - id: ac-21_smt - name: statement - prose: The organization: - parts: - - - id: ac-21_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Facilitates information sharing by enabling authorized users to determine whether - access authorizations assigned to the sharing partner match the access - restrictions on the information for {{ ac-21_prm_1 }}; and - """ - - - id: ac-21_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs {{ ac-21_prm_2 }} to assist users in making information - sharing/collaboration decisions. - """ - - - id: ac-21_gdn - name: guidance - prose: - """ - This control applies to information that may be restricted in some manner (e.g., - privileged medical information, contract-sensitive information, proprietary - information, personally identifiable information, classified information related to - special access programs or compartments) based on some formal or administrative - determination. Depending on the particular information-sharing circumstances, sharing - partners may be defined at the individual, group, or organizational level. - Information may be defined by content, type, security category, or special access - program/compartment. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - id: ac-21_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-21.a_obj - name: objective - properties: - - - name: label - value: AC-21(a) - parts: - - - id: ac-21.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-21(a)[1] - prose: - """ - defines information sharing circumstances where user discretion is - required; - """ - - - id: ac-21.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-21(a)[2] - prose: - """ - facilitates information sharing by enabling authorized users to determine - whether access authorizations assigned to the sharing partner match the access - restrictions on the information for organization-defined information sharing - circumstances; - """ - - - id: ac-21.b_obj - name: objective - properties: - - - name: label - value: AC-21(b) - parts: - - - id: ac-21.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-21(b)[1] - prose: - """ - defines automated mechanisms or manual processes to be employed to assist users - in making information sharing/collaboration decisions; and - """ - - - id: ac-21.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-21(b)[2] - prose: - """ - employs organization-defined automated mechanisms or manual processes to assist - users in making information sharing/collaboration decisions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of users authorized to make information sharing/collaboration decisions\n\nlist of information sharing circumstances requiring user discretion\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel responsible for making information sharing/collaboration - decisions\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms or manual process implementing access authorizations - supporting information sharing/user collaboration decisions - """ - - - id: ac-22 - class: SP800-53 - title: Publicly Accessible Content - parameters: - - - id: ac-22_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least quarterly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-22 - - - name: sort-id - value: ac-22 - parts: - - - id: ac-22_smt - name: statement - prose: The organization: - parts: - - - id: ac-22_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and - """ - - - id: ac-22_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Reviews the content on the publicly accessible information system for nonpublic - information {{ ac-22_prm_1 }} and removes such information, if - discovered. - """ - - - id: ac-22_gdn - name: guidance - prose: - """ - In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-13 - rel: related - text: AU-13 - - - id: ac-22_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-22.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-22(a) - prose: - """ - designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(b) - prose: - """ - trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(c) - prose: - """ - reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; - """ - - - id: ac-22.d_obj - name: objective - properties: - - - name: label - value: AC-22(d) - parts: - - - id: ac-22.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-22(d)[1] - prose: - """ - defines the frequency to review the content on the publicly accessible - information system for nonpublic information; - """ - - - id: ac-22.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(d)[2] - prose: - """ - reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and - """ - - - id: ac-22.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(d)[3] - prose: - """ - removes nonpublic information from the publicly accessible information system, - if discovered. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing publicly accessible content\n\nlist of users authorized to post publicly accessible content on organizational - information systems\n\ntraining materials and/or records\n\nrecords of publicly accessible information reviews\n\nrecords of response to nonpublic information on public websites\n\nsystem audit logs\n\nsecurity awareness training records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing management of publicly accessible content - - - id: at - class: family - title: Awareness and Training - controls: - - - id: at-1 - class: SP800-53 - title: Security Awareness and Training Policy and Procedures - parameters: - - - id: at-1_prm_1 - label: organization-defined personnel or roles - - - id: at-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - - - id: at-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-1 - - - name: sort-id - value: at-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: at-1_smt - name: statement - prose: The organization: - parts: - - - id: at-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ at-1_prm_1 }}: - parts: - - - id: at-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: at-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and - """ - - - id: at-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: at-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security awareness and training policy {{ at-1_prm_2 }}; and - - - id: at-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security awareness and training procedures {{ at-1_prm_3 }}. - - - id: at-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: at-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-1.a_obj - name: objective - properties: - - - name: label - value: AT-1(a) - parts: - - - id: at-1.a.1_obj - name: objective - properties: - - - name: label - value: AT-1(a)(1) - parts: - - - id: at-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(1)[1] - prose: - """ - develops and documents an security awareness and training policy that - addresses: - """ - parts: - - - id: at-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][a] - prose: purpose; - - - id: at-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][b] - prose: scope; - - - id: at-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][c] - prose: roles; - - - id: at-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][d] - prose: responsibilities; - - - id: at-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][e] - prose: management commitment; - - - id: at-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: at-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][g] - prose: compliance; - - - id: at-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security awareness and training - policy are to be disseminated; - """ - - - id: at-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-1(a)(1)[3] - prose: - """ - disseminates the security awareness and training policy to - organization-defined personnel or roles; - """ - - - id: at-1.a.2_obj - name: objective - properties: - - - name: label - value: AT-1(a)(2) - parts: - - - id: at-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls; - """ - - - id: at-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: at-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: at-1.b_obj - name: objective - properties: - - - name: label - value: AT-1(b) - parts: - - - id: at-1.b.1_obj - name: objective - properties: - - - name: label - value: AT-1(b)(1) - parts: - - - id: at-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training policy; - """ - - - id: at-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(1)[2] - prose: - """ - reviews and updates the current security awareness and training policy with - the organization-defined frequency; - """ - - - id: at-1.b.2_obj - name: objective - properties: - - - name: label - value: AT-1(b)(2) - parts: - - - id: at-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training procedures; and - """ - - - id: at-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(2)[2] - prose: - """ - reviews and updates the current security awareness and training procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security awareness and training responsibilities\n\norganizational personnel with information security responsibilities - - - id: at-2 - class: SP800-53 - title: Security Awareness Training - parameters: - - - id: at-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-2 - - - name: sort-id - value: at-02 - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-2_smt - name: statement - prose: - """ - The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors): - """ - parts: - - - id: at-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: As part of initial training for new users; - - - id: at-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-2_prm_1 }} thereafter. - """ - - - id: at-2_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: at-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-2(a) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users; - """ - - - id: at-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-2(b) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and - """ - - - id: at-2.c_obj - name: objective - properties: - - - name: label - value: AT-2(c) - parts: - - - id: at-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-2(c)[1] - prose: - """ - defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and - """ - - - id: at-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-2(c)[2] - prose: - """ - provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nappropriate codes of federal regulations\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for security awareness training\n\norganizational personnel with information security responsibilities\n\norganizational personnel comprising the general information system user - community - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing security awareness training - controls: - - - id: at-2.2 - class: SP800-53-enhancement - title: Insider Threat - properties: - - - name: label - value: AT-2(2) - - - name: sort-id - value: at-02.02 - parts: - - - id: at-2.2_smt - name: statement - prose: - """ - The organization includes security awareness training on recognizing and reporting - potential indicators of insider threat. - """ - - - id: at-2.2_gdn - name: guidance - prose: - """ - Potential indicators and possible precursors of insider threat can include - behaviors such as inordinate, long-term job dissatisfaction, attempts to gain - access to information not required for job performance, unexplained access to - financial resources, bullying or sexual harassment of fellow employees, workplace - violence, and other serious violations of organizational policies, procedures, - directives, rules, or practices. Security awareness training includes how to - communicate employee and management concerns regarding potential indicators of - insider threat through appropriate organizational channels in accordance with - established organizational policies and procedures. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #pm-12 - rel: related - text: PM-12 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: at-2.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization includes security awareness training on recognizing - and reporting potential indicators of insider threat. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel that participate in security awareness training\n\norganizational personnel with responsibilities for basic security awareness - training\n\norganizational personnel with information security responsibilities - """ - - - id: at-3 - class: SP800-53 - title: Role-based Security Training - parameters: - - - id: at-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-3 - - - name: sort-id - value: at-03 - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-3_smt - name: statement - prose: - """ - The organization provides role-based security training to personnel with assigned - security roles and responsibilities: - """ - parts: - - - id: at-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Before authorizing access to the information system or performing assigned - duties; - """ - - - id: at-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-3_prm_1 }} thereafter. - """ - - - id: at-3_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-16 - rel: related - text: SA-16 - - - id: at-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(a) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties; - """ - - - id: at-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(b) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and - """ - - - id: at-3.c_obj - name: objective - properties: - - - name: label - value: AT-3(c) - parts: - - - id: at-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-3(c)[1] - prose: - """ - defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and - """ - - - id: at-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-3(c)[2] - prose: - """ - provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training implementation\n\ncodes of federal regulations\n\nsecurity training curriculum\n\nsecurity training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for role-based security - training\n\norganizational personnel with assigned information system security roles and - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing role-based security training - controls: - - - id: at-3.3 - class: SP800-53-enhancement - title: Practical Exercises - properties: - - - name: label - value: AT-3(3) - - - name: sort-id - value: at-03.03 - parts: - - - id: at-3.3_smt - name: statement - prose: - """ - The organization includes practical exercises in security training that reinforce - training objectives. - """ - - - id: at-3.3_gdn - name: guidance - prose: - """ - Practical exercises may include, for example, security training for software - developers that includes simulated cyber attacks exploiting common software - vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted - at senior leaders/executives. These types of practical exercises help developers - better understand the effects of such vulnerabilities and appreciate the need for - security coding standards and processes. - """ - - - id: at-3.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization includes practical exercises in security training - that reinforce training objectives. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for role-based security - training\n\norganizational personnel that participate in security awareness training - """ - - - id: at-3.4 - class: SP800-53-enhancement - title: Suspicious Communications and Anomalous System Behavior - parameters: - - - id: at-3.4_prm_1 - label: organization-defined indicators of malicious code - constraints: - - - detail: malicious code indicators as defined by organization incident policy/capability. - properties: - - - name: label - value: AT-3(4) - - - name: sort-id - value: at-03.04 - parts: - - - id: at-3.4_smt - name: statement - prose: - """ - The organization provides training to its personnel on {{ at-3.4_prm_1 }} to recognize suspicious communications and anomalous - behavior in organizational information systems. - """ - - - id: at-3.4_gdn - name: guidance - prose: - """ - A well-trained workforce provides another organizational safeguard that can be - employed as part of a defense-in-depth strategy to protect organizations against - malicious code coming in to organizations via email or the web applications. - Personnel are trained to look for indications of potentially suspicious email - (e.g., receiving an unexpected email, receiving an email containing strange or - poor grammar, or receiving an email from an unfamiliar sender but who appears to - be from a known sponsor or contractor). Personnel are also trained on how to - respond to such suspicious email or web communications (e.g., not opening - attachments, not clicking on embedded web links, and checking the source of email - addresses). For this process to work effectively, all organizational personnel are - trained and made aware of what constitutes suspicious communications. Training - personnel on how to recognize anomalous behaviors in organizational information - systems can potentially provide early warning for the presence of malicious code. - Recognition of such anomalous behavior by organizational personnel can supplement - automated malicious code detection and protection tools and systems employed by - organizations. - """ - - - id: at-3.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-3.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-3(4)[1] - prose: defines indicators of malicious code; and - - - id: at-3.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(4)[2] - prose: - """ - provides training to its personnel on organization-defined indicators of - malicious code to recognize suspicious communications and anomalous behavior in - organizational information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training implementation\n\nsecurity training curriculum\n\nsecurity training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for role-based security - training\n\norganizational personnel that participate in security awareness training - """ - - - id: at-4 - class: SP800-53 - title: Security Training Records - parameters: - - - id: at-4_prm_1 - label: organization-defined time period - constraints: - - - detail: five (5) years or 5 years after completion of a specific training program - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-4 - - - name: sort-id - value: at-04 - parts: - - - id: at-4_smt - name: statement - prose: The organization: - parts: - - - id: at-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and - """ - - - id: at-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Retains individual training records for {{ at-4_prm_1 }}. - - - id: at-4_gdn - name: guidance - prose: - """ - Documentation for specialized training may be maintained by individual supervisors at - the option of the organization. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-14 - rel: related - text: PM-14 - - - id: at-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-4.a_obj - name: objective - properties: - - - name: label - value: AT-4(a) - parts: - - - id: at-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-4(a)[1] - prose: - """ - documents individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.1.a - name: objective - properties: - - - name: label - value: AT-4(a)[1][a] - prose: basic security awareness training; - - - id: at-4.a_obj.1.b - name: objective - properties: - - - name: label - value: AT-4(a)[1][b] - prose: specific role-based information system security training; - - - id: at-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-4(a)[2] - prose: - """ - monitors individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.2.a - name: objective - properties: - - - name: label - value: AT-4(a)[2][a] - prose: basic security awareness training; - - - id: at-4.a_obj.2.b - name: objective - properties: - - - name: label - value: AT-4(a)[2][b] - prose: specific role-based information system security training; - - - id: at-4.b_obj - name: objective - properties: - - - name: label - value: AT-4(b) - parts: - - - id: at-4.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-4(b)[1] - prose: defines a time period to retain individual training records; and - - - id: at-4.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-4(b)[2] - prose: - """ - retains individual training records for the organization-defined time - period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training records\n\nsecurity awareness and training records\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security training record retention - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting management of security training records - - - id: au - class: family - title: Audit and Accountability - controls: - - - id: au-1 - class: SP800-53 - title: Audit and Accountability Policy and Procedures - parameters: - - - id: au-1_prm_1 - label: organization-defined personnel or roles - - - id: au-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: au-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-1 - - - name: sort-id - value: au-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: au-1_smt - name: statement - prose: The organization: - parts: - - - id: au-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ au-1_prm_1 }}: - parts: - - - id: au-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: au-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and - """ - - - id: au-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: au-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Audit and accountability policy {{ au-1_prm_2 }}; and - - - id: au-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Audit and accountability procedures {{ au-1_prm_3 }}. - - - id: au-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: au-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-1.a_obj - name: objective - properties: - - - name: label - value: AU-1(a) - parts: - - - id: au-1.a.1_obj - name: objective - properties: - - - name: label - value: AU-1(a)(1) - parts: - - - id: au-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(1)[1] - prose: - """ - develops and documents an audit and accountability policy that - addresses: - """ - parts: - - - id: au-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][a] - prose: purpose; - - - id: au-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][b] - prose: scope; - - - id: au-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][c] - prose: roles; - - - id: au-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][d] - prose: responsibilities; - - - id: au-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][e] - prose: management commitment; - - - id: au-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: au-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][g] - prose: compliance; - - - id: au-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the audit and accountability policy are - to be disseminated; - """ - - - id: au-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-1(a)(1)[3] - prose: - """ - disseminates the audit and accountability policy to organization-defined - personnel or roles; - """ - - - id: au-1.a.2_obj - name: objective - properties: - - - name: label - value: AU-1(a)(2) - parts: - - - id: au-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls; - """ - - - id: au-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: au-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: au-1.b_obj - name: objective - properties: - - - name: label - value: AU-1(b) - parts: - - - id: au-1.b.1_obj - name: objective - properties: - - - name: label - value: AU-1(b)(1) - parts: - - - id: au-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability policy; - """ - - - id: au-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(1)[2] - prose: - """ - reviews and updates the current audit and accountability policy with the - organization-defined frequency; - """ - - - id: au-1.b.2_obj - name: objective - properties: - - - name: label - value: AU-1(b)(2) - parts: - - - id: au-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability procedures; and - """ - - - id: au-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(2)[2] - prose: - """ - reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities - - - id: au-2 - class: SP800-53 - title: Audit Events - parameters: - - - id: au-2_prm_1 - label: organization-defined auditable events - constraints: - - - detail: successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - id: au-2_prm_2 - label: - """ - organization-defined audited events (the subset of the auditable events defined - in AU-2 a.) along with the frequency of (or situation requiring) auditing for each - identified event - """ - constraints: - - - detail: organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-2 - - - name: sort-id - value: au-02 - links: - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: au-2_smt - name: statement - prose: The organization: - parts: - - - id: au-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines that the information system is capable of auditing the following - events: {{ au-2_prm_1 }}; - """ - - - id: au-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and - """ - - - id: au-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Determines that the following events are to be audited within the information - system: {{ au-2_prm_2 }}. - """ - - - id: au-2_fr - name: item - title: AU-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - id: au-2_gdn - name: guidance - prose: - """ - An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-2.a_obj - name: objective - properties: - - - name: label - value: AU-2(a) - parts: - - - id: au-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(a)[1] - prose: - """ - defines the auditable events that the information system must be capable of - auditing; - """ - - - id: au-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-2(a)[2] - prose: - """ - determines that the information system is capable of auditing - organization-defined auditable events; - """ - - - id: au-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(b) - prose: - """ - coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(c) - prose: - """ - provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; - """ - - - id: au-2.d_obj - name: objective - properties: - - - name: label - value: AU-2(d) - parts: - - - id: au-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(d)[1] - prose: - """ - defines the subset of auditable events defined in AU-2a that are to be audited - within the information system; - """ - - - id: au-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(d)[2] - prose: - """ - determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and - """ - - - id: au-2.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(d)[3] - prose: - """ - determines the frequency of (or situation requiring) auditing for each - identified event. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing auditable events\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\ninformation system auditable events\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information system auditing - controls: - - - id: au-2.3 - class: SP800-53-enhancement - title: Reviews and Updates - parameters: - - - id: au-2.3_prm_1 - label: organization-defined frequency - constraints: - - - detail: annually or whenever there is a change in the threat environment - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-2(3) - - - name: sort-id - value: au-02.03 - parts: - - - id: au-2.3_smt - name: statement - prose: The organization reviews and updates the audited events {{ au-2.3_prm_1 }}. - parts: - - - id: au-2.3_fr - name: item - title: AU-2 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO. - - - id: au-2.3_gdn - name: guidance - prose: - """ - Over time, the events that organizations believe should be audited may change. - Reviewing and updating the set of audited events periodically is necessary to - ensure that the current set is still necessary and sufficient. - """ - - - id: au-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(3)[1] - prose: defines the frequency to review and update the audited events; and - - - id: au-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-2(3)[2] - prose: - """ - reviews and updates the auditable events with organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing auditable events\n\nsecurity plan\n\nlist of organization-defined auditable events\n\nauditable events review and update records\n\ninformation system audit records\n\ninformation system incident reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting review and update of auditable events - - - id: au-3 - class: SP800-53 - title: Content of Audit Records - properties: - - - name: label - value: AU-3 - - - name: sort-id - value: au-03 - parts: - - - id: au-3_smt - name: statement - prose: - """ - The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event. - """ - - - id: au-3_gdn - name: guidance - prose: - """ - Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-8 - rel: related - text: AU-8 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #si-11 - rel: related - text: SI-11 - - - id: au-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system generates audit records containing information - that establishes: - """ - parts: - - - id: au-3_obj.1 - name: objective - properties: - - - name: label - value: AU-3[1] - prose: what type of event occurred; - - - id: au-3_obj.2 - name: objective - properties: - - - name: label - value: AU-3[2] - prose: when the event occurred; - - - id: au-3_obj.3 - name: objective - properties: - - - name: label - value: AU-3[3] - prose: where the event occurred; - - - id: au-3_obj.4 - name: objective - properties: - - - name: label - value: AU-3[4] - prose: the source of the event; - - - id: au-3_obj.5 - name: objective - properties: - - - name: label - value: AU-3[5] - prose: the outcome of the event; and - - - id: au-3_obj.6 - name: objective - properties: - - - name: label - value: AU-3[6] - prose: the identity of any individuals or subjects associated with the event. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\ninformation system incident reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system auditing of auditable - events - """ - controls: - - - id: au-3.1 - class: SP800-53-enhancement - title: Additional Audit Information - parameters: - - - id: au-3.1_prm_1 - label: organization-defined additional, more detailed information - constraints: - - - detail: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands - properties: - - - name: label - value: AU-3(1) - - - name: sort-id - value: au-03.01 - parts: - - - id: au-3.1_smt - name: statement - prose: - """ - The information system generates audit records containing the following additional - information: {{ au-3.1_prm_1 }}. - """ - parts: - - - id: au-3.1_fr - name: item - title: AU-3 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-3.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO. - - - id: au-3.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry. - - - id: au-3.1_gdn - name: guidance - prose: - """ - Detailed information that organizations may consider in audit records includes, - for example, full text recording of privileged commands or the individual - identities of group account users. Organizations consider limiting the additional - audit information to only that information explicitly needed for specific audit - requirements. This facilitates the use of audit trails and audit logs by not - including information that could potentially be misleading or could make it more - difficult to locate information of interest. - """ - - - id: au-3.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-3.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-3(1)[1] - prose: - """ - the organization defines additional, more detailed information to be contained - in audit records that the information system generates; and - """ - - - id: au-3.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-3(1)[2] - prose: - """ - the information system generates audit records containing the - organization-defined additional, more detailed information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Information system audit capability - - - id: au-3.2 - class: SP800-53-enhancement - title: Centralized Management of Planned Audit Record Content - parameters: - - - id: au-3.2_prm_1 - label: organization-defined information system components - constraints: - - - detail: all network, data storage, and computing devices - properties: - - - name: label - value: AU-3(2) - - - name: sort-id - value: au-03.02 - parts: - - - id: au-3.2_smt - name: statement - prose: - """ - The information system provides centralized management and configuration of the - content to be captured in audit records generated by {{ au-3.2_prm_1 }}. - """ - - - id: au-3.2_gdn - name: guidance - prose: - """ - This control enhancement requires that the content to be captured in audit records - be configured from a central location (necessitating automation). Organizations - coordinate the selection of required audit content to support the centralized - management and configuration capability provided by the information system. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - id: au-3.2_obj - name: objective - prose: Determine if: - parts: - - - id: au-3.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-3(2)[1] - prose: - """ - the organization defines information system components that generate audit - records whose content is to be centrally managed and configured by the - information system; and - """ - - - id: au-3.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-3(2)[2] - prose: - """ - the information system provides centralized management and configuration of the - content to be captured in audit records generated by the organization-defined - information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Information system capability implementing centralized management and - configuration of audit record content - """ - - - id: au-4 - class: SP800-53 - title: Audit Storage Capacity - parameters: - - - id: au-4_prm_1 - label: organization-defined audit record storage requirements - properties: - - - name: label - value: AU-4 - - - name: sort-id - value: au-04 - parts: - - - id: au-4_smt - name: statement - prose: The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}. - - - id: au-4_gdn - name: guidance - prose: - """ - Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-4_obj.1 - name: objective - properties: - - - name: label - value: AU-4[1] - prose: defines audit record storage requirements; and - - - id: au-4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-4[2] - prose: - """ - allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit storage capacity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit record storage requirements\n\naudit record storage capability for information system components\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit record storage capacity and related configuration settings - - - id: au-5 - class: SP800-53 - title: Response to Audit Processing Failures - parameters: - - - id: au-5_prm_1 - label: organization-defined personnel or roles - - - id: au-5_prm_2 - label: - """ - organization-defined actions to be taken (e.g., shut down information system, - overwrite oldest audit records, stop generating audit records) - """ - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - properties: - - - name: label - value: AU-5 - - - name: sort-id - value: au-05 - parts: - - - id: au-5_smt - name: statement - prose: The information system: - parts: - - - id: au-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Alerts {{ au-5_prm_1 }} in the event of an audit processing - failure; and - """ - - - id: au-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Takes the following additional actions: {{ au-5_prm_2 }}. - - - id: au-5_gdn - name: guidance - prose: - """ - Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #si-12 - rel: related - text: SI-12 - - - id: au-5_obj - name: objective - prose: Determine if: - parts: - - - id: au-5.a_obj - name: objective - properties: - - - name: label - value: AU-5(a) - parts: - - - id: au-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(a)[1] - prose: - """ - the organization defines the personnel or roles to be alerted in the event of - an audit processing failure; - """ - - - id: au-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(a)[2] - prose: - """ - the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure; - """ - - - id: au-5.b_obj - name: objective - properties: - - - name: label - value: AU-5(b) - parts: - - - id: au-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(b)[1] - prose: - """ - the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and - """ - - - id: au-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(b)[2] - prose: - """ - the information system takes the additional organization-defined actions in the - event of an audit processing failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nlist of personnel to be notified in case of an audit processing failure\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system response to audit processing - failures - """ - controls: - - - id: au-5.1 - class: SP800-53-enhancement - title: Audit Storage Capacity - parameters: - - - id: au-5.1_prm_1 - label: organization-defined personnel, roles, and/or locations - - - id: au-5.1_prm_2 - label: organization-defined time period - - - id: au-5.1_prm_3 - label: organization-defined percentage - properties: - - - name: label - value: AU-5(1) - - - name: sort-id - value: au-05.01 - parts: - - - id: au-5.1_smt - name: statement - prose: - """ - The information system provides a warning to {{ au-5.1_prm_1 }} - within {{ au-5.1_prm_2 }} when allocated audit record storage - volume reaches {{ au-5.1_prm_3 }} of repository maximum audit - record storage capacity. - """ - - - id: au-5.1_gdn - name: guidance - prose: - """ - Organizations may have multiple audit data storage repositories distributed across - multiple information system components, with each repository having different - storage volume capacities. - """ - - - id: au-5.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-5.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(1)[1] - prose: the organization defines: - parts: - - - id: au-5.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-5(1)[1][a] - prose: - """ - personnel to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity; - """ - - - id: au-5.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-5(1)[1][b] - prose: - """ - roles to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity; and/or - """ - - - id: au-5.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-5(1)[1][c] - prose: - """ - locations to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity; - """ - - - id: au-5.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(1)[2] - prose: - """ - the organization defines the time period within which the information system is - to provide a warning to the organization-defined personnel, roles, and/or - locations when allocated audit record storage volume reaches the - organization-defined percentage of repository maximum audit record storage - capacity; - """ - - - id: au-5.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(1)[3] - prose: - """ - the organization defines the percentage of repository maximum audit record - storage capacity that, if reached, requires a warning to be provided; and - """ - - - id: au-5.1_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(1)[4] - prose: - """ - the information system provides a warning to the organization-defined - personnel, roles, and/or locations within the organization-defined time period - when allocated audit record storage volume reaches the organization-defined - percentage of repository maximum audit record storage capacity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit storage limit warnings - - - id: au-5.2 - class: SP800-53-enhancement - title: Real-time Alerts - parameters: - - - id: au-5.2_prm_1 - label: organization-defined real-time period - constraints: - - - detail: real-time - - - id: au-5.2_prm_2 - label: organization-defined personnel, roles, and/or locations - constraints: - - - detail: service provider personnel with authority to address failed audit events - - - id: au-5.2_prm_3 - label: organization-defined audit failure events requiring real-time alerts - constraints: - - - detail: audit failure events requiring real-time alerts, as defined by organization audit policy - properties: - - - name: label - value: AU-5(2) - - - name: sort-id - value: au-05.02 - parts: - - - id: au-5.2_smt - name: statement - prose: - """ - The information system provides an alert in {{ au-5.2_prm_1 }} to - {{ au-5.2_prm_2 }} when the following audit failure events - occur: {{ au-5.2_prm_3 }}. - """ - - - id: au-5.2_gdn - name: guidance - prose: - """ - Alerts provide organizations with urgent messages. Real-time alerts provide these - messages at information technology speed (i.e., the time from event detection to - alert occurs in seconds or less). - """ - - - id: au-5.2_obj - name: objective - prose: Determine if: - parts: - - - id: au-5.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(2)[1] - prose: the organization defines audit failure events requiring real-time alerts; - - - id: au-5.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(2)[2] - prose: the organization defines: - parts: - - - id: au-5.2_obj.2.a - name: objective - properties: - - - name: label - value: AU-5(2)[2][a] - prose: - """ - personnel to be alerted when organization-defined audit failure events - requiring real-time alerts occur; - """ - - - id: au-5.2_obj.2.b - name: objective - properties: - - - name: label - value: AU-5(2)[2][b] - prose: - """ - roles to be alerted when organization-defined audit failure events requiring - real-time alerts occur; and/or - """ - - - id: au-5.2_obj.2.c - name: objective - properties: - - - name: label - value: AU-5(2)[2][c] - prose: - """ - locations to be alerted when organization-defined audit failure events - requiring real-time alerts occur; - """ - - - id: au-5.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(2)[3] - prose: - """ - the organization defines the real-time period within which the information - system is to provide an alert to the organization-defined personnel, roles, - and/or locations when the organization-defined audit failure events requiring - real-time alerts occur; and - """ - - - id: au-5.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(2)[4] - prose: - """ - the information system provides an alert within the organization-defined - real-time period to the organization-defined personnel, roles, and/or locations - when organization-defined audit failure events requiring real-time alerts - occur. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nrecords of notifications or real-time alerts when audit processing failures - occur\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing real-time audit alerts when - organization-defined audit failure events occur - """ - - - id: au-6 - class: SP800-53 - title: Audit Review, Analysis, and Reporting - parameters: - - - id: au-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: au-6_prm_2 - label: organization-defined inappropriate or unusual activity - - - id: au-6_prm_3 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-6 - - - name: sort-id - value: au-06 - parts: - - - id: au-6_smt - name: statement - prose: The organization: - parts: - - - id: au-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }}; - and - """ - - - id: au-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports findings to {{ au-6_prm_3 }}. - - - id: au-6_fr - name: item - title: AU-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - - - id: au-6_gdn - name: guidance - prose: - """ - Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-10 - rel: related - text: CM-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #pe-14 - rel: related - text: PE-14 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-18 - rel: related - text: SC-18 - - - href: #sc-19 - rel: related - text: SC-19 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: au-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.a_obj - name: objective - properties: - - - name: label - value: AU-6(a) - parts: - - - id: au-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(a)[1] - prose: - """ - defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed; - """ - - - id: au-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(a)[2] - prose: - """ - defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity; - """ - - - id: au-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(a)[3] - prose: - """ - reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency; - """ - - - id: au-6.b_obj - name: objective - properties: - - - name: label - value: AU-6(b) - parts: - - - id: au-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(b)[1] - prose: - """ - defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and - """ - - - id: au-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(b)[2] - prose: reports findings to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nreports of audit findings\n\nrecords of actions taken in response to reviews/analyses of audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - controls: - - - id: au-6.1 - class: SP800-53-enhancement - title: Process Integration - properties: - - - name: label - value: AU-6(1) - - - name: sort-id - value: au-06.01 - parts: - - - id: au-6.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to integrate audit review, analysis, - and reporting processes to support organizational processes for investigation and - response to suspicious activities. - """ - - - id: au-6.1_gdn - name: guidance - prose: - """ - Organizational processes benefiting from integrated audit review, analysis, and - reporting include, for example, incident response, continuous monitoring, - contingency planning, and Inspector General audits. - """ - links: - - - href: #au-12 - rel: related - text: AU-12 - - - href: #pm-7 - rel: related - text: PM-7 - - - id: au-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-6(1)[1] - prose: employs automated mechanisms to integrate: - parts: - - - id: au-6.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-6(1)[1][a] - prose: audit review; - - - id: au-6.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-6(1)[1][b] - prose: analysis; - - - id: au-6.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-6(1)[1][c] - prose: reporting processes; - - - id: au-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(1)[2] - prose: - """ - uses integrated audit review, analysis and reporting processes to support - organizational processes for: - """ - parts: - - - id: au-6.1_obj.2.a - name: objective - properties: - - - name: label - value: AU-6(1)[2][a] - prose: investigation of suspicious activities; and - - - id: au-6.1_obj.2.b - name: objective - properties: - - - name: label - value: AU-6(1)[2][b] - prose: response to suspicious activities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing investigation and response to suspicious activities\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms integrating audit review, analysis, and reporting - processes - """ - - - id: au-6.3 - class: SP800-53-enhancement - title: Correlate Audit Repositories - properties: - - - name: label - value: AU-6(3) - - - name: sort-id - value: au-06.03 - parts: - - - id: au-6.3_smt - name: statement - prose: - """ - The organization analyzes and correlates audit records across different - repositories to gain organization-wide situational awareness. - """ - - - id: au-6.3_gdn - name: guidance - prose: - """ - Organization-wide situational awareness includes awareness across all three tiers - of risk management (i.e., organizational, mission/business process, and - information system) and supports cross-organization awareness. - """ - links: - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ir-4 - rel: related - text: IR-4 - - - id: au-6.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization analyzes and correlates audit records across - different repositories to gain organization-wide situational awareness. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records across different repositories\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting analysis and correlation of audit records - - - id: au-6.4 - class: SP800-53-enhancement - title: Central Review and Analysis - properties: - - - name: label - value: AU-6(4) - - - name: sort-id - value: au-06.04 - parts: - - - id: au-6.4_smt - name: statement - prose: - """ - The information system provides the capability to centrally review and analyze - audit records from multiple components within the system. - """ - - - id: au-6.4_gdn - name: guidance - prose: - """ - Automated mechanisms for centralized reviews and analyses include, for example, - Security Information Management products. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-6.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system provides the capability to centrally review - and analyze audit records from multiple components within the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Information system capability to centralize review and analysis of audit - records - """ - - - id: au-6.5 - class: SP800-53-enhancement - title: Integration / Scanning and Monitoring Capabilities - parameters: - - - id: au-6.5_prm_1 - - - id: au-6.5_prm_2 - depends-on: au-6.5_prm_1 - label: organization-defined data/information collected from other sources - constraints: - - - detail: Possibly to include penetration test data. - properties: - - - name: label - value: AU-6(5) - - - name: sort-id - value: au-06.05 - parts: - - - id: au-6.5_smt - name: statement - prose: - """ - The organization integrates analysis of audit records with analysis of {{ au-6.5_prm_1 }} to further enhance the ability to identify - inappropriate or unusual activity. - """ - - - id: au-6.5_gdn - name: guidance - prose: - """ - This control enhancement does not require vulnerability scanning, the generation - of performance data, or information system monitoring. Rather, the enhancement - requires that the analysis of information being otherwise produced in these areas - is integrated with the analysis of audit information. Security Event and - Information Management System tools can facilitate audit record - aggregation/consolidation from multiple information system components as well as - audit record correlation and analysis. The use of standardized audit record - analysis scripts developed by organizations (with localized script adjustments, as - necessary) provides more cost-effective approaches for analyzing audit record - information collected. The correlation of audit record information with - vulnerability scanning information is important in determining the veracity of - vulnerability scans and correlating attack detection events with scanning results. - Correlation with performance data can help uncover denial of service attacks or - cyber attacks resulting in unauthorized use of resources. Correlation with system - monitoring information can assist in uncovering attacks and in better relating - audit information to operational situations. - """ - links: - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: au-6.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(5)[1] - prose: defines data/information to be collected from other sources; - - - id: au-6.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-6(5)[2] - prose: - """ - selects sources of data/information to be analyzed and integrated with the - analysis of audit records from one or more of the following: - """ - parts: - - - id: au-6.5_obj.2.a - name: objective - properties: - - - name: label - value: AU-6(5)[2][a] - prose: vulnerability scanning information; - - - id: au-6.5_obj.2.b - name: objective - properties: - - - name: label - value: AU-6(5)[2][b] - prose: performance data; - - - id: au-6.5_obj.2.c - name: objective - properties: - - - name: label - value: AU-6(5)[2][c] - prose: information system monitoring information; and/or - - - id: au-6.5_obj.2.d - name: objective - properties: - - - name: label - value: AU-6(5)[2][d] - prose: organization-defined data/information collected from other sources; and - - - id: au-6.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-6(5)[3] - prose: - """ - integrates the analysis of audit records with the analysis of selected - data/information to further enhance the ability to identify inappropriate or - unusual activity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrated analysis of audit records, vulnerability scanning information, - performance data, network monitoring information and associated - documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing capability to integrate analysis of audit - records with analysis of data/information sources - """ - - - id: au-6.6 - class: SP800-53-enhancement - title: Correlation with Physical Monitoring - properties: - - - name: label - value: AU-6(6) - - - name: sort-id - value: au-06.06 - parts: - - - id: au-6.6_smt - name: statement - prose: - """ - The organization correlates information from audit records with information - obtained from monitoring physical access to further enhance the ability to - identify suspicious, inappropriate, unusual, or malevolent activity. - """ - parts: - - - id: au-6.6_fr - name: item - title: AU-6 (6) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6.6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - id: au-6.6_gdn - name: guidance - prose: - """ - The correlation of physical audit information and audit logs from information - systems may assist organizations in identifying examples of suspicious behavior or - supporting evidence of such behavior. For example, the correlation of an - individual’s identity for logical access to certain information systems with the - additional physical security information that the individual was actually present - at the facility when the logical access occurred, may prove to be useful in - investigations. - """ - - - id: au-6.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization correlates information from audit records with - information obtained from monitoring physical access to enhance the ability to - identify suspicious, inappropriate, unusual, or malevolent activity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing physical access monitoring\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ndocumentation providing evidence of correlated information obtained from audit - records and physical access monitoring records\n\nsecurity plan\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing capability to correlate information from - audit records with information from monitoring physical access - """ - - - id: au-6.7 - class: SP800-53-enhancement - title: Permitted Actions - parameters: - - - id: au-6.7_prm_1 - constraints: - - - detail: information system process; role; user - properties: - - - name: label - value: AU-6(7) - - - name: sort-id - value: au-06.07 - parts: - - - id: au-6.7_smt - name: statement - prose: - """ - The organization specifies the permitted actions for each {{ au-6.7_prm_1 }} associated with the review, analysis, and reporting - of audit information. - """ - - - id: au-6.7_gdn - name: guidance - prose: - """ - Organizations specify permitted actions for information system processes, roles, - and/or users associated with the review, analysis, and reporting of audit records - through account management techniques. Specifying permitted actions on audit - information is a way to enforce the principle of least privilege. Permitted - actions are enforced by the information system and include, for example, read, - write, execute, append, and delete. - """ - - - id: au-6.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization specifies the permitted actions for each one or more - of the following associated with the review, analysis and reporting of audit - information: - """ - parts: - - - id: au-6.7_obj.1 - name: objective - properties: - - - name: label - value: AU-6(7)[1] - prose: information system process; - - - id: au-6.7_obj.2 - name: objective - properties: - - - name: label - value: AU-6(7)[2] - prose: role; and/or - - - id: au-6.7_obj.3 - name: objective - properties: - - - name: label - value: AU-6(7)[3] - prose: user. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing process, role and/or user permitted actions from audit - review, analysis, and reporting\n\nsecurity plan\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting permitted actions for review, analysis, and - reporting of audit information - """ - - - id: au-6.10 - class: SP800-53-enhancement - title: Audit Level Adjustment - properties: - - - name: label - value: AU-6(10) - - - name: sort-id - value: au-06.10 - parts: - - - id: au-6.10_smt - name: statement - prose: - """ - The organization adjusts the level of audit review, analysis, and reporting within - the information system when there is a change in risk based on law enforcement - information, intelligence information, or other credible sources of - information. - """ - - - id: au-6.10_gdn - name: guidance - prose: - """ - The frequency, scope, and/or depth of the audit review, analysis, and reporting - may be adjusted to meet organizational needs based on new information - received. - """ - - - id: au-6.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization adjusts the level of audit review, analysis, and - reporting within the information system when there is a change in risk based - on: - """ - parts: - - - id: au-6.10_obj.1 - name: objective - properties: - - - name: label - value: AU-6(10)[1] - prose: law enforcement information; - - - id: au-6.10_obj.2 - name: objective - properties: - - - name: label - value: AU-6(10)[2] - prose: intelligence information; and/or - - - id: au-6.10_obj.3 - name: objective - properties: - - - name: label - value: AU-6(10)[3] - prose: other credible sources of information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\norganizational risk assessment\n\nsecurity control assessment\n\nvulnerability assessment\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting review, analysis, and reporting of audit - information - """ - - - id: au-7 - class: SP800-53 - title: Audit Reduction and Report Generation - properties: - - - name: label - value: AU-7 - - - name: sort-id - value: au-07 - parts: - - - id: au-7_smt - name: statement - prose: - """ - The information system provides an audit reduction and report generation capability - that: - """ - parts: - - - id: au-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Supports on-demand audit review, analysis, and reporting requirements and - after-the-fact investigations of security incidents; and - """ - - - id: au-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: Does not alter the original content or time ordering of audit records. - - - id: au-7_gdn - name: guidance - prose: - """ - Audit reduction is a process that manipulates collected audit information and - organizes such information in a summary format that is more meaningful to analysts. - Audit reduction and report generation capabilities do not always emanate from the - same information system or from the same organizational entities conducting auditing - activities. Audit reduction capability can include, for example, modern data mining - techniques with advanced data filters to identify anomalous behavior in audit - records. The report generation capability provided by the information system can - generate customizable reports. Time ordering of audit records can be a significant - issue if the granularity of the timestamp in the record is insufficient. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - id: au-7_obj - name: objective - prose: - """ - Determine if the information system provides an audit reduction and report generation - capability that supports: - """ - parts: - - - id: au-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-7(a) - parts: - - - id: au-7.a_obj.1 - name: objective - properties: - - - name: label - value: AU-7(a)[1] - prose: on-demand audit review; - - - id: au-7.a_obj.2 - name: objective - properties: - - - name: label - value: AU-7(a)[2] - prose: analysis; - - - id: au-7.a_obj.3 - name: objective - properties: - - - name: label - value: AU-7(a)[3] - prose: reporting requirements; - - - id: au-7.a_obj.4 - name: objective - properties: - - - name: label - value: AU-7(a)[4] - prose: after-the-fact investigations of security incidents; and - - - id: au-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-7(b) - prose: does not alter the original content or time ordering of audit records. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit reduction and report generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit reduction and report generation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit reduction and report generation capability - controls: - - - id: au-7.1 - class: SP800-53-enhancement - title: Automatic Processing - parameters: - - - id: au-7.1_prm_1 - label: organization-defined audit fields within audit records - properties: - - - name: label - value: AU-7(1) - - - name: sort-id - value: au-07.01 - parts: - - - id: au-7.1_smt - name: statement - prose: - """ - The information system provides the capability to process audit records for events - of interest based on {{ au-7.1_prm_1 }}. - """ - - - id: au-7.1_gdn - name: guidance - prose: - """ - Events of interest can be identified by the content of specific audit record - fields including, for example, identities of individuals, event types, event - locations, event times, event dates, system resources involved, IP addresses - involved, or information objects accessed. Organizations may define audit event - criteria to any degree of granularity required, for example, locations selectable - by general networking location (e.g., by network or subnetwork) or selectable by - specific information system component. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-7.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-7.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-7(1)[1] - prose: - """ - the organization defines audit fields within audit records in order to process - audit records for events of interest; and - """ - - - id: au-7.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-7(1)[2] - prose: - """ - the information system provides the capability to process audit records for - events of interest based on the organization-defined audit fields within audit - records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit reduction and report generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\naudit record criteria (fields) establishing events of interest\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit reduction and report generation - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit reduction and report generation capability - - - id: au-8 - class: SP800-53 - title: Time Stamps - parameters: - - - id: au-8_prm_1 - label: organization-defined granularity of time measurement - constraints: - - - detail: one second granularity of time measurement - properties: - - - name: label - value: AU-8 - - - name: sort-id - value: au-08 - parts: - - - id: au-8_smt - name: statement - prose: The information system: - parts: - - - id: au-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Uses internal system clocks to generate time stamps for audit records; and - - - id: au-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}. - """ - - - id: au-8_gdn - name: guidance - prose: - """ - Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities. - """ - links: - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-8_obj - name: objective - prose: Determine if: - parts: - - - id: au-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(a) - prose: - """ - the information system uses internal system clocks to generate time stamps for - audit records; - """ - - - id: au-8.b_obj - name: objective - properties: - - - name: label - value: AU-8(b) - parts: - - - id: au-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(b)[1] - prose: - """ - the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT); - """ - - - id: au-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(b)[2] - prose: - """ - the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and - """ - - - id: au-8.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(b)[3] - prose: - """ - the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing time stamp generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing time stamp generation - controls: - - - id: au-8.1 - class: SP800-53-enhancement - title: Synchronization with Authoritative Time Source - parameters: - - - id: au-8.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: At least hourly - - - id: au-8.1_prm_2 - label: organization-defined authoritative time source - constraints: - - - detail: http://tf.nist.gov/tf-cgi/servers.cgi - - - id: au-8.1_prm_3 - label: organization-defined time period - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-8(1) - - - name: sort-id - value: au-08.01 - parts: - - - id: au-8.1_smt - name: statement - prose: The information system: - parts: - - - id: au-8.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Compares the internal information system clocks {{ au-8.1_prm_1 }} with {{ au-8.1_prm_2 }}; and - - - id: au-8.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Synchronizes the internal system clocks to the authoritative time source when - the time difference is greater than {{ au-8.1_prm_3 }}. - """ - - - id: au-8.1_fr - name: item - title: AU-8 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-8.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. - - - id: au-8.1_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. - - - id: au-8.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Synchronization of system clocks improves the accuracy of log analysis. - - - id: au-8.1_gdn - name: guidance - prose: - """ - This control enhancement provides uniformity of time stamps for information - systems with multiple system clocks and systems connected over a network. - """ - - - id: au-8.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-8.1.a_obj - name: objective - properties: - - - name: label - value: AU-8(1)(a) - parts: - - - id: au-8.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(1)(a)[1] - prose: - """ - the organization defines the authoritative time source to which internal - information system clocks are to be compared; - """ - - - id: au-8.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(1)(a)[2] - prose: - """ - the organization defines the frequency to compare the internal information - system clocks with the organization-defined authoritative time source; - and - """ - - - id: au-8.1.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(1)(a)[3] - prose: - """ - the information system compares the internal information system clocks with - the organization-defined authoritative time source with organization-defined - frequency; and - """ - links: - - - href: #au-8.1_smt.a - rel: corresp - text: AU-8(1)(a) - - - id: au-8.1.b_obj - name: objective - properties: - - - name: label - value: AU-8(1)(b) - parts: - - - id: au-8.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(1)(b)[1] - prose: - """ - the organization defines the time period that, if exceeded by the time - difference between the internal system clocks and the authoritative time - source, will result in the internal system clocks being synchronized to the - authoritative time source; and - """ - - - id: au-8.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(1)(b)[2] - prose: - """ - the information system synchronizes the internal information system clocks - to the authoritative time source when the time difference is greater than - the organization-defined time period. - """ - links: - - - href: #au-8.1_smt.b - rel: corresp - text: AU-8(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing time stamp generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing internal information system clock - synchronization - """ - - - id: au-9 - class: SP800-53 - title: Protection of Audit Information - properties: - - - name: label - value: AU-9 - - - name: sort-id - value: au-09 - parts: - - - id: au-9_smt - name: statement - prose: - """ - The information system protects audit information and audit tools from unauthorized - access, modification, and deletion. - """ - - - id: au-9_gdn - name: guidance - prose: - """ - Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - id: au-9_obj - name: objective - prose: Determine if: - parts: - - - id: au-9_obj.1 - name: objective - properties: - - - name: label - value: AU-9[1] - prose: the information system protects audit information from unauthorized: - parts: - - - id: au-9_obj.1.a - name: objective - properties: - - - name: label - value: AU-9[1][a] - prose: access; - - - id: au-9_obj.1.b - name: objective - properties: - - - name: label - value: AU-9[1][b] - prose: modification; - - - id: au-9_obj.1.c - name: objective - properties: - - - name: label - value: AU-9[1][c] - prose: deletion; - - - id: au-9_obj.2 - name: objective - properties: - - - name: label - value: AU-9[2] - prose: the information system protects audit tools from unauthorized: - parts: - - - id: au-9_obj.2.a - name: objective - properties: - - - name: label - value: AU-9[2][a] - prose: access; - - - id: au-9_obj.2.b - name: objective - properties: - - - name: label - value: AU-9[2][b] - prose: modification; and - - - id: au-9_obj.2.c - name: objective - properties: - - - name: label - value: AU-9[2][c] - prose: deletion. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, - information system audit records\n\naudit tools\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit information protection - controls: - - - id: au-9.2 - class: SP800-53-enhancement - title: Audit Backup On Separate Physical Systems / Components - parameters: - - - id: au-9.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-9(2) - - - name: sort-id - value: au-09.02 - parts: - - - id: au-9.2_smt - name: statement - prose: - """ - The information system backs up audit records {{ au-9.2_prm_1 }} - onto a physically different system or system component than the system or - component being audited. - """ - - - id: au-9.2_gdn - name: guidance - prose: - """ - This control enhancement helps to ensure that a compromise of the information - system being audited does not also result in a compromise of the audit - records. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-11 - rel: related - text: AU-11 - - - id: au-9.2_obj - name: objective - prose: Determine if: - parts: - - - id: au-9.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-9(2)[1] - prose: - """ - the organization defines the frequency to back up audit records onto a - physically different system or system component than the system or component - being audited; and - """ - - - id: au-9.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-9(2)[2] - prose: - """ - the information system backs up audit records with the organization-defined - frequency, onto a physically different system or system component than the - system or component being audited. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, system - or media storing backups of information system audit records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing the backing up of audit records - - - id: au-9.3 - class: SP800-53-enhancement - title: Cryptographic Protection - properties: - - - name: label - value: AU-9(3) - - - name: sort-id - value: au-09.03 - parts: - - - id: au-9.3_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to protect the - integrity of audit information and audit tools. - """ - - - id: au-9.3_gdn - name: guidance - prose: - """ - Cryptographic mechanisms used for protecting the integrity of audit information - include, for example, signed hash functions using asymmetric cryptography enabling - distribution of the public key to verify the hash information while maintaining - the confidentiality of the secret key used to generate the hash. - """ - links: - - - href: #au-10 - rel: related - text: AU-10 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: au-9.3_obj - name: objective - prose: Determine if the information system: - parts: - - - id: au-9.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-9(3)[1] - prose: - """ - uses cryptographic mechanisms to protect the integrity of audit information; - and - """ - - - id: au-9.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-9(3)[2] - prose: uses cryptographic mechanisms to protect the integrity of audit tools. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system hardware settings\n\ninformation system configuration settings and associated documentation, - information system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms protecting integrity of audit information and - tools - """ - - - id: au-9.4 - class: SP800-53-enhancement - title: Access by Subset of Privileged Users - parameters: - - - id: au-9.4_prm_1 - label: organization-defined subset of privileged users - properties: - - - name: label - value: AU-9(4) - - - name: sort-id - value: au-09.04 - parts: - - - id: au-9.4_smt - name: statement - prose: - """ - The organization authorizes access to management of audit functionality to only - {{ au-9.4_prm_1 }}. - """ - - - id: au-9.4_gdn - name: guidance - prose: - """ - Individuals with privileged access to an information system and who are also the - subject of an audit by that system, may affect the reliability of audit - information by inhibiting audit activities or modifying audit records. This - control enhancement requires that privileged access be further defined between - audit-related privileges and other privileges, thus limiting the users with - audit-related privileges. - """ - links: - - - href: #ac-5 - rel: related - text: AC-5 - - - id: au-9.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-9.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-9(4)[1] - prose: - """ - defines a subset of privileged users to be authorized access to management of - audit functionality; and - """ - - - id: au-9.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-9(4)[2] - prose: - """ - authorizes access to management of audit functionality to only the - organization-defined subset of privileged users. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, - system-generated list of privileged users with access to management of audit - functionality\n\naccess authorizations\n\naccess control list\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing access to audit functionality - - - id: au-10 - class: SP800-53 - title: Non-repudiation - parameters: - - - id: au-10_prm_1 - label: organization-defined actions to be covered by non-repudiation - constraints: - - - detail: minimum actions including the addition, modification, deletion, approval, sending, or receiving of data - properties: - - - name: label - value: AU-10 - - - name: sort-id - value: au-10 - parts: - - - id: au-10_smt - name: statement - prose: - """ - The information system protects against an individual (or process acting on behalf of - an individual) falsely denying having performed {{ au-10_prm_1 }}. - """ - - - id: au-10_gdn - name: guidance - prose: - """ - Types of individual actions covered by non-repudiation include, for example, creating - information, sending and receiving messages, approving information (e.g., indicating - concurrence or signing a contract). Non-repudiation protects individuals against - later claims by: (i) authors of not having authored particular documents; (ii) - senders of not having transmitted messages; (iii) receivers of not having received - messages; or (iv) signatories of not having signed documents. Non-repudiation - services can be used to determine if information originated from a particular - individual, or if an individual took specific actions (e.g., sending an email, - signing a contract, approving a procurement request) or received specific - information. Organizations obtain non-repudiation services by employing various - techniques or mechanisms (e.g., digital signatures, digital message receipts). - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-16 - rel: related - text: SC-16 - - - href: #sc-17 - rel: related - text: SC-17 - - - href: #sc-23 - rel: related - text: SC-23 - - - id: au-10_obj - name: objective - prose: Determine if: - parts: - - - id: au-10_obj.1 - name: objective - properties: - - - name: label - value: AU-10[1] - prose: the organization defines actions to be covered by non-repudiation; and - - - id: au-10_obj.2 - name: objective - properties: - - - name: label - value: AU-10[2] - prose: - """ - the information system protects against an individual (or process acting on behalf - of an individual) falsely denying having performed organization-defined actions to - be covered by non-repudiation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing non-repudiation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing non-repudiation capability - - - id: au-11 - class: SP800-53 - title: Audit Record Retention - parameters: - - - id: au-11_prm_1 - label: organization-defined time period consistent with records retention policy - constraints: - - - detail: at least one (1) year - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-11 - - - name: sort-id - value: au-11 - parts: - - - id: au-11_smt - name: statement - prose: - """ - The organization retains audit records for {{ au-11_prm_1 }} to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements. - """ - parts: - - - id: au-11_fr - name: item - title: AU-11 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-11_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. - - - id: au-11_gdn - name: guidance - prose: - """ - Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: au-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-11_obj.1 - name: objective - properties: - - - name: label - value: AU-11[1] - prose: - """ - defines a time period to retain audit records that is consistent with records - retention policy; - """ - - - id: au-11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-11[2] - prose: - """ - retains audit records for the organization-defined time period consistent with - records retention policy to: - """ - parts: - - - id: au-11_obj.2.a - name: objective - properties: - - - name: label - value: AU-11[2][a] - prose: - """ - provide support for after-the-fact investigations of security incidents; - and - """ - - - id: au-11_obj.2.b - name: objective - properties: - - - name: label - value: AU-11[2][b] - prose: meet regulatory and organizational information retention requirements. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\naudit record retention policy and procedures\n\nsecurity plan\n\norganization-defined retention period for audit records\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: au-12 - class: SP800-53 - title: Audit Generation - parameters: - - - id: au-12_prm_1 - label: organization-defined information system components - constraints: - - - detail: all information system and network components where audit capability is deployed/available - - - id: au-12_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: AU-12 - - - name: sort-id - value: au-12 - parts: - - - id: au-12_smt - name: statement - prose: The information system: - parts: - - - id: au-12_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides audit record generation capability for the auditable events defined in - AU-2 a. at {{ au-12_prm_1 }}; - """ - - - id: au-12_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows {{ au-12_prm_2 }} to select which auditable events are to be - audited by specific components of the information system; and - """ - - - id: au-12_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3. - """ - - - id: au-12_gdn - name: guidance - prose: - """ - Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - id: au-12_obj - name: objective - prose: Determine if: - parts: - - - id: au-12.a_obj - name: objective - properties: - - - name: label - value: AU-12(a) - parts: - - - id: au-12.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(a)[1] - prose: - """ - the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a; - """ - - - id: au-12.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(a)[2] - prose: - """ - the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components; - """ - - - id: au-12.b_obj - name: objective - properties: - - - name: label - value: AU-12(b) - parts: - - - id: au-12.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(b)[1] - prose: - """ - the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system; - """ - - - id: au-12.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(b)[2] - prose: - """ - the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and - """ - - - id: au-12.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(c) - prose: - """ - the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit record generation\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit record generation capability - controls: - - - id: au-12.1 - class: SP800-53-enhancement - title: System-wide / Time-correlated Audit Trail - parameters: - - - id: au-12.1_prm_1 - label: organization-defined information system components - constraints: - - - detail: all network, data storage, and computing devices - - - id: au-12.1_prm_2 - label: - """ - organization-defined level of tolerance for the relationship between time - stamps of individual records in the audit trail - """ - properties: - - - name: label - value: AU-12(1) - - - name: sort-id - value: au-12.01 - parts: - - - id: au-12.1_smt - name: statement - prose: - """ - The information system compiles audit records from {{ au-12.1_prm_1 }} into a system-wide (logical or physical) audit trail - that is time-correlated to within {{ au-12.1_prm_2 }}. - """ - - - id: au-12.1_gdn - name: guidance - prose: - """ - Audit trails are time-correlated if the time stamps in the individual audit - records can be reliably related to the time stamps in other audit records to - achieve a time ordering of the records within organizational tolerances. - """ - links: - - - href: #au-8 - rel: related - text: AU-8 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-12.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-12.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(1)[1] - prose: - """ - the organization defines the information system components from which audit - records are to be compiled into a system-wide (logical or physical) audit - trail; - """ - - - id: au-12.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(1)[2] - prose: - """ - the organization defines the level of tolerance for the relationship between - time stamps of individual records in the audit trail; and - """ - - - id: au-12.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(1)[3] - prose: - """ - the information system compiles audit records from organization-defined - information system components into a system-wide (logical or physical) audit - trail that is time-correlated to within the organization-defined level of - tolerance for the relationship between time stamps of individual records in the - audit trail. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit record generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem-wide audit trail (logical or physical)\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit record generation capability - - - id: au-12.3 - class: SP800-53-enhancement - title: Changes by Authorized Individuals - parameters: - - - id: au-12.3_prm_1 - label: organization-defined individuals or roles - constraints: - - - detail: service provider-defined individuals or roles with audit configuration responsibilities - - - id: au-12.3_prm_2 - label: organization-defined information system components - constraints: - - - detail: all network, data storage, and computing devices - - - id: au-12.3_prm_3 - label: organization-defined selectable event criteria - - - id: au-12.3_prm_4 - label: organization-defined time thresholds - properties: - - - name: label - value: AU-12(3) - - - name: sort-id - value: au-12.03 - parts: - - - id: au-12.3_smt - name: statement - prose: - """ - The information system provides the capability for {{ au-12.3_prm_1 }} to change the auditing to be performed on {{ au-12.3_prm_2 }} based on {{ au-12.3_prm_3 }} within - {{ au-12.3_prm_4 }}. - """ - - - id: au-12.3_gdn - name: guidance - prose: - """ - This control enhancement enables organizations to extend or limit auditing as - necessary to meet organizational requirements. Auditing that is limited to - conserve information system resources may be extended to address certain threat - situations. In addition, auditing may be limited to a specific set of events to - facilitate audit reduction, analysis, and reporting. Organizations can establish - time thresholds in which audit actions are changed, for example, near real-time, - within minutes, or within hours. - """ - links: - - - href: #au-7 - rel: related - text: AU-7 - - - id: au-12.3_obj - name: objective - prose: Determine if: - parts: - - - id: au-12.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(3)[1] - prose: - """ - the organization defines information system components on which auditing is to - be performed; - """ - - - id: au-12.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(3)[2] - prose: - """ - the organization defines individuals or roles authorized to change the auditing - to be performed on organization-defined information system components; - """ - - - id: au-12.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(3)[3] - prose: - """ - the organization defines time thresholds within which organization-defined - individuals or roles can change the auditing to be performed on - organization-defined information system components; - """ - - - id: au-12.3_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(3)[4] - prose: - """ - the organization defines selectable event criteria that support the capability - for organization-defined individuals or roles to change the auditing to be - performed on organization-defined information system components; and - """ - - - id: au-12.3_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(3)[5] - prose: - """ - the information system provides the capability for organization-defined - individuals or roles to change the auditing to be performed on - organization-defined information system components based on - organization-defined selectable event criteria within organization-defined time - thresholds. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing audit record generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem-generated list of individuals or roles authorized to change auditing to - be performed\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit record generation capability - - - id: ca - class: family - title: Security Assessment and Authorization - controls: - - - id: ca-1 - class: SP800-53 - title: Security Assessment and Authorization Policy and Procedures - parameters: - - - id: ca-1_prm_1 - label: organization-defined personnel or roles - - - id: ca-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-1 - - - name: sort-id - value: ca-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ca-1_smt - name: statement - prose: The organization: - parts: - - - id: ca-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ca-1_prm_1 }}: - parts: - - - id: ca-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ca-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and - """ - - - id: ca-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ca-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Security assessment and authorization policy {{ ca-1_prm_2 }}; - and - """ - - - id: ca-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security assessment and authorization procedures {{ ca-1_prm_3 }}. - - - id: ca-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ca-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-1.a_obj - name: objective - properties: - - - name: label - value: CA-1(a) - parts: - - - id: ca-1.a.1_obj - name: objective - properties: - - - name: label - value: CA-1(a)(1) - parts: - - - id: ca-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(1)[1] - prose: - """ - develops and documents a security assessment and authorization policy that - addresses: - """ - parts: - - - id: ca-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][a] - prose: purpose; - - - id: ca-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][b] - prose: scope; - - - id: ca-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][c] - prose: roles; - - - id: ca-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ca-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][e] - prose: management commitment; - - - id: ca-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ca-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][g] - prose: compliance; - - - id: ca-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated; - """ - - - id: ca-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-1(a)(1)[3] - prose: - """ - disseminates the security assessment and authorization policy to - organization-defined personnel or roles; - """ - - - id: ca-1.a.2_obj - name: objective - properties: - - - name: label - value: CA-1(a)(2) - parts: - - - id: ca-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls; - """ - - - id: ca-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ca-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ca-1.b_obj - name: objective - properties: - - - name: label - value: CA-1(b) - parts: - - - id: ca-1.b.1_obj - name: objective - properties: - - - name: label - value: CA-1(b)(1) - parts: - - - id: ca-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization policy; - """ - - - id: ca-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(1)[2] - prose: - """ - reviews and updates the current security assessment and authorization policy - with the organization-defined frequency; - """ - - - id: ca-1.b.2_obj - name: objective - properties: - - - name: label - value: CA-1(b)(2) - parts: - - - id: ca-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization procedures; and - """ - - - id: ca-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(2)[2] - prose: - """ - reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment and authorization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ca-2 - class: SP800-53 - title: Security Assessments - parameters: - - - id: ca-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-2_prm_2 - label: organization-defined individuals or roles - constraints: - - - detail: individuals or roles to include FedRAMP PMO - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-2 - - - name: sort-id - value: ca-02 - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-2_smt - name: statement - prose: The organization: - parts: - - - id: ca-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Security controls and control enhancements under assessment; - - - id: ca-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Assessment procedures to be used to determine security control effectiveness; - and - """ - - - id: ca-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Assessment environment, assessment team, and assessment roles and - responsibilities; - """ - - - id: ca-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Assesses the security controls in the information system and its environment of - operation {{ ca-2_prm_1 }} to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements; - """ - - - id: ca-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Produces a security assessment report that documents the results of the - assessment; and - """ - - - id: ca-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Provides the results of the security control assessment to {{ ca-2_prm_2 }}. - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-2_gdn - name: guidance - prose: - """ - Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control. - """ - links: - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(a) - prose: - """ - develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2.a.1_obj - name: objective - properties: - - - name: label - value: CA-2(a)(1) - prose: security controls and control enhancements under assessment; - - - id: ca-2.a.2_obj - name: objective - properties: - - - name: label - value: CA-2(a)(2) - prose: - """ - assessment procedures to be used to determine security control - effectiveness; - """ - - - id: ca-2.a.3_obj - name: objective - properties: - - - name: label - value: CA-2(a)(3) - parts: - - - id: ca-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[1] - prose: assessment environment; - - - id: ca-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[2] - prose: assessment team; - - - id: ca-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[3] - prose: assessment roles and responsibilities; - - - id: ca-2.b_obj - name: objective - properties: - - - name: label - value: CA-2(b) - parts: - - - id: ca-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(b)[1] - prose: - """ - defines the frequency to assess the security controls in the information system - and its environment of operation; - """ - - - id: ca-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(b)[2] - prose: - """ - assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements; - """ - - - id: ca-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(c) - prose: - """ - produces a security assessment report that documents the results of the - assessment; - """ - - - id: ca-2.d_obj - name: objective - properties: - - - name: label - value: CA-2(d) - parts: - - - id: ca-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(d)[1] - prose: - """ - defines individuals or roles to whom the results of the security control - assessment are to be provided; and - """ - - - id: ca-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(d)[2] - prose: - """ - provides the results of the security control assessment to organization-defined - individuals or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessment planning\n\nprocedures addressing security assessments\n\nsecurity assessment plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting - """ - controls: - - - id: ca-2.1 - class: SP800-53-enhancement - title: Independent Assessors - parameters: - - - id: ca-2.1_prm_1 - label: organization-defined level of independence - properties: - - - name: label - value: CA-2(1) - - - name: sort-id - value: ca-02.01 - parts: - - - id: ca-2.1_smt - name: statement - prose: The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments. - parts: - - - id: ca-2.1_fr - name: item - title: CA-2 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO). - - - id: ca-2.1_gdn - name: guidance - prose: - """ - Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments. - """ - - - id: ca-2.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(1)[1] - prose: - """ - defines the level of independence to be employed to conduct security control - assessments; and - """ - - - id: ca-2.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-2(1)[2] - prose: - """ - employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-2.2 - class: SP800-53-enhancement - title: Specialized Assessments - parameters: - - - id: ca-2.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-2.2_prm_2 - - - id: ca-2.2_prm_3 - - - id: ca-2.2_prm_4 - depends-on: ca-2.2_prm_3 - label: organization-defined other forms of security assessment - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-2(2) - - - name: sort-id - value: ca-02.02 - parts: - - - id: ca-2.2_smt - name: statement - prose: The organization includes as part of security control assessments, {{ ca-2.2_prm_1 }}, {{ ca-2.2_prm_2 }}, {{ ca-2.2_prm_3 }}. - parts: - - - id: ca-2.2_fr - name: item - title: CA-2 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: To include 'announced', 'vulnerability scanning' - - - id: ca-2.2_gdn - name: guidance - prose: - """ - Organizations can employ information system monitoring, insider threat - assessments, malicious user testing, and other forms of testing (e.g., - verification and validation) to improve readiness by exercising organizational - capabilities and indicating current performance levels as a means of focusing - actions to improve security. Organizations conduct assessment activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - regulations, and standards. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. Organizations can - incorporate vulnerabilities uncovered during assessments into vulnerability - remediation processes. - """ - links: - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ca-2.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(2)[1] - prose: - """ - selects one or more of the following forms of specialized security assessment - to be included as part of security control assessments: - """ - parts: - - - id: ca-2.2_obj.1.a - name: objective - properties: - - - name: label - value: CA-2(2)[1][a] - prose: in-depth monitoring; - - - id: ca-2.2_obj.1.b - name: objective - properties: - - - name: label - value: CA-2(2)[1][b] - prose: vulnerability scanning; - - - id: ca-2.2_obj.1.c - name: objective - properties: - - - name: label - value: CA-2(2)[1][c] - prose: malicious user testing; - - - id: ca-2.2_obj.1.d - name: objective - properties: - - - name: label - value: CA-2(2)[1][d] - prose: insider threat assessment; - - - id: ca-2.2_obj.1.e - name: objective - properties: - - - name: label - value: CA-2(2)[1][e] - prose: performance/load testing; and/or - - - id: ca-2.2_obj.1.f - name: objective - properties: - - - name: label - value: CA-2(2)[1][f] - prose: other forms of organization-defined specialized security assessment; - - - id: ca-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(2)[2] - prose: - """ - defines the frequency for conducting the selected form(s) of specialized - security assessment; - """ - - - id: ca-2.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(2)[3] - prose: - """ - defines whether the specialized security assessment will be announced or - unannounced; and - """ - - - id: ca-2.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(2)[4] - prose: - """ - conducts announced or unannounced organization-defined forms of specialized - security assessments with the organization-defined frequency as part of - security control assessments. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity plan\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting security control assessment - - - id: ca-2.3 - class: SP800-53-enhancement - title: External Organizations - parameters: - - - id: ca-2.3_prm_1 - label: organization-defined information system - constraints: - - - detail: any FedRAMP Accredited 3PAO - - - id: ca-2.3_prm_2 - label: organization-defined external organization - constraints: - - - detail: any FedRAMP Accredited 3PAO - - - id: ca-2.3_prm_3 - label: organization-defined requirements - constraints: - - - detail: the conditions of the JAB/AO in the FedRAMP Repository - properties: - - - name: label - value: CA-2(3) - - - name: sort-id - value: ca-02.03 - parts: - - - id: ca-2.3_smt - name: statement - prose: - """ - The organization accepts the results of an assessment of {{ ca-2.3_prm_1 }} performed by {{ ca-2.3_prm_2 }} when - the assessment meets {{ ca-2.3_prm_3 }}. - """ - - - id: ca-2.3_gdn - name: guidance - prose: - """ - Organizations may often rely on assessments of specific information systems by - other (external) organizations. Utilizing such existing assessments (i.e., reusing - existing assessment evidence) can significantly decrease the time and resources - required for organizational assessments by limiting the amount of independent - assessment activities that organizations need to perform. The factors that - organizations may consider in determining whether to accept assessment results - from external organizations can vary. Determinations for accepting assessment - results can be based on, for example, past assessment experiences one organization - has had with another organization, the reputation that organizations have with - regard to assessments, the level of detail of supporting assessment documentation - provided, or mandates imposed upon organizations by federal legislation, policies, - or directives. - """ - - - id: ca-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(3)[1] - prose: - """ - defines an information system for which the results of a security assessment - performed by an external organization are to be accepted; - """ - - - id: ca-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(3)[2] - prose: - """ - defines an external organization from which to accept a security assessment - performed on an organization-defined information system; - """ - - - id: ca-2.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(3)[3] - prose: - """ - defines the requirements to be met by a security assessment performed by - organization-defined external organization on organization-defined information - system; and - """ - - - id: ca-2.3_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-2(3)[4] - prose: - """ - accepts the results of an assessment of an organization-defined information - system performed by an organization-defined external organization when the - assessment meets organization-defined requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity plan\n\nsecurity assessment requirements\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nplan of action and milestones\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel performing security assessments for the specified external - organization - """ - - - id: ca-3 - class: SP800-53 - title: System Interconnections - parameters: - - - id: ca-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: At least annually and on input from FedRAMP - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-3 - - - name: sort-id - value: ca-03 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #2711f068-734e-4afd-94ba-0b22247fbc88 - rel: reference - text: NIST Special Publication 800-47 - parts: - - - id: ca-3_smt - name: statement - prose: The organization: - parts: - - - id: ca-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and - """ - - - id: ca-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}. - - - id: ca-3_gdn - name: guidance - prose: - """ - This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(a) - prose: - """ - authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(b) - prose: documents, for each interconnection: - parts: - - - id: ca-3.b_obj.1 - name: objective - properties: - - - name: label - value: CA-3(b)[1] - prose: the interface characteristics; - - - id: ca-3.b_obj.2 - name: objective - properties: - - - name: label - value: CA-3(b)[2] - prose: the security requirements; - - - id: ca-3.b_obj.3 - name: objective - properties: - - - name: label - value: CA-3(b)[3] - prose: the nature of the information communicated; - - - id: ca-3.c_obj - name: objective - properties: - - - name: label - value: CA-3(c) - parts: - - - id: ca-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(c)[1] - prose: - """ - defines the frequency to review and update Interconnection Security Agreements; - and - """ - - - id: ca-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(c)[2] - prose: - """ - reviews and updates Interconnection Security Agreements with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system Interconnection Security Agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements\n\norganizational personnel with information security responsibilities\n\npersonnel managing the system(s) to which the Interconnection Security Agreement - applies - """ - controls: - - - id: ca-3.3 - class: SP800-53-enhancement - title: Unclassified Non-national Security System Connections - parameters: - - - id: ca-3.3_prm_1 - label: organization-defined unclassified, non-national security system - - - id: ca-3.3_prm_2 - label: Assignment; organization-defined boundary protection device - constraints: - - - detail: boundary protections which meet the Trusted Internet Connection (TIC) requirements - properties: - - - name: label - value: CA-3(3) - - - name: sort-id - value: ca-03.03 - parts: - - - id: ca-3.3_smt - name: statement - prose: The organization prohibits the direct connection of an {{ ca-3.3_prm_1 }} to an external network without the use of {{ ca-3.3_prm_2 }}. - parts: - - - id: ca-3.3_fr - name: item - title: CA-3 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document. - - - id: ca-3.3_gdn - name: guidance - prose: - """ - Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between unclassified non-national - security systems and external networks. This control enhancement is required for - organizations processing, storing, or transmitting Controlled Unclassified - Information (CUI). - """ - - - id: ca-3.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(3)[1] - prose: - """ - defines an unclassified, non-national security system whose direct connection - to an external network is to be prohibited without the use of approved boundary - protection device; - """ - - - id: ca-3.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(3)[2] - prose: - """ - defines a boundary protection device to be used to establish the direct - connection of an organization-defined unclassified, non-national security - system to an external network; and - """ - - - id: ca-3.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-3(3)[3] - prose: - """ - prohibits the direct connection of an organization-defined unclassified, - non-national security system to an external network without the use of an - organization-defined boundary protection device. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system interconnection security agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for managing direct connections to - external networks\n\nnetwork administrators\n\norganizational personnel with information security responsibilities\n\npersonnel managing directly connected external networks - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting the management of external network - connections - """ - - - id: ca-3.5 - class: SP800-53-enhancement - title: Restrictions On External System Connections - parameters: - - - id: ca-3.5_prm_1 - constraints: - - - detail: deny-all, permit by exception - - - id: ca-3.5_prm_2 - label: organization-defined information systems - constraints: - - - detail: any systems - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-3(5) - - - name: sort-id - value: ca-03.05 - parts: - - - id: ca-3.5_smt - name: statement - prose: - """ - The organization employs {{ ca-3.5_prm_1 }} policy for allowing - {{ ca-3.5_prm_2 }} to connect to external information - systems. - """ - parts: - - - id: ca-3.5_fr - name: item - title: CA-3 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing - - - id: ca-3.5_gdn - name: guidance - prose: - """ - Organizations can constrain information system connectivity to external domains - (e.g., websites) by employing one of two policies with regard to such - connectivity: (i) allow-all, deny by exception, also known as blacklisting (the - weaker of the two policies); or (ii) deny-all, allow by exception, also known as - whitelisting (the stronger of the two policies). For either policy, organizations - determine what exceptions, if any, are acceptable. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - id: ca-3.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(5)[1] - prose: - """ - defines information systems to be allowed to connect to external information - systems; - """ - - - id: ca-3.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-3(5)[2] - prose: - """ - employs one of the following policies for allowing organization-defined - information systems to connect to external information systems: - """ - parts: - - - id: ca-3.5_obj.2.a - name: objective - properties: - - - name: label - value: CA-3(5)[2][a] - prose: allow-all policy; - - - id: ca-3.5_obj.2.b - name: objective - properties: - - - name: label - value: CA-3(5)[2][b] - prose: deny-by-exception policy; - - - id: ca-3.5_obj.2.c - name: objective - properties: - - - name: label - value: CA-3(5)[2][c] - prose: deny-all policy; or - - - id: ca-3.5_obj.2.d - name: objective - properties: - - - name: label - value: CA-3(5)[2][d] - prose: permit-by-exception policy. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system interconnection agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for managing connections to - external information systems\n\nnetwork administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing restrictions on external system - connections - """ - - - id: ca-5 - class: SP800-53 - title: Plan of Action and Milestones - parameters: - - - id: ca-5_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-5 - - - name: sort-id - value: ca-05 - links: - - - href: #2c5884cd-7b96-425c-862a-99877e1cf909 - rel: reference - text: OMB Memorandum 02-01 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - parts: - - - id: ca-5_smt - name: statement - prose: The organization: - parts: - - - id: ca-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and - """ - - - id: ca-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates existing plan of action and milestones {{ ca-5_prm_1 }} - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities. - """ - - - id: ca-5_fr - name: item - title: CA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Plan of Action & Milestones (POA&M) must be provided at least monthly. - - - id: ca-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-5_gdn - name: guidance - prose: - """ - Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-4 - rel: related - text: PM-4 - - - id: ca-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-5(a) - prose: develops a plan of action and milestones for the information system to: - parts: - - - id: ca-5.a_obj.1 - name: objective - properties: - - - name: label - value: CA-5(a)[1] - prose: - """ - document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls; - """ - - - id: ca-5.a_obj.2 - name: objective - properties: - - - name: label - value: CA-5(a)[2] - prose: reduce or eliminate known vulnerabilities in the system; - - - id: ca-5.b_obj - name: objective - properties: - - - name: label - value: CA-5(b) - parts: - - - id: ca-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-5(b)[1] - prose: defines the frequency to update the existing plan of action and milestones; - - - id: ca-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-5(b)[2] - prose: - """ - updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from: - """ - parts: - - - id: ca-5.b_obj.2.a - name: objective - properties: - - - name: label - value: CA-5(b)[2][a] - prose: security controls assessments; - - - id: ca-5.b_obj.2.b - name: objective - properties: - - - name: label - value: CA-5(b)[2][b] - prose: security impact analyses; and - - - id: ca-5.b_obj.2.c - name: objective - properties: - - - name: label - value: CA-5(b)[2][c] - prose: continuous monitoring activities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing plan of action and milestones\n\nsecurity plan\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nplan of action and milestones\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with plan of action and milestones development and - implementation responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones - """ - - - id: ca-6 - class: SP800-53 - title: Security Authorization - parameters: - - - id: ca-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - properties: - - - name: label - value: CA-6 - - - name: sort-id - value: ca-06 - links: - - - href: #9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab - rel: reference - text: OMB Circular A-130 - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-6_smt - name: statement - prose: The organization: - parts: - - - id: ca-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and - """ - - - id: ca-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: Updates the security authorization {{ ca-6_prm_1 }}. - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO. - - - id: ca-6_gdn - name: guidance - prose: - """ - Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-10 - rel: related - text: PM-10 - - - id: ca-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-6(a) - prose: - """ - assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-6(b) - prose: - """ - ensures that the authorizing official authorizes the information system for - processing before commencing operations; - """ - - - id: ca-6.c_obj - name: objective - properties: - - - name: label - value: CA-6(c) - parts: - - - id: ca-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-6(c)[1] - prose: defines the frequency to update the security authorization; and - - - id: ca-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-6(c)[2] - prose: updates the security authorization with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security authorization\n\nsecurity authorization package (including security plan\n\nsecurity assessment report\n\nplan of action and milestones\n\nauthorization statement)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security authorization responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms that facilitate security authorizations and updates - - - id: ca-7 - class: SP800-53 - title: Continuous Monitoring - parameters: - - - id: ca-7_prm_1 - label: organization-defined metrics - - - id: ca-7_prm_2 - label: organization-defined frequencies - - - id: ca-7_prm_3 - label: organization-defined frequencies - - - id: ca-7_prm_4 - label: organization-defined personnel or roles - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - - - id: ca-7_prm_5 - label: organization-defined frequency - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-7 - - - name: sort-id - value: ca-07 - links: - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #8ade2fbe-e468-4ca8-9a40-54d7f23c32bb - rel: reference - text: US-CERT Technical Cyber Security Alerts - - - href: #2d8b14e9-c8b5-4d3d-8bdc-155078f3281b - rel: reference - text: DoD Information Assurance Vulnerability Alerts - parts: - - - id: ca-7_smt - name: statement - prose: - """ - The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes: - """ - parts: - - - id: ca-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Establishment of {{ ca-7_prm_1 }} to be monitored; - - - id: ca-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring; - - - id: ca-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy; - """ - - - id: ca-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Correlation and analysis of security-related information generated by assessments - and monitoring; - """ - - - id: ca-7_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Response actions to address results of the analysis of security-related - information; and - """ - - - id: ca-7_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Reporting the security status of organization and the information system to - {{ ca-7_prm_4 }} - {{ ca-7_prm_5 }}. - """ - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually. - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-7_gdn - name: guidance - prose: - """ - Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-6 - rel: related - text: PM-6 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-7.a_obj - name: objective - properties: - - - name: label - value: CA-7(a) - parts: - - - id: ca-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(a)[1] - prose: - """ - develops a continuous monitoring strategy that defines metrics to be - monitored; - """ - - - id: ca-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(a)[2] - prose: - """ - develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics; - """ - - - id: ca-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(a)[3] - prose: - """ - implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy; - """ - - - id: ca-7.b_obj - name: objective - properties: - - - name: label - value: CA-7(b) - parts: - - - id: ca-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[1] - prose: - """ - develops a continuous monitoring strategy that defines frequencies for - monitoring; - """ - - - id: ca-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[2] - prose: defines frequencies for assessments supporting monitoring; - - - id: ca-7.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[3] - prose: - """ - develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring; - """ - - - id: ca-7.b_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(b)[4] - prose: - """ - implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.c_obj - name: objective - properties: - - - name: label - value: CA-7(c) - parts: - - - id: ca-7.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(c)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security - control assessments; - """ - - - id: ca-7.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(c)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.d_obj - name: objective - properties: - - - name: label - value: CA-7(d) - parts: - - - id: ca-7.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(d)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics; - """ - - - id: ca-7.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(d)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy; - """ - - - id: ca-7.e_obj - name: objective - properties: - - - name: label - value: CA-7(e) - parts: - - - id: ca-7.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(e)[1] - prose: - """ - develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring; - """ - - - id: ca-7.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(e)[2] - prose: - """ - implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.f_obj - name: objective - properties: - - - name: label - value: CA-7(f) - parts: - - - id: ca-7.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(f)[1] - prose: - """ - develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information; - """ - - - id: ca-7.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(f)[2] - prose: - """ - implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7.g_obj - name: objective - properties: - - - name: label - value: CA-7(g) - parts: - - - id: ca-7.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[1] - prose: - """ - develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported; - """ - - - id: ca-7.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[2] - prose: - """ - develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles; - """ - - - id: ca-7.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[3] - prose: - """ - develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and - """ - - - id: ca-7.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(g)[4] - prose: - """ - implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nprocedures addressing configuration management\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nconfiguration management records, security impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Mechanisms implementing continuous monitoring - controls: - - - id: ca-7.1 - class: SP800-53-enhancement - title: Independent Assessment - parameters: - - - id: ca-7.1_prm_1 - label: organization-defined level of independence - properties: - - - name: label - value: CA-7(1) - - - name: sort-id - value: ca-07.01 - parts: - - - id: ca-7.1_smt - name: statement - prose: - """ - The organization employs assessors or assessment teams with {{ ca-7.1_prm_1 }} to monitor the security controls in the information - system on an ongoing basis. - """ - - - id: ca-7.1_gdn - name: guidance - prose: - """ - Organizations can maximize the value of assessments of security controls during - the continuous monitoring process by requiring that such assessments be conducted - by assessors or assessment teams with appropriate levels of independence based on - continuous monitoring strategies. Assessor independence provides a degree of - impartiality to the monitoring process. To achieve such impartiality, assessors - should not: (i) create a mutual or conflicting interest with the organizations - where the assessments are being conducted; (ii) assess their own work; (iii) act - as management or employees of the organizations they are serving; or (iv) place - themselves in advocacy positions for the organizations acquiring their - services. - """ - - - id: ca-7.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-7.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(1)[1] - prose: - """ - defines a level of independence to be employed to monitor the security controls - in the information system on an ongoing basis; and - """ - - - id: ca-7.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-7(1)[2] - prose: - """ - employs assessors or assessment teams with the organization-defined level of - independence to monitor the security controls in the information system on an - ongoing basis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nsecurity impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-7.3 - class: SP800-53-enhancement - title: Trend Analyses - properties: - - - name: label - value: CA-7(3) - - - name: sort-id - value: ca-07.03 - parts: - - - id: ca-7.3_smt - name: statement - prose: - """ - The organization employs trend analyses to determine if security control - implementations, the frequency of continuous monitoring activities, and/or the - types of activities used in the continuous monitoring process need to be modified - based on empirical data. - """ - - - id: ca-7.3_gdn - name: guidance - prose: - """ - Trend analyses can include, for example, examining recent threat information - regarding the types of threat events that have occurred within the organization or - across the federal government, success rates of certain types of cyber attacks, - emerging vulnerabilities in information technologies, evolving social engineering - techniques, results from multiple security control assessments, the effectiveness - of configuration settings, and findings from Inspectors General or auditors. - """ - - - id: ca-7.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization employs trend analyses to determine if the following - items need to be modified based on empirical data: - """ - parts: - - - id: ca-7.3_obj.1 - name: objective - properties: - - - name: label - value: CA-7(3)[1] - prose: security control implementations; - - - id: ca-7.3_obj.2 - name: objective - properties: - - - name: label - value: CA-7(3)[2] - prose: the frequency of continuous monitoring activities; and/or - - - id: ca-7.3_obj.3 - name: objective - properties: - - - name: label - value: CA-7(3)[3] - prose: the types of activities used in the continuous monitoring process. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Continuous monitoring strategy\n\nSecurity assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nsecurity impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-8 - class: SP800-53 - title: Penetration Testing - parameters: - - - id: ca-8_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-8_prm_2 - label: organization-defined information systems or system components - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-8 - - - name: sort-id - value: ca-08 - parts: - - - id: ca-8_smt - name: statement - prose: - """ - The organization conducts penetration testing {{ ca-8_prm_1 }} on - {{ ca-8_prm_2 }}. - """ - parts: - - - id: ca-8_fr - name: item - title: CA-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/) - - """ - - - id: ca-8_gdn - name: guidance - prose: - """ - Penetration testing is a specialized type of assessment conducted on information - systems or individual system components to identify vulnerabilities that could be - exploited by adversaries. Such testing can be used to either validate vulnerabilities - or determine the degree of resistance organizational information systems have to - adversaries within a set of specified constraints (e.g., time, resources, and/or - skills). Penetration testing attempts to duplicate the actions of adversaries in - carrying out hostile cyber attacks against organizations and provides a more in-depth - analysis of security-related weaknesses/deficiencies. Organizations can also use the - results of vulnerability analyses to support penetration testing activities. - Penetration testing can be conducted on the hardware, software, or firmware - components of an information system and can exercise both physical and technical - security controls. A standard method for penetration testing includes, for example: - (i) pretest analysis based on full knowledge of the target system; (ii) pretest - identification of potential vulnerabilities based on pretest analysis; and (iii) - testing designed to determine exploitability of identified vulnerabilities. All - parties agree to the rules of engagement before the commencement of penetration - testing scenarios. Organizations correlate the penetration testing rules of - engagement with the tools, techniques, and procedures that are anticipated to be - employed by adversaries carrying out attacks. Organizational risk assessments guide - decisions on the level of independence required for personnel conducting penetration - testing. - """ - links: - - - href: #sa-12 - rel: related - text: SA-12 - - - id: ca-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-8_obj.1 - name: objective - properties: - - - name: label - value: CA-8[1] - prose: - """ - defines information systems or system components on which penetration testing is - to be conducted; - """ - - - id: ca-8_obj.2 - name: objective - properties: - - - name: label - value: CA-8[2] - prose: - """ - defines the frequency to conduct penetration testing on organization-defined - information systems or system components; and - """ - - - id: ca-8_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-8[3] - prose: - """ - conducts penetration testing on organization-defined information systems or system - components with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing penetration testing\n\nsecurity plan\n\nsecurity assessment plan\n\npenetration test report\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities, - system/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting penetration testing - controls: - - - id: ca-8.1 - class: SP800-53-enhancement - title: Independent Penetration Agent or Team - properties: - - - name: label - value: CA-8(1) - - - name: sort-id - value: ca-08.01 - parts: - - - id: ca-8.1_smt - name: statement - prose: - """ - The organization employs an independent penetration agent or penetration team to - perform penetration testing on the information system or system components. - """ - - - id: ca-8.1_gdn - name: guidance - prose: - """ - Independent penetration agents or teams are individuals or groups who conduct - impartial penetration testing of organizational information systems. Impartiality - implies that penetration agents or teams are free from any perceived or actual - conflicts of interest with regard to the development, operation, or management of - the information systems that are the targets of the penetration testing. - Supplemental guidance for CA-2 (1) provides additional information regarding - independent assessments that can be applied to penetration testing. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - id: ca-8.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization employs an independent penetration agent or - penetration team to perform penetration testing on the information system or - system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing penetration testing\n\nsecurity plan\n\nsecurity assessment plan\n\npenetration test report\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-9 - class: SP800-53 - title: Internal System Connections - parameters: - - - id: ca-9_prm_1 - label: - """ - organization-defined information system components or classes of - components - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-9 - - - name: sort-id - value: ca-09 - parts: - - - id: ca-9_smt - name: statement - prose: The organization: - parts: - - - id: ca-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes internal connections of {{ ca-9_prm_1 }} to the - information system; and - """ - - - id: ca-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated. - """ - - - id: ca-9_gdn - name: guidance - prose: - """ - This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-9.a_obj - name: objective - properties: - - - name: label - value: CA-9(a) - parts: - - - id: ca-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-9(a)[1] - prose: - """ - defines information system components or classes of components to be authorized - as internal connections to the information system; - """ - - - id: ca-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-9(a)[2] - prose: - """ - authorizes internal connections of organization-defined information system - components or classes of components to the information system; - """ - - - id: ca-9.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-9(b) - prose: documents, for each internal connection: - parts: - - - id: ca-9.b_obj.1 - name: objective - properties: - - - name: label - value: CA-9(b)[1] - prose: the interface characteristics; - - - id: ca-9.b_obj.2 - name: objective - properties: - - - name: label - value: CA-9(b)[2] - prose: the security requirements; and - - - id: ca-9.b_obj.3 - name: objective - properties: - - - name: label - value: CA-9(b)[3] - prose: the nature of the information communicated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system - connections\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections\n\norganizational personnel with information security responsibilities - """ - - - id: cm - class: family - title: Configuration Management - controls: - - - id: cm-1 - class: SP800-53 - title: Configuration Management Policy and Procedures - parameters: - - - id: cm-1_prm_1 - label: organization-defined personnel or roles - - - id: cm-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cm-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-1 - - - name: sort-id - value: cm-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cm-1_smt - name: statement - prose: The organization: - parts: - - - id: cm-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cm-1_prm_1 }}: - parts: - - - id: cm-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cm-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and - """ - - - id: cm-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cm-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Configuration management policy {{ cm-1_prm_2 }}; and - - - id: cm-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Configuration management procedures {{ cm-1_prm_3 }}. - - - id: cm-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cm-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-1.a_obj - name: objective - properties: - - - name: label - value: CM-1(a) - parts: - - - id: cm-1.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(1) - parts: - - - id: cm-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1] - prose: develops and documents a configuration management policy that addresses: - parts: - - - id: cm-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][a] - prose: purpose; - - - id: cm-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][b] - prose: scope; - - - id: cm-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][c] - prose: roles; - - - id: cm-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][d] - prose: responsibilities; - - - id: cm-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][e] - prose: management commitment; - - - id: cm-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cm-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][g] - prose: compliance; - - - id: cm-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the configuration management policy is to - be disseminated; - """ - - - id: cm-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-1(a)(1)[3] - prose: - """ - disseminates the configuration management policy to organization-defined - personnel or roles; - """ - - - id: cm-1.a.2_obj - name: objective - properties: - - - name: label - value: CM-1(a)(2) - parts: - - - id: cm-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls; - """ - - - id: cm-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cm-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: cm-1.b_obj - name: objective - properties: - - - name: label - value: CM-1(b) - parts: - - - id: cm-1.b.1_obj - name: objective - properties: - - - name: label - value: CM-1(b)(1) - parts: - - - id: cm-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current configuration - management policy; - """ - - - id: cm-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(1)[2] - prose: - """ - reviews and updates the current configuration management policy with the - organization-defined frequency; - """ - - - id: cm-1.b.2_obj - name: objective - properties: - - - name: label - value: CM-1(b)(2) - parts: - - - id: cm-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current configuration - management procedures; and - """ - - - id: cm-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(2)[2] - prose: - """ - reviews and updates the current configuration management procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: cm-2 - class: SP800-53 - title: Baseline Configuration - properties: - - - name: label - value: CM-2 - - - name: sort-id - value: cm-02 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-2_smt - name: statement - prose: - """ - The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system. - """ - - - id: cm-2_gdn - name: guidance - prose: - """ - This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #pm-5 - rel: related - text: PM-5 - - - href: #pm-7 - rel: related - text: PM-7 - - - id: cm-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-2[1] - prose: - """ - develops and documents a current baseline configuration of the information system; - and - """ - - - id: cm-2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2[2] - prose: - """ - maintains, under configuration control, a current baseline configuration of the - information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\nenterprise architecture documentation\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline - configuration - """ - controls: - - - id: cm-2.1 - class: SP800-53-enhancement - title: Reviews and Updates - parameters: - - - id: cm-2.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually or when a significant change occurs - - - id: cm-2.1_prm_2 - label: Assignment organization-defined circumstances - constraints: - - - detail: to include when directed by the JAB - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-2(1) - - - name: sort-id - value: cm-02.01 - parts: - - - id: cm-2.1_smt - name: statement - prose: - """ - The organization reviews and updates the baseline configuration of the information - system: - """ - parts: - - - id: cm-2.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - - {{ cm-2.1_prm_1 }}; - """ - - - id: cm-2.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: When required due to {{ cm-2.1_prm_2 }}; and - - - id: cm-2.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - As an integral part of information system component installations and - upgrades. - """ - - - id: cm-2.1_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-2.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7. - - - id: cm-2.1_gdn - name: guidance - links: - - - href: #cm-5 - rel: related - text: CM-5 - - - id: cm-2.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2.1.a_obj - name: objective - properties: - - - name: label - value: CM-2(1)(a) - parts: - - - id: cm-2.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(1)(a)[1] - prose: - """ - defines the frequency to review and update the baseline configuration of the - information system; - """ - - - id: cm-2.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(1)(a)[2] - prose: - """ - reviews and updates the baseline configuration of the information system - with the organization-defined frequency; - """ - links: - - - href: #cm-2.1_smt.a - rel: corresp - text: CM-2(1)(a) - - - id: cm-2.1.b_obj - name: objective - properties: - - - name: label - value: CM-2(1)(b) - parts: - - - id: cm-2.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(1)(b)[1] - prose: - """ - defines circumstances that require the baseline configuration of the - information system to be reviewed and updated; - """ - - - id: cm-2.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(1)(b)[2] - prose: - """ - reviews and updates the baseline configuration of the information system - when required due to organization-defined circumstances; and - """ - links: - - - href: #cm-2.1_smt.b - rel: corresp - text: CM-2(1)(b) - - - id: cm-2.1.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(1)(c) - prose: - """ - reviews and updates the baseline configuration of the information system as an - integral part of information system component installations and upgrades. - """ - links: - - - href: #cm-2.1_smt.c - rel: corresp - text: CM-2(1)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing the baseline configuration of the information system\n\nprocedures addressing information system component installations and - upgrades\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of information system baseline configuration reviews and updates\n\ninformation system component installations/upgrades and associated records\n\nchange control records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting review and update of the baseline - configuration - """ - - - id: cm-2.2 - class: SP800-53-enhancement - title: Automation Support for Accuracy / Currency - properties: - - - name: label - value: CM-2(2) - - - name: sort-id - value: cm-02.02 - parts: - - - id: cm-2.2_smt - name: statement - prose: - """ - The organization employs automated mechanisms to maintain an up-to-date, complete, - accurate, and readily available baseline configuration of the information - system. - """ - - - id: cm-2.2_gdn - name: guidance - prose: - """ - Automated mechanisms that help organizations maintain consistent baseline - configurations for information systems include, for example, hardware and software - inventory tools, configuration management tools, and network management tools. - Such tools can be deployed and/or allocated as common controls, at the information - system level, or at the operating system or component level (e.g., on - workstations, servers, notebook computers, network components, or mobile devices). - Tools can be used, for example, to track version numbers on operating system - applications, types of software installed, and current patch levels. This control - enhancement can be satisfied by the implementation of CM-8 (2) for organizations - that choose to combine information system component inventory and baseline - configuration activities. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: cm-2.2_obj - name: objective - prose: Determine if the organization employs automated mechanisms to maintain: - parts: - - - id: cm-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[1] - prose: an up-to-date baseline configuration of the information system; - - - id: cm-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[2] - prose: a complete baseline configuration of the information system; - - - id: cm-2.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[3] - prose: an accurate baseline configuration of the information system; and - - - id: cm-2.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[4] - prose: a readily available baseline configuration of the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nconfiguration change control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing baseline configurations\n\nautomated mechanisms implementing baseline configuration maintenance - - - id: cm-2.3 - class: SP800-53-enhancement - title: Retention of Previous Configurations - parameters: - - - id: cm-2.3_prm_1 - label: - """ - organization-defined previous versions of baseline configurations of the - information system - """ - constraints: - - - detail: organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components - properties: - - - name: label - value: CM-2(3) - - - name: sort-id - value: cm-02.03 - parts: - - - id: cm-2.3_smt - name: statement - prose: - """ - The organization retains {{ cm-2.3_prm_1 }} to support - rollback. - """ - - - id: cm-2.3_gdn - name: guidance - prose: - """ - Retaining previous versions of baseline configurations to support rollback may - include, for example, hardware, software, firmware, configuration files, and - configuration records. - """ - - - id: cm-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(3)[1] - prose: - """ - defines previous versions of baseline configurations of the information system - to be retained to support rollback; and - """ - - - id: cm-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(3)[2] - prose: - """ - retains organization-defined previous versions of baseline configurations of - the information system to support rollback. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\ncopies of previous baseline configuration versions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing baseline configurations - - - id: cm-2.7 - class: SP800-53-enhancement - title: Configure Systems, Components, or Devices for High-risk Areas - parameters: - - - id: cm-2.7_prm_1 - label: - """ - organization-defined information systems, system components, or - devices - """ - - - id: cm-2.7_prm_2 - label: organization-defined configurations - - - id: cm-2.7_prm_3 - label: organization-defined security safeguards - properties: - - - name: label - value: CM-2(7) - - - name: sort-id - value: cm-02.07 - parts: - - - id: cm-2.7_smt - name: statement - prose: The organization: - parts: - - - id: cm-2.7_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Issues {{ cm-2.7_prm_1 }} with {{ cm-2.7_prm_2 }} - to individuals traveling to locations that the organization deems to be of - significant risk; and - """ - - - id: cm-2.7_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Applies {{ cm-2.7_prm_3 }} to the devices when the individuals - return. - """ - - - id: cm-2.7_gdn - name: guidance - prose: - """ - When it is known that information systems, system components, or devices (e.g., - notebook computers, mobile devices) will be located in high-risk areas, additional - security controls may be implemented to counter the greater threat in such areas - coupled with the lack of physical security relative to organizational-controlled - areas. For example, organizational policies and procedures for notebook computers - used by individuals departing on and returning from travel include, for example, - determining which locations are of concern, defining required configurations for - the devices, ensuring that the devices are configured as intended before travel is - initiated, and applying specific safeguards to the device after travel is - completed. Specially configured notebook computers include, for example, computers - with sanitized hard drives, limited applications, and additional hardening (e.g., - more stringent configuration settings). Specified safeguards applied to mobile - devices upon return from travel include, for example, examining the device for - signs of physical tampering and purging/reimaging the hard disk drive. Protecting - information residing on mobile devices is covered in the media protection - family. - """ - - - id: cm-2.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2.7.a_obj - name: objective - properties: - - - name: label - value: CM-2(7)(a) - parts: - - - id: cm-2.7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(7)(a)[1] - prose: - """ - defines information systems, system components, or devices to be issued to - individuals traveling to locations that the organization deems to be of - significant risk; - """ - - - id: cm-2.7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(7)(a)[2] - prose: - """ - defines configurations to be employed on organization-defined information - systems, system components, or devices issued to individuals traveling to - such locations; - """ - - - id: cm-2.7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(7)(a)[3] - prose: - """ - issues organization-defined information systems, system components, or - devices with organization-defined configurations to individuals traveling to - locations that the organization deems to be of significant risk; - """ - links: - - - href: #cm-2.7_smt.a - rel: corresp - text: CM-2(7)(a) - - - id: cm-2.7.b_obj - name: objective - properties: - - - name: label - value: CM-2(7)(b) - parts: - - - id: cm-2.7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(7)(b)[1] - prose: - """ - defines security safeguards to be applied to the devices when the - individuals return; and - """ - - - id: cm-2.7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(7)(b)[2] - prose: - """ - applies organization-defined safeguards to the devices when the individuals - return. - """ - links: - - - href: #cm-2.7_smt.b - rel: corresp - text: CM-2(7)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing the baseline configuration of the information system\n\nprocedures addressing information system component installations and - upgrades\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of information system baseline configuration reviews and updates\n\ninformation system component installations/upgrades and associated records\n\nchange control records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing baseline configurations - - - id: cm-3 - class: SP800-53 - title: Configuration Change Control - parameters: - - - id: cm-3_prm_1 - label: organization-defined time period - - - id: cm-3_prm_2 - label: - """ - organization-defined configuration change control element (e.g., committee, - board) - """ - - - id: cm-3_prm_3 - - - id: cm-3_prm_4 - depends-on: cm-3_prm_3 - label: organization-defined frequency - - - id: cm-3_prm_5 - depends-on: cm-3_prm_3 - label: organization-defined configuration change conditions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-3 - - - name: sort-id - value: cm-03 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-3_smt - name: statement - prose: The organization: - parts: - - - id: cm-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines the types of changes to the information system that are - configuration-controlled; - """ - - - id: cm-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses; - """ - - - id: cm-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents configuration change decisions associated with the information - system; - """ - - - id: cm-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Implements approved configuration-controlled changes to the information - system; - """ - - - id: cm-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Retains records of configuration-controlled changes to the information system for - {{ cm-3_prm_1 }}; - """ - - - id: cm-3_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Audits and reviews activities associated with configuration-controlled changes to - the information system; and - """ - - - id: cm-3_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Coordinates and provides oversight for configuration change control activities - through {{ cm-3_prm_2 }} that convenes {{ cm-3_prm_3 }}. - """ - - - id: cm-3_fr - name: item - title: CM-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-3_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO. - - - id: cm-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (e) Guidance: - prose: In accordance with record retention policies and procedures. - - - id: cm-3_gdn - name: guidance - prose: - """ - Configuration change controls for organizational information systems involve the - systematic proposal, justification, implementation, testing, review, and disposition - of changes to the systems, including system upgrades and modifications. Configuration - change control includes changes to baseline configurations for components and - configuration items of information systems, changes to configuration settings for - information technology products (e.g., operating systems, applications, firewalls, - routers, and mobile devices), unscheduled/unauthorized changes, and changes to - remediate vulnerabilities. Typical processes for managing configuration changes to - information systems include, for example, Configuration Control Boards that approve - proposed changes to systems. For new development information systems or systems - undergoing major upgrades, organizations consider including representatives from - development organizations on the Configuration Control Boards. Auditing of changes - includes activities before and after changes are made to organizational information - systems and the auditing activities required to implement such changes. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-12 - rel: related - text: SI-12 - - - id: cm-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(a) - prose: - """ - determines the type of changes to the information system that must be - configuration-controlled; - """ - - - id: cm-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-3(b) - prose: - """ - reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses; - """ - - - id: cm-3.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-3(c) - prose: - """ - documents configuration change decisions associated with the information - system; - """ - - - id: cm-3.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(d) - prose: - """ - implements approved configuration-controlled changes to the information - system; - """ - - - id: cm-3.e_obj - name: objective - properties: - - - name: label - value: CM-3(e) - parts: - - - id: cm-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(e)[1] - prose: - """ - defines a time period to retain records of configuration-controlled changes to - the information system; - """ - - - id: cm-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(e)[2] - prose: - """ - retains records of configuration-controlled changes to the information system - for the organization-defined time period; - """ - - - id: cm-3.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(f) - prose: - """ - audits and reviews activities associated with configuration-controlled changes to - the information system; - """ - - - id: cm-3.g_obj - name: objective - properties: - - - name: label - value: CM-3(g) - parts: - - - id: cm-3.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(g)[1] - prose: - """ - defines a configuration change control element (e.g., committee, board) - responsible for coordinating and providing oversight for configuration change - control activities; - """ - - - id: cm-3.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(g)[2] - prose: - """ - defines the frequency with which the configuration change control element must - convene; and/or - """ - - - id: cm-3.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(g)[3] - prose: - """ - defines configuration change conditions that prompt the configuration change - control element to convene; and - """ - - - id: cm-3.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(g)[4] - prose: - """ - coordinates and provides oversight for configuration change control activities - through organization-defined configuration change control element that convenes - at organization-defined frequency and/or for any organization-defined - configuration change conditions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system configuration change control\n\nconfiguration management plan\n\ninformation system architecture and configuration documentation\n\nsecurity plan\n\nchange control records\n\ninformation system audit records\n\nchange control audit and review reports\n\nagenda /minutes from configuration change control oversight meetings\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for configuration change control\n\nautomated mechanisms that implement configuration change control - controls: - - - id: cm-3.1 - class: SP800-53-enhancement - title: Automated Document / Notification / Prohibition of Changes - parameters: - - - id: cm-3.1_prm_1 - label: organized-defined approval authorities - - - id: cm-3.1_prm_2 - label: organization-defined time period - constraints: - - - detail: organization agreed upon time period - - - id: cm-3.1_prm_3 - label: organization-defined personnel - constraints: - - - detail: organization defined configuration management approval authorities - properties: - - - name: label - value: CM-3(1) - - - name: sort-id - value: cm-03.01 - parts: - - - id: cm-3.1_smt - name: statement - prose: The organization employs automated mechanisms to: - parts: - - - id: cm-3.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Document proposed changes to the information system; - - - id: cm-3.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Notify {{ cm-3.1_prm_1 }} of proposed changes to the information - system and request change approval; - """ - - - id: cm-3.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Highlight proposed changes to the information system that have not been - approved or disapproved by {{ cm-3.1_prm_2 }}; - """ - - - id: cm-3.1_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Prohibit changes to the information system until designated approvals are - received; - """ - - - id: cm-3.1_smt.e - name: item - properties: - - - name: label - value: (e) - prose: Document all changes to the information system; and - - - id: cm-3.1_smt.f - name: item - properties: - - - name: label - value: (f) - prose: - """ - Notify {{ cm-3.1_prm_3 }} when approved changes to the - information system are completed. - """ - - - id: cm-3.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-3.1.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(1)(a) - prose: - """ - employs automated mechanisms to document proposed changes to the information - system; - """ - links: - - - href: #cm-3.1_smt.a - rel: corresp - text: CM-3(1)(a) - - - id: cm-3.1.b_obj - name: objective - properties: - - - name: label - value: CM-3(1)(b) - parts: - - - id: cm-3.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(1)(b)[1] - prose: - """ - defines approval authorities to be notified of proposed changes to the - information system and request change approval; - """ - - - id: cm-3.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(1)(b)[2] - prose: - """ - employs automated mechanisms to notify organization-defined approval - authorities of proposed changes to the information system and request change - approval; - """ - links: - - - href: #cm-3.1_smt.b - rel: corresp - text: CM-3(1)(b) - - - id: cm-3.1.c_obj - name: objective - properties: - - - name: label - value: CM-3(1)(c) - parts: - - - id: cm-3.1.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(1)(c)[1] - prose: - """ - defines the time period within which proposed changes to the information - system that have not been approved or disapproved must be highlighted; - """ - - - id: cm-3.1.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(1)(c)[2] - prose: - """ - employs automated mechanisms to highlight proposed changes to the - information system that have not been approved or disapproved by - organization-defined time period; - """ - links: - - - href: #cm-3.1_smt.c - rel: corresp - text: CM-3(1)(c) - - - id: cm-3.1.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(1)(d) - prose: - """ - employs automated mechanisms to prohibit changes to the information system - until designated approvals are received; - """ - links: - - - href: #cm-3.1_smt.d - rel: corresp - text: CM-3(1)(d) - - - id: cm-3.1.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(1)(e) - prose: - """ - employs automated mechanisms to document all changes to the information - system; - """ - links: - - - href: #cm-3.1_smt.e - rel: corresp - text: CM-3(1)(e) - - - id: cm-3.1.f_obj - name: objective - properties: - - - name: label - value: CM-3(1)(f) - parts: - - - id: cm-3.1.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(1)(f)[1] - prose: - """ - defines personnel to be notified when approved changes to the information - system are completed; and - """ - - - id: cm-3.1.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(1)(f)[2] - prose: - """ - employs automated mechanisms to notify organization-defined personnel when - approved changes to the information system are completed. - """ - links: - - - href: #cm-3.1_smt.f - rel: corresp - text: CM-3(1)(f) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system configuration change control\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\nautomated configuration control mechanisms\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nchange approval requests\n\nchange approvals\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for configuration change control\n\nautomated mechanisms implementing configuration change control activities - - - id: cm-3.2 - class: SP800-53-enhancement - title: Test / Validate / Document Changes - properties: - - - name: label - value: CM-3(2) - - - name: sort-id - value: cm-03.02 - parts: - - - id: cm-3.2_smt - name: statement - prose: - """ - The organization tests, validates, and documents changes to the information system - before implementing the changes on the operational system. - """ - - - id: cm-3.2_gdn - name: guidance - prose: - """ - Changes to information systems include modifications to hardware, software, or - firmware components and configuration settings defined in CM-6. Organizations - ensure that testing does not interfere with information system operations. - Individuals/groups conducting tests understand organizational security policies - and procedures, information system security policies and procedures, and the - specific health, safety, and environmental risks associated with particular - facilities/processes. Operational systems may need to be taken off-line, or - replicated to the extent feasible, before testing can be conducted. If information - systems must be taken off-line for testing, the tests are scheduled to occur - during planned system outages whenever possible. If testing cannot be conducted on - operational systems, organizations employ compensating controls (e.g., testing on - replicated systems). - """ - - - id: cm-3.2_obj - name: objective - prose: - """ - Determine if the organization, before implementing changes on the operational - system: - """ - parts: - - - id: cm-3.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(2)[1] - prose: tests changes to the information system; - - - id: cm-3.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(2)[2] - prose: validates changes to the information system; and - - - id: cm-3.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(2)[3] - prose: documents changes to the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing information system configuration change control\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\ntest records\n\nvalidation records\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for configuration change control\n\nautomated mechanisms supporting and/or implementing testing, validating, and - documenting information system changes - """ - - - id: cm-3.4 - class: SP800-53-enhancement - title: Security Representative - parameters: - - - id: cm-3.4_prm_1 - label: organization-defined configuration change control element - constraints: - - - detail: Configuration control board (CCB) or similar (as defined in CM-3) - properties: - - - name: label - value: CM-3(4) - - - name: sort-id - value: cm-03.04 - parts: - - - id: cm-3.4_smt - name: statement - prose: - """ - The organization requires an information security representative to be a member of - the {{ cm-3.4_prm_1 }}. - """ - - - id: cm-3.4_gdn - name: guidance - prose: - """ - Information security representatives can include, for example, senior agency - information security officers, information system security officers, or - information system security managers. Representation by personnel with information - security expertise is important because changes to information system - configurations can have unintended side effects, some of which may be - security-relevant. Detecting such changes early in the process can help avoid - unintended, negative consequences that could ultimately affect the security state - of organizational information systems. The configuration change control element in - this control enhancement reflects the change control elements defined by - organizations in CM-3. - """ - - - id: cm-3.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-3.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-3(4)[1] - prose: - """ - specifies the configuration change control elements (as defined in CM-3g) of - which an information security representative is to be a member; and - """ - - - id: cm-3.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(4)[2] - prose: - """ - requires an information security representative to be a member of the specified - configuration control element. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system configuration change control\n\nconfiguration management plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for configuration change control - - - id: cm-3.6 - class: SP800-53-enhancement - title: Cryptography Management - parameters: - - - id: cm-3.6_prm_1 - label: organization-defined security safeguards - constraints: - - - detail: All security safeguards that rely on cryptography - properties: - - - name: label - value: CM-3(6) - - - name: sort-id - value: cm-03.06 - parts: - - - id: cm-3.6_smt - name: statement - prose: The organization ensures that cryptographic mechanisms used to provide {{ cm-3.6_prm_1 }} are under configuration management. - - - id: cm-3.6_gdn - name: guidance - prose: - """ - Regardless of the cryptographic means employed (e.g., public key, private key, - shared secrets), organizations ensure that there are processes and procedures in - place to effectively manage those means. For example, if devices use certificates - as a basis for identification and authentication, there needs to be a process in - place to address the expiration of those certificates. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - id: cm-3.6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-3.6_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(6)[1] - prose: - """ - defines security safeguards provided by cryptographic mechanisms that are to be - under configuration management; and - """ - - - id: cm-3.6_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(6)[2] - prose: - """ - ensures that cryptographic mechanisms used to provide organization-defined - security safeguards are under configuration management. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system configuration change control\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for configuration change control\n\ncryptographic mechanisms implementing organizational security safeguards - - - id: cm-4 - class: SP800-53 - title: Security Impact Analysis - properties: - - - name: label - value: CM-4 - - - name: sort-id - value: cm-04 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-4_smt - name: statement - prose: - """ - The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation. - """ - - - id: cm-4_gdn - name: guidance - prose: - """ - Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #si-2 - rel: related - text: SI-2 - - - id: cm-4_obj - name: objective - prose: - """ - Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing security impact analysis for changes to the information - system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nanalysis tools and associated outputs\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for conducting security impact - analysis\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security impact analysis - controls: - - - id: cm-4.1 - class: SP800-53-enhancement - title: Separate Test Environments - properties: - - - name: label - value: CM-4(1) - - - name: sort-id - value: cm-04.01 - parts: - - - id: cm-4.1_smt - name: statement - prose: - """ - The organization analyzes changes to the information system in a separate test - environment before implementation in an operational environment, looking for - security impacts due to flaws, weaknesses, incompatibility, or intentional - malice. - """ - - - id: cm-4.1_gdn - name: guidance - prose: - """ - Separate test environment in this context means an environment that is physically - or logically isolated and distinct from the operational environment. The - separation is sufficient to ensure that activities in the test environment do not - impact activities in the operational environment, and information in the - operational environment is not inadvertently transmitted to the test environment. - Separate environments can be achieved by physical or logical means. If physically - separate test environments are not used, organizations determine the strength of - mechanism required when implementing logical separation (e.g., separation achieved - through virtual machines). - """ - links: - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sc-3 - rel: related - text: SC-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-4.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-4.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-4(1)[1] - prose: - """ - analyzes changes to the information system in a separate test environment - before implementation in an operational environment; - """ - - - id: cm-4.1_obj.2 - name: objective - properties: - - - name: label - value: CM-4(1)[2] - prose: - """ - when analyzing changes to the information system in a separate test - environment, looks for security impacts due to: - """ - parts: - - - id: cm-4.1_obj.2.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-4(1)[2][a] - prose: flaws; - - - id: cm-4.1_obj.2.b - name: objective - properties: - - - name: label - value: CM-4(1)[2][b] - prose: weaknesses; - - - id: cm-4.1_obj.2.c - name: objective - properties: - - - name: label - value: CM-4(1)[2][c] - prose: incompatibility; and - - - id: cm-4.1_obj.2.d - name: objective - properties: - - - name: label - value: CM-4(1)[2][d] - prose: intentional malice. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing security impact analysis for changes to the information - system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nanalysis tools and associated outputs information system design - documentation\n\ninformation system architecture and configuration documentation\n\nchange control records\n\ninformation system audit records\n\ndocumentation evidence of separate test and operational environments\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for conducting security impact - analysis\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for security impact analysis\n\nautomated mechanisms supporting and/or implementing security impact analysis of - changes - """ - - - id: cm-5 - class: SP800-53 - title: Access Restrictions for Change - properties: - - - name: label - value: CM-5 - - - name: sort-id - value: cm-05 - parts: - - - id: cm-5_smt - name: statement - prose: - """ - The organization defines, documents, approves, and enforces physical and logical - access restrictions associated with changes to the information system. - """ - - - id: cm-5_gdn - name: guidance - prose: - """ - Any changes to the hardware, software, and/or firmware components of information - systems can potentially have significant effects on the overall security of the - systems. Therefore, organizations permit only qualified and authorized individuals to - access information systems for purposes of initiating changes, including upgrades and - modifications. Organizations maintain records of access to ensure that configuration - change control is implemented and to support after-the-fact actions should - organizations discover any unauthorized changes. Access restrictions for change also - include software libraries. Access restrictions include, for example, physical and - logical access controls (see AC-3 and PE-3), workflow automation, media libraries, - abstract layers (e.g., changes implemented into third-party interfaces rather than - directly into information systems), and change windows (e.g., changes occur only - during specified times, making unauthorized changes easy to discover). - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: cm-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-5_obj.1 - name: objective - properties: - - - name: label - value: CM-5[1] - prose: - """ - defines physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.2 - name: objective - properties: - - - name: label - value: CM-5[2] - prose: - """ - documents physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.3 - name: objective - properties: - - - name: label - value: CM-5[3] - prose: - """ - approves physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.4 - name: objective - properties: - - - name: label - value: CM-5[4] - prose: - """ - enforces physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.5 - name: objective - properties: - - - name: label - value: CM-5[5] - prose: - """ - defines logical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.6 - name: objective - properties: - - - name: label - value: CM-5[6] - prose: - """ - documents logical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.7 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5[7] - prose: - """ - approves logical access restrictions associated with changes to the information - system; and - """ - - - id: cm-5_obj.8 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5[8] - prose: - """ - enforces logical access restrictions associated with changes to the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nlogical access approvals\n\nphysical access approvals\n\naccess credentials\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with logical access control responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting/implementing/enforcing access restrictions - associated with changes to the information system - """ - controls: - - - id: cm-5.1 - class: SP800-53-enhancement - title: Automated Access Enforcement / Auditing - properties: - - - name: label - value: CM-5(1) - - - name: sort-id - value: cm-05.01 - parts: - - - id: cm-5.1_smt - name: statement - prose: - """ - The information system enforces access restrictions and supports auditing of the - enforcement actions. - """ - - - id: cm-5.1_gdn - name: guidance - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-6 - rel: related - text: CM-6 - - - id: cm-5.1_obj - name: objective - prose: Determine if the information system: - parts: - - - id: cm-5.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(1)[1] - prose: enforces access restrictions for change; and - - - id: cm-5.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(1)[2] - prose: supports auditing of the enforcement actions. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms implementing enforcement of access restrictions for - changes to the information system\n\nautomated mechanisms supporting auditing of enforcement actions - """ - - - id: cm-5.2 - class: SP800-53-enhancement - title: Review System Changes - parameters: - - - id: cm-5.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every thirty (30) days - - - id: cm-5.2_prm_2 - label: organization-defined circumstances - properties: - - - name: label - value: CM-5(2) - - - name: sort-id - value: cm-05.02 - parts: - - - id: cm-5.2_smt - name: statement - prose: - """ - The organization reviews information system changes {{ cm-5.2_prm_1 }} and {{ cm-5.2_prm_2 }} to determine - whether unauthorized changes have occurred. - """ - - - id: cm-5.2_gdn - name: guidance - prose: - """ - Indications that warrant review of information system changes and the specific - circumstances justifying such reviews may be obtained from activities carried out - by organizations during the configuration change process. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #pe-8 - rel: related - text: PE-8 - - - id: cm-5.2_obj - name: objective - prose: - """ - Determine if the organization, in an effort to ascertain whether unauthorized - changes have occurred: - """ - parts: - - - id: cm-5.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(2)[1] - prose: defines the frequency to review information system changes; - - - id: cm-5.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(2)[2] - prose: defines circumstances that warrant review of information system changes; - - - id: cm-5.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(2)[3] - prose: - """ - reviews information system changes with the organization-defined frequency; - and - """ - - - id: cm-5.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(2)[4] - prose: - """ - reviews information system changes with the organization-defined - circumstances. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\nsecurity plan\n\nreviews of information system changes\n\naudit and review reports\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting/implementing information system reviews to - determine whether unauthorized changes have occurred - """ - - - id: cm-5.3 - class: SP800-53-enhancement - title: Signed Components - parameters: - - - id: cm-5.3_prm_1 - label: organization-defined software and firmware components - properties: - - - name: label - value: CM-5(3) - - - name: sort-id - value: cm-05.03 - parts: - - - id: cm-5.3_smt - name: statement - prose: - """ - The information system prevents the installation of {{ cm-5.3_prm_1 }} without verification that the component has been - digitally signed using a certificate that is recognized and approved by the - organization. - """ - parts: - - - id: cm-5.3_fr - name: item - title: CM-5 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-5.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized. - - - id: cm-5.3_gdn - name: guidance - prose: - """ - Software and firmware components prevented from installation unless signed with - recognized and approved certificates include, for example, software and firmware - version updates, patches, service packs, device drivers, and basic input output - system (BIOS) updates. Organizations can identify applicable software and firmware - components by type, by specific items, or a combination of both. Digital - signatures and organizational verification of such signatures, is a method of code - authentication. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #si-7 - rel: related - text: SI-7 - - - id: cm-5.3_obj - name: objective - prose: Determine if: - parts: - - - id: cm-5.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(3)[1] - prose: - """ - the organization defines software and firmware components that the information - system will prevent from being installed without verification that such - components have been digitally signed using a certificate that is recognized - and approved by the organization; and - """ - - - id: cm-5.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(3)[2] - prose: - """ - the information system prevents the installation of organization-defined - software and firmware components without verification that such components have - been digitally signed using a certificate that is recognized and approved by - the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\nsecurity plan\n\nlist of software and firmware components to be prohibited from installation - without a recognized and approved certificate\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms preventing installation of software and firmware - components not signed with an organization-recognized and approved - certificate - """ - - - id: cm-5.5 - class: SP800-53-enhancement - title: Limit Production / Operational Privileges - parameters: - - - id: cm-5.5_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least quarterly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-5(5) - - - name: sort-id - value: cm-05.05 - parts: - - - id: cm-5.5_smt - name: statement - prose: The organization: - parts: - - - id: cm-5.5_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Limits privileges to change information system components and system-related - information within a production or operational environment; and - """ - - - id: cm-5.5_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Reviews and reevaluates privileges {{ cm-5.5_prm_1 }}. - - - id: cm-5.5_gdn - name: guidance - prose: - """ - In many organizations, information systems support multiple core missions/business - functions. Limiting privileges to change information system components with - respect to operational systems is necessary because changes to a particular - information system component may have far-reaching effects on mission/business - processes supported by the system where the component resides. The complex, - many-to-many relationships between systems and mission/business processes are in - some cases, unknown to developers. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - id: cm-5.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-5.5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(5)(a) - prose: - """ - limits privileges to change information system components and system-related - information within a production or operational environment; - """ - links: - - - href: #cm-5.5_smt.a - rel: corresp - text: CM-5(5)(a) - - - id: cm-5.5.b_obj - name: objective - properties: - - - name: label - value: CM-5(5)(b) - parts: - - - id: cm-5.5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(5)(b)[1] - prose: defines the frequency to review and reevaluate privileges; and - - - id: cm-5.5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(5)(b)[2] - prose: - """ - reviews and reevaluates privileges with the organization-defined - frequency. - """ - links: - - - href: #cm-5.5_smt.b - rel: corresp - text: CM-5(5)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nuser privilege reviews\n\nuser privilege recertifications\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting and/or implementing access restrictions for - change - """ - - - id: cm-6 - class: SP800-53 - title: Configuration Settings - parameters: - - - id: cm-6_prm_1 - label: organization-defined security configuration checklists - guidance: - - - prose: See CM-6(a) Additional FedRAMP Requirements and Guidance - - - id: cm-6_prm_2 - label: organization-defined information system components - - - id: cm-6_prm_3 - label: organization-defined operational requirements - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-6 - - - name: sort-id - value: cm-06 - links: - - - href: #990268bf-f4a9-4c81-91ae-dc7d3115f4b1 - rel: reference - text: OMB Memorandum 07-11 - - - href: #0b3d8ba9-051f-498d-81ea-97f0f018c612 - rel: reference - text: OMB Memorandum 07-18 - - - href: #0916ef02-3618-411b-a525-565c088849a6 - rel: reference - text: OMB Memorandum 08-22 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - - - href: #e95dd121-2733-413e-bf1e-f1eb49f20a98 - rel: reference - text: http://checklists.nist.gov - - - href: #647b6de3-81d0-4d22-bec1-5f1333e34380 - rel: reference - text: http://www.nsa.gov - parts: - - - id: cm-6_smt - name: statement - prose: The organization: - parts: - - - id: cm-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents configuration settings for information technology - products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with - operational requirements; - """ - - - id: cm-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Implements the configuration settings; - - - id: cm-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies, documents, and approves any deviations from established configuration - settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and - """ - - - id: cm-6_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available). - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - id: cm-6_gdn - name: guidance - prose: - """ - Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: cm-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.a_obj - name: objective - properties: - - - name: label - value: CM-6(a) - parts: - - - id: cm-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(a)[1] - prose: - """ - defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed; - """ - - - id: cm-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-6(a)[2] - prose: - """ - ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements; - """ - - - id: cm-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(a)[3] - prose: - """ - establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists; - """ - - - id: cm-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(b) - prose: implements the configuration settings established/documented in CM-6(a);; - - - id: cm-6.c_obj - name: objective - properties: - - - name: label - value: CM-6(c) - parts: - - - id: cm-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[1] - prose: - """ - defines information system components for which any deviations from established - configuration settings must be: - """ - parts: - - - id: cm-6.c_obj.1.a - name: objective - properties: - - - name: label - value: CM-6(c)[1][a] - prose: identified; - - - id: cm-6.c_obj.1.b - name: objective - properties: - - - name: label - value: CM-6(c)[1][b] - prose: documented; - - - id: cm-6.c_obj.1.c - name: objective - properties: - - - name: label - value: CM-6(c)[1][c] - prose: approved; - - - id: cm-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[2] - prose: defines operational requirements to support: - parts: - - - id: cm-6.c_obj.2.a - name: objective - properties: - - - name: label - value: CM-6(c)[2][a] - prose: - """ - the identification of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.b - name: objective - properties: - - - name: label - value: CM-6(c)[2][b] - prose: - """ - the documentation of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.c - name: objective - properties: - - - name: label - value: CM-6(c)[2][c] - prose: the approval of any deviations from established configuration settings; - - - id: cm-6.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(c)[3] - prose: - """ - identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[4] - prose: - """ - documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(c)[5] - prose: - """ - approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.d_obj - name: objective - properties: - - - name: label - value: CM-6(d) - parts: - - - id: cm-6.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(d)[1] - prose: - """ - monitors changes to the configuration settings in accordance with - organizational policies and procedures; and - """ - - - id: cm-6.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(d)[2] - prose: - """ - controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nevidence supporting approved deviations from established configuration - settings\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing configuration settings\n\nautomated mechanisms that implement, monitor, and/or control information system - configuration settings\n\nautomated mechanisms that identify and/or document deviations from established - configuration settings - """ - controls: - - - id: cm-6.1 - class: SP800-53-enhancement - title: Automated Central Management / Application / Verification - parameters: - - - id: cm-6.1_prm_1 - label: organization-defined information system components - properties: - - - name: label - value: CM-6(1) - - - name: sort-id - value: cm-06.01 - parts: - - - id: cm-6.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to centrally manage, apply, and - verify configuration settings for {{ cm-6.1_prm_1 }}. - """ - - - id: cm-6.1_gdn - name: guidance - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - id: cm-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(1)[1] - prose: - """ - defines information system components for which automated mechanisms are to be - employed to: - """ - parts: - - - id: cm-6.1_obj.1.a - name: objective - properties: - - - name: label - value: CM-6(1)[1][a] - prose: centrally manage configuration settings of such components; - - - id: cm-6.1_obj.1.b - name: objective - properties: - - - name: label - value: CM-6(1)[1][b] - prose: apply configuration settings of such components; - - - id: cm-6.1_obj.1.c - name: objective - properties: - - - name: label - value: CM-6(1)[1][c] - prose: verify configuration settings of such components; - - - id: cm-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(1)[2] - prose: employs automated mechanisms to: - parts: - - - id: cm-6.1_obj.2.a - name: objective - properties: - - - name: label - value: CM-6(1)[2][a] - prose: - """ - centrally manage configuration settings for organization-defined information - system components; - """ - - - id: cm-6.1_obj.2.b - name: objective - properties: - - - name: label - value: CM-6(1)[2][b] - prose: - """ - apply configuration settings for organization-defined information system - components; and - """ - - - id: cm-6.1_obj.2.c - name: objective - properties: - - - name: label - value: CM-6(1)[2][c] - prose: - """ - verify configuration settings for organization-defined information system - components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing configuration settings\n\nautomated mechanisms implemented to centrally manage, apply, and verify - information system configuration settings - """ - - - id: cm-6.2 - class: SP800-53-enhancement - title: Respond to Unauthorized Changes - parameters: - - - id: cm-6.2_prm_1 - label: organization-defined security safeguards - - - id: cm-6.2_prm_2 - label: organization-defined configuration settings - properties: - - - name: label - value: CM-6(2) - - - name: sort-id - value: cm-06.02 - parts: - - - id: cm-6.2_smt - name: statement - prose: - """ - The organization employs {{ cm-6.2_prm_1 }} to respond to - unauthorized changes to {{ cm-6.2_prm_2 }}. - """ - - - id: cm-6.2_gdn - name: guidance - prose: - """ - Responses to unauthorized changes to configuration settings can include, for - example, alerting designated organizational personnel, restoring established - configuration settings, or in extreme cases, halting affected information system - processing. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: cm-6.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(2)[1] - prose: - """ - defines configuration settings that, if modified by unauthorized changes, - result in organizational security safeguards being employed to respond to such - changes; - """ - - - id: cm-6.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(2)[2] - prose: - """ - defines security safeguards to be employed to respond to unauthorized changes - to organization-defined configuration settings; and - """ - - - id: cm-6.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(2)[3] - prose: - """ - employs organization-defined security safeguards to respond to unauthorized - changes to organization-defined configuration settings. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nalerts/notifications of unauthorized changes to information system - configuration settings\n\ndocumented responses to unauthorized changes to information system - configuration settings\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for responding to unauthorized changes to information - system configuration settings\n\nautomated mechanisms supporting and/or implementing security safeguards for - response to unauthorized changes - """ - - - id: cm-7 - class: SP800-53 - title: Least Functionality - parameters: - - - id: cm-7_prm_1 - label: - """ - organization-defined prohibited or restricted functions, ports, protocols, and/or - services - """ - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - properties: - - - name: label - value: CM-7 - - - name: sort-id - value: cm-07 - links: - - - href: #e42b2099-3e1c-415b-952c-61c96533c12e - rel: reference - text: DoD Instruction 8551.01 - parts: - - - id: cm-7_smt - name: statement - prose: The organization: - parts: - - - id: cm-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Configures the information system to provide only essential capabilities; and - - - id: cm-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: {{ cm-7_prm_1 }}. - """ - - - id: cm-7_fr - name: item - title: CM-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. - - - id: cm-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8). - - - id: cm-7_gdn - name: guidance - prose: - """ - Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(a) - prose: configures the information system to provide only essential capabilities; - - - id: cm-7.b_obj - name: objective - properties: - - - name: label - value: CM-7(b) - parts: - - - id: cm-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(b)[1] - prose: defines prohibited or restricted: - parts: - - - id: cm-7.b_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(b)[1][a] - prose: functions; - - - id: cm-7.b_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(b)[1][b] - prose: ports; - - - id: cm-7.b_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(b)[1][c] - prose: protocols; and/or - - - id: cm-7.b_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(b)[1][d] - prose: services; - - - id: cm-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(b)[2] - prose: prohibits or restricts the use of organization-defined: - parts: - - - id: cm-7.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(b)[2][a] - prose: functions; - - - id: cm-7.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(b)[2][b] - prose: ports; - - - id: cm-7.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(b)[2][c] - prose: protocols; and/or - - - id: cm-7.b_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(b)[2][d] - prose: services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing least functionality in the information system\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services\n\nautomated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services - """ - controls: - - - id: cm-7.1 - class: SP800-53-enhancement - title: Periodic Review - parameters: - - - id: cm-7.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: cm-7.1_prm_2 - label: - """ - organization-defined functions, ports, protocols, and services within the - information system deemed to be unnecessary and/or nonsecure - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-7(1) - - - name: sort-id - value: cm-07.01 - parts: - - - id: cm-7.1_smt - name: statement - prose: The organization: - parts: - - - id: cm-7.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Reviews the information system {{ cm-7.1_prm_1 }} to identify - unnecessary and/or nonsecure functions, ports, protocols, and services; and - """ - - - id: cm-7.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Disables {{ cm-7.1_prm_2 }}. - - - id: cm-7.1_gdn - name: guidance - prose: - """ - The organization can either make a determination of the relative security of the - function, port, protocol, and/or service or base the security decision on the - assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are - examples of less than secure protocols. - """ - links: - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #ia-2 - rel: related - text: IA-2 - - - id: cm-7.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.1.a_obj - name: objective - properties: - - - name: label - value: CM-7(1)(a) - parts: - - - id: cm-7.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(1)(a)[1] - prose: - """ - defines the frequency to review the information system to identify - unnecessary and/or nonsecure: - """ - parts: - - - id: cm-7.1.a_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][a] - prose: functions; - - - id: cm-7.1.a_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][b] - prose: ports; - - - id: cm-7.1.a_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][c] - prose: protocols; and/or - - - id: cm-7.1.a_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][d] - prose: services; - - - id: cm-7.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(1)(a)[2] - prose: - """ - reviews the information system with the organization-defined frequency to - identify unnecessary and/or nonsecure: - """ - parts: - - - id: cm-7.1.a_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][a] - prose: functions; - - - id: cm-7.1.a_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][b] - prose: ports; - - - id: cm-7.1.a_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][c] - prose: protocols; and/or - - - id: cm-7.1.a_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][d] - prose: services; - links: - - - href: #cm-7.1_smt.a - rel: corresp - text: CM-7(1)(a) - - - id: cm-7.1.b_obj - name: objective - properties: - - - name: label - value: CM-7(1)(b) - parts: - - - id: cm-7.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(1)(b)[1] - prose: defines, within the information system, unnecessary and/or nonsecure: - parts: - - - id: cm-7.1.b_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][a] - prose: functions; - - - id: cm-7.1.b_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][b] - prose: ports; - - - id: cm-7.1.b_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][c] - prose: protocols; and/or - - - id: cm-7.1.b_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][d] - prose: services; - - - id: cm-7.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(1)(b)[2] - prose: disables organization-defined unnecessary and/or nonsecure: - parts: - - - id: cm-7.1.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][a] - prose: functions; - - - id: cm-7.1.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][b] - prose: ports; - - - id: cm-7.1.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][c] - prose: protocols; and/or - - - id: cm-7.1.b_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][d] - prose: services. - links: - - - href: #cm-7.1_smt.b - rel: corresp - text: CM-7(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing least functionality in the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\ndocumented reviews of functions, ports, protocols, and/or services\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for reviewing functions, ports, - protocols, and services on the information system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for reviewing/disabling nonsecure functions, ports, - protocols, and/or services\n\nautomated mechanisms implementing review and disabling of nonsecure functions, - ports, protocols, and/or services - """ - - - id: cm-7.2 - class: SP800-53-enhancement - title: Prevent Program Execution - parameters: - - - id: cm-7.2_prm_1 - - - id: cm-7.2_prm_2 - depends-on: cm-7.2_prm_1 - label: - """ - organization-defined policies regarding software program usage and - restrictions - """ - properties: - - - name: label - value: CM-7(2) - - - name: sort-id - value: cm-07.02 - parts: - - - id: cm-7.2_smt - name: statement - prose: The information system prevents program execution in accordance with {{ cm-7.2_prm_1 }}. - parts: - - - id: cm-7.2_fr - name: item - title: CM-7 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7.2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run. - - - id: cm-7.2_gdn - name: guidance - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pm-5 - rel: related - text: PM-5 - - - id: cm-7.2_obj - name: objective - prose: Determine if: - parts: - - - id: cm-7.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(2)[1] - prose: - """ - the organization defines policies regarding software program usage and - restrictions; - """ - - - id: cm-7.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(2)[2] - prose: - """ - the information system prevents program execution in accordance with one or - more of the following: - """ - parts: - - - id: cm-7.2_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(2)[2][a] - prose: - """ - organization-defined policies regarding program usage and restrictions; - and/or - """ - - - id: cm-7.2_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(2)[2][b] - prose: rules authorizing the terms and conditions of software program usage. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing least functionality in the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\nspecifications for preventing software program execution\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes preventing program execution on the information - system\n\norganizational processes for software program usage and restrictions\n\nautomated mechanisms preventing program execution on the information system\n\nautomated mechanisms supporting and/or implementing software program usage and - restrictions - """ - - - id: cm-7.5 - class: SP800-53-enhancement - title: Authorized Software / Whitelisting - parameters: - - - id: cm-7.5_prm_1 - label: - """ - organization-defined software programs authorized to execute on the - information system - """ - - - id: cm-7.5_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least quarterly or when there is a change - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-7(5) - - - name: sort-id - value: cm-07.05 - parts: - - - id: cm-7.5_smt - name: statement - prose: The organization: - parts: - - - id: cm-7.5_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Identifies {{ cm-7.5_prm_1 }}; - - - id: cm-7.5_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; and - """ - - - id: cm-7.5_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Reviews and updates the list of authorized software programs {{ cm-7.5_prm_2 }}. - - - id: cm-7.5_gdn - name: guidance - prose: - """ - The process used to identify software programs that are authorized to execute on - organizational information systems is commonly referred to as whitelisting. In - addition to whitelisting, organizations consider verifying the integrity of - white-listed software programs using, for example, cryptographic checksums, - digital signatures, or hash functions. Verification of white-listed software can - occur either prior to execution or at system startup. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pm-5 - rel: related - text: PM-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sc-34 - rel: related - text: SC-34 - - - href: #si-7 - rel: related - text: SI-7 - - - id: cm-7.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(5)(a) - prose: - """ - Identifies/defines software programs authorized to execute on the information - system; - """ - links: - - - href: #cm-7.5_smt.a - rel: corresp - text: CM-7(5)(a) - - - id: cm-7.5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(5)(b) - prose: - """ - employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; - """ - links: - - - href: #cm-7.5_smt.b - rel: corresp - text: CM-7(5)(b) - - - id: cm-7.5.c_obj - name: objective - properties: - - - name: label - value: CM-7(5)(c) - parts: - - - id: cm-7.5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(5)(c)[1] - prose: - """ - defines the frequency to review and update the list of authorized software - programs on the information system; and - """ - - - id: cm-7.5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(5)(c)[2] - prose: - """ - reviews and updates the list of authorized software programs with the - organization-defined frequency. - """ - links: - - - href: #cm-7.5_smt.c - rel: corresp - text: CM-7(5)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing least functionality in the information system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of software programs authorized to execute on the information system\n\nsecurity configuration checklists\n\nreview and update records associated with list of authorized software - programs\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for identifying software - authorized to execute on the information system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for identifying, reviewing, and updating programs - authorized to execute on the information system\n\norganizational process for implementing whitelisting\n\nautomated mechanisms implementing whitelisting - """ - - - id: cm-8 - class: SP800-53 - title: Information System Component Inventory - parameters: - - - id: cm-8_prm_1 - label: - """ - organization-defined information deemed necessary to achieve effective - information system component accountability - """ - - - id: cm-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-8 - - - name: sort-id - value: cm-08 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-8_smt - name: statement - prose: The organization: - parts: - - - id: cm-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops and documents an inventory of information system components that: - parts: - - - id: cm-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Accurately reflects the current information system; - - - id: cm-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Is at the level of granularity deemed necessary for tracking and reporting; - and - """ - - - id: cm-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: Includes {{ cm-8_prm_1 }}; and - - - id: cm-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the information system component inventory {{ cm-8_prm_2 }}. - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - id: cm-8_gdn - name: guidance - prose: - """ - Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pm-5 - rel: related - text: PM-5 - - - id: cm-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-8.a_obj - name: objective - properties: - - - name: label - value: CM-8(a) - parts: - - - id: cm-8.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(1) - prose: - """ - develops and documents an inventory of information system components that - accurately reflects the current information system; - """ - - - id: cm-8.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(2) - prose: - """ - develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(3) - prose: - """ - develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting; - """ - - - id: cm-8.a.4_obj - name: objective - properties: - - - name: label - value: CM-8(a)(4) - parts: - - - id: cm-8.a.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(4)[1] - prose: - """ - defines the information deemed necessary to achieve effective information - system component accountability; - """ - - - id: cm-8.a.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(4)[2] - prose: - """ - develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability; - """ - - - id: cm-8.b_obj - name: objective - properties: - - - name: label - value: CM-8(b) - parts: - - - id: cm-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(b)[1] - prose: - """ - defines the frequency to review and update the information system component - inventory; and - """ - - - id: cm-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(b)[2] - prose: - """ - reviews and updates the information system component inventory with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\ninventory reviews and update records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system component - inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing and documenting an inventory of - information system components\n\nautomated mechanisms supporting and/or implementing the information system - component inventory - """ - controls: - - - id: cm-8.1 - class: SP800-53-enhancement - title: Updates During Installations / Removals - properties: - - - name: label - value: CM-8(1) - - - name: sort-id - value: cm-08.01 - parts: - - - id: cm-8.1_smt - name: statement - prose: - """ - The organization updates the inventory of information system components as an - integral part of component installations, removals, and information system - updates. - """ - - - id: cm-8.1_obj - name: objective - prose: - """ - Determine if the organization updates the inventory of information system - components as an integral part of: - """ - parts: - - - id: cm-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(1)[1] - prose: component installations; - - - id: cm-8.1_obj.2 - name: objective - properties: - - - name: label - value: CM-8(1)[2] - prose: component removals; and - - - id: cm-8.1_obj.3 - name: objective - properties: - - - name: label - value: CM-8(1)[3] - prose: information system updates. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\ninventory reviews and update records\n\ncomponent installation records\n\ncomponent removal records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for updating the information - system component inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for updating inventory of information system - components\n\nautomated mechanisms implementing updating of the information system component - inventory - """ - - - id: cm-8.2 - class: SP800-53-enhancement - title: Automated Maintenance - properties: - - - name: label - value: CM-8(2) - - - name: sort-id - value: cm-08.02 - parts: - - - id: cm-8.2_smt - name: statement - prose: - """ - The organization employs automated mechanisms to help maintain an up-to-date, - complete, accurate, and readily available inventory of information system - components. - """ - - - id: cm-8.2_gdn - name: guidance - prose: - """ - Organizations maintain information system inventories to the extent feasible. - Virtual machines, for example, can be difficult to monitor because such machines - are not visible to the network when not in use. In such cases, organizations - maintain as up-to-date, complete, and accurate an inventory as is deemed - reasonable. This control enhancement can be satisfied by the implementation of - CM-2 (2) for organizations that choose to combine information system component - inventory and baseline configuration activities. - """ - links: - - - href: #si-7 - rel: related - text: SI-7 - - - id: cm-8.2_obj - name: objective - prose: - """ - Determine if the organization employs automated mechanisms to maintain an - inventory of information system components that is: - """ - parts: - - - id: cm-8.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(2)[1] - prose: up-to-date; - - - id: cm-8.2_obj.2 - name: objective - properties: - - - name: label - value: CM-8(2)[2] - prose: complete; - - - id: cm-8.2_obj.3 - name: objective - properties: - - - name: label - value: CM-8(2)[3] - prose: accurate; and - - - id: cm-8.2_obj.4 - name: objective - properties: - - - name: label - value: CM-8(2)[4] - prose: readily available. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing information system component inventory\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system inventory records\n\nchange control records\n\ninformation system maintenance records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing the automated - mechanisms implementing the information system component inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining the inventory of information system - components\n\nautomated mechanisms implementing the information system component - inventory - """ - - - id: cm-8.3 - class: SP800-53-enhancement - title: Automated Unauthorized Component Detection - parameters: - - - id: cm-8.3_prm_1 - label: organization-defined frequency - constraints: - - - detail: Continuously, using automated mechanisms with a maximum five-minute delay in detection. - - - id: cm-8.3_prm_2 - - - id: cm-8.3_prm_3 - depends-on: cm-8.3_prm_2 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-8(3) - - - name: sort-id - value: cm-08.03 - parts: - - - id: cm-8.3_smt - name: statement - prose: The organization: - parts: - - - id: cm-8.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Employs automated mechanisms {{ cm-8.3_prm_1 }} to detect the - presence of unauthorized hardware, software, and firmware components within the - information system; and - """ - - - id: cm-8.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Takes the following actions when unauthorized components are detected: {{ cm-8.3_prm_2 }}. - - - id: cm-8.3_gdn - name: guidance - prose: - """ - This control enhancement is applied in addition to the monitoring for unauthorized - remote connections and mobile devices. Monitoring for unauthorized system - components may be accomplished on an ongoing basis or by the periodic scanning of - systems for that purpose. Automated mechanisms can be implemented within - information systems or in other separate devices. Isolation can be achieved, for - example, by placing unauthorized information system components in separate domains - or subnets or otherwise quarantining such components. This type of component - isolation is commonly referred to as sandboxing. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: cm-8.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-8.3.a_obj - name: objective - properties: - - - name: label - value: CM-8(3)(a) - parts: - - - id: cm-8.3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(3)(a)[1] - prose: - """ - defines the frequency to employ automated mechanisms to detect the presence - of unauthorized: - """ - parts: - - - id: cm-8.3.a_obj.1.a - name: objective - properties: - - - name: label - value: CM-8(3)(a)[1][a] - prose: hardware components within the information system; - - - id: cm-8.3.a_obj.1.b - name: objective - properties: - - - name: label - value: CM-8(3)(a)[1][b] - prose: software components within the information system; - - - id: cm-8.3.a_obj.1.c - name: objective - properties: - - - name: label - value: CM-8(3)(a)[1][c] - prose: firmware components within the information system; - - - id: cm-8.3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(3)(a)[2] - prose: - """ - employs automated mechanisms with the organization-defined frequency to - detect the presence of unauthorized: - """ - parts: - - - id: cm-8.3.a_obj.2.a - name: objective - properties: - - - name: label - value: CM-8(3)(a)[2][a] - prose: hardware components within the information system; - - - id: cm-8.3.a_obj.2.b - name: objective - properties: - - - name: label - value: CM-8(3)(a)[2][b] - prose: software components within the information system; - - - id: cm-8.3.a_obj.2.c - name: objective - properties: - - - name: label - value: CM-8(3)(a)[2][c] - prose: firmware components within the information system; - links: - - - href: #cm-8.3_smt.a - rel: corresp - text: CM-8(3)(a) - - - id: cm-8.3.b_obj - name: objective - properties: - - - name: label - value: CM-8(3)(b) - parts: - - - id: cm-8.3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(3)(b)[1] - prose: - """ - defines personnel or roles to be notified when unauthorized components are - detected; - """ - - - id: cm-8.3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(3)(b)[2] - prose: - """ - takes one or more of the following actions when unauthorized components are - detected: - """ - parts: - - - id: cm-8.3.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-8(3)(b)[2][a] - prose: disables network access by such components; - - - id: cm-8.3.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-8(3)(b)[2][b] - prose: isolates the components; and/or - - - id: cm-8.3.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-8(3)(b)[2][c] - prose: notifies organization-defined personnel or roles. - links: - - - href: #cm-8.3_smt.b - rel: corresp - text: CM-8(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system inventory records\n\nalerts/notifications of unauthorized components within the information - system\n\ninformation system monitoring records\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing the automated - mechanisms implementing unauthorized information system component detection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for detection of unauthorized information system - components\n\nautomated mechanisms implementing the detection of unauthorized information - system components - """ - - - id: cm-8.4 - class: SP800-53-enhancement - title: Accountability Information - parameters: - - - id: cm-8.4_prm_1 - constraints: - - - detail: position and role - properties: - - - name: label - value: CM-8(4) - - - name: sort-id - value: cm-08.04 - parts: - - - id: cm-8.4_smt - name: statement - prose: - """ - The organization includes in the information system component inventory - information, a means for identifying by {{ cm-8.4_prm_1 }}, - individuals responsible/accountable for administering those components. - """ - - - id: cm-8.4_gdn - name: guidance - prose: - """ - Identifying individuals who are both responsible and accountable for administering - information system components helps to ensure that the assigned components are - properly administered and organizations can contact those individuals if some - action is required (e.g., component is determined to be the source of a - breach/compromise, component needs to be recalled/replaced, or component needs to - be relocated). - """ - - - id: cm-8.4_obj - name: objective - prose: - """ - Determine if the organization includes in the information system component - inventory for information system components, a means for identifying the - individuals responsible and accountable for administering those components by one - or more of the following: - """ - parts: - - - id: cm-8.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(4)[1] - prose: name; - - - id: cm-8.4_obj.2 - name: objective - properties: - - - name: label - value: CM-8(4)[2] - prose: position; and/or - - - id: cm-8.4_obj.3 - name: objective - properties: - - - name: label - value: CM-8(4)[3] - prose: role. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing the information - system component inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining the inventory of information system - components\n\nautomated mechanisms implementing the information system component - inventory - """ - - - id: cm-8.5 - class: SP800-53-enhancement - title: No Duplicate Accounting of Components - properties: - - - name: label - value: CM-8(5) - - - name: sort-id - value: cm-08.05 - parts: - - - id: cm-8.5_smt - name: statement - prose: - """ - The organization verifies that all components within the authorization boundary of - the information system are not duplicated in other information system component - inventories. - """ - - - id: cm-8.5_gdn - name: guidance - prose: - """ - This control enhancement addresses the potential problem of duplicate accounting - of information system components in large or complex interconnected systems. - """ - - - id: cm-8.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization verifies that all components within the - authorization boundary of the information system are not duplicated in other - information system inventories. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system inventory responsibilities\n\norganizational personnel with responsibilities for defining information system - components within the authorization boundary of the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining the inventory of information system - components\n\nautomated mechanisms implementing the information system component - inventory - """ - - - id: cm-9 - class: SP800-53 - title: Configuration Management Plan - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-9 - - - name: sort-id - value: cm-09 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-9_smt - name: statement - prose: - """ - The organization develops, documents, and implements a configuration management plan - for the information system that: - """ - parts: - - - id: cm-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Addresses roles, responsibilities, and configuration management processes and - procedures; - """ - - - id: cm-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishes a process for identifying configuration items throughout the system - development life cycle and for managing the configuration of the configuration - items; - """ - - - id: cm-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Defines the configuration items for the information system and places the - configuration items under configuration management; and - """ - - - id: cm-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects the configuration management plan from unauthorized disclosure and - modification. - """ - - - id: cm-9_gdn - name: guidance - prose: - """ - Configuration management plans satisfy the requirements in configuration management - policies while being tailored to individual information systems. Such plans define - detailed processes and procedures for how configuration management is used to support - system development life cycle activities at the information system level. - Configuration management plans are typically developed during the - development/acquisition phase of the system development life cycle. The plans - describe how to move changes through change management processes, how to update - configuration settings and baselines, how to maintain information system component - inventories, how to control development, test, and operational environments, and how - to develop, release, and update key documents. Organizations can employ templates to - help ensure consistent and timely development and implementation of configuration - management plans. Such templates can represent a master configuration management plan - for the organization at large with subsets of the plan implemented on a system by - system basis. Configuration management approval processes include designation of key - management stakeholders responsible for reviewing and approving proposed changes to - information systems, and personnel that conduct security impact analyses prior to the - implementation of changes to the systems. Configuration items are the information - system items (hardware, software, firmware, and documentation) to be - configuration-managed. As information systems continue through the system development - life cycle, new configuration items may be identified and some existing configuration - items may no longer need to be under configuration control. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #sa-10 - rel: related - text: SA-10 - - - id: cm-9_obj - name: objective - prose: - """ - Determine if the organization develops, documents, and implements a configuration - management plan for the information system that: - """ - parts: - - - id: cm-9.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(a) - parts: - - - id: cm-9.a_obj.1 - name: objective - properties: - - - name: label - value: CM-9(a)[1] - prose: addresses roles; - - - id: cm-9.a_obj.2 - name: objective - properties: - - - name: label - value: CM-9(a)[2] - prose: addresses responsibilities; - - - id: cm-9.a_obj.3 - name: objective - properties: - - - name: label - value: CM-9(a)[3] - prose: addresses configuration management processes and procedures; - - - id: cm-9.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(b) - prose: establishes a process for: - parts: - - - id: cm-9.b_obj.1 - name: objective - properties: - - - name: label - value: CM-9(b)[1] - prose: identifying configuration items throughout the SDLC; - - - id: cm-9.b_obj.2 - name: objective - properties: - - - name: label - value: CM-9(b)[2] - prose: managing the configuration of the configuration items; - - - id: cm-9.c_obj - name: objective - properties: - - - name: label - value: CM-9(c) - parts: - - - id: cm-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(c)[1] - prose: defines the configuration items for the information system; - - - id: cm-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(c)[2] - prose: places the configuration items under configuration management; - - - id: cm-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-9(d) - prose: protects the configuration management plan from unauthorized: - parts: - - - id: cm-9.d_obj.1 - name: objective - properties: - - - name: label - value: CM-9(d)[1] - prose: disclosure; and - - - id: cm-9.d_obj.2 - name: objective - properties: - - - name: label - value: CM-9(d)[2] - prose: modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing configuration management planning\n\nconfiguration management plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for developing the configuration - management plan\n\norganizational personnel with responsibilities for implementing and managing - processes defined in the configuration management plan\n\norganizational personnel with responsibilities for protecting the configuration - management plan\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing and documenting the configuration - management plan\n\norganizational processes for identifying and managing configuration items\n\norganizational processes for protecting the configuration management plan\n\nautomated mechanisms implementing the configuration management plan\n\nautomated mechanisms for managing configuration items\n\nautomated mechanisms for protecting the configuration management plan - """ - - - id: cm-10 - class: SP800-53 - title: Software Usage Restrictions - properties: - - - name: label - value: CM-10 - - - name: sort-id - value: cm-10 - parts: - - - id: cm-10_smt - name: statement - prose: The organization: - parts: - - - id: cm-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - id: cm-10_gdn - name: guidance - prose: - """ - Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(a) - prose: - """ - uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-10(b) - prose: - """ - tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(c) - prose: - """ - controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing software usage restrictions\n\nconfiguration management plan\n\nsecurity plan\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel with software license management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for tracking the use of software protected by quantity - licenses\n\norganization process for controlling/documenting the use of peer-to-peer file - sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology - """ - controls: - - - id: cm-10.1 - class: SP800-53-enhancement - title: Open Source Software - parameters: - - - id: cm-10.1_prm_1 - label: organization-defined restrictions - properties: - - - name: label - value: CM-10(1) - - - name: sort-id - value: cm-10.01 - parts: - - - id: cm-10.1_smt - name: statement - prose: - """ - The organization establishes the following restrictions on the use of open source - software: {{ cm-10.1_prm_1 }}. - """ - - - id: cm-10.1_gdn - name: guidance - prose: - """ - Open source software refers to software that is available in source code form. - Certain software rights normally reserved for copyright holders are routinely - provided under software license agreements that permit individuals to study, - change, and improve the software. From a security perspective, the major advantage - of open source software is that it provides organizations with the ability to - examine the source code. However, there are also various licensing issues - associated with open source software including, for example, the constraints on - derivative use of such software. - """ - - - id: cm-10.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-10.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-10(1)[1] - prose: defines restrictions on the use of open source software; and - - - id: cm-10.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(1)[2] - prose: - """ - establishes organization-defined restrictions on the use of open source - software. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing restrictions on use of open source software\n\nconfiguration management plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for establishing and enforcing - restrictions on use of open source software\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for restricting the use of open source software\n\nautomated mechanisms implementing restrictions on the use of open source - software - """ - - - id: cm-11 - class: SP800-53 - title: User-installed Software - parameters: - - - id: cm-11_prm_1 - label: organization-defined policies - - - id: cm-11_prm_2 - label: organization-defined methods - - - id: cm-11_prm_3 - label: organization-defined frequency - constraints: - - - detail: Continuously (via CM-7 (5)) - properties: - - - name: label - value: CM-11 - - - name: sort-id - value: cm-11 - parts: - - - id: cm-11_smt - name: statement - prose: The organization: - parts: - - - id: cm-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes {{ cm-11_prm_1 }} governing the installation of - software by users; - """ - - - id: cm-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Enforces software installation policies through {{ cm-11_prm_2 }}; - and - """ - - - id: cm-11_smt.c - name: item - properties: - - - name: label - value: c. - prose: Monitors policy compliance at {{ cm-11_prm_3 }}. - - - id: cm-11_gdn - name: guidance - prose: - """ - If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: cm-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-11.a_obj - name: objective - properties: - - - name: label - value: CM-11(a) - parts: - - - id: cm-11.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(a)[1] - prose: defines policies to govern the installation of software by users; - - - id: cm-11.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(a)[2] - prose: - """ - establishes organization-defined policies governing the installation of - software by users; - """ - - - id: cm-11.b_obj - name: objective - properties: - - - name: label - value: CM-11(b) - parts: - - - id: cm-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(b)[1] - prose: defines methods to enforce software installation policies; - - - id: cm-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(b)[2] - prose: - """ - enforces software installation policies through organization-defined - methods; - """ - - - id: cm-11.c_obj - name: objective - properties: - - - name: label - value: CM-11(c) - parts: - - - id: cm-11.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(c)[1] - prose: defines frequency to monitor policy compliance; and - - - id: cm-11.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(c)[2] - prose: monitors policy compliance at organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing user installed software\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of rules governing user installed software\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records\n\ncontinuous monitoring strategy - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for governing user-installed - software\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel monitoring compliance with user-installed software - policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes governing user-installed software on the information - system\n\nautomated mechanisms enforcing rules/methods for governing the installation of - software by users\n\nautomated mechanisms monitoring policy compliance - """ - controls: - - - id: cm-11.1 - class: SP800-53-enhancement - title: Alerts for Unauthorized Installations - parameters: - - - id: cm-11.1_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: CM-11(1) - - - name: sort-id - value: cm-11.01 - parts: - - - id: cm-11.1_smt - name: statement - prose: - """ - The information system alerts {{ cm-11.1_prm_1 }} when the - unauthorized installation of software is detected. - """ - - - id: cm-11.1_gdn - name: guidance - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: cm-11.1_obj - name: objective - prose: Determine if: - parts: - - - id: cm-11.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(1)[1] - prose: - """ - the organization defines personnel or roles to be alerted when the unauthorized - installation of software is detected; and - """ - - - id: cm-11.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(1)[2] - prose: - """ - the information system alerts organization-defined personnel or roles when the - unauthorized installation of software is detected. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing user installed software\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for governing user-installed - software\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes governing user-installed software on the information - system\n\nautomated mechanisms for alerting personnel/roles when unauthorized - installation of software is detected - """ - - - id: cp - class: family - title: Contingency Planning - controls: - - - id: cp-1 - class: SP800-53 - title: Contingency Planning Policy and Procedures - parameters: - - - id: cp-1_prm_1 - label: organization-defined personnel or roles - - - id: cp-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cp-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-1 - - - name: sort-id - value: cp-01 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cp-1_smt - name: statement - prose: The organization: - parts: - - - id: cp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cp-1_prm_1 }}: - parts: - - - id: cp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and - """ - - - id: cp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Contingency planning policy {{ cp-1_prm_2 }}; and - - - id: cp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Contingency planning procedures {{ cp-1_prm_3 }}. - - - id: cp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cp-1_obj - name: objective - prose: Determine if: - parts: - - - id: cp-1.a_obj - name: objective - properties: - - - name: label - value: CP-1(a) - parts: - - - id: cp-1.a.1_obj - name: objective - properties: - - - name: label - value: CP-1(a)(1) - parts: - - - id: cp-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(1)[1] - prose: - """ - the organization develops and documents a contingency planning policy that - addresses: - """ - parts: - - - id: cp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][a] - prose: purpose; - - - id: cp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][b] - prose: scope; - - - id: cp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][c] - prose: roles; - - - id: cp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][d] - prose: responsibilities; - - - id: cp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][e] - prose: management commitment; - - - id: cp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][g] - prose: compliance; - - - id: cp-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(1)[2] - prose: - """ - the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated; - """ - - - id: cp-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-1(a)(1)[3] - prose: - """ - the organization disseminates the contingency planning policy to - organization-defined personnel or roles; - """ - - - id: cp-1.a.2_obj - name: objective - properties: - - - name: label - value: CP-1(a)(2) - parts: - - - id: cp-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(2)[1] - prose: - """ - the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls; - """ - - - id: cp-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(2)[2] - prose: - """ - the organization defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cp-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-1(a)(2)[3] - prose: - """ - the organization disseminates the procedures to organization-defined - personnel or roles; - """ - - - id: cp-1.b_obj - name: objective - properties: - - - name: label - value: CP-1(b) - parts: - - - id: cp-1.b.1_obj - name: objective - properties: - - - name: label - value: CP-1(b)(1) - parts: - - - id: cp-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(1)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning policy; - """ - - - id: cp-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(1)[2] - prose: - """ - the organization reviews and updates the current contingency planning with - the organization-defined frequency; - """ - - - id: cp-1.b.2_obj - name: objective - properties: - - - name: label - value: CP-1(b)(2) - parts: - - - id: cp-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(2)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning procedures; and - """ - - - id: cp-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(2)[2] - prose: - """ - the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: cp-2 - class: SP800-53 - title: Contingency Plan - parameters: - - - id: cp-2_prm_1 - label: organization-defined personnel or roles - - - id: cp-2_prm_2 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - - - id: cp-2_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cp-2_prm_4 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-2 - - - name: sort-id - value: cp-02 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-2_smt - name: statement - prose: The organization: - parts: - - - id: cp-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a contingency plan for the information system that: - parts: - - - id: cp-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Provides recovery objectives, restoration priorities, and metrics; - - - id: cp-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Addresses contingency roles, responsibilities, assigned individuals with - contact information; - """ - - - id: cp-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and - """ - - - id: cp-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Is reviewed and approved by {{ cp-2_prm_1 }}; - - - id: cp-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the contingency plan to {{ cp-2_prm_2 }}; - - - id: cp-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Coordinates contingency planning activities with incident handling activities; - - - id: cp-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Reviews the contingency plan for the information system {{ cp-2_prm_3 }}; - - - id: cp-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing; - """ - - - id: cp-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: Communicates contingency plan changes to {{ cp-2_prm_4 }}; and - - - id: cp-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Protects the contingency plan from unauthorized disclosure and modification. - - - id: cp-2_fr - name: item - title: CP-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-2_fr_smt.1 - name: item - properties: - - - name: label - value: CP-2 Requirement: - prose: For JAB authorizations the contingency lists include designated FedRAMP personnel. - - - id: cp-2_gdn - name: guidance - prose: - """ - Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident. - """ - links: - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: cp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.a_obj - name: objective - properties: - - - name: label - value: CP-2(a) - prose: develops and documents a contingency plan for the information system that: - parts: - - - id: cp-2.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(1) - prose: - """ - identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(2) - parts: - - - id: cp-2.a.2_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[1] - prose: provides recovery objectives; - - - id: cp-2.a.2_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[2] - prose: provides restoration priorities; - - - id: cp-2.a.2_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[3] - prose: provides metrics; - - - id: cp-2.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(3) - parts: - - - id: cp-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[1] - prose: addresses contingency roles; - - - id: cp-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[2] - prose: addresses contingency responsibilities; - - - id: cp-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[3] - prose: addresses assigned individuals with contact information; - - - id: cp-2.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(4) - prose: - """ - addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(5) - prose: - """ - addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; - """ - - - id: cp-2.a.6_obj - name: objective - properties: - - - name: label - value: CP-2(a)(6) - parts: - - - id: cp-2.a.6_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(6)[1] - prose: - """ - defines personnel or roles to review and approve the contingency plan for - the information system; - """ - - - id: cp-2.a.6_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(6)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: cp-2.b_obj - name: objective - properties: - - - name: label - value: CP-2(b) - parts: - - - id: cp-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(b)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed; - """ - - - id: cp-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(b)[2] - prose: - """ - distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements; - """ - - - id: cp-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(c) - prose: coordinates contingency planning activities with incident handling activities; - - - id: cp-2.d_obj - name: objective - properties: - - - name: label - value: CP-2(d) - parts: - - - id: cp-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(d)[1] - prose: - """ - defines a frequency to review the contingency plan for the information - system; - """ - - - id: cp-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(d)[2] - prose: reviews the contingency plan with the organization-defined frequency; - - - id: cp-2.e_obj - name: objective - properties: - - - name: label - value: CP-2(e) - prose: updates the contingency plan to address: - parts: - - - id: cp-2.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(e)[1] - prose: - """ - changes to the organization, information system, or environment of - operation; - """ - - - id: cp-2.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(e)[2] - prose: problems encountered during plan implementation, execution, and testing; - - - id: cp-2.f_obj - name: objective - properties: - - - name: label - value: CP-2(f) - parts: - - - id: cp-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(f)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated; - """ - - - id: cp-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(f)[2] - prose: - """ - communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and - """ - - - id: cp-2.g_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(g) - prose: protects the contingency plan from unauthorized disclosure and modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nevidence of contingency plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan development, review, update, and - protection\n\nautomated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan - """ - controls: - - - id: cp-2.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - properties: - - - name: label - value: CP-2(1) - - - name: sort-id - value: cp-02.01 - parts: - - - id: cp-2.1_smt - name: statement - prose: - """ - The organization coordinates contingency plan development with organizational - elements responsible for related plans. - """ - - - id: cp-2.1_gdn - name: guidance - prose: - """ - Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant - Emergency Plans. - """ - - - id: cp-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization coordinates contingency plan development with - organizational elements responsible for related plans. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nbusiness contingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plan\n\ninsider threat implementation plans\n\noccupant emergency plans\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel with responsibility for related plans - """ - - - id: cp-2.2 - class: SP800-53-enhancement - title: Capacity Planning - properties: - - - name: label - value: CP-2(2) - - - name: sort-id - value: cp-02.02 - parts: - - - id: cp-2.2_smt - name: statement - prose: - """ - The organization conducts capacity planning so that necessary capacity for - information processing, telecommunications, and environmental support exists - during contingency operations. - """ - - - id: cp-2.2_gdn - name: guidance - prose: - """ - Capacity planning is needed because different types of threats (e.g., natural - disasters, targeted cyber attacks) can result in a reduction of the available - processing, telecommunications, and support services originally intended to - support the organizational missions/business functions. Organizations may need to - anticipate degraded operations during contingency operations and factor such - degradation into capacity planning. - """ - - - id: cp-2.2_obj - name: objective - prose: - """ - Determine if the organization conducts capacity planning so that necessary - capacity exists during contingency operations for: - """ - parts: - - - id: cp-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(2)[1] - prose: information processing; - - - id: cp-2.2_obj.2 - name: objective - properties: - - - name: label - value: CP-2(2)[2] - prose: telecommunications; and - - - id: cp-2.2_obj.3 - name: objective - properties: - - - name: label - value: CP-2(2)[3] - prose: environmental support. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\ncapacity planning documents\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-2.3 - class: SP800-53-enhancement - title: Resume Essential Missions / Business Functions - parameters: - - - id: cp-2.3_prm_1 - label: organization-defined time period - properties: - - - name: label - value: CP-2(3) - - - name: sort-id - value: cp-02.03 - parts: - - - id: cp-2.3_smt - name: statement - prose: - """ - The organization plans for the resumption of essential missions and business - functions within {{ cp-2.3_prm_1 }} of contingency plan - activation. - """ - - - id: cp-2.3_gdn - name: guidance - prose: - """ - Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of essential missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure. - """ - links: - - - href: #pe-12 - rel: related - text: PE-12 - - - id: cp-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(3)[1] - prose: - """ - defines the time period to plan for the resumption of essential missions and - business functions as a result of contingency plan activation; and - """ - - - id: cp-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(3)[2] - prose: - """ - plans for the resumption of essential missions and business functions within - organization-defined time period of contingency plan activation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nbusiness impact assessment\n\nother related plans\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for resumption of missions and business functions - - - id: cp-2.4 - class: SP800-53-enhancement - title: Resume All Missions / Business Functions - parameters: - - - id: cp-2.4_prm_1 - label: organization-defined time period - constraints: - - - detail: time period defined in service provider and organization SLA - properties: - - - name: label - value: CP-2(4) - - - name: sort-id - value: cp-02.04 - parts: - - - id: cp-2.4_smt - name: statement - prose: - """ - The organization plans for the resumption of all missions and business functions - within {{ cp-2.4_prm_1 }} of contingency plan activation. - """ - - - id: cp-2.4_gdn - name: guidance - prose: - """ - Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of all missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure. - """ - links: - - - href: #pe-12 - rel: related - text: PE-12 - - - id: cp-2.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(4)[1] - prose: - """ - defines the time period to plan for the resumption of all missions and business - functions as a result of contingency plan activation; and - """ - - - id: cp-2.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(4)[2] - prose: - """ - plans for the resumption of all missions and business functions within - organization-defined time period of contingency plan activation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nbusiness impact assessment\n\nother related plans\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for resumption of missions and business functions - - - id: cp-2.5 - class: SP800-53-enhancement - title: Continue Essential Missions / Business Functions - properties: - - - name: label - value: CP-2(5) - - - name: sort-id - value: cp-02.05 - parts: - - - id: cp-2.5_smt - name: statement - prose: - """ - The organization plans for the continuance of essential missions and business - functions with little or no loss of operational continuity and sustains that - continuity until full information system restoration at primary processing and/or - storage sites. - """ - - - id: cp-2.5_gdn - name: guidance - prose: - """ - Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Primary processing - and/or storage sites defined by organizations as part of contingency planning may - change depending on the circumstances associated with the contingency (e.g., - backup sites may become primary sites). - """ - links: - - - href: #pe-12 - rel: related - text: PE-12 - - - id: cp-2.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(5)[1] - prose: - """ - plans for the continuance of essential missions and business functions with - little or no loss of operational continuity; and - """ - - - id: cp-2.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(5)[2] - prose: - """ - sustains that operational continuity until full information system restoration - at primary processing and/or storage sites. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nbusiness impact assessment\n\nprimary processing site agreements\n\nprimary storage site agreements\n\nalternate processing site agreements\n\nalternate storage site agreements\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for continuing missions and business functions - - - id: cp-2.8 - class: SP800-53-enhancement - title: Identify Critical Assets - properties: - - - name: label - value: CP-2(8) - - - name: sort-id - value: cp-02.08 - parts: - - - id: cp-2.8_smt - name: statement - prose: - """ - The organization identifies critical information system assets supporting - essential missions and business functions. - """ - - - id: cp-2.8_gdn - name: guidance - prose: - """ - Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Organizations - identify critical information system assets so that additional safeguards and - countermeasures can be employed (above and beyond those safeguards and - countermeasures routinely implemented) to help ensure that organizational - missions/business functions can continue to be conducted during contingency - operations. In addition, the identification of critical information assets - facilitates the prioritization of organizational resources. Critical information - system assets include technical and operational aspects. Technical aspects - include, for example, information technology services, information system - components, information technology products, and mechanisms. Operational aspects - include, for example, procedures (manually executed operations) and personnel - (individuals operating technical safeguards and/or executing manual procedures). - Organizational program protection plans can provide assistance in identifying - critical assets. - """ - links: - - - href: #sa-14 - rel: related - text: SA-14 - - - href: #sa-15 - rel: related - text: SA-15 - - - id: cp-2.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization identifies critical information system assets - supporting essential missions and business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nbusiness impact assessment\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-3 - class: SP800-53 - title: Contingency Training - parameters: - - - id: cp-3_prm_1 - label: organization-defined time period - constraints: - - - detail: ten (10) days - - - id: cp-3_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-3 - - - name: sort-id - value: cp-03 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: cp-3_smt - name: statement - prose: - """ - The organization provides contingency training to information system users consistent - with assigned roles and responsibilities: - """ - parts: - - - id: cp-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ cp-3_prm_1 }} of assuming a contingency role or - responsibility; - """ - - - id: cp-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: cp-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ cp-3_prm_2 }} thereafter. - """ - - - id: cp-3_gdn - name: guidance - prose: - """ - Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-2 - rel: related - text: IR-2 - - - id: cp-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-3.a_obj - name: objective - properties: - - - name: label - value: CP-3(a) - parts: - - - id: cp-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-3(a)[1] - prose: - """ - defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility; - """ - - - id: cp-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(a)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility; - """ - - - id: cp-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(b) - prose: - """ - provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes; - """ - - - id: cp-3.c_obj - name: objective - properties: - - - name: label - value: CP-3(c) - parts: - - - id: cp-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-3(c)[1] - prose: defines the frequency for contingency training thereafter; and - - - id: cp-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(c)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsecurity plan\n\ncontingency training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, plan implementation, and - training responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for contingency training - controls: - - - id: cp-3.1 - class: SP800-53-enhancement - title: Simulated Events - properties: - - - name: label - value: CP-3(1) - - - name: sort-id - value: cp-03.01 - parts: - - - id: cp-3.1_smt - name: statement - prose: - """ - The organization incorporates simulated events into contingency training to - facilitate effective response by personnel in crisis situations. - """ - - - id: cp-3.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization incorporates simulated events into contingency - training to facilitate effective response by personnel in crisis situations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, plan implementation, and - training responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for contingency training\n\nautomated mechanisms for simulating contingency events - - - id: cp-4 - class: SP800-53 - title: Contingency Plan Testing - parameters: - - - id: cp-4_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cp-4_prm_2 - label: organization-defined tests - constraints: - - - detail: functional exercises - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-4 - - - name: sort-id - value: cp-04 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - rel: reference - text: NIST Special Publication 800-84 - parts: - - - id: cp-4_smt - name: statement - prose: The organization: - parts: - - - id: cp-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the - effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews the contingency plan test results; and - - - id: cp-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Initiates corrective actions, if needed. - - - id: cp-4_fr - name: item - title: CP-4(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-4_fr_smt.a - name: item - properties: - - - name: label - value: CP-4(a) Requirement: - prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing. - - - id: cp-4_gdn - name: guidance - prose: - """ - Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-3 - rel: related - text: IR-3 - - - id: cp-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-4.a_obj - name: objective - properties: - - - name: label - value: CP-4(a) - parts: - - - id: cp-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-4(a)[1] - prose: - """ - defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan; - """ - - - id: cp-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-4(a)[2] - prose: - """ - defines a frequency to test the contingency plan for the information - system; - """ - - - id: cp-4.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(a)[3] - prose: - """ - tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(b) - prose: reviews the contingency plan test results; and - - - id: cp-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(c) - prose: initiates corrective actions, if needed. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\nsecurity plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan - testing - """ - controls: - - - id: cp-4.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - properties: - - - name: label - value: CP-4(1) - - - name: sort-id - value: cp-04.01 - parts: - - - id: cp-4.1_smt - name: statement - prose: - """ - The organization coordinates contingency plan testing with organizational elements - responsible for related plans. - """ - - - id: cp-4.1_gdn - name: guidance - prose: - """ - Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, and Occupant Emergency Plans. This control - enhancement does not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. It does - require, however, that if such organizational elements are responsible for related - plans, organizations should coordinate with those elements. - """ - links: - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pm-8 - rel: related - text: PM-8 - - - id: cp-4.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization coordinates contingency plan testing with - organizational elements responsible for related plans. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nincident response policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan testing documentation\n\ncontingency plan\n\nbusiness continuity plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plans\n\noccupant emergency plans\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel\n\npersonnel with responsibilities for related plans\n\norganizational personnel with information security responsibilities - - - id: cp-4.2 - class: SP800-53-enhancement - title: Alternate Processing Site - properties: - - - name: label - value: CP-4(2) - - - name: sort-id - value: cp-04.02 - parts: - - - id: cp-4.2_smt - name: statement - prose: The organization tests the contingency plan at the alternate processing site: - parts: - - - id: cp-4.2_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - To familiarize contingency personnel with the facility and available resources; - and - """ - - - id: cp-4.2_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - To evaluate the capabilities of the alternate processing site to support - contingency operations. - """ - - - id: cp-4.2_gdn - name: guidance - links: - - - href: #cp-7 - rel: related - text: CP-7 - - - id: cp-4.2_obj - name: objective - prose: - """ - Determine if the organization tests the contingency plan at the alternate - processing site to: - """ - parts: - - - id: cp-4.2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-4(2)(a) - prose: - """ - familiarize contingency personnel with the facility and available resources; - and - """ - links: - - - href: #cp-4.2_smt.a - rel: corresp - text: CP-4(2)(a) - - - id: cp-4.2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-4(2)(b) - prose: - """ - evaluate the capabilities of the alternate processing site to support - contingency operations. - """ - links: - - - href: #cp-4.2_smt.b - rel: corresp - text: CP-4(2)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nalternate processing site agreements\n\nservice-level agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan - testing - """ - - - id: cp-6 - class: SP800-53 - title: Alternate Storage Site - properties: - - - name: label - value: CP-6 - - - name: sort-id - value: cp-06 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-6_smt - name: statement - prose: The organization: - parts: - - - id: cp-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and - """ - - - id: cp-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site. - """ - - - id: cp-6_gdn - name: guidance - prose: - """ - Alternate storage sites are sites that are geographically distinct from primary - storage sites. An alternate storage site maintains duplicate copies of information - and data in the event that the primary storage site is not available. Items covered - by alternate storage site agreements include, for example, environmental conditions - at alternate sites, access rules, physical and environmental protection requirements, - and coordination of delivery/retrieval of backup media. Alternate storage sites - reflect the requirements in contingency plans so that organizations can maintain - essential missions/business functions despite disruption, compromise, or failure in - organizational information systems. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #mp-4 - rel: related - text: MP-4 - - - id: cp-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-6_obj.1 - name: objective - properties: - - - name: label - value: CP-6[1] - prose: - """ - establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and - """ - - - id: cp-6_obj.2 - name: objective - properties: - - - name: label - value: CP-6[2] - prose: - """ - ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate storage site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for storing and retrieving information system backup - information at the alternate storage site\n\nautomated mechanisms supporting and/or implementing storage and retrieval of - information system backup information at the alternate storage site - """ - controls: - - - id: cp-6.1 - class: SP800-53-enhancement - title: Separation from Primary Site - properties: - - - name: label - value: CP-6(1) - - - name: sort-id - value: cp-06.01 - parts: - - - id: cp-6.1_smt - name: statement - prose: - """ - The organization identifies an alternate storage site that is separated from the - primary storage site to reduce susceptibility to the same threats. - """ - - - id: cp-6.1_gdn - name: guidance - prose: - """ - Threats that affect alternate storage sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate storage sites based on the types of threats that are - of concern. For one particular type of threat (i.e., hostile cyber attack), the - degree of separation between sites is less relevant. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-6.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization identifies an alternate storage site that is - separated from the primary storage site to reduce susceptibility to the same - threats. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate storage site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-6.2 - class: SP800-53-enhancement - title: Recovery Time / Point Objectives - properties: - - - name: label - value: CP-6(2) - - - name: sort-id - value: cp-06.02 - parts: - - - id: cp-6.2_smt - name: statement - prose: - """ - The organization configures the alternate storage site to facilitate recovery - operations in accordance with recovery time and recovery point objectives. - """ - - - id: cp-6.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization configures the alternate storage site to facilitate - recovery operations in accordance with recovery time objectives and recovery point - objectives (as specified in the information system contingency plan). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nalternate storage site configurations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel with responsibilities for testing related plans\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for contingency plan testing\n\nautomated mechanisms supporting recovery time/point objectives - - - id: cp-6.3 - class: SP800-53-enhancement - title: Accessibility - properties: - - - name: label - value: CP-6(3) - - - name: sort-id - value: cp-06.03 - parts: - - - id: cp-6.3_smt - name: statement - prose: - """ - The organization identifies potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions. - """ - - - id: cp-6.3_gdn - name: guidance - prose: - """ - Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. Explicit - mitigation actions include, for example: (i) duplicating backup information at - other alternate storage sites if access problems occur at originally designated - alternate sites; or (ii) planning for physical access to retrieve backup - information if electronic accessibility to the alternate site is disrupted. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-6.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-6.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-6(3)[1] - prose: - """ - identifies potential accessibility problems to the alternate storage site in - the event of an area-wide disruption or disaster; and - """ - - - id: cp-6.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-6(3)[2] - prose: - """ - outlines explicit mitigation actions for such potential accessibility problems - to the alternate storage site in the event of an area-wide disruption or - disaster. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nlist of potential accessibility problems to alternate storage site\n\nmitigation actions for accessibility problems to alternate storage site\n\norganizational risk assessments\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate storage site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-7 - class: SP800-53 - title: Alternate Processing Site - parameters: - - - id: cp-7_prm_1 - label: organization-defined information system operations - - - id: cp-7_prm_2 - label: - """ - organization-defined time period consistent with recovery time and recovery point - objectives - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-7 - - - name: sort-id - value: cp-07 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-7_smt - name: statement - prose: The organization: - parts: - - - id: cp-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes an alternate processing site including necessary agreements to permit - the transfer and resumption of {{ cp-7_prm_1 }} for essential - missions/business functions within {{ cp-7_prm_2 }} when the - primary processing capabilities are unavailable; - """ - - - id: cp-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that equipment and supplies required to transfer and resume operations are - available at the alternate processing site or contracts are in place to support - delivery to the site within the organization-defined time period for - transfer/resumption; and - """ - - - id: cp-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site. - """ - - - id: cp-7_fr - name: item - title: CP-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - id: cp-7_gdn - name: guidance - prose: - """ - Alternate processing sites are sites that are geographically distinct from primary - processing sites. An alternate processing site provides processing capability in the - event that the primary processing site is not available. Items covered by alternate - processing site agreements include, for example, environmental conditions at - alternate sites, access rules, physical and environmental protection requirements, - and coordination for the transfer/assignment of personnel. Requirements are - specifically allocated to alternate processing sites that reflect the requirements in - contingency plans to maintain essential missions/business functions despite - disruption, compromise, or failure in organizational information systems. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #ma-6 - rel: related - text: MA-6 - - - id: cp-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-7.a_obj - name: objective - properties: - - - name: label - value: CP-7(a) - parts: - - - id: cp-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-7(a)[1] - prose: - """ - defines information system operations requiring an alternate processing site to - be established to permit the transfer and resumption of such operations; - """ - - - id: cp-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-7(a)[2] - prose: - """ - defines the time period consistent with recovery time objectives and recovery - point objectives (as specified in the information system contingency plan) for - transfer/resumption of organization-defined information system operations for - essential missions/business functions; - """ - - - id: cp-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(a)[3] - prose: - """ - establishes an alternate processing site including necessary agreements to - permit the transfer and resumption of organization-defined information system - operations for essential missions/business functions, within the - organization-defined time period, when the primary processing capabilities are - unavailable; - """ - - - id: cp-7.b_obj - name: objective - properties: - - - name: label - value: CP-7(b) - parts: - - - id: cp-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(b)[1] - prose: - """ - ensures that equipment and supplies required to transfer and resume operations - are available at the alternate processing site; or - """ - - - id: cp-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(b)[2] - prose: - """ - ensures that contracts are in place to support delivery to the site within the - organization-defined time period for transfer/resumption; and - """ - - - id: cp-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(c) - prose: - """ - ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nspare equipment and supplies inventory at alternate processing site\n\nequipment and supply contracts\n\nservice-level agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for contingency planning and/or - alternate site arrangements\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for recovery at the alternate site\n\nautomated mechanisms supporting and/or implementing recovery at the alternate - processing site - """ - controls: - - - id: cp-7.1 - class: SP800-53-enhancement - title: Separation from Primary Site - properties: - - - name: label - value: CP-7(1) - - - name: sort-id - value: cp-07.01 - parts: - - - id: cp-7.1_smt - name: statement - prose: - """ - The organization identifies an alternate processing site that is separated from - the primary processing site to reduce susceptibility to the same threats. - """ - parts: - - - id: cp-7.1_fr - name: item - title: CP-7 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant. - - - id: cp-7.1_gdn - name: guidance - prose: - """ - Threats that affect alternate processing sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate processing sites based on the types of threats that - are of concern. For one particular type of threat (i.e., hostile cyber attack), - the degree of separation between sites is less relevant. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-7.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization identifies an alternate processing site that is - separated from the primary storage site to reduce susceptibility to the same - threats. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-7.2 - class: SP800-53-enhancement - title: Accessibility - properties: - - - name: label - value: CP-7(2) - - - name: sort-id - value: cp-07.02 - parts: - - - id: cp-7.2_smt - name: statement - prose: - """ - The organization identifies potential accessibility problems to the alternate - processing site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions. - """ - - - id: cp-7.2_gdn - name: guidance - prose: - """ - Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-7.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-7.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-7(2)[1] - prose: - """ - identifies potential accessibility problems to the alternate processing site in - the event of an area-wide disruption or disaster; and - """ - - - id: cp-7.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-7(2)[2] - prose: - """ - outlines explicit mitigation actions for such potential accessibility problems - to the alternate processing site in the event of an area-wide disruption or - disaster. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-7.3 - class: SP800-53-enhancement - title: Priority of Service - properties: - - - name: label - value: CP-7(3) - - - name: sort-id - value: cp-07.03 - parts: - - - id: cp-7.3_smt - name: statement - prose: - """ - The organization develops alternate processing site agreements that contain - priority-of-service provisions in accordance with organizational availability - requirements (including recovery time objectives). - """ - - - id: cp-7.3_gdn - name: guidance - prose: - """ - Priority-of-service agreements refer to negotiated agreements with service - providers that ensure that organizations receive priority treatment consistent - with their availability requirements and the availability of information resources - at the alternate processing site. - """ - - - id: cp-7.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization develops alternate processing site agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in the - information system contingency plan). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nservice-level agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - id: cp-7.4 - class: SP800-53-enhancement - title: Preparation for Use - properties: - - - name: label - value: CP-7(4) - - - name: sort-id - value: cp-07.04 - parts: - - - id: cp-7.4_smt - name: statement - prose: - """ - The organization prepares the alternate processing site so that the site is ready - to be used as the operational site supporting essential missions and business - functions. - """ - - - id: cp-7.4_gdn - name: guidance - prose: - """ - Site preparation includes, for example, establishing configuration settings for - information system components at the alternate processing site consistent with the - requirements for such settings at the primary site and ensuring that essential - supplies and other logistical considerations are in place. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - id: cp-7.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization prepares the alternate processing site so that the - site is ready to be used as the operational site supporting essential missions and - business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nalternate processing site configurations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing recovery at the alternate - processing site - """ - - - id: cp-8 - class: SP800-53 - title: Telecommunications Services - parameters: - - - id: cp-8_prm_1 - label: organization-defined information system operations - - - id: cp-8_prm_2 - label: organization-defined time period - properties: - - - name: label - value: CP-8 - - - name: sort-id - value: cp-08 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #fb5844de-ff96-47c0-b258-4f52bcc2f30d - rel: reference - text: National Communications Systems Directive 3-10 - - - href: #3ac12e79-f54f-4a63-9f4b-ee4bcd4df604 - rel: reference - text: http://www.dhs.gov/telecommunications-service-priority-tsp - parts: - - - id: cp-8_smt - name: statement - prose: - """ - The organization establishes alternate telecommunications services including - necessary agreements to permit the resumption of {{ cp-8_prm_1 }} for - essential missions and business functions within {{ cp-8_prm_2 }} when - the primary telecommunications capabilities are unavailable at either the primary or - alternate processing or storage sites. - """ - parts: - - - id: cp-8_fr - name: item - title: CP-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - id: cp-8_gdn - name: guidance - prose: - """ - This control applies to telecommunications services (data and voice) for primary and - alternate processing and storage sites. Alternate telecommunications services reflect - the continuity requirements in contingency plans to maintain essential - missions/business functions despite the loss of primary telecommunications services. - Organizations may specify different time periods for primary/alternate sites. - Alternate telecommunications services include, for example, additional organizational - or commercial ground-based circuits/lines or satellites in lieu of ground-based - communications. Organizations consider factors such as availability, quality of - service, and access when entering into alternate telecommunications agreements. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: cp-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-8_obj.1 - name: objective - properties: - - - name: label - value: CP-8[1] - prose: - """ - defines information system operations requiring alternate telecommunications - services to be established to permit the resumption of such operations; - """ - - - id: cp-8_obj.2 - name: objective - properties: - - - name: label - value: CP-8[2] - prose: - """ - defines the time period to permit resumption of organization-defined information - system operations for essential missions and business functions; and - """ - - - id: cp-8_obj.3 - name: objective - properties: - - - name: label - value: CP-8[3] - prose: - """ - establishes alternate telecommunications services including necessary agreements - to permit the resumption of organization-defined information system operations for - essential missions and business functions, within the organization-defined time - period, when the primary telecommunications capabilities are unavailable at either - the primary or alternate processing or storage sites. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting telecommunications - controls: - - - id: cp-8.1 - class: SP800-53-enhancement - title: Priority of Service Provisions - properties: - - - name: label - value: CP-8(1) - - - name: sort-id - value: cp-08.01 - parts: - - - id: cp-8.1_smt - name: statement - prose: The organization: - parts: - - - id: cp-8.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives); and - """ - - - id: cp-8.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier. - """ - - - id: cp-8.1_gdn - name: guidance - prose: - """ - Organizations consider the potential mission/business impact in situations where - telecommunications service providers are servicing other organizations with - similar priority-of-service provisions. - """ - - - id: cp-8.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-8(1)[1] - prose: - """ - develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in - the information system contingency plan); and - """ - - - id: cp-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-8(1)[2] - prose: - """ - requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nTelecommunications Service Priority documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting telecommunications - - - id: cp-8.2 - class: SP800-53-enhancement - title: Single Points of Failure - properties: - - - name: label - value: CP-8(2) - - - name: sort-id - value: cp-08.02 - parts: - - - id: cp-8.2_smt - name: statement - prose: - """ - The organization obtains alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services. - """ - - - id: cp-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization obtains alternate telecommunications services to - reduce the likelihood of sharing a single point of failure with primary - telecommunications services. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities - """ - - - id: cp-8.3 - class: SP800-53-enhancement - title: Separation of Primary / Alternate Providers - properties: - - - name: label - value: CP-8(3) - - - name: sort-id - value: cp-08.03 - parts: - - - id: cp-8.3_smt - name: statement - prose: - """ - The organization obtains alternate telecommunications services from providers that - are separated from primary service providers to reduce susceptibility to the same - threats. - """ - - - id: cp-8.3_gdn - name: guidance - prose: - """ - Threats that affect telecommunications services are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber/physical attacks, and errors of - omission/commission. Organizations seek to reduce common susceptibilities by, for - example, minimizing shared infrastructure among telecommunications service - providers and achieving sufficient geographic separation between services. - Organizations may consider using a single service provider in situations where the - service provider can provide alternate telecommunications services meeting the - separation needs addressed in the risk assessment. - """ - - - id: cp-8.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization obtains alternate telecommunications services from - providers that are separated from primary service providers to reduce - susceptibility to the same threats. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nalternate telecommunications service provider site\n\nprimary telecommunications service provider site\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities - """ - - - id: cp-8.4 - class: SP800-53-enhancement - title: Provider Contingency Plan - parameters: - - - id: cp-8.4_prm_1 - label: organization-defined frequency - constraints: - - - detail: annually - properties: - - - name: label - value: CP-8(4) - - - name: sort-id - value: cp-08.04 - parts: - - - id: cp-8.4_smt - name: statement - prose: The organization: - parts: - - - id: cp-8.4_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Requires primary and alternate telecommunications service providers to have - contingency plans; - """ - - - id: cp-8.4_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Reviews provider contingency plans to ensure that the plans meet organizational - contingency requirements; and - """ - - - id: cp-8.4_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Obtains evidence of contingency testing/training by providers {{ cp-8.4_prm_1 }}. - - - id: cp-8.4_gdn - name: guidance - prose: - """ - Reviews of provider contingency plans consider the proprietary nature of such - plans. In some situations, a summary of provider contingency plans may be - sufficient evidence for organizations to satisfy the review requirement. - Telecommunications service providers may also participate in ongoing disaster - recovery exercises in coordination with the Department of Homeland Security, - state, and local governments. Organizations may use these types of activities to - satisfy evidentiary requirements related to service provider contingency plan - reviews, testing, and training. - """ - - - id: cp-8.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-8.4.a_obj - name: objective - properties: - - - name: label - value: CP-8(4)(a) - parts: - - - id: cp-8.4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-8(4)(a)[1] - prose: - """ - requires primary telecommunications service provider to have contingency - plans; - """ - - - id: cp-8.4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-8(4)(a)[2] - prose: - """ - requires alternate telecommunications service provider(s) to have - contingency plans; - """ - links: - - - href: #cp-8.4_smt.a - rel: corresp - text: CP-8(4)(a) - - - id: cp-8.4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-8(4)(b) - prose: - """ - reviews provider contingency plans to ensure that the plans meet organizational - contingency requirements; - """ - links: - - - href: #cp-8.4_smt.b - rel: corresp - text: CP-8(4)(b) - - - id: cp-8.4.c_obj - name: objective - properties: - - - name: label - value: CP-8(4)(c) - parts: - - - id: cp-8.4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-8(4)(c)[1] - prose: - """ - defines the frequency to obtain evidence of contingency testing/training by - providers; and - """ - - - id: cp-8.4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-8(4)(c)[2] - prose: - """ - obtains evidence of contingency testing/training by providers with the - organization-defined frequency. - """ - links: - - - href: #cp-8.4_smt.c - rel: corresp - text: CP-8(4)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprovider contingency plans\n\nevidence of contingency testing/training by providers\n\nprimary and alternate telecommunications service agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, plan implementation, and - testing responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - id: cp-9 - class: SP800-53 - title: Information System Backup - parameters: - - - id: cp-9_prm_1 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_2 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_3 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-9 - - - name: sort-id - value: cp-09 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-9_smt - name: statement - prose: The organization: - parts: - - - id: cp-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts backups of user-level information contained in the information system - {{ cp-9_prm_1 }}; - """ - - - id: cp-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Conducts backups of system-level information contained in the information system - {{ cp-9_prm_2 }}; - """ - - - id: cp-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Conducts backups of information system documentation including security-related - documentation {{ cp-9_prm_3 }}; and - """ - - - id: cp-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online). - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online). - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online). - - - id: cp-9_gdn - name: guidance - prose: - """ - System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: cp-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.a_obj - name: objective - properties: - - - name: label - value: CP-9(a) - parts: - - - id: cp-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(a)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system; - """ - - - id: cp-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(a)[2] - prose: - """ - conducts backups of user-level information contained in the information system - with the organization-defined frequency; - """ - - - id: cp-9.b_obj - name: objective - properties: - - - name: label - value: CP-9(b) - parts: - - - id: cp-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(b)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system; - """ - - - id: cp-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(b)[2] - prose: - """ - conducts backups of system-level information contained in the information - system with the organization-defined frequency; - """ - - - id: cp-9.c_obj - name: objective - properties: - - - name: label - value: CP-9(c) - parts: - - - id: cp-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(c)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation; - """ - - - id: cp-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(c)[2] - prose: - """ - conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and - """ - - - id: cp-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(d) - prose: - """ - protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\nbackup storage location(s)\n\ninformation system backup logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system backups - controls: - - - id: cp-9.1 - class: SP800-53-enhancement - title: Testing for Reliability / Integrity - parameters: - - - id: cp-9.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-9(1) - - - name: sort-id - value: cp-09.01 - parts: - - - id: cp-9.1_smt - name: statement - prose: - """ - The organization tests backup information {{ cp-9.1_prm_1 }} to - verify media reliability and information integrity. - """ - - - id: cp-9.1_gdn - name: guidance - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - id: cp-9.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(1)[1] - prose: - """ - defines the frequency to test backup information to verify media reliability - and information integrity; and - """ - - - id: cp-9.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(1)[2] - prose: - """ - tests backup information with the organization-defined frequency to verify - media reliability and information integrity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system - backups - """ - - - id: cp-9.2 - class: SP800-53-enhancement - title: Test Restoration Using Sampling - properties: - - - name: label - value: CP-9(2) - - - name: sort-id - value: cp-09.02 - parts: - - - id: cp-9.2_smt - name: statement - prose: - """ - The organization uses a sample of backup information in the restoration of - selected information system functions as part of contingency plan testing. - """ - - - id: cp-9.2_gdn - name: guidance - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - id: cp-9.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization uses a sample of backup information in the - restoration of selected information system functions as part of contingency plan - testing. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system backup responsibilities\n\norganizational personnel with contingency planning/contingency plan testing - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system - backups - """ - - - id: cp-9.3 - class: SP800-53-enhancement - title: Separate Storage for Critical Information - parameters: - - - id: cp-9.3_prm_1 - label: - """ - organization-defined critical information system software and other - security-related information - """ - properties: - - - name: label - value: CP-9(3) - - - name: sort-id - value: cp-09.03 - parts: - - - id: cp-9.3_smt - name: statement - prose: - """ - The organization stores backup copies of {{ cp-9.3_prm_1 }} in a - separate facility or in a fire-rated container that is not collocated with the - operational system. - """ - - - id: cp-9.3_gdn - name: guidance - prose: - """ - Critical information system software includes, for example, operating systems, - cryptographic key management systems, and intrusion detection/prevention systems. - Security-related information includes, for example, organizational inventories of - hardware, software, and firmware components. Alternate storage sites typically - serve as separate storage facilities for organizations. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-8 - rel: related - text: CM-8 - - - id: cp-9.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.3_obj.1 - name: objective - properties: - - - name: label - value: CP-9(3)[1] - parts: - - - id: cp-9.3_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(3)[1][a] - prose: - """ - defines critical information system software and other security-related - information requiring backup copies to be stored in a separate facility; - or - """ - - - id: cp-9.3_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(3)[1][b] - prose: - """ - defines critical information system software and other security-related - information requiring backup copies to be stored in a fire-rated container - that is not collocated with the operational system; and - """ - - - id: cp-9.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-9(3)[2] - prose: - """ - stores backup copies of organization-defined critical information system - software and other security-related information in a separate facility or in a - fire-rated container that is not collocated with the operational system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\nbackup storage location(s)\n\ninformation system backup configurations and associated documentation\n\ninformation system backup logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-9.5 - class: SP800-53-enhancement - title: Transfer to Alternate Storage Site - parameters: - - - id: cp-9.5_prm_1 - label: - """ - organization-defined time period and transfer rate consistent with the - recovery time and recovery point objectives - """ - constraints: - - - detail: time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA - properties: - - - name: label - value: CP-9(5) - - - name: sort-id - value: cp-09.05 - parts: - - - id: cp-9.5_smt - name: statement - prose: - """ - The organization transfers information system backup information to the alternate - storage site {{ cp-9.5_prm_1 }}. - """ - - - id: cp-9.5_gdn - name: guidance - prose: - """ - Information system backup information can be transferred to alternate storage - sites either electronically or by physical shipment of storage media. - """ - - - id: cp-9.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(5)[1] - prose: - """ - defines a time period, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - transfer information system backup information to the alternate storage - site; - """ - - - id: cp-9.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(5)[2] - prose: - """ - defines a transfer rate, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - transfer information system backup information to the alternate storage site; - and - """ - - - id: cp-9.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(5)[3] - prose: - """ - transfers information system backup information to the alternate storage site - with the organization-defined time period and transfer rate. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup logs or records\n\nevidence of system backup information transferred to alternate storage site\n\nalternate storage site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for transferring information system backups to the - alternate storage site\n\nautomated mechanisms supporting and/or implementing information system - backups\n\nautomated mechanisms supporting and/or implementing information transfer to the - alternate storage site - """ - - - id: cp-10 - class: SP800-53 - title: Information System Recovery and Reconstitution - properties: - - - name: label - value: CP-10 - - - name: sort-id - value: cp-10 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-10_smt - name: statement - prose: - """ - The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure. - """ - - - id: cp-10_gdn - name: guidance - prose: - """ - Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: cp-10_obj - name: objective - prose: Determine if the organization provides for: - parts: - - - id: cp-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-10[1] - prose: the recovery of the information system to a known state after: - parts: - - - id: cp-10_obj.1.a - name: objective - properties: - - - name: label - value: CP-10[1][a] - prose: a disruption; - - - id: cp-10_obj.1.b - name: objective - properties: - - - name: label - value: CP-10[1][b] - prose: a compromise; or - - - id: cp-10_obj.1.c - name: objective - properties: - - - name: label - value: CP-10[1][c] - prose: a failure; - - - id: cp-10_obj.2 - name: objective - properties: - - - name: label - value: CP-10[2] - prose: the reconstitution of the information system to a known state after: - parts: - - - id: cp-10_obj.2.a - name: objective - properties: - - - name: label - value: CP-10[2][a] - prose: a disruption; - - - id: cp-10_obj.2.b - name: objective - properties: - - - name: label - value: CP-10[2][b] - prose: a compromise; or - - - id: cp-10_obj.2.c - name: objective - properties: - - - name: label - value: CP-10[2][c] - prose: a failure. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for information system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes implementing information system recovery and - reconstitution operations\n\nautomated mechanisms supporting and/or implementing information system recovery - and reconstitution operations - """ - controls: - - - id: cp-10.2 - class: SP800-53-enhancement - title: Transaction Recovery - properties: - - - name: label - value: CP-10(2) - - - name: sort-id - value: cp-10.02 - parts: - - - id: cp-10.2_smt - name: statement - prose: - """ - The information system implements transaction recovery for systems that are - transaction-based. - """ - - - id: cp-10.2_gdn - name: guidance - prose: - """ - Transaction-based information systems include, for example, database management - systems and transaction processing systems. Mechanisms supporting transaction - recovery include, for example, transaction rollback and transaction - journaling. - """ - - - id: cp-10.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements transaction recovery for systems - that are transaction-based. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system recovery and reconstitution\n\ncontingency plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\ninformation system transaction recovery records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for transaction recovery\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing transaction recovery - capability - """ - - - id: cp-10.4 - class: SP800-53-enhancement - title: Restore Within Time Period - parameters: - - - id: cp-10.4_prm_1 - label: organization-defined restoration time-periods - constraints: - - - detail: time period consistent with the restoration time-periods defined in the service provider and organization SLA - properties: - - - name: label - value: CP-10(4) - - - name: sort-id - value: cp-10.04 - parts: - - - id: cp-10.4_smt - name: statement - prose: - """ - The organization provides the capability to restore information system components - within {{ cp-10.4_prm_1 }} from configuration-controlled and - integrity-protected information representing a known, operational state for the - components. - """ - - - id: cp-10.4_gdn - name: guidance - prose: - """ - Restoration of information system components includes, for example, reimaging - which restores components to known, operational states. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - id: cp-10.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-10.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-10(4)[1] - prose: - """ - defines a time period to restore information system components from - configuration-controlled and integrity-protected information representing a - known, operational state for the components; and - """ - - - id: cp-10.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-10(4)[2] - prose: - """ - provides the capability to restore information system components within the - organization-defined time period from configuration-controlled and - integrity-protected information representing a known, operational state for the - components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system recovery and reconstitution\n\ncontingency plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nevidence of information system recovery and reconstitution operations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system recovery and reconstitution - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing recovery/reconstitution of - information system information - """ - - - id: ia - class: family - title: Identification and Authentication - controls: - - - id: ia-1 - class: SP800-53 - title: Identification and Authentication Policy and Procedures - parameters: - - - id: ia-1_prm_1 - label: organization-defined personnel or roles - - - id: ia-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ia-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-1 - - - name: sort-id - value: ia-01 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ia-1_smt - name: statement - prose: The organization: - parts: - - - id: ia-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ia-1_prm_1 }}: - parts: - - - id: ia-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ia-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and - """ - - - id: ia-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ia-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identification and authentication policy {{ ia-1_prm_2 }}; - and - """ - - - id: ia-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Identification and authentication procedures {{ ia-1_prm_3 }}. - - - id: ia-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ia-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-1.a_obj - name: objective - properties: - - - name: label - value: IA-1(a) - parts: - - - id: ia-1.a.1_obj - name: objective - properties: - - - name: label - value: IA-1(a)(1) - parts: - - - id: ia-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(1)[1] - prose: - """ - develops and documents an identification and authentication policy that - addresses: - """ - parts: - - - id: ia-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][a] - prose: purpose; - - - id: ia-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][b] - prose: scope; - - - id: ia-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][c] - prose: roles; - - - id: ia-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ia-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][e] - prose: management commitment; - - - id: ia-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ia-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][g] - prose: compliance; - - - id: ia-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and - """ - - - id: ia-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-1(a)(1)[3] - prose: - """ - disseminates the identification and authentication policy to - organization-defined personnel or roles; - """ - - - id: ia-1.a.2_obj - name: objective - properties: - - - name: label - value: IA-1(a)(2) - parts: - - - id: ia-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls; - """ - - - id: ia-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ia-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ia-1.b_obj - name: objective - properties: - - - name: label - value: IA-1(b) - parts: - - - id: ia-1.b.1_obj - name: objective - properties: - - - name: label - value: IA-1(b)(1) - parts: - - - id: ia-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication policy; - """ - - - id: ia-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(1)[2] - prose: - """ - reviews and updates the current identification and authentication policy - with the organization-defined frequency; and - """ - - - id: ia-1.b.2_obj - name: objective - properties: - - - name: label - value: IA-1(b)(2) - parts: - - - id: ia-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication procedures; and - """ - - - id: ia-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(2)[2] - prose: - """ - reviews and updates the current identification and authentication procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with identification and authentication - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ia-2 - class: SP800-53 - title: Identification and Authentication (organizational Users) - properties: - - - name: label - value: IA-2 - - - name: sort-id - value: ia-02 - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-2_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates organizational users (or - processes acting on behalf of organizational users). - """ - - - id: ia-2_gdn - name: guidance - prose: - """ - Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: ia-2_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for uniquely identifying and authenticating users\n\nautomated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-2.1 - class: SP800-53-enhancement - title: Network Access to Privileged Accounts - properties: - - - name: label - value: IA-2(1) - - - name: sort-id - value: ia-02.01 - parts: - - - id: ia-2.1_smt - name: statement - prose: - """ - The information system implements multifactor authentication for network access to - privileged accounts. - """ - - - id: ia-2.1_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - network access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.2 - class: SP800-53-enhancement - title: Network Access to Non-privileged Accounts - properties: - - - name: label - value: IA-2(2) - - - name: sort-id - value: ia-02.02 - parts: - - - id: ia-2.2_smt - name: statement - prose: - """ - The information system implements multifactor authentication for network access to - non-privileged accounts. - """ - - - id: ia-2.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - network access to non-privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.3 - class: SP800-53-enhancement - title: Local Access to Privileged Accounts - properties: - - - name: label - value: IA-2(3) - - - name: sort-id - value: ia-02.03 - parts: - - - id: ia-2.3_smt - name: statement - prose: - """ - The information system implements multifactor authentication for local access to - privileged accounts. - """ - - - id: ia-2.3_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - local access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.4 - class: SP800-53-enhancement - title: Local Access to Non-privileged Accounts - properties: - - - name: label - value: IA-2(4) - - - name: sort-id - value: ia-02.04 - parts: - - - id: ia-2.4_smt - name: statement - prose: - """ - The information system implements multifactor authentication for local access to - non-privileged accounts. - """ - - - id: ia-2.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - local access to non-privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.5 - class: SP800-53-enhancement - title: Group Authentication - properties: - - - name: label - value: IA-2(5) - - - name: sort-id - value: ia-02.05 - parts: - - - id: ia-2.5_smt - name: statement - prose: - """ - The organization requires individuals to be authenticated with an individual - authenticator when a group authenticator is employed. - """ - - - id: ia-2.5_gdn - name: guidance - prose: - """ - Requiring individuals to use individual authenticators as a second level of - authentication helps organizations to mitigate the risk of using group - authenticators. - """ - - - id: ia-2.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires individuals to be authenticated with an - individual authenticator when a group authenticator is employed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authentication capability - for group accounts - """ - - - id: ia-2.8 - class: SP800-53-enhancement - title: Network Access to Privileged Accounts - Replay Resistant - properties: - - - name: label - value: IA-2(8) - - - name: sort-id - value: ia-02.08 - parts: - - - id: ia-2.8_smt - name: statement - prose: - """ - The information system implements replay-resistant authentication mechanisms for - network access to privileged accounts. - """ - - - id: ia-2.8_gdn - name: guidance - prose: - """ - Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by replaying previous authentication messages. - Replay-resistant techniques include, for example, protocols that use nonces or - challenges such as Transport Layer Security (TLS) and time synchronous or - challenge-response one-time authenticators. - """ - - - id: ia-2.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements replay-resistant authentication - mechanisms for network access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of privileged information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing replay resistant - authentication mechanisms - """ - - - id: ia-2.9 - class: SP800-53-enhancement - title: Network Access to Non-privileged Accounts - Replay Resistant - properties: - - - name: label - value: IA-2(9) - - - name: sort-id - value: ia-02.09 - parts: - - - id: ia-2.9_smt - name: statement - prose: - """ - The information system implements replay-resistant authentication mechanisms for - network access to non-privileged accounts. - """ - - - id: ia-2.9_gdn - name: guidance - prose: - """ - Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by recording/replaying previous authentication - messages. Replay-resistant techniques include, for example, protocols that use - nonces or challenges such as Transport Layer Security (TLS) and time synchronous - or challenge-response one-time authenticators. - """ - - - id: ia-2.9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements replay-resistant authentication - mechanisms for network access to non-privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of non-privileged information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing replay resistant - authentication mechanisms - """ - - - id: ia-2.11 - class: SP800-53-enhancement - title: Remote Access - Separate Device - parameters: - - - id: ia-2.11_prm_1 - label: organization-defined strength of mechanism requirements - constraints: - - - detail: FIPS 140-2, NIAP Certification, or NSA approval - properties: - - - name: label - value: IA-2(11) - - - name: sort-id - value: ia-02.11 - parts: - - - id: ia-2.11_smt - name: statement - prose: - """ - The information system implements multifactor authentication for remote access to - privileged and non-privileged accounts such that one of the factors is provided by - a device separate from the system gaining access and the device meets {{ ia-2.11_prm_1 }}. - """ - parts: - - - id: ia-2.11_fr - name: item - title: IA-2 (11) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.11_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials. - - - id: ia-2.11_gdn - name: guidance - prose: - """ - For remote access to privileged/non-privileged accounts, the purpose of requiring - a device that is separate from the information system gaining access for one of - the factors during multifactor authentication is to reduce the likelihood of - compromising authentication credentials stored on the system. For example, - adversaries deploying malicious code on organizational information systems can - potentially compromise such credentials resident on the system and subsequently - impersonate authorized users. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.11_obj - name: objective - prose: Determine if: - parts: - - - id: ia-2.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[1] - prose: - """ - the information system implements multifactor authentication for remote access - to privileged accounts such that one of the factors is provided by a device - separate from the system gaining access; - """ - - - id: ia-2.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[2] - prose: - """ - the information system implements multifactor authentication for remote access - to non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access; - """ - - - id: ia-2.11_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-2(11)[3] - prose: - """ - the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to privileged - accounts; - """ - - - id: ia-2.11_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-2(11)[4] - prose: - """ - the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to non-privileged - accounts; - """ - - - id: ia-2.11_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[5] - prose: - """ - the information system implements multifactor authentication for remote access - to privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements; and - """ - - - id: ia-2.11_obj.6 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[6] - prose: - """ - the information system implements multifactor authentication for remote access - to non-privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of privileged and non-privileged information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - id: ia-2.12 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials - properties: - - - name: label - value: IA-2(12) - - - name: sort-id - value: ia-02.12 - parts: - - - id: ia-2.12_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials. - """ - parts: - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - - - id: ia-2.12_gdn - name: guidance - prose: - """ - This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-2.12_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-2.12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(12)[1] - prose: accepts Personal Identity Verification (PIV) credentials; and - - - id: ia-2.12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(12)[2] - prose: electronically verifies Personal Identity Verification (PIV) credentials. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials - """ - - - id: ia-3 - class: SP800-53 - title: Device Identification and Authentication - parameters: - - - id: ia-3_prm_1 - label: organization-defined specific and/or types of devices - - - id: ia-3_prm_2 - properties: - - - name: label - value: IA-3 - - - name: sort-id - value: ia-03 - parts: - - - id: ia-3_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates {{ ia-3_prm_1 }} before establishing a {{ ia-3_prm_2 }} - connection. - """ - - - id: ia-3_gdn - name: guidance - prose: - """ - Organizational devices requiring unique device-to-device identification and - authentication may be defined by type, by device, or by a combination of type/device. - Information systems typically use either shared known information (e.g., Media Access - Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) - for device identification or organizational authentication solutions (e.g., IEEE - 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport - Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on - local and/or wide area networks. Organizations determine the required strength of - authentication mechanisms by the security categories of information systems. Because - of the challenges of applying this control on large scale, organizations are - encouraged to only apply the control to those limited number (and type) of devices - that truly need to support this capability. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - id: ia-3_obj - name: objective - prose: Determine if: - parts: - - - id: ia-3_obj.1 - name: objective - properties: - - - name: label - value: IA-3[1] - prose: - """ - the organization defines specific and/or types of devices that the information - system uniquely identifies and authenticates before establishing one or more of - the following: - """ - parts: - - - id: ia-3_obj.1.a - name: objective - properties: - - - name: label - value: IA-3[1][a] - prose: a local connection; - - - id: ia-3_obj.1.b - name: objective - properties: - - - name: label - value: IA-3[1][b] - prose: a remote connection; and/or - - - id: ia-3_obj.1.c - name: objective - properties: - - - name: label - value: IA-3[1][c] - prose: a network connection; and - - - id: ia-3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-3[2] - prose: - """ - the information system uniquely identifies and authenticates organization-defined - devices before establishing one or more of the following: - """ - parts: - - - id: ia-3_obj.2.a - name: objective - properties: - - - name: label - value: IA-3[2][a] - prose: a local connection; - - - id: ia-3_obj.2.b - name: objective - properties: - - - name: label - value: IA-3[2][b] - prose: a remote connection; and/or - - - id: ia-3_obj.2.c - name: objective - properties: - - - name: label - value: IA-3[2][c] - prose: a network connection. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing device identification and authentication\n\ninformation system design documentation\n\nlist of devices requiring unique identification and authentication\n\ndevice connection reports\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with operational responsibilities for device - identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing device identification and - authentication capability - """ - - - id: ia-4 - class: SP800-53 - title: Identifier Management - parameters: - - - id: ia-4_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: at a minimum, the ISSO (or similar role within the organization) - - - id: ia-4_prm_2 - label: organization-defined time period - constraints: - - - detail: at least two (2) years - - - id: ia-4_prm_3 - label: organization-defined time period of inactivity - constraints: - - - detail: thirty-five (35) days (See additional requirements and guidance.) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-4 - - - name: sort-id - value: ia-04 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - parts: - - - id: ia-4_smt - name: statement - prose: The organization manages information system identifiers by: - parts: - - - id: ia-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receiving authorization from {{ ia-4_prm_1 }} to assign an - individual, group, role, or device identifier; - """ - - - id: ia-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Selecting an identifier that identifies an individual, group, role, or device; - - - id: ia-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Assigning the identifier to the intended individual, group, role, or device; - - - id: ia-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and - - - id: ia-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Disabling the identifier after {{ ia-4_prm_3 }}. - - - id: ia-4_fr - name: item - title: IA-4(e) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-4_fr_smt.e - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period of inactivity for device identifiers. - - - id: ia-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx). - - - id: ia-4_gdn - name: guidance - prose: - """ - Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #sc-37 - rel: related - text: SC-37 - - - id: ia-4_obj - name: objective - prose: Determine if the organization manages information system identifiers by: - parts: - - - id: ia-4.a_obj - name: objective - properties: - - - name: label - value: IA-4(a) - parts: - - - id: ia-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(a)[1] - prose: - """ - defining personnel or roles from whom authorization must be received to - assign: - """ - parts: - - - id: ia-4.a_obj.1.a - name: objective - properties: - - - name: label - value: IA-4(a)[1][a] - prose: an individual identifier; - - - id: ia-4.a_obj.1.b - name: objective - properties: - - - name: label - value: IA-4(a)[1][b] - prose: a group identifier; - - - id: ia-4.a_obj.1.c - name: objective - properties: - - - name: label - value: IA-4(a)[1][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.1.d - name: objective - properties: - - - name: label - value: IA-4(a)[1][d] - prose: a device identifier; - - - id: ia-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(a)[2] - prose: - """ - receiving authorization from organization-defined personnel or roles to - assign: - """ - parts: - - - id: ia-4.a_obj.2.a - name: objective - properties: - - - name: label - value: IA-4(a)[2][a] - prose: an individual identifier; - - - id: ia-4.a_obj.2.b - name: objective - properties: - - - name: label - value: IA-4(a)[2][b] - prose: a group identifier; - - - id: ia-4.a_obj.2.c - name: objective - properties: - - - name: label - value: IA-4(a)[2][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.2.d - name: objective - properties: - - - name: label - value: IA-4(a)[2][d] - prose: a device identifier; - - - id: ia-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(b) - prose: selecting an identifier that identifies: - parts: - - - id: ia-4.b_obj.1 - name: objective - properties: - - - name: label - value: IA-4(b)[1] - prose: an individual; - - - id: ia-4.b_obj.2 - name: objective - properties: - - - name: label - value: IA-4(b)[2] - prose: a group; - - - id: ia-4.b_obj.3 - name: objective - properties: - - - name: label - value: IA-4(b)[3] - prose: a role; and/or - - - id: ia-4.b_obj.4 - name: objective - properties: - - - name: label - value: IA-4(b)[4] - prose: a device; - - - id: ia-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(c) - prose: assigning the identifier to the intended: - parts: - - - id: ia-4.c_obj.1 - name: objective - properties: - - - name: label - value: IA-4(c)[1] - prose: individual; - - - id: ia-4.c_obj.2 - name: objective - properties: - - - name: label - value: IA-4(c)[2] - prose: group; - - - id: ia-4.c_obj.3 - name: objective - properties: - - - name: label - value: IA-4(c)[3] - prose: role; and/or - - - id: ia-4.c_obj.4 - name: objective - properties: - - - name: label - value: IA-4(c)[4] - prose: device; - - - id: ia-4.d_obj - name: objective - properties: - - - name: label - value: IA-4(d) - parts: - - - id: ia-4.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(d)[1] - prose: defining a time period for preventing reuse of identifiers; - - - id: ia-4.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(d)[2] - prose: preventing reuse of identifiers for the organization-defined time period; - - - id: ia-4.e_obj - name: objective - properties: - - - name: label - value: IA-4(e) - parts: - - - id: ia-4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(e)[1] - prose: defining a time period of inactivity to disable the identifier; and - - - id: ia-4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(e)[2] - prose: - """ - disabling the identifier after the organization-defined time period of - inactivity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system accounts\n\nlist of identifiers generated from physical access control devices\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier management - controls: - - - id: ia-4.4 - class: SP800-53-enhancement - title: Identify User Status - parameters: - - - id: ia-4.4_prm_1 - label: organization-defined characteristic identifying individual status - constraints: - - - detail: contractors; foreign nationals] - properties: - - - name: label - value: IA-4(4) - - - name: sort-id - value: ia-04.04 - parts: - - - id: ia-4.4_smt - name: statement - prose: - """ - The organization manages individual identifiers by uniquely identifying each - individual as {{ ia-4.4_prm_1 }}. - """ - - - id: ia-4.4_gdn - name: guidance - prose: - """ - Characteristics identifying the status of individuals include, for example, - contractors and foreign nationals. Identifying the status of individuals by - specific characteristics provides additional information about the people with - whom organizational personnel are communicating. For example, it might be useful - for a government employee to know that one of the individuals on an email message - is a contractor. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - id: ia-4.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-4.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(4)[1] - prose: defines a characteristic to be used to identify individual status; and - - - id: ia-4.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(4)[2] - prose: - """ - manages individual identifiers by uniquely identifying each individual as the - organization-defined characteristic identifying individual status. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nlist of characteristics identifying individual status\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier management - - - id: ia-5 - class: SP800-53 - title: Authenticator Management - parameters: - - - id: ia-5_prm_1 - label: organization-defined time period by authenticator type - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-5 - - - name: sort-id - value: ia-05 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-5_smt - name: statement - prose: The organization manages information system authenticators by: - parts: - - - id: ia-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator; - """ - - - id: ia-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators; - """ - - - id: ia-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators; - """ - - - id: ia-5_smt.g - name: item - properties: - - - name: label - value: g. - prose: Changing/refreshing authenticators {{ ia-5_prm_1 }}; - - - id: ia-5_smt.h - name: item - properties: - - - name: label - value: h. - prose: - """ - Protecting authenticator content from unauthorized disclosure and - modification; - """ - - - id: ia-5_smt.i - name: item - properties: - - - name: label - value: i. - prose: - """ - Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and - """ - - - id: ia-5_smt.j - name: item - properties: - - - name: label - value: j. - prose: - """ - Changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - id: ia-5_fr - name: item - title: IA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3). - - - id: ia-5_gdn - name: guidance - prose: - """ - Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: ia-5_obj - name: objective - prose: Determine if the organization manages information system authenticators by: - parts: - - - id: ia-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(a) - prose: verifying, as part of the initial authenticator distribution, the identity of: - parts: - - - id: ia-5.a_obj.1 - name: objective - properties: - - - name: label - value: IA-5(a)[1] - prose: the individual receiving the authenticator; - - - id: ia-5.a_obj.2 - name: objective - properties: - - - name: label - value: IA-5(a)[2] - prose: the group receiving the authenticator; - - - id: ia-5.a_obj.3 - name: objective - properties: - - - name: label - value: IA-5(a)[3] - prose: the role receiving the authenticator; and/or - - - id: ia-5.a_obj.4 - name: objective - properties: - - - name: label - value: IA-5(a)[4] - prose: the device receiving the authenticator; - - - id: ia-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(b) - prose: - """ - establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(c) - prose: - """ - ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5.d_obj - name: objective - properties: - - - name: label - value: IA-5(d) - parts: - - - id: ia-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[1] - prose: - """ - establishing and implementing administrative procedures for initial - authenticator distribution; - """ - - - id: ia-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[2] - prose: - """ - establishing and implementing administrative procedures for lost/compromised or - damaged authenticators; - """ - - - id: ia-5.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[3] - prose: - """ - establishing and implementing administrative procedures for revoking - authenticators; - """ - - - id: ia-5.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(e) - prose: - """ - changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5.f_obj - name: objective - properties: - - - name: label - value: IA-5(f) - parts: - - - id: ia-5.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[1] - prose: establishing minimum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[2] - prose: establishing maximum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[3] - prose: establishing reuse conditions for authenticators; - - - id: ia-5.g_obj - name: objective - properties: - - - name: label - value: IA-5(g) - parts: - - - id: ia-5.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(g)[1] - prose: - """ - defining a time period (by authenticator type) for changing/refreshing - authenticators; - """ - - - id: ia-5.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(g)[2] - prose: - """ - changing/refreshing authenticators with the organization-defined time period by - authenticator type; - """ - - - id: ia-5.h_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(h) - prose: protecting authenticator content from unauthorized: - parts: - - - id: ia-5.h_obj.1 - name: objective - properties: - - - name: label - value: IA-5(h)[1] - prose: disclosure; - - - id: ia-5.h_obj.2 - name: objective - properties: - - - name: label - value: IA-5(h)[2] - prose: modification; - - - id: ia-5.i_obj - name: objective - properties: - - - name: label - value: IA-5(i) - parts: - - - id: ia-5.i_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-5(i)[1] - prose: - """ - requiring individuals to take specific security safeguards to protect - authenticators; - """ - - - id: ia-5.i_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(i)[2] - prose: - """ - having devices implement specific security safeguards to protect - authenticators; and - """ - - - id: ia-5.j_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(j) - prose: - """ - changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system authenticator types\n\nchange control records associated with managing information system - authenticators\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability - """ - controls: - - - id: ia-5.1 - class: SP800-53-enhancement - title: Password-based Authentication - parameters: - - - id: ia-5.1_prm_1 - label: - """ - organization-defined requirements for case sensitivity, number of characters, - mix of upper-case letters, lower-case letters, numbers, and special characters, - including minimum requirements for each type - """ - - - id: ia-5.1_prm_2 - label: organization-defined number - constraints: - - - detail: at least fifty percent (50%) - - - id: ia-5.1_prm_3 - label: organization-defined numbers for lifetime minimum, lifetime maximum - - - id: ia-5.1_prm_4 - label: organization-defined number - constraints: - - - detail: twenty four (24) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-5(1) - - - name: sort-id - value: ia-05.01 - parts: - - - id: ia-5.1_smt - name: statement - prose: The information system, for password-based authentication: - parts: - - - id: ia-5.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Enforces minimum password complexity of {{ ia-5.1_prm_1 }}; - - - id: ia-5.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Enforces at least the following number of changed characters when new passwords - are created: {{ ia-5.1_prm_2 }}; - """ - - - id: ia-5.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Stores and transmits only cryptographically-protected passwords; - - - id: ia-5.1_smt.d - name: item - properties: - - - name: label - value: (d) - prose: Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }}; - - - id: ia-5.1_smt.e - name: item - properties: - - - name: label - value: (e) - prose: - """ - Prohibits password reuse for {{ ia-5.1_prm_4 }} generations; - and - """ - - - id: ia-5.1_smt.f - name: item - properties: - - - name: label - value: (f) - prose: - """ - Allows the use of a temporary password for system logons with an immediate - change to a permanent password. - """ - - - id: ia-5.1_fr - name: item - title: IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) (d) Guidance: - prose: If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant. - - - id: ia-5.1_gdn - name: guidance - prose: - """ - This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords. - """ - links: - - - href: #ia-6 - rel: related - text: IA-6 - - - id: ia-5.1_obj - name: objective - prose: Determine if, for password-based authentication: - parts: - - - id: ia-5.1.a_obj - name: objective - properties: - - - name: label - value: IA-5(1)(a) - parts: - - - id: ia-5.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[1] - prose: the organization defines requirements for case sensitivity; - - - id: ia-5.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[2] - prose: the organization defines requirements for number of characters; - - - id: ia-5.1.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[3] - prose: - """ - the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters; - """ - - - id: ia-5.1.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[4] - prose: - """ - the organization defines minimum requirements for each type of - character; - """ - - - id: ia-5.1.a_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(a)[5] - prose: - """ - the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type; - """ - links: - - - href: #ia-5.1_smt.a - rel: corresp - text: IA-5(1)(a) - - - id: ia-5.1.b_obj - name: objective - properties: - - - name: label - value: IA-5(1)(b) - parts: - - - id: ia-5.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(b)[1] - prose: - """ - the organization defines a minimum number of changed characters to be - enforced when new passwords are created; - """ - - - id: ia-5.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(b)[2] - prose: - """ - the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created; - """ - links: - - - href: #ia-5.1_smt.b - rel: corresp - text: IA-5(1)(b) - - - id: ia-5.1.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(c) - prose: - """ - the information system stores and transmits only encrypted representations of - passwords; - """ - links: - - - href: #ia-5.1_smt.c - rel: corresp - text: IA-5(1)(c) - - - id: ia-5.1.d_obj - name: objective - properties: - - - name: label - value: IA-5(1)(d) - parts: - - - id: ia-5.1.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(d)[1] - prose: - """ - the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(d)[2] - prose: - """ - the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(d)[3] - prose: - """ - the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum; - """ - - - id: ia-5.1.d_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(d)[4] - prose: - """ - the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum; - """ - links: - - - href: #ia-5.1_smt.d - rel: corresp - text: IA-5(1)(d) - - - id: ia-5.1.e_obj - name: objective - properties: - - - name: label - value: IA-5(1)(e) - parts: - - - id: ia-5.1.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(e)[1] - prose: - """ - the organization defines the number of password generations to be prohibited - from password reuse; - """ - - - id: ia-5.1.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(e)[2] - prose: - """ - the information system prohibits password reuse for the organization-defined - number of generations; and - """ - links: - - - href: #ia-5.1_smt.e - rel: corresp - text: IA-5(1)(e) - - - id: ia-5.1.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(f) - prose: - """ - the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password. - """ - links: - - - href: #ia-5.1_smt.f - rel: corresp - text: IA-5(1)(f) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\npassword policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\npassword configurations and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing password-based - authenticator management capability - """ - - - id: ia-5.2 - class: SP800-53-enhancement - title: Pki-based Authentication - properties: - - - name: label - value: IA-5(2) - - - name: sort-id - value: ia-05.02 - parts: - - - id: ia-5.2_smt - name: statement - prose: The information system, for PKI-based authentication: - parts: - - - id: ia-5.2_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Validates certifications by constructing and verifying a certification path to - an accepted trust anchor including checking certificate status information; - """ - - - id: ia-5.2_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Enforces authorized access to the corresponding private key; - - - id: ia-5.2_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Maps the authenticated identity to the account of the individual or group; - and - """ - - - id: ia-5.2_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network. - """ - - - id: ia-5.2_gdn - name: guidance - prose: - """ - Status information for certification paths includes, for example, certificate - revocation lists or certificate status protocol responses. For PIV cards, - validation of certifications involves the construction and verification of a - certification path to the Common Policy Root trust anchor including certificate - policy processing. - """ - links: - - - href: #ia-6 - rel: related - text: IA-6 - - - id: ia-5.2_obj - name: objective - prose: Determine if the information system, for PKI-based authentication: - parts: - - - id: ia-5.2.a_obj - name: objective - properties: - - - name: label - value: IA-5(2)(a) - parts: - - - id: ia-5.2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(a)[1] - prose: - """ - validates certifications by constructing a certification path to an accepted - trust anchor; - """ - - - id: ia-5.2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(a)[2] - prose: - """ - validates certifications by verifying a certification path to an accepted - trust anchor; - """ - - - id: ia-5.2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(a)[3] - prose: - """ - includes checking certificate status information when constructing and - verifying the certification path; - """ - links: - - - href: #ia-5.2_smt.a - rel: corresp - text: IA-5(2)(a) - - - id: ia-5.2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(b) - prose: enforces authorized access to the corresponding private key; - links: - - - href: #ia-5.2_smt.b - rel: corresp - text: IA-5(2)(b) - - - id: ia-5.2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(c) - prose: - """ - maps the authenticated identity to the account of the individual or group; - and - """ - links: - - - href: #ia-5.2_smt.c - rel: corresp - text: IA-5(2)(c) - - - id: ia-5.2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(d) - prose: - """ - implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network. - """ - links: - - - href: #ia-5.2_smt.d - rel: corresp - text: IA-5(2)(d) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nPKI certification validation records\n\nPKI certification revocation lists\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with PKI-based, authenticator management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing PKI-based, authenticator - management capability - """ - - - id: ia-5.3 - class: SP800-53-enhancement - title: In-person or Trusted Third-party Registration - parameters: - - - id: ia-5.3_prm_1 - label: organization-defined types of and/or specific authenticators - constraints: - - - detail: All hardware/biometric (multifactor authenticators) - - - id: ia-5.3_prm_2 - constraints: - - - detail: in person - - - id: ia-5.3_prm_3 - label: organization-defined registration authority - - - id: ia-5.3_prm_4 - label: organization-defined personnel or roles - properties: - - - name: label - value: IA-5(3) - - - name: sort-id - value: ia-05.03 - parts: - - - id: ia-5.3_smt - name: statement - prose: - """ - The organization requires that the registration process to receive {{ ia-5.3_prm_1 }} be conducted {{ ia-5.3_prm_2 }} before - {{ ia-5.3_prm_3 }} with authorization by {{ ia-5.3_prm_4 }}. - """ - - - id: ia-5.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-5.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[1] - prose: - """ - defines types of and/or specific authenticators to be received in person or by - a trusted third party; - """ - - - id: ia-5.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[2] - prose: - """ - defines the registration authority with oversight of the registration process - for receipt of organization-defined types of and/or specific - authenticators; - """ - - - id: ia-5.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[3] - prose: - """ - defines personnel or roles responsible for authorizing organization-defined - registration authority; - """ - - - id: ia-5.3_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[4] - prose: defines if the registration process is to be conducted: - parts: - - - id: ia-5.3_obj.4.a - name: objective - properties: - - - name: label - value: IA-5(3)[4][a] - prose: in person; or - - - id: ia-5.3_obj.4.b - name: objective - properties: - - - name: label - value: IA-5(3)[4][b] - prose: by a trusted third party; and - - - id: ia-5.3_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-5(3)[5] - prose: - """ - requires that the registration process to receive organization-defined types of - and/or specific authenticators be conducted in person or by a trusted third - party before organization-defined registration authority with authorization by - organization-defined personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nregistration process for receiving information system authenticators\n\nlist of authenticators requiring in-person registration\n\nlist of authenticators requiring trusted third party registration\n\nauthenticator registration documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\nregistration authority\n\norganizational personnel with information security responsibilities - - - id: ia-5.4 - class: SP800-53-enhancement - title: Automated Support for Password Strength Determination - parameters: - - - id: ia-5.4_prm_1 - label: organization-defined requirements - constraints: - - - detail: complexity as identified in IA-5 (1) Control Enhancement Part (a) - properties: - - - name: label - value: IA-5(4) - - - name: sort-id - value: ia-05.04 - parts: - - - id: ia-5.4_smt - name: statement - prose: - """ - The organization employs automated tools to determine if password authenticators - are sufficiently strong to satisfy {{ ia-5.4_prm_1 }}. - """ - parts: - - - id: ia-5.4_fr - name: item - title: IA-5 (4) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators. - - - id: ia-5.4_gdn - name: guidance - prose: - """ - This control enhancement focuses on the creation of strong passwords and the - characteristics of such passwords (e.g., complexity) prior to use, the enforcement - of which is carried out by organizational information systems in IA-5 (1). - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: ia-5.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-5.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(4)[1] - prose: defines requirements to be satisfied by password authenticators; and - - - id: ia-5.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(4)[2] - prose: - """ - employs automated tools to determine if password authenticators are - sufficiently strong to satisfy organization-defined requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nautomated tools for evaluating password authenticators\n\npassword strength assessment results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing password-based - authenticator management capability\n\nautomated tools for determining password strength - """ - - - id: ia-5.6 - class: SP800-53-enhancement - title: Protection of Authenticators - properties: - - - name: label - value: IA-5(6) - - - name: sort-id - value: ia-05.06 - parts: - - - id: ia-5.6_smt - name: statement - prose: - """ - The organization protects authenticators commensurate with the security category - of the information to which use of the authenticator permits access. - """ - - - id: ia-5.6_gdn - name: guidance - prose: - """ - For information systems containing multiple security categories of information - without reliable physical or logical separation between categories, authenticators - used to grant access to the systems are protected commensurate with the highest - security category of information on the systems. - """ - - - id: ia-5.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects authenticators commensurate with the - security category of the information to which use of the authenticator permits - access. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity categorization documentation for the information system\n\nsecurity assessments of authenticator protections\n\nrisk assessment results\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with authenticator management responsibilities\n\norganizational personnel implementing and/or maintaining authenticator - protections\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability\n\nautomated mechanisms protecting authenticators - """ - - - id: ia-5.7 - class: SP800-53-enhancement - title: No Embedded Unencrypted Static Authenticators - properties: - - - name: label - value: IA-5(7) - - - name: sort-id - value: ia-05.07 - parts: - - - id: ia-5.7_smt - name: statement - prose: - """ - The organization ensures that unencrypted static authenticators are not embedded - in applications or access scripts or stored on function keys. - """ - - - id: ia-5.7_gdn - name: guidance - prose: - """ - Organizations exercise caution in determining whether embedded or stored - authenticators are in encrypted or unencrypted form. If authenticators are used in - the manner stored, then those representations are considered unencrypted - authenticators. This is irrespective of whether that representation is perhaps an - encrypted version of something else (e.g., a password). - """ - - - id: ia-5.7_obj - name: objective - prose: - """ - Determine if the organization ensures that unencrypted static authenticators are - not: - """ - parts: - - - id: ia-5.7_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(7)[1] - prose: embedded in applications; - - - id: ia-5.7_obj.2 - name: objective - properties: - - - name: label - value: IA-5(7)[2] - prose: embedded in access scripts; or - - - id: ia-5.7_obj.3 - name: objective - properties: - - - name: label - value: IA-5(7)[3] - prose: stored on function keys. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlogical access scripts\n\napplication code reviews for detecting unencrypted static authenticators\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability\n\nautomated mechanisms implementing authentication in applications - """ - - - id: ia-5.8 - class: SP800-53-enhancement - title: Multiple Information System Accounts - parameters: - - - id: ia-5.8_prm_1 - label: organization-defined security safeguards - constraints: - - - detail: different authenticators on different systems - properties: - - - name: label - value: IA-5(8) - - - name: sort-id - value: ia-05.08 - parts: - - - id: ia-5.8_smt - name: statement - prose: - """ - The organization implements {{ ia-5.8_prm_1 }} to manage the risk - of compromise due to individuals having accounts on multiple information - systems. - """ - - - id: ia-5.8_gdn - name: guidance - prose: - """ - When individuals have accounts on multiple information systems, there is the risk - that the compromise of one account may lead to the compromise of other accounts if - individuals use the same authenticators. Possible alternatives include, for - example: (i) having different authenticators on all systems; (ii) employing some - form of single sign-on mechanism; or (iii) including some form of one-time - passwords on all systems. - """ - - - id: ia-5.8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-5.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(8)[1] - prose: - """ - defines security safeguards to manage the risk of compromise due to individuals - having accounts on multiple information systems; and - """ - - - id: ia-5.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(8)[2] - prose: - """ - implements organization-defined security safeguards to manage the risk of - compromise due to individuals having accounts on multiple information - systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\nlist of individuals having accounts on multiple information systems\n\nlist of security safeguards intended to manage risk of compromise due to - individuals having accounts on multiple information systems\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing safeguards for - authenticator management - """ - - - id: ia-5.11 - class: SP800-53-enhancement - title: Hardware Token-based Authentication - parameters: - - - id: ia-5.11_prm_1 - label: organization-defined token quality requirements - properties: - - - name: label - value: IA-5(11) - - - name: sort-id - value: ia-05.11 - parts: - - - id: ia-5.11_smt - name: statement - prose: - """ - The information system, for hardware token-based authentication, employs - mechanisms that satisfy {{ ia-5.11_prm_1 }}. - """ - - - id: ia-5.11_gdn - name: guidance - prose: - """ - Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI. - """ - - - id: ia-5.11_obj - name: objective - prose: Determine if, for hardware token-based authentication: - parts: - - - id: ia-5.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(11)[1] - prose: the organization defines token quality requirements to be satisfied; and - - - id: ia-5.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(11)[2] - prose: - """ - the information system employs mechanisms that satisfy organization-defined - token quality requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\nautomated mechanisms employing hardware token-based authentication for the - information system\n\nlist of token quality requirements\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability - """ - - - id: ia-5.13 - class: SP800-53-enhancement - title: Expiration of Cached Authenticators - parameters: - - - id: ia-5.13_prm_1 - label: organization-defined time period - properties: - - - name: label - value: IA-5(13) - - - name: sort-id - value: ia-05.13 - parts: - - - id: ia-5.13_smt - name: statement - prose: The information system prohibits the use of cached authenticators after {{ ia-5.13_prm_1 }}. - - - id: ia-5.13_obj - name: objective - prose: Determine if: - parts: - - - id: ia-5.13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(13)[1] - prose: - """ - the organization defines the time period after which the information system is - to prohibit the use of cached authenticators; and - """ - - - id: ia-5.13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(13)[2] - prose: - """ - the information system prohibits the use of cached authenticators after the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability - """ - - - id: ia-6 - class: SP800-53 - title: Authenticator Feedback - properties: - - - name: label - value: IA-6 - - - name: sort-id - value: ia-06 - parts: - - - id: ia-6_smt - name: statement - prose: - """ - The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals. - """ - - - id: ia-6_gdn - name: guidance - prose: - """ - The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it. - """ - links: - - - href: #pe-18 - rel: related - text: PE-18 - - - id: ia-6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator feedback\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication - """ - - - id: ia-7 - class: SP800-53 - title: Cryptographic Module Authentication - properties: - - - name: label - value: IA-7 - - - name: sort-id - value: ia-07 - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #b09d1a31-d3c9-4138-a4f4-4c63816afd7d - rel: reference - text: http://csrc.nist.gov/groups/STM/cmvp/index.html - parts: - - - id: ia-7_smt - name: statement - prose: - """ - The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - id: ia-7_gdn - name: guidance - prose: - """ - Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role. - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ia-7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing cryptographic module authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for cryptographic module - authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic module - authentication - """ - - - id: ia-8 - class: SP800-53 - title: Identification and Authentication (non-organizational Users) - properties: - - - name: label - value: IA-8 - - - name: sort-id - value: ia-08 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #599fe9ba-4750-4450-9eeb-b95bd19a5e8f - rel: reference - text: OMB Memorandum 10-06-2011 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #654f21e2-f3bc-43b2-abdc-60ab8d09744b - rel: reference - text: - """ - National Strategy for Trusted Identities in - Cyberspace - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-8_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates non-organizational users - (or processes acting on behalf of non-organizational users). - """ - - - id: ia-8_gdn - name: guidance - prose: - """ - Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - id: ia-8_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-8.1 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials from Other Agencies - properties: - - - name: label - value: IA-8(1) - - - name: sort-id - value: ia-08.01 - parts: - - - id: ia-8.1_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies. - """ - - - id: ia-8.1_gdn - name: guidance - prose: - """ - This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.1_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(1)[1] - prose: - """ - accepts Personal Identity Verification (PIV) credentials from other agencies; - and - """ - - - id: ia-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(1)[2] - prose: - """ - electronically verifies Personal Identity Verification (PIV) credentials from - other agencies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept and verify PIV credentials - """ - - - id: ia-8.2 - class: SP800-53-enhancement - title: Acceptance of Third-party Credentials - properties: - - - name: label - value: IA-8(2) - - - name: sort-id - value: ia-08.02 - parts: - - - id: ia-8.2_smt - name: statement - prose: The information system accepts only FICAM-approved third-party credentials. - - - id: ia-8.2_gdn - name: guidance - prose: - """ - This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - id: ia-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system accepts only FICAM-approved third-party - credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization\n\nthird-party credential verification records\n\nevidence of FICAM-approved third-party credentials\n\nthird-party credential authorizations\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept FICAM-approved credentials - """ - - - id: ia-8.3 - class: SP800-53-enhancement - title: Use of Ficam-approved Products - parameters: - - - id: ia-8.3_prm_1 - label: organization-defined information systems - properties: - - - name: label - value: IA-8(3) - - - name: sort-id - value: ia-08.03 - parts: - - - id: ia-8.3_smt - name: statement - prose: - """ - The organization employs only FICAM-approved information system components in - {{ ia-8.3_prm_1 }} to accept third-party credentials. - """ - - - id: ia-8.3_gdn - name: guidance - prose: - """ - This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program. - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-8.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-8(3)[1] - prose: - """ - defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and - """ - - - id: ia-8.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(3)[2] - prose: - """ - employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nthird-party credential validations\n\nthird-party credential authorizations\n\nthird-party credential records\n\nlist of FICAM-approved information system components procured and implemented - by organization\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information system security, acquisition, and - contracting responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - id: ia-8.4 - class: SP800-53-enhancement - title: Use of Ficam-issued Profiles - properties: - - - name: label - value: IA-8(4) - - - name: sort-id - value: ia-08.04 - parts: - - - id: ia-8.4_smt - name: statement - prose: The information system conforms to FICAM-issued profiles. - - - id: ia-8.4_gdn - name: guidance - prose: - """ - This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange). - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the information system conforms to FICAM-issued profiles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-issued profiles and associated, approved protocols\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles - """ - - - id: ir - class: family - title: Incident Response - controls: - - - id: ir-1 - class: SP800-53 - title: Incident Response Policy and Procedures - parameters: - - - id: ir-1_prm_1 - label: organization-defined personnel or roles - - - id: ir-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ir-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-1 - - - name: sort-id - value: ir-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ir-1_smt - name: statement - prose: The organization: - parts: - - - id: ir-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ir-1_prm_1 }}: - parts: - - - id: ir-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ir-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and - """ - - - id: ir-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ir-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Incident response policy {{ ir-1_prm_2 }}; and - - - id: ir-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Incident response procedures {{ ir-1_prm_3 }}. - - - id: ir-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ir-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-1.a_obj - name: objective - properties: - - - name: label - value: IR-1(a) - parts: - - - id: ir-1.a.1_obj - name: objective - properties: - - - name: label - value: IR-1(a)(1) - parts: - - - id: ir-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(1)[1] - prose: develops and documents an incident response policy that addresses: - parts: - - - id: ir-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][a] - prose: purpose; - - - id: ir-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][b] - prose: scope; - - - id: ir-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][c] - prose: roles; - - - id: ir-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][d] - prose: responsibilities; - - - id: ir-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][e] - prose: management commitment; - - - id: ir-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ir-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][g] - prose: compliance; - - - id: ir-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the incident response policy is to be - disseminated; - """ - - - id: ir-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-1(a)(1)[3] - prose: - """ - disseminates the incident response policy to organization-defined personnel - or roles; - """ - - - id: ir-1.a.2_obj - name: objective - properties: - - - name: label - value: IR-1(a)(2) - parts: - - - id: ir-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls; - """ - - - id: ir-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ir-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ir-1.b_obj - name: objective - properties: - - - name: label - value: IR-1(b) - parts: - - - id: ir-1.b.1_obj - name: objective - properties: - - - name: label - value: IR-1(b)(1) - parts: - - - id: ir-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current incident response - policy; - """ - - - id: ir-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(1)[2] - prose: - """ - reviews and updates the current incident response policy with the - organization-defined frequency; - """ - - - id: ir-1.b.2_obj - name: objective - properties: - - - name: label - value: IR-1(b)(2) - parts: - - - id: ir-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current incident response - procedures; and - """ - - - id: ir-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(2)[2] - prose: - """ - reviews and updates the current incident response procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-2 - class: SP800-53 - title: Incident Response Training - parameters: - - - id: ir-2_prm_1 - label: organization-defined time period - constraints: - - - detail: within ten (10) days - - - id: ir-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-2 - - - name: sort-id - value: ir-02 - links: - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: ir-2_smt - name: statement - prose: - """ - The organization provides incident response training to information system users - consistent with assigned roles and responsibilities: - """ - parts: - - - id: ir-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ ir-2_prm_1 }} of assuming an incident response role or - responsibility; - """ - - - id: ir-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: ir-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ ir-2_prm_2 }} thereafter. - """ - - - id: ir-2_gdn - name: guidance - prose: - """ - Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-2.a_obj - name: objective - properties: - - - name: label - value: IR-2(a) - parts: - - - id: ir-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-2(a)[1] - prose: - """ - defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility; - """ - - - id: ir-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(a)[2] - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility; - """ - - - id: ir-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(b) - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes; - """ - - - id: ir-2.c_obj - name: objective - properties: - - - name: label - value: IR-2(c) - parts: - - - id: ir-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-2(c)[1] - prose: - """ - defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and - """ - - - id: ir-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(c)[2] - prose: - """ - after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nsecurity plan\n\nincident response plan\n\nsecurity plan\n\nincident response training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response training and operational - responsibilities\n\norganizational personnel with information security responsibilities - """ - controls: - - - id: ir-2.1 - class: SP800-53-enhancement - title: Simulated Events - properties: - - - name: label - value: IR-2(1) - - - name: sort-id - value: ir-02.01 - parts: - - - id: ir-2.1_smt - name: statement - prose: - """ - The organization incorporates simulated events into incident response training to - facilitate effective response by personnel in crisis situations. - """ - - - id: ir-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization incorporates simulated events into incident response - training to facilitate effective response by personnel in crisis situations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response training and operational - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms that support and/or implement simulated events for - incident response training - """ - - - id: ir-2.2 - class: SP800-53-enhancement - title: Automated Training Environments - properties: - - - name: label - value: IR-2(2) - - - name: sort-id - value: ir-02.02 - parts: - - - id: ir-2.2_smt - name: statement - prose: - """ - The organization employs automated mechanisms to provide a more thorough and - realistic incident response training environment. - """ - - - id: ir-2.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to provide a more - thorough and realistic incident response training environment. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nautomated mechanisms supporting incident response training\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response training and operational - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms that provide a thorough and realistic incident response - training environment - """ - - - id: ir-3 - class: SP800-53 - title: Incident Response Testing - parameters: - - - id: ir-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every six (6) months - - - id: ir-3_prm_2 - label: organization-defined tests - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-3 - - - name: sort-id - value: ir-03 - links: - - - href: #0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - rel: reference - text: NIST Special Publication 800-84 - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - parts: - - - id: ir-3_smt - name: statement - prose: - """ - The organization tests the incident response capability for the information system - {{ ir-3_prm_1 }} using {{ ir-3_prm_2 }} to determine - the incident response effectiveness and documents the results. - """ - parts: - - - id: ir-3_fr - name: item - title: IR-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-3_fr_smt.1 - name: item - properties: - - - name: label - value: IR-3 -2 Requirement: - prose: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing. - - - id: ir-3_gdn - name: guidance - prose: - """ - Organizations test incident response capabilities to determine the overall - effectiveness of the capabilities and to identify potential weaknesses or - deficiencies. Incident response testing includes, for example, the use of checklists, - walk-through or tabletop exercises, simulations (parallel/full interrupt), and - comprehensive exercises. Incident response testing can also include a determination - of the effects on organizational operations (e.g., reduction in mission - capabilities), organizational assets, and individuals due to incident response. - """ - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-3_obj.1 - name: objective - properties: - - - name: label - value: IR-3[1] - prose: - """ - defines incident response tests to test the incident response capability for the - information system; - """ - - - id: ir-3_obj.2 - name: objective - properties: - - - name: label - value: IR-3[2] - prose: - """ - defines the frequency to test the incident response capability for the information - system; and - """ - - - id: ir-3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-3[3] - prose: - """ - tests the incident response capability for the information system with the - organization-defined frequency, using organization-defined tests to determine the - incident response effectiveness and documents the results. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing material\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response testing responsibilities\n\norganizational personnel with information security responsibilities - controls: - - - id: ir-3.2 - class: SP800-53-enhancement - title: Coordination with Related Plans - properties: - - - name: label - value: IR-3(2) - - - name: sort-id - value: ir-03.02 - parts: - - - id: ir-3.2_smt - name: statement - prose: - """ - The organization coordinates incident response testing with organizational - elements responsible for related plans. - """ - - - id: ir-3.2_gdn - name: guidance - prose: - """ - Organizational plans related to incident response testing include, for example, - Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity - of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - and Occupant Emergency Plans. - """ - - - id: ir-3.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization coordinates incident response testing with - organizational elements responsible for related plans. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nincident response testing documentation\n\nincident response plan\n\nbusiness continuity plans\n\ncontingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\noccupant emergency plans\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response testing responsibilities\n\norganizational personnel with responsibilities for testing organizational plans - related to incident response testing\n\norganizational personnel with information security responsibilities - """ - - - id: ir-4 - class: SP800-53 - title: Incident Handling - properties: - - - name: label - value: IR-4 - - - name: sort-id - value: ir-04 - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-4_smt - name: statement - prose: The organization: - parts: - - - id: ir-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery; - """ - - - id: ir-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates incident handling activities with contingency planning activities; - and - """ - - - id: ir-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly. - """ - - - id: ir-4_fr - name: item - title: IR-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-4_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system. - - - id: ir-4_gdn - name: guidance - prose: - """ - Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function). - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-2 - rel: related - text: IR-2 - - - href: #ir-3 - rel: related - text: IR-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(a) - prose: - """ - implements an incident handling capability for security incidents that - includes: - """ - parts: - - - id: ir-4.a_obj.1 - name: objective - properties: - - - name: label - value: IR-4(a)[1] - prose: preparation; - - - id: ir-4.a_obj.2 - name: objective - properties: - - - name: label - value: IR-4(a)[2] - prose: detection and analysis; - - - id: ir-4.a_obj.3 - name: objective - properties: - - - name: label - value: IR-4(a)[3] - prose: containment; - - - id: ir-4.a_obj.4 - name: objective - properties: - - - name: label - value: IR-4(a)[4] - prose: eradication; - - - id: ir-4.a_obj.5 - name: objective - properties: - - - name: label - value: IR-4(a)[5] - prose: recovery; - - - id: ir-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-4(b) - prose: coordinates incident handling activities with contingency planning activities; - - - id: ir-4.c_obj - name: objective - properties: - - - name: label - value: IR-4(c) - parts: - - - id: ir-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(c)[1] - prose: - """ - incorporates lessons learned from ongoing incident handling activities - into: - """ - parts: - - - id: ir-4.c_obj.1.a - name: objective - properties: - - - name: label - value: IR-4(c)[1][a] - prose: incident response procedures; - - - id: ir-4.c_obj.1.b - name: objective - properties: - - - name: label - value: IR-4(c)[1][b] - prose: training; - - - id: ir-4.c_obj.1.c - name: objective - properties: - - - name: label - value: IR-4(c)[1][c] - prose: testing/exercises; - - - id: ir-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-4(c)[2] - prose: implements the resulting changes accordingly to: - parts: - - - id: ir-4.c_obj.2.a - name: objective - properties: - - - name: label - value: IR-4(c)[2][a] - prose: incident response procedures; - - - id: ir-4.c_obj.2.b - name: objective - properties: - - - name: label - value: IR-4(c)[2][b] - prose: training; and - - - id: ir-4.c_obj.2.c - name: objective - properties: - - - name: label - value: IR-4(c)[2][c] - prose: testing/exercises. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ncontingency plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Incident handling capability for the organization - controls: - - - id: ir-4.1 - class: SP800-53-enhancement - title: Automated Incident Handling Processes - properties: - - - name: label - value: IR-4(1) - - - name: sort-id - value: ir-04.01 - parts: - - - id: ir-4.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to support the incident handling - process. - """ - - - id: ir-4.1_gdn - name: guidance - prose: - """ - Automated mechanisms supporting incident handling processes include, for example, - online incident management systems. - """ - - - id: ir-4.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to support the incident - handling process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms that support and/or implement the incident handling - process - """ - - - id: ir-4.2 - class: SP800-53-enhancement - title: Dynamic Reconfiguration - parameters: - - - id: ir-4.2_prm_1 - label: organization-defined information system components - constraints: - - - detail: all network, data storage, and computing devices - properties: - - - name: label - value: IR-4(2) - - - name: sort-id - value: ir-04.02 - parts: - - - id: ir-4.2_smt - name: statement - prose: The organization includes dynamic reconfiguration of {{ ir-4.2_prm_1 }} as part of the incident response capability. - - - id: ir-4.2_gdn - name: guidance - prose: - """ - Dynamic reconfiguration includes, for example, changes to router rules, access - control lists, intrusion detection/prevention system parameters, and filter rules - for firewalls and gateways. Organizations perform dynamic reconfiguration of - information systems, for example, to stop attacks, to misdirect attackers, and to - isolate components of systems, thus limiting the extent of the damage from - breaches or compromises. Organizations include time frames for achieving the - reconfiguration of information systems in the definition of the reconfiguration - capability, considering the potential need for rapid response in order to - effectively address sophisticated cyber threats. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - id: ir-4.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(2)[1] - prose: - """ - defines information system components to be dynamically reconfigured as part of - the incident response capability; and - """ - - - id: ir-4.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-4(2)[2] - prose: - """ - includes dynamic reconfiguration of organization-defined information system - components as part of the incident response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\nlist of system components to be dynamically reconfigured as part of incident - response capability\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms that support and/or implement dynamic reconfiguration of - components as part of incident response - """ - - - id: ir-4.3 - class: SP800-53-enhancement - title: Continuity of Operations - parameters: - - - id: ir-4.3_prm_1 - label: organization-defined classes of incidents - - - id: ir-4.3_prm_2 - label: - """ - organization-defined actions to take in response to classes of - incidents - """ - properties: - - - name: label - value: IR-4(3) - - - name: sort-id - value: ir-04.03 - parts: - - - id: ir-4.3_smt - name: statement - prose: - """ - The organization identifies {{ ir-4.3_prm_1 }} and {{ ir-4.3_prm_2 }} to ensure continuation of organizational missions and - business functions. - """ - - - id: ir-4.3_gdn - name: guidance - prose: - """ - Classes of incidents include, for example, malfunctions due to - design/implementation errors and omissions, targeted malicious attacks, and - untargeted malicious attacks. Appropriate incident response actions include, for - example, graceful degradation, information system shutdown, fall back to manual - mode/alternative technology whereby the system operates differently, employing - deceptive measures, alternate information flows, or operating in a mode that is - reserved solely for when systems are under attack. - """ - - - id: ir-4.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(3)[1] - prose: - """ - defines classes of incidents requiring an organization-defined action to be - taken; - """ - - - id: ir-4.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(3)[2] - prose: - """ - defines actions to be taken in response to organization-defined classes of - incidents; and - """ - - - id: ir-4.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-4(3)[3] - prose: - """ - identifies organization-defined classes of incidents and organization-defined - actions to take in response to classes of incidents to ensure continuation of - organizational missions and business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\nsecurity plan\n\nlist of classes of incidents\n\nlist of appropriate incident response actions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms that support and/or implement continuity of operations - - - id: ir-4.4 - class: SP800-53-enhancement - title: Information Correlation - properties: - - - name: label - value: IR-4(4) - - - name: sort-id - value: ir-04.04 - parts: - - - id: ir-4.4_smt - name: statement - prose: - """ - The organization correlates incident information and individual incident responses - to achieve an organization-wide perspective on incident awareness and - response. - """ - - - id: ir-4.4_gdn - name: guidance - prose: - """ - Sometimes the nature of a threat event, for example, a hostile cyber attack, is - such that it can only be observed by bringing together information from different - sources including various reports and reporting procedures established by - organizations. - """ - - - id: ir-4.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization correlates incident information and individual - incident responses to achieve an organization-wide perspective on incident - awareness and response. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nincident response plan\n\nsecurity plan\n\nautomated mechanisms supporting incident and event correlation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident management correlation logs\n\nevent management correlation logs\n\nsecurity information and event management logs\n\nincident management correlation reports\n\nevent management correlation reports\n\nsecurity information and event management reports\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with whom incident information and individual incident - responses are to be correlated - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for correlating incident information and individual - incident responses\n\nautomated mechanisms that support and or implement correlation of incident - response information with individual incident responses - """ - - - id: ir-4.6 - class: SP800-53-enhancement - title: Insider Threats - Specific Capabilities - properties: - - - name: label - value: IR-4(6) - - - name: sort-id - value: ir-04.06 - parts: - - - id: ir-4.6_smt - name: statement - prose: The organization implements incident handling capability for insider threats. - - - id: ir-4.6_gdn - name: guidance - prose: - """ - While many organizations address insider threat incidents as an inherent part of - their organizational incident response capability, this control enhancement - provides additional emphasis on this type of threat and the need for specific - incident handling capabilities (as defined within organizations) to provide - appropriate and timely responses. - """ - - - id: ir-4.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization implements incident handling capability for insider - threats. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response plan\n\nsecurity plan\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Incident handling capability for the organization - - - id: ir-4.8 - class: SP800-53-enhancement - title: Correlation with External Organizations - parameters: - - - id: ir-4.8_prm_1 - label: organization-defined external organizations - constraints: - - - detail: external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT) - - - id: ir-4.8_prm_2 - label: organization-defined incident information - properties: - - - name: label - value: IR-4(8) - - - name: sort-id - value: ir-04.08 - parts: - - - id: ir-4.8_smt - name: statement - prose: - """ - The organization coordinates with {{ ir-4.8_prm_1 }} to correlate - and share {{ ir-4.8_prm_2 }} to achieve a cross-organization - perspective on incident awareness and more effective incident responses. - """ - - - id: ir-4.8_gdn - name: guidance - prose: - """ - The coordination of incident information with external organizations including, - for example, mission/business partners, military/coalition partners, customers, - and multitiered developers, can provide significant benefits. Cross-organizational - coordination with respect to incident handling can serve as an important risk - management capability. This capability allows organizations to leverage critical - information from a variety of sources to effectively respond to information - security-related incidents potentially affecting the organization’s operations, - assets, and individuals. - """ - - - id: ir-4.8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(8)[1] - prose: - """ - defines external organizations with whom organizational incident information is - to be coordinated; - """ - - - id: ir-4.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(8)[2] - prose: - """ - defines incident information to be correlated and shared with - organization-defined external organizations; and - """ - - - id: ir-4.8_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-4(8)[3] - prose: - """ - the organization coordinates with organization-defined external organizations - to correlate and share organization-defined information to achieve a - cross-organization perspective on incident awareness and more effective - incident responses. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nlist of external organizations\n\nrecords of incident handling coordination with external organizations\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel from external organizations with whom incident response information - is to be coordinated/shared/correlated - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for coordinating incident handling information with - external organizations - """ - - - id: ir-5 - class: SP800-53 - title: Incident Monitoring - properties: - - - name: label - value: IR-5 - - - name: sort-id - value: ir-05 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-5_smt - name: statement - prose: The organization tracks and documents information system security incidents. - - - id: ir-5_gdn - name: guidance - prose: - """ - Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-5_obj.1 - name: objective - properties: - - - name: label - value: IR-5[1] - prose: tracks information system security incidents; and - - - id: ir-5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-5[2] - prose: documents information system security incidents. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of - system security incidents - """ - controls: - - - id: ir-5.1 - class: SP800-53-enhancement - title: Automated Tracking / Data Collection / Analysis - properties: - - - name: label - value: IR-5(1) - - - name: sort-id - value: ir-05.01 - parts: - - - id: ir-5.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to assist in the tracking of - security incidents and in the collection and analysis of incident information. - """ - - - id: ir-5.1_gdn - name: guidance - prose: - """ - Automated mechanisms for tracking security incidents and collecting/analyzing - incident information include, for example, the Einstein network monitoring device - and monitoring online Computer Incident Response Centers (CIRCs) or other - electronic databases of incidents. - """ - links: - - - href: #au-7 - rel: related - text: AU-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - id: ir-5.1_obj - name: objective - prose: Determine if the organization employs automated mechanisms to assist in: - parts: - - - id: ir-5.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-5(1)[1] - prose: the tracking of security incidents; - - - id: ir-5.1_obj.2 - name: objective - properties: - - - name: label - value: IR-5(1)[2] - prose: the collection of incident information; and - - - id: ir-5.1_obj.3 - name: objective - properties: - - - name: label - value: IR-5(1)[3] - prose: the analysis of incident information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident monitoring\n\nautomated mechanisms supporting incident monitoring\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response plan\n\nsecurity plan\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms assisting in tracking of security incidents and in the - collection and analysis of incident information - """ - - - id: ir-6 - class: SP800-53 - title: Incident Reporting - parameters: - - - id: ir-6_prm_1 - label: organization-defined time period - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - id: ir-6_prm_2 - label: organization-defined authorities - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-6 - - - name: sort-id - value: ir-06 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #02631467-668b-4233-989b-3dfded2fd184 - rel: reference - text: http://www.us-cert.gov - parts: - - - id: ir-6_smt - name: statement - prose: The organization: - parts: - - - id: ir-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires personnel to report suspected security incidents to the organizational - incident response capability within {{ ir-6_prm_1 }}; and - """ - - - id: ir-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports security incident information to {{ ir-6_prm_2 }}. - - - id: ir-6_fr - name: item - title: IR-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Report security incident information according to FedRAMP Incident Communications Procedure. - - - id: ir-6_gdn - name: guidance - prose: - """ - The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-6.a_obj - name: objective - properties: - - - name: label - value: IR-6(a) - parts: - - - id: ir-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-6(a)[1] - prose: - """ - defines the time period within which personnel report suspected security - incidents to the organizational incident response capability; - """ - - - id: ir-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-6(a)[2] - prose: - """ - requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period; - """ - - - id: ir-6.b_obj - name: objective - properties: - - - name: label - value: IR-6(b) - parts: - - - id: ir-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-6(b)[1] - prose: - """ - defines authorities to whom security incident information is to be reported; - and - """ - - - id: ir-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-6(b)[2] - prose: reports security incident information to organization-defined authorities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident reporting\n\nincident reporting records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel who have/should have reported incidents\n\npersonnel (authorities) to whom incident information is to be reported - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing incident reporting - controls: - - - id: ir-6.1 - class: SP800-53-enhancement - title: Automated Reporting - properties: - - - name: label - value: IR-6(1) - - - name: sort-id - value: ir-06.01 - parts: - - - id: ir-6.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to assist in the reporting of - security incidents. - """ - - - id: ir-6.1_gdn - name: guidance - links: - - - href: #ir-7 - rel: related - text: IR-7 - - - id: ir-6.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to assist in the - reporting of security incidents. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident reporting\n\nautomated mechanisms supporting incident reporting\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing reporting of security - incidents - """ - - - id: ir-7 - class: SP800-53 - title: Incident Response Assistance - properties: - - - name: label - value: IR-7 - - - name: sort-id - value: ir-07 - parts: - - - id: ir-7_smt - name: statement - prose: - """ - The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents. - """ - - - id: ir-7_gdn - name: guidance - prose: - """ - Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ir-7_obj - name: objective - prose: Determine if the organization provides an incident response support resource: - parts: - - - id: ir-7_obj.1 - name: objective - properties: - - - name: label - value: IR-7[1] - prose: that is integral to the organizational incident response capability; and - - - id: ir-7_obj.2 - name: objective - properties: - - - name: label - value: IR-7[2] - prose: - """ - that offers advice and assistance to users of the information system for the - handling and reporting of security incidents. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response assistance and support - responsibilities\n\norganizational personnel with access to incident response support and assistance - capability\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing incident response - assistance - """ - controls: - - - id: ir-7.1 - class: SP800-53-enhancement - title: Automation Support for Availability of Information / Support - properties: - - - name: label - value: IR-7(1) - - - name: sort-id - value: ir-07.01 - parts: - - - id: ir-7.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to increase the availability of - incident response-related information and support. - """ - - - id: ir-7.1_gdn - name: guidance - prose: - """ - Automated mechanisms can provide a push and/or pull capability for users to obtain - incident response assistance. For example, individuals might have access to a - website to query the assistance capability, or conversely, the assistance - capability may have the ability to proactively send information to users (general - distribution or targeted) as part of increasing understanding of current response - capabilities and support. - """ - - - id: ir-7.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to increase the - availability of incident response-related information and support. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nautomated mechanisms supporting incident response support and assistance\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response support and assistance - responsibilities\n\norganizational personnel with access to incident response support and - assistance capability\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing an increase in the - availability of incident response information and support - """ - - - id: ir-7.2 - class: SP800-53-enhancement - title: Coordination with External Providers - properties: - - - name: label - value: IR-7(2) - - - name: sort-id - value: ir-07.02 - parts: - - - id: ir-7.2_smt - name: statement - prose: The organization: - parts: - - - id: ir-7.2_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and - """ - - - id: ir-7.2_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Identifies organizational incident response team members to the external - providers. - """ - - - id: ir-7.2_gdn - name: guidance - prose: - """ - External providers of information system protection capability include, for - example, the Computer Network Defense program within the U.S. Department of - Defense. External providers help to protect, monitor, analyze, detect, and respond - to unauthorized activity within organizational information systems and - networks. - """ - - - id: ir-7.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-7.2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-7(2)(a) - prose: - """ - establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and - """ - links: - - - href: #ir-7.2_smt.a - rel: corresp - text: IR-7(2)(a) - - - id: ir-7.2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-7(2)(b) - prose: - """ - identifies organizational incident response team members to the external - providers. - """ - links: - - - href: #ir-7.2_smt.b - rel: corresp - text: IR-7(2)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response support and assistance - responsibilities\n\nexternal providers of information system protection capability\n\norganizational personnel with information security responsibilities - """ - - - id: ir-8 - class: SP800-53 - title: Incident Response Plan - parameters: - - - id: ir-8_prm_1 - label: organization-defined personnel or roles - - - id: ir-8_prm_2 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - - - id: ir-8_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ir-8_prm_4 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-8 - - - name: sort-id - value: ir-08 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-8_smt - name: statement - prose: The organization: - parts: - - - id: ir-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops an incident response plan that: - parts: - - - id: ir-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Describes the structure and organization of the incident response - capability; - """ - - - id: ir-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions; - """ - - - id: ir-8_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: Defines reportable incidents; - - - id: ir-8_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: - """ - Provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: - """ - Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and - """ - - - id: ir-8_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: Is reviewed and approved by {{ ir-8_prm_1 }}; - - - id: ir-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the incident response plan to {{ ir-8_prm_2 }}; - - - id: ir-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the incident response plan {{ ir-8_prm_3 }}; - - - id: ir-8_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing; - """ - - - id: ir-8_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Communicates incident response plan changes to {{ ir-8_prm_4 }}; - and - """ - - - id: ir-8_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Protects the incident response plan from unauthorized disclosure and - modification. - """ - - - id: ir-8_fr - name: item - title: IR-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-8_fr_smt.b - name: item - properties: - - - name: label - value: (b) Requirement: - prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - - - id: ir-8_fr_smt.e - name: item - properties: - - - name: label - value: (e) Requirement: - prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - - - id: ir-8_gdn - name: guidance - prose: - """ - It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems. - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - id: ir-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-8.a_obj - name: objective - properties: - - - name: label - value: IR-8(a) - prose: develops an incident response plan that: - parts: - - - id: ir-8.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(1) - prose: - """ - provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(2) - prose: - """ - describes the structure and organization of the incident response - capability; - """ - - - id: ir-8.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(3) - prose: - """ - provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(4) - prose: meets the unique requirements of the organization, which relate to: - parts: - - - id: ir-8.a.4_obj.1 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[1] - prose: mission; - - - id: ir-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[2] - prose: size; - - - id: ir-8.a.4_obj.3 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[3] - prose: structure; - - - id: ir-8.a.4_obj.4 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[4] - prose: functions; - - - id: ir-8.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(5) - prose: defines reportable incidents; - - - id: ir-8.a.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(a)(6) - prose: - """ - provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8.a.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(7) - prose: - """ - defines the resources and management support needed to effectively maintain and - mature an incident response capability; - """ - - - id: ir-8.a.8_obj - name: objective - properties: - - - name: label - value: IR-8(a)(8) - parts: - - - id: ir-8.a.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(8)[1] - prose: - """ - defines personnel or roles to review and approve the incident response - plan; - """ - - - id: ir-8.a.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-8(a)(8)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: ir-8.b_obj - name: objective - properties: - - - name: label - value: IR-8(b) - parts: - - - id: ir-8.b_obj.1 - name: objective - properties: - - - name: label - value: IR-8(b)[1] - parts: - - - id: ir-8.b_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(b)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed; - """ - - - id: ir-8.b_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(b)[1][b] - prose: - """ - defines organizational elements to whom copies of the incident response plan - are to be distributed; - """ - - - id: ir-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(b)[2] - prose: - """ - distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements; - """ - - - id: ir-8.c_obj - name: objective - properties: - - - name: label - value: IR-8(c) - parts: - - - id: ir-8.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(c)[1] - prose: defines the frequency to review the incident response plan; - - - id: ir-8.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-8(c)[2] - prose: reviews the incident response plan with the organization-defined frequency; - - - id: ir-8.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(d) - prose: - """ - updates the incident response plan to address system/organizational changes or - problems encountered during plan: - """ - parts: - - - id: ir-8.d_obj.1 - name: objective - properties: - - - name: label - value: IR-8(d)[1] - prose: implementation; - - - id: ir-8.d_obj.2 - name: objective - properties: - - - name: label - value: IR-8(d)[2] - prose: execution; or - - - id: ir-8.d_obj.3 - name: objective - properties: - - - name: label - value: IR-8(d)[3] - prose: testing; - - - id: ir-8.e_obj - name: objective - properties: - - - name: label - value: IR-8(e) - parts: - - - id: ir-8.e_obj.1 - name: objective - properties: - - - name: label - value: IR-8(e)[1] - parts: - - - id: ir-8.e_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(e)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated; - """ - - - id: ir-8.e_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(e)[1][b] - prose: - """ - defines organizational elements to whom incident response plan changes are - to be communicated; - """ - - - id: ir-8.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(e)[2] - prose: - """ - communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and - """ - - - id: ir-8.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(f) - prose: - """ - protects the incident response plan from unauthorized disclosure and - modification. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational incident response plan and related organizational processes - - - id: ir-9 - class: SP800-53 - title: Information Spillage Response - parameters: - - - id: ir-9_prm_1 - label: organization-defined personnel or roles - - - id: ir-9_prm_2 - label: organization-defined actions - properties: - - - name: label - value: IR-9 - - - name: sort-id - value: ir-09 - parts: - - - id: ir-9_smt - name: statement - prose: The organization responds to information spills by: - parts: - - - id: ir-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifying the specific information involved in the information system - contamination; - """ - - - id: ir-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Alerting {{ ir-9_prm_1 }} of the information spill using a method - of communication not associated with the spill; - """ - - - id: ir-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: Isolating the contaminated information system or system component; - - - id: ir-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Eradicating the information from the contaminated information system or - component; - """ - - - id: ir-9_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Identifying other information systems or system components that may have been - subsequently contaminated; and - """ - - - id: ir-9_smt.f - name: item - properties: - - - name: label - value: f. - prose: Performing other {{ ir-9_prm_2 }}. - - - id: ir-9_gdn - name: guidance - prose: - """ - Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated. - """ - - - id: ir-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(a) - prose: - """ - responds to information spills by identifying the specific information causing the - information system contamination; - """ - - - id: ir-9.b_obj - name: objective - properties: - - - name: label - value: IR-9(b) - parts: - - - id: ir-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(b)[1] - prose: defines personnel to be alerted of the information spillage; - - - id: ir-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-9(b)[2] - prose: - """ - identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill; - """ - - - id: ir-9.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(b)[3] - prose: - """ - responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill; - """ - - - id: ir-9.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(c) - prose: - """ - responds to information spills by isolating the contaminated information - system; - """ - - - id: ir-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(d) - prose: - """ - responds to information spills by eradicating the information from the - contaminated information system; - """ - - - id: ir-9.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(e) - prose: - """ - responds to information spills by identifying other information systems that may - have been subsequently contaminated; - """ - - - id: ir-9.f_obj - name: objective - properties: - - - name: label - value: IR-9(f) - parts: - - - id: ir-9.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(f)[1] - prose: - """ - defines other actions to be performed in response to information spills; - and - """ - - - id: ir-9.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(f)[2] - prose: - """ - responds to information spills by performing other organization-defined - actions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nrecords of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage\n\nlist of actions to be performed regarding information spillage\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information spillage response\n\nautomated mechanisms supporting and/or implementing information spillage response - actions and related communications - """ - controls: - - - id: ir-9.1 - class: SP800-53-enhancement - title: Responsible Personnel - parameters: - - - id: ir-9.1_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: IR-9(1) - - - name: sort-id - value: ir-09.01 - parts: - - - id: ir-9.1_smt - name: statement - prose: - """ - The organization assigns {{ ir-9.1_prm_1 }} with responsibility for - responding to information spills. - """ - - - id: ir-9.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(1)[1] - prose: - """ - defines personnel with responsibility for responding to information spills; - and - """ - - - id: ir-9.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-9(1)[2] - prose: - """ - assigns organization-defined personnel with responsibility for responding to - information spills. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nlist of personnel responsible for responding to information spillage\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-9.2 - class: SP800-53-enhancement - title: Training - parameters: - - - id: ir-9.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-9(2) - - - name: sort-id - value: ir-09.02 - parts: - - - id: ir-9.2_smt - name: statement - prose: The organization provides information spillage response training {{ ir-9.2_prm_1 }}. - - - id: ir-9.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(2)[1] - prose: - """ - defines the frequency to provide information spillage response training; - and - """ - - - id: ir-9.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-9(2)[2] - prose: - """ - provides information spillage response training with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing information spillage response training\n\ninformation spillage response training curriculum\n\ninformation spillage response training materials\n\nincident response plan\n\ninformation spillage response training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response training responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-9.3 - class: SP800-53-enhancement - title: Post-spill Operations - parameters: - - - id: ir-9.3_prm_1 - label: organization-defined procedures - properties: - - - name: label - value: IR-9(3) - - - name: sort-id - value: ir-09.03 - parts: - - - id: ir-9.3_smt - name: statement - prose: - """ - The organization implements {{ ir-9.3_prm_1 }} to ensure that - organizational personnel impacted by information spills can continue to carry out - assigned tasks while contaminated systems are undergoing corrective actions. - """ - - - id: ir-9.3_gdn - name: guidance - prose: - """ - Correction actions for information systems contaminated due to information - spillages may be very time-consuming. During those periods, personnel may not have - access to the contaminated systems, which may potentially affect their ability to - conduct organizational business. - """ - - - id: ir-9.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(3)[1] - prose: - """ - defines procedures that ensure organizational personnel impacted by information - spills can continue to carry out assigned tasks while contaminated systems are - undergoing corrective actions; and - """ - - - id: ir-9.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(3)[2] - prose: - """ - implements organization-defined procedures to ensure that organizational - personnel impacted by information spills can continue to carry out assigned - tasks while contaminated systems are undergoing corrective actions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing information spillage\n\nincident response plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for post-spill operations - - - id: ir-9.4 - class: SP800-53-enhancement - title: Exposure to Unauthorized Personnel - parameters: - - - id: ir-9.4_prm_1 - label: organization-defined security safeguards - properties: - - - name: label - value: IR-9(4) - - - name: sort-id - value: ir-09.04 - parts: - - - id: ir-9.4_smt - name: statement - prose: - """ - The organization employs {{ ir-9.4_prm_1 }} for personnel exposed - to information not within assigned access authorizations. - """ - - - id: ir-9.4_gdn - name: guidance - prose: - """ - Security safeguards include, for example, making personnel exposed to spilled - information aware of the federal laws, directives, policies, and/or regulations - regarding the information and the restrictions imposed based on exposure to such - information. - """ - - - id: ir-9.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(4)[1] - prose: - """ - defines security safeguards to be employed for personnel exposed to information - not within assigned access authorizations; and - """ - - - id: ir-9.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(4)[2] - prose: - """ - employs organization-defined security safeguards for personnel exposed to - information not within assigned access authorizations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing information spillage\n\nincident response plan\n\nsecurity safeguards regarding information spillage/exposure to unauthorized - personnel\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for dealing with information exposed to unauthorized - personnel\n\nautomated mechanisms supporting and/or implementing safeguards for personnel - exposed to information not within assigned access authorizations - """ - - - id: ma - class: family - title: Maintenance - controls: - - - id: ma-1 - class: SP800-53 - title: System Maintenance Policy and Procedures - parameters: - - - id: ma-1_prm_1 - label: organization-defined personnel or roles - - - id: ma-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ma-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MA-1 - - - name: sort-id - value: ma-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ma-1_smt - name: statement - prose: The organization: - parts: - - - id: ma-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ma-1_prm_1 }}: - parts: - - - id: ma-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ma-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and - """ - - - id: ma-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ma-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System maintenance policy {{ ma-1_prm_2 }}; and - - - id: ma-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System maintenance procedures {{ ma-1_prm_3 }}. - - - id: ma-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ma-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-1.a_obj - name: objective - properties: - - - name: label - value: MA-1(a) - parts: - - - id: ma-1.a.1_obj - name: objective - properties: - - - name: label - value: MA-1(a)(1) - parts: - - - id: ma-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(1)[1] - prose: develops and documents a system maintenance policy that addresses: - parts: - - - id: ma-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][a] - prose: purpose; - - - id: ma-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][b] - prose: scope; - - - id: ma-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][c] - prose: roles; - - - id: ma-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ma-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][e] - prose: management commitment; - - - id: ma-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ma-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][g] - prose: compliance; - - - id: ma-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system maintenance policy is to be - disseminated; - """ - - - id: ma-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-1(a)(1)[3] - prose: - """ - disseminates the system maintenance policy to organization-defined personnel - or roles; - """ - - - id: ma-1.a.2_obj - name: objective - properties: - - - name: label - value: MA-1(a)(2) - parts: - - - id: ma-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls; - """ - - - id: ma-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ma-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ma-1.b_obj - name: objective - properties: - - - name: label - value: MA-1(b) - parts: - - - id: ma-1.b.1_obj - name: objective - properties: - - - name: label - value: MA-1(b)(1) - parts: - - - id: ma-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - policy; - """ - - - id: ma-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(1)[2] - prose: - """ - reviews and updates the current system maintenance policy with the - organization-defined frequency; - """ - - - id: ma-1.b.2_obj - name: objective - properties: - - - name: label - value: MA-1(b)(2) - parts: - - - id: ma-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - procedures; and - """ - - - id: ma-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(2)[2] - prose: - """ - reviews and updates the current system maintenance procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Maintenance policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - id: ma-2 - class: SP800-53 - title: Controlled Maintenance - parameters: - - - id: ma-2_prm_1 - label: organization-defined personnel or roles - - - id: ma-2_prm_2 - label: organization-defined maintenance-related information - properties: - - - name: label - value: MA-2 - - - name: sort-id - value: ma-02 - parts: - - - id: ma-2_smt - name: statement - prose: The organization: - parts: - - - id: ma-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements; - """ - - - id: ma-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location; - """ - - - id: ma-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Requires that {{ ma-2_prm_1 }} explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and - """ - - - id: ma-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Includes {{ ma-2_prm_2 }} in organizational maintenance - records. - """ - - - id: ma-2_gdn - name: guidance - prose: - """ - This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ma-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-2.a_obj - name: objective - properties: - - - name: label - value: MA-2(a) - parts: - - - id: ma-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(a)[1] - prose: - """ - schedules maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.1.a - name: objective - properties: - - - name: label - value: MA-2(a)[1][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.1.b - name: objective - properties: - - - name: label - value: MA-2(a)[1][b] - prose: organizational requirements; - - - id: ma-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(a)[2] - prose: - """ - performs maintenance and repairs on information system components in accordance - with: - """ - parts: - - - id: ma-2.a_obj.2.a - name: objective - properties: - - - name: label - value: MA-2(a)[2][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.2.b - name: objective - properties: - - - name: label - value: MA-2(a)[2][b] - prose: organizational requirements; - - - id: ma-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(a)[3] - prose: - """ - documents maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.3.a - name: objective - properties: - - - name: label - value: MA-2(a)[3][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.3.b - name: objective - properties: - - - name: label - value: MA-2(a)[3][b] - prose: organizational requirements; - - - id: ma-2.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(a)[4] - prose: - """ - reviews records of maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.4.a - name: objective - properties: - - - name: label - value: MA-2(a)[4][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.4.b - name: objective - properties: - - - name: label - value: MA-2(a)[4][b] - prose: organizational requirements; - - - id: ma-2.b_obj - name: objective - properties: - - - name: label - value: MA-2(b) - parts: - - - id: ma-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(b)[1] - prose: - """ - approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(b)[2] - prose: - """ - monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.c_obj - name: objective - properties: - - - name: label - value: MA-2(c) - parts: - - - id: ma-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(c)[1] - prose: - """ - defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(c)[2] - prose: - """ - requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs; - """ - - - id: ma-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(d) - prose: - """ - sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(e) - prose: - """ - checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; - """ - - - id: ma-2.f_obj - name: objective - properties: - - - name: label - value: MA-2(f) - parts: - - - id: ma-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(f)[1] - prose: - """ - defines maintenance-related information to be included in organizational - maintenance records; and - """ - - - id: ma-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(f)[2] - prose: - """ - includes organization-defined maintenance-related information in organizational - maintenance records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing controlled information system maintenance\n\nmaintenance records\n\nmanufacturer/vendor maintenance specifications\n\nequipment sanitization records\n\nmedia sanitization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system\n\norganizational processes for sanitizing information system components\n\nautomated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms implementing sanitization of information system - components - """ - controls: - - - id: ma-2.2 - class: SP800-53-enhancement - title: Automated Maintenance Activities - properties: - - - name: label - value: MA-2(2) - - - name: sort-id - value: ma-02.02 - parts: - - - id: ma-2.2_smt - name: statement - prose: The organization: - parts: - - - id: ma-2.2_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Employs automated mechanisms to schedule, conduct, and document maintenance and - repairs; and - """ - - - id: ma-2.2_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Produces up-to date, accurate, and complete records of all maintenance and - repair actions requested, scheduled, in process, and completed. - """ - - - id: ma-2.2_gdn - name: guidance - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ma-3 - rel: related - text: MA-3 - - - id: ma-2.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-2.2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(2)(a) - prose: employs automated mechanisms to: - parts: - - - id: ma-2.2.a_obj.1 - name: objective - properties: - - - name: label - value: MA-2(2)(a)[1] - prose: schedule maintenance and repairs; - - - id: ma-2.2.a_obj.2 - name: objective - properties: - - - name: label - value: MA-2(2)(a)[2] - prose: conduct maintenance and repairs; - - - id: ma-2.2.a_obj.3 - name: objective - properties: - - - name: label - value: MA-2(2)(a)[3] - prose: document maintenance and repairs; - links: - - - href: #ma-2.2_smt.a - rel: corresp - text: MA-2(2)(a) - - - id: ma-2.2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(2)(b) - prose: - """ - produces up-to-date, accurate, and complete records of all maintenance and - repair actions: - """ - parts: - - - id: ma-2.2.b_obj.1 - name: objective - properties: - - - name: label - value: MA-2(2)(b)[1] - prose: requested; - - - id: ma-2.2.b_obj.2 - name: objective - properties: - - - name: label - value: MA-2(2)(b)[2] - prose: scheduled; - - - id: ma-2.2.b_obj.3 - name: objective - properties: - - - name: label - value: MA-2(2)(b)[3] - prose: in process; and - - - id: ma-2.2.b_obj.4 - name: objective - properties: - - - name: label - value: MA-2(2)(b)[4] - prose: completed. - links: - - - href: #ma-2.2_smt.b - rel: corresp - text: MA-2(2)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing controlled information system maintenance\n\nautomated mechanisms supporting information system maintenance activities\n\ninformation system configuration settings and associated documentation\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms supporting and/or implementing production of records of - maintenance and repair actions - """ - - - id: ma-3 - class: SP800-53 - title: Maintenance Tools - properties: - - - name: label - value: MA-3 - - - name: sort-id - value: ma-03 - links: - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - parts: - - - id: ma-3_smt - name: statement - prose: - """ - The organization approves, controls, and monitors information system maintenance - tools. - """ - - - id: ma-3_gdn - name: guidance - prose: - """ - This control addresses security-related issues associated with maintenance tools used - specifically for diagnostic and repair actions on organizational information systems. - Maintenance tools can include hardware, software, and firmware items. Maintenance - tools are potential vehicles for transporting malicious code, either intentionally or - unintentionally, into a facility and subsequently into organizational information - systems. Maintenance tools can include, for example, hardware/software diagnostic - test equipment and hardware/software packet sniffers. This control does not cover - hardware/software components that may support information system maintenance, yet are - a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, - or the hardware and software implementing the monitoring port of an Ethernet - switch. - """ - links: - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: ma-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-3_obj.1 - name: objective - properties: - - - name: label - value: MA-3[1] - prose: approves information system maintenance tools; - - - id: ma-3_obj.2 - name: objective - properties: - - - name: label - value: MA-3[2] - prose: controls information system maintenance tools; and - - - id: ma-3_obj.3 - name: objective - properties: - - - name: label - value: MA-3[3] - prose: monitors information system maintenance tools. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for approving, controlling, and monitoring maintenance - tools\n\nautomated mechanisms supporting and/or implementing approval, control, and/or - monitoring of maintenance tools - """ - controls: - - - id: ma-3.1 - class: SP800-53-enhancement - title: Inspect Tools - properties: - - - name: label - value: MA-3(1) - - - name: sort-id - value: ma-03.01 - parts: - - - id: ma-3.1_smt - name: statement - prose: - """ - The organization inspects the maintenance tools carried into a facility by - maintenance personnel for improper or unauthorized modifications. - """ - - - id: ma-3.1_gdn - name: guidance - prose: - """ - If, upon inspection of maintenance tools, organizations determine that the tools - have been modified in an improper/unauthorized manner or contain malicious code, - the incident is handled consistent with organizational policies and procedures for - incident handling. - """ - links: - - - href: #si-7 - rel: related - text: SI-7 - - - id: ma-3.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization inspects the maintenance tools carried into a - facility by maintenance personnel for improper or unauthorized modifications. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance tool inspection records\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for inspecting maintenance tools\n\nautomated mechanisms supporting and/or implementing inspection of maintenance - tools - """ - - - id: ma-3.2 - class: SP800-53-enhancement - title: Inspect Media - properties: - - - name: label - value: MA-3(2) - - - name: sort-id - value: ma-03.02 - parts: - - - id: ma-3.2_smt - name: statement - prose: - """ - The organization checks media containing diagnostic and test programs for - malicious code before the media are used in the information system. - """ - - - id: ma-3.2_gdn - name: guidance - prose: - """ - If, upon inspection of media containing maintenance diagnostic and test programs, - organizations determine that the media contain malicious code, the incident is - handled consistent with organizational incident handling policies and - procedures. - """ - links: - - - href: #si-3 - rel: related - text: SI-3 - - - id: ma-3.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization checks media containing diagnostic and test programs - for malicious code before the media are used in the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for inspecting media for malicious code\n\nautomated mechanisms supporting and/or implementing inspection of media used - for maintenance - """ - - - id: ma-3.3 - class: SP800-53-enhancement - title: Prevent Unauthorized Removal - parameters: - - - id: ma-3.3_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: the information owner explicitly authorizing removal of the equipment from the facility - properties: - - - name: label - value: MA-3(3) - - - name: sort-id - value: ma-03.03 - parts: - - - id: ma-3.3_smt - name: statement - prose: - """ - The organization prevents the unauthorized removal of maintenance equipment - containing organizational information by: - """ - parts: - - - id: ma-3.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Verifying that there is no organizational information contained on the - equipment; - """ - - - id: ma-3.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Sanitizing or destroying the equipment; - - - id: ma-3.3_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Retaining the equipment within the facility; or - - - id: ma-3.3_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Obtaining an exemption from {{ ma-3.3_prm_1 }} explicitly - authorizing removal of the equipment from the facility. - """ - - - id: ma-3.3_gdn - name: guidance - prose: - """ - Organizational information includes all information specifically owned by - organizations and information provided to organizations in which organizations - serve as information stewards. - """ - - - id: ma-3.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization prevents the unauthorized removal of maintenance - equipment containing organizational information by: - """ - parts: - - - id: ma-3.3.a_obj - name: objective - properties: - - - name: label - value: MA-3(3)(a) - prose: - """ - verifying that there is no organizational information contained on the - equipment; - """ - links: - - - href: #ma-3.3_smt.a - rel: corresp - text: MA-3(3)(a) - - - id: ma-3.3.b_obj - name: objective - properties: - - - name: label - value: MA-3(3)(b) - prose: sanitizing or destroying the equipment; - links: - - - href: #ma-3.3_smt.b - rel: corresp - text: MA-3(3)(b) - - - id: ma-3.3.c_obj - name: objective - properties: - - - name: label - value: MA-3(3)(c) - prose: retaining the equipment within the facility; or - links: - - - href: #ma-3.3_smt.c - rel: corresp - text: MA-3(3)(c) - - - id: ma-3.3.d_obj - name: objective - properties: - - - name: label - value: MA-3(3)(d) - parts: - - - id: ma-3.3.d_obj.1 - name: objective - properties: - - - name: label - value: MA-3(3)(d)[1] - prose: - """ - defining personnel or roles that can grant an exemption from explicitly - authorizing removal of the equipment from the facility; and - """ - - - id: ma-3.3.d_obj.2 - name: objective - properties: - - - name: label - value: MA-3(3)(d)[2] - prose: - """ - obtaining an exemption from organization-defined personnel or roles - explicitly authorizing removal of the equipment from the facility. - """ - links: - - - href: #ma-3.3_smt.d - rel: corresp - text: MA-3(3)(d) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance records\n\nequipment sanitization records\n\nmedia sanitization records\n\nexemptions for equipment removal\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for preventing unauthorized removal of information\n\nautomated mechanisms supporting media sanitization or destruction of - equipment\n\nautomated mechanisms supporting verification of media sanitization - """ - - - id: ma-4 - class: SP800-53 - title: Nonlocal Maintenance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MA-4 - - - name: sort-id - value: ma-04 - links: - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #f2dbd4ec-c413-4714-b85b-6b7184d1c195 - rel: reference - text: FIPS Publication 197 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a4aa9645-9a8a-4b51-90a9-e223250f9a75 - rel: reference - text: CNSS Policy 15 - parts: - - - id: ma-4_smt - name: statement - prose: The organization: - parts: - - - id: ma-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Approves and monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system; - """ - - - id: ma-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Maintains records for nonlocal maintenance and diagnostic activities; and - - - id: ma-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Terminates session and network connections when nonlocal maintenance is - completed. - """ - - - id: ma-4_gdn - name: guidance - prose: - """ - Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: ma-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-4.a_obj - name: objective - properties: - - - name: label - value: MA-4(a) - parts: - - - id: ma-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(a)[1] - prose: approves nonlocal maintenance and diagnostic activities; - - - id: ma-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(a)[2] - prose: monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(b) - prose: allows the use of nonlocal maintenance and diagnostic tools only: - parts: - - - id: ma-4.b_obj.1 - name: objective - properties: - - - name: label - value: MA-4(b)[1] - prose: as consistent with organizational policy; - - - id: ma-4.b_obj.2 - name: objective - properties: - - - name: label - value: MA-4(b)[2] - prose: as documented in the security plan for the information system; - - - id: ma-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(c) - prose: - """ - employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(d) - prose: maintains records for nonlocal maintenance and diagnostic activities; - - - id: ma-4.e_obj - name: objective - properties: - - - name: label - value: MA-4(e) - parts: - - - id: ma-4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(e)[1] - prose: - """ - terminates sessions when nonlocal maintenance or diagnostics is completed; - and - """ - - - id: ma-4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(e)[2] - prose: - """ - terminates network connections when nonlocal maintenance or diagnostics is - completed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing nonlocal information system maintenance\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing nonlocal maintenance\n\nautomated mechanisms implementing, supporting, and/or managing nonlocal - maintenance\n\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions\n\nautomated mechanisms for terminating nonlocal maintenance sessions and network - connections - """ - controls: - - - id: ma-4.2 - class: SP800-53-enhancement - title: Document Nonlocal Maintenance - properties: - - - name: label - value: MA-4(2) - - - name: sort-id - value: ma-04.02 - parts: - - - id: ma-4.2_smt - name: statement - prose: - """ - The organization documents in the security plan for the information system, the - policies and procedures for the establishment and use of nonlocal maintenance and - diagnostic connections. - """ - - - id: ma-4.2_obj - name: objective - prose: - """ - Determine if the organization documents in the security plan for the information - system: - """ - parts: - - - id: ma-4.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-4(2)[1] - prose: - """ - the policies for the establishment and use of nonlocal maintenance and - diagnostic connections; and - """ - - - id: ma-4.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-4(2)[2] - prose: - """ - the procedures for the establishment and use of nonlocal maintenance and - diagnostic connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing non-local information system maintenance\n\nsecurity plan\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ma-4.3 - class: SP800-53-enhancement - title: Comparable Security / Sanitization - properties: - - - name: label - value: MA-4(3) - - - name: sort-id - value: ma-04.03 - parts: - - - id: ma-4.3_smt - name: statement - prose: The organization: - parts: - - - id: ma-4.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Requires that nonlocal maintenance and diagnostic services be performed from an - information system that implements a security capability comparable to the - capability implemented on the system being serviced; or - """ - - - id: ma-4.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Removes the component to be serviced from the information system prior to - nonlocal maintenance or diagnostic services, sanitizes the component (with - regard to organizational information) before removal from organizational - facilities, and after the service is performed, inspects and sanitizes the - component (with regard to potentially malicious software) before reconnecting - the component to the information system. - """ - - - id: ma-4.3_gdn - name: guidance - prose: - """ - Comparable security capability on information systems, diagnostic tools, and - equipment providing maintenance services implies that the implemented security - controls on those systems, tools, and equipment are at least as comprehensive as - the controls on the information system being serviced. - """ - links: - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ma-4.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-4.3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(3)(a) - prose: - """ - requires that nonlocal maintenance and diagnostic services be performed from an - information system that implements a security capability comparable to the - capability implemented on the system being serviced; or - """ - links: - - - href: #ma-4.3_smt.a - rel: corresp - text: MA-4(3)(a) - - - id: ma-4.3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(3)(b) - parts: - - - id: ma-4.3.b_obj.1 - name: objective - properties: - - - name: label - value: MA-4(3)(b)[1] - prose: removes the component to be serviced from the information system; - - - id: ma-4.3.b_obj.2 - name: objective - properties: - - - name: label - value: MA-4(3)(b)[2] - prose: - """ - sanitizes the component (with regard to organizational information) prior to - nonlocal maintenance or diagnostic services and/or before removal from - organizational facilities; and - """ - - - id: ma-4.3.b_obj.3 - name: objective - properties: - - - name: label - value: MA-4(3)(b)[3] - prose: - """ - inspects and sanitizes the component (with regard to potentially malicious - software) after service is performed on the component and before - reconnecting the component to the information system. - """ - links: - - - href: #ma-4.3_smt.b - rel: corresp - text: MA-4(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing nonlocal information system maintenance\n\nservice provider contracts and/or service-level agreements\n\nmaintenance records\n\ninspection records\n\naudit records\n\nequipment sanitization records\n\nmedia sanitization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\ninformation system maintenance provider\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for comparable security and sanitization for nonlocal - maintenance\n\norganizational processes for removal, sanitization, and inspection of - components serviced via nonlocal maintenance\n\nautomated mechanisms supporting and/or implementing component sanitization and - inspection - """ - - - id: ma-4.6 - class: SP800-53-enhancement - title: Cryptographic Protection - properties: - - - name: label - value: MA-4(6) - - - name: sort-id - value: ma-04.06 - parts: - - - id: ma-4.6_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to protect the - integrity and confidentiality of nonlocal maintenance and diagnostic - communications. - """ - - - id: ma-4.6_gdn - name: guidance - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ma-4.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements cryptographic mechanisms to protect - the integrity and confidentiality of nonlocal maintenance and diagnostic - communications. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing non-local information system maintenance\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms protecting nonlocal maintenance activities\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\nnetwork engineers\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms protecting nonlocal maintenance and diagnostic - communications - """ - - - id: ma-5 - class: SP800-53 - title: Maintenance Personnel - properties: - - - name: label - value: MA-5 - - - name: sort-id - value: ma-05 - parts: - - - id: ma-5_smt - name: statement - prose: The organization: - parts: - - - id: ma-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel; - """ - - - id: ma-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - id: ma-5_gdn - name: guidance - prose: - """ - This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: ma-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-5.a_obj - name: objective - properties: - - - name: label - value: MA-5(a) - parts: - - - id: ma-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(a)[1] - prose: establishes a process for maintenance personnel authorization; - - - id: ma-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(a)[2] - prose: maintains a list of authorized maintenance organizations or personnel; - - - id: ma-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(b) - prose: - """ - ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(c) - prose: - """ - designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing maintenance personnel\n\nservice provider contracts\n\nservice-level agreements\n\nlist of authorized personnel\n\nmaintenance records\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for authorizing and managing maintenance personnel\n\nautomated mechanisms supporting and/or implementing authorization of maintenance - personnel - """ - controls: - - - id: ma-5.1 - class: SP800-53-enhancement - title: Individuals Without Appropriate Access - properties: - - - name: label - value: MA-5(1) - - - name: sort-id - value: ma-05.01 - parts: - - - id: ma-5.1_smt - name: statement - prose: The organization: - parts: - - - id: ma-5.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements: - """ - parts: - - - id: ma-5.1_smt.a.1 - name: item - properties: - - - name: label - value: (1) - prose: - """ - Maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who are fully cleared, have - appropriate access authorizations, and are technically qualified; - """ - - - id: ma-5.1_smt.a.2 - name: item - properties: - - - name: label - value: (2) - prose: - """ - Prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances or formal access - approvals, all volatile information storage components within the - information system are sanitized and all nonvolatile storage media are - removed or physically disconnected from the system and secured; and - """ - - - id: ma-5.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Develops and implements alternate security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system. - """ - - - id: ma-5.1_gdn - name: guidance - prose: - """ - This control enhancement denies individuals who lack appropriate security - clearances (i.e., individuals who do not possess security clearances or possess - security clearances at a lower level than required) or who are not U.S. citizens, - visual and electronic access to any classified information, Controlled - Unclassified Information (CUI), or any other sensitive information contained on - organizational information systems. Procedures for the use of maintenance - personnel can be documented in security plans for the information systems. - """ - links: - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: ma-5.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-5.1.a_obj - name: objective - properties: - - - name: label - value: MA-5(1)(a) - prose: - """ - implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements: - """ - parts: - - - id: ma-5.1.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(1)(a)(1) - prose: - """ - maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who: - """ - parts: - - - id: ma-5.1.a.1_obj.1 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(1)[1] - prose: are fully cleared; - - - id: ma-5.1.a.1_obj.2 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(1)[2] - prose: have appropriate access authorizations; - - - id: ma-5.1.a.1_obj.3 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(1)[3] - prose: are technically qualified; - links: - - - href: #ma-5.1_smt.a.1 - rel: corresp - text: MA-5(1)(a)(1) - - - id: ma-5.1.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(1)(a)(2) - prose: - """ - prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances, or formal access - approvals: - """ - parts: - - - id: ma-5.1.a.2_obj.1 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(2)[1] - prose: - """ - all volatile information storage components within the information system - are sanitized; and - """ - - - id: ma-5.1.a.2_obj.2 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(2)[2] - prose: all nonvolatile storage media are removed; or - - - id: ma-5.1.a.2_obj.3 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(2)[3] - prose: - """ - all nonvolatile storage media are physically disconnected from the system - and secured; and - """ - links: - - - href: #ma-5.1_smt.a.2 - rel: corresp - text: MA-5(1)(a)(2) - links: - - - href: #ma-5.1_smt.a - rel: corresp - text: MA-5(1)(a) - - - id: ma-5.1.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(1)(b) - prose: - """ - develops and implements alternative security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system. - """ - links: - - - href: #ma-5.1_smt.b - rel: corresp - text: MA-5(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing maintenance personnel\n\ninformation system media protection policy\n\nphysical and environmental protection policy\n\nsecurity plan\n\nlist of maintenance personnel requiring escort/supervision\n\nmaintenance records\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing maintenance personnel without appropriate - access\n\nautomated mechanisms supporting and/or implementing alternative security - safeguards\n\nautomated mechanisms supporting and/or implementing information storage - component sanitization - """ - - - id: ma-6 - class: SP800-53 - title: Timely Maintenance - parameters: - - - id: ma-6_prm_1 - label: organization-defined information system components - - - id: ma-6_prm_2 - label: organization-defined time period - properties: - - - name: label - value: MA-6 - - - name: sort-id - value: ma-06 - parts: - - - id: ma-6_smt - name: statement - prose: The organization obtains maintenance support and/or spare parts for {{ ma-6_prm_1 }} within {{ ma-6_prm_2 }} of failure. - - - id: ma-6_gdn - name: guidance - prose: - """ - Organizations specify the information system components that result in increased risk - to organizational operations and assets, individuals, other organizations, or the - Nation when the functionality provided by those components is not operational. - Organizational actions to obtain maintenance support typically include having - appropriate contracts in place. - """ - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #sa-14 - rel: related - text: SA-14 - - - href: #sa-15 - rel: related - text: SA-15 - - - id: ma-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-6_obj.1 - name: objective - properties: - - - name: label - value: MA-6[1] - prose: - """ - defines information system components for which maintenance support and/or spare - parts are to be obtained; - """ - - - id: ma-6_obj.2 - name: objective - properties: - - - name: label - value: MA-6[2] - prose: - """ - defines the time period within which maintenance support and/or spare parts are to - be obtained after a failure; - """ - - - id: ma-6_obj.3 - name: objective - properties: - - - name: label - value: MA-6[3] - parts: - - - id: ma-6_obj.3.a - name: objective - properties: - - - name: label - value: MA-6[3][a] - prose: - """ - obtains maintenance support for organization-defined information system - components within the organization-defined time period of failure; and/or - """ - - - id: ma-6_obj.3.b - name: objective - properties: - - - name: label - value: MA-6[3][b] - prose: - """ - obtains spare parts for organization-defined information system components - within the organization-defined time period of failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\ninventory and availability of spare parts\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for ensuring timely maintenance - - - id: mp - class: family - title: Media Protection - controls: - - - id: mp-1 - class: SP800-53 - title: Media Protection Policy and Procedures - parameters: - - - id: mp-1_prm_1 - label: organization-defined personnel or roles - - - id: mp-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: mp-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MP-1 - - - name: sort-id - value: mp-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: mp-1_smt - name: statement - prose: The organization: - parts: - - - id: mp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ mp-1_prm_1 }}: - parts: - - - id: mp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: mp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and - """ - - - id: mp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: mp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Media protection policy {{ mp-1_prm_2 }}; and - - - id: mp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Media protection procedures {{ mp-1_prm_3 }}. - - - id: mp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: mp-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-1.a_obj - name: objective - properties: - - - name: label - value: MP-1(a) - parts: - - - id: mp-1.a.1_obj - name: objective - properties: - - - name: label - value: MP-1(a)(1) - parts: - - - id: mp-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(1)[1] - prose: develops and documents a media protection policy that addresses: - parts: - - - id: mp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][a] - prose: purpose; - - - id: mp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][b] - prose: scope; - - - id: mp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][c] - prose: roles; - - - id: mp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][d] - prose: responsibilities; - - - id: mp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][e] - prose: management commitment; - - - id: mp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: mp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][g] - prose: compliance; - - - id: mp-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the media protection policy is to be - disseminated; - """ - - - id: mp-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MP-1(a)(1)[3] - prose: - """ - disseminates the media protection policy to organization-defined personnel - or roles; - """ - - - id: mp-1.a.2_obj - name: objective - properties: - - - name: label - value: MP-1(a)(2) - parts: - - - id: mp-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls; - """ - - - id: mp-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: mp-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MP-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: mp-1.b_obj - name: objective - properties: - - - name: label - value: MP-1(b) - parts: - - - id: mp-1.b.1_obj - name: objective - properties: - - - name: label - value: MP-1(b)(1) - parts: - - - id: mp-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current media protection - policy; - """ - - - id: mp-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(1)[2] - prose: - """ - reviews and updates the current media protection policy with the - organization-defined frequency; - """ - - - id: mp-1.b.2_obj - name: objective - properties: - - - name: label - value: MP-1(b)(2) - parts: - - - id: mp-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current media protection - procedures; and - """ - - - id: mp-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(2)[2] - prose: - """ - reviews and updates the current media protection procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Media protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media protection responsibilities\n\norganizational personnel with information security responsibilities - - - id: mp-2 - class: SP800-53 - title: Media Access - parameters: - - - id: mp-2_prm_1 - label: organization-defined types of digital and/or non-digital media - constraints: - - - detail: any digital and non-digital media deemed sensitive - - - id: mp-2_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: MP-2 - - - name: sort-id - value: mp-02 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-2_smt - name: statement - prose: The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}. - - - id: mp-2_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: mp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-2[1] - prose: defines types of digital and/or non-digital media requiring restricted access; - - - id: mp-2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-2[2] - prose: - """ - defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and - """ - - - id: mp-2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-2[3] - prose: - """ - restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media access restrictions\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmedia storage facilities\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for restricting information media\n\nautomated mechanisms supporting and/or implementing media access restrictions - - - id: mp-3 - class: SP800-53 - title: Media Marking - parameters: - - - id: mp-3_prm_1 - label: organization-defined types of information system media - constraints: - - - detail: no removable media types - - - id: mp-3_prm_2 - label: organization-defined controlled areas - constraints: - - - detail: organization-defined security safeguards not applicable - properties: - - - name: label - value: MP-3 - - - name: sort-id - value: mp-03 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - parts: - - - id: mp-3_smt - name: statement - prose: The organization: - parts: - - - id: mp-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Marks information system media indicating the distribution limitations, handling - caveats, and applicable security markings (if any) of the information; and - """ - - - id: mp-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Exempts {{ mp-3_prm_1 }} from marking as long as the media remain - within {{ mp-3_prm_2 }}. - """ - - - id: mp-3_fr - name: item - title: MP-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-3_fr_gdn.b - name: guidance - properties: - - - name: label - value: (b) Guidance: - prose: Second parameter not-applicable - - - id: mp-3_gdn - name: guidance - prose: - """ - The term security marking refers to the application/use of human-readable security - attributes. The term security labeling refers to the application/use of security - attributes with regard to internal data structures within information systems (see - AC-16). Information system media includes both digital and non-digital media. Digital - media includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Security marking is generally not - required for media containing information determined by organizations to be in the - public domain or to be publicly releasable. However, some organizations may require - markings for public information indicating that the information is publicly - releasable. Marking of information system media reflects applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and guidance. - """ - links: - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: mp-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-3(a) - prose: marks information system media indicating the: - parts: - - - id: mp-3.a_obj.1 - name: objective - properties: - - - name: label - value: MP-3(a)[1] - prose: distribution limitations of the information; - - - id: mp-3.a_obj.2 - name: objective - properties: - - - name: label - value: MP-3(a)[2] - prose: handling caveats of the information; - - - id: mp-3.a_obj.3 - name: objective - properties: - - - name: label - value: MP-3(a)[3] - prose: applicable security markings (if any) of the information; - - - id: mp-3.b_obj - name: objective - properties: - - - name: label - value: MP-3(b) - parts: - - - id: mp-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-3(b)[1] - prose: - """ - defines types of information system media to be exempted from marking as long - as the media remain in designated controlled areas; - """ - - - id: mp-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-3(b)[2] - prose: - """ - defines controlled areas where organization-defined types of information system - media exempt from marking are to be retained; and - """ - - - id: mp-3.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-3(b)[3] - prose: - """ - exempts organization-defined types of information system media from marking as - long as the media remain within organization-defined controlled areas. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media marking\n\nphysical and environmental protection policy and procedures\n\nsecurity plan\n\nlist of information system media marking security attributes\n\ndesignated controlled areas\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection and marking - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for marking information media\n\nautomated mechanisms supporting and/or implementing media marking - - - id: mp-4 - class: SP800-53 - title: Media Storage - parameters: - - - id: mp-4_prm_1 - label: organization-defined types of digital and/or non-digital media - constraints: - - - detail: all types of digital and non-digital media with sensitive information - - - id: mp-4_prm_2 - label: organization-defined controlled areas - constraints: - - - detail: see additional FedRAMP requirements and guidance - properties: - - - name: label - value: MP-4 - - - name: sort-id - value: mp-04 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-4_smt - name: statement - prose: The organization: - parts: - - - id: mp-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Physically controls and securely stores {{ mp-4_prm_1 }} within - {{ mp-4_prm_2 }}; and - """ - - - id: mp-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures. - """ - - - id: mp-4_fr - name: item - title: MP-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-4_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines controlled areas within facilities where the information and information system reside. - - - id: mp-4_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Physically controlling information system - media includes, for example, conducting inventories, ensuring procedures are in place - to allow individuals to check out and return media to the media library, and - maintaining accountability for all stored media. Secure storage includes, for - example, a locked drawer, desk, or cabinet, or a controlled media library. The type - of media storage is commensurate with the security category and/or classification of - the information residing on the media. Controlled areas are areas for which - organizations provide sufficient physical and procedural safeguards to meet the - requirements established for protecting information and/or information systems. For - media containing information determined by organizations to be in the public domain, - to be publicly releasable, or to have limited or no adverse impact on organizations - or individuals if accessed by other than authorized personnel, fewer safeguards may - be needed. In these situations, physical access controls provide adequate - protection. - """ - links: - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-7 - rel: related - text: MP-7 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: mp-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-4.a_obj - name: objective - properties: - - - name: label - value: MP-4(a) - parts: - - - id: mp-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-4(a)[1] - prose: - """ - defines types of digital and/or non-digital media to be physically controlled - and securely stored within designated controlled areas; - """ - - - id: mp-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-4(a)[2] - prose: - """ - defines controlled areas designated to physically control and securely store - organization-defined types of digital and/or non-digital media; - """ - - - id: mp-4.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-4(a)[3] - prose: - """ - physically controls organization-defined types of digital and/or non-digital - media within organization-defined controlled areas; - """ - - - id: mp-4.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-4(a)[4] - prose: - """ - securely stores organization-defined types of digital and/or non-digital media - within organization-defined controlled areas; and - """ - - - id: mp-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-4(b) - prose: - """ - protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nsecurity plan\n\ninformation system media\n\ndesignated controlled areas\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection and storage - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing secure media storage/media - protection - """ - - - id: mp-5 - class: SP800-53 - title: Media Transport - parameters: - - - id: mp-5_prm_1 - label: organization-defined types of information system media - constraints: - - - detail: all media with sensitive information - - - id: mp-5_prm_2 - label: organization-defined security safeguards - constraints: - - - detail: prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container - properties: - - - name: label - value: MP-5 - - - name: sort-id - value: mp-05 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - parts: - - - id: mp-5_smt - name: statement - prose: The organization: - parts: - - - id: mp-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Protects and controls {{ mp-5_prm_1 }} during transport outside of - controlled areas using {{ mp-5_prm_2 }}; - """ - - - id: mp-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Maintains accountability for information system media during transport outside of - controlled areas; - """ - - - id: mp-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents activities associated with the transport of information system media; - and - """ - - - id: mp-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Restricts the activities associated with the transport of information system media - to authorized personnel. - """ - - - id: mp-5_fr - name: item - title: MP-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-5_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB. - - - id: mp-5_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers), - that are transported outside of controlled areas. Controlled areas are areas or - spaces for which organizations provide sufficient physical and/or procedural - safeguards to meet the requirements established for protecting information and/or - information systems. Physical and technical safeguards for media are commensurate - with the security category or classification of the information residing on the - media. Safeguards to protect media during transport include, for example, locked - containers and cryptography. Cryptographic mechanisms can provide confidentiality and - integrity protections depending upon the mechanisms used. Activities associated with - transport include the actual transport as well as those activities such as releasing - media for transport and ensuring that media enters the appropriate transport - processes. For the actual transport, authorized transport and courier personnel may - include individuals from outside the organization (e.g., U.S. Postal Service or a - commercial transport or delivery service). Maintaining accountability of media during - transport includes, for example, restricting transport activities to authorized - personnel, and tracking and/or obtaining explicit records of transport activities as - the media moves through the transportation system to prevent and detect loss, - destruction, or tampering. Organizations establish documentation requirements for - activities associated with the transport of information system media in accordance - with organizational assessments of risk to include the flexibility to define - different record-keeping methods for the different types of media transport as part - of an overall system of transport-related records. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #mp-3 - rel: related - text: MP-3 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: mp-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-5.a_obj - name: objective - properties: - - - name: label - value: MP-5(a) - parts: - - - id: mp-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-5(a)[1] - prose: - """ - defines types of information system media to be protected and controlled during - transport outside of controlled areas; - """ - - - id: mp-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-5(a)[2] - prose: - """ - defines security safeguards to protect and control organization-defined - information system media during transport outside of controlled areas; - """ - - - id: mp-5.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-5(a)[3] - prose: - """ - protects and controls organization-defined information system media during - transport outside of controlled areas using organization-defined security - safeguards; - """ - - - id: mp-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-5(b) - prose: - """ - maintains accountability for information system media during transport outside of - controlled areas; - """ - - - id: mp-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-5(c) - prose: - """ - documents activities associated with the transport of information system media; - and - """ - - - id: mp-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-5(d) - prose: - """ - restricts the activities associated with transport of information system media to - authorized personnel. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nsecurity plan\n\ninformation system media\n\ndesignated controlled areas\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection and storage - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing media storage/media - protection - """ - controls: - - - id: mp-5.4 - class: SP800-53-enhancement - title: Cryptographic Protection - properties: - - - name: label - value: MP-5(4) - - - name: sort-id - value: mp-05.04 - parts: - - - id: mp-5.4_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas. - """ - - - id: mp-5.4_gdn - name: guidance - prose: - """ - This control enhancement applies to both portable storage devices (e.g., USB - memory sticks, compact disks, digital video disks, external/removable hard disk - drives) and mobile devices with storage capability (e.g., smart phones, tablets, - E-readers). - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - id: mp-5.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media transport\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system media transport records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media transport - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms protecting information on digital media during - transportation outside controlled areas - """ - - - id: mp-6 - class: SP800-53 - title: Media Sanitization - parameters: - - - id: mp-6_prm_1 - label: organization-defined information system media - - - id: mp-6_prm_2 - label: organization-defined sanitization techniques and procedures - constraints: - - - detail: techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations - properties: - - - name: label - value: MP-6 - - - name: sort-id - value: mp-06 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a47466c4-c837-4f06-a39f-e68412a5f73d - rel: reference - text: http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - parts: - - - id: mp-6_smt - name: statement - prose: The organization: - parts: - - - id: mp-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of - organizational control, or release for reuse using {{ mp-6_prm_2 }} - in accordance with applicable federal and organizational standards and policies; - and - """ - - - id: mp-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information. - """ - - - id: mp-6_gdn - name: guidance - prose: - """ - This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information. - """ - links: - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-4 - rel: related - text: SC-4 - - - id: mp-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.a_obj - name: objective - properties: - - - name: label - value: MP-6(a) - parts: - - - id: mp-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(a)[1] - prose: defines information system media to be sanitized prior to: - parts: - - - id: mp-6.a_obj.1.a - name: objective - properties: - - - name: label - value: MP-6(a)[1][a] - prose: disposal; - - - id: mp-6.a_obj.1.b - name: objective - properties: - - - name: label - value: MP-6(a)[1][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.1.c - name: objective - properties: - - - name: label - value: MP-6(a)[1][c] - prose: release for reuse; - - - id: mp-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(a)[2] - prose: - """ - defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to: - """ - parts: - - - id: mp-6.a_obj.2.a - name: objective - properties: - - - name: label - value: MP-6(a)[2][a] - prose: disposal; - - - id: mp-6.a_obj.2.b - name: objective - properties: - - - name: label - value: MP-6(a)[2][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.2.c - name: objective - properties: - - - name: label - value: MP-6(a)[2][c] - prose: release for reuse; - - - id: mp-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(a)[3] - prose: - """ - sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and - """ - - - id: mp-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(b) - prose: - """ - employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\napplicable federal standards and policies addressing media sanitization\n\nmedia sanitization records\n\naudit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - controls: - - - id: mp-6.1 - class: SP800-53-enhancement - title: Review / Approve / Track / Document / Verify - properties: - - - name: label - value: MP-6(1) - - - name: sort-id - value: mp-06.01 - parts: - - - id: mp-6.1_smt - name: statement - prose: - """ - The organization reviews, approves, tracks, documents, and verifies media - sanitization and disposal actions. - """ - - - id: mp-6.1_gdn - name: guidance - prose: - """ - Organizations review and approve media to be sanitized to ensure compliance with - records-retention policies. Tracking/documenting actions include, for example, - listing personnel who reviewed and approved sanitization and disposal actions, - types of media sanitized, specific files stored on the media, sanitization methods - used, date and time of the sanitization actions, personnel who performed the - sanitization, verification actions taken, personnel who performed the - verification, and disposal action taken. Organizations verify that the - sanitization of the media was effective prior to disposal. - """ - links: - - - href: #si-12 - rel: related - text: SI-12 - - - id: mp-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(1)[1] - prose: reviews media sanitization and disposal actions; - - - id: mp-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(1)[2] - prose: approves media sanitization and disposal actions; - - - id: mp-6.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(1)[3] - prose: tracks media sanitization and disposal actions; - - - id: mp-6.1_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(1)[4] - prose: documents media sanitization and disposal actions; and - - - id: mp-6.1_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(1)[5] - prose: verifies media sanitization and disposal actions. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\nmedia sanitization and disposal records\n\nreview records for media sanitization and disposal actions\n\napprovals for media sanitization and disposal actions\n\ntracking records\n\nverification records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media sanitization and - disposal responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - - - id: mp-6.2 - class: SP800-53-enhancement - title: Equipment Testing - parameters: - - - id: mp-6.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every six (6) months - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MP-6(2) - - - name: sort-id - value: mp-06.02 - parts: - - - id: mp-6.2_smt - name: statement - prose: - """ - The organization tests sanitization equipment and procedures {{ mp-6.2_prm_1 }} to verify that the intended sanitization is being - achieved. - """ - parts: - - - id: mp-6.2_fr - name: item - title: MP-6 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-6.2_fr_gdn.a - name: guidance - properties: - - - name: label - value: (a) Requirement: - prose: Equipment and procedures may be tested or validated for effectiveness - - - id: mp-6.2_gdn - name: guidance - prose: - """ - Testing of sanitization equipment and procedures may be conducted by qualified and - authorized external entities (e.g., other federal agencies or external service - providers). - """ - - - id: mp-6.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(2)[1] - prose: - """ - defines the frequency for testing sanitization equipment and procedures to - verify that the intended sanitization is being achieved; and - """ - - - id: mp-6.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(2)[2] - prose: - """ - tests sanitization equipment and procedures with the organization-defined - frequency to verify that the intended sanitization is being achieved. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\nprocedures addressing testing of media sanitization equipment\n\nresults of media sanitization equipment and procedures testing\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media sanitization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - - - id: mp-6.3 - class: SP800-53-enhancement - title: Nondestructive Techniques - parameters: - - - id: mp-6.3_prm_1 - label: - """ - organization-defined circumstances requiring sanitization of portable storage - devices - """ - properties: - - - name: label - value: MP-6(3) - - - name: sort-id - value: mp-06.03 - parts: - - - id: mp-6.3_smt - name: statement - prose: - """ - The organization applies nondestructive sanitization techniques to portable - storage devices prior to connecting such devices to the information system under - the following circumstances: {{ mp-6.3_prm_1 }}. - """ - - - id: mp-6.3_gdn - name: guidance - prose: - """ - This control enhancement applies to digital media containing classified - information and Controlled Unclassified Information (CUI). Portable storage - devices can be the source of malicious code insertions into organizational - information systems. Many of these devices are obtained from unknown and - potentially untrustworthy sources and may contain malicious code that can be - readily transferred to information systems through USB ports or other entry - portals. While scanning such storage devices is always recommended, sanitization - provides additional assurance that the devices are free of malicious code to - include code capable of initiating zero-day attacks. Organizations consider - nondestructive sanitization of portable storage devices when such devices are - first purchased from the manufacturer or vendor prior to initial use or when - organizations lose a positive chain of custody for the devices. - """ - links: - - - href: #si-3 - rel: related - text: SI-3 - - - id: mp-6.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(3)[1] - prose: - """ - defines circumstances requiring sanitization of portable storage devices; - and - """ - - - id: mp-6.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(3)[2] - prose: - """ - applies nondestructive sanitization techniques to portable storage devices - prior to connecting such devices to the information system under - organization-defined circumstances requiring sanitization of portable storage - devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\nlist of circumstances requiring sanitization of portable storage devices\n\nmedia sanitization records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media sanitization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization of portable storage devices\n\nautomated mechanisms supporting and/or implementing media sanitization - - - id: mp-7 - class: SP800-53 - title: Media Use - parameters: - - - id: mp-7_prm_1 - - - id: mp-7_prm_2 - label: organization-defined types of information system media - - - id: mp-7_prm_3 - label: organization-defined information systems or system components - - - id: mp-7_prm_4 - label: organization-defined security safeguards - properties: - - - name: label - value: MP-7 - - - name: sort-id - value: mp-07 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-7_smt - name: statement - prose: The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}. - - - id: mp-7_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: mp-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-7_obj.1 - name: objective - properties: - - - name: label - value: MP-7[1] - prose: defines types of information system media to be: - parts: - - - id: mp-7_obj.1.a - name: objective - properties: - - - name: label - value: MP-7[1][a] - prose: restricted on information systems or system components; or - - - id: mp-7_obj.1.b - name: objective - properties: - - - name: label - value: MP-7[1][b] - prose: prohibited from use on information systems or system components; - - - id: mp-7_obj.2 - name: objective - properties: - - - name: label - value: MP-7[2] - prose: - """ - defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following: - """ - parts: - - - id: mp-7_obj.2.a - name: objective - properties: - - - name: label - value: MP-7[2][a] - prose: restricted; or - - - id: mp-7_obj.2.b - name: objective - properties: - - - name: label - value: MP-7[2][b] - prose: prohibited; - - - id: mp-7_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-7[3] - prose: - """ - defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and - """ - - - id: mp-7_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-7[4] - prose: - """ - restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nsecurity plan\n\nrules of behavior\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for media use\n\nautomated mechanisms restricting or prohibiting use of information system media on - information systems or system components - """ - controls: - - - id: mp-7.1 - class: SP800-53-enhancement - title: Prohibit Use Without Owner - properties: - - - name: label - value: MP-7(1) - - - name: sort-id - value: mp-07.01 - parts: - - - id: mp-7.1_smt - name: statement - prose: - """ - The organization prohibits the use of portable storage devices in organizational - information systems when such devices have no identifiable owner. - """ - - - id: mp-7.1_gdn - name: guidance - prose: - """ - Requiring identifiable owners (e.g., individuals, organizations, or projects) for - portable storage devices reduces the risk of using such technologies by allowing - organizations to assign responsibility and accountability for addressing known - vulnerabilities in the devices (e.g., malicious code insertion). - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - id: mp-7.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization prohibits the use of portable storage devices in - organizational information systems when such devices have no identifiable owner. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nsecurity plan\n\nrules of behavior\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for media use\n\nautomated mechanisms prohibiting use of media on information systems or system - components - """ - - - id: pe - class: family - title: Physical and Environmental Protection - controls: - - - id: pe-1 - class: SP800-53 - title: Physical and Environmental Protection Policy and Procedures - parameters: - - - id: pe-1_prm_1 - label: organization-defined personnel or roles - - - id: pe-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: pe-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-1 - - - name: sort-id - value: pe-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pe-1_smt - name: statement - prose: The organization: - parts: - - - id: pe-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pe-1_prm_1 }}: - parts: - - - id: pe-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: pe-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and - """ - - - id: pe-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pe-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Physical and environmental protection policy {{ pe-1_prm_2 }}; - and - """ - - - id: pe-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Physical and environmental protection procedures {{ pe-1_prm_3 }}. - - - id: pe-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pe-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-1.a_obj - name: objective - properties: - - - name: label - value: PE-1(a) - parts: - - - id: pe-1.a.1_obj - name: objective - properties: - - - name: label - value: PE-1(a)(1) - parts: - - - id: pe-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(1)[1] - prose: - """ - develops and documents a physical and environmental protection policy that - addresses: - """ - parts: - - - id: pe-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][a] - prose: purpose; - - - id: pe-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][b] - prose: scope; - - - id: pe-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][c] - prose: roles; - - - id: pe-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][d] - prose: responsibilities; - - - id: pe-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][e] - prose: management commitment; - - - id: pe-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pe-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][g] - prose: compliance; - - - id: pe-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated; - """ - - - id: pe-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-1(a)(1)[3] - prose: - """ - disseminates the physical and environmental protection policy to - organization-defined personnel or roles; - """ - - - id: pe-1.a.2_obj - name: objective - properties: - - - name: label - value: PE-1(a)(2) - parts: - - - id: pe-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls; - """ - - - id: pe-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pe-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pe-1.b_obj - name: objective - properties: - - - name: label - value: PE-1(b) - parts: - - - id: pe-1.b.1_obj - name: objective - properties: - - - name: label - value: PE-1(b)(1) - parts: - - - id: pe-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection policy; - """ - - - id: pe-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(1)[2] - prose: - """ - reviews and updates the current physical and environmental protection policy - with the organization-defined frequency; - """ - - - id: pe-1.b.2_obj - name: objective - properties: - - - name: label - value: PE-1(b)(2) - parts: - - - id: pe-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection procedures; and - """ - - - id: pe-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(2)[2] - prose: - """ - reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with physical and environmental protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: pe-2 - class: SP800-53 - title: Physical Access Authorizations - parameters: - - - id: pe-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every ninety (90) days - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-2 - - - name: sort-id - value: pe-02 - parts: - - - id: pe-2_smt - name: statement - prose: The organization: - parts: - - - id: pe-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides; - """ - - - id: pe-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Issues authorization credentials for facility access; - - - id: pe-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the access list detailing authorized facility access by individuals - {{ pe-2_prm_1 }}; and - """ - - - id: pe-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Removes individuals from the facility access list when access is no longer - required. - """ - - - id: pe-2_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible. - """ - links: - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: pe-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-2.a_obj - name: objective - properties: - - - name: label - value: PE-2(a) - parts: - - - id: pe-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-2(a)[1] - prose: - """ - develops a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(a)[2] - prose: - """ - approves a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-2(a)[3] - prose: - """ - maintains a list of individuals with authorized access to the facility where - the information system resides; - """ - - - id: pe-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(b) - prose: issues authorization credentials for facility access; - - - id: pe-2.c_obj - name: objective - properties: - - - name: label - value: PE-2(c) - parts: - - - id: pe-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-2(c)[1] - prose: - """ - defines the frequency to review the access list detailing authorized facility - access by individuals; - """ - - - id: pe-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(c)[2] - prose: - """ - reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and - """ - - - id: pe-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(d) - prose: - """ - removes individuals from the facility access list when access is no longer - required. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nsecurity plan\n\nauthorized personnel access list\n\nauthorization credentials\n\nphysical access list reviews\n\nphysical access termination records and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to information system facility\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access - authorizations - """ - - - id: pe-3 - class: SP800-53 - title: Physical Access Control - parameters: - - - id: pe-3_prm_1 - label: - """ - organization-defined entry/exit points to the facility where the information - system resides - """ - - - id: pe-3_prm_2 - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - - - id: pe-3_prm_3 - depends-on: pe-3_prm_2 - label: organization-defined physical access control systems/devices - constraints: - - - detail: CSP defined physical access control systems/devices - - - id: pe-3_prm_4 - label: organization-defined entry/exit points - - - id: pe-3_prm_5 - label: organization-defined security safeguards - - - id: pe-3_prm_6 - label: - """ - organization-defined circumstances requiring visitor escorts and - monitoring - """ - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - - - id: pe-3_prm_7 - label: organization-defined physical access devices - - - id: pe-3_prm_8 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: pe-3_prm_9 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-3 - - - name: sort-id - value: pe-03 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - - - href: #398e33fd-f404-4e5c-b90e-2d50d3181244 - rel: reference - text: ICD 705 - - - href: #61081e7f-041d-4033-96a7-44a439071683 - rel: reference - text: DoD Instruction 5200.39 - - - href: #dd2f5acd-08f1-435a-9837-f8203088dc1a - rel: reference - text: - """ - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - parts: - - - id: pe-3_smt - name: statement - prose: The organization: - parts: - - - id: pe-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Enforces physical access authorizations at {{ pe-3_prm_1 }} by; - parts: - - - id: pe-3_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Verifying individual access authorizations before granting access to the - facility; and - """ - - - id: pe-3_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Controlling ingress/egress to the facility using {{ pe-3_prm_2 }}; - - - id: pe-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Maintains physical access audit logs for {{ pe-3_prm_4 }}; - - - id: pe-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides {{ pe-3_prm_5 }} to control access to areas within the - facility officially designated as publicly accessible; - """ - - - id: pe-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }}; - - - id: pe-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: Secures keys, combinations, and other physical access devices; - - - id: pe-3_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }}; - and - """ - - - id: pe-3_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated. - """ - - - id: pe-3_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #pe-5 - rel: related - text: PE-5 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: pe-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-3.a_obj - name: objective - properties: - - - name: label - value: PE-3(a) - parts: - - - id: pe-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(a)[1] - prose: - """ - defines entry/exit points to the facility where the information system - resides; - """ - - - id: pe-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(a)[2] - prose: - """ - enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by: - """ - parts: - - - id: pe-3.a.1_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](1) - prose: - """ - verifying individual access authorizations before granting access to the - facility; - """ - - - id: pe-3.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(a)[2](2) - parts: - - - id: pe-3.a.2_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[a] - prose: - """ - defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides; - """ - - - id: pe-3.a.2_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b] - prose: - """ - using one or more of the following ways to control ingress/egress to the - facility: - """ - parts: - - - id: pe-3.a.2_obj.2.b.1 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][1] - prose: - """ - organization-defined physical access control systems/devices; - and/or - """ - - - id: pe-3.a.2_obj.2.b.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][2] - prose: guards; - - - id: pe-3.b_obj - name: objective - properties: - - - name: label - value: PE-3(b) - parts: - - - id: pe-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(b)[1] - prose: - """ - defines entry/exit points for which physical access audit logs are to be - maintained; - """ - - - id: pe-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(b)[2] - prose: - """ - maintains physical access audit logs for organization-defined entry/exit - points; - """ - - - id: pe-3.c_obj - name: objective - properties: - - - name: label - value: PE-3(c) - parts: - - - id: pe-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(c)[1] - prose: - """ - defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible; - """ - - - id: pe-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(c)[2] - prose: - """ - provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible; - """ - - - id: pe-3.d_obj - name: objective - properties: - - - name: label - value: PE-3(d) - parts: - - - id: pe-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(d)[1] - prose: defines circumstances requiring visitor: - parts: - - - id: pe-3.d_obj.1.a - name: objective - properties: - - - name: label - value: PE-3(d)[1][a] - prose: escorts; - - - id: pe-3.d_obj.1.b - name: objective - properties: - - - name: label - value: PE-3(d)[1][b] - prose: monitoring; - - - id: pe-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(d)[2] - prose: - """ - in accordance with organization-defined circumstances requiring visitor escorts - and monitoring: - """ - parts: - - - id: pe-3.d_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(d)[2][a] - prose: escorts visitors; - - - id: pe-3.d_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(d)[2][b] - prose: monitors visitor activities; - - - id: pe-3.e_obj - name: objective - properties: - - - name: label - value: PE-3(e) - parts: - - - id: pe-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[1] - prose: secures keys; - - - id: pe-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[2] - prose: secures combinations; - - - id: pe-3.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[3] - prose: secures other physical access devices; - - - id: pe-3.f_obj - name: objective - properties: - - - name: label - value: PE-3(f) - parts: - - - id: pe-3.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(f)[1] - prose: defines physical access devices to be inventoried; - - - id: pe-3.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(f)[2] - prose: - """ - defines the frequency to inventory organization-defined physical access - devices; - """ - - - id: pe-3.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(f)[3] - prose: - """ - inventories the organization-defined physical access devices with the - organization-defined frequency; - """ - - - id: pe-3.g_obj - name: objective - properties: - - - name: label - value: PE-3(g) - parts: - - - id: pe-3.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(g)[1] - prose: defines the frequency to change combinations and keys; and - - - id: pe-3.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(g)[2] - prose: - """ - changes combinations and keys with the organization-defined frequency and/or - when: - """ - parts: - - - id: pe-3.g_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(g)[2][a] - prose: keys are lost; - - - id: pe-3.g_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(g)[2][b] - prose: combinations are compromised; - - - id: pe-3.g_obj.2.c - name: objective - properties: - - - name: label - value: PE-3(g)[2][c] - prose: individuals are transferred or terminated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nsecurity plan\n\nphysical access control logs or records\n\ninventory records of physical access control devices\n\ninformation system entry and exit points\n\nrecords of key and lock combination changes\n\nstorage locations for physical access control devices\n\nphysical access control devices\n\nlist of security safeguards controlling access to designated publicly accessible - areas within facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for physical access control\n\nautomated mechanisms supporting and/or implementing physical access control\n\nphysical access control devices - controls: - - - id: pe-3.1 - class: SP800-53-enhancement - title: Information System Access - parameters: - - - id: pe-3.1_prm_1 - label: - """ - organization-defined physical spaces containing one or more components of the - information system - """ - properties: - - - name: label - value: PE-3(1) - - - name: sort-id - value: pe-03.01 - parts: - - - id: pe-3.1_smt - name: statement - prose: - """ - The organization enforces physical access authorizations to the information system - in addition to the physical access controls for the facility at {{ pe-3.1_prm_1 }}. - """ - - - id: pe-3.1_gdn - name: guidance - prose: - """ - This control enhancement provides additional physical security for those areas - within facilities where there is a concentration of information system components - (e.g., server rooms, media storage areas, data and communications centers). - """ - links: - - - href: #ps-2 - rel: related - text: PS-2 - - - id: pe-3.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-3.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(1)[1] - prose: - """ - defines physical spaces containing one or more components of the information - system; and - """ - - - id: pe-3.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(1)[2] - prose: - """ - enforces physical access authorizations to the information system in addition - to the physical access controls for the facility at organization-defined - physical spaces containing one or more components of the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nphysical access control logs or records\n\nphysical access control devices\n\naccess authorizations\n\naccess credentials\n\ninformation system entry and exit points\n\nlist of areas within the facility containing concentrations of information - system components or information system components requiring additional - physical protection\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with physical access authorization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for physical access control to the information - system/components\n\nautomated mechanisms supporting and/or implementing physical access control for - facility areas containing information system components - """ - - - id: pe-4 - class: SP800-53 - title: Access Control for Transmission Medium - parameters: - - - id: pe-4_prm_1 - label: - """ - organization-defined information system distribution and transmission - lines - """ - - - id: pe-4_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: PE-4 - - - name: sort-id - value: pe-04 - links: - - - href: #06dff0ea-3848-4945-8d91-e955ee69f05d - rel: reference - text: NSTISSI No. 7003 - parts: - - - id: pe-4_smt - name: statement - prose: - """ - The organization controls physical access to {{ pe-4_prm_1 }} within - organizational facilities using {{ pe-4_prm_2 }}. - """ - - - id: pe-4_gdn - name: guidance - prose: - """ - Physical security safeguards applied to information system distribution and - transmission lines help to prevent accidental damage, disruption, and physical - tampering. In addition, physical safeguards may be necessary to help prevent - eavesdropping or in transit modification of unencrypted transmissions. Security - safeguards to control physical access to system distribution and transmission lines - include, for example: (i) locked wiring closets; (ii) disconnected or locked spare - jacks; and/or (iii) protection of cabling by conduit or cable trays. - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-5 - rel: related - text: PE-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-8 - rel: related - text: SC-8 - - - id: pe-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-4[1] - prose: - """ - defines information system distribution and transmission lines requiring physical - access controls; - """ - - - id: pe-4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-4[2] - prose: - """ - defines security safeguards to be employed to control physical access to - organization-defined information system distribution and transmission lines within - organizational facilities; and - """ - - - id: pe-4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-4[3] - prose: - """ - controls physical access to organization-defined information system distribution - and transmission lines within organizational facilities using organization-defined - security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing access control for transmission medium\n\ninformation system design documentation\n\nfacility communications and wiring diagrams\n\nlist of physical security safeguards applied to information system distribution - and transmission lines\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for access control to distribution and transmission - lines\n\nautomated mechanisms/security safeguards supporting and/or implementing access - control to distribution and transmission lines - """ - - - id: pe-5 - class: SP800-53 - title: Access Control for Output Devices - properties: - - - name: label - value: PE-5 - - - name: sort-id - value: pe-05 - parts: - - - id: pe-5_smt - name: statement - prose: - """ - The organization controls physical access to information system output devices to - prevent unauthorized individuals from obtaining the output. - """ - - - id: pe-5_gdn - name: guidance - prose: - """ - Controlling physical access to output devices includes, for example, placing output - devices in locked rooms or other secured areas and allowing access to authorized - individuals only, and placing output devices in locations that can be monitored by - organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, - and audio devices are examples of information system output devices. - """ - links: - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #pe-18 - rel: related - text: PE-18 - - - id: pe-5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization controls physical access to information system output - devices to prevent unauthorized individuals from obtaining the output. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing access control for display medium\n\nfacility layout of information system components\n\nactual displays from information system components\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for access control to output devices\n\nautomated mechanisms supporting and/or implementing access control to output - devices - """ - - - id: pe-6 - class: SP800-53 - title: Monitoring Physical Access - parameters: - - - id: pe-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: pe-6_prm_2 - label: organization-defined events or potential indications of events - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-6 - - - name: sort-id - value: pe-06 - parts: - - - id: pe-6_smt - name: statement - prose: The organization: - parts: - - - id: pe-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence - of {{ pe-6_prm_2 }}; and - """ - - - id: pe-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - id: pe-6_gdn - name: guidance - prose: - """ - Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: pe-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(a) - prose: - """ - monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6.b_obj - name: objective - properties: - - - name: label - value: PE-6(b) - parts: - - - id: pe-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(b)[1] - prose: defines the frequency to review physical access logs; - - - id: pe-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(b)[2] - prose: - """ - defines events or potential indication of events requiring physical access logs - to be reviewed; - """ - - - id: pe-6.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(b)[3] - prose: - """ - reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and - """ - - - id: pe-6.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-6(c) - prose: - """ - coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsecurity plan\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing reviewing of physical access - logs - """ - controls: - - - id: pe-6.1 - class: SP800-53-enhancement - title: Intrusion Alarms / Surveillance Equipment - properties: - - - name: label - value: PE-6(1) - - - name: sort-id - value: pe-06.01 - parts: - - - id: pe-6.1_smt - name: statement - prose: - """ - The organization monitors physical intrusion alarms and surveillance - equipment. - """ - - - id: pe-6.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization monitors physical intrusion alarms and surveillance - equipment. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsecurity plan\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical intrusion alarms and - surveillance equipment\n\nautomated mechanisms supporting and/or implementing physical access - monitoring\n\nautomated mechanisms supporting and/or implementing physical intrusion alarms - and surveillance equipment - """ - - - id: pe-6.4 - class: SP800-53-enhancement - title: Monitoring Physical Access to Information Systems - parameters: - - - id: pe-6.4_prm_1 - label: - """ - organization-defined physical spaces containing one or more components of the - information system - """ - properties: - - - name: label - value: PE-6(4) - - - name: sort-id - value: pe-06.04 - parts: - - - id: pe-6.4_smt - name: statement - prose: - """ - The organization monitors physical access to the information system in addition to - the physical access monitoring of the facility as {{ pe-6.4_prm_1 }}. - """ - - - id: pe-6.4_gdn - name: guidance - prose: - """ - This control enhancement provides additional monitoring for those areas within - facilities where there is a concentration of information system components (e.g., - server rooms, media storage areas, communications centers). - """ - links: - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: pe-6.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-6.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(4)[1] - prose: - """ - defines physical spaces containing one or more components of the information - system; and - """ - - - id: pe-6.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(4)[2] - prose: - """ - monitors physical access to the information system in addition to the physical - access monitoring of the facility at organization-defined physical spaces - containing one or more components of the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nphysical access control logs or records\n\nphysical access control devices\n\naccess authorizations\n\naccess credentials\n\nlist of areas within the facility containing concentrations of information - system components or information system components requiring additional - physical access monitoring\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical access to the information - system\n\nautomated mechanisms supporting and/or implementing physical access monitoring - for facility areas containing information system components - """ - - - id: pe-8 - class: SP800-53 - title: Visitor Access Records - parameters: - - - id: pe-8_prm_1 - label: organization-defined time period - constraints: - - - detail: for a minimum of one (1) year - - - id: pe-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-8 - - - name: sort-id - value: pe-08 - parts: - - - id: pe-8_smt - name: statement - prose: The organization: - parts: - - - id: pe-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains visitor access records to the facility where the information system - resides for {{ pe-8_prm_1 }}; and - """ - - - id: pe-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews visitor access records {{ pe-8_prm_2 }}. - - - id: pe-8_gdn - name: guidance - prose: - """ - Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas. - """ - - - id: pe-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-8.a_obj - name: objective - properties: - - - name: label - value: PE-8(a) - parts: - - - id: pe-8.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-8(a)[1] - prose: - """ - defines the time period to maintain visitor access records to the facility - where the information system resides; - """ - - - id: pe-8.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-8(a)[2] - prose: - """ - maintains visitor access records to the facility where the information system - resides for the organization-defined time period; - """ - - - id: pe-8.b_obj - name: objective - properties: - - - name: label - value: PE-8(b) - parts: - - - id: pe-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-8(b)[1] - prose: defines the frequency to review visitor access records; and - - - id: pe-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-8(b)[2] - prose: reviews visitor access records with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nsecurity plan\n\nvisitor access control logs or records\n\nvisitor access record or log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of - visitor access records - """ - controls: - - - id: pe-8.1 - class: SP800-53-enhancement - title: Automated Records Maintenance / Review - properties: - - - name: label - value: PE-8(1) - - - name: sort-id - value: pe-08.01 - parts: - - - id: pe-8.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to facilitate the maintenance and - review of visitor access records. - """ - - - id: pe-8.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to facilitate the - maintenance and review of visitor access records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nautomated mechanisms supporting management of visitor access records\n\nvisitor access control logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining and reviewing visitor access - records\n\nautomated mechanisms supporting and/or implementing maintenance and review of - visitor access records - """ - - - id: pe-9 - class: SP800-53 - title: Power Equipment and Cabling - properties: - - - name: label - value: PE-9 - - - name: sort-id - value: pe-09 - parts: - - - id: pe-9_smt - name: statement - prose: - """ - The organization protects power equipment and power cabling for the information - system from damage and destruction. - """ - - - id: pe-9_gdn - name: guidance - prose: - """ - Organizations determine the types of protection necessary for power equipment and - cabling employed at different locations both internal and external to organizational - facilities and environments of operation. This includes, for example, generators and - power cabling outside of buildings, internal cabling and uninterruptable power - sources within an office or data center, and power sources for self-contained - entities such as vehicles and satellites. - """ - links: - - - href: #pe-4 - rel: related - text: PE-4 - - - id: pe-9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects power equipment and power cabling for the - information system from damage and destruction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing power equipment/cabling protection\n\nfacilities housing power equipment/cabling\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for protecting power - equipment/cabling\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing protection of power - equipment/cabling - """ - - - id: pe-10 - class: SP800-53 - title: Emergency Shutoff - parameters: - - - id: pe-10_prm_1 - label: organization-defined location by information system or system component - properties: - - - name: label - value: PE-10 - - - name: sort-id - value: pe-10 - parts: - - - id: pe-10_smt - name: statement - prose: The organization: - parts: - - - id: pe-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides the capability of shutting off power to the information system or - individual system components in emergency situations; - """ - - - id: pe-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Places emergency shutoff switches or devices in {{ pe-10_prm_1 }} - to facilitate safe and easy access for personnel; and - """ - - - id: pe-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: Protects emergency power shutoff capability from unauthorized activation. - - - id: pe-10_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. - """ - links: - - - href: #pe-15 - rel: related - text: PE-15 - - - id: pe-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-10(a) - prose: - """ - provides the capability of shutting off power to the information system or - individual system components in emergency situations; - """ - - - id: pe-10.b_obj - name: objective - properties: - - - name: label - value: PE-10(b) - parts: - - - id: pe-10.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-10(b)[1] - prose: - """ - defines the location of emergency shutoff switches or devices by information - system or system component; - """ - - - id: pe-10.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-10(b)[2] - prose: - """ - places emergency shutoff switches or devices in the organization-defined - location by information system or system component to facilitate safe and easy - access for personnel; and - """ - - - id: pe-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-10(c) - prose: protects emergency power shutoff capability from unauthorized activation. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing power source emergency shutoff\n\nsecurity plan\n\nemergency shutoff controls or switches\n\nlocations housing emergency shutoff switches and devices\n\nsecurity safeguards protecting emergency power shutoff capability from - unauthorized activation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency power shutoff - capability (both implementing and using the capability)\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing emergency power shutoff - - - id: pe-11 - class: SP800-53 - title: Emergency Power - parameters: - - - id: pe-11_prm_1 - properties: - - - name: label - value: PE-11 - - - name: sort-id - value: pe-11 - parts: - - - id: pe-11_smt - name: statement - prose: - """ - The organization provides a short-term uninterruptible power supply to facilitate - {{ pe-11_prm_1 }} in the event of a primary power source loss. - """ - - - id: pe-11_gdn - name: guidance - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-11_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization provides a short-term uninterruptible power supply to - facilitate one or more of the following in the event of a primary power source loss: - """ - parts: - - - id: pe-11_obj.1 - name: objective - properties: - - - name: label - value: PE-11[1] - prose: an orderly shutdown of the information system; and/or - - - id: pe-11_obj.2 - name: objective - properties: - - - name: label - value: PE-11[2] - prose: transition of the information system to long-term alternate power. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nuninterruptible power supply\n\nuninterruptible power supply documentation\n\nuninterruptible power supply test records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency power and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing uninterruptible power - supply\n\nthe uninterruptable power supply - """ - controls: - - - id: pe-11.1 - class: SP800-53-enhancement - title: Long-term Alternate Power Supply - Minimal Operational Capability - properties: - - - name: label - value: PE-11(1) - - - name: sort-id - value: pe-11.01 - parts: - - - id: pe-11.1_smt - name: statement - prose: - """ - The organization provides a long-term alternate power supply for the information - system that is capable of maintaining minimally required operational capability in - the event of an extended loss of the primary power source. - """ - - - id: pe-11.1_gdn - name: guidance - prose: - """ - This control enhancement can be satisfied, for example, by the use of a secondary - commercial power supply or other external power supply. Long-term alternate power - supplies for the information system can be either manually or automatically - activated. - """ - - - id: pe-11.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization provides a long-term alternate power supply for the - information system that is capable of maintaining minimally required operational - capability in the event of an extended loss of the primary power source. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nalternate power supply\n\nalternate power supply documentation\n\nalternate power supply test records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency power and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing alternate power supply\n\nthe alternate power supply - - - id: pe-12 - class: SP800-53 - title: Emergency Lighting - properties: - - - name: label - value: PE-12 - - - name: sort-id - value: pe-12 - parts: - - - id: pe-12_smt - name: statement - prose: - """ - The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility. - """ - - - id: pe-12_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-12_obj - name: objective - prose: - """ - Determine if the organization employs and maintains automatic emergency lighting for - the information system that: - """ - parts: - - - id: pe-12_obj.1 - name: objective - properties: - - - name: label - value: PE-12[1] - prose: activates in the event of a power outage or disruption; and - - - id: pe-12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-12[2] - prose: covers emergency exits and evacuation routes within the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency lighting and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing emergency lighting - capability - """ - - - id: pe-13 - class: SP800-53 - title: Fire Protection - properties: - - - name: label - value: PE-13 - - - name: sort-id - value: pe-13 - parts: - - - id: pe-13_smt - name: statement - prose: - """ - The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source. - """ - - - id: pe-13_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors. - """ - - - id: pe-13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13_obj.1 - name: objective - properties: - - - name: label - value: PE-13[1] - prose: - """ - employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and - """ - - - id: pe-13_obj.2 - name: objective - properties: - - - name: label - value: PE-13[2] - prose: - """ - maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and suppression - devices/systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems - """ - controls: - - - id: pe-13.1 - class: SP800-53-enhancement - title: Detection Devices / Systems - parameters: - - - id: pe-13.1_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: service provider building maintenance/physical security personnel - - - id: pe-13.1_prm_2 - label: organization-defined emergency responders - constraints: - - - detail: service provider emergency responders with incident response responsibilities - properties: - - - name: label - value: PE-13(1) - - - name: sort-id - value: pe-13.01 - parts: - - - id: pe-13.1_smt - name: statement - prose: - """ - The organization employs fire detection devices/systems for the information system - that activate automatically and notify {{ pe-13.1_prm_1 }} and - {{ pe-13.1_prm_2 }} in the event of a fire. - """ - - - id: pe-13.1_gdn - name: guidance - prose: - """ - Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information. - """ - - - id: pe-13.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-13(1)[1] - prose: defines personnel or roles to be notified in the event of a fire; - - - id: pe-13.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-13(1)[2] - prose: defines emergency responders to be notified in the event of a fire; - - - id: pe-13.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-13(1)[3] - prose: - """ - employs fire detection devices/systems for the information system that, in the - event of a fire,: - """ - parts: - - - id: pe-13.1_obj.3.a - name: objective - properties: - - - name: label - value: PE-13(1)[3][a] - prose: activate automatically; - - - id: pe-13.1_obj.3.b - name: objective - properties: - - - name: label - value: PE-13(1)[3][b] - prose: notify organization-defined personnel or roles; and - - - id: pe-13.1_obj.3.c - name: objective - properties: - - - name: label - value: PE-13(1)[3][c] - prose: notify organization-defined emergency responders. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\nalerts/notifications of fire events\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and - suppression devices/systems\n\norganizational personnel with responsibilities for notifying appropriate - personnel, roles, and emergency responders of fires\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire detection - devices/systems\n\nactivation of fire detection devices/systems (simulated)\n\nautomated notifications - """ - - - id: pe-13.2 - class: SP800-53-enhancement - title: Suppression Devices / Systems - parameters: - - - id: pe-13.2_prm_1 - label: organization-defined personnel or roles - - - id: pe-13.2_prm_2 - label: organization-defined emergency responders - properties: - - - name: label - value: PE-13(2) - - - name: sort-id - value: pe-13.02 - parts: - - - id: pe-13.2_smt - name: statement - prose: - """ - The organization employs fire suppression devices/systems for the information - system that provide automatic notification of any activation to {{ pe-13.2_prm_1 }} and {{ pe-13.2_prm_2 }}. - """ - - - id: pe-13.2_gdn - name: guidance - prose: - """ - Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information. - """ - - - id: pe-13.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-13(2)[1] - prose: - """ - defines personnel or roles to be provided automatic notification of any - activation of fire suppression devices/systems for the information system; - """ - - - id: pe-13.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-13(2)[2] - prose: - """ - defines emergency responders to be provided automatic notification of any - activation of fire suppression devices/systems for the information system; - """ - - - id: pe-13.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-13(2)[3] - prose: - """ - employs fire suppression devices/systems for the information system that - provide automatic notification of any activation to: - """ - parts: - - - id: pe-13.2_obj.3.a - name: objective - properties: - - - name: label - value: PE-13(2)[3][a] - prose: organization-defined personnel or roles; and - - - id: pe-13.2_obj.3.b - name: objective - properties: - - - name: label - value: PE-13(2)[3][b] - prose: organization-defined emergency responders. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems documentation\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and - suppression devices/systems\n\norganizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression - devices/systems\n\nactivation of fire suppression devices/systems (simulated)\n\nautomated notifications - """ - - - id: pe-13.3 - class: SP800-53-enhancement - title: Automatic Fire Suppression - properties: - - - name: label - value: PE-13(3) - - - name: sort-id - value: pe-13.03 - parts: - - - id: pe-13.3_smt - name: statement - prose: - """ - The organization employs an automatic fire suppression capability for the - information system when the facility is not staffed on a continuous basis. - """ - - - id: pe-13.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs an automatic fire suppression capability for - the information system when the facility is not staffed on a continuous basis. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems documentation\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and - suppression devices/systems\n\norganizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression - devices/systems\n\nactivation of fire suppression devices/systems (simulated) - """ - - - id: pe-14 - class: SP800-53 - title: Temperature and Humidity Controls - parameters: - - - id: pe-14_prm_1 - label: organization-defined acceptable levels - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - id: pe-14_prm_2 - label: organization-defined frequency - constraints: - - - detail: continuously - properties: - - - name: label - value: PE-14 - - - name: sort-id - value: pe-14 - parts: - - - id: pe-14_smt - name: statement - prose: The organization: - parts: - - - id: pe-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains temperature and humidity levels within the facility where the - information system resides at {{ pe-14_prm_1 }}; and - """ - - - id: pe-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: Monitors temperature and humidity levels {{ pe-14_prm_2 }}. - - - id: pe-14_fr - name: item - title: PE-14(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: pe-14_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider measures temperature at server inlets and humidity levels by dew point. - - - id: pe-14_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-14.a_obj - name: objective - properties: - - - name: label - value: PE-14(a) - parts: - - - id: pe-14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(a)[1] - prose: - """ - defines acceptable temperature levels to be maintained within the facility - where the information system resides; - """ - - - id: pe-14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(a)[2] - prose: - """ - defines acceptable humidity levels to be maintained within the facility where - the information system resides; - """ - - - id: pe-14.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(a)[3] - prose: - """ - maintains temperature levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(a)[4] - prose: - """ - maintains humidity levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.b_obj - name: objective - properties: - - - name: label - value: PE-14(b) - parts: - - - id: pe-14.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(b)[1] - prose: defines the frequency to monitor temperature levels; - - - id: pe-14.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(b)[2] - prose: defines the frequency to monitor humidity levels; - - - id: pe-14.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(b)[3] - prose: monitors temperature levels with the organization-defined frequency; and - - - id: pe-14.b_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(b)[4] - prose: monitors humidity levels with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing temperature and humidity control\n\nsecurity plan\n\ntemperature and humidity controls\n\nfacility housing the information system\n\ntemperature and humidity controls documentation\n\ntemperature and humidity records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels - """ - controls: - - - id: pe-14.2 - class: SP800-53-enhancement - title: Monitoring with Alarms / Notifications - properties: - - - name: label - value: PE-14(2) - - - name: sort-id - value: pe-14.02 - parts: - - - id: pe-14.2_smt - name: statement - prose: - """ - The organization employs temperature and humidity monitoring that provides an - alarm or notification of changes potentially harmful to personnel or - equipment. - """ - - - id: pe-14.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-14.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(2)[1] - prose: - """ - employs temperature monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or - """ - - - id: pe-14.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(2)[2] - prose: - """ - employs temperature monitoring that provides notification of changes - potentially harmful to personnel or equipment; - """ - - - id: pe-14.2_obj.3 - name: objective - properties: - - - name: label - value: PE-14(2)[3] - prose: - """ - employs humidity monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or - """ - - - id: pe-14.2_obj.4 - name: objective - properties: - - - name: label - value: PE-14(2)[4] - prose: - """ - employs humidity monitoring that provides notification of changes potentially - harmful to personnel or equipment. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing temperature and humidity monitoring\n\nfacility housing the information system\n\nlogs or records of temperature and humidity monitoring\n\nrecords of changes to temperature and humidity levels that generate alarms or - notifications\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing temperature and humidity - monitoring - """ - - - id: pe-15 - class: SP800-53 - title: Water Damage Protection - properties: - - - name: label - value: PE-15 - - - name: sort-id - value: pe-15 - parts: - - - id: pe-15_smt - name: statement - prose: - """ - The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel. - """ - - - id: pe-15_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-15_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are: - """ - parts: - - - id: pe-15_obj.1 - name: objective - properties: - - - name: label - value: PE-15[1] - prose: accessible; - - - id: pe-15_obj.2 - name: objective - properties: - - - name: label - value: PE-15[2] - prose: working properly; and - - - id: pe-15_obj.3 - name: objective - properties: - - - name: label - value: PE-15[3] - prose: known to key personnel. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the information system\n\nmaster shutoff valves\n\nlist of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system\n\nmaster shutoff valve documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Master water-shutoff valves\n\norganizational process for activating master water-shutoff - controls: - - - id: pe-15.1 - class: SP800-53-enhancement - title: Automation Support - parameters: - - - id: pe-15.1_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: service provider building maintenance/physical security personnel - properties: - - - name: label - value: PE-15(1) - - - name: sort-id - value: pe-15.01 - parts: - - - id: pe-15.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to detect the presence of water in - the vicinity of the information system and alerts {{ pe-15.1_prm_1 }}. - """ - - - id: pe-15.1_gdn - name: guidance - prose: - """ - Automated mechanisms can include, for example, water detection sensors, alarms, - and notification systems. - """ - - - id: pe-15.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-15.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-15(1)[1] - prose: - """ - defines personnel or roles to be alerted when the presence of water is detected - in the vicinity of the information system; - """ - - - id: pe-15.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-15(1)[2] - prose: - """ - employs automated mechanisms to detect the presence of water in the vicinity of - the information system; and - """ - - - id: pe-15.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-15(1)[3] - prose: - """ - alerts organization-defined personnel or roles when the presence of water is - detected in the vicinity of the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the information system\n\nautomated mechanisms for water shutoff valves\n\nautomated mechanisms detecting presence of water in vicinity of information - system\n\nalerts/notifications of water detection in information system facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing water detection capability - and alerts for the information system - """ - - - id: pe-16 - class: SP800-53 - title: Delivery and Removal - parameters: - - - id: pe-16_prm_1 - label: organization-defined types of information system components - constraints: - - - detail: all information system components - properties: - - - name: label - value: PE-16 - - - name: sort-id - value: pe-16 - parts: - - - id: pe-16_smt - name: statement - prose: - """ - The organization authorizes, monitors, and controls {{ pe-16_prm_1 }} - entering and exiting the facility and maintains records of those items. - """ - - - id: pe-16_gdn - name: guidance - prose: - """ - Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: pe-16_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-16_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-16[1] - prose: - """ - defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility; - """ - - - id: pe-16_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[2] - prose: - """ - authorizes organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[3] - prose: - """ - monitors organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[4] - prose: - """ - controls organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[5] - prose: - """ - authorizes organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.6 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[6] - prose: - """ - monitors organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.7 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[7] - prose: - """ - controls organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.8 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-16[8] - prose: maintains records of information system components entering the facility; and - - - id: pe-16_obj.9 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-16[9] - prose: maintains records of information system components exiting the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing delivery and removal of information system components from - the facility\n\nsecurity plan\n\nfacility housing the information system\n\nrecords of items entering and exiting the facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility\n\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility - """ - - - id: pe-17 - class: SP800-53 - title: Alternate Work Site - parameters: - - - id: pe-17_prm_1 - label: organization-defined security controls - properties: - - - name: label - value: PE-17 - - - name: sort-id - value: pe-17 - links: - - - href: #5309d4d0-46f8-4213-a749-e7584164e5e8 - rel: reference - text: NIST Special Publication 800-46 - parts: - - - id: pe-17_smt - name: statement - prose: The organization: - parts: - - - id: pe-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: Employs {{ pe-17_prm_1 }} at alternate work sites; - - - id: pe-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Assesses as feasible, the effectiveness of security controls at alternate work - sites; and - """ - - - id: pe-17_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides a means for employees to communicate with information security personnel - in case of security incidents or problems. - """ - - - id: pe-17_gdn - name: guidance - prose: - """ - Alternate work sites may include, for example, government facilities or private - residences of employees. While commonly distinct from alternative processing sites, - alternate work sites may provide readily available alternate locations as part of - contingency operations. Organizations may define different sets of security controls - for specific alternate work sites or types of sites depending on the work-related - activities conducted at those sites. This control supports the contingency planning - activities of organizations and the federal telework initiative. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-17.a_obj - name: objective - properties: - - - name: label - value: PE-17(a) - parts: - - - id: pe-17.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-17(a)[1] - prose: defines security controls to be employed at alternate work sites; - - - id: pe-17.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-17(a)[2] - prose: employs organization-defined security controls at alternate work sites; - - - id: pe-17.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-17(b) - prose: - """ - assesses, as feasible, the effectiveness of security controls at alternate work - sites; and - """ - - - id: pe-17.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-17(c) - prose: - """ - provides a means for employees to communicate with information security personnel - in case of security incidents or problems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing alternate work sites for organizational personnel\n\nsecurity plan\n\nlist of security controls required for alternate work sites\n\nassessments of security controls at alternate work sites\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel approving use of alternate work sites\n\norganizational personnel using alternate work sites\n\norganizational personnel assessing controls at alternate work sites\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for security at alternate work sites\n\nautomated mechanisms supporting alternate work sites\n\nsecurity controls employed at alternate work sites\n\nmeans of communications between personnel at alternate work sites and security - personnel - """ - - - id: pe-18 - class: SP800-53 - title: Location of Information System Components - parameters: - - - id: pe-18_prm_1 - label: organization-defined physical and environmental hazards - constraints: - - - detail: physical and environmental hazards identified during threat assessment - properties: - - - name: label - value: PE-18 - - - name: sort-id - value: pe-18 - parts: - - - id: pe-18_smt - name: statement - prose: - """ - The organization positions information system components within the facility to - minimize potential damage from {{ pe-18_prm_1 }} and to minimize the - opportunity for unauthorized access. - """ - - - id: pe-18_gdn - name: guidance - prose: - """ - Physical and environmental hazards include, for example, flooding, fire, tornados, - earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, - electrical interference, and other forms of incoming electromagnetic radiation. In - addition, organizations consider the location of physical entry points where - unauthorized individuals, while not being granted access, might nonetheless be in - close proximity to information systems and therefore increase the potential for - unauthorized access to organizational communications (e.g., through the use of - wireless sniffers or microphones). - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #pe-19 - rel: related - text: PE-19 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: pe-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-18_obj.1 - name: objective - properties: - - - name: label - value: PE-18[1] - prose: - """ - defines physical hazards that could result in potential damage to information - system components within the facility; - """ - - - id: pe-18_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-18[2] - prose: - """ - defines environmental hazards that could result in potential damage to information - system components within the facility; - """ - - - id: pe-18_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-18[3] - prose: - """ - positions information system components within the facility to minimize potential - damage from organization-defined physical and environmental hazards; and - """ - - - id: pe-18_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-18[4] - prose: - """ - positions information system components within the facility to minimize the - opportunity for unauthorized access. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing positioning of information system components\n\ndocumentation providing the location and position of information system components - within the facility\n\nlocations housing information system components within the facility\n\nlist of physical and environmental hazards with potential to damage information - system components within the facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for positioning information system - components\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for positioning information system components - - - id: pl - class: family - title: Planning - controls: - - - id: pl-1 - class: SP800-53 - title: Security Planning Policy and Procedures - parameters: - - - id: pl-1_prm_1 - label: organization-defined personnel or roles - - - id: pl-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: pl-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-1 - - - name: sort-id - value: pl-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pl-1_smt - name: statement - prose: The organization: - parts: - - - id: pl-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pl-1_prm_1 }}: - parts: - - - id: pl-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: pl-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and - """ - - - id: pl-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pl-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security planning policy {{ pl-1_prm_2 }}; and - - - id: pl-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security planning procedures {{ pl-1_prm_3 }}. - - - id: pl-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pl-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-1.a_obj - name: objective - properties: - - - name: label - value: PL-1(a) - parts: - - - id: pl-1.a.1_obj - name: objective - properties: - - - name: label - value: PL-1(a)(1) - parts: - - - id: pl-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(1)[1] - prose: develops and documents a planning policy that addresses: - parts: - - - id: pl-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][a] - prose: purpose; - - - id: pl-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][b] - prose: scope; - - - id: pl-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][c] - prose: roles; - - - id: pl-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][d] - prose: responsibilities; - - - id: pl-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][e] - prose: management commitment; - - - id: pl-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pl-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][g] - prose: compliance; - - - id: pl-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the planning policy is to be - disseminated; - """ - - - id: pl-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-1(a)(1)[3] - prose: - """ - disseminates the planning policy to organization-defined personnel or - roles; - """ - - - id: pl-1.a.2_obj - name: objective - properties: - - - name: label - value: PL-1(a)(2) - parts: - - - id: pl-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls; - """ - - - id: pl-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pl-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pl-1.b_obj - name: objective - properties: - - - name: label - value: PL-1(b) - parts: - - - id: pl-1.b.1_obj - name: objective - properties: - - - name: label - value: PL-1(b)(1) - parts: - - - id: pl-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(1)[1] - prose: defines the frequency to review and update the current planning policy; - - - id: pl-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(1)[2] - prose: - """ - reviews and updates the current planning policy with the - organization-defined frequency; - """ - - - id: pl-1.b.2_obj - name: objective - properties: - - - name: label - value: PL-1(b)(2) - parts: - - - id: pl-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current planning procedures; - and - """ - - - id: pl-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(2)[2] - prose: - """ - reviews and updates the current planning procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: pl-2 - class: SP800-53 - title: System Security Plan - parameters: - - - id: pl-2_prm_1 - label: organization-defined personnel or roles - - - id: pl-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-2 - - - name: sort-id - value: pl-02 - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-2_smt - name: statement - prose: The organization: - parts: - - - id: pl-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a security plan for the information system that: - parts: - - - id: pl-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Is consistent with the organization’s enterprise architecture; - - - id: pl-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Explicitly defines the authorization boundary for the system; - - - id: pl-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Provides an overview of the security requirements for the system; - - - id: pl-2_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: Identifies any relevant overlays, if applicable; - - - id: pl-2_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: - """ - Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and - """ - - - id: pl-2_smt.a.9 - name: item - properties: - - - name: label - value: 9. - prose: - """ - Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Distributes copies of the security plan and communicates subsequent changes to the - plan to {{ pl-2_prm_1 }}; - """ - - - id: pl-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the security plan for the information system {{ pl-2_prm_2 }}; - - - id: pl-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and - """ - - - id: pl-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: Protects the security plan from unauthorized disclosure and modification. - - - id: pl-2_gdn - name: guidance - prose: - """ - Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-7 - rel: related - text: PL-7 - - - href: #pm-1 - rel: related - text: PM-1 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-11 - rel: related - text: PM-11 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-17 - rel: related - text: SA-17 - - - id: pl-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-2.a_obj - name: objective - properties: - - - name: label - value: PL-2(a) - prose: develops a security plan for the information system that: - parts: - - - id: pl-2.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(1) - prose: is consistent with the organization’s enterprise architecture; - - - id: pl-2.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(2) - prose: explicitly defines the authorization boundary for the system; - - - id: pl-2.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(3) - prose: - """ - describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(4) - prose: - """ - provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(5) - prose: - """ - describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2.a.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(6) - prose: provides an overview of the security requirements for the system; - - - id: pl-2.a.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(7) - prose: identifies any relevant overlays, if applicable; - - - id: pl-2.a.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(8) - prose: - """ - describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions; - """ - - - id: pl-2.a.9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(a)(9) - prose: - """ - is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2.b_obj - name: objective - properties: - - - name: label - value: PL-2(b) - parts: - - - id: pl-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(b)[1] - prose: - """ - defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated; - """ - - - id: pl-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(b)[2] - prose: - """ - distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles; - """ - - - id: pl-2.c_obj - name: objective - properties: - - - name: label - value: PL-2(c) - parts: - - - id: pl-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(c)[1] - prose: - """ - defines the frequency to review the security plan for the information - system; - """ - - - id: pl-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(c)[2] - prose: - """ - reviews the security plan for the information system with the - organization-defined frequency; - """ - - - id: pl-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(d) - prose: updates the plan to address: - parts: - - - id: pl-2.d_obj.1 - name: objective - properties: - - - name: label - value: PL-2(d)[1] - prose: changes to the information system/environment of operation; - - - id: pl-2.d_obj.2 - name: objective - properties: - - - name: label - value: PL-2(d)[2] - prose: problems identified during plan implementation; - - - id: pl-2.d_obj.3 - name: objective - properties: - - - name: label - value: PL-2(d)[3] - prose: problems identified during security control assessments; - - - id: pl-2.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(e) - prose: protects the security plan from unauthorized: - parts: - - - id: pl-2.e_obj.1 - name: objective - properties: - - - name: label - value: PL-2(e)[1] - prose: disclosure; and - - - id: pl-2.e_obj.2 - name: objective - properties: - - - name: label - value: PL-2(e)[2] - prose: modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing security plan development and implementation\n\nprocedures addressing security plan reviews and updates\n\nenterprise architecture documentation\n\nsecurity plan for the information system\n\nrecords of security plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security plan development/review/update/approval\n\nautomated mechanisms supporting the information system security plan - controls: - - - id: pl-2.3 - class: SP800-53-enhancement - title: Plan / Coordinate with Other Organizational Entities - parameters: - - - id: pl-2.3_prm_1 - label: organization-defined individuals or groups - properties: - - - name: label - value: PL-2(3) - - - name: sort-id - value: pl-02.03 - parts: - - - id: pl-2.3_smt - name: statement - prose: - """ - The organization plans and coordinates security-related activities affecting the - information system with {{ pl-2.3_prm_1 }} before conducting such - activities in order to reduce the impact on other organizational entities. - """ - - - id: pl-2.3_gdn - name: guidance - prose: - """ - Security-related activities include, for example, security assessments, audits, - hardware and software maintenance, patch management, and contingency plan testing. - Advance planning and coordination includes emergency and nonemergency (i.e., - planned or nonurgent unplanned) situations. The process defined by organizations - to plan and coordinate security-related activities can be included in security - plans for information systems or other documents, as appropriate. - """ - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-4 - rel: related - text: IR-4 - - - id: pl-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(3)[1] - prose: - """ - defines individuals or groups with whom security-related activities affecting - the information system are to be planned and coordinated before conducting such - activities in order to reduce the impact on other organizational entities; - and - """ - - - id: pl-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-2(3)[2] - prose: - """ - plans and coordinates security-related activities affecting the information - system with organization-defined individuals or groups before conducting such - activities in order to reduce the impact on other organizational entities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security planning policy\n\naccess control policy\n\ncontingency planning policy\n\nprocedures addressing security-related activity planning for the information - system\n\nsecurity plan for the information system\n\ncontingency plan for the information system\n\ninformation system design documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational individuals or groups with whom security-related activities are - to be planned and coordinated\n\norganizational personnel with information security responsibilities - """ - - - id: pl-4 - class: SP800-53 - title: Rules of Behavior - parameters: - - - id: pl-4_prm_1 - label: organization-defined frequency - constraints: - - - detail: annually - properties: - - - name: label - value: PL-4 - - - name: sort-id - value: pl-04 - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-4_smt - name: statement - prose: The organization: - parts: - - - id: pl-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage; - """ - - - id: pl-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and - - - id: pl-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated. - """ - - - id: pl-4_gdn - name: guidance - prose: - """ - This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #mp-7 - rel: related - text: MP-7 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #ps-8 - rel: related - text: PS-8 - - - href: #sa-5 - rel: related - text: SA-5 - - - id: pl-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-4.a_obj - name: objective - properties: - - - name: label - value: PL-4(a) - parts: - - - id: pl-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-4(a)[1] - prose: - """ - establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage; - """ - - - id: pl-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(a)[2] - prose: - """ - makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage; - """ - - - id: pl-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(b) - prose: - """ - receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4.c_obj - name: objective - properties: - - - name: label - value: PL-4(c) - parts: - - - id: pl-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-4(c)[1] - prose: defines the frequency to review and update the rules of behavior; - - - id: pl-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(c)[2] - prose: - """ - reviews and updates the rules of behavior with the organization-defined - frequency; and - """ - - - id: pl-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(d) - prose: - """ - requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing rules of behavior for information system users\n\nrules of behavior\n\nsigned acknowledgements\n\nrecords for rules of behavior reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior\n\norganizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior - """ - controls: - - - id: pl-4.1 - class: SP800-53-enhancement - title: Social Media and Networking Restrictions - properties: - - - name: label - value: PL-4(1) - - - name: sort-id - value: pl-04.01 - parts: - - - id: pl-4.1_smt - name: statement - prose: - """ - The organization includes in the rules of behavior, explicit restrictions on the - use of social media/networking sites and posting organizational information on - public websites. - """ - - - id: pl-4.1_gdn - name: guidance - prose: - """ - This control enhancement addresses rules of behavior related to the use of social - media/networking sites: (i) when organizational personnel are using such sites for - official duties or in the conduct of official business; (ii) when organizational - information is involved in social media/networking transactions; and (iii) when - personnel are accessing social media/networking sites from organizational - information systems. Organizations also address specific rules that prevent - unauthorized entities from obtaining and/or inferring non-public organizational - information (e.g., system account information, personally identifiable - information) from social media/networking sites. - """ - - - id: pl-4.1_obj - name: objective - prose: Determine if the organization includes the following in the rules of behavior: - parts: - - - id: pl-4.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(1)[1] - prose: explicit restrictions on the use of social media/networking sites; and - - - id: pl-4.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(1)[2] - prose: posting organizational information on public websites. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing rules of behavior for information system users\n\nrules of behavior\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior\n\norganizational personnel who are authorized users of the information system and - have signed rules of behavior\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for establishing rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment of rules - of behavior - """ - - - id: pl-8 - class: SP800-53 - title: Information Security Architecture - parameters: - - - id: pl-8_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually or when a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-8 - - - name: sort-id - value: pl-08 - parts: - - - id: pl-8_smt - name: statement - prose: The organization: - parts: - - - id: pl-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops an information security architecture for the information system that: - parts: - - - id: pl-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Describes the overall philosophy, requirements, and approach to be taken with - regard to protecting the confidentiality, integrity, and availability of - organizational information; - """ - - - id: pl-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Describes how the information security architecture is integrated into and - supports the enterprise architecture; and - """ - - - id: pl-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Describes any information security assumptions about, and dependencies on, - external services; - """ - - - id: pl-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews and updates the information security architecture {{ pl-8_prm_1 }} to reflect updates in the enterprise architecture; - and - """ - - - id: pl-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that planned information security architecture changes are reflected in - the security plan, the security Concept of Operations (CONOPS), and organizational - procurements/acquisitions. - """ - - - id: pl-8_fr - name: item - title: PL-8(b) Additional FedRAMP Requirements and Guidance - parts: - - - id: pl-8_fr_gdn.b - name: guidance - properties: - - - name: label - value: (b) Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7. - - - id: pl-8_gdn - name: guidance - prose: - """ - This control addresses actions taken by organizations in the design and development - of information systems. The information security architecture at the individual - information system level is consistent with and complements the more global, - organization-wide information security architecture described in PM-7 that is - integral to and developed as part of the enterprise architecture. The information - security architecture includes an architectural description, the placement/allocation - of security functionality (including security controls), security-related information - for external interfaces, information being exchanged across the interfaces, and the - protection mechanisms associated with each interface. In addition, the security - architecture can include other important security-related information, for example, - user roles and access privileges assigned to each role, unique security requirements, - the types of information processed, stored, and transmitted by the information - system, restoration priorities of information and information system services, and - any other specific protection needs. In today’s modern architecture, it is becoming - less common for organizations to control all information resources. There are going - to be key dependencies on external information services and service providers. - Describing such dependencies in the information security architecture is important to - developing a comprehensive mission/business protection strategy. Establishing, - developing, documenting, and maintaining under configuration control, a baseline - configuration for organizational information systems is critical to implementing and - maintaining an effective information security architecture. The development of the - information security architecture is coordinated with the Senior Agency Official for - Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to - support privacy requirements are identified and effectively implemented. PL-8 is - primarily directed at organizations (i.e., internally focused) to help ensure that - organizations develop an information security architecture for the information - system, and that the security architecture is integrated with or tightly coupled to - the enterprise architecture through the organization-wide information security - architecture. In contrast, SA-17 is primarily directed at external information - technology product/system developers and integrators (although SA-17 could be used - internally within organizations for in-house system development). SA-17, which is - complementary to PL-8, is selected when organizations outsource the development of - information systems or information system components to external entities, and there - is a need to demonstrate/show consistency with the organization’s enterprise - architecture and information security architecture. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-17 - rel: related - text: SA-17 - - - href: https://doi.org/10.6028/NIST.SP.800-53r4 - rel: related - text: Appendix J - - - id: pl-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-8(a) - prose: - """ - develops an information security architecture for the information system that - describes: - """ - parts: - - - id: pl-8.a.1_obj - name: objective - properties: - - - name: label - value: PL-8(a)(1) - prose: - """ - the overall philosophy, requirements, and approach to be taken with regard to - protecting the confidentiality, integrity, and availability of organizational - information; - """ - - - id: pl-8.a.2_obj - name: objective - properties: - - - name: label - value: PL-8(a)(2) - prose: - """ - how the information security architecture is integrated into and supports the - enterprise architecture; - """ - - - id: pl-8.a.3_obj - name: objective - properties: - - - name: label - value: PL-8(a)(3) - prose: - """ - any information security assumptions about, and dependencies on, external - services; - """ - - - id: pl-8.b_obj - name: objective - properties: - - - name: label - value: PL-8(b) - parts: - - - id: pl-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-8(b)[1] - prose: - """ - defines the frequency to review and update the information security - architecture; - """ - - - id: pl-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-8(b)[2] - prose: - """ - reviews and updates the information security architecture with the - organization-defined frequency to reflect updates in the enterprise - architecture; - """ - - - id: pl-8.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-8(c) - prose: - """ - ensures that planned information security architecture changes are reflected - in: - """ - parts: - - - id: pl-8.c_obj.1 - name: objective - properties: - - - name: label - value: PL-8(c)[1] - prose: the security plan; - - - id: pl-8.c_obj.2 - name: objective - properties: - - - name: label - value: PL-8(c)[2] - prose: the security Concept of Operations (CONOPS); and - - - id: pl-8.c_obj.3 - name: objective - properties: - - - name: label - value: PL-8(c)[3] - prose: the organizational procurements/acquisitions. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing information security architecture development\n\nprocedures addressing information security architecture reviews and updates\n\nenterprise architecture documentation\n\ninformation security architecture documentation\n\nsecurity plan for the information system\n\nsecurity CONOPS for the information system\n\nrecords of information security architecture reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational personnel with information security architecture development - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing, reviewing, and updating the information - security architecture\n\nautomated mechanisms supporting and/or implementing the development, review, and - update of the information security architecture - """ - - - id: ps - class: family - title: Personnel Security - controls: - - - id: ps-1 - class: SP800-53 - title: Personnel Security Policy and Procedures - parameters: - - - id: ps-1_prm_1 - label: organization-defined personnel or roles - - - id: ps-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ps-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-1 - - - name: sort-id - value: ps-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ps-1_smt - name: statement - prose: The organization: - parts: - - - id: ps-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ps-1_prm_1 }}: - parts: - - - id: ps-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ps-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and - """ - - - id: ps-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ps-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Personnel security policy {{ ps-1_prm_2 }}; and - - - id: ps-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Personnel security procedures {{ ps-1_prm_3 }}. - - - id: ps-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ps-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-1.a_obj - name: objective - properties: - - - name: label - value: PS-1(a) - parts: - - - id: ps-1.a.1_obj - name: objective - properties: - - - name: label - value: PS-1(a)(1) - parts: - - - id: ps-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(1)[1] - prose: develops and documents an personnel security policy that addresses: - parts: - - - id: ps-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][a] - prose: purpose; - - - id: ps-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][b] - prose: scope; - - - id: ps-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][c] - prose: roles; - - - id: ps-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][d] - prose: responsibilities; - - - id: ps-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][e] - prose: management commitment; - - - id: ps-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ps-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][g] - prose: compliance; - - - id: ps-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the personnel security policy is to be - disseminated; - """ - - - id: ps-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-1(a)(1)[3] - prose: - """ - disseminates the personnel security policy to organization-defined personnel - or roles; - """ - - - id: ps-1.a.2_obj - name: objective - properties: - - - name: label - value: PS-1(a)(2) - parts: - - - id: ps-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls; - """ - - - id: ps-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ps-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ps-1.b_obj - name: objective - properties: - - - name: label - value: PS-1(b) - parts: - - - id: ps-1.b.1_obj - name: objective - properties: - - - name: label - value: PS-1(b)(1) - parts: - - - id: ps-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current personnel security - policy; - """ - - - id: ps-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(1)[2] - prose: - """ - reviews and updates the current personnel security policy with the - organization-defined frequency; - """ - - - id: ps-1.b.2_obj - name: objective - properties: - - - name: label - value: PS-1(b)(2) - parts: - - - id: ps-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current personnel security - procedures; and - """ - - - id: ps-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(2)[2] - prose: - """ - reviews and updates the current personnel security procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ps-2 - class: SP800-53 - title: Position Risk Designation - parameters: - - - id: ps-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: label - value: PS-2 - - - name: sort-id - value: ps-02 - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - parts: - - - id: ps-2_smt - name: statement - prose: The organization: - parts: - - - id: ps-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Assigns a risk designation to all organizational positions; - - - id: ps-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishes screening criteria for individuals filling those positions; and - - - id: ps-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates position risk designations {{ ps-2_prm_1 }}. - - - id: ps-2_gdn - name: guidance - prose: - """ - Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances). - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: ps-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-2(a) - prose: assigns a risk designation to all organizational positions; - - - id: ps-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-2(b) - prose: establishes screening criteria for individuals filling those positions; - - - id: ps-2.c_obj - name: objective - properties: - - - name: label - value: PS-2(c) - parts: - - - id: ps-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-2(c)[1] - prose: defines the frequency to review and update position risk designations; and - - - id: ps-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-2(c)[2] - prose: - """ - reviews and updates position risk designations with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing position categorization\n\nappropriate codes of federal regulations\n\nlist of risk designations for organizational positions\n\nsecurity plan\n\nrecords of position risk designation reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for assigning, reviewing, and updating position risk - designations\n\norganizational processes for establishing screening criteria - """ - - - id: ps-3 - class: SP800-53 - title: Personnel Screening - parameters: - - - id: ps-3_prm_1 - label: - """ - organization-defined conditions requiring rescreening and, where rescreening is - so indicated, the frequency of such rescreening - """ - constraints: - - - detail: for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-3 - - - name: sort-id - value: ps-03 - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - parts: - - - id: ps-3_smt - name: statement - prose: The organization: - parts: - - - id: ps-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Screens individuals prior to authorizing access to the information system; and - - - id: ps-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Rescreens individuals according to {{ ps-3_prm_1 }}. - - - id: ps-3_gdn - name: guidance - prose: - """ - Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-2 - rel: related - text: PS-2 - - - id: ps-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-3(a) - prose: screens individuals prior to authorizing access to the information system; - - - id: ps-3.b_obj - name: objective - properties: - - - name: label - value: PS-3(b) - parts: - - - id: ps-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(b)[1] - prose: defines conditions requiring re-screening; - - - id: ps-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(b)[2] - prose: defines the frequency of re-screening where it is so indicated; and - - - id: ps-3.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(b)[3] - prose: - """ - re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for personnel screening - controls: - - - id: ps-3.3 - class: SP800-53-enhancement - title: Information with Special Protection Measures - parameters: - - - id: ps-3.3_prm_1 - label: organization-defined additional personnel screening criteria - constraints: - - - detail: personnel screening criteria - as required by specific information - properties: - - - name: label - value: PS-3(3) - - - name: sort-id - value: ps-03.03 - parts: - - - id: ps-3.3_smt - name: statement - prose: - """ - The organization ensures that individuals accessing an information system - processing, storing, or transmitting information requiring special protection: - """ - parts: - - - id: ps-3.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Have valid access authorizations that are demonstrated by assigned official - government duties; and - """ - - - id: ps-3.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Satisfy {{ ps-3.3_prm_1 }}. - - - id: ps-3.3_gdn - name: guidance - prose: - """ - Organizational information requiring special protection includes, for example, - Controlled Unclassified Information (CUI) and Sources and Methods Information - (SAMI). Personnel security criteria include, for example, position sensitivity - background screening requirements. - """ - - - id: ps-3.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-3.3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(3)(a) - prose: - """ - ensures that individuals accessing an information system processing, storing, - or transmitting information requiring special protection have valid access - authorizations that are demonstrated by assigned official government - duties; - """ - links: - - - href: #ps-3.3_smt.a - rel: corresp - text: PS-3(3)(a) - - - id: ps-3.3.b_obj - name: objective - properties: - - - name: label - value: PS-3(3)(b) - parts: - - - id: ps-3.3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(3)(b)[1] - prose: - """ - defines additional personnel screening criteria to be satisfied for - individuals accessing an information system processing, storing, or - transmitting information requiring special protection; and - """ - - - id: ps-3.3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(3)(b)[2] - prose: - """ - ensures that individuals accessing an information system processing, - storing, or transmitting information requiring special protection satisfy - organization-defined additional personnel screening criteria. - """ - links: - - - href: #ps-3.3_smt.b - rel: corresp - text: PS-3(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\naccess control policy, procedures addressing personnel screening\n\nrecords of screened personnel\n\nscreening criteria\n\nrecords of access authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for ensuring valid access authorizations for - information requiring special protection\n\norganizational process for additional personnel screening for information - requiring special protection - """ - - - id: ps-4 - class: SP800-53 - title: Personnel Termination - parameters: - - - id: ps-4_prm_1 - label: organization-defined time period - constraints: - - - detail: eight (8) hours - - - id: ps-4_prm_2 - label: organization-defined information security topics - - - id: ps-4_prm_3 - label: organization-defined personnel or roles - - - id: ps-4_prm_4 - label: organization-defined time period - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-4 - - - name: sort-id - value: ps-04 - parts: - - - id: ps-4_smt - name: statement - prose: The organization, upon termination of individual employment: - parts: - - - id: ps-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Disables information system access within {{ ps-4_prm_1 }}; - - - id: ps-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }}; - - - id: ps-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Retains access to organizational information and information systems formerly - controlled by terminated individual; and - """ - - - id: ps-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}. - - - id: ps-4_gdn - name: guidance - prose: - """ - Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-4_obj - name: objective - prose: Determine if the organization, upon termination of individual employment,: - parts: - - - id: ps-4.a_obj - name: objective - properties: - - - name: label - value: PS-4(a) - parts: - - - id: ps-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(a)[1] - prose: defines a time period within which to disable information system access; - - - id: ps-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(a)[2] - prose: - """ - disables information system access within the organization-defined time - period; - """ - - - id: ps-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(b) - prose: - """ - terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4.c_obj - name: objective - properties: - - - name: label - value: PS-4(c) - parts: - - - id: ps-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(c)[1] - prose: - """ - defines information security topics to be discussed when conducting exit - interviews; - """ - - - id: ps-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(c)[2] - prose: - """ - conducts exit interviews that include a discussion of organization-defined - information security topics; - """ - - - id: ps-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(d) - prose: - """ - retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(e) - prose: - """ - retains access to organizational information and information systems formerly - controlled by the terminated individual; - """ - - - id: ps-4.f_obj - name: objective - properties: - - - name: label - value: PS-4(f) - parts: - - - id: ps-4.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(f)[1] - prose: defines personnel or roles to be notified of the termination; - - - id: ps-4.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(f)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles; and - """ - - - id: ps-4.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(f)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel termination\n\nrecords of personnel termination actions\n\nlist of information system accounts\n\nrecords of terminated or revoked authenticators/credentials\n\nrecords of exit interviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - controls: - - - id: ps-4.2 - class: SP800-53-enhancement - title: Automated Notification - parameters: - - - id: ps-4.2_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: access control personnel responsible for disabling access to the system - properties: - - - name: label - value: PS-4(2) - - - name: sort-id - value: ps-04.02 - parts: - - - id: ps-4.2_smt - name: statement - prose: The organization employs automated mechanisms to notify {{ ps-4.2_prm_1 }} upon termination of an individual. - - - id: ps-4.2_gdn - name: guidance - prose: - """ - In organizations with a large number of employees, not all personnel who need to - know about termination actions receive the appropriate notifications—or, if such - notifications are received, they may not occur in a timely manner. Automated - mechanisms can be used to send automatic alerts or notifications to specific - organizational personnel or roles (e.g., management personnel, supervisors, - personnel security officers, information security officers, systems - administrators, or information technology administrators) when individuals are - terminated. Such automatic alerts or notifications can be conveyed in a variety of - ways, including, for example, telephonically, via electronic mail, via text - message, or via websites. - """ - - - id: ps-4.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-4.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(2)[1] - prose: - """ - defines personnel or roles to be notified upon termination of an individual; - and - """ - - - id: ps-4.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(2)[2] - prose: - """ - employs automated mechanisms to notify organization-defined personnel or roles - upon termination of an individual. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel termination\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of personnel termination actions\n\nautomated notifications of employee terminations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination - notifications - """ - - - id: ps-5 - class: SP800-53 - title: Personnel Transfer - parameters: - - - id: ps-5_prm_1 - label: organization-defined transfer or reassignment actions - - - id: ps-5_prm_2 - label: organization-defined time period following the formal transfer action - constraints: - - - detail: twenty-four (24) hours - - - id: ps-5_prm_3 - label: organization-defined personnel or roles - - - id: ps-5_prm_4 - label: organization-defined time period - constraints: - - - detail: twenty-four (24) hours - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-5 - - - name: sort-id - value: ps-05 - parts: - - - id: ps-5_smt - name: statement - prose: The organization: - parts: - - - id: ps-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization; - """ - - - id: ps-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }}; - - - id: ps-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and - """ - - - id: ps-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}. - - - id: ps-5_gdn - name: guidance - prose: - """ - This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-4 - rel: related - text: PS-4 - - - id: ps-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-5.a_obj - name: objective - properties: - - - name: label - value: PS-5(a) - prose: - """ - when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current: - """ - parts: - - - id: ps-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-5(a)[1] - prose: logical access authorizations to information systems; - - - id: ps-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-5(a)[2] - prose: physical access authorizations to information systems and facilities; - - - id: ps-5.b_obj - name: objective - properties: - - - name: label - value: PS-5(b) - parts: - - - id: ps-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(b)[1] - prose: - """ - defines transfer or reassignment actions to be initiated following transfer or - reassignment; - """ - - - id: ps-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(b)[2] - prose: - """ - defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment; - """ - - - id: ps-5.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(b)[3] - prose: - """ - initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment; - """ - - - id: ps-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(c) - prose: - """ - modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; - """ - - - id: ps-5.d_obj - name: objective - properties: - - - name: label - value: PS-5(d) - parts: - - - id: ps-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(d)[1] - prose: - """ - defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization; - """ - - - id: ps-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(d)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and - """ - - - id: ps-5.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(d)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel transfer\n\nsecurity plan\n\nrecords of personnel transfer actions\n\nlist of information system and facility access authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel transfer\n\nautomated mechanisms supporting and/or implementing personnel transfer - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-6 - class: SP800-53 - title: Access Agreements - parameters: - - - id: ps-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ps-6_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually and any time there is a change to the user's level of access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-6 - - - name: sort-id - value: ps-06 - parts: - - - id: ps-6_smt - name: statement - prose: The organization: - parts: - - - id: ps-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the access agreements {{ ps-6_prm_1 }}; and - - - id: ps-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that individuals requiring access to organizational information and - information systems: - """ - parts: - - - id: ps-6_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: Sign appropriate access agreements prior to being granted access; and - - - id: ps-6_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or {{ ps-6_prm_2 }}. - """ - - - id: ps-6_gdn - name: guidance - prose: - """ - Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-8 - rel: related - text: PS-8 - - - id: ps-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(a) - prose: - """ - develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6.b_obj - name: objective - properties: - - - name: label - value: PS-6(b) - parts: - - - id: ps-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(b)[1] - prose: defines the frequency to review and update the access agreements; - - - id: ps-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(b)[2] - prose: - """ - reviews and updates the access agreements with the organization-defined - frequency; - """ - - - id: ps-6.c_obj - name: objective - properties: - - - name: label - value: PS-6(c) - parts: - - - id: ps-6.c.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-6(c)(1) - prose: - """ - ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access; - """ - - - id: ps-6.c.2_obj - name: objective - properties: - - - name: label - value: PS-6(c)(2) - parts: - - - id: ps-6.c.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(c)(2)[1] - prose: - """ - defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated; - """ - - - id: ps-6.c.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-6(c)(2)[2] - prose: - """ - ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Personnel security policy\n\nprocedures addressing access agreements for organizational information and - information systems\n\nsecurity plan\n\naccess agreements\n\nrecords of access agreement reviews and updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed/resigned access agreements\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for access agreements\n\nautomated mechanisms supporting access agreements - - - id: ps-7 - class: SP800-53 - title: Third-party Personnel Security - parameters: - - - id: ps-7_prm_1 - label: organization-defined personnel or roles - - - id: ps-7_prm_2 - label: organization-defined time period - constraints: - - - detail: terminations: immediately; transfers: within twenty-four (24) hours - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-7 - - - name: sort-id - value: ps-07 - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: ps-7_smt - name: statement - prose: The organization: - parts: - - - id: ps-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes personnel security requirements including security roles and - responsibilities for third-party providers; - """ - - - id: ps-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: Documents personnel security requirements; - - - id: ps-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires third-party providers to notify {{ ps-7_prm_1 }} of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within {{ ps-7_prm_2 }}; and - """ - - - id: ps-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: Monitors provider compliance. - - - id: ps-7_gdn - name: guidance - prose: - """ - Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated. - """ - links: - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sa-21 - rel: related - text: SA-21 - - - id: ps-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(a) - prose: - """ - establishes personnel security requirements, including security roles and - responsibilities, for third-party providers; - """ - - - id: ps-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-7(b) - prose: - """ - requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(c) - prose: documents personnel security requirements; - - - id: ps-7.d_obj - name: objective - properties: - - - name: label - value: PS-7(d) - parts: - - - id: ps-7.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[1] - prose: - """ - defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[2] - prose: - """ - defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[3] - prose: - """ - requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and - """ - - - id: ps-7.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-7(e) - prose: monitors provider compliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing third-party personnel security\n\nlist of personnel security requirements\n\nacquisition documents\n\nservice-level agreements\n\ncompliance monitoring process\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\nthird-party providers\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing and monitoring third-party personnel - security\n\nautomated mechanisms supporting and/or implementing monitoring of provider - compliance - """ - - - id: ps-8 - class: SP800-53 - title: Personnel Sanctions - parameters: - - - id: ps-8_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: at a minimum, the ISSO and/or similar role within the organization - - - id: ps-8_prm_2 - label: organization-defined time period - properties: - - - name: label - value: PS-8 - - - name: sort-id - value: ps-08 - parts: - - - id: ps-8_smt - name: statement - prose: The organization: - parts: - - - id: ps-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and - """ - - - id: ps-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }} - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction. - """ - - - id: ps-8_gdn - name: guidance - prose: - """ - Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(a) - prose: - """ - employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; - """ - - - id: ps-8.b_obj - name: objective - properties: - - - name: label - value: PS-8(b) - parts: - - - id: ps-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(b)[1] - prose: - """ - defines personnel or roles to be notified when a formal employee sanctions - process is initiated; - """ - - - id: ps-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(b)[2] - prose: - """ - defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and - """ - - - id: ps-8.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-8(b)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel sanctions\n\nrules of behavior\n\nrecords of formal sanctions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing personnel sanctions\n\nautomated mechanisms supporting and/or implementing notifications - - - id: ra - class: family - title: Risk Assessment - controls: - - - id: ra-1 - class: SP800-53 - title: Risk Assessment Policy and Procedures - parameters: - - - id: ra-1_prm_1 - label: organization-defined personnel or roles - - - id: ra-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ra-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-1 - - - name: sort-id - value: ra-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ra-1_smt - name: statement - prose: The organization: - parts: - - - id: ra-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ra-1_prm_1 }}: - parts: - - - id: ra-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ra-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and - """ - - - id: ra-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ra-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Risk assessment policy {{ ra-1_prm_2 }}; and - - - id: ra-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Risk assessment procedures {{ ra-1_prm_3 }}. - - - id: ra-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-1.a_obj - name: objective - properties: - - - name: label - value: RA-1(a) - parts: - - - id: ra-1.a.1_obj - name: objective - properties: - - - name: label - value: RA-1(a)(1) - parts: - - - id: ra-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(1)[1] - prose: develops and documents a risk assessment policy that addresses: - parts: - - - id: ra-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][a] - prose: purpose; - - - id: ra-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][b] - prose: scope; - - - id: ra-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][c] - prose: roles; - - - id: ra-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ra-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][e] - prose: management commitment; - - - id: ra-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ra-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][g] - prose: compliance; - - - id: ra-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the risk assessment policy is to be - disseminated; - """ - - - id: ra-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: RA-1(a)(1)[3] - prose: - """ - disseminates the risk assessment policy to organization-defined personnel or - roles; - """ - - - id: ra-1.a.2_obj - name: objective - properties: - - - name: label - value: RA-1(a)(2) - parts: - - - id: ra-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls; - """ - - - id: ra-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ra-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: RA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ra-1.b_obj - name: objective - properties: - - - name: label - value: RA-1(b) - parts: - - - id: ra-1.b.1_obj - name: objective - properties: - - - name: label - value: RA-1(b)(1) - parts: - - - id: ra-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - policy; - """ - - - id: ra-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(1)[2] - prose: - """ - reviews and updates the current risk assessment policy with the - organization-defined frequency; - """ - - - id: ra-1.b.2_obj - name: objective - properties: - - - name: label - value: RA-1(b)(2) - parts: - - - id: ra-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - procedures; and - """ - - - id: ra-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(2)[2] - prose: - """ - reviews and updates the current risk assessment procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: risk assessment policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ra-2 - class: SP800-53 - title: Security Categorization - properties: - - - name: label - value: RA-2 - - - name: sort-id - value: ra-02 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - parts: - - - id: ra-2_smt - name: statement - prose: The organization: - parts: - - - id: ra-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision. - """ - - - id: ra-2_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted. - """ - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: ra-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-2(a) - prose: - """ - categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-2(b) - prose: - """ - documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-2(c) - prose: - """ - ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing security categorization of organizational information and - information systems\n\nsecurity plan\n\nsecurity categorization documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security categorization and risk assessment - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security categorization - - - id: ra-3 - class: SP800-53 - title: Risk Assessment - parameters: - - - id: ra-3_prm_1 - - - id: ra-3_prm_2 - depends-on: ra-3_prm_1 - label: organization-defined document - constraints: - - - detail: security assessment report - - - id: ra-3_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - - - id: ra-3_prm_4 - label: organization-defined personnel or roles - - - id: ra-3_prm_5 - label: organization-defined frequency - constraints: - - - detail: annually - properties: - - - name: label - value: RA-3 - - - name: sort-id - value: ra-03 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ra-3_smt - name: statement - prose: The organization: - parts: - - - id: ra-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits; - """ - - - id: ra-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Documents risk assessment results in {{ ra-3_prm_1 }}; - - - id: ra-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews risk assessment results {{ ra-3_prm_3 }}; - - - id: ra-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Disseminates risk assessment results to {{ ra-3_prm_4 }}; and - - - id: ra-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system. - """ - - - id: ra-3_fr - name: item - title: RA-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F - - - id: ra-3_fr_smt.d - name: item - properties: - - - name: label - value: RA-3 (d) Requirement: - prose: Include all Authorizing Officials; for JAB authorizations to include FedRAMP. - - - id: ra-3_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation. - """ - links: - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-3.a_obj - name: objective - properties: - - - name: label - value: RA-3(a) - prose: - """ - conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of: - """ - parts: - - - id: ra-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(a)[1] - prose: the information system; - - - id: ra-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(a)[2] - prose: the information the system processes, stores, or transmits; - - - id: ra-3.b_obj - name: objective - properties: - - - name: label - value: RA-3(b) - parts: - - - id: ra-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(b)[1] - prose: - """ - defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report); - """ - - - id: ra-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(b)[2] - prose: documents risk assessment results in one of the following: - parts: - - - id: ra-3.b_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(b)[2][a] - prose: the security plan; - - - id: ra-3.b_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(b)[2][b] - prose: the risk assessment report; or - - - id: ra-3.b_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(b)[2][c] - prose: the organization-defined document; - - - id: ra-3.c_obj - name: objective - properties: - - - name: label - value: RA-3(c) - parts: - - - id: ra-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(c)[1] - prose: defines the frequency to review risk assessment results; - - - id: ra-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(c)[2] - prose: reviews risk assessment results with the organization-defined frequency; - - - id: ra-3.d_obj - name: objective - properties: - - - name: label - value: RA-3(d) - parts: - - - id: ra-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(d)[1] - prose: - """ - defines personnel or roles to whom risk assessment results are to be - disseminated; - """ - - - id: ra-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(d)[2] - prose: - """ - disseminates risk assessment results to organization-defined personnel or - roles; - """ - - - id: ra-3.e_obj - name: objective - properties: - - - name: label - value: RA-3(e) - parts: - - - id: ra-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(e)[1] - prose: defines the frequency to update the risk assessment; - - - id: ra-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(e)[2] - prose: updates the risk assessment: - parts: - - - id: ra-3.e_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(e)[2][a] - prose: with the organization-defined frequency; - - - id: ra-3.e_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(e)[2][b] - prose: - """ - whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and - """ - - - id: ra-3.e_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(e)[2][c] - prose: - """ - whenever there are other conditions that may impact the security state of - the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nsecurity plan\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment - """ - - - id: ra-5 - class: SP800-53 - title: Vulnerability Scanning - parameters: - - - id: ra-5_prm_1 - label: - """ - organization-defined frequency and/or randomly in accordance with - organization-defined process - """ - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - - - id: ra-5_prm_2 - label: organization-defined response times - constraints: - - - detail: high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - id: ra-5_prm_3 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5 - - - name: sort-id - value: ra-05 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #15522e92-9192-463d-9646-6a01982db8ca - rel: reference - text: http://cwe.mitre.org - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - parts: - - - id: ra-5_smt - name: statement - prose: The organization: - parts: - - - id: ra-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Scans for vulnerabilities in the information system and hosted applications - {{ ra-5_prm_1 }} and when new vulnerabilities potentially - affecting the system/applications are identified and reported; - """ - - - id: ra-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Enumerating platforms, software flaws, and improper configurations; - - - id: ra-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Formatting checklists and test procedures; and - - - id: ra-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: Measuring vulnerability impact; - - - id: ra-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Analyzes vulnerability scan reports and results from security control - assessments; - """ - - - id: ra-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in - accordance with an organizational assessment of risk; and - """ - - - id: ra-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Shares information obtained from the vulnerability scanning process and security - control assessments with {{ ra-5_prm_3 }} to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - id: ra-5_fr_smt.a - name: item - title: RA-5(a) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (a)Requirement: - prose: An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. - - - id: ra-5_fr_smt.e - name: item - title: RA-5(e) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (e)Requirement: - prose: To include all Authorizing Officials; for JAB authorizations to include FedRAMP. - - - id: ra-5_fr - name: item - title: RA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - - **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)) - """ - - - id: ra-5_gdn - name: guidance - prose: - """ - Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS). - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ra-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.a_obj - name: objective - properties: - - - name: label - value: RA-5(a) - parts: - - - id: ra-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(a)[1] - parts: - - - id: ra-5.a_obj.1.a - name: objective - properties: - - - name: label - value: RA-5(a)[1][a] - prose: - """ - defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or - """ - - - id: ra-5.a_obj.1.b - name: objective - properties: - - - name: label - value: RA-5(a)[1][b] - prose: - """ - defines the process for conducting random vulnerability scans on the - information system and hosted applications; - """ - - - id: ra-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(a)[2] - prose: - """ - in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.2.a - name: objective - properties: - - - name: label - value: RA-5(a)[2][a] - prose: the information system; - - - id: ra-5.a_obj.2.b - name: objective - properties: - - - name: label - value: RA-5(a)[2][b] - prose: hosted applications; - - - id: ra-5.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(a)[3] - prose: - """ - when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.3.a - name: objective - properties: - - - name: label - value: RA-5(a)[3][a] - prose: the information system; - - - id: ra-5.a_obj.3.b - name: objective - properties: - - - name: label - value: RA-5(a)[3][b] - prose: hosted applications; - - - id: ra-5.b_obj - name: objective - properties: - - - name: label - value: RA-5(b) - prose: - """ - employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5.b.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(1) - parts: - - - id: ra-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[1] - prose: enumerating platforms; - - - id: ra-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[2] - prose: enumerating software flaws; - - - id: ra-5.b.1_obj.3 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[3] - prose: enumerating improper configurations; - - - id: ra-5.b.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(2) - parts: - - - id: ra-5.b.2_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[1] - prose: formatting checklists; - - - id: ra-5.b.2_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[2] - prose: formatting test procedures; - - - id: ra-5.b.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(3) - prose: measuring vulnerability impact; - - - id: ra-5.c_obj - name: objective - properties: - - - name: label - value: RA-5(c) - parts: - - - id: ra-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(c)[1] - prose: analyzes vulnerability scan reports; - - - id: ra-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(c)[2] - prose: analyzes results from security control assessments; - - - id: ra-5.d_obj - name: objective - properties: - - - name: label - value: RA-5(d) - parts: - - - id: ra-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(d)[1] - prose: - """ - defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk; - """ - - - id: ra-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(d)[2] - prose: - """ - remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk; - """ - - - id: ra-5.e_obj - name: objective - properties: - - - name: label - value: RA-5(e) - parts: - - - id: ra-5.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(e)[1] - prose: - """ - defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared; - """ - - - id: ra-5.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(e)[2] - prose: - """ - shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and - """ - - - id: ra-5.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(e)[3] - prose: - """ - shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with vulnerability remediation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing\n\nautomated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing - """ - controls: - - - id: ra-5.1 - class: SP800-53-enhancement - title: Update Tool Capability - properties: - - - name: label - value: RA-5(1) - - - name: sort-id - value: ra-05.01 - parts: - - - id: ra-5.1_smt - name: statement - prose: - """ - The organization employs vulnerability scanning tools that include the capability - to readily update the information system vulnerabilities to be scanned. - """ - - - id: ra-5.1_gdn - name: guidance - prose: - """ - The vulnerabilities to be scanned need to be readily updated as new - vulnerabilities are discovered, announced, and scanning methods developed. This - updating process helps to ensure that potential vulnerabilities in the information - system are identified and addressed as quickly as possible. - """ - links: - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ra-5.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs vulnerability scanning tools that include - the capability to readily update the information system vulnerabilities to be - scanned. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.2 - class: SP800-53-enhancement - title: Update by Frequency / Prior to New Scan / When Identified - parameters: - - - id: ra-5.2_prm_1 - constraints: - - - detail: prior to a new scan - - - id: ra-5.2_prm_2 - depends-on: ra-5.2_prm_1 - label: organization-defined frequency - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5(2) - - - name: sort-id - value: ra-05.02 - parts: - - - id: ra-5.2_smt - name: statement - prose: The organization updates the information system vulnerabilities scanned {{ ra-5.2_prm_1 }}. - - - id: ra-5.2_gdn - name: guidance - links: - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-5 - rel: related - text: SI-5 - - - id: ra-5.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(2)[1] - prose: - """ - defines the frequency to update the information system vulnerabilities - scanned; - """ - - - id: ra-5.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(2)[2] - prose: - """ - updates the information system vulnerabilities scanned one or more of the - following: - """ - parts: - - - id: ra-5.2_obj.2.a - name: objective - properties: - - - name: label - value: RA-5(2)[2][a] - prose: with the organization-defined frequency; - - - id: ra-5.2_obj.2.b - name: objective - properties: - - - name: label - value: RA-5(2)[2][b] - prose: prior to a new scan; and/or - - - id: ra-5.2_obj.2.c - name: objective - properties: - - - name: label - value: RA-5(2)[2][c] - prose: when new vulnerabilities are identified and reported. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.3 - class: SP800-53-enhancement - title: Breadth / Depth of Coverage - properties: - - - name: label - value: RA-5(3) - - - name: sort-id - value: ra-05.03 - parts: - - - id: ra-5.3_smt - name: statement - prose: - """ - The organization employs vulnerability scanning procedures that can identify the - breadth and depth of coverage (i.e., information system components scanned and - vulnerabilities checked). - """ - - - id: ra-5.3_obj - name: objective - prose: - """ - Determine if the organization employs vulnerability scanning procedures that can - identify: - """ - parts: - - - id: ra-5.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(3)[1] - prose: the breadth of coverage (i.e., information system components scanned); and - - - id: ra-5.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(3)[2] - prose: the depth of coverage (i.e., vulnerabilities checked). - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.4 - class: SP800-53-enhancement - title: Discoverable Information - parameters: - - - id: ra-5.4_prm_1 - label: organization-defined corrective actions - constraints: - - - detail: notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions - properties: - - - name: label - value: RA-5(4) - - - name: sort-id - value: ra-05.04 - parts: - - - id: ra-5.4_smt - name: statement - prose: - """ - The organization determines what information about the information system is - discoverable by adversaries and subsequently takes {{ ra-5.4_prm_1 }}. - """ - - - id: ra-5.4_gdn - name: guidance - prose: - """ - Discoverable information includes information that adversaries could obtain - without directly compromising or breaching the information system, for example, by - collecting information the system is exposing or by conducting extensive searches - of the web. Corrective actions can include, for example, notifying appropriate - organizational personnel, removing designated information, or changing the - information system to make designated information less relevant or attractive to - adversaries. - """ - links: - - - href: #au-13 - rel: related - text: AU-13 - - - id: ra-5.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(4)[1] - prose: - """ - defines corrective actions to be taken if information about the information - system is discoverable by adversaries; - """ - - - id: ra-5.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(4)[2] - prose: - """ - determines what information about the information system is discoverable by - adversaries; and - """ - - - id: ra-5.4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(4)[3] - prose: subsequently takes organization-defined corrective actions. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity assessment report\n\npenetration test results\n\nvulnerability scanning results\n\nrisk assessment report\n\nrecords of corrective actions taken\n\nincident response records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with vulnerability scanning and/or penetration testing - responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel responsible for risk response\n\norganizational personnel responsible for incident management and response\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\norganizational processes for risk response\n\norganizational processes for incident management and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning\n\nautomated mechanisms supporting and/or implementing risk response\n\nautomated mechanisms supporting and/or implementing incident management and - response - """ - - - id: ra-5.5 - class: SP800-53-enhancement - title: Privileged Access - parameters: - - - id: ra-5.5_prm_1 - label: organization-identified information system components - constraints: - - - detail: operating systems / web applications / databases - - - id: ra-5.5_prm_2 - label: organization-defined vulnerability scanning activities - constraints: - - - detail: all scans - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5(5) - - - name: sort-id - value: ra-05.05 - parts: - - - id: ra-5.5_smt - name: statement - prose: The information system implements privileged access authorization to {{ ra-5.5_prm_1 }} for selected {{ ra-5.5_prm_2 }}. - - - id: ra-5.5_gdn - name: guidance - prose: - """ - In certain situations, the nature of the vulnerability scanning may be more - intrusive or the information system component that is the subject of the scanning - may contain highly sensitive information. Privileged access authorization to - selected system components facilitates more thorough vulnerability scanning and - also protects the sensitive nature of such scanning. - """ - - - id: ra-5.5_obj - name: objective - prose: Determine if: - parts: - - - id: ra-5.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(5)[1] - prose: - """ - the organization defines information system components to which privileged - access is authorized for selected vulnerability scanning activities; - """ - - - id: ra-5.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(5)[2] - prose: - """ - the organization defines vulnerability scanning activities selected for - privileged access authorization to organization-defined information system - components; and - """ - - - id: ra-5.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(5)[3] - prose: - """ - the information system implements privileged access authorization to - organization-defined information system components for selected - organization-defined vulnerability scanning activities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system components for vulnerability scanning\n\npersonnel access authorization list\n\nauthorization credentials\n\naccess authorization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with vulnerability scanning responsibilities\n\nsystem/network administrators\n\norganizational personnel responsible for access control to the information - system\n\norganizational personnel responsible for configuration management of the - information system\n\nsystem developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\norganizational processes for access control\n\nautomated mechanisms supporting and/or implementing access control\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.6 - class: SP800-53-enhancement - title: Automated Trend Analyses - properties: - - - name: label - value: RA-5(6) - - - name: sort-id - value: ra-05.06 - parts: - - - id: ra-5.6_smt - name: statement - prose: - """ - The organization employs automated mechanisms to compare the results of - vulnerability scans over time to determine trends in information system - vulnerabilities. - """ - parts: - - - id: ra-5.6_fr - name: item - title: RA-5 (6) Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5.6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include in Continuous Monitoring ISSO digest/report to JAB/AO - - - id: ra-5.6_gdn - name: guidance - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ra-5.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to compare the results - of vulnerability scans over time to determine trends in information system - vulnerabilities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\ninformation system design documentation\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning\n\nautomated mechanisms supporting and/or implementing trend analysis of - vulnerability scan results - """ - - - id: ra-5.8 - class: SP800-53-enhancement - title: Review Historic Audit Logs - properties: - - - name: label - value: RA-5(8) - - - name: sort-id - value: ra-05.08 - parts: - - - id: ra-5.8_smt - name: statement - prose: - """ - The organization reviews historic audit logs to determine if a vulnerability - identified in the information system has been previously exploited. - """ - parts: - - - id: ra-5.8_fr - name: item - title: RA-5 (8) Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5.8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: This enhancement is required for all high vulnerability scan findings. - - - id: ra-5.8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability. - - - id: ra-5.8_gdn - name: guidance - links: - - - href: #au-6 - rel: related - text: AU-6 - - - id: ra-5.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization reviews historic audit logs to determine if a - vulnerability identified in the information system has been previously exploited. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\naudit logs\n\nrecords of audit log reviews\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with audit record review responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\norganizational process for audit record review and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning\n\nautomated mechanisms supporting and/or implementing audit record review - """ - - - id: ra-5.10 - class: SP800-53-enhancement - title: Correlate Scanning Information - properties: - - - name: label - value: RA-5(10) - - - name: sort-id - value: ra-05.10 - parts: - - - id: ra-5.10_smt - name: statement - prose: - """ - The organization correlates the output from vulnerability scanning tools to - determine the presence of multi-vulnerability/multi-hop attack vectors. - """ - parts: - - - id: ra-5.10_fr - name: item - title: RA-5 (10) Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5.10_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If multiple tools are not used, this control is not applicable. - - - id: ra-5.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization correlates the output from vulnerability scanning - tools to determine the presence of multi-vulnerability/multi-hop attack vectors. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nsecurity plan\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nvulnerability management records\n\naudit records\n\nevent/vulnerability correlation logs\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning\n\nautomated mechanisms implementing correlation of vulnerability scan results - """ - - - id: sa - class: family - title: System and Services Acquisition - controls: - - - id: sa-1 - class: SP800-53 - title: System and Services Acquisition Policy and Procedures - parameters: - - - id: sa-1_prm_1 - label: organization-defined personnel or roles - - - id: sa-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: sa-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SA-1 - - - name: sort-id - value: sa-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sa-1_smt - name: statement - prose: The organization: - parts: - - - id: sa-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sa-1_prm_1 }}: - parts: - - - id: sa-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: sa-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and - """ - - - id: sa-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sa-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System and services acquisition policy {{ sa-1_prm_2 }}; and - - - id: sa-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and services acquisition procedures {{ sa-1_prm_3 }}. - - - id: sa-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sa-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-1.a_obj - name: objective - properties: - - - name: label - value: SA-1(a) - parts: - - - id: sa-1.a.1_obj - name: objective - properties: - - - name: label - value: SA-1(a)(1) - parts: - - - id: sa-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(1)[1] - prose: - """ - develops and documents a system and services acquisition policy that - addresses: - """ - parts: - - - id: sa-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][a] - prose: purpose; - - - id: sa-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][b] - prose: scope; - - - id: sa-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][c] - prose: roles; - - - id: sa-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][d] - prose: responsibilities; - - - id: sa-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][e] - prose: management commitment; - - - id: sa-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sa-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][g] - prose: compliance; - - - id: sa-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and services acquisition - policy is to be disseminated; - """ - - - id: sa-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-1(a)(1)[3] - prose: - """ - disseminates the system and services acquisition policy to - organization-defined personnel or roles; - """ - - - id: sa-1.a.2_obj - name: objective - properties: - - - name: label - value: SA-1(a)(2) - parts: - - - id: sa-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls; - """ - - - id: sa-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sa-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sa-1.b_obj - name: objective - properties: - - - name: label - value: SA-1(b) - parts: - - - id: sa-1.b.1_obj - name: objective - properties: - - - name: label - value: SA-1(b)(1) - parts: - - - id: sa-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition policy; - """ - - - id: sa-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(1)[2] - prose: - """ - reviews and updates the current system and services acquisition policy with - the organization-defined frequency; - """ - - - id: sa-1.b.2_obj - name: objective - properties: - - - name: label - value: SA-1(b)(2) - parts: - - - id: sa-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition procedures; and - """ - - - id: sa-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(2)[2] - prose: - """ - reviews and updates the current system and services acquisition procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and services acquisition policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities - - - id: sa-2 - class: SP800-53 - title: Allocation of Resources - properties: - - - name: label - value: SA-2 - - - name: sort-id - value: sa-02 - links: - - - href: #29fcfe59-33cd-494a-8756-5907ae3a8f92 - rel: reference - text: NIST Special Publication 800-65 - parts: - - - id: sa-2_smt - name: statement - prose: The organization: - parts: - - - id: sa-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and - """ - - - id: sa-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - id: sa-2_gdn - name: guidance - prose: - """ - Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service. - """ - links: - - - href: #pm-3 - rel: related - text: PM-3 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: sa-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-2(a) - prose: - """ - determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-2(b) - prose: - """ - to protect the information system or information system service as part of its - capital planning and investment control process: - """ - parts: - - - id: sa-2.b_obj.1 - name: objective - properties: - - - name: label - value: SA-2(b)[1] - prose: determines the resources required; - - - id: sa-2.b_obj.2 - name: objective - properties: - - - name: label - value: SA-2(b)[2] - prose: documents the resources required; - - - id: sa-2.b_obj.3 - name: objective - properties: - - - name: label - value: SA-2(b)[3] - prose: allocates the resources required; and - - - id: sa-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-2(c) - prose: - """ - establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the allocation of resources to information security - requirements\n\nprocedures addressing capital planning and investment control\n\norganizational programming and budgeting documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities\n\norganizational personnel responsible for determining information security - requirements for information systems/services\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information security requirements\n\norganizational processes for capital planning, programming, and budgeting\n\nautomated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting - """ - - - id: sa-3 - class: SP800-53 - title: System Development Life Cycle - parameters: - - - id: sa-3_prm_1 - label: organization-defined system development life cycle - properties: - - - name: label - value: SA-3 - - - name: sort-id - value: sa-03 - links: - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - parts: - - - id: sa-3_smt - name: statement - prose: The organization: - parts: - - - id: sa-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Manages the information system using {{ sa-3_prm_1 }} that - incorporates information security considerations; - """ - - - id: sa-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - id: sa-3_gdn - name: guidance - prose: - """ - A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-8 - rel: related - text: SA-8 - - - id: sa-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-3.a_obj - name: objective - properties: - - - name: label - value: SA-3(a) - parts: - - - id: sa-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(a)[1] - prose: - """ - defines a system development life cycle that incorporates information security - considerations to be used to manage the information system; - """ - - - id: sa-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-3(a)[2] - prose: - """ - manages the information system using the organization-defined system - development life cycle; - """ - - - id: sa-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(b) - prose: - """ - defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(c) - prose: - """ - identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-3(d) - prose: - """ - integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security into the system - development life cycle process\n\ninformation system development life cycle documentation\n\ninformation security risk management strategy/program documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security and system life cycle - development responsibilities\n\norganizational personnel with information security risk management - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining and documenting the SDLC\n\norganizational processes for identifying SDLC roles and responsibilities\n\norganizational process for integrating information security risk management into - the SDLC\n\nautomated mechanisms supporting and/or implementing the SDLC - """ - - - id: sa-4 - class: SP800-53 - title: Acquisition Process - properties: - - - name: label - value: SA-4 - - - name: sort-id - value: sa-04 - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #1737a687-52fb-4008-b900-cbfa836f7b65 - rel: reference - text: ISO/IEC 15408 - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #0a5db899-f033-467f-8631-f5a8ba971475 - rel: reference - text: NIST Special Publication 800-23 - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - - - href: #d818efd3-db31-4953-8afa-9e76afe83ce2 - rel: reference - text: NIST Special Publication 800-36 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #56d671da-6b7b-4abf-8296-84b61980390a - rel: reference - text: Federal Acquisition Regulation - - - href: #c95a9986-3cd6-4a98-931b-ccfc56cb11e5 - rel: reference - text: http://www.niap-ccevs.org - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - - - href: #bbd50dd1-54ce-4432-959d-63ea564b1bb4 - rel: reference - text: http://www.acquisition.gov/far - parts: - - - id: sa-4_smt - name: statement - prose: - """ - The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs: - """ - parts: - - - id: sa-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Security functional requirements; - - - id: sa-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Security strength requirements; - - - id: sa-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Security assurance requirements; - - - id: sa-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Security-related documentation requirements; - - - id: sa-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Requirements for protecting security-related documentation; - - - id: sa-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Description of the information system development environment and environment in - which the system is intended to operate; and - """ - - - id: sa-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: Acceptance criteria. - - - id: sa-4_fr - name: item - title: SA-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html). - - - id: sa-4_gdn - name: guidance - prose: - """ - Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: sa-4_obj - name: objective - prose: - """ - Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs: - """ - parts: - - - id: sa-4.a_obj - name: objective - properties: - - - name: label - value: SA-4(a) - prose: security functional requirements; - - - id: sa-4.b_obj - name: objective - properties: - - - name: label - value: SA-4(b) - prose: security strength requirements; - - - id: sa-4.c_obj - name: objective - properties: - - - name: label - value: SA-4(c) - prose: security assurance requirements; - - - id: sa-4.d_obj - name: objective - properties: - - - name: label - value: SA-4(d) - prose: security-related documentation requirements; - - - id: sa-4.e_obj - name: objective - properties: - - - name: label - value: SA-4(e) - prose: requirements for protecting security-related documentation; - - - id: sa-4.f_obj - name: objective - properties: - - - name: label - value: SA-4(f) - prose: description of: - parts: - - - id: sa-4.f_obj.1 - name: objective - properties: - - - name: label - value: SA-4(f)[1] - prose: the information system development environment; - - - id: sa-4.f_obj.2 - name: objective - properties: - - - name: label - value: SA-4(f)[2] - prose: the environment in which the system is intended to operate; and - - - id: sa-4.g_obj - name: objective - properties: - - - name: label - value: SA-4(g) - prose: acceptance criteria. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nacquisition contracts for the information system, system component, or information - system service\n\ninformation system design documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information system security functional, - strength, and assurance requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts - """ - controls: - - - id: sa-4.1 - class: SP800-53-enhancement - title: Functional Properties of Security Controls - properties: - - - name: label - value: SA-4(1) - - - name: sort-id - value: sa-04.01 - parts: - - - id: sa-4.1_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to provide a description of the - functional properties of the security controls to be employed. - """ - - - id: sa-4.1_gdn - name: guidance - prose: - """ - Functional properties of security controls describe the functionality (i.e., - security capability, functions, or mechanisms) visible at the interfaces of the - controls and specifically exclude functionality and data structures internal to - the operation of the controls. - """ - links: - - - href: #sa-5 - rel: related - text: SA-5 - - - id: sa-4.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to provide a description of the - functional properties of the security controls to be employed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security functional requirements\n\ninformation system developer or service provider\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information system security - functional, requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and inclusion - of security requirements in contracts - """ - - - id: sa-4.2 - class: SP800-53-enhancement - title: Design / Implementation Information for Security Controls - parameters: - - - id: sa-4.2_prm_1 - constraints: - - - detail: at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information] - - - id: sa-4.2_prm_2 - depends-on: sa-4.2_prm_1 - label: organization-defined design/implementation information - - - id: sa-4.2_prm_3 - label: organization-defined level of detail - properties: - - - name: label - value: SA-4(2) - - - name: sort-id - value: sa-04.02 - parts: - - - id: sa-4.2_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to provide design and implementation - information for the security controls to be employed that includes: {{ sa-4.2_prm_1 }} at {{ sa-4.2_prm_3 }}. - """ - - - id: sa-4.2_gdn - name: guidance - prose: - """ - Organizations may require different levels of detail in design and implementation - documentation for security controls employed in organizational information - systems, system components, or information system services based on - mission/business requirements, requirements for trustworthiness/resiliency, and - requirements for analysis and testing. Information systems can be partitioned into - multiple subsystems. Each subsystem within the system can contain one or more - modules. The high-level design for the system is expressed in terms of multiple - subsystems and the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed in terms of - modules with particular emphasis on software and firmware (but not excluding - hardware) and the interfaces between modules providing security-relevant - functionality. Source code and hardware schematics are typically referred to as - the implementation representation of the information system. - """ - links: - - - href: #sa-5 - rel: related - text: SA-5 - - - id: sa-4.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-4.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-4(2)[1] - prose: - """ - defines level of detail that the developer is required to provide in design and - implementation information for the security controls to be employed in the - information system, system component, or information system service; - """ - - - id: sa-4.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-4(2)[2] - prose: - """ - defines design/implementation information that the developer is to provide for - the security controls to be employed (if selected); - """ - - - id: sa-4.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-4(2)[3] - prose: - """ - requires the developer of the information system, system component, or - information system service to provide design and implementation information for - the security controls to be employed that includes, at the organization-defined - level of detail, one or more of the following: - """ - parts: - - - id: sa-4.2_obj.3.a - name: objective - properties: - - - name: label - value: SA-4(2)[3][a] - prose: security-relevant external system interfaces; - - - id: sa-4.2_obj.3.b - name: objective - properties: - - - name: label - value: SA-4(2)[3][b] - prose: high-level design; - - - id: sa-4.2_obj.3.c - name: objective - properties: - - - name: label - value: SA-4(2)[3][c] - prose: low-level design; - - - id: sa-4.2_obj.3.d - name: objective - properties: - - - name: label - value: SA-4(2)[3][d] - prose: source code; - - - id: sa-4.2_obj.3.e - name: objective - properties: - - - name: label - value: SA-4(2)[3][e] - prose: hardware schematics; and/or - - - id: sa-4.2_obj.3.f - name: objective - properties: - - - name: label - value: SA-4(2)[3][f] - prose: organization-defined design/implementation information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the information system, system components, or - information system services\n\ndesign and implementation information for security controls employed in the - information system, system component, or information system service\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\ninformation system developer or service provider\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining level of detail for system design and - security controls\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing development of system - design details - """ - - - id: sa-4.8 - class: SP800-53-enhancement - title: Continuous Monitoring Plan - parameters: - - - id: sa-4.8_prm_1 - label: organization-defined level of detail - constraints: - - - detail: at least the minimum requirement as defined in control CA-7 - properties: - - - name: label - value: SA-4(8) - - - name: sort-id - value: sa-04.08 - parts: - - - id: sa-4.8_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to produce a plan for the continuous - monitoring of security control effectiveness that contains {{ sa-4.8_prm_1 }}. - """ - parts: - - - id: sa-4.8_fr - name: item - title: SA-4 (8) Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4.8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSP must use the same security standards regardless of where the system component or information system service is acquired. - - - id: sa-4.8_gdn - name: guidance - prose: - """ - The objective of continuous monitoring plans is to determine if the complete set - of planned, required, and deployed security controls within the information - system, system component, or information system service continue to be effective - over time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that the information - can be incorporated into the continuous monitoring strategies and programs - implemented by organizations. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - id: sa-4.8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-4.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-4(8)[1] - prose: - """ - defines the level of detail the developer of the information system, system - component, or information system service is required to provide when producing - a plan for the continuous monitoring of security control effectiveness; and - """ - - - id: sa-4.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-4(8)[2] - prose: - """ - requires the developer of the information system, system component, or - information system service to produce a plan for the continuous monitoring of - security control effectiveness that contains the organization-defined level of - detail. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing developer continuous monitoring plans\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\ndeveloper continuous monitoring plans\n\nsecurity assessment plans\n\nacquisition contracts for the information system, system component, or - information system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice-level agreements\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Vendor processes for continuous monitoring\n\nautomated mechanisms supporting and/or implementing developer continuous - monitoring - """ - - - id: sa-4.9 - class: SP800-53-enhancement - title: Functions / Ports / Protocols / Services in Use - properties: - - - name: label - value: SA-4(9) - - - name: sort-id - value: sa-04.09 - parts: - - - id: sa-4.9_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to identify early in the system - development life cycle, the functions, ports, protocols, and services intended for - organizational use. - """ - - - id: sa-4.9_gdn - name: guidance - prose: - """ - The identification of functions, ports, protocols, and services early in the - system development life cycle (e.g., during the initial requirements definition - and design phases) allows organizations to influence the design of the information - system, information system component, or information system service. This early - involvement in the life cycle helps organizations to avoid or minimize the use of - functions, ports, protocols, or services that pose unnecessarily high risks and - understand the trade-offs involved in blocking specific ports, protocols, or - services (or when requiring information system service providers to do so). Early - identification of functions, ports, protocols, and services avoids costly - retrofitting of security controls after the information system, system component, - or information system service has been implemented. SA-9 describes requirements - for external information system services with organizations identifying which - functions, ports, protocols, and services are provided from external sources. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: sa-4.9_obj - name: objective - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to identify early in the system - development life cycle: - """ - parts: - - - id: sa-4.9_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-4(9)[1] - prose: the functions intended for organizational use; - - - id: sa-4.9_obj.2 - name: objective - properties: - - - name: label - value: SA-4(9)[2] - prose: the ports intended for organizational use; - - - id: sa-4.9_obj.3 - name: objective - properties: - - - name: label - value: SA-4(9)[3] - prose: the protocols intended for organizational use; and - - - id: sa-4.9_obj.4 - name: objective - properties: - - - name: label - value: SA-4(9)[4] - prose: the services intended for organizational use. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\ninformation system design documentation\n\ninformation system documentation including functions, ports, protocols, and - services intended for organizational use\n\nacquisition contracts for information systems or services\n\nacquisition documentation\n\nsolicitation documentation\n\nservice-level agreements\n\norganizational security requirements, descriptions, and criteria for developers - of information systems, system components, and information system services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - id: sa-4.10 - class: SP800-53-enhancement - title: Use of Approved PIV Products - properties: - - - name: label - value: SA-4(10) - - - name: sort-id - value: sa-04.10 - parts: - - - id: sa-4.10_smt - name: statement - prose: - """ - The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems. - """ - - - id: sa-4.10_gdn - name: guidance - links: - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: sa-4.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system service\n\nservice-level agreements\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\norganizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for selecting and employing FIPS 201-approved - products - """ - - - id: sa-5 - class: SP800-53 - title: Information System Documentation - parameters: - - - id: sa-5_prm_1 - label: organization-defined actions - - - id: sa-5_prm_2 - label: organization-defined personnel or roles - constraints: - - - detail: at a minimum, the ISSO (or similar role within the organization) - properties: - - - name: label - value: SA-5 - - - name: sort-id - value: sa-05 - parts: - - - id: sa-5_smt - name: statement - prose: The organization: - parts: - - - id: sa-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Secure configuration, installation, and operation of the system, component, or - service; - """ - - - id: sa-5_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Effective use and maintenance of security functions/mechanisms; and - - - id: sa-5_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms; - """ - - - id: sa-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and - """ - - - id: sa-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - User responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes {{ sa-5_prm_1 }} in response; - """ - - - id: sa-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects documentation as required, in accordance with the risk management - strategy; and - """ - - - id: sa-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: Distributes documentation to {{ sa-5_prm_2 }}. - - - id: sa-5_gdn - name: guidance - prose: - """ - This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: sa-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(a) - prose: - """ - obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5.a.1_obj - name: objective - properties: - - - name: label - value: SA-5(a)(1) - parts: - - - id: sa-5.a.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[1] - prose: secure configuration of the system, system component, or service; - - - id: sa-5.a.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[2] - prose: secure installation of the system, system component, or service; - - - id: sa-5.a.1_obj.3 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[3] - prose: secure operation of the system, system component, or service; - - - id: sa-5.a.2_obj - name: objective - properties: - - - name: label - value: SA-5(a)(2) - parts: - - - id: sa-5.a.2_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[1] - prose: effective use of the security features/mechanisms; - - - id: sa-5.a.2_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[2] - prose: effective maintenance of the security features/mechanisms; - - - id: sa-5.a.3_obj - name: objective - properties: - - - name: label - value: SA-5(a)(3) - prose: - """ - known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(b) - prose: - """ - obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5.b.1_obj - name: objective - properties: - - - name: label - value: SA-5(b)(1) - parts: - - - id: sa-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[1] - prose: user-accessible security functions/mechanisms; - - - id: sa-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[2] - prose: how to effectively use those functions/mechanisms; - - - id: sa-5.b.2_obj - name: objective - properties: - - - name: label - value: SA-5(b)(2) - prose: - """ - methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; - """ - - - id: sa-5.b.3_obj - name: objective - properties: - - - name: label - value: SA-5(b)(3) - prose: - """ - user responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5.c_obj - name: objective - properties: - - - name: label - value: SA-5(c) - parts: - - - id: sa-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(c)[1] - prose: - """ - defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent; - """ - - - id: sa-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(c)[2] - prose: - """ - documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent; - """ - - - id: sa-5.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(c)[3] - prose: takes organization-defined actions in response; - - - id: sa-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(d) - prose: - """ - protects documentation as required, in accordance with the risk management - strategy; - """ - - - id: sa-5.e_obj - name: objective - properties: - - - name: label - value: SA-5(e) - parts: - - - id: sa-5.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(e)[1] - prose: defines personnel or roles to whom documentation is to be distributed; and - - - id: sa-5.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(e)[2] - prose: distributes documentation to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing information system documentation\n\ninformation system documentation including administrator and user guides\n\nrecords documenting attempts to obtain unavailable or nonexistent information - system documentation\n\nlist of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation\n\nrisk management strategy documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\nsystem administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation - """ - - - id: sa-8 - class: SP800-53 - title: Security Engineering Principles - properties: - - - name: label - value: SA-8 - - - name: sort-id - value: sa-08 - links: - - - href: #21b1ed35-56d2-40a8-bdfe-b461fffe322f - rel: reference - text: NIST Special Publication 800-27 - parts: - - - id: sa-8_smt - name: statement - prose: - """ - The organization applies information system security engineering principles in the - specification, design, development, implementation, and modification of the - information system. - """ - - - id: sa-8_gdn - name: guidance - prose: - """ - Organizations apply security engineering principles primarily to new development - information systems or systems undergoing major upgrades. For legacy systems, - organizations apply security engineering principles to system upgrades and - modifications to the extent feasible, given the current state of hardware, software, - and firmware within those systems. Security engineering principles include, for - example: (i) developing layered protections; (ii) establishing sound security policy, - architecture, and controls as the foundation for design; (iii) incorporating security - requirements into the system development life cycle; (iv) delineating physical and - logical security boundaries; (v) ensuring that system developers are trained on how - to build secure software; (vi) tailoring security controls to meet organizational and - operational needs; (vii) performing threat modeling to identify use cases, threat - agents, attack vectors, and attack patterns as well as compensating controls and - design patterns needed to mitigate risk; and (viii) reducing risk to acceptable - levels, thus enabling informed risk management decisions. - """ - links: - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-17 - rel: related - text: SA-17 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sa-8_obj - name: objective - prose: - """ - Determine if the organization applies information system security engineering - principles in: - """ - parts: - - - id: sa-8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-8[1] - prose: the specification of the information system; - - - id: sa-8_obj.2 - name: objective - properties: - - - name: label - value: SA-8[2] - prose: the design of the information system; - - - id: sa-8_obj.3 - name: objective - properties: - - - name: label - value: SA-8[3] - prose: the development of the information system; - - - id: sa-8_obj.4 - name: objective - properties: - - - name: label - value: SA-8[4] - prose: the implementation of the information system; and - - - id: sa-8_obj.5 - name: objective - properties: - - - name: label - value: SA-8[5] - prose: the modification of the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing security engineering principles used in the specification, - design, development, implementation, and modification of the information - system\n\ninformation system design documentation\n\ninformation security requirements and specifications for the information - system\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\norganizational personnel with information system specification, design, - development, implementation, and modification responsibilities\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for applying security engineering principles in - information system specification, design, development, implementation, and - modification\n\nautomated mechanisms supporting the application of security engineering principles - in information system specification, design, development, implementation, and - modification - """ - - - id: sa-9 - class: SP800-53 - title: External Information System Services - parameters: - - - id: sa-9_prm_1 - label: organization-defined security controls - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - id: sa-9_prm_2 - label: organization-defined processes, methods, and techniques - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9 - - - name: sort-id - value: sa-09 - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: sa-9_smt - name: statement - prose: The organization: - parts: - - - id: sa-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires that providers of external information system services comply with - organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance; - """ - - - id: sa-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and - """ - - - id: sa-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs {{ sa-9_prm_2 }} to monitor security control compliance by - external service providers on an ongoing basis. - """ - - - id: sa-9_gdn - name: guidance - prose: - """ - External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance. - """ - links: - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ir-7 - rel: related - text: IR-7 - - - href: #ps-7 - rel: related - text: PS-7 - - - id: sa-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.a_obj - name: objective - properties: - - - name: label - value: SA-9(a) - parts: - - - id: sa-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[1] - prose: - """ - defines security controls to be employed by providers of external information - system services; - """ - - - id: sa-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[2] - prose: - """ - requires that providers of external information system services comply with - organizational information security requirements; - """ - - - id: sa-9.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[3] - prose: - """ - requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: sa-9.b_obj - name: objective - properties: - - - name: label - value: SA-9(b) - parts: - - - id: sa-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(b)[1] - prose: - """ - defines and documents government oversight with regard to external information - system services; - """ - - - id: sa-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(b)[2] - prose: - """ - defines and documents user roles and responsibilities with regard to external - information system services; - """ - - - id: sa-9.c_obj - name: objective - properties: - - - name: label - value: SA-9(c) - parts: - - - id: sa-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(c)[1] - prose: - """ - defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and - """ - - - id: sa-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(c)[2] - prose: - """ - employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nprocedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services\n\nacquisition contracts, service-level agreements\n\norganizational security requirements and security specifications for external - provider services\n\nsecurity control assessment evidence from external providers of information system - services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\nexternal providers of information system services\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis\n\nautomated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis - """ - controls: - - - id: sa-9.1 - class: SP800-53-enhancement - title: Risk Assessments / Organizational Approvals - parameters: - - - id: sa-9.1_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: SA-9(1) - - - name: sort-id - value: sa-09.01 - parts: - - - id: sa-9.1_smt - name: statement - prose: The organization: - parts: - - - id: sa-9.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; and - """ - - - id: sa-9.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Ensures that the acquisition or outsourcing of dedicated information security - services is approved by {{ sa-9.1_prm_1 }}. - """ - - - id: sa-9.1_gdn - name: guidance - prose: - """ - Dedicated information security services include, for example, incident monitoring, - analysis and response, operation of information security-related devices such as - firewalls, or key management services. - """ - links: - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: sa-9.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.1.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(1)(a) - prose: - """ - conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; - """ - links: - - - href: #sa-9.1_smt.a - rel: corresp - text: SA-9(1)(a) - - - id: sa-9.1.b_obj - name: objective - properties: - - - name: label - value: SA-9(1)(b) - parts: - - - id: sa-9.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(1)(b)[1] - prose: - """ - defines personnel or roles designated to approve the acquisition or - outsourcing of dedicated information security services; and - """ - - - id: sa-9.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(1)(b)[2] - prose: - """ - ensures that the acquisition or outsourcing of dedicated information - security services is approved by organization-defined personnel or - roles. - """ - links: - - - href: #sa-9.1_smt.b - rel: corresp - text: SA-9(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system service\n\nrisk assessment reports\n\napproval records for acquisition or outsourcing of dedicated information - security services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information system security responsibilities\n\nexternal providers of information system services\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for conducting a risk assessment prior to acquiring or - outsourcing dedicated information security services\n\norganizational processes for approving the outsourcing of dedicated information - security services\n\nautomated mechanisms supporting and/or implementing risk assessment\n\nautomated mechanisms supporting and/or implementing approval processes - """ - - - id: sa-9.2 - class: SP800-53-enhancement - title: Identification of Functions / Ports / Protocols / Services - parameters: - - - id: sa-9.2_prm_1 - label: organization-defined external information system services - constraints: - - - detail: all external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9(2) - - - name: sort-id - value: sa-09.02 - parts: - - - id: sa-9.2_smt - name: statement - prose: - """ - The organization requires providers of {{ sa-9.2_prm_1 }} to - identify the functions, ports, protocols, and other services required for the use - of such services. - """ - - - id: sa-9.2_gdn - name: guidance - prose: - """ - Information from external service providers regarding the specific functions, - ports, protocols, and services used in the provision of such services can be - particularly useful when the need arises to understand the trade-offs involved in - restricting certain functions/services or blocking certain ports/protocols. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - id: sa-9.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(2)[1] - prose: - """ - defines external information system services for which providers of such - services are to identify the functions, ports, protocols, and other services - required for the use of such services; - """ - - - id: sa-9.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-9(2)[2] - prose: - """ - requires providers of organization-defined external information system services - to identify: - """ - parts: - - - id: sa-9.2_obj.2.a - name: objective - properties: - - - name: label - value: SA-9(2)[2][a] - prose: the functions required for the use of such services; - - - id: sa-9.2_obj.2.b - name: objective - properties: - - - name: label - value: SA-9(2)[2][b] - prose: the ports required for the use of such services; - - - id: sa-9.2_obj.2.c - name: objective - properties: - - - name: label - value: SA-9(2)[2][c] - prose: the protocols required for the use of such services; and - - - id: sa-9.2_obj.2.d - name: objective - properties: - - - name: label - value: SA-9(2)[2][d] - prose: the other services required for the use of such services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition contracts for the information system, system component, or - information system service\n\nacquisition documentation\n\nsolicitation documentation, service-level agreements\n\norganizational security requirements and security specifications for external - service providers\n\nlist of required functions, ports, protocols, and other services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nexternal providers of information system services - """ - - - id: sa-9.4 - class: SP800-53-enhancement - title: Consistent Interests of Consumers and Providers - parameters: - - - id: sa-9.4_prm_1 - label: organization-defined security safeguards - - - id: sa-9.4_prm_2 - label: organization-defined external service providers - constraints: - - - detail: all external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9(4) - - - name: sort-id - value: sa-09.04 - parts: - - - id: sa-9.4_smt - name: statement - prose: - """ - The organization employs {{ sa-9.4_prm_1 }} to ensure that the - interests of {{ sa-9.4_prm_2 }} are consistent with and reflect - organizational interests. - """ - - - id: sa-9.4_gdn - name: guidance - prose: - """ - As organizations increasingly use external service providers, the possibility - exists that the interests of the service providers may diverge from organizational - interests. In such situations, simply having the correct technical, procedural, or - operational safeguards in place may not be sufficient if the service providers - that implement and control those safeguards are not operating in a manner - consistent with the interests of the consuming organizations. Possible actions - that organizations might take to address such concerns include, for example, - requiring background checks for selected service provider personnel, examining - ownership records, employing only trustworthy service providers (i.e., providers - with which organizations have had positive experiences), and conducting - periodic/unscheduled visits to service provider facilities. - """ - - - id: sa-9.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(4)[1] - prose: - """ - defines external service providers whose interests are to be consistent with - and reflect organizational interests; - """ - - - id: sa-9.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(4)[2] - prose: - """ - defines security safeguards to be employed to ensure that the interests of - organization-defined external service providers are consistent with and reflect - organizational interests; and - """ - - - id: sa-9.4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(4)[3] - prose: - """ - employs organization-defined security safeguards to ensure that the interests - of organization-defined external service providers are consistent with and - reflect organizational interests. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition contracts for the information system, system component, or - information system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\norganizational security requirements/safeguards for external service - providers\n\npersonnel security policies for external service providers\n\nassessments performed on external service providers\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of information system services - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining and employing safeguards to ensure - consistent interests with external service providers\n\nautomated mechanisms supporting and/or implementing safeguards to ensure - consistent interests with external service providers - """ - - - id: sa-9.5 - class: SP800-53-enhancement - title: Processing, Storage, and Service Location - parameters: - - - id: sa-9.5_prm_1 - constraints: - - - detail: information processing, information data, AND information services - - - id: sa-9.5_prm_2 - label: organization-defined locations - constraints: - - - detail: U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction - - - id: sa-9.5_prm_3 - label: organization-defined requirements or conditions - constraints: - - - detail: all High Impact Data, Systems, or Services - properties: - - - name: label - value: SA-9(5) - - - name: sort-id - value: sa-09.05 - parts: - - - id: sa-9.5_smt - name: statement - prose: - """ - The organization restricts the location of {{ sa-9.5_prm_1 }} to - {{ sa-9.5_prm_2 }} based on {{ sa-9.5_prm_3 }}. - """ - - - id: sa-9.5_gdn - name: guidance - prose: - """ - The location of information processing, information/data storage, or information - system services that are critical to organizations can have a direct impact on the - ability of those organizations to successfully execute their missions/business - functions. This situation exists when external providers control the location of - processing, storage or services. The criteria external providers use for the - selection of processing, storage, or service locations may be different from - organizational criteria. For example, organizations may want to ensure that - data/information storage locations are restricted to certain locations to - facilitate incident response activities (e.g., forensic analyses, after-the-fact - investigations) in case of information security breaches/compromises. Such - incident response activities may be adversely affected by the governing laws or - protocols in the locations where processing and storage occur and/or the locations - from which information system services emanate. - """ - - - id: sa-9.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(5)[1] - prose: - """ - defines locations where organization-defined information processing, - information/data, and/or information system services are to be restricted; - """ - - - id: sa-9.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(5)[2] - prose: - """ - defines requirements or conditions to restrict the location of information - processing, information/data, and/or information system services; - """ - - - id: sa-9.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(5)[3] - prose: - """ - restricts the location of one or more of the following to organization-defined - locations based on organization-defined requirements or conditions: - """ - parts: - - - id: sa-9.5_obj.3.a - name: objective - properties: - - - name: label - value: SA-9(5)[3][a] - prose: information processing; - - - id: sa-9.5_obj.3.b - name: objective - properties: - - - name: label - value: SA-9(5)[3][b] - prose: information/data; and/or - - - id: sa-9.5_obj.3.c - name: objective - properties: - - - name: label - value: SA-9(5)[3][c] - prose: information services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition contracts for the information system, system component, or - information system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nrestricted locations for information processing\n\ninformation/data and/or information system services\n\ninformation processing, information/data, and/or information system services to - be maintained in restricted locations\n\norganizational security requirements or conditions for external providers\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of information system services - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining requirements to restrict locations of - information processing, information/data, or information services\n\norganizational processes for ensuring the location is restricted in accordance - with requirements or conditions - """ - - - id: sa-10 - class: SP800-53 - title: Developer Configuration Management - parameters: - - - id: sa-10_prm_1 - constraints: - - - detail: development, implementation, AND operation - - - id: sa-10_prm_2 - label: organization-defined configuration items under configuration management - - - id: sa-10_prm_3 - label: organization-defined personnel - properties: - - - name: label - value: SA-10 - - - name: sort-id - value: sa-10 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: sa-10_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system component, - or information system service to: - """ - parts: - - - id: sa-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: Perform configuration management during system, component, or service {{ sa-10_prm_1 }}; - - - id: sa-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: Document, manage, and control the integrity of changes to {{ sa-10_prm_2 }}; - - - id: sa-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Implement only organization-approved changes to the system, component, or - service; - """ - - - id: sa-10_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Document approved changes to the system, component, or service and the potential - security impacts of such changes; and - """ - - - id: sa-10_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Track security flaws and flaw resolution within the system, component, or service - and report findings to {{ sa-10_prm_3 }}. - """ - - - id: sa-10_fr - name: item - title: SA-10 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-10_fr_smt.1 - name: item - properties: - - - name: label - value: (e) Requirement: - prose: For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP. - - - id: sa-10_gdn - name: guidance - prose: - """ - This control also applies to organizations conducting internal information systems - development and integration. Organizations consider the quality and completeness of - the configuration management activities conducted by developers as evidence of - applying effective security safeguards. Safeguards include, for example, protecting - from unauthorized modification or destruction, the master copies of all material used - to generate security-relevant portions of the system hardware, software, and - firmware. Maintaining the integrity of changes to the information system, information - system component, or information system service requires configuration control - throughout the system development life cycle to track authorized changes and prevent - unauthorized changes. Configuration items that are placed under configuration - management (if existence/use is required by other security controls) include: the - formal model; the functional, high-level, and low-level design specifications; other - design data; implementation documentation; source code and hardware schematics; the - running version of the object code; tools for comparing new versions of - security-relevant hardware descriptions and software/firmware source code with - previous versions; and test fixtures and documentation. Depending on the - mission/business needs of organizations and the nature of the contractual - relationships in place, developers may provide configuration management support - during the operations and maintenance phases of the life cycle. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - id: sa-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(a) - prose: - """ - requires the developer of the information system, system component, or information - system service to perform configuration management during one or more of the - following: - """ - parts: - - - id: sa-10.a_obj.1 - name: objective - properties: - - - name: label - value: SA-10(a)[1] - prose: system, component, or service design; - - - id: sa-10.a_obj.2 - name: objective - properties: - - - name: label - value: SA-10(a)[2] - prose: system, component, or service development; - - - id: sa-10.a_obj.3 - name: objective - properties: - - - name: label - value: SA-10(a)[3] - prose: system, component, or service implementation; and/or - - - id: sa-10.a_obj.4 - name: objective - properties: - - - name: label - value: SA-10(a)[4] - prose: system, component, or service operation; - - - id: sa-10.b_obj - name: objective - properties: - - - name: label - value: SA-10(b) - parts: - - - id: sa-10.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-10(b)[1] - prose: defines configuration items to be placed under configuration management; - - - id: sa-10.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(b)[2] - prose: - """ - requires the developer of the information system, system component, or - information system service to: - """ - parts: - - - id: sa-10.b_obj.2.a - name: objective - properties: - - - name: label - value: SA-10(b)[2][a] - prose: - """ - document the integrity of changes to organization-defined items under - configuration management; - """ - - - id: sa-10.b_obj.2.b - name: objective - properties: - - - name: label - value: SA-10(b)[2][b] - prose: - """ - manage the integrity of changes to organization-defined items under - configuration management; - """ - - - id: sa-10.b_obj.2.c - name: objective - properties: - - - name: label - value: SA-10(b)[2][c] - prose: - """ - control the integrity of changes to organization-defined items under - configuration management; - """ - - - id: sa-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(c) - prose: - """ - requires the developer of the information system, system component, or information - system service to implement only organization-approved changes to the system, - component, or service; - """ - - - id: sa-10.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(d) - prose: - """ - requires the developer of the information system, system component, or information - system service to document: - """ - parts: - - - id: sa-10.d_obj.1 - name: objective - properties: - - - name: label - value: SA-10(d)[1] - prose: approved changes to the system, component, or service; - - - id: sa-10.d_obj.2 - name: objective - properties: - - - name: label - value: SA-10(d)[2] - prose: the potential security impacts of such changes; - - - id: sa-10.e_obj - name: objective - properties: - - - name: label - value: SA-10(e) - parts: - - - id: sa-10.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-10(e)[1] - prose: - """ - defines personnel to whom findings, resulting from security flaws and flaw - resolution tracked within the system, component, or service, are to be - reported; - """ - - - id: sa-10.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(e)[2] - prose: - """ - requires the developer of the information system, system component, or - information system service to: - """ - parts: - - - id: sa-10.e_obj.2.a - name: objective - properties: - - - name: label - value: SA-10(e)[2][a] - prose: track security flaws within the system, component, or service; - - - id: sa-10.e_obj.2.b - name: objective - properties: - - - name: label - value: SA-10(e)[2][b] - prose: - """ - track security flaw resolution within the system, component, or service; - and - """ - - - id: sa-10.e_obj.2.c - name: objective - properties: - - - name: label - value: SA-10(e)[2][c] - prose: report findings to organization-defined personnel. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\nsystem developer configuration management plan\n\nsecurity flaw and flaw resolution tracking records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - configuration management - """ - controls: - - - id: sa-10.1 - class: SP800-53-enhancement - title: Software / Firmware Integrity Verification - properties: - - - name: label - value: SA-10(1) - - - name: sort-id - value: sa-10.01 - parts: - - - id: sa-10.1_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to enable integrity verification of - software and firmware components. - """ - - - id: sa-10.1_gdn - name: guidance - prose: - """ - This control enhancement allows organizations to detect unauthorized changes to - software and firmware components through the use of tools, techniques, and/or - mechanisms provided by developers. Integrity checking mechanisms can also address - counterfeiting of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through secure one-way - hashes provided by developers. Delivered software and firmware components also - include any updates to such components. - """ - links: - - - href: #si-7 - rel: related - text: SI-7 - - - id: sa-10.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to enable integrity verification - of software and firmware components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system\n\nsystem component, or information system service\n\nsystem developer configuration management plan\n\nsoftware and firmware integrity verification records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - configuration management - """ - - - id: sa-11 - class: SP800-53 - title: Developer Security Testing and Evaluation - parameters: - - - id: sa-11_prm_1 - - - id: sa-11_prm_2 - label: organization-defined depth and coverage - properties: - - - name: label - value: SA-11 - - - name: sort-id - value: sa-11 - links: - - - href: #1737a687-52fb-4008-b900-cbfa836f7b65 - rel: reference - text: ISO/IEC 15408 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - - - href: #15522e92-9192-463d-9646-6a01982db8ca - rel: reference - text: http://cwe.mitre.org - - - href: #0931209f-00ae-4132-b92c-bc645847e8f9 - rel: reference - text: http://cve.mitre.org - - - href: #4ef539ba-b767-4666-b0d3-168c53005fa3 - rel: reference - text: http://capec.mitre.org - parts: - - - id: sa-11_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system component, - or information system service to: - """ - parts: - - - id: sa-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: Create and implement a security assessment plan; - - - id: sa-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: Perform {{ sa-11_prm_1 }} testing/evaluation at {{ sa-11_prm_2 }}; - - - id: sa-11_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Produce evidence of the execution of the security assessment plan and the results - of the security testing/evaluation; - """ - - - id: sa-11_smt.d - name: item - properties: - - - name: label - value: d. - prose: Implement a verifiable flaw remediation process; and - - - id: sa-11_smt.e - name: item - properties: - - - name: label - value: e. - prose: Correct flaws identified during security testing/evaluation. - - - id: sa-11_gdn - name: guidance - prose: - """ - Developmental security testing/evaluation occurs at all post-design phases of the - system development life cycle. Such testing/evaluation confirms that the required - security controls are implemented correctly, operating as intended, enforcing the - desired security policy, and meeting established security requirements. Security - properties of information systems may be affected by the interconnection of system - components or changes to those components. These interconnections or changes (e.g., - upgrading or replacing applications and operating systems) may adversely affect - previously implemented security controls. This control provides additional types of - security testing/evaluation that developers can conduct to reduce or eliminate - potential flaws. Testing custom software applications may require approaches such as - static analysis, dynamic analysis, binary analysis, or a hybrid of the three - approaches. Developers can employ these analysis approaches in a variety of tools - (e.g., web-based application scanners, static analysis tools, binary analyzers) and - in source code reviews. Security assessment plans provide the specific activities - that developers plan to carry out including the types of analyses, testing, - evaluation, and reviews of software and firmware components, the degree of rigor to - be applied, and the types of artifacts produced during those processes. The depth of - security testing/evaluation refers to the rigor and level of detail associated with - the assessment process (e.g., black box, gray box, or white box testing). The - coverage of security testing/evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify the acceptance - criteria for security assessment plans, flaw remediation processes, and the evidence - that the plans/processes have been diligently applied. Methods for reviewing and - protecting assessment plans, evidence, and documentation are commensurate with the - security category or classification level of the information system. Contracts may - specify documentation protection requirements. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #si-2 - rel: related - text: SI-2 - - - id: sa-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-11.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(a) - prose: - """ - requires the developer of the information system, system component, or information - system service to create and implement a security plan; - """ - - - id: sa-11.b_obj - name: objective - properties: - - - name: label - value: SA-11(b) - parts: - - - id: sa-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-11(b)[1] - prose: - """ - defines the depth of testing/evaluation to be performed by the developer of the - information system, system component, or information system service; - """ - - - id: sa-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-11(b)[2] - prose: - """ - defines the coverage of testing/evaluation to be performed by the developer of - the information system, system component, or information system service; - """ - - - id: sa-11.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(b)[3] - prose: - """ - requires the developer of the information system, system component, or - information system service to perform one or more of the following - testing/evaluation at the organization-defined depth and coverage: - """ - parts: - - - id: sa-11.b_obj.3.a - name: objective - properties: - - - name: label - value: SA-11(b)[3][a] - prose: unit testing/evaluation; - - - id: sa-11.b_obj.3.b - name: objective - properties: - - - name: label - value: SA-11(b)[3][b] - prose: integration testing/evaluation; - - - id: sa-11.b_obj.3.c - name: objective - properties: - - - name: label - value: SA-11(b)[3][c] - prose: system testing/evaluation; and/or - - - id: sa-11.b_obj.3.d - name: objective - properties: - - - name: label - value: SA-11(b)[3][d] - prose: regression testing/evaluation; - - - id: sa-11.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(c) - prose: - """ - requires the developer of the information system, system component, or information - system service to produce evidence of: - """ - parts: - - - id: sa-11.c_obj.1 - name: objective - properties: - - - name: label - value: SA-11(c)[1] - prose: the execution of the security assessment plan; - - - id: sa-11.c_obj.2 - name: objective - properties: - - - name: label - value: SA-11(c)[2] - prose: the results of the security testing/evaluation; - - - id: sa-11.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(d) - prose: - """ - requires the developer of the information system, system component, or information - system service to implement a verifiable flaw remediation process; and - """ - - - id: sa-11.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(e) - prose: - """ - requires the developer of the information system, system component, or information - system service to correct flaws identified during security testing/evaluation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\nsystem developer security test plans\n\nrecords of developer security testing results for the information system, system - component, or information system service\n\nsecurity flaw and remediation tracking records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation - """ - controls: - - - id: sa-11.1 - class: SP800-53-enhancement - title: Static Code Analysis - properties: - - - name: label - value: SA-11(1) - - - name: sort-id - value: sa-11.01 - parts: - - - id: sa-11.1_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to employ static code analysis tools to - identify common flaws and document the results of the analysis. - """ - parts: - - - id: sa-11.1_fr - name: item - title: SA-11 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-11.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed. - - - id: sa-11.1_gdn - name: guidance - prose: - """ - Static code analysis provides a technology and methodology for security reviews. - Such analysis can be used to identify security vulnerabilities and enforce - security coding practices. Static code analysis is most effective when used early - in the development process, when each code change can be automatically scanned for - potential weaknesses. Static analysis can provide clear remediation guidance along - with defects to enable developers to fix such defects. Evidence of correct - implementation of static analysis can include, for example, aggregate defect - density for critical defect types, evidence that defects were inspected by - developers or security professionals, and evidence that defects were fixed. An - excessively high density of ignored findings (commonly referred to as ignored or - false positives) indicates a potential problem with the analysis process or tool. - In such cases, organizations weigh the validity of the evidence against evidence - from other sources. - """ - - - id: sa-11.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to employ static code analysis - tools to identify common flaws and document the results of the analysis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or - information system service\n\nsystem developer security test plans\n\nsystem developer security testing results\n\nsecurity flaw and remediation tracking records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation\n\nstatic code analysis tools - """ - - - id: sa-11.2 - class: SP800-53-enhancement - title: Threat and Vulnerability Analyses - properties: - - - name: label - value: SA-11(2) - - - name: sort-id - value: sa-11.02 - parts: - - - id: sa-11.2_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to perform threat and vulnerability - analyses and subsequent testing/evaluation of the as-built system, component, or - service. - """ - - - id: sa-11.2_gdn - name: guidance - prose: - """ - Applications may deviate significantly from the functional and design - specifications created during the requirements and design phases of the system - development life cycle. Therefore, threat and vulnerability analyses of - information systems, system components, and information system services prior to - delivery are critical to the effective operation of those systems, components, and - services. Threat and vulnerability analyses at this phase of the life cycle help - to ensure that design or implementation changes have been accounted for, and that - any new vulnerabilities created as a result of those changes have been reviewed - and mitigated. - """ - links: - - - href: #pm-15 - rel: related - text: PM-15 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: sa-11.2_obj - name: objective - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to perform: - """ - parts: - - - id: sa-11.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(2)[1] - prose: threat analyses of the as-built, system component, or service; - - - id: sa-11.2_obj.2 - name: objective - properties: - - - name: label - value: SA-11(2)[2] - prose: vulnerability analyses of the as-built, system component, or service; and - - - id: sa-11.2_obj.3 - name: objective - properties: - - - name: label - value: SA-11(2)[3] - prose: - """ - subsequent testing/evaluation of the as-built, system component, or - service. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or - information system service\n\nsystem developer security test plans\n\nrecords of developer security testing results for the information system, - system component, or information system service\n\nvulnerability scanning results\n\ninformation system risk assessment reports\n\nthreat and vulnerability analysis reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation - """ - - - id: sa-11.8 - class: SP800-53-enhancement - title: Dynamic Code Analysis - properties: - - - name: label - value: SA-11(8) - - - name: sort-id - value: sa-11.08 - parts: - - - id: sa-11.8_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to employ dynamic code analysis tools to - identify common flaws and document the results of the analysis. - """ - parts: - - - id: sa-11.8_fr - name: item - title: SA-11 (8) Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-11.8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed. - - - id: sa-11.8_gdn - name: guidance - prose: - """ - Dynamic code analysis provides run-time verification of software programs, using - tools capable of monitoring programs for memory corruption, user privilege issues, - and other potential security problems. Dynamic code analysis employs run-time - tools to help to ensure that security functionality performs in the manner in - which it was designed. A specialized type of dynamic analysis, known as fuzz - testing, induces program failures by deliberately introducing malformed or random - data into software programs. Fuzz testing strategies derive from the intended use - of applications and the functional and design specifications for the applications. - To understand the scope of dynamic code analysis and hence the assurance provided, - organizations may also consider conducting code coverage analysis (checking the - degree to which the code has been tested using metrics such as percent of - subroutines tested or percent of program statements called during execution of the - test suite) and/or concordance analysis (checking for words that are out of place - in software code such as non-English language words or derogatory terms). - """ - - - id: sa-11.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to employ dynamic code analysis - tools to identify common flaws and document the results of the analysis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or - information system service\n\nsystem developer security test and evaluation plans\n\nsecurity test and evaluation results\n\nsecurity flaw and remediation tracking reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation - """ - - - id: sa-12 - class: SP800-53 - title: Supply Chain Protection - parameters: - - - id: sa-12_prm_1 - label: organization-defined security safeguards - constraints: - - - detail: organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures - properties: - - - name: label - value: SA-12 - - - name: sort-id - value: sa-12 - links: - - - href: #8ab6bcdc-339b-4068-b45e-994814a6e187 - rel: reference - text: NIST Special Publication 800-161 - - - href: #bdd2f49e-edf7-491f-a178-4487898228f3 - rel: reference - text: NIST Interagency Report 7622 - parts: - - - id: sa-12_smt - name: statement - prose: - """ - The organization protects against supply chain threats to the information system, - system component, or information system service by employing {{ sa-12_prm_1 }} as part of a comprehensive, defense-in-breadth - information security strategy. - """ - - - id: sa-12_gdn - name: guidance - prose: - """ - Information systems (including system components that compose those systems) need to - be protected throughout the system development life cycle (i.e., during design, - development, manufacturing, packaging, assembly, distribution, system integration, - operations, maintenance, and retirement). Protection of organizational information - systems is accomplished through threat awareness, by the identification, management, - and reduction of vulnerabilities at each phase of the life cycle and the use of - complementary, mutually reinforcing strategies to respond to risk. Organizations - consider implementing a standardized process to address supply chain risk with - respect to information systems and system components, and to educate the acquisition - workforce on threats, risk, and required security controls. Organizations use the - acquisition/procurement processes to require supply chain entities to implement - necessary security safeguards to: (i) reduce the likelihood of unauthorized - modifications at each stage in the supply chain; and (ii) protect information systems - and information system components, prior to taking delivery of such - systems/components. This control also applies to information system services. - Security safeguards include, for example: (i) security controls for development - systems, development facilities, and external connections to development systems; - (ii) vetting development personnel; and (iii) use of tamper-evident packaging during - shipping/warehousing. Methods for reviewing and protecting development plans, - evidence, and documentation are commensurate with the security category or - classification level of the information system. Contracts may specify documentation - protection requirements. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #pl-8 - rel: related - text: PL-8 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sa-14 - rel: related - text: SA-14 - - - href: #sa-15 - rel: related - text: SA-15 - - - href: #sa-18 - rel: related - text: SA-18 - - - href: #sa-19 - rel: related - text: SA-19 - - - href: #sc-29 - rel: related - text: SC-29 - - - href: #sc-30 - rel: related - text: SC-30 - - - href: #sc-38 - rel: related - text: SC-38 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sa-12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-12_obj.1 - name: objective - properties: - - - name: label - value: SA-12[1] - prose: - """ - defines security safeguards to be employed to protect against supply chain threats - to the information system, system component, or information system service; - and - """ - - - id: sa-12_obj.2 - name: objective - properties: - - - name: label - value: SA-12[2] - prose: - """ - protects against supply chain threats to the information system, system component, - or information system service by employing organization-defined security - safeguards as part of a comprehensive, defense-in-breadth information security - strategy. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing supply chain protection\n\nprocedures addressing the integration of information security requirements into - the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\nlist of supply chain threats\n\nlist of security safeguards to be taken against supply chain threats\n\nsystem development life cycle documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with supply chain protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining safeguards for and protecting against supply - chain threats\n\nautomated mechanisms supporting and/or implementing safeguards for supply chain - threats - """ - - - id: sa-15 - class: SP800-53 - title: Development Process, Standards, and Tools - parameters: - - - id: sa-15_prm_1 - label: organization-defined frequency - constraints: - - - detail: as needed and as dictated by the current threat posture - - - id: sa-15_prm_2 - label: organization-defined security requirements - constraints: - - - detail: organization and service provider- defined security requirements - properties: - - - name: label - value: SA-15 - - - name: sort-id - value: sa-15 - parts: - - - id: sa-15_smt - name: statement - prose: The organization: - parts: - - - id: sa-15_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires the developer of the information system, system component, or information - system service to follow a documented development process that: - """ - parts: - - - id: sa-15_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Explicitly addresses security requirements; - - - id: sa-15_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Identifies the standards and tools used in the development process; - - - id: sa-15_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Documents the specific tool options and tool configurations used in the - development process; and - """ - - - id: sa-15_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Documents, manages, and ensures the integrity of changes to the process and/or - tools used in development; and - """ - - - id: sa-15_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews the development process, standards, tools, and tool options/configurations - {{ sa-15_prm_1 }} to determine if the process, standards, tools, - and tool options/configurations selected and employed can satisfy {{ sa-15_prm_2 }}. - """ - - - id: sa-15_gdn - name: guidance - prose: - """ - Development tools include, for example, programming languages and computer-aided - design (CAD) systems. Reviews of development processes can include, for example, the - use of maturity models to determine the potential effectiveness of such processes. - Maintaining the integrity of changes to tools and processes enables accurate supply - chain risk assessment and mitigation, and requires robust configuration control - throughout the life cycle (including design, development, transport, delivery, - integration, and maintenance) to track authorized changes and prevent unauthorized - changes. - """ - links: - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-8 - rel: related - text: SA-8 - - - id: sa-15_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-15.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-15(a) - prose: - """ - requires the developer of the information system, system component, or information - system service to follow a documented development process that: - """ - parts: - - - id: sa-15.a.1_obj - name: objective - properties: - - - name: label - value: SA-15(a)(1) - prose: explicitly addresses security requirements; - - - id: sa-15.a.2_obj - name: objective - properties: - - - name: label - value: SA-15(a)(2) - prose: identifies the standards and tools used in the development process; - - - id: sa-15.a.3_obj - name: objective - properties: - - - name: label - value: SA-15(a)(3) - parts: - - - id: sa-15.a.3_obj.1 - name: objective - properties: - - - name: label - value: SA-15(a)(3)[1] - prose: documents the specific tool options used in the development process; - - - id: sa-15.a.3_obj.2 - name: objective - properties: - - - name: label - value: SA-15(a)(3)[2] - prose: - """ - documents the specific tool configurations used in the development - process; - """ - - - id: sa-15.a.4_obj - name: objective - properties: - - - name: label - value: SA-15(a)(4) - parts: - - - id: sa-15.a.4_obj.1 - name: objective - properties: - - - name: label - value: SA-15(a)(4)[1] - prose: documents changes to the process and/or tools used in the development; - - - id: sa-15.a.4_obj.2 - name: objective - properties: - - - name: label - value: SA-15(a)(4)[2] - prose: manages changes to the process and/or tools used in the development; - - - id: sa-15.a.4_obj.3 - name: objective - properties: - - - name: label - value: SA-15(a)(4)[3] - prose: - """ - ensures the integrity of changes to the process and/or tools used in the - development; - """ - - - id: sa-15.b_obj - name: objective - properties: - - - name: label - value: SA-15(b) - parts: - - - id: sa-15.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-15(b)[1] - prose: - """ - defines a frequency to review the development process, standards, tools, and - tool options/configurations; - """ - - - id: sa-15.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-15(b)[2] - prose: - """ - defines security requirements to be satisfied by the process, standards, tools, - and tool option/configurations selected and employed; and - """ - - - id: sa-15.b_obj.3 - name: objective - properties: - - - name: label - value: SA-15(b)[3] - parts: - - - id: sa-15.b_obj.3.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-15(b)[3][a] - prose: - """ - reviews the development process with the organization-defined frequency to - determine if the process selected and employed can satisfy - organization-defined security requirements; - """ - - - id: sa-15.b_obj.3.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-15(b)[3][b] - prose: - """ - reviews the development standards with the organization-defined frequency to - determine if the standards selected and employed can satisfy - organization-defined security requirements; - """ - - - id: sa-15.b_obj.3.c - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-15(b)[3][c] - prose: - """ - reviews the development tools with the organization-defined frequency to - determine if the tools selected and employed can satisfy - organization-defined security requirements; and - """ - - - id: sa-15.b_obj.3.d - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-15(b)[3][d] - prose: - """ - reviews the development tool options/configurations with the - organization-defined frequency to determine if the tool - options/configurations selected and employed can satisfy - organization-defined security requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing development process, standards, and tools\n\nprocedures addressing the integration of security requirements during the - development process\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\nsystem developer documentation listing tool options/configuration guides, - configuration management records\n\nchange control records\n\nconfiguration control records\n\ndocumented reviews of development process, standards, tools, and tool - options/configurations\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - id: sa-16 - class: SP800-53 - title: Developer-provided Training - parameters: - - - id: sa-16_prm_1 - label: organization-defined training - properties: - - - name: label - value: SA-16 - - - name: sort-id - value: sa-16 - parts: - - - id: sa-16_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system component, - or information system service to provide {{ sa-16_prm_1 }} on the - correct use and operation of the implemented security functions, controls, and/or - mechanisms. - """ - - - id: sa-16_gdn - name: guidance - prose: - """ - This control applies to external and internal (in-house) developers. Training of - personnel is an essential element to ensure the effectiveness of security controls - implemented within organizational information systems. Training options include, for - example, classroom-style training, web-based/computer-based training, and hands-on - training. Organizations can also request sufficient training materials from - developers to conduct in-house training or offer self-training to organizational - personnel. Organizations determine the type of training necessary and may require - different types of training for different security functions, controls, or - mechanisms. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #sa-5 - rel: related - text: SA-5 - - - id: sa-16_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-16_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-16[1] - prose: - """ - defines training to be provided by the developer of the information system, system - component, or information system service; and - """ - - - id: sa-16_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-16[2] - prose: - """ - requires the developer of the information system, system component, or information - system service to provide organization-defined training on the correct use and - operation of the implemented security functions, controls, and/or mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing developer-provided training\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\ndeveloper-provided training materials\n\ntraining records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information system security responsibilities\n\nsystem developer\n\norganizational or third-party developers with training responsibilities for the - information system, system component, or information system service - """ - - - id: sa-17 - class: SP800-53 - title: Developer Security Architecture and Design - properties: - - - name: label - value: SA-17 - - - name: sort-id - value: sa-17 - parts: - - - id: sa-17_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system component, - or information system service to produce a design specification and security - architecture that: - """ - parts: - - - id: sa-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Is consistent with and supportive of the organization’s security architecture - which is established within and is an integrated part of the organization’s - enterprise architecture; - """ - - - id: sa-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Accurately and completely describes the required security functionality, and the - allocation of security controls among physical and logical components; and - """ - - - id: sa-17_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Expresses how individual security functions, mechanisms, and services work - together to provide required security capabilities and a unified approach to - protection. - """ - - - id: sa-17_gdn - name: guidance - prose: - """ - This control is primarily directed at external developers, although it could also be - used for internal (in-house) development. In contrast, PL-8 is primarily directed at - internal developers to help ensure that organizations develop an information security - architecture and such security architecture is integrated or tightly coupled to the - enterprise architecture. This distinction is important if/when organizations - outsource the development of information systems, information system components, or - information system services to external entities, and there is a requirement to - demonstrate consistency with the organization’s enterprise architecture and - information security architecture. - """ - links: - - - href: #pl-8 - rel: related - text: PL-8 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-8 - rel: related - text: SA-8 - - - id: sa-17_obj - name: objective - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to produce a design specification and - security architecture that: - """ - parts: - - - id: sa-17.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-17(a) - prose: - """ - is consistent with and supportive of the organization’s security architecture - which is established within and is an integrated part of the organization’s - enterprise architecture; - """ - - - id: sa-17.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-17(b) - prose: accurately and completely describes: - parts: - - - id: sa-17.b_obj.1 - name: objective - properties: - - - name: label - value: SA-17(b)[1] - prose: the required security functionality; - - - id: sa-17.b_obj.2 - name: objective - properties: - - - name: label - value: SA-17(b)[2] - prose: - """ - the allocation of security controls among physical and logical components; - and - """ - - - id: sa-17.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-17(c) - prose: - """ - expresses how individual security functions, mechanisms, and services work - together to provide required security capabilities and a unified approach to - protection. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nenterprise architecture policy\n\nprocedures addressing developer security architecture and design specification for - the information system\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\ndesign specification and security architecture documentation for the system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with security architecture and design - responsibilities - """ - - - id: sc - class: family - title: System and Communications Protection - controls: - - - id: sc-1 - class: SP800-53 - title: System and Communications Protection Policy and Procedures - parameters: - - - id: sc-1_prm_1 - label: organization-defined personnel or roles - - - id: sc-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: sc-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-1 - - - name: sort-id - value: sc-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sc-1_smt - name: statement - prose: The organization: - parts: - - - id: sc-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sc-1_prm_1 }}: - parts: - - - id: sc-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: sc-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and - """ - - - id: sc-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sc-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and communications protection policy {{ sc-1_prm_2 }}; - and - """ - - - id: sc-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and communications protection procedures {{ sc-1_prm_3 }}. - - - id: sc-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sc-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-1.a_obj - name: objective - properties: - - - name: label - value: SC-1(a) - parts: - - - id: sc-1.a.1_obj - name: objective - properties: - - - name: label - value: SC-1(a)(1) - parts: - - - id: sc-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(1)[1] - prose: - """ - develops and documents a system and communications protection policy that - addresses: - """ - parts: - - - id: sc-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][a] - prose: purpose; - - - id: sc-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][b] - prose: scope; - - - id: sc-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][c] - prose: roles; - - - id: sc-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][d] - prose: responsibilities; - - - id: sc-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][e] - prose: management commitment; - - - id: sc-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sc-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][g] - prose: compliance; - - - id: sc-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and communications protection - policy is to be disseminated; - """ - - - id: sc-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SC-1(a)(1)[3] - prose: - """ - disseminates the system and communications protection policy to - organization-defined personnel or roles; - """ - - - id: sc-1.a.2_obj - name: objective - properties: - - - name: label - value: SC-1(a)(2) - parts: - - - id: sc-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls; - """ - - - id: sc-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sc-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sc-1.b_obj - name: objective - properties: - - - name: label - value: SC-1(b) - parts: - - - id: sc-1.b.1_obj - name: objective - properties: - - - name: label - value: SC-1(b)(1) - parts: - - - id: sc-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection policy; - """ - - - id: sc-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(1)[2] - prose: - """ - reviews and updates the current system and communications protection policy - with the organization-defined frequency; - """ - - - id: sc-1.b.2_obj - name: objective - properties: - - - name: label - value: SC-1(b)(2) - parts: - - - id: sc-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection procedures; and - """ - - - id: sc-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(2)[2] - prose: - """ - reviews and updates the current system and communications protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and communications protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: sc-2 - class: SP800-53 - title: Application Partitioning - properties: - - - name: label - value: SC-2 - - - name: sort-id - value: sc-02 - parts: - - - id: sc-2_smt - name: statement - prose: - """ - The information system separates user functionality (including user interface - services) from information system management functionality. - """ - - - id: sc-2_gdn - name: guidance - prose: - """ - Information system management functionality includes, for example, functions - necessary to administer databases, network components, workstations, or servers, and - typically requires privileged user access. The separation of user functionality from - information system management functionality is either physical or logical. - Organizations implement separation of system management-related functionality from - user functionality by using different computers, different central processing units, - different instances of operating systems, different network addresses, virtualization - techniques, or combinations of these or other methods, as appropriate. This type of - separation includes, for example, web administrative interfaces that use separate - authentication methods for users of any other information system resources. - Separation of system and user functionality may include isolating administrative - interfaces on different domains and with additional access controls. - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system separates user functionality (including user - interface services) from information system management functionality. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing application partitioning\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Separation of user functionality from information system management - functionality - """ - - - id: sc-3 - class: SP800-53 - title: Security Function Isolation - properties: - - - name: label - value: SC-3 - - - name: sort-id - value: sc-03 - parts: - - - id: sc-3_smt - name: statement - prose: The information system isolates security functions from nonsecurity functions. - - - id: sc-3_gdn - name: guidance - prose: - """ - The information system isolates security functions from nonsecurity functions by - means of an isolation boundary (implemented via partitions and domains). Such - isolation controls access to and protects the integrity of the hardware, software, - and firmware that perform those security functions. Information systems implement - code separation (i.e., separation of security functions from nonsecurity functions) - in a number of ways, including, for example, through the provision of security - kernels via processor rings or processor modes. For non-kernel code, security - function isolation is often achieved through file system protections that serve to - protect the code on disk, and address space protections that protect executing code. - Information systems restrict access to security functions through the use of access - control mechanisms and by implementing least privilege capabilities. While the ideal - is for all of the code within the security function isolation boundary to only - contain security-relevant code, it is sometimes necessary to include nonsecurity - functions within the isolation boundary as an exception. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-13 - rel: related - text: SA-13 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-39 - rel: related - text: SC-39 - - - id: sc-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system isolates security functions from nonsecurity - functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing security function isolation\n\nlist of security functions to be isolated from nonsecurity functions\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Separation of security functions from nonsecurity functions within the information - system - """ - - - id: sc-4 - class: SP800-53 - title: Information in Shared Resources - properties: - - - name: label - value: SC-4 - - - name: sort-id - value: sc-04 - parts: - - - id: sc-4_smt - name: statement - prose: - """ - The information system prevents unauthorized and unintended information transfer via - shared system resources. - """ - - - id: sc-4_gdn - name: guidance - prose: - """ - This control prevents information, including encrypted representations of - information, produced by the actions of prior users/roles (or the actions of - processes acting on behalf of prior users/roles) from being available to any current - users/roles (or current processes) that obtain access to shared system resources - (e.g., registers, main memory, hard disks) after those resources have been released - back to information systems. The control of information in shared resources is also - commonly referred to as object reuse and residual information protection. This - control does not address: (i) information remanence which refers to residual - representation of data that has been nominally erased or removed; (ii) covert - channels (including storage and/or timing channels) where shared resources are - manipulated to violate information flow restrictions; or (iii) components within - information systems for which there are only single users/roles. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: sc-4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system prevents unauthorized and unintended information - transfer via shared system resources. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing information protection in shared system resources\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms preventing unauthorized and unintended transfer of - information via shared system resources - """ - - - id: sc-5 - class: SP800-53 - title: Denial of Service Protection - parameters: - - - id: sc-5_prm_1 - label: - """ - organization-defined types of denial of service attacks or references to sources - for such information - """ - - - id: sc-5_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: SC-5 - - - name: sort-id - value: sc-05 - parts: - - - id: sc-5_smt - name: statement - prose: - """ - The information system protects against or limits the effects of the following types - of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}. - """ - - - id: sc-5_gdn - name: guidance - prose: - """ - A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks. - """ - links: - - - href: #sc-6 - rel: related - text: SC-6 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: sc-5_obj - name: objective - prose: Determine if: - parts: - - - id: sc-5_obj.1 - name: objective - properties: - - - name: label - value: SC-5[1] - prose: - """ - the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects; - """ - - - id: sc-5_obj.2 - name: objective - properties: - - - name: label - value: SC-5[2] - prose: - """ - the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and - """ - - - id: sc-5_obj.3 - name: objective - properties: - - - name: label - value: SC-5[3] - prose: - """ - the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing denial of service protection\n\ninformation system design documentation\n\nsecurity plan\n\nlist of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks\n\nlist of security safeguards protecting against or limiting the effects of denial - of service attacks\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms protecting against or limiting the effects of denial of - service attacks - """ - - - id: sc-6 - class: SP800-53 - title: Resource Availability - parameters: - - - id: sc-6_prm_1 - label: organization-defined resources - - - id: sc-6_prm_2 - - - id: sc-6_prm_3 - depends-on: sc-6_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: SC-6 - - - name: sort-id - value: sc-06 - parts: - - - id: sc-6_smt - name: statement - prose: The information system protects the availability of resources by allocating {{ sc-6_prm_1 }} by {{ sc-6_prm_2 }}. - - - id: sc-6_gdn - name: guidance - prose: - """ - Priority protection helps prevent lower-priority processes from delaying or - interfering with the information system servicing any higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined amounts of - resources. This control does not apply to information system components for which - there are only single users/roles. - """ - - - id: sc-6_obj - name: objective - prose: Determine if: - parts: - - - id: sc-6_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-6[1] - prose: - """ - the organization defines resources to be allocated to protect the availability of - resources; - """ - - - id: sc-6_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-6[2] - prose: - """ - the organization defines security safeguards to be employed to protect the - availability of resources; - """ - - - id: sc-6_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-6[3] - prose: - """ - the information system protects the availability of resources by allocating - organization-defined resources by one or more of the following: - """ - parts: - - - id: sc-6_obj.3.a - name: objective - properties: - - - name: label - value: SC-6[3][a] - prose: priority; - - - id: sc-6_obj.3.b - name: objective - properties: - - - name: label - value: SC-6[3][b] - prose: quota; and/or - - - id: sc-6_obj.3.c - name: objective - properties: - - - name: label - value: SC-6[3][c] - prose: organization-defined safeguards. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing prioritization of information system resources\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing resource allocation - capability\n\nsafeguards employed to protect availability of resources - """ - - - id: sc-7 - class: SP800-53 - title: Boundary Protection - parameters: - - - id: sc-7_prm_1 - properties: - - - name: label - value: SC-7 - - - name: sort-id - value: sc-07 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #756a8e86-57d5-4701-8382-f7a40439665a - rel: reference - text: NIST Special Publication 800-41 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - parts: - - - id: sc-7_smt - name: statement - prose: The information system: - parts: - - - id: sc-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system; - """ - - - id: sc-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks; - and - """ - - - id: sc-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - id: sc-7_gdn - name: guidance - prose: - """ - Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions. - """ - links: - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: sc-7_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-7.a_obj - name: objective - properties: - - - name: label - value: SC-7(a) - parts: - - - id: sc-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[1] - prose: monitors communications at the external boundary of the information system; - - - id: sc-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[2] - prose: monitors communications at key internal boundaries within the system; - - - id: sc-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[3] - prose: controls communications at the external boundary of the information system; - - - id: sc-7.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[4] - prose: controls communications at key internal boundaries within the system; - - - id: sc-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(b) - prose: - """ - implements subnetworks for publicly accessible system components that are - either: - """ - parts: - - - id: sc-7.b_obj.1 - name: objective - properties: - - - name: label - value: SC-7(b)[1] - prose: physically separated from internal organizational networks; and/or - - - id: sc-7.b_obj.2 - name: objective - properties: - - - name: label - value: SC-7(b)[2] - prose: logically separated from internal organizational networks; and - - - id: sc-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(c) - prose: - """ - connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\nlist of key internal boundaries of the information system\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system configuration settings and associated documentation\n\nenterprise security architecture documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing boundary protection capability - controls: - - - id: sc-7.3 - class: SP800-53-enhancement - title: Access Points - properties: - - - name: label - value: SC-7(3) - - - name: sort-id - value: sc-07.03 - parts: - - - id: sc-7.3_smt - name: statement - prose: - """ - The organization limits the number of external network connections to the - information system. - """ - - - id: sc-7.3_gdn - name: guidance - prose: - """ - Limiting the number of external network connections facilitates more comprehensive - monitoring of inbound and outbound communications traffic. The Trusted Internet - Connection (TIC) initiative is an example of limiting the number of external - network connections. - """ - - - id: sc-7.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization limits the number of external network connections to - the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\ncommunications and network traffic monitoring logs\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing boundary protection capability\n\nautomated mechanisms limiting the number of external network connections to the - information system - """ - - - id: sc-7.4 - class: SP800-53-enhancement - title: External Telecommunications Services - parameters: - - - id: sc-7.4_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-7(4) - - - name: sort-id - value: sc-07.04 - parts: - - - id: sc-7.4_smt - name: statement - prose: The organization: - parts: - - - id: sc-7.4_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Implements a managed interface for each external telecommunication service; - - - id: sc-7.4_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Establishes a traffic flow policy for each managed interface; - - - id: sc-7.4_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Protects the confidentiality and integrity of the information being transmitted - across each interface; - """ - - - id: sc-7.4_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Documents each exception to the traffic flow policy with a supporting - mission/business need and duration of that need; and - """ - - - id: sc-7.4_smt.e - name: item - properties: - - - name: label - value: (e) - prose: - """ - Reviews exceptions to the traffic flow policy {{ sc-7.4_prm_1 }} - and removes exceptions that are no longer supported by an explicit - mission/business need. - """ - - - id: sc-7.4_gdn - name: guidance - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - id: sc-7.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.4.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(a) - prose: implements a managed interface for each external telecommunication service; - links: - - - href: #sc-7.4_smt.a - rel: corresp - text: SC-7(4)(a) - - - id: sc-7.4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(b) - prose: establishes a traffic flow policy for each managed interface; - links: - - - href: #sc-7.4_smt.b - rel: corresp - text: SC-7(4)(b) - - - id: sc-7.4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(c) - prose: - """ - protects the confidentiality and integrity of the information being transmitted - across each interface; - """ - links: - - - href: #sc-7.4_smt.c - rel: corresp - text: SC-7(4)(c) - - - id: sc-7.4.d_obj - name: objective - properties: - - - name: label - value: SC-7(4)(d) - prose: documents each exception to the traffic flow policy with: - parts: - - - id: sc-7.4.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(d)[1] - prose: a supporting mission/business need; - - - id: sc-7.4.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(d)[2] - prose: duration of that need; - links: - - - href: #sc-7.4_smt.d - rel: corresp - text: SC-7(4)(d) - - - id: sc-7.4.e_obj - name: objective - properties: - - - name: label - value: SC-7(4)(e) - parts: - - - id: sc-7.4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(e)[1] - prose: defines a frequency to review exceptions to traffic flow policy; - - - id: sc-7.4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(e)[2] - prose: - """ - reviews exceptions to the traffic flow policy with the organization-defined - frequency; and - """ - - - id: sc-7.4.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(e)[3] - prose: - """ - removes traffic flow policy exceptions that are no longer supported by an - explicit mission/business need - """ - links: - - - href: #sc-7.4_smt.e - rel: corresp - text: SC-7(4)(e) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\ntraffic flow policy\n\ninformation flow control policy\n\nprocedures addressing boundary protection\n\ninformation system security architecture\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of traffic flow policy exceptions\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for documenting and reviewing exceptions to the - traffic flow policy\n\norganizational processes for removing exceptions to the traffic flow policy\n\nautomated mechanisms implementing boundary protection capability\n\nmanaged interfaces implementing traffic flow policy - """ - - - id: sc-7.5 - class: SP800-53-enhancement - title: Deny by Default / Allow by Exception - properties: - - - name: label - value: SC-7(5) - - - name: sort-id - value: sc-07.05 - parts: - - - id: sc-7.5_smt - name: statement - prose: - """ - The information system at managed interfaces denies network communications traffic - by default and allows network communications traffic by exception (i.e., deny all, - permit by exception). - """ - - - id: sc-7.5_gdn - name: guidance - prose: - """ - This control enhancement applies to both inbound and outbound network - communications traffic. A deny-all, permit-by-exception network communications - traffic policy ensures that only those connections which are essential and - approved are allowed. - """ - - - id: sc-7.5_obj - name: objective - prose: Determine if the information system, at managed interfaces: - parts: - - - id: sc-7.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(5)[1] - prose: denies network traffic by default; and - - - id: sc-7.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(5)[2] - prose: allows network traffic by exception. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing traffic management at managed interfaces - - - id: sc-7.7 - class: SP800-53-enhancement - title: Prevent Split Tunneling for Remote Devices - properties: - - - name: label - value: SC-7(7) - - - name: sort-id - value: sc-07.07 - parts: - - - id: sc-7.7_smt - name: statement - prose: - """ - The information system, in conjunction with a remote device, prevents the device - from simultaneously establishing non-remote connections with the system and - communicating via some other connection to resources in external networks. - """ - - - id: sc-7.7_gdn - name: guidance - prose: - """ - This control enhancement is implemented within remote devices (e.g., notebook - computers) through configuration settings to disable split tunneling in those - devices, and by preventing those configuration settings from being readily - configurable by users. This control enhancement is implemented within the - information system by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and by prohibiting the - connection if the remote device is using split tunneling. Split tunneling might be - desirable by remote users to communicate with local information system resources - such as printers/file servers. However, split tunneling would in effect allow - unauthorized external connections, making the system more vulnerable to attack and - to exfiltration of organizational information. The use of VPNs for remote - connections, when adequately provisioned with appropriate security controls, may - provide the organization with sufficient assurance that it can effectively treat - such connections as non-remote connections from the confidentiality and integrity - perspective. VPNs thus provide a means for allowing non-remote communications - paths from remote devices. The use of an adequately provisioned VPN does not - eliminate the need for preventing split tunneling. - """ - - - id: sc-7.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system, in conjunction with a remote device, prevents - the device from simultaneously establishing non-remote connections with the system - and communicating via some other connection to resources in external networks. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing boundary protection capability\n\nautomated mechanisms supporting/restricting non-remote connections - - - id: sc-7.8 - class: SP800-53-enhancement - title: Route Traffic to Authenticated Proxy Servers - parameters: - - - id: sc-7.8_prm_1 - label: organization-defined internal communications traffic - - - id: sc-7.8_prm_2 - label: organization-defined external networks - properties: - - - name: label - value: SC-7(8) - - - name: sort-id - value: sc-07.08 - parts: - - - id: sc-7.8_smt - name: statement - prose: - """ - The information system routes {{ sc-7.8_prm_1 }} to {{ sc-7.8_prm_2 }} through authenticated proxy servers at managed - interfaces. - """ - - - id: sc-7.8_gdn - name: guidance - prose: - """ - External networks are networks outside of organizational control. A proxy server - is a server (i.e., information system or application) that acts as an intermediary - for clients requesting information system resources (e.g., files, connections, web - pages, or services) from other organizational servers. Client requests established - through an initial connection to the proxy server are evaluated to manage - complexity and to provide additional protection by limiting direct connectivity. - Web content filtering devices are one of the most common proxy servers providing - access to the Internet. Proxy servers support logging individual Transmission - Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators - (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be - configured with organization-defined lists of authorized and unauthorized - websites. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #au-2 - rel: related - text: AU-2 - - - id: sc-7.8_obj - name: objective - prose: Determine if: - parts: - - - id: sc-7.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(8)[1] - prose: - """ - the organization defines internal communications traffic to be routed to - external networks; - """ - - - id: sc-7.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(8)[2] - prose: - """ - the organization defines external networks to which organization-defined - internal communications traffic is to be routed; and - """ - - - id: sc-7.8_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(8)[3] - prose: - """ - the information system routes organization-defined internal communications - traffic to organization-defined external networks through authenticated proxy - servers at managed interfaces. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing traffic management through authenticated - proxy servers at managed interfaces - """ - - - id: sc-7.10 - class: SP800-53-enhancement - title: Prevent Unauthorized Exfiltration - properties: - - - name: label - value: SC-7(10) - - - name: sort-id - value: sc-07.10 - parts: - - - id: sc-7.10_smt - name: statement - prose: - """ - The organization prevents the unauthorized exfiltration of information across - managed interfaces. - """ - - - id: sc-7.10_gdn - name: guidance - prose: - """ - Safeguards implemented by organizations to prevent unauthorized exfiltration of - information from information systems include, for example: (i) strict adherence to - protocol formats; (ii) monitoring for beaconing from information systems; (iii) - monitoring for steganography; (iv) disconnecting external network interfaces - except when explicitly needed; (v) disassembling and reassembling packet headers; - and (vi) employing traffic profile analysis to detect deviations from the - volume/types of traffic expected within organizations or call backs to command and - control centers. Devices enforcing strict adherence to protocol formats include, - for example, deep packet inspection firewalls and XML gateways. These devices - verify adherence to protocol formats and specification at the application layer - and serve to identify vulnerabilities that cannot be detected by devices operating - at the network or transport layers. This control enhancement is closely associated - with cross-domain solutions and system guards enforcing information flow - requirements. - """ - links: - - - href: #si-3 - rel: related - text: SI-3 - - - id: sc-7.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization prevents the unauthorized exfiltration of - information across managed interfaces. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing boundary protection capability\n\npreventing unauthorized exfiltration of information across managed - interfaces - """ - - - id: sc-7.12 - class: SP800-53-enhancement - title: Host-based Protection - parameters: - - - id: sc-7.12_prm_1 - label: organization-defined host-based boundary protection mechanisms - constraints: - - - detail: Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall - - - id: sc-7.12_prm_2 - label: organization-defined information system components - properties: - - - name: label - value: SC-7(12) - - - name: sort-id - value: sc-07.12 - parts: - - - id: sc-7.12_smt - name: statement - prose: The organization implements {{ sc-7.12_prm_1 }} at {{ sc-7.12_prm_2 }}. - - - id: sc-7.12_gdn - name: guidance - prose: - """ - Host-based boundary protection mechanisms include, for example, host-based - firewalls. Information system components employing host-based boundary protection - mechanisms include, for example, servers, workstations, and mobile devices. - """ - - - id: sc-7.12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(12)[1] - prose: defines host-based boundary protection mechanisms; - - - id: sc-7.12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(12)[2] - prose: - """ - defines information system components where organization-defined host-based - boundary protection mechanisms are to be implemented; and - """ - - - id: sc-7.12_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(12)[3] - prose: - """ - implements organization-defined host-based boundary protection mechanisms at - organization-defined information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities\n\ninformation system users - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing host-based boundary protection - capabilities - """ - - - id: sc-7.13 - class: SP800-53-enhancement - title: Isolation of Security Tools / Mechanisms / Support Components - parameters: - - - id: sc-7.13_prm_1 - label: - """ - organization-defined information security tools, mechanisms, and support - components - """ - properties: - - - name: label - value: SC-7(13) - - - name: sort-id - value: sc-07.13 - parts: - - - id: sc-7.13_smt - name: statement - prose: - """ - The organization isolates {{ sc-7.13_prm_1 }} from other internal - information system components by implementing physically separate subnetworks with - managed interfaces to other components of the system. - """ - parts: - - - id: sc-7.13_fr - name: item - title: SC-7 (13) Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-7.13_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. - - - id: sc-7.13_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc. - - - id: sc-7.13_gdn - name: guidance - prose: - """ - Physically separate subnetworks with managed interfaces are useful, for example, - in isolating computer network defenses from critical operational processing - networks to prevent adversaries from discovering the analysis and forensics - techniques of organizations. - """ - links: - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-7.13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(13)[1] - prose: - """ - defines information security tools, mechanisms, and support components to be - isolated from other internal information system components; and - """ - - - id: sc-7.13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(13)[2] - prose: - """ - isolates organization-defined information security tools, mechanisms, and - support components from other internal information system components by - implementing physically separate subnetworks with managed interfaces to other - components of the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\nlist of security tools and support components to be isolated from other - internal information system components\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing isolation of information - security tools, mechanisms, and support components - """ - - - id: sc-7.18 - class: SP800-53-enhancement - title: Fail Secure - properties: - - - name: label - value: SC-7(18) - - - name: sort-id - value: sc-07.18 - parts: - - - id: sc-7.18_smt - name: statement - prose: - """ - The information system fails securely in the event of an operational failure of a - boundary protection device. - """ - - - id: sc-7.18_gdn - name: guidance - prose: - """ - Fail secure is a condition achieved by employing information system mechanisms to - ensure that in the event of operational failures of boundary protection devices at - managed interfaces (e.g., routers, firewalls, guards, and application gateways - residing on protected subnetworks commonly referred to as demilitarized zones), - information systems do not enter into unsecure states where intended security - properties no longer hold. Failures of boundary protection devices cannot lead to, - or cause information external to the devices to enter the devices, nor can - failures permit unauthorized information releases. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: sc-7.18_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system fails securely in the event of an operational - failure of a boundary protection device. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing secure failure - - - id: sc-7.20 - class: SP800-53-enhancement - title: Dynamic Isolation / Segregation - parameters: - - - id: sc-7.20_prm_1 - label: organization-defined information system components - properties: - - - name: label - value: SC-7(20) - - - name: sort-id - value: sc-07.20 - parts: - - - id: sc-7.20_smt - name: statement - prose: - """ - The information system provides the capability to dynamically isolate/segregate - {{ sc-7.20_prm_1 }} from other components of the system. - """ - - - id: sc-7.20_gdn - name: guidance - prose: - """ - The capability to dynamically isolate or segregate certain internal components of - organizational information systems is useful when it is necessary to partition or - separate certain components of dubious origin from those components possessing - greater trustworthiness. Component isolation reduces the attack surface of - organizational information systems. Isolation of selected information system - components is also a means of limiting the damage from successful cyber attacks - when those attacks occur. - """ - - - id: sc-7.20_obj - name: objective - prose: Determine if: - parts: - - - id: sc-7.20_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(20)[1] - prose: - """ - the organization defines information system components to be dynamically - isolated/segregated from other components of the system; and - """ - - - id: sc-7.20_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(20)[2] - prose: - """ - the information system provides the capability to dynamically isolate/segregate - organization-defined information system components from other components of the - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\nlist of information system components to be dynamically isolated/segregated - from other components of the system\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the capability to - dynamically isolate/segregate information system components - """ - - - id: sc-7.21 - class: SP800-53-enhancement - title: Isolation of Information System Components - parameters: - - - id: sc-7.21_prm_1 - label: organization-defined information system components - - - id: sc-7.21_prm_2 - label: organization-defined missions and/or business functions - properties: - - - name: label - value: SC-7(21) - - - name: sort-id - value: sc-07.21 - parts: - - - id: sc-7.21_smt - name: statement - prose: The organization employs boundary protection mechanisms to separate {{ sc-7.21_prm_1 }} supporting {{ sc-7.21_prm_2 }}. - - - id: sc-7.21_gdn - name: guidance - prose: - """ - Organizations can isolate information system components performing different - missions and/or business functions. Such isolation limits unauthorized information - flows among system components and also provides the opportunity to deploy greater - levels of protection for selected components. Separating system components with - boundary protection mechanisms provides the capability for increased protection of - individual components and to more effectively control information flows between - those components. This type of enhanced protection limits the potential harm from - cyber attacks and errors. The degree of separation provided varies depending upon - the mechanisms chosen. Boundary protection mechanisms include, for example, - routers, gateways, and firewalls separating system components into physically - separate networks or subnetworks, cross-domain devices separating subnetworks, - virtualization techniques, and encrypting information flows among system - components using distinct encryption keys. - """ - links: - - - href: #ca-9 - rel: related - text: CA-9 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-7.21_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.21_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(21)[1] - prose: - """ - defines information system components to be separated by boundary protection - mechanisms; - """ - - - id: sc-7.21_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(21)[2] - prose: - """ - defines missions and/or business functions to be supported by - organization-defined information system components separated by boundary - protection mechanisms; and - """ - - - id: sc-7.21_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(21)[3] - prose: - """ - employs boundary protection mechanisms to separate organization-defined - information system components supporting organization-defined missions and/or - business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\nenterprise architecture documentation\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the capability to separate - information system components supporting organizational missions and/or - business functions - """ - - - id: sc-8 - class: SP800-53 - title: Transmission Confidentiality and Integrity - parameters: - - - id: sc-8_prm_1 - constraints: - - - detail: confidentiality AND integrity - properties: - - - name: label - value: SC-8 - - - name: sort-id - value: sc-08 - links: - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #f2dbd4ec-c413-4714-b85b-6b7184d1c195 - rel: reference - text: FIPS Publication 197 - - - href: #90c5bc98-f9c4-44c9-98b7-787422f0999c - rel: reference - text: NIST Special Publication 800-52 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - - - href: #349fe082-502d-464a-aa0c-1443c6a5cf40 - rel: reference - text: NIST Special Publication 800-113 - - - href: #a4aa9645-9a8a-4b51-90a9-e223250f9a75 - rel: reference - text: CNSS Policy 15 - - - href: #06dff0ea-3848-4945-8d91-e955ee69f05d - rel: reference - text: NSTISSI No. 7003 - parts: - - - id: sc-8_smt - name: statement - prose: - """ - The information system protects the {{ sc-8_prm_1 }} of transmitted - information. - """ - - - id: sc-8_gdn - name: guidance - prose: - """ - This control applies to both internal and external networks and all types of - information system components from which information can be transmitted (e.g., - servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile - machines). Communication paths outside the physical protection of a controlled - boundary are exposed to the possibility of interception and modification. Protecting - the confidentiality and/or integrity of organizational information can be - accomplished by physical means (e.g., by employing protected distribution systems) or - by logical means (e.g., employing encryption techniques). Organizations relying on - commercial providers offering transmission services as commodity services rather than - as fully dedicated services (i.e., services which can be highly specialized to - individual customer needs), may find it difficult to obtain the necessary assurances - regarding the implementation of needed security controls for transmission - confidentiality/integrity. In such situations, organizations determine what types of - confidentiality/integrity services are available in standard, commercial - telecommunication service packages. If it is infeasible or impractical to obtain the - necessary security controls and assurances of control effectiveness through - appropriate contracting vehicles, organizations implement appropriate compensating - security controls or explicitly accept the additional risk. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #pe-4 - rel: related - text: PE-4 - - - id: sc-8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the information system protects one or more of the following: - parts: - - - id: sc-8_obj.1 - name: objective - properties: - - - name: label - value: SC-8[1] - prose: confidentiality of transmitted information; and/or - - - id: sc-8_obj.2 - name: objective - properties: - - - name: label - value: SC-8[2] - prose: integrity of transmitted information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing transmission confidentiality - and/or integrity - """ - controls: - - - id: sc-8.1 - class: SP800-53-enhancement - title: Cryptographic or Alternate Physical Protection - parameters: - - - id: sc-8.1_prm_1 - constraints: - - - detail: prevent unauthorized disclosure of information AND detect changes to information - - - id: sc-8.1_prm_2 - label: organization-defined alternative physical safeguards - constraints: - - - detail: a hardened or alarmed carrier Protective Distribution System (PDS) - properties: - - - name: label - value: SC-8(1) - - - name: sort-id - value: sc-08.01 - parts: - - - id: sc-8.1_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to {{ sc-8.1_prm_1 }} during transmission unless otherwise protected by - {{ sc-8.1_prm_2 }}. - """ - - - id: sc-8.1_gdn - name: guidance - prose: - """ - Encrypting information for transmission protects information from unauthorized - disclosure and modification. Cryptographic mechanisms implemented to protect - information integrity include, for example, cryptographic hash functions which - have common application in digital signatures, checksums, and message - authentication codes. Alternative physical security safeguards include, for - example, protected distribution systems. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - id: sc-8.1_obj - name: objective - prose: Determine if: - parts: - - - id: sc-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-8(1)[1] - prose: - """ - the organization defines physical safeguards to be implemented to protect - information during transmission when cryptographic mechanisms are not - implemented; and - """ - - - id: sc-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-8(1)[2] - prose: - """ - the information system implements cryptographic mechanisms to do one or more of - the following during transmission unless otherwise protected by - organization-defined alternative physical safeguards: - """ - parts: - - - id: sc-8.1_obj.2.a - name: objective - properties: - - - name: label - value: SC-8(1)[2][a] - prose: prevent unauthorized disclosure of information; and/or - - - id: sc-8.1_obj.2.b - name: objective - properties: - - - name: label - value: SC-8(1)[2][b] - prose: detect changes to information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms supporting and/or implementing transmission - confidentiality and/or integrity\n\nautomated mechanisms supporting and/or implementing alternative physical - safeguards\n\norganizational processes for defining and implementing alternative physical - safeguards - """ - - - id: sc-10 - class: SP800-53 - title: Network Disconnect - parameters: - - - id: sc-10_prm_1 - label: organization-defined time period - constraints: - - - detail: no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions - properties: - - - name: label - value: SC-10 - - - name: sort-id - value: sc-10 - parts: - - - id: sc-10_smt - name: statement - prose: - """ - The information system terminates the network connection associated with a - communications session at the end of the session or after {{ sc-10_prm_1 }} of inactivity. - """ - - - id: sc-10_gdn - name: guidance - prose: - """ - This control applies to both internal and external networks. Terminating network - connections associated with communications sessions include, for example, - de-allocating associated TCP/IP address/port pairs at the operating system level, or - de-allocating networking assignments at the application level if multiple application - sessions are using a single, operating system-level network connection. Time periods - of inactivity may be established by organizations and include, for example, time - periods by type of network access or for specific network accesses. - """ - - - id: sc-10_obj - name: objective - prose: Determine if: - parts: - - - id: sc-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-10[1] - prose: - """ - the organization defines a time period of inactivity after which the information - system terminates a network connection associated with a communications session; - and - """ - - - id: sc-10_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-10[2] - prose: - """ - the information system terminates the network connection associated with a - communication session at the end of the session or after the organization-defined - time period of inactivity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing network disconnect\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing network disconnect - capability - """ - - - id: sc-12 - class: SP800-53 - title: Cryptographic Key Establishment and Management - parameters: - - - id: sc-12_prm_1 - label: - """ - organization-defined requirements for key generation, distribution, storage, - access, and destruction - """ - properties: - - - name: label - value: SC-12 - - - name: sort-id - value: sc-12 - links: - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - parts: - - - id: sc-12_smt - name: statement - prose: - """ - The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with {{ sc-12_prm_1 }}. - """ - parts: - - - id: sc-12_fr - name: item - title: SC-12 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Federally approved and validated cryptography. - - - id: sc-12_gdn - name: guidance - prose: - """ - Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: sc-12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-12_obj.1 - name: objective - properties: - - - name: label - value: SC-12[1] - prose: defines requirements for cryptographic key: - parts: - - - id: sc-12_obj.1.a - name: objective - properties: - - - name: label - value: SC-12[1][a] - prose: generation; - - - id: sc-12_obj.1.b - name: objective - properties: - - - name: label - value: SC-12[1][b] - prose: distribution; - - - id: sc-12_obj.1.c - name: objective - properties: - - - name: label - value: SC-12[1][c] - prose: storage; - - - id: sc-12_obj.1.d - name: objective - properties: - - - name: label - value: SC-12[1][d] - prose: access; - - - id: sc-12_obj.1.e - name: objective - properties: - - - name: label - value: SC-12[1][e] - prose: destruction; and - - - id: sc-12_obj.2 - name: objective - properties: - - - name: label - value: SC-12[2] - prose: - """ - establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ncryptographic mechanisms\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment - and/or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic key - establishment and management - """ - controls: - - - id: sc-12.1 - class: SP800-53-enhancement - title: Availability - properties: - - - name: label - value: SC-12(1) - - - name: sort-id - value: sc-12.01 - parts: - - - id: sc-12.1_smt - name: statement - prose: - """ - The organization maintains availability of information in the event of the loss of - cryptographic keys by users. - """ - - - id: sc-12.1_gdn - name: guidance - prose: - """ - Escrowing of encryption keys is a common practice for ensuring availability in the - event of loss of keys (e.g., due to forgotten passphrase). - """ - - - id: sc-12.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization maintains availability of information in the event - of the loss of cryptographic keys by users. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing cryptographic key establishment, management, and - recovery\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key - establishment or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic key - establishment and management - """ - - - id: sc-12.2 - class: SP800-53-enhancement - title: Symmetric Keys - parameters: - - - id: sc-12.2_prm_1 - constraints: - - - detail: NIST FIPS-compliant - properties: - - - name: label - value: SC-12(2) - - - name: sort-id - value: sc-12.02 - parts: - - - id: sc-12.2_smt - name: statement - prose: - """ - The organization produces, controls, and distributes symmetric cryptographic keys - using {{ sc-12.2_prm_1 }} key management technology and - processes. - """ - - - id: sc-12.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization produces, controls, and distributes symmetric - cryptographic keys using one of the following: - """ - parts: - - - id: sc-12.2_obj.1 - name: objective - properties: - - - name: label - value: SC-12(2)[1] - prose: NIST FIPS-compliant key management technology and processes; or - - - id: sc-12.2_obj.2 - name: objective - properties: - - - name: label - value: SC-12(2)[2] - prose: NSA-approved key management technology and processes. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FIPS validated cryptographic products\n\nlist of NSA-approved cryptographic products\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key - establishment or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing symmetric cryptographic key - establishment and management - """ - - - id: sc-12.3 - class: SP800-53-enhancement - title: Asymmetric Keys - parameters: - - - id: sc-12.3_prm_1 - properties: - - - name: label - value: SC-12(3) - - - name: sort-id - value: sc-12.03 - parts: - - - id: sc-12.3_smt - name: statement - prose: - """ - The organization produces, controls, and distributes asymmetric cryptographic keys - using {{ sc-12.3_prm_1 }}. - """ - - - id: sc-12.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization produces, controls, and distributes asymmetric - cryptographic keys using one of the following: - """ - parts: - - - id: sc-12.3_obj.1 - name: objective - properties: - - - name: label - value: SC-12(3)[1] - prose: NSA-approved key management technology and processes; - - - id: sc-12.3_obj.2 - name: objective - properties: - - - name: label - value: SC-12(3)[2] - prose: approved PKI Class 3 certificates or prepositioned keying material; or - - - id: sc-12.3_obj.3 - name: objective - properties: - - - name: label - value: SC-12(3)[3] - prose: - """ - approved PKI Class 3 or Class 4 certificates and hardware security tokens that - protect the user’s private key. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of NSA-approved cryptographic products\n\nlist of approved PKI Class 3 and Class 4 certificates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key - establishment or management\n\norganizational personnel with responsibilities for PKI certificates - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing asymmetric cryptographic - key establishment and management - """ - - - id: sc-13 - class: SP800-53 - title: Cryptographic Protection - parameters: - - - id: sc-13_prm_1 - label: - """ - organization-defined cryptographic uses and type of cryptography required for - each use - """ - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-13 - - - name: sort-id - value: sc-13 - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #6a1041fc-054e-4230-946b-2e6f4f3731bb - rel: reference - text: http://csrc.nist.gov/cryptval - - - href: #9b97ed27-3dd6-4f9a-ade5-1b43e9669794 - rel: reference - text: http://www.cnss.gov - parts: - - - id: sc-13_smt - name: statement - prose: - """ - The information system implements {{ sc-13_prm_1 }} in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. - """ - - - id: sc-13_gdn - name: guidance - prose: - """ - Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography). - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-10 - rel: related - text: AU-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-7 - rel: related - text: IA-7 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-28 - rel: related - text: SC-28 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sc-13_obj - name: objective - prose: Determine if: - parts: - - - id: sc-13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-13[1] - prose: the organization defines cryptographic uses; and - - - id: sc-13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-13[2] - prose: the organization defines the type of cryptography required for each use; and - - - id: sc-13_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-13[3] - prose: - """ - the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic module validation certificates\n\nlist of FIPS validated cryptographic modules\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic protection - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic protection - - - id: sc-15 - class: SP800-53 - title: Collaborative Computing Devices - parameters: - - - id: sc-15_prm_1 - label: organization-defined exceptions where remote activation is to be allowed - constraints: - - - detail: no exceptions - properties: - - - name: label - value: SC-15 - - - name: sort-id - value: sc-15 - parts: - - - id: sc-15_smt - name: statement - prose: The information system: - parts: - - - id: sc-15_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Prohibits remote activation of collaborative computing devices with the following - exceptions: {{ sc-15_prm_1 }}; and - """ - - - id: sc-15_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides an explicit indication of use to users physically present at the - devices. - """ - - - id: sc-15_fr - name: item - title: SC-15 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-15_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use. - - - id: sc-15_gdn - name: guidance - prose: - """ - Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated. - """ - links: - - - href: #ac-21 - rel: related - text: AC-21 - - - id: sc-15_obj - name: objective - prose: Determine if: - parts: - - - id: sc-15.a_obj - name: objective - properties: - - - name: label - value: SC-15(a) - parts: - - - id: sc-15.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-15(a)[1] - prose: - """ - the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed; - """ - - - id: sc-15.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-15(a)[2] - prose: - """ - the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and - """ - - - id: sc-15.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-15(b) - prose: - """ - the information system provides an explicit indication of use to users physically - present at the devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative - computing devices - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices\n\nautomated mechanisms providing an indication of use of collaborative computing - devices - """ - - - id: sc-17 - class: SP800-53 - title: Public Key Infrastructure Certificates - parameters: - - - id: sc-17_prm_1 - label: organization-defined certificate policy - properties: - - - name: label - value: SC-17 - - - name: sort-id - value: sc-17 - links: - - - href: #58ad6f27-af99-429f-86a8-8bb767b014b9 - rel: reference - text: OMB Memorandum 05-24 - - - href: #8f174e91-844e-4cf1-a72a-45c119a3a8dd - rel: reference - text: NIST Special Publication 800-32 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - parts: - - - id: sc-17_smt - name: statement - prose: - """ - The organization issues public key certificates under an {{ sc-17_prm_1 }} or obtains public key certificates from an approved - service provider. - """ - - - id: sc-17_gdn - name: guidance - prose: - """ - For all certificates, organizations manage information system trust stores to ensure - only approved trust anchors are in the trust stores. This control addresses both - certificates with visibility external to organizational information systems and - certificates related to the internal operations of systems, for example, - application-specific time services. - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - id: sc-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-17_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-17[1] - prose: defines a certificate policy for issuing public key certificates; - - - id: sc-17_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-17[2] - prose: issues public key certificates: - parts: - - - id: sc-17_obj.2.a - name: objective - properties: - - - name: label - value: SC-17[2][a] - prose: under an organization-defined certificate policy: or - - - id: sc-17_obj.2.b - name: objective - properties: - - - name: label - value: SC-17[2][b] - prose: obtains public key certificates from an approved service provider. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing public key infrastructure certificates\n\npublic key certificate policy or policies\n\npublic key issuing process\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for issuing public key - certificates\n\nservice providers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the management of public key - infrastructure certificates - """ - - - id: sc-18 - class: SP800-53 - title: Mobile Code - properties: - - - name: label - value: SC-18 - - - name: sort-id - value: sc-18 - links: - - - href: #e716cd51-d1d5-4c6a-967a-22e9fbbc42f1 - rel: reference - text: NIST Special Publication 800-28 - - - href: #e6522953-6714-435d-a0d3-140df554c186 - rel: reference - text: DoD Instruction 8552.01 - parts: - - - id: sc-18_smt - name: statement - prose: The organization: - parts: - - - id: sc-18_smt.a - name: item - properties: - - - name: label - value: a. - prose: Defines acceptable and unacceptable mobile code and mobile code technologies; - - - id: sc-18_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishes usage restrictions and implementation guidance for acceptable mobile - code and mobile code technologies; and - """ - - - id: sc-18_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Authorizes, monitors, and controls the use of mobile code within the information - system. - """ - - - id: sc-18_gdn - name: guidance - prose: - """ - Decisions regarding the employment of mobile code within organizational information - systems are based on the potential for the code to cause damage to the systems if - used maliciously. Mobile code technologies include, for example, Java, JavaScript, - ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage - restrictions and implementation guidance apply to both the selection and use of - mobile code installed on servers and mobile code downloaded and executed on - individual workstations and devices (e.g., smart phones). Mobile code policy and - procedures address preventing the development, acquisition, or introduction of - unacceptable mobile code within organizational information systems. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #si-3 - rel: related - text: SI-3 - - - id: sc-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-18.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-18(a) - prose: defines acceptable and unacceptable mobile code and mobile code technologies; - - - id: sc-18.b_obj - name: objective - properties: - - - name: label - value: SC-18(b) - parts: - - - id: sc-18.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-18(b)[1] - prose: - """ - establishes usage restrictions for acceptable mobile code and mobile code - technologies; - """ - - - id: sc-18.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-18(b)[2] - prose: - """ - establishes implementation guidance for acceptable mobile code and mobile code - technologies; - """ - - - id: sc-18.c_obj - name: objective - properties: - - - name: label - value: SC-18(c) - parts: - - - id: sc-18.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-18(c)[1] - prose: authorizes the use of mobile code within the information system; - - - id: sc-18.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-18(c)[2] - prose: monitors the use of mobile code within the information system; and - - - id: sc-18.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-18(c)[3] - prose: controls the use of mobile code within the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions, mobile code implementation policy and - procedures\n\nlist of acceptable mobile code and mobile code technologies\n\nlist of unacceptable mobile code and mobile technologies\n\nauthorization records\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing mobile code - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for controlling, authorizing, monitoring, and restricting - mobile code\n\nautomated mechanisms supporting and/or implementing the management of mobile - code\n\nautomated mechanisms supporting and/or implementing the monitoring of mobile - code - """ - - - id: sc-19 - class: SP800-53 - title: Voice Over Internet Protocol - properties: - - - name: label - value: SC-19 - - - name: sort-id - value: sc-19 - links: - - - href: #7783f3e7-09b3-478b-9aa2-4a76dfd0ea90 - rel: reference - text: NIST Special Publication 800-58 - parts: - - - id: sc-19_smt - name: statement - prose: The organization: - parts: - - - id: sc-19_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions and implementation guidance for Voice over Internet - Protocol (VoIP) technologies based on the potential to cause damage to the - information system if used maliciously; and - """ - - - id: sc-19_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes, monitors, and controls the use of VoIP within the information - system. - """ - - - id: sc-19_gdn - name: guidance - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-15 - rel: related - text: SC-15 - - - id: sc-19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-19.a_obj - name: objective - properties: - - - name: label - value: SC-19(a) - parts: - - - id: sc-19.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-19(a)[1] - prose: - """ - establishes usage restrictions for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously; - """ - - - id: sc-19.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-19(a)[2] - prose: - """ - establishes implementation guidance for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously; - """ - - - id: sc-19.b_obj - name: objective - properties: - - - name: label - value: SC-19(b) - parts: - - - id: sc-19.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-19(b)[1] - prose: authorizes the use of VoIP within the information system; - - - id: sc-19.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-19(b)[2] - prose: monitors the use of VoIP within the information system; and - - - id: sc-19.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-19(b)[3] - prose: controls the use of VoIP within the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing VoIP\n\nVoIP usage restrictions\n\nVoIP implementation guidance\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing VoIP - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for authorizing, monitoring, and controlling VoIP\n\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling VoIP - """ - - - id: sc-20 - class: SP800-53 - title: Secure Name / Address Resolution Service (authoritative Source) - properties: - - - name: label - value: SC-20 - - - name: sort-id - value: sc-20 - links: - - - href: #28115a56-da6b-4d44-b1df-51dd7f048a3e - rel: reference - text: OMB Memorandum 08-23 - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-20_smt - name: statement - prose: The information system: - parts: - - - id: sc-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and - """ - - - id: sc-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace. - """ - - - id: sc-20_gdn - name: guidance - prose: - """ - This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data. - """ - links: - - - href: #au-10 - rel: related - text: AU-10 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-20_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-20.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-20(a) - prose: - """ - provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries; - """ - - - id: sc-20.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-20(b) - prose: - """ - provides the means to, when operating as part of a distributed, hierarchical - namespace: - """ - parts: - - - id: sc-20.b_obj.1 - name: objective - properties: - - - name: label - value: SC-20(b)[1] - prose: indicate the security status of child zones; and - - - id: sc-20.b_obj.2 - name: objective - properties: - - - name: label - value: SC-20(b)[2] - prose: - """ - enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (authoritative - source)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing secure name/address resolution - service - """ - - - id: sc-21 - class: SP800-53 - title: Secure Name / Address Resolution Service (recursive or Caching Resolver) - properties: - - - name: label - value: SC-21 - - - name: sort-id - value: sc-21 - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-21_smt - name: statement - prose: - """ - The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources. - """ - - - id: sc-21_gdn - name: guidance - prose: - """ - Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data. - """ - links: - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-21_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-21_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-21[1] - prose: - """ - requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-21[2] - prose: - """ - requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-21[3] - prose: - """ - performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and - """ - - - id: sc-21_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-21[4] - prose: - """ - performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (recursive or caching - resolver)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services - """ - - - id: sc-22 - class: SP800-53 - title: Architecture and Provisioning for Name / Address Resolution Service - properties: - - - name: label - value: SC-22 - - - name: sort-id - value: sc-22 - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-22_smt - name: statement - prose: - """ - The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation. - """ - - - id: sc-22_gdn - name: guidance - prose: - """ - Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists). - """ - links: - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: sc-22_obj - name: objective - prose: - """ - Determine if the information systems that collectively provide name/address - resolution service for an organization: - """ - parts: - - - id: sc-22_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-22[1] - prose: are fault tolerant; and - - - id: sc-22_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-22[2] - prose: implement internal/external role separation. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing architecture and provisioning for name/address resolution - service\n\naccess control policy and procedures\n\ninformation system design documentation\n\nassessment results from independent, testing organizations\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation - """ - - - id: sc-23 - class: SP800-53 - title: Session Authenticity - properties: - - - name: label - value: SC-23 - - - name: sort-id - value: sc-23 - links: - - - href: #90c5bc98-f9c4-44c9-98b7-787422f0999c - rel: reference - text: NIST Special Publication 800-52 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #1ebdf782-d95d-4a7b-8ec7-ee860951eced - rel: reference - text: NIST Special Publication 800-95 - parts: - - - id: sc-23_smt - name: statement - prose: The information system protects the authenticity of communications sessions. - - - id: sc-23_gdn - name: guidance - prose: - """ - This control addresses communications protection at the session, versus packet level - (e.g., sessions in service-oriented architectures providing web-based services) and - establishes grounds for confidence at both ends of communications sessions in ongoing - identities of other parties and in the validity of information transmitted. - Authenticity protection includes, for example, protecting against man-in-the-middle - attacks/session hijacking and the insertion of false information into sessions. - """ - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-11 - rel: related - text: SC-11 - - - id: sc-23_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system protects the authenticity of communications - sessions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing session authenticity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing session authenticity - controls: - - - id: sc-23.1 - class: SP800-53-enhancement - title: Invalidate Session Identifiers at Logout - properties: - - - name: label - value: SC-23(1) - - - name: sort-id - value: sc-23.01 - parts: - - - id: sc-23.1_smt - name: statement - prose: - """ - The information system invalidates session identifiers upon user logout or other - session termination. - """ - - - id: sc-23.1_gdn - name: guidance - prose: - """ - This control enhancement curtails the ability of adversaries from capturing and - continuing to employ previously valid session IDs. - """ - - - id: sc-23.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system invalidates session identifiers upon user - logout or other session termination. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing session authenticity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing session identifier - invalidation upon session termination - """ - - - id: sc-24 - class: SP800-53 - title: Fail in Known State - parameters: - - - id: sc-24_prm_1 - label: organization-defined known-state - - - id: sc-24_prm_2 - label: organization-defined types of failures - - - id: sc-24_prm_3 - label: organization-defined system state information - properties: - - - name: label - value: SC-24 - - - name: sort-id - value: sc-24 - parts: - - - id: sc-24_smt - name: statement - prose: - """ - The information system fails to a {{ sc-24_prm_1 }} for {{ sc-24_prm_2 }} preserving {{ sc-24_prm_3 }} in - failure. - """ - - - id: sc-24_gdn - name: guidance - prose: - """ - Failure in a known state addresses security concerns in accordance with the - mission/business needs of organizations. Failure in a known secure state helps to - prevent the loss of confidentiality, integrity, or availability of information in the - event of failures of organizational information systems or system components. Failure - in a known safe state helps to prevent systems from failing to a state that may cause - injury to individuals or destruction to property. Preserving information system state - information facilitates system restart and return to the operational mode of - organizations with less disruption of mission/business processes. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #cp-12 - rel: related - text: CP-12 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-24_obj - name: objective - prose: Determine if: - parts: - - - id: sc-24_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-24[1] - prose: - """ - the organization defines a known-state to which the information system is to fail - in the event of a system failure; - """ - - - id: sc-24_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-24[2] - prose: - """ - the organization defines types of failures for which the information system is to - fail to an organization-defined known-state; - """ - - - id: sc-24_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-24[3] - prose: - """ - the organization defines system state information to be preserved in the event of - a system failure; - """ - - - id: sc-24_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-24[4] - prose: - """ - the information system fails to the organization-defined known-state for - organization-defined types of failures; and - """ - - - id: sc-24_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-24[5] - prose: - """ - the information system preserves the organization-defined system state information - in the event of a system failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing information system failure to known state\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of failures requiring information system to fail in a known state\n\nstate information to be preserved in system failure\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fail-in-known state - capability\n\nautomated mechanisms preserving system state information in the event of a system - failure - """ - - - id: sc-28 - class: SP800-53 - title: Protection of Information at Rest - parameters: - - - id: sc-28_prm_1 - constraints: - - - detail: confidentiality AND integrity - - - id: sc-28_prm_2 - label: organization-defined information at rest - properties: - - - name: label - value: SC-28 - - - name: sort-id - value: sc-28 - links: - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: sc-28_smt - name: statement - prose: The information system protects the {{ sc-28_prm_1 }} of {{ sc-28_prm_2 }}. - parts: - - - id: sc-28_fr - name: item - title: SC-28 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-28_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The organization supports the capability to use cryptographic mechanisms to protect information at rest. - - - id: sc-28_gdn - name: guidance - prose: - """ - This control addresses the confidentiality and integrity of information at rest and - covers user information and system information. Information at rest refers to the - state of information when it is located on storage devices as specific components of - information systems. System-related information requiring protection includes, for - example, configurations or rule sets for firewalls, gateways, intrusion - detection/prevention systems, filtering routers, and authenticator content. - Organizations may employ different mechanisms to achieve confidentiality and - integrity protections, including the use of cryptographic mechanisms and file share - scanning. Integrity protection can be achieved, for example, by implementing - Write-Once-Read-Many (WORM) technologies. Organizations may also employ other - security controls including, for example, secure off-line storage in lieu of online - storage when adequate protection of information at rest cannot otherwise be achieved - and/or continuous monitoring to identify malicious code at rest. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sc-28_obj - name: objective - prose: Determine if: - parts: - - - id: sc-28_obj.1 - name: objective - properties: - - - name: label - value: SC-28[1] - prose: - """ - the organization defines information at rest requiring one or more of the - following: - """ - parts: - - - id: sc-28_obj.1.a - name: objective - properties: - - - name: label - value: SC-28[1][a] - prose: confidentiality protection; and/or - - - id: sc-28_obj.1.b - name: objective - properties: - - - name: label - value: SC-28[1][b] - prose: integrity protection; - - - id: sc-28_obj.2 - name: objective - properties: - - - name: label - value: SC-28[2] - prose: the information system protects: - parts: - - - id: sc-28_obj.2.a - name: objective - properties: - - - name: label - value: SC-28[2][a] - prose: the confidentiality of organization-defined information at rest; and/or - - - id: sc-28_obj.2.b - name: objective - properties: - - - name: label - value: SC-28[2][b] - prose: the integrity of organization-defined information at rest. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing protection of information at rest\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nlist of information at rest requiring confidentiality and integrity - protections\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing confidentiality and integrity - protections for information at rest - """ - controls: - - - id: sc-28.1 - class: SP800-53-enhancement - title: Cryptographic Protection - parameters: - - - id: sc-28.1_prm_1 - label: organization-defined information - - - id: sc-28.1_prm_2 - label: organization-defined information system components - constraints: - - - detail: all information system components storing customer data deemed sensitive - properties: - - - name: label - value: SC-28(1) - - - name: sort-id - value: sc-28.01 - parts: - - - id: sc-28.1_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to prevent unauthorized - disclosure and modification of {{ sc-28.1_prm_1 }} on {{ sc-28.1_prm_2 }}. - """ - - - id: sc-28.1_gdn - name: guidance - prose: - """ - Selection of cryptographic mechanisms is based on the need to protect the - confidentiality and integrity of organizational information. The strength of - mechanism is commensurate with the security category and/or classification of the - information. This control enhancement applies to significant concentrations of - digital media in organizational areas designated for media storage and also to - limited quantities of media generally associated with information system - components in operational environments (e.g., portable storage devices, mobile - devices). Organizations have the flexibility to either encrypt all information on - storage devices (i.e., full disk encryption) or encrypt specific data structures - (e.g., files, records, or fields). Organizations employing cryptographic - mechanisms to protect information at rest also consider cryptographic key - management solutions. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #sc-12 - rel: related - text: SC-12 - - - id: sc-28.1_obj - name: objective - prose: Determine if: - parts: - - - id: sc-28.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-28(1)[1] - prose: the organization defines information requiring cryptographic protection; - - - id: sc-28.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-28(1)[2] - prose: - """ - the organization defines information system components with - organization-defined information requiring cryptographic protection; and - """ - - - id: sc-28.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-28(1)[3] - prose: - """ - the information system employs cryptographic mechanisms to prevent unauthorized - disclosure and modification of organization-defined information on - organization-defined information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing protection of information at rest\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms implementing confidentiality and integrity protections - for information at rest - """ - - - id: sc-39 - class: SP800-53 - title: Process Isolation - properties: - - - name: label - value: SC-39 - - - name: sort-id - value: sc-39 - parts: - - - id: sc-39_smt - name: statement - prose: - """ - The information system maintains a separate execution domain for each executing - process. - """ - - - id: sc-39_gdn - name: guidance - prose: - """ - Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-39_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system maintains a separate execution domain for each - executing process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system design documentation\n\ninformation system architecture\n\nindependent verification and validation documentation\n\ntesting and evaluation documentation, other relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Information system developers/integrators\n\ninformation system security architect - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing separate execution domains for - each executing process - """ - - - id: si - class: family - title: System and Information Integrity - controls: - - - id: si-1 - class: SP800-53 - title: System and Information Integrity Policy and Procedures - parameters: - - - id: si-1_prm_1 - label: organization-defined personnel or roles - - - id: si-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: si-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually or whenever a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-1 - - - name: sort-id - value: si-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: si-1_smt - name: statement - prose: The organization: - parts: - - - id: si-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ si-1_prm_1 }}: - parts: - - - id: si-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: si-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and - """ - - - id: si-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: si-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and information integrity policy {{ si-1_prm_2 }}; - and - """ - - - id: si-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and information integrity procedures {{ si-1_prm_3 }}. - - - id: si-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: si-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-1.a_obj - name: objective - properties: - - - name: label - value: SI-1(a) - parts: - - - id: si-1.a.1_obj - name: objective - properties: - - - name: label - value: SI-1(a)(1) - parts: - - - id: si-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(1)[1] - prose: - """ - develops and documents a system and information integrity policy that - addresses: - """ - parts: - - - id: si-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][a] - prose: purpose; - - - id: si-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][b] - prose: scope; - - - id: si-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][c] - prose: roles; - - - id: si-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][d] - prose: responsibilities; - - - id: si-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][e] - prose: management commitment; - - - id: si-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: si-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][g] - prose: compliance; - - - id: si-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and information integrity - policy is to be disseminated; - """ - - - id: si-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-1(a)(1)[3] - prose: - """ - disseminates the system and information integrity policy to - organization-defined personnel or roles; - """ - - - id: si-1.a.2_obj - name: objective - properties: - - - name: label - value: SI-1(a)(2) - parts: - - - id: si-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls; - """ - - - id: si-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: si-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: si-1.b_obj - name: objective - properties: - - - name: label - value: SI-1(b) - parts: - - - id: si-1.b.1_obj - name: objective - properties: - - - name: label - value: SI-1(b)(1) - parts: - - - id: si-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity policy; - """ - - - id: si-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(1)[2] - prose: - """ - reviews and updates the current system and information integrity policy with - the organization-defined frequency; - """ - - - id: si-1.b.2_obj - name: objective - properties: - - - name: label - value: SI-1(b)(2) - parts: - - - id: si-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity procedures; and - """ - - - id: si-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(2)[2] - prose: - """ - reviews and updates the current system and information integrity procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and information integrity - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: si-2 - class: SP800-53 - title: Flaw Remediation - parameters: - - - id: si-2_prm_1 - label: organization-defined time period - constraints: - - - detail: thirty (30) days of release of updates - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-2 - - - name: sort-id - value: si-02 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: si-2_smt - name: statement - prose: The organization: - parts: - - - id: si-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Identifies, reports, and corrects information system flaws; - - - id: si-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation; - """ - - - id: si-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and - - - id: si-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Incorporates flaw remediation into the organizational configuration management - process. - """ - - - id: si-2_gdn - name: guidance - prose: - """ - Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-11 - rel: related - text: SI-11 - - - id: si-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.a_obj - name: objective - properties: - - - name: label - value: SI-2(a) - parts: - - - id: si-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[1] - prose: identifies information system flaws; - - - id: si-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[2] - prose: reports information system flaws; - - - id: si-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[3] - prose: corrects information system flaws; - - - id: si-2.b_obj - name: objective - properties: - - - name: label - value: SI-2(b) - parts: - - - id: si-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(b)[1] - prose: - """ - tests software updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(b)[2] - prose: - """ - tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.c_obj - name: objective - properties: - - - name: label - value: SI-2(c) - parts: - - - id: si-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(c)[1] - prose: - """ - defines the time period within which to install security-relevant software - updates after the release of the updates; - """ - - - id: si-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(c)[2] - prose: - """ - defines the time period within which to install security-relevant firmware - updates after the release of the updates; - """ - - - id: si-2.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(c)[3] - prose: - """ - installs software updates within the organization-defined time period of the - release of the updates; - """ - - - id: si-2.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(c)[4] - prose: - """ - installs firmware updates within the organization-defined time period of the - release of the updates; and - """ - - - id: si-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(d) - prose: - """ - incorporates flaw remediation into the organizational configuration management - process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing flaw remediation\n\nprocedures addressing configuration management\n\nlist of flaws and vulnerabilities potentially affecting the information system\n\nlist of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)\n\ntest results from the installation of software and firmware updates to correct - information system flaws\n\ninstallation/change control records for security-relevant software and firmware - updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for identifying, reporting, and correcting information - system flaws\n\norganizational process for installing software and firmware updates\n\nautomated mechanisms supporting and/or implementing reporting, and correcting - information system flaws\n\nautomated mechanisms supporting and/or implementing testing software and firmware - updates - """ - controls: - - - id: si-2.1 - class: SP800-53-enhancement - title: Central Management - properties: - - - name: label - value: SI-2(1) - - - name: sort-id - value: si-02.01 - parts: - - - id: si-2.1_smt - name: statement - prose: The organization centrally manages the flaw remediation process. - - - id: si-2.1_gdn - name: guidance - prose: - """ - Central management is the organization-wide management and implementation of flaw - remediation processes. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - flaw remediation security controls. - """ - - - id: si-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the organization centrally manages the flaw remediation process. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting centralized management of flaw remediation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for central management of the flaw remediation - process\n\nautomated mechanisms supporting and/or implementing central management of the - flaw remediation process - """ - - - id: si-2.2 - class: SP800-53-enhancement - title: Automated Flaw Remediation Status - parameters: - - - id: si-2.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-2(2) - - - name: sort-id - value: si-02.02 - parts: - - - id: si-2.2_smt - name: statement - prose: - """ - The organization employs automated mechanisms {{ si-2.2_prm_1 }} to - determine the state of information system components with regard to flaw - remediation. - """ - - - id: si-2.2_gdn - name: guidance - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #si-4 - rel: related - text: SI-4 - - - id: si-2.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(2)[1] - prose: - """ - defines a frequency to employ automated mechanisms to determine the state of - information system components with regard to flaw remediation; and - """ - - - id: si-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(2)[2] - prose: - """ - employs automated mechanisms with the organization-defined frequency to - determine the state of information system components with regard to flaw - remediation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting centralized management of flaw remediation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms used to determine the state of information system - components with regard to flaw remediation - """ - - - id: si-2.3 - class: SP800-53-enhancement - title: Time to Remediate Flaws / Benchmarks for Corrective Actions - parameters: - - - id: si-2.3_prm_1 - label: organization-defined benchmarks - properties: - - - name: label - value: SI-2(3) - - - name: sort-id - value: si-02.03 - parts: - - - id: si-2.3_smt - name: statement - prose: The organization: - parts: - - - id: si-2.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Measures the time between flaw identification and flaw remediation; and - - - id: si-2.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Establishes {{ si-2.3_prm_1 }} for taking corrective - actions. - """ - - - id: si-2.3_gdn - name: guidance - prose: - """ - This control enhancement requires organizations to determine the current time it - takes on the average to correct information system flaws after such flaws have - been identified, and subsequently establish organizational benchmarks (i.e., time - frames) for taking corrective actions. Benchmarks can be established by type of - flaw and/or severity of the potential vulnerability if the flaw can be - exploited. - """ - - - id: si-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(3)(a) - prose: measures the time between flaw identification and flaw remediation; - links: - - - href: #si-2.3_smt.a - rel: corresp - text: SI-2(3)(a) - - - id: si-2.3.b_obj - name: objective - properties: - - - name: label - value: SI-2(3)(b) - parts: - - - id: si-2.3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(3)(b)[1] - prose: defines benchmarks for taking corrective actions; and - - - id: si-2.3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(3)(b)[2] - prose: - """ - establishes organization-defined benchmarks for taking corrective - actions. - """ - links: - - - href: #si-2.3_smt.b - rel: corresp - text: SI-2(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing flaw remediation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of benchmarks for taking corrective action on flaws identified\n\nrecords providing time stamps of flaw identification and subsequent flaw - remediation activities\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for identifying, reporting, and correcting information - system flaws\n\nautomated mechanisms used to measure the time between flaw identification and - flaw remediation - """ - - - id: si-3 - class: SP800-53 - title: Malicious Code Protection - parameters: - - - id: si-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: si-3_prm_2 - constraints: - - - detail: to include endpoints - - - id: si-3_prm_3 - constraints: - - - detail: to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime - - - id: si-3_prm_4 - depends-on: si-3_prm_3 - label: organization-defined action - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-3 - - - name: sort-id - value: si-03 - links: - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - parts: - - - id: si-3_smt - name: statement - prose: The organization: - parts: - - - id: si-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code; - """ - - - id: si-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures; - """ - - - id: si-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Configures malicious code protection mechanisms to: - parts: - - - id: si-3_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in - accordance with organizational security policy; and - """ - - - id: si-3_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - - {{ si-3_prm_3 }} in response to malicious code detection; - and - """ - - - id: si-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system. - """ - - - id: si-3_gdn - name: guidance - prose: - """ - Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-13 - rel: related - text: SA-13 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-44 - rel: related - text: SC-44 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(a) - prose: - """ - employs malicious code protection mechanisms to detect and eradicate malicious - code at information system: - """ - parts: - - - id: si-3.a_obj.1 - name: objective - properties: - - - name: label - value: SI-3(a)[1] - prose: entry points; - - - id: si-3.a_obj.2 - name: objective - properties: - - - name: label - value: SI-3(a)[2] - prose: exit points; - - - id: si-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(b) - prose: - """ - updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1); - """ - - - id: si-3.c_obj - name: objective - properties: - - - name: label - value: SI-3(c) - parts: - - - id: si-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-3(c)[1] - prose: - """ - defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system; - """ - - - id: si-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-3(c)[2] - prose: - """ - defines action to be initiated by malicious protection mechanisms in response - to malicious code detection; - """ - - - id: si-3.c_obj.3 - name: objective - properties: - - - name: label - value: SI-3(c)[3] - parts: - - - id: si-3.c.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(c)[3](1) - prose: configures malicious code protection mechanisms to: - parts: - - - id: si-3.c.1_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[a] - prose: - """ - perform periodic scans of the information system with the - organization-defined frequency; - """ - - - id: si-3.c.1_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[b] - prose: - """ - perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy; - """ - - - id: si-3.c.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(c)[3](2) - prose: - """ - configures malicious code protection mechanisms to do one or more of the - following: - """ - parts: - - - id: si-3.c.2_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[a] - prose: block malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[b] - prose: quarantine malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.c - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[c] - prose: - """ - send alert to administrator in response to malicious code detection; - and/or - """ - - - id: si-3.c.2_obj.3.d - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[d] - prose: - """ - initiate organization-defined action in response to malicious code - detection; - """ - - - id: si-3.d_obj - name: objective - properties: - - - name: label - value: SI-3(d) - parts: - - - id: si-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(d)[1] - prose: - """ - addresses the receipt of false positives during malicious code detection and - eradication; and - """ - - - id: si-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(d)[2] - prose: - """ - addresses the resulting potential impact on the availability of the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nconfiguration management policy and procedures\n\nprocedures addressing malicious code protection\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nscan results from malicious code protection mechanisms\n\nrecord of actions initiated by malicious code protection mechanisms in response to - malicious code detection\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for employing, updating, and configuring malicious code - protection mechanisms\n\norganizational process for addressing false positives and resulting potential - impact\n\nautomated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms\n\nautomated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions - """ - controls: - - - id: si-3.1 - class: SP800-53-enhancement - title: Central Management - properties: - - - name: label - value: SI-3(1) - - - name: sort-id - value: si-03.01 - parts: - - - id: si-3.1_smt - name: statement - prose: The organization centrally manages malicious code protection mechanisms. - - - id: si-3.1_gdn - name: guidance - prose: - """ - Central management is the organization-wide management and implementation of - malicious code protection mechanisms. Central management includes planning, - implementing, assessing, authorizing, and monitoring the organization-defined, - centrally managed flaw malicious code protection security controls. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #si-8 - rel: related - text: SI-8 - - - id: si-3.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization centrally manages malicious code protection - mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing malicious code protection\n\nautomated mechanisms supporting centralized management of malicious code - protection mechanisms\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for central management of malicious code protection - mechanisms\n\nautomated mechanisms supporting and/or implementing central management of - malicious code protection mechanisms - """ - - - id: si-3.2 - class: SP800-53-enhancement - title: Automatic Updates - properties: - - - name: label - value: SI-3(2) - - - name: sort-id - value: si-03.02 - parts: - - - id: si-3.2_smt - name: statement - prose: - """ - The information system automatically updates malicious code protection - mechanisms. - """ - - - id: si-3.2_gdn - name: guidance - prose: - """ - Malicious code protection mechanisms include, for example, signature definitions. - Due to information system integrity and availability concerns, organizations give - careful consideration to the methodology used to carry out automatic updates. - """ - links: - - - href: #si-8 - rel: related - text: SI-8 - - - id: si-3.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system automatically updates malicious code - protection mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing malicious code protection\n\nautomated mechanisms supporting centralized management of malicious code - protection mechanisms\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing automatic updates to - malicious code protection capability - """ - - - id: si-3.7 - class: SP800-53-enhancement - title: Nonsignature-based Detection - properties: - - - name: label - value: SI-3(7) - - - name: sort-id - value: si-03.07 - parts: - - - id: si-3.7_smt - name: statement - prose: - """ - The information system implements nonsignature-based malicious code detection - mechanisms. - """ - - - id: si-3.7_gdn - name: guidance - prose: - """ - Nonsignature-based detection mechanisms include, for example, the use of - heuristics to detect, analyze, and describe the characteristics or behavior of - malicious code and to provide safeguards against malicious code for which - signatures do not yet exist or for which existing signatures may not be effective. - This includes polymorphic malicious code (i.e., code that changes signatures when - it replicates). This control enhancement does not preclude the use of - signature-based detection mechanisms. - """ - - - id: si-3.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements non signature-based malicious code - detection mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing malicious code protection\n\ninformation system design documentation\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing nonsignature-based - malicious code protection capability - """ - - - id: si-4 - class: SP800-53 - title: Information System Monitoring - parameters: - - - id: si-4_prm_1 - label: organization-defined monitoring objectives - - - id: si-4_prm_2 - label: organization-defined techniques and methods - - - id: si-4_prm_3 - label: organization-defined information system monitoring information - - - id: si-4_prm_4 - label: organization-defined personnel or roles - - - id: si-4_prm_5 - - - id: si-4_prm_6 - depends-on: si-4_prm_5 - label: organization-defined frequency - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4 - - - name: sort-id - value: si-04 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: si-4_smt - name: statement - prose: The organization: - parts: - - - id: si-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Monitors the information system to detect: - parts: - - - id: si-4_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and - - - id: si-4_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Unauthorized local, network, and remote connections; - - - id: si-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Identifies unauthorized use of the information system through {{ si-4_prm_2 }}; - - - id: si-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Deploys monitoring devices: - parts: - - - id: si-4_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Strategically within the information system to collect organization-determined - essential information; and - """ - - - id: si-4_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - At ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion; - """ - - - id: si-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and - """ - - - id: si-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }} - {{ si-4_prm_5 }}. - """ - - - id: si-4_fr - name: item - title: SI-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: si-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: See US-CERT Incident Response Reporting Guidelines. - - - id: si-4_gdn - name: guidance - prose: - """ - Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-35 - rel: related - text: SC-35 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.a_obj - name: objective - properties: - - - name: label - value: SI-4(a) - parts: - - - id: si-4.a.1_obj - name: objective - properties: - - - name: label - value: SI-4(a)(1) - parts: - - - id: si-4.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(a)(1)[1] - prose: - """ - defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system; - """ - - - id: si-4.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(a)(1)[2] - prose: - """ - monitors the information system to detect, in accordance with - organization-defined monitoring objectives,: - """ - parts: - - - id: si-4.a.1_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][a] - prose: attacks; - - - id: si-4.a.1_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][b] - prose: indicators of potential attacks; - - - id: si-4.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(a)(2) - prose: monitors the information system to detect unauthorized: - parts: - - - id: si-4.a.2_obj.1 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[1] - prose: local connections; - - - id: si-4.a.2_obj.2 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[2] - prose: network connections; - - - id: si-4.a.2_obj.3 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[3] - prose: remote connections; - - - id: si-4.b_obj - name: objective - properties: - - - name: label - value: SI-4(b) - parts: - - - id: si-4.b.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(b)(1) - prose: - """ - defines techniques and methods to identify unauthorized use of the information - system; - """ - - - id: si-4.b.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(b)(2) - prose: - """ - identifies unauthorized use of the information system through - organization-defined techniques and methods; - """ - - - id: si-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(c) - prose: deploys monitoring devices: - parts: - - - id: si-4.c_obj.1 - name: objective - properties: - - - name: label - value: SI-4(c)[1] - prose: - """ - strategically within the information system to collect organization-determined - essential information; - """ - - - id: si-4.c_obj.2 - name: objective - properties: - - - name: label - value: SI-4(c)[2] - prose: - """ - at ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(d) - prose: - """ - protects information obtained from intrusion-monitoring tools from - unauthorized: - """ - parts: - - - id: si-4.d_obj.1 - name: objective - properties: - - - name: label - value: SI-4(d)[1] - prose: access; - - - id: si-4.d_obj.2 - name: objective - properties: - - - name: label - value: SI-4(d)[2] - prose: modification; - - - id: si-4.d_obj.3 - name: objective - properties: - - - name: label - value: SI-4(d)[3] - prose: deletion; - - - id: si-4.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(e) - prose: - """ - heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-4(f) - prose: - """ - obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; - """ - - - id: si-4.g_obj - name: objective - properties: - - - name: label - value: SI-4(g) - parts: - - - id: si-4.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[1] - prose: - """ - defines personnel or roles to whom information system monitoring information is - to be provided; - """ - - - id: si-4.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[2] - prose: - """ - defines information system monitoring information to be provided to - organization-defined personnel or roles; - """ - - - id: si-4.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[3] - prose: - """ - defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles; - """ - - - id: si-4.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(g)[4] - prose: - """ - provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following: - """ - parts: - - - id: si-4.g_obj.4.a - name: objective - properties: - - - name: label - value: SI-4(g)[4][a] - prose: as needed; and/or - - - id: si-4.g_obj.4.b - name: objective - properties: - - - name: label - value: SI-4(g)[4][b] - prose: with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Continuous monitoring strategy\n\nsystem and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\nfacility diagram/layout\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\nlocations within information system where monitoring devices are deployed\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility monitoring the information system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing information system monitoring - capability - """ - controls: - - - id: si-4.1 - class: SP800-53-enhancement - title: System-wide Intrusion Detection System - properties: - - - name: label - value: SI-4(1) - - - name: sort-id - value: si-04.01 - parts: - - - id: si-4.1_smt - name: statement - prose: - """ - The organization connects and configures individual intrusion detection tools into - an information system-wide intrusion detection system. - """ - - - id: si-4.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(1)[1] - prose: - """ - connects individual intrusion detection tools into an information system-wide - intrusion detection system; and - """ - - - id: si-4.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(1)[2] - prose: - """ - configures individual intrusion detection tools into an information system-wide - intrusion detection system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection - capability - """ - - - id: si-4.2 - class: SP800-53-enhancement - title: Automated Tools for Real-time Analysis - properties: - - - name: label - value: SI-4(2) - - - name: sort-id - value: si-04.02 - parts: - - - id: si-4.2_smt - name: statement - prose: - """ - The organization employs automated tools to support near real-time analysis of - events. - """ - - - id: si-4.2_gdn - name: guidance - prose: - """ - Automated tools include, for example, host-based, network-based, transport-based, - or storage-based event monitoring tools or Security Information and Event - Management (SIEM) technologies that provide real time analysis of alerts and/or - notifications generated by organizational information systems. - """ - - - id: si-4.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated tools to support near real-time - analysis of events. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for incident - response/management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for near real-time analysis of events\n\norganizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing information system - monitoring\n\nautomated mechanisms/tools supporting and/or implementing analysis of - events - """ - - - id: si-4.4 - class: SP800-53-enhancement - title: Inbound and Outbound Communications Traffic - parameters: - - - id: si-4.4_prm_1 - label: organization-defined frequency - constraints: - - - detail: continuously - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4(4) - - - name: sort-id - value: si-04.04 - parts: - - - id: si-4.4_smt - name: statement - prose: - """ - The information system monitors inbound and outbound communications traffic - {{ si-4.4_prm_1 }} for unusual or unauthorized activities or - conditions. - """ - - - id: si-4.4_gdn - name: guidance - prose: - """ - Unusual/unauthorized activities or conditions related to information system - inbound and outbound communications traffic include, for example, internal traffic - that indicates the presence of malicious code within organizational information - systems or propagating among system components, the unauthorized exporting of - information, or signaling to external information systems. Evidence of malicious - code is used to identify potentially compromised information systems or - information system components. - """ - - - id: si-4.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(4)[1] - prose: defines a frequency to monitor: - parts: - - - id: si-4.4_obj.1.a - name: objective - properties: - - - name: label - value: SI-4(4)[1][a] - prose: - """ - inbound communications traffic for unusual or unauthorized activities or - conditions; - """ - - - id: si-4.4_obj.1.b - name: objective - properties: - - - name: label - value: SI-4(4)[1][b] - prose: - """ - outbound communications traffic for unusual or unauthorized activities or - conditions; - """ - - - id: si-4.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(4)[2] - prose: monitors, with the organization-defined frequency: - parts: - - - id: si-4.4_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(4)[2][a] - prose: - """ - inbound communications traffic for unusual or unauthorized activities or - conditions; and - """ - - - id: si-4.4_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(4)[2][b] - prose: - """ - outbound communications traffic for unusual or unauthorized activities or - conditions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system protocols\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection - capability/information system monitoring\n\nautomated mechanisms supporting and/or implementing monitoring of - inbound/outbound communications traffic - """ - - - id: si-4.5 - class: SP800-53-enhancement - title: System-generated Alerts - parameters: - - - id: si-4.5_prm_1 - label: organization-defined personnel or roles - - - id: si-4.5_prm_2 - label: organization-defined compromise indicators - properties: - - - name: label - value: SI-4(5) - - - name: sort-id - value: si-04.05 - parts: - - - id: si-4.5_smt - name: statement - prose: - """ - The information system alerts {{ si-4.5_prm_1 }} when the following - indications of compromise or potential compromise occur: {{ si-4.5_prm_2 }}. - """ - parts: - - - id: si-4.5_fr - name: item - title: SI-4 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: si-4.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: In accordance with the incident response plan. - - - id: si-4.5_gdn - name: guidance - prose: - """ - Alerts may be generated from a variety of sources, including, for example, audit - records or inputs from malicious code protection mechanisms, intrusion detection - or prevention mechanisms, or boundary protection devices such as firewalls, - gateways, and routers. Alerts can be transmitted, for example, telephonically, by - electronic mail messages, or by text messaging. Organizational personnel on the - notification list can include, for example, system administrators, - mission/business owners, system owners, or information system security - officers. - """ - links: - - - href: #au-5 - rel: related - text: AU-5 - - - href: #pe-6 - rel: related - text: PE-6 - - - id: si-4.5_obj - name: objective - prose: Determine if: - parts: - - - id: si-4.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(5)[1] - prose: the organization defines compromise indicators for the information system; - - - id: si-4.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(5)[2] - prose: - """ - the organization defines personnel or roles to be alerted when indications of - compromise or potential compromise occur; and - """ - - - id: si-4.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(5)[3] - prose: - """ - the information system alerts organization-defined personnel or roles when - organization-defined compromise indicators occur. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\nalerts/notifications generated based on compromise indicators\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability\n\nautomated mechanisms supporting and/or implementing alerts for compromise - indicators - """ - - - id: si-4.11 - class: SP800-53-enhancement - title: Analyze Communications Traffic Anomalies - parameters: - - - id: si-4.11_prm_1 - label: - """ - organization-defined interior points within the system (e.g., subnetworks, - subsystems) - """ - properties: - - - name: label - value: SI-4(11) - - - name: sort-id - value: si-04.11 - parts: - - - id: si-4.11_smt - name: statement - prose: - """ - The organization analyzes outbound communications traffic at the external boundary - of the information system and selected {{ si-4.11_prm_1 }} to - discover anomalies. - """ - - - id: si-4.11_gdn - name: guidance - prose: - """ - Anomalies within organizational information systems include, for example, large - file transfers, long-time persistent connections, unusual protocols and ports in - use, and attempted communications with suspected malicious external addresses. - """ - - - id: si-4.11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(11)[1] - prose: - """ - defines interior points within the system (e.g., subnetworks, subsystems) where - communications traffic is to be analyzed; - """ - - - id: si-4.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(11)[2] - prose: analyzes outbound communications traffic to discover anomalies at: - parts: - - - id: si-4.11_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(11)[2][a] - prose: the external boundary of the information system; and - - - id: si-4.11_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(11)[2][b] - prose: selected organization-defined interior points within the system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\nnetwork diagram\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability\n\nautomated mechanisms supporting and/or implementing analysis of communications - traffic - """ - - - id: si-4.14 - class: SP800-53-enhancement - title: Wireless Intrusion Detection - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4(14) - - - name: sort-id - value: si-04.14 - parts: - - - id: si-4.14_smt - name: statement - prose: - """ - The organization employs a wireless intrusion detection system to identify rogue - wireless devices and to detect attack attempts and potential compromises/breaches - to the information system. - """ - - - id: si-4.14_gdn - name: guidance - prose: - """ - Wireless signals may radiate beyond the confines of organization-controlled - facilities. Organizations proactively search for unauthorized wireless connections - including the conduct of thorough scans for unauthorized wireless access points. - Scans are not limited to those areas within facilities containing information - systems, but also include areas outside of facilities as needed, to verify that - unauthorized wireless access points are not connected to the systems. - """ - links: - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-3 - rel: related - text: IA-3 - - - id: si-4.14_obj - name: objective - prose: - """ - Determine if the organization employs a wireless intrusion detection system - to: - """ - parts: - - - id: si-4.14_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(14)[1] - prose: identify rogue wireless devices; - - - id: si-4.14_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(14)[2] - prose: detect attack attempts to the information system; and - - - id: si-4.14_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(14)[3] - prose: detect potential compromises/breaches to the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system protocols\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection\n\nautomated mechanisms supporting and/or implementing wireless intrusion - detection capability - """ - - - id: si-4.16 - class: SP800-53-enhancement - title: Correlate Monitoring Information - properties: - - - name: label - value: SI-4(16) - - - name: sort-id - value: si-04.16 - parts: - - - id: si-4.16_smt - name: statement - prose: - """ - The organization correlates information from monitoring tools employed throughout - the information system. - """ - - - id: si-4.16_gdn - name: guidance - prose: - """ - Correlating information from different monitoring tools can provide a more - comprehensive view of information system activity. The correlation of monitoring - tools that usually work in isolation (e.g., host monitoring, network monitoring, - anti-virus software) can provide an organization-wide view and in so doing, may - reveal otherwise unseen attack patterns. Understanding the - capabilities/limitations of diverse monitoring tools and how to maximize the - utility of information generated by those tools can help organizations to build, - operate, and maintain effective monitoring programs. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - id: si-4.16_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization correlates information from monitoring tools - employed throughout the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\nevent correlation logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability\n\nautomated mechanisms supporting and/or implementing correlation of information - from monitoring tools - """ - - - id: si-4.18 - class: SP800-53-enhancement - title: Analyze Traffic / Covert Exfiltration - parameters: - - - id: si-4.18_prm_1 - label: - """ - organization-defined interior points within the system (e.g., subsystems, - subnetworks) - """ - properties: - - - name: label - value: SI-4(18) - - - name: sort-id - value: si-04.18 - parts: - - - id: si-4.18_smt - name: statement - prose: - """ - The organization analyzes outbound communications traffic at the external boundary - of the information system (i.e., system perimeter) and at {{ si-4.18_prm_1 }} to detect covert exfiltration of information. - """ - - - id: si-4.18_gdn - name: guidance - prose: - """ - Covert means that can be used for the unauthorized exfiltration of organizational - information include, for example, steganography. - """ - - - id: si-4.18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.18_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(18)[1] - prose: - """ - defines interior points within the system (e.g., subsystems, subnetworks) where - communications traffic is to be analyzed; - """ - - - id: si-4.18_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(18)[2] - prose: - """ - to detect covert exfiltration of information, analyzes outbound communications - traffic at: - """ - parts: - - - id: si-4.18_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(18)[2][a] - prose: - """ - the external boundary of the information system (i.e., system perimeter); - and - """ - - - id: si-4.18_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(18)[2][b] - prose: organization-defined interior points within the system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\nnetwork diagram\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection/system - monitoring capability\n\nautomated mechanisms supporting and/or implementing analysis of outbound - communications traffic - """ - - - id: si-4.19 - class: SP800-53-enhancement - title: Individuals Posing Greater Risk - parameters: - - - id: si-4.19_prm_1 - label: organization-defined additional monitoring - - - id: si-4.19_prm_2 - label: organization-defined sources - properties: - - - name: label - value: SI-4(19) - - - name: sort-id - value: si-04.19 - parts: - - - id: si-4.19_smt - name: statement - prose: - """ - The organization implements {{ si-4.19_prm_1 }} of individuals who - have been identified by {{ si-4.19_prm_2 }} as posing an increased - level of risk. - """ - - - id: si-4.19_gdn - name: guidance - prose: - """ - Indications of increased risk from individuals can be obtained from a variety of - sources including, for example, human resource records, intelligence agencies, law - enforcement organizations, and/or other credible sources. The monitoring of - individuals is closely coordinated with management, legal, security, and human - resources officials within organizations conducting such monitoring and complies - with federal legislation, Executive Orders, policies, directives, regulations, and - standards. - """ - - - id: si-4.19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.19_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(19)[1] - prose: - """ - defines sources that identify individuals who pose an increased level of - risk; - """ - - - id: si-4.19_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(19)[2] - prose: - """ - defines additional monitoring to be implemented on individuals who have been - identified by organization-defined sources as posing an increased level of - risk; and - """ - - - id: si-4.19_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(19)[3] - prose: - """ - implements organization-defined additional monitoring of individuals who have - been identified by organization-defined sources as posing an increased level of - risk. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing information system monitoring\n\ninformation system design documentation\n\nlist of individuals who have been identified as posing an increased level of - risk\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring - capability - """ - - - id: si-4.20 - class: SP800-53-enhancement - title: Privileged Users - parameters: - - - id: si-4.20_prm_1 - label: organization-defined additional monitoring - properties: - - - name: label - value: SI-4(20) - - - name: sort-id - value: si-04.20 - parts: - - - id: si-4.20_smt - name: statement - prose: - """ - The organization implements {{ si-4.20_prm_1 }} of privileged - users. - """ - - - id: si-4.20_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.20_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(20)[1] - prose: defines additional monitoring to be implemented on privileged users; and - - - id: si-4.20_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(20)[2] - prose: implements organization-defined additional monitoring of privileged users; - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\nlist of privileged users\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring - capability - """ - - - id: si-4.22 - class: SP800-53-enhancement - title: Unauthorized Network Services - parameters: - - - id: si-4.22_prm_1 - label: organization-defined authorization or approval processes - - - id: si-4.22_prm_2 - - - id: si-4.22_prm_3 - depends-on: si-4.22_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: SI-4(22) - - - name: sort-id - value: si-04.22 - parts: - - - id: si-4.22_smt - name: statement - prose: - """ - The information system detects network services that have not been authorized or - approved by {{ si-4.22_prm_1 }} and {{ si-4.22_prm_2 }}. - """ - - - id: si-4.22_gdn - name: guidance - prose: - """ - Unauthorized or unapproved network services include, for example, services in - service-oriented architectures that lack organizational verification or validation - and therefore may be unreliable or serve as malicious rogues for valid - services. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: si-4.22_obj - name: objective - prose: Determine if: - parts: - - - id: si-4.22_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(22)[1] - prose: - """ - the organization defines authorization or approval processes for network - services; - """ - - - id: si-4.22_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(22)[2] - prose: - """ - the organization defines personnel or roles to be alerted upon detection of - network services that have not been authorized or approved by - organization-defined authorization or approval processes; - """ - - - id: si-4.22_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(22)[3] - prose: - """ - the information system detects network services that have not been authorized - or approved by organization-defined authorization or approval processes and - does one or more of the following: - """ - parts: - - - id: si-4.22_obj.3.a - name: objective - properties: - - - name: label - value: SI-4(22)[3][a] - prose: audits; and/or - - - id: si-4.22_obj.3.b - name: objective - properties: - - - name: label - value: SI-4(22)[3][b] - prose: alerts organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ndocumented authorization/approval of network services\n\nnotifications or alerts of unauthorized network services\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing system monitoring - capability\n\nautomated mechanisms for auditing network services\n\nautomated mechanisms for providing alerts - """ - - - id: si-4.23 - class: SP800-53-enhancement - title: Host-based Devices - parameters: - - - id: si-4.23_prm_1 - label: organization-defined host-based monitoring mechanisms - - - id: si-4.23_prm_2 - label: organization-defined information system components - properties: - - - name: label - value: SI-4(23) - - - name: sort-id - value: si-04.23 - parts: - - - id: si-4.23_smt - name: statement - prose: The organization implements {{ si-4.23_prm_1 }} at {{ si-4.23_prm_2 }}. - - - id: si-4.23_gdn - name: guidance - prose: - """ - Information system components where host-based monitoring can be implemented - include, for example, servers, workstations, and mobile devices. Organizations - consider employing host-based monitoring mechanisms from multiple information - technology product developers. - """ - - - id: si-4.23_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.23_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(23)[1] - prose: defines host-based monitoring mechanisms to be implemented; - - - id: si-4.23_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(23)[2] - prose: - """ - defines information system components where organization-defined host-based - monitoring is to be implemented; and - """ - - - id: si-4.23_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(23)[3] - prose: - """ - implements organization-defined host-based monitoring mechanisms at - organization-defined information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\nhost-based monitoring mechanisms\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system components requiring host-based monitoring\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring information system - hosts - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing host-based monitoring - capability - """ - - - id: si-4.24 - class: SP800-53-enhancement - title: Indicators of Compromise - properties: - - - name: label - value: SI-4(24) - - - name: sort-id - value: si-04.24 - parts: - - - id: si-4.24_smt - name: statement - prose: - """ - The information system discovers, collects, distributes, and uses indicators of - compromise. - """ - - - id: si-4.24_gdn - name: guidance - prose: - """ - Indicators of compromise (IOC) are forensic artifacts from intrusions that are - identified on organizational information systems (at the host or network level). - IOCs provide organizations with valuable information on objects or information - systems that have been compromised. IOCs for the discovery of compromised hosts - can include for example, the creation of registry key values. IOCs for network - traffic include, for example, Universal Resource Locator (URL) or protocol - elements that indicate malware command and control servers. The rapid distribution - and adoption of IOCs can improve information security by reducing the time that - information systems and organizations are vulnerable to the same exploit or - attack. - """ - - - id: si-4.24_obj - name: objective - prose: Determine if the information system: - parts: - - - id: si-4.24_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(24)[1] - prose: discovers indicators of compromise; - - - id: si-4.24_obj.2 - name: objective - properties: - - - name: label - value: SI-4(24)[2] - prose: collects indicators of compromise; - - - id: si-4.24_obj.3 - name: objective - properties: - - - name: label - value: SI-4(24)[3] - prose: distributes indicators of compromise; and - - - id: si-4.24_obj.4 - name: objective - properties: - - - name: label - value: SI-4(24)[4] - prose: uses indicators of compromise. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring information system - hosts - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\norganizational processes for discovery, collection, distribution, and use of - indicators of compromise\n\nautomated mechanisms supporting and/or implementing system monitoring - capability\n\nautomated mechanisms supporting and/or implementing the discovery, collection, - distribution, and use of indicators of compromise - """ - - - id: si-5 - class: SP800-53 - title: Security Alerts, Advisories, and Directives - parameters: - - - id: si-5_prm_1 - label: organization-defined external organizations - constraints: - - - detail: to include US-CERT - - - id: si-5_prm_2 - constraints: - - - detail: to include system security personnel and administrators with configuration/patch-management responsibilities - - - id: si-5_prm_3 - depends-on: si-5_prm_2 - label: organization-defined personnel or roles - - - id: si-5_prm_4 - depends-on: si-5_prm_2 - label: organization-defined elements within the organization - - - id: si-5_prm_5 - depends-on: si-5_prm_2 - label: organization-defined external organizations - properties: - - - name: label - value: SI-5 - - - name: sort-id - value: si-05 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - parts: - - - id: si-5_smt - name: statement - prose: The organization: - parts: - - - id: si-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receives information system security alerts, advisories, and directives from - {{ si-5_prm_1 }} on an ongoing basis; - """ - - - id: si-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and - - - id: si-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance. - """ - - - id: si-5_gdn - name: guidance - prose: - """ - The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations. - """ - links: - - - href: #si-2 - rel: related - text: SI-2 - - - id: si-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-5.a_obj - name: objective - properties: - - - name: label - value: SI-5(a) - parts: - - - id: si-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(a)[1] - prose: - """ - defines external organizations from whom information system security alerts, - advisories and directives are to be received; - """ - - - id: si-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(a)[2] - prose: - """ - receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis; - """ - - - id: si-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(b) - prose: - """ - generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5.c_obj - name: objective - properties: - - - name: label - value: SI-5(c) - parts: - - - id: si-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[1] - prose: - """ - defines personnel or roles to whom security alerts, advisories, and directives - are to be provided; - """ - - - id: si-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[2] - prose: - """ - defines elements within the organization to whom security alerts, advisories, - and directives are to be provided; - """ - - - id: si-5.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[3] - prose: - """ - defines external organizations to whom security alerts, advisories, and - directives are to be provided; - """ - - - id: si-5.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(c)[4] - prose: - """ - disseminates security alerts, advisories, and directives to one or more of the - following: - """ - parts: - - - id: si-5.c_obj.4.a - name: objective - properties: - - - name: label - value: SI-5(c)[4][a] - prose: organization-defined personnel or roles; - - - id: si-5.c_obj.4.b - name: objective - properties: - - - name: label - value: SI-5(c)[4][b] - prose: organization-defined elements within the organization; and/or - - - id: si-5.c_obj.4.c - name: objective - properties: - - - name: label - value: SI-5(c)[4][c] - prose: organization-defined external organizations; and - - - id: si-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(d) - parts: - - - id: si-5.d_obj.1 - name: objective - properties: - - - name: label - value: SI-5(d)[1] - prose: - """ - implements security directives in accordance with established time frames; - or - """ - - - id: si-5.d_obj.2 - name: objective - properties: - - - name: label - value: SI-5(d)[2] - prose: notifies the issuing organization of the degree of noncompliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing security alerts, advisories, and directives\n\nrecords of security alerts and advisories\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the - information system\n\norganizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing security directives - """ - controls: - - - id: si-5.1 - class: SP800-53-enhancement - title: Automated Alerts and Advisories - properties: - - - name: label - value: SI-5(1) - - - name: sort-id - value: si-05.01 - parts: - - - id: si-5.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to make security alert and advisory - information available throughout the organization. - """ - - - id: si-5.1_gdn - name: guidance - prose: - """ - The significant number of changes to organizational information systems and the - environments in which those systems operate requires the dissemination of - security-related information to a variety of organizational entities that have a - direct interest in the success of organizational missions and business functions. - Based on the information provided by the security alerts and advisories, changes - may be required at one or more of the three tiers related to the management of - information security risk including the governance level, mission/business - process/enterprise architecture level, and the information system level. - """ - - - id: si-5.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to make security alert - and advisory information available throughout the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing security alerts, advisories, and directives\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nautomated mechanisms supporting the distribution of security alert and advisory - information\n\nrecords of security alerts and advisories\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the - information system\n\norganizational personnel, organizational elements, and/or external - organizations to whom alerts and advisories are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining, receiving, generating, and disseminating - security alerts and advisories\n\nautomated mechanisms supporting and/or implementing dissemination of security - alerts and advisories - """ - - - id: si-6 - class: SP800-53 - title: Security Function Verification - parameters: - - - id: si-6_prm_1 - label: organization-defined security functions - - - id: si-6_prm_2 - - - id: si-6_prm_3 - depends-on: si-6_prm_2 - label: organization-defined system transitional states - constraints: - - - detail: to include upon system startup and/or restart - - - id: si-6_prm_4 - depends-on: si-6_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: si-6_prm_5 - label: organization-defined personnel or roles - constraints: - - - detail: to include system administrators and security personnel - - - id: si-6_prm_6 - - - id: si-6_prm_7 - depends-on: si-6_prm_6 - label: organization-defined alternative action(s) - constraints: - - - detail: to include notification of system administrators and security personnel - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-6 - - - name: sort-id - value: si-06 - parts: - - - id: si-6_smt - name: statement - prose: The information system: - parts: - - - id: si-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: Verifies the correct operation of {{ si-6_prm_1 }}; - - - id: si-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Performs this verification {{ si-6_prm_2 }}; - - - id: si-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Notifies {{ si-6_prm_5 }} of failed security verification tests; - and - """ - - - id: si-6_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - - {{ si-6_prm_6 }} when anomalies are discovered. - """ - - - id: si-6_gdn - name: guidance - prose: - """ - Transitional states for information systems include, for example, system startup, - restart, shutdown, and abort. Notifications provided by information systems include, - for example, electronic alerts to system administrators, messages to local computer - consoles, and/or hardware indications such as lights. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-6 - rel: related - text: CM-6 - - - id: si-6_obj - name: objective - prose: Determine if: - parts: - - - id: si-6.a_obj - name: objective - properties: - - - name: label - value: SI-6(a) - parts: - - - id: si-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(a)[1] - prose: - """ - the organization defines security functions to be verified for correct - operation; - """ - - - id: si-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(a)[2] - prose: - """ - the information system verifies the correct operation of organization-defined - security functions; - """ - - - id: si-6.b_obj - name: objective - properties: - - - name: label - value: SI-6(b) - parts: - - - id: si-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(b)[1] - prose: - """ - the organization defines system transitional states requiring verification of - organization-defined security functions; - """ - - - id: si-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(b)[2] - prose: - """ - the organization defines a frequency to verify the correct operation of - organization-defined security functions; - """ - - - id: si-6.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(b)[3] - prose: - """ - the information system performs this verification one or more of the - following: - """ - parts: - - - id: si-6.b_obj.3.a - name: objective - properties: - - - name: label - value: SI-6(b)[3][a] - prose: at organization-defined system transitional states; - - - id: si-6.b_obj.3.b - name: objective - properties: - - - name: label - value: SI-6(b)[3][b] - prose: upon command by user with appropriate privilege; and/or - - - id: si-6.b_obj.3.c - name: objective - properties: - - - name: label - value: SI-6(b)[3][c] - prose: with the organization-defined frequency; - - - id: si-6.c_obj - name: objective - properties: - - - name: label - value: SI-6(c) - parts: - - - id: si-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(c)[1] - prose: - """ - the organization defines personnel or roles to be notified of failed security - verification tests; - """ - - - id: si-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(c)[2] - prose: - """ - the information system notifies organization-defined personnel or roles of - failed security verification tests; - """ - - - id: si-6.d_obj - name: objective - properties: - - - name: label - value: SI-6(d) - parts: - - - id: si-6.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(d)[1] - prose: - """ - the organization defines alternative action(s) to be performed when anomalies - are discovered; - """ - - - id: si-6.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(d)[2] - prose: - """ - the information system performs one or more of the following actions when - anomalies are discovered: - """ - parts: - - - id: si-6.d_obj.2.a - name: objective - properties: - - - name: label - value: SI-6(d)[2][a] - prose: shuts the information system down; - - - id: si-6.d_obj.2.b - name: objective - properties: - - - name: label - value: SI-6(d)[2][b] - prose: restarts the information system; and/or - - - id: si-6.d_obj.2.c - name: objective - properties: - - - name: label - value: SI-6(d)[2][c] - prose: performs organization-defined alternative action(s). - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing security function verification\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nalerts/notifications of failed security verification tests\n\nlist of system transition states requiring security functionality verification\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security function verification responsibilities\n\norganizational personnel implementing, operating, and maintaining the information - system\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for security function verification\n\nautomated mechanisms supporting and/or implementing security function verification - capability - """ - - - id: si-7 - class: SP800-53 - title: Software, Firmware, and Information Integrity - parameters: - - - id: si-7_prm_1 - label: organization-defined software, firmware, and information - properties: - - - name: label - value: SI-7 - - - name: sort-id - value: si-07 - links: - - - href: #6bf8d24a-78dc-4727-a2ac-0e64d71c495c - rel: reference - text: NIST Special Publication 800-147 - - - href: #3878cc04-144a-483e-af62-8fe6f4ad6c7a - rel: reference - text: NIST Special Publication 800-155 - parts: - - - id: si-7_smt - name: statement - prose: - """ - The organization employs integrity verification tools to detect unauthorized changes - to {{ si-7_prm_1 }}. - """ - - - id: si-7_gdn - name: guidance - prose: - """ - Unauthorized changes to software, firmware, and information can occur due to errors - or malicious activity (e.g., tampering). Software includes, for example, operating - systems (with key internal components such as kernels, drivers), middleware, and - applications. Firmware includes, for example, the Basic Input Output System (BIOS). - Information includes metadata such as security attributes associated with - information. State-of-the-practice integrity-checking mechanisms (e.g., parity - checks, cyclical redundancy checks, cryptographic hashes) and associated tools can - automatically monitor the integrity of information systems and hosted - applications. - """ - links: - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #si-3 - rel: related - text: SI-3 - - - id: si-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-7_obj.1 - name: objective - properties: - - - name: label - value: SI-7[1] - parts: - - - id: si-7_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7[1][a] - prose: - """ - defines software requiring integrity verification tools to be employed to - detect unauthorized changes; - """ - - - id: si-7_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7[1][b] - prose: - """ - defines firmware requiring integrity verification tools to be employed to - detect unauthorized changes; - """ - - - id: si-7_obj.1.c - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7[1][c] - prose: - """ - defines information requiring integrity verification tools to be employed to - detect unauthorized changes; - """ - - - id: si-7_obj.2 - name: objective - properties: - - - name: label - value: SI-7[2] - prose: - """ - employs integrity verification tools to detect unauthorized changes to - organization-defined: - """ - parts: - - - id: si-7_obj.2.a - name: objective - properties: - - - name: label - value: SI-7[2][a] - prose: software; - - - id: si-7_obj.2.b - name: objective - properties: - - - name: label - value: SI-7[2][b] - prose: firmware; and - - - id: si-7_obj.2.c - name: objective - properties: - - - name: label - value: SI-7[2][c] - prose: information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords generated/triggered from integrity verification tools regarding - unauthorized software, firmware, and information changes\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Software, firmware, and information integrity verification tools - controls: - - - id: si-7.1 - class: SP800-53-enhancement - title: Integrity Checks - parameters: - - - id: si-7.1_prm_1 - label: organization-defined software, firmware, and information - - - id: si-7.1_prm_2 - - - id: si-7.1_prm_3 - depends-on: si-7.1_prm_2 - label: organization-defined transitional states or security-relevant events - constraints: - - - detail: selection to include security relevant events - - - id: si-7.1_prm_4 - depends-on: si-7.1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-7(1) - - - name: sort-id - value: si-07.01 - parts: - - - id: si-7.1_smt - name: statement - prose: - """ - The information system performs an integrity check of {{ si-7.1_prm_1 }} - {{ si-7.1_prm_2 }}. - """ - - - id: si-7.1_gdn - name: guidance - prose: - """ - Security-relevant events include, for example, the identification of a new threat - to which organizational information systems are susceptible, and the installation - of new hardware, software, or firmware. Transitional states include, for example, - system startup, restart, shutdown, and abort. - """ - - - id: si-7.1_obj - name: objective - prose: Determine if: - parts: - - - id: si-7.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(1)[1] - prose: the organization defines: - parts: - - - id: si-7.1_obj.1.a - name: objective - properties: - - - name: label - value: SI-7(1)[1][a] - prose: software requiring integrity checks to be performed; - - - id: si-7.1_obj.1.b - name: objective - properties: - - - name: label - value: SI-7(1)[1][b] - prose: firmware requiring integrity checks to be performed; - - - id: si-7.1_obj.1.c - name: objective - properties: - - - name: label - value: SI-7(1)[1][c] - prose: information requiring integrity checks to be performed; - - - id: si-7.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(1)[2] - prose: - """ - the organization defines transitional states or security-relevant events - requiring integrity checks of organization-defined: - """ - parts: - - - id: si-7.1_obj.2.a - name: objective - properties: - - - name: label - value: SI-7(1)[2][a] - prose: software; - - - id: si-7.1_obj.2.b - name: objective - properties: - - - name: label - value: SI-7(1)[2][b] - prose: firmware; - - - id: si-7.1_obj.2.c - name: objective - properties: - - - name: label - value: SI-7(1)[2][c] - prose: information; - - - id: si-7.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(1)[3] - prose: - """ - the organization defines a frequency with which to perform an integrity check - of organization-defined: - """ - parts: - - - id: si-7.1_obj.3.a - name: objective - properties: - - - name: label - value: SI-7(1)[3][a] - prose: software; - - - id: si-7.1_obj.3.b - name: objective - properties: - - - name: label - value: SI-7(1)[3][b] - prose: firmware; - - - id: si-7.1_obj.3.c - name: objective - properties: - - - name: label - value: SI-7(1)[3][c] - prose: information; - - - id: si-7.1_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(1)[4] - prose: - """ - the information system performs an integrity check of organization-defined - software, firmware, and information one or more of the following: - """ - parts: - - - id: si-7.1_obj.4.a - name: objective - properties: - - - name: label - value: SI-7(1)[4][a] - prose: at startup; - - - id: si-7.1_obj.4.b - name: objective - properties: - - - name: label - value: SI-7(1)[4][b] - prose: - """ - at organization-defined transitional states or security-relevant events; - and/or - """ - - - id: si-7.1_obj.4.c - name: objective - properties: - - - name: label - value: SI-7(1)[4][c] - prose: with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Software, firmware, and information integrity verification tools - - - id: si-7.2 - class: SP800-53-enhancement - title: Automated Notifications of Integrity Violations - parameters: - - - id: si-7.2_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: SI-7(2) - - - name: sort-id - value: si-07.02 - parts: - - - id: si-7.2_smt - name: statement - prose: - """ - The organization employs automated tools that provide notification to {{ si-7.2_prm_1 }} upon discovering discrepancies during integrity - verification. - """ - - - id: si-7.2_gdn - name: guidance - prose: - """ - The use of automated tools to report integrity violations and to notify - organizational personnel in a timely matter is an essential precursor to effective - risk response. Personnel having an interest in integrity violations include, for - example, mission/business owners, information system owners, systems - administrators, software developers, systems integrators, and information security - officers. - """ - - - id: si-7.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-7.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(2)[1] - prose: - """ - defines personnel or roles to whom notification is to be provided upon - discovering discrepancies during integrity verification; and - """ - - - id: si-7.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(2)[2] - prose: - """ - employs automated tools that provide notification to organization-defined - personnel or roles upon discovering discrepancies during integrity - verification. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nautomated tools supporting alerts and notifications for integrity - discrepancies\n\nalerts/notifications provided upon discovering discrepancies during integrity - verifications\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Software, firmware, and information integrity verification tools\n\nautomated mechanisms providing integrity discrepancy notifications - - - id: si-7.5 - class: SP800-53-enhancement - title: Automated Response to Integrity Violations - parameters: - - - id: si-7.5_prm_1 - - - id: si-7.5_prm_2 - depends-on: si-7.5_prm_1 - label: organization-defined security safeguards - properties: - - - name: label - value: SI-7(5) - - - name: sort-id - value: si-07.05 - parts: - - - id: si-7.5_smt - name: statement - prose: - """ - The information system automatically {{ si-7.5_prm_1 }} when - integrity violations are discovered. - """ - - - id: si-7.5_gdn - name: guidance - prose: - """ - Organizations may define different integrity checking and anomaly responses: (i) - by type of information (e.g., firmware, software, user data); (ii) by specific - information (e.g., boot firmware, boot firmware for a specific types of machines); - or (iii) a combination of both. Automatic implementation of specific safeguards - within organizational information systems includes, for example, reversing the - changes, halting the information system, or triggering audit alerts when - unauthorized modifications to critical security files occur. - """ - - - id: si-7.5_obj - name: objective - prose: Determine if: - parts: - - - id: si-7.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(5)[1] - prose: - """ - the organization defines security safeguards to be implemented when integrity - violations are discovered; - """ - - - id: si-7.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(5)[2] - prose: - """ - the information system automatically performs one or more of the following - actions when integrity violations are discovered: - """ - parts: - - - id: si-7.5_obj.2.a - name: objective - properties: - - - name: label - value: SI-7(5)[2][a] - prose: shuts the information system down; - - - id: si-7.5_obj.2.b - name: objective - properties: - - - name: label - value: SI-7(5)[2][b] - prose: restarts the information system; and/or - - - id: si-7.5_obj.2.c - name: objective - properties: - - - name: label - value: SI-7(5)[2][c] - prose: implements the organization-defined security safeguards. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nrecords of integrity checks and responses to integrity violations\n\ninformation audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Software, firmware, and information integrity verification tools\n\nautomated mechanisms providing an automated response to integrity - violations\n\nautomated mechanisms supporting and/or implementing security safeguards to be - implemented when integrity violations are discovered - """ - - - id: si-7.7 - class: SP800-53-enhancement - title: Integration of Detection and Response - parameters: - - - id: si-7.7_prm_1 - label: - """ - organization-defined security-relevant changes to the information - system - """ - properties: - - - name: label - value: SI-7(7) - - - name: sort-id - value: si-07.07 - parts: - - - id: si-7.7_smt - name: statement - prose: - """ - The organization incorporates the detection of unauthorized {{ si-7.7_prm_1 }} into the organizational incident response - capability. - """ - - - id: si-7.7_gdn - name: guidance - prose: - """ - This control enhancement helps to ensure that detected events are tracked, - monitored, corrected, and available for historical purposes. Maintaining - historical records is important both for being able to identify and discern - adversary actions over an extended period of time and for possible legal actions. - Security-relevant changes include, for example, unauthorized changes to - established configuration settings or unauthorized elevation of information system - privileges. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #si-4 - rel: related - text: SI-4 - - - id: si-7.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-7.7_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(7)[1] - prose: - """ - defines unauthorized security-relevant changes to the information system; - and - """ - - - id: si-7.7_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(7)[2] - prose: - """ - incorporates the detection of unauthorized organization-defined - security-relevant changes to the information system into the organizational - incident response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\nprocedures addressing incident response\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response records\n\ninformation audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incorporating detection of unauthorized - security-relevant changes into the incident response capability\n\nsoftware, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing incorporation of detection - of unauthorized security-relevant changes into the incident response - capability - """ - - - id: si-7.14 - class: SP800-53-enhancement - title: Binary or Machine Executable Code - properties: - - - name: label - value: SI-7(14) - - - name: sort-id - value: si-07.14 - parts: - - - id: si-7.14_smt - name: statement - prose: The organization: - parts: - - - id: si-7.14_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Prohibits the use of binary or machine-executable code from sources with - limited or no warranty and without the provision of source code; and - """ - - - id: si-7.14_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Provides exceptions to the source code requirement only for compelling - mission/operational requirements and with the approval of the authorizing - official. - """ - - - id: si-7.14_gdn - name: guidance - prose: - """ - This control enhancement applies to all sources of binary or machine-executable - code including, for example, commercial software/firmware and open source - software. Organizations assess software products without accompanying source code - from sources with limited or no warranty for potential security impacts. The - assessments address the fact that these types of software products may be very - difficult to review, repair, or extend, given that organizations, in most cases, - do not have access to the original source code, and there may be no owners who - could make such repairs on behalf of organizations. - """ - links: - - - href: #sa-5 - rel: related - text: SA-5 - - - id: si-7.14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-7.14.a_obj - name: objective - properties: - - - name: label - value: SI-7(14)(a) - parts: - - - id: si-7.14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(14)(a)[1] - prose: - """ - prohibits the use of binary or machine-executable code from sources with - limited or no warranty; - """ - - - id: si-7.14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(14)(a)[2] - prose: - """ - prohibits the use of binary or machine-executable code without the provision - of source code; - """ - links: - - - href: #si-7.14_smt.a - rel: corresp - text: SI-7(14)(a) - - - id: si-7.14.b_obj - name: objective - properties: - - - name: label - value: SI-7(14)(b) - parts: - - - id: si-7.14.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(14)(b)[1] - prose: - """ - provides exceptions to the source code requirement only for compelling - mission/operational requirements; and - """ - - - id: si-7.14.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(14)(b)[2] - prose: - """ - provides exceptions to the source code requirement only with the approval of - the authorizing official. - """ - links: - - - href: #si-7.14_smt.b - rel: corresp - text: SI-7(14)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\napproval records for execution of binary and machine-executable code\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\nauthorizing official\n\nsystem/network administrators\n\nsystem developer - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing prohibition of the - execution of binary or machine-executable code - """ - - - id: si-8 - class: SP800-53 - title: Spam Protection - properties: - - - name: label - value: SI-8 - - - name: sort-id - value: si-08 - links: - - - href: #c6e95ca0-5828-420e-b095-00895b72b5e8 - rel: reference - text: NIST Special Publication 800-45 - parts: - - - id: si-8_smt - name: statement - prose: The organization: - parts: - - - id: si-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs spam protection mechanisms at information system entry and exit points to - detect and take action on unsolicited messages; and - """ - - - id: si-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures. - """ - - - id: si-8_gdn - name: guidance - prose: - """ - Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, mobile - devices, and notebook/laptop computers. Spam can be transported by different means - including, for example, electronic mail, electronic mail attachments, and web - accesses. Spam protection mechanisms include, for example, signature definitions. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - id: si-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-8(a) - prose: employs spam protection mechanisms: - parts: - - - id: si-8.a_obj.1 - name: objective - properties: - - - name: label - value: SI-8(a)[1] - prose: at information system entry points to detect unsolicited messages; - - - id: si-8.a_obj.2 - name: objective - properties: - - - name: label - value: SI-8(a)[2] - prose: at information system entry points to take action on unsolicited messages; - - - id: si-8.a_obj.3 - name: objective - properties: - - - name: label - value: SI-8(a)[3] - prose: at information system exit points to detect unsolicited messages; - - - id: si-8.a_obj.4 - name: objective - properties: - - - name: label - value: SI-8(a)[4] - prose: - """ - at information system exit points to take action on unsolicited messages; - and - """ - - - id: si-8.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-8(b) - prose: - """ - updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nconfiguration management policy and procedures (CM-1)\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for implementing spam protection\n\nautomated mechanisms supporting and/or implementing spam protection - controls: - - - id: si-8.1 - class: SP800-53-enhancement - title: Central Management - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-8(1) - - - name: sort-id - value: si-08.01 - parts: - - - id: si-8.1_smt - name: statement - prose: The organization centrally manages spam protection mechanisms. - - - id: si-8.1_gdn - name: guidance - prose: - """ - Central management is the organization-wide management and implementation of spam - protection mechanisms. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - spam protection security controls. - """ - links: - - - href: #au-3 - rel: related - text: AU-3 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-8.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the organization centrally manages spam protection mechanisms. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for central management of spam protection\n\nautomated mechanisms supporting and/or implementing central management of spam - protection - """ - - - id: si-8.2 - class: SP800-53-enhancement - title: Automatic Updates - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-8(2) - - - name: sort-id - value: si-08.02 - parts: - - - id: si-8.2_smt - name: statement - prose: The information system automatically updates spam protection mechanisms. - - - id: si-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system automatically updates spam protection - mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for spam protection\n\nautomated mechanisms supporting and/or implementing automatic updates to spam - protection mechanisms - """ - - - id: si-10 - class: SP800-53 - title: Information Input Validation - parameters: - - - id: si-10_prm_1 - label: organization-defined information inputs - properties: - - - name: label - value: SI-10 - - - name: sort-id - value: si-10 - parts: - - - id: si-10_smt - name: statement - prose: The information system checks the validity of {{ si-10_prm_1 }}. - - - id: si-10_gdn - name: guidance - prose: - """ - Checking the valid syntax and semantics of information system inputs (e.g., character - set, length, numerical range, and acceptable values) verifies that inputs match - specified definitions for format and content. Software applications typically follow - well-defined protocols that use structured messages (i.e., commands or queries) to - communicate between software modules or system components. Structured messages can - contain raw or unstructured data interspersed with metadata or control information. - If software applications use attacker-supplied inputs to construct structured - messages without properly encoding such messages, then the attacker could insert - malicious commands or special characters that can cause the data to be interpreted as - control information or metadata. Consequently, the module or component that receives - the tainted output will perform the wrong operations or otherwise interpret the data - incorrectly. Prescreening inputs prior to passing to interpreters prevents the - content from being unintentionally interpreted as commands. Input validation helps to - ensure accurate and correct inputs and prevent attacks such as cross-site scripting - and a variety of injection attacks. - """ - - - id: si-10_obj - name: objective - prose: Determine if: - parts: - - - id: si-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-10[1] - prose: the organization defines information inputs requiring validity checks; and - - - id: si-10_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-10[2] - prose: - """ - the information system checks the validity of organization-defined information - inputs. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\naccess control policy and procedures\n\nseparation of duties policy and procedures\n\nprocedures addressing information input validation\n\ndocumentation for automated tools and applications to verify validity of - information\n\nlist of information inputs requiring validity checks\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing validity checks on information - inputs - """ - - - id: si-11 - class: SP800-53 - title: Error Handling - parameters: - - - id: si-11_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: SI-11 - - - name: sort-id - value: si-11 - parts: - - - id: si-11_smt - name: statement - prose: The information system: - parts: - - - id: si-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Generates error messages that provide information necessary for corrective actions - without revealing information that could be exploited by adversaries; and - """ - - - id: si-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reveals error messages only to {{ si-11_prm_1 }}. - - - id: si-11_gdn - name: guidance - prose: - """ - Organizations carefully consider the structure/content of error messages. The extent - to which information systems are able to identify and handle error conditions is - guided by organizational policy and operational requirements. Information that could - be exploited by adversaries includes, for example, erroneous logon attempts with - passwords entered by mistake as the username, mission/business information that can - be derived from (if not stated explicitly by) information recorded, and personal - information such as account numbers, social security numbers, and credit card - numbers. In addition, error messages may provide a covert channel for transmitting - information. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #sc-31 - rel: related - text: SC-31 - - - id: si-11_obj - name: objective - prose: Determine if: - parts: - - - id: si-11.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-11(a) - prose: - """ - the information system generates error messages that provide information necessary - for corrective actions without revealing information that could be exploited by - adversaries; - """ - - - id: si-11.b_obj - name: objective - properties: - - - name: label - value: SI-11(b) - parts: - - - id: si-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-11(b)[1] - prose: - """ - the organization defines personnel or roles to whom error messages are to be - revealed; and - """ - - - id: si-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-11(b)[2] - prose: - """ - the information system reveals error messages only to organization-defined - personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system error handling\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ndocumentation providing structure/content of error messages\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for error handling\n\nautomated mechanisms supporting and/or implementing error handling\n\nautomated mechanisms supporting and/or implementing management of error - messages - """ - - - id: si-12 - class: SP800-53 - title: Information Handling and Retention - properties: - - - name: label - value: SI-12 - - - name: sort-id - value: si-12 - parts: - - - id: si-12_smt - name: statement - prose: - """ - The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements. - """ - - - id: si-12_gdn - name: guidance - prose: - """ - Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention. - """ - links: - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - id: si-12_obj - name: objective - prose: - """ - Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements: - """ - parts: - - - id: si-12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-12[1] - prose: handles information within the information system; - - - id: si-12_obj.2 - name: objective - properties: - - - name: label - value: SI-12[2] - prose: handles output from the information system; - - - id: si-12_obj.3 - name: objective - properties: - - - name: label - value: SI-12[3] - prose: retains information within the information system; and - - - id: si-12_obj.4 - name: objective - properties: - - - name: label - value: SI-12[4] - prose: retains output from the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention\n\nmedia protection policy and procedures\n\nprocedures addressing information system output handling and retention\n\ninformation retention records, other relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for information handling and - retention\n\norganizational personnel with information security responsibilities/network - administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information handling and retention\n\nautomated mechanisms supporting and/or implementing information handling and - retention - """ - - - id: si-16 - class: SP800-53 - title: Memory Protection - parameters: - - - id: si-16_prm_1 - label: organization-defined security safeguards - properties: - - - name: label - value: SI-16 - - - name: sort-id - value: si-16 - parts: - - - id: si-16_smt - name: statement - prose: - """ - The information system implements {{ si-16_prm_1 }} to protect its - memory from unauthorized code execution. - """ - - - id: si-16_gdn - name: guidance - prose: - """ - Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism. - """ - links: - - - href: #ac-25 - rel: related - text: AC-25 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: si-16_obj - name: objective - prose: Determine if: - parts: - - - id: si-16_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-16[1] - prose: - """ - the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and - """ - - - id: si-16_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-16[2] - prose: - """ - the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing memory protection for the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of security safeguards protecting information system memory from unauthorized - code execution\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for memory protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution - """ - back-matter: - resources: - - - uuid: 0c97e60b-325a-4efa-ba2b-90f20ccd5abc - title: 5 C.F.R. 731.106 - citation: - text: - """ - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - """ - rlinks: - - - href: http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html - - - uuid: bb61234b-46c3-4211-8c2b-9869222a720d - title: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - citation: - text: C.F.R. 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- - control-id: ma-2 - - - control-id: ma-2.2 - - - control-id: ma-3 - - - control-id: ma-3.1 - - - control-id: ma-3.2 - - - control-id: ma-3.3 - - - control-id: ma-4 - - - control-id: ma-4.2 - - - control-id: ma-4.3 - - - control-id: ma-4.6 - - - control-id: ma-5 - - - control-id: ma-5.1 - - - control-id: ma-6 - - - control-id: mp-1 - - - control-id: mp-2 - - - control-id: mp-3 - - - control-id: mp-4 - - - control-id: mp-5 - - - control-id: mp-5.4 - - - control-id: mp-6 - - - control-id: mp-6.1 - - - control-id: mp-6.2 - - - control-id: mp-6.3 - - - control-id: mp-7 - - - control-id: mp-7.1 - - - control-id: pe-1 - - - control-id: pe-2 - - - control-id: pe-3 - - - control-id: pe-3.1 - - - control-id: pe-4 - - - control-id: pe-5 - - - control-id: pe-6 - - - control-id: pe-6.1 - - - control-id: pe-6.4 - - - control-id: pe-8 - - - control-id: pe-8.1 - - - control-id: pe-9 - - - control-id: pe-10 - - - control-id: pe-11 - - - control-id: pe-11.1 - - - control-id: pe-12 - - - control-id: pe-13 - - - control-id: pe-13.1 - - - control-id: pe-13.2 - - - control-id: pe-13.3 - - - control-id: pe-14 - - - control-id: pe-14.2 - - - control-id: pe-15 - - - control-id: pe-15.1 - - - control-id: pe-16 - - - control-id: pe-17 - - - control-id: pe-18 - - - control-id: pl-1 - - - control-id: pl-2 - - - control-id: pl-2.3 - - - control-id: pl-4 - - - control-id: pl-4.1 - - - control-id: pl-8 - - - control-id: ps-1 - - - control-id: ps-2 - - - control-id: ps-3 - - - control-id: ps-3.3 - - - control-id: ps-4 - - - control-id: ps-4.2 - - - control-id: ps-5 - - - control-id: ps-6 - - - control-id: ps-7 - - - control-id: ps-8 - - - control-id: ra-1 - - - control-id: ra-2 - - - control-id: ra-3 - - - control-id: ra-5 - - - control-id: ra-5.1 - - - control-id: ra-5.2 - - - control-id: ra-5.3 - - - control-id: ra-5.4 - - - control-id: ra-5.5 - - - control-id: ra-5.6 - - - control-id: ra-5.8 - - - control-id: ra-5.10 - - - control-id: sa-1 - - - control-id: sa-2 - - - control-id: sa-3 - - - control-id: sa-4 - - - control-id: sa-4.1 - - - control-id: sa-4.2 - - - control-id: sa-4.8 - - - control-id: sa-4.9 - - - control-id: sa-4.10 - - - control-id: sa-5 - - - control-id: sa-8 - - - control-id: sa-9 - - - control-id: sa-9.1 - - - control-id: sa-9.2 - - - control-id: sa-9.4 - - - control-id: sa-9.5 - - - control-id: sa-10 - - - control-id: sa-10.1 - - - control-id: sa-11 - - - control-id: sa-11.1 - - - control-id: sa-11.2 - - - control-id: sa-11.8 - - - control-id: sa-12 - - - control-id: sa-15 - - - control-id: sa-16 - - - control-id: sa-17 - - - control-id: sc-1 - - - control-id: sc-2 - - - control-id: sc-3 - - - control-id: sc-4 - - - control-id: sc-5 - - - control-id: sc-6 - - - control-id: sc-7 - - - control-id: sc-7.3 - - - control-id: sc-7.4 - - - control-id: sc-7.5 - - - control-id: sc-7.7 - - - control-id: sc-7.8 - - - control-id: sc-7.10 - - - control-id: sc-7.12 - - - control-id: sc-7.13 - - - control-id: sc-7.18 - - - control-id: sc-7.20 - - - control-id: sc-7.21 - - - control-id: sc-8 - - - control-id: sc-8.1 - - - control-id: sc-10 - - - control-id: sc-12 - - - control-id: sc-12.1 - - - control-id: sc-12.2 - - - control-id: sc-12.3 - - - control-id: sc-13 - - - control-id: sc-15 - - - control-id: sc-17 - - - control-id: sc-18 - - - control-id: sc-19 - - - control-id: sc-20 - - - control-id: sc-21 - - - control-id: sc-22 - - - control-id: sc-23 - - - control-id: sc-23.1 - - - control-id: sc-24 - - - control-id: sc-28 - - - control-id: sc-28.1 - - - control-id: sc-39 - - - control-id: si-1 - - - control-id: si-2 - - - control-id: si-2.1 - - - control-id: si-2.2 - - - control-id: si-2.3 - - - control-id: si-3 - - - control-id: si-3.1 - - - control-id: si-3.2 - - - control-id: si-3.7 - - - control-id: si-4 - - - control-id: si-4.1 - - - control-id: si-4.2 - - - control-id: si-4.4 - - - control-id: si-4.5 - - - control-id: si-4.11 - - - control-id: si-4.14 - - - control-id: si-4.16 - - - control-id: si-4.18 - - - control-id: si-4.19 - - - control-id: si-4.20 - - - control-id: si-4.22 - - - control-id: si-4.23 - - - control-id: si-4.24 - - - control-id: si-5 - - - control-id: si-5.1 - - - control-id: si-6 - - - control-id: si-7 - - - control-id: si-7.1 - - - control-id: si-7.2 - - - control-id: si-7.5 - - - control-id: si-7.7 - - - control-id: si-7.14 - - - control-id: si-8 - - - control-id: si-8.1 - - - control-id: si-8.2 - - - control-id: si-10 - - - control-id: si-11 - - - control-id: si-12 - - - control-id: si-16 - merge: - combine: - method: keep - as-is: true - modify: - parameter-settings: - ac-1_prm_2: - constraints: - - - detail: at least annually - ac-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ac-2_prm_4: - constraints: - - - detail: monthly for privileged accessed, every six (6) months for non-privileged access - ac-2.2_prm_1: - constraints: - - - detail: Selection: disables - ac-2.2_prm_2: - constraints: - - - detail: 24 hours from last use - ac-2.3_prm_1: - constraints: - - - detail: 35 days for user accounts - ac-2.4_prm_1: - constraints: - - - detail: organization and/or service provider system owner - ac-2.5_prm_1: - constraints: - - - detail: inactivity is anticipated to exceed Fifteen (15) minutes - ac-2.7_prm_1: - constraints: - - - detail: disables/revokes access within a organization-specified timeframe - ac-2.9_prm_1: - constraints: - - - detail: organization-defined need with justification statement that explains why such accounts are necessary - ac-2.12_prm_2: - constraints: - - - detail: at a minimum, the ISSO and/or similar role within the organization - ac-2.13_prm_1: - constraints: - - - detail: one (1) hour - ac-6.1_prm_1: - constraints: - - - detail: all functions not publicly accessible and all security-relevant information not publicly available - ac-6.2_prm_1: - constraints: - - - detail: all security functions - ac-6.3_prm_1: - constraints: - - - detail: all privileged commands - ac-6.7_prm_1: - constraints: - - - detail: at a minimum, annually - ac-6.7_prm_2: - constraints: - - - detail: all users with privileges - ac-6.8_prm_1: - constraints: - - - detail: any software except software explicitly documented - ac-7_prm_1: - constraints: - - - detail: not more than three (3) - ac-7_prm_2: - constraints: - - - detail: fifteen (15) minutes - ac-7_prm_4: - constraints: - - - detail: locks the account/node for a minimum of three (3) hours or until unlocked by an administrator - ac-7.2_prm_1: - constraints: - - - detail: mobile devices as defined by organization policy - ac-7.2_prm_3: - constraints: - - - detail: three (3) - ac-8_prm_1: - constraints: - - - detail: see additional Requirements and Guidance - ac-8_prm_2: - constraints: - - - detail: see additional Requirements and Guidance - ac-10_prm_2: - constraints: - - - detail: three (3) sessions for privileged access and two (2) sessions for non-privileged access - ac-11_prm_1: - constraints: - - - detail: fifteen (15) minutes - ac-17.9_prm_1: - constraints: - - - detail: fifteen (15) minutes - ac-22_prm_1: - constraints: - - - detail: at least quarterly - at-1_prm_2: - constraints: - - - detail: at least annually or whenever a significant change occurs - at-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - at-2_prm_1: - constraints: - - - detail: at least annually - at-3_prm_1: - constraints: - - - detail: at least annually - at-3.4_prm_1: - constraints: - - - detail: malicious code indicators as defined by organization incident policy/capability. - at-4_prm_1: - constraints: - - - detail: five (5) years or 5 years after completion of a specific training program - au-1_prm_2: - constraints: - - - detail: at least annually - au-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - au-2_prm_1: - constraints: - - - detail: successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - au-2_prm_2: - constraints: - - - detail: organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event - au-2.3_prm_1: - constraints: - - - detail: annually or whenever there is a change in the threat environment - au-3.1_prm_1: - constraints: - - - detail: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands - au-3.2_prm_1: - constraints: - - - detail: all network, data storage, and computing devices - au-5_prm_2: - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - au-5.2_prm_1: - constraints: - - - detail: real-time - au-5.2_prm_2: - constraints: - - - detail: service provider personnel with authority to address failed audit events - au-5.2_prm_3: - constraints: - - - detail: audit failure events requiring real-time alerts, as defined by organization audit policy - au-6_prm_1: - constraints: - - - detail: at least weekly - au-6.5_prm_2: - constraints: - - - detail: Possibly to include penetration test data. - au-6.7_prm_1: - constraints: - - - detail: information system process; role; user - au-8_prm_1: - constraints: - - - detail: one second granularity of time measurement - au-8.1_prm_1: - constraints: - - - detail: At least hourly - au-8.1_prm_2: - constraints: - - - detail: http://tf.nist.gov/tf-cgi/servers.cgi - au-9.2_prm_1: - constraints: - - - detail: at least weekly - au-10_prm_1: - constraints: - - - detail: minimum actions including the addition, modification, deletion, approval, sending, or receiving of data - au-11_prm_1: - constraints: - - - detail: at least one (1) year - au-12_prm_1: - constraints: - - - detail: all information system and network components where audit capability is deployed/available - au-12.1_prm_1: - constraints: - - - detail: all network, data storage, and computing devices - au-12.3_prm_1: - constraints: - - - detail: service provider-defined individuals or roles with audit configuration responsibilities - au-12.3_prm_2: - constraints: - - - detail: all network, data storage, and computing devices - ca-1_prm_2: - constraints: - - - detail: at least annually - ca-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ca-2_prm_1: - constraints: - - - detail: at least annually - ca-2_prm_2: - constraints: - - - detail: individuals or roles to include FedRAMP PMO - ca-2.2_prm_1: - constraints: - - - detail: at least annually - ca-2.3_prm_1: - constraints: - - - detail: any FedRAMP Accredited 3PAO - ca-2.3_prm_2: - constraints: - - - detail: any FedRAMP Accredited 3PAO - ca-2.3_prm_3: - constraints: - - - detail: the conditions of the JAB/AO in the FedRAMP Repository - ca-3_prm_1: - constraints: - - - detail: At least annually and on input from FedRAMP - ca-3.3_prm_2: - constraints: - - - detail: boundary protections which meet the Trusted Internet Connection (TIC) requirements - ca-3.5_prm_1: - constraints: - - - detail: deny-all, permit by exception - ca-3.5_prm_2: - constraints: - - - detail: any systems - ca-5_prm_1: - constraints: - - - detail: at least monthly - ca-6_prm_1: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ca-7_prm_4: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - ca-7_prm_5: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - ca-8_prm_1: - constraints: - - - detail: at least annually - cm-1_prm_2: - constraints: - - - detail: at least annually - cm-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - cm-2.1_prm_1: - constraints: - - - detail: at least annually or when a significant change occurs - cm-2.1_prm_2: - constraints: - - - detail: to include when directed by the JAB - cm-2.3_prm_1: - constraints: - - - detail: organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components - cm-3.1_prm_2: - constraints: - - - detail: organization agreed upon time period - cm-3.1_prm_3: - constraints: - - - detail: organization defined configuration management approval authorities - cm-3.4_prm_1: - constraints: - - - detail: Configuration control board (CCB) or similar (as defined in CM-3) - cm-3.6_prm_1: - constraints: - - - detail: All security safeguards that rely on cryptography - cm-5.2_prm_1: - constraints: - - - detail: at least every thirty (30) days - cm-5.5_prm_1: - constraints: - - - detail: at least quarterly - cm-6_prm_1: - guidance: - - - prose: See CM-6(a) Additional FedRAMP Requirements and Guidance - cm-7_prm_1: - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - cm-7.1_prm_1: - constraints: - - - detail: at least monthly - cm-7.5_prm_2: - constraints: - - - detail: at least quarterly or when there is a change - cm-8_prm_2: - constraints: - - - detail: at least monthly - cm-8.3_prm_1: - constraints: - - - detail: Continuously, using automated mechanisms with a maximum five-minute delay in detection. - cm-8.4_prm_1: - constraints: - - - detail: position and role - cm-11_prm_3: - constraints: - - - detail: Continuously (via CM-7 (5)) - cp-1_prm_2: - constraints: - - - detail: at least annually - cp-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - cp-2_prm_3: - constraints: - - - detail: at least annually - cp-2.4_prm_1: - constraints: - - - detail: time period defined in service provider and organization SLA - cp-3_prm_1: - constraints: - - - detail: ten (10) days - cp-3_prm_2: - constraints: - - - detail: at least annually - cp-4_prm_1: - constraints: - - - detail: at least annually - cp-4_prm_2: - constraints: - - - detail: functional exercises - cp-8.4_prm_1: - constraints: - - - detail: annually - cp-9_prm_1: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_2: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_3: - constraints: - - - detail: daily incremental; weekly full - cp-9.1_prm_1: - constraints: - - - detail: at least monthly - cp-9.5_prm_1: - constraints: - - - detail: time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA - cp-10.4_prm_1: - constraints: - - - detail: time period consistent with the restoration time-periods defined in the service provider and organization SLA - ia-1_prm_2: - constraints: - - - detail: at least annually - ia-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ia-2.11_prm_1: - constraints: - - - detail: FIPS 140-2, NIAP Certification, or NSA approval - ia-4_prm_1: - constraints: - - - detail: at a minimum, the ISSO (or similar role within the organization) - ia-4_prm_2: - constraints: - - - detail: at least two (2) years - ia-4_prm_3: - constraints: - - - detail: thirty-five (35) days (See additional requirements and guidance.) - ia-4.4_prm_1: - constraints: - - - detail: contractors; foreign nationals] - ia-5.1_prm_2: - constraints: - - - detail: at least fifty percent (50%) - ia-5.1_prm_4: - constraints: - - - detail: twenty four (24) - ia-5.3_prm_1: - constraints: - - - detail: All hardware/biometric (multifactor authenticators) - ia-5.3_prm_2: - constraints: - - - detail: in person - ia-5.4_prm_1: - constraints: - - - detail: complexity as identified in IA-5 (1) Control Enhancement Part (a) - ia-5.8_prm_1: - constraints: - - - detail: different authenticators on different systems - ir-1_prm_2: - constraints: - - - detail: at least annually - ir-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ir-2_prm_1: - constraints: - - - detail: within ten (10) days - ir-2_prm_2: - constraints: - - - detail: at least annually - ir-3_prm_1: - constraints: - - - detail: at least every six (6) months - ir-4.2_prm_1: - constraints: - - - detail: all network, data storage, and computing devices - ir-4.8_prm_1: - constraints: - - - detail: external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT) - ir-6_prm_1: - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - ir-8_prm_2: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ir-8_prm_3: - constraints: - - - detail: at least annually - ir-8_prm_4: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ir-9.2_prm_1: - constraints: - - - detail: at least annually - ma-1_prm_2: - constraints: - - - detail: at least annually - ma-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ma-3.3_prm_1: - constraints: - - - detail: the information owner explicitly authorizing removal of the equipment from the facility - mp-1_prm_2: - constraints: - - - detail: at least annually - mp-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - mp-2_prm_1: - constraints: - - - detail: any digital and non-digital media deemed sensitive - mp-3_prm_1: - constraints: - - - detail: no removable media types - mp-3_prm_2: - constraints: - - - detail: organization-defined security safeguards not applicable - mp-4_prm_1: - constraints: - - - detail: all types of digital and non-digital media with sensitive information - mp-4_prm_2: - constraints: - - - detail: see additional FedRAMP requirements and guidance - mp-5_prm_1: - constraints: - - - detail: all media with sensitive information - mp-5_prm_2: - constraints: - - - detail: prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container - mp-6_prm_2: - constraints: - - - detail: techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations - mp-6.2_prm_1: - constraints: - - - detail: at least every six (6) months - pe-1_prm_2: - constraints: - - - detail: at least annually - pe-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - pe-2_prm_1: - constraints: - - - detail: at least every ninety (90) days - pe-3_prm_2: - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - pe-3_prm_3: - constraints: - - - detail: CSP defined physical access control systems/devices - pe-3_prm_6: - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - pe-3_prm_8: - constraints: - - - detail: at least annually - pe-3_prm_9: - constraints: - - - detail: at least annually - pe-6_prm_1: - constraints: - - - detail: at least monthly - pe-8_prm_1: - constraints: - - - detail: for a minimum of one (1) year - pe-8_prm_2: - constraints: - - - detail: at least monthly - pe-13.1_prm_1: - constraints: - - - detail: service provider building maintenance/physical security personnel - pe-13.1_prm_2: - constraints: - - - detail: service provider emergency responders with incident response responsibilities - pe-14_prm_1: - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - pe-14_prm_2: - constraints: - - - detail: continuously - pe-15.1_prm_1: - constraints: - - - detail: service provider building maintenance/physical security personnel - pe-16_prm_1: - constraints: - - - detail: all information system components - pe-18_prm_1: - constraints: - - - detail: physical and environmental hazards identified during threat assessment - pl-1_prm_2: - constraints: - - - detail: at least annually - pl-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - pl-2_prm_2: - constraints: - - - detail: at least annually - pl-4_prm_1: - constraints: - - - detail: annually - pl-8_prm_1: - constraints: - - - detail: at least annually or when a significant change occurs - ps-1_prm_2: - constraints: - - - detail: at least annually - ps-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ps-2_prm_1: - constraints: - - - detail: at least annually - ps-3_prm_1: - constraints: - - - detail: for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - ps-3.3_prm_1: - constraints: - - - detail: personnel screening criteria - as required by specific information - ps-4_prm_1: - constraints: - - - detail: eight (8) hours - ps-4.2_prm_1: - constraints: - - - detail: access control personnel responsible for disabling access to the system - ps-5_prm_2: - constraints: - - - detail: twenty-four (24) hours - ps-5_prm_4: - constraints: - - - detail: twenty-four (24) hours - ps-6_prm_1: - constraints: - - - detail: at least annually - ps-6_prm_2: - constraints: - - - detail: at least annually and any time there is a change to the user's level of access - ps-7_prm_2: - constraints: - - - detail: terminations: immediately; transfers: within twenty-four (24) hours - ps-8_prm_1: - constraints: - - - detail: at a minimum, the ISSO and/or similar role within the organization - ra-1_prm_2: - constraints: - - - detail: at least annually - ra-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ra-3_prm_2: - constraints: - - - detail: security assessment report - ra-3_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - ra-3_prm_5: - constraints: - - - detail: annually - ra-5_prm_1: - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - ra-5_prm_2: - constraints: - - - detail: high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - ra-5.2_prm_1: - constraints: - - - detail: prior to a new scan - ra-5.4_prm_1: - constraints: - - - detail: notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions - ra-5.5_prm_1: - constraints: - - - detail: operating systems / web applications / databases - ra-5.5_prm_2: - constraints: - - - detail: all scans - sa-1_prm_2: - constraints: - - - detail: at least annually - sa-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - sa-4.2_prm_1: - constraints: - - - detail: at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information] - sa-4.8_prm_1: - constraints: - - - detail: at least the minimum requirement as defined in control CA-7 - sa-5_prm_2: - constraints: - - - detail: at a minimum, the ISSO (or similar role within the organization) - sa-9_prm_1: - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - sa-9_prm_2: - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - sa-9.2_prm_1: - constraints: - - - detail: all external systems where Federal information is processed or stored - sa-9.4_prm_2: - constraints: - - - detail: all external systems where Federal information is processed or stored - sa-9.5_prm_1: - constraints: - - - detail: information processing, information data, AND information services - sa-9.5_prm_2: - constraints: - - - detail: U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction - sa-9.5_prm_3: - constraints: - - - detail: all High Impact Data, Systems, or Services - sa-10_prm_1: - constraints: - - - detail: development, implementation, AND operation - sa-12_prm_1: - constraints: - - - detail: organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures - sa-15_prm_1: - constraints: - - - detail: as needed and as dictated by the current threat posture - sa-15_prm_2: - constraints: - - - detail: organization and service provider- defined security requirements - sc-1_prm_2: - constraints: - - - detail: at least annually - sc-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - sc-7.4_prm_1: - constraints: - - - detail: at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions - sc-7.12_prm_1: - constraints: - - - detail: Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall - sc-8_prm_1: - constraints: - - - detail: confidentiality AND integrity - sc-8.1_prm_1: - constraints: - - - detail: prevent unauthorized disclosure of information AND detect changes to information - sc-8.1_prm_2: - constraints: - - - detail: a hardened or alarmed carrier Protective Distribution System (PDS) - sc-10_prm_1: - constraints: - - - detail: no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions - sc-12.2_prm_1: - constraints: - - - detail: NIST FIPS-compliant - sc-13_prm_1: - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - sc-15_prm_1: - constraints: - - - detail: no exceptions - sc-28_prm_1: - constraints: - - - detail: confidentiality AND integrity - sc-28.1_prm_2: - constraints: - - - detail: all information system components storing customer data deemed sensitive - si-1_prm_2: - constraints: - - - detail: at least annually - si-1_prm_3: - constraints: - - - detail: at least annually or whenever a significant change occurs - si-2_prm_1: - constraints: - - - detail: thirty (30) days of release of updates - si-2.2_prm_1: - constraints: - - - detail: at least monthly - si-3_prm_1: - constraints: - - - detail: at least weekly - si-3_prm_2: - constraints: - - - detail: to include endpoints - si-3_prm_3: - constraints: - - - detail: to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime - si-4.4_prm_1: - constraints: - - - detail: continuously - si-5_prm_1: - constraints: - - - detail: to include US-CERT - si-5_prm_2: - constraints: - - - detail: to include system security personnel and administrators with configuration/patch-management responsibilities - si-6_prm_3: - constraints: - - - detail: to include upon system startup and/or restart - si-6_prm_4: - constraints: - - - detail: at least monthly - si-6_prm_5: - constraints: - - - detail: to include system administrators and security personnel - si-6_prm_7: - constraints: - - - detail: to include notification of system administrators and security personnel - si-7.1_prm_3: - constraints: - - - detail: selection to include security relevant events - si-7.1_prm_4: - constraints: - - - detail: at least monthly - alterations: - - - control-id: ac-1 - additions: - - - position: starting - id-ref: ac-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ac-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - 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The time periods are approved and accepted by the JAB/AO. 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- - position: starting - id-ref: ac-7.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-7.2_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ac-8 - additions: - - - position: ending - id-ref: ac-8_smt - parts: - - - id: ac-8_fr - name: item - title: AC-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. - - - id: ac-8_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. - - - id: ac-8_fr_smt.3 - name: item - properties: - - - name: label - value: Requirement: - prose: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO. - - - position: starting - id-ref: ac-8.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-8.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ac-8.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ac-8.c.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - 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value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - 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class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: at-3.3 - additions: - - - position: starting - id-ref: at-3.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: at-3.4 - additions: - - - position: starting - id-ref: at-3.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-3.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: at-4 - additions: - - - position: starting - id-ref: at-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: at-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: at-4.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-4.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-1 - additions: - - - position: starting - id-ref: au-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: au-10 - additions: - - - position: starting - id-ref: au-10.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-10.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-11 - additions: - - - position: ending - id-ref: au-11_smt - parts: - - - id: au-11_fr - name: item - title: AU-11 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-11_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. - - - position: starting - id-ref: au-11 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-11.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-11_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-12 - additions: - - - position: starting - id-ref: au-12.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-12.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-12.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: au-12.1 - additions: - - - position: starting - id-ref: au-12.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-12.3 - additions: - - - position: starting - id-ref: au-12.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.3_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.3_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-2 - additions: - - - position: ending - id-ref: au-2_smt - parts: - - - id: au-2_fr - name: item - title: AU-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - position: starting - id-ref: au-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-2.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-2.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-2.3 - additions: - - - position: ending - id-ref: au-2.3_smt - parts: - - - id: au-2.3_fr - name: item - title: AU-2 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO. - - - position: starting - id-ref: au-2.3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-2.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-3 - additions: - - - position: starting - id-ref: au-3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-3.1 - additions: - - - position: ending - id-ref: au-3.1_smt - parts: - - - id: au-3.1_fr - name: item - title: AU-3 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-3.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO. - - - id: au-3.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry. - - - position: starting - id-ref: au-3.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-3.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-3.2 - additions: - - - position: starting - id-ref: au-3.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-3.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-4 - additions: - - - position: starting - id-ref: au-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-5 - additions: - - - position: starting - id-ref: au-5.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-5.1 - additions: - - - position: starting - id-ref: au-5.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.1_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-5.2 - additions: - - - position: starting - id-ref: au-5.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.2_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6 - additions: - - - position: ending - id-ref: au-6_smt - parts: - - - id: au-6_fr - name: item - title: AU-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - - - position: starting - id-ref: au-6 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-6.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-6.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-6.1 - additions: - - - position: starting - id-ref: au-6.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-6.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-6.10 - additions: - - - position: starting - id-ref: au-6.10_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6.3 - additions: - - - position: starting - id-ref: au-6.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6.4 - additions: - - - position: starting - id-ref: au-6.4_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6.5 - additions: - - - position: starting - id-ref: au-6.5_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.5_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-6.5_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6.6 - additions: - - - position: ending - id-ref: au-6.6_smt - parts: - - - id: au-6.6_fr - name: item - title: AU-6 (6) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6.6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - position: starting - id-ref: au-6.6_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6.7 - additions: - - - position: starting - id-ref: au-6.7_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-7 - additions: - - - position: starting - id-ref: au-7.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-7.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-7.1 - additions: - - - position: starting - id-ref: au-7.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-7.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-8 - additions: - - - position: starting - id-ref: au-8.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.b_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-8.1 - additions: - - - position: ending - id-ref: au-8.1_smt - parts: - - - id: au-8.1_fr - name: item - title: AU-8 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-8.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. - - - id: au-8.1_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. - - - id: au-8.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Synchronization of system clocks improves the accuracy of log analysis. - - - position: starting - id-ref: au-8.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-8.1.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.1.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.1.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.1.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.1.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9 - additions: - - - position: starting - id-ref: au-9.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-9.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9.2 - additions: - - - position: starting - id-ref: au-9.2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-9.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-9.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9.3 - additions: - - - position: starting - id-ref: au-9.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-9.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9.4 - additions: - - - position: starting - id-ref: au-9.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-9.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-1 - additions: - - - position: starting - id-ref: ca-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ca-2 - additions: - - - position: ending - id-ref: ca-2_smt - parts: - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-2.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-2.1 - additions: - - - position: ending - id-ref: ca-2.1_smt - parts: - - - id: ca-2.1_fr - name: item - title: CA-2 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO). - - - position: starting - id-ref: ca-2.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-2.2 - additions: - - - position: ending - id-ref: ca-2.2_smt - parts: - - - id: ca-2.2_fr - name: item - title: CA-2 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: To include 'announced', 'vulnerability scanning' - - - position: starting - id-ref: ca-2.2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-2.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.2_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-2.3 - additions: - - - position: starting - id-ref: ca-2.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.3_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-3 - additions: - - - position: starting - id-ref: ca-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-3.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-3.3 - additions: - - - position: ending - id-ref: ca-3.3_smt - parts: - - - id: ca-3.3_fr - name: item - title: CA-3 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document. - - - position: starting - id-ref: ca-3.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-3.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-3.5 - additions: - - - position: ending - id-ref: ca-3.5_smt - parts: - - - id: ca-3.5_fr - name: item - title: CA-3 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing - - - position: starting - id-ref: ca-3.5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-3.5_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.5_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-5 - additions: - - - position: ending - id-ref: ca-5_smt - parts: - - - id: ca-5_fr - name: item - title: CA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Plan of Action & Milestones (POA&M) must be provided at least monthly. - - - id: ca-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-6 - additions: - - - position: ending - id-ref: ca-6_smt - parts: - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO. - - - position: starting - id-ref: ca-6.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-6.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-6.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-6.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-7 - additions: - - - position: ending - id-ref: ca-7_smt - parts: - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually. - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-7 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-7.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.b_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.b_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.g_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.g_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.g_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.g_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-7.1 - additions: - - - position: starting - id-ref: ca-7.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-7.3 - additions: - - - position: starting - id-ref: ca-7.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-8 - additions: - - - position: ending - id-ref: ca-8_smt - parts: - - - id: ca-8_fr - name: item - title: CA-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/) - - """ - - - position: starting - id-ref: ca-8 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-8.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-8_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-8.1 - additions: - - - position: starting - id-ref: ca-8.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-9 - additions: - - - position: starting - id-ref: ca-9 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-9.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-9.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-9.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - 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class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-7 - additions: - - - position: ending - id-ref: cm-7_smt - parts: - - - id: cm-7_fr - name: item - title: CM-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. - - - id: cm-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). 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ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-7.5.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-7.5.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-8 - additions: - - - position: ending - id-ref: cm-8_smt - parts: - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - position: starting - 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name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-2.5 - additions: - - - position: starting - id-ref: cp-2.5_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.5_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-2.8 - additions: - - - position: starting - id-ref: cp-2.8_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-3 - additions: - - - position: starting - id-ref: cp-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-3.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-3.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-3.1 - additions: - - - position: starting - id-ref: cp-3.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-4 - additions: - - - position: ending - id-ref: cp-4_smt - parts: - - - id: cp-4_fr - name: item - title: CP-4(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-4_fr_smt.a - name: item - properties: - - - name: label - value: CP-4(a) Requirement: - prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing. - - - position: starting - id-ref: cp-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-4.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-4.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-4.1 - additions: - - - position: starting - id-ref: cp-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-4.2 - additions: - - - position: starting - id-ref: cp-4.2.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-4.2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-6 - additions: - - - position: starting - id-ref: cp-6.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-6.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-6.1 - additions: - - - position: starting - id-ref: cp-6.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-6.2 - additions: - - - position: starting - id-ref: cp-6.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - control-id: cp-6.3 - additions: - - - position: starting - id-ref: cp-6.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-6.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7 - additions: - - - position: ending - id-ref: cp-7_smt - parts: - - - id: cp-7_fr - name: item - title: CP-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - position: starting - id-ref: cp-7 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-7.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-7.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-7.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-7.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-7.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-7.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-7.1 - additions: - - - position: ending - id-ref: cp-7.1_smt - parts: - - - id: cp-7.1_fr - name: item - title: CP-7 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant. - - - position: starting - id-ref: cp-7.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7.2 - additions: - - - position: starting - id-ref: cp-7.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-7.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7.3 - additions: - - - position: starting - id-ref: cp-7.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7.4 - additions: - - - position: starting - id-ref: cp-7.4_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-8 - additions: - - - position: ending - id-ref: cp-8_smt - parts: - - - id: cp-8_fr - name: item - title: CP-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - position: starting - id-ref: cp-8.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-8.1 - additions: - - - position: starting - id-ref: cp-8.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-8.2 - additions: - - - position: starting - id-ref: cp-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-8.3 - additions: - - - position: starting - id-ref: cp-8.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-8.4 - additions: - - - position: starting - id-ref: cp-8.4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-8.4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-8.4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-8.4.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.4.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-9 - additions: - - - position: ending - id-ref: cp-9_smt - parts: - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online). - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online). - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online). - - - position: starting - id-ref: cp-9 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-9.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-9.1 - additions: - - - position: starting - id-ref: cp-9.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-9.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-9.2 - additions: - - - position: starting - id-ref: cp-9.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-9.3 - additions: - - - position: starting - id-ref: cp-9.3_obj.1.a - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.3_obj.1.b - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-9.5 - additions: - - - position: starting - id-ref: cp-9.5_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.5_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.5_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: ia-1 - additions: - - - position: starting - id-ref: ia-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ia-2 - additions: - - - position: starting - id-ref: ia-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.1 - additions: - - - position: starting - id-ref: ia-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.11 - additions: - - - position: ending - id-ref: ia-2.11_smt - parts: - - - id: ia-2.11_fr - name: item - title: IA-2 (11) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.11_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials. - - - position: starting - id-ref: ia-2.11_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.11_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.11_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-2.11_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-2.11_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.11_obj.6 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.12 - additions: - - - position: ending - id-ref: ia-2.12_smt - parts: - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - - - position: starting - id-ref: ia-2.12_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.12_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.2 - additions: - - - position: starting - id-ref: ia-2.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.3 - additions: - - - position: starting - id-ref: ia-2.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.4 - additions: - - - position: starting - id-ref: ia-2.4_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.5 - additions: - - - position: starting - id-ref: ia-2.5_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.8 - additions: - - - position: starting - id-ref: ia-2.8_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.9 - additions: - - - position: starting - id-ref: ia-2.9_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-3 - additions: - - - position: starting - id-ref: ia-3.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-4 - additions: - - - position: ending - id-ref: ia-4_smt - parts: - - - id: ia-4_fr - name: item - title: IA-4(e) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-4_fr_smt.e - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period of inactivity for device identifiers. - - - id: ia-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx). - - - position: starting - id-ref: ia-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-4.4 - additions: - - - position: starting - id-ref: ia-4.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5 - additions: - - - position: ending - id-ref: ia-5_smt - parts: - - - id: ia-5_fr - name: item - title: IA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3). - - - position: starting - id-ref: ia-5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.e_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.f_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.g_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.g_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.h_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.i_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-5.i_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.j_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.1 - additions: - - - position: ending - id-ref: ia-5.1_smt - parts: - - - id: ia-5.1_fr - name: item - title: IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) (d) Guidance: - prose: If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant. - - - position: starting - id-ref: ia-5.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-5.1.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.d_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.f_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.11 - additions: - - - position: starting - id-ref: ia-5.11_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.11_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.13 - additions: - - - position: starting - id-ref: ia-5.13_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.13_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.2 - additions: - - - position: starting - id-ref: ia-5.2.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.3 - additions: - - - position: starting - id-ref: ia-5.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ia-5.4 - additions: - - - position: ending - id-ref: ia-5.4_smt - parts: - - - id: ia-5.4_fr - name: item - title: IA-5 (4) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators. - - - position: starting - id-ref: ia-5.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.6 - additions: - - - position: starting - id-ref: ia-5.6_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.7 - additions: - - - position: starting - id-ref: ia-5.7_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.8 - 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- - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ra-5.5_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ra-5.6 - additions: - - - position: ending - id-ref: ra-5.6_smt - parts: - - - id: ra-5.6_fr - name: item - title: RA-5 (6) Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5.6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include in Continuous Monitoring ISSO digest/report to JAB/AO - - - position: starting - id-ref: ra-5.6_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - 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properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-12 - additions: - - - position: starting - id-ref: sa-12.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-12.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-15 - additions: - - - position: starting - id-ref: sa-15.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - 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ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-3.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-3.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-4 - additions: - - - position: ending - id-ref: sa-4_smt - parts: - - - id: sa-4_fr - name: item - title: SA-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html). - - - position: starting - id-ref: sa-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-4.1 - additions: - - - position: starting - id-ref: sa-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-4.10 - additions: - - - position: starting - id-ref: sa-4.10_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - 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value: TEST - - - control-id: si-7.7 - additions: - - - position: starting - id-ref: si-7.7_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: si-7.7_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: si-8 - additions: - - - position: starting - id-ref: si-8.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: si-8.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: si-8.1 - additions: - - - position: starting - id-ref: si-8.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: si-8.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: si-8.2 - additions: - - - position: starting - id-ref: si-8.2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: si-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - back-matter: - resources: - - - uuid: 985475ee-d4d6-4581-8fdf-d84d3d8caa48 - title: FedRAMP Applicable Laws and Regulations - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-citations - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/templates/SSP-A12-FedRAMP-Laws-and-Regulations-Template.xlsx - - - uuid: 1a23a771-d481-4594-9a1a-71d584fa4123 - title: FedRAMP Master Acronym and Glossary - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-acronyms - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf - - - uuid: a2381e87-3d04-4108-a30b-b4d2f36d001f - desc: FedRAMP Logo - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-logo - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/img/logo-main-fedramp.png - - - uuid: ad005eae-cc63-4e64-9109-3905a9a825e4 - title: NIST Special Publication (SP) 800-53 - properties: - - - name: version - ns: https://fedramp.gov/ns/oscal - value: Revision 4 - - - name: keep - value: always - rlinks: - - - href: https://raw.githubusercontent.com/usnistgov/OSCAL/v1.0.0-milestone3/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml - media-type: application/xml diff --git a/content/fedramp.gov/yaml/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog.yaml b/content/fedramp.gov/yaml/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index 7ed3043660..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_LI-SaaS-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,34573 +0,0 @@ -catalog: - uuid: 7ec7633b-cbd4-4e1d-9015-e5b3d44c2550 - metadata: - title: FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - published: 2020-02-02T00:00:00.000-05:00 - last-modified: 2020-06-01T10:00:00.000-05:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - properties: - - - name: resolution-timestamp - value: 2020-08-31T17:38:37.186738Z - links: - - - href: FedRAMP_LI-SaaS-baseline_profile.xml - rel: resolution-source - text: FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - groups: - - - id: ac - class: family - title: Access Control - controls: - - - id: ac-1 - class: SP800-53 - title: Access Control Policy and Procedures - parameters: - - - id: ac-1_prm_1 - label: organization-defined personnel or roles - - - id: ac-1_prm_2 - label: organization-defined frequency - - - id: ac-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: AC-1 - - - name: sort-id - value: ac-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ac-1_smt - name: statement - prose: The organization: - parts: - - - id: ac-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ac-1_prm_1 }}: - parts: - - - id: ac-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ac-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the access control policy and - associated access controls; and - """ - - - id: ac-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ac-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Access control policy {{ ac-1_prm_2 }}; and - - - id: ac-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Access control procedures {{ ac-1_prm_3 }}. - - - id: ac-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ac-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-1.a_obj - name: objective - properties: - - - name: label - value: AC-1(a) - parts: - - - id: ac-1.a.1_obj - name: objective - properties: - - - name: label - value: AC-1(a)(1) - parts: - - - id: ac-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1] - prose: develops and documents an access control policy that addresses: - parts: - - - id: ac-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][a] - prose: purpose; - - - id: ac-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][b] - prose: scope; - - - id: ac-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][c] - prose: roles; - - - id: ac-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][d] - prose: responsibilities; - - - id: ac-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][e] - prose: management commitment; - - - id: ac-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ac-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][g] - prose: compliance; - - - id: ac-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: AC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the access control policy are to be - disseminated; - """ - - - id: ac-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: AC-1(a)(1)[3] - prose: - """ - disseminates the access control policy to organization-defined personnel or - roles; - """ - - - id: ac-1.a.2_obj - name: objective - properties: - - - name: label - value: AC-1(a)(2) - parts: - - - id: ac-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: AC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls; - """ - - - id: ac-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: AC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ac-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: AC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ac-1.b_obj - name: objective - properties: - - - name: label - value: AC-1(b) - parts: - - - id: ac-1.b.1_obj - name: objective - properties: - - - name: label - value: AC-1(b)(1) - parts: - - - id: ac-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: AC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current access control - policy; - """ - - - id: ac-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: AC-1(b)(1)[2] - prose: - """ - reviews and updates the current access control policy with the - organization-defined frequency; - """ - - - id: ac-1.b.2_obj - name: objective - properties: - - - name: label - value: AC-1(b)(2) - parts: - - - id: ac-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: AC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current access control - procedures; and - """ - - - id: ac-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: AC-1(b)(2)[2] - prose: - """ - reviews and updates the current access control procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ac-2 - class: SP800-53 - title: Account Management - parameters: - - - id: ac-2_prm_1 - label: organization-defined information system account types - - - id: ac-2_prm_2 - label: organization-defined personnel or roles - - - id: ac-2_prm_3 - label: organization-defined procedures or conditions - - - id: ac-2_prm_4 - label: organization-defined frequency - properties: - - - name: label - value: AC-2 - - - name: sort-id - value: ac-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ac-2_smt - name: statement - prose: The organization: - parts: - - - id: ac-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies and selects the following types of information system accounts to - support organizational missions/business functions: {{ ac-2_prm_1 }}; - """ - - - id: ac-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Creates, enables, modifies, disables, and removes information system accounts in - accordance with {{ ac-2_prm_3 }}; - """ - - - id: ac-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Monitors the use of information system accounts; - - - id: ac-2_smt.h - name: item - properties: - - - name: label - value: h. - prose: Notifies account managers: - parts: - - - id: ac-2_smt.h.1 - name: item - properties: - - - name: label - value: 1. - prose: When accounts are no longer required; - - - id: ac-2_smt.h.2 - name: item - properties: - - - name: label - value: 2. - prose: When users are terminated or transferred; and - - - id: ac-2_smt.h.3 - name: item - properties: - - - name: label - value: 3. - prose: When individual information system usage or need-to-know changes; - - - id: ac-2_gdn - name: guidance - prose: - """ - Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-10 - rel: related - text: AC-10 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.a_obj - name: objective - properties: - - - name: label - value: AC-2(a) - parts: - - - id: ac-2.a_obj.1 - name: objective - properties: - - - name: label - value: AC-2(a)[1] - prose: - """ - defines information system account types to be identified and selected to - support organizational missions/business functions; - """ - - - id: ac-2.a_obj.2 - name: objective - properties: - - - name: label - value: AC-2(a)[2] - prose: - """ - identifies and selects organization-defined information system account types to - support organizational missions/business functions; - """ - - - id: ac-2.b_obj - name: objective - properties: - - - name: label - value: AC-2(b) - prose: assigns account managers for information system accounts; - - - id: ac-2.c_obj - name: objective - properties: - - - name: label - value: AC-2(c) - prose: establishes conditions for group and role membership; - - - id: ac-2.d_obj - name: objective - properties: - - - name: label - value: AC-2(d) - prose: specifies for each account (as required): - parts: - - - id: ac-2.d_obj.1 - name: objective - properties: - - - name: label - value: AC-2(d)[1] - prose: authorized users of the information system; - - - id: ac-2.d_obj.2 - name: objective - properties: - - - name: label - value: AC-2(d)[2] - prose: group and role membership; - - - id: ac-2.d_obj.3 - name: objective - properties: - - - name: label - value: AC-2(d)[3] - prose: access authorizations (i.e., privileges); - - - id: ac-2.d_obj.4 - name: objective - properties: - - - name: label - value: AC-2(d)[4] - prose: other attributes; - - - id: ac-2.e_obj - name: objective - properties: - - - name: label - value: AC-2(e) - parts: - - - id: ac-2.e_obj.1 - name: objective - properties: - - - name: label - value: AC-2(e)[1] - prose: - """ - defines personnel or roles required to approve requests to create information - system accounts; - """ - - - id: ac-2.e_obj.2 - name: objective - properties: - - - name: label - value: AC-2(e)[2] - prose: - """ - requires approvals by organization-defined personnel or roles for requests to - create information system accounts; - """ - - - id: ac-2.f_obj - name: objective - properties: - - - name: label - value: AC-2(f) - parts: - - - id: ac-2.f_obj.1 - name: objective - properties: - - - name: label - value: AC-2(f)[1] - prose: defines procedures or conditions to: - parts: - - - id: ac-2.f_obj.1.a - name: objective - properties: - - - name: label - value: AC-2(f)[1][a] - prose: create information system accounts; - - - id: ac-2.f_obj.1.b - name: objective - properties: - - - name: label - value: AC-2(f)[1][b] - prose: enable information system accounts; - - - id: ac-2.f_obj.1.c - name: objective - properties: - - - name: label - value: AC-2(f)[1][c] - prose: modify information system accounts; - - - id: ac-2.f_obj.1.d - name: objective - properties: - - - name: label - value: AC-2(f)[1][d] - prose: disable information system accounts; - - - id: ac-2.f_obj.1.e - name: objective - properties: - - - name: label - value: AC-2(f)[1][e] - prose: remove information system accounts; - - - id: ac-2.f_obj.2 - name: objective - properties: - - - name: label - value: AC-2(f)[2] - prose: in accordance with organization-defined procedures or conditions: - parts: - - - id: ac-2.f_obj.2.a - name: objective - properties: - - - name: label - value: AC-2(f)[2][a] - prose: creates information system accounts; - - - id: ac-2.f_obj.2.b - name: objective - properties: - - - name: label - value: AC-2(f)[2][b] - prose: enables information system accounts; - - - id: ac-2.f_obj.2.c - name: objective - properties: - - - name: label - value: AC-2(f)[2][c] - prose: modifies information system accounts; - - - id: ac-2.f_obj.2.d - name: objective - properties: - - - name: label - value: AC-2(f)[2][d] - prose: disables information system accounts; - - - id: ac-2.f_obj.2.e - name: objective - properties: - - - name: label - value: AC-2(f)[2][e] - prose: removes information system accounts; - - - id: ac-2.g_obj - name: objective - properties: - - - name: label - value: AC-2(g) - prose: monitors the use of information system accounts; - - - id: ac-2.h_obj - name: objective - properties: - - - name: label - value: AC-2(h) - prose: notifies account managers: - parts: - - - id: ac-2.h.1_obj - name: objective - properties: - - - name: label - value: AC-2(h)(1) - prose: when accounts are no longer required; - - - id: ac-2.h.2_obj - name: objective - properties: - - - name: label - value: AC-2(h)(2) - prose: when users are terminated or transferred; - - - id: ac-2.h.3_obj - name: objective - properties: - - - name: label - value: AC-2(h)(3) - prose: when individual information system usage or need to know changes; - - - id: ac-2.i_obj - name: objective - properties: - - - name: label - value: AC-2(i) - prose: authorizes access to the information system based on; - parts: - - - id: ac-2.i.1_obj - name: objective - properties: - - - name: label - value: AC-2(i)(1) - prose: a valid access authorization; - - - id: ac-2.i.2_obj - name: objective - properties: - - - name: label - value: AC-2(i)(2) - prose: intended system usage; - - - id: ac-2.i.3_obj - name: objective - properties: - - - name: label - value: AC-2(i)(3) - prose: - """ - other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2.j_obj - name: objective - properties: - - - name: label - value: AC-2(j) - parts: - - - id: ac-2.j_obj.1 - name: objective - properties: - - - name: label - value: AC-2(j)[1] - prose: - """ - defines the frequency to review accounts for compliance with account management - requirements; - """ - - - id: ac-2.j_obj.2 - name: objective - properties: - - - name: label - value: AC-2(j)[2] - prose: - """ - reviews accounts for compliance with account management requirements with the - organization-defined frequency; and - """ - - - id: ac-2.k_obj - name: objective - properties: - - - name: label - value: AC-2(k) - prose: - """ - establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of active system accounts along with the name of the individual associated - with each account\n\nlist of conditions for group and role membership\n\nnotifications or records of recently transferred, separated, or terminated - employees\n\nlist of recently disabled information system accounts along with the name of the - individual associated with each account\n\naccess authorization records\n\naccount management compliance reviews\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes account management on the information system\n\nautomated mechanisms for implementing account management - - - id: ac-2_fr - name: item - title: AC-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored - for LI-SaaS. - """ - - - id: ac-3 - class: SP800-53 - title: Access Enforcement - properties: - - - name: label - value: AC-3 - - - name: sort-id - value: ac-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ac-3_smt - name: statement - prose: - """ - The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies. - """ - - - id: ac-3_gdn - name: guidance - prose: - """ - Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ac-21 - rel: related - text: AC-21 - - - href: #ac-22 - rel: related - text: AC-22 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: ac-3_obj - name: objective - prose: - """ - Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing access enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of approved authorizations (user privileges)\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing access control policy - - - id: ac-7 - class: SP800-53 - title: Unsuccessful Logon Attempts - parameters: - - - id: ac-7_prm_1 - label: organization-defined number - - - id: ac-7_prm_2 - label: organization-defined time period - - - id: ac-7_prm_3 - - - id: ac-7_prm_4 - depends-on: ac-7_prm_3 - label: organization-defined time period - - - id: ac-7_prm_5 - depends-on: ac-7_prm_3 - label: organization-defined delay algorithm - properties: - - - name: label - value: AC-7 - - - name: sort-id - value: ac-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ac-7_smt - name: statement - prose: The information system: - parts: - - - id: ac-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon - attempts by a user during a {{ ac-7_prm_2 }}; and - """ - - - id: ac-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Automatically {{ ac-7_prm_3 }} when the maximum number of - unsuccessful attempts is exceeded. - """ - - - id: ac-7_gdn - name: guidance - prose: - """ - This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ia-5 - rel: related - text: IA-5 - - - id: ac-7_obj - name: objective - prose: Determine if: - parts: - - - id: ac-7.a_obj - name: objective - properties: - - - name: label - value: AC-7(a) - parts: - - - id: ac-7.a_obj.1 - name: objective - properties: - - - name: label - value: AC-7(a)[1] - prose: - """ - the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period; - """ - - - id: ac-7.a_obj.2 - name: objective - properties: - - - name: label - value: AC-7(a)[2] - prose: - """ - the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts; - """ - - - id: ac-7.a_obj.3 - name: objective - properties: - - - name: label - value: AC-7(a)[3] - prose: - """ - the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period; - """ - - - id: ac-7.b_obj - name: objective - properties: - - - name: label - value: AC-7(b) - parts: - - - id: ac-7.b_obj.1 - name: objective - properties: - - - name: label - value: AC-7(b)[1] - prose: - """ - the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded; - """ - - - id: ac-7.b_obj.2 - name: objective - properties: - - - name: label - value: AC-7(b)[2] - prose: - """ - the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically: - """ - parts: - - - id: ac-7.b_obj.2.a - name: objective - properties: - - - name: label - value: AC-7(b)[2][a] - prose: locks the account/node for the organization-defined time period; - - - id: ac-7.b_obj.2.b - name: objective - properties: - - - name: label - value: AC-7(b)[2][b] - prose: locks the account/node until released by an administrator; or - - - id: ac-7.b_obj.2.c - name: objective - properties: - - - name: label - value: AC-7(b)[2][c] - prose: - """ - delays next logon prompt according to the organization-defined delay - algorithm. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing unsuccessful logon attempts\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem developers\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for unsuccessful logon - attempts - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication. - """ - - - id: ac-8 - class: SP800-53 - title: System Use Notification - parameters: - - - id: ac-8_prm_1 - label: organization-defined system use notification message or banner - - - id: ac-8_prm_2 - label: organization-defined conditions - properties: - - - name: label - value: AC-8 - - - name: sort-id - value: ac-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - parts: - - - id: ac-8_smt - name: statement - prose: The information system: - parts: - - - id: ac-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Displays to users {{ ac-8_prm_1 }} before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that: - """ - parts: - - - id: ac-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Users are accessing a U.S. Government information system; - - - id: ac-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Information system usage may be monitored, recorded, and subject to audit; - - - id: ac-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and - """ - - - id: ac-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and - """ - - - id: ac-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: For publicly accessible systems: - parts: - - - id: ac-8_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Displays system use information {{ ac-8_prm_2 }}, before - granting further access; - """ - - - id: ac-8_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and - """ - - - id: ac-8_smt.c.3 - name: item - properties: - - - name: label - value: 3. - prose: Includes a description of the authorized uses of the system. - - - id: ac-8_gdn - name: guidance - prose: - """ - System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content. - """ - - - id: ac-8_obj - name: objective - prose: Determine if: - parts: - - - id: ac-8.a_obj - name: objective - properties: - - - name: label - value: AC-8(a) - parts: - - - id: ac-8.a_obj.1 - name: objective - properties: - - - name: label - value: AC-8(a)[1] - prose: - """ - the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system; - """ - - - id: ac-8.a_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2] - prose: - """ - the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that: - """ - parts: - - - id: ac-8.a.1_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](1) - prose: users are accessing a U.S. Government information system; - - - id: ac-8.a.2_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](2) - prose: - """ - information system usage may be monitored, recorded, and subject to - audit; - """ - - - id: ac-8.a.3_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](3) - prose: - """ - unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; - """ - - - id: ac-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](4) - prose: - """ - use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8.b_obj - name: objective - properties: - - - name: label - value: AC-8(b) - prose: - """ - the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system; - """ - - - id: ac-8.c_obj - name: objective - properties: - - - name: label - value: AC-8(c) - prose: for publicly accessible systems: - parts: - - - id: ac-8.c.1_obj - name: objective - properties: - - - name: label - value: AC-8(c)(1) - parts: - - - id: ac-8.c.1_obj.1 - name: objective - properties: - - - name: label - value: AC-8(c)(1)[1] - prose: - """ - the organization defines conditions for system use to be displayed by the - information system before granting further access; - """ - - - id: ac-8.c.1_obj.2 - name: objective - properties: - - - name: label - value: AC-8(c)(1)[2] - prose: - """ - the information system displays organization-defined conditions before - granting further access; - """ - - - id: ac-8.c.2_obj - name: objective - properties: - - - name: label - value: AC-8(c)(2) - prose: - """ - the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and - """ - - - id: ac-8.c.3_obj - name: objective - properties: - - - name: label - value: AC-8(c)(3) - prose: - """ - the information system includes a description of the authorized uses of the - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprivacy and security policies, procedures addressing system use notification\n\ndocumented approval of information system use notification messages or banners\n\ninformation system audit records\n\nuser acknowledgements of notification message or banner\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system use notification messages\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for providing legal advice\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing system use notification - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: FED - This is related to agency data and agency policy solution. - - - id: ac-14 - class: SP800-53 - title: Permitted Actions Without Identification or Authentication - parameters: - - - id: ac-14_prm_1 - label: organization-defined user actions - properties: - - - name: label - value: AC-14 - - - name: sort-id - value: ac-14 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - parts: - - - id: ac-14_smt - name: statement - prose: The organization: - parts: - - - id: ac-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies {{ ac-14_prm_1 }} that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - id: ac-14_gdn - name: guidance - prose: - """ - This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - id: ac-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-14.a_obj - name: objective - properties: - - - name: label - value: AC-14(a) - parts: - - - id: ac-14.a_obj.1 - name: objective - properties: - - - name: label - value: AC-14(a)[1] - prose: - """ - defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions; - """ - - - id: ac-14.a_obj.2 - name: objective - properties: - - - name: label - value: AC-14(a)[2] - prose: - """ - identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14.b_obj - name: objective - properties: - - - name: label - value: AC-14(b) - prose: - """ - documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing permitted actions without identification or - authentication\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nlist of user actions that can be performed without identification or - authentication\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: FED - This is related to agency data and agency policy solution. - - - id: ac-17 - class: SP800-53 - title: Remote Access - properties: - - - name: label - value: AC-17 - - - name: sort-id - value: ac-17 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #5309d4d0-46f8-4213-a749-e7584164e5e8 - rel: reference - text: NIST Special Publication 800-46 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #349fe082-502d-464a-aa0c-1443c6a5cf40 - rel: reference - text: NIST Special Publication 800-113 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #d1a4e2a9-e512-4132-8795-5357aba29254 - rel: reference - text: NIST Special Publication 800-121 - parts: - - - id: ac-17_smt - name: statement - prose: The organization: - parts: - - - id: ac-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and - """ - - - id: ac-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes remote access to the information system prior to allowing such - connections. - """ - - - id: ac-17_gdn - name: guidance - prose: - """ - Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #pe-17 - rel: related - text: PE-17 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.a_obj - name: objective - properties: - - - name: label - value: AC-17(a) - parts: - - - id: ac-17.a_obj.1 - name: objective - properties: - - - name: label - value: AC-17(a)[1] - prose: identifies the types of remote access allowed to the information system; - - - id: ac-17.a_obj.2 - name: objective - properties: - - - name: label - value: AC-17(a)[2] - prose: establishes for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.2.a - name: objective - properties: - - - name: label - value: AC-17(a)[2][a] - prose: usage restrictions; - - - id: ac-17.a_obj.2.b - name: objective - properties: - - - name: label - value: AC-17(a)[2][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.2.c - name: objective - properties: - - - name: label - value: AC-17(a)[2][c] - prose: implementation guidance; - - - id: ac-17.a_obj.3 - name: objective - properties: - - - name: label - value: AC-17(a)[3] - prose: documents for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.3.a - name: objective - properties: - - - name: label - value: AC-17(a)[3][a] - prose: usage restrictions; - - - id: ac-17.a_obj.3.b - name: objective - properties: - - - name: label - value: AC-17(a)[3][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.3.c - name: objective - properties: - - - name: label - value: AC-17(a)[3][c] - prose: implementation guidance; and - - - id: ac-17.b_obj - name: objective - properties: - - - name: label - value: AC-17(b) - prose: - """ - authorizes remote access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing remote access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nremote access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing remote access - connections\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Remote access management capability for the information system - - - id: ac-18 - class: SP800-53 - title: Wireless Access - properties: - - - name: label - value: AC-18 - - - name: sort-id - value: ac-18 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - links: - - - href: #238ed479-eccb-49f6-82ec-ab74a7a428cf - rel: reference - text: NIST Special Publication 800-48 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #6f336ecd-f2a0-4c84-9699-0491d81b6e0d - rel: reference - text: NIST Special Publication 800-97 - parts: - - - id: ac-18_smt - name: statement - prose: The organization: - parts: - - - id: ac-18_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and - """ - - - id: ac-18_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes wireless access to the information system prior to allowing such - connections. - """ - - - id: ac-18_gdn - name: guidance - prose: - """ - Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-18.a_obj - name: objective - properties: - - - name: label - value: AC-18(a) - prose: establishes for wireless access: - parts: - - - id: ac-18.a_obj.1 - name: objective - properties: - - - name: label - value: AC-18(a)[1] - prose: usage restrictions; - - - id: ac-18.a_obj.2 - name: objective - properties: - - - name: label - value: AC-18(a)[2] - prose: configuration/connection requirement; - - - id: ac-18.a_obj.3 - name: objective - properties: - - - name: label - value: AC-18(a)[3] - prose: implementation guidance; and - - - id: ac-18.b_obj - name: objective - properties: - - - name: label - value: AC-18(b) - prose: - """ - authorizes wireless access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nwireless access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing wireless access - connections\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Wireless access management capability for the information system - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - All access to Cloud SaaS are via web services and/or API. The device - accessed from or whether via wired or wireless connection is out of scope. - Regardless of device accessed from, must utilize approved remote access methods - (AC-17), secure communication with strong encryption (SC-13), key management - (SC-12), and multi-factor authentication for privileged access (IA-2[1]). - """ - - - id: ac-19 - class: SP800-53 - title: Access Control for Mobile Devices - properties: - - - name: label - value: AC-19 - - - name: sort-id - value: ac-19 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - links: - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589 - rel: reference - text: NIST Special Publication 800-124 - - - href: #6513e480-fada-4876-abba-1397084dfb26 - rel: reference - text: NIST Special Publication 800-164 - parts: - - - id: ac-19_smt - name: statement - prose: The organization: - parts: - - - id: ac-19_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and - """ - - - id: ac-19_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes the connection of mobile devices to organizational information - systems. - """ - - - id: ac-19_gdn - name: guidance - prose: - """ - A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-9 - rel: related - text: CA-9 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-43 - rel: related - text: SC-43 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-19.a_obj - name: objective - properties: - - - name: label - value: AC-19(a) - prose: establishes for organization-controlled mobile devices: - parts: - - - id: ac-19.a_obj.1 - name: objective - properties: - - - name: label - value: AC-19(a)[1] - prose: usage restrictions; - - - id: ac-19.a_obj.2 - name: objective - properties: - - - name: label - value: AC-19(a)[2] - prose: configuration/connection requirement; - - - id: ac-19.a_obj.3 - name: objective - properties: - - - name: label - value: AC-19(a)[3] - prose: implementation guidance; and - - - id: ac-19.b_obj - name: objective - properties: - - - name: label - value: AC-19(b) - prose: - """ - authorizes the connection of mobile devices to organizational information - systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing access control for mobile device usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nauthorizations for mobile device connections to organizational information - systems\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel using mobile devices to access organizational information - systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Access control capability authorizing mobile device connections to organizational - information systems - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - All access to Cloud SaaS are via web service and/or API. The device accessed - from is out of the scope. Regardless of device accessed from, must utilize - approved remote access methods (AC-17), secure communication with strong - encryption (SC-13), key management (SC-12), and multi-factor authentication for - privileged access (IA-2 [1]). - """ - - - id: ac-20 - class: SP800-53 - title: Use of External Information Systems - properties: - - - name: label - value: AC-20 - - - name: sort-id - value: ac-20 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - parts: - - - id: ac-20_smt - name: statement - prose: - """ - The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: Access the information system from external information systems; and - - - id: ac-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Process, store, or transmit organization-controlled information using external - information systems. - """ - - - id: ac-20_gdn - name: guidance - prose: - """ - External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ac-20_obj - name: objective - prose: - """ - Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20.a_obj - name: objective - properties: - - - name: label - value: AC-20(a) - prose: access the information system from the external information systems; and - - - id: ac-20.b_obj - name: objective - properties: - - - name: label - value: AC-20(b) - prose: - """ - process, store, or transmit organization-controlled information using external - information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing the use of external information systems\n\nexternal information systems terms and conditions\n\nlist of types of applications accessible from external information systems\n\nmaximum security categorization for information processed, stored, or transmitted - on external information systems\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing terms and conditions on use of external - information systems - """ - - - id: ac-22 - class: SP800-53 - title: Publicly Accessible Content - parameters: - - - id: ac-22_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least quarterly - properties: - - - name: label - value: AC-22 - - - name: sort-id - value: ac-22 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ac-22_smt - name: statement - prose: The organization: - parts: - - - id: ac-22_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and - """ - - - id: ac-22_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Reviews the content on the publicly accessible information system for nonpublic - information {{ ac-22_prm_1 }} and removes such information, if - discovered. - """ - - - id: ac-22_gdn - name: guidance - prose: - """ - In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-13 - rel: related - text: AU-13 - - - id: ac-22_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-22.a_obj - name: objective - properties: - - - name: label - value: AC-22(a) - prose: - """ - designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22.b_obj - name: objective - properties: - - - name: label - value: AC-22(b) - prose: - """ - trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22.c_obj - name: objective - properties: - - - name: label - value: AC-22(c) - prose: - """ - reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; - """ - - - id: ac-22.d_obj - name: objective - properties: - - - name: label - value: AC-22(d) - parts: - - - id: ac-22.d_obj.1 - name: objective - properties: - - - name: label - value: AC-22(d)[1] - prose: - """ - defines the frequency to review the content on the publicly accessible - information system for nonpublic information; - """ - - - id: ac-22.d_obj.2 - name: objective - properties: - - - name: label - value: AC-22(d)[2] - prose: - """ - reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and - """ - - - id: ac-22.d_obj.3 - name: objective - properties: - - - name: label - value: AC-22(d)[3] - prose: - """ - removes nonpublic information from the publicly accessible information system, - if discovered. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing publicly accessible content\n\nlist of users authorized to post publicly accessible content on organizational - information systems\n\ntraining materials and/or records\n\nrecords of publicly accessible information reviews\n\nrecords of response to nonpublic information on public websites\n\nsystem audit logs\n\nsecurity awareness training records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing management of publicly accessible content - - - id: at - class: family - title: Awareness and Training - controls: - - - id: at-1 - class: SP800-53 - title: Security Awareness and Training Policy and Procedures - parameters: - - - id: at-1_prm_1 - label: organization-defined personnel or roles - - - id: at-1_prm_2 - label: organization-defined frequency - - - id: at-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: AT-1 - - - name: sort-id - value: at-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: at-1_smt - name: statement - prose: The organization: - parts: - - - id: at-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ at-1_prm_1 }}: - parts: - - - id: at-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: at-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and - """ - - - id: at-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: at-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security awareness and training policy {{ at-1_prm_2 }}; and - - - id: at-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security awareness and training procedures {{ at-1_prm_3 }}. - - - id: at-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: at-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-1.a_obj - name: objective - properties: - - - name: label - value: AT-1(a) - parts: - - - id: at-1.a.1_obj - name: objective - properties: - - - name: label - value: AT-1(a)(1) - parts: - - - id: at-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1] - prose: - """ - develops and documents an security awareness and training policy that - addresses: - """ - parts: - - - id: at-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][a] - prose: purpose; - - - id: at-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][b] - prose: scope; - - - id: at-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][c] - prose: roles; - - - id: at-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][d] - prose: responsibilities; - - - id: at-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][e] - prose: management commitment; - - - id: at-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: at-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][g] - prose: compliance; - - - id: at-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: AT-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security awareness and training - policy are to be disseminated; - """ - - - id: at-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: AT-1(a)(1)[3] - prose: - """ - disseminates the security awareness and training policy to - organization-defined personnel or roles; - """ - - - id: at-1.a.2_obj - name: objective - properties: - - - name: label - value: AT-1(a)(2) - parts: - - - id: at-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: AT-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls; - """ - - - id: at-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: AT-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: at-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: AT-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: at-1.b_obj - name: objective - properties: - - - name: label - value: AT-1(b) - parts: - - - id: at-1.b.1_obj - name: objective - properties: - - - name: label - value: AT-1(b)(1) - parts: - - - id: at-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: AT-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training policy; - """ - - - id: at-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: AT-1(b)(1)[2] - prose: - """ - reviews and updates the current security awareness and training policy with - the organization-defined frequency; - """ - - - id: at-1.b.2_obj - name: objective - properties: - - - name: label - value: AT-1(b)(2) - parts: - - - id: at-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: AT-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training procedures; and - """ - - - id: at-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: AT-1(b)(2)[2] - prose: - """ - reviews and updates the current security awareness and training procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security awareness and training responsibilities\n\norganizational personnel with information security responsibilities - - - id: at-2 - class: SP800-53 - title: Security Awareness Training - parameters: - - - id: at-2_prm_1 - label: organization-defined frequency - properties: - - - name: label - value: AT-2 - - - name: sort-id - value: at-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-2_smt - name: statement - prose: - """ - The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors): - """ - parts: - - - id: at-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: As part of initial training for new users; - - - id: at-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-2_prm_1 }} thereafter. - """ - - - id: at-2_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: at-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-2.a_obj - name: objective - properties: - - - name: label - value: AT-2(a) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users; - """ - - - id: at-2.b_obj - name: objective - properties: - - - name: label - value: AT-2(b) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and - """ - - - id: at-2.c_obj - name: objective - properties: - - - name: label - value: AT-2(c) - parts: - - - id: at-2.c_obj.1 - name: objective - properties: - - - name: label - value: AT-2(c)[1] - prose: - """ - defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and - """ - - - id: at-2.c_obj.2 - name: objective - properties: - - - name: label - value: AT-2(c)[2] - prose: - """ - provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nappropriate codes of federal regulations\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for security awareness training\n\norganizational personnel with information security responsibilities\n\norganizational personnel comprising the general information system user - community - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing security awareness training - - - id: at-3 - class: SP800-53 - title: Role-based Security Training - parameters: - - - id: at-3_prm_1 - label: organization-defined frequency - properties: - - - name: label - value: AT-3 - - - name: sort-id - value: at-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-3_smt - name: statement - prose: - """ - The organization provides role-based security training to personnel with assigned - security roles and responsibilities: - """ - parts: - - - id: at-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Before authorizing access to the information system or performing assigned - duties; - """ - - - id: at-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-3_prm_1 }} thereafter. - """ - - - id: at-3_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-16 - rel: related - text: SA-16 - - - id: at-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-3.a_obj - name: objective - properties: - - - name: label - value: AT-3(a) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties; - """ - - - id: at-3.b_obj - name: objective - properties: - - - name: label - value: AT-3(b) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and - """ - - - id: at-3.c_obj - name: objective - properties: - - - name: label - value: AT-3(c) - parts: - - - id: at-3.c_obj.1 - name: objective - properties: - - - name: label - value: AT-3(c)[1] - prose: - """ - defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and - """ - - - id: at-3.c_obj.2 - name: objective - properties: - - - name: label - value: AT-3(c)[2] - prose: - """ - provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training implementation\n\ncodes of federal regulations\n\nsecurity training curriculum\n\nsecurity training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for role-based security - training\n\norganizational personnel with assigned information system security roles and - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing role-based security training - - - id: at-4 - class: SP800-53 - title: Security Training Records - parameters: - - - id: at-4_prm_1 - label: organization-defined time period - properties: - - - name: label - value: AT-4 - - - name: sort-id - value: at-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: at-4_smt - name: statement - prose: The organization: - parts: - - - id: at-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and - """ - - - id: at-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Retains individual training records for {{ at-4_prm_1 }}. - - - id: at-4_gdn - name: guidance - prose: - """ - Documentation for specialized training may be maintained by individual supervisors at - the option of the organization. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-14 - rel: related - text: PM-14 - - - id: at-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-4.a_obj - name: objective - properties: - - - name: label - value: AT-4(a) - parts: - - - id: at-4.a_obj.1 - name: objective - properties: - - - name: label - value: AT-4(a)[1] - prose: - """ - documents individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.1.a - name: objective - properties: - - - name: label - value: AT-4(a)[1][a] - prose: basic security awareness training; - - - id: at-4.a_obj.1.b - name: objective - properties: - - - name: label - value: AT-4(a)[1][b] - prose: specific role-based information system security training; - - - id: at-4.a_obj.2 - name: objective - properties: - - - name: label - value: AT-4(a)[2] - prose: - """ - monitors individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.2.a - name: objective - properties: - - - name: label - value: AT-4(a)[2][a] - prose: basic security awareness training; - - - id: at-4.a_obj.2.b - name: objective - properties: - - - name: label - value: AT-4(a)[2][b] - prose: specific role-based information system security training; - - - id: at-4.b_obj - name: objective - properties: - - - name: label - value: AT-4(b) - parts: - - - id: at-4.b_obj.1 - name: objective - properties: - - - name: label - value: AT-4(b)[1] - prose: defines a time period to retain individual training records; and - - - id: at-4.b_obj.2 - name: objective - properties: - - - name: label - value: AT-4(b)[2] - prose: - """ - retains individual training records for the organization-defined time - period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training records\n\nsecurity awareness and training records\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security training record retention - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting management of security training records - - - id: au - class: family - title: Audit and Accountability - controls: - - - id: au-1 - class: SP800-53 - title: Audit and Accountability Policy and Procedures - parameters: - - - id: au-1_prm_1 - label: organization-defined personnel or roles - - - id: au-1_prm_2 - label: organization-defined frequency - - - id: au-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: AU-1 - - - name: sort-id - value: au-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: au-1_smt - name: statement - prose: The organization: - parts: - - - id: au-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ au-1_prm_1 }}: - parts: - - - id: au-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: au-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and - """ - - - id: au-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: au-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Audit and accountability policy {{ au-1_prm_2 }}; and - - - id: au-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Audit and accountability procedures {{ au-1_prm_3 }}. - - - id: au-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: au-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-1.a_obj - name: objective - properties: - - - name: label - value: AU-1(a) - parts: - - - id: au-1.a.1_obj - name: objective - properties: - - - name: label - value: AU-1(a)(1) - parts: - - - id: au-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1] - prose: - """ - develops and documents an audit and accountability policy that - addresses: - """ - parts: - - - id: au-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][a] - prose: purpose; - - - id: au-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][b] - prose: scope; - - - id: au-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][c] - prose: roles; - - - id: au-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][d] - prose: responsibilities; - - - id: au-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][e] - prose: management commitment; - - - id: au-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: au-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][g] - prose: compliance; - - - id: au-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: AU-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the audit and accountability policy are - to be disseminated; - """ - - - id: au-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: AU-1(a)(1)[3] - prose: - """ - disseminates the audit and accountability policy to organization-defined - personnel or roles; - """ - - - id: au-1.a.2_obj - name: objective - properties: - - - name: label - value: AU-1(a)(2) - parts: - - - id: au-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: AU-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls; - """ - - - id: au-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: AU-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: au-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: AU-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: au-1.b_obj - name: objective - properties: - - - name: label - value: AU-1(b) - parts: - - - id: au-1.b.1_obj - name: objective - properties: - - - name: label - value: AU-1(b)(1) - parts: - - - id: au-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: AU-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability policy; - """ - - - id: au-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: AU-1(b)(1)[2] - prose: - """ - reviews and updates the current audit and accountability policy with the - organization-defined frequency; - """ - - - id: au-1.b.2_obj - name: objective - properties: - - - name: label - value: AU-1(b)(2) - parts: - - - id: au-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: AU-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability procedures; and - """ - - - id: au-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: AU-1(b)(2)[2] - prose: - """ - reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities - - - id: au-2 - class: SP800-53 - title: Audit Events - parameters: - - - id: au-2_prm_1 - label: organization-defined auditable events - - - id: au-2_prm_2 - label: - """ - organization-defined audited events (the subset of the auditable events defined - in AU-2 a.) along with the frequency of (or situation requiring) auditing for each - identified event - """ - properties: - - - name: label - value: AU-2 - - - name: sort-id - value: au-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: au-2_smt - name: statement - prose: The organization: - parts: - - - id: au-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines that the information system is capable of auditing the following - events: {{ au-2_prm_1 }}; - """ - - - id: au-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and - """ - - - id: au-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Determines that the following events are to be audited within the information - system: {{ au-2_prm_2 }}. - """ - - - id: au-2_gdn - name: guidance - prose: - """ - An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-2.a_obj - name: objective - properties: - - - name: label - value: AU-2(a) - parts: - - - id: au-2.a_obj.1 - name: objective - properties: - - - name: label - value: AU-2(a)[1] - prose: - """ - defines the auditable events that the information system must be capable of - auditing; - """ - - - id: au-2.a_obj.2 - name: objective - properties: - - - name: label - value: AU-2(a)[2] - prose: - """ - determines that the information system is capable of auditing - organization-defined auditable events; - """ - - - id: au-2.b_obj - name: objective - properties: - - - name: label - value: AU-2(b) - prose: - """ - coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2.c_obj - name: objective - properties: - - - name: label - value: AU-2(c) - prose: - """ - provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; - """ - - - id: au-2.d_obj - name: objective - properties: - - - name: label - value: AU-2(d) - parts: - - - id: au-2.d_obj.1 - name: objective - properties: - - - name: label - value: AU-2(d)[1] - prose: - """ - defines the subset of auditable events defined in AU-2a that are to be audited - within the information system; - """ - - - id: au-2.d_obj.2 - name: objective - properties: - - - name: label - value: AU-2(d)[2] - prose: - """ - determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and - """ - - - id: au-2.d_obj.3 - name: objective - properties: - - - name: label - value: AU-2(d)[3] - prose: - """ - determines the frequency of (or situation requiring) auditing for each - identified event. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing auditable events\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\ninformation system auditable events\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information system auditing - - - id: au-3 - class: SP800-53 - title: Content of Audit Records - properties: - - - name: label - value: AU-3 - - - name: sort-id - value: au-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: au-3_smt - name: statement - prose: - """ - The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event. - """ - - - id: au-3_gdn - name: guidance - prose: - """ - Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-8 - rel: related - text: AU-8 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #si-11 - rel: related - text: SI-11 - - - id: au-3_obj - name: objective - prose: - """ - Determine if the information system generates audit records containing information - that establishes: - """ - parts: - - - id: au-3_obj.1 - name: objective - properties: - - - name: label - value: AU-3[1] - prose: what type of event occurred; - - - id: au-3_obj.2 - name: objective - properties: - - - name: label - value: AU-3[2] - prose: when the event occurred; - - - id: au-3_obj.3 - name: objective - properties: - - - name: label - value: AU-3[3] - prose: where the event occurred; - - - id: au-3_obj.4 - name: objective - properties: - - - name: label - value: AU-3[4] - prose: the source of the event; - - - id: au-3_obj.5 - name: objective - properties: - - - name: label - value: AU-3[5] - prose: the outcome of the event; and - - - id: au-3_obj.6 - name: objective - properties: - - - name: label - value: AU-3[6] - prose: the identity of any individuals or subjects associated with the event. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\ninformation system incident reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system auditing of auditable - events - """ - - - id: au-4 - class: SP800-53 - title: Audit Storage Capacity - parameters: - - - id: au-4_prm_1 - label: organization-defined audit record storage requirements - properties: - - - name: label - value: AU-4 - - - name: sort-id - value: au-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - id: au-4_smt - name: statement - prose: The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}. - - - id: au-4_gdn - name: guidance - prose: - """ - Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-4_obj.1 - name: objective - properties: - - - name: label - value: AU-4[1] - prose: defines audit record storage requirements; and - - - id: au-4_obj.2 - name: objective - properties: - - - name: label - value: AU-4[2] - prose: - """ - allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit storage capacity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit record storage requirements\n\naudit record storage capability for information system components\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit record storage capacity and related configuration settings - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the audit data has been determined to have little or - no impact to government business/mission needs. - """ - - - id: au-5 - class: SP800-53 - title: Response to Audit Processing Failures - parameters: - - - id: au-5_prm_1 - label: organization-defined personnel or roles - - - id: au-5_prm_2 - label: - """ - organization-defined actions to be taken (e.g., shut down information system, - overwrite oldest audit records, stop generating audit records) - """ - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - properties: - - - name: label - value: AU-5 - - - name: sort-id - value: au-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: au-5_smt - name: statement - prose: The information system: - parts: - - - id: au-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Alerts {{ au-5_prm_1 }} in the event of an audit processing - failure; and - """ - - - id: au-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Takes the following additional actions: {{ au-5_prm_2 }}. - - - id: au-5_gdn - name: guidance - prose: - """ - Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #si-12 - rel: related - text: SI-12 - - - id: au-5_obj - name: objective - prose: Determine if: - parts: - - - id: au-5.a_obj - name: objective - properties: - - - name: label - value: AU-5(a) - parts: - - - id: au-5.a_obj.1 - name: objective - properties: - - - name: label - value: AU-5(a)[1] - prose: - """ - the organization defines the personnel or roles to be alerted in the event of - an audit processing failure; - """ - - - id: au-5.a_obj.2 - name: objective - properties: - - - name: label - value: AU-5(a)[2] - prose: - """ - the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure; - """ - - - id: au-5.b_obj - name: objective - properties: - - - name: label - value: AU-5(b) - parts: - - - id: au-5.b_obj.1 - name: objective - properties: - - - name: label - value: AU-5(b)[1] - prose: - """ - the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and - """ - - - id: au-5.b_obj.2 - name: objective - properties: - - - name: label - value: AU-5(b)[2] - prose: - """ - the information system takes the additional organization-defined actions in the - event of an audit processing failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nlist of personnel to be notified in case of an audit processing failure\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system response to audit processing - failures - """ - - - id: au-6 - class: SP800-53 - title: Audit Review, Analysis, and Reporting - parameters: - - - id: au-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: au-6_prm_2 - label: organization-defined inappropriate or unusual activity - - - id: au-6_prm_3 - label: organization-defined personnel or roles - properties: - - - name: label - value: AU-6 - - - name: sort-id - value: au-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: au-6_smt - name: statement - prose: The organization: - parts: - - - id: au-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }}; - and - """ - - - id: au-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports findings to {{ au-6_prm_3 }}. - - - id: au-6_gdn - name: guidance - prose: - """ - Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-10 - rel: related - text: CM-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #pe-14 - rel: related - text: PE-14 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-18 - rel: related - text: SC-18 - - - href: #sc-19 - rel: related - text: SC-19 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: au-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.a_obj - name: objective - properties: - - - name: label - value: AU-6(a) - parts: - - - id: au-6.a_obj.1 - name: objective - properties: - - - name: label - value: AU-6(a)[1] - prose: - """ - defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed; - """ - - - id: au-6.a_obj.2 - name: objective - properties: - - - name: label - value: AU-6(a)[2] - prose: - """ - defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity; - """ - - - id: au-6.a_obj.3 - name: objective - properties: - - - name: label - value: AU-6(a)[3] - prose: - """ - reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency; - """ - - - id: au-6.b_obj - name: objective - properties: - - - name: label - value: AU-6(b) - parts: - - - id: au-6.b_obj.1 - name: objective - properties: - - - name: label - value: AU-6(b)[1] - prose: - """ - defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and - """ - - - id: au-6.b_obj.2 - name: objective - properties: - - - name: label - value: AU-6(b)[2] - prose: reports findings to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nreports of audit findings\n\nrecords of actions taken in response to reviews/analyses of audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: au-8 - class: SP800-53 - title: Time Stamps - parameters: - - - id: au-8_prm_1 - label: organization-defined granularity of time measurement - properties: - - - name: label - value: AU-8 - - - name: sort-id - value: au-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: au-8_smt - name: statement - prose: The information system: - parts: - - - id: au-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Uses internal system clocks to generate time stamps for audit records; and - - - id: au-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}. - """ - - - id: au-8_gdn - name: guidance - prose: - """ - Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities. - """ - links: - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-8_obj - name: objective - prose: Determine if: - parts: - - - id: au-8.a_obj - name: objective - properties: - - - name: label - value: AU-8(a) - prose: - """ - the information system uses internal system clocks to generate time stamps for - audit records; - """ - - - id: au-8.b_obj - name: objective - properties: - - - name: label - value: AU-8(b) - parts: - - - id: au-8.b_obj.1 - name: objective - properties: - - - name: label - value: AU-8(b)[1] - prose: - """ - the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT); - """ - - - id: au-8.b_obj.2 - name: objective - properties: - - - name: label - value: AU-8(b)[2] - prose: - """ - the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and - """ - - - id: au-8.b_obj.3 - name: objective - properties: - - - name: label - value: AU-8(b)[3] - prose: - """ - the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing time stamp generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing time stamp generation - - - id: au-9 - class: SP800-53 - title: Protection of Audit Information - properties: - - - name: label - value: AU-9 - - - name: sort-id - value: au-09 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: au-9_smt - name: statement - prose: - """ - The information system protects audit information and audit tools from unauthorized - access, modification, and deletion. - """ - - - id: au-9_gdn - name: guidance - prose: - """ - Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - id: au-9_obj - name: objective - prose: Determine if: - parts: - - - id: au-9_obj.1 - name: objective - properties: - - - name: label - value: AU-9[1] - prose: the information system protects audit information from unauthorized: - parts: - - - id: au-9_obj.1.a - name: objective - properties: - - - name: label - value: AU-9[1][a] - prose: access; - - - id: au-9_obj.1.b - name: objective - properties: - - - name: label - value: AU-9[1][b] - prose: modification; - - - id: au-9_obj.1.c - name: objective - properties: - - - name: label - value: AU-9[1][c] - prose: deletion; - - - id: au-9_obj.2 - name: objective - properties: - - - name: label - value: AU-9[2] - prose: the information system protects audit tools from unauthorized: - parts: - - - id: au-9_obj.2.a - name: objective - properties: - - - name: label - value: AU-9[2][a] - prose: access; - - - id: au-9_obj.2.b - name: objective - properties: - - - name: label - value: AU-9[2][b] - prose: modification; and - - - id: au-9_obj.2.c - name: objective - properties: - - - name: label - value: AU-9[2][c] - prose: deletion. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, - information system audit records\n\naudit tools\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit information protection - - - id: au-11 - class: SP800-53 - title: Audit Record Retention - parameters: - - - id: au-11_prm_1 - label: organization-defined time period consistent with records retention policy - properties: - - - name: label - value: AU-11 - - - name: sort-id - value: au-11 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - id: au-11_smt - name: statement - prose: - """ - The organization retains audit records for {{ au-11_prm_1 }} to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements. - """ - - - id: au-11_gdn - name: guidance - prose: - """ - Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: au-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-11_obj.1 - name: objective - properties: - - - name: label - value: AU-11[1] - prose: - """ - defines a time period to retain audit records that is consistent with records - retention policy; - """ - - - id: au-11_obj.2 - name: objective - properties: - - - name: label - value: AU-11[2] - prose: - """ - retains audit records for the organization-defined time period consistent with - records retention policy to: - """ - parts: - - - id: au-11_obj.2.a - name: objective - properties: - - - name: label - value: AU-11[2][a] - prose: - """ - provide support for after-the-fact investigations of security incidents; - and - """ - - - id: au-11_obj.2.b - name: objective - properties: - - - name: label - value: AU-11[2][b] - prose: meet regulatory and organizational information retention requirements. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\naudit record retention policy and procedures\n\nsecurity plan\n\norganization-defined retention period for audit records\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the audit data has been determined as little or no - impact to government business/mission needs. - """ - - - id: au-12 - class: SP800-53 - title: Audit Generation - parameters: - - - id: au-12_prm_1 - label: organization-defined information system components - - - id: au-12_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: AU-12 - - - name: sort-id - value: au-12 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: au-12_smt - name: statement - prose: The information system: - parts: - - - id: au-12_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides audit record generation capability for the auditable events defined in - AU-2 a. at {{ au-12_prm_1 }}; - """ - - - id: au-12_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows {{ au-12_prm_2 }} to select which auditable events are to be - audited by specific components of the information system; and - """ - - - id: au-12_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3. - """ - - - id: au-12_gdn - name: guidance - prose: - """ - Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - id: au-12_obj - name: objective - prose: Determine if: - parts: - - - id: au-12.a_obj - name: objective - properties: - - - name: label - value: AU-12(a) - parts: - - - id: au-12.a_obj.1 - name: objective - properties: - - - name: label - value: AU-12(a)[1] - prose: - """ - the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a; - """ - - - id: au-12.a_obj.2 - name: objective - properties: - - - name: label - value: AU-12(a)[2] - prose: - """ - the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components; - """ - - - id: au-12.b_obj - name: objective - properties: - - - name: label - value: AU-12(b) - parts: - - - id: au-12.b_obj.1 - name: objective - properties: - - - name: label - value: AU-12(b)[1] - prose: - """ - the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system; - """ - - - id: au-12.b_obj.2 - name: objective - properties: - - - name: label - value: AU-12(b)[2] - prose: - """ - the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and - """ - - - id: au-12.c_obj - name: objective - properties: - - - name: label - value: AU-12(c) - prose: - """ - the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit record generation\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit record generation capability - - - id: ca - class: family - title: Security Assessment and Authorization - controls: - - - id: ca-1 - class: SP800-53 - title: Security Assessment and Authorization Policy and Procedures - parameters: - - - id: ca-1_prm_1 - label: organization-defined personnel or roles - - - id: ca-1_prm_2 - label: organization-defined frequency - - - id: ca-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: CA-1 - - - name: sort-id - value: ca-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ca-1_smt - name: statement - prose: The organization: - parts: - - - id: ca-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ca-1_prm_1 }}: - parts: - - - id: ca-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ca-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and - """ - - - id: ca-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ca-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Security assessment and authorization policy {{ ca-1_prm_2 }}; - and - """ - - - id: ca-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security assessment and authorization procedures {{ ca-1_prm_3 }}. - - - id: ca-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ca-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-1.a_obj - name: objective - properties: - - - name: label - value: CA-1(a) - parts: - - - id: ca-1.a.1_obj - name: objective - properties: - - - name: label - value: CA-1(a)(1) - parts: - - - id: ca-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1] - prose: - """ - develops and documents a security assessment and authorization policy that - addresses: - """ - parts: - - - id: ca-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][a] - prose: purpose; - - - id: ca-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][b] - prose: scope; - - - id: ca-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][c] - prose: roles; - - - id: ca-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ca-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][e] - prose: management commitment; - - - id: ca-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ca-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][g] - prose: compliance; - - - id: ca-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: CA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated; - """ - - - id: ca-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: CA-1(a)(1)[3] - prose: - """ - disseminates the security assessment and authorization policy to - organization-defined personnel or roles; - """ - - - id: ca-1.a.2_obj - name: objective - properties: - - - name: label - value: CA-1(a)(2) - parts: - - - id: ca-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: CA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls; - """ - - - id: ca-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: CA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ca-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: CA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ca-1.b_obj - name: objective - properties: - - - name: label - value: CA-1(b) - parts: - - - id: ca-1.b.1_obj - name: objective - properties: - - - name: label - value: CA-1(b)(1) - parts: - - - id: ca-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: CA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization policy; - """ - - - id: ca-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: CA-1(b)(1)[2] - prose: - """ - reviews and updates the current security assessment and authorization policy - with the organization-defined frequency; - """ - - - id: ca-1.b.2_obj - name: objective - properties: - - - name: label - value: CA-1(b)(2) - parts: - - - id: ca-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: CA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization procedures; and - """ - - - id: ca-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: CA-1(b)(2)[2] - prose: - """ - reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment and authorization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ca-2 - class: SP800-53 - title: Security Assessments - parameters: - - - id: ca-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-2_prm_2 - label: organization-defined individuals or roles - constraints: - - - detail: individuals or roles to include FedRAMP PMO - properties: - - - name: label - value: CA-2 - - - name: sort-id - value: ca-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-2_smt - name: statement - prose: The organization: - parts: - - - id: ca-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Security controls and control enhancements under assessment; - - - id: ca-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Assessment procedures to be used to determine security control effectiveness; - and - """ - - - id: ca-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Assessment environment, assessment team, and assessment roles and - responsibilities; - """ - - - id: ca-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Assesses the security controls in the information system and its environment of - operation {{ ca-2_prm_1 }} to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements; - """ - - - id: ca-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Produces a security assessment report that documents the results of the - assessment; and - """ - - - id: ca-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Provides the results of the security control assessment to {{ ca-2_prm_2 }}. - - - id: ca-2_gdn - name: guidance - prose: - """ - Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control. - """ - links: - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.a_obj - name: objective - properties: - - - name: label - value: CA-2(a) - prose: - """ - develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2.a.1_obj - name: objective - properties: - - - name: label - value: CA-2(a)(1) - prose: security controls and control enhancements under assessment; - - - id: ca-2.a.2_obj - name: objective - properties: - - - name: label - value: CA-2(a)(2) - prose: - """ - assessment procedures to be used to determine security control - effectiveness; - """ - - - id: ca-2.a.3_obj - name: objective - properties: - - - name: label - value: CA-2(a)(3) - parts: - - - id: ca-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[1] - prose: assessment environment; - - - id: ca-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[2] - prose: assessment team; - - - id: ca-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[3] - prose: assessment roles and responsibilities; - - - id: ca-2.b_obj - name: objective - properties: - - - name: label - value: CA-2(b) - parts: - - - id: ca-2.b_obj.1 - name: objective - properties: - - - name: label - value: CA-2(b)[1] - prose: - """ - defines the frequency to assess the security controls in the information system - and its environment of operation; - """ - - - id: ca-2.b_obj.2 - name: objective - properties: - - - name: label - value: CA-2(b)[2] - prose: - """ - assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements; - """ - - - id: ca-2.c_obj - name: objective - properties: - - - name: label - value: CA-2(c) - prose: - """ - produces a security assessment report that documents the results of the - assessment; - """ - - - id: ca-2.d_obj - name: objective - properties: - - - name: label - value: CA-2(d) - parts: - - - id: ca-2.d_obj.1 - name: objective - properties: - - - name: label - value: CA-2(d)[1] - prose: - """ - defines individuals or roles to whom the results of the security control - assessment are to be provided; and - """ - - - id: ca-2.d_obj.2 - name: objective - properties: - - - name: label - value: CA-2(d)[2] - prose: - """ - provides the results of the security control assessment to organization-defined - individuals or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessment planning\n\nprocedures addressing security assessments\n\nsecurity assessment plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting - """ - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - controls: - - - id: ca-2.1 - class: SP800-53-enhancement - title: Independent Assessors - parameters: - - - id: ca-2.1_prm_1 - label: organization-defined level of independence - properties: - - - name: label - value: CA-2(1) - - - name: sort-id - value: ca-02.01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ca-2.1_smt - name: statement - prose: The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments. - - - id: ca-2.1_gdn - name: guidance - prose: - """ - Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments. - """ - - - id: ca-2.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.1_obj.1 - name: objective - properties: - - - name: label - value: CA-2(1)[1] - prose: - """ - defines the level of independence to be employed to conduct security control - assessments; and - """ - - - id: ca-2.1_obj.2 - name: objective - properties: - - - name: label - value: CA-2(1)[2] - prose: - """ - employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-3 - class: SP800-53 - title: System Interconnections - parameters: - - - id: ca-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually and on input from FedRAMP - properties: - - - name: label - value: CA-3 - - - name: sort-id - value: ca-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #2711f068-734e-4afd-94ba-0b22247fbc88 - rel: reference - text: NIST Special Publication 800-47 - parts: - - - id: ca-3_smt - name: statement - prose: The organization: - parts: - - - id: ca-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and - """ - - - id: ca-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}. - - - id: ca-3_gdn - name: guidance - prose: - """ - This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.a_obj - name: objective - properties: - - - name: label - value: CA-3(a) - prose: - """ - authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3.b_obj - name: objective - properties: - - - name: label - value: CA-3(b) - prose: documents, for each interconnection: - parts: - - - id: ca-3.b_obj.1 - name: objective - properties: - - - name: label - value: CA-3(b)[1] - prose: the interface characteristics; - - - id: ca-3.b_obj.2 - name: objective - properties: - - - name: label - value: CA-3(b)[2] - prose: the security requirements; - - - id: ca-3.b_obj.3 - name: objective - properties: - - - name: label - value: CA-3(b)[3] - prose: the nature of the information communicated; - - - id: ca-3.c_obj - name: objective - properties: - - - name: label - value: CA-3(c) - parts: - - - id: ca-3.c_obj.1 - name: objective - properties: - - - name: label - value: CA-3(c)[1] - prose: - """ - defines the frequency to review and update Interconnection Security Agreements; - and - """ - - - id: ca-3.c_obj.2 - name: objective - properties: - - - name: label - value: CA-3(c)[2] - prose: - """ - reviews and updates Interconnection Security Agreements with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system Interconnection Security Agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements\n\norganizational personnel with information security responsibilities\n\npersonnel managing the system(s) to which the Interconnection Security Agreement - applies - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured. - """ - - - id: ca-5 - class: SP800-53 - title: Plan of Action and Milestones - parameters: - - - id: ca-5_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: label - value: CA-5 - - - name: sort-id - value: ca-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #2c5884cd-7b96-425c-862a-99877e1cf909 - rel: reference - text: OMB Memorandum 02-01 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - parts: - - - id: ca-5_smt - name: statement - prose: The organization: - parts: - - - id: ca-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and - """ - - - id: ca-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates existing plan of action and milestones {{ ca-5_prm_1 }} - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities. - """ - - - id: ca-5_gdn - name: guidance - prose: - """ - Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-4 - rel: related - text: PM-4 - - - id: ca-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-5.a_obj - name: objective - properties: - - - name: label - value: CA-5(a) - prose: develops a plan of action and milestones for the information system to: - parts: - - - id: ca-5.a_obj.1 - name: objective - properties: - - - name: label - value: CA-5(a)[1] - prose: - """ - document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls; - """ - - - id: ca-5.a_obj.2 - name: objective - properties: - - - name: label - value: CA-5(a)[2] - prose: reduce or eliminate known vulnerabilities in the system; - - - id: ca-5.b_obj - name: objective - properties: - - - name: label - value: CA-5(b) - parts: - - - id: ca-5.b_obj.1 - name: objective - properties: - - - name: label - value: CA-5(b)[1] - prose: defines the frequency to update the existing plan of action and milestones; - - - id: ca-5.b_obj.2 - name: objective - properties: - - - name: label - value: CA-5(b)[2] - prose: - """ - updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from: - """ - parts: - - - id: ca-5.b_obj.2.a - name: objective - properties: - - - name: label - value: CA-5(b)[2][a] - prose: security controls assessments; - - - id: ca-5.b_obj.2.b - name: objective - properties: - - - name: label - value: CA-5(b)[2][b] - prose: security impact analyses; and - - - id: ca-5.b_obj.2.c - name: objective - properties: - - - name: label - value: CA-5(b)[2][c] - prose: continuous monitoring activities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing plan of action and milestones\n\nsecurity plan\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nplan of action and milestones\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with plan of action and milestones development and - implementation responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring - Requirements. - """ - - - id: ca-6 - class: SP800-53 - title: Security Authorization - parameters: - - - id: ca-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three years or when a significant change occurs - properties: - - - name: label - value: CA-6 - - - name: sort-id - value: ca-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab - rel: reference - text: OMB Circular A-130 - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-6_smt - name: statement - prose: The organization: - parts: - - - id: ca-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and - """ - - - id: ca-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: Updates the security authorization {{ ca-6_prm_1 }}. - - - id: ca-6_gdn - name: guidance - prose: - """ - Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-10 - rel: related - text: PM-10 - - - id: ca-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-6.a_obj - name: objective - properties: - - - name: label - value: CA-6(a) - prose: - """ - assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6.b_obj - name: objective - properties: - - - name: label - value: CA-6(b) - prose: - """ - ensures that the authorizing official authorizes the information system for - processing before commencing operations; - """ - - - id: ca-6.c_obj - name: objective - properties: - - - name: label - value: CA-6(c) - parts: - - - id: ca-6.c_obj.1 - name: objective - properties: - - - name: label - value: CA-6(c)[1] - prose: defines the frequency to update the security authorization; and - - - id: ca-6.c_obj.2 - name: objective - properties: - - - name: label - value: CA-6(c)[2] - prose: updates the security authorization with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security authorization\n\nsecurity authorization package (including security plan\n\nsecurity assessment report\n\nplan of action and milestones\n\nauthorization statement)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security authorization responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms that facilitate security authorizations and updates - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F. The service provider describes the types of changes to the - information system or the environment of operations that would impact the risk - posture. The types of changes are approved and accepted by the Authorizing - Official. - """ - - - id: ca-7 - class: SP800-53 - title: Continuous Monitoring - parameters: - - - id: ca-7_prm_1 - label: organization-defined metrics - - - id: ca-7_prm_2 - label: organization-defined frequencies - - - id: ca-7_prm_3 - label: organization-defined frequencies - - - id: ca-7_prm_4 - label: organization-defined personnel or roles - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - - - id: ca-7_prm_5 - label: organization-defined frequency - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - properties: - - - name: label - value: CA-7 - - - name: sort-id - value: ca-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #8ade2fbe-e468-4ca8-9a40-54d7f23c32bb - rel: reference - text: US-CERT Technical Cyber Security Alerts - - - href: #2d8b14e9-c8b5-4d3d-8bdc-155078f3281b - rel: reference - text: DoD Information Assurance Vulnerability Alerts - parts: - - - id: ca-7_smt - name: statement - prose: - """ - The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes: - """ - parts: - - - id: ca-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Establishment of {{ ca-7_prm_1 }} to be monitored; - - - id: ca-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring; - - - id: ca-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy; - """ - - - id: ca-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Correlation and analysis of security-related information generated by assessments - and monitoring; - """ - - - id: ca-7_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Response actions to address results of the analysis of security-related - information; and - """ - - - id: ca-7_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Reporting the security status of organization and the information system to - {{ ca-7_prm_4 }} - {{ ca-7_prm_5 }}. - """ - - - id: ca-7_gdn - name: guidance - prose: - """ - Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-6 - rel: related - text: PM-6 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-7.a_obj - name: objective - properties: - - - name: label - value: CA-7(a) - parts: - - - id: ca-7.a_obj.1 - name: objective - properties: - - - name: label - value: CA-7(a)[1] - prose: - """ - develops a continuous monitoring strategy that defines metrics to be - monitored; - """ - - - id: ca-7.a_obj.2 - name: objective - properties: - - - name: label - value: CA-7(a)[2] - prose: - """ - develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics; - """ - - - id: ca-7.a_obj.3 - name: objective - properties: - - - name: label - value: CA-7(a)[3] - prose: - """ - implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy; - """ - - - id: ca-7.b_obj - name: objective - properties: - - - name: label - value: CA-7(b) - parts: - - - id: ca-7.b_obj.1 - name: objective - properties: - - - name: label - value: CA-7(b)[1] - prose: - """ - develops a continuous monitoring strategy that defines frequencies for - monitoring; - """ - - - id: ca-7.b_obj.2 - name: objective - properties: - - - name: label - value: CA-7(b)[2] - prose: defines frequencies for assessments supporting monitoring; - - - id: ca-7.b_obj.3 - name: objective - properties: - - - name: label - value: CA-7(b)[3] - prose: - """ - develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring; - """ - - - id: ca-7.b_obj.4 - name: objective - properties: - - - name: label - value: CA-7(b)[4] - prose: - """ - implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.c_obj - name: objective - properties: - - - name: label - value: CA-7(c) - parts: - - - id: ca-7.c_obj.1 - name: objective - properties: - - - name: label - value: CA-7(c)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security - control assessments; - """ - - - id: ca-7.c_obj.2 - name: objective - properties: - - - name: label - value: CA-7(c)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.d_obj - name: objective - properties: - - - name: label - value: CA-7(d) - parts: - - - id: ca-7.d_obj.1 - name: objective - properties: - - - name: label - value: CA-7(d)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics; - """ - - - id: ca-7.d_obj.2 - name: objective - properties: - - - name: label - value: CA-7(d)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy; - """ - - - id: ca-7.e_obj - name: objective - properties: - - - name: label - value: CA-7(e) - parts: - - - id: ca-7.e_obj.1 - name: objective - properties: - - - name: label - value: CA-7(e)[1] - prose: - """ - develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring; - """ - - - id: ca-7.e_obj.2 - name: objective - properties: - - - name: label - value: CA-7(e)[2] - prose: - """ - implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.f_obj - name: objective - properties: - - - name: label - value: CA-7(f) - parts: - - - id: ca-7.f_obj.1 - name: objective - properties: - - - name: label - value: CA-7(f)[1] - prose: - """ - develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information; - """ - - - id: ca-7.f_obj.2 - name: objective - properties: - - - name: label - value: CA-7(f)[2] - prose: - """ - implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7.g_obj - name: objective - properties: - - - name: label - value: CA-7(g) - parts: - - - id: ca-7.g_obj.1 - name: objective - properties: - - - name: label - value: CA-7(g)[1] - prose: - """ - develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported; - """ - - - id: ca-7.g_obj.2 - name: objective - properties: - - - name: label - value: CA-7(g)[2] - prose: - """ - develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles; - """ - - - id: ca-7.g_obj.3 - name: objective - properties: - - - name: label - value: CA-7(g)[3] - prose: - """ - develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and - """ - - - id: ca-7.g_obj.4 - name: objective - properties: - - - name: label - value: CA-7(g)[4] - prose: - """ - implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nprocedures addressing configuration management\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nconfiguration management records, security impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Mechanisms implementing continuous monitoring - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - CSPs must provide evidence of closure and remediation of high vulnerabilities - within the timeframe for standard POA&M updates. - """ - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-9 - class: SP800-53 - title: Internal System Connections - parameters: - - - id: ca-9_prm_1 - label: - """ - organization-defined information system components or classes of - components - """ - properties: - - - name: label - value: CA-9 - - - name: sort-id - value: ca-09 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ca-9_smt - name: statement - prose: The organization: - parts: - - - id: ca-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes internal connections of {{ ca-9_prm_1 }} to the - information system; and - """ - - - id: ca-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated. - """ - - - id: ca-9_gdn - name: guidance - prose: - """ - This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-9.a_obj - name: objective - properties: - - - name: label - value: CA-9(a) - parts: - - - id: ca-9.a_obj.1 - name: objective - properties: - - - name: label - value: CA-9(a)[1] - prose: - """ - defines information system components or classes of components to be authorized - as internal connections to the information system; - """ - - - id: ca-9.a_obj.2 - name: objective - properties: - - - name: label - value: CA-9(a)[2] - prose: - """ - authorizes internal connections of organization-defined information system - components or classes of components to the information system; - """ - - - id: ca-9.b_obj - name: objective - properties: - - - name: label - value: CA-9(b) - prose: documents, for each internal connection: - parts: - - - id: ca-9.b_obj.1 - name: objective - properties: - - - name: label - value: CA-9(b)[1] - prose: the interface characteristics; - - - id: ca-9.b_obj.2 - name: objective - properties: - - - name: label - value: CA-9(b)[2] - prose: the security requirements; and - - - id: ca-9.b_obj.3 - name: objective - properties: - - - name: label - value: CA-9(b)[3] - prose: the nature of the information communicated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system - connections\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections\n\norganizational personnel with information security responsibilities - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured. - """ - - - id: cm - class: family - title: Configuration Management - controls: - - - id: cm-1 - class: SP800-53 - title: Configuration Management Policy and Procedures - parameters: - - - id: cm-1_prm_1 - label: organization-defined personnel or roles - - - id: cm-1_prm_2 - label: organization-defined frequency - - - id: cm-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: CM-1 - - - name: sort-id - value: cm-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cm-1_smt - name: statement - prose: The organization: - parts: - - - id: cm-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cm-1_prm_1 }}: - parts: - - - id: cm-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cm-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and - """ - - - id: cm-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cm-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Configuration management policy {{ cm-1_prm_2 }}; and - - - id: cm-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Configuration management procedures {{ cm-1_prm_3 }}. - - - id: cm-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cm-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-1.a_obj - name: objective - properties: - - - name: label - value: CM-1(a) - parts: - - - id: cm-1.a.1_obj - name: objective - properties: - - - name: label - value: CM-1(a)(1) - parts: - - - id: cm-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1] - prose: develops and documents a configuration management policy that addresses: - parts: - - - id: cm-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][a] - prose: purpose; - - - id: cm-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][b] - prose: scope; - - - id: cm-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][c] - prose: roles; - - - id: cm-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][d] - prose: responsibilities; - - - id: cm-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][e] - prose: management commitment; - - - id: cm-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cm-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][g] - prose: compliance; - - - id: cm-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: CM-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the configuration management policy is to - be disseminated; - """ - - - id: cm-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: CM-1(a)(1)[3] - prose: - """ - disseminates the configuration management policy to organization-defined - personnel or roles; - """ - - - id: cm-1.a.2_obj - name: objective - properties: - - - name: label - value: CM-1(a)(2) - parts: - - - id: cm-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: CM-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls; - """ - - - id: cm-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: CM-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cm-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: CM-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: cm-1.b_obj - name: objective - properties: - - - name: label - value: CM-1(b) - parts: - - - id: cm-1.b.1_obj - name: objective - properties: - - - name: label - value: CM-1(b)(1) - parts: - - - id: cm-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: CM-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current configuration - management policy; - """ - - - id: cm-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: CM-1(b)(1)[2] - prose: - """ - reviews and updates the current configuration management policy with the - organization-defined frequency; - """ - - - id: cm-1.b.2_obj - name: objective - properties: - - - name: label - value: CM-1(b)(2) - parts: - - - id: cm-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: CM-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current configuration - management procedures; and - """ - - - id: cm-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: CM-1(b)(2)[2] - prose: - """ - reviews and updates the current configuration management procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: cm-2 - class: SP800-53 - title: Baseline Configuration - properties: - - - name: label - value: CM-2 - - - name: sort-id - value: cm-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-2_smt - name: statement - prose: - """ - The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system. - """ - - - id: cm-2_gdn - name: guidance - prose: - """ - This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #pm-5 - rel: related - text: PM-5 - - - href: #pm-7 - rel: related - text: PM-7 - - - id: cm-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2_obj.1 - name: objective - properties: - - - name: label - value: CM-2[1] - prose: - """ - develops and documents a current baseline configuration of the information system; - and - """ - - - id: cm-2_obj.2 - name: objective - properties: - - - name: label - value: CM-2[2] - prose: - """ - maintains, under configuration control, a current baseline configuration of the - information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\nenterprise architecture documentation\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline - configuration - """ - - - id: cm-4 - class: SP800-53 - title: Security Impact Analysis - properties: - - - name: label - value: CM-4 - - - name: sort-id - value: cm-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-4_smt - name: statement - prose: - """ - The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation. - """ - - - id: cm-4_gdn - name: guidance - prose: - """ - Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #si-2 - rel: related - text: SI-2 - - - id: cm-4_obj - name: objective - prose: - """ - Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing security impact analysis for changes to the information - system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nanalysis tools and associated outputs\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for conducting security impact - analysis\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security impact analysis - - - id: cm-6 - class: SP800-53 - title: Configuration Settings - parameters: - - - id: cm-6_prm_1 - label: organization-defined security configuration checklists - constraints: - - - detail: see CM-6(a) Additional FedRAMP Requirements and Guidance - - - id: cm-6_prm_2 - label: organization-defined information system components - - - id: cm-6_prm_3 - label: organization-defined operational requirements - properties: - - - name: label - value: CM-6 - - - name: sort-id - value: cm-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #990268bf-f4a9-4c81-91ae-dc7d3115f4b1 - rel: reference - text: OMB Memorandum 07-11 - - - href: #0b3d8ba9-051f-498d-81ea-97f0f018c612 - rel: reference - text: OMB Memorandum 07-18 - - - href: #0916ef02-3618-411b-a525-565c088849a6 - rel: reference - text: OMB Memorandum 08-22 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - - - href: #e95dd121-2733-413e-bf1e-f1eb49f20a98 - rel: reference - text: http://checklists.nist.gov - - - href: #647b6de3-81d0-4d22-bec1-5f1333e34380 - rel: reference - text: http://www.nsa.gov - parts: - - - id: cm-6_smt - name: statement - prose: The organization: - parts: - - - id: cm-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents configuration settings for information technology - products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with - operational requirements; - """ - - - id: cm-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Implements the configuration settings; - - - id: cm-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies, documents, and approves any deviations from established configuration - settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and - """ - - - id: cm-6_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - id: cm-6_gdn - name: guidance - prose: - """ - Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: cm-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.a_obj - name: objective - properties: - - - name: label - value: CM-6(a) - parts: - - - id: cm-6.a_obj.1 - name: objective - properties: - - - name: label - value: CM-6(a)[1] - prose: - """ - defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed; - """ - - - id: cm-6.a_obj.2 - name: objective - properties: - - - name: label - value: CM-6(a)[2] - prose: - """ - ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements; - """ - - - id: cm-6.a_obj.3 - name: objective - properties: - - - name: label - value: CM-6(a)[3] - prose: - """ - establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists; - """ - - - id: cm-6.b_obj - name: objective - properties: - - - name: label - value: CM-6(b) - prose: implements the configuration settings established/documented in CM-6(a);; - - - id: cm-6.c_obj - name: objective - properties: - - - name: label - value: CM-6(c) - parts: - - - id: cm-6.c_obj.1 - name: objective - properties: - - - name: label - value: CM-6(c)[1] - prose: - """ - defines information system components for which any deviations from established - configuration settings must be: - """ - parts: - - - id: cm-6.c_obj.1.a - name: objective - properties: - - - name: label - value: CM-6(c)[1][a] - prose: identified; - - - id: cm-6.c_obj.1.b - name: objective - properties: - - - name: label - value: CM-6(c)[1][b] - prose: documented; - - - id: cm-6.c_obj.1.c - name: objective - properties: - - - name: label - value: CM-6(c)[1][c] - prose: approved; - - - id: cm-6.c_obj.2 - name: objective - properties: - - - name: label - value: CM-6(c)[2] - prose: defines operational requirements to support: - parts: - - - id: cm-6.c_obj.2.a - name: objective - properties: - - - name: label - value: CM-6(c)[2][a] - prose: - """ - the identification of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.b - name: objective - properties: - - - name: label - value: CM-6(c)[2][b] - prose: - """ - the documentation of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.c - name: objective - properties: - - - name: label - value: CM-6(c)[2][c] - prose: the approval of any deviations from established configuration settings; - - - id: cm-6.c_obj.3 - name: objective - properties: - - - name: label - value: CM-6(c)[3] - prose: - """ - identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.4 - name: objective - properties: - - - name: label - value: CM-6(c)[4] - prose: - """ - documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.5 - name: objective - properties: - - - name: label - value: CM-6(c)[5] - prose: - """ - approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.d_obj - name: objective - properties: - - - name: label - value: CM-6(d) - parts: - - - id: cm-6.d_obj.1 - name: objective - properties: - - - name: label - value: CM-6(d)[1] - prose: - """ - monitors changes to the configuration settings in accordance with - organizational policies and procedures; and - """ - - - id: cm-6.d_obj.2 - name: objective - properties: - - - name: label - value: CM-6(d)[2] - prose: - """ - controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nevidence supporting approved deviations from established configuration - settings\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing configuration settings\n\nautomated mechanisms that implement, monitor, and/or control information system - configuration settings\n\nautomated mechanisms that identify and/or document deviations from established - configuration settings - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Required - Specifically include details of least functionality. - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: - """ - The service provider shall use the Center for Internet Security guidelines - (Level 1) to establish configuration settings or establishes its own - configuration settings if USGCB is not available. - """ - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: - """ - The service provider shall ensure that checklists for configuration settings - are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP - compatible (if validated checklists are not available). - """ - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - id: cm-7 - class: SP800-53 - title: Least Functionality - parameters: - - - id: cm-7_prm_1 - label: - """ - organization-defined prohibited or restricted functions, ports, protocols, and/or - services - """ - properties: - - - name: label - value: CM-7 - - - name: sort-id - value: cm-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #e42b2099-3e1c-415b-952c-61c96533c12e - rel: reference - text: DoD Instruction 8551.01 - parts: - - - id: cm-7_smt - name: statement - prose: The organization: - parts: - - - id: cm-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Configures the information system to provide only essential capabilities; and - - - id: cm-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: {{ cm-7_prm_1 }}. - """ - - - id: cm-7_gdn - name: guidance - prose: - """ - Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.a_obj - name: objective - properties: - - - name: label - value: CM-7(a) - prose: configures the information system to provide only essential capabilities; - - - id: cm-7.b_obj - name: objective - properties: - - - name: label - value: CM-7(b) - parts: - - - id: cm-7.b_obj.1 - name: objective - properties: - - - name: label - value: CM-7(b)[1] - prose: defines prohibited or restricted: - parts: - - - id: cm-7.b_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(b)[1][a] - prose: functions; - - - id: cm-7.b_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(b)[1][b] - prose: ports; - - - id: cm-7.b_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(b)[1][c] - prose: protocols; and/or - - - id: cm-7.b_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(b)[1][d] - prose: services; - - - id: cm-7.b_obj.2 - name: objective - properties: - - - name: label - value: CM-7(b)[2] - prose: prohibits or restricts the use of organization-defined: - parts: - - - id: cm-7.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(b)[2][a] - prose: functions; - - - id: cm-7.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(b)[2][b] - prose: ports; - - - id: cm-7.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(b)[2][c] - prose: protocols; and/or - - - id: cm-7.b_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(b)[2][d] - prose: services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing least functionality in the information system\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services\n\nautomated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services - """ - - - id: cm-8 - class: SP800-53 - title: Information System Component Inventory - parameters: - - - id: cm-8_prm_1 - label: - """ - organization-defined information deemed necessary to achieve effective - information system component accountability - """ - - - id: cm-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: label - value: CM-8 - - - name: sort-id - value: cm-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-8_smt - name: statement - prose: The organization: - parts: - - - id: cm-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops and documents an inventory of information system components that: - parts: - - - id: cm-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Accurately reflects the current information system; - - - id: cm-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Is at the level of granularity deemed necessary for tracking and reporting; - and - """ - - - id: cm-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: Includes {{ cm-8_prm_1 }}; and - - - id: cm-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the information system component inventory {{ cm-8_prm_2 }}. - - - id: cm-8_gdn - name: guidance - prose: - """ - Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pm-5 - rel: related - text: PM-5 - - - id: cm-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-8.a_obj - name: objective - properties: - - - name: label - value: CM-8(a) - parts: - - - id: cm-8.a.1_obj - name: objective - properties: - - - name: label - value: CM-8(a)(1) - prose: - """ - develops and documents an inventory of information system components that - accurately reflects the current information system; - """ - - - id: cm-8.a.2_obj - name: objective - properties: - - - name: label - value: CM-8(a)(2) - prose: - """ - develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8.a.3_obj - name: objective - properties: - - - name: label - value: CM-8(a)(3) - prose: - """ - develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting; - """ - - - id: cm-8.a.4_obj - name: objective - properties: - - - name: label - value: CM-8(a)(4) - parts: - - - id: cm-8.a.4_obj.1 - name: objective - properties: - - - name: label - value: CM-8(a)(4)[1] - prose: - """ - defines the information deemed necessary to achieve effective information - system component accountability; - """ - - - id: cm-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: CM-8(a)(4)[2] - prose: - """ - develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability; - """ - - - id: cm-8.b_obj - name: objective - properties: - - - name: label - value: CM-8(b) - parts: - - - id: cm-8.b_obj.1 - name: objective - properties: - - - name: label - value: CM-8(b)[1] - prose: - """ - defines the frequency to review and update the information system component - inventory; and - """ - - - id: cm-8.b_obj.2 - name: objective - properties: - - - name: label - value: CM-8(b)[2] - prose: - """ - reviews and updates the information system component inventory with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\ninventory reviews and update records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system component - inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing and documenting an inventory of - information system components\n\nautomated mechanisms supporting and/or implementing the information system - component inventory - """ - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - id: cm-10 - class: SP800-53 - title: Software Usage Restrictions - properties: - - - name: label - value: CM-10 - - - name: sort-id - value: cm-10 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - id: cm-10_smt - name: statement - prose: The organization: - parts: - - - id: cm-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - id: cm-10_gdn - name: guidance - prose: - """ - Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-10.a_obj - name: objective - properties: - - - name: label - value: CM-10(a) - prose: - """ - uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10.b_obj - name: objective - properties: - - - name: label - value: CM-10(b) - prose: - """ - tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10.c_obj - name: objective - properties: - - - name: label - value: CM-10(c) - prose: - """ - controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing software usage restrictions\n\nconfiguration management plan\n\nsecurity plan\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel with software license management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for tracking the use of software protected by quantity - licenses\n\norganization process for controlling/documenting the use of peer-to-peer file - sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: NSO- Not directly related to protection of the data. - - - id: cm-11 - class: SP800-53 - title: User-installed Software - parameters: - - - id: cm-11_prm_1 - label: organization-defined policies - - - id: cm-11_prm_2 - label: organization-defined methods - - - id: cm-11_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: CM-11 - - - name: sort-id - value: cm-11 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - id: cm-11_smt - name: statement - prose: The organization: - parts: - - - id: cm-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes {{ cm-11_prm_1 }} governing the installation of - software by users; - """ - - - id: cm-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Enforces software installation policies through {{ cm-11_prm_2 }}; - and - """ - - - id: cm-11_smt.c - name: item - properties: - - - name: label - value: c. - prose: Monitors policy compliance at {{ cm-11_prm_3 }}. - - - id: cm-11_gdn - name: guidance - prose: - """ - If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: cm-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-11.a_obj - name: objective - properties: - - - name: label - value: CM-11(a) - parts: - - - id: cm-11.a_obj.1 - name: objective - properties: - - - name: label - value: CM-11(a)[1] - prose: defines policies to govern the installation of software by users; - - - id: cm-11.a_obj.2 - name: objective - properties: - - - name: label - value: CM-11(a)[2] - prose: - """ - establishes organization-defined policies governing the installation of - software by users; - """ - - - id: cm-11.b_obj - name: objective - properties: - - - name: label - value: CM-11(b) - parts: - - - id: cm-11.b_obj.1 - name: objective - properties: - - - name: label - value: CM-11(b)[1] - prose: defines methods to enforce software installation policies; - - - id: cm-11.b_obj.2 - name: objective - properties: - - - name: label - value: CM-11(b)[2] - prose: - """ - enforces software installation policies through organization-defined - methods; - """ - - - id: cm-11.c_obj - name: objective - properties: - - - name: label - value: CM-11(c) - parts: - - - id: cm-11.c_obj.1 - name: objective - properties: - - - name: label - value: CM-11(c)[1] - prose: defines frequency to monitor policy compliance; and - - - id: cm-11.c_obj.2 - name: objective - properties: - - - name: label - value: CM-11(c)[2] - prose: monitors policy compliance at organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing user installed software\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of rules governing user installed software\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records\n\ncontinuous monitoring strategy - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for governing user-installed - software\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel monitoring compliance with user-installed software - policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes governing user-installed software on the information - system\n\nautomated mechanisms enforcing rules/methods for governing the installation of - software by users\n\nautomated mechanisms monitoring policy compliance - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Boundary is specific to SaaS environment; all access is via web services; - users' machine or internal network are not contemplated. External services (SA-9), - internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and - SC-13), and privileged authentication (IA-2[1]) are considerations. - """ - - - id: cp - class: family - title: Contingency Planning - controls: - - - id: cp-1 - class: SP800-53 - title: Contingency Planning Policy and Procedures - parameters: - - - id: cp-1_prm_1 - label: organization-defined personnel or roles - - - id: cp-1_prm_2 - label: organization-defined frequency - - - id: cp-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: CP-1 - - - name: sort-id - value: cp-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cp-1_smt - name: statement - prose: The organization: - parts: - - - id: cp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cp-1_prm_1 }}: - parts: - - - id: cp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and - """ - - - id: cp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Contingency planning policy {{ cp-1_prm_2 }}; and - - - id: cp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Contingency planning procedures {{ cp-1_prm_3 }}. - - - id: cp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cp-1_obj - name: objective - prose: Determine if: - parts: - - - id: cp-1.a_obj - name: objective - properties: - - - name: label - value: CP-1(a) - parts: - - - id: cp-1.a.1_obj - name: objective - properties: - - - name: label - value: CP-1(a)(1) - parts: - - - id: cp-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1] - prose: - """ - the organization develops and documents a contingency planning policy that - addresses: - """ - parts: - - - id: cp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][a] - prose: purpose; - - - id: cp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][b] - prose: scope; - - - id: cp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][c] - prose: roles; - - - id: cp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][d] - prose: responsibilities; - - - id: cp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][e] - prose: management commitment; - - - id: cp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][g] - prose: compliance; - - - id: cp-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: CP-1(a)(1)[2] - prose: - """ - the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated; - """ - - - id: cp-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: CP-1(a)(1)[3] - prose: - """ - the organization disseminates the contingency planning policy to - organization-defined personnel or roles; - """ - - - id: cp-1.a.2_obj - name: objective - properties: - - - name: label - value: CP-1(a)(2) - parts: - - - id: cp-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: CP-1(a)(2)[1] - prose: - """ - the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls; - """ - - - id: cp-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: CP-1(a)(2)[2] - prose: - """ - the organization defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cp-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: CP-1(a)(2)[3] - prose: - """ - the organization disseminates the procedures to organization-defined - personnel or roles; - """ - - - id: cp-1.b_obj - name: objective - properties: - - - name: label - value: CP-1(b) - parts: - - - id: cp-1.b.1_obj - name: objective - properties: - - - name: label - value: CP-1(b)(1) - parts: - - - id: cp-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: CP-1(b)(1)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning policy; - """ - - - id: cp-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: CP-1(b)(1)[2] - prose: - """ - the organization reviews and updates the current contingency planning with - the organization-defined frequency; - """ - - - id: cp-1.b.2_obj - name: objective - properties: - - - name: label - value: CP-1(b)(2) - parts: - - - id: cp-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: CP-1(b)(2)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning procedures; and - """ - - - id: cp-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: CP-1(b)(2)[2] - prose: - """ - the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: cp-2 - class: SP800-53 - title: Contingency Plan - parameters: - - - id: cp-2_prm_1 - label: organization-defined personnel or roles - - - id: cp-2_prm_2 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - - - id: cp-2_prm_3 - label: organization-defined frequency - - - id: cp-2_prm_4 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - properties: - - - name: label - value: CP-2 - - - name: sort-id - value: cp-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-2_smt - name: statement - prose: The organization: - parts: - - - id: cp-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a contingency plan for the information system that: - parts: - - - id: cp-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Provides recovery objectives, restoration priorities, and metrics; - - - id: cp-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Addresses contingency roles, responsibilities, assigned individuals with - contact information; - """ - - - id: cp-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and - """ - - - id: cp-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Is reviewed and approved by {{ cp-2_prm_1 }}; - - - id: cp-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the contingency plan to {{ cp-2_prm_2 }}; - - - id: cp-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Coordinates contingency planning activities with incident handling activities; - - - id: cp-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Reviews the contingency plan for the information system {{ cp-2_prm_3 }}; - - - id: cp-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing; - """ - - - id: cp-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: Communicates contingency plan changes to {{ cp-2_prm_4 }}; and - - - id: cp-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Protects the contingency plan from unauthorized disclosure and modification. - - - id: cp-2_gdn - name: guidance - prose: - """ - Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident. - """ - links: - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: cp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.a_obj - name: objective - properties: - - - name: label - value: CP-2(a) - prose: develops and documents a contingency plan for the information system that: - parts: - - - id: cp-2.a.1_obj - name: objective - properties: - - - name: label - value: CP-2(a)(1) - prose: - """ - identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2.a.2_obj - name: objective - properties: - - - name: label - value: CP-2(a)(2) - parts: - - - id: cp-2.a.2_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[1] - prose: provides recovery objectives; - - - id: cp-2.a.2_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[2] - prose: provides restoration priorities; - - - id: cp-2.a.2_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[3] - prose: provides metrics; - - - id: cp-2.a.3_obj - name: objective - properties: - - - name: label - value: CP-2(a)(3) - parts: - - - id: cp-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[1] - prose: addresses contingency roles; - - - id: cp-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[2] - prose: addresses contingency responsibilities; - - - id: cp-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[3] - prose: addresses assigned individuals with contact information; - - - id: cp-2.a.4_obj - name: objective - properties: - - - name: label - value: CP-2(a)(4) - prose: - """ - addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2.a.5_obj - name: objective - properties: - - - name: label - value: CP-2(a)(5) - prose: - """ - addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; - """ - - - id: cp-2.a.6_obj - name: objective - properties: - - - name: label - value: CP-2(a)(6) - parts: - - - id: cp-2.a.6_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(6)[1] - prose: - """ - defines personnel or roles to review and approve the contingency plan for - the information system; - """ - - - id: cp-2.a.6_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(6)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: cp-2.b_obj - name: objective - properties: - - - name: label - value: CP-2(b) - parts: - - - id: cp-2.b_obj.1 - name: objective - properties: - - - name: label - value: CP-2(b)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed; - """ - - - id: cp-2.b_obj.2 - name: objective - properties: - - - name: label - value: CP-2(b)[2] - prose: - """ - distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements; - """ - - - id: cp-2.c_obj - name: objective - properties: - - - name: label - value: CP-2(c) - prose: coordinates contingency planning activities with incident handling activities; - - - id: cp-2.d_obj - name: objective - properties: - - - name: label - value: CP-2(d) - parts: - - - id: cp-2.d_obj.1 - name: objective - properties: - - - name: label - value: CP-2(d)[1] - prose: - """ - defines a frequency to review the contingency plan for the information - system; - """ - - - id: cp-2.d_obj.2 - name: objective - properties: - - - name: label - value: CP-2(d)[2] - prose: reviews the contingency plan with the organization-defined frequency; - - - id: cp-2.e_obj - name: objective - properties: - - - name: label - value: CP-2(e) - prose: updates the contingency plan to address: - parts: - - - id: cp-2.e_obj.1 - name: objective - properties: - - - name: label - value: CP-2(e)[1] - prose: - """ - changes to the organization, information system, or environment of - operation; - """ - - - id: cp-2.e_obj.2 - name: objective - properties: - - - name: label - value: CP-2(e)[2] - prose: problems encountered during plan implementation, execution, and testing; - - - id: cp-2.f_obj - name: objective - properties: - - - name: label - value: CP-2(f) - parts: - - - id: cp-2.f_obj.1 - name: objective - properties: - - - name: label - value: CP-2(f)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated; - """ - - - id: cp-2.f_obj.2 - name: objective - properties: - - - name: label - value: CP-2(f)[2] - prose: - """ - communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and - """ - - - id: cp-2.g_obj - name: objective - properties: - - - name: label - value: CP-2(g) - prose: protects the contingency plan from unauthorized disclosure and modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nevidence of contingency plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan development, review, update, and - protection\n\nautomated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - id: cp-3 - class: SP800-53 - title: Contingency Training - parameters: - - - id: cp-3_prm_1 - label: organization-defined time period - - - id: cp-3_prm_2 - label: organization-defined frequency - properties: - - - name: label - value: CP-3 - - - name: sort-id - value: cp-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: cp-3_smt - name: statement - prose: - """ - The organization provides contingency training to information system users consistent - with assigned roles and responsibilities: - """ - parts: - - - id: cp-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ cp-3_prm_1 }} of assuming a contingency role or - responsibility; - """ - - - id: cp-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: cp-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ cp-3_prm_2 }} thereafter. - """ - - - id: cp-3_gdn - name: guidance - prose: - """ - Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-2 - rel: related - text: IR-2 - - - id: cp-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-3.a_obj - name: objective - properties: - - - name: label - value: CP-3(a) - parts: - - - id: cp-3.a_obj.1 - name: objective - properties: - - - name: label - value: CP-3(a)[1] - prose: - """ - defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility; - """ - - - id: cp-3.a_obj.2 - name: objective - properties: - - - name: label - value: CP-3(a)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility; - """ - - - id: cp-3.b_obj - name: objective - properties: - - - name: label - value: CP-3(b) - prose: - """ - provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes; - """ - - - id: cp-3.c_obj - name: objective - properties: - - - name: label - value: CP-3(c) - parts: - - - id: cp-3.c_obj.1 - name: objective - properties: - - - name: label - value: CP-3(c)[1] - prose: defines the frequency for contingency training thereafter; and - - - id: cp-3.c_obj.2 - name: objective - properties: - - - name: label - value: CP-3(c)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsecurity plan\n\ncontingency training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, plan implementation, and - training responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for contingency training - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - id: cp-4 - class: SP800-53 - title: Contingency Plan Testing - parameters: - - - id: cp-4_prm_1 - label: organization-defined frequency - - - id: cp-4_prm_2 - label: organization-defined tests - properties: - - - name: label - value: CP-4 - - - name: sort-id - value: cp-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - rel: reference - text: NIST Special Publication 800-84 - parts: - - - id: cp-4_smt - name: statement - prose: The organization: - parts: - - - id: cp-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the - effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews the contingency plan test results; and - - - id: cp-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Initiates corrective actions, if needed. - - - id: cp-4_gdn - name: guidance - prose: - """ - Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-3 - rel: related - text: IR-3 - - - id: cp-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-4.a_obj - name: objective - properties: - - - name: label - value: CP-4(a) - parts: - - - id: cp-4.a_obj.1 - name: objective - properties: - - - name: label - value: CP-4(a)[1] - prose: - """ - defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan; - """ - - - id: cp-4.a_obj.2 - name: objective - properties: - - - name: label - value: CP-4(a)[2] - prose: - """ - defines a frequency to test the contingency plan for the information - system; - """ - - - id: cp-4.a_obj.3 - name: objective - properties: - - - name: label - value: CP-4(a)[3] - prose: - """ - tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4.b_obj - name: objective - properties: - - - name: label - value: CP-4(b) - prose: reviews the contingency plan test results; and - - - id: cp-4.c_obj - name: objective - properties: - - - name: label - value: CP-4(c) - prose: initiates corrective actions, if needed. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\nsecurity plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan - testing - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - id: cp-9 - class: SP800-53 - title: Information System Backup - parameters: - - - id: cp-9_prm_1 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_2 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_3 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - properties: - - - name: label - value: CP-9 - - - name: sort-id - value: cp-09 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-9_smt - name: statement - prose: The organization: - parts: - - - id: cp-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts backups of user-level information contained in the information system - {{ cp-9_prm_1 }}; - """ - - - id: cp-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Conducts backups of system-level information contained in the information system - {{ cp-9_prm_2 }}; - """ - - - id: cp-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Conducts backups of information system documentation including security-related - documentation {{ cp-9_prm_3 }}; and - """ - - - id: cp-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - id: cp-9_gdn - name: guidance - prose: - """ - System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: cp-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.a_obj - name: objective - properties: - - - name: label - value: CP-9(a) - parts: - - - id: cp-9.a_obj.1 - name: objective - properties: - - - name: label - value: CP-9(a)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system; - """ - - - id: cp-9.a_obj.2 - name: objective - properties: - - - name: label - value: CP-9(a)[2] - prose: - """ - conducts backups of user-level information contained in the information system - with the organization-defined frequency; - """ - - - id: cp-9.b_obj - name: objective - properties: - - - name: label - value: CP-9(b) - parts: - - - id: cp-9.b_obj.1 - name: objective - properties: - - - name: label - value: CP-9(b)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system; - """ - - - id: cp-9.b_obj.2 - name: objective - properties: - - - name: label - value: CP-9(b)[2] - prose: - """ - conducts backups of system-level information contained in the information - system with the organization-defined frequency; - """ - - - id: cp-9.c_obj - name: objective - properties: - - - name: label - value: CP-9(c) - parts: - - - id: cp-9.c_obj.1 - name: objective - properties: - - - name: label - value: CP-9(c)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation; - """ - - - id: cp-9.c_obj.2 - name: objective - properties: - - - name: label - value: CP-9(c)[2] - prose: - """ - conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and - """ - - - id: cp-9.d_obj - name: objective - properties: - - - name: label - value: CP-9(d) - prose: - """ - protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\nbackup storage location(s)\n\ninformation system backup logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system backups - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: - """ - The service provider shall determine what elements of the cloud environment - require the Information System Backup control. The service provider shall - determine how Information System Backup is going to be verified and appropriate - periodicity of the check. - """ - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: - """ - The service provider maintains at least three backup copies of user-level - information (at least one of which is available online). - """ - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: - """ - The service provider maintains at least three backup copies of system-level - information (at least one of which is available online). - """ - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: - """ - The service provider maintains at least three backup copies of information - system documentation including security information (at least one of which is - available online). - """ - - - id: cp-10 - class: SP800-53 - title: Information System Recovery and Reconstitution - properties: - - - name: label - value: CP-10 - - - name: sort-id - value: cp-10 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-10_smt - name: statement - prose: - """ - The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure. - """ - - - id: cp-10_gdn - name: guidance - prose: - """ - Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: cp-10_obj - name: objective - prose: Determine if the organization provides for: - parts: - - - id: cp-10_obj.1 - name: objective - properties: - - - name: label - value: CP-10[1] - prose: the recovery of the information system to a known state after: - parts: - - - id: cp-10_obj.1.a - name: objective - properties: - - - name: label - value: CP-10[1][a] - prose: a disruption; - - - id: cp-10_obj.1.b - name: objective - properties: - - - name: label - value: CP-10[1][b] - prose: a compromise; or - - - id: cp-10_obj.1.c - name: objective - properties: - - - name: label - value: CP-10[1][c] - prose: a failure; - - - id: cp-10_obj.2 - name: objective - properties: - - - name: label - value: CP-10[2] - prose: the reconstitution of the information system to a known state after: - parts: - - - id: cp-10_obj.2.a - name: objective - properties: - - - name: label - value: CP-10[2][a] - prose: a disruption; - - - id: cp-10_obj.2.b - name: objective - properties: - - - name: label - value: CP-10[2][b] - prose: a compromise; or - - - id: cp-10_obj.2.c - name: objective - properties: - - - name: label - value: CP-10[2][c] - prose: a failure. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for information system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes implementing information system recovery and - reconstitution operations\n\nautomated mechanisms supporting and/or implementing information system recovery - and reconstitution operations - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - id: ia - class: family - title: Identification and Authentication - controls: - - - id: ia-1 - class: SP800-53 - title: Identification and Authentication Policy and Procedures - parameters: - - - id: ia-1_prm_1 - label: organization-defined personnel or roles - - - id: ia-1_prm_2 - label: organization-defined frequency - - - id: ia-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: IA-1 - - - name: sort-id - value: ia-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ia-1_smt - name: statement - prose: The organization: - parts: - - - id: ia-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ia-1_prm_1 }}: - parts: - - - id: ia-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ia-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and - """ - - - id: ia-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ia-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identification and authentication policy {{ ia-1_prm_2 }}; - and - """ - - - id: ia-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Identification and authentication procedures {{ ia-1_prm_3 }}. - - - id: ia-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ia-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-1.a_obj - name: objective - properties: - - - name: label - value: IA-1(a) - parts: - - - id: ia-1.a.1_obj - name: objective - properties: - - - name: label - value: IA-1(a)(1) - parts: - - - id: ia-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1] - prose: - """ - develops and documents an identification and authentication policy that - addresses: - """ - parts: - - - id: ia-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][a] - prose: purpose; - - - id: ia-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][b] - prose: scope; - - - id: ia-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][c] - prose: roles; - - - id: ia-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ia-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][e] - prose: management commitment; - - - id: ia-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ia-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][g] - prose: compliance; - - - id: ia-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: IA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and - """ - - - id: ia-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: IA-1(a)(1)[3] - prose: - """ - disseminates the identification and authentication policy to - organization-defined personnel or roles; - """ - - - id: ia-1.a.2_obj - name: objective - properties: - - - name: label - value: IA-1(a)(2) - parts: - - - id: ia-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: IA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls; - """ - - - id: ia-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: IA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ia-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: IA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ia-1.b_obj - name: objective - properties: - - - name: label - value: IA-1(b) - parts: - - - id: ia-1.b.1_obj - name: objective - properties: - - - name: label - value: IA-1(b)(1) - parts: - - - id: ia-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: IA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication policy; - """ - - - id: ia-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: IA-1(b)(1)[2] - prose: - """ - reviews and updates the current identification and authentication policy - with the organization-defined frequency; and - """ - - - id: ia-1.b.2_obj - name: objective - properties: - - - name: label - value: IA-1(b)(2) - parts: - - - id: ia-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: IA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication procedures; and - """ - - - id: ia-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: IA-1(b)(2)[2] - prose: - """ - reviews and updates the current identification and authentication procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with identification and authentication - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ia-2 - class: SP800-53 - title: Identification and Authentication (organizational Users) - properties: - - - name: label - value: IA-2 - - - name: sort-id - value: ia-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-2_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates organizational users (or - processes acting on behalf of organizational users). - """ - - - id: ia-2_gdn - name: guidance - prose: - """ - Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: ia-2_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for uniquely identifying and authenticating users\n\nautomated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication - specifically include description - of management of service accounts. - """ - controls: - - - id: ia-2.1 - class: SP800-53-enhancement - title: Network Access to Privileged Accounts - properties: - - - name: label - value: IA-2(1) - - - name: sort-id - value: ia-02.01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ia-2.1_smt - name: statement - prose: - """ - The information system implements multifactor authentication for network access to - privileged accounts. - """ - - - id: ia-2.1_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.1_obj - name: objective - prose: - """ - Determine if the information system implements multifactor authentication for - network access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.12 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials - properties: - - - name: label - value: IA-2(12) - - - name: sort-id - value: ia-02.12 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ia-2.12_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials. - """ - - - id: ia-2.12_gdn - name: guidance - prose: - """ - This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-2.12_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-2.12_obj.1 - name: objective - properties: - - - name: label - value: IA-2(12)[1] - prose: accepts Personal Identity Verification (PIV) credentials; and - - - id: ia-2.12_obj.2 - name: objective - properties: - - - name: label - value: IA-2(12)[2] - prose: electronically verifies Personal Identity Verification (PIV) credentials. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP. - """ - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Include Common Access Card (CAC), i.e., the DoD technical implementation of - PIV/FIPS 201/HSPD-12. - """ - - - id: ia-4 - class: SP800-53 - title: Identifier Management - parameters: - - - id: ia-4_prm_1 - label: organization-defined personnel or roles - - - id: ia-4_prm_2 - label: organization-defined time period - - - id: ia-4_prm_3 - label: organization-defined time period of inactivity - properties: - - - name: label - value: IA-4 - - - name: sort-id - value: ia-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - parts: - - - id: ia-4_smt - name: statement - prose: The organization manages information system identifiers by: - parts: - - - id: ia-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receiving authorization from {{ ia-4_prm_1 }} to assign an - individual, group, role, or device identifier; - """ - - - id: ia-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Selecting an identifier that identifies an individual, group, role, or device; - - - id: ia-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Assigning the identifier to the intended individual, group, role, or device; - - - id: ia-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and - - - id: ia-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Disabling the identifier after {{ ia-4_prm_3 }}. - - - id: ia-4_gdn - name: guidance - prose: - """ - Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #sc-37 - rel: related - text: SC-37 - - - id: ia-4_obj - name: objective - prose: Determine if the organization manages information system identifiers by: - parts: - - - id: ia-4.a_obj - name: objective - properties: - - - name: label - value: IA-4(a) - parts: - - - id: ia-4.a_obj.1 - name: objective - properties: - - - name: label - value: IA-4(a)[1] - prose: - """ - defining personnel or roles from whom authorization must be received to - assign: - """ - parts: - - - id: ia-4.a_obj.1.a - name: objective - properties: - - - name: label - value: IA-4(a)[1][a] - prose: an individual identifier; - - - id: ia-4.a_obj.1.b - name: objective - properties: - - - name: label - value: IA-4(a)[1][b] - prose: a group identifier; - - - id: ia-4.a_obj.1.c - name: objective - properties: - - - name: label - value: IA-4(a)[1][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.1.d - name: objective - properties: - - - name: label - value: IA-4(a)[1][d] - prose: a device identifier; - - - id: ia-4.a_obj.2 - name: objective - properties: - - - name: label - value: IA-4(a)[2] - prose: - """ - receiving authorization from organization-defined personnel or roles to - assign: - """ - parts: - - - id: ia-4.a_obj.2.a - name: objective - properties: - - - name: label - value: IA-4(a)[2][a] - prose: an individual identifier; - - - id: ia-4.a_obj.2.b - name: objective - properties: - - - name: label - value: IA-4(a)[2][b] - prose: a group identifier; - - - id: ia-4.a_obj.2.c - name: objective - properties: - - - name: label - value: IA-4(a)[2][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.2.d - name: objective - properties: - - - name: label - value: IA-4(a)[2][d] - prose: a device identifier; - - - id: ia-4.b_obj - name: objective - properties: - - - name: label - value: IA-4(b) - prose: selecting an identifier that identifies: - parts: - - - id: ia-4.b_obj.1 - name: objective - properties: - - - name: label - value: IA-4(b)[1] - prose: an individual; - - - id: ia-4.b_obj.2 - name: objective - properties: - - - name: label - value: IA-4(b)[2] - prose: a group; - - - id: ia-4.b_obj.3 - name: objective - properties: - - - name: label - value: IA-4(b)[3] - prose: a role; and/or - - - id: ia-4.b_obj.4 - name: objective - properties: - - - name: label - value: IA-4(b)[4] - prose: a device; - - - id: ia-4.c_obj - name: objective - properties: - - - name: label - value: IA-4(c) - prose: assigning the identifier to the intended: - parts: - - - id: ia-4.c_obj.1 - name: objective - properties: - - - name: label - value: IA-4(c)[1] - prose: individual; - - - id: ia-4.c_obj.2 - name: objective - properties: - - - name: label - value: IA-4(c)[2] - prose: group; - - - id: ia-4.c_obj.3 - name: objective - properties: - - - name: label - value: IA-4(c)[3] - prose: role; and/or - - - id: ia-4.c_obj.4 - name: objective - properties: - - - name: label - value: IA-4(c)[4] - prose: device; - - - id: ia-4.d_obj - name: objective - properties: - - - name: label - value: IA-4(d) - parts: - - - id: ia-4.d_obj.1 - name: objective - properties: - - - name: label - value: IA-4(d)[1] - prose: defining a time period for preventing reuse of identifiers; - - - id: ia-4.d_obj.2 - name: objective - properties: - - - name: label - value: IA-4(d)[2] - prose: preventing reuse of identifiers for the organization-defined time period; - - - id: ia-4.e_obj - name: objective - properties: - - - name: label - value: IA-4(e) - parts: - - - id: ia-4.e_obj.1 - name: objective - properties: - - - name: label - value: IA-4(e)[1] - prose: defining a time period of inactivity to disable the identifier; and - - - id: ia-4.e_obj.2 - name: objective - properties: - - - name: label - value: IA-4(e)[2] - prose: - """ - disabling the identifier after the organization-defined time period of - inactivity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system accounts\n\nlist of identifiers generated from physical access control devices\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier management - - - id: ia-5 - class: SP800-53 - title: Authenticator Management - parameters: - - - id: ia-5_prm_1 - label: organization-defined time period by authenticator type - properties: - - - name: label - value: IA-5 - - - name: sort-id - value: ia-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-5_smt - name: statement - prose: The organization manages information system authenticators by: - parts: - - - id: ia-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator; - """ - - - id: ia-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators; - """ - - - id: ia-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators; - """ - - - id: ia-5_smt.g - name: item - properties: - - - name: label - value: g. - prose: Changing/refreshing authenticators {{ ia-5_prm_1 }}; - - - id: ia-5_smt.h - name: item - properties: - - - name: label - value: h. - prose: - """ - Protecting authenticator content from unauthorized disclosure and - modification; - """ - - - id: ia-5_smt.i - name: item - properties: - - - name: label - value: i. - prose: - """ - Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and - """ - - - id: ia-5_smt.j - name: item - properties: - - - name: label - value: j. - prose: - """ - Changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - id: ia-5_gdn - name: guidance - prose: - """ - Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: ia-5_obj - name: objective - prose: Determine if the organization manages information system authenticators by: - parts: - - - id: ia-5.a_obj - name: objective - properties: - - - name: label - value: IA-5(a) - prose: verifying, as part of the initial authenticator distribution, the identity of: - parts: - - - id: ia-5.a_obj.1 - name: objective - properties: - - - name: label - value: IA-5(a)[1] - prose: the individual receiving the authenticator; - - - id: ia-5.a_obj.2 - name: objective - properties: - - - name: label - value: IA-5(a)[2] - prose: the group receiving the authenticator; - - - id: ia-5.a_obj.3 - name: objective - properties: - - - name: label - value: IA-5(a)[3] - prose: the role receiving the authenticator; and/or - - - id: ia-5.a_obj.4 - name: objective - properties: - - - name: label - value: IA-5(a)[4] - prose: the device receiving the authenticator; - - - id: ia-5.b_obj - name: objective - properties: - - - name: label - value: IA-5(b) - prose: - """ - establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5.c_obj - name: objective - properties: - - - name: label - value: IA-5(c) - prose: - """ - ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5.d_obj - name: objective - properties: - - - name: label - value: IA-5(d) - parts: - - - id: ia-5.d_obj.1 - name: objective - properties: - - - name: label - value: IA-5(d)[1] - prose: - """ - establishing and implementing administrative procedures for initial - authenticator distribution; - """ - - - id: ia-5.d_obj.2 - name: objective - properties: - - - name: label - value: IA-5(d)[2] - prose: - """ - establishing and implementing administrative procedures for lost/compromised or - damaged authenticators; - """ - - - id: ia-5.d_obj.3 - name: objective - properties: - - - name: label - value: IA-5(d)[3] - prose: - """ - establishing and implementing administrative procedures for revoking - authenticators; - """ - - - id: ia-5.e_obj - name: objective - properties: - - - name: label - value: IA-5(e) - prose: - """ - changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5.f_obj - name: objective - properties: - - - name: label - value: IA-5(f) - parts: - - - id: ia-5.f_obj.1 - name: objective - properties: - - - name: label - value: IA-5(f)[1] - prose: establishing minimum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.2 - name: objective - properties: - - - name: label - value: IA-5(f)[2] - prose: establishing maximum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.3 - name: objective - properties: - - - name: label - value: IA-5(f)[3] - prose: establishing reuse conditions for authenticators; - - - id: ia-5.g_obj - name: objective - properties: - - - name: label - value: IA-5(g) - parts: - - - id: ia-5.g_obj.1 - name: objective - properties: - - - name: label - value: IA-5(g)[1] - prose: - """ - defining a time period (by authenticator type) for changing/refreshing - authenticators; - """ - - - id: ia-5.g_obj.2 - name: objective - properties: - - - name: label - value: IA-5(g)[2] - prose: - """ - changing/refreshing authenticators with the organization-defined time period by - authenticator type; - """ - - - id: ia-5.h_obj - name: objective - properties: - - - name: label - value: IA-5(h) - prose: protecting authenticator content from unauthorized: - parts: - - - id: ia-5.h_obj.1 - name: objective - properties: - - - name: label - value: IA-5(h)[1] - prose: disclosure; - - - id: ia-5.h_obj.2 - name: objective - properties: - - - name: label - value: IA-5(h)[2] - prose: modification; - - - id: ia-5.i_obj - name: objective - properties: - - - name: label - value: IA-5(i) - parts: - - - id: ia-5.i_obj.1 - name: objective - properties: - - - name: label - value: IA-5(i)[1] - prose: - """ - requiring individuals to take specific security safeguards to protect - authenticators; - """ - - - id: ia-5.i_obj.2 - name: objective - properties: - - - name: label - value: IA-5(i)[2] - prose: - """ - having devices implement specific security safeguards to protect - authenticators; and - """ - - - id: ia-5.j_obj - name: objective - properties: - - - name: label - value: IA-5(j) - prose: - """ - changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system authenticator types\n\nchange control records associated with managing information system - authenticators\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability - """ - controls: - - - id: ia-5.1 - class: SP800-53-enhancement - title: Password-based Authentication - parameters: - - - id: ia-5.1_prm_1 - label: - """ - organization-defined requirements for case sensitivity, number of characters, - mix of upper-case letters, lower-case letters, numbers, and special characters, - including minimum requirements for each type - """ - - - id: ia-5.1_prm_2 - label: organization-defined number - - - id: ia-5.1_prm_3 - label: organization-defined numbers for lifetime minimum, lifetime maximum - - - id: ia-5.1_prm_4 - label: organization-defined number - properties: - - - name: label - value: IA-5(1) - - - name: sort-id - value: ia-05.01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ia-5.1_smt - name: statement - prose: The information system, for password-based authentication: - parts: - - - id: ia-5.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Enforces minimum password complexity of {{ ia-5.1_prm_1 }}; - - - id: ia-5.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Enforces at least the following number of changed characters when new passwords - are created: {{ ia-5.1_prm_2 }}; - """ - - - id: ia-5.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Stores and transmits only cryptographically-protected passwords; - - - id: ia-5.1_smt.d - name: item - properties: - - - name: label - value: (d) - prose: Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }}; - - - id: ia-5.1_smt.e - name: item - properties: - - - name: label - value: (e) - prose: - """ - Prohibits password reuse for {{ ia-5.1_prm_4 }} generations; - and - """ - - - id: ia-5.1_smt.f - name: item - properties: - - - name: label - value: (f) - prose: - """ - Allows the use of a temporary password for system logons with an immediate - change to a permanent password. - """ - - - id: ia-5.1_gdn - name: guidance - prose: - """ - This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords. - """ - links: - - - href: #ia-6 - rel: related - text: IA-6 - - - id: ia-5.1_obj - name: objective - prose: Determine if, for password-based authentication: - parts: - - - id: ia-5.1.a_obj - name: objective - properties: - - - name: label - value: IA-5(1)(a) - parts: - - - id: ia-5.1.a_obj.1 - name: objective - properties: - - - name: label - value: IA-5(1)(a)[1] - prose: the organization defines requirements for case sensitivity; - - - id: ia-5.1.a_obj.2 - name: objective - properties: - - - name: label - value: IA-5(1)(a)[2] - prose: the organization defines requirements for number of characters; - - - id: ia-5.1.a_obj.3 - name: objective - properties: - - - name: label - value: IA-5(1)(a)[3] - prose: - """ - the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters; - """ - - - id: ia-5.1.a_obj.4 - name: objective - properties: - - - name: label - value: IA-5(1)(a)[4] - prose: - """ - the organization defines minimum requirements for each type of - character; - """ - - - id: ia-5.1.a_obj.5 - name: objective - properties: - - - name: label - value: IA-5(1)(a)[5] - prose: - """ - the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type; - """ - links: - - - href: #ia-5.1_smt.a - rel: corresp - text: IA-5(1)(a) - - - id: ia-5.1.b_obj - name: objective - properties: - - - name: label - value: IA-5(1)(b) - parts: - - - id: ia-5.1.b_obj.1 - name: objective - properties: - - - name: label - value: IA-5(1)(b)[1] - prose: - """ - the organization defines a minimum number of changed characters to be - enforced when new passwords are created; - """ - - - id: ia-5.1.b_obj.2 - name: objective - properties: - - - name: label - value: IA-5(1)(b)[2] - prose: - """ - the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created; - """ - links: - - - href: #ia-5.1_smt.b - rel: corresp - text: IA-5(1)(b) - - - id: ia-5.1.c_obj - name: objective - properties: - - - name: label - value: IA-5(1)(c) - prose: - """ - the information system stores and transmits only encrypted representations of - passwords; - """ - links: - - - href: #ia-5.1_smt.c - rel: corresp - text: IA-5(1)(c) - - - id: ia-5.1.d_obj - name: objective - properties: - - - name: label - value: IA-5(1)(d) - parts: - - - id: ia-5.1.d_obj.1 - name: objective - properties: - - - name: label - value: IA-5(1)(d)[1] - prose: - """ - the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.2 - name: objective - properties: - - - name: label - value: IA-5(1)(d)[2] - prose: - """ - the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.3 - name: objective - properties: - - - name: label - value: IA-5(1)(d)[3] - prose: - """ - the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum; - """ - - - id: ia-5.1.d_obj.4 - name: objective - properties: - - - name: label - value: IA-5(1)(d)[4] - prose: - """ - the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum; - """ - links: - - - href: #ia-5.1_smt.d - rel: corresp - text: IA-5(1)(d) - - - id: ia-5.1.e_obj - name: objective - properties: - - - name: label - value: IA-5(1)(e) - parts: - - - id: ia-5.1.e_obj.1 - name: objective - properties: - - - name: label - value: IA-5(1)(e)[1] - prose: - """ - the organization defines the number of password generations to be prohibited - from password reuse; - """ - - - id: ia-5.1.e_obj.2 - name: objective - properties: - - - name: label - value: IA-5(1)(e)[2] - prose: - """ - the information system prohibits password reuse for the organization-defined - number of generations; and - """ - links: - - - href: #ia-5.1_smt.e - rel: corresp - text: IA-5(1)(e) - - - id: ia-5.1.f_obj - name: objective - properties: - - - name: label - value: IA-5(1)(f) - prose: - """ - the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password. - """ - links: - - - href: #ia-5.1_smt.f - rel: corresp - text: IA-5(1)(f) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\npassword policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\npassword configurations and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing password-based - authenticator management capability - """ - - - id: ia-5.11 - class: SP800-53-enhancement - title: Hardware Token-based Authentication - parameters: - - - id: ia-5.11_prm_1 - label: organization-defined token quality requirements - properties: - - - name: label - value: IA-5(11) - - - name: sort-id - value: ia-05.11 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ia-5.11_smt - name: statement - prose: - """ - The information system, for hardware token-based authentication, employs - mechanisms that satisfy {{ ia-5.11_prm_1 }}. - """ - - - id: ia-5.11_gdn - name: guidance - prose: - """ - Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI. - """ - - - id: ia-5.11_obj - name: objective - prose: Determine if, for hardware token-based authentication: - parts: - - - id: ia-5.11_obj.1 - name: objective - properties: - - - name: label - value: IA-5(11)[1] - prose: the organization defines token quality requirements to be satisfied; and - - - id: ia-5.11_obj.2 - name: objective - properties: - - - name: label - value: IA-5(11)[2] - prose: - """ - the information system employs mechanisms that satisfy organization-defined - token quality requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\nautomated mechanisms employing hardware token-based authentication for the - information system\n\nlist of token quality requirements\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - FED - for Federal privileged users. Condition - Must document and assess for - privileged users. May attest to this control for non-privileged users. - """ - - - id: ia-6 - class: SP800-53 - title: Authenticator Feedback - properties: - - - name: label - value: IA-6 - - - name: sort-id - value: ia-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ia-6_smt - name: statement - prose: - """ - The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals. - """ - - - id: ia-6_gdn - name: guidance - prose: - """ - The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it. - """ - links: - - - href: #pe-18 - rel: related - text: PE-18 - - - id: ia-6_obj - name: objective - prose: - """ - Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator feedback\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication - """ - - - id: ia-7 - class: SP800-53 - title: Cryptographic Module Authentication - properties: - - - name: label - value: IA-7 - - - name: sort-id - value: ia-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #b09d1a31-d3c9-4138-a4f4-4c63816afd7d - rel: reference - text: http://csrc.nist.gov/groups/STM/cmvp/index.html - parts: - - - id: ia-7_smt - name: statement - prose: - """ - The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - id: ia-7_gdn - name: guidance - prose: - """ - Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role. - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ia-7_obj - name: objective - prose: - """ - Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing cryptographic module authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for cryptographic module - authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic module - authentication - """ - - - id: ia-8 - class: SP800-53 - title: Identification and Authentication (non-organizational Users) - properties: - - - name: label - value: IA-8 - - - name: sort-id - value: ia-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #599fe9ba-4750-4450-9eeb-b95bd19a5e8f - rel: reference - text: OMB Memorandum 10-06-2011 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #654f21e2-f3bc-43b2-abdc-60ab8d09744b - rel: reference - text: - """ - National Strategy for Trusted Identities in - Cyberspace - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-8_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates non-organizational users - (or processes acting on behalf of non-organizational users). - """ - - - id: ia-8_gdn - name: guidance - prose: - """ - Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - id: ia-8_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-8.1 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials from Other Agencies - properties: - - - name: label - value: IA-8(1) - - - name: sort-id - value: ia-08.01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ia-8.1_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies. - """ - - - id: ia-8.1_gdn - name: guidance - prose: - """ - This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.1_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-8.1_obj.1 - name: objective - properties: - - - name: label - value: IA-8(1)[1] - prose: - """ - accepts Personal Identity Verification (PIV) credentials from other agencies; - and - """ - - - id: ia-8.1_obj.2 - name: objective - properties: - - - name: label - value: IA-8(1)[2] - prose: - """ - electronically verifies Personal Identity Verification (PIV) credentials from - other agencies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept and verify PIV credentials - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP. - """ - - - id: ia-8.2 - class: SP800-53-enhancement - title: Acceptance of Third-party Credentials - properties: - - - name: label - value: IA-8(2) - - - name: sort-id - value: ia-08.02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ia-8.2_smt - name: statement - prose: The information system accepts only FICAM-approved third-party credentials. - - - id: ia-8.2_gdn - name: guidance - prose: - """ - This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - id: ia-8.2_obj - name: objective - prose: - """ - Determine if the information system accepts only FICAM-approved third-party - credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization\n\nthird-party credential verification records\n\nevidence of FICAM-approved third-party credentials\n\nthird-party credential authorizations\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept FICAM-approved credentials - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP. - """ - - - id: ia-8.3 - class: SP800-53-enhancement - title: Use of Ficam-approved Products - parameters: - - - id: ia-8.3_prm_1 - label: organization-defined information systems - properties: - - - name: label - value: IA-8(3) - - - name: sort-id - value: ia-08.03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ia-8.3_smt - name: statement - prose: - """ - The organization employs only FICAM-approved information system components in - {{ ia-8.3_prm_1 }} to accept third-party credentials. - """ - - - id: ia-8.3_gdn - name: guidance - prose: - """ - This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program. - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-8.3_obj.1 - name: objective - properties: - - - name: label - value: IA-8(3)[1] - prose: - """ - defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and - """ - - - id: ia-8.3_obj.2 - name: objective - properties: - - - name: label - value: IA-8(3)[2] - prose: - """ - employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nthird-party credential validations\n\nthird-party credential authorizations\n\nthird-party credential records\n\nlist of FICAM-approved information system components procured and implemented - by organization\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information system security, acquisition, and - contracting responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - id: ia-8.4 - class: SP800-53-enhancement - title: Use of Ficam-issued Profiles - properties: - - - name: label - value: IA-8(4) - - - name: sort-id - value: ia-08.04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ia-8.4_smt - name: statement - prose: The information system conforms to FICAM-issued profiles. - - - id: ia-8.4_gdn - name: guidance - prose: - """ - This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange). - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.4_obj - name: objective - prose: Determine if the information system conforms to FICAM-issued profiles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-issued profiles and associated, approved protocols\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles - """ - - - id: ir - class: family - title: Incident Response - controls: - - - id: ir-1 - class: SP800-53 - title: Incident Response Policy and Procedures - parameters: - - - id: ir-1_prm_1 - label: organization-defined personnel or roles - - - id: ir-1_prm_2 - label: organization-defined frequency - - - id: ir-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: IR-1 - - - name: sort-id - value: ir-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ir-1_smt - name: statement - prose: The organization: - parts: - - - id: ir-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ir-1_prm_1 }}: - parts: - - - id: ir-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ir-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and - """ - - - id: ir-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ir-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Incident response policy {{ ir-1_prm_2 }}; and - - - id: ir-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Incident response procedures {{ ir-1_prm_3 }}. - - - id: ir-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ir-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-1.a_obj - name: objective - properties: - - - name: label - value: IR-1(a) - parts: - - - id: ir-1.a.1_obj - name: objective - properties: - - - name: label - value: IR-1(a)(1) - parts: - - - id: ir-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1] - prose: develops and documents an incident response policy that addresses: - parts: - - - id: ir-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][a] - prose: purpose; - - - id: ir-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][b] - prose: scope; - - - id: ir-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][c] - prose: roles; - - - id: ir-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][d] - prose: responsibilities; - - - id: ir-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][e] - prose: management commitment; - - - id: ir-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ir-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][g] - prose: compliance; - - - id: ir-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: IR-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the incident response policy is to be - disseminated; - """ - - - id: ir-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: IR-1(a)(1)[3] - prose: - """ - disseminates the incident response policy to organization-defined personnel - or roles; - """ - - - id: ir-1.a.2_obj - name: objective - properties: - - - name: label - value: IR-1(a)(2) - parts: - - - id: ir-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: IR-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls; - """ - - - id: ir-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: IR-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ir-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: IR-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ir-1.b_obj - name: objective - properties: - - - name: label - value: IR-1(b) - parts: - - - id: ir-1.b.1_obj - name: objective - properties: - - - name: label - value: IR-1(b)(1) - parts: - - - id: ir-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: IR-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current incident response - policy; - """ - - - id: ir-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: IR-1(b)(1)[2] - prose: - """ - reviews and updates the current incident response policy with the - organization-defined frequency; - """ - - - id: ir-1.b.2_obj - name: objective - properties: - - - name: label - value: IR-1(b)(2) - parts: - - - id: ir-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: IR-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current incident response - procedures; and - """ - - - id: ir-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: IR-1(b)(2)[2] - prose: - """ - reviews and updates the current incident response procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-2 - class: SP800-53 - title: Incident Response Training - parameters: - - - id: ir-2_prm_1 - label: organization-defined time period - - - id: ir-2_prm_2 - label: organization-defined frequency - properties: - - - name: label - value: IR-2 - - - name: sort-id - value: ir-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: ir-2_smt - name: statement - prose: - """ - The organization provides incident response training to information system users - consistent with assigned roles and responsibilities: - """ - parts: - - - id: ir-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ ir-2_prm_1 }} of assuming an incident response role or - responsibility; - """ - - - id: ir-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: ir-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ ir-2_prm_2 }} thereafter. - """ - - - id: ir-2_gdn - name: guidance - prose: - """ - Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-2.a_obj - name: objective - properties: - - - name: label - value: IR-2(a) - parts: - - - id: ir-2.a_obj.1 - name: objective - properties: - - - name: label - value: IR-2(a)[1] - prose: - """ - defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility; - """ - - - id: ir-2.a_obj.2 - name: objective - properties: - - - name: label - value: IR-2(a)[2] - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility; - """ - - - id: ir-2.b_obj - name: objective - properties: - - - name: label - value: IR-2(b) - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes; - """ - - - id: ir-2.c_obj - name: objective - properties: - - - name: label - value: IR-2(c) - parts: - - - id: ir-2.c_obj.1 - name: objective - properties: - - - name: label - value: IR-2(c)[1] - prose: - """ - defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and - """ - - - id: ir-2.c_obj.2 - name: objective - properties: - - - name: label - value: IR-2(c)[2] - prose: - """ - after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nsecurity plan\n\nincident response plan\n\nsecurity plan\n\nincident response training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response training and operational - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ir-4 - class: SP800-53 - title: Incident Handling - properties: - - - name: label - value: IR-4 - - - name: sort-id - value: ir-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-4_smt - name: statement - prose: The organization: - parts: - - - id: ir-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery; - """ - - - id: ir-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates incident handling activities with contingency planning activities; - and - """ - - - id: ir-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly. - """ - - - id: ir-4_gdn - name: guidance - prose: - """ - Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function). - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-2 - rel: related - text: IR-2 - - - href: #ir-3 - rel: related - text: IR-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.a_obj - name: objective - properties: - - - name: label - value: IR-4(a) - prose: - """ - implements an incident handling capability for security incidents that - includes: - """ - parts: - - - id: ir-4.a_obj.1 - name: objective - properties: - - - name: label - value: IR-4(a)[1] - prose: preparation; - - - id: ir-4.a_obj.2 - name: objective - properties: - - - name: label - value: IR-4(a)[2] - prose: detection and analysis; - - - id: ir-4.a_obj.3 - name: objective - properties: - - - name: label - value: IR-4(a)[3] - prose: containment; - - - id: ir-4.a_obj.4 - name: objective - properties: - - - name: label - value: IR-4(a)[4] - prose: eradication; - - - id: ir-4.a_obj.5 - name: objective - properties: - - - name: label - value: IR-4(a)[5] - prose: recovery; - - - id: ir-4.b_obj - name: objective - properties: - - - name: label - value: IR-4(b) - prose: coordinates incident handling activities with contingency planning activities; - - - id: ir-4.c_obj - name: objective - properties: - - - name: label - value: IR-4(c) - parts: - - - id: ir-4.c_obj.1 - name: objective - properties: - - - name: label - value: IR-4(c)[1] - prose: - """ - incorporates lessons learned from ongoing incident handling activities - into: - """ - parts: - - - id: ir-4.c_obj.1.a - name: objective - properties: - - - name: label - value: IR-4(c)[1][a] - prose: incident response procedures; - - - id: ir-4.c_obj.1.b - name: objective - properties: - - - name: label - value: IR-4(c)[1][b] - prose: training; - - - id: ir-4.c_obj.1.c - name: objective - properties: - - - name: label - value: IR-4(c)[1][c] - prose: testing/exercises; - - - id: ir-4.c_obj.2 - name: objective - properties: - - - name: label - value: IR-4(c)[2] - prose: implements the resulting changes accordingly to: - parts: - - - id: ir-4.c_obj.2.a - name: objective - properties: - - - name: label - value: IR-4(c)[2][a] - prose: incident response procedures; - - - id: ir-4.c_obj.2.b - name: objective - properties: - - - name: label - value: IR-4(c)[2][b] - prose: training; and - - - id: ir-4.c_obj.2.c - name: objective - properties: - - - name: label - value: IR-4(c)[2][c] - prose: testing/exercises. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ncontingency plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Incident handling capability for the organization - - - id: ir-4_fr - name: item - title: IR-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-4_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: - """ - The service provider ensures that individuals conducting incident handling meet - personnel security requirements commensurate with the criticality/sensitivity - of the information being processed, stored, and transmitted by the information - system. - """ - - - id: ir-5 - class: SP800-53 - title: Incident Monitoring - properties: - - - name: label - value: IR-5 - - - name: sort-id - value: ir-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-5_smt - name: statement - prose: The organization tracks and documents information system security incidents. - - - id: ir-5_gdn - name: guidance - prose: - """ - Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-5_obj.1 - name: objective - properties: - - - name: label - value: IR-5[1] - prose: tracks information system security incidents; and - - - id: ir-5_obj.2 - name: objective - properties: - - - name: label - value: IR-5[2] - prose: documents information system security incidents. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of - system security incidents - """ - - - id: ir-6 - class: SP800-53 - title: Incident Reporting - parameters: - - - id: ir-6_prm_1 - label: organization-defined time period - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - id: ir-6_prm_2 - label: organization-defined authorities - properties: - - - name: label - value: IR-6 - - - name: sort-id - value: ir-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #02631467-668b-4233-989b-3dfded2fd184 - rel: reference - text: http://www.us-cert.gov - parts: - - - id: ir-6_smt - name: statement - prose: The organization: - parts: - - - id: ir-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires personnel to report suspected security incidents to the organizational - incident response capability within {{ ir-6_prm_1 }}; and - """ - - - id: ir-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports security incident information to {{ ir-6_prm_2 }}. - - - id: ir-6_gdn - name: guidance - prose: - """ - The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-6.a_obj - name: objective - properties: - - - name: label - value: IR-6(a) - parts: - - - id: ir-6.a_obj.1 - name: objective - properties: - - - name: label - value: IR-6(a)[1] - prose: - """ - defines the time period within which personnel report suspected security - incidents to the organizational incident response capability; - """ - - - id: ir-6.a_obj.2 - name: objective - properties: - - - name: label - value: IR-6(a)[2] - prose: - """ - requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period; - """ - - - id: ir-6.b_obj - name: objective - properties: - - - name: label - value: IR-6(b) - parts: - - - id: ir-6.b_obj.1 - name: objective - properties: - - - name: label - value: IR-6(b)[1] - prose: - """ - defines authorities to whom security incident information is to be reported; - and - """ - - - id: ir-6.b_obj.2 - name: objective - properties: - - - name: label - value: IR-6(b)[2] - prose: reports security incident information to organization-defined authorities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident reporting\n\nincident reporting records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel who have/should have reported incidents\n\npersonnel (authorities) to whom incident information is to be reported - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing incident reporting - - - id: ir-6_fr - name: item - title: IR-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: - """ - Report security incident information according to FedRAMP Incident - Communications Procedure. - """ - - - id: ir-7 - class: SP800-53 - title: Incident Response Assistance - properties: - - - name: label - value: IR-7 - - - name: sort-id - value: ir-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ir-7_smt - name: statement - prose: - """ - The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents. - """ - - - id: ir-7_gdn - name: guidance - prose: - """ - Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ir-7_obj - name: objective - prose: Determine if the organization provides an incident response support resource: - parts: - - - id: ir-7_obj.1 - name: objective - properties: - - - name: label - value: IR-7[1] - prose: that is integral to the organizational incident response capability; and - - - id: ir-7_obj.2 - name: objective - properties: - - - name: label - value: IR-7[2] - prose: - """ - that offers advice and assistance to users of the information system for the - handling and reporting of security incidents. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response assistance and support - responsibilities\n\norganizational personnel with access to incident response support and assistance - capability\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing incident response - assistance - """ - - - id: ir-8 - class: SP800-53 - title: Incident Response Plan - parameters: - - - id: ir-8_prm_1 - label: organization-defined personnel or roles - - - id: ir-8_prm_2 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - - - id: ir-8_prm_3 - label: organization-defined frequency - - - id: ir-8_prm_4 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - properties: - - - name: label - value: IR-8 - - - name: sort-id - value: ir-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-8_smt - name: statement - prose: The organization: - parts: - - - id: ir-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops an incident response plan that: - parts: - - - id: ir-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Describes the structure and organization of the incident response - capability; - """ - - - id: ir-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions; - """ - - - id: ir-8_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: Defines reportable incidents; - - - id: ir-8_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: - """ - Provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: - """ - Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and - """ - - - id: ir-8_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: Is reviewed and approved by {{ ir-8_prm_1 }}; - - - id: ir-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the incident response plan to {{ ir-8_prm_2 }}; - - - id: ir-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the incident response plan {{ ir-8_prm_3 }}; - - - id: ir-8_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing; - """ - - - id: ir-8_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Communicates incident response plan changes to {{ ir-8_prm_4 }}; - and - """ - - - id: ir-8_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Protects the incident response plan from unauthorized disclosure and - modification. - """ - - - id: ir-8_gdn - name: guidance - prose: - """ - It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems. - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - id: ir-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-8.a_obj - name: objective - properties: - - - name: label - value: IR-8(a) - prose: develops an incident response plan that: - parts: - - - id: ir-8.a.1_obj - name: objective - properties: - - - name: label - value: IR-8(a)(1) - prose: - """ - provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8.a.2_obj - name: objective - properties: - - - name: label - value: IR-8(a)(2) - prose: - """ - describes the structure and organization of the incident response - capability; - """ - - - id: ir-8.a.3_obj - name: objective - properties: - - - name: label - value: IR-8(a)(3) - prose: - """ - provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8.a.4_obj - name: objective - properties: - - - name: label - value: IR-8(a)(4) - prose: meets the unique requirements of the organization, which relate to: - parts: - - - id: ir-8.a.4_obj.1 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[1] - prose: mission; - - - id: ir-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[2] - prose: size; - - - id: ir-8.a.4_obj.3 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[3] - prose: structure; - - - id: ir-8.a.4_obj.4 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[4] - prose: functions; - - - id: ir-8.a.5_obj - name: objective - properties: - - - name: label - value: IR-8(a)(5) - prose: defines reportable incidents; - - - id: ir-8.a.6_obj - name: objective - properties: - - - name: label - value: IR-8(a)(6) - prose: - """ - provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8.a.7_obj - name: objective - properties: - - - name: label - value: IR-8(a)(7) - prose: - """ - defines the resources and management support needed to effectively maintain and - mature an incident response capability; - """ - - - id: ir-8.a.8_obj - name: objective - properties: - - - name: label - value: IR-8(a)(8) - parts: - - - id: ir-8.a.8_obj.1 - name: objective - properties: - - - name: label - value: IR-8(a)(8)[1] - prose: - """ - defines personnel or roles to review and approve the incident response - plan; - """ - - - id: ir-8.a.8_obj.2 - name: objective - properties: - - - name: label - value: IR-8(a)(8)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: ir-8.b_obj - name: objective - properties: - - - name: label - value: IR-8(b) - parts: - - - id: ir-8.b_obj.1 - name: objective - properties: - - - name: label - value: IR-8(b)[1] - parts: - - - id: ir-8.b_obj.1.a - name: objective - properties: - - - name: label - value: IR-8(b)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed; - """ - - - id: ir-8.b_obj.1.b - name: objective - properties: - - - name: label - value: IR-8(b)[1][b] - prose: - """ - defines organizational elements to whom copies of the incident response plan - are to be distributed; - """ - - - id: ir-8.b_obj.2 - name: objective - properties: - - - name: label - value: IR-8(b)[2] - prose: - """ - distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements; - """ - - - id: ir-8.c_obj - name: objective - properties: - - - name: label - value: IR-8(c) - parts: - - - id: ir-8.c_obj.1 - name: objective - properties: - - - name: label - value: IR-8(c)[1] - prose: defines the frequency to review the incident response plan; - - - id: ir-8.c_obj.2 - name: objective - properties: - - - name: label - value: IR-8(c)[2] - prose: reviews the incident response plan with the organization-defined frequency; - - - id: ir-8.d_obj - name: objective - properties: - - - name: label - value: IR-8(d) - prose: - """ - updates the incident response plan to address system/organizational changes or - problems encountered during plan: - """ - parts: - - - id: ir-8.d_obj.1 - name: objective - properties: - - - name: label - value: IR-8(d)[1] - prose: implementation; - - - id: ir-8.d_obj.2 - name: objective - properties: - - - name: label - value: IR-8(d)[2] - prose: execution; or - - - id: ir-8.d_obj.3 - name: objective - properties: - - - name: label - value: IR-8(d)[3] - prose: testing; - - - id: ir-8.e_obj - name: objective - properties: - - - name: label - value: IR-8(e) - parts: - - - id: ir-8.e_obj.1 - name: objective - properties: - - - name: label - value: IR-8(e)[1] - parts: - - - id: ir-8.e_obj.1.a - name: objective - properties: - - - name: label - value: IR-8(e)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated; - """ - - - id: ir-8.e_obj.1.b - name: objective - properties: - - - name: label - value: IR-8(e)[1][b] - prose: - """ - defines organizational elements to whom incident response plan changes are - to be communicated; - """ - - - id: ir-8.e_obj.2 - name: objective - properties: - - - name: label - value: IR-8(e)[2] - prose: - """ - communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and - """ - - - id: ir-8.f_obj - name: objective - properties: - - - name: label - value: IR-8(f) - prose: - """ - protects the incident response plan from unauthorized disclosure and - modification. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational incident response plan and related organizational processes - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Attestation - Specifically attest to US-CERT compliance. - - - id: ir-9 - class: SP800-53 - title: Information Spillage Response - parameters: - - - id: ir-9_prm_1 - label: organization-defined personnel or roles - - - id: ir-9_prm_2 - label: organization-defined actions - properties: - - - name: label - value: IR-9 - - - name: sort-id - value: ir-09 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ir-9_smt - name: statement - prose: The organization responds to information spills by: - parts: - - - id: ir-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifying the specific information involved in the information system - contamination; - """ - - - id: ir-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Alerting {{ ir-9_prm_1 }} of the information spill using a method - of communication not associated with the spill; - """ - - - id: ir-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: Isolating the contaminated information system or system component; - - - id: ir-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Eradicating the information from the contaminated information system or - component; - """ - - - id: ir-9_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Identifying other information systems or system components that may have been - subsequently contaminated; and - """ - - - id: ir-9_smt.f - name: item - properties: - - - name: label - value: f. - prose: Performing other {{ ir-9_prm_2 }}. - - - id: ir-9_gdn - name: guidance - prose: - """ - Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated. - """ - - - id: ir-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.a_obj - name: objective - properties: - - - name: label - value: IR-9(a) - prose: - """ - responds to information spills by identifying the specific information causing the - information system contamination; - """ - - - id: ir-9.b_obj - name: objective - properties: - - - name: label - value: IR-9(b) - parts: - - - id: ir-9.b_obj.1 - name: objective - properties: - - - name: label - value: IR-9(b)[1] - prose: defines personnel to be alerted of the information spillage; - - - id: ir-9.b_obj.2 - name: objective - properties: - - - name: label - value: IR-9(b)[2] - prose: - """ - identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill; - """ - - - id: ir-9.b_obj.3 - name: objective - properties: - - - name: label - value: IR-9(b)[3] - prose: - """ - responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill; - """ - - - id: ir-9.c_obj - name: objective - properties: - - - name: label - value: IR-9(c) - prose: - """ - responds to information spills by isolating the contaminated information - system; - """ - - - id: ir-9.d_obj - name: objective - properties: - - - name: label - value: IR-9(d) - prose: - """ - responds to information spills by eradicating the information from the - contaminated information system; - """ - - - id: ir-9.e_obj - name: objective - properties: - - - name: label - value: IR-9(e) - prose: - """ - responds to information spills by identifying other information systems that may - have been subsequently contaminated; - """ - - - id: ir-9.f_obj - name: objective - properties: - - - name: label - value: IR-9(f) - parts: - - - id: ir-9.f_obj.1 - name: objective - properties: - - - name: label - value: IR-9(f)[1] - prose: - """ - defines other actions to be performed in response to information spills; - and - """ - - - id: ir-9.f_obj.2 - name: objective - properties: - - - name: label - value: IR-9(f)[2] - prose: - """ - responds to information spills by performing other organization-defined - actions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nrecords of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage\n\nlist of actions to be performed regarding information spillage\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information spillage response\n\nautomated mechanisms supporting and/or implementing information spillage response - actions and related communications - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Attestation - Specifically describe information spillage response processes. - - - id: ma - class: family - title: Maintenance - controls: - - - id: ma-1 - class: SP800-53 - title: System Maintenance Policy and Procedures - parameters: - - - id: ma-1_prm_1 - label: organization-defined personnel or roles - - - id: ma-1_prm_2 - label: organization-defined frequency - - - id: ma-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: MA-1 - - - name: sort-id - value: ma-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ma-1_smt - name: statement - prose: The organization: - parts: - - - id: ma-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ma-1_prm_1 }}: - parts: - - - id: ma-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ma-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and - """ - - - id: ma-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ma-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System maintenance policy {{ ma-1_prm_2 }}; and - - - id: ma-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System maintenance procedures {{ ma-1_prm_3 }}. - - - id: ma-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ma-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-1.a_obj - name: objective - properties: - - - name: label - value: MA-1(a) - parts: - - - id: ma-1.a.1_obj - name: objective - properties: - - - name: label - value: MA-1(a)(1) - parts: - - - id: ma-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1] - prose: develops and documents a system maintenance policy that addresses: - parts: - - - id: ma-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][a] - prose: purpose; - - - id: ma-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][b] - prose: scope; - - - id: ma-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][c] - prose: roles; - - - id: ma-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ma-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][e] - prose: management commitment; - - - id: ma-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ma-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][g] - prose: compliance; - - - id: ma-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: MA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system maintenance policy is to be - disseminated; - """ - - - id: ma-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: MA-1(a)(1)[3] - prose: - """ - disseminates the system maintenance policy to organization-defined personnel - or roles; - """ - - - id: ma-1.a.2_obj - name: objective - properties: - - - name: label - value: MA-1(a)(2) - parts: - - - id: ma-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: MA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls; - """ - - - id: ma-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: MA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ma-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: MA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ma-1.b_obj - name: objective - properties: - - - name: label - value: MA-1(b) - parts: - - - id: ma-1.b.1_obj - name: objective - properties: - - - name: label - value: MA-1(b)(1) - parts: - - - id: ma-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: MA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - policy; - """ - - - id: ma-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: MA-1(b)(1)[2] - prose: - """ - reviews and updates the current system maintenance policy with the - organization-defined frequency; - """ - - - id: ma-1.b.2_obj - name: objective - properties: - - - name: label - value: MA-1(b)(2) - parts: - - - id: ma-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: MA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - procedures; and - """ - - - id: ma-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: MA-1(b)(2)[2] - prose: - """ - reviews and updates the current system maintenance procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Maintenance policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - id: ma-2 - class: SP800-53 - title: Controlled Maintenance - parameters: - - - id: ma-2_prm_1 - label: organization-defined personnel or roles - - - id: ma-2_prm_2 - label: organization-defined maintenance-related information - properties: - - - name: label - value: MA-2 - - - name: sort-id - value: ma-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ma-2_smt - name: statement - prose: The organization: - parts: - - - id: ma-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements; - """ - - - id: ma-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location; - """ - - - id: ma-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Requires that {{ ma-2_prm_1 }} explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and - """ - - - id: ma-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Includes {{ ma-2_prm_2 }} in organizational maintenance - records. - """ - - - id: ma-2_gdn - name: guidance - prose: - """ - This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ma-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-2.a_obj - name: objective - properties: - - - name: label - value: MA-2(a) - parts: - - - id: ma-2.a_obj.1 - name: objective - properties: - - - name: label - value: MA-2(a)[1] - prose: - """ - schedules maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.1.a - name: objective - properties: - - - name: label - value: MA-2(a)[1][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.1.b - name: objective - properties: - - - name: label - value: MA-2(a)[1][b] - prose: organizational requirements; - - - id: ma-2.a_obj.2 - name: objective - properties: - - - name: label - value: MA-2(a)[2] - prose: - """ - performs maintenance and repairs on information system components in accordance - with: - """ - parts: - - - id: ma-2.a_obj.2.a - name: objective - properties: - - - name: label - value: MA-2(a)[2][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.2.b - name: objective - properties: - - - name: label - value: MA-2(a)[2][b] - prose: organizational requirements; - - - id: ma-2.a_obj.3 - name: objective - properties: - - - name: label - value: MA-2(a)[3] - prose: - """ - documents maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.3.a - name: objective - properties: - - - name: label - value: MA-2(a)[3][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.3.b - name: objective - properties: - - - name: label - value: MA-2(a)[3][b] - prose: organizational requirements; - - - id: ma-2.a_obj.4 - name: objective - properties: - - - name: label - value: MA-2(a)[4] - prose: - """ - reviews records of maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.4.a - name: objective - properties: - - - name: label - value: MA-2(a)[4][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.4.b - name: objective - properties: - - - name: label - value: MA-2(a)[4][b] - prose: organizational requirements; - - - id: ma-2.b_obj - name: objective - properties: - - - name: label - value: MA-2(b) - parts: - - - id: ma-2.b_obj.1 - name: objective - properties: - - - name: label - value: MA-2(b)[1] - prose: - """ - approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.b_obj.2 - name: objective - properties: - - - name: label - value: MA-2(b)[2] - prose: - """ - monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.c_obj - name: objective - properties: - - - name: label - value: MA-2(c) - parts: - - - id: ma-2.c_obj.1 - name: objective - properties: - - - name: label - value: MA-2(c)[1] - prose: - """ - defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2.c_obj.2 - name: objective - properties: - - - name: label - value: MA-2(c)[2] - prose: - """ - requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs; - """ - - - id: ma-2.d_obj - name: objective - properties: - - - name: label - value: MA-2(d) - prose: - """ - sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2.e_obj - name: objective - properties: - - - name: label - value: MA-2(e) - prose: - """ - checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; - """ - - - id: ma-2.f_obj - name: objective - properties: - - - name: label - value: MA-2(f) - parts: - - - id: ma-2.f_obj.1 - name: objective - properties: - - - name: label - value: MA-2(f)[1] - prose: - """ - defines maintenance-related information to be included in organizational - maintenance records; and - """ - - - id: ma-2.f_obj.2 - name: objective - properties: - - - name: label - value: MA-2(f)[2] - prose: - """ - includes organization-defined maintenance-related information in organizational - maintenance records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing controlled information system maintenance\n\nmaintenance records\n\nmanufacturer/vendor maintenance specifications\n\nequipment sanitization records\n\nmedia sanitization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system\n\norganizational processes for sanitizing information system components\n\nautomated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms implementing sanitization of information system - components - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: ma-4 - class: SP800-53 - title: Nonlocal Maintenance - properties: - - - name: label - value: MA-4 - - - name: sort-id - value: ma-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #f2dbd4ec-c413-4714-b85b-6b7184d1c195 - rel: reference - text: FIPS Publication 197 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a4aa9645-9a8a-4b51-90a9-e223250f9a75 - rel: reference - text: CNSS Policy 15 - parts: - - - id: ma-4_smt - name: statement - prose: The organization: - parts: - - - id: ma-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Approves and monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system; - """ - - - id: ma-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Maintains records for nonlocal maintenance and diagnostic activities; and - - - id: ma-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Terminates session and network connections when nonlocal maintenance is - completed. - """ - - - id: ma-4_gdn - name: guidance - prose: - """ - Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: ma-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-4.a_obj - name: objective - properties: - - - name: label - value: MA-4(a) - parts: - - - id: ma-4.a_obj.1 - name: objective - properties: - - - name: label - value: MA-4(a)[1] - prose: approves nonlocal maintenance and diagnostic activities; - - - id: ma-4.a_obj.2 - name: objective - properties: - - - name: label - value: MA-4(a)[2] - prose: monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4.b_obj - name: objective - properties: - - - name: label - value: MA-4(b) - prose: allows the use of nonlocal maintenance and diagnostic tools only: - parts: - - - id: ma-4.b_obj.1 - name: objective - properties: - - - name: label - value: MA-4(b)[1] - prose: as consistent with organizational policy; - - - id: ma-4.b_obj.2 - name: objective - properties: - - - name: label - value: MA-4(b)[2] - prose: as documented in the security plan for the information system; - - - id: ma-4.c_obj - name: objective - properties: - - - name: label - value: MA-4(c) - prose: - """ - employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4.d_obj - name: objective - properties: - - - name: label - value: MA-4(d) - prose: maintains records for nonlocal maintenance and diagnostic activities; - - - id: ma-4.e_obj - name: objective - properties: - - - name: label - value: MA-4(e) - parts: - - - id: ma-4.e_obj.1 - name: objective - properties: - - - name: label - value: MA-4(e)[1] - prose: - """ - terminates sessions when nonlocal maintenance or diagnostics is completed; - and - """ - - - id: ma-4.e_obj.2 - name: objective - properties: - - - name: label - value: MA-4(e)[2] - prose: - """ - terminates network connections when nonlocal maintenance or diagnostics is - completed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing nonlocal information system maintenance\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing nonlocal maintenance\n\nautomated mechanisms implementing, supporting, and/or managing nonlocal - maintenance\n\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions\n\nautomated mechanisms for terminating nonlocal maintenance sessions and network - connections - """ - - - id: ma-5 - class: SP800-53 - title: Maintenance Personnel - properties: - - - name: label - value: MA-5 - - - name: sort-id - value: ma-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: ma-5_smt - name: statement - prose: The organization: - parts: - - - id: ma-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel; - """ - - - id: ma-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - id: ma-5_gdn - name: guidance - prose: - """ - This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: ma-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-5.a_obj - name: objective - properties: - - - name: label - value: MA-5(a) - parts: - - - id: ma-5.a_obj.1 - name: objective - properties: - - - name: label - value: MA-5(a)[1] - prose: establishes a process for maintenance personnel authorization; - - - id: ma-5.a_obj.2 - name: objective - properties: - - - name: label - value: MA-5(a)[2] - prose: maintains a list of authorized maintenance organizations or personnel; - - - id: ma-5.b_obj - name: objective - properties: - - - name: label - value: MA-5(b) - prose: - """ - ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5.c_obj - name: objective - properties: - - - name: label - value: MA-5(c) - prose: - """ - designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing maintenance personnel\n\nservice provider contracts\n\nservice-level agreements\n\nlist of authorized personnel\n\nmaintenance records\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for authorizing and managing maintenance personnel\n\nautomated mechanisms supporting and/or implementing authorization of maintenance - personnel - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: mp - class: family - title: Media Protection - controls: - - - id: mp-1 - class: SP800-53 - title: Media Protection Policy and Procedures - parameters: - - - id: mp-1_prm_1 - label: organization-defined personnel or roles - - - id: mp-1_prm_2 - label: organization-defined frequency - - - id: mp-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: MP-1 - - - name: sort-id - value: mp-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: mp-1_smt - name: statement - prose: The organization: - parts: - - - id: mp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ mp-1_prm_1 }}: - parts: - - - id: mp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: mp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and - """ - - - id: mp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: mp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Media protection policy {{ mp-1_prm_2 }}; and - - - id: mp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Media protection procedures {{ mp-1_prm_3 }}. - - - id: mp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: mp-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-1.a_obj - name: objective - properties: - - - name: label - value: MP-1(a) - parts: - - - id: mp-1.a.1_obj - name: objective - properties: - - - name: label - value: MP-1(a)(1) - parts: - - - id: mp-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1] - prose: develops and documents a media protection policy that addresses: - parts: - - - id: mp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][a] - prose: purpose; - - - id: mp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][b] - prose: scope; - - - id: mp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][c] - prose: roles; - - - id: mp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][d] - prose: responsibilities; - - - id: mp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][e] - prose: management commitment; - - - id: mp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: mp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][g] - prose: compliance; - - - id: mp-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: MP-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the media protection policy is to be - disseminated; - """ - - - id: mp-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: MP-1(a)(1)[3] - prose: - """ - disseminates the media protection policy to organization-defined personnel - or roles; - """ - - - id: mp-1.a.2_obj - name: objective - properties: - - - name: label - value: MP-1(a)(2) - parts: - - - id: mp-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: MP-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls; - """ - - - id: mp-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: MP-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: mp-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: MP-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: mp-1.b_obj - name: objective - properties: - - - name: label - value: MP-1(b) - parts: - - - id: mp-1.b.1_obj - name: objective - properties: - - - name: label - value: MP-1(b)(1) - parts: - - - id: mp-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: MP-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current media protection - policy; - """ - - - id: mp-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: MP-1(b)(1)[2] - prose: - """ - reviews and updates the current media protection policy with the - organization-defined frequency; - """ - - - id: mp-1.b.2_obj - name: objective - properties: - - - name: label - value: MP-1(b)(2) - parts: - - - id: mp-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: MP-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current media protection - procedures; and - """ - - - id: mp-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: MP-1(b)(2)[2] - prose: - """ - reviews and updates the current media protection procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Media protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media protection responsibilities\n\norganizational personnel with information security responsibilities - - - id: mp-2 - class: SP800-53 - title: Media Access - parameters: - - - id: mp-2_prm_1 - label: organization-defined types of digital and/or non-digital media - - - id: mp-2_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: MP-2 - - - name: sort-id - value: mp-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-2_smt - name: statement - prose: The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}. - - - id: mp-2_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: mp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-2_obj.1 - name: objective - properties: - - - name: label - value: MP-2[1] - prose: defines types of digital and/or non-digital media requiring restricted access; - - - id: mp-2_obj.2 - name: objective - properties: - - - name: label - value: MP-2[2] - prose: - """ - defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and - """ - - - id: mp-2_obj.3 - name: objective - properties: - - - name: label - value: MP-2[3] - prose: - """ - restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media access restrictions\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmedia storage facilities\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for restricting information media\n\nautomated mechanisms supporting and/or implementing media access restrictions - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: mp-6 - class: SP800-53 - title: Media Sanitization - parameters: - - - id: mp-6_prm_1 - label: organization-defined information system media - - - id: mp-6_prm_2 - label: organization-defined sanitization techniques and procedures - properties: - - - name: label - value: MP-6 - - - name: sort-id - value: mp-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a47466c4-c837-4f06-a39f-e68412a5f73d - rel: reference - text: http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - parts: - - - id: mp-6_smt - name: statement - prose: The organization: - parts: - - - id: mp-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of - organizational control, or release for reuse using {{ mp-6_prm_2 }} - in accordance with applicable federal and organizational standards and policies; - and - """ - - - id: mp-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information. - """ - - - id: mp-6_gdn - name: guidance - prose: - """ - This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information. - """ - links: - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-4 - rel: related - text: SC-4 - - - id: mp-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.a_obj - name: objective - properties: - - - name: label - value: MP-6(a) - parts: - - - id: mp-6.a_obj.1 - name: objective - properties: - - - name: label - value: MP-6(a)[1] - prose: defines information system media to be sanitized prior to: - parts: - - - id: mp-6.a_obj.1.a - name: objective - properties: - - - name: label - value: MP-6(a)[1][a] - prose: disposal; - - - id: mp-6.a_obj.1.b - name: objective - properties: - - - name: label - value: MP-6(a)[1][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.1.c - name: objective - properties: - - - name: label - value: MP-6(a)[1][c] - prose: release for reuse; - - - id: mp-6.a_obj.2 - name: objective - properties: - - - name: label - value: MP-6(a)[2] - prose: - """ - defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to: - """ - parts: - - - id: mp-6.a_obj.2.a - name: objective - properties: - - - name: label - value: MP-6(a)[2][a] - prose: disposal; - - - id: mp-6.a_obj.2.b - name: objective - properties: - - - name: label - value: MP-6(a)[2][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.2.c - name: objective - properties: - - - name: label - value: MP-6(a)[2][c] - prose: release for reuse; - - - id: mp-6.a_obj.3 - name: objective - properties: - - - name: label - value: MP-6(a)[3] - prose: - """ - sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and - """ - - - id: mp-6.b_obj - name: objective - properties: - - - name: label - value: MP-6(b) - prose: - """ - employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\napplicable federal standards and policies addressing media sanitization\n\nmedia sanitization records\n\naudit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: mp-7 - class: SP800-53 - title: Media Use - parameters: - - - id: mp-7_prm_1 - - - id: mp-7_prm_2 - label: organization-defined types of information system media - - - id: mp-7_prm_3 - label: organization-defined information systems or system components - - - id: mp-7_prm_4 - label: organization-defined security safeguards - properties: - - - name: label - value: MP-7 - - - name: sort-id - value: mp-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-7_smt - name: statement - prose: The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}. - - - id: mp-7_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: mp-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-7_obj.1 - name: objective - properties: - - - name: label - value: MP-7[1] - prose: defines types of information system media to be: - parts: - - - id: mp-7_obj.1.a - name: objective - properties: - - - name: label - value: MP-7[1][a] - prose: restricted on information systems or system components; or - - - id: mp-7_obj.1.b - name: objective - properties: - - - name: label - value: MP-7[1][b] - prose: prohibited from use on information systems or system components; - - - id: mp-7_obj.2 - name: objective - properties: - - - name: label - value: MP-7[2] - prose: - """ - defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following: - """ - parts: - - - id: mp-7_obj.2.a - name: objective - properties: - - - name: label - value: MP-7[2][a] - prose: restricted; or - - - id: mp-7_obj.2.b - name: objective - properties: - - - name: label - value: MP-7[2][b] - prose: prohibited; - - - id: mp-7_obj.3 - name: objective - properties: - - - name: label - value: MP-7[3] - prose: - """ - defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and - """ - - - id: mp-7_obj.4 - name: objective - properties: - - - name: label - value: MP-7[4] - prose: - """ - restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nsecurity plan\n\nrules of behavior\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for media use\n\nautomated mechanisms restricting or prohibiting use of information system media on - information systems or system components - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe - class: family - title: Physical and Environmental Protection - controls: - - - id: pe-1 - class: SP800-53 - title: Physical and Environmental Protection Policy and Procedures - parameters: - - - id: pe-1_prm_1 - label: organization-defined personnel or roles - - - id: pe-1_prm_2 - label: organization-defined frequency - - - id: pe-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: PE-1 - - - name: sort-id - value: pe-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pe-1_smt - name: statement - prose: The organization: - parts: - - - id: pe-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pe-1_prm_1 }}: - parts: - - - id: pe-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: pe-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and - """ - - - id: pe-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pe-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Physical and environmental protection policy {{ pe-1_prm_2 }}; - and - """ - - - id: pe-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Physical and environmental protection procedures {{ pe-1_prm_3 }}. - - - id: pe-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pe-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-1.a_obj - name: objective - properties: - - - name: label - value: PE-1(a) - parts: - - - id: pe-1.a.1_obj - name: objective - properties: - - - name: label - value: PE-1(a)(1) - parts: - - - id: pe-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1] - prose: - """ - develops and documents a physical and environmental protection policy that - addresses: - """ - parts: - - - id: pe-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][a] - prose: purpose; - - - id: pe-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][b] - prose: scope; - - - id: pe-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][c] - prose: roles; - - - id: pe-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][d] - prose: responsibilities; - - - id: pe-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][e] - prose: management commitment; - - - id: pe-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pe-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][g] - prose: compliance; - - - id: pe-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: PE-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated; - """ - - - id: pe-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: PE-1(a)(1)[3] - prose: - """ - disseminates the physical and environmental protection policy to - organization-defined personnel or roles; - """ - - - id: pe-1.a.2_obj - name: objective - properties: - - - name: label - value: PE-1(a)(2) - parts: - - - id: pe-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: PE-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls; - """ - - - id: pe-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: PE-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pe-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: PE-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pe-1.b_obj - name: objective - properties: - - - name: label - value: PE-1(b) - parts: - - - id: pe-1.b.1_obj - name: objective - properties: - - - name: label - value: PE-1(b)(1) - parts: - - - id: pe-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: PE-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection policy; - """ - - - id: pe-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: PE-1(b)(1)[2] - prose: - """ - reviews and updates the current physical and environmental protection policy - with the organization-defined frequency; - """ - - - id: pe-1.b.2_obj - name: objective - properties: - - - name: label - value: PE-1(b)(2) - parts: - - - id: pe-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: PE-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection procedures; and - """ - - - id: pe-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: PE-1(b)(2)[2] - prose: - """ - reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with physical and environmental protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: pe-2 - class: SP800-53 - title: Physical Access Authorizations - parameters: - - - id: pe-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: label - value: PE-2 - - - name: sort-id - value: pe-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-2_smt - name: statement - prose: The organization: - parts: - - - id: pe-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides; - """ - - - id: pe-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Issues authorization credentials for facility access; - - - id: pe-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the access list detailing authorized facility access by individuals - {{ pe-2_prm_1 }}; and - """ - - - id: pe-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Removes individuals from the facility access list when access is no longer - required. - """ - - - id: pe-2_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible. - """ - links: - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: pe-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-2.a_obj - name: objective - properties: - - - name: label - value: PE-2(a) - parts: - - - id: pe-2.a_obj.1 - name: objective - properties: - - - name: label - value: PE-2(a)[1] - prose: - """ - develops a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.2 - name: objective - properties: - - - name: label - value: PE-2(a)[2] - prose: - """ - approves a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.3 - name: objective - properties: - - - name: label - value: PE-2(a)[3] - prose: - """ - maintains a list of individuals with authorized access to the facility where - the information system resides; - """ - - - id: pe-2.b_obj - name: objective - properties: - - - name: label - value: PE-2(b) - prose: issues authorization credentials for facility access; - - - id: pe-2.c_obj - name: objective - properties: - - - name: label - value: PE-2(c) - parts: - - - id: pe-2.c_obj.1 - name: objective - properties: - - - name: label - value: PE-2(c)[1] - prose: - """ - defines the frequency to review the access list detailing authorized facility - access by individuals; - """ - - - id: pe-2.c_obj.2 - name: objective - properties: - - - name: label - value: PE-2(c)[2] - prose: - """ - reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and - """ - - - id: pe-2.d_obj - name: objective - properties: - - - name: label - value: PE-2(d) - prose: - """ - removes individuals from the facility access list when access is no longer - required. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nsecurity plan\n\nauthorized personnel access list\n\nauthorization credentials\n\nphysical access list reviews\n\nphysical access termination records and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to information system facility\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access - authorizations - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-3 - class: SP800-53 - title: Physical Access Control - parameters: - - - id: pe-3_prm_1 - label: - """ - organization-defined entry/exit points to the facility where the information - system resides - """ - - - id: pe-3_prm_2 - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - - - id: pe-3_prm_3 - depends-on: pe-3_prm_2 - label: organization-defined physical access control systems/devices - - - id: pe-3_prm_4 - label: organization-defined entry/exit points - - - id: pe-3_prm_5 - label: organization-defined security safeguards - - - id: pe-3_prm_6 - label: - """ - organization-defined circumstances requiring visitor escorts and - monitoring - """ - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - - - id: pe-3_prm_7 - label: organization-defined physical access devices - - - id: pe-3_prm_8 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: pe-3_prm_9 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: label - value: PE-3 - - - name: sort-id - value: pe-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - - - href: #398e33fd-f404-4e5c-b90e-2d50d3181244 - rel: reference - text: ICD 705 - - - href: #61081e7f-041d-4033-96a7-44a439071683 - rel: reference - text: DoD Instruction 5200.39 - - - href: #dd2f5acd-08f1-435a-9837-f8203088dc1a - rel: reference - text: - """ - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - parts: - - - id: pe-3_smt - name: statement - prose: The organization: - parts: - - - id: pe-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Enforces physical access authorizations at {{ pe-3_prm_1 }} by; - parts: - - - id: pe-3_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Verifying individual access authorizations before granting access to the - facility; and - """ - - - id: pe-3_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Controlling ingress/egress to the facility using {{ pe-3_prm_2 }}; - - - id: pe-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Maintains physical access audit logs for {{ pe-3_prm_4 }}; - - - id: pe-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides {{ pe-3_prm_5 }} to control access to areas within the - facility officially designated as publicly accessible; - """ - - - id: pe-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }}; - - - id: pe-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: Secures keys, combinations, and other physical access devices; - - - id: pe-3_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }}; - and - """ - - - id: pe-3_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated. - """ - - - id: pe-3_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #pe-5 - rel: related - text: PE-5 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: pe-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-3.a_obj - name: objective - properties: - - - name: label - value: PE-3(a) - parts: - - - id: pe-3.a_obj.1 - name: objective - properties: - - - name: label - value: PE-3(a)[1] - prose: - """ - defines entry/exit points to the facility where the information system - resides; - """ - - - id: pe-3.a_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2] - prose: - """ - enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by: - """ - parts: - - - id: pe-3.a.1_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](1) - prose: - """ - verifying individual access authorizations before granting access to the - facility; - """ - - - id: pe-3.a.2_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2) - parts: - - - id: pe-3.a.2_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[a] - prose: - """ - defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides; - """ - - - id: pe-3.a.2_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b] - prose: - """ - using one or more of the following ways to control ingress/egress to the - facility: - """ - parts: - - - id: pe-3.a.2_obj.2.b.1 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][1] - prose: - """ - organization-defined physical access control systems/devices; - and/or - """ - - - id: pe-3.a.2_obj.2.b.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][2] - prose: guards; - - - id: pe-3.b_obj - name: objective - properties: - - - name: label - value: PE-3(b) - parts: - - - id: pe-3.b_obj.1 - name: objective - properties: - - - name: label - value: PE-3(b)[1] - prose: - """ - defines entry/exit points for which physical access audit logs are to be - maintained; - """ - - - id: pe-3.b_obj.2 - name: objective - properties: - - - name: label - value: PE-3(b)[2] - prose: - """ - maintains physical access audit logs for organization-defined entry/exit - points; - """ - - - id: pe-3.c_obj - name: objective - properties: - - - name: label - value: PE-3(c) - parts: - - - id: pe-3.c_obj.1 - name: objective - properties: - - - name: label - value: PE-3(c)[1] - prose: - """ - defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible; - """ - - - id: pe-3.c_obj.2 - name: objective - properties: - - - name: label - value: PE-3(c)[2] - prose: - """ - provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible; - """ - - - id: pe-3.d_obj - name: objective - properties: - - - name: label - value: PE-3(d) - parts: - - - id: pe-3.d_obj.1 - name: objective - properties: - - - name: label - value: PE-3(d)[1] - prose: defines circumstances requiring visitor: - parts: - - - id: pe-3.d_obj.1.a - name: objective - properties: - - - name: label - value: PE-3(d)[1][a] - prose: escorts; - - - id: pe-3.d_obj.1.b - name: objective - properties: - - - name: label - value: PE-3(d)[1][b] - prose: monitoring; - - - id: pe-3.d_obj.2 - name: objective - properties: - - - name: label - value: PE-3(d)[2] - prose: - """ - in accordance with organization-defined circumstances requiring visitor escorts - and monitoring: - """ - parts: - - - id: pe-3.d_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(d)[2][a] - prose: escorts visitors; - - - id: pe-3.d_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(d)[2][b] - prose: monitors visitor activities; - - - id: pe-3.e_obj - name: objective - properties: - - - name: label - value: PE-3(e) - parts: - - - id: pe-3.e_obj.1 - name: objective - properties: - - - name: label - value: PE-3(e)[1] - prose: secures keys; - - - id: pe-3.e_obj.2 - name: objective - properties: - - - name: label - value: PE-3(e)[2] - prose: secures combinations; - - - id: pe-3.e_obj.3 - name: objective - properties: - - - name: label - value: PE-3(e)[3] - prose: secures other physical access devices; - - - id: pe-3.f_obj - name: objective - properties: - - - name: label - value: PE-3(f) - parts: - - - id: pe-3.f_obj.1 - name: objective - properties: - - - name: label - value: PE-3(f)[1] - prose: defines physical access devices to be inventoried; - - - id: pe-3.f_obj.2 - name: objective - properties: - - - name: label - value: PE-3(f)[2] - prose: - """ - defines the frequency to inventory organization-defined physical access - devices; - """ - - - id: pe-3.f_obj.3 - name: objective - properties: - - - name: label - value: PE-3(f)[3] - prose: - """ - inventories the organization-defined physical access devices with the - organization-defined frequency; - """ - - - id: pe-3.g_obj - name: objective - properties: - - - name: label - value: PE-3(g) - parts: - - - id: pe-3.g_obj.1 - name: objective - properties: - - - name: label - value: PE-3(g)[1] - prose: defines the frequency to change combinations and keys; and - - - id: pe-3.g_obj.2 - name: objective - properties: - - - name: label - value: PE-3(g)[2] - prose: - """ - changes combinations and keys with the organization-defined frequency and/or - when: - """ - parts: - - - id: pe-3.g_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(g)[2][a] - prose: keys are lost; - - - id: pe-3.g_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(g)[2][b] - prose: combinations are compromised; - - - id: pe-3.g_obj.2.c - name: objective - properties: - - - name: label - value: PE-3(g)[2][c] - prose: individuals are transferred or terminated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nsecurity plan\n\nphysical access control logs or records\n\ninventory records of physical access control devices\n\ninformation system entry and exit points\n\nrecords of key and lock combination changes\n\nstorage locations for physical access control devices\n\nphysical access control devices\n\nlist of security safeguards controlling access to designated publicly accessible - areas within facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for physical access control\n\nautomated mechanisms supporting and/or implementing physical access control\n\nphysical access control devices - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-6 - class: SP800-53 - title: Monitoring Physical Access - parameters: - - - id: pe-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: pe-6_prm_2 - label: organization-defined events or potential indications of events - properties: - - - name: label - value: PE-6 - - - name: sort-id - value: pe-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-6_smt - name: statement - prose: The organization: - parts: - - - id: pe-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence - of {{ pe-6_prm_2 }}; and - """ - - - id: pe-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - id: pe-6_gdn - name: guidance - prose: - """ - Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: pe-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-6.a_obj - name: objective - properties: - - - name: label - value: PE-6(a) - prose: - """ - monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6.b_obj - name: objective - properties: - - - name: label - value: PE-6(b) - parts: - - - id: pe-6.b_obj.1 - name: objective - properties: - - - name: label - value: PE-6(b)[1] - prose: defines the frequency to review physical access logs; - - - id: pe-6.b_obj.2 - name: objective - properties: - - - name: label - value: PE-6(b)[2] - prose: - """ - defines events or potential indication of events requiring physical access logs - to be reviewed; - """ - - - id: pe-6.b_obj.3 - name: objective - properties: - - - name: label - value: PE-6(b)[3] - prose: - """ - reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and - """ - - - id: pe-6.c_obj - name: objective - properties: - - - name: label - value: PE-6(c) - prose: - """ - coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsecurity plan\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing reviewing of physical access - logs - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-8 - class: SP800-53 - title: Visitor Access Records - parameters: - - - id: pe-8_prm_1 - label: organization-defined time period - constraints: - - - detail: for a minimum of one (1) year - - - id: pe-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: label - value: PE-8 - - - name: sort-id - value: pe-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-8_smt - name: statement - prose: The organization: - parts: - - - id: pe-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains visitor access records to the facility where the information system - resides for {{ pe-8_prm_1 }}; and - """ - - - id: pe-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews visitor access records {{ pe-8_prm_2 }}. - - - id: pe-8_gdn - name: guidance - prose: - """ - Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas. - """ - - - id: pe-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-8.a_obj - name: objective - properties: - - - name: label - value: PE-8(a) - parts: - - - id: pe-8.a_obj.1 - name: objective - properties: - - - name: label - value: PE-8(a)[1] - prose: - """ - defines the time period to maintain visitor access records to the facility - where the information system resides; - """ - - - id: pe-8.a_obj.2 - name: objective - properties: - - - name: label - value: PE-8(a)[2] - prose: - """ - maintains visitor access records to the facility where the information system - resides for the organization-defined time period; - """ - - - id: pe-8.b_obj - name: objective - properties: - - - name: label - value: PE-8(b) - parts: - - - id: pe-8.b_obj.1 - name: objective - properties: - - - name: label - value: PE-8(b)[1] - prose: defines the frequency to review visitor access records; and - - - id: pe-8.b_obj.2 - name: objective - properties: - - - name: label - value: PE-8(b)[2] - prose: reviews visitor access records with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nsecurity plan\n\nvisitor access control logs or records\n\nvisitor access record or log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of - visitor access records - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-12 - class: SP800-53 - title: Emergency Lighting - properties: - - - name: label - value: PE-12 - - - name: sort-id - value: pe-12 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-12_smt - name: statement - prose: - """ - The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility. - """ - - - id: pe-12_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-12_obj - name: objective - prose: - """ - Determine if the organization employs and maintains automatic emergency lighting for - the information system that: - """ - parts: - - - id: pe-12_obj.1 - name: objective - properties: - - - name: label - value: PE-12[1] - prose: activates in the event of a power outage or disruption; and - - - id: pe-12_obj.2 - name: objective - properties: - - - name: label - value: PE-12[2] - prose: covers emergency exits and evacuation routes within the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency lighting and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing emergency lighting - capability - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-13 - class: SP800-53 - title: Fire Protection - properties: - - - name: label - value: PE-13 - - - name: sort-id - value: pe-13 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-13_smt - name: statement - prose: - """ - The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source. - """ - - - id: pe-13_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors. - """ - - - id: pe-13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13_obj.1 - name: objective - properties: - - - name: label - value: PE-13[1] - prose: - """ - employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and - """ - - - id: pe-13_obj.2 - name: objective - properties: - - - name: label - value: PE-13[2] - prose: - """ - maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and suppression - devices/systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-14 - class: SP800-53 - title: Temperature and Humidity Controls - parameters: - - - id: pe-14_prm_1 - label: organization-defined acceptable levels - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - id: pe-14_prm_2 - label: organization-defined frequency - constraints: - - - detail: continuously - properties: - - - name: label - value: PE-14 - - - name: sort-id - value: pe-14 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-14_smt - name: statement - prose: The organization: - parts: - - - id: pe-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains temperature and humidity levels within the facility where the - information system resides at {{ pe-14_prm_1 }}; and - """ - - - id: pe-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: Monitors temperature and humidity levels {{ pe-14_prm_2 }}. - - - id: pe-14_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-14.a_obj - name: objective - properties: - - - name: label - value: PE-14(a) - parts: - - - id: pe-14.a_obj.1 - name: objective - properties: - - - name: label - value: PE-14(a)[1] - prose: - """ - defines acceptable temperature levels to be maintained within the facility - where the information system resides; - """ - - - id: pe-14.a_obj.2 - name: objective - properties: - - - name: label - value: PE-14(a)[2] - prose: - """ - defines acceptable humidity levels to be maintained within the facility where - the information system resides; - """ - - - id: pe-14.a_obj.3 - name: objective - properties: - - - name: label - value: PE-14(a)[3] - prose: - """ - maintains temperature levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.a_obj.4 - name: objective - properties: - - - name: label - value: PE-14(a)[4] - prose: - """ - maintains humidity levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.b_obj - name: objective - properties: - - - name: label - value: PE-14(b) - parts: - - - id: pe-14.b_obj.1 - name: objective - properties: - - - name: label - value: PE-14(b)[1] - prose: defines the frequency to monitor temperature levels; - - - id: pe-14.b_obj.2 - name: objective - properties: - - - name: label - value: PE-14(b)[2] - prose: defines the frequency to monitor humidity levels; - - - id: pe-14.b_obj.3 - name: objective - properties: - - - name: label - value: PE-14(b)[3] - prose: monitors temperature levels with the organization-defined frequency; and - - - id: pe-14.b_obj.4 - name: objective - properties: - - - name: label - value: PE-14(b)[4] - prose: monitors humidity levels with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing temperature and humidity control\n\nsecurity plan\n\ntemperature and humidity controls\n\nfacility housing the information system\n\ntemperature and humidity controls documentation\n\ntemperature and humidity records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-14_fr - name: item - title: PE-14(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: pe-14_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: - """ - The service provider measures temperature at server inlets and humidity levels - by dew point. - """ - - - id: pe-15 - class: SP800-53 - title: Water Damage Protection - properties: - - - name: label - value: PE-15 - - - name: sort-id - value: pe-15 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-15_smt - name: statement - prose: - """ - The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel. - """ - - - id: pe-15_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-15_obj - name: objective - prose: - """ - Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are: - """ - parts: - - - id: pe-15_obj.1 - name: objective - properties: - - - name: label - value: PE-15[1] - prose: accessible; - - - id: pe-15_obj.2 - name: objective - properties: - - - name: label - value: PE-15[2] - prose: working properly; and - - - id: pe-15_obj.3 - name: objective - properties: - - - name: label - value: PE-15[3] - prose: known to key personnel. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the information system\n\nmaster shutoff valves\n\nlist of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system\n\nmaster shutoff valve documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Master water-shutoff valves\n\norganizational process for activating master water-shutoff - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-16 - class: SP800-53 - title: Delivery and Removal - parameters: - - - id: pe-16_prm_1 - label: organization-defined types of information system components - constraints: - - - detail: all information system components - properties: - - - name: label - value: PE-16 - - - name: sort-id - value: pe-16 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: pe-16_smt - name: statement - prose: - """ - The organization authorizes, monitors, and controls {{ pe-16_prm_1 }} - entering and exiting the facility and maintains records of those items. - """ - - - id: pe-16_gdn - name: guidance - prose: - """ - Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: pe-16_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-16_obj.1 - name: objective - properties: - - - name: label - value: PE-16[1] - prose: - """ - defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility; - """ - - - id: pe-16_obj.2 - name: objective - properties: - - - name: label - value: PE-16[2] - prose: - """ - authorizes organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.3 - name: objective - properties: - - - name: label - value: PE-16[3] - prose: - """ - monitors organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.4 - name: objective - properties: - - - name: label - value: PE-16[4] - prose: - """ - controls organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.5 - name: objective - properties: - - - name: label - value: PE-16[5] - prose: - """ - authorizes organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.6 - name: objective - properties: - - - name: label - value: PE-16[6] - prose: - """ - monitors organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.7 - name: objective - properties: - - - name: label - value: PE-16[7] - prose: - """ - controls organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.8 - name: objective - properties: - - - name: label - value: PE-16[8] - prose: maintains records of information system components entering the facility; and - - - id: pe-16_obj.9 - name: objective - properties: - - - name: label - value: PE-16[9] - prose: maintains records of information system components exiting the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing delivery and removal of information system components from - the facility\n\nsecurity plan\n\nfacility housing the information system\n\nrecords of items entering and exiting the facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility\n\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pl - class: family - title: Planning - controls: - - - id: pl-1 - class: SP800-53 - title: Security Planning Policy and Procedures - parameters: - - - id: pl-1_prm_1 - label: organization-defined personnel or roles - - - id: pl-1_prm_2 - label: organization-defined frequency - - - id: pl-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: PL-1 - - - name: sort-id - value: pl-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pl-1_smt - name: statement - prose: The organization: - parts: - - - id: pl-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pl-1_prm_1 }}: - parts: - - - id: pl-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: pl-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and - """ - - - id: pl-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pl-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security planning policy {{ pl-1_prm_2 }}; and - - - id: pl-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security planning procedures {{ pl-1_prm_3 }}. - - - id: pl-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pl-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-1.a_obj - name: objective - properties: - - - name: label - value: PL-1(a) - parts: - - - id: pl-1.a.1_obj - name: objective - properties: - - - name: label - value: PL-1(a)(1) - parts: - - - id: pl-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1] - prose: develops and documents a planning policy that addresses: - parts: - - - id: pl-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][a] - prose: purpose; - - - id: pl-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][b] - prose: scope; - - - id: pl-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][c] - prose: roles; - - - id: pl-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][d] - prose: responsibilities; - - - id: pl-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][e] - prose: management commitment; - - - id: pl-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pl-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][g] - prose: compliance; - - - id: pl-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: PL-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the planning policy is to be - disseminated; - """ - - - id: pl-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: PL-1(a)(1)[3] - prose: - """ - disseminates the planning policy to organization-defined personnel or - roles; - """ - - - id: pl-1.a.2_obj - name: objective - properties: - - - name: label - value: PL-1(a)(2) - parts: - - - id: pl-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: PL-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls; - """ - - - id: pl-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: PL-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pl-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: PL-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pl-1.b_obj - name: objective - properties: - - - name: label - value: PL-1(b) - parts: - - - id: pl-1.b.1_obj - name: objective - properties: - - - name: label - value: PL-1(b)(1) - parts: - - - id: pl-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: PL-1(b)(1)[1] - prose: defines the frequency to review and update the current planning policy; - - - id: pl-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: PL-1(b)(1)[2] - prose: - """ - reviews and updates the current planning policy with the - organization-defined frequency; - """ - - - id: pl-1.b.2_obj - name: objective - properties: - - - name: label - value: PL-1(b)(2) - parts: - - - id: pl-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: PL-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current planning procedures; - and - """ - - - id: pl-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: PL-1(b)(2)[2] - prose: - """ - reviews and updates the current planning procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: pl-2 - class: SP800-53 - title: System Security Plan - parameters: - - - id: pl-2_prm_1 - label: organization-defined personnel or roles - - - id: pl-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: label - value: PL-2 - - - name: sort-id - value: pl-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-2_smt - name: statement - prose: The organization: - parts: - - - id: pl-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a security plan for the information system that: - parts: - - - id: pl-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Is consistent with the organization’s enterprise architecture; - - - id: pl-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Explicitly defines the authorization boundary for the system; - - - id: pl-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Provides an overview of the security requirements for the system; - - - id: pl-2_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: Identifies any relevant overlays, if applicable; - - - id: pl-2_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: - """ - Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and - """ - - - id: pl-2_smt.a.9 - name: item - properties: - - - name: label - value: 9. - prose: - """ - Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Distributes copies of the security plan and communicates subsequent changes to the - plan to {{ pl-2_prm_1 }}; - """ - - - id: pl-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the security plan for the information system {{ pl-2_prm_2 }}; - - - id: pl-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and - """ - - - id: pl-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: Protects the security plan from unauthorized disclosure and modification. - - - id: pl-2_gdn - name: guidance - prose: - """ - Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-7 - rel: related - text: PL-7 - - - href: #pm-1 - rel: related - text: PM-1 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-11 - rel: related - text: PM-11 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-17 - rel: related - text: SA-17 - - - id: pl-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-2.a_obj - name: objective - properties: - - - name: label - value: PL-2(a) - prose: develops a security plan for the information system that: - parts: - - - id: pl-2.a.1_obj - name: objective - properties: - - - name: label - value: PL-2(a)(1) - prose: is consistent with the organization’s enterprise architecture; - - - id: pl-2.a.2_obj - name: objective - properties: - - - name: label - value: PL-2(a)(2) - prose: explicitly defines the authorization boundary for the system; - - - id: pl-2.a.3_obj - name: objective - properties: - - - name: label - value: PL-2(a)(3) - prose: - """ - describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2.a.4_obj - name: objective - properties: - - - name: label - value: PL-2(a)(4) - prose: - """ - provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2.a.5_obj - name: objective - properties: - - - name: label - value: PL-2(a)(5) - prose: - """ - describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2.a.6_obj - name: objective - properties: - - - name: label - value: PL-2(a)(6) - prose: provides an overview of the security requirements for the system; - - - id: pl-2.a.7_obj - name: objective - properties: - - - name: label - value: PL-2(a)(7) - prose: identifies any relevant overlays, if applicable; - - - id: pl-2.a.8_obj - name: objective - properties: - - - name: label - value: PL-2(a)(8) - prose: - """ - describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions; - """ - - - id: pl-2.a.9_obj - name: objective - properties: - - - name: label - value: PL-2(a)(9) - prose: - """ - is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2.b_obj - name: objective - properties: - - - name: label - value: PL-2(b) - parts: - - - id: pl-2.b_obj.1 - name: objective - properties: - - - name: label - value: PL-2(b)[1] - prose: - """ - defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated; - """ - - - id: pl-2.b_obj.2 - name: objective - properties: - - - name: label - value: PL-2(b)[2] - prose: - """ - distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles; - """ - - - id: pl-2.c_obj - name: objective - properties: - - - name: label - value: PL-2(c) - parts: - - - id: pl-2.c_obj.1 - name: objective - properties: - - - name: label - value: PL-2(c)[1] - prose: - """ - defines the frequency to review the security plan for the information - system; - """ - - - id: pl-2.c_obj.2 - name: objective - properties: - - - name: label - value: PL-2(c)[2] - prose: - """ - reviews the security plan for the information system with the - organization-defined frequency; - """ - - - id: pl-2.d_obj - name: objective - properties: - - - name: label - value: PL-2(d) - prose: updates the plan to address: - parts: - - - id: pl-2.d_obj.1 - name: objective - properties: - - - name: label - value: PL-2(d)[1] - prose: changes to the information system/environment of operation; - - - id: pl-2.d_obj.2 - name: objective - properties: - - - name: label - value: PL-2(d)[2] - prose: problems identified during plan implementation; - - - id: pl-2.d_obj.3 - name: objective - properties: - - - name: label - value: PL-2(d)[3] - prose: problems identified during security control assessments; - - - id: pl-2.e_obj - name: objective - properties: - - - name: label - value: PL-2(e) - prose: protects the security plan from unauthorized: - parts: - - - id: pl-2.e_obj.1 - name: objective - properties: - - - name: label - value: PL-2(e)[1] - prose: disclosure; and - - - id: pl-2.e_obj.2 - name: objective - properties: - - - name: label - value: PL-2(e)[2] - prose: modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing security plan development and implementation\n\nprocedures addressing security plan reviews and updates\n\nenterprise architecture documentation\n\nsecurity plan for the information system\n\nrecords of security plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security plan development/review/update/approval\n\nautomated mechanisms supporting the information system security plan - - - id: pl-4 - class: SP800-53 - title: Rules of Behavior - parameters: - - - id: pl-4_prm_1 - label: organization-defined frequency - properties: - - - name: label - value: PL-4 - - - name: sort-id - value: pl-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-4_smt - name: statement - prose: The organization: - parts: - - - id: pl-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage; - """ - - - id: pl-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and - - - id: pl-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated. - """ - - - id: pl-4_gdn - name: guidance - prose: - """ - This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #mp-7 - rel: related - text: MP-7 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #ps-8 - rel: related - text: PS-8 - - - href: #sa-5 - rel: related - text: SA-5 - - - id: pl-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-4.a_obj - name: objective - properties: - - - name: label - value: PL-4(a) - parts: - - - id: pl-4.a_obj.1 - name: objective - properties: - - - name: label - value: PL-4(a)[1] - prose: - """ - establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage; - """ - - - id: pl-4.a_obj.2 - name: objective - properties: - - - name: label - value: PL-4(a)[2] - prose: - """ - makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage; - """ - - - id: pl-4.b_obj - name: objective - properties: - - - name: label - value: PL-4(b) - prose: - """ - receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4.c_obj - name: objective - properties: - - - name: label - value: PL-4(c) - parts: - - - id: pl-4.c_obj.1 - name: objective - properties: - - - name: label - value: PL-4(c)[1] - prose: defines the frequency to review and update the rules of behavior; - - - id: pl-4.c_obj.2 - name: objective - properties: - - - name: label - value: PL-4(c)[2] - prose: - """ - reviews and updates the rules of behavior with the organization-defined - frequency; and - """ - - - id: pl-4.d_obj - name: objective - properties: - - - name: label - value: PL-4(d) - prose: - """ - requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing rules of behavior for information system users\n\nrules of behavior\n\nsigned acknowledgements\n\nrecords for rules of behavior reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior\n\norganizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior - """ - - - id: ps - class: family - title: Personnel Security - controls: - - - id: ps-1 - class: SP800-53 - title: Personnel Security Policy and Procedures - parameters: - - - id: ps-1_prm_1 - label: organization-defined personnel or roles - - - id: ps-1_prm_2 - label: organization-defined frequency - - - id: ps-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: PS-1 - - - name: sort-id - value: ps-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ps-1_smt - name: statement - prose: The organization: - parts: - - - id: ps-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ps-1_prm_1 }}: - parts: - - - id: ps-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ps-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and - """ - - - id: ps-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ps-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Personnel security policy {{ ps-1_prm_2 }}; and - - - id: ps-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Personnel security procedures {{ ps-1_prm_3 }}. - - - id: ps-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ps-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-1.a_obj - name: objective - properties: - - - name: label - value: PS-1(a) - parts: - - - id: ps-1.a.1_obj - name: objective - properties: - - - name: label - value: PS-1(a)(1) - parts: - - - id: ps-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1] - prose: develops and documents an personnel security policy that addresses: - parts: - - - id: ps-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][a] - prose: purpose; - - - id: ps-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][b] - prose: scope; - - - id: ps-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][c] - prose: roles; - - - id: ps-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][d] - prose: responsibilities; - - - id: ps-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][e] - prose: management commitment; - - - id: ps-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ps-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][g] - prose: compliance; - - - id: ps-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: PS-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the personnel security policy is to be - disseminated; - """ - - - id: ps-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: PS-1(a)(1)[3] - prose: - """ - disseminates the personnel security policy to organization-defined personnel - or roles; - """ - - - id: ps-1.a.2_obj - name: objective - properties: - - - name: label - value: PS-1(a)(2) - parts: - - - id: ps-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: PS-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls; - """ - - - id: ps-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: PS-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ps-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: PS-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ps-1.b_obj - name: objective - properties: - - - name: label - value: PS-1(b) - parts: - - - id: ps-1.b.1_obj - name: objective - properties: - - - name: label - value: PS-1(b)(1) - parts: - - - id: ps-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: PS-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current personnel security - policy; - """ - - - id: ps-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: PS-1(b)(1)[2] - prose: - """ - reviews and updates the current personnel security policy with the - organization-defined frequency; - """ - - - id: ps-1.b.2_obj - name: objective - properties: - - - name: label - value: PS-1(b)(2) - parts: - - - id: ps-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: PS-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current personnel security - procedures; and - """ - - - id: ps-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: PS-1(b)(2)[2] - prose: - """ - reviews and updates the current personnel security procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ps-2 - class: SP800-53 - title: Position Risk Designation - parameters: - - - id: ps-2_prm_1 - label: organization-defined frequency - properties: - - - name: label - value: PS-2 - - - name: sort-id - value: ps-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - parts: - - - id: ps-2_smt - name: statement - prose: The organization: - parts: - - - id: ps-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Assigns a risk designation to all organizational positions; - - - id: ps-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishes screening criteria for individuals filling those positions; and - - - id: ps-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates position risk designations {{ ps-2_prm_1 }}. - - - id: ps-2_gdn - name: guidance - prose: - """ - Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances). - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: ps-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-2.a_obj - name: objective - properties: - - - name: label - value: PS-2(a) - prose: assigns a risk designation to all organizational positions; - - - id: ps-2.b_obj - name: objective - properties: - - - name: label - value: PS-2(b) - prose: establishes screening criteria for individuals filling those positions; - - - id: ps-2.c_obj - name: objective - properties: - - - name: label - value: PS-2(c) - parts: - - - id: ps-2.c_obj.1 - name: objective - properties: - - - name: label - value: PS-2(c)[1] - prose: defines the frequency to review and update position risk designations; and - - - id: ps-2.c_obj.2 - name: objective - properties: - - - name: label - value: PS-2(c)[2] - prose: - """ - reviews and updates position risk designations with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing position categorization\n\nappropriate codes of federal regulations\n\nlist of risk designations for organizational positions\n\nsecurity plan\n\nrecords of position risk designation reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for assigning, reviewing, and updating position risk - designations\n\norganizational processes for establishing screening criteria - """ - - - id: ps-3 - class: SP800-53 - title: Personnel Screening - parameters: - - - id: ps-3_prm_1 - label: - """ - organization-defined conditions requiring rescreening and, where rescreening is - so indicated, the frequency of such rescreening - """ - constraints: - - - detail: For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - properties: - - - name: label - value: PS-3 - - - name: sort-id - value: ps-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - parts: - - - id: ps-3_smt - name: statement - prose: The organization: - parts: - - - id: ps-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Screens individuals prior to authorizing access to the information system; and - - - id: ps-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Rescreens individuals according to {{ ps-3_prm_1 }}. - - - id: ps-3_gdn - name: guidance - prose: - """ - Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-2 - rel: related - text: PS-2 - - - id: ps-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-3.a_obj - name: objective - properties: - - - name: label - value: PS-3(a) - prose: screens individuals prior to authorizing access to the information system; - - - id: ps-3.b_obj - name: objective - properties: - - - name: label - value: PS-3(b) - parts: - - - id: ps-3.b_obj.1 - name: objective - properties: - - - name: label - value: PS-3(b)[1] - prose: defines conditions requiring re-screening; - - - id: ps-3.b_obj.2 - name: objective - properties: - - - name: label - value: PS-3(b)[2] - prose: defines the frequency of re-screening where it is so indicated; and - - - id: ps-3.b_obj.3 - name: objective - properties: - - - name: label - value: PS-3(b)[3] - prose: - """ - re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for personnel screening - - - id: ps-4 - class: SP800-53 - title: Personnel Termination - parameters: - - - id: ps-4_prm_1 - label: organization-defined time period - - - id: ps-4_prm_2 - label: organization-defined information security topics - - - id: ps-4_prm_3 - label: organization-defined personnel or roles - - - id: ps-4_prm_4 - label: organization-defined time period - properties: - - - name: label - value: PS-4 - - - name: sort-id - value: ps-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ps-4_smt - name: statement - prose: The organization, upon termination of individual employment: - parts: - - - id: ps-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Disables information system access within {{ ps-4_prm_1 }}; - - - id: ps-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }}; - - - id: ps-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Retains access to organizational information and information systems formerly - controlled by terminated individual; and - """ - - - id: ps-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}. - - - id: ps-4_gdn - name: guidance - prose: - """ - Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-4_obj - name: objective - prose: Determine if the organization, upon termination of individual employment,: - parts: - - - id: ps-4.a_obj - name: objective - properties: - - - name: label - value: PS-4(a) - parts: - - - id: ps-4.a_obj.1 - name: objective - properties: - - - name: label - value: PS-4(a)[1] - prose: defines a time period within which to disable information system access; - - - id: ps-4.a_obj.2 - name: objective - properties: - - - name: label - value: PS-4(a)[2] - prose: - """ - disables information system access within the organization-defined time - period; - """ - - - id: ps-4.b_obj - name: objective - properties: - - - name: label - value: PS-4(b) - prose: - """ - terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4.c_obj - name: objective - properties: - - - name: label - value: PS-4(c) - parts: - - - id: ps-4.c_obj.1 - name: objective - properties: - - - name: label - value: PS-4(c)[1] - prose: - """ - defines information security topics to be discussed when conducting exit - interviews; - """ - - - id: ps-4.c_obj.2 - name: objective - properties: - - - name: label - value: PS-4(c)[2] - prose: - """ - conducts exit interviews that include a discussion of organization-defined - information security topics; - """ - - - id: ps-4.d_obj - name: objective - properties: - - - name: label - value: PS-4(d) - prose: - """ - retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4.e_obj - name: objective - properties: - - - name: label - value: PS-4(e) - prose: - """ - retains access to organizational information and information systems formerly - controlled by the terminated individual; - """ - - - id: ps-4.f_obj - name: objective - properties: - - - name: label - value: PS-4(f) - parts: - - - id: ps-4.f_obj.1 - name: objective - properties: - - - name: label - value: PS-4(f)[1] - prose: defines personnel or roles to be notified of the termination; - - - id: ps-4.f_obj.2 - name: objective - properties: - - - name: label - value: PS-4(f)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles; and - """ - - - id: ps-4.f_obj.3 - name: objective - properties: - - - name: label - value: PS-4(f)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel termination\n\nrecords of personnel termination actions\n\nlist of information system accounts\n\nrecords of terminated or revoked authenticators/credentials\n\nrecords of exit interviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-5 - class: SP800-53 - title: Personnel Transfer - parameters: - - - id: ps-5_prm_1 - label: organization-defined transfer or reassignment actions - - - id: ps-5_prm_2 - label: organization-defined time period following the formal transfer action - - - id: ps-5_prm_3 - label: organization-defined personnel or roles - - - id: ps-5_prm_4 - label: organization-defined time period - properties: - - - name: label - value: PS-5 - - - name: sort-id - value: ps-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ps-5_smt - name: statement - prose: The organization: - parts: - - - id: ps-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization; - """ - - - id: ps-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }}; - - - id: ps-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and - """ - - - id: ps-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}. - - - id: ps-5_gdn - name: guidance - prose: - """ - This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-4 - rel: related - text: PS-4 - - - id: ps-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-5.a_obj - name: objective - properties: - - - name: label - value: PS-5(a) - prose: - """ - when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current: - """ - parts: - - - id: ps-5.a_obj.1 - name: objective - properties: - - - name: label - value: PS-5(a)[1] - prose: logical access authorizations to information systems; - - - id: ps-5.a_obj.2 - name: objective - properties: - - - name: label - value: PS-5(a)[2] - prose: physical access authorizations to information systems and facilities; - - - id: ps-5.b_obj - name: objective - properties: - - - name: label - value: PS-5(b) - parts: - - - id: ps-5.b_obj.1 - name: objective - properties: - - - name: label - value: PS-5(b)[1] - prose: - """ - defines transfer or reassignment actions to be initiated following transfer or - reassignment; - """ - - - id: ps-5.b_obj.2 - name: objective - properties: - - - name: label - value: PS-5(b)[2] - prose: - """ - defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment; - """ - - - id: ps-5.b_obj.3 - name: objective - properties: - - - name: label - value: PS-5(b)[3] - prose: - """ - initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment; - """ - - - id: ps-5.c_obj - name: objective - properties: - - - name: label - value: PS-5(c) - prose: - """ - modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; - """ - - - id: ps-5.d_obj - name: objective - properties: - - - name: label - value: PS-5(d) - parts: - - - id: ps-5.d_obj.1 - name: objective - properties: - - - name: label - value: PS-5(d)[1] - prose: - """ - defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization; - """ - - - id: ps-5.d_obj.2 - name: objective - properties: - - - name: label - value: PS-5(d)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and - """ - - - id: ps-5.d_obj.3 - name: objective - properties: - - - name: label - value: PS-5(d)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel transfer\n\nsecurity plan\n\nrecords of personnel transfer actions\n\nlist of information system and facility access authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel transfer\n\nautomated mechanisms supporting and/or implementing personnel transfer - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-6 - class: SP800-53 - title: Access Agreements - parameters: - - - id: ps-6_prm_1 - label: organization-defined frequency - - - id: ps-6_prm_2 - label: organization-defined frequency - properties: - - - name: label - value: PS-6 - - - name: sort-id - value: ps-06 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ps-6_smt - name: statement - prose: The organization: - parts: - - - id: ps-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the access agreements {{ ps-6_prm_1 }}; and - - - id: ps-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that individuals requiring access to organizational information and - information systems: - """ - parts: - - - id: ps-6_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: Sign appropriate access agreements prior to being granted access; and - - - id: ps-6_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or {{ ps-6_prm_2 }}. - """ - - - id: ps-6_gdn - name: guidance - prose: - """ - Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-8 - rel: related - text: PS-8 - - - id: ps-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-6.a_obj - name: objective - properties: - - - name: label - value: PS-6(a) - prose: - """ - develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6.b_obj - name: objective - properties: - - - name: label - value: PS-6(b) - parts: - - - id: ps-6.b_obj.1 - name: objective - properties: - - - name: label - value: PS-6(b)[1] - prose: defines the frequency to review and update the access agreements; - - - id: ps-6.b_obj.2 - name: objective - properties: - - - name: label - value: PS-6(b)[2] - prose: - """ - reviews and updates the access agreements with the organization-defined - frequency; - """ - - - id: ps-6.c_obj - name: objective - properties: - - - name: label - value: PS-6(c) - parts: - - - id: ps-6.c.1_obj - name: objective - properties: - - - name: label - value: PS-6(c)(1) - prose: - """ - ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access; - """ - - - id: ps-6.c.2_obj - name: objective - properties: - - - name: label - value: PS-6(c)(2) - parts: - - - id: ps-6.c.2_obj.1 - name: objective - properties: - - - name: label - value: PS-6(c)(2)[1] - prose: - """ - defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated; - """ - - - id: ps-6.c.2_obj.2 - name: objective - properties: - - - name: label - value: PS-6(c)(2)[2] - prose: - """ - ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Personnel security policy\n\nprocedures addressing access agreements for organizational information and - information systems\n\nsecurity plan\n\naccess agreements\n\nrecords of access agreement reviews and updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed/resigned access agreements\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for access agreements\n\nautomated mechanisms supporting access agreements - - - id: ps-7 - class: SP800-53 - title: Third-party Personnel Security - parameters: - - - id: ps-7_prm_1 - label: organization-defined personnel or roles - - - id: ps-7_prm_2 - label: organization-defined time period - properties: - - - name: label - value: PS-7 - - - name: sort-id - value: ps-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: ps-7_smt - name: statement - prose: The organization: - parts: - - - id: ps-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes personnel security requirements including security roles and - responsibilities for third-party providers; - """ - - - id: ps-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: Documents personnel security requirements; - - - id: ps-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires third-party providers to notify {{ ps-7_prm_1 }} of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within {{ ps-7_prm_2 }}; and - """ - - - id: ps-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: Monitors provider compliance. - - - id: ps-7_gdn - name: guidance - prose: - """ - Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated. - """ - links: - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sa-21 - rel: related - text: SA-21 - - - id: ps-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-7.a_obj - name: objective - properties: - - - name: label - value: PS-7(a) - prose: - """ - establishes personnel security requirements, including security roles and - responsibilities, for third-party providers; - """ - - - id: ps-7.b_obj - name: objective - properties: - - - name: label - value: PS-7(b) - prose: - """ - requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7.c_obj - name: objective - properties: - - - name: label - value: PS-7(c) - prose: documents personnel security requirements; - - - id: ps-7.d_obj - name: objective - properties: - - - name: label - value: PS-7(d) - parts: - - - id: ps-7.d_obj.1 - name: objective - properties: - - - name: label - value: PS-7(d)[1] - prose: - """ - defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.2 - name: objective - properties: - - - name: label - value: PS-7(d)[2] - prose: - """ - defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.3 - name: objective - properties: - - - name: label - value: PS-7(d)[3] - prose: - """ - requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and - """ - - - id: ps-7.e_obj - name: objective - properties: - - - name: label - value: PS-7(e) - prose: monitors provider compliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing third-party personnel security\n\nlist of personnel security requirements\n\nacquisition documents\n\nservice-level agreements\n\ncompliance monitoring process\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\nthird-party providers\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing and monitoring third-party personnel - security\n\nautomated mechanisms supporting and/or implementing monitoring of provider - compliance - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Attestation - Specifically stating that any third-party security personnel are - treated as CSP employees. - """ - - - id: ps-8 - class: SP800-53 - title: Personnel Sanctions - parameters: - - - id: ps-8_prm_1 - label: organization-defined personnel or roles - - - id: ps-8_prm_2 - label: organization-defined time period - properties: - - - name: label - value: PS-8 - - - name: sort-id - value: ps-08 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: ps-8_smt - name: statement - prose: The organization: - parts: - - - id: ps-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and - """ - - - id: ps-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }} - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction. - """ - - - id: ps-8_gdn - name: guidance - prose: - """ - Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-8.a_obj - name: objective - properties: - - - name: label - value: PS-8(a) - prose: - """ - employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; - """ - - - id: ps-8.b_obj - name: objective - properties: - - - name: label - value: PS-8(b) - parts: - - - id: ps-8.b_obj.1 - name: objective - properties: - - - name: label - value: PS-8(b)[1] - prose: - """ - defines personnel or roles to be notified when a formal employee sanctions - process is initiated; - """ - - - id: ps-8.b_obj.2 - name: objective - properties: - - - name: label - value: PS-8(b)[2] - prose: - """ - defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and - """ - - - id: ps-8.b_obj.3 - name: objective - properties: - - - name: label - value: PS-8(b)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel sanctions\n\nrules of behavior\n\nrecords of formal sanctions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing personnel sanctions\n\nautomated mechanisms supporting and/or implementing notifications - - - id: ra - class: family - title: Risk Assessment - controls: - - - id: ra-1 - class: SP800-53 - title: Risk Assessment Policy and Procedures - parameters: - - - id: ra-1_prm_1 - label: organization-defined personnel or roles - - - id: ra-1_prm_2 - label: organization-defined frequency - - - id: ra-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: RA-1 - - - name: sort-id - value: ra-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ra-1_smt - name: statement - prose: The organization: - parts: - - - id: ra-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ra-1_prm_1 }}: - parts: - - - id: ra-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ra-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and - """ - - - id: ra-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ra-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Risk assessment policy {{ ra-1_prm_2 }}; and - - - id: ra-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Risk assessment procedures {{ ra-1_prm_3 }}. - - - id: ra-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-1.a_obj - name: objective - properties: - - - name: label - value: RA-1(a) - parts: - - - id: ra-1.a.1_obj - name: objective - properties: - - - name: label - value: RA-1(a)(1) - parts: - - - id: ra-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1] - prose: develops and documents a risk assessment policy that addresses: - parts: - - - id: ra-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][a] - prose: purpose; - - - id: ra-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][b] - prose: scope; - - - id: ra-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][c] - prose: roles; - - - id: ra-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ra-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][e] - prose: management commitment; - - - id: ra-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ra-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][g] - prose: compliance; - - - id: ra-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: RA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the risk assessment policy is to be - disseminated; - """ - - - id: ra-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: RA-1(a)(1)[3] - prose: - """ - disseminates the risk assessment policy to organization-defined personnel or - roles; - """ - - - id: ra-1.a.2_obj - name: objective - properties: - - - name: label - value: RA-1(a)(2) - parts: - - - id: ra-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: RA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls; - """ - - - id: ra-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: RA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ra-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: RA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ra-1.b_obj - name: objective - properties: - - - name: label - value: RA-1(b) - parts: - - - id: ra-1.b.1_obj - name: objective - properties: - - - name: label - value: RA-1(b)(1) - parts: - - - id: ra-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: RA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - policy; - """ - - - id: ra-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: RA-1(b)(1)[2] - prose: - """ - reviews and updates the current risk assessment policy with the - organization-defined frequency; - """ - - - id: ra-1.b.2_obj - name: objective - properties: - - - name: label - value: RA-1(b)(2) - parts: - - - id: ra-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: RA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - procedures; and - """ - - - id: ra-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: RA-1(b)(2)[2] - prose: - """ - reviews and updates the current risk assessment procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: risk assessment policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ra-2 - class: SP800-53 - title: Security Categorization - properties: - - - name: label - value: RA-2 - - - name: sort-id - value: ra-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - parts: - - - id: ra-2_smt - name: statement - prose: The organization: - parts: - - - id: ra-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision. - """ - - - id: ra-2_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted. - """ - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: ra-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-2.a_obj - name: objective - properties: - - - name: label - value: RA-2(a) - prose: - """ - categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2.b_obj - name: objective - properties: - - - name: label - value: RA-2(b) - prose: - """ - documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2.c_obj - name: objective - properties: - - - name: label - value: RA-2(c) - prose: - """ - ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing security categorization of organizational information and - information systems\n\nsecurity plan\n\nsecurity categorization documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security categorization and risk assessment - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security categorization - - - id: ra-3 - class: SP800-53 - title: Risk Assessment - parameters: - - - id: ra-3_prm_1 - - - id: ra-3_prm_2 - depends-on: ra-3_prm_1 - label: organization-defined document - constraints: - - - detail: security assessment report - - - id: ra-3_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - - - id: ra-3_prm_4 - label: organization-defined personnel or roles - - - id: ra-3_prm_5 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - properties: - - - name: label - value: RA-3 - - - name: sort-id - value: ra-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ra-3_smt - name: statement - prose: The organization: - parts: - - - id: ra-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits; - """ - - - id: ra-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Documents risk assessment results in {{ ra-3_prm_1 }}; - - - id: ra-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews risk assessment results {{ ra-3_prm_3 }}; - - - id: ra-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Disseminates risk assessment results to {{ ra-3_prm_4 }}; and - - - id: ra-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system. - """ - - - id: ra-3_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation. - """ - links: - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-3.a_obj - name: objective - properties: - - - name: label - value: RA-3(a) - prose: - """ - conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of: - """ - parts: - - - id: ra-3.a_obj.1 - name: objective - properties: - - - name: label - value: RA-3(a)[1] - prose: the information system; - - - id: ra-3.a_obj.2 - name: objective - properties: - - - name: label - value: RA-3(a)[2] - prose: the information the system processes, stores, or transmits; - - - id: ra-3.b_obj - name: objective - properties: - - - name: label - value: RA-3(b) - parts: - - - id: ra-3.b_obj.1 - name: objective - properties: - - - name: label - value: RA-3(b)[1] - prose: - """ - defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report); - """ - - - id: ra-3.b_obj.2 - name: objective - properties: - - - name: label - value: RA-3(b)[2] - prose: documents risk assessment results in one of the following: - parts: - - - id: ra-3.b_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(b)[2][a] - prose: the security plan; - - - id: ra-3.b_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(b)[2][b] - prose: the risk assessment report; or - - - id: ra-3.b_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(b)[2][c] - prose: the organization-defined document; - - - id: ra-3.c_obj - name: objective - properties: - - - name: label - value: RA-3(c) - parts: - - - id: ra-3.c_obj.1 - name: objective - properties: - - - name: label - value: RA-3(c)[1] - prose: defines the frequency to review risk assessment results; - - - id: ra-3.c_obj.2 - name: objective - properties: - - - name: label - value: RA-3(c)[2] - prose: reviews risk assessment results with the organization-defined frequency; - - - id: ra-3.d_obj - name: objective - properties: - - - name: label - value: RA-3(d) - parts: - - - id: ra-3.d_obj.1 - name: objective - properties: - - - name: label - value: RA-3(d)[1] - prose: - """ - defines personnel or roles to whom risk assessment results are to be - disseminated; - """ - - - id: ra-3.d_obj.2 - name: objective - properties: - - - name: label - value: RA-3(d)[2] - prose: - """ - disseminates risk assessment results to organization-defined personnel or - roles; - """ - - - id: ra-3.e_obj - name: objective - properties: - - - name: label - value: RA-3(e) - parts: - - - id: ra-3.e_obj.1 - name: objective - properties: - - - name: label - value: RA-3(e)[1] - prose: defines the frequency to update the risk assessment; - - - id: ra-3.e_obj.2 - name: objective - properties: - - - name: label - value: RA-3(e)[2] - prose: updates the risk assessment: - parts: - - - id: ra-3.e_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(e)[2][a] - prose: with the organization-defined frequency; - - - id: ra-3.e_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(e)[2][b] - prose: - """ - whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and - """ - - - id: ra-3.e_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(e)[2][c] - prose: - """ - whenever there are other conditions that may impact the security state of - the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nsecurity plan\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment - """ - - - id: ra-3_fr - name: item - title: RA-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F - """ - - - id: ra-3_fr_smt.d - name: item - properties: - - - name: label - value: RA-3 (d) Requirement: - prose: - """ - Include all Authorizing Officials; for JAB authorizations to include - FedRAMP. - """ - - - id: ra-5 - class: SP800-53 - title: Vulnerability Scanning - parameters: - - - id: ra-5_prm_1 - label: - """ - organization-defined frequency and/or randomly in accordance with - organization-defined process - """ - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - - - id: ra-5_prm_2 - label: organization-defined response times - constraints: - - - detail: [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - id: ra-5_prm_3 - label: organization-defined personnel or roles - properties: - - - name: label - value: RA-5 - - - name: sort-id - value: ra-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #15522e92-9192-463d-9646-6a01982db8ca - rel: reference - text: http://cwe.mitre.org - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - parts: - - - id: ra-5_smt - name: statement - prose: The organization: - parts: - - - id: ra-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Scans for vulnerabilities in the information system and hosted applications - {{ ra-5_prm_1 }} and when new vulnerabilities potentially - affecting the system/applications are identified and reported; - """ - - - id: ra-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Enumerating platforms, software flaws, and improper configurations; - - - id: ra-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Formatting checklists and test procedures; and - - - id: ra-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: Measuring vulnerability impact; - - - id: ra-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Analyzes vulnerability scan reports and results from security control - assessments; - """ - - - id: ra-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in - accordance with an organizational assessment of risk; and - """ - - - id: ra-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Shares information obtained from the vulnerability scanning process and security - control assessments with {{ ra-5_prm_3 }} to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - id: ra-5_gdn - name: guidance - prose: - """ - Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS). - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ra-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.a_obj - name: objective - properties: - - - name: label - value: RA-5(a) - parts: - - - id: ra-5.a_obj.1 - name: objective - properties: - - - name: label - value: RA-5(a)[1] - parts: - - - id: ra-5.a_obj.1.a - name: objective - properties: - - - name: label - value: RA-5(a)[1][a] - prose: - """ - defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or - """ - - - id: ra-5.a_obj.1.b - name: objective - properties: - - - name: label - value: RA-5(a)[1][b] - prose: - """ - defines the process for conducting random vulnerability scans on the - information system and hosted applications; - """ - - - id: ra-5.a_obj.2 - name: objective - properties: - - - name: label - value: RA-5(a)[2] - prose: - """ - in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.2.a - name: objective - properties: - - - name: label - value: RA-5(a)[2][a] - prose: the information system; - - - id: ra-5.a_obj.2.b - name: objective - properties: - - - name: label - value: RA-5(a)[2][b] - prose: hosted applications; - - - id: ra-5.a_obj.3 - name: objective - properties: - - - name: label - value: RA-5(a)[3] - prose: - """ - when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.3.a - name: objective - properties: - - - name: label - value: RA-5(a)[3][a] - prose: the information system; - - - id: ra-5.a_obj.3.b - name: objective - properties: - - - name: label - value: RA-5(a)[3][b] - prose: hosted applications; - - - id: ra-5.b_obj - name: objective - properties: - - - name: label - value: RA-5(b) - prose: - """ - employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5.b.1_obj - name: objective - properties: - - - name: label - value: RA-5(b)(1) - parts: - - - id: ra-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[1] - prose: enumerating platforms; - - - id: ra-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[2] - prose: enumerating software flaws; - - - id: ra-5.b.1_obj.3 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[3] - prose: enumerating improper configurations; - - - id: ra-5.b.2_obj - name: objective - properties: - - - name: label - value: RA-5(b)(2) - parts: - - - id: ra-5.b.2_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[1] - prose: formatting checklists; - - - id: ra-5.b.2_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[2] - prose: formatting test procedures; - - - id: ra-5.b.3_obj - name: objective - properties: - - - name: label - value: RA-5(b)(3) - prose: measuring vulnerability impact; - - - id: ra-5.c_obj - name: objective - properties: - - - name: label - value: RA-5(c) - parts: - - - id: ra-5.c_obj.1 - name: objective - properties: - - - name: label - value: RA-5(c)[1] - prose: analyzes vulnerability scan reports; - - - id: ra-5.c_obj.2 - name: objective - properties: - - - name: label - value: RA-5(c)[2] - prose: analyzes results from security control assessments; - - - id: ra-5.d_obj - name: objective - properties: - - - name: label - value: RA-5(d) - parts: - - - id: ra-5.d_obj.1 - name: objective - properties: - - - name: label - value: RA-5(d)[1] - prose: - """ - defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk; - """ - - - id: ra-5.d_obj.2 - name: objective - properties: - - - name: label - value: RA-5(d)[2] - prose: - """ - remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk; - """ - - - id: ra-5.e_obj - name: objective - properties: - - - name: label - value: RA-5(e) - parts: - - - id: ra-5.e_obj.1 - name: objective - properties: - - - name: label - value: RA-5(e)[1] - prose: - """ - defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared; - """ - - - id: ra-5.e_obj.2 - name: objective - properties: - - - name: label - value: RA-5(e)[2] - prose: - """ - shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and - """ - - - id: ra-5.e_obj.3 - name: objective - properties: - - - name: label - value: RA-5(e)[3] - prose: - """ - shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with vulnerability remediation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing\n\nautomated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing - """ - - - id: ra-5_fr_smt.a - name: item - title: RA-5(a) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (a)Requirement: - prose: - """ - An accredited independent assessor scans operating systems/infrastructure, web - applications, and databases once annually. - """ - - - id: ra-5_fr_smt.e - name: item - title: RA-5(e) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (e)Requirement: - prose: - """ - To include all Authorizing Officials; for JAB authorizations to include - FedRAMP. - """ - - - id: ra-5_fr - name: item - title: RA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - - **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)) - """ - - - id: sa - class: family - title: System and Services Acquisition - controls: - - - id: sa-1 - class: SP800-53 - title: System and Services Acquisition Policy and Procedures - parameters: - - - id: sa-1_prm_1 - label: organization-defined personnel or roles - - - id: sa-1_prm_2 - label: organization-defined frequency - - - id: sa-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: SA-1 - - - name: sort-id - value: sa-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sa-1_smt - name: statement - prose: The organization: - parts: - - - id: sa-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sa-1_prm_1 }}: - parts: - - - id: sa-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: sa-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and - """ - - - id: sa-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sa-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System and services acquisition policy {{ sa-1_prm_2 }}; and - - - id: sa-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and services acquisition procedures {{ sa-1_prm_3 }}. - - - id: sa-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sa-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-1.a_obj - name: objective - properties: - - - name: label - value: SA-1(a) - parts: - - - id: sa-1.a.1_obj - name: objective - properties: - - - name: label - value: SA-1(a)(1) - parts: - - - id: sa-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1] - prose: - """ - develops and documents a system and services acquisition policy that - addresses: - """ - parts: - - - id: sa-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][a] - prose: purpose; - - - id: sa-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][b] - prose: scope; - - - id: sa-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][c] - prose: roles; - - - id: sa-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][d] - prose: responsibilities; - - - id: sa-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][e] - prose: management commitment; - - - id: sa-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sa-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][g] - prose: compliance; - - - id: sa-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: SA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and services acquisition - policy is to be disseminated; - """ - - - id: sa-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: SA-1(a)(1)[3] - prose: - """ - disseminates the system and services acquisition policy to - organization-defined personnel or roles; - """ - - - id: sa-1.a.2_obj - name: objective - properties: - - - name: label - value: SA-1(a)(2) - parts: - - - id: sa-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: SA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls; - """ - - - id: sa-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: SA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sa-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: SA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sa-1.b_obj - name: objective - properties: - - - name: label - value: SA-1(b) - parts: - - - id: sa-1.b.1_obj - name: objective - properties: - - - name: label - value: SA-1(b)(1) - parts: - - - id: sa-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: SA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition policy; - """ - - - id: sa-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: SA-1(b)(1)[2] - prose: - """ - reviews and updates the current system and services acquisition policy with - the organization-defined frequency; - """ - - - id: sa-1.b.2_obj - name: objective - properties: - - - name: label - value: SA-1(b)(2) - parts: - - - id: sa-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: SA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition procedures; and - """ - - - id: sa-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: SA-1(b)(2)[2] - prose: - """ - reviews and updates the current system and services acquisition procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and services acquisition policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities - - - id: sa-2 - class: SP800-53 - title: Allocation of Resources - properties: - - - name: label - value: SA-2 - - - name: sort-id - value: sa-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #29fcfe59-33cd-494a-8756-5907ae3a8f92 - rel: reference - text: NIST Special Publication 800-65 - parts: - - - id: sa-2_smt - name: statement - prose: The organization: - parts: - - - id: sa-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and - """ - - - id: sa-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - id: sa-2_gdn - name: guidance - prose: - """ - Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service. - """ - links: - - - href: #pm-3 - rel: related - text: PM-3 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: sa-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-2.a_obj - name: objective - properties: - - - name: label - value: SA-2(a) - prose: - """ - determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2.b_obj - name: objective - properties: - - - name: label - value: SA-2(b) - prose: - """ - to protect the information system or information system service as part of its - capital planning and investment control process: - """ - parts: - - - id: sa-2.b_obj.1 - name: objective - properties: - - - name: label - value: SA-2(b)[1] - prose: determines the resources required; - - - id: sa-2.b_obj.2 - name: objective - properties: - - - name: label - value: SA-2(b)[2] - prose: documents the resources required; - - - id: sa-2.b_obj.3 - name: objective - properties: - - - name: label - value: SA-2(b)[3] - prose: allocates the resources required; and - - - id: sa-2.c_obj - name: objective - properties: - - - name: label - value: SA-2(c) - prose: - """ - establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the allocation of resources to information security - requirements\n\nprocedures addressing capital planning and investment control\n\norganizational programming and budgeting documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities\n\norganizational personnel responsible for determining information security - requirements for information systems/services\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information security requirements\n\norganizational processes for capital planning, programming, and budgeting\n\nautomated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting - """ - - - id: sa-3 - class: SP800-53 - title: System Development Life Cycle - parameters: - - - id: sa-3_prm_1 - label: organization-defined system development life cycle - properties: - - - name: label - value: SA-3 - - - name: sort-id - value: sa-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - parts: - - - id: sa-3_smt - name: statement - prose: The organization: - parts: - - - id: sa-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Manages the information system using {{ sa-3_prm_1 }} that - incorporates information security considerations; - """ - - - id: sa-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - id: sa-3_gdn - name: guidance - prose: - """ - A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-8 - rel: related - text: SA-8 - - - id: sa-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-3.a_obj - name: objective - properties: - - - name: label - value: SA-3(a) - parts: - - - id: sa-3.a_obj.1 - name: objective - properties: - - - name: label - value: SA-3(a)[1] - prose: - """ - defines a system development life cycle that incorporates information security - considerations to be used to manage the information system; - """ - - - id: sa-3.a_obj.2 - name: objective - properties: - - - name: label - value: SA-3(a)[2] - prose: - """ - manages the information system using the organization-defined system - development life cycle; - """ - - - id: sa-3.b_obj - name: objective - properties: - - - name: label - value: SA-3(b) - prose: - """ - defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3.c_obj - name: objective - properties: - - - name: label - value: SA-3(c) - prose: - """ - identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3.d_obj - name: objective - properties: - - - name: label - value: SA-3(d) - prose: - """ - integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security into the system - development life cycle process\n\ninformation system development life cycle documentation\n\ninformation security risk management strategy/program documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security and system life cycle - development responsibilities\n\norganizational personnel with information security risk management - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining and documenting the SDLC\n\norganizational processes for identifying SDLC roles and responsibilities\n\norganizational process for integrating information security risk management into - the SDLC\n\nautomated mechanisms supporting and/or implementing the SDLC - """ - - - id: sa-4 - class: SP800-53 - title: Acquisition Process - properties: - - - name: label - value: SA-4 - - - name: sort-id - value: sa-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #1737a687-52fb-4008-b900-cbfa836f7b65 - rel: reference - text: ISO/IEC 15408 - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #0a5db899-f033-467f-8631-f5a8ba971475 - rel: reference - text: NIST Special Publication 800-23 - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - - - href: #d818efd3-db31-4953-8afa-9e76afe83ce2 - rel: reference - text: NIST Special Publication 800-36 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #56d671da-6b7b-4abf-8296-84b61980390a - rel: reference - text: Federal Acquisition Regulation - - - href: #c95a9986-3cd6-4a98-931b-ccfc56cb11e5 - rel: reference - text: http://www.niap-ccevs.org - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - - - href: #bbd50dd1-54ce-4432-959d-63ea564b1bb4 - rel: reference - text: http://www.acquisition.gov/far - parts: - - - id: sa-4_smt - name: statement - prose: - """ - The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs: - """ - parts: - - - id: sa-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Security functional requirements; - - - id: sa-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Security strength requirements; - - - id: sa-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Security assurance requirements; - - - id: sa-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Security-related documentation requirements; - - - id: sa-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Requirements for protecting security-related documentation; - - - id: sa-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Description of the information system development environment and environment in - which the system is intended to operate; and - """ - - - id: sa-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: Acceptance criteria. - - - id: sa-4_gdn - name: guidance - prose: - """ - Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: sa-4_obj - name: objective - prose: - """ - Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs: - """ - parts: - - - id: sa-4.a_obj - name: objective - properties: - - - name: label - value: SA-4(a) - prose: security functional requirements; - - - id: sa-4.b_obj - name: objective - properties: - - - name: label - value: SA-4(b) - prose: security strength requirements; - - - id: sa-4.c_obj - name: objective - properties: - - - name: label - value: SA-4(c) - prose: security assurance requirements; - - - id: sa-4.d_obj - name: objective - properties: - - - name: label - value: SA-4(d) - prose: security-related documentation requirements; - - - id: sa-4.e_obj - name: objective - properties: - - - name: label - value: SA-4(e) - prose: requirements for protecting security-related documentation; - - - id: sa-4.f_obj - name: objective - properties: - - - name: label - value: SA-4(f) - prose: description of: - parts: - - - id: sa-4.f_obj.1 - name: objective - properties: - - - name: label - value: SA-4(f)[1] - prose: the information system development environment; - - - id: sa-4.f_obj.2 - name: objective - properties: - - - name: label - value: SA-4(f)[2] - prose: the environment in which the system is intended to operate; and - - - id: sa-4.g_obj - name: objective - properties: - - - name: label - value: SA-4(g) - prose: acceptance criteria. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nacquisition contracts for the information system, system component, or information - system service\n\ninformation system design documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information system security functional, - strength, and assurance requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts - """ - controls: - - - id: sa-4.10 - class: SP800-53-enhancement - title: Use of Approved PIV Products - properties: - - - name: label - value: SA-4(10) - - - name: sort-id - value: sa-04.10 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: sa-4.10_smt - name: statement - prose: - """ - The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems. - """ - - - id: sa-4.10_gdn - name: guidance - links: - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: sa-4.10_obj - name: objective - prose: - """ - Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system service\n\nservice-level agreements\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\norganizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for selecting and employing FIPS 201-approved - products - """ - - - id: sa-5 - class: SP800-53 - title: Information System Documentation - parameters: - - - id: sa-5_prm_1 - label: organization-defined actions - - - id: sa-5_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: SA-5 - - - name: sort-id - value: sa-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: sa-5_smt - name: statement - prose: The organization: - parts: - - - id: sa-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Secure configuration, installation, and operation of the system, component, or - service; - """ - - - id: sa-5_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Effective use and maintenance of security functions/mechanisms; and - - - id: sa-5_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms; - """ - - - id: sa-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and - """ - - - id: sa-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - User responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes {{ sa-5_prm_1 }} in response; - """ - - - id: sa-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects documentation as required, in accordance with the risk management - strategy; and - """ - - - id: sa-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: Distributes documentation to {{ sa-5_prm_2 }}. - - - id: sa-5_gdn - name: guidance - prose: - """ - This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: sa-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-5.a_obj - name: objective - properties: - - - name: label - value: SA-5(a) - prose: - """ - obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5.a.1_obj - name: objective - properties: - - - name: label - value: SA-5(a)(1) - parts: - - - id: sa-5.a.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[1] - prose: secure configuration of the system, system component, or service; - - - id: sa-5.a.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[2] - prose: secure installation of the system, system component, or service; - - - id: sa-5.a.1_obj.3 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[3] - prose: secure operation of the system, system component, or service; - - - id: sa-5.a.2_obj - name: objective - properties: - - - name: label - value: SA-5(a)(2) - parts: - - - id: sa-5.a.2_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[1] - prose: effective use of the security features/mechanisms; - - - id: sa-5.a.2_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[2] - prose: effective maintenance of the security features/mechanisms; - - - id: sa-5.a.3_obj - name: objective - properties: - - - name: label - value: SA-5(a)(3) - prose: - """ - known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5.b_obj - name: objective - properties: - - - name: label - value: SA-5(b) - prose: - """ - obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5.b.1_obj - name: objective - properties: - - - name: label - value: SA-5(b)(1) - parts: - - - id: sa-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[1] - prose: user-accessible security functions/mechanisms; - - - id: sa-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[2] - prose: how to effectively use those functions/mechanisms; - - - id: sa-5.b.2_obj - name: objective - properties: - - - name: label - value: SA-5(b)(2) - prose: - """ - methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; - """ - - - id: sa-5.b.3_obj - name: objective - properties: - - - name: label - value: SA-5(b)(3) - prose: - """ - user responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5.c_obj - name: objective - properties: - - - name: label - value: SA-5(c) - parts: - - - id: sa-5.c_obj.1 - name: objective - properties: - - - name: label - value: SA-5(c)[1] - prose: - """ - defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent; - """ - - - id: sa-5.c_obj.2 - name: objective - properties: - - - name: label - value: SA-5(c)[2] - prose: - """ - documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent; - """ - - - id: sa-5.c_obj.3 - name: objective - properties: - - - name: label - value: SA-5(c)[3] - prose: takes organization-defined actions in response; - - - id: sa-5.d_obj - name: objective - properties: - - - name: label - value: SA-5(d) - prose: - """ - protects documentation as required, in accordance with the risk management - strategy; - """ - - - id: sa-5.e_obj - name: objective - properties: - - - name: label - value: SA-5(e) - parts: - - - id: sa-5.e_obj.1 - name: objective - properties: - - - name: label - value: SA-5(e)[1] - prose: defines personnel or roles to whom documentation is to be distributed; and - - - id: sa-5.e_obj.2 - name: objective - properties: - - - name: label - value: SA-5(e)[2] - prose: distributes documentation to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing information system documentation\n\ninformation system documentation including administrator and user guides\n\nrecords documenting attempts to obtain unavailable or nonexistent information - system documentation\n\nlist of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation\n\nrisk management strategy documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\nsystem administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation - """ - - - id: sa-9 - class: SP800-53 - title: External Information System Services - parameters: - - - id: sa-9_prm_1 - label: organization-defined security controls - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - id: sa-9_prm_2 - label: organization-defined processes, methods, and techniques - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9 - - - name: sort-id - value: sa-09 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: sa-9_smt - name: statement - prose: The organization: - parts: - - - id: sa-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires that providers of external information system services comply with - organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance; - """ - - - id: sa-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and - """ - - - id: sa-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs {{ sa-9_prm_2 }} to monitor security control compliance by - external service providers on an ongoing basis. - """ - - - id: sa-9_gdn - name: guidance - prose: - """ - External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance. - """ - links: - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ir-7 - rel: related - text: IR-7 - - - href: #ps-7 - rel: related - text: PS-7 - - - id: sa-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.a_obj - name: objective - properties: - - - name: label - value: SA-9(a) - parts: - - - id: sa-9.a_obj.1 - name: objective - properties: - - - name: label - value: SA-9(a)[1] - prose: - """ - defines security controls to be employed by providers of external information - system services; - """ - - - id: sa-9.a_obj.2 - name: objective - properties: - - - name: label - value: SA-9(a)[2] - prose: - """ - requires that providers of external information system services comply with - organizational information security requirements; - """ - - - id: sa-9.a_obj.3 - name: objective - properties: - - - name: label - value: SA-9(a)[3] - prose: - """ - requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: sa-9.b_obj - name: objective - properties: - - - name: label - value: SA-9(b) - parts: - - - id: sa-9.b_obj.1 - name: objective - properties: - - - name: label - value: SA-9(b)[1] - prose: - """ - defines and documents government oversight with regard to external information - system services; - """ - - - id: sa-9.b_obj.2 - name: objective - properties: - - - name: label - value: SA-9(b)[2] - prose: - """ - defines and documents user roles and responsibilities with regard to external - information system services; - """ - - - id: sa-9.c_obj - name: objective - properties: - - - name: label - value: SA-9(c) - parts: - - - id: sa-9.c_obj.1 - name: objective - properties: - - - name: label - value: SA-9(c)[1] - prose: - """ - defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and - """ - - - id: sa-9.c_obj.2 - name: objective - properties: - - - name: label - value: SA-9(c)[2] - prose: - """ - employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nprocedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services\n\nacquisition contracts, service-level agreements\n\norganizational security requirements and security specifications for external - provider services\n\nsecurity control assessment evidence from external providers of information system - services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\nexternal providers of information system services\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis\n\nautomated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis - """ - - - id: sc - class: family - title: System and Communications Protection - controls: - - - id: sc-1 - class: SP800-53 - title: System and Communications Protection Policy and Procedures - parameters: - - - id: sc-1_prm_1 - label: organization-defined personnel or roles - - - id: sc-1_prm_2 - label: organization-defined frequency - - - id: sc-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: SC-1 - - - name: sort-id - value: sc-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sc-1_smt - name: statement - prose: The organization: - parts: - - - id: sc-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sc-1_prm_1 }}: - parts: - - - id: sc-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: sc-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and - """ - - - id: sc-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sc-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and communications protection policy {{ sc-1_prm_2 }}; - and - """ - - - id: sc-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and communications protection procedures {{ sc-1_prm_3 }}. - - - id: sc-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sc-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-1.a_obj - name: objective - properties: - - - name: label - value: SC-1(a) - parts: - - - id: sc-1.a.1_obj - name: objective - properties: - - - name: label - value: SC-1(a)(1) - parts: - - - id: sc-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1] - prose: - """ - develops and documents a system and communications protection policy that - addresses: - """ - parts: - - - id: sc-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][a] - prose: purpose; - - - id: sc-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][b] - prose: scope; - - - id: sc-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][c] - prose: roles; - - - id: sc-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][d] - prose: responsibilities; - - - id: sc-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][e] - prose: management commitment; - - - id: sc-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sc-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][g] - prose: compliance; - - - id: sc-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: SC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and communications protection - policy is to be disseminated; - """ - - - id: sc-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: SC-1(a)(1)[3] - prose: - """ - disseminates the system and communications protection policy to - organization-defined personnel or roles; - """ - - - id: sc-1.a.2_obj - name: objective - properties: - - - name: label - value: SC-1(a)(2) - parts: - - - id: sc-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: SC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls; - """ - - - id: sc-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: SC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sc-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: SC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sc-1.b_obj - name: objective - properties: - - - name: label - value: SC-1(b) - parts: - - - id: sc-1.b.1_obj - name: objective - properties: - - - name: label - value: SC-1(b)(1) - parts: - - - id: sc-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: SC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection policy; - """ - - - id: sc-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: SC-1(b)(1)[2] - prose: - """ - reviews and updates the current system and communications protection policy - with the organization-defined frequency; - """ - - - id: sc-1.b.2_obj - name: objective - properties: - - - name: label - value: SC-1(b)(2) - parts: - - - id: sc-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: SC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection procedures; and - """ - - - id: sc-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: SC-1(b)(2)[2] - prose: - """ - reviews and updates the current system and communications protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and communications protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: sc-5 - class: SP800-53 - title: Denial of Service Protection - parameters: - - - id: sc-5_prm_1 - label: - """ - organization-defined types of denial of service attacks or references to sources - for such information - """ - - - id: sc-5_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: SC-5 - - - name: sort-id - value: sc-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - id: sc-5_smt - name: statement - prose: - """ - The information system protects against or limits the effects of the following types - of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}. - """ - - - id: sc-5_gdn - name: guidance - prose: - """ - A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks. - """ - links: - - - href: #sc-6 - rel: related - text: SC-6 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: sc-5_obj - name: objective - prose: Determine if: - parts: - - - id: sc-5_obj.1 - name: objective - properties: - - - name: label - value: SC-5[1] - prose: - """ - the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects; - """ - - - id: sc-5_obj.2 - name: objective - properties: - - - name: label - value: SC-5[2] - prose: - """ - the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and - """ - - - id: sc-5_obj.3 - name: objective - properties: - - - name: label - value: SC-5[3] - prose: - """ - the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing denial of service protection\n\ninformation system design documentation\n\nsecurity plan\n\nlist of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks\n\nlist of security safeguards protecting against or limiting the effects of denial - of service attacks\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms protecting against or limiting the effects of denial of - service attacks - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: If availability is a requirement, define protections in place as per - control requirement. - """ - - - id: sc-7 - class: SP800-53 - title: Boundary Protection - parameters: - - - id: sc-7_prm_1 - properties: - - - name: label - value: SC-7 - - - name: sort-id - value: sc-07 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #756a8e86-57d5-4701-8382-f7a40439665a - rel: reference - text: NIST Special Publication 800-41 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - parts: - - - id: sc-7_smt - name: statement - prose: The information system: - parts: - - - id: sc-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system; - """ - - - id: sc-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks; - and - """ - - - id: sc-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - id: sc-7_gdn - name: guidance - prose: - """ - Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions. - """ - links: - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: sc-7_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-7.a_obj - name: objective - properties: - - - name: label - value: SC-7(a) - parts: - - - id: sc-7.a_obj.1 - name: objective - properties: - - - name: label - value: SC-7(a)[1] - prose: monitors communications at the external boundary of the information system; - - - id: sc-7.a_obj.2 - name: objective - properties: - - - name: label - value: SC-7(a)[2] - prose: monitors communications at key internal boundaries within the system; - - - id: sc-7.a_obj.3 - name: objective - properties: - - - name: label - value: SC-7(a)[3] - prose: controls communications at the external boundary of the information system; - - - id: sc-7.a_obj.4 - name: objective - properties: - - - name: label - value: SC-7(a)[4] - prose: controls communications at key internal boundaries within the system; - - - id: sc-7.b_obj - name: objective - properties: - - - name: label - value: SC-7(b) - prose: - """ - implements subnetworks for publicly accessible system components that are - either: - """ - parts: - - - id: sc-7.b_obj.1 - name: objective - properties: - - - name: label - value: SC-7(b)[1] - prose: physically separated from internal organizational networks; and/or - - - id: sc-7.b_obj.2 - name: objective - properties: - - - name: label - value: SC-7(b)[2] - prose: logically separated from internal organizational networks; and - - - id: sc-7.c_obj - name: objective - properties: - - - name: label - value: SC-7(c) - prose: - """ - connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\nlist of key internal boundaries of the information system\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system configuration settings and associated documentation\n\nenterprise security architecture documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing boundary protection capability - - - id: sc-12 - class: SP800-53 - title: Cryptographic Key Establishment and Management - parameters: - - - id: sc-12_prm_1 - label: - """ - organization-defined requirements for key generation, distribution, storage, - access, and destruction - """ - properties: - - - name: label - value: SC-12 - - - name: sort-id - value: sc-12 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - parts: - - - id: sc-12_smt - name: statement - prose: - """ - The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with {{ sc-12_prm_1 }}. - """ - - - id: sc-12_gdn - name: guidance - prose: - """ - Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: sc-12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-12_obj.1 - name: objective - properties: - - - name: label - value: SC-12[1] - prose: defines requirements for cryptographic key: - parts: - - - id: sc-12_obj.1.a - name: objective - properties: - - - name: label - value: SC-12[1][a] - prose: generation; - - - id: sc-12_obj.1.b - name: objective - properties: - - - name: label - value: SC-12[1][b] - prose: distribution; - - - id: sc-12_obj.1.c - name: objective - properties: - - - name: label - value: SC-12[1][c] - prose: storage; - - - id: sc-12_obj.1.d - name: objective - properties: - - - name: label - value: SC-12[1][d] - prose: access; - - - id: sc-12_obj.1.e - name: objective - properties: - - - name: label - value: SC-12[1][e] - prose: destruction; and - - - id: sc-12_obj.2 - name: objective - properties: - - - name: label - value: SC-12[2] - prose: - """ - establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ncryptographic mechanisms\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment - and/or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic key - establishment and management - """ - - - id: sc-12_fr - name: item - title: SC-12 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Federally approved cryptography. - - - id: sc-13 - class: SP800-53 - title: Cryptographic Protection - parameters: - - - id: sc-13_prm_1 - label: - """ - organization-defined cryptographic uses and type of cryptography required for - each use - """ - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - properties: - - - name: label - value: SC-13 - - - name: sort-id - value: sc-13 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #6a1041fc-054e-4230-946b-2e6f4f3731bb - rel: reference - text: http://csrc.nist.gov/cryptval - - - href: #9b97ed27-3dd6-4f9a-ade5-1b43e9669794 - rel: reference - text: http://www.cnss.gov - parts: - - - id: sc-13_smt - name: statement - prose: - """ - The information system implements {{ sc-13_prm_1 }} in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. - """ - - - id: sc-13_gdn - name: guidance - prose: - """ - Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography). - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-10 - rel: related - text: AU-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-7 - rel: related - text: IA-7 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-28 - rel: related - text: SC-28 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sc-13_obj - name: objective - prose: Determine if: - parts: - - - id: sc-13_obj.1 - name: objective - properties: - - - name: label - value: SC-13[1] - prose: the organization defines cryptographic uses; and - - - id: sc-13_obj.2 - name: objective - properties: - - - name: label - value: SC-13[2] - prose: the organization defines the type of cryptography required for each use; and - - - id: sc-13_obj.3 - name: objective - properties: - - - name: label - value: SC-13[3] - prose: - """ - the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic module validation certificates\n\nlist of FIPS validated cryptographic modules\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic protection - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic protection - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: If implementing need to detail how they meet it or don't meet it. - - - id: sc-15 - class: SP800-53 - title: Collaborative Computing Devices - parameters: - - - id: sc-15_prm_1 - label: organization-defined exceptions where remote activation is to be allowed - properties: - - - name: label - value: SC-15 - - - name: sort-id - value: sc-15 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - id: sc-15_smt - name: statement - prose: The information system: - parts: - - - id: sc-15_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Prohibits remote activation of collaborative computing devices with the following - exceptions: {{ sc-15_prm_1 }}; and - """ - - - id: sc-15_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides an explicit indication of use to users physically present at the - devices. - """ - - - id: sc-15_gdn - name: guidance - prose: - """ - Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated. - """ - links: - - - href: #ac-21 - rel: related - text: AC-21 - - - id: sc-15_obj - name: objective - prose: Determine if: - parts: - - - id: sc-15.a_obj - name: objective - properties: - - - name: label - value: SC-15(a) - parts: - - - id: sc-15.a_obj.1 - name: objective - properties: - - - name: label - value: SC-15(a)[1] - prose: - """ - the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed; - """ - - - id: sc-15.a_obj.2 - name: objective - properties: - - - name: label - value: SC-15(a)[2] - prose: - """ - the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and - """ - - - id: sc-15.b_obj - name: objective - properties: - - - name: label - value: SC-15(b) - prose: - """ - the information system provides an explicit indication of use to users physically - present at the devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative - computing devices - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices\n\nautomated mechanisms providing an indication of use of collaborative computing - devices - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: NSO - Not directly related to the security of the SaaS. - - - id: sc-20 - class: SP800-53 - title: Secure Name / Address Resolution Service (authoritative Source) - properties: - - - name: label - value: SC-20 - - - name: sort-id - value: sc-20 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #28115a56-da6b-4d44-b1df-51dd7f048a3e - rel: reference - text: OMB Memorandum 08-23 - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-20_smt - name: statement - prose: The information system: - parts: - - - id: sc-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and - """ - - - id: sc-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace. - """ - - - id: sc-20_gdn - name: guidance - prose: - """ - This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data. - """ - links: - - - href: #au-10 - rel: related - text: AU-10 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-20_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-20.a_obj - name: objective - properties: - - - name: label - value: SC-20(a) - prose: - """ - provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries; - """ - - - id: sc-20.b_obj - name: objective - properties: - - - name: label - value: SC-20(b) - prose: - """ - provides the means to, when operating as part of a distributed, hierarchical - namespace: - """ - parts: - - - id: sc-20.b_obj.1 - name: objective - properties: - - - name: label - value: SC-20(b)[1] - prose: indicate the security status of child zones; and - - - id: sc-20.b_obj.2 - name: objective - properties: - - - name: label - value: SC-20(b)[2] - prose: - """ - enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (authoritative - source)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing secure name/address resolution - service - """ - - - id: sc-21 - class: SP800-53 - title: Secure Name / Address Resolution Service (recursive or Caching Resolver) - properties: - - - name: label - value: SC-21 - - - name: sort-id - value: sc-21 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-21_smt - name: statement - prose: - """ - The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources. - """ - - - id: sc-21_gdn - name: guidance - prose: - """ - Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data. - """ - links: - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-21_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-21_obj.1 - name: objective - properties: - - - name: label - value: SC-21[1] - prose: - """ - requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.2 - name: objective - properties: - - - name: label - value: SC-21[2] - prose: - """ - requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.3 - name: objective - properties: - - - name: label - value: SC-21[3] - prose: - """ - performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and - """ - - - id: sc-21_obj.4 - name: objective - properties: - - - name: label - value: SC-21[4] - prose: - """ - performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (recursive or caching - resolver)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services - """ - - - id: sc-22 - class: SP800-53 - title: Architecture and Provisioning for Name / Address Resolution Service - properties: - - - name: label - value: SC-22 - - - name: sort-id - value: sc-22 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-22_smt - name: statement - prose: - """ - The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation. - """ - - - id: sc-22_gdn - name: guidance - prose: - """ - Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists). - """ - links: - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: sc-22_obj - name: objective - prose: - """ - Determine if the information systems that collectively provide name/address - resolution service for an organization: - """ - parts: - - - id: sc-22_obj.1 - name: objective - properties: - - - name: label - value: SC-22[1] - prose: are fault tolerant; and - - - id: sc-22_obj.2 - name: objective - properties: - - - name: label - value: SC-22[2] - prose: implement internal/external role separation. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing architecture and provisioning for name/address resolution - service\n\naccess control policy and procedures\n\ninformation system design documentation\n\nassessment results from independent, testing organizations\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation - """ - - - id: sc-39 - class: SP800-53 - title: Process Isolation - properties: - - - name: label - value: SC-39 - - - name: sort-id - value: sc-39 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: sc-39_smt - name: statement - prose: - """ - The information system maintains a separate execution domain for each executing - process. - """ - - - id: sc-39_gdn - name: guidance - prose: - """ - Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-39_obj - name: objective - prose: - """ - Determine if the information system maintains a separate execution domain for each - executing process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system design documentation\n\ninformation system architecture\n\nindependent verification and validation documentation\n\ntesting and evaluation documentation, other relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Information system developers/integrators\n\ninformation system security architect - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing separate execution domains for - each executing process - """ - - - id: si - class: family - title: System and Information Integrity - controls: - - - id: si-1 - class: SP800-53 - title: System and Information Integrity Policy and Procedures - parameters: - - - id: si-1_prm_1 - label: organization-defined personnel or roles - - - id: si-1_prm_2 - label: organization-defined frequency - - - id: si-1_prm_3 - label: organization-defined frequency - properties: - - - name: label - value: SI-1 - - - name: sort-id - value: si-01 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: si-1_smt - name: statement - prose: The organization: - parts: - - - id: si-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ si-1_prm_1 }}: - parts: - - - id: si-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: si-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and - """ - - - id: si-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: si-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and information integrity policy {{ si-1_prm_2 }}; - and - """ - - - id: si-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and information integrity procedures {{ si-1_prm_3 }}. - - - id: si-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: si-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-1.a_obj - name: objective - properties: - - - name: label - value: SI-1(a) - parts: - - - id: si-1.a.1_obj - name: objective - properties: - - - name: label - value: SI-1(a)(1) - parts: - - - id: si-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1] - prose: - """ - develops and documents a system and information integrity policy that - addresses: - """ - parts: - - - id: si-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][a] - prose: purpose; - - - id: si-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][b] - prose: scope; - - - id: si-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][c] - prose: roles; - - - id: si-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][d] - prose: responsibilities; - - - id: si-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][e] - prose: management commitment; - - - id: si-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: si-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][g] - prose: compliance; - - - id: si-1.a.1_obj.2 - name: objective - properties: - - - name: label - value: SI-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and information integrity - policy is to be disseminated; - """ - - - id: si-1.a.1_obj.3 - name: objective - properties: - - - name: label - value: SI-1(a)(1)[3] - prose: - """ - disseminates the system and information integrity policy to - organization-defined personnel or roles; - """ - - - id: si-1.a.2_obj - name: objective - properties: - - - name: label - value: SI-1(a)(2) - parts: - - - id: si-1.a.2_obj.1 - name: objective - properties: - - - name: label - value: SI-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls; - """ - - - id: si-1.a.2_obj.2 - name: objective - properties: - - - name: label - value: SI-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: si-1.a.2_obj.3 - name: objective - properties: - - - name: label - value: SI-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: si-1.b_obj - name: objective - properties: - - - name: label - value: SI-1(b) - parts: - - - id: si-1.b.1_obj - name: objective - properties: - - - name: label - value: SI-1(b)(1) - parts: - - - id: si-1.b.1_obj.1 - name: objective - properties: - - - name: label - value: SI-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity policy; - """ - - - id: si-1.b.1_obj.2 - name: objective - properties: - - - name: label - value: SI-1(b)(1)[2] - prose: - """ - reviews and updates the current system and information integrity policy with - the organization-defined frequency; - """ - - - id: si-1.b.2_obj - name: objective - properties: - - - name: label - value: SI-1(b)(2) - parts: - - - id: si-1.b.2_obj.1 - name: objective - properties: - - - name: label - value: SI-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity procedures; and - """ - - - id: si-1.b.2_obj.2 - name: objective - properties: - - - name: label - value: SI-1(b)(2)[2] - prose: - """ - reviews and updates the current system and information integrity procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and information integrity - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: si-2 - class: SP800-53 - title: Flaw Remediation - parameters: - - - id: si-2_prm_1 - label: organization-defined time period - constraints: - - - detail: within 30 days of release of updates - properties: - - - name: label - value: SI-2 - - - name: sort-id - value: si-02 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: si-2_smt - name: statement - prose: The organization: - parts: - - - id: si-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Identifies, reports, and corrects information system flaws; - - - id: si-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation; - """ - - - id: si-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and - - - id: si-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Incorporates flaw remediation into the organizational configuration management - process. - """ - - - id: si-2_gdn - name: guidance - prose: - """ - Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-11 - rel: related - text: SI-11 - - - id: si-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.a_obj - name: objective - properties: - - - name: label - value: SI-2(a) - parts: - - - id: si-2.a_obj.1 - name: objective - properties: - - - name: label - value: SI-2(a)[1] - prose: identifies information system flaws; - - - id: si-2.a_obj.2 - name: objective - properties: - - - name: label - value: SI-2(a)[2] - prose: reports information system flaws; - - - id: si-2.a_obj.3 - name: objective - properties: - - - name: label - value: SI-2(a)[3] - prose: corrects information system flaws; - - - id: si-2.b_obj - name: objective - properties: - - - name: label - value: SI-2(b) - parts: - - - id: si-2.b_obj.1 - name: objective - properties: - - - name: label - value: SI-2(b)[1] - prose: - """ - tests software updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.b_obj.2 - name: objective - properties: - - - name: label - value: SI-2(b)[2] - prose: - """ - tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.c_obj - name: objective - properties: - - - name: label - value: SI-2(c) - parts: - - - id: si-2.c_obj.1 - name: objective - properties: - - - name: label - value: SI-2(c)[1] - prose: - """ - defines the time period within which to install security-relevant software - updates after the release of the updates; - """ - - - id: si-2.c_obj.2 - name: objective - properties: - - - name: label - value: SI-2(c)[2] - prose: - """ - defines the time period within which to install security-relevant firmware - updates after the release of the updates; - """ - - - id: si-2.c_obj.3 - name: objective - properties: - - - name: label - value: SI-2(c)[3] - prose: - """ - installs software updates within the organization-defined time period of the - release of the updates; - """ - - - id: si-2.c_obj.4 - name: objective - properties: - - - name: label - value: SI-2(c)[4] - prose: - """ - installs firmware updates within the organization-defined time period of the - release of the updates; and - """ - - - id: si-2.d_obj - name: objective - properties: - - - name: label - value: SI-2(d) - prose: - """ - incorporates flaw remediation into the organizational configuration management - process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing flaw remediation\n\nprocedures addressing configuration management\n\nlist of flaws and vulnerabilities potentially affecting the information system\n\nlist of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)\n\ntest results from the installation of software and firmware updates to correct - information system flaws\n\ninstallation/change control records for security-relevant software and firmware - updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for identifying, reporting, and correcting information - system flaws\n\norganizational process for installing software and firmware updates\n\nautomated mechanisms supporting and/or implementing reporting, and correcting - information system flaws\n\nautomated mechanisms supporting and/or implementing testing software and firmware - updates - """ - - - id: si-3 - class: SP800-53 - title: Malicious Code Protection - parameters: - - - id: si-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: si-3_prm_2 - constraints: - - - detail: to include endpoints - - - id: si-3_prm_3 - constraints: - - - detail: to include alerting administrator or defined security personnel - - - id: si-3_prm_4 - depends-on: si-3_prm_3 - label: organization-defined action - properties: - - - name: label - value: SI-3 - - - name: sort-id - value: si-03 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - parts: - - - id: si-3_smt - name: statement - prose: The organization: - parts: - - - id: si-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code; - """ - - - id: si-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures; - """ - - - id: si-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Configures malicious code protection mechanisms to: - parts: - - - id: si-3_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in - accordance with organizational security policy; and - """ - - - id: si-3_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - - {{ si-3_prm_3 }} in response to malicious code detection; - and - """ - - - id: si-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system. - """ - - - id: si-3_gdn - name: guidance - prose: - """ - Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-13 - rel: related - text: SA-13 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-44 - rel: related - text: SC-44 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-3.a_obj - name: objective - properties: - - - name: label - value: SI-3(a) - prose: - """ - employs malicious code protection mechanisms to detect and eradicate malicious - code at information system: - """ - parts: - - - id: si-3.a_obj.1 - name: objective - properties: - - - name: label - value: SI-3(a)[1] - prose: entry points; - - - id: si-3.a_obj.2 - name: objective - properties: - - - name: label - value: SI-3(a)[2] - prose: exit points; - - - id: si-3.b_obj - name: objective - properties: - - - name: label - value: SI-3(b) - prose: - """ - updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1); - """ - - - id: si-3.c_obj - name: objective - properties: - - - name: label - value: SI-3(c) - parts: - - - id: si-3.c_obj.1 - name: objective - properties: - - - name: label - value: SI-3(c)[1] - prose: - """ - defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system; - """ - - - id: si-3.c_obj.2 - name: objective - properties: - - - name: label - value: SI-3(c)[2] - prose: - """ - defines action to be initiated by malicious protection mechanisms in response - to malicious code detection; - """ - - - id: si-3.c_obj.3 - name: objective - properties: - - - name: label - value: SI-3(c)[3] - parts: - - - id: si-3.c.1_obj.3 - name: objective - properties: - - - name: label - value: SI-3(c)[3](1) - prose: configures malicious code protection mechanisms to: - parts: - - - id: si-3.c.1_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[a] - prose: - """ - perform periodic scans of the information system with the - organization-defined frequency; - """ - - - id: si-3.c.1_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[b] - prose: - """ - perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy; - """ - - - id: si-3.c.2_obj.3 - name: objective - properties: - - - name: label - value: SI-3(c)[3](2) - prose: - """ - configures malicious code protection mechanisms to do one or more of the - following: - """ - parts: - - - id: si-3.c.2_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[a] - prose: block malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[b] - prose: quarantine malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.c - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[c] - prose: - """ - send alert to administrator in response to malicious code detection; - and/or - """ - - - id: si-3.c.2_obj.3.d - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[d] - prose: - """ - initiate organization-defined action in response to malicious code - detection; - """ - - - id: si-3.d_obj - name: objective - properties: - - - name: label - value: SI-3(d) - parts: - - - id: si-3.d_obj.1 - name: objective - properties: - - - name: label - value: SI-3(d)[1] - prose: - """ - addresses the receipt of false positives during malicious code detection and - eradication; and - """ - - - id: si-3.d_obj.2 - name: objective - properties: - - - name: label - value: SI-3(d)[2] - prose: - """ - addresses the resulting potential impact on the availability of the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nconfiguration management policy and procedures\n\nprocedures addressing malicious code protection\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nscan results from malicious code protection mechanisms\n\nrecord of actions initiated by malicious code protection mechanisms in response to - malicious code detection\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for employing, updating, and configuring malicious code - protection mechanisms\n\norganizational process for addressing false positives and resulting potential - impact\n\nautomated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms\n\nautomated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions - """ - - - id: si-4 - class: SP800-53 - title: Information System Monitoring - parameters: - - - id: si-4_prm_1 - label: organization-defined monitoring objectives - - - id: si-4_prm_2 - label: organization-defined techniques and methods - - - id: si-4_prm_3 - label: organization-defined information system monitoring information - - - id: si-4_prm_4 - label: organization-defined personnel or roles - - - id: si-4_prm_5 - - - id: si-4_prm_6 - depends-on: si-4_prm_5 - label: organization-defined frequency - properties: - - - name: label - value: SI-4 - - - name: sort-id - value: si-04 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: si-4_smt - name: statement - prose: The organization: - parts: - - - id: si-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Monitors the information system to detect: - parts: - - - id: si-4_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and - - - id: si-4_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Unauthorized local, network, and remote connections; - - - id: si-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Identifies unauthorized use of the information system through {{ si-4_prm_2 }}; - - - id: si-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Deploys monitoring devices: - parts: - - - id: si-4_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Strategically within the information system to collect organization-determined - essential information; and - """ - - - id: si-4_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - At ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion; - """ - - - id: si-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and - """ - - - id: si-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }} - {{ si-4_prm_5 }}. - """ - - - id: si-4_gdn - name: guidance - prose: - """ - Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-35 - rel: related - text: SC-35 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.a_obj - name: objective - properties: - - - name: label - value: SI-4(a) - parts: - - - id: si-4.a.1_obj - name: objective - properties: - - - name: label - value: SI-4(a)(1) - parts: - - - id: si-4.a.1_obj.1 - name: objective - properties: - - - name: label - value: SI-4(a)(1)[1] - prose: - """ - defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system; - """ - - - id: si-4.a.1_obj.2 - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2] - prose: - """ - monitors the information system to detect, in accordance with - organization-defined monitoring objectives,: - """ - parts: - - - id: si-4.a.1_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][a] - prose: attacks; - - - id: si-4.a.1_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][b] - prose: indicators of potential attacks; - - - id: si-4.a.2_obj - name: objective - properties: - - - name: label - value: SI-4(a)(2) - prose: monitors the information system to detect unauthorized: - parts: - - - id: si-4.a.2_obj.1 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[1] - prose: local connections; - - - id: si-4.a.2_obj.2 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[2] - prose: network connections; - - - id: si-4.a.2_obj.3 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[3] - prose: remote connections; - - - id: si-4.b_obj - name: objective - properties: - - - name: label - value: SI-4(b) - parts: - - - id: si-4.b.1_obj - name: objective - properties: - - - name: label - value: SI-4(b)(1) - prose: - """ - defines techniques and methods to identify unauthorized use of the information - system; - """ - - - id: si-4.b.2_obj - name: objective - properties: - - - name: label - value: SI-4(b)(2) - prose: - """ - identifies unauthorized use of the information system through - organization-defined techniques and methods; - """ - - - id: si-4.c_obj - name: objective - properties: - - - name: label - value: SI-4(c) - prose: deploys monitoring devices: - parts: - - - id: si-4.c_obj.1 - name: objective - properties: - - - name: label - value: SI-4(c)[1] - prose: - """ - strategically within the information system to collect organization-determined - essential information; - """ - - - id: si-4.c_obj.2 - name: objective - properties: - - - name: label - value: SI-4(c)[2] - prose: - """ - at ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4.d_obj - name: objective - properties: - - - name: label - value: SI-4(d) - prose: - """ - protects information obtained from intrusion-monitoring tools from - unauthorized: - """ - parts: - - - id: si-4.d_obj.1 - name: objective - properties: - - - name: label - value: SI-4(d)[1] - prose: access; - - - id: si-4.d_obj.2 - name: objective - properties: - - - name: label - value: SI-4(d)[2] - prose: modification; - - - id: si-4.d_obj.3 - name: objective - properties: - - - name: label - value: SI-4(d)[3] - prose: deletion; - - - id: si-4.e_obj - name: objective - properties: - - - name: label - value: SI-4(e) - prose: - """ - heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4.f_obj - name: objective - properties: - - - name: label - value: SI-4(f) - prose: - """ - obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; - """ - - - id: si-4.g_obj - name: objective - properties: - - - name: label - value: SI-4(g) - parts: - - - id: si-4.g_obj.1 - name: objective - properties: - - - name: label - value: SI-4(g)[1] - prose: - """ - defines personnel or roles to whom information system monitoring information is - to be provided; - """ - - - id: si-4.g_obj.2 - name: objective - properties: - - - name: label - value: SI-4(g)[2] - prose: - """ - defines information system monitoring information to be provided to - organization-defined personnel or roles; - """ - - - id: si-4.g_obj.3 - name: objective - properties: - - - name: label - value: SI-4(g)[3] - prose: - """ - defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles; - """ - - - id: si-4.g_obj.4 - name: objective - properties: - - - name: label - value: SI-4(g)[4] - prose: - """ - provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following: - """ - parts: - - - id: si-4.g_obj.4.a - name: objective - properties: - - - name: label - value: SI-4(g)[4][a] - prose: as needed; and/or - - - id: si-4.g_obj.4.b - name: objective - properties: - - - name: label - value: SI-4(g)[4][b] - prose: with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Continuous monitoring strategy\n\nsystem and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\nfacility diagram/layout\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\nlocations within information system where monitoring devices are deployed\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility monitoring the information system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing information system monitoring - capability - """ - - - id: si-5 - class: SP800-53 - title: Security Alerts, Advisories, and Directives - parameters: - - - id: si-5_prm_1 - label: organization-defined external organizations - - - id: si-5_prm_2 - - - id: si-5_prm_3 - depends-on: si-5_prm_2 - label: organization-defined personnel or roles - - - id: si-5_prm_4 - depends-on: si-5_prm_2 - label: organization-defined elements within the organization - - - id: si-5_prm_5 - depends-on: si-5_prm_2 - label: organization-defined external organizations - properties: - - - name: label - value: SI-5 - - - name: sort-id - value: si-05 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - parts: - - - id: si-5_smt - name: statement - prose: The organization: - parts: - - - id: si-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receives information system security alerts, advisories, and directives from - {{ si-5_prm_1 }} on an ongoing basis; - """ - - - id: si-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and - - - id: si-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance. - """ - - - id: si-5_gdn - name: guidance - prose: - """ - The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations. - """ - links: - - - href: #si-2 - rel: related - text: SI-2 - - - id: si-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-5.a_obj - name: objective - properties: - - - name: label - value: SI-5(a) - parts: - - - id: si-5.a_obj.1 - name: objective - properties: - - - name: label - value: SI-5(a)[1] - prose: - """ - defines external organizations from whom information system security alerts, - advisories and directives are to be received; - """ - - - id: si-5.a_obj.2 - name: objective - properties: - - - name: label - value: SI-5(a)[2] - prose: - """ - receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis; - """ - - - id: si-5.b_obj - name: objective - properties: - - - name: label - value: SI-5(b) - prose: - """ - generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5.c_obj - name: objective - properties: - - - name: label - value: SI-5(c) - parts: - - - id: si-5.c_obj.1 - name: objective - properties: - - - name: label - value: SI-5(c)[1] - prose: - """ - defines personnel or roles to whom security alerts, advisories, and directives - are to be provided; - """ - - - id: si-5.c_obj.2 - name: objective - properties: - - - name: label - value: SI-5(c)[2] - prose: - """ - defines elements within the organization to whom security alerts, advisories, - and directives are to be provided; - """ - - - id: si-5.c_obj.3 - name: objective - properties: - - - name: label - value: SI-5(c)[3] - prose: - """ - defines external organizations to whom security alerts, advisories, and - directives are to be provided; - """ - - - id: si-5.c_obj.4 - name: objective - properties: - - - name: label - value: SI-5(c)[4] - prose: - """ - disseminates security alerts, advisories, and directives to one or more of the - following: - """ - parts: - - - id: si-5.c_obj.4.a - name: objective - properties: - - - name: label - value: SI-5(c)[4][a] - prose: organization-defined personnel or roles; - - - id: si-5.c_obj.4.b - name: objective - properties: - - - name: label - value: SI-5(c)[4][b] - prose: organization-defined elements within the organization; and/or - - - id: si-5.c_obj.4.c - name: objective - properties: - - - name: label - value: SI-5(c)[4][c] - prose: organization-defined external organizations; and - - - id: si-5.d_obj - name: objective - properties: - - - name: label - value: SI-5(d) - parts: - - - id: si-5.d_obj.1 - name: objective - properties: - - - name: label - value: SI-5(d)[1] - prose: - """ - implements security directives in accordance with established time frames; - or - """ - - - id: si-5.d_obj.2 - name: objective - properties: - - - name: label - value: SI-5(d)[2] - prose: notifies the issuing organization of the degree of noncompliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing security alerts, advisories, and directives\n\nrecords of security alerts and advisories\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the - information system\n\norganizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing security directives - """ - - - id: si-12 - class: SP800-53 - title: Information Handling and Retention - properties: - - - name: label - value: SI-12 - - - name: sort-id - value: si-12 - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - id: si-12_smt - name: statement - prose: - """ - The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements. - """ - - - id: si-12_gdn - name: guidance - prose: - """ - Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention. - """ - links: - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - id: si-12_obj - name: objective - prose: - """ - Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements: - """ - parts: - - - id: si-12_obj.1 - name: objective - properties: - - - name: label - value: SI-12[1] - prose: handles information within the information system; - - - id: si-12_obj.2 - name: objective - properties: - - - name: label - value: SI-12[2] - prose: handles output from the information system; - - - id: si-12_obj.3 - name: objective - properties: - - - name: label - value: SI-12[3] - prose: retains information within the information system; and - - - id: si-12_obj.4 - name: objective - properties: - - - name: label - value: SI-12[4] - prose: retains output from the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention\n\nmedia protection policy and procedures\n\nprocedures addressing information system output handling and retention\n\ninformation retention records, other relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for information handling and - retention\n\norganizational personnel with information security responsibilities/network - administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information handling and retention\n\nautomated mechanisms supporting and/or implementing information handling and - retention - """ - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Attestation - Specifically related to US-CERT and FedRAMP communications - procedures. - """ - back-matter: - resources: - - - uuid: 0c97e60b-325a-4efa-ba2b-90f20ccd5abc - title: 5 C.F.R. 731.106 - citation: - text: - """ - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - """ - rlinks: - - - href: http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html - - - uuid: bb61234b-46c3-4211-8c2b-9869222a720d - title: C.F.R. 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title: NIST Special Publication 800-57 - citation: - text: NIST Special Publication 800-57 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-57 - - - uuid: f152844f-b1ef-4836-8729-6277078ebee1 - title: NIST Special Publication 800-60 - citation: - text: NIST Special Publication 800-60 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-60 - - - uuid: be95fb85-a53f-4624-bdbb-140075500aa3 - title: NIST Special Publication 800-61 - citation: - text: NIST Special Publication 800-61 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-61 - - - uuid: 644f44a9-a2de-4494-9c04-cd37fba45471 - title: NIST Special Publication 800-63 - citation: - text: NIST Special Publication 800-63 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-63 - - - uuid: abd950ae-092f-4b7a-b374-1c7c67fe9350 - title: NIST Special Publication 800-64 - citation: - text: NIST Special Publication 800-64 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-64 - - - uuid: 29fcfe59-33cd-494a-8756-5907ae3a8f92 - title: NIST Special Publication 800-65 - citation: - text: NIST Special Publication 800-65 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-65 - - - uuid: 84a37532-6db6-477b-9ea8-f9085ebca0fc - title: NIST Special Publication 800-70 - citation: - text: NIST Special Publication 800-70 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-70 - - - uuid: ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - title: NIST Special Publication 800-73 - citation: - text: NIST Special Publication 800-73 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-73 - - - uuid: 2a71298a-ee90-490e-80ff-48c967173a47 - title: NIST Special Publication 800-76 - citation: - text: NIST Special Publication 800-76 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-76 - - - uuid: 99f331f2-a9f0-46c2-9856-a3cbb9b89442 - title: NIST Special Publication 800-77 - citation: - text: NIST Special Publication 800-77 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-77 - - - uuid: 2042d97b-f7f6-4c74-84f8-981867684659 - title: NIST Special Publication 800-78 - citation: - text: NIST Special Publication 800-78 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-78 - - - uuid: 6af1e841-672c-46c4-b121-96f603d04be3 - title: NIST Special Publication 800-81 - citation: - text: NIST Special Publication 800-81 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-81 - - - uuid: 6d431fee-658f-4a0e-9f2e-a38b5d398fab - title: NIST Special Publication 800-83 - citation: - text: NIST Special Publication 800-83 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-83 - - - uuid: 0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - title: NIST Special Publication 800-84 - citation: - text: NIST Special Publication 800-84 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-84 - - - uuid: 263823e0-a971-4b00-959d-315b26278b22 - title: NIST Special Publication 800-88 - citation: - text: NIST Special Publication 800-88 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-88 - - - uuid: 672fd561-b92b-4713-b9cf-6c9d9456728b - title: NIST Special Publication 800-92 - citation: - text: NIST Special Publication 800-92 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-92 - - - uuid: d1b1d689-0f66-4474-9924-c81119758dc1 - title: NIST Special Publication 800-94 - citation: - text: NIST Special Publication 800-94 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-94 - - - uuid: 6f336ecd-f2a0-4c84-9699-0491d81b6e0d - title: NIST Special Publication 800-97 - citation: - text: NIST Special Publication 800-97 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsSPs.html#800-97 - - - uuid: 9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab - title: OMB Circular A-130 - citation: - text: OMB Circular A-130 - rlinks: - - - href: http://www.whitehouse.gov/omb/circulars_a130_a130trans4 - - - uuid: 2c5884cd-7b96-425c-862a-99877e1cf909 - title: OMB Memorandum 02-01 - citation: - text: OMB Memorandum 02-01 - rlinks: - - - href: http://www.whitehouse.gov/omb/memoranda_m02-01 - - - uuid: ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - title: OMB Memorandum 04-04 - citation: - text: OMB Memorandum 04-04 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf - - - uuid: 4da24a96-6cf8-435d-9d1f-c73247cad109 - title: OMB Memorandum 06-16 - citation: - text: OMB Memorandum 06-16 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2006/m06-16.pdf - - - uuid: 990268bf-f4a9-4c81-91ae-dc7d3115f4b1 - title: OMB Memorandum 07-11 - citation: - text: OMB Memorandum 07-11 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2007/m07-11.pdf - - - uuid: 0b3d8ba9-051f-498d-81ea-97f0f018c612 - title: OMB Memorandum 07-18 - citation: - text: OMB Memorandum 07-18 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2007/m07-18.pdf - - - uuid: 0916ef02-3618-411b-a525-565c088849a6 - title: OMB Memorandum 08-22 - citation: - text: OMB Memorandum 08-22 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-22.pdf - - - uuid: 28115a56-da6b-4d44-b1df-51dd7f048a3e - title: OMB Memorandum 08-23 - citation: - text: OMB Memorandum 08-23 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2008/m08-23.pdf - - - uuid: 599fe9ba-4750-4450-9eeb-b95bd19a5e8f - title: OMB Memorandum 10-06-2011 - citation: - text: OMB Memorandum 10-06-2011 - - - uuid: 74e740a4-c45d-49f3-a86e-eb747c549e01 - title: OMB Memorandum 11-11 - citation: - text: OMB Memorandum 11-11 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-11.pdf - - - uuid: bedb15b7-ec5c-4a68-807f-385125751fcd - title: OMB Memorandum 11-33 - citation: - text: OMB Memorandum 11-33 - rlinks: - - - href: http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-33.pdf - - - uuid: dd2f5acd-08f1-435a-9837-f8203088dc1a - title: - """ - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - """ - citation: - text: - """ - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - """ - - - uuid: 8ade2fbe-e468-4ca8-9a40-54d7f23c32bb - title: US-CERT Technical Cyber Security Alerts - citation: - text: US-CERT Technical Cyber Security Alerts - rlinks: - - - href: http://www.us-cert.gov/ncas/alerts - - - uuid: 985475ee-d4d6-4581-8fdf-d84d3d8caa48 - title: FedRAMP Applicable Laws and Regulations - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-citations - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/templates/SSP-A12-FedRAMP-Laws-and-Regulations-Template.xlsx - - - uuid: 1a23a771-d481-4594-9a1a-71d584fa4123 - title: FedRAMP Master Acronym and Glossary - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-acronyms - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf - - - uuid: a2381e87-3d04-4108-a30b-b4d2f36d001f - desc: FedRAMP Logo - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-logo - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/img/logo-main-fedramp.png - - - uuid: ad005eae-cc63-4e64-9109-3905a9a825e4 - title: NIST Special Publication (SP) 800-53 - properties: - - - name: version - ns: https://fedramp.gov/ns/oscal - value: Revision 4 - - - name: keep - value: always - rlinks: - - - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - media-type: application/xml diff --git a/content/fedramp.gov/yaml/FedRAMP_LI-SaaS-baseline_profile.yaml b/content/fedramp.gov/yaml/FedRAMP_LI-SaaS-baseline_profile.yaml deleted file mode 100644 index aedd77bef1..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_LI-SaaS-baseline_profile.yaml +++ /dev/null @@ -1,3132 +0,0 @@ -profile: - uuid: 48d3387b-e554-4232-97bc-a8617cf238d9 - metadata: - title: FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - published: 2020-02-02T00:00:00.000-05:00 - last-modified: 2020-06-01T10:00:00.000-05:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - imports: - - - href: #ad005eae-cc63-4e64-9109-3905a9a825e4 - include: - id-selectors: - - - control-id: ac-1 - - - control-id: ac-2 - - - control-id: ac-3 - - - control-id: ac-7 - - - control-id: ac-8 - - - control-id: ac-14 - - - control-id: ac-17 - - - control-id: ac-18 - - - control-id: ac-19 - - - control-id: ac-20 - - - control-id: ac-22 - - - control-id: at-1 - - - control-id: at-2 - - - control-id: at-3 - - - control-id: at-4 - - - control-id: au-1 - - - control-id: au-2 - - - control-id: au-3 - - - control-id: au-4 - - - control-id: au-5 - - - control-id: au-6 - - - control-id: au-8 - - - control-id: au-9 - - - control-id: au-11 - - - control-id: au-12 - - - control-id: ca-1 - - - control-id: ca-2 - - - control-id: ca-2.1 - - - control-id: ca-3 - - - control-id: ca-5 - - - control-id: ca-6 - - - control-id: ca-7 - - - control-id: ca-9 - - - control-id: cm-1 - - - control-id: cm-2 - - - control-id: cm-4 - - - control-id: cm-6 - - - control-id: cm-7 - - - control-id: cm-8 - - - control-id: cm-10 - - - control-id: cm-11 - - - control-id: cp-1 - - - control-id: cp-2 - - - control-id: cp-3 - - - control-id: cp-4 - - - control-id: cp-9 - - - control-id: cp-10 - - - control-id: ia-1 - - - control-id: ia-2 - - - control-id: ia-2.1 - - - control-id: ia-2.12 - - - control-id: ia-4 - - - control-id: ia-5 - - - control-id: ia-5.1 - - - control-id: ia-5.11 - - - control-id: ia-6 - - - control-id: ia-7 - - - control-id: ia-8 - - - control-id: ia-8.1 - - - control-id: ia-8.2 - - - control-id: ia-8.3 - - - control-id: ia-8.4 - - - control-id: ir-1 - - - control-id: ir-2 - - - control-id: ir-4 - - - control-id: ir-5 - - - control-id: ir-6 - - - control-id: ir-7 - - - control-id: ir-8 - - - control-id: ir-9 - - - control-id: ma-1 - - - control-id: ma-2 - - - control-id: ma-4 - - - control-id: ma-5 - - - control-id: mp-1 - - - control-id: mp-2 - - - control-id: mp-6 - - - control-id: mp-7 - - - control-id: pe-1 - - - control-id: pe-2 - - - control-id: pe-3 - - - control-id: pe-6 - - - control-id: pe-8 - - - control-id: pe-12 - - - control-id: pe-13 - - - control-id: pe-14 - - - control-id: pe-15 - - - control-id: pe-16 - - - control-id: pl-1 - - - control-id: pl-2 - - - control-id: pl-4 - - - control-id: ps-1 - - - control-id: ps-2 - - - control-id: ps-3 - - - control-id: ps-4 - - - control-id: ps-5 - - - control-id: ps-6 - - - control-id: ps-7 - - - control-id: ps-8 - - - control-id: ra-1 - - - control-id: ra-2 - - - control-id: ra-3 - - - control-id: ra-5 - - - control-id: sa-1 - - - control-id: sa-2 - - - control-id: sa-3 - - - control-id: sa-4 - - - control-id: sa-4.10 - - - control-id: sa-5 - - - control-id: sa-9 - - - control-id: sc-1 - - - control-id: sc-5 - - - control-id: sc-7 - - - control-id: sc-12 - - - control-id: sc-13 - - - control-id: sc-15 - - - control-id: sc-20 - - - control-id: sc-21 - - - control-id: sc-22 - - - control-id: sc-39 - - - control-id: si-1 - - - control-id: si-2 - - - control-id: si-3 - - - control-id: si-4 - - - control-id: si-5 - - - control-id: si-12 - merge: - combine: - method: keep - as-is: true - modify: - parameter-settings: - ac-22_prm_1: - constraints: - - - detail: at least quarterly - au-5_prm_2: - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - au-6_prm_1: - constraints: - - - detail: at least weekly - ca-2_prm_1: - constraints: - - - detail: at least annually - ca-2_prm_2: - constraints: - - - detail: individuals or roles to include FedRAMP PMO - ca-3_prm_1: - constraints: - - - detail: at least annually and on input from FedRAMP - ca-5_prm_1: - constraints: - - - detail: at least monthly - ca-6_prm_1: - constraints: - - - detail: at least every three years or when a significant change occurs - ca-7_prm_4: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - ca-7_prm_5: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - cm-6_prm_1: - constraints: - - - detail: see CM-6(a) Additional FedRAMP Requirements and Guidance - cm-8_prm_2: - constraints: - - - detail: at least monthly - cp-9_prm_1: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_2: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_3: - constraints: - - - detail: daily incremental; weekly full - ir-6_prm_1: - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - pe-2_prm_1: - constraints: - - - detail: at least annually - pe-3_prm_2: - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - pe-3_prm_6: - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - pe-3_prm_8: - constraints: - - - detail: at least annually - pe-3_prm_9: - constraints: - - - detail: at least annually - pe-6_prm_1: - constraints: - - - detail: at least monthly - pe-8_prm_1: - constraints: - - - detail: for a minimum of one (1) year - pe-8_prm_2: - constraints: - - - detail: at least monthly - pe-14_prm_1: - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - pe-14_prm_2: - constraints: - - - detail: continuously - pe-16_prm_1: - constraints: - - - detail: all information system components - pl-2_prm_2: - constraints: - - - detail: at least annually - ps-3_prm_1: - constraints: - - - detail: For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - ra-3_prm_2: - constraints: - - - detail: security assessment report - ra-3_prm_3: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ra-3_prm_5: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ra-5_prm_1: - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - ra-5_prm_2: - constraints: - - - detail: [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - sa-9_prm_1: - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - sa-9_prm_2: - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - sc-13_prm_1: - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - si-2_prm_1: - constraints: - - - detail: within 30 days of release of updates - si-3_prm_1: - constraints: - - - detail: at least weekly - si-3_prm_2: - constraints: - - - detail: to include endpoints - si-3_prm_3: - constraints: - - - detail: to include alerting administrator or defined security personnel - alterations: - - - control-id: ac-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ac-2 - removals: - - - id-ref: ac-2_smt.b - - - id-ref: ac-2_smt.c - - - id-ref: ac-2_smt.d - - - id-ref: ac-2_smt.e - - - id-ref: ac-2_smt.i - - - id-ref: ac-2_smt.j - - - id-ref: ac-2_smt.k - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ac-2_fr - name: item - title: AC-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored - for LI-SaaS. - """ - - - control-id: ac-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: ac-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication. - """ - - - control-id: ac-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: FED - This is related to agency data and agency policy solution. - - - control-id: ac-14 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: FED - This is related to agency data and agency policy solution. - - - control-id: ac-17 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: ac-18 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - All access to Cloud SaaS are via web services and/or API. The device - accessed from or whether via wired or wireless connection is out of scope. - Regardless of device accessed from, must utilize approved remote access methods - (AC-17), secure communication with strong encryption (SC-13), key management - (SC-12), and multi-factor authentication for privileged access (IA-2[1]). - """ - - - control-id: ac-19 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - All access to Cloud SaaS are via web service and/or API. The device accessed - from is out of the scope. Regardless of device accessed from, must utilize - approved remote access methods (AC-17), secure communication with strong - encryption (SC-13), key management (SC-12), and multi-factor authentication for - privileged access (IA-2 [1]). - """ - - - control-id: ac-20 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ac-22 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: at-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: at-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: at-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: at-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: au-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: au-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: au-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: au-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the audit data has been determined to have little or - no impact to government business/mission needs. - """ - - - control-id: au-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: au-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: au-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: au-9 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: au-11 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the audit data has been determined as little or no - impact to government business/mission needs. - """ - - - control-id: au-12 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ca-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ca-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - """ - - - control-id: ca-2.1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ca-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured. - """ - - - control-id: ca-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring - Requirements. - """ - - - control-id: ca-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F. The service provider describes the types of changes to the - information system or the environment of operations that would impact the risk - posture. The types of changes are approved and accepted by the Authorizing - Official. - """ - - - control-id: ca-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - CSPs must provide evidence of closure and remediation of high vulnerabilities - within the timeframe for standard POA&M updates. - """ - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - """ - - - control-id: ca-9 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured. - """ - - - control-id: cm-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: cm-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: cm-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: cm-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Required - Specifically include details of least functionality. - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: - """ - The service provider shall use the Center for Internet Security guidelines - (Level 1) to establish configuration settings or establishes its own - configuration settings if USGCB is not available. - """ - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: - """ - The service provider shall ensure that checklists for configuration settings - are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP - compatible (if validated checklists are not available). - """ - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - control-id: cm-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: cm-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - control-id: cm-10 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: NSO- Not directly related to protection of the data. - - - control-id: cm-11 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Boundary is specific to SaaS environment; all access is via web services; - users' machine or internal network are not contemplated. External services (SA-9), - internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and - SC-13), and privileged authentication (IA-2[1]) are considerations. - """ - - - control-id: cp-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: cp-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - control-id: cp-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - control-id: cp-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - control-id: cp-9 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: - """ - The service provider shall determine what elements of the cloud environment - require the Information System Backup control. The service provider shall - determine how Information System Backup is going to be verified and appropriate - periodicity of the check. - """ - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: - """ - The service provider maintains at least three backup copies of user-level - information (at least one of which is available online). - """ - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: - """ - The service provider maintains at least three backup copies of system-level - information (at least one of which is available online). - """ - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: - """ - The service provider maintains at least three backup copies of information - system documentation including security information (at least one of which is - available online). - """ - - - control-id: cp-10 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs. - """ - - - control-id: ia-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication - specifically include description - of management of service accounts. - """ - - - control-id: ia-2.1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: ia-2.12 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP. - """ - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Include Common Access Card (CAC), i.e., the DoD technical implementation of - PIV/FIPS 201/HSPD-12. - """ - - - control-id: ia-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-5.1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-5.11 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - FED - for Federal privileged users. Condition - Must document and assess for - privileged users. May attest to this control for non-privileged users. - """ - - - control-id: ia-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: ia-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-8.1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP. - """ - - - control-id: ia-8.2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP. - """ - - - control-id: ia-8.3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ia-8.4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ir-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ir-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ir-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ir-4_fr - name: item - title: IR-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-4_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: - """ - The service provider ensures that individuals conducting incident handling meet - personnel security requirements commensurate with the criticality/sensitivity - of the information being processed, stored, and transmitted by the information - system. - """ - - - control-id: ir-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ir-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ir-6_fr - name: item - title: IR-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: - """ - Report security incident information according to FedRAMP Incident - Communications Procedure. - """ - - - control-id: ir-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ir-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Attestation - Specifically attest to US-CERT compliance. - - - control-id: ir-9 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Attestation - Specifically describe information spillage response processes. - - - control-id: ma-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ma-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: ma-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ma-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: mp-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: mp-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: mp-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: mp-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: pe-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-12 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-13 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-14 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - id: pe-14_fr - name: item - title: PE-14(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: pe-14_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: - """ - The service provider measures temperature at server inlets and humidity levels - by dew point. - """ - - - control-id: pe-15 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pe-16 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS. - - - control-id: pl-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: pl-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: pl-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ps-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ps-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: FED - - - control-id: ps-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: ps-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ps-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ps-6 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ps-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Attestation - Specifically stating that any third-party security personnel are - treated as CSP employees. - """ - - - control-id: ps-8 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ra-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: ra-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: ra-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ra-3_fr - name: item - title: RA-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F - """ - - - id: ra-3_fr_smt.d - name: item - properties: - - - name: label - value: RA-3 (d) Requirement: - prose: - """ - Include all Authorizing Officials; for JAB authorizations to include - FedRAMP. - """ - - - control-id: ra-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: ra-5_fr_smt.a - name: item - title: RA-5(a) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (a)Requirement: - prose: - """ - An accredited independent assessor scans operating systems/infrastructure, web - applications, and databases once annually. - """ - - - id: ra-5_fr_smt.e - name: item - title: RA-5(e) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (e)Requirement: - prose: - """ - To include all Authorizing Officials; for JAB authorizations to include - FedRAMP. - """ - - - id: ra-5_fr - name: item - title: RA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)) - """ - - - control-id: sa-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sa-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sa-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sa-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sa-4.10 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sa-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sa-9 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: sc-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sc-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Condition: If availability is a requirement, define protections in place as per - control requirement. - """ - - - control-id: sc-7 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: sc-12 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - parts: - - - id: sc-12_fr - name: item - title: SC-12 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Federally approved cryptography. - - - control-id: sc-13 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: CONDITIONAL - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: Condition: If implementing need to detail how they meet it or don't meet it. - - - control-id: sc-15 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: NSO - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: NSO - Not directly related to the security of the SaaS. - - - control-id: sc-20 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sc-21 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sc-22 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: sc-39 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: si-1 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: si-2 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: si-3 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: si-4 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ASSESS - - - control-id: si-5 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - - - control-id: si-12 - removals: - - - name-ref: objective - - - name-ref: assessment - additions: - - - position: ending - properties: - - - name: method - class: FedRAMP-Tailored-LI-SaaS - value: ATTEST - parts: - - - name: guidance - class: FedRAMP-Tailored-LI-SaaS - prose: - """ - Attestation - Specifically related to US-CERT and FedRAMP communications - procedures. - """ - back-matter: - resources: - - - uuid: 985475ee-d4d6-4581-8fdf-d84d3d8caa48 - title: FedRAMP Applicable Laws and Regulations - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-citations - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/templates/SSP-A12-FedRAMP-Laws-and-Regulations-Template.xlsx - - - uuid: 1a23a771-d481-4594-9a1a-71d584fa4123 - title: FedRAMP Master Acronym and Glossary - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-acronyms - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf - - - uuid: a2381e87-3d04-4108-a30b-b4d2f36d001f - desc: FedRAMP Logo - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-logo - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/img/logo-main-fedramp.png - - - uuid: ad005eae-cc63-4e64-9109-3905a9a825e4 - title: NIST Special Publication (SP) 800-53 - properties: - - - name: version - ns: https://fedramp.gov/ns/oscal - value: Revision 4 - - - name: keep - value: always - rlinks: - - - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - media-type: application/xml diff --git a/content/fedramp.gov/yaml/FedRAMP_LOW-baseline-resolved-profile_catalog.yaml b/content/fedramp.gov/yaml/FedRAMP_LOW-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index ce79e3a5fb..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_LOW-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,41309 +0,0 @@ -catalog: - uuid: d320d731-1aea-4d48-a4df-05b1c9f48c04 - metadata: - title: FedRAMP Low Baseline - published: 2020-06-01T00:00:00.000-04:00 - last-modified: 2020-06-01T10:00:00.000-04:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - properties: - - - name: resolution-timestamp - value: 2020-08-31T17:38:45.129825Z - links: - - - href: FedRAMP_LOW-baseline_profile.xml - rel: resolution-source - text: FedRAMP Low Baseline - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - groups: - - - id: ac - class: family - title: Access Control - controls: - - - id: ac-1 - class: SP800-53 - title: Access Control Policy and Procedures - parameters: - - - id: ac-1_prm_1 - label: organization-defined personnel or roles - - - id: ac-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ac-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-1 - - - name: sort-id - value: ac-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ac-1_smt - name: statement - prose: The organization: - parts: - - - id: ac-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ac-1_prm_1 }}: - parts: - - - id: ac-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ac-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the access control policy and - associated access controls; and - """ - - - id: ac-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ac-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Access control policy {{ ac-1_prm_2 }}; and - - - id: ac-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Access control procedures {{ ac-1_prm_3 }}. - - - id: ac-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ac-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-1.a_obj - name: objective - properties: - - - name: label - value: AC-1(a) - parts: - - - id: ac-1.a.1_obj - name: objective - properties: - - - name: label - value: AC-1(a)(1) - parts: - - - id: ac-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(1)[1] - prose: develops and documents an access control policy that addresses: - parts: - - - id: ac-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][a] - prose: purpose; - - - id: ac-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][b] - prose: scope; - - - id: ac-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][c] - prose: roles; - - - id: ac-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][d] - prose: responsibilities; - - - id: ac-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][e] - prose: management commitment; - - - id: ac-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ac-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][g] - prose: compliance; - - - id: ac-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the access control policy are to be - disseminated; - """ - - - id: ac-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-1(a)(1)[3] - prose: - """ - disseminates the access control policy to organization-defined personnel or - roles; - """ - - - id: ac-1.a.2_obj - name: objective - properties: - - - name: label - value: AC-1(a)(2) - parts: - - - id: ac-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls; - """ - - - id: ac-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ac-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ac-1.b_obj - name: objective - properties: - - - name: label - value: AC-1(b) - parts: - - - id: ac-1.b.1_obj - name: objective - properties: - - - name: label - value: AC-1(b)(1) - parts: - - - id: ac-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current access control - policy; - """ - - - id: ac-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(1)[2] - prose: - """ - reviews and updates the current access control policy with the - organization-defined frequency; - """ - - - id: ac-1.b.2_obj - name: objective - properties: - - - name: label - value: AC-1(b)(2) - parts: - - - id: ac-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current access control - procedures; and - """ - - - id: ac-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(2)[2] - prose: - """ - reviews and updates the current access control procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ac-2 - class: SP800-53 - title: Account Management - parameters: - - - id: ac-2_prm_1 - label: organization-defined information system account types - - - id: ac-2_prm_2 - label: organization-defined personnel or roles - - - id: ac-2_prm_3 - label: organization-defined procedures or conditions - - - id: ac-2_prm_4 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2 - - - name: sort-id - value: ac-02 - parts: - - - id: ac-2_smt - name: statement - prose: The organization: - parts: - - - id: ac-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies and selects the following types of information system accounts to - support organizational missions/business functions: {{ ac-2_prm_1 }}; - """ - - - id: ac-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Assigns account managers for information system accounts; - - - id: ac-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Establishes conditions for group and role membership; - - - id: ac-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account; - """ - - - id: ac-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Requires approvals by {{ ac-2_prm_2 }} for requests to create - information system accounts; - """ - - - id: ac-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Creates, enables, modifies, disables, and removes information system accounts in - accordance with {{ ac-2_prm_3 }}; - """ - - - id: ac-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Monitors the use of information system accounts; - - - id: ac-2_smt.h - name: item - properties: - - - name: label - value: h. - prose: Notifies account managers: - parts: - - - id: ac-2_smt.h.1 - name: item - properties: - - - name: label - value: 1. - prose: When accounts are no longer required; - - - id: ac-2_smt.h.2 - name: item - properties: - - - name: label - value: 2. - prose: When users are terminated or transferred; and - - - id: ac-2_smt.h.3 - name: item - properties: - - - name: label - value: 3. - prose: When individual information system usage or need-to-know changes; - - - id: ac-2_smt.i - name: item - properties: - - - name: label - value: i. - prose: Authorizes access to the information system based on: - parts: - - - id: ac-2_smt.i.1 - name: item - properties: - - - name: label - value: 1. - prose: A valid access authorization; - - - id: ac-2_smt.i.2 - name: item - properties: - - - name: label - value: 2. - prose: Intended system usage; and - - - id: ac-2_smt.i.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2_smt.j - name: item - properties: - - - name: label - value: j. - prose: Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and - - - id: ac-2_smt.k - name: item - properties: - - - name: label - value: k. - prose: - """ - Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - id: ac-2_gdn - name: guidance - prose: - """ - Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-10 - rel: related - text: AC-10 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.a_obj - name: objective - properties: - - - name: label - value: AC-2(a) - parts: - - - id: ac-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(a)[1] - prose: - """ - defines information system account types to be identified and selected to - support organizational missions/business functions; - """ - - - id: ac-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-2(a)[2] - prose: - """ - identifies and selects organization-defined information system account types to - support organizational missions/business functions; - """ - - - id: ac-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-2(b) - prose: assigns account managers for information system accounts; - - - id: ac-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(c) - prose: establishes conditions for group and role membership; - - - id: ac-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(d) - prose: specifies for each account (as required): - parts: - - - id: ac-2.d_obj.1 - name: objective - properties: - - - name: label - value: AC-2(d)[1] - prose: authorized users of the information system; - - - id: ac-2.d_obj.2 - name: objective - properties: - - - name: label - value: AC-2(d)[2] - prose: group and role membership; - - - id: ac-2.d_obj.3 - name: objective - properties: - - - name: label - value: AC-2(d)[3] - prose: access authorizations (i.e., privileges); - - - id: ac-2.d_obj.4 - name: objective - properties: - - - name: label - value: AC-2(d)[4] - prose: other attributes; - - - id: ac-2.e_obj - name: objective - properties: - - - name: label - value: AC-2(e) - parts: - - - id: ac-2.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(e)[1] - prose: - """ - defines personnel or roles required to approve requests to create information - system accounts; - """ - - - id: ac-2.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(e)[2] - prose: - """ - requires approvals by organization-defined personnel or roles for requests to - create information system accounts; - """ - - - id: ac-2.f_obj - name: objective - properties: - - - name: label - value: AC-2(f) - parts: - - - id: ac-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(f)[1] - prose: defines procedures or conditions to: - parts: - - - id: ac-2.f_obj.1.a - name: objective - properties: - - - name: label - value: AC-2(f)[1][a] - prose: create information system accounts; - - - id: ac-2.f_obj.1.b - name: objective - properties: - - - name: label - value: AC-2(f)[1][b] - prose: enable information system accounts; - - - id: ac-2.f_obj.1.c - name: objective - properties: - - - name: label - value: AC-2(f)[1][c] - prose: modify information system accounts; - - - id: ac-2.f_obj.1.d - name: objective - properties: - - - name: label - value: AC-2(f)[1][d] - prose: disable information system accounts; - - - id: ac-2.f_obj.1.e - name: objective - properties: - - - name: label - value: AC-2(f)[1][e] - prose: remove information system accounts; - - - id: ac-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(f)[2] - prose: in accordance with organization-defined procedures or conditions: - parts: - - - id: ac-2.f_obj.2.a - name: objective - properties: - - - name: label - value: AC-2(f)[2][a] - prose: creates information system accounts; - - - id: ac-2.f_obj.2.b - name: objective - properties: - - - name: label - value: AC-2(f)[2][b] - prose: enables information system accounts; - - - id: ac-2.f_obj.2.c - name: objective - properties: - - - name: label - value: AC-2(f)[2][c] - prose: modifies information system accounts; - - - id: ac-2.f_obj.2.d - name: objective - properties: - - - name: label - value: AC-2(f)[2][d] - prose: disables information system accounts; - - - id: ac-2.f_obj.2.e - name: objective - properties: - - - name: label - value: AC-2(f)[2][e] - prose: removes information system accounts; - - - id: ac-2.g_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(g) - prose: monitors the use of information system accounts; - - - id: ac-2.h_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(h) - prose: notifies account managers: - parts: - - - id: ac-2.h.1_obj - name: objective - properties: - - - name: label - value: AC-2(h)(1) - prose: when accounts are no longer required; - - - id: ac-2.h.2_obj - name: objective - properties: - - - name: label - value: AC-2(h)(2) - prose: when users are terminated or transferred; - - - id: ac-2.h.3_obj - name: objective - properties: - - - name: label - value: AC-2(h)(3) - prose: when individual information system usage or need to know changes; - - - id: ac-2.i_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(i) - prose: authorizes access to the information system based on; - parts: - - - id: ac-2.i.1_obj - name: objective - properties: - - - name: label - value: AC-2(i)(1) - prose: a valid access authorization; - - - id: ac-2.i.2_obj - name: objective - properties: - - - name: label - value: AC-2(i)(2) - prose: intended system usage; - - - id: ac-2.i.3_obj - name: objective - properties: - - - name: label - value: AC-2(i)(3) - prose: - """ - other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2.j_obj - name: objective - properties: - - - name: label - value: AC-2(j) - parts: - - - id: ac-2.j_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(j)[1] - prose: - """ - defines the frequency to review accounts for compliance with account management - requirements; - """ - - - id: ac-2.j_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(j)[2] - prose: - """ - reviews accounts for compliance with account management requirements with the - organization-defined frequency; and - """ - - - id: ac-2.k_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(k) - prose: - """ - establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of active system accounts along with the name of the individual associated - with each account\n\nlist of conditions for group and role membership\n\nnotifications or records of recently transferred, separated, or terminated - employees\n\nlist of recently disabled information system accounts along with the name of the - individual associated with each account\n\naccess authorization records\n\naccount management compliance reviews\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes account management on the information system\n\nautomated mechanisms for implementing account management - - - id: ac-3 - class: SP800-53 - title: Access Enforcement - properties: - - - name: label - value: AC-3 - - - name: sort-id - value: ac-03 - parts: - - - id: ac-3_smt - name: statement - prose: - """ - The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies. - """ - - - id: ac-3_gdn - name: guidance - prose: - """ - Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ac-21 - rel: related - text: AC-21 - - - href: #ac-22 - rel: related - text: AC-22 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: ac-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing access enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of approved authorizations (user privileges)\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing access control policy - - - id: ac-7 - class: SP800-53 - title: Unsuccessful Logon Attempts - parameters: - - - id: ac-7_prm_1 - label: organization-defined number - constraints: - - - detail: not more than three (3) - - - id: ac-7_prm_2 - label: organization-defined time period - constraints: - - - detail: fifteen (15) minutes - - - id: ac-7_prm_3 - - - id: ac-7_prm_4 - depends-on: ac-7_prm_3 - label: organization-defined time period - constraints: - - - detail: thirty (30) minutes - - - id: ac-7_prm_5 - depends-on: ac-7_prm_3 - label: organization-defined delay algorithm - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-7 - - - name: sort-id - value: ac-07 - parts: - - - id: ac-7_smt - name: statement - prose: The information system: - parts: - - - id: ac-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon - attempts by a user during a {{ ac-7_prm_2 }}; and - """ - - - id: ac-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Automatically {{ ac-7_prm_3 }} when the maximum number of - unsuccessful attempts is exceeded. - """ - - - id: ac-7_gdn - name: guidance - prose: - """ - This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ia-5 - rel: related - text: IA-5 - - - id: ac-7_obj - name: objective - prose: Determine if: - parts: - - - id: ac-7.a_obj - name: objective - properties: - - - name: label - value: AC-7(a) - parts: - - - id: ac-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(a)[1] - prose: - """ - the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period; - """ - - - id: ac-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(a)[2] - prose: - """ - the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts; - """ - - - id: ac-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(a)[3] - prose: - """ - the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period; - """ - - - id: ac-7.b_obj - name: objective - properties: - - - name: label - value: AC-7(b) - parts: - - - id: ac-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(b)[1] - prose: - """ - the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded; - """ - - - id: ac-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(b)[2] - prose: - """ - the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically: - """ - parts: - - - id: ac-7.b_obj.2.a - name: objective - properties: - - - name: label - value: AC-7(b)[2][a] - prose: locks the account/node for the organization-defined time period; - - - id: ac-7.b_obj.2.b - name: objective - properties: - - - name: label - value: AC-7(b)[2][b] - prose: locks the account/node until released by an administrator; or - - - id: ac-7.b_obj.2.c - name: objective - properties: - - - name: label - value: AC-7(b)[2][c] - prose: - """ - delays next logon prompt according to the organization-defined delay - algorithm. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing unsuccessful logon attempts\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem developers\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for unsuccessful logon - attempts - """ - - - id: ac-8 - class: SP800-53 - title: System Use Notification - parameters: - - - id: ac-8_prm_1 - label: organization-defined system use notification message or banner - constraints: - - - detail: see additional Requirements and Guidance - - - id: ac-8_prm_2 - label: organization-defined conditions - constraints: - - - detail: see additional Requirements and Guidance - properties: - - - name: label - value: AC-8 - - - name: sort-id - value: ac-08 - parts: - - - id: ac-8_smt - name: statement - prose: The information system: - parts: - - - id: ac-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Displays to users {{ ac-8_prm_1 }} before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that: - """ - parts: - - - id: ac-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Users are accessing a U.S. Government information system; - - - id: ac-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Information system usage may be monitored, recorded, and subject to audit; - - - id: ac-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and - """ - - - id: ac-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and - """ - - - id: ac-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: For publicly accessible systems: - parts: - - - id: ac-8_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Displays system use information {{ ac-8_prm_2 }}, before - granting further access; - """ - - - id: ac-8_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and - """ - - - id: ac-8_smt.c.3 - name: item - properties: - - - name: label - value: 3. - prose: Includes a description of the authorized uses of the system. - - - id: ac-8_fr - name: item - title: AC-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. - - - id: ac-8_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. - - - id: ac-8_fr_smt.3 - name: item - properties: - - - name: label - value: Requirement: - prose: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO. - - - id: ac-8_gdn - name: guidance - prose: - """ - System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content. - """ - - - id: ac-8_obj - name: objective - prose: Determine if: - parts: - - - id: ac-8.a_obj - name: objective - properties: - - - name: label - value: AC-8(a) - parts: - - - id: ac-8.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(a)[1] - prose: - """ - the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system; - """ - - - id: ac-8.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(a)[2] - prose: - """ - the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that: - """ - parts: - - - id: ac-8.a.1_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](1) - prose: users are accessing a U.S. Government information system; - - - id: ac-8.a.2_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](2) - prose: - """ - information system usage may be monitored, recorded, and subject to - audit; - """ - - - id: ac-8.a.3_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](3) - prose: - """ - unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; - """ - - - id: ac-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](4) - prose: - """ - use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(b) - prose: - """ - the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system; - """ - - - id: ac-8.c_obj - name: objective - properties: - - - name: label - value: AC-8(c) - prose: for publicly accessible systems: - parts: - - - id: ac-8.c.1_obj - name: objective - properties: - - - name: label - value: AC-8(c)(1) - parts: - - - id: ac-8.c.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(c)(1)[1] - prose: - """ - the organization defines conditions for system use to be displayed by the - information system before granting further access; - """ - - - id: ac-8.c.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(c)(1)[2] - prose: - """ - the information system displays organization-defined conditions before - granting further access; - """ - - - id: ac-8.c.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(c)(2) - prose: - """ - the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and - """ - - - id: ac-8.c.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(c)(3) - prose: - """ - the information system includes a description of the authorized uses of the - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprivacy and security policies, procedures addressing system use notification\n\ndocumented approval of information system use notification messages or banners\n\ninformation system audit records\n\nuser acknowledgements of notification message or banner\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system use notification messages\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for providing legal advice\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing system use notification - - - id: ac-14 - class: SP800-53 - title: Permitted Actions Without Identification or Authentication - parameters: - - - id: ac-14_prm_1 - label: organization-defined user actions - properties: - - - name: label - value: AC-14 - - - name: sort-id - value: ac-14 - parts: - - - id: ac-14_smt - name: statement - prose: The organization: - parts: - - - id: ac-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies {{ ac-14_prm_1 }} that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - id: ac-14_gdn - name: guidance - prose: - """ - This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - id: ac-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-14.a_obj - name: objective - properties: - - - name: label - value: AC-14(a) - parts: - - - id: ac-14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-14(a)[1] - prose: - """ - defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions; - """ - - - id: ac-14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-14(a)[2] - prose: - """ - identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-14(b) - prose: - """ - documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing permitted actions without identification or - authentication\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nlist of user actions that can be performed without identification or - authentication\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - id: ac-17 - class: SP800-53 - title: Remote Access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-17 - - - name: sort-id - value: ac-17 - links: - - - href: #5309d4d0-46f8-4213-a749-e7584164e5e8 - rel: reference - text: NIST Special Publication 800-46 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #349fe082-502d-464a-aa0c-1443c6a5cf40 - rel: reference - text: NIST Special Publication 800-113 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #d1a4e2a9-e512-4132-8795-5357aba29254 - rel: reference - text: NIST Special Publication 800-121 - parts: - - - id: ac-17_smt - name: statement - prose: The organization: - parts: - - - id: ac-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and - """ - - - id: ac-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes remote access to the information system prior to allowing such - connections. - """ - - - id: ac-17_gdn - name: guidance - prose: - """ - Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #pe-17 - rel: related - text: PE-17 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.a_obj - name: objective - properties: - - - name: label - value: AC-17(a) - parts: - - - id: ac-17.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[1] - prose: identifies the types of remote access allowed to the information system; - - - id: ac-17.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[2] - prose: establishes for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.2.a - name: objective - properties: - - - name: label - value: AC-17(a)[2][a] - prose: usage restrictions; - - - id: ac-17.a_obj.2.b - name: objective - properties: - - - name: label - value: AC-17(a)[2][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.2.c - name: objective - properties: - - - name: label - value: AC-17(a)[2][c] - prose: implementation guidance; - - - id: ac-17.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[3] - prose: documents for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.3.a - name: objective - properties: - - - name: label - value: AC-17(a)[3][a] - prose: usage restrictions; - - - id: ac-17.a_obj.3.b - name: objective - properties: - - - name: label - value: AC-17(a)[3][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.3.c - name: objective - properties: - - - name: label - value: AC-17(a)[3][c] - prose: implementation guidance; and - - - id: ac-17.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(b) - prose: - """ - authorizes remote access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing remote access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nremote access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing remote access - connections\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Remote access management capability for the information system - - - id: ac-18 - class: SP800-53 - title: Wireless Access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-18 - - - name: sort-id - value: ac-18 - links: - - - href: #238ed479-eccb-49f6-82ec-ab74a7a428cf - rel: reference - text: NIST Special Publication 800-48 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #6f336ecd-f2a0-4c84-9699-0491d81b6e0d - rel: reference - text: NIST Special Publication 800-97 - parts: - - - id: ac-18_smt - name: statement - prose: The organization: - parts: - - - id: ac-18_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and - """ - - - id: ac-18_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes wireless access to the information system prior to allowing such - connections. - """ - - - id: ac-18_gdn - name: guidance - prose: - """ - Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-18.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-18(a) - prose: establishes for wireless access: - parts: - - - id: ac-18.a_obj.1 - name: objective - properties: - - - name: label - value: AC-18(a)[1] - prose: usage restrictions; - - - id: ac-18.a_obj.2 - name: objective - properties: - - - name: label - value: AC-18(a)[2] - prose: configuration/connection requirement; - - - id: ac-18.a_obj.3 - name: objective - properties: - - - name: label - value: AC-18(a)[3] - prose: implementation guidance; and - - - id: ac-18.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-18(b) - prose: - """ - authorizes wireless access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nwireless access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing wireless access - connections\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Wireless access management capability for the information system - - - id: ac-19 - class: SP800-53 - title: Access Control for Mobile Devices - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-19 - - - name: sort-id - value: ac-19 - links: - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589 - rel: reference - text: NIST Special Publication 800-124 - - - href: #6513e480-fada-4876-abba-1397084dfb26 - rel: reference - text: NIST Special Publication 800-164 - parts: - - - id: ac-19_smt - name: statement - prose: The organization: - parts: - - - id: ac-19_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and - """ - - - id: ac-19_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes the connection of mobile devices to organizational information - systems. - """ - - - id: ac-19_gdn - name: guidance - prose: - """ - A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-9 - rel: related - text: CA-9 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-43 - rel: related - text: SC-43 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-19.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-19(a) - prose: establishes for organization-controlled mobile devices: - parts: - - - id: ac-19.a_obj.1 - name: objective - properties: - - - name: label - value: AC-19(a)[1] - prose: usage restrictions; - - - id: ac-19.a_obj.2 - name: objective - properties: - - - name: label - value: AC-19(a)[2] - prose: configuration/connection requirement; - - - id: ac-19.a_obj.3 - name: objective - properties: - - - name: label - value: AC-19(a)[3] - prose: implementation guidance; and - - - id: ac-19.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-19(b) - prose: - """ - authorizes the connection of mobile devices to organizational information - systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing access control for mobile device usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nauthorizations for mobile device connections to organizational information - systems\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel using mobile devices to access organizational information - systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Access control capability authorizing mobile device connections to organizational - information systems - """ - - - id: ac-20 - class: SP800-53 - title: Use of External Information Systems - properties: - - - name: label - value: AC-20 - - - name: sort-id - value: ac-20 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - parts: - - - id: ac-20_smt - name: statement - prose: - """ - The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: Access the information system from external information systems; and - - - id: ac-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Process, store, or transmit organization-controlled information using external - information systems. - """ - - - id: ac-20_gdn - name: guidance - prose: - """ - External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ac-20_obj - name: objective - prose: - """ - Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-20(a) - prose: access the information system from the external information systems; and - - - id: ac-20.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-20(b) - prose: - """ - process, store, or transmit organization-controlled information using external - information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing the use of external information systems\n\nexternal information systems terms and conditions\n\nlist of types of applications accessible from external information systems\n\nmaximum security categorization for information processed, stored, or transmitted - on external information systems\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing terms and conditions on use of external - information systems - """ - - - id: ac-22 - class: SP800-53 - title: Publicly Accessible Content - parameters: - - - id: ac-22_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least quarterly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-22 - - - name: sort-id - value: ac-22 - parts: - - - id: ac-22_smt - name: statement - prose: The organization: - parts: - - - id: ac-22_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and - """ - - - id: ac-22_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Reviews the content on the publicly accessible information system for nonpublic - information {{ ac-22_prm_1 }} and removes such information, if - discovered. - """ - - - id: ac-22_gdn - name: guidance - prose: - """ - In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-13 - rel: related - text: AU-13 - - - id: ac-22_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-22.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-22(a) - prose: - """ - designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(b) - prose: - """ - trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(c) - prose: - """ - reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; - """ - - - id: ac-22.d_obj - name: objective - properties: - - - name: label - value: AC-22(d) - parts: - - - id: ac-22.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-22(d)[1] - prose: - """ - defines the frequency to review the content on the publicly accessible - information system for nonpublic information; - """ - - - id: ac-22.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(d)[2] - prose: - """ - reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and - """ - - - id: ac-22.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(d)[3] - prose: - """ - removes nonpublic information from the publicly accessible information system, - if discovered. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing publicly accessible content\n\nlist of users authorized to post publicly accessible content on organizational - information systems\n\ntraining materials and/or records\n\nrecords of publicly accessible information reviews\n\nrecords of response to nonpublic information on public websites\n\nsystem audit logs\n\nsecurity awareness training records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing management of publicly accessible content - - - id: at - class: family - title: Awareness and Training - controls: - - - id: at-1 - class: SP800-53 - title: Security Awareness and Training Policy and Procedures - parameters: - - - id: at-1_prm_1 - label: organization-defined personnel or roles - - - id: at-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: at-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-1 - - - name: sort-id - value: at-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: at-1_smt - name: statement - prose: The organization: - parts: - - - id: at-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ at-1_prm_1 }}: - parts: - - - id: at-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: at-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and - """ - - - id: at-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: at-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security awareness and training policy {{ at-1_prm_2 }}; and - - - id: at-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security awareness and training procedures {{ at-1_prm_3 }}. - - - id: at-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: at-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-1.a_obj - name: objective - properties: - - - name: label - value: AT-1(a) - parts: - - - id: at-1.a.1_obj - name: objective - properties: - - - name: label - value: AT-1(a)(1) - parts: - - - id: at-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(1)[1] - prose: - """ - develops and documents an security awareness and training policy that - addresses: - """ - parts: - - - id: at-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][a] - prose: purpose; - - - id: at-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][b] - prose: scope; - - - id: at-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][c] - prose: roles; - - - id: at-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][d] - prose: responsibilities; - - - id: at-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][e] - prose: management commitment; - - - id: at-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: at-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][g] - prose: compliance; - - - id: at-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security awareness and training - policy are to be disseminated; - """ - - - id: at-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-1(a)(1)[3] - prose: - """ - disseminates the security awareness and training policy to - organization-defined personnel or roles; - """ - - - id: at-1.a.2_obj - name: objective - properties: - - - name: label - value: AT-1(a)(2) - parts: - - - id: at-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls; - """ - - - id: at-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: at-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: at-1.b_obj - name: objective - properties: - - - name: label - value: AT-1(b) - parts: - - - id: at-1.b.1_obj - name: objective - properties: - - - name: label - value: AT-1(b)(1) - parts: - - - id: at-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training policy; - """ - - - id: at-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(1)[2] - prose: - """ - reviews and updates the current security awareness and training policy with - the organization-defined frequency; - """ - - - id: at-1.b.2_obj - name: objective - properties: - - - name: label - value: AT-1(b)(2) - parts: - - - id: at-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training procedures; and - """ - - - id: at-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(2)[2] - prose: - """ - reviews and updates the current security awareness and training procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security awareness and training responsibilities\n\norganizational personnel with information security responsibilities - - - id: at-2 - class: SP800-53 - title: Security Awareness Training - parameters: - - - id: at-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-2 - - - name: sort-id - value: at-02 - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-2_smt - name: statement - prose: - """ - The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors): - """ - parts: - - - id: at-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: As part of initial training for new users; - - - id: at-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-2_prm_1 }} thereafter. - """ - - - id: at-2_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: at-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-2(a) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users; - """ - - - id: at-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-2(b) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and - """ - - - id: at-2.c_obj - name: objective - properties: - - - name: label - value: AT-2(c) - parts: - - - id: at-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-2(c)[1] - prose: - """ - defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and - """ - - - id: at-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-2(c)[2] - prose: - """ - provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nappropriate codes of federal regulations\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for security awareness training\n\norganizational personnel with information security responsibilities\n\norganizational personnel comprising the general information system user - community - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing security awareness training - - - id: at-3 - class: SP800-53 - title: Role-based Security Training - parameters: - - - id: at-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-3 - - - name: sort-id - value: at-03 - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-3_smt - name: statement - prose: - """ - The organization provides role-based security training to personnel with assigned - security roles and responsibilities: - """ - parts: - - - id: at-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Before authorizing access to the information system or performing assigned - duties; - """ - - - id: at-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-3_prm_1 }} thereafter. - """ - - - id: at-3_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-16 - rel: related - text: SA-16 - - - id: at-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(a) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties; - """ - - - id: at-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(b) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and - """ - - - id: at-3.c_obj - name: objective - properties: - - - name: label - value: AT-3(c) - parts: - - - id: at-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-3(c)[1] - prose: - """ - defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and - """ - - - id: at-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-3(c)[2] - prose: - """ - provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training implementation\n\ncodes of federal regulations\n\nsecurity training curriculum\n\nsecurity training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for role-based security - training\n\norganizational personnel with assigned information system security roles and - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing role-based security training - - - id: at-4 - class: SP800-53 - title: Security Training Records - parameters: - - - id: at-4_prm_1 - label: organization-defined time period - constraints: - - - detail: At least one year - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-4 - - - name: sort-id - value: at-04 - parts: - - - id: at-4_smt - name: statement - prose: The organization: - parts: - - - id: at-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and - """ - - - id: at-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Retains individual training records for {{ at-4_prm_1 }}. - - - id: at-4_gdn - name: guidance - prose: - """ - Documentation for specialized training may be maintained by individual supervisors at - the option of the organization. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-14 - rel: related - text: PM-14 - - - id: at-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-4.a_obj - name: objective - properties: - - - name: label - value: AT-4(a) - parts: - - - id: at-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-4(a)[1] - prose: - """ - documents individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.1.a - name: objective - properties: - - - name: label - value: AT-4(a)[1][a] - prose: basic security awareness training; - - - id: at-4.a_obj.1.b - name: objective - properties: - - - name: label - value: AT-4(a)[1][b] - prose: specific role-based information system security training; - - - id: at-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-4(a)[2] - prose: - """ - monitors individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.2.a - name: objective - properties: - - - name: label - value: AT-4(a)[2][a] - prose: basic security awareness training; - - - id: at-4.a_obj.2.b - name: objective - properties: - - - name: label - value: AT-4(a)[2][b] - prose: specific role-based information system security training; - - - id: at-4.b_obj - name: objective - properties: - - - name: label - value: AT-4(b) - parts: - - - id: at-4.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-4(b)[1] - prose: defines a time period to retain individual training records; and - - - id: at-4.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-4(b)[2] - prose: - """ - retains individual training records for the organization-defined time - period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training records\n\nsecurity awareness and training records\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security training record retention - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting management of security training records - - - id: au - class: family - title: Audit and Accountability - controls: - - - id: au-1 - class: SP800-53 - title: Audit and Accountability Policy and Procedures - parameters: - - - id: au-1_prm_1 - label: organization-defined personnel or roles - - - id: au-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: au-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-1 - - - name: sort-id - value: au-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: au-1_smt - name: statement - prose: The organization: - parts: - - - id: au-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ au-1_prm_1 }}: - parts: - - - id: au-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: au-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and - """ - - - id: au-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: au-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Audit and accountability policy {{ au-1_prm_2 }}; and - - - id: au-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Audit and accountability procedures {{ au-1_prm_3 }}. - - - id: au-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: au-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-1.a_obj - name: objective - properties: - - - name: label - value: AU-1(a) - parts: - - - id: au-1.a.1_obj - name: objective - properties: - - - name: label - value: AU-1(a)(1) - parts: - - - id: au-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(1)[1] - prose: - """ - develops and documents an audit and accountability policy that - addresses: - """ - parts: - - - id: au-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][a] - prose: purpose; - - - id: au-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][b] - prose: scope; - - - id: au-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][c] - prose: roles; - - - id: au-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][d] - prose: responsibilities; - - - id: au-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][e] - prose: management commitment; - - - id: au-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: au-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][g] - prose: compliance; - - - id: au-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the audit and accountability policy are - to be disseminated; - """ - - - id: au-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-1(a)(1)[3] - prose: - """ - disseminates the audit and accountability policy to organization-defined - personnel or roles; - """ - - - id: au-1.a.2_obj - name: objective - properties: - - - name: label - value: AU-1(a)(2) - parts: - - - id: au-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls; - """ - - - id: au-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: au-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: au-1.b_obj - name: objective - properties: - - - name: label - value: AU-1(b) - parts: - - - id: au-1.b.1_obj - name: objective - properties: - - - name: label - value: AU-1(b)(1) - parts: - - - id: au-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability policy; - """ - - - id: au-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(1)[2] - prose: - """ - reviews and updates the current audit and accountability policy with the - organization-defined frequency; - """ - - - id: au-1.b.2_obj - name: objective - properties: - - - name: label - value: AU-1(b)(2) - parts: - - - id: au-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability procedures; and - """ - - - id: au-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(2)[2] - prose: - """ - reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities - - - id: au-2 - class: SP800-53 - title: Audit Events - parameters: - - - id: au-2_prm_1 - label: organization-defined auditable events - constraints: - - - detail: Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - id: au-2_prm_2 - label: - """ - organization-defined audited events (the subset of the auditable events defined - in AU-2 a.) along with the frequency of (or situation requiring) auditing for each - identified event - """ - constraints: - - - detail: organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-2 - - - name: sort-id - value: au-02 - links: - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: au-2_smt - name: statement - prose: The organization: - parts: - - - id: au-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines that the information system is capable of auditing the following - events: {{ au-2_prm_1 }}; - """ - - - id: au-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and - """ - - - id: au-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Determines that the following events are to be audited within the information - system: {{ au-2_prm_2 }}. - """ - - - id: au-2_fr - name: item - title: AU-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - id: au-2_gdn - name: guidance - prose: - """ - An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-2.a_obj - name: objective - properties: - - - name: label - value: AU-2(a) - parts: - - - id: au-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(a)[1] - prose: - """ - defines the auditable events that the information system must be capable of - auditing; - """ - - - id: au-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-2(a)[2] - prose: - """ - determines that the information system is capable of auditing - organization-defined auditable events; - """ - - - id: au-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(b) - prose: - """ - coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(c) - prose: - """ - provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; - """ - - - id: au-2.d_obj - name: objective - properties: - - - name: label - value: AU-2(d) - parts: - - - id: au-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(d)[1] - prose: - """ - defines the subset of auditable events defined in AU-2a that are to be audited - within the information system; - """ - - - id: au-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(d)[2] - prose: - """ - determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and - """ - - - id: au-2.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(d)[3] - prose: - """ - determines the frequency of (or situation requiring) auditing for each - identified event. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing auditable events\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\ninformation system auditable events\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information system auditing - - - id: au-3 - class: SP800-53 - title: Content of Audit Records - properties: - - - name: label - value: AU-3 - - - name: sort-id - value: au-03 - parts: - - - id: au-3_smt - name: statement - prose: - """ - The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event. - """ - - - id: au-3_gdn - name: guidance - prose: - """ - Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-8 - rel: related - text: AU-8 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #si-11 - rel: related - text: SI-11 - - - id: au-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system generates audit records containing information - that establishes: - """ - parts: - - - id: au-3_obj.1 - name: objective - properties: - - - name: label - value: AU-3[1] - prose: what type of event occurred; - - - id: au-3_obj.2 - name: objective - properties: - - - name: label - value: AU-3[2] - prose: when the event occurred; - - - id: au-3_obj.3 - name: objective - properties: - - - name: label - value: AU-3[3] - prose: where the event occurred; - - - id: au-3_obj.4 - name: objective - properties: - - - name: label - value: AU-3[4] - prose: the source of the event; - - - id: au-3_obj.5 - name: objective - properties: - - - name: label - value: AU-3[5] - prose: the outcome of the event; and - - - id: au-3_obj.6 - name: objective - properties: - - - name: label - value: AU-3[6] - prose: the identity of any individuals or subjects associated with the event. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\ninformation system incident reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system auditing of auditable - events - """ - - - id: au-4 - class: SP800-53 - title: Audit Storage Capacity - parameters: - - - id: au-4_prm_1 - label: organization-defined audit record storage requirements - properties: - - - name: label - value: AU-4 - - - name: sort-id - value: au-04 - parts: - - - id: au-4_smt - name: statement - prose: The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}. - - - id: au-4_gdn - name: guidance - prose: - """ - Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-4_obj.1 - name: objective - properties: - - - name: label - value: AU-4[1] - prose: defines audit record storage requirements; and - - - id: au-4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-4[2] - prose: - """ - allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit storage capacity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit record storage requirements\n\naudit record storage capability for information system components\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit record storage capacity and related configuration settings - - - id: au-5 - class: SP800-53 - title: Response to Audit Processing Failures - parameters: - - - id: au-5_prm_1 - label: organization-defined personnel or roles - - - id: au-5_prm_2 - label: - """ - organization-defined actions to be taken (e.g., shut down information system, - overwrite oldest audit records, stop generating audit records) - """ - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - properties: - - - name: label - value: AU-5 - - - name: sort-id - value: au-05 - parts: - - - id: au-5_smt - name: statement - prose: The information system: - parts: - - - id: au-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Alerts {{ au-5_prm_1 }} in the event of an audit processing - failure; and - """ - - - id: au-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Takes the following additional actions: {{ au-5_prm_2 }}. - - - id: au-5_gdn - name: guidance - prose: - """ - Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #si-12 - rel: related - text: SI-12 - - - id: au-5_obj - name: objective - prose: Determine if: - parts: - - - id: au-5.a_obj - name: objective - properties: - - - name: label - value: AU-5(a) - parts: - - - id: au-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(a)[1] - prose: - """ - the organization defines the personnel or roles to be alerted in the event of - an audit processing failure; - """ - - - id: au-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(a)[2] - prose: - """ - the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure; - """ - - - id: au-5.b_obj - name: objective - properties: - - - name: label - value: AU-5(b) - parts: - - - id: au-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(b)[1] - prose: - """ - the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and - """ - - - id: au-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(b)[2] - prose: - """ - the information system takes the additional organization-defined actions in the - event of an audit processing failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nlist of personnel to be notified in case of an audit processing failure\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system response to audit processing - failures - """ - - - id: au-6 - class: SP800-53 - title: Audit Review, Analysis, and Reporting - parameters: - - - id: au-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: au-6_prm_2 - label: organization-defined inappropriate or unusual activity - - - id: au-6_prm_3 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-6 - - - name: sort-id - value: au-06 - parts: - - - id: au-6_smt - name: statement - prose: The organization: - parts: - - - id: au-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }}; - and - """ - - - id: au-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports findings to {{ au-6_prm_3 }}. - - - id: au-6_fr - name: item - title: AU-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - - - id: au-6_gdn - name: guidance - prose: - """ - Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-10 - rel: related - text: CM-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #pe-14 - rel: related - text: PE-14 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-18 - rel: related - text: SC-18 - - - href: #sc-19 - rel: related - text: SC-19 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: au-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.a_obj - name: objective - properties: - - - name: label - value: AU-6(a) - parts: - - - id: au-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(a)[1] - prose: - """ - defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed; - """ - - - id: au-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(a)[2] - prose: - """ - defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity; - """ - - - id: au-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(a)[3] - prose: - """ - reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency; - """ - - - id: au-6.b_obj - name: objective - properties: - - - name: label - value: AU-6(b) - parts: - - - id: au-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(b)[1] - prose: - """ - defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and - """ - - - id: au-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(b)[2] - prose: reports findings to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nreports of audit findings\n\nrecords of actions taken in response to reviews/analyses of audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: au-8 - class: SP800-53 - title: Time Stamps - parameters: - - - id: au-8_prm_1 - label: organization-defined granularity of time measurement - properties: - - - name: label - value: AU-8 - - - name: sort-id - value: au-08 - parts: - - - id: au-8_smt - name: statement - prose: The information system: - parts: - - - id: au-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Uses internal system clocks to generate time stamps for audit records; and - - - id: au-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}. - """ - - - id: au-8_gdn - name: guidance - prose: - """ - Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities. - """ - links: - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-8_obj - name: objective - prose: Determine if: - parts: - - - id: au-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(a) - prose: - """ - the information system uses internal system clocks to generate time stamps for - audit records; - """ - - - id: au-8.b_obj - name: objective - properties: - - - name: label - value: AU-8(b) - parts: - - - id: au-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(b)[1] - prose: - """ - the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT); - """ - - - id: au-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(b)[2] - prose: - """ - the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and - """ - - - id: au-8.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(b)[3] - prose: - """ - the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing time stamp generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing time stamp generation - - - id: au-9 - class: SP800-53 - title: Protection of Audit Information - properties: - - - name: label - value: AU-9 - - - name: sort-id - value: au-09 - parts: - - - id: au-9_smt - name: statement - prose: - """ - The information system protects audit information and audit tools from unauthorized - access, modification, and deletion. - """ - - - id: au-9_gdn - name: guidance - prose: - """ - Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - id: au-9_obj - name: objective - prose: Determine if: - parts: - - - id: au-9_obj.1 - name: objective - properties: - - - name: label - value: AU-9[1] - prose: the information system protects audit information from unauthorized: - parts: - - - id: au-9_obj.1.a - name: objective - properties: - - - name: label - value: AU-9[1][a] - prose: access; - - - id: au-9_obj.1.b - name: objective - properties: - - - name: label - value: AU-9[1][b] - prose: modification; - - - id: au-9_obj.1.c - name: objective - properties: - - - name: label - value: AU-9[1][c] - prose: deletion; - - - id: au-9_obj.2 - name: objective - properties: - - - name: label - value: AU-9[2] - prose: the information system protects audit tools from unauthorized: - parts: - - - id: au-9_obj.2.a - name: objective - properties: - - - name: label - value: AU-9[2][a] - prose: access; - - - id: au-9_obj.2.b - name: objective - properties: - - - name: label - value: AU-9[2][b] - prose: modification; and - - - id: au-9_obj.2.c - name: objective - properties: - - - name: label - value: AU-9[2][c] - prose: deletion. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, - information system audit records\n\naudit tools\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit information protection - - - id: au-11 - class: SP800-53 - title: Audit Record Retention - parameters: - - - id: au-11_prm_1 - label: organization-defined time period consistent with records retention policy - constraints: - - - detail: at least ninety days - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-11 - - - name: sort-id - value: au-11 - parts: - - - id: au-11_smt - name: statement - prose: - """ - The organization retains audit records for {{ au-11_prm_1 }} to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements. - """ - parts: - - - id: au-11_fr - name: item - title: AU-11 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-11_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. - - - id: au-11_gdn - name: guidance - prose: - """ - Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: au-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-11_obj.1 - name: objective - properties: - - - name: label - value: AU-11[1] - prose: - """ - defines a time period to retain audit records that is consistent with records - retention policy; - """ - - - id: au-11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-11[2] - prose: - """ - retains audit records for the organization-defined time period consistent with - records retention policy to: - """ - parts: - - - id: au-11_obj.2.a - name: objective - properties: - - - name: label - value: AU-11[2][a] - prose: - """ - provide support for after-the-fact investigations of security incidents; - and - """ - - - id: au-11_obj.2.b - name: objective - properties: - - - name: label - value: AU-11[2][b] - prose: meet regulatory and organizational information retention requirements. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\naudit record retention policy and procedures\n\nsecurity plan\n\norganization-defined retention period for audit records\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: au-12 - class: SP800-53 - title: Audit Generation - parameters: - - - id: au-12_prm_1 - label: organization-defined information system components - constraints: - - - detail: all information system and network components where audit capability is deployed/available - - - id: au-12_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: AU-12 - - - name: sort-id - value: au-12 - parts: - - - id: au-12_smt - name: statement - prose: The information system: - parts: - - - id: au-12_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides audit record generation capability for the auditable events defined in - AU-2 a. at {{ au-12_prm_1 }}; - """ - - - id: au-12_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows {{ au-12_prm_2 }} to select which auditable events are to be - audited by specific components of the information system; and - """ - - - id: au-12_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3. - """ - - - id: au-12_gdn - name: guidance - prose: - """ - Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - id: au-12_obj - name: objective - prose: Determine if: - parts: - - - id: au-12.a_obj - name: objective - properties: - - - name: label - value: AU-12(a) - parts: - - - id: au-12.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(a)[1] - prose: - """ - the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a; - """ - - - id: au-12.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(a)[2] - prose: - """ - the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components; - """ - - - id: au-12.b_obj - name: objective - properties: - - - name: label - value: AU-12(b) - parts: - - - id: au-12.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(b)[1] - prose: - """ - the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system; - """ - - - id: au-12.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(b)[2] - prose: - """ - the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and - """ - - - id: au-12.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(c) - prose: - """ - the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit record generation\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit record generation capability - - - id: ca - class: family - title: Security Assessment and Authorization - controls: - - - id: ca-1 - class: SP800-53 - title: Security Assessment and Authorization Policy and Procedures - parameters: - - - id: ca-1_prm_1 - label: organization-defined personnel or roles - - - id: ca-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ca-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-1 - - - name: sort-id - value: ca-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ca-1_smt - name: statement - prose: The organization: - parts: - - - id: ca-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ca-1_prm_1 }}: - parts: - - - id: ca-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ca-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and - """ - - - id: ca-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ca-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Security assessment and authorization policy {{ ca-1_prm_2 }}; - and - """ - - - id: ca-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security assessment and authorization procedures {{ ca-1_prm_3 }}. - - - id: ca-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ca-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-1.a_obj - name: objective - properties: - - - name: label - value: CA-1(a) - parts: - - - id: ca-1.a.1_obj - name: objective - properties: - - - name: label - value: CA-1(a)(1) - parts: - - - id: ca-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(1)[1] - prose: - """ - develops and documents a security assessment and authorization policy that - addresses: - """ - parts: - - - id: ca-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][a] - prose: purpose; - - - id: ca-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][b] - prose: scope; - - - id: ca-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][c] - prose: roles; - - - id: ca-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ca-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][e] - prose: management commitment; - - - id: ca-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ca-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][g] - prose: compliance; - - - id: ca-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated; - """ - - - id: ca-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-1(a)(1)[3] - prose: - """ - disseminates the security assessment and authorization policy to - organization-defined personnel or roles; - """ - - - id: ca-1.a.2_obj - name: objective - properties: - - - name: label - value: CA-1(a)(2) - parts: - - - id: ca-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls; - """ - - - id: ca-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ca-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ca-1.b_obj - name: objective - properties: - - - name: label - value: CA-1(b) - parts: - - - id: ca-1.b.1_obj - name: objective - properties: - - - name: label - value: CA-1(b)(1) - parts: - - - id: ca-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization policy; - """ - - - id: ca-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(1)[2] - prose: - """ - reviews and updates the current security assessment and authorization policy - with the organization-defined frequency; - """ - - - id: ca-1.b.2_obj - name: objective - properties: - - - name: label - value: CA-1(b)(2) - parts: - - - id: ca-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization procedures; and - """ - - - id: ca-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(2)[2] - prose: - """ - reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment and authorization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ca-2 - class: SP800-53 - title: Security Assessments - parameters: - - - id: ca-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-2_prm_2 - label: organization-defined individuals or roles - constraints: - - - detail: individuals or roles to include FedRAMP PMO - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-2 - - - name: sort-id - value: ca-02 - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-2_smt - name: statement - prose: The organization: - parts: - - - id: ca-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Security controls and control enhancements under assessment; - - - id: ca-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Assessment procedures to be used to determine security control effectiveness; - and - """ - - - id: ca-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Assessment environment, assessment team, and assessment roles and - responsibilities; - """ - - - id: ca-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Assesses the security controls in the information system and its environment of - operation {{ ca-2_prm_1 }} to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements; - """ - - - id: ca-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Produces a security assessment report that documents the results of the - assessment; and - """ - - - id: ca-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Provides the results of the security control assessment to {{ ca-2_prm_2 }}. - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-2_gdn - name: guidance - prose: - """ - Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control. - """ - links: - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(a) - prose: - """ - develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2.a.1_obj - name: objective - properties: - - - name: label - value: CA-2(a)(1) - prose: security controls and control enhancements under assessment; - - - id: ca-2.a.2_obj - name: objective - properties: - - - name: label - value: CA-2(a)(2) - prose: - """ - assessment procedures to be used to determine security control - effectiveness; - """ - - - id: ca-2.a.3_obj - name: objective - properties: - - - name: label - value: CA-2(a)(3) - parts: - - - id: ca-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[1] - prose: assessment environment; - - - id: ca-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[2] - prose: assessment team; - - - id: ca-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[3] - prose: assessment roles and responsibilities; - - - id: ca-2.b_obj - name: objective - properties: - - - name: label - value: CA-2(b) - parts: - - - id: ca-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(b)[1] - prose: - """ - defines the frequency to assess the security controls in the information system - and its environment of operation; - """ - - - id: ca-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(b)[2] - prose: - """ - assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements; - """ - - - id: ca-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(c) - prose: - """ - produces a security assessment report that documents the results of the - assessment; - """ - - - id: ca-2.d_obj - name: objective - properties: - - - name: label - value: CA-2(d) - parts: - - - id: ca-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(d)[1] - prose: - """ - defines individuals or roles to whom the results of the security control - assessment are to be provided; and - """ - - - id: ca-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(d)[2] - prose: - """ - provides the results of the security control assessment to organization-defined - individuals or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessment planning\n\nprocedures addressing security assessments\n\nsecurity assessment plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting - """ - controls: - - - id: ca-2.1 - class: SP800-53-enhancement - title: Independent Assessors - parameters: - - - id: ca-2.1_prm_1 - label: organization-defined level of independence - properties: - - - name: label - value: CA-2(1) - - - name: sort-id - value: ca-02.01 - parts: - - - id: ca-2.1_smt - name: statement - prose: The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments. - parts: - - - id: ca-2.1_fr - name: item - title: CA-2 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO). - - - id: ca-2.1_gdn - name: guidance - prose: - """ - Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments. - """ - - - id: ca-2.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(1)[1] - prose: - """ - defines the level of independence to be employed to conduct security control - assessments; and - """ - - - id: ca-2.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-2(1)[2] - prose: - """ - employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-3 - class: SP800-53 - title: System Interconnections - parameters: - - - id: ca-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually and on input from FedRAMP - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-3 - - - name: sort-id - value: ca-03 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #2711f068-734e-4afd-94ba-0b22247fbc88 - rel: reference - text: NIST Special Publication 800-47 - parts: - - - id: ca-3_smt - name: statement - prose: The organization: - parts: - - - id: ca-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and - """ - - - id: ca-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}. - - - id: ca-3_gdn - name: guidance - prose: - """ - This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(a) - prose: - """ - authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(b) - prose: documents, for each interconnection: - parts: - - - id: ca-3.b_obj.1 - name: objective - properties: - - - name: label - value: CA-3(b)[1] - prose: the interface characteristics; - - - id: ca-3.b_obj.2 - name: objective - properties: - - - name: label - value: CA-3(b)[2] - prose: the security requirements; - - - id: ca-3.b_obj.3 - name: objective - properties: - - - name: label - value: CA-3(b)[3] - prose: the nature of the information communicated; - - - id: ca-3.c_obj - name: objective - properties: - - - name: label - value: CA-3(c) - parts: - - - id: ca-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(c)[1] - prose: - """ - defines the frequency to review and update Interconnection Security Agreements; - and - """ - - - id: ca-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(c)[2] - prose: - """ - reviews and updates Interconnection Security Agreements with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system Interconnection Security Agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements\n\norganizational personnel with information security responsibilities\n\npersonnel managing the system(s) to which the Interconnection Security Agreement - applies - """ - - - id: ca-5 - class: SP800-53 - title: Plan of Action and Milestones - parameters: - - - id: ca-5_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-5 - - - name: sort-id - value: ca-05 - links: - - - href: #2c5884cd-7b96-425c-862a-99877e1cf909 - rel: reference - text: OMB Memorandum 02-01 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - parts: - - - id: ca-5_smt - name: statement - prose: The organization: - parts: - - - id: ca-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and - """ - - - id: ca-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates existing plan of action and milestones {{ ca-5_prm_1 }} - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities. - """ - - - id: ca-5_fr - name: item - title: CA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Plan of Action & Milestones (POA&M) must be provided at least monthly. - - - id: ca-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-5_gdn - name: guidance - prose: - """ - Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-4 - rel: related - text: PM-4 - - - id: ca-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-5(a) - prose: develops a plan of action and milestones for the information system to: - parts: - - - id: ca-5.a_obj.1 - name: objective - properties: - - - name: label - value: CA-5(a)[1] - prose: - """ - document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls; - """ - - - id: ca-5.a_obj.2 - name: objective - properties: - - - name: label - value: CA-5(a)[2] - prose: reduce or eliminate known vulnerabilities in the system; - - - id: ca-5.b_obj - name: objective - properties: - - - name: label - value: CA-5(b) - parts: - - - id: ca-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-5(b)[1] - prose: defines the frequency to update the existing plan of action and milestones; - - - id: ca-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-5(b)[2] - prose: - """ - updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from: - """ - parts: - - - id: ca-5.b_obj.2.a - name: objective - properties: - - - name: label - value: CA-5(b)[2][a] - prose: security controls assessments; - - - id: ca-5.b_obj.2.b - name: objective - properties: - - - name: label - value: CA-5(b)[2][b] - prose: security impact analyses; and - - - id: ca-5.b_obj.2.c - name: objective - properties: - - - name: label - value: CA-5(b)[2][c] - prose: continuous monitoring activities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing plan of action and milestones\n\nsecurity plan\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nplan of action and milestones\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with plan of action and milestones development and - implementation responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones - """ - - - id: ca-6 - class: SP800-53 - title: Security Authorization - parameters: - - - id: ca-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three years or when a significant change occurs - properties: - - - name: label - value: CA-6 - - - name: sort-id - value: ca-06 - links: - - - href: #9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab - rel: reference - text: OMB Circular A-130 - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-6_smt - name: statement - prose: The organization: - parts: - - - id: ca-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and - """ - - - id: ca-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: Updates the security authorization {{ ca-6_prm_1 }}. - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO. - - - id: ca-6_gdn - name: guidance - prose: - """ - Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-10 - rel: related - text: PM-10 - - - id: ca-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-6(a) - prose: - """ - assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-6(b) - prose: - """ - ensures that the authorizing official authorizes the information system for - processing before commencing operations; - """ - - - id: ca-6.c_obj - name: objective - properties: - - - name: label - value: CA-6(c) - parts: - - - id: ca-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-6(c)[1] - prose: defines the frequency to update the security authorization; and - - - id: ca-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-6(c)[2] - prose: updates the security authorization with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security authorization\n\nsecurity authorization package (including security plan\n\nsecurity assessment report\n\nplan of action and milestones\n\nauthorization statement)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security authorization responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms that facilitate security authorizations and updates - - - id: ca-7 - class: SP800-53 - title: Continuous Monitoring - parameters: - - - id: ca-7_prm_1 - label: organization-defined metrics - - - id: ca-7_prm_2 - label: organization-defined frequencies - - - id: ca-7_prm_3 - label: organization-defined frequencies - - - id: ca-7_prm_4 - label: organization-defined personnel or roles - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - - - id: ca-7_prm_5 - label: organization-defined frequency - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-7 - - - name: sort-id - value: ca-07 - links: - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #8ade2fbe-e468-4ca8-9a40-54d7f23c32bb - rel: reference - text: US-CERT Technical Cyber Security Alerts - - - href: #2d8b14e9-c8b5-4d3d-8bdc-155078f3281b - rel: reference - text: DoD Information Assurance Vulnerability Alerts - parts: - - - id: ca-7_smt - name: statement - prose: - """ - The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes: - """ - parts: - - - id: ca-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Establishment of {{ ca-7_prm_1 }} to be monitored; - - - id: ca-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring; - - - id: ca-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy; - """ - - - id: ca-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Correlation and analysis of security-related information generated by assessments - and monitoring; - """ - - - id: ca-7_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Response actions to address results of the analysis of security-related - information; and - """ - - - id: ca-7_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Reporting the security status of organization and the information system to - {{ ca-7_prm_4 }} - {{ ca-7_prm_5 }}. - """ - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually. - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-7_gdn - name: guidance - prose: - """ - Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-6 - rel: related - text: PM-6 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-7.a_obj - name: objective - properties: - - - name: label - value: CA-7(a) - parts: - - - id: ca-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(a)[1] - prose: - """ - develops a continuous monitoring strategy that defines metrics to be - monitored; - """ - - - id: ca-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(a)[2] - prose: - """ - develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics; - """ - - - id: ca-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(a)[3] - prose: - """ - implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy; - """ - - - id: ca-7.b_obj - name: objective - properties: - - - name: label - value: CA-7(b) - parts: - - - id: ca-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[1] - prose: - """ - develops a continuous monitoring strategy that defines frequencies for - monitoring; - """ - - - id: ca-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[2] - prose: defines frequencies for assessments supporting monitoring; - - - id: ca-7.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[3] - prose: - """ - develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring; - """ - - - id: ca-7.b_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(b)[4] - prose: - """ - implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.c_obj - name: objective - properties: - - - name: label - value: CA-7(c) - parts: - - - id: ca-7.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(c)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security - control assessments; - """ - - - id: ca-7.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(c)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.d_obj - name: objective - properties: - - - name: label - value: CA-7(d) - parts: - - - id: ca-7.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(d)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics; - """ - - - id: ca-7.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(d)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy; - """ - - - id: ca-7.e_obj - name: objective - properties: - - - name: label - value: CA-7(e) - parts: - - - id: ca-7.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(e)[1] - prose: - """ - develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring; - """ - - - id: ca-7.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(e)[2] - prose: - """ - implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.f_obj - name: objective - properties: - - - name: label - value: CA-7(f) - parts: - - - id: ca-7.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(f)[1] - prose: - """ - develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information; - """ - - - id: ca-7.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(f)[2] - prose: - """ - implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7.g_obj - name: objective - properties: - - - name: label - value: CA-7(g) - parts: - - - id: ca-7.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[1] - prose: - """ - develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported; - """ - - - id: ca-7.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[2] - prose: - """ - develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles; - """ - - - id: ca-7.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[3] - prose: - """ - develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and - """ - - - id: ca-7.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(g)[4] - prose: - """ - implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nprocedures addressing configuration management\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nconfiguration management records, security impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Mechanisms implementing continuous monitoring - - - id: ca-9 - class: SP800-53 - title: Internal System Connections - parameters: - - - id: ca-9_prm_1 - label: - """ - organization-defined information system components or classes of - components - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-9 - - - name: sort-id - value: ca-09 - parts: - - - id: ca-9_smt - name: statement - prose: The organization: - parts: - - - id: ca-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes internal connections of {{ ca-9_prm_1 }} to the - information system; and - """ - - - id: ca-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated. - """ - - - id: ca-9_gdn - name: guidance - prose: - """ - This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-9.a_obj - name: objective - properties: - - - name: label - value: CA-9(a) - parts: - - - id: ca-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-9(a)[1] - prose: - """ - defines information system components or classes of components to be authorized - as internal connections to the information system; - """ - - - id: ca-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-9(a)[2] - prose: - """ - authorizes internal connections of organization-defined information system - components or classes of components to the information system; - """ - - - id: ca-9.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-9(b) - prose: documents, for each internal connection: - parts: - - - id: ca-9.b_obj.1 - name: objective - properties: - - - name: label - value: CA-9(b)[1] - prose: the interface characteristics; - - - id: ca-9.b_obj.2 - name: objective - properties: - - - name: label - value: CA-9(b)[2] - prose: the security requirements; and - - - id: ca-9.b_obj.3 - name: objective - properties: - - - name: label - value: CA-9(b)[3] - prose: the nature of the information communicated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system - connections\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections\n\norganizational personnel with information security responsibilities - """ - - - id: cm - class: family - title: Configuration Management - controls: - - - id: cm-1 - class: SP800-53 - title: Configuration Management Policy and Procedures - parameters: - - - id: cm-1_prm_1 - label: organization-defined personnel or roles - - - id: cm-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: cm-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-1 - - - name: sort-id - value: cm-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cm-1_smt - name: statement - prose: The organization: - parts: - - - id: cm-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cm-1_prm_1 }}: - parts: - - - id: cm-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cm-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and - """ - - - id: cm-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cm-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Configuration management policy {{ cm-1_prm_2 }}; and - - - id: cm-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Configuration management procedures {{ cm-1_prm_3 }}. - - - id: cm-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cm-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-1.a_obj - name: objective - properties: - - - name: label - value: CM-1(a) - parts: - - - id: cm-1.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(1) - parts: - - - id: cm-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1] - prose: develops and documents a configuration management policy that addresses: - parts: - - - id: cm-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][a] - prose: purpose; - - - id: cm-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][b] - prose: scope; - - - id: cm-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][c] - prose: roles; - - - id: cm-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][d] - prose: responsibilities; - - - id: cm-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][e] - prose: management commitment; - - - id: cm-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cm-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][g] - prose: compliance; - - - id: cm-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the configuration management policy is to - be disseminated; - """ - - - id: cm-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-1(a)(1)[3] - prose: - """ - disseminates the configuration management policy to organization-defined - personnel or roles; - """ - - - id: cm-1.a.2_obj - name: objective - properties: - - - name: label - value: CM-1(a)(2) - parts: - - - id: cm-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls; - """ - - - id: cm-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cm-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: cm-1.b_obj - name: objective - properties: - - - name: label - value: CM-1(b) - parts: - - - id: cm-1.b.1_obj - name: objective - properties: - - - name: label - value: CM-1(b)(1) - parts: - - - id: cm-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current configuration - management policy; - """ - - - id: cm-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(1)[2] - prose: - """ - reviews and updates the current configuration management policy with the - organization-defined frequency; - """ - - - id: cm-1.b.2_obj - name: objective - properties: - - - name: label - value: CM-1(b)(2) - parts: - - - id: cm-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current configuration - management procedures; and - """ - - - id: cm-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(2)[2] - prose: - """ - reviews and updates the current configuration management procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: cm-2 - class: SP800-53 - title: Baseline Configuration - properties: - - - name: label - value: CM-2 - - - name: sort-id - value: cm-02 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-2_smt - name: statement - prose: - """ - The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system. - """ - - - id: cm-2_gdn - name: guidance - prose: - """ - This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #pm-5 - rel: related - text: PM-5 - - - href: #pm-7 - rel: related - text: PM-7 - - - id: cm-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-2[1] - prose: - """ - develops and documents a current baseline configuration of the information system; - and - """ - - - id: cm-2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2[2] - prose: - """ - maintains, under configuration control, a current baseline configuration of the - information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\nenterprise architecture documentation\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline - configuration - """ - - - id: cm-4 - class: SP800-53 - title: Security Impact Analysis - properties: - - - name: label - value: CM-4 - - - name: sort-id - value: cm-04 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-4_smt - name: statement - prose: - """ - The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation. - """ - - - id: cm-4_gdn - name: guidance - prose: - """ - Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #si-2 - rel: related - text: SI-2 - - - id: cm-4_obj - name: objective - prose: - """ - Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing security impact analysis for changes to the information - system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nanalysis tools and associated outputs\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for conducting security impact - analysis\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security impact analysis - - - id: cm-6 - class: SP800-53 - title: Configuration Settings - parameters: - - - id: cm-6_prm_1 - label: organization-defined security configuration checklists - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - - - id: cm-6_prm_2 - label: organization-defined information system components - - - id: cm-6_prm_3 - label: organization-defined operational requirements - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-6 - - - name: sort-id - value: cm-06 - links: - - - href: #990268bf-f4a9-4c81-91ae-dc7d3115f4b1 - rel: reference - text: OMB Memorandum 07-11 - - - href: #0b3d8ba9-051f-498d-81ea-97f0f018c612 - rel: reference - text: OMB Memorandum 07-18 - - - href: #0916ef02-3618-411b-a525-565c088849a6 - rel: reference - text: OMB Memorandum 08-22 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - - - href: #e95dd121-2733-413e-bf1e-f1eb49f20a98 - rel: reference - text: http://checklists.nist.gov - - - href: #647b6de3-81d0-4d22-bec1-5f1333e34380 - rel: reference - text: http://www.nsa.gov - parts: - - - id: cm-6_smt - name: statement - prose: The organization: - parts: - - - id: cm-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents configuration settings for information technology - products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with - operational requirements; - """ - - - id: cm-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Implements the configuration settings; - - - id: cm-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies, documents, and approves any deviations from established configuration - settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and - """ - - - id: cm-6_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available). - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - id: cm-6_gdn - name: guidance - prose: - """ - Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: cm-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.a_obj - name: objective - properties: - - - name: label - value: CM-6(a) - parts: - - - id: cm-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(a)[1] - prose: - """ - defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed; - """ - - - id: cm-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-6(a)[2] - prose: - """ - ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements; - """ - - - id: cm-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(a)[3] - prose: - """ - establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists; - """ - - - id: cm-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(b) - prose: implements the configuration settings established/documented in CM-6(a);; - - - id: cm-6.c_obj - name: objective - properties: - - - name: label - value: CM-6(c) - parts: - - - id: cm-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[1] - prose: - """ - defines information system components for which any deviations from established - configuration settings must be: - """ - parts: - - - id: cm-6.c_obj.1.a - name: objective - properties: - - - name: label - value: CM-6(c)[1][a] - prose: identified; - - - id: cm-6.c_obj.1.b - name: objective - properties: - - - name: label - value: CM-6(c)[1][b] - prose: documented; - - - id: cm-6.c_obj.1.c - name: objective - properties: - - - name: label - value: CM-6(c)[1][c] - prose: approved; - - - id: cm-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[2] - prose: defines operational requirements to support: - parts: - - - id: cm-6.c_obj.2.a - name: objective - properties: - - - name: label - value: CM-6(c)[2][a] - prose: - """ - the identification of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.b - name: objective - properties: - - - name: label - value: CM-6(c)[2][b] - prose: - """ - the documentation of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.c - name: objective - properties: - - - name: label - value: CM-6(c)[2][c] - prose: the approval of any deviations from established configuration settings; - - - id: cm-6.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(c)[3] - prose: - """ - identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[4] - prose: - """ - documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(c)[5] - prose: - """ - approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.d_obj - name: objective - properties: - - - name: label - value: CM-6(d) - parts: - - - id: cm-6.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(d)[1] - prose: - """ - monitors changes to the configuration settings in accordance with - organizational policies and procedures; and - """ - - - id: cm-6.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(d)[2] - prose: - """ - controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nevidence supporting approved deviations from established configuration - settings\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing configuration settings\n\nautomated mechanisms that implement, monitor, and/or control information system - configuration settings\n\nautomated mechanisms that identify and/or document deviations from established - configuration settings - """ - - - id: cm-7 - class: SP800-53 - title: Least Functionality - parameters: - - - id: cm-7_prm_1 - label: - """ - organization-defined prohibited or restricted functions, ports, protocols, and/or - services - """ - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - properties: - - - name: label - value: CM-7 - - - name: sort-id - value: cm-07 - links: - - - href: #e42b2099-3e1c-415b-952c-61c96533c12e - rel: reference - text: DoD Instruction 8551.01 - parts: - - - id: cm-7_smt - name: statement - prose: The organization: - parts: - - - id: cm-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Configures the information system to provide only essential capabilities; and - - - id: cm-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: {{ cm-7_prm_1 }}. - """ - - - id: cm-7_fr - name: item - title: CM-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. - - - id: cm-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc) - Partially derived from AC-17(8). - """ - - - id: cm-7_gdn - name: guidance - prose: - """ - Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(a) - prose: configures the information system to provide only essential capabilities; - - - id: cm-7.b_obj - name: objective - properties: - - - name: label - value: CM-7(b) - parts: - - - id: cm-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(b)[1] - prose: defines prohibited or restricted: - parts: - - - id: cm-7.b_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(b)[1][a] - prose: functions; - - - id: cm-7.b_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(b)[1][b] - prose: ports; - - - id: cm-7.b_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(b)[1][c] - prose: protocols; and/or - - - id: cm-7.b_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(b)[1][d] - prose: services; - - - id: cm-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(b)[2] - prose: prohibits or restricts the use of organization-defined: - parts: - - - id: cm-7.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(b)[2][a] - prose: functions; - - - id: cm-7.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(b)[2][b] - prose: ports; - - - id: cm-7.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(b)[2][c] - prose: protocols; and/or - - - id: cm-7.b_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(b)[2][d] - prose: services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing least functionality in the information system\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services\n\nautomated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services - """ - - - id: cm-8 - class: SP800-53 - title: Information System Component Inventory - parameters: - - - id: cm-8_prm_1 - label: - """ - organization-defined information deemed necessary to achieve effective - information system component accountability - """ - - - id: cm-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-8 - - - name: sort-id - value: cm-08 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-8_smt - name: statement - prose: The organization: - parts: - - - id: cm-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops and documents an inventory of information system components that: - parts: - - - id: cm-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Accurately reflects the current information system; - - - id: cm-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Is at the level of granularity deemed necessary for tracking and reporting; - and - """ - - - id: cm-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: Includes {{ cm-8_prm_1 }}; and - - - id: cm-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the information system component inventory {{ cm-8_prm_2 }}. - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - id: cm-8_gdn - name: guidance - prose: - """ - Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pm-5 - rel: related - text: PM-5 - - - id: cm-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-8.a_obj - name: objective - properties: - - - name: label - value: CM-8(a) - parts: - - - id: cm-8.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(1) - prose: - """ - develops and documents an inventory of information system components that - accurately reflects the current information system; - """ - - - id: cm-8.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(2) - prose: - """ - develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(3) - prose: - """ - develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting; - """ - - - id: cm-8.a.4_obj - name: objective - properties: - - - name: label - value: CM-8(a)(4) - parts: - - - id: cm-8.a.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(4)[1] - prose: - """ - defines the information deemed necessary to achieve effective information - system component accountability; - """ - - - id: cm-8.a.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(4)[2] - prose: - """ - develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability; - """ - - - id: cm-8.b_obj - name: objective - properties: - - - name: label - value: CM-8(b) - parts: - - - id: cm-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(b)[1] - prose: - """ - defines the frequency to review and update the information system component - inventory; and - """ - - - id: cm-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(b)[2] - prose: - """ - reviews and updates the information system component inventory with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\ninventory reviews and update records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system component - inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing and documenting an inventory of - information system components\n\nautomated mechanisms supporting and/or implementing the information system - component inventory - """ - - - id: cm-10 - class: SP800-53 - title: Software Usage Restrictions - properties: - - - name: label - value: CM-10 - - - name: sort-id - value: cm-10 - parts: - - - id: cm-10_smt - name: statement - prose: The organization: - parts: - - - id: cm-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - id: cm-10_gdn - name: guidance - prose: - """ - Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(a) - prose: - """ - uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-10(b) - prose: - """ - tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(c) - prose: - """ - controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing software usage restrictions\n\nconfiguration management plan\n\nsecurity plan\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel with software license management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for tracking the use of software protected by quantity - licenses\n\norganization process for controlling/documenting the use of peer-to-peer file - sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology - """ - - - id: cm-11 - class: SP800-53 - title: User-installed Software - parameters: - - - id: cm-11_prm_1 - label: organization-defined policies - - - id: cm-11_prm_2 - label: organization-defined methods - - - id: cm-11_prm_3 - label: organization-defined frequency - constraints: - - - detail: Continuously (via CM-7 (5)) - properties: - - - name: label - value: CM-11 - - - name: sort-id - value: cm-11 - parts: - - - id: cm-11_smt - name: statement - prose: The organization: - parts: - - - id: cm-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes {{ cm-11_prm_1 }} governing the installation of - software by users; - """ - - - id: cm-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Enforces software installation policies through {{ cm-11_prm_2 }}; - and - """ - - - id: cm-11_smt.c - name: item - properties: - - - name: label - value: c. - prose: Monitors policy compliance at {{ cm-11_prm_3 }}. - - - id: cm-11_gdn - name: guidance - prose: - """ - If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: cm-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-11.a_obj - name: objective - properties: - - - name: label - value: CM-11(a) - parts: - - - id: cm-11.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(a)[1] - prose: defines policies to govern the installation of software by users; - - - id: cm-11.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(a)[2] - prose: - """ - establishes organization-defined policies governing the installation of - software by users; - """ - - - id: cm-11.b_obj - name: objective - properties: - - - name: label - value: CM-11(b) - parts: - - - id: cm-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(b)[1] - prose: defines methods to enforce software installation policies; - - - id: cm-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(b)[2] - prose: - """ - enforces software installation policies through organization-defined - methods; - """ - - - id: cm-11.c_obj - name: objective - properties: - - - name: label - value: CM-11(c) - parts: - - - id: cm-11.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(c)[1] - prose: defines frequency to monitor policy compliance; and - - - id: cm-11.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(c)[2] - prose: monitors policy compliance at organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing user installed software\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of rules governing user installed software\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records\n\ncontinuous monitoring strategy - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for governing user-installed - software\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel monitoring compliance with user-installed software - policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes governing user-installed software on the information - system\n\nautomated mechanisms enforcing rules/methods for governing the installation of - software by users\n\nautomated mechanisms monitoring policy compliance - """ - - - id: cp - class: family - title: Contingency Planning - controls: - - - id: cp-1 - class: SP800-53 - title: Contingency Planning Policy and Procedures - parameters: - - - id: cp-1_prm_1 - label: organization-defined personnel or roles - - - id: cp-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: cp-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-1 - - - name: sort-id - value: cp-01 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cp-1_smt - name: statement - prose: The organization: - parts: - - - id: cp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cp-1_prm_1 }}: - parts: - - - id: cp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and - """ - - - id: cp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Contingency planning policy {{ cp-1_prm_2 }}; and - - - id: cp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Contingency planning procedures {{ cp-1_prm_3 }}. - - - id: cp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cp-1_obj - name: objective - prose: Determine if: - parts: - - - id: cp-1.a_obj - name: objective - properties: - - - name: label - value: CP-1(a) - parts: - - - id: cp-1.a.1_obj - name: objective - properties: - - - name: label - value: CP-1(a)(1) - parts: - - - id: cp-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(1)[1] - prose: - """ - the organization develops and documents a contingency planning policy that - addresses: - """ - parts: - - - id: cp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][a] - prose: purpose; - - - id: cp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][b] - prose: scope; - - - id: cp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][c] - prose: roles; - - - id: cp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][d] - prose: responsibilities; - - - id: cp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][e] - prose: management commitment; - - - id: cp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][g] - prose: compliance; - - - id: cp-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(1)[2] - prose: - """ - the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated; - """ - - - id: cp-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-1(a)(1)[3] - prose: - """ - the organization disseminates the contingency planning policy to - organization-defined personnel or roles; - """ - - - id: cp-1.a.2_obj - name: objective - properties: - - - name: label - value: CP-1(a)(2) - parts: - - - id: cp-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(2)[1] - prose: - """ - the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls; - """ - - - id: cp-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(2)[2] - prose: - """ - the organization defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cp-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-1(a)(2)[3] - prose: - """ - the organization disseminates the procedures to organization-defined - personnel or roles; - """ - - - id: cp-1.b_obj - name: objective - properties: - - - name: label - value: CP-1(b) - parts: - - - id: cp-1.b.1_obj - name: objective - properties: - - - name: label - value: CP-1(b)(1) - parts: - - - id: cp-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(1)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning policy; - """ - - - id: cp-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(1)[2] - prose: - """ - the organization reviews and updates the current contingency planning with - the organization-defined frequency; - """ - - - id: cp-1.b.2_obj - name: objective - properties: - - - name: label - value: CP-1(b)(2) - parts: - - - id: cp-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(2)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning procedures; and - """ - - - id: cp-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(2)[2] - prose: - """ - the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: cp-2 - class: SP800-53 - title: Contingency Plan - parameters: - - - id: cp-2_prm_1 - label: organization-defined personnel or roles - - - id: cp-2_prm_2 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - - - id: cp-2_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cp-2_prm_4 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-2 - - - name: sort-id - value: cp-02 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-2_smt - name: statement - prose: The organization: - parts: - - - id: cp-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a contingency plan for the information system that: - parts: - - - id: cp-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Provides recovery objectives, restoration priorities, and metrics; - - - id: cp-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Addresses contingency roles, responsibilities, assigned individuals with - contact information; - """ - - - id: cp-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and - """ - - - id: cp-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Is reviewed and approved by {{ cp-2_prm_1 }}; - - - id: cp-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the contingency plan to {{ cp-2_prm_2 }}; - - - id: cp-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Coordinates contingency planning activities with incident handling activities; - - - id: cp-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Reviews the contingency plan for the information system {{ cp-2_prm_3 }}; - - - id: cp-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing; - """ - - - id: cp-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: Communicates contingency plan changes to {{ cp-2_prm_4 }}; and - - - id: cp-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Protects the contingency plan from unauthorized disclosure and modification. - - - id: cp-2_fr - name: item - title: CP-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-2_fr_smt.1 - name: item - properties: - - - name: label - value: CP-2 Requirement: - prose: For JAB authorizations the contingency lists include designated FedRAMP personnel. - - - id: cp-2_gdn - name: guidance - prose: - """ - Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident. - """ - links: - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: cp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.a_obj - name: objective - properties: - - - name: label - value: CP-2(a) - prose: develops and documents a contingency plan for the information system that: - parts: - - - id: cp-2.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(1) - prose: - """ - identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(2) - parts: - - - id: cp-2.a.2_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[1] - prose: provides recovery objectives; - - - id: cp-2.a.2_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[2] - prose: provides restoration priorities; - - - id: cp-2.a.2_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[3] - prose: provides metrics; - - - id: cp-2.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(3) - parts: - - - id: cp-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[1] - prose: addresses contingency roles; - - - id: cp-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[2] - prose: addresses contingency responsibilities; - - - id: cp-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[3] - prose: addresses assigned individuals with contact information; - - - id: cp-2.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(4) - prose: - """ - addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(5) - prose: - """ - addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; - """ - - - id: cp-2.a.6_obj - name: objective - properties: - - - name: label - value: CP-2(a)(6) - parts: - - - id: cp-2.a.6_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(6)[1] - prose: - """ - defines personnel or roles to review and approve the contingency plan for - the information system; - """ - - - id: cp-2.a.6_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(6)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: cp-2.b_obj - name: objective - properties: - - - name: label - value: CP-2(b) - parts: - - - id: cp-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(b)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed; - """ - - - id: cp-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(b)[2] - prose: - """ - distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements; - """ - - - id: cp-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(c) - prose: coordinates contingency planning activities with incident handling activities; - - - id: cp-2.d_obj - name: objective - properties: - - - name: label - value: CP-2(d) - parts: - - - id: cp-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(d)[1] - prose: - """ - defines a frequency to review the contingency plan for the information - system; - """ - - - id: cp-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(d)[2] - prose: reviews the contingency plan with the organization-defined frequency; - - - id: cp-2.e_obj - name: objective - properties: - - - name: label - value: CP-2(e) - prose: updates the contingency plan to address: - parts: - - - id: cp-2.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(e)[1] - prose: - """ - changes to the organization, information system, or environment of - operation; - """ - - - id: cp-2.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(e)[2] - prose: problems encountered during plan implementation, execution, and testing; - - - id: cp-2.f_obj - name: objective - properties: - - - name: label - value: CP-2(f) - parts: - - - id: cp-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(f)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated; - """ - - - id: cp-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(f)[2] - prose: - """ - communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and - """ - - - id: cp-2.g_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(g) - prose: protects the contingency plan from unauthorized disclosure and modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nevidence of contingency plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan development, review, update, and - protection\n\nautomated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan - """ - - - id: cp-3 - class: SP800-53 - title: Contingency Training - parameters: - - - id: cp-3_prm_1 - label: organization-defined time period - constraints: - - - detail: ten (10) days - - - id: cp-3_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-3 - - - name: sort-id - value: cp-03 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: cp-3_smt - name: statement - prose: - """ - The organization provides contingency training to information system users consistent - with assigned roles and responsibilities: - """ - parts: - - - id: cp-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ cp-3_prm_1 }} of assuming a contingency role or - responsibility; - """ - - - id: cp-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: cp-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ cp-3_prm_2 }} thereafter. - """ - - - id: cp-3_gdn - name: guidance - prose: - """ - Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-2 - rel: related - text: IR-2 - - - id: cp-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-3.a_obj - name: objective - properties: - - - name: label - value: CP-3(a) - parts: - - - id: cp-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-3(a)[1] - prose: - """ - defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility; - """ - - - id: cp-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(a)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility; - """ - - - id: cp-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(b) - prose: - """ - provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes; - """ - - - id: cp-3.c_obj - name: objective - properties: - - - name: label - value: CP-3(c) - parts: - - - id: cp-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-3(c)[1] - prose: defines the frequency for contingency training thereafter; and - - - id: cp-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(c)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsecurity plan\n\ncontingency training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, plan implementation, and - training responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for contingency training - - - id: cp-4 - class: SP800-53 - title: Contingency Plan Testing - parameters: - - - id: cp-4_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three years - - - id: cp-4_prm_2 - label: organization-defined tests - constraints: - - - detail: classroom exercises/table top written tests - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-4 - - - name: sort-id - value: cp-04 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - rel: reference - text: NIST Special Publication 800-84 - parts: - - - id: cp-4_smt - name: statement - prose: The organization: - parts: - - - id: cp-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the - effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews the contingency plan test results; and - - - id: cp-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Initiates corrective actions, if needed. - - - id: cp-4_fr - name: item - title: CP-4(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-4_fr_smt.a - name: item - properties: - - - name: label - value: CP-4(a) Requirement: - prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing. - - - id: cp-4_gdn - name: guidance - prose: - """ - Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-3 - rel: related - text: IR-3 - - - id: cp-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-4.a_obj - name: objective - properties: - - - name: label - value: CP-4(a) - parts: - - - id: cp-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-4(a)[1] - prose: - """ - defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan; - """ - - - id: cp-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-4(a)[2] - prose: - """ - defines a frequency to test the contingency plan for the information - system; - """ - - - id: cp-4.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(a)[3] - prose: - """ - tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(b) - prose: reviews the contingency plan test results; and - - - id: cp-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(c) - prose: initiates corrective actions, if needed. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\nsecurity plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan - testing - """ - - - id: cp-9 - class: SP800-53 - title: Information System Backup - parameters: - - - id: cp-9_prm_1 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_2 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_3 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-9 - - - name: sort-id - value: cp-09 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-9_smt - name: statement - prose: The organization: - parts: - - - id: cp-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts backups of user-level information contained in the information system - {{ cp-9_prm_1 }}; - """ - - - id: cp-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Conducts backups of system-level information contained in the information system - {{ cp-9_prm_2 }}; - """ - - - id: cp-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Conducts backups of information system documentation including security-related - documentation {{ cp-9_prm_3 }}; and - """ - - - id: cp-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online). - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online). - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online). - - - id: cp-9_gdn - name: guidance - prose: - """ - System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: cp-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.a_obj - name: objective - properties: - - - name: label - value: CP-9(a) - parts: - - - id: cp-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(a)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system; - """ - - - id: cp-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(a)[2] - prose: - """ - conducts backups of user-level information contained in the information system - with the organization-defined frequency; - """ - - - id: cp-9.b_obj - name: objective - properties: - - - name: label - value: CP-9(b) - parts: - - - id: cp-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(b)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system; - """ - - - id: cp-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(b)[2] - prose: - """ - conducts backups of system-level information contained in the information - system with the organization-defined frequency; - """ - - - id: cp-9.c_obj - name: objective - properties: - - - name: label - value: CP-9(c) - parts: - - - id: cp-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(c)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation; - """ - - - id: cp-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(c)[2] - prose: - """ - conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and - """ - - - id: cp-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(d) - prose: - """ - protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\nbackup storage location(s)\n\ninformation system backup logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system backups - - - id: cp-10 - class: SP800-53 - title: Information System Recovery and Reconstitution - properties: - - - name: label - value: CP-10 - - - name: sort-id - value: cp-10 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-10_smt - name: statement - prose: - """ - The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure. - """ - - - id: cp-10_gdn - name: guidance - prose: - """ - Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: cp-10_obj - name: objective - prose: Determine if the organization provides for: - parts: - - - id: cp-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-10[1] - prose: the recovery of the information system to a known state after: - parts: - - - id: cp-10_obj.1.a - name: objective - properties: - - - name: label - value: CP-10[1][a] - prose: a disruption; - - - id: cp-10_obj.1.b - name: objective - properties: - - - name: label - value: CP-10[1][b] - prose: a compromise; or - - - id: cp-10_obj.1.c - name: objective - properties: - - - name: label - value: CP-10[1][c] - prose: a failure; - - - id: cp-10_obj.2 - name: objective - properties: - - - name: label - value: CP-10[2] - prose: the reconstitution of the information system to a known state after: - parts: - - - id: cp-10_obj.2.a - name: objective - properties: - - - name: label - value: CP-10[2][a] - prose: a disruption; - - - id: cp-10_obj.2.b - name: objective - properties: - - - name: label - value: CP-10[2][b] - prose: a compromise; or - - - id: cp-10_obj.2.c - name: objective - properties: - - - name: label - value: CP-10[2][c] - prose: a failure. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for information system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes implementing information system recovery and - reconstitution operations\n\nautomated mechanisms supporting and/or implementing information system recovery - and reconstitution operations - """ - - - id: ia - class: family - title: Identification and Authentication - controls: - - - id: ia-1 - class: SP800-53 - title: Identification and Authentication Policy and Procedures - parameters: - - - id: ia-1_prm_1 - label: organization-defined personnel or roles - - - id: ia-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ia-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-1 - - - name: sort-id - value: ia-01 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ia-1_smt - name: statement - prose: The organization: - parts: - - - id: ia-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ia-1_prm_1 }}: - parts: - - - id: ia-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ia-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and - """ - - - id: ia-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ia-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identification and authentication policy {{ ia-1_prm_2 }}; - and - """ - - - id: ia-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Identification and authentication procedures {{ ia-1_prm_3 }}. - - - id: ia-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ia-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-1.a_obj - name: objective - properties: - - - name: label - value: IA-1(a) - parts: - - - id: ia-1.a.1_obj - name: objective - properties: - - - name: label - value: IA-1(a)(1) - parts: - - - id: ia-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(1)[1] - prose: - """ - develops and documents an identification and authentication policy that - addresses: - """ - parts: - - - id: ia-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][a] - prose: purpose; - - - id: ia-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][b] - prose: scope; - - - id: ia-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][c] - prose: roles; - - - id: ia-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ia-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][e] - prose: management commitment; - - - id: ia-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ia-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][g] - prose: compliance; - - - id: ia-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and - """ - - - id: ia-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-1(a)(1)[3] - prose: - """ - disseminates the identification and authentication policy to - organization-defined personnel or roles; - """ - - - id: ia-1.a.2_obj - name: objective - properties: - - - name: label - value: IA-1(a)(2) - parts: - - - id: ia-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls; - """ - - - id: ia-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ia-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ia-1.b_obj - name: objective - properties: - - - name: label - value: IA-1(b) - parts: - - - id: ia-1.b.1_obj - name: objective - properties: - - - name: label - value: IA-1(b)(1) - parts: - - - id: ia-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication policy; - """ - - - id: ia-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(1)[2] - prose: - """ - reviews and updates the current identification and authentication policy - with the organization-defined frequency; and - """ - - - id: ia-1.b.2_obj - name: objective - properties: - - - name: label - value: IA-1(b)(2) - parts: - - - id: ia-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication procedures; and - """ - - - id: ia-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(2)[2] - prose: - """ - reviews and updates the current identification and authentication procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with identification and authentication - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ia-2 - class: SP800-53 - title: Identification and Authentication (organizational Users) - properties: - - - name: label - value: IA-2 - - - name: sort-id - value: ia-02 - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-2_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates organizational users (or - processes acting on behalf of organizational users). - """ - - - id: ia-2_gdn - name: guidance - prose: - """ - Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: ia-2_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for uniquely identifying and authenticating users\n\nautomated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-2.1 - class: SP800-53-enhancement - title: Network Access to Privileged Accounts - properties: - - - name: label - value: IA-2(1) - - - name: sort-id - value: ia-02.01 - parts: - - - id: ia-2.1_smt - name: statement - prose: - """ - The information system implements multifactor authentication for network access to - privileged accounts. - """ - - - id: ia-2.1_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - network access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.12 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials - properties: - - - name: label - value: IA-2(12) - - - name: sort-id - value: ia-02.12 - parts: - - - id: ia-2.12_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials. - """ - parts: - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - - - id: ia-2.12_gdn - name: guidance - prose: - """ - This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-2.12_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-2.12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(12)[1] - prose: accepts Personal Identity Verification (PIV) credentials; and - - - id: ia-2.12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(12)[2] - prose: electronically verifies Personal Identity Verification (PIV) credentials. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials - """ - - - id: ia-4 - class: SP800-53 - title: Identifier Management - parameters: - - - id: ia-4_prm_1 - label: organization-defined personnel or roles - - - id: ia-4_prm_2 - label: organization-defined time period - constraints: - - - detail: IA-4 (d) [at least two years] - - - id: ia-4_prm_3 - label: organization-defined time period of inactivity - constraints: - - - detail: ninety days for user identifiers (See additional requirements and guidance) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-4 - - - name: sort-id - value: ia-04 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - parts: - - - id: ia-4_smt - name: statement - prose: The organization manages information system identifiers by: - parts: - - - id: ia-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receiving authorization from {{ ia-4_prm_1 }} to assign an - individual, group, role, or device identifier; - """ - - - id: ia-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Selecting an identifier that identifies an individual, group, role, or device; - - - id: ia-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Assigning the identifier to the intended individual, group, role, or device; - - - id: ia-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and - - - id: ia-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Disabling the identifier after {{ ia-4_prm_3 }}. - - - id: ia-4_fr - name: item - title: IA-4(e) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-4_fr_smt.e - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period of inactivity for device identifiers. - - - id: ia-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx). - - - id: ia-4_gdn - name: guidance - prose: - """ - Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #sc-37 - rel: related - text: SC-37 - - - id: ia-4_obj - name: objective - prose: Determine if the organization manages information system identifiers by: - parts: - - - id: ia-4.a_obj - name: objective - properties: - - - name: label - value: IA-4(a) - parts: - - - id: ia-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(a)[1] - prose: - """ - defining personnel or roles from whom authorization must be received to - assign: - """ - parts: - - - id: ia-4.a_obj.1.a - name: objective - properties: - - - name: label - value: IA-4(a)[1][a] - prose: an individual identifier; - - - id: ia-4.a_obj.1.b - name: objective - properties: - - - name: label - value: IA-4(a)[1][b] - prose: a group identifier; - - - id: ia-4.a_obj.1.c - name: objective - properties: - - - name: label - value: IA-4(a)[1][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.1.d - name: objective - properties: - - - name: label - value: IA-4(a)[1][d] - prose: a device identifier; - - - id: ia-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(a)[2] - prose: - """ - receiving authorization from organization-defined personnel or roles to - assign: - """ - parts: - - - id: ia-4.a_obj.2.a - name: objective - properties: - - - name: label - value: IA-4(a)[2][a] - prose: an individual identifier; - - - id: ia-4.a_obj.2.b - name: objective - properties: - - - name: label - value: IA-4(a)[2][b] - prose: a group identifier; - - - id: ia-4.a_obj.2.c - name: objective - properties: - - - name: label - value: IA-4(a)[2][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.2.d - name: objective - properties: - - - name: label - value: IA-4(a)[2][d] - prose: a device identifier; - - - id: ia-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(b) - prose: selecting an identifier that identifies: - parts: - - - id: ia-4.b_obj.1 - name: objective - properties: - - - name: label - value: IA-4(b)[1] - prose: an individual; - - - id: ia-4.b_obj.2 - name: objective - properties: - - - name: label - value: IA-4(b)[2] - prose: a group; - - - id: ia-4.b_obj.3 - name: objective - properties: - - - name: label - value: IA-4(b)[3] - prose: a role; and/or - - - id: ia-4.b_obj.4 - name: objective - properties: - - - name: label - value: IA-4(b)[4] - prose: a device; - - - id: ia-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(c) - prose: assigning the identifier to the intended: - parts: - - - id: ia-4.c_obj.1 - name: objective - properties: - - - name: label - value: IA-4(c)[1] - prose: individual; - - - id: ia-4.c_obj.2 - name: objective - properties: - - - name: label - value: IA-4(c)[2] - prose: group; - - - id: ia-4.c_obj.3 - name: objective - properties: - - - name: label - value: IA-4(c)[3] - prose: role; and/or - - - id: ia-4.c_obj.4 - name: objective - properties: - - - name: label - value: IA-4(c)[4] - prose: device; - - - id: ia-4.d_obj - name: objective - properties: - - - name: label - value: IA-4(d) - parts: - - - id: ia-4.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(d)[1] - prose: defining a time period for preventing reuse of identifiers; - - - id: ia-4.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(d)[2] - prose: preventing reuse of identifiers for the organization-defined time period; - - - id: ia-4.e_obj - name: objective - properties: - - - name: label - value: IA-4(e) - parts: - - - id: ia-4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(e)[1] - prose: defining a time period of inactivity to disable the identifier; and - - - id: ia-4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(e)[2] - prose: - """ - disabling the identifier after the organization-defined time period of - inactivity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system accounts\n\nlist of identifiers generated from physical access control devices\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier management - - - id: ia-5 - class: SP800-53 - title: Authenticator Management - parameters: - - - id: ia-5_prm_1 - label: organization-defined time period by authenticator type - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-5 - - - name: sort-id - value: ia-05 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-5_smt - name: statement - prose: The organization manages information system authenticators by: - parts: - - - id: ia-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator; - """ - - - id: ia-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators; - """ - - - id: ia-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators; - """ - - - id: ia-5_smt.g - name: item - properties: - - - name: label - value: g. - prose: Changing/refreshing authenticators {{ ia-5_prm_1 }}; - - - id: ia-5_smt.h - name: item - properties: - - - name: label - value: h. - prose: - """ - Protecting authenticator content from unauthorized disclosure and - modification; - """ - - - id: ia-5_smt.i - name: item - properties: - - - name: label - value: i. - prose: - """ - Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and - """ - - - id: ia-5_smt.j - name: item - properties: - - - name: label - value: j. - prose: - """ - Changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - id: ia-5_fr - name: item - title: IA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3). - - - id: ia-5_gdn - name: guidance - prose: - """ - Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: ia-5_obj - name: objective - prose: Determine if the organization manages information system authenticators by: - parts: - - - id: ia-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(a) - prose: verifying, as part of the initial authenticator distribution, the identity of: - parts: - - - id: ia-5.a_obj.1 - name: objective - properties: - - - name: label - value: IA-5(a)[1] - prose: the individual receiving the authenticator; - - - id: ia-5.a_obj.2 - name: objective - properties: - - - name: label - value: IA-5(a)[2] - prose: the group receiving the authenticator; - - - id: ia-5.a_obj.3 - name: objective - properties: - - - name: label - value: IA-5(a)[3] - prose: the role receiving the authenticator; and/or - - - id: ia-5.a_obj.4 - name: objective - properties: - - - name: label - value: IA-5(a)[4] - prose: the device receiving the authenticator; - - - id: ia-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(b) - prose: - """ - establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(c) - prose: - """ - ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5.d_obj - name: objective - properties: - - - name: label - value: IA-5(d) - parts: - - - id: ia-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[1] - prose: - """ - establishing and implementing administrative procedures for initial - authenticator distribution; - """ - - - id: ia-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[2] - prose: - """ - establishing and implementing administrative procedures for lost/compromised or - damaged authenticators; - """ - - - id: ia-5.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[3] - prose: - """ - establishing and implementing administrative procedures for revoking - authenticators; - """ - - - id: ia-5.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(e) - prose: - """ - changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5.f_obj - name: objective - properties: - - - name: label - value: IA-5(f) - parts: - - - id: ia-5.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[1] - prose: establishing minimum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[2] - prose: establishing maximum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[3] - prose: establishing reuse conditions for authenticators; - - - id: ia-5.g_obj - name: objective - properties: - - - name: label - value: IA-5(g) - parts: - - - id: ia-5.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(g)[1] - prose: - """ - defining a time period (by authenticator type) for changing/refreshing - authenticators; - """ - - - id: ia-5.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(g)[2] - prose: - """ - changing/refreshing authenticators with the organization-defined time period by - authenticator type; - """ - - - id: ia-5.h_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(h) - prose: protecting authenticator content from unauthorized: - parts: - - - id: ia-5.h_obj.1 - name: objective - properties: - - - name: label - value: IA-5(h)[1] - prose: disclosure; - - - id: ia-5.h_obj.2 - name: objective - properties: - - - name: label - value: IA-5(h)[2] - prose: modification; - - - id: ia-5.i_obj - name: objective - properties: - - - name: label - value: IA-5(i) - parts: - - - id: ia-5.i_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-5(i)[1] - prose: - """ - requiring individuals to take specific security safeguards to protect - authenticators; - """ - - - id: ia-5.i_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(i)[2] - prose: - """ - having devices implement specific security safeguards to protect - authenticators; and - """ - - - id: ia-5.j_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(j) - prose: - """ - changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system authenticator types\n\nchange control records associated with managing information system - authenticators\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability - """ - controls: - - - id: ia-5.1 - class: SP800-53-enhancement - title: Password-based Authentication - parameters: - - - id: ia-5.1_prm_1 - label: - """ - organization-defined requirements for case sensitivity, number of characters, - mix of upper-case letters, lower-case letters, numbers, and special characters, - including minimum requirements for each type - """ - - - id: ia-5.1_prm_2 - label: organization-defined number - constraints: - - - detail: at least one - - - id: ia-5.1_prm_3 - label: organization-defined numbers for lifetime minimum, lifetime maximum - - - id: ia-5.1_prm_4 - label: organization-defined number - constraints: - - - detail: twenty four - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-5(1) - - - name: sort-id - value: ia-05.01 - parts: - - - id: ia-5.1_smt - name: statement - prose: The information system, for password-based authentication: - parts: - - - id: ia-5.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Enforces minimum password complexity of {{ ia-5.1_prm_1 }}; - - - id: ia-5.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Enforces at least the following number of changed characters when new passwords - are created: {{ ia-5.1_prm_2 }}; - """ - - - id: ia-5.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Stores and transmits only cryptographically-protected passwords; - - - id: ia-5.1_smt.d - name: item - properties: - - - name: label - value: (d) - prose: Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }}; - - - id: ia-5.1_smt.e - name: item - properties: - - - name: label - value: (e) - prose: - """ - Prohibits password reuse for {{ ia-5.1_prm_4 }} generations; - and - """ - - - id: ia-5.1_smt.f - name: item - properties: - - - name: label - value: (f) - prose: - """ - Allows the use of a temporary password for system logons with an immediate - change to a permanent password. - """ - - - id: ia-5.1_fr - name: item - title: IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance (a) (d): - prose: If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant. - - - id: ia-5.1_gdn - name: guidance - prose: - """ - This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords. - """ - links: - - - href: #ia-6 - rel: related - text: IA-6 - - - id: ia-5.1_obj - name: objective - prose: Determine if, for password-based authentication: - parts: - - - id: ia-5.1.a_obj - name: objective - properties: - - - name: label - value: IA-5(1)(a) - parts: - - - id: ia-5.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[1] - prose: the organization defines requirements for case sensitivity; - - - id: ia-5.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[2] - prose: the organization defines requirements for number of characters; - - - id: ia-5.1.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[3] - prose: - """ - the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters; - """ - - - id: ia-5.1.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[4] - prose: - """ - the organization defines minimum requirements for each type of - character; - """ - - - id: ia-5.1.a_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(a)[5] - prose: - """ - the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type; - """ - links: - - - href: #ia-5.1_smt.a - rel: corresp - text: IA-5(1)(a) - - - id: ia-5.1.b_obj - name: objective - properties: - - - name: label - value: IA-5(1)(b) - parts: - - - id: ia-5.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(b)[1] - prose: - """ - the organization defines a minimum number of changed characters to be - enforced when new passwords are created; - """ - - - id: ia-5.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(b)[2] - prose: - """ - the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created; - """ - links: - - - href: #ia-5.1_smt.b - rel: corresp - text: IA-5(1)(b) - - - id: ia-5.1.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(c) - prose: - """ - the information system stores and transmits only encrypted representations of - passwords; - """ - links: - - - href: #ia-5.1_smt.c - rel: corresp - text: IA-5(1)(c) - - - id: ia-5.1.d_obj - name: objective - properties: - - - name: label - value: IA-5(1)(d) - parts: - - - id: ia-5.1.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(d)[1] - prose: - """ - the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(d)[2] - prose: - """ - the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(d)[3] - prose: - """ - the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum; - """ - - - id: ia-5.1.d_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(d)[4] - prose: - """ - the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum; - """ - links: - - - href: #ia-5.1_smt.d - rel: corresp - text: IA-5(1)(d) - - - id: ia-5.1.e_obj - name: objective - properties: - - - name: label - value: IA-5(1)(e) - parts: - - - id: ia-5.1.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(e)[1] - prose: - """ - the organization defines the number of password generations to be prohibited - from password reuse; - """ - - - id: ia-5.1.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(e)[2] - prose: - """ - the information system prohibits password reuse for the organization-defined - number of generations; and - """ - links: - - - href: #ia-5.1_smt.e - rel: corresp - text: IA-5(1)(e) - - - id: ia-5.1.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(f) - prose: - """ - the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password. - """ - links: - - - href: #ia-5.1_smt.f - rel: corresp - text: IA-5(1)(f) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\npassword policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\npassword configurations and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing password-based - authenticator management capability - """ - - - id: ia-5.11 - class: SP800-53-enhancement - title: Hardware Token-based Authentication - parameters: - - - id: ia-5.11_prm_1 - label: organization-defined token quality requirements - properties: - - - name: label - value: IA-5(11) - - - name: sort-id - value: ia-05.11 - parts: - - - id: ia-5.11_smt - name: statement - prose: - """ - The information system, for hardware token-based authentication, employs - mechanisms that satisfy {{ ia-5.11_prm_1 }}. - """ - - - id: ia-5.11_gdn - name: guidance - prose: - """ - Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI. - """ - - - id: ia-5.11_obj - name: objective - prose: Determine if, for hardware token-based authentication: - parts: - - - id: ia-5.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(11)[1] - prose: the organization defines token quality requirements to be satisfied; and - - - id: ia-5.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(11)[2] - prose: - """ - the information system employs mechanisms that satisfy organization-defined - token quality requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\nautomated mechanisms employing hardware token-based authentication for the - information system\n\nlist of token quality requirements\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability - """ - - - id: ia-6 - class: SP800-53 - title: Authenticator Feedback - properties: - - - name: label - value: IA-6 - - - name: sort-id - value: ia-06 - parts: - - - id: ia-6_smt - name: statement - prose: - """ - The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals. - """ - - - id: ia-6_gdn - name: guidance - prose: - """ - The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it. - """ - links: - - - href: #pe-18 - rel: related - text: PE-18 - - - id: ia-6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator feedback\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication - """ - - - id: ia-7 - class: SP800-53 - title: Cryptographic Module Authentication - properties: - - - name: label - value: IA-7 - - - name: sort-id - value: ia-07 - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #b09d1a31-d3c9-4138-a4f4-4c63816afd7d - rel: reference - text: http://csrc.nist.gov/groups/STM/cmvp/index.html - parts: - - - id: ia-7_smt - name: statement - prose: - """ - The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - id: ia-7_gdn - name: guidance - prose: - """ - Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role. - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ia-7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing cryptographic module authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for cryptographic module - authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic module - authentication - """ - - - id: ia-8 - class: SP800-53 - title: Identification and Authentication (non-organizational Users) - properties: - - - name: label - value: IA-8 - - - name: sort-id - value: ia-08 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #599fe9ba-4750-4450-9eeb-b95bd19a5e8f - rel: reference - text: OMB Memorandum 10-06-2011 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #654f21e2-f3bc-43b2-abdc-60ab8d09744b - rel: reference - text: - """ - National Strategy for Trusted Identities in - Cyberspace - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-8_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates non-organizational users - (or processes acting on behalf of non-organizational users). - """ - - - id: ia-8_gdn - name: guidance - prose: - """ - Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - id: ia-8_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-8.1 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials from Other Agencies - properties: - - - name: label - value: IA-8(1) - - - name: sort-id - value: ia-08.01 - parts: - - - id: ia-8.1_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies. - """ - - - id: ia-8.1_gdn - name: guidance - prose: - """ - This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.1_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(1)[1] - prose: - """ - accepts Personal Identity Verification (PIV) credentials from other agencies; - and - """ - - - id: ia-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(1)[2] - prose: - """ - electronically verifies Personal Identity Verification (PIV) credentials from - other agencies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept and verify PIV credentials - """ - - - id: ia-8.2 - class: SP800-53-enhancement - title: Acceptance of Third-party Credentials - properties: - - - name: label - value: IA-8(2) - - - name: sort-id - value: ia-08.02 - parts: - - - id: ia-8.2_smt - name: statement - prose: The information system accepts only FICAM-approved third-party credentials. - - - id: ia-8.2_gdn - name: guidance - prose: - """ - This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - id: ia-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system accepts only FICAM-approved third-party - credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization\n\nthird-party credential verification records\n\nevidence of FICAM-approved third-party credentials\n\nthird-party credential authorizations\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept FICAM-approved credentials - """ - - - id: ia-8.3 - class: SP800-53-enhancement - title: Use of Ficam-approved Products - parameters: - - - id: ia-8.3_prm_1 - label: organization-defined information systems - properties: - - - name: label - value: IA-8(3) - - - name: sort-id - value: ia-08.03 - parts: - - - id: ia-8.3_smt - name: statement - prose: - """ - The organization employs only FICAM-approved information system components in - {{ ia-8.3_prm_1 }} to accept third-party credentials. - """ - - - id: ia-8.3_gdn - name: guidance - prose: - """ - This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program. - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-8.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-8(3)[1] - prose: - """ - defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and - """ - - - id: ia-8.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(3)[2] - prose: - """ - employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nthird-party credential validations\n\nthird-party credential authorizations\n\nthird-party credential records\n\nlist of FICAM-approved information system components procured and implemented - by organization\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information system security, acquisition, and - contracting responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - id: ia-8.4 - class: SP800-53-enhancement - title: Use of Ficam-issued Profiles - properties: - - - name: label - value: IA-8(4) - - - name: sort-id - value: ia-08.04 - parts: - - - id: ia-8.4_smt - name: statement - prose: The information system conforms to FICAM-issued profiles. - - - id: ia-8.4_gdn - name: guidance - prose: - """ - This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange). - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the information system conforms to FICAM-issued profiles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-issued profiles and associated, approved protocols\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles - """ - - - id: ir - class: family - title: Incident Response - controls: - - - id: ir-1 - class: SP800-53 - title: Incident Response Policy and Procedures - parameters: - - - id: ir-1_prm_1 - label: organization-defined personnel or roles - - - id: ir-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ir-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-1 - - - name: sort-id - value: ir-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ir-1_smt - name: statement - prose: The organization: - parts: - - - id: ir-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ir-1_prm_1 }}: - parts: - - - id: ir-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ir-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and - """ - - - id: ir-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ir-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Incident response policy {{ ir-1_prm_2 }}; and - - - id: ir-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Incident response procedures {{ ir-1_prm_3 }}. - - - id: ir-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ir-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-1.a_obj - name: objective - properties: - - - name: label - value: IR-1(a) - parts: - - - id: ir-1.a.1_obj - name: objective - properties: - - - name: label - value: IR-1(a)(1) - parts: - - - id: ir-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(1)[1] - prose: develops and documents an incident response policy that addresses: - parts: - - - id: ir-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][a] - prose: purpose; - - - id: ir-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][b] - prose: scope; - - - id: ir-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][c] - prose: roles; - - - id: ir-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][d] - prose: responsibilities; - - - id: ir-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][e] - prose: management commitment; - - - id: ir-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ir-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][g] - prose: compliance; - - - id: ir-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the incident response policy is to be - disseminated; - """ - - - id: ir-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-1(a)(1)[3] - prose: - """ - disseminates the incident response policy to organization-defined personnel - or roles; - """ - - - id: ir-1.a.2_obj - name: objective - properties: - - - name: label - value: IR-1(a)(2) - parts: - - - id: ir-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls; - """ - - - id: ir-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ir-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ir-1.b_obj - name: objective - properties: - - - name: label - value: IR-1(b) - parts: - - - id: ir-1.b.1_obj - name: objective - properties: - - - name: label - value: IR-1(b)(1) - parts: - - - id: ir-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current incident response - policy; - """ - - - id: ir-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(1)[2] - prose: - """ - reviews and updates the current incident response policy with the - organization-defined frequency; - """ - - - id: ir-1.b.2_obj - name: objective - properties: - - - name: label - value: IR-1(b)(2) - parts: - - - id: ir-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current incident response - procedures; and - """ - - - id: ir-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(2)[2] - prose: - """ - reviews and updates the current incident response procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-2 - class: SP800-53 - title: Incident Response Training - parameters: - - - id: ir-2_prm_1 - label: organization-defined time period - - - id: ir-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-2 - - - name: sort-id - value: ir-02 - links: - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: ir-2_smt - name: statement - prose: - """ - The organization provides incident response training to information system users - consistent with assigned roles and responsibilities: - """ - parts: - - - id: ir-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ ir-2_prm_1 }} of assuming an incident response role or - responsibility; - """ - - - id: ir-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: ir-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ ir-2_prm_2 }} thereafter. - """ - - - id: ir-2_gdn - name: guidance - prose: - """ - Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-2.a_obj - name: objective - properties: - - - name: label - value: IR-2(a) - parts: - - - id: ir-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-2(a)[1] - prose: - """ - defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility; - """ - - - id: ir-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(a)[2] - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility; - """ - - - id: ir-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(b) - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes; - """ - - - id: ir-2.c_obj - name: objective - properties: - - - name: label - value: IR-2(c) - parts: - - - id: ir-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-2(c)[1] - prose: - """ - defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and - """ - - - id: ir-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(c)[2] - prose: - """ - after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nsecurity plan\n\nincident response plan\n\nsecurity plan\n\nincident response training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response training and operational - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ir-4 - class: SP800-53 - title: Incident Handling - properties: - - - name: label - value: IR-4 - - - name: sort-id - value: ir-04 - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-4_smt - name: statement - prose: The organization: - parts: - - - id: ir-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery; - """ - - - id: ir-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates incident handling activities with contingency planning activities; - and - """ - - - id: ir-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly. - """ - - - id: ir-4_fr - name: item - title: IR-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-4_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system. - - - id: ir-4_gdn - name: guidance - prose: - """ - Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function). - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-2 - rel: related - text: IR-2 - - - href: #ir-3 - rel: related - text: IR-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(a) - prose: - """ - implements an incident handling capability for security incidents that - includes: - """ - parts: - - - id: ir-4.a_obj.1 - name: objective - properties: - - - name: label - value: IR-4(a)[1] - prose: preparation; - - - id: ir-4.a_obj.2 - name: objective - properties: - - - name: label - value: IR-4(a)[2] - prose: detection and analysis; - - - id: ir-4.a_obj.3 - name: objective - properties: - - - name: label - value: IR-4(a)[3] - prose: containment; - - - id: ir-4.a_obj.4 - name: objective - properties: - - - name: label - value: IR-4(a)[4] - prose: eradication; - - - id: ir-4.a_obj.5 - name: objective - properties: - - - name: label - value: IR-4(a)[5] - prose: recovery; - - - id: ir-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-4(b) - prose: coordinates incident handling activities with contingency planning activities; - - - id: ir-4.c_obj - name: objective - properties: - - - name: label - value: IR-4(c) - parts: - - - id: ir-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(c)[1] - prose: - """ - incorporates lessons learned from ongoing incident handling activities - into: - """ - parts: - - - id: ir-4.c_obj.1.a - name: objective - properties: - - - name: label - value: IR-4(c)[1][a] - prose: incident response procedures; - - - id: ir-4.c_obj.1.b - name: objective - properties: - - - name: label - value: IR-4(c)[1][b] - prose: training; - - - id: ir-4.c_obj.1.c - name: objective - properties: - - - name: label - value: IR-4(c)[1][c] - prose: testing/exercises; - - - id: ir-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-4(c)[2] - prose: implements the resulting changes accordingly to: - parts: - - - id: ir-4.c_obj.2.a - name: objective - properties: - - - name: label - value: IR-4(c)[2][a] - prose: incident response procedures; - - - id: ir-4.c_obj.2.b - name: objective - properties: - - - name: label - value: IR-4(c)[2][b] - prose: training; and - - - id: ir-4.c_obj.2.c - name: objective - properties: - - - name: label - value: IR-4(c)[2][c] - prose: testing/exercises. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ncontingency plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Incident handling capability for the organization - - - id: ir-5 - class: SP800-53 - title: Incident Monitoring - properties: - - - name: label - value: IR-5 - - - name: sort-id - value: ir-05 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-5_smt - name: statement - prose: The organization tracks and documents information system security incidents. - - - id: ir-5_gdn - name: guidance - prose: - """ - Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-5_obj.1 - name: objective - properties: - - - name: label - value: IR-5[1] - prose: tracks information system security incidents; and - - - id: ir-5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-5[2] - prose: documents information system security incidents. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of - system security incidents - """ - - - id: ir-6 - class: SP800-53 - title: Incident Reporting - parameters: - - - id: ir-6_prm_1 - label: organization-defined time period - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - id: ir-6_prm_2 - label: organization-defined authorities - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-6 - - - name: sort-id - value: ir-06 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #02631467-668b-4233-989b-3dfded2fd184 - rel: reference - text: http://www.us-cert.gov - parts: - - - id: ir-6_smt - name: statement - prose: The organization: - parts: - - - id: ir-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires personnel to report suspected security incidents to the organizational - incident response capability within {{ ir-6_prm_1 }}; and - """ - - - id: ir-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports security incident information to {{ ir-6_prm_2 }}. - - - id: ir-6_fr - name: item - title: IR-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Report security incident information according to FedRAMP Incident Communications Procedure. - - - id: ir-6_gdn - name: guidance - prose: - """ - The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-6.a_obj - name: objective - properties: - - - name: label - value: IR-6(a) - parts: - - - id: ir-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-6(a)[1] - prose: - """ - defines the time period within which personnel report suspected security - incidents to the organizational incident response capability; - """ - - - id: ir-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-6(a)[2] - prose: - """ - requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period; - """ - - - id: ir-6.b_obj - name: objective - properties: - - - name: label - value: IR-6(b) - parts: - - - id: ir-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-6(b)[1] - prose: - """ - defines authorities to whom security incident information is to be reported; - and - """ - - - id: ir-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-6(b)[2] - prose: reports security incident information to organization-defined authorities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident reporting\n\nincident reporting records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel who have/should have reported incidents\n\npersonnel (authorities) to whom incident information is to be reported - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing incident reporting - - - id: ir-7 - class: SP800-53 - title: Incident Response Assistance - properties: - - - name: label - value: IR-7 - - - name: sort-id - value: ir-07 - parts: - - - id: ir-7_smt - name: statement - prose: - """ - The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents. - """ - - - id: ir-7_gdn - name: guidance - prose: - """ - Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ir-7_obj - name: objective - prose: Determine if the organization provides an incident response support resource: - parts: - - - id: ir-7_obj.1 - name: objective - properties: - - - name: label - value: IR-7[1] - prose: that is integral to the organizational incident response capability; and - - - id: ir-7_obj.2 - name: objective - properties: - - - name: label - value: IR-7[2] - prose: - """ - that offers advice and assistance to users of the information system for the - handling and reporting of security incidents. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response assistance and support - responsibilities\n\norganizational personnel with access to incident response support and assistance - capability\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing incident response - assistance - """ - - - id: ir-8 - class: SP800-53 - title: Incident Response Plan - parameters: - - - id: ir-8_prm_1 - label: organization-defined personnel or roles - - - id: ir-8_prm_2 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - - - id: ir-8_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ir-8_prm_4 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-8 - - - name: sort-id - value: ir-08 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-8_smt - name: statement - prose: The organization: - parts: - - - id: ir-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops an incident response plan that: - parts: - - - id: ir-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Describes the structure and organization of the incident response - capability; - """ - - - id: ir-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions; - """ - - - id: ir-8_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: Defines reportable incidents; - - - id: ir-8_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: - """ - Provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: - """ - Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and - """ - - - id: ir-8_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: Is reviewed and approved by {{ ir-8_prm_1 }}; - - - id: ir-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the incident response plan to {{ ir-8_prm_2 }}; - - - id: ir-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the incident response plan {{ ir-8_prm_3 }}; - - - id: ir-8_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing; - """ - - - id: ir-8_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Communicates incident response plan changes to {{ ir-8_prm_4 }}; - and - """ - - - id: ir-8_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Protects the incident response plan from unauthorized disclosure and - modification. - """ - - - id: ir-8_fr - name: item - title: IR-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-8_fr_smt.b - name: item - properties: - - - name: label - value: (b) Requirement: - prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - - - id: ir-8_fr_smt.e - name: item - properties: - - - name: label - value: (e) Requirement: - prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - - - id: ir-8_gdn - name: guidance - prose: - """ - It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems. - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - id: ir-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-8.a_obj - name: objective - properties: - - - name: label - value: IR-8(a) - prose: develops an incident response plan that: - parts: - - - id: ir-8.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(1) - prose: - """ - provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(2) - prose: - """ - describes the structure and organization of the incident response - capability; - """ - - - id: ir-8.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(3) - prose: - """ - provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(4) - prose: meets the unique requirements of the organization, which relate to: - parts: - - - id: ir-8.a.4_obj.1 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[1] - prose: mission; - - - id: ir-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[2] - prose: size; - - - id: ir-8.a.4_obj.3 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[3] - prose: structure; - - - id: ir-8.a.4_obj.4 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[4] - prose: functions; - - - id: ir-8.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(5) - prose: defines reportable incidents; - - - id: ir-8.a.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(a)(6) - prose: - """ - provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8.a.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(7) - prose: - """ - defines the resources and management support needed to effectively maintain and - mature an incident response capability; - """ - - - id: ir-8.a.8_obj - name: objective - properties: - - - name: label - value: IR-8(a)(8) - parts: - - - id: ir-8.a.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(8)[1] - prose: - """ - defines personnel or roles to review and approve the incident response - plan; - """ - - - id: ir-8.a.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-8(a)(8)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: ir-8.b_obj - name: objective - properties: - - - name: label - value: IR-8(b) - parts: - - - id: ir-8.b_obj.1 - name: objective - properties: - - - name: label - value: IR-8(b)[1] - parts: - - - id: ir-8.b_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(b)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed; - """ - - - id: ir-8.b_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(b)[1][b] - prose: - """ - defines organizational elements to whom copies of the incident response plan - are to be distributed; - """ - - - id: ir-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(b)[2] - prose: - """ - distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements; - """ - - - id: ir-8.c_obj - name: objective - properties: - - - name: label - value: IR-8(c) - parts: - - - id: ir-8.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(c)[1] - prose: defines the frequency to review the incident response plan; - - - id: ir-8.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-8(c)[2] - prose: reviews the incident response plan with the organization-defined frequency; - - - id: ir-8.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(d) - prose: - """ - updates the incident response plan to address system/organizational changes or - problems encountered during plan: - """ - parts: - - - id: ir-8.d_obj.1 - name: objective - properties: - - - name: label - value: IR-8(d)[1] - prose: implementation; - - - id: ir-8.d_obj.2 - name: objective - properties: - - - name: label - value: IR-8(d)[2] - prose: execution; or - - - id: ir-8.d_obj.3 - name: objective - properties: - - - name: label - value: IR-8(d)[3] - prose: testing; - - - id: ir-8.e_obj - name: objective - properties: - - - name: label - value: IR-8(e) - parts: - - - id: ir-8.e_obj.1 - name: objective - properties: - - - name: label - value: IR-8(e)[1] - parts: - - - id: ir-8.e_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(e)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated; - """ - - - id: ir-8.e_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(e)[1][b] - prose: - """ - defines organizational elements to whom incident response plan changes are - to be communicated; - """ - - - id: ir-8.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(e)[2] - prose: - """ - communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and - """ - - - id: ir-8.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(f) - prose: - """ - protects the incident response plan from unauthorized disclosure and - modification. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational incident response plan and related organizational processes - - - id: ma - class: family - title: Maintenance - controls: - - - id: ma-1 - class: SP800-53 - title: System Maintenance Policy and Procedures - parameters: - - - id: ma-1_prm_1 - label: organization-defined personnel or roles - - - id: ma-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ma-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MA-1 - - - name: sort-id - value: ma-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ma-1_smt - name: statement - prose: The organization: - parts: - - - id: ma-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ma-1_prm_1 }}: - parts: - - - id: ma-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ma-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and - """ - - - id: ma-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ma-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System maintenance policy {{ ma-1_prm_2 }}; and - - - id: ma-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System maintenance procedures {{ ma-1_prm_3 }}. - - - id: ma-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ma-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-1.a_obj - name: objective - properties: - - - name: label - value: MA-1(a) - parts: - - - id: ma-1.a.1_obj - name: objective - properties: - - - name: label - value: MA-1(a)(1) - parts: - - - id: ma-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(1)[1] - prose: develops and documents a system maintenance policy that addresses: - parts: - - - id: ma-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][a] - prose: purpose; - - - id: ma-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][b] - prose: scope; - - - id: ma-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][c] - prose: roles; - - - id: ma-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ma-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][e] - prose: management commitment; - - - id: ma-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ma-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][g] - prose: compliance; - - - id: ma-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system maintenance policy is to be - disseminated; - """ - - - id: ma-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-1(a)(1)[3] - prose: - """ - disseminates the system maintenance policy to organization-defined personnel - or roles; - """ - - - id: ma-1.a.2_obj - name: objective - properties: - - - name: label - value: MA-1(a)(2) - parts: - - - id: ma-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls; - """ - - - id: ma-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ma-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ma-1.b_obj - name: objective - properties: - - - name: label - value: MA-1(b) - parts: - - - id: ma-1.b.1_obj - name: objective - properties: - - - name: label - value: MA-1(b)(1) - parts: - - - id: ma-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - policy; - """ - - - id: ma-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(1)[2] - prose: - """ - reviews and updates the current system maintenance policy with the - organization-defined frequency; - """ - - - id: ma-1.b.2_obj - name: objective - properties: - - - name: label - value: MA-1(b)(2) - parts: - - - id: ma-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - procedures; and - """ - - - id: ma-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(2)[2] - prose: - """ - reviews and updates the current system maintenance procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Maintenance policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - id: ma-2 - class: SP800-53 - title: Controlled Maintenance - parameters: - - - id: ma-2_prm_1 - label: organization-defined personnel or roles - - - id: ma-2_prm_2 - label: organization-defined maintenance-related information - properties: - - - name: label - value: MA-2 - - - name: sort-id - value: ma-02 - parts: - - - id: ma-2_smt - name: statement - prose: The organization: - parts: - - - id: ma-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements; - """ - - - id: ma-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location; - """ - - - id: ma-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Requires that {{ ma-2_prm_1 }} explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and - """ - - - id: ma-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Includes {{ ma-2_prm_2 }} in organizational maintenance - records. - """ - - - id: ma-2_gdn - name: guidance - prose: - """ - This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ma-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-2.a_obj - name: objective - properties: - - - name: label - value: MA-2(a) - parts: - - - id: ma-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(a)[1] - prose: - """ - schedules maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.1.a - name: objective - properties: - - - name: label - value: MA-2(a)[1][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.1.b - name: objective - properties: - - - name: label - value: MA-2(a)[1][b] - prose: organizational requirements; - - - id: ma-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(a)[2] - prose: - """ - performs maintenance and repairs on information system components in accordance - with: - """ - parts: - - - id: ma-2.a_obj.2.a - name: objective - properties: - - - name: label - value: MA-2(a)[2][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.2.b - name: objective - properties: - - - name: label - value: MA-2(a)[2][b] - prose: organizational requirements; - - - id: ma-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(a)[3] - prose: - """ - documents maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.3.a - name: objective - properties: - - - name: label - value: MA-2(a)[3][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.3.b - name: objective - properties: - - - name: label - value: MA-2(a)[3][b] - prose: organizational requirements; - - - id: ma-2.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(a)[4] - prose: - """ - reviews records of maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.4.a - name: objective - properties: - - - name: label - value: MA-2(a)[4][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.4.b - name: objective - properties: - - - name: label - value: MA-2(a)[4][b] - prose: organizational requirements; - - - id: ma-2.b_obj - name: objective - properties: - - - name: label - value: MA-2(b) - parts: - - - id: ma-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(b)[1] - prose: - """ - approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(b)[2] - prose: - """ - monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.c_obj - name: objective - properties: - - - name: label - value: MA-2(c) - parts: - - - id: ma-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(c)[1] - prose: - """ - defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(c)[2] - prose: - """ - requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs; - """ - - - id: ma-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(d) - prose: - """ - sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(e) - prose: - """ - checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; - """ - - - id: ma-2.f_obj - name: objective - properties: - - - name: label - value: MA-2(f) - parts: - - - id: ma-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(f)[1] - prose: - """ - defines maintenance-related information to be included in organizational - maintenance records; and - """ - - - id: ma-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(f)[2] - prose: - """ - includes organization-defined maintenance-related information in organizational - maintenance records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing controlled information system maintenance\n\nmaintenance records\n\nmanufacturer/vendor maintenance specifications\n\nequipment sanitization records\n\nmedia sanitization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system\n\norganizational processes for sanitizing information system components\n\nautomated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms implementing sanitization of information system - components - """ - - - id: ma-4 - class: SP800-53 - title: Nonlocal Maintenance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MA-4 - - - name: sort-id - value: ma-04 - links: - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #f2dbd4ec-c413-4714-b85b-6b7184d1c195 - rel: reference - text: FIPS Publication 197 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a4aa9645-9a8a-4b51-90a9-e223250f9a75 - rel: reference - text: CNSS Policy 15 - parts: - - - id: ma-4_smt - name: statement - prose: The organization: - parts: - - - id: ma-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Approves and monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system; - """ - - - id: ma-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Maintains records for nonlocal maintenance and diagnostic activities; and - - - id: ma-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Terminates session and network connections when nonlocal maintenance is - completed. - """ - - - id: ma-4_gdn - name: guidance - prose: - """ - Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: ma-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-4.a_obj - name: objective - properties: - - - name: label - value: MA-4(a) - parts: - - - id: ma-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(a)[1] - prose: approves nonlocal maintenance and diagnostic activities; - - - id: ma-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(a)[2] - prose: monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(b) - prose: allows the use of nonlocal maintenance and diagnostic tools only: - parts: - - - id: ma-4.b_obj.1 - name: objective - properties: - - - name: label - value: MA-4(b)[1] - prose: as consistent with organizational policy; - - - id: ma-4.b_obj.2 - name: objective - properties: - - - name: label - value: MA-4(b)[2] - prose: as documented in the security plan for the information system; - - - id: ma-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(c) - prose: - """ - employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(d) - prose: maintains records for nonlocal maintenance and diagnostic activities; - - - id: ma-4.e_obj - name: objective - properties: - - - name: label - value: MA-4(e) - parts: - - - id: ma-4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(e)[1] - prose: - """ - terminates sessions when nonlocal maintenance or diagnostics is completed; - and - """ - - - id: ma-4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(e)[2] - prose: - """ - terminates network connections when nonlocal maintenance or diagnostics is - completed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing nonlocal information system maintenance\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing nonlocal maintenance\n\nautomated mechanisms implementing, supporting, and/or managing nonlocal - maintenance\n\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions\n\nautomated mechanisms for terminating nonlocal maintenance sessions and network - connections - """ - - - id: ma-5 - class: SP800-53 - title: Maintenance Personnel - properties: - - - name: label - value: MA-5 - - - name: sort-id - value: ma-05 - parts: - - - id: ma-5_smt - name: statement - prose: The organization: - parts: - - - id: ma-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel; - """ - - - id: ma-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - id: ma-5_gdn - name: guidance - prose: - """ - This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: ma-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-5.a_obj - name: objective - properties: - - - name: label - value: MA-5(a) - parts: - - - id: ma-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(a)[1] - prose: establishes a process for maintenance personnel authorization; - - - id: ma-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(a)[2] - prose: maintains a list of authorized maintenance organizations or personnel; - - - id: ma-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(b) - prose: - """ - ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(c) - prose: - """ - designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing maintenance personnel\n\nservice provider contracts\n\nservice-level agreements\n\nlist of authorized personnel\n\nmaintenance records\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for authorizing and managing maintenance personnel\n\nautomated mechanisms supporting and/or implementing authorization of maintenance - personnel - """ - - - id: mp - class: family - title: Media Protection - controls: - - - id: mp-1 - class: SP800-53 - title: Media Protection Policy and Procedures - parameters: - - - id: mp-1_prm_1 - label: organization-defined personnel or roles - - - id: mp-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: mp-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MP-1 - - - name: sort-id - value: mp-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: mp-1_smt - name: statement - prose: The organization: - parts: - - - id: mp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ mp-1_prm_1 }}: - parts: - - - id: mp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: mp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and - """ - - - id: mp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: mp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Media protection policy {{ mp-1_prm_2 }}; and - - - id: mp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Media protection procedures {{ mp-1_prm_3 }}. - - - id: mp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: mp-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-1.a_obj - name: objective - properties: - - - name: label - value: MP-1(a) - parts: - - - id: mp-1.a.1_obj - name: objective - properties: - - - name: label - value: MP-1(a)(1) - parts: - - - id: mp-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(1)[1] - prose: develops and documents a media protection policy that addresses: - parts: - - - id: mp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][a] - prose: purpose; - - - id: mp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][b] - prose: scope; - - - id: mp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][c] - prose: roles; - - - id: mp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][d] - prose: responsibilities; - - - id: mp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][e] - prose: management commitment; - - - id: mp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: mp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][g] - prose: compliance; - - - id: mp-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the media protection policy is to be - disseminated; - """ - - - id: mp-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MP-1(a)(1)[3] - prose: - """ - disseminates the media protection policy to organization-defined personnel - or roles; - """ - - - id: mp-1.a.2_obj - name: objective - properties: - - - name: label - value: MP-1(a)(2) - parts: - - - id: mp-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls; - """ - - - id: mp-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: mp-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MP-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: mp-1.b_obj - name: objective - properties: - - - name: label - value: MP-1(b) - parts: - - - id: mp-1.b.1_obj - name: objective - properties: - - - name: label - value: MP-1(b)(1) - parts: - - - id: mp-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current media protection - policy; - """ - - - id: mp-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(1)[2] - prose: - """ - reviews and updates the current media protection policy with the - organization-defined frequency; - """ - - - id: mp-1.b.2_obj - name: objective - properties: - - - name: label - value: MP-1(b)(2) - parts: - - - id: mp-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current media protection - procedures; and - """ - - - id: mp-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(2)[2] - prose: - """ - reviews and updates the current media protection procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Media protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media protection responsibilities\n\norganizational personnel with information security responsibilities - - - id: mp-2 - class: SP800-53 - title: Media Access - parameters: - - - id: mp-2_prm_1 - label: organization-defined types of digital and/or non-digital media - - - id: mp-2_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: MP-2 - - - name: sort-id - value: mp-02 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-2_smt - name: statement - prose: The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}. - - - id: mp-2_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: mp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-2[1] - prose: defines types of digital and/or non-digital media requiring restricted access; - - - id: mp-2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-2[2] - prose: - """ - defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and - """ - - - id: mp-2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-2[3] - prose: - """ - restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media access restrictions\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmedia storage facilities\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for restricting information media\n\nautomated mechanisms supporting and/or implementing media access restrictions - - - id: mp-6 - class: SP800-53 - title: Media Sanitization - parameters: - - - id: mp-6_prm_1 - label: organization-defined information system media - - - id: mp-6_prm_2 - label: organization-defined sanitization techniques and procedures - properties: - - - name: label - value: MP-6 - - - name: sort-id - value: mp-06 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a47466c4-c837-4f06-a39f-e68412a5f73d - rel: reference - text: http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - parts: - - - id: mp-6_smt - name: statement - prose: The organization: - parts: - - - id: mp-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of - organizational control, or release for reuse using {{ mp-6_prm_2 }} - in accordance with applicable federal and organizational standards and policies; - and - """ - - - id: mp-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information. - """ - - - id: mp-6_gdn - name: guidance - prose: - """ - This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information. - """ - links: - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-4 - rel: related - text: SC-4 - - - id: mp-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.a_obj - name: objective - properties: - - - name: label - value: MP-6(a) - parts: - - - id: mp-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(a)[1] - prose: defines information system media to be sanitized prior to: - parts: - - - id: mp-6.a_obj.1.a - name: objective - properties: - - - name: label - value: MP-6(a)[1][a] - prose: disposal; - - - id: mp-6.a_obj.1.b - name: objective - properties: - - - name: label - value: MP-6(a)[1][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.1.c - name: objective - properties: - - - name: label - value: MP-6(a)[1][c] - prose: release for reuse; - - - id: mp-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(a)[2] - prose: - """ - defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to: - """ - parts: - - - id: mp-6.a_obj.2.a - name: objective - properties: - - - name: label - value: MP-6(a)[2][a] - prose: disposal; - - - id: mp-6.a_obj.2.b - name: objective - properties: - - - name: label - value: MP-6(a)[2][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.2.c - name: objective - properties: - - - name: label - value: MP-6(a)[2][c] - prose: release for reuse; - - - id: mp-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(a)[3] - prose: - """ - sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and - """ - - - id: mp-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(b) - prose: - """ - employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\napplicable federal standards and policies addressing media sanitization\n\nmedia sanitization records\n\naudit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - - - id: mp-7 - class: SP800-53 - title: Media Use - parameters: - - - id: mp-7_prm_1 - - - id: mp-7_prm_2 - label: organization-defined types of information system media - - - id: mp-7_prm_3 - label: organization-defined information systems or system components - - - id: mp-7_prm_4 - label: organization-defined security safeguards - properties: - - - name: label - value: MP-7 - - - name: sort-id - value: mp-07 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-7_smt - name: statement - prose: The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}. - - - id: mp-7_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: mp-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-7_obj.1 - name: objective - properties: - - - name: label - value: MP-7[1] - prose: defines types of information system media to be: - parts: - - - id: mp-7_obj.1.a - name: objective - properties: - - - name: label - value: MP-7[1][a] - prose: restricted on information systems or system components; or - - - id: mp-7_obj.1.b - name: objective - properties: - - - name: label - value: MP-7[1][b] - prose: prohibited from use on information systems or system components; - - - id: mp-7_obj.2 - name: objective - properties: - - - name: label - value: MP-7[2] - prose: - """ - defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following: - """ - parts: - - - id: mp-7_obj.2.a - name: objective - properties: - - - name: label - value: MP-7[2][a] - prose: restricted; or - - - id: mp-7_obj.2.b - name: objective - properties: - - - name: label - value: MP-7[2][b] - prose: prohibited; - - - id: mp-7_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-7[3] - prose: - """ - defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and - """ - - - id: mp-7_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-7[4] - prose: - """ - restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nsecurity plan\n\nrules of behavior\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for media use\n\nautomated mechanisms restricting or prohibiting use of information system media on - information systems or system components - """ - - - id: pe - class: family - title: Physical and Environmental Protection - controls: - - - id: pe-1 - class: SP800-53 - title: Physical and Environmental Protection Policy and Procedures - parameters: - - - id: pe-1_prm_1 - label: organization-defined personnel or roles - - - id: pe-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: pe-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-1 - - - name: sort-id - value: pe-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pe-1_smt - name: statement - prose: The organization: - parts: - - - id: pe-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pe-1_prm_1 }}: - parts: - - - id: pe-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: pe-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and - """ - - - id: pe-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pe-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Physical and environmental protection policy {{ pe-1_prm_2 }}; - and - """ - - - id: pe-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Physical and environmental protection procedures {{ pe-1_prm_3 }}. - - - id: pe-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pe-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-1.a_obj - name: objective - properties: - - - name: label - value: PE-1(a) - parts: - - - id: pe-1.a.1_obj - name: objective - properties: - - - name: label - value: PE-1(a)(1) - parts: - - - id: pe-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(1)[1] - prose: - """ - develops and documents a physical and environmental protection policy that - addresses: - """ - parts: - - - id: pe-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][a] - prose: purpose; - - - id: pe-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][b] - prose: scope; - - - id: pe-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][c] - prose: roles; - - - id: pe-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][d] - prose: responsibilities; - - - id: pe-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][e] - prose: management commitment; - - - id: pe-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pe-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][g] - prose: compliance; - - - id: pe-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated; - """ - - - id: pe-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-1(a)(1)[3] - prose: - """ - disseminates the physical and environmental protection policy to - organization-defined personnel or roles; - """ - - - id: pe-1.a.2_obj - name: objective - properties: - - - name: label - value: PE-1(a)(2) - parts: - - - id: pe-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls; - """ - - - id: pe-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pe-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pe-1.b_obj - name: objective - properties: - - - name: label - value: PE-1(b) - parts: - - - id: pe-1.b.1_obj - name: objective - properties: - - - name: label - value: PE-1(b)(1) - parts: - - - id: pe-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection policy; - """ - - - id: pe-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(1)[2] - prose: - """ - reviews and updates the current physical and environmental protection policy - with the organization-defined frequency; - """ - - - id: pe-1.b.2_obj - name: objective - properties: - - - name: label - value: PE-1(b)(2) - parts: - - - id: pe-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection procedures; and - """ - - - id: pe-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(2)[2] - prose: - """ - reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with physical and environmental protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: pe-2 - class: SP800-53 - title: Physical Access Authorizations - parameters: - - - id: pe-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-2 - - - name: sort-id - value: pe-02 - parts: - - - id: pe-2_smt - name: statement - prose: The organization: - parts: - - - id: pe-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides; - """ - - - id: pe-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Issues authorization credentials for facility access; - - - id: pe-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the access list detailing authorized facility access by individuals - {{ pe-2_prm_1 }}; and - """ - - - id: pe-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Removes individuals from the facility access list when access is no longer - required. - """ - - - id: pe-2_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible. - """ - links: - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: pe-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-2.a_obj - name: objective - properties: - - - name: label - value: PE-2(a) - parts: - - - id: pe-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-2(a)[1] - prose: - """ - develops a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(a)[2] - prose: - """ - approves a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-2(a)[3] - prose: - """ - maintains a list of individuals with authorized access to the facility where - the information system resides; - """ - - - id: pe-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(b) - prose: issues authorization credentials for facility access; - - - id: pe-2.c_obj - name: objective - properties: - - - name: label - value: PE-2(c) - parts: - - - id: pe-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-2(c)[1] - prose: - """ - defines the frequency to review the access list detailing authorized facility - access by individuals; - """ - - - id: pe-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(c)[2] - prose: - """ - reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and - """ - - - id: pe-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(d) - prose: - """ - removes individuals from the facility access list when access is no longer - required. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nsecurity plan\n\nauthorized personnel access list\n\nauthorization credentials\n\nphysical access list reviews\n\nphysical access termination records and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to information system facility\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access - authorizations - """ - - - id: pe-3 - class: SP800-53 - title: Physical Access Control - parameters: - - - id: pe-3_prm_1 - label: - """ - organization-defined entry/exit points to the facility where the information - system resides - """ - - - id: pe-3_prm_2 - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - - - id: pe-3_prm_3 - depends-on: pe-3_prm_2 - label: organization-defined physical access control systems/devices - constraints: - - - detail: CSP defined physical access control systems/devices - - - id: pe-3_prm_4 - label: organization-defined entry/exit points - - - id: pe-3_prm_5 - label: organization-defined security safeguards - - - id: pe-3_prm_6 - label: - """ - organization-defined circumstances requiring visitor escorts and - monitoring - """ - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - - - id: pe-3_prm_7 - label: organization-defined physical access devices - - - id: pe-3_prm_8 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: pe-3_prm_9 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-3 - - - name: sort-id - value: pe-03 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - - - href: #398e33fd-f404-4e5c-b90e-2d50d3181244 - rel: reference - text: ICD 705 - - - href: #61081e7f-041d-4033-96a7-44a439071683 - rel: reference - text: DoD Instruction 5200.39 - - - href: #dd2f5acd-08f1-435a-9837-f8203088dc1a - rel: reference - text: - """ - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - parts: - - - id: pe-3_smt - name: statement - prose: The organization: - parts: - - - id: pe-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Enforces physical access authorizations at {{ pe-3_prm_1 }} by; - parts: - - - id: pe-3_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Verifying individual access authorizations before granting access to the - facility; and - """ - - - id: pe-3_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Controlling ingress/egress to the facility using {{ pe-3_prm_2 }}; - - - id: pe-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Maintains physical access audit logs for {{ pe-3_prm_4 }}; - - - id: pe-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides {{ pe-3_prm_5 }} to control access to areas within the - facility officially designated as publicly accessible; - """ - - - id: pe-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }}; - - - id: pe-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: Secures keys, combinations, and other physical access devices; - - - id: pe-3_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }}; - and - """ - - - id: pe-3_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated. - """ - - - id: pe-3_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #pe-5 - rel: related - text: PE-5 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: pe-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-3.a_obj - name: objective - properties: - - - name: label - value: PE-3(a) - parts: - - - id: pe-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(a)[1] - prose: - """ - defines entry/exit points to the facility where the information system - resides; - """ - - - id: pe-3.a_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2] - prose: - """ - enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by: - """ - parts: - - - id: pe-3.a.1_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](1) - prose: - """ - verifying individual access authorizations before granting access to the - facility; - """ - - - id: pe-3.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(a)[2](2) - parts: - - - id: pe-3.a.2_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[a] - prose: - """ - defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides; - """ - - - id: pe-3.a.2_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b] - prose: - """ - using one or more of the following ways to control ingress/egress to the - facility: - """ - parts: - - - id: pe-3.a.2_obj.2.b.1 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][1] - prose: - """ - organization-defined physical access control systems/devices; - and/or - """ - - - id: pe-3.a.2_obj.2.b.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][2] - prose: guards; - - - id: pe-3.b_obj - name: objective - properties: - - - name: label - value: PE-3(b) - parts: - - - id: pe-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(b)[1] - prose: - """ - defines entry/exit points for which physical access audit logs are to be - maintained; - """ - - - id: pe-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(b)[2] - prose: - """ - maintains physical access audit logs for organization-defined entry/exit - points; - """ - - - id: pe-3.c_obj - name: objective - properties: - - - name: label - value: PE-3(c) - parts: - - - id: pe-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(c)[1] - prose: - """ - defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible; - """ - - - id: pe-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(c)[2] - prose: - """ - provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible; - """ - - - id: pe-3.d_obj - name: objective - properties: - - - name: label - value: PE-3(d) - parts: - - - id: pe-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(d)[1] - prose: defines circumstances requiring visitor: - parts: - - - id: pe-3.d_obj.1.a - name: objective - properties: - - - name: label - value: PE-3(d)[1][a] - prose: escorts; - - - id: pe-3.d_obj.1.b - name: objective - properties: - - - name: label - value: PE-3(d)[1][b] - prose: monitoring; - - - id: pe-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(d)[2] - prose: - """ - in accordance with organization-defined circumstances requiring visitor escorts - and monitoring: - """ - parts: - - - id: pe-3.d_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(d)[2][a] - prose: escorts visitors; - - - id: pe-3.d_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(d)[2][b] - prose: monitors visitor activities; - - - id: pe-3.e_obj - name: objective - properties: - - - name: label - value: PE-3(e) - parts: - - - id: pe-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[1] - prose: secures keys; - - - id: pe-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[2] - prose: secures combinations; - - - id: pe-3.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[3] - prose: secures other physical access devices; - - - id: pe-3.f_obj - name: objective - properties: - - - name: label - value: PE-3(f) - parts: - - - id: pe-3.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(f)[1] - prose: defines physical access devices to be inventoried; - - - id: pe-3.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(f)[2] - prose: - """ - defines the frequency to inventory organization-defined physical access - devices; - """ - - - id: pe-3.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(f)[3] - prose: - """ - inventories the organization-defined physical access devices with the - organization-defined frequency; - """ - - - id: pe-3.g_obj - name: objective - properties: - - - name: label - value: PE-3(g) - parts: - - - id: pe-3.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(g)[1] - prose: defines the frequency to change combinations and keys; and - - - id: pe-3.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(g)[2] - prose: - """ - changes combinations and keys with the organization-defined frequency and/or - when: - """ - parts: - - - id: pe-3.g_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(g)[2][a] - prose: keys are lost; - - - id: pe-3.g_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(g)[2][b] - prose: combinations are compromised; - - - id: pe-3.g_obj.2.c - name: objective - properties: - - - name: label - value: PE-3(g)[2][c] - prose: individuals are transferred or terminated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nsecurity plan\n\nphysical access control logs or records\n\ninventory records of physical access control devices\n\ninformation system entry and exit points\n\nrecords of key and lock combination changes\n\nstorage locations for physical access control devices\n\nphysical access control devices\n\nlist of security safeguards controlling access to designated publicly accessible - areas within facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for physical access control\n\nautomated mechanisms supporting and/or implementing physical access control\n\nphysical access control devices - - - id: pe-6 - class: SP800-53 - title: Monitoring Physical Access - parameters: - - - id: pe-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: pe-6_prm_2 - label: organization-defined events or potential indications of events - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-6 - - - name: sort-id - value: pe-06 - parts: - - - id: pe-6_smt - name: statement - prose: The organization: - parts: - - - id: pe-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence - of {{ pe-6_prm_2 }}; and - """ - - - id: pe-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - id: pe-6_gdn - name: guidance - prose: - """ - Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: pe-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(a) - prose: - """ - monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6.b_obj - name: objective - properties: - - - name: label - value: PE-6(b) - parts: - - - id: pe-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(b)[1] - prose: defines the frequency to review physical access logs; - - - id: pe-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(b)[2] - prose: - """ - defines events or potential indication of events requiring physical access logs - to be reviewed; - """ - - - id: pe-6.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(b)[3] - prose: - """ - reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and - """ - - - id: pe-6.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-6(c) - prose: - """ - coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsecurity plan\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing reviewing of physical access - logs - """ - - - id: pe-8 - class: SP800-53 - title: Visitor Access Records - parameters: - - - id: pe-8_prm_1 - label: organization-defined time period - constraints: - - - detail: for a minimum of one (1) year - - - id: pe-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-8 - - - name: sort-id - value: pe-08 - parts: - - - id: pe-8_smt - name: statement - prose: The organization: - parts: - - - id: pe-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains visitor access records to the facility where the information system - resides for {{ pe-8_prm_1 }}; and - """ - - - id: pe-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews visitor access records {{ pe-8_prm_2 }}. - - - id: pe-8_gdn - name: guidance - prose: - """ - Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas. - """ - - - id: pe-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-8.a_obj - name: objective - properties: - - - name: label - value: PE-8(a) - parts: - - - id: pe-8.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-8(a)[1] - prose: - """ - defines the time period to maintain visitor access records to the facility - where the information system resides; - """ - - - id: pe-8.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-8(a)[2] - prose: - """ - maintains visitor access records to the facility where the information system - resides for the organization-defined time period; - """ - - - id: pe-8.b_obj - name: objective - properties: - - - name: label - value: PE-8(b) - parts: - - - id: pe-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-8(b)[1] - prose: defines the frequency to review visitor access records; and - - - id: pe-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-8(b)[2] - prose: reviews visitor access records with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nsecurity plan\n\nvisitor access control logs or records\n\nvisitor access record or log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of - visitor access records - """ - - - id: pe-12 - class: SP800-53 - title: Emergency Lighting - properties: - - - name: label - value: PE-12 - - - name: sort-id - value: pe-12 - parts: - - - id: pe-12_smt - name: statement - prose: - """ - The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility. - """ - - - id: pe-12_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-12_obj - name: objective - prose: - """ - Determine if the organization employs and maintains automatic emergency lighting for - the information system that: - """ - parts: - - - id: pe-12_obj.1 - name: objective - properties: - - - name: label - value: PE-12[1] - prose: activates in the event of a power outage or disruption; and - - - id: pe-12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-12[2] - prose: covers emergency exits and evacuation routes within the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency lighting and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing emergency lighting - capability - """ - - - id: pe-13 - class: SP800-53 - title: Fire Protection - properties: - - - name: label - value: PE-13 - - - name: sort-id - value: pe-13 - parts: - - - id: pe-13_smt - name: statement - prose: - """ - The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source. - """ - - - id: pe-13_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors. - """ - - - id: pe-13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13_obj.1 - name: objective - properties: - - - name: label - value: PE-13[1] - prose: - """ - employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and - """ - - - id: pe-13_obj.2 - name: objective - properties: - - - name: label - value: PE-13[2] - prose: - """ - maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and suppression - devices/systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems - """ - - - id: pe-14 - class: SP800-53 - title: Temperature and Humidity Controls - parameters: - - - id: pe-14_prm_1 - label: organization-defined acceptable levels - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - id: pe-14_prm_2 - label: organization-defined frequency - constraints: - - - detail: continuously - properties: - - - name: label - value: PE-14 - - - name: sort-id - value: pe-14 - parts: - - - id: pe-14_smt - name: statement - prose: The organization: - parts: - - - id: pe-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains temperature and humidity levels within the facility where the - information system resides at {{ pe-14_prm_1 }}; and - """ - - - id: pe-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: Monitors temperature and humidity levels {{ pe-14_prm_2 }}. - - - id: pe-14_fr - name: item - title: PE-14(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: pe-14_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider measures temperature at server inlets and humidity levels by dew point. - - - id: pe-14_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-14.a_obj - name: objective - properties: - - - name: label - value: PE-14(a) - parts: - - - id: pe-14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(a)[1] - prose: - """ - defines acceptable temperature levels to be maintained within the facility - where the information system resides; - """ - - - id: pe-14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(a)[2] - prose: - """ - defines acceptable humidity levels to be maintained within the facility where - the information system resides; - """ - - - id: pe-14.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(a)[3] - prose: - """ - maintains temperature levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(a)[4] - prose: - """ - maintains humidity levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.b_obj - name: objective - properties: - - - name: label - value: PE-14(b) - parts: - - - id: pe-14.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(b)[1] - prose: defines the frequency to monitor temperature levels; - - - id: pe-14.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(b)[2] - prose: defines the frequency to monitor humidity levels; - - - id: pe-14.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(b)[3] - prose: monitors temperature levels with the organization-defined frequency; and - - - id: pe-14.b_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(b)[4] - prose: monitors humidity levels with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing temperature and humidity control\n\nsecurity plan\n\ntemperature and humidity controls\n\nfacility housing the information system\n\ntemperature and humidity controls documentation\n\ntemperature and humidity records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels - """ - - - id: pe-15 - class: SP800-53 - title: Water Damage Protection - properties: - - - name: label - value: PE-15 - - - name: sort-id - value: pe-15 - parts: - - - id: pe-15_smt - name: statement - prose: - """ - The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel. - """ - - - id: pe-15_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-15_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are: - """ - parts: - - - id: pe-15_obj.1 - name: objective - properties: - - - name: label - value: PE-15[1] - prose: accessible; - - - id: pe-15_obj.2 - name: objective - properties: - - - name: label - value: PE-15[2] - prose: working properly; and - - - id: pe-15_obj.3 - name: objective - properties: - - - name: label - value: PE-15[3] - prose: known to key personnel. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the information system\n\nmaster shutoff valves\n\nlist of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system\n\nmaster shutoff valve documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Master water-shutoff valves\n\norganizational process for activating master water-shutoff - - - id: pe-16 - class: SP800-53 - title: Delivery and Removal - parameters: - - - id: pe-16_prm_1 - label: organization-defined types of information system components - constraints: - - - detail: all information system components - properties: - - - name: label - value: PE-16 - - - name: sort-id - value: pe-16 - parts: - - - id: pe-16_smt - name: statement - prose: - """ - The organization authorizes, monitors, and controls {{ pe-16_prm_1 }} - entering and exiting the facility and maintains records of those items. - """ - - - id: pe-16_gdn - name: guidance - prose: - """ - Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: pe-16_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-16_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-16[1] - prose: - """ - defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility; - """ - - - id: pe-16_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[2] - prose: - """ - authorizes organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[3] - prose: - """ - monitors organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[4] - prose: - """ - controls organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[5] - prose: - """ - authorizes organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.6 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[6] - prose: - """ - monitors organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.7 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[7] - prose: - """ - controls organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.8 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-16[8] - prose: maintains records of information system components entering the facility; and - - - id: pe-16_obj.9 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-16[9] - prose: maintains records of information system components exiting the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing delivery and removal of information system components from - the facility\n\nsecurity plan\n\nfacility housing the information system\n\nrecords of items entering and exiting the facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility\n\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility - """ - - - id: pl - class: family - title: Planning - controls: - - - id: pl-1 - class: SP800-53 - title: Security Planning Policy and Procedures - parameters: - - - id: pl-1_prm_1 - label: organization-defined personnel or roles - - - id: pl-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: pl-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-1 - - - name: sort-id - value: pl-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pl-1_smt - name: statement - prose: The organization: - parts: - - - id: pl-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pl-1_prm_1 }}: - parts: - - - id: pl-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: pl-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and - """ - - - id: pl-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pl-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security planning policy {{ pl-1_prm_2 }}; and - - - id: pl-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security planning procedures {{ pl-1_prm_3 }}. - - - id: pl-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pl-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-1.a_obj - name: objective - properties: - - - name: label - value: PL-1(a) - parts: - - - id: pl-1.a.1_obj - name: objective - properties: - - - name: label - value: PL-1(a)(1) - parts: - - - id: pl-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(1)[1] - prose: develops and documents a planning policy that addresses: - parts: - - - id: pl-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][a] - prose: purpose; - - - id: pl-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][b] - prose: scope; - - - id: pl-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][c] - prose: roles; - - - id: pl-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][d] - prose: responsibilities; - - - id: pl-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][e] - prose: management commitment; - - - id: pl-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pl-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][g] - prose: compliance; - - - id: pl-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the planning policy is to be - disseminated; - """ - - - id: pl-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-1(a)(1)[3] - prose: - """ - disseminates the planning policy to organization-defined personnel or - roles; - """ - - - id: pl-1.a.2_obj - name: objective - properties: - - - name: label - value: PL-1(a)(2) - parts: - - - id: pl-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls; - """ - - - id: pl-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pl-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pl-1.b_obj - name: objective - properties: - - - name: label - value: PL-1(b) - parts: - - - id: pl-1.b.1_obj - name: objective - properties: - - - name: label - value: PL-1(b)(1) - parts: - - - id: pl-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(1)[1] - prose: defines the frequency to review and update the current planning policy; - - - id: pl-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(1)[2] - prose: - """ - reviews and updates the current planning policy with the - organization-defined frequency; - """ - - - id: pl-1.b.2_obj - name: objective - properties: - - - name: label - value: PL-1(b)(2) - parts: - - - id: pl-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current planning procedures; - and - """ - - - id: pl-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(2)[2] - prose: - """ - reviews and updates the current planning procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: pl-2 - class: SP800-53 - title: System Security Plan - parameters: - - - id: pl-2_prm_1 - label: organization-defined personnel or roles - - - id: pl-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-2 - - - name: sort-id - value: pl-02 - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-2_smt - name: statement - prose: The organization: - parts: - - - id: pl-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a security plan for the information system that: - parts: - - - id: pl-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Is consistent with the organization’s enterprise architecture; - - - id: pl-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Explicitly defines the authorization boundary for the system; - - - id: pl-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Provides an overview of the security requirements for the system; - - - id: pl-2_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: Identifies any relevant overlays, if applicable; - - - id: pl-2_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: - """ - Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and - """ - - - id: pl-2_smt.a.9 - name: item - properties: - - - name: label - value: 9. - prose: - """ - Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Distributes copies of the security plan and communicates subsequent changes to the - plan to {{ pl-2_prm_1 }}; - """ - - - id: pl-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the security plan for the information system {{ pl-2_prm_2 }}; - - - id: pl-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and - """ - - - id: pl-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: Protects the security plan from unauthorized disclosure and modification. - - - id: pl-2_gdn - name: guidance - prose: - """ - Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-7 - rel: related - text: PL-7 - - - href: #pm-1 - rel: related - text: PM-1 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-11 - rel: related - text: PM-11 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-17 - rel: related - text: SA-17 - - - id: pl-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-2.a_obj - name: objective - properties: - - - name: label - value: PL-2(a) - prose: develops a security plan for the information system that: - parts: - - - id: pl-2.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(1) - prose: is consistent with the organization’s enterprise architecture; - - - id: pl-2.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(2) - prose: explicitly defines the authorization boundary for the system; - - - id: pl-2.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(3) - prose: - """ - describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(4) - prose: - """ - provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(5) - prose: - """ - describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2.a.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(6) - prose: provides an overview of the security requirements for the system; - - - id: pl-2.a.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(7) - prose: identifies any relevant overlays, if applicable; - - - id: pl-2.a.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(8) - prose: - """ - describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions; - """ - - - id: pl-2.a.9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(a)(9) - prose: - """ - is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2.b_obj - name: objective - properties: - - - name: label - value: PL-2(b) - parts: - - - id: pl-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(b)[1] - prose: - """ - defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated; - """ - - - id: pl-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(b)[2] - prose: - """ - distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles; - """ - - - id: pl-2.c_obj - name: objective - properties: - - - name: label - value: PL-2(c) - parts: - - - id: pl-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(c)[1] - prose: - """ - defines the frequency to review the security plan for the information - system; - """ - - - id: pl-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(c)[2] - prose: - """ - reviews the security plan for the information system with the - organization-defined frequency; - """ - - - id: pl-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(d) - prose: updates the plan to address: - parts: - - - id: pl-2.d_obj.1 - name: objective - properties: - - - name: label - value: PL-2(d)[1] - prose: changes to the information system/environment of operation; - - - id: pl-2.d_obj.2 - name: objective - properties: - - - name: label - value: PL-2(d)[2] - prose: problems identified during plan implementation; - - - id: pl-2.d_obj.3 - name: objective - properties: - - - name: label - value: PL-2(d)[3] - prose: problems identified during security control assessments; - - - id: pl-2.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(e) - prose: protects the security plan from unauthorized: - parts: - - - id: pl-2.e_obj.1 - name: objective - properties: - - - name: label - value: PL-2(e)[1] - prose: disclosure; and - - - id: pl-2.e_obj.2 - name: objective - properties: - - - name: label - value: PL-2(e)[2] - prose: modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing security plan development and implementation\n\nprocedures addressing security plan reviews and updates\n\nenterprise architecture documentation\n\nsecurity plan for the information system\n\nrecords of security plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security plan development/review/update/approval\n\nautomated mechanisms supporting the information system security plan - - - id: pl-4 - class: SP800-53 - title: Rules of Behavior - parameters: - - - id: pl-4_prm_1 - label: organization-defined frequency - constraints: - - - detail: At least every 3 years - properties: - - - name: label - value: PL-4 - - - name: sort-id - value: pl-04 - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-4_smt - name: statement - prose: The organization: - parts: - - - id: pl-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage; - """ - - - id: pl-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and - - - id: pl-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated. - """ - - - id: pl-4_gdn - name: guidance - prose: - """ - This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #mp-7 - rel: related - text: MP-7 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #ps-8 - rel: related - text: PS-8 - - - href: #sa-5 - rel: related - text: SA-5 - - - id: pl-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-4.a_obj - name: objective - properties: - - - name: label - value: PL-4(a) - parts: - - - id: pl-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-4(a)[1] - prose: - """ - establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage; - """ - - - id: pl-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(a)[2] - prose: - """ - makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage; - """ - - - id: pl-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(b) - prose: - """ - receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4.c_obj - name: objective - properties: - - - name: label - value: PL-4(c) - parts: - - - id: pl-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-4(c)[1] - prose: defines the frequency to review and update the rules of behavior; - - - id: pl-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(c)[2] - prose: - """ - reviews and updates the rules of behavior with the organization-defined - frequency; and - """ - - - id: pl-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(d) - prose: - """ - requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing rules of behavior for information system users\n\nrules of behavior\n\nsigned acknowledgements\n\nrecords for rules of behavior reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior\n\norganizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior - """ - - - id: ps - class: family - title: Personnel Security - controls: - - - id: ps-1 - class: SP800-53 - title: Personnel Security Policy and Procedures - parameters: - - - id: ps-1_prm_1 - label: organization-defined personnel or roles - - - id: ps-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ps-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-1 - - - name: sort-id - value: ps-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ps-1_smt - name: statement - prose: The organization: - parts: - - - id: ps-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ps-1_prm_1 }}: - parts: - - - id: ps-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ps-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and - """ - - - id: ps-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ps-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Personnel security policy {{ ps-1_prm_2 }}; and - - - id: ps-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Personnel security procedures {{ ps-1_prm_3 }}. - - - id: ps-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ps-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-1.a_obj - name: objective - properties: - - - name: label - value: PS-1(a) - parts: - - - id: ps-1.a.1_obj - name: objective - properties: - - - name: label - value: PS-1(a)(1) - parts: - - - id: ps-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(1)[1] - prose: develops and documents an personnel security policy that addresses: - parts: - - - id: ps-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][a] - prose: purpose; - - - id: ps-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][b] - prose: scope; - - - id: ps-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][c] - prose: roles; - - - id: ps-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][d] - prose: responsibilities; - - - id: ps-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][e] - prose: management commitment; - - - id: ps-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ps-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][g] - prose: compliance; - - - id: ps-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the personnel security policy is to be - disseminated; - """ - - - id: ps-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-1(a)(1)[3] - prose: - """ - disseminates the personnel security policy to organization-defined personnel - or roles; - """ - - - id: ps-1.a.2_obj - name: objective - properties: - - - name: label - value: PS-1(a)(2) - parts: - - - id: ps-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls; - """ - - - id: ps-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ps-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ps-1.b_obj - name: objective - properties: - - - name: label - value: PS-1(b) - parts: - - - id: ps-1.b.1_obj - name: objective - properties: - - - name: label - value: PS-1(b)(1) - parts: - - - id: ps-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current personnel security - policy; - """ - - - id: ps-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(1)[2] - prose: - """ - reviews and updates the current personnel security policy with the - organization-defined frequency; - """ - - - id: ps-1.b.2_obj - name: objective - properties: - - - name: label - value: PS-1(b)(2) - parts: - - - id: ps-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current personnel security - procedures; and - """ - - - id: ps-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(2)[2] - prose: - """ - reviews and updates the current personnel security procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ps-2 - class: SP800-53 - title: Position Risk Designation - parameters: - - - id: ps-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three years - properties: - - - name: label - value: PS-2 - - - name: sort-id - value: ps-02 - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - parts: - - - id: ps-2_smt - name: statement - prose: The organization: - parts: - - - id: ps-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Assigns a risk designation to all organizational positions; - - - id: ps-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishes screening criteria for individuals filling those positions; and - - - id: ps-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates position risk designations {{ ps-2_prm_1 }}. - - - id: ps-2_gdn - name: guidance - prose: - """ - Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances). - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: ps-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-2(a) - prose: assigns a risk designation to all organizational positions; - - - id: ps-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-2(b) - prose: establishes screening criteria for individuals filling those positions; - - - id: ps-2.c_obj - name: objective - properties: - - - name: label - value: PS-2(c) - parts: - - - id: ps-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-2(c)[1] - prose: defines the frequency to review and update position risk designations; and - - - id: ps-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-2(c)[2] - prose: - """ - reviews and updates position risk designations with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing position categorization\n\nappropriate codes of federal regulations\n\nlist of risk designations for organizational positions\n\nsecurity plan\n\nrecords of position risk designation reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for assigning, reviewing, and updating position risk - designations\n\norganizational processes for establishing screening criteria - """ - - - id: ps-3 - class: SP800-53 - title: Personnel Screening - parameters: - - - id: ps-3_prm_1 - label: - """ - organization-defined conditions requiring rescreening and, where rescreening is - so indicated, the frequency of such rescreening - """ - constraints: - - - detail: For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-3 - - - name: sort-id - value: ps-03 - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - parts: - - - id: ps-3_smt - name: statement - prose: The organization: - parts: - - - id: ps-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Screens individuals prior to authorizing access to the information system; and - - - id: ps-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Rescreens individuals according to {{ ps-3_prm_1 }}. - - - id: ps-3_gdn - name: guidance - prose: - """ - Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-2 - rel: related - text: PS-2 - - - id: ps-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-3(a) - prose: screens individuals prior to authorizing access to the information system; - - - id: ps-3.b_obj - name: objective - properties: - - - name: label - value: PS-3(b) - parts: - - - id: ps-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(b)[1] - prose: defines conditions requiring re-screening; - - - id: ps-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(b)[2] - prose: defines the frequency of re-screening where it is so indicated; and - - - id: ps-3.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(b)[3] - prose: - """ - re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for personnel screening - - - id: ps-4 - class: SP800-53 - title: Personnel Termination - parameters: - - - id: ps-4_prm_1 - label: organization-defined time period - constraints: - - - detail: same day - - - id: ps-4_prm_2 - label: organization-defined information security topics - - - id: ps-4_prm_3 - label: organization-defined personnel or roles - - - id: ps-4_prm_4 - label: organization-defined time period - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-4 - - - name: sort-id - value: ps-04 - parts: - - - id: ps-4_smt - name: statement - prose: The organization, upon termination of individual employment: - parts: - - - id: ps-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Disables information system access within {{ ps-4_prm_1 }}; - - - id: ps-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }}; - - - id: ps-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Retains access to organizational information and information systems formerly - controlled by terminated individual; and - """ - - - id: ps-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}. - - - id: ps-4_gdn - name: guidance - prose: - """ - Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-4_obj - name: objective - prose: Determine if the organization, upon termination of individual employment,: - parts: - - - id: ps-4.a_obj - name: objective - properties: - - - name: label - value: PS-4(a) - parts: - - - id: ps-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(a)[1] - prose: defines a time period within which to disable information system access; - - - id: ps-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(a)[2] - prose: - """ - disables information system access within the organization-defined time - period; - """ - - - id: ps-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(b) - prose: - """ - terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4.c_obj - name: objective - properties: - - - name: label - value: PS-4(c) - parts: - - - id: ps-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(c)[1] - prose: - """ - defines information security topics to be discussed when conducting exit - interviews; - """ - - - id: ps-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(c)[2] - prose: - """ - conducts exit interviews that include a discussion of organization-defined - information security topics; - """ - - - id: ps-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(d) - prose: - """ - retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(e) - prose: - """ - retains access to organizational information and information systems formerly - controlled by the terminated individual; - """ - - - id: ps-4.f_obj - name: objective - properties: - - - name: label - value: PS-4(f) - parts: - - - id: ps-4.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(f)[1] - prose: defines personnel or roles to be notified of the termination; - - - id: ps-4.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(f)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles; and - """ - - - id: ps-4.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(f)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel termination\n\nrecords of personnel termination actions\n\nlist of information system accounts\n\nrecords of terminated or revoked authenticators/credentials\n\nrecords of exit interviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-5 - class: SP800-53 - title: Personnel Transfer - parameters: - - - id: ps-5_prm_1 - label: organization-defined transfer or reassignment actions - - - id: ps-5_prm_2 - label: organization-defined time period following the formal transfer action - - - id: ps-5_prm_3 - label: organization-defined personnel or roles - - - id: ps-5_prm_4 - label: organization-defined time period - constraints: - - - detail: five days of the time period following the formal transfer action (DoD 24 hours) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-5 - - - name: sort-id - value: ps-05 - parts: - - - id: ps-5_smt - name: statement - prose: The organization: - parts: - - - id: ps-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization; - """ - - - id: ps-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }}; - - - id: ps-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and - """ - - - id: ps-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}. - - - id: ps-5_gdn - name: guidance - prose: - """ - This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-4 - rel: related - text: PS-4 - - - id: ps-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-5.a_obj - name: objective - properties: - - - name: label - value: PS-5(a) - prose: - """ - when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current: - """ - parts: - - - id: ps-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-5(a)[1] - prose: logical access authorizations to information systems; - - - id: ps-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-5(a)[2] - prose: physical access authorizations to information systems and facilities; - - - id: ps-5.b_obj - name: objective - properties: - - - name: label - value: PS-5(b) - parts: - - - id: ps-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(b)[1] - prose: - """ - defines transfer or reassignment actions to be initiated following transfer or - reassignment; - """ - - - id: ps-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(b)[2] - prose: - """ - defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment; - """ - - - id: ps-5.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(b)[3] - prose: - """ - initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment; - """ - - - id: ps-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(c) - prose: - """ - modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; - """ - - - id: ps-5.d_obj - name: objective - properties: - - - name: label - value: PS-5(d) - parts: - - - id: ps-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(d)[1] - prose: - """ - defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization; - """ - - - id: ps-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(d)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and - """ - - - id: ps-5.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(d)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel transfer\n\nsecurity plan\n\nrecords of personnel transfer actions\n\nlist of information system and facility access authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel transfer\n\nautomated mechanisms supporting and/or implementing personnel transfer - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-6 - class: SP800-53 - title: Access Agreements - parameters: - - - id: ps-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ps-6_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-6 - - - name: sort-id - value: ps-06 - parts: - - - id: ps-6_smt - name: statement - prose: The organization: - parts: - - - id: ps-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the access agreements {{ ps-6_prm_1 }}; and - - - id: ps-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that individuals requiring access to organizational information and - information systems: - """ - parts: - - - id: ps-6_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: Sign appropriate access agreements prior to being granted access; and - - - id: ps-6_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or {{ ps-6_prm_2 }}. - """ - - - id: ps-6_gdn - name: guidance - prose: - """ - Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-8 - rel: related - text: PS-8 - - - id: ps-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(a) - prose: - """ - develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6.b_obj - name: objective - properties: - - - name: label - value: PS-6(b) - parts: - - - id: ps-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(b)[1] - prose: defines the frequency to review and update the access agreements; - - - id: ps-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(b)[2] - prose: - """ - reviews and updates the access agreements with the organization-defined - frequency; - """ - - - id: ps-6.c_obj - name: objective - properties: - - - name: label - value: PS-6(c) - parts: - - - id: ps-6.c.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-6(c)(1) - prose: - """ - ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access; - """ - - - id: ps-6.c.2_obj - name: objective - properties: - - - name: label - value: PS-6(c)(2) - parts: - - - id: ps-6.c.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(c)(2)[1] - prose: - """ - defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated; - """ - - - id: ps-6.c.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-6(c)(2)[2] - prose: - """ - ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Personnel security policy\n\nprocedures addressing access agreements for organizational information and - information systems\n\nsecurity plan\n\naccess agreements\n\nrecords of access agreement reviews and updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed/resigned access agreements\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for access agreements\n\nautomated mechanisms supporting access agreements - - - id: ps-7 - class: SP800-53 - title: Third-party Personnel Security - parameters: - - - id: ps-7_prm_1 - label: organization-defined personnel or roles - - - id: ps-7_prm_2 - label: organization-defined time period - constraints: - - - detail: organization-defined time period - same day - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-7 - - - name: sort-id - value: ps-07 - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: ps-7_smt - name: statement - prose: The organization: - parts: - - - id: ps-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes personnel security requirements including security roles and - responsibilities for third-party providers; - """ - - - id: ps-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: Documents personnel security requirements; - - - id: ps-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires third-party providers to notify {{ ps-7_prm_1 }} of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within {{ ps-7_prm_2 }}; and - """ - - - id: ps-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: Monitors provider compliance. - - - id: ps-7_gdn - name: guidance - prose: - """ - Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated. - """ - links: - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sa-21 - rel: related - text: SA-21 - - - id: ps-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(a) - prose: - """ - establishes personnel security requirements, including security roles and - responsibilities, for third-party providers; - """ - - - id: ps-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-7(b) - prose: - """ - requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(c) - prose: documents personnel security requirements; - - - id: ps-7.d_obj - name: objective - properties: - - - name: label - value: PS-7(d) - parts: - - - id: ps-7.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[1] - prose: - """ - defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[2] - prose: - """ - defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[3] - prose: - """ - requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and - """ - - - id: ps-7.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-7(e) - prose: monitors provider compliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing third-party personnel security\n\nlist of personnel security requirements\n\nacquisition documents\n\nservice-level agreements\n\ncompliance monitoring process\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\nthird-party providers\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing and monitoring third-party personnel - security\n\nautomated mechanisms supporting and/or implementing monitoring of provider - compliance - """ - - - id: ps-8 - class: SP800-53 - title: Personnel Sanctions - parameters: - - - id: ps-8_prm_1 - label: organization-defined personnel or roles - - - id: ps-8_prm_2 - label: organization-defined time period - properties: - - - name: label - value: PS-8 - - - name: sort-id - value: ps-08 - parts: - - - id: ps-8_smt - name: statement - prose: The organization: - parts: - - - id: ps-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and - """ - - - id: ps-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }} - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction. - """ - - - id: ps-8_gdn - name: guidance - prose: - """ - Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(a) - prose: - """ - employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; - """ - - - id: ps-8.b_obj - name: objective - properties: - - - name: label - value: PS-8(b) - parts: - - - id: ps-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(b)[1] - prose: - """ - defines personnel or roles to be notified when a formal employee sanctions - process is initiated; - """ - - - id: ps-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(b)[2] - prose: - """ - defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and - """ - - - id: ps-8.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-8(b)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel sanctions\n\nrules of behavior\n\nrecords of formal sanctions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing personnel sanctions\n\nautomated mechanisms supporting and/or implementing notifications - - - id: ra - class: family - title: Risk Assessment - controls: - - - id: ra-1 - class: SP800-53 - title: Risk Assessment Policy and Procedures - parameters: - - - id: ra-1_prm_1 - label: organization-defined personnel or roles - - - id: ra-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ra-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-1 - - - name: sort-id - value: ra-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ra-1_smt - name: statement - prose: The organization: - parts: - - - id: ra-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ra-1_prm_1 }}: - parts: - - - id: ra-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ra-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and - """ - - - id: ra-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ra-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Risk assessment policy {{ ra-1_prm_2 }}; and - - - id: ra-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Risk assessment procedures {{ ra-1_prm_3 }}. - - - id: ra-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-1.a_obj - name: objective - properties: - - - name: label - value: RA-1(a) - parts: - - - id: ra-1.a.1_obj - name: objective - properties: - - - name: label - value: RA-1(a)(1) - parts: - - - id: ra-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(1)[1] - prose: develops and documents a risk assessment policy that addresses: - parts: - - - id: ra-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][a] - prose: purpose; - - - id: ra-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][b] - prose: scope; - - - id: ra-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][c] - prose: roles; - - - id: ra-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ra-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][e] - prose: management commitment; - - - id: ra-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ra-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][g] - prose: compliance; - - - id: ra-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the risk assessment policy is to be - disseminated; - """ - - - id: ra-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: RA-1(a)(1)[3] - prose: - """ - disseminates the risk assessment policy to organization-defined personnel or - roles; - """ - - - id: ra-1.a.2_obj - name: objective - properties: - - - name: label - value: RA-1(a)(2) - parts: - - - id: ra-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls; - """ - - - id: ra-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ra-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: RA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ra-1.b_obj - name: objective - properties: - - - name: label - value: RA-1(b) - parts: - - - id: ra-1.b.1_obj - name: objective - properties: - - - name: label - value: RA-1(b)(1) - parts: - - - id: ra-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - policy; - """ - - - id: ra-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(1)[2] - prose: - """ - reviews and updates the current risk assessment policy with the - organization-defined frequency; - """ - - - id: ra-1.b.2_obj - name: objective - properties: - - - name: label - value: RA-1(b)(2) - parts: - - - id: ra-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - procedures; and - """ - - - id: ra-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(2)[2] - prose: - """ - reviews and updates the current risk assessment procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: risk assessment policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ra-2 - class: SP800-53 - title: Security Categorization - properties: - - - name: label - value: RA-2 - - - name: sort-id - value: ra-02 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - parts: - - - id: ra-2_smt - name: statement - prose: The organization: - parts: - - - id: ra-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision. - """ - - - id: ra-2_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted. - """ - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: ra-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-2(a) - prose: - """ - categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-2(b) - prose: - """ - documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-2(c) - prose: - """ - ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing security categorization of organizational information and - information systems\n\nsecurity plan\n\nsecurity categorization documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security categorization and risk assessment - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security categorization - - - id: ra-3 - class: SP800-53 - title: Risk Assessment - parameters: - - - id: ra-3_prm_1 - - - id: ra-3_prm_2 - depends-on: ra-3_prm_1 - label: organization-defined document - constraints: - - - detail: security assessment report - - - id: ra-3_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - - - id: ra-3_prm_4 - label: organization-defined personnel or roles - - - id: ra-3_prm_5 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - properties: - - - name: label - value: RA-3 - - - name: sort-id - value: ra-03 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ra-3_smt - name: statement - prose: The organization: - parts: - - - id: ra-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits; - """ - - - id: ra-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Documents risk assessment results in {{ ra-3_prm_1 }}; - - - id: ra-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews risk assessment results {{ ra-3_prm_3 }}; - - - id: ra-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Disseminates risk assessment results to {{ ra-3_prm_4 }}; and - - - id: ra-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system. - """ - - - id: ra-3_fr - name: item - title: RA-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F - - - id: ra-3_fr_smt.d - name: item - properties: - - - name: label - value: RA-3 (d) Requirement: - prose: Include all Authorizing Officials; for JAB authorizations to include FedRAMP. - - - id: ra-3_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation. - """ - links: - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-3.a_obj - name: objective - properties: - - - name: label - value: RA-3(a) - prose: - """ - conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of: - """ - parts: - - - id: ra-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(a)[1] - prose: the information system; - - - id: ra-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(a)[2] - prose: the information the system processes, stores, or transmits; - - - id: ra-3.b_obj - name: objective - properties: - - - name: label - value: RA-3(b) - parts: - - - id: ra-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(b)[1] - prose: - """ - defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report); - """ - - - id: ra-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(b)[2] - prose: documents risk assessment results in one of the following: - parts: - - - id: ra-3.b_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(b)[2][a] - prose: the security plan; - - - id: ra-3.b_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(b)[2][b] - prose: the risk assessment report; or - - - id: ra-3.b_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(b)[2][c] - prose: the organization-defined document; - - - id: ra-3.c_obj - name: objective - properties: - - - name: label - value: RA-3(c) - parts: - - - id: ra-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(c)[1] - prose: defines the frequency to review risk assessment results; - - - id: ra-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(c)[2] - prose: reviews risk assessment results with the organization-defined frequency; - - - id: ra-3.d_obj - name: objective - properties: - - - name: label - value: RA-3(d) - parts: - - - id: ra-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(d)[1] - prose: - """ - defines personnel or roles to whom risk assessment results are to be - disseminated; - """ - - - id: ra-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(d)[2] - prose: - """ - disseminates risk assessment results to organization-defined personnel or - roles; - """ - - - id: ra-3.e_obj - name: objective - properties: - - - name: label - value: RA-3(e) - parts: - - - id: ra-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(e)[1] - prose: defines the frequency to update the risk assessment; - - - id: ra-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(e)[2] - prose: updates the risk assessment: - parts: - - - id: ra-3.e_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(e)[2][a] - prose: with the organization-defined frequency; - - - id: ra-3.e_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(e)[2][b] - prose: - """ - whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and - """ - - - id: ra-3.e_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(e)[2][c] - prose: - """ - whenever there are other conditions that may impact the security state of - the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nsecurity plan\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment - """ - - - id: ra-5 - class: SP800-53 - title: Vulnerability Scanning - parameters: - - - id: ra-5_prm_1 - label: - """ - organization-defined frequency and/or randomly in accordance with - organization-defined process - """ - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - - - id: ra-5_prm_2 - label: organization-defined response times - constraints: - - - detail: [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - id: ra-5_prm_3 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5 - - - name: sort-id - value: ra-05 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #15522e92-9192-463d-9646-6a01982db8ca - rel: reference - text: http://cwe.mitre.org - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - parts: - - - id: ra-5_smt - name: statement - prose: The organization: - parts: - - - id: ra-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Scans for vulnerabilities in the information system and hosted applications - {{ ra-5_prm_1 }} and when new vulnerabilities potentially - affecting the system/applications are identified and reported; - """ - - - id: ra-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Enumerating platforms, software flaws, and improper configurations; - - - id: ra-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Formatting checklists and test procedures; and - - - id: ra-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: Measuring vulnerability impact; - - - id: ra-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Analyzes vulnerability scan reports and results from security control - assessments; - """ - - - id: ra-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in - accordance with an organizational assessment of risk; and - """ - - - id: ra-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Shares information obtained from the vulnerability scanning process and security - control assessments with {{ ra-5_prm_3 }} to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - id: ra-5_fr_smt.a - name: item - title: RA-5(a) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (a)Requirement: - prose: An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. - - - id: ra-5_fr_smt.e - name: item - title: RA-5(e) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (e)Requirement: - prose: To include all Authorizing Officials; for JAB authorizations to include FedRAMP. - - - id: ra-5_fr - name: item - title: RA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - - **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)) - """ - - - id: ra-5_gdn - name: guidance - prose: - """ - Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS). - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ra-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.a_obj - name: objective - properties: - - - name: label - value: RA-5(a) - parts: - - - id: ra-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(a)[1] - parts: - - - id: ra-5.a_obj.1.a - name: objective - properties: - - - name: label - value: RA-5(a)[1][a] - prose: - """ - defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or - """ - - - id: ra-5.a_obj.1.b - name: objective - properties: - - - name: label - value: RA-5(a)[1][b] - prose: - """ - defines the process for conducting random vulnerability scans on the - information system and hosted applications; - """ - - - id: ra-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(a)[2] - prose: - """ - in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.2.a - name: objective - properties: - - - name: label - value: RA-5(a)[2][a] - prose: the information system; - - - id: ra-5.a_obj.2.b - name: objective - properties: - - - name: label - value: RA-5(a)[2][b] - prose: hosted applications; - - - id: ra-5.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(a)[3] - prose: - """ - when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.3.a - name: objective - properties: - - - name: label - value: RA-5(a)[3][a] - prose: the information system; - - - id: ra-5.a_obj.3.b - name: objective - properties: - - - name: label - value: RA-5(a)[3][b] - prose: hosted applications; - - - id: ra-5.b_obj - name: objective - properties: - - - name: label - value: RA-5(b) - prose: - """ - employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5.b.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(1) - parts: - - - id: ra-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[1] - prose: enumerating platforms; - - - id: ra-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[2] - prose: enumerating software flaws; - - - id: ra-5.b.1_obj.3 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[3] - prose: enumerating improper configurations; - - - id: ra-5.b.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(2) - parts: - - - id: ra-5.b.2_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[1] - prose: formatting checklists; - - - id: ra-5.b.2_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[2] - prose: formatting test procedures; - - - id: ra-5.b.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(3) - prose: measuring vulnerability impact; - - - id: ra-5.c_obj - name: objective - properties: - - - name: label - value: RA-5(c) - parts: - - - id: ra-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(c)[1] - prose: analyzes vulnerability scan reports; - - - id: ra-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(c)[2] - prose: analyzes results from security control assessments; - - - id: ra-5.d_obj - name: objective - properties: - - - name: label - value: RA-5(d) - parts: - - - id: ra-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(d)[1] - prose: - """ - defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk; - """ - - - id: ra-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(d)[2] - prose: - """ - remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk; - """ - - - id: ra-5.e_obj - name: objective - properties: - - - name: label - value: RA-5(e) - parts: - - - id: ra-5.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(e)[1] - prose: - """ - defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared; - """ - - - id: ra-5.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(e)[2] - prose: - """ - shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and - """ - - - id: ra-5.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(e)[3] - prose: - """ - shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with vulnerability remediation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing\n\nautomated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing - """ - - - id: sa - class: family - title: System and Services Acquisition - controls: - - - id: sa-1 - class: SP800-53 - title: System and Services Acquisition Policy and Procedures - parameters: - - - id: sa-1_prm_1 - label: organization-defined personnel or roles - - - id: sa-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: sa-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SA-1 - - - name: sort-id - value: sa-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sa-1_smt - name: statement - prose: The organization: - parts: - - - id: sa-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sa-1_prm_1 }}: - parts: - - - id: sa-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: sa-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and - """ - - - id: sa-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sa-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System and services acquisition policy {{ sa-1_prm_2 }}; and - - - id: sa-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and services acquisition procedures {{ sa-1_prm_3 }}. - - - id: sa-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sa-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-1.a_obj - name: objective - properties: - - - name: label - value: SA-1(a) - parts: - - - id: sa-1.a.1_obj - name: objective - properties: - - - name: label - value: SA-1(a)(1) - parts: - - - id: sa-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(1)[1] - prose: - """ - develops and documents a system and services acquisition policy that - addresses: - """ - parts: - - - id: sa-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][a] - prose: purpose; - - - id: sa-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][b] - prose: scope; - - - id: sa-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][c] - prose: roles; - - - id: sa-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][d] - prose: responsibilities; - - - id: sa-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][e] - prose: management commitment; - - - id: sa-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sa-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][g] - prose: compliance; - - - id: sa-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and services acquisition - policy is to be disseminated; - """ - - - id: sa-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-1(a)(1)[3] - prose: - """ - disseminates the system and services acquisition policy to - organization-defined personnel or roles; - """ - - - id: sa-1.a.2_obj - name: objective - properties: - - - name: label - value: SA-1(a)(2) - parts: - - - id: sa-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls; - """ - - - id: sa-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sa-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sa-1.b_obj - name: objective - properties: - - - name: label - value: SA-1(b) - parts: - - - id: sa-1.b.1_obj - name: objective - properties: - - - name: label - value: SA-1(b)(1) - parts: - - - id: sa-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition policy; - """ - - - id: sa-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(1)[2] - prose: - """ - reviews and updates the current system and services acquisition policy with - the organization-defined frequency; - """ - - - id: sa-1.b.2_obj - name: objective - properties: - - - name: label - value: SA-1(b)(2) - parts: - - - id: sa-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition procedures; and - """ - - - id: sa-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(2)[2] - prose: - """ - reviews and updates the current system and services acquisition procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and services acquisition policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities - - - id: sa-2 - class: SP800-53 - title: Allocation of Resources - properties: - - - name: label - value: SA-2 - - - name: sort-id - value: sa-02 - links: - - - href: #29fcfe59-33cd-494a-8756-5907ae3a8f92 - rel: reference - text: NIST Special Publication 800-65 - parts: - - - id: sa-2_smt - name: statement - prose: The organization: - parts: - - - id: sa-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and - """ - - - id: sa-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - id: sa-2_gdn - name: guidance - prose: - """ - Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service. - """ - links: - - - href: #pm-3 - rel: related - text: PM-3 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: sa-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-2(a) - prose: - """ - determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-2(b) - prose: - """ - to protect the information system or information system service as part of its - capital planning and investment control process: - """ - parts: - - - id: sa-2.b_obj.1 - name: objective - properties: - - - name: label - value: SA-2(b)[1] - prose: determines the resources required; - - - id: sa-2.b_obj.2 - name: objective - properties: - - - name: label - value: SA-2(b)[2] - prose: documents the resources required; - - - id: sa-2.b_obj.3 - name: objective - properties: - - - name: label - value: SA-2(b)[3] - prose: allocates the resources required; and - - - id: sa-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-2(c) - prose: - """ - establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the allocation of resources to information security - requirements\n\nprocedures addressing capital planning and investment control\n\norganizational programming and budgeting documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities\n\norganizational personnel responsible for determining information security - requirements for information systems/services\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information security requirements\n\norganizational processes for capital planning, programming, and budgeting\n\nautomated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting - """ - - - id: sa-3 - class: SP800-53 - title: System Development Life Cycle - parameters: - - - id: sa-3_prm_1 - label: organization-defined system development life cycle - properties: - - - name: label - value: SA-3 - - - name: sort-id - value: sa-03 - links: - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - parts: - - - id: sa-3_smt - name: statement - prose: The organization: - parts: - - - id: sa-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Manages the information system using {{ sa-3_prm_1 }} that - incorporates information security considerations; - """ - - - id: sa-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - id: sa-3_gdn - name: guidance - prose: - """ - A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-8 - rel: related - text: SA-8 - - - id: sa-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-3.a_obj - name: objective - properties: - - - name: label - value: SA-3(a) - parts: - - - id: sa-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(a)[1] - prose: - """ - defines a system development life cycle that incorporates information security - considerations to be used to manage the information system; - """ - - - id: sa-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-3(a)[2] - prose: - """ - manages the information system using the organization-defined system - development life cycle; - """ - - - id: sa-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(b) - prose: - """ - defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(c) - prose: - """ - identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-3(d) - prose: - """ - integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security into the system - development life cycle process\n\ninformation system development life cycle documentation\n\ninformation security risk management strategy/program documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security and system life cycle - development responsibilities\n\norganizational personnel with information security risk management - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining and documenting the SDLC\n\norganizational processes for identifying SDLC roles and responsibilities\n\norganizational process for integrating information security risk management into - the SDLC\n\nautomated mechanisms supporting and/or implementing the SDLC - """ - - - id: sa-4 - class: SP800-53 - title: Acquisition Process - properties: - - - name: label - value: SA-4 - - - name: sort-id - value: sa-04 - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #1737a687-52fb-4008-b900-cbfa836f7b65 - rel: reference - text: ISO/IEC 15408 - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #0a5db899-f033-467f-8631-f5a8ba971475 - rel: reference - text: NIST Special Publication 800-23 - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - - - href: #d818efd3-db31-4953-8afa-9e76afe83ce2 - rel: reference - text: NIST Special Publication 800-36 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #56d671da-6b7b-4abf-8296-84b61980390a - rel: reference - text: Federal Acquisition Regulation - - - href: #c95a9986-3cd6-4a98-931b-ccfc56cb11e5 - rel: reference - text: http://www.niap-ccevs.org - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - - - href: #bbd50dd1-54ce-4432-959d-63ea564b1bb4 - rel: reference - text: http://www.acquisition.gov/far - parts: - - - id: sa-4_smt - name: statement - prose: - """ - The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs: - """ - parts: - - - id: sa-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Security functional requirements; - - - id: sa-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Security strength requirements; - - - id: sa-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Security assurance requirements; - - - id: sa-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Security-related documentation requirements; - - - id: sa-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Requirements for protecting security-related documentation; - - - id: sa-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Description of the information system development environment and environment in - which the system is intended to operate; and - """ - - - id: sa-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: Acceptance criteria. - - - id: sa-4_fr - name: item - title: SA-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html). - - - id: sa-4_gdn - name: guidance - prose: - """ - Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: sa-4_obj - name: objective - prose: - """ - Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs: - """ - parts: - - - id: sa-4.a_obj - name: objective - properties: - - - name: label - value: SA-4(a) - prose: security functional requirements; - - - id: sa-4.b_obj - name: objective - properties: - - - name: label - value: SA-4(b) - prose: security strength requirements; - - - id: sa-4.c_obj - name: objective - properties: - - - name: label - value: SA-4(c) - prose: security assurance requirements; - - - id: sa-4.d_obj - name: objective - properties: - - - name: label - value: SA-4(d) - prose: security-related documentation requirements; - - - id: sa-4.e_obj - name: objective - properties: - - - name: label - value: SA-4(e) - prose: requirements for protecting security-related documentation; - - - id: sa-4.f_obj - name: objective - properties: - - - name: label - value: SA-4(f) - prose: description of: - parts: - - - id: sa-4.f_obj.1 - name: objective - properties: - - - name: label - value: SA-4(f)[1] - prose: the information system development environment; - - - id: sa-4.f_obj.2 - name: objective - properties: - - - name: label - value: SA-4(f)[2] - prose: the environment in which the system is intended to operate; and - - - id: sa-4.g_obj - name: objective - properties: - - - name: label - value: SA-4(g) - prose: acceptance criteria. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nacquisition contracts for the information system, system component, or information - system service\n\ninformation system design documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information system security functional, - strength, and assurance requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts - """ - - - id: sa-5 - class: SP800-53 - title: Information System Documentation - parameters: - - - id: sa-5_prm_1 - label: organization-defined actions - - - id: sa-5_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: SA-5 - - - name: sort-id - value: sa-05 - parts: - - - id: sa-5_smt - name: statement - prose: The organization: - parts: - - - id: sa-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Secure configuration, installation, and operation of the system, component, or - service; - """ - - - id: sa-5_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Effective use and maintenance of security functions/mechanisms; and - - - id: sa-5_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms; - """ - - - id: sa-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and - """ - - - id: sa-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - User responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes {{ sa-5_prm_1 }} in response; - """ - - - id: sa-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects documentation as required, in accordance with the risk management - strategy; and - """ - - - id: sa-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: Distributes documentation to {{ sa-5_prm_2 }}. - - - id: sa-5_gdn - name: guidance - prose: - """ - This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: sa-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(a) - prose: - """ - obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5.a.1_obj - name: objective - properties: - - - name: label - value: SA-5(a)(1) - parts: - - - id: sa-5.a.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[1] - prose: secure configuration of the system, system component, or service; - - - id: sa-5.a.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[2] - prose: secure installation of the system, system component, or service; - - - id: sa-5.a.1_obj.3 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[3] - prose: secure operation of the system, system component, or service; - - - id: sa-5.a.2_obj - name: objective - properties: - - - name: label - value: SA-5(a)(2) - parts: - - - id: sa-5.a.2_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[1] - prose: effective use of the security features/mechanisms; - - - id: sa-5.a.2_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[2] - prose: effective maintenance of the security features/mechanisms; - - - id: sa-5.a.3_obj - name: objective - properties: - - - name: label - value: SA-5(a)(3) - prose: - """ - known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(b) - prose: - """ - obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5.b.1_obj - name: objective - properties: - - - name: label - value: SA-5(b)(1) - parts: - - - id: sa-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[1] - prose: user-accessible security functions/mechanisms; - - - id: sa-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[2] - prose: how to effectively use those functions/mechanisms; - - - id: sa-5.b.2_obj - name: objective - properties: - - - name: label - value: SA-5(b)(2) - prose: - """ - methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; - """ - - - id: sa-5.b.3_obj - name: objective - properties: - - - name: label - value: SA-5(b)(3) - prose: - """ - user responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5.c_obj - name: objective - properties: - - - name: label - value: SA-5(c) - parts: - - - id: sa-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(c)[1] - prose: - """ - defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent; - """ - - - id: sa-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(c)[2] - prose: - """ - documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent; - """ - - - id: sa-5.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(c)[3] - prose: takes organization-defined actions in response; - - - id: sa-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(d) - prose: - """ - protects documentation as required, in accordance with the risk management - strategy; - """ - - - id: sa-5.e_obj - name: objective - properties: - - - name: label - value: SA-5(e) - parts: - - - id: sa-5.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(e)[1] - prose: defines personnel or roles to whom documentation is to be distributed; and - - - id: sa-5.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(e)[2] - prose: distributes documentation to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing information system documentation\n\ninformation system documentation including administrator and user guides\n\nrecords documenting attempts to obtain unavailable or nonexistent information - system documentation\n\nlist of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation\n\nrisk management strategy documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\nsystem administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation - """ - - - id: sa-9 - class: SP800-53 - title: External Information System Services - parameters: - - - id: sa-9_prm_1 - label: organization-defined security controls - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - id: sa-9_prm_2 - label: organization-defined processes, methods, and techniques - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9 - - - name: sort-id - value: sa-09 - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: sa-9_smt - name: statement - prose: The organization: - parts: - - - id: sa-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires that providers of external information system services comply with - organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance; - """ - - - id: sa-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and - """ - - - id: sa-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs {{ sa-9_prm_2 }} to monitor security control compliance by - external service providers on an ongoing basis. - """ - - - id: sa-9_fr - name: item - title: SA-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-9_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide [https://www.FedRAMP.gov/documents](https://www.FedRAMP.gov/documents) - - """ - - - id: sa-9_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance - - - id: sa-9_gdn - name: guidance - prose: - """ - External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance. - """ - links: - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ir-7 - rel: related - text: IR-7 - - - href: #ps-7 - rel: related - text: PS-7 - - - id: sa-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.a_obj - name: objective - properties: - - - name: label - value: SA-9(a) - parts: - - - id: sa-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[1] - prose: - """ - defines security controls to be employed by providers of external information - system services; - """ - - - id: sa-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[2] - prose: - """ - requires that providers of external information system services comply with - organizational information security requirements; - """ - - - id: sa-9.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[3] - prose: - """ - requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: sa-9.b_obj - name: objective - properties: - - - name: label - value: SA-9(b) - parts: - - - id: sa-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(b)[1] - prose: - """ - defines and documents government oversight with regard to external information - system services; - """ - - - id: sa-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(b)[2] - prose: - """ - defines and documents user roles and responsibilities with regard to external - information system services; - """ - - - id: sa-9.c_obj - name: objective - properties: - - - name: label - value: SA-9(c) - parts: - - - id: sa-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(c)[1] - prose: - """ - defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and - """ - - - id: sa-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(c)[2] - prose: - """ - employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nprocedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services\n\nacquisition contracts, service-level agreements\n\norganizational security requirements and security specifications for external - provider services\n\nsecurity control assessment evidence from external providers of information system - services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\nexternal providers of information system services\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis\n\nautomated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis - """ - - - id: sc - class: family - title: System and Communications Protection - controls: - - - id: sc-1 - class: SP800-53 - title: System and Communications Protection Policy and Procedures - parameters: - - - id: sc-1_prm_1 - label: organization-defined personnel or roles - - - id: sc-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: sc-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-1 - - - name: sort-id - value: sc-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sc-1_smt - name: statement - prose: The organization: - parts: - - - id: sc-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sc-1_prm_1 }}: - parts: - - - id: sc-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: sc-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and - """ - - - id: sc-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sc-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and communications protection policy {{ sc-1_prm_2 }}; - and - """ - - - id: sc-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and communications protection procedures {{ sc-1_prm_3 }}. - - - id: sc-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sc-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-1.a_obj - name: objective - properties: - - - name: label - value: SC-1(a) - parts: - - - id: sc-1.a.1_obj - name: objective - properties: - - - name: label - value: SC-1(a)(1) - parts: - - - id: sc-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(1)[1] - prose: - """ - develops and documents a system and communications protection policy that - addresses: - """ - parts: - - - id: sc-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][a] - prose: purpose; - - - id: sc-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][b] - prose: scope; - - - id: sc-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][c] - prose: roles; - - - id: sc-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][d] - prose: responsibilities; - - - id: sc-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][e] - prose: management commitment; - - - id: sc-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sc-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][g] - prose: compliance; - - - id: sc-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and communications protection - policy is to be disseminated; - """ - - - id: sc-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SC-1(a)(1)[3] - prose: - """ - disseminates the system and communications protection policy to - organization-defined personnel or roles; - """ - - - id: sc-1.a.2_obj - name: objective - properties: - - - name: label - value: SC-1(a)(2) - parts: - - - id: sc-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls; - """ - - - id: sc-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sc-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sc-1.b_obj - name: objective - properties: - - - name: label - value: SC-1(b) - parts: - - - id: sc-1.b.1_obj - name: objective - properties: - - - name: label - value: SC-1(b)(1) - parts: - - - id: sc-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection policy; - """ - - - id: sc-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(1)[2] - prose: - """ - reviews and updates the current system and communications protection policy - with the organization-defined frequency; - """ - - - id: sc-1.b.2_obj - name: objective - properties: - - - name: label - value: SC-1(b)(2) - parts: - - - id: sc-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection procedures; and - """ - - - id: sc-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(2)[2] - prose: - """ - reviews and updates the current system and communications protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and communications protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: sc-5 - class: SP800-53 - title: Denial of Service Protection - parameters: - - - id: sc-5_prm_1 - label: - """ - organization-defined types of denial of service attacks or references to sources - for such information - """ - - - id: sc-5_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: SC-5 - - - name: sort-id - value: sc-05 - parts: - - - id: sc-5_smt - name: statement - prose: - """ - The information system protects against or limits the effects of the following types - of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}. - """ - - - id: sc-5_gdn - name: guidance - prose: - """ - A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks. - """ - links: - - - href: #sc-6 - rel: related - text: SC-6 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: sc-5_obj - name: objective - prose: Determine if: - parts: - - - id: sc-5_obj.1 - name: objective - properties: - - - name: label - value: SC-5[1] - prose: - """ - the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects; - """ - - - id: sc-5_obj.2 - name: objective - properties: - - - name: label - value: SC-5[2] - prose: - """ - the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and - """ - - - id: sc-5_obj.3 - name: objective - properties: - - - name: label - value: SC-5[3] - prose: - """ - the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing denial of service protection\n\ninformation system design documentation\n\nsecurity plan\n\nlist of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks\n\nlist of security safeguards protecting against or limiting the effects of denial - of service attacks\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms protecting against or limiting the effects of denial of - service attacks - """ - - - id: sc-7 - class: SP800-53 - title: Boundary Protection - parameters: - - - id: sc-7_prm_1 - properties: - - - name: label - value: SC-7 - - - name: sort-id - value: sc-07 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #756a8e86-57d5-4701-8382-f7a40439665a - rel: reference - text: NIST Special Publication 800-41 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - parts: - - - id: sc-7_smt - name: statement - prose: The information system: - parts: - - - id: sc-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system; - """ - - - id: sc-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks; - and - """ - - - id: sc-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - id: sc-7_gdn - name: guidance - prose: - """ - Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions. - """ - links: - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: sc-7_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-7.a_obj - name: objective - properties: - - - name: label - value: SC-7(a) - parts: - - - id: sc-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[1] - prose: monitors communications at the external boundary of the information system; - - - id: sc-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[2] - prose: monitors communications at key internal boundaries within the system; - - - id: sc-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[3] - prose: controls communications at the external boundary of the information system; - - - id: sc-7.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[4] - prose: controls communications at key internal boundaries within the system; - - - id: sc-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(b) - prose: - """ - implements subnetworks for publicly accessible system components that are - either: - """ - parts: - - - id: sc-7.b_obj.1 - name: objective - properties: - - - name: label - value: SC-7(b)[1] - prose: physically separated from internal organizational networks; and/or - - - id: sc-7.b_obj.2 - name: objective - properties: - - - name: label - value: SC-7(b)[2] - prose: logically separated from internal organizational networks; and - - - id: sc-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(c) - prose: - """ - connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\nlist of key internal boundaries of the information system\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system configuration settings and associated documentation\n\nenterprise security architecture documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing boundary protection capability - - - id: sc-12 - class: SP800-53 - title: Cryptographic Key Establishment and Management - parameters: - - - id: sc-12_prm_1 - label: - """ - organization-defined requirements for key generation, distribution, storage, - access, and destruction - """ - properties: - - - name: label - value: SC-12 - - - name: sort-id - value: sc-12 - links: - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - parts: - - - id: sc-12_smt - name: statement - prose: - """ - The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with {{ sc-12_prm_1 }}. - """ - parts: - - - id: sc-12_fr - name: item - title: SC-12 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Federally approved and validated cryptography. - - - id: sc-12_gdn - name: guidance - prose: - """ - Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: sc-12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-12_obj.1 - name: objective - properties: - - - name: label - value: SC-12[1] - prose: defines requirements for cryptographic key: - parts: - - - id: sc-12_obj.1.a - name: objective - properties: - - - name: label - value: SC-12[1][a] - prose: generation; - - - id: sc-12_obj.1.b - name: objective - properties: - - - name: label - value: SC-12[1][b] - prose: distribution; - - - id: sc-12_obj.1.c - name: objective - properties: - - - name: label - value: SC-12[1][c] - prose: storage; - - - id: sc-12_obj.1.d - name: objective - properties: - - - name: label - value: SC-12[1][d] - prose: access; - - - id: sc-12_obj.1.e - name: objective - properties: - - - name: label - value: SC-12[1][e] - prose: destruction; and - - - id: sc-12_obj.2 - name: objective - properties: - - - name: label - value: SC-12[2] - prose: - """ - establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ncryptographic mechanisms\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment - and/or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic key - establishment and management - """ - - - id: sc-13 - class: SP800-53 - title: Cryptographic Protection - parameters: - - - id: sc-13_prm_1 - label: - """ - organization-defined cryptographic uses and type of cryptography required for - each use - """ - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-13 - - - name: sort-id - value: sc-13 - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #6a1041fc-054e-4230-946b-2e6f4f3731bb - rel: reference - text: http://csrc.nist.gov/cryptval - - - href: #9b97ed27-3dd6-4f9a-ade5-1b43e9669794 - rel: reference - text: http://www.cnss.gov - parts: - - - id: sc-13_smt - name: statement - prose: - """ - The information system implements {{ sc-13_prm_1 }} in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. - """ - - - id: sc-13_gdn - name: guidance - prose: - """ - Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography). - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-10 - rel: related - text: AU-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-7 - rel: related - text: IA-7 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-28 - rel: related - text: SC-28 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sc-13_obj - name: objective - prose: Determine if: - parts: - - - id: sc-13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-13[1] - prose: the organization defines cryptographic uses; and - - - id: sc-13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-13[2] - prose: the organization defines the type of cryptography required for each use; and - - - id: sc-13_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-13[3] - prose: - """ - the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic module validation certificates\n\nlist of FIPS validated cryptographic modules\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic protection - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic protection - - - id: sc-15 - class: SP800-53 - title: Collaborative Computing Devices - parameters: - - - id: sc-15_prm_1 - label: organization-defined exceptions where remote activation is to be allowed - constraints: - - - detail: no exceptions - properties: - - - name: label - value: SC-15 - - - name: sort-id - value: sc-15 - parts: - - - id: sc-15_smt - name: statement - prose: The information system: - parts: - - - id: sc-15_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Prohibits remote activation of collaborative computing devices with the following - exceptions: {{ sc-15_prm_1 }}; and - """ - - - id: sc-15_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides an explicit indication of use to users physically present at the - devices. - """ - - - id: sc-15_fr - name: item - title: SC-15 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-15_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use. - - - id: sc-15_gdn - name: guidance - prose: - """ - Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated. - """ - links: - - - href: #ac-21 - rel: related - text: AC-21 - - - id: sc-15_obj - name: objective - prose: Determine if: - parts: - - - id: sc-15.a_obj - name: objective - properties: - - - name: label - value: SC-15(a) - parts: - - - id: sc-15.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-15(a)[1] - prose: - """ - the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed; - """ - - - id: sc-15.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-15(a)[2] - prose: - """ - the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and - """ - - - id: sc-15.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-15(b) - prose: - """ - the information system provides an explicit indication of use to users physically - present at the devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative - computing devices - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices\n\nautomated mechanisms providing an indication of use of collaborative computing - devices - """ - - - id: sc-20 - class: SP800-53 - title: Secure Name / Address Resolution Service (authoritative Source) - properties: - - - name: label - value: SC-20 - - - name: sort-id - value: sc-20 - links: - - - href: #28115a56-da6b-4d44-b1df-51dd7f048a3e - rel: reference - text: OMB Memorandum 08-23 - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-20_smt - name: statement - prose: The information system: - parts: - - - id: sc-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and - """ - - - id: sc-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace. - """ - - - id: sc-20_gdn - name: guidance - prose: - """ - This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data. - """ - links: - - - href: #au-10 - rel: related - text: AU-10 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-20_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-20.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-20(a) - prose: - """ - provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries; - """ - - - id: sc-20.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-20(b) - prose: - """ - provides the means to, when operating as part of a distributed, hierarchical - namespace: - """ - parts: - - - id: sc-20.b_obj.1 - name: objective - properties: - - - name: label - value: SC-20(b)[1] - prose: indicate the security status of child zones; and - - - id: sc-20.b_obj.2 - name: objective - properties: - - - name: label - value: SC-20(b)[2] - prose: - """ - enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (authoritative - source)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing secure name/address resolution - service - """ - - - id: sc-21 - class: SP800-53 - title: Secure Name / Address Resolution Service (recursive or Caching Resolver) - properties: - - - name: label - value: SC-21 - - - name: sort-id - value: sc-21 - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-21_smt - name: statement - prose: - """ - The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources. - """ - - - id: sc-21_gdn - name: guidance - prose: - """ - Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data. - """ - links: - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-21_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-21_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-21[1] - prose: - """ - requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-21[2] - prose: - """ - requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-21[3] - prose: - """ - performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and - """ - - - id: sc-21_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-21[4] - prose: - """ - performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (recursive or caching - resolver)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services - """ - - - id: sc-22 - class: SP800-53 - title: Architecture and Provisioning for Name / Address Resolution Service - properties: - - - name: label - value: SC-22 - - - name: sort-id - value: sc-22 - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-22_smt - name: statement - prose: - """ - The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation. - """ - - - id: sc-22_gdn - name: guidance - prose: - """ - Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists). - """ - links: - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: sc-22_obj - name: objective - prose: - """ - Determine if the information systems that collectively provide name/address - resolution service for an organization: - """ - parts: - - - id: sc-22_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-22[1] - prose: are fault tolerant; and - - - id: sc-22_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-22[2] - prose: implement internal/external role separation. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing architecture and provisioning for name/address resolution - service\n\naccess control policy and procedures\n\ninformation system design documentation\n\nassessment results from independent, testing organizations\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation - """ - - - id: sc-39 - class: SP800-53 - title: Process Isolation - properties: - - - name: label - value: SC-39 - - - name: sort-id - value: sc-39 - parts: - - - id: sc-39_smt - name: statement - prose: - """ - The information system maintains a separate execution domain for each executing - process. - """ - - - id: sc-39_gdn - name: guidance - prose: - """ - Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-39_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system maintains a separate execution domain for each - executing process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system design documentation\n\ninformation system architecture\n\nindependent verification and validation documentation\n\ntesting and evaluation documentation, other relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Information system developers/integrators\n\ninformation system security architect - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing separate execution domains for - each executing process - """ - - - id: si - class: family - title: System and Information Integrity - controls: - - - id: si-1 - class: SP800-53 - title: System and Information Integrity Policy and Procedures - parameters: - - - id: si-1_prm_1 - label: organization-defined personnel or roles - - - id: si-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: si-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-1 - - - name: sort-id - value: si-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: si-1_smt - name: statement - prose: The organization: - parts: - - - id: si-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ si-1_prm_1 }}: - parts: - - - id: si-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: si-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and - """ - - - id: si-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: si-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and information integrity policy {{ si-1_prm_2 }}; - and - """ - - - id: si-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and information integrity procedures {{ si-1_prm_3 }}. - - - id: si-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: si-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-1.a_obj - name: objective - properties: - - - name: label - value: SI-1(a) - parts: - - - id: si-1.a.1_obj - name: objective - properties: - - - name: label - value: SI-1(a)(1) - parts: - - - id: si-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(1)[1] - prose: - """ - develops and documents a system and information integrity policy that - addresses: - """ - parts: - - - id: si-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][a] - prose: purpose; - - - id: si-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][b] - prose: scope; - - - id: si-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][c] - prose: roles; - - - id: si-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][d] - prose: responsibilities; - - - id: si-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][e] - prose: management commitment; - - - id: si-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: si-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][g] - prose: compliance; - - - id: si-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and information integrity - policy is to be disseminated; - """ - - - id: si-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-1(a)(1)[3] - prose: - """ - disseminates the system and information integrity policy to - organization-defined personnel or roles; - """ - - - id: si-1.a.2_obj - name: objective - properties: - - - name: label - value: SI-1(a)(2) - parts: - - - id: si-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls; - """ - - - id: si-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: si-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: si-1.b_obj - name: objective - properties: - - - name: label - value: SI-1(b) - parts: - - - id: si-1.b.1_obj - name: objective - properties: - - - name: label - value: SI-1(b)(1) - parts: - - - id: si-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity policy; - """ - - - id: si-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(1)[2] - prose: - """ - reviews and updates the current system and information integrity policy with - the organization-defined frequency; - """ - - - id: si-1.b.2_obj - name: objective - properties: - - - name: label - value: SI-1(b)(2) - parts: - - - id: si-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity procedures; and - """ - - - id: si-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(2)[2] - prose: - """ - reviews and updates the current system and information integrity procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and information integrity - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: si-2 - class: SP800-53 - title: Flaw Remediation - parameters: - - - id: si-2_prm_1 - label: organization-defined time period - constraints: - - - detail: within 30 days of release of updates - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-2 - - - name: sort-id - value: si-02 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: si-2_smt - name: statement - prose: The organization: - parts: - - - id: si-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Identifies, reports, and corrects information system flaws; - - - id: si-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation; - """ - - - id: si-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and - - - id: si-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Incorporates flaw remediation into the organizational configuration management - process. - """ - - - id: si-2_gdn - name: guidance - prose: - """ - Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-11 - rel: related - text: SI-11 - - - id: si-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.a_obj - name: objective - properties: - - - name: label - value: SI-2(a) - parts: - - - id: si-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[1] - prose: identifies information system flaws; - - - id: si-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[2] - prose: reports information system flaws; - - - id: si-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[3] - prose: corrects information system flaws; - - - id: si-2.b_obj - name: objective - properties: - - - name: label - value: SI-2(b) - parts: - - - id: si-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(b)[1] - prose: - """ - tests software updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(b)[2] - prose: - """ - tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.c_obj - name: objective - properties: - - - name: label - value: SI-2(c) - parts: - - - id: si-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(c)[1] - prose: - """ - defines the time period within which to install security-relevant software - updates after the release of the updates; - """ - - - id: si-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(c)[2] - prose: - """ - defines the time period within which to install security-relevant firmware - updates after the release of the updates; - """ - - - id: si-2.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(c)[3] - prose: - """ - installs software updates within the organization-defined time period of the - release of the updates; - """ - - - id: si-2.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(c)[4] - prose: - """ - installs firmware updates within the organization-defined time period of the - release of the updates; and - """ - - - id: si-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(d) - prose: - """ - incorporates flaw remediation into the organizational configuration management - process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing flaw remediation\n\nprocedures addressing configuration management\n\nlist of flaws and vulnerabilities potentially affecting the information system\n\nlist of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)\n\ntest results from the installation of software and firmware updates to correct - information system flaws\n\ninstallation/change control records for security-relevant software and firmware - updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for identifying, reporting, and correcting information - system flaws\n\norganizational process for installing software and firmware updates\n\nautomated mechanisms supporting and/or implementing reporting, and correcting - information system flaws\n\nautomated mechanisms supporting and/or implementing testing software and firmware - updates - """ - - - id: si-3 - class: SP800-53 - title: Malicious Code Protection - parameters: - - - id: si-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: si-3_prm_2 - constraints: - - - detail: to include endpoints - - - id: si-3_prm_3 - constraints: - - - detail: to include alerting administrator or defined security personnel - - - id: si-3_prm_4 - depends-on: si-3_prm_3 - label: organization-defined action - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-3 - - - name: sort-id - value: si-03 - links: - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - parts: - - - id: si-3_smt - name: statement - prose: The organization: - parts: - - - id: si-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code; - """ - - - id: si-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures; - """ - - - id: si-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Configures malicious code protection mechanisms to: - parts: - - - id: si-3_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in - accordance with organizational security policy; and - """ - - - id: si-3_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - - {{ si-3_prm_3 }} in response to malicious code detection; - and - """ - - - id: si-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system. - """ - - - id: si-3_gdn - name: guidance - prose: - """ - Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-13 - rel: related - text: SA-13 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-44 - rel: related - text: SC-44 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(a) - prose: - """ - employs malicious code protection mechanisms to detect and eradicate malicious - code at information system: - """ - parts: - - - id: si-3.a_obj.1 - name: objective - properties: - - - name: label - value: SI-3(a)[1] - prose: entry points; - - - id: si-3.a_obj.2 - name: objective - properties: - - - name: label - value: SI-3(a)[2] - prose: exit points; - - - id: si-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(b) - prose: - """ - updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1); - """ - - - id: si-3.c_obj - name: objective - properties: - - - name: label - value: SI-3(c) - parts: - - - id: si-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-3(c)[1] - prose: - """ - defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system; - """ - - - id: si-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-3(c)[2] - prose: - """ - defines action to be initiated by malicious protection mechanisms in response - to malicious code detection; - """ - - - id: si-3.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(c)[3] - parts: - - - id: si-3.c.1_obj.3 - name: objective - properties: - - - name: label - value: SI-3(c)[3](1) - prose: configures malicious code protection mechanisms to: - parts: - - - id: si-3.c.1_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[a] - prose: - """ - perform periodic scans of the information system with the - organization-defined frequency; - """ - - - id: si-3.c.1_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[b] - prose: - """ - perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy; - """ - - - id: si-3.c.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(c)[3](2) - prose: - """ - configures malicious code protection mechanisms to do one or more of the - following: - """ - parts: - - - id: si-3.c.2_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[a] - prose: block malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[b] - prose: quarantine malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.c - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[c] - prose: - """ - send alert to administrator in response to malicious code detection; - and/or - """ - - - id: si-3.c.2_obj.3.d - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[d] - prose: - """ - initiate organization-defined action in response to malicious code - detection; - """ - - - id: si-3.d_obj - name: objective - properties: - - - name: label - value: SI-3(d) - parts: - - - id: si-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(d)[1] - prose: - """ - addresses the receipt of false positives during malicious code detection and - eradication; and - """ - - - id: si-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(d)[2] - prose: - """ - addresses the resulting potential impact on the availability of the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nconfiguration management policy and procedures\n\nprocedures addressing malicious code protection\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nscan results from malicious code protection mechanisms\n\nrecord of actions initiated by malicious code protection mechanisms in response to - malicious code detection\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for employing, updating, and configuring malicious code - protection mechanisms\n\norganizational process for addressing false positives and resulting potential - impact\n\nautomated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms\n\nautomated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions - """ - - - id: si-4 - class: SP800-53 - title: Information System Monitoring - parameters: - - - id: si-4_prm_1 - label: organization-defined monitoring objectives - - - id: si-4_prm_2 - label: organization-defined techniques and methods - - - id: si-4_prm_3 - label: organization-defined information system monitoring information - - - id: si-4_prm_4 - label: organization-defined personnel or roles - - - id: si-4_prm_5 - - - id: si-4_prm_6 - depends-on: si-4_prm_5 - label: organization-defined frequency - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4 - - - name: sort-id - value: si-04 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: si-4_smt - name: statement - prose: The organization: - parts: - - - id: si-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Monitors the information system to detect: - parts: - - - id: si-4_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and - - - id: si-4_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Unauthorized local, network, and remote connections; - - - id: si-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Identifies unauthorized use of the information system through {{ si-4_prm_2 }}; - - - id: si-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Deploys monitoring devices: - parts: - - - id: si-4_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Strategically within the information system to collect organization-determined - essential information; and - """ - - - id: si-4_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - At ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion; - """ - - - id: si-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and - """ - - - id: si-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }} - {{ si-4_prm_5 }}. - """ - - - id: si-4_fr - name: item - title: SI-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: si-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: See US-CERT Incident Response Reporting Guidelines. - - - id: si-4_gdn - name: guidance - prose: - """ - Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-35 - rel: related - text: SC-35 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.a_obj - name: objective - properties: - - - name: label - value: SI-4(a) - parts: - - - id: si-4.a.1_obj - name: objective - properties: - - - name: label - value: SI-4(a)(1) - parts: - - - id: si-4.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(a)(1)[1] - prose: - """ - defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system; - """ - - - id: si-4.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(a)(1)[2] - prose: - """ - monitors the information system to detect, in accordance with - organization-defined monitoring objectives,: - """ - parts: - - - id: si-4.a.1_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][a] - prose: attacks; - - - id: si-4.a.1_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][b] - prose: indicators of potential attacks; - - - id: si-4.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(a)(2) - prose: monitors the information system to detect unauthorized: - parts: - - - id: si-4.a.2_obj.1 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[1] - prose: local connections; - - - id: si-4.a.2_obj.2 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[2] - prose: network connections; - - - id: si-4.a.2_obj.3 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[3] - prose: remote connections; - - - id: si-4.b_obj - name: objective - properties: - - - name: label - value: SI-4(b) - parts: - - - id: si-4.b.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(b)(1) - prose: - """ - defines techniques and methods to identify unauthorized use of the information - system; - """ - - - id: si-4.b.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(b)(2) - prose: - """ - identifies unauthorized use of the information system through - organization-defined techniques and methods; - """ - - - id: si-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(c) - prose: deploys monitoring devices: - parts: - - - id: si-4.c_obj.1 - name: objective - properties: - - - name: label - value: SI-4(c)[1] - prose: - """ - strategically within the information system to collect organization-determined - essential information; - """ - - - id: si-4.c_obj.2 - name: objective - properties: - - - name: label - value: SI-4(c)[2] - prose: - """ - at ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(d) - prose: - """ - protects information obtained from intrusion-monitoring tools from - unauthorized: - """ - parts: - - - id: si-4.d_obj.1 - name: objective - properties: - - - name: label - value: SI-4(d)[1] - prose: access; - - - id: si-4.d_obj.2 - name: objective - properties: - - - name: label - value: SI-4(d)[2] - prose: modification; - - - id: si-4.d_obj.3 - name: objective - properties: - - - name: label - value: SI-4(d)[3] - prose: deletion; - - - id: si-4.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(e) - prose: - """ - heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-4(f) - prose: - """ - obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; - """ - - - id: si-4.g_obj - name: objective - properties: - - - name: label - value: SI-4(g) - parts: - - - id: si-4.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[1] - prose: - """ - defines personnel or roles to whom information system monitoring information is - to be provided; - """ - - - id: si-4.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[2] - prose: - """ - defines information system monitoring information to be provided to - organization-defined personnel or roles; - """ - - - id: si-4.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[3] - prose: - """ - defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles; - """ - - - id: si-4.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(g)[4] - prose: - """ - provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following: - """ - parts: - - - id: si-4.g_obj.4.a - name: objective - properties: - - - name: label - value: SI-4(g)[4][a] - prose: as needed; and/or - - - id: si-4.g_obj.4.b - name: objective - properties: - - - name: label - value: SI-4(g)[4][b] - prose: with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Continuous monitoring strategy\n\nsystem and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\nfacility diagram/layout\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\nlocations within information system where monitoring devices are deployed\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility monitoring the information system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing information system monitoring - capability - """ - - - id: si-5 - class: SP800-53 - title: Security Alerts, Advisories, and Directives - parameters: - - - id: si-5_prm_1 - label: organization-defined external organizations - constraints: - - - detail: to include US-CERT - - - id: si-5_prm_2 - constraints: - - - detail: to include system security personnel and administrators with configuration/patch-management responsibilities - - - id: si-5_prm_3 - depends-on: si-5_prm_2 - label: organization-defined personnel or roles - - - id: si-5_prm_4 - depends-on: si-5_prm_2 - label: organization-defined elements within the organization - - - id: si-5_prm_5 - depends-on: si-5_prm_2 - label: organization-defined external organizations - properties: - - - name: label - value: SI-5 - - - name: sort-id - value: si-05 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - parts: - - - id: si-5_smt - name: statement - prose: The organization: - parts: - - - id: si-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receives information system security alerts, advisories, and directives from - {{ si-5_prm_1 }} on an ongoing basis; - """ - - - id: si-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and - - - id: si-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance. - """ - - - id: si-5_gdn - name: guidance - prose: - """ - The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations. - """ - links: - - - href: #si-2 - rel: related - text: SI-2 - - - id: si-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-5.a_obj - name: objective - properties: - - - name: label - value: SI-5(a) - parts: - - - id: si-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(a)[1] - prose: - """ - defines external organizations from whom information system security alerts, - advisories and directives are to be received; - """ - - - id: si-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(a)[2] - prose: - """ - receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis; - """ - - - id: si-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(b) - prose: - """ - generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5.c_obj - name: objective - properties: - - - name: label - value: SI-5(c) - parts: - - - id: si-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[1] - prose: - """ - defines personnel or roles to whom security alerts, advisories, and directives - are to be provided; - """ - - - id: si-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[2] - prose: - """ - defines elements within the organization to whom security alerts, advisories, - and directives are to be provided; - """ - - - id: si-5.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[3] - prose: - """ - defines external organizations to whom security alerts, advisories, and - directives are to be provided; - """ - - - id: si-5.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(c)[4] - prose: - """ - disseminates security alerts, advisories, and directives to one or more of the - following: - """ - parts: - - - id: si-5.c_obj.4.a - name: objective - properties: - - - name: label - value: SI-5(c)[4][a] - prose: organization-defined personnel or roles; - - - id: si-5.c_obj.4.b - name: objective - properties: - - - name: label - value: SI-5(c)[4][b] - prose: organization-defined elements within the organization; and/or - - - id: si-5.c_obj.4.c - name: objective - properties: - - - name: label - value: SI-5(c)[4][c] - prose: organization-defined external organizations; and - - - id: si-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(d) - parts: - - - id: si-5.d_obj.1 - name: objective - properties: - - - name: label - value: SI-5(d)[1] - prose: - """ - implements security directives in accordance with established time frames; - or - """ - - - id: si-5.d_obj.2 - name: objective - properties: - - - name: label - value: SI-5(d)[2] - prose: notifies the issuing organization of the degree of noncompliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing security alerts, advisories, and directives\n\nrecords of security alerts and advisories\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the - information system\n\norganizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing security directives - """ - - - id: si-12 - class: SP800-53 - title: Information Handling and Retention - properties: - - - name: label - value: SI-12 - - - name: sort-id - value: si-12 - parts: - - - id: si-12_smt - name: statement - prose: - """ - The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements. - """ - - - id: si-12_gdn - name: guidance - prose: - """ - Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention. - """ - links: - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - id: si-12_obj - name: objective - prose: - """ - Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements: - """ - parts: - - - id: si-12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-12[1] - prose: handles information within the information system; - - - id: si-12_obj.2 - name: objective - properties: - - - name: label - value: SI-12[2] - prose: handles output from the information system; - - - id: si-12_obj.3 - name: objective - properties: - - - name: label - value: SI-12[3] - prose: retains information within the information system; and - - - id: si-12_obj.4 - name: objective - properties: - - - name: label - value: SI-12[4] - prose: retains output from the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention\n\nmedia protection policy and procedures\n\nprocedures addressing information system output handling and retention\n\ninformation retention records, other relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for information handling and - retention\n\norganizational personnel with information security responsibilities/network - administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information handling and retention\n\nautomated mechanisms supporting and/or implementing information handling and - retention - """ - - - id: si-16 - class: SP800-53 - title: Memory Protection - parameters: - - - id: si-16_prm_1 - label: organization-defined security safeguards - properties: - - - name: label - value: SI-16 - - - name: sort-id - value: si-16 - parts: - - - id: si-16_smt - name: statement - prose: - """ - The information system implements {{ si-16_prm_1 }} to protect its - memory from unauthorized code execution. - """ - - - id: si-16_gdn - name: guidance - prose: - """ - Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism. - """ - links: - - - href: #ac-25 - rel: related - text: AC-25 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: si-16_obj - name: objective - prose: Determine if: - parts: - - - id: si-16_obj.1 - name: objective - properties: - - - name: label - value: SI-16[1] - prose: - """ - the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and - """ - - - id: si-16_obj.2 - name: objective - properties: - - - name: label - value: SI-16[2] - prose: - """ - the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing memory protection for the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of security safeguards protecting information system memory from unauthorized - code execution\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for memory protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution - """ - back-matter: - resources: - - - uuid: 0c97e60b-325a-4efa-ba2b-90f20ccd5abc - title: 5 C.F.R. 731.106 - citation: - text: - """ - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - """ - rlinks: - - - href: http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html - - - uuid: bb61234b-46c3-4211-8c2b-9869222a720d - title: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - citation: - text: C.F.R. 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value: fedramp-acronyms - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf - - - uuid: a2381e87-3d04-4108-a30b-b4d2f36d001f - desc: FedRAMP Logo - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-logo - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/img/logo-main-fedramp.png - - - uuid: ad005eae-cc63-4e64-9109-3905a9a825e4 - title: NIST Special Publication (SP) 800-53 - properties: - - - name: version - ns: https://fedramp.gov/ns/oscal - value: Revision 4 - - - name: keep - value: always - rlinks: - - - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - media-type: application/xml diff --git a/content/fedramp.gov/yaml/FedRAMP_LOW-baseline_profile.yaml b/content/fedramp.gov/yaml/FedRAMP_LOW-baseline_profile.yaml deleted file mode 100644 index 0dbb71278c..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_LOW-baseline_profile.yaml +++ /dev/null @@ -1,12591 +0,0 @@ -profile: - uuid: 4678df89-bdc1-4804-bdfd-0bb1fc5bba1a - metadata: - title: FedRAMP Low Baseline - published: 2020-06-01T00:00:00.000-04:00 - last-modified: 2020-06-01T10:00:00.000-04:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - imports: - - - href: #ad005eae-cc63-4e64-9109-3905a9a825e4 - include: - id-selectors: - - - control-id: ac-1 - - - control-id: ac-2 - - - control-id: ac-3 - - - control-id: ac-7 - - - control-id: ac-8 - - - control-id: ac-14 - - - control-id: ac-17 - - - control-id: ac-18 - - - control-id: ac-19 - - - control-id: ac-20 - - - control-id: ac-22 - - - control-id: at-1 - - - control-id: at-2 - - - control-id: at-3 - - - control-id: at-4 - - - control-id: au-1 - - - control-id: au-2 - - - control-id: au-3 - - - control-id: au-4 - - - control-id: au-5 - - - control-id: au-6 - - - control-id: au-8 - - - control-id: au-9 - - - control-id: au-11 - - - control-id: au-12 - - - control-id: ca-1 - - - control-id: ca-2 - - - control-id: ca-2.1 - - - control-id: ca-3 - - - control-id: ca-5 - - - control-id: ca-6 - - - control-id: ca-7 - - - control-id: ca-9 - - - control-id: cm-1 - - - control-id: cm-2 - - - control-id: cm-4 - - - control-id: cm-6 - - - control-id: cm-7 - - - control-id: cm-8 - - - control-id: cm-10 - - - control-id: cm-11 - - - control-id: cp-1 - - - control-id: cp-2 - - - control-id: cp-3 - - - control-id: cp-4 - - - control-id: cp-9 - - - control-id: cp-10 - - - control-id: ia-1 - - - control-id: ia-2 - - - control-id: ia-2.1 - - - control-id: ia-2.12 - - - control-id: ia-4 - - - control-id: ia-5 - - - control-id: ia-5.1 - - - control-id: ia-5.11 - - - control-id: ia-6 - - - control-id: ia-7 - - - control-id: ia-8 - - - control-id: ia-8.1 - - - control-id: ia-8.2 - - - control-id: ia-8.3 - - - control-id: ia-8.4 - - - control-id: ir-1 - - - control-id: ir-2 - - - control-id: ir-4 - - - control-id: ir-5 - - - control-id: ir-6 - - - control-id: ir-7 - - - control-id: ir-8 - - - control-id: ma-1 - - - control-id: ma-2 - - - control-id: ma-4 - - - control-id: ma-5 - - - control-id: mp-1 - - - control-id: mp-2 - - - control-id: mp-6 - - - control-id: mp-7 - - - control-id: pe-1 - - - control-id: pe-2 - - - control-id: pe-3 - - - control-id: pe-6 - - - control-id: pe-8 - - - control-id: pe-12 - - - control-id: pe-13 - - - control-id: pe-14 - - - control-id: pe-15 - - - control-id: pe-16 - - - control-id: pl-1 - - - control-id: pl-2 - - - control-id: pl-4 - - - control-id: ps-1 - - - control-id: ps-2 - - - control-id: ps-3 - - - control-id: ps-4 - - - control-id: ps-5 - - - control-id: ps-6 - - - control-id: ps-7 - - - control-id: ps-8 - - - control-id: ra-1 - - - control-id: ra-2 - - - control-id: ra-3 - - - control-id: ra-5 - - - control-id: sa-1 - - - control-id: sa-2 - - - control-id: sa-3 - - - control-id: sa-4 - - - control-id: sa-5 - - - control-id: sa-9 - - - control-id: sc-1 - - - control-id: sc-5 - - - control-id: sc-7 - - - control-id: sc-12 - - - control-id: sc-13 - - - control-id: sc-15 - - - control-id: sc-20 - - - control-id: sc-21 - - - control-id: sc-22 - - - control-id: sc-39 - - - control-id: si-1 - - - control-id: si-2 - - - control-id: si-3 - - - control-id: si-4 - - - control-id: si-5 - - - control-id: si-12 - - - control-id: si-16 - merge: - combine: - method: keep - as-is: true - modify: - parameter-settings: - ac-1_prm_2: - constraints: - - - detail: at least every 3 years - ac-1_prm_3: - constraints: - - - detail: at least annually - ac-2_prm_4: - constraints: - - - detail: at least annually - ac-7_prm_1: - constraints: - - - detail: not more than three (3) - ac-7_prm_2: - constraints: - - - detail: fifteen (15) minutes - ac-7_prm_4: - constraints: - - - detail: thirty (30) minutes - ac-8_prm_1: - constraints: - - - detail: see additional Requirements and Guidance - ac-8_prm_2: - constraints: - - - detail: see additional Requirements and Guidance - ac-22_prm_1: - constraints: - - - detail: at least quarterly - at-1_prm_2: - constraints: - - - detail: at least every 3 years - at-1_prm_3: - constraints: - - - detail: at least annually - at-2_prm_1: - constraints: - - - detail: at least annually - at-3_prm_1: - constraints: - - - detail: at least annually - at-4_prm_1: - constraints: - - - detail: At least one year - au-1_prm_2: - constraints: - - - detail: at least every 3 years - au-1_prm_3: - constraints: - - - detail: at least annually - au-2_prm_1: - constraints: - - - detail: Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - au-2_prm_2: - constraints: - - - detail: organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - au-5_prm_2: - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - au-6_prm_1: - constraints: - - - detail: at least weekly - au-11_prm_1: - constraints: - - - detail: at least ninety days - au-12_prm_1: - constraints: - - - detail: all information system and network components where audit capability is deployed/available - ca-1_prm_2: - constraints: - - - detail: at least every 3 years - ca-1_prm_3: - constraints: - - - detail: at least annually - ca-2_prm_1: - constraints: - - - detail: at least annually - ca-2_prm_2: - constraints: - - - detail: individuals or roles to include FedRAMP PMO - ca-3_prm_1: - constraints: - - - detail: at least annually and on input from FedRAMP - ca-5_prm_1: - constraints: - - - detail: at least monthly - ca-6_prm_1: - constraints: - - - detail: at least every three years or when a significant change occurs - ca-7_prm_4: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - ca-7_prm_5: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - cm-1_prm_2: - constraints: - - - detail: at least every 3 years - cm-1_prm_3: - constraints: - - - detail: at least annually - cm-6_prm_1: - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - cm-7_prm_1: - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - cm-8_prm_2: - constraints: - - - detail: at least monthly - cm-11_prm_3: - constraints: - - - detail: Continuously (via CM-7 (5)) - cp-1_prm_2: - constraints: - - - detail: at least every 3 years - cp-1_prm_3: - constraints: - - - detail: at least annually - cp-2_prm_3: - constraints: - - - detail: at least annually - cp-3_prm_1: - constraints: - - - detail: ten (10) days - cp-3_prm_2: - constraints: - - - detail: at least annually - cp-4_prm_1: - constraints: - - - detail: at least every three years - cp-4_prm_2: - constraints: - - - detail: classroom exercises/table top written tests - cp-9_prm_1: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_2: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_3: - constraints: - - - detail: daily incremental; weekly full - ia-1_prm_2: - constraints: - - - detail: at least every 3 years - ia-1_prm_3: - constraints: - - - detail: at least annually - ia-4_prm_2: - constraints: - - - detail: IA-4 (d) [at least two years] - ia-4_prm_3: - constraints: - - - detail: ninety days for user identifiers (See additional requirements and guidance) - ia-5.1_prm_2: - constraints: - - - detail: at least one - ia-5.1_prm_4: - constraints: - - - detail: twenty four - ir-1_prm_2: - constraints: - - - detail: at least every 3 years - ir-1_prm_3: - constraints: - - - detail: at least annually - ir-2_prm_2: - constraints: - - - detail: at least annually - ir-6_prm_1: - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - ir-8_prm_2: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ir-8_prm_3: - constraints: - - - detail: at least annually - ir-8_prm_4: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ma-1_prm_2: - constraints: - - - detail: at least every 3 years - ma-1_prm_3: - constraints: - - - detail: at least annually - mp-1_prm_2: - constraints: - - - detail: at least every 3 years - mp-1_prm_3: - constraints: - - - detail: at least annually - pe-1_prm_2: - constraints: - - - detail: at least every 3 years - pe-1_prm_3: - constraints: - - - detail: at least annually - pe-2_prm_1: - constraints: - - - detail: at least annually - pe-3_prm_2: - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - pe-3_prm_3: - constraints: - - - detail: CSP defined physical access control systems/devices - pe-3_prm_6: - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - pe-3_prm_8: - constraints: - - - detail: at least annually - pe-3_prm_9: - constraints: - - - detail: at least annually - pe-6_prm_1: - constraints: - - - detail: at least monthly - pe-8_prm_1: - constraints: - - - detail: for a minimum of one (1) year - pe-8_prm_2: - constraints: - - - detail: at least monthly - pe-14_prm_1: - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - pe-14_prm_2: - constraints: - - - detail: continuously - pe-16_prm_1: - constraints: - - - detail: all information system components - pl-1_prm_2: - constraints: - - - detail: at least every 3 years - pl-1_prm_3: - constraints: - - - detail: at least annually - pl-2_prm_2: - constraints: - - - detail: at least annually - pl-4_prm_1: - constraints: - - - detail: At least every 3 years - ps-1_prm_2: - constraints: - - - detail: at least every 3 years - ps-1_prm_3: - constraints: - - - detail: at least annually - ps-2_prm_1: - constraints: - - - detail: at least every three years - ps-3_prm_1: - constraints: - - - detail: For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - ps-4_prm_1: - constraints: - - - detail: same day - ps-5_prm_4: - constraints: - - - detail: five days of the time period following the formal transfer action (DoD 24 hours) - ps-6_prm_1: - constraints: - - - detail: at least annually - ps-6_prm_2: - constraints: - - - detail: at least annually - ps-7_prm_2: - constraints: - - - detail: organization-defined time period - same day - ra-1_prm_2: - constraints: - - - detail: at least every 3 years - ra-1_prm_3: - constraints: - - - detail: at least annually - ra-3_prm_2: - constraints: - - - detail: security assessment report - ra-3_prm_3: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ra-3_prm_5: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ra-5_prm_1: - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - ra-5_prm_2: - constraints: - - - detail: [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - sa-1_prm_2: - constraints: - - - detail: at least every 3 years - sa-1_prm_3: - constraints: - - - detail: at least annually - sa-9_prm_1: - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - sa-9_prm_2: - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - sc-1_prm_2: - constraints: - - - detail: at least every 3 years - sc-1_prm_3: - constraints: - - - detail: at least annually - sc-13_prm_1: - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - sc-15_prm_1: - constraints: - - - detail: no exceptions - si-1_prm_2: - constraints: - - - detail: at least every 3 years - si-1_prm_3: - constraints: - - - detail: at least annually - si-2_prm_1: - constraints: - - - detail: within 30 days of release of updates - si-3_prm_1: - constraints: - - - detail: at least weekly - si-3_prm_2: - constraints: - - - detail: to include endpoints - si-3_prm_3: - constraints: - - - detail: to include alerting administrator or defined security personnel - si-5_prm_1: - constraints: - - - detail: to include US-CERT - si-5_prm_2: - constraints: - - - detail: to include system security personnel and administrators with configuration/patch-management responsibilities - alterations: - - - control-id: ac-1 - additions: - - - position: starting - id-ref: ac-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ac-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ac-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ac-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ac-14 - additions: - - - position: starting - id-ref: ac-14.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-14.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ac-14.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ac-17 - additions: - - - position: starting - id-ref: ac-17 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ac-17.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - 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prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - position: starting - id-ref: au-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-2.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-2.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-3 - additions: - - - position: starting - id-ref: au-3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-4 - additions: - - - position: starting - id-ref: au-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-5 - additions: - - - position: starting - id-ref: au-5.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6 - additions: - - - position: ending - id-ref: au-6_smt - parts: - - - id: au-6_fr - name: item - title: AU-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - - - position: starting - id-ref: au-6 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-6.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-6.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-8 - additions: - - - position: starting - id-ref: au-8.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.b_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9 - additions: - - - position: starting - id-ref: au-9.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-9.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-1 - additions: - - - position: starting - id-ref: ca-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ca-2 - additions: - - - position: ending - id-ref: ca-2_smt - parts: - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-2.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-2.1 - additions: - - - position: ending - id-ref: ca-2.1_smt - parts: - - - id: ca-2.1_fr - name: item - title: CA-2 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO). - - - position: starting - id-ref: ca-2.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-3 - additions: - - - position: starting - id-ref: ca-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-3.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-5 - additions: - - - position: ending - id-ref: ca-5_smt - parts: - - - id: ca-5_fr - name: item - title: CA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Plan of Action & Milestones (POA&M) must be provided at least monthly. - - - id: ca-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-6 - additions: - - - position: ending - id-ref: ca-6_smt - parts: - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO. - - - position: starting - id-ref: ca-6.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-6.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-6.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-6.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-7 - additions: - - - position: ending - id-ref: ca-7_smt - parts: - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually. - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-7 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-7.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.b_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.b_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-7.g_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.g_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.g_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-7.g_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-9 - additions: - - - position: starting - id-ref: ca-9 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-9.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-9.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-9.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: cm-1 - additions: - - - position: starting - id-ref: cm-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-1.a.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cm-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cm-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: cm-10 - additions: - - - position: starting - id-ref: cm-10.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-10.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-10.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-11 - additions: - - - position: starting - id-ref: cm-11.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-11.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-11.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-11.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-11.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-11.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-2 - additions: - - - position: starting - id-ref: cm-2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cm-2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-4 - additions: - - - position: starting - id-ref: cm-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-6 - additions: - - - position: ending - id-ref: cm-6_smt - parts: - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available). - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - position: starting - id-ref: cm-6 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-6.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cm-6.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.c_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.c_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.c_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cm-7 - additions: - - - position: ending - id-ref: cm-7_smt - parts: - - - id: cm-7_fr - name: item - title: CM-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. - - - id: cm-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc) - Partially derived from AC-17(8). - """ - - - position: starting - id-ref: cm-7.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-7.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-7.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-8 - additions: - - - position: ending - id-ref: cm-8_smt - parts: - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - position: starting - id-ref: cm-8 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-8.a.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-1 - additions: - - - position: starting - id-ref: cp-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: cp-10 - additions: - - - position: starting - id-ref: cp-10_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-10.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - control-id: cp-2 - additions: - - - position: ending - id-ref: cp-2_smt - parts: - - - id: cp-2_fr - name: item - title: CP-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-2_fr_smt.1 - name: item - properties: - - - name: label - value: CP-2 Requirement: - prose: For JAB authorizations the contingency lists include designated FedRAMP personnel. - - - position: starting - id-ref: cp-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-2.a.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.a.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.a.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.a.4_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.a.5_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.a.6_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.a.6_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-2.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-2.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-2.g_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-3 - additions: - - - position: starting - id-ref: cp-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-3.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-3.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-4 - additions: - - - position: ending - id-ref: cp-4_smt - parts: - - - id: cp-4_fr - name: item - title: CP-4(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-4_fr_smt.a - name: item - properties: - - - name: label - value: CP-4(a) Requirement: - prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing. - - - position: starting - id-ref: cp-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-4.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-4.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-9 - additions: - - - position: ending - id-ref: cp-9_smt - parts: - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online). - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online). - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online). - - - position: starting - id-ref: cp-9 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-9.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-1 - additions: - - - position: starting - id-ref: ia-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ia-2 - additions: - - - position: starting - id-ref: ia-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.1 - additions: - - - position: starting - id-ref: ia-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.12 - additions: - - - position: ending - id-ref: ia-2.12_smt - parts: - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - - - position: starting - id-ref: ia-2.12_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.12_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-4 - additions: - - - position: ending - id-ref: ia-4_smt - parts: - - - id: ia-4_fr - name: item - title: IA-4(e) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-4_fr_smt.e - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period of inactivity for device identifiers. - - - id: ia-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx). - - - position: starting - id-ref: ia-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5 - additions: - - - position: ending - id-ref: ia-5_smt - parts: - - - id: ia-5_fr - name: item - title: IA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3). - - - position: starting - id-ref: ia-5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.e_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.f_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.g_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.g_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.h_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.i_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-5.i_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.j_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.1 - additions: - - - position: ending - id-ref: ia-5.1_smt - parts: - - - id: ia-5.1_fr - name: item - title: IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance (a) (d): - prose: If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant. - - - position: starting - id-ref: ia-5.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-5.1.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.d_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.f_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.11 - additions: - - - position: starting - id-ref: ia-5.11_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - 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properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-8.1 - additions: - - - position: starting - id-ref: ia-8.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-8.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-8.2 - additions: - - - position: starting - id-ref: ia-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-8.3 - additions: - - - position: starting - id-ref: ia-8.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-8.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-8.4 - additions: - - - position: starting - id-ref: ia-8.4_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - 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value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-3.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-4 - additions: - - - position: ending - id-ref: sa-4_smt - parts: - - - id: sa-4_fr - name: item - title: SA-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html). - - - position: starting - id-ref: sa-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-4.10 - additions: - - - position: starting - id-ref: sa-4.10_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-5 - additions: - - - position: starting - id-ref: sa-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-5.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-5.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-5.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: sa-5.c_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: sa-5.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: sa-5.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-5.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sa-9 - additions: - - - position: ending - id-ref: sa-9_smt - parts: - - - id: sa-9_fr - name: item - title: SA-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-9_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide [https://www.FedRAMP.gov/documents](https://www.FedRAMP.gov/documents) - - """ - - - id: sa-9_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance - - - position: starting - id-ref: sa-9.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-9.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-9.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-9.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sa-9.b_obj.2 - properties: - - - name: conformity - 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name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sc-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: sc-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sc-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sc-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - 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properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: sc-13_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: sc-15 - additions: - - - position: ending - id-ref: sc-15_smt - parts: - - - id: sc-15_fr - name: item - title: SC-15 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-15_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use. - - - position: starting - id-ref: sc-15.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - 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- - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - back-matter: - resources: - - - uuid: 985475ee-d4d6-4581-8fdf-d84d3d8caa48 - title: FedRAMP Applicable Laws and Regulations - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-citations - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/templates/SSP-A12-FedRAMP-Laws-and-Regulations-Template.xlsx - - - uuid: 1a23a771-d481-4594-9a1a-71d584fa4123 - title: FedRAMP Master Acronym and Glossary - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-acronyms - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf - - - uuid: a2381e87-3d04-4108-a30b-b4d2f36d001f - desc: FedRAMP Logo - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-logo - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/img/logo-main-fedramp.png - - - uuid: ad005eae-cc63-4e64-9109-3905a9a825e4 - title: NIST Special Publication (SP) 800-53 - properties: - - - name: version - ns: https://fedramp.gov/ns/oscal - value: Revision 4 - - - name: keep - value: always - rlinks: - - - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - media-type: application/xml diff --git a/content/fedramp.gov/yaml/FedRAMP_MODERATE-baseline-resolved-profile_catalog.yaml b/content/fedramp.gov/yaml/FedRAMP_MODERATE-baseline-resolved-profile_catalog.yaml deleted file mode 100644 index 7f24697171..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_MODERATE-baseline-resolved-profile_catalog.yaml +++ /dev/null @@ -1,72916 +0,0 @@ -catalog: - uuid: c9301b61-9f2b-431e-9c7f-c8ffcd110388 - metadata: - title: FedRAMP Moderate Baseline - published: 2020-06-01T00:00:00.000-04:00 - last-modified: 2020-06-01T10:00:00.000-04:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - properties: - - - name: resolution-timestamp - value: 2020-08-31T17:38:53.967424Z - links: - - - href: FedRAMP_MODERATE-baseline_profile.xml - rel: resolution-source - text: FedRAMP Moderate Baseline - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - groups: - - - id: ac - class: family - title: Access Control - controls: - - - id: ac-1 - class: SP800-53 - title: Access Control Policy and Procedures - parameters: - - - id: ac-1_prm_1 - label: organization-defined personnel or roles - - - id: ac-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ac-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-1 - - - name: sort-id - value: ac-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ac-1_smt - name: statement - prose: The organization: - parts: - - - id: ac-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ac-1_prm_1 }}: - parts: - - - id: ac-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ac-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the access control policy and - associated access controls; and - """ - - - id: ac-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ac-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Access control policy {{ ac-1_prm_2 }}; and - - - id: ac-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Access control procedures {{ ac-1_prm_3 }}. - - - id: ac-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ac-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-1.a_obj - name: objective - properties: - - - name: label - value: AC-1(a) - parts: - - - id: ac-1.a.1_obj - name: objective - properties: - - - name: label - value: AC-1(a)(1) - parts: - - - id: ac-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(1)[1] - prose: develops and documents an access control policy that addresses: - parts: - - - id: ac-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][a] - prose: purpose; - - - id: ac-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][b] - prose: scope; - - - id: ac-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][c] - prose: roles; - - - id: ac-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][d] - prose: responsibilities; - - - id: ac-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][e] - prose: management commitment; - - - id: ac-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ac-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AC-1(a)(1)[1][g] - prose: compliance; - - - id: ac-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the access control policy are to be - disseminated; - """ - - - id: ac-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-1(a)(1)[3] - prose: - """ - disseminates the access control policy to organization-defined personnel or - roles; - """ - - - id: ac-1.a.2_obj - name: objective - properties: - - - name: label - value: AC-1(a)(2) - parts: - - - id: ac-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls; - """ - - - id: ac-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ac-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ac-1.b_obj - name: objective - properties: - - - name: label - value: AC-1(b) - parts: - - - id: ac-1.b.1_obj - name: objective - properties: - - - name: label - value: AC-1(b)(1) - parts: - - - id: ac-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current access control - policy; - """ - - - id: ac-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(1)[2] - prose: - """ - reviews and updates the current access control policy with the - organization-defined frequency; - """ - - - id: ac-1.b.2_obj - name: objective - properties: - - - name: label - value: AC-1(b)(2) - parts: - - - id: ac-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current access control - procedures; and - """ - - - id: ac-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-1(b)(2)[2] - prose: - """ - reviews and updates the current access control procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ac-2 - class: SP800-53 - title: Account Management - parameters: - - - id: ac-2_prm_1 - label: organization-defined information system account types - - - id: ac-2_prm_2 - label: organization-defined personnel or roles - - - id: ac-2_prm_3 - label: organization-defined procedures or conditions - - - id: ac-2_prm_4 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2 - - - name: sort-id - value: ac-02 - parts: - - - id: ac-2_smt - name: statement - prose: The organization: - parts: - - - id: ac-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies and selects the following types of information system accounts to - support organizational missions/business functions: {{ ac-2_prm_1 }}; - """ - - - id: ac-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Assigns account managers for information system accounts; - - - id: ac-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Establishes conditions for group and role membership; - - - id: ac-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account; - """ - - - id: ac-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Requires approvals by {{ ac-2_prm_2 }} for requests to create - information system accounts; - """ - - - id: ac-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Creates, enables, modifies, disables, and removes information system accounts in - accordance with {{ ac-2_prm_3 }}; - """ - - - id: ac-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Monitors the use of information system accounts; - - - id: ac-2_smt.h - name: item - properties: - - - name: label - value: h. - prose: Notifies account managers: - parts: - - - id: ac-2_smt.h.1 - name: item - properties: - - - name: label - value: 1. - prose: When accounts are no longer required; - - - id: ac-2_smt.h.2 - name: item - properties: - - - name: label - value: 2. - prose: When users are terminated or transferred; and - - - id: ac-2_smt.h.3 - name: item - properties: - - - name: label - value: 3. - prose: When individual information system usage or need-to-know changes; - - - id: ac-2_smt.i - name: item - properties: - - - name: label - value: i. - prose: Authorizes access to the information system based on: - parts: - - - id: ac-2_smt.i.1 - name: item - properties: - - - name: label - value: 1. - prose: A valid access authorization; - - - id: ac-2_smt.i.2 - name: item - properties: - - - name: label - value: 2. - prose: Intended system usage; and - - - id: ac-2_smt.i.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2_smt.j - name: item - properties: - - - name: label - value: j. - prose: Reviews accounts for compliance with account management requirements {{ ac-2_prm_4 }}; and - - - id: ac-2_smt.k - name: item - properties: - - - name: label - value: k. - prose: - """ - Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - id: ac-2_gdn - name: guidance - prose: - """ - Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-10 - rel: related - text: AC-10 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.a_obj - name: objective - properties: - - - name: label - value: AC-2(a) - parts: - - - id: ac-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(a)[1] - prose: - """ - defines information system account types to be identified and selected to - support organizational missions/business functions; - """ - - - id: ac-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-2(a)[2] - prose: - """ - identifies and selects organization-defined information system account types to - support organizational missions/business functions; - """ - - - id: ac-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-2(b) - prose: assigns account managers for information system accounts; - - - id: ac-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(c) - prose: establishes conditions for group and role membership; - - - id: ac-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(d) - prose: specifies for each account (as required): - parts: - - - id: ac-2.d_obj.1 - name: objective - properties: - - - name: label - value: AC-2(d)[1] - prose: authorized users of the information system; - - - id: ac-2.d_obj.2 - name: objective - properties: - - - name: label - value: AC-2(d)[2] - prose: group and role membership; - - - id: ac-2.d_obj.3 - name: objective - properties: - - - name: label - value: AC-2(d)[3] - prose: access authorizations (i.e., privileges); - - - id: ac-2.d_obj.4 - name: objective - properties: - - - name: label - value: AC-2(d)[4] - prose: other attributes; - - - id: ac-2.e_obj - name: objective - properties: - - - name: label - value: AC-2(e) - parts: - - - id: ac-2.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(e)[1] - prose: - """ - defines personnel or roles required to approve requests to create information - system accounts; - """ - - - id: ac-2.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(e)[2] - prose: - """ - requires approvals by organization-defined personnel or roles for requests to - create information system accounts; - """ - - - id: ac-2.f_obj - name: objective - properties: - - - name: label - value: AC-2(f) - parts: - - - id: ac-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(f)[1] - prose: defines procedures or conditions to: - parts: - - - id: ac-2.f_obj.1.a - name: objective - properties: - - - name: label - value: AC-2(f)[1][a] - prose: create information system accounts; - - - id: ac-2.f_obj.1.b - name: objective - properties: - - - name: label - value: AC-2(f)[1][b] - prose: enable information system accounts; - - - id: ac-2.f_obj.1.c - name: objective - properties: - - - name: label - value: AC-2(f)[1][c] - prose: modify information system accounts; - - - id: ac-2.f_obj.1.d - name: objective - properties: - - - name: label - value: AC-2(f)[1][d] - prose: disable information system accounts; - - - id: ac-2.f_obj.1.e - name: objective - properties: - - - name: label - value: AC-2(f)[1][e] - prose: remove information system accounts; - - - id: ac-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(f)[2] - prose: in accordance with organization-defined procedures or conditions: - parts: - - - id: ac-2.f_obj.2.a - name: objective - properties: - - - name: label - value: AC-2(f)[2][a] - prose: creates information system accounts; - - - id: ac-2.f_obj.2.b - name: objective - properties: - - - name: label - value: AC-2(f)[2][b] - prose: enables information system accounts; - - - id: ac-2.f_obj.2.c - name: objective - properties: - - - name: label - value: AC-2(f)[2][c] - prose: modifies information system accounts; - - - id: ac-2.f_obj.2.d - name: objective - properties: - - - name: label - value: AC-2(f)[2][d] - prose: disables information system accounts; - - - id: ac-2.f_obj.2.e - name: objective - properties: - - - name: label - value: AC-2(f)[2][e] - prose: removes information system accounts; - - - id: ac-2.g_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(g) - prose: monitors the use of information system accounts; - - - id: ac-2.h_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(h) - prose: notifies account managers: - parts: - - - id: ac-2.h.1_obj - name: objective - properties: - - - name: label - value: AC-2(h)(1) - prose: when accounts are no longer required; - - - id: ac-2.h.2_obj - name: objective - properties: - - - name: label - value: AC-2(h)(2) - prose: when users are terminated or transferred; - - - id: ac-2.h.3_obj - name: objective - properties: - - - name: label - value: AC-2(h)(3) - prose: when individual information system usage or need to know changes; - - - id: ac-2.i_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(i) - prose: authorizes access to the information system based on; - parts: - - - id: ac-2.i.1_obj - name: objective - properties: - - - name: label - value: AC-2(i)(1) - prose: a valid access authorization; - - - id: ac-2.i.2_obj - name: objective - properties: - - - name: label - value: AC-2(i)(2) - prose: intended system usage; - - - id: ac-2.i.3_obj - name: objective - properties: - - - name: label - value: AC-2(i)(3) - prose: - """ - other attributes as required by the organization or associated - missions/business functions; - """ - - - id: ac-2.j_obj - name: objective - properties: - - - name: label - value: AC-2(j) - parts: - - - id: ac-2.j_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(j)[1] - prose: - """ - defines the frequency to review accounts for compliance with account management - requirements; - """ - - - id: ac-2.j_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(j)[2] - prose: - """ - reviews accounts for compliance with account management requirements with the - organization-defined frequency; and - """ - - - id: ac-2.k_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(k) - prose: - """ - establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of active system accounts along with the name of the individual associated - with each account\n\nlist of conditions for group and role membership\n\nnotifications or records of recently transferred, separated, or terminated - employees\n\nlist of recently disabled information system accounts along with the name of the - individual associated with each account\n\naccess authorization records\n\naccount management compliance reviews\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes account management on the information system\n\nautomated mechanisms for implementing account management - controls: - - - id: ac-2.1 - class: SP800-53-enhancement - title: Automated System Account Management - properties: - - - name: label - value: AC-2(1) - - - name: sort-id - value: ac-02.01 - parts: - - - id: ac-2.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to support the management of - information system accounts. - """ - - - id: ac-2.1_gdn - name: guidance - prose: - """ - The use of automated mechanisms can include, for example: using email or text - messaging to automatically notify account managers when users are terminated or - transferred; using the information system to monitor account usage; and using - telephonic notification to report atypical system account usage. - """ - - - id: ac-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to support the - management of information system accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.2 - class: SP800-53-enhancement - title: Removal of Temporary / Emergency Accounts - parameters: - - - id: ac-2.2_prm_1 - - - id: ac-2.2_prm_2 - label: organization-defined time period for each type of account - constraints: - - - detail: no more than 30 days for temporary and emergency account types - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(2) - - - name: sort-id - value: ac-02.02 - parts: - - - id: ac-2.2_smt - name: statement - prose: - """ - The information system automatically {{ ac-2.2_prm_1 }} temporary - and emergency accounts after {{ ac-2.2_prm_2 }}. - """ - - - id: ac-2.2_gdn - name: guidance - prose: - """ - This control enhancement requires the removal of both temporary and emergency - accounts automatically after a predefined period of time has elapsed, rather than - at the convenience of the systems administrator. - """ - - - id: ac-2.2_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(2)[1] - prose: - """ - the organization defines the time period after which the information system - automatically removes or disables temporary and emergency accounts; and - """ - - - id: ac-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(2)[2] - prose: - """ - the information system automatically removes or disables temporary and - emergency accounts after the organization-defined time period for each type of - account. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system-generated list of temporary accounts removed and/or - disabled\n\ninformation system-generated list of emergency accounts removed and/or - disabled\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.3 - class: SP800-53-enhancement - title: Disable Inactive Accounts - parameters: - - - id: ac-2.3_prm_1 - label: organization-defined time period - constraints: - - - detail: 90 days for user accounts - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(3) - - - name: sort-id - value: ac-02.03 - parts: - - - id: ac-2.3_smt - name: statement - prose: The information system automatically disables inactive accounts after {{ ac-2.3_prm_1 }}. - - - id: ac-2.3_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(3)[1] - prose: - """ - the organization defines the time period after which the information system - automatically disables inactive accounts; and - """ - - - id: ac-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(3)[2] - prose: - """ - the information system automatically disables inactive accounts after the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system-generated list of temporary accounts removed and/or - disabled\n\ninformation system-generated list of emergency accounts removed and/or - disabled\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.4 - class: SP800-53-enhancement - title: Automated Audit Actions - parameters: - - - id: ac-2.4_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: AC-2(4) - - - name: sort-id - value: ac-02.04 - parts: - - - id: ac-2.4_smt - name: statement - prose: - """ - The information system automatically audits account creation, modification, - enabling, disabling, and removal actions, and notifies {{ ac-2.4_prm_1 }}. - """ - - - id: ac-2.4_gdn - name: guidance - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: ac-2.4_obj - name: objective - prose: Determine if: - parts: - - - id: ac-2.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(4)[1] - prose: the information system automatically audits the following account actions: - parts: - - - id: ac-2.4_obj.1.a - name: objective - properties: - - - name: label - value: AC-2(4)[1][a] - prose: creation; - - - id: ac-2.4_obj.1.b - name: objective - properties: - - - name: label - value: AC-2(4)[1][b] - prose: modification; - - - id: ac-2.4_obj.1.c - name: objective - properties: - - - name: label - value: AC-2(4)[1][c] - prose: enabling; - - - id: ac-2.4_obj.1.d - name: objective - properties: - - - name: label - value: AC-2(4)[1][d] - prose: disabling; - - - id: ac-2.4_obj.1.e - name: objective - properties: - - - name: label - value: AC-2(4)[1][e] - prose: removal; - - - id: ac-2.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(4)[2] - prose: - """ - the organization defines personnel or roles to be notified of the following - account actions: - """ - parts: - - - id: ac-2.4_obj.2.a - name: objective - properties: - - - name: label - value: AC-2(4)[2][a] - prose: creation; - - - id: ac-2.4_obj.2.b - name: objective - properties: - - - name: label - value: AC-2(4)[2][b] - prose: modification; - - - id: ac-2.4_obj.2.c - name: objective - properties: - - - name: label - value: AC-2(4)[2][c] - prose: enabling; - - - id: ac-2.4_obj.2.d - name: objective - properties: - - - name: label - value: AC-2(4)[2][d] - prose: disabling; - - - id: ac-2.4_obj.2.e - name: objective - properties: - - - name: label - value: AC-2(4)[2][e] - prose: removal; - - - id: ac-2.4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(4)[3] - prose: - """ - the information system notifies organization-defined personnel or roles of the - following account actions: - """ - parts: - - - id: ac-2.4_obj.3.a - name: objective - properties: - - - name: label - value: AC-2(4)[3][a] - prose: creation; - - - id: ac-2.4_obj.3.b - name: objective - properties: - - - name: label - value: AC-2(4)[3][b] - prose: modification; - - - id: ac-2.4_obj.3.c - name: objective - properties: - - - name: label - value: AC-2(4)[3][c] - prose: enabling; - - - id: ac-2.4_obj.3.d - name: objective - properties: - - - name: label - value: AC-2(4)[3][d] - prose: disabling; and - - - id: ac-2.4_obj.3.e - name: objective - properties: - - - name: label - value: AC-2(4)[3][e] - prose: removal. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nnotifications/alerts of account creation, modification, enabling, disabling, - and removal actions\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.5 - class: SP800-53-enhancement - title: Inactivity Logout - parameters: - - - id: ac-2.5_prm_1 - label: - """ - organization-defined time-period of expected inactivity or description of when - to log out - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(5) - - - name: sort-id - value: ac-02.05 - parts: - - - id: ac-2.5_smt - name: statement - prose: The organization requires that users log out when {{ ac-2.5_prm_1 }}. - parts: - - - id: ac-2.5_fr - name: item - title: AC-2 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Should use a shorter timeframe than AC-12. - - - id: ac-2.5_gdn - name: guidance - links: - - - href: #sc-23 - rel: related - text: SC-23 - - - id: ac-2.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(5)[1] - prose: - """ - defines either the time period of expected inactivity that requires users to - log out or the description of when users are required to log out; and - """ - - - id: ac-2.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(5)[2] - prose: - """ - requires that users log out when the organization-defined time period of - inactivity is reached or in accordance with organization-defined description of - when to log out. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity violation reports\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nusers that must comply with inactivity logout policy - - - id: ac-2.7 - class: SP800-53-enhancement - title: Role-based Schemes - parameters: - - - id: ac-2.7_prm_1 - label: organization-defined actions - properties: - - - name: label - value: AC-2(7) - - - name: sort-id - value: ac-02.07 - parts: - - - id: ac-2.7_smt - name: statement - prose: The organization: - parts: - - - id: ac-2.7_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles; - """ - - - id: ac-2.7_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Monitors privileged role assignments; and - - - id: ac-2.7_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Takes {{ ac-2.7_prm_1 }} when privileged role assignments are no - longer appropriate. - """ - - - id: ac-2.7_gdn - name: guidance - prose: - """ - Privileged roles are organization-defined roles assigned to individuals that allow - those individuals to perform certain security-relevant functions that ordinary - users are not authorized to perform. These privileged roles include, for example, - key management, account management, network and system administration, database - administration, and web administration. - """ - - - id: ac-2.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(7)(a) - prose: - """ - establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles; - """ - links: - - - href: #ac-2.7_smt.a - rel: corresp - text: AC-2(7)(a) - - - id: ac-2.7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(7)(b) - prose: monitors privileged role assignments; - links: - - - href: #ac-2.7_smt.b - rel: corresp - text: AC-2(7)(b) - - - id: ac-2.7.c_obj - name: objective - properties: - - - name: label - value: AC-2(7)(c) - parts: - - - id: ac-2.7.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(7)(c)[1] - prose: - """ - defines actions to be taken when privileged role assignments are no longer - appropriate; and - """ - - - id: ac-2.7.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(7)(c)[2] - prose: - """ - takes organization-defined actions when privileged role assignments are no - longer appropriate. - """ - links: - - - href: #ac-2.7_smt.c - rel: corresp - text: AC-2(7)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system-generated list of privileged user accounts and associated - role\n\nrecords of actions taken when privileged role assignments are no longer - appropriate\n\ninformation system audit records\n\naudit tracking and monitoring reports\n\ninformation system monitoring records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions\n\nautomated mechanisms monitoring privileged role assignments - - - id: ac-2.9 - class: SP800-53-enhancement - title: Restrictions On Use of Shared / Group Accounts - parameters: - - - id: ac-2.9_prm_1 - label: organization-defined conditions for establishing shared/group accounts - properties: - - - name: label - value: AC-2(9) - - - name: sort-id - value: ac-02.09 - parts: - - - id: ac-2.9_smt - name: statement - prose: The organization only permits the use of shared/group accounts that meet {{ ac-2.9_prm_1 }}. - parts: - - - id: ac-2.9_fr - name: item - title: AC-2 (9) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Required if shared/group accounts are deployed - - - id: ac-2.9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.9_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(9)[1] - prose: defines conditions for establishing shared/group accounts; and - - - id: ac-2.9_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(9)[2] - prose: - """ - only permits the use of shared/group accounts that meet organization-defined - conditions for establishing shared/group accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsystem-generated list of shared/group accounts and associated role\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing management of shared/group accounts - - - id: ac-2.10 - class: SP800-53-enhancement - title: Shared / Group Account Credential Termination - properties: - - - name: label - value: AC-2(10) - - - name: sort-id - value: ac-02.10 - parts: - - - id: ac-2.10_smt - name: statement - prose: - """ - The information system terminates shared/group account credentials when members - leave the group. - """ - parts: - - - id: ac-2.10_fr - name: item - title: AC-2 (10) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.10_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Required if shared/group accounts are deployed - - - id: ac-2.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system terminates shared/group account credentials - when members leave the group. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naccount access termination records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-2.12 - class: SP800-53-enhancement - title: Account Monitoring / Atypical Usage - parameters: - - - id: ac-2.12_prm_1 - label: organization-defined atypical usage - - - id: ac-2.12_prm_2 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-2(12) - - - name: sort-id - value: ac-02.12 - parts: - - - id: ac-2.12_smt - name: statement - prose: The organization: - parts: - - - id: ac-2.12_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Monitors information system accounts for {{ ac-2.12_prm_1 }}; - and - """ - - - id: ac-2.12_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Reports atypical usage of information system accounts to {{ ac-2.12_prm_2 }}. - - - id: ac-2.12_fr - name: item - title: AC-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) Guidance: - prose: Required for privileged accounts. - - - id: ac-2.12_fr_gdn.2 - name: guidance - properties: - - - name: label - value: (b) Guidance: - prose: Required for privileged accounts. - - - id: ac-2.12_gdn - name: guidance - prose: - """ - Atypical usage includes, for example, accessing information systems at certain - times of the day and from locations that are not consistent with the normal usage - patterns of individuals working in organizations. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - id: ac-2.12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-2.12.a_obj - name: objective - properties: - - - name: label - value: AC-2(12)(a) - parts: - - - id: ac-2.12.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(12)(a)[1] - prose: defines atypical usage to be monitored for information system accounts; - - - id: ac-2.12.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(12)(a)[2] - prose: - """ - monitors information system accounts for organization-defined atypical - usage; - """ - links: - - - href: #ac-2.12_smt.a - rel: corresp - text: AC-2(12)(a) - - - id: ac-2.12.b_obj - name: objective - properties: - - - name: label - value: AC-2(12)(b) - parts: - - - id: ac-2.12.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-2(12)(b)[1] - prose: - """ - defines personnel or roles to whom atypical usage of information system - accounts are to be reported; and - """ - - - id: ac-2.12.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-2(12)(b)[2] - prose: - """ - reports atypical usage of information system accounts to - organization-defined personnel or roles. - """ - links: - - - href: #ac-2.12_smt.b - rel: corresp - text: AC-2(12)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing account management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring records\n\ninformation system audit records\n\naudit tracking and monitoring reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing account management functions - - - id: ac-3 - class: SP800-53 - title: Access Enforcement - properties: - - - name: label - value: AC-3 - - - name: sort-id - value: ac-03 - parts: - - - id: ac-3_smt - name: statement - prose: - """ - The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies. - """ - - - id: ac-3_gdn - name: guidance - prose: - """ - Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ac-21 - rel: related - text: AC-21 - - - href: #ac-22 - rel: related - text: AC-22 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: ac-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing access enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of approved authorizations (user privileges)\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing access control policy - - - id: ac-4 - class: SP800-53 - title: Information Flow Enforcement - parameters: - - - id: ac-4_prm_1 - label: organization-defined information flow control policies - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-4 - - - name: sort-id - value: ac-04 - parts: - - - id: ac-4_smt - name: statement - prose: - """ - The information system enforces approved authorizations for controlling the flow of - information within the system and between interconnected systems based on {{ ac-4_prm_1 }}. - """ - - - id: ac-4_gdn - name: guidance - prose: - """ - Information flow control regulates where information is allowed to travel within an - information system and between information systems (as opposed to who is allowed to - access the information) and without explicit regard to subsequent accesses to that - information. Flow control restrictions include, for example, keeping - export-controlled information from being transmitted in the clear to the Internet, - blocking outside traffic that claims to be from within the organization, restricting - web requests to the Internet that are not from the internal web proxy server, and - limiting information transfers between organizations based on data structures and - content. Transferring information between information systems representing different - security domains with different security policies introduces risk that such transfers - violate one or more domain security policies. In such situations, information - owners/stewards provide guidance at designated policy enforcement points between - interconnected systems. Organizations consider mandating specific architectural - solutions when required to enforce specific security policies. Enforcement includes, - for example: (i) prohibiting information transfers between interconnected systems - (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way - information flows; and (iii) implementing trustworthy regrading mechanisms to - reassign security attributes and security labels. Organizations commonly employ - information flow control policies and enforcement mechanisms to control the flow of - information between designated sources and destinations (e.g., networks, individuals, - and devices) within information systems and between interconnected systems. Flow - control is based on the characteristics of the information and/or the information - path. Enforcement occurs, for example, in boundary protection devices (e.g., - gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or - establish configuration settings that restrict information system services, provide a - packet-filtering capability based on header information, or message-filtering - capability based on message content (e.g., implementing key word searches or using - document characteristics). Organizations also consider the trustworthiness of - filtering/inspection mechanisms (i.e., hardware, firmware, and software components) - that are critical to information flow enforcement. Control enhancements 3 through 22 - primarily address cross-domain solution needs which focus on more advanced filtering - techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented - in cross-domain products, for example, high-assurance guards. Such capabilities are - generally not available in commercial off-the-shelf information technology - products. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-21 - rel: related - text: AC-21 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-18 - rel: related - text: SC-18 - - - id: ac-4_obj - name: objective - prose: Determine if: - parts: - - - id: ac-4_obj.1 - name: objective - properties: - - - name: label - value: AC-4[1] - prose: - """ - the organization defines information flow control policies to control the flow of - information within the system and between interconnected systems; and - """ - - - id: ac-4_obj.2 - name: objective - properties: - - - name: label - value: AC-4[2] - prose: - """ - the information system enforces approved authorizations for controlling the flow - of information within the system and between interconnected systems based on - organization-defined information flow control policies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system baseline configuration\n\nlist of information flow authorizations\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information flow enforcement policy - controls: - - - id: ac-4.21 - class: SP800-53-enhancement - title: Physical / Logical Separation of Information Flows - parameters: - - - id: ac-4.21_prm_1 - label: organization-defined mechanisms and/or techniques - - - id: ac-4.21_prm_2 - label: organization-defined required separations by types of information - properties: - - - name: label - value: AC-4(21) - - - name: sort-id - value: ac-04.21 - parts: - - - id: ac-4.21_smt - name: statement - prose: - """ - The information system separates information flows logically or physically using - {{ ac-4.21_prm_1 }} to accomplish {{ ac-4.21_prm_2 }}. - """ - - - id: ac-4.21_gdn - name: guidance - prose: - """ - Enforcing the separation of information flows by type can enhance protection by - ensuring that information is not commingled while in transit and by enabling flow - control by transmission paths perhaps not otherwise achievable. Types of separable - information include, for example, inbound and outbound communications traffic, - service requests and responses, and information of differing security - categories. - """ - - - id: ac-4.21_obj - name: objective - prose: Determine if: - parts: - - - id: ac-4.21_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-4(21)[1] - prose: - """ - the organization defines the required separations of information flows by types - of information; - """ - - - id: ac-4.21_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-4(21)[2] - prose: - """ - the organization defines the mechanisms and/or techniques to be used to - separate information flows logically or physically; and - """ - - - id: ac-4.21_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-4(21)[3] - prose: - """ - the information system separates information flows logically or physically - using organization-defined mechanisms and/or techniques to accomplish - organization-defined required separations by types of information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Information flow enforcement policy\n\ninformation flow control policies\n\nprocedures addressing information flow enforcement\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of required separation of information flows by information types\n\nlist of mechanisms and/or techniques used to logically or physically separate - information flows\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information flow enforcement responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information flow enforcement functions - - - id: ac-5 - class: SP800-53 - title: Separation of Duties - parameters: - - - id: ac-5_prm_1 - label: organization-defined duties of individuals - properties: - - - name: label - value: AC-5 - - - name: sort-id - value: ac-05 - parts: - - - id: ac-5_smt - name: statement - prose: The organization: - parts: - - - id: ac-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: Separates {{ ac-5_prm_1 }}; - - - id: ac-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Documents separation of duties of individuals; and - - - id: ac-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Defines information system access authorizations to support separation of - duties. - """ - - - id: ac-5_fr - name: item - title: AC-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP. - - - id: ac-5_gdn - name: guidance - prose: - """ - Separation of duties addresses the potential for abuse of authorized privileges and - helps to reduce the risk of malevolent activity without collusion. Separation of - duties includes, for example: (i) dividing mission functions and information system - support functions among different individuals and/or roles; (ii) conducting - information system support functions with different individuals (e.g., system - management, programming, configuration management, quality assurance and testing, and - network security); and (iii) ensuring security personnel administering access control - functions do not also administer audit functions. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - id: ac-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-5.a_obj - name: objective - properties: - - - name: label - value: AC-5(a) - parts: - - - id: ac-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-5(a)[1] - prose: defines duties of individuals to be separated; - - - id: ac-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-5(a)[2] - prose: separates organization-defined duties of individuals; - - - id: ac-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-5(b) - prose: documents separation of duties; and - - - id: ac-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-5(c) - prose: - """ - defines information system access authorizations to support separation of - duties. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing divisions of responsibility and separation of duties\n\ninformation system configuration settings and associated documentation\n\nlist of divisions of responsibility and separation of duties\n\ninformation system access authorizations\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining appropriate divisions - of responsibility and separation of duties\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing separation of duties policy - - - id: ac-6 - class: SP800-53 - title: Least Privilege - properties: - - - name: label - value: AC-6 - - - name: sort-id - value: ac-06 - parts: - - - id: ac-6_smt - name: statement - prose: - """ - The organization employs the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) which are necessary to - accomplish assigned tasks in accordance with organizational missions and business - functions. - """ - - - id: ac-6_gdn - name: guidance - prose: - """ - Organizations employ least privilege for specific duties and information systems. The - principle of least privilege is also applied to information system processes, - ensuring that the processes operate at privilege levels no higher than necessary to - accomplish required organizational missions/business functions. Organizations - consider the creation of additional processes, roles, and information system accounts - as necessary, to achieve least privilege. Organizations also apply least privilege to - the development, implementation, and operation of organizational information - systems. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-5 - rel: related - text: AC-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: ac-6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs the principle of least privilege, allowing only - authorized access for users (and processes acting on behalf of users) which are - necessary to accomplish assigned tasks in accordance with organizational missions and - business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\nlist of assigned access authorizations (user privileges)\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - controls: - - - id: ac-6.1 - class: SP800-53-enhancement - title: Authorize Access to Security Functions - parameters: - - - id: ac-6.1_prm_1 - label: - """ - organization-defined security functions (deployed in hardware, software, and - firmware) and security-relevant information - """ - properties: - - - name: label - value: AC-6(1) - - - name: sort-id - value: ac-06.01 - parts: - - - id: ac-6.1_smt - name: statement - prose: The organization explicitly authorizes access to {{ ac-6.1_prm_1 }}. - - - id: ac-6.1_gdn - name: guidance - prose: - """ - Security functions include, for example, establishing system accounts, configuring - access authorizations (i.e., permissions, privileges), setting events to be - audited, and setting intrusion detection parameters. Security-relevant information - includes, for example, filtering rules for routers/firewalls, cryptographic key - management information, configuration parameters for security services, and access - control lists. Explicitly authorized personnel include, for example, security - administrators, system and network administrators, system security officers, - system maintenance personnel, system programmers, and other privileged users. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - id: ac-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(1)[1] - prose: - """ - defines security-relevant information for which access must be explicitly - authorized; - """ - - - id: ac-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(1)[2] - prose: defines security functions deployed in: - parts: - - - id: ac-6.1_obj.2.a - name: objective - properties: - - - name: label - value: AC-6(1)[2][a] - prose: hardware; - - - id: ac-6.1_obj.2.b - name: objective - properties: - - - name: label - value: AC-6(1)[2][b] - prose: software; - - - id: ac-6.1_obj.2.c - name: objective - properties: - - - name: label - value: AC-6(1)[2][c] - prose: firmware; - - - id: ac-6.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(1)[3] - prose: explicitly authorizes access to: - parts: - - - id: ac-6.1_obj.3.a - name: objective - properties: - - - name: label - value: AC-6(1)[3][a] - prose: organization-defined security functions; and - - - id: ac-6.1_obj.3.b - name: objective - properties: - - - name: label - value: AC-6(1)[3][b] - prose: security-relevant information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nlist of security functions (deployed in hardware, software, and firmware) and - security-relevant information for which access must be explicitly - authorized\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.2 - class: SP800-53-enhancement - title: Non-privileged Access for Nonsecurity Functions - parameters: - - - id: ac-6.2_prm_1 - label: - """ - organization-defined security functions or security-relevant - information - """ - constraints: - - - detail: all security functions - properties: - - - name: label - value: AC-6(2) - - - name: sort-id - value: ac-06.02 - parts: - - - id: ac-6.2_smt - name: statement - prose: - """ - The organization requires that users of information system accounts, or roles, - with access to {{ ac-6.2_prm_1 }}, use non-privileged accounts or - roles, when accessing nonsecurity functions. - """ - parts: - - - id: ac-6.2_fr - name: item - title: AC-6 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-6.2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions. - - - id: ac-6.2_gdn - name: guidance - prose: - """ - This control enhancement limits exposure when operating from within privileged - accounts or roles. The inclusion of roles addresses situations where organizations - implement access control policies such as role-based access control and where a - change of role provides the same degree of assurance in the change of access - authorizations for both the user and all processes acting on behalf of the user as - would be provided by a change between a privileged and non-privileged account. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - id: ac-6.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(2)[1] - prose: - """ - defines security functions or security-relevant information to which users of - information system accounts, or roles, have access; and - """ - - - id: ac-6.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(2)[2] - prose: - """ - requires that users of information system accounts, or roles, with access to - organization-defined security functions or security-relevant information, use - non-privileged accounts, or roles, when accessing nonsecurity functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated security functions or security-relevant information - assigned to information system accounts or roles\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.5 - class: SP800-53-enhancement - title: Privileged Accounts - parameters: - - - id: ac-6.5_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: AC-6(5) - - - name: sort-id - value: ac-06.05 - parts: - - - id: ac-6.5_smt - name: statement - prose: - """ - The organization restricts privileged accounts on the information system to - {{ ac-6.5_prm_1 }}. - """ - - - id: ac-6.5_gdn - name: guidance - prose: - """ - Privileged accounts, including super user accounts, are typically described as - system administrator for various types of commercial off-the-shelf operating - systems. Restricting privileged accounts to specific personnel or roles prevents - day-to-day users from having access to privileged information/functions. - Organizations may differentiate in the application of this control enhancement - between allowed privileges for local accounts and for domain accounts provided - organizations retain the ability to control information system configurations for - key security parameters and as otherwise necessary to sufficiently mitigate - risk. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - id: ac-6.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-6.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-6(5)[1] - prose: - """ - defines personnel or roles for which privileged accounts on the information - system are to be restricted; and - """ - - - id: ac-6.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-6(5)[2] - prose: - """ - restricts privileged accounts on the information system to organization-defined - personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\nlist of system-generated privileged accounts\n\nlist of system administration personnel\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing least privilege functions - - - id: ac-6.9 - class: SP800-53-enhancement - title: Auditing Use of Privileged Functions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-6(9) - - - name: sort-id - value: ac-06.09 - parts: - - - id: ac-6.9_smt - name: statement - prose: The information system audits the execution of privileged functions. - - - id: ac-6.9_gdn - name: guidance - prose: - """ - Misuse of privileged functions, either intentionally or unintentionally by - authorized users, or by unauthorized external entities that have compromised - information system accounts, is a serious and ongoing concern and can have - significant adverse impacts on organizations. Auditing the use of privileged - functions is one way to detect such misuse, and in doing so, help mitigate the - risk from insider threats and the advanced persistent threat (APT). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - id: ac-6.9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system audits the execution of privileged functions. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of privileged functions to be audited\n\nlist of audited events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms auditing the execution of least privilege functions - - - id: ac-6.10 - class: SP800-53-enhancement - title: Prohibit Non-privileged Users from Executing Privileged Functions - properties: - - - name: label - value: AC-6(10) - - - name: sort-id - value: ac-06.10 - parts: - - - id: ac-6.10_smt - name: statement - prose: - """ - The information system prevents non-privileged users from executing privileged - functions to include disabling, circumventing, or altering implemented security - safeguards/countermeasures. - """ - - - id: ac-6.10_gdn - name: guidance - prose: - """ - Privileged functions include, for example, establishing information system - accounts, performing system integrity checks, or administering cryptographic key - management activities. Non-privileged users are individuals that do not possess - appropriate authorizations. Circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms are examples of privileged - functions that require protection from non-privileged users. - """ - - - id: ac-6.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system prevents non-privileged users from executing - privileged functions to include: - """ - parts: - - - id: ac-6.10_obj.1 - name: objective - properties: - - - name: label - value: AC-6(10)[1] - prose: disabling implemented security safeguards/countermeasures; - - - id: ac-6.10_obj.2 - name: objective - properties: - - - name: label - value: AC-6(10)[2] - prose: circumventing security safeguards/countermeasures; or - - - id: ac-6.10_obj.3 - name: objective - properties: - - - name: label - value: AC-6(10)[3] - prose: altering implemented security safeguards/countermeasures. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing least privilege\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of privileged functions and associated user account assignments\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks\n\norganizational personnel with information security responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing least privilege functions for non-privileged - users - """ - - - id: ac-7 - class: SP800-53 - title: Unsuccessful Logon Attempts - parameters: - - - id: ac-7_prm_1 - label: organization-defined number - constraints: - - - detail: not more than three (3) - - - id: ac-7_prm_2 - label: organization-defined time period - constraints: - - - detail: fifteen (15) minutes - - - id: ac-7_prm_3 - - - id: ac-7_prm_4 - depends-on: ac-7_prm_3 - label: organization-defined time period - constraints: - - - detail: locks the account/node for thirty minutes - - - id: ac-7_prm_5 - depends-on: ac-7_prm_3 - label: organization-defined delay algorithm - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-7 - - - name: sort-id - value: ac-07 - parts: - - - id: ac-7_smt - name: statement - prose: The information system: - parts: - - - id: ac-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Enforces a limit of {{ ac-7_prm_1 }} consecutive invalid logon - attempts by a user during a {{ ac-7_prm_2 }}; and - """ - - - id: ac-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Automatically {{ ac-7_prm_3 }} when the maximum number of - unsuccessful attempts is exceeded. - """ - - - id: ac-7_gdn - name: guidance - prose: - """ - This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ia-5 - rel: related - text: IA-5 - - - id: ac-7_obj - name: objective - prose: Determine if: - parts: - - - id: ac-7.a_obj - name: objective - properties: - - - name: label - value: AC-7(a) - parts: - - - id: ac-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(a)[1] - prose: - """ - the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period; - """ - - - id: ac-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(a)[2] - prose: - """ - the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts; - """ - - - id: ac-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(a)[3] - prose: - """ - the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period; - """ - - - id: ac-7.b_obj - name: objective - properties: - - - name: label - value: AC-7(b) - parts: - - - id: ac-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-7(b)[1] - prose: - """ - the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded; - """ - - - id: ac-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-7(b)[2] - prose: - """ - the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically: - """ - parts: - - - id: ac-7.b_obj.2.a - name: objective - properties: - - - name: label - value: AC-7(b)[2][a] - prose: locks the account/node for the organization-defined time period; - - - id: ac-7.b_obj.2.b - name: objective - properties: - - - name: label - value: AC-7(b)[2][b] - prose: locks the account/node until released by an administrator; or - - - id: ac-7.b_obj.2.c - name: objective - properties: - - - name: label - value: AC-7(b)[2][c] - prose: - """ - delays next logon prompt according to the organization-defined delay - algorithm. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing unsuccessful logon attempts\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem developers\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for unsuccessful logon - attempts - """ - - - id: ac-8 - class: SP800-53 - title: System Use Notification - parameters: - - - id: ac-8_prm_1 - label: organization-defined system use notification message or banner - constraints: - - - detail: see additional Requirements and Guidance - - - id: ac-8_prm_2 - label: organization-defined conditions - constraints: - - - detail: see additional Requirements and Guidance] - properties: - - - name: label - value: AC-8 - - - name: sort-id - value: ac-08 - parts: - - - id: ac-8_smt - name: statement - prose: The information system: - parts: - - - id: ac-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Displays to users {{ ac-8_prm_1 }} before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that: - """ - parts: - - - id: ac-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Users are accessing a U.S. Government information system; - - - id: ac-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Information system usage may be monitored, recorded, and subject to audit; - - - id: ac-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and - """ - - - id: ac-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and - """ - - - id: ac-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: For publicly accessible systems: - parts: - - - id: ac-8_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Displays system use information {{ ac-8_prm_2 }}, before - granting further access; - """ - - - id: ac-8_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and - """ - - - id: ac-8_smt.c.3 - name: item - properties: - - - name: label - value: 3. - prose: Includes a description of the authorized uses of the system. - - - id: ac-8_fr - name: item - title: AC-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. - - - id: ac-8_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. - - - id: ac-8_fr_smt.3 - name: item - properties: - - - name: label - value: Requirement: - prose: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO. - - - id: ac-8_gdn - name: guidance - prose: - """ - System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content. - """ - - - id: ac-8_obj - name: objective - prose: Determine if: - parts: - - - id: ac-8.a_obj - name: objective - properties: - - - name: label - value: AC-8(a) - parts: - - - id: ac-8.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(a)[1] - prose: - """ - the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system; - """ - - - id: ac-8.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(a)[2] - prose: - """ - the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that: - """ - parts: - - - id: ac-8.a.1_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](1) - prose: users are accessing a U.S. Government information system; - - - id: ac-8.a.2_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](2) - prose: - """ - information system usage may be monitored, recorded, and subject to - audit; - """ - - - id: ac-8.a.3_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](3) - prose: - """ - unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; - """ - - - id: ac-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: AC-8(a)[2](4) - prose: - """ - use of the information system indicates consent to monitoring and - recording; - """ - - - id: ac-8.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(b) - prose: - """ - the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system; - """ - - - id: ac-8.c_obj - name: objective - properties: - - - name: label - value: AC-8(c) - prose: for publicly accessible systems: - parts: - - - id: ac-8.c.1_obj - name: objective - properties: - - - name: label - value: AC-8(c)(1) - parts: - - - id: ac-8.c.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(c)(1)[1] - prose: - """ - the organization defines conditions for system use to be displayed by the - information system before granting further access; - """ - - - id: ac-8.c.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(c)(1)[2] - prose: - """ - the information system displays organization-defined conditions before - granting further access; - """ - - - id: ac-8.c.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-8(c)(2) - prose: - """ - the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and - """ - - - id: ac-8.c.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-8(c)(3) - prose: - """ - the information system includes a description of the authorized uses of the - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprivacy and security policies, procedures addressing system use notification\n\ndocumented approval of information system use notification messages or banners\n\ninformation system audit records\n\nuser acknowledgements of notification message or banner\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system use notification messages\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for providing legal advice\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing system use notification - - - id: ac-10 - class: SP800-53 - title: Concurrent Session Control - parameters: - - - id: ac-10_prm_1 - label: organization-defined account and/or account type - - - id: ac-10_prm_2 - label: organization-defined number - constraints: - - - detail: three (3) sessions for privileged access and two (2) sessions for non-privileged access - properties: - - - name: label - value: AC-10 - - - name: sort-id - value: ac-10 - parts: - - - id: ac-10_smt - name: statement - prose: The information system limits the number of concurrent sessions for each {{ ac-10_prm_1 }} to {{ ac-10_prm_2 }}. - - - id: ac-10_gdn - name: guidance - prose: - """ - Organizations may define the maximum number of concurrent sessions for information - system accounts globally, by account type (e.g., privileged user, non-privileged - user, domain, specific application), by account, or a combination. For example, - organizations may limit the number of concurrent sessions for system administrators - or individuals working in particularly sensitive domains or mission-critical - applications. This control addresses concurrent sessions for information system - accounts and does not address concurrent sessions by single users via multiple system - accounts. - """ - - - id: ac-10_obj - name: objective - prose: Determine if: - parts: - - - id: ac-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-10[1] - prose: - """ - the organization defines account and/or account types for the information - system; - """ - - - id: ac-10_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-10[2] - prose: - """ - the organization defines the number of concurrent sessions to be allowed for each - organization-defined account and/or account type; and - """ - - - id: ac-10_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-10[3] - prose: - """ - the information system limits the number of concurrent sessions for each - organization-defined account and/or account type to the organization-defined - number of concurrent sessions allowed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing concurrent session control\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing access control policy for concurrent session - control - """ - - - id: ac-11 - class: SP800-53 - title: Session Lock - parameters: - - - id: ac-11_prm_1 - label: organization-defined time period - constraints: - - - detail: fifteen (15) minutes - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-11 - - - name: sort-id - value: ac-11 - links: - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - parts: - - - id: ac-11_smt - name: statement - prose: The information system: - parts: - - - id: ac-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Prevents further access to the system by initiating a session lock after {{ ac-11_prm_1 }} of inactivity or upon receiving a request from a user; - and - """ - - - id: ac-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Retains the session lock until the user reestablishes access using established - identification and authentication procedures. - """ - - - id: ac-11_gdn - name: guidance - prose: - """ - Session locks are temporary actions taken when users stop work and move away from the - immediate vicinity of information systems but do not want to log out because of the - temporary nature of their absences. Session locks are implemented where session - activities can be determined. This is typically at the operating system level, but - can also be at the application level. Session locks are not an acceptable substitute - for logging out of information systems, for example, if organizations require users - to log out at the end of workdays. - """ - links: - - - href: #ac-7 - rel: related - text: AC-7 - - - id: ac-11_obj - name: objective - prose: Determine if: - parts: - - - id: ac-11.a_obj - name: objective - properties: - - - name: label - value: AC-11(a) - parts: - - - id: ac-11.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-11(a)[1] - prose: - """ - the organization defines the time period of user inactivity after which the - information system initiates a session lock; - """ - - - id: ac-11.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-11(a)[2] - prose: - """ - the information system prevents further access to the system by initiating a - session lock after organization-defined time period of user inactivity or upon - receiving a request from a user; and - """ - - - id: ac-11.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-11(b) - prose: - """ - the information system retains the session lock until the user reestablishes - access using established identification and authentication procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session lock\n\nprocedures addressing identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing access control policy for session lock - controls: - - - id: ac-11.1 - class: SP800-53-enhancement - title: Pattern-hiding Displays - properties: - - - name: label - value: AC-11(1) - - - name: sort-id - value: ac-11.01 - parts: - - - id: ac-11.1_smt - name: statement - prose: - """ - The information system conceals, via the session lock, information previously - visible on the display with a publicly viewable image. - """ - - - id: ac-11.1_gdn - name: guidance - prose: - """ - Publicly viewable images can include static or dynamic images, for example, - patterns used with screen savers, photographic images, solid colors, clock, - battery life indicator, or a blank screen, with the additional caveat that none of - the images convey sensitive information. - """ - - - id: ac-11.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system conceals, via the session lock, information - previously visible on the display with a publicly viewable image. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session lock\n\ndisplay screen with session lock activated\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Information system session lock mechanisms - - - id: ac-12 - class: SP800-53 - title: Session Termination - parameters: - - - id: ac-12_prm_1 - label: - """ - organization-defined conditions or trigger events requiring session - disconnect - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-12 - - - name: sort-id - value: ac-12 - parts: - - - id: ac-12_smt - name: statement - prose: The information system automatically terminates a user session after {{ ac-12_prm_1 }}. - - - id: ac-12_gdn - name: guidance - prose: - """ - This control addresses the termination of user-initiated logical sessions in contrast - to SC-10 which addresses the termination of network connections that are associated - with communications sessions (i.e., network disconnect). A logical session (for - local, network, and remote access) is initiated whenever a user (or process acting on - behalf of a user) accesses an organizational information system. Such user sessions - can be terminated (and thus terminate user access) without terminating network - sessions. Session termination terminates all processes associated with a user’s - logical session except those processes that are specifically created by the user - (i.e., session owner) to continue after the session is terminated. Conditions or - trigger events requiring automatic session termination can include, for example, - organization-defined periods of user inactivity, targeted responses to certain types - of incidents, time-of-day restrictions on information system use. - """ - links: - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-23 - rel: related - text: SC-23 - - - id: ac-12_obj - name: objective - prose: Determine if: - parts: - - - id: ac-12_obj.1 - name: objective - properties: - - - name: label - value: AC-12[1] - prose: - """ - the organization defines conditions or trigger events requiring session - disconnect; and - """ - - - id: ac-12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-12[2] - prose: - """ - the information system automatically terminates a user session after - organization-defined conditions or trigger events requiring session disconnect - occurs. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing session termination\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of conditions or trigger events requiring session disconnect\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing user session termination - - - id: ac-14 - class: SP800-53 - title: Permitted Actions Without Identification or Authentication - parameters: - - - id: ac-14_prm_1 - label: organization-defined user actions - properties: - - - name: label - value: AC-14 - - - name: sort-id - value: ac-14 - parts: - - - id: ac-14_smt - name: statement - prose: The organization: - parts: - - - id: ac-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifies {{ ac-14_prm_1 }} that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - id: ac-14_gdn - name: guidance - prose: - """ - This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - id: ac-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-14.a_obj - name: objective - properties: - - - name: label - value: AC-14(a) - parts: - - - id: ac-14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-14(a)[1] - prose: - """ - defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions; - """ - - - id: ac-14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AC-14(a)[2] - prose: - """ - identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and - """ - - - id: ac-14.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-14(b) - prose: - """ - documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing permitted actions without identification or - authentication\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\nlist of user actions that can be performed without identification or - authentication\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - id: ac-17 - class: SP800-53 - title: Remote Access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-17 - - - name: sort-id - value: ac-17 - links: - - - href: #5309d4d0-46f8-4213-a749-e7584164e5e8 - rel: reference - text: NIST Special Publication 800-46 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #349fe082-502d-464a-aa0c-1443c6a5cf40 - rel: reference - text: NIST Special Publication 800-113 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #d1a4e2a9-e512-4132-8795-5357aba29254 - rel: reference - text: NIST Special Publication 800-121 - parts: - - - id: ac-17_smt - name: statement - prose: The organization: - parts: - - - id: ac-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and - """ - - - id: ac-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes remote access to the information system prior to allowing such - connections. - """ - - - id: ac-17_gdn - name: guidance - prose: - """ - Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #pe-17 - rel: related - text: PE-17 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.a_obj - name: objective - properties: - - - name: label - value: AC-17(a) - parts: - - - id: ac-17.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[1] - prose: identifies the types of remote access allowed to the information system; - - - id: ac-17.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[2] - prose: establishes for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.2.a - name: objective - properties: - - - name: label - value: AC-17(a)[2][a] - prose: usage restrictions; - - - id: ac-17.a_obj.2.b - name: objective - properties: - - - name: label - value: AC-17(a)[2][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.2.c - name: objective - properties: - - - name: label - value: AC-17(a)[2][c] - prose: implementation guidance; - - - id: ac-17.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(a)[3] - prose: documents for each type of remote access allowed: - parts: - - - id: ac-17.a_obj.3.a - name: objective - properties: - - - name: label - value: AC-17(a)[3][a] - prose: usage restrictions; - - - id: ac-17.a_obj.3.b - name: objective - properties: - - - name: label - value: AC-17(a)[3][b] - prose: configuration/connection requirements; - - - id: ac-17.a_obj.3.c - name: objective - properties: - - - name: label - value: AC-17(a)[3][c] - prose: implementation guidance; and - - - id: ac-17.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(b) - prose: - """ - authorizes remote access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing remote access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nremote access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing remote access - connections\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Remote access management capability for the information system - controls: - - - id: ac-17.1 - class: SP800-53-enhancement - title: Automated Monitoring / Control - properties: - - - name: label - value: AC-17(1) - - - name: sort-id - value: ac-17.01 - parts: - - - id: ac-17.1_smt - name: statement - prose: The information system monitors and controls remote access methods. - - - id: ac-17.1_gdn - name: guidance - prose: - """ - Automated monitoring and control of remote access sessions allows organizations to - detect cyber attacks and also ensure ongoing compliance with remote access - policies by auditing connection activities of remote users on a variety of - information system components (e.g., servers, workstations, notebook computers, - smart phones, and tablets). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: ac-17.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system monitors and controls remote access methods. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\ninformation system monitoring records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms monitoring and controlling remote access methods - - - id: ac-17.2 - class: SP800-53-enhancement - title: Protection of Confidentiality / Integrity Using Encryption - properties: - - - name: label - value: AC-17(2) - - - name: sort-id - value: ac-17.02 - parts: - - - id: ac-17.2_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of remote access sessions. - """ - - - id: ac-17.2_gdn - name: guidance - prose: - """ - The encryption strength of mechanism is selected based on the security - categorization of the information. - """ - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-17.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements cryptographic mechanisms to protect - the confidentiality and integrity of remote access sessions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms protecting confidentiality and integrity of remote - access sessions - """ - - - id: ac-17.3 - class: SP800-53-enhancement - title: Managed Access Control Points - parameters: - - - id: ac-17.3_prm_1 - label: organization-defined number - properties: - - - name: label - value: AC-17(3) - - - name: sort-id - value: ac-17.03 - parts: - - - id: ac-17.3_smt - name: statement - prose: The information system routes all remote accesses through {{ ac-17.3_prm_1 }} managed network access control points. - - - id: ac-17.3_gdn - name: guidance - prose: - """ - Limiting the number of access control points for remote accesses reduces the - attack surface for organizations. Organizations consider the Trusted Internet - Connections (TIC) initiative requirements for external network connections. - """ - links: - - - href: #sc-7 - rel: related - text: SC-7 - - - id: ac-17.3_obj - name: objective - prose: Determine if: - parts: - - - id: ac-17.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(3)[1] - prose: - """ - the organization defines the number of managed network access control points - through which all remote accesses are to be routed; and - """ - - - id: ac-17.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(3)[2] - prose: - """ - the information system routes all remote accesses through the - organization-defined number of managed network access control points. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system design documentation\n\nlist of all managed network access control points\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms routing all remote accesses through managed network access - control points - """ - - - id: ac-17.4 - class: SP800-53-enhancement - title: Privileged Commands / Access - parameters: - - - id: ac-17.4_prm_1 - label: organization-defined needs - properties: - - - name: label - value: AC-17(4) - - - name: sort-id - value: ac-17.04 - parts: - - - id: ac-17.4_smt - name: statement - prose: The organization: - parts: - - - id: ac-17.4_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Authorizes the execution of privileged commands and access to security-relevant - information via remote access only for {{ ac-17.4_prm_1 }}; - and - """ - - - id: ac-17.4_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Documents the rationale for such access in the security plan for the - information system. - """ - - - id: ac-17.4_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ac-17.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.4.a_obj - name: objective - properties: - - - name: label - value: AC-17(4)(a) - parts: - - - id: ac-17.4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(4)(a)[1] - prose: - """ - defines needs to authorize the execution of privileged commands and access - to security-relevant information via remote access; - """ - - - id: ac-17.4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(4)(a)[2] - prose: - """ - authorizes the execution of privileged commands and access to - security-relevant information via remote access only for - organization-defined needs; and - """ - links: - - - href: #ac-17.4_smt.a - rel: corresp - text: AC-17(4)(a) - - - id: ac-17.4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(4)(b) - prose: - """ - documents the rationale for such access in the information system security - plan. - """ - links: - - - href: #ac-17.4_smt.b - rel: corresp - text: AC-17(4)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing remote access to the information system\n\ninformation system configuration settings and associated documentation\n\nsecurity plan\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing remote access management - - - id: ac-17.9 - class: SP800-53-enhancement - title: Disconnect / Disable Access - parameters: - - - id: ac-17.9_prm_1 - label: organization-defined time period - constraints: - - - detail: fifteen 15 minutes - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-17(9) - - - name: sort-id - value: ac-17.09 - parts: - - - id: ac-17.9_smt - name: statement - prose: - """ - The organization provides the capability to expeditiously disconnect or disable - remote access to the information system within {{ ac-17.9_prm_1 }}. - """ - - - id: ac-17.9_gdn - name: guidance - prose: - """ - This control enhancement requires organizations to have the capability to rapidly - disconnect current users remotely accessing the information system and/or disable - further remote access. The speed of disconnect or disablement varies based on the - criticality of missions/business functions and the need to eliminate immediate or - future remote access to organizational information systems. - """ - - - id: ac-17.9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-17.9_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-17(9)[1] - prose: - """ - defines the time period within which to expeditiously disconnect or disable - remote access to the information system; and - """ - - - id: ac-17.9_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-17(9)[2] - prose: - """ - provides the capability to expeditiously disconnect or disable remote access to - the information system within the organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing disconnecting or disabling remote access to the - information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity plan, information system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing capability to disconnect or disable remote - access to information system - """ - - - id: ac-18 - class: SP800-53 - title: Wireless Access - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-18 - - - name: sort-id - value: ac-18 - links: - - - href: #238ed479-eccb-49f6-82ec-ab74a7a428cf - rel: reference - text: NIST Special Publication 800-48 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #6f336ecd-f2a0-4c84-9699-0491d81b6e0d - rel: reference - text: NIST Special Publication 800-97 - parts: - - - id: ac-18_smt - name: statement - prose: The organization: - parts: - - - id: ac-18_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and - """ - - - id: ac-18_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes wireless access to the information system prior to allowing such - connections. - """ - - - id: ac-18_gdn - name: guidance - prose: - """ - Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-18.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-18(a) - prose: establishes for wireless access: - parts: - - - id: ac-18.a_obj.1 - name: objective - properties: - - - name: label - value: AC-18(a)[1] - prose: usage restrictions; - - - id: ac-18.a_obj.2 - name: objective - properties: - - - name: label - value: AC-18(a)[2] - prose: configuration/connection requirement; - - - id: ac-18.a_obj.3 - name: objective - properties: - - - name: label - value: AC-18(a)[3] - prose: implementation guidance; and - - - id: ac-18.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-18(b) - prose: - """ - authorizes wireless access to the information system prior to allowing such - connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless access implementation and usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nwireless access authorizations\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing wireless access - connections\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Wireless access management capability for the information system - controls: - - - id: ac-18.1 - class: SP800-53-enhancement - title: Authentication and Encryption - parameters: - - - id: ac-18.1_prm_1 - properties: - - - name: label - value: AC-18(1) - - - name: sort-id - value: ac-18.01 - parts: - - - id: ac-18.1_smt - name: statement - prose: - """ - The information system protects wireless access to the system using authentication - of {{ ac-18.1_prm_1 }} and encryption. - """ - - - id: ac-18.1_gdn - name: guidance - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ac-18.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system protects wireless access to the system using - encryption and one or more of the following: - """ - parts: - - - id: ac-18.1_obj.1 - name: objective - properties: - - - name: label - value: AC-18(1)[1] - prose: authentication of users; and/or - - - id: ac-18.1_obj.2 - name: objective - properties: - - - name: label - value: AC-18(1)[2] - prose: authentication of devices. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing wireless implementation and usage (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing wireless access protections to the - information system - """ - - - id: ac-19 - class: SP800-53 - title: Access Control for Mobile Devices - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-19 - - - name: sort-id - value: ac-19 - links: - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #1201fcf3-afb1-4675-915a-fb4ae0435717 - rel: reference - text: NIST Special Publication 800-114 - - - href: #0293a393-fbe8-4ed1-b0b4-f6fbd3ae1589 - rel: reference - text: NIST Special Publication 800-124 - - - href: #6513e480-fada-4876-abba-1397084dfb26 - rel: reference - text: NIST Special Publication 800-164 - parts: - - - id: ac-19_smt - name: statement - prose: The organization: - parts: - - - id: ac-19_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and - """ - - - id: ac-19_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes the connection of mobile devices to organizational information - systems. - """ - - - id: ac-19_gdn - name: guidance - prose: - """ - A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-9 - rel: related - text: CA-9 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-43 - rel: related - text: SC-43 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ac-19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-19.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-19(a) - prose: establishes for organization-controlled mobile devices: - parts: - - - id: ac-19.a_obj.1 - name: objective - properties: - - - name: label - value: AC-19(a)[1] - prose: usage restrictions; - - - id: ac-19.a_obj.2 - name: objective - properties: - - - name: label - value: AC-19(a)[2] - prose: configuration/connection requirement; - - - id: ac-19.a_obj.3 - name: objective - properties: - - - name: label - value: AC-19(a)[3] - prose: implementation guidance; and - - - id: ac-19.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-19(b) - prose: - """ - authorizes the connection of mobile devices to organizational information - systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing access control for mobile device usage (including - restrictions)\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nauthorizations for mobile device connections to organizational information - systems\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel using mobile devices to access organizational information - systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Access control capability authorizing mobile device connections to organizational - information systems - """ - controls: - - - id: ac-19.5 - class: SP800-53-enhancement - title: Full Device / Container-based Encryption - parameters: - - - id: ac-19.5_prm_1 - - - id: ac-19.5_prm_2 - label: organization-defined mobile devices - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-19(5) - - - name: sort-id - value: ac-19.05 - parts: - - - id: ac-19.5_smt - name: statement - prose: - """ - The organization employs {{ ac-19.5_prm_1 }} to protect the - confidentiality and integrity of information on {{ ac-19.5_prm_2 }}. - """ - - - id: ac-19.5_gdn - name: guidance - prose: - """ - Container-based encryption provides a more fine-grained approach to the encryption - of data/information on mobile devices, including for example, encrypting selected - data structures such as files, records, or fields. - """ - links: - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: ac-19.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-19.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-19(5)[1] - prose: - """ - defines mobile devices for which full-device encryption or container encryption - is required to protect the confidentiality and integrity of information on such - devices; and - """ - - - id: ac-19.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-19(5)[2] - prose: - """ - employs full-device encryption or container encryption to protect the - confidentiality and integrity of information on organization-defined mobile - devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing access control for mobile devices\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nencryption mechanism s and associated configuration documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with access control responsibilities for mobile - devices\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Encryption mechanisms protecting confidentiality and integrity of information - on mobile devices - """ - - - id: ac-20 - class: SP800-53 - title: Use of External Information Systems - properties: - - - name: label - value: AC-20 - - - name: sort-id - value: ac-20 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - parts: - - - id: ac-20_smt - name: statement - prose: - """ - The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: Access the information system from external information systems; and - - - id: ac-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Process, store, or transmit organization-controlled information using external - information systems. - """ - - - id: ac-20_gdn - name: guidance - prose: - """ - External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ac-20_obj - name: objective - prose: - """ - Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to: - """ - parts: - - - id: ac-20.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-20(a) - prose: access the information system from the external information systems; and - - - id: ac-20.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-20(b) - prose: - """ - process, store, or transmit organization-controlled information using external - information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing the use of external information systems\n\nexternal information systems terms and conditions\n\nlist of types of applications accessible from external information systems\n\nmaximum security categorization for information processed, stored, or transmitted - on external information systems\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing terms and conditions on use of external - information systems - """ - controls: - - - id: ac-20.1 - class: SP800-53-enhancement - title: Limits On Authorized Use - properties: - - - name: label - value: AC-20(1) - - - name: sort-id - value: ac-20.01 - parts: - - - id: ac-20.1_smt - name: statement - prose: - """ - The organization permits authorized individuals to use an external information - system to access the information system or to process, store, or transmit - organization-controlled information only when the organization: - """ - parts: - - - id: ac-20.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or - """ - - - id: ac-20.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Retains approved information system connection or processing agreements with - the organizational entity hosting the external information system. - """ - - - id: ac-20.1_gdn - name: guidance - prose: - """ - This control enhancement recognizes that there are circumstances where individuals - using external information systems (e.g., contractors, coalition partners) need to - access organizational information systems. In those situations, organizations need - confidence that the external information systems contain the necessary security - safeguards (i.e., security controls), so as not to compromise, damage, or - otherwise harm organizational information systems. Verification that the required - security controls have been implemented can be achieved, for example, by - third-party, independent assessments, attestations, or other means, depending on - the confidence level required by organizations. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - id: ac-20.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization permits authorized individuals to use an external - information system to access the information system or to process, store, or - transmit organization-controlled information only when the organization: - """ - parts: - - - id: ac-20.1.a_obj - name: objective - properties: - - - name: label - value: AC-20(1)(a) - prose: - """ - verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or - """ - links: - - - href: #ac-20.1_smt.a - rel: corresp - text: AC-20(1)(a) - - - id: ac-20.1.b_obj - name: objective - properties: - - - name: label - value: AC-20(1)(b) - prose: - """ - retains approved information system connection or processing agreements with - the organizational entity hosting the external information system. - """ - links: - - - href: #ac-20.1_smt.b - rel: corresp - text: AC-20(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing the use of external information systems\n\nsecurity plan\n\ninformation system connection or processing agreements\n\naccount management documents\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing limits on use of external information - systems - """ - - - id: ac-20.2 - class: SP800-53-enhancement - title: Portable Storage Devices - parameters: - - - id: ac-20.2_prm_1 - properties: - - - name: label - value: AC-20(2) - - - name: sort-id - value: ac-20.02 - parts: - - - id: ac-20.2_smt - name: statement - prose: - """ - The organization {{ ac-20.2_prm_1 }} the use of - organization-controlled portable storage devices by authorized individuals on - external information systems. - """ - - - id: ac-20.2_gdn - name: guidance - prose: - """ - Limits on the use of organization-controlled portable storage devices in external - information systems include, for example, complete prohibition of the use of such - devices or restrictions on how the devices may be used and under what conditions - the devices may be used. - """ - - - id: ac-20.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization restricts or prohibits the use of - organization-controlled portable storage devices by authorized individuals on - external information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing the use of external information systems\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\ninformation system connection or processing agreements\n\naccount management documents\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for restricting or prohibiting - use of organization-controlled storage devices on external information - systems\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing restrictions on use of portable storage - devices - """ - - - id: ac-21 - class: SP800-53 - title: Information Sharing - parameters: - - - id: ac-21_prm_1 - label: - """ - organization-defined information sharing circumstances where user discretion is - required - """ - - - id: ac-21_prm_2 - label: organization-defined automated mechanisms or manual processes - properties: - - - name: label - value: AC-21 - - - name: sort-id - value: ac-21 - parts: - - - id: ac-21_smt - name: statement - prose: The organization: - parts: - - - id: ac-21_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Facilitates information sharing by enabling authorized users to determine whether - access authorizations assigned to the sharing partner match the access - restrictions on the information for {{ ac-21_prm_1 }}; and - """ - - - id: ac-21_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs {{ ac-21_prm_2 }} to assist users in making information - sharing/collaboration decisions. - """ - - - id: ac-21_gdn - name: guidance - prose: - """ - This control applies to information that may be restricted in some manner (e.g., - privileged medical information, contract-sensitive information, proprietary - information, personally identifiable information, classified information related to - special access programs or compartments) based on some formal or administrative - determination. Depending on the particular information-sharing circumstances, sharing - partners may be defined at the individual, group, or organizational level. - Information may be defined by content, type, security category, or special access - program/compartment. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - id: ac-21_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-21.a_obj - name: objective - properties: - - - name: label - value: AC-21(a) - parts: - - - id: ac-21.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-21(a)[1] - prose: - """ - defines information sharing circumstances where user discretion is - required; - """ - - - id: ac-21.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-21(a)[2] - prose: - """ - facilitates information sharing by enabling authorized users to determine - whether access authorizations assigned to the sharing partner match the access - restrictions on the information for organization-defined information sharing - circumstances; - """ - - - id: ac-21.b_obj - name: objective - properties: - - - name: label - value: AC-21(b) - parts: - - - id: ac-21.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-21(b)[1] - prose: - """ - defines automated mechanisms or manual processes to be employed to assist users - in making information sharing/collaboration decisions; and - """ - - - id: ac-21.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-21(b)[2] - prose: - """ - employs organization-defined automated mechanisms or manual processes to assist - users in making information sharing/collaboration decisions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing user-based collaboration and information sharing (including - restrictions)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of users authorized to make information sharing/collaboration decisions\n\nlist of information sharing circumstances requiring user discretion\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel responsible for making information sharing/collaboration - decisions\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms or manual process implementing access authorizations - supporting information sharing/user collaboration decisions - """ - - - id: ac-22 - class: SP800-53 - title: Publicly Accessible Content - parameters: - - - id: ac-22_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least quarterly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AC-22 - - - name: sort-id - value: ac-22 - parts: - - - id: ac-22_smt - name: statement - prose: The organization: - parts: - - - id: ac-22_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and - """ - - - id: ac-22_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Reviews the content on the publicly accessible information system for nonpublic - information {{ ac-22_prm_1 }} and removes such information, if - discovered. - """ - - - id: ac-22_gdn - name: guidance - prose: - """ - In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-13 - rel: related - text: AU-13 - - - id: ac-22_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ac-22.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-22(a) - prose: - """ - designates individuals authorized to post information onto a publicly accessible - information system; - """ - - - id: ac-22.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(b) - prose: - """ - trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information; - """ - - - id: ac-22.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(c) - prose: - """ - reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; - """ - - - id: ac-22.d_obj - name: objective - properties: - - - name: label - value: AC-22(d) - parts: - - - id: ac-22.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AC-22(d)[1] - prose: - """ - defines the frequency to review the content on the publicly accessible - information system for nonpublic information; - """ - - - id: ac-22.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(d)[2] - prose: - """ - reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and - """ - - - id: ac-22.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AC-22(d)[3] - prose: - """ - removes nonpublic information from the publicly accessible information system, - if discovered. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing publicly accessible content\n\nlist of users authorized to post publicly accessible content on organizational - information systems\n\ntraining materials and/or records\n\nrecords of publicly accessible information reviews\n\nrecords of response to nonpublic information on public websites\n\nsystem audit logs\n\nsecurity awareness training records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing management of publicly accessible content - - - id: at - class: family - title: Awareness and Training - controls: - - - id: at-1 - class: SP800-53 - title: Security Awareness and Training Policy and Procedures - parameters: - - - id: at-1_prm_1 - label: organization-defined personnel or roles - - - id: at-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: at-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-1 - - - name: sort-id - value: at-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: at-1_smt - name: statement - prose: The organization: - parts: - - - id: at-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ at-1_prm_1 }}: - parts: - - - id: at-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: at-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and - """ - - - id: at-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: at-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security awareness and training policy {{ at-1_prm_2 }}; and - - - id: at-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security awareness and training procedures {{ at-1_prm_3 }}. - - - id: at-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: at-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-1.a_obj - name: objective - properties: - - - name: label - value: AT-1(a) - parts: - - - id: at-1.a.1_obj - name: objective - properties: - - - name: label - value: AT-1(a)(1) - parts: - - - id: at-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(1)[1] - prose: - """ - develops and documents an security awareness and training policy that - addresses: - """ - parts: - - - id: at-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][a] - prose: purpose; - - - id: at-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][b] - prose: scope; - - - id: at-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][c] - prose: roles; - - - id: at-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][d] - prose: responsibilities; - - - id: at-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][e] - prose: management commitment; - - - id: at-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: at-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AT-1(a)(1)[1][g] - prose: compliance; - - - id: at-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security awareness and training - policy are to be disseminated; - """ - - - id: at-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-1(a)(1)[3] - prose: - """ - disseminates the security awareness and training policy to - organization-defined personnel or roles; - """ - - - id: at-1.a.2_obj - name: objective - properties: - - - name: label - value: AT-1(a)(2) - parts: - - - id: at-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls; - """ - - - id: at-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: at-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: at-1.b_obj - name: objective - properties: - - - name: label - value: AT-1(b) - parts: - - - id: at-1.b.1_obj - name: objective - properties: - - - name: label - value: AT-1(b)(1) - parts: - - - id: at-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training policy; - """ - - - id: at-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(1)[2] - prose: - """ - reviews and updates the current security awareness and training policy with - the organization-defined frequency; - """ - - - id: at-1.b.2_obj - name: objective - properties: - - - name: label - value: AT-1(b)(2) - parts: - - - id: at-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security awareness - and training procedures; and - """ - - - id: at-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-1(b)(2)[2] - prose: - """ - reviews and updates the current security awareness and training procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security awareness and training responsibilities\n\norganizational personnel with information security responsibilities - - - id: at-2 - class: SP800-53 - title: Security Awareness Training - parameters: - - - id: at-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-2 - - - name: sort-id - value: at-02 - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-2_smt - name: statement - prose: - """ - The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors): - """ - parts: - - - id: at-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: As part of initial training for new users; - - - id: at-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-2_prm_1 }} thereafter. - """ - - - id: at-2_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: at-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-2(a) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users; - """ - - - id: at-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-2(b) - prose: - """ - provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and - """ - - - id: at-2.c_obj - name: objective - properties: - - - name: label - value: AT-2(c) - parts: - - - id: at-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-2(c)[1] - prose: - """ - defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and - """ - - - id: at-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-2(c)[2] - prose: - """ - provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nappropriate codes of federal regulations\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for security awareness training\n\norganizational personnel with information security responsibilities\n\norganizational personnel comprising the general information system user - community - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing security awareness training - controls: - - - id: at-2.2 - class: SP800-53-enhancement - title: Insider Threat - properties: - - - name: label - value: AT-2(2) - - - name: sort-id - value: at-02.02 - parts: - - - id: at-2.2_smt - name: statement - prose: - """ - The organization includes security awareness training on recognizing and reporting - potential indicators of insider threat. - """ - - - id: at-2.2_gdn - name: guidance - prose: - """ - Potential indicators and possible precursors of insider threat can include - behaviors such as inordinate, long-term job dissatisfaction, attempts to gain - access to information not required for job performance, unexplained access to - financial resources, bullying or sexual harassment of fellow employees, workplace - violence, and other serious violations of organizational policies, procedures, - directives, rules, or practices. Security awareness training includes how to - communicate employee and management concerns regarding potential indicators of - insider threat through appropriate organizational channels in accordance with - established organizational policies and procedures. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #pm-12 - rel: related - text: PM-12 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: at-2.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization includes security awareness training on recognizing - and reporting potential indicators of insider threat. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security awareness training implementation\n\nsecurity awareness training curriculum\n\nsecurity awareness training materials\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel that participate in security awareness training\n\norganizational personnel with responsibilities for basic security awareness - training\n\norganizational personnel with information security responsibilities - """ - - - id: at-3 - class: SP800-53 - title: Role-based Security Training - parameters: - - - id: at-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-3 - - - name: sort-id - value: at-03 - links: - - - href: #bb61234b-46c3-4211-8c2b-9869222a720d - rel: reference - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: at-3_smt - name: statement - prose: - """ - The organization provides role-based security training to personnel with assigned - security roles and responsibilities: - """ - parts: - - - id: at-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Before authorizing access to the information system or performing assigned - duties; - """ - - - id: at-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: at-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ at-3_prm_1 }} thereafter. - """ - - - id: at-3_gdn - name: guidance - prose: - """ - Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-4 - rel: related - text: AT-4 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-16 - rel: related - text: SA-16 - - - id: at-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(a) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties; - """ - - - id: at-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AT-3(b) - prose: - """ - provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and - """ - - - id: at-3.c_obj - name: objective - properties: - - - name: label - value: AT-3(c) - parts: - - - id: at-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-3(c)[1] - prose: - """ - defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and - """ - - - id: at-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-3(c)[2] - prose: - """ - provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training implementation\n\ncodes of federal regulations\n\nsecurity training curriculum\n\nsecurity training materials\n\nsecurity plan\n\ntraining records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for role-based security - training\n\norganizational personnel with assigned information system security roles and - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing role-based security training - - - id: at-4 - class: SP800-53 - title: Security Training Records - parameters: - - - id: at-4_prm_1 - label: organization-defined time period - constraints: - - - detail: At least one year - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AT-4 - - - name: sort-id - value: at-04 - parts: - - - id: at-4_smt - name: statement - prose: The organization: - parts: - - - id: at-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and - """ - - - id: at-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Retains individual training records for {{ at-4_prm_1 }}. - - - id: at-4_gdn - name: guidance - prose: - """ - Documentation for specialized training may be maintained by individual supervisors at - the option of the organization. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-14 - rel: related - text: PM-14 - - - id: at-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: at-4.a_obj - name: objective - properties: - - - name: label - value: AT-4(a) - parts: - - - id: at-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-4(a)[1] - prose: - """ - documents individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.1.a - name: objective - properties: - - - name: label - value: AT-4(a)[1][a] - prose: basic security awareness training; - - - id: at-4.a_obj.1.b - name: objective - properties: - - - name: label - value: AT-4(a)[1][b] - prose: specific role-based information system security training; - - - id: at-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-4(a)[2] - prose: - """ - monitors individual information system security training activities - including: - """ - parts: - - - id: at-4.a_obj.2.a - name: objective - properties: - - - name: label - value: AT-4(a)[2][a] - prose: basic security awareness training; - - - id: at-4.a_obj.2.b - name: objective - properties: - - - name: label - value: AT-4(a)[2][b] - prose: specific role-based information system security training; - - - id: at-4.b_obj - name: objective - properties: - - - name: label - value: AT-4(b) - parts: - - - id: at-4.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AT-4(b)[1] - prose: defines a time period to retain individual training records; and - - - id: at-4.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AT-4(b)[2] - prose: - """ - retains individual training records for the organization-defined time - period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security awareness and training policy\n\nprocedures addressing security training records\n\nsecurity awareness and training records\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security training record retention - responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting management of security training records - - - id: au - class: family - title: Audit and Accountability - controls: - - - id: au-1 - class: SP800-53 - title: Audit and Accountability Policy and Procedures - parameters: - - - id: au-1_prm_1 - label: organization-defined personnel or roles - - - id: au-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: au-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-1 - - - name: sort-id - value: au-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: au-1_smt - name: statement - prose: The organization: - parts: - - - id: au-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ au-1_prm_1 }}: - parts: - - - id: au-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: au-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and - """ - - - id: au-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: au-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Audit and accountability policy {{ au-1_prm_2 }}; and - - - id: au-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Audit and accountability procedures {{ au-1_prm_3 }}. - - - id: au-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: au-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-1.a_obj - name: objective - properties: - - - name: label - value: AU-1(a) - parts: - - - id: au-1.a.1_obj - name: objective - properties: - - - name: label - value: AU-1(a)(1) - parts: - - - id: au-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(1)[1] - prose: - """ - develops and documents an audit and accountability policy that - addresses: - """ - parts: - - - id: au-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][a] - prose: purpose; - - - id: au-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][b] - prose: scope; - - - id: au-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][c] - prose: roles; - - - id: au-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][d] - prose: responsibilities; - - - id: au-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][e] - prose: management commitment; - - - id: au-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: au-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: AU-1(a)(1)[1][g] - prose: compliance; - - - id: au-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the audit and accountability policy are - to be disseminated; - """ - - - id: au-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-1(a)(1)[3] - prose: - """ - disseminates the audit and accountability policy to organization-defined - personnel or roles; - """ - - - id: au-1.a.2_obj - name: objective - properties: - - - name: label - value: AU-1(a)(2) - parts: - - - id: au-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls; - """ - - - id: au-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: au-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: au-1.b_obj - name: objective - properties: - - - name: label - value: AU-1(b) - parts: - - - id: au-1.b.1_obj - name: objective - properties: - - - name: label - value: AU-1(b)(1) - parts: - - - id: au-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability policy; - """ - - - id: au-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(1)[2] - prose: - """ - reviews and updates the current audit and accountability policy with the - organization-defined frequency; - """ - - - id: au-1.b.2_obj - name: objective - properties: - - - name: label - value: AU-1(b)(2) - parts: - - - id: au-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current audit and - accountability procedures; and - """ - - - id: au-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-1(b)(2)[2] - prose: - """ - reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities - - - id: au-2 - class: SP800-53 - title: Audit Events - parameters: - - - id: au-2_prm_1 - label: organization-defined auditable events - constraints: - - - detail: successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - id: au-2_prm_2 - label: - """ - organization-defined audited events (the subset of the auditable events defined - in AU-2 a.) along with the frequency of (or situation requiring) auditing for each - identified event - """ - constraints: - - - detail: organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-2 - - - name: sort-id - value: au-02 - links: - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: au-2_smt - name: statement - prose: The organization: - parts: - - - id: au-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines that the information system is capable of auditing the following - events: {{ au-2_prm_1 }}; - """ - - - id: au-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and - """ - - - id: au-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Determines that the following events are to be audited within the information - system: {{ au-2_prm_2 }}. - """ - - - id: au-2_fr - name: item - title: AU-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - id: au-2_gdn - name: guidance - prose: - """ - An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-2.a_obj - name: objective - properties: - - - name: label - value: AU-2(a) - parts: - - - id: au-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(a)[1] - prose: - """ - defines the auditable events that the information system must be capable of - auditing; - """ - - - id: au-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-2(a)[2] - prose: - """ - determines that the information system is capable of auditing - organization-defined auditable events; - """ - - - id: au-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(b) - prose: - """ - coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events; - """ - - - id: au-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(c) - prose: - """ - provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; - """ - - - id: au-2.d_obj - name: objective - properties: - - - name: label - value: AU-2(d) - parts: - - - id: au-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(d)[1] - prose: - """ - defines the subset of auditable events defined in AU-2a that are to be audited - within the information system; - """ - - - id: au-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(d)[2] - prose: - """ - determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and - """ - - - id: au-2.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-2(d)[3] - prose: - """ - determines the frequency of (or situation requiring) auditing for each - identified event. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing auditable events\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\ninformation system auditable events\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing information system auditing - controls: - - - id: au-2.3 - class: SP800-53-enhancement - title: Reviews and Updates - parameters: - - - id: au-2.3_prm_1 - label: organization-defined frequency - constraints: - - - detail: annually or whenever there is a change in the threat environment - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-2(3) - - - name: sort-id - value: au-02.03 - parts: - - - id: au-2.3_smt - name: statement - prose: The organization reviews and updates the audited events {{ au-2.3_prm_1 }}. - parts: - - - id: au-2.3_fr - name: item - title: AU-2 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO. - - - id: au-2.3_gdn - name: guidance - prose: - """ - Over time, the events that organizations believe should be audited may change. - Reviewing and updating the set of audited events periodically is necessary to - ensure that the current set is still necessary and sufficient. - """ - - - id: au-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-2(3)[1] - prose: defines the frequency to review and update the audited events; and - - - id: au-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-2(3)[2] - prose: - """ - reviews and updates the auditable events with organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing auditable events\n\nsecurity plan\n\nlist of organization-defined auditable events\n\nauditable events review and update records\n\ninformation system audit records\n\ninformation system incident reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting review and update of auditable events - - - id: au-3 - class: SP800-53 - title: Content of Audit Records - properties: - - - name: label - value: AU-3 - - - name: sort-id - value: au-03 - parts: - - - id: au-3_smt - name: statement - prose: - """ - The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event. - """ - - - id: au-3_gdn - name: guidance - prose: - """ - Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred). - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-8 - rel: related - text: AU-8 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #si-11 - rel: related - text: SI-11 - - - id: au-3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system generates audit records containing information - that establishes: - """ - parts: - - - id: au-3_obj.1 - name: objective - properties: - - - name: label - value: AU-3[1] - prose: what type of event occurred; - - - id: au-3_obj.2 - name: objective - properties: - - - name: label - value: AU-3[2] - prose: when the event occurred; - - - id: au-3_obj.3 - name: objective - properties: - - - name: label - value: AU-3[3] - prose: where the event occurred; - - - id: au-3_obj.4 - name: objective - properties: - - - name: label - value: AU-3[4] - prose: the source of the event; - - - id: au-3_obj.5 - name: objective - properties: - - - name: label - value: AU-3[5] - prose: the outcome of the event; and - - - id: au-3_obj.6 - name: objective - properties: - - - name: label - value: AU-3[6] - prose: the identity of any individuals or subjects associated with the event. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\ninformation system incident reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system auditing of auditable - events - """ - controls: - - - id: au-3.1 - class: SP800-53-enhancement - title: Additional Audit Information - parameters: - - - id: au-3.1_prm_1 - label: organization-defined additional, more detailed information - constraints: - - - detail: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon - properties: - - - name: label - value: AU-3(1) - - - name: sort-id - value: au-03.01 - parts: - - - id: au-3.1_smt - name: statement - prose: - """ - The information system generates audit records containing the following additional - information: {{ au-3.1_prm_1 }}. - """ - parts: - - - id: au-3.1_fr - name: item - title: AU-3 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-3.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO. - - - id: au-3.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry. - - - id: au-3.1_gdn - name: guidance - prose: - """ - Detailed information that organizations may consider in audit records includes, - for example, full text recording of privileged commands or the individual - identities of group account users. Organizations consider limiting the additional - audit information to only that information explicitly needed for specific audit - requirements. This facilitates the use of audit trails and audit logs by not - including information that could potentially be misleading or could make it more - difficult to locate information of interest. - """ - - - id: au-3.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-3.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-3(1)[1] - prose: - """ - the organization defines additional, more detailed information to be contained - in audit records that the information system generates; and - """ - - - id: au-3.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-3(1)[2] - prose: - """ - the information system generates audit records containing the - organization-defined additional, more detailed information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing content of audit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of organization-defined auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Information system audit capability - - - id: au-4 - class: SP800-53 - title: Audit Storage Capacity - parameters: - - - id: au-4_prm_1 - label: organization-defined audit record storage requirements - properties: - - - name: label - value: AU-4 - - - name: sort-id - value: au-04 - parts: - - - id: au-4_smt - name: statement - prose: The organization allocates audit record storage capacity in accordance with {{ au-4_prm_1 }}. - - - id: au-4_gdn - name: guidance - prose: - """ - Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #si-4 - rel: related - text: SI-4 - - - id: au-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-4_obj.1 - name: objective - properties: - - - name: label - value: AU-4[1] - prose: defines audit record storage requirements; and - - - id: au-4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-4[2] - prose: - """ - allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit storage capacity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit record storage requirements\n\naudit record storage capability for information system components\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit record storage capacity and related configuration settings - - - id: au-5 - class: SP800-53 - title: Response to Audit Processing Failures - parameters: - - - id: au-5_prm_1 - label: organization-defined personnel or roles - - - id: au-5_prm_2 - label: - """ - organization-defined actions to be taken (e.g., shut down information system, - overwrite oldest audit records, stop generating audit records) - """ - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - properties: - - - name: label - value: AU-5 - - - name: sort-id - value: au-05 - parts: - - - id: au-5_smt - name: statement - prose: The information system: - parts: - - - id: au-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Alerts {{ au-5_prm_1 }} in the event of an audit processing - failure; and - """ - - - id: au-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Takes the following additional actions: {{ au-5_prm_2 }}. - - - id: au-5_gdn - name: guidance - prose: - """ - Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #si-12 - rel: related - text: SI-12 - - - id: au-5_obj - name: objective - prose: Determine if: - parts: - - - id: au-5.a_obj - name: objective - properties: - - - name: label - value: AU-5(a) - parts: - - - id: au-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(a)[1] - prose: - """ - the organization defines the personnel or roles to be alerted in the event of - an audit processing failure; - """ - - - id: au-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(a)[2] - prose: - """ - the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure; - """ - - - id: au-5.b_obj - name: objective - properties: - - - name: label - value: AU-5(b) - parts: - - - id: au-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-5(b)[1] - prose: - """ - the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and - """ - - - id: au-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-5(b)[2] - prose: - """ - the information system takes the additional organization-defined actions in the - event of an audit processing failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing response to audit processing failures\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\nlist of personnel to be notified in case of an audit processing failure\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing information system response to audit processing - failures - """ - - - id: au-6 - class: SP800-53 - title: Audit Review, Analysis, and Reporting - parameters: - - - id: au-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: au-6_prm_2 - label: organization-defined inappropriate or unusual activity - - - id: au-6_prm_3 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-6 - - - name: sort-id - value: au-06 - parts: - - - id: au-6_smt - name: statement - prose: The organization: - parts: - - - id: au-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and analyzes information system audit records {{ au-6_prm_1 }} for indications of {{ au-6_prm_2 }}; - and - """ - - - id: au-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports findings to {{ au-6_prm_3 }}. - - - id: au-6_fr - name: item - title: AU-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - - - id: au-6_gdn - name: guidance - prose: - """ - Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-10 - rel: related - text: CM-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #pe-14 - rel: related - text: PE-14 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-18 - rel: related - text: SC-18 - - - href: #sc-19 - rel: related - text: SC-19 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: au-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.a_obj - name: objective - properties: - - - name: label - value: AU-6(a) - parts: - - - id: au-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(a)[1] - prose: - """ - defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed; - """ - - - id: au-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(a)[2] - prose: - """ - defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity; - """ - - - id: au-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(a)[3] - prose: - """ - reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency; - """ - - - id: au-6.b_obj - name: objective - properties: - - - name: label - value: AU-6(b) - parts: - - - id: au-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-6(b)[1] - prose: - """ - defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and - """ - - - id: au-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(b)[2] - prose: reports findings to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nreports of audit findings\n\nrecords of actions taken in response to reviews/analyses of audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - controls: - - - id: au-6.1 - class: SP800-53-enhancement - title: Process Integration - properties: - - - name: label - value: AU-6(1) - - - name: sort-id - value: au-06.01 - parts: - - - id: au-6.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to integrate audit review, analysis, - and reporting processes to support organizational processes for investigation and - response to suspicious activities. - """ - - - id: au-6.1_gdn - name: guidance - prose: - """ - Organizational processes benefiting from integrated audit review, analysis, and - reporting include, for example, incident response, continuous monitoring, - contingency planning, and Inspector General audits. - """ - links: - - - href: #au-12 - rel: related - text: AU-12 - - - href: #pm-7 - rel: related - text: PM-7 - - - id: au-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-6(1)[1] - prose: employs automated mechanisms to integrate: - parts: - - - id: au-6.1_obj.1.a - name: objective - properties: - - - name: label - value: AU-6(1)[1][a] - prose: audit review; - - - id: au-6.1_obj.1.b - name: objective - properties: - - - name: label - value: AU-6(1)[1][b] - prose: analysis; - - - id: au-6.1_obj.1.c - name: objective - properties: - - - name: label - value: AU-6(1)[1][c] - prose: reporting processes; - - - id: au-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-6(1)[2] - prose: - """ - uses integrated audit review, analysis and reporting processes to support - organizational processes for: - """ - parts: - - - id: au-6.1_obj.2.a - name: objective - properties: - - - name: label - value: AU-6(1)[2][a] - prose: investigation of suspicious activities; and - - - id: au-6.1_obj.2.b - name: objective - properties: - - - name: label - value: AU-6(1)[2][b] - prose: response to suspicious activities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\nprocedures addressing investigation and response to suspicious activities\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms integrating audit review, analysis, and reporting - processes - """ - - - id: au-6.3 - class: SP800-53-enhancement - title: Correlate Audit Repositories - properties: - - - name: label - value: AU-6(3) - - - name: sort-id - value: au-06.03 - parts: - - - id: au-6.3_smt - name: statement - prose: - """ - The organization analyzes and correlates audit records across different - repositories to gain organization-wide situational awareness. - """ - - - id: au-6.3_gdn - name: guidance - prose: - """ - Organization-wide situational awareness includes awareness across all three tiers - of risk management (i.e., organizational, mission/business process, and - information system) and supports cross-organization awareness. - """ - links: - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ir-4 - rel: related - text: IR-4 - - - id: au-6.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization analyzes and correlates audit records across - different repositories to gain organization-wide situational awareness. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit review, analysis, and reporting\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records across different repositories\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit review, analysis, and reporting - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting analysis and correlation of audit records - - - id: au-7 - class: SP800-53 - title: Audit Reduction and Report Generation - properties: - - - name: label - value: AU-7 - - - name: sort-id - value: au-07 - parts: - - - id: au-7_smt - name: statement - prose: - """ - The information system provides an audit reduction and report generation capability - that: - """ - parts: - - - id: au-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Supports on-demand audit review, analysis, and reporting requirements and - after-the-fact investigations of security incidents; and - """ - - - id: au-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: Does not alter the original content or time ordering of audit records. - - - id: au-7_gdn - name: guidance - prose: - """ - Audit reduction is a process that manipulates collected audit information and - organizes such information in a summary format that is more meaningful to analysts. - Audit reduction and report generation capabilities do not always emanate from the - same information system or from the same organizational entities conducting auditing - activities. Audit reduction capability can include, for example, modern data mining - techniques with advanced data filters to identify anomalous behavior in audit - records. The report generation capability provided by the information system can - generate customizable reports. Time ordering of audit records can be a significant - issue if the granularity of the timestamp in the record is insufficient. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - id: au-7_obj - name: objective - prose: - """ - Determine if the information system provides an audit reduction and report generation - capability that supports: - """ - parts: - - - id: au-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-7(a) - parts: - - - id: au-7.a_obj.1 - name: objective - properties: - - - name: label - value: AU-7(a)[1] - prose: on-demand audit review; - - - id: au-7.a_obj.2 - name: objective - properties: - - - name: label - value: AU-7(a)[2] - prose: analysis; - - - id: au-7.a_obj.3 - name: objective - properties: - - - name: label - value: AU-7(a)[3] - prose: reporting requirements; - - - id: au-7.a_obj.4 - name: objective - properties: - - - name: label - value: AU-7(a)[4] - prose: after-the-fact investigations of security incidents; and - - - id: au-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-7(b) - prose: does not alter the original content or time ordering of audit records. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit reduction and report generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit reduction and report generation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit reduction and report generation capability - controls: - - - id: au-7.1 - class: SP800-53-enhancement - title: Automatic Processing - parameters: - - - id: au-7.1_prm_1 - label: organization-defined audit fields within audit records - properties: - - - name: label - value: AU-7(1) - - - name: sort-id - value: au-07.01 - parts: - - - id: au-7.1_smt - name: statement - prose: - """ - The information system provides the capability to process audit records for events - of interest based on {{ au-7.1_prm_1 }}. - """ - - - id: au-7.1_gdn - name: guidance - prose: - """ - Events of interest can be identified by the content of specific audit record - fields including, for example, identities of individuals, event types, event - locations, event times, event dates, system resources involved, IP addresses - involved, or information objects accessed. Organizations may define audit event - criteria to any degree of granularity required, for example, locations selectable - by general networking location (e.g., by network or subnetwork) or selectable by - specific information system component. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-7.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-7.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-7(1)[1] - prose: - """ - the organization defines audit fields within audit records in order to process - audit records for events of interest; and - """ - - - id: au-7.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-7(1)[2] - prose: - """ - the information system provides the capability to process audit records for - events of interest based on the organization-defined audit fields within audit - records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit reduction and report generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit reduction, review, analysis, and reporting tools\n\naudit record criteria (fields) establishing events of interest\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with audit reduction and report generation - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Audit reduction and report generation capability - - - id: au-8 - class: SP800-53 - title: Time Stamps - parameters: - - - id: au-8_prm_1 - label: organization-defined granularity of time measurement - properties: - - - name: label - value: AU-8 - - - name: sort-id - value: au-08 - parts: - - - id: au-8_smt - name: statement - prose: The information system: - parts: - - - id: au-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Uses internal system clocks to generate time stamps for audit records; and - - - id: au-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets {{ au-8_prm_1 }}. - """ - - - id: au-8_gdn - name: guidance - prose: - """ - Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities. - """ - links: - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-12 - rel: related - text: AU-12 - - - id: au-8_obj - name: objective - prose: Determine if: - parts: - - - id: au-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(a) - prose: - """ - the information system uses internal system clocks to generate time stamps for - audit records; - """ - - - id: au-8.b_obj - name: objective - properties: - - - name: label - value: AU-8(b) - parts: - - - id: au-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(b)[1] - prose: - """ - the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT); - """ - - - id: au-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(b)[2] - prose: - """ - the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and - """ - - - id: au-8.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(b)[3] - prose: - """ - the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing time stamp generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing time stamp generation - controls: - - - id: au-8.1 - class: SP800-53-enhancement - title: Synchronization with Authoritative Time Source - parameters: - - - id: au-8.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: At least hourly - - - id: au-8.1_prm_2 - label: organization-defined authoritative time source - constraints: - - - detail: http://tf.nist.gov/tf-cgi/servers.cgi - - - id: au-8.1_prm_3 - label: organization-defined time period - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-8(1) - - - name: sort-id - value: au-08.01 - parts: - - - id: au-8.1_smt - name: statement - prose: The information system: - parts: - - - id: au-8.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Compares the internal information system clocks {{ au-8.1_prm_1 }} with {{ au-8.1_prm_2 }}; and - - - id: au-8.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Synchronizes the internal system clocks to the authoritative time source when - the time difference is greater than {{ au-8.1_prm_3 }}. - """ - - - id: au-8.1_fr - name: item - title: AU-8 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-8.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. - - - id: au-8.1_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. - - - id: au-8.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Synchronization of system clocks improves the accuracy of log analysis. - - - id: au-8.1_gdn - name: guidance - prose: - """ - This control enhancement provides uniformity of time stamps for information - systems with multiple system clocks and systems connected over a network. - """ - - - id: au-8.1_obj - name: objective - prose: Determine if: - parts: - - - id: au-8.1.a_obj - name: objective - properties: - - - name: label - value: AU-8(1)(a) - parts: - - - id: au-8.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(1)(a)[1] - prose: - """ - the organization defines the authoritative time source to which internal - information system clocks are to be compared; - """ - - - id: au-8.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(1)(a)[2] - prose: - """ - the organization defines the frequency to compare the internal information - system clocks with the organization-defined authoritative time source; - and - """ - - - id: au-8.1.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(1)(a)[3] - prose: - """ - the information system compares the internal information system clocks with - the organization-defined authoritative time source with organization-defined - frequency; and - """ - links: - - - href: #au-8.1_smt.a - rel: corresp - text: AU-8(1)(a) - - - id: au-8.1.b_obj - name: objective - properties: - - - name: label - value: AU-8(1)(b) - parts: - - - id: au-8.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-8(1)(b)[1] - prose: - """ - the organization defines the time period that, if exceeded by the time - difference between the internal system clocks and the authoritative time - source, will result in the internal system clocks being synchronized to the - authoritative time source; and - """ - - - id: au-8.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-8(1)(b)[2] - prose: - """ - the information system synchronizes the internal information system clocks - to the authoritative time source when the time difference is greater than - the organization-defined time period. - """ - links: - - - href: #au-8.1_smt.b - rel: corresp - text: AU-8(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing time stamp generation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing internal information system clock - synchronization - """ - - - id: au-9 - class: SP800-53 - title: Protection of Audit Information - properties: - - - name: label - value: AU-9 - - - name: sort-id - value: au-09 - parts: - - - id: au-9_smt - name: statement - prose: - """ - The information system protects audit information and audit tools from unauthorized - access, modification, and deletion. - """ - - - id: au-9_gdn - name: guidance - prose: - """ - Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-6 - rel: related - text: PE-6 - - - id: au-9_obj - name: objective - prose: Determine if: - parts: - - - id: au-9_obj.1 - name: objective - properties: - - - name: label - value: AU-9[1] - prose: the information system protects audit information from unauthorized: - parts: - - - id: au-9_obj.1.a - name: objective - properties: - - - name: label - value: AU-9[1][a] - prose: access; - - - id: au-9_obj.1.b - name: objective - properties: - - - name: label - value: AU-9[1][b] - prose: modification; - - - id: au-9_obj.1.c - name: objective - properties: - - - name: label - value: AU-9[1][c] - prose: deletion; - - - id: au-9_obj.2 - name: objective - properties: - - - name: label - value: AU-9[2] - prose: the information system protects audit tools from unauthorized: - parts: - - - id: au-9_obj.2.a - name: objective - properties: - - - name: label - value: AU-9[2][a] - prose: access; - - - id: au-9_obj.2.b - name: objective - properties: - - - name: label - value: AU-9[2][b] - prose: modification; and - - - id: au-9_obj.2.c - name: objective - properties: - - - name: label - value: AU-9[2][c] - prose: deletion. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, - information system audit records\n\naudit tools\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit information protection - controls: - - - id: au-9.2 - class: SP800-53-enhancement - title: Audit Backup On Separate Physical Systems / Components - parameters: - - - id: au-9.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-9(2) - - - name: sort-id - value: au-09.02 - parts: - - - id: au-9.2_smt - name: statement - prose: - """ - The information system backs up audit records {{ au-9.2_prm_1 }} - onto a physically different system or system component than the system or - component being audited. - """ - - - id: au-9.2_gdn - name: guidance - prose: - """ - This control enhancement helps to ensure that a compromise of the information - system being audited does not also result in a compromise of the audit - records. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-11 - rel: related - text: AU-11 - - - id: au-9.2_obj - name: objective - prose: Determine if: - parts: - - - id: au-9.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-9(2)[1] - prose: - """ - the organization defines the frequency to back up audit records onto a - physically different system or system component than the system or component - being audited; and - """ - - - id: au-9.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-9(2)[2] - prose: - """ - the information system backs up audit records with the organization-defined - frequency, onto a physically different system or system component than the - system or component being audited. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, system - or media storing backups of information system audit records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing the backing up of audit records - - - id: au-9.4 - class: SP800-53-enhancement - title: Access by Subset of Privileged Users - parameters: - - - id: au-9.4_prm_1 - label: organization-defined subset of privileged users - properties: - - - name: label - value: AU-9(4) - - - name: sort-id - value: au-09.04 - parts: - - - id: au-9.4_smt - name: statement - prose: - """ - The organization authorizes access to management of audit functionality to only - {{ au-9.4_prm_1 }}. - """ - - - id: au-9.4_gdn - name: guidance - prose: - """ - Individuals with privileged access to an information system and who are also the - subject of an audit by that system, may affect the reliability of audit - information by inhibiting audit activities or modifying audit records. This - control enhancement requires that privileged access be further defined between - audit-related privileges and other privileges, thus limiting the users with - audit-related privileges. - """ - links: - - - href: #ac-5 - rel: related - text: AC-5 - - - id: au-9.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-9.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-9(4)[1] - prose: - """ - defines a subset of privileged users to be authorized access to management of - audit functionality; and - """ - - - id: au-9.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-9(4)[2] - prose: - """ - authorizes access to management of audit functionality to only the - organization-defined subset of privileged users. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Audit and accountability policy\n\naccess control policy and procedures\n\nprocedures addressing protection of audit information\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation, - system-generated list of privileged users with access to management of audit - functionality\n\naccess authorizations\n\naccess control list\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit and accountability responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms managing access to audit functionality - - - id: au-11 - class: SP800-53 - title: Audit Record Retention - parameters: - - - id: au-11_prm_1 - label: organization-defined time period consistent with records retention policy - constraints: - - - detail: at least ninety days - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: AU-11 - - - name: sort-id - value: au-11 - parts: - - - id: au-11_smt - name: statement - prose: - """ - The organization retains audit records for {{ au-11_prm_1 }} to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements. - """ - parts: - - - id: au-11_fr - name: item - title: AU-11 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-11_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. - - - id: au-11_gdn - name: guidance - prose: - """ - Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention. - """ - links: - - - href: #au-4 - rel: related - text: AU-4 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: au-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: au-11_obj.1 - name: objective - properties: - - - name: label - value: AU-11[1] - prose: - """ - defines a time period to retain audit records that is consistent with records - retention policy; - """ - - - id: au-11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: AU-11[2] - prose: - """ - retains audit records for the organization-defined time period consistent with - records retention policy to: - """ - parts: - - - id: au-11_obj.2.a - name: objective - properties: - - - name: label - value: AU-11[2][a] - prose: - """ - provide support for after-the-fact investigations of security incidents; - and - """ - - - id: au-11_obj.2.b - name: objective - properties: - - - name: label - value: AU-11[2][b] - prose: meet regulatory and organizational information retention requirements. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\naudit record retention policy and procedures\n\nsecurity plan\n\norganization-defined retention period for audit records\n\naudit record archives\n\naudit logs\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record retention responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: au-12 - class: SP800-53 - title: Audit Generation - parameters: - - - id: au-12_prm_1 - label: organization-defined information system components - constraints: - - - detail: all information system and network components where audit capability is deployed/available - - - id: au-12_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: AU-12 - - - name: sort-id - value: au-12 - parts: - - - id: au-12_smt - name: statement - prose: The information system: - parts: - - - id: au-12_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides audit record generation capability for the auditable events defined in - AU-2 a. at {{ au-12_prm_1 }}; - """ - - - id: au-12_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows {{ au-12_prm_2 }} to select which auditable events are to be - audited by specific components of the information system; and - """ - - - id: au-12_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3. - """ - - - id: au-12_gdn - name: guidance - prose: - """ - Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - id: au-12_obj - name: objective - prose: Determine if: - parts: - - - id: au-12.a_obj - name: objective - properties: - - - name: label - value: AU-12(a) - parts: - - - id: au-12.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(a)[1] - prose: - """ - the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a; - """ - - - id: au-12.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(a)[2] - prose: - """ - the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components; - """ - - - id: au-12.b_obj - name: objective - properties: - - - name: label - value: AU-12(b) - parts: - - - id: au-12.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: AU-12(b)[1] - prose: - """ - the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system; - """ - - - id: au-12.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(b)[2] - prose: - """ - the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and - """ - - - id: au-12.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: AU-12(c) - prose: - """ - the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Audit and accountability policy\n\nprocedures addressing audit record generation\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of auditable events\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with audit record generation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing audit record generation capability - - - id: ca - class: family - title: Security Assessment and Authorization - controls: - - - id: ca-1 - class: SP800-53 - title: Security Assessment and Authorization Policy and Procedures - parameters: - - - id: ca-1_prm_1 - label: organization-defined personnel or roles - - - id: ca-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ca-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-1 - - - name: sort-id - value: ca-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ca-1_smt - name: statement - prose: The organization: - parts: - - - id: ca-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ca-1_prm_1 }}: - parts: - - - id: ca-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ca-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and - """ - - - id: ca-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ca-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Security assessment and authorization policy {{ ca-1_prm_2 }}; - and - """ - - - id: ca-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security assessment and authorization procedures {{ ca-1_prm_3 }}. - - - id: ca-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ca-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-1.a_obj - name: objective - properties: - - - name: label - value: CA-1(a) - parts: - - - id: ca-1.a.1_obj - name: objective - properties: - - - name: label - value: CA-1(a)(1) - parts: - - - id: ca-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(1)[1] - prose: - """ - develops and documents a security assessment and authorization policy that - addresses: - """ - parts: - - - id: ca-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][a] - prose: purpose; - - - id: ca-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][b] - prose: scope; - - - id: ca-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][c] - prose: roles; - - - id: ca-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ca-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][e] - prose: management commitment; - - - id: ca-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ca-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CA-1(a)(1)[1][g] - prose: compliance; - - - id: ca-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated; - """ - - - id: ca-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-1(a)(1)[3] - prose: - """ - disseminates the security assessment and authorization policy to - organization-defined personnel or roles; - """ - - - id: ca-1.a.2_obj - name: objective - properties: - - - name: label - value: CA-1(a)(2) - parts: - - - id: ca-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls; - """ - - - id: ca-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ca-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ca-1.b_obj - name: objective - properties: - - - name: label - value: CA-1(b) - parts: - - - id: ca-1.b.1_obj - name: objective - properties: - - - name: label - value: CA-1(b)(1) - parts: - - - id: ca-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization policy; - """ - - - id: ca-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(1)[2] - prose: - """ - reviews and updates the current security assessment and authorization policy - with the organization-defined frequency; - """ - - - id: ca-1.b.2_obj - name: objective - properties: - - - name: label - value: CA-1(b)(2) - parts: - - - id: ca-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current security assessment - and authorization procedures; and - """ - - - id: ca-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-1(b)(2)[2] - prose: - """ - reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment and authorization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ca-2 - class: SP800-53 - title: Security Assessments - parameters: - - - id: ca-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-2_prm_2 - label: organization-defined individuals or roles - constraints: - - - detail: individuals or roles to include FedRAMP PMO - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-2 - - - name: sort-id - value: ca-02 - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-2_smt - name: statement - prose: The organization: - parts: - - - id: ca-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Security controls and control enhancements under assessment; - - - id: ca-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Assessment procedures to be used to determine security control effectiveness; - and - """ - - - id: ca-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Assessment environment, assessment team, and assessment roles and - responsibilities; - """ - - - id: ca-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Assesses the security controls in the information system and its environment of - operation {{ ca-2_prm_1 }} to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements; - """ - - - id: ca-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Produces a security assessment report that documents the results of the - assessment; and - """ - - - id: ca-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Provides the results of the security control assessment to {{ ca-2_prm_2 }}. - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-2_gdn - name: guidance - prose: - """ - Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control. - """ - links: - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(a) - prose: - """ - develops a security assessment plan that describes the scope of the assessment - including: - """ - parts: - - - id: ca-2.a.1_obj - name: objective - properties: - - - name: label - value: CA-2(a)(1) - prose: security controls and control enhancements under assessment; - - - id: ca-2.a.2_obj - name: objective - properties: - - - name: label - value: CA-2(a)(2) - prose: - """ - assessment procedures to be used to determine security control - effectiveness; - """ - - - id: ca-2.a.3_obj - name: objective - properties: - - - name: label - value: CA-2(a)(3) - parts: - - - id: ca-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[1] - prose: assessment environment; - - - id: ca-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[2] - prose: assessment team; - - - id: ca-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CA-2(a)(3)[3] - prose: assessment roles and responsibilities; - - - id: ca-2.b_obj - name: objective - properties: - - - name: label - value: CA-2(b) - parts: - - - id: ca-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(b)[1] - prose: - """ - defines the frequency to assess the security controls in the information system - and its environment of operation; - """ - - - id: ca-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(b)[2] - prose: - """ - assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements; - """ - - - id: ca-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(c) - prose: - """ - produces a security assessment report that documents the results of the - assessment; - """ - - - id: ca-2.d_obj - name: objective - properties: - - - name: label - value: CA-2(d) - parts: - - - id: ca-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(d)[1] - prose: - """ - defines individuals or roles to whom the results of the security control - assessment are to be provided; and - """ - - - id: ca-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(d)[2] - prose: - """ - provides the results of the security control assessment to organization-defined - individuals or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessment planning\n\nprocedures addressing security assessments\n\nsecurity assessment plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting - """ - controls: - - - id: ca-2.1 - class: SP800-53-enhancement - title: Independent Assessors - parameters: - - - id: ca-2.1_prm_1 - label: organization-defined level of independence - properties: - - - name: label - value: CA-2(1) - - - name: sort-id - value: ca-02.01 - parts: - - - id: ca-2.1_smt - name: statement - prose: The organization employs assessors or assessment teams with {{ ca-2.1_prm_1 }} to conduct security control assessments. - parts: - - - id: ca-2.1_fr - name: item - title: CA-2 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO). - - - id: ca-2.1_gdn - name: guidance - prose: - """ - Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments. - """ - - - id: ca-2.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(1)[1] - prose: - """ - defines the level of independence to be employed to conduct security control - assessments; and - """ - - - id: ca-2.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-2(1)[2] - prose: - """ - employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-2.2 - class: SP800-53-enhancement - title: Specialized Assessments - parameters: - - - id: ca-2.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-2.2_prm_2 - - - id: ca-2.2_prm_3 - - - id: ca-2.2_prm_4 - depends-on: ca-2.2_prm_3 - label: organization-defined other forms of security assessment - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-2(2) - - - name: sort-id - value: ca-02.02 - parts: - - - id: ca-2.2_smt - name: statement - prose: The organization includes as part of security control assessments, {{ ca-2.2_prm_1 }}, {{ ca-2.2_prm_2 }}, {{ ca-2.2_prm_3 }}. - parts: - - - id: ca-2.2_fr - name: item - title: CA-2 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: To include 'announced', 'vulnerability scanning' - - - id: ca-2.2_gdn - name: guidance - prose: - """ - Organizations can employ information system monitoring, insider threat - assessments, malicious user testing, and other forms of testing (e.g., - verification and validation) to improve readiness by exercising organizational - capabilities and indicating current performance levels as a means of focusing - actions to improve security. Organizations conduct assessment activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - regulations, and standards. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. Organizations can - incorporate vulnerabilities uncovered during assessments into vulnerability - remediation processes. - """ - links: - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ca-2.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(2)[1] - prose: - """ - selects one or more of the following forms of specialized security assessment - to be included as part of security control assessments: - """ - parts: - - - id: ca-2.2_obj.1.a - name: objective - properties: - - - name: label - value: CA-2(2)[1][a] - prose: in-depth monitoring; - - - id: ca-2.2_obj.1.b - name: objective - properties: - - - name: label - value: CA-2(2)[1][b] - prose: vulnerability scanning; - - - id: ca-2.2_obj.1.c - name: objective - properties: - - - name: label - value: CA-2(2)[1][c] - prose: malicious user testing; - - - id: ca-2.2_obj.1.d - name: objective - properties: - - - name: label - value: CA-2(2)[1][d] - prose: insider threat assessment; - - - id: ca-2.2_obj.1.e - name: objective - properties: - - - name: label - value: CA-2(2)[1][e] - prose: performance/load testing; and/or - - - id: ca-2.2_obj.1.f - name: objective - properties: - - - name: label - value: CA-2(2)[1][f] - prose: other forms of organization-defined specialized security assessment; - - - id: ca-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(2)[2] - prose: - """ - defines the frequency for conducting the selected form(s) of specialized - security assessment; - """ - - - id: ca-2.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(2)[3] - prose: - """ - defines whether the specialized security assessment will be announced or - unannounced; and - """ - - - id: ca-2.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-2(2)[4] - prose: - """ - conducts announced or unannounced organization-defined forms of specialized - security assessments with the organization-defined frequency as part of - security control assessments. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity plan\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting security control assessment - - - id: ca-2.3 - class: SP800-53-enhancement - title: External Organizations - parameters: - - - id: ca-2.3_prm_1 - label: organization-defined information system - constraints: - - - detail: any FedRAMP Accredited 3PAO - - - id: ca-2.3_prm_2 - label: organization-defined external organization - constraints: - - - detail: any FedRAMP Accredited 3PAO - - - id: ca-2.3_prm_3 - label: organization-defined requirements - constraints: - - - detail: the conditions of the JAB/AO in the FedRAMP Repository - properties: - - - name: label - value: CA-2(3) - - - name: sort-id - value: ca-02.03 - parts: - - - id: ca-2.3_smt - name: statement - prose: - """ - The organization accepts the results of an assessment of {{ ca-2.3_prm_1 }} performed by {{ ca-2.3_prm_2 }} when - the assessment meets {{ ca-2.3_prm_3 }}. - """ - - - id: ca-2.3_gdn - name: guidance - prose: - """ - Organizations may often rely on assessments of specific information systems by - other (external) organizations. Utilizing such existing assessments (i.e., reusing - existing assessment evidence) can significantly decrease the time and resources - required for organizational assessments by limiting the amount of independent - assessment activities that organizations need to perform. The factors that - organizations may consider in determining whether to accept assessment results - from external organizations can vary. Determinations for accepting assessment - results can be based on, for example, past assessment experiences one organization - has had with another organization, the reputation that organizations have with - regard to assessments, the level of detail of supporting assessment documentation - provided, or mandates imposed upon organizations by federal legislation, policies, - or directives. - """ - - - id: ca-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(3)[1] - prose: - """ - defines an information system for which the results of a security assessment - performed by an external organization are to be accepted; - """ - - - id: ca-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(3)[2] - prose: - """ - defines an external organization from which to accept a security assessment - performed on an organization-defined information system; - """ - - - id: ca-2.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-2(3)[3] - prose: - """ - defines the requirements to be met by a security assessment performed by - organization-defined external organization on organization-defined information - system; and - """ - - - id: ca-2.3_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-2(3)[4] - prose: - """ - accepts the results of an assessment of an organization-defined information - system performed by an organization-defined external organization when the - assessment meets organization-defined requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security assessments\n\nsecurity plan\n\nsecurity assessment requirements\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nplan of action and milestones\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel performing security assessments for the specified external - organization - """ - - - id: ca-3 - class: SP800-53 - title: System Interconnections - parameters: - - - id: ca-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually and on input from FedRAMP - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-3 - - - name: sort-id - value: ca-03 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #2711f068-734e-4afd-94ba-0b22247fbc88 - rel: reference - text: NIST Special Publication 800-47 - parts: - - - id: ca-3_smt - name: statement - prose: The organization: - parts: - - - id: ca-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and - """ - - - id: ca-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates Interconnection Security Agreements {{ ca-3_prm_1 }}. - - - id: ca-3_gdn - name: guidance - prose: - """ - This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #au-16 - rel: related - text: AU-16 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(a) - prose: - """ - authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements; - """ - - - id: ca-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(b) - prose: documents, for each interconnection: - parts: - - - id: ca-3.b_obj.1 - name: objective - properties: - - - name: label - value: CA-3(b)[1] - prose: the interface characteristics; - - - id: ca-3.b_obj.2 - name: objective - properties: - - - name: label - value: CA-3(b)[2] - prose: the security requirements; - - - id: ca-3.b_obj.3 - name: objective - properties: - - - name: label - value: CA-3(b)[3] - prose: the nature of the information communicated; - - - id: ca-3.c_obj - name: objective - properties: - - - name: label - value: CA-3(c) - parts: - - - id: ca-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(c)[1] - prose: - """ - defines the frequency to review and update Interconnection Security Agreements; - and - """ - - - id: ca-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(c)[2] - prose: - """ - reviews and updates Interconnection Security Agreements with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system Interconnection Security Agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements\n\norganizational personnel with information security responsibilities\n\npersonnel managing the system(s) to which the Interconnection Security Agreement - applies - """ - controls: - - - id: ca-3.3 - class: SP800-53-enhancement - title: Unclassified Non-national Security System Connections - parameters: - - - id: ca-3.3_prm_1 - label: organization-defined unclassified, non-national security system - - - id: ca-3.3_prm_2 - label: Assignment; organization-defined boundary protection device - constraints: - - - detail: Boundary Protections which meet the Trusted Internet Connection (TIC) requirements - properties: - - - name: label - value: CA-3(3) - - - name: sort-id - value: ca-03.03 - parts: - - - id: ca-3.3_smt - name: statement - prose: The organization prohibits the direct connection of an {{ ca-3.3_prm_1 }} to an external network without the use of {{ ca-3.3_prm_2 }}. - parts: - - - id: ca-3.3_fr - name: item - title: CA-3 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document. - - - id: ca-3.3_gdn - name: guidance - prose: - """ - Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between unclassified non-national - security systems and external networks. This control enhancement is required for - organizations processing, storing, or transmitting Controlled Unclassified - Information (CUI). - """ - - - id: ca-3.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-3(3)[1] - prose: - """ - defines an unclassified, non-national security system whose direct connection - to an external network is to be prohibited without the use of approved boundary - protection device; - """ - - - id: ca-3.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(3)[2] - prose: - """ - defines a boundary protection device to be used to establish the direct - connection of an organization-defined unclassified, non-national security - system to an external network; and - """ - - - id: ca-3.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-3(3)[3] - prose: - """ - prohibits the direct connection of an organization-defined unclassified, - non-national security system to an external network without the use of an - organization-defined boundary protection device. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system interconnection security agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for managing direct connections to - external networks\n\nnetwork administrators\n\norganizational personnel with information security responsibilities\n\npersonnel managing directly connected external networks - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting the management of external network - connections - """ - - - id: ca-3.5 - class: SP800-53-enhancement - title: Restrictions On External System Connections - parameters: - - - id: ca-3.5_prm_1 - - - id: ca-3.5_prm_2 - label: organization-defined information systems - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-3(5) - - - name: sort-id - value: ca-03.05 - parts: - - - id: ca-3.5_smt - name: statement - prose: - """ - The organization employs {{ ca-3.5_prm_1 }} policy for allowing - {{ ca-3.5_prm_2 }} to connect to external information - systems. - """ - parts: - - - id: ca-3.5_fr - name: item - title: CA-3 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing - - - id: ca-3.5_gdn - name: guidance - prose: - """ - Organizations can constrain information system connectivity to external domains - (e.g., websites) by employing one of two policies with regard to such - connectivity: (i) allow-all, deny by exception, also known as blacklisting (the - weaker of the two policies); or (ii) deny-all, allow by exception, also known as - whitelisting (the stronger of the two policies). For either policy, organizations - determine what exceptions, if any, are acceptable. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - id: ca-3.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-3.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-3(5)[1] - prose: - """ - defines information systems to be allowed to connect to external information - systems; - """ - - - id: ca-3.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-3(5)[2] - prose: - """ - employs one of the following policies for allowing organization-defined - information systems to connect to external information systems: - """ - parts: - - - id: ca-3.5_obj.2.a - name: objective - properties: - - - name: label - value: CA-3(5)[2][a] - prose: allow-all policy; - - - id: ca-3.5_obj.2.b - name: objective - properties: - - - name: label - value: CA-3(5)[2][b] - prose: deny-by-exception policy; - - - id: ca-3.5_obj.2.c - name: objective - properties: - - - name: label - value: CA-3(5)[2][c] - prose: deny-all policy; or - - - id: ca-3.5_obj.2.d - name: objective - properties: - - - name: label - value: CA-3(5)[2][d] - prose: permit-by-exception policy. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\ninformation system interconnection agreements\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for managing connections to - external information systems\n\nnetwork administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing restrictions on external system - connections - """ - - - id: ca-5 - class: SP800-53 - title: Plan of Action and Milestones - parameters: - - - id: ca-5_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-5 - - - name: sort-id - value: ca-05 - links: - - - href: #2c5884cd-7b96-425c-862a-99877e1cf909 - rel: reference - text: OMB Memorandum 02-01 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - parts: - - - id: ca-5_smt - name: statement - prose: The organization: - parts: - - - id: ca-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and - """ - - - id: ca-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates existing plan of action and milestones {{ ca-5_prm_1 }} - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities. - """ - - - id: ca-5_fr - name: item - title: CA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Plan of Action & Milestones (POA&M) must be provided at least monthly. - - - id: ca-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-5_gdn - name: guidance - prose: - """ - Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-4 - rel: related - text: PM-4 - - - id: ca-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-5(a) - prose: develops a plan of action and milestones for the information system to: - parts: - - - id: ca-5.a_obj.1 - name: objective - properties: - - - name: label - value: CA-5(a)[1] - prose: - """ - document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls; - """ - - - id: ca-5.a_obj.2 - name: objective - properties: - - - name: label - value: CA-5(a)[2] - prose: reduce or eliminate known vulnerabilities in the system; - - - id: ca-5.b_obj - name: objective - properties: - - - name: label - value: CA-5(b) - parts: - - - id: ca-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-5(b)[1] - prose: defines the frequency to update the existing plan of action and milestones; - - - id: ca-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-5(b)[2] - prose: - """ - updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from: - """ - parts: - - - id: ca-5.b_obj.2.a - name: objective - properties: - - - name: label - value: CA-5(b)[2][a] - prose: security controls assessments; - - - id: ca-5.b_obj.2.b - name: objective - properties: - - - name: label - value: CA-5(b)[2][b] - prose: security impact analyses; and - - - id: ca-5.b_obj.2.c - name: objective - properties: - - - name: label - value: CA-5(b)[2][c] - prose: continuous monitoring activities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing plan of action and milestones\n\nsecurity plan\n\nsecurity assessment plan\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nplan of action and milestones\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with plan of action and milestones development and - implementation responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones - """ - - - id: ca-6 - class: SP800-53 - title: Security Authorization - parameters: - - - id: ca-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - properties: - - - name: label - value: CA-6 - - - name: sort-id - value: ca-06 - links: - - - href: #9f77f845-e3ea-4ca4-b2c0-aa9eedc214ab - rel: reference - text: OMB Circular A-130 - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: ca-6_smt - name: statement - prose: The organization: - parts: - - - id: ca-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and - """ - - - id: ca-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: Updates the security authorization {{ ca-6_prm_1 }}. - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO. - - - id: ca-6_gdn - name: guidance - prose: - """ - Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-10 - rel: related - text: PM-10 - - - id: ca-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-6(a) - prose: - """ - assigns a senior-level executive or manager as the authorizing official for the - information system; - """ - - - id: ca-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-6(b) - prose: - """ - ensures that the authorizing official authorizes the information system for - processing before commencing operations; - """ - - - id: ca-6.c_obj - name: objective - properties: - - - name: label - value: CA-6(c) - parts: - - - id: ca-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-6(c)[1] - prose: defines the frequency to update the security authorization; and - - - id: ca-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-6(c)[2] - prose: updates the security authorization with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing security authorization\n\nsecurity authorization package (including security plan\n\nsecurity assessment report\n\nplan of action and milestones\n\nauthorization statement)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security authorization responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms that facilitate security authorizations and updates - - - id: ca-7 - class: SP800-53 - title: Continuous Monitoring - parameters: - - - id: ca-7_prm_1 - label: organization-defined metrics - - - id: ca-7_prm_2 - label: organization-defined frequencies - - - id: ca-7_prm_3 - label: organization-defined frequencies - - - id: ca-7_prm_4 - label: organization-defined personnel or roles - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - - - id: ca-7_prm_5 - label: organization-defined frequency - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-7 - - - name: sort-id - value: ca-07 - links: - - - href: #bedb15b7-ec5c-4a68-807f-385125751fcd - rel: reference - text: OMB Memorandum 11-33 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #8ade2fbe-e468-4ca8-9a40-54d7f23c32bb - rel: reference - text: US-CERT Technical Cyber Security Alerts - - - href: #2d8b14e9-c8b5-4d3d-8bdc-155078f3281b - rel: reference - text: DoD Information Assurance Vulnerability Alerts - parts: - - - id: ca-7_smt - name: statement - prose: - """ - The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes: - """ - parts: - - - id: ca-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Establishment of {{ ca-7_prm_1 }} to be monitored; - - - id: ca-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishment of {{ ca-7_prm_2 }} for monitoring and {{ ca-7_prm_3 }} for assessments supporting such monitoring; - - - id: ca-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy; - """ - - - id: ca-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Correlation and analysis of security-related information generated by assessments - and monitoring; - """ - - - id: ca-7_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Response actions to address results of the analysis of security-related - information; and - """ - - - id: ca-7_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Reporting the security status of organization and the information system to - {{ ca-7_prm_4 }} - {{ ca-7_prm_5 }}. - """ - - - id: ca-7_fr - name: item - title: CA-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually. - - - id: ca-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates. - - - id: ca-7_fr_gdn.2 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - id: ca-7_gdn - name: guidance - prose: - """ - Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-5 - rel: related - text: CA-5 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #pm-6 - rel: related - text: PM-6 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-7.a_obj - name: objective - properties: - - - name: label - value: CA-7(a) - parts: - - - id: ca-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(a)[1] - prose: - """ - develops a continuous monitoring strategy that defines metrics to be - monitored; - """ - - - id: ca-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(a)[2] - prose: - """ - develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics; - """ - - - id: ca-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(a)[3] - prose: - """ - implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy; - """ - - - id: ca-7.b_obj - name: objective - properties: - - - name: label - value: CA-7(b) - parts: - - - id: ca-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[1] - prose: - """ - develops a continuous monitoring strategy that defines frequencies for - monitoring; - """ - - - id: ca-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[2] - prose: defines frequencies for assessments supporting monitoring; - - - id: ca-7.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(b)[3] - prose: - """ - develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring; - """ - - - id: ca-7.b_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(b)[4] - prose: - """ - implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.c_obj - name: objective - properties: - - - name: label - value: CA-7(c) - parts: - - - id: ca-7.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(c)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security - control assessments; - """ - - - id: ca-7.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(c)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.d_obj - name: objective - properties: - - - name: label - value: CA-7(d) - parts: - - - id: ca-7.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(d)[1] - prose: - """ - develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics; - """ - - - id: ca-7.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(d)[2] - prose: - """ - implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy; - """ - - - id: ca-7.e_obj - name: objective - properties: - - - name: label - value: CA-7(e) - parts: - - - id: ca-7.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(e)[1] - prose: - """ - develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring; - """ - - - id: ca-7.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(e)[2] - prose: - """ - implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy; - """ - - - id: ca-7.f_obj - name: objective - properties: - - - name: label - value: CA-7(f) - parts: - - - id: ca-7.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(f)[1] - prose: - """ - develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information; - """ - - - id: ca-7.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(f)[2] - prose: - """ - implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy; - """ - - - id: ca-7.g_obj - name: objective - properties: - - - name: label - value: CA-7(g) - parts: - - - id: ca-7.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[1] - prose: - """ - develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported; - """ - - - id: ca-7.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[2] - prose: - """ - develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles; - """ - - - id: ca-7.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(g)[3] - prose: - """ - develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and - """ - - - id: ca-7.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-7(g)[4] - prose: - """ - implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nprocedures addressing configuration management\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nconfiguration management records, security impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Mechanisms implementing continuous monitoring - controls: - - - id: ca-7.1 - class: SP800-53-enhancement - title: Independent Assessment - parameters: - - - id: ca-7.1_prm_1 - label: organization-defined level of independence - properties: - - - name: label - value: CA-7(1) - - - name: sort-id - value: ca-07.01 - parts: - - - id: ca-7.1_smt - name: statement - prose: - """ - The organization employs assessors or assessment teams with {{ ca-7.1_prm_1 }} to monitor the security controls in the information - system on an ongoing basis. - """ - - - id: ca-7.1_gdn - name: guidance - prose: - """ - Organizations can maximize the value of assessments of security controls during - the continuous monitoring process by requiring that such assessments be conducted - by assessors or assessment teams with appropriate levels of independence based on - continuous monitoring strategies. Assessor independence provides a degree of - impartiality to the monitoring process. To achieve such impartiality, assessors - should not: (i) create a mutual or conflicting interest with the organizations - where the assessments are being conducted; (ii) assess their own work; (iii) act - as management or employees of the organizations they are serving; or (iv) place - themselves in advocacy positions for the organizations acquiring their - services. - """ - - - id: ca-7.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-7.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-7(1)[1] - prose: - """ - defines a level of independence to be employed to monitor the security controls - in the information system on an ongoing basis; and - """ - - - id: ca-7.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-7(1)[2] - prose: - """ - employs assessors or assessment teams with the organization-defined level of - independence to monitor the security controls in the information system on an - ongoing basis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security assessment and authorization policy\n\nprocedures addressing continuous monitoring of information system security - controls\n\nsecurity plan\n\nsecurity assessment report\n\nplan of action and milestones\n\ninformation system monitoring records\n\nsecurity impact analyses\n\nstatus reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with continuous monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-8 - class: SP800-53 - title: Penetration Testing - parameters: - - - id: ca-8_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ca-8_prm_2 - label: organization-defined information systems or system components - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-8 - - - name: sort-id - value: ca-08 - parts: - - - id: ca-8_smt - name: statement - prose: - """ - The organization conducts penetration testing {{ ca-8_prm_1 }} on - {{ ca-8_prm_2 }}. - """ - parts: - - - id: ca-8_fr - name: item - title: CA-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance [https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/) - - """ - - - id: ca-8_gdn - name: guidance - prose: - """ - Penetration testing is a specialized type of assessment conducted on information - systems or individual system components to identify vulnerabilities that could be - exploited by adversaries. Such testing can be used to either validate vulnerabilities - or determine the degree of resistance organizational information systems have to - adversaries within a set of specified constraints (e.g., time, resources, and/or - skills). Penetration testing attempts to duplicate the actions of adversaries in - carrying out hostile cyber attacks against organizations and provides a more in-depth - analysis of security-related weaknesses/deficiencies. Organizations can also use the - results of vulnerability analyses to support penetration testing activities. - Penetration testing can be conducted on the hardware, software, or firmware - components of an information system and can exercise both physical and technical - security controls. A standard method for penetration testing includes, for example: - (i) pretest analysis based on full knowledge of the target system; (ii) pretest - identification of potential vulnerabilities based on pretest analysis; and (iii) - testing designed to determine exploitability of identified vulnerabilities. All - parties agree to the rules of engagement before the commencement of penetration - testing scenarios. Organizations correlate the penetration testing rules of - engagement with the tools, techniques, and procedures that are anticipated to be - employed by adversaries carrying out attacks. Organizational risk assessments guide - decisions on the level of independence required for personnel conducting penetration - testing. - """ - links: - - - href: #sa-12 - rel: related - text: SA-12 - - - id: ca-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-8_obj.1 - name: objective - properties: - - - name: label - value: CA-8[1] - prose: - """ - defines information systems or system components on which penetration testing is - to be conducted; - """ - - - id: ca-8_obj.2 - name: objective - properties: - - - name: label - value: CA-8[2] - prose: - """ - defines the frequency to conduct penetration testing on organization-defined - information systems or system components; and - """ - - - id: ca-8_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CA-8[3] - prose: - """ - conducts penetration testing on organization-defined information systems or system - components with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing penetration testing\n\nsecurity plan\n\nsecurity assessment plan\n\npenetration test report\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities, - system/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting penetration testing - controls: - - - id: ca-8.1 - class: SP800-53-enhancement - title: Independent Penetration Agent or Team - properties: - - - name: label - value: CA-8(1) - - - name: sort-id - value: ca-08.01 - parts: - - - id: ca-8.1_smt - name: statement - prose: - """ - The organization employs an independent penetration agent or penetration team to - perform penetration testing on the information system or system components. - """ - - - id: ca-8.1_gdn - name: guidance - prose: - """ - Independent penetration agents or teams are individuals or groups who conduct - impartial penetration testing of organizational information systems. Impartiality - implies that penetration agents or teams are free from any perceived or actual - conflicts of interest with regard to the development, operation, or management of - the information systems that are the targets of the penetration testing. - Supplemental guidance for CA-2 (1) provides additional information regarding - independent assessments that can be applied to penetration testing. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - id: ca-8.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization employs an independent penetration agent or - penetration team to perform penetration testing on the information system or - system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security assessment and authorization policy\n\nprocedures addressing penetration testing\n\nsecurity plan\n\nsecurity assessment plan\n\npenetration test report\n\nsecurity assessment report\n\nsecurity assessment evidence\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with security assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ca-9 - class: SP800-53 - title: Internal System Connections - parameters: - - - id: ca-9_prm_1 - label: - """ - organization-defined information system components or classes of - components - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CA-9 - - - name: sort-id - value: ca-09 - parts: - - - id: ca-9_smt - name: statement - prose: The organization: - parts: - - - id: ca-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Authorizes internal connections of {{ ca-9_prm_1 }} to the - information system; and - """ - - - id: ca-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated. - """ - - - id: ca-9_gdn - name: guidance - prose: - """ - This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ca-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ca-9.a_obj - name: objective - properties: - - - name: label - value: CA-9(a) - parts: - - - id: ca-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-9(a)[1] - prose: - """ - defines information system components or classes of components to be authorized - as internal connections to the information system; - """ - - - id: ca-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CA-9(a)[2] - prose: - """ - authorizes internal connections of organization-defined information system - components or classes of components to the information system; - """ - - - id: ca-9.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CA-9(b) - prose: documents, for each internal connection: - parts: - - - id: ca-9.b_obj.1 - name: objective - properties: - - - name: label - value: CA-9(b)[1] - prose: the interface characteristics; - - - id: ca-9.b_obj.2 - name: objective - properties: - - - name: label - value: CA-9(b)[2] - prose: the security requirements; and - - - id: ca-9.b_obj.3 - name: objective - properties: - - - name: label - value: CA-9(b)[3] - prose: the nature of the information communicated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Access control policy\n\nprocedures addressing information system connections\n\nsystem and communications protection policy\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of components or classes of components authorized as internal system - connections\n\nsecurity assessment report\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections\n\norganizational personnel with information security responsibilities - """ - - - id: cm - class: family - title: Configuration Management - controls: - - - id: cm-1 - class: SP800-53 - title: Configuration Management Policy and Procedures - parameters: - - - id: cm-1_prm_1 - label: organization-defined personnel or roles - - - id: cm-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: cm-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-1 - - - name: sort-id - value: cm-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cm-1_smt - name: statement - prose: The organization: - parts: - - - id: cm-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cm-1_prm_1 }}: - parts: - - - id: cm-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cm-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and - """ - - - id: cm-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cm-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Configuration management policy {{ cm-1_prm_2 }}; and - - - id: cm-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Configuration management procedures {{ cm-1_prm_3 }}. - - - id: cm-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cm-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-1.a_obj - name: objective - properties: - - - name: label - value: CM-1(a) - parts: - - - id: cm-1.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(1) - parts: - - - id: cm-1.a.1_obj.1 - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1] - prose: develops and documents a configuration management policy that addresses: - parts: - - - id: cm-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][a] - prose: purpose; - - - id: cm-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][b] - prose: scope; - - - id: cm-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][c] - prose: roles; - - - id: cm-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][d] - prose: responsibilities; - - - id: cm-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][e] - prose: management commitment; - - - id: cm-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cm-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CM-1(a)(1)[1][g] - prose: compliance; - - - id: cm-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the configuration management policy is to - be disseminated; - """ - - - id: cm-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-1(a)(1)[3] - prose: - """ - disseminates the configuration management policy to organization-defined - personnel or roles; - """ - - - id: cm-1.a.2_obj - name: objective - properties: - - - name: label - value: CM-1(a)(2) - parts: - - - id: cm-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls; - """ - - - id: cm-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cm-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: cm-1.b_obj - name: objective - properties: - - - name: label - value: CM-1(b) - parts: - - - id: cm-1.b.1_obj - name: objective - properties: - - - name: label - value: CM-1(b)(1) - parts: - - - id: cm-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current configuration - management policy; - """ - - - id: cm-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(1)[2] - prose: - """ - reviews and updates the current configuration management policy with the - organization-defined frequency; - """ - - - id: cm-1.b.2_obj - name: objective - properties: - - - name: label - value: CM-1(b)(2) - parts: - - - id: cm-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current configuration - management procedures; and - """ - - - id: cm-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-1(b)(2)[2] - prose: - """ - reviews and updates the current configuration management procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - id: cm-2 - class: SP800-53 - title: Baseline Configuration - properties: - - - name: label - value: CM-2 - - - name: sort-id - value: cm-02 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-2_smt - name: statement - prose: - """ - The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system. - """ - - - id: cm-2_gdn - name: guidance - prose: - """ - This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #pm-5 - rel: related - text: PM-5 - - - href: #pm-7 - rel: related - text: PM-7 - - - id: cm-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-2[1] - prose: - """ - develops and documents a current baseline configuration of the information system; - and - """ - - - id: cm-2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2[2] - prose: - """ - maintains, under configuration control, a current baseline configuration of the - information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\nenterprise architecture documentation\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting configuration control of the baseline - configuration - """ - controls: - - - id: cm-2.1 - class: SP800-53-enhancement - title: Reviews and Updates - parameters: - - - id: cm-2.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually or when a significant change occurs - - - id: cm-2.1_prm_2 - label: Assignment organization-defined circumstances - constraints: - - - detail: to include when directed by the JAB - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-2(1) - - - name: sort-id - value: cm-02.01 - parts: - - - id: cm-2.1_smt - name: statement - prose: - """ - The organization reviews and updates the baseline configuration of the information - system: - """ - parts: - - - id: cm-2.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - - {{ cm-2.1_prm_1 }}; - """ - - - id: cm-2.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: When required due to {{ cm-2.1_prm_2 }}; and - - - id: cm-2.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - As an integral part of information system component installations and - upgrades. - """ - - - id: cm-2.1_gdn - name: guidance - links: - - - href: #cm-5 - rel: related - text: CM-5 - - - id: cm-2.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2.1.a_obj - name: objective - properties: - - - name: label - value: CM-2(1)(a) - parts: - - - id: cm-2.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(1)(a)[1] - prose: - """ - defines the frequency to review and update the baseline configuration of the - information system; - """ - - - id: cm-2.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(1)(a)[2] - prose: - """ - reviews and updates the baseline configuration of the information system - with the organization-defined frequency; - """ - links: - - - href: #cm-2.1_smt.a - rel: corresp - text: CM-2(1)(a) - - - id: cm-2.1.b_obj - name: objective - properties: - - - name: label - value: CM-2(1)(b) - parts: - - - id: cm-2.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(1)(b)[1] - prose: - """ - defines circumstances that require the baseline configuration of the - information system to be reviewed and updated; - """ - - - id: cm-2.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(1)(b)[2] - prose: - """ - reviews and updates the baseline configuration of the information system - when required due to organization-defined circumstances; and - """ - links: - - - href: #cm-2.1_smt.b - rel: corresp - text: CM-2(1)(b) - - - id: cm-2.1.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(1)(c) - prose: - """ - reviews and updates the baseline configuration of the information system as an - integral part of information system component installations and upgrades. - """ - links: - - - href: #cm-2.1_smt.c - rel: corresp - text: CM-2(1)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing the baseline configuration of the information system\n\nprocedures addressing information system component installations and - upgrades\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of information system baseline configuration reviews and updates\n\ninformation system component installations/upgrades and associated records\n\nchange control records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing baseline configurations\n\nautomated mechanisms supporting review and update of the baseline - configuration - """ - - - id: cm-2.2 - class: SP800-53-enhancement - title: Automation Support for Accuracy / Currency - properties: - - - name: label - value: CM-2(2) - - - name: sort-id - value: cm-02.02 - parts: - - - id: cm-2.2_smt - name: statement - prose: - """ - The organization employs automated mechanisms to maintain an up-to-date, complete, - accurate, and readily available baseline configuration of the information - system. - """ - - - id: cm-2.2_gdn - name: guidance - prose: - """ - Automated mechanisms that help organizations maintain consistent baseline - configurations for information systems include, for example, hardware and software - inventory tools, configuration management tools, and network management tools. - Such tools can be deployed and/or allocated as common controls, at the information - system level, or at the operating system or component level (e.g., on - workstations, servers, notebook computers, network components, or mobile devices). - Tools can be used, for example, to track version numbers on operating system - applications, types of software installed, and current patch levels. This control - enhancement can be satisfied by the implementation of CM-8 (2) for organizations - that choose to combine information system component inventory and baseline - configuration activities. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: cm-2.2_obj - name: objective - prose: Determine if the organization employs automated mechanisms to maintain: - parts: - - - id: cm-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[1] - prose: an up-to-date baseline configuration of the information system; - - - id: cm-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[2] - prose: a complete baseline configuration of the information system; - - - id: cm-2.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[3] - prose: an accurate baseline configuration of the information system; and - - - id: cm-2.2_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(2)[4] - prose: a readily available baseline configuration of the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nconfiguration change control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing baseline configurations\n\nautomated mechanisms implementing baseline configuration maintenance - - - id: cm-2.3 - class: SP800-53-enhancement - title: Retention of Previous Configurations - parameters: - - - id: cm-2.3_prm_1 - label: - """ - organization-defined previous versions of baseline configurations of the - information system - """ - properties: - - - name: label - value: CM-2(3) - - - name: sort-id - value: cm-02.03 - parts: - - - id: cm-2.3_smt - name: statement - prose: - """ - The organization retains {{ cm-2.3_prm_1 }} to support - rollback. - """ - - - id: cm-2.3_gdn - name: guidance - prose: - """ - Retaining previous versions of baseline configurations to support rollback may - include, for example, hardware, software, firmware, configuration files, and - configuration records. - """ - - - id: cm-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(3)[1] - prose: - """ - defines previous versions of baseline configurations of the information system - to be retained to support rollback; and - """ - - - id: cm-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(3)[2] - prose: - """ - retains organization-defined previous versions of baseline configurations of - the information system to support rollback. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing the baseline configuration of the information system\n\nconfiguration management plan\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\ncopies of previous baseline configuration versions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing baseline configurations - - - id: cm-2.7 - class: SP800-53-enhancement - title: Configure Systems, Components, or Devices for High-risk Areas - parameters: - - - id: cm-2.7_prm_1 - label: - """ - organization-defined information systems, system components, or - devices - """ - - - id: cm-2.7_prm_2 - label: organization-defined configurations - - - id: cm-2.7_prm_3 - label: organization-defined security safeguards - properties: - - - name: label - value: CM-2(7) - - - name: sort-id - value: cm-02.07 - parts: - - - id: cm-2.7_smt - name: statement - prose: The organization: - parts: - - - id: cm-2.7_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Issues {{ cm-2.7_prm_1 }} with {{ cm-2.7_prm_2 }} - to individuals traveling to locations that the organization deems to be of - significant risk; and - """ - - - id: cm-2.7_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Applies {{ cm-2.7_prm_3 }} to the devices when the individuals - return. - """ - - - id: cm-2.7_gdn - name: guidance - prose: - """ - When it is known that information systems, system components, or devices (e.g., - notebook computers, mobile devices) will be located in high-risk areas, additional - security controls may be implemented to counter the greater threat in such areas - coupled with the lack of physical security relative to organizational-controlled - areas. For example, organizational policies and procedures for notebook computers - used by individuals departing on and returning from travel include, for example, - determining which locations are of concern, defining required configurations for - the devices, ensuring that the devices are configured as intended before travel is - initiated, and applying specific safeguards to the device after travel is - completed. Specially configured notebook computers include, for example, computers - with sanitized hard drives, limited applications, and additional hardening (e.g., - more stringent configuration settings). Specified safeguards applied to mobile - devices upon return from travel include, for example, examining the device for - signs of physical tampering and purging/reimaging the hard disk drive. Protecting - information residing on mobile devices is covered in the media protection - family. - """ - - - id: cm-2.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-2.7.a_obj - name: objective - properties: - - - name: label - value: CM-2(7)(a) - parts: - - - id: cm-2.7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(7)(a)[1] - prose: - """ - defines information systems, system components, or devices to be issued to - individuals traveling to locations that the organization deems to be of - significant risk; - """ - - - id: cm-2.7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(7)(a)[2] - prose: - """ - defines configurations to be employed on organization-defined information - systems, system components, or devices issued to individuals traveling to - such locations; - """ - - - id: cm-2.7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(7)(a)[3] - prose: - """ - issues organization-defined information systems, system components, or - devices with organization-defined configurations to individuals traveling to - locations that the organization deems to be of significant risk; - """ - links: - - - href: #cm-2.7_smt.a - rel: corresp - text: CM-2(7)(a) - - - id: cm-2.7.b_obj - name: objective - properties: - - - name: label - value: CM-2(7)(b) - parts: - - - id: cm-2.7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-2(7)(b)[1] - prose: - """ - defines security safeguards to be applied to the devices when the - individuals return; and - """ - - - id: cm-2.7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-2(7)(b)[2] - prose: - """ - applies organization-defined safeguards to the devices when the individuals - return. - """ - links: - - - href: #cm-2.7_smt.b - rel: corresp - text: CM-2(7)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing the baseline configuration of the information system\n\nprocedures addressing information system component installations and - upgrades\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of information system baseline configuration reviews and updates\n\ninformation system component installations/upgrades and associated records\n\nchange control records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing baseline configurations - - - id: cm-3 - class: SP800-53 - title: Configuration Change Control - parameters: - - - id: cm-3_prm_1 - label: organization-defined time period - - - id: cm-3_prm_2 - label: - """ - organization-defined configuration change control element (e.g., committee, - board) - """ - - - id: cm-3_prm_3 - - - id: cm-3_prm_4 - depends-on: cm-3_prm_3 - label: organization-defined frequency - - - id: cm-3_prm_5 - depends-on: cm-3_prm_3 - label: organization-defined configuration change conditions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-3 - - - name: sort-id - value: cm-03 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-3_smt - name: statement - prose: The organization: - parts: - - - id: cm-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines the types of changes to the information system that are - configuration-controlled; - """ - - - id: cm-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses; - """ - - - id: cm-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents configuration change decisions associated with the information - system; - """ - - - id: cm-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Implements approved configuration-controlled changes to the information - system; - """ - - - id: cm-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Retains records of configuration-controlled changes to the information system for - {{ cm-3_prm_1 }}; - """ - - - id: cm-3_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Audits and reviews activities associated with configuration-controlled changes to - the information system; and - """ - - - id: cm-3_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Coordinates and provides oversight for configuration change control activities - through {{ cm-3_prm_2 }} that convenes {{ cm-3_prm_3 }}. - """ - - - id: cm-3_fr - name: item - title: CM-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-3_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO. - - - id: cm-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (e) Guidance: - prose: In accordance with record retention policies and procedures. - - - id: cm-3_gdn - name: guidance - prose: - """ - Configuration change controls for organizational information systems involve the - systematic proposal, justification, implementation, testing, review, and disposition - of changes to the systems, including system upgrades and modifications. Configuration - change control includes changes to baseline configurations for components and - configuration items of information systems, changes to configuration settings for - information technology products (e.g., operating systems, applications, firewalls, - routers, and mobile devices), unscheduled/unauthorized changes, and changes to - remediate vulnerabilities. Typical processes for managing configuration changes to - information systems include, for example, Configuration Control Boards that approve - proposed changes to systems. For new development information systems or systems - undergoing major upgrades, organizations consider including representatives from - development organizations on the Configuration Control Boards. Auditing of changes - includes activities before and after changes are made to organizational information - systems and the auditing activities required to implement such changes. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-12 - rel: related - text: SI-12 - - - id: cm-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(a) - prose: - """ - determines the type of changes to the information system that must be - configuration-controlled; - """ - - - id: cm-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-3(b) - prose: - """ - reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses; - """ - - - id: cm-3.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-3(c) - prose: - """ - documents configuration change decisions associated with the information - system; - """ - - - id: cm-3.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(d) - prose: - """ - implements approved configuration-controlled changes to the information - system; - """ - - - id: cm-3.e_obj - name: objective - properties: - - - name: label - value: CM-3(e) - parts: - - - id: cm-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(e)[1] - prose: - """ - defines a time period to retain records of configuration-controlled changes to - the information system; - """ - - - id: cm-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(e)[2] - prose: - """ - retains records of configuration-controlled changes to the information system - for the organization-defined time period; - """ - - - id: cm-3.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(f) - prose: - """ - audits and reviews activities associated with configuration-controlled changes to - the information system; - """ - - - id: cm-3.g_obj - name: objective - properties: - - - name: label - value: CM-3(g) - parts: - - - id: cm-3.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(g)[1] - prose: - """ - defines a configuration change control element (e.g., committee, board) - responsible for coordinating and providing oversight for configuration change - control activities; - """ - - - id: cm-3.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(g)[2] - prose: - """ - defines the frequency with which the configuration change control element must - convene; and/or - """ - - - id: cm-3.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-3(g)[3] - prose: - """ - defines configuration change conditions that prompt the configuration change - control element to convene; and - """ - - - id: cm-3.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-3(g)[4] - prose: - """ - coordinates and provides oversight for configuration change control activities - through organization-defined configuration change control element that convenes - at organization-defined frequency and/or for any organization-defined - configuration change conditions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system configuration change control\n\nconfiguration management plan\n\ninformation system architecture and configuration documentation\n\nsecurity plan\n\nchange control records\n\ninformation system audit records\n\nchange control audit and review reports\n\nagenda /minutes from configuration change control oversight meetings\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with configuration change control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nmembers of change control board or similar - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for configuration change control\n\nautomated mechanisms that implement configuration change control - - - id: cm-4 - class: SP800-53 - title: Security Impact Analysis - properties: - - - name: label - value: CM-4 - - - name: sort-id - value: cm-04 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-4_smt - name: statement - prose: - """ - The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation. - """ - - - id: cm-4_gdn - name: guidance - prose: - """ - Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #si-2 - rel: related - text: SI-2 - - - id: cm-4_obj - name: objective - prose: - """ - Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing security impact analysis for changes to the information - system\n\nconfiguration management plan\n\nsecurity impact analysis documentation\n\nanalysis tools and associated outputs\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for conducting security impact - analysis\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security impact analysis - - - id: cm-5 - class: SP800-53 - title: Access Restrictions for Change - properties: - - - name: label - value: CM-5 - - - name: sort-id - value: cm-05 - parts: - - - id: cm-5_smt - name: statement - prose: - """ - The organization defines, documents, approves, and enforces physical and logical - access restrictions associated with changes to the information system. - """ - - - id: cm-5_gdn - name: guidance - prose: - """ - Any changes to the hardware, software, and/or firmware components of information - systems can potentially have significant effects on the overall security of the - systems. Therefore, organizations permit only qualified and authorized individuals to - access information systems for purposes of initiating changes, including upgrades and - modifications. Organizations maintain records of access to ensure that configuration - change control is implemented and to support after-the-fact actions should - organizations discover any unauthorized changes. Access restrictions for change also - include software libraries. Access restrictions include, for example, physical and - logical access controls (see AC-3 and PE-3), workflow automation, media libraries, - abstract layers (e.g., changes implemented into third-party interfaces rather than - directly into information systems), and change windows (e.g., changes occur only - during specified times, making unauthorized changes easy to discover). - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: cm-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-5_obj.1 - name: objective - properties: - - - name: label - value: CM-5[1] - prose: - """ - defines physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.2 - name: objective - properties: - - - name: label - value: CM-5[2] - prose: - """ - documents physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.3 - name: objective - properties: - - - name: label - value: CM-5[3] - prose: - """ - approves physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.4 - name: objective - properties: - - - name: label - value: CM-5[4] - prose: - """ - enforces physical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.5 - name: objective - properties: - - - name: label - value: CM-5[5] - prose: - """ - defines logical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.6 - name: objective - properties: - - - name: label - value: CM-5[6] - prose: - """ - documents logical access restrictions associated with changes to the information - system; - """ - - - id: cm-5_obj.7 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5[7] - prose: - """ - approves logical access restrictions associated with changes to the information - system; and - """ - - - id: cm-5_obj.8 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5[8] - prose: - """ - enforces logical access restrictions associated with changes to the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nlogical access approvals\n\nphysical access approvals\n\naccess credentials\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with logical access control responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting/implementing/enforcing access restrictions - associated with changes to the information system - """ - controls: - - - id: cm-5.1 - class: SP800-53-enhancement - title: Automated Access Enforcement / Auditing - properties: - - - name: label - value: CM-5(1) - - - name: sort-id - value: cm-05.01 - parts: - - - id: cm-5.1_smt - name: statement - prose: - """ - The information system enforces access restrictions and supports auditing of the - enforcement actions. - """ - - - id: cm-5.1_gdn - name: guidance - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-6 - rel: related - text: CM-6 - - - id: cm-5.1_obj - name: objective - prose: Determine if the information system: - parts: - - - id: cm-5.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(1)[1] - prose: enforces access restrictions for change; and - - - id: cm-5.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(1)[2] - prose: supports auditing of the enforcement actions. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms implementing enforcement of access restrictions for - changes to the information system\n\nautomated mechanisms supporting auditing of enforcement actions - """ - - - id: cm-5.3 - class: SP800-53-enhancement - title: Signed Components - parameters: - - - id: cm-5.3_prm_1 - label: organization-defined software and firmware components - properties: - - - name: label - value: CM-5(3) - - - name: sort-id - value: cm-05.03 - parts: - - - id: cm-5.3_smt - name: statement - prose: - """ - The information system prevents the installation of {{ cm-5.3_prm_1 }} without verification that the component has been - digitally signed using a certificate that is recognized and approved by the - organization. - """ - parts: - - - id: cm-5.3_fr - name: item - title: CM-5 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-5.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized. - - - id: cm-5.3_gdn - name: guidance - prose: - """ - Software and firmware components prevented from installation unless signed with - recognized and approved certificates include, for example, software and firmware - version updates, patches, service packs, device drivers, and basic input output - system (BIOS) updates. Organizations can identify applicable software and firmware - components by type, by specific items, or a combination of both. Digital - signatures and organizational verification of such signatures, is a method of code - authentication. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #si-7 - rel: related - text: SI-7 - - - id: cm-5.3_obj - name: objective - prose: Determine if: - parts: - - - id: cm-5.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(3)[1] - prose: - """ - the organization defines software and firmware components that the information - system will prevent from being installed without verification that such - components have been digitally signed using a certificate that is recognized - and approved by the organization; and - """ - - - id: cm-5.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(3)[2] - prose: - """ - the information system prevents the installation of organization-defined - software and firmware components without verification that such components have - been digitally signed using a certificate that is recognized and approved by - the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\nsecurity plan\n\nlist of software and firmware components to be prohibited from installation - without a recognized and approved certificate\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms preventing installation of software and firmware - components not signed with an organization-recognized and approved - certificate - """ - - - id: cm-5.5 - class: SP800-53-enhancement - title: Limit Production / Operational Privileges - parameters: - - - id: cm-5.5_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least quarterly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-5(5) - - - name: sort-id - value: cm-05.05 - parts: - - - id: cm-5.5_smt - name: statement - prose: The organization: - parts: - - - id: cm-5.5_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Limits privileges to change information system components and system-related - information within a production or operational environment; and - """ - - - id: cm-5.5_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Reviews and reevaluates privileges {{ cm-5.5_prm_1 }}. - - - id: cm-5.5_gdn - name: guidance - prose: - """ - In many organizations, information systems support multiple core missions/business - functions. Limiting privileges to change information system components with - respect to operational systems is necessary because changes to a particular - information system component may have far-reaching effects on mission/business - processes supported by the system where the component resides. The complex, - many-to-many relationships between systems and mission/business processes are in - some cases, unknown to developers. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - id: cm-5.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-5.5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-5(5)(a) - prose: - """ - limits privileges to change information system components and system-related - information within a production or operational environment; - """ - links: - - - href: #cm-5.5_smt.a - rel: corresp - text: CM-5(5)(a) - - - id: cm-5.5.b_obj - name: objective - properties: - - - name: label - value: CM-5(5)(b) - parts: - - - id: cm-5.5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(5)(b)[1] - prose: defines the frequency to review and reevaluate privileges; and - - - id: cm-5.5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-5(5)(b)[2] - prose: - """ - reviews and reevaluates privileges with the organization-defined - frequency. - """ - links: - - - href: #cm-5.5_smt.b - rel: corresp - text: CM-5(5)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing access restrictions for changes to the information - system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nuser privilege reviews\n\nuser privilege recertifications\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing access restrictions to change\n\nautomated mechanisms supporting and/or implementing access restrictions for - change - """ - - - id: cm-6 - class: SP800-53 - title: Configuration Settings - parameters: - - - id: cm-6_prm_1 - label: organization-defined security configuration checklists - guidance: - - - prose: See CM-6(a) Additional FedRAMP Requirements and Guidance - - - id: cm-6_prm_2 - label: organization-defined information system components - - - id: cm-6_prm_3 - label: organization-defined operational requirements - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-6 - - - name: sort-id - value: cm-06 - links: - - - href: #990268bf-f4a9-4c81-91ae-dc7d3115f4b1 - rel: reference - text: OMB Memorandum 07-11 - - - href: #0b3d8ba9-051f-498d-81ea-97f0f018c612 - rel: reference - text: OMB Memorandum 07-18 - - - href: #0916ef02-3618-411b-a525-565c088849a6 - rel: reference - text: OMB Memorandum 08-22 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - - - href: #e95dd121-2733-413e-bf1e-f1eb49f20a98 - rel: reference - text: http://checklists.nist.gov - - - href: #647b6de3-81d0-4d22-bec1-5f1333e34380 - rel: reference - text: http://www.nsa.gov - parts: - - - id: cm-6_smt - name: statement - prose: The organization: - parts: - - - id: cm-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and documents configuration settings for information technology - products employed within the information system using {{ cm-6_prm_1 }} that reflect the most restrictive mode consistent with - operational requirements; - """ - - - id: cm-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Implements the configuration settings; - - - id: cm-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies, documents, and approves any deviations from established configuration - settings for {{ cm-6_prm_2 }} based on {{ cm-6_prm_3 }}; and - """ - - - id: cm-6_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available). - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - id: cm-6_gdn - name: guidance - prose: - """ - Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #si-4 - rel: related - text: SI-4 - - - id: cm-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.a_obj - name: objective - properties: - - - name: label - value: CM-6(a) - parts: - - - id: cm-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(a)[1] - prose: - """ - defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed; - """ - - - id: cm-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CM-6(a)[2] - prose: - """ - ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements; - """ - - - id: cm-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(a)[3] - prose: - """ - establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists; - """ - - - id: cm-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(b) - prose: implements the configuration settings established/documented in CM-6(a);; - - - id: cm-6.c_obj - name: objective - properties: - - - name: label - value: CM-6(c) - parts: - - - id: cm-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[1] - prose: - """ - defines information system components for which any deviations from established - configuration settings must be: - """ - parts: - - - id: cm-6.c_obj.1.a - name: objective - properties: - - - name: label - value: CM-6(c)[1][a] - prose: identified; - - - id: cm-6.c_obj.1.b - name: objective - properties: - - - name: label - value: CM-6(c)[1][b] - prose: documented; - - - id: cm-6.c_obj.1.c - name: objective - properties: - - - name: label - value: CM-6(c)[1][c] - prose: approved; - - - id: cm-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[2] - prose: defines operational requirements to support: - parts: - - - id: cm-6.c_obj.2.a - name: objective - properties: - - - name: label - value: CM-6(c)[2][a] - prose: - """ - the identification of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.b - name: objective - properties: - - - name: label - value: CM-6(c)[2][b] - prose: - """ - the documentation of any deviations from established configuration - settings; - """ - - - id: cm-6.c_obj.2.c - name: objective - properties: - - - name: label - value: CM-6(c)[2][c] - prose: the approval of any deviations from established configuration settings; - - - id: cm-6.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(c)[3] - prose: - """ - identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(c)[4] - prose: - """ - documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.c_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(c)[5] - prose: - """ - approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements; - """ - - - id: cm-6.d_obj - name: objective - properties: - - - name: label - value: CM-6(d) - parts: - - - id: cm-6.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(d)[1] - prose: - """ - monitors changes to the configuration settings in accordance with - organizational policies and procedures; and - """ - - - id: cm-6.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(d)[2] - prose: - """ - controls changes to the configuration settings in accordance with - organizational policies and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nevidence supporting approved deviations from established configuration - settings\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing configuration settings\n\nautomated mechanisms that implement, monitor, and/or control information system - configuration settings\n\nautomated mechanisms that identify and/or document deviations from established - configuration settings - """ - controls: - - - id: cm-6.1 - class: SP800-53-enhancement - title: Automated Central Management / Application / Verification - parameters: - - - id: cm-6.1_prm_1 - label: organization-defined information system components - properties: - - - name: label - value: CM-6(1) - - - name: sort-id - value: cm-06.01 - parts: - - - id: cm-6.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to centrally manage, apply, and - verify configuration settings for {{ cm-6.1_prm_1 }}. - """ - - - id: cm-6.1_gdn - name: guidance - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - id: cm-6.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-6.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-6(1)[1] - prose: - """ - defines information system components for which automated mechanisms are to be - employed to: - """ - parts: - - - id: cm-6.1_obj.1.a - name: objective - properties: - - - name: label - value: CM-6(1)[1][a] - prose: centrally manage configuration settings of such components; - - - id: cm-6.1_obj.1.b - name: objective - properties: - - - name: label - value: CM-6(1)[1][b] - prose: apply configuration settings of such components; - - - id: cm-6.1_obj.1.c - name: objective - properties: - - - name: label - value: CM-6(1)[1][c] - prose: verify configuration settings of such components; - - - id: cm-6.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-6(1)[2] - prose: employs automated mechanisms to: - parts: - - - id: cm-6.1_obj.2.a - name: objective - properties: - - - name: label - value: CM-6(1)[2][a] - prose: - """ - centrally manage configuration settings for organization-defined information - system components; - """ - - - id: cm-6.1_obj.2.b - name: objective - properties: - - - name: label - value: CM-6(1)[2][b] - prose: - """ - apply configuration settings for organization-defined information system - components; and - """ - - - id: cm-6.1_obj.2.c - name: objective - properties: - - - name: label - value: CM-6(1)[2][c] - prose: - """ - verify configuration settings for organization-defined information system - components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing configuration settings for the information system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing configuration settings\n\nautomated mechanisms implemented to centrally manage, apply, and verify - information system configuration settings - """ - - - id: cm-7 - class: SP800-53 - title: Least Functionality - parameters: - - - id: cm-7_prm_1 - label: - """ - organization-defined prohibited or restricted functions, ports, protocols, and/or - services - """ - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - properties: - - - name: label - value: CM-7 - - - name: sort-id - value: cm-07 - links: - - - href: #e42b2099-3e1c-415b-952c-61c96533c12e - rel: reference - text: DoD Instruction 8551.01 - parts: - - - id: cm-7_smt - name: statement - prose: The organization: - parts: - - - id: cm-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: Configures the information system to provide only essential capabilities; and - - - id: cm-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: {{ cm-7_prm_1 }}. - """ - - - id: cm-7_fr - name: item - title: CM-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. - - - id: cm-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8). - - - id: cm-7_gdn - name: guidance - prose: - """ - Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(a) - prose: configures the information system to provide only essential capabilities; - - - id: cm-7.b_obj - name: objective - properties: - - - name: label - value: CM-7(b) - parts: - - - id: cm-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(b)[1] - prose: defines prohibited or restricted: - parts: - - - id: cm-7.b_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(b)[1][a] - prose: functions; - - - id: cm-7.b_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(b)[1][b] - prose: ports; - - - id: cm-7.b_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(b)[1][c] - prose: protocols; and/or - - - id: cm-7.b_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(b)[1][d] - prose: services; - - - id: cm-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(b)[2] - prose: prohibits or restricts the use of organization-defined: - parts: - - - id: cm-7.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(b)[2][a] - prose: functions; - - - id: cm-7.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(b)[2][b] - prose: ports; - - - id: cm-7.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(b)[2][c] - prose: protocols; and/or - - - id: cm-7.b_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(b)[2][d] - prose: services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nconfiguration management plan\n\nprocedures addressing least functionality in the information system\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security configuration management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services\n\nautomated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services - """ - controls: - - - id: cm-7.1 - class: SP800-53-enhancement - title: Periodic Review - parameters: - - - id: cm-7.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: cm-7.1_prm_2 - label: - """ - organization-defined functions, ports, protocols, and services within the - information system deemed to be unnecessary and/or nonsecure - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-7(1) - - - name: sort-id - value: cm-07.01 - parts: - - - id: cm-7.1_smt - name: statement - prose: The organization: - parts: - - - id: cm-7.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Reviews the information system {{ cm-7.1_prm_1 }} to identify - unnecessary and/or nonsecure functions, ports, protocols, and services; and - """ - - - id: cm-7.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Disables {{ cm-7.1_prm_2 }}. - - - id: cm-7.1_gdn - name: guidance - prose: - """ - The organization can either make a determination of the relative security of the - function, port, protocol, and/or service or base the security decision on the - assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are - examples of less than secure protocols. - """ - links: - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #ia-2 - rel: related - text: IA-2 - - - id: cm-7.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.1.a_obj - name: objective - properties: - - - name: label - value: CM-7(1)(a) - parts: - - - id: cm-7.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(1)(a)[1] - prose: - """ - defines the frequency to review the information system to identify - unnecessary and/or nonsecure: - """ - parts: - - - id: cm-7.1.a_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][a] - prose: functions; - - - id: cm-7.1.a_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][b] - prose: ports; - - - id: cm-7.1.a_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][c] - prose: protocols; and/or - - - id: cm-7.1.a_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(1)(a)[1][d] - prose: services; - - - id: cm-7.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(1)(a)[2] - prose: - """ - reviews the information system with the organization-defined frequency to - identify unnecessary and/or nonsecure: - """ - parts: - - - id: cm-7.1.a_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][a] - prose: functions; - - - id: cm-7.1.a_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][b] - prose: ports; - - - id: cm-7.1.a_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][c] - prose: protocols; and/or - - - id: cm-7.1.a_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(1)(a)[2][d] - prose: services; - links: - - - href: #cm-7.1_smt.a - rel: corresp - text: CM-7(1)(a) - - - id: cm-7.1.b_obj - name: objective - properties: - - - name: label - value: CM-7(1)(b) - parts: - - - id: cm-7.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(1)(b)[1] - prose: defines, within the information system, unnecessary and/or nonsecure: - parts: - - - id: cm-7.1.b_obj.1.a - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][a] - prose: functions; - - - id: cm-7.1.b_obj.1.b - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][b] - prose: ports; - - - id: cm-7.1.b_obj.1.c - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][c] - prose: protocols; and/or - - - id: cm-7.1.b_obj.1.d - name: objective - properties: - - - name: label - value: CM-7(1)(b)[1][d] - prose: services; - - - id: cm-7.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(1)(b)[2] - prose: disables organization-defined unnecessary and/or nonsecure: - parts: - - - id: cm-7.1.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][a] - prose: functions; - - - id: cm-7.1.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][b] - prose: ports; - - - id: cm-7.1.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][c] - prose: protocols; and/or - - - id: cm-7.1.b_obj.2.d - name: objective - properties: - - - name: label - value: CM-7(1)(b)[2][d] - prose: services. - links: - - - href: #cm-7.1_smt.b - rel: corresp - text: CM-7(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing least functionality in the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nsecurity configuration checklists\n\ndocumented reviews of functions, ports, protocols, and/or services\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for reviewing functions, ports, - protocols, and services on the information system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for reviewing/disabling nonsecure functions, ports, - protocols, and/or services\n\nautomated mechanisms implementing review and disabling of nonsecure functions, - ports, protocols, and/or services - """ - - - id: cm-7.2 - class: SP800-53-enhancement - title: Prevent Program Execution - parameters: - - - id: cm-7.2_prm_1 - - - id: cm-7.2_prm_2 - depends-on: cm-7.2_prm_1 - label: - """ - organization-defined policies regarding software program usage and - restrictions - """ - properties: - - - name: label - value: CM-7(2) - - - name: sort-id - value: cm-07.02 - parts: - - - id: cm-7.2_smt - name: statement - prose: The information system prevents program execution in accordance with {{ cm-7.2_prm_1 }}. - parts: - - - id: cm-7.2_fr - name: item - title: CM-7 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7.2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run. - - - id: cm-7.2_gdn - name: guidance - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pm-5 - rel: related - text: PM-5 - - - id: cm-7.2_obj - name: objective - prose: Determine if: - parts: - - - id: cm-7.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(2)[1] - prose: - """ - the organization defines policies regarding software program usage and - restrictions; - """ - - - id: cm-7.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(2)[2] - prose: - """ - the information system prevents program execution in accordance with one or - more of the following: - """ - parts: - - - id: cm-7.2_obj.2.a - name: objective - properties: - - - name: label - value: CM-7(2)[2][a] - prose: - """ - organization-defined policies regarding program usage and restrictions; - and/or - """ - - - id: cm-7.2_obj.2.b - name: objective - properties: - - - name: label - value: CM-7(2)[2][b] - prose: rules authorizing the terms and conditions of software program usage. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing least functionality in the information system\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\nspecifications for preventing software program execution\n\ninformation system configuration settings and associated documentation\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes preventing program execution on the information - system\n\norganizational processes for software program usage and restrictions\n\nautomated mechanisms preventing program execution on the information system\n\nautomated mechanisms supporting and/or implementing software program usage and - restrictions - """ - - - id: cm-7.5 - class: SP800-53-enhancement - title: Authorized Software / Whitelisting - parameters: - - - id: cm-7.5_prm_1 - label: - """ - organization-defined software programs authorized to execute on the - information system - """ - - - id: cm-7.5_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least Annually or when there is a change - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-7(5) - - - name: sort-id - value: cm-07.05 - parts: - - - id: cm-7.5_smt - name: statement - prose: The organization: - parts: - - - id: cm-7.5_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Identifies {{ cm-7.5_prm_1 }}; - - - id: cm-7.5_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; and - """ - - - id: cm-7.5_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Reviews and updates the list of authorized software programs {{ cm-7.5_prm_2 }}. - - - id: cm-7.5_gdn - name: guidance - prose: - """ - The process used to identify software programs that are authorized to execute on - organizational information systems is commonly referred to as whitelisting. In - addition to whitelisting, organizations consider verifying the integrity of - white-listed software programs using, for example, cryptographic checksums, - digital signatures, or hash functions. Verification of white-listed software can - occur either prior to execution or at system startup. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pm-5 - rel: related - text: PM-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sc-34 - rel: related - text: SC-34 - - - href: #si-7 - rel: related - text: SI-7 - - - id: cm-7.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-7.5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(5)(a) - prose: - """ - Identifies/defines software programs authorized to execute on the information - system; - """ - links: - - - href: #cm-7.5_smt.a - rel: corresp - text: CM-7(5)(a) - - - id: cm-7.5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(5)(b) - prose: - """ - employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; - """ - links: - - - href: #cm-7.5_smt.b - rel: corresp - text: CM-7(5)(b) - - - id: cm-7.5.c_obj - name: objective - properties: - - - name: label - value: CM-7(5)(c) - parts: - - - id: cm-7.5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-7(5)(c)[1] - prose: - """ - defines the frequency to review and update the list of authorized software - programs on the information system; and - """ - - - id: cm-7.5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-7(5)(c)[2] - prose: - """ - reviews and updates the list of authorized software programs with the - organization-defined frequency. - """ - links: - - - href: #cm-7.5_smt.c - rel: corresp - text: CM-7(5)(c) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing least functionality in the information system\n\nconfiguration management plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of software programs authorized to execute on the information system\n\nsecurity configuration checklists\n\nreview and update records associated with list of authorized software - programs\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for identifying software - authorized to execute on the information system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for identifying, reviewing, and updating programs - authorized to execute on the information system\n\norganizational process for implementing whitelisting\n\nautomated mechanisms implementing whitelisting - """ - - - id: cm-8 - class: SP800-53 - title: Information System Component Inventory - parameters: - - - id: cm-8_prm_1 - label: - """ - organization-defined information deemed necessary to achieve effective - information system component accountability - """ - - - id: cm-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-8 - - - name: sort-id - value: cm-08 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-8_smt - name: statement - prose: The organization: - parts: - - - id: cm-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops and documents an inventory of information system components that: - parts: - - - id: cm-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Accurately reflects the current information system; - - - id: cm-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Is at the level of granularity deemed necessary for tracking and reporting; - and - """ - - - id: cm-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: Includes {{ cm-8_prm_1 }}; and - - - id: cm-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the information system component inventory {{ cm-8_prm_2 }}. - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - id: cm-8_gdn - name: guidance - prose: - """ - Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pm-5 - rel: related - text: PM-5 - - - id: cm-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-8.a_obj - name: objective - properties: - - - name: label - value: CM-8(a) - parts: - - - id: cm-8.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(1) - prose: - """ - develops and documents an inventory of information system components that - accurately reflects the current information system; - """ - - - id: cm-8.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(2) - prose: - """ - develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system; - """ - - - id: cm-8.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(3) - prose: - """ - develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting; - """ - - - id: cm-8.a.4_obj - name: objective - properties: - - - name: label - value: CM-8(a)(4) - parts: - - - id: cm-8.a.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(4)[1] - prose: - """ - defines the information deemed necessary to achieve effective information - system component accountability; - """ - - - id: cm-8.a.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(a)(4)[2] - prose: - """ - develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability; - """ - - - id: cm-8.b_obj - name: objective - properties: - - - name: label - value: CM-8(b) - parts: - - - id: cm-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(b)[1] - prose: - """ - defines the frequency to review and update the information system component - inventory; and - """ - - - id: cm-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(b)[2] - prose: - """ - reviews and updates the information system component inventory with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\ninventory reviews and update records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system component - inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing and documenting an inventory of - information system components\n\nautomated mechanisms supporting and/or implementing the information system - component inventory - """ - controls: - - - id: cm-8.1 - class: SP800-53-enhancement - title: Updates During Installations / Removals - properties: - - - name: label - value: CM-8(1) - - - name: sort-id - value: cm-08.01 - parts: - - - id: cm-8.1_smt - name: statement - prose: - """ - The organization updates the inventory of information system components as an - integral part of component installations, removals, and information system - updates. - """ - - - id: cm-8.1_obj - name: objective - prose: - """ - Determine if the organization updates the inventory of information system - components as an integral part of: - """ - parts: - - - id: cm-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(1)[1] - prose: component installations; - - - id: cm-8.1_obj.2 - name: objective - properties: - - - name: label - value: CM-8(1)[2] - prose: component removals; and - - - id: cm-8.1_obj.3 - name: objective - properties: - - - name: label - value: CM-8(1)[3] - prose: information system updates. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\ninventory reviews and update records\n\ncomponent installation records\n\ncomponent removal records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for updating the information - system component inventory\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for updating inventory of information system - components\n\nautomated mechanisms implementing updating of the information system component - inventory - """ - - - id: cm-8.3 - class: SP800-53-enhancement - title: Automated Unauthorized Component Detection - parameters: - - - id: cm-8.3_prm_1 - label: organization-defined frequency - constraints: - - - detail: Continuously, using automated mechanisms with a maximum five-minute delay in detection - - - id: cm-8.3_prm_2 - - - id: cm-8.3_prm_3 - depends-on: cm-8.3_prm_2 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-8(3) - - - name: sort-id - value: cm-08.03 - parts: - - - id: cm-8.3_smt - name: statement - prose: The organization: - parts: - - - id: cm-8.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Employs automated mechanisms {{ cm-8.3_prm_1 }} to detect the - presence of unauthorized hardware, software, and firmware components within the - information system; and - """ - - - id: cm-8.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Takes the following actions when unauthorized components are detected: {{ cm-8.3_prm_2 }}. - - - id: cm-8.3_gdn - name: guidance - prose: - """ - This control enhancement is applied in addition to the monitoring for unauthorized - remote connections and mobile devices. Monitoring for unauthorized system - components may be accomplished on an ongoing basis or by the periodic scanning of - systems for that purpose. Automated mechanisms can be implemented within - information systems or in other separate devices. Isolation can be achieved, for - example, by placing unauthorized information system components in separate domains - or subnets or otherwise quarantining such components. This type of component - isolation is commonly referred to as sandboxing. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: cm-8.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-8.3.a_obj - name: objective - properties: - - - name: label - value: CM-8(3)(a) - parts: - - - id: cm-8.3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(3)(a)[1] - prose: - """ - defines the frequency to employ automated mechanisms to detect the presence - of unauthorized: - """ - parts: - - - id: cm-8.3.a_obj.1.a - name: objective - properties: - - - name: label - value: CM-8(3)(a)[1][a] - prose: hardware components within the information system; - - - id: cm-8.3.a_obj.1.b - name: objective - properties: - - - name: label - value: CM-8(3)(a)[1][b] - prose: software components within the information system; - - - id: cm-8.3.a_obj.1.c - name: objective - properties: - - - name: label - value: CM-8(3)(a)[1][c] - prose: firmware components within the information system; - - - id: cm-8.3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(3)(a)[2] - prose: - """ - employs automated mechanisms with the organization-defined frequency to - detect the presence of unauthorized: - """ - parts: - - - id: cm-8.3.a_obj.2.a - name: objective - properties: - - - name: label - value: CM-8(3)(a)[2][a] - prose: hardware components within the information system; - - - id: cm-8.3.a_obj.2.b - name: objective - properties: - - - name: label - value: CM-8(3)(a)[2][b] - prose: software components within the information system; - - - id: cm-8.3.a_obj.2.c - name: objective - properties: - - - name: label - value: CM-8(3)(a)[2][c] - prose: firmware components within the information system; - links: - - - href: #cm-8.3_smt.a - rel: corresp - text: CM-8(3)(a) - - - id: cm-8.3.b_obj - name: objective - properties: - - - name: label - value: CM-8(3)(b) - parts: - - - id: cm-8.3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-8(3)(b)[1] - prose: - """ - defines personnel or roles to be notified when unauthorized components are - detected; - """ - - - id: cm-8.3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-8(3)(b)[2] - prose: - """ - takes one or more of the following actions when unauthorized components are - detected: - """ - parts: - - - id: cm-8.3.b_obj.2.a - name: objective - properties: - - - name: label - value: CM-8(3)(b)[2][a] - prose: disables network access by such components; - - - id: cm-8.3.b_obj.2.b - name: objective - properties: - - - name: label - value: CM-8(3)(b)[2][b] - prose: isolates the components; and/or - - - id: cm-8.3.b_obj.2.c - name: objective - properties: - - - name: label - value: CM-8(3)(b)[2][c] - prose: notifies organization-defined personnel or roles. - links: - - - href: #cm-8.3_smt.b - rel: corresp - text: CM-8(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system inventory records\n\nalerts/notifications of unauthorized components within the information - system\n\ninformation system monitoring records\n\nchange control records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for managing the automated - mechanisms implementing unauthorized information system component detection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for detection of unauthorized information system - components\n\nautomated mechanisms implementing the detection of unauthorized information - system components - """ - - - id: cm-8.5 - class: SP800-53-enhancement - title: No Duplicate Accounting of Components - properties: - - - name: label - value: CM-8(5) - - - name: sort-id - value: cm-08.05 - parts: - - - id: cm-8.5_smt - name: statement - prose: - """ - The organization verifies that all components within the authorization boundary of - the information system are not duplicated in other information system component - inventories. - """ - - - id: cm-8.5_gdn - name: guidance - prose: - """ - This control enhancement addresses the potential problem of duplicate accounting - of information system components in large or complex interconnected systems. - """ - - - id: cm-8.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization verifies that all components within the - authorization boundary of the information system are not duplicated in other - information system inventories. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing information system component inventory\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system inventory records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system inventory responsibilities\n\norganizational personnel with responsibilities for defining information system - components within the authorization boundary of the system\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining the inventory of information system - components\n\nautomated mechanisms implementing the information system component - inventory - """ - - - id: cm-9 - class: SP800-53 - title: Configuration Management Plan - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CM-9 - - - name: sort-id - value: cm-09 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: cm-9_smt - name: statement - prose: - """ - The organization develops, documents, and implements a configuration management plan - for the information system that: - """ - parts: - - - id: cm-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Addresses roles, responsibilities, and configuration management processes and - procedures; - """ - - - id: cm-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishes a process for identifying configuration items throughout the system - development life cycle and for managing the configuration of the configuration - items; - """ - - - id: cm-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Defines the configuration items for the information system and places the - configuration items under configuration management; and - """ - - - id: cm-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects the configuration management plan from unauthorized disclosure and - modification. - """ - - - id: cm-9_gdn - name: guidance - prose: - """ - Configuration management plans satisfy the requirements in configuration management - policies while being tailored to individual information systems. Such plans define - detailed processes and procedures for how configuration management is used to support - system development life cycle activities at the information system level. - Configuration management plans are typically developed during the - development/acquisition phase of the system development life cycle. The plans - describe how to move changes through change management processes, how to update - configuration settings and baselines, how to maintain information system component - inventories, how to control development, test, and operational environments, and how - to develop, release, and update key documents. Organizations can employ templates to - help ensure consistent and timely development and implementation of configuration - management plans. Such templates can represent a master configuration management plan - for the organization at large with subsets of the plan implemented on a system by - system basis. Configuration management approval processes include designation of key - management stakeholders responsible for reviewing and approving proposed changes to - information systems, and personnel that conduct security impact analyses prior to the - implementation of changes to the systems. Configuration items are the information - system items (hardware, software, firmware, and documentation) to be - configuration-managed. As information systems continue through the system development - life cycle, new configuration items may be identified and some existing configuration - items may no longer need to be under configuration control. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #sa-10 - rel: related - text: SA-10 - - - id: cm-9_obj - name: objective - prose: - """ - Determine if the organization develops, documents, and implements a configuration - management plan for the information system that: - """ - parts: - - - id: cm-9.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(a) - parts: - - - id: cm-9.a_obj.1 - name: objective - properties: - - - name: label - value: CM-9(a)[1] - prose: addresses roles; - - - id: cm-9.a_obj.2 - name: objective - properties: - - - name: label - value: CM-9(a)[2] - prose: addresses responsibilities; - - - id: cm-9.a_obj.3 - name: objective - properties: - - - name: label - value: CM-9(a)[3] - prose: addresses configuration management processes and procedures; - - - id: cm-9.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(b) - prose: establishes a process for: - parts: - - - id: cm-9.b_obj.1 - name: objective - properties: - - - name: label - value: CM-9(b)[1] - prose: identifying configuration items throughout the SDLC; - - - id: cm-9.b_obj.2 - name: objective - properties: - - - name: label - value: CM-9(b)[2] - prose: managing the configuration of the configuration items; - - - id: cm-9.c_obj - name: objective - properties: - - - name: label - value: CM-9(c) - parts: - - - id: cm-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(c)[1] - prose: defines the configuration items for the information system; - - - id: cm-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-9(c)[2] - prose: places the configuration items under configuration management; - - - id: cm-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-9(d) - prose: protects the configuration management plan from unauthorized: - parts: - - - id: cm-9.d_obj.1 - name: objective - properties: - - - name: label - value: CM-9(d)[1] - prose: disclosure; and - - - id: cm-9.d_obj.2 - name: objective - properties: - - - name: label - value: CM-9(d)[2] - prose: modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing configuration management planning\n\nconfiguration management plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for developing the configuration - management plan\n\norganizational personnel with responsibilities for implementing and managing - processes defined in the configuration management plan\n\norganizational personnel with responsibilities for protecting the configuration - management plan\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing and documenting the configuration - management plan\n\norganizational processes for identifying and managing configuration items\n\norganizational processes for protecting the configuration management plan\n\nautomated mechanisms implementing the configuration management plan\n\nautomated mechanisms for managing configuration items\n\nautomated mechanisms for protecting the configuration management plan - """ - - - id: cm-10 - class: SP800-53 - title: Software Usage Restrictions - properties: - - - name: label - value: CM-10 - - - name: sort-id - value: cm-10 - parts: - - - id: cm-10_smt - name: statement - prose: The organization: - parts: - - - id: cm-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - id: cm-10_gdn - name: guidance - prose: - """ - Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: cm-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(a) - prose: - """ - uses software and associated documentation in accordance with contract agreements - and copyright laws; - """ - - - id: cm-10.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-10(b) - prose: - """ - tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and - """ - - - id: cm-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(c) - prose: - """ - controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing software usage restrictions\n\nconfiguration management plan\n\nsecurity plan\n\nsoftware contract agreements and copyright laws\n\nsite license documentation\n\nlist of software usage restrictions\n\nsoftware license tracking reports\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel with software license management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for tracking the use of software protected by quantity - licenses\n\norganization process for controlling/documenting the use of peer-to-peer file - sharing technology\n\nautomated mechanisms implementing software license tracking\n\nautomated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology - """ - controls: - - - id: cm-10.1 - class: SP800-53-enhancement - title: Open Source Software - parameters: - - - id: cm-10.1_prm_1 - label: organization-defined restrictions - properties: - - - name: label - value: CM-10(1) - - - name: sort-id - value: cm-10.01 - parts: - - - id: cm-10.1_smt - name: statement - prose: - """ - The organization establishes the following restrictions on the use of open source - software: {{ cm-10.1_prm_1 }}. - """ - - - id: cm-10.1_gdn - name: guidance - prose: - """ - Open source software refers to software that is available in source code form. - Certain software rights normally reserved for copyright holders are routinely - provided under software license agreements that permit individuals to study, - change, and improve the software. From a security perspective, the major advantage - of open source software is that it provides organizations with the ability to - examine the source code. However, there are also various licensing issues - associated with open source software including, for example, the constraints on - derivative use of such software. - """ - - - id: cm-10.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-10.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-10(1)[1] - prose: defines restrictions on the use of open source software; and - - - id: cm-10.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-10(1)[2] - prose: - """ - establishes organization-defined restrictions on the use of open source - software. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing restrictions on use of open source software\n\nconfiguration management plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for establishing and enforcing - restrictions on use of open source software\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for restricting the use of open source software\n\nautomated mechanisms implementing restrictions on the use of open source - software - """ - - - id: cm-11 - class: SP800-53 - title: User-installed Software - parameters: - - - id: cm-11_prm_1 - label: organization-defined policies - - - id: cm-11_prm_2 - label: organization-defined methods - - - id: cm-11_prm_3 - label: organization-defined frequency - constraints: - - - detail: Continuously (via CM-7 (5)) - properties: - - - name: label - value: CM-11 - - - name: sort-id - value: cm-11 - parts: - - - id: cm-11_smt - name: statement - prose: The organization: - parts: - - - id: cm-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes {{ cm-11_prm_1 }} governing the installation of - software by users; - """ - - - id: cm-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Enforces software installation policies through {{ cm-11_prm_2 }}; - and - """ - - - id: cm-11_smt.c - name: item - properties: - - - name: label - value: c. - prose: Monitors policy compliance at {{ cm-11_prm_3 }}. - - - id: cm-11_gdn - name: guidance - prose: - """ - If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: cm-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cm-11.a_obj - name: objective - properties: - - - name: label - value: CM-11(a) - parts: - - - id: cm-11.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(a)[1] - prose: defines policies to govern the installation of software by users; - - - id: cm-11.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(a)[2] - prose: - """ - establishes organization-defined policies governing the installation of - software by users; - """ - - - id: cm-11.b_obj - name: objective - properties: - - - name: label - value: CM-11(b) - parts: - - - id: cm-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(b)[1] - prose: defines methods to enforce software installation policies; - - - id: cm-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(b)[2] - prose: - """ - enforces software installation policies through organization-defined - methods; - """ - - - id: cm-11.c_obj - name: objective - properties: - - - name: label - value: CM-11(c) - parts: - - - id: cm-11.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CM-11(c)[1] - prose: defines frequency to monitor policy compliance; and - - - id: cm-11.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CM-11(c)[2] - prose: monitors policy compliance at organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Configuration management policy\n\nprocedures addressing user installed software\n\nconfiguration management plan\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of rules governing user installed software\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records\n\ncontinuous monitoring strategy - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for governing user-installed - software\n\norganizational personnel operating, using, and/or maintaining the information - system\n\norganizational personnel monitoring compliance with user-installed software - policy\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes governing user-installed software on the information - system\n\nautomated mechanisms enforcing rules/methods for governing the installation of - software by users\n\nautomated mechanisms monitoring policy compliance - """ - - - id: cp - class: family - title: Contingency Planning - controls: - - - id: cp-1 - class: SP800-53 - title: Contingency Planning Policy and Procedures - parameters: - - - id: cp-1_prm_1 - label: organization-defined personnel or roles - - - id: cp-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: cp-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-1 - - - name: sort-id - value: cp-01 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: cp-1_smt - name: statement - prose: The organization: - parts: - - - id: cp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ cp-1_prm_1 }}: - parts: - - - id: cp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: cp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and - """ - - - id: cp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: cp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Contingency planning policy {{ cp-1_prm_2 }}; and - - - id: cp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Contingency planning procedures {{ cp-1_prm_3 }}. - - - id: cp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: cp-1_obj - name: objective - prose: Determine if: - parts: - - - id: cp-1.a_obj - name: objective - properties: - - - name: label - value: CP-1(a) - parts: - - - id: cp-1.a.1_obj - name: objective - properties: - - - name: label - value: CP-1(a)(1) - parts: - - - id: cp-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(1)[1] - prose: - """ - the organization develops and documents a contingency planning policy that - addresses: - """ - parts: - - - id: cp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][a] - prose: purpose; - - - id: cp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][b] - prose: scope; - - - id: cp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][c] - prose: roles; - - - id: cp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][d] - prose: responsibilities; - - - id: cp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][e] - prose: management commitment; - - - id: cp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: cp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: CP-1(a)(1)[1][g] - prose: compliance; - - - id: cp-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(1)[2] - prose: - """ - the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated; - """ - - - id: cp-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-1(a)(1)[3] - prose: - """ - the organization disseminates the contingency planning policy to - organization-defined personnel or roles; - """ - - - id: cp-1.a.2_obj - name: objective - properties: - - - name: label - value: CP-1(a)(2) - parts: - - - id: cp-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(2)[1] - prose: - """ - the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls; - """ - - - id: cp-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(a)(2)[2] - prose: - """ - the organization defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: cp-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-1(a)(2)[3] - prose: - """ - the organization disseminates the procedures to organization-defined - personnel or roles; - """ - - - id: cp-1.b_obj - name: objective - properties: - - - name: label - value: CP-1(b) - parts: - - - id: cp-1.b.1_obj - name: objective - properties: - - - name: label - value: CP-1(b)(1) - parts: - - - id: cp-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(1)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning policy; - """ - - - id: cp-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(1)[2] - prose: - """ - the organization reviews and updates the current contingency planning with - the organization-defined frequency; - """ - - - id: cp-1.b.2_obj - name: objective - properties: - - - name: label - value: CP-1(b)(2) - parts: - - - id: cp-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(2)[1] - prose: - """ - the organization defines the frequency to review and update the current - contingency planning procedures; and - """ - - - id: cp-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-1(b)(2)[2] - prose: - """ - the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: cp-2 - class: SP800-53 - title: Contingency Plan - parameters: - - - id: cp-2_prm_1 - label: organization-defined personnel or roles - - - id: cp-2_prm_2 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - - - id: cp-2_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cp-2_prm_4 - label: - """ - organization-defined key contingency personnel (identified by name and/or by - role) and organizational elements - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-2 - - - name: sort-id - value: cp-02 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-2_smt - name: statement - prose: The organization: - parts: - - - id: cp-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a contingency plan for the information system that: - parts: - - - id: cp-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Provides recovery objectives, restoration priorities, and metrics; - - - id: cp-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Addresses contingency roles, responsibilities, assigned individuals with - contact information; - """ - - - id: cp-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and - """ - - - id: cp-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Is reviewed and approved by {{ cp-2_prm_1 }}; - - - id: cp-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the contingency plan to {{ cp-2_prm_2 }}; - - - id: cp-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Coordinates contingency planning activities with incident handling activities; - - - id: cp-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: Reviews the contingency plan for the information system {{ cp-2_prm_3 }}; - - - id: cp-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing; - """ - - - id: cp-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: Communicates contingency plan changes to {{ cp-2_prm_4 }}; and - - - id: cp-2_smt.g - name: item - properties: - - - name: label - value: g. - prose: Protects the contingency plan from unauthorized disclosure and modification. - - - id: cp-2_fr - name: item - title: CP-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-2_fr_smt.1 - name: item - properties: - - - name: label - value: CP-2 Requirement: - prose: For JAB authorizations the contingency lists include designated FedRAMP personnel. - - - id: cp-2_gdn - name: guidance - prose: - """ - Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident. - """ - links: - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: cp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.a_obj - name: objective - properties: - - - name: label - value: CP-2(a) - prose: develops and documents a contingency plan for the information system that: - parts: - - - id: cp-2.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(1) - prose: - """ - identifies essential missions and business functions and associated contingency - requirements; - """ - - - id: cp-2.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(2) - parts: - - - id: cp-2.a.2_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[1] - prose: provides recovery objectives; - - - id: cp-2.a.2_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[2] - prose: provides restoration priorities; - - - id: cp-2.a.2_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(2)[3] - prose: provides metrics; - - - id: cp-2.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(3) - parts: - - - id: cp-2.a.3_obj.1 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[1] - prose: addresses contingency roles; - - - id: cp-2.a.3_obj.2 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[2] - prose: addresses contingency responsibilities; - - - id: cp-2.a.3_obj.3 - name: objective - properties: - - - name: label - value: CP-2(a)(3)[3] - prose: addresses assigned individuals with contact information; - - - id: cp-2.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(4) - prose: - """ - addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure; - """ - - - id: cp-2.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(5) - prose: - """ - addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; - """ - - - id: cp-2.a.6_obj - name: objective - properties: - - - name: label - value: CP-2(a)(6) - parts: - - - id: cp-2.a.6_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(6)[1] - prose: - """ - defines personnel or roles to review and approve the contingency plan for - the information system; - """ - - - id: cp-2.a.6_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(a)(6)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: cp-2.b_obj - name: objective - properties: - - - name: label - value: CP-2(b) - parts: - - - id: cp-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(b)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed; - """ - - - id: cp-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(b)[2] - prose: - """ - distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements; - """ - - - id: cp-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(c) - prose: coordinates contingency planning activities with incident handling activities; - - - id: cp-2.d_obj - name: objective - properties: - - - name: label - value: CP-2(d) - parts: - - - id: cp-2.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(d)[1] - prose: - """ - defines a frequency to review the contingency plan for the information - system; - """ - - - id: cp-2.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(d)[2] - prose: reviews the contingency plan with the organization-defined frequency; - - - id: cp-2.e_obj - name: objective - properties: - - - name: label - value: CP-2(e) - prose: updates the contingency plan to address: - parts: - - - id: cp-2.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(e)[1] - prose: - """ - changes to the organization, information system, or environment of - operation; - """ - - - id: cp-2.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(e)[2] - prose: problems encountered during plan implementation, execution, and testing; - - - id: cp-2.f_obj - name: objective - properties: - - - name: label - value: CP-2(f) - parts: - - - id: cp-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(f)[1] - prose: - """ - defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated; - """ - - - id: cp-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(f)[2] - prose: - """ - communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and - """ - - - id: cp-2.g_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(g) - prose: protects the contingency plan from unauthorized disclosure and modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nevidence of contingency plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan development, review, update, and - protection\n\nautomated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan - """ - controls: - - - id: cp-2.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - properties: - - - name: label - value: CP-2(1) - - - name: sort-id - value: cp-02.01 - parts: - - - id: cp-2.1_smt - name: statement - prose: - """ - The organization coordinates contingency plan development with organizational - elements responsible for related plans. - """ - - - id: cp-2.1_gdn - name: guidance - prose: - """ - Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant - Emergency Plans. - """ - - - id: cp-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization coordinates contingency plan development with - organizational elements responsible for related plans. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nbusiness contingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plan\n\ninsider threat implementation plans\n\noccupant emergency plans\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel with responsibility for related plans - """ - - - id: cp-2.2 - class: SP800-53-enhancement - title: Capacity Planning - properties: - - - name: label - value: CP-2(2) - - - name: sort-id - value: cp-02.02 - parts: - - - id: cp-2.2_smt - name: statement - prose: - """ - The organization conducts capacity planning so that necessary capacity for - information processing, telecommunications, and environmental support exists - during contingency operations. - """ - - - id: cp-2.2_gdn - name: guidance - prose: - """ - Capacity planning is needed because different types of threats (e.g., natural - disasters, targeted cyber attacks) can result in a reduction of the available - processing, telecommunications, and support services originally intended to - support the organizational missions/business functions. Organizations may need to - anticipate degraded operations during contingency operations and factor such - degradation into capacity planning. - """ - - - id: cp-2.2_obj - name: objective - prose: - """ - Determine if the organization conducts capacity planning so that necessary - capacity exists during contingency operations for: - """ - parts: - - - id: cp-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-2(2)[1] - prose: information processing; - - - id: cp-2.2_obj.2 - name: objective - properties: - - - name: label - value: CP-2(2)[2] - prose: telecommunications; and - - - id: cp-2.2_obj.3 - name: objective - properties: - - - name: label - value: CP-2(2)[3] - prose: environmental support. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\ncapacity planning documents\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-2.3 - class: SP800-53-enhancement - title: Resume Essential Missions / Business Functions - parameters: - - - id: cp-2.3_prm_1 - label: organization-defined time period - properties: - - - name: label - value: CP-2(3) - - - name: sort-id - value: cp-02.03 - parts: - - - id: cp-2.3_smt - name: statement - prose: - """ - The organization plans for the resumption of essential missions and business - functions within {{ cp-2.3_prm_1 }} of contingency plan - activation. - """ - - - id: cp-2.3_gdn - name: guidance - prose: - """ - Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of essential missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure. - """ - links: - - - href: #pe-12 - rel: related - text: PE-12 - - - id: cp-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-2(3)[1] - prose: - """ - defines the time period to plan for the resumption of essential missions and - business functions as a result of contingency plan activation; and - """ - - - id: cp-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-2(3)[2] - prose: - """ - plans for the resumption of essential missions and business functions within - organization-defined time period of contingency plan activation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nsecurity plan\n\nbusiness impact assessment\n\nother related plans\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for resumption of missions and business functions - - - id: cp-2.8 - class: SP800-53-enhancement - title: Identify Critical Assets - properties: - - - name: label - value: CP-2(8) - - - name: sort-id - value: cp-02.08 - parts: - - - id: cp-2.8_smt - name: statement - prose: - """ - The organization identifies critical information system assets supporting - essential missions and business functions. - """ - - - id: cp-2.8_gdn - name: guidance - prose: - """ - Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Organizations - identify critical information system assets so that additional safeguards and - countermeasures can be employed (above and beyond those safeguards and - countermeasures routinely implemented) to help ensure that organizational - missions/business functions can continue to be conducted during contingency - operations. In addition, the identification of critical information assets - facilitates the prioritization of organizational resources. Critical information - system assets include technical and operational aspects. Technical aspects - include, for example, information technology services, information system - components, information technology products, and mechanisms. Operational aspects - include, for example, procedures (manually executed operations) and personnel - (individuals operating technical safeguards and/or executing manual procedures). - Organizational program protection plans can provide assistance in identifying - critical assets. - """ - links: - - - href: #sa-14 - rel: related - text: SA-14 - - - href: #sa-15 - rel: related - text: SA-15 - - - id: cp-2.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization identifies critical information system assets - supporting essential missions and business functions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency operations for the information system\n\ncontingency plan\n\nbusiness impact assessment\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-3 - class: SP800-53 - title: Contingency Training - parameters: - - - id: cp-3_prm_1 - label: organization-defined time period - constraints: - - - detail: ten (10) days - - - id: cp-3_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-3 - - - name: sort-id - value: cp-03 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: cp-3_smt - name: statement - prose: - """ - The organization provides contingency training to information system users consistent - with assigned roles and responsibilities: - """ - parts: - - - id: cp-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ cp-3_prm_1 }} of assuming a contingency role or - responsibility; - """ - - - id: cp-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: cp-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ cp-3_prm_2 }} thereafter. - """ - - - id: cp-3_gdn - name: guidance - prose: - """ - Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-2 - rel: related - text: IR-2 - - - id: cp-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-3.a_obj - name: objective - properties: - - - name: label - value: CP-3(a) - parts: - - - id: cp-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-3(a)[1] - prose: - """ - defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility; - """ - - - id: cp-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(a)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility; - """ - - - id: cp-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(b) - prose: - """ - provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes; - """ - - - id: cp-3.c_obj - name: objective - properties: - - - name: label - value: CP-3(c) - parts: - - - id: cp-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-3(c)[1] - prose: defines the frequency for contingency training thereafter; and - - - id: cp-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-3(c)[2] - prose: - """ - provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency training\n\ncontingency plan\n\ncontingency training curriculum\n\ncontingency training material\n\nsecurity plan\n\ncontingency training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, plan implementation, and - training responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for contingency training - - - id: cp-4 - class: SP800-53 - title: Contingency Plan Testing - parameters: - - - id: cp-4_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: cp-4_prm_2 - label: organization-defined tests - constraints: - - - detail: functional exercises - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-4 - - - name: sort-id - value: cp-04 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - rel: reference - text: NIST Special Publication 800-84 - parts: - - - id: cp-4_smt - name: statement - prose: The organization: - parts: - - - id: cp-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Tests the contingency plan for the information system {{ cp-4_prm_1 }} using {{ cp-4_prm_2 }} to determine the - effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews the contingency plan test results; and - - - id: cp-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Initiates corrective actions, if needed. - - - id: cp-4_fr - name: item - title: CP-4(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-4_fr_smt.a - name: item - properties: - - - name: label - value: CP-4(a) Requirement: - prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing. - - - id: cp-4_gdn - name: guidance - prose: - """ - Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-3 - rel: related - text: IR-3 - - - id: cp-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-4.a_obj - name: objective - properties: - - - name: label - value: CP-4(a) - parts: - - - id: cp-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-4(a)[1] - prose: - """ - defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan; - """ - - - id: cp-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-4(a)[2] - prose: - """ - defines a frequency to test the contingency plan for the information - system; - """ - - - id: cp-4.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(a)[3] - prose: - """ - tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan; - """ - - - id: cp-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(b) - prose: reviews the contingency plan test results; and - - - id: cp-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-4(c) - prose: initiates corrective actions, if needed. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan\n\nsecurity plan\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for contingency plan testing\n\nautomated mechanisms supporting the contingency plan and/or contingency plan - testing - """ - controls: - - - id: cp-4.1 - class: SP800-53-enhancement - title: Coordinate with Related Plans - properties: - - - name: label - value: CP-4(1) - - - name: sort-id - value: cp-04.01 - parts: - - - id: cp-4.1_smt - name: statement - prose: - """ - The organization coordinates contingency plan testing with organizational elements - responsible for related plans. - """ - - - id: cp-4.1_gdn - name: guidance - prose: - """ - Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, and Occupant Emergency Plans. This control - enhancement does not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. It does - require, however, that if such organizational elements are responsible for related - plans, organizations should coordinate with those elements. - """ - links: - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pm-8 - rel: related - text: PM-8 - - - id: cp-4.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization coordinates contingency plan testing with - organizational elements responsible for related plans. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nincident response policy\n\nprocedures addressing contingency plan testing\n\ncontingency plan testing documentation\n\ncontingency plan\n\nbusiness continuity plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\ncyber incident response plans\n\noccupant emergency plans\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with contingency plan testing responsibilities\n\norganizational personnel\n\npersonnel with responsibilities for related plans\n\norganizational personnel with information security responsibilities - - - id: cp-6 - class: SP800-53 - title: Alternate Storage Site - properties: - - - name: label - value: CP-6 - - - name: sort-id - value: cp-06 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-6_smt - name: statement - prose: The organization: - parts: - - - id: cp-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and - """ - - - id: cp-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site. - """ - - - id: cp-6_gdn - name: guidance - prose: - """ - Alternate storage sites are sites that are geographically distinct from primary - storage sites. An alternate storage site maintains duplicate copies of information - and data in the event that the primary storage site is not available. Items covered - by alternate storage site agreements include, for example, environmental conditions - at alternate sites, access rules, physical and environmental protection requirements, - and coordination of delivery/retrieval of backup media. Alternate storage sites - reflect the requirements in contingency plans so that organizations can maintain - essential missions/business functions despite disruption, compromise, or failure in - organizational information systems. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #mp-4 - rel: related - text: MP-4 - - - id: cp-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-6_obj.1 - name: objective - properties: - - - name: label - value: CP-6[1] - prose: - """ - establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and - """ - - - id: cp-6_obj.2 - name: objective - properties: - - - name: label - value: CP-6[2] - prose: - """ - ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate storage site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for storing and retrieving information system backup - information at the alternate storage site\n\nautomated mechanisms supporting and/or implementing storage and retrieval of - information system backup information at the alternate storage site - """ - controls: - - - id: cp-6.1 - class: SP800-53-enhancement - title: Separation from Primary Site - properties: - - - name: label - value: CP-6(1) - - - name: sort-id - value: cp-06.01 - parts: - - - id: cp-6.1_smt - name: statement - prose: - """ - The organization identifies an alternate storage site that is separated from the - primary storage site to reduce susceptibility to the same threats. - """ - - - id: cp-6.1_gdn - name: guidance - prose: - """ - Threats that affect alternate storage sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate storage sites based on the types of threats that are - of concern. For one particular type of threat (i.e., hostile cyber attack), the - degree of separation between sites is less relevant. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-6.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization identifies an alternate storage site that is - separated from the primary storage site to reduce susceptibility to the same - threats. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nalternate storage site agreements\n\nprimary storage site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate storage site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-6.3 - class: SP800-53-enhancement - title: Accessibility - properties: - - - name: label - value: CP-6(3) - - - name: sort-id - value: cp-06.03 - parts: - - - id: cp-6.3_smt - name: statement - prose: - """ - The organization identifies potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions. - """ - - - id: cp-6.3_gdn - name: guidance - prose: - """ - Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. Explicit - mitigation actions include, for example: (i) duplicating backup information at - other alternate storage sites if access problems occur at originally designated - alternate sites; or (ii) planning for physical access to retrieve backup - information if electronic accessibility to the alternate site is disrupted. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-6.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-6.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-6(3)[1] - prose: - """ - identifies potential accessibility problems to the alternate storage site in - the event of an area-wide disruption or disaster; and - """ - - - id: cp-6.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-6(3)[2] - prose: - """ - outlines explicit mitigation actions for such potential accessibility problems - to the alternate storage site in the event of an area-wide disruption or - disaster. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate storage sites\n\ncontingency plan\n\nalternate storage site\n\nlist of potential accessibility problems to alternate storage site\n\nmitigation actions for accessibility problems to alternate storage site\n\norganizational risk assessments\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate storage site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-7 - class: SP800-53 - title: Alternate Processing Site - parameters: - - - id: cp-7_prm_1 - label: organization-defined information system operations - - - id: cp-7_prm_2 - label: - """ - organization-defined time period consistent with recovery time and recovery point - objectives - """ - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-7 - - - name: sort-id - value: cp-07 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-7_smt - name: statement - prose: The organization: - parts: - - - id: cp-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes an alternate processing site including necessary agreements to permit - the transfer and resumption of {{ cp-7_prm_1 }} for essential - missions/business functions within {{ cp-7_prm_2 }} when the - primary processing capabilities are unavailable; - """ - - - id: cp-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that equipment and supplies required to transfer and resume operations are - available at the alternate processing site or contracts are in place to support - delivery to the site within the organization-defined time period for - transfer/resumption; and - """ - - - id: cp-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site. - """ - - - id: cp-7_fr - name: item - title: CP-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - id: cp-7_gdn - name: guidance - prose: - """ - Alternate processing sites are sites that are geographically distinct from primary - processing sites. An alternate processing site provides processing capability in the - event that the primary processing site is not available. Items covered by alternate - processing site agreements include, for example, environmental conditions at - alternate sites, access rules, physical and environmental protection requirements, - and coordination for the transfer/assignment of personnel. Requirements are - specifically allocated to alternate processing sites that reflect the requirements in - contingency plans to maintain essential missions/business functions despite - disruption, compromise, or failure in organizational information systems. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #cp-10 - rel: related - text: CP-10 - - - href: #ma-6 - rel: related - text: MA-6 - - - id: cp-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-7.a_obj - name: objective - properties: - - - name: label - value: CP-7(a) - parts: - - - id: cp-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-7(a)[1] - prose: - """ - defines information system operations requiring an alternate processing site to - be established to permit the transfer and resumption of such operations; - """ - - - id: cp-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-7(a)[2] - prose: - """ - defines the time period consistent with recovery time objectives and recovery - point objectives (as specified in the information system contingency plan) for - transfer/resumption of organization-defined information system operations for - essential missions/business functions; - """ - - - id: cp-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(a)[3] - prose: - """ - establishes an alternate processing site including necessary agreements to - permit the transfer and resumption of organization-defined information system - operations for essential missions/business functions, within the - organization-defined time period, when the primary processing capabilities are - unavailable; - """ - - - id: cp-7.b_obj - name: objective - properties: - - - name: label - value: CP-7(b) - parts: - - - id: cp-7.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(b)[1] - prose: - """ - ensures that equipment and supplies required to transfer and resume operations - are available at the alternate processing site; or - """ - - - id: cp-7.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(b)[2] - prose: - """ - ensures that contracts are in place to support delivery to the site within the - organization-defined time period for transfer/resumption; and - """ - - - id: cp-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-7(c) - prose: - """ - ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nspare equipment and supplies inventory at alternate processing site\n\nequipment and supply contracts\n\nservice-level agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for contingency planning and/or - alternate site arrangements\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for recovery at the alternate site\n\nautomated mechanisms supporting and/or implementing recovery at the alternate - processing site - """ - controls: - - - id: cp-7.1 - class: SP800-53-enhancement - title: Separation from Primary Site - properties: - - - name: label - value: CP-7(1) - - - name: sort-id - value: cp-07.01 - parts: - - - id: cp-7.1_smt - name: statement - prose: - """ - The organization identifies an alternate processing site that is separated from - the primary processing site to reduce susceptibility to the same threats. - """ - parts: - - - id: cp-7.1_fr - name: item - title: CP-7 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant. - - - id: cp-7.1_gdn - name: guidance - prose: - """ - Threats that affect alternate processing sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate processing sites based on the types of threats that - are of concern. For one particular type of threat (i.e., hostile cyber attack), - the degree of separation between sites is less relevant. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-7.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization identifies an alternate processing site that is - separated from the primary storage site to reduce susceptibility to the same - threats. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-7.2 - class: SP800-53-enhancement - title: Accessibility - properties: - - - name: label - value: CP-7(2) - - - name: sort-id - value: cp-07.02 - parts: - - - id: cp-7.2_smt - name: statement - prose: - """ - The organization identifies potential accessibility problems to the alternate - processing site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions. - """ - - - id: cp-7.2_gdn - name: guidance - prose: - """ - Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. - """ - links: - - - href: #ra-3 - rel: related - text: RA-3 - - - id: cp-7.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-7.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-7(2)[1] - prose: - """ - identifies potential accessibility problems to the alternate processing site in - the event of an area-wide disruption or disaster; and - """ - - - id: cp-7.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-7(2)[2] - prose: - """ - outlines explicit mitigation actions for such potential accessibility problems - to the alternate processing site in the event of an area-wide disruption or - disaster. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site\n\nalternate processing site agreements\n\nprimary processing site agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-7.3 - class: SP800-53-enhancement - title: Priority of Service - properties: - - - name: label - value: CP-7(3) - - - name: sort-id - value: cp-07.03 - parts: - - - id: cp-7.3_smt - name: statement - prose: - """ - The organization develops alternate processing site agreements that contain - priority-of-service provisions in accordance with organizational availability - requirements (including recovery time objectives). - """ - - - id: cp-7.3_gdn - name: guidance - prose: - """ - Priority-of-service agreements refer to negotiated agreements with service - providers that ensure that organizations receive priority treatment consistent - with their availability requirements and the availability of information resources - at the alternate processing site. - """ - - - id: cp-7.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization develops alternate processing site agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in the - information system contingency plan). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate processing sites\n\ncontingency plan\n\nalternate processing site agreements\n\nservice-level agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan alternate processing site - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - id: cp-8 - class: SP800-53 - title: Telecommunications Services - parameters: - - - id: cp-8_prm_1 - label: organization-defined information system operations - - - id: cp-8_prm_2 - label: organization-defined time period - properties: - - - name: label - value: CP-8 - - - name: sort-id - value: cp-08 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - - - href: #fb5844de-ff96-47c0-b258-4f52bcc2f30d - rel: reference - text: National Communications Systems Directive 3-10 - - - href: #3ac12e79-f54f-4a63-9f4b-ee4bcd4df604 - rel: reference - text: http://www.dhs.gov/telecommunications-service-priority-tsp - parts: - - - id: cp-8_smt - name: statement - prose: - """ - The organization establishes alternate telecommunications services including - necessary agreements to permit the resumption of {{ cp-8_prm_1 }} for - essential missions and business functions within {{ cp-8_prm_2 }} when - the primary telecommunications capabilities are unavailable at either the primary or - alternate processing or storage sites. - """ - parts: - - - id: cp-8_fr - name: item - title: CP-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - id: cp-8_gdn - name: guidance - prose: - """ - This control applies to telecommunications services (data and voice) for primary and - alternate processing and storage sites. Alternate telecommunications services reflect - the continuity requirements in contingency plans to maintain essential - missions/business functions despite the loss of primary telecommunications services. - Organizations may specify different time periods for primary/alternate sites. - Alternate telecommunications services include, for example, additional organizational - or commercial ground-based circuits/lines or satellites in lieu of ground-based - communications. Organizations consider factors such as availability, quality of - service, and access when entering into alternate telecommunications agreements. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: cp-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-8_obj.1 - name: objective - properties: - - - name: label - value: CP-8[1] - prose: - """ - defines information system operations requiring alternate telecommunications - services to be established to permit the resumption of such operations; - """ - - - id: cp-8_obj.2 - name: objective - properties: - - - name: label - value: CP-8[2] - prose: - """ - defines the time period to permit resumption of organization-defined information - system operations for essential missions and business functions; and - """ - - - id: cp-8_obj.3 - name: objective - properties: - - - name: label - value: CP-8[3] - prose: - """ - establishes alternate telecommunications services including necessary agreements - to permit the resumption of organization-defined information system operations for - essential missions and business functions, within the organization-defined time - period, when the primary telecommunications capabilities are unavailable at either - the primary or alternate processing or storage sites. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting telecommunications - controls: - - - id: cp-8.1 - class: SP800-53-enhancement - title: Priority of Service Provisions - properties: - - - name: label - value: CP-8(1) - - - name: sort-id - value: cp-08.01 - parts: - - - id: cp-8.1_smt - name: statement - prose: The organization: - parts: - - - id: cp-8.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives); and - """ - - - id: cp-8.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier. - """ - - - id: cp-8.1_gdn - name: guidance - prose: - """ - Organizations consider the potential mission/business impact in situations where - telecommunications service providers are servicing other organizations with - similar priority-of-service provisions. - """ - - - id: cp-8.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-8(1)[1] - prose: - """ - develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in - the information system contingency plan); and - """ - - - id: cp-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-8(1)[2] - prose: - """ - requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nTelecommunications Service Priority documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibility for acquisitions/contractual - agreements - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting telecommunications - - - id: cp-8.2 - class: SP800-53-enhancement - title: Single Points of Failure - properties: - - - name: label - value: CP-8(2) - - - name: sort-id - value: cp-08.02 - parts: - - - id: cp-8.2_smt - name: statement - prose: - """ - The organization obtains alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services. - """ - - - id: cp-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization obtains alternate telecommunications services to - reduce the likelihood of sharing a single point of failure with primary - telecommunications services. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing primary and alternate telecommunications services\n\ncontingency plan\n\nprimary and alternate telecommunications service agreements\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency plan telecommunications - responsibilities\n\norganizational personnel with information system recovery responsibilities\n\nprimary and alternate telecommunications service providers\n\norganizational personnel with information security responsibilities - """ - - - id: cp-9 - class: SP800-53 - title: Information System Backup - parameters: - - - id: cp-9_prm_1 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_2 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - - - id: cp-9_prm_3 - label: - """ - organization-defined frequency consistent with recovery time and recovery point - objectives - """ - constraints: - - - detail: daily incremental; weekly full - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-9 - - - name: sort-id - value: cp-09 - links: - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-9_smt - name: statement - prose: The organization: - parts: - - - id: cp-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts backups of user-level information contained in the information system - {{ cp-9_prm_1 }}; - """ - - - id: cp-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Conducts backups of system-level information contained in the information system - {{ cp-9_prm_2 }}; - """ - - - id: cp-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Conducts backups of information system documentation including security-related - documentation {{ cp-9_prm_3 }}; and - """ - - - id: cp-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online). - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online). - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online). - - - id: cp-9_gdn - name: guidance - prose: - """ - System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: cp-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.a_obj - name: objective - properties: - - - name: label - value: CP-9(a) - parts: - - - id: cp-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(a)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system; - """ - - - id: cp-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(a)[2] - prose: - """ - conducts backups of user-level information contained in the information system - with the organization-defined frequency; - """ - - - id: cp-9.b_obj - name: objective - properties: - - - name: label - value: CP-9(b) - parts: - - - id: cp-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(b)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system; - """ - - - id: cp-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(b)[2] - prose: - """ - conducts backups of system-level information contained in the information - system with the organization-defined frequency; - """ - - - id: cp-9.c_obj - name: objective - properties: - - - name: label - value: CP-9(c) - parts: - - - id: cp-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(c)[1] - prose: - """ - defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation; - """ - - - id: cp-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(c)[2] - prose: - """ - conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and - """ - - - id: cp-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(d) - prose: - """ - protects the confidentiality, integrity, and availability of backup information at - storage locations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\nbackup storage location(s)\n\ninformation system backup logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system backups - controls: - - - id: cp-9.1 - class: SP800-53-enhancement - title: Testing for Reliability / Integrity - parameters: - - - id: cp-9.1_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: CP-9(1) - - - name: sort-id - value: cp-09.01 - parts: - - - id: cp-9.1_smt - name: statement - prose: - """ - The organization tests backup information {{ cp-9.1_prm_1 }} to - verify media reliability and information integrity. - """ - - - id: cp-9.1_gdn - name: guidance - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - id: cp-9.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(1)[1] - prose: - """ - defines the frequency to test backup information to verify media reliability - and information integrity; and - """ - - - id: cp-9.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-9(1)[2] - prose: - """ - tests backup information with the organization-defined frequency to verify - media reliability and information integrity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test documentation\n\ncontingency plan test results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for conducting information system backups\n\nautomated mechanisms supporting and/or implementing information system - backups - """ - - - id: cp-9.3 - class: SP800-53-enhancement - title: Separate Storage for Critical Information - parameters: - - - id: cp-9.3_prm_1 - label: - """ - organization-defined critical information system software and other - security-related information - """ - properties: - - - name: label - value: CP-9(3) - - - name: sort-id - value: cp-09.03 - parts: - - - id: cp-9.3_smt - name: statement - prose: - """ - The organization stores backup copies of {{ cp-9.3_prm_1 }} in a - separate facility or in a fire-rated container that is not collocated with the - operational system. - """ - - - id: cp-9.3_gdn - name: guidance - prose: - """ - Critical information system software includes, for example, operating systems, - cryptographic key management systems, and intrusion detection/prevention systems. - Security-related information includes, for example, organizational inventories of - hardware, software, and firmware components. Alternate storage sites typically - serve as separate storage facilities for organizations. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-8 - rel: related - text: CM-8 - - - id: cp-9.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: cp-9.3_obj.1 - name: objective - properties: - - - name: label - value: CP-9(3)[1] - parts: - - - id: cp-9.3_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(3)[1][a] - prose: - """ - defines critical information system software and other security-related - information requiring backup copies to be stored in a separate facility; - or - """ - - - id: cp-9.3_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: CP-9(3)[1][b] - prose: - """ - defines critical information system software and other security-related - information requiring backup copies to be stored in a fire-rated container - that is not collocated with the operational system; and - """ - - - id: cp-9.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: CP-9(3)[2] - prose: - """ - stores backup copies of organization-defined critical information system - software and other security-related information in a separate facility or in a - fire-rated container that is not collocated with the operational system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\nbackup storage location(s)\n\ninformation system backup configurations and associated documentation\n\ninformation system backup logs or records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning and plan implementation - responsibilities\n\norganizational personnel with information system backup responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: cp-10 - class: SP800-53 - title: Information System Recovery and Reconstitution - properties: - - - name: label - value: CP-10 - - - name: sort-id - value: cp-10 - links: - - - href: #023104bc-6f75-4cd5-b7d0-fc92326f8007 - rel: reference - text: Federal Continuity Directive 1 - - - href: #748a81b9-9cad-463f-abde-8b368167e70d - rel: reference - text: NIST Special Publication 800-34 - parts: - - - id: cp-10_smt - name: statement - prose: - """ - The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure. - """ - - - id: cp-10_gdn - name: guidance - prose: - """ - Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: cp-10_obj - name: objective - prose: Determine if the organization provides for: - parts: - - - id: cp-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - name: label - value: CP-10[1] - prose: the recovery of the information system to a known state after: - parts: - - - id: cp-10_obj.1.a - name: objective - properties: - - - name: label - value: CP-10[1][a] - prose: a disruption; - - - id: cp-10_obj.1.b - name: objective - properties: - - - name: label - value: CP-10[1][b] - prose: a compromise; or - - - id: cp-10_obj.1.c - name: objective - properties: - - - name: label - value: CP-10[1][c] - prose: a failure; - - - id: cp-10_obj.2 - name: objective - properties: - - - name: label - value: CP-10[2] - prose: the reconstitution of the information system to a known state after: - parts: - - - id: cp-10_obj.2.a - name: objective - properties: - - - name: label - value: CP-10[2][a] - prose: a disruption; - - - id: cp-10_obj.2.b - name: objective - properties: - - - name: label - value: CP-10[2][b] - prose: a compromise; or - - - id: cp-10_obj.2.c - name: objective - properties: - - - name: label - value: CP-10[2][c] - prose: a failure. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system backup\n\ncontingency plan\n\ninformation system backup test results\n\ncontingency plan test results\n\ncontingency plan test documentation\n\nredundant secondary system for information system backups\n\nlocation(s) of redundant secondary backup system(s)\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes implementing information system recovery and - reconstitution operations\n\nautomated mechanisms supporting and/or implementing information system recovery - and reconstitution operations - """ - controls: - - - id: cp-10.2 - class: SP800-53-enhancement - title: Transaction Recovery - properties: - - - name: label - value: CP-10(2) - - - name: sort-id - value: cp-10.02 - parts: - - - id: cp-10.2_smt - name: statement - prose: - """ - The information system implements transaction recovery for systems that are - transaction-based. - """ - - - id: cp-10.2_gdn - name: guidance - prose: - """ - Transaction-based information systems include, for example, database management - systems and transaction processing systems. Mechanisms supporting transaction - recovery include, for example, transaction rollback and transaction - journaling. - """ - - - id: cp-10.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements transaction recovery for systems - that are transaction-based. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Contingency planning policy\n\nprocedures addressing information system recovery and reconstitution\n\ncontingency plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncontingency plan test documentation\n\ncontingency plan test results\n\ninformation system transaction recovery records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for transaction recovery\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing transaction recovery - capability - """ - - - id: ia - class: family - title: Identification and Authentication - controls: - - - id: ia-1 - class: SP800-53 - title: Identification and Authentication Policy and Procedures - parameters: - - - id: ia-1_prm_1 - label: organization-defined personnel or roles - - - id: ia-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ia-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-1 - - - name: sort-id - value: ia-01 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ia-1_smt - name: statement - prose: The organization: - parts: - - - id: ia-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ia-1_prm_1 }}: - parts: - - - id: ia-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: ia-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and - """ - - - id: ia-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ia-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Identification and authentication policy {{ ia-1_prm_2 }}; - and - """ - - - id: ia-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Identification and authentication procedures {{ ia-1_prm_3 }}. - - - id: ia-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ia-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-1.a_obj - name: objective - properties: - - - name: label - value: IA-1(a) - parts: - - - id: ia-1.a.1_obj - name: objective - properties: - - - name: label - value: IA-1(a)(1) - parts: - - - id: ia-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(1)[1] - prose: - """ - develops and documents an identification and authentication policy that - addresses: - """ - parts: - - - id: ia-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][a] - prose: purpose; - - - id: ia-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][b] - prose: scope; - - - id: ia-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][c] - prose: roles; - - - id: ia-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ia-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][e] - prose: management commitment; - - - id: ia-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ia-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IA-1(a)(1)[1][g] - prose: compliance; - - - id: ia-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and - """ - - - id: ia-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-1(a)(1)[3] - prose: - """ - disseminates the identification and authentication policy to - organization-defined personnel or roles; - """ - - - id: ia-1.a.2_obj - name: objective - properties: - - - name: label - value: IA-1(a)(2) - parts: - - - id: ia-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls; - """ - - - id: ia-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ia-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ia-1.b_obj - name: objective - properties: - - - name: label - value: IA-1(b) - parts: - - - id: ia-1.b.1_obj - name: objective - properties: - - - name: label - value: IA-1(b)(1) - parts: - - - id: ia-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication policy; - """ - - - id: ia-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(1)[2] - prose: - """ - reviews and updates the current identification and authentication policy - with the organization-defined frequency; and - """ - - - id: ia-1.b.2_obj - name: objective - properties: - - - name: label - value: IA-1(b)(2) - parts: - - - id: ia-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current identification and - authentication procedures; and - """ - - - id: ia-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-1(b)(2)[2] - prose: - """ - reviews and updates the current identification and authentication procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with identification and authentication - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ia-2 - class: SP800-53 - title: Identification and Authentication (organizational Users) - properties: - - - name: label - value: IA-2 - - - name: sort-id - value: ia-02 - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #4da24a96-6cf8-435d-9d1f-c73247cad109 - rel: reference - text: OMB Memorandum 06-16 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-2_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates organizational users (or - processes acting on behalf of organizational users). - """ - - - id: ia-2_gdn - name: guidance - prose: - """ - Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: ia-2_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for uniquely identifying and authenticating users\n\nautomated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-2.1 - class: SP800-53-enhancement - title: Network Access to Privileged Accounts - properties: - - - name: label - value: IA-2(1) - - - name: sort-id - value: ia-02.01 - parts: - - - id: ia-2.1_smt - name: statement - prose: - """ - The information system implements multifactor authentication for network access to - privileged accounts. - """ - - - id: ia-2.1_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - network access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.2 - class: SP800-53-enhancement - title: Network Access to Non-privileged Accounts - properties: - - - name: label - value: IA-2(2) - - - name: sort-id - value: ia-02.02 - parts: - - - id: ia-2.2_smt - name: statement - prose: - """ - The information system implements multifactor authentication for network access to - non-privileged accounts. - """ - - - id: ia-2.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - network access to non-privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.3 - class: SP800-53-enhancement - title: Local Access to Privileged Accounts - properties: - - - name: label - value: IA-2(3) - - - name: sort-id - value: ia-02.03 - parts: - - - id: ia-2.3_smt - name: statement - prose: - """ - The information system implements multifactor authentication for local access to - privileged accounts. - """ - - - id: ia-2.3_gdn - name: guidance - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements multifactor authentication for - local access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing multifactor authentication - capability - """ - - - id: ia-2.5 - class: SP800-53-enhancement - title: Group Authentication - properties: - - - name: label - value: IA-2(5) - - - name: sort-id - value: ia-02.05 - parts: - - - id: ia-2.5_smt - name: statement - prose: - """ - The organization requires individuals to be authenticated with an individual - authenticator when a group authenticator is employed. - """ - - - id: ia-2.5_gdn - name: guidance - prose: - """ - Requiring individuals to use individual authenticators as a second level of - authentication helps organizations to mitigate the risk of using group - authenticators. - """ - - - id: ia-2.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires individuals to be authenticated with an - individual authenticator when a group authenticator is employed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authentication capability - for group accounts - """ - - - id: ia-2.8 - class: SP800-53-enhancement - title: Network Access to Privileged Accounts - Replay Resistant - properties: - - - name: label - value: IA-2(8) - - - name: sort-id - value: ia-02.08 - parts: - - - id: ia-2.8_smt - name: statement - prose: - """ - The information system implements replay-resistant authentication mechanisms for - network access to privileged accounts. - """ - - - id: ia-2.8_gdn - name: guidance - prose: - """ - Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by replaying previous authentication messages. - Replay-resistant techniques include, for example, protocols that use nonces or - challenges such as Transport Layer Security (TLS) and time synchronous or - challenge-response one-time authenticators. - """ - - - id: ia-2.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements replay-resistant authentication - mechanisms for network access to privileged accounts. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of privileged information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing replay resistant - authentication mechanisms - """ - - - id: ia-2.11 - class: SP800-53-enhancement - title: Remote Access - Separate Device - parameters: - - - id: ia-2.11_prm_1 - label: organization-defined strength of mechanism requirements - constraints: - - - detail: FIPS 140-2, NIAP Certification, or NSA approval - properties: - - - name: label - value: IA-2(11) - - - name: sort-id - value: ia-02.11 - parts: - - - id: ia-2.11_smt - name: statement - prose: - """ - The information system implements multifactor authentication for remote access to - privileged and non-privileged accounts such that one of the factors is provided by - a device separate from the system gaining access and the device meets {{ ia-2.11_prm_1 }}. - """ - parts: - - - id: ia-2.11_fr - name: item - title: IA-2 (11) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.11_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials. - - - id: ia-2.11_gdn - name: guidance - prose: - """ - For remote access to privileged/non-privileged accounts, the purpose of requiring - a device that is separate from the information system gaining access for one of - the factors during multifactor authentication is to reduce the likelihood of - compromising authentication credentials stored on the system. For example, - adversaries deploying malicious code on organizational information systems can - potentially compromise such credentials resident on the system and subsequently - impersonate authorized users. - """ - links: - - - href: #ac-6 - rel: related - text: AC-6 - - - id: ia-2.11_obj - name: objective - prose: Determine if: - parts: - - - id: ia-2.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[1] - prose: - """ - the information system implements multifactor authentication for remote access - to privileged accounts such that one of the factors is provided by a device - separate from the system gaining access; - """ - - - id: ia-2.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[2] - prose: - """ - the information system implements multifactor authentication for remote access - to non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access; - """ - - - id: ia-2.11_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-2(11)[3] - prose: - """ - the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to privileged - accounts; - """ - - - id: ia-2.11_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-2(11)[4] - prose: - """ - the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to non-privileged - accounts; - """ - - - id: ia-2.11_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[5] - prose: - """ - the information system implements multifactor authentication for remote access - to privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements; and - """ - - - id: ia-2.11_obj.6 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(11)[6] - prose: - """ - the information system implements multifactor authentication for remote access - to non-privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of privileged and non-privileged information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - id: ia-2.12 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials - properties: - - - name: label - value: IA-2(12) - - - name: sort-id - value: ia-02.12 - parts: - - - id: ia-2.12_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials. - """ - parts: - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - - - id: ia-2.12_gdn - name: guidance - prose: - """ - This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-2.12_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-2.12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(12)[1] - prose: accepts Personal Identity Verification (PIV) credentials; and - - - id: ia-2.12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-2(12)[2] - prose: electronically verifies Personal Identity Verification (PIV) credentials. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials - """ - - - id: ia-3 - class: SP800-53 - title: Device Identification and Authentication - parameters: - - - id: ia-3_prm_1 - label: organization-defined specific and/or types of devices - - - id: ia-3_prm_2 - properties: - - - name: label - value: IA-3 - - - name: sort-id - value: ia-03 - parts: - - - id: ia-3_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates {{ ia-3_prm_1 }} before establishing a {{ ia-3_prm_2 }} - connection. - """ - - - id: ia-3_gdn - name: guidance - prose: - """ - Organizational devices requiring unique device-to-device identification and - authentication may be defined by type, by device, or by a combination of type/device. - Information systems typically use either shared known information (e.g., Media Access - Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) - for device identification or organizational authentication solutions (e.g., IEEE - 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport - Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on - local and/or wide area networks. Organizations determine the required strength of - authentication mechanisms by the security categories of information systems. Because - of the challenges of applying this control on large scale, organizations are - encouraged to only apply the control to those limited number (and type) of devices - that truly need to support this capability. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - id: ia-3_obj - name: objective - prose: Determine if: - parts: - - - id: ia-3_obj.1 - name: objective - properties: - - - name: label - value: IA-3[1] - prose: - """ - the organization defines specific and/or types of devices that the information - system uniquely identifies and authenticates before establishing one or more of - the following: - """ - parts: - - - id: ia-3_obj.1.a - name: objective - properties: - - - name: label - value: IA-3[1][a] - prose: a local connection; - - - id: ia-3_obj.1.b - name: objective - properties: - - - name: label - value: IA-3[1][b] - prose: a remote connection; and/or - - - id: ia-3_obj.1.c - name: objective - properties: - - - name: label - value: IA-3[1][c] - prose: a network connection; and - - - id: ia-3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-3[2] - prose: - """ - the information system uniquely identifies and authenticates organization-defined - devices before establishing one or more of the following: - """ - parts: - - - id: ia-3_obj.2.a - name: objective - properties: - - - name: label - value: IA-3[2][a] - prose: a local connection; - - - id: ia-3_obj.2.b - name: objective - properties: - - - name: label - value: IA-3[2][b] - prose: a remote connection; and/or - - - id: ia-3_obj.2.c - name: objective - properties: - - - name: label - value: IA-3[2][c] - prose: a network connection. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing device identification and authentication\n\ninformation system design documentation\n\nlist of devices requiring unique identification and authentication\n\ndevice connection reports\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with operational responsibilities for device - identification and authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing device identification and - authentication capability - """ - - - id: ia-4 - class: SP800-53 - title: Identifier Management - parameters: - - - id: ia-4_prm_1 - label: organization-defined personnel or roles - - - id: ia-4_prm_2 - label: organization-defined time period - constraints: - - - detail: IA-4 (d) [at least two years] - - - id: ia-4_prm_3 - label: organization-defined time period of inactivity - constraints: - - - detail: ninety days for user identifiers (See additional requirements and guidance) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-4 - - - name: sort-id - value: ia-04 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - parts: - - - id: ia-4_smt - name: statement - prose: The organization manages information system identifiers by: - parts: - - - id: ia-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receiving authorization from {{ ia-4_prm_1 }} to assign an - individual, group, role, or device identifier; - """ - - - id: ia-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Selecting an identifier that identifies an individual, group, role, or device; - - - id: ia-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Assigning the identifier to the intended individual, group, role, or device; - - - id: ia-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Preventing reuse of identifiers for {{ ia-4_prm_2 }}; and - - - id: ia-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Disabling the identifier after {{ ia-4_prm_3 }}. - - - id: ia-4_fr - name: item - title: IA-4(e) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-4_fr_smt.e - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period of inactivity for device identifiers. - - - id: ia-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx). - - - id: ia-4_gdn - name: guidance - prose: - """ - Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #sc-37 - rel: related - text: SC-37 - - - id: ia-4_obj - name: objective - prose: Determine if the organization manages information system identifiers by: - parts: - - - id: ia-4.a_obj - name: objective - properties: - - - name: label - value: IA-4(a) - parts: - - - id: ia-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(a)[1] - prose: - """ - defining personnel or roles from whom authorization must be received to - assign: - """ - parts: - - - id: ia-4.a_obj.1.a - name: objective - properties: - - - name: label - value: IA-4(a)[1][a] - prose: an individual identifier; - - - id: ia-4.a_obj.1.b - name: objective - properties: - - - name: label - value: IA-4(a)[1][b] - prose: a group identifier; - - - id: ia-4.a_obj.1.c - name: objective - properties: - - - name: label - value: IA-4(a)[1][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.1.d - name: objective - properties: - - - name: label - value: IA-4(a)[1][d] - prose: a device identifier; - - - id: ia-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(a)[2] - prose: - """ - receiving authorization from organization-defined personnel or roles to - assign: - """ - parts: - - - id: ia-4.a_obj.2.a - name: objective - properties: - - - name: label - value: IA-4(a)[2][a] - prose: an individual identifier; - - - id: ia-4.a_obj.2.b - name: objective - properties: - - - name: label - value: IA-4(a)[2][b] - prose: a group identifier; - - - id: ia-4.a_obj.2.c - name: objective - properties: - - - name: label - value: IA-4(a)[2][c] - prose: a role identifier; and/or - - - id: ia-4.a_obj.2.d - name: objective - properties: - - - name: label - value: IA-4(a)[2][d] - prose: a device identifier; - - - id: ia-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(b) - prose: selecting an identifier that identifies: - parts: - - - id: ia-4.b_obj.1 - name: objective - properties: - - - name: label - value: IA-4(b)[1] - prose: an individual; - - - id: ia-4.b_obj.2 - name: objective - properties: - - - name: label - value: IA-4(b)[2] - prose: a group; - - - id: ia-4.b_obj.3 - name: objective - properties: - - - name: label - value: IA-4(b)[3] - prose: a role; and/or - - - id: ia-4.b_obj.4 - name: objective - properties: - - - name: label - value: IA-4(b)[4] - prose: a device; - - - id: ia-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(c) - prose: assigning the identifier to the intended: - parts: - - - id: ia-4.c_obj.1 - name: objective - properties: - - - name: label - value: IA-4(c)[1] - prose: individual; - - - id: ia-4.c_obj.2 - name: objective - properties: - - - name: label - value: IA-4(c)[2] - prose: group; - - - id: ia-4.c_obj.3 - name: objective - properties: - - - name: label - value: IA-4(c)[3] - prose: role; and/or - - - id: ia-4.c_obj.4 - name: objective - properties: - - - name: label - value: IA-4(c)[4] - prose: device; - - - id: ia-4.d_obj - name: objective - properties: - - - name: label - value: IA-4(d) - parts: - - - id: ia-4.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(d)[1] - prose: defining a time period for preventing reuse of identifiers; - - - id: ia-4.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(d)[2] - prose: preventing reuse of identifiers for the organization-defined time period; - - - id: ia-4.e_obj - name: objective - properties: - - - name: label - value: IA-4(e) - parts: - - - id: ia-4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(e)[1] - prose: defining a time period of inactivity to disable the identifier; and - - - id: ia-4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(e)[2] - prose: - """ - disabling the identifier after the organization-defined time period of - inactivity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system accounts\n\nlist of identifiers generated from physical access control devices\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier management - controls: - - - id: ia-4.4 - class: SP800-53-enhancement - title: Identify User Status - parameters: - - - id: ia-4.4_prm_1 - label: organization-defined characteristic identifying individual status - constraints: - - - detail: contractors; foreign nationals - properties: - - - name: label - value: IA-4(4) - - - name: sort-id - value: ia-04.04 - parts: - - - id: ia-4.4_smt - name: statement - prose: - """ - The organization manages individual identifiers by uniquely identifying each - individual as {{ ia-4.4_prm_1 }}. - """ - - - id: ia-4.4_gdn - name: guidance - prose: - """ - Characteristics identifying the status of individuals include, for example, - contractors and foreign nationals. Identifying the status of individuals by - specific characteristics provides additional information about the people with - whom organizational personnel are communicating. For example, it might be useful - for a government employee to know that one of the individuals on an email message - is a contractor. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - id: ia-4.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-4.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-4(4)[1] - prose: defines a characteristic to be used to identify individual status; and - - - id: ia-4.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-4(4)[2] - prose: - """ - manages individual identifiers by uniquely identifying each individual as the - organization-defined characteristic identifying individual status. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing identifier management\n\nprocedures addressing account management\n\nlist of characteristics identifying individual status\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with identifier management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing identifier management - - - id: ia-5 - class: SP800-53 - title: Authenticator Management - parameters: - - - id: ia-5_prm_1 - label: organization-defined time period by authenticator type - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-5 - - - name: sort-id - value: ia-05 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-5_smt - name: statement - prose: The organization manages information system authenticators by: - parts: - - - id: ia-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator; - """ - - - id: ia-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators; - """ - - - id: ia-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators; - """ - - - id: ia-5_smt.g - name: item - properties: - - - name: label - value: g. - prose: Changing/refreshing authenticators {{ ia-5_prm_1 }}; - - - id: ia-5_smt.h - name: item - properties: - - - name: label - value: h. - prose: - """ - Protecting authenticator content from unauthorized disclosure and - modification; - """ - - - id: ia-5_smt.i - name: item - properties: - - - name: label - value: i. - prose: - """ - Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and - """ - - - id: ia-5_smt.j - name: item - properties: - - - name: label - value: j. - prose: - """ - Changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - id: ia-5_fr - name: item - title: IA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3). - - - id: ia-5_gdn - name: guidance - prose: - """ - Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: ia-5_obj - name: objective - prose: Determine if the organization manages information system authenticators by: - parts: - - - id: ia-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(a) - prose: verifying, as part of the initial authenticator distribution, the identity of: - parts: - - - id: ia-5.a_obj.1 - name: objective - properties: - - - name: label - value: IA-5(a)[1] - prose: the individual receiving the authenticator; - - - id: ia-5.a_obj.2 - name: objective - properties: - - - name: label - value: IA-5(a)[2] - prose: the group receiving the authenticator; - - - id: ia-5.a_obj.3 - name: objective - properties: - - - name: label - value: IA-5(a)[3] - prose: the role receiving the authenticator; and/or - - - id: ia-5.a_obj.4 - name: objective - properties: - - - name: label - value: IA-5(a)[4] - prose: the device receiving the authenticator; - - - id: ia-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(b) - prose: - """ - establishing initial authenticator content for authenticators defined by the - organization; - """ - - - id: ia-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(c) - prose: - """ - ensuring that authenticators have sufficient strength of mechanism for their - intended use; - """ - - - id: ia-5.d_obj - name: objective - properties: - - - name: label - value: IA-5(d) - parts: - - - id: ia-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[1] - prose: - """ - establishing and implementing administrative procedures for initial - authenticator distribution; - """ - - - id: ia-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[2] - prose: - """ - establishing and implementing administrative procedures for lost/compromised or - damaged authenticators; - """ - - - id: ia-5.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(d)[3] - prose: - """ - establishing and implementing administrative procedures for revoking - authenticators; - """ - - - id: ia-5.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(e) - prose: - """ - changing default content of authenticators prior to information system - installation; - """ - - - id: ia-5.f_obj - name: objective - properties: - - - name: label - value: IA-5(f) - parts: - - - id: ia-5.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[1] - prose: establishing minimum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[2] - prose: establishing maximum lifetime restrictions for authenticators; - - - id: ia-5.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(f)[3] - prose: establishing reuse conditions for authenticators; - - - id: ia-5.g_obj - name: objective - properties: - - - name: label - value: IA-5(g) - parts: - - - id: ia-5.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(g)[1] - prose: - """ - defining a time period (by authenticator type) for changing/refreshing - authenticators; - """ - - - id: ia-5.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(g)[2] - prose: - """ - changing/refreshing authenticators with the organization-defined time period by - authenticator type; - """ - - - id: ia-5.h_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(h) - prose: protecting authenticator content from unauthorized: - parts: - - - id: ia-5.h_obj.1 - name: objective - properties: - - - name: label - value: IA-5(h)[1] - prose: disclosure; - - - id: ia-5.h_obj.2 - name: objective - properties: - - - name: label - value: IA-5(h)[2] - prose: modification; - - - id: ia-5.i_obj - name: objective - properties: - - - name: label - value: IA-5(i) - parts: - - - id: ia-5.i_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-5(i)[1] - prose: - """ - requiring individuals to take specific security safeguards to protect - authenticators; - """ - - - id: ia-5.i_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(i)[2] - prose: - """ - having devices implement specific security safeguards to protect - authenticators; and - """ - - - id: ia-5.j_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(j) - prose: - """ - changing authenticators for group/role accounts when membership to those accounts - changes. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system authenticator types\n\nchange control records associated with managing information system - authenticators\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability - """ - controls: - - - id: ia-5.1 - class: SP800-53-enhancement - title: Password-based Authentication - parameters: - - - id: ia-5.1_prm_1 - label: - """ - organization-defined requirements for case sensitivity, number of characters, - mix of upper-case letters, lower-case letters, numbers, and special characters, - including minimum requirements for each type - """ - - - id: ia-5.1_prm_2 - label: organization-defined number - constraints: - - - detail: at least one - - - id: ia-5.1_prm_3 - label: organization-defined numbers for lifetime minimum, lifetime maximum - - - id: ia-5.1_prm_4 - label: organization-defined number - constraints: - - - detail: twenty four (24) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IA-5(1) - - - name: sort-id - value: ia-05.01 - parts: - - - id: ia-5.1_smt - name: statement - prose: The information system, for password-based authentication: - parts: - - - id: ia-5.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Enforces minimum password complexity of {{ ia-5.1_prm_1 }}; - - - id: ia-5.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Enforces at least the following number of changed characters when new passwords - are created: {{ ia-5.1_prm_2 }}; - """ - - - id: ia-5.1_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Stores and transmits only cryptographically-protected passwords; - - - id: ia-5.1_smt.d - name: item - properties: - - - name: label - value: (d) - prose: Enforces password minimum and maximum lifetime restrictions of {{ ia-5.1_prm_3 }}; - - - id: ia-5.1_smt.e - name: item - properties: - - - name: label - value: (e) - prose: - """ - Prohibits password reuse for {{ ia-5.1_prm_4 }} generations; - and - """ - - - id: ia-5.1_smt.f - name: item - properties: - - - name: label - value: (f) - prose: - """ - Allows the use of a temporary password for system logons with an immediate - change to a permanent password. - """ - - - id: ia-5.1_fr - name: item - title: IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) (d) Guidance: - prose: If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant. - - - id: ia-5.1_gdn - name: guidance - prose: - """ - This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords. - """ - links: - - - href: #ia-6 - rel: related - text: IA-6 - - - id: ia-5.1_obj - name: objective - prose: Determine if, for password-based authentication: - parts: - - - id: ia-5.1.a_obj - name: objective - properties: - - - name: label - value: IA-5(1)(a) - parts: - - - id: ia-5.1.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[1] - prose: the organization defines requirements for case sensitivity; - - - id: ia-5.1.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[2] - prose: the organization defines requirements for number of characters; - - - id: ia-5.1.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[3] - prose: - """ - the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters; - """ - - - id: ia-5.1.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(a)[4] - prose: - """ - the organization defines minimum requirements for each type of - character; - """ - - - id: ia-5.1.a_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(a)[5] - prose: - """ - the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type; - """ - links: - - - href: #ia-5.1_smt.a - rel: corresp - text: IA-5(1)(a) - - - id: ia-5.1.b_obj - name: objective - properties: - - - name: label - value: IA-5(1)(b) - parts: - - - id: ia-5.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(b)[1] - prose: - """ - the organization defines a minimum number of changed characters to be - enforced when new passwords are created; - """ - - - id: ia-5.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(b)[2] - prose: - """ - the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created; - """ - links: - - - href: #ia-5.1_smt.b - rel: corresp - text: IA-5(1)(b) - - - id: ia-5.1.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(c) - prose: - """ - the information system stores and transmits only encrypted representations of - passwords; - """ - links: - - - href: #ia-5.1_smt.c - rel: corresp - text: IA-5(1)(c) - - - id: ia-5.1.d_obj - name: objective - properties: - - - name: label - value: IA-5(1)(d) - parts: - - - id: ia-5.1.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(d)[1] - prose: - """ - the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(d)[2] - prose: - """ - the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords; - """ - - - id: ia-5.1.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(d)[3] - prose: - """ - the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum; - """ - - - id: ia-5.1.d_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(d)[4] - prose: - """ - the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum; - """ - links: - - - href: #ia-5.1_smt.d - rel: corresp - text: IA-5(1)(d) - - - id: ia-5.1.e_obj - name: objective - properties: - - - name: label - value: IA-5(1)(e) - parts: - - - id: ia-5.1.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(1)(e)[1] - prose: - """ - the organization defines the number of password generations to be prohibited - from password reuse; - """ - - - id: ia-5.1.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(e)[2] - prose: - """ - the information system prohibits password reuse for the organization-defined - number of generations; and - """ - links: - - - href: #ia-5.1_smt.e - rel: corresp - text: IA-5(1)(e) - - - id: ia-5.1.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(1)(f) - prose: - """ - the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password. - """ - links: - - - href: #ia-5.1_smt.f - rel: corresp - text: IA-5(1)(f) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\npassword policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\npassword configurations and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing password-based - authenticator management capability - """ - - - id: ia-5.2 - class: SP800-53-enhancement - title: Pki-based Authentication - properties: - - - name: label - value: IA-5(2) - - - name: sort-id - value: ia-05.02 - parts: - - - id: ia-5.2_smt - name: statement - prose: The information system, for PKI-based authentication: - parts: - - - id: ia-5.2_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Validates certifications by constructing and verifying a certification path to - an accepted trust anchor including checking certificate status information; - """ - - - id: ia-5.2_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Enforces authorized access to the corresponding private key; - - - id: ia-5.2_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Maps the authenticated identity to the account of the individual or group; - and - """ - - - id: ia-5.2_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network. - """ - - - id: ia-5.2_gdn - name: guidance - prose: - """ - Status information for certification paths includes, for example, certificate - revocation lists or certificate status protocol responses. For PIV cards, - validation of certifications involves the construction and verification of a - certification path to the Common Policy Root trust anchor including certificate - policy processing. - """ - links: - - - href: #ia-6 - rel: related - text: IA-6 - - - id: ia-5.2_obj - name: objective - prose: Determine if the information system, for PKI-based authentication: - parts: - - - id: ia-5.2.a_obj - name: objective - properties: - - - name: label - value: IA-5(2)(a) - parts: - - - id: ia-5.2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(a)[1] - prose: - """ - validates certifications by constructing a certification path to an accepted - trust anchor; - """ - - - id: ia-5.2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(a)[2] - prose: - """ - validates certifications by verifying a certification path to an accepted - trust anchor; - """ - - - id: ia-5.2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(a)[3] - prose: - """ - includes checking certificate status information when constructing and - verifying the certification path; - """ - links: - - - href: #ia-5.2_smt.a - rel: corresp - text: IA-5(2)(a) - - - id: ia-5.2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(b) - prose: enforces authorized access to the corresponding private key; - links: - - - href: #ia-5.2_smt.b - rel: corresp - text: IA-5(2)(b) - - - id: ia-5.2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(c) - prose: - """ - maps the authenticated identity to the account of the individual or group; - and - """ - links: - - - href: #ia-5.2_smt.c - rel: corresp - text: IA-5(2)(c) - - - id: ia-5.2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(2)(d) - prose: - """ - implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network. - """ - links: - - - href: #ia-5.2_smt.d - rel: corresp - text: IA-5(2)(d) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nPKI certification validation records\n\nPKI certification revocation lists\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with PKI-based, authenticator management - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing PKI-based, authenticator - management capability - """ - - - id: ia-5.3 - class: SP800-53-enhancement - title: In-person or Trusted Third-party Registration - parameters: - - - id: ia-5.3_prm_1 - label: organization-defined types of and/or specific authenticators - constraints: - - - detail: All hardware/biometric (multifactor authenticators) - - - id: ia-5.3_prm_2 - constraints: - - - detail: in person - - - id: ia-5.3_prm_3 - label: organization-defined registration authority - - - id: ia-5.3_prm_4 - label: organization-defined personnel or roles - properties: - - - name: label - value: IA-5(3) - - - name: sort-id - value: ia-05.03 - parts: - - - id: ia-5.3_smt - name: statement - prose: - """ - The organization requires that the registration process to receive {{ ia-5.3_prm_1 }} be conducted {{ ia-5.3_prm_2 }} before - {{ ia-5.3_prm_3 }} with authorization by {{ ia-5.3_prm_4 }}. - """ - - - id: ia-5.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-5.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[1] - prose: - """ - defines types of and/or specific authenticators to be received in person or by - a trusted third party; - """ - - - id: ia-5.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[2] - prose: - """ - defines the registration authority with oversight of the registration process - for receipt of organization-defined types of and/or specific - authenticators; - """ - - - id: ia-5.3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[3] - prose: - """ - defines personnel or roles responsible for authorizing organization-defined - registration authority; - """ - - - id: ia-5.3_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(3)[4] - prose: defines if the registration process is to be conducted: - parts: - - - id: ia-5.3_obj.4.a - name: objective - properties: - - - name: label - value: IA-5(3)[4][a] - prose: in person; or - - - id: ia-5.3_obj.4.b - name: objective - properties: - - - name: label - value: IA-5(3)[4][b] - prose: by a trusted third party; and - - - id: ia-5.3_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IA-5(3)[5] - prose: - """ - requires that the registration process to receive organization-defined types of - and/or specific authenticators be conducted in person or by a trusted third - party before organization-defined registration authority with authorization by - organization-defined personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nregistration process for receiving information system authenticators\n\nlist of authenticators requiring in-person registration\n\nlist of authenticators requiring trusted third party registration\n\nauthenticator registration documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\nregistration authority\n\norganizational personnel with information security responsibilities - - - id: ia-5.4 - class: SP800-53-enhancement - title: Automated Support for Password Strength Determination - parameters: - - - id: ia-5.4_prm_1 - label: organization-defined requirements - properties: - - - name: label - value: IA-5(4) - - - name: sort-id - value: ia-05.04 - parts: - - - id: ia-5.4_smt - name: statement - prose: - """ - The organization employs automated tools to determine if password authenticators - are sufficiently strong to satisfy {{ ia-5.4_prm_1 }}. - """ - parts: - - - id: ia-5.4_fr - name: item - title: IA-5 (4) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators. - - - id: ia-5.4_gdn - name: guidance - prose: - """ - This control enhancement focuses on the creation of strong passwords and the - characteristics of such passwords (e.g., complexity) prior to use, the enforcement - of which is carried out by organizational information systems in IA-5 (1). - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: ia-5.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-5.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(4)[1] - prose: defines requirements to be satisfied by password authenticators; and - - - id: ia-5.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(4)[2] - prose: - """ - employs automated tools to determine if password authenticators are - sufficiently strong to satisfy organization-defined requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nautomated tools for evaluating password authenticators\n\npassword strength assessment results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing password-based - authenticator management capability\n\nautomated tools for determining password strength - """ - - - id: ia-5.6 - class: SP800-53-enhancement - title: Protection of Authenticators - properties: - - - name: label - value: IA-5(6) - - - name: sort-id - value: ia-05.06 - parts: - - - id: ia-5.6_smt - name: statement - prose: - """ - The organization protects authenticators commensurate with the security category - of the information to which use of the authenticator permits access. - """ - - - id: ia-5.6_gdn - name: guidance - prose: - """ - For information systems containing multiple security categories of information - without reliable physical or logical separation between categories, authenticators - used to grant access to the systems are protected commensurate with the highest - security category of information on the systems. - """ - - - id: ia-5.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects authenticators commensurate with the - security category of the information to which use of the authenticator permits - access. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity categorization documentation for the information system\n\nsecurity assessments of authenticator protections\n\nrisk assessment results\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with authenticator management responsibilities\n\norganizational personnel implementing and/or maintaining authenticator - protections\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability\n\nautomated mechanisms protecting authenticators - """ - - - id: ia-5.7 - class: SP800-53-enhancement - title: No Embedded Unencrypted Static Authenticators - properties: - - - name: label - value: IA-5(7) - - - name: sort-id - value: ia-05.07 - parts: - - - id: ia-5.7_smt - name: statement - prose: - """ - The organization ensures that unencrypted static authenticators are not embedded - in applications or access scripts or stored on function keys. - """ - - - id: ia-5.7_gdn - name: guidance - prose: - """ - Organizations exercise caution in determining whether embedded or stored - authenticators are in encrypted or unencrypted form. If authenticators are used in - the manner stored, then those representations are considered unencrypted - authenticators. This is irrespective of whether that representation is perhaps an - encrypted version of something else (e.g., a password). - """ - - - id: ia-5.7_obj - name: objective - prose: - """ - Determine if the organization ensures that unencrypted static authenticators are - not: - """ - parts: - - - id: ia-5.7_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(7)[1] - prose: embedded in applications; - - - id: ia-5.7_obj.2 - name: objective - properties: - - - name: label - value: IA-5(7)[2] - prose: embedded in access scripts; or - - - id: ia-5.7_obj.3 - name: objective - properties: - - - name: label - value: IA-5(7)[3] - prose: stored on function keys. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlogical access scripts\n\napplication code reviews for detecting unencrypted static authenticators\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing authenticator management - capability\n\nautomated mechanisms implementing authentication in applications - """ - - - id: ia-5.11 - class: SP800-53-enhancement - title: Hardware Token-based Authentication - parameters: - - - id: ia-5.11_prm_1 - label: organization-defined token quality requirements - properties: - - - name: label - value: IA-5(11) - - - name: sort-id - value: ia-05.11 - parts: - - - id: ia-5.11_smt - name: statement - prose: - """ - The information system, for hardware token-based authentication, employs - mechanisms that satisfy {{ ia-5.11_prm_1 }}. - """ - - - id: ia-5.11_gdn - name: guidance - prose: - """ - Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI. - """ - - - id: ia-5.11_obj - name: objective - prose: Determine if, for hardware token-based authentication: - parts: - - - id: ia-5.11_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-5(11)[1] - prose: the organization defines token quality requirements to be satisfied; and - - - id: ia-5.11_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-5(11)[2] - prose: - """ - the information system employs mechanisms that satisfy organization-defined - token quality requirements. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing authenticator management\n\nsecurity plan\n\ninformation system design documentation\n\nautomated mechanisms employing hardware token-based authentication for the - information system\n\nlist of token quality requirements\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with authenticator management responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability - """ - - - id: ia-6 - class: SP800-53 - title: Authenticator Feedback - properties: - - - name: label - value: IA-6 - - - name: sort-id - value: ia-06 - parts: - - - id: ia-6_smt - name: statement - prose: - """ - The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals. - """ - - - id: ia-6_gdn - name: guidance - prose: - """ - The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it. - """ - links: - - - href: #pe-18 - rel: related - text: PE-18 - - - id: ia-6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing authenticator feedback\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication - """ - - - id: ia-7 - class: SP800-53 - title: Cryptographic Module Authentication - properties: - - - name: label - value: IA-7 - - - name: sort-id - value: ia-07 - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #b09d1a31-d3c9-4138-a4f4-4c63816afd7d - rel: reference - text: http://csrc.nist.gov/groups/STM/cmvp/index.html - parts: - - - id: ia-7_smt - name: statement - prose: - """ - The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - id: ia-7_gdn - name: guidance - prose: - """ - Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role. - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: ia-7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing cryptographic module authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for cryptographic module - authentication\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic module - authentication - """ - - - id: ia-8 - class: SP800-53 - title: Identification and Authentication (non-organizational Users) - properties: - - - name: label - value: IA-8 - - - name: sort-id - value: ia-08 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #74e740a4-c45d-49f3-a86e-eb747c549e01 - rel: reference - text: OMB Memorandum 11-11 - - - href: #599fe9ba-4750-4450-9eeb-b95bd19a5e8f - rel: reference - text: OMB Memorandum 10-06-2011 - - - href: #ba557c91-ba3e-4792-adc6-a4ae479b39ff - rel: reference - text: FICAM Roadmap and Implementation Guidance - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #654f21e2-f3bc-43b2-abdc-60ab8d09744b - rel: reference - text: - """ - National Strategy for Trusted Identities in - Cyberspace - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ia-8_smt - name: statement - prose: - """ - The information system uniquely identifies and authenticates non-organizational users - (or processes acting on behalf of non-organizational users). - """ - - - id: ia-8_gdn - name: guidance - prose: - """ - Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - id: ia-8_obj - name: objective - prose: - """ - Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of information system accounts\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system operations responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - controls: - - - id: ia-8.1 - class: SP800-53-enhancement - title: Acceptance of PIV Credentials from Other Agencies - properties: - - - name: label - value: IA-8(1) - - - name: sort-id - value: ia-08.01 - parts: - - - id: ia-8.1_smt - name: statement - prose: - """ - The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies. - """ - - - id: ia-8.1_gdn - name: guidance - prose: - """ - This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.1_obj - name: objective - prose: Determine if the information system: - parts: - - - id: ia-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(1)[1] - prose: - """ - accepts Personal Identity Verification (PIV) credentials from other agencies; - and - """ - - - id: ia-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(1)[2] - prose: - """ - electronically verifies Personal Identity Verification (PIV) credentials from - other agencies. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nPIV verification records\n\nevidence of PIV credentials\n\nPIV credential authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept and verify PIV credentials - """ - - - id: ia-8.2 - class: SP800-53-enhancement - title: Acceptance of Third-party Credentials - properties: - - - name: label - value: IA-8(2) - - - name: sort-id - value: ia-08.02 - parts: - - - id: ia-8.2_smt - name: statement - prose: The information system accepts only FICAM-approved third-party credentials. - - - id: ia-8.2_gdn - name: guidance - prose: - """ - This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - id: ia-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system accepts only FICAM-approved third-party - credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nprocedures addressing user identification and authentication\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization\n\nthird-party credential verification records\n\nevidence of FICAM-approved third-party credentials\n\nthird-party credential authorizations\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms that accept FICAM-approved credentials - """ - - - id: ia-8.3 - class: SP800-53-enhancement - title: Use of Ficam-approved Products - parameters: - - - id: ia-8.3_prm_1 - label: organization-defined information systems - properties: - - - name: label - value: IA-8(3) - - - name: sort-id - value: ia-08.03 - parts: - - - id: ia-8.3_smt - name: statement - prose: - """ - The organization employs only FICAM-approved information system components in - {{ ia-8.3_prm_1 }} to accept third-party credentials. - """ - - - id: ia-8.3_gdn - name: guidance - prose: - """ - This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program. - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ia-8.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IA-8(3)[1] - prose: - """ - defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and - """ - - - id: ia-8.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IA-8(3)[2] - prose: - """ - employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nthird-party credential validations\n\nthird-party credential authorizations\n\nthird-party credential records\n\nlist of FICAM-approved information system components procured and implemented - by organization\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information system security, acquisition, and - contracting responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability - """ - - - id: ia-8.4 - class: SP800-53-enhancement - title: Use of Ficam-issued Profiles - properties: - - - name: label - value: IA-8(4) - - - name: sort-id - value: ia-08.04 - parts: - - - id: ia-8.4_smt - name: statement - prose: The information system conforms to FICAM-issued profiles. - - - id: ia-8.4_gdn - name: guidance - prose: - """ - This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange). - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - id: ia-8.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the information system conforms to FICAM-issued profiles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Identification and authentication policy\n\nsystem and services acquisition policy\n\nprocedures addressing user identification and authentication\n\nprocedures addressing the integration of security requirements into the - acquisition process\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FICAM-issued profiles and associated, approved protocols\n\nacquisition documentation\n\nacquisition contracts for information system procurements or services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system operations - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developers\n\norganizational personnel with account management responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing identification and - authentication capability\n\nautomated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles - """ - - - id: ir - class: family - title: Incident Response - controls: - - - id: ir-1 - class: SP800-53 - title: Incident Response Policy and Procedures - parameters: - - - id: ir-1_prm_1 - label: organization-defined personnel or roles - - - id: ir-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ir-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-1 - - - name: sort-id - value: ir-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ir-1_smt - name: statement - prose: The organization: - parts: - - - id: ir-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ir-1_prm_1 }}: - parts: - - - id: ir-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ir-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and - """ - - - id: ir-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ir-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Incident response policy {{ ir-1_prm_2 }}; and - - - id: ir-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Incident response procedures {{ ir-1_prm_3 }}. - - - id: ir-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ir-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-1.a_obj - name: objective - properties: - - - name: label - value: IR-1(a) - parts: - - - id: ir-1.a.1_obj - name: objective - properties: - - - name: label - value: IR-1(a)(1) - parts: - - - id: ir-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(1)[1] - prose: develops and documents an incident response policy that addresses: - parts: - - - id: ir-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][a] - prose: purpose; - - - id: ir-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][b] - prose: scope; - - - id: ir-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][c] - prose: roles; - - - id: ir-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][d] - prose: responsibilities; - - - id: ir-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][e] - prose: management commitment; - - - id: ir-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ir-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: IR-1(a)(1)[1][g] - prose: compliance; - - - id: ir-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the incident response policy is to be - disseminated; - """ - - - id: ir-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-1(a)(1)[3] - prose: - """ - disseminates the incident response policy to organization-defined personnel - or roles; - """ - - - id: ir-1.a.2_obj - name: objective - properties: - - - name: label - value: IR-1(a)(2) - parts: - - - id: ir-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls; - """ - - - id: ir-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ir-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ir-1.b_obj - name: objective - properties: - - - name: label - value: IR-1(b) - parts: - - - id: ir-1.b.1_obj - name: objective - properties: - - - name: label - value: IR-1(b)(1) - parts: - - - id: ir-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current incident response - policy; - """ - - - id: ir-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(1)[2] - prose: - """ - reviews and updates the current incident response policy with the - organization-defined frequency; - """ - - - id: ir-1.b.2_obj - name: objective - properties: - - - name: label - value: IR-1(b)(2) - parts: - - - id: ir-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current incident response - procedures; and - """ - - - id: ir-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-1(b)(2)[2] - prose: - """ - reviews and updates the current incident response procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-2 - class: SP800-53 - title: Incident Response Training - parameters: - - - id: ir-2_prm_1 - label: organization-defined time period - - - id: ir-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-2 - - - name: sort-id - value: ir-02 - links: - - - href: #825438c3-248d-4e30-a51e-246473ce6ada - rel: reference - text: NIST Special Publication 800-16 - - - href: #e12b5738-de74-4fb3-8317-a3995a8a1898 - rel: reference - text: NIST Special Publication 800-50 - parts: - - - id: ir-2_smt - name: statement - prose: - """ - The organization provides incident response training to information system users - consistent with assigned roles and responsibilities: - """ - parts: - - - id: ir-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Within {{ ir-2_prm_1 }} of assuming an incident response role or - responsibility; - """ - - - id: ir-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: When required by information system changes; and - - - id: ir-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - - {{ ir-2_prm_2 }} thereafter. - """ - - - id: ir-2_gdn - name: guidance - prose: - """ - Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-3 - rel: related - text: CP-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-2.a_obj - name: objective - properties: - - - name: label - value: IR-2(a) - parts: - - - id: ir-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-2(a)[1] - prose: - """ - defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility; - """ - - - id: ir-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(a)[2] - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility; - """ - - - id: ir-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(b) - prose: - """ - provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes; - """ - - - id: ir-2.c_obj - name: objective - properties: - - - name: label - value: IR-2(c) - parts: - - - id: ir-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-2(c)[1] - prose: - """ - defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and - """ - - - id: ir-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-2(c)[2] - prose: - """ - after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response training\n\nincident response training curriculum\n\nincident response training materials\n\nsecurity plan\n\nincident response plan\n\nsecurity plan\n\nincident response training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response training and operational - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ir-3 - class: SP800-53 - title: Incident Response Testing - parameters: - - - id: ir-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ir-3_prm_2 - label: organization-defined tests - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-3 - - - name: sort-id - value: ir-03 - links: - - - href: #0243a05a-e8a3-4d51-9364-4a9d20b0dcdf - rel: reference - text: NIST Special Publication 800-84 - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - parts: - - - id: ir-3_smt - name: statement - prose: - """ - The organization tests the incident response capability for the information system - {{ ir-3_prm_1 }} using {{ ir-3_prm_2 }} to determine - the incident response effectiveness and documents the results. - """ - parts: - - - id: ir-3_fr - name: item - title: IR-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-3_fr_smt.1 - name: item - properties: - - - name: label - value: IR-3 -2 Requirement: - prose: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). For JAB authorization, the service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing. - - - id: ir-3_gdn - name: guidance - prose: - """ - Organizations test incident response capabilities to determine the overall - effectiveness of the capabilities and to identify potential weaknesses or - deficiencies. Incident response testing includes, for example, the use of checklists, - walk-through or tabletop exercises, simulations (parallel/full interrupt), and - comprehensive exercises. Incident response testing can also include a determination - of the effects on organizational operations (e.g., reduction in mission - capabilities), organizational assets, and individuals due to incident response. - """ - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-3_obj.1 - name: objective - properties: - - - name: label - value: IR-3[1] - prose: - """ - defines incident response tests to test the incident response capability for the - information system; - """ - - - id: ir-3_obj.2 - name: objective - properties: - - - name: label - value: IR-3[2] - prose: - """ - defines the frequency to test the incident response capability for the information - system; and - """ - - - id: ir-3_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-3[3] - prose: - """ - tests the incident response capability for the information system with the - organization-defined frequency, using organization-defined tests to determine the - incident response effectiveness and documents the results. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nprocedures addressing contingency plan testing\n\nincident response testing material\n\nincident response test results\n\nincident response test plan\n\nincident response plan\n\ncontingency plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response testing responsibilities\n\norganizational personnel with information security responsibilities - controls: - - - id: ir-3.2 - class: SP800-53-enhancement - title: Coordination with Related Plans - properties: - - - name: label - value: IR-3(2) - - - name: sort-id - value: ir-03.02 - parts: - - - id: ir-3.2_smt - name: statement - prose: - """ - The organization coordinates incident response testing with organizational - elements responsible for related plans. - """ - - - id: ir-3.2_gdn - name: guidance - prose: - """ - Organizational plans related to incident response testing include, for example, - Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity - of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - and Occupant Emergency Plans. - """ - - - id: ir-3.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - prose: - """ - Determine if the organization coordinates incident response testing with - organizational elements responsible for related plans. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident response testing\n\nincident response testing documentation\n\nincident response plan\n\nbusiness continuity plans\n\ncontingency plans\n\ndisaster recovery plans\n\ncontinuity of operations plans\n\ncrisis communications plans\n\ncritical infrastructure plans\n\noccupant emergency plans\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response testing responsibilities\n\norganizational personnel with responsibilities for testing organizational plans - related to incident response testing\n\norganizational personnel with information security responsibilities - """ - - - id: ir-4 - class: SP800-53 - title: Incident Handling - properties: - - - name: label - value: IR-4 - - - name: sort-id - value: ir-04 - links: - - - href: #c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - rel: reference - text: Executive Order 13587 - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-4_smt - name: statement - prose: The organization: - parts: - - - id: ir-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery; - """ - - - id: ir-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Coordinates incident handling activities with contingency planning activities; - and - """ - - - id: ir-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly. - """ - - - id: ir-4_fr - name: item - title: IR-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-4_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system. - - - id: ir-4_gdn - name: guidance - prose: - """ - Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function). - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-2 - rel: related - text: IR-2 - - - href: #ir-3 - rel: related - text: IR-3 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-4.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(a) - prose: - """ - implements an incident handling capability for security incidents that - includes: - """ - parts: - - - id: ir-4.a_obj.1 - name: objective - properties: - - - name: label - value: IR-4(a)[1] - prose: preparation; - - - id: ir-4.a_obj.2 - name: objective - properties: - - - name: label - value: IR-4(a)[2] - prose: detection and analysis; - - - id: ir-4.a_obj.3 - name: objective - properties: - - - name: label - value: IR-4(a)[3] - prose: containment; - - - id: ir-4.a_obj.4 - name: objective - properties: - - - name: label - value: IR-4(a)[4] - prose: eradication; - - - id: ir-4.a_obj.5 - name: objective - properties: - - - name: label - value: IR-4(a)[5] - prose: recovery; - - - id: ir-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-4(b) - prose: coordinates incident handling activities with contingency planning activities; - - - id: ir-4.c_obj - name: objective - properties: - - - name: label - value: IR-4(c) - parts: - - - id: ir-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-4(c)[1] - prose: - """ - incorporates lessons learned from ongoing incident handling activities - into: - """ - parts: - - - id: ir-4.c_obj.1.a - name: objective - properties: - - - name: label - value: IR-4(c)[1][a] - prose: incident response procedures; - - - id: ir-4.c_obj.1.b - name: objective - properties: - - - name: label - value: IR-4(c)[1][b] - prose: training; - - - id: ir-4.c_obj.1.c - name: objective - properties: - - - name: label - value: IR-4(c)[1][c] - prose: testing/exercises; - - - id: ir-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-4(c)[2] - prose: implements the resulting changes accordingly to: - parts: - - - id: ir-4.c_obj.2.a - name: objective - properties: - - - name: label - value: IR-4(c)[2][a] - prose: incident response procedures; - - - id: ir-4.c_obj.2.b - name: objective - properties: - - - name: label - value: IR-4(c)[2][b] - prose: training; and - - - id: ir-4.c_obj.2.c - name: objective - properties: - - - name: label - value: IR-4(c)[2][c] - prose: testing/exercises. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\ncontingency planning policy\n\nprocedures addressing incident handling\n\nincident response plan\n\ncontingency plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with contingency planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Incident handling capability for the organization - controls: - - - id: ir-4.1 - class: SP800-53-enhancement - title: Automated Incident Handling Processes - properties: - - - name: label - value: IR-4(1) - - - name: sort-id - value: ir-04.01 - parts: - - - id: ir-4.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to support the incident handling - process. - """ - - - id: ir-4.1_gdn - name: guidance - prose: - """ - Automated mechanisms supporting incident handling processes include, for example, - online incident management systems. - """ - - - id: ir-4.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to support the incident - handling process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nautomated mechanisms supporting incident handling\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident handling responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms that support and/or implement the incident handling - process - """ - - - id: ir-5 - class: SP800-53 - title: Incident Monitoring - properties: - - - name: label - value: IR-5 - - - name: sort-id - value: ir-05 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-5_smt - name: statement - prose: The organization tracks and documents information system security incidents. - - - id: ir-5_gdn - name: guidance - prose: - """ - Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #pe-6 - rel: related - text: PE-6 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ir-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-5_obj.1 - name: objective - properties: - - - name: label - value: IR-5[1] - prose: tracks information system security incidents; and - - - id: ir-5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-5[2] - prose: documents information system security incidents. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident monitoring\n\nincident response records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident monitoring responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Incident monitoring capability for the organization\n\nautomated mechanisms supporting and/or implementing tracking and documenting of - system security incidents - """ - - - id: ir-6 - class: SP800-53 - title: Incident Reporting - parameters: - - - id: ir-6_prm_1 - label: organization-defined time period - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - id: ir-6_prm_2 - label: organization-defined authorities - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-6 - - - name: sort-id - value: ir-06 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #02631467-668b-4233-989b-3dfded2fd184 - rel: reference - text: http://www.us-cert.gov - parts: - - - id: ir-6_smt - name: statement - prose: The organization: - parts: - - - id: ir-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires personnel to report suspected security incidents to the organizational - incident response capability within {{ ir-6_prm_1 }}; and - """ - - - id: ir-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reports security incident information to {{ ir-6_prm_2 }}. - - - id: ir-6_fr - name: item - title: IR-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Report security incident information according to FedRAMP Incident Communications Procedure. - - - id: ir-6_gdn - name: guidance - prose: - """ - The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: ir-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-6.a_obj - name: objective - properties: - - - name: label - value: IR-6(a) - parts: - - - id: ir-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-6(a)[1] - prose: - """ - defines the time period within which personnel report suspected security - incidents to the organizational incident response capability; - """ - - - id: ir-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-6(a)[2] - prose: - """ - requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period; - """ - - - id: ir-6.b_obj - name: objective - properties: - - - name: label - value: IR-6(b) - parts: - - - id: ir-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-6(b)[1] - prose: - """ - defines authorities to whom security incident information is to be reported; - and - """ - - - id: ir-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-6(b)[2] - prose: reports security incident information to organization-defined authorities. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident reporting\n\nincident reporting records and documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities\n\npersonnel who have/should have reported incidents\n\npersonnel (authorities) to whom incident information is to be reported - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing incident reporting - controls: - - - id: ir-6.1 - class: SP800-53-enhancement - title: Automated Reporting - properties: - - - name: label - value: IR-6(1) - - - name: sort-id - value: ir-06.01 - parts: - - - id: ir-6.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to assist in the reporting of - security incidents. - """ - - - id: ir-6.1_gdn - name: guidance - links: - - - href: #ir-7 - rel: related - text: IR-7 - - - id: ir-6.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to assist in the - reporting of security incidents. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident reporting\n\nautomated mechanisms supporting incident reporting\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident reporting responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident reporting\n\nautomated mechanisms supporting and/or implementing reporting of security - incidents - """ - - - id: ir-7 - class: SP800-53 - title: Incident Response Assistance - properties: - - - name: label - value: IR-7 - - - name: sort-id - value: ir-07 - parts: - - - id: ir-7_smt - name: statement - prose: - """ - The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents. - """ - - - id: ir-7_gdn - name: guidance - prose: - """ - Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-6 - rel: related - text: IR-6 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: ir-7_obj - name: objective - prose: Determine if the organization provides an incident response support resource: - parts: - - - id: ir-7_obj.1 - name: objective - properties: - - - name: label - value: IR-7[1] - prose: that is integral to the organizational incident response capability; and - - - id: ir-7_obj.2 - name: objective - properties: - - - name: label - value: IR-7[2] - prose: - """ - that offers advice and assistance to users of the information system for the - handling and reporting of security incidents. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response assistance and support - responsibilities\n\norganizational personnel with access to incident response support and assistance - capability\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing incident response - assistance - """ - controls: - - - id: ir-7.1 - class: SP800-53-enhancement - title: Automation Support for Availability of Information / Support - properties: - - - name: label - value: IR-7(1) - - - name: sort-id - value: ir-07.01 - parts: - - - id: ir-7.1_smt - name: statement - prose: - """ - The organization employs automated mechanisms to increase the availability of - incident response-related information and support. - """ - - - id: ir-7.1_gdn - name: guidance - prose: - """ - Automated mechanisms can provide a push and/or pull capability for users to obtain - incident response assistance. For example, individuals might have access to a - website to query the assistance capability, or conversely, the assistance - capability may have the ability to proactively send information to users (general - distribution or targeted) as part of increasing understanding of current response - capabilities and support. - """ - - - id: ir-7.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to increase the - availability of incident response-related information and support. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nautomated mechanisms supporting incident response support and assistance\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response support and assistance - responsibilities\n\norganizational personnel with access to incident response support and - assistance capability\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incident response assistance\n\nautomated mechanisms supporting and/or implementing an increase in the - availability of incident response information and support - """ - - - id: ir-7.2 - class: SP800-53-enhancement - title: Coordination with External Providers - properties: - - - name: label - value: IR-7(2) - - - name: sort-id - value: ir-07.02 - parts: - - - id: ir-7.2_smt - name: statement - prose: The organization: - parts: - - - id: ir-7.2_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and - """ - - - id: ir-7.2_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Identifies organizational incident response team members to the external - providers. - """ - - - id: ir-7.2_gdn - name: guidance - prose: - """ - External providers of information system protection capability include, for - example, the Computer Network Defense program within the U.S. Department of - Defense. External providers help to protect, monitor, analyze, detect, and respond - to unauthorized activity within organizational information systems and - networks. - """ - - - id: ir-7.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-7.2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-7(2)(a) - prose: - """ - establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and - """ - links: - - - href: #ir-7.2_smt.a - rel: corresp - text: IR-7(2)(a) - - - id: ir-7.2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-7(2)(b) - prose: - """ - identifies organizational incident response team members to the external - providers. - """ - links: - - - href: #ir-7.2_smt.b - rel: corresp - text: IR-7(2)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response assistance\n\nincident response plan\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with incident response support and assistance - responsibilities\n\nexternal providers of information system protection capability\n\norganizational personnel with information security responsibilities - """ - - - id: ir-8 - class: SP800-53 - title: Incident Response Plan - parameters: - - - id: ir-8_prm_1 - label: organization-defined personnel or roles - - - id: ir-8_prm_2 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - - - id: ir-8_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ir-8_prm_4 - label: - """ - organization-defined incident response personnel (identified by name and/or by - role) and organizational elements - """ - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-8 - - - name: sort-id - value: ir-08 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - parts: - - - id: ir-8_smt - name: statement - prose: The organization: - parts: - - - id: ir-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops an incident response plan that: - parts: - - - id: ir-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Describes the structure and organization of the incident response - capability; - """ - - - id: ir-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions; - """ - - - id: ir-8_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: Defines reportable incidents; - - - id: ir-8_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: - """ - Provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: - """ - Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and - """ - - - id: ir-8_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: Is reviewed and approved by {{ ir-8_prm_1 }}; - - - id: ir-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Distributes copies of the incident response plan to {{ ir-8_prm_2 }}; - - - id: ir-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the incident response plan {{ ir-8_prm_3 }}; - - - id: ir-8_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing; - """ - - - id: ir-8_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Communicates incident response plan changes to {{ ir-8_prm_4 }}; - and - """ - - - id: ir-8_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Protects the incident response plan from unauthorized disclosure and - modification. - """ - - - id: ir-8_fr - name: item - title: IR-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ir-8_fr_smt.b - name: item - properties: - - - name: label - value: (b) Requirement: - prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - - - id: ir-8_fr_smt.e - name: item - properties: - - - name: label - value: (e) Requirement: - prose: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel. - - - id: ir-8_gdn - name: guidance - prose: - """ - It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems. - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - id: ir-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-8.a_obj - name: objective - properties: - - - name: label - value: IR-8(a) - prose: develops an incident response plan that: - parts: - - - id: ir-8.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(1) - prose: - """ - provides the organization with a roadmap for implementing its incident response - capability; - """ - - - id: ir-8.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(2) - prose: - """ - describes the structure and organization of the incident response - capability; - """ - - - id: ir-8.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(3) - prose: - """ - provides a high-level approach for how the incident response capability fits - into the overall organization; - """ - - - id: ir-8.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(4) - prose: meets the unique requirements of the organization, which relate to: - parts: - - - id: ir-8.a.4_obj.1 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[1] - prose: mission; - - - id: ir-8.a.4_obj.2 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[2] - prose: size; - - - id: ir-8.a.4_obj.3 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[3] - prose: structure; - - - id: ir-8.a.4_obj.4 - name: objective - properties: - - - name: label - value: IR-8(a)(4)[4] - prose: functions; - - - id: ir-8.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(5) - prose: defines reportable incidents; - - - id: ir-8.a.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(a)(6) - prose: - """ - provides metrics for measuring the incident response capability within the - organization; - """ - - - id: ir-8.a.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(7) - prose: - """ - defines the resources and management support needed to effectively maintain and - mature an incident response capability; - """ - - - id: ir-8.a.8_obj - name: objective - properties: - - - name: label - value: IR-8(a)(8) - parts: - - - id: ir-8.a.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(a)(8)[1] - prose: - """ - defines personnel or roles to review and approve the incident response - plan; - """ - - - id: ir-8.a.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-8(a)(8)[2] - prose: is reviewed and approved by organization-defined personnel or roles; - - - id: ir-8.b_obj - name: objective - properties: - - - name: label - value: IR-8(b) - parts: - - - id: ir-8.b_obj.1 - name: objective - properties: - - - name: label - value: IR-8(b)[1] - parts: - - - id: ir-8.b_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(b)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed; - """ - - - id: ir-8.b_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(b)[1][b] - prose: - """ - defines organizational elements to whom copies of the incident response plan - are to be distributed; - """ - - - id: ir-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(b)[2] - prose: - """ - distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements; - """ - - - id: ir-8.c_obj - name: objective - properties: - - - name: label - value: IR-8(c) - parts: - - - id: ir-8.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(c)[1] - prose: defines the frequency to review the incident response plan; - - - id: ir-8.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-8(c)[2] - prose: reviews the incident response plan with the organization-defined frequency; - - - id: ir-8.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(d) - prose: - """ - updates the incident response plan to address system/organizational changes or - problems encountered during plan: - """ - parts: - - - id: ir-8.d_obj.1 - name: objective - properties: - - - name: label - value: IR-8(d)[1] - prose: implementation; - - - id: ir-8.d_obj.2 - name: objective - properties: - - - name: label - value: IR-8(d)[2] - prose: execution; or - - - id: ir-8.d_obj.3 - name: objective - properties: - - - name: label - value: IR-8(d)[3] - prose: testing; - - - id: ir-8.e_obj - name: objective - properties: - - - name: label - value: IR-8(e) - parts: - - - id: ir-8.e_obj.1 - name: objective - properties: - - - name: label - value: IR-8(e)[1] - parts: - - - id: ir-8.e_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-8(e)[1][a] - prose: - """ - defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated; - """ - - - id: ir-8.e_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(e)[1][b] - prose: - """ - defines organizational elements to whom incident response plan changes are - to be communicated; - """ - - - id: ir-8.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(e)[2] - prose: - """ - communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and - """ - - - id: ir-8.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-8(f) - prose: - """ - protects the incident response plan from unauthorized disclosure and - modification. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident response planning\n\nincident response plan\n\nrecords of incident response plan reviews and approvals\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response planning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational incident response plan and related organizational processes - - - id: ir-9 - class: SP800-53 - title: Information Spillage Response - parameters: - - - id: ir-9_prm_1 - label: organization-defined personnel or roles - - - id: ir-9_prm_2 - label: organization-defined actions - properties: - - - name: label - value: IR-9 - - - name: sort-id - value: ir-09 - parts: - - - id: ir-9_smt - name: statement - prose: The organization responds to information spills by: - parts: - - - id: ir-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Identifying the specific information involved in the information system - contamination; - """ - - - id: ir-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Alerting {{ ir-9_prm_1 }} of the information spill using a method - of communication not associated with the spill; - """ - - - id: ir-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: Isolating the contaminated information system or system component; - - - id: ir-9_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Eradicating the information from the contaminated information system or - component; - """ - - - id: ir-9_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Identifying other information systems or system components that may have been - subsequently contaminated; and - """ - - - id: ir-9_smt.f - name: item - properties: - - - name: label - value: f. - prose: Performing other {{ ir-9_prm_2 }}. - - - id: ir-9_gdn - name: guidance - prose: - """ - Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated. - """ - - - id: ir-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(a) - prose: - """ - responds to information spills by identifying the specific information causing the - information system contamination; - """ - - - id: ir-9.b_obj - name: objective - properties: - - - name: label - value: IR-9(b) - parts: - - - id: ir-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(b)[1] - prose: defines personnel to be alerted of the information spillage; - - - id: ir-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-9(b)[2] - prose: - """ - identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill; - """ - - - id: ir-9.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(b)[3] - prose: - """ - responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill; - """ - - - id: ir-9.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(c) - prose: - """ - responds to information spills by isolating the contaminated information - system; - """ - - - id: ir-9.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(d) - prose: - """ - responds to information spills by eradicating the information from the - contaminated information system; - """ - - - id: ir-9.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(e) - prose: - """ - responds to information spills by identifying other information systems that may - have been subsequently contaminated; - """ - - - id: ir-9.f_obj - name: objective - properties: - - - name: label - value: IR-9(f) - parts: - - - id: ir-9.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(f)[1] - prose: - """ - defines other actions to be performed in response to information spills; - and - """ - - - id: ir-9.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(f)[2] - prose: - """ - responds to information spills by performing other organization-defined - actions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nrecords of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage\n\nlist of actions to be performed regarding information spillage\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information spillage response\n\nautomated mechanisms supporting and/or implementing information spillage response - actions and related communications - """ - controls: - - - id: ir-9.1 - class: SP800-53-enhancement - title: Responsible Personnel - parameters: - - - id: ir-9.1_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: IR-9(1) - - - name: sort-id - value: ir-09.01 - parts: - - - id: ir-9.1_smt - name: statement - prose: - """ - The organization assigns {{ ir-9.1_prm_1 }} with responsibility for - responding to information spills. - """ - - - id: ir-9.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(1)[1] - prose: - """ - defines personnel with responsibility for responding to information spills; - and - """ - - - id: ir-9.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-9(1)[2] - prose: - """ - assigns organization-defined personnel with responsibility for responding to - information spills. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing information spillage\n\nincident response plan\n\nlist of personnel responsible for responding to information spillage\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-9.2 - class: SP800-53-enhancement - title: Training - parameters: - - - id: ir-9.2_prm_1 - label: organization-defined frequency - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: IR-9(2) - - - name: sort-id - value: ir-09.02 - parts: - - - id: ir-9.2_smt - name: statement - prose: The organization provides information spillage response training {{ ir-9.2_prm_1 }}. - - - id: ir-9.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(2)[1] - prose: - """ - defines the frequency to provide information spillage response training; - and - """ - - - id: ir-9.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: IR-9(2)[2] - prose: - """ - provides information spillage response training with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing information spillage response training\n\ninformation spillage response training curriculum\n\ninformation spillage response training materials\n\nincident response plan\n\ninformation spillage response training records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response training responsibilities\n\norganizational personnel with information security responsibilities - - - id: ir-9.3 - class: SP800-53-enhancement - title: Post-spill Operations - parameters: - - - id: ir-9.3_prm_1 - label: organization-defined procedures - properties: - - - name: label - value: IR-9(3) - - - name: sort-id - value: ir-09.03 - parts: - - - id: ir-9.3_smt - name: statement - prose: - """ - The organization implements {{ ir-9.3_prm_1 }} to ensure that - organizational personnel impacted by information spills can continue to carry out - assigned tasks while contaminated systems are undergoing corrective actions. - """ - - - id: ir-9.3_gdn - name: guidance - prose: - """ - Correction actions for information systems contaminated due to information - spillages may be very time-consuming. During those periods, personnel may not have - access to the contaminated systems, which may potentially affect their ability to - conduct organizational business. - """ - - - id: ir-9.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(3)[1] - prose: - """ - defines procedures that ensure organizational personnel impacted by information - spills can continue to carry out assigned tasks while contaminated systems are - undergoing corrective actions; and - """ - - - id: ir-9.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(3)[2] - prose: - """ - implements organization-defined procedures to ensure that organizational - personnel impacted by information spills can continue to carry out assigned - tasks while contaminated systems are undergoing corrective actions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing information spillage\n\nincident response plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for post-spill operations - - - id: ir-9.4 - class: SP800-53-enhancement - title: Exposure to Unauthorized Personnel - parameters: - - - id: ir-9.4_prm_1 - label: organization-defined security safeguards - properties: - - - name: label - value: IR-9(4) - - - name: sort-id - value: ir-09.04 - parts: - - - id: ir-9.4_smt - name: statement - prose: - """ - The organization employs {{ ir-9.4_prm_1 }} for personnel exposed - to information not within assigned access authorizations. - """ - - - id: ir-9.4_gdn - name: guidance - prose: - """ - Security safeguards include, for example, making personnel exposed to spilled - information aware of the federal laws, directives, policies, and/or regulations - regarding the information and the restrictions imposed based on exposure to such - information. - """ - - - id: ir-9.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ir-9.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: IR-9(4)[1] - prose: - """ - defines security safeguards to be employed for personnel exposed to information - not within assigned access authorizations; and - """ - - - id: ir-9.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: IR-9(4)[2] - prose: - """ - employs organization-defined security safeguards for personnel exposed to - information not within assigned access authorizations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Incident response policy\n\nprocedures addressing incident handling\n\nprocedures addressing information spillage\n\nincident response plan\n\nsecurity safeguards regarding information spillage/exposure to unauthorized - personnel\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for dealing with information exposed to unauthorized - personnel\n\nautomated mechanisms supporting and/or implementing safeguards for personnel - exposed to information not within assigned access authorizations - """ - - - id: ma - class: family - title: Maintenance - controls: - - - id: ma-1 - class: SP800-53 - title: System Maintenance Policy and Procedures - parameters: - - - id: ma-1_prm_1 - label: organization-defined personnel or roles - - - id: ma-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ma-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MA-1 - - - name: sort-id - value: ma-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ma-1_smt - name: statement - prose: The organization: - parts: - - - id: ma-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ma-1_prm_1 }}: - parts: - - - id: ma-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ma-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and - """ - - - id: ma-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ma-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System maintenance policy {{ ma-1_prm_2 }}; and - - - id: ma-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System maintenance procedures {{ ma-1_prm_3 }}. - - - id: ma-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ma-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-1.a_obj - name: objective - properties: - - - name: label - value: MA-1(a) - parts: - - - id: ma-1.a.1_obj - name: objective - properties: - - - name: label - value: MA-1(a)(1) - parts: - - - id: ma-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(1)[1] - prose: develops and documents a system maintenance policy that addresses: - parts: - - - id: ma-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][a] - prose: purpose; - - - id: ma-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][b] - prose: scope; - - - id: ma-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][c] - prose: roles; - - - id: ma-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ma-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][e] - prose: management commitment; - - - id: ma-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ma-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MA-1(a)(1)[1][g] - prose: compliance; - - - id: ma-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system maintenance policy is to be - disseminated; - """ - - - id: ma-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-1(a)(1)[3] - prose: - """ - disseminates the system maintenance policy to organization-defined personnel - or roles; - """ - - - id: ma-1.a.2_obj - name: objective - properties: - - - name: label - value: MA-1(a)(2) - parts: - - - id: ma-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls; - """ - - - id: ma-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ma-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ma-1.b_obj - name: objective - properties: - - - name: label - value: MA-1(b) - parts: - - - id: ma-1.b.1_obj - name: objective - properties: - - - name: label - value: MA-1(b)(1) - parts: - - - id: ma-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - policy; - """ - - - id: ma-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(1)[2] - prose: - """ - reviews and updates the current system maintenance policy with the - organization-defined frequency; - """ - - - id: ma-1.b.2_obj - name: objective - properties: - - - name: label - value: MA-1(b)(2) - parts: - - - id: ma-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system maintenance - procedures; and - """ - - - id: ma-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-1(b)(2)[2] - prose: - """ - reviews and updates the current system maintenance procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Maintenance policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - id: ma-2 - class: SP800-53 - title: Controlled Maintenance - parameters: - - - id: ma-2_prm_1 - label: organization-defined personnel or roles - - - id: ma-2_prm_2 - label: organization-defined maintenance-related information - properties: - - - name: label - value: MA-2 - - - name: sort-id - value: ma-02 - parts: - - - id: ma-2_smt - name: statement - prose: The organization: - parts: - - - id: ma-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements; - """ - - - id: ma-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location; - """ - - - id: ma-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Requires that {{ ma-2_prm_1 }} explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and - """ - - - id: ma-2_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Includes {{ ma-2_prm_2 }} in organizational maintenance - records. - """ - - - id: ma-2_gdn - name: guidance - prose: - """ - This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pe-16 - rel: related - text: PE-16 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ma-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-2.a_obj - name: objective - properties: - - - name: label - value: MA-2(a) - parts: - - - id: ma-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(a)[1] - prose: - """ - schedules maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.1.a - name: objective - properties: - - - name: label - value: MA-2(a)[1][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.1.b - name: objective - properties: - - - name: label - value: MA-2(a)[1][b] - prose: organizational requirements; - - - id: ma-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(a)[2] - prose: - """ - performs maintenance and repairs on information system components in accordance - with: - """ - parts: - - - id: ma-2.a_obj.2.a - name: objective - properties: - - - name: label - value: MA-2(a)[2][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.2.b - name: objective - properties: - - - name: label - value: MA-2(a)[2][b] - prose: organizational requirements; - - - id: ma-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(a)[3] - prose: - """ - documents maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.3.a - name: objective - properties: - - - name: label - value: MA-2(a)[3][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.3.b - name: objective - properties: - - - name: label - value: MA-2(a)[3][b] - prose: organizational requirements; - - - id: ma-2.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(a)[4] - prose: - """ - reviews records of maintenance and repairs on information system components in - accordance with: - """ - parts: - - - id: ma-2.a_obj.4.a - name: objective - properties: - - - name: label - value: MA-2(a)[4][a] - prose: manufacturer or vendor specifications; and/or - - - id: ma-2.a_obj.4.b - name: objective - properties: - - - name: label - value: MA-2(a)[4][b] - prose: organizational requirements; - - - id: ma-2.b_obj - name: objective - properties: - - - name: label - value: MA-2(b) - parts: - - - id: ma-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-2(b)[1] - prose: - """ - approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(b)[2] - prose: - """ - monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location; - """ - - - id: ma-2.c_obj - name: objective - properties: - - - name: label - value: MA-2(c) - parts: - - - id: ma-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(c)[1] - prose: - """ - defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs; - """ - - - id: ma-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(c)[2] - prose: - """ - requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs; - """ - - - id: ma-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(d) - prose: - """ - sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs; - """ - - - id: ma-2.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-2(e) - prose: - """ - checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; - """ - - - id: ma-2.f_obj - name: objective - properties: - - - name: label - value: MA-2(f) - parts: - - - id: ma-2.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(f)[1] - prose: - """ - defines maintenance-related information to be included in organizational - maintenance records; and - """ - - - id: ma-2.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-2(f)[2] - prose: - """ - includes organization-defined maintenance-related information in organizational - maintenance records. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing controlled information system maintenance\n\nmaintenance records\n\nmanufacturer/vendor maintenance specifications\n\nequipment sanitization records\n\nmedia sanitization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system\n\norganizational processes for sanitizing information system components\n\nautomated mechanisms supporting and/or implementing controlled maintenance\n\nautomated mechanisms implementing sanitization of information system - components - """ - - - id: ma-3 - class: SP800-53 - title: Maintenance Tools - properties: - - - name: label - value: MA-3 - - - name: sort-id - value: ma-03 - links: - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - parts: - - - id: ma-3_smt - name: statement - prose: - """ - The organization approves, controls, and monitors information system maintenance - tools. - """ - - - id: ma-3_gdn - name: guidance - prose: - """ - This control addresses security-related issues associated with maintenance tools used - specifically for diagnostic and repair actions on organizational information systems. - Maintenance tools can include hardware, software, and firmware items. Maintenance - tools are potential vehicles for transporting malicious code, either intentionally or - unintentionally, into a facility and subsequently into organizational information - systems. Maintenance tools can include, for example, hardware/software diagnostic - test equipment and hardware/software packet sniffers. This control does not cover - hardware/software components that may support information system maintenance, yet are - a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, - or the hardware and software implementing the monitoring port of an Ethernet - switch. - """ - links: - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: ma-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-3_obj.1 - name: objective - properties: - - - name: label - value: MA-3[1] - prose: approves information system maintenance tools; - - - id: ma-3_obj.2 - name: objective - properties: - - - name: label - value: MA-3[2] - prose: controls information system maintenance tools; and - - - id: ma-3_obj.3 - name: objective - properties: - - - name: label - value: MA-3[3] - prose: monitors information system maintenance tools. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for approving, controlling, and monitoring maintenance - tools\n\nautomated mechanisms supporting and/or implementing approval, control, and/or - monitoring of maintenance tools - """ - controls: - - - id: ma-3.1 - class: SP800-53-enhancement - title: Inspect Tools - properties: - - - name: label - value: MA-3(1) - - - name: sort-id - value: ma-03.01 - parts: - - - id: ma-3.1_smt - name: statement - prose: - """ - The organization inspects the maintenance tools carried into a facility by - maintenance personnel for improper or unauthorized modifications. - """ - - - id: ma-3.1_gdn - name: guidance - prose: - """ - If, upon inspection of maintenance tools, organizations determine that the tools - have been modified in an improper/unauthorized manner or contain malicious code, - the incident is handled consistent with organizational policies and procedures for - incident handling. - """ - links: - - - href: #si-7 - rel: related - text: SI-7 - - - id: ma-3.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization inspects the maintenance tools carried into a - facility by maintenance personnel for improper or unauthorized modifications. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance tool inspection records\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for inspecting maintenance tools\n\nautomated mechanisms supporting and/or implementing inspection of maintenance - tools - """ - - - id: ma-3.2 - class: SP800-53-enhancement - title: Inspect Media - properties: - - - name: label - value: MA-3(2) - - - name: sort-id - value: ma-03.02 - parts: - - - id: ma-3.2_smt - name: statement - prose: - """ - The organization checks media containing diagnostic and test programs for - malicious code before the media are used in the information system. - """ - - - id: ma-3.2_gdn - name: guidance - prose: - """ - If, upon inspection of media containing maintenance diagnostic and test programs, - organizations determine that the media contain malicious code, the incident is - handled consistent with organizational incident handling policies and - procedures. - """ - links: - - - href: #si-3 - rel: related - text: SI-3 - - - id: ma-3.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization checks media containing diagnostic and test programs - for malicious code before the media are used in the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for inspecting media for malicious code\n\nautomated mechanisms supporting and/or implementing inspection of media used - for maintenance - """ - - - id: ma-3.3 - class: SP800-53-enhancement - title: Prevent Unauthorized Removal - parameters: - - - id: ma-3.3_prm_1 - label: organization-defined personnel or roles - constraints: - - - detail: the information owner explicitly authorizing removal of the equipment from the facility - properties: - - - name: label - value: MA-3(3) - - - name: sort-id - value: ma-03.03 - parts: - - - id: ma-3.3_smt - name: statement - prose: - """ - The organization prevents the unauthorized removal of maintenance equipment - containing organizational information by: - """ - parts: - - - id: ma-3.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Verifying that there is no organizational information contained on the - equipment; - """ - - - id: ma-3.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Sanitizing or destroying the equipment; - - - id: ma-3.3_smt.c - name: item - properties: - - - name: label - value: (c) - prose: Retaining the equipment within the facility; or - - - id: ma-3.3_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Obtaining an exemption from {{ ma-3.3_prm_1 }} explicitly - authorizing removal of the equipment from the facility. - """ - - - id: ma-3.3_gdn - name: guidance - prose: - """ - Organizational information includes all information specifically owned by - organizations and information provided to organizations in which organizations - serve as information stewards. - """ - - - id: ma-3.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization prevents the unauthorized removal of maintenance - equipment containing organizational information by: - """ - parts: - - - id: ma-3.3.a_obj - name: objective - properties: - - - name: label - value: MA-3(3)(a) - prose: - """ - verifying that there is no organizational information contained on the - equipment; - """ - links: - - - href: #ma-3.3_smt.a - rel: corresp - text: MA-3(3)(a) - - - id: ma-3.3.b_obj - name: objective - properties: - - - name: label - value: MA-3(3)(b) - prose: sanitizing or destroying the equipment; - links: - - - href: #ma-3.3_smt.b - rel: corresp - text: MA-3(3)(b) - - - id: ma-3.3.c_obj - name: objective - properties: - - - name: label - value: MA-3(3)(c) - prose: retaining the equipment within the facility; or - links: - - - href: #ma-3.3_smt.c - rel: corresp - text: MA-3(3)(c) - - - id: ma-3.3.d_obj - name: objective - properties: - - - name: label - value: MA-3(3)(d) - parts: - - - id: ma-3.3.d_obj.1 - name: objective - properties: - - - name: label - value: MA-3(3)(d)[1] - prose: - """ - defining personnel or roles that can grant an exemption from explicitly - authorizing removal of the equipment from the facility; and - """ - - - id: ma-3.3.d_obj.2 - name: objective - properties: - - - name: label - value: MA-3(3)(d)[2] - prose: - """ - obtaining an exemption from organization-defined personnel or roles - explicitly authorizing removal of the equipment from the facility. - """ - links: - - - href: #ma-3.3_smt.d - rel: corresp - text: MA-3(3)(d) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance tools\n\ninformation system maintenance tools and associated documentation\n\nmaintenance records\n\nequipment sanitization records\n\nmedia sanitization records\n\nexemptions for equipment removal\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for preventing unauthorized removal of information\n\nautomated mechanisms supporting media sanitization or destruction of - equipment\n\nautomated mechanisms supporting verification of media sanitization - """ - - - id: ma-4 - class: SP800-53 - title: Nonlocal Maintenance - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MA-4 - - - name: sort-id - value: ma-04 - links: - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #f2dbd4ec-c413-4714-b85b-6b7184d1c195 - rel: reference - text: FIPS Publication 197 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a4aa9645-9a8a-4b51-90a9-e223250f9a75 - rel: reference - text: CNSS Policy 15 - parts: - - - id: ma-4_smt - name: statement - prose: The organization: - parts: - - - id: ma-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Approves and monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system; - """ - - - id: ma-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Maintains records for nonlocal maintenance and diagnostic activities; and - - - id: ma-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Terminates session and network connections when nonlocal maintenance is - completed. - """ - - - id: ma-4_gdn - name: guidance - prose: - """ - Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: ma-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-4.a_obj - name: objective - properties: - - - name: label - value: MA-4(a) - parts: - - - id: ma-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(a)[1] - prose: approves nonlocal maintenance and diagnostic activities; - - - id: ma-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(a)[2] - prose: monitors nonlocal maintenance and diagnostic activities; - - - id: ma-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(b) - prose: allows the use of nonlocal maintenance and diagnostic tools only: - parts: - - - id: ma-4.b_obj.1 - name: objective - properties: - - - name: label - value: MA-4(b)[1] - prose: as consistent with organizational policy; - - - id: ma-4.b_obj.2 - name: objective - properties: - - - name: label - value: MA-4(b)[2] - prose: as documented in the security plan for the information system; - - - id: ma-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(c) - prose: - """ - employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions; - """ - - - id: ma-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-4(d) - prose: maintains records for nonlocal maintenance and diagnostic activities; - - - id: ma-4.e_obj - name: objective - properties: - - - name: label - value: MA-4(e) - parts: - - - id: ma-4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(e)[1] - prose: - """ - terminates sessions when nonlocal maintenance or diagnostics is completed; - and - """ - - - id: ma-4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-4(e)[2] - prose: - """ - terminates network connections when nonlocal maintenance or diagnostics is - completed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing nonlocal information system maintenance\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nmaintenance records\n\ndiagnostic records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing nonlocal maintenance\n\nautomated mechanisms implementing, supporting, and/or managing nonlocal - maintenance\n\nautomated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions\n\nautomated mechanisms for terminating nonlocal maintenance sessions and network - connections - """ - controls: - - - id: ma-4.2 - class: SP800-53-enhancement - title: Document Nonlocal Maintenance - properties: - - - name: label - value: MA-4(2) - - - name: sort-id - value: ma-04.02 - parts: - - - id: ma-4.2_smt - name: statement - prose: - """ - The organization documents in the security plan for the information system, the - policies and procedures for the establishment and use of nonlocal maintenance and - diagnostic connections. - """ - - - id: ma-4.2_obj - name: objective - prose: - """ - Determine if the organization documents in the security plan for the information - system: - """ - parts: - - - id: ma-4.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-4(2)[1] - prose: - """ - the policies for the establishment and use of nonlocal maintenance and - diagnostic connections; and - """ - - - id: ma-4.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MA-4(2)[2] - prose: - """ - the procedures for the establishment and use of nonlocal maintenance and - diagnostic connections. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing non-local information system maintenance\n\nsecurity plan\n\nmaintenance records\n\ndiagnostic records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: ma-5 - class: SP800-53 - title: Maintenance Personnel - properties: - - - name: label - value: MA-5 - - - name: sort-id - value: ma-05 - parts: - - - id: ma-5_smt - name: statement - prose: The organization: - parts: - - - id: ma-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel; - """ - - - id: ma-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - id: ma-5_gdn - name: guidance - prose: - """ - This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: ma-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-5.a_obj - name: objective - properties: - - - name: label - value: MA-5(a) - parts: - - - id: ma-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(a)[1] - prose: establishes a process for maintenance personnel authorization; - - - id: ma-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(a)[2] - prose: maintains a list of authorized maintenance organizations or personnel; - - - id: ma-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(b) - prose: - """ - ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and - """ - - - id: ma-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MA-5(c) - prose: - """ - designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing maintenance personnel\n\nservice provider contracts\n\nservice-level agreements\n\nlist of authorized personnel\n\nmaintenance records\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for authorizing and managing maintenance personnel\n\nautomated mechanisms supporting and/or implementing authorization of maintenance - personnel - """ - controls: - - - id: ma-5.1 - class: SP800-53-enhancement - title: Individuals Without Appropriate Access - properties: - - - name: label - value: MA-5(1) - - - name: sort-id - value: ma-05.01 - parts: - - - id: ma-5.1_smt - name: statement - prose: The organization: - parts: - - - id: ma-5.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements: - """ - parts: - - - id: ma-5.1_smt.a.1 - name: item - properties: - - - name: label - value: (1) - prose: - """ - Maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who are fully cleared, have - appropriate access authorizations, and are technically qualified; - """ - - - id: ma-5.1_smt.a.2 - name: item - properties: - - - name: label - value: (2) - prose: - """ - Prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances or formal access - approvals, all volatile information storage components within the - information system are sanitized and all nonvolatile storage media are - removed or physically disconnected from the system and secured; and - """ - - - id: ma-5.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Develops and implements alternate security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system. - """ - - - id: ma-5.1_fr - name: item - title: MA-5 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ma-5.1_fr_smt.b - name: item - properties: - - - name: label - value: Requirement: - prose: Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline - - - id: ma-5.1_gdn - name: guidance - prose: - """ - This control enhancement denies individuals who lack appropriate security - clearances (i.e., individuals who do not possess security clearances or possess - security clearances at a lower level than required) or who are not U.S. citizens, - visual and electronic access to any classified information, Controlled - Unclassified Information (CUI), or any other sensitive information contained on - organizational information systems. Procedures for the use of maintenance - personnel can be documented in security plans for the information systems. - """ - links: - - - href: #mp-6 - rel: related - text: MP-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: ma-5.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-5.1.a_obj - name: objective - properties: - - - name: label - value: MA-5(1)(a) - prose: - """ - implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements: - """ - parts: - - - id: ma-5.1.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(1)(a)(1) - prose: - """ - maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who: - """ - parts: - - - id: ma-5.1.a.1_obj.1 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(1)[1] - prose: are fully cleared; - - - id: ma-5.1.a.1_obj.2 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(1)[2] - prose: have appropriate access authorizations; - - - id: ma-5.1.a.1_obj.3 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(1)[3] - prose: are technically qualified; - links: - - - href: #ma-5.1_smt.a.1 - rel: corresp - text: MA-5(1)(a)(1) - - - id: ma-5.1.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(1)(a)(2) - prose: - """ - prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances, or formal access - approvals: - """ - parts: - - - id: ma-5.1.a.2_obj.1 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(2)[1] - prose: - """ - all volatile information storage components within the information system - are sanitized; and - """ - - - id: ma-5.1.a.2_obj.2 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(2)[2] - prose: all nonvolatile storage media are removed; or - - - id: ma-5.1.a.2_obj.3 - name: objective - properties: - - - name: label - value: MA-5(1)(a)(2)[3] - prose: - """ - all nonvolatile storage media are physically disconnected from the system - and secured; and - """ - links: - - - href: #ma-5.1_smt.a.2 - rel: corresp - text: MA-5(1)(a)(2) - links: - - - href: #ma-5.1_smt.a - rel: corresp - text: MA-5(1)(a) - - - id: ma-5.1.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MA-5(1)(b) - prose: - """ - develops and implements alternative security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system. - """ - links: - - - href: #ma-5.1_smt.b - rel: corresp - text: MA-5(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing maintenance personnel\n\ninformation system media protection policy\n\nphysical and environmental protection policy\n\nsecurity plan\n\nlist of maintenance personnel requiring escort/supervision\n\nmaintenance records\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system maintenance - responsibilities\n\norganizational personnel with personnel security responsibilities\n\norganizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel responsible for media sanitization\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing maintenance personnel without appropriate - access\n\nautomated mechanisms supporting and/or implementing alternative security - safeguards\n\nautomated mechanisms supporting and/or implementing information storage - component sanitization - """ - - - id: ma-6 - class: SP800-53 - title: Timely Maintenance - parameters: - - - id: ma-6_prm_1 - label: organization-defined information system components - - - id: ma-6_prm_2 - label: organization-defined time period - properties: - - - name: label - value: MA-6 - - - name: sort-id - value: ma-06 - parts: - - - id: ma-6_smt - name: statement - prose: The organization obtains maintenance support and/or spare parts for {{ ma-6_prm_1 }} within {{ ma-6_prm_2 }} of failure. - - - id: ma-6_gdn - name: guidance - prose: - """ - Organizations specify the information system components that result in increased risk - to organizational operations and assets, individuals, other organizations, or the - Nation when the functionality provided by those components is not operational. - Organizational actions to obtain maintenance support typically include having - appropriate contracts in place. - """ - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - href: #sa-14 - rel: related - text: SA-14 - - - href: #sa-15 - rel: related - text: SA-15 - - - id: ma-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ma-6_obj.1 - name: objective - properties: - - - name: label - value: MA-6[1] - prose: - """ - defines information system components for which maintenance support and/or spare - parts are to be obtained; - """ - - - id: ma-6_obj.2 - name: objective - properties: - - - name: label - value: MA-6[2] - prose: - """ - defines the time period within which maintenance support and/or spare parts are to - be obtained after a failure; - """ - - - id: ma-6_obj.3 - name: objective - properties: - - - name: label - value: MA-6[3] - parts: - - - id: ma-6_obj.3.a - name: objective - properties: - - - name: label - value: MA-6[3][a] - prose: - """ - obtains maintenance support for organization-defined information system - components within the organization-defined time period of failure; and/or - """ - - - id: ma-6_obj.3.b - name: objective - properties: - - - name: label - value: MA-6[3][b] - prose: - """ - obtains spare parts for organization-defined information system components - within the organization-defined time period of failure. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system maintenance policy\n\nprocedures addressing information system maintenance\n\nservice provider contracts\n\nservice-level agreements\n\ninventory and availability of spare parts\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system maintenance responsibilities\n\norganizational personnel with acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for ensuring timely maintenance - - - id: mp - class: family - title: Media Protection - controls: - - - id: mp-1 - class: SP800-53 - title: Media Protection Policy and Procedures - parameters: - - - id: mp-1_prm_1 - label: organization-defined personnel or roles - - - id: mp-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: mp-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MP-1 - - - name: sort-id - value: mp-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: mp-1_smt - name: statement - prose: The organization: - parts: - - - id: mp-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ mp-1_prm_1 }}: - parts: - - - id: mp-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: mp-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and - """ - - - id: mp-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: mp-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Media protection policy {{ mp-1_prm_2 }}; and - - - id: mp-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Media protection procedures {{ mp-1_prm_3 }}. - - - id: mp-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: mp-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-1.a_obj - name: objective - properties: - - - name: label - value: MP-1(a) - parts: - - - id: mp-1.a.1_obj - name: objective - properties: - - - name: label - value: MP-1(a)(1) - parts: - - - id: mp-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(1)[1] - prose: develops and documents a media protection policy that addresses: - parts: - - - id: mp-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][a] - prose: purpose; - - - id: mp-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][b] - prose: scope; - - - id: mp-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][c] - prose: roles; - - - id: mp-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][d] - prose: responsibilities; - - - id: mp-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][e] - prose: management commitment; - - - id: mp-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: mp-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: MP-1(a)(1)[1][g] - prose: compliance; - - - id: mp-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the media protection policy is to be - disseminated; - """ - - - id: mp-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MP-1(a)(1)[3] - prose: - """ - disseminates the media protection policy to organization-defined personnel - or roles; - """ - - - id: mp-1.a.2_obj - name: objective - properties: - - - name: label - value: MP-1(a)(2) - parts: - - - id: mp-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls; - """ - - - id: mp-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: mp-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: MP-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: mp-1.b_obj - name: objective - properties: - - - name: label - value: MP-1(b) - parts: - - - id: mp-1.b.1_obj - name: objective - properties: - - - name: label - value: MP-1(b)(1) - parts: - - - id: mp-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current media protection - policy; - """ - - - id: mp-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(1)[2] - prose: - """ - reviews and updates the current media protection policy with the - organization-defined frequency; - """ - - - id: mp-1.b.2_obj - name: objective - properties: - - - name: label - value: MP-1(b)(2) - parts: - - - id: mp-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current media protection - procedures; and - """ - - - id: mp-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-1(b)(2)[2] - prose: - """ - reviews and updates the current media protection procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Media protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media protection responsibilities\n\norganizational personnel with information security responsibilities - - - id: mp-2 - class: SP800-53 - title: Media Access - parameters: - - - id: mp-2_prm_1 - label: organization-defined types of digital and/or non-digital media - - - id: mp-2_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: MP-2 - - - name: sort-id - value: mp-02 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-2_smt - name: statement - prose: The organization restricts access to {{ mp-2_prm_1 }} to {{ mp-2_prm_2 }}. - - - id: mp-2_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - id: mp-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-2[1] - prose: defines types of digital and/or non-digital media requiring restricted access; - - - id: mp-2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-2[2] - prose: - """ - defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and - """ - - - id: mp-2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-2[3] - prose: - """ - restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media access restrictions\n\naccess control policy and procedures\n\nphysical and environmental protection policy and procedures\n\nmedia storage facilities\n\naccess control records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for restricting information media\n\nautomated mechanisms supporting and/or implementing media access restrictions - - - id: mp-3 - class: SP800-53 - title: Media Marking - parameters: - - - id: mp-3_prm_1 - label: organization-defined types of information system media - constraints: - - - detail: no removable media types - - - id: mp-3_prm_2 - label: organization-defined controlled areas - properties: - - - name: label - value: MP-3 - - - name: sort-id - value: mp-03 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - parts: - - - id: mp-3_smt - name: statement - prose: The organization: - parts: - - - id: mp-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Marks information system media indicating the distribution limitations, handling - caveats, and applicable security markings (if any) of the information; and - """ - - - id: mp-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Exempts {{ mp-3_prm_1 }} from marking as long as the media remain - within {{ mp-3_prm_2 }}. - """ - - - id: mp-3_fr - name: item - title: MP-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-3_fr_gdn.b - name: guidance - properties: - - - name: label - value: (b) Guidance: - prose: Second parameter not-applicable - - - id: mp-3_gdn - name: guidance - prose: - """ - The term security marking refers to the application/use of human-readable security - attributes. The term security labeling refers to the application/use of security - attributes with regard to internal data structures within information systems (see - AC-16). Information system media includes both digital and non-digital media. Digital - media includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Security marking is generally not - required for media containing information determined by organizations to be in the - public domain or to be publicly releasable. However, some organizations may require - markings for public information indicating that the information is publicly - releasable. Marking of information system media reflects applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and guidance. - """ - links: - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: mp-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-3(a) - prose: marks information system media indicating the: - parts: - - - id: mp-3.a_obj.1 - name: objective - properties: - - - name: label - value: MP-3(a)[1] - prose: distribution limitations of the information; - - - id: mp-3.a_obj.2 - name: objective - properties: - - - name: label - value: MP-3(a)[2] - prose: handling caveats of the information; - - - id: mp-3.a_obj.3 - name: objective - properties: - - - name: label - value: MP-3(a)[3] - prose: applicable security markings (if any) of the information; - - - id: mp-3.b_obj - name: objective - properties: - - - name: label - value: MP-3(b) - parts: - - - id: mp-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-3(b)[1] - prose: - """ - defines types of information system media to be exempted from marking as long - as the media remain in designated controlled areas; - """ - - - id: mp-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-3(b)[2] - prose: - """ - defines controlled areas where organization-defined types of information system - media exempt from marking are to be retained; and - """ - - - id: mp-3.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-3(b)[3] - prose: - """ - exempts organization-defined types of information system media from marking as - long as the media remain within organization-defined controlled areas. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media marking\n\nphysical and environmental protection policy and procedures\n\nsecurity plan\n\nlist of information system media marking security attributes\n\ndesignated controlled areas\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection and marking - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for marking information media\n\nautomated mechanisms supporting and/or implementing media marking - - - id: mp-4 - class: SP800-53 - title: Media Storage - parameters: - - - id: mp-4_prm_1 - label: organization-defined types of digital and/or non-digital media - constraints: - - - detail: all types of digital and non-digital media with sensitive information - - - id: mp-4_prm_2 - label: organization-defined controlled areas - constraints: - - - detail: see additional FedRAMP requirements and guidance - properties: - - - name: label - value: MP-4 - - - name: sort-id - value: mp-04 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-4_smt - name: statement - prose: The organization: - parts: - - - id: mp-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Physically controls and securely stores {{ mp-4_prm_1 }} within - {{ mp-4_prm_2 }}; and - """ - - - id: mp-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures. - """ - - - id: mp-4_fr - name: item - title: MP-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-4_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines controlled areas within facilities where the information and information system reside. - - - id: mp-4_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Physically controlling information system - media includes, for example, conducting inventories, ensuring procedures are in place - to allow individuals to check out and return media to the media library, and - maintaining accountability for all stored media. Secure storage includes, for - example, a locked drawer, desk, or cabinet, or a controlled media library. The type - of media storage is commensurate with the security category and/or classification of - the information residing on the media. Controlled areas are areas for which - organizations provide sufficient physical and procedural safeguards to meet the - requirements established for protecting information and/or information systems. For - media containing information determined by organizations to be in the public domain, - to be publicly releasable, or to have limited or no adverse impact on organizations - or individuals if accessed by other than authorized personnel, fewer safeguards may - be needed. In these situations, physical access controls provide adequate - protection. - """ - links: - - - href: #cp-6 - rel: related - text: CP-6 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-7 - rel: related - text: MP-7 - - - href: #pe-3 - rel: related - text: PE-3 - - - id: mp-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-4.a_obj - name: objective - properties: - - - name: label - value: MP-4(a) - parts: - - - id: mp-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-4(a)[1] - prose: - """ - defines types of digital and/or non-digital media to be physically controlled - and securely stored within designated controlled areas; - """ - - - id: mp-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-4(a)[2] - prose: - """ - defines controlled areas designated to physically control and securely store - organization-defined types of digital and/or non-digital media; - """ - - - id: mp-4.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-4(a)[3] - prose: - """ - physically controls organization-defined types of digital and/or non-digital - media within organization-defined controlled areas; - """ - - - id: mp-4.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-4(a)[4] - prose: - """ - securely stores organization-defined types of digital and/or non-digital media - within organization-defined controlled areas; and - """ - - - id: mp-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-4(b) - prose: - """ - protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nsecurity plan\n\ninformation system media\n\ndesignated controlled areas\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection and storage - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing secure media storage/media - protection - """ - - - id: mp-5 - class: SP800-53 - title: Media Transport - parameters: - - - id: mp-5_prm_1 - label: organization-defined types of information system media - constraints: - - - detail: all media with sensitive information - - - id: mp-5_prm_2 - label: organization-defined security safeguards - constraints: - - - detail: prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container - properties: - - - name: label - value: MP-5 - - - name: sort-id - value: mp-05 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - parts: - - - id: mp-5_smt - name: statement - prose: The organization: - parts: - - - id: mp-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Protects and controls {{ mp-5_prm_1 }} during transport outside of - controlled areas using {{ mp-5_prm_2 }}; - """ - - - id: mp-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Maintains accountability for information system media during transport outside of - controlled areas; - """ - - - id: mp-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents activities associated with the transport of information system media; - and - """ - - - id: mp-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Restricts the activities associated with the transport of information system media - to authorized personnel. - """ - - - id: mp-5_fr - name: item - title: MP-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-5_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB. - - - id: mp-5_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers), - that are transported outside of controlled areas. Controlled areas are areas or - spaces for which organizations provide sufficient physical and/or procedural - safeguards to meet the requirements established for protecting information and/or - information systems. Physical and technical safeguards for media are commensurate - with the security category or classification of the information residing on the - media. Safeguards to protect media during transport include, for example, locked - containers and cryptography. Cryptographic mechanisms can provide confidentiality and - integrity protections depending upon the mechanisms used. Activities associated with - transport include the actual transport as well as those activities such as releasing - media for transport and ensuring that media enters the appropriate transport - processes. For the actual transport, authorized transport and courier personnel may - include individuals from outside the organization (e.g., U.S. Postal Service or a - commercial transport or delivery service). Maintaining accountability of media during - transport includes, for example, restricting transport activities to authorized - personnel, and tracking and/or obtaining explicit records of transport activities as - the media moves through the transportation system to prevent and detect loss, - destruction, or tampering. Organizations establish documentation requirements for - activities associated with the transport of information system media in accordance - with organizational assessments of risk to include the flexibility to define - different record-keeping methods for the different types of media transport as part - of an overall system of transport-related records. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #mp-3 - rel: related - text: MP-3 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-28 - rel: related - text: SC-28 - - - id: mp-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-5.a_obj - name: objective - properties: - - - name: label - value: MP-5(a) - parts: - - - id: mp-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-5(a)[1] - prose: - """ - defines types of information system media to be protected and controlled during - transport outside of controlled areas; - """ - - - id: mp-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-5(a)[2] - prose: - """ - defines security safeguards to protect and control organization-defined - information system media during transport outside of controlled areas; - """ - - - id: mp-5.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-5(a)[3] - prose: - """ - protects and controls organization-defined information system media during - transport outside of controlled areas using organization-defined security - safeguards; - """ - - - id: mp-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-5(b) - prose: - """ - maintains accountability for information system media during transport outside of - controlled areas; - """ - - - id: mp-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-5(c) - prose: - """ - documents activities associated with the transport of information system media; - and - """ - - - id: mp-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-5(d) - prose: - """ - restricts the activities associated with transport of information system media to - authorized personnel. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media storage\n\nphysical and environmental protection policy and procedures\n\naccess control policy and procedures\n\nsecurity plan\n\ninformation system media\n\ndesignated controlled areas\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media protection and storage - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for storing information media\n\nautomated mechanisms supporting and/or implementing media storage/media - protection - """ - controls: - - - id: mp-5.4 - class: SP800-53-enhancement - title: Cryptographic Protection - properties: - - - name: label - value: MP-5(4) - - - name: sort-id - value: mp-05.04 - parts: - - - id: mp-5.4_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas. - """ - - - id: mp-5.4_gdn - name: guidance - prose: - """ - This control enhancement applies to both portable storage devices (e.g., USB - memory sticks, compact disks, digital video disks, external/removable hard disk - drives) and mobile devices with storage capability (e.g., smart phones, tablets, - E-readers). - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - id: mp-5.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media transport\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system media transport records\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media transport - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms protecting information on digital media during - transportation outside controlled areas - """ - - - id: mp-6 - class: SP800-53 - title: Media Sanitization - parameters: - - - id: mp-6_prm_1 - label: organization-defined information system media - - - id: mp-6_prm_2 - label: organization-defined sanitization techniques and procedures - properties: - - - name: label - value: MP-6 - - - name: sort-id - value: mp-06 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #263823e0-a971-4b00-959d-315b26278b22 - rel: reference - text: NIST Special Publication 800-88 - - - href: #a47466c4-c837-4f06-a39f-e68412a5f73d - rel: reference - text: http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - parts: - - - id: mp-6_smt - name: statement - prose: The organization: - parts: - - - id: mp-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Sanitizes {{ mp-6_prm_1 }} prior to disposal, release out of - organizational control, or release for reuse using {{ mp-6_prm_2 }} - in accordance with applicable federal and organizational standards and policies; - and - """ - - - id: mp-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information. - """ - - - id: mp-6_gdn - name: guidance - prose: - """ - This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information. - """ - links: - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-4 - rel: related - text: SC-4 - - - id: mp-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.a_obj - name: objective - properties: - - - name: label - value: MP-6(a) - parts: - - - id: mp-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(a)[1] - prose: defines information system media to be sanitized prior to: - parts: - - - id: mp-6.a_obj.1.a - name: objective - properties: - - - name: label - value: MP-6(a)[1][a] - prose: disposal; - - - id: mp-6.a_obj.1.b - name: objective - properties: - - - name: label - value: MP-6(a)[1][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.1.c - name: objective - properties: - - - name: label - value: MP-6(a)[1][c] - prose: release for reuse; - - - id: mp-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(a)[2] - prose: - """ - defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to: - """ - parts: - - - id: mp-6.a_obj.2.a - name: objective - properties: - - - name: label - value: MP-6(a)[2][a] - prose: disposal; - - - id: mp-6.a_obj.2.b - name: objective - properties: - - - name: label - value: MP-6(a)[2][b] - prose: release out of organizational control; or - - - id: mp-6.a_obj.2.c - name: objective - properties: - - - name: label - value: MP-6(a)[2][c] - prose: release for reuse; - - - id: mp-6.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(a)[3] - prose: - """ - sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and - """ - - - id: mp-6.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(b) - prose: - """ - employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\napplicable federal standards and policies addressing media sanitization\n\nmedia sanitization records\n\naudit records\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with media sanitization responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - controls: - - - id: mp-6.2 - class: SP800-53-enhancement - title: Equipment Testing - parameters: - - - id: mp-6.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: MP-6(2) - - - name: sort-id - value: mp-06.02 - parts: - - - id: mp-6.2_smt - name: statement - prose: - """ - The organization tests sanitization equipment and procedures {{ mp-6.2_prm_1 }} to verify that the intended sanitization is being - achieved. - """ - parts: - - - id: mp-6.2_fr - name: item - title: MP-6 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: mp-6.2_fr_gdn.a - name: guidance - properties: - - - name: label - value: (a) Requirement: - prose: Equipment and procedures may be tested or validated for effectiveness - - - id: mp-6.2_gdn - name: guidance - prose: - """ - Testing of sanitization equipment and procedures may be conducted by qualified and - authorized external entities (e.g., other federal agencies or external service - providers). - """ - - - id: mp-6.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-6.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-6(2)[1] - prose: - """ - defines the frequency for testing sanitization equipment and procedures to - verify that the intended sanitization is being achieved; and - """ - - - id: mp-6.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-6(2)[2] - prose: - """ - tests sanitization equipment and procedures with the organization-defined - frequency to verify that the intended sanitization is being achieved. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nprocedures addressing media sanitization and disposal\n\nprocedures addressing testing of media sanitization equipment\n\nresults of media sanitization equipment and procedures testing\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information system media sanitization - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for media sanitization\n\nautomated mechanisms supporting and/or implementing media sanitization - - - id: mp-7 - class: SP800-53 - title: Media Use - parameters: - - - id: mp-7_prm_1 - - - id: mp-7_prm_2 - label: organization-defined types of information system media - - - id: mp-7_prm_3 - label: organization-defined information systems or system components - - - id: mp-7_prm_4 - label: organization-defined security safeguards - properties: - - - name: label - value: MP-7 - - - name: sort-id - value: mp-07 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: mp-7_smt - name: statement - prose: The organization {{ mp-7_prm_1 }} the use of {{ mp-7_prm_2 }} on {{ mp-7_prm_3 }} using {{ mp-7_prm_4 }}. - - - id: mp-7_gdn - name: guidance - prose: - """ - Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #pl-4 - rel: related - text: PL-4 - - - id: mp-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: mp-7_obj.1 - name: objective - properties: - - - name: label - value: MP-7[1] - prose: defines types of information system media to be: - parts: - - - id: mp-7_obj.1.a - name: objective - properties: - - - name: label - value: MP-7[1][a] - prose: restricted on information systems or system components; or - - - id: mp-7_obj.1.b - name: objective - properties: - - - name: label - value: MP-7[1][b] - prose: prohibited from use on information systems or system components; - - - id: mp-7_obj.2 - name: objective - properties: - - - name: label - value: MP-7[2] - prose: - """ - defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following: - """ - parts: - - - id: mp-7_obj.2.a - name: objective - properties: - - - name: label - value: MP-7[2][a] - prose: restricted; or - - - id: mp-7_obj.2.b - name: objective - properties: - - - name: label - value: MP-7[2][b] - prose: prohibited; - - - id: mp-7_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: MP-7[3] - prose: - """ - defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and - """ - - - id: mp-7_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: MP-7[4] - prose: - """ - restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nsecurity plan\n\nrules of behavior\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for media use\n\nautomated mechanisms restricting or prohibiting use of information system media on - information systems or system components - """ - controls: - - - id: mp-7.1 - class: SP800-53-enhancement - title: Prohibit Use Without Owner - properties: - - - name: label - value: MP-7(1) - - - name: sort-id - value: mp-07.01 - parts: - - - id: mp-7.1_smt - name: statement - prose: - """ - The organization prohibits the use of portable storage devices in organizational - information systems when such devices have no identifiable owner. - """ - - - id: mp-7.1_gdn - name: guidance - prose: - """ - Requiring identifiable owners (e.g., individuals, organizations, or projects) for - portable storage devices reduces the risk of using such technologies by allowing - organizations to assign responsibility and accountability for addressing known - vulnerabilities in the devices (e.g., malicious code insertion). - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - id: mp-7.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization prohibits the use of portable storage devices in - organizational information systems when such devices have no identifiable owner. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system media protection policy\n\nsystem use policy\n\nprocedures addressing media usage restrictions\n\nsecurity plan\n\nrules of behavior\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\naudit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with information system media use responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for media use\n\nautomated mechanisms prohibiting use of media on information systems or system - components - """ - - - id: pe - class: family - title: Physical and Environmental Protection - controls: - - - id: pe-1 - class: SP800-53 - title: Physical and Environmental Protection Policy and Procedures - parameters: - - - id: pe-1_prm_1 - label: organization-defined personnel or roles - - - id: pe-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: pe-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-1 - - - name: sort-id - value: pe-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pe-1_smt - name: statement - prose: The organization: - parts: - - - id: pe-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pe-1_prm_1 }}: - parts: - - - id: pe-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: pe-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and - """ - - - id: pe-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pe-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Physical and environmental protection policy {{ pe-1_prm_2 }}; - and - """ - - - id: pe-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Physical and environmental protection procedures {{ pe-1_prm_3 }}. - - - id: pe-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pe-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-1.a_obj - name: objective - properties: - - - name: label - value: PE-1(a) - parts: - - - id: pe-1.a.1_obj - name: objective - properties: - - - name: label - value: PE-1(a)(1) - parts: - - - id: pe-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(1)[1] - prose: - """ - develops and documents a physical and environmental protection policy that - addresses: - """ - parts: - - - id: pe-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][a] - prose: purpose; - - - id: pe-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][b] - prose: scope; - - - id: pe-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][c] - prose: roles; - - - id: pe-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][d] - prose: responsibilities; - - - id: pe-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][e] - prose: management commitment; - - - id: pe-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pe-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PE-1(a)(1)[1][g] - prose: compliance; - - - id: pe-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated; - """ - - - id: pe-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-1(a)(1)[3] - prose: - """ - disseminates the physical and environmental protection policy to - organization-defined personnel or roles; - """ - - - id: pe-1.a.2_obj - name: objective - properties: - - - name: label - value: PE-1(a)(2) - parts: - - - id: pe-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls; - """ - - - id: pe-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pe-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pe-1.b_obj - name: objective - properties: - - - name: label - value: PE-1(b) - parts: - - - id: pe-1.b.1_obj - name: objective - properties: - - - name: label - value: PE-1(b)(1) - parts: - - - id: pe-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection policy; - """ - - - id: pe-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(1)[2] - prose: - """ - reviews and updates the current physical and environmental protection policy - with the organization-defined frequency; - """ - - - id: pe-1.b.2_obj - name: objective - properties: - - - name: label - value: PE-1(b)(2) - parts: - - - id: pe-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current physical and - environmental protection procedures; and - """ - - - id: pe-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-1(b)(2)[2] - prose: - """ - reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with physical and environmental protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: pe-2 - class: SP800-53 - title: Physical Access Authorizations - parameters: - - - id: pe-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-2 - - - name: sort-id - value: pe-02 - parts: - - - id: pe-2_smt - name: statement - prose: The organization: - parts: - - - id: pe-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides; - """ - - - id: pe-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Issues authorization credentials for facility access; - - - id: pe-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Reviews the access list detailing authorized facility access by individuals - {{ pe-2_prm_1 }}; and - """ - - - id: pe-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Removes individuals from the facility access list when access is no longer - required. - """ - - - id: pe-2_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible. - """ - links: - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: pe-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-2.a_obj - name: objective - properties: - - - name: label - value: PE-2(a) - parts: - - - id: pe-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-2(a)[1] - prose: - """ - develops a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(a)[2] - prose: - """ - approves a list of individuals with authorized access to the facility where the - information system resides; - """ - - - id: pe-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-2(a)[3] - prose: - """ - maintains a list of individuals with authorized access to the facility where - the information system resides; - """ - - - id: pe-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(b) - prose: issues authorization credentials for facility access; - - - id: pe-2.c_obj - name: objective - properties: - - - name: label - value: PE-2(c) - parts: - - - id: pe-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-2(c)[1] - prose: - """ - defines the frequency to review the access list detailing authorized facility - access by individuals; - """ - - - id: pe-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(c)[2] - prose: - """ - reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and - """ - - - id: pe-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-2(d) - prose: - """ - removes individuals from the facility access list when access is no longer - required. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access authorizations\n\nsecurity plan\n\nauthorized personnel access list\n\nauthorization credentials\n\nphysical access list reviews\n\nphysical access termination records and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access authorization responsibilities\n\norganizational personnel with physical access to information system facility\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for physical access authorizations\n\nautomated mechanisms supporting and/or implementing physical access - authorizations - """ - - - id: pe-3 - class: SP800-53 - title: Physical Access Control - parameters: - - - id: pe-3_prm_1 - label: - """ - organization-defined entry/exit points to the facility where the information - system resides - """ - - - id: pe-3_prm_2 - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - - - id: pe-3_prm_3 - depends-on: pe-3_prm_2 - label: organization-defined physical access control systems/devices - constraints: - - - detail: CSP defined physical access control systems/devices - - - id: pe-3_prm_4 - label: organization-defined entry/exit points - - - id: pe-3_prm_5 - label: organization-defined security safeguards - - - id: pe-3_prm_6 - label: - """ - organization-defined circumstances requiring visitor escorts and - monitoring - """ - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - - - id: pe-3_prm_7 - label: organization-defined physical access devices - - - id: pe-3_prm_8 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: pe-3_prm_9 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-3 - - - name: sort-id - value: pe-03 - links: - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #2157bb7e-192c-4eaa-877f-93ef6b0a3292 - rel: reference - text: NIST Special Publication 800-116 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - - - href: #398e33fd-f404-4e5c-b90e-2d50d3181244 - rel: reference - text: ICD 705 - - - href: #61081e7f-041d-4033-96a7-44a439071683 - rel: reference - text: DoD Instruction 5200.39 - - - href: #dd2f5acd-08f1-435a-9837-f8203088dc1a - rel: reference - text: - """ - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - """ - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - parts: - - - id: pe-3_smt - name: statement - prose: The organization: - parts: - - - id: pe-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Enforces physical access authorizations at {{ pe-3_prm_1 }} by; - parts: - - - id: pe-3_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Verifying individual access authorizations before granting access to the - facility; and - """ - - - id: pe-3_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Controlling ingress/egress to the facility using {{ pe-3_prm_2 }}; - - - id: pe-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Maintains physical access audit logs for {{ pe-3_prm_4 }}; - - - id: pe-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides {{ pe-3_prm_5 }} to control access to areas within the - facility officially designated as publicly accessible; - """ - - - id: pe-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Escorts visitors and monitors visitor activity {{ pe-3_prm_6 }}; - - - id: pe-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: Secures keys, combinations, and other physical access devices; - - - id: pe-3_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Inventories {{ pe-3_prm_7 }} every {{ pe-3_prm_8 }}; - and - """ - - - id: pe-3_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Changes combinations and keys {{ pe-3_prm_9 }} and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated. - """ - - - id: pe-3_gdn - name: guidance - prose: - """ - This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #pe-5 - rel: related - text: PE-5 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: pe-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-3.a_obj - name: objective - properties: - - - name: label - value: PE-3(a) - parts: - - - id: pe-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(a)[1] - prose: - """ - defines entry/exit points to the facility where the information system - resides; - """ - - - id: pe-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(a)[2] - prose: - """ - enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by: - """ - parts: - - - id: pe-3.a.1_obj.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](1) - prose: - """ - verifying individual access authorizations before granting access to the - facility; - """ - - - id: pe-3.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(a)[2](2) - parts: - - - id: pe-3.a.2_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[a] - prose: - """ - defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides; - """ - - - id: pe-3.a.2_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b] - prose: - """ - using one or more of the following ways to control ingress/egress to the - facility: - """ - parts: - - - id: pe-3.a.2_obj.2.b.1 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][1] - prose: - """ - organization-defined physical access control systems/devices; - and/or - """ - - - id: pe-3.a.2_obj.2.b.2 - name: objective - properties: - - - name: label - value: PE-3(a)[2](2)[b][2] - prose: guards; - - - id: pe-3.b_obj - name: objective - properties: - - - name: label - value: PE-3(b) - parts: - - - id: pe-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(b)[1] - prose: - """ - defines entry/exit points for which physical access audit logs are to be - maintained; - """ - - - id: pe-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(b)[2] - prose: - """ - maintains physical access audit logs for organization-defined entry/exit - points; - """ - - - id: pe-3.c_obj - name: objective - properties: - - - name: label - value: PE-3(c) - parts: - - - id: pe-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(c)[1] - prose: - """ - defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible; - """ - - - id: pe-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(c)[2] - prose: - """ - provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible; - """ - - - id: pe-3.d_obj - name: objective - properties: - - - name: label - value: PE-3(d) - parts: - - - id: pe-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(d)[1] - prose: defines circumstances requiring visitor: - parts: - - - id: pe-3.d_obj.1.a - name: objective - properties: - - - name: label - value: PE-3(d)[1][a] - prose: escorts; - - - id: pe-3.d_obj.1.b - name: objective - properties: - - - name: label - value: PE-3(d)[1][b] - prose: monitoring; - - - id: pe-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(d)[2] - prose: - """ - in accordance with organization-defined circumstances requiring visitor escorts - and monitoring: - """ - parts: - - - id: pe-3.d_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(d)[2][a] - prose: escorts visitors; - - - id: pe-3.d_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(d)[2][b] - prose: monitors visitor activities; - - - id: pe-3.e_obj - name: objective - properties: - - - name: label - value: PE-3(e) - parts: - - - id: pe-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[1] - prose: secures keys; - - - id: pe-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[2] - prose: secures combinations; - - - id: pe-3.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(e)[3] - prose: secures other physical access devices; - - - id: pe-3.f_obj - name: objective - properties: - - - name: label - value: PE-3(f) - parts: - - - id: pe-3.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(f)[1] - prose: defines physical access devices to be inventoried; - - - id: pe-3.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(f)[2] - prose: - """ - defines the frequency to inventory organization-defined physical access - devices; - """ - - - id: pe-3.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(f)[3] - prose: - """ - inventories the organization-defined physical access devices with the - organization-defined frequency; - """ - - - id: pe-3.g_obj - name: objective - properties: - - - name: label - value: PE-3(g) - parts: - - - id: pe-3.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-3(g)[1] - prose: defines the frequency to change combinations and keys; and - - - id: pe-3.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-3(g)[2] - prose: - """ - changes combinations and keys with the organization-defined frequency and/or - when: - """ - parts: - - - id: pe-3.g_obj.2.a - name: objective - properties: - - - name: label - value: PE-3(g)[2][a] - prose: keys are lost; - - - id: pe-3.g_obj.2.b - name: objective - properties: - - - name: label - value: PE-3(g)[2][b] - prose: combinations are compromised; - - - id: pe-3.g_obj.2.c - name: objective - properties: - - - name: label - value: PE-3(g)[2][c] - prose: individuals are transferred or terminated. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing physical access control\n\nsecurity plan\n\nphysical access control logs or records\n\ninventory records of physical access control devices\n\ninformation system entry and exit points\n\nrecords of key and lock combination changes\n\nstorage locations for physical access control devices\n\nphysical access control devices\n\nlist of security safeguards controlling access to designated publicly accessible - areas within facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for physical access control\n\nautomated mechanisms supporting and/or implementing physical access control\n\nphysical access control devices - - - id: pe-4 - class: SP800-53 - title: Access Control for Transmission Medium - parameters: - - - id: pe-4_prm_1 - label: - """ - organization-defined information system distribution and transmission - lines - """ - - - id: pe-4_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: PE-4 - - - name: sort-id - value: pe-04 - links: - - - href: #06dff0ea-3848-4945-8d91-e955ee69f05d - rel: reference - text: NSTISSI No. 7003 - parts: - - - id: pe-4_smt - name: statement - prose: - """ - The organization controls physical access to {{ pe-4_prm_1 }} within - organizational facilities using {{ pe-4_prm_2 }}. - """ - - - id: pe-4_gdn - name: guidance - prose: - """ - Physical security safeguards applied to information system distribution and - transmission lines help to prevent accidental damage, disruption, and physical - tampering. In addition, physical safeguards may be necessary to help prevent - eavesdropping or in transit modification of unencrypted transmissions. Security - safeguards to control physical access to system distribution and transmission lines - include, for example: (i) locked wiring closets; (ii) disconnected or locked spare - jacks; and/or (iii) protection of cabling by conduit or cable trays. - """ - links: - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-5 - rel: related - text: PE-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-8 - rel: related - text: SC-8 - - - id: pe-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-4[1] - prose: - """ - defines information system distribution and transmission lines requiring physical - access controls; - """ - - - id: pe-4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-4[2] - prose: - """ - defines security safeguards to be employed to control physical access to - organization-defined information system distribution and transmission lines within - organizational facilities; and - """ - - - id: pe-4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-4[3] - prose: - """ - controls physical access to organization-defined information system distribution - and transmission lines within organizational facilities using organization-defined - security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing access control for transmission medium\n\ninformation system design documentation\n\nfacility communications and wiring diagrams\n\nlist of physical security safeguards applied to information system distribution - and transmission lines\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for access control to distribution and transmission - lines\n\nautomated mechanisms/security safeguards supporting and/or implementing access - control to distribution and transmission lines - """ - - - id: pe-5 - class: SP800-53 - title: Access Control for Output Devices - properties: - - - name: label - value: PE-5 - - - name: sort-id - value: pe-05 - parts: - - - id: pe-5_smt - name: statement - prose: - """ - The organization controls physical access to information system output devices to - prevent unauthorized individuals from obtaining the output. - """ - - - id: pe-5_gdn - name: guidance - prose: - """ - Controlling physical access to output devices includes, for example, placing output - devices in locked rooms or other secured areas and allowing access to authorized - individuals only, and placing output devices in locations that can be monitored by - organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, - and audio devices are examples of information system output devices. - """ - links: - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #pe-4 - rel: related - text: PE-4 - - - href: #pe-18 - rel: related - text: PE-18 - - - id: pe-5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization controls physical access to information system output - devices to prevent unauthorized individuals from obtaining the output. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing access control for display medium\n\nfacility layout of information system components\n\nactual displays from information system components\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access control responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for access control to output devices\n\nautomated mechanisms supporting and/or implementing access control to output - devices - """ - - - id: pe-6 - class: SP800-53 - title: Monitoring Physical Access - parameters: - - - id: pe-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: pe-6_prm_2 - label: organization-defined events or potential indications of events - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-6 - - - name: sort-id - value: pe-06 - parts: - - - id: pe-6_smt - name: statement - prose: The organization: - parts: - - - id: pe-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews physical access logs {{ pe-6_prm_1 }} and upon occurrence - of {{ pe-6_prm_2 }}; and - """ - - - id: pe-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - id: pe-6_gdn - name: guidance - prose: - """ - Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-8 - rel: related - text: IR-8 - - - id: pe-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(a) - prose: - """ - monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents; - """ - - - id: pe-6.b_obj - name: objective - properties: - - - name: label - value: PE-6(b) - parts: - - - id: pe-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(b)[1] - prose: defines the frequency to review physical access logs; - - - id: pe-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-6(b)[2] - prose: - """ - defines events or potential indication of events requiring physical access logs - to be reviewed; - """ - - - id: pe-6.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-6(b)[3] - prose: - """ - reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and - """ - - - id: pe-6.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-6(c) - prose: - """ - coordinates results of reviews and investigations with the organizational incident - response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsecurity plan\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical access\n\nautomated mechanisms supporting and/or implementing physical access monitoring\n\nautomated mechanisms supporting and/or implementing reviewing of physical access - logs - """ - controls: - - - id: pe-6.1 - class: SP800-53-enhancement - title: Intrusion Alarms / Surveillance Equipment - properties: - - - name: label - value: PE-6(1) - - - name: sort-id - value: pe-06.01 - parts: - - - id: pe-6.1_smt - name: statement - prose: - """ - The organization monitors physical intrusion alarms and surveillance - equipment. - """ - - - id: pe-6.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization monitors physical intrusion alarms and surveillance - equipment. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing physical access monitoring\n\nsecurity plan\n\nphysical access logs or records\n\nphysical access monitoring records\n\nphysical access log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with physical access monitoring responsibilities\n\norganizational personnel with incident response responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring physical intrusion alarms and - surveillance equipment\n\nautomated mechanisms supporting and/or implementing physical access - monitoring\n\nautomated mechanisms supporting and/or implementing physical intrusion alarms - and surveillance equipment - """ - - - id: pe-8 - class: SP800-53 - title: Visitor Access Records - parameters: - - - id: pe-8_prm_1 - label: organization-defined time period - constraints: - - - detail: for a minimum of one (1) year - - - id: pe-8_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PE-8 - - - name: sort-id - value: pe-08 - parts: - - - id: pe-8_smt - name: statement - prose: The organization: - parts: - - - id: pe-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains visitor access records to the facility where the information system - resides for {{ pe-8_prm_1 }}; and - """ - - - id: pe-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews visitor access records {{ pe-8_prm_2 }}. - - - id: pe-8_gdn - name: guidance - prose: - """ - Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas. - """ - - - id: pe-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-8.a_obj - name: objective - properties: - - - name: label - value: PE-8(a) - parts: - - - id: pe-8.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-8(a)[1] - prose: - """ - defines the time period to maintain visitor access records to the facility - where the information system resides; - """ - - - id: pe-8.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-8(a)[2] - prose: - """ - maintains visitor access records to the facility where the information system - resides for the organization-defined time period; - """ - - - id: pe-8.b_obj - name: objective - properties: - - - name: label - value: PE-8(b) - parts: - - - id: pe-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-8(b)[1] - prose: defines the frequency to review visitor access records; and - - - id: pe-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-8(b)[2] - prose: reviews visitor access records with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing visitor access records\n\nsecurity plan\n\nvisitor access control logs or records\n\nvisitor access record or log reviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with visitor access records responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for maintaining and reviewing visitor access records\n\nautomated mechanisms supporting and/or implementing maintenance and review of - visitor access records - """ - - - id: pe-9 - class: SP800-53 - title: Power Equipment and Cabling - properties: - - - name: label - value: PE-9 - - - name: sort-id - value: pe-09 - parts: - - - id: pe-9_smt - name: statement - prose: - """ - The organization protects power equipment and power cabling for the information - system from damage and destruction. - """ - - - id: pe-9_gdn - name: guidance - prose: - """ - Organizations determine the types of protection necessary for power equipment and - cabling employed at different locations both internal and external to organizational - facilities and environments of operation. This includes, for example, generators and - power cabling outside of buildings, internal cabling and uninterruptable power - sources within an office or data center, and power sources for self-contained - entities such as vehicles and satellites. - """ - links: - - - href: #pe-4 - rel: related - text: PE-4 - - - id: pe-9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects power equipment and power cabling for the - information system from damage and destruction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing power equipment/cabling protection\n\nfacilities housing power equipment/cabling\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for protecting power - equipment/cabling\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing protection of power - equipment/cabling - """ - - - id: pe-10 - class: SP800-53 - title: Emergency Shutoff - parameters: - - - id: pe-10_prm_1 - label: organization-defined location by information system or system component - properties: - - - name: label - value: PE-10 - - - name: sort-id - value: pe-10 - parts: - - - id: pe-10_smt - name: statement - prose: The organization: - parts: - - - id: pe-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides the capability of shutting off power to the information system or - individual system components in emergency situations; - """ - - - id: pe-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Places emergency shutoff switches or devices in {{ pe-10_prm_1 }} - to facilitate safe and easy access for personnel; and - """ - - - id: pe-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: Protects emergency power shutoff capability from unauthorized activation. - - - id: pe-10_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. - """ - links: - - - href: #pe-15 - rel: related - text: PE-15 - - - id: pe-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-10(a) - prose: - """ - provides the capability of shutting off power to the information system or - individual system components in emergency situations; - """ - - - id: pe-10.b_obj - name: objective - properties: - - - name: label - value: PE-10(b) - parts: - - - id: pe-10.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-10(b)[1] - prose: - """ - defines the location of emergency shutoff switches or devices by information - system or system component; - """ - - - id: pe-10.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-10(b)[2] - prose: - """ - places emergency shutoff switches or devices in the organization-defined - location by information system or system component to facilitate safe and easy - access for personnel; and - """ - - - id: pe-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-10(c) - prose: protects emergency power shutoff capability from unauthorized activation. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing power source emergency shutoff\n\nsecurity plan\n\nemergency shutoff controls or switches\n\nlocations housing emergency shutoff switches and devices\n\nsecurity safeguards protecting emergency power shutoff capability from - unauthorized activation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency power shutoff - capability (both implementing and using the capability)\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing emergency power shutoff - - - id: pe-11 - class: SP800-53 - title: Emergency Power - parameters: - - - id: pe-11_prm_1 - properties: - - - name: label - value: PE-11 - - - name: sort-id - value: pe-11 - parts: - - - id: pe-11_smt - name: statement - prose: - """ - The organization provides a short-term uninterruptible power supply to facilitate - {{ pe-11_prm_1 }} in the event of a primary power source loss. - """ - - - id: pe-11_gdn - name: guidance - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-11_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization provides a short-term uninterruptible power supply to - facilitate one or more of the following in the event of a primary power source loss: - """ - parts: - - - id: pe-11_obj.1 - name: objective - properties: - - - name: label - value: PE-11[1] - prose: an orderly shutdown of the information system; and/or - - - id: pe-11_obj.2 - name: objective - properties: - - - name: label - value: PE-11[2] - prose: transition of the information system to long-term alternate power. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency power\n\nuninterruptible power supply\n\nuninterruptible power supply documentation\n\nuninterruptible power supply test records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency power and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing uninterruptible power - supply\n\nthe uninterruptable power supply - """ - - - id: pe-12 - class: SP800-53 - title: Emergency Lighting - properties: - - - name: label - value: PE-12 - - - name: sort-id - value: pe-12 - parts: - - - id: pe-12_smt - name: statement - prose: - """ - The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility. - """ - - - id: pe-12_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-12_obj - name: objective - prose: - """ - Determine if the organization employs and maintains automatic emergency lighting for - the information system that: - """ - parts: - - - id: pe-12_obj.1 - name: objective - properties: - - - name: label - value: PE-12[1] - prose: activates in the event of a power outage or disruption; and - - - id: pe-12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-12[2] - prose: covers emergency exits and evacuation routes within the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing emergency lighting\n\nemergency lighting documentation\n\nemergency lighting test records\n\nemergency exits and evacuation routes\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for emergency lighting and/or - planning\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing emergency lighting - capability - """ - - - id: pe-13 - class: SP800-53 - title: Fire Protection - properties: - - - name: label - value: PE-13 - - - name: sort-id - value: pe-13 - parts: - - - id: pe-13_smt - name: statement - prose: - """ - The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source. - """ - - - id: pe-13_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors. - """ - - - id: pe-13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13_obj.1 - name: objective - properties: - - - name: label - value: PE-13[1] - prose: - """ - employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and - """ - - - id: pe-13_obj.2 - name: objective - properties: - - - name: label - value: PE-13[2] - prose: - """ - maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems\n\nfire suppression and detection devices/systems documentation\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and suppression - devices/systems\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems - """ - controls: - - - id: pe-13.2 - class: SP800-53-enhancement - title: Suppression Devices / Systems - parameters: - - - id: pe-13.2_prm_1 - label: organization-defined personnel or roles - - - id: pe-13.2_prm_2 - label: organization-defined emergency responders - properties: - - - name: label - value: PE-13(2) - - - name: sort-id - value: pe-13.02 - parts: - - - id: pe-13.2_smt - name: statement - prose: - """ - The organization employs fire suppression devices/systems for the information - system that provide automatic notification of any activation to {{ pe-13.2_prm_1 }} and {{ pe-13.2_prm_2 }}. - """ - - - id: pe-13.2_gdn - name: guidance - prose: - """ - Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information. - """ - - - id: pe-13.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-13.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-13(2)[1] - prose: - """ - defines personnel or roles to be provided automatic notification of any - activation of fire suppression devices/systems for the information system; - """ - - - id: pe-13.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-13(2)[2] - prose: - """ - defines emergency responders to be provided automatic notification of any - activation of fire suppression devices/systems for the information system; - """ - - - id: pe-13.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-13(2)[3] - prose: - """ - employs fire suppression devices/systems for the information system that - provide automatic notification of any activation to: - """ - parts: - - - id: pe-13.2_obj.3.a - name: objective - properties: - - - name: label - value: PE-13(2)[3][a] - prose: organization-defined personnel or roles; and - - - id: pe-13.2_obj.3.b - name: objective - properties: - - - name: label - value: PE-13(2)[3][b] - prose: organization-defined emergency responders. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems documentation\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and - suppression devices/systems\n\norganizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression - devices/systems\n\nactivation of fire suppression devices/systems (simulated)\n\nautomated notifications - """ - - - id: pe-13.3 - class: SP800-53-enhancement - title: Automatic Fire Suppression - properties: - - - name: label - value: PE-13(3) - - - name: sort-id - value: pe-13.03 - parts: - - - id: pe-13.3_smt - name: statement - prose: - """ - The organization employs an automatic fire suppression capability for the - information system when the facility is not staffed on a continuous basis. - """ - - - id: pe-13.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs an automatic fire suppression capability for - the information system when the facility is not staffed on a continuous basis. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing fire protection\n\nfire suppression and detection devices/systems documentation\n\nfacility housing the information system\n\nalarm service-level agreements\n\ntest records of fire suppression and detection devices/systems\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for fire detection and - suppression devices/systems\n\norganizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing fire suppression - devices/systems\n\nactivation of fire suppression devices/systems (simulated) - """ - - - id: pe-14 - class: SP800-53 - title: Temperature and Humidity Controls - parameters: - - - id: pe-14_prm_1 - label: organization-defined acceptable levels - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - id: pe-14_prm_2 - label: organization-defined frequency - constraints: - - - detail: continuously - properties: - - - name: label - value: PE-14 - - - name: sort-id - value: pe-14 - parts: - - - id: pe-14_smt - name: statement - prose: The organization: - parts: - - - id: pe-14_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Maintains temperature and humidity levels within the facility where the - information system resides at {{ pe-14_prm_1 }}; and - """ - - - id: pe-14_smt.b - name: item - properties: - - - name: label - value: b. - prose: Monitors temperature and humidity levels {{ pe-14_prm_2 }}. - - - id: pe-14_fr - name: item - title: PE-14(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: pe-14_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider measures temperature at server inlets and humidity levels by dew point. - - - id: pe-14_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-14_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-14.a_obj - name: objective - properties: - - - name: label - value: PE-14(a) - parts: - - - id: pe-14.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(a)[1] - prose: - """ - defines acceptable temperature levels to be maintained within the facility - where the information system resides; - """ - - - id: pe-14.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(a)[2] - prose: - """ - defines acceptable humidity levels to be maintained within the facility where - the information system resides; - """ - - - id: pe-14.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(a)[3] - prose: - """ - maintains temperature levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(a)[4] - prose: - """ - maintains humidity levels within the facility where the information system - resides at the organization-defined levels; - """ - - - id: pe-14.b_obj - name: objective - properties: - - - name: label - value: PE-14(b) - parts: - - - id: pe-14.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(b)[1] - prose: defines the frequency to monitor temperature levels; - - - id: pe-14.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-14(b)[2] - prose: defines the frequency to monitor humidity levels; - - - id: pe-14.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(b)[3] - prose: monitors temperature levels with the organization-defined frequency; and - - - id: pe-14.b_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(b)[4] - prose: monitors humidity levels with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing temperature and humidity control\n\nsecurity plan\n\ntemperature and humidity controls\n\nfacility housing the information system\n\ntemperature and humidity controls documentation\n\ntemperature and humidity records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels - """ - controls: - - - id: pe-14.2 - class: SP800-53-enhancement - title: Monitoring with Alarms / Notifications - properties: - - - name: label - value: PE-14(2) - - - name: sort-id - value: pe-14.02 - parts: - - - id: pe-14.2_smt - name: statement - prose: - """ - The organization employs temperature and humidity monitoring that provides an - alarm or notification of changes potentially harmful to personnel or - equipment. - """ - - - id: pe-14.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-14.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(2)[1] - prose: - """ - employs temperature monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or - """ - - - id: pe-14.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-14(2)[2] - prose: - """ - employs temperature monitoring that provides notification of changes - potentially harmful to personnel or equipment; - """ - - - id: pe-14.2_obj.3 - name: objective - properties: - - - name: label - value: PE-14(2)[3] - prose: - """ - employs humidity monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or - """ - - - id: pe-14.2_obj.4 - name: objective - properties: - - - name: label - value: PE-14(2)[4] - prose: - """ - employs humidity monitoring that provides notification of changes potentially - harmful to personnel or equipment. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing temperature and humidity monitoring\n\nfacility housing the information system\n\nlogs or records of temperature and humidity monitoring\n\nrecords of changes to temperature and humidity levels that generate alarms or - notifications\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing temperature and humidity - monitoring - """ - - - id: pe-15 - class: SP800-53 - title: Water Damage Protection - properties: - - - name: label - value: PE-15 - - - name: sort-id - value: pe-15 - parts: - - - id: pe-15_smt - name: statement - prose: - """ - The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel. - """ - - - id: pe-15_gdn - name: guidance - prose: - """ - This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - id: pe-15_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are: - """ - parts: - - - id: pe-15_obj.1 - name: objective - properties: - - - name: label - value: PE-15[1] - prose: accessible; - - - id: pe-15_obj.2 - name: objective - properties: - - - name: label - value: PE-15[2] - prose: working properly; and - - - id: pe-15_obj.3 - name: objective - properties: - - - name: label - value: PE-15[3] - prose: known to key personnel. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing water damage protection\n\nfacility housing the information system\n\nmaster shutoff valves\n\nlist of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system\n\nmaster shutoff valve documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for information system - environmental controls\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Master water-shutoff valves\n\norganizational process for activating master water-shutoff - - - id: pe-16 - class: SP800-53 - title: Delivery and Removal - parameters: - - - id: pe-16_prm_1 - label: organization-defined types of information system components - constraints: - - - detail: all information system components - properties: - - - name: label - value: PE-16 - - - name: sort-id - value: pe-16 - parts: - - - id: pe-16_smt - name: statement - prose: - """ - The organization authorizes, monitors, and controls {{ pe-16_prm_1 }} - entering and exiting the facility and maintains records of those items. - """ - - - id: pe-16_gdn - name: guidance - prose: - """ - Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ma-3 - rel: related - text: MA-3 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: pe-16_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-16_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-16[1] - prose: - """ - defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility; - """ - - - id: pe-16_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[2] - prose: - """ - authorizes organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[3] - prose: - """ - monitors organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[4] - prose: - """ - controls organization-defined information system components entering the - facility; - """ - - - id: pe-16_obj.5 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[5] - prose: - """ - authorizes organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.6 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[6] - prose: - """ - monitors organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.7 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-16[7] - prose: - """ - controls organization-defined information system components exiting the - facility; - """ - - - id: pe-16_obj.8 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-16[8] - prose: maintains records of information system components entering the facility; and - - - id: pe-16_obj.9 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-16[9] - prose: maintains records of information system components exiting the facility. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Physical and environmental protection policy\n\nprocedures addressing delivery and removal of information system components from - the facility\n\nsecurity plan\n\nfacility housing the information system\n\nrecords of items entering and exiting the facility\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility\n\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility - """ - - - id: pe-17 - class: SP800-53 - title: Alternate Work Site - parameters: - - - id: pe-17_prm_1 - label: organization-defined security controls - properties: - - - name: label - value: PE-17 - - - name: sort-id - value: pe-17 - links: - - - href: #5309d4d0-46f8-4213-a749-e7584164e5e8 - rel: reference - text: NIST Special Publication 800-46 - parts: - - - id: pe-17_smt - name: statement - prose: The organization: - parts: - - - id: pe-17_smt.a - name: item - properties: - - - name: label - value: a. - prose: Employs {{ pe-17_prm_1 }} at alternate work sites; - - - id: pe-17_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Assesses as feasible, the effectiveness of security controls at alternate work - sites; and - """ - - - id: pe-17_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Provides a means for employees to communicate with information security personnel - in case of security incidents or problems. - """ - - - id: pe-17_gdn - name: guidance - prose: - """ - Alternate work sites may include, for example, government facilities or private - residences of employees. While commonly distinct from alternative processing sites, - alternate work sites may provide readily available alternate locations as part of - contingency operations. Organizations may define different sets of security controls - for specific alternate work sites or types of sites depending on the work-related - activities conducted at those sites. This control supports the contingency planning - activities of organizations and the federal telework initiative. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #cp-7 - rel: related - text: CP-7 - - - id: pe-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pe-17.a_obj - name: objective - properties: - - - name: label - value: PE-17(a) - parts: - - - id: pe-17.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PE-17(a)[1] - prose: defines security controls to be employed at alternate work sites; - - - id: pe-17.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-17(a)[2] - prose: employs organization-defined security controls at alternate work sites; - - - id: pe-17.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PE-17(b) - prose: - """ - assesses, as feasible, the effectiveness of security controls at alternate work - sites; and - """ - - - id: pe-17.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PE-17(c) - prose: - """ - provides a means for employees to communicate with information security personnel - in case of security incidents or problems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Physical and environmental protection policy\n\nprocedures addressing alternate work sites for organizational personnel\n\nsecurity plan\n\nlist of security controls required for alternate work sites\n\nassessments of security controls at alternate work sites\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel approving use of alternate work sites\n\norganizational personnel using alternate work sites\n\norganizational personnel assessing controls at alternate work sites\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for security at alternate work sites\n\nautomated mechanisms supporting alternate work sites\n\nsecurity controls employed at alternate work sites\n\nmeans of communications between personnel at alternate work sites and security - personnel - """ - - - id: pl - class: family - title: Planning - controls: - - - id: pl-1 - class: SP800-53 - title: Security Planning Policy and Procedures - parameters: - - - id: pl-1_prm_1 - label: organization-defined personnel or roles - - - id: pl-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: pl-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-1 - - - name: sort-id - value: pl-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: pl-1_smt - name: statement - prose: The organization: - parts: - - - id: pl-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ pl-1_prm_1 }}: - parts: - - - id: pl-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: pl-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and - """ - - - id: pl-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: pl-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Security planning policy {{ pl-1_prm_2 }}; and - - - id: pl-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Security planning procedures {{ pl-1_prm_3 }}. - - - id: pl-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: pl-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-1.a_obj - name: objective - properties: - - - name: label - value: PL-1(a) - parts: - - - id: pl-1.a.1_obj - name: objective - properties: - - - name: label - value: PL-1(a)(1) - parts: - - - id: pl-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(1)[1] - prose: develops and documents a planning policy that addresses: - parts: - - - id: pl-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][a] - prose: purpose; - - - id: pl-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][b] - prose: scope; - - - id: pl-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][c] - prose: roles; - - - id: pl-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][d] - prose: responsibilities; - - - id: pl-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][e] - prose: management commitment; - - - id: pl-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: pl-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PL-1(a)(1)[1][g] - prose: compliance; - - - id: pl-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the planning policy is to be - disseminated; - """ - - - id: pl-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-1(a)(1)[3] - prose: - """ - disseminates the planning policy to organization-defined personnel or - roles; - """ - - - id: pl-1.a.2_obj - name: objective - properties: - - - name: label - value: PL-1(a)(2) - parts: - - - id: pl-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls; - """ - - - id: pl-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: pl-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: pl-1.b_obj - name: objective - properties: - - - name: label - value: PL-1(b) - parts: - - - id: pl-1.b.1_obj - name: objective - properties: - - - name: label - value: PL-1(b)(1) - parts: - - - id: pl-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(1)[1] - prose: defines the frequency to review and update the current planning policy; - - - id: pl-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(1)[2] - prose: - """ - reviews and updates the current planning policy with the - organization-defined frequency; - """ - - - id: pl-1.b.2_obj - name: objective - properties: - - - name: label - value: PL-1(b)(2) - parts: - - - id: pl-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current planning procedures; - and - """ - - - id: pl-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-1(b)(2)[2] - prose: - """ - reviews and updates the current planning procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Planning policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with planning responsibilities\n\norganizational personnel with information security responsibilities - - - id: pl-2 - class: SP800-53 - title: System Security Plan - parameters: - - - id: pl-2_prm_1 - label: organization-defined personnel or roles - - - id: pl-2_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-2 - - - name: sort-id - value: pl-02 - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-2_smt - name: statement - prose: The organization: - parts: - - - id: pl-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops a security plan for the information system that: - parts: - - - id: pl-2_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Is consistent with the organization’s enterprise architecture; - - - id: pl-2_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Explicitly defines the authorization boundary for the system; - - - id: pl-2_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2_smt.a.4 - name: item - properties: - - - name: label - value: 4. - prose: - """ - Provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2_smt.a.5 - name: item - properties: - - - name: label - value: 5. - prose: - """ - Describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2_smt.a.6 - name: item - properties: - - - name: label - value: 6. - prose: Provides an overview of the security requirements for the system; - - - id: pl-2_smt.a.7 - name: item - properties: - - - name: label - value: 7. - prose: Identifies any relevant overlays, if applicable; - - - id: pl-2_smt.a.8 - name: item - properties: - - - name: label - value: 8. - prose: - """ - Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and - """ - - - id: pl-2_smt.a.9 - name: item - properties: - - - name: label - value: 9. - prose: - """ - Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Distributes copies of the security plan and communicates subsequent changes to the - plan to {{ pl-2_prm_1 }}; - """ - - - id: pl-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews the security plan for the information system {{ pl-2_prm_2 }}; - - - id: pl-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and - """ - - - id: pl-2_smt.e - name: item - properties: - - - name: label - value: e. - prose: Protects the security plan from unauthorized disclosure and modification. - - - id: pl-2_gdn - name: guidance - prose: - """ - Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-14 - rel: related - text: AC-14 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #ir-8 - rel: related - text: IR-8 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #ma-5 - rel: related - text: MA-5 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #pl-7 - rel: related - text: PL-7 - - - href: #pm-1 - rel: related - text: PM-1 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #pm-8 - rel: related - text: PM-8 - - - href: #pm-9 - rel: related - text: PM-9 - - - href: #pm-11 - rel: related - text: PM-11 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-17 - rel: related - text: SA-17 - - - id: pl-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-2.a_obj - name: objective - properties: - - - name: label - value: PL-2(a) - prose: develops a security plan for the information system that: - parts: - - - id: pl-2.a.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(1) - prose: is consistent with the organization’s enterprise architecture; - - - id: pl-2.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(2) - prose: explicitly defines the authorization boundary for the system; - - - id: pl-2.a.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(3) - prose: - """ - describes the operational context of the information system in terms of - missions and business processes; - """ - - - id: pl-2.a.4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(4) - prose: - """ - provides the security categorization of the information system including - supporting rationale; - """ - - - id: pl-2.a.5_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(5) - prose: - """ - describes the operational environment for the information system and - relationships with or connections to other information systems; - """ - - - id: pl-2.a.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(6) - prose: provides an overview of the security requirements for the system; - - - id: pl-2.a.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(7) - prose: identifies any relevant overlays, if applicable; - - - id: pl-2.a.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(a)(8) - prose: - """ - describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions; - """ - - - id: pl-2.a.9_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(a)(9) - prose: - """ - is reviewed and approved by the authorizing official or designated - representative prior to plan implementation; - """ - - - id: pl-2.b_obj - name: objective - properties: - - - name: label - value: PL-2(b) - parts: - - - id: pl-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(b)[1] - prose: - """ - defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated; - """ - - - id: pl-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(b)[2] - prose: - """ - distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles; - """ - - - id: pl-2.c_obj - name: objective - properties: - - - name: label - value: PL-2(c) - parts: - - - id: pl-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(c)[1] - prose: - """ - defines the frequency to review the security plan for the information - system; - """ - - - id: pl-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(c)[2] - prose: - """ - reviews the security plan for the information system with the - organization-defined frequency; - """ - - - id: pl-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(d) - prose: updates the plan to address: - parts: - - - id: pl-2.d_obj.1 - name: objective - properties: - - - name: label - value: PL-2(d)[1] - prose: changes to the information system/environment of operation; - - - id: pl-2.d_obj.2 - name: objective - properties: - - - name: label - value: PL-2(d)[2] - prose: problems identified during plan implementation; - - - id: pl-2.d_obj.3 - name: objective - properties: - - - name: label - value: PL-2(d)[3] - prose: problems identified during security control assessments; - - - id: pl-2.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-2(e) - prose: protects the security plan from unauthorized: - parts: - - - id: pl-2.e_obj.1 - name: objective - properties: - - - name: label - value: PL-2(e)[1] - prose: disclosure; and - - - id: pl-2.e_obj.2 - name: objective - properties: - - - name: label - value: PL-2(e)[2] - prose: modification. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing security plan development and implementation\n\nprocedures addressing security plan reviews and updates\n\nenterprise architecture documentation\n\nsecurity plan for the information system\n\nrecords of security plan reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security plan development/review/update/approval\n\nautomated mechanisms supporting the information system security plan - controls: - - - id: pl-2.3 - class: SP800-53-enhancement - title: Plan / Coordinate with Other Organizational Entities - parameters: - - - id: pl-2.3_prm_1 - label: organization-defined individuals or groups - properties: - - - name: label - value: PL-2(3) - - - name: sort-id - value: pl-02.03 - parts: - - - id: pl-2.3_smt - name: statement - prose: - """ - The organization plans and coordinates security-related activities affecting the - information system with {{ pl-2.3_prm_1 }} before conducting such - activities in order to reduce the impact on other organizational entities. - """ - - - id: pl-2.3_gdn - name: guidance - prose: - """ - Security-related activities include, for example, security assessments, audits, - hardware and software maintenance, patch management, and contingency plan testing. - Advance planning and coordination includes emergency and nonemergency (i.e., - planned or nonurgent unplanned) situations. The process defined by organizations - to plan and coordinate security-related activities can be included in security - plans for information systems or other documents, as appropriate. - """ - links: - - - href: #cp-4 - rel: related - text: CP-4 - - - href: #ir-4 - rel: related - text: IR-4 - - - id: pl-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-2.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-2(3)[1] - prose: - """ - defines individuals or groups with whom security-related activities affecting - the information system are to be planned and coordinated before conducting such - activities in order to reduce the impact on other organizational entities; - and - """ - - - id: pl-2.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PL-2(3)[2] - prose: - """ - plans and coordinates security-related activities affecting the information - system with organization-defined individuals or groups before conducting such - activities in order to reduce the impact on other organizational entities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Security planning policy\n\naccess control policy\n\ncontingency planning policy\n\nprocedures addressing security-related activity planning for the information - system\n\nsecurity plan for the information system\n\ncontingency plan for the information system\n\ninformation system design documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational individuals or groups with whom security-related activities are - to be planned and coordinated\n\norganizational personnel with information security responsibilities - """ - - - id: pl-4 - class: SP800-53 - title: Rules of Behavior - parameters: - - - id: pl-4_prm_1 - label: organization-defined frequency - constraints: - - - detail: At least every 3 years - properties: - - - name: label - value: PL-4 - - - name: sort-id - value: pl-04 - links: - - - href: #9c5c9e8c-dc81-4f55-a11c-d71d7487790f - rel: reference - text: NIST Special Publication 800-18 - parts: - - - id: pl-4_smt - name: statement - prose: The organization: - parts: - - - id: pl-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage; - """ - - - id: pl-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates the rules of behavior {{ pl-4_prm_1 }}; and - - - id: pl-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated. - """ - - - id: pl-4_gdn - name: guidance - prose: - """ - This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-9 - rel: related - text: AC-9 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #ac-20 - rel: related - text: AC-20 - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #ia-5 - rel: related - text: IA-5 - - - href: #mp-7 - rel: related - text: MP-7 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #ps-8 - rel: related - text: PS-8 - - - href: #sa-5 - rel: related - text: SA-5 - - - id: pl-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-4.a_obj - name: objective - properties: - - - name: label - value: PL-4(a) - parts: - - - id: pl-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-4(a)[1] - prose: - """ - establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage; - """ - - - id: pl-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(a)[2] - prose: - """ - makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage; - """ - - - id: pl-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(b) - prose: - """ - receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system; - """ - - - id: pl-4.c_obj - name: objective - properties: - - - name: label - value: PL-4(c) - parts: - - - id: pl-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-4(c)[1] - prose: defines the frequency to review and update the rules of behavior; - - - id: pl-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(c)[2] - prose: - """ - reviews and updates the rules of behavior with the organization-defined - frequency; and - """ - - - id: pl-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(d) - prose: - """ - requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing rules of behavior for information system users\n\nrules of behavior\n\nsigned acknowledgements\n\nrecords for rules of behavior reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior\n\norganizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior - """ - controls: - - - id: pl-4.1 - class: SP800-53-enhancement - title: Social Media and Networking Restrictions - properties: - - - name: label - value: PL-4(1) - - - name: sort-id - value: pl-04.01 - parts: - - - id: pl-4.1_smt - name: statement - prose: - """ - The organization includes in the rules of behavior, explicit restrictions on the - use of social media/networking sites and posting organizational information on - public websites. - """ - - - id: pl-4.1_gdn - name: guidance - prose: - """ - This control enhancement addresses rules of behavior related to the use of social - media/networking sites: (i) when organizational personnel are using such sites for - official duties or in the conduct of official business; (ii) when organizational - information is involved in social media/networking transactions; and (iii) when - personnel are accessing social media/networking sites from organizational - information systems. Organizations also address specific rules that prevent - unauthorized entities from obtaining and/or inferring non-public organizational - information (e.g., system account information, personally identifiable - information) from social media/networking sites. - """ - - - id: pl-4.1_obj - name: objective - prose: Determine if the organization includes the following in the rules of behavior: - parts: - - - id: pl-4.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(1)[1] - prose: explicit restrictions on the use of social media/networking sites; and - - - id: pl-4.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-4(1)[2] - prose: posting organizational information on public websites. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing rules of behavior for information system users\n\nrules of behavior\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior\n\norganizational personnel who are authorized users of the information system and - have signed rules of behavior\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for establishing rules of behavior\n\nautomated mechanisms supporting and/or implementing the establishment of rules - of behavior - """ - - - id: pl-8 - class: SP800-53 - title: Information Security Architecture - parameters: - - - id: pl-8_prm_1 - label: organization-defined frequency - constraints: - - - detail: At least annually or when a significant change occurs - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PL-8 - - - name: sort-id - value: pl-08 - parts: - - - id: pl-8_smt - name: statement - prose: The organization: - parts: - - - id: pl-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops an information security architecture for the information system that: - parts: - - - id: pl-8_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Describes the overall philosophy, requirements, and approach to be taken with - regard to protecting the confidentiality, integrity, and availability of - organizational information; - """ - - - id: pl-8_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Describes how the information security architecture is integrated into and - supports the enterprise architecture; and - """ - - - id: pl-8_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Describes any information security assumptions about, and dependencies on, - external services; - """ - - - id: pl-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Reviews and updates the information security architecture {{ pl-8_prm_1 }} to reflect updates in the enterprise architecture; - and - """ - - - id: pl-8_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that planned information security architecture changes are reflected in - the security plan, the security Concept of Operations (CONOPS), and organizational - procurements/acquisitions. - """ - - - id: pl-8_fr - name: item - title: PL-8(b) Additional FedRAMP Requirements and Guidance - parts: - - - id: pl-8_fr_gdn.b - name: guidance - properties: - - - name: label - value: (b) Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7. - - - id: pl-8_gdn - name: guidance - prose: - """ - This control addresses actions taken by organizations in the design and development - of information systems. The information security architecture at the individual - information system level is consistent with and complements the more global, - organization-wide information security architecture described in PM-7 that is - integral to and developed as part of the enterprise architecture. The information - security architecture includes an architectural description, the placement/allocation - of security functionality (including security controls), security-related information - for external interfaces, information being exchanged across the interfaces, and the - protection mechanisms associated with each interface. In addition, the security - architecture can include other important security-related information, for example, - user roles and access privileges assigned to each role, unique security requirements, - the types of information processed, stored, and transmitted by the information - system, restoration priorities of information and information system services, and - any other specific protection needs. In today’s modern architecture, it is becoming - less common for organizations to control all information resources. There are going - to be key dependencies on external information services and service providers. - Describing such dependencies in the information security architecture is important to - developing a comprehensive mission/business protection strategy. Establishing, - developing, documenting, and maintaining under configuration control, a baseline - configuration for organizational information systems is critical to implementing and - maintaining an effective information security architecture. The development of the - information security architecture is coordinated with the Senior Agency Official for - Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to - support privacy requirements are identified and effectively implemented. PL-8 is - primarily directed at organizations (i.e., internally focused) to help ensure that - organizations develop an information security architecture for the information - system, and that the security architecture is integrated with or tightly coupled to - the enterprise architecture through the organization-wide information security - architecture. In contrast, SA-17 is primarily directed at external information - technology product/system developers and integrators (although SA-17 could be used - internally within organizations for in-house system development). SA-17, which is - complementary to PL-8, is selected when organizations outsource the development of - information systems or information system components to external entities, and there - is a need to demonstrate/show consistency with the organization’s enterprise - architecture and information security architecture. - """ - links: - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-17 - rel: related - text: SA-17 - - - href: https://doi.org/10.6028/NIST.SP.800-53r4 - rel: related - text: Appendix J - - - id: pl-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: pl-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-8(a) - prose: - """ - develops an information security architecture for the information system that - describes: - """ - parts: - - - id: pl-8.a.1_obj - name: objective - properties: - - - name: label - value: PL-8(a)(1) - prose: - """ - the overall philosophy, requirements, and approach to be taken with regard to - protecting the confidentiality, integrity, and availability of organizational - information; - """ - - - id: pl-8.a.2_obj - name: objective - properties: - - - name: label - value: PL-8(a)(2) - prose: - """ - how the information security architecture is integrated into and supports the - enterprise architecture; - """ - - - id: pl-8.a.3_obj - name: objective - properties: - - - name: label - value: PL-8(a)(3) - prose: - """ - any information security assumptions about, and dependencies on, external - services; - """ - - - id: pl-8.b_obj - name: objective - properties: - - - name: label - value: PL-8(b) - parts: - - - id: pl-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PL-8(b)[1] - prose: - """ - defines the frequency to review and update the information security - architecture; - """ - - - id: pl-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-8(b)[2] - prose: - """ - reviews and updates the information security architecture with the - organization-defined frequency to reflect updates in the enterprise - architecture; - """ - - - id: pl-8.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PL-8(c) - prose: - """ - ensures that planned information security architecture changes are reflected - in: - """ - parts: - - - id: pl-8.c_obj.1 - name: objective - properties: - - - name: label - value: PL-8(c)[1] - prose: the security plan; - - - id: pl-8.c_obj.2 - name: objective - properties: - - - name: label - value: PL-8(c)[2] - prose: the security Concept of Operations (CONOPS); and - - - id: pl-8.c_obj.3 - name: objective - properties: - - - name: label - value: PL-8(c)[3] - prose: the organizational procurements/acquisitions. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Security planning policy\n\nprocedures addressing information security architecture development\n\nprocedures addressing information security architecture reviews and updates\n\nenterprise architecture documentation\n\ninformation security architecture documentation\n\nsecurity plan for the information system\n\nsecurity CONOPS for the information system\n\nrecords of information security architecture reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security planning and plan implementation - responsibilities\n\norganizational personnel with information security architecture development - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for developing, reviewing, and updating the information - security architecture\n\nautomated mechanisms supporting and/or implementing the development, review, and - update of the information security architecture - """ - - - id: ps - class: family - title: Personnel Security - controls: - - - id: ps-1 - class: SP800-53 - title: Personnel Security Policy and Procedures - parameters: - - - id: ps-1_prm_1 - label: organization-defined personnel or roles - - - id: ps-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ps-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-1 - - - name: sort-id - value: ps-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ps-1_smt - name: statement - prose: The organization: - parts: - - - id: ps-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ps-1_prm_1 }}: - parts: - - - id: ps-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ps-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and - """ - - - id: ps-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ps-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Personnel security policy {{ ps-1_prm_2 }}; and - - - id: ps-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Personnel security procedures {{ ps-1_prm_3 }}. - - - id: ps-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ps-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-1.a_obj - name: objective - properties: - - - name: label - value: PS-1(a) - parts: - - - id: ps-1.a.1_obj - name: objective - properties: - - - name: label - value: PS-1(a)(1) - parts: - - - id: ps-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(1)[1] - prose: develops and documents an personnel security policy that addresses: - parts: - - - id: ps-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][a] - prose: purpose; - - - id: ps-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][b] - prose: scope; - - - id: ps-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][c] - prose: roles; - - - id: ps-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][d] - prose: responsibilities; - - - id: ps-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][e] - prose: management commitment; - - - id: ps-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ps-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: PS-1(a)(1)[1][g] - prose: compliance; - - - id: ps-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the personnel security policy is to be - disseminated; - """ - - - id: ps-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-1(a)(1)[3] - prose: - """ - disseminates the personnel security policy to organization-defined personnel - or roles; - """ - - - id: ps-1.a.2_obj - name: objective - properties: - - - name: label - value: PS-1(a)(2) - parts: - - - id: ps-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls; - """ - - - id: ps-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ps-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ps-1.b_obj - name: objective - properties: - - - name: label - value: PS-1(b) - parts: - - - id: ps-1.b.1_obj - name: objective - properties: - - - name: label - value: PS-1(b)(1) - parts: - - - id: ps-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current personnel security - policy; - """ - - - id: ps-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(1)[2] - prose: - """ - reviews and updates the current personnel security policy with the - organization-defined frequency; - """ - - - id: ps-1.b.2_obj - name: objective - properties: - - - name: label - value: PS-1(b)(2) - parts: - - - id: ps-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current personnel security - procedures; and - """ - - - id: ps-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-1(b)(2)[2] - prose: - """ - reviews and updates the current personnel security procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with access control responsibilities\n\norganizational personnel with information security responsibilities - - - id: ps-2 - class: SP800-53 - title: Position Risk Designation - parameters: - - - id: ps-2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least every three years - properties: - - - name: label - value: PS-2 - - - name: sort-id - value: ps-02 - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - parts: - - - id: ps-2_smt - name: statement - prose: The organization: - parts: - - - id: ps-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Assigns a risk designation to all organizational positions; - - - id: ps-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: Establishes screening criteria for individuals filling those positions; and - - - id: ps-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews and updates position risk designations {{ ps-2_prm_1 }}. - - - id: ps-2_gdn - name: guidance - prose: - """ - Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances). - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - id: ps-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-2(a) - prose: assigns a risk designation to all organizational positions; - - - id: ps-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-2(b) - prose: establishes screening criteria for individuals filling those positions; - - - id: ps-2.c_obj - name: objective - properties: - - - name: label - value: PS-2(c) - parts: - - - id: ps-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-2(c)[1] - prose: defines the frequency to review and update position risk designations; and - - - id: ps-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-2(c)[2] - prose: - """ - reviews and updates position risk designations with the organization-defined - frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing position categorization\n\nappropriate codes of federal regulations\n\nlist of risk designations for organizational positions\n\nsecurity plan\n\nrecords of position risk designation reviews and updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for assigning, reviewing, and updating position risk - designations\n\norganizational processes for establishing screening criteria - """ - - - id: ps-3 - class: SP800-53 - title: Personnel Screening - parameters: - - - id: ps-3_prm_1 - label: - """ - organization-defined conditions requiring rescreening and, where rescreening is - so indicated, the frequency of such rescreening - """ - constraints: - - - detail: for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-3 - - - name: sort-id - value: ps-03 - links: - - - href: #0c97e60b-325a-4efa-ba2b-90f20ccd5abc - rel: reference - text: 5 C.F.R. 731.106 - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - - - href: #ead74ea9-4c9c-446d-9b92-bcbf0ad4b655 - rel: reference - text: NIST Special Publication 800-73 - - - href: #2a71298a-ee90-490e-80ff-48c967173a47 - rel: reference - text: NIST Special Publication 800-76 - - - href: #2042d97b-f7f6-4c74-84f8-981867684659 - rel: reference - text: NIST Special Publication 800-78 - - - href: #6caa237b-531b-43ac-9711-d8f6b97b0377 - rel: reference - text: ICD 704 - parts: - - - id: ps-3_smt - name: statement - prose: The organization: - parts: - - - id: ps-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: Screens individuals prior to authorizing access to the information system; and - - - id: ps-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Rescreens individuals according to {{ ps-3_prm_1 }}. - - - id: ps-3_gdn - name: guidance - prose: - """ - Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-2 - rel: related - text: PS-2 - - - id: ps-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-3(a) - prose: screens individuals prior to authorizing access to the information system; - - - id: ps-3.b_obj - name: objective - properties: - - - name: label - value: PS-3(b) - parts: - - - id: ps-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(b)[1] - prose: defines conditions requiring re-screening; - - - id: ps-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(b)[2] - prose: defines the frequency of re-screening where it is so indicated; and - - - id: ps-3.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(b)[3] - prose: - """ - re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel screening\n\nrecords of screened personnel\n\nsecurity plan\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for personnel screening - controls: - - - id: ps-3.3 - class: SP800-53-enhancement - title: Information with Special Protection Measures - parameters: - - - id: ps-3.3_prm_1 - label: organization-defined additional personnel screening criteria - constraints: - - - detail: personnel screening criteria - as required by specific information - properties: - - - name: label - value: PS-3(3) - - - name: sort-id - value: ps-03.03 - parts: - - - id: ps-3.3_smt - name: statement - prose: - """ - The organization ensures that individuals accessing an information system - processing, storing, or transmitting information requiring special protection: - """ - parts: - - - id: ps-3.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Have valid access authorizations that are demonstrated by assigned official - government duties; and - """ - - - id: ps-3.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Satisfy {{ ps-3.3_prm_1 }}. - - - id: ps-3.3_gdn - name: guidance - prose: - """ - Organizational information requiring special protection includes, for example, - Controlled Unclassified Information (CUI) and Sources and Methods Information - (SAMI). Personnel security criteria include, for example, position sensitivity - background screening requirements. - """ - - - id: ps-3.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-3.3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(3)(a) - prose: - """ - ensures that individuals accessing an information system processing, storing, - or transmitting information requiring special protection have valid access - authorizations that are demonstrated by assigned official government - duties; - """ - links: - - - href: #ps-3.3_smt.a - rel: corresp - text: PS-3(3)(a) - - - id: ps-3.3.b_obj - name: objective - properties: - - - name: label - value: PS-3(3)(b) - parts: - - - id: ps-3.3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-3(3)(b)[1] - prose: - """ - defines additional personnel screening criteria to be satisfied for - individuals accessing an information system processing, storing, or - transmitting information requiring special protection; and - """ - - - id: ps-3.3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-3(3)(b)[2] - prose: - """ - ensures that individuals accessing an information system processing, - storing, or transmitting information requiring special protection satisfy - organization-defined additional personnel screening criteria. - """ - links: - - - href: #ps-3.3_smt.b - rel: corresp - text: PS-3(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\naccess control policy, procedures addressing personnel screening\n\nrecords of screened personnel\n\nscreening criteria\n\nrecords of access authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for ensuring valid access authorizations for - information requiring special protection\n\norganizational process for additional personnel screening for information - requiring special protection - """ - - - id: ps-4 - class: SP800-53 - title: Personnel Termination - parameters: - - - id: ps-4_prm_1 - label: organization-defined time period - constraints: - - - detail: same day - - - id: ps-4_prm_2 - label: organization-defined information security topics - - - id: ps-4_prm_3 - label: organization-defined personnel or roles - - - id: ps-4_prm_4 - label: organization-defined time period - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-4 - - - name: sort-id - value: ps-04 - parts: - - - id: ps-4_smt - name: statement - prose: The organization, upon termination of individual employment: - parts: - - - id: ps-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Disables information system access within {{ ps-4_prm_1 }}; - - - id: ps-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Conducts exit interviews that include a discussion of {{ ps-4_prm_2 }}; - - - id: ps-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Retains access to organizational information and information systems formerly - controlled by terminated individual; and - """ - - - id: ps-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: Notifies {{ ps-4_prm_3 }} within {{ ps-4_prm_4 }}. - - - id: ps-4_gdn - name: guidance - prose: - """ - Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-4_obj - name: objective - prose: Determine if the organization, upon termination of individual employment,: - parts: - - - id: ps-4.a_obj - name: objective - properties: - - - name: label - value: PS-4(a) - parts: - - - id: ps-4.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(a)[1] - prose: defines a time period within which to disable information system access; - - - id: ps-4.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(a)[2] - prose: - """ - disables information system access within the organization-defined time - period; - """ - - - id: ps-4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(b) - prose: - """ - terminates/revokes any authenticators/credentials associated with the - individual; - """ - - - id: ps-4.c_obj - name: objective - properties: - - - name: label - value: PS-4(c) - parts: - - - id: ps-4.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(c)[1] - prose: - """ - defines information security topics to be discussed when conducting exit - interviews; - """ - - - id: ps-4.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(c)[2] - prose: - """ - conducts exit interviews that include a discussion of organization-defined - information security topics; - """ - - - id: ps-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(d) - prose: - """ - retrieves all security-related organizational information system-related - property; - """ - - - id: ps-4.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-4(e) - prose: - """ - retains access to organizational information and information systems formerly - controlled by the terminated individual; - """ - - - id: ps-4.f_obj - name: objective - properties: - - - name: label - value: PS-4(f) - parts: - - - id: ps-4.f_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(f)[1] - prose: defines personnel or roles to be notified of the termination; - - - id: ps-4.f_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-4(f)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles; and - """ - - - id: ps-4.f_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-4(f)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel termination\n\nrecords of personnel termination actions\n\nlist of information system accounts\n\nrecords of terminated or revoked authenticators/credentials\n\nrecords of exit interviews\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel termination\n\nautomated mechanisms supporting and/or implementing personnel termination - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-5 - class: SP800-53 - title: Personnel Transfer - parameters: - - - id: ps-5_prm_1 - label: organization-defined transfer or reassignment actions - - - id: ps-5_prm_2 - label: organization-defined time period following the formal transfer action - - - id: ps-5_prm_3 - label: organization-defined personnel or roles - - - id: ps-5_prm_4 - label: organization-defined time period - constraints: - - - detail: five days of the time period following the formal transfer action (DoD 24 hours) - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-5 - - - name: sort-id - value: ps-05 - parts: - - - id: ps-5_smt - name: statement - prose: The organization: - parts: - - - id: ps-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization; - """ - - - id: ps-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: Initiates {{ ps-5_prm_1 }} within {{ ps-5_prm_2 }}; - - - id: ps-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and - """ - - - id: ps-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: Notifies {{ ps-5_prm_3 }} within {{ ps-5_prm_4 }}. - - - id: ps-5_gdn - name: guidance - prose: - """ - This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts. - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ia-4 - rel: related - text: IA-4 - - - href: #pe-2 - rel: related - text: PE-2 - - - href: #ps-4 - rel: related - text: PS-4 - - - id: ps-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-5.a_obj - name: objective - properties: - - - name: label - value: PS-5(a) - prose: - """ - when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current: - """ - parts: - - - id: ps-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-5(a)[1] - prose: logical access authorizations to information systems; - - - id: ps-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-5(a)[2] - prose: physical access authorizations to information systems and facilities; - - - id: ps-5.b_obj - name: objective - properties: - - - name: label - value: PS-5(b) - parts: - - - id: ps-5.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(b)[1] - prose: - """ - defines transfer or reassignment actions to be initiated following transfer or - reassignment; - """ - - - id: ps-5.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(b)[2] - prose: - """ - defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment; - """ - - - id: ps-5.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(b)[3] - prose: - """ - initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment; - """ - - - id: ps-5.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(c) - prose: - """ - modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; - """ - - - id: ps-5.d_obj - name: objective - properties: - - - name: label - value: PS-5(d) - parts: - - - id: ps-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(d)[1] - prose: - """ - defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization; - """ - - - id: ps-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-5(d)[2] - prose: - """ - defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and - """ - - - id: ps-5.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-5(d)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel transfer\n\nsecurity plan\n\nrecords of personnel transfer actions\n\nlist of information system and facility access authorizations\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for personnel transfer\n\nautomated mechanisms supporting and/or implementing personnel transfer - notifications\n\nautomated mechanisms for disabling information system access/revoking - authenticators - """ - - - id: ps-6 - class: SP800-53 - title: Access Agreements - parameters: - - - id: ps-6_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - - - id: ps-6_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-6 - - - name: sort-id - value: ps-06 - parts: - - - id: ps-6_smt - name: statement - prose: The organization: - parts: - - - id: ps-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the access agreements {{ ps-6_prm_1 }}; and - - - id: ps-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that individuals requiring access to organizational information and - information systems: - """ - parts: - - - id: ps-6_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: Sign appropriate access agreements prior to being granted access; and - - - id: ps-6_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or {{ ps-6_prm_2 }}. - """ - - - id: ps-6_gdn - name: guidance - prose: - """ - Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-8 - rel: related - text: PS-8 - - - id: ps-6_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-6.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(a) - prose: - """ - develops and documents access agreements for organizational information - systems; - """ - - - id: ps-6.b_obj - name: objective - properties: - - - name: label - value: PS-6(b) - parts: - - - id: ps-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(b)[1] - prose: defines the frequency to review and update the access agreements; - - - id: ps-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(b)[2] - prose: - """ - reviews and updates the access agreements with the organization-defined - frequency; - """ - - - id: ps-6.c_obj - name: objective - properties: - - - name: label - value: PS-6(c) - parts: - - - id: ps-6.c.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-6(c)(1) - prose: - """ - ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access; - """ - - - id: ps-6.c.2_obj - name: objective - properties: - - - name: label - value: PS-6(c)(2) - parts: - - - id: ps-6.c.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-6(c)(2)[1] - prose: - """ - defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated; - """ - - - id: ps-6.c.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-6(c)(2)[2] - prose: - """ - ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Personnel security policy\n\nprocedures addressing access agreements for organizational information and - information systems\n\nsecurity plan\n\naccess agreements\n\nrecords of access agreement reviews and updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel who have signed/resigned access agreements\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for access agreements\n\nautomated mechanisms supporting access agreements - - - id: ps-7 - class: SP800-53 - title: Third-party Personnel Security - parameters: - - - id: ps-7_prm_1 - label: organization-defined personnel or roles - - - id: ps-7_prm_2 - label: organization-defined time period - constraints: - - - detail: organization-defined time period - same day - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: PS-7 - - - name: sort-id - value: ps-07 - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: ps-7_smt - name: statement - prose: The organization: - parts: - - - id: ps-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes personnel security requirements including security roles and - responsibilities for third-party providers; - """ - - - id: ps-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: Documents personnel security requirements; - - - id: ps-7_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Requires third-party providers to notify {{ ps-7_prm_1 }} of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within {{ ps-7_prm_2 }}; and - """ - - - id: ps-7_smt.e - name: item - properties: - - - name: label - value: e. - prose: Monitors provider compliance. - - - id: ps-7_gdn - name: guidance - prose: - """ - Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated. - """ - links: - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #ps-3 - rel: related - text: PS-3 - - - href: #ps-4 - rel: related - text: PS-4 - - - href: #ps-5 - rel: related - text: PS-5 - - - href: #ps-6 - rel: related - text: PS-6 - - - href: #sa-9 - rel: related - text: SA-9 - - - href: #sa-21 - rel: related - text: SA-21 - - - id: ps-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-7.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(a) - prose: - """ - establishes personnel security requirements, including security roles and - responsibilities, for third-party providers; - """ - - - id: ps-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: PS-7(b) - prose: - """ - requires third-party providers to comply with personnel security policies and - procedures established by the organization; - """ - - - id: ps-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(c) - prose: documents personnel security requirements; - - - id: ps-7.d_obj - name: objective - properties: - - - name: label - value: PS-7(d) - parts: - - - id: ps-7.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[1] - prose: - """ - defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[2] - prose: - """ - defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; - """ - - - id: ps-7.d_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-7(d)[3] - prose: - """ - requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and - """ - - - id: ps-7.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-7(e) - prose: monitors provider compliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing third-party personnel security\n\nlist of personnel security requirements\n\nacquisition documents\n\nservice-level agreements\n\ncompliance monitoring process\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\nthird-party providers\n\nsystem/network administrators\n\norganizational personnel with account management responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for managing and monitoring third-party personnel - security\n\nautomated mechanisms supporting and/or implementing monitoring of provider - compliance - """ - - - id: ps-8 - class: SP800-53 - title: Personnel Sanctions - parameters: - - - id: ps-8_prm_1 - label: organization-defined personnel or roles - - - id: ps-8_prm_2 - label: organization-defined time period - properties: - - - name: label - value: PS-8 - - - name: sort-id - value: ps-08 - parts: - - - id: ps-8_smt - name: statement - prose: The organization: - parts: - - - id: ps-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and - """ - - - id: ps-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Notifies {{ ps-8_prm_1 }} within {{ ps-8_prm_2 }} - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction. - """ - - - id: ps-8_gdn - name: guidance - prose: - """ - Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions. - """ - links: - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-6 - rel: related - text: PS-6 - - - id: ps-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ps-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(a) - prose: - """ - employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; - """ - - - id: ps-8.b_obj - name: objective - properties: - - - name: label - value: PS-8(b) - parts: - - - id: ps-8.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(b)[1] - prose: - """ - defines personnel or roles to be notified when a formal employee sanctions - process is initiated; - """ - - - id: ps-8.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: PS-8(b)[2] - prose: - """ - defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and - """ - - - id: ps-8.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: PS-8(b)[3] - prose: - """ - notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Personnel security policy\n\nprocedures addressing personnel sanctions\n\nrules of behavior\n\nrecords of formal sanctions\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with personnel security responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for managing personnel sanctions\n\nautomated mechanisms supporting and/or implementing notifications - - - id: ra - class: family - title: Risk Assessment - controls: - - - id: ra-1 - class: SP800-53 - title: Risk Assessment Policy and Procedures - parameters: - - - id: ra-1_prm_1 - label: organization-defined personnel or roles - - - id: ra-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: ra-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-1 - - - name: sort-id - value: ra-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: ra-1_smt - name: statement - prose: The organization: - parts: - - - id: ra-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ ra-1_prm_1 }}: - parts: - - - id: ra-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: ra-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and - """ - - - id: ra-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: ra-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Risk assessment policy {{ ra-1_prm_2 }}; and - - - id: ra-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Risk assessment procedures {{ ra-1_prm_3 }}. - - - id: ra-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-1.a_obj - name: objective - properties: - - - name: label - value: RA-1(a) - parts: - - - id: ra-1.a.1_obj - name: objective - properties: - - - name: label - value: RA-1(a)(1) - parts: - - - id: ra-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(1)[1] - prose: develops and documents a risk assessment policy that addresses: - parts: - - - id: ra-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][a] - prose: purpose; - - - id: ra-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][b] - prose: scope; - - - id: ra-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][c] - prose: roles; - - - id: ra-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][d] - prose: responsibilities; - - - id: ra-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][e] - prose: management commitment; - - - id: ra-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: ra-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: RA-1(a)(1)[1][g] - prose: compliance; - - - id: ra-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the risk assessment policy is to be - disseminated; - """ - - - id: ra-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: RA-1(a)(1)[3] - prose: - """ - disseminates the risk assessment policy to organization-defined personnel or - roles; - """ - - - id: ra-1.a.2_obj - name: objective - properties: - - - name: label - value: RA-1(a)(2) - parts: - - - id: ra-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls; - """ - - - id: ra-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: ra-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: RA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: ra-1.b_obj - name: objective - properties: - - - name: label - value: RA-1(b) - parts: - - - id: ra-1.b.1_obj - name: objective - properties: - - - name: label - value: RA-1(b)(1) - parts: - - - id: ra-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - policy; - """ - - - id: ra-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(1)[2] - prose: - """ - reviews and updates the current risk assessment policy with the - organization-defined frequency; - """ - - - id: ra-1.b.2_obj - name: objective - properties: - - - name: label - value: RA-1(b)(2) - parts: - - - id: ra-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current risk assessment - procedures; and - """ - - - id: ra-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-1(b)(2)[2] - prose: - """ - reviews and updates the current risk assessment procedures with the - organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: risk assessment policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - id: ra-2 - class: SP800-53 - title: Security Categorization - properties: - - - name: label - value: RA-2 - - - name: sort-id - value: ra-02 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #f152844f-b1ef-4836-8729-6277078ebee1 - rel: reference - text: NIST Special Publication 800-60 - parts: - - - id: ra-2_smt - name: statement - prose: The organization: - parts: - - - id: ra-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision. - """ - - - id: ra-2_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted. - """ - links: - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: ra-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-2(a) - prose: - """ - categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: ra-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-2(b) - prose: - """ - documents the security categorization results (including supporting rationale) in - the security plan for the information system; and - """ - - - id: ra-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-2(c) - prose: - """ - ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing security categorization of organizational information and - information systems\n\nsecurity plan\n\nsecurity categorization documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security categorization and risk assessment - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for security categorization - - - id: ra-3 - class: SP800-53 - title: Risk Assessment - parameters: - - - id: ra-3_prm_1 - - - id: ra-3_prm_2 - depends-on: ra-3_prm_1 - label: organization-defined document - constraints: - - - detail: security assessment report - - - id: ra-3_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - - - id: ra-3_prm_4 - label: organization-defined personnel or roles - - - id: ra-3_prm_5 - label: organization-defined frequency - constraints: - - - detail: at least every three (3) years or when a significant change occurs - properties: - - - name: label - value: RA-3 - - - name: sort-id - value: ra-03 - links: - - - href: #ff3bfb02-79b2-411f-8735-98dfe5af2ab0 - rel: reference - text: OMB Memorandum 04-04 - - - href: #a466121b-f0e2-41f0-a5f9-deb0b5fe6b15 - rel: reference - text: NIST Special Publication 800-30 - - - href: #d480aa6a-7a88-424e-a10c-ad1c7870354b - rel: reference - text: NIST Special Publication 800-39 - - - href: #85280698-0417-489d-b214-12bb935fb939 - rel: reference - text: http://idmanagement.gov - parts: - - - id: ra-3_smt - name: statement - prose: The organization: - parts: - - - id: ra-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits; - """ - - - id: ra-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: Documents risk assessment results in {{ ra-3_prm_1 }}; - - - id: ra-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Reviews risk assessment results {{ ra-3_prm_3 }}; - - - id: ra-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: Disseminates risk assessment results to {{ ra-3_prm_4 }}; and - - - id: ra-3_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Updates the risk assessment {{ ra-3_prm_5 }} or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system. - """ - - - id: ra-3_fr - name: item - title: RA-3 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F - - - id: ra-3_fr_smt.d - name: item - properties: - - - name: label - value: RA-3 (d) Requirement: - prose: Include all Authorizing Officials; for JAB authorizations to include FedRAMP. - - - id: ra-3_gdn - name: guidance - prose: - """ - Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation. - """ - links: - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #pm-9 - rel: related - text: PM-9 - - - id: ra-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-3.a_obj - name: objective - properties: - - - name: label - value: RA-3(a) - prose: - """ - conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of: - """ - parts: - - - id: ra-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(a)[1] - prose: the information system; - - - id: ra-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(a)[2] - prose: the information the system processes, stores, or transmits; - - - id: ra-3.b_obj - name: objective - properties: - - - name: label - value: RA-3(b) - parts: - - - id: ra-3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(b)[1] - prose: - """ - defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report); - """ - - - id: ra-3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(b)[2] - prose: documents risk assessment results in one of the following: - parts: - - - id: ra-3.b_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(b)[2][a] - prose: the security plan; - - - id: ra-3.b_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(b)[2][b] - prose: the risk assessment report; or - - - id: ra-3.b_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(b)[2][c] - prose: the organization-defined document; - - - id: ra-3.c_obj - name: objective - properties: - - - name: label - value: RA-3(c) - parts: - - - id: ra-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(c)[1] - prose: defines the frequency to review risk assessment results; - - - id: ra-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(c)[2] - prose: reviews risk assessment results with the organization-defined frequency; - - - id: ra-3.d_obj - name: objective - properties: - - - name: label - value: RA-3(d) - parts: - - - id: ra-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(d)[1] - prose: - """ - defines personnel or roles to whom risk assessment results are to be - disseminated; - """ - - - id: ra-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(d)[2] - prose: - """ - disseminates risk assessment results to organization-defined personnel or - roles; - """ - - - id: ra-3.e_obj - name: objective - properties: - - - name: label - value: RA-3(e) - parts: - - - id: ra-3.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-3(e)[1] - prose: defines the frequency to update the risk assessment; - - - id: ra-3.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-3(e)[2] - prose: updates the risk assessment: - parts: - - - id: ra-3.e_obj.2.a - name: objective - properties: - - - name: label - value: RA-3(e)[2][a] - prose: with the organization-defined frequency; - - - id: ra-3.e_obj.2.b - name: objective - properties: - - - name: label - value: RA-3(e)[2][b] - prose: - """ - whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and - """ - - - id: ra-3.e_obj.2.c - name: objective - properties: - - - name: label - value: RA-3(e)[2][c] - prose: - """ - whenever there are other conditions that may impact the security state of - the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nsecurity planning policy and procedures\n\nprocedures addressing organizational assessments of risk\n\nsecurity plan\n\nrisk assessment\n\nrisk assessment results\n\nrisk assessment reviews\n\nrisk assessment updates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with risk assessment responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for risk assessment\n\nautomated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment - """ - - - id: ra-5 - class: SP800-53 - title: Vulnerability Scanning - parameters: - - - id: ra-5_prm_1 - label: - """ - organization-defined frequency and/or randomly in accordance with - organization-defined process - """ - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - - - id: ra-5_prm_2 - label: organization-defined response times - constraints: - - - detail: high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - id: ra-5_prm_3 - label: organization-defined personnel or roles - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5 - - - name: sort-id - value: ra-05 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #c4691b88-57d1-463b-9053-2d0087913f31 - rel: reference - text: NIST Special Publication 800-115 - - - href: #15522e92-9192-463d-9646-6a01982db8ca - rel: reference - text: http://cwe.mitre.org - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - parts: - - - id: ra-5_smt - name: statement - prose: The organization: - parts: - - - id: ra-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Scans for vulnerabilities in the information system and hosted applications - {{ ra-5_prm_1 }} and when new vulnerabilities potentially - affecting the system/applications are identified and reported; - """ - parts: - - - id: ra-5_fr_smt.a - name: item - title: RA-5(a) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (a)Requirement: - prose: An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually. - - - id: ra-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: Enumerating platforms, software flaws, and improper configurations; - - - id: ra-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: Formatting checklists and test procedures; and - - - id: ra-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: Measuring vulnerability impact; - - - id: ra-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Analyzes vulnerability scan reports and results from security control - assessments; - """ - - - id: ra-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Remediates legitimate vulnerabilities {{ ra-5_prm_2 }} in - accordance with an organizational assessment of risk; and - """ - - - id: ra-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Shares information obtained from the vulnerability scanning process and security - control assessments with {{ ra-5_prm_3 }} to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - parts: - - - id: ra-5_fr_smt.e - name: item - title: RA-5(e) Additional FedRAMP Requirements and Guidance - properties: - - - name: label - value: RA-5 (e)Requirement: - prose: To include all Authorizing Officials; for JAB authorizations to include FedRAMP. - - - id: ra-5_fr - name: item - title: RA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - - **See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements** ([https://www.FedRAMP.gov/documents/](https://www.FedRAMP.gov/documents/)) - """ - - - id: ra-5_gdn - name: guidance - prose: - """ - Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS). - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #ra-2 - rel: related - text: RA-2 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-2 - rel: related - text: SI-2 - - - id: ra-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.a_obj - name: objective - properties: - - - name: label - value: RA-5(a) - parts: - - - id: ra-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(a)[1] - parts: - - - id: ra-5.a_obj.1.a - name: objective - properties: - - - name: label - value: RA-5(a)[1][a] - prose: - """ - defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or - """ - - - id: ra-5.a_obj.1.b - name: objective - properties: - - - name: label - value: RA-5(a)[1][b] - prose: - """ - defines the process for conducting random vulnerability scans on the - information system and hosted applications; - """ - - - id: ra-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(a)[2] - prose: - """ - in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.2.a - name: objective - properties: - - - name: label - value: RA-5(a)[2][a] - prose: the information system; - - - id: ra-5.a_obj.2.b - name: objective - properties: - - - name: label - value: RA-5(a)[2][b] - prose: hosted applications; - - - id: ra-5.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(a)[3] - prose: - """ - when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in: - """ - parts: - - - id: ra-5.a_obj.3.a - name: objective - properties: - - - name: label - value: RA-5(a)[3][a] - prose: the information system; - - - id: ra-5.a_obj.3.b - name: objective - properties: - - - name: label - value: RA-5(a)[3][b] - prose: hosted applications; - - - id: ra-5.b_obj - name: objective - properties: - - - name: label - value: RA-5(b) - prose: - """ - employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for: - """ - parts: - - - id: ra-5.b.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(1) - parts: - - - id: ra-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[1] - prose: enumerating platforms; - - - id: ra-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[2] - prose: enumerating software flaws; - - - id: ra-5.b.1_obj.3 - name: objective - properties: - - - name: label - value: RA-5(b)(1)[3] - prose: enumerating improper configurations; - - - id: ra-5.b.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(2) - parts: - - - id: ra-5.b.2_obj.1 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[1] - prose: formatting checklists; - - - id: ra-5.b.2_obj.2 - name: objective - properties: - - - name: label - value: RA-5(b)(2)[2] - prose: formatting test procedures; - - - id: ra-5.b.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(b)(3) - prose: measuring vulnerability impact; - - - id: ra-5.c_obj - name: objective - properties: - - - name: label - value: RA-5(c) - parts: - - - id: ra-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(c)[1] - prose: analyzes vulnerability scan reports; - - - id: ra-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(c)[2] - prose: analyzes results from security control assessments; - - - id: ra-5.d_obj - name: objective - properties: - - - name: label - value: RA-5(d) - parts: - - - id: ra-5.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(d)[1] - prose: - """ - defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk; - """ - - - id: ra-5.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(d)[2] - prose: - """ - remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk; - """ - - - id: ra-5.e_obj - name: objective - properties: - - - name: label - value: RA-5(e) - parts: - - - id: ra-5.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(e)[1] - prose: - """ - defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared; - """ - - - id: ra-5.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(e)[2] - prose: - """ - shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and - """ - - - id: ra-5.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(e)[3] - prose: - """ - shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nrisk assessment\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with vulnerability remediation responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing\n\nautomated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing - """ - controls: - - - id: ra-5.1 - class: SP800-53-enhancement - title: Update Tool Capability - properties: - - - name: label - value: RA-5(1) - - - name: sort-id - value: ra-05.01 - parts: - - - id: ra-5.1_smt - name: statement - prose: - """ - The organization employs vulnerability scanning tools that include the capability - to readily update the information system vulnerabilities to be scanned. - """ - - - id: ra-5.1_gdn - name: guidance - prose: - """ - The vulnerabilities to be scanned need to be readily updated as new - vulnerabilities are discovered, announced, and scanning methods developed. This - updating process helps to ensure that potential vulnerabilities in the information - system are identified and addressed as quickly as possible. - """ - links: - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: ra-5.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs vulnerability scanning tools that include - the capability to readily update the information system vulnerabilities to be - scanned. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.2 - class: SP800-53-enhancement - title: Update by Frequency / Prior to New Scan / When Identified - parameters: - - - id: ra-5.2_prm_1 - constraints: - - - detail: prior to a new scan - - - id: ra-5.2_prm_2 - depends-on: ra-5.2_prm_1 - label: organization-defined frequency - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5(2) - - - name: sort-id - value: ra-05.02 - parts: - - - id: ra-5.2_smt - name: statement - prose: The organization updates the information system vulnerabilities scanned {{ ra-5.2_prm_1 }}. - - - id: ra-5.2_gdn - name: guidance - links: - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-5 - rel: related - text: SI-5 - - - id: ra-5.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: ra-5.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(2)[1] - prose: - """ - defines the frequency to update the information system vulnerabilities - scanned; - """ - - - id: ra-5.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(2)[2] - prose: - """ - updates the information system vulnerabilities scanned one or more of the - following: - """ - parts: - - - id: ra-5.2_obj.2.a - name: objective - properties: - - - name: label - value: RA-5(2)[2][a] - prose: with the organization-defined frequency; - - - id: ra-5.2_obj.2.b - name: objective - properties: - - - name: label - value: RA-5(2)[2][b] - prose: prior to a new scan; and/or - - - id: ra-5.2_obj.2.c - name: objective - properties: - - - name: label - value: RA-5(2)[2][c] - prose: when new vulnerabilities are identified and reported. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.3 - class: SP800-53-enhancement - title: Breadth / Depth of Coverage - properties: - - - name: label - value: RA-5(3) - - - name: sort-id - value: ra-05.03 - parts: - - - id: ra-5.3_smt - name: statement - prose: - """ - The organization employs vulnerability scanning procedures that can identify the - breadth and depth of coverage (i.e., information system components scanned and - vulnerabilities checked). - """ - - - id: ra-5.3_obj - name: objective - prose: - """ - Determine if the organization employs vulnerability scanning procedures that can - identify: - """ - parts: - - - id: ra-5.3_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(3)[1] - prose: the breadth of coverage (i.e., information system components scanned); and - - - id: ra-5.3_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(3)[2] - prose: the depth of coverage (i.e., vulnerabilities checked). - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Procedures addressing vulnerability scanning\n\nsecurity plan\n\nsecurity assessment report\n\nvulnerability scanning tools and associated configuration documentation\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.5 - class: SP800-53-enhancement - title: Privileged Access - parameters: - - - id: ra-5.5_prm_1 - label: organization-identified information system components - constraints: - - - detail: operating systems / web applications / databases - - - id: ra-5.5_prm_2 - label: organization-defined vulnerability scanning activities - constraints: - - - detail: all scans - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: RA-5(5) - - - name: sort-id - value: ra-05.05 - parts: - - - id: ra-5.5_smt - name: statement - prose: The information system implements privileged access authorization to {{ ra-5.5_prm_1 }} for selected {{ ra-5.5_prm_2 }}. - - - id: ra-5.5_gdn - name: guidance - prose: - """ - In certain situations, the nature of the vulnerability scanning may be more - intrusive or the information system component that is the subject of the scanning - may contain highly sensitive information. Privileged access authorization to - selected system components facilitates more thorough vulnerability scanning and - also protects the sensitive nature of such scanning. - """ - - - id: ra-5.5_obj - name: objective - prose: Determine if: - parts: - - - id: ra-5.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(5)[1] - prose: - """ - the organization defines information system components to which privileged - access is authorized for selected vulnerability scanning activities; - """ - - - id: ra-5.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: RA-5(5)[2] - prose: - """ - the organization defines vulnerability scanning activities selected for - privileged access authorization to organization-defined information system - components; and - """ - - - id: ra-5.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: RA-5(5)[3] - prose: - """ - the information system implements privileged access authorization to - organization-defined information system components for selected - organization-defined vulnerability scanning activities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\nsecurity plan\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system components for vulnerability scanning\n\npersonnel access authorization list\n\nauthorization credentials\n\naccess authorization records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with vulnerability scanning responsibilities\n\nsystem/network administrators\n\norganizational personnel responsible for access control to the information - system\n\norganizational personnel responsible for configuration management of the - information system\n\nsystem developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\norganizational processes for access control\n\nautomated mechanisms supporting and/or implementing access control\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning - """ - - - id: ra-5.6 - class: SP800-53-enhancement - title: Automated Trend Analyses - properties: - - - name: label - value: RA-5(6) - - - name: sort-id - value: ra-05.06 - parts: - - - id: ra-5.6_smt - name: statement - prose: - """ - The organization employs automated mechanisms to compare the results of - vulnerability scans over time to determine trends in information system - vulnerabilities. - """ - parts: - - - id: ra-5.6_fr - name: item - title: RA-5 (6) Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5.6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include in Continuous Monitoring ISSO digest/report to JAB/AO - - - id: ra-5.6_gdn - name: guidance - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #si-4 - rel: related - text: SI-4 - - - id: ra-5.6_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated mechanisms to compare the results - of vulnerability scans over time to determine trends in information system - vulnerabilities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\ninformation system design documentation\n\nvulnerability scanning tools and techniques documentation\n\nvulnerability scanning results\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning\n\nautomated mechanisms supporting and/or implementing trend analysis of - vulnerability scan results - """ - - - id: ra-5.8 - class: SP800-53-enhancement - title: Review Historic Audit Logs - properties: - - - name: label - value: RA-5(8) - - - name: sort-id - value: ra-05.08 - parts: - - - id: ra-5.8_smt - name: statement - prose: - """ - The organization reviews historic audit logs to determine if a vulnerability - identified in the information system has been previously exploited. - """ - parts: - - - id: ra-5.8_fr - name: item - title: RA-5 (8) Additional FedRAMP Requirements and Guidance - parts: - - - id: ra-5.8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: This enhancement is required for all high vulnerability scan findings. - - - id: ra-5.8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability. - - - id: ra-5.8_gdn - name: guidance - links: - - - href: #au-6 - rel: related - text: AU-6 - - - id: ra-5.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization reviews historic audit logs to determine if a - vulnerability identified in the information system has been previously exploited. - - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Risk assessment policy\n\nprocedures addressing vulnerability scanning\n\naudit logs\n\nrecords of audit log reviews\n\nvulnerability scanning results\n\npatch and vulnerability management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with vulnerability scanning responsibilities\n\norganizational personnel with vulnerability scan analysis responsibilities\n\norganizational personnel with audit record review responsibilities\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for vulnerability scanning\n\norganizational process for audit record review and response\n\nautomated mechanisms/tools supporting and/or implementing vulnerability - scanning\n\nautomated mechanisms supporting and/or implementing audit record review - """ - - - id: sa - class: family - title: System and Services Acquisition - controls: - - - id: sa-1 - class: SP800-53 - title: System and Services Acquisition Policy and Procedures - parameters: - - - id: sa-1_prm_1 - label: organization-defined personnel or roles - - - id: sa-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: sa-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SA-1 - - - name: sort-id - value: sa-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sa-1_smt - name: statement - prose: The organization: - parts: - - - id: sa-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sa-1_prm_1 }}: - parts: - - - id: sa-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: sa-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and - """ - - - id: sa-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sa-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: System and services acquisition policy {{ sa-1_prm_2 }}; and - - - id: sa-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and services acquisition procedures {{ sa-1_prm_3 }}. - - - id: sa-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sa-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-1.a_obj - name: objective - properties: - - - name: label - value: SA-1(a) - parts: - - - id: sa-1.a.1_obj - name: objective - properties: - - - name: label - value: SA-1(a)(1) - parts: - - - id: sa-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(1)[1] - prose: - """ - develops and documents a system and services acquisition policy that - addresses: - """ - parts: - - - id: sa-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][a] - prose: purpose; - - - id: sa-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][b] - prose: scope; - - - id: sa-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][c] - prose: roles; - - - id: sa-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][d] - prose: responsibilities; - - - id: sa-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][e] - prose: management commitment; - - - id: sa-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sa-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SA-1(a)(1)[1][g] - prose: compliance; - - - id: sa-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and services acquisition - policy is to be disseminated; - """ - - - id: sa-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-1(a)(1)[3] - prose: - """ - disseminates the system and services acquisition policy to - organization-defined personnel or roles; - """ - - - id: sa-1.a.2_obj - name: objective - properties: - - - name: label - value: SA-1(a)(2) - parts: - - - id: sa-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls; - """ - - - id: sa-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sa-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sa-1.b_obj - name: objective - properties: - - - name: label - value: SA-1(b) - parts: - - - id: sa-1.b.1_obj - name: objective - properties: - - - name: label - value: SA-1(b)(1) - parts: - - - id: sa-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition policy; - """ - - - id: sa-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(1)[2] - prose: - """ - reviews and updates the current system and services acquisition policy with - the organization-defined frequency; - """ - - - id: sa-1.b.2_obj - name: objective - properties: - - - name: label - value: SA-1(b)(2) - parts: - - - id: sa-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and services - acquisition procedures; and - """ - - - id: sa-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-1(b)(2)[2] - prose: - """ - reviews and updates the current system and services acquisition procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and services acquisition policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities - - - id: sa-2 - class: SP800-53 - title: Allocation of Resources - properties: - - - name: label - value: SA-2 - - - name: sort-id - value: sa-02 - links: - - - href: #29fcfe59-33cd-494a-8756-5907ae3a8f92 - rel: reference - text: NIST Special Publication 800-65 - parts: - - - id: sa-2_smt - name: statement - prose: The organization: - parts: - - - id: sa-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and - """ - - - id: sa-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - id: sa-2_gdn - name: guidance - prose: - """ - Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service. - """ - links: - - - href: #pm-3 - rel: related - text: PM-3 - - - href: #pm-11 - rel: related - text: PM-11 - - - id: sa-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-2.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-2(a) - prose: - """ - determines information security requirements for the information system or - information system service in mission/business process planning; - """ - - - id: sa-2.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-2(b) - prose: - """ - to protect the information system or information system service as part of its - capital planning and investment control process: - """ - parts: - - - id: sa-2.b_obj.1 - name: objective - properties: - - - name: label - value: SA-2(b)[1] - prose: determines the resources required; - - - id: sa-2.b_obj.2 - name: objective - properties: - - - name: label - value: SA-2(b)[2] - prose: documents the resources required; - - - id: sa-2.b_obj.3 - name: objective - properties: - - - name: label - value: SA-2(b)[3] - prose: allocates the resources required; and - - - id: sa-2.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-2(c) - prose: - """ - establishes a discrete line item for information security in organizational - programming and budgeting documentation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the allocation of resources to information security - requirements\n\nprocedures addressing capital planning and investment control\n\norganizational programming and budgeting documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities\n\norganizational personnel responsible for determining information security - requirements for information systems/services\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information security requirements\n\norganizational processes for capital planning, programming, and budgeting\n\nautomated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting - """ - - - id: sa-3 - class: SP800-53 - title: System Development Life Cycle - parameters: - - - id: sa-3_prm_1 - label: organization-defined system development life cycle - properties: - - - name: label - value: SA-3 - - - name: sort-id - value: sa-03 - links: - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - parts: - - - id: sa-3_smt - name: statement - prose: The organization: - parts: - - - id: sa-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Manages the information system using {{ sa-3_prm_1 }} that - incorporates information security considerations; - """ - - - id: sa-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - id: sa-3_gdn - name: guidance - prose: - """ - A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies. - """ - links: - - - href: #at-3 - rel: related - text: AT-3 - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-8 - rel: related - text: SA-8 - - - id: sa-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-3.a_obj - name: objective - properties: - - - name: label - value: SA-3(a) - parts: - - - id: sa-3.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(a)[1] - prose: - """ - defines a system development life cycle that incorporates information security - considerations to be used to manage the information system; - """ - - - id: sa-3.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-3(a)[2] - prose: - """ - manages the information system using the organization-defined system - development life cycle; - """ - - - id: sa-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(b) - prose: - """ - defines and documents information security roles and responsibilities throughout - the system development life cycle; - """ - - - id: sa-3.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-3(c) - prose: - """ - identifies individuals having information security roles and responsibilities; - and - """ - - - id: sa-3.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-3(d) - prose: - """ - integrates the organizational information security risk management process into - system development life cycle activities. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security into the system - development life cycle process\n\ninformation system development life cycle documentation\n\ninformation security risk management strategy/program documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with information security and system life cycle - development responsibilities\n\norganizational personnel with information security risk management - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining and documenting the SDLC\n\norganizational processes for identifying SDLC roles and responsibilities\n\norganizational process for integrating information security risk management into - the SDLC\n\nautomated mechanisms supporting and/or implementing the SDLC - """ - - - id: sa-4 - class: SP800-53 - title: Acquisition Process - properties: - - - name: label - value: SA-4 - - - name: sort-id - value: sa-04 - links: - - - href: #ad733a42-a7ed-4774-b988-4930c28852f3 - rel: reference - text: HSPD-12 - - - href: #1737a687-52fb-4008-b900-cbfa836f7b65 - rel: reference - text: ISO/IEC 15408 - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #c80c10b3-1294-4984-a4cc-d1733ca432b9 - rel: reference - text: FIPS Publication 201 - - - href: #0a5db899-f033-467f-8631-f5a8ba971475 - rel: reference - text: NIST Special Publication 800-23 - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - - - href: #d818efd3-db31-4953-8afa-9e76afe83ce2 - rel: reference - text: NIST Special Publication 800-36 - - - href: #0a0c26b6-fd44-4274-8b36-93442d49d998 - rel: reference - text: NIST Special Publication 800-37 - - - href: #abd950ae-092f-4b7a-b374-1c7c67fe9350 - rel: reference - text: NIST Special Publication 800-64 - - - href: #84a37532-6db6-477b-9ea8-f9085ebca0fc - rel: reference - text: NIST Special Publication 800-70 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - - - href: #56d671da-6b7b-4abf-8296-84b61980390a - rel: reference - text: Federal Acquisition Regulation - - - href: #c95a9986-3cd6-4a98-931b-ccfc56cb11e5 - rel: reference - text: http://www.niap-ccevs.org - - - href: #5ed1f4d5-1494-421b-97ed-39d3c88ab51f - rel: reference - text: http://fips201ep.cio.gov - - - href: #bbd50dd1-54ce-4432-959d-63ea564b1bb4 - rel: reference - text: http://www.acquisition.gov/far - parts: - - - id: sa-4_smt - name: statement - prose: - """ - The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs: - """ - parts: - - - id: sa-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Security functional requirements; - - - id: sa-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Security strength requirements; - - - id: sa-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Security assurance requirements; - - - id: sa-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: Security-related documentation requirements; - - - id: sa-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: Requirements for protecting security-related documentation; - - - id: sa-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Description of the information system development environment and environment in - which the system is intended to operate; and - """ - - - id: sa-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: Acceptance criteria. - - - id: sa-4_fr - name: item - title: SA-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred. See [http://www.niap-ccevs.org/vpl](http://www.niap-ccevs.org/vpl) or [http://www.commoncriteriaportal.org/products.html](http://www.commoncriteriaportal.org/products.html). - - - id: sa-4_gdn - name: guidance - prose: - """ - Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #ps-7 - rel: related - text: PS-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #sa-12 - rel: related - text: SA-12 - - - id: sa-4_obj - name: objective - prose: - """ - Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs: - """ - parts: - - - id: sa-4.a_obj - name: objective - properties: - - - name: label - value: SA-4(a) - prose: security functional requirements; - - - id: sa-4.b_obj - name: objective - properties: - - - name: label - value: SA-4(b) - prose: security strength requirements; - - - id: sa-4.c_obj - name: objective - properties: - - - name: label - value: SA-4(c) - prose: security assurance requirements; - - - id: sa-4.d_obj - name: objective - properties: - - - name: label - value: SA-4(d) - prose: security-related documentation requirements; - - - id: sa-4.e_obj - name: objective - properties: - - - name: label - value: SA-4(e) - prose: requirements for protecting security-related documentation; - - - id: sa-4.f_obj - name: objective - properties: - - - name: label - value: SA-4(f) - prose: description of: - parts: - - - id: sa-4.f_obj.1 - name: objective - properties: - - - name: label - value: SA-4(f)[1] - prose: the information system development environment; - - - id: sa-4.f_obj.2 - name: objective - properties: - - - name: label - value: SA-4(f)[2] - prose: the environment in which the system is intended to operate; and - - - id: sa-4.g_obj - name: objective - properties: - - - name: label - value: SA-4(g) - prose: acceptance criteria. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nacquisition contracts for the information system, system component, or information - system service\n\ninformation system design documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information system security functional, - strength, and assurance requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts - """ - controls: - - - id: sa-4.1 - class: SP800-53-enhancement - title: Functional Properties of Security Controls - properties: - - - name: label - value: SA-4(1) - - - name: sort-id - value: sa-04.01 - parts: - - - id: sa-4.1_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to provide a description of the - functional properties of the security controls to be employed. - """ - - - id: sa-4.1_gdn - name: guidance - prose: - """ - Functional properties of security controls describe the functionality (i.e., - security capability, functions, or mechanisms) visible at the interfaces of the - controls and specifically exclude functionality and data structures internal to - the operation of the controls. - """ - links: - - - href: #sa-5 - rel: related - text: SA-5 - - - id: sa-4.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to provide a description of the - functional properties of the security controls to be employed. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security functional requirements\n\ninformation system developer or service provider\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining information system security - functional, requirements\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing acquisitions and inclusion - of security requirements in contracts - """ - - - id: sa-4.2 - class: SP800-53-enhancement - title: Design / Implementation Information for Security Controls - parameters: - - - id: sa-4.2_prm_1 - constraints: - - - detail: to include security-relevant external system interfaces and high-level design - - - id: sa-4.2_prm_2 - depends-on: sa-4.2_prm_1 - label: organization-defined design/implementation information - - - id: sa-4.2_prm_3 - label: organization-defined level of detail - properties: - - - name: label - value: SA-4(2) - - - name: sort-id - value: sa-04.02 - parts: - - - id: sa-4.2_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to provide design and implementation - information for the security controls to be employed that includes: {{ sa-4.2_prm_1 }} at {{ sa-4.2_prm_3 }}. - """ - - - id: sa-4.2_gdn - name: guidance - prose: - """ - Organizations may require different levels of detail in design and implementation - documentation for security controls employed in organizational information - systems, system components, or information system services based on - mission/business requirements, requirements for trustworthiness/resiliency, and - requirements for analysis and testing. Information systems can be partitioned into - multiple subsystems. Each subsystem within the system can contain one or more - modules. The high-level design for the system is expressed in terms of multiple - subsystems and the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed in terms of - modules with particular emphasis on software and firmware (but not excluding - hardware) and the interfaces between modules providing security-relevant - functionality. Source code and hardware schematics are typically referred to as - the implementation representation of the information system. - """ - links: - - - href: #sa-5 - rel: related - text: SA-5 - - - id: sa-4.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-4.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-4(2)[1] - prose: - """ - defines level of detail that the developer is required to provide in design and - implementation information for the security controls to be employed in the - information system, system component, or information system service; - """ - - - id: sa-4.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-4(2)[2] - prose: - """ - defines design/implementation information that the developer is to provide for - the security controls to be employed (if selected); - """ - - - id: sa-4.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-4(2)[3] - prose: - """ - requires the developer of the information system, system component, or - information system service to provide design and implementation information for - the security controls to be employed that includes, at the organization-defined - level of detail, one or more of the following: - """ - parts: - - - id: sa-4.2_obj.3.a - name: objective - properties: - - - name: label - value: SA-4(2)[3][a] - prose: security-relevant external system interfaces; - - - id: sa-4.2_obj.3.b - name: objective - properties: - - - name: label - value: SA-4(2)[3][b] - prose: high-level design; - - - id: sa-4.2_obj.3.c - name: objective - properties: - - - name: label - value: SA-4(2)[3][c] - prose: low-level design; - - - id: sa-4.2_obj.3.d - name: objective - properties: - - - name: label - value: SA-4(2)[3][d] - prose: source code; - - - id: sa-4.2_obj.3.e - name: objective - properties: - - - name: label - value: SA-4(2)[3][e] - prose: hardware schematics; and/or - - - id: sa-4.2_obj.3.f - name: objective - properties: - - - name: label - value: SA-4(2)[3][f] - prose: organization-defined design/implementation information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documents\n\nacquisition documentation\n\nacquisition contracts for the information system, system components, or - information system services\n\ndesign and implementation information for security controls employed in the - information system, system component, or information system service\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\ninformation system developer or service provider\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for determining level of detail for system design and - security controls\n\norganizational processes for developing acquisition contracts\n\nautomated mechanisms supporting and/or implementing development of system - design details - """ - - - id: sa-4.8 - class: SP800-53-enhancement - title: Continuous Monitoring Plan - parameters: - - - id: sa-4.8_prm_1 - label: organization-defined level of detail - constraints: - - - detail: at least the minimum requirement as defined in control CA-7 - properties: - - - name: label - value: SA-4(8) - - - name: sort-id - value: sa-04.08 - parts: - - - id: sa-4.8_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to produce a plan for the continuous - monitoring of security control effectiveness that contains {{ sa-4.8_prm_1 }}. - """ - parts: - - - id: sa-4.8_fr - name: item - title: SA-4 (8) Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-4.8_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: CSP must use the same security standards regardless of where the system component or information system service is acquired. - - - id: sa-4.8_gdn - name: guidance - prose: - """ - The objective of continuous monitoring plans is to determine if the complete set - of planned, required, and deployed security controls within the information - system, system component, or information system service continue to be effective - over time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that the information - can be incorporated into the continuous monitoring strategies and programs - implemented by organizations. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - id: sa-4.8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-4.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-4(8)[1] - prose: - """ - defines the level of detail the developer of the information system, system - component, or information system service is required to provide when producing - a plan for the continuous monitoring of security control effectiveness; and - """ - - - id: sa-4.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-4(8)[2] - prose: - """ - requires the developer of the information system, system component, or - information system service to produce a plan for the continuous monitoring of - security control effectiveness that contains the organization-defined level of - detail. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing developer continuous monitoring plans\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\ndeveloper continuous monitoring plans\n\nsecurity assessment plans\n\nacquisition contracts for the information system, system component, or - information system service\n\nacquisition documentation\n\nsolicitation documentation\n\nservice-level agreements\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Vendor processes for continuous monitoring\n\nautomated mechanisms supporting and/or implementing developer continuous - monitoring - """ - - - id: sa-4.9 - class: SP800-53-enhancement - title: Functions / Ports / Protocols / Services in Use - properties: - - - name: label - value: SA-4(9) - - - name: sort-id - value: sa-04.09 - parts: - - - id: sa-4.9_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to identify early in the system - development life cycle, the functions, ports, protocols, and services intended for - organizational use. - """ - - - id: sa-4.9_gdn - name: guidance - prose: - """ - The identification of functions, ports, protocols, and services early in the - system development life cycle (e.g., during the initial requirements definition - and design phases) allows organizations to influence the design of the information - system, information system component, or information system service. This early - involvement in the life cycle helps organizations to avoid or minimize the use of - functions, ports, protocols, or services that pose unnecessarily high risks and - understand the trade-offs involved in blocking specific ports, protocols, or - services (or when requiring information system service providers to do so). Early - identification of functions, ports, protocols, and services avoids costly - retrofitting of security controls after the information system, system component, - or information system service has been implemented. SA-9 describes requirements - for external information system services with organizations identifying which - functions, ports, protocols, and services are provided from external sources. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #sa-9 - rel: related - text: SA-9 - - - id: sa-4.9_obj - name: objective - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to identify early in the system - development life cycle: - """ - parts: - - - id: sa-4.9_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-4(9)[1] - prose: the functions intended for organizational use; - - - id: sa-4.9_obj.2 - name: objective - properties: - - - name: label - value: SA-4(9)[2] - prose: the ports intended for organizational use; - - - id: sa-4.9_obj.3 - name: objective - properties: - - - name: label - value: SA-4(9)[3] - prose: the protocols intended for organizational use; and - - - id: sa-4.9_obj.4 - name: objective - properties: - - - name: label - value: SA-4(9)[4] - prose: the services intended for organizational use. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\ninformation system design documentation\n\ninformation system documentation including functions, ports, protocols, and - services intended for organizational use\n\nacquisition contracts for information systems or services\n\nacquisition documentation\n\nsolicitation documentation\n\nservice-level agreements\n\norganizational security requirements, descriptions, and criteria for developers - of information systems, system components, and information system services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\nsystem/network administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - id: sa-4.10 - class: SP800-53-enhancement - title: Use of Approved PIV Products - properties: - - - name: label - value: SA-4(10) - - - name: sort-id - value: sa-04.10 - parts: - - - id: sa-4.10_smt - name: statement - prose: - """ - The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems. - """ - - - id: sa-4.10_gdn - name: guidance - links: - - - href: #ia-2 - rel: related - text: IA-2 - - - href: #ia-8 - rel: related - text: IA-8 - - - id: sa-4.10_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process\n\nsolicitation documentation\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system service\n\nservice-level agreements\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\norganizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for selecting and employing FIPS 201-approved - products - """ - - - id: sa-5 - class: SP800-53 - title: Information System Documentation - parameters: - - - id: sa-5_prm_1 - label: organization-defined actions - - - id: sa-5_prm_2 - label: organization-defined personnel or roles - properties: - - - name: label - value: SA-5 - - - name: sort-id - value: sa-05 - parts: - - - id: sa-5_smt - name: statement - prose: The organization: - parts: - - - id: sa-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Secure configuration, installation, and operation of the system, component, or - service; - """ - - - id: sa-5_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Effective use and maintenance of security functions/mechanisms; and - - - id: sa-5_smt.a.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms; - """ - - - id: sa-5_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and - """ - - - id: sa-5_smt.b.3 - name: item - properties: - - - name: label - value: 3. - prose: - """ - User responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes {{ sa-5_prm_1 }} in response; - """ - - - id: sa-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects documentation as required, in accordance with the risk management - strategy; and - """ - - - id: sa-5_smt.e - name: item - properties: - - - name: label - value: e. - prose: Distributes documentation to {{ sa-5_prm_2 }}. - - - id: sa-5_gdn - name: guidance - prose: - """ - This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation. - """ - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #pl-2 - rel: related - text: PL-2 - - - href: #pl-4 - rel: related - text: PL-4 - - - href: #ps-2 - rel: related - text: PS-2 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - id: sa-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-5.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(a) - prose: - """ - obtains administrator documentation for the information system, system component, - or information system service that describes: - """ - parts: - - - id: sa-5.a.1_obj - name: objective - properties: - - - name: label - value: SA-5(a)(1) - parts: - - - id: sa-5.a.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[1] - prose: secure configuration of the system, system component, or service; - - - id: sa-5.a.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[2] - prose: secure installation of the system, system component, or service; - - - id: sa-5.a.1_obj.3 - name: objective - properties: - - - name: label - value: SA-5(a)(1)[3] - prose: secure operation of the system, system component, or service; - - - id: sa-5.a.2_obj - name: objective - properties: - - - name: label - value: SA-5(a)(2) - parts: - - - id: sa-5.a.2_obj.1 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[1] - prose: effective use of the security features/mechanisms; - - - id: sa-5.a.2_obj.2 - name: objective - properties: - - - name: label - value: SA-5(a)(2)[2] - prose: effective maintenance of the security features/mechanisms; - - - id: sa-5.a.3_obj - name: objective - properties: - - - name: label - value: SA-5(a)(3) - prose: - """ - known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions; - """ - - - id: sa-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(b) - prose: - """ - obtains user documentation for the information system, system component, or - information system service that describes: - """ - parts: - - - id: sa-5.b.1_obj - name: objective - properties: - - - name: label - value: SA-5(b)(1) - parts: - - - id: sa-5.b.1_obj.1 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[1] - prose: user-accessible security functions/mechanisms; - - - id: sa-5.b.1_obj.2 - name: objective - properties: - - - name: label - value: SA-5(b)(1)[2] - prose: how to effectively use those functions/mechanisms; - - - id: sa-5.b.2_obj - name: objective - properties: - - - name: label - value: SA-5(b)(2) - prose: - """ - methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; - """ - - - id: sa-5.b.3_obj - name: objective - properties: - - - name: label - value: SA-5(b)(3) - prose: - """ - user responsibilities in maintaining the security of the system, component, or - service; - """ - - - id: sa-5.c_obj - name: objective - properties: - - - name: label - value: SA-5(c) - parts: - - - id: sa-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(c)[1] - prose: - """ - defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent; - """ - - - id: sa-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(c)[2] - prose: - """ - documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent; - """ - - - id: sa-5.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(c)[3] - prose: takes organization-defined actions in response; - - - id: sa-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(d) - prose: - """ - protects documentation as required, in accordance with the risk management - strategy; - """ - - - id: sa-5.e_obj - name: objective - properties: - - - name: label - value: SA-5(e) - parts: - - - id: sa-5.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-5(e)[1] - prose: defines personnel or roles to whom documentation is to be distributed; and - - - id: sa-5.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-5(e)[2] - prose: distributes documentation to organization-defined personnel or roles. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing information system documentation\n\ninformation system documentation including administrator and user guides\n\nrecords documenting attempts to obtain unavailable or nonexistent information - system documentation\n\nlist of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation\n\nrisk management strategy documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\nsystem administrators\n\norganizational personnel operating, using, and/or maintaining the information - system\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation - """ - - - id: sa-8 - class: SP800-53 - title: Security Engineering Principles - properties: - - - name: label - value: SA-8 - - - name: sort-id - value: sa-08 - links: - - - href: #21b1ed35-56d2-40a8-bdfe-b461fffe322f - rel: reference - text: NIST Special Publication 800-27 - parts: - - - id: sa-8_smt - name: statement - prose: - """ - The organization applies information system security engineering principles in the - specification, design, development, implementation, and modification of the - information system. - """ - - - id: sa-8_gdn - name: guidance - prose: - """ - Organizations apply security engineering principles primarily to new development - information systems or systems undergoing major upgrades. For legacy systems, - organizations apply security engineering principles to system upgrades and - modifications to the extent feasible, given the current state of hardware, software, - and firmware within those systems. Security engineering principles include, for - example: (i) developing layered protections; (ii) establishing sound security policy, - architecture, and controls as the foundation for design; (iii) incorporating security - requirements into the system development life cycle; (iv) delineating physical and - logical security boundaries; (v) ensuring that system developers are trained on how - to build secure software; (vi) tailoring security controls to meet organizational and - operational needs; (vii) performing threat modeling to identify use cases, threat - agents, attack vectors, and attack patterns as well as compensating controls and - design patterns needed to mitigate risk; and (viii) reducing risk to acceptable - levels, thus enabling informed risk management decisions. - """ - links: - - - href: #pm-7 - rel: related - text: PM-7 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-17 - rel: related - text: SA-17 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sa-8_obj - name: objective - prose: - """ - Determine if the organization applies information system security engineering - principles in: - """ - parts: - - - id: sa-8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-8[1] - prose: the specification of the information system; - - - id: sa-8_obj.2 - name: objective - properties: - - - name: label - value: SA-8[2] - prose: the design of the information system; - - - id: sa-8_obj.3 - name: objective - properties: - - - name: label - value: SA-8[3] - prose: the development of the information system; - - - id: sa-8_obj.4 - name: objective - properties: - - - name: label - value: SA-8[4] - prose: the implementation of the information system; and - - - id: sa-8_obj.5 - name: objective - properties: - - - name: label - value: SA-8[5] - prose: the modification of the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing security engineering principles used in the specification, - design, development, implementation, and modification of the information - system\n\ninformation system design documentation\n\ninformation security requirements and specifications for the information - system\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with acquisition/contracting responsibilities\n\norganizational personnel with responsibility for determining information system - security requirements\n\norganizational personnel with information system specification, design, - development, implementation, and modification responsibilities\n\ninformation system developers\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for applying security engineering principles in - information system specification, design, development, implementation, and - modification\n\nautomated mechanisms supporting the application of security engineering principles - in information system specification, design, development, implementation, and - modification - """ - - - id: sa-9 - class: SP800-53 - title: External Information System Services - parameters: - - - id: sa-9_prm_1 - label: organization-defined security controls - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - id: sa-9_prm_2 - label: organization-defined processes, methods, and techniques - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9 - - - name: sort-id - value: sa-09 - links: - - - href: #0c775bc3-bfc3-42c7-a382-88949f503171 - rel: reference - text: NIST Special Publication 800-35 - parts: - - - id: sa-9_smt - name: statement - prose: The organization: - parts: - - - id: sa-9_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Requires that providers of external information system services comply with - organizational information security requirements and employ {{ sa-9_prm_1 }} in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance; - """ - - - id: sa-9_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and - """ - - - id: sa-9_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Employs {{ sa-9_prm_2 }} to monitor security control compliance by - external service providers on an ongoing basis. - """ - - - id: sa-9_gdn - name: guidance - prose: - """ - External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance. - """ - links: - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #ir-7 - rel: related - text: IR-7 - - - href: #ps-7 - rel: related - text: PS-7 - - - id: sa-9_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.a_obj - name: objective - properties: - - - name: label - value: SA-9(a) - parts: - - - id: sa-9.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[1] - prose: - """ - defines security controls to be employed by providers of external information - system services; - """ - - - id: sa-9.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[2] - prose: - """ - requires that providers of external information system services comply with - organizational information security requirements; - """ - - - id: sa-9.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(a)[3] - prose: - """ - requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance; - """ - - - id: sa-9.b_obj - name: objective - properties: - - - name: label - value: SA-9(b) - parts: - - - id: sa-9.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(b)[1] - prose: - """ - defines and documents government oversight with regard to external information - system services; - """ - - - id: sa-9.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(b)[2] - prose: - """ - defines and documents user roles and responsibilities with regard to external - information system services; - """ - - - id: sa-9.c_obj - name: objective - properties: - - - name: label - value: SA-9(c) - parts: - - - id: sa-9.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(c)[1] - prose: - """ - defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and - """ - - - id: sa-9.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(c)[2] - prose: - """ - employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nprocedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services\n\nacquisition contracts, service-level agreements\n\norganizational security requirements and security specifications for external - provider services\n\nsecurity control assessment evidence from external providers of information system - services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\nexternal providers of information system services\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis\n\nautomated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis - """ - controls: - - - id: sa-9.1 - class: SP800-53-enhancement - title: Risk Assessments / Organizational Approvals - parameters: - - - id: sa-9.1_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: SA-9(1) - - - name: sort-id - value: sa-09.01 - parts: - - - id: sa-9.1_smt - name: statement - prose: The organization: - parts: - - - id: sa-9.1_smt.a - name: item - properties: - - - name: label - value: (a) - prose: - """ - Conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; and - """ - - - id: sa-9.1_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Ensures that the acquisition or outsourcing of dedicated information security - services is approved by {{ sa-9.1_prm_1 }}. - """ - - - id: sa-9.1_gdn - name: guidance - prose: - """ - Dedicated information security services include, for example, incident monitoring, - analysis and response, operation of information security-related devices such as - firewalls, or key management services. - """ - links: - - - href: #ca-6 - rel: related - text: CA-6 - - - href: #ra-3 - rel: related - text: RA-3 - - - id: sa-9.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.1.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(1)(a) - prose: - """ - conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; - """ - links: - - - href: #sa-9.1_smt.a - rel: corresp - text: SA-9(1)(a) - - - id: sa-9.1.b_obj - name: objective - properties: - - - name: label - value: SA-9(1)(b) - parts: - - - id: sa-9.1.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(1)(b)[1] - prose: - """ - defines personnel or roles designated to approve the acquisition or - outsourcing of dedicated information security services; and - """ - - - id: sa-9.1.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(1)(b)[2] - prose: - """ - ensures that the acquisition or outsourcing of dedicated information - security services is approved by organization-defined personnel or - roles. - """ - links: - - - href: #sa-9.1_smt.b - rel: corresp - text: SA-9(1)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition documentation\n\nacquisition contracts for the information system, system component, or - information system service\n\nrisk assessment reports\n\napproval records for acquisition or outsourcing of dedicated information - security services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information system security responsibilities\n\nexternal providers of information system services\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for conducting a risk assessment prior to acquiring or - outsourcing dedicated information security services\n\norganizational processes for approving the outsourcing of dedicated information - security services\n\nautomated mechanisms supporting and/or implementing risk assessment\n\nautomated mechanisms supporting and/or implementing approval processes - """ - - - id: sa-9.2 - class: SP800-53-enhancement - title: Identification of Functions / Ports / Protocols / Services - parameters: - - - id: sa-9.2_prm_1 - label: organization-defined external information system services - constraints: - - - detail: all external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9(2) - - - name: sort-id - value: sa-09.02 - parts: - - - id: sa-9.2_smt - name: statement - prose: - """ - The organization requires providers of {{ sa-9.2_prm_1 }} to - identify the functions, ports, protocols, and other services required for the use - of such services. - """ - - - id: sa-9.2_gdn - name: guidance - prose: - """ - Information from external service providers regarding the specific functions, - ports, protocols, and services used in the provision of such services can be - particularly useful when the need arises to understand the trade-offs involved in - restricting certain functions/services or blocking certain ports/protocols. - """ - links: - - - href: #cm-7 - rel: related - text: CM-7 - - - id: sa-9.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(2)[1] - prose: - """ - defines external information system services for which providers of such - services are to identify the functions, ports, protocols, and other services - required for the use of such services; - """ - - - id: sa-9.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SA-9(2)[2] - prose: - """ - requires providers of organization-defined external information system services - to identify: - """ - parts: - - - id: sa-9.2_obj.2.a - name: objective - properties: - - - name: label - value: SA-9(2)[2][a] - prose: the functions required for the use of such services; - - - id: sa-9.2_obj.2.b - name: objective - properties: - - - name: label - value: SA-9(2)[2][b] - prose: the ports required for the use of such services; - - - id: sa-9.2_obj.2.c - name: objective - properties: - - - name: label - value: SA-9(2)[2][c] - prose: the protocols required for the use of such services; and - - - id: sa-9.2_obj.2.d - name: objective - properties: - - - name: label - value: SA-9(2)[2][d] - prose: the other services required for the use of such services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition contracts for the information system, system component, or - information system service\n\nacquisition documentation\n\nsolicitation documentation, service-level agreements\n\norganizational security requirements and security specifications for external - service providers\n\nlist of required functions, ports, protocols, and other services\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nexternal providers of information system services - """ - - - id: sa-9.4 - class: SP800-53-enhancement - title: Consistent Interests of Consumers and Providers - parameters: - - - id: sa-9.4_prm_1 - label: organization-defined security safeguards - - - id: sa-9.4_prm_2 - label: organization-defined external service providers - constraints: - - - detail: all external systems where Federal information is processed or stored - properties: - - - name: label - value: SA-9(4) - - - name: sort-id - value: sa-09.04 - parts: - - - id: sa-9.4_smt - name: statement - prose: - """ - The organization employs {{ sa-9.4_prm_1 }} to ensure that the - interests of {{ sa-9.4_prm_2 }} are consistent with and reflect - organizational interests. - """ - - - id: sa-9.4_gdn - name: guidance - prose: - """ - As organizations increasingly use external service providers, the possibility - exists that the interests of the service providers may diverge from organizational - interests. In such situations, simply having the correct technical, procedural, or - operational safeguards in place may not be sufficient if the service providers - that implement and control those safeguards are not operating in a manner - consistent with the interests of the consuming organizations. Possible actions - that organizations might take to address such concerns include, for example, - requiring background checks for selected service provider personnel, examining - ownership records, employing only trustworthy service providers (i.e., providers - with which organizations have had positive experiences), and conducting - periodic/unscheduled visits to service provider facilities. - """ - - - id: sa-9.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(4)[1] - prose: - """ - defines external service providers whose interests are to be consistent with - and reflect organizational interests; - """ - - - id: sa-9.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(4)[2] - prose: - """ - defines security safeguards to be employed to ensure that the interests of - organization-defined external service providers are consistent with and reflect - organizational interests; and - """ - - - id: sa-9.4_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(4)[3] - prose: - """ - employs organization-defined security safeguards to ensure that the interests - of organization-defined external service providers are consistent with and - reflect organizational interests. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition contracts for the information system, system component, or - information system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\norganizational security requirements/safeguards for external service - providers\n\npersonnel security policies for external service providers\n\nassessments performed on external service providers\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of information system services - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining and employing safeguards to ensure - consistent interests with external service providers\n\nautomated mechanisms supporting and/or implementing safeguards to ensure - consistent interests with external service providers - """ - - - id: sa-9.5 - class: SP800-53-enhancement - title: Processing, Storage, and Service Location - parameters: - - - id: sa-9.5_prm_1 - constraints: - - - detail: information processing, information data, AND information services - - - id: sa-9.5_prm_2 - label: organization-defined locations - - - id: sa-9.5_prm_3 - label: organization-defined requirements or conditions - properties: - - - name: label - value: SA-9(5) - - - name: sort-id - value: sa-09.05 - parts: - - - id: sa-9.5_smt - name: statement - prose: - """ - The organization restricts the location of {{ sa-9.5_prm_1 }} to - {{ sa-9.5_prm_2 }} based on {{ sa-9.5_prm_3 }}. - """ - - - id: sa-9.5_gdn - name: guidance - prose: - """ - The location of information processing, information/data storage, or information - system services that are critical to organizations can have a direct impact on the - ability of those organizations to successfully execute their missions/business - functions. This situation exists when external providers control the location of - processing, storage or services. The criteria external providers use for the - selection of processing, storage, or service locations may be different from - organizational criteria. For example, organizations may want to ensure that - data/information storage locations are restricted to certain locations to - facilitate incident response activities (e.g., forensic analyses, after-the-fact - investigations) in case of information security breaches/compromises. Such - incident response activities may be adversely affected by the governing laws or - protocols in the locations where processing and storage occur and/or the locations - from which information system services emanate. - """ - - - id: sa-9.5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-9.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(5)[1] - prose: - """ - defines locations where organization-defined information processing, - information/data, and/or information system services are to be restricted; - """ - - - id: sa-9.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-9(5)[2] - prose: - """ - defines requirements or conditions to restrict the location of information - processing, information/data, and/or information system services; - """ - - - id: sa-9.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-9(5)[3] - prose: - """ - restricts the location of one or more of the following to organization-defined - locations based on organization-defined requirements or conditions: - """ - parts: - - - id: sa-9.5_obj.3.a - name: objective - properties: - - - name: label - value: SA-9(5)[3][a] - prose: information processing; - - - id: sa-9.5_obj.3.b - name: objective - properties: - - - name: label - value: SA-9(5)[3][b] - prose: information/data; and/or - - - id: sa-9.5_obj.3.c - name: objective - properties: - - - name: label - value: SA-9(5)[3][c] - prose: information services. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing external information system services\n\nacquisition contracts for the information system, system component, or - information system service\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nrestricted locations for information processing\n\ninformation/data and/or information system services\n\ninformation processing, information/data, and/or information system services to - be maintained in restricted locations\n\norganizational security requirements or conditions for external providers\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\nexternal providers of information system services - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining requirements to restrict locations of - information processing, information/data, or information services\n\norganizational processes for ensuring the location is restricted in accordance - with requirements or conditions - """ - - - id: sa-10 - class: SP800-53 - title: Developer Configuration Management - parameters: - - - id: sa-10_prm_1 - constraints: - - - detail: development, implementation, AND operation - - - id: sa-10_prm_2 - label: organization-defined configuration items under configuration management - - - id: sa-10_prm_3 - label: organization-defined personnel - properties: - - - name: label - value: SA-10 - - - name: sort-id - value: sa-10 - links: - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: sa-10_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system component, - or information system service to: - """ - parts: - - - id: sa-10_smt.a - name: item - properties: - - - name: label - value: a. - prose: Perform configuration management during system, component, or service {{ sa-10_prm_1 }}; - - - id: sa-10_smt.b - name: item - properties: - - - name: label - value: b. - prose: Document, manage, and control the integrity of changes to {{ sa-10_prm_2 }}; - - - id: sa-10_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Implement only organization-approved changes to the system, component, or - service; - """ - - - id: sa-10_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Document approved changes to the system, component, or service and the potential - security impacts of such changes; and - """ - - - id: sa-10_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Track security flaws and flaw resolution within the system, component, or service - and report findings to {{ sa-10_prm_3 }}. - """ - - - id: sa-10_fr - name: item - title: SA-10 Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-10_fr_smt.1 - name: item - properties: - - - name: label - value: (e) Requirement: - prose: For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP. - - - id: sa-10_gdn - name: guidance - prose: - """ - This control also applies to organizations conducting internal information systems - development and integration. Organizations consider the quality and completeness of - the configuration management activities conducted by developers as evidence of - applying effective security safeguards. Safeguards include, for example, protecting - from unauthorized modification or destruction, the master copies of all material used - to generate security-relevant portions of the system hardware, software, and - firmware. Maintaining the integrity of changes to the information system, information - system component, or information system service requires configuration control - throughout the system development life cycle to track authorized changes and prevent - unauthorized changes. Configuration items that are placed under configuration - management (if existence/use is required by other security controls) include: the - formal model; the functional, high-level, and low-level design specifications; other - design data; implementation documentation; source code and hardware schematics; the - running version of the object code; tools for comparing new versions of - security-relevant hardware descriptions and software/firmware source code with - previous versions; and test fixtures and documentation. Depending on the - mission/business needs of organizations and the nature of the contractual - relationships in place, developers may provide configuration management support - during the operations and maintenance phases of the life cycle. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #cm-9 - rel: related - text: CM-9 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #si-2 - rel: related - text: SI-2 - - - id: sa-10_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-10.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(a) - prose: - """ - requires the developer of the information system, system component, or information - system service to perform configuration management during one or more of the - following: - """ - parts: - - - id: sa-10.a_obj.1 - name: objective - properties: - - - name: label - value: SA-10(a)[1] - prose: system, component, or service design; - - - id: sa-10.a_obj.2 - name: objective - properties: - - - name: label - value: SA-10(a)[2] - prose: system, component, or service development; - - - id: sa-10.a_obj.3 - name: objective - properties: - - - name: label - value: SA-10(a)[3] - prose: system, component, or service implementation; and/or - - - id: sa-10.a_obj.4 - name: objective - properties: - - - name: label - value: SA-10(a)[4] - prose: system, component, or service operation; - - - id: sa-10.b_obj - name: objective - properties: - - - name: label - value: SA-10(b) - parts: - - - id: sa-10.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-10(b)[1] - prose: defines configuration items to be placed under configuration management; - - - id: sa-10.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(b)[2] - prose: - """ - requires the developer of the information system, system component, or - information system service to: - """ - parts: - - - id: sa-10.b_obj.2.a - name: objective - properties: - - - name: label - value: SA-10(b)[2][a] - prose: - """ - document the integrity of changes to organization-defined items under - configuration management; - """ - - - id: sa-10.b_obj.2.b - name: objective - properties: - - - name: label - value: SA-10(b)[2][b] - prose: - """ - manage the integrity of changes to organization-defined items under - configuration management; - """ - - - id: sa-10.b_obj.2.c - name: objective - properties: - - - name: label - value: SA-10(b)[2][c] - prose: - """ - control the integrity of changes to organization-defined items under - configuration management; - """ - - - id: sa-10.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(c) - prose: - """ - requires the developer of the information system, system component, or information - system service to implement only organization-approved changes to the system, - component, or service; - """ - - - id: sa-10.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(d) - prose: - """ - requires the developer of the information system, system component, or information - system service to document: - """ - parts: - - - id: sa-10.d_obj.1 - name: objective - properties: - - - name: label - value: SA-10(d)[1] - prose: approved changes to the system, component, or service; - - - id: sa-10.d_obj.2 - name: objective - properties: - - - name: label - value: SA-10(d)[2] - prose: the potential security impacts of such changes; - - - id: sa-10.e_obj - name: objective - properties: - - - name: label - value: SA-10(e) - parts: - - - id: sa-10.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-10(e)[1] - prose: - """ - defines personnel to whom findings, resulting from security flaws and flaw - resolution tracked within the system, component, or service, are to be - reported; - """ - - - id: sa-10.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-10(e)[2] - prose: - """ - requires the developer of the information system, system component, or - information system service to: - """ - parts: - - - id: sa-10.e_obj.2.a - name: objective - properties: - - - name: label - value: SA-10(e)[2][a] - prose: track security flaws within the system, component, or service; - - - id: sa-10.e_obj.2.b - name: objective - properties: - - - name: label - value: SA-10(e)[2][b] - prose: - """ - track security flaw resolution within the system, component, or service; - and - """ - - - id: sa-10.e_obj.2.c - name: objective - properties: - - - name: label - value: SA-10(e)[2][c] - prose: report findings to organization-defined personnel. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\nsystem developer configuration management plan\n\nsecurity flaw and flaw resolution tracking records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - configuration management - """ - controls: - - - id: sa-10.1 - class: SP800-53-enhancement - title: Software / Firmware Integrity Verification - properties: - - - name: label - value: SA-10(1) - - - name: sort-id - value: sa-10.01 - parts: - - - id: sa-10.1_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to enable integrity verification of - software and firmware components. - """ - - - id: sa-10.1_gdn - name: guidance - prose: - """ - This control enhancement allows organizations to detect unauthorized changes to - software and firmware components through the use of tools, techniques, and/or - mechanisms provided by developers. Integrity checking mechanisms can also address - counterfeiting of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through secure one-way - hashes provided by developers. Delivered software and firmware components also - include any updates to such components. - """ - links: - - - href: #si-7 - rel: related - text: SI-7 - - - id: sa-10.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to enable integrity verification - of software and firmware components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and services acquisition policy\n\nprocedures addressing system developer configuration management\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system\n\nsystem component, or information system service\n\nsystem developer configuration management plan\n\nsoftware and firmware integrity verification records\n\nsystem change authorization records\n\nchange control records\n\nconfiguration management records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer configuration management\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - configuration management - """ - - - id: sa-11 - class: SP800-53 - title: Developer Security Testing and Evaluation - parameters: - - - id: sa-11_prm_1 - - - id: sa-11_prm_2 - label: organization-defined depth and coverage - properties: - - - name: label - value: SA-11 - - - name: sort-id - value: sa-11 - links: - - - href: #1737a687-52fb-4008-b900-cbfa836f7b65 - rel: reference - text: ISO/IEC 15408 - - - href: #cd4cf751-3312-4a55-b1a9-fad2f1db9119 - rel: reference - text: NIST Special Publication 800-53A - - - href: #275cc052-0f7f-423c-bdb6-ed503dc36228 - rel: reference - text: http://nvd.nist.gov - - - href: #15522e92-9192-463d-9646-6a01982db8ca - rel: reference - text: http://cwe.mitre.org - - - href: #0931209f-00ae-4132-b92c-bc645847e8f9 - rel: reference - text: http://cve.mitre.org - - - href: #4ef539ba-b767-4666-b0d3-168c53005fa3 - rel: reference - text: http://capec.mitre.org - parts: - - - id: sa-11_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system component, - or information system service to: - """ - parts: - - - id: sa-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: Create and implement a security assessment plan; - - - id: sa-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: Perform {{ sa-11_prm_1 }} testing/evaluation at {{ sa-11_prm_2 }}; - - - id: sa-11_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Produce evidence of the execution of the security assessment plan and the results - of the security testing/evaluation; - """ - - - id: sa-11_smt.d - name: item - properties: - - - name: label - value: d. - prose: Implement a verifiable flaw remediation process; and - - - id: sa-11_smt.e - name: item - properties: - - - name: label - value: e. - prose: Correct flaws identified during security testing/evaluation. - - - id: sa-11_gdn - name: guidance - prose: - """ - Developmental security testing/evaluation occurs at all post-design phases of the - system development life cycle. Such testing/evaluation confirms that the required - security controls are implemented correctly, operating as intended, enforcing the - desired security policy, and meeting established security requirements. Security - properties of information systems may be affected by the interconnection of system - components or changes to those components. These interconnections or changes (e.g., - upgrading or replacing applications and operating systems) may adversely affect - previously implemented security controls. This control provides additional types of - security testing/evaluation that developers can conduct to reduce or eliminate - potential flaws. Testing custom software applications may require approaches such as - static analysis, dynamic analysis, binary analysis, or a hybrid of the three - approaches. Developers can employ these analysis approaches in a variety of tools - (e.g., web-based application scanners, static analysis tools, binary analyzers) and - in source code reviews. Security assessment plans provide the specific activities - that developers plan to carry out including the types of analyses, testing, - evaluation, and reviews of software and firmware components, the degree of rigor to - be applied, and the types of artifacts produced during those processes. The depth of - security testing/evaluation refers to the rigor and level of detail associated with - the assessment process (e.g., black box, gray box, or white box testing). The - coverage of security testing/evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify the acceptance - criteria for security assessment plans, flaw remediation processes, and the evidence - that the plans/processes have been diligently applied. Methods for reviewing and - protecting assessment plans, evidence, and documentation are commensurate with the - security category or classification level of the information system. Contracts may - specify documentation protection requirements. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #cm-4 - rel: related - text: CM-4 - - - href: #sa-3 - rel: related - text: SA-3 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #si-2 - rel: related - text: SI-2 - - - id: sa-11_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sa-11.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(a) - prose: - """ - requires the developer of the information system, system component, or information - system service to create and implement a security plan; - """ - - - id: sa-11.b_obj - name: objective - properties: - - - name: label - value: SA-11(b) - parts: - - - id: sa-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-11(b)[1] - prose: - """ - defines the depth of testing/evaluation to be performed by the developer of the - information system, system component, or information system service; - """ - - - id: sa-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SA-11(b)[2] - prose: - """ - defines the coverage of testing/evaluation to be performed by the developer of - the information system, system component, or information system service; - """ - - - id: sa-11.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(b)[3] - prose: - """ - requires the developer of the information system, system component, or - information system service to perform one or more of the following - testing/evaluation at the organization-defined depth and coverage: - """ - parts: - - - id: sa-11.b_obj.3.a - name: objective - properties: - - - name: label - value: SA-11(b)[3][a] - prose: unit testing/evaluation; - - - id: sa-11.b_obj.3.b - name: objective - properties: - - - name: label - value: SA-11(b)[3][b] - prose: integration testing/evaluation; - - - id: sa-11.b_obj.3.c - name: objective - properties: - - - name: label - value: SA-11(b)[3][c] - prose: system testing/evaluation; and/or - - - id: sa-11.b_obj.3.d - name: objective - properties: - - - name: label - value: SA-11(b)[3][d] - prose: regression testing/evaluation; - - - id: sa-11.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(c) - prose: - """ - requires the developer of the information system, system component, or information - system service to produce evidence of: - """ - parts: - - - id: sa-11.c_obj.1 - name: objective - properties: - - - name: label - value: SA-11(c)[1] - prose: the execution of the security assessment plan; - - - id: sa-11.c_obj.2 - name: objective - properties: - - - name: label - value: SA-11(c)[2] - prose: the results of the security testing/evaluation; - - - id: sa-11.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(d) - prose: - """ - requires the developer of the information system, system component, or information - system service to implement a verifiable flaw remediation process; and - """ - - - id: sa-11.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(e) - prose: - """ - requires the developer of the information system, system component, or information - system service to correct flaws identified during security testing/evaluation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or information - system service\n\nsystem developer security test plans\n\nrecords of developer security testing results for the information system, system - component, or information system service\n\nsecurity flaw and remediation tracking records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with system and services acquisition responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation - """ - controls: - - - id: sa-11.1 - class: SP800-53-enhancement - title: Static Code Analysis - properties: - - - name: label - value: SA-11(1) - - - name: sort-id - value: sa-11.01 - parts: - - - id: sa-11.1_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to employ static code analysis tools to - identify common flaws and document the results of the analysis. - """ - parts: - - - id: sa-11.1_fr - name: item - title: SA-11 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-11.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed. - - - id: sa-11.1_gdn - name: guidance - prose: - """ - Static code analysis provides a technology and methodology for security reviews. - Such analysis can be used to identify security vulnerabilities and enforce - security coding practices. Static code analysis is most effective when used early - in the development process, when each code change can be automatically scanned for - potential weaknesses. Static analysis can provide clear remediation guidance along - with defects to enable developers to fix such defects. Evidence of correct - implementation of static analysis can include, for example, aggregate defect - density for critical defect types, evidence that defects were inspected by - developers or security professionals, and evidence that defects were fixed. An - excessively high density of ignored findings (commonly referred to as ignored or - false positives) indicates a potential problem with the analysis process or tool. - In such cases, organizations weigh the validity of the evidence against evidence - from other sources. - """ - - - id: sa-11.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to employ static code analysis - tools to identify common flaws and document the results of the analysis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or - information system service\n\nsystem developer security test plans\n\nsystem developer security testing results\n\nsecurity flaw and remediation tracking records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation\n\nstatic code analysis tools - """ - - - id: sa-11.2 - class: SP800-53-enhancement - title: Threat and Vulnerability Analyses - properties: - - - name: label - value: SA-11(2) - - - name: sort-id - value: sa-11.02 - parts: - - - id: sa-11.2_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to perform threat and vulnerability - analyses and subsequent testing/evaluation of the as-built system, component, or - service. - """ - - - id: sa-11.2_gdn - name: guidance - prose: - """ - Applications may deviate significantly from the functional and design - specifications created during the requirements and design phases of the system - development life cycle. Therefore, threat and vulnerability analyses of - information systems, system components, and information system services prior to - delivery are critical to the effective operation of those systems, components, and - services. Threat and vulnerability analyses at this phase of the life cycle help - to ensure that design or implementation changes have been accounted for, and that - any new vulnerabilities created as a result of those changes have been reviewed - and mitigated. - """ - links: - - - href: #pm-15 - rel: related - text: PM-15 - - - href: #ra-5 - rel: related - text: RA-5 - - - id: sa-11.2_obj - name: objective - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to perform: - """ - parts: - - - id: sa-11.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SA-11(2)[1] - prose: threat analyses of the as-built, system component, or service; - - - id: sa-11.2_obj.2 - name: objective - properties: - - - name: label - value: SA-11(2)[2] - prose: vulnerability analyses of the as-built, system component, or service; and - - - id: sa-11.2_obj.3 - name: objective - properties: - - - name: label - value: SA-11(2)[3] - prose: - """ - subsequent testing/evaluation of the as-built, system component, or - service. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or - information system service\n\nsystem developer security test plans\n\nrecords of developer security testing results for the information system, - system component, or information system service\n\nvulnerability scanning results\n\ninformation system risk assessment reports\n\nthreat and vulnerability analysis reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation - """ - - - id: sa-11.8 - class: SP800-53-enhancement - title: Dynamic Code Analysis - properties: - - - name: label - value: SA-11(8) - - - name: sort-id - value: sa-11.08 - parts: - - - id: sa-11.8_smt - name: statement - prose: - """ - The organization requires the developer of the information system, system - component, or information system service to employ dynamic code analysis tools to - identify common flaws and document the results of the analysis. - """ - parts: - - - id: sa-11.8_fr - name: item - title: SA-11 (8) Additional FedRAMP Requirements and Guidance - parts: - - - id: sa-11.8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed. - - - id: sa-11.8_gdn - name: guidance - prose: - """ - Dynamic code analysis provides run-time verification of software programs, using - tools capable of monitoring programs for memory corruption, user privilege issues, - and other potential security problems. Dynamic code analysis employs run-time - tools to help to ensure that security functionality performs in the manner in - which it was designed. A specialized type of dynamic analysis, known as fuzz - testing, induces program failures by deliberately introducing malformed or random - data into software programs. Fuzz testing strategies derive from the intended use - of applications and the functional and design specifications for the applications. - To understand the scope of dynamic code analysis and hence the assurance provided, - organizations may also consider conducting code coverage analysis (checking the - degree to which the code has been tested using metrics such as percent of - subroutines tested or percent of program statements called during execution of the - test suite) and/or concordance analysis (checking for words that are out of place - in software code such as non-English language words or derogatory terms). - """ - - - id: sa-11.8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization requires the developer of the information system, - system component, or information system service to employ dynamic code analysis - tools to identify common flaws and document the results of the analysis. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and services acquisition policy\n\nprocedures addressing system developer security testing\n\nprocedures addressing flaw remediation\n\nsolicitation documentation\n\nacquisition documentation\n\nservice-level agreements\n\nacquisition contracts for the information system, system component, or - information system service\n\nsystem developer security test and evaluation plans\n\nsecurity test and evaluation results\n\nsecurity flaw and remediation tracking reports\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and services acquisition - responsibilities\n\norganizational personnel with information security responsibilities\n\norganizational personnel with developer security testing responsibilities\n\norganizational personnel with configuration management responsibilities\n\nsystem developers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for monitoring developer security testing and - evaluation\n\nautomated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation - """ - - - id: sc - class: family - title: System and Communications Protection - controls: - - - id: sc-1 - class: SP800-53 - title: System and Communications Protection Policy and Procedures - parameters: - - - id: sc-1_prm_1 - label: organization-defined personnel or roles - - - id: sc-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: sc-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-1 - - - name: sort-id - value: sc-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: sc-1_smt - name: statement - prose: The organization: - parts: - - - id: sc-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ sc-1_prm_1 }}: - parts: - - - id: sc-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and - """ - - - id: sc-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and - """ - - - id: sc-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: sc-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and communications protection policy {{ sc-1_prm_2 }}; - and - """ - - - id: sc-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and communications protection procedures {{ sc-1_prm_3 }}. - - - id: sc-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: sc-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-1.a_obj - name: objective - properties: - - - name: label - value: SC-1(a) - parts: - - - id: sc-1.a.1_obj - name: objective - properties: - - - name: label - value: SC-1(a)(1) - parts: - - - id: sc-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(1)[1] - prose: - """ - develops and documents a system and communications protection policy that - addresses: - """ - parts: - - - id: sc-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][a] - prose: purpose; - - - id: sc-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][b] - prose: scope; - - - id: sc-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][c] - prose: roles; - - - id: sc-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][d] - prose: responsibilities; - - - id: sc-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][e] - prose: management commitment; - - - id: sc-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: sc-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SC-1(a)(1)[1][g] - prose: compliance; - - - id: sc-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and communications protection - policy is to be disseminated; - """ - - - id: sc-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SC-1(a)(1)[3] - prose: - """ - disseminates the system and communications protection policy to - organization-defined personnel or roles; - """ - - - id: sc-1.a.2_obj - name: objective - properties: - - - name: label - value: SC-1(a)(2) - parts: - - - id: sc-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls; - """ - - - id: sc-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: sc-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SC-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: sc-1.b_obj - name: objective - properties: - - - name: label - value: SC-1(b) - parts: - - - id: sc-1.b.1_obj - name: objective - properties: - - - name: label - value: SC-1(b)(1) - parts: - - - id: sc-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection policy; - """ - - - id: sc-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(1)[2] - prose: - """ - reviews and updates the current system and communications protection policy - with the organization-defined frequency; - """ - - - id: sc-1.b.2_obj - name: objective - properties: - - - name: label - value: SC-1(b)(2) - parts: - - - id: sc-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - communications protection procedures; and - """ - - - id: sc-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-1(b)(2)[2] - prose: - """ - reviews and updates the current system and communications protection - procedures with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and communications protection - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: sc-2 - class: SP800-53 - title: Application Partitioning - properties: - - - name: label - value: SC-2 - - - name: sort-id - value: sc-02 - parts: - - - id: sc-2_smt - name: statement - prose: - """ - The information system separates user functionality (including user interface - services) from information system management functionality. - """ - - - id: sc-2_gdn - name: guidance - prose: - """ - Information system management functionality includes, for example, functions - necessary to administer databases, network components, workstations, or servers, and - typically requires privileged user access. The separation of user functionality from - information system management functionality is either physical or logical. - Organizations implement separation of system management-related functionality from - user functionality by using different computers, different central processing units, - different instances of operating systems, different network addresses, virtualization - techniques, or combinations of these or other methods, as appropriate. This type of - separation includes, for example, web administrative interfaces that use separate - authentication methods for users of any other information system resources. - Separation of system and user functionality may include isolating administrative - interfaces on different domains and with additional access controls. - """ - links: - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system separates user functionality (including user - interface services) from information system management functionality. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing application partitioning\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Separation of user functionality from information system management - functionality - """ - - - id: sc-4 - class: SP800-53 - title: Information in Shared Resources - properties: - - - name: label - value: SC-4 - - - name: sort-id - value: sc-04 - parts: - - - id: sc-4_smt - name: statement - prose: - """ - The information system prevents unauthorized and unintended information transfer via - shared system resources. - """ - - - id: sc-4_gdn - name: guidance - prose: - """ - This control prevents information, including encrypted representations of - information, produced by the actions of prior users/roles (or the actions of - processes acting on behalf of prior users/roles) from being available to any current - users/roles (or current processes) that obtain access to shared system resources - (e.g., registers, main memory, hard disks) after those resources have been released - back to information systems. The control of information in shared resources is also - commonly referred to as object reuse and residual information protection. This - control does not address: (i) information remanence which refers to residual - representation of data that has been nominally erased or removed; (ii) covert - channels (including storage and/or timing channels) where shared resources are - manipulated to violate information flow restrictions; or (iii) components within - information systems for which there are only single users/roles. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #mp-6 - rel: related - text: MP-6 - - - id: sc-4_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system prevents unauthorized and unintended information - transfer via shared system resources. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing information protection in shared system resources\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms preventing unauthorized and unintended transfer of - information via shared system resources - """ - - - id: sc-5 - class: SP800-53 - title: Denial of Service Protection - parameters: - - - id: sc-5_prm_1 - label: - """ - organization-defined types of denial of service attacks or references to sources - for such information - """ - - - id: sc-5_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: SC-5 - - - name: sort-id - value: sc-05 - parts: - - - id: sc-5_smt - name: statement - prose: - """ - The information system protects against or limits the effects of the following types - of denial of service attacks: {{ sc-5_prm_1 }} by employing {{ sc-5_prm_2 }}. - """ - - - id: sc-5_gdn - name: guidance - prose: - """ - A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks. - """ - links: - - - href: #sc-6 - rel: related - text: SC-6 - - - href: #sc-7 - rel: related - text: SC-7 - - - id: sc-5_obj - name: objective - prose: Determine if: - parts: - - - id: sc-5_obj.1 - name: objective - properties: - - - name: label - value: SC-5[1] - prose: - """ - the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects; - """ - - - id: sc-5_obj.2 - name: objective - properties: - - - name: label - value: SC-5[2] - prose: - """ - the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and - """ - - - id: sc-5_obj.3 - name: objective - properties: - - - name: label - value: SC-5[3] - prose: - """ - the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing denial of service protection\n\ninformation system design documentation\n\nsecurity plan\n\nlist of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks\n\nlist of security safeguards protecting against or limiting the effects of denial - of service attacks\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms protecting against or limiting the effects of denial of - service attacks - """ - - - id: sc-6 - class: SP800-53 - title: Resource Availability - parameters: - - - id: sc-6_prm_1 - label: organization-defined resources - - - id: sc-6_prm_2 - - - id: sc-6_prm_3 - depends-on: sc-6_prm_2 - label: organization-defined security safeguards - properties: - - - name: label - value: SC-6 - - - name: sort-id - value: sc-06 - parts: - - - id: sc-6_smt - name: statement - prose: The information system protects the availability of resources by allocating {{ sc-6_prm_1 }} by {{ sc-6_prm_2 }}. - - - id: sc-6_gdn - name: guidance - prose: - """ - Priority protection helps prevent lower-priority processes from delaying or - interfering with the information system servicing any higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined amounts of - resources. This control does not apply to information system components for which - there are only single users/roles. - """ - - - id: sc-6_obj - name: objective - prose: Determine if: - parts: - - - id: sc-6_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-6[1] - prose: - """ - the organization defines resources to be allocated to protect the availability of - resources; - """ - - - id: sc-6_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-6[2] - prose: - """ - the organization defines security safeguards to be employed to protect the - availability of resources; - """ - - - id: sc-6_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-6[3] - prose: - """ - the information system protects the availability of resources by allocating - organization-defined resources by one or more of the following: - """ - parts: - - - id: sc-6_obj.3.a - name: objective - properties: - - - name: label - value: SC-6[3][a] - prose: priority; - - - id: sc-6_obj.3.b - name: objective - properties: - - - name: label - value: SC-6[3][b] - prose: quota; and/or - - - id: sc-6_obj.3.c - name: objective - properties: - - - name: label - value: SC-6[3][c] - prose: organization-defined safeguards. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing prioritization of information system resources\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing resource allocation - capability\n\nsafeguards employed to protect availability of resources - """ - - - id: sc-7 - class: SP800-53 - title: Boundary Protection - parameters: - - - id: sc-7_prm_1 - properties: - - - name: label - value: SC-7 - - - name: sort-id - value: sc-07 - links: - - - href: #e85cdb3f-7f0a-4083-8639-f13f70d3760b - rel: reference - text: FIPS Publication 199 - - - href: #756a8e86-57d5-4701-8382-f7a40439665a - rel: reference - text: NIST Special Publication 800-41 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - parts: - - - id: sc-7_smt - name: statement - prose: The information system: - parts: - - - id: sc-7_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system; - """ - - - id: sc-7_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Implements subnetworks for publicly accessible system components that are {{ sc-7_prm_1 }} separated from internal organizational networks; - and - """ - - - id: sc-7_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - id: sc-7_gdn - name: guidance - prose: - """ - Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions. - """ - links: - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ca-3 - rel: related - text: CA-3 - - - href: #cm-7 - rel: related - text: CM-7 - - - href: #cp-8 - rel: related - text: CP-8 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-3 - rel: related - text: RA-3 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-13 - rel: related - text: SC-13 - - - id: sc-7_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-7.a_obj - name: objective - properties: - - - name: label - value: SC-7(a) - parts: - - - id: sc-7.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[1] - prose: monitors communications at the external boundary of the information system; - - - id: sc-7.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[2] - prose: monitors communications at key internal boundaries within the system; - - - id: sc-7.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[3] - prose: controls communications at the external boundary of the information system; - - - id: sc-7.a_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(a)[4] - prose: controls communications at key internal boundaries within the system; - - - id: sc-7.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(b) - prose: - """ - implements subnetworks for publicly accessible system components that are - either: - """ - parts: - - - id: sc-7.b_obj.1 - name: objective - properties: - - - name: label - value: SC-7(b)[1] - prose: physically separated from internal organizational networks; and/or - - - id: sc-7.b_obj.2 - name: objective - properties: - - - name: label - value: SC-7(b)[2] - prose: logically separated from internal organizational networks; and - - - id: sc-7.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(c) - prose: - """ - connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\nlist of key internal boundaries of the information system\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system configuration settings and associated documentation\n\nenterprise security architecture documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing boundary protection capability - controls: - - - id: sc-7.3 - class: SP800-53-enhancement - title: Access Points - properties: - - - name: label - value: SC-7(3) - - - name: sort-id - value: sc-07.03 - parts: - - - id: sc-7.3_smt - name: statement - prose: - """ - The organization limits the number of external network connections to the - information system. - """ - - - id: sc-7.3_gdn - name: guidance - prose: - """ - Limiting the number of external network connections facilitates more comprehensive - monitoring of inbound and outbound communications traffic. The Trusted Internet - Connection (TIC) initiative is an example of limiting the number of external - network connections. - """ - - - id: sc-7.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization limits the number of external network connections to - the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\ncommunications and network traffic monitoring logs\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing boundary protection capability\n\nautomated mechanisms limiting the number of external network connections to the - information system - """ - - - id: sc-7.4 - class: SP800-53-enhancement - title: External Telecommunications Services - parameters: - - - id: sc-7.4_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-7(4) - - - name: sort-id - value: sc-07.04 - parts: - - - id: sc-7.4_smt - name: statement - prose: The organization: - parts: - - - id: sc-7.4_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Implements a managed interface for each external telecommunication service; - - - id: sc-7.4_smt.b - name: item - properties: - - - name: label - value: (b) - prose: Establishes a traffic flow policy for each managed interface; - - - id: sc-7.4_smt.c - name: item - properties: - - - name: label - value: (c) - prose: - """ - Protects the confidentiality and integrity of the information being transmitted - across each interface; - """ - - - id: sc-7.4_smt.d - name: item - properties: - - - name: label - value: (d) - prose: - """ - Documents each exception to the traffic flow policy with a supporting - mission/business need and duration of that need; and - """ - - - id: sc-7.4_smt.e - name: item - properties: - - - name: label - value: (e) - prose: - """ - Reviews exceptions to the traffic flow policy {{ sc-7.4_prm_1 }} - and removes exceptions that are no longer supported by an explicit - mission/business need. - """ - - - id: sc-7.4_gdn - name: guidance - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - id: sc-7.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.4.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(a) - prose: implements a managed interface for each external telecommunication service; - links: - - - href: #sc-7.4_smt.a - rel: corresp - text: SC-7(4)(a) - - - id: sc-7.4.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(b) - prose: establishes a traffic flow policy for each managed interface; - links: - - - href: #sc-7.4_smt.b - rel: corresp - text: SC-7(4)(b) - - - id: sc-7.4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(c) - prose: - """ - protects the confidentiality and integrity of the information being transmitted - across each interface; - """ - links: - - - href: #sc-7.4_smt.c - rel: corresp - text: SC-7(4)(c) - - - id: sc-7.4.d_obj - name: objective - properties: - - - name: label - value: SC-7(4)(d) - prose: documents each exception to the traffic flow policy with: - parts: - - - id: sc-7.4.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(d)[1] - prose: a supporting mission/business need; - - - id: sc-7.4.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(d)[2] - prose: duration of that need; - links: - - - href: #sc-7.4_smt.d - rel: corresp - text: SC-7(4)(d) - - - id: sc-7.4.e_obj - name: objective - properties: - - - name: label - value: SC-7(4)(e) - parts: - - - id: sc-7.4.e_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(4)(e)[1] - prose: defines a frequency to review exceptions to traffic flow policy; - - - id: sc-7.4.e_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(e)[2] - prose: - """ - reviews exceptions to the traffic flow policy with the organization-defined - frequency; and - """ - - - id: sc-7.4.e_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(4)(e)[3] - prose: - """ - removes traffic flow policy exceptions that are no longer supported by an - explicit mission/business need - """ - links: - - - href: #sc-7.4_smt.e - rel: corresp - text: SC-7(4)(e) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\ntraffic flow policy\n\ninformation flow control policy\n\nprocedures addressing boundary protection\n\ninformation system security architecture\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system architecture and configuration documentation\n\ninformation system configuration settings and associated documentation\n\nrecords of traffic flow policy exceptions\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for documenting and reviewing exceptions to the - traffic flow policy\n\norganizational processes for removing exceptions to the traffic flow policy\n\nautomated mechanisms implementing boundary protection capability\n\nmanaged interfaces implementing traffic flow policy - """ - - - id: sc-7.5 - class: SP800-53-enhancement - title: Deny by Default / Allow by Exception - properties: - - - name: label - value: SC-7(5) - - - name: sort-id - value: sc-07.05 - parts: - - - id: sc-7.5_smt - name: statement - prose: - """ - The information system at managed interfaces denies network communications traffic - by default and allows network communications traffic by exception (i.e., deny all, - permit by exception). - """ - - - id: sc-7.5_gdn - name: guidance - prose: - """ - This control enhancement applies to both inbound and outbound network - communications traffic. A deny-all, permit-by-exception network communications - traffic policy ensures that only those connections which are essential and - approved are allowed. - """ - - - id: sc-7.5_obj - name: objective - prose: Determine if the information system, at managed interfaces: - parts: - - - id: sc-7.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(5)[1] - prose: denies network traffic by default; and - - - id: sc-7.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(5)[2] - prose: allows network traffic by exception. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing traffic management at managed interfaces - - - id: sc-7.7 - class: SP800-53-enhancement - title: Prevent Split Tunneling for Remote Devices - properties: - - - name: label - value: SC-7(7) - - - name: sort-id - value: sc-07.07 - parts: - - - id: sc-7.7_smt - name: statement - prose: - """ - The information system, in conjunction with a remote device, prevents the device - from simultaneously establishing non-remote connections with the system and - communicating via some other connection to resources in external networks. - """ - - - id: sc-7.7_gdn - name: guidance - prose: - """ - This control enhancement is implemented within remote devices (e.g., notebook - computers) through configuration settings to disable split tunneling in those - devices, and by preventing those configuration settings from being readily - configurable by users. This control enhancement is implemented within the - information system by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and by prohibiting the - connection if the remote device is using split tunneling. Split tunneling might be - desirable by remote users to communicate with local information system resources - such as printers/file servers. However, split tunneling would in effect allow - unauthorized external connections, making the system more vulnerable to attack and - to exfiltration of organizational information. The use of VPNs for remote - connections, when adequately provisioned with appropriate security controls, may - provide the organization with sufficient assurance that it can effectively treat - such connections as non-remote connections from the confidentiality and integrity - perspective. VPNs thus provide a means for allowing non-remote communications - paths from remote devices. The use of an adequately provisioned VPN does not - eliminate the need for preventing split tunneling. - """ - - - id: sc-7.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system, in conjunction with a remote device, prevents - the device from simultaneously establishing non-remote connections with the system - and communicating via some other connection to resources in external networks. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms implementing boundary protection capability\n\nautomated mechanisms supporting/restricting non-remote connections - - - id: sc-7.8 - class: SP800-53-enhancement - title: Route Traffic to Authenticated Proxy Servers - parameters: - - - id: sc-7.8_prm_1 - label: organization-defined internal communications traffic - - - id: sc-7.8_prm_2 - label: organization-defined external networks - properties: - - - name: label - value: SC-7(8) - - - name: sort-id - value: sc-07.08 - parts: - - - id: sc-7.8_smt - name: statement - prose: - """ - The information system routes {{ sc-7.8_prm_1 }} to {{ sc-7.8_prm_2 }} through authenticated proxy servers at managed - interfaces. - """ - - - id: sc-7.8_gdn - name: guidance - prose: - """ - External networks are networks outside of organizational control. A proxy server - is a server (i.e., information system or application) that acts as an intermediary - for clients requesting information system resources (e.g., files, connections, web - pages, or services) from other organizational servers. Client requests established - through an initial connection to the proxy server are evaluated to manage - complexity and to provide additional protection by limiting direct connectivity. - Web content filtering devices are one of the most common proxy servers providing - access to the Internet. Proxy servers support logging individual Transmission - Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators - (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be - configured with organization-defined lists of authorized and unauthorized - websites. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #au-2 - rel: related - text: AU-2 - - - id: sc-7.8_obj - name: objective - prose: Determine if: - parts: - - - id: sc-7.8_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(8)[1] - prose: - """ - the organization defines internal communications traffic to be routed to - external networks; - """ - - - id: sc-7.8_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(8)[2] - prose: - """ - the organization defines external networks to which organization-defined - internal communications traffic is to be routed; and - """ - - - id: sc-7.8_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(8)[3] - prose: - """ - the information system routes organization-defined internal communications - traffic to organization-defined external networks through authenticated proxy - servers at managed interfaces. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing traffic management through authenticated - proxy servers at managed interfaces - """ - - - id: sc-7.12 - class: SP800-53-enhancement - title: Host-based Protection - parameters: - - - id: sc-7.12_prm_1 - label: organization-defined host-based boundary protection mechanisms - - - id: sc-7.12_prm_2 - label: organization-defined information system components - properties: - - - name: label - value: SC-7(12) - - - name: sort-id - value: sc-07.12 - parts: - - - id: sc-7.12_smt - name: statement - prose: The organization implements {{ sc-7.12_prm_1 }} at {{ sc-7.12_prm_2 }}. - - - id: sc-7.12_gdn - name: guidance - prose: - """ - Host-based boundary protection mechanisms include, for example, host-based - firewalls. Information system components employing host-based boundary protection - mechanisms include, for example, servers, workstations, and mobile devices. - """ - - - id: sc-7.12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(12)[1] - prose: defines host-based boundary protection mechanisms; - - - id: sc-7.12_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(12)[2] - prose: - """ - defines information system components where organization-defined host-based - boundary protection mechanisms are to be implemented; and - """ - - - id: sc-7.12_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(12)[3] - prose: - """ - implements organization-defined host-based boundary protection mechanisms at - organization-defined information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\nboundary protection hardware and software\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities\n\ninformation system users - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms implementing host-based boundary protection - capabilities - """ - - - id: sc-7.13 - class: SP800-53-enhancement - title: Isolation of Security Tools / Mechanisms / Support Components - parameters: - - - id: sc-7.13_prm_1 - label: - """ - organization-defined information security tools, mechanisms, and support - components - """ - properties: - - - name: label - value: SC-7(13) - - - name: sort-id - value: sc-07.13 - parts: - - - id: sc-7.13_smt - name: statement - prose: - """ - The organization isolates {{ sc-7.13_prm_1 }} from other internal - information system components by implementing physically separate subnetworks with - managed interfaces to other components of the system. - """ - parts: - - - id: sc-7.13_fr - name: item - title: SC-7 (13) Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-7.13_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets. - - - id: sc-7.13_gdn - name: guidance - prose: - """ - Physically separate subnetworks with managed interfaces are useful, for example, - in isolating computer network defenses from critical operational processing - networks to prevent adversaries from discovering the analysis and forensics - techniques of organizations. - """ - links: - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-7.13_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-7.13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-7(13)[1] - prose: - """ - defines information security tools, mechanisms, and support components to be - isolated from other internal information system components; and - """ - - - id: sc-7.13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-7(13)[2] - prose: - """ - isolates organization-defined information security tools, mechanisms, and - support components from other internal information system components by - implementing physically separate subnetworks with managed interfaces to other - components of the system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system hardware and software\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\nlist of security tools and support components to be isolated from other - internal information system components\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing isolation of information - security tools, mechanisms, and support components - """ - - - id: sc-7.18 - class: SP800-53-enhancement - title: Fail Secure - properties: - - - name: label - value: SC-7(18) - - - name: sort-id - value: sc-07.18 - parts: - - - id: sc-7.18_smt - name: statement - prose: - """ - The information system fails securely in the event of an operational failure of a - boundary protection device. - """ - - - id: sc-7.18_gdn - name: guidance - prose: - """ - Fail secure is a condition achieved by employing information system mechanisms to - ensure that in the event of operational failures of boundary protection devices at - managed interfaces (e.g., routers, firewalls, guards, and application gateways - residing on protected subnetworks commonly referred to as demilitarized zones), - information systems do not enter into unsecure states where intended security - properties no longer hold. Failures of boundary protection devices cannot lead to, - or cause information external to the devices to enter the devices, nor can - failures permit unauthorized information releases. - """ - links: - - - href: #cp-2 - rel: related - text: CP-2 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: sc-7.18_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system fails securely in the event of an operational - failure of a boundary protection device. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing boundary protection\n\ninformation system design documentation\n\ninformation system architecture\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with boundary protection responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing secure failure - - - id: sc-8 - class: SP800-53 - title: Transmission Confidentiality and Integrity - parameters: - - - id: sc-8_prm_1 - constraints: - - - detail: confidentiality AND integrity - properties: - - - name: label - value: SC-8 - - - name: sort-id - value: sc-08 - links: - - - href: #d715b234-9b5b-4e07-b1ed-99836727664d - rel: reference - text: FIPS Publication 140-2 - - - href: #f2dbd4ec-c413-4714-b85b-6b7184d1c195 - rel: reference - text: FIPS Publication 197 - - - href: #90c5bc98-f9c4-44c9-98b7-787422f0999c - rel: reference - text: NIST Special Publication 800-52 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - - - href: #349fe082-502d-464a-aa0c-1443c6a5cf40 - rel: reference - text: NIST Special Publication 800-113 - - - href: #a4aa9645-9a8a-4b51-90a9-e223250f9a75 - rel: reference - text: CNSS Policy 15 - - - href: #06dff0ea-3848-4945-8d91-e955ee69f05d - rel: reference - text: NSTISSI No. 7003 - parts: - - - id: sc-8_smt - name: statement - prose: - """ - The information system protects the {{ sc-8_prm_1 }} of transmitted - information. - """ - - - id: sc-8_gdn - name: guidance - prose: - """ - This control applies to both internal and external networks and all types of - information system components from which information can be transmitted (e.g., - servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile - machines). Communication paths outside the physical protection of a controlled - boundary are exposed to the possibility of interception and modification. Protecting - the confidentiality and/or integrity of organizational information can be - accomplished by physical means (e.g., by employing protected distribution systems) or - by logical means (e.g., employing encryption techniques). Organizations relying on - commercial providers offering transmission services as commodity services rather than - as fully dedicated services (i.e., services which can be highly specialized to - individual customer needs), may find it difficult to obtain the necessary assurances - regarding the implementation of needed security controls for transmission - confidentiality/integrity. In such situations, organizations determine what types of - confidentiality/integrity services are available in standard, commercial - telecommunication service packages. If it is infeasible or impractical to obtain the - necessary security controls and assurances of control effectiveness through - appropriate contracting vehicles, organizations implement appropriate compensating - security controls or explicitly accept the additional risk. - """ - links: - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #pe-4 - rel: related - text: PE-4 - - - id: sc-8_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the information system protects one or more of the following: - parts: - - - id: sc-8_obj.1 - name: objective - properties: - - - name: label - value: SC-8[1] - prose: confidentiality of transmitted information; and/or - - - id: sc-8_obj.2 - name: objective - properties: - - - name: label - value: SC-8[2] - prose: integrity of transmitted information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing transmission confidentiality - and/or integrity - """ - controls: - - - id: sc-8.1 - class: SP800-53-enhancement - title: Cryptographic or Alternate Physical Protection - parameters: - - - id: sc-8.1_prm_1 - constraints: - - - detail: prevent unauthorized disclosure of information AND detect changes to information - - - id: sc-8.1_prm_2 - label: organization-defined alternative physical safeguards - constraints: - - - detail: a hardened or alarmed carrier Protective Distribution System (PDS) - properties: - - - name: label - value: SC-8(1) - - - name: sort-id - value: sc-08.01 - parts: - - - id: sc-8.1_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to {{ sc-8.1_prm_1 }} during transmission unless otherwise protected by - {{ sc-8.1_prm_2 }}. - """ - - - id: sc-8.1_gdn - name: guidance - prose: - """ - Encrypting information for transmission protects information from unauthorized - disclosure and modification. Cryptographic mechanisms implemented to protect - information integrity include, for example, cryptographic hash functions which - have common application in digital signatures, checksums, and message - authentication codes. Alternative physical security safeguards include, for - example, protected distribution systems. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - id: sc-8.1_obj - name: objective - prose: Determine if: - parts: - - - id: sc-8.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-8(1)[1] - prose: - """ - the organization defines physical safeguards to be implemented to protect - information during transmission when cryptographic mechanisms are not - implemented; and - """ - - - id: sc-8.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-8(1)[2] - prose: - """ - the information system implements cryptographic mechanisms to do one or more of - the following during transmission unless otherwise protected by - organization-defined alternative physical safeguards: - """ - parts: - - - id: sc-8.1_obj.2.a - name: objective - properties: - - - name: label - value: SC-8(1)[2][a] - prose: prevent unauthorized disclosure of information; and/or - - - id: sc-8.1_obj.2.b - name: objective - properties: - - - name: label - value: SC-8(1)[2][b] - prose: detect changes to information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing transmission confidentiality and integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms supporting and/or implementing transmission - confidentiality and/or integrity\n\nautomated mechanisms supporting and/or implementing alternative physical - safeguards\n\norganizational processes for defining and implementing alternative physical - safeguards - """ - - - id: sc-10 - class: SP800-53 - title: Network Disconnect - parameters: - - - id: sc-10_prm_1 - label: organization-defined time period - constraints: - - - detail: no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions - properties: - - - name: label - value: SC-10 - - - name: sort-id - value: sc-10 - parts: - - - id: sc-10_smt - name: statement - prose: - """ - The information system terminates the network connection associated with a - communications session at the end of the session or after {{ sc-10_prm_1 }} of inactivity. - """ - - - id: sc-10_gdn - name: guidance - prose: - """ - This control applies to both internal and external networks. Terminating network - connections associated with communications sessions include, for example, - de-allocating associated TCP/IP address/port pairs at the operating system level, or - de-allocating networking assignments at the application level if multiple application - sessions are using a single, operating system-level network connection. Time periods - of inactivity may be established by organizations and include, for example, time - periods by type of network access or for specific network accesses. - """ - - - id: sc-10_obj - name: objective - prose: Determine if: - parts: - - - id: sc-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-10[1] - prose: - """ - the organization defines a time period of inactivity after which the information - system terminates a network connection associated with a communications session; - and - """ - - - id: sc-10_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-10[2] - prose: - """ - the information system terminates the network connection associated with a - communication session at the end of the session or after the organization-defined - time period of inactivity. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing network disconnect\n\ninformation system design documentation\n\nsecurity plan\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing network disconnect - capability - """ - - - id: sc-12 - class: SP800-53 - title: Cryptographic Key Establishment and Management - parameters: - - - id: sc-12_prm_1 - label: - """ - organization-defined requirements for key generation, distribution, storage, - access, and destruction - """ - properties: - - - name: label - value: SC-12 - - - name: sort-id - value: sc-12 - links: - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - parts: - - - id: sc-12_smt - name: statement - prose: - """ - The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with {{ sc-12_prm_1 }}. - """ - parts: - - - id: sc-12_fr - name: item - title: SC-12 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Federally approved and validated cryptography. - - - id: sc-12_gdn - name: guidance - prose: - """ - Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems. - """ - links: - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-17 - rel: related - text: SC-17 - - - id: sc-12_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-12_obj.1 - name: objective - properties: - - - name: label - value: SC-12[1] - prose: defines requirements for cryptographic key: - parts: - - - id: sc-12_obj.1.a - name: objective - properties: - - - name: label - value: SC-12[1][a] - prose: generation; - - - id: sc-12_obj.1.b - name: objective - properties: - - - name: label - value: SC-12[1][b] - prose: distribution; - - - id: sc-12_obj.1.c - name: objective - properties: - - - name: label - value: SC-12[1][c] - prose: storage; - - - id: sc-12_obj.1.d - name: objective - properties: - - - name: label - value: SC-12[1][d] - prose: access; - - - id: sc-12_obj.1.e - name: objective - properties: - - - name: label - value: SC-12[1][e] - prose: destruction; and - - - id: sc-12_obj.2 - name: objective - properties: - - - name: label - value: SC-12[2] - prose: - """ - establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ncryptographic mechanisms\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for cryptographic key establishment - and/or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing cryptographic key - establishment and management - """ - controls: - - - id: sc-12.2 - class: SP800-53-enhancement - title: Symmetric Keys - parameters: - - - id: sc-12.2_prm_1 - constraints: - - - detail: NIST FIPS-compliant - properties: - - - name: label - value: SC-12(2) - - - name: sort-id - value: sc-12.02 - parts: - - - id: sc-12.2_smt - name: statement - prose: - """ - The organization produces, controls, and distributes symmetric cryptographic keys - using {{ sc-12.2_prm_1 }} key management technology and - processes. - """ - - - id: sc-12.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization produces, controls, and distributes symmetric - cryptographic keys using one of the following: - """ - parts: - - - id: sc-12.2_obj.1 - name: objective - properties: - - - name: label - value: SC-12(2)[1] - prose: NIST FIPS-compliant key management technology and processes; or - - - id: sc-12.2_obj.2 - name: objective - properties: - - - name: label - value: SC-12(2)[2] - prose: NSA-approved key management technology and processes. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of FIPS validated cryptographic products\n\nlist of NSA-approved cryptographic products\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key - establishment or management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing symmetric cryptographic key - establishment and management - """ - - - id: sc-12.3 - class: SP800-53-enhancement - title: Asymmetric Keys - parameters: - - - id: sc-12.3_prm_1 - properties: - - - name: label - value: SC-12(3) - - - name: sort-id - value: sc-12.03 - parts: - - - id: sc-12.3_smt - name: statement - prose: - """ - The organization produces, controls, and distributes asymmetric cryptographic keys - using {{ sc-12.3_prm_1 }}. - """ - - - id: sc-12.3_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization produces, controls, and distributes asymmetric - cryptographic keys using one of the following: - """ - parts: - - - id: sc-12.3_obj.1 - name: objective - properties: - - - name: label - value: SC-12(3)[1] - prose: NSA-approved key management technology and processes; - - - id: sc-12.3_obj.2 - name: objective - properties: - - - name: label - value: SC-12(3)[2] - prose: approved PKI Class 3 certificates or prepositioned keying material; or - - - id: sc-12.3_obj.3 - name: objective - properties: - - - name: label - value: SC-12(3)[3] - prose: - """ - approved PKI Class 3 or Class 4 certificates and hardware security tokens that - protect the user’s private key. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic key establishment and management\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nlist of NSA-approved cryptographic products\n\nlist of approved PKI Class 3 and Class 4 certificates\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic key - establishment or management\n\norganizational personnel with responsibilities for PKI certificates - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing asymmetric cryptographic - key establishment and management - """ - - - id: sc-13 - class: SP800-53 - title: Cryptographic Protection - parameters: - - - id: sc-13_prm_1 - label: - """ - organization-defined cryptographic uses and type of cryptography required for - each use - """ - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SC-13 - - - name: sort-id - value: sc-13 - links: - - - href: #39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - rel: reference - text: FIPS Publication 140 - - - href: #6a1041fc-054e-4230-946b-2e6f4f3731bb - rel: reference - text: http://csrc.nist.gov/cryptval - - - href: #9b97ed27-3dd6-4f9a-ade5-1b43e9669794 - rel: reference - text: http://www.cnss.gov - parts: - - - id: sc-13_smt - name: statement - prose: - """ - The information system implements {{ sc-13_prm_1 }} in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. - """ - - - id: sc-13_gdn - name: guidance - prose: - """ - Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography). - """ - links: - - - href: #ac-2 - rel: related - text: AC-2 - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-7 - rel: related - text: AC-7 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-10 - rel: related - text: AU-10 - - - href: #cm-11 - rel: related - text: CM-11 - - - href: #cp-9 - rel: related - text: CP-9 - - - href: #ia-3 - rel: related - text: IA-3 - - - href: #ia-7 - rel: related - text: IA-7 - - - href: #ma-4 - rel: related - text: MA-4 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - href: #mp-5 - rel: related - text: MP-5 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-28 - rel: related - text: SC-28 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sc-13_obj - name: objective - prose: Determine if: - parts: - - - id: sc-13_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-13[1] - prose: the organization defines cryptographic uses; and - - - id: sc-13_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-13[2] - prose: the organization defines the type of cryptography required for each use; and - - - id: sc-13_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-13[3] - prose: - """ - the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing cryptographic protection\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic module validation certificates\n\nlist of FIPS validated cryptographic modules\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for cryptographic protection - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing cryptographic protection - - - id: sc-15 - class: SP800-53 - title: Collaborative Computing Devices - parameters: - - - id: sc-15_prm_1 - label: organization-defined exceptions where remote activation is to be allowed - constraints: - - - detail: no exceptions - properties: - - - name: label - value: SC-15 - - - name: sort-id - value: sc-15 - parts: - - - id: sc-15_smt - name: statement - prose: The information system: - parts: - - - id: sc-15_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Prohibits remote activation of collaborative computing devices with the following - exceptions: {{ sc-15_prm_1 }}; and - """ - - - id: sc-15_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides an explicit indication of use to users physically present at the - devices. - """ - - - id: sc-15_fr - name: item - title: SC-15 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-15_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use. - - - id: sc-15_gdn - name: guidance - prose: - """ - Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated. - """ - links: - - - href: #ac-21 - rel: related - text: AC-21 - - - id: sc-15_obj - name: objective - prose: Determine if: - parts: - - - id: sc-15.a_obj - name: objective - properties: - - - name: label - value: SC-15(a) - parts: - - - id: sc-15.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-15(a)[1] - prose: - """ - the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed; - """ - - - id: sc-15.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-15(a)[2] - prose: - """ - the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and - """ - - - id: sc-15.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-15(b) - prose: - """ - the information system provides an explicit indication of use to users physically - present at the devices. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing collaborative computing\n\naccess control policy and procedures\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer\n\norganizational personnel with responsibilities for managing collaborative - computing devices - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices\n\nautomated mechanisms providing an indication of use of collaborative computing - devices - """ - - - id: sc-17 - class: SP800-53 - title: Public Key Infrastructure Certificates - parameters: - - - id: sc-17_prm_1 - label: organization-defined certificate policy - properties: - - - name: label - value: SC-17 - - - name: sort-id - value: sc-17 - links: - - - href: #58ad6f27-af99-429f-86a8-8bb767b014b9 - rel: reference - text: OMB Memorandum 05-24 - - - href: #8f174e91-844e-4cf1-a72a-45c119a3a8dd - rel: reference - text: NIST Special Publication 800-32 - - - href: #644f44a9-a2de-4494-9c04-cd37fba45471 - rel: reference - text: NIST Special Publication 800-63 - parts: - - - id: sc-17_smt - name: statement - prose: - """ - The organization issues public key certificates under an {{ sc-17_prm_1 }} or obtains public key certificates from an approved - service provider. - """ - - - id: sc-17_gdn - name: guidance - prose: - """ - For all certificates, organizations manage information system trust stores to ensure - only approved trust anchors are in the trust stores. This control addresses both - certificates with visibility external to organizational information systems and - certificates related to the internal operations of systems, for example, - application-specific time services. - """ - links: - - - href: #sc-12 - rel: related - text: SC-12 - - - id: sc-17_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-17_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-17[1] - prose: defines a certificate policy for issuing public key certificates; - - - id: sc-17_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-17[2] - prose: issues public key certificates: - parts: - - - id: sc-17_obj.2.a - name: objective - properties: - - - name: label - value: SC-17[2][a] - prose: under an organization-defined certificate policy: or - - - id: sc-17_obj.2.b - name: objective - properties: - - - name: label - value: SC-17[2][b] - prose: obtains public key certificates from an approved service provider. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing public key infrastructure certificates\n\npublic key certificate policy or policies\n\npublic key issuing process\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for issuing public key - certificates\n\nservice providers - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing the management of public key - infrastructure certificates - """ - - - id: sc-18 - class: SP800-53 - title: Mobile Code - properties: - - - name: label - value: SC-18 - - - name: sort-id - value: sc-18 - links: - - - href: #e716cd51-d1d5-4c6a-967a-22e9fbbc42f1 - rel: reference - text: NIST Special Publication 800-28 - - - href: #e6522953-6714-435d-a0d3-140df554c186 - rel: reference - text: DoD Instruction 8552.01 - parts: - - - id: sc-18_smt - name: statement - prose: The organization: - parts: - - - id: sc-18_smt.a - name: item - properties: - - - name: label - value: a. - prose: Defines acceptable and unacceptable mobile code and mobile code technologies; - - - id: sc-18_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Establishes usage restrictions and implementation guidance for acceptable mobile - code and mobile code technologies; and - """ - - - id: sc-18_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Authorizes, monitors, and controls the use of mobile code within the information - system. - """ - - - id: sc-18_gdn - name: guidance - prose: - """ - Decisions regarding the employment of mobile code within organizational information - systems are based on the potential for the code to cause damage to the systems if - used maliciously. Mobile code technologies include, for example, Java, JavaScript, - ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage - restrictions and implementation guidance apply to both the selection and use of - mobile code installed on servers and mobile code downloaded and executed on - individual workstations and devices (e.g., smart phones). Mobile code policy and - procedures address preventing the development, acquisition, or introduction of - unacceptable mobile code within organizational information systems. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #cm-2 - rel: related - text: CM-2 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #si-3 - rel: related - text: SI-3 - - - id: sc-18_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-18.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-18(a) - prose: defines acceptable and unacceptable mobile code and mobile code technologies; - - - id: sc-18.b_obj - name: objective - properties: - - - name: label - value: SC-18(b) - parts: - - - id: sc-18.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-18(b)[1] - prose: - """ - establishes usage restrictions for acceptable mobile code and mobile code - technologies; - """ - - - id: sc-18.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-18(b)[2] - prose: - """ - establishes implementation guidance for acceptable mobile code and mobile code - technologies; - """ - - - id: sc-18.c_obj - name: objective - properties: - - - name: label - value: SC-18(c) - parts: - - - id: sc-18.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-18(c)[1] - prose: authorizes the use of mobile code within the information system; - - - id: sc-18.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-18(c)[2] - prose: monitors the use of mobile code within the information system; and - - - id: sc-18.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-18(c)[3] - prose: controls the use of mobile code within the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing mobile code\n\nmobile code usage restrictions, mobile code implementation policy and - procedures\n\nlist of acceptable mobile code and mobile code technologies\n\nlist of unacceptable mobile code and mobile technologies\n\nauthorization records\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing mobile code - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for controlling, authorizing, monitoring, and restricting - mobile code\n\nautomated mechanisms supporting and/or implementing the management of mobile - code\n\nautomated mechanisms supporting and/or implementing the monitoring of mobile - code - """ - - - id: sc-19 - class: SP800-53 - title: Voice Over Internet Protocol - properties: - - - name: label - value: SC-19 - - - name: sort-id - value: sc-19 - links: - - - href: #7783f3e7-09b3-478b-9aa2-4a76dfd0ea90 - rel: reference - text: NIST Special Publication 800-58 - parts: - - - id: sc-19_smt - name: statement - prose: The organization: - parts: - - - id: sc-19_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Establishes usage restrictions and implementation guidance for Voice over Internet - Protocol (VoIP) technologies based on the potential to cause damage to the - information system if used maliciously; and - """ - - - id: sc-19_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Authorizes, monitors, and controls the use of VoIP within the information - system. - """ - - - id: sc-19_gdn - name: guidance - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-15 - rel: related - text: SC-15 - - - id: sc-19_obj - name: objective - prose: Determine if the organization: - parts: - - - id: sc-19.a_obj - name: objective - properties: - - - name: label - value: SC-19(a) - parts: - - - id: sc-19.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-19(a)[1] - prose: - """ - establishes usage restrictions for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously; - """ - - - id: sc-19.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-19(a)[2] - prose: - """ - establishes implementation guidance for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously; - """ - - - id: sc-19.b_obj - name: objective - properties: - - - name: label - value: SC-19(b) - parts: - - - id: sc-19.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-19(b)[1] - prose: authorizes the use of VoIP within the information system; - - - id: sc-19.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-19(b)[2] - prose: monitors the use of VoIP within the information system; and - - - id: sc-19.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-19(b)[3] - prose: controls the use of VoIP within the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing VoIP\n\nVoIP usage restrictions\n\nVoIP implementation guidance\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system monitoring records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing VoIP - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational process for authorizing, monitoring, and controlling VoIP\n\nautomated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling VoIP - """ - - - id: sc-20 - class: SP800-53 - title: Secure Name / Address Resolution Service (authoritative Source) - properties: - - - name: label - value: SC-20 - - - name: sort-id - value: sc-20 - links: - - - href: #28115a56-da6b-4d44-b1df-51dd7f048a3e - rel: reference - text: OMB Memorandum 08-23 - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-20_smt - name: statement - prose: The information system: - parts: - - - id: sc-20_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and - """ - - - id: sc-20_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace. - """ - - - id: sc-20_gdn - name: guidance - prose: - """ - This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data. - """ - links: - - - href: #au-10 - rel: related - text: AU-10 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-12 - rel: related - text: SC-12 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-20_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-20.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-20(a) - prose: - """ - provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries; - """ - - - id: sc-20.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-20(b) - prose: - """ - provides the means to, when operating as part of a distributed, hierarchical - namespace: - """ - parts: - - - id: sc-20.b_obj.1 - name: objective - properties: - - - name: label - value: SC-20(b)[1] - prose: indicate the security status of child zones; and - - - id: sc-20.b_obj.2 - name: objective - properties: - - - name: label - value: SC-20(b)[2] - prose: - """ - enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services). - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (authoritative - source)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing secure name/address resolution - service - """ - - - id: sc-21 - class: SP800-53 - title: Secure Name / Address Resolution Service (recursive or Caching Resolver) - properties: - - - name: label - value: SC-21 - - - name: sort-id - value: sc-21 - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-21_smt - name: statement - prose: - """ - The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources. - """ - - - id: sc-21_gdn - name: guidance - prose: - """ - Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data. - """ - links: - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-22 - rel: related - text: SC-22 - - - id: sc-21_obj - name: objective - prose: Determine if the information system: - parts: - - - id: sc-21_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-21[1] - prose: - """ - requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-21[2] - prose: - """ - requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources; - """ - - - id: sc-21_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-21[3] - prose: - """ - performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and - """ - - - id: sc-21_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-21[4] - prose: - """ - performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing secure name/address resolution service (recursive or caching - resolver)\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services - """ - - - id: sc-22 - class: SP800-53 - title: Architecture and Provisioning for Name / Address Resolution Service - properties: - - - name: label - value: SC-22 - - - name: sort-id - value: sc-22 - links: - - - href: #6af1e841-672c-46c4-b121-96f603d04be3 - rel: reference - text: NIST Special Publication 800-81 - parts: - - - id: sc-22_smt - name: statement - prose: - """ - The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation. - """ - - - id: sc-22_gdn - name: guidance - prose: - """ - Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists). - """ - links: - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-20 - rel: related - text: SC-20 - - - href: #sc-21 - rel: related - text: SC-21 - - - href: #sc-24 - rel: related - text: SC-24 - - - id: sc-22_obj - name: objective - prose: - """ - Determine if the information systems that collectively provide name/address - resolution service for an organization: - """ - parts: - - - id: sc-22_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-22[1] - prose: are fault tolerant; and - - - id: sc-22_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-22[2] - prose: implement internal/external role separation. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing architecture and provisioning for name/address resolution - service\n\naccess control policy and procedures\n\ninformation system design documentation\n\nassessment results from independent, testing organizations\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel with responsibilities for managing DNS - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation - """ - - - id: sc-23 - class: SP800-53 - title: Session Authenticity - properties: - - - name: label - value: SC-23 - - - name: sort-id - value: sc-23 - links: - - - href: #90c5bc98-f9c4-44c9-98b7-787422f0999c - rel: reference - text: NIST Special Publication 800-52 - - - href: #99f331f2-a9f0-46c2-9856-a3cbb9b89442 - rel: reference - text: NIST Special Publication 800-77 - - - href: #1ebdf782-d95d-4a7b-8ec7-ee860951eced - rel: reference - text: NIST Special Publication 800-95 - parts: - - - id: sc-23_smt - name: statement - prose: The information system protects the authenticity of communications sessions. - - - id: sc-23_gdn - name: guidance - prose: - """ - This control addresses communications protection at the session, versus packet level - (e.g., sessions in service-oriented architectures providing web-based services) and - establishes grounds for confidence at both ends of communications sessions in ongoing - identities of other parties and in the validity of information transmitted. - Authenticity protection includes, for example, protecting against man-in-the-middle - attacks/session hijacking and the insertion of false information into sessions. - """ - links: - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-10 - rel: related - text: SC-10 - - - href: #sc-11 - rel: related - text: SC-11 - - - id: sc-23_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system protects the authenticity of communications - sessions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing session authenticity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Automated mechanisms supporting and/or implementing session authenticity - - - id: sc-28 - class: SP800-53 - title: Protection of Information at Rest - parameters: - - - id: sc-28_prm_1 - constraints: - - - detail: confidentiality AND integrity - - - id: sc-28_prm_2 - label: organization-defined information at rest - properties: - - - name: label - value: SC-28 - - - name: sort-id - value: sc-28 - links: - - - href: #81f09e01-d0b0-4ae2-aa6a-064ed9950070 - rel: reference - text: NIST Special Publication 800-56 - - - href: #a6c774c0-bf50-4590-9841-2a5c1c91ac6f - rel: reference - text: NIST Special Publication 800-57 - - - href: #3cac5e7b-9ebf-4bbb-9af5-ae032de78e8e - rel: reference - text: NIST Special Publication 800-111 - parts: - - - id: sc-28_smt - name: statement - prose: The information system protects the {{ sc-28_prm_1 }} of {{ sc-28_prm_2 }}. - parts: - - - id: sc-28_fr - name: item - title: SC-28 Additional FedRAMP Requirements and Guidance - parts: - - - id: sc-28_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The organization supports the capability to use cryptographic mechanisms to protect information at rest. - - - id: sc-28_gdn - name: guidance - prose: - """ - This control addresses the confidentiality and integrity of information at rest and - covers user information and system information. Information at rest refers to the - state of information when it is located on storage devices as specific components of - information systems. System-related information requiring protection includes, for - example, configurations or rule sets for firewalls, gateways, intrusion - detection/prevention systems, filtering routers, and authenticator content. - Organizations may employ different mechanisms to achieve confidentiality and - integrity protections, including the use of cryptographic mechanisms and file share - scanning. Integrity protection can be achieved, for example, by implementing - Write-Once-Read-Many (WORM) technologies. Organizations may also employ other - security controls including, for example, secure off-line storage in lieu of online - storage when adequate protection of information at rest cannot otherwise be achieved - and/or continuous monitoring to identify malicious code at rest. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: sc-28_obj - name: objective - prose: Determine if: - parts: - - - id: sc-28_obj.1 - name: objective - properties: - - - name: label - value: SC-28[1] - prose: - """ - the organization defines information at rest requiring one or more of the - following: - """ - parts: - - - id: sc-28_obj.1.a - name: objective - properties: - - - name: label - value: SC-28[1][a] - prose: confidentiality protection; and/or - - - id: sc-28_obj.1.b - name: objective - properties: - - - name: label - value: SC-28[1][b] - prose: integrity protection; - - - id: sc-28_obj.2 - name: objective - properties: - - - name: label - value: SC-28[2] - prose: the information system protects: - parts: - - - id: sc-28_obj.2.a - name: objective - properties: - - - name: label - value: SC-28[2][a] - prose: the confidentiality of organization-defined information at rest; and/or - - - id: sc-28_obj.2.b - name: objective - properties: - - - name: label - value: SC-28[2][b] - prose: the integrity of organization-defined information at rest. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and communications protection policy\n\nprocedures addressing protection of information at rest\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\nlist of information at rest requiring confidentiality and integrity - protections\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing confidentiality and integrity - protections for information at rest - """ - controls: - - - id: sc-28.1 - class: SP800-53-enhancement - title: Cryptographic Protection - parameters: - - - id: sc-28.1_prm_1 - label: organization-defined information - - - id: sc-28.1_prm_2 - label: organization-defined information system components - properties: - - - name: label - value: SC-28(1) - - - name: sort-id - value: sc-28.01 - parts: - - - id: sc-28.1_smt - name: statement - prose: - """ - The information system implements cryptographic mechanisms to prevent unauthorized - disclosure and modification of {{ sc-28.1_prm_1 }} on {{ sc-28.1_prm_2 }}. - """ - - - id: sc-28.1_gdn - name: guidance - prose: - """ - Selection of cryptographic mechanisms is based on the need to protect the - confidentiality and integrity of organizational information. The strength of - mechanism is commensurate with the security category and/or classification of the - information. This control enhancement applies to significant concentrations of - digital media in organizational areas designated for media storage and also to - limited quantities of media generally associated with information system - components in operational environments (e.g., portable storage devices, mobile - devices). Organizations have the flexibility to either encrypt all information on - storage devices (i.e., full disk encryption) or encrypt specific data structures - (e.g., files, records, or fields). Organizations employing cryptographic - mechanisms to protect information at rest also consider cryptographic key - management solutions. - """ - links: - - - href: #ac-19 - rel: related - text: AC-19 - - - href: #sc-12 - rel: related - text: SC-12 - - - id: sc-28.1_obj - name: objective - prose: Determine if: - parts: - - - id: sc-28.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-28(1)[1] - prose: the organization defines information requiring cryptographic protection; - - - id: sc-28.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SC-28(1)[2] - prose: - """ - the organization defines information system components with - organization-defined information requiring cryptographic protection; and - """ - - - id: sc-28.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SC-28(1)[3] - prose: - """ - the information system employs cryptographic mechanisms to prevent unauthorized - disclosure and modification of organization-defined information on - organization-defined information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and communications protection policy\n\nprocedures addressing protection of information at rest\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ncryptographic mechanisms and associated configuration documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Cryptographic mechanisms implementing confidentiality and integrity protections - for information at rest - """ - - - id: sc-39 - class: SP800-53 - title: Process Isolation - properties: - - - name: label - value: SC-39 - - - name: sort-id - value: sc-39 - parts: - - - id: sc-39_smt - name: statement - prose: - """ - The information system maintains a separate execution domain for each executing - process. - """ - - - id: sc-39_gdn - name: guidance - prose: - """ - Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-6 - rel: related - text: AC-6 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-5 - rel: related - text: SA-5 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sc-2 - rel: related - text: SC-2 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: sc-39_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system maintains a separate execution domain for each - executing process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Information system design documentation\n\ninformation system architecture\n\nindependent verification and validation documentation\n\ntesting and evaluation documentation, other relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Information system developers/integrators\n\ninformation system security architect - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing separate execution domains for - each executing process - """ - - - id: si - class: family - title: System and Information Integrity - controls: - - - id: si-1 - class: SP800-53 - title: System and Information Integrity Policy and Procedures - parameters: - - - id: si-1_prm_1 - label: organization-defined personnel or roles - - - id: si-1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least every 3 years - - - id: si-1_prm_3 - label: organization-defined frequency - constraints: - - - detail: at least annually - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-1 - - - name: sort-id - value: si-01 - links: - - - href: #5c201b63-0768-417b-ac22-3f014e3941b2 - rel: reference - text: NIST Special Publication 800-12 - - - href: #9cb3d8fe-2127-48ba-821e-cdd2d7aee921 - rel: reference - text: NIST Special Publication 800-100 - parts: - - - id: si-1_smt - name: statement - prose: The organization: - parts: - - - id: si-1_smt.a - name: item - properties: - - - name: label - value: a. - prose: Develops, documents, and disseminates to {{ si-1_prm_1 }}: - parts: - - - id: si-1_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and - """ - - - id: si-1_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and - """ - - - id: si-1_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reviews and updates the current: - parts: - - - id: si-1_smt.b.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - System and information integrity policy {{ si-1_prm_2 }}; - and - """ - - - id: si-1_smt.b.2 - name: item - properties: - - - name: label - value: 2. - prose: System and information integrity procedures {{ si-1_prm_3 }}. - - - id: si-1_gdn - name: guidance - prose: - """ - This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures. - """ - links: - - - href: #pm-9 - rel: related - text: PM-9 - - - id: si-1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-1.a_obj - name: objective - properties: - - - name: label - value: SI-1(a) - parts: - - - id: si-1.a.1_obj - name: objective - properties: - - - name: label - value: SI-1(a)(1) - parts: - - - id: si-1.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(1)[1] - prose: - """ - develops and documents a system and information integrity policy that - addresses: - """ - parts: - - - id: si-1.a.1_obj.1.a - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][a] - prose: purpose; - - - id: si-1.a.1_obj.1.b - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][b] - prose: scope; - - - id: si-1.a.1_obj.1.c - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][c] - prose: roles; - - - id: si-1.a.1_obj.1.d - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][d] - prose: responsibilities; - - - id: si-1.a.1_obj.1.e - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][e] - prose: management commitment; - - - id: si-1.a.1_obj.1.f - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][f] - prose: coordination among organizational entities; - - - id: si-1.a.1_obj.1.g - name: objective - properties: - - - name: label - value: SI-1(a)(1)[1][g] - prose: compliance; - - - id: si-1.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(1)[2] - prose: - """ - defines personnel or roles to whom the system and information integrity - policy is to be disseminated; - """ - - - id: si-1.a.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-1(a)(1)[3] - prose: - """ - disseminates the system and information integrity policy to - organization-defined personnel or roles; - """ - - - id: si-1.a.2_obj - name: objective - properties: - - - name: label - value: SI-1(a)(2) - parts: - - - id: si-1.a.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(2)[1] - prose: - """ - develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls; - """ - - - id: si-1.a.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(a)(2)[2] - prose: - """ - defines personnel or roles to whom the procedures are to be - disseminated; - """ - - - id: si-1.a.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-1(a)(2)[3] - prose: disseminates the procedures to organization-defined personnel or roles; - - - id: si-1.b_obj - name: objective - properties: - - - name: label - value: SI-1(b) - parts: - - - id: si-1.b.1_obj - name: objective - properties: - - - name: label - value: SI-1(b)(1) - parts: - - - id: si-1.b.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(1)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity policy; - """ - - - id: si-1.b.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(1)[2] - prose: - """ - reviews and updates the current system and information integrity policy with - the organization-defined frequency; - """ - - - id: si-1.b.2_obj - name: objective - properties: - - - name: label - value: SI-1(b)(2) - parts: - - - id: si-1.b.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(2)[1] - prose: - """ - defines the frequency to review and update the current system and - information integrity procedures; and - """ - - - id: si-1.b.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-1(b)(2)[2] - prose: - """ - reviews and updates the current system and information integrity procedures - with the organization-defined frequency. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy and procedures\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with system and information integrity - responsibilities\n\norganizational personnel with information security responsibilities - """ - - - id: si-2 - class: SP800-53 - title: Flaw Remediation - parameters: - - - id: si-2_prm_1 - label: organization-defined time period - constraints: - - - detail: within 30 days of release of updates - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-2 - - - name: sort-id - value: si-02 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - - - href: #080f8068-5e3e-435e-9790-d22ba4722693 - rel: reference - text: NIST Special Publication 800-128 - parts: - - - id: si-2_smt - name: statement - prose: The organization: - parts: - - - id: si-2_smt.a - name: item - properties: - - - name: label - value: a. - prose: Identifies, reports, and corrects information system flaws; - - - id: si-2_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation; - """ - - - id: si-2_smt.c - name: item - properties: - - - name: label - value: c. - prose: Installs security-relevant software and firmware updates within {{ si-2_prm_1 }} of the release of the updates; and - - - id: si-2_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Incorporates flaw remediation into the organizational configuration management - process. - """ - - - id: si-2_gdn - name: guidance - prose: - """ - Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures. - """ - links: - - - href: #ca-2 - rel: related - text: CA-2 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #cm-5 - rel: related - text: CM-5 - - - href: #cm-8 - rel: related - text: CM-8 - - - href: #ma-2 - rel: related - text: MA-2 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sa-10 - rel: related - text: SA-10 - - - href: #sa-11 - rel: related - text: SA-11 - - - href: #si-11 - rel: related - text: SI-11 - - - id: si-2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.a_obj - name: objective - properties: - - - name: label - value: SI-2(a) - parts: - - - id: si-2.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[1] - prose: identifies information system flaws; - - - id: si-2.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[2] - prose: reports information system flaws; - - - id: si-2.a_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(a)[3] - prose: corrects information system flaws; - - - id: si-2.b_obj - name: objective - properties: - - - name: label - value: SI-2(b) - parts: - - - id: si-2.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(b)[1] - prose: - """ - tests software updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(b)[2] - prose: - """ - tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation; - """ - - - id: si-2.c_obj - name: objective - properties: - - - name: label - value: SI-2(c) - parts: - - - id: si-2.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(c)[1] - prose: - """ - defines the time period within which to install security-relevant software - updates after the release of the updates; - """ - - - id: si-2.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(c)[2] - prose: - """ - defines the time period within which to install security-relevant firmware - updates after the release of the updates; - """ - - - id: si-2.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(c)[3] - prose: - """ - installs software updates within the organization-defined time period of the - release of the updates; - """ - - - id: si-2.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(c)[4] - prose: - """ - installs firmware updates within the organization-defined time period of the - release of the updates; and - """ - - - id: si-2.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(d) - prose: - """ - incorporates flaw remediation into the organizational configuration management - process. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing flaw remediation\n\nprocedures addressing configuration management\n\nlist of flaws and vulnerabilities potentially affecting the information system\n\nlist of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)\n\ntest results from the installation of software and firmware updates to correct - information system flaws\n\ninstallation/change control records for security-relevant software and firmware - updates\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for identifying, reporting, and correcting information - system flaws\n\norganizational process for installing software and firmware updates\n\nautomated mechanisms supporting and/or implementing reporting, and correcting - information system flaws\n\nautomated mechanisms supporting and/or implementing testing software and firmware - updates - """ - controls: - - - id: si-2.2 - class: SP800-53-enhancement - title: Automated Flaw Remediation Status - parameters: - - - id: si-2.2_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-2(2) - - - name: sort-id - value: si-02.02 - parts: - - - id: si-2.2_smt - name: statement - prose: - """ - The organization employs automated mechanisms {{ si-2.2_prm_1 }} to - determine the state of information system components with regard to flaw - remediation. - """ - - - id: si-2.2_gdn - name: guidance - links: - - - href: #cm-6 - rel: related - text: CM-6 - - - href: #si-4 - rel: related - text: SI-4 - - - id: si-2.2_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.2_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(2)[1] - prose: - """ - defines a frequency to employ automated mechanisms to determine the state of - information system components with regard to flaw remediation; and - """ - - - id: si-2.2_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(2)[2] - prose: - """ - employs automated mechanisms with the organization-defined frequency to - determine the state of information system components with regard to flaw - remediation. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing flaw remediation\n\nautomated mechanisms supporting centralized management of flaw remediation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms used to determine the state of information system - components with regard to flaw remediation - """ - - - id: si-2.3 - class: SP800-53-enhancement - title: Time to Remediate Flaws / Benchmarks for Corrective Actions - parameters: - - - id: si-2.3_prm_1 - label: organization-defined benchmarks - properties: - - - name: label - value: SI-2(3) - - - name: sort-id - value: si-02.03 - parts: - - - id: si-2.3_smt - name: statement - prose: The organization: - parts: - - - id: si-2.3_smt.a - name: item - properties: - - - name: label - value: (a) - prose: Measures the time between flaw identification and flaw remediation; and - - - id: si-2.3_smt.b - name: item - properties: - - - name: label - value: (b) - prose: - """ - Establishes {{ si-2.3_prm_1 }} for taking corrective - actions. - """ - - - id: si-2.3_gdn - name: guidance - prose: - """ - This control enhancement requires organizations to determine the current time it - takes on the average to correct information system flaws after such flaws have - been identified, and subsequently establish organizational benchmarks (i.e., time - frames) for taking corrective actions. Benchmarks can be established by type of - flaw and/or severity of the potential vulnerability if the flaw can be - exploited. - """ - - - id: si-2.3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-2.3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-2(3)(a) - prose: measures the time between flaw identification and flaw remediation; - links: - - - href: #si-2.3_smt.a - rel: corresp - text: SI-2(3)(a) - - - id: si-2.3.b_obj - name: objective - properties: - - - name: label - value: SI-2(3)(b) - parts: - - - id: si-2.3.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(3)(b)[1] - prose: defines benchmarks for taking corrective actions; and - - - id: si-2.3.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-2(3)(b)[2] - prose: - """ - establishes organization-defined benchmarks for taking corrective - actions. - """ - links: - - - href: #si-2.3_smt.b - rel: corresp - text: SI-2(3)(b) - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing flaw remediation\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of benchmarks for taking corrective action on flaws identified\n\nrecords providing time stamps of flaw identification and subsequent flaw - remediation activities\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for flaw remediation - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for identifying, reporting, and correcting information - system flaws\n\nautomated mechanisms used to measure the time between flaw identification and - flaw remediation - """ - - - id: si-3 - class: SP800-53 - title: Malicious Code Protection - parameters: - - - id: si-3_prm_1 - label: organization-defined frequency - constraints: - - - detail: at least weekly - - - id: si-3_prm_2 - constraints: - - - detail: to include endpoints - - - id: si-3_prm_3 - constraints: - - - detail: to include alerting administrator or defined security personnel - - - id: si-3_prm_4 - depends-on: si-3_prm_3 - label: organization-defined action - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-3 - - - name: sort-id - value: si-03 - links: - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - parts: - - - id: si-3_smt - name: statement - prose: The organization: - parts: - - - id: si-3_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code; - """ - - - id: si-3_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures; - """ - - - id: si-3_smt.c - name: item - properties: - - - name: label - value: c. - prose: Configures malicious code protection mechanisms to: - parts: - - - id: si-3_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Perform periodic scans of the information system {{ si-3_prm_1 }} and real-time scans of files from external sources at {{ si-3_prm_2 }} as the files are downloaded, opened, or executed in - accordance with organizational security policy; and - """ - - - id: si-3_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - - {{ si-3_prm_3 }} in response to malicious code detection; - and - """ - - - id: si-3_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system. - """ - - - id: si-3_gdn - name: guidance - prose: - """ - Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files. - """ - links: - - - href: #cm-3 - rel: related - text: CM-3 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #sa-4 - rel: related - text: SA-4 - - - href: #sa-8 - rel: related - text: SA-8 - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sa-13 - rel: related - text: SA-13 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-44 - rel: related - text: SC-44 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-4 - rel: related - text: SI-4 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-3_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-3.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(a) - prose: - """ - employs malicious code protection mechanisms to detect and eradicate malicious - code at information system: - """ - parts: - - - id: si-3.a_obj.1 - name: objective - properties: - - - name: label - value: SI-3(a)[1] - prose: entry points; - - - id: si-3.a_obj.2 - name: objective - properties: - - - name: label - value: SI-3(a)[2] - prose: exit points; - - - id: si-3.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(b) - prose: - """ - updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1); - """ - - - id: si-3.c_obj - name: objective - properties: - - - name: label - value: SI-3(c) - parts: - - - id: si-3.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-3(c)[1] - prose: - """ - defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system; - """ - - - id: si-3.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-3(c)[2] - prose: - """ - defines action to be initiated by malicious protection mechanisms in response - to malicious code detection; - """ - - - id: si-3.c_obj.3 - name: objective - properties: - - - name: label - value: SI-3(c)[3] - parts: - - - id: si-3.c.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(c)[3](1) - prose: configures malicious code protection mechanisms to: - parts: - - - id: si-3.c.1_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[a] - prose: - """ - perform periodic scans of the information system with the - organization-defined frequency; - """ - - - id: si-3.c.1_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](1)[b] - prose: - """ - perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy; - """ - - - id: si-3.c.2_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(c)[3](2) - prose: - """ - configures malicious code protection mechanisms to do one or more of the - following: - """ - parts: - - - id: si-3.c.2_obj.3.a - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[a] - prose: block malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.b - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[b] - prose: quarantine malicious code in response to malicious code detection; - - - id: si-3.c.2_obj.3.c - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[c] - prose: - """ - send alert to administrator in response to malicious code detection; - and/or - """ - - - id: si-3.c.2_obj.3.d - name: objective - properties: - - - name: label - value: SI-3(c)[3](2)[d] - prose: - """ - initiate organization-defined action in response to malicious code - detection; - """ - - - id: si-3.d_obj - name: objective - properties: - - - name: label - value: SI-3(d) - parts: - - - id: si-3.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(d)[1] - prose: - """ - addresses the receipt of false positives during malicious code detection and - eradication; and - """ - - - id: si-3.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-3(d)[2] - prose: - """ - addresses the resulting potential impact on the availability of the information - system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nconfiguration management policy and procedures\n\nprocedures addressing malicious code protection\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nscan results from malicious code protection mechanisms\n\nrecord of actions initiated by malicious code protection mechanisms in response to - malicious code detection\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection\n\norganizational personnel with configuration management responsibility - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for employing, updating, and configuring malicious code - protection mechanisms\n\norganizational process for addressing false positives and resulting potential - impact\n\nautomated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms\n\nautomated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions - """ - controls: - - - id: si-3.1 - class: SP800-53-enhancement - title: Central Management - properties: - - - name: label - value: SI-3(1) - - - name: sort-id - value: si-03.01 - parts: - - - id: si-3.1_smt - name: statement - prose: The organization centrally manages malicious code protection mechanisms. - - - id: si-3.1_gdn - name: guidance - prose: - """ - Central management is the organization-wide management and implementation of - malicious code protection mechanisms. Central management includes planning, - implementing, assessing, authorizing, and monitoring the organization-defined, - centrally managed flaw malicious code protection security controls. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #si-8 - rel: related - text: SI-8 - - - id: si-3.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization centrally manages malicious code protection - mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing malicious code protection\n\nautomated mechanisms supporting centralized management of malicious code - protection mechanisms\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for central management of malicious code protection - mechanisms\n\nautomated mechanisms supporting and/or implementing central management of - malicious code protection mechanisms - """ - - - id: si-3.2 - class: SP800-53-enhancement - title: Automatic Updates - properties: - - - name: label - value: SI-3(2) - - - name: sort-id - value: si-03.02 - parts: - - - id: si-3.2_smt - name: statement - prose: - """ - The information system automatically updates malicious code protection - mechanisms. - """ - - - id: si-3.2_gdn - name: guidance - prose: - """ - Malicious code protection mechanisms include, for example, signature definitions. - Due to information system integrity and availability concerns, organizations give - careful consideration to the methodology used to carry out automatic updates. - """ - links: - - - href: #si-8 - rel: related - text: SI-8 - - - id: si-3.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system automatically updates malicious code - protection mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing malicious code protection\n\nautomated mechanisms supporting centralized management of malicious code - protection mechanisms\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing automatic updates to - malicious code protection capability - """ - - - id: si-3.7 - class: SP800-53-enhancement - title: Nonsignature-based Detection - properties: - - - name: label - value: SI-3(7) - - - name: sort-id - value: si-03.07 - parts: - - - id: si-3.7_smt - name: statement - prose: - """ - The information system implements nonsignature-based malicious code detection - mechanisms. - """ - - - id: si-3.7_gdn - name: guidance - prose: - """ - Nonsignature-based detection mechanisms include, for example, the use of - heuristics to detect, analyze, and describe the characteristics or behavior of - malicious code and to provide safeguards against malicious code for which - signatures do not yet exist or for which existing signatures may not be effective. - This includes polymorphic malicious code (i.e., code that changes signatures when - it replicates). This control enhancement does not preclude the use of - signature-based detection mechanisms. - """ - - - id: si-3.7_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system implements non signature-based malicious code - detection mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing malicious code protection\n\ninformation system design documentation\n\nmalicious code protection mechanisms\n\nrecords of malicious code protection updates\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for malicious code protection - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing nonsignature-based - malicious code protection capability - """ - - - id: si-4 - class: SP800-53 - title: Information System Monitoring - parameters: - - - id: si-4_prm_1 - label: organization-defined monitoring objectives - - - id: si-4_prm_2 - label: organization-defined techniques and methods - - - id: si-4_prm_3 - label: organization-defined information system monitoring information - - - id: si-4_prm_4 - label: organization-defined personnel or roles - - - id: si-4_prm_5 - - - id: si-4_prm_6 - depends-on: si-4_prm_5 - label: organization-defined frequency - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4 - - - name: sort-id - value: si-04 - links: - - - href: #be95fb85-a53f-4624-bdbb-140075500aa3 - rel: reference - text: NIST Special Publication 800-61 - - - href: #6d431fee-658f-4a0e-9f2e-a38b5d398fab - rel: reference - text: NIST Special Publication 800-83 - - - href: #672fd561-b92b-4713-b9cf-6c9d9456728b - rel: reference - text: NIST Special Publication 800-92 - - - href: #d1b1d689-0f66-4474-9924-c81119758dc1 - rel: reference - text: NIST Special Publication 800-94 - - - href: #cee2c6ca-0261-4a6f-b630-e41d8ffdd82b - rel: reference - text: NIST Special Publication 800-137 - parts: - - - id: si-4_smt - name: statement - prose: The organization: - parts: - - - id: si-4_smt.a - name: item - properties: - - - name: label - value: a. - prose: Monitors the information system to detect: - parts: - - - id: si-4_smt.a.1 - name: item - properties: - - - name: label - value: 1. - prose: Attacks and indicators of potential attacks in accordance with {{ si-4_prm_1 }}; and - - - id: si-4_smt.a.2 - name: item - properties: - - - name: label - value: 2. - prose: Unauthorized local, network, and remote connections; - - - id: si-4_smt.b - name: item - properties: - - - name: label - value: b. - prose: Identifies unauthorized use of the information system through {{ si-4_prm_2 }}; - - - id: si-4_smt.c - name: item - properties: - - - name: label - value: c. - prose: Deploys monitoring devices: - parts: - - - id: si-4_smt.c.1 - name: item - properties: - - - name: label - value: 1. - prose: - """ - Strategically within the information system to collect organization-determined - essential information; and - """ - - - id: si-4_smt.c.2 - name: item - properties: - - - name: label - value: 2. - prose: - """ - At ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion; - """ - - - id: si-4_smt.e - name: item - properties: - - - name: label - value: e. - prose: - """ - Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4_smt.f - name: item - properties: - - - name: label - value: f. - prose: - """ - Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and - """ - - - id: si-4_smt.g - name: item - properties: - - - name: label - value: g. - prose: - """ - Provides {{ si-4_prm_3 }} to {{ si-4_prm_4 }} - {{ si-4_prm_5 }}. - """ - - - id: si-4_fr - name: item - title: SI-4 Additional FedRAMP Requirements and Guidance - parts: - - - id: si-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: See US-CERT Incident Response Reporting Guidelines. - - - id: si-4_gdn - name: guidance - prose: - """ - Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless. - """ - links: - - - href: #ac-3 - rel: related - text: AC-3 - - - href: #ac-4 - rel: related - text: AC-4 - - - href: #ac-8 - rel: related - text: AC-8 - - - href: #ac-17 - rel: related - text: AC-17 - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-6 - rel: related - text: AU-6 - - - href: #au-7 - rel: related - text: AU-7 - - - href: #au-9 - rel: related - text: AU-9 - - - href: #au-12 - rel: related - text: AU-12 - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #pe-3 - rel: related - text: PE-3 - - - href: #ra-5 - rel: related - text: RA-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #sc-26 - rel: related - text: SC-26 - - - href: #sc-35 - rel: related - text: SC-35 - - - href: #si-3 - rel: related - text: SI-3 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.a_obj - name: objective - properties: - - - name: label - value: SI-4(a) - parts: - - - id: si-4.a.1_obj - name: objective - properties: - - - name: label - value: SI-4(a)(1) - parts: - - - id: si-4.a.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(a)(1)[1] - prose: - """ - defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system; - """ - - - id: si-4.a.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(a)(1)[2] - prose: - """ - monitors the information system to detect, in accordance with - organization-defined monitoring objectives,: - """ - parts: - - - id: si-4.a.1_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][a] - prose: attacks; - - - id: si-4.a.1_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(a)(1)[2][b] - prose: indicators of potential attacks; - - - id: si-4.a.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(a)(2) - prose: monitors the information system to detect unauthorized: - parts: - - - id: si-4.a.2_obj.1 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[1] - prose: local connections; - - - id: si-4.a.2_obj.2 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[2] - prose: network connections; - - - id: si-4.a.2_obj.3 - name: objective - properties: - - - name: label - value: SI-4(a)(2)[3] - prose: remote connections; - - - id: si-4.b_obj - name: objective - properties: - - - name: label - value: SI-4(b) - parts: - - - id: si-4.b.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(b)(1) - prose: - """ - defines techniques and methods to identify unauthorized use of the information - system; - """ - - - id: si-4.b.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(b)(2) - prose: - """ - identifies unauthorized use of the information system through - organization-defined techniques and methods; - """ - - - id: si-4.c_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(c) - prose: deploys monitoring devices: - parts: - - - id: si-4.c_obj.1 - name: objective - properties: - - - name: label - value: SI-4(c)[1] - prose: - """ - strategically within the information system to collect organization-determined - essential information; - """ - - - id: si-4.c_obj.2 - name: objective - properties: - - - name: label - value: SI-4(c)[2] - prose: - """ - at ad hoc locations within the system to track specific types of transactions - of interest to the organization; - """ - - - id: si-4.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(d) - prose: - """ - protects information obtained from intrusion-monitoring tools from - unauthorized: - """ - parts: - - - id: si-4.d_obj.1 - name: objective - properties: - - - name: label - value: SI-4(d)[1] - prose: access; - - - id: si-4.d_obj.2 - name: objective - properties: - - - name: label - value: SI-4(d)[2] - prose: modification; - - - id: si-4.d_obj.3 - name: objective - properties: - - - name: label - value: SI-4(d)[3] - prose: deletion; - - - id: si-4.e_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(e) - prose: - """ - heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information; - """ - - - id: si-4.f_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: label - value: SI-4(f) - prose: - """ - obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; - """ - - - id: si-4.g_obj - name: objective - properties: - - - name: label - value: SI-4(g) - parts: - - - id: si-4.g_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[1] - prose: - """ - defines personnel or roles to whom information system monitoring information is - to be provided; - """ - - - id: si-4.g_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[2] - prose: - """ - defines information system monitoring information to be provided to - organization-defined personnel or roles; - """ - - - id: si-4.g_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(g)[3] - prose: - """ - defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles; - """ - - - id: si-4.g_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(g)[4] - prose: - """ - provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following: - """ - parts: - - - id: si-4.g_obj.4.a - name: objective - properties: - - - name: label - value: SI-4(g)[4][a] - prose: as needed; and/or - - - id: si-4.g_obj.4.b - name: objective - properties: - - - name: label - value: SI-4(g)[4][b] - prose: with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: Continuous monitoring strategy\n\nsystem and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\nfacility diagram/layout\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\nlocations within information system where monitoring devices are deployed\n\ninformation system configuration settings and associated documentation\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility monitoring the information system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing information system monitoring - capability - """ - controls: - - - id: si-4.1 - class: SP800-53-enhancement - title: System-wide Intrusion Detection System - properties: - - - name: label - value: SI-4(1) - - - name: sort-id - value: si-04.01 - parts: - - - id: si-4.1_smt - name: statement - prose: - """ - The organization connects and configures individual intrusion detection tools into - an information system-wide intrusion detection system. - """ - - - id: si-4.1_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(1)[1] - prose: - """ - connects individual intrusion detection tools into an information system-wide - intrusion detection system; and - """ - - - id: si-4.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(1)[2] - prose: - """ - configures individual intrusion detection tools into an information system-wide - intrusion detection system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection - capability - """ - - - id: si-4.2 - class: SP800-53-enhancement - title: Automated Tools for Real-time Analysis - properties: - - - name: label - value: SI-4(2) - - - name: sort-id - value: si-04.02 - parts: - - - id: si-4.2_smt - name: statement - prose: - """ - The organization employs automated tools to support near real-time analysis of - events. - """ - - - id: si-4.2_gdn - name: guidance - prose: - """ - Automated tools include, for example, host-based, network-based, transport-based, - or storage-based event monitoring tools or Security Information and Event - Management (SIEM) technologies that provide real time analysis of alerts and/or - notifications generated by organizational information systems. - """ - - - id: si-4.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization employs automated tools to support near real-time - analysis of events. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for incident - response/management - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for near real-time analysis of events\n\norganizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing information system - monitoring\n\nautomated mechanisms/tools supporting and/or implementing analysis of - events - """ - - - id: si-4.4 - class: SP800-53-enhancement - title: Inbound and Outbound Communications Traffic - parameters: - - - id: si-4.4_prm_1 - label: organization-defined frequency - constraints: - - - detail: continuously - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4(4) - - - name: sort-id - value: si-04.04 - parts: - - - id: si-4.4_smt - name: statement - prose: - """ - The information system monitors inbound and outbound communications traffic - {{ si-4.4_prm_1 }} for unusual or unauthorized activities or - conditions. - """ - - - id: si-4.4_gdn - name: guidance - prose: - """ - Unusual/unauthorized activities or conditions related to information system - inbound and outbound communications traffic include, for example, internal traffic - that indicates the presence of malicious code within organizational information - systems or propagating among system components, the unauthorized exporting of - information, or signaling to external information systems. Evidence of malicious - code is used to identify potentially compromised information systems or - information system components. - """ - - - id: si-4.4_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.4_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(4)[1] - prose: defines a frequency to monitor: - parts: - - - id: si-4.4_obj.1.a - name: objective - properties: - - - name: label - value: SI-4(4)[1][a] - prose: - """ - inbound communications traffic for unusual or unauthorized activities or - conditions; - """ - - - id: si-4.4_obj.1.b - name: objective - properties: - - - name: label - value: SI-4(4)[1][b] - prose: - """ - outbound communications traffic for unusual or unauthorized activities or - conditions; - """ - - - id: si-4.4_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(4)[2] - prose: monitors, with the organization-defined frequency: - parts: - - - id: si-4.4_obj.2.a - name: objective - properties: - - - name: label - value: SI-4(4)[2][a] - prose: - """ - inbound communications traffic for unusual or unauthorized activities or - conditions; and - """ - - - id: si-4.4_obj.2.b - name: objective - properties: - - - name: label - value: SI-4(4)[2][b] - prose: - """ - outbound communications traffic for unusual or unauthorized activities or - conditions. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system protocols\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion detection - capability/information system monitoring\n\nautomated mechanisms supporting and/or implementing monitoring of - inbound/outbound communications traffic - """ - - - id: si-4.5 - class: SP800-53-enhancement - title: System-generated Alerts - parameters: - - - id: si-4.5_prm_1 - label: organization-defined personnel or roles - - - id: si-4.5_prm_2 - label: organization-defined compromise indicators - properties: - - - name: label - value: SI-4(5) - - - name: sort-id - value: si-04.05 - parts: - - - id: si-4.5_smt - name: statement - prose: - """ - The information system alerts {{ si-4.5_prm_1 }} when the following - indications of compromise or potential compromise occur: {{ si-4.5_prm_2 }}. - """ - parts: - - - id: si-4.5_fr - name: item - title: SI-4 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: si-4.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: In accordance with the incident response plan. - - - id: si-4.5_gdn - name: guidance - prose: - """ - Alerts may be generated from a variety of sources, including, for example, audit - records or inputs from malicious code protection mechanisms, intrusion detection - or prevention mechanisms, or boundary protection devices such as firewalls, - gateways, and routers. Alerts can be transmitted, for example, telephonically, by - electronic mail messages, or by text messaging. Organizational personnel on the - notification list can include, for example, system administrators, - mission/business owners, system owners, or information system security - officers. - """ - links: - - - href: #au-5 - rel: related - text: AU-5 - - - href: #pe-6 - rel: related - text: PE-6 - - - id: si-4.5_obj - name: objective - prose: Determine if: - parts: - - - id: si-4.5_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(5)[1] - prose: the organization defines compromise indicators for the information system; - - - id: si-4.5_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(5)[2] - prose: - """ - the organization defines personnel or roles to be alerted when indications of - compromise or potential compromise occur; and - """ - - - id: si-4.5_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(5)[3] - prose: - """ - the information system alerts organization-defined personnel or roles when - organization-defined compromise indicators occur. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\nalerts/notifications generated based on compromise indicators\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developers\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability\n\nautomated mechanisms supporting and/or implementing alerts for compromise - indicators - """ - - - id: si-4.14 - class: SP800-53-enhancement - title: Wireless Intrusion Detection - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-4(14) - - - name: sort-id - value: si-04.14 - parts: - - - id: si-4.14_smt - name: statement - prose: - """ - The organization employs a wireless intrusion detection system to identify rogue - wireless devices and to detect attack attempts and potential compromises/breaches - to the information system. - """ - - - id: si-4.14_gdn - name: guidance - prose: - """ - Wireless signals may radiate beyond the confines of organization-controlled - facilities. Organizations proactively search for unauthorized wireless connections - including the conduct of thorough scans for unauthorized wireless access points. - Scans are not limited to those areas within facilities containing information - systems, but also include areas outside of facilities as needed, to verify that - unauthorized wireless access points are not connected to the systems. - """ - links: - - - href: #ac-18 - rel: related - text: AC-18 - - - href: #ia-3 - rel: related - text: IA-3 - - - id: si-4.14_obj - name: objective - prose: - """ - Determine if the organization employs a wireless intrusion detection system - to: - """ - parts: - - - id: si-4.14_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(14)[1] - prose: identify rogue wireless devices; - - - id: si-4.14_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(14)[2] - prose: detect attack attempts to the information system; and - - - id: si-4.14_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(14)[3] - prose: detect potential compromises/breaches to the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system protocols\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection\n\nautomated mechanisms supporting and/or implementing wireless intrusion - detection capability - """ - - - id: si-4.16 - class: SP800-53-enhancement - title: Correlate Monitoring Information - properties: - - - name: label - value: SI-4(16) - - - name: sort-id - value: si-04.16 - parts: - - - id: si-4.16_smt - name: statement - prose: - """ - The organization correlates information from monitoring tools employed throughout - the information system. - """ - - - id: si-4.16_gdn - name: guidance - prose: - """ - Correlating information from different monitoring tools can provide a more - comprehensive view of information system activity. The correlation of monitoring - tools that usually work in isolation (e.g., host monitoring, network monitoring, - anti-virus software) can provide an organization-wide view and in so doing, may - reveal otherwise unseen attack patterns. Understanding the - capabilities/limitations of diverse monitoring tools and how to maximize the - utility of information generated by those tools can help organizations to build, - operate, and maintain effective monitoring programs. - """ - links: - - - href: #au-6 - rel: related - text: AU-6 - - - id: si-4.16_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the organization correlates information from monitoring tools - employed throughout the information system. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\nevent correlation logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring the information - system\n\norganizational personnel with responsibility for the intrusion detection - system - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for intrusion detection/information system - monitoring\n\nautomated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability\n\nautomated mechanisms supporting and/or implementing correlation of information - from monitoring tools - """ - - - id: si-4.23 - class: SP800-53-enhancement - title: Host-based Devices - parameters: - - - id: si-4.23_prm_1 - label: organization-defined host-based monitoring mechanisms - - - id: si-4.23_prm_2 - label: organization-defined information system components - properties: - - - name: label - value: SI-4(23) - - - name: sort-id - value: si-04.23 - parts: - - - id: si-4.23_smt - name: statement - prose: The organization implements {{ si-4.23_prm_1 }} at {{ si-4.23_prm_2 }}. - - - id: si-4.23_gdn - name: guidance - prose: - """ - Information system components where host-based monitoring can be implemented - include, for example, servers, workstations, and mobile devices. Organizations - consider employing host-based monitoring mechanisms from multiple information - technology product developers. - """ - - - id: si-4.23_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-4.23_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(23)[1] - prose: defines host-based monitoring mechanisms to be implemented; - - - id: si-4.23_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-4(23)[2] - prose: - """ - defines information system components where organization-defined host-based - monitoring is to be implemented; and - """ - - - id: si-4.23_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-4(23)[3] - prose: - """ - implements organization-defined host-based monitoring mechanisms at - organization-defined information system components. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system monitoring tools and techniques\n\ninformation system design documentation\n\nhost-based monitoring mechanisms\n\ninformation system monitoring tools and techniques documentation\n\ninformation system configuration settings and associated documentation\n\nlist of information system components requiring host-based monitoring\n\ninformation system monitoring logs or records\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - System/network administrators\n\norganizational personnel with information security responsibilities\n\norganizational personnel installing, configuring, and/or maintaining the - information system\n\norganizational personnel with responsibility for monitoring information system - hosts - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information system monitoring\n\nautomated mechanisms supporting and/or implementing host-based monitoring - capability - """ - - - id: si-5 - class: SP800-53 - title: Security Alerts, Advisories, and Directives - parameters: - - - id: si-5_prm_1 - label: organization-defined external organizations - constraints: - - - detail: to include US-CERT - - - id: si-5_prm_2 - constraints: - - - detail: to include system security personnel and administrators with configuration/patch-management responsibilities - - - id: si-5_prm_3 - depends-on: si-5_prm_2 - label: organization-defined personnel or roles - - - id: si-5_prm_4 - depends-on: si-5_prm_2 - label: organization-defined elements within the organization - - - id: si-5_prm_5 - depends-on: si-5_prm_2 - label: organization-defined external organizations - properties: - - - name: label - value: SI-5 - - - name: sort-id - value: si-05 - links: - - - href: #bdd14f6c-41ab-4277-8d74-a0ce75a0eb1d - rel: reference - text: NIST Special Publication 800-40 - parts: - - - id: si-5_smt - name: statement - prose: The organization: - parts: - - - id: si-5_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Receives information system security alerts, advisories, and directives from - {{ si-5_prm_1 }} on an ongoing basis; - """ - - - id: si-5_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5_smt.c - name: item - properties: - - - name: label - value: c. - prose: Disseminates security alerts, advisories, and directives to: {{ si-5_prm_2 }}; and - - - id: si-5_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance. - """ - - - id: si-5_gdn - name: guidance - prose: - """ - The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations. - """ - links: - - - href: #si-2 - rel: related - text: SI-2 - - - id: si-5_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-5.a_obj - name: objective - properties: - - - name: label - value: SI-5(a) - parts: - - - id: si-5.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(a)[1] - prose: - """ - defines external organizations from whom information system security alerts, - advisories and directives are to be received; - """ - - - id: si-5.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(a)[2] - prose: - """ - receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis; - """ - - - id: si-5.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(b) - prose: - """ - generates internal security alerts, advisories, and directives as deemed - necessary; - """ - - - id: si-5.c_obj - name: objective - properties: - - - name: label - value: SI-5(c) - parts: - - - id: si-5.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[1] - prose: - """ - defines personnel or roles to whom security alerts, advisories, and directives - are to be provided; - """ - - - id: si-5.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[2] - prose: - """ - defines elements within the organization to whom security alerts, advisories, - and directives are to be provided; - """ - - - id: si-5.c_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-5(c)[3] - prose: - """ - defines external organizations to whom security alerts, advisories, and - directives are to be provided; - """ - - - id: si-5.c_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(c)[4] - prose: - """ - disseminates security alerts, advisories, and directives to one or more of the - following: - """ - parts: - - - id: si-5.c_obj.4.a - name: objective - properties: - - - name: label - value: SI-5(c)[4][a] - prose: organization-defined personnel or roles; - - - id: si-5.c_obj.4.b - name: objective - properties: - - - name: label - value: SI-5(c)[4][b] - prose: organization-defined elements within the organization; and/or - - - id: si-5.c_obj.4.c - name: objective - properties: - - - name: label - value: SI-5(c)[4][c] - prose: organization-defined external organizations; and - - - id: si-5.d_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-5(d) - parts: - - - id: si-5.d_obj.1 - name: objective - properties: - - - name: label - value: SI-5(d)[1] - prose: - """ - implements security directives in accordance with established time frames; - or - """ - - - id: si-5.d_obj.2 - name: objective - properties: - - - name: label - value: SI-5(d)[2] - prose: notifies the issuing organization of the degree of noncompliance. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing security alerts, advisories, and directives\n\nrecords of security alerts and advisories\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security alert and advisory responsibilities\n\norganizational personnel implementing, operating, maintaining, and using the - information system\n\norganizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives\n\nautomated mechanisms supporting and/or implementing security directives - """ - - - id: si-6 - class: SP800-53 - title: Security Function Verification - parameters: - - - id: si-6_prm_1 - label: organization-defined security functions - - - id: si-6_prm_2 - - - id: si-6_prm_3 - depends-on: si-6_prm_2 - label: organization-defined system transitional states - constraints: - - - detail: to include upon system startup and/or restart - - - id: si-6_prm_4 - depends-on: si-6_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - - - id: si-6_prm_5 - label: organization-defined personnel or roles - constraints: - - - detail: to include system administrators and security personnel - - - id: si-6_prm_6 - - - id: si-6_prm_7 - depends-on: si-6_prm_6 - label: organization-defined alternative action(s) - constraints: - - - detail: to include notification of system administrators and security personnel - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-6 - - - name: sort-id - value: si-06 - parts: - - - id: si-6_smt - name: statement - prose: The information system: - parts: - - - id: si-6_smt.a - name: item - properties: - - - name: label - value: a. - prose: Verifies the correct operation of {{ si-6_prm_1 }}; - - - id: si-6_smt.b - name: item - properties: - - - name: label - value: b. - prose: Performs this verification {{ si-6_prm_2 }}; - - - id: si-6_smt.c - name: item - properties: - - - name: label - value: c. - prose: - """ - Notifies {{ si-6_prm_5 }} of failed security verification tests; - and - """ - - - id: si-6_smt.d - name: item - properties: - - - name: label - value: d. - prose: - """ - - {{ si-6_prm_6 }} when anomalies are discovered. - """ - - - id: si-6_gdn - name: guidance - prose: - """ - Transitional states for information systems include, for example, system startup, - restart, shutdown, and abort. Notifications provided by information systems include, - for example, electronic alerts to system administrators, messages to local computer - consoles, and/or hardware indications such as lights. - """ - links: - - - href: #ca-7 - rel: related - text: CA-7 - - - href: #cm-6 - rel: related - text: CM-6 - - - id: si-6_obj - name: objective - prose: Determine if: - parts: - - - id: si-6.a_obj - name: objective - properties: - - - name: label - value: SI-6(a) - parts: - - - id: si-6.a_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(a)[1] - prose: - """ - the organization defines security functions to be verified for correct - operation; - """ - - - id: si-6.a_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(a)[2] - prose: - """ - the information system verifies the correct operation of organization-defined - security functions; - """ - - - id: si-6.b_obj - name: objective - properties: - - - name: label - value: SI-6(b) - parts: - - - id: si-6.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(b)[1] - prose: - """ - the organization defines system transitional states requiring verification of - organization-defined security functions; - """ - - - id: si-6.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(b)[2] - prose: - """ - the organization defines a frequency to verify the correct operation of - organization-defined security functions; - """ - - - id: si-6.b_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(b)[3] - prose: - """ - the information system performs this verification one or more of the - following: - """ - parts: - - - id: si-6.b_obj.3.a - name: objective - properties: - - - name: label - value: SI-6(b)[3][a] - prose: at organization-defined system transitional states; - - - id: si-6.b_obj.3.b - name: objective - properties: - - - name: label - value: SI-6(b)[3][b] - prose: upon command by user with appropriate privilege; and/or - - - id: si-6.b_obj.3.c - name: objective - properties: - - - name: label - value: SI-6(b)[3][c] - prose: with the organization-defined frequency; - - - id: si-6.c_obj - name: objective - properties: - - - name: label - value: SI-6(c) - parts: - - - id: si-6.c_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(c)[1] - prose: - """ - the organization defines personnel or roles to be notified of failed security - verification tests; - """ - - - id: si-6.c_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(c)[2] - prose: - """ - the information system notifies organization-defined personnel or roles of - failed security verification tests; - """ - - - id: si-6.d_obj - name: objective - properties: - - - name: label - value: SI-6(d) - parts: - - - id: si-6.d_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-6(d)[1] - prose: - """ - the organization defines alternative action(s) to be performed when anomalies - are discovered; - """ - - - id: si-6.d_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-6(d)[2] - prose: - """ - the information system performs one or more of the following actions when - anomalies are discovered: - """ - parts: - - - id: si-6.d_obj.2.a - name: objective - properties: - - - name: label - value: SI-6(d)[2][a] - prose: shuts the information system down; - - - id: si-6.d_obj.2.b - name: objective - properties: - - - name: label - value: SI-6(d)[2][b] - prose: restarts the information system; and/or - - - id: si-6.d_obj.2.c - name: objective - properties: - - - name: label - value: SI-6(d)[2][c] - prose: performs organization-defined alternative action(s). - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing security function verification\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nalerts/notifications of failed security verification tests\n\nlist of system transition states requiring security functionality verification\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with security function verification responsibilities\n\norganizational personnel implementing, operating, and maintaining the information - system\n\nsystem/network administrators\n\norganizational personnel with information security responsibilities\n\nsystem developer - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for security function verification\n\nautomated mechanisms supporting and/or implementing security function verification - capability - """ - - - id: si-7 - class: SP800-53 - title: Software, Firmware, and Information Integrity - parameters: - - - id: si-7_prm_1 - label: organization-defined software, firmware, and information - properties: - - - name: label - value: SI-7 - - - name: sort-id - value: si-07 - links: - - - href: #6bf8d24a-78dc-4727-a2ac-0e64d71c495c - rel: reference - text: NIST Special Publication 800-147 - - - href: #3878cc04-144a-483e-af62-8fe6f4ad6c7a - rel: reference - text: NIST Special Publication 800-155 - parts: - - - id: si-7_smt - name: statement - prose: - """ - The organization employs integrity verification tools to detect unauthorized changes - to {{ si-7_prm_1 }}. - """ - - - id: si-7_gdn - name: guidance - prose: - """ - Unauthorized changes to software, firmware, and information can occur due to errors - or malicious activity (e.g., tampering). Software includes, for example, operating - systems (with key internal components such as kernels, drivers), middleware, and - applications. Firmware includes, for example, the Basic Input Output System (BIOS). - Information includes metadata such as security attributes associated with - information. State-of-the-practice integrity-checking mechanisms (e.g., parity - checks, cyclical redundancy checks, cryptographic hashes) and associated tools can - automatically monitor the integrity of information systems and hosted - applications. - """ - links: - - - href: #sa-12 - rel: related - text: SA-12 - - - href: #sc-8 - rel: related - text: SC-8 - - - href: #sc-13 - rel: related - text: SC-13 - - - href: #si-3 - rel: related - text: SI-3 - - - id: si-7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-7_obj.1 - name: objective - properties: - - - name: label - value: SI-7[1] - parts: - - - id: si-7_obj.1.a - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7[1][a] - prose: - """ - defines software requiring integrity verification tools to be employed to - detect unauthorized changes; - """ - - - id: si-7_obj.1.b - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7[1][b] - prose: - """ - defines firmware requiring integrity verification tools to be employed to - detect unauthorized changes; - """ - - - id: si-7_obj.1.c - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7[1][c] - prose: - """ - defines information requiring integrity verification tools to be employed to - detect unauthorized changes; - """ - - - id: si-7_obj.2 - name: objective - properties: - - - name: label - value: SI-7[2] - prose: - """ - employs integrity verification tools to detect unauthorized changes to - organization-defined: - """ - parts: - - - id: si-7_obj.2.a - name: objective - properties: - - - name: label - value: SI-7[2][a] - prose: software; - - - id: si-7_obj.2.b - name: objective - properties: - - - name: label - value: SI-7[2][b] - prose: firmware; and - - - id: si-7_obj.2.c - name: objective - properties: - - - name: label - value: SI-7[2][c] - prose: information. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords generated/triggered from integrity verification tools regarding - unauthorized software, firmware, and information changes\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Software, firmware, and information integrity verification tools - controls: - - - id: si-7.1 - class: SP800-53-enhancement - title: Integrity Checks - parameters: - - - id: si-7.1_prm_1 - label: organization-defined software, firmware, and information - - - id: si-7.1_prm_2 - - - id: si-7.1_prm_3 - depends-on: si-7.1_prm_2 - label: organization-defined transitional states or security-relevant events - constraints: - - - detail: Selection to include security relevant events - - - id: si-7.1_prm_4 - depends-on: si-7.1_prm_2 - label: organization-defined frequency - constraints: - - - detail: at least monthly - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-7(1) - - - name: sort-id - value: si-07.01 - parts: - - - id: si-7.1_smt - name: statement - prose: - """ - The information system performs an integrity check of {{ si-7.1_prm_1 }} - {{ si-7.1_prm_2 }}. - """ - - - id: si-7.1_gdn - name: guidance - prose: - """ - Security-relevant events include, for example, the identification of a new threat - to which organizational information systems are susceptible, and the installation - of new hardware, software, or firmware. Transitional states include, for example, - system startup, restart, shutdown, and abort. - """ - - - id: si-7.1_obj - name: objective - prose: Determine if: - parts: - - - id: si-7.1_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(1)[1] - prose: the organization defines: - parts: - - - id: si-7.1_obj.1.a - name: objective - properties: - - - name: label - value: SI-7(1)[1][a] - prose: software requiring integrity checks to be performed; - - - id: si-7.1_obj.1.b - name: objective - properties: - - - name: label - value: SI-7(1)[1][b] - prose: firmware requiring integrity checks to be performed; - - - id: si-7.1_obj.1.c - name: objective - properties: - - - name: label - value: SI-7(1)[1][c] - prose: information requiring integrity checks to be performed; - - - id: si-7.1_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(1)[2] - prose: - """ - the organization defines transitional states or security-relevant events - requiring integrity checks of organization-defined: - """ - parts: - - - id: si-7.1_obj.2.a - name: objective - properties: - - - name: label - value: SI-7(1)[2][a] - prose: software; - - - id: si-7.1_obj.2.b - name: objective - properties: - - - name: label - value: SI-7(1)[2][b] - prose: firmware; - - - id: si-7.1_obj.2.c - name: objective - properties: - - - name: label - value: SI-7(1)[2][c] - prose: information; - - - id: si-7.1_obj.3 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(1)[3] - prose: - """ - the organization defines a frequency with which to perform an integrity check - of organization-defined: - """ - parts: - - - id: si-7.1_obj.3.a - name: objective - properties: - - - name: label - value: SI-7(1)[3][a] - prose: software; - - - id: si-7.1_obj.3.b - name: objective - properties: - - - name: label - value: SI-7(1)[3][b] - prose: firmware; - - - id: si-7.1_obj.3.c - name: objective - properties: - - - name: label - value: SI-7(1)[3][c] - prose: information; - - - id: si-7.1_obj.4 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(1)[4] - prose: - """ - the information system performs an integrity check of organization-defined - software, firmware, and information one or more of the following: - """ - parts: - - - id: si-7.1_obj.4.a - name: objective - properties: - - - name: label - value: SI-7(1)[4][a] - prose: at startup; - - - id: si-7.1_obj.4.b - name: objective - properties: - - - name: label - value: SI-7(1)[4][b] - prose: - """ - at organization-defined transitional states or security-relevant events; - and/or - """ - - - id: si-7.1_obj.4.c - name: objective - properties: - - - name: label - value: SI-7(1)[4][c] - prose: with the organization-defined frequency. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nintegrity verification tools and associated documentation\n\nrecords of integrity scans\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Software, firmware, and information integrity verification tools - - - id: si-7.7 - class: SP800-53-enhancement - title: Integration of Detection and Response - parameters: - - - id: si-7.7_prm_1 - label: - """ - organization-defined security-relevant changes to the information - system - """ - properties: - - - name: label - value: SI-7(7) - - - name: sort-id - value: si-07.07 - parts: - - - id: si-7.7_smt - name: statement - prose: - """ - The organization incorporates the detection of unauthorized {{ si-7.7_prm_1 }} into the organizational incident response - capability. - """ - - - id: si-7.7_gdn - name: guidance - prose: - """ - This control enhancement helps to ensure that detected events are tracked, - monitored, corrected, and available for historical purposes. Maintaining - historical records is important both for being able to identify and discern - adversary actions over an extended period of time and for possible legal actions. - Security-relevant changes include, for example, unauthorized changes to - established configuration settings or unauthorized elevation of information system - privileges. - """ - links: - - - href: #ir-4 - rel: related - text: IR-4 - - - href: #ir-5 - rel: related - text: IR-5 - - - href: #si-4 - rel: related - text: SI-4 - - - id: si-7.7_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-7.7_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-7(7)[1] - prose: - """ - defines unauthorized security-relevant changes to the information system; - and - """ - - - id: si-7.7_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-7(7)[2] - prose: - """ - incorporates the detection of unauthorized organization-defined - security-relevant changes to the information system into the organizational - incident response capability. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing software, firmware, and information integrity\n\nprocedures addressing incident response\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nincident response records\n\ninformation audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for software, firmware, and/or - information integrity\n\norganizational personnel with information security responsibilities\n\norganizational personnel with incident response responsibilities - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for incorporating detection of unauthorized - security-relevant changes into the incident response capability\n\nsoftware, firmware, and information integrity verification tools\n\nautomated mechanisms supporting and/or implementing incorporation of detection - of unauthorized security-relevant changes into the incident response - capability - """ - - - id: si-8 - class: SP800-53 - title: Spam Protection - properties: - - - name: label - value: SI-8 - - - name: sort-id - value: si-08 - links: - - - href: #c6e95ca0-5828-420e-b095-00895b72b5e8 - rel: reference - text: NIST Special Publication 800-45 - parts: - - - id: si-8_smt - name: statement - prose: The organization: - parts: - - - id: si-8_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Employs spam protection mechanisms at information system entry and exit points to - detect and take action on unsolicited messages; and - """ - - - id: si-8_smt.b - name: item - properties: - - - name: label - value: b. - prose: - """ - Updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures. - """ - - - id: si-8_gdn - name: guidance - prose: - """ - Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, mobile - devices, and notebook/laptop computers. Spam can be transported by different means - including, for example, electronic mail, electronic mail attachments, and web - accesses. Spam protection mechanisms include, for example, signature definitions. - """ - links: - - - href: #at-2 - rel: related - text: AT-2 - - - href: #at-3 - rel: related - text: AT-3 - - - href: #sc-5 - rel: related - text: SC-5 - - - href: #sc-7 - rel: related - text: SC-7 - - - href: #si-3 - rel: related - text: SI-3 - - - id: si-8_obj - name: objective - prose: Determine if the organization: - parts: - - - id: si-8.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-8(a) - prose: employs spam protection mechanisms: - parts: - - - id: si-8.a_obj.1 - name: objective - properties: - - - name: label - value: SI-8(a)[1] - prose: at information system entry points to detect unsolicited messages; - - - id: si-8.a_obj.2 - name: objective - properties: - - - name: label - value: SI-8(a)[2] - prose: at information system entry points to take action on unsolicited messages; - - - id: si-8.a_obj.3 - name: objective - properties: - - - name: label - value: SI-8(a)[3] - prose: at information system exit points to detect unsolicited messages; - - - id: si-8.a_obj.4 - name: objective - properties: - - - name: label - value: SI-8(a)[4] - prose: - """ - at information system exit points to take action on unsolicited messages; - and - """ - - - id: si-8.b_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-8(b) - prose: - """ - updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nconfiguration management policy and procedures (CM-1)\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: Organizational processes for implementing spam protection\n\nautomated mechanisms supporting and/or implementing spam protection - controls: - - - id: si-8.1 - class: SP800-53-enhancement - title: Central Management - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-8(1) - - - name: sort-id - value: si-08.01 - parts: - - - id: si-8.1_smt - name: statement - prose: The organization centrally manages spam protection mechanisms. - - - id: si-8.1_gdn - name: guidance - prose: - """ - Central management is the organization-wide management and implementation of spam - protection mechanisms. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - spam protection security controls. - """ - links: - - - href: #au-3 - rel: related - text: AU-3 - - - href: #si-2 - rel: related - text: SI-2 - - - href: #si-7 - rel: related - text: SI-7 - - - id: si-8.1_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: Determine if the organization centrally manages spam protection mechanisms. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for central management of spam protection\n\nautomated mechanisms supporting and/or implementing central management of spam - protection - """ - - - id: si-8.2 - class: SP800-53-enhancement - title: Automatic Updates - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - name: label - value: SI-8(2) - - - name: sort-id - value: si-08.02 - parts: - - - id: si-8.2_smt - name: statement - prose: The information system automatically updates spam protection mechanisms. - - - id: si-8.2_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - prose: - """ - Determine if the information system automatically updates spam protection - mechanisms. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing spam protection\n\nspam protection mechanisms\n\nrecords of spam protection updates\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for spam protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for spam protection\n\nautomated mechanisms supporting and/or implementing automatic updates to spam - protection mechanisms - """ - - - id: si-10 - class: SP800-53 - title: Information Input Validation - parameters: - - - id: si-10_prm_1 - label: organization-defined information inputs - properties: - - - name: label - value: SI-10 - - - name: sort-id - value: si-10 - parts: - - - id: si-10_smt - name: statement - prose: The information system checks the validity of {{ si-10_prm_1 }}. - - - id: si-10_gdn - name: guidance - prose: - """ - Checking the valid syntax and semantics of information system inputs (e.g., character - set, length, numerical range, and acceptable values) verifies that inputs match - specified definitions for format and content. Software applications typically follow - well-defined protocols that use structured messages (i.e., commands or queries) to - communicate between software modules or system components. Structured messages can - contain raw or unstructured data interspersed with metadata or control information. - If software applications use attacker-supplied inputs to construct structured - messages without properly encoding such messages, then the attacker could insert - malicious commands or special characters that can cause the data to be interpreted as - control information or metadata. Consequently, the module or component that receives - the tainted output will perform the wrong operations or otherwise interpret the data - incorrectly. Prescreening inputs prior to passing to interpreters prevents the - content from being unintentionally interpreted as commands. Input validation helps to - ensure accurate and correct inputs and prevent attacks such as cross-site scripting - and a variety of injection attacks. - """ - - - id: si-10_obj - name: objective - prose: Determine if: - parts: - - - id: si-10_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-10[1] - prose: the organization defines information inputs requiring validity checks; and - - - id: si-10_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-10[2] - prose: - """ - the information system checks the validity of organization-defined information - inputs. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\naccess control policy and procedures\n\nseparation of duties policy and procedures\n\nprocedures addressing information input validation\n\ndocumentation for automated tools and applications to verify validity of - information\n\nlist of information inputs requiring validity checks\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing validity checks on information - inputs - """ - - - id: si-11 - class: SP800-53 - title: Error Handling - parameters: - - - id: si-11_prm_1 - label: organization-defined personnel or roles - properties: - - - name: label - value: SI-11 - - - name: sort-id - value: si-11 - parts: - - - id: si-11_smt - name: statement - prose: The information system: - parts: - - - id: si-11_smt.a - name: item - properties: - - - name: label - value: a. - prose: - """ - Generates error messages that provide information necessary for corrective actions - without revealing information that could be exploited by adversaries; and - """ - - - id: si-11_smt.b - name: item - properties: - - - name: label - value: b. - prose: Reveals error messages only to {{ si-11_prm_1 }}. - - - id: si-11_gdn - name: guidance - prose: - """ - Organizations carefully consider the structure/content of error messages. The extent - to which information systems are able to identify and handle error conditions is - guided by organizational policy and operational requirements. Information that could - be exploited by adversaries includes, for example, erroneous logon attempts with - passwords entered by mistake as the username, mission/business information that can - be derived from (if not stated explicitly by) information recorded, and personal - information such as account numbers, social security numbers, and credit card - numbers. In addition, error messages may provide a covert channel for transmitting - information. - """ - links: - - - href: #au-2 - rel: related - text: AU-2 - - - href: #au-3 - rel: related - text: AU-3 - - - href: #sc-31 - rel: related - text: SC-31 - - - id: si-11_obj - name: objective - prose: Determine if: - parts: - - - id: si-11.a_obj - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-11(a) - prose: - """ - the information system generates error messages that provide information necessary - for corrective actions without revealing information that could be exploited by - adversaries; - """ - - - id: si-11.b_obj - name: objective - properties: - - - name: label - value: SI-11(b) - parts: - - - id: si-11.b_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-11(b)[1] - prose: - """ - the organization defines personnel or roles to whom error messages are to be - revealed; and - """ - - - id: si-11.b_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-11(b)[2] - prose: - """ - the information system reveals error messages only to organization-defined - personnel or roles. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: System and information integrity policy\n\nprocedures addressing information system error handling\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\ndocumentation providing structure/content of error messages\n\ninformation system audit records\n\nother relevant documents or records - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for information input validation\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for error handling\n\nautomated mechanisms supporting and/or implementing error handling\n\nautomated mechanisms supporting and/or implementing management of error - messages - """ - - - id: si-12 - class: SP800-53 - title: Information Handling and Retention - properties: - - - name: label - value: SI-12 - - - name: sort-id - value: si-12 - parts: - - - id: si-12_smt - name: statement - prose: - """ - The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements. - """ - - - id: si-12_gdn - name: guidance - prose: - """ - Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention. - """ - links: - - - href: #ac-16 - rel: related - text: AC-16 - - - href: #au-5 - rel: related - text: AU-5 - - - href: #au-11 - rel: related - text: AU-11 - - - href: #mp-2 - rel: related - text: MP-2 - - - href: #mp-4 - rel: related - text: MP-4 - - - id: si-12_obj - name: objective - prose: - """ - Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements: - """ - parts: - - - id: si-12_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-12[1] - prose: handles information within the information system; - - - id: si-12_obj.2 - name: objective - properties: - - - name: label - value: SI-12[2] - prose: handles output from the information system; - - - id: si-12_obj.3 - name: objective - properties: - - - name: label - value: SI-12[3] - prose: retains information within the information system; and - - - id: si-12_obj.4 - name: objective - properties: - - - name: label - value: SI-12[4] - prose: retains output from the information system. - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nfederal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention\n\nmedia protection policy and procedures\n\nprocedures addressing information system output handling and retention\n\ninformation retention records, other relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: - """ - Organizational personnel with responsibility for information handling and - retention\n\norganizational personnel with information security responsibilities/network - administrators - """ - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Organizational processes for information handling and retention\n\nautomated mechanisms supporting and/or implementing information handling and - retention - """ - - - id: si-16 - class: SP800-53 - title: Memory Protection - parameters: - - - id: si-16_prm_1 - label: organization-defined security safeguards - properties: - - - name: label - value: SI-16 - - - name: sort-id - value: si-16 - parts: - - - id: si-16_smt - name: statement - prose: - """ - The information system implements {{ si-16_prm_1 }} to protect its - memory from unauthorized code execution. - """ - - - id: si-16_gdn - name: guidance - prose: - """ - Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism. - """ - links: - - - href: #ac-25 - rel: related - text: AC-25 - - - href: #sc-3 - rel: related - text: SC-3 - - - id: si-16_obj - name: objective - prose: Determine if: - parts: - - - id: si-16_obj.1 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: label - value: SI-16[1] - prose: - """ - the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and - """ - - - id: si-16_obj.2 - name: objective - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - name: label - value: SI-16[2] - prose: - """ - the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution. - """ - - - name: assessment - properties: - - - name: method - value: EXAMINE - parts: - - - name: objects - prose: - """ - System and information integrity policy\n\nprocedures addressing memory protection for the information system\n\ninformation system design documentation\n\ninformation system configuration settings and associated documentation\n\nlist of security safeguards protecting information system memory from unauthorized - code execution\n\ninformation system audit records\n\nother relevant documents or records - """ - - - name: assessment - properties: - - - name: method - value: INTERVIEW - parts: - - - name: objects - prose: Organizational personnel with responsibility for memory protection\n\norganizational personnel with information security responsibilities\n\nsystem/network administrators\n\nsystem developer - - - name: assessment - properties: - - - name: method - value: TEST - parts: - - - name: objects - prose: - """ - Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution - """ - back-matter: - resources: - - - uuid: 0c97e60b-325a-4efa-ba2b-90f20ccd5abc - title: 5 C.F.R. 731.106 - citation: - text: - """ - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - """ - rlinks: - - - href: http://www.gpo.gov/fdsys/granule/CFR-2012-title5-vol2/CFR-2012-title5-vol2-sec731-106/content-detail.html - - - uuid: bb61234b-46c3-4211-8c2b-9869222a720d - title: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - citation: - text: C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - rlinks: - - - href: http://www.gpo.gov/fdsys/granule/CFR-2009-title5-vol2/CFR-2009-title5-vol2-sec930-301/content-detail.html - - - uuid: a4aa9645-9a8a-4b51-90a9-e223250f9a75 - title: CNSS Policy 15 - citation: - text: CNSS Policy 15 - rlinks: - - - href: https://www.cnss.gov/policies.html - - - uuid: 2d8b14e9-c8b5-4d3d-8bdc-155078f3281b - title: DoD Information Assurance Vulnerability Alerts - citation: - text: DoD Information Assurance Vulnerability Alerts - - - uuid: 61081e7f-041d-4033-96a7-44a439071683 - title: DoD Instruction 5200.39 - citation: - text: DoD Instruction 5200.39 - rlinks: - - - href: http://www.dtic.mil/whs/directives/corres/ins1.html - - - uuid: e42b2099-3e1c-415b-952c-61c96533c12e - title: DoD Instruction 8551.01 - citation: - text: DoD Instruction 8551.01 - rlinks: - - - href: http://www.dtic.mil/whs/directives/corres/ins1.html - - - uuid: e6522953-6714-435d-a0d3-140df554c186 - title: DoD Instruction 8552.01 - citation: - text: DoD Instruction 8552.01 - rlinks: - - - href: http://www.dtic.mil/whs/directives/corres/ins1.html - - - uuid: c5034e0c-eba6-4ecd-a541-79f0678f4ba4 - title: Executive Order 13587 - citation: - text: Executive Order 13587 - rlinks: - - - href: http://www.whitehouse.gov/the-press-office/2011/10/07/executive-order-13587-structural-reforms-improve-security-classified-net - - - uuid: 56d671da-6b7b-4abf-8296-84b61980390a - title: Federal Acquisition Regulation - citation: - text: Federal Acquisition Regulation - rlinks: - - - href: https://acquisition.gov/far - - - uuid: 023104bc-6f75-4cd5-b7d0-fc92326f8007 - title: Federal Continuity Directive 1 - citation: - text: Federal Continuity Directive 1 - rlinks: - - - href: http://www.fema.gov/pdf/about/offices/fcd1.pdf - - - uuid: ba557c91-ba3e-4792-adc6-a4ae479b39ff - title: FICAM Roadmap and Implementation Guidance - citation: - text: FICAM Roadmap and Implementation Guidance - rlinks: - - - href: http://www.idmanagement.gov/documents/ficam-roadmap-and-implementation-guidance - - - uuid: 39f9087d-7687-46d2-8eda-b6f4b7a4d8a9 - title: FIPS Publication 140 - citation: - text: FIPS Publication 140 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsFIPS.html - - - uuid: d715b234-9b5b-4e07-b1ed-99836727664d - title: FIPS Publication 140-2 - citation: - text: FIPS Publication 140-2 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsFIPS.html#140-2 - - - uuid: f2dbd4ec-c413-4714-b85b-6b7184d1c195 - title: FIPS Publication 197 - citation: - text: FIPS Publication 197 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsFIPS.html#197 - - - uuid: e85cdb3f-7f0a-4083-8639-f13f70d3760b - title: FIPS Publication 199 - citation: - text: FIPS Publication 199 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsFIPS.html#199 - - - uuid: c80c10b3-1294-4984-a4cc-d1733ca432b9 - title: FIPS Publication 201 - citation: - text: FIPS Publication 201 - rlinks: - - - href: http://csrc.nist.gov/publications/PubsFIPS.html#201 - - - uuid: ad733a42-a7ed-4774-b988-4930c28852f3 - title: HSPD-12 - citation: - text: HSPD-12 - rlinks: - - - href: http://www.dhs.gov/homeland-security-presidential-directive-12 - - - uuid: 4ef539ba-b767-4666-b0d3-168c53005fa3 - title: http://capec.mitre.org - citation: - text: http://capec.mitre.org - rlinks: - - - href: http://capec.mitre.org - - - uuid: e95dd121-2733-413e-bf1e-f1eb49f20a98 - title: http://checklists.nist.gov - citation: - text: http://checklists.nist.gov - rlinks: - - - href: http://checklists.nist.gov - - - uuid: 6a1041fc-054e-4230-946b-2e6f4f3731bb - title: http://csrc.nist.gov/cryptval - citation: - text: http://csrc.nist.gov/cryptval - rlinks: - - - href: http://csrc.nist.gov/cryptval - - - uuid: b09d1a31-d3c9-4138-a4f4-4c63816afd7d - title: http://csrc.nist.gov/groups/STM/cmvp/index.html - citation: - text: http://csrc.nist.gov/groups/STM/cmvp/index.html - rlinks: - - - href: http://csrc.nist.gov/groups/STM/cmvp/index.html - - - uuid: 0931209f-00ae-4132-b92c-bc645847e8f9 - title: http://cve.mitre.org - citation: - 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rlinks: - - - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - media-type: application/xml diff --git a/content/fedramp.gov/yaml/FedRAMP_MODERATE-baseline_profile.yaml b/content/fedramp.gov/yaml/FedRAMP_MODERATE-baseline_profile.yaml deleted file mode 100644 index c11f02e1f7..0000000000 --- a/content/fedramp.gov/yaml/FedRAMP_MODERATE-baseline_profile.yaml +++ /dev/null @@ -1,21952 +0,0 @@ -profile: - uuid: 8383f859-be40-453d-9588-c645af5bef6f - metadata: - title: FedRAMP Moderate Baseline - published: 2020-06-01T00:00:00.000-04:00 - last-modified: 2020-06-01T10:00:00.000-04:00 - version: 1.2 - oscal-version: 1.0.0-milestone3 - roles: - - - id: parpared-by - title: Document creator - - - id: fedramp-pmo - title: The FedRAMP Program Management Office (PMO) - short-name: CSP - - - id: fedramp-jab - title: The FedRAMP Joint Authorization Board (JAB) - short-name: CSP - parties: - - - uuid: 8cc0b8e5-9650-4d5f-9796-316f05fa9a2d - type: organization - party-name: Federal Risk and Authorization Management Program: Program Management Office - short-name: FedRAMP PMO - links: - - - href: https://fedramp.gov - rel: homepage - text: - addresses: - - - type: work - postal-address: 1800 F St. NW, - city: Washington - state: DC - postal-code: - country: US - email-addresses: info@fedramp.gov - - - uuid: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - type: organization - party-name: Federal Risk and Authorization Management Program: Joint Authorization Board - short-name: FedRAMP JAB - responsible-parties: - prepared-by: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-pmo: - party-uuids: 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - fedramp-jab: - party-uuids: ca9ba80e-1342-4bfd-b32a-abac468c24b4 - imports: - - - href: #ad005eae-cc63-4e64-9109-3905a9a825e4 - include: - id-selectors: - - - control-id: ac-1 - - - control-id: ac-2 - - - control-id: ac-2.1 - - - control-id: ac-2.2 - - - control-id: ac-2.3 - - - control-id: ac-2.4 - - - control-id: ac-2.5 - - - control-id: ac-2.7 - - - control-id: ac-2.9 - - - control-id: ac-2.10 - - - control-id: ac-2.12 - - - control-id: ac-3 - - - control-id: ac-4 - - - control-id: ac-4.21 - - - control-id: ac-5 - - - control-id: ac-6 - - - control-id: ac-6.1 - - - control-id: ac-6.2 - - - control-id: ac-6.5 - - - control-id: ac-6.9 - - - control-id: ac-6.10 - - - control-id: ac-7 - - - control-id: ac-8 - - - control-id: ac-10 - - - control-id: ac-11 - - - control-id: ac-11.1 - - - control-id: ac-12 - - - control-id: ac-14 - - - control-id: ac-17 - - - control-id: ac-17.1 - - - control-id: ac-17.2 - - - control-id: ac-17.3 - - - control-id: ac-17.4 - - - control-id: ac-17.9 - - - control-id: ac-18 - - - control-id: ac-18.1 - - - control-id: ac-19 - - - control-id: ac-19.5 - - - control-id: ac-20 - - - control-id: ac-20.1 - - - control-id: ac-20.2 - - - control-id: ac-21 - - - control-id: ac-22 - - - control-id: at-1 - - - control-id: at-2 - - - control-id: at-2.2 - - - control-id: at-3 - - - control-id: at-4 - - - control-id: au-1 - - - control-id: au-2 - - - control-id: au-2.3 - - - control-id: au-3 - - - control-id: au-3.1 - - - control-id: au-4 - - - control-id: au-5 - - - control-id: au-6 - - - control-id: au-6.1 - - - control-id: au-6.3 - - - control-id: au-7 - - - control-id: au-7.1 - - - control-id: au-8 - - - control-id: au-8.1 - - - control-id: au-9 - - - control-id: au-9.2 - - - control-id: au-9.4 - - - control-id: au-11 - - - control-id: au-12 - - - control-id: ca-1 - - - control-id: ca-2 - - - control-id: ca-2.1 - - - control-id: ca-2.2 - - - control-id: ca-2.3 - - - control-id: ca-3 - - - control-id: ca-3.3 - - - control-id: ca-3.5 - - - control-id: ca-5 - - - control-id: ca-6 - - - control-id: ca-7 - - - control-id: ca-7.1 - - - control-id: ca-8 - - - control-id: ca-8.1 - - - control-id: ca-9 - - - control-id: cm-1 - - - control-id: cm-2 - - - control-id: cm-2.1 - - - control-id: cm-2.2 - - - control-id: cm-2.3 - - - control-id: cm-2.7 - - - control-id: cm-3 - - - control-id: cm-4 - - - control-id: cm-5 - - - control-id: cm-5.1 - - - control-id: cm-5.3 - - - control-id: cm-5.5 - - - control-id: cm-6 - - - control-id: cm-6.1 - - - control-id: cm-7 - - - control-id: cm-7.1 - - - control-id: cm-7.2 - - - control-id: cm-7.5 - - - control-id: cm-8 - - - control-id: cm-8.1 - - - control-id: cm-8.3 - - - control-id: cm-8.5 - - - control-id: cm-9 - - - control-id: cm-10 - - - control-id: cm-10.1 - - - control-id: cm-11 - - - control-id: cp-1 - - - control-id: cp-2 - - - control-id: cp-2.1 - - - control-id: cp-2.2 - - - control-id: cp-2.3 - - - control-id: cp-2.8 - - - control-id: cp-3 - - - control-id: cp-4 - - - control-id: cp-4.1 - - - control-id: cp-6 - - - control-id: cp-6.1 - - - control-id: cp-6.3 - - - control-id: cp-7 - - - control-id: cp-7.1 - - - control-id: cp-7.2 - - - control-id: cp-7.3 - - - control-id: cp-8 - - - control-id: cp-8.1 - - - control-id: cp-8.2 - - - control-id: cp-9 - - - control-id: cp-9.1 - - - control-id: cp-9.3 - - - control-id: cp-10 - - - control-id: cp-10.2 - - - control-id: ia-1 - - - control-id: ia-2 - - - control-id: ia-2.1 - - - control-id: ia-2.2 - - - control-id: ia-2.3 - - - control-id: ia-2.5 - - - control-id: ia-2.8 - - - control-id: ia-2.11 - - - control-id: ia-2.12 - - - control-id: ia-3 - - - control-id: ia-4 - - - control-id: ia-4.4 - - - control-id: ia-5 - - - control-id: ia-5.1 - - - control-id: ia-5.2 - - - control-id: ia-5.3 - - - control-id: ia-5.4 - - - control-id: ia-5.6 - - - control-id: ia-5.7 - - - control-id: ia-5.11 - - - control-id: ia-6 - - - control-id: ia-7 - - - control-id: ia-8 - - - control-id: ia-8.1 - - - control-id: ia-8.2 - - - control-id: ia-8.3 - - - control-id: ia-8.4 - - - control-id: ir-1 - - - control-id: ir-2 - - - control-id: ir-3 - - - control-id: ir-3.2 - - - control-id: ir-4 - - - control-id: ir-4.1 - - - control-id: ir-5 - - - control-id: ir-6 - - - control-id: ir-6.1 - - - control-id: ir-7 - - - control-id: ir-7.1 - - - control-id: ir-7.2 - - - control-id: ir-8 - - - control-id: ir-9 - - - control-id: ir-9.1 - - - control-id: ir-9.2 - - - control-id: ir-9.3 - - - control-id: ir-9.4 - - - control-id: ma-1 - - - control-id: ma-2 - - - control-id: ma-3 - - - control-id: ma-3.1 - - - control-id: ma-3.2 - - - control-id: ma-3.3 - - - control-id: ma-4 - - - control-id: ma-4.2 - - - control-id: ma-5 - - - control-id: ma-5.1 - - - control-id: ma-6 - - - control-id: mp-1 - - - control-id: mp-2 - - - control-id: mp-3 - - - control-id: mp-4 - - - control-id: mp-5 - - - control-id: mp-5.4 - - - control-id: mp-6 - - - control-id: mp-6.2 - - - control-id: mp-7 - - - control-id: mp-7.1 - - - control-id: pe-1 - - - control-id: pe-2 - - - control-id: pe-3 - - - control-id: pe-4 - - - control-id: pe-5 - - - control-id: pe-6 - - - control-id: pe-6.1 - - - control-id: pe-8 - - - control-id: pe-9 - - - control-id: pe-10 - - - control-id: pe-11 - - - control-id: pe-12 - - - control-id: pe-13 - - - control-id: pe-13.2 - - - control-id: pe-13.3 - - - control-id: pe-14 - - - control-id: pe-14.2 - - - control-id: pe-15 - - - control-id: pe-16 - - - control-id: pe-17 - - - control-id: pl-1 - - - control-id: pl-2 - - - control-id: pl-2.3 - - - control-id: pl-4 - - - control-id: pl-4.1 - - - control-id: pl-8 - - - control-id: ps-1 - - - control-id: ps-2 - - - control-id: ps-3 - - - control-id: ps-3.3 - - - control-id: ps-4 - - - control-id: ps-5 - - - control-id: ps-6 - - - control-id: ps-7 - - - control-id: ps-8 - - - control-id: ra-1 - - - control-id: ra-2 - - - control-id: ra-3 - - - control-id: ra-5 - - - control-id: ra-5.1 - - - control-id: ra-5.2 - - - control-id: ra-5.3 - - - control-id: ra-5.5 - - - control-id: ra-5.6 - - - control-id: ra-5.8 - - - control-id: sa-1 - - - control-id: sa-2 - - - control-id: sa-3 - - - control-id: sa-4 - - - control-id: sa-4.1 - - - control-id: sa-4.2 - - - control-id: sa-4.8 - - - control-id: sa-4.9 - - - control-id: sa-4.10 - - - control-id: sa-5 - - - control-id: sa-8 - - - control-id: sa-9 - - - control-id: sa-9.1 - - - control-id: sa-9.2 - - - control-id: sa-9.4 - - - control-id: sa-9.5 - - - control-id: sa-10 - - - control-id: sa-10.1 - - - control-id: sa-11 - - - control-id: sa-11.1 - - - control-id: sa-11.2 - - - control-id: sa-11.8 - - - control-id: sc-1 - - - control-id: sc-2 - - - control-id: sc-4 - - - control-id: sc-5 - - - control-id: sc-6 - - - control-id: sc-7 - - - control-id: sc-7.3 - - - control-id: sc-7.4 - - - control-id: sc-7.5 - - - control-id: sc-7.7 - - - control-id: sc-7.8 - - - control-id: sc-7.12 - - - control-id: sc-7.13 - - - control-id: sc-7.18 - - - control-id: sc-8 - - - control-id: sc-8.1 - - - control-id: sc-10 - - - control-id: sc-12 - - - control-id: sc-12.2 - - - control-id: sc-12.3 - - - control-id: sc-13 - - - control-id: sc-15 - - - control-id: sc-17 - - - control-id: sc-18 - - - control-id: sc-19 - - - control-id: sc-20 - - - control-id: sc-21 - - - control-id: sc-22 - - - control-id: sc-23 - - - control-id: sc-28 - - - control-id: sc-28.1 - - - control-id: sc-39 - - - control-id: si-1 - - - control-id: si-2 - - - control-id: si-2.2 - - - control-id: si-2.3 - - - control-id: si-3 - - - control-id: si-3.1 - - - control-id: si-3.2 - - - control-id: si-3.7 - - - control-id: si-4 - - - control-id: si-4.1 - - - control-id: si-4.2 - - - control-id: si-4.4 - - - control-id: si-4.5 - - - control-id: si-4.14 - - - control-id: si-4.16 - - - control-id: si-4.23 - - - control-id: si-5 - - - control-id: si-6 - - - control-id: si-7 - - - control-id: si-7.1 - - - control-id: si-7.7 - - - control-id: si-8 - - - control-id: si-8.1 - - - control-id: si-8.2 - - - control-id: si-10 - - - control-id: si-11 - - - control-id: si-12 - - - control-id: si-16 - merge: - combine: - method: keep - as-is: true - modify: - parameter-settings: - ac-1_prm_2: - constraints: - - - detail: at least every 3 years - ac-1_prm_3: - constraints: - - - detail: at least annually - ac-2_prm_4: - constraints: - - - detail: at least annually - ac-2.2_prm_2: - constraints: - - - detail: no more than 30 days for temporary and emergency account types - ac-2.3_prm_1: - constraints: - - - detail: 90 days for user accounts - ac-6.2_prm_1: - constraints: - - - detail: all security functions - ac-7_prm_1: - constraints: - - - detail: not more than three (3) - ac-7_prm_2: - constraints: - - - detail: fifteen (15) minutes - ac-7_prm_4: - constraints: - - - detail: locks the account/node for thirty minutes - ac-8_prm_1: - constraints: - - - detail: see additional Requirements and Guidance - ac-8_prm_2: - constraints: - - - detail: see additional Requirements and Guidance] - ac-10_prm_2: - constraints: - - - detail: three (3) sessions for privileged access and two (2) sessions for non-privileged access - ac-11_prm_1: - constraints: - - - detail: fifteen (15) minutes - ac-17.9_prm_1: - constraints: - - - detail: fifteen 15 minutes - ac-22_prm_1: - constraints: - - - detail: at least quarterly - at-1_prm_2: - constraints: - - - detail: at least every 3 years - at-1_prm_3: - constraints: - - - detail: at least annually - at-2_prm_1: - constraints: - - - detail: at least annually - at-3_prm_1: - constraints: - - - detail: at least annually - at-4_prm_1: - constraints: - - - detail: At least one year - au-1_prm_2: - constraints: - - - detail: at least every 3 years - au-1_prm_3: - constraints: - - - detail: at least annually - au-2_prm_1: - constraints: - - - detail: successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - au-2_prm_2: - constraints: - - - detail: organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - au-2.3_prm_1: - constraints: - - - detail: annually or whenever there is a change in the threat environment - au-3.1_prm_1: - constraints: - - - detail: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon - au-5_prm_2: - constraints: - - - detail: organization-defined actions to be taken (overwrite oldest record) - au-6_prm_1: - constraints: - - - detail: at least weekly - au-8.1_prm_1: - constraints: - - - detail: At least hourly - au-8.1_prm_2: - constraints: - - - detail: http://tf.nist.gov/tf-cgi/servers.cgi - au-9.2_prm_1: - constraints: - - - detail: at least weekly - au-11_prm_1: - constraints: - - - detail: at least ninety days - au-12_prm_1: - constraints: - - - detail: all information system and network components where audit capability is deployed/available - ca-1_prm_2: - constraints: - - - detail: at least every 3 years - ca-1_prm_3: - constraints: - - - detail: at least annually - ca-2_prm_1: - constraints: - - - detail: at least annually - ca-2_prm_2: - constraints: - - - detail: individuals or roles to include FedRAMP PMO - ca-2.2_prm_1: - constraints: - - - detail: at least annually - ca-2.3_prm_1: - constraints: - - - detail: any FedRAMP Accredited 3PAO - ca-2.3_prm_2: - constraints: - - - detail: any FedRAMP Accredited 3PAO - ca-2.3_prm_3: - constraints: - - - detail: the conditions of the JAB/AO in the FedRAMP Repository - ca-3_prm_1: - constraints: - - - detail: at least annually and on input from FedRAMP - ca-3.3_prm_2: - constraints: - - - detail: Boundary Protections which meet the Trusted Internet Connection (TIC) requirements - ca-5_prm_1: - constraints: - - - detail: at least monthly - ca-6_prm_1: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ca-7_prm_4: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - ca-7_prm_5: - constraints: - - - detail: to meet Federal and FedRAMP requirements (See additional guidance) - ca-8_prm_1: - constraints: - - - detail: at least annually - cm-1_prm_2: - constraints: - - - detail: at least every 3 years - cm-1_prm_3: - constraints: - - - detail: at least annually - cm-2.1_prm_1: - constraints: - - - detail: at least annually or when a significant change occurs - cm-2.1_prm_2: - constraints: - - - detail: to include when directed by the JAB - cm-5.5_prm_1: - constraints: - - - detail: at least quarterly - cm-6_prm_1: - guidance: - - - prose: See CM-6(a) Additional FedRAMP Requirements and Guidance - cm-7_prm_1: - constraints: - - - detail: United States Government Configuration Baseline (USGCB) - cm-7.1_prm_1: - constraints: - - - detail: at least monthly - cm-7.5_prm_2: - constraints: - - - detail: at least Annually or when there is a change - cm-8_prm_2: - constraints: - - - detail: at least monthly - cm-8.3_prm_1: - constraints: - - - detail: Continuously, using automated mechanisms with a maximum five-minute delay in detection - cm-11_prm_3: - constraints: - - - detail: Continuously (via CM-7 (5)) - cp-1_prm_2: - constraints: - - - detail: at least every 3 years - cp-1_prm_3: - constraints: - - - detail: at least annually - cp-2_prm_3: - constraints: - - - detail: at least annually - cp-3_prm_1: - constraints: - - - detail: ten (10) days - cp-3_prm_2: - constraints: - - - detail: at least annually - cp-4_prm_1: - constraints: - - - detail: at least annually - cp-4_prm_2: - constraints: - - - detail: functional exercises - cp-9_prm_1: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_2: - constraints: - - - detail: daily incremental; weekly full - cp-9_prm_3: - constraints: - - - detail: daily incremental; weekly full - cp-9.1_prm_1: - constraints: - - - detail: at least annually - ia-1_prm_2: - constraints: - - - detail: at least every 3 years - ia-1_prm_3: - constraints: - - - detail: at least annually - ia-2.11_prm_1: - constraints: - - - detail: FIPS 140-2, NIAP Certification, or NSA approval - ia-4_prm_2: - constraints: - - - detail: IA-4 (d) [at least two years] - ia-4_prm_3: - constraints: - - - detail: ninety days for user identifiers (See additional requirements and guidance) - ia-4.4_prm_1: - constraints: - - - detail: contractors; foreign nationals - ia-5.1_prm_2: - constraints: - - - detail: at least one - ia-5.1_prm_4: - constraints: - - - detail: twenty four (24) - ia-5.3_prm_1: - constraints: - - - detail: All hardware/biometric (multifactor authenticators) - ia-5.3_prm_2: - constraints: - - - detail: in person - ir-1_prm_2: - constraints: - - - detail: at least every 3 years - ir-1_prm_3: - constraints: - - - detail: at least annually - ir-2_prm_2: - constraints: - - - detail: at least annually - ir-3_prm_1: - constraints: - - - detail: at least annually - ir-3_prm_2: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ir-6_prm_1: - constraints: - - - detail: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - ir-8_prm_2: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ir-8_prm_3: - constraints: - - - detail: at least annually - ir-8_prm_4: - constraints: - - - detail: see additional FedRAMP Requirements and Guidance - ma-1_prm_2: - constraints: - - - detail: at least every 3 years - ma-1_prm_3: - constraints: - - - detail: at least annually - ma-3.3_prm_1: - constraints: - - - detail: the information owner explicitly authorizing removal of the equipment from the facility - mp-1_prm_2: - constraints: - - - detail: at least every 3 years - mp-1_prm_3: - constraints: - - - detail: at least annually - mp-3_prm_1: - constraints: - - - detail: no removable media types - mp-4_prm_1: - constraints: - - - detail: all types of digital and non-digital media with sensitive information - mp-4_prm_2: - constraints: - - - detail: see additional FedRAMP requirements and guidance - mp-5_prm_1: - constraints: - - - detail: all media with sensitive information - mp-5_prm_2: - constraints: - - - detail: prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container - mp-6.2_prm_1: - constraints: - - - detail: at least annually - pe-1_prm_2: - constraints: - - - detail: at least every 3 years - pe-1_prm_3: - constraints: - - - detail: at least annually - pe-2_prm_1: - constraints: - - - detail: at least annually - pe-3_prm_2: - constraints: - - - detail: CSP defined physical access control systems/devices AND guards - pe-3_prm_3: - constraints: - - - detail: CSP defined physical access control systems/devices - pe-3_prm_6: - constraints: - - - detail: in all circumstances within restricted access area where the information system resides - pe-3_prm_8: - constraints: - - - detail: at least annually - pe-3_prm_9: - constraints: - - - detail: at least annually - pe-6_prm_1: - constraints: - - - detail: at least monthly - pe-8_prm_1: - constraints: - - - detail: for a minimum of one (1) year - pe-8_prm_2: - constraints: - - - detail: at least monthly - pe-14_prm_1: - constraints: - - - detail: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - pe-14_prm_2: - constraints: - - - detail: continuously - pe-16_prm_1: - constraints: - - - detail: all information system components - pl-1_prm_2: - constraints: - - - detail: at least every 3 years - pl-1_prm_3: - constraints: - - - detail: at least annually - pl-2_prm_2: - constraints: - - - detail: at least annually - pl-4_prm_1: - constraints: - - - detail: At least every 3 years - pl-8_prm_1: - constraints: - - - detail: At least annually or when a significant change occurs - ps-1_prm_2: - constraints: - - - detail: at least every 3 years - ps-1_prm_3: - constraints: - - - detail: at least annually - ps-2_prm_1: - constraints: - - - detail: at least every three years - ps-3_prm_1: - constraints: - - - detail: for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - ps-3.3_prm_1: - constraints: - - - detail: personnel screening criteria - as required by specific information - ps-4_prm_1: - constraints: - - - detail: same day - ps-5_prm_4: - constraints: - - - detail: five days of the time period following the formal transfer action (DoD 24 hours) - ps-6_prm_1: - constraints: - - - detail: at least annually - ps-6_prm_2: - constraints: - - - detail: at least annually - ps-7_prm_2: - constraints: - - - detail: organization-defined time period - same day - ra-1_prm_2: - constraints: - - - detail: at least every 3 years - ra-1_prm_3: - constraints: - - - detail: at least annually - ra-3_prm_2: - constraints: - - - detail: security assessment report - ra-3_prm_3: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ra-3_prm_5: - constraints: - - - detail: at least every three (3) years or when a significant change occurs - ra-5_prm_1: - constraints: - - - detail: monthly operating system/infrastructure; monthly web applications and databases - ra-5_prm_2: - constraints: - - - detail: high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - ra-5.2_prm_1: - constraints: - - - detail: prior to a new scan - ra-5.5_prm_1: - constraints: - - - detail: operating systems / web applications / databases - ra-5.5_prm_2: - constraints: - - - detail: all scans - sa-1_prm_2: - constraints: - - - detail: at least every 3 years - sa-1_prm_3: - constraints: - - - detail: at least annually - sa-4.2_prm_1: - constraints: - - - detail: to include security-relevant external system interfaces and high-level design - sa-4.8_prm_1: - constraints: - - - detail: at least the minimum requirement as defined in control CA-7 - sa-9_prm_1: - constraints: - - - detail: FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - sa-9_prm_2: - constraints: - - - detail: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - sa-9.2_prm_1: - constraints: - - - detail: all external systems where Federal information is processed or stored - sa-9.4_prm_2: - constraints: - - - detail: all external systems where Federal information is processed or stored - sa-9.5_prm_1: - constraints: - - - detail: information processing, information data, AND information services - sa-10_prm_1: - constraints: - - - detail: development, implementation, AND operation - sc-1_prm_2: - constraints: - - - detail: at least every 3 years - sc-1_prm_3: - constraints: - - - detail: at least annually - sc-7.4_prm_1: - constraints: - - - detail: at least annually - sc-8_prm_1: - constraints: - - - detail: confidentiality AND integrity - sc-8.1_prm_1: - constraints: - - - detail: prevent unauthorized disclosure of information AND detect changes to information - sc-8.1_prm_2: - constraints: - - - detail: a hardened or alarmed carrier Protective Distribution System (PDS) - sc-10_prm_1: - constraints: - - - detail: no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions - sc-12.2_prm_1: - constraints: - - - detail: NIST FIPS-compliant - sc-13_prm_1: - constraints: - - - detail: FIPS-validated or NSA-approved cryptography - sc-15_prm_1: - constraints: - - - detail: no exceptions - sc-28_prm_1: - constraints: - - - detail: confidentiality AND integrity - si-1_prm_2: - constraints: - - - detail: at least every 3 years - si-1_prm_3: - constraints: - - - detail: at least annually - si-2_prm_1: - constraints: - - - detail: within 30 days of release of updates - si-2.2_prm_1: - constraints: - - - detail: at least monthly - si-3_prm_1: - constraints: - - - detail: at least weekly - si-3_prm_2: - constraints: - - - detail: to include endpoints - si-3_prm_3: - constraints: - - - detail: to include alerting administrator or defined security personnel - si-4.4_prm_1: - constraints: - - - detail: continuously - si-5_prm_1: - constraints: - - - detail: to include US-CERT - si-5_prm_2: - constraints: - - - detail: to include system security personnel and administrators with configuration/patch-management responsibilities - si-6_prm_3: - constraints: - - - detail: to include upon system startup and/or restart - si-6_prm_4: - constraints: - - - detail: at least monthly - si-6_prm_5: - constraints: - - - detail: to include system administrators and security personnel - si-6_prm_7: - constraints: - - - detail: to include notification of system administrators and security personnel - si-7.1_prm_3: - constraints: - - - detail: Selection to include security relevant events - si-7.1_prm_4: - constraints: - - - detail: at least monthly - alterations: - - - control-id: ac-1 - additions: - 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value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ac-8 - additions: - - - position: ending - id-ref: ac-8_smt - parts: - - - id: ac-8_fr - name: item - title: AC-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: ac-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. - - - id: ac-8_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. - - - id: ac-8_fr_smt.3 - name: item - properties: - - - name: label - value: Requirement: - prose: If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO. - - - position: starting - id-ref: ac-8.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-8.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ac-8.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ac-8.c.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ac-8.c.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ac-8.c.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ac-8.c.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: at-1 - additions: - - - position: starting - id-ref: at-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: at-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: at-2 - additions: - - - position: starting - id-ref: at-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: at-2.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-2.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-2.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: at-2.2 - additions: - - - position: starting - id-ref: at-2.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: at-3 - additions: - - - position: starting - id-ref: at-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: at-3.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: at-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: at-4 - additions: - - - position: starting - id-ref: at-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: at-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: at-4.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: at-4.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-1 - additions: - - - position: starting - id-ref: au-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: au-11 - additions: - - - position: ending - id-ref: au-11_smt - parts: - - - id: au-11_fr - name: item - title: AU-11 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-11_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. - - - position: starting - id-ref: au-11 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-11.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-11_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-12 - additions: - - - position: starting - id-ref: au-12.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-12.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-12.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-12.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: au-2 - additions: - - - position: ending - id-ref: au-2_smt - parts: - - - id: au-2_fr - name: item - title: AU-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. - - - position: starting - id-ref: au-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-2.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-2.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-2.3 - additions: - - - position: ending - id-ref: au-2.3_smt - parts: - - - id: au-2.3_fr - name: item - title: AU-2 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-2.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO. - - - position: starting - id-ref: au-2.3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-2.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-2.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-3 - additions: - - - position: starting - id-ref: au-3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-3.1 - additions: - - - position: ending - id-ref: au-3.1_smt - parts: - - - id: au-3.1_fr - name: item - title: AU-3 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-3.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines audit record types *[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]*. The audit record types are approved and accepted by the JAB/AO. - - - id: au-3.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry. - - - position: starting - id-ref: au-3.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-3.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-4 - additions: - - - position: starting - id-ref: au-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-5 - additions: - - - position: starting - id-ref: au-5.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-6 - additions: - - - position: ending - id-ref: au-6_smt - parts: - - - id: au-6_fr - name: item - title: AU-6 Additional FedRAMP Requirements and Guidance - parts: - - - id: au-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tennant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented. - - - position: starting - id-ref: au-6 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-6.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-6.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-6.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-6.1 - additions: - - - position: starting - id-ref: au-6.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-6.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: au-6.3 - additions: - - - position: starting - id-ref: au-6.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-7 - additions: - - - position: starting - id-ref: au-7.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: au-7.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-7.1 - additions: - - - position: starting - id-ref: au-7.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-7.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-8 - additions: - - - position: starting - id-ref: au-8.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.b_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-8.1 - additions: - - - position: ending - id-ref: au-8.1_smt - parts: - - - id: au-8.1_fr - name: item - title: AU-8 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: au-8.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server. - - - id: au-8.1_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server. - - - id: au-8.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Synchronization of system clocks improves the accuracy of log analysis. - - - position: starting - id-ref: au-8.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-8.1.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.1.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.1.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-8.1.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-8.1.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9 - additions: - - - position: starting - id-ref: au-9.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: au-9.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9.2 - additions: - - - position: starting - id-ref: au-9.2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: au-9.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-9.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: au-9.4 - additions: - - - position: starting - id-ref: au-9.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: au-9.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-1 - additions: - - - position: starting - id-ref: ca-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ca-2 - additions: - - - position: ending - id-ref: ca-2_smt - parts: - - - id: ca-2_fr - name: item - title: CA-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-2.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ca-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-2.1 - additions: - - - position: ending - id-ref: ca-2.1_smt - parts: - - - id: ca-2.1_fr - name: item - title: CA-2 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.1_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO). - - - position: starting - id-ref: ca-2.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-2.2 - additions: - - - position: ending - id-ref: ca-2.2_smt - parts: - - - id: ca-2.2_fr - name: item - title: CA-2 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-2.2_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: To include 'announced', 'vulnerability scanning' - - - position: starting - id-ref: ca-2.2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-2.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.2_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-2.3 - additions: - - - position: starting - id-ref: ca-2.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-2.3_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-3 - additions: - - - position: starting - id-ref: ca-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-3.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ca-3.3 - additions: - - - position: ending - id-ref: ca-3.3_smt - parts: - - - id: ca-3.3_fr - name: item - title: CA-3 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document. - - - position: starting - id-ref: ca-3.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-3.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-3.5 - additions: - - - position: ending - id-ref: ca-3.5_smt - parts: - - - id: ca-3.5_fr - name: item - title: CA-3 (5) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-3.5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing - - - position: starting - id-ref: ca-3.5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-3.5_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-3.5_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-5 - additions: - - - position: ending - id-ref: ca-5_smt - parts: - - - id: ca-5_fr - name: item - title: CA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Plan of Action & Milestones (POA&M) must be provided at least monthly. - - - id: ca-5_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: - """ - See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide [https://www.fedramp.gov/documents/](https://www.fedramp.gov/documents/) - - """ - - - position: starting - id-ref: ca-5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ca-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ca-5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ca-5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ca-6 - additions: - - - position: ending - id-ref: ca-6_smt - parts: - - - id: ca-6_fr - name: item - title: CA-6(c) Additional FedRAMP Requirements and Guidance - parts: - - - id: ca-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. 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Database and Web Application Scans: at least monthly. 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- - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cm-5.5_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-5.6_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-5_obj.7 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-5_obj.8 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-5.1 - additions: - - - position: starting - id-ref: cm-5.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-5.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-5.3 - additions: - - - position: ending - id-ref: cm-5.3_smt - parts: - - - id: cm-5.3_fr - name: item - title: CM-5 (3) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-5.3_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized. - - - position: starting - id-ref: cm-5.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-5.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-5.5 - additions: - - - position: starting - id-ref: cm-5.5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-5.5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-5.5.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-5.5.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: cm-6 - additions: - - - position: ending - id-ref: cm-6_smt - parts: - - - id: cm-6_fr - name: item - title: CM-6(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-6_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement 1: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available. - - - id: cm-6_fr_smt.2 - name: item - properties: - - - name: label - value: Requirement 2: - prose: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) ([http://scap.nist.gov/](http://scap.nist.gov/)) validated or SCAP compatible (if validated checklists are not available). - - - id: cm-6_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline](https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline). - - - position: starting - id-ref: cm-6 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-6.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cm-6.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.c_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.c_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.c_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-6.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cm-6.1 - additions: - - - position: starting - id-ref: cm-6.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-6.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-7 - additions: - - - position: ending - id-ref: cm-7_smt - parts: - - - id: cm-7_fr - name: item - title: CM-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall use the Center for Internet Security guidelines (Level 1) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if USGCB is not available. - - - id: cm-7_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Information on the USGCB checklists can be found at: [http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc](http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc). Partially derived from AC-17(8). - - - position: starting - id-ref: cm-7.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-7.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-7.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-7.1 - additions: - - - position: starting - id-ref: cm-7.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-7.1.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-7.1.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-7.1.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-7.1.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-7.2 - additions: - - - position: ending - id-ref: cm-7.2_smt - parts: - - - id: cm-7.2_fr - name: item - title: CM-7 (2) Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-7.2_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. white listing). 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ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cm-7.5.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-7.5.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cm-8 - additions: - - - position: ending - id-ref: cm-8_smt - parts: - - - id: cm-8_fr - name: item - title: CM-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cm-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Must be provided at least monthly or when there is a change. - - - position: starting - id-ref: cm-8 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cm-8.a.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-8.a.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - 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- - position: starting - id-ref: cm-9.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cm-9.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-1 - additions: - - - position: starting - id-ref: cp-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - 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class: fedramp - value: TEST - - - position: starting - id-ref: cp-10.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: TEST - - - control-id: cp-10.2 - additions: - - - position: starting - id-ref: cp-10.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-2 - additions: - - - position: ending - id-ref: cp-2_smt - parts: - - - id: cp-2_fr - name: item - title: CP-2 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-2_fr_smt.1 - name: item - properties: - - - name: label - value: CP-2 Requirement: - prose: For JAB authorizations the contingency lists include designated FedRAMP personnel. - 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id-ref: cp-2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-2.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-2.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-2.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-2.g_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-2.1 - additions: - - - position: starting - id-ref: cp-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-2.2 - additions: - - - position: starting - id-ref: cp-2.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-2.3 - additions: - - - position: starting - id-ref: cp-2.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-2.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-2.8 - additions: - - - position: starting - id-ref: cp-2.8_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-3 - additions: - - - position: starting - id-ref: cp-3 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-3.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-3.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-3.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-3.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-3.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-4 - additions: - - - position: ending - id-ref: cp-4_smt - parts: - - - id: cp-4_fr - name: item - title: CP-4(a) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-4_fr_smt.a - name: item - properties: - - - name: label - value: CP-4(a) Requirement: - prose: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing. - - - position: starting - id-ref: cp-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-4.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-4.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-4.1 - additions: - - - position: starting - id-ref: cp-4.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-6 - additions: - - - position: starting - id-ref: cp-6.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: cp-6.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-6.1 - additions: - - - position: starting - id-ref: cp-6.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-6.3 - additions: - - - position: starting - id-ref: cp-6.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-6.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7 - additions: - - - position: ending - id-ref: cp-7_smt - parts: - - - id: cp-7_fr - name: item - title: CP-7 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7_fr_smt.a - name: item - properties: - - - name: label - value: (a) Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - position: starting - id-ref: cp-7 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-7.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-7.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-7.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-7.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-7.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-7.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-7.1 - additions: - - - position: ending - id-ref: cp-7.1_smt - parts: - - - id: cp-7.1_fr - name: item - title: CP-7 (1) Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-7.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant. - - - position: starting - id-ref: cp-7.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7.2 - additions: - - - position: starting - id-ref: cp-7.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-7.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-7.3 - additions: - - - position: starting - id-ref: cp-7.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-8 - additions: - - - position: ending - id-ref: cp-8_smt - parts: - - - id: cp-8_fr - name: item - title: CP-8 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-8_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines a time period consistent with the recovery time objectives and business impact analysis. - - - position: starting - id-ref: cp-8.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-8.1 - additions: - - - position: starting - id-ref: cp-8.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-8.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-8.2 - additions: - - - position: starting - id-ref: cp-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: cp-9 - additions: - - - position: ending - id-ref: cp-9_smt - parts: - - - id: cp-9_fr - name: item - title: CP-9 Additional FedRAMP Requirements and Guidance - parts: - - - id: cp-9_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check. - - - id: cp-9_fr_smt.a - name: item - properties: - - - name: label - value: CP-9(a) Requirement: - prose: The service provider maintains at least three backup copies of user-level information (at least one of which is available online). - - - id: cp-9_fr_smt.b - name: item - properties: - - - name: label - value: CP-9(b)Requirement: - prose: The service provider maintains at least three backup copies of system-level information (at least one of which is available online). - - - id: cp-9_fr_smt.c - name: item - properties: - - - name: label - value: CP-9(c)Requirement: - prose: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online). - - - position: starting - id-ref: cp-9 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-9.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.c_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.c_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: cp-9.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: cp-9.1 - additions: - - - position: starting - id-ref: cp-9.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: cp-9.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: TEST - - - control-id: cp-9.3 - additions: - - - position: starting - id-ref: cp-9.3_obj.1.a - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.3_obj.1.b - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: cp-9.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ia-1 - additions: - - - position: starting - id-ref: ia-1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-1.a.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.1_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-1.a.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.a.2_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-1.b.1_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.1_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.2_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-1.b.2_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - control-id: ia-2 - additions: - - - position: starting - id-ref: ia-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.1 - additions: - - - position: starting - id-ref: ia-2.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.11 - additions: - - - position: ending - id-ref: ia-2.11_smt - parts: - - - id: ia-2.11_fr - name: item - title: IA-2 (11) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.11_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials. - - - position: starting - id-ref: ia-2.11_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.11_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.11_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-2.11_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-2.11_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.11_obj.6 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.12 - additions: - - - position: ending - id-ref: ia-2.12_smt - parts: - - - id: ia-2.12_fr - name: item - title: IA-2 (12) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-2.12_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12. - - - position: starting - id-ref: ia-2.12_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-2.12_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.2 - additions: - - - position: starting - id-ref: ia-2.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.3 - additions: - - - position: starting - id-ref: ia-2.3_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.5 - additions: - - - position: starting - id-ref: ia-2.5_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-2.8 - additions: - - - position: starting - id-ref: ia-2.8_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-3 - additions: - - - position: starting - id-ref: ia-3.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-4 - additions: - - - position: ending - id-ref: ia-4_smt - parts: - - - id: ia-4_fr - name: item - title: IA-4(e) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-4_fr_smt.e - name: item - properties: - - - name: label - value: Requirement: - prose: The service provider defines the time period of inactivity for device identifiers. - - - id: ia-4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP [http://iase.disa.mil/cloud_security/Pages/index.aspx](http://iase.disa.mil/cloud_security/Pages/index.aspx). - - - position: starting - id-ref: ia-4 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-4.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-4.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-4.4 - additions: - - - position: starting - id-ref: ia-4.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-4.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5 - additions: - - - position: ending - id-ref: ia-5_smt - parts: - - - id: ia-5_fr - name: item - title: IA-5 Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5_fr_smt.1 - name: item - properties: - - - name: label - value: Requirement: - prose: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link [https://pages.nist.gov/800-63-3](https://pages.nist.gov/800-63-3). - - - position: starting - id-ref: ia-5 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-5.a_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.e_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.f_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.f_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.f_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.g_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.g_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.h_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.i_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - position: starting - id-ref: ia-5.i_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.j_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.1 - additions: - - - position: ending - id-ref: ia-5.1_smt - parts: - - - id: ia-5.1_fr - name: item - title: IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.1_fr_gdn.1 - name: guidance - properties: - - - name: label - value: (a) (d) Guidance: - prose: If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant. - - - position: starting - id-ref: ia-5.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: ia-5.1.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.a_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.b_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.b_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.d_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.d_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.d_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.d_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.e_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.1.e_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.1.f_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.11 - additions: - - - position: starting - id-ref: ia-5.11_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.11_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.2 - additions: - - - position: starting - id-ref: ia-5.2.a_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.a_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.a_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.b_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.c_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - position: starting - id-ref: ia-5.2.d_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.3 - additions: - - - position: starting - id-ref: ia-5.3_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.3 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.4 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.3_obj.5 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - control-id: ia-5.4 - additions: - - - position: ending - id-ref: ia-5.4_smt - parts: - - - id: ia-5.4_fr - name: item - title: IA-5 (4) Additional FedRAMP Requirements and Guidance - parts: - - - id: ia-5.4_fr_gdn.1 - name: guidance - properties: - - - name: label - value: Guidance: - prose: If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators. - - - position: starting - id-ref: ia-5.4_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: ia-5.4_obj.2 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.6 - additions: - - - position: starting - id-ref: ia-5.6_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-5.7 - additions: - - - position: starting - id-ref: ia-5.7_obj.1 - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-6 - additions: - - - position: starting - id-ref: ia-6_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: ia-7 - additions: - - - position: starting - id-ref: ia-7_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - 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ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: si-7 - additions: - - - position: starting - id-ref: si-7_obj.1.a - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: si-7_obj.1.b - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: si-7_obj.1.c - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - position: starting - id-ref: si-7.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: INTERVIEW - 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- - name: method - class: fedramp - value: TEST - - - control-id: si-8.1 - additions: - - - position: starting - id-ref: si-8.1 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: si-8.1_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - - - control-id: si-8.2 - additions: - - - position: starting - id-ref: si-8.2 - properties: - - - name: CORE - ns: https://fedramp.gov/ns/oscal - value: - - - position: starting - id-ref: si-8.2_obj - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: assessment-objective - - - name: method - class: fedramp - value: EXAMINE - - - name: method - class: fedramp - value: INTERVIEW - - - name: method - class: fedramp - value: TEST - back-matter: - resources: - - - uuid: 985475ee-d4d6-4581-8fdf-d84d3d8caa48 - title: FedRAMP Applicable Laws and Regulations - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-citations - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/templates/SSP-A12-FedRAMP-Laws-and-Regulations-Template.xlsx - - - uuid: 1a23a771-d481-4594-9a1a-71d584fa4123 - title: FedRAMP Master Acronym and Glossary - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-acronyms - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/resources/documents/FedRAMP_Master_Acronym_and_Glossary.pdf - - - uuid: a2381e87-3d04-4108-a30b-b4d2f36d001f - desc: FedRAMP Logo - properties: - - - name: conformity - ns: https://fedramp.gov/ns/oscal - value: fedramp-logo - - - name: keep - value: always - rlinks: - - - href: https://www.fedramp.gov/assets/img/logo-main-fedramp.png - - - uuid: ad005eae-cc63-4e64-9109-3905a9a825e4 - title: NIST Special Publication (SP) 800-53 - properties: - - - name: version - ns: https://fedramp.gov/ns/oscal - value: Revision 4 - - - name: keep - value: always - rlinks: - - - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_catalog.yaml - media-type: application/xml diff --git a/content/nist.gov/SP800-53/README.md b/content/nist.gov/SP800-53/README.md index 0232538dbb..f57b2df529 100644 --- a/content/nist.gov/SP800-53/README.md +++ b/content/nist.gov/SP800-53/README.md @@ -1,20 +1,3 @@ -# NIST produced OSCAL content for NIST Special Publication 800-53 +# Content Moved -NIST is maintining OSCAL content for multiple revisions of the NIST Special Publication (SP) 800-53. - -OSCAL XML-, JSON-, and YAML-based content is provided for the following revisions: - -- NIST [SP 800-53 Revision 4][sp800-53-rev4] OSCAL catalog and baseline profiles [content][sp800-53-rev4-oscal]. -- NIST [SP 800-53 Revision 5][sp800-53-rev5] Final Public Draft (FPD) OSCAL catalog [content][sp800-53-rev5-oscal]. - - Note: In the SP 800-53 Revision 5 FPD, the control catalog and control baselines are separated. The control baselines will be published at a future date. When the baselines are published, NIST will provide a corresponding OSCAL profile for each baseline at that time. - - Please refer to the [publication announcement][sp800-53-rev5-announcement] for more information, along with information on providing feedback on the draft. - -The OSCAL XML, JSON, and YAML variants are all equivalent in their information content. These variants are provided to support tooling on different format-specific implementation stacks. - -[sp800-53-rev4-oscal]: rev4 -[sp800-53-rev4]: https://csrc.nist.gov/publications/detail/sp/800-53/rev-4/final -[sp800-53-rev5-oscal]: rev5 -[sp800-53-rev5]: https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/draft -[sp800-53-rev5-announcement]: https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/draft \ No newline at end of file +All NIST Special Publication (SP) 800-53 OSCAL content files have been moved to the [OSCAL content GitHub repository](https://github.com/usnistgov/oscal-content/tree/master/nist.gov/SP800-53). diff --git a/content/ssp-example/json/ssp-example-min.json b/content/ssp-example/json/ssp-example-min.json deleted file mode 100644 index f84bc74309..0000000000 --- a/content/ssp-example/json/ssp-example-min.json +++ /dev/null @@ -1,376 +0,0 @@ -{ - "system-security-plan": { - "uuid": "66c2a1c8-5830-48bd-8fdd-55a1c3a52888", - "metadata": { - "title": "Enterprise Logging and Auditing System Security Plan", - "last-modified": "2019-09-23T18:14:50.591Z", - "version": "1.0", - "oscal-version": "1.0.0-milestone3", - "roles": [ - { - "id": "legal-officer", - "title": "Legal Officer" - } - ], - "parties": [ - { - "uuid": "3b2a5599-cc37-403f-ae36-5708fa804b27", - "type": "organization", - "party-name": "Enterprise Asset Owners" - }, - { - "uuid": "833ac398-5c9a-4e6b-acba-2a9c11399da0", - "type": "organization", - "party-name": "Enterprise Asset Administrators" - }, - { - "uuid": "ec485dcf-2519-43f5-8e7d-014cc315332d", - "type": "organization", - "party-name": "Legal Department" - }, - { - "uuid": "0f0c15ed-565e-4ce9-8670-b54853d0bf03", - "type": "organization", - "party-name": "IT Department" - }, - { - "uuid": "96c362ee-a012-4e07-92f3-486ab303b0e7", - "type": "organization", - "party-name": "Acme Corp" - } - ] - }, - "import-profile": {"href": "../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json"}, - "system-characteristics": { - "system-name": "Enterprise Logging and Auditing System", - "description": "This is an example of a system that provides enterprise logging and log auditing capabilities.", - "system-ids": [ - { - "id": "d7456980-9277-4dcb-83cf-f8ff0442623b", - "identifier-type": "https://ietf.org/rfc/rfc4122" - } - ], - "security-sensitivity-level": "moderate", - "system-information": { - "information-types": [ - { - "uuid": "7d28ac6e-5970-4f4c-a508-5a3715f0f02b", - "title": "System and Network Monitoring", - "information-type-ids": { - "https://doi.org/10.6028/NIST.SP.800-60v2r1": {"id": "C.3.5.8"} - }, - "description": "This system maintains historical logging and auditing information for all client devices connected to this system.", - "confidentiality-impact": {"base": "fips-199-moderate"}, - "integrity-impact": {"base": "fips-199-moderate"}, - "availability-impact": {"base": "fips-199-low"} - } - ] - }, - "security-impact-level": { - "security-objective-confidentiality": "fips-199-moderate", - "security-objective-integrity": "fips-199-moderate", - "security-objective-availability": "fips-199-low" - }, - "status": { - "state": "other", - "remarks": "This is an example, and is not intended to be implemented as a system" - }, - "annotations": [ - { - "name": "deployment-model", - "value": "private" - }, - { - "name": "service-models", - "value": "iaas" - } - ], - "authorization-boundary": {"description": "The description of the authorization boundary would go here."} - }, - "system-implementation": { - "remarks": "This is a partial implementation that addresses the logging server portion of the auditing system.", - "users": { - "9824089b-322c-456f-86c4-4111c4200f69": { - "title": "System Administrator", - "role-ids": ["asset-administrator"], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - }, - "ae8de94c-835d-4303-83b1-114b6a117a07": { - "title": "Audit Team", - "role-ids": ["asset-owner"], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - }, - "372ce7a3-92b0-437e-a98c-24d29f9bfab8": { - "title": "Legal Department", - "role-ids": ["legal-officer"], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - } - }, - "components": { - "e00acdcf-911b-437d-a42f-b0b558cc4f03": { - "title": "Logging Server", - "description": "Provides a means for hosts to publish logged events to a central server.", - "status": {"state": "operational"}, - "component-type": "software", - "responsible-roles": { - "provider": { - "party-uuids": ["96c362ee-a012-4e07-92f3-486ab303b0e7"] - }, - "asset-owner": { - "party-uuids": ["3b2a5599-cc37-403f-ae36-5708fa804b27"] - }, - "asset-administrator": { - "party-uuids": ["833ac398-5c9a-4e6b-acba-2a9c11399da0"] - } - } - }, - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "title": "Enterprise Logging, Monitoring, and Alerting Policy", - "component-type": "policy", - "description": "Requires all components to send logs to the enterprise logging solution\n\u2014 Requires all components synchronize their time with the appropriate enterprise time service, and at what frequency.\n\u2014 Identifies the events that must be captured\n\u2014 Identifies who is responsible/accountable for performing these functions", - "status": {"state": "operational"}, - "properties": [ - { - "name": "version", - "value": "2.1" - }, - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["ec485dcf-2519-43f5-8e7d-014cc315332d"] - } - } - }, - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "title": "System Integration Process", - "component-type": "process", - "description": "Ensures proper integration into the enterprise as new systems are brought into production.", - "status": {"state": "operational"}, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures logs from components in new system are able to published to the logging server. Ensures log monitoring capabilities recognize new system as authorized." - } - ] - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "title": "Inventory Management Process", - "component-type": "process", - "description": "Describes how new components are introduced into the system - ensures monitoring teams know about every asset that should be producing logs, thus should be monitored.", - "status": {"state": "operational"}, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are known and authorized. Ensures that these hosts publish log events to the logging server." - } - ] - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "title": "Configuration Management Guidance", - "component-type": "guidance", - "description": "Describes how to configure a component to ensure its logs are transmitted to Splunk in the appropriate format. Also describes how to configure time synchronization.", - "status": {"state": "operational"}, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are configured to publish log events to the logging server." - } - ] - } - }, - "system-inventory": { - "inventory-items": { - "c9c32657-a0eb-4cf2-b5c1-20928983063c": { - "description": "The logging server.", - "asset-id": "asset-id-logging-server", - "responsible-parties": { - "asset-administrator": { - "party-uuids": ["833ac398-5c9a-4e6b-acba-2a9c11399da0"] - }, - "asset-owner": { - "party-uuids": ["3b2a5599-cc37-403f-ae36-5708fa804b27"] - } - }, - "implemented-components": { - "e00acdcf-911b-437d-a42f-b0b558cc4f03": {"use": "runs-software"}, - "795533ab-9427-4abe-820f-0b571bacfe6d": {"use": "enforces-policy"} - } - } - } - } - }, - "control-implementation": { - "description": "This is the control implementation for the system.", - "implemented-requirements": [ - { - "uuid": "aaadb3ff-6ae8-4332-92db-211468c52af2", - "control-id": "au-1", - "description": "This should be a description of how au-1 is implemented.", - "statements": { - "au-1smt": { - "uuid": "7ad47329-dc55-4196-a19d-178a8fe7438d", - "description": "N/A" - }, - "au-1smt.a": { - "uuid": "f3887a91-9ed3-425c-b305-21e4634a1c34", - "description": "", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "a74681b2-fbcb-46eb-90fd-0d55aa74ac7b", - "description": "The legal department develops, documents, and disseminates this policy to all staff and contractors within the organization.", - "parameter-settings": { - "au-1_prm_1": {"value": "all staff and contractors within the organization"} - } - }, - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "4f873ce6-dd49-4a46-bd4a-5041c22665f1", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": {"value": "all IT staff who administer this system when the staff member is assigned and annually through training"} - } - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "ea85a624-cd21-4c63-abe0-f66087e97241", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": {"value": "all IT staff who administer this system when the staff member is assigned and annually through training"} - } - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "b5e5823a-844f-4306-a5ab-7e110679e0d5", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": {"value": "all IT staff who administer this system when the staff member is assigned and annually through training"} - } - } - } - }, - "au-1smt.a.1": { - "uuid": "6fe632bd-33aa-4eea-a507-a37f0d212085", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "2d0a7b08-da7f-4691-b99c-8fd9df02b25c", - "description": "This policy explicitly states the purpose and scope of the policy in Section 1. Roles and responsibilities are described in Section 2. This section also describes responsibilities for organizational coordination. Management commitment and compliance statements are made in the board\u2019s directive memo dated January 1, 2012." - } - } - }, - "au-1smt.a.2": { - "uuid": "dbe9af68-1cd9-4ff1-965b-8f887351d411", - "by-components": { - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "dd4fd380-7a2a-4fba-9e98-933ba5cfc04d", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "3b912d0f-2463-497c-8d8a-72416f38e999", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "226ee2a2-cbdb-498f-8182-94dfa013476c", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - } - } - }, - "au-1_smt.b": { - "uuid": "b1773cd6-afc5-4c87-84a7-f182e6be5af9", - "remarks": "N/A" - }, - "au-1_smt.b.1": { - "uuid": "75873308-f37d-4e89-9c27-29f3dee4b314", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "23903c59-1327-46f0-9c28-09ec7f144214", - "parameter-settings": { - "au-1_prm_2": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The legal department reviews this policy annually, and other times as necessary in response to regulatory or organizational changes. The legal department updates the policy as needed based on these reviews." - } - } - }, - "au-1_smt.b.2": { - "uuid": "74b5b0f2-9915-4f80-b7cd-379566442ab6", - "by-components": { - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "0c45b6e2-f85b-4656-a6cc-2a302d184720", - "parameter-settings": { - "au-1_prm_3": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "094f02ce-4b7a-405c-90a5-ab4d95133f74", - "parameter-settings": { - "au-1_prm_3": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "7ec8b7ec-d931-4055-ac74-6d288d636787", - "parameter-settings": { - "au-1_prm_3": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews" - } - } - } - } - } - ] - } - } -} \ No newline at end of file diff --git a/content/ssp-example/json/ssp-example.json b/content/ssp-example/json/ssp-example.json deleted file mode 100644 index 83453bc2f4..0000000000 --- a/content/ssp-example/json/ssp-example.json +++ /dev/null @@ -1,442 +0,0 @@ -{ - "system-security-plan": { - "uuid": "66c2a1c8-5830-48bd-8fdd-55a1c3a52888", - "metadata": { - "title": "Enterprise Logging and Auditing System Security Plan", - "last-modified": "2019-09-23T18:14:50.591Z", - "version": "1.0", - "oscal-version": "1.0.0-milestone3", - "roles": [ - { - "id": "legal-officer", - "title": "Legal Officer" - } - ], - "parties": [ - { - "uuid": "3b2a5599-cc37-403f-ae36-5708fa804b27", - "type": "organization", - "party-name": "Enterprise Asset Owners" - }, - { - "uuid": "833ac398-5c9a-4e6b-acba-2a9c11399da0", - "type": "organization", - "party-name": "Enterprise Asset Administrators" - }, - { - "uuid": "ec485dcf-2519-43f5-8e7d-014cc315332d", - "type": "organization", - "party-name": "Legal Department" - }, - { - "uuid": "0f0c15ed-565e-4ce9-8670-b54853d0bf03", - "type": "organization", - "party-name": "IT Department" - }, - { - "uuid": "96c362ee-a012-4e07-92f3-486ab303b0e7", - "type": "organization", - "party-name": "Acme Corp" - } - ] - }, - "import-profile": { - "href": "../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json" - }, - "system-characteristics": { - "system-name": "Enterprise Logging and Auditing System", - "description": "This is an example of a system that provides enterprise logging and log auditing capabilities.", - "system-ids": [ - { - "id": "d7456980-9277-4dcb-83cf-f8ff0442623b", - "identifier-type": "https://ietf.org/rfc/rfc4122" - } - ], - "security-sensitivity-level": "moderate", - "system-information": { - "information-types": [ - { - "uuid": "7d28ac6e-5970-4f4c-a508-5a3715f0f02b", - "title": "System and Network Monitoring", - "information-type-ids": { - "https://doi.org/10.6028/NIST.SP.800-60v2r1": { - "id": "C.3.5.8" - } - }, - "description": "This system maintains historical logging and auditing information for all client devices connected to this system.", - "confidentiality-impact": { - "base": "fips-199-moderate" - }, - "integrity-impact": { - "base": "fips-199-moderate" - }, - "availability-impact": { - "base": "fips-199-low" - } - } - ] - }, - "security-impact-level": { - "security-objective-confidentiality": "fips-199-moderate", - "security-objective-integrity": "fips-199-moderate", - "security-objective-availability": "fips-199-low" - }, - "status": { - "state": "other", - "remarks": "This is an example, and is not intended to be implemented as a system" - }, - "annotations": [ - { - "name": "deployment-model", - "value": "private" - }, - { - "name": "service-models", - "value": "iaas" - } - ], - "authorization-boundary": { - "description": "The description of the authorization boundary would go here." - } - }, - "system-implementation": { - "remarks": "This is a partial implementation that addresses the logging server portion of the auditing system.", - "users": { - "9824089b-322c-456f-86c4-4111c4200f69": { - "title": "System Administrator", - "role-ids": [ - "asset-administrator" - ], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - }, - "ae8de94c-835d-4303-83b1-114b6a117a07": { - "title": "Audit Team", - "role-ids": [ - "asset-owner" - ], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - }, - "372ce7a3-92b0-437e-a98c-24d29f9bfab8": { - "title": "Legal Department", - "role-ids": [ - "legal-officer" - ], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - } - }, - "components": { - "e00acdcf-911b-437d-a42f-b0b558cc4f03": { - "title": "Logging Server", - "description": "Provides a means for hosts to publish logged events to a central server.", - "status": { - "state": "operational" - }, - "component-type": "software", - "responsible-roles": { - "provider": { - "party-uuids": [ - "96c362ee-a012-4e07-92f3-486ab303b0e7" - ] - }, - "asset-owner": { - "party-uuids": [ - "3b2a5599-cc37-403f-ae36-5708fa804b27" - ] - }, - "asset-administrator": { - "party-uuids": [ - "833ac398-5c9a-4e6b-acba-2a9c11399da0" - ] - } - } - }, - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "title": "Enterprise Logging, Monitoring, and Alerting Policy", - "component-type": "policy", - "description": "Requires all components to send logs to the enterprise logging solution\n— Requires all components synchronize their time with the appropriate enterprise time service, and at what frequency.\n— Identifies the events that must be captured\n— Identifies who is responsible/accountable for performing these functions", - "status": { - "state": "operational" - }, - "properties": [ - { - "name": "version", - "value": "2.1" - }, - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": [ - "ec485dcf-2519-43f5-8e7d-014cc315332d" - ] - } - } - }, - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "title": "System Integration Process", - "component-type": "process", - "description": "Ensures proper integration into the enterprise as new systems are brought into production.", - "status": { - "state": "operational" - }, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": [ - "0f0c15ed-565e-4ce9-8670-b54853d0bf03" - ] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures logs from components in new system are able to published to the logging server. Ensures log monitoring capabilities recognize new system as authorized." - } - ] - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "title": "Inventory Management Process", - "component-type": "process", - "description": "Describes how new components are introduced into the system - ensures monitoring teams know about every asset that should be producing logs, thus should be monitored.", - "status": { - "state": "operational" - }, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": [ - "0f0c15ed-565e-4ce9-8670-b54853d0bf03" - ] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are known and authorized. Ensures that these hosts publish log events to the logging server." - } - ] - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "title": "Configuration Management Guidance", - "component-type": "guidance", - "description": "Describes how to configure a component to ensure its logs are transmitted to Splunk in the appropriate format. Also describes how to configure time synchronization.", - "status": { - "state": "operational" - }, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": [ - "0f0c15ed-565e-4ce9-8670-b54853d0bf03" - ] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are configured to publish log events to the logging server." - } - ] - } - }, - "system-inventory": { - "inventory-items": { - "c9c32657-a0eb-4cf2-b5c1-20928983063c": { - "description": "The logging server.", - "asset-id": "asset-id-logging-server", - "responsible-parties": { - "asset-administrator": { - "party-uuids": [ - "833ac398-5c9a-4e6b-acba-2a9c11399da0" - ] - }, - "asset-owner": { - "party-uuids": [ - "3b2a5599-cc37-403f-ae36-5708fa804b27" - ] - } - }, - "implemented-components": { - "e00acdcf-911b-437d-a42f-b0b558cc4f03": { - "use": "runs-software" - }, - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "use": "enforces-policy" - } - } - } - } - } - }, - "control-implementation": { - "description": "This is the control implementation for the system.", - "implemented-requirements": [ - { - "uuid": "aaadb3ff-6ae8-4332-92db-211468c52af2", - "control-id": "au-1", - "description": "This should be a description of how au-1 is implemented.", - "statements": { - "au-1smt": { - "uuid": "7ad47329-dc55-4196-a19d-178a8fe7438d", - "description": "N/A" - }, - "au-1smt.a": { - "uuid": "f3887a91-9ed3-425c-b305-21e4634a1c34", - "description": "", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "a74681b2-fbcb-46eb-90fd-0d55aa74ac7b", - "description": "The legal department develops, documents, and disseminates this policy to all staff and contractors within the organization.", - "parameter-settings": { - "au-1_prm_1": { - "value": "all staff and contractors within the organization" - } - } - }, - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "4f873ce6-dd49-4a46-bd4a-5041c22665f1", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": { - "value": "all IT staff who administer this system when the staff member is assigned and annually through training" - } - } - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "ea85a624-cd21-4c63-abe0-f66087e97241", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": { - "value": "all IT staff who administer this system when the staff member is assigned and annually through training" - } - } - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "b5e5823a-844f-4306-a5ab-7e110679e0d5", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": { - "value": "all IT staff who administer this system when the staff member is assigned and annually through training" - } - } - } - } - }, - "au-1smt.a.1": { - "uuid": "6fe632bd-33aa-4eea-a507-a37f0d212085", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "2d0a7b08-da7f-4691-b99c-8fd9df02b25c", - "description": "This policy explicitly states the purpose and scope of the policy in Section 1. Roles and responsibilities are described in Section 2. This section also describes responsibilities for organizational coordination. Management commitment and compliance statements are made in the board’s directive memo dated January 1, 2012." - } - } - }, - "au-1smt.a.2": { - "uuid": "dbe9af68-1cd9-4ff1-965b-8f887351d411", - "by-components": { - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "dd4fd380-7a2a-4fba-9e98-933ba5cfc04d", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "3b912d0f-2463-497c-8d8a-72416f38e999", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "226ee2a2-cbdb-498f-8182-94dfa013476c", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - } - } - }, - "au-1_smt.b": { - "uuid": "b1773cd6-afc5-4c87-84a7-f182e6be5af9", - "remarks": "N/A" - }, - "au-1_smt.b.1": { - "uuid": "75873308-f37d-4e89-9c27-29f3dee4b314", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "23903c59-1327-46f0-9c28-09ec7f144214", - "parameter-settings": { - "au-1_prm_2": { - "value": "annually, and other times as necessary in response to regulatory or organizational changes" - } - }, - "description": "The legal department reviews this policy annually, and other times as necessary in response to regulatory or organizational changes. The legal department updates the policy as needed based on these reviews." - } - } - }, - "au-1_smt.b.2": { - "uuid": "74b5b0f2-9915-4f80-b7cd-379566442ab6", - "by-components": { - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "0c45b6e2-f85b-4656-a6cc-2a302d184720", - "parameter-settings": { - "au-1_prm_3": { - "value": "annually, and other times as necessary in response to regulatory or organizational changes" - } - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "094f02ce-4b7a-405c-90a5-ab4d95133f74", - "parameter-settings": { - "au-1_prm_3": { - "value": "annually, and other times as necessary in response to regulatory or organizational changes" - } - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "7ec8b7ec-d931-4055-ac74-6d288d636787", - "parameter-settings": { - "au-1_prm_3": { - "value": "annually, and other times as necessary in response to regulatory or organizational changes" - } - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews" - } - } - } - } - } - ] - } - } -} diff --git a/content/ssp-example/xml/ssp-example.xml b/content/ssp-example/xml/ssp-example.xml deleted file mode 100644 index 73ba2ae640..0000000000 --- a/content/ssp-example/xml/ssp-example.xml +++ /dev/null @@ -1,304 +0,0 @@ - - - - Enterprise Logging and Auditing System Security Plan - 2019-09-23T18:14:50.591Z - 1.0 - 1.0.0-milestone3 - - Legal Officer - - - Enterprise Asset Owners - - - Enterprise Asset Administrators - - - Legal Department - - - IT Department - - - Acme Corp - - - - - d7456980-9277-4dcb-83cf-f8ff0442623b - Enterprise Logging and Auditing System - -

This is an example of a system that provides enterprise logging and log auditing capabilities.

- - - - moderate - - - System and Network Monitoring - -

This system maintains historical logging and auditing information for all client devices connected to this system.

- - C.3.5.8 - - fips-199-moderate - - - fips-199-moderate - - - fips-199-low - - - - - fips-199-moderate - fips-199-moderate - fips-199-low - - - -

This is an example, and is not intended to be implemented as a system

- - - - -

The description of the authorization boundary would go here.

- - - - - - System Administrator - - asset-administrator - - - Audit Team - - asset-owner - - - Legal Department - - legal-officer - - - Logging Server - -

Provides a means for hosts to publish logged events to a central server.

- - - - 96c362ee-a012-4e07-92f3-486ab303b0e7 - - - 3b2a5599-cc37-403f-ae36-5708fa804b27 - - - 833ac398-5c9a-4e6b-acba-2a9c11399da0 - - - - Enterprise Logging, Monitoring, and Alerting Policy - -

Requires all components to send logs to the enterprise logging solution -— Requires all components synchronize their time with the appropriate enterprise time service, and at what frequency. -— Identifies the events that must be captured -— Identifies who is responsible/accountable for performing these functions

- - 2.1 - 20181015 - - - ec485dcf-2519-43f5-8e7d-014cc315332d - - - - System Integration Process - -

Ensures proper integration into the enterprise as new systems are brought into production.

- - 20181015 - Ensures logs from components in new system are able to published to the logging server. Ensures log monitoring capabilities recognize new system as authorized. - - - 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - - - - Inventory Management Process - -

Describes how new components are introduced into the system - ensures monitoring teams know about every asset that should be producing logs, thus should be monitored.

- - 20181015 - Ensures that all host are known and authorized. Ensures that these hosts publish log events to the logging server. - - - 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - - - - Configuration Management Guidance - -

Describes how to configure a component to ensure its logs are transmitted to Splunk in the appropriate format. Also describes how to configure time synchronization.

- - 20181015 - Ensures that all host are configured to publish log events to the logging server. - - - 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - - - - - -

The logging server.

- - - 833ac398-5c9a-4e6b-acba-2a9c11399da0 - - - 3b2a5599-cc37-403f-ae36-5708fa804b27 - - - - - - -

This is a partial implementation that addresses the logging server portion of the auditing system.

- - - - -

This is the control implementation for the system.

- - - -

This should be a description of how au-1 is implemented.

- - - -

N/A

- - - - - - -

The legal department develops, documents, and disseminates this policy to all staff and contractors within the organization.

- - - all staff and contractors within the organization - - - - -

The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.

- - - all IT staff who administer this system when the staff member is assigned and annually through training - - - - -

The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.

- - - all IT staff who administer this system when the staff member is assigned and annually through training - - - - -

The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.

- - - all IT staff who administer this system when the staff member is assigned and annually through training - - - - - - -

This policy explicitly states the purpose and scope of the policy in Section 1. Roles and responsibilities are described in Section 2. This section also describes responsibilities for organizational coordination. Management commitment and compliance statements are made in the board’s directive memo dated January 1, 2012.

- - - - - - -

This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process

- - - - -

This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process

- - - - -

This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process

- - - - - -

N/A

- - - - - -

The legal department reviews this policy annually, and other times as necessary in response to regulatory or organizational changes. The legal department updates the policy as needed based on these reviews.

- - - annually, and other times as necessary in response to regulatory or organizational changes - - - - - - -

The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews.

- - - annually, and other times as necessary in response to regulatory or organizational changes - - - - -

The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews.

- - - annually, and other times as necessary in response to regulatory or organizational changes - - - - -

The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews

- - - annually, and other times as necessary in response to regulatory or organizational changes - - - - - - diff --git a/content/ssp-example/yaml/ssp-example.yaml b/content/ssp-example/yaml/ssp-example.yaml deleted file mode 100644 index 6177f9653a..0000000000 --- a/content/ssp-example/yaml/ssp-example.yaml +++ /dev/null @@ -1,292 +0,0 @@ -system-security-plan: - uuid: 66c2a1c8-5830-48bd-8fdd-55a1c3a52888 - metadata: - title: Enterprise Logging and Auditing System Security Plan - last-modified: 2019-09-23T18:14:50.591Z - version: 1.0 - oscal-version: 1.0.0-milestone3 - roles: - - - id: legal-officer - title: Legal Officer - parties: - - - uuid: 3b2a5599-cc37-403f-ae36-5708fa804b27 - type: organization - party-name: Enterprise Asset Owners - - - uuid: 833ac398-5c9a-4e6b-acba-2a9c11399da0 - type: organization - party-name: Enterprise Asset Administrators - - - uuid: ec485dcf-2519-43f5-8e7d-014cc315332d - type: organization - party-name: Legal Department - - - uuid: 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - type: organization - party-name: IT Department - - - uuid: 96c362ee-a012-4e07-92f3-486ab303b0e7 - type: organization - party-name: Acme Corp - import-profile: - href: ../../nist.gov/SP800-53/rev4/yaml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.yaml - system-characteristics: - system-name: Enterprise Logging and Auditing System - description: This is an example of a system that provides enterprise logging and log auditing capabilities. - system-ids: - - - id: d7456980-9277-4dcb-83cf-f8ff0442623b - identifier-type: https://ietf.org/rfc/rfc4122 - security-sensitivity-level: moderate - system-information: - information-types: - - - uuid: 7d28ac6e-5970-4f4c-a508-5a3715f0f02b - title: System and Network Monitoring - information-type-ids: - https://doi.org/10.6028/NIST.SP.800-60v2r1: - id: C.3.5.8 - description: This system maintains historical logging and auditing information for all client devices connected to this system. - confidentiality-impact: - base: fips-199-moderate - integrity-impact: - base: fips-199-moderate - availability-impact: - base: fips-199-low - security-impact-level: - security-objective-confidentiality: fips-199-moderate - security-objective-integrity: fips-199-moderate - security-objective-availability: fips-199-low - status: - state: other - remarks: This is an example, and is not intended to be implemented as a system - annotations: - - - name: deployment-model - value: private - - - name: service-models - value: iaas - authorization-boundary: - description: The description of the authorization boundary would go here. - system-implementation: - remarks: This is a partial implementation that addresses the logging server portion of the auditing system. - users: - 9824089b-322c-456f-86c4-4111c4200f69: - title: System Administrator - role-ids: asset-administrator - annotations: - - - name: type - value: internal - ae8de94c-835d-4303-83b1-114b6a117a07: - title: Audit Team - role-ids: asset-owner - annotations: - - - name: type - value: internal - 372ce7a3-92b0-437e-a98c-24d29f9bfab8: - title: Legal Department - role-ids: legal-officer - annotations: - - - name: type - value: internal - components: - e00acdcf-911b-437d-a42f-b0b558cc4f03: - title: Logging Server - description: Provides a means for hosts to publish logged events to a central server. - status: - state: operational - component-type: software - responsible-roles: - provider: - party-uuids: 96c362ee-a012-4e07-92f3-486ab303b0e7 - asset-owner: - party-uuids: 3b2a5599-cc37-403f-ae36-5708fa804b27 - asset-administrator: - party-uuids: 833ac398-5c9a-4e6b-acba-2a9c11399da0 - 795533ab-9427-4abe-820f-0b571bacfe6d: - title: Enterprise Logging, Monitoring, and Alerting Policy - component-type: policy - description: - """ - Requires all components to send logs to the enterprise logging solution - — Requires all components synchronize their time with the appropriate enterprise time service, and at what frequency. - — Identifies the events that must be captured - — Identifies who is responsible/accountable for performing these functions - """ - status: - state: operational - properties: - - - name: version - value: 2.1 - - - name: last-modified-date - value: 20181015 - responsible-roles: - maintainer: - party-uuids: ec485dcf-2519-43f5-8e7d-014cc315332d - 941e2a87-46f4-4b3e-9e87-bbd187091ca1: - title: System Integration Process - component-type: process - description: Ensures proper integration into the enterprise as new systems are brought into production. - status: - state: operational - properties: - - - name: last-modified-date - value: 20181015 - responsible-roles: - maintainer: - party-uuids: 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - links: - - - rel: implements-policy - href: #795533ab-9427-4abe-820f-0b571bacfe6d - text: Ensures logs from components in new system are able to published to the logging server. Ensures log monitoring capabilities recognize new system as authorized. - fa39eb84-3014-46b4-b6bc-7da10527c262: - title: Inventory Management Process - component-type: process - description: Describes how new components are introduced into the system - ensures monitoring teams know about every asset that should be producing logs, thus should be monitored. - status: - state: operational - properties: - - - name: last-modified-date - value: 20181015 - responsible-roles: - maintainer: - party-uuids: 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - links: - - - rel: implements-policy - href: #795533ab-9427-4abe-820f-0b571bacfe6d - text: Ensures that all host are known and authorized. Ensures that these hosts publish log events to the logging server. - 4938767c-dd8b-4ea4-b74a-fafffd48ac99: - title: Configuration Management Guidance - component-type: guidance - description: Describes how to configure a component to ensure its logs are transmitted to Splunk in the appropriate format. Also describes how to configure time synchronization. - status: - state: operational - properties: - - - name: last-modified-date - value: 20181015 - responsible-roles: - maintainer: - party-uuids: 0f0c15ed-565e-4ce9-8670-b54853d0bf03 - links: - - - rel: implements-policy - href: #795533ab-9427-4abe-820f-0b571bacfe6d - text: Ensures that all host are configured to publish log events to the logging server. - system-inventory: - inventory-items: - c9c32657-a0eb-4cf2-b5c1-20928983063c: - description: The logging server. - asset-id: asset-id-logging-server - responsible-parties: - asset-administrator: - party-uuids: 833ac398-5c9a-4e6b-acba-2a9c11399da0 - asset-owner: - party-uuids: 3b2a5599-cc37-403f-ae36-5708fa804b27 - implemented-components: - e00acdcf-911b-437d-a42f-b0b558cc4f03: - use: runs-software - 795533ab-9427-4abe-820f-0b571bacfe6d: - use: enforces-policy - control-implementation: - description: This is the control implementation for the system. - implemented-requirements: - - - uuid: aaadb3ff-6ae8-4332-92db-211468c52af2 - control-id: au-1 - description: This should be a description of how au-1 is implemented. - statements: - au-1smt: - uuid: 7ad47329-dc55-4196-a19d-178a8fe7438d - description: N/A - au-1smt.a: - uuid: f3887a91-9ed3-425c-b305-21e4634a1c34 - description: - by-components: - 795533ab-9427-4abe-820f-0b571bacfe6d: - uuid: a74681b2-fbcb-46eb-90fd-0d55aa74ac7b - description: The legal department develops, documents, and disseminates this policy to all staff and contractors within the organization. - parameter-settings: - au-1_prm_1: - value: all staff and contractors within the organization - 941e2a87-46f4-4b3e-9e87-bbd187091ca1: - uuid: 4f873ce6-dd49-4a46-bd4a-5041c22665f1 - description: The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training. - parameter-settings: - au-1_prm_1: - value: all IT staff who administer this system when the staff member is assigned and annually through training - fa39eb84-3014-46b4-b6bc-7da10527c262: - uuid: ea85a624-cd21-4c63-abe0-f66087e97241 - description: The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training. - parameter-settings: - au-1_prm_1: - value: all IT staff who administer this system when the staff member is assigned and annually through training - 4938767c-dd8b-4ea4-b74a-fafffd48ac99: - uuid: b5e5823a-844f-4306-a5ab-7e110679e0d5 - description: The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training. - parameter-settings: - au-1_prm_1: - value: all IT staff who administer this system when the staff member is assigned and annually through training - au-1smt.a.1: - uuid: 6fe632bd-33aa-4eea-a507-a37f0d212085 - by-components: - 795533ab-9427-4abe-820f-0b571bacfe6d: - uuid: 2d0a7b08-da7f-4691-b99c-8fd9df02b25c - description: This policy explicitly states the purpose and scope of the policy in Section 1. Roles and responsibilities are described in Section 2. This section also describes responsibilities for organizational coordination. Management commitment and compliance statements are made in the board’s directive memo dated January 1, 2012. - au-1smt.a.2: - uuid: dbe9af68-1cd9-4ff1-965b-8f887351d411 - by-components: - 941e2a87-46f4-4b3e-9e87-bbd187091ca1: - uuid: dd4fd380-7a2a-4fba-9e98-933ba5cfc04d - description: This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process - fa39eb84-3014-46b4-b6bc-7da10527c262: - uuid: 3b912d0f-2463-497c-8d8a-72416f38e999 - description: This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process - 4938767c-dd8b-4ea4-b74a-fafffd48ac99: - uuid: 226ee2a2-cbdb-498f-8182-94dfa013476c - description: This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process - au-1_smt.b: - uuid: b1773cd6-afc5-4c87-84a7-f182e6be5af9 - remarks: N/A - au-1_smt.b.1: - uuid: 75873308-f37d-4e89-9c27-29f3dee4b314 - by-components: - 795533ab-9427-4abe-820f-0b571bacfe6d: - uuid: 23903c59-1327-46f0-9c28-09ec7f144214 - parameter-settings: - au-1_prm_2: - value: annually, and other times as necessary in response to regulatory or organizational changes - description: The legal department reviews this policy annually, and other times as necessary in response to regulatory or organizational changes. The legal department updates the policy as needed based on these reviews. - au-1_smt.b.2: - uuid: 74b5b0f2-9915-4f80-b7cd-379566442ab6 - by-components: - 941e2a87-46f4-4b3e-9e87-bbd187091ca1: - uuid: 0c45b6e2-f85b-4656-a6cc-2a302d184720 - parameter-settings: - au-1_prm_3: - value: annually, and other times as necessary in response to regulatory or organizational changes - description: The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews. - fa39eb84-3014-46b4-b6bc-7da10527c262: - uuid: 094f02ce-4b7a-405c-90a5-ab4d95133f74 - parameter-settings: - au-1_prm_3: - value: annually, and other times as necessary in response to regulatory or organizational changes - description: The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews. - 4938767c-dd8b-4ea4-b74a-fafffd48ac99: - uuid: 7ec8b7ec-d931-4055-ac74-6d288d636787 - parameter-settings: - au-1_prm_3: - value: annually, and other times as necessary in response to regulatory or organizational changes - description: The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews diff --git a/src/content/README.md b/src/content/README.md index 9822cbda66..38b95b313f 100644 --- a/src/content/README.md +++ b/src/content/README.md @@ -1,10 +1,3 @@ -# OSCAL Examples +# Content Moved -This directory contains numerous OSCAL examples in both XML and JSON formats. Some examples are considered provisional "finished" versions of OSCAL catalogs and profiles; they are not authoritative but are intended as demonstrations of OSCAL. Other examples are works in progress. Each subdirectory within the examples directory clearly indicates the current status of its example files. - -The structure and contents of the examples directory are as follows: - - * [fedramp.gov](fedramp.gov): This directory contains examples in XML and JSON formats of the low, moderate, and high baselines defined by FedRAMP (the Federal Risk and Authorization Management Program). - * [nist.gov/SP800-53/rev4](nist.gov/SP800-53/rev4): This directory contains examples in XML and JSON formats of the low, moderate, and high baselines defined by NIST Special Publication (SP) 800-53 Revision 4. - * [mini-testing](mini-testing): This directory contains sample files that can be used for unit testing in support of regressions of OSCAL. - +All OSCAL content source files have been moved to the [OSCAL content GitHub repository](https://github.com/usnistgov/oscal-content/tree/master/src). diff --git a/src/content/components/json/example-component-with-config.json b/src/content/components/json/example-component-with-config.json deleted file mode 100644 index 0485391a6d..0000000000 --- a/src/content/components/json/example-component-with-config.json +++ /dev/null @@ -1,82 +0,0 @@ -{ - "$schema": "../../../json/schema/oscal_component_schema.json", - "component-definition": { - "metadata": { - "title": "Test Component Defintion", - "last-modified": "2019-08-21T15:24:24.389Z", - "version": "20200723", - "oscal-version": "1.0.0-milestone2", - "parties": [{ - "uuid": "ee47836c-877c-4007-bbf3-c9d9bd805a9a", - "party-name": "Test Vendor", - "type": "organization" - }] - }, - "components": { - "component-1": { - "name": "test component 1", - "component-type": "software", - "title": "test component 1", - "description": "This is a software component that implements basic authentication mechanisms.", - "responsible-parties": { - "supplier": { - "party-uuids": [ "ee47836c-877c-4007-bbf3-c9d9bd805a9a" ] - } - }, - "control-implementations": [{ - "uuid": "cfcdd674-8595-4f98-a9d1-3ac70825c49f", - "source": "../../../content/nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "description": "This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [{ - "uuid": "d1016df0-9b5c-4839-86cd-f9c1d113077b", - "description": "Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate.", - "control-id": "ac-2.2", - "using": { - "implementations": { - "configuration-id": "af5b16c7-7a03-4c78-92a3-47dfdbfb3868", - "with-arguments": { - "duration": { - "use-param": "ac-2.2_prm_2" - } - } - } - } - }] - }, - { - "uuid": "22dbff65-9729-449f-9dfc-4e5fee0906de", - "source": "../../../content/fedramp.gov/json/FedRAMP_HIGH-baseline_profile.json", - "description": "This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - {"uuid": "65e30b37-0640-4844-9f42-b2a7ae944bb1", - "control-id": "ac-2.2" - } - ] - } - ], - "configurations": { - "af5b16c7-7a03-4c78-92a3-47dfdbfb3868": { - "description": "", - "arguments": { - "duration": {"type": "duration-seconds"} - }, - "mechanisms": { - "configuration-method": { - "script": { - "STRVALUE": "something {{ duration }} ", - "system": "https://www.perl.org/" - } - }, - "verification-method": { - "script": { - "STRVALUE": "something {{ duration }} ", - "system": "https://www.perl.org/" - } - } - } - } - } - } - } - } -} \ No newline at end of file diff --git a/src/content/components/json/example-component.json b/src/content/components/json/example-component.json deleted file mode 100644 index e2dbe89a86..0000000000 --- a/src/content/components/json/example-component.json +++ /dev/null @@ -1,55 +0,0 @@ -{ - "component-definition": { - "metadata": { - "title": "Test Component Defintion", - "last-modified": "2019-08-21T15:24:24.389Z", - "version": "20200723", - "oscal-version": "1.0.0-milestone2", - "parties": [ - { - "uuid": "ee47836c-877c-4007-bbf3-c9d9bd805a9a", - "party-name": "Test Vendor", - "type": "organization" - } - ] - }, - "components": { - "b036a6ac-6cff-4066-92bc-74ddfd9ad6fa": { - "name": "test component 1", - "component-type": "software", - "title": "test component 1", - "description": "This is a software component that implements basic authentication mechanisms.", - "responsible-parties": { - "supplier": { - "party-uuids": ["ee47836c-877c-4007-bbf3-c9d9bd805a9a"] - } - }, - "control-implementations": [ - { - "uuid": "cfcdd674-8595-4f98-a9d1-3ac70825c49f", - "source": "../../../content/nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_catalog.json", - "description": "This is a partial implementation of the SP 800-53 rev4 catalog, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - { - "uuid": "d1016df0-9b5c-4839-86cd-f9c1d113077b", - "description": "Inactive accounts are automatically disabled based on the duration specified by the duration parameter. Disabled accounts are expected to be reviewed and removed when appropriate.", - "control-id": "ac-2.2" - } - ] - }, - { - "uuid": "22dbff65-9729-449f-9dfc-4e5fee0906de", - "source": "../../../content/fedramp.gov/json/FedRAMP_HIGH-baseline_profile.json", - "description": "This is a partial implementation of the FedRAMP High profile, focusing on the control enhancement AC-2 (2).", - "implemented-requirements": [ - { - "uuid": "65e30b37-0640-4844-9f42-b2a7ae944bb1", - "control-id": "ac-2.2" - } - ] - } - ] - } - } - } -} \ No newline at end of file diff --git a/src/content/components/xml/import_component_definition_ut.xml b/src/content/components/xml/import_component_definition_ut.xml deleted file mode 100644 index c48079dd2e..0000000000 --- a/src/content/components/xml/import_component_definition_ut.xml +++ /dev/null @@ -1,10 +0,0 @@ - - - - Test - 2019-12-06T05:15:11.928Z - Draft A - 1.0.0-milestone2 - - - \ No newline at end of file diff --git a/src/content/fedramp.gov/xml/FedRAMP_HIGH-baseline_profile.xml b/src/content/fedramp.gov/xml/FedRAMP_HIGH-baseline_profile.xml deleted file mode 100644 index e3e4565bfa..0000000000 --- a/src/content/fedramp.gov/xml/FedRAMP_HIGH-baseline_profile.xml +++ /dev/null @@ -1,9689 +0,0 @@ - - - - - FedRAMP High Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - at least annually - - - at least annually or whenever a significant change occurs - - - monthly for privileged accessed, every six (6) months for non-privileged access - - - Selection: disables - - - 24 hours from last use - - - 35 days for user accounts - - - organization and/or service provider system owner - - - inactivity is anticipated to exceed Fifteen (15) minutes - - - disables/revokes access within a organization-specified timeframe - - - organization-defined need with justification statement that explains why such accounts are necessary - - - at a minimum, the ISSO and/or similar role within the organization - - - one (1) hour - - - all functions not publicly accessible and all security-relevant information not publicly available - - - all security functions - - - all privileged commands - - - at a minimum, annually - - - all users with privileges - - - any software except software explicitly documented - - - not more than three (3) - - - fifteen (15) minutes - - - locks the account/node for a minimum of three (3) hours or until unlocked by an administrator - - - mobile devices as defined by organization policy - - - three (3) - - - see additional Requirements and Guidance - - - see additional Requirements and Guidance - - - three (3) sessions for privileged access and two (2) sessions for non-privileged access - - - fifteen (15) minutes - - - fifteen (15) minutes - - - at least quarterly - - - at least annually or whenever a significant change occurs - - - at least annually or whenever a significant change occurs - - - at least annually - - - at least annually - - - malicious code indicators as defined by organization incident policy/capability. - - - five (5) years or 5 years after completion of a specific training program - - - at least annually - - - at least annually or whenever a significant change occurs - - - successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event - - - annually or whenever there is a change in the threat environment - - - session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands - - - all network, data storage, and computing devices - - - organization-defined actions to be taken (overwrite oldest record) - - - real-time - - - service provider personnel with authority to address failed audit events - - - audit failure events requiring real-time alerts, as defined by organization audit policy - - - at least weekly - - - Possibly to include penetration test data. - - - information system process; role; user - - - one second granularity of time measurement - - - At least hourly - - - http://tf.nist.gov/tf-cgi/servers.cgi - - - at least weekly - - - minimum actions including the addition, modification, deletion, approval, sending, or receiving of data - - - at least one (1) year - - - all information system and network components where audit capability is deployed/available - - - all network, data storage, and computing devices - - - service provider-defined individuals or roles with audit configuration responsibilities - - - all network, data storage, and computing devices - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - at least annually - - - any FedRAMP Accredited 3PAO - - - any FedRAMP Accredited 3PAO - - - the conditions of the JAB/AO in the FedRAMP Repository - - - At least annually and on input from FedRAMP - - - boundary protections which meet the Trusted Internet Connection (TIC) requirements - - - deny-all, permit by exception - - - any systems - - - at least monthly - - - at least every three (3) years or when a significant change occurs - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - at least annually - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually or when a significant change occurs - - - to include when directed by the JAB - - - organization-defined previous versions of baseline configurations of the previously approved baseline configuration of IS components - - - organization agreed upon time period - - - organization defined configuration management approval authorities - - - Configuration control board (CCB) or similar (as defined in CM-3) - - - All security safeguards that rely on cryptography - - - at least every thirty (30) days - - - at least quarterly - - - -

See CM-6(a) Additional FedRAMP Requirements and Guidance

- - - - United States Government Configuration Baseline (USGCB) - - - at least monthly - - - at least quarterly or when there is a change - - - at least monthly - - - Continuously, using automated mechanisms with a maximum five-minute delay in detection. - - - position and role - - - Continuously (via CM-7 (5)) - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - time period defined in service provider and organization SLA - - - ten (10) days - - - at least annually - - - at least annually - - - functional exercises - - - annually - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - at least monthly - - - time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA - - - time period consistent with the restoration time-periods defined in the service provider and organization SLA - - - at least annually - - - at least annually or whenever a significant change occurs - - - FIPS 140-2, NIAP Certification, or NSA approval - - - at a minimum, the ISSO (or similar role within the organization) - - - at least two (2) years - - - thirty-five (35) days (See additional requirements and guidance.) - - - contractors; foreign nationals] - - - at least fifty percent (50%) - - - twenty four (24) - - - All hardware/biometric (multifactor authenticators) - - - in person - - - complexity as identified in IA-5 (1) Control Enhancement Part (a) - - - different authenticators on different systems - - - at least annually - - - at least annually or whenever a significant change occurs - - - within ten (10) days - - - at least annually - - - at least every six (6) months - - - all network, data storage, and computing devices - - - external organizations including consumer incident responders and network defenders and the appropriate CIRT/CERT (such as US-CERT, DOD CERT, IC CERT) - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - at least annually - - - at least annually or whenever a significant change occurs - - - the information owner explicitly authorizing removal of the equipment from the facility - - - at least annually - - - at least annually or whenever a significant change occurs - - - any digital and non-digital media deemed sensitive - - - no removable media types - - - organization-defined security safeguards not applicable - - - all types of digital and non-digital media with sensitive information - - - see additional FedRAMP requirements and guidance - - - all media with sensitive information - - - prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digital media, secured in locked container - - - techniques and procedures IAW NIST SP 800-88 R1, Appendix A - Minimum Sanitization Recommendations - - - at least every six (6) months - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least every ninety (90) days - - - CSP defined physical access control systems/devices AND guards - - - CSP defined physical access control systems/devices - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - at least monthly - - - for a minimum of one (1) year - - - at least monthly - - - service provider building maintenance/physical security personnel - - - service provider emergency responders with incident response responsibilities - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - service provider building maintenance/physical security personnel - - - all information system components - - - physical and environmental hazards identified during threat assessment - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - annually - - - at least annually or when a significant change occurs - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least annually - - - for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - - - personnel screening criteria - as required by specific information - - - eight (8) hours - - - access control personnel responsible for disabling access to the system - - - twenty-four (24) hours - - - twenty-four (24) hours - - - at least annually - - - at least annually and any time there is a change to the user's level of access - - - terminations: immediately; transfers: within twenty-four (24) hours - - - at a minimum, the ISSO and/or similar role within the organization - - - at least annually - - - at least annually or whenever a significant change occurs - - - security assessment report - - - at least annually or whenever a significant change occurs - - - annually - - - monthly operating system/infrastructure; monthly web applications and databases - - - high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - prior to a new scan - - - notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions - - - operating systems / web applications / databases - - - all scans - - - at least annually - - - at least annually or whenever a significant change occurs - - - at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information] - - - at least the minimum requirement as defined in control CA-7 - - - at a minimum, the ISSO (or similar role within the organization) - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - information processing, information data, AND information services - - - U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction - - - all High Impact Data, Systems, or Services - - - development, implementation, AND operation - - - organization and service provider-defined personnel security requirements, approved HW/SW vendor list/process, and secure SDLC procedures - - - as needed and as dictated by the current threat posture - - - organization and service provider- defined security requirements - - - at least annually - - - at least annually or whenever a significant change occurs - - - at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions - - - Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall - - - confidentiality AND integrity - - - prevent unauthorized disclosure of information AND detect changes to information - - - a hardened or alarmed carrier Protective Distribution System (PDS) - - - no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions - - - NIST FIPS-compliant - - - FIPS-validated or NSA-approved cryptography - - - no exceptions - - - confidentiality AND integrity - - - all information system components storing customer data deemed sensitive - - - at least annually - - - at least annually or whenever a significant change occurs - - - thirty (30) days of release of updates - - - at least monthly - - - at least weekly - - - to include endpoints - - - to include blocking and quarantining malicious code and alerting administrator or defined security personnel near-realtime - - - continuously - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - to include upon system startup and/or restart - - - at least monthly - - - to include system administrators and security personnel - - - to include notification of system administrators and security personnel - - - selection to include security relevant events - - - at least monthly - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-12 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

https://www.owasp.org/index.php/Testing_for_logout_functionality_%28OTG-SESS-006%29

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (10) Additional FedRAMP Requirements and Guidance - - Guidance: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (12) Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Required for privileged accounts.

- - - (b) Guidance: -

Required for privileged accounts.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (3) Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

Should use a shorter timeframe than AC-12.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (9) Additional FedRAMP Requirements and Guidance - - Guidance: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AC-6 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - AU-2 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AU-3 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines audit record types [FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]. The audit record types are approved and accepted by the JAB/AO.

- - - Guidance: -

For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 (6) Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-8 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.

- - - Requirement: -

The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.

- - - Guidance: -

Synchronization of system clocks improves the accuracy of log analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-2 (2) Additional FedRAMP Requirements and Guidance - - Requirement: -

To include 'announced', 'vulnerability scanning'

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-3 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document.

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-3 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-8 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance https://www.FedRAMP.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-3 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - (e) Guidance: -

In accordance with record retention policies and procedures.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-5 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. Partially derived from AC-17(8).

- - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-7 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-7 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - CP-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-2 (11) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link https://pages.nist.gov/800-63-3.

- - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - - (a) (d) Guidance: -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - - IA-5 (4) Additional FedRAMP Requirements and Guidance - - Guidance: -

If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IR-3 Additional FedRAMP Requirements and Guidance - - IR-3 -2 Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - MP-3 Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Second parameter not-applicable

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-4 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines controlled areas within facilities where the information and information system reside.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-5 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-6 (2) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

Equipment and procedures may be tested or validated for effectiveness

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - PL-8(b) Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - RA-5 (10) Additional FedRAMP Requirements and Guidance - - Guidance: -

If multiple tools are not used, this control is not applicable.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5 (6) Additional FedRAMP Requirements and Guidance - - Guidance: -

Include in Continuous Monitoring ISSO digest/report to JAB/AO

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - RA-5 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

This enhancement is required for all high vulnerability scan findings.

- - - Guidance: -

While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - SA-10 Additional FedRAMP Requirements and Guidance - - (e) Requirement: -

For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-11 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SA-11 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 (8) Additional FedRAMP Requirements and Guidance - - Guidance: -

CSP must use the same security standards regardless of where the system component or information system service is acquired.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-28 Additional FedRAMP Requirements and Guidance - - Guidance: -

The organization supports the capability to use cryptographic mechanisms to protect information at rest.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-7 (13) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

- - - Guidance: -

Examples include: information security tools, mechanisms, and support components such as, but not limited to PKI, patching infrastructure, cyber defense tools, special purpose gateway, vulnerability tracking systems, internet access points (IAPs); network element and data center administrative/management traffic; Demilitarized Zones (DMZs), Server farms/computing centers, centralized audit log servers etc.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SI-4 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

In accordance with the incident response plan.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/src/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline_profile.xml b/src/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline_profile.xml deleted file mode 100644 index 74ed89cbf0..0000000000 --- a/src/content/fedramp.gov/xml/FedRAMP_LI-SaaS-baseline_profile.xml +++ /dev/null @@ -1,1734 +0,0 @@ - - - - - FedRAMP Tailored Low Impact Software as a Service (LI-SaaS) Baseline - 2020-02-02T00:00:00.000-05:00 - 2020-06-01T10:00:00.000-05:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - - at least quarterly - - - - organization-defined actions to be taken (overwrite oldest record) - - - - at least weekly - - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - - - at least annually and on input from FedRAMP - - - - at least monthly - - - - at least every three years or when a significant change occurs - - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - - see CM-6(a) Additional FedRAMP Requirements and Guidance - - - - at least monthly - - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - - at least annually - - - - CSP defined physical access control systems/devices AND guards - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - - at least monthly - - - - for a minimum of one (1) year - - - at least monthly - - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - - all information system components - - - - at least annually - - - - For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - - - - security assessment report - - - at least every three (3) years or when a significant change occurs - - - at least every three (3) years or when a significant change occurs - - - - monthly operating system/infrastructure; monthly web applications and databases - - - [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - - FIPS-validated or NSA-approved cryptography - - - - within 30 days of release of updates - - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - - - - - - ATTEST - - - - - - - - - - - - - - - ASSESS - - AC-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

Parts (b), (c), (d), (e), (i), (j), and (k) are excluded from FedRAMP Tailored - for LI-SaaS.

- - - - - - - - - - ASSESS - - - - - - - - NSO - ATTEST - -

NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication.

- - - - - - - - - FED - -

FED - This is related to agency data and agency policy solution.

- - - - - - - - - FED - -

FED - This is related to agency data and agency policy solution.

- - - - - - - - - ASSESS - - - - - - - - NSO - -

NSO - All access to Cloud SaaS are via web services and/or API. The device - accessed from or whether via wired or wireless connection is out of scope. - Regardless of device accessed from, must utilize approved remote access methods - (AC-17), secure communication with strong encryption (SC-13), key management - (SC-12), and multi-factor authentication for privileged access (IA-2[1]).

- - - - - - - - - NSO - -

NSO - All access to Cloud SaaS are via web service and/or API. The device accessed - from is out of the scope. Regardless of device accessed from, must utilize - approved remote access methods (AC-17), secure communication with strong - encryption (SC-13), key management (SC-12), and multi-factor authentication for - privileged access (IA-2 [1]).

- - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - NSO - -

NSO - Loss of availability of the audit data has been determined to have little or - no impact to government business/mission needs.

- - - - - - - - - ASSESS - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - NSO - -

NSO - Loss of availability of the audit data has been determined as little or no - impact to government business/mission needs.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/

- - - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured.

- - - - - - - - - ATTEST - -

Attestation - for compliance with FedRAMP Tailored LI-SaaS Continuous Monitoring - Requirements.

- - - - - - - - - ASSESS - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F. The service provider describes the types of changes to the - information system or the environment of operations that would impact the risk - posture. The types of changes are approved and accepted by the Authorizing - Official.

- - - - - - - - - - ASSESS - - CA-7 Additional FedRAMP Requirements and Guidance - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities - within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/

- - - - - - - - - - CONDITIONAL - -

Condition: There are connection(s) to external systems. Connections (if any) shall - be authorized and must: 1) Identify the interface/connection. 2) Detail what data - is involved and its sensitivity. 3) Determine whether the connection is one-way or - bi-directional. 4) Identify how the connection is secured.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ASSESS - -

Required - Specifically include details of least functionality.

- - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines - (Level 1) to establish configuration settings or establishes its own - configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings - are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP - compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - - - ATTEST - - - - - - - - ASSESS - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - - - NSO - -

NSO- Not directly related to protection of the data.

- - - - - - - - - NSO - -

NSO - Boundary is specific to SaaS environment; all access is via web services; - users' machine or internal network are not contemplated. External services (SA-9), - internal connection (CA-9), remote access (AC-17), and secure access (SC-12 and - SC-13), and privileged authentication (IA-2[1]) are considerations.

- - - - - - - - - ATTEST - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - ASSESS - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment - require the Information System Backup control. The service provider shall - determine how Information System Backup is going to be verified and appropriate - periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level - information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level - information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information - system documentation including security information (at least one of which is - available online).

- - - - - - - - - - NSO - -

NSO - Loss of availability of the SaaS has been determined as little or no impact - to government business/mission needs.

- - - - - - - - - ATTEST - - - - - - - - NSO - ATTEST - -

NSO for non-privileged users. Attestation for privileged users related to - multi-factor identification and authentication - specifically include description - of management of service accounts.

- - - - - - - - - ASSESS - - - - - - - - CONDITIONAL - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - FED - CONDITIONAL - -

FED - for Federal privileged users. Condition - Must document and assess for - privileged users. May attest to this control for non-privileged users.

- - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - - - - - - - CONDITIONAL - -

Condition: Must document and assess for privileged users. May attest to this - control for non-privileged users. FedRAMP requires a minimum of multi-factor - authentication for all Federal privileged users, if acceptance of PIV credentials - is not supported. The implementation status and details of how this control is - implemented must be clearly defined by the CSP.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - - - ATTEST - - - - - - - - ASSESS - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident - Communications Procedure.

- - - - - - - - - - ATTEST - - - - - - - - ATTEST - -

Attestation - Specifically attest to US-CERT compliance.

- - - - - - - - - ATTEST - -

Attestation - Specifically describe information spillage response processes.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels - by dew point.

- - - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - CONDITIONAL - -

Condition: Control is not inherited from a FedRAMP-authorized PaaS or IaaS.

- - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - FED - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - -

Attestation - Specifically stating that any third-party security personnel are - treated as CSP employees.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ASSESS - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, - Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include - FedRAMP.

- - - - - - - - - - ASSESS - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web - applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include - FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) - Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - CONDITIONAL - -

Condition: If availability is a requirement, define protections in place as per - control requirement.

- - - - - - - - - ASSESS - - - - - - - - ASSESS - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved cryptography.

- - - - - - - - - - CONDITIONAL - -

Condition: If implementing need to detail how they meet it or don't meet it.

- - - - - - - - - NSO - -

NSO - Not directly related to the security of the SaaS.

- - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ATTEST - - - - - - - - ASSESS - - - - - - - - ASSESS - - - - - - - - ASSESS - - - - - - - - ATTEST - - - - - - - - ATTEST - -

Attestation - Specifically related to US-CERT and FedRAMP communications - procedures.

- - - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/src/content/fedramp.gov/xml/FedRAMP_LOW-baseline_profile.xml b/src/content/fedramp.gov/xml/FedRAMP_LOW-baseline_profile.xml deleted file mode 100644 index 8e29d4ae72..0000000000 --- a/src/content/fedramp.gov/xml/FedRAMP_LOW-baseline_profile.xml +++ /dev/null @@ -1,4623 +0,0 @@ - - - - - FedRAMP Low Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - at least every 3 years - - - at least annually - - - at least annually - - - not more than three (3) - - - fifteen (15) minutes - - - thirty (30) minutes - - - see additional Requirements and Guidance - - - see additional Requirements and Guidance - - - at least quarterly - - - at least every 3 years - - - at least annually - - - at least annually - - - at least annually - - - At least one year - - - at least every 3 years - - - at least annually - - - Successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - - - organization-defined actions to be taken (overwrite oldest record) - - - at least weekly - - - at least ninety days - - - all information system and network components where audit capability is deployed/available - - - at least every 3 years - - - at least annually - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - at least annually and on input from FedRAMP - - - at least monthly - - - at least every three years or when a significant change occurs - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - at least every 3 years - - - at least annually - - - United States Government Configuration Baseline (USGCB) - - - United States Government Configuration Baseline (USGCB) - - - at least monthly - - - Continuously (via CM-7 (5)) - - - at least every 3 years - - - at least annually - - - at least annually - - - ten (10) days - - - at least annually - - - at least every three years - - - classroom exercises/table top written tests - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - at least every 3 years - - - at least annually - - - IA-4 (d) [at least two years] - - - ninety days for user identifiers (See additional requirements and guidance) - - - at least one - - - twenty four - - - at least every 3 years - - - at least annually - - - at least annually - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - at least every 3 years - - - at least annually - - - at least every 3 years - - - at least annually - - - at least every 3 years - - - at least annually - - - at least annually - - - CSP defined physical access control systems/devices AND guards - - - CSP defined physical access control systems/devices - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - at least monthly - - - for a minimum of one (1) year - - - at least monthly - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - all information system components - - - at least every 3 years - - - at least annually - - - at least annually - - - At least every 3 years - - - at least every 3 years - - - at least annually - - - at least every three years - - - For national security clearances; a reinvestigation is required during the 5th year for top secret security clearance, the 10th year for secret security clearance, and 15th year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the 5th year. There is no reinvestigation for other moderate risk positions or any low risk positions. - - - same day - - - five days of the time period following the formal transfer action (DoD 24 hours) - - - at least annually - - - at least annually - - - organization-defined time period - same day - - - at least every 3 years - - - at least annually - - - security assessment report - - - at least every three (3) years or when a significant change occurs - - - at least every three (3) years or when a significant change occurs - - - monthly operating system/infrastructure; monthly web applications and databases - - - [high-risk vulnerabilities mitigated within thirty days from date of discovery; moderate-risk vulnerabilities mitigated within ninety days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery. - - - at least every 3 years - - - at least annually - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - at least every 3 years - - - at least annually - - - FIPS-validated or NSA-approved cryptography - - - no exceptions - - - at least every 3 years - - - at least annually - - - within 30 days of release of updates - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc - Partially derived from AC-17(8).

- - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 1. Link https://pages.nist.gov/800-63-3.

- - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 (1) (a) and (d) Additional FedRAMP Requirements and Guidance - - Guidance (a) (d): -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-9 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Continuous Monitoring Strategy Guide https://www.FedRAMP.gov/documents -

- - - Guidance: -

Independent Assessors should assess the risk associated with the use of external services. See the FedRAMP page under Key Cloud Service Provider (CSP) Documents>FedRAMP Authorization Boundary Guidance

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/src/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline_profile.xml b/src/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline_profile.xml deleted file mode 100644 index 774b5bb6c8..0000000000 --- a/src/content/fedramp.gov/xml/FedRAMP_MODERATE-baseline_profile.xml +++ /dev/null @@ -1,8143 +0,0 @@ - - - - - FedRAMP Moderate Baseline - 2020-06-01T00:00:00.000-04:00 - 2020-06-01T10:00:00.000-04:00 - 1.2 - 1.0.0-milestone3 - - Document creator - - - The FedRAMP Program Management Office (PMO) - CSP - - - The FedRAMP Joint Authorization Board (JAB) - CSP - - - - Federal Risk and Authorization Management Program: Program Management Office - FedRAMP PMO - -
- 1800 F St. NW - - Washington - DC - - US -
- info@fedramp.gov - - - Federal Risk and Authorization Management Program: Joint Authorization Board - FedRAMP JAB - - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - 4aa7b203-318b-4cde-96cf-feaeffc3a4b7 - - - ca9ba80e-1342-4bfd-b32a-abac468c24b4 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - at least every 3 years - - - at least annually - - - at least annually - - - no more than 30 days for temporary and emergency account types - - - 90 days for user accounts - - - all security functions - - - not more than three (3) - - - fifteen (15) minutes - - - locks the account/node for thirty minutes - - - see additional Requirements and Guidance - - - see additional Requirements and Guidance] - - - three (3) sessions for privileged access and two (2) sessions for non-privileged access - - - fifteen (15) minutes - - - fifteen 15 minutes - - - at least quarterly - - - at least every 3 years - - - at least annually - - - at least annually - - - at least annually - - - At least one year - - - at least every 3 years - - - at least annually - - - successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes - - - organization-defined subset of the auditable events defined in AU-2 a to be audited continually for each identified event - - - annually or whenever there is a change in the threat environment - - - session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon - - - organization-defined actions to be taken (overwrite oldest record) - - - at least weekly - - - At least hourly - - - http://tf.nist.gov/tf-cgi/servers.cgi - - - at least weekly - - - at least ninety days - - - all information system and network components where audit capability is deployed/available - - - at least every 3 years - - - at least annually - - - at least annually - - - individuals or roles to include FedRAMP PMO - - - at least annually - - - any FedRAMP Accredited 3PAO - - - any FedRAMP Accredited 3PAO - - - the conditions of the JAB/AO in the FedRAMP Repository - - - at least annually and on input from FedRAMP - - - Boundary Protections which meet the Trusted Internet Connection (TIC) requirements - - - at least monthly - - - at least every three (3) years or when a significant change occurs - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - to meet Federal and FedRAMP requirements (See additional guidance) - - - at least annually - - - at least every 3 years - - - at least annually - - - at least annually or when a significant change occurs - - - to include when directed by the JAB - - - at least quarterly - - - -

See CM-6(a) Additional FedRAMP Requirements and Guidance

- - - - United States Government Configuration Baseline (USGCB) - - - at least monthly - - - at least Annually or when there is a change - - - at least monthly - - - Continuously, using automated mechanisms with a maximum five-minute delay in detection - - - Continuously (via CM-7 (5)) - - - at least every 3 years - - - at least annually - - - at least annually - - - ten (10) days - - - at least annually - - - at least annually - - - functional exercises - - - daily incremental; weekly full - - - daily incremental; weekly full - - - daily incremental; weekly full - - - at least annually - - - at least every 3 years - - - at least annually - - - FIPS 140-2, NIAP Certification, or NSA approval - - - IA-4 (d) [at least two years] - - - ninety days for user identifiers (See additional requirements and guidance) - - - contractors; foreign nationals - - - at least one - - - twenty four (24) - - - All hardware/biometric (multifactor authenticators) - - - in person - - - at least every 3 years - - - at least annually - - - at least annually - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended) - - - see additional FedRAMP Requirements and Guidance - - - at least annually - - - see additional FedRAMP Requirements and Guidance - - - at least every 3 years - - - at least annually - - - the information owner explicitly authorizing removal of the equipment from the facility - - - at least every 3 years - - - at least annually - - - no removable media types - - - all types of digital and non-digital media with sensitive information - - - see additional FedRAMP requirements and guidance - - - all media with sensitive information - - - prior to leaving secure/controlled environment: for digital media, encryption using a FIPS 140-2 validated encryption module; for non-digitital media, secured in locked container - - - at least annually - - - at least every 3 years - - - at least annually - - - at least annually - - - CSP defined physical access control systems/devices AND guards - - - CSP defined physical access control systems/devices - - - in all circumstances within restricted access area where the information system resides - - - at least annually - - - at least annually - - - at least monthly - - - for a minimum of one (1) year - - - at least monthly - - - consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments - - - continuously - - - all information system components - - - at least every 3 years - - - at least annually - - - at least annually - - - At least every 3 years - - - At least annually or when a significant change occurs - - - at least every 3 years - - - at least annually - - - at least every three years - - - for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance. For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions - - - personnel screening criteria - as required by specific information - - - same day - - - five days of the time period following the formal transfer action (DoD 24 hours) - - - at least annually - - - at least annually - - - organization-defined time period - same day - - - at least every 3 years - - - at least annually - - - security assessment report - - - at least every three (3) years or when a significant change occurs - - - at least every three (3) years or when a significant change occurs - - - monthly operating system/infrastructure; monthly web applications and databases - - - high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery - - - prior to a new scan - - - operating systems / web applications / databases - - - all scans - - - at least every 3 years - - - at least annually - - - to include security-relevant external system interfaces and high-level design - - - at least the minimum requirement as defined in control CA-7 - - - FedRAMP Security Controls Baseline(s) if Federal information is processed or stored within the external system - - - Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - all external systems where Federal information is processed or stored - - - information processing, information data, AND information services - - - development, implementation, AND operation - - - at least every 3 years - - - at least annually - - - at least annually - - - confidentiality AND integrity - - - prevent unauthorized disclosure of information AND detect changes to information - - - a hardened or alarmed carrier Protective Distribution System (PDS) - - - no longer than 30 minutes for RAS-based sessions or no longer than 60 minutes for non-interactive user sessions - - - NIST FIPS-compliant - - - FIPS-validated or NSA-approved cryptography - - - no exceptions - - - confidentiality AND integrity - - - at least every 3 years - - - at least annually - - - within 30 days of release of updates - - - at least monthly - - - at least weekly - - - to include endpoints - - - to include alerting administrator or defined security personnel - - - continuously - - - to include US-CERT - - - to include system security personnel and administrators with configuration/patch-management responsibilities - - - to include upon system startup and/or restart - - - at least monthly - - - to include system administrators and security personnel - - - to include notification of system administrators and security personnel - - - Selection to include security relevant events - - - at least monthly - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (10) Additional FedRAMP Requirements and Guidance - - Requirement: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AC-2 (12) Additional FedRAMP Requirements and Guidance - - (a) Guidance: -

Required for privileged accounts.

- - - (b) Guidance: -

Required for privileged accounts.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

Should use a shorter timeframe than AC-12.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-2 (9) Additional FedRAMP Requirements and Guidance - - Requirement: -

Required if shared/group accounts are deployed

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AC-6 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AC-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.

- - - Requirement: -

The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO. If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.

- - - Requirement: -

If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - AU-11 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - - AU-2 Additional FedRAMP Requirements and Guidance - - Requirement: -

Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - AU-2 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - AU-3 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines audit record types [FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]. The audit record types are approved and accepted by the JAB/AO.

- - - Guidance: -

For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - AU-8 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.

- - - Requirement: -

The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.

- - - Guidance: -

Synchronization of system clocks improves the accuracy of log analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CA-2 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Annual Assessment Guidance https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-2 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

For JAB Authorization, must use an accredited Third Party Assessment Organization (3PAO).

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-2 (2) Additional FedRAMP Requirements and Guidance - - Requirement: -

To include 'announced', 'vulnerability scanning'

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-3 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

Refer to Appendix H - Cloud Considerations of the TIC 2.0 Reference Architecture document.

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-3 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Plan of Action & Milestones (POA&M) must be provided at least monthly.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Plan of Action & Milestones (POA&M) Template Completion Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-6(c) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CA-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

Operating System Scans: at least monthly. Database and Web Application Scans: at least monthly. All scans performed by Independent Assessor: at least annually.

- - - Guidance: -

CSPs must provide evidence of closure and remediation of high vulnerabilities within the timeframe for standard POA&M updates.

- - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Continuous Monitoring Strategy Guide https://www.fedramp.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CA-8 Additional FedRAMP Requirements and Guidance - - Guidance: -

See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents, Penetration Test Guidance https://www.FedRAMP.gov/documents/ -

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-3 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - (e) Guidance: -

In accordance with record retention policies and procedures.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-5 (3) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - CM-6(a) Additional FedRAMP Requirements and Guidance - - Requirement 1: -

The service provider shall use the Center for Internet Security guidelines (Level 1) to establish configuration settings or establishes its own configuration settings if USGCB is not available.

- - - Requirement 2: -

The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) (http://scap.nist.gov/) validated or SCAP compatible (if validated checklists are not available).

- - - Guidance: -

Information on the USGCB checklists can be found at: https://csrc.nist.gov/Projects/United-States-Government-Configuration-Baseline.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - Guidance: -

Information on the USGCB checklists can be found at: http://usgcb.nist.gov/usgcb_faq.html#usgcbfaq_usgcbfdcc. Partially derived from AC-17(8).

- - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-7 (2) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CM-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

Must be provided at least monthly or when there is a change.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - CP-2 Additional FedRAMP Requirements and Guidance - - CP-2 Requirement: -

For JAB authorizations the contingency lists include designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-4(a) Additional FedRAMP Requirements and Guidance - - CP-4(a) Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-7 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - CP-7 (1) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-8 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines a time period consistent with the recovery time objectives and business impact analysis.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - CP-9 Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.

- - - CP-9(a) Requirement: -

The service provider maintains at least three backup copies of user-level information (at least one of which is available online).

- - - CP-9(b)Requirement: -

The service provider maintains at least three backup copies of system-level information (at least one of which is available online).

- - - CP-9(c)Requirement: -

The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online).

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - IA-2 (11) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-2 (12) Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-4(e) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines the time period of inactivity for device identifiers.

- - - Guidance: -

For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP http://iase.disa.mil/cloud_security/Pages/index.aspx.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 Additional FedRAMP Requirements and Guidance - - Requirement: -

Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link https://pages.nist.gov/800-63-3.

- - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - IA-5 (1), (a) and (d) Additional FedRAMP Requirements and Guidance - - (a) (d) Guidance: -

If password policies are compliant with NIST SP 800-63B Memorized Secret (Section 5.1.1) Guidance, the control may be considered compliant.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - - IA-5 (4) Additional FedRAMP Requirements and Guidance - - Guidance: -

If automated mechanisms which enforce password authenticator strength at creation are not used, automated mechanisms must be used to audit strength of created password authenticators.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-3 Additional FedRAMP Requirements and Guidance - - IR-3 -2 Requirement: -

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

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-4 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - TEST - - - assessment-objective - EXAMINE - TEST - - - - - - IR-6 Additional FedRAMP Requirements and Guidance - - Requirement: -

Report security incident information according to FedRAMP Incident Communications Procedure.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - IR-8 Additional FedRAMP Requirements and Guidance - - (b) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - (e) Requirement: -

The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - - - - MA-5 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

Only MA-5 (1)(a)(1) is required by FedRAMP Moderate Baseline

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - MP-3 Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Second parameter not-applicable

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-4 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines controlled areas within facilities where the information and information system reside.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-5 Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - MP-6 (2) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

Equipment and procedures may be tested or validated for effectiveness

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - PE-14(a) Additional FedRAMP Requirements and Guidance - - (a) Requirement: -

The service provider measures temperature at server inlets and humidity levels by dew point.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - PL-8(b) Additional FedRAMP Requirements and Guidance - - (b) Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F, page F-7.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-3 Additional FedRAMP Requirements and Guidance - - Guidance: -

Significant change is defined in NIST Special Publication 800-37 Revision 1, Appendix F

- - - RA-3 (d) Requirement: -

Include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5(a) Additional FedRAMP Requirements and Guidance - RA-5 (a)Requirement: -

An accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.

- - - - - RA-5(e) Additional FedRAMP Requirements and Guidance - RA-5 (e)Requirement: -

To include all Authorizing Officials; for JAB authorizations to include FedRAMP.

- - - - - RA-5 Additional FedRAMP Requirements and Guidance - - Guidance: -

- See the FedRAMP Documents page under Key Cloud Service Provider (CSP) Documents> Vulnerability Scanning Requirements (https://www.FedRAMP.gov/documents/)

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - RA-5 (6) Additional FedRAMP Requirements and Guidance - - Guidance: -

Include in Continuous Monitoring ISSO digest/report to JAB/AO

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - RA-5 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

This enhancement is required for all high vulnerability scan findings.

- - - Guidance: -

While scanning tools may label findings as high or critical, the intent of the control is based around NIST's definition of high vulnerability.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - SA-10 Additional FedRAMP Requirements and Guidance - - (e) Requirement: -

For JAB authorizations, track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.

- - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-11 (1) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SA-11 (8) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

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

- - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SA-4 (8) Additional FedRAMP Requirements and Guidance - - Guidance: -

CSP must use the same security standards regardless of where the system component or information system service is acquired.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-12 Additional FedRAMP Requirements and Guidance - - Guidance: -

Federally approved and validated cryptography.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-15 Additional FedRAMP Requirements and Guidance - - Requirement: -

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

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SC-28 Additional FedRAMP Requirements and Guidance - - Guidance: -

The organization supports the capability to use cryptographic mechanisms to protect information at rest.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SC-7 (13) Additional FedRAMP Requirements and Guidance - - Requirement: -

The service provider defines key information security tools, mechanisms, and support components associated with system and security administration and isolates those tools, mechanisms, and support components from other internal information system components via physically or logically separate subnets.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - SI-4 Additional FedRAMP Requirements and Guidance - - Guidance: -

See US-CERT Incident Response Reporting Guidelines.

- - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - SI-4 (5) Additional FedRAMP Requirements and Guidance - - Guidance: -

In accordance with the incident response plan.

- - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - assessment-objective - EXAMINE - - - assessment-objective - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - - - assessment-objective - EXAMINE - INTERVIEW - TEST - - - - - - FedRAMP Applicable Laws and Regulations - fedramp-citations - always - - - - FedRAMP Master Acronym and Glossary - fedramp-acronyms - always - - - - FedRAMP Logo - fedramp-logo - always - - - - NIST Special Publication (SP) 800-53 - Revision 4 - always - - - - diff --git a/src/content/mini-testing/Unit-Testing-Description.md b/src/content/mini-testing/Unit-Testing-Description.md deleted file mode 100644 index 1564f718f1..0000000000 --- a/src/content/mini-testing/Unit-Testing-Description.md +++ /dev/null @@ -1,53 +0,0 @@ -# Mini Testing sample files - -### Unit testing in support of regressions in OSCAL - -In scope: - -* To test profiling semantics: What happens when profiles are resolved against their source catalogs (or profiles or frameworks); how controls are designated for "surfacing" in profiles that call them; how they are modified by parameter setting or alteration. -* To show examples of valid and near-valid ('specifically broken') OSCAL examples including example catalog(s) and profiles (and thereby test these validations) -* To provide a showcase not only for schema validations but also Schematrons, referential integrity, etc. - -### Processes we can expect to run on these samples (and therefore validate/confirm): - -* Run the production pipeline to resolve any profiles against their authorities (i.e. source catalogs or profiles) and render the results in HTML (for browser) - presently `/lib/XProc/profile-resolve-and-display.xpl` supports this (though its components can also be run independently) -* We can validate any profile or OSCAL catalog against OSCAL core or profile schemas (XSD) as appropriate -* We can use the OSCAL profile Schematron (oscal-profile.sch) to detect when profiles elicit ambiguous sourcing (clashing IDs on controls or subcontrols) - a problem for downstream processing -* We can check the design of our catalog using "OSCAL declarations" for the properties and parts of its controls and subcontrols -* We can test run tools such as the oXygen Author with its display CSS -* We can port to JSON or other alternative notations, and back, as a test of capabilities - -### Validation map - -Find details on the application of schemas and Schematron validations in the /schema subdirectory. - -| Process or schema | Constraint set | -|:-----|:-----| -| XSD schema (core) | XML element naming and containment constraints and content models in catalogs (also nominal `framework` and `worksheet` documents). | -XSD schema (profile) | The same, for OSCAL profiles. | -| Schematron schemas for catalogs | Various extra-schema constraints as documented in the Schematron/readme.md. These include constraints declared per OSCAL catalog or catalog "flavor" (OSCAL declarations). | -| Schematron schemas for profiles | Two Schematrons are specialized for OSCAL profiles (not catalogs), validating their referential integrity vis-a-vis their source catalogs (or profiles). | -| Profile resolution XSLT | OSCAL profiling semantics (control selection and configuration) are implemented by an XSLT that expands a profile into the control sets (catalog selections) it references. For these documents, profile resolution *only* happens when they are converted into HTML for display (results in the `pub` directory). | -| RNC schemas (various) | The same constraints as the XSD. | - -#### Why two schema languages? - -(Or three, if we include Schematron) - -As described in the schema documentation, RNC (RelaxNG Compact ISO/IEC 19757) is the maintenance syntax for the OSCAL schemas (core and profile), from which the XSD is produced. With respect to a document set, validating with both RNC and XSD is redundant, as they express the same constraints over the XML (and hence should report the same problems with analogous messages). However, note that validating the document set against a schema (either RNC or XSD) is possible only when the schema itself is known to be correct; when testing the schemas themselves, each must be tested separately (because then we are testing both the RNC and the means of producing the XSD). - -Why two formats? RNC is easier for developers to use and work with, while tooling for XSD is more ubiquitous. Given our needs for coordinating documentation along with the schemas, it is easier for us to produce both versions from RNC (and XML) sources, than it is to work the XSD by hand. Having two versions (which are required to be aligned) also helps with validation of the schema design. - -In use, validation of an OSCAL document against the appropriate XSD should serve as warrant for validity against the RNC, and vice versa. End users or developers who do not need to alter schemas are advised to use the XSD (and consider the RNC part of "the sausage"). - -### Sample docs - -See the samples for internal documentation regarding how they should work. - -Ordinarily, assume a sample is both valid and functional, except where/as noted in comments. - -Samples `41-exceptions-profile.xml` `42-more-exceptions-profile.xml` (and so forth) illustrate a special set of *error conditions*. These "errors" are not by definition non-functional. They may arise whenever controls are invoked multiple times by different pathways -- which raises the question of how to detect differences or disparities (presumably intentional / due to patching), what to do about them, etc. etc. Rather than force users to sort this out by learning a new notation or convention (rule) set, we simply accept the fact in principle that a unifying transformation cannot guarantee against @id clashes (and that indeed it might be the purpose of a certain kind of consumer to help resolve). Accordingly, we declare such resolution out of scope by simply detecting the problem instead of resolving it. (Meanwhile we can always accomplish a merge by patching a patch.) - -These files are valid wrt the (XSD) schema; the warning respects only how they resolve against control catalogs or their profiles, and where they do so in ways capable of causing (at worst) ambiguity or (at best) replication. - - diff --git a/src/content/mini-testing/oscal_01-identity_profile.xml b/src/content/mini-testing/oscal_01-identity_profile.xml deleted file mode 100644 index 07ccc7c1ad..0000000000 --- a/src/content/mini-testing/oscal_01-identity_profile.xml +++ /dev/null @@ -1,12 +0,0 @@ - - - - - Identity profile (an entire catalog, implicitly) - 1.0.0-milestone2 - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_01a-param-only_profile.xml b/src/content/mini-testing/oscal_01a-param-only_profile.xml deleted file mode 100644 index 0303be3497..0000000000 --- a/src/content/mini-testing/oscal_01a-param-only_profile.xml +++ /dev/null @@ -1,23 +0,0 @@ - - - - - - - Parameter This - - - - - - - - - - - organization-defined duties of individuals - - BUTCHER; BAKER; CANDLESTICK-MAKER - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_02-all_profile.xml b/src/content/mini-testing/oscal_02-all_profile.xml deleted file mode 100644 index 9db4cd9e43..0000000000 --- a/src/content/mini-testing/oscal_02-all_profile.xml +++ /dev/null @@ -1,12 +0,0 @@ - - - - - - Calling All Controls - - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_03-all-with-enh_profile.xml b/src/content/mini-testing/oscal_03-all-with-enh_profile.xml deleted file mode 100644 index 3467703ce4..0000000000 --- a/src/content/mini-testing/oscal_03-all-with-enh_profile.xml +++ /dev/null @@ -1,14 +0,0 @@ - - - - - - Once Again, with Feeling - - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_04-exclude1_profile.xml b/src/content/mini-testing/oscal_04-exclude1_profile.xml deleted file mode 100644 index b10e57fec6..0000000000 --- a/src/content/mini-testing/oscal_04-exclude1_profile.xml +++ /dev/null @@ -1,17 +0,0 @@ - - - - - - Being Exclusive - - - - - - - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_05-exclude2_profile.xml b/src/content/mini-testing/oscal_05-exclude2_profile.xml deleted file mode 100644 index ccd9269c01..0000000000 --- a/src/content/mini-testing/oscal_05-exclude2_profile.xml +++ /dev/null @@ -1,16 +0,0 @@ - - - - - - Being More Exclusive - - - - - - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_10-some-params_profile.xml b/src/content/mini-testing/oscal_10-some-params_profile.xml deleted file mode 100644 index bef4229152..0000000000 --- a/src/content/mini-testing/oscal_10-some-params_profile.xml +++ /dev/null @@ -1,27 +0,0 @@ - - - - - - - Some Parameters - - - - - - - - - - - - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_11-more-params_profile.xml b/src/content/mini-testing/oscal_11-more-params_profile.xml deleted file mode 100644 index 15f16d4154..0000000000 --- a/src/content/mini-testing/oscal_11-more-params_profile.xml +++ /dev/null @@ -1,70 +0,0 @@ - - - - - - - - - More Paramters, More - - - - - - - - - - - - - - - - organization-defined duties of individuals - BUTCHER; BAKER; CANDLESTICK-MAKER - - - - organization-defined security functions (deployed in hardware, software, and - firmware) and security-relevant information - DOORS, WINDOWS, AND ANY POINTS OF INGRESS; FAUCETS; CABINET DOORS - - - - organization-defined security functions or security-relevant information - EXTRA-SPECIAL, SECRET AND SENSITIVE OPERATIONS SUCH AS PET FEEDING - RESPONSIBILITIES - - - - organization-defined privileged commands - MEDIA REALLOCATION INCLUDING HARD DRIVE REFORMATTING; ANY COMMAND ON ANY - VOICE-OPERATED DEVICE - - - organization-defined compelling operational needs - EMERGENCIES, OR EARLY IN THE MORNING TO SAVE TIME - - - - organization-defined personnel or roles - CREDENTIALED WIZARDS - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_20-compound_profile.xml b/src/content/mini-testing/oscal_20-compound_profile.xml deleted file mode 100644 index 509bd1e253..0000000000 --- a/src/content/mini-testing/oscal_20-compound_profile.xml +++ /dev/null @@ -1,26 +0,0 @@ - - - - - - - A Compound Profile - - - - - - - - - - - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - diff --git a/src/content/mini-testing/oscal_30-patched_profile.xml b/src/content/mini-testing/oscal_30-patched_profile.xml deleted file mode 100644 index beb09e25b8..0000000000 --- a/src/content/mini-testing/oscal_30-patched_profile.xml +++ /dev/null @@ -1,35 +0,0 @@ - - - - - - - Patching profile example - - - - - - - - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - - - - -

DON'T GO BACK IN THE WATER!

 - SEAL OF APPROVAL (a) - -

Local organizations may wish to sponsor special events including bake sales, lemonade stands, house-to-house cookie sales, lawn mowing services or other seasonal services etc.

- - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_31-patched-messy_profile.xml b/src/content/mini-testing/oscal_31-patched-messy_profile.xml deleted file mode 100644 index c7b11ee2e2..0000000000 --- a/src/content/mini-testing/oscal_31-patched-messy_profile.xml +++ /dev/null @@ -1,51 +0,0 @@ - - - - - - - - - Patching profile example - - - - - - - - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - - - - - -

Do NOT go back in the water.

- - SEAL OF APPROVAL (a) - -

Local organizations may wish to sponsor special events including

-
    -
  • bake sales,
    • -
  • lemonade stands,
    • -
  • house-to-house cookie sales,
    • -
  • lawn mowing services
    • -
  • or other seasonal services etc.
    • -
- - -

Code green

- - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_32-invalid_profile.xml b/src/content/mini-testing/oscal_32-invalid_profile.xml deleted file mode 100644 index 692a2d0002..0000000000 --- a/src/content/mini-testing/oscal_32-invalid_profile.xml +++ /dev/null @@ -1,56 +0,0 @@ - - - - - - - - Patching profile example - - - - - - - - - - - - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - - - - -

Do NOT go back in the water.

 - SEAL OF APPROVAL (a) - -

Local organizations may wish to sponsor special events including

-
    -
  • bake sales,
  • lemonade stands,
  • house-to-house cookie sales,
  • lawn mowing services
  • or other seasonal services etc.
- - -

Code green

- - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_41-exceptions_profile.xml b/src/content/mini-testing/oscal_41-exceptions_profile.xml deleted file mode 100644 index dffaf2dfd9..0000000000 --- a/src/content/mini-testing/oscal_41-exceptions_profile.xml +++ /dev/null @@ -1,49 +0,0 @@ - - - - - - - Exceptions profile example - - - - - - - - - - - - - - - - - - - - - - - - organization-defined duties of individuals - butcher; baker; candlestick-maker - - - - - - -

DON'T GO BACK IN THE WATER!

 - SEAL OF APPROVAL (a) - -

Local organizations may wish to sponsor special events including bake sales, lemonade stands, house-to-house cookie sales, lawn mowing services or other seasonal services etc.

- - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_42-invoke-exceptions_profile.xml b/src/content/mini-testing/oscal_42-invoke-exceptions_profile.xml deleted file mode 100644 index bfe54cc005..0000000000 --- a/src/content/mini-testing/oscal_42-invoke-exceptions_profile.xml +++ /dev/null @@ -1,24 +0,0 @@ - - - - - - - More exceptions profile example - - - - - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_99includeACx2_profile.xml b/src/content/mini-testing/oscal_99includeACx2_profile.xml deleted file mode 100644 index 7759138406..0000000000 --- a/src/content/mini-testing/oscal_99includeACx2_profile.xml +++ /dev/null @@ -1,70 +0,0 @@ - - - - - - Two controls from AC, with parameters on subcontrols - - - - - - - - - - - - - - - - - - - [whoever is responsible for caring for the cats] - organization-defined duties of - individuals - CAT PERSON #1 (primary), CAT PERSON #2 (asst), FURTHER CAT PERSONS - - - [wherever the cat/s need/s to get to on a regular basis ] - organization-defined - security functions (deployed in hardware, software, and firmware) and security-relevant - information - CAT FOOD STATION; LITTER BOX; REGULAR ACCESS TO OUTDOORS - - - [describe feeding routine] - organization-defined security functions or - security-relevant information - REGULAR FEEDINGS AND PROVISION OF TREATS - - - [whatever activities occur over networks] - organization-defined privileged - commands - COMMUNICATIVE BEHAVIORS SUCH AS RUBBING LEGS - - - [such occasions as network access may occur] - organization-defined compelling - operational needs - MEALTIMES - - - FOREMENTIONED PET CARETAKERS AND STAFF - organization-defined personnel or - roles - FOREMENTIONED PET CARETAKERS AND STAFF - - - VERY FREQUENTLY - organization-defined frequency - VERY FREQUENTLY - - - PET CARETAKERS - organization-defined roles or classes of users - PET CARETAKERS - - - - CAT TOYS - organization-defined software - CAT TOYS - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_99includeRAx3_profile.xml b/src/content/mini-testing/oscal_99includeRAx3_profile.xml deleted file mode 100644 index 58f180faf8..0000000000 --- a/src/content/mini-testing/oscal_99includeRAx3_profile.xml +++ /dev/null @@ -1,32 +0,0 @@ - - - - - - Three RA controls with parameters - - - - - - - - - - - - - - - - - PET FEEDING, PLAY, ENVIRONMENTAL, VETERINARY REQUIREMENTS - organization-defined systems, system components, or system services - PET FEEDING, PLAY, ENVIRONMENTAL, VETERINARY REQUIREMENTS - - - ON AN ONGOING BASIS (AT LEAST NIGHTLY) - organization-defined decision points in the system development life - cycle - ON AN ONGOING BASIS (AT LEAST NIGHTLY) - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_dinosaur-testing_profile.xml b/src/content/mini-testing/oscal_dinosaur-testing_profile.xml deleted file mode 100644 index 8f6531a48b..0000000000 --- a/src/content/mini-testing/oscal_dinosaur-testing_profile.xml +++ /dev/null @@ -1,32 +0,0 @@ - - - - - - - A Compound Profile - - - - - - - - - - - - - - - diff --git a/src/content/mini-testing/oscal_dinosaur_profile.xml b/src/content/mini-testing/oscal_dinosaur_profile.xml deleted file mode 100644 index d8a7fa3e8d..0000000000 --- a/src/content/mini-testing/oscal_dinosaur_profile.xml +++ /dev/null @@ -1,88 +0,0 @@ - - - - - - - - Dinosaur Profile - - - - - - - - - - - - - - - - - - - - - - diff --git a/src/content/mini-testing/oscal_testing_dinosaur_catalog.xml b/src/content/mini-testing/oscal_testing_dinosaur_catalog.xml deleted file mode 100644 index fb553a21bc..0000000000 --- a/src/content/mini-testing/oscal_testing_dinosaur_catalog.xml +++ /dev/null @@ -1,71 +0,0 @@ - - - - - Dinosaur Testing Catalog - -
- This catalog -

For use in testing, especially structural transformations.

-
- - - Dinosaurs - Predators - - Allosaurus - - - List anything scary about this dinosaur - Other Lizard -

Vicious predator, ancestor of more vicious predators.

 - - - Tyrannosaurus - Tyrant Lizard - - Tyrannosaurus Rex - King Tyrant Lizard - - - - Velociraptor - - - Herbivores - - Stegosaurus - - - Triceratops - - - Proto-avians - - Archaeopteryx - -

- - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/oscal_testing_mini-testing_catalog.xml b/src/content/mini-testing/oscal_testing_mini-testing_catalog.xml deleted file mode 100644 index 26f8a0e7bf..0000000000 --- a/src/content/mini-testing/oscal_testing_mini-testing_catalog.xml +++ /dev/null @@ -1,476 +0,0 @@ - - - - - MINI TESTING catalog -
- This catalog -

Mini-testing starts as a reduced and mocked up subset of SP800-53 controls for testing - and demonstration of OSCAL features and functionalities.

-
- - FAKE(S) - - EVERYTHING ALL MIXED TOGETHER - - FAKE PARAMETER IN FAKE CONTROL - whatever is mixed or to be mixed - - FAKE_0 - -

Whatever to be mixed is a fake control with some pathological markup.

- - FAKEa. -

Insert your fake parameter here: ;

- - - FAKEb. -

This item includes inline markup such as italics, - bold, emphasis, code, quoted text - and even a bit of water (H2O).

- - - FAKEc. -

This item includes some more complex prose:

-
    -
  • Here's language in a list item
    • -
  • Another list item
    • -
-

And a scattering of things including a little physics! - e = mc2 and all that.

- - - -

Don't follow any guidance you find in a fake control.

- - -

Notice this control has more than one statement called "guidance". Presumably any - profile could also patch it to add more.

- - - Board - Chief Executive Officer - Chief Financial Officer - - - - - ACCESS CONTROL - - SEPARATION OF DUTIES - - organization-defined duties of individuals - organization-defined duties of individuals - - AC-5 - - - AC-5a. -

Separate ;

- - - AC-5b. -

Document separation of duties of individuals; and

- - - AC-5c. -

Define system access authorizations to support separation - of duties.

- - - -

Separation of duties addresses the potential for abuse of authorized privileges - and helps to reduce the risk of malevolent activity without collusion. - Separation of duties includes, for example, dividing mission functions and - system support functions among different individuals and/or roles; conducting - system support functions with different individuals; and ensuring security - personnel administering access control functions do not also administer audit - functions. Because separation of duty violations can span systems and - application domains, organizations consider the entirety of organizational - systems and system components when developing policy on separation of - duties.

- - - - - LEAST PRIVILEGE - AC-6 - -

Employ the principle of least privilege, allowing only - authorized accesses for users (or processes acting on behalf of users) which are - necessary to accomplish assigned tasks in accordance with organizational - missions and business functions.

- - -

Organizations employ least privilege for specific duties and systems. The - principle of least privilege is also applied to system processes, ensuring that - the processes operate at privilege levels no higher than necessary to accomplish - required organizational missions or business functions. Organizations consider - the creation of additional processes, roles, and system accounts as necessary, - to achieve least privilege. Organizations also apply least privilege to the - development, implementation, and operation of organizational systems.

- - - - AUTHORIZE ACCESS TO SECURITY FUNCTIONS - - organization-defined security functions (deployed in hardware, software, - and firmware) and security-relevant information - organization-defined security functions (deployed in hardware, software, - and firmware) and security-relevant information - - AC-6 (1) - -

Explicitly authorize access to .

- - -

Security functions include, for example, establishing system accounts, - configuring access authorizations (i.e., permissions, privileges), setting - events to be audited, and establishing intrusion detection parameters. - Security-relevant information includes, for example, filtering rules for - routers/firewalls, cryptographic key management information, configuration - parameters for security services, and access control lists. Explicitly - authorized personnel include, for example, security administrators, system - and network administrators, system security officers, system maintenance - personnel, system programmers, and other privileged users.

- - - - - NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS - - organization-defined security functions or security-relevant - information - organization-defined security functions or security-relevant - information - - AC-6 (2) - -

Require that users of system accounts, or roles, with - access to , use non-privileged accounts or roles, - when accessing nonsecurity functions.

- - -

This control enhancement limits exposure when operating from within - privileged accounts or roles. The inclusion of roles addresses situations - where organizations implement access control policies such as role-based - access control and where a change of role provides the same degree of - assurance in the change of access authorizations for both the user and all - processes acting on behalf of the user as would be provided by a change - between a privileged and non-privileged account.

- - - - - NETWORK ACCESS TO PRIVILEGED COMMANDS - - organization-defined privileged commands - organization-defined privileged commands - - - organization-defined compelling operational needs - organization-defined compelling operational needs - - AC-6 (3) - -

Authorize network access to - only for and document the rationale for such - access in the security plan for the system.

- - -

Network access is any access across a network connection in lieu of local - access (i.e., user being physically present at the device).

- - - - - SEPARATE PROCESSING DOMAINS - AC-6 (4) - -

Provide separate processing domains to enable - finer-grained allocation of user privileges.

- - -

Providing separate processing domains for finer-grained allocation of user - privileges includes, for example, using virtualization techniques to allow - additional user privileges within a virtual machine while restricting - privileges to other virtual machines or to the underlying actual machine; - employing hardware/software domain separation mechanisms; and implementing - separate physical domains.

- - - - - PRIVILEGED ACCOUNTS - - organization-defined personnel or roles - organization-defined personnel or roles - - AC-6 (5) - -

Restrict privileged accounts on the system to .

- - -

Privileged accounts, including super user accounts, are typically described - as system administrator for various types of commercial off-the-shelf - operating systems. Restricting privileged accounts to specific personnel or - roles prevents day-to-day users from having access to privileged - information/functions. Organizations may differentiate in the application of - this control enhancement between allowed privileges for local accounts and - for domain accounts provided they retain the ability to control system - configurations for key security parameters and as otherwise necessary to - sufficiently mitigate risk.

- - - - - PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS - AC-6 (6) - -

Prohibit privileged access to the system by - non-organizational users.

- - -

None.

- - - - - REVIEW OF USER PRIVILEGES - - organization-defined frequency - organization-defined frequency - - - organization-defined roles or classes of users - organization-defined roles or classes of users - - AC-6 (7) - - - AC-6 (7)(a) -

Review the privileges - assigned to to validate the need for such - privileges; and

- - - AC-6 (7)(b) -

Reassign or remove privileges, if necessary, to - correctly reflect organizational mission and business needs.

- - - -

The need for certain assigned user privileges may change over time reflecting - changes in organizational missions and business functions, environments of - operation, technologies, or threat. Periodic review of assigned user - privileges is necessary to determine if the rationale for assigning such - privileges remains valid. If the need cannot be revalidated, organizations - take appropriate corrective actions.

- - - - - PRIVILEGE LEVELS FOR CODE EXECUTION - - organization-defined software - organization-defined software - - AC-6 (8) - -

Prevent the following software from executing at higher - privilege levels than users executing the software: .

- - -

In certain situations, software applications/programs need to execute with - elevated privileges to perform required functions. However, if the - privileges required for execution are at a higher level than the privileges - assigned to organizational users invoking such applications/programs, those - users are indirectly provided with greater privileges than assigned by - organizations.

- - - - AUDITING USE OF PRIVILEGED FUNCTIONS - AC-6 (9) - -

Audit the execution of privileged functions.

- - -

Misuse of privileged functions, either intentionally or unintentionally by - authorized users, or by unauthorized external entities that have compromised - system accounts, is a serious and ongoing concern and can have significant - adverse impacts on organizations. Auditing the use of privileged functions - is one way to detect such misuse, and in doing so, help mitigate the risk - from insider threats and the advanced persistent threat.

- - - - - PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS - AC-6 (10) - -

Prevent non-privileged users from executing privileged - functions.

- - -

Privileged functions include, for example, disabling, circumventing, or - altering implemented security or privacy controls, establishing system - accounts, performing system integrity checks, or administering cryptographic - key management activities. Non-privileged users are individuals that do not - possess appropriate authorizations. Circumventing intrusion detection and - prevention mechanisms or malicious code protection mechanisms are examples - of privileged functions that require protection from non-privileged - users.

- - - - - - RISK ASSESSMENT - - RISK RESPONSE - RA-7 - -

Respond to findings from security and privacy assessments, - monitoring, and audits.

- - -

Organizations have a variety of options for responding to risk including: - mitigating the risk by implementing new controls or strengthening existing - controls; accepting the risk with appropriate justification or rationale; - sharing or transferring the risk; or rejecting the risk. Organizational risk - tolerance influences risk response decisions and actions. Risk response is also - known as risk treatment. This control addresses the need to determine an - appropriate response to risk before a plan of action and milestones entry is - generated. For example, the response may be to accept risk or reject risk, or it - may be possible to mitigate the risk immediately so a plan of action and - milestones entry is not needed. However, if the risk response is to mitigate the - risk and the mitigation cannot be completed immediately, a plan of action and - milestones entry is generated.

- - - - - - FIPS - Publication 199 - - - FIPS - Publication 200 - - - NIST - Special Publication 800-30 - - - NIST - Special Publication 800-37 - - - NIST - Special Publication 800-39 - - - - - PRIVACY IMPACT ASSESSMENTS - RA-8 - -

Conduct privacy impact assessments for systems, programs, or - other activities that pose a privacy risk before:

- - RA-8a. -

Developing or procuring information technology that - collects, maintains, or disseminates information that is in an identifiable - form; and

- - - RA-8b. -

Initiating a new collection of information that:

- - RA-8b.1. -

Will be collected, maintained, or disseminated using - information technology; and

- - - RA-8b.2. -

Includes information in an identifiable form - permitting the physical or online contacting of a specific individual, - if identical questions have been posed to, or identical reporting - requirements imposed on, ten or more persons, other than agencies, - instrumentalities, or employees of the Federal Government.

- - - - -

Privacy impact assessments are an analysis of how information is managed to - ensure that such management conforms to applicable legal, regulatory, and policy - requirements regarding privacy; to determine the associated privacy risks and - effects of creating, collecting, using, processing, storing, maintaining, - disseminating, disclosing, and disposing of information in identifiable form in - a system; and to examine and evaluate the protections and alternate processes - for managing information to mitigate potential privacy concerns. A privacy - impact assessment is an analysis and a formal document detailing the process and - outcome of the analysis. To conduct the analysis, organizations use risk - assessment processes. Although privacy impact assessments may be required by - law, organizations may develop policies to require privacy impact assessments in - circumstances where a privacy impact assessment would not be required by - law.

- - - - - CRITICALITY ANALYSIS - - organization-defined systems, system components, or system services - organization-defined systems, system components, or system services - - - organization-defined decision points in the system development life - cycle - organization-defined decision points in the system development life cycle - - RA-9 - -

Identify critical system components and functions by - performing a criticality analysis for at .

- - -

Not all system components, functions, or services necessarily require significant - protections. Criticality analysis is a key tenet of, for example, supply chain - risk management, and informs the prioritization of protection activities. The - identification of critical system components and functions considers applicable - regulations, directives, policies, standards, and guidelines, system - functionality requirements, system and component interfaces, and system and - component dependencies. Systems engineers conduct an end-to-end functional - decomposition of a system to identify mission-critical functions and components. - The functional decomposition includes the identification of core organizational - missions supported by the system, decomposition into the specific functions to - perform those missions, and traceability to the hardware, software, and firmware - components that implement those functions, including when the functions are - shared by many components within and beyond the system boundary. The operational - environment of a system or component may impact the criticality including, for - example, the connections to and dependencies on cyber-physical systems, devices, - system-of-systems, and outsourced IT services. System components that allow - unmediated access to critical system components or functions are considered - critical due to the inherent vulnerabilities such components create. Component - and function criticality are assessed in terms of the impact of a component or - function failure on the organizational missions supported by the system - containing those components and functions. A criticality analysis is performed - when an architecture or design is being developed, modified, or upgraded. If - done early in the system life cycle, organizations may consider modifying the - system design to reduce the critical nature of these components and functions - by, for example, adding redundancy or alternate paths into the system - design.

- - - - - - \ No newline at end of file diff --git a/src/content/mini-testing/readme.md b/src/content/mini-testing/readme.md deleted file mode 100644 index 977deb51df..0000000000 --- a/src/content/mini-testing/readme.md +++ /dev/null @@ -1,6 +0,0 @@ -# OSCAL Unit Testing Files - -This directory contains sample files that can be used for unit testing in support of regressions of OSCAL. The structure and contents of the directory are as follows: - -* The various .json and .xml files in the directory are a mix of test files that represent miniature catalogs and profiles. They are here primarily for ad hoc testing purposes. -* [Unit-Testing-Description.md](Unit-Testing-Description.md): This file contains technical information on the test files, including how they are intended to be used. diff --git a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml b/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml deleted file mode 100644 index 259dfedcf3..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_HIGH-baseline_profile.xml +++ /dev/null @@ -1,1248 +0,0 @@ - - - - - - NIST Special Publication 800-53 Revision 4 HIGH IMPACT BASELINE - 2020-05-29T23:29:27.272-04:00 - 2015-01-22 - 1.0.0-milestone3 - - Document Creator - - - Contact - - - Joint Task Force, Transformation Initiative -
- National Institute of Standards and Technology - Attn: Computer Security Division - Information Technology Laboratory - 100 Bureau Drive (Mail Stop 8930) - Gaithersburg - MD - 20899-8930 -
- sec-cert@nist.gov - - - 31a5dd8f-978a-4558-8ade-846211607d40 - - - 31a5dd8f-978a-4558-8ade-846211607d40 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P3 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - - NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal - Information Systems and Organizations - - - - diff --git a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml b/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml deleted file mode 100644 index 7cf977f01c..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_LOW-baseline_profile.xml +++ /dev/null @@ -1,754 +0,0 @@ - - - - - - NIST Special Publication 800-53 Revision 4 LOW IMPACT BASELINE - 2020-05-29T23:29:27.272-04:00 - 2015-01-22 - 1.0.0-milestone3 - - Document Creator - - - Contact - - - Joint Task Force, Transformation Initiative -
- National Institute of Standards and Technology - Attn: Computer Security Division - Information Technology Laboratory - 100 Bureau Drive (Mail Stop 8930) - Gaithersburg - MD - 20899-8930 -
- sec-cert@nist.gov - - - fcde62b1-8cce-4a57-a26b-b07ad2865ae1 - - - fcde62b1-8cce-4a57-a26b-b07ad2865ae1 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - - NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal - Information Systems and Organizations - - - - diff --git a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml b/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml deleted file mode 100644 index b0f3ec3cb6..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_MODERATE-baseline_profile.xml +++ /dev/null @@ -1,1111 +0,0 @@ - - - - - - NIST Special Publication 800-53 Revision 4 MODERATE IMPACT BASELINE - 2020-05-29T23:29:27.272-04:00 - 2015-01-22 - 1.0.0-milestone3 - - Document Creator - - - Contact - - - Joint Task Force, Transformation Initiative -
- National Institute of Standards and Technology - Attn: Computer Security Division - Information Technology Laboratory - 100 Bureau Drive (Mail Stop 8930) - Gaithersburg - MD - 20899-8930 -
- sec-cert@nist.gov - - - 316876e2-5c7b-4a60-a488-2ed977238f04 - - - 316876e2-5c7b-4a60-a488-2ed977238f04 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - true - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P2 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P3 - - - - - P1 - - - - - P3 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P1 - - - - - P2 - - - - - P1 - - - - - P2 - - - - - P2 - - - - - P1 - - - - - - NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal - Information Systems and Organizations - - - - diff --git a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml b/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml deleted file mode 100644 index f77274018c..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_catalog.xml +++ /dev/null @@ -1,67541 +0,0 @@ - - - - - - - - - NIST Special Publication 800-53 Revision 4: Security and Privacy Controls for Federal - Information Systems and Organizations - 2020-05-29T23:29:27.272-04:00 - 2015-01-22 - 1.0.0-milestone3 - Assurance, computer security, FISMA, Privacy Act, Risk Management Framework, security controls, security requirements - NIST publication (PDF) - NIST publication via DOI lookup - - Document creator - - - Contact - - - Joint Task Force, Transformation Initiative -
- National Institute of Standards and Technology - Attn: Computer Security Division - Information Technology Laboratory - 100 Bureau Drive (Mail Stop 8930) - Gaithersburg - MD - 20899-8930 -
- sec-cert@nist.gov - - - c6d77a50-e52e-4399-8a57-896d4807952f - - - c6d77a50-e52e-4399-8a57-896d4807952f - - - - Access Control - - Access Control Policy and Procedures - - - - - - - - - - AC-1 - ac-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An access control policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the access control policy and - associated access controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Access control policy ; and

- - - 2. -

Access control procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AC-1(a) - - AC-1(a)(1) - - AC-1(a)(1)[1] -

develops and documents an access control policy that addresses:

- - AC-1(a)(1)[1][a] -

purpose;

- - - AC-1(a)(1)[1][b] -

scope;

- - - AC-1(a)(1)[1][c] -

roles;

- - - AC-1(a)(1)[1][d] -

responsibilities;

- - - AC-1(a)(1)[1][e] -

management commitment;

- - - AC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AC-1(a)(1)[1][g] -

compliance;

- - - - AC-1(a)(1)[2] -

defines personnel or roles to whom the access control policy are to be - disseminated;

- - - AC-1(a)(1)[3] -

disseminates the access control policy to organization-defined personnel or - roles;

- - - - AC-1(a)(2) - - AC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - access control policy and associated access control controls;

- - - AC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - AC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AC-1(b) - - AC-1(b)(1) - - AC-1(b)(1)[1] -

defines the frequency to review and update the current access control - policy;

- - - AC-1(b)(1)[2] -

reviews and updates the current access control policy with the - organization-defined frequency;

- - - - AC-1(b)(2) - - AC-1(b)(2)[1] -

defines the frequency to review and update the current access control - procedures; and

- - - AC-1(b)(2)[2] -

reviews and updates the current access control procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Access control policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Account Management - - - - - - - - - - - - - AC-2 - ac-02 - -

The organization:

- - a. -

Identifies and selects the following types of information system accounts to - support organizational missions/business functions: ;

- - - b. -

Assigns account managers for information system accounts;

- - - c. -

Establishes conditions for group and role membership;

- - - d. -

Specifies authorized users of the information system, group and role membership, - and access authorizations (i.e., privileges) and other attributes (as required) - for each account;

- - - e. -

Requires approvals by for requests to create - information system accounts;

- - - f. -

Creates, enables, modifies, disables, and removes information system accounts in - accordance with ;

- - - g. -

Monitors the use of information system accounts;

- - - h. -

Notifies account managers:

- - 1. -

When accounts are no longer required;

- - - 2. -

When users are terminated or transferred; and

- - - 3. -

When individual information system usage or need-to-know changes;

- - - - i. -

Authorizes access to the information system based on:

- - 1. -

A valid access authorization;

- - - 2. -

Intended system usage; and

- - - 3. -

Other attributes as required by the organization or associated - missions/business functions;

- - - - j. -

Reviews accounts for compliance with account management requirements ; and

- - - k. -

Establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - -

Information system account types include, for example, individual, shared, group, - system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and - service. Some of the account management requirements listed above can be implemented - by organizational information systems. The identification of authorized users of the - information system and the specification of access privileges reflects the - requirements in other security controls in the security plan. Users requiring - administrative privileges on information system accounts receive additional scrutiny - by appropriate organizational personnel (e.g., system owner, mission/business owner, - or chief information security officer) responsible for approving such accounts and - privileged access. Organizations may choose to define access privileges or other - attributes by account, by type of account, or a combination of both. Other attributes - required for authorizing access include, for example, restrictions on time-of-day, - day-of-week, and point-of-origin. In defining other account attributes, organizations - consider system-related requirements (e.g., scheduled maintenance, system upgrades) - and mission/business requirements, (e.g., time zone differences, customer - requirements, remote access to support travel requirements). Failure to consider - these factors could affect information system availability. Temporary and emergency - accounts are accounts intended for short-term use. Organizations establish temporary - accounts as a part of normal account activation procedures when there is a need for - short-term accounts without the demand for immediacy in account activation. - Organizations establish emergency accounts in response to crisis situations and with - the need for rapid account activation. Therefore, emergency account activation may - bypass normal account authorization processes. Emergency and temporary accounts are - not to be confused with infrequently used accounts (e.g., local logon accounts used - for special tasks defined by organizations or when network resources are - unavailable). Such accounts remain available and are not subject to automatic - disabling or removal dates. Conditions for disabling or deactivating accounts - include, for example: (i) when shared/group, emergency, or temporary accounts are no - longer required; or (ii) when individuals are transferred or terminated. Some types - of information system accounts may require specialized training.

- AC-3 - AC-4 - AC-5 - AC-6 - AC-10 - AC-17 - AC-19 - AC-20 - AU-9 - IA-2 - IA-4 - IA-5 - IA-8 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PL-4 - SC-13 - - -

Determine if the organization:

- - AC-2(a) - - AC-2(a)[1] -

defines information system account types to be identified and selected to - support organizational missions/business functions;

- - - AC-2(a)[2] -

identifies and selects organization-defined information system account types to - support organizational missions/business functions;

- - - - AC-2(b) -

assigns account managers for information system accounts;

- - - AC-2(c) -

establishes conditions for group and role membership;

- - - AC-2(d) -

specifies for each account (as required):

- - AC-2(d)[1] -

authorized users of the information system;

- - - AC-2(d)[2] -

group and role membership;

- - - AC-2(d)[3] -

access authorizations (i.e., privileges);

- - - AC-2(d)[4] -

other attributes;

- - - - AC-2(e) - - AC-2(e)[1] -

defines personnel or roles required to approve requests to create information - system accounts;

- - - AC-2(e)[2] -

requires approvals by organization-defined personnel or roles for requests to - create information system accounts;

- - - - AC-2(f) - - AC-2(f)[1] -

defines procedures or conditions to:

- - AC-2(f)[1][a] -

create information system accounts;

- - - AC-2(f)[1][b] -

enable information system accounts;

- - - AC-2(f)[1][c] -

modify information system accounts;

- - - AC-2(f)[1][d] -

disable information system accounts;

- - - AC-2(f)[1][e] -

remove information system accounts;

- - - - AC-2(f)[2] -

in accordance with organization-defined procedures or conditions:

- - AC-2(f)[2][a] -

creates information system accounts;

- - - AC-2(f)[2][b] -

enables information system accounts;

- - - AC-2(f)[2][c] -

modifies information system accounts;

- - - AC-2(f)[2][d] -

disables information system accounts;

- - - AC-2(f)[2][e] -

removes information system accounts;

- - - - - AC-2(g) -

monitors the use of information system accounts;

- - - AC-2(h) -

notifies account managers:

- - AC-2(h)(1) -

when accounts are no longer required;

- - - AC-2(h)(2) -

when users are terminated or transferred;

- - - AC-2(h)(3) -

when individual information system usage or need to know changes;

- - - - AC-2(i) -

authorizes access to the information system based on;

- - AC-2(i)(1) -

a valid access authorization;

- - - AC-2(i)(2) -

intended system usage;

- - - AC-2(i)(3) -

other attributes as required by the organization or associated - missions/business functions;

- - - - AC-2(j) - - AC-2(j)[1] -

defines the frequency to review accounts for compliance with account management - requirements;

- - - AC-2(j)[2] -

reviews accounts for compliance with account management requirements with the - organization-defined frequency; and

- - - - AC-2(k) -

establishes a process for reissuing shared/group account credentials (if deployed) - when individuals are removed from the group.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of active system accounts along with the name of the individual associated - with each account

-

list of conditions for group and role membership

-

notifications or records of recently transferred, separated, or terminated - employees

-

list of recently disabled information system accounts along with the name of the - individual associated with each account

-

access authorization records

-

account management compliance reviews

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes account management on the information system

-

automated mechanisms for implementing account management

- - - - Automated System Account Management - AC-2(1) - ac-02.01 - -

The organization employs automated mechanisms to support the management of - information system accounts.

- - -

The use of automated mechanisms can include, for example: using email or text - messaging to automatically notify account managers when users are terminated or - transferred; using the information system to monitor account usage; and using - telephonic notification to report atypical system account usage.

- - -

Determine if the organization employs automated mechanisms to support the - management of information system accounts.

- - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Removal of Temporary / Emergency Accounts - - - - - - - AC-2(2) - ac-02.02 - -

The information system automatically temporary - and emergency accounts after .

- - -

This control enhancement requires the removal of both temporary and emergency - accounts automatically after a predefined period of time has elapsed, rather than - at the convenience of the systems administrator.

- - -

Determine if:

- - AC-2(2)[1] -

the organization defines the time period after which the information system - automatically removes or disables temporary and emergency accounts; and

- - - AC-2(2)[2] -

the information system automatically removes or disables temporary and - emergency accounts after the organization-defined time period for each type of - account.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of temporary accounts removed and/or - disabled

-

information system-generated list of emergency accounts removed and/or - disabled

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Disable Inactive Accounts - - - - AC-2(3) - ac-02.03 - -

The information system automatically disables inactive accounts after .

- - -

Determine if:

- - AC-2(3)[1] -

the organization defines the time period after which the information system - automatically disables inactive accounts; and

- - - AC-2(3)[2] -

the information system automatically disables inactive accounts after the - organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of temporary accounts removed and/or - disabled

-

information system-generated list of emergency accounts removed and/or - disabled

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Automated Audit Actions - - - - AC-2(4) - ac-02.04 - -

The information system automatically audits account creation, modification, - enabling, disabling, and removal actions, and notifies .

- - - AU-2 - AU-12 - - -

Determine if:

- - AC-2(4)[1] -

the information system automatically audits the following account actions:

- - AC-2(4)[1][a] -

creation;

- - - AC-2(4)[1][b] -

modification;

- - - AC-2(4)[1][c] -

enabling;

- - - AC-2(4)[1][d] -

disabling;

- - - AC-2(4)[1][e] -

removal;

- - - - AC-2(4)[2] -

the organization defines personnel or roles to be notified of the following - account actions:

- - AC-2(4)[2][a] -

creation;

- - - AC-2(4)[2][b] -

modification;

- - - AC-2(4)[2][c] -

enabling;

- - - AC-2(4)[2][d] -

disabling;

- - - AC-2(4)[2][e] -

removal;

- - - - AC-2(4)[3] -

the information system notifies organization-defined personnel or roles of the - following account actions:

- - AC-2(4)[3][a] -

creation;

- - - AC-2(4)[3][b] -

modification;

- - - AC-2(4)[3][c] -

enabling;

- - - AC-2(4)[3][d] -

disabling; and

- - - AC-2(4)[3][e] -

removal.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

notifications/alerts of account creation, modification, enabling, disabling, - and removal actions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Inactivity Logout - - - - AC-2(5) - ac-02.05 - -

The organization requires that users log out when .

- - - SC-23 - - -

Determine if the organization:

- - AC-2(5)[1] -

defines either the time period of expected inactivity that requires users to - log out or the description of when users are required to log out; and

- - - AC-2(5)[2] -

requires that users log out when the organization-defined time period of - inactivity is reached or in accordance with organization-defined description of - when to log out.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security violation reports

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

users that must comply with inactivity logout policy

- - - - - Dynamic Privilege Management - - - - AC-2(6) - ac-02.06 - -

The information system implements the following dynamic privilege management - capabilities: .

- - -

In contrast to conventional access control approaches which employ static - information system accounts and predefined sets of user privileges, dynamic access - control approaches (e.g., service-oriented architectures) rely on run time access - control decisions facilitated by dynamic privilege management. While user - identities may remain relatively constant over time, user privileges may change - more frequently based on ongoing mission/business requirements and operational - needs of organizations. Dynamic privilege management can include, for example, the - immediate revocation of privileges from users, as opposed to requiring that users - terminate and restart their sessions to reflect any changes in privileges. Dynamic - privilege management can also refer to mechanisms that change the privileges of - users based on dynamic rules as opposed to editing specific user profiles. This - type of privilege management includes, for example, automatic adjustments of - privileges if users are operating out of their normal work times, or if - information systems are under duress or in emergency maintenance situations. This - control enhancement also includes the ancillary effects of privilege changes, for - example, the potential changes to encryption keys used for communications. Dynamic - privilege management can support requirements for information system - resiliency.

- AC-16 - - -

Determine if:

- - AC-2(6)[1] -

the organization defines a list of dynamic privilege management capabilities to - be implemented by the information system; and

- - - AC-2(6)[2] -

the information system implements the organization-defined list of dynamic - privilege management capabilities.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of dynamic privilege management capabilities

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system implementing dynamic privilege management capabilities

- - - - - Role-based Schemes - - - - AC-2(7) - ac-02.07 - -

The organization:

- - (a) -

Establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles;

- - - (b) -

Monitors privileged role assignments; and

- - - (c) -

Takes when privileged role assignments are no - longer appropriate.

- - - -

Privileged roles are organization-defined roles assigned to individuals that allow - those individuals to perform certain security-relevant functions that ordinary - users are not authorized to perform. These privileged roles include, for example, - key management, account management, network and system administration, database - administration, and web administration.

- - -

Determine if the organization:

- - AC-2(7)(a) -

establishes and administers privileged user accounts in accordance with a - role-based access scheme that organizes allowed information system access and - privileges into roles;

- AC-2(7)(a) - - - AC-2(7)(b) -

monitors privileged role assignments;

- AC-2(7)(b) - - - AC-2(7)(c) - - AC-2(7)(c)[1] -

defines actions to be taken when privileged role assignments are no longer - appropriate; and

- - - AC-2(7)(c)[2] -

takes organization-defined actions when privileged role assignments are no - longer appropriate.

- - AC-2(7)(c) - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system-generated list of privileged user accounts and associated - role

-

records of actions taken when privileged role assignments are no longer - appropriate

-

information system audit records

-

audit tracking and monitoring reports

-

information system monitoring records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

-

automated mechanisms monitoring privileged role assignments

- - - - - Dynamic Account Creation - - - - AC-2(8) - ac-02.08 - -

The information system creates dynamically.

- - -

Dynamic approaches for creating information system accounts (e.g., as implemented - within service-oriented architectures) rely on establishing accounts (identities) - at run time for entities that were previously unknown. Organizations plan for - dynamic creation of information system accounts by establishing trust - relationships and mechanisms with the appropriate authorities to validate related - authorizations and privileges.

- AC-16 - - -

Determine if:

- - AC-2(8)[1] -

the organization defines information system accounts to be created by the - information system dynamically; and

- - - AC-2(8)[2] -

the information system creates organization-defined information system accounts - dynamically.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of information system accounts

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Restrictions On Use of Shared / Group Accounts - - - - AC-2(9) - ac-02.09 - -

The organization only permits the use of shared/group accounts that meet .

- - -

Determine if the organization:

- - AC-2(9)[1] -

defines conditions for establishing shared/group accounts; and

- - - AC-2(9)[2] -

only permits the use of shared/group accounts that meet organization-defined - conditions for establishing shared/group accounts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of shared/group accounts and associated role

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of shared/group accounts

- - - - - Shared / Group Account Credential Termination - AC-2(10) - ac-02.10 - -

The information system terminates shared/group account credentials when members - leave the group.

- - -

Determine if the information system terminates shared/group account credentials - when members leave the group.

- - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

account access termination records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Usage Conditions - - - - - - - AC-2(11) - ac-02.11 - -

The information system enforces for .

- - -

Organizations can describe the specific conditions or circumstances under which - information system accounts can be used, for example, by restricting usage to - certain days of the week, time of day, or specific durations of time.

- - -

Determine if:

- - AC-2(11)[1] -

the organization defines circumstances and/or usage conditions to be enforced - for information system accounts;

- - - AC-2(11)[2] -

the organization defines information system accounts for which - organization-defined circumstances and/or usage conditions are to be enforced; - and

- - - AC-2(11)[3] -

the information system enforces organization-defined circumstances and/or usage - conditions for organization-defined information system accounts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of information system accounts and associated assignments - of usage circumstances and/or usage conditions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Account Monitoring / Atypical Usage - - - - - - - AC-2(12) - ac-02.12 - -

The organization:

- - (a) -

Monitors information system accounts for ; - and

- - - (b) -

Reports atypical usage of information system accounts to .

- - - -

Atypical usage includes, for example, accessing information systems at certain - times of the day and from locations that are not consistent with the normal usage - patterns of individuals working in organizations.

- CA-7 - - -

Determine if the organization:

- - AC-2(12)(a) - - AC-2(12)(a)[1] -

defines atypical usage to be monitored for information system accounts;

- - - AC-2(12)(a)[2] -

monitors information system accounts for organization-defined atypical - usage;

- - AC-2(12)(a) - - - AC-2(12)(b) - - AC-2(12)(b)[1] -

defines personnel or roles to whom atypical usage of information system - accounts are to be reported; and

- - - AC-2(12)(b)[2] -

reports atypical usage of information system accounts to - organization-defined personnel or roles.

- - AC-2(12)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system monitoring records

-

information system audit records

-

audit tracking and monitoring reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - Disable Accounts for High-risk Individuals - - - - AC-2(13) - ac-02.13 - -

The organization disables accounts of users posing a significant risk within - of discovery of the risk.

- - -

Users posing a significant risk to organizations include individuals for whom - reliable evidence or intelligence indicates either the intention to use authorized - access to information systems to cause harm or through whom adversaries will cause - harm. Harm includes potential adverse impacts to organizational operations and - assets, individuals, other organizations, or the Nation. Close coordination - between authorizing officials, information system administrators, and human - resource managers is essential in order for timely execution of this control - enhancement.

- PS-4 - - -

Determine if the organization:

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

defines the time period within which accounts are disabled upon discovery of a - significant risk posed by users of such accounts; and

- - - AC-2(13)[2] -

disables accounts of users posing a significant risk within the - organization-defined time period of discovery of the risk.

- - - - EXAMINE - -

Access control policy

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of disabled accounts

-

list of user activities posing significant organizational risk

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing account management functions

- - - - - - Access Enforcement - AC-3 - ac-03 - -

The information system enforces approved authorizations for logical access to - information and system resources in accordance with applicable access control - policies.

- - -

Access control policies (e.g., identity-based policies, role-based policies, control - matrices, cryptography) control access between active entities or subjects (i.e., - users or processes acting on behalf of users) and passive entities or objects (e.g., - devices, files, records, domains) in information systems. In addition to enforcing - authorized access at the information system level and recognizing that information - systems can host many applications and services in support of organizational missions - and business operations, access enforcement mechanisms can also be employed at the - application and service level to provide increased information security.

- AC-2 - AC-4 - AC-5 - AC-6 - AC-16 - AC-17 - AC-18 - AC-19 - AC-20 - AC-21 - AC-22 - AU-9 - CM-5 - CM-6 - CM-11 - MA-3 - MA-4 - MA-5 - PE-3 - - -

Determine if the information system enforces approved authorizations for logical - access to information and system resources in accordance with applicable access - control policies.

- - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of approved authorizations (user privileges)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy

- - - - Restricted Access to Privileged Functions - AC-3(1) - ac-03.01 - Withdrawn - AC-6 - - - Dual Authorization - - - - AC-3(2) - ac-03.02 - -

The information system enforces dual authorization for .

- - -

Dual authorization mechanisms require the approval of two authorized individuals - in order to execute. Organizations do not require dual authorization mechanisms - when immediate responses are necessary to ensure public and environmental safety. - Dual authorization may also be known as two-person control.

- CP-9 - MP-6 - - -

Determine if:

- - AC-3(2)[1] -

the organization defines privileged commands and/or other actions for which - dual authorization is to be enforced; and

- - - AC-3(2)[2] -

the information system enforces dual authorization for organization-defined - privileged commands and/or other organization-defined actions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement and dual authorization

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged commands requiring dual authorization

-

list of actions requiring dual authorization

-

list of approved authorizations (user privileges)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Dual authorization mechanisms implementing access control policy

- - - - - Mandatory Access Control - - - - - - - - - - AC-3(3) - ac-03.03 - -

The information system enforces over all - subjects and objects where the policy:

- - (a) -

Is uniformly enforced across all subjects and objects within the boundary of - the information system;

- - - (b) -

Specifies that a subject that has been granted access to information is - constrained from doing any of the following;

- - (1) -

Passing the information to unauthorized subjects or objects;

- - - (2) -

Granting its privileges to other subjects;

- - - (3) -

Changing one or more security attributes on subjects, objects, the - information system, or information system components;

- - - (4) -

Choosing the security attributes and attribute values to be associated with - newly created or modified objects; or

- - - (5) -

Changing the rules governing access control; and

- - - - (c) -

Specifies that may explicitly be granted - such that they are not limited by some or - all of the above constraints.

- - - -

Mandatory access control as defined in this control enhancement is synonymous with - nondiscretionary access control, and is not constrained only to certain historical - uses (e.g., implementations using the Bell-LaPadula Model). The above class of - mandatory access control policies constrains what actions subjects can take with - information obtained from data objects for which they have already been granted - access, thus preventing the subjects from passing the information to unauthorized - subjects and objects. This class of mandatory access control policies also - constrains what actions subjects can take with respect to the propagation of - access control privileges; that is, a subject with a privilege cannot pass that - privilege to other subjects. The policy is uniformly enforced over all subjects - and objects to which the information system has control. Otherwise, the access - control policy can be circumvented. This enforcement typically is provided via an - implementation that meets the reference monitor concept (see AC-25). The policy is - bounded by the information system boundary (i.e., once the information is passed - outside of the control of the system, additional means may be required to ensure - that the constraints on the information remain in effect). The trusted subjects - described above are granted privileges consistent with the concept of least - privilege (see AC-6). Trusted subjects are only given the minimum privileges - relative to the above policy necessary for satisfying organizational - mission/business needs. The control is most applicable when there is some policy - mandate (e.g., law, Executive Order, directive, or regulation) that establishes a - policy regarding access to sensitive/classified information and some users of the - information system are not authorized access to all sensitive/classified - information resident in the information system. This control can operate in - conjunction with AC-3 (4). A subject that is constrained in its operation by - policies governed by this control is still able to operate under the less rigorous - constraints of AC-3 (4), but policies governed by this control take precedence - over the less rigorous constraints of AC-3 (4). For example, while a mandatory - access control policy imposes a constraint preventing a subject from passing - information to another subject operating at a different sensitivity label, AC-3 - (4) permits the subject to pass the information to any subject with the same - sensitivity label as the subject.

- AC-25 - SC-11 - - -

Determine if:

- - AC-3(3)[1] -

the organization defines mandatory access control policies to be enforced over - all subjects and objects;

- - - AC-3(3)[2] -

the organization defines subjects over which organization-defined mandatory - access control policies are to be enforced;

- - - AC-3(3)[3] -

the organization defines objects over which organization-defined mandatory - access control policies are to be enforced;

- - - AC-3(3)[4] -

the organization defines subjects that may explicitly be granted privileges - such that they are not limited by the constraints specified elsewhere within - this control;

- - - AC-3(3)[5] -

the organization defines privileges that may be granted to organization-defined - subjects;

- - - AC-3(3)[6] -

the information system enforces organization-defined mandatory access control - policies over all subjects and objects where the policy specifies that:

- - AC-3(3)[6](a) -

the policy is uniformly enforced across all subjects and objects within the - boundary of the information system;

- AC-3(3)(a) - - - AC-3(3)[6](b) -

a subject that has been granted access to information is constrained from - doing any of the following:

- - AC-3(3)[6](b)(1) -

passing the information to unauthorized subjects or objects;

- AC-3(3)(b)(1) - - - AC-3(3)[6](b)(2) -

granting its privileges to other subjects;

- AC-3(3)(b)(2) - - - AC-3(3)[6](b)(3) -

changing one or more security attributes on:

- - AC-3(3)[6](b)(3)[a] -

subjects;

- - - AC-3(3)[6](b)(3)[b] -

objects;

- - - AC-3(3)[6](b)(3)[c] -

the information system; or

- - - AC-3(3)[6](b)(3)[d] -

system components;

- - AC-3(3)(b)(3) - - - AC-3(3)[6](b)(4) -

choosing the security attributes and attribute values to be associated - with newly created or modified objects; or

- AC-3(3)(b)(4) - - - AC-3(3)[6](b)(5) -

changing the rules governing access control; and

- AC-3(3)(b)(5) - - AC-3(3)(b) - - - AC-3(3)[6](c) -

organization-defined subjects may explicitly be granted organization-defined - privileges such that they are not limited by some or all of the above - constraints.

- AC-3(3)(c) - - - - - EXAMINE - -

Access control policy

-

mandatory access control policies

-

procedures addressing access enforcement

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of subjects and objects (i.e., users and resources) requiring enforcement - of mandatory access control policies

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing mandatory access control

- - - - - Discretionary Access Control - - - - AC-3(4) - ac-03.04 - -

The information system enforces over defined - subjects and objects where the policy specifies that a subject that has been - granted access to information can do one or more of the following:

- - (a) -

Pass the information to any other subjects or objects;

- - - (b) -

Grant its privileges to other subjects;

- - - (c) -

Change security attributes on subjects, objects, the information system, or the - information system’s components;

- - - (d) -

Choose the security attributes to be associated with newly created or revised - objects; or

- - - (e) -

Change the rules governing access control.

- - - -

When discretionary access control policies are implemented, subjects are not - constrained with regard to what actions they can take with information for which - they have already been granted access. Thus, subjects that have been granted - access to information are not prevented from passing (i.e., the subjects have the - discretion to pass) the information to other subjects or objects. This control - enhancement can operate in conjunction with AC-3 (3). A subject that is - constrained in its operation by policies governed by AC-3 (3) is still able to - operate under the less rigorous constraints of this control enhancement. Thus, - while AC-3 (3) imposes constraints preventing a subject from passing information - to another subject operating at a different sensitivity level, AC-3 (4) permits - the subject to pass the information to any subject at the same sensitivity level. - The policy is bounded by the information system boundary. Once the information is - passed outside of the control of the information system, additional means may be - required to ensure that the constraints remain in effect. While the older, more - traditional definitions of discretionary access control require identity-based - access control, that limitation is not required for this use of discretionary - access control.

- - -

Determine if:

- - AC-3(4)[1] -

the organization defines discretionary access control policies to be enforced - over defined subjects and objects;

- - - AC-3(4)[2] -

the information system enforces organization-defined discretionary access - control policies over defined subjects and objects where the policy specifies - that a subject has been granted access to information and can do one or more of - the following:

- - AC-3(4)[2](a) -

pass the information to any other subjects or objects;

- AC-3(4)(a) - - - AC-3(4)[2](b) -

grant its privileges to other subjects;

- AC-3(4)(b) - - - AC-3(4)[2](c) -

change security attributes on:

- - AC-3(4)[2](c)[a] -

subjects,

- - - AC-3(4)[2](c)[b] -

objects,

- - - AC-3(4)[2](c)[c] -

the information system, or

- - - AC-3(4)[2](c)[d] -

the information system’s components;

- - AC-3(4)(c) - - - AC-3(4)[2](d) -

choose the security attributes to be associated with newly created or - revised objects; or

- AC-3(4)(d) - - - AC-3(4)[2](e) -

change the rules governing access control.

- AC-3(4)(e) - - - - - EXAMINE - -

Access control policy

-

discretionary access control policies

-

procedures addressing access enforcement

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of subjects and objects (i.e., users and resources) requiring enforcement - of discretionary access control policies

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing discretionary access control policy

- - - - - Security-relevant Information - - - - AC-3(5) - ac-03.05 - -

The information system prevents access to except - during secure, non-operable system states.

- - -

Security-relevant information is any information within information systems that - can potentially impact the operation of security functions or the provision of - security services in a manner that could result in failure to enforce system - security policies or maintain the isolation of code and data. Security-relevant - information includes, for example, filtering rules for routers/firewalls, - cryptographic key management information, configuration parameters for security - services, and access control lists. Secure, non-operable system states include the - times in which information systems are not performing mission/business-related - processing (e.g., the system is off-line for maintenance, troubleshooting, - boot-up, shut down).

- CM-3 - - -

Determine if:

- - AC-3(5)[1] -

the organization defines security-relevant information to which the information - system prevents access except during secure, non-operable system states; - and

- - - AC-3(5)[2] -

the information system prevents access to organization-defined - security-relevant information except during secure, non-operable system - states.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms preventing access to security-relevant information within - the information system

- - - - - Protection of User and System Information - AC-3(6) - ac-03.06 - Withdrawn - MP-4 - SC-28 - - - Role-based Access Control - - - - AC-3(7) - ac-03.07 - -

The information system enforces a role-based access control policy over defined - subjects and objects and controls access based upon .

- - -

Role-based access control (RBAC) is an access control policy that restricts - information system access to authorized users. Organizations can create specific - roles based on job functions and the authorizations (i.e., privileges) to perform - needed operations on organizational information systems associated with the - organization-defined roles. When users are assigned to the organizational roles, - they inherit the authorizations or privileges defined for those roles. RBAC - simplifies privilege administration for organizations because privileges are not - assigned directly to every user (which can be a significant number of individuals - for mid- to large-size organizations) but are instead acquired through role - assignments. RBAC can be implemented either as a mandatory or discretionary form - of access control. For organizations implementing RBAC with mandatory access - controls, the requirements in AC-3 (3) define the scope of the subjects and - objects covered by the policy.

- - -

Determine if:

- - AC-3(7)[1] -

the organization defines roles to control information system access;

- - - AC-3(7)[2] -

the organization defines users authorized to assume the organization-defined - roles;

- - - AC-3(7)[3] -

the information system controls access based on organization-defined roles and - users authorized to assume such roles;

- - - AC-3(7)[4] -

the information system enforces a role-based access control policy over - defined:

- - AC-3(7)[4][a] -

subjects, and

- - - AC-3(7)[4][b] -

objects.

- - - - - EXAMINE - -

Access control policy

-

role-based access control policies

-

procedures addressing access enforcement

-

security plan, information system design documentation

-

information system configuration settings and associated documentation

-

list of roles, users, and associated privileges required to control information - system access

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing role-based access control policy

- - - - - Revocation of Access Authorizations - - - - AC-3(8) - ac-03.08 - -

The information system enforces the revocation of access authorizations resulting - from changes to the security attributes of subjects and objects based on .

- - -

Revocation of access rules may differ based on the types of access revoked. For - example, if a subject (i.e., user or process) is removed from a group, access may - not be revoked until the next time the object (e.g., file) is opened or until the - next time the subject attempts a new access to the object. Revocation based on - changes to security labels may take effect immediately. Organizations can provide - alternative approaches on how to make revocations immediate if information systems - cannot provide such capability and immediate revocation is necessary.

- - -

Determine if:

- - AC-3(8)[1] -

the organization defines rules governing the timing of revocations of access - authorizations; and

- - - AC-3(8)[2] -

the information system enforces the revocation of access authorizations - resulting from changes to the security attributes of subjects and objects based - on organization-defined rules governing the timing of revocations of access - authorizations.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

rules governing revocation of access authorizations, information system audit - records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access enforcement functions

- - - - - Controlled Release - - - - - - - - - - AC-3(9) - ac-03.09 - -

The information system does not release information outside of the established - system boundary unless:

- - (a) -

The receiving provides ; and

- - - (b) -

- are used to validate the appropriateness of - the information designated for release.

- - - -

Information systems can only protect organizational information within the - confines of established system boundaries. Additional security safeguards may be - needed to ensure that such information is adequately protected once it is passed - beyond the established information system boundaries. Examples of information - leaving the system boundary include transmitting information to an external - information system or printing the information on one of its printers. In cases - where the information system is unable to make a determination of the adequacy of - the protections provided by entities outside its boundary, as a mitigating - control, organizations determine procedurally whether the external information - systems are providing adequate security. The means used to determine the adequacy - of the security provided by external information systems include, for example, - conducting inspections or periodic testing, establishing agreements between the - organization and its counterpart organizations, or some other process. The means - used by external entities to protect the information received need not be the same - as those used by the organization, but the means employed are sufficient to - provide consistent adjudication of the security policy to protect the information. - This control enhancement requires information systems to employ technical or - procedural means to validate the information prior to releasing it to external - systems. For example, if the information system passes information to another - system controlled by another organization, technical means are employed to - validate that the security attributes associated with the exported information are - appropriate for the receiving system. Alternatively, if the information system - passes information to a printer in organization-controlled space, procedural means - can be employed to ensure that only appropriately authorized individuals gain - access to the printer. This control enhancement is most applicable when there is - some policy mandate (e.g., law, Executive Order, directive, or regulation) that - establishes policy regarding access to the information, and that policy applies - beyond the realm of a particular information system or organization.

- - -

Determine if:

- - AC-3(9)[1] -

the organization defines the information system or system component authorized - to receive information released outside of the established system boundary of - the information system releasing such information;

- - - AC-3(9)[2] -

the organization defines security safeguards to be provided by - organization-defined information system or system component receiving - information released from an information system outside of the established - system boundary;

- - - AC-3(9)[3] -

the organization defines security safeguards to be used to validate the - appropriateness of the information designated for release;

- - - AC-3(9)[4] -

the information system does not release information outside of the established - system boundary unless:

- - AC-3(9)[4](a) -

the receiving organization-defined information system or system component - provides organization-defined security safeguards; and

- AC-3(9)(a) - - - AC-3(9)[4](b) -

the organization-defined security safeguards are used to validate the - appropriateness of the information designated for release.

- AC-3(9)(b) - - - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security safeguards provided by receiving information system or system - components

-

list of security safeguards validating appropriateness of information - designated for release

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access enforcement functions

- - - - - Audited Override of Access Control Mechanisms - - - - AC-3(10) - ac-03.10 - -

The organization employs an audited override of automated access control - mechanisms under .

- - - AU-2 - AU-6 - - -

Determine if the organization:

- - AC-3(10)[1] -

defines conditions under which to employ an audited override of automated - access control mechanisms; and

- - - AC-3(10)[2] -

employs an audited override of automated access control mechanisms under - organization-defined conditions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

conditions for employing audited override of automated access control - mechanisms

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing access enforcement functions

- - - - - - Information Flow Enforcement - - - - AC-4 - ac-04 - -

The information system enforces approved authorizations for controlling the flow of - information within the system and between interconnected systems based on .

- - -

Information flow control regulates where information is allowed to travel within an - information system and between information systems (as opposed to who is allowed to - access the information) and without explicit regard to subsequent accesses to that - information. Flow control restrictions include, for example, keeping - export-controlled information from being transmitted in the clear to the Internet, - blocking outside traffic that claims to be from within the organization, restricting - web requests to the Internet that are not from the internal web proxy server, and - limiting information transfers between organizations based on data structures and - content. Transferring information between information systems representing different - security domains with different security policies introduces risk that such transfers - violate one or more domain security policies. In such situations, information - owners/stewards provide guidance at designated policy enforcement points between - interconnected systems. Organizations consider mandating specific architectural - solutions when required to enforce specific security policies. Enforcement includes, - for example: (i) prohibiting information transfers between interconnected systems - (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way - information flows; and (iii) implementing trustworthy regrading mechanisms to - reassign security attributes and security labels. Organizations commonly employ - information flow control policies and enforcement mechanisms to control the flow of - information between designated sources and destinations (e.g., networks, individuals, - and devices) within information systems and between interconnected systems. Flow - control is based on the characteristics of the information and/or the information - path. Enforcement occurs, for example, in boundary protection devices (e.g., - gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or - establish configuration settings that restrict information system services, provide a - packet-filtering capability based on header information, or message-filtering - capability based on message content (e.g., implementing key word searches or using - document characteristics). Organizations also consider the trustworthiness of - filtering/inspection mechanisms (i.e., hardware, firmware, and software components) - that are critical to information flow enforcement. Control enhancements 3 through 22 - primarily address cross-domain solution needs which focus on more advanced filtering - techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented - in cross-domain products, for example, high-assurance guards. Such capabilities are - generally not available in commercial off-the-shelf information technology - products.

- AC-3 - AC-17 - AC-19 - AC-21 - CM-6 - CM-7 - SA-8 - SC-2 - SC-5 - SC-7 - SC-18 - - -

Determine if:

- - AC-4[1] -

the organization defines information flow control policies to control the flow of - information within the system and between interconnected systems; and

- - - AC-4[2] -

the information system enforces approved authorizations for controlling the flow - of information within the system and between interconnected systems based on - organization-defined information flow control policies.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system baseline configuration

-

list of information flow authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - Object Security Attributes - - - - - - - - - - AC-4(1) - ac-04.01 - -

The information system uses associated with - to enforce - as a basis for flow control decisions.

- - -

Information flow enforcement mechanisms compare security attributes associated - with information (data content and data structure) and source/destination objects, - and respond appropriately (e.g., block, quarantine, alert administrator) when the - mechanisms encounter information flows not explicitly allowed by information flow - policies. For example, an information object labeled Secret would be allowed to - flow to a destination object labeled Secret, but an information object labeled Top - Secret would not be allowed to flow to a destination object labeled Secret. - Security attributes can also include, for example, source and destination - addresses employed in traffic filter firewalls. Flow enforcement using explicit - security attributes can be used, for example, to control the release of certain - types of information.

- AC-16 - - -

Determine if:

- - AC-4(1)[1] -

the organization defines information flow control policies as a basis for flow - control decisions;

- - - AC-4(1)[2] -

the organization defines security attributes to be associated with information, - source, and destination objects;

- - - AC-4(1)[3] -

the organization defines the following objects to be associated with - organization-defined security attributes:

- - AC-4(1)[3][a] -

information;

- - - AC-4(1)[3][b] -

source;

- - - AC-4(1)[3][c] -

destination; and

- - - - AC-4(1)[4] -

the information system uses organization-defined security attributes associated - with organization-defined information, source, and destination objects to - enforce organization-defined information flow control policies as a basis for - flow control decisions.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security attributes and associated information, source, and destination - objects enforcing information flow control policies

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Processing Domains - - - - AC-4(2) - ac-04.02 - -

The information system uses protected processing domains to enforce as a basis for flow control decisions.

- - -

Within information systems, protected processing domains are processing spaces - that have controlled interactions with other processing spaces, thus enabling - control of information flows between these spaces and to/from data/information - objects. A protected processing domain can be provided, for example, by - implementing domain and type enforcement. In domain and type enforcement, - information system processes are assigned to domains; information is identified by - types; and information flows are controlled based on allowed information accesses - (determined by domain and type), allowed signaling among domains, and allowed - process transitions to other domains.

- - -

Determine if:

- - AC-4(2)[1] -

the organization defines information flow control policies as a basis for flow - control decisions; and

- - - AC-4(2)[2] -

the information system uses protected processing domains to enforce - organization-defined information flow control policies as a basis for flow - control decisions.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system security architecture and associated documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Dynamic Information Flow Control - - - - AC-4(3) - ac-04.03 - -

The information system enforces dynamic information flow control based on .

- - -

Organizational policies regarding dynamic information flow control include, for - example, allowing or disallowing information flows based on changing conditions or - mission/operational considerations. Changing conditions include, for example, - changes in organizational risk tolerance due to changes in the immediacy of - mission/business needs, changes in the threat environment, and detection of - potentially harmful or adverse events.

- SI-4 - - -

Determine if:

- - AC-4(3)[1] -

the organization defines policies to enforce dynamic information flow control; - and

- - - AC-4(3)[2] -

the information system enforces dynamic information flow control based on - organization-defined policies.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system security architecture and associated documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Content Check Encrypted Information - - - - - - - AC-4(4) - ac-04.04 - -

The information system prevents encrypted information from bypassing - content-checking mechanisms by .

- - - SI-4 - - -

Determine if:

- - AC-4(4)[1] -

the organization defines a procedure or method to be employed to prevent - encrypted information from bypassing content-checking mechanisms;

- - - AC-4(4)[2] -

the information system prevents encrypted information from bypassing - content-checking mechanisms by doing one or more of the following:

- - AC-4(4)[2][a] -

decrypting the information;

- - - AC-4(4)[2][b] -

blocking the flow of the encrypted information;

- - - AC-4(4)[2][c] -

terminating communications sessions attempting to pass encrypted - information; and/or

- - - AC-4(4)[2][d] -

employing the organization-defined procedure or method.

- - - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Embedded Data Types - - - - AC-4(5) - ac-04.05 - -

The information system enforces on embedding - data types within other data types.

- - -

Embedding data types within other data types may result in reduced flow control - effectiveness. Data type embedding includes, for example, inserting executable - files as objects within word processing files, inserting references or descriptive - information into a media file, and compressed or archived data types that may - include multiple embedded data types. Limitations on data type embedding consider - the levels of embedding and prohibit levels of data type embedding that are beyond - the capability of the inspection tools.

- - -

Determine if:

- - AC-4(5)[1] -

the organization defines limitations to be enforced on embedding data types - within other data types; and

- - - AC-4(5)[2] -

the information system enforces organization-defined limitations on embedding - data types within other data types.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of limitations to be enforced on embedding data types within other data - types

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Metadata - - - - AC-4(6) - ac-04.06 - -

The information system enforces information flow control based on .

- - -

Metadata is information used to describe the characteristics of data. Metadata can - include structural metadata describing data structures (e.g., data format, syntax, - and semantics) or descriptive metadata describing data contents (e.g., age, - location, telephone number). Enforcing allowed information flows based on metadata - enables simpler and more effective flow control. Organizations consider the - trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the - metadata values are correct with respect to the data), data integrity (i.e., - protecting against unauthorized changes to metadata tags), and the binding of - metadata to the data payload (i.e., ensuring sufficiently strong binding - techniques with appropriate levels of assurance).

- AC-16 - SI-7 - - -

Determine if:

- - AC-4(6)[1] -

the organization defines metadata to be used as a means of enforcing - information flow control; and

- - - AC-4(6)[2] -

the information system enforces information flow control based on - organization-defined metadata.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

types of metadata used to enforce information flow control decisions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - One-way Flow Mechanisms - - - - AC-4(7) - ac-04.07 - -

The information system enforces using hardware - mechanisms.

- - -

Determine if:

- - AC-4(7)[1] -

the organization defines one-way information flows to be enforced by the - information system; and

- - - AC-4(7)[2] -

the information system enforces organization-defined one-way information flows - using hardware mechanisms.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system hardware mechanisms and associated configurations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Hardware mechanisms implementing information flow enforcement policy

- - - - - Security Policy Filters - - - - - - - AC-4(8) - ac-04.08 - -

The information system enforces information flow control using as a basis for flow control decisions for .

- - -

Organization-defined security policy filters can address data structures and - content. For example, security policy filters for data structures can check for - maximum file lengths, maximum field sizes, and data/file types (for structured and - unstructured data). Security policy filters for data content can check for - specific words (e.g., dirty/clean word filters), enumerated values or data value - ranges, and hidden content. Structured data permits the interpretation of data - content by applications. Unstructured data typically refers to digital information - without a particular data structure or with a data structure that does not - facilitate the development of rule sets to address the particular sensitivity of - the information conveyed by the data or the associated flow enforcement decisions. - Unstructured data consists of: (i) bitmap objects that are inherently non - language-based (i.e., image, video, or audio files); and (ii) textual objects that - are based on written or printed languages (e.g., commercial off-the-shelf word - processing documents, spreadsheets, or emails). Organizations can implement more - than one security policy filter to meet information flow control objectives (e.g., - employing clean word lists in conjunction with dirty word lists may help to reduce - false positives).

- - -

Determine if:

- - AC-4(8)[1] -

the organization defines security policy filters to be used as a basis for - enforcing flow control decisions;

- - - AC-4(8)[2] -

the organization defines information flows for which flow control decisions are - to be applied and enforced; and

- - - AC-4(8)[3] -

the information system enforces information flow control using - organization-defined security policy filters as a basis for flow control - decisions for organization-defined information flows.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security policy filters regulating flow control decisions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Human Reviews - - - - - - - AC-4(9) - ac-04.09 - -

The information system enforces the use of human reviews for under the following conditions: .

- - -

Organizations define security policy filters for all situations where automated - flow control decisions are possible. When a fully automated flow control decision - is not possible, then a human review may be employed in lieu of, or as a - complement to, automated security policy filtering. Human reviews may also be - employed as deemed necessary by organizations.

- - -

Determine if:

- - AC-4(9)[1] -

the organization defines information flows requiring the use of human - reviews;

- - - AC-4(9)[2] -

the organization defines conditions under which the use of human reviews for - organization-defined information flows is to be enforced; and

- - - AC-4(9)[3] -

the information system enforces the use of human reviews for - organization-defined information flows under organization-defined - conditions.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of human reviews regarding information flows

-

list of conditions requiring human reviews for information flows

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with information flow enforcement responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms enforcing the use of human reviews

- - - - - Enable / Disable Security Policy Filters - - - - - - - AC-4(10) - ac-04.10 - -

The information system provides the capability for privileged administrators to - enable/disable under the following conditions: - .

- - -

For example, as allowed by the information system authorization, administrators - can enable security policy filters to accommodate approved data types.

- - -

Determine if:

- - AC-4(10)[1] -

the organization defines security policy filters that privileged administrators - have the capability to enable/disable;

- - - AC-4(10)[2] -

the organization-defined conditions under which privileged administrators have - the capability to enable/disable organization-defined security policy filters; - and

- - - AC-4(10)[3] -

the information system provides the capability for privileged administrators to - enable/disable organization-defined security policy filters under - organization-defined conditions.

- - - - EXAMINE - -

Access control policy

-

information flow information policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security policy filters enabled/disabled by privileged - administrators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for enabling/disabling security - policy filters

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Configuration of Security Policy Filters - - - - AC-4(11) - ac-04.11 - -

The information system provides the capability for privileged administrators to - configure to support different security - policies.

- - -

For example, to reflect changes in security policies, administrators can change - the list of “dirty words” that security policy mechanisms check in accordance with - the definitions provided by organizations.

- - -

Determine if:

- - AC-4(11)[1] -

the organization defines security policy filters that privileged administrators - have the capability to configure to support different security policies; - and

- - - AC-4(11)[2] -

the information system provides the capability for privileged administrators to - configure organization-defined security policy filters to support different - security policies.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security policy filters

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for configuring security policy - filters

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Data Type Identifiers - - - - AC-4(12) - ac-04.12 - -

The information system, when transferring information between different security - domains, uses to validate data essential for - information flow decisions.

- - -

Data type identifiers include, for example, filenames, file types, file - signatures/tokens, and multiple internal file signatures/tokens. Information - systems may allow transfer of data only if compliant with data type format - specifications.

- - -

Determine if:

- - AC-4(12)[1] -

the organization defines data type identifiers to be used, when transferring - information between different security domains, to validate data essential for - information flow decisions; and

- - - AC-4(12)[2] -

the information system, when transferring information between different - security domains, uses organization-defined data type identifiers to validate - data essential for information flow decisions.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of data type identifiers

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Decomposition into Policy-relevant Subcomponents - - - - AC-4(13) - ac-04.13 - -

The information system, when transferring information between different security - domains, decomposes information into for - submission to policy enforcement mechanisms.

- - -

Policy enforcement mechanisms apply filtering, inspection, and/or sanitization - rules to the policy-relevant subcomponents of information to facilitate flow - enforcement prior to transferring such information to different security domains. - Parsing transfer files facilitates policy decisions on source, destination, - certificates, classification, attachments, and other security-related component - differentiators.

- - -

Determine if:

- - AC-4(13)[1] -

the organization defines policy-relevant subcomponents to decompose information - for submission to policy enforcement mechanisms when transferring such - information between different security domains; and

- - - AC-4(13)[2] -

the information system, when transferring information between different - security domains, decomposes information into organization-defined - policy-relevant subcomponents for submission to policy enforcement - mechanisms.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Security Policy Filter Constraints - - - - AC-4(14) - ac-04.14 - -

The information system, when transferring information between different security - domains, implements requiring fully enumerated - formats that restrict data structure and content.

- - -

Data structure and content restrictions reduce the range of potential malicious - and/or unsanctioned content in cross-domain transactions. Security policy filters - that restrict data structures include, for example, restricting file sizes and - field lengths. Data content policy filters include, for example: (i) encoding - formats for character sets (e.g., Universal Character Set Transformation Formats, - American Standard Code for Information Interchange); (ii) restricting character - data fields to only contain alpha-numeric characters; (iii) prohibiting special - characters; and (iv) validating schema structures.

- - -

Determine if:

- - AC-4(14)[1] -

the organization defines security policy filters to be implemented that require - fully enumerated formats restricting data structure and content when - transferring information between different security domains; and

- - - AC-4(14)[2] -

the information system, when transferring information between different - security domains, implements organization-defined security policy filters - requiring fully enumerated formats that restrict data structure and - content.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security policy filters

-

list of data content policy filters

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Detection of Unsanctioned Information - - - - - - - AC-4(15) - ac-04.15 - -

The information system, when transferring information between different security - domains, examines the information for the presence of and prohibits the transfer of such information in - accordance with the .

- - -

Detection of unsanctioned information includes, for example, checking all - information to be transferred for malicious code and dirty words.

- SI-3 - - -

Determine if:

- - AC-4(15)[1] -

the organization defines unsanctioned information to be detected when - transferring information between different security domains;

- - - AC-4(15)[2] -

the organization defines the security policy that requires the transfer of - organization-defined unsanctioned information between different security - domains to be prohibited when the presence of such information is detected; - and

- - - AC-4(15)[3] -

the information system, when transferring information between different - security domains, examines the information for the presence of - organization-defined unsanctioned information and prohibits the transfer of - such information in accordance with the organization-defined security - policy.

- - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of unsanctioned information types and associated information

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Information Transfers On Interconnected Systems - AC-4(16) - ac-04.16 - Withdrawn - AC-4 - - - Domain Authentication - - - - AC-4(17) - ac-04.17 - -

The information system uniquely identifies and authenticates source and - destination points by for information - transfer.

- - -

Attribution is a critical component of a security concept of operations. The - ability to identify source and destination points for information flowing in - information systems, allows the forensic reconstruction of events when required, - and encourages policy compliance by attributing policy violations to specific - organizations/individuals. Successful domain authentication requires that - information system labels distinguish among systems, organizations, and - individuals involved in preparing, sending, receiving, or disseminating - information.

- IA-2 - IA-3 - IA-4 - IA-5 - - -

Determine if the information system uniquely identifies and authenticates:

- - AC-4(17)[1] - - AC-4(17)[1][a] -

source points for information transfer;

- - - AC-4(17)[1][b] -

destination points for information transfer;

- - - - AC-4(17)[2] -

by one or more of the following:

- - AC-4(17)[2][a] -

organization;

- - - AC-4(17)[2][b] -

system;

- - - AC-4(17)[2][c] -

application; and/or

- - - AC-4(17)[2][d] -

individual.

- - - - - EXAMINE - -

Access control policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

procedures addressing source and destination domain identification and - authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement policy

- - - - - Security Attribute Binding - - - - AC-4(18) - ac-04.18 - -

The information system binds security attributes to information using to facilitate information flow policy - enforcement.

- - -

Binding techniques implemented by information systems affect the strength of - security attribute binding to information. Binding strength and the assurance - associated with binding techniques play an important part in the trust - organizations have in the information flow enforcement process. The binding - techniques affect the number and degree of additional reviews required by - organizations.

- AC-16 - SC-16 - - -

Determine if:

- - AC-4(18)[1] -

the organization defines binding techniques to be used to facilitate - information flow policy enforcement; and

- - - AC-4(18)[2] -

the information system binds security attributes to information using - organization-defined binding techniques to facilitate information flow policy - enforcement.

- - - - EXAMINE - -

Information flow enforcement policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of binding techniques to bind security attributes to information

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - Validation of Metadata - AC-4(19) - ac-04.19 - -

The information system, when transferring information between different security - domains, applies the same security policy filtering to metadata as it applies to - data payloads.

- - -

This control enhancement requires the validation of metadata and the data to which - the metadata applies. Some organizations distinguish between metadata and data - payloads (i.e., only the data to which the metadata is bound). Other organizations - do not make such distinctions, considering metadata and the data to which the - metadata applies as part of the payload. All information (including metadata and - the data to which the metadata applies) is subject to filtering and - inspection.

- - -

Determine if the information system, when transferring information between - different security domains, applies the same security policy filtering to metadata - as it applies to data payloads.

- - - EXAMINE - -

Information flow enforcement policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security policy filtering criteria applied to metadata and data - payloads

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - Approved Solutions - - - - - - - AC-4(20) - ac-04.20 - -

The organization employs to control the flow of - across security domains.

- - -

Organizations define approved solutions and configurations in cross-domain - policies and guidance in accordance with the types of information flows across - classification boundaries. The Unified Cross Domain Management Office (UCDMO) - provides a baseline listing of approved cross-domain solutions.

- - -

Determine if the organization:

- - AC-4(20)[1] -

defines solutions in approved configurations to control the flow of information - across security domains;

- - - AC-4(20)[2] -

defines information for which organization-defined solutions in approved - configurations are to be employed to control the flow of such information - across security domains; and

- - - AC-4(20)[3] -

employs organization-defined solutions in approved configurations to control - the flow of organization-defined information across security domains.

- - - - EXAMINE - -

Information flow enforcement policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of solutions in approved configurations

-

approved configuration baselines

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - Physical / Logical Separation of Information Flows - - - - - - - AC-4(21) - ac-04.21 - -

The information system separates information flows logically or physically using - to accomplish .

- - -

Enforcing the separation of information flows by type can enhance protection by - ensuring that information is not commingled while in transit and by enabling flow - control by transmission paths perhaps not otherwise achievable. Types of separable - information include, for example, inbound and outbound communications traffic, - service requests and responses, and information of differing security - categories.

- - -

Determine if:

- - AC-4(21)[1] -

the organization defines the required separations of information flows by types - of information;

- - - AC-4(21)[2] -

the organization defines the mechanisms and/or techniques to be used to - separate information flows logically or physically; and

- - - AC-4(21)[3] -

the information system separates information flows logically or physically - using organization-defined mechanisms and/or techniques to accomplish - organization-defined required separations by types of information.

- - - - EXAMINE - -

Information flow enforcement policy

-

information flow control policies

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of required separation of information flows by information types

-

list of mechanisms and/or techniques used to logically or physically separate - information flows

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - Access Only - AC-4(22) - ac-04.22 - -

The information system provides access from a single device to computing - platforms, applications, or data residing on multiple different security domains, - while preventing any information flow between the different security domains.

- - -

The information system, for example, provides a desktop for users to access each - connected security domain without providing any mechanisms to allow transfer of - information between the different security domains.

- - -

Determine if the information system provides access from a single device to - computing platforms, applications, or data residing on multiple different security - domains, while preventing any information flow between the different security - domains.

- - - EXAMINE - -

Information flow enforcement policy

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information flow enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing information flow enforcement functions

- - - - - - Separation of Duties - - - - AC-5 - ac-05 - -

The organization:

- - a. -

Separates ;

- - - b. -

Documents separation of duties of individuals; and

- - - c. -

Defines information system access authorizations to support separation of - duties.

- - - -

Separation of duties addresses the potential for abuse of authorized privileges and - helps to reduce the risk of malevolent activity without collusion. Separation of - duties includes, for example: (i) dividing mission functions and information system - support functions among different individuals and/or roles; (ii) conducting - information system support functions with different individuals (e.g., system - management, programming, configuration management, quality assurance and testing, and - network security); and (iii) ensuring security personnel administering access control - functions do not also administer audit functions.

- AC-3 - AC-6 - PE-3 - PE-4 - PS-2 - - -

Determine if the organization:

- - AC-5(a) - - AC-5(a)[1] -

defines duties of individuals to be separated;

- - - AC-5(a)[2] -

separates organization-defined duties of individuals;

- - - - AC-5(b) -

documents separation of duties; and

- - - AC-5(c) -

defines information system access authorizations to support separation of - duties.

- - - - EXAMINE - -

Access control policy

-

procedures addressing divisions of responsibility and separation of duties

-

information system configuration settings and associated documentation

-

list of divisions of responsibility and separation of duties

-

information system access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining appropriate divisions - of responsibility and separation of duties

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing separation of duties policy

- - - - - Least Privilege - AC-6 - ac-06 - -

The organization employs the principle of least privilege, allowing only authorized - accesses for users (or processes acting on behalf of users) which are necessary to - accomplish assigned tasks in accordance with organizational missions and business - functions.

- - -

Organizations employ least privilege for specific duties and information systems. The - principle of least privilege is also applied to information system processes, - ensuring that the processes operate at privilege levels no higher than necessary to - accomplish required organizational missions/business functions. Organizations - consider the creation of additional processes, roles, and information system accounts - as necessary, to achieve least privilege. Organizations also apply least privilege to - the development, implementation, and operation of organizational information - systems.

- AC-2 - AC-3 - AC-5 - CM-6 - CM-7 - PL-2 - - -

Determine if the organization employs the principle of least privilege, allowing only - authorized access for users (and processes acting on behalf of users) which are - necessary to accomplish assigned tasks in accordance with organizational missions and - business functions.

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of assigned access authorizations (user privileges)

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - Authorize Access to Security Functions - - - - AC-6(1) - ac-06.01 - -

The organization explicitly authorizes access to .

- - -

Security functions include, for example, establishing system accounts, configuring - access authorizations (i.e., permissions, privileges), setting events to be - audited, and setting intrusion detection parameters. Security-relevant information - includes, for example, filtering rules for routers/firewalls, cryptographic key - management information, configuration parameters for security services, and access - control lists. Explicitly authorized personnel include, for example, security - administrators, system and network administrators, system security officers, - system maintenance personnel, system programmers, and other privileged users.

- AC-17 - AC-18 - AC-19 - - -

Determine if the organization:

- - AC-6(1)[1] -

defines security-relevant information for which access must be explicitly - authorized;

- - - AC-6(1)[2] -

defines security functions deployed in:

- - AC-6(1)[2][a] -

hardware;

- - - AC-6(1)[2][b] -

software;

- - - AC-6(1)[2][c] -

firmware;

- - - - AC-6(1)[3] -

explicitly authorizes access to:

- - AC-6(1)[3][a] -

organization-defined security functions; and

- - - AC-6(1)[3][b] -

security-relevant information.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of security functions (deployed in hardware, software, and firmware) and - security-relevant information for which access must be explicitly - authorized

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Non-privileged Access for Nonsecurity Functions - - - - AC-6(2) - ac-06.02 - -

The organization requires that users of information system accounts, or roles, - with access to , use non-privileged accounts or - roles, when accessing nonsecurity functions.

- - -

This control enhancement limits exposure when operating from within privileged - accounts or roles. The inclusion of roles addresses situations where organizations - implement access control policies such as role-based access control and where a - change of role provides the same degree of assurance in the change of access - authorizations for both the user and all processes acting on behalf of the user as - would be provided by a change between a privileged and non-privileged account.

- PL-4 - - -

Determine if the organization:

- - AC-6(2)[1] -

defines security functions or security-relevant information to which users of - information system accounts, or roles, have access; and

- - - AC-6(2)[2] -

requires that users of information system accounts, or roles, with access to - organization-defined security functions or security-relevant information, use - non-privileged accounts, or roles, when accessing nonsecurity functions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated security functions or security-relevant information - assigned to information system accounts or roles

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Network Access to Privileged Commands - - - - - - - AC-6(3) - ac-06.03 - -

The organization authorizes network access to - only for and documents the rationale for such - access in the security plan for the information system.

- - -

Network access is any access across a network connection in lieu of local access - (i.e., user being physically present at the device).

- AC-17 - - -

Determine if the organization:

- - AC-6(3)[1] -

defines privileged commands to which network access is to be authorized only - for compelling operational needs;

- - - AC-6(3)[2] -

defines compelling operational needs for which network access to - organization-defined privileged commands are to be solely authorized;

- - - AC-6(3)[3] -

authorizes network access to organization-defined privileged commands only for - organization-defined compelling operational needs; and

- - - AC-6(3)[4] -

documents the rationale for authorized network access to organization-defined - privileged commands in the security plan for the information system.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

list of operational needs for authorizing network access to privileged - commands

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Separate Processing Domains - AC-6(4) - ac-06.04 - -

The information system provides separate processing domains to enable - finer-grained allocation of user privileges.

- - -

Providing separate processing domains for finer-grained allocation of user - privileges includes, for example: (i) using virtualization techniques to allow - additional privileges within a virtual machine while restricting privileges to - other virtual machines or to the underlying actual machine; (ii) employing - hardware and/or software domain separation mechanisms; and (iii) implementing - separate physical domains.

- AC-4 - SC-3 - SC-30 - SC-32 - - -

Determine if the information system provides separate processing domains to enable - finer-grained allocation of user privileges.

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Privileged Accounts - - - - AC-6(5) - ac-06.05 - -

The organization restricts privileged accounts on the information system to - .

- - -

Privileged accounts, including super user accounts, are typically described as - system administrator for various types of commercial off-the-shelf operating - systems. Restricting privileged accounts to specific personnel or roles prevents - day-to-day users from having access to privileged information/functions. - Organizations may differentiate in the application of this control enhancement - between allowed privileges for local accounts and for domain accounts provided - organizations retain the ability to control information system configurations for - key security parameters and as otherwise necessary to sufficiently mitigate - risk.

- CM-6 - - -

Determine if the organization:

- - AC-6(5)[1] -

defines personnel or roles for which privileged accounts on the information - system are to be restricted; and

- - - AC-6(5)[2] -

restricts privileged accounts on the information system to organization-defined - personnel or roles.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated privileged accounts

-

list of system administration personnel

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing least privilege functions

- - - - - Privileged Access by Non-organizational Users - AC-6(6) - ac-06.06 - -

The organization prohibits privileged access to the information system by - non-organizational users.

- - - IA-8 - - -

Determine if the organization prohibits privileged access to the information - system by non-organizational users.

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated privileged accounts

-

list of non-organizational users

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms prohibiting privileged access to the information - system

- - - - - Review of User Privileges - - - - - - - AC-6(7) - ac-06.07 - -

The organization:

- - (a) -

Reviews the privileges assigned to to validate the need for such privileges; and

- - - (b) -

Reassigns or removes privileges, if necessary, to correctly reflect - organizational mission/business needs.

- - - -

The need for certain assigned user privileges may change over time reflecting - changes in organizational missions/business function, environments of operation, - technologies, or threat. Periodic review of assigned user privileges is necessary - to determine if the rationale for assigning such privileges remains valid. If the - need cannot be revalidated, organizations take appropriate corrective actions.

- CA-7 - - -

Determine if the organization:

- - AC-6(7)(a) - - AC-6(7)(a)[1] -

defines roles or classes of users to which privileges are assigned;

- - - AC-6(7)(a)[2] -

defines the frequency to review the privileges assigned to - organization-defined roles or classes of users to validate the need for such - privileges;

- - - AC-6(7)(a)[3] -

reviews the privileges assigned to organization-defined roles or classes of - users with the organization-defined frequency to validate the need for such - privileges; and

- - AC-6(7)(a) - - - AC-6(7)(b) -

reassigns or removes privileges, if necessary, to correctly reflect - organizational missions/business needs.

- AC-6(7)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of system-generated roles or classes of users and assigned privileges

-

information system design documentation

-

information system configuration settings and associated documentation

-

validation reviews of privileges assigned to roles or classes or users

-

records of privilege removals or reassignments for roles or classes of - users

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing review of user privileges

- - - - - Privilege Levels for Code Execution - - - - AC-6(8) - ac-06.08 - -

The information system prevents from executing - at higher privilege levels than users executing the software.

- - -

In certain situations, software applications/programs need to execute with - elevated privileges to perform required functions. However, if the privileges - required for execution are at a higher level than the privileges assigned to - organizational users invoking such applications/programs, those users are - indirectly provided with greater privileges than assigned by organizations.

- - -

Determine if:

- - AC-6(8)[1] -

the organization defines software that should not execute at higher privilege - levels than users executing the software; and

- - - AC-6(8)[2] -

the information system prevents organization-defined software from executing at - higher privilege levels than users executing the software.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

list of software that should not execute at higher privilege levels than users - executing software

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing least privilege functions for software - execution

- - - - - Auditing Use of Privileged Functions - AC-6(9) - ac-06.09 - -

The information system audits the execution of privileged functions.

- - -

Misuse of privileged functions, either intentionally or unintentionally by - authorized users, or by unauthorized external entities that have compromised - information system accounts, is a serious and ongoing concern and can have - significant adverse impacts on organizations. Auditing the use of privileged - functions is one way to detect such misuse, and in doing so, help mitigate the - risk from insider threats and the advanced persistent threat (APT).

- AU-2 - - -

Determine if the information system audits the execution of privileged functions. -

- - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged functions to be audited

-

list of audited events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms auditing the execution of least privilege functions

- - - - - Prohibit Non-privileged Users from Executing Privileged Functions - AC-6(10) - ac-06.10 - -

The information system prevents non-privileged users from executing privileged - functions to include disabling, circumventing, or altering implemented security - safeguards/countermeasures.

- - -

Privileged functions include, for example, establishing information system - accounts, performing system integrity checks, or administering cryptographic key - management activities. Non-privileged users are individuals that do not possess - appropriate authorizations. Circumventing intrusion detection and prevention - mechanisms or malicious code protection mechanisms are examples of privileged - functions that require protection from non-privileged users.

- - -

Determine if the information system prevents non-privileged users from executing - privileged functions to include:

- - AC-6(10)[1] -

disabling implemented security safeguards/countermeasures;

- - - AC-6(10)[2] -

circumventing security safeguards/countermeasures; or

- - - AC-6(10)[3] -

altering implemented security safeguards/countermeasures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing least privilege

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of privileged functions and associated user account assignments

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining least privileges - necessary to accomplish specified tasks

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing least privilege functions for non-privileged - users

- - - - - - Unsuccessful Logon Attempts - - - - - - - - - - - - - - - - AC-7 - ac-07 - -

The information system:

- - a. -

Enforces a limit of consecutive invalid logon - attempts by a user during a ; and

- - - b. -

Automatically when the maximum number of - unsuccessful attempts is exceeded.

- - - -

This control applies regardless of whether the logon occurs via a local or network - connection. Due to the potential for denial of service, automatic lockouts initiated - by information systems are usually temporary and automatically release after a - predetermined time period established by organizations. If a delay algorithm is - selected, organizations may choose to employ different algorithms for different - information system components based on the capabilities of those components. - Responses to unsuccessful logon attempts may be implemented at both the operating - system and the application levels.

- AC-2 - AC-9 - AC-14 - IA-5 - - -

Determine if:

- - AC-7(a) - - AC-7(a)[1] -

the organization defines the number of consecutive invalid logon attempts - allowed to the information system by a user during an organization-defined time - period;

- - - AC-7(a)[2] -

the organization defines the time period allowed by a user of the information - system for an organization-defined number of consecutive invalid logon - attempts;

- - - AC-7(a)[3] -

the information system enforces a limit of organization-defined number of - consecutive invalid logon attempts by a user during an organization-defined - time period;

- - - - AC-7(b) - - AC-7(b)[1] -

the organization defines account/node lockout time period or logon delay - algorithm to be automatically enforced by the information system when the - maximum number of unsuccessful logon attempts is exceeded;

- - - AC-7(b)[2] -

the information system, when the maximum number of unsuccessful logon attempts - is exceeded, automatically:

- - AC-7(b)[2][a] -

locks the account/node for the organization-defined time period;

- - - AC-7(b)[2][b] -

locks the account/node until released by an administrator; or

- - - AC-7(b)[2][c] -

delays next logon prompt according to the organization-defined delay - algorithm.

- - - - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful logon attempts

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful logon - attempts

- - - - Automatic Account Lock - AC-7(1) - ac-07.01 - Withdrawn - AC-7 - - - Purge / Wipe Mobile Device - - - - - - - - - - AC-7(2) - ac-07.02 - -

The information system purges/wipes information from based on after - consecutive, unsuccessful device logon - attempts.

- - -

This control enhancement applies only to mobile devices for which a logon occurs - (e.g., personal digital assistants, smart phones, tablets). The logon is to the - mobile device, not to any one account on the device. Therefore, successful logons - to any accounts on mobile devices reset the unsuccessful logon count to zero. - Organizations define information to be purged/wiped carefully in order to avoid - over purging/wiping which may result in devices becoming unusable. Purging/wiping - may be unnecessary if the information on the device is protected with sufficiently - strong encryption mechanisms.

- AC-19 - MP-5 - MP-6 - SC-13 - - -

Determine if:

- - AC-7(2)[1] -

the organization defines mobile devices to be purged/wiped after - organization-defined number of consecutive, unsuccessful device logon - attempts;

- - - AC-7(2)[2] -

the organization defines purging/wiping requirements/techniques to be used when - organization-defined mobile devices are purged/wiped after organization-defined - number of consecutive, unsuccessful device logon attempts;

- - - AC-7(2)[3] -

the organization defines the number of consecutive, unsuccessful logon attempts - allowed for accessing mobile devices before the information system purges/wipes - information from such devices; and

- - - AC-7(2)[4] -

the information system purges/wipes information from organization-defined - mobile devices based on organization-defined purging/wiping - requirements/techniques after organization-defined number of consecutive, - unsuccessful logon attempts.

- - - - EXAMINE - -

Access control policy

-

procedures addressing unsuccessful login attempts on mobile devices

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of mobile devices to be purged/wiped after organization-defined - consecutive, unsuccessful device logon attempts

-

list of purging/wiping requirements or techniques for mobile devices

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing access control policy for unsuccessful device - logon attempts

- - - - - - System Use Notification - - - - - - - AC-8 - ac-08 - -

The information system:

- - a. -

Displays to users before granting access to the - system that provides privacy and security notices consistent with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance and states that:

- - 1. -

Users are accessing a U.S. Government information system;

- - - 2. -

Information system usage may be monitored, recorded, and subject to audit;

- - - 3. -

Unauthorized use of the information system is prohibited and subject to - criminal and civil penalties; and

- - - 4. -

Use of the information system indicates consent to monitoring and - recording;

- - - - b. -

Retains the notification message or banner on the screen until users acknowledge - the usage conditions and take explicit actions to log on to or further access the - information system; and

- - - c. -

For publicly accessible systems:

- - 1. -

Displays system use information , before - granting further access;

- - - 2. -

Displays references, if any, to monitoring, recording, or auditing that are - consistent with privacy accommodations for such systems that generally prohibit - those activities; and

- - - 3. -

Includes a description of the authorized uses of the system.

- - - - -

System use notifications can be implemented using messages or warning banners - displayed before individuals log in to information systems. System use notifications - are used only for access via logon interfaces with human users and are not required - when such human interfaces do not exist. Organizations consider system use - notification messages/banners displayed in multiple languages based on specific - organizational needs and the demographics of information system users. Organizations - also consult with the Office of the General Counsel for legal review and approval of - warning banner content.

- - -

Determine if:

- - AC-8(a) - - AC-8(a)[1] -

the organization defines a system use notification message or banner to be - displayed by the information system to users before granting access to the - system;

- - - AC-8(a)[2] -

the information system displays to users the organization-defined system use - notification message or banner before granting access to the information system - that provides privacy and security notices consistent with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance, and states that:

- - AC-8(a)[2](1) -

users are accessing a U.S. Government information system;

- - - AC-8(a)[2](2) -

information system usage may be monitored, recorded, and subject to - audit;

- - - AC-8(a)[2](3) -

unauthorized use of the information system is prohibited and subject to - criminal and civil penalties;

- - - AC-8(a)[2](4) -

use of the information system indicates consent to monitoring and - recording;

- - - - - AC-8(b) -

the information system retains the notification message or banner on the screen - until users acknowledge the usage conditions and take explicit actions to log on - to or further access the information system;

- - - AC-8(c) -

for publicly accessible systems:

- - AC-8(c)(1) - - AC-8(c)(1)[1] -

the organization defines conditions for system use to be displayed by the - information system before granting further access;

- - - AC-8(c)(1)[2] -

the information system displays organization-defined conditions before - granting further access;

- - - - AC-8(c)(2) -

the information system displays references, if any, to monitoring, recording, - or auditing that are consistent with privacy accommodations for such systems - that generally prohibit those activities; and

- - - AC-8(c)(3) -

the information system includes a description of the authorized uses of the - system.

- - - - - EXAMINE - -

Access control policy

-

privacy and security policies, procedures addressing system use notification

-

documented approval of information system use notification messages or banners

-

information system audit records

-

user acknowledgements of notification message or banner

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system use notification messages

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for providing legal advice

-

system developers

- - - - TEST - -

Automated mechanisms implementing system use notification

- - - - - Previous Logon (access) Notification - AC-9 - ac-09 - -

The information system notifies the user, upon successful logon (access) to the - system, of the date and time of the last logon (access).

- - -

This control is applicable to logons to information systems via human user interfaces - and logons to systems that occur in other types of architectures (e.g., - service-oriented architectures).

- AC-7 - PL-4 - - -

Determine if the information system notifies the user, upon successful logon (access) - to the system, of the date and time of the last logon (access).

- - - EXAMINE - -

Access control policy

-

procedures addressing previous logon notification

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system notification messages

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for previous logon - notification

- - - - Unsuccessful Logons - AC-9(1) - ac-09.01 - -

The information system notifies the user, upon successful logon/access, of the - number of unsuccessful logon/access attempts since the last successful - logon/access.

- - -

Determine if the information system notifies the user, upon successful - logon/access, of the number of unsuccessful logon/access attempts since the last - successful logon/access.

- - - EXAMINE - -

Access control policy

-

procedures addressing previous logon notification

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for previous logon - notification

- - - - - Successful / Unsuccessful Logons - - - - - - - AC-9(2) - ac-09.02 - -

The information system notifies the user of the number of during .

- - -

Determine if:

- - AC-9(2)[1] -

the organization defines the time period within which the information system - must notify the user of the number of:

- - AC-9(2)[1][a] -

successful logons/accesses; and/or

- - - AC-9(2)[1][b] -

unsuccessful logon/access attempts;

- - - - AC-9(2)[2] -

the information system, during the organization-defined time period, notifies - the user of the number of:

- - AC-9(2)[2][a] -

successful logons/accesses; and/or

- - - AC-9(2)[2][b] -

unsuccessful logon/access attempts.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing previous logon notification

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for previous logon - notification

- - - - - Notification of Account Changes - - - - - - - AC-9(3) - ac-09.03 - -

The information system notifies the user of changes to during .

- - -

Determine if:

- - AC-9(3)[1] -

the organization defines security-related characteristics/parameters of a - user’s account;

- - - AC-9(3)[2] -

the organization defines the time period within which changes to - organization-defined security-related characteristics/parameters of a user’s - account must occur; and

- - - AC-9(3)[3] -

the information system notifies the user of changes to organization-defined - security-related characteristics/parameters of the user’s account during the - organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing previous logon notification

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for previous logon - notification

- - - - - Additional Logon Information - - - - AC-9(4) - ac-09.04 - -

The information system notifies the user, upon successful logon (access), of the - following additional information: .

- - -

This control enhancement permits organizations to specify additional information - to be provided to users upon logon including, for example, the location of last - logon. User location is defined as that information which can be determined by - information systems, for example, IP addresses from which network logons occurred, - device identifiers, or notifications of local logons.

- - -

Determine if:

- - AC-9(4)[1] -

the organization defines information to be included in addition to the date and - time of the last logon (access); and

- - - AC-9(4)[2] -

the information system notifies the user, upon successful logon (access), of - the organization-defined information to be included in addition to the date and - time of the last logon (access).

- - - - EXAMINE - -

Access control policy

-

procedures addressing previous logon notification

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for previous logon - notification

- - - - - - Concurrent Session Control - - - - - - - AC-10 - ac-10 - -

The information system limits the number of concurrent sessions for each to .

- - -

Organizations may define the maximum number of concurrent sessions for information - system accounts globally, by account type (e.g., privileged user, non-privileged - user, domain, specific application), by account, or a combination. For example, - organizations may limit the number of concurrent sessions for system administrators - or individuals working in particularly sensitive domains or mission-critical - applications. This control addresses concurrent sessions for information system - accounts and does not address concurrent sessions by single users via multiple system - accounts.

- - -

Determine if:

- - AC-10[1] -

the organization defines account and/or account types for the information - system;

- - - AC-10[2] -

the organization defines the number of concurrent sessions to be allowed for each - organization-defined account and/or account type; and

- - - AC-10[3] -

the information system limits the number of concurrent sessions for each - organization-defined account and/or account type to the organization-defined - number of concurrent sessions allowed.

- - - - EXAMINE - -

Access control policy

-

procedures addressing concurrent session control

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for concurrent session - control

- - - - - Session Lock - - - - AC-11 - ac-11 - OMB Memorandum 06-16 - -

The information system:

- - a. -

Prevents further access to the system by initiating a session lock after of inactivity or upon receiving a request from a user; - and

- - - b. -

Retains the session lock until the user reestablishes access using established - identification and authentication procedures.

- - - -

Session locks are temporary actions taken when users stop work and move away from the - immediate vicinity of information systems but do not want to log out because of the - temporary nature of their absences. Session locks are implemented where session - activities can be determined. This is typically at the operating system level, but - can also be at the application level. Session locks are not an acceptable substitute - for logging out of information systems, for example, if organizations require users - to log out at the end of workdays.

- AC-7 - - -

Determine if:

- - AC-11(a) - - AC-11(a)[1] -

the organization defines the time period of user inactivity after which the - information system initiates a session lock;

- - - AC-11(a)[2] -

the information system prevents further access to the system by initiating a - session lock after organization-defined time period of user inactivity or upon - receiving a request from a user; and

- - - - AC-11(b) -

the information system retains the session lock until the user reestablishes - access using established identification and authentication procedures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing session lock

-

procedures addressing identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access control policy for session lock

- - - - Pattern-hiding Displays - AC-11(1) - ac-11.01 - -

The information system conceals, via the session lock, information previously - visible on the display with a publicly viewable image.

- - -

Publicly viewable images can include static or dynamic images, for example, - patterns used with screen savers, photographic images, solid colors, clock, - battery life indicator, or a blank screen, with the additional caveat that none of - the images convey sensitive information.

- - -

Determine if the information system conceals, via the session lock, information - previously visible on the display with a publicly viewable image.

- - - EXAMINE - -

Access control policy

-

procedures addressing session lock

-

display screen with session lock activated

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system session lock mechanisms

- - - - - - Session Termination - - - - AC-12 - ac-12 - -

The information system automatically terminates a user session after .

- - -

This control addresses the termination of user-initiated logical sessions in contrast - to SC-10 which addresses the termination of network connections that are associated - with communications sessions (i.e., network disconnect). A logical session (for - local, network, and remote access) is initiated whenever a user (or process acting on - behalf of a user) accesses an organizational information system. Such user sessions - can be terminated (and thus terminate user access) without terminating network - sessions. Session termination terminates all processes associated with a user’s - logical session except those processes that are specifically created by the user - (i.e., session owner) to continue after the session is terminated. Conditions or - trigger events requiring automatic session termination can include, for example, - organization-defined periods of user inactivity, targeted responses to certain types - of incidents, time-of-day restrictions on information system use.

- SC-10 - SC-23 - - -

Determine if:

- - AC-12[1] -

the organization defines conditions or trigger events requiring session - disconnect; and

- - - AC-12[2] -

the information system automatically terminates a user session after - organization-defined conditions or trigger events requiring session disconnect - occurs.

- - - - EXAMINE - -

Access control policy

-

procedures addressing session termination

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of conditions or trigger events requiring session disconnect

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session termination

- - - - User-initiated Logouts / Message Displays - - - - AC-12(1) - ac-12.01 - -

The information system:

- - (a) -

Provides a logout capability for user-initiated communications sessions - whenever authentication is used to gain access to ; and

- - - (b) -

Displays an explicit logout message to users indicating the reliable - termination of authenticated communications sessions.

- - - -

Information resources to which users gain access via authentication include, for - example, local workstations, databases, and password-protected websites/web-based - services. Logout messages for web page access, for example, can be displayed after - authenticated sessions have been terminated. However, for some types of - interactive sessions including, for example, file transfer protocol (FTP) - sessions, information systems typically send logout messages as final messages - prior to terminating sessions.

- - -

Determine if:

- - AC-12(1)(a) - - AC-12(1)(a)[1] -

the organization defines information resources for which user authentication - is required to gain access to such resources;

- - - AC-12(1)(a)[2] -

the information system provides a logout capability for user-initiated - communications sessions whenever authentication is used to gain access to - organization-defined information resources; and

- - AC-12(1)(a) - - - AC-12(1)(b) -

the information system displays an explicit logout message to users indicating - the reliable termination of authenticated communications sessions.

- AC-12(1)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing session termination

-

user logout messages

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system session lock mechanisms

- - - - - - Supervision and Review - Access Control - AC-13 - ac-13 - Withdrawn - AC-2 - AU-6 - - - Permitted Actions Without Identification or Authentication - - - - AC-14 - ac-14 - -

The organization:

- - a. -

Identifies that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - b. -

Documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - -

This control addresses situations in which organizations determine that no - identification or authentication is required in organizational information systems. - Organizations may allow a limited number of user actions without identification or - authentication including, for example, when individuals access public websites or - other publicly accessible federal information systems, when individuals use mobile - phones to receive calls, or when facsimiles are received. Organizations also identify - actions that normally require identification or authentication but may under certain - circumstances (e.g., emergencies), allow identification or authentication mechanisms - to be bypassed. Such bypasses may occur, for example, via a software-readable - physical switch that commands bypass of the logon functionality and is protected from - accidental or unmonitored use. This control does not apply to situations where - identification and authentication have already occurred and are not repeated, but - rather to situations where identification and authentication have not yet occurred. - Organizations may decide that there are no user actions that can be performed on - organizational information systems without identification and authentication and - thus, the values for assignment statements can be none.

- CP-2 - IA-2 - - -

Determine if the organization:

- - AC-14(a) - - AC-14(a)[1] -

defines user actions that can be performed on the information system without - identification or authentication consistent with organizational - missions/business functions;

- - - AC-14(a)[2] -

identifies organization-defined user actions that can be performed on the - information system without identification or authentication consistent with - organizational missions/business functions; and

- - - - AC-14(b) -

documents and provides supporting rationale in the security plan for the - information system, user actions not requiring identification or - authentication.

- - - - EXAMINE - -

Access control policy

-

procedures addressing permitted actions without identification or - authentication

-

information system configuration settings and associated documentation

-

security plan

-

list of user actions that can be performed without identification or - authentication

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - Necessary Uses - AC-14(1) - ac-14.01 - Withdrawn - AC-14 - - - - Automated Marking - AC-15 - ac-15 - Withdrawn - MP-3 - - - Security Attributes - - - - - - - - - - - - - - - - AC-16 - ac-16 - -

The organization:

- - a. -

Provides the means to associate having with information in storage, in process, and/or in - transmission;

- - - b. -

Ensures that the security attribute associations are made and retained with the - information;

- - - c. -

Establishes the permitted for ; and

- - - d. -

Determines the permitted for each of the - established security attributes.

- - - -

Information is represented internally within information systems using abstractions - known as data structures. Internal data structures can represent different types of - entities, both active and passive. Active entities, also known as subjects, are - typically associated with individuals, devices, or processes acting on behalf of - individuals. Passive entities, also known as objects, are typically associated with - data structures such as records, buffers, tables, files, inter-process pipes, and - communications ports. Security attributes, a form of metadata, are abstractions - representing the basic properties or characteristics of active and passive entities - with respect to safeguarding information. These attributes may be associated with - active entities (i.e., subjects) that have the potential to send or receive - information, to cause information to flow among objects, or to change the information - system state. These attributes may also be associated with passive entities (i.e., - objects) that contain or receive information. The association of security attributes - to subjects and objects is referred to as binding and is typically inclusive of - setting the attribute value and the attribute type. Security attributes when bound to - data/information, enables the enforcement of information security policies for access - control and information flow control, either through organizational processes or - information system functions or mechanisms. The content or assigned values of - security attributes can directly affect the ability of individuals to access - organizational information. Organizations can define the types of attributes needed - for selected information systems to support missions/business functions. There is - potentially a wide range of values that can be assigned to any given security - attribute. Release markings could include, for example, US only, NATO, or NOFORN (not - releasable to foreign nationals). By specifying permitted attribute ranges and - values, organizations can ensure that the security attribute values are meaningful - and relevant. The term security labeling refers to the association of security - attributes with subjects and objects represented by internal data structures within - organizational information systems, to enable information system-based enforcement of - information security policies. Security labels include, for example, access - authorizations, data life cycle protection (i.e., encryption and data expiration), - nationality, affiliation as contractor, and classification of information in - accordance with legal and compliance requirements. The term security marking refers - to the association of security attributes with objects in a human-readable form, to - enable organizational process-based enforcement of information security policies. The - AC-16 base control represents the requirement for user-based attribute association - (marking). The enhancements to AC-16 represent additional requirements including - information system-based attribute association (labeling). Types of attributes - include, for example, classification level for objects and clearance (access - authorization) level for subjects. An example of a value for both of these attribute - types is Top Secret.

- AC-3 - AC-4 - AC-6 - AC-21 - AU-2 - AU-10 - SC-16 - MP-3 - - -

Determine if the organization:

- - AC-16(a) - - AC-16(a)[1] -

defines types of security attributes to be associated with information:

- - AC-16(a)[1][a] -

in storage;

- - - AC-16(a)[1][b] -

in process; and/or

- - - AC-16(a)[1][c] -

in transmission;

- - - - AC-16(a)[2] -

defines security attribute values for organization-defined types of security - attributes;

- - - AC-16(a)[3] -

provides the means to associate organization-defined types of security - attributes having organization-defined security attribute values with - information:

- - AC-16(a)[3][a] -

in storage;

- - - AC-16(a)[3][b] -

in process; and/or

- - - AC-16(a)[3][c] -

in transmission;

- - - - - AC-16(b) -

ensures that the security attribute associations are made and retained with the - information;

- - - AC-16(c) - - AC-16(c)[1] -

defines information systems for which the permitted organization-defined - security attributes are to be established;

- - - AC-16(c)[2] -

defines security attributes that are permitted for organization-defined - information systems;

- - - AC-16(c)[3] -

establishes the permitted organization-defined security attributes for - organization-defined information systems;

- - - - AC-16(d) - - AC-16(d)[1] -

defines values or ranges for each of the established security attributes; - and

- - - AC-16(d)[2] -

determines the permitted organization-defined values or ranges for each of the - established security attributes.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing the association of security attributes to information in - storage, in process, and in transmission

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Organizational capability supporting and maintaining the association of security - attributes to information in storage, in process, and in transmission

- - - - Dynamic Attribute Association - - - - - - - AC-16(1) - ac-16.01 - -

The information system dynamically associates security attributes with in accordance with as information is created and combined.

- - -

Dynamic association of security attributes is appropriate whenever the security - characteristics of information changes over time. Security attributes may change, - for example, due to information aggregation issues (i.e., the security - characteristics of individual information elements are different from the combined - elements), changes in individual access authorizations (i.e., privileges), and - changes in the security category of information.

- AC-4 - - -

Determine if:

- - AC-16(1)[1] -

the organization defines subjects and objects to which security attributes are - to be dynamically associated as information is created and combined;

- - - AC-16(1)[2] -

the organization defines security policies requiring the information system to - dynamically associate security attributes with organization-defined subjects - and objects; and

- - - AC-16(1)[3] -

the information system dynamically associates security attributes with - organization-defined subjects and objects in accordance with - organization-defined security policies as information is created and - combined.

- - - - EXAMINE - -

Access control policy

-

procedures addressing dynamic association of security attributes to - information

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing dynamic association of security attributes to - information

- - - - - Attribute Value Changes by Authorized Individuals - AC-16(2) - ac-16.02 - -

The information system provides authorized individuals (or processes acting on - behalf of individuals) the capability to define or change the value of associated - security attributes.

- - -

The content or assigned values of security attributes can directly affect the - ability of individuals to access organizational information. Therefore, it is - important for information systems to be able to limit the ability to create or - modify security attributes to authorized individuals.

- AC-6 - AU-2 - - -

Determine if the information system provides authorized individuals (or processes - acting on behalf on individuals) the capability to define or change the value of - associated security attributes.

- - - EXAMINE - -

Access control policy

-

procedures addressing the change of security attribute values

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of individuals authorized to change security attributes

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for changing values of security - attributes

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms permitting changes to values of security attributes

- - - - - Maintenance of Attribute Associations by Information System - - - - - - - AC-16(3) - ac-16.03 - -

The information system maintains the association and integrity of to .

- - -

Maintaining the association and integrity of security attributes to subjects and - objects with sufficient assurance helps to ensure that the attribute associations - can be used as the basis of automated policy actions. Automated policy actions - include, for example, access control decisions or information flow control - decisions.

- - -

Determine if:

- - AC-16(3)[1] -

the organization defines security attributes to be associated with - organization-defined subjects and objects;

- - - AC-16(3)[2] -

the organization defines subjects and objects requiring the association and - integrity of security attributes to such subjects and objects to be maintained; - and

- - - AC-16(3)[3] -

the information system maintains the association and integrity of - organization-defined security attributes to organization-defined subjects and - objects.

- - - - EXAMINE - -

Access control policy

-

procedures addressing the association of security attributes to information

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms maintaining association and integrity of security - attributes to information

- - - - - Association of Attributes by Authorized Individuals - - - - - - - AC-16(4) - ac-16.04 - -

The information system supports the association of with by - authorized individuals (or processes acting on behalf of individuals).

- - -

The support provided by information systems can vary to include: (i) prompting - users to select specific security attributes to be associated with specific - information objects; (ii) employing automated mechanisms for categorizing - information with appropriate attributes based on defined policies; or (iii) - ensuring that the combination of selected security attributes selected is valid. - Organizations consider the creation, deletion, or modification of security - attributes when defining auditable events.

- - -

Determine if:

- - AC-16(4)[1] -

the organization defines security attributes to be associated with subjects and - objects by authorized individuals (or processes acting on behalf of - individuals);

- - - AC-16(4)[2] -

the organization defines subjects and objects requiring the association of - organization-defined security attributes by authorized individuals (or - processes acting on behalf of individuals); and

- - - AC-16(4)[3] -

the information system supports the association of organization-defined - security attributes with organization-defined subjects and objects by - authorized individuals (or processes acting on behalf of individuals).

- - - - EXAMINE - -

Access control policy

-

procedures addressing the association of security attributes to information

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of users authorized to associate security attributes to information

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for associating security - attributes to information

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms supporting user associations of security attributes to - information

- - - - - Attribute Displays for Output Devices - - - - - - - AC-16(5) - ac-16.05 - -

The information system displays security attributes in human-readable form on each - object that the system transmits to output devices to identify using .

- - -

Information system outputs include, for example, pages, screens, or equivalent. - Information system output devices include, for example, printers and video - displays on computer workstations, notebook computers, and personal digital - assistants.

- - -

Determine if:

- - AC-16(5)[1] -

the organization identifies special dissemination, handling, or distribution - instructions to be used for each object that the information system transmits - to output devices;

- - - AC-16(5)[2] -

the organization identifies human-readable, standard naming conventions for the - security attributes to be displayed in human-readable form on each object that - the information system transmits to output devices; and

- - - AC-16(5)[3] -

the information system displays security attributes in human-readable form on - each object that the system transmits to output devices to identify - organization-identified special dissemination, handling, or distribution - instructions using organization-identified human readable, standard naming - conventions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing display of security attributes in human-readable form

-

special dissemination, handling, or distribution instructions

-

types of human-readable, standard naming conventions

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

System output devices displaying security attributes in human-readable form on - each object

- - - - - Maintenance of Attribute Association by Organization - - - - - - - - - - AC-16(6) - ac-16.06 - -

The organization allows personnel to associate, and maintain the association of - with in - accordance with .

- - -

This control enhancement requires individual users (as opposed to the information - system) to maintain associations of security attributes with subjects and - objects.

- - -

Determine if the organization:

- - AC-16(6)[1] -

defines security attributes to be associated with subjects and objects;

- - - AC-16(6)[2] -

defines subjects and objects to be associated with organization-defined - security attributes;

- - - AC-16(6)[3] -

defines security policies to allow personnel to associate, and maintain the - association of organization-defined security attributes with - organization-defined subjects and objects; and

- - - AC-16(6)[4] -

allows personnel to associate, and maintain the association of - organization-defined security attributes with organization-defined subjects and - objects in accordance with organization-defined security policies.

- - - - EXAMINE - -

Access control policy

-

procedures addressing association of security attributes with subjects and - objects

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for associating and maintaining - association of security attributes with subjects and objects

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms supporting associations of security attributes to subjects - and objects

- - - - - Consistent Attribute Interpretation - AC-16(7) - ac-16.07 - -

The organization provides a consistent interpretation of security attributes - transmitted between distributed information system components.

- - -

In order to enforce security policies across multiple components in distributed - information systems (e.g., distributed database management systems, cloud-based - systems, and service-oriented architectures), organizations provide a consistent - interpretation of security attributes that are used in access enforcement and flow - enforcement decisions. Organizations establish agreements and processes to ensure - that all distributed information system components implement security attributes - with consistent interpretations in automated access/flow enforcement actions.

- - -

Determine if the organization provides a consistent interpretation of security - attributes transmitted between distributed information system components.

- - - EXAMINE - -

Access control policy

-

procedures addressing consistent interpretation of security attributes - transmitted between distributed information system components

-

procedures addressing access enforcement

-

procedures addressing information flow enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for providing consistent - interpretation of security attributes used in access enforcement and - information flow enforcement actions

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access enforcement and information flow - enforcement functions

- - - - - Association Techniques / Technologies - - - - - - - AC-16(8) - ac-16.08 - -

The information system implements with in associating security attributes to - information.

- - -

The association (i.e., binding) of security attributes to information within - information systems is of significant importance with regard to conducting - automated access enforcement and flow enforcement actions. The association of such - security attributes can be accomplished with technologies/techniques providing - different levels of assurance. For example, information systems can - cryptographically bind security attributes to information using digital signatures - with the supporting cryptographic keys protected by hardware devices (sometimes - known as hardware roots of trust).

- - -

Determine if:

- - AC-16(8)[1] -

the organization defines techniques or technologies to be implemented in - associating security attributes to information;

- - - AC-16(8)[2] -

the organization defines level of assurance to be provided when the information - system implements organization-defined technologies or technologies to - associate security attributes to information; and

- - - AC-16(8)[3] -

the information system implements organization-defined techniques or - technologies with organization-defined level of assurance in associating - security attributes to information.

- - - - EXAMINE - -

Access control policy

-

procedures addressing association of security attributes to information

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for associating security - attributes to information

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing techniques or technologies associating - security attributes to information

- - - - - Attribute Reassignment - - - - AC-16(9) - ac-16.09 - -

The organization ensures that security attributes associated with information are - reassigned only via re-grading mechanisms validated using .

- - -

Validated re-grading mechanisms are employed by organizations to provide the - requisite levels of assurance for security attribute reassignment activities. The - validation is facilitated by ensuring that re-grading mechanisms are single - purpose and of limited function. Since security attribute reassignments can affect - security policy enforcement actions (e.g., access/flow enforcement decisions), - using trustworthy re-grading mechanisms is necessary to ensure that such - mechanisms perform in a consistent/correct mode of operation.

- - -

Determine if the organization:

- - AC-16(9)[1] -

defines techniques or procedures to validate re-grading mechanisms used to - reassign association of security attributes with information; and

- - - AC-16(9)[2] -

ensures that security attributes associated with information are reassigned - only via re-grading mechanisms validated using organization-defined techniques - or procedures.

- - - - EXAMINE - -

Access control policy

-

procedures addressing reassignment of security attributes to information

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reassigning association of - security attributes to information

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing techniques or procedures for reassigning - association of security attributes to information

- - - - - Attribute Configuration by Authorized Individuals - AC-16(10) - ac-16.10 - -

The information system provides authorized individuals the capability to define or - change the type and value of security attributes available for association with - subjects and objects.

- - -

The content or assigned values of security attributes can directly affect the - ability of individuals to access organizational information. Therefore, it is - important for information systems to be able to limit the ability to create or - modify security attributes to authorized individuals only.

- - -

Determine if the information system provides authorized individuals the capability - to define or change the type and value of security attributes available for - association with subjects and objects.

- - - EXAMINE - -

Access control policy

-

procedures addressing configuration of security attributes by authorized - individuals

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining or changing - security attributes associated with information

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing capability for defining or changing security - attributes

- - - - - - Remote Access - AC-17 - ac-17 - NIST Special Publication 800-46 - NIST Special Publication 800-77 - NIST Special Publication 800-113 - NIST Special Publication 800-114 - NIST Special Publication 800-121 - -

The organization:

- - a. -

Establishes and documents usage restrictions, configuration/connection - requirements, and implementation guidance for each type of remote access allowed; - and

- - - b. -

Authorizes remote access to the information system prior to allowing such - connections.

- - - -

Remote access is access to organizational information systems by users (or processes - acting on behalf of users) communicating through external networks (e.g., the - Internet). Remote access methods include, for example, dial-up, broadband, and - wireless. Organizations often employ encrypted virtual private networks (VPNs) to - enhance confidentiality and integrity over remote connections. The use of encrypted - VPNs does not make the access non-remote; however, the use of VPNs, when adequately - provisioned with appropriate security controls (e.g., employing appropriate - encryption techniques for confidentiality and integrity protection) may provide - sufficient assurance to the organization that it can effectively treat such - connections as internal networks. Still, VPN connections traverse external networks, - and the encrypted VPN does not enhance the availability of remote connections. Also, - VPNs with encrypted tunnels can affect the organizational capability to adequately - monitor network communications traffic for malicious code. Remote access controls - apply to information systems other than public web servers or systems designed for - public access. This control addresses authorization prior to allowing remote access - without specifying the formats for such authorization. While organizations may use - interconnection security agreements to authorize remote access connections, such - agreements are not required by this control. Enforcing access restrictions for remote - connections is addressed in AC-3.

- AC-2 - AC-3 - AC-18 - AC-19 - AC-20 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - MA-4 - PE-17 - PL-4 - SC-10 - SI-4 - - -

Determine if the organization:

- - AC-17(a) - - AC-17(a)[1] -

identifies the types of remote access allowed to the information system;

- - - AC-17(a)[2] -

establishes for each type of remote access allowed:

- - AC-17(a)[2][a] -

usage restrictions;

- - - AC-17(a)[2][b] -

configuration/connection requirements;

- - - AC-17(a)[2][c] -

implementation guidance;

- - - - AC-17(a)[3] -

documents for each type of remote access allowed:

- - AC-17(a)[3][a] -

usage restrictions;

- - - AC-17(a)[3][b] -

configuration/connection requirements;

- - - AC-17(a)[3][c] -

implementation guidance; and

- - - - - AC-17(b) -

authorizes remote access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system configuration settings and associated documentation

-

remote access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing remote access - connections

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Remote access management capability for the information system

- - - - Automated Monitoring / Control - AC-17(1) - ac-17.01 - -

The information system monitors and controls remote access methods.

- - -

Automated monitoring and control of remote access sessions allows organizations to - detect cyber attacks and also ensure ongoing compliance with remote access - policies by auditing connection activities of remote users on a variety of - information system components (e.g., servers, workstations, notebook computers, - smart phones, and tablets).

- AU-2 - AU-12 - - -

Determine if the information system monitors and controls remote access methods. -

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system monitoring records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms monitoring and controlling remote access methods

- - - - - Protection of Confidentiality / Integrity Using Encryption - AC-17(2) - ac-17.02 - -

The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of remote access sessions.

- - -

The encryption strength of mechanism is selected based on the security - categorization of the information.

- SC-8 - SC-12 - SC-13 - - -

Determine if the information system implements cryptographic mechanisms to protect - the confidentiality and integrity of remote access sessions.

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Cryptographic mechanisms protecting confidentiality and integrity of remote - access sessions

- - - - - Managed Access Control Points - - - - AC-17(3) - ac-17.03 - -

The information system routes all remote accesses through managed network access control points.

- - -

Limiting the number of access control points for remote accesses reduces the - attack surface for organizations. Organizations consider the Trusted Internet - Connections (TIC) initiative requirements for external network connections.

- SC-7 - - -

Determine if:

- - AC-17(3)[1] -

the organization defines the number of managed network access control points - through which all remote accesses are to be routed; and

- - - AC-17(3)[2] -

the information system routes all remote accesses through the - organization-defined number of managed network access control points.

- - - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system design documentation

-

list of all managed network access control points

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms routing all remote accesses through managed network access - control points

- - - - - Privileged Commands / Access - - - - AC-17(4) - ac-17.04 - -

The organization:

- - (a) -

Authorizes the execution of privileged commands and access to security-relevant - information via remote access only for ; - and

- - - (b) -

Documents the rationale for such access in the security plan for the - information system.

- - - - AC-6 - - -

Determine if the organization:

- - AC-17(4)(a) - - AC-17(4)(a)[1] -

defines needs to authorize the execution of privileged commands and access - to security-relevant information via remote access;

- - - AC-17(4)(a)[2] -

authorizes the execution of privileged commands and access to - security-relevant information via remote access only for - organization-defined needs; and

- - AC-17(4)(a) - - - AC-17(4)(b) -

documents the rationale for such access in the information system security - plan.

- AC-17(4)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

information system configuration settings and associated documentation

-

security plan

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing remote access management

- - - - - Monitoring for Unauthorized Connections - AC-17(5) - ac-17.05 - Withdrawn - SI-4 - - - Protection of Information - AC-17(6) - ac-17.06 - -

The organization ensures that users protect information about remote access - mechanisms from unauthorized use and disclosure.

- - - AT-2 - AT-3 - PS-6 - - -

Determine if the organization ensures that users protect information about remote - access mechanisms from unauthorized use and disclosure.

- - - EXAMINE - -

Access control policy

-

procedures addressing remote access to the information system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for implementing or monitoring - remote access to the information system

-

information system users with knowledge of information about remote access - mechanisms

-

organizational personnel with information security responsibilities

- - - - - Additional Protection for Security Function Access - AC-17(7) - ac-17.07 - Withdrawn - AC-3 (10) - - - Disable Nonsecure Network Protocols - AC-17(8) - ac-17.08 - Withdrawn - CM-7 - - - Disconnect / Disable Access - - - - AC-17(9) - ac-17.09 - -

The organization provides the capability to expeditiously disconnect or disable - remote access to the information system within .

- - -

This control enhancement requires organizations to have the capability to rapidly - disconnect current users remotely accessing the information system and/or disable - further remote access. The speed of disconnect or disablement varies based on the - criticality of missions/business functions and the need to eliminate immediate or - future remote access to organizational information systems.

- - -

Determine if the organization:

- - AC-17(9)[1] -

defines the time period within which to expeditiously disconnect or disable - remote access to the information system; and

- - - AC-17(9)[2] -

provides the capability to expeditiously disconnect or disable remote access to - the information system within the organization-defined time period.

- - - - EXAMINE - -

Access control policy

-

procedures addressing disconnecting or disabling remote access to the - information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan, information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing capability to disconnect or disable remote - access to information system

- - - - - - Wireless Access - AC-18 - ac-18 - NIST Special Publication 800-48 - NIST Special Publication 800-94 - NIST Special Publication 800-97 - -

The organization:

- - a. -

Establishes usage restrictions, configuration/connection requirements, and - implementation guidance for wireless access; and

- - - b. -

Authorizes wireless access to the information system prior to allowing such - connections.

- - - -

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), - 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., - EAP/TLS, PEAP), which provide credential protection and mutual authentication.

- AC-2 - AC-3 - AC-17 - AC-19 - CA-3 - CA-7 - CM-8 - IA-2 - IA-3 - IA-8 - PL-4 - SI-4 - - -

Determine if the organization:

- - AC-18(a) -

establishes for wireless access:

- - AC-18(a)[1] -

usage restrictions;

- - - AC-18(a)[2] -

configuration/connection requirement;

- - - AC-18(a)[3] -

implementation guidance; and

- - - - AC-18(b) -

authorizes wireless access to the information system prior to allowing such - connections.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless access implementation and usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

wireless access authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing wireless access - connections

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access management capability for the information system

- - - - Authentication and Encryption - - - - AC-18(1) - ac-18.01 - -

The information system protects wireless access to the system using authentication - of and encryption.

- - - SC-8 - SC-13 - - -

Determine if the information system protects wireless access to the system using - encryption and one or more of the following:

- - AC-18(1)[1] -

authentication of users; and/or

- - - AC-18(1)[2] -

authentication of devices.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing wireless access protections to the - information system

- - - - - Monitoring Unauthorized Connections - AC-18(2) - ac-18.02 - Withdrawn - SI-4 - - - Disable Wireless Networking - AC-18(3) - ac-18.03 - -

The organization disables, when not intended for use, wireless networking - capabilities internally embedded within information system components prior to - issuance and deployment.

- - - AC-19 - - -

Determine if the organization disables, when not intended for use, wireless - networking capabilities internally embedded within information system components - prior to issuance and deployment.

- - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms managing the disabling of wireless networking capabilities - internally embedded within information system components

- - - - - Restrict Configurations by Users - AC-18(4) - ac-18.04 - -

The organization identifies and explicitly authorizes users allowed to - independently configure wireless networking capabilities.

- - -

Organizational authorizations to allow selected users to configure wireless - networking capability are enforced in part, by the access enforcement mechanisms - employed within organizational information systems.

- AC-3 - SC-15 - - -

Determine if the organization:

- - AC-18(4)[1] -

identifies users allowed to independently configure wireless networking - capabilities; and

- - - AC-18(4)[2] -

explicitly authorizes the identified users allowed to independently configure - wireless networking capabilities.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms authorizing independent user configuration of wireless - networking capabilities

- - - - - Antennas / Transmission Power Levels - AC-18(5) - ac-18.05 - -

The organization selects radio antennas and calibrates transmission power levels - to reduce the probability that usable signals can be received outside of - organization-controlled boundaries.

- - -

Actions that may be taken by organizations to limit unauthorized use of wireless - communications outside of organization-controlled boundaries include, for example: - (i) reducing the power of wireless transmissions so that the transmissions are - less likely to emit a signal that can be used by adversaries outside of the - physical perimeters of organizations; (ii) employing measures such as TEMPEST to - control wireless emanations; and (iii) using directional/beam forming antennas - that reduce the likelihood that unintended receivers will be able to intercept - signals. Prior to taking such actions, organizations can conduct periodic wireless - surveys to understand the radio frequency profile of organizational information - systems as well as other systems that may be operating in the area.

- PE-19 - - -

Determine if the organization:

- - AC-18(5)[1] -

selects radio antennas to reduce the probability that usable signals can be - received outside of organization-controlled boundaries; and

- - - AC-18(5)[2] -

calibrates transmission power levels to reduce the probability that usable - signals can be received outside of organization-controlled boundaries.

- - - - EXAMINE - -

Access control policy

-

procedures addressing wireless implementation and usage (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Wireless access capability protecting usable signals from unauthorized access - outside organization-controlled boundaries

- - - - - - Access Control for Mobile Devices - AC-19 - ac-19 - OMB Memorandum 06-16 - NIST Special Publication 800-114 - NIST Special Publication 800-124 - NIST Special Publication 800-164 - -

The organization:

- - a. -

Establishes usage restrictions, configuration requirements, connection - requirements, and implementation guidance for organization-controlled mobile - devices; and

- - - b. -

Authorizes the connection of mobile devices to organizational information - systems.

- - - -

A mobile device is a computing device that: (i) has a small form factor such that it - can easily be carried by a single individual; (ii) is designed to operate without a - physical connection (e.g., wirelessly transmit or receive information); (iii) - possesses local, non-removable or removable data storage; and (iv) includes a - self-contained power source. Mobile devices may also include voice communication - capabilities, on-board sensors that allow the device to capture information, and/or - built-in features for synchronizing local data with remote locations. Examples - include smart phones, E-readers, and tablets. Mobile devices are typically associated - with a single individual and the device is usually in close proximity to the - individual; however, the degree of proximity can vary depending upon on the form - factor and size of the device. The processing, storage, and transmission capability - of the mobile device may be comparable to or merely a subset of desktop systems, - depending upon the nature and intended purpose of the device. Due to the large - variety of mobile devices with different technical characteristics and capabilities, - organizational restrictions may vary for the different classes/types of such devices. - Usage restrictions and specific implementation guidance for mobile devices include, - for example, configuration management, device identification and authentication, - implementation of mandatory protective software (e.g., malicious code detection, - firewall), scanning devices for malicious code, updating virus protection software, - scanning for critical software updates and patches, conducting primary operating - system (and possibly other resident software) integrity checks, and disabling - unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the - need to provide adequate security for mobile devices goes beyond the requirements in - this control. Many safeguards and countermeasures for mobile devices are reflected in - other security controls in the catalog allocated in the initial control baselines as - starting points for the development of security plans and overlays using the - tailoring process. There may also be some degree of overlap in the requirements - articulated by the security controls within the different families of controls. AC-20 - addresses mobile devices that are not organization-controlled.

- AC-3 - AC-7 - AC-18 - AC-20 - CA-9 - CM-2 - IA-2 - IA-3 - MP-2 - MP-4 - MP-5 - PL-4 - SC-7 - SC-43 - SI-3 - SI-4 - - -

Determine if the organization:

- - AC-19(a) -

establishes for organization-controlled mobile devices:

- - AC-19(a)[1] -

usage restrictions;

- - - AC-19(a)[2] -

configuration/connection requirement;

- - - AC-19(a)[3] -

implementation guidance; and

- - - - AC-19(b) -

authorizes the connection of mobile devices to organizational information - systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile device usage (including - restrictions)

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

authorizations for mobile device connections to organizational information - systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel using mobile devices to access organizational information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Access control capability authorizing mobile device connections to organizational - information systems

- - - - Use of Writable / Portable Storage Devices - AC-19(1) - ac-19.01 - Withdrawn - MP-7 - - - Use of Personally Owned Portable Storage Devices - AC-19(2) - ac-19.02 - Withdrawn - MP-7 - - - Use of Portable Storage Devices with No Identifiable Owner - AC-19(3) - ac-19.03 - Withdrawn - MP-7 - - - Restrictions for Classified Information - - - - - - - AC-19(4) - ac-19.04 - -

The organization:

- - (a) -

Prohibits the use of unclassified mobile devices in facilities containing - information systems processing, storing, or transmitting classified information - unless specifically permitted by the authorizing official; and

- - - (b) -

Enforces the following restrictions on individuals permitted by the authorizing - official to use unclassified mobile devices in facilities containing - information systems processing, storing, or transmitting classified - information:

- - (1) -

Connection of unclassified mobile devices to classified information systems - is prohibited;

- - - (2) -

Connection of unclassified mobile devices to unclassified information - systems requires approval from the authorizing official;

- - - (3) -

Use of internal or external modems or wireless interfaces within the - unclassified mobile devices is prohibited; and

- - - (4) -

Unclassified mobile devices and the information stored on those devices are - subject to random reviews and inspections by , and if classified information is found, the - incident handling policy is followed.

- - - - (c) -

Restricts the connection of classified mobile devices to classified information - systems in accordance with .

- - - - CA-6 - IR-4 - - -

Determine if the organization:

- - AC-19(4)(a) -

prohibits the use of unclassified mobile devices in facilities containing - information systems processing, storing, or transmitting classified information - unless specifically permitted by the authorizing official;

- AC-19(4)(a) - - - AC-19(4)(b) -

enforces the following restrictions on individuals permitted by the authorizing - official to use unclassified mobile devices in facilities containing - information systems processing, storing, or transmitting classified - information:

- - AC-19(4)(b)(1) -

connection of unclassified mobile devices to classified information systems - is prohibited;

- AC-19(4)(b)(1) - - - AC-19(4)(b)(2) -

connection of unclassified mobile devices to unclassified information - systems requires approval from the authorizing official;

- AC-19(4)(b)(2) - - - AC-19(4)(b)(3) -

use of internal or external modems or wireless interfaces within the - unclassified mobile devices is prohibited;

- AC-19(4)(b)(3) - - - AC-19(4)(b)(4) - - AC-19(4)(b)(4)[1] -

defines security officials responsible for reviews and inspections of - unclassified mobile devices and the information stored on those - devices;

- - - AC-19(4)(b)(4)[2] -

unclassified mobile devices and the information stored on those devices - are subject to random reviews/inspections by organization-defined - security officials;

- - - AC-19(4)(b)(4)[3] -

the incident handling policy is followed if classified information is - found;

- - AC-19(4)(b)(4) - - AC-19(4)(b) - - - AC-19(4)(c) - - AC-19(4)(c)[1] -

defines security policies to restrict the connection of classified mobile - devices to classified information systems; and

- - - AC-19(4)(c)[2] -

restricts the connection of classified mobile devices to classified - information systems in accordance with organization-defined security - policies.

- - AC-19(4)(c) - - - - EXAMINE - -

Access control policy

-

incident handling policy

-

procedures addressing access control for mobile devices

-

information system design documentation

-

information system configuration settings and associated documentation

-

evidentiary documentation for random inspections and reviews of mobile - devices

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel responsible for random reviews/inspections of mobile - devices

-

organizational personnel using mobile devices in facilities containing - information systems processing, storing, or transmitting classified - information

-

organizational personnel with incident response responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms prohibiting the use of internal or external modems or - wireless interfaces with mobile devices

- - - - - Full Device / Container-based Encryption - - - - - - - AC-19(5) - ac-19.05 - -

The organization employs to protect the - confidentiality and integrity of information on .

- - -

Container-based encryption provides a more fine-grained approach to the encryption - of data/information on mobile devices, including for example, encrypting selected - data structures such as files, records, or fields.

- MP-5 - SC-13 - SC-28 - - -

Determine if the organization:

- - AC-19(5)[1] -

defines mobile devices for which full-device encryption or container encryption - is required to protect the confidentiality and integrity of information on such - devices; and

- - - AC-19(5)[2] -

employs full-device encryption or container encryption to protect the - confidentiality and integrity of information on organization-defined mobile - devices.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control for mobile devices

-

information system design documentation

-

information system configuration settings and associated documentation

-

encryption mechanism s and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities for mobile - devices

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Encryption mechanisms protecting confidentiality and integrity of information - on mobile devices

- - - - - - Use of External Information Systems - AC-20 - ac-20 - FIPS Publication 199 - -

The organization establishes terms and conditions, consistent with any trust - relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - a. -

Access the information system from external information systems; and

- - - b. -

Process, store, or transmit organization-controlled information using external - information systems.

- - - -

External information systems are information systems or components of information - systems that are outside of the authorization boundary established by organizations - and for which organizations typically have no direct supervision and authority over - the application of required security controls or the assessment of control - effectiveness. External information systems include, for example: (i) personally - owned information systems/devices (e.g., notebook computers, smart phones, tablets, - personal digital assistants); (ii) privately owned computing and communications - devices resident in commercial or public facilities (e.g., hotels, train stations, - convention centers, shopping malls, or airports); (iii) information systems owned or - controlled by nonfederal governmental organizations; and (iv) federal information - systems that are not owned by, operated by, or under the direct supervision and - authority of organizations. This control also addresses the use of external - information systems for the processing, storage, or transmission of organizational - information, including, for example, accessing cloud services (e.g., infrastructure - as a service, platform as a service, or software as a service) from organizational - information systems. For some external information systems (i.e., information systems - operated by other federal agencies, including organizations subordinate to those - agencies), the trust relationships that have been established between those - organizations and the originating organization may be such, that no explicit terms - and conditions are required. Information systems within these organizations would not - be considered external. These situations occur when, for example, there are - pre-existing sharing/trust agreements (either implicit or explicit) established - between federal agencies or organizations subordinate to those agencies, or when such - trust agreements are specified by applicable laws, Executive Orders, directives, or - policies. Authorized individuals include, for example, organizational personnel, - contractors, or other individuals with authorized access to organizational - information systems and over which organizations have the authority to impose rules - of behavior with regard to system access. Restrictions that organizations impose on - authorized individuals need not be uniform, as those restrictions may vary depending - upon the trust relationships between organizations. Therefore, organizations may - choose to impose different security restrictions on contractors than on state, local, - or tribal governments. This control does not apply to the use of external information - systems to access public interfaces to organizational information systems (e.g., - individuals accessing federal information through www.usa.gov). Organizations - establish terms and conditions for the use of external information systems in - accordance with organizational security policies and procedures. Terms and conditions - address as a minimum: types of applications that can be accessed on organizational - information systems from external information systems; and the highest security - category of information that can be processed, stored, or transmitted on external - information systems. If terms and conditions with the owners of external information - systems cannot be established, organizations may impose restrictions on - organizational personnel using those external systems.

- AC-3 - AC-17 - AC-19 - CA-3 - PL-4 - SA-9 - - -

Determine if the organization establishes terms and conditions, consistent with any - trust relationships established with other organizations owning, operating, and/or - maintaining external information systems, allowing authorized individuals to:

- - AC-20(a) -

access the information system from the external information systems; and

- - - AC-20(b) -

process, store, or transmit organization-controlled information using external - information systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

external information systems terms and conditions

-

list of types of applications accessible from external information systems

-

maximum security categorization for information processed, stored, or transmitted - on external information systems

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for defining terms and conditions - for use of external information systems to access organizational systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing terms and conditions on use of external - information systems

- - - - Limits On Authorized Use - AC-20(1) - ac-20.01 - -

The organization permits authorized individuals to use an external information - system to access the information system or to process, store, or transmit - organization-controlled information only when the organization:

- - (a) -

Verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or

- - - (b) -

Retains approved information system connection or processing agreements with - the organizational entity hosting the external information system.

- - - -

This control enhancement recognizes that there are circumstances where individuals - using external information systems (e.g., contractors, coalition partners) need to - access organizational information systems. In those situations, organizations need - confidence that the external information systems contain the necessary security - safeguards (i.e., security controls), so as not to compromise, damage, or - otherwise harm organizational information systems. Verification that the required - security controls have been implemented can be achieved, for example, by - third-party, independent assessments, attestations, or other means, depending on - the confidence level required by organizations.

- CA-2 - - -

Determine if the organization permits authorized individuals to use an external - information system to access the information system or to process, store, or - transmit organization-controlled information only when the organization:

- - AC-20(1)(a) -

verifies the implementation of required security controls on the external - system as specified in the organization’s information security policy and - security plan; or

- AC-20(1)(a) - - - AC-20(1)(b) -

retains approved information system connection or processing agreements with - the organizational entity hosting the external information system.

- AC-20(1)(b) - - - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system connection or processing agreements

-

account management documents

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing limits on use of external information - systems

- - - - - Portable Storage Devices - - - - AC-20(2) - ac-20.02 - -

The organization the use of - organization-controlled portable storage devices by authorized individuals on - external information systems.

- - -

Limits on the use of organization-controlled portable storage devices in external - information systems include, for example, complete prohibition of the use of such - devices or restrictions on how the devices may be used and under what conditions - the devices may be used.

- - -

Determine if the organization restricts or prohibits the use of - organization-controlled portable storage devices by authorized individuals on - external information systems.

- - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system configuration settings and associated documentation

-

information system connection or processing agreements

-

account management documents

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for restricting or prohibiting - use of organization-controlled storage devices on external information - systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on use of portable storage - devices

- - - - - Non-organizationally Owned Systems / Components / Devices - - - - AC-20(3) - ac-20.03 - -

The organization the use of - non-organizationally owned information systems, system components, or devices to - process, store, or transmit organizational information.

- - -

Non-organizationally owned devices include devices owned by other organizations - (e.g., federal/state agencies, contractors) and personally owned devices. There - are risks to using non-organizationally owned devices. In some cases, the risk is - sufficiently high as to prohibit such use. In other cases, it may be such that the - use of non-organizationally owned devices is allowed but restricted in some way. - Restrictions include, for example: (i) requiring the implementation of - organization-approved security controls prior to authorizing such connections; - (ii) limiting access to certain types of information, services, or applications; - (iii) using virtualization techniques to limit processing and storage activities - to servers or other system components provisioned by the organization; and (iv) - agreeing to terms and conditions for usage. For personally owned devices, - organizations consult with the Office of the General Counsel regarding legal - issues associated with using such devices in operational environments, including, - for example, requirements for conducting forensic analyses during investigations - after an incident.

- - -

Determine if the organization restricts or prohibits the use of - non-organizationally owned information systems, system components, or devices to - process, store, or transmit organizational information.

- - - EXAMINE - -

Access control policy

-

procedures addressing the use of external information systems

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system connection or processing agreements

-

account management documents

-

information system audit records, other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for restricting or prohibiting - use of non-organizationally owned information systems, system components, or - devices

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on the use of - non-organizationally owned systems/components/devices

- - - - - Network Accessible Storage Devices - - - - AC-20(4) - ac-20.04 - -

The organization prohibits the use of in - external information systems.

- - -

Network accessible storage devices in external information systems include, for - example, online storage devices in public, hybrid, or community cloud-based - systems.

- - -

Determine if the organization:

- - AC-20(4)[1] -

defines network accessible storage devices to be prohibited from use in - external information systems; and

- - - AC-20(4)[2] -

prohibits the use of organization-defined network accessible storage devices in - external information systems.

- - - - EXAMINE - -

Access control policy

-

procedures addressing use of network accessible storage devices in external - information systems

-

security plan, information system design documentation

-

information system configuration settings and associated documentation

-

information system connection or processing agreements

-

list of network accessible storage devices prohibited from use in external - information systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for prohibiting use of network - accessible storage devices in external information systems

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms prohibiting the use of network accessible storage devices - in external information systems

- - - - - - Information Sharing - - - - - - - AC-21 - ac-21 - -

The organization:

- - a. -

Facilitates information sharing by enabling authorized users to determine whether - access authorizations assigned to the sharing partner match the access - restrictions on the information for ; and

- - - b. -

Employs to assist users in making information - sharing/collaboration decisions.

- - - -

This control applies to information that may be restricted in some manner (e.g., - privileged medical information, contract-sensitive information, proprietary - information, personally identifiable information, classified information related to - special access programs or compartments) based on some formal or administrative - determination. Depending on the particular information-sharing circumstances, sharing - partners may be defined at the individual, group, or organizational level. - Information may be defined by content, type, security category, or special access - program/compartment.

- AC-3 - - -

Determine if the organization:

- - AC-21(a) - - AC-21(a)[1] -

defines information sharing circumstances where user discretion is - required;

- - - AC-21(a)[2] -

facilitates information sharing by enabling authorized users to determine - whether access authorizations assigned to the sharing partner match the access - restrictions on the information for organization-defined information sharing - circumstances;

- - - - AC-21(b) - - AC-21(b)[1] -

defines automated mechanisms or manual processes to be employed to assist users - in making information sharing/collaboration decisions; and

- - - AC-21(b)[2] -

employs organization-defined automated mechanisms or manual processes to assist - users in making information sharing/collaboration decisions.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing user-based collaboration and information sharing (including - restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of users authorized to make information sharing/collaboration decisions

-

list of information sharing circumstances requiring user discretion

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel responsible for making information sharing/collaboration - decisions

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms or manual process implementing access authorizations - supporting information sharing/user collaboration decisions

- - - - Automated Decision Support - AC-21(1) - ac-21.01 - -

The information system enforces information-sharing decisions by authorized users - based on access authorizations of sharing partners and access restrictions on - information to be shared.

- - -

Determine if the information system enforces information-sharing decisions by - authorized users based on:

- - AC-21(1)[1] -

access authorizations of sharing partners; and

- - - AC-21(1)[2] -

access restrictions on information to be shared.

- - - - EXAMINE - -

Access control policy

-

procedures addressing user-based collaboration and information sharing - (including restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of users authorized to make information - sharing/collaboration decisions

-

system-generated list of sharing partners and access authorizations

-

system-generated list of access restrictions regarding information to be - shared

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access authorizations supporting information - sharing/user collaboration decisions

- - - - - Information Search and Retrieval - - - - AC-21(2) - ac-21.02 - -

The information system implements information search and retrieval services that - enforce .

- - -

Determine if:

- - AC-21(2)[1] -

the organization defines information sharing restrictions to be enforced - through information search and retrieval services; and

- - - AC-21(2)[2] -

the information system implements information search and retrieval services - that enforce organization-defined information sharing restrictions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing user-based collaboration and information sharing - (including restrictions)

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of access restrictions regarding information to be - shared

-

information search and retrieval records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities for - information system search and retrieval services

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system search and retrieval services enforcing information sharing - restrictions

- - - - - - Publicly Accessible Content - - - - AC-22 - ac-22 - -

The organization:

- - a. -

Designates individuals authorized to post information onto a publicly accessible - information system;

- - - b. -

Trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - c. -

Reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included; and

- - - d. -

Reviews the content on the publicly accessible information system for nonpublic - information and removes such information, if - discovered.

- - - -

In accordance with federal laws, Executive Orders, directives, policies, regulations, - standards, and/or guidance, the general public is not authorized access to nonpublic - information (e.g., information protected under the Privacy Act and proprietary - information). This control addresses information systems that are controlled by the - organization and accessible to the general public, typically without identification - or authentication. The posting of information on non-organization information systems - is covered by organizational policy.

- AC-3 - AC-4 - AT-2 - AT-3 - AU-13 - - -

Determine if the organization:

- - AC-22(a) -

designates individuals authorized to post information onto a publicly accessible - information system;

- - - AC-22(b) -

trains authorized individuals to ensure that publicly accessible information does - not contain nonpublic information;

- - - AC-22(c) -

reviews the proposed content of information prior to posting onto the publicly - accessible information system to ensure that nonpublic information is not - included;

- - - AC-22(d) - - AC-22(d)[1] -

defines the frequency to review the content on the publicly accessible - information system for nonpublic information;

- - - AC-22(d)[2] -

reviews the content on the publicly accessible information system for nonpublic - information with the organization-defined frequency; and

- - - AC-22(d)[3] -

removes nonpublic information from the publicly accessible information system, - if discovered.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing publicly accessible content

-

list of users authorized to post publicly accessible content on organizational - information systems

-

training materials and/or records

-

records of publicly accessible information reviews

-

records of response to nonpublic information on public websites

-

system audit logs

-

security awareness training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing publicly accessible - information posted on organizational information systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing management of publicly accessible content

- - - - - Data Mining Protection - - - - - - - AC-23 - ac-23 - -

The organization employs for to adequately detect and protect against data mining.

- - -

Data storage objects include, for example, databases, database records, and database - fields. Data mining prevention and detection techniques include, for example: (i) - limiting the types of responses provided to database queries; (ii) limiting the - number/frequency of database queries to increase the work factor needed to determine - the contents of such databases; and (iii) notifying organizational personnel when - atypical database queries or accesses occur. This control focuses on the protection - of organizational information from data mining while such information resides in - organizational data stores. In contrast, AU-13 focuses on monitoring for - organizational information that may have been mined or otherwise obtained from data - stores and is now available as open source information residing on external sites, - for example, through social networking or social media websites.

- - -

Determine if the organization:

- - AC-23[1] -

defines data mining prevention and detection techniques to be employed for - organization-defined storage objects to adequately detect and protect against data - mining;

- - - AC-23[2] -

defines data storage objects to be protected from data mining; and

- - - AC-23[3] -

employs organization-defined data mining prevention and detection techniques for - organization-defined data storage objects to adequately detect and protect against - data mining.

- - - - EXAMINE - -

Access control policy

-

procedures addressing data mining techniques

-

procedures addressing protection of data storage objects against data mining

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit logs

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for implementing data mining - detection and prevention techniques for data storage objects

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing data mining prevention and detection

- - - - - Access Control Decisions - - - - AC-24 - ac-24 - -

The organization establishes procedures to ensure - are applied to each access request prior to access enforcement.

- - -

Access control decisions (also known as authorization decisions) occur when - authorization information is applied to specific accesses. In contrast, access - enforcement occurs when information systems enforce access control decisions. While - it is very common to have access control decisions and access enforcement implemented - by the same entity, it is not required and it is not always an optimal implementation - choice. For some architectures and distributed information systems, different - entities may perform access control decisions and access enforcement.

- - -

Determine if the organization:

- - AC-24[1] -

defines access control decisions to be applied to each access request prior to - access control enforcement; and

- - - AC-24[2] -

establishes procedures to ensure organization-defined access control decisions are - applied to each access request prior to access control enforcement.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access control decisions

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for establishing procedures - regarding access control decisions to the information system

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms applying established access control decisions and - procedures

- - - - Transmit Access Authorization Information - - - - - - - - - - AC-24(1) - ac-24.01 - -

The information system transmits using to that enforce - access control decisions.

- - -

In distributed information systems, authorization processes and access control - decisions may occur in separate parts of the systems. In such instances, - authorization information is transmitted securely so timely access control - decisions can be enforced at the appropriate locations. To support the access - control decisions, it may be necessary to transmit as part of the access - authorization information, supporting security attributes. This is due to the fact - that in distributed information systems, there are various access control - decisions that need to be made and different entities (e.g., services) make these - decisions in a serial fashion, each requiring some security attributes to make the - decisions. Protecting access authorization information (i.e., access control - decisions) ensures that such information cannot be altered, spoofed, or otherwise - compromised during transmission.

- - -

Determine if:

- - AC-24(1)[1] -

the organization defines access authorization information that the information - system transmits to organization-defined information systems that enforce - access control decisions;

- - - AC-24(1)[2] -

the organization defines security safeguards to be used when the information - system transmits organization-defined authorization information to - organization-defined information systems that enforce access control - decisions;

- - - AC-24(1)[3] -

the organization defines the information systems that enforce access control - decisions; and

- - - AC-24(1)[4] -

the information system transmits organization-defined access authorization - information using organization-defined security safeguards to - organization-defined information systems that enforce access control - decisions.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access enforcement functions

- - - - - No User or Process Identity - - - - AC-24(2) - ac-24.02 - -

The information system enforces access control decisions based on that do not include the identity of the user or - process acting on behalf of the user.

- - -

In certain situations, it is important that access control decisions can be made - without information regarding the identity of the users issuing the requests. - These are generally instances where preserving individual privacy is of paramount - importance. In other situations, user identification information is simply not - needed for access control decisions and, especially in the case of distributed - information systems, transmitting such information with the needed degree of - assurance may be very expensive or difficult to accomplish.

- - -

Determine if:

- - AC-24(2)[1] -

the organization defines security attributes that support access control - decisions that do not include the identity of the user or processes acting on - behalf of the user; and

- - - AC-24(2)[2] -

the information system enforces access control decisions based on - organization-defined security attributes that do not include the identity of - the user or process acting on behalf of the user.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access enforcement functions

- - - - - - Reference Monitor - - - - AC-25 - ac-25 - -

The information system implements a reference monitor for that is tamperproof, always invoked, and small enough to - be subject to analysis and testing, the completeness of which can be assured.

- - -

Information is represented internally within information systems using abstractions - known as data structures. Internal data structures can represent different types of - entities, both active and passive. Active entities, also known as subjects, are - typically associated with individuals, devices, or processes acting on behalf of - individuals. Passive entities, also known as objects, are typically associated with - data structures such as records, buffers, tables, files, inter-process pipes, and - communications ports. Reference monitors typically enforce mandatory access control - policies—a type of access control that restricts access to objects based on the - identity of subjects or groups to which the subjects belong. The access controls are - mandatory because subjects with certain privileges (i.e., access permissions) are - restricted from passing those privileges on to any other subjects, either directly or - indirectly—that is, the information system strictly enforces the access control - policy based on the rule set established by the policy. The tamperproof property of - the reference monitor prevents adversaries from compromising the functioning of the - mechanism. The always invoked property prevents adversaries from bypassing the - mechanism and hence violating the security policy. The smallness property helps to - ensure the completeness in the analysis and testing of the mechanism to detect - weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of - the security policy.

- AC-3 - AC-16 - SC-3 - SC-39 - - -

Determine if:

- - AC-25[1] -

the organization defines access control policies for which the information system - implements a reference monitor to enforce such policies; and

- - - AC-25[2] -

the information system implements a reference monitor for organization-defined - access control policies that is tamperproof, always invoked, and small enough to - be subject to analysis and testing, the completeness of which can be assured.

- - - - EXAMINE - -

Access control policy

-

procedures addressing access enforcement

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access enforcement responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms implementing access enforcement functions

- - - - - - Awareness and Training - - Security Awareness and Training Policy and Procedures - - - - - - - - - - AT-1 - at-01 - NIST Special Publication 800-12 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security awareness and training policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security awareness and - training policy and associated security awareness and training controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security awareness and training policy ; and

- - - 2. -

Security awareness and training procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AT - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AT-1(a) - - AT-1(a)(1) - - AT-1(a)(1)[1] -

develops and documents an security awareness and training policy that - addresses:

- - AT-1(a)(1)[1][a] -

purpose;

- - - AT-1(a)(1)[1][b] -

scope;

- - - AT-1(a)(1)[1][c] -

roles;

- - - AT-1(a)(1)[1][d] -

responsibilities;

- - - AT-1(a)(1)[1][e] -

management commitment;

- - - AT-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AT-1(a)(1)[1][g] -

compliance;

- - - - AT-1(a)(1)[2] -

defines personnel or roles to whom the security awareness and training - policy are to be disseminated;

- - - AT-1(a)(1)[3] -

disseminates the security awareness and training policy to - organization-defined personnel or roles;

- - - - AT-1(a)(2) - - AT-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security awareness and training policy and associated awareness and training - controls;

- - - AT-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - AT-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AT-1(b) - - AT-1(b)(1) - - AT-1(b)(1)[1] -

defines the frequency to review and update the current security awareness - and training policy;

- - - AT-1(b)(1)[2] -

reviews and updates the current security awareness and training policy with - the organization-defined frequency;

- - - - AT-1(b)(2) - - AT-1(b)(2)[1] -

defines the frequency to review and update the current security awareness - and training procedures; and

- - - AT-1(b)(2)[2] -

reviews and updates the current security awareness and training procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Security awareness and training policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security awareness and training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Awareness Training - - - - AT-2 - at-02 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - Executive Order 13587 - NIST Special Publication 800-50 - -

The organization provides basic security awareness training to information system - users (including managers, senior executives, and contractors):

- - a. -

As part of initial training for new users;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security awareness training and - security awareness techniques based on the specific organizational requirements and - the information systems to which personnel have authorized access. The content - includes a basic understanding of the need for information security and user actions - to maintain security and to respond to suspected security incidents. The content also - addresses awareness of the need for operations security. Security awareness - techniques can include, for example, displaying posters, offering supplies inscribed - with security reminders, generating email advisories/notices from senior - organizational officials, displaying logon screen messages, and conducting - information security awareness events.

- AT-3 - AT-4 - PL-4 - - -

Determine if the organization:

- - AT-2(a) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) as part of initial training for new - users;

- - - AT-2(b) -

provides basic security awareness training to information system users (including - managers, senior executives, and contractors) when required by information system - changes; and

- - - AT-2(c) - - AT-2(c)[1] -

defines the frequency to provide refresher security awareness training - thereafter to information system users (including managers, senior executives, - and contractors); and

- - - AT-2(c)[2] -

provides refresher security awareness training to information users (including - managers, senior executives, and contractors) with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

appropriate codes of federal regulations

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for security awareness training

-

organizational personnel with information security responsibilities

-

organizational personnel comprising the general information system user - community

- - - - TEST - -

Automated mechanisms managing security awareness training

- - - - Practical Exercises - AT-2(1) - at-02.01 - -

The organization includes practical exercises in security awareness training that - simulate actual cyber attacks.

- - -

Practical exercises may include, for example, no-notice social engineering - attempts to collect information, gain unauthorized access, or simulate the adverse - impact of opening malicious email attachments or invoking, via spear phishing - attacks, malicious web links.

- CA-2 - CA-7 - CP-4 - IR-3 - - -

Determine if the organization includes practical exercises in security awareness - training that simulate actual cyber attacks.

- - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel that participate in security awareness training

-

organizational personnel with responsibilities for security awareness - training

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing cyber attack simulations in practical - exercises

- - - - - Insider Threat - AT-2(2) - at-02.02 - -

The organization includes security awareness training on recognizing and reporting - potential indicators of insider threat.

- - -

Potential indicators and possible precursors of insider threat can include - behaviors such as inordinate, long-term job dissatisfaction, attempts to gain - access to information not required for job performance, unexplained access to - financial resources, bullying or sexual harassment of fellow employees, workplace - violence, and other serious violations of organizational policies, procedures, - directives, rules, or practices. Security awareness training includes how to - communicate employee and management concerns regarding potential indicators of - insider threat through appropriate organizational channels in accordance with - established organizational policies and procedures.

- PL-4 - PM-12 - PS-3 - PS-6 - - -

Determine if the organization includes security awareness training on recognizing - and reporting potential indicators of insider threat.

- - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel that participate in security awareness training

-

organizational personnel with responsibilities for basic security awareness - training

-

organizational personnel with information security responsibilities

- - - - - - Role-based Security Training - - - - AT-3 - at-03 - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides role-based security training to personnel with assigned - security roles and responsibilities:

- - a. -

Before authorizing access to the information system or performing assigned - duties;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Organizations determine the appropriate content of security training based on the - assigned roles and responsibilities of individuals and the specific security - requirements of organizations and the information systems to which personnel have - authorized access. In addition, organizations provide enterprise architects, - information system developers, software developers, acquisition/procurement - officials, information system managers, system/network administrators, personnel - conducting configuration management and auditing activities, personnel performing - independent verification and validation activities, security control assessors, and - other personnel having access to system-level software, adequate security-related - technical training specifically tailored for their assigned duties. Comprehensive - role-based training addresses management, operational, and technical roles and - responsibilities covering physical, personnel, and technical safeguards and - countermeasures. Such training can include for example, policies, procedures, tools, - and artifacts for the organizational security roles defined. Organizations also - provide the training necessary for individuals to carry out their responsibilities - related to operations and supply chain security within the context of organizational - information security programs. Role-based security training also applies to - contractors providing services to federal agencies.

- AT-2 - AT-4 - PL-4 - PS-7 - SA-3 - SA-12 - SA-16 - - -

Determine if the organization:

- - AT-3(a) -

provides role-based security training to personnel with assigned security roles - and responsibilities before authorizing access to the information system or - performing assigned duties;

- - - AT-3(b) -

provides role-based security training to personnel with assigned security roles - and responsibilities when required by information system changes; and

- - - AT-3(c) - - AT-3(c)[1] -

defines the frequency to provide refresher role-based security training - thereafter to personnel with assigned security roles and responsibilities; - and

- - - AT-3(c)[2] -

provides refresher role-based security training to personnel with assigned - security roles and responsibilities with the organization-defined - frequency.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

codes of federal regulations

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with assigned information system security roles and - responsibilities

- - - - TEST - -

Automated mechanisms managing role-based security training

- - - - Environmental Controls - - - - - - - AT-3(1) - at-03.01 - -

The organization provides with initial and - training in the employment and operation of - environmental controls.

- - -

Environmental controls include, for example, fire suppression and detection - devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, - smoke detectors, temperature/humidity, HVAC, and power within the facility. - Organizations identify personnel with specific roles and responsibilities - associated with environmental controls requiring specialized training.

- PE-1 - PE-13 - PE-14 - PE-15 - - -

Determine if the organization:

- - AT-3(1)[1] -

defines personnel or roles to be provided with initial and refresher training - in the employment and operation of environmental controls;

- - - AT-3(1)[2] -

provides organization-defined personnel or roles with initial and refresher - training in the employment and operation of environmental controls;

- - - AT-3(1)[3] -

defines the frequency to provide refresher training in the employment and - operation of environmental controls; and

- - - AT-3(1)[4] -

provides refresher training in the employment and operation of environmental - controls with the organization-defined frequency.

- - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with responsibilities for employing and operating - environmental controls

- - - - - Physical Security Controls - - - - - - - AT-3(2) - at-03.02 - -

The organization provides with initial and - training in the employment and operation of - physical security controls.

- - -

Physical security controls include, for example, physical access control devices, - physical intrusion alarms, monitoring/surveillance equipment, and security guards - (deployment and operating procedures). Organizations identify personnel with - specific roles and responsibilities associated with physical security controls - requiring specialized training.

- PE-2 - PE-3 - PE-4 - PE-5 - - -

Determine if the organization:

- - AT-3(2)[1] -

defines personnel or roles to be provided with initial and refresher training - in the employment and operation of physical security controls;

- - - AT-3(2)[2] -

provides organization-defined personnel or roles with initial and refresher - training in the employment and operation of physical security controls;

- - - AT-3(2)[3] -

defines the frequency to provide refresher training in the employment and - operation of physical security controls; and

- - - AT-3(2)[4] -

provides refresher training in the employment and operation of physical - security controls with the organization-defined frequency.

- - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel with responsibilities for employing and operating - physical security controls

- - - - - Practical Exercises - AT-3(3) - at-03.03 - -

The organization includes practical exercises in security training that reinforce - training objectives.

- - -

Practical exercises may include, for example, security training for software - developers that includes simulated cyber attacks exploiting common software - vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted - at senior leaders/executives. These types of practical exercises help developers - better understand the effects of such vulnerabilities and appreciate the need for - security coding standards and processes.

- - -

Determine if the organization includes practical exercises in security training - that reinforce training objectives.

- - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security awareness training implementation

-

security awareness training curriculum

-

security awareness training materials

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel that participate in security awareness training

- - - - - Suspicious Communications and Anomalous System Behavior - - - - AT-3(4) - at-03.04 - -

The organization provides training to its personnel on to recognize suspicious communications and anomalous - behavior in organizational information systems.

- - -

A well-trained workforce provides another organizational safeguard that can be - employed as part of a defense-in-depth strategy to protect organizations against - malicious code coming in to organizations via email or the web applications. - Personnel are trained to look for indications of potentially suspicious email - (e.g., receiving an unexpected email, receiving an email containing strange or - poor grammar, or receiving an email from an unfamiliar sender but who appears to - be from a known sponsor or contractor). Personnel are also trained on how to - respond to such suspicious email or web communications (e.g., not opening - attachments, not clicking on embedded web links, and checking the source of email - addresses). For this process to work effectively, all organizational personnel are - trained and made aware of what constitutes suspicious communications. Training - personnel on how to recognize anomalous behaviors in organizational information - systems can potentially provide early warning for the presence of malicious code. - Recognition of such anomalous behavior by organizational personnel can supplement - automated malicious code detection and protection tools and systems employed by - organizations.

- - -

Determine if the organization:

- - AT-3(4)[1] -

defines indicators of malicious code; and

- - - AT-3(4)[2] -

provides training to its personnel on organization-defined indicators of - malicious code to recognize suspicious communications and anomalous behavior in - organizational information systems.

- - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training implementation

-

security training curriculum

-

security training materials

-

security plan

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for role-based security - training

-

organizational personnel that participate in security awareness training

- - - - - - Security Training Records - - - - AT-4 - at-04 - -

The organization:

- - a. -

Documents and monitors individual information system security training activities - including basic security awareness training and specific information system - security training; and

- - - b. -

Retains individual training records for .

- - - -

Documentation for specialized training may be maintained by individual supervisors at - the option of the organization.

- AT-2 - AT-3 - PM-14 - - -

Determine if the organization:

- - AT-4(a) - - AT-4(a)[1] -

documents individual information system security training activities - including:

- - AT-4(a)[1][a] -

basic security awareness training;

- - - AT-4(a)[1][b] -

specific role-based information system security training;

- - - - AT-4(a)[2] -

monitors individual information system security training activities - including:

- - AT-4(a)[2][a] -

basic security awareness training;

- - - AT-4(a)[2][b] -

specific role-based information system security training;

- - - - - AT-4(b) - - AT-4(b)[1] -

defines a time period to retain individual training records; and

- - - AT-4(b)[2] -

retains individual training records for the organization-defined time - period.

- - - - - EXAMINE - -

Security awareness and training policy

-

procedures addressing security training records

-

security awareness and training records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security training record retention - responsibilities

- - - - TEST - -

Automated mechanisms supporting management of security training records

- - - - - Contacts with Security Groups and Associations - AT-5 - at-05 - Withdrawn - PM-15 - - - - Audit and Accountability - - Audit and Accountability Policy and Procedures - - - - - - - - - - AU-1 - au-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An audit and accountability policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the audit and accountability - policy and associated audit and accountability controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Audit and accountability policy ; and

- - - 2. -

Audit and accountability procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the AU - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - AU-1(a) - - AU-1(a)(1) - - AU-1(a)(1)[1] -

develops and documents an audit and accountability policy that - addresses:

- - AU-1(a)(1)[1][a] -

purpose;

- - - AU-1(a)(1)[1][b] -

scope;

- - - AU-1(a)(1)[1][c] -

roles;

- - - AU-1(a)(1)[1][d] -

responsibilities;

- - - AU-1(a)(1)[1][e] -

management commitment;

- - - AU-1(a)(1)[1][f] -

coordination among organizational entities;

- - - AU-1(a)(1)[1][g] -

compliance;

- - - - AU-1(a)(1)[2] -

defines personnel or roles to whom the audit and accountability policy are - to be disseminated;

- - - AU-1(a)(1)[3] -

disseminates the audit and accountability policy to organization-defined - personnel or roles;

- - - - AU-1(a)(2) - - AU-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - audit and accountability policy and associated audit and accountability - controls;

- - - AU-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - AU-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - AU-1(b) - - AU-1(b)(1) - - AU-1(b)(1)[1] -

defines the frequency to review and update the current audit and - accountability policy;

- - - AU-1(b)(1)[2] -

reviews and updates the current audit and accountability policy with the - organization-defined frequency;

- - - - AU-1(b)(2) - - AU-1(b)(2)[1] -

defines the frequency to review and update the current audit and - accountability procedures; and

- - - AU-1(b)(2)[2] -

reviews and updates the current audit and accountability procedures in - accordance with the organization-defined frequency.

- - - - - - EXAMINE - -

Audit and accountability policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - - Audit Events - - - - - - - AU-2 - au-02 - NIST Special Publication 800-92 - http://idmanagement.gov - -

The organization:

- - a. -

Determines that the information system is capable of auditing the following - events: ;

- - - b. -

Coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - c. -

Provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents; and

- - - d. -

Determines that the following events are to be audited within the information - system: .

- - - -

An event is any observable occurrence in an organizational information system. - Organizations identify audit events as those events which are significant and - relevant to the security of information systems and the environments in which those - systems operate in order to meet specific and ongoing audit needs. Audit events can - include, for example, password changes, failed logons, or failed accesses related to - information systems, administrative privilege usage, PIV credential usage, or - third-party credential usage. In determining the set of auditable events, - organizations consider the auditing appropriate for each of the security controls to - be implemented. To balance auditing requirements with other information system needs, - this control also requires identifying that subset of auditable events that are - audited at a given point in time. For example, organizations may determine that - information systems must have the capability to log every file access both successful - and unsuccessful, but not activate that capability except for specific circumstances - due to the potential burden on system performance. Auditing requirements, including - the need for auditable events, may be referenced in other security controls and - control enhancements. Organizations also include auditable events that are required - by applicable federal laws, Executive Orders, directives, policies, regulations, and - standards. Audit records can be generated at various levels of abstraction, including - at the packet level as information traverses the network. Selecting the appropriate - level of abstraction is a critical aspect of an audit capability and can facilitate - the identification of root causes to problems. Organizations consider in the - definition of auditable events, the auditing necessary to cover related events such - as the steps in distributed, transaction-based processes (e.g., processes that are - distributed across multiple organizations) and actions that occur in service-oriented - architectures.

- AC-6 - AC-17 - AU-3 - AU-12 - MA-4 - MP-2 - MP-4 - SI-4 - - -

Determine if the organization:

- - AU-2(a) - - AU-2(a)[1] -

defines the auditable events that the information system must be capable of - auditing;

- - - AU-2(a)[2] -

determines that the information system is capable of auditing - organization-defined auditable events;

- - - - AU-2(b) -

coordinates the security audit function with other organizational entities - requiring audit-related information to enhance mutual support and to help guide - the selection of auditable events;

- - - AU-2(c) -

provides a rationale for why the auditable events are deemed to be adequate to - support after-the-fact investigations of security incidents;

- - - AU-2(d) - - AU-2(d)[1] -

defines the subset of auditable events defined in AU-2a that are to be audited - within the information system;

- - - AU-2(d)[2] -

determines that the subset of auditable events defined in AU-2a are to be - audited within the information system; and

- - - AU-2(d)[3] -

determines the frequency of (or situation requiring) auditing for each - identified event.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

information system auditable events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing

- - - - Compilation of Audit Records from Multiple Sources - AU-2(1) - au-02.01 - Withdrawn - AU-12 - - - Selection of Audit Events by Component - AU-2(2) - au-02.02 - Withdrawn - AU-12 - - - Reviews and Updates - - - - AU-2(3) - au-02.03 - -

The organization reviews and updates the audited events .

- - -

Over time, the events that organizations believe should be audited may change. - Reviewing and updating the set of audited events periodically is necessary to - ensure that the current set is still necessary and sufficient.

- - -

Determine if the organization:

- - AU-2(3)[1] -

defines the frequency to review and update the audited events; and

- - - AU-2(3)[2] -

reviews and updates the auditable events with organization-defined - frequency.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing auditable events

-

security plan

-

list of organization-defined auditable events

-

auditable events review and update records

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting review and update of auditable events

- - - - - Privileged Functions - AU-2(4) - au-02.04 - Withdrawn - AC-6 (9) - - - - Content of Audit Records - AU-3 - au-03 - -

The information system generates audit records containing information that - establishes what type of event occurred, when the event occurred, where the event - occurred, the source of the event, the outcome of the event, and the identity of any - individuals or subjects associated with the event.

- - -

Audit record content that may be necessary to satisfy the requirement of this - control, includes, for example, time stamps, source and destination addresses, - user/process identifiers, event descriptions, success/fail indications, filenames - involved, and access control or flow control rules invoked. Event outcomes can - include indicators of event success or failure and event-specific results (e.g., the - security state of the information system after the event occurred).

- AU-2 - AU-8 - AU-12 - SI-11 - - -

Determine if the information system generates audit records containing information - that establishes:

- - AU-3[1] -

what type of event occurred;

- - - AU-3[2] -

when the event occurred;

- - - AU-3[3] -

where the event occurred;

- - - AU-3[4] -

the source of the event;

- - - AU-3[5] -

the outcome of the event; and

- - - AU-3[6] -

the identity of any individuals or subjects associated with the event.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

information system incident reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing information system auditing of auditable - events

- - - - Additional Audit Information - - - - AU-3(1) - au-03.01 - -

The information system generates audit records containing the following additional - information: .

- - -

Detailed information that organizations may consider in audit records includes, - for example, full text recording of privileged commands or the individual - identities of group account users. Organizations consider limiting the additional - audit information to only that information explicitly needed for specific audit - requirements. This facilitates the use of audit trails and audit logs by not - including information that could potentially be misleading or could make it more - difficult to locate information of interest.

- - -

Determine if:

- - AU-3(1)[1] -

the organization defines additional, more detailed information to be contained - in audit records that the information system generates; and

- - - AU-3(1)[2] -

the information system generates audit records containing the - organization-defined additional, more detailed information.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system audit capability

- - - - - Centralized Management of Planned Audit Record Content - - - - AU-3(2) - au-03.02 - -

The information system provides centralized management and configuration of the - content to be captured in audit records generated by .

- - -

This control enhancement requires that the content to be captured in audit records - be configured from a central location (necessitating automation). Organizations - coordinate the selection of required audit content to support the centralized - management and configuration capability provided by the information system.

- AU-6 - AU-7 - - -

Determine if:

- - AU-3(2)[1] -

the organization defines information system components that generate audit - records whose content is to be centrally managed and configured by the - information system; and

- - - AU-3(2)[2] -

the information system provides centralized management and configuration of the - content to be captured in audit records generated by the organization-defined - information system components.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing content of audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of organization-defined auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system capability implementing centralized management and - configuration of audit record content

- - - - - - Audit Storage Capacity - - - - AU-4 - au-04 - -

The organization allocates audit record storage capacity in accordance with .

- - -

Organizations consider the types of auditing to be performed and the audit processing - requirements when allocating audit storage capacity. Allocating sufficient audit - storage capacity reduces the likelihood of such capacity being exceeded and resulting - in the potential loss or reduction of auditing capability.

- AU-2 - AU-5 - AU-6 - AU-7 - AU-11 - SI-4 - - -

Determine if the organization:

- - AU-4[1] -

defines audit record storage requirements; and

- - - AU-4[2] -

allocates audit record storage capacity in accordance with the - organization-defined audit record storage requirements.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit storage capacity

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit record storage requirements

-

audit record storage capability for information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Audit record storage capacity and related configuration settings

- - - - Transfer to Alternate Storage - - - - AU-4(1) - au-04.01 - -

The information system off-loads audit records - onto a different system or media than the system being audited.

- - -

Off-loading is a process designed to preserve the confidentiality and integrity of - audit records by moving the records from the primary information system to a - secondary or alternate system. It is a common process in information systems with - limited audit storage capacity; the audit storage is used only in a transitory - fashion until the system can communicate with the secondary or alternate system - designated for storing the audit records, at which point the information is - transferred.

- - -

Determine if:

- - AU-4(1)[1] -

the organization defines the frequency to off-load audit records onto a - different system or media than the system being audited; and

- - - AU-4(1)[2] -

the information system off-loads audit records onto a different system or media - than the system being audited with the organization-defined frequency.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit storage capacity

-

procedures addressing transfer of information system audit records to secondary - or alternate systems

-

information system design documentation

-

information system configuration settings and associated documentation

-

logs of audit record transfers to secondary or alternate systems

-

information system audit records transferred to secondary or alternate - systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit storage capacity planning - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting transfer of audit records onto a different - system

- - - - - - Response to Audit Processing Failures - - - - - - - AU-5 - au-05 - -

The information system:

- - a. -

Alerts in the event of an audit processing - failure; and

- - - b. -

Takes the following additional actions: .

- - - -

Audit processing failures include, for example, software/hardware errors, failures in - the audit capturing mechanisms, and audit storage capacity being reached or exceeded. - Organizations may choose to define additional actions for different audit processing - failures (e.g., by type, by location, by severity, or a combination of such factors). - This control applies to each audit data storage repository (i.e., distinct - information system component where audit records are stored), the total audit storage - capacity of organizations (i.e., all audit data storage repositories combined), or - both.

- AU-4 - SI-12 - - -

Determine if:

- - AU-5(a) - - AU-5(a)[1] -

the organization defines the personnel or roles to be alerted in the event of - an audit processing failure;

- - - AU-5(a)[2] -

the information system alerts the organization-defined personnel or roles in - the event of an audit processing failure;

- - - - AU-5(b) - - AU-5(b)[1] -

the organization defines additional actions to be taken (e.g., shutdown - information system, overwrite oldest audit records, stop generating audit - records) in the event of an audit processing failure; and

- - - AU-5(b)[2] -

the information system takes the additional organization-defined actions in the - event of an audit processing failure.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

list of personnel to be notified in case of an audit processing failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing information system response to audit processing - failures

- - - - Audit Storage Capacity - - - - - - - - - - AU-5(1) - au-05.01 - -

The information system provides a warning to - within when allocated audit record storage - volume reaches of repository maximum audit - record storage capacity.

- - -

Organizations may have multiple audit data storage repositories distributed across - multiple information system components, with each repository having different - storage volume capacities.

- - -

Determine if:

- - AU-5(1)[1] -

the organization defines:

- - AU-5(1)[1][a] -

personnel to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity;

- - - AU-5(1)[1][b] -

roles to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity; and/or

- - - AU-5(1)[1][c] -

locations to be warned when allocated audit record storage volume reaches - organization-defined percentage of repository maximum audit record storage - capacity;

- - - - AU-5(1)[2] -

the organization defines the time period within which the information system is - to provide a warning to the organization-defined personnel, roles, and/or - locations when allocated audit record storage volume reaches the - organization-defined percentage of repository maximum audit record storage - capacity;

- - - AU-5(1)[3] -

the organization defines the percentage of repository maximum audit record - storage capacity that, if reached, requires a warning to be provided; and

- - - AU-5(1)[4] -

the information system provides a warning to the organization-defined - personnel, roles, and/or locations within the organization-defined time period - when allocated audit record storage volume reaches the organization-defined - percentage of repository maximum audit record storage capacity.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit storage limit warnings

- - - - - Real-time Alerts - - - - - - - - - - AU-5(2) - au-05.02 - -

The information system provides an alert in to - when the following audit failure events - occur: .

- - -

Alerts provide organizations with urgent messages. Real-time alerts provide these - messages at information technology speed (i.e., the time from event detection to - alert occurs in seconds or less).

- - -

Determine if:

- - AU-5(2)[1] -

the organization defines audit failure events requiring real-time alerts;

- - - AU-5(2)[2] -

the organization defines:

- - AU-5(2)[2][a] -

personnel to be alerted when organization-defined audit failure events - requiring real-time alerts occur;

- - - AU-5(2)[2][b] -

roles to be alerted when organization-defined audit failure events requiring - real-time alerts occur; and/or

- - - AU-5(2)[2][c] -

locations to be alerted when organization-defined audit failure events - requiring real-time alerts occur;

- - - - AU-5(2)[3] -

the organization defines the real-time period within which the information - system is to provide an alert to the organization-defined personnel, roles, - and/or locations when the organization-defined audit failure events requiring - real-time alerts occur; and

- - - AU-5(2)[4] -

the information system provides an alert within the organization-defined - real-time period to the organization-defined personnel, roles, and/or locations - when organization-defined audit failure events requiring real-time alerts - occur.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

records of notifications or real-time alerts when audit processing failures - occur

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing real-time audit alerts when - organization-defined audit failure events occur

- - - - - Configurable Traffic Volume Thresholds - - - - AU-5(3) - au-05.03 - -

The information system enforces configurable network communications traffic volume - thresholds reflecting limits on auditing capacity and network traffic above those thresholds.

- - -

Organizations have the capability to reject or delay the processing of network - communications traffic if auditing such traffic is determined to exceed the - storage capacity of the information system audit function. The rejection or delay - response is triggered by the established organizational traffic volume thresholds - which can be adjusted based on changes to audit storage capacity.

- - -

Determine if:

- - AU-5(3)[1] -

the information system enforces configurable network communications traffic - volume thresholds reflecting limits on auditing capacity;

- - - AU-5(3)[2] -

the organization selects if network traffic above configurable traffic volume - thresholds is to be:

- - AU-5(3)[2][a] -

rejected; or

- - - AU-5(3)[2][b] -

delayed; and

- - - - AU-5(3)[3] -

the information system rejects or delays network communications traffic - generated above configurable traffic volume thresholds.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

configuration of network communications traffic volume thresholds

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system capability implementing configurable traffic volume - thresholds

- - - - - Shutdown On Failure - - - - - - - AU-5(4) - au-05.04 - -

The information system invokes a in the event of - , unless an alternate audit capability - exists.

- - -

Organizations determine the types of audit failures that can trigger automatic - information system shutdowns or degraded operations. Because of the importance of - ensuring mission/business continuity, organizations may determine that the nature - of the audit failure is not so severe that it warrants a complete shutdown of the - information system supporting the core organizational missions/business - operations. In those instances, partial information system shutdowns or operating - in a degraded mode with reduced capability may be viable alternatives.

- AU-15 - - -

Determine if:

- - AU-5(4)[1] -

the organization selects one of the following specific actions for the - information system to invoke in the event of organization-defined audit - failures:

- - AU-5(4)[1][a] -

full system shutdown;

- - - AU-5(4)[1][b] -

partial system shutdown; or

- - - AU-5(4)[1][c] -

degraded operational mode with limited mission/business functionality - available;

- - - - AU-5(4)[2] -

the organization defines audit failures that, unless an alternate audit - capability exists, are to trigger the information system to invoke a specific - action; and

- - - AU-5(4)[3] -

the information system invokes the selected specific action in the event of - organization-defined audit failures, unless an alternate audit capability - exists.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing response to audit processing failures

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system capability invoking system shutdown or degraded operational - mode in the event of an audit processing failure

- - - - - - Audit Review, Analysis, and Reporting - - - - - - - - - - AU-6 - au-06 - -

The organization:

- - a. -

Reviews and analyzes information system audit records for indications of ; - and

- - - b. -

Reports findings to .

- - - -

Audit review, analysis, and reporting covers information security-related auditing - performed by organizations including, for example, auditing that results from - monitoring of account usage, remote access, wireless connectivity, mobile device - connection, configuration settings, system component inventory, use of maintenance - tools and nonlocal maintenance, physical access, temperature and humidity, equipment - delivery and removal, communications at the information system boundaries, use of - mobile code, and use of VoIP. Findings can be reported to organizational entities - that include, for example, incident response team, help desk, information security - group/department. If organizations are prohibited from reviewing and analyzing audit - information or unable to conduct such activities (e.g., in certain national security - applications or systems), the review/analysis may be carried out by other - organizations granted such authority.

- AC-2 - AC-3 - AC-6 - AC-17 - AT-3 - AU-7 - AU-16 - CA-7 - CM-5 - CM-10 - CM-11 - IA-3 - IA-5 - IR-5 - IR-6 - MA-4 - MP-4 - PE-3 - PE-6 - PE-14 - PE-16 - RA-5 - SC-7 - SC-18 - SC-19 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - AU-6(a) - - AU-6(a)[1] -

defines the types of inappropriate or unusual activity to look for when - information system audit records are reviewed and analyzed;

- - - AU-6(a)[2] -

defines the frequency to review and analyze information system audit records - for indications of organization-defined inappropriate or unusual activity;

- - - AU-6(a)[3] -

reviews and analyzes information system audit records for indications of - organization-defined inappropriate or unusual activity with the - organization-defined frequency;

- - - - AU-6(b) - - AU-6(b)[1] -

defines personnel or roles to whom findings resulting from reviews and analysis - of information system audit records are to be reported; and

- - - AU-6(b)[2] -

reports findings to organization-defined personnel or roles.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

reports of audit findings

-

records of actions taken in response to reviews/analyses of audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - Process Integration - AU-6(1) - au-06.01 - -

The organization employs automated mechanisms to integrate audit review, analysis, - and reporting processes to support organizational processes for investigation and - response to suspicious activities.

- - -

Organizational processes benefiting from integrated audit review, analysis, and - reporting include, for example, incident response, continuous monitoring, - contingency planning, and Inspector General audits.

- AU-12 - PM-7 - - -

Determine if the organization:

- - AU-6(1)[1] -

employs automated mechanisms to integrate:

- - AU-6(1)[1][a] -

audit review;

- - - AU-6(1)[1][b] -

analysis;

- - - AU-6(1)[1][c] -

reporting processes;

- - - - AU-6(1)[2] -

uses integrated audit review, analysis and reporting processes to support - organizational processes for:

- - AU-6(1)[2][a] -

investigation of suspicious activities; and

- - - AU-6(1)[2][b] -

response to suspicious activities.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

procedures addressing investigation and response to suspicious activities

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms integrating audit review, analysis, and reporting - processes

- - - - - Automated Security Alerts - AU-6(2) - au-06.02 - Withdrawn - SI-4 - - - Correlate Audit Repositories - AU-6(3) - au-06.03 - -

The organization analyzes and correlates audit records across different - repositories to gain organization-wide situational awareness.

- - -

Organization-wide situational awareness includes awareness across all three tiers - of risk management (i.e., organizational, mission/business process, and - information system) and supports cross-organization awareness.

- AU-12 - IR-4 - - -

Determine if the organization analyzes and correlates audit records across - different repositories to gain organization-wide situational awareness.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records across different repositories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting analysis and correlation of audit records

- - - - - Central Review and Analysis - AU-6(4) - au-06.04 - -

The information system provides the capability to centrally review and analyze - audit records from multiple components within the system.

- - -

Automated mechanisms for centralized reviews and analyses include, for example, - Security Information Management products.

- AU-2 - AU-12 - - -

Determine if the information system provides the capability to centrally review - and analyze audit records from multiple components within the system.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

security plan

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Information system capability to centralize review and analysis of audit - records

- - - - - Integration / Scanning and Monitoring Capabilities - - - - - - - AU-6(5) - au-06.05 - -

The organization integrates analysis of audit records with analysis of to further enhance the ability to identify - inappropriate or unusual activity.

- - -

This control enhancement does not require vulnerability scanning, the generation - of performance data, or information system monitoring. Rather, the enhancement - requires that the analysis of information being otherwise produced in these areas - is integrated with the analysis of audit information. Security Event and - Information Management System tools can facilitate audit record - aggregation/consolidation from multiple information system components as well as - audit record correlation and analysis. The use of standardized audit record - analysis scripts developed by organizations (with localized script adjustments, as - necessary) provides more cost-effective approaches for analyzing audit record - information collected. The correlation of audit record information with - vulnerability scanning information is important in determining the veracity of - vulnerability scans and correlating attack detection events with scanning results. - Correlation with performance data can help uncover denial of service attacks or - cyber attacks resulting in unauthorized use of resources. Correlation with system - monitoring information can assist in uncovering attacks and in better relating - audit information to operational situations.

- AU-12 - IR-4 - RA-5 - - -

Determine if the organization:

- - AU-6(5)[1] -

defines data/information to be collected from other sources;

- - - AU-6(5)[2] -

selects sources of data/information to be analyzed and integrated with the - analysis of audit records from one or more of the following:

- - AU-6(5)[2][a] -

vulnerability scanning information;

- - - AU-6(5)[2][b] -

performance data;

- - - AU-6(5)[2][c] -

information system monitoring information; and/or

- - - AU-6(5)[2][d] -

organization-defined data/information collected from other sources; and

- - - - AU-6(5)[3] -

integrates the analysis of audit records with the analysis of selected - data/information to further enhance the ability to identify inappropriate or - unusual activity.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrated analysis of audit records, vulnerability scanning information, - performance data, network monitoring information and associated - documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing capability to integrate analysis of audit - records with analysis of data/information sources

- - - - - Correlation with Physical Monitoring - AU-6(6) - au-06.06 - -

The organization correlates information from audit records with information - obtained from monitoring physical access to further enhance the ability to - identify suspicious, inappropriate, unusual, or malevolent activity.

- - -

The correlation of physical audit information and audit logs from information - systems may assist organizations in identifying examples of suspicious behavior or - supporting evidence of such behavior. For example, the correlation of an - individual’s identity for logical access to certain information systems with the - additional physical security information that the individual was actually present - at the facility when the logical access occurred, may prove to be useful in - investigations.

- - -

Determine if the organization correlates information from audit records with - information obtained from monitoring physical access to enhance the ability to - identify suspicious, inappropriate, unusual, or malevolent activity.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

procedures addressing physical access monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation providing evidence of correlated information obtained from audit - records and physical access monitoring records

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with physical access monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing capability to correlate information from - audit records with information from monitoring physical access

- - - - - Permitted Actions - - - - AU-6(7) - au-06.07 - -

The organization specifies the permitted actions for each associated with the review, analysis, and reporting - of audit information.

- - -

Organizations specify permitted actions for information system processes, roles, - and/or users associated with the review, analysis, and reporting of audit records - through account management techniques. Specifying permitted actions on audit - information is a way to enforce the principle of least privilege. Permitted - actions are enforced by the information system and include, for example, read, - write, execute, append, and delete.

- - -

Determine if the organization specifies the permitted actions for each one or more - of the following associated with the review, analysis and reporting of audit - information:

- - AU-6(7)[1] -

information system process;

- - - AU-6(7)[2] -

role; and/or

- - - AU-6(7)[3] -

user.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing process, role and/or user permitted actions from audit - review, analysis, and reporting

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting permitted actions for review, analysis, and - reporting of audit information

- - - - - Full Text Analysis of Privileged Commands - AU-6(8) - au-06.08 - -

The organization performs a full text analysis of audited privileged commands in a - physically distinct component or subsystem of the information system, or other - information system that is dedicated to that analysis.

- - -

This control enhancement requires a distinct environment for the dedicated - analysis of audit information related to privileged users without compromising - such information on the information system where the users have elevated - privileges including the capability to execute privileged commands. Full text - analysis refers to analysis that considers the full text of privileged commands - (i.e., commands and all parameters) as opposed to analysis that considers only the - name of the command. Full text analysis includes, for example, the use of pattern - matching and heuristics.

- AU-3 - AU-9 - AU-11 - AU-12 - - -

Determine if the organization performs a full text analysis of audited privileged - commands in:

- - AU-6(8)[1] -

a physically distinct component or subsystem of the information system; or

- - - AU-6(8)[2] -

other information system that is dedicated to that analysis.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

text analysis tools and techniques

-

text analysis documentation of audited privileged commands

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing capability to perform a full text analysis of - audited privilege commands

- - - - - Correlation with Information from Nontechnical Sources - AU-6(9) - au-06.09 - -

The organization correlates information from nontechnical sources with audit - information to enhance organization-wide situational awareness.

- - -

Nontechnical sources include, for example, human resources records documenting - organizational policy violations (e.g., sexual harassment incidents, improper use - of organizational information assets). Such information can lead organizations to - a more directed analytical effort to detect potential malicious insider activity. - Due to the sensitive nature of the information available from nontechnical - sources, organizations limit access to such information to minimize the potential - for the inadvertent release of privacy-related information to individuals that do - not have a need to know. Thus, correlation of information from nontechnical - sources with audit information generally occurs only when individuals are - suspected of being involved in a security incident. Organizations obtain legal - advice prior to initiating such actions.

- AT-2 - - -

Determine if the organization correlates information from nontechnical sources - with audit information to enhance organization-wide situational awareness.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation providing evidence of correlated information obtained from audit - records and organization-defined nontechnical sources

-

list of information types from nontechnical sources for correlation with audit - information

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing capability to correlate information from - non-technical sources

- - - - - Audit Level Adjustment - AU-6(10) - au-06.10 - -

The organization adjusts the level of audit review, analysis, and reporting within - the information system when there is a change in risk based on law enforcement - information, intelligence information, or other credible sources of - information.

- - -

The frequency, scope, and/or depth of the audit review, analysis, and reporting - may be adjusted to meet organizational needs based on new information - received.

- - -

Determine if the organization adjusts the level of audit review, analysis, and - reporting within the information system when there is a change in risk based - on:

- - AU-6(10)[1] -

law enforcement information;

- - - AU-6(10)[2] -

intelligence information; and/or

- - - AU-6(10)[3] -

other credible sources of information.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit review, analysis, and reporting

-

organizational risk assessment

-

security control assessment

-

vulnerability assessment

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit review, analysis, and reporting - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting review, analysis, and reporting of audit - information

- - - - - - Audit Reduction and Report Generation - AU-7 - au-07 - -

The information system provides an audit reduction and report generation capability - that:

- - a. -

Supports on-demand audit review, analysis, and reporting requirements and - after-the-fact investigations of security incidents; and

- - - b. -

Does not alter the original content or time ordering of audit records.

- - - -

Audit reduction is a process that manipulates collected audit information and - organizes such information in a summary format that is more meaningful to analysts. - Audit reduction and report generation capabilities do not always emanate from the - same information system or from the same organizational entities conducting auditing - activities. Audit reduction capability can include, for example, modern data mining - techniques with advanced data filters to identify anomalous behavior in audit - records. The report generation capability provided by the information system can - generate customizable reports. Time ordering of audit records can be a significant - issue if the granularity of the timestamp in the record is insufficient.

- AU-6 - - -

Determine if the information system provides an audit reduction and report generation - capability that supports:

- - AU-7(a) - - AU-7(a)[1] -

on-demand audit review;

- - - AU-7(a)[2] -

analysis;

- - - AU-7(a)[3] -

reporting requirements;

- - - AU-7(a)[4] -

after-the-fact investigations of security incidents; and

- - - - AU-7(b) -

does not alter the original content or time ordering of audit records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Audit reduction and report generation capability

- - - - Automatic Processing - - - - AU-7(1) - au-07.01 - -

The information system provides the capability to process audit records for events - of interest based on .

- - -

Events of interest can be identified by the content of specific audit record - fields including, for example, identities of individuals, event types, event - locations, event times, event dates, system resources involved, IP addresses - involved, or information objects accessed. Organizations may define audit event - criteria to any degree of granularity required, for example, locations selectable - by general networking location (e.g., by network or subnetwork) or selectable by - specific information system component.

- AU-2 - AU-12 - - -

Determine if:

- - AU-7(1)[1] -

the organization defines audit fields within audit records in order to process - audit records for events of interest; and

- - - AU-7(1)[2] -

the information system provides the capability to process audit records for - events of interest based on the organization-defined audit fields within audit - records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

audit record criteria (fields) establishing events of interest

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Audit reduction and report generation capability

- - - - - Automatic Sort and Search - - - - AU-7(2) - au-07.02 - -

The information system provides the capability to sort and search audit records - for events of interest based on the content of .

- - -

Sorting and searching of audit records may be based upon the contents of audit - record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) - Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) - event success/failure.

- - -

Determine if:

- - AU-7(2)[1] -

the organization defines audit fields within audit records in order to sort and - search audit records for events of interest based on content of such audit - fields; and

- - - AU-7(2)[2] -

the information system provides the capability to sort and search audit records - for events of interest based on the content of organization-defined audit - fields within audit records.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit reduction and report generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit reduction, review, analysis, and reporting tools

-

audit record criteria (fields) establishing events of interest

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit reduction and report generation - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Audit reduction and report generation capability

- - - - - - Time Stamps - - - - AU-8 - au-08 - -

The information system:

- - a. -

Uses internal system clocks to generate time stamps for audit records; and

- - - b. -

Records time stamps for audit records that can be mapped to Coordinated Universal - Time (UTC) or Greenwich Mean Time (GMT) and meets .

- - - -

Time stamps generated by the information system include date and time. Time is - commonly expressed in Coordinated Universal Time (UTC), a modern continuation of - Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time - measurements refers to the degree of synchronization between information system - clocks and reference clocks, for example, clocks synchronizing within hundreds of - milliseconds or within tens of milliseconds. Organizations may define different time - granularities for different system components. Time service can also be critical to - other security capabilities such as access control and identification and - authentication, depending on the nature of the mechanisms used to support those - capabilities.

- AU-3 - AU-12 - - -

Determine if:

- - AU-8(a) -

the information system uses internal system clocks to generate time stamps for - audit records;

- - - AU-8(b) - - AU-8(b)[1] -

the information system records time stamps for audit records that can be mapped - to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

- - - AU-8(b)[2] -

the organization defines the granularity of time measurement to be met when - recording time stamps for audit records; and

- - - AU-8(b)[3] -

the organization records time stamps for audit records that meet the - organization-defined granularity of time measurement.

- - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing time stamp generation

- - - - Synchronization with Authoritative Time Source - - - - - - - - - - AU-8(1) - au-08.01 - -

The information system:

- - (a) -

Compares the internal information system clocks with ; and

- - - (b) -

Synchronizes the internal system clocks to the authoritative time source when - the time difference is greater than .

- - - -

This control enhancement provides uniformity of time stamps for information - systems with multiple system clocks and systems connected over a network.

- - -

Determine if:

- - AU-8(1)(a) - - AU-8(1)(a)[1] -

the organization defines the authoritative time source to which internal - information system clocks are to be compared;

- - - AU-8(1)(a)[2] -

the organization defines the frequency to compare the internal information - system clocks with the organization-defined authoritative time source; - and

- - - AU-8(1)(a)[3] -

the information system compares the internal information system clocks with - the organization-defined authoritative time source with organization-defined - frequency; and

- - AU-8(1)(a) - - - AU-8(1)(b) - - AU-8(1)(b)[1] -

the organization defines the time period that, if exceeded by the time - difference between the internal system clocks and the authoritative time - source, will result in the internal system clocks being synchronized to the - authoritative time source; and

- - - AU-8(1)(b)[2] -

the information system synchronizes the internal information system clocks - to the authoritative time source when the time difference is greater than - the organization-defined time period.

- - AU-8(1)(b) - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing internal information system clock - synchronization

- - - - - Secondary Authoritative Time Source - AU-8(2) - au-08.02 - -

The information system identifies a secondary authoritative time source that is - located in a different geographic region than the primary authoritative time - source.

- - -

Determine if the information system identifies a secondary authoritative time - source that is located in a different geographic region than the primary - authoritative time source.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing time stamp generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing internal information system clock - authoritative time sources

- - - - - - Protection of Audit Information - AU-9 - au-09 - -

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

- - -

Audit information includes all information (e.g., audit records, audit settings, and - audit reports) needed to successfully audit information system activity. This control - focuses on technical protection of audit information. Physical protection of audit - information is addressed by media protection controls and physical and environmental - protection controls.

- AC-3 - AC-6 - MP-2 - MP-4 - PE-2 - PE-3 - PE-6 - - -

Determine if:

- - AU-9[1] -

the information system protects audit information from unauthorized:

- - AU-9[1][a] -

access;

- - - AU-9[1][b] -

modification;

- - - AU-9[1][c] -

deletion;

- - - - AU-9[2] -

the information system protects audit tools from unauthorized:

- - AU-9[2][a] -

access;

- - - AU-9[2][b] -

modification; and

- - - AU-9[2][c] -

deletion.

- - - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - information system audit records

-

audit tools

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit information protection

- - - - Hardware Write-once Media - AU-9(1) - au-09.01 - -

The information system writes audit trails to hardware-enforced, write-once - media.

- - -

This control enhancement applies to the initial generation of audit trails (i.e., - the collection of audit records that represents the audit information to be used - for detection, analysis, and reporting purposes) and to the backup of those audit - trails. The enhancement does not apply to the initial generation of audit records - prior to being written to an audit trail. Write-once, read-many (WORM) media - includes, for example, Compact Disk-Recordable (CD-R) and Digital Video - Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media - such as on tape cartridges or Universal Serial Bus (USB) drives results in - write-protected, but not write-once, media.

- AU-4 - AU-5 - - -

Determine if the information system writes audit trails to hardware-enforced, - write-once media.

- - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system hardware settings

-

information system configuration settings and associated documentation

-

information system storage media

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Information system media storing audit trails

- - - - - Audit Backup On Separate Physical Systems / Components - - - - AU-9(2) - au-09.02 - -

The information system backs up audit records - onto a physically different system or system component than the system or - component being audited.

- - -

This control enhancement helps to ensure that a compromise of the information - system being audited does not also result in a compromise of the audit - records.

- AU-4 - AU-5 - AU-11 - - -

Determine if:

- - AU-9(2)[1] -

the organization defines the frequency to back up audit records onto a - physically different system or system component than the system or component - being audited; and

- - - AU-9(2)[2] -

the information system backs up audit records with the organization-defined - frequency, onto a physically different system or system component than the - system or component being audited.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, system - or media storing backups of information system audit records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing the backing up of audit records

- - - - - Cryptographic Protection - AU-9(3) - au-09.03 - -

The information system implements cryptographic mechanisms to protect the - integrity of audit information and audit tools.

- - -

Cryptographic mechanisms used for protecting the integrity of audit information - include, for example, signed hash functions using asymmetric cryptography enabling - distribution of the public key to verify the hash information while maintaining - the confidentiality of the secret key used to generate the hash.

- AU-10 - SC-12 - SC-13 - - -

Determine if the information system:

- - AU-9(3)[1] -

uses cryptographic mechanisms to protect the integrity of audit information; - and

- - - AU-9(3)[2] -

uses cryptographic mechanisms to protect the integrity of audit tools.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system hardware settings

-

information system configuration settings and associated documentation, - information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Cryptographic mechanisms protecting integrity of audit information and - tools

- - - - - Access by Subset of Privileged Users - - - - AU-9(4) - au-09.04 - -

The organization authorizes access to management of audit functionality to only - .

- - -

Individuals with privileged access to an information system and who are also the - subject of an audit by that system, may affect the reliability of audit - information by inhibiting audit activities or modifying audit records. This - control enhancement requires that privileged access be further defined between - audit-related privileges and other privileges, thus limiting the users with - audit-related privileges.

- AC-5 - - -

Determine if the organization:

- - AU-9(4)[1] -

defines a subset of privileged users to be authorized access to management of - audit functionality; and

- - - AU-9(4)[2] -

authorizes access to management of audit functionality to only the - organization-defined subset of privileged users.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - system-generated list of privileged users with access to management of audit - functionality

-

access authorizations

-

access control list

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms managing access to audit functionality

- - - - - Dual Authorization - - - - - - - AU-9(5) - au-09.05 - -

The organization enforces dual authorization for - of .

- - -

Organizations may choose different selection options for different types of audit - information. Dual authorization mechanisms require the approval of two authorized - individuals in order to execute. Dual authorization may also be known as - two-person control.

- AC-3 - MP-2 - - -

Determine if the organization:

- - AU-9(5)[1] -

defines audit information for which dual authorization is to be enforced;

- - - AU-9(5)[2] -

defines one or more of the following types of operations on audit information - for which dual authorization is to be enforced:

- - AU-9(5)[2][a] -

movement; and/or

- - - AU-9(5)[2][b] -

deletion; and

- - - - AU-9(5)[3] -

enforces dual authorization for the movement and/or deletion of - organization-defined audit information.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, access - authorizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing enforcement of dual authorization

- - - - - Read Only Access - - - - AU-9(6) - au-09.06 - -

The organization authorizes read-only access to audit information to .

- - -

Restricting privileged user authorizations to read-only helps to limit the - potential damage to organizations that could be initiated by such users (e.g., - deleting audit records to cover up malicious activity).

- - -

Determine if the organization:

- - AU-9(6)[1] -

defines the subset of privileged users to be authorized read-only access to - audit information; and

- - - AU-9(6)[2] -

authorizes read-only access to audit information to the organization-defined - subset of privileged users.

- - - - EXAMINE - -

Audit and accountability policy

-

access control policy and procedures

-

procedures addressing protection of audit information

-

information system design documentation

-

information system configuration settings and associated documentation, - system-generated list of privileged users with read-only access to audit - information

-

access authorizations

-

access control list

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit and accountability responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms managing access to audit information

- - - - - - Non-repudiation - - - - AU-10 - au-10 - -

The information system protects against an individual (or process acting on behalf of - an individual) falsely denying having performed .

- - -

Types of individual actions covered by non-repudiation include, for example, creating - information, sending and receiving messages, approving information (e.g., indicating - concurrence or signing a contract). Non-repudiation protects individuals against - later claims by: (i) authors of not having authored particular documents; (ii) - senders of not having transmitted messages; (iii) receivers of not having received - messages; or (iv) signatories of not having signed documents. Non-repudiation - services can be used to determine if information originated from a particular - individual, or if an individual took specific actions (e.g., sending an email, - signing a contract, approving a procurement request) or received specific - information. Organizations obtain non-repudiation services by employing various - techniques or mechanisms (e.g., digital signatures, digital message receipts).

- SC-12 - SC-8 - SC-13 - SC-16 - SC-17 - SC-23 - - -

Determine if:

- - AU-10[1] -

the organization defines actions to be covered by non-repudiation; and

- - - AU-10[2] -

the information system protects against an individual (or process acting on behalf - of an individual) falsely denying having performed organization-defined actions to - be covered by non-repudiation.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing non-repudiation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing non-repudiation capability

- - - - Association of Identities - - - - AU-10(1) - au-10.01 - -

The information system:

- - (a) -

Binds the identity of the information producer with the information to ; and

- - - (b) -

Provides the means for authorized individuals to determine the identity of the - producer of the information.

- - - -

This control enhancement supports audit requirements that provide organizational - personnel with the means to identify who produced specific information in the - event of an information transfer. Organizations determine and approve the strength - of the binding between the information producer and the information based on the - security category of the information and relevant risk factors.

- AC-4 - AC-16 - - -

Determine if:

- - AU-10(1)(a) - - AU-10(1)(a)[1] -

the organization defines the strength of binding to be employed between the - identity of the information producer and the information;

- - - AU-10(1)(a)[2] -

the information system binds the identity of the information producer with - the information to the organization-defined strength of binding; and

- - AU-10(1)(a) - - - AU-10(1)(b) -

the information system provides the means for authorized individuals to - determine the identity of the producer of the information.

- AU-10(1)(b) - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing non-repudiation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing non-repudiation capability

- - - - - Validate Binding of Information Producer Identity - - - - - - - AU-10(2) - au-10.02 - -

The information system:

- - (a) -

Validates the binding of the information producer identity to the information - at ; and

- - - (b) -

Performs in the event of a validation - error.

- - - -

This control enhancement prevents the modification of information between - production and review. The validation of bindings can be achieved, for example, by - the use of cryptographic checksums. Organizations determine if validations are in - response to user requests or generated automatically.

- AC-3 - AC-4 - AC-16 - - -

Determine if:

- - AU-10(2)(a) - - AU-10(2)(a)[1] -

the organization defines the frequency to validate the binding of the - information producer identity to the information;

- - - AU-10(2)(a)[2] -

the information system validates the binding of the information producer - identity to the information at the organization-defined frequency; and

- - AU-10(2)(a) - - - AU-10(2)(b) - - AU-10(2)(b)[1] -

the organization defines actions to be performed in the event of a - validation error; and

- - - AU-10(2)(b)[2] -

the information system performs organization-defined actions in the event of - a validation error.

- - AU-10(2)(b) - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing non-repudiation

-

information system design documentation

-

information system configuration settings and associated documentation

-

validation records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing non-repudiation capability

- - - - - Chain of Custody - AU-10(3) - au-10.03 - -

The information system maintains reviewer/releaser identity and credentials within - the established chain of custody for all information reviewed or released.

- - -

Chain of custody is a process that tracks the movement of evidence through its - collection, safeguarding, and analysis life cycle by documenting each person who - handled the evidence, the date and time it was collected or transferred, and the - purpose for the transfer. If the reviewer is a human or if the review function is - automated but separate from the release/transfer function, the information system - associates the identity of the reviewer of the information to be released with the - information and the information label. In the case of human reviews, this control - enhancement provides organizational officials the means to identify who reviewed - and released the information. In the case of automated reviews, this control - enhancement ensures that only approved review functions are employed.

- AC-4 - AC-16 - - -

Determine if the information system:

- - AU-10(3)[1] -

maintains reviewer/releaser identity within the established chain of custody - for all information reviewed;

- - - AU-10(3)[2] -

maintains reviewer/releaser identity within the established chain of custody - for all information released;

- - - AU-10(3)[3] -

maintains reviewer/releaser credentials within the established chain of custody - for all information reviewed; and

- - - AU-10(3)[4] -

maintains reviewer/releaser credentials within the established chain of custody - for all information released.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing non-repudiation

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of information reviews and releases

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing non-repudiation capability

- - - - - Validate Binding of Information Reviewer Identity - - - - - - - AU-10(4) - au-10.04 - -

The information system:

- - (a) -

Validates the binding of the information reviewer identity to the information - at the transfer or release points prior to release/transfer between ; and

- - - (b) -

Performs in the event of a validation - error.

- - - -

This control enhancement prevents the modification of information between review - and transfer/release. The validation of bindings can be achieved, for example, by - the use of cryptographic checksums. Organizations determine validations are in - response to user requests or generated automatically.

- AC-4 - AC-16 - - -

Determine if:

- - AU-10(4)(a) - - AU-10(4)(a)[1] -

the organization defines security domains for which the binding of the - information reviewer identity to the information is to be validated at the - transfer or release points prior to release/transfer between such - domains;

- - - AU-10(4)(a)[2] -

the information system validates the binding of the information reviewer - identity to the information at the transfer or release points prior to - release/transfer between organization-defined security domains;

- - AU-10(4)(a) - - - AU-10(4)(b) - - AU-10(4)(b)[1] -

the organization defines actions to be performed in the event of a - validation error; and

- - - AU-10(4)(b)[2] -

the information system performs organization-defined actions in the event of - a validation error.

- - AU-10(4)(b) - - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing non-repudiation

-

information system design documentation

-

information system configuration settings and associated documentation

-

validation records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing non-repudiation capability

- - - - - Digital Signatures - AU-10(5) - au-10.05 - Withdrawn - SI-7 - - - - Audit Record Retention - - - - AU-11 - au-11 - -

The organization retains audit records for to - provide support for after-the-fact investigations of security incidents and to meet - regulatory and organizational information retention requirements.

- - -

Organizations retain audit records until it is determined that they are no longer - needed for administrative, legal, audit, or other operational purposes. This - includes, for example, retention and availability of audit records relative to - Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. - Organizations develop standard categories of audit records relative to such types of - actions and standard response processes for each type of action. The National - Archives and Records Administration (NARA) General Records Schedules provide federal - policy on record retention.

- AU-4 - AU-5 - AU-9 - MP-6 - - -

Determine if the organization:

- - AU-11[1] -

defines a time period to retain audit records that is consistent with records - retention policy;

- - - AU-11[2] -

retains audit records for the organization-defined time period consistent with - records retention policy to:

- - AU-11[2][a] -

provide support for after-the-fact investigations of security incidents; - and

- - - AU-11[2][b] -

meet regulatory and organizational information retention requirements.

- - - - - EXAMINE - -

Audit and accountability policy

-

audit record retention policy and procedures

-

security plan

-

organization-defined retention period for audit records

-

audit record archives

-

audit logs

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record retention responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - Long-term Retrieval Capability - - - - AU-11(1) - au-11.01 - -

The organization employs to ensure that - long-term audit records generated by the information system can be retrieved.

- - -

Measures employed by organizations to help facilitate the retrieval of audit - records include, for example, converting records to newer formats, retaining - equipment capable of reading the records, and retaining necessary documentation to - help organizational personnel understand how to interpret the records.

- - -

Determine if the organization:

- - AU-11(1)[1] -

defines measures to be employed to ensure that long-term audit records - generated by the information system can be retrieved; and

- - - AU-11(1)[2] -

employs organization-defined measures to ensure that long-term audit records - generated by the information system can be retrieved.

- - - - EXAMINE - -

Audit and accountability policy

-

audit record retention policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit record archives

-

audit logs

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record retention responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing audit record retention capability

- - - - - - Audit Generation - - - - - - - AU-12 - au-12 - -

The information system:

- - a. -

Provides audit record generation capability for the auditable events defined in - AU-2 a. at ;

- - - b. -

Allows to select which auditable events are to be - audited by specific components of the information system; and

- - - c. -

Generates audit records for the events defined in AU-2 d. with the content defined - in AU-3.

- - - -

Audit records can be generated from many different information system components. The - list of audited events is the set of events for which audits are to be generated. - These events are typically a subset of all events for which the information system is - capable of generating audit records.

- AC-3 - AU-2 - AU-3 - AU-6 - AU-7 - - -

Determine if:

- - AU-12(a) - - AU-12(a)[1] -

the organization defines the information system components which are to provide - audit record generation capability for the auditable events defined in - AU-2a;

- - - AU-12(a)[2] -

the information system provides audit record generation capability, for the - auditable events defined in AU-2a, at organization-defined information system - components;

- - - - AU-12(b) - - AU-12(b)[1] -

the organization defines the personnel or roles allowed to select which - auditable events are to be audited by specific components of the information - system;

- - - AU-12(b)[2] -

the information system allows the organization-defined personnel or roles to - select which auditable events are to be audited by specific components of the - system; and

- - - - AU-12(c) -

the information system generates audit records for the events defined in AU-2d - with the content in defined in AU-3.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of auditable events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - System-wide / Time-correlated Audit Trail - - - - - - - AU-12(1) - au-12.01 - -

The information system compiles audit records from into a system-wide (logical or physical) audit trail - that is time-correlated to within .

- - -

Audit trails are time-correlated if the time stamps in the individual audit - records can be reliably related to the time stamps in other audit records to - achieve a time ordering of the records within organizational tolerances.

- AU-8 - AU-12 - - -

Determine if:

- - AU-12(1)[1] -

the organization defines the information system components from which audit - records are to be compiled into a system-wide (logical or physical) audit - trail;

- - - AU-12(1)[2] -

the organization defines the level of tolerance for the relationship between - time stamps of individual records in the audit trail; and

- - - AU-12(1)[3] -

the information system compiles audit records from organization-defined - information system components into a system-wide (logical or physical) audit - trail that is time-correlated to within the organization-defined level of - tolerance for the relationship between time stamps of individual records in the - audit trail.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-wide audit trail (logical or physical)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - Standardized Formats - AU-12(2) - au-12.02 - -

The information system produces a system-wide (logical or physical) audit trail - composed of audit records in a standardized format.

- - -

Audit information that is normalized to common standards promotes interoperability - and exchange of such information between dissimilar devices and information - systems. This facilitates production of event information that can be more readily - analyzed and correlated. Standard formats for audit records include, for example, - system log records and audit records compliant with Common Event Expressions - (CEE). If logging mechanisms within information systems do not conform to - standardized formats, systems may convert individual audit records into - standardized formats when compiling system-wide audit trails.

- - -

Determine if the information system produces a system-wide (logical or physical) - audit trail composed of audit records in a standardized format.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-wide audit trail (logical or physical)

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - Changes by Authorized Individuals - - - - - - - - - - - - - AU-12(3) - au-12.03 - -

The information system provides the capability for to change the auditing to be performed on based on within - .

- - -

This control enhancement enables organizations to extend or limit auditing as - necessary to meet organizational requirements. Auditing that is limited to - conserve information system resources may be extended to address certain threat - situations. In addition, auditing may be limited to a specific set of events to - facilitate audit reduction, analysis, and reporting. Organizations can establish - time thresholds in which audit actions are changed, for example, near real-time, - within minutes, or within hours.

- AU-7 - - -

Determine if:

- - AU-12(3)[1] -

the organization defines information system components on which auditing is to - be performed;

- - - AU-12(3)[2] -

the organization defines individuals or roles authorized to change the auditing - to be performed on organization-defined information system components;

- - - AU-12(3)[3] -

the organization defines time thresholds within which organization-defined - individuals or roles can change the auditing to be performed on - organization-defined information system components;

- - - AU-12(3)[4] -

the organization defines selectable event criteria that support the capability - for organization-defined individuals or roles to change the auditing to be - performed on organization-defined information system components; and

- - - AU-12(3)[5] -

the information system provides the capability for organization-defined - individuals or roles to change the auditing to be performed on - organization-defined information system components based on - organization-defined selectable event criteria within organization-defined time - thresholds.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing audit record generation

-

information system design documentation

-

information system configuration settings and associated documentation

-

system-generated list of individuals or roles authorized to change auditing to - be performed

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with audit record generation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing audit record generation capability

- - - - - - Monitoring for Information Disclosure - - - - - - - AU-13 - au-13 - -

The organization monitors - for evidence of unauthorized disclosure of - organizational information.

- - -

Open source information includes, for example, social networking sites.

- PE-3 - SC-7 - - -

Determine if the organization:

- - AU-13[1] -

defines open source information and/or information sites to be monitored for - evidence of unauthorized disclosure of organizational information;

- - - AU-13[2] -

defines a frequency to monitor organization-defined open source information and/or - information sites for evidence of unauthorized disclosure of organizational - information; and

- - - AU-13[3] -

monitors organization-defined open source information and/or information sites for - evidence of unauthorized disclosure of organizational information with the - organization-defined frequency.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing information disclosure monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for monitoring open source - information and/or information sites

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing monitoring for information disclosure

- - - - Use of Automated Tools - AU-13(1) - au-13.01 - -

The organization employs automated mechanisms to determine if organizational - information has been disclosed in an unauthorized manner.

- - -

Automated mechanisms can include, for example, automated scripts to monitor new - posts on selected websites, and commercial services providing notifications and - alerts to organizations.

- - -

Determine if the organization employs automated mechanisms to determine if - organizational information has been disclosed in an unauthorized manner.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing information disclosure monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

automated monitoring tools

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for monitoring information - disclosures

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing monitoring for information disclosure

- - - - - Review of Monitored Sites - - - - AU-13(2) - au-13.02 - -

The organization reviews the open source information sites being monitored .

- - -

Determine if the organization:

- - AU-13(2)[1] -

defines a frequency to review the open source information sites being - monitored; and

- - - AU-13(2)[2] -

reviews the open source information sites being monitored with the - organization-defined frequency.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing information disclosure monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

reviews for open source information sites being monitored

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for monitoring open source - information sites

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing monitoring for information disclosure

- - - - - - Session Audit - AU-14 - au-14 - -

The information system provides the capability for authorized users to select a user - session to capture/record or view/hear.

- - -

Session audits include, for example, monitoring keystrokes, tracking websites - visited, and recording information and/or file transfers. Session auditing activities - are developed, integrated, and used in consultation with legal counsel in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, or - standards.

- AC-3 - AU-4 - AU-5 - AU-9 - AU-11 - - -

Determine if the information system provides the capability for authorized users to - select a user session to:

- - AU-14[1] -

capture/record; and/or

- - - AU-14[2] -

view/hear.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing user session auditing

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session auditing capability

- - - - System Start-up - AU-14(1) - au-14.01 - -

The information system initiates session audits at system start-up.

- - -

Determine if the information system initiates session audits at system start-up. -

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing user session auditing

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session auditing capability

- - - - - Capture/record and Log Content - AU-14(2) - au-14.02 - -

The information system provides the capability for authorized users to - capture/record and log content related to a user session.

- - -

Determine if the information system provides the capability for authorized users - to:

- - AU-14(2)[1] -

capture/record content related to a user session; and

- - - AU-14(2)[2] -

log content related to a user session.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing user session auditing

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session auditing capability

- - - - - Remote Viewing / Listening - AU-14(3) - au-14.03 - -

The information system provides the capability for authorized users to remotely - view/hear all content related to an established user session in real time.

- - -

Determine if the information system provides the capability for authorized users - to remotely view/hear all content related to an established user session in real - time.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing user session auditing

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing user session auditing capability

- - - - - - Alternate Audit Capability - - - - AU-15 - au-15 - -

The organization provides an alternate audit capability in the event of a failure in - primary audit capability that provides .

- - -

Since an alternate audit capability may be a short-term protection employed until the - failure in the primary auditing capability is corrected, organizations may determine - that the alternate audit capability need only provide a subset of the primary audit - functionality that is impacted by the failure.

- AU-5 - - -

Determine if the organization:

- - AU-15[1] -

defines alternative audit functionality to be provided in the event of a failure - in primary audit capability; and

- - - AU-15[2] -

provides an alternative audit capability in the event of a failure in primary - audit capability that provides organization-defined alternative audit - functionality.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing alternate audit capability

-

information system design documentation

-

information system configuration settings and associated documentation

-

test records for alternative audit capability

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel responsible for providing alternate audit capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing alternative audit capability

- - - - - Cross-organizational Auditing - - - - - - - AU-16 - au-16 - -

The organization employs for coordinating among external organizations when audit information is - transmitted across organizational boundaries.

- - -

When organizations use information systems and/or services of external organizations, - the auditing capability necessitates a coordinated approach across organizations. For - example, maintaining the identity of individuals that requested particular services - across organizational boundaries may often be very difficult, and doing so may prove - to have significant performance ramifications. Therefore, it is often the case that - cross-organizational auditing (e.g., the type of auditing capability provided by - service-oriented architectures) simply captures the identity of individuals issuing - requests at the initial information system, and subsequent systems record that the - requests emanated from authorized individuals.

- AU-6 - - -

Determine if the organization:

- - AU-16[1] -

defines audit information to be coordinated among external organizations when - audit information is transmitted across organizational boundaries;

- - - AU-16[2] -

defines methods for coordinating organization-defined audit information among - external organizations when audit information is transmitted across organizational - boundaries; and

- - - AU-16[3] -

employs organization-defined methods for coordinating organization-defined audit - information among external organizations when audit information is transmitted - across organizational boundaries.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing methods for coordinating audit information among external - organizations

-

information system design documentation

-

information system configuration settings and associated documentation

-

methods for coordinating audit information among external organizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for coordinating audit information - among external organizations

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing cross-organizational auditing (if - applicable)

- - - - Identity Preservation - AU-16(1) - au-16.01 - -

The organization requires that the identity of individuals be preserved in - cross-organizational audit trails.

- - -

This control enhancement applies when there is a need to be able to trace actions - that are performed across organizational boundaries to a specific individual.

- - -

Determine if the organization requires that the identity of individuals be - preserved in cross- organizational audit trails.

- - - EXAMINE - -

Audit and accountability policy

-

procedures addressing cross-organizational audit trails

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with cross-organizational audit responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing cross-organizational auditing (if - applicable)

- - - - - Sharing of Audit Information - - - - - - - AU-16(2) - au-16.02 - -

The organization provides cross-organizational audit information to based on .

- - -

Because of the distributed nature of the audit information, cross-organization - sharing of audit information may be essential for effective analysis of the - auditing being performed. For example, the audit records of one organization may - not provide sufficient information to determine the appropriate or inappropriate - use of organizational information resources by individuals in other organizations. - In some instances, only the home organizations of individuals have the appropriate - knowledge to make such determinations, thus requiring the sharing of audit - information among organizations.

- - -

Determine if the organization:

- - AU-16(2)[1] -

defines organizations with whom cross-organizational audit information is to be - shared;

- - - AU-16(2)[2] -

defines cross-organizational sharing agreements to be used when providing - cross-organizational audit information to organization-defined organizations; - and

- - - AU-16(2)[3] -

provides cross-organizational audit information to organization-defined - organizations based on organization-defined cross-organizational sharing - agreements.

- - - - EXAMINE - -

Audit and accountability policy

-

procedures addressing cross-organizational sharing of audit information

-

cross-organizational sharing agreements

-

data sharing agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for sharing cross-organizational - audit information

-

organizational personnel with information security responsibilities

- - - - - - - Security Assessment and Authorization - - Security Assessment and Authorization Policy and Procedures - - - - - - - - - - CA-1 - ca-01 - NIST Special Publication 800-12 - NIST Special Publication 800-37 - NIST Special Publication 800-53A - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security assessment and authorization policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security assessment and - authorization policy and associated security assessment and authorization - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security assessment and authorization policy ; - and

- - - 2. -

Security assessment and authorization procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CA-1(a) - - CA-1(a)(1) - - CA-1(a)(1)[1] -

develops and documents a security assessment and authorization policy that - addresses:

- - CA-1(a)(1)[1][a] -

purpose;

- - - CA-1(a)(1)[1][b] -

scope;

- - - CA-1(a)(1)[1][c] -

roles;

- - - CA-1(a)(1)[1][d] -

responsibilities;

- - - CA-1(a)(1)[1][e] -

management commitment;

- - - CA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CA-1(a)(1)[1][g] -

compliance;

- - - - CA-1(a)(1)[2] -

defines personnel or roles to whom the security assessment and authorization - policy is to be disseminated;

- - - CA-1(a)(1)[3] -

disseminates the security assessment and authorization policy to - organization-defined personnel or roles;

- - - - CA-1(a)(2) - - CA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - security assessment and authorization policy and associated assessment and - authorization controls;

- - - CA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - CA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CA-1(b) - - CA-1(b)(1) - - CA-1(b)(1)[1] -

defines the frequency to review and update the current security assessment - and authorization policy;

- - - CA-1(b)(1)[2] -

reviews and updates the current security assessment and authorization policy - with the organization-defined frequency;

- - - - CA-1(b)(2) - - CA-1(b)(2)[1] -

defines the frequency to review and update the current security assessment - and authorization procedures; and

- - - CA-1(b)(2)[2] -

reviews and updates the current security assessment and authorization - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Security assessment and authorization policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment and authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Assessments - - - - - - - CA-2 - ca-02 - Executive Order 13587 - FIPS Publication 199 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Develops a security assessment plan that describes the scope of the assessment - including:

- - 1. -

Security controls and control enhancements under assessment;

- - - 2. -

Assessment procedures to be used to determine security control effectiveness; - and

- - - 3. -

Assessment environment, assessment team, and assessment roles and - responsibilities;

- - - - b. -

Assesses the security controls in the information system and its environment of - operation to determine the extent to which the - controls are implemented correctly, operating as intended, and producing the - desired outcome with respect to meeting established security requirements;

- - - c. -

Produces a security assessment report that documents the results of the - assessment; and

- - - d. -

Provides the results of the security control assessment to .

- - - -

Organizations assess security controls in organizational information systems and the - environments in which those systems operate as part of: (i) initial and ongoing - security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; - and (iv) system development life cycle activities. Security assessments: (i) ensure - that information security is built into organizational information systems; (ii) - identify weaknesses and deficiencies early in the development process; (iii) provide - essential information needed to make risk-based decisions as part of security - authorization processes; and (iv) ensure compliance to vulnerability mitigation - procedures. Assessments are conducted on the implemented security controls from - Appendix F (main catalog) and Appendix G (Program Management controls) as documented - in System Security Plans and Information Security Program Plans. Organizations can - use other types of assessment activities such as vulnerability scanning and system - monitoring to maintain the security posture of information systems during the entire - life cycle. Security assessment reports document assessment results in sufficient - detail as deemed necessary by organizations, to determine the accuracy and - completeness of the reports and whether the security controls are implemented - correctly, operating as intended, and producing the desired outcome with respect to - meeting security requirements. The FISMA requirement for assessing security controls - at least annually does not require additional assessment activities to those - activities already in place in organizational security authorization processes. - Security assessment results are provided to the individuals or roles appropriate for - the types of assessments being conducted. For example, assessments conducted in - support of security authorization decisions are provided to authorizing officials or - authorizing official designated representatives. To satisfy annual assessment - requirements, organizations can use assessment results from the following sources: - (i) initial or ongoing information system authorizations; (ii) continuous monitoring; - or (iii) system development life cycle activities. Organizations ensure that security - assessment results are current, relevant to the determination of security control - effectiveness, and obtained with the appropriate level of assessor independence. - Existing security control assessment results can be reused to the extent that the - results are still valid and can also be supplemented with additional assessments as - needed. Subsequent to initial authorizations and in accordance with OMB policy, - organizations assess security controls during continuous monitoring. Organizations - establish the frequency for ongoing security control assessments in accordance with - organizational continuous monitoring strategies. Information Assurance Vulnerability - Alerts provide useful examples of vulnerability mitigation procedures. External - audits (e.g., audits by external entities such as regulatory agencies) are outside - the scope of this control.

- CA-5 - CA-6 - CA-7 - PM-9 - RA-5 - SA-11 - SA-12 - SI-4 - - -

Determine if the organization:

- - CA-2(a) -

develops a security assessment plan that describes the scope of the assessment - including:

- - CA-2(a)(1) -

security controls and control enhancements under assessment;

- - - CA-2(a)(2) -

assessment procedures to be used to determine security control - effectiveness;

- - - CA-2(a)(3) - - CA-2(a)(3)[1] -

assessment environment;

- - - CA-2(a)(3)[2] -

assessment team;

- - - CA-2(a)(3)[3] -

assessment roles and responsibilities;

- - - - - CA-2(b) - - CA-2(b)[1] -

defines the frequency to assess the security controls in the information system - and its environment of operation;

- - - CA-2(b)[2] -

assesses the security controls in the information system with the - organization-defined frequency to determine the extent to which the controls - are implemented correctly, operating as intended, and producing the desired - outcome with respect to meeting established security requirements;

- - - - CA-2(c) -

produces a security assessment report that documents the results of the - assessment;

- - - CA-2(d) - - CA-2(d)[1] -

defines individuals or roles to whom the results of the security control - assessment are to be provided; and

- - - CA-2(d)[2] -

provides the results of the security control assessment to organization-defined - individuals or roles.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessment planning

-

procedures addressing security assessments

-

security assessment plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security assessment, security assessment plan - development, and/or security assessment reporting

- - - - Independent Assessors - - - - CA-2(1) - ca-02.01 - -

The organization employs assessors or assessment teams with to conduct security control assessments.

- - -

Independent assessors or assessment teams are individuals or groups who conduct - impartial assessments of organizational information systems. Impartiality implies - that assessors are free from any perceived or actual conflicts of interest with - regard to the development, operation, or management of the organizational - information systems under assessment or to the determination of security control - effectiveness. To achieve impartiality, assessors should not: (i) create a mutual - or conflicting interest with the organizations where the assessments are being - conducted; (ii) assess their own work; (iii) act as management or employees of the - organizations they are serving; or (iv) place themselves in positions of advocacy - for the organizations acquiring their services. Independent assessments can be - obtained from elements within organizations or can be contracted to public or - private sector entities outside of organizations. Authorizing officials determine - the required level of independence based on the security categories of information - systems and/or the ultimate risk to organizational operations, organizational - assets, or individuals. Authorizing officials also determine if the level of - assessor independence provides sufficient assurance that the results are sound and - can be used to make credible, risk-based decisions. This includes determining - whether contracted security assessment services have sufficient independence, for - example, when information system owners are not directly involved in contracting - processes or cannot unduly influence the impartiality of assessors conducting - assessments. In special situations, for example, when organizations that own the - information systems are small or organizational structures require that - assessments are conducted by individuals that are in the developmental, - operational, or management chain of system owners, independence in assessment - processes can be achieved by ensuring that assessment results are carefully - reviewed and analyzed by independent teams of experts to validate the - completeness, accuracy, integrity, and reliability of the results. Organizations - recognize that assessments performed for purposes other than direct support to - authorization decisions are, when performed by assessors with sufficient - independence, more likely to be useable for such decisions, thereby reducing the - need to repeat assessments.

- - -

Determine if the organization:

- - CA-2(1)[1] -

defines the level of independence to be employed to conduct security control - assessments; and

- - - CA-2(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to conduct security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security authorization package (including security plan, security assessment - plan, security assessment report, plan of action and milestones, authorization - statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Specialized Assessments - - - - - - - - - - - - - CA-2(2) - ca-02.02 - -

The organization includes as part of security control assessments, , , .

- - -

Organizations can employ information system monitoring, insider threat - assessments, malicious user testing, and other forms of testing (e.g., - verification and validation) to improve readiness by exercising organizational - capabilities and indicating current performance levels as a means of focusing - actions to improve security. Organizations conduct assessment activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - regulations, and standards. Authorizing officials approve the assessment methods - in coordination with the organizational risk executive function. Organizations can - incorporate vulnerabilities uncovered during assessments into vulnerability - remediation processes.

- PE-3 - SI-2 - - -

Determine if the organization:

- - CA-2(2)[1] -

selects one or more of the following forms of specialized security assessment - to be included as part of security control assessments:

- - CA-2(2)[1][a] -

in-depth monitoring;

- - - CA-2(2)[1][b] -

vulnerability scanning;

- - - CA-2(2)[1][c] -

malicious user testing;

- - - CA-2(2)[1][d] -

insider threat assessment;

- - - CA-2(2)[1][e] -

performance/load testing; and/or

- - - CA-2(2)[1][f] -

other forms of organization-defined specialized security assessment;

- - - - CA-2(2)[2] -

defines the frequency for conducting the selected form(s) of specialized - security assessment;

- - - CA-2(2)[3] -

defines whether the specialized security assessment will be announced or - unannounced; and

- - - CA-2(2)[4] -

conducts announced or unannounced organization-defined forms of specialized - security assessments with the organization-defined frequency as part of - security control assessments.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting security control assessment

- - - - - External Organizations - - - - - - - - - - CA-2(3) - ca-02.03 - -

The organization accepts the results of an assessment of performed by when - the assessment meets .

- - -

Organizations may often rely on assessments of specific information systems by - other (external) organizations. Utilizing such existing assessments (i.e., reusing - existing assessment evidence) can significantly decrease the time and resources - required for organizational assessments by limiting the amount of independent - assessment activities that organizations need to perform. The factors that - organizations may consider in determining whether to accept assessment results - from external organizations can vary. Determinations for accepting assessment - results can be based on, for example, past assessment experiences one organization - has had with another organization, the reputation that organizations have with - regard to assessments, the level of detail of supporting assessment documentation - provided, or mandates imposed upon organizations by federal legislation, policies, - or directives.

- - -

Determine if the organization:

- - CA-2(3)[1] -

defines an information system for which the results of a security assessment - performed by an external organization are to be accepted;

- - - CA-2(3)[2] -

defines an external organization from which to accept a security assessment - performed on an organization-defined information system;

- - - CA-2(3)[3] -

defines the requirements to be met by a security assessment performed by - organization-defined external organization on organization-defined information - system; and

- - - CA-2(3)[4] -

accepts the results of an assessment of an organization-defined information - system performed by an organization-defined external organization when the - assessment meets organization-defined requirements.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security assessments

-

security plan

-

security assessment requirements

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

-

personnel performing security assessments for the specified external - organization

- - - - - - System Interconnections - - - - CA-3 - ca-03 - FIPS Publication 199 - NIST Special Publication 800-47 - -

The organization:

- - a. -

Authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - b. -

Documents, for each interconnection, the interface characteristics, security - requirements, and the nature of the information communicated; and

- - - c. -

Reviews and updates Interconnection Security Agreements .

- - - -

This control applies to dedicated connections between information systems (i.e., - system interconnections) and does not apply to transitory, user-controlled - connections such as email and website browsing. Organizations carefully consider the - risks that may be introduced when information systems are connected to other systems - with different security requirements and security controls, both within organizations - and external to organizations. Authorizing officials determine the risk associated - with information system connections and the appropriate controls employed. If - interconnecting systems have the same authorizing official, organizations do not need - to develop Interconnection Security Agreements. Instead, organizations can describe - the interface characteristics between those interconnecting systems in their - respective security plans. If interconnecting systems have different authorizing - officials within the same organization, organizations can either develop - Interconnection Security Agreements or describe the interface characteristics between - systems in the security plans for the respective systems. Organizations may also - incorporate Interconnection Security Agreement information into formal contracts, - especially for interconnections established between federal agencies and nonfederal - (i.e., private sector) organizations. Risk considerations also include information - systems sharing the same networks. For certain technologies (e.g., space, unmanned - aerial vehicles, and medical devices), there may be specialized connections in place - during preoperational testing. Such connections may require Interconnection Security - Agreements and be subject to additional security controls.

- AC-3 - AC-4 - AC-20 - AU-2 - AU-12 - AU-16 - CA-7 - IA-3 - SA-9 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-3(a) -

authorizes connections from the information system to other information systems - through the use of Interconnection Security Agreements;

- - - CA-3(b) -

documents, for each interconnection:

- - CA-3(b)[1] -

the interface characteristics;

- - - CA-3(b)[2] -

the security requirements;

- - - CA-3(b)[3] -

the nature of the information communicated;

- - - - CA-3(c) - - CA-3(c)[1] -

defines the frequency to review and update Interconnection Security Agreements; - and

- - - CA-3(c)[2] -

reviews and updates Interconnection Security Agreements with the - organization-defined frequency.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system Interconnection Security Agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - approving information system interconnection agreements

-

organizational personnel with information security responsibilities

-

personnel managing the system(s) to which the Interconnection Security Agreement - applies

- - - - Unclassified National Security System Connections - - - - - - - CA-3(1) - ca-03.01 - -

The organization prohibits the direct connection of an to an external network without the use of .

- - -

Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between unclassified national security - systems and external networks. This control enhancement is required for - organizations processing, storing, or transmitting Controlled Unclassified - Information (CUI).

- - -

Determine if the organization:

- - CA-3(1)[1] -

defines an unclassified, national security system whose direct connection to an - external network is to be prohibited without the use of approved boundary - protection device;

- - - CA-3(1)[2] -

defines a boundary protection device to be used to establish the direct - connection of an organization-defined unclassified, national security system to - an external network; and

- - - CA-3(1)[3] -

prohibits the direct connection of an organization-defined unclassified, - national security system to an external network without the use of an - organization-defined boundary protection device.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection security agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing direct connections to - external networks

-

network administrators

-

organizational personnel with information security responsibilities

-

personnel managing directly connected external networks

- - - - TEST - -

Automated mechanisms supporting the management of external network - connections

- - - - - Classified National Security System Connections - - - - CA-3(2) - ca-03.02 - -

The organization prohibits the direct connection of a classified, national - security system to an external network without the use of .

- - -

Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between classified national security - systems and external networks. In addition, approved boundary protection devices - (typically managed interface/cross-domain systems) provide information flow - enforcement from information systems to external networks.

- - -

Determine if the organization:

- - CA-3(2)[1] -

defines a boundary protection device to be used to establish the direct - connection of a classified, national security system to an external network; - and

- - - CA-3(2)[2] -

prohibits the direct connection of a classified, national security system to an - external network without the use of an organization-defined boundary protection - device.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection security agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing direct connections to - external networks

-

network administrators

-

organizational personnel with information security responsibilities

-

personnel managing directly connected external networks

- - - - TEST - -

Automated mechanisms supporting the management of external network - connections

- - - - - Unclassified Non-national Security System Connections - - - - - - - CA-3(3) - ca-03.03 - -

The organization prohibits the direct connection of an to an external network without the use of .

- - -

Organizations typically do not have control over external networks (e.g., the - Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate - communications (i.e., information flows) between unclassified non-national - security systems and external networks. This control enhancement is required for - organizations processing, storing, or transmitting Controlled Unclassified - Information (CUI).

- - -

Determine if the organization:

- - CA-3(3)[1] -

defines an unclassified, non-national security system whose direct connection - to an external network is to be prohibited without the use of approved boundary - protection device;

- - - CA-3(3)[2] -

defines a boundary protection device to be used to establish the direct - connection of an organization-defined unclassified, non-national security - system to an external network; and

- - - CA-3(3)[3] -

prohibits the direct connection of an organization-defined unclassified, - non-national security system to an external network without the use of an - organization-defined boundary protection device.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection security agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing direct connections to - external networks

-

network administrators

-

organizational personnel with information security responsibilities

-

personnel managing directly connected external networks

- - - - TEST - -

Automated mechanisms supporting the management of external network - connections

- - - - - Connections to Public Networks - - - - CA-3(4) - ca-03.04 - -

The organization prohibits the direct connection of an to a public network.

- - -

A public network is any network accessible to the general public including, for - example, the Internet and organizational extranets with public access.

- - -

Determine if the organization:

- - CA-3(4)[1] -

defines an information system whose direct connection to a public network is to - be prohibited; and

- - - CA-3(4)[2] -

prohibits the direct connection of an organization-defined information system - to a public network.

- - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection security agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting the management of public network - connections

- - - - - Restrictions On External System Connections - - - - - - - CA-3(5) - ca-03.05 - -

The organization employs policy for allowing - to connect to external information - systems.

- - -

Organizations can constrain information system connectivity to external domains - (e.g., websites) by employing one of two policies with regard to such - connectivity: (i) allow-all, deny by exception, also known as blacklisting (the - weaker of the two policies); or (ii) deny-all, allow by exception, also known as - whitelisting (the stronger of the two policies). For either policy, organizations - determine what exceptions, if any, are acceptable.

- CM-7 - - -

Determine if the organization:

- - CA-3(5)[1] -

defines information systems to be allowed to connect to external information - systems;

- - - CA-3(5)[2] -

employs one of the following policies for allowing organization-defined - information systems to connect to external information systems:

- - CA-3(5)[2][a] -

allow-all policy;

- - - CA-3(5)[2][b] -

deny-by-exception policy;

- - - CA-3(5)[2][c] -

deny-all policy; or

- - - CA-3(5)[2][d] -

permit-by-exception policy.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

information system interconnection agreements

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for managing connections to - external information systems

-

network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing restrictions on external system - connections

- - - - - - Security Certification - CA-4 - ca-04 - Withdrawn - CA-2 - - - Plan of Action and Milestones - - - - CA-5 - ca-05 - OMB Memorandum 02-01 - NIST Special Publication 800-37 - -

The organization:

- - a. -

Develops a plan of action and milestones for the information system to document - the organization’s planned remedial actions to correct weaknesses or deficiencies - noted during the assessment of the security controls and to reduce or eliminate - known vulnerabilities in the system; and

- - - b. -

Updates existing plan of action and milestones - based on the findings from security controls assessments, security impact - analyses, and continuous monitoring activities.

- - - -

Plans of action and milestones are key documents in security authorization packages - and are subject to federal reporting requirements established by OMB.

- CA-2 - CA-7 - CM-4 - PM-4 - - -

Determine if the organization:

- - CA-5(a) -

develops a plan of action and milestones for the information system to:

- - CA-5(a)[1] -

document the organization’s planned remedial actions to correct weaknesses or - deficiencies noted during the assessment of the security controls;

- - - CA-5(a)[2] -

reduce or eliminate known vulnerabilities in the system;

- - - - CA-5(b) - - CA-5(b)[1] -

defines the frequency to update the existing plan of action and milestones;

- - - CA-5(b)[2] -

updates the existing plan of action and milestones with the - organization-defined frequency based on the findings from:

- - CA-5(b)[2][a] -

security controls assessments;

- - - CA-5(b)[2][b] -

security impact analyses; and

- - - CA-5(b)[2][c] -

continuous monitoring activities.

- - - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing plan of action and milestones

-

security plan

-

security assessment plan

-

security assessment report

-

security assessment evidence

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with plan of action and milestones development and - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms for developing, implementing, and maintaining plan of action - and milestones

- - - - Automation Support for Accuracy / Currency - CA-5(1) - ca-05.01 - -

The organization employs automated mechanisms to help ensure that the plan of - action and milestones for the information system is accurate, up to date, and - readily available.

- - -

Determine if the organization employs automated mechanisms to help ensure that the - plan of action and milestones for the information system is:

- - CA-5(1)[1] -

accurate;

- - - CA-5(1)[2] -

up to date; and

- - - CA-5(1)[3] -

readily available.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing plan of action and milestones

-

information system design documentation, information system configuration - settings and associated documentation

-

information system audit records

-

plan of action and milestones

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with plan of action and milestones development and - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms for developing, implementing and maintaining plan of - action and milestones

- - - - - - Security Authorization - - - - CA-6 - ca-06 - OMB Circular A-130 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - b. -

Ensures that the authorizing official authorizes the information system for - processing before commencing operations; and

- - - c. -

Updates the security authorization .

- - - -

Security authorizations are official management decisions, conveyed through - authorization decision documents, by senior organizational officials or executives - (i.e., authorizing officials) to authorize operation of information systems and to - explicitly accept the risk to organizational operations and assets, individuals, - other organizations, and the Nation based on the implementation of agreed-upon - security controls. Authorizing officials provide budgetary oversight for - organizational information systems or assume responsibility for the mission/business - operations supported by those systems. The security authorization process is an - inherently federal responsibility and therefore, authorizing officials must be - federal employees. Through the security authorization process, authorizing officials - assume responsibility and are accountable for security risks associated with the - operation and use of organizational information systems. Accordingly, authorizing - officials are in positions with levels of authority commensurate with understanding - and accepting such information security-related risks. OMB policy requires that - organizations conduct ongoing authorizations of information systems by implementing - continuous monitoring programs. Continuous monitoring programs can satisfy three-year - reauthorization requirements, so separate reauthorization processes are not - necessary. Through the employment of comprehensive continuous monitoring processes, - critical information contained in authorization packages (i.e., security plans, - security assessment reports, and plans of action and milestones) is updated on an - ongoing basis, providing authorizing officials and information system owners with an - up-to-date status of the security state of organizational information systems and - environments of operation. To reduce the administrative cost of security - reauthorization, authorizing officials use the results of continuous monitoring - processes to the maximum extent possible as the basis for rendering reauthorization - decisions.

- CA-2 - CA-7 - PM-9 - PM-10 - - -

Determine if the organization:

- - CA-6(a) -

assigns a senior-level executive or manager as the authorizing official for the - information system;

- - - CA-6(b) -

ensures that the authorizing official authorizes the information system for - processing before commencing operations;

- - - CA-6(c) - - CA-6(c)[1] -

defines the frequency to update the security authorization; and

- - - CA-6(c)[2] -

updates the security authorization with the organization-defined frequency.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing security authorization

-

security authorization package (including security plan

-

security assessment report

-

plan of action and milestones

-

authorization statement)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security authorization responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that facilitate security authorizations and updates

- - - - - Continuous Monitoring - - - - - - - - - - - - - - - - CA-7 - ca-07 - OMB Memorandum 11-33 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - NIST Special Publication 800-53A - NIST Special Publication 800-115 - NIST Special Publication 800-137 - US-CERT Technical Cyber Security Alerts - DoD Information Assurance Vulnerability Alerts - -

The organization develops a continuous monitoring strategy and implements a - continuous monitoring program that includes:

- - a. -

Establishment of to be monitored;

- - - b. -

Establishment of for monitoring and for assessments supporting such monitoring;

- - - c. -

Ongoing security control assessments in accordance with the organizational - continuous monitoring strategy;

- - - d. -

Ongoing security status monitoring of organization-defined metrics in accordance - with the organizational continuous monitoring strategy;

- - - e. -

Correlation and analysis of security-related information generated by assessments - and monitoring;

- - - f. -

Response actions to address results of the analysis of security-related - information; and

- - - g. -

Reporting the security status of organization and the information system to - - .

- - - -

Continuous monitoring programs facilitate ongoing awareness of threats, - vulnerabilities, and information security to support organizational risk management - decisions. The terms continuous and ongoing imply that organizations assess/analyze - security controls and information security-related risks at a frequency sufficient to - support organizational risk-based decisions. The results of continuous monitoring - programs generate appropriate risk response actions by organizations. Continuous - monitoring programs also allow organizations to maintain the security authorizations - of information systems and common controls over time in highly dynamic environments - of operation with changing mission/business needs, threats, vulnerabilities, and - technologies. Having access to security-related information on a continuing basis - through reports/dashboards gives organizational officials the capability to make more - effective and timely risk management decisions, including ongoing security - authorization decisions. Automation supports more frequent updates to security - authorization packages, hardware/software/firmware inventories, and other system - information. Effectiveness is further enhanced when continuous monitoring outputs are - formatted to provide information that is specific, measurable, actionable, relevant, - and timely. Continuous monitoring activities are scaled in accordance with the - security categories of information systems.

- CA-2 - CA-5 - CA-6 - CM-3 - CM-4 - PM-6 - PM-9 - RA-5 - SA-11 - SA-12 - SI-2 - SI-4 - - -

Determine if the organization:

- - CA-7(a) - - CA-7(a)[1] -

develops a continuous monitoring strategy that defines metrics to be - monitored;

- - - CA-7(a)[2] -

develops a continuous monitoring strategy that includes monitoring of - organization-defined metrics;

- - - CA-7(a)[3] -

implements a continuous monitoring program that includes monitoring of - organization-defined metrics in accordance with the organizational continuous - monitoring strategy;

- - - - CA-7(b) - - CA-7(b)[1] -

develops a continuous monitoring strategy that defines frequencies for - monitoring;

- - - CA-7(b)[2] -

defines frequencies for assessments supporting monitoring;

- - - CA-7(b)[3] -

develops a continuous monitoring strategy that includes establishment of the - organization-defined frequencies for monitoring and for assessments supporting - monitoring;

- - - CA-7(b)[4] -

implements a continuous monitoring program that includes establishment of - organization-defined frequencies for monitoring and for assessments supporting - such monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(c) - - CA-7(c)[1] -

develops a continuous monitoring strategy that includes ongoing security - control assessments;

- - - CA-7(c)[2] -

implements a continuous monitoring program that includes ongoing security - control assessments in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(d) - - CA-7(d)[1] -

develops a continuous monitoring strategy that includes ongoing security status - monitoring of organization-defined metrics;

- - - CA-7(d)[2] -

implements a continuous monitoring program that includes ongoing security - status monitoring of organization-defined metrics in accordance with the - organizational continuous monitoring strategy;

- - - - CA-7(e) - - CA-7(e)[1] -

develops a continuous monitoring strategy that includes correlation and - analysis of security-related information generated by assessments and - monitoring;

- - - CA-7(e)[2] -

implements a continuous monitoring program that includes correlation and - analysis of security-related information generated by assessments and - monitoring in accordance with the organizational continuous monitoring - strategy;

- - - - CA-7(f) - - CA-7(f)[1] -

develops a continuous monitoring strategy that includes response actions to - address results of the analysis of security-related information;

- - - CA-7(f)[2] -

implements a continuous monitoring program that includes response actions to - address results of the analysis of security-related information in accordance - with the organizational continuous monitoring strategy;

- - - - CA-7(g) - - CA-7(g)[1] -

develops a continuous monitoring strategy that defines the personnel or roles - to whom the security status of the organization and information system are to - be reported;

- - - CA-7(g)[2] -

develops a continuous monitoring strategy that defines the frequency to report - the security status of the organization and information system to - organization-defined personnel or roles;

- - - CA-7(g)[3] -

develops a continuous monitoring strategy that includes reporting the security - status of the organization or information system to organizational-defined - personnel or roles with the organization-defined frequency; and

- - - CA-7(g)[4] -

implements a continuous monitoring program that includes reporting the security - status of the organization and information system to organization-defined - personnel or roles with the organization-defined frequency in accordance with - the organizational continuous monitoring strategy.

- - - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

procedures addressing configuration management

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

configuration management records, security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Mechanisms implementing continuous monitoring

- - - - Independent Assessment - - - - CA-7(1) - ca-07.01 - -

The organization employs assessors or assessment teams with to monitor the security controls in the information - system on an ongoing basis.

- - -

Organizations can maximize the value of assessments of security controls during - the continuous monitoring process by requiring that such assessments be conducted - by assessors or assessment teams with appropriate levels of independence based on - continuous monitoring strategies. Assessor independence provides a degree of - impartiality to the monitoring process. To achieve such impartiality, assessors - should not: (i) create a mutual or conflicting interest with the organizations - where the assessments are being conducted; (ii) assess their own work; (iii) act - as management or employees of the organizations they are serving; or (iv) place - themselves in advocacy positions for the organizations acquiring their - services.

- - -

Determine if the organization:

- - CA-7(1)[1] -

defines a level of independence to be employed to monitor the security controls - in the information system on an ongoing basis; and

- - - CA-7(1)[2] -

employs assessors or assessment teams with the organization-defined level of - independence to monitor the security controls in the information system on an - ongoing basis.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - - Types of Assessments - CA-7(2) - ca-07.02 - Withdrawn - CA-2 - - - Trend Analyses - CA-7(3) - ca-07.03 - -

The organization employs trend analyses to determine if security control - implementations, the frequency of continuous monitoring activities, and/or the - types of activities used in the continuous monitoring process need to be modified - based on empirical data.

- - -

Trend analyses can include, for example, examining recent threat information - regarding the types of threat events that have occurred within the organization or - across the federal government, success rates of certain types of cyber attacks, - emerging vulnerabilities in information technologies, evolving social engineering - techniques, results from multiple security control assessments, the effectiveness - of configuration settings, and findings from Inspectors General or auditors.

- - -

Determine if the organization employs trend analyses to determine if the following - items need to be modified based on empirical data:

- - CA-7(3)[1] -

security control implementations;

- - - CA-7(3)[2] -

the frequency of continuous monitoring activities; and/or

- - - CA-7(3)[3] -

the types of activities used in the continuous monitoring process.

- - - - EXAMINE - -

Continuous monitoring strategy

-

Security assessment and authorization policy

-

procedures addressing continuous monitoring of information system security - controls

-

security plan

-

security assessment report

-

plan of action and milestones

-

information system monitoring records

-

security impact analyses

-

status reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with continuous monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Penetration Testing - - - - - - - CA-8 - ca-08 - -

The organization conducts penetration testing on - .

- - -

Penetration testing is a specialized type of assessment conducted on information - systems or individual system components to identify vulnerabilities that could be - exploited by adversaries. Such testing can be used to either validate vulnerabilities - or determine the degree of resistance organizational information systems have to - adversaries within a set of specified constraints (e.g., time, resources, and/or - skills). Penetration testing attempts to duplicate the actions of adversaries in - carrying out hostile cyber attacks against organizations and provides a more in-depth - analysis of security-related weaknesses/deficiencies. Organizations can also use the - results of vulnerability analyses to support penetration testing activities. - Penetration testing can be conducted on the hardware, software, or firmware - components of an information system and can exercise both physical and technical - security controls. A standard method for penetration testing includes, for example: - (i) pretest analysis based on full knowledge of the target system; (ii) pretest - identification of potential vulnerabilities based on pretest analysis; and (iii) - testing designed to determine exploitability of identified vulnerabilities. All - parties agree to the rules of engagement before the commencement of penetration - testing scenarios. Organizations correlate the penetration testing rules of - engagement with the tools, techniques, and procedures that are anticipated to be - employed by adversaries carrying out attacks. Organizational risk assessments guide - decisions on the level of independence required for personnel conducting penetration - testing.

- SA-12 - - -

Determine if the organization:

- - CA-8[1] -

defines information systems or system components on which penetration testing is - to be conducted;

- - - CA-8[2] -

defines the frequency to conduct penetration testing on organization-defined - information systems or system components; and

- - - CA-8[3] -

conducts penetration testing on organization-defined information systems or system - components with the organization-defined frequency.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

security plan

-

security assessment plan

-

penetration test report

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities, - system/network administrators

- - - - TEST - -

Automated mechanisms supporting penetration testing

- - - - Independent Penetration Agent or Team - CA-8(1) - ca-08.01 - -

The organization employs an independent penetration agent or penetration team to - perform penetration testing on the information system or system components.

- - -

Independent penetration agents or teams are individuals or groups who conduct - impartial penetration testing of organizational information systems. Impartiality - implies that penetration agents or teams are free from any perceived or actual - conflicts of interest with regard to the development, operation, or management of - the information systems that are the targets of the penetration testing. - Supplemental guidance for CA-2 (1) provides additional information regarding - independent assessments that can be applied to penetration testing.

- CA-2 - - -

Determine if the organization employs an independent penetration agent or - penetration team to perform penetration testing on the information system or - system components.

- - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

security plan

-

security assessment plan

-

penetration test report

-

security assessment report

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Red Team Exercises - - - - - - - CA-8(2) - ca-08.02 - -

The organization employs to simulate attempts by - adversaries to compromise organizational information systems in accordance with - .

- - -

Red team exercises extend the objectives of penetration testing by examining the - security posture of organizations and their ability to implement effective cyber - defenses. As such, red team exercises reflect simulated adversarial attempts to - compromise organizational mission/business functions and provide a comprehensive - assessment of the security state of information systems and organizations. - Simulated adversarial attempts to compromise organizational missions/business - functions and the information systems that support those missions/functions may - include technology-focused attacks (e.g., interactions with hardware, software, or - firmware components and/or mission/business processes) and social - engineering-based attacks (e.g., interactions via email, telephone, shoulder - surfing, or personal conversations). While penetration testing may be largely - laboratory-based testing, organizations use red team exercises to provide more - comprehensive assessments that reflect real-world conditions. Red team exercises - can be used to improve security awareness and training and to assess levels of - security control effectiveness.

- - -

Determine if the organization:

- - CA-8(2)[1] -

defines red team exercises to be employed to simulate attempts by adversaries - to compromise organizational information systems;

- - - CA-8(2)[2] -

defines rules of engagement for employing organization-defined red team - exercises; and

- - - CA-8(2)[3] -

employs organization-defined red team exercises to simulate attempts by - adversaries to compromise organizational information systems in accordance with - organization-defined rules of engagement.

- - - - EXAMINE - -

Security assessment and authorization policy

-

procedures addressing penetration testing

-

procedures addressing red team exercises

-

security plan

-

security assessment plan

-

results of red team exercise

-

penetration test report

-

security assessment report

-

rules of engagement

-

security assessment evidence

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security assessment responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting employment of red team exercises

- - - - - - Internal System Connections - - - - CA-9 - ca-09 - -

The organization:

- - a. -

Authorizes internal connections of to the - information system; and

- - - b. -

Documents, for each internal connection, the interface characteristics, security - requirements, and the nature of the information communicated.

- - - -

This control applies to connections between organizational information systems and - (separate) constituent system components (i.e., intra-system connections) including, - for example, system connections with mobile devices, notebook/desktop computers, - printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of - authorizing each individual internal connection, organizations can authorize internal - connections for a class of components with common characteristics and/or - configurations, for example, all digital printers, scanners, and copiers with a - specified processing, storage, and transmission capability or all smart phones with a - specific baseline configuration.

- AC-3 - AC-4 - AC-18 - AC-19 - AU-2 - AU-12 - CA-7 - CM-2 - IA-3 - SC-7 - SI-4 - - -

Determine if the organization:

- - CA-9(a) - - CA-9(a)[1] -

defines information system components or classes of components to be authorized - as internal connections to the information system;

- - - CA-9(a)[2] -

authorizes internal connections of organization-defined information system - components or classes of components to the information system;

- - - - CA-9(b) -

documents, for each internal connection:

- - CA-9(b)[1] -

the interface characteristics;

- - - CA-9(b)[2] -

the security requirements; and

- - - CA-9(b)[3] -

the nature of the information communicated.

- - - - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of components or classes of components authorized as internal system - connections

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections

-

organizational personnel with information security responsibilities

- - - - Security Compliance Checks - CA-9(1) - ca-09.01 - -

The information system performs security compliance checks on constituent system - components prior to the establishment of the internal connection.

- - -

Security compliance checks may include, for example, verification of the relevant - baseline configuration.

- CM-6 - - -

Determine if the information system performs security compliance checks on - constituent system components prior to the establishment of the internal - connection.

- - - EXAMINE - -

Access control policy

-

procedures addressing information system connections

-

system and communications protection policy

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of components or classes of components authorized as internal system - connections

-

security assessment report

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, implementing, or - authorizing internal system connections

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting compliance checks

- - - - - - - Configuration Management - - Configuration Management Policy and Procedures - - - - - - - - - - CM-1 - cm-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A configuration management policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the configuration management - policy and associated configuration management controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Configuration management policy ; and

- - - 2. -

Configuration management procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CM - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - CM-1(a) - - CM-1(a)(1) - - CM-1(a)(1)[1] -

develops and documents a configuration management policy that addresses:

- - CM-1(a)(1)[1][a] -

purpose;

- - - CM-1(a)(1)[1][b] -

scope;

- - - CM-1(a)(1)[1][c] -

roles;

- - - CM-1(a)(1)[1][d] -

responsibilities;

- - - CM-1(a)(1)[1][e] -

management commitment;

- - - CM-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CM-1(a)(1)[1][g] -

compliance;

- - - - CM-1(a)(1)[2] -

defines personnel or roles to whom the configuration management policy is to - be disseminated;

- - - CM-1(a)(1)[3] -

disseminates the configuration management policy to organization-defined - personnel or roles;

- - - - CM-1(a)(2) - - CM-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - configuration management policy and associated configuration management - controls;

- - - CM-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - CM-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - CM-1(b) - - CM-1(b)(1) - - CM-1(b)(1)[1] -

defines the frequency to review and update the current configuration - management policy;

- - - CM-1(b)(1)[2] -

reviews and updates the current configuration management policy with the - organization-defined frequency;

- - - - CM-1(b)(2) - - CM-1(b)(2)[1] -

defines the frequency to review and update the current configuration - management procedures; and

- - - CM-1(b)(2)[2] -

reviews and updates the current configuration management procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Configuration management policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - - Baseline Configuration - CM-2 - cm-02 - NIST Special Publication 800-128 - -

The organization develops, documents, and maintains under configuration control, a - current baseline configuration of the information system.

- - -

This control establishes baseline configurations for information systems and system - components including communications and connectivity-related aspects of systems. - Baseline configurations are documented, formally reviewed and agreed-upon sets of - specifications for information systems or configuration items within those systems. - Baseline configurations serve as a basis for future builds, releases, and/or changes - to information systems. Baseline configurations include information about information - system components (e.g., standard software packages installed on workstations, - notebook computers, servers, network components, or mobile devices; current version - numbers and patch information on operating systems and applications; and - configuration settings/parameters), network topology, and the logical placement of - those components within the system architecture. Maintaining baseline configurations - requires creating new baselines as organizational information systems change over - time. Baseline configurations of information systems reflect the current enterprise - architecture.

- CM-3 - CM-6 - CM-8 - CM-9 - SA-10 - PM-5 - PM-7 - - -

Determine if the organization:

- - CM-2[1] -

develops and documents a current baseline configuration of the information system; - and

- - - CM-2[2] -

maintains, under configuration control, a current baseline configuration of the - information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

enterprise architecture documentation

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting configuration control of the baseline - configuration

- - - - Reviews and Updates - - - - - - - CM-2(1) - cm-02.01 - -

The organization reviews and updates the baseline configuration of the information - system:

- - (a) -

- ;

- - - (b) -

When required due to ; and

- - - (c) -

As an integral part of information system component installations and - upgrades.

- - - - CM-5 - - -

Determine if the organization:

- - CM-2(1)(a) - - CM-2(1)(a)[1] -

defines the frequency to review and update the baseline configuration of the - information system;

- - - CM-2(1)(a)[2] -

reviews and updates the baseline configuration of the information system - with the organization-defined frequency;

- - CM-2(1)(a) - - - CM-2(1)(b) - - CM-2(1)(b)[1] -

defines circumstances that require the baseline configuration of the - information system to be reviewed and updated;

- - - CM-2(1)(b)[2] -

reviews and updates the baseline configuration of the information system - when required due to organization-defined circumstances; and

- - CM-2(1)(b) - - - CM-2(1)(c) -

reviews and updates the baseline configuration of the information system as an - integral part of information system component installations and upgrades.

- CM-2(1)(c) - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing the baseline configuration of the information system

-

procedures addressing information system component installations and - upgrades

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of information system baseline configuration reviews and updates

-

information system component installations/upgrades and associated records

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms supporting review and update of the baseline - configuration

- - - - - Automation Support for Accuracy / Currency - CM-2(2) - cm-02.02 - -

The organization employs automated mechanisms to maintain an up-to-date, complete, - accurate, and readily available baseline configuration of the information - system.

- - -

Automated mechanisms that help organizations maintain consistent baseline - configurations for information systems include, for example, hardware and software - inventory tools, configuration management tools, and network management tools. - Such tools can be deployed and/or allocated as common controls, at the information - system level, or at the operating system or component level (e.g., on - workstations, servers, notebook computers, network components, or mobile devices). - Tools can be used, for example, to track version numbers on operating system - applications, types of software installed, and current patch levels. This control - enhancement can be satisfied by the implementation of CM-8 (2) for organizations - that choose to combine information system component inventory and baseline - configuration activities.

- CM-7 - RA-5 - - -

Determine if the organization employs automated mechanisms to maintain:

- - CM-2(2)[1] -

an up-to-date baseline configuration of the information system;

- - - CM-2(2)[2] -

a complete baseline configuration of the information system;

- - - CM-2(2)[3] -

an accurate baseline configuration of the information system; and

- - - CM-2(2)[4] -

a readily available baseline configuration of the information system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

configuration change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms implementing baseline configuration maintenance

- - - - - Retention of Previous Configurations - - - - CM-2(3) - cm-02.03 - -

The organization retains to support - rollback.

- - -

Retaining previous versions of baseline configurations to support rollback may - include, for example, hardware, software, firmware, configuration files, and - configuration records.

- - -

Determine if the organization:

- - CM-2(3)[1] -

defines previous versions of baseline configurations of the information system - to be retained to support rollback; and

- - - CM-2(3)[2] -

retains organization-defined previous versions of baseline configurations of - the information system to support rollback.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

copies of previous baseline configuration versions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

- - - - - Unauthorized Software - CM-2(4) - cm-02.04 - Withdrawn - CM-7 - - - Authorized Software - CM-2(5) - cm-02.05 - Withdrawn - CM-7 - - - Development and Test Environments - CM-2(6) - cm-02.06 - -

The organization maintains a baseline configuration for information system - development and test environments that is managed separately from the operational - baseline configuration.

- - -

Establishing separate baseline configurations for development, testing, and - operational environments helps protect information systems from - unplanned/unexpected events related to development and testing activities. - Separate baseline configurations allow organizations to apply the configuration - management that is most appropriate for each type of configuration. For example, - management of operational configurations typically emphasizes the need for - stability, while management of development/test configurations requires greater - flexibility. Configurations in the test environment mirror the configurations in - the operational environment to the extent practicable so that the results of the - testing are representative of the proposed changes to the operational systems. - This control enhancement requires separate configurations but not necessarily - separate physical environments.

- CM-4 - SC-3 - SC-7 - - -

Determine if the organization maintains a baseline configuration for information - system development and test environments that is managed separately from the - operational baseline configuration.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

-

automated mechanisms implementing separate baseline configurations for - development, test, and operational environments

- - - - - Configure Systems, Components, or Devices for High-risk Areas - - - - - - - - - - CM-2(7) - cm-02.07 - -

The organization:

- - (a) -

Issues with - to individuals traveling to locations that the organization deems to be of - significant risk; and

- - - (b) -

Applies to the devices when the individuals - return.

- - - -

When it is known that information systems, system components, or devices (e.g., - notebook computers, mobile devices) will be located in high-risk areas, additional - security controls may be implemented to counter the greater threat in such areas - coupled with the lack of physical security relative to organizational-controlled - areas. For example, organizational policies and procedures for notebook computers - used by individuals departing on and returning from travel include, for example, - determining which locations are of concern, defining required configurations for - the devices, ensuring that the devices are configured as intended before travel is - initiated, and applying specific safeguards to the device after travel is - completed. Specially configured notebook computers include, for example, computers - with sanitized hard drives, limited applications, and additional hardening (e.g., - more stringent configuration settings). Specified safeguards applied to mobile - devices upon return from travel include, for example, examining the device for - signs of physical tampering and purging/reimaging the hard disk drive. Protecting - information residing on mobile devices is covered in the media protection - family.

- - -

Determine if the organization:

- - CM-2(7)(a) - - CM-2(7)(a)[1] -

defines information systems, system components, or devices to be issued to - individuals traveling to locations that the organization deems to be of - significant risk;

- - - CM-2(7)(a)[2] -

defines configurations to be employed on organization-defined information - systems, system components, or devices issued to individuals traveling to - such locations;

- - - CM-2(7)(a)[3] -

issues organization-defined information systems, system components, or - devices with organization-defined configurations to individuals traveling to - locations that the organization deems to be of significant risk;

- - CM-2(7)(a) - - - CM-2(7)(b) - - CM-2(7)(b)[1] -

defines security safeguards to be applied to the devices when the - individuals return; and

- - - CM-2(7)(b)[2] -

applies organization-defined safeguards to the devices when the individuals - return.

- - CM-2(7)(b) - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing the baseline configuration of the information system

-

procedures addressing information system component installations and - upgrades

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of information system baseline configuration reviews and updates

-

information system component installations/upgrades and associated records

-

change control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing baseline configurations

- - - - - - Configuration Change Control - - - - - - - - - - - - - - - - CM-3 - cm-03 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Determines the types of changes to the information system that are - configuration-controlled;

- - - b. -

Reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses;

- - - c. -

Documents configuration change decisions associated with the information - system;

- - - d. -

Implements approved configuration-controlled changes to the information - system;

- - - e. -

Retains records of configuration-controlled changes to the information system for - ;

- - - f. -

Audits and reviews activities associated with configuration-controlled changes to - the information system; and

- - - g. -

Coordinates and provides oversight for configuration change control activities - through that convenes .

- - - -

Configuration change controls for organizational information systems involve the - systematic proposal, justification, implementation, testing, review, and disposition - of changes to the systems, including system upgrades and modifications. Configuration - change control includes changes to baseline configurations for components and - configuration items of information systems, changes to configuration settings for - information technology products (e.g., operating systems, applications, firewalls, - routers, and mobile devices), unscheduled/unauthorized changes, and changes to - remediate vulnerabilities. Typical processes for managing configuration changes to - information systems include, for example, Configuration Control Boards that approve - proposed changes to systems. For new development information systems or systems - undergoing major upgrades, organizations consider including representatives from - development organizations on the Configuration Control Boards. Auditing of changes - includes activities before and after changes are made to organizational information - systems and the auditing activities required to implement such changes.

- CA-7 - CM-2 - CM-4 - CM-5 - CM-6 - CM-9 - SA-10 - SI-2 - SI-12 - - -

Determine if the organization:

- - CM-3(a) -

determines the type of changes to the information system that must be - configuration-controlled;

- - - CM-3(b) -

reviews proposed configuration-controlled changes to the information system and - approves or disapproves such changes with explicit consideration for security - impact analyses;

- - - CM-3(c) -

documents configuration change decisions associated with the information - system;

- - - CM-3(d) -

implements approved configuration-controlled changes to the information - system;

- - - CM-3(e) - - CM-3(e)[1] -

defines a time period to retain records of configuration-controlled changes to - the information system;

- - - CM-3(e)[2] -

retains records of configuration-controlled changes to the information system - for the organization-defined time period;

- - - - CM-3(f) -

audits and reviews activities associated with configuration-controlled changes to - the information system;

- - - CM-3(g) - - CM-3(g)[1] -

defines a configuration change control element (e.g., committee, board) - responsible for coordinating and providing oversight for configuration change - control activities;

- - - CM-3(g)[2] -

defines the frequency with which the configuration change control element must - convene; and/or

- - - CM-3(g)[3] -

defines configuration change conditions that prompt the configuration change - control element to convene; and

- - - CM-3(g)[4] -

coordinates and provides oversight for configuration change control activities - through organization-defined configuration change control element that convenes - at organization-defined frequency and/or for any organization-defined - configuration change conditions.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

information system architecture and configuration documentation

-

security plan

-

change control records

-

information system audit records

-

change control audit and review reports

-

agenda /minutes from configuration change control oversight meetings

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

members of change control board or similar

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms that implement configuration change control

- - - - Automated Document / Notification / Prohibition of Changes - - - - - - - - - - CM-3(1) - cm-03.01 - -

The organization employs automated mechanisms to:

- - (a) -

Document proposed changes to the information system;

- - - (b) -

Notify of proposed changes to the information - system and request change approval;

- - - (c) -

Highlight proposed changes to the information system that have not been - approved or disapproved by ;

- - - (d) -

Prohibit changes to the information system until designated approvals are - received;

- - - (e) -

Document all changes to the information system; and

- - - (f) -

Notify when approved changes to the - information system are completed.

- - - -

Determine if the organization:

- - CM-3(1)(a) -

employs automated mechanisms to document proposed changes to the information - system;

- CM-3(1)(a) - - - CM-3(1)(b) - - CM-3(1)(b)[1] -

defines approval authorities to be notified of proposed changes to the - information system and request change approval;

- - - CM-3(1)(b)[2] -

employs automated mechanisms to notify organization-defined approval - authorities of proposed changes to the information system and request change - approval;

- - CM-3(1)(b) - - - CM-3(1)(c) - - CM-3(1)(c)[1] -

defines the time period within which proposed changes to the information - system that have not been approved or disapproved must be highlighted;

- - - CM-3(1)(c)[2] -

employs automated mechanisms to highlight proposed changes to the - information system that have not been approved or disapproved by - organization-defined time period;

- - CM-3(1)(c) - - - CM-3(1)(d) -

employs automated mechanisms to prohibit changes to the information system - until designated approvals are received;

- CM-3(1)(d) - - - CM-3(1)(e) -

employs automated mechanisms to document all changes to the information - system;

- CM-3(1)(e) - - - CM-3(1)(f) - - CM-3(1)(f)[1] -

defines personnel to be notified when approved changes to the information - system are completed; and

- - - CM-3(1)(f)[2] -

employs automated mechanisms to notify organization-defined personnel when - approved changes to the information system are completed.

- - CM-3(1)(f) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

automated configuration control mechanisms

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

change approval requests

-

change approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms implementing configuration change control activities

- - - - - Test / Validate / Document Changes - CM-3(2) - cm-03.02 - -

The organization tests, validates, and documents changes to the information system - before implementing the changes on the operational system.

- - -

Changes to information systems include modifications to hardware, software, or - firmware components and configuration settings defined in CM-6. Organizations - ensure that testing does not interfere with information system operations. - Individuals/groups conducting tests understand organizational security policies - and procedures, information system security policies and procedures, and the - specific health, safety, and environmental risks associated with particular - facilities/processes. Operational systems may need to be taken off-line, or - replicated to the extent feasible, before testing can be conducted. If information - systems must be taken off-line for testing, the tests are scheduled to occur - during planned system outages whenever possible. If testing cannot be conducted on - operational systems, organizations employ compensating controls (e.g., testing on - replicated systems).

- - -

Determine if the organization, before implementing changes on the operational - system:

- - CM-3(2)[1] -

tests changes to the information system;

- - - CM-3(2)[2] -

validates changes to the information system; and

- - - CM-3(2)[3] -

documents changes to the information system.

- - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing information system configuration change control

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

test records

-

validation records

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms supporting and/or implementing testing, validating, and - documenting information system changes

- - - - - Automated Change Implementation - CM-3(3) - cm-03.03 - -

The organization employs automated mechanisms to implement changes to the current - information system baseline and deploys the updated baseline across the installed - base.

- - -

Determine if the organization:

- - CM-3(3)[1] -

employs automated mechanisms to implement changes to the current information - system baseline; and

- - - CM-3(3)[2] -

deploys the updated baseline across the installed base.

- - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing information system configuration change control

-

information system design documentation

-

information system architecture and configuration documentation

-

automated configuration control mechanisms

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms implementing changes to current information system - baseline

- - - - - Security Representative - - - - CM-3(4) - cm-03.04 - -

The organization requires an information security representative to be a member of - the .

- - -

Information security representatives can include, for example, senior agency - information security officers, information system security officers, or - information system security managers. Representation by personnel with information - security expertise is important because changes to information system - configurations can have unintended side effects, some of which may be - security-relevant. Detecting such changes early in the process can help avoid - unintended, negative consequences that could ultimately affect the security state - of organizational information systems. The configuration change control element in - this control enhancement reflects the change control elements defined by - organizations in CM-3.

- - -

Determine if the organization:

- - CM-3(4)[1] -

specifies the configuration change control elements (as defined in CM-3g) of - which an information security representative is to be a member; and

- - - CM-3(4)[2] -

requires an information security representative to be a member of the specified - configuration control element.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for configuration change control

- - - - - Automated Security Response - - - - CM-3(5) - cm-03.05 - -

The information system implements automatically - if baseline configurations are changed in an unauthorized manner.

- - -

Security responses include, for example, halting information system processing, - halting selected system functions, or issuing alerts/notifications to - organizational personnel when there is an unauthorized modification of a - configuration item.

- - -

Determine if:

- - CM-3(5)[1] -

the organization defines security responses to be implemented automatically if - baseline configurations are changed in an unauthorized manner; and

- - - CM-3(5)[2] -

the information system implements organization-defined security responses - automatically if baseline configurations are changed in an unauthorized - manner.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of unauthorized baseline configuration changes

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for configuration change control

-

automated mechanisms implementing security responses to changes to the baseline - configurations

- - - - - Cryptography Management - - - - CM-3(6) - cm-03.06 - -

The organization ensures that cryptographic mechanisms used to provide are under configuration management.

- - -

Regardless of the cryptographic means employed (e.g., public key, private key, - shared secrets), organizations ensure that there are processes and procedures in - place to effectively manage those means. For example, if devices use certificates - as a basis for identification and authentication, there needs to be a process in - place to address the expiration of those certificates.

- SC-13 - - -

Determine if the organization:

- - CM-3(6)[1] -

defines security safeguards provided by cryptographic mechanisms that are to be - under configuration management; and

- - - CM-3(6)[2] -

ensures that cryptographic mechanisms used to provide organization-defined - security safeguards are under configuration management.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system configuration change control

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with configuration change control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for configuration change control

-

cryptographic mechanisms implementing organizational security safeguards

- - - - - - Security Impact Analysis - CM-4 - cm-04 - NIST Special Publication 800-128 - -

The organization analyzes changes to the information system to determine potential - security impacts prior to change implementation.

- - -

Organizational personnel with information security responsibilities (e.g., - Information System Administrators, Information System Security Officers, Information - System Security Managers, and Information System Security Engineers) conduct security - impact analyses. Individuals conducting security impact analyses possess the - necessary skills/technical expertise to analyze the changes to information systems - and the associated security ramifications. Security impact analysis may include, for - example, reviewing security plans to understand security control requirements and - reviewing system design documentation to understand control implementation and how - specific changes might affect the controls. Security impact analyses may also include - assessments of risk to better understand the impact of the changes and to determine - if additional security controls are required. Security impact analyses are scaled in - accordance with the security categories of the information systems.

- CA-2 - CA-7 - CM-3 - CM-9 - SA-4 - SA-5 - SA-10 - SI-2 - - -

Determine if the organization analyzes changes to the information system to determine - potential security impacts prior to change implementation.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

- - - - Separate Test Environments - CM-4(1) - cm-04.01 - -

The organization analyzes changes to the information system in a separate test - environment before implementation in an operational environment, looking for - security impacts due to flaws, weaknesses, incompatibility, or intentional - malice.

- - -

Separate test environment in this context means an environment that is physically - or logically isolated and distinct from the operational environment. The - separation is sufficient to ensure that activities in the test environment do not - impact activities in the operational environment, and information in the - operational environment is not inadvertently transmitted to the test environment. - Separate environments can be achieved by physical or logical means. If physically - separate test environments are not used, organizations determine the strength of - mechanism required when implementing logical separation (e.g., separation achieved - through virtual machines).

- SA-11 - SC-3 - SC-7 - - -

Determine if the organization:

- - CM-4(1)[1] -

analyzes changes to the information system in a separate test environment - before implementation in an operational environment;

- - - CM-4(1)[2] -

when analyzing changes to the information system in a separate test - environment, looks for security impacts due to:

- - CM-4(1)[2][a] -

flaws;

- - - CM-4(1)[2][b] -

weaknesses;

- - - CM-4(1)[2][c] -

incompatibility; and

- - - CM-4(1)[2][d] -

intentional malice.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs information system design - documentation

-

information system architecture and configuration documentation

-

change control records

-

information system audit records

-

documentation evidence of separate test and operational environments

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

-

automated mechanisms supporting and/or implementing security impact analysis of - changes

- - - - - Verification of Security Functions - CM-4(2) - cm-04.02 - -

The organization, after the information system is changed, checks the security - functions to verify that the functions are implemented correctly, operating as - intended, and producing the desired outcome with regard to meeting the security - requirements for the system.

- - -

Implementation is this context refers to installing changed code in the - operational information system.

- SA-11 - - -

Determine if the organization, after the information system is changed, checks the - security functions to verify that the functions are:

- - CM-4(2)[1] -

implemented correctly;

- - - CM-4(2)[2] -

operating as intended; and

- - - CM-4(2)[3] -

producing the desired outcome with regard to meeting the security requirements - for the system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing security impact analysis for changes to the information - system

-

configuration management plan

-

security impact analysis documentation

-

analysis tools and associated outputs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for conducting security impact - analysis

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for security impact analysis

-

automated mechanisms supporting and/or implementing verification of security - functions

- - - - - - Access Restrictions for Change - CM-5 - cm-05 - -

The organization defines, documents, approves, and enforces physical and logical - access restrictions associated with changes to the information system.

- - -

Any changes to the hardware, software, and/or firmware components of information - systems can potentially have significant effects on the overall security of the - systems. Therefore, organizations permit only qualified and authorized individuals to - access information systems for purposes of initiating changes, including upgrades and - modifications. Organizations maintain records of access to ensure that configuration - change control is implemented and to support after-the-fact actions should - organizations discover any unauthorized changes. Access restrictions for change also - include software libraries. Access restrictions include, for example, physical and - logical access controls (see AC-3 and PE-3), workflow automation, media libraries, - abstract layers (e.g., changes implemented into third-party interfaces rather than - directly into information systems), and change windows (e.g., changes occur only - during specified times, making unauthorized changes easy to discover).

- AC-3 - AC-6 - PE-3 - - -

Determine if the organization:

- - CM-5[1] -

defines physical access restrictions associated with changes to the information - system;

- - - CM-5[2] -

documents physical access restrictions associated with changes to the information - system;

- - - CM-5[3] -

approves physical access restrictions associated with changes to the information - system;

- - - CM-5[4] -

enforces physical access restrictions associated with changes to the information - system;

- - - CM-5[5] -

defines logical access restrictions associated with changes to the information - system;

- - - CM-5[6] -

documents logical access restrictions associated with changes to the information - system;

- - - CM-5[7] -

approves logical access restrictions associated with changes to the information - system; and

- - - CM-5[8] -

enforces logical access restrictions associated with changes to the information - system.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

logical access approvals

-

physical access approvals

-

access credentials

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with logical access control responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting/implementing/enforcing access restrictions - associated with changes to the information system

- - - - Automated Access Enforcement / Auditing - CM-5(1) - cm-05.01 - -

The information system enforces access restrictions and supports auditing of the - enforcement actions.

- - - AU-2 - AU-12 - AU-6 - CM-3 - CM-6 - - -

Determine if the information system:

- - CM-5(1)[1] -

enforces access restrictions for change; and

- - - CM-5(1)[2] -

supports auditing of the enforcement actions.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms implementing enforcement of access restrictions for - changes to the information system

-

automated mechanisms supporting auditing of enforcement actions

- - - - - Review System Changes - - - - - - - CM-5(2) - cm-05.02 - -

The organization reviews information system changes and to determine - whether unauthorized changes have occurred.

- - -

Indications that warrant review of information system changes and the specific - circumstances justifying such reviews may be obtained from activities carried out - by organizations during the configuration change process.

- AU-6 - AU-7 - CM-3 - CM-5 - PE-6 - PE-8 - - -

Determine if the organization, in an effort to ascertain whether unauthorized - changes have occurred:

- - CM-5(2)[1] -

defines the frequency to review information system changes;

- - - CM-5(2)[2] -

defines circumstances that warrant review of information system changes;

- - - CM-5(2)[3] -

reviews information system changes with the organization-defined frequency; - and

- - - CM-5(2)[4] -

reviews information system changes with the organization-defined - circumstances.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

reviews of information system changes

-

audit and review reports

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting/implementing information system reviews to - determine whether unauthorized changes have occurred

- - - - - Signed Components - - - - CM-5(3) - cm-05.03 - -

The information system prevents the installation of without verification that the component has been - digitally signed using a certificate that is recognized and approved by the - organization.

- - -

Software and firmware components prevented from installation unless signed with - recognized and approved certificates include, for example, software and firmware - version updates, patches, service packs, device drivers, and basic input output - system (BIOS) updates. Organizations can identify applicable software and firmware - components by type, by specific items, or a combination of both. Digital - signatures and organizational verification of such signatures, is a method of code - authentication.

- CM-7 - SC-13 - SI-7 - - -

Determine if:

- - CM-5(3)[1] -

the organization defines software and firmware components that the information - system will prevent from being installed without verification that such - components have been digitally signed using a certificate that is recognized - and approved by the organization; and

- - - CM-5(3)[2] -

the information system prevents the installation of organization-defined - software and firmware components without verification that such components have - been digitally signed using a certificate that is recognized and approved by - the organization.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

list of software and firmware components to be prohibited from installation - without a recognized and approved certificate

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms preventing installation of software and firmware - components not signed with an organization-recognized and approved - certificate

- - - - - Dual Authorization - - - - CM-5(4) - cm-05.04 - -

The organization enforces dual authorization for implementing changes to .

- - -

Organizations employ dual authorization to ensure that any changes to selected - information system components and information cannot occur unless two qualified - individuals implement such changes. The two individuals possess sufficient - skills/expertise to determine if the proposed changes are correct implementations - of approved changes. Dual authorization may also be known as two-person - control.

- AC-5 - CM-3 - - -

Determine if the organization:

- - CM-5(4)[1] -

defines information system components and system-level information requiring - dual authorization to be enforced when implementing changes; and

- - - CM-5(4)[2] -

enforces dual authorization for implementing changes to organization-defined - information system components and system-level information.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with dual authorization enforcement responsibilities - for implementing information system changes

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms implementing dual authorization enforcement

- - - - - Limit Production / Operational Privileges - - - - CM-5(5) - cm-05.05 - -

The organization:

- - (a) -

Limits privileges to change information system components and system-related - information within a production or operational environment; and

- - - (b) -

Reviews and reevaluates privileges .

- - - -

In many organizations, information systems support multiple core missions/business - functions. Limiting privileges to change information system components with - respect to operational systems is necessary because changes to a particular - information system component may have far-reaching effects on mission/business - processes supported by the system where the component resides. The complex, - many-to-many relationships between systems and mission/business processes are in - some cases, unknown to developers.

- AC-2 - - -

Determine if the organization:

- - CM-5(5)(a) -

limits privileges to change information system components and system-related - information within a production or operational environment;

- CM-5(5)(a) - - - CM-5(5)(b) - - CM-5(5)(b)[1] -

defines the frequency to review and reevaluate privileges; and

- - - CM-5(5)(b)[2] -

reviews and reevaluates privileges with the organization-defined - frequency.

- - CM-5(5)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

user privilege reviews

-

user privilege recertifications

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting and/or implementing access restrictions for - change

- - - - - Limit Library Privileges - CM-5(6) - cm-05.06 - -

The organization limits privileges to change software resident within software - libraries.

- - -

Software libraries include privileged programs.

- AC-2 - - -

Determine if the organization limits privileges to change software resident within - software libraries.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing access restrictions for changes to the information - system

-

configuration management plan

-

information system design documentation

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing access restrictions to change

-

automated mechanisms supporting and/or implementing access restrictions for - change

- - - - - Automatic Implementation of Security Safeguards - CM-5(7) - cm-05.07 - Withdrawn - SI-7 - - - - Configuration Settings - - - - - - - - - - CM-6 - cm-06 - OMB Memorandum 07-11 - OMB Memorandum 07-18 - OMB Memorandum 08-22 - NIST Special Publication 800-70 - NIST Special Publication 800-128 - http://nvd.nist.gov - http://checklists.nist.gov - http://www.nsa.gov - -

The organization:

- - a. -

Establishes and documents configuration settings for information technology - products employed within the information system using that reflect the most restrictive mode consistent with - operational requirements;

- - - b. -

Implements the configuration settings;

- - - c. -

Identifies, documents, and approves any deviations from established configuration - settings for based on ; and

- - - d. -

Monitors and controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - -

Configuration settings are the set of parameters that can be changed in hardware, - software, or firmware components of the information system that affect the security - posture and/or functionality of the system. Information technology products for which - security-related configuration settings can be defined include, for example, - mainframe computers, servers (e.g., database, electronic mail, authentication, web, - proxy, file, domain name), workstations, input/output devices (e.g., scanners, - copiers, and printers), network components (e.g., firewalls, routers, gateways, voice - and data switches, wireless access points, network appliances, sensors), operating - systems, middleware, and applications. Security-related parameters are those - parameters impacting the security state of information systems including the - parameters required to satisfy other security control requirements. Security-related - parameters include, for example: (i) registry settings; (ii) account, file, directory - permission settings; and (iii) settings for functions, ports, protocols, services, - and remote connections. Organizations establish organization-wide configuration - settings and subsequently derive specific settings for information systems. The - established settings become part of the systems configuration baseline. Common secure - configurations (also referred to as security configuration checklists, lockdown and - hardening guides, security reference guides, security technical implementation - guides) provide recognized, standardized, and established benchmarks that stipulate - secure configuration settings for specific information technology platforms/products - and instructions for configuring those information system components to meet - operational requirements. Common secure configurations can be developed by a variety - of organizations including, for example, information technology product developers, - manufacturers, vendors, consortia, academia, industry, federal agencies, and other - organizations in the public and private sectors. Common secure configurations include - the United States Government Configuration Baseline (USGCB) which affects the - implementation of CM-6 and other controls such as AC-19 and CM-7. The Security - Content Automation Protocol (SCAP) and the defined standards within the protocol - (e.g., Common Configuration Enumeration) provide an effective method to uniquely - identify, track, and control configuration settings. OMB establishes federal policy - on configuration requirements for federal information systems.

- AC-19 - CM-2 - CM-3 - CM-7 - SI-4 - - -

Determine if the organization:

- - CM-6(a) - - CM-6(a)[1] -

defines security configuration checklists to be used to establish and document - configuration settings for the information technology products employed;

- - - CM-6(a)[2] -

ensures the defined security configuration checklists reflect the most - restrictive mode consistent with operational requirements;

- - - CM-6(a)[3] -

establishes and documents configuration settings for information technology - products employed within the information system using organization-defined - security configuration checklists;

- - - - CM-6(b) -

implements the configuration settings established/documented in CM-6(a);;

- - - CM-6(c) - - CM-6(c)[1] -

defines information system components for which any deviations from established - configuration settings must be:

- - CM-6(c)[1][a] -

identified;

- - - CM-6(c)[1][b] -

documented;

- - - CM-6(c)[1][c] -

approved;

- - - - CM-6(c)[2] -

defines operational requirements to support:

- - CM-6(c)[2][a] -

the identification of any deviations from established configuration - settings;

- - - CM-6(c)[2][b] -

the documentation of any deviations from established configuration - settings;

- - - CM-6(c)[2][c] -

the approval of any deviations from established configuration settings;

- - - - CM-6(c)[3] -

identifies any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - CM-6(c)[4] -

documents any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - CM-6(c)[5] -

approves any deviations from established configuration settings for - organization-defined information system components based on - organizational-defined operational requirements;

- - - - CM-6(d) - - CM-6(d)[1] -

monitors changes to the configuration settings in accordance with - organizational policies and procedures; and

- - - CM-6(d)[2] -

controls changes to the configuration settings in accordance with - organizational policies and procedures.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

evidence supporting approved deviations from established configuration - settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms that implement, monitor, and/or control information system - configuration settings

-

automated mechanisms that identify and/or document deviations from established - configuration settings

- - - - Automated Central Management / Application / Verification - - - - CM-6(1) - cm-06.01 - -

The organization employs automated mechanisms to centrally manage, apply, and - verify configuration settings for .

- - - CA-7 - CM-4 - - -

Determine if the organization:

- - CM-6(1)[1] -

defines information system components for which automated mechanisms are to be - employed to:

- - CM-6(1)[1][a] -

centrally manage configuration settings of such components;

- - - CM-6(1)[1][b] -

apply configuration settings of such components;

- - - CM-6(1)[1][c] -

verify configuration settings of such components;

- - - - CM-6(1)[2] -

employs automated mechanisms to:

- - CM-6(1)[2][a] -

centrally manage configuration settings for organization-defined information - system components;

- - - CM-6(1)[2][b] -

apply configuration settings for organization-defined information system - components; and

- - - CM-6(1)[2][c] -

verify configuration settings for organization-defined information system - components.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for managing configuration settings

-

automated mechanisms implemented to centrally manage, apply, and verify - information system configuration settings

- - - - - Respond to Unauthorized Changes - - - - - - - CM-6(2) - cm-06.02 - -

The organization employs to respond to - unauthorized changes to .

- - -

Responses to unauthorized changes to configuration settings can include, for - example, alerting designated organizational personnel, restoring established - configuration settings, or in extreme cases, halting affected information system - processing.

- IR-4 - SI-7 - - -

Determine if the organization:

- - CM-6(2)[1] -

defines configuration settings that, if modified by unauthorized changes, - result in organizational security safeguards being employed to respond to such - changes;

- - - CM-6(2)[2] -

defines security safeguards to be employed to respond to unauthorized changes - to organization-defined configuration settings; and

- - - CM-6(2)[3] -

employs organization-defined security safeguards to respond to unauthorized - changes to organization-defined configuration settings.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration settings for the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of unauthorized changes to information system - configuration settings

-

documented responses to unauthorized changes to information system - configuration settings

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for responding to unauthorized changes to information - system configuration settings

-

automated mechanisms supporting and/or implementing security safeguards for - response to unauthorized changes

- - - - - Unauthorized Change Detection - CM-6(3) - cm-06.03 - Withdrawn - SI-7 - - - Conformance Demonstration - CM-6(4) - cm-06.04 - Withdrawn - CM-4 - - - - Least Functionality - - - - CM-7 - cm-07 - DoD Instruction 8551.01 - -

The organization:

- - a. -

Configures the information system to provide only essential capabilities; and

- - - b. -

Prohibits or restricts the use of the following functions, ports, protocols, - and/or services: .

- - - -

Information systems can provide a wide variety of functions and services. Some of the - functions and services, provided by default, may not be necessary to support - essential organizational operations (e.g., key missions, functions). Additionally, it - is sometimes convenient to provide multiple services from single information system - components, but doing so increases risk over limiting the services provided by any - one component. Where feasible, organizations limit component functionality to a - single function per device (e.g., email servers or web servers, but not both). - Organizations review functions and services provided by information systems or - individual components of information systems, to determine which functions and - services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant - Messaging, auto-execute, and file sharing). Organizations consider disabling unused - or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File - Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to - prevent unauthorized connection of devices, unauthorized transfer of information, or - unauthorized tunneling. Organizations can utilize network scanning tools, intrusion - detection and prevention systems, and end-point protections such as firewalls and - host-based intrusion detection systems to identify and prevent the use of prohibited - functions, ports, protocols, and services.

- AC-6 - CM-2 - RA-5 - SA-5 - SC-7 - - -

Determine if the organization:

- - CM-7(a) -

configures the information system to provide only essential capabilities;

- - - CM-7(b) - - CM-7(b)[1] -

defines prohibited or restricted:

- - CM-7(b)[1][a] -

functions;

- - - CM-7(b)[1][b] -

ports;

- - - CM-7(b)[1][c] -

protocols; and/or

- - - CM-7(b)[1][d] -

services;

- - - - CM-7(b)[2] -

prohibits or restricts the use of organization-defined:

- - CM-7(b)[2][a] -

functions;

- - - CM-7(b)[2][b] -

ports;

- - - CM-7(b)[2][c] -

protocols; and/or

- - - CM-7(b)[2][d] -

services.

- - - - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing least functionality in the information system

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security configuration management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes prohibiting or restricting functions, ports, protocols, - and/or services

-

automated mechanisms implementing restrictions or prohibition of functions, ports, - protocols, and/or services

- - - - Periodic Review - - - - - - - CM-7(1) - cm-07.01 - -

The organization:

- - (a) -

Reviews the information system to identify - unnecessary and/or nonsecure functions, ports, protocols, and services; and

- - - (b) -

Disables .

- - - -

The organization can either make a determination of the relative security of the - function, port, protocol, and/or service or base the security decision on the - assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are - examples of less than secure protocols.

- AC-18 - CM-7 - IA-2 - - -

Determine if the organization:

- - CM-7(1)(a) - - CM-7(1)(a)[1] -

defines the frequency to review the information system to identify - unnecessary and/or nonsecure:

- - CM-7(1)(a)[1][a] -

functions;

- - - CM-7(1)(a)[1][b] -

ports;

- - - CM-7(1)(a)[1][c] -

protocols; and/or

- - - CM-7(1)(a)[1][d] -

services;

- - - - CM-7(1)(a)[2] -

reviews the information system with the organization-defined frequency to - identify unnecessary and/or nonsecure:

- - CM-7(1)(a)[2][a] -

functions;

- - - CM-7(1)(a)[2][b] -

ports;

- - - CM-7(1)(a)[2][c] -

protocols; and/or

- - - CM-7(1)(a)[2][d] -

services;

- - - CM-7(1)(a) - - - CM-7(1)(b) - - CM-7(1)(b)[1] -

defines, within the information system, unnecessary and/or nonsecure:

- - CM-7(1)(b)[1][a] -

functions;

- - - CM-7(1)(b)[1][b] -

ports;

- - - CM-7(1)(b)[1][c] -

protocols; and/or

- - - CM-7(1)(b)[1][d] -

services;

- - - - CM-7(1)(b)[2] -

disables organization-defined unnecessary and/or nonsecure:

- - CM-7(1)(b)[2][a] -

functions;

- - - CM-7(1)(b)[2][b] -

ports;

- - - CM-7(1)(b)[2][c] -

protocols; and/or

- - - CM-7(1)(b)[2][d] -

services.

- - - CM-7(1)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security configuration checklists

-

documented reviews of functions, ports, protocols, and/or services

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for reviewing functions, ports, - protocols, and services on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for reviewing/disabling nonsecure functions, ports, - protocols, and/or services

-

automated mechanisms implementing review and disabling of nonsecure functions, - ports, protocols, and/or services

- - - - - Prevent Program Execution - - - - - - - CM-7(2) - cm-07.02 - -

The information system prevents program execution in accordance with .

- - - CM-8 - PM-5 - - -

Determine if:

- - CM-7(2)[1] -

the organization defines policies regarding software program usage and - restrictions;

- - - CM-7(2)[2] -

the information system prevents program execution in accordance with one or - more of the following:

- - CM-7(2)[2][a] -

organization-defined policies regarding program usage and restrictions; - and/or

- - - CM-7(2)[2][b] -

rules authorizing the terms and conditions of software program usage.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system design documentation

-

specifications for preventing software program execution

-

information system configuration settings and associated documentation

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes preventing program execution on the information - system

-

organizational processes for software program usage and restrictions

-

automated mechanisms preventing program execution on the information system

-

automated mechanisms supporting and/or implementing software program usage and - restrictions

- - - - - Registration Compliance - - - - CM-7(3) - cm-07.03 - -

The organization ensures compliance with .

- - -

Organizations use the registration process to manage, track, and provide oversight - for information systems and implemented functions, ports, protocols, and - services.

- - -

Determine if the organization:

- - CM-7(3)[1] -

defines registration requirements for:

- - CM-7(3)[1][a] -

functions;

- - - CM-7(3)[1][b] -

ports;

- - - CM-7(3)[1][c] -

protocols; and/or

- - - CM-7(3)[1][d] -

services;

- - - - CM-7(3)[2] -

ensures compliance with organization-defined registration requirements for:

- - CM-7(3)[2][a] -

functions;

- - - CM-7(3)[2][b] -

ports;

- - - CM-7(3)[2][c] -

protocols; and/or

- - - CM-7(3)[2][d] -

services.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

security plan

-

information system configuration settings and associated documentation

-

audit and compliance reviews

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes ensuring compliance with registration requirements for - functions, ports, protocols, and/or services

-

automated mechanisms implementing compliance with registration requirements for - functions, ports, protocols, and/or services

- - - - - Unauthorized Software / Blacklisting - - - - - - - CM-7(4) - cm-07.04 - -

The organization:

- - (a) -

Identifies ;

- - - (b) -

Employs an allow-all, deny-by-exception policy to prohibit the execution of - unauthorized software programs on the information system; and

- - - (c) -

Reviews and updates the list of unauthorized software programs .

- - - -

The process used to identify software programs that are not authorized to execute - on organizational information systems is commonly referred to as blacklisting. - Organizations can implement CM-7 (5) instead of this control enhancement if - whitelisting (the stronger of the two policies) is the preferred approach for - restricting software program execution.

- CM-6 - CM-8 - PM-5 - - -

Determine if the organization:

- - CM-7(4)(a) -

Identifies/defines software programs not authorized to execute on the - information system;

- CM-7(4)(a) - - - CM-7(4)(b) -

employs an allow-all, deny-by-exception policy to prohibit the execution of - unauthorized software programs on the information system;

- CM-7(4)(b) - - - CM-7(4)(c) - - CM-7(4)(c)[1] -

defines the frequency to review and update the list of unauthorized software - programs on the information system; and

- - - CM-7(4)(c)[2] -

reviews and updates the list of unauthorized software programs with the - organization-defined frequency.

- - CM-7(4)(c) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of software programs not authorized to execute on the information - system

-

security configuration checklists

-

review and update records associated with list of unauthorized software - programs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for identifying software not - authorized to execute on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for identifying, reviewing, and updating programs not - authorized to execute on the information system

-

organizational process for implementing blacklisting

-

automated mechanisms supporting and/or implementing blacklisting

- - - - - Authorized Software / Whitelisting - - - - - - - CM-7(5) - cm-07.05 - -

The organization:

- - (a) -

Identifies ;

- - - (b) -

Employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system; and

- - - (c) -

Reviews and updates the list of authorized software programs .

- - - -

The process used to identify software programs that are authorized to execute on - organizational information systems is commonly referred to as whitelisting. In - addition to whitelisting, organizations consider verifying the integrity of - white-listed software programs using, for example, cryptographic checksums, - digital signatures, or hash functions. Verification of white-listed software can - occur either prior to execution or at system startup.

- CM-2 - CM-6 - CM-8 - PM-5 - SA-10 - SC-34 - SI-7 - - -

Determine if the organization:

- - CM-7(5)(a) -

Identifies/defines software programs authorized to execute on the information - system;

- CM-7(5)(a) - - - CM-7(5)(b) -

employs a deny-all, permit-by-exception policy to allow the execution of - authorized software programs on the information system;

- CM-7(5)(b) - - - CM-7(5)(c) - - CM-7(5)(c)[1] -

defines the frequency to review and update the list of authorized software - programs on the information system; and

- - - CM-7(5)(c)[2] -

reviews and updates the list of authorized software programs with the - organization-defined frequency.

- - CM-7(5)(c) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing least functionality in the information system

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of software programs authorized to execute on the information system

-

security configuration checklists

-

review and update records associated with list of authorized software - programs

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for identifying software - authorized to execute on the information system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for identifying, reviewing, and updating programs - authorized to execute on the information system

-

organizational process for implementing whitelisting

-

automated mechanisms implementing whitelisting

- - - - - - Information System Component Inventory - - - - - - - CM-8 - cm-08 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Develops and documents an inventory of information system components that:

- - 1. -

Accurately reflects the current information system;

- - - 2. -

Includes all components within the authorization boundary of the information - system;

- - - 3. -

Is at the level of granularity deemed necessary for tracking and reporting; - and

- - - 4. -

Includes ; and

- - - - b. -

Reviews and updates the information system component inventory .

- - - -

Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. In - such situations, organizations ensure that the resulting inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner). Information deemed - necessary for effective accountability of information system components includes, for - example, hardware inventory specifications, software license information, software - version numbers, component owners, and for networked components or devices, machine - names and network addresses. Inventory specifications include, for example, - manufacturer, device type, model, serial number, and physical location.

- CM-2 - CM-6 - PM-5 - - -

Determine if the organization:

- - CM-8(a) - - CM-8(a)(1) -

develops and documents an inventory of information system components that - accurately reflects the current information system;

- - - CM-8(a)(2) -

develops and documents an inventory of information system components that - includes all components within the authorization boundary of the information - system;

- - - CM-8(a)(3) -

develops and documents an inventory of information system components that is at - the level of granularity deemed necessary for tracking and reporting;

- - - CM-8(a)(4) - - CM-8(a)(4)[1] -

defines the information deemed necessary to achieve effective information - system component accountability;

- - - CM-8(a)(4)[2] -

develops and documents an inventory of information system components that - includes organization-defined information deemed necessary to achieve - effective information system component accountability;

- - - - - CM-8(b) - - CM-8(b)[1] -

defines the frequency to review and update the information system component - inventory; and

- - - CM-8(b)[2] -

reviews and updates the information system component inventory with the - organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system component - inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting an inventory of - information system components

-

automated mechanisms supporting and/or implementing the information system - component inventory

- - - - Updates During Installations / Removals - CM-8(1) - cm-08.01 - -

The organization updates the inventory of information system components as an - integral part of component installations, removals, and information system - updates.

- - -

Determine if the organization updates the inventory of information system - components as an integral part of:

- - CM-8(1)[1] -

component installations;

- - - CM-8(1)[2] -

component removals; and

- - - CM-8(1)[3] -

information system updates.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

inventory reviews and update records

-

component installation records

-

component removal records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for updating the information - system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for updating inventory of information system - components

-

automated mechanisms implementing updating of the information system component - inventory

- - - - - Automated Maintenance - CM-8(2) - cm-08.02 - -

The organization employs automated mechanisms to help maintain an up-to-date, - complete, accurate, and readily available inventory of information system - components.

- - -

Organizations maintain information system inventories to the extent feasible. - Virtual machines, for example, can be difficult to monitor because such machines - are not visible to the network when not in use. In such cases, organizations - maintain as up-to-date, complete, and accurate an inventory as is deemed - reasonable. This control enhancement can be satisfied by the implementation of - CM-2 (2) for organizations that choose to combine information system component - inventory and baseline configuration activities.

- SI-7 - - -

Determine if the organization employs automated mechanisms to maintain an - inventory of information system components that is:

- - CM-8(2)[1] -

up-to-date;

- - - CM-8(2)[2] -

complete;

- - - CM-8(2)[3] -

accurate; and

- - - CM-8(2)[4] -

readily available.

- - - - EXAMINE - -

Configuration management policy

-

configuration management plan

-

procedures addressing information system component inventory

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

change control records

-

information system maintenance records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the automated - mechanisms implementing the information system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - Automated Unauthorized Component Detection - - - - - - - - - - CM-8(3) - cm-08.03 - -

The organization:

- - (a) -

Employs automated mechanisms to detect the - presence of unauthorized hardware, software, and firmware components within the - information system; and

- - - (b) -

Takes the following actions when unauthorized components are detected: .

- - - -

This control enhancement is applied in addition to the monitoring for unauthorized - remote connections and mobile devices. Monitoring for unauthorized system - components may be accomplished on an ongoing basis or by the periodic scanning of - systems for that purpose. Automated mechanisms can be implemented within - information systems or in other separate devices. Isolation can be achieved, for - example, by placing unauthorized information system components in separate domains - or subnets or otherwise quarantining such components. This type of component - isolation is commonly referred to as sandboxing.

- AC-17 - AC-18 - AC-19 - CA-7 - SI-3 - SI-4 - SI-7 - RA-5 - - -

Determine if the organization:

- - CM-8(3)(a) - - CM-8(3)(a)[1] -

defines the frequency to employ automated mechanisms to detect the presence - of unauthorized:

- - CM-8(3)(a)[1][a] -

hardware components within the information system;

- - - CM-8(3)(a)[1][b] -

software components within the information system;

- - - CM-8(3)(a)[1][c] -

firmware components within the information system;

- - - - CM-8(3)(a)[2] -

employs automated mechanisms with the organization-defined frequency to - detect the presence of unauthorized:

- - CM-8(3)(a)[2][a] -

hardware components within the information system;

- - - CM-8(3)(a)[2][b] -

software components within the information system;

- - - CM-8(3)(a)[2][c] -

firmware components within the information system;

- - - CM-8(3)(a) - - - CM-8(3)(b) - - CM-8(3)(b)[1] -

defines personnel or roles to be notified when unauthorized components are - detected;

- - - CM-8(3)(b)[2] -

takes one or more of the following actions when unauthorized components are - detected:

- - CM-8(3)(b)[2][a] -

disables network access by such components;

- - - CM-8(3)(b)[2][b] -

isolates the components; and/or

- - - CM-8(3)(b)[2][c] -

notifies organization-defined personnel or roles.

- - - CM-8(3)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

alerts/notifications of unauthorized components within the information - system

-

information system monitoring records

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the automated - mechanisms implementing unauthorized information system component detection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for detection of unauthorized information system - components

-

automated mechanisms implementing the detection of unauthorized information - system components

- - - - - Accountability Information - - - - CM-8(4) - cm-08.04 - -

The organization includes in the information system component inventory - information, a means for identifying by , - individuals responsible/accountable for administering those components.

- - -

Identifying individuals who are both responsible and accountable for administering - information system components helps to ensure that the assigned components are - properly administered and organizations can contact those individuals if some - action is required (e.g., component is determined to be the source of a - breach/compromise, component needs to be recalled/replaced, or component needs to - be relocated).

- - -

Determine if the organization includes in the information system component - inventory for information system components, a means for identifying the - individuals responsible and accountable for administering those components by one - or more of the following:

- - CM-8(4)[1] -

name;

- - - CM-8(4)[2] -

position; and/or

- - - CM-8(4)[3] -

role.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for managing the information - system component inventory

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - No Duplicate Accounting of Components - CM-8(5) - cm-08.05 - -

The organization verifies that all components within the authorization boundary of - the information system are not duplicated in other information system component - inventories.

- - -

This control enhancement addresses the potential problem of duplicate accounting - of information system components in large or complex interconnected systems.

- - -

Determine if the organization verifies that all components within the - authorization boundary of the information system are not duplicated in other - information system inventories.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system inventory responsibilities

-

organizational personnel with responsibilities for defining information system - components within the authorization boundary of the system

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - Assessed Configurations / Approved Deviations - CM-8(6) - cm-08.06 - -

The organization includes assessed component configurations and any approved - deviations to current deployed configurations in the information system component - inventory.

- - -

This control enhancement focuses on configuration settings established by - organizations for information system components, the specific components that have - been assessed to determine compliance with the required configuration settings, - and any approved deviations from established configuration settings.

- CM-2 - CM-6 - - -

Determine if the organization includes in the information system component - inventory:

- - CM-8(6)[1] -

assessed component configurations; and

- - - CM-8(6)[2] -

any approved deviations to current deployed configurations.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with inventory management and assessment - responsibilities for information system components

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for maintaining the inventory of information system - components

-

automated mechanisms implementing the information system component - inventory

- - - - - Centralized Repository - CM-8(7) - cm-08.07 - -

The organization provides a centralized repository for the inventory of - information system components.

- - -

Organizations may choose to implement centralized information system component - inventories that include components from all organizational information systems. - Centralized repositories of information system component inventories provide - opportunities for efficiencies in accounting for organizational hardware, - software, and firmware assets. Such repositories may also help organizations - rapidly identify the location and responsible individuals of system components - that have been compromised, breached, or are otherwise in need of mitigation - actions. Organizations ensure that the resulting centralized inventories include - system-specific information required for proper component accountability (e.g., - information system association, information system owner).

- - -

Determine if the organization provides a centralized repository for the inventory - of information system components.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

information system design documentation

-

information system inventory repository

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with inventory management responsibilities for - information system components

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms implementing the information system component inventory in - a centralized repository

- - - - - Automated Location Tracking - CM-8(8) - cm-08.08 - -

The organization employs automated mechanisms to support tracking of information - system components by geographic location.

- - -

The use of automated mechanisms to track the location of information system - components can increase the accuracy of component inventories. Such capability may - also help organizations rapidly identify the location and responsible individuals - of system components that have been compromised, breached, or are otherwise in - need of mitigation actions.

- - -

Determine if the organization employs automated mechanisms to support tracking of - information system components by geographic location.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system inventory records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with inventory management responsibilities for - information system components

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing the information system component - inventory

-

automated mechanisms supporting tracking of information system components by - geographic location

- - - - - Assignment of Components to Systems - - - - CM-8(9) - cm-08.09 - -

The organization:

- - (a) -

Assigns to an information system; and

- - - (b) -

Receives an acknowledgement from the information system owner of this - assignment.

- - - -

Organizations determine the criteria for or types of information system components - (e.g., microprocessors, motherboards, software, programmable logic controllers, - and network devices) that are subject to this control enhancement.

- SA-4 - - -

Determine if the organization:

- - CM-8(9)(a) - - CM-8(9)(a)[1] -

defines acquired information system components to be assigned to an - information system; and

- - - CM-8(9)(a)[2] -

assigns organization-defined acquired information system components to an - information system; and

- - CM-8(9)(a) - - - CM-8(9)(b) -

receives an acknowledgement from the information system owner of the - assignment.

- CM-8(9)(b) - - - - EXAMINE - -

Configuration management policy

-

procedures addressing information system component inventory

-

configuration management plan

-

security plan

-

information system design documentation

-

acknowledgements of information system component assignments

-

information system inventory records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with inventory management responsibilities for - information system components

-

information system owner

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for assigning components to systems

-

organizational processes for acknowledging assignment of components to - systems

-

automated mechanisms implementing assignment of acquired components to the - information system

-

automated mechanisms implementing acknowledgment of assignment of acquired - components to the information system

- - - - - - Configuration Management Plan - CM-9 - cm-09 - NIST Special Publication 800-128 - -

The organization develops, documents, and implements a configuration management plan - for the information system that:

- - a. -

Addresses roles, responsibilities, and configuration management processes and - procedures;

- - - b. -

Establishes a process for identifying configuration items throughout the system - development life cycle and for managing the configuration of the configuration - items;

- - - c. -

Defines the configuration items for the information system and places the - configuration items under configuration management; and

- - - d. -

Protects the configuration management plan from unauthorized disclosure and - modification.

- - - -

Configuration management plans satisfy the requirements in configuration management - policies while being tailored to individual information systems. Such plans define - detailed processes and procedures for how configuration management is used to support - system development life cycle activities at the information system level. - Configuration management plans are typically developed during the - development/acquisition phase of the system development life cycle. The plans - describe how to move changes through change management processes, how to update - configuration settings and baselines, how to maintain information system component - inventories, how to control development, test, and operational environments, and how - to develop, release, and update key documents. Organizations can employ templates to - help ensure consistent and timely development and implementation of configuration - management plans. Such templates can represent a master configuration management plan - for the organization at large with subsets of the plan implemented on a system by - system basis. Configuration management approval processes include designation of key - management stakeholders responsible for reviewing and approving proposed changes to - information systems, and personnel that conduct security impact analyses prior to the - implementation of changes to the systems. Configuration items are the information - system items (hardware, software, firmware, and documentation) to be - configuration-managed. As information systems continue through the system development - life cycle, new configuration items may be identified and some existing configuration - items may no longer need to be under configuration control.

- CM-2 - CM-3 - CM-4 - CM-5 - CM-8 - SA-10 - - -

Determine if the organization develops, documents, and implements a configuration - management plan for the information system that:

- - CM-9(a) - - CM-9(a)[1] -

addresses roles;

- - - CM-9(a)[2] -

addresses responsibilities;

- - - CM-9(a)[3] -

addresses configuration management processes and procedures;

- - - - CM-9(b) -

establishes a process for:

- - CM-9(b)[1] -

identifying configuration items throughout the SDLC;

- - - CM-9(b)[2] -

managing the configuration of the configuration items;

- - - - CM-9(c) - - CM-9(c)[1] -

defines the configuration items for the information system;

- - - CM-9(c)[2] -

places the configuration items under configuration management;

- - - - CM-9(d) -

protects the configuration management plan from unauthorized:

- - CM-9(d)[1] -

disclosure; and

- - - CM-9(d)[2] -

modification.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing configuration management planning

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for developing the configuration - management plan

-

organizational personnel with responsibilities for implementing and managing - processes defined in the configuration management plan

-

organizational personnel with responsibilities for protecting the configuration - management plan

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for developing and documenting the configuration - management plan

-

organizational processes for identifying and managing configuration items

-

organizational processes for protecting the configuration management plan

-

automated mechanisms implementing the configuration management plan

-

automated mechanisms for managing configuration items

-

automated mechanisms for protecting the configuration management plan

- - - - Assignment of Responsibility - CM-9(1) - cm-09.01 - -

The organization assigns responsibility for developing the configuration - management process to organizational personnel that are not directly involved in - information system development.

- - -

In the absence of dedicated configuration management teams assigned within - organizations, system developers may be tasked to develop configuration management - processes using personnel who are not directly involved in system development or - integration. This separation of duties ensures that organizations establish and - maintain a sufficient degree of independence between the information system - development and integration processes and configuration management processes to - facilitate quality control and more effective oversight.

- - -

Determine if the organization assigns responsibility for developing the - configuration management process to organizational personnel that are not directly - involved in information system development.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing responsibilities for configuration management process - development

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for configuration management - process development

-

organizational personnel with information security responsibilities

- - - - - - Software Usage Restrictions - CM-10 - cm-10 - -

The organization:

- - a. -

Uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - b. -

Tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - c. -

Controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - -

Software license tracking can be accomplished by manual methods (e.g., simple - spreadsheets) or automated methods (e.g., specialized tracking applications) - depending on organizational needs.

- AC-17 - CM-8 - SC-7 - - -

Determine if the organization:

- - CM-10(a) -

uses software and associated documentation in accordance with contract agreements - and copyright laws;

- - - CM-10(b) -

tracks the use of software and associated documentation protected by quantity - licenses to control copying and distribution; and

- - - CM-10(c) -

controls and documents the use of peer-to-peer file sharing technology to ensure - that this capability is not used for the unauthorized distribution, display, - performance, or reproduction of copyrighted work.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing software usage restrictions

-

configuration management plan

-

security plan

-

software contract agreements and copyright laws

-

site license documentation

-

list of software usage restrictions

-

software license tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with software license management responsibilities

- - - - TEST - -

Organizational process for tracking the use of software protected by quantity - licenses

-

organization process for controlling/documenting the use of peer-to-peer file - sharing technology

-

automated mechanisms implementing software license tracking

-

automated mechanisms implementing and controlling the use of peer-to-peer files - sharing technology

- - - - Open Source Software - - - - CM-10(1) - cm-10.01 - -

The organization establishes the following restrictions on the use of open source - software: .

- - -

Open source software refers to software that is available in source code form. - Certain software rights normally reserved for copyright holders are routinely - provided under software license agreements that permit individuals to study, - change, and improve the software. From a security perspective, the major advantage - of open source software is that it provides organizations with the ability to - examine the source code. However, there are also various licensing issues - associated with open source software including, for example, the constraints on - derivative use of such software.

- - -

Determine if the organization:

- - CM-10(1)[1] -

defines restrictions on the use of open source software; and

- - - CM-10(1)[2] -

establishes organization-defined restrictions on the use of open source - software.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing restrictions on use of open source software

-

configuration management plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for establishing and enforcing - restrictions on use of open source software

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational process for restricting the use of open source software

-

automated mechanisms implementing restrictions on the use of open source - software

- - - - - - User-installed Software - - - - - - - - - - CM-11 - cm-11 - -

The organization:

- - a. -

Establishes governing the installation of - software by users;

- - - b. -

Enforces software installation policies through ; - and

- - - c. -

Monitors policy compliance at .

- - - -

If provided the necessary privileges, users have the ability to install software in - organizational information systems. To maintain control over the types of software - installed, organizations identify permitted and prohibited actions regarding software - installation. Permitted software installations may include, for example, updates and - security patches to existing software and downloading applications from - organization-approved “app stores” Prohibited software installations may include, for - example, software with unknown or suspect pedigrees or software that organizations - consider potentially malicious. The policies organizations select governing - user-installed software may be organization-developed or provided by some external - entity. Policy enforcement methods include procedural methods (e.g., periodic - examination of user accounts), automated methods (e.g., configuration settings - implemented on organizational information systems), or both.

- AC-3 - CM-2 - CM-3 - CM-5 - CM-6 - CM-7 - PL-4 - - -

Determine if the organization:

- - CM-11(a) - - CM-11(a)[1] -

defines policies to govern the installation of software by users;

- - - CM-11(a)[2] -

establishes organization-defined policies governing the installation of - software by users;

- - - - CM-11(b) - - CM-11(b)[1] -

defines methods to enforce software installation policies;

- - - CM-11(b)[2] -

enforces software installation policies through organization-defined - methods;

- - - - CM-11(c) - - CM-11(c)[1] -

defines frequency to monitor policy compliance; and

- - - CM-11(c)[2] -

monitors policy compliance at organization-defined frequency.

- - - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of rules governing user installed software

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

-

continuous monitoring strategy

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel monitoring compliance with user-installed software - policy

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms enforcing rules/methods for governing the installation of - software by users

-

automated mechanisms monitoring policy compliance

- - - - Alerts for Unauthorized Installations - - - - CM-11(1) - cm-11.01 - -

The information system alerts when the - unauthorized installation of software is detected.

- - - CA-7 - SI-4 - - -

Determine if:

- - CM-11(1)[1] -

the organization defines personnel or roles to be alerted when the unauthorized - installation of software is detected; and

- - - CM-11(1)[2] -

the information system alerts organization-defined personnel or roles when the - unauthorized installation of software is detected.

- - - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms for alerting personnel/roles when unauthorized - installation of software is detected

- - - - - Prohibit Installation Without Privileged Status - CM-11(2) - cm-11.02 - -

The information system prohibits user installation of software without explicit - privileged status.

- - -

Privileged status can be obtained, for example, by serving in the role of system - administrator.

- AC-6 - - -

Determine if the information system prohibits user installation of software - without explicit privileged status.

- - - EXAMINE - -

Configuration management policy

-

procedures addressing user installed software

-

configuration management plan

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of unauthorized software installations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for governing user-installed - software

-

organizational personnel operating, using, and/or maintaining the information - system

- - - - TEST - -

Organizational processes governing user-installed software on the information - system

-

automated mechanisms for prohibiting installation of software without - privileged status (e.g., access controls)

- - - - - - - Contingency Planning - - Contingency Planning Policy and Procedures - - - - - - - - - - CP-1 - cp-01 - Federal Continuity Directive 1 - NIST Special Publication 800-12 - NIST Special Publication 800-34 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A contingency planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the contingency planning policy - and associated contingency planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Contingency planning policy ; and

- - - 2. -

Contingency planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the CP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if:

- - CP-1(a) - - CP-1(a)(1) - - CP-1(a)(1)[1] -

the organization develops and documents a contingency planning policy that - addresses:

- - CP-1(a)(1)[1][a] -

purpose;

- - - CP-1(a)(1)[1][b] -

scope;

- - - CP-1(a)(1)[1][c] -

roles;

- - - CP-1(a)(1)[1][d] -

responsibilities;

- - - CP-1(a)(1)[1][e] -

management commitment;

- - - CP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - CP-1(a)(1)[1][g] -

compliance;

- - - - CP-1(a)(1)[2] -

the organization defines personnel or roles to whom the contingency planning - policy is to be disseminated;

- - - CP-1(a)(1)[3] -

the organization disseminates the contingency planning policy to - organization-defined personnel or roles;

- - - - CP-1(a)(2) - - CP-1(a)(2)[1] -

the organization develops and documents procedures to facilitate the - implementation of the contingency planning policy and associated contingency - planning controls;

- - - CP-1(a)(2)[2] -

the organization defines personnel or roles to whom the procedures are to be - disseminated;

- - - CP-1(a)(2)[3] -

the organization disseminates the procedures to organization-defined - personnel or roles;

- - - - - CP-1(b) - - CP-1(b)(1) - - CP-1(b)(1)[1] -

the organization defines the frequency to review and update the current - contingency planning policy;

- - - CP-1(b)(1)[2] -

the organization reviews and updates the current contingency planning with - the organization-defined frequency;

- - - - CP-1(b)(2) - - CP-1(b)(2)[1] -

the organization defines the frequency to review and update the current - contingency planning procedures; and

- - - CP-1(b)(2)[2] -

the organization reviews and updates the current contingency planning - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Contingency planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - Contingency Plan - - - - - - - - - - - - - CP-2 - cp-02 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Develops a contingency plan for the information system that:

- - 1. -

Identifies essential missions and business functions and associated contingency - requirements;

- - - 2. -

Provides recovery objectives, restoration priorities, and metrics;

- - - 3. -

Addresses contingency roles, responsibilities, assigned individuals with - contact information;

- - - 4. -

Addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - 5. -

Addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented; and

- - - 6. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the contingency plan to ;

- - - c. -

Coordinates contingency planning activities with incident handling activities;

- - - d. -

Reviews the contingency plan for the information system ;

- - - e. -

Updates the contingency plan to address changes to the organization, information - system, or environment of operation and problems encountered during contingency - plan implementation, execution, or testing;

- - - f. -

Communicates contingency plan changes to ; and

- - - g. -

Protects the contingency plan from unauthorized disclosure and modification.

- - - -

Contingency planning for information systems is part of an overall organizational - program for achieving continuity of operations for mission/business functions. - Contingency planning addresses both information system restoration and implementation - of alternative mission/business processes when systems are compromised. The - effectiveness of contingency planning is maximized by considering such planning - throughout the phases of the system development life cycle. Performing contingency - planning on hardware, software, and firmware development can be an effective means of - achieving information system resiliency. Contingency plans reflect the degree of - restoration required for organizational information systems since not all systems may - need to fully recover to achieve the level of continuity of operations desired. - Information system recovery objectives reflect applicable laws, Executive Orders, - directives, policies, standards, regulations, and guidelines. In addition to - information system availability, contingency plans also address other - security-related events resulting in a reduction in mission and/or business - effectiveness, such as malicious attacks compromising the confidentiality or - integrity of information systems. Actions addressed in contingency plans include, for - example, orderly/graceful degradation, information system shutdown, fallback to a - manual mode, alternate information flows, and operating in modes reserved for when - systems are under attack. By closely coordinating contingency planning with incident - handling activities, organizations can ensure that the necessary contingency planning - activities are in place and activated in the event of a security incident.

- AC-14 - CP-6 - CP-7 - CP-8 - CP-9 - CP-10 - IR-4 - IR-8 - MP-2 - MP-4 - MP-5 - PM-8 - PM-11 - - -

Determine if the organization:

- - CP-2(a) -

develops and documents a contingency plan for the information system that:

- - CP-2(a)(1) -

identifies essential missions and business functions and associated contingency - requirements;

- - - CP-2(a)(2) - - CP-2(a)(2)[1] -

provides recovery objectives;

- - - CP-2(a)(2)[2] -

provides restoration priorities;

- - - CP-2(a)(2)[3] -

provides metrics;

- - - - CP-2(a)(3) - - CP-2(a)(3)[1] -

addresses contingency roles;

- - - CP-2(a)(3)[2] -

addresses contingency responsibilities;

- - - CP-2(a)(3)[3] -

addresses assigned individuals with contact information;

- - - - CP-2(a)(4) -

addresses maintaining essential missions and business functions despite an - information system disruption, compromise, or failure;

- - - CP-2(a)(5) -

addresses eventual, full information system restoration without deterioration - of the security safeguards originally planned and implemented;

- - - CP-2(a)(6) - - CP-2(a)(6)[1] -

defines personnel or roles to review and approve the contingency plan for - the information system;

- - - CP-2(a)(6)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - CP-2(b) - - CP-2(b)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom copies of the contingency plan are to be - distributed;

- - - CP-2(b)[2] -

distributes copies of the contingency plan to organization-defined key - contingency personnel and organizational elements;

- - - - CP-2(c) -

coordinates contingency planning activities with incident handling activities;

- - - CP-2(d) - - CP-2(d)[1] -

defines a frequency to review the contingency plan for the information - system;

- - - CP-2(d)[2] -

reviews the contingency plan with the organization-defined frequency;

- - - - CP-2(e) -

updates the contingency plan to address:

- - CP-2(e)[1] -

changes to the organization, information system, or environment of - operation;

- - - CP-2(e)[2] -

problems encountered during plan implementation, execution, and testing;

- - - - CP-2(f) - - CP-2(f)[1] -

defines key contingency personnel (identified by name and/or by role) and - organizational elements to whom contingency plan changes are to be - communicated;

- - - CP-2(f)[2] -

communicates contingency plan changes to organization-defined key contingency - personnel and organizational elements; and

- - - - CP-2(g) -

protects the contingency plan from unauthorized disclosure and modification.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

evidence of contingency plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan development, review, update, and - protection

-

automated mechanisms for developing, reviewing, updating and/or protecting the - contingency plan

- - - - Coordinate with Related Plans - CP-2(1) - cp-02.01 - -

The organization coordinates contingency plan development with organizational - elements responsible for related plans.

- - -

Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant - Emergency Plans.

- - -

Determine if the organization coordinates contingency plan development with - organizational elements responsible for related plans.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business contingency plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

cyber incident response plan

-

insider threat implementation plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

-

personnel with responsibility for related plans

- - - - - Capacity Planning - CP-2(2) - cp-02.02 - -

The organization conducts capacity planning so that necessary capacity for - information processing, telecommunications, and environmental support exists - during contingency operations.

- - -

Capacity planning is needed because different types of threats (e.g., natural - disasters, targeted cyber attacks) can result in a reduction of the available - processing, telecommunications, and support services originally intended to - support the organizational missions/business functions. Organizations may need to - anticipate degraded operations during contingency operations and factor such - degradation into capacity planning.

- - -

Determine if the organization conducts capacity planning so that necessary - capacity exists during contingency operations for:

- - CP-2(2)[1] -

information processing;

- - - CP-2(2)[2] -

telecommunications; and

- - - CP-2(2)[3] -

environmental support.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

capacity planning documents

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Resume Essential Missions / Business Functions - - - - CP-2(3) - cp-02.03 - -

The organization plans for the resumption of essential missions and business - functions within of contingency plan - activation.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of essential missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure.

- PE-12 - - -

Determine if the organization:

- - CP-2(3)[1] -

defines the time period to plan for the resumption of essential missions and - business functions as a result of contingency plan activation; and

- - - CP-2(3)[2] -

plans for the resumption of essential missions and business functions within - organization-defined time period of contingency plan activation.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

business impact assessment

-

other related plans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for resumption of missions and business functions

- - - - - Resume All Missions / Business Functions - - - - CP-2(4) - cp-02.04 - -

The organization plans for the resumption of all missions and business functions - within of contingency plan activation.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. The time period for - resumption of all missions/business functions may be dependent on the - severity/extent of disruptions to the information system and its supporting - infrastructure.

- PE-12 - - -

Determine if the organization:

- - CP-2(4)[1] -

defines the time period to plan for the resumption of all missions and business - functions as a result of contingency plan activation; and

- - - CP-2(4)[2] -

plans for the resumption of all missions and business functions within - organization-defined time period of contingency plan activation.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

security plan

-

business impact assessment

-

other related plans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for resumption of missions and business functions

- - - - - Continue Essential Missions / Business Functions - CP-2(5) - cp-02.05 - -

The organization plans for the continuance of essential missions and business - functions with little or no loss of operational continuity and sustains that - continuity until full information system restoration at primary processing and/or - storage sites.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Primary processing - and/or storage sites defined by organizations as part of contingency planning may - change depending on the circumstances associated with the contingency (e.g., - backup sites may become primary sites).

- PE-12 - - -

Determine if the organization:

- - CP-2(5)[1] -

plans for the continuance of essential missions and business functions with - little or no loss of operational continuity; and

- - - CP-2(5)[2] -

sustains that operational continuity until full information system restoration - at primary processing and/or storage sites.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business impact assessment

-

primary processing site agreements

-

primary storage site agreements

-

alternate processing site agreements

-

alternate storage site agreements

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for continuing missions and business functions

- - - - - Alternate Processing / Storage Site - CP-2(6) - cp-02.06 - -

The organization plans for the transfer of essential missions and business - functions to alternate processing and/or storage sites with little or no loss of - operational continuity and sustains that continuity through information system - restoration to primary processing and/or storage sites.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Primary processing - and/or storage sites defined by organizations as part of contingency planning may - change depending on the circumstances associated with the contingency (e.g., - backup sites may become primary sites).

- PE-12 - - -

Determine if the organization:

- - CP-2(6)[1] -

plans for the transfer of essential missions and business functions to - alternate processing and/or storage sites with little or no loss of operational - continuity; and

- - - CP-2(6)[2] -

sustains that operational continuity through information system restoration to - primary processing and/or storage sites.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business impact assessment

-

alternate processing site agreements

-

alternate storage site agreements

-

contingency plan testing documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for transfer of essential missions and business - functions to alternate processing/storage sites

- - - - - Coordinate with External Service Providers - CP-2(7) - cp-02.07 - -

The organization coordinates its contingency plan with the contingency plans of - external service providers to ensure that contingency requirements can be - satisfied.

- - -

When the capability of an organization to successfully carry out its core - missions/business functions is dependent on external service providers, developing - a timely and comprehensive contingency plan may become more challenging. In this - situation, organizations coordinate contingency planning activities with the - external entities to ensure that the individual plans reflect the overall - contingency needs of the organization.

- SA-9 - - -

Determine if the organization coordinates its contingency plan with the - contingency plans of external service provides to ensure contingency requirements - can be satisfied.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

contingency plans of external

-

service providers

-

service level agreements

-

security plan

-

contingency plan requirements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

external service providers

-

organizational personnel with information security responsibilities

- - - - - Identify Critical Assets - CP-2(8) - cp-02.08 - -

The organization identifies critical information system assets supporting - essential missions and business functions.

- - -

Organizations may choose to carry out the contingency planning activities in this - control enhancement as part of organizational business continuity planning - including, for example, as part of business impact analyses. Organizations - identify critical information system assets so that additional safeguards and - countermeasures can be employed (above and beyond those safeguards and - countermeasures routinely implemented) to help ensure that organizational - missions/business functions can continue to be conducted during contingency - operations. In addition, the identification of critical information assets - facilitates the prioritization of organizational resources. Critical information - system assets include technical and operational aspects. Technical aspects - include, for example, information technology services, information system - components, information technology products, and mechanisms. Operational aspects - include, for example, procedures (manually executed operations) and personnel - (individuals operating technical safeguards and/or executing manual procedures). - Organizational program protection plans can provide assistance in identifying - critical assets.

- SA-14 - SA-15 - - -

Determine if the organization identifies critical information system assets - supporting essential missions and business functions.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency operations for the information system

-

contingency plan

-

business impact assessment

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Contingency Training - - - - - - - CP-3 - cp-03 - Federal Continuity Directive 1 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides contingency training to information system users consistent - with assigned roles and responsibilities:

- - a. -

Within of assuming a contingency role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Contingency training provided by organizations is linked to the assigned roles and - responsibilities of organizational personnel to ensure that the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know when and where to report for duty during contingency operations and if - normal duties are affected; system administrators may require additional training on - how to set up information systems at alternate processing and storage sites; and - managers/senior leaders may receive more specific training on how to conduct - mission-essential functions in designated off-site locations and how to establish - communications with other governmental entities for purposes of coordination on - contingency-related activities. Training for contingency roles/responsibilities - reflects the specific continuity requirements in the contingency plan.

- AT-2 - AT-3 - CP-2 - IR-2 - - -

Determine if the organization:

- - CP-3(a) - - CP-3(a)[1] -

defines a time period within which contingency training is to be provided to - information system users assuming a contingency role or responsibility;

- - - CP-3(a)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming a contingency role or responsibility;

- - - - CP-3(b) -

provides contingency training to information system users consistent with assigned - roles and responsibilities when required by information system changes;

- - - CP-3(c) - - CP-3(c)[1] -

defines the frequency for contingency training thereafter; and

- - - CP-3(c)[2] -

provides contingency training to information system users consistent with - assigned roles and responsibilities with the organization-defined frequency - thereafter.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

security plan

-

contingency training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

- - - - Simulated Events - CP-3(1) - cp-03.01 - -

The organization incorporates simulated events into contingency training to - facilitate effective response by personnel in crisis situations.

- - -

Determine if the organization incorporates simulated events into contingency - training to facilitate effective response by personnel in crisis situations.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

-

automated mechanisms for simulating contingency events

- - - - - Automated Training Environments - CP-3(2) - cp-03.02 - -

The organization employs automated mechanisms to provide a more thorough and - realistic contingency training environment.

- - -

Determine if the organization employs automated mechanisms to provide a more - thorough and realistic contingency training environment.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency training

-

contingency plan

-

contingency training curriculum

-

contingency training material

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - training responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency training

-

automated mechanisms for providing contingency training environments

- - - - - - Contingency Plan Testing - - - - - - - CP-4 - cp-04 - Federal Continuity Directive 1 - FIPS Publication 199 - NIST Special Publication 800-34 - NIST Special Publication 800-84 - -

The organization:

- - a. -

Tests the contingency plan for the information system using to determine the - effectiveness of the plan and the organizational readiness to execute the - plan;

- - - b. -

Reviews the contingency plan test results; and

- - - c. -

Initiates corrective actions, if needed.

- - - -

Methods for testing contingency plans to determine the effectiveness of the plans and - to identify potential weaknesses in the plans include, for example, walk-through and - tabletop exercises, checklists, simulations (parallel, full interrupt), and - comprehensive exercises. Organizations conduct testing based on the continuity - requirements in contingency plans and include a determination of the effects on - organizational operations, assets, and individuals arising due to contingency - operations. Organizations have flexibility and discretion in the breadth, depth, and - timelines of corrective actions.

- CP-2 - CP-3 - IR-3 - - -

Determine if the organization:

- - CP-4(a) - - CP-4(a)[1] -

defines tests to determine the effectiveness of the contingency plan and the - organizational readiness to execute the plan;

- - - CP-4(a)[2] -

defines a frequency to test the contingency plan for the information - system;

- - - CP-4(a)[3] -

tests the contingency plan for the information system with the - organization-defined frequency, using organization-defined tests to determine - the effectiveness of the plan and the organizational readiness to execute the - plan;

- - - - CP-4(b) -

reviews the contingency plan test results; and

- - - CP-4(c) -

initiates corrective actions, if needed.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

security plan

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency plan testing, - reviewing or responding to contingency plan tests

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - - Coordinate with Related Plans - CP-4(1) - cp-04.01 - -

The organization coordinates contingency plan testing with organizational elements - responsible for related plans.

- - -

Plans related to contingency plans for organizational information systems include, - for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of - Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - Cyber Incident Response Plans, and Occupant Emergency Plans. This control - enhancement does not require organizations to create organizational elements to - handle related plans or to align such elements with specific plans. It does - require, however, that if such organizational elements are responsible for related - plans, organizations should coordinate with those elements.

- IR-8 - PM-8 - - -

Determine if the organization coordinates contingency plan testing with - organizational elements responsible for related plans.

- - - EXAMINE - -

Contingency planning policy

-

incident response policy

-

procedures addressing contingency plan testing

-

contingency plan testing documentation

-

contingency plan

-

business continuity plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

cyber incident response plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel

-

personnel with responsibilities for related plans

-

organizational personnel with information security responsibilities

- - - - - Alternate Processing Site - CP-4(2) - cp-04.02 - -

The organization tests the contingency plan at the alternate processing site:

- - (a) -

To familiarize contingency personnel with the facility and available resources; - and

- - - (b) -

To evaluate the capabilities of the alternate processing site to support - contingency operations.

- - - - CP-7 - - -

Determine if the organization tests the contingency plan at the alternate - processing site to:

- - CP-4(2)(a) -

familiarize contingency personnel with the facility and available resources; - and

- CP-4(2)(a) - - - CP-4(2)(b) -

evaluate the capabilities of the alternate processing site to support - contingency operations.

- CP-4(2)(b) - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

contingency plan test documentation

-

contingency plan test results

-

alternate processing site agreements

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting the contingency plan and/or contingency plan - testing

- - - - - Automated Testing - CP-4(3) - cp-04.03 - -

The organization employs automated mechanisms to more thoroughly and effectively - test the contingency plan.

- - -

Automated mechanisms provide more thorough and effective testing of contingency - plans, for example: (i) by providing more complete coverage of contingency issues; - (ii) by selecting more realistic test scenarios and environments; and (iii) by - effectively stressing the information system and supported missions.

- - -

Determine if the organization employs automated mechanisms to more thoroughly and - effectively test the contingency plan.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing contingency plan testing

-

contingency plan

-

automated mechanisms supporting contingency plan testing

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting contingency plan testing

- - - - - Full Recovery / Reconstitution - CP-4(4) - cp-04.04 - -

The organization includes a full recovery and reconstitution of the information - system to a known state as part of contingency plan testing.

- - - CP-10 - SC-24 - - -

Determine if the organization:

- - CP-4(4)[1] -

includes a full recovery of the information system to a known state as part of - contingency plan testing; and

- - - CP-4(4)[2] -

includes a full reconstitution of the information system to a known state as - part of contingency plan testing.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel with information system recovery and reconstitution - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting contingency plan testing

-

automated mechanisms supporting recovery and reconstitution of the information - system

- - - - - - Contingency Plan Update - CP-5 - cp-05 - Withdrawn - CP-2 - - - Alternate Storage Site - CP-6 - cp-06 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and

- - - b. -

Ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site.

- - - -

Alternate storage sites are sites that are geographically distinct from primary - storage sites. An alternate storage site maintains duplicate copies of information - and data in the event that the primary storage site is not available. Items covered - by alternate storage site agreements include, for example, environmental conditions - at alternate sites, access rules, physical and environmental protection requirements, - and coordination of delivery/retrieval of backup media. Alternate storage sites - reflect the requirements in contingency plans so that organizations can maintain - essential missions/business functions despite disruption, compromise, or failure in - organizational information systems.

- CP-2 - CP-7 - CP-9 - CP-10 - MP-4 - - -

Determine if the organization:

- - CP-6[1] -

establishes an alternate storage site including necessary agreements to permit the - storage and retrieval of information system backup information; and

- - - CP-6[2] -

ensures that the alternate storage site provides information security safeguards - equivalent to that of the primary site.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site agreements

-

primary storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for storing and retrieving information system backup - information at the alternate storage site

-

automated mechanisms supporting and/or implementing storage and retrieval of - information system backup information at the alternate storage site

- - - - Separation from Primary Site - CP-6(1) - cp-06.01 - -

The organization identifies an alternate storage site that is separated from the - primary storage site to reduce susceptibility to the same threats.

- - -

Threats that affect alternate storage sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate storage sites based on the types of threats that are - of concern. For one particular type of threat (i.e., hostile cyber attack), the - degree of separation between sites is less relevant.

- RA-3 - - -

Determine if the organization identifies an alternate storage site that is - separated from the primary storage site to reduce susceptibility to the same - threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

alternate storage site agreements

-

primary storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Recovery Time / Point Objectives - CP-6(2) - cp-06.02 - -

The organization configures the alternate storage site to facilitate recovery - operations in accordance with recovery time and recovery point objectives.

- - -

Determine if the organization configures the alternate storage site to facilitate - recovery operations in accordance with recovery time objectives and recovery point - objectives (as specified in the information system contingency plan).

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

alternate storage site agreements

-

alternate storage site configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan testing responsibilities

-

organizational personnel with responsibilities for testing related plans

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for contingency plan testing

-

automated mechanisms supporting recovery time/point objectives

- - - - - Accessibility - CP-6(3) - cp-06.03 - -

The organization identifies potential accessibility problems to the alternate - storage site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk. Explicit - mitigation actions include, for example: (i) duplicating backup information at - other alternate storage sites if access problems occur at originally designated - alternate sites; or (ii) planning for physical access to retrieve backup - information if electronic accessibility to the alternate site is disrupted.

- RA-3 - - -

Determine if the organization:

- - CP-6(3)[1] -

identifies potential accessibility problems to the alternate storage site in - the event of an area-wide disruption or disaster; and

- - - CP-6(3)[2] -

outlines explicit mitigation actions for such potential accessibility problems - to the alternate storage site in the event of an area-wide disruption or - disaster.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate storage sites

-

contingency plan

-

alternate storage site

-

list of potential accessibility problems to alternate storage site

-

mitigation actions for accessibility problems to alternate storage site

-

organizational risk assessments

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate storage site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Alternate Processing Site - - - - - - - CP-7 - cp-07 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Establishes an alternate processing site including necessary agreements to permit - the transfer and resumption of for essential - missions/business functions within when the - primary processing capabilities are unavailable;

- - - b. -

Ensures that equipment and supplies required to transfer and resume operations are - available at the alternate processing site or contracts are in place to support - delivery to the site within the organization-defined time period for - transfer/resumption; and

- - - c. -

Ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site.

- - - -

Alternate processing sites are sites that are geographically distinct from primary - processing sites. An alternate processing site provides processing capability in the - event that the primary processing site is not available. Items covered by alternate - processing site agreements include, for example, environmental conditions at - alternate sites, access rules, physical and environmental protection requirements, - and coordination for the transfer/assignment of personnel. Requirements are - specifically allocated to alternate processing sites that reflect the requirements in - contingency plans to maintain essential missions/business functions despite - disruption, compromise, or failure in organizational information systems.

- CP-2 - CP-6 - CP-8 - CP-9 - CP-10 - MA-6 - - -

Determine if the organization:

- - CP-7(a) - - CP-7(a)[1] -

defines information system operations requiring an alternate processing site to - be established to permit the transfer and resumption of such operations;

- - - CP-7(a)[2] -

defines the time period consistent with recovery time objectives and recovery - point objectives (as specified in the information system contingency plan) for - transfer/resumption of organization-defined information system operations for - essential missions/business functions;

- - - CP-7(a)[3] -

establishes an alternate processing site including necessary agreements to - permit the transfer and resumption of organization-defined information system - operations for essential missions/business functions, within the - organization-defined time period, when the primary processing capabilities are - unavailable;

- - - - CP-7(b) - - CP-7(b)[1] -

ensures that equipment and supplies required to transfer and resume operations - are available at the alternate processing site; or

- - - CP-7(b)[2] -

ensures that contracts are in place to support delivery to the site within the - organization-defined time period for transfer/resumption; and

- - - - CP-7(c) -

ensures that the alternate processing site provides information security - safeguards equivalent to those of the primary site.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site agreements

-

primary processing site agreements

-

spare equipment and supplies inventory at alternate processing site

-

equipment and supply contracts

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for contingency planning and/or - alternate site arrangements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for recovery at the alternate site

-

automated mechanisms supporting and/or implementing recovery at the alternate - processing site

- - - - Separation from Primary Site - CP-7(1) - cp-07.01 - -

The organization identifies an alternate processing site that is separated from - the primary processing site to reduce susceptibility to the same threats.

- - -

Threats that affect alternate processing sites are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber attacks, and errors of omission/commission. - Organizations determine what is considered a sufficient degree of separation - between primary and alternate processing sites based on the types of threats that - are of concern. For one particular type of threat (i.e., hostile cyber attack), - the degree of separation between sites is less relevant.

- RA-3 - - -

Determine if the organization identifies an alternate processing site that is - separated from the primary storage site to reduce susceptibility to the same - threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

primary processing site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Accessibility - CP-7(2) - cp-07.02 - -

The organization identifies potential accessibility problems to the alternate - processing site in the event of an area-wide disruption or disaster and outlines - explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in - geographic scope (e.g., hurricane, regional power outage) with such determinations - made by organizations based on organizational assessments of risk.

- RA-3 - - -

Determine if the organization:

- - CP-7(2)[1] -

identifies potential accessibility problems to the alternate processing site in - the event of an area-wide disruption or disaster; and

- - - CP-7(2)[2] -

outlines explicit mitigation actions for such potential accessibility problems - to the alternate processing site in the event of an area-wide disruption or - disaster.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

primary processing site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - - Priority of Service - CP-7(3) - cp-07.03 - -

The organization develops alternate processing site agreements that contain - priority-of-service provisions in accordance with organizational availability - requirements (including recovery time objectives).

- - -

Priority-of-service agreements refer to negotiated agreements with service - providers that ensure that organizations receive priority treatment consistent - with their availability requirements and the availability of information resources - at the alternate processing site.

- - -

Determine if the organization develops alternate processing site agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in the - information system contingency plan).

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site agreements

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - - Preparation for Use - CP-7(4) - cp-07.04 - -

The organization prepares the alternate processing site so that the site is ready - to be used as the operational site supporting essential missions and business - functions.

- - -

Site preparation includes, for example, establishing configuration settings for - information system components at the alternate processing site consistent with the - requirements for such settings at the primary site and ensuring that essential - supplies and other logistical considerations are in place.

- CM-2 - CM-6 - - -

Determine if the organization prepares the alternate processing site so that the - site is ready to be used as the operational site supporting essential missions and - business functions.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

alternate processing site configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan alternate processing site - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing recovery at the alternate - processing site

- - - - - Equivalent Information Security Safeguards - CP-7(5) - cp-07.05 - Withdrawn - CP-7 - - - Inability to Return to Primary Site - CP-7(6) - cp-07.06 - -

The organization plans and prepares for circumstances that preclude returning to - the primary processing site.

- - -

Determine if the organization plans and prepares for circumstances that preclude - returning to the primary processing site.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate processing sites

-

contingency plan

-

alternate processing site

-

alternate processing site agreements

-

alternate processing site configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system reconstitution - responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Telecommunications Services - - - - - - - CP-8 - cp-08 - NIST Special Publication 800-34 - National Communications Systems Directive 3-10 - http://www.dhs.gov/telecommunications-service-priority-tsp - -

The organization establishes alternate telecommunications services including - necessary agreements to permit the resumption of for - essential missions and business functions within when - the primary telecommunications capabilities are unavailable at either the primary or - alternate processing or storage sites.

- - -

This control applies to telecommunications services (data and voice) for primary and - alternate processing and storage sites. Alternate telecommunications services reflect - the continuity requirements in contingency plans to maintain essential - missions/business functions despite the loss of primary telecommunications services. - Organizations may specify different time periods for primary/alternate sites. - Alternate telecommunications services include, for example, additional organizational - or commercial ground-based circuits/lines or satellites in lieu of ground-based - communications. Organizations consider factors such as availability, quality of - service, and access when entering into alternate telecommunications agreements.

- CP-2 - CP-6 - CP-7 - - -

Determine if the organization:

- - CP-8[1] -

defines information system operations requiring alternate telecommunications - services to be established to permit the resumption of such operations;

- - - CP-8[2] -

defines the time period to permit resumption of organization-defined information - system operations for essential missions and business functions; and

- - - CP-8[3] -

establishes alternate telecommunications services including necessary agreements - to permit the resumption of organization-defined information system operations for - essential missions and business functions, within the organization-defined time - period, when the primary telecommunications capabilities are unavailable at either - the primary or alternate processing or storage sites.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - TEST - -

Automated mechanisms supporting telecommunications

- - - - Priority of Service Provisions - CP-8(1) - cp-08.01 - -

The organization:

- - (a) -

Develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives); and

- - - (b) -

Requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier.

- - - -

Organizations consider the potential mission/business impact in situations where - telecommunications service providers are servicing other organizations with - similar priority-of-service provisions.

- - -

Determine if the organization:

- - CP-8(1)[1] -

develops primary and alternate telecommunications service agreements that - contain priority-of-service provisions in accordance with organizational - availability requirements (including recovery time objectives as specified in - the information system contingency plan); and

- - - CP-8(1)[2] -

requests Telecommunications Service Priority for all telecommunications - services used for national security emergency preparedness in the event that - the primary and/or alternate telecommunications services are provided by a - common carrier.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

Telecommunications Service Priority documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - TEST - -

Automated mechanisms supporting telecommunications

- - - - - Single Points of Failure - CP-8(2) - cp-08.02 - -

The organization obtains alternate telecommunications services to reduce the - likelihood of sharing a single point of failure with primary telecommunications - services.

- - -

Determine if the organization obtains alternate telecommunications services to - reduce the likelihood of sharing a single point of failure with primary - telecommunications services.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

- - - - - Separation of Primary / Alternate Providers - CP-8(3) - cp-08.03 - -

The organization obtains alternate telecommunications services from providers that - are separated from primary service providers to reduce susceptibility to the same - threats.

- - -

Threats that affect telecommunications services are typically defined in - organizational assessments of risk and include, for example, natural disasters, - structural failures, hostile cyber/physical attacks, and errors of - omission/commission. Organizations seek to reduce common susceptibilities by, for - example, minimizing shared infrastructure among telecommunications service - providers and achieving sufficient geographic separation between services. - Organizations may consider using a single service provider in situations where the - service provider can provide alternate telecommunications services meeting the - separation needs addressed in the risk assessment.

- - -

Determine if the organization obtains alternate telecommunications services from - providers that are separated from primary service providers to reduce - susceptibility to the same threats.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

primary and alternate telecommunications service agreements

-

alternate telecommunications service provider site

-

primary telecommunications service provider site

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency plan telecommunications - responsibilities

-

organizational personnel with information system recovery responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

- - - - - Provider Contingency Plan - - - - CP-8(4) - cp-08.04 - -

The organization:

- - (a) -

Requires primary and alternate telecommunications service providers to have - contingency plans;

- - - (b) -

Reviews provider contingency plans to ensure that the plans meet organizational - contingency requirements; and

- - - (c) -

Obtains evidence of contingency testing/training by providers .

- - - -

Reviews of provider contingency plans consider the proprietary nature of such - plans. In some situations, a summary of provider contingency plans may be - sufficient evidence for organizations to satisfy the review requirement. - Telecommunications service providers may also participate in ongoing disaster - recovery exercises in coordination with the Department of Homeland Security, - state, and local governments. Organizations may use these types of activities to - satisfy evidentiary requirements related to service provider contingency plan - reviews, testing, and training.

- - -

Determine if the organization:

- - CP-8(4)(a) - - CP-8(4)(a)[1] -

requires primary telecommunications service provider to have contingency - plans;

- - - CP-8(4)(a)[2] -

requires alternate telecommunications service provider(s) to have - contingency plans;

- - CP-8(4)(a) - - - CP-8(4)(b) -

reviews provider contingency plans to ensure that the plans meet organizational - contingency requirements;

- CP-8(4)(b) - - - CP-8(4)(c) - - CP-8(4)(c)[1] -

defines the frequency to obtain evidence of contingency testing/training by - providers; and

- - - CP-8(4)(c)[2] -

obtains evidence of contingency testing/training by providers with the - organization-defined frequency.

- - CP-8(4)(c) - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing primary and alternate telecommunications services

-

contingency plan

-

provider contingency plans

-

evidence of contingency testing/training by providers

-

primary and alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - testing responsibilities

-

primary and alternate telecommunications service providers

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for acquisitions/contractual - agreements

- - - - - Alternate Telecommunication Service Testing - - - - CP-8(5) - cp-08.05 - -

The organization tests alternate telecommunication services .

- - -

Determine if the organization:

- - CP-8(5)[1] -

defines the frequency to test alternate telecommunication services; and

- - - CP-8(5)[2] -

tests alternate telecommunication services with the organization-defined - frequency.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate telecommunications services

-

contingency plan

-

evidence of testing alternate telecommunications services

-

alternate telecommunications service agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, plan implementation, and - testing responsibilities

-

alternate telecommunications service providers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting testing alternate telecommunications - services

- - - - - - Information System Backup - - - - - - - - - - CP-9 - cp-09 - NIST Special Publication 800-34 - -

The organization:

- - a. -

Conducts backups of user-level information contained in the information system - ;

- - - b. -

Conducts backups of system-level information contained in the information system - ;

- - - c. -

Conducts backups of information system documentation including security-related - documentation ; and

- - - d. -

Protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - -

System-level information includes, for example, system-state information, operating - system and application software, and licenses. User-level information includes any - information other than system-level information. Mechanisms employed by organizations - to protect the integrity of information system backups include, for example, digital - signatures and cryptographic hashes. Protection of system backup information while in - transit is beyond the scope of this control. Information system backups reflect the - requirements in contingency plans as well as other organizational requirements for - backing up information.

- CP-2 - CP-6 - MP-4 - MP-5 - SC-13 - - -

Determine if the organization:

- - CP-9(a) - - CP-9(a)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of user-level information contained in the information - system;

- - - CP-9(a)[2] -

conducts backups of user-level information contained in the information system - with the organization-defined frequency;

- - - - CP-9(b) - - CP-9(b)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of system-level information contained in the information - system;

- - - CP-9(b)[2] -

conducts backups of system-level information contained in the information - system with the organization-defined frequency;

- - - - CP-9(c) - - CP-9(c)[1] -

defines a frequency, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - conduct backups of information system documentation including security-related - documentation;

- - - CP-9(c)[2] -

conducts backups of information system documentation, including - security-related documentation, with the organization-defined frequency; - and

- - - - CP-9(d) -

protects the confidentiality, integrity, and availability of backup information at - storage locations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system backups

- - - - Testing for Reliability / Integrity - - - - CP-9(1) - cp-09.01 - -

The organization tests backup information to - verify media reliability and information integrity.

- - - CP-4 - - -

Determine if the organization:

- - CP-9(1)[1] -

defines the frequency to test backup information to verify media reliability - and information integrity; and

- - - CP-9(1)[2] -

tests backup information with the organization-defined frequency to verify - media reliability and information integrity.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system - backups

- - - - - Test Restoration Using Sampling - CP-9(2) - cp-09.02 - -

The organization uses a sample of backup information in the restoration of - selected information system functions as part of contingency plan testing.

- - - CP-4 - - -

Determine if the organization uses a sample of backup information in the - restoration of selected information system functions as part of contingency plan - testing.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test documentation

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with contingency planning/contingency plan testing - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting information system backups

-

automated mechanisms supporting and/or implementing information system - backups

- - - - - Separate Storage for Critical Information - - - - CP-9(3) - cp-09.03 - -

The organization stores backup copies of in a - separate facility or in a fire-rated container that is not collocated with the - operational system.

- - -

Critical information system software includes, for example, operating systems, - cryptographic key management systems, and intrusion detection/prevention systems. - Security-related information includes, for example, organizational inventories of - hardware, software, and firmware components. Alternate storage sites typically - serve as separate storage facilities for organizations.

- CM-2 - CM-8 - - -

Determine if the organization:

- - CP-9(3)[1] - - CP-9(3)[1][a] -

defines critical information system software and other security-related - information requiring backup copies to be stored in a separate facility; - or

- - - CP-9(3)[1][b] -

defines critical information system software and other security-related - information requiring backup copies to be stored in a fire-rated container - that is not collocated with the operational system; and

- - - - CP-9(3)[2] -

stores backup copies of organization-defined critical information system - software and other security-related information in a separate facility or in a - fire-rated container that is not collocated with the operational system.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

backup storage location(s)

-

information system backup configurations and associated documentation

-

information system backup logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - - Protection from Unauthorized Modification - CP-9(4) - cp-09.04 - Withdrawn - CP-9 - - - Transfer to Alternate Storage Site - - - - CP-9(5) - cp-09.05 - -

The organization transfers information system backup information to the alternate - storage site .

- - -

Information system backup information can be transferred to alternate storage - sites either electronically or by physical shipment of storage media.

- - -

Determine if the organization:

- - CP-9(5)[1] -

defines a time period, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - transfer information system backup information to the alternate storage - site;

- - - CP-9(5)[2] -

defines a transfer rate, consistent with recovery time objectives and recovery - point objectives as specified in the information system contingency plan, to - transfer information system backup information to the alternate storage site; - and

- - - CP-9(5)[3] -

transfers information system backup information to the alternate storage site - with the organization-defined time period and transfer rate.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup logs or records

-

evidence of system backup information transferred to alternate storage site

-

alternate storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for transferring information system backups to the - alternate storage site

-

automated mechanisms supporting and/or implementing information system - backups

-

automated mechanisms supporting and/or implementing information transfer to the - alternate storage site

- - - - - Redundant Secondary System - CP-9(6) - cp-09.06 - -

The organization accomplishes information system backup by maintaining a redundant - secondary system that is not collocated with the primary system and that can be - activated without loss of information or disruption to operations.

- - - CP-7 - CP-10 - - -

Determine if the organization accomplishes information system backup by - maintaining a redundant secondary system that:

- - CP-9(6)[1] -

is not collocated with the primary system; and

- - - CP-9(6)[2] -

can be activated without loss of information or disruption to operations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test results

-

contingency plan test documentation

-

redundant secondary system for information system backups

-

location(s) of redundant secondary backup system(s)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for the redundant secondary - system

- - - - TEST - -

Organizational processes for maintaining redundant secondary systems

-

automated mechanisms supporting and/or implementing information system - backups

-

automated mechanisms supporting and/or implementing information transfer to a - redundant secondary system

- - - - - Dual Authorization - - - - CP-9(7) - cp-09.07 - -

The organization enforces dual authorization for the deletion or destruction of - .

- - -

Dual authorization ensures that the deletion or destruction of backup information - cannot occur unless two qualified individuals carry out the task. Individuals - deleting/destroying backup information possess sufficient skills/expertise to - determine if the proposed deletion/destruction of backup information reflects - organizational policies and procedures. Dual authorization may also be known as - two-person control.

- AC-3 - MP-2 - - -

Determine if the organization:

- - CP-9(7)[1] -

defines backup information that requires dual authorization to be enforced for - the deletion or destruction of such information; and

- - - CP-9(7)[2] -

enforces dual authorization for the deletion or destruction of - organization-defined backup information.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

system generated list of dual authorization credentials or rules

-

logs or records of deletion or destruction of backup information

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system backup responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing dual authorization

-

automated mechanisms supporting and/or implementing deletion/destruction of - backup information

- - - - - - Information System Recovery and Reconstitution - CP-10 - cp-10 - Federal Continuity Directive 1 - NIST Special Publication 800-34 - -

The organization provides for the recovery and reconstitution of the information - system to a known state after a disruption, compromise, or failure.

- - -

Recovery is executing information system contingency plan activities to restore - organizational missions/business functions. Reconstitution takes place following - recovery and includes activities for returning organizational information systems to - fully operational states. Recovery and reconstitution operations reflect mission and - business priorities, recovery point/time and reconstitution objectives, and - established organizational metrics consistent with contingency plan requirements. - Reconstitution includes the deactivation of any interim information system - capabilities that may have been needed during recovery operations. Reconstitution - also includes assessments of fully restored information system capabilities, - reestablishment of continuous monitoring activities, potential information system - reauthorizations, and activities to prepare the systems against future disruptions, - compromises, or failures. Recovery/reconstitution capabilities employed by - organizations can include both automated mechanisms and manual procedures.

- CA-2 - CA-6 - CA-7 - CP-2 - CP-6 - CP-7 - CP-9 - SC-24 - - -

Determine if the organization provides for:

- - CP-10[1] -

the recovery of the information system to a known state after:

- - CP-10[1][a] -

a disruption;

- - - CP-10[1][b] -

a compromise; or

- - - CP-10[1][c] -

a failure;

- - - - CP-10[2] -

the reconstitution of the information system to a known state after:

- - CP-10[2][a] -

a disruption;

- - - CP-10[2][b] -

a compromise; or

- - - CP-10[2][c] -

a failure.

- - - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system backup

-

contingency plan

-

information system backup test results

-

contingency plan test results

-

contingency plan test documentation

-

redundant secondary system for information system backups

-

location(s) of redundant secondary backup system(s)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning, recovery, and/or - reconstitution responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes implementing information system recovery and - reconstitution operations

-

automated mechanisms supporting and/or implementing information system recovery - and reconstitution operations

- - - - Contingency Plan Testing - CP-10(1) - cp-10.01 - Withdrawn - CP-4 - - - Transaction Recovery - CP-10(2) - cp-10.02 - -

The information system implements transaction recovery for systems that are - transaction-based.

- - -

Transaction-based information systems include, for example, database management - systems and transaction processing systems. Mechanisms supporting transaction - recovery include, for example, transaction rollback and transaction - journaling.

- - -

Determine if the information system implements transaction recovery for systems - that are transaction-based.

- - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

contingency plan test documentation

-

contingency plan test results

-

information system transaction recovery records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for transaction recovery

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing transaction recovery - capability

- - - - - Compensating Security Controls - CP-10(3) - cp-10.03 - Withdrawn - Chapter - 3 - - - Restore Within Time Period - - - - CP-10(4) - cp-10.04 - -

The organization provides the capability to restore information system components - within from configuration-controlled and - integrity-protected information representing a known, operational state for the - components.

- - -

Restoration of information system components includes, for example, reimaging - which restores components to known, operational states.

- CM-2 - - -

Determine if the organization:

- - CP-10(4)[1] -

defines a time period to restore information system components from - configuration-controlled and integrity-protected information representing a - known, operational state for the components; and

- - - CP-10(4)[2] -

provides the capability to restore information system components within the - organization-defined time period from configuration-controlled and - integrity-protected information representing a known, operational state for the - components.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

contingency plan test documentation

-

contingency plan test results

-

evidence of information system recovery and reconstitution operations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system recovery and reconstitution - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing recovery/reconstitution of - information system information

- - - - - Failover Capability - CP-10(5) - cp-10.05 - Withdrawn - SI-13 - - - Component Protection - CP-10(6) - cp-10.06 - -

The organization protects backup and restoration hardware, firmware, and - software.

- - -

Protection of backup and restoration hardware, firmware, and software components - includes both physical and technical safeguards. Backup and restoration software - includes, for example, router tables, compilers, and other security-relevant - system software.

- AC-3 - AC-6 - PE-3 - - -

Determine if the organization protects backup and restoration:

- - CP-10(6)[1] -

hardware;

- - - CP-10(6)[2] -

firmware; and

- - - CP-10(6)[3] -

software.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing information system recovery and reconstitution

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

logical access credentials

-

physical access credentials

-

logical access authorization records

-

physical access authorization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system recovery and reconstitution - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for protecting backup and restoration hardware, - firmware, and software

-

automated mechanisms supporting and/or implementing protection of backup and - restoration hardware, firmware, and software

- - - - - - Alternate Communications Protocols - - - - CP-11 - cp-11 - -

The information system provides the capability to employ in support of maintaining continuity of operations.

- - -

Contingency plans and the associated training and testing for those plans, - incorporate an alternate communications protocol capability as part of increasing the - resilience of organizational information systems. Alternate communications protocols - include, for example, switching from Transmission Control Protocol/Internet Protocol - (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect - software applications and therefore, the potential side effects of introducing - alternate communications protocols are analyzed prior to implementation.

- - -

Determine if:

- - CP-11[1] -

the organization defines alternative communications protocols to be employed in - support of maintaining continuity of operations; and

- - - CP-11[2] -

the information system provides the capability to employ organization-defined - alternative communications protocols in support of maintaining continuity of - operations.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternative communications protocols

-

contingency plan

-

continuity of operations plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of alternative communications protocols supporting continuity of - operations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with contingency planning and plan implementation - responsibilities

-

organizational personnel with continuity of operations planning and plan - implementation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms employing alternative communications protocols

- - - - - Safe Mode - - - - - - - CP-12 - cp-12 - -

The information system, when are detected, enters a - safe mode of operation with .

- - -

For information systems supporting critical missions/business functions including, - for example, military operations and weapons systems, civilian space operations, - nuclear power plant operations, and air traffic control operations (especially - real-time operational environments), organizations may choose to identify certain - conditions under which those systems revert to a predefined safe mode of operation. - The safe mode of operation, which can be activated automatically or manually, - restricts the types of activities or operations information systems could execute - when those conditions are encountered. Restriction includes, for example, allowing - only certain functions that could be carried out under limited power or with reduced - communications bandwidth.

- - -

Determine if:

- - CP-12[1] -

the organization defines conditions that, when detected, requires the information - system to enter a safe mode of operation;

- - - CP-12[2] -

the organization defines restrictions of safe mode of operation; and

- - - CP-12[3] -

the information system, when organization-defined conditions are detected, enters - a safe mode of operation with organization-defined restrictions of safe mode of - operation.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing safe mode of operation for the information system

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system administration manuals

-

information system operation manuals

-

information system installation manuals

-

contingency plan test records

-

incident handling records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms implementing safe mode of operation

- - - - - Alternative Security Mechanisms - - - - - - - CP-13 - cp-13 - -

The organization employs for satisfying when the primary means of implementing the security - function is unavailable or compromised.

- - -

This control supports information system resiliency and contingency - planning/continuity of operations. To ensure mission/business continuity, - organizations can implement alternative or supplemental security mechanisms. These - mechanisms may be less effective than the primary mechanisms (e.g., not as easy to - use, not as scalable, or not as secure). However, having the capability to readily - employ these alternative/supplemental mechanisms enhances overall mission/business - continuity that might otherwise be adversely impacted if organizational operations - had to be curtailed until the primary means of implementing the functions was - restored. Given the cost and level of effort required to provide such alternative - capabilities, this control would typically be applied only to critical security - capabilities provided by information systems, system components, or information - system services. For example, an organization may issue to senior executives and - system administrators one-time pads in case multifactor tokens, the organization’s - standard means for secure remote authentication, is compromised.

- CP-2 - - -

Determine if the organization:

- - CP-13[1] -

defines alternative or supplemental security mechanisms to be employed when the - primary means of implementing the security function is unavailable or - compromised;

- - - CP-13[2] -

defines security functions to be satisfied using organization-defined alternative - or supplemental security mechanisms when the primary means of implementing the - security function is unavailable or compromised; and

- - - CP-13[3] -

employs organization-defined alternative or supplemental security mechanisms - satisfying organization-defined security functions when the primary means of - implementing the security function is unavailable or compromised.

- - - - EXAMINE - -

Contingency planning policy

-

procedures addressing alternate security mechanisms

-

contingency plan

-

continuity of operations plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

contingency plan test records

-

contingency plan test results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Information system capability implementing alternative security mechanisms

- - - - - - Identification and Authentication - - Identification and Authentication Policy and Procedures - - - - - - - - - - IA-1 - ia-01 - FIPS Publication 201 - NIST Special Publication 800-12 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An identification and authentication policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the identification and - authentication policy and associated identification and authentication - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Identification and authentication policy ; - and

- - - 2. -

Identification and authentication procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IA-1(a) - - IA-1(a)(1) - - IA-1(a)(1)[1] -

develops and documents an identification and authentication policy that - addresses:

- - IA-1(a)(1)[1][a] -

purpose;

- - - IA-1(a)(1)[1][b] -

scope;

- - - IA-1(a)(1)[1][c] -

roles;

- - - IA-1(a)(1)[1][d] -

responsibilities;

- - - IA-1(a)(1)[1][e] -

management commitment;

- - - IA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IA-1(a)(1)[1][g] -

compliance;

- - - - IA-1(a)(1)[2] -

defines personnel or roles to whom the identification and authentication - policy is to be disseminated; and

- - - IA-1(a)(1)[3] -

disseminates the identification and authentication policy to - organization-defined personnel or roles;

- - - - IA-1(a)(2) - - IA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - identification and authentication policy and associated identification and - authentication controls;

- - - IA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - IA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IA-1(b) - - IA-1(b)(1) - - IA-1(b)(1)[1] -

defines the frequency to review and update the current identification and - authentication policy;

- - - IA-1(b)(1)[2] -

reviews and updates the current identification and authentication policy - with the organization-defined frequency; and

- - - - IA-1(b)(2) - - IA-1(b)(2)[1] -

defines the frequency to review and update the current identification and - authentication procedures; and

- - - IA-1(b)(2)[2] -

reviews and updates the current identification and authentication procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

Identification and authentication policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Identification and Authentication (organizational Users) - IA-2 - ia-02 - HSPD-12 - OMB Memorandum 04-04 - OMB Memorandum 06-16 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

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

- - -

Organizational users include employees or individuals that organizations deem to have - equivalent status of employees (e.g., contractors, guest researchers). This control - applies to all accesses other than: (i) accesses that are explicitly identified and - documented in AC-14; and (ii) accesses that occur through authorized use of group - authenticators without individual authentication. Organizations may require unique - identification of individuals in group accounts (e.g., shared privilege accounts) or - for detailed accountability of individual activity. Organizations employ passwords, - tokens, or biometrics to authenticate user identities, or in the case multifactor - authentication, or some combination thereof. Access to organizational information - systems is defined as either local access or network access. Local access is any - access to organizational information systems by users (or processes acting on behalf - of users) where such access is obtained by direct connections without the use of - networks. Network access is access to organizational information systems by users (or - processes acting on behalf of users) where such access is obtained through network - connections (i.e., nonlocal accesses). Remote access is a type of network access that - involves communication through external networks (e.g., the Internet). Internal - networks include local area networks and wide area networks. In addition, the use of - encrypted virtual private networks (VPNs) for network connections between - organization-controlled endpoints and non-organization controlled endpoints may be - treated as internal networks from the perspective of protecting the confidentiality - and integrity of information traversing the network. Organizations can satisfy the - identification and authentication requirements in this control by complying with the - requirements in Homeland Security Presidential Directive 12 consistent with the - specific organizational implementation plans. Multifactor authentication requires the - use of two or more different factors to achieve authentication. The factors are - defined as: (i) something you know (e.g., password, personal identification number - [PIN]); (ii) something you have (e.g., cryptographic identification device, token); - or (iii) something you are (e.g., biometric). Multifactor solutions that require - devices separate from information systems gaining access include, for example, - hardware tokens providing time-based or challenge-response authenticators and smart - cards such as the U.S. Government Personal Identity Verification card and the DoD - common access card. In addition to identifying and authenticating users at the - information system level (i.e., at logon), organizations also employ identification - and authentication mechanisms at the application level, when necessary, to provide - increased information security. Identification and authentication requirements for - other than organizational users are described in IA-8.

- AC-2 - AC-3 - AC-14 - AC-17 - AC-18 - IA-4 - IA-5 - IA-8 - - -

Determine if the information system uniquely identifies and authenticates - organizational users (or processes acting on behalf of organizational users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for uniquely identifying and authenticating users

-

automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Network Access to Privileged Accounts - IA-2(1) - ia-02.01 - -

The information system implements multifactor authentication for network access to - privileged accounts.

- - - AC-6 - - -

Determine if the information system implements multifactor authentication for - network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Network Access to Non-privileged Accounts - IA-2(2) - ia-02.02 - -

The information system implements multifactor authentication for network access to - non-privileged accounts.

- - -

Determine if the information system implements multifactor authentication for - network access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Local Access to Privileged Accounts - IA-2(3) - ia-02.03 - -

The information system implements multifactor authentication for local access to - privileged accounts.

- - - AC-6 - - -

Determine if the information system implements multifactor authentication for - local access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Local Access to Non-privileged Accounts - IA-2(4) - ia-02.04 - -

The information system implements multifactor authentication for local access to - non-privileged accounts.

- - -

Determine if the information system implements multifactor authentication for - local access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Group Authentication - IA-2(5) - ia-02.05 - -

The organization requires individuals to be authenticated with an individual - authenticator when a group authenticator is employed.

- - -

Requiring individuals to use individual authenticators as a second level of - authentication helps organizations to mitigate the risk of using group - authenticators.

- - -

Determine if the organization requires individuals to be authenticated with an - individual authenticator when a group authenticator is employed.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authentication capability - for group accounts

- - - - - Network Access to Privileged Accounts - Separate Device - - - - IA-2(6) - ia-02.06 - -

The information system implements multifactor authentication for network access to - privileged accounts such that one of the factors is provided by a device separate - from the system gaining access and the device meets .

- - - AC-6 - - -

Determine if:

- - IA-2(6)[1] -

the information system implements multifactor authentication for network access - to privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - IA-2(6)[2] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining network access to privileged accounts; - and

- - - IA-2(6)[3] -

the information system implements multifactor authentication for network access - to privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Network Access to Non-privileged Accounts - Separate Device - - - - IA-2(7) - ia-02.07 - -

The information system implements multifactor authentication for network access to - non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access and the device meets .

- - -

Determine if:

- - IA-2(7)[1] -

the information system implements multifactor authentication for network access - to non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - IA-2(7)[2] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining network access to non-privileged - accounts; and

- - - IA-2(7)[3] -

the information system implements multifactor authentication for network access - to non-privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing multifactor authentication - capability

- - - - - Network Access to Privileged Accounts - Replay Resistant - IA-2(8) - ia-02.08 - -

The information system implements replay-resistant authentication mechanisms for - network access to privileged accounts.

- - -

Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by replaying previous authentication messages. - Replay-resistant techniques include, for example, protocols that use nonces or - challenges such as Transport Layer Security (TLS) and time synchronous or - challenge-response one-time authenticators.

- - -

Determine if the information system implements replay-resistant authentication - mechanisms for network access to privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing replay resistant - authentication mechanisms

- - - - - Network Access to Non-privileged Accounts - Replay Resistant - IA-2(9) - ia-02.09 - -

The information system implements replay-resistant authentication mechanisms for - network access to non-privileged accounts.

- - -

Authentication processes resist replay attacks if it is impractical to achieve - successful authentications by recording/replaying previous authentication - messages. Replay-resistant techniques include, for example, protocols that use - nonces or challenges such as Transport Layer Security (TLS) and time synchronous - or challenge-response one-time authenticators.

- - -

Determine if the information system implements replay-resistant authentication - mechanisms for network access to non-privileged accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of non-privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing replay resistant - authentication mechanisms

- - - - - Single Sign-on - - - - IA-2(10) - ia-02.10 - -

The information system provides a single sign-on capability for .

- - -

Single sign-on enables users to log in once and gain access to multiple - information system resources. Organizations consider the operational efficiencies - provided by single sign-on capabilities with the increased risk from disclosures - of single authenticators providing access to multiple system resources.

- - -

Determine if:

- - IA-2(10)[1] -

the organization defines a list of information system accounts and services for - which a single sign-on capability must be provided; and

- - - IA-2(10)[2] -

the information system provides a single sign-on capability for - organization-defined information system accounts and services.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing single sign-on capability for information system accounts - and services

-

procedures addressing identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts and services requiring single sign-on - capability

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing single sign-on capability - for information system accounts and services

- - - - - Remote Access - Separate Device - - - - IA-2(11) - ia-02.11 - -

The information system implements multifactor authentication for remote access to - privileged and non-privileged accounts such that one of the factors is provided by - a device separate from the system gaining access and the device meets .

- - -

For remote access to privileged/non-privileged accounts, the purpose of requiring - a device that is separate from the information system gaining access for one of - the factors during multifactor authentication is to reduce the likelihood of - compromising authentication credentials stored on the system. For example, - adversaries deploying malicious code on organizational information systems can - potentially compromise such credentials resident on the system and subsequently - impersonate authorized users.

- AC-6 - - -

Determine if:

- - IA-2(11)[1] -

the information system implements multifactor authentication for remote access - to privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - IA-2(11)[2] -

the information system implements multifactor authentication for remote access - to non-privileged accounts such that one of the factors is provided by a device - separate from the system gaining access;

- - - IA-2(11)[3] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to privileged - accounts;

- - - IA-2(11)[4] -

the organization defines strength of mechanism requirements to be enforced by a - device separate from the system gaining remote access to non-privileged - accounts;

- - - IA-2(11)[5] -

the information system implements multifactor authentication for remote access - to privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements; and

- - - IA-2(11)[6] -

the information system implements multifactor authentication for remote access - to non-privileged accounts such that a device, separate from the system gaining - access, meets organization-defined strength of mechanism requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of privileged and non-privileged information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Acceptance of PIV Credentials - IA-2(12) - ia-02.12 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials.

- - -

This control enhancement applies to organizations implementing logical access - control systems (LACS) and physical access control systems (PACS). Personal - Identity Verification (PIV) credentials are those credentials issued by federal - agencies that conform to FIPS Publication 201 and supporting guidance documents. - OMB Memorandum 11-11 requires federal agencies to continue implementing the - requirements specified in HSPD-12 to enable agency-wide use of PIV - credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - IA-2(12)[1] -

accepts Personal Identity Verification (PIV) credentials; and

- - - IA-2(12)[2] -

electronically verifies Personal Identity Verification (PIV) credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing acceptance and verification - of PIV credentials

- - - - - Out-of-band Authentication - - - - - - - IA-2(13) - ia-02.13 - -

The information system implements under .

- - -

Out-of-band authentication (OOBA) refers to the use of two separate communication - paths to identify and authenticate users or devices to an information system. The - first path (i.e., the in-band path), is used to identify and authenticate users or - devices, and generally is the path through which information flows. The second - path (i.e., the out-of-band path) is used to independently verify the - authentication and/or requested action. For example, a user authenticates via a - notebook computer to a remote server to which the user desires access, and - requests some action of the server via that communication path. Subsequently, the - server contacts the user via the user’s cell phone to verify that the requested - action originated from the user. The user may either confirm the intended action - to an individual on the telephone or provide an authentication code via the - telephone. This type of authentication can be employed by organizations to - mitigate actual or suspected man-in the-middle attacks. The conditions for - activation can include, for example, suspicious activities, new threat indicators - or elevated threat levels, or the impact level or classification level of - information in requested transactions.

- IA-10 - IA-11 - SC-37 - - -

Determine if:

- - IA-2(13)[1] -

the organization defines out-of-band authentication to be implemented by the - information system;

- - - IA-2(13)[2] -

the organization defines conditions under which the information system - implements organization-defined out-of-band authentication; and

- - - IA-2(13)[3] -

the information system implements organization-defined out-of-band - authentication under organization-defined conditions.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

system-generated list of out-of-band authentication paths

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing out-of-band authentication - capability

- - - - - - Device Identification and Authentication - - - - - - - IA-3 - ia-03 - -

The information system uniquely identifies and authenticates before establishing a - connection.

- - -

Organizational devices requiring unique device-to-device identification and - authentication may be defined by type, by device, or by a combination of type/device. - Information systems typically use either shared known information (e.g., Media Access - Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) - for device identification or organizational authentication solutions (e.g., IEEE - 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport - Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on - local and/or wide area networks. Organizations determine the required strength of - authentication mechanisms by the security categories of information systems. Because - of the challenges of applying this control on large scale, organizations are - encouraged to only apply the control to those limited number (and type) of devices - that truly need to support this capability.

- AC-17 - AC-18 - AC-19 - CA-3 - IA-4 - IA-5 - - -

Determine if:

- - IA-3[1] -

the organization defines specific and/or types of devices that the information - system uniquely identifies and authenticates before establishing one or more of - the following:

- - IA-3[1][a] -

a local connection;

- - - IA-3[1][b] -

a remote connection; and/or

- - - IA-3[1][c] -

a network connection; and

- - - - IA-3[2] -

the information system uniquely identifies and authenticates organization-defined - devices before establishing one or more of the following:

- - IA-3[2][a] -

a local connection;

- - - IA-3[2][b] -

a remote connection; and/or

- - - IA-3[2][c] -

a network connection.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing device identification and authentication

-

information system design documentation

-

list of devices requiring unique identification and authentication

-

device connection reports

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with operational responsibilities for device - identification and authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing device identification and - authentication capability

- - - - Cryptographic Bidirectional Authentication - - - - - - - IA-3(1) - ia-03.01 - -

The information system authenticates before - establishing connection using bidirectional - authentication that is cryptographically based.

- - -

A local connection is any connection with a device communicating without the use - of a network. A network connection is any connection with a device that - communicates through a network (e.g., local area or wide area network, Internet). - A remote connection is any connection with a device communicating through an - external network (e.g., the Internet). Bidirectional authentication provides - stronger safeguards to validate the identity of other devices for connections that - are of greater risk (e.g., remote connections).

- SC-8 - SC-12 - SC-13 - - -

Determine if:

- - IA-3(1)[1] -

the organization defines specific and/or types of devices requiring use of - cryptographically based, bidirectional authentication to authenticate before - establishing one or more of the following:

- - IA-3(1)[1][a] -

a local connection;

- - - IA-3(1)[1][b] -

a remote connection; and/or

- - - IA-3(1)[1][c] -

a network connection;

- - - - IA-3(1)[2] -

the information system uses cryptographically based bidirectional - authentication to authenticate organization-defined devices before establishing - one or more of the following:

- - IA-3(1)[2][a] -

a local connection;

- - - IA-3(1)[2][b] -

a remote connection; and/or

- - - IA-3(1)[2][c] -

a network connection.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing device identification and authentication

-

information system design documentation

-

list of devices requiring unique identification and authentication

-

device connection reports

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with operational responsibilities for device - identification and authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing device authentication - capability

-

cryptographically based bidirectional authentication mechanisms

- - - - - Cryptographic Bidirectional Network Authentication - IA-3(2) - ia-03.02 - Withdrawn - IA-3 (1) - - - Dynamic Address Allocation - - - - IA-3(3) - ia-03.03 - -

The organization:

- - (a) -

Standardizes dynamic address allocation lease information and the lease - duration assigned to devices in accordance with ; and

- - - (b) -

Audits lease information when assigned to a device.

- - - -

DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a - typical example of dynamic address allocation for devices.

- AU-2 - AU-3 - AU-6 - AU-12 - - -

Determine if the organization:

- - IA-3(3)(a) - - IA-3(3)(a)[1] -

defines lease information to be employed to standardize dynamic address - allocation for devices;

- - - IA-3(3)(a)[2] -

defines lease duration to be employed to standardize dynamic address - allocation for devices;

- - - IA-3(3)(a)[3] -

standardizes dynamic address allocation of lease information assigned to - devices in accordance with organization-defined lease information;

- - - IA-3(3)(a)[4] -

standardizes dynamic address allocation of the lease duration assigned to - devices in accordance with organization-defined lease duration; and

- - IA-3(3)(a) - - - IA-3(3)(b) -

audits lease information when assigned to a device.

- IA-3(3)(b) - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing device identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

evidence of lease information and lease duration assigned to devices

-

device connection reports

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with operational responsibilities for device - identification and authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing device identification and - authentication capability

-

automated mechanisms supporting and/or implementing dynamic address - allocation

-

automated mechanisms supporting and/or implanting auditing of lease - information

- - - - - Device Attestation - - - - IA-3(4) - ia-03.04 - -

The organization ensures that device identification and authentication based on - attestation is handled by .

- - -

Device attestation refers to the identification and authentication of a device - based on its configuration and known operating state. This might be determined via - some cryptographic hash of the device. If device attestation is the means of - identification and authentication, then it is important that patches and updates - to the device are handled via a configuration management process such that the - those patches/updates are done securely and at the same time do not disrupt the - identification and authentication to other devices.

- - -

Determine if the organization:

- - IA-3(4)[1] -

defines configuration management process to be employed to handle device - identification and authentication based on attestation; and

- - - IA-3(4)[2] -

ensures that device identification and authentication based on attestation is - handled by organization-defined configuration management process.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing device identification and authentication

-

procedures addressing device configuration management

-

information system design documentation

-

information system configuration settings and associated documentation

-

configuration management records

-

change control records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with operational responsibilities for device - identification and authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing device identification and - authentication capability

-

automated mechanisms supporting and/or implementing configuration - management

-

cryptographic mechanisms supporting device attestation

- - - - - - Identifier Management - - - - - - - - - - IA-4 - ia-04 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - -

The organization manages information system identifiers by:

- - a. -

Receiving authorization from to assign an - individual, group, role, or device identifier;

- - - b. -

Selecting an identifier that identifies an individual, group, role, or device;

- - - c. -

Assigning the identifier to the intended individual, group, role, or device;

- - - d. -

Preventing reuse of identifiers for ; and

- - - e. -

Disabling the identifier after .

- - - -

Common device identifiers include, for example, media access control (MAC), Internet - protocol (IP) addresses, or device-unique token identifiers. Management of individual - identifiers is not applicable to shared information system accounts (e.g., guest and - anonymous accounts). Typically, individual identifiers are the user names of the - information system accounts assigned to those individuals. In such instances, the - account management activities of AC-2 use account names provided by IA-4. This - control also addresses individual identifiers not necessarily associated with - information system accounts (e.g., identifiers used in physical security control - databases accessed by badge reader systems for access to information systems). - Preventing reuse of identifiers implies preventing the assignment of previously used - individual, group, role, or device identifiers to different individuals, groups, - roles, or devices.

- AC-2 - IA-2 - IA-3 - IA-5 - IA-8 - SC-37 - - -

Determine if the organization manages information system identifiers by:

- - IA-4(a) - - IA-4(a)[1] -

defining personnel or roles from whom authorization must be received to - assign:

- - IA-4(a)[1][a] -

an individual identifier;

- - - IA-4(a)[1][b] -

a group identifier;

- - - IA-4(a)[1][c] -

a role identifier; and/or

- - - IA-4(a)[1][d] -

a device identifier;

- - - - IA-4(a)[2] -

receiving authorization from organization-defined personnel or roles to - assign:

- - IA-4(a)[2][a] -

an individual identifier;

- - - IA-4(a)[2][b] -

a group identifier;

- - - IA-4(a)[2][c] -

a role identifier; and/or

- - - IA-4(a)[2][d] -

a device identifier;

- - - - - IA-4(b) -

selecting an identifier that identifies:

- - IA-4(b)[1] -

an individual;

- - - IA-4(b)[2] -

a group;

- - - IA-4(b)[3] -

a role; and/or

- - - IA-4(b)[4] -

a device;

- - - - IA-4(c) -

assigning the identifier to the intended:

- - IA-4(c)[1] -

individual;

- - - IA-4(c)[2] -

group;

- - - IA-4(c)[3] -

role; and/or

- - - IA-4(c)[4] -

device;

- - - - IA-4(d) - - IA-4(d)[1] -

defining a time period for preventing reuse of identifiers;

- - - IA-4(d)[2] -

preventing reuse of identifiers for the organization-defined time period;

- - - - IA-4(e) - - IA-4(e)[1] -

defining a time period of inactivity to disable the identifier; and

- - - IA-4(e)[2] -

disabling the identifier after the organization-defined time period of - inactivity.

- - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system accounts

-

list of identifiers generated from physical access control devices

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - Prohibit Account Identifiers as Public Identifiers - IA-4(1) - ia-04.01 - -

The organization prohibits the use of information system account identifiers that - are the same as public identifiers for individual electronic mail accounts.

- - -

Prohibiting the use of information systems account identifiers that are the same - as some public identifier such as the individual identifier section of an - electronic mail address, makes it more difficult for adversaries to guess user - identifiers on organizational information systems.

- AT-2 - - -

Determine if the organization prohibits the use of information system account - identifiers that are the same as public identifiers for individual electronic mail - accounts.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - Supervisor Authorization - IA-4(2) - ia-04.02 - -

The organization requires that the registration process to receive an individual - identifier includes supervisor authorization.

- - -

Determine if the organization requires that the registration process to receive an - individual identifier includes supervisor authorization.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

supervisors responsible for authorizing identifier registration

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - Multiple Forms of Certification - IA-4(3) - ia-04.03 - -

The organization requires multiple forms of certification of individual - identification be presented to the registration authority.

- - -

Requiring multiple forms of identification, such as documentary evidence or a - combination of documents and biometrics, reduces the likelihood of individuals - using fraudulent identification to establish an identity, or at least increases - the work factor of potential adversaries.

- - -

Determine if the organization requires multiple forms of certification of - individual identification such as documentary evidence or a combination of - documents and biometrics be presented to the registration authority.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - Identify User Status - - - - IA-4(4) - ia-04.04 - -

The organization manages individual identifiers by uniquely identifying each - individual as .

- - -

Characteristics identifying the status of individuals include, for example, - contractors and foreign nationals. Identifying the status of individuals by - specific characteristics provides additional information about the people with - whom organizational personnel are communicating. For example, it might be useful - for a government employee to know that one of the individuals on an email message - is a contractor.

- AT-2 - - -

Determine if the organization:

- - IA-4(4)[1] -

defines a characteristic to be used to identify individual status; and

- - - IA-4(4)[2] -

manages individual identifiers by uniquely identifying each individual as the - organization-defined characteristic identifying individual status.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

list of characteristics identifying individual status

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - Dynamic Management - IA-4(5) - ia-04.05 - -

The information system dynamically manages identifiers.

- - -

In contrast to conventional approaches to identification which presume static - accounts for preregistered users, many distributed information systems including, - for example, service-oriented architectures, rely on establishing identifiers at - run time for entities that were previously unknown. In these situations, - organizations anticipate and provision for the dynamic establishment of - identifiers. Preestablished trust relationships and mechanisms with appropriate - authorities to validate identities and related credentials are essential.

- AC-16 - - -

Determine if the information system dynamically manages identifiers.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing dynamic identifier - management

- - - - - Cross-organization Management - - - - IA-4(6) - ia-04.06 - -

The organization coordinates with for - cross-organization management of identifiers.

- - -

Cross-organization identifier management provides the capability for organizations - to appropriately identify individuals, groups, roles, or devices when conducting - cross-organization activities involving the processing, storage, or transmission - of information.

- - -

Determine if the organization:

- - IA-4(6)[1] -

defines external organizations with whom to coordinate cross-organization - management of identifiers; and

- - - IA-4(6)[2] -

coordinates with organization-defined external organizations for - cross-organization management of identifiers.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identifier management

- - - - - In-person Registration - IA-4(7) - ia-04.07 - -

The organization requires that the registration process to receive an individual - identifier be conducted in person before a designated registration authority.

- - -

In-person registration reduces the likelihood of fraudulent identifiers being - issued because it requires the physical presence of individuals and actual - face-to-face interactions with designated registration authorities.

- - -

Determine if the organization requires that the registration process to receive an - individual identifier be conducted in person before a designated registration - authority.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

procedures addressing account management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Authenticator Management - - - - IA-5 - ia-05 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-63 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - FICAM Roadmap and Implementation Guidance - http://idmanagement.gov - -

The organization manages information system authenticators by:

- - a. -

Verifying, as part of the initial authenticator distribution, the identity of the - individual, group, role, or device receiving the authenticator;

- - - b. -

Establishing initial authenticator content for authenticators defined by the - organization;

- - - c. -

Ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - d. -

Establishing and implementing administrative procedures for initial authenticator - distribution, for lost/compromised or damaged authenticators, and for revoking - authenticators;

- - - e. -

Changing default content of authenticators prior to information system - installation;

- - - f. -

Establishing minimum and maximum lifetime restrictions and reuse conditions for - authenticators;

- - - g. -

Changing/refreshing authenticators ;

- - - h. -

Protecting authenticator content from unauthorized disclosure and - modification;

- - - i. -

Requiring individuals to take, and having devices implement, specific security - safeguards to protect authenticators; and

- - - j. -

Changing authenticators for group/role accounts when membership to those accounts - changes.

- - - -

Individual authenticators include, for example, passwords, tokens, biometrics, PKI - certificates, and key cards. Initial authenticator content is the actual content - (e.g., the initial password) as opposed to requirements about authenticator content - (e.g., minimum password length). In many cases, developers ship information system - components with factory default authentication credentials to allow for initial - installation and configuration. Default authentication credentials are often well - known, easily discoverable, and present a significant security risk. The requirement - to protect individual authenticators may be implemented via control PL-4 or PS-6 for - authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 - for authenticators stored within organizational information systems (e.g., passwords - stored in hashed or encrypted formats, files containing encrypted or hashed passwords - accessible with administrator privileges). Information systems support individual - authenticator management by organization-defined settings and restrictions for - various authenticator characteristics including, for example, minimum password - length, password composition, validation time window for time synchronous one-time - tokens, and number of allowed rejections during the verification stage of biometric - authentication. Specific actions that can be taken to safeguard authenticators - include, for example, maintaining possession of individual authenticators, not - loaning or sharing individual authenticators with others, and reporting lost, stolen, - or compromised authenticators immediately. Authenticator management includes issuing - and revoking, when no longer needed, authenticators for temporary access such as that - required for remote maintenance. Device authenticators include, for example, - certificates and passwords.

- AC-2 - AC-3 - AC-6 - CM-6 - IA-2 - IA-4 - IA-8 - PL-4 - PS-5 - PS-6 - SC-12 - SC-13 - SC-17 - SC-28 - - -

Determine if the organization manages information system authenticators by:

- - IA-5(a) -

verifying, as part of the initial authenticator distribution, the identity of:

- - IA-5(a)[1] -

the individual receiving the authenticator;

- - - IA-5(a)[2] -

the group receiving the authenticator;

- - - IA-5(a)[3] -

the role receiving the authenticator; and/or

- - - IA-5(a)[4] -

the device receiving the authenticator;

- - - - IA-5(b) -

establishing initial authenticator content for authenticators defined by the - organization;

- - - IA-5(c) -

ensuring that authenticators have sufficient strength of mechanism for their - intended use;

- - - IA-5(d) - - IA-5(d)[1] -

establishing and implementing administrative procedures for initial - authenticator distribution;

- - - IA-5(d)[2] -

establishing and implementing administrative procedures for lost/compromised or - damaged authenticators;

- - - IA-5(d)[3] -

establishing and implementing administrative procedures for revoking - authenticators;

- - - - IA-5(e) -

changing default content of authenticators prior to information system - installation;

- - - IA-5(f) - - IA-5(f)[1] -

establishing minimum lifetime restrictions for authenticators;

- - - IA-5(f)[2] -

establishing maximum lifetime restrictions for authenticators;

- - - IA-5(f)[3] -

establishing reuse conditions for authenticators;

- - - - IA-5(g) - - IA-5(g)[1] -

defining a time period (by authenticator type) for changing/refreshing - authenticators;

- - - IA-5(g)[2] -

changing/refreshing authenticators with the organization-defined time period by - authenticator type;

- - - - IA-5(h) -

protecting authenticator content from unauthorized:

- - IA-5(h)[1] -

disclosure;

- - - IA-5(h)[2] -

modification;

- - - - IA-5(i) - - IA-5(i)[1] -

requiring individuals to take specific security safeguards to protect - authenticators;

- - - IA-5(i)[2] -

having devices implement specific security safeguards to protect - authenticators; and

- - - - IA-5(j) -

changing authenticators for group/role accounts when membership to those accounts - changes.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system authenticator types

-

change control records associated with managing information system - authenticators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - Password-based Authentication - - - - - - - - - - - - - IA-5(1) - ia-05.01 - -

The information system, for password-based authentication:

- - (a) -

Enforces minimum password complexity of ;

- - - (b) -

Enforces at least the following number of changed characters when new passwords - are created: ;

- - - (c) -

Stores and transmits only cryptographically-protected passwords;

- - - (d) -

Enforces password minimum and maximum lifetime restrictions of ;

- - - (e) -

Prohibits password reuse for generations; - and

- - - (f) -

Allows the use of a temporary password for system logons with an immediate - change to a permanent password.

- - - -

This control enhancement applies to single-factor authentication of individuals - using passwords as individual or group authenticators, and in a similar manner, - when passwords are part of multifactor authenticators. This control enhancement - does not apply when passwords are used to unlock hardware authenticators (e.g., - Personal Identity Verification cards). The implementation of such password - mechanisms may not meet all of the requirements in the enhancement. - Cryptographically-protected passwords include, for example, encrypted versions of - passwords and one-way cryptographic hashes of passwords. The number of changed - characters refers to the number of changes required with respect to the total - number of positions in the current password. Password lifetime restrictions do not - apply to temporary passwords. To mitigate certain brute force attacks against - passwords, organizations may also consider salting passwords.

- IA-6 - - -

Determine if, for password-based authentication:

- - IA-5(1)(a) - - IA-5(1)(a)[1] -

the organization defines requirements for case sensitivity;

- - - IA-5(1)(a)[2] -

the organization defines requirements for number of characters;

- - - IA-5(1)(a)[3] -

the organization defines requirements for the mix of upper-case letters, - lower-case letters, numbers and special characters;

- - - IA-5(1)(a)[4] -

the organization defines minimum requirements for each type of - character;

- - - IA-5(1)(a)[5] -

the information system enforces minimum password complexity of - organization-defined requirements for case sensitivity, number of - characters, mix of upper-case letters, lower-case letters, numbers, and - special characters, including minimum requirements for each type;

- - IA-5(1)(a) - - - IA-5(1)(b) - - IA-5(1)(b)[1] -

the organization defines a minimum number of changed characters to be - enforced when new passwords are created;

- - - IA-5(1)(b)[2] -

the information system enforces at least the organization-defined minimum - number of characters that must be changed when new passwords are - created;

- - IA-5(1)(b) - - - IA-5(1)(c) -

the information system stores and transmits only encrypted representations of - passwords;

- IA-5(1)(c) - - - IA-5(1)(d) - - IA-5(1)(d)[1] -

the organization defines numbers for password minimum lifetime restrictions - to be enforced for passwords;

- - - IA-5(1)(d)[2] -

the organization defines numbers for password maximum lifetime restrictions - to be enforced for passwords;

- - - IA-5(1)(d)[3] -

the information system enforces password minimum lifetime restrictions of - organization-defined numbers for lifetime minimum;

- - - IA-5(1)(d)[4] -

the information system enforces password maximum lifetime restrictions of - organization-defined numbers for lifetime maximum;

- - IA-5(1)(d) - - - IA-5(1)(e) - - IA-5(1)(e)[1] -

the organization defines the number of password generations to be prohibited - from password reuse;

- - - IA-5(1)(e)[2] -

the information system prohibits password reuse for the organization-defined - number of generations; and

- - IA-5(1)(e) - - - IA-5(1)(f) -

the information system allows the use of a temporary password for system logons - with an immediate change to a permanent password.

- IA-5(1)(f) - - - - EXAMINE - -

Identification and authentication policy

-

password policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

password configurations and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

- - - - - Pki-based Authentication - IA-5(2) - ia-05.02 - -

The information system, for PKI-based authentication:

- - (a) -

Validates certifications by constructing and verifying a certification path to - an accepted trust anchor including checking certificate status information;

- - - (b) -

Enforces authorized access to the corresponding private key;

- - - (c) -

Maps the authenticated identity to the account of the individual or group; - and

- - - (d) -

Implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network.

- - - -

Status information for certification paths includes, for example, certificate - revocation lists or certificate status protocol responses. For PIV cards, - validation of certifications involves the construction and verification of a - certification path to the Common Policy Root trust anchor including certificate - policy processing.

- IA-6 - - -

Determine if the information system, for PKI-based authentication:

- - IA-5(2)(a) - - IA-5(2)(a)[1] -

validates certifications by constructing a certification path to an accepted - trust anchor;

- - - IA-5(2)(a)[2] -

validates certifications by verifying a certification path to an accepted - trust anchor;

- - - IA-5(2)(a)[3] -

includes checking certificate status information when constructing and - verifying the certification path;

- - IA-5(2)(a) - - - IA-5(2)(b) -

enforces authorized access to the corresponding private key;

- IA-5(2)(b) - - - IA-5(2)(c) -

maps the authenticated identity to the account of the individual or group; - and

- IA-5(2)(c) - - - IA-5(2)(d) -

implements a local cache of revocation data to support path discovery and - validation in case of inability to access revocation information via the - network.

- IA-5(2)(d) - - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

PKI certification validation records

-

PKI certification revocation lists

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with PKI-based, authenticator management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing PKI-based, authenticator - management capability

- - - - - In-person or Trusted Third-party Registration - - - - - - - - - - - - - IA-5(3) - ia-05.03 - -

The organization requires that the registration process to receive be conducted before - with authorization by .

- - -

Determine if the organization:

- - IA-5(3)[1] -

defines types of and/or specific authenticators to be received in person or by - a trusted third party;

- - - IA-5(3)[2] -

defines the registration authority with oversight of the registration process - for receipt of organization-defined types of and/or specific - authenticators;

- - - IA-5(3)[3] -

defines personnel or roles responsible for authorizing organization-defined - registration authority;

- - - IA-5(3)[4] -

defines if the registration process is to be conducted:

- - IA-5(3)[4][a] -

in person; or

- - - IA-5(3)[4][b] -

by a trusted third party; and

- - - - IA-5(3)[5] -

requires that the registration process to receive organization-defined types of - and/or specific authenticators be conducted in person or by a trusted third - party before organization-defined registration authority with authorization by - organization-defined personnel or roles.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

registration process for receiving information system authenticators

-

list of authenticators requiring in-person registration

-

list of authenticators requiring trusted third party registration

-

authenticator registration documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

registration authority

-

organizational personnel with information security responsibilities

- - - - - Automated Support for Password Strength Determination - - - - IA-5(4) - ia-05.04 - -

The organization employs automated tools to determine if password authenticators - are sufficiently strong to satisfy .

- - -

This control enhancement focuses on the creation of strong passwords and the - characteristics of such passwords (e.g., complexity) prior to use, the enforcement - of which is carried out by organizational information systems in IA-5 (1).

- CA-2 - CA-7 - RA-5 - - -

Determine if the organization:

- - IA-5(4)[1] -

defines requirements to be satisfied by password authenticators; and

- - - IA-5(4)[2] -

employs automated tools to determine if password authenticators are - sufficiently strong to satisfy organization-defined requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

automated tools for evaluating password authenticators

-

password strength assessment results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing password-based - authenticator management capability

-

automated tools for determining password strength

- - - - - Change Authenticators Prior to Delivery - IA-5(5) - ia-05.05 - -

The organization requires developers/installers of information system components - to provide unique authenticators or change default authenticators prior to - delivery/installation.

- - -

This control enhancement extends the requirement for organizations to change - default authenticators upon information system installation, by requiring - developers and/or installers to provide unique authenticators or change default - authenticators for system components prior to delivery and/or installation. - However, it typically does not apply to the developers of commercial - off-the-shelve information technology products. Requirements for unique - authenticators can be included in acquisition documents prepared by organizations - when procuring information systems or system components.

- - -

Determine if the organization requires developers/installers of information system - components to:

- - IA-5(5)[1] -

provide unique authenticators prior to delivery/installation; or

- - - IA-5(5)[2] -

change default authenticators prior to delivery/installation.

- - - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing authenticator management

-

procedures addressing the integration of security requirements into the - acquisition process

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information system security, acquisition, and - contracting responsibilities

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - - Protection of Authenticators - IA-5(6) - ia-05.06 - -

The organization protects authenticators commensurate with the security category - of the information to which use of the authenticator permits access.

- - -

For information systems containing multiple security categories of information - without reliable physical or logical separation between categories, authenticators - used to grant access to the systems are protected commensurate with the highest - security category of information on the systems.

- - -

Determine if the organization protects authenticators commensurate with the - security category of the information to which use of the authenticator permits - access.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security categorization documentation for the information system

-

security assessments of authenticator protections

-

risk assessment results

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel implementing and/or maintaining authenticator - protections

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

-

automated mechanisms protecting authenticators

- - - - - No Embedded Unencrypted Static Authenticators - IA-5(7) - ia-05.07 - -

The organization ensures that unencrypted static authenticators are not embedded - in applications or access scripts or stored on function keys.

- - -

Organizations exercise caution in determining whether embedded or stored - authenticators are in encrypted or unencrypted form. If authenticators are used in - the manner stored, then those representations are considered unencrypted - authenticators. This is irrespective of whether that representation is perhaps an - encrypted version of something else (e.g., a password).

- - -

Determine if the organization ensures that unencrypted static authenticators are - not:

- - IA-5(7)[1] -

embedded in applications;

- - - IA-5(7)[2] -

embedded in access scripts; or

- - - IA-5(7)[3] -

stored on function keys.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

information system design documentation

-

information system configuration settings and associated documentation

-

logical access scripts

-

application code reviews for detecting unencrypted static authenticators

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

-

automated mechanisms implementing authentication in applications

- - - - - Multiple Information System Accounts - - - - IA-5(8) - ia-05.08 - -

The organization implements to manage the risk - of compromise due to individuals having accounts on multiple information - systems.

- - -

When individuals have accounts on multiple information systems, there is the risk - that the compromise of one account may lead to the compromise of other accounts if - individuals use the same authenticators. Possible alternatives include, for - example: (i) having different authenticators on all systems; (ii) employing some - form of single sign-on mechanism; or (iii) including some form of one-time - passwords on all systems.

- - -

Determine if the organization:

- - IA-5(8)[1] -

defines security safeguards to manage the risk of compromise due to individuals - having accounts on multiple information systems; and

- - - IA-5(8)[2] -

implements organization-defined security safeguards to manage the risk of - compromise due to individuals having accounts on multiple information - systems.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

list of individuals having accounts on multiple information systems

-

list of security safeguards intended to manage risk of compromise due to - individuals having accounts on multiple information systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards for - authenticator management

- - - - - Cross-organization Credential Management - - - - IA-5(9) - ia-05.09 - -

The organization coordinates with for - cross-organization management of credentials.

- - -

Cross-organization management of credentials provides the capability for - organizations to appropriately authenticate individuals, groups, roles, or devices - when conducting cross-organization activities involving the processing, storage, - or transmission of information.

- - -

Determine if the organization:

- - IA-5(9)[1] -

defines external organizations with whom to coordinate cross-organizational - management of credentials; and

- - - IA-5(9)[2] -

coordinates with organization-defined external organizations for - cross-organizational management of credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

procedures addressing account management

-

security plan

-

information security agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards for - authenticator management

- - - - - Dynamic Credential Association - IA-5(10) - ia-05.10 - -

The information system dynamically provisions identities.

- - -

Authentication requires some form of binding between an identity and the - authenticator used to confirm the identity. In conventional approaches, this - binding is established by pre-provisioning both the identity and the authenticator - to the information system. For example, the binding between a username (i.e., - identity) and a password (i.e., authenticator) is accomplished by provisioning the - identity and authenticator as a pair in the information system. New authentication - techniques allow the binding between the identity and the authenticator to be - implemented outside an information system. For example, with smartcard - credentials, the identity and the authenticator are bound together on the card. - Using these credentials, information systems can authenticate identities that have - not been pre-provisioned, dynamically provisioning the identity after - authentication. In these situations, organizations can anticipate the dynamic - provisioning of identities. Preestablished trust relationships and mechanisms with - appropriate authorities to validate identities and related credentials are - essential.

- - -

Determine if the information system dynamically provisions identifiers.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

security plan

-

information system design documentation

-

automated mechanisms providing dynamic binding of identifiers and - authenticators

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identifier management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing identifier management capability

-

automated mechanisms implementing dynamic provisioning of identifiers

- - - - - Hardware Token-based Authentication - - - - IA-5(11) - ia-05.11 - -

The information system, for hardware token-based authentication, employs - mechanisms that satisfy .

- - -

Hardware token-based authentication typically refers to the use of PKI-based - tokens, such as the U.S. Government Personal Identity Verification (PIV) card. - Organizations define specific requirements for tokens, such as working with a - particular PKI.

- - -

Determine if, for hardware token-based authentication:

- - IA-5(11)[1] -

the organization defines token quality requirements to be satisfied; and

- - - IA-5(11)[2] -

the information system employs mechanisms that satisfy organization-defined - token quality requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

automated mechanisms employing hardware token-based authentication for the - information system

-

list of token quality requirements

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing hardware token-based - authenticator management capability

- - - - - Biometric-based Authentication - - - - IA-5(12) - ia-05.12 - -

The information system, for biometric-based authentication, employs mechanisms - that satisfy .

- - -

Unlike password-based authentication which provides exact matches of user-input - passwords to stored passwords, biometric authentication does not provide such - exact matches. Depending upon the type of biometric and the type of collection - mechanism, there is likely to be some divergence from the presented biometric and - stored biometric which serves as the basis of comparison. There will likely be - both false positives and false negatives when making such comparisons. The rate at - which the false accept and false reject rates are equal is known as the crossover - rate. Biometric quality requirements include, for example, acceptable crossover - rates, as that essentially reflects the accuracy of the biometric.

- - -

Determine if, for biometric-based authentication:

- - IA-5(12)[1] -

the organization defines biometric quality requirements to be satisfied; - and

- - - IA-5(12)[2] -

the information system employs mechanisms that satisfy organization-defined - biometric quality requirements.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

automated mechanisms employing biometric-based authentication for the - information system

-

list of biometric quality requirements

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing biometric-based - authenticator management capability

- - - - - Expiration of Cached Authenticators - - - - IA-5(13) - ia-05.13 - -

The information system prohibits the use of cached authenticators after .

- - -

Determine if:

- - IA-5(13)[1] -

the organization defines the time period after which the information system is - to prohibit the use of cached authenticators; and

- - - IA-5(13)[2] -

the information system prohibits the use of cached authenticators after the - organization-defined time period.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing authenticator management - capability

- - - - - Managing Content of PKI Trust Stores - IA-5(14) - ia-05.14 - -

The organization, for PKI-based authentication, employs a deliberate - organization-wide methodology for managing the content of PKI trust stores - installed across all platforms including networks, operating systems, browsers, - and applications.

- - -

Determine if the organization, for PKI-based authentication, employs a deliberate - organization-wide methodology for managing the content of PKI trust stores - installed across all platforms including:

- - IA-5(14)[1] -

networks;

- - - IA-5(14)[2] -

operating systems;

- - - IA-5(14)[3] -

browsers; and

- - - IA-5(14)[4] -

applications.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator management

-

security plan

-

organizational methodology for managing content of PKI trust stores across - installed all platforms

-

information system design documentation

-

information system configuration settings and associated documentation

-

enterprise security architecture documentation

-

enterprise architecture documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with authenticator management responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing PKI-based authenticator - management capability

-

automated mechanisms supporting and/or implementing the PKI trust store - capability

- - - - - Ficam-approved Products and Services - IA-5(15) - ia-05.15 - -

The organization uses only FICAM-approved path discovery and validation products - and services.

- - -

Federal Identity, Credential, and Access Management (FICAM)-approved path - discovery and validation products and services are those products and services - that have been approved through the FICAM conformance program, where - applicable.

- - -

Determine if the organization uses only FICAM-approved path discovery and - validation products and services.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing identifier management

-

security plan

-

information system design documentation

-

automated mechanisms providing dynamic binding of identifiers and - authenticators

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication management - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing account management - capability

-

automated mechanisms supporting and/or implementing identification and - authentication management capability for the information system

- - - - - - Authenticator Feedback - IA-6 - ia-06 - -

The information system obscures feedback of authentication information during the - authentication process to protect the information from possible exploitation/use by - unauthorized individuals.

- - -

The feedback from information systems does not provide information that would allow - unauthorized individuals to compromise authentication mechanisms. For some types of - information systems or system components, for example, desktops/notebooks with - relatively large monitors, the threat (often referred to as shoulder surfing) may be - significant. For other types of systems or components, for example, mobile devices - with 2-4 inch screens, this threat may be less significant, and may need to be - balanced against the increased likelihood of typographic input errors due to the - small keyboards. Therefore, the means for obscuring the authenticator feedback is - selected accordingly. Obscuring the feedback of authentication information includes, - for example, displaying asterisks when users type passwords into input devices, or - displaying feedback for a very limited time before fully obscuring it.

- PE-18 - - -

Determine if the information system obscures feedback of authentication information - during the authentication process to protect the information from possible - exploitation/use by unauthorized individuals.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing authenticator feedback

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the obscuring of feedback of - authentication information during authentication

- - - - - Cryptographic Module Authentication - IA-7 - ia-07 - FIPS Publication 140 - http://csrc.nist.gov/groups/STM/cmvp/index.html - -

The information system implements mechanisms for authentication to a cryptographic - module that meet the requirements of applicable federal laws, Executive Orders, - directives, policies, regulations, standards, and guidance for such - authentication.

- - -

Authentication mechanisms may be required within a cryptographic module to - authenticate an operator accessing the module and to verify that the operator is - authorized to assume the requested role and perform services within that role.

- SC-12 - SC-13 - - -

Determine if the information system implements mechanisms for authentication to a - cryptographic module that meet the requirements of applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance for such - authentication.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing cryptographic module authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for cryptographic module - authentication

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic module - authentication

- - - - - Identification and Authentication (non-organizational Users) - IA-8 - ia-08 - OMB Memorandum 04-04 - OMB Memorandum 11-11 - OMB Memorandum 10-06-2011 - FICAM Roadmap and Implementation Guidance - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-116 - National Strategy for Trusted Identities in - Cyberspace - http://idmanagement.gov - -

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

- - -

Non-organizational users include information system users other than organizational - users explicitly covered by IA-2. These individuals are uniquely identified and - authenticated for accesses other than those accesses explicitly identified and - documented in AC-14. In accordance with the E-Authentication E-Government initiative, - authentication of non-organizational users accessing federal information systems may - be required to protect federal, proprietary, or privacy-related information (with - exceptions noted for national security systems). Organizations use risk assessments - to determine authentication needs and consider scalability, practicality, and - security in balancing the need to ensure ease of use for access to federal - information and information systems with the need to protect and adequately mitigate - risk. IA-2 addresses identification and authentication requirements for access to - information systems by organizational users.

- AC-2 - AC-14 - AC-17 - AC-18 - IA-2 - IA-4 - IA-5 - MA-4 - RA-3 - SA-12 - SC-8 - - -

Determine if the information system uniquely identifies and authenticates - non-organizational users (or processes acting on behalf of non-organizational - users).

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of information system accounts

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - Acceptance of PIV Credentials from Other Agencies - IA-8(1) - ia-08.01 - -

The information system accepts and electronically verifies Personal Identity - Verification (PIV) credentials from other federal agencies.

- - -

This control enhancement applies to logical access control systems (LACS) and - physical access control systems (PACS). Personal Identity Verification (PIV) - credentials are those credentials issued by federal agencies that conform to FIPS - Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires - federal agencies to continue implementing the requirements specified in HSPD-12 to - enable agency-wide use of PIV credentials.

- AU-2 - PE-3 - SA-4 - - -

Determine if the information system:

- - IA-8(1)[1] -

accepts Personal Identity Verification (PIV) credentials from other agencies; - and

- - - IA-8(1)[2] -

electronically verifies Personal Identity Verification (PIV) credentials from - other agencies.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV verification records

-

evidence of PIV credentials

-

PIV credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept and verify PIV credentials

- - - - - Acceptance of Third-party Credentials - IA-8(2) - ia-08.02 - -

The information system accepts only FICAM-approved third-party credentials.

- - -

This control enhancement typically applies to organizational information systems - that are accessible to the general public, for example, public-facing websites. - Third-party credentials are those credentials issued by nonfederal government - entities approved by the Federal Identity, Credential, and Access Management - (FICAM) Trust Framework Solutions initiative. Approved third-party credentials - meet or exceed the set of minimum federal government-wide technical, security, - privacy, and organizational maturity requirements. This allows federal government - relying parties to trust such credentials at their approved assurance levels.

- AU-2 - - -

Determine if the information system accepts only FICAM-approved third-party - credentials.

- - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-approved, third-party credentialing products, components, or - services procured and implemented by organization

-

third-party credential verification records

-

evidence of FICAM-approved third-party credentials

-

third-party credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept FICAM-approved credentials

- - - - - Use of Ficam-approved Products - - - - IA-8(3) - ia-08.03 - -

The organization employs only FICAM-approved information system components in - to accept third-party credentials.

- - -

This control enhancement typically applies to information systems that are - accessible to the general public, for example, public-facing websites. - FICAM-approved information system components include, for example, information - technology products and software libraries that have been approved by the Federal - Identity, Credential, and Access Management conformance program.

- SA-4 - - -

Determine if the organization:

- - IA-8(3)[1] -

defines information systems in which only FICAM-approved information system - components are to be employed to accept third-party credentials; and

- - - IA-8(3)[2] -

employs only FICAM-approved information system components in - organization-defined information systems to accept third-party credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

third-party credential validations

-

third-party credential authorizations

-

third-party credential records

-

list of FICAM-approved information system components procured and implemented - by organization

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information system security, acquisition, and - contracting responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Use of Ficam-issued Profiles - IA-8(4) - ia-08.04 - -

The information system conforms to FICAM-issued profiles.

- - -

This control enhancement addresses open identity management standards. To ensure - that these standards are viable, robust, reliable, sustainable (e.g., available in - commercial information technology products), and interoperable as documented, the - United States Government assesses and scopes identity management standards and - technology implementations against applicable federal legislation, directives, - policies, and requirements. The result is FICAM-issued implementation profiles of - approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and - OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute - Exchange).

- SA-4 - - -

Determine if the information system conforms to FICAM-issued profiles.

- - - EXAMINE - -

Identification and authentication policy

-

system and services acquisition policy

-

procedures addressing user identification and authentication

-

procedures addressing the integration of security requirements into the - acquisition process

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FICAM-issued profiles and associated, approved protocols

-

acquisition documentation

-

acquisition contracts for information system procurements or services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms supporting and/or implementing conformance with - FICAM-issued profiles

- - - - - Acceptance of PIV-I Credentials - IA-8(5) - ia-08.05 - -

The information system accepts and electronically verifies Personal Identity - Verification-I (PIV-I) credentials.

- - -

This control enhancement: (i) applies to logical and physical access control - systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that - desire to interoperate with United States Government Personal Identity - Verification (PIV) information systems and that can be trusted by federal - government-relying parties. The X.509 certificate policy for the Federal Bridge - Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is - suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special - Publication 800-63, and multifactor authentication as defined in NIST Special - Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I - provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I - Certificate Policy. A PIV-I provider is cross-certified (directly or through - another PKI bridge) with the FBCA with policies that have been mapped and approved - as meeting the requirements of the PIV-I policies defined in the FBCA certificate - policy.

- AU-2 - - -

Determine if the information system:

- - IA-8(5)[1] -

accepts Personal Identity Verification-I (PIV-I) credentials; and

- - - IA-8(5)[2] -

electronically verifies Personal Identity Verification-I (PIV-I) - credentials.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user identification and authentication

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

PIV-I verification records

-

evidence of PIV-I credentials

-

PIV-I credential authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with account management responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

-

automated mechanisms that accept and verify PIV-I credentials

- - - - - - Service Identification and Authentication - - - - - - - IA-9 - ia-09 - -

The organization identifies and authenticates using - .

- - -

This control supports service-oriented architectures and other distributed - architectural approaches requiring the identification and authentication of - information system services. In such architectures, external services often appear - dynamically. Therefore, information systems should be able to determine in a dynamic - manner, if external providers and associated services are authentic. Safeguards - implemented by organizational information systems to validate provider and service - authenticity include, for example, information or code signing, provenance graphs, - and/or electronic signatures indicating or including the sources of services.

- - -

Determine if the organization:

- - IA-9[1] -

defines information system services to be identified and authenticated using - security safeguards;

- - - IA-9[2] -

defines security safeguards to be used to identify and authenticate - organization-defined information system services; and

- - - IA-9[3] -

identifies and authenticates organization-defined information system services - using organization-defined security safeguards.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing service identification and authentication

-

security plan

-

information system design documentation

-

security safeguards used to identify and authenticate information system - services

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with identification and authentication - responsibilities

- - - - TEST - -

Security safeguards implementing service identification and authentication - capability

- - - - Information Exchange - IA-9(1) - ia-09.01 - -

The organization ensures that service providers receive, validate, and transmit - identification and authentication information.

- - -

Determine if the organization ensures that service providers:

- - IA-9(1)[1] -

receive identification and authentication information;

- - - IA-9(1)[2] -

validate identification and authentication information; and

- - - IA-9(1)[3] -

transmit identification and authentication information.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing service identification and authentication

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

service providers

- - - - TEST - -

Automated mechanisms implementing service identification and authentication - capabilities

- - - - - Transmission of Decisions - - - - IA-9(2) - ia-09.02 - -

The organization ensures that identification and authentication decisions are - transmitted between consistent with - organizational policies.

- - -

For distributed architectures (e.g., service-oriented architectures), the - decisions regarding the validation of identification and authentication claims may - be made by services separate from the services acting on those decisions. In such - situations, it is necessary to provide the identification and authentication - decisions (as opposed to the actual identifiers and authenticators) to the - services that need to act on those decisions.

- SC-8 - - -

Determine if the organization:

- - IA-9(2)[1] -

defines services for which identification and authentication decisions - transmitted between such services are to be consistent with organizational - policies; and

- - - IA-9(2)[2] -

ensures that identification and authentication decisions are transmitted - between organization-defined services consistent with organizational - policies.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing service identification and authentication

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

transmission records

-

transmission verification records

-

rules for identification and authentication transmission decisions between - organizational services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with identification and authentication - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing service identification and authentication - capabilities

- - - - - - Adaptive Identification and Authentication - - - - - - - IA-10 - ia-10 - -

The organization requires that individuals accessing the information system employ - under specific .

- - -

Adversaries may compromise individual authentication mechanisms and subsequently - attempt to impersonate legitimate users. This situation can potentially occur with - any authentication mechanisms employed by organizations. To address this threat, - organizations may employ specific techniques/mechanisms and establish protocols to - assess suspicious behavior (e.g., individuals accessing information that they do not - typically access as part of their normal duties, roles, or responsibilities, - accessing greater quantities of information than the individuals would routinely - access, or attempting to access information from suspicious network addresses). In - these situations when certain preestablished conditions or triggers occur, - organizations can require selected individuals to provide additional authentication - information. Another potential use for adaptive identification and authentication is - to increase the strength of mechanism based on the number and/or types of records - being accessed.

- AU-6 - SI-4 - - -

Determine if the organization:

- - IA-10[1] -

defines specific circumstances or situations that require individuals accessing - the information system to employ supplemental authentication techniques or - mechanisms;

- - - IA-10[2] -

defines supplemental authentication techniques or mechanisms to be employed when - accessing the information system under specific organization-defined circumstances - or situations; and

- - - IA-10[3] -

requires that individuals accessing the information system employ - organization-defined supplemental authentication techniques or mechanisms under - specific organization-defined circumstances or situations.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing adaptive/ supplemental identification and authentication - techniques or mechanisms

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

supplemental identification and authentication techniques or mechanisms

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with identification and authentication - responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - Re-authentication - - - - IA-11 - ia-11 - -

The organization requires users and devices to re-authenticate when .

- - -

In addition to the re-authentication requirements associated with session locks, - organizations may require re-authentication of individuals and/or devices in other - situations including, for example: (i) when authenticators change; (ii), when roles - change; (iii) when security categories of information systems change; (iv), when the - execution of privileged functions occurs; (v) after a fixed period of time; or (vi) - periodically.

- AC-11 - - -

Determine if the organization:

- - IA-11[1] -

defines circumstances or situations requiring re-authentication;

- - - IA-11[2] -

requires users to re-authenticate when organization-defined circumstances or - situations require re-authentication; and

- - - IA-11[3] -

requires devices to re-authenticate when organization-defined circumstances or - situations require re-authentication.

- - - - EXAMINE - -

Identification and authentication policy

-

procedures addressing user and device re-authentication

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of circumstances or situations requiring re-authentication

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system operations responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

-

organizational personnel with identification and authentication - responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing identification and - authentication capability

- - - - - - Incident Response - - Incident Response Policy and Procedures - - - - - - - - - - IR-1 - ir-01 - NIST Special Publication 800-12 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

An incident response policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the incident response policy and - associated incident response controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Incident response policy ; and

- - - 2. -

Incident response procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the IR - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - IR-1(a) - - IR-1(a)(1) - - IR-1(a)(1)[1] -

develops and documents an incident response policy that addresses:

- - IR-1(a)(1)[1][a] -

purpose;

- - - IR-1(a)(1)[1][b] -

scope;

- - - IR-1(a)(1)[1][c] -

roles;

- - - IR-1(a)(1)[1][d] -

responsibilities;

- - - IR-1(a)(1)[1][e] -

management commitment;

- - - IR-1(a)(1)[1][f] -

coordination among organizational entities;

- - - IR-1(a)(1)[1][g] -

compliance;

- - - - IR-1(a)(1)[2] -

defines personnel or roles to whom the incident response policy is to be - disseminated;

- - - IR-1(a)(1)[3] -

disseminates the incident response policy to organization-defined personnel - or roles;

- - - - IR-1(a)(2) - - IR-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - incident response policy and associated incident response controls;

- - - IR-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - IR-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - IR-1(b) - - IR-1(b)(1) - - IR-1(b)(1)[1] -

defines the frequency to review and update the current incident response - policy;

- - - IR-1(b)(1)[2] -

reviews and updates the current incident response policy with the - organization-defined frequency;

- - - - IR-1(b)(2) - - IR-1(b)(2)[1] -

defines the frequency to review and update the current incident response - procedures; and

- - - IR-1(b)(2)[2] -

reviews and updates the current incident response procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Incident response policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Incident Response Training - - - - - - - IR-2 - ir-02 - NIST Special Publication 800-16 - NIST Special Publication 800-50 - -

The organization provides incident response training to information system users - consistent with assigned roles and responsibilities:

- - a. -

Within of assuming an incident response role or - responsibility;

- - - b. -

When required by information system changes; and

- - - c. -

- thereafter.

- - - -

Incident response training provided by organizations is linked to the assigned roles - and responsibilities of organizational personnel to ensure the appropriate content - and level of detail is included in such training. For example, regular users may only - need to know who to call or how to recognize an incident on the information system; - system administrators may require additional training on how to handle/remediate - incidents; and incident responders may receive more specific training on forensics, - reporting, system recovery, and restoration. Incident response training includes user - training in the identification and reporting of suspicious activities, both from - external and internal sources.

- AT-3 - CP-3 - IR-8 - - -

Determine if the organization:

- - IR-2(a) - - IR-2(a)[1] -

defines a time period within which incident response training is to be provided - to information system users assuming an incident response role or - responsibility;

- - - IR-2(a)[2] -

provides incident response training to information system users consistent with - assigned roles and responsibilities within the organization-defined time period - of assuming an incident response role or responsibility;

- - - - IR-2(b) -

provides incident response training to information system users consistent with - assigned roles and responsibilities when required by information system - changes;

- - - IR-2(c) - - IR-2(c)[1] -

defines the frequency to provide refresher incident response training to - information system users consistent with assigned roles or responsibilities; - and

- - - IR-2(c)[2] -

after the initial incident response training, provides refresher incident - response training to information system users consistent with assigned roles - and responsibilities in accordance with the organization-defined frequency to - provide refresher training.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

security plan

-

incident response plan

-

security plan

-

incident response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - Simulated Events - IR-2(1) - ir-02.01 - -

The organization incorporates simulated events into incident response training to - facilitate effective response by personnel in crisis situations.

- - -

Determine if the organization incorporates simulated events into incident response - training to facilitate effective response by personnel in crisis situations.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement simulated events for - incident response training

- - - - - Automated Training Environments - IR-2(2) - ir-02.02 - -

The organization employs automated mechanisms to provide a more thorough and - realistic incident response training environment.

- - -

Determine if the organization employs automated mechanisms to provide a more - thorough and realistic incident response training environment.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response training

-

incident response training curriculum

-

incident response training materials

-

automated mechanisms supporting incident response training

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training and operational - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that provide a thorough and realistic incident response - training environment

- - - - - - Incident Response Testing - - - - - - - IR-3 - ir-03 - NIST Special Publication 800-84 - NIST Special Publication 800-115 - -

The organization tests the incident response capability for the information system - using to determine - the incident response effectiveness and documents the results.

- - -

Organizations test incident response capabilities to determine the overall - effectiveness of the capabilities and to identify potential weaknesses or - deficiencies. Incident response testing includes, for example, the use of checklists, - walk-through or tabletop exercises, simulations (parallel/full interrupt), and - comprehensive exercises. Incident response testing can also include a determination - of the effects on organizational operations (e.g., reduction in mission - capabilities), organizational assets, and individuals due to incident response.

- CP-4 - IR-8 - - -

Determine if the organization:

- - IR-3[1] -

defines incident response tests to test the incident response capability for the - information system;

- - - IR-3[2] -

defines the frequency to test the incident response capability for the information - system; and

- - - IR-3[3] -

tests the incident response capability for the information system with the - organization-defined frequency, using organization-defined tests to determine the - incident response effectiveness and documents the results.

- - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

procedures addressing contingency plan testing

-

incident response testing material

-

incident response test results

-

incident response test plan

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with information security responsibilities

- - - - Automated Testing - IR-3(1) - ir-03.01 - -

The organization employs automated mechanisms to more thoroughly and effectively - test the incident response capability.

- - -

Organizations use automated mechanisms to more thoroughly and effectively test - incident response capabilities, for example: (i) by providing more complete - coverage of incident response issues; (ii) by selecting more realistic test - scenarios and test environments; and (iii) by stressing the response - capability.

- AT-2 - - -

Determine if the organization employs automated mechanisms to more thoroughly and - effectively test the incident response capability.

- - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

procedures addressing contingency plan testing

-

incident response testing documentation

-

incident response test results

-

incident response test plan

-

incident response plan

-

contingency plan

-

security plan

-

automated mechanisms supporting incident response tests

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that more thoroughly and effectively test the incident - response capability

- - - - - Coordination with Related Plans - IR-3(2) - ir-03.02 - -

The organization coordinates incident response testing with organizational - elements responsible for related plans.

- - -

Organizational plans related to incident response testing include, for example, - Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity - of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, - and Occupant Emergency Plans.

- - -

Determine if the organization coordinates incident response testing with - organizational elements responsible for related plans.

- - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident response testing

-

incident response testing documentation

-

incident response plan

-

business continuity plans

-

contingency plans

-

disaster recovery plans

-

continuity of operations plans

-

crisis communications plans

-

critical infrastructure plans

-

occupant emergency plans

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response testing responsibilities

-

organizational personnel with responsibilities for testing organizational plans - related to incident response testing

-

organizational personnel with information security responsibilities

- - - - - - Incident Handling - IR-4 - ir-04 - Executive Order 13587 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Implements an incident handling capability for security incidents that includes - preparation, detection and analysis, containment, eradication, and recovery;

- - - b. -

Coordinates incident handling activities with contingency planning activities; - and

- - - c. -

Incorporates lessons learned from ongoing incident handling activities into - incident response procedures, training, and testing, and implements the resulting - changes accordingly.

- - - -

Organizations recognize that incident response capability is dependent on the - capabilities of organizational information systems and the mission/business processes - being supported by those systems. Therefore, organizations consider incident response - as part of the definition, design, and development of mission/business processes and - information systems. Incident-related information can be obtained from a variety of - sources including, for example, audit monitoring, network monitoring, physical access - monitoring, user/administrator reports, and reported supply chain events. Effective - incident handling capability includes coordination among many organizational entities - including, for example, mission/business owners, information system owners, - authorizing officials, human resources offices, physical and personnel security - offices, legal departments, operations personnel, procurement offices, and the risk - executive (function).

- AU-6 - CM-6 - CP-2 - CP-4 - IR-2 - IR-3 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-4(a) -

implements an incident handling capability for security incidents that - includes:

- - IR-4(a)[1] -

preparation;

- - - IR-4(a)[2] -

detection and analysis;

- - - IR-4(a)[3] -

containment;

- - - IR-4(a)[4] -

eradication;

- - - IR-4(a)[5] -

recovery;

- - - - IR-4(b) -

coordinates incident handling activities with contingency planning activities;

- - - IR-4(c) - - IR-4(c)[1] -

incorporates lessons learned from ongoing incident handling activities - into:

- - IR-4(c)[1][a] -

incident response procedures;

- - - IR-4(c)[1][b] -

training;

- - - IR-4(c)[1][c] -

testing/exercises;

- - - - IR-4(c)[2] -

implements the resulting changes accordingly to:

- - IR-4(c)[2][a] -

incident response procedures;

- - - IR-4(c)[2][b] -

training; and

- - - IR-4(c)[2][c] -

testing/exercises.

- - - - - - EXAMINE - -

Incident response policy

-

contingency planning policy

-

procedures addressing incident handling

-

incident response plan

-

contingency plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with contingency planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - Automated Incident Handling Processes - IR-4(1) - ir-04.01 - -

The organization employs automated mechanisms to support the incident handling - process.

- - -

Automated mechanisms supporting incident handling processes include, for example, - online incident management systems.

- - -

Determine if the organization employs automated mechanisms to support the incident - handling process.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement the incident handling - process

- - - - - Dynamic Reconfiguration - - - - IR-4(2) - ir-04.02 - -

The organization includes dynamic reconfiguration of as part of the incident response capability.

- - -

Dynamic reconfiguration includes, for example, changes to router rules, access - control lists, intrusion detection/prevention system parameters, and filter rules - for firewalls and gateways. Organizations perform dynamic reconfiguration of - information systems, for example, to stop attacks, to misdirect attackers, and to - isolate components of systems, thus limiting the extent of the damage from - breaches or compromises. Organizations include time frames for achieving the - reconfiguration of information systems in the definition of the reconfiguration - capability, considering the potential need for rapid response in order to - effectively address sophisticated cyber threats.

- AC-2 - AC-4 - AC-16 - CM-2 - CM-3 - CM-4 - - -

Determine if the organization:

- - IR-4(2)[1] -

defines information system components to be dynamically reconfigured as part of - the incident response capability; and

- - - IR-4(2)[2] -

includes dynamic reconfiguration of organization-defined information system - components as part of the incident response capability.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

list of system components to be dynamically reconfigured as part of incident - response capability

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement dynamic reconfiguration of - components as part of incident response

- - - - - Continuity of Operations - - - - - - - IR-4(3) - ir-04.03 - -

The organization identifies and to ensure continuation of organizational missions and - business functions.

- - -

Classes of incidents include, for example, malfunctions due to - design/implementation errors and omissions, targeted malicious attacks, and - untargeted malicious attacks. Appropriate incident response actions include, for - example, graceful degradation, information system shutdown, fall back to manual - mode/alternative technology whereby the system operates differently, employing - deceptive measures, alternate information flows, or operating in a mode that is - reserved solely for when systems are under attack.

- - -

Determine if the organization:

- - IR-4(3)[1] -

defines classes of incidents requiring an organization-defined action to be - taken;

- - - IR-4(3)[2] -

defines actions to be taken in response to organization-defined classes of - incidents; and

- - - IR-4(3)[3] -

identifies organization-defined classes of incidents and organization-defined - actions to take in response to classes of incidents to ensure continuation of - organizational missions and business functions.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

incident response plan

-

security plan

-

list of classes of incidents

-

list of appropriate incident response actions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms that support and/or implement continuity of operations

- - - - - Information Correlation - IR-4(4) - ir-04.04 - -

The organization correlates incident information and individual incident responses - to achieve an organization-wide perspective on incident awareness and - response.

- - -

Sometimes the nature of a threat event, for example, a hostile cyber attack, is - such that it can only be observed by bringing together information from different - sources including various reports and reporting procedures established by - organizations.

- - -

Determine if the organization correlates incident information and individual - incident responses to achieve an organization-wide perspective on incident - awareness and response.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

incident response plan

-

security plan

-

automated mechanisms supporting incident and event correlation

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident management correlation logs

-

event management correlation logs

-

security information and event management logs

-

incident management correlation reports

-

event management correlation reports

-

security information and event management reports

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with whom incident information and individual incident - responses are to be correlated

- - - - TEST - -

Organizational processes for correlating incident information and individual - incident responses

-

automated mechanisms that support and or implement correlation of incident - response information with individual incident responses

- - - - - Automatic Disabling of Information System - - - - IR-4(5) - ir-04.05 - -

The organization implements a configurable capability to automatically disable the - information system if are detected.

- - -

Determine if the organization:

- - IR-4(5)[1] -

defines security violations that, if detected, initiate a configurable - capability to automatically disable the information system; and

- - - IR-4(5)[2] -

implements a configurable capability to automatically disable the information - system if any of the organization-defined security violations are detected.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

system developers

- - - - TEST - -

Incident handling capability for the organization

-

automated mechanisms supporting and/or implementing automatic disabling of the - information system

- - - - - Insider Threats - Specific Capabilities - IR-4(6) - ir-04.06 - -

The organization implements incident handling capability for insider threats.

- - -

While many organizations address insider threat incidents as an inherent part of - their organizational incident response capability, this control enhancement - provides additional emphasis on this type of threat and the need for specific - incident handling capabilities (as defined within organizations) to provide - appropriate and timely responses.

- - -

Determine if the organization implements incident handling capability for insider - threats.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting incident handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident handling capability for the organization

- - - - - Insider Threats - Intra-organization Coordination - - - - IR-4(7) - ir-04.07 - -

The organization coordinates incident handling capability for insider threats - across .

- - -

Incident handling for insider threat incidents (including preparation, detection - and analysis, containment, eradication, and recovery) requires close coordination - among a variety of organizational components or elements to be effective. These - components or elements include, for example, mission/business owners, information - system owners, human resources offices, procurement offices, personnel/physical - security offices, operations personnel, and risk executive (function). In - addition, organizations may require external support from federal, state, and - local law enforcement agencies.

- - -

Determine if the organization:

- - IR-4(7)[1] -

defines components or elements of the organization with whom the incident - handling capability for insider threats is to be coordinated; and

- - - IR-4(7)[2] -

coordinates incident handling capability for insider threats across - organization-defined components or elements of the organization.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel/elements with whom incident handling capability is to - be coordinated

- - - - TEST - -

Organizational processes for coordinating incident handling

- - - - - Correlation with External Organizations - - - - - - - IR-4(8) - ir-04.08 - -

The organization coordinates with to correlate - and share to achieve a cross-organization - perspective on incident awareness and more effective incident responses.

- - -

The coordination of incident information with external organizations including, - for example, mission/business partners, military/coalition partners, customers, - and multitiered developers, can provide significant benefits. Cross-organizational - coordination with respect to incident handling can serve as an important risk - management capability. This capability allows organizations to leverage critical - information from a variety of sources to effectively respond to information - security-related incidents potentially affecting the organization’s operations, - assets, and individuals.

- - -

Determine if the organization:

- - IR-4(8)[1] -

defines external organizations with whom organizational incident information is - to be coordinated;

- - - IR-4(8)[2] -

defines incident information to be correlated and shared with - organization-defined external organizations; and

- - - IR-4(8)[3] -

the organization coordinates with organization-defined external organizations - to correlate and share organization-defined information to achieve a - cross-organization perspective on incident awareness and more effective - incident responses.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

list of external organizations

-

records of incident handling coordination with external organizations

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

personnel from external organizations with whom incident response information - is to be coordinated/shared/correlated

- - - - TEST - -

Organizational processes for coordinating incident handling information with - external organizations

- - - - - Dynamic Response Capability - - - - IR-4(9) - ir-04.09 - -

The organization employs to effectively respond - to security incidents.

- - -

This control enhancement addresses the deployment of replacement or new - capabilities in a timely manner in response to security incidents (e.g., adversary - actions during hostile cyber attacks). This includes capabilities implemented at - the mission/business process level (e.g., activating alternative mission/business - processes) and at the information system level.

- CP-10 - - -

Determine if the organization:

- - IR-4(9)[1] -

defines dynamic response capabilities to be employed to effectively respond to - security incidents; and

- - - IR-4(9)[2] -

employs organization-defined dynamic response capabilities to effectively - respond to security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

automated mechanisms supporting dynamic response capabilities

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for dynamic response capability

-

automated mechanisms supporting and/or implementing the dynamic response - capability for the organization

- - - - - Supply Chain Coordination - IR-4(10) - ir-04.10 - -

The organization coordinates incident handling activities involving supply chain - events with other organizations involved in the supply chain.

- - -

Organizations involved in supply chain activities include, for example, - system/product developers, integrators, manufacturers, packagers, assemblers, - distributors, vendors, and resellers. Supply chain incidents include, for example, - compromises/breaches involving information system components, information - technology products, development processes or personnel, and distribution - processes or warehousing facilities.

- - -

Determine if the organization coordinates incident handling activities involving - supply chain events with other organizations involved in the supply chain.

- - - EXAMINE - -

Incident response policy

-

procedures addressing supply chain coordination

-

acquisition contracts

-

service-level agreements

-

incident response plan

-

security plan

-

incident response plans of other organization involved in supply chain - activities

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident handling responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain responsibilities

- - - - - - Incident Monitoring - IR-5 - ir-05 - NIST Special Publication 800-61 - -

The organization tracks and documents information system security incidents.

- - -

Documenting information system security incidents includes, for example, maintaining - records about each incident, the status of the incident, and other pertinent - information necessary for forensics, evaluating incident details, trends, and - handling. Incident information can be obtained from a variety of sources including, - for example, incident reports, incident response teams, audit monitoring, network - monitoring, physical access monitoring, and user/administrator reports.

- AU-6 - IR-8 - PE-6 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - IR-5[1] -

tracks information system security incidents; and

- - - IR-5[2] -

documents information system security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

incident response records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Incident monitoring capability for the organization

-

automated mechanisms supporting and/or implementing tracking and documenting of - system security incidents

- - - - Automated Tracking / Data Collection / Analysis - IR-5(1) - ir-05.01 - -

The organization employs automated mechanisms to assist in the tracking of - security incidents and in the collection and analysis of incident information.

- - -

Automated mechanisms for tracking security incidents and collecting/analyzing - incident information include, for example, the Einstein network monitoring device - and monitoring online Computer Incident Response Centers (CIRCs) or other - electronic databases of incidents.

- AU-7 - IR-4 - - -

Determine if the organization employs automated mechanisms to assist in:

- - IR-5(1)[1] -

the tracking of security incidents;

- - - IR-5(1)[2] -

the collection of incident information; and

- - - IR-5(1)[3] -

the analysis of incident information.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident monitoring

-

automated mechanisms supporting incident monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms assisting in tracking of security incidents and in the - collection and analysis of incident information

- - - - - - Incident Reporting - - - - - - - IR-6 - ir-06 - NIST Special Publication 800-61 - http://www.us-cert.gov - -

The organization:

- - a. -

Requires personnel to report suspected security incidents to the organizational - incident response capability within ; and

- - - b. -

Reports security incident information to .

- - - -

The intent of this control is to address both specific incident reporting - requirements within an organization and the formal incident reporting requirements - for federal agencies and their subordinate organizations. Suspected security - incidents include, for example, the receipt of suspicious email communications that - can potentially contain malicious code. The types of security incidents reported, the - content and timeliness of the reports, and the designated reporting authorities - reflect applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance. Current federal policy requires that all federal agencies - (unless specifically exempted from such requirements) report security incidents to - the United States Computer Emergency Readiness Team (US-CERT) within specified time - frames designated in the US-CERT Concept of Operations for Federal Cyber Security - Incident Handling.

- IR-4 - IR-5 - IR-8 - - -

Determine if the organization:

- - IR-6(a) - - IR-6(a)[1] -

defines the time period within which personnel report suspected security - incidents to the organizational incident response capability;

- - - IR-6(a)[2] -

requires personnel to report suspected security incidents to the organizational - incident response capability within the organization-defined time period;

- - - - IR-6(b) - - IR-6(b)[1] -

defines authorities to whom security incident information is to be reported; - and

- - - IR-6(b)[2] -

reports security incident information to organization-defined authorities.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

incident reporting records and documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

personnel who have/should have reported incidents

-

personnel (authorities) to whom incident information is to be reported

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing incident reporting

- - - - Automated Reporting - IR-6(1) - ir-06.01 - -

The organization employs automated mechanisms to assist in the reporting of - security incidents.

- - - IR-7 - - -

Determine if the organization employs automated mechanisms to assist in the - reporting of security incidents.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

automated mechanisms supporting incident reporting

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing reporting of security - incidents

- - - - - Vulnerabilities Related to Incidents - - - - IR-6(2) - ir-06.02 - -

The organization reports information system vulnerabilities associated with - reported security incidents to .

- - -

Determine if the organization:

- - IR-6(2)[1] -

defines personnel or roles to whom information system vulnerabilities - associated with reported security incidents are to be reported; and

- - - IR-6(2)[2] -

reports information system vulnerabilities associated with reported security - incidents to organization-defined personnel or roles.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident reporting

-

incident response plan

-

security plan

-

security incident reports and associated information system vulnerabilities

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

personnel to whom vulnerabilities associated with security incidents are to be - reported

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing reporting of - vulnerabilities associated with security incidents

- - - - - Coordination with Supply Chain - IR-6(3) - ir-06.03 - -

The organization provides security incident information to other organizations - involved in the supply chain for information systems or information system - components related to the incident.

- - -

Organizations involved in supply chain activities include, for example, - system/product developers, integrators, manufacturers, packagers, assemblers, - distributors, vendors, and resellers. Supply chain incidents include, for example, - compromises/breaches involving information system components, information - technology products, development processes or personnel, and distribution - processes or warehousing facilities. Organizations determine the appropriate - information to share considering the value gained from support by external - organizations with the potential for harm due to sensitive information being - released to outside organizations of perhaps questionable trustworthiness.

- - -

Determine if the organization provides security incident information to other - organizations involved in the supply chain for information systems or information - system components related to the incident.

- - - EXAMINE - -

Incident response policy

-

procedures addressing supply chain coordination

-

acquisition contracts

-

service-level agreements

-

incident response plan

-

security plan

-

plans of other organization involved in supply chain activities

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident reporting responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain responsibilities

- - - - TEST - -

Organizational processes for incident reporting

-

automated mechanisms supporting and/or implementing reporting of incident - information involved in the supply chain

- - - - - - Incident Response Assistance - IR-7 - ir-07 - -

The organization provides an incident response support resource, integral to the - organizational incident response capability that offers advice and assistance to - users of the information system for the handling and reporting of security - incidents.

- - -

Incident response support resources provided by organizations include, for example, - help desks, assistance groups, and access to forensics services, when required.

- AT-2 - IR-4 - IR-6 - IR-8 - SA-9 - - -

Determine if the organization provides an incident response support resource:

- - IR-7[1] -

that is integral to the organizational incident response capability; and

- - - IR-7[2] -

that offers advice and assistance to users of the information system for the - handling and reporting of security incidents.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response assistance and support - responsibilities

-

organizational personnel with access to incident response support and assistance - capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing incident response - assistance

- - - - Automation Support for Availability of Information / Support - IR-7(1) - ir-07.01 - -

The organization employs automated mechanisms to increase the availability of - incident response-related information and support.

- - -

Automated mechanisms can provide a push and/or pull capability for users to obtain - incident response assistance. For example, individuals might have access to a - website to query the assistance capability, or conversely, the assistance - capability may have the ability to proactively send information to users (general - distribution or targeted) as part of increasing understanding of current response - capabilities and support.

- - -

Determine if the organization employs automated mechanisms to increase the - availability of incident response-related information and support.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

automated mechanisms supporting incident response support and assistance

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response support and assistance - responsibilities

-

organizational personnel with access to incident response support and - assistance capability

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for incident response assistance

-

automated mechanisms supporting and/or implementing an increase in the - availability of incident response information and support

- - - - - Coordination with External Providers - IR-7(2) - ir-07.02 - -

The organization:

- - (a) -

Establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and

- - - (b) -

Identifies organizational incident response team members to the external - providers.

- - - -

External providers of information system protection capability include, for - example, the Computer Network Defense program within the U.S. Department of - Defense. External providers help to protect, monitor, analyze, detect, and respond - to unauthorized activity within organizational information systems and - networks.

- - -

Determine if the organization:

- - IR-7(2)(a) -

establishes a direct, cooperative relationship between its incident response - capability and external providers of information system protection capability; - and

- IR-7(2)(a) - - - IR-7(2)(b) -

identifies organizational incident response team members to the external - providers.

- IR-7(2)(b) - - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response assistance

-

incident response plan

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response support and assistance - responsibilities

-

external providers of information system protection capability

-

organizational personnel with information security responsibilities

- - - - - - Incident Response Plan - - - - - - - - - - - - - IR-8 - ir-08 - NIST Special Publication 800-61 - -

The organization:

- - a. -

Develops an incident response plan that:

- - 1. -

Provides the organization with a roadmap for implementing its incident response - capability;

- - - 2. -

Describes the structure and organization of the incident response - capability;

- - - 3. -

Provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - 4. -

Meets the unique requirements of the organization, which relate to mission, - size, structure, and functions;

- - - 5. -

Defines reportable incidents;

- - - 6. -

Provides metrics for measuring the incident response capability within the - organization;

- - - 7. -

Defines the resources and management support needed to effectively maintain and - mature an incident response capability; and

- - - 8. -

Is reviewed and approved by ;

- - - - b. -

Distributes copies of the incident response plan to ;

- - - c. -

Reviews the incident response plan ;

- - - d. -

Updates the incident response plan to address system/organizational changes or - problems encountered during plan implementation, execution, or testing;

- - - e. -

Communicates incident response plan changes to ; - and

- - - f. -

Protects the incident response plan from unauthorized disclosure and - modification.

- - - -

It is important that organizations develop and implement a coordinated approach to - incident response. Organizational missions, business functions, strategies, goals, - and objectives for incident response help to determine the structure of incident - response capabilities. As part of a comprehensive incident response capability, - organizations consider the coordination and sharing of information with external - organizations, including, for example, external service providers and organizations - involved in the supply chain for organizational information systems.

- MP-2 - MP-4 - MP-5 - - -

Determine if the organization:

- - IR-8(a) -

develops an incident response plan that:

- - IR-8(a)(1) -

provides the organization with a roadmap for implementing its incident response - capability;

- - - IR-8(a)(2) -

describes the structure and organization of the incident response - capability;

- - - IR-8(a)(3) -

provides a high-level approach for how the incident response capability fits - into the overall organization;

- - - IR-8(a)(4) -

meets the unique requirements of the organization, which relate to:

- - IR-8(a)(4)[1] -

mission;

- - - IR-8(a)(4)[2] -

size;

- - - IR-8(a)(4)[3] -

structure;

- - - IR-8(a)(4)[4] -

functions;

- - - - IR-8(a)(5) -

defines reportable incidents;

- - - IR-8(a)(6) -

provides metrics for measuring the incident response capability within the - organization;

- - - IR-8(a)(7) -

defines the resources and management support needed to effectively maintain and - mature an incident response capability;

- - - IR-8(a)(8) - - IR-8(a)(8)[1] -

defines personnel or roles to review and approve the incident response - plan;

- - - IR-8(a)(8)[2] -

is reviewed and approved by organization-defined personnel or roles;

- - - - - IR-8(b) - - IR-8(b)[1] - - IR-8(b)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom copies of the incident response plan are to be distributed;

- - - IR-8(b)[1][b] -

defines organizational elements to whom copies of the incident response plan - are to be distributed;

- - - - IR-8(b)[2] -

distributes copies of the incident response plan to organization-defined - incident response personnel (identified by name and/or by role) and - organizational elements;

- - - - IR-8(c) - - IR-8(c)[1] -

defines the frequency to review the incident response plan;

- - - IR-8(c)[2] -

reviews the incident response plan with the organization-defined frequency;

- - - - IR-8(d) -

updates the incident response plan to address system/organizational changes or - problems encountered during plan:

- - IR-8(d)[1] -

implementation;

- - - IR-8(d)[2] -

execution; or

- - - IR-8(d)[3] -

testing;

- - - - IR-8(e) - - IR-8(e)[1] - - IR-8(e)[1][a] -

defines incident response personnel (identified by name and/or by role) to - whom incident response plan changes are to be communicated;

- - - IR-8(e)[1][b] -

defines organizational elements to whom incident response plan changes are - to be communicated;

- - - - IR-8(e)[2] -

communicates incident response plan changes to organization-defined incident - response personnel (identified by name and/or by role) and organizational - elements; and

- - - - IR-8(f) -

protects the incident response plan from unauthorized disclosure and - modification.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident response planning

-

incident response plan

-

records of incident response plan reviews and approvals

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response planning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational incident response plan and related organizational processes

- - - - - Information Spillage Response - - - - - - - IR-9 - ir-09 - -

The organization responds to information spills by:

- - a. -

Identifying the specific information involved in the information system - contamination;

- - - b. -

Alerting of the information spill using a method - of communication not associated with the spill;

- - - c. -

Isolating the contaminated information system or system component;

- - - d. -

Eradicating the information from the contaminated information system or - component;

- - - e. -

Identifying other information systems or system components that may have been - subsequently contaminated; and

- - - f. -

Performing other .

- - - -

Information spillage refers to instances where either classified or sensitive - information is inadvertently placed on information systems that are not authorized to - process such information. Such information spills often occur when information that - is initially thought to be of lower sensitivity is transmitted to an information - system and then is subsequently determined to be of higher sensitivity. At that - point, corrective action is required. The nature of the organizational response is - generally based upon the degree of sensitivity of the spilled information (e.g., - security category or classification level), the security capabilities of the - information system, the specific nature of contaminated storage media, and the access - authorizations (e.g., security clearances) of individuals with authorized access to - the contaminated system. The methods used to communicate information about the spill - after the fact do not involve methods directly associated with the actual spill to - minimize the risk of further spreading the contamination before such contamination is - isolated and eradicated.

- - -

Determine if the organization:

- - IR-9(a) -

responds to information spills by identifying the specific information causing the - information system contamination;

- - - IR-9(b) - - IR-9(b)[1] -

defines personnel to be alerted of the information spillage;

- - - IR-9(b)[2] -

identifies a method of communication not associated with the information spill - to use to alert organization-defined personnel of the spill;

- - - IR-9(b)[3] -

responds to information spills by alerting organization-defined personnel of - the information spill using a method of communication not associated with the - spill;

- - - - IR-9(c) -

responds to information spills by isolating the contaminated information - system;

- - - IR-9(d) -

responds to information spills by eradicating the information from the - contaminated information system;

- - - IR-9(e) -

responds to information spills by identifying other information systems that may - have been subsequently contaminated;

- - - IR-9(f) - - IR-9(f)[1] -

defines other actions to be performed in response to information spills; - and

- - - IR-9(f)[2] -

responds to information spills by performing other organization-defined - actions.

- - - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

records of information spillage alerts/notifications, list of personnel who should - receive alerts of information spillage

-

list of actions to be performed regarding information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for information spillage response

-

automated mechanisms supporting and/or implementing information spillage response - actions and related communications

- - - - Responsible Personnel - - - - IR-9(1) - ir-09.01 - -

The organization assigns with responsibility for - responding to information spills.

- - -

Determine if the organization:

- - IR-9(1)[1] -

defines personnel with responsibility for responding to information spills; - and

- - - IR-9(1)[2] -

assigns organization-defined personnel with responsibility for responding to - information spills.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage

-

incident response plan

-

list of personnel responsible for responding to information spillage

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - - Training - - - - IR-9(2) - ir-09.02 - -

The organization provides information spillage response training .

- - -

Determine if the organization:

- - IR-9(2)[1] -

defines the frequency to provide information spillage response training; - and

- - - IR-9(2)[2] -

provides information spillage response training with the organization-defined - frequency.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing information spillage response training

-

information spillage response training curriculum

-

information spillage response training materials

-

incident response plan

-

information spillage response training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response training responsibilities

-

organizational personnel with information security responsibilities

- - - - - Post-spill Operations - - - - IR-9(3) - ir-09.03 - -

The organization implements to ensure that - organizational personnel impacted by information spills can continue to carry out - assigned tasks while contaminated systems are undergoing corrective actions.

- - -

Correction actions for information systems contaminated due to information - spillages may be very time-consuming. During those periods, personnel may not have - access to the contaminated systems, which may potentially affect their ability to - conduct organizational business.

- - -

Determine if the organization:

- - IR-9(3)[1] -

defines procedures that ensure organizational personnel impacted by information - spills can continue to carry out assigned tasks while contaminated systems are - undergoing corrective actions; and

- - - IR-9(3)[2] -

implements organization-defined procedures to ensure that organizational - personnel impacted by information spills can continue to carry out assigned - tasks while contaminated systems are undergoing corrective actions.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

procedures addressing information spillage

-

incident response plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for post-spill operations

- - - - - Exposure to Unauthorized Personnel - - - - IR-9(4) - ir-09.04 - -

The organization employs for personnel exposed - to information not within assigned access authorizations.

- - -

Security safeguards include, for example, making personnel exposed to spilled - information aware of the federal laws, directives, policies, and/or regulations - regarding the information and the restrictions imposed based on exposure to such - information.

- - -

Determine if the organization:

- - IR-9(4)[1] -

defines security safeguards to be employed for personnel exposed to information - not within assigned access authorizations; and

- - - IR-9(4)[2] -

employs organization-defined security safeguards for personnel exposed to - information not within assigned access authorizations.

- - - - EXAMINE - -

Incident response policy

-

procedures addressing incident handling

-

procedures addressing information spillage

-

incident response plan

-

security safeguards regarding information spillage/exposure to unauthorized - personnel

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for dealing with information exposed to unauthorized - personnel

-

automated mechanisms supporting and/or implementing safeguards for personnel - exposed to information not within assigned access authorizations

- - - - - - Integrated Information Security Analysis Team - IR-10 - ir-10 - -

The organization establishes an integrated team of forensic/malicious code analysts, - tool developers, and real-time operations personnel.

- - -

Having an integrated team for incident response facilitates information sharing. Such - capability allows organizational personnel, including developers, implementers, and - operators, to leverage the team knowledge of the threat in order to implement - defensive measures that will enable organizations to deter intrusions more - effectively. Moreover, it promotes the rapid detection of intrusions, development of - appropriate mitigations, and the deployment of effective defensive measures. For - example, when an intrusion is detected, the integrated security analysis team can - rapidly develop an appropriate response for operators to implement, correlate the new - incident with information on past intrusions, and augment ongoing intelligence - development. This enables the team to identify adversary TTPs that are linked to the - operations tempo or to specific missions/business functions, and to define responsive - actions in a way that does not disrupt the mission/business operations. Ideally, - information security analysis teams are distributed within organizations to make the - capability more resilient.

- - -

Determine if the organization establishes an integrated team of forensic/malicious - code analyst, tool developers, and real-time operations personnel.

- - - EXAMINE - -

Incident response policy

-

procedures addressing incident response planning and security analysis team - integration

-

incident response plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with incident response and information security analysis - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel participating on integrated security analysis teams

- - - - - - Maintenance - - System Maintenance Policy and Procedures - - - - - - - - - - MA-1 - ma-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system maintenance policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system maintenance policy - and associated system maintenance controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

System maintenance policy ; and

- - - 2. -

System maintenance procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MA-1(a) - - MA-1(a)(1) - - MA-1(a)(1)[1] -

develops and documents a system maintenance policy that addresses:

- - MA-1(a)(1)[1][a] -

purpose;

- - - MA-1(a)(1)[1][b] -

scope;

- - - MA-1(a)(1)[1][c] -

roles;

- - - MA-1(a)(1)[1][d] -

responsibilities;

- - - MA-1(a)(1)[1][e] -

management commitment;

- - - MA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MA-1(a)(1)[1][g] -

compliance;

- - - - MA-1(a)(1)[2] -

defines personnel or roles to whom the system maintenance policy is to be - disseminated;

- - - MA-1(a)(1)[3] -

disseminates the system maintenance policy to organization-defined personnel - or roles;

- - - - MA-1(a)(2) - - MA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - maintenance policy and associated system maintenance controls;

- - - MA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - MA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MA-1(b) - - MA-1(b)(1) - - MA-1(b)(1)[1] -

defines the frequency to review and update the current system maintenance - policy;

- - - MA-1(b)(1)[2] -

reviews and updates the current system maintenance policy with the - organization-defined frequency;

- - - - MA-1(b)(2) - - MA-1(b)(2)[1] -

defines the frequency to review and update the current system maintenance - procedures; and

- - - MA-1(b)(2)[2] -

reviews and updates the current system maintenance procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Maintenance policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - - Controlled Maintenance - - - - - - - MA-2 - ma-02 - -

The organization:

- - a. -

Schedules, performs, documents, and reviews records of maintenance and repairs on - information system components in accordance with manufacturer or vendor - specifications and/or organizational requirements;

- - - b. -

Approves and monitors all maintenance activities, whether performed on site or - remotely and whether the equipment is serviced on site or removed to another - location;

- - - c. -

Requires that explicitly approve the removal of - the information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - d. -

Sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - e. -

Checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions; and

- - - f. -

Includes in organizational maintenance - records.

- - - -

This control addresses the information security aspects of the information system - maintenance program and applies to all types of maintenance to any system component - (including applications) conducted by any local or nonlocal entity (e.g., - in-contract, warranty, in-house, software maintenance agreement). System maintenance - also includes those components not directly associated with information processing - and/or data/information retention such as scanners, copiers, and printers. - Information necessary for creating effective maintenance records includes, for - example: (i) date and time of maintenance; (ii) name of individuals or group - performing the maintenance; (iii) name of escort, if necessary; (iv) a description of - the maintenance performed; and (v) information system components/equipment removed or - replaced (including identification numbers, if applicable). The level of detail - included in maintenance records can be informed by the security categories of - organizational information systems. Organizations consider supply chain issues - associated with replacement components for information systems.

- CM-3 - CM-4 - MA-4 - MP-6 - PE-16 - SA-12 - SI-2 - - -

Determine if the organization:

- - MA-2(a) - - MA-2(a)[1] -

schedules maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[1][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[1][b] -

organizational requirements;

- - - - MA-2(a)[2] -

performs maintenance and repairs on information system components in accordance - with:

- - MA-2(a)[2][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[2][b] -

organizational requirements;

- - - - MA-2(a)[3] -

documents maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[3][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[3][b] -

organizational requirements;

- - - - MA-2(a)[4] -

reviews records of maintenance and repairs on information system components in - accordance with:

- - MA-2(a)[4][a] -

manufacturer or vendor specifications; and/or

- - - MA-2(a)[4][b] -

organizational requirements;

- - - - - MA-2(b) - - MA-2(b)[1] -

approves all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - MA-2(b)[2] -

monitors all maintenance activities, whether performed on site or remotely and - whether the equipment is serviced on site or removed to another location;

- - - - MA-2(c) - - MA-2(c)[1] -

defines personnel or roles required to explicitly approve the removal of the - information system or system components from organizational facilities for - off-site maintenance or repairs;

- - - MA-2(c)[2] -

requires that organization-defined personnel or roles explicitly approve the - removal of the information system or system components from organizational - facilities for off-site maintenance or repairs;

- - - - MA-2(d) -

sanitizes equipment to remove all information from associated media prior to - removal from organizational facilities for off-site maintenance or repairs;

- - - MA-2(e) -

checks all potentially impacted security controls to verify that the controls are - still functioning properly following maintenance or repair actions;

- - - MA-2(f) - - MA-2(f)[1] -

defines maintenance-related information to be included in organizational - maintenance records; and

- - - MA-2(f)[2] -

includes organization-defined maintenance-related information in organizational - maintenance records.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

maintenance records

-

manufacturer/vendor maintenance specifications

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for scheduling, performing, documenting, reviewing, - approving, and monitoring maintenance and repairs for the information system

-

organizational processes for sanitizing information system components

-

automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms implementing sanitization of information system - components

- - - - Record Content - MA-2(1) - ma-02.01 - Withdrawn - MA-2 - - - Automated Maintenance Activities - MA-2(2) - ma-02.02 - -

The organization:

- - (a) -

Employs automated mechanisms to schedule, conduct, and document maintenance and - repairs; and

- - - (b) -

Produces up-to date, accurate, and complete records of all maintenance and - repair actions requested, scheduled, in process, and completed.

- - - - CA-7 - MA-3 - - -

Determine if the organization:

- - MA-2(2)(a) -

employs automated mechanisms to:

- - MA-2(2)(a)[1] -

schedule maintenance and repairs;

- - - MA-2(2)(a)[2] -

conduct maintenance and repairs;

- - - MA-2(2)(a)[3] -

document maintenance and repairs;

- - MA-2(2)(a) - - - MA-2(2)(b) -

produces up-to-date, accurate, and complete records of all maintenance and - repair actions:

- - MA-2(2)(b)[1] -

requested;

- - - MA-2(2)(b)[2] -

scheduled;

- - - MA-2(2)(b)[3] -

in process; and

- - - MA-2(2)(b)[4] -

completed.

- - MA-2(2)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing controlled information system maintenance

-

automated mechanisms supporting information system maintenance activities

-

information system configuration settings and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing controlled maintenance

-

automated mechanisms supporting and/or implementing production of records of - maintenance and repair actions

- - - - - - Maintenance Tools - MA-3 - ma-03 - NIST Special Publication 800-88 - -

The organization approves, controls, and monitors information system maintenance - tools.

- - -

This control addresses security-related issues associated with maintenance tools used - specifically for diagnostic and repair actions on organizational information systems. - Maintenance tools can include hardware, software, and firmware items. Maintenance - tools are potential vehicles for transporting malicious code, either intentionally or - unintentionally, into a facility and subsequently into organizational information - systems. Maintenance tools can include, for example, hardware/software diagnostic - test equipment and hardware/software packet sniffers. This control does not cover - hardware/software components that may support information system maintenance, yet are - a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, - or the hardware and software implementing the monitoring port of an Ethernet - switch.

- MA-2 - MA-5 - MP-6 - - -

Determine if the organization:

- - MA-3[1] -

approves information system maintenance tools;

- - - MA-3[2] -

controls information system maintenance tools; and

- - - MA-3[3] -

monitors information system maintenance tools.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for approving, controlling, and monitoring maintenance - tools

-

automated mechanisms supporting and/or implementing approval, control, and/or - monitoring of maintenance tools

- - - - Inspect Tools - MA-3(1) - ma-03.01 - -

The organization inspects the maintenance tools carried into a facility by - maintenance personnel for improper or unauthorized modifications.

- - -

If, upon inspection of maintenance tools, organizations determine that the tools - have been modified in an improper/unauthorized manner or contain malicious code, - the incident is handled consistent with organizational policies and procedures for - incident handling.

- SI-7 - - -

Determine if the organization inspects the maintenance tools carried into a - facility by maintenance personnel for improper or unauthorized modifications.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance tool inspection records

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for inspecting maintenance tools

-

automated mechanisms supporting and/or implementing inspection of maintenance - tools

- - - - - Inspect Media - MA-3(2) - ma-03.02 - -

The organization checks media containing diagnostic and test programs for - malicious code before the media are used in the information system.

- - -

If, upon inspection of media containing maintenance diagnostic and test programs, - organizations determine that the media contain malicious code, the incident is - handled consistent with organizational incident handling policies and - procedures.

- SI-3 - - -

Determine if the organization checks media containing diagnostic and test programs - for malicious code before the media are used in the information system.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for inspecting media for malicious code

-

automated mechanisms supporting and/or implementing inspection of media used - for maintenance

- - - - - Prevent Unauthorized Removal - - - - MA-3(3) - ma-03.03 - -

The organization prevents the unauthorized removal of maintenance equipment - containing organizational information by:

- - (a) -

Verifying that there is no organizational information contained on the - equipment;

- - - (b) -

Sanitizing or destroying the equipment;

- - - (c) -

Retaining the equipment within the facility; or

- - - (d) -

Obtaining an exemption from explicitly - authorizing removal of the equipment from the facility.

- - - -

Organizational information includes all information specifically owned by - organizations and information provided to organizations in which organizations - serve as information stewards.

- - -

Determine if the organization prevents the unauthorized removal of maintenance - equipment containing organizational information by:

- - MA-3(3)(a) -

verifying that there is no organizational information contained on the - equipment;

- MA-3(3)(a) - - - MA-3(3)(b) -

sanitizing or destroying the equipment;

- MA-3(3)(b) - - - MA-3(3)(c) -

retaining the equipment within the facility; or

- MA-3(3)(c) - - - MA-3(3)(d) - - MA-3(3)(d)[1] -

defining personnel or roles that can grant an exemption from explicitly - authorizing removal of the equipment from the facility; and

- - - MA-3(3)(d)[2] -

obtaining an exemption from organization-defined personnel or roles - explicitly authorizing removal of the equipment from the facility.

- - MA-3(3)(d) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

maintenance records

-

equipment sanitization records

-

media sanitization records

-

exemptions for equipment removal

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

- - - - TEST - -

Organizational process for preventing unauthorized removal of information

-

automated mechanisms supporting media sanitization or destruction of - equipment

-

automated mechanisms supporting verification of media sanitization

- - - - - Restricted Tool Use - MA-3(4) - ma-03.04 - -

The information system restricts the use of maintenance tools to authorized - personnel only.

- - -

This control enhancement applies to information systems that are used to carry out - maintenance functions.

- AC-2 - AC-3 - AC-5 - AC-6 - - -

Determine if the organization restricts the use of maintenance tools to authorized - personnel only.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance tools

-

information system maintenance tools and associated documentation

-

list of personnel authorized to use maintenance tools

-

maintenance tool usage records

-

maintenance records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for restricting use of maintenance tools

-

automated mechanisms supporting and/or implementing restricted use of - maintenance tools

- - - - - - Nonlocal Maintenance - MA-4 - ma-04 - FIPS Publication 140-2 - FIPS Publication 197 - FIPS Publication 201 - NIST Special Publication 800-63 - NIST Special Publication 800-88 - CNSS Policy 15 - -

The organization:

- - a. -

Approves and monitors nonlocal maintenance and diagnostic activities;

- - - b. -

Allows the use of nonlocal maintenance and diagnostic tools only as consistent - with organizational policy and documented in the security plan for the information - system;

- - - c. -

Employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - d. -

Maintains records for nonlocal maintenance and diagnostic activities; and

- - - e. -

Terminates session and network connections when nonlocal maintenance is - completed.

- - - -

Nonlocal maintenance and diagnostic activities are those activities conducted by - individuals communicating through a network, either an external network (e.g., the - Internet) or an internal network. Local maintenance and diagnostic activities are - those activities carried out by individuals physically present at the information - system or information system component and not communicating across a network - connection. Authentication techniques used in the establishment of nonlocal - maintenance and diagnostic sessions reflect the network access requirements in IA-2. - Typically, strong authentication requires authenticators that are resistant to replay - attacks and employ multifactor authentication. Strong authenticators include, for - example, PKI where certificates are stored on a token protected by a password, - passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by - other controls.

- AC-2 - AC-3 - AC-6 - AC-17 - AU-2 - AU-3 - IA-2 - IA-4 - IA-5 - IA-8 - MA-2 - MA-5 - MP-6 - PL-2 - SC-7 - SC-10 - SC-17 - - -

Determine if the organization:

- - MA-4(a) - - MA-4(a)[1] -

approves nonlocal maintenance and diagnostic activities;

- - - MA-4(a)[2] -

monitors nonlocal maintenance and diagnostic activities;

- - - - MA-4(b) -

allows the use of nonlocal maintenance and diagnostic tools only:

- - MA-4(b)[1] -

as consistent with organizational policy;

- - - MA-4(b)[2] -

as documented in the security plan for the information system;

- - - - MA-4(c) -

employs strong authenticators in the establishment of nonlocal maintenance and - diagnostic sessions;

- - - MA-4(d) -

maintains records for nonlocal maintenance and diagnostic activities;

- - - MA-4(e) - - MA-4(e)[1] -

terminates sessions when nonlocal maintenance or diagnostics is completed; - and

- - - MA-4(e)[2] -

terminates network connections when nonlocal maintenance or diagnostics is - completed.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

maintenance records

-

diagnostic records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for managing nonlocal maintenance

-

automated mechanisms implementing, supporting, and/or managing nonlocal - maintenance

-

automated mechanisms for strong authentication of nonlocal maintenance diagnostic - sessions

-

automated mechanisms for terminating nonlocal maintenance sessions and network - connections

- - - - Auditing and Review - - - - MA-4(1) - ma-04.01 - -

The organization:

- - (a) -

Audits nonlocal maintenance and diagnostic sessions ; and

- - - (b) -

Reviews the records of the maintenance and diagnostic sessions.

- - - - AU-2 - AU-6 - AU-12 - - -

Determine if the organization:

- - MA-4(1)(a) - - MA-4(1)(a)[1] -

defines audit events to audit nonlocal maintenance and diagnostic - sessions;

- - - MA-4(1)(a)[2] -

audits organization-defined audit events for non-local maintenance and - diagnostic sessions; and

- - MA-4(1)(a) - - - MA-4(1)(b) -

reviews records of the maintenance and diagnostic sessions.

- MA-4(1)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

list of audit events

-

information system configuration settings and associated documentation

-

maintenance records

-

diagnostic records

-

audit records

-

reviews of maintenance and diagnostic session records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with audit and review responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for audit and review of nonlocal maintenance

-

automated mechanisms supporting and/or implementing audit and review of - nonlocal maintenance

- - - - - Document Nonlocal Maintenance - MA-4(2) - ma-04.02 - -

The organization documents in the security plan for the information system, the - policies and procedures for the establishment and use of nonlocal maintenance and - diagnostic connections.

- - -

Determine if the organization documents in the security plan for the information - system:

- - MA-4(2)[1] -

the policies for the establishment and use of nonlocal maintenance and - diagnostic connections; and

- - - MA-4(2)[2] -

the procedures for the establishment and use of nonlocal maintenance and - diagnostic connections.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

security plan

-

maintenance records

-

diagnostic records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Comparable Security / Sanitization - MA-4(3) - ma-04.03 - -

The organization:

- - (a) -

Requires that nonlocal maintenance and diagnostic services be performed from an - information system that implements a security capability comparable to the - capability implemented on the system being serviced; or

- - - (b) -

Removes the component to be serviced from the information system prior to - nonlocal maintenance or diagnostic services, sanitizes the component (with - regard to organizational information) before removal from organizational - facilities, and after the service is performed, inspects and sanitizes the - component (with regard to potentially malicious software) before reconnecting - the component to the information system.

- - - -

Comparable security capability on information systems, diagnostic tools, and - equipment providing maintenance services implies that the implemented security - controls on those systems, tools, and equipment are at least as comprehensive as - the controls on the information system being serviced.

- MA-3 - SA-12 - SI-3 - SI-7 - - -

Determine if the organization:

- - MA-4(3)(a) -

requires that nonlocal maintenance and diagnostic services be performed from an - information system that implements a security capability comparable to the - capability implemented on the system being serviced; or

- MA-4(3)(a) - - - MA-4(3)(b) - - MA-4(3)(b)[1] -

removes the component to be serviced from the information system;

- - - MA-4(3)(b)[2] -

sanitizes the component (with regard to organizational information) prior to - nonlocal maintenance or diagnostic services and/or before removal from - organizational facilities; and

- - - MA-4(3)(b)[3] -

inspects and sanitizes the component (with regard to potentially malicious - software) after service is performed on the component and before - reconnecting the component to the information system.

- - MA-4(3)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

service provider contracts and/or service-level agreements

-

maintenance records

-

inspection records

-

audit records

-

equipment sanitization records

-

media sanitization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

information system maintenance provider

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for comparable security and sanitization for nonlocal - maintenance

-

organizational processes for removal, sanitization, and inspection of - components serviced via nonlocal maintenance

-

automated mechanisms supporting and/or implementing component sanitization and - inspection

- - - - - Authentication / Separation of Maintenance Sessions - - - - MA-4(4) - ma-04.04 - -

The organization protects nonlocal maintenance sessions by:

- - (a) -

Employing ; and

- - - (b) -

Separating the maintenance sessions from other network sessions with the - information system by either:

- - (1) -

Physically separated communications paths; or

- - - (2) -

Logically separated communications paths based upon encryption.

- - - - - SC-13 - - -

Determine if the organization protects nonlocal maintenance sessions by:

- - MA-4(4)(a) - - MA-4(4)(a)[1] -

defining replay resistant authenticators to be employed to protect nonlocal - maintenance sessions;

- - - MA-4(4)(a)[2] -

employing organization-defined authenticators that are replay resistant;

- - MA-4(4)(a) - - - MA-4(4)(b) -

separating the maintenance sessions from other network sessions with the - information system by either:

- - MA-4(4)(b)(1) -

physically separated communications paths; or

- MA-4(4)(b)(1) - - - MA-4(4)(b)(2) -

logically separated communications paths based upon encryption.

- MA-4(4)(b)(2) - - MA-4(4)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing nonlocal information system maintenance

-

information system design documentation

-

information system configuration settings and associated documentation

-

maintenance records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

network engineers

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for protecting nonlocal maintenance sessions

-

automated mechanisms implementing replay resistant authenticators

-

automated mechanisms implementing logically separated/encrypted communications - paths

- - - - - Approvals and Notifications - - - - - - - MA-4(5) - ma-04.05 - -

The organization:

- - (a) -

Requires the approval of each nonlocal maintenance session by ; and

- - - (b) -

Notifies of the date and time of planned - nonlocal maintenance.

- - - -

Notification may be performed by maintenance personnel. Approval of nonlocal - maintenance sessions is accomplished by organizational personnel with sufficient - information security and information system knowledge to determine the - appropriateness of the proposed maintenance.

- - -

Determine if the organization:

- - MA-4(5)(a) - - MA-4(5)(a)[1] -

defines personnel or roles required to approve each nonlocal maintenance - session;

- - - MA-4(5)(a)[2] -

requires the approval of each nonlocal maintenance session by - organization-defined personnel or roles;

- - MA-4(5)(a) - - - MA-4(5)(b) - - MA-4(5)(b)[1] -

defines personnel or roles to be notified of the date and time of planned - nonlocal maintenance; and

- - - MA-4(5)(b)[2] -

notifies organization-defined personnel roles of the date and time of - planned nonlocal maintenance.

- - MA-4(5)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

security plan

-

notifications supporting nonlocal maintenance sessions

-

maintenance records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with notification responsibilities

-

organizational personnel with approval responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for approving and notifying personnel regarding - nonlocal maintenance

-

automated mechanisms supporting notification and approval of nonlocal - maintenance

- - - - - Cryptographic Protection - MA-4(6) - ma-04.06 - -

The information system implements cryptographic mechanisms to protect the - integrity and confidentiality of nonlocal maintenance and diagnostic - communications.

- - - SC-8 - SC-13 - - -

Determine if the information system implements cryptographic mechanisms to protect - the integrity and confidentiality of nonlocal maintenance and diagnostic - communications.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms protecting nonlocal maintenance activities

-

maintenance records

-

diagnostic records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

network engineers

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Cryptographic mechanisms protecting nonlocal maintenance and diagnostic - communications

- - - - - Remote Disconnect Verification - MA-4(7) - ma-04.07 - -

The information system implements remote disconnect verification at the - termination of nonlocal maintenance and diagnostic sessions.

- - -

Remote disconnect verification ensures that remote connections from nonlocal - maintenance sessions have been terminated and are no longer available for use.

- SC-13 - - -

Determine if the information system implements remote disconnect verification at - the termination of nonlocal maintenance and diagnostic sessions.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing non-local information system maintenance

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms protecting nonlocal maintenance activities

-

maintenance records

-

diagnostic records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

network engineers

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing remote disconnect verifications of terminated - nonlocal maintenance and diagnostic sessions

- - - - - - Maintenance Personnel - MA-5 - ma-05 - -

The organization:

- - a. -

Establishes a process for maintenance personnel authorization and maintains a list - of authorized maintenance organizations or personnel;

- - - b. -

Ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - c. -

Designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - -

This control applies to individuals performing hardware or software maintenance on - organizational information systems, while PE-2 addresses physical access for - individuals whose maintenance duties place them within the physical protection - perimeter of the systems (e.g., custodial staff, physical plant maintenance - personnel). Technical competence of supervising individuals relates to the - maintenance performed on the information systems while having required access - authorizations refers to maintenance on and near the systems. Individuals not - previously identified as authorized maintenance personnel, such as information - technology manufacturers, vendors, systems integrators, and consultants, may require - privileged access to organizational information systems, for example, when required - to conduct maintenance activities with little or no notice. Based on organizational - assessments of risk, organizations may issue temporary credentials to these - individuals. Temporary credentials may be for one-time use or for very limited time - periods.

- AC-2 - IA-8 - MP-2 - PE-2 - PE-3 - PE-4 - RA-3 - - -

Determine if the organization:

- - MA-5(a) - - MA-5(a)[1] -

establishes a process for maintenance personnel authorization;

- - - MA-5(a)[2] -

maintains a list of authorized maintenance organizations or personnel;

- - - - MA-5(b) -

ensures that non-escorted personnel performing maintenance on the information - system have required access authorizations; and

- - - MA-5(c) -

designates organizational personnel with required access authorizations and - technical competence to supervise the maintenance activities of personnel who do - not possess the required access authorizations.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

service provider contracts

-

service-level agreements

-

list of authorized personnel

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for authorizing and managing maintenance personnel

-

automated mechanisms supporting and/or implementing authorization of maintenance - personnel

- - - - Individuals Without Appropriate Access - MA-5(1) - ma-05.01 - -

The organization:

- - (a) -

Implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements:

- - (1) -

Maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who are fully cleared, have - appropriate access authorizations, and are technically qualified;

- - - (2) -

Prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances or formal access - approvals, all volatile information storage components within the - information system are sanitized and all nonvolatile storage media are - removed or physically disconnected from the system and secured; and

- - - - (b) -

Develops and implements alternate security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system.

- - - -

This control enhancement denies individuals who lack appropriate security - clearances (i.e., individuals who do not possess security clearances or possess - security clearances at a lower level than required) or who are not U.S. citizens, - visual and electronic access to any classified information, Controlled - Unclassified Information (CUI), or any other sensitive information contained on - organizational information systems. Procedures for the use of maintenance - personnel can be documented in security plans for the information systems.

- MP-6 - PL-2 - - -

Determine if the organization:

- - MA-5(1)(a) -

implements procedures for the use of maintenance personnel that lack - appropriate security clearances or are not U.S. citizens, that include the - following requirements:

- - MA-5(1)(a)(1) -

maintenance personnel who do not have needed access authorizations, - clearances, or formal access approvals are escorted and supervised during - the performance of maintenance and diagnostic activities on the information - system by approved organizational personnel who:

- - MA-5(1)(a)(1)[1] -

are fully cleared;

- - - MA-5(1)(a)(1)[2] -

have appropriate access authorizations;

- - - MA-5(1)(a)(1)[3] -

are technically qualified;

- - MA-5(1)(a)(1) - - - MA-5(1)(a)(2) -

prior to initiating maintenance or diagnostic activities by personnel who do - not have needed access authorizations, clearances, or formal access - approvals:

- - MA-5(1)(a)(2)[1] -

all volatile information storage components within the information system - are sanitized; and

- - - MA-5(1)(a)(2)[2] -

all nonvolatile storage media are removed; or

- - - MA-5(1)(a)(2)[3] -

all nonvolatile storage media are physically disconnected from the system - and secured; and

- - MA-5(1)(a)(2) - - MA-5(1)(a) - - - MA-5(1)(b) -

develops and implements alternative security safeguards in the event an - information system component cannot be sanitized, removed, or disconnected from - the system.

- MA-5(1)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

information system media protection policy

-

physical and environmental protection policy

-

security plan

-

list of maintenance personnel requiring escort/supervision

-

maintenance records

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with personnel security responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsible for media sanitization

-

system/network administrators

- - - - TEST - -

Organizational processes for managing maintenance personnel without appropriate - access

-

automated mechanisms supporting and/or implementing alternative security - safeguards

-

automated mechanisms supporting and/or implementing information storage - component sanitization

- - - - - Security Clearances for Classified Systems - MA-5(2) - ma-05.02 - -

The organization ensures that personnel performing maintenance and diagnostic - activities on an information system processing, storing, or transmitting - classified information possess security clearances and formal access approvals for - at least the highest classification level and for all compartments of information - on the system.

- - - PS-3 - - -

Determine if the organization ensures that personnel performing maintenance and - diagnostic activities on an information system processing, storing, or - transmitting classified information possess:

- - MA-5(2)[1] -

security clearances for at least the highest classification level on the - system;

- - - MA-5(2)[2] -

security clearances for all compartments of information on the system;

- - - MA-5(2)[3] -

formal access approvals for at least the highest classification level on the - system; and

- - - MA-5(2)[4] -

formal access approvals for all compartments of information on the system.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

personnel records

-

maintenance records

-

access control records

-

access credentials

-

access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with personnel security responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing security clearances for maintenance - personnel

- - - - - Citizenship Requirements for Classified Systems - MA-5(3) - ma-05.03 - -

The organization ensures that personnel performing maintenance and diagnostic - activities on an information system processing, storing, or transmitting - classified information are U.S. citizens.

- - - PS-3 - - -

Determine if the organization ensures that personnel performing maintenance and - diagnostic activities on an information system processing, storing, or - transmitting classified information are U.S. citizens.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

personnel records

-

maintenance records

-

access control records

-

access credentials

-

access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - - Foreign Nationals - MA-5(4) - ma-05.04 - -

The organization ensures that:

- - (a) -

Cleared foreign nationals (i.e., foreign nationals with appropriate security - clearances), are used to conduct maintenance and diagnostic activities on - classified information systems only when the systems are jointly owned and - operated by the United States and foreign allied governments, or owned and - operated solely by foreign allied governments; and

- - - (b) -

Approvals, consents, and detailed operational conditions regarding the use of - foreign nationals to conduct maintenance and diagnostic activities on - classified information systems are fully documented within Memoranda of - Agreements.

- - - - PS-3 - - -

Determine if the organization ensures that:

- - MA-5(4)(a) -

cleared foreign nationals (i.e., foreign nationals with appropriate security - clearances) are used to conduct maintenance and diagnostic activities on - classified information systems only when the systems are:

- - MA-5(4)(a)[1] -

jointly owned and operated by the United States and foreign allied - governments; or

- - - MA-5(4)(a)[2] -

owned and operated solely by foreign allied governments; and

- - MA-5(4)(a) - - - MA-5(4)(b) -

approvals, consents, and detailed operational conditions regarding the use of - foreign nationals to conduct maintenance and diagnostic activities on - classified information systems are fully documented within Memoranda of - Agreements.

- MA-5(4)(b) - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

information system media protection policy

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

memorandum of agreement

-

maintenance records

-

access control records

-

access credentials

-

access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities, - organizational personnel with personnel security responsibilities

-

organizational personnel managing memoranda of agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing foreign national maintenance - personnel

- - - - - Nonsystem-related Maintenance - MA-5(5) - ma-05.05 - -

The organization ensures that non-escorted personnel performing maintenance - activities not directly associated with the information system but in the physical - proximity of the system, have required access authorizations.

- - -

Personnel performing maintenance activities in other capacities not directly - related to the information system include, for example, physical plant personnel - and janitorial personnel.

- - -

Determine if the organization ensures that non-escorted personnel performing - maintenance activities not directly associated with the information system but in - the physical proximity of the system, have required access authorizations.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing maintenance personnel

-

information system media protection policy

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

maintenance records

-

access control records

-

access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with personnel security responsibilities

-

organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - - Timely Maintenance - - - - - - - MA-6 - ma-06 - -

The organization obtains maintenance support and/or spare parts for within of failure.

- - -

Organizations specify the information system components that result in increased risk - to organizational operations and assets, individuals, other organizations, or the - Nation when the functionality provided by those components is not operational. - Organizational actions to obtain maintenance support typically include having - appropriate contracts in place.

- CM-8 - CP-2 - CP-7 - SA-14 - SA-15 - - -

Determine if the organization:

- - MA-6[1] -

defines information system components for which maintenance support and/or spare - parts are to be obtained;

- - - MA-6[2] -

defines the time period within which maintenance support and/or spare parts are to - be obtained after a failure;

- - - MA-6[3] - - MA-6[3][a] -

obtains maintenance support for organization-defined information system - components within the organization-defined time period of failure; and/or

- - - MA-6[3][b] -

obtains spare parts for organization-defined information system components - within the organization-defined time period of failure.

- - - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance

-

service provider contracts

-

service-level agreements

-

inventory and availability of spare parts

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance responsibilities

-

organizational personnel with acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for ensuring timely maintenance

- - - - Preventive Maintenance - - - - - - - MA-6(1) - ma-06.01 - -

The organization performs preventive maintenance on at .

- - -

Preventive maintenance includes proactive care and servicing of organizational - information systems components for the purpose of maintaining equipment and - facilities in satisfactory operating condition. Such maintenance provides for the - systematic inspection, tests, measurements, adjustments, parts replacement, - detection, and correction of incipient failures either before they occur or before - they develop into major defects. The primary goal of preventive maintenance is to - avoid/mitigate the consequences of equipment failures. Preventive maintenance is - designed to preserve and restore equipment reliability by replacing worn - components before they actually fail. Methods of determining what preventive (or - other) failure management policies to apply include, for example, original - equipment manufacturer (OEM) recommendations, statistical failure records, - requirements of codes, legislation, or regulations within a jurisdiction, expert - opinion, maintenance that has already been conducted on similar equipment, or - measured values and performance indications.

- - -

Determine if the organization:

- - MA-6(1)[1] -

defines information system components on which preventive maintenance is to be - performed;

- - - MA-6(1)[2] -

defines time intervals within which preventive maintenance is to be performed - on organization-defined information system components; and

- - - MA-6(1)[3] -

performs preventive maintenance on organization-defined information system - components at organization-defined time intervals.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance

-

service provider contracts

-

service-level agreements

-

security plan

-

maintenance records

-

list of system components requiring preventive maintenance

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for preventive maintenance

-

automated mechanisms supporting and/or implementing preventive maintenance

- - - - - Predictive Maintenance - - - - - - - MA-6(2) - ma-06.02 - -

The organization performs predictive maintenance on at .

- - -

Predictive maintenance, or condition-based maintenance, attempts to evaluate the - condition of equipment by performing periodic or continuous (online) equipment - condition monitoring. The goal of predictive maintenance is to perform maintenance - at a scheduled point in time when the maintenance activity is most cost-effective - and before the equipment loses performance within a threshold. The predictive - component of predictive maintenance stems from the goal of predicting the future - trend of the equipment's condition. This approach uses principles of statistical - process control to determine at what point in the future maintenance activities - will be appropriate. Most predictive maintenance inspections are performed while - equipment is in service, thereby minimizing disruption of normal system - operations. Predictive maintenance can result in substantial cost savings and - higher system reliability. Predictive maintenance tends to include measurement of - the item. To evaluate equipment condition, predictive maintenance utilizes - nondestructive testing technologies such as infrared, acoustic (partial discharge - and airborne ultrasonic), corona detection, vibration analysis, sound level - measurements, oil analysis, and other specific online tests.

- - -

Determine if the organization:

- - MA-6(2)[1] -

defines information system components on which predictive maintenance is to be - performed;

- - - MA-6(2)[2] -

defines time intervals within which predictive maintenance is to be performed - on organization-defined information system components; and

- - - MA-6(2)[3] -

performs predictive maintenance on organization-defined information system - components at organization-defined time intervals.

- - - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance

-

service provider contracts

-

service-level agreements

-

security plan

-

maintenance records

-

list of system components requiring predictive maintenance

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for predictive maintenance

-

automated mechanisms supporting and/or implementing predictive maintenance

- - - - - Automated Support for Predictive Maintenance - MA-6(3) - ma-06.03 - -

The organization employs automated mechanisms to transfer predictive maintenance - data to a computerized maintenance management system.

- - -

A computerized maintenance management system maintains a computer database of - information about the maintenance operations of organizations and automates - processing equipment condition data in order to trigger maintenance planning, - execution, and reporting.

- - -

Determine if the organization employs automated mechanisms to transfer predictive - maintenance data to a computerized maintenance management system.

- - - EXAMINE - -

Information system maintenance policy

-

procedures addressing information system maintenance

-

service provider contracts

-

service-level agreements

-

security plan

-

maintenance records

-

list of system components requiring predictive maintenance

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system maintenance - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms implementing the transfer of predictive maintenance data - to a computerized maintenance management system

-

operations of the computer maintenance management system

- - - - - - - Media Protection - - Media Protection Policy and Procedures - - - - - - - - - - MP-1 - mp-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A media protection policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the media protection policy and - associated media protection controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Media protection policy ; and

- - - 2. -

Media protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the MP - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - MP-1(a) - - MP-1(a)(1) - - MP-1(a)(1)[1] -

develops and documents a media protection policy that addresses:

- - MP-1(a)(1)[1][a] -

purpose;

- - - MP-1(a)(1)[1][b] -

scope;

- - - MP-1(a)(1)[1][c] -

roles;

- - - MP-1(a)(1)[1][d] -

responsibilities;

- - - MP-1(a)(1)[1][e] -

management commitment;

- - - MP-1(a)(1)[1][f] -

coordination among organizational entities;

- - - MP-1(a)(1)[1][g] -

compliance;

- - - - MP-1(a)(1)[2] -

defines personnel or roles to whom the media protection policy is to be - disseminated;

- - - MP-1(a)(1)[3] -

disseminates the media protection policy to organization-defined personnel - or roles;

- - - - MP-1(a)(2) - - MP-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - media protection policy and associated media protection controls;

- - - MP-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - MP-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - MP-1(b) - - MP-1(b)(1) - - MP-1(b)(1)[1] -

defines the frequency to review and update the current media protection - policy;

- - - MP-1(b)(1)[2] -

reviews and updates the current media protection policy with the - organization-defined frequency;

- - - - MP-1(b)(2) - - MP-1(b)(2)[1] -

defines the frequency to review and update the current media protection - procedures; and

- - - MP-1(b)(2)[2] -

reviews and updates the current media protection procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Media protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media protection responsibilities

-

organizational personnel with information security responsibilities

- - - - - Media Access - - - - - - - MP-2 - mp-02 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization restricts access to to .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Restricting non-digital media access - includes, for example, denying access to patient medical records in a community - hospital unless the individuals seeking access to such records are authorized - healthcare providers. Restricting access to digital media includes, for example, - limiting access to design specifications stored on compact disks in the media library - to the project leader and the individuals on the development team.

- AC-3 - IA-2 - MP-4 - PE-2 - PE-3 - PL-2 - - -

Determine if the organization:

- - MP-2[1] -

defines types of digital and/or non-digital media requiring restricted access;

- - - MP-2[2] -

defines personnel or roles authorized to access organization-defined types of - digital and/or non-digital media; and

- - - MP-2[3] -

restricts access to organization-defined types of digital and/or non-digital media - to organization-defined personnel or roles.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media access restrictions

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

media storage facilities

-

access control records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for restricting information media

-

automated mechanisms supporting and/or implementing media access restrictions

- - - - Automated Restricted Access - MP-2(1) - mp-02.01 - Withdrawn - MP-4 (2) - - - Cryptographic Protection - MP-2(2) - mp-02.02 - Withdrawn - SC-28 (1) - - - - Media Marking - - - - - - - MP-3 - mp-03 - FIPS Publication 199 - -

The organization:

- - a. -

Marks information system media indicating the distribution limitations, handling - caveats, and applicable security markings (if any) of the information; and

- - - b. -

Exempts from marking as long as the media remain - within .

- - - -

The term security marking refers to the application/use of human-readable security - attributes. The term security labeling refers to the application/use of security - attributes with regard to internal data structures within information systems (see - AC-16). Information system media includes both digital and non-digital media. Digital - media includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Security marking is generally not - required for media containing information determined by organizations to be in the - public domain or to be publicly releasable. However, some organizations may require - markings for public information indicating that the information is publicly - releasable. Marking of information system media reflects applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and guidance.

- AC-16 - PL-2 - RA-3 - - -

Determine if the organization:

- - MP-3(a) -

marks information system media indicating the:

- - MP-3(a)[1] -

distribution limitations of the information;

- - - MP-3(a)[2] -

handling caveats of the information;

- - - MP-3(a)[3] -

applicable security markings (if any) of the information;

- - - - MP-3(b) - - MP-3(b)[1] -

defines types of information system media to be exempted from marking as long - as the media remain in designated controlled areas;

- - - MP-3(b)[2] -

defines controlled areas where organization-defined types of information system - media exempt from marking are to be retained; and

- - - MP-3(b)[3] -

exempts organization-defined types of information system media from marking as - long as the media remain within organization-defined controlled areas.

- - - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media marking

-

physical and environmental protection policy and procedures

-

security plan

-

list of information system media marking security attributes

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and marking - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for marking information media

-

automated mechanisms supporting and/or implementing media marking

- - - - - Media Storage - - - - - - - MP-4 - mp-04 - FIPS Publication 199 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - NIST Special Publication 800-111 - -

The organization:

- - a. -

Physically controls and securely stores within - ; and

- - - b. -

Protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures.

- - - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. Physically controlling information system - media includes, for example, conducting inventories, ensuring procedures are in place - to allow individuals to check out and return media to the media library, and - maintaining accountability for all stored media. Secure storage includes, for - example, a locked drawer, desk, or cabinet, or a controlled media library. The type - of media storage is commensurate with the security category and/or classification of - the information residing on the media. Controlled areas are areas for which - organizations provide sufficient physical and procedural safeguards to meet the - requirements established for protecting information and/or information systems. For - media containing information determined by organizations to be in the public domain, - to be publicly releasable, or to have limited or no adverse impact on organizations - or individuals if accessed by other than authorized personnel, fewer safeguards may - be needed. In these situations, physical access controls provide adequate - protection.

- CP-6 - CP-9 - MP-2 - MP-7 - PE-3 - - -

Determine if the organization:

- - MP-4(a) - - MP-4(a)[1] -

defines types of digital and/or non-digital media to be physically controlled - and securely stored within designated controlled areas;

- - - MP-4(a)[2] -

defines controlled areas designated to physically control and securely store - organization-defined types of digital and/or non-digital media;

- - - MP-4(a)[3] -

physically controls organization-defined types of digital and/or non-digital - media within organization-defined controlled areas;

- - - MP-4(a)[4] -

securely stores organization-defined types of digital and/or non-digital media - within organization-defined controlled areas; and

- - - - MP-4(b) -

protects information system media until the media are destroyed or sanitized using - approved equipment, techniques, and procedures.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

physical and environmental protection policy and procedures

-

access control policy and procedures

-

security plan

-

information system media

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for storing information media

-

automated mechanisms supporting and/or implementing secure media storage/media - protection

- - - - Cryptographic Protection - MP-4(1) - mp-04.01 - Withdrawn - SC-28 (1) - - - Automated Restricted Access - MP-4(2) - mp-04.02 - -

The organization employs automated mechanisms to restrict access to media storage - areas and to audit access attempts and access granted.

- - -

Automated mechanisms can include, for example, keypads on the external entries to - media storage areas.

- AU-2 - AU-9 - AU-6 - AU-12 - - -

Determine if the organization employs automated mechanisms to:

- - MP-4(2)[1] -

restrict access to media storage areas;

- - - MP-4(2)[2] -

audit access attempts; and

- - - MP-4(2)[3] -

audit access granted.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

access control policy and procedures

-

physical and environmental protection policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

media storage facilities

-

access control devices

-

access control records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Automated mechanisms restricting access to media storage areas

-

automated mechanisms auditing access attempts and access granted to media - storage areas

- - - - - - Media Transport - - - - - - - MP-5 - mp-05 - FIPS Publication 199 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Protects and controls during transport outside of - controlled areas using ;

- - - b. -

Maintains accountability for information system media during transport outside of - controlled areas;

- - - c. -

Documents activities associated with the transport of information system media; - and

- - - d. -

Restricts the activities associated with the transport of information system media - to authorized personnel.

- - - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers), - that are transported outside of controlled areas. Controlled areas are areas or - spaces for which organizations provide sufficient physical and/or procedural - safeguards to meet the requirements established for protecting information and/or - information systems. Physical and technical safeguards for media are commensurate - with the security category or classification of the information residing on the - media. Safeguards to protect media during transport include, for example, locked - containers and cryptography. Cryptographic mechanisms can provide confidentiality and - integrity protections depending upon the mechanisms used. Activities associated with - transport include the actual transport as well as those activities such as releasing - media for transport and ensuring that media enters the appropriate transport - processes. For the actual transport, authorized transport and courier personnel may - include individuals from outside the organization (e.g., U.S. Postal Service or a - commercial transport or delivery service). Maintaining accountability of media during - transport includes, for example, restricting transport activities to authorized - personnel, and tracking and/or obtaining explicit records of transport activities as - the media moves through the transportation system to prevent and detect loss, - destruction, or tampering. Organizations establish documentation requirements for - activities associated with the transport of information system media in accordance - with organizational assessments of risk to include the flexibility to define - different record-keeping methods for the different types of media transport as part - of an overall system of transport-related records.

- AC-19 - CP-9 - MP-3 - MP-4 - RA-3 - SC-8 - SC-13 - SC-28 - - -

Determine if the organization:

- - MP-5(a) - - MP-5(a)[1] -

defines types of information system media to be protected and controlled during - transport outside of controlled areas;

- - - MP-5(a)[2] -

defines security safeguards to protect and control organization-defined - information system media during transport outside of controlled areas;

- - - MP-5(a)[3] -

protects and controls organization-defined information system media during - transport outside of controlled areas using organization-defined security - safeguards;

- - - - MP-5(b) -

maintains accountability for information system media during transport outside of - controlled areas;

- - - MP-5(c) -

documents activities associated with the transport of information system media; - and

- - - MP-5(d) -

restricts the activities associated with transport of information system media to - authorized personnel.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media storage

-

physical and environmental protection policy and procedures

-

access control policy and procedures

-

security plan

-

information system media

-

designated controlled areas

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media protection and storage - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for storing information media

-

automated mechanisms supporting and/or implementing media storage/media - protection

- - - - Protection Outside of Controlled Areas - MP-5(1) - mp-05.01 - Withdrawn - MP-5 - - - Documentation of Activities - MP-5(2) - mp-05.02 - Withdrawn - MP-5 - - - Custodians - MP-5(3) - mp-05.03 - -

The organization employs an identified custodian during transport of information - system media outside of controlled areas.

- - -

Identified custodians provide organizations with specific points of contact during - the media transport process and facilitate individual accountability. Custodial - responsibilities can be transferred from one individual to another as long as an - unambiguous custodian is identified at all times.

- - -

Determine if the organization employs an identified custodian during transport of - information system media outside of controlled areas.

- - - EXAMINE - -

Information system media protection policy

-

procedures addressing media transport

-

physical and environmental protection policy and procedures

-

information system media transport records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media transport - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Cryptographic Protection - MP-5(4) - mp-05.04 - -

The information system implements cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas.

- - -

This control enhancement applies to both portable storage devices (e.g., USB - memory sticks, compact disks, digital video disks, external/removable hard disk - drives) and mobile devices with storage capability (e.g., smart phones, tablets, - E-readers).

- MP-2 - - -

Determine if the organization employs cryptographic mechanisms to protect the - confidentiality and integrity of information stored on digital media during - transport outside of controlled areas.

- - - EXAMINE - -

Information system media protection policy

-

procedures addressing media transport

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system media transport records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media transport - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Cryptographic mechanisms protecting information on digital media during - transportation outside controlled areas

- - - - - - Media Sanitization - - - - - - - MP-6 - mp-06 - FIPS Publication 199 - NIST Special Publication 800-60 - NIST Special Publication 800-88 - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - -

The organization:

- - a. -

Sanitizes prior to disposal, release out of - organizational control, or release for reuse using - in accordance with applicable federal and organizational standards and policies; - and

- - - b. -

Employs sanitization mechanisms with the strength and integrity commensurate with - the security category or classification of the information.

- - - -

This control applies to all information system media, both digital and non-digital, - subject to disposal or reuse, whether or not the media is considered removable. - Examples include media found in scanners, copiers, printers, notebook computers, - workstations, network components, and mobile devices. The sanitization process - removes information from the media such that the information cannot be retrieved or - reconstructed. Sanitization techniques, including clearing, purging, cryptographic - erase, and destruction, prevent the disclosure of information to unauthorized - individuals when such media is reused or released for disposal. Organizations - determine the appropriate sanitization methods recognizing that destruction is - sometimes necessary when other methods cannot be applied to media requiring - sanitization. Organizations use discretion on the employment of approved sanitization - techniques and procedures for media containing information deemed to be in the public - domain or publicly releasable, or deemed to have no adverse impact on organizations - or individuals if released for reuse or disposal. Sanitization of non-digital media - includes, for example, removing a classified appendix from an otherwise unclassified - document, or redacting selected sections or words from a document by obscuring the - redacted sections/words in a manner equivalent in effectiveness to removing them from - the document. NSA standards and policies control the sanitization process for media - containing classified information.

- MA-2 - MA-4 - RA-3 - SC-4 - - -

Determine if the organization:

- - MP-6(a) - - MP-6(a)[1] -

defines information system media to be sanitized prior to:

- - MP-6(a)[1][a] -

disposal;

- - - MP-6(a)[1][b] -

release out of organizational control; or

- - - MP-6(a)[1][c] -

release for reuse;

- - - - MP-6(a)[2] -

defines sanitization techniques or procedures to be used for sanitizing - organization-defined information system media prior to:

- - MP-6(a)[2][a] -

disposal;

- - - MP-6(a)[2][b] -

release out of organizational control; or

- - - MP-6(a)[2][c] -

release for reuse;

- - - - MP-6(a)[3] -

sanitizes organization-defined information system media prior to disposal, - release out of organizational control, or release for reuse using - organization-defined sanitization techniques or procedures in accordance with - applicable federal and organizational standards and policies; and

- - - - MP-6(b) -

employs sanitization mechanisms with strength and integrity commensurate with the - security category or classification of the information.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

applicable federal standards and policies addressing media sanitization

-

media sanitization records

-

audit records

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with media sanitization responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - Review / Approve / Track / Document / Verify - MP-6(1) - mp-06.01 - -

The organization reviews, approves, tracks, documents, and verifies media - sanitization and disposal actions.

- - -

Organizations review and approve media to be sanitized to ensure compliance with - records-retention policies. Tracking/documenting actions include, for example, - listing personnel who reviewed and approved sanitization and disposal actions, - types of media sanitized, specific files stored on the media, sanitization methods - used, date and time of the sanitization actions, personnel who performed the - sanitization, verification actions taken, personnel who performed the - verification, and disposal action taken. Organizations verify that the - sanitization of the media was effective prior to disposal.

- SI-12 - - -

Determine if the organization:

- - MP-6(1)[1] -

reviews media sanitization and disposal actions;

- - - MP-6(1)[2] -

approves media sanitization and disposal actions;

- - - MP-6(1)[3] -

tracks media sanitization and disposal actions;

- - - MP-6(1)[4] -

documents media sanitization and disposal actions; and

- - - MP-6(1)[5] -

verifies media sanitization and disposal actions.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

media sanitization and disposal records

-

review records for media sanitization and disposal actions

-

approvals for media sanitization and disposal actions

-

tracking records

-

verification records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization and - disposal responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - Equipment Testing - - - - MP-6(2) - mp-06.02 - -

The organization tests sanitization equipment and procedures to verify that the intended sanitization is being - achieved.

- - -

Testing of sanitization equipment and procedures may be conducted by qualified and - authorized external entities (e.g., other federal agencies or external service - providers).

- - -

Determine if the organization:

- - MP-6(2)[1] -

defines the frequency for testing sanitization equipment and procedures to - verify that the intended sanitization is being achieved; and

- - - MP-6(2)[2] -

tests sanitization equipment and procedures with the organization-defined - frequency to verify that the intended sanitization is being achieved.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

procedures addressing testing of media sanitization equipment

-

results of media sanitization equipment and procedures testing

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media sanitization

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - Nondestructive Techniques - - - - MP-6(3) - mp-06.03 - -

The organization applies nondestructive sanitization techniques to portable - storage devices prior to connecting such devices to the information system under - the following circumstances: .

- - -

This control enhancement applies to digital media containing classified - information and Controlled Unclassified Information (CUI). Portable storage - devices can be the source of malicious code insertions into organizational - information systems. Many of these devices are obtained from unknown and - potentially untrustworthy sources and may contain malicious code that can be - readily transferred to information systems through USB ports or other entry - portals. While scanning such storage devices is always recommended, sanitization - provides additional assurance that the devices are free of malicious code to - include code capable of initiating zero-day attacks. Organizations consider - nondestructive sanitization of portable storage devices when such devices are - first purchased from the manufacturer or vendor prior to initial use or when - organizations lose a positive chain of custody for the devices.

- SI-3 - - -

Determine if the organization:

- - MP-6(3)[1] -

defines circumstances requiring sanitization of portable storage devices; - and

- - - MP-6(3)[2] -

applies nondestructive sanitization techniques to portable storage devices - prior to connecting such devices to the information system under - organization-defined circumstances requiring sanitization of portable storage - devices.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

list of circumstances requiring sanitization of portable storage devices

-

media sanitization records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media sanitization of portable storage devices

-

automated mechanisms supporting and/or implementing media sanitization

- - - - - Controlled Unclassified Information - MP-6(4) - mp-06.04 - Withdrawn - MP-6 - - - Classified Information - MP-6(5) - mp-06.05 - Withdrawn - MP-6 - - - Media Destruction - MP-6(6) - mp-06.06 - Withdrawn - MP-6 - - - Dual Authorization - - - - MP-6(7) - mp-06.07 - -

The organization enforces dual authorization for the sanitization of .

- - -

Organizations employ dual authorization to ensure that information system media - sanitization cannot occur unless two technically qualified individuals conduct the - task. Individuals sanitizing information system media possess sufficient - skills/expertise to determine if the proposed sanitization reflects applicable - federal/organizational standards, policies, and procedures. Dual authorization - also helps to ensure that sanitization occurs as intended, both protecting against - errors and false claims of having performed the sanitization actions. Dual - authorization may also be known as two-person control.

- AC-3 - MP-2 - - -

Determine if the organization:

- - MP-6(7)[1] -

defines information system media requiring dual authorization to be enforced - for sanitization of such media; and

- - - MP-6(7)[2] -

enforces dual authorization for the sanitization of organization-defined - information system media.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

list of information system media requiring dual authorization for - sanitization

-

authorization records

-

media sanitization records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes requiring dual authorization for media - sanitization

-

automated mechanisms supporting and/or implementing media sanitization

-

automated mechanisms supporting and/or implementing dual authorization

- - - - - Remote Purging / Wiping of Information - - - - - - - MP-6(8) - mp-06.08 - -

The organization provides the capability to purge/wipe information from either remotely or under the following conditions: - .

- - -

This control enhancement protects data/information on organizational information - systems, system components, or devices (e.g., mobile devices) if such systems, - components, or devices are obtained by unauthorized individuals. Remote purge/wipe - commands require strong authentication to mitigate the risk of unauthorized - individuals purging/wiping the system/component/device. The purge/wipe function - can be implemented in a variety of ways including, for example, by overwriting - data/information multiple times or by destroying the key necessary to decrypt - encrypted data.

- - -

Determine if the organization:

- - MP-6(8)[1] -

defines information systems, system components, or devices to purge/wipe either - remotely or under specific organizational conditions;

- - - MP-6(8)[2] -

defines conditions under which information is to be purged/wiped from - organization-defined information systems, system components, or devices; - and

- - - MP-6(8)[3] -

provides the capability to purge/wipe information from organization-defined - information systems, system components, or devices either:

- - MP-6(8)[3][a] -

remotely; or

- - - MP-6(8)[3][b] -

under organization-defined conditions.

- - - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media sanitization and disposal

-

information system design documentation

-

information system configuration settings and associated documentation

-

media sanitization records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media sanitization - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for purging/wiping media

-

automated mechanisms supporting and/or implementing purge/wipe capabilities

- - - - - - Media Use - - - - - - - - - - - - - MP-7 - mp-07 - FIPS Publication 199 - NIST Special Publication 800-111 - -

The organization the use of on using .

- - -

Information system media includes both digital and non-digital media. Digital media - includes, for example, diskettes, magnetic tapes, external/removable hard disk - drives, flash drives, compact disks, and digital video disks. Non-digital media - includes, for example, paper and microfilm. This control also applies to mobile - devices with information storage capability (e.g., smart phones, tablets, E-readers). - In contrast to MP-2, which restricts user access to media, this control restricts the - use of certain types of media on information systems, for example, - restricting/prohibiting the use of flash drives or external hard disk drives. - Organizations can employ technical and nontechnical safeguards (e.g., policies, - procedures, rules of behavior) to restrict the use of information system media. - Organizations may restrict the use of portable storage devices, for example, by using - physical cages on workstations to prohibit access to certain external ports, or - disabling/removing the ability to insert, read or write to such devices. - Organizations may also limit the use of portable storage devices to only approved - devices including, for example, devices provided by the organization, devices - provided by other approved organizations, and devices that are not personally owned. - Finally, organizations may restrict the use of portable storage devices based on the - type of device, for example, prohibiting the use of writeable, portable storage - devices, and implementing this restriction by disabling or removing the capability to - write to such devices.

- AC-19 - PL-4 - - -

Determine if the organization:

- - MP-7[1] -

defines types of information system media to be:

- - MP-7[1][a] -

restricted on information systems or system components; or

- - - MP-7[1][b] -

prohibited from use on information systems or system components;

- - - - MP-7[2] -

defines information systems or system components on which the use of - organization-defined types of information system media is to be one of the - following:

- - MP-7[2][a] -

restricted; or

- - - MP-7[2][b] -

prohibited;

- - - - MP-7[3] -

defines security safeguards to be employed to restrict or prohibit the use of - organization-defined types of information system media on organization-defined - information systems or system components; and

- - - MP-7[4] -

restricts or prohibits the use of organization-defined information system media on - organization-defined information systems or system components using - organization-defined security safeguards.

- - - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms restricting or prohibiting use of information system media on - information systems or system components

- - - - Prohibit Use Without Owner - MP-7(1) - mp-07.01 - -

The organization prohibits the use of portable storage devices in organizational - information systems when such devices have no identifiable owner.

- - -

Requiring identifiable owners (e.g., individuals, organizations, or projects) for - portable storage devices reduces the risk of using such technologies by allowing - organizations to assign responsibility and accountability for addressing known - vulnerabilities in the devices (e.g., malicious code insertion).

- PL-4 - - -

Determine if the organization prohibits the use of portable storage devices in - organizational information systems when such devices have no identifiable owner. -

- - - EXAMINE - -

Information system media protection policy

-

system use policy

-

procedures addressing media usage restrictions

-

security plan

-

rules of behavior

-

information system design documentation

-

information system configuration settings and associated documentation

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms prohibiting use of media on information systems or system - components

- - - - - Prohibit Use of Sanitization-resistant Media - MP-7(2) - mp-07.02 - -

The organization prohibits the use of sanitization-resistant media in - organizational information systems.

- - -

Sanitization-resistance applies to the capability to purge information from media. - Certain types of media do not support sanitize commands, or if supported, the - interfaces are not supported in a standardized way across these devices. - Sanitization-resistant media include, for example, compact flash, embedded flash - on boards and devices, solid state drives, and USB removable media.

- MP-6 - - -

Determine if the organization prohibits the use of sanitization-resistant media in - organizational information systems.

- - - EXAMINE - -

Information system media protection policy, system use policy

-

procedures addressing media usage restrictions

-

rules of behavior

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media use responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media use

-

automated mechanisms prohibiting use of media on information systems or system - components

- - - - - - Media Downgrading - - - - - - - - - - MP-8 - mp-08 - -

The organization:

- - a. -

Establishes that includes employing downgrading - mechanisms with ;

- - - b. -

Ensures that the information system media downgrading process is commensurate with - the security category and/or classification level of the information to be removed - and the access authorizations of the potential recipients of the downgraded - information;

- - - c. -

Identifies ; and

- - - d. -

Downgrades the identified information system media using the established - process.

- - - -

This control applies to all information system media, digital and non-digital, - subject to release outside of the organization, whether or not the media is - considered removable. The downgrading process, when applied to system media, removes - information from the media, typically by security category or classification level, - such that the information cannot be retrieved or reconstructed. Downgrading of media - includes redacting information to enable wider release and distribution. Downgrading - of media also ensures that empty space on the media (e.g., slack space within files) - is devoid of information.

- - -

Determine if the organization:

- - MP-8(a) - - MP-8(a)[1] -

defines the information system media downgrading process;

- - - MP-8(a)[2] -

defines the strength and integrity with which media downgrading mechanisms are - to be employed;

- - - MP-8(a)[3] -

establishes an organization-defined information system media downgrading - process that includes employing downgrading mechanisms with - organization-defined strength and integrity;

- - - - MP-8(b) -

ensures that the information system media downgrading process is commensurate with - the:

- - MP-8(b)[1] -

security category and/or classification level of the information to be - removed;

- - - MP-8(b)[2] -

access authorizations of the potential recipients of the downgraded - information;

- - - - MP-8(c) -

identifies/defines information system media requiring downgrading; and

- - - MP-8(d) -

downgrades the identified information system media using the established - process.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media downgrading

-

system categorization documentation

-

list of media requiring downgrading

-

records of media downgrading

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media downgrading - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for media downgrading

-

automated mechanisms supporting and/or implementing media downgrading

- - - - Documentation of Process - MP-8(1) - mp-08.01 - -

The organization documents information system media downgrading actions.

- - -

Organizations can document the media downgrading process by providing information - such as the downgrading technique employed, the identification number of the - downgraded media, and the identity of the individual that authorized and/or - performed the downgrading action.

- - -

Determine if the organization documents information system media downgrading - actions.

- - - EXAMINE - -

Information system media protection policy

-

procedures addressing media downgrading

-

list of media requiring downgrading

-

records of media downgrading

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media downgrading - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media downgrading

-

automated mechanisms supporting and/or implementing media downgrading

- - - - - Equipment Testing - - - - - - - MP-8(2) - mp-08.02 - -

The organization employs of downgrading - equipment and procedures to verify correct performance .

- - -

Determine if the organization:

- - MP-8(2)[1] - - MP-8(2)[1][a] -

defines tests to be employed for downgrading equipment;

- - - MP-8(2)[1][b] -

defines procedures to verify correct performance;

- - - - MP-8(2)[2] -

defines the frequency for employing tests of downgrading equipment and - procedures to verify correct performance; and

- - - MP-8(2)[3] -

employs organization-defined tests of downgrading equipment and procedures to - verify correct performance with the organization-defined frequency.

- - - - EXAMINE - -

Information system media protection policy

-

procedures addressing media downgrading

-

procedures addressing testing of media downgrading equipment

-

results of downgrading equipment and procedures testing

-

audit records: other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media downgrading - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media downgrading

-

automated mechanisms supporting and/or implementing media downgrading

-

automated mechanisms supporting and/or implementing tests for downgrading - equipment

- - - - - Controlled Unclassified Information - - - - MP-8(3) - mp-08.03 - -

The organization downgrades information system media containing prior to public release in accordance with applicable - federal and organizational standards and policies.

- - -

Determine if the organization:

- - MP-8(3)[1] -

defines Controlled Unclassified Information (CUI) contained on information - system media that requires downgrading prior to public release; and

- - - MP-8(3)[2] -

downgrades information system media containing organization-defined CUI prior - to public release in accordance with applicable federal and organizational - standards and policies.

- - - - EXAMINE - -

Information system media protection policy

-

access authorization policy

-

procedures addressing downgrading of media containing CUI

-

applicable federal and organizational standards and policies regarding - protection of CUI

-

media downgrading records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media downgrading - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media downgrading

-

automated mechanisms supporting and/or implementing media downgrading

- - - - - Classified Information - MP-8(4) - mp-08.04 - -

The organization downgrades information system media containing classified - information prior to release to individuals without required access authorizations - in accordance with NSA standards and policies.

- - -

Downgrading of classified information uses approved sanitization tools, - techniques, and procedures to transfer information confirmed to be unclassified - from classified information systems to unclassified media.

- - -

Determine if the organization downgrades information system media containing - classified information prior to release to individuals without required access - authorizations in accordance with NSA standards and policies.

- - - EXAMINE - -

Information system media protection policy

-

access authorization policy

-

procedures addressing downgrading of media containing classified - information

-

procedures addressing handling of classified information

-

NSA standards and policies regarding protection of classified information

-

media downgrading records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information system media downgrading - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for media downgrading

-

automated mechanisms supporting and/or implementing media downgrading

- - - - - - - Physical and Environmental Protection - - Physical and Environmental Protection Policy and Procedures - - - - - - - - - - PE-1 - pe-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A physical and environmental protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the physical and environmental - protection policy and associated physical and environmental protection - controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Physical and environmental protection policy ; - and

- - - 2. -

Physical and environmental protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PE - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PE-1(a) - - PE-1(a)(1) - - PE-1(a)(1)[1] -

develops and documents a physical and environmental protection policy that - addresses:

- - PE-1(a)(1)[1][a] -

purpose;

- - - PE-1(a)(1)[1][b] -

scope;

- - - PE-1(a)(1)[1][c] -

roles;

- - - PE-1(a)(1)[1][d] -

responsibilities;

- - - PE-1(a)(1)[1][e] -

management commitment;

- - - PE-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PE-1(a)(1)[1][g] -

compliance;

- - - - PE-1(a)(1)[2] -

defines personnel or roles to whom the physical and environmental protection - policy is to be disseminated;

- - - PE-1(a)(1)[3] -

disseminates the physical and environmental protection policy to - organization-defined personnel or roles;

- - - - PE-1(a)(2) - - PE-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - physical and environmental protection policy and associated physical and - environmental protection controls;

- - - PE-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - PE-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PE-1(b) - - PE-1(b)(1) - - PE-1(b)(1)[1] -

defines the frequency to review and update the current physical and - environmental protection policy;

- - - PE-1(b)(1)[2] -

reviews and updates the current physical and environmental protection policy - with the organization-defined frequency;

- - - - PE-1(b)(2) - - PE-1(b)(2)[1] -

defines the frequency to review and update the current physical and - environmental protection procedures; and

- - - PE-1(b)(2)[2] -

reviews and updates the current physical and environmental protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

Physical and environmental protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical and environmental protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Physical Access Authorizations - - - - PE-2 - pe-02 - -

The organization:

- - a. -

Develops, approves, and maintains a list of individuals with authorized access to - the facility where the information system resides;

- - - b. -

Issues authorization credentials for facility access;

- - - c. -

Reviews the access list detailing authorized facility access by individuals - ; and

- - - d. -

Removes individuals from the facility access list when access is no longer - required.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Authorization credentials include, for - example, badges, identification cards, and smart cards. Organizations determine the - strength of authorization credentials needed (including level of forge-proof badges, - smart cards, or identification cards) consistent with federal standards, policies, - and procedures. This control only applies to areas within facilities that have not - been designated as publicly accessible.

- PE-3 - PE-4 - PS-3 - - -

Determine if the organization:

- - PE-2(a) - - PE-2(a)[1] -

develops a list of individuals with authorized access to the facility where the - information system resides;

- - - PE-2(a)[2] -

approves a list of individuals with authorized access to the facility where the - information system resides;

- - - PE-2(a)[3] -

maintains a list of individuals with authorized access to the facility where - the information system resides;

- - - - PE-2(b) -

issues authorization credentials for facility access;

- - - PE-2(c) - - PE-2(c)[1] -

defines the frequency to review the access list detailing authorized facility - access by individuals;

- - - PE-2(c)[2] -

reviews the access list detailing authorized facility access by individuals - with the organization-defined frequency; and

- - - - PE-2(d) -

removes individuals from the facility access list when access is no longer - required.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

security plan

-

authorized personnel access list

-

authorization credentials

-

physical access list reviews

-

physical access termination records and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization responsibilities

-

organizational personnel with physical access to information system facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - Access by Position / Role - PE-2(1) - pe-02.01 - -

The organization authorizes physical access to the facility where the information - system resides based on position or role.

- - - AC-2 - AC-3 - AC-6 - - -

Determine if the organization authorizes physical access to the facility where the - information system resides based on position or role.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

physical access control logs or records

-

list of positions/roles and corresponding physical access authorizations

-

information system entry and exit points

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization - responsibilities

-

organizational personnel with physical access to information system - facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - - Two Forms of Identification - - - - PE-2(2) - pe-02.02 - -

The organization requires two forms of identification from for visitor access to the facility where the - information system resides.

- - -

Acceptable forms of government photo identification include, for example, - passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. In - the case of gaining access to facilities using automated mechanisms, organizations - may use PIV cards, key cards, PINs, and biometrics.

- IA-2 - IA-4 - IA-5 - - -

Determine if the organization:

- - PE-2(2)[1] -

defines a list of acceptable forms of identification for visitor access to the - facility where the information system resides; and

- - - PE-2(2)[2] -

requires two forms of identification from the organization-defined list of - acceptable forms of identification for visitor access to the facility where the - information system resides.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

list of acceptable forms of identification for visitor access to the facility - where information system resides

-

access authorization forms

-

access credentials

-

physical access control logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization - responsibilities

-

organizational personnel with physical access to information system - facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - - Restrict Unescorted Access - - - - - - - PE-2(3) - pe-02.03 - -

The organization restricts unescorted access to the facility where the information - system resides to personnel with .

- - -

Due to the highly sensitive nature of classified information stored within certain - facilities, it is important that individuals lacking sufficient security - clearances, access approvals, or need to know, be escorted by individuals with - appropriate credentials to ensure that such information is not exposed or - otherwise compromised.

- PS-2 - PS-6 - - -

Determine if the organization:

- - PE-2(3)[1] -

defines credentials to be employed to restrict unescorted access to the - facility where the information system resides to authorized personnel;

- - - PE-2(3)[2] -

restricts unescorted access to the facility where the information system - resides to personnel with one or more of the following:

- - PE-2(3)[2][a] -

security clearances for all information contained within the system;

- - - PE-2(3)[2][b] -

formal access authorizations for all information contained within the - system;

- - - PE-2(3)[2][c] -

need for access to all information contained within the system; and/or

- - - PE-2(3)[2][d] -

organization-defined credentials.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access authorizations

-

authorized personnel access list

-

security clearances

-

access authorizations

-

access credentials

-

physical access control logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization - responsibilities

-

organizational personnel with physical access to information system - facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access authorizations

-

automated mechanisms supporting and/or implementing physical access - authorizations

- - - - - - Physical Access Control - - - - - - - - - - - - - - - - - - - - - - - - - - - - PE-3 - pe-03 - FIPS Publication 201 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - NIST Special Publication 800-116 - ICD 704 - ICD 705 - DoD Instruction 5200.39 - Personal Identity Verification (PIV) in Enterprise - Physical Access Control System (E-PACS) - http://idmanagement.gov - http://fips201ep.cio.gov - -

The organization:

- - a. -

Enforces physical access authorizations at by;

- - 1. -

Verifying individual access authorizations before granting access to the - facility; and

- - - 2. -

Controlling ingress/egress to the facility using ;

- - - - b. -

Maintains physical access audit logs for ;

- - - c. -

Provides to control access to areas within the - facility officially designated as publicly accessible;

- - - d. -

Escorts visitors and monitors visitor activity ;

- - - e. -

Secures keys, combinations, and other physical access devices;

- - - f. -

Inventories every ; - and

- - - g. -

Changes combinations and keys and/or when keys are - lost, combinations are compromised, or individuals are transferred or - terminated.

- - - -

This control applies to organizational employees and visitors. Individuals (e.g., - employees, contractors, and others) with permanent physical access authorization - credentials are not considered visitors. Organizations determine the types of - facility guards needed including, for example, professional physical security staff - or other personnel such as administrative staff or information system users. Physical - access devices include, for example, keys, locks, combinations, and card readers. - Safeguards for publicly accessible areas within organizational facilities include, - for example, cameras, monitoring by guards, and isolating selected information - systems and/or system components in secured areas. Physical access control systems - comply with applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance. The Federal Identity, Credential, and Access - Management Program provides implementation guidance for identity, credential, and - access management capabilities for physical access control systems. Organizations - have flexibility in the types of audit logs employed. Audit logs can be procedural - (e.g., a written log of individuals accessing the facility and when such access - occurred), automated (e.g., capturing ID provided by a PIV card), or some combination - thereof. Physical access points can include facility access points, interior access - points to information systems and/or components requiring supplemental access - controls, or both. Components of organizational information systems (e.g., - workstations, terminals) may be located in areas designated as publicly accessible - with organizations safeguarding access to such devices.

- AU-2 - AU-6 - MP-2 - MP-4 - PE-2 - PE-4 - PE-5 - PS-3 - RA-3 - - -

Determine if the organization:

- - PE-3(a) - - PE-3(a)[1] -

defines entry/exit points to the facility where the information system - resides;

- - - PE-3(a)[2] -

enforces physical access authorizations at organization-defined entry/exit - points to the facility where the information system resides by:

- - PE-3(a)[2](1) -

verifying individual access authorizations before granting access to the - facility;

- - - PE-3(a)[2](2) - - PE-3(a)[2](2)[a] -

defining physical access control systems/devices to be employed to - control ingress/egress to the facility where the information system - resides;

- - - PE-3(a)[2](2)[b] -

using one or more of the following ways to control ingress/egress to the - facility:

- - PE-3(a)[2](2)[b][1] -

organization-defined physical access control systems/devices; - and/or

- - - PE-3(a)[2](2)[b][2] -

guards;

- - - - - - - PE-3(b) - - PE-3(b)[1] -

defines entry/exit points for which physical access audit logs are to be - maintained;

- - - PE-3(b)[2] -

maintains physical access audit logs for organization-defined entry/exit - points;

- - - - PE-3(c) - - PE-3(c)[1] -

defines security safeguards to be employed to control access to areas within - the facility officially designated as publicly accessible;

- - - PE-3(c)[2] -

provides organization-defined security safeguards to control access to areas - within the facility officially designated as publicly accessible;

- - - - PE-3(d) - - PE-3(d)[1] -

defines circumstances requiring visitor:

- - PE-3(d)[1][a] -

escorts;

- - - PE-3(d)[1][b] -

monitoring;

- - - - PE-3(d)[2] -

in accordance with organization-defined circumstances requiring visitor escorts - and monitoring:

- - PE-3(d)[2][a] -

escorts visitors;

- - - PE-3(d)[2][b] -

monitors visitor activities;

- - - - - PE-3(e) - - PE-3(e)[1] -

secures keys;

- - - PE-3(e)[2] -

secures combinations;

- - - PE-3(e)[3] -

secures other physical access devices;

- - - - PE-3(f) - - PE-3(f)[1] -

defines physical access devices to be inventoried;

- - - PE-3(f)[2] -

defines the frequency to inventory organization-defined physical access - devices;

- - - PE-3(f)[3] -

inventories the organization-defined physical access devices with the - organization-defined frequency;

- - - - PE-3(g) - - PE-3(g)[1] -

defines the frequency to change combinations and keys; and

- - - PE-3(g)[2] -

changes combinations and keys with the organization-defined frequency and/or - when:

- - PE-3(g)[2][a] -

keys are lost;

- - - PE-3(g)[2][b] -

combinations are compromised;

- - - PE-3(g)[2][c] -

individuals are transferred or terminated.

- - - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security plan

-

physical access control logs or records

-

inventory records of physical access control devices

-

information system entry and exit points

-

records of key and lock combination changes

-

storage locations for physical access control devices

-

physical access control devices

-

list of security safeguards controlling access to designated publicly accessible - areas within facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control

-

automated mechanisms supporting and/or implementing physical access control

-

physical access control devices

- - - - Information System Access - - - - PE-3(1) - pe-03.01 - -

The organization enforces physical access authorizations to the information system - in addition to the physical access controls for the facility at .

- - -

This control enhancement provides additional physical security for those areas - within facilities where there is a concentration of information system components - (e.g., server rooms, media storage areas, data and communications centers).

- PS-2 - - -

Determine if the organization:

- - PE-3(1)[1] -

defines physical spaces containing one or more components of the information - system; and

- - - PE-3(1)[2] -

enforces physical access authorizations to the information system in addition - to the physical access controls for the facility at organization-defined - physical spaces containing one or more components of the information - system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

physical access control logs or records

-

physical access control devices

-

access authorizations

-

access credentials

-

information system entry and exit points

-

list of areas within the facility containing concentrations of information - system components or information system components requiring additional - physical protection

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access authorization - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control to the information - system/components

-

automated mechanisms supporting and/or implementing physical access control for - facility areas containing information system components

- - - - - Facility / Information System Boundaries - - - - PE-3(2) - pe-03.02 - -

The organization performs security checks at the - physical boundary of the facility or information system for unauthorized - exfiltration of information or removal of information system components.

- - -

Organizations determine the extent, frequency, and/or randomness of security - checks to adequately mitigate risk associated with exfiltration.

- AC-4 - SC-7 - - -

Determine if the organization:

- - PE-3(2)[1] -

defines the frequency to perform security checks at the physical boundary of - the facility or information system for:

- - PE-3(2)[1][a] -

unauthorized exfiltration of information; or

- - - PE-3(2)[1][b] -

removal of information system components; and

- - - - PE-3(2)[2] -

performs security checks with the organization-defined frequency at the - physical boundary of the facility or information system for:

- - PE-3(2)[2][a] -

unauthorized exfiltration of information; or

- - - PE-3(2)[2][b] -

removal of information system components.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

physical access control logs or records

-

records of security checks

-

security audit reports

-

security inspection reports

-

facility layout documentation

-

information system entry and exit points

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control to the facility and/or - information system

-

automated mechanisms supporting and/or implementing physical access control for - the facility or information system

-

automated mechanisms supporting and/or implementing security checks for - unauthorized exfiltration of information

- - - - - Continuous Guards / Alarms / Monitoring - PE-3(3) - pe-03.03 - -

The organization employs guards and/or alarms to monitor every physical access - point to the facility where the information system resides 24 hours per day, 7 - days per week.

- - - CP-6 - CP-7 - - -

Determine if the organization employs one or more of the following to monitor - every physical access point to the facility where the information system resides - 24 hours per day, 7 days per week:

- - PE-3(3)[1] -

guards; and/or

- - - PE-3(3)[2] -

alarms.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

physical access control logs or records

-

physical access control devices

-

facility surveillance records

-

facility layout documentation

-

information system entry and exit points

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for physical access control to the facility where the - information system resides

-

automated mechanisms supporting and/or implementing physical access control for - the facility where the information system resides

- - - - - Lockable Casings - - - - PE-3(4) - pe-03.04 - -

The organization uses lockable physical casings to protect from unauthorized physical access.

- - -

Determine if the organization:

- - PE-3(4)[1] -

defines information system components to be protected from unauthorized - physical access using lockable physical casings; and

- - - PE-3(4)[2] -

uses lockable physical casings to protect organization-defined information - system components from unauthorized physical access.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security plan

-

list of information system components requiring protection through lockable - physical casings

-

lockable physical casings

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Lockable physical casings

- - - - - Tamper Protection - - - - - - - - - - PE-3(5) - pe-03.05 - -

The organization employs to physical tampering or alteration of within the information system.

- - -

Organizations may implement tamper detection/prevention at selected hardware - components or tamper detection at some components and tamper prevention at other - components. Tamper detection/prevention activities can employ many types of - anti-tamper technologies including, for example, tamper-detection seals and - anti-tamper coatings. Anti-tamper programs help to detect hardware alterations - through counterfeiting and other supply chain-related risks.

- SA-12 - - -

Determine if the organization:

- - PE-3(5)[1] -

defines security safeguards to be employed to detect and/or prevent physical - tampering or alteration of organization-defined hardware components within the - information system;

- - - PE-3(5)[2] -

defines hardware components within the information system for which security - safeguards are to be employed to detect and/or prevent physical tampering or - alteration of such components;

- - - PE-3(5)[3] -

employs organization-defined security safeguards to do one or more of the - following:

- - PE-3(5)[3][a] -

detect physical tampering or alteration of organization-defined hardware - components within the information system; and/or

- - - PE-3(5)[3][b] -

prevent physical tampering or alteration of organization-defined hardware - components within the information system.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

list of security safeguards to detect/prevent physical tampering or alteration - of information system hardware components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes to detect/prevent physical tampering or alteration of - information system hardware components

-

automated mechanisms/security safeguards supporting and/or implementing - detection/prevention of physical tampering/alternation of information system - hardware components

- - - - - Facility Penetration Testing - - - - PE-3(6) - pe-03.06 - -

The organization employs a penetration testing process that includes , unannounced attempts to bypass or circumvent - security controls associated with physical access points to the facility.

- - - CA-2 - CA-7 - - -

Determine if the organization:

- - PE-3(6)[1] -

defines the frequency of unannounced attempts to be included in a penetration - testing process to bypass or circumvent security controls associated with - physical access points to the facility; and

- - - PE-3(6)[2] -

employs a penetration testing process with the organization-defined frequency - that includes unannounced attempts to bypass or circumvent security controls - associated with physical access points to the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

procedures addressing penetration testing

-

rules of engagement and associated documentation

-

penetration test results

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for facility penetration testing

-

automated mechanisms supporting and/or implementing facility penetration - testing

- - - - - - Access Control for Transmission Medium - - - - - - - PE-4 - pe-04 - NSTISSI No. 7003 - -

The organization controls physical access to within - organizational facilities using .

- - -

Physical security safeguards applied to information system distribution and - transmission lines help to prevent accidental damage, disruption, and physical - tampering. In addition, physical safeguards may be necessary to help prevent - eavesdropping or in transit modification of unencrypted transmissions. Security - safeguards to control physical access to system distribution and transmission lines - include, for example: (i) locked wiring closets; (ii) disconnected or locked spare - jacks; and/or (iii) protection of cabling by conduit or cable trays.

- MP-2 - MP-4 - PE-2 - PE-3 - PE-5 - SC-7 - SC-8 - - -

Determine if the organization:

- - PE-4[1] -

defines information system distribution and transmission lines requiring physical - access controls;

- - - PE-4[2] -

defines security safeguards to be employed to control physical access to - organization-defined information system distribution and transmission lines within - organizational facilities; and

- - - PE-4[3] -

controls physical access to organization-defined information system distribution - and transmission lines within organizational facilities using organization-defined - security safeguards.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing access control for transmission medium

-

information system design documentation

-

facility communications and wiring diagrams

-

list of physical security safeguards applied to information system distribution - and transmission lines

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to distribution and transmission - lines

-

automated mechanisms/security safeguards supporting and/or implementing access - control to distribution and transmission lines

- - - - - Access Control for Output Devices - PE-5 - pe-05 - -

The organization controls physical access to information system output devices to - prevent unauthorized individuals from obtaining the output.

- - -

Controlling physical access to output devices includes, for example, placing output - devices in locked rooms or other secured areas and allowing access to authorized - individuals only, and placing output devices in locations that can be monitored by - organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, - and audio devices are examples of information system output devices.

- PE-2 - PE-3 - PE-4 - PE-18 - - -

Determine if the organization controls physical access to information system output - devices to prevent unauthorized individuals from obtaining the output.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing access control for display medium

-

facility layout of information system components

-

actual displays from information system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to output devices

-

automated mechanisms supporting and/or implementing access control to output - devices

- - - - Access to Output by Authorized Individuals - - - - PE-5(1) - pe-05.01 - -

The organization:

- - (a) -

Controls physical access to output from ; - and

- - - (b) -

Ensures that only authorized individuals receive output from the device.

- - - -

Controlling physical access to selected output devices includes, for example, - placing printers, copiers, and facsimile machines in controlled areas with keypad - access controls or limiting access to individuals with certain types of - badges.

- - -

Determine if the organization:

- - PE-5(1)(a) - - PE-5(1)(a)[1] -

defines output devices whose output requires physical access controls;

- - - PE-5(1)(a)[2] -

controls physical access to output from organization-defined output devices; - and

- - PE-5(1)(a) - - - PE-5(1)(b) -

ensures that only authorized individuals receive output from the device.

- PE-5(1)(b) - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

list of output devices and associated outputs requiring physical access - controls

-

physical access control logs or records for areas containing output devices and - related outputs

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access control to output devices

-

automated mechanisms supporting and/or implementing access control to output - devices

- - - - - Access to Output by Individual Identity - - - - PE-5(2) - pe-05.02 - -

The information system:

- - (a) -

Controls physical access to output from ; - and

- - - (b) -

Links individual identity to receipt of the output from the device.

- - - -

Controlling physical access to selected output devices includes, for example, - installing security functionality on printers, copiers, and facsimile machines - that allows organizations to implement authentication (e.g., using a PIN or - hardware token) on output devices prior to the release of output to - individuals.

- - -

Determine if:

- - PE-5(2)(a) - - PE-5(2)(a)[1] -

the organization defines output devices whose output requires physical - access controls;

- - - PE-5(2)(a)[2] -

the information system controls physical access to output from - organization-defined output devices; and

- - PE-5(2)(a) - - - PE-5(2)(b) -

the information system links individual identity to receipt of the output from - the device.

- PE-5(2)(b) - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of output devices and associated outputs requiring physical access - controls

-

physical access control logs or records for areas containing output devices and - related outputs

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developers

- - - - TEST - -

Organizational processes for access control to output devices

-

automated mechanisms supporting and/or implementing access control to output - devices

- - - - - Marking Output Devices - - - - PE-5(3) - pe-05.03 - -

The organization marks indicating the - appropriate security marking of the information permitted to be output from the - device.

- - -

Outputs devices include, for example, printers, monitors, facsimile machines, - scanners, copiers, and audio devices. This control enhancement is generally - applicable to information system output devices other than mobiles devices.

- - -

Determine if the organization:

- - PE-5(3)[1] -

defines information system output devices to be marked with appropriate - security marking of the information permitted to be output from such devices; - and

- - - PE-5(3)[2] -

marks organization-defined information system output devices indicating the - appropriate security marking of the information permitted to be output from the - device.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access control

-

security markings for information types permitted as output from information - system output devices

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access control responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for marking output devices

- - - - - - Monitoring Physical Access - - - - - - - PE-6 - pe-06 - -

The organization:

- - a. -

Monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - b. -

Reviews physical access logs and upon occurrence - of ; and

- - - c. -

Coordinates results of reviews and investigations with the organizational incident - response capability.

- - - -

Organizational incident response capabilities include investigations of and responses - to detected physical security incidents. Security incidents include, for example, - apparent security violations or suspicious physical access activities. Suspicious - physical access activities include, for example: (i) accesses outside of normal work - hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for - unusual lengths of time; and (iv) out-of-sequence accesses.

- CA-7 - IR-4 - IR-8 - - -

Determine if the organization:

- - PE-6(a) -

monitors physical access to the facility where the information system resides to - detect and respond to physical security incidents;

- - - PE-6(b) - - PE-6(b)[1] -

defines the frequency to review physical access logs;

- - - PE-6(b)[2] -

defines events or potential indication of events requiring physical access logs - to be reviewed;

- - - PE-6(b)[3] -

reviews physical access logs with the organization-defined frequency and upon - occurrence of organization-defined events or potential indications of events; - and

- - - - PE-6(c) -

coordinates results of reviews and investigations with the organizational incident - response capability.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access monitoring

-

automated mechanisms supporting and/or implementing reviewing of physical access - logs

- - - - Intrusion Alarms / Surveillance Equipment - PE-6(1) - pe-06.01 - -

The organization monitors physical intrusion alarms and surveillance - equipment.

- - -

Determine if the organization monitors physical intrusion alarms and surveillance - equipment.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

security plan

-

physical access logs or records

-

physical access monitoring records

-

physical access log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with incident response responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical intrusion alarms and - surveillance equipment

-

automated mechanisms supporting and/or implementing physical access - monitoring

-

automated mechanisms supporting and/or implementing physical intrusion alarms - and surveillance equipment

- - - - - Automated Intrusion Recognition / Responses - - - - - - - PE-6(2) - pe-06.02 - -

The organization employs automated mechanisms to recognize and initiate .

- - - SI-4 - - -

Determine if the organization:

- - PE-6(2)[1] -

defines classes/types of intrusions to be recognized by automated - mechanisms;

- - - PE-6(2)[2] -

defines response actions to be initiated by automated mechanisms when - organization-defined classes/types of intrusions are recognized; and

- - - PE-6(2)[3] -

employs automated mechanisms to recognize organization-defined classes/types of - intrusions and initiate organization-defined response actions.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of response actions to be initiated when specific classes/types of - intrusions are recognized

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access - monitoring

-

automated mechanisms supporting and/or implementing recognition of - classes/types of intrusions and initiation of a response

- - - - - Video Surveillance - - - - - - - PE-6(3) - pe-06.03 - -

The organization employs video surveillance of - and retains video recordings for .

- - -

This control enhancement focuses on recording surveillance video for purposes of - subsequent review, if circumstances so warrant (e.g., a break-in detected by other - means). It does not require monitoring surveillance video although organizations - may choose to do so. Note that there may be legal considerations when performing - and retaining video surveillance, especially if such surveillance is in a public - location.

- - -

Determine if the organization:

- - PE-6(3)[1] -

defines operational areas where video surveillance is to be employed;

- - - PE-6(3)[2] -

defines a time period to retain video recordings of organization-defined - operational areas;

- - - PE-6(3)[3] - - PE-6(3)[3][a] -

employs video surveillance of organization-defined operational areas; - and

- - - PE-6(3)[3][b] -

retains video recordings for the organization-defined time period.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

video surveillance equipment used to monitor operational areas

-

video recordings of operational areas where video surveillance is employed

-

video surveillance equipment logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access

-

automated mechanisms supporting and/or implementing physical access - monitoring

-

automated mechanisms supporting and/or implementing video surveillance

- - - - - Monitoring Physical Access to Information Systems - - - - PE-6(4) - pe-06.04 - -

The organization monitors physical access to the information system in addition to - the physical access monitoring of the facility as .

- - -

This control enhancement provides additional monitoring for those areas within - facilities where there is a concentration of information system components (e.g., - server rooms, media storage areas, communications centers).

- PS-2 - PS-3 - - -

Determine if the organization:

- - PE-6(4)[1] -

defines physical spaces containing one or more components of the information - system; and

- - - PE-6(4)[2] -

monitors physical access to the information system in addition to the physical - access monitoring of the facility at organization-defined physical spaces - containing one or more components of the information system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing physical access monitoring

-

physical access control logs or records

-

physical access control devices

-

access authorizations

-

access credentials

-

list of areas within the facility containing concentrations of information - system components or information system components requiring additional - physical access monitoring

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with physical access monitoring responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring physical access to the information - system

-

automated mechanisms supporting and/or implementing physical access monitoring - for facility areas containing information system components

- - - - - - Visitor Control - PE-7 - pe-07 - Withdrawn - PE-2 - PE-3 - - - Visitor Access Records - - - - - - - PE-8 - pe-08 - -

The organization:

- - a. -

Maintains visitor access records to the facility where the information system - resides for ; and

- - - b. -

Reviews visitor access records .

- - - -

Visitor access records include, for example, names and organizations of persons - visiting, visitor signatures, forms of identification, dates of access, entry and - departure times, purposes of visits, and names and organizations of persons visited. - Visitor access records are not required for publicly accessible areas.

- - -

Determine if the organization:

- - PE-8(a) - - PE-8(a)[1] -

defines the time period to maintain visitor access records to the facility - where the information system resides;

- - - PE-8(a)[2] -

maintains visitor access records to the facility where the information system - resides for the organization-defined time period;

- - - - PE-8(b) - - PE-8(b)[1] -

defines the frequency to review visitor access records; and

- - - PE-8(b)[2] -

reviews visitor access records with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

security plan

-

visitor access control logs or records

-

visitor access record or log reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - - Automated Records Maintenance / Review - PE-8(1) - pe-08.01 - -

The organization employs automated mechanisms to facilitate the maintenance and - review of visitor access records.

- - -

Determine if the organization employs automated mechanisms to facilitate the - maintenance and review of visitor access records.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing visitor access records

-

automated mechanisms supporting management of visitor access records

-

visitor access control logs or records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with visitor access records responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maintaining and reviewing visitor access - records

-

automated mechanisms supporting and/or implementing maintenance and review of - visitor access records

- - - - - Physical Access Records - PE-8(2) - pe-08.02 - Withdrawn - PE-2 - - - - Power Equipment and Cabling - PE-9 - pe-09 - -

The organization protects power equipment and power cabling for the information - system from damage and destruction.

- - -

Organizations determine the types of protection necessary for power equipment and - cabling employed at different locations both internal and external to organizational - facilities and environments of operation. This includes, for example, generators and - power cabling outside of buildings, internal cabling and uninterruptable power - sources within an office or data center, and power sources for self-contained - entities such as vehicles and satellites.

- PE-4 - - -

Determine if the organization protects power equipment and power cabling for the - information system from damage and destruction.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power equipment/cabling protection

-

facilities housing power equipment/cabling

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for protecting power - equipment/cabling

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection of power - equipment/cabling

- - - - Redundant Cabling - - - - PE-9(1) - pe-09.01 - -

The organization employs redundant power cabling paths that are physically - separated by .

- - -

Physically separate, redundant power cables help to ensure that power continues to - flow in the event one of the cables is cut or otherwise damaged.

- - -

Determine if the organization:

- - PE-9(1)[1] -

defines the distance by which redundant power cabling paths are to be - physically separated; and

- - - PE-9(1)[2] -

employs redundant power cabling paths that are physically separated by - organization-defined distance.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power equipment/cabling protection

-

facilities housing power equipment/cabling

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for protecting power - equipment/cabling

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection of power - equipment/cabling

- - - - - Automatic Voltage Controls - - - - PE-9(2) - pe-09.02 - -

The organization employs automatic voltage controls for .

- - -

Determine if the organization:

- - PE-9(2)[1] -

defines critical information system components that require automatic voltage - controls; and

- - - PE-9(2)[2] -

employs automatic voltage controls for organization-defined critical - information system components.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing voltage control

-

security plan

-

list of critical information system components requiring automatic voltage - controls

-

automatic voltage control mechanisms and associated configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for environmental protection of - information system components

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing automatic voltage - controls

- - - - - - Emergency Shutoff - - - - PE-10 - pe-10 - -

The organization:

- - a. -

Provides the capability of shutting off power to the information system or - individual system components in emergency situations;

- - - b. -

Places emergency shutoff switches or devices in - to facilitate safe and easy access for personnel; and

- - - c. -

Protects emergency power shutoff capability from unauthorized activation.

- - - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- PE-15 - - -

Determine if the organization:

- - PE-10(a) -

provides the capability of shutting off power to the information system or - individual system components in emergency situations;

- - - PE-10(b) - - PE-10(b)[1] -

defines the location of emergency shutoff switches or devices by information - system or system component;

- - - PE-10(b)[2] -

places emergency shutoff switches or devices in the organization-defined - location by information system or system component to facilitate safe and easy - access for personnel; and

- - - - PE-10(c) -

protects emergency power shutoff capability from unauthorized activation.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing power source emergency shutoff

-

security plan

-

emergency shutoff controls or switches

-

locations housing emergency shutoff switches and devices

-

security safeguards protecting emergency power shutoff capability from - unauthorized activation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power shutoff - capability (both implementing and using the capability)

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency power shutoff

- - - - Accidental / Unauthorized Activation - PE-10(1) - pe-10.01 - Withdrawn - PE-10 - - - - Emergency Power - - - - PE-11 - pe-11 - -

The organization provides a short-term uninterruptible power supply to facilitate - in the event of a primary power source loss.

- - - AT-3 - CP-2 - CP-7 - - -

Determine if the organization provides a short-term uninterruptible power supply to - facilitate one or more of the following in the event of a primary power source loss:

- - PE-11[1] -

an orderly shutdown of the information system; and/or

- - - PE-11[2] -

transition of the information system to long-term alternate power.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency power

-

uninterruptible power supply

-

uninterruptible power supply documentation

-

uninterruptible power supply test records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing uninterruptible power - supply

-

the uninterruptable power supply

- - - - Long-term Alternate Power Supply - Minimal Operational Capability - PE-11(1) - pe-11.01 - -

The organization provides a long-term alternate power supply for the information - system that is capable of maintaining minimally required operational capability in - the event of an extended loss of the primary power source.

- - -

This control enhancement can be satisfied, for example, by the use of a secondary - commercial power supply or other external power supply. Long-term alternate power - supplies for the information system can be either manually or automatically - activated.

- - -

Determine if the organization provides a long-term alternate power supply for the - information system that is capable of maintaining minimally required operational - capability in the event of an extended loss of the primary power source.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency power

-

alternate power supply

-

alternate power supply documentation

-

alternate power supply test records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing alternate power supply

-

the alternate power supply

- - - - - Long-term Alternate Power Supply - Self-contained - - - - PE-11(2) - pe-11.02 - -

The organization provides a long-term alternate power supply for the information - system that is:

- - (a) -

Self-contained;

- - - (b) -

Not reliant on external power generation; and

- - - (c) -

Capable of maintaining in the event of an - extended loss of the primary power source.

- - - -

This control enhancement can be satisfied, for example, by the use of one or more - generators with sufficient capacity to meet the needs of the organization. - Long-term alternate power supplies for organizational information systems are - either manually or automatically activated.

- - -

Determine if the organization provides a long-term alternate power supply for the - information system that is:

- - PE-11(2)(a) -

self-contained;

- PE-11(2)(a) - - - PE-11(2)(b) -

not reliant on external power generation;

- PE-11(2)(b) - - - PE-11(2)(c) -

capable of maintaining one of the following in the event of an extended loss of - the primary power source:

- - PE-11(2)(c)[1] -

minimally required operational capability; or

- - - PE-11(2)(c)[2] -

full operational capability.

- - PE-11(2)(c) - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency power

-

alternate power supply

-

alternate power supply documentation

-

alternate power supply test records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency power and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing alternate power supply

-

the alternate power supply

- - - - - - Emergency Lighting - PE-12 - pe-12 - -

The organization employs and maintains automatic emergency lighting for the - information system that activates in the event of a power outage or disruption and - that covers emergency exits and evacuation routes within the facility.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms.

- CP-2 - CP-7 - - -

Determine if the organization employs and maintains automatic emergency lighting for - the information system that:

- - PE-12[1] -

activates in the event of a power outage or disruption; and

- - - PE-12[2] -

covers emergency exits and evacuation routes within the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency lighting

-

emergency lighting documentation

-

emergency lighting test records

-

emergency exits and evacuation routes

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency lighting and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency lighting - capability

- - - - Essential Missions / Business Functions - PE-12(1) - pe-12.01 - -

The organization provides emergency lighting for all areas within the facility - supporting essential missions and business functions.

- - -

Determine if the organization provides emergency lighting for all areas within the - facility supporting essential missions and business functions.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing emergency lighting

-

emergency lighting documentation

-

emergency lighting test records

-

emergency exits and evacuation routes

-

areas/locations within facility supporting essential missions and business - functions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for emergency lighting and/or - planning

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing emergency lighting - capability

- - - - - - Fire Protection - PE-13 - pe-13 - -

The organization employs and maintains fire suppression and detection devices/systems - for the information system that are supported by an independent energy source.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Fire suppression and detection devices/systems include, for example, - sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke - detectors.

- - -

Determine if the organization:

- - PE-13[1] -

employs fire suppression and detection devices/systems for the information system - that are supported by an independent energy source; and

- - - PE-13[2] -

maintains fire suppression and detection devices/systems for the information - system that are supported by an independent energy source.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and suppression - devices/systems

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression/detection - devices/systems

- - - - Detection Devices / Systems - - - - - - - PE-13(1) - pe-13.01 - -

The organization employs fire detection devices/systems for the information system - that activate automatically and notify and - in the event of a fire.

- - -

Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information.

- - -

Determine if the organization:

- - PE-13(1)[1] -

defines personnel or roles to be notified in the event of a fire;

- - - PE-13(1)[2] -

defines emergency responders to be notified in the event of a fire;

- - - PE-13(1)[3] -

employs fire detection devices/systems for the information system that, in the - event of a fire,:

- - PE-13(1)[3][a] -

activate automatically;

- - - PE-13(1)[3][b] -

notify organization-defined personnel or roles; and

- - - PE-13(1)[3][c] -

notify organization-defined emergency responders.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

fire suppression and detection devices/systems documentation

-

alerts/notifications of fire events

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for notifying appropriate - personnel, roles, and emergency responders of fires

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire detection - devices/systems

-

activation of fire detection devices/systems (simulated)

-

automated notifications

- - - - - Suppression Devices / Systems - - - - - - - PE-13(2) - pe-13.02 - -

The organization employs fire suppression devices/systems for the information - system that provide automatic notification of any activation to and .

- - -

Organizations can identify specific personnel, roles, and emergency responders in - the event that individuals on the notification list must have appropriate access - authorizations and/or clearances, for example, to obtain access to facilities - where classified operations are taking place or where there are information - systems containing classified information.

- - -

Determine if the organization:

- - PE-13(2)[1] -

defines personnel or roles to be provided automatic notification of any - activation of fire suppression devices/systems for the information system;

- - - PE-13(2)[2] -

defines emergency responders to be provided automatic notification of any - activation of fire suppression devices/systems for the information system;

- - - PE-13(2)[3] -

employs fire suppression devices/systems for the information system that - provide automatic notification of any activation to:

- - PE-13(2)[3][a] -

organization-defined personnel or roles; and

- - - PE-13(2)[3][b] -

organization-defined emergency responders.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems documentation

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression - devices/systems

-

activation of fire suppression devices/systems (simulated)

-

automated notifications

- - - - - Automatic Fire Suppression - PE-13(3) - pe-13.03 - -

The organization employs an automatic fire suppression capability for the - information system when the facility is not staffed on a continuous basis.

- - -

Determine if the organization employs an automatic fire suppression capability for - the information system when the facility is not staffed on a continuous basis. -

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

fire suppression and detection devices/systems documentation

-

facility housing the information system

-

alarm service-level agreements

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for fire detection and - suppression devices/systems

-

organizational personnel with responsibilities for providing automatic - notifications of any activation of fire suppression devices/systems to - appropriate personnel, roles, and emergency responders

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing fire suppression - devices/systems

-

activation of fire suppression devices/systems (simulated)

- - - - - Inspections - - - - - - - PE-13(4) - pe-13.04 - -

The organization ensures that the facility undergoes inspections by authorized and qualified inspectors - and resolves identified deficiencies within .

- - -

Determine if the organization:

- - PE-13(4)[1] -

defines the frequency of inspections to be conducted on the facility by - authorized and qualified inspectors;

- - - PE-13(4)[2] -

ensures that the facility undergoes inspections by authorized and qualified - inspectors with the organization-defined frequency;

- - - PE-13(4)[3] -

defines a time period to resolve deficiencies identified when the facility - undergoes such inspections; and

- - - PE-13(4)[4] -

resolves identified deficiencies within the organization-defined time - period.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing fire protection

-

security plan

-

facility housing the information system

-

inspection plans

-

inspection results

-

inspect reports

-

test records of fire suppression and detection devices/systems

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for planning, approving, and - executing fire inspections

-

organizational personnel with information security responsibilities

- - - - - - Temperature and Humidity Controls - - - - - - - PE-14 - pe-14 - -

The organization:

- - a. -

Maintains temperature and humidity levels within the facility where the - information system resides at ; and

- - - b. -

Monitors temperature and humidity levels .

- - - -

This control applies primarily to facilities containing concentrations of information - system resources, for example, data centers, server rooms, and mainframe computer - rooms.

- AT-3 - - -

Determine if the organization:

- - PE-14(a) - - PE-14(a)[1] -

defines acceptable temperature levels to be maintained within the facility - where the information system resides;

- - - PE-14(a)[2] -

defines acceptable humidity levels to be maintained within the facility where - the information system resides;

- - - PE-14(a)[3] -

maintains temperature levels within the facility where the information system - resides at the organization-defined levels;

- - - PE-14(a)[4] -

maintains humidity levels within the facility where the information system - resides at the organization-defined levels;

- - - - PE-14(b) - - PE-14(b)[1] -

defines the frequency to monitor temperature levels;

- - - PE-14(b)[2] -

defines the frequency to monitor humidity levels;

- - - PE-14(b)[3] -

monitors temperature levels with the organization-defined frequency; and

- - - PE-14(b)[4] -

monitors humidity levels with the organization-defined frequency.

- - - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity control

-

security plan

-

temperature and humidity controls

-

facility housing the information system

-

temperature and humidity controls documentation

-

temperature and humidity records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing maintenance and monitoring of - temperature and humidity levels

- - - - Automatic Controls - PE-14(1) - pe-14.01 - -

The organization employs automatic temperature and humidity controls in the - facility to prevent fluctuations potentially harmful to the information - system.

- - -

Determine if the organization:

- - PE-14(1)[1] -

employs automatic temperature controls in the facility to prevent fluctuations - potentially harmful to the information system; and

- - - PE-14(1)[2] -

employs automatic humidity controls in the facility to prevent fluctuations - potentially harmful to the information system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity controls

-

facility housing the information system

-

automated mechanisms for temperature and humidity

-

temperature and humidity controls

-

temperature and humidity documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing temperature and humidity - levels

- - - - - Monitoring with Alarms / Notifications - PE-14(2) - pe-14.02 - -

The organization employs temperature and humidity monitoring that provides an - alarm or notification of changes potentially harmful to personnel or - equipment.

- - -

Determine if the organization:

- - PE-14(2)[1] -

employs temperature monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or

- - - PE-14(2)[2] -

employs temperature monitoring that provides notification of changes - potentially harmful to personnel or equipment;

- - - PE-14(2)[3] -

employs humidity monitoring that provides an alarm of changes potentially - harmful to personnel or equipment; and/or

- - - PE-14(2)[4] -

employs humidity monitoring that provides notification of changes potentially - harmful to personnel or equipment.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing temperature and humidity monitoring

-

facility housing the information system

-

logs or records of temperature and humidity monitoring

-

records of changes to temperature and humidity levels that generate alarms or - notifications

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing temperature and humidity - monitoring

- - - - - - Water Damage Protection - PE-15 - pe-15 - -

The organization protects the information system from damage resulting from water - leakage by providing master shutoff or isolation valves that are accessible, working - properly, and known to key personnel.

- - -

This control applies primarily to facilities containing concentrations of information - system resources including, for example, data centers, server rooms, and mainframe - computer rooms. Isolation valves can be employed in addition to or in lieu of master - shutoff valves to shut off water supplies in specific areas of concern, without - affecting entire organizations.

- AT-3 - - -

Determine if the organization protects the information system from damage resulting - from water leakage by providing master shutoff or isolation valves that are:

- - PE-15[1] -

accessible;

- - - PE-15[2] -

working properly; and

- - - PE-15[3] -

known to key personnel.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

master shutoff valves

-

list of key personnel with knowledge of location and activation procedures for - master shutoff valves for the plumbing system

-

master shutoff valve documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Master water-shutoff valves

-

organizational process for activating master water-shutoff

- - - - Automation Support - - - - PE-15(1) - pe-15.01 - -

The organization employs automated mechanisms to detect the presence of water in - the vicinity of the information system and alerts .

- - -

Automated mechanisms can include, for example, water detection sensors, alarms, - and notification systems.

- - -

Determine if the organization:

- - PE-15(1)[1] -

defines personnel or roles to be alerted when the presence of water is detected - in the vicinity of the information system;

- - - PE-15(1)[2] -

employs automated mechanisms to detect the presence of water in the vicinity of - the information system; and

- - - PE-15(1)[3] -

alerts organization-defined personnel or roles when the presence of water is - detected in the vicinity of the information system.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing water damage protection

-

facility housing the information system

-

automated mechanisms for water shutoff valves

-

automated mechanisms detecting presence of water in vicinity of information - system

-

alerts/notifications of water detection in information system facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing water detection capability - and alerts for the information system

- - - - - - Delivery and Removal - - - - PE-16 - pe-16 - -

The organization authorizes, monitors, and controls - entering and exiting the facility and maintains records of those items.

- - -

Effectively enforcing authorizations for entry and exit of information system - components may require restricting access to delivery areas and possibly isolating - the areas from the information system and media libraries.

- CM-3 - MA-2 - MA-3 - MP-5 - SA-12 - - -

Determine if the organization:

- - PE-16[1] -

defines types of information system components to be authorized, monitored, and - controlled as such components are entering and exiting the facility;

- - - PE-16[2] -

authorizes organization-defined information system components entering the - facility;

- - - PE-16[3] -

monitors organization-defined information system components entering the - facility;

- - - PE-16[4] -

controls organization-defined information system components entering the - facility;

- - - PE-16[5] -

authorizes organization-defined information system components exiting the - facility;

- - - PE-16[6] -

monitors organization-defined information system components exiting the - facility;

- - - PE-16[7] -

controls organization-defined information system components exiting the - facility;

- - - PE-16[8] -

maintains records of information system components entering the facility; and

- - - PE-16[9] -

maintains records of information system components exiting the facility.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing delivery and removal of information system components from - the facility

-

security plan

-

facility housing the information system

-

records of items entering and exiting the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for controlling information system - components entering and exiting the facility

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling information - system-related items entering and exiting the facility

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling information system-related items entering and exiting the facility

- - - - - Alternate Work Site - - - - PE-17 - pe-17 - NIST Special Publication 800-46 - -

The organization:

- - a. -

Employs at alternate work sites;

- - - b. -

Assesses as feasible, the effectiveness of security controls at alternate work - sites; and

- - - c. -

Provides a means for employees to communicate with information security personnel - in case of security incidents or problems.

- - - -

Alternate work sites may include, for example, government facilities or private - residences of employees. While commonly distinct from alternative processing sites, - alternate work sites may provide readily available alternate locations as part of - contingency operations. Organizations may define different sets of security controls - for specific alternate work sites or types of sites depending on the work-related - activities conducted at those sites. This control supports the contingency planning - activities of organizations and the federal telework initiative.

- AC-17 - CP-7 - - -

Determine if the organization:

- - PE-17(a) - - PE-17(a)[1] -

defines security controls to be employed at alternate work sites;

- - - PE-17(a)[2] -

employs organization-defined security controls at alternate work sites;

- - - - PE-17(b) -

assesses, as feasible, the effectiveness of security controls at alternate work - sites; and

- - - PE-17(c) -

provides a means for employees to communicate with information security personnel - in case of security incidents or problems.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing alternate work sites for organizational personnel

-

security plan

-

list of security controls required for alternate work sites

-

assessments of security controls at alternate work sites

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel approving use of alternate work sites

-

organizational personnel using alternate work sites

-

organizational personnel assessing controls at alternate work sites

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security at alternate work sites

-

automated mechanisms supporting alternate work sites

-

security controls employed at alternate work sites

-

means of communications between personnel at alternate work sites and security - personnel

- - - - - Location of Information System Components - - - - PE-18 - pe-18 - -

The organization positions information system components within the facility to - minimize potential damage from and to minimize the - opportunity for unauthorized access.

- - -

Physical and environmental hazards include, for example, flooding, fire, tornados, - earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, - electrical interference, and other forms of incoming electromagnetic radiation. In - addition, organizations consider the location of physical entry points where - unauthorized individuals, while not being granted access, might nonetheless be in - close proximity to information systems and therefore increase the potential for - unauthorized access to organizational communications (e.g., through the use of - wireless sniffers or microphones).

- CP-2 - PE-19 - RA-3 - - -

Determine if the organization:

- - PE-18[1] -

defines physical hazards that could result in potential damage to information - system components within the facility;

- - - PE-18[2] -

defines environmental hazards that could result in potential damage to information - system components within the facility;

- - - PE-18[3] -

positions information system components within the facility to minimize potential - damage from organization-defined physical and environmental hazards; and

- - - PE-18[4] -

positions information system components within the facility to minimize the - opportunity for unauthorized access.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing positioning of information system components

-

documentation providing the location and position of information system components - within the facility

-

locations housing information system components within the facility

-

list of physical and environmental hazards with potential to damage information - system components within the facility

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for positioning information system - components

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for positioning information system components

- - - - Facility Site - PE-18(1) - pe-18.01 - -

The organization plans the location or site of the facility where the information - system resides with regard to physical and environmental hazards and for existing - facilities, considers the physical and environmental hazards in its risk - mitigation strategy.

- - - PM-8 - - -

Determine if the organization:

- - PE-18(1)[1] -

plans the location or site of the facility where the information system resides - with regard to physical hazards;

- - - PE-18(1)[2] -

plans the location or site of the facility where the information system resides - with regard to environmental hazards;

- - - PE-18(1)[3] -

for existing facilities, considers the physical hazards in its risk mitigation - strategy; and

- - - PE-18(1)[4] -

for existing facilities, considers the environmental hazards in its risk - mitigation strategy.

- - - - EXAMINE - -

Physical and environmental protection policy

-

physical site planning documents

-

organizational assessment of risk, contingency plan

-

risk mitigation strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with site selection responsibilities for the facility - housing the information system

-

organizational personnel with risk mitigation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for site planning

- - - - - - Information Leakage - PE-19 - pe-19 - FIPS Publication 199 - -

The organization protects the information system from information leakage due to - electromagnetic signals emanations.

- - -

Information leakage is the intentional or unintentional release of information to an - untrusted environment from electromagnetic signals emanations. Security categories or - classifications of information systems (with respect to confidentiality) and - organizational security policies guide the selection of security controls employed to - protect systems against information leakage due to electromagnetic signals - emanations.

- - -

Determine if the organization protects the information system from information - leakage due to electromagnetic signals emanations.

- - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing information leakage due to electromagnetic signals - emanations

-

mechanisms protecting the information system against electronic signals - emanation

-

facility housing the information system

-

records from electromagnetic signals emanation tests

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection from information - leakage due to electromagnetic signals emanations

- - - - National Emissions / Tempest Policies and Procedures - PE-19(1) - pe-19.01 - -

The organization ensures that information system components, associated data - communications, and networks are protected in accordance with national emissions - and TEMPEST policies and procedures based on the security category or - classification of the information.

- - -

Determine if the organization ensures that the following are protected in - accordance with national emissions and TEMPEST policies and procedures based on - the security category or classification of the information:

- - PE-19(1)[1] -

information system components;

- - - PE-19(1)[2] -

associated data communications; and

- - - PE-19(1)[3] -

networks.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing information leakage that comply with national emissions - and TEMPEST policies and procedures

-

information system component design documentation

-

information system configuration settings and associated documentation other - relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibilities for information system - environmental controls

-

organizational personnel with information security responsibilities

- - - - TEST - -

Information system components for compliance with national emissions and - TEMPEST policies and procedures

- - - - - - Asset Monitoring and Tracking - - - - - - - - - - PE-20 - pe-20 - -

The organization:

- - a. -

Employs to track and monitor the location and - movement of within ; and

- - - b. -

Ensures that asset location technologies are employed in accordance with - applicable federal laws, Executive Orders, directives, regulations, policies, - standards, and guidance.

- - - -

Asset location technologies can help organizations ensure that critical assets such - as vehicles or essential information system components remain in authorized - locations. Organizations consult with the Office of the General Counsel and the - Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the - deployment and use of asset location technologies to address potential privacy - concerns.

- CM-8 - - -

Determine if the organization:

- - PE-20(a) - - PE-20(a)[1] -

defines assets whose location and movement are to be tracked and monitored;

- - - PE-20(a)[2] -

defines asset location technologies to be employed to track and monitor the - location and movement of organization-defined assets;

- - - PE-20(a)[3] -

defines controlled areas within which to track and monitor organization-defined - assets;

- - - PE-20(a)[4] -

employs organization-defined asset location technologies to track and monitor - the location and movement of organization-defined assets within - organization-defined controlled areas; and

- - - - PE-20(b) -

ensures that asset location technologies are employed in accordance with - applicable federal laws, Executive Orders, directives, regulations, policies, - standards and guidance.

- - - - EXAMINE - -

Physical and environmental protection policy

-

procedures addressing asset monitoring and tracking

-

asset location technologies and associated configuration documentation

-

list of organizational assets requiring tracking and monitoring

-

asset monitoring and tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with asset monitoring and tracking responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for tracking and monitoring assets

-

automated mechanisms supporting and/or implementing tracking and monitoring of - assets

- - - - - - Planning - - Security Planning Policy and Procedures - - - - - - - - - - PL-1 - pl-01 - NIST Special Publication 800-12 - NIST Special Publication 800-18 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A security planning policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the security planning policy and - associated security planning controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Security planning policy ; and

- - - 2. -

Security planning procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PL - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PL-1(a) - - PL-1(a)(1) - - PL-1(a)(1)[1] -

develops and documents a planning policy that addresses:

- - PL-1(a)(1)[1][a] -

purpose;

- - - PL-1(a)(1)[1][b] -

scope;

- - - PL-1(a)(1)[1][c] -

roles;

- - - PL-1(a)(1)[1][d] -

responsibilities;

- - - PL-1(a)(1)[1][e] -

management commitment;

- - - PL-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PL-1(a)(1)[1][g] -

compliance;

- - - - PL-1(a)(1)[2] -

defines personnel or roles to whom the planning policy is to be - disseminated;

- - - PL-1(a)(1)[3] -

disseminates the planning policy to organization-defined personnel or - roles;

- - - - PL-1(a)(2) - - PL-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - planning policy and associated planning controls;

- - - PL-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - PL-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PL-1(b) - - PL-1(b)(1) - - PL-1(b)(1)[1] -

defines the frequency to review and update the current planning policy;

- - - PL-1(b)(1)[2] -

reviews and updates the current planning policy with the - organization-defined frequency;

- - - - PL-1(b)(2) - - PL-1(b)(2)[1] -

defines the frequency to review and update the current planning procedures; - and

- - - PL-1(b)(2)[2] -

reviews and updates the current planning procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Planning policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with planning responsibilities

-

organizational personnel with information security responsibilities

- - - - - System Security Plan - - - - - - - PL-2 - pl-02 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Develops a security plan for the information system that:

- - 1. -

Is consistent with the organization’s enterprise architecture;

- - - 2. -

Explicitly defines the authorization boundary for the system;

- - - 3. -

Describes the operational context of the information system in terms of - missions and business processes;

- - - 4. -

Provides the security categorization of the information system including - supporting rationale;

- - - 5. -

Describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - 6. -

Provides an overview of the security requirements for the system;

- - - 7. -

Identifies any relevant overlays, if applicable;

- - - 8. -

Describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring decisions; and

- - - 9. -

Is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - b. -

Distributes copies of the security plan and communicates subsequent changes to the - plan to ;

- - - c. -

Reviews the security plan for the information system ;

- - - d. -

Updates the plan to address changes to the information system/environment of - operation or problems identified during plan implementation or security control - assessments; and

- - - e. -

Protects the security plan from unauthorized disclosure and modification.

- - - -

Security plans relate security requirements to a set of security controls and control - enhancements. Security plans also describe, at a high level, how the security - controls and control enhancements meet those security requirements, but do not - provide detailed, technical descriptions of the specific design or implementation of - the controls/enhancements. Security plans contain sufficient information (including - the specification of parameter values for assignment and selection statements either - explicitly or by reference) to enable a design and implementation that is - unambiguously compliant with the intent of the plans and subsequent determinations of - risk to organizational operations and assets, individuals, other organizations, and - the Nation if the plan is implemented as intended. Organizations can also apply - tailoring guidance to the security control baselines in Appendix D and CNSS - Instruction 1253 to develop overlays for community-wide use or to address specialized - requirements, technologies, or missions/environments of operation (e.g., - DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and - Access Management, space operations). Appendix I provides guidance on developing - overlays. Security plans need not be single documents; the plans can be a collection - of various documents including documents that already exist. Effective security plans - make extensive use of references to policies, procedures, and additional documents - (e.g., design and implementation specifications) where more detailed information can - be obtained. This reduces the documentation requirements associated with security - programs and maintains security-related information in other established - management/operational areas related to enterprise architecture, system development - life cycle, systems engineering, and acquisition. For example, security plans do not - contain detailed contingency plan or incident response plan information but instead - provide explicitly or by reference, sufficient information to define what needs to be - accomplished by those plans.

- AC-2 - AC-6 - AC-14 - AC-17 - AC-20 - CA-2 - CA-3 - CA-7 - CM-9 - CP-2 - IR-8 - MA-4 - MA-5 - MP-2 - MP-4 - MP-5 - PL-7 - PM-1 - PM-7 - PM-8 - PM-9 - PM-11 - SA-5 - SA-17 - - -

Determine if the organization:

- - PL-2(a) -

develops a security plan for the information system that:

- - PL-2(a)(1) -

is consistent with the organization’s enterprise architecture;

- - - PL-2(a)(2) -

explicitly defines the authorization boundary for the system;

- - - PL-2(a)(3) -

describes the operational context of the information system in terms of - missions and business processes;

- - - PL-2(a)(4) -

provides the security categorization of the information system including - supporting rationale;

- - - PL-2(a)(5) -

describes the operational environment for the information system and - relationships with or connections to other information systems;

- - - PL-2(a)(6) -

provides an overview of the security requirements for the system;

- - - PL-2(a)(7) -

identifies any relevant overlays, if applicable;

- - - PL-2(a)(8) -

describes the security controls in place or planned for meeting those - requirements including a rationale for the tailoring and supplemental - decisions;

- - - PL-2(a)(9) -

is reviewed and approved by the authorizing official or designated - representative prior to plan implementation;

- - - - PL-2(b) - - PL-2(b)[1] -

defines personnel or roles to whom copies of the security plan are to be - distributed and subsequent changes to the plan are to be communicated;

- - - PL-2(b)[2] -

distributes copies of the security plan and communicates subsequent changes to - the plan to organization-defined personnel or roles;

- - - - PL-2(c) - - PL-2(c)[1] -

defines the frequency to review the security plan for the information - system;

- - - PL-2(c)[2] -

reviews the security plan for the information system with the - organization-defined frequency;

- - - - PL-2(d) -

updates the plan to address:

- - PL-2(d)[1] -

changes to the information system/environment of operation;

- - - PL-2(d)[2] -

problems identified during plan implementation;

- - - PL-2(d)[3] -

problems identified during security control assessments;

- - - - PL-2(e) -

protects the security plan from unauthorized:

- - PL-2(e)[1] -

disclosure; and

- - - PL-2(e)[2] -

modification.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing security plan development and implementation

-

procedures addressing security plan reviews and updates

-

enterprise architecture documentation

-

security plan for the information system

-

records of security plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security plan development/review/update/approval

-

automated mechanisms supporting the information system security plan

- - - - Concept of Operations - PL-2(1) - pl-02.01 - Withdrawn - PL-7 - - - Functional Architecture - PL-2(2) - pl-02.02 - Withdrawn - PL-8 - - - Plan / Coordinate with Other Organizational Entities - - - - PL-2(3) - pl-02.03 - -

The organization plans and coordinates security-related activities affecting the - information system with before conducting such - activities in order to reduce the impact on other organizational entities.

- - -

Security-related activities include, for example, security assessments, audits, - hardware and software maintenance, patch management, and contingency plan testing. - Advance planning and coordination includes emergency and nonemergency (i.e., - planned or nonurgent unplanned) situations. The process defined by organizations - to plan and coordinate security-related activities can be included in security - plans for information systems or other documents, as appropriate.

- CP-4 - IR-4 - - -

Determine if the organization:

- - PL-2(3)[1] -

defines individuals or groups with whom security-related activities affecting - the information system are to be planned and coordinated before conducting such - activities in order to reduce the impact on other organizational entities; - and

- - - PL-2(3)[2] -

plans and coordinates security-related activities affecting the information - system with organization-defined individuals or groups before conducting such - activities in order to reduce the impact on other organizational entities.

- - - - EXAMINE - -

Security planning policy

-

access control policy

-

contingency planning policy

-

procedures addressing security-related activity planning for the information - system

-

security plan for the information system

-

contingency plan for the information system

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational individuals or groups with whom security-related activities are - to be planned and coordinated

-

organizational personnel with information security responsibilities

- - - - - - System Security Plan Update - PL-3 - pl-03 - Withdrawn - PL-2 - - - Rules of Behavior - - - - PL-4 - pl-04 - NIST Special Publication 800-18 - -

The organization:

- - a. -

Establishes and makes readily available to individuals requiring access to the - information system, the rules that describe their responsibilities and expected - behavior with regard to information and information system usage;

- - - b. -

Receives a signed acknowledgment from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - c. -

Reviews and updates the rules of behavior ; and

- - - d. -

Requires individuals who have signed a previous version of the rules of behavior - to read and re-sign when the rules of behavior are revised/updated.

- - - -

This control enhancement applies to organizational users. Organizations consider - rules of behavior based on individual user roles and responsibilities, - differentiating, for example, between rules that apply to privileged users and rules - that apply to general users. Establishing rules of behavior for some types of - non-organizational users including, for example, individuals who simply receive - data/information from federal information systems, is often not feasible given the - large number of such users and the limited nature of their interactions with the - systems. Rules of behavior for both organizational and non-organizational users can - also be established in AC-8, System Use Notification. PL-4 b. (the signed - acknowledgment portion of this control) may be satisfied by the security awareness - training and role-based security training programs conducted by organizations if such - training includes rules of behavior. Organizations can use electronic signatures for - acknowledging rules of behavior.

- AC-2 - AC-6 - AC-8 - AC-9 - AC-17 - AC-18 - AC-19 - AC-20 - AT-2 - AT-3 - CM-11 - IA-2 - IA-4 - IA-5 - MP-7 - PS-6 - PS-8 - SA-5 - - -

Determine if the organization:

- - PL-4(a) - - PL-4(a)[1] -

establishes, for individuals requiring access to the information system, the - rules that describe their responsibilities and expected behavior with regard to - information and information system usage;

- - - PL-4(a)[2] -

makes readily available to individuals requiring access to the information - system, the rules that describe their responsibilities and expected behavior - with regard to information and information system usage;

- - - - PL-4(b) -

receives a signed acknowledgement from such individuals, indicating that they have - read, understand, and agree to abide by the rules of behavior, before authorizing - access to information and the information system;

- - - PL-4(c) - - PL-4(c)[1] -

defines the frequency to review and update the rules of behavior;

- - - PL-4(c)[2] -

reviews and updates the rules of behavior with the organization-defined - frequency; and

- - - - PL-4(d) -

requires individuals who have signed a previous version of the rules of behavior - to read and resign when the rules of behavior are revised/updated.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

signed acknowledgements

-

records for rules of behavior reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed and resigned rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing, reviewing, disseminating, and updating - rules of behavior

-

automated mechanisms supporting and/or implementing the establishment, review, - dissemination, and update of rules of behavior

- - - - Social Media and Networking Restrictions - PL-4(1) - pl-04.01 - -

The organization includes in the rules of behavior, explicit restrictions on the - use of social media/networking sites and posting organizational information on - public websites.

- - -

This control enhancement addresses rules of behavior related to the use of social - media/networking sites: (i) when organizational personnel are using such sites for - official duties or in the conduct of official business; (ii) when organizational - information is involved in social media/networking transactions; and (iii) when - personnel are accessing social media/networking sites from organizational - information systems. Organizations also address specific rules that prevent - unauthorized entities from obtaining and/or inferring non-public organizational - information (e.g., system account information, personally identifiable - information) from social media/networking sites.

- - -

Determine if the organization includes the following in the rules of behavior:

- - PL-4(1)[1] -

explicit restrictions on the use of social media/networking sites; and

- - - PL-4(1)[2] -

posting organizational information on public websites.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing rules of behavior for information system users

-

rules of behavior

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for establishing, reviewing, and - updating rules of behavior

-

organizational personnel who are authorized users of the information system and - have signed rules of behavior

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for establishing rules of behavior

-

automated mechanisms supporting and/or implementing the establishment of rules - of behavior

- - - - - - Privacy Impact Assessment - PL-5 - pl-05 - Withdrawn - Appendix - J - AR-2 - - - Security-related Activity Planning - PL-6 - pl-06 - Withdrawn - PL-2 - - - Security Concept of Operations - - - - PL-7 - pl-07 - -

The organization:

- - a. -

Develops a security Concept of Operations (CONOPS) for the information system - containing at a minimum, how the organization intends to operate the system from - the perspective of information security; and

- - - b. -

Reviews and updates the CONOPS .

- - - -

The security CONOPS may be included in the security plan for the information system - or in other system development life cycle-related documents, as appropriate. Changes - to the CONOPS are reflected in ongoing updates to the security plan, the information - security architecture, and other appropriate organizational documents (e.g., security - specifications for procurements/acquisitions, system development life cycle - documents, and systems/security engineering documents).

- PL-2 - - -

Determine if the organization:

- - PL-7(a) -

develops a security Concept of Operations (CONOPS) for the information system - containing at a minimum, how the organization intends to operate the system from - the perspective of information security;

- - - PL-7(b) - - PL-7(b)[1] -

defines the frequency to review and update the security CONOPS; and

- - - PL-7(b)[2] -

reviews and updates the security CONOPS with the organization-defined - frequency.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing security CONOPS development

-

procedures addressing security CONOPS reviews and updates

-

security CONOPS for the information system

-

security plan for the information system

-

records of security CONOPS reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for developing, reviewing, and updating the security - CONOPS

-

automated mechanisms supporting and/or implementing the development, review, and - update of the security CONOPS

- - - - - Information Security Architecture - - - - PL-8 - pl-08 - -

The organization:

- - a. -

Develops an information security architecture for the information system that:

- - 1. -

Describes the overall philosophy, requirements, and approach to be taken with - regard to protecting the confidentiality, integrity, and availability of - organizational information;

- - - 2. -

Describes how the information security architecture is integrated into and - supports the enterprise architecture; and

- - - 3. -

Describes any information security assumptions about, and dependencies on, - external services;

- - - - b. -

Reviews and updates the information security architecture to reflect updates in the enterprise architecture; - and

- - - c. -

Ensures that planned information security architecture changes are reflected in - the security plan, the security Concept of Operations (CONOPS), and organizational - procurements/acquisitions.

- - - -

This control addresses actions taken by organizations in the design and development - of information systems. The information security architecture at the individual - information system level is consistent with and complements the more global, - organization-wide information security architecture described in PM-7 that is - integral to and developed as part of the enterprise architecture. The information - security architecture includes an architectural description, the placement/allocation - of security functionality (including security controls), security-related information - for external interfaces, information being exchanged across the interfaces, and the - protection mechanisms associated with each interface. In addition, the security - architecture can include other important security-related information, for example, - user roles and access privileges assigned to each role, unique security requirements, - the types of information processed, stored, and transmitted by the information - system, restoration priorities of information and information system services, and - any other specific protection needs. In today’s modern architecture, it is becoming - less common for organizations to control all information resources. There are going - to be key dependencies on external information services and service providers. - Describing such dependencies in the information security architecture is important to - developing a comprehensive mission/business protection strategy. Establishing, - developing, documenting, and maintaining under configuration control, a baseline - configuration for organizational information systems is critical to implementing and - maintaining an effective information security architecture. The development of the - information security architecture is coordinated with the Senior Agency Official for - Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to - support privacy requirements are identified and effectively implemented. PL-8 is - primarily directed at organizations (i.e., internally focused) to help ensure that - organizations develop an information security architecture for the information - system, and that the security architecture is integrated with or tightly coupled to - the enterprise architecture through the organization-wide information security - architecture. In contrast, SA-17 is primarily directed at external information - technology product/system developers and integrators (although SA-17 could be used - internally within organizations for in-house system development). SA-17, which is - complementary to PL-8, is selected when organizations outsource the development of - information systems or information system components to external entities, and there - is a need to demonstrate/show consistency with the organization’s enterprise - architecture and information security architecture.

- CM-2 - CM-6 - PL-2 - PM-7 - SA-5 - SA-17 - Appendix J - - -

Determine if the organization:

- - PL-8(a) -

develops an information security architecture for the information system that - describes:

- - PL-8(a)(1) -

the overall philosophy, requirements, and approach to be taken with regard to - protecting the confidentiality, integrity, and availability of organizational - information;

- - - PL-8(a)(2) -

how the information security architecture is integrated into and supports the - enterprise architecture;

- - - PL-8(a)(3) -

any information security assumptions about, and dependencies on, external - services;

- - - - PL-8(b) - - PL-8(b)[1] -

defines the frequency to review and update the information security - architecture;

- - - PL-8(b)[2] -

reviews and updates the information security architecture with the - organization-defined frequency to reflect updates in the enterprise - architecture;

- - - - PL-8(c) -

ensures that planned information security architecture changes are reflected - in:

- - PL-8(c)[1] -

the security plan;

- - - PL-8(c)[2] -

the security Concept of Operations (CONOPS); and

- - - PL-8(c)[3] -

the organizational procurements/acquisitions.

- - - - - EXAMINE - -

Security planning policy

-

procedures addressing information security architecture development

-

procedures addressing information security architecture reviews and updates

-

enterprise architecture documentation

-

information security architecture documentation

-

security plan for the information system

-

security CONOPS for the information system

-

records of information security architecture reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security architecture development - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for developing, reviewing, and updating the information - security architecture

-

automated mechanisms supporting and/or implementing the development, review, and - update of the information security architecture

- - - - Defense-in-depth - - - - - - - PL-8(1) - pl-08.01 - -

The organization designs its security architecture using a defense-in-depth - approach that:

- - (a) -

Allocates to ; and

- - - (b) -

Ensures that the allocated security safeguards operate in a coordinated and - mutually reinforcing manner.

- - - -

Organizations strategically allocate security safeguards (procedural, technical, - or both) in the security architecture so that adversaries have to overcome - multiple safeguards to achieve their objective. Requiring adversaries to defeat - multiple mechanisms makes it more difficult to successfully attack critical - information resources (i.e., increases adversary work factor) and also increases - the likelihood of detection. The coordination of allocated safeguards is essential - to ensure that an attack that involves one safeguard does not create adverse - unintended consequences (e.g., lockout, cascading alarms) by interfering with - another safeguard. Placement of security safeguards is a key activity. Greater - asset criticality or information value merits additional layering. Thus, an - organization may choose to place anti-virus software at organizational boundary - layers, email/web servers, notebook computers, and workstations to maximize the - number of related safeguards adversaries must penetrate before compromising the - information and information systems.

- SC-29 - SC-36 - - -

Determine if the organization:

- - PL-8(1)(a) - - PL-8(1)(a)[1] -

defines security safeguards to be allocated to locations and architectural - layers within the design of its security architecture;

- - - PL-8(1)(a)[2] -

defines locations and architectural layers of its security architecture in - which organization-defined security safeguards are to be allocated;

- - - PL-8(1)(a)[3] -

designs its security architecture using a defense-in-depth approach that - allocates organization-defined security safeguards to organization-defined - locations and architectural layers; and

- - PL-8(1)(a) - - - PL-8(1)(b) -

designs its security architecture using a defense-in-depth approach that - ensures the allocated organization-defined security safeguards operate in a - coordinated and mutually reinforcing manner.

- PL-8(1)(b) - - - - EXAMINE - -

Security planning policy

-

procedures addressing information security architecture development

-

enterprise architecture documentation

-

information security architecture documentation

-

security plan for the information system

-

security CONOPS for the information system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security architecture development - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for designing the information security - architecture

-

automated mechanisms supporting and/or implementing the design of the - information security architecture

- - - - - Supplier Diversity - - - - - - - PL-8(2) - pl-08.02 - -

The organization requires that allocated to - are obtained from different suppliers.

- - -

Different information technology products have different strengths and weaknesses. - Providing a broad spectrum of products complements the individual offerings. For - example, vendors offering malicious code protection typically update their - products at different times, often developing solutions for known viruses, - Trojans, or worms according to their priorities and development schedules. By - having different products at different locations (e.g., server, boundary, desktop) - there is an increased likelihood that at least one will detect the malicious - code.

- SA-12 - - -

Determine if the organization:

- - PL-8(2)[1] -

defines security safeguards to be allocated to locations and architectural - layers within the design of its security architecture;

- - - PL-8(2)[2] -

defines locations and architectural layers of its security architecture in - which organization-defined security safeguards are to be allocated; and

- - - PL-8(2)[3] -

requires that organization-defined security safeguards allocated to - organization-defined locations and architectural layers are obtained from - different suppliers.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing information security architecture development

-

enterprise architecture documentation

-

information security architecture documentation

-

security plan for the information system

-

security CONOPS for the information system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with information security architecture development - responsibilities

-

organizational personnel with acquisition responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for obtaining information security safeguards from - different suppliers

- - - - - - Central Management - - - - PL-9 - pl-09 - NIST Special Publication 800-37 - -

The organization centrally manages .

- - -

Central management refers to the organization-wide management and implementation of - selected security controls and related processes. Central management includes - planning, implementing, assessing, authorizing, and monitoring the - organization-defined, centrally managed security controls and processes. As central - management of security controls is generally associated with common controls, such - management promotes and facilitates standardization of security control - implementations and management and judicious use of organizational resources. - Centrally-managed security controls and processes may also meet independence - requirements for assessments in support of initial and ongoing authorizations to - operate as part of organizational continuous monitoring. As part of the security - control selection process, organizations determine which controls may be suitable for - central management based on organizational resources and capabilities. Organizations - consider that it may not always be possible to centrally manage every aspect of a - security control. In such cases, the security control is treated as a hybrid control - with the control managed and implemented either centrally or at the information - system level. Controls and control enhancements that are candidates for full or - partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); - AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); - AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, - CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; - CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); - SC-43; SI-2; SI-3; SI-7; and SI-8.

- - -

Determine if the organization:

- - PL-9[1] -

defines security controls and related processes to be centrally managed; and

- - - PL-9[2] -

centrally manages organization-defined security controls and related - processes.

- - - - EXAMINE - -

Security planning policy

-

procedures addressing security plan development and implementation

-

security plan for the information system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security planning and plan implementation - responsibilities

-

organizational personnel with responsibilities for planning/implementing central - management of security controls and related processes

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for central management of security controls and related - processes

-

automated mechanisms supporting and/or implementing central management of security - controls and related processes

- - - - - - Personnel Security - - Personnel Security Policy and Procedures - - - - - - - - - - PS-1 - ps-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A personnel security policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the personnel security policy - and associated personnel security controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Personnel security policy ; and

- - - 2. -

Personnel security procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the PS - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - PS-1(a) - - PS-1(a)(1) - - PS-1(a)(1)[1] -

develops and documents an personnel security policy that addresses:

- - PS-1(a)(1)[1][a] -

purpose;

- - - PS-1(a)(1)[1][b] -

scope;

- - - PS-1(a)(1)[1][c] -

roles;

- - - PS-1(a)(1)[1][d] -

responsibilities;

- - - PS-1(a)(1)[1][e] -

management commitment;

- - - PS-1(a)(1)[1][f] -

coordination among organizational entities;

- - - PS-1(a)(1)[1][g] -

compliance;

- - - - PS-1(a)(1)[2] -

defines personnel or roles to whom the personnel security policy is to be - disseminated;

- - - PS-1(a)(1)[3] -

disseminates the personnel security policy to organization-defined personnel - or roles;

- - - - PS-1(a)(2) - - PS-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - personnel security policy and associated personnel security controls;

- - - PS-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - PS-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - PS-1(b) - - PS-1(b)(1) - - PS-1(b)(1)[1] -

defines the frequency to review and update the current personnel security - policy;

- - - PS-1(b)(1)[2] -

reviews and updates the current personnel security policy with the - organization-defined frequency;

- - - - PS-1(b)(2) - - PS-1(b)(2)[1] -

defines the frequency to review and update the current personnel security - procedures; and

- - - PS-1(b)(2)[2] -

reviews and updates the current personnel security procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with access control responsibilities

-

organizational personnel with information security responsibilities

- - - - - Position Risk Designation - - - - PS-2 - ps-02 - 5 C.F.R. 731.106 - -

The organization:

- - a. -

Assigns a risk designation to all organizational positions;

- - - b. -

Establishes screening criteria for individuals filling those positions; and

- - - c. -

Reviews and updates position risk designations .

- - - -

Position risk designations reflect Office of Personnel Management policy and - guidance. Risk designations can guide and inform the types of authorizations - individuals receive when accessing organizational information and information - systems. Position screening criteria include explicit information security role - appointment requirements (e.g., training, security clearances).

- AT-3 - PL-2 - PS-3 - - -

Determine if the organization:

- - PS-2(a) -

assigns a risk designation to all organizational positions;

- - - PS-2(b) -

establishes screening criteria for individuals filling those positions;

- - - PS-2(c) - - PS-2(c)[1] -

defines the frequency to review and update position risk designations; and

- - - PS-2(c)[2] -

reviews and updates position risk designations with the organization-defined - frequency.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing position categorization

-

appropriate codes of federal regulations

-

list of risk designations for organizational positions

-

security plan

-

records of position risk designation reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for assigning, reviewing, and updating position risk - designations

-

organizational processes for establishing screening criteria

- - - - - Personnel Screening - - - - PS-3 - ps-03 - 5 C.F.R. 731.106 - FIPS Publication 199 - FIPS Publication 201 - NIST Special Publication 800-60 - NIST Special Publication 800-73 - NIST Special Publication 800-76 - NIST Special Publication 800-78 - ICD 704 - -

The organization:

- - a. -

Screens individuals prior to authorizing access to the information system; and

- - - b. -

Rescreens individuals according to .

- - - -

Personnel screening and rescreening activities reflect applicable federal laws, - Executive Orders, directives, regulations, policies, standards, guidance, and - specific criteria established for the risk designations of assigned positions. - Organizations may define different rescreening conditions and frequencies for - personnel accessing information systems based on types of information processed, - stored, or transmitted by the systems.

- AC-2 - IA-4 - PE-2 - PS-2 - - -

Determine if the organization:

- - PS-3(a) -

screens individuals prior to authorizing access to the information system;

- - - PS-3(b) - - PS-3(b)[1] -

defines conditions requiring re-screening;

- - - PS-3(b)[2] -

defines the frequency of re-screening where it is so indicated; and

- - - PS-3(b)[3] -

re-screens individuals in accordance with organization-defined conditions - requiring re-screening and, where re-screening is so indicated, with the - organization-defined frequency of such re-screening.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

security plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel screening

- - - - Classified Information - PS-3(1) - ps-03.01 - -

The organization ensures that individuals accessing an information system - processing, storing, or transmitting classified information are cleared and - indoctrinated to the highest classification level of the information to which they - have access on the system.

- - - AC-3 - AC-4 - - -

Determine if the organization:

- - PS-3(1)[1] -

ensures that individuals accessing an information system processing, storing, - or transmitting classified information are cleared to the highest - classification level of the information to which they have access on the - system; and

- - - PS-3(1)[2] -

ensures that individuals accessing an information system processing, storing, - or transmitting classified information are indoctrinated to the highest - classification level of the information to which they have access on the - system.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for clearing and indoctrinating personnel for access - to classified information

- - - - - Formal Indoctrination - PS-3(2) - ps-03.02 - -

The organization ensures that individuals accessing an information system - processing, storing, or transmitting types of classified information which require - formal indoctrination, are formally indoctrinated for all of the relevant types of - information to which they have access on the system.

- - -

Types of classified information requiring formal indoctrination include, for - example, Special Access Program (SAP), Restricted Data (RD), and Sensitive - Compartment Information (SCI).

- AC-3 - AC-4 - - -

Determine if the organization ensures that individuals accessing an information - system processing, storing, or transmitting types of classified information which - require formal indoctrination, are formally indoctrinated for all of the relevant - types of information to which they have access on the system.

- - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel screening

-

records of screened personnel

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for formal indoctrination for all relevant types of - information to which personnel have access

- - - - - Information with Special Protection Measures - - - - PS-3(3) - ps-03.03 - -

The organization ensures that individuals accessing an information system - processing, storing, or transmitting information requiring special protection:

- - (a) -

Have valid access authorizations that are demonstrated by assigned official - government duties; and

- - - (b) -

Satisfy .

- - - -

Organizational information requiring special protection includes, for example, - Controlled Unclassified Information (CUI) and Sources and Methods Information - (SAMI). Personnel security criteria include, for example, position sensitivity - background screening requirements.

- - -

Determine if the organization:

- - PS-3(3)(a) -

ensures that individuals accessing an information system processing, storing, - or transmitting information requiring special protection have valid access - authorizations that are demonstrated by assigned official government - duties;

- PS-3(3)(a) - - - PS-3(3)(b) - - PS-3(3)(b)[1] -

defines additional personnel screening criteria to be satisfied for - individuals accessing an information system processing, storing, or - transmitting information requiring special protection; and

- - - PS-3(3)(b)[2] -

ensures that individuals accessing an information system processing, - storing, or transmitting information requiring special protection satisfy - organization-defined additional personnel screening criteria.

- - PS-3(3)(b) - - - - EXAMINE - -

Personnel security policy

-

access control policy, procedures addressing personnel screening

-

records of screened personnel

-

screening criteria

-

records of access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for ensuring valid access authorizations for - information requiring special protection

-

organizational process for additional personnel screening for information - requiring special protection

- - - - - - Personnel Termination - - - - - - - - - - - - - PS-4 - ps-04 - -

The organization, upon termination of individual employment:

- - a. -

Disables information system access within ;

- - - b. -

Terminates/revokes any authenticators/credentials associated with the - individual;

- - - c. -

Conducts exit interviews that include a discussion of ;

- - - d. -

Retrieves all security-related organizational information system-related - property;

- - - e. -

Retains access to organizational information and information systems formerly - controlled by terminated individual; and

- - - f. -

Notifies within .

- - - -

Information system-related property includes, for example, hardware authentication - tokens, system administration technical manuals, keys, identification cards, and - building passes. Exit interviews ensure that terminated individuals understand the - security constraints imposed by being former employees and that proper accountability - is achieved for information system-related property. Security topics of interest at - exit interviews can include, for example, reminding terminated individuals of - nondisclosure agreements and potential limitations on future employment. Exit - interviews may not be possible for some terminated individuals, for example, in cases - related to job abandonment, illnesses, and nonavailability of supervisors. Exit - interviews are important for individuals with security clearances. Timely execution - of termination actions is essential for individuals terminated for cause. In certain - situations, organizations consider disabling the information system accounts of - individuals that are being terminated prior to the individuals being notified.

- AC-2 - IA-4 - PE-2 - PS-5 - PS-6 - - -

Determine if the organization, upon termination of individual employment,:

- - PS-4(a) - - PS-4(a)[1] -

defines a time period within which to disable information system access;

- - - PS-4(a)[2] -

disables information system access within the organization-defined time - period;

- - - - PS-4(b) -

terminates/revokes any authenticators/credentials associated with the - individual;

- - - PS-4(c) - - PS-4(c)[1] -

defines information security topics to be discussed when conducting exit - interviews;

- - - PS-4(c)[2] -

conducts exit interviews that include a discussion of organization-defined - information security topics;

- - - - PS-4(d) -

retrieves all security-related organizational information system-related - property;

- - - PS-4(e) -

retains access to organizational information and information systems formerly - controlled by the terminated individual;

- - - PS-4(f) - - PS-4(f)[1] -

defines personnel or roles to be notified of the termination;

- - - PS-4(f)[2] -

defines the time period within which to notify organization-defined personnel - or roles; and

- - - PS-4(f)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

records of personnel termination actions

-

list of information system accounts

-

records of terminated or revoked authenticators/credentials

-

records of exit interviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - Post-employment Requirements - PS-4(1) - ps-04.01 - -

The organization:

- - (a) -

Notifies terminated individuals of applicable, legally binding post-employment - requirements for the protection of organizational information; and

- - - (b) -

Requires terminated individuals to sign an acknowledgment of post-employment - requirements as part of the organizational termination process.

- - - -

Organizations consult with the Office of the General Counsel regarding matters of - post-employment requirements on terminated individuals.

- - -

Determine if the organization:

- - PS-4(1)(a) -

notifies terminated individuals of applicable, legally binding, post-employment - requirements for the protection of organizational information; and

- PS-4(1)(a) - - - PS-4(1)(b) -

requires terminated individuals to sign an acknowledgement of post-employment - requirements as part of the organizational termination process.

- PS-4(1)(b) - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

signed post-employment acknowledgement forms

-

list of applicable, legally binding post-employment requirements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for post-employment requirements

- - - - - Automated Notification - - - - PS-4(2) - ps-04.02 - -

The organization employs automated mechanisms to notify upon termination of an individual.

- - -

In organizations with a large number of employees, not all personnel who need to - know about termination actions receive the appropriate notifications—or, if such - notifications are received, they may not occur in a timely manner. Automated - mechanisms can be used to send automatic alerts or notifications to specific - organizational personnel or roles (e.g., management personnel, supervisors, - personnel security officers, information security officers, systems - administrators, or information technology administrators) when individuals are - terminated. Such automatic alerts or notifications can be conveyed in a variety of - ways, including, for example, telephonically, via electronic mail, via text - message, or via websites.

- - -

Determine if the organization:

- - PS-4(2)[1] -

defines personnel or roles to be notified upon termination of an individual; - and

- - - PS-4(2)[2] -

employs automated mechanisms to notify organization-defined personnel or roles - upon termination of an individual.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel termination

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of personnel termination actions

-

automated notifications of employee terminations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel termination

-

automated mechanisms supporting and/or implementing personnel termination - notifications

- - - - - - Personnel Transfer - - - - - - - - - - - - - PS-5 - ps-05 - -

The organization:

- - a. -

Reviews and confirms ongoing operational need for current logical and physical - access authorizations to information systems/facilities when individuals are - reassigned or transferred to other positions within the organization;

- - - b. -

Initiates within ;

- - - c. -

Modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer; and

- - - d. -

Notifies within .

- - - -

This control applies when reassignments or transfers of individuals are permanent or - of such extended durations as to make the actions warranted. Organizations define - actions appropriate for the types of reassignments or transfers, whether permanent or - extended. Actions that may be required for personnel transfers or reassignments to - other positions within organizations include, for example: (i) returning old and - issuing new keys, identification cards, and building passes; (ii) closing information - system accounts and establishing new accounts; (iii) changing information system - access authorizations (i.e., privileges); and (iv) providing for access to official - records to which individuals had access at previous work locations and in previous - information system accounts.

- AC-2 - IA-4 - PE-2 - PS-4 - - -

Determine if the organization:

- - PS-5(a) -

when individuals are reassigned or transferred to other positions within the - organization, reviews and confirms ongoing operational need for current:

- - PS-5(a)[1] -

logical access authorizations to information systems;

- - - PS-5(a)[2] -

physical access authorizations to information systems and facilities;

- - - - PS-5(b) - - PS-5(b)[1] -

defines transfer or reassignment actions to be initiated following transfer or - reassignment;

- - - PS-5(b)[2] -

defines the time period within which transfer or reassignment actions must - occur following transfer or reassignment;

- - - PS-5(b)[3] -

initiates organization-defined transfer or reassignment actions within the - organization-defined time period following transfer or reassignment;

- - - - PS-5(c) -

modifies access authorization as needed to correspond with any changes in - operational need due to reassignment or transfer;

- - - PS-5(d) - - PS-5(d)[1] -

defines personnel or roles to be notified when individuals are reassigned or - transferred to other positions within the organization;

- - - PS-5(d)[2] -

defines the time period within which to notify organization-defined personnel - or roles when individuals are reassigned or transferred to other positions - within the organization; and

- - - PS-5(d)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when individuals are reassigned or transferred - to other positions within the organization.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel transfer

-

security plan

-

records of personnel transfer actions

-

list of information system and facility access authorizations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities organizational - personnel with account management responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for personnel transfer

-

automated mechanisms supporting and/or implementing personnel transfer - notifications

-

automated mechanisms for disabling information system access/revoking - authenticators

- - - - - Access Agreements - - - - - - - PS-6 - ps-06 - -

The organization:

- - a. -

Develops and documents access agreements for organizational information - systems;

- - - b. -

Reviews and updates the access agreements ; and

- - - c. -

Ensures that individuals requiring access to organizational information and - information systems:

- - 1. -

Sign appropriate access agreements prior to being granted access; and

- - - 2. -

Re-sign access agreements to maintain access to organizational information - systems when access agreements have been updated or .

- - - - -

Access agreements include, for example, nondisclosure agreements, acceptable use - agreements, rules of behavior, and conflict-of-interest agreements. Signed access - agreements include an acknowledgement that individuals have read, understand, and - agree to abide by the constraints associated with organizational information systems - to which access is authorized. Organizations can use electronic signatures to - acknowledge access agreements unless specifically prohibited by organizational - policy.

- PL-4 - PS-2 - PS-3 - PS-4 - PS-8 - - -

Determine if the organization:

- - PS-6(a) -

develops and documents access agreements for organizational information - systems;

- - - PS-6(b) - - PS-6(b)[1] -

defines the frequency to review and update the access agreements;

- - - PS-6(b)[2] -

reviews and updates the access agreements with the organization-defined - frequency;

- - - - PS-6(c) - - PS-6(c)(1) -

ensures that individuals requiring access to organizational information and - information systems sign appropriate access agreements prior to being granted - access;

- - - PS-6(c)(2) - - PS-6(c)(2)[1] -

defines the frequency to re-sign access agreements to maintain access to - organizational information systems when access agreements have been - updated;

- - - PS-6(c)(2)[2] -

ensures that individuals requiring access to organizational information and - information systems re-sign access agreements to maintain access to - organizational information systems when access agreements have been updated - or with the organization-defined frequency.

- - - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

security plan

-

access agreements

-

records of access agreement reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed/resigned access agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access agreements

-

automated mechanisms supporting access agreements

- - - - Information Requiring Special Protection - PS-6(1) - ps-06.01 - Withdrawn - PS-3 - - - Classified Information Requiring Special Protection - PS-6(2) - ps-06.02 - -

The organization ensures that access to classified information requiring special - protection is granted only to individuals who:

- - (a) -

Have a valid access authorization that is demonstrated by assigned official - government duties;

- - - (b) -

Satisfy associated personnel security criteria; and

- - - (c) -

Have read, understood, and signed a nondisclosure agreement.

- - - -

Classified information requiring special protection includes, for example, - collateral information, Special Access Program (SAP) information, and Sensitive - Compartmented Information (SCI). Personnel security criteria reflect applicable - federal laws, Executive Orders, directives, regulations, policies, standards, and - guidance.

- - -

Determine if the organization ensures that access to classified information - requiring special protection is granted only to individuals who:

- - PS-6(2)(a) -

have a valid access authorization that is demonstrated by assigned official - government duties;

- PS-6(2)(a) - - - PS-6(2)(b) -

satisfy associated personnel security criteria; and

- PS-6(2)(b) - - - PS-6(2)(c) -

have read, understood, and signed a nondisclosure agreement.

- PS-6(2)(c) - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

access agreements

-

access authorizations

-

personnel security criteria

-

signed nondisclosure agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed nondisclosure agreements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for access to classified information requiring special - protection

- - - - - Post-employment Requirements - PS-6(3) - ps-06.03 - -

The organization:

- - (a) -

Notifies individuals of applicable, legally binding post-employment - requirements for protection of organizational information; and

- - - (b) -

Requires individuals to sign an acknowledgment of these requirements, if - applicable, as part of granting initial access to covered information.

- - - -

Organizations consult with the Office of the General Counsel regarding matters of - post-employment requirements on terminated individuals.

- - -

Determine if the organization:

- - PS-6(3)(a) -

notifies individuals of applicable, legally binding post-employment - requirements for protection of organizational information; and

- PS-6(3)(a) - - - PS-6(3)(b) -

requires individuals to sign an acknowledgement of these requirements, if - applicable, as part of granting initial access to covered information.

- PS-6(3)(b) - - - - EXAMINE - -

Personnel security policy

-

procedures addressing access agreements for organizational information and - information systems

-

signed post-employment acknowledgement forms

-

access agreements

-

list of applicable, legally binding post-employment requirements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel who have signed access agreements that include - post-employment requirements

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for post-employment requirements

-

automated mechanisms supporting notifications and individual acknowledgements - of post-employment requirements

- - - - - - Third-party Personnel Security - - - - - - - PS-7 - ps-07 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Establishes personnel security requirements including security roles and - responsibilities for third-party providers;

- - - b. -

Requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - c. -

Documents personnel security requirements;

- - - d. -

Requires third-party providers to notify of any - personnel transfers or terminations of third-party personnel who possess - organizational credentials and/or badges, or who have information system - privileges within ; and

- - - e. -

Monitors provider compliance.

- - - -

Third-party providers include, for example, service bureaus, contractors, and other - organizations providing information system development, information technology - services, outsourced applications, and network and security management. Organizations - explicitly include personnel security requirements in acquisition-related documents. - Third-party providers may have personnel working at organizational facilities with - credentials, badges, or information system privileges issued by organizations. - Notifications of third-party personnel changes ensure appropriate termination of - privileges and credentials. Organizations define the transfers and terminations - deemed reportable by security-related characteristics that include, for example, - functions, roles, and nature of credentials/privileges associated with individuals - transferred or terminated.

- PS-2 - PS-3 - PS-4 - PS-5 - PS-6 - SA-9 - SA-21 - - -

Determine if the organization:

- - PS-7(a) -

establishes personnel security requirements, including security roles and - responsibilities, for third-party providers;

- - - PS-7(b) -

requires third-party providers to comply with personnel security policies and - procedures established by the organization;

- - - PS-7(c) -

documents personnel security requirements;

- - - PS-7(d) - - PS-7(d)[1] -

defines personnel or roles to be notified of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - PS-7(d)[2] -

defines the time period within which third-party providers are required to - notify organization-defined personnel or roles of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges;

- - - PS-7(d)[3] -

requires third-party providers to notify organization-defined personnel or - roles within the organization-defined time period of any personnel transfers or - terminations of third-party personnel who possess organizational credentials - and/or badges, or who have information system privileges; and

- - - - PS-7(e) -

monitors provider compliance.

- - - - EXAMINE - -

Personnel security policy

-

procedures addressing third-party personnel security

-

list of personnel security requirements

-

acquisition documents

-

service-level agreements

-

compliance monitoring process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

third-party providers

-

system/network administrators

-

organizational personnel with account management responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing and monitoring third-party personnel - security

-

automated mechanisms supporting and/or implementing monitoring of provider - compliance

- - - - - Personnel Sanctions - - - - - - - PS-8 - ps-08 - -

The organization:

- - a. -

Employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures; and

- - - b. -

Notifies within - when a formal employee sanctions process is initiated, identifying the individual - sanctioned and the reason for the sanction.

- - - -

Organizational sanctions processes reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Sanctions processes are - described in access agreements and can be included as part of general personnel - policies and procedures for organizations. Organizations consult with the Office of - the General Counsel regarding matters of employee sanctions.

- PL-4 - PS-6 - - -

Determine if the organization:

- - PS-8(a) -

employs a formal sanctions process for individuals failing to comply with - established information security policies and procedures;

- - - PS-8(b) - - PS-8(b)[1] -

defines personnel or roles to be notified when a formal employee sanctions - process is initiated;

- - - PS-8(b)[2] -

defines the time period within which organization-defined personnel or roles - must be notified when a formal employee sanctions process is initiated; and

- - - PS-8(b)[3] -

notifies organization-defined personnel or roles within the - organization-defined time period when a formal employee sanctions process is - initiated, identifying the individual sanctioned and the reason for the - sanction.

- - - - - EXAMINE - -

Personnel security policy

-

procedures addressing personnel sanctions

-

rules of behavior

-

records of formal sanctions

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with personnel security responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for managing personnel sanctions

-

automated mechanisms supporting and/or implementing notifications

- - - - - - Risk Assessment - - Risk Assessment Policy and Procedures - - - - - - - - - - RA-1 - ra-01 - NIST Special Publication 800-12 - NIST Special Publication 800-30 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A risk assessment policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the risk assessment policy and - associated risk assessment controls; and

- - - - b. -

Reviews and updates the current:

- - 1. -

Risk assessment policy ; and

- - - 2. -

Risk assessment procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the RA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - RA-1(a) - - RA-1(a)(1) - - RA-1(a)(1)[1] -

develops and documents a risk assessment policy that addresses:

- - RA-1(a)(1)[1][a] -

purpose;

- - - RA-1(a)(1)[1][b] -

scope;

- - - RA-1(a)(1)[1][c] -

roles;

- - - RA-1(a)(1)[1][d] -

responsibilities;

- - - RA-1(a)(1)[1][e] -

management commitment;

- - - RA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - RA-1(a)(1)[1][g] -

compliance;

- - - - RA-1(a)(1)[2] -

defines personnel or roles to whom the risk assessment policy is to be - disseminated;

- - - RA-1(a)(1)[3] -

disseminates the risk assessment policy to organization-defined personnel or - roles;

- - - - RA-1(a)(2) - - RA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - risk assessment policy and associated risk assessment controls;

- - - RA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - RA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - RA-1(b) - - RA-1(b)(1) - - RA-1(b)(1)[1] -

defines the frequency to review and update the current risk assessment - policy;

- - - RA-1(b)(1)[2] -

reviews and updates the current risk assessment policy with the - organization-defined frequency;

- - - - RA-1(b)(2) - - RA-1(b)(2)[1] -

defines the frequency to review and update the current risk assessment - procedures; and

- - - RA-1(b)(2)[2] -

reviews and updates the current risk assessment procedures with the - organization-defined frequency.

- - - - - - EXAMINE - -

risk assessment policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - - Security Categorization - RA-2 - ra-02 - FIPS Publication 199 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - b. -

Documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - c. -

Ensures that the authorizing official or authorizing official designated - representative reviews and approves the security categorization decision.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective security - categorization decisions. Security categories describe the potential adverse impacts - to organizational operations, organizational assets, and individuals if - organizational information and information systems are comprised through a loss of - confidentiality, integrity, or availability. Organizations conduct the security - categorization process as an organization-wide activity with the involvement of chief - information officers, senior information security officers, information system - owners, mission/business owners, and information owners/stewards. Organizations also - consider the potential adverse impacts to other organizations and, in accordance with - the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential - national-level adverse impacts. Security categorization processes carried out by - organizations facilitate the development of inventories of information assets, and - along with CM-8, mappings to specific information system components where information - is processed, stored, or transmitted.

- CM-8 - MP-4 - RA-3 - SC-7 - - -

Determine if the organization:

- - RA-2(a) -

categorizes information and the information system in accordance with applicable - federal laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - RA-2(b) -

documents the security categorization results (including supporting rationale) in - the security plan for the information system; and

- - - RA-2(c) -

ensures the authorizing official or authorizing official designated representative - reviews and approves the security categorization decision.

- - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing security categorization of organizational information and - information systems

-

security plan

-

security categorization documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security categorization and risk assessment - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security categorization

- - - - - Risk Assessment - - - - - - - - - - - - - - - - RA-3 - ra-03 - OMB Memorandum 04-04 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - http://idmanagement.gov - -

The organization:

- - a. -

Conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of the information system and the information it processes, stores, or - transmits;

- - - b. -

Documents risk assessment results in ;

- - - c. -

Reviews risk assessment results ;

- - - d. -

Disseminates risk assessment results to ; and

- - - e. -

Updates the risk assessment or whenever there are - significant changes to the information system or environment of operation - (including the identification of new threats and vulnerabilities), or other - conditions that may impact the security state of the system.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective risk - assessments. Risk assessments take into account threats, vulnerabilities, likelihood, - and impact to organizational operations and assets, individuals, other organizations, - and the Nation based on the operation and use of information systems. Risk - assessments also take into account risk from external parties (e.g., service - providers, contractors operating information systems on behalf of the organization, - individuals accessing organizational information systems, outsourcing entities). In - accordance with OMB policy and related E-authentication initiatives, authentication - of public users accessing federal information systems may also be required to protect - nonpublic or privacy-related information. As such, organizational assessments of risk - also address public access to federal information systems. Risk assessments (either - formal or informal) can be conducted at all three tiers in the risk management - hierarchy (i.e., organization level, mission/business process level, or information - system level) and at any phase in the system development life cycle. Risk assessments - can also be conducted at various steps in the Risk Management Framework, including - categorization, security control selection, security control implementation, security - control assessment, information system authorization, and security control - monitoring. RA-3 is noteworthy in that the control must be partially implemented - prior to the implementation of other controls in order to complete the first two - steps in the Risk Management Framework. Risk assessments can play an important role - in security control selection processes, particularly during the application of - tailoring guidance, which includes security control supplementation.

- RA-2 - PM-9 - - -

Determine if the organization:

- - RA-3(a) -

conducts an assessment of risk, including the likelihood and magnitude of harm, - from the unauthorized access, use, disclosure, disruption, modification, or - destruction of:

- - RA-3(a)[1] -

the information system;

- - - RA-3(a)[2] -

the information the system processes, stores, or transmits;

- - - - RA-3(b) - - RA-3(b)[1] -

defines a document in which risk assessment results are to be documented (if - not documented in the security plan or risk assessment report);

- - - RA-3(b)[2] -

documents risk assessment results in one of the following:

- - RA-3(b)[2][a] -

the security plan;

- - - RA-3(b)[2][b] -

the risk assessment report; or

- - - RA-3(b)[2][c] -

the organization-defined document;

- - - - - RA-3(c) - - RA-3(c)[1] -

defines the frequency to review risk assessment results;

- - - RA-3(c)[2] -

reviews risk assessment results with the organization-defined frequency;

- - - - RA-3(d) - - RA-3(d)[1] -

defines personnel or roles to whom risk assessment results are to be - disseminated;

- - - RA-3(d)[2] -

disseminates risk assessment results to organization-defined personnel or - roles;

- - - - RA-3(e) - - RA-3(e)[1] -

defines the frequency to update the risk assessment;

- - - RA-3(e)[2] -

updates the risk assessment:

- - RA-3(e)[2][a] -

with the organization-defined frequency;

- - - RA-3(e)[2][b] -

whenever there are significant changes to the information system or - environment of operation (including the identification of new threats and - vulnerabilities); and

- - - RA-3(e)[2][c] -

whenever there are other conditions that may impact the security state of - the system.

- - - - - - EXAMINE - -

Risk assessment policy

-

security planning policy and procedures

-

procedures addressing organizational assessments of risk

-

security plan

-

risk assessment

-

risk assessment results

-

risk assessment reviews

-

risk assessment updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for risk assessment

-

automated mechanisms supporting and/or for conducting, documenting, reviewing, - disseminating, and updating the risk assessment

- - - - - Risk Assessment Update - RA-4 - ra-04 - Withdrawn - RA-3 - - - Vulnerability Scanning - - - - - - - - - - RA-5 - ra-05 - NIST Special Publication 800-40 - NIST Special Publication 800-70 - NIST Special Publication 800-115 - http://cwe.mitre.org - http://nvd.nist.gov - -

The organization:

- - a. -

Scans for vulnerabilities in the information system and hosted applications - and when new vulnerabilities potentially - affecting the system/applications are identified and reported;

- - - b. -

Employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - 1. -

Enumerating platforms, software flaws, and improper configurations;

- - - 2. -

Formatting checklists and test procedures; and

- - - 3. -

Measuring vulnerability impact;

- - - - c. -

Analyzes vulnerability scan reports and results from security control - assessments;

- - - d. -

Remediates legitimate vulnerabilities in - accordance with an organizational assessment of risk; and

- - - e. -

Shares information obtained from the vulnerability scanning process and security - control assessments with to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - -

Security categorization of information systems guides the frequency and - comprehensiveness of vulnerability scans. Organizations determine the required - vulnerability scanning for all information system components, ensuring that potential - sources of vulnerabilities such as networked printers, scanners, and copiers are not - overlooked. Vulnerability analyses for custom software applications may require - additional approaches such as static analysis, dynamic analysis, binary analysis, or - a hybrid of the three approaches. Organizations can employ these analysis approaches - in a variety of tools (e.g., web-based application scanners, static analysis tools, - binary analyzers) and in source code reviews. Vulnerability scanning includes, for - example: (i) scanning for patch levels; (ii) scanning for functions, ports, - protocols, and services that should not be accessible to users or devices; and (iii) - scanning for improperly configured or incorrectly operating information flow control - mechanisms. Organizations consider using tools that express vulnerabilities in the - Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open - Vulnerability Assessment Language (OVAL) to determine/test for the presence of - vulnerabilities. Suggested sources for vulnerability information include the Common - Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In - addition, security control assessments such as red team exercises provide other - sources of potential vulnerabilities for which to scan. Organizations also consider - using tools that express vulnerability impact by the Common Vulnerability Scoring - System (CVSS).

- CA-2 - CA-7 - CM-4 - CM-6 - RA-2 - RA-3 - SA-11 - SI-2 - - -

Determine if the organization:

- - RA-5(a) - - RA-5(a)[1] - - RA-5(a)[1][a] -

defines the frequency for conducting vulnerability scans on the information - system and hosted applications; and/or

- - - RA-5(a)[1][b] -

defines the process for conducting random vulnerability scans on the - information system and hosted applications;

- - - - RA-5(a)[2] -

in accordance with the organization-defined frequency and/or - organization-defined process for conducting random scans, scans for - vulnerabilities in:

- - RA-5(a)[2][a] -

the information system;

- - - RA-5(a)[2][b] -

hosted applications;

- - - - RA-5(a)[3] -

when new vulnerabilities potentially affecting the system/applications are - identified and reported, scans for vulnerabilities in:

- - RA-5(a)[3][a] -

the information system;

- - - RA-5(a)[3][b] -

hosted applications;

- - - - - RA-5(b) -

employs vulnerability scanning tools and techniques that facilitate - interoperability among tools and automate parts of the vulnerability management - process by using standards for:

- - RA-5(b)(1) - - RA-5(b)(1)[1] -

enumerating platforms;

- - - RA-5(b)(1)[2] -

enumerating software flaws;

- - - RA-5(b)(1)[3] -

enumerating improper configurations;

- - - - RA-5(b)(2) - - RA-5(b)(2)[1] -

formatting checklists;

- - - RA-5(b)(2)[2] -

formatting test procedures;

- - - - RA-5(b)(3) -

measuring vulnerability impact;

- - - - RA-5(c) - - RA-5(c)[1] -

analyzes vulnerability scan reports;

- - - RA-5(c)[2] -

analyzes results from security control assessments;

- - - - RA-5(d) - - RA-5(d)[1] -

defines response times to remediate legitimate vulnerabilities in accordance - with an organizational assessment of risk;

- - - RA-5(d)[2] -

remediates legitimate vulnerabilities within the organization-defined response - times in accordance with an organizational assessment of risk;

- - - - RA-5(e) - - RA-5(e)[1] -

defines personnel or roles with whom information obtained from the - vulnerability scanning process and security control assessments is to be - shared;

- - - RA-5(e)[2] -

shares information obtained from the vulnerability scanning process with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies); and

- - - RA-5(e)[3] -

shares information obtained from security control assessments with - organization-defined personnel or roles to help eliminate similar - vulnerabilities in other information systems (i.e., systemic weaknesses or - deficiencies).

- - - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with risk assessment, security control assessment and - vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with vulnerability remediation responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning, analysis, remediation, and - information sharing

-

automated mechanisms supporting and/or implementing vulnerability scanning, - analysis, remediation, and information sharing

- - - - Update Tool Capability - RA-5(1) - ra-05.01 - -

The organization employs vulnerability scanning tools that include the capability - to readily update the information system vulnerabilities to be scanned.

- - -

The vulnerabilities to be scanned need to be readily updated as new - vulnerabilities are discovered, announced, and scanning methods developed. This - updating process helps to ensure that potential vulnerabilities in the information - system are identified and addressed as quickly as possible.

- SI-3 - SI-7 - - -

Determine if the organization employs vulnerability scanning tools that include - the capability to readily update the information system vulnerabilities to be - scanned.

- - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Update by Frequency / Prior to New Scan / When Identified - - - - - - - RA-5(2) - ra-05.02 - -

The organization updates the information system vulnerabilities scanned .

- - - SI-3 - SI-5 - - -

Determine if the organization:

- - RA-5(2)[1] -

defines the frequency to update the information system vulnerabilities - scanned;

- - - RA-5(2)[2] -

updates the information system vulnerabilities scanned one or more of the - following:

- - RA-5(2)[2][a] -

with the organization-defined frequency;

- - - RA-5(2)[2][b] -

prior to a new scan; and/or

- - - RA-5(2)[2][c] -

when new vulnerabilities are identified and reported.

- - - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Breadth / Depth of Coverage - RA-5(3) - ra-05.03 - -

The organization employs vulnerability scanning procedures that can identify the - breadth and depth of coverage (i.e., information system components scanned and - vulnerabilities checked).

- - -

Determine if the organization employs vulnerability scanning procedures that can - identify:

- - RA-5(3)[1] -

the breadth of coverage (i.e., information system components scanned); and

- - - RA-5(3)[2] -

the depth of coverage (i.e., vulnerabilities checked).

- - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security plan

-

security assessment report

-

vulnerability scanning tools and associated configuration documentation

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Discoverable Information - - - - RA-5(4) - ra-05.04 - -

The organization determines what information about the information system is - discoverable by adversaries and subsequently takes .

- - -

Discoverable information includes information that adversaries could obtain - without directly compromising or breaching the information system, for example, by - collecting information the system is exposing or by conducting extensive searches - of the web. Corrective actions can include, for example, notifying appropriate - organizational personnel, removing designated information, or changing the - information system to make designated information less relevant or attractive to - adversaries.

- AU-13 - - -

Determine if the organization:

- - RA-5(4)[1] -

defines corrective actions to be taken if information about the information - system is discoverable by adversaries;

- - - RA-5(4)[2] -

determines what information about the information system is discoverable by - adversaries; and

- - - RA-5(4)[3] -

subsequently takes organization-defined corrective actions.

- - - - EXAMINE - -

Procedures addressing vulnerability scanning

-

security assessment report

-

penetration test results

-

vulnerability scanning results

-

risk assessment report

-

records of corrective actions taken

-

incident response records

-

audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning and/or penetration testing - responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel responsible for risk response

-

organizational personnel responsible for incident management and response

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational processes for risk response

-

organizational processes for incident management and response

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing risk response

-

automated mechanisms supporting and/or implementing incident management and - response

- - - - - Privileged Access - - - - - - - RA-5(5) - ra-05.05 - -

The information system implements privileged access authorization to for selected .

- - -

In certain situations, the nature of the vulnerability scanning may be more - intrusive or the information system component that is the subject of the scanning - may contain highly sensitive information. Privileged access authorization to - selected system components facilitates more thorough vulnerability scanning and - also protects the sensitive nature of such scanning.

- - -

Determine if:

- - RA-5(5)[1] -

the organization defines information system components to which privileged - access is authorized for selected vulnerability scanning activities;

- - - RA-5(5)[2] -

the organization defines vulnerability scanning activities selected for - privileged access authorization to organization-defined information system - components; and

- - - RA-5(5)[3] -

the information system implements privileged access authorization to - organization-defined information system components for selected - organization-defined vulnerability scanning activities.

- - - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of information system components for vulnerability scanning

-

personnel access authorization list

-

authorization credentials

-

access authorization records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

system/network administrators

-

organizational personnel responsible for access control to the information - system

-

organizational personnel responsible for configuration management of the - information system

-

system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational processes for access control

-

automated mechanisms supporting and/or implementing access control

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

- - - - - Automated Trend Analyses - RA-5(6) - ra-05.06 - -

The organization employs automated mechanisms to compare the results of - vulnerability scans over time to determine trends in information system - vulnerabilities.

- - - IR-4 - IR-5 - SI-4 - - -

Determine if the organization employs automated mechanisms to compare the results - of vulnerability scans over time to determine trends in information system - vulnerabilities.

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

information system design documentation

-

vulnerability scanning tools and techniques documentation

-

vulnerability scanning results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing trend analysis of - vulnerability scan results

- - - - - Automated Detection and Notification of Unauthorized Components - RA-5(7) - ra-05.07 - Withdrawn - CM-8 - - - Review Historic Audit Logs - RA-5(8) - ra-05.08 - -

The organization reviews historic audit logs to determine if a vulnerability - identified in the information system has been previously exploited.

- - - AU-6 - - -

Determine if the organization reviews historic audit logs to determine if a - vulnerability identified in the information system has been previously exploited. -

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

audit logs

-

records of audit log reviews

-

vulnerability scanning results

-

patch and vulnerability management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with audit record review responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

organizational process for audit record review and response

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms supporting and/or implementing audit record review

- - - - - Penetration Testing and Analyses - RA-5(9) - ra-05.09 - Withdrawn - CA-8 - - - Correlate Scanning Information - RA-5(10) - ra-05.10 - -

The organization correlates the output from vulnerability scanning tools to - determine the presence of multi-vulnerability/multi-hop attack vectors.

- - -

Determine if the organization correlates the output from vulnerability scanning - tools to determine the presence of multi-vulnerability/multi-hop attack vectors. -

- - - EXAMINE - -

Risk assessment policy

-

procedures addressing vulnerability scanning

-

risk assessment

-

security plan

-

vulnerability scanning tools and techniques documentation

-

vulnerability scanning results

-

vulnerability management records

-

audit records

-

event/vulnerability correlation logs

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with vulnerability scanning responsibilities

-

organizational personnel with vulnerability scan analysis responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for vulnerability scanning

-

automated mechanisms/tools supporting and/or implementing vulnerability - scanning

-

automated mechanisms implementing correlation of vulnerability scan results

- - - - - - Technical Surveillance Countermeasures Survey - - - - - - - - - - - - - RA-6 - ra-06 - -

The organization employs a technical surveillance countermeasures survey at - .

- - -

Technical surveillance countermeasures surveys are performed by qualified personnel - to detect the presence of technical surveillance devices/hazards and to identify - technical security weaknesses that could aid in the conduct of technical penetrations - of surveyed facilities. Such surveys provide evaluations of the technical security - postures of organizations and facilities and typically include thorough visual, - electronic, and physical examinations in and about surveyed facilities. The surveys - also provide useful input into risk assessments and organizational exposure to - potential adversaries.

- - -

Determine if the organization:

- - RA-6[1] -

defines locations to employ technical surveillance countermeasure surveys;

- - - RA-6[2] -

defines a frequency to employ technical surveillance countermeasure surveys;

- - - RA-6[3] -

defines events or indicators which, if they occur, trigger a technical - surveillance countermeasures survey;

- - - RA-6[4] -

employs a technical surveillance countermeasures survey at organization-defined - locations one or more of the following:

- - RA-6[4][a] -

with the organization-defined frequency; and/or

- - - RA-6[4][b] -

when organization-defined events or indicators occur.

- - - - - EXAMINE - -

Risk assessment policy

-

procedures addressing technical surveillance countermeasures surveys

-

security plan

-

audit records/event logs

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with technical surveillance countermeasures surveys - responsibilities

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for technical surveillance countermeasures surveys

-

automated mechanisms/tools supporting and/or implementing technical surveillance - countermeasures surveys

- - - - - - System and Services Acquisition - - System and Services Acquisition Policy and Procedures - - - - - - - - - - SA-1 - sa-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and services acquisition policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and services - acquisition policy and associated system and services acquisition controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and services acquisition policy ; and

- - - 2. -

System and services acquisition procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SA - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SA-1(a) - - SA-1(a)(1) - - SA-1(a)(1)[1] -

develops and documents a system and services acquisition policy that - addresses:

- - SA-1(a)(1)[1][a] -

purpose;

- - - SA-1(a)(1)[1][b] -

scope;

- - - SA-1(a)(1)[1][c] -

roles;

- - - SA-1(a)(1)[1][d] -

responsibilities;

- - - SA-1(a)(1)[1][e] -

management commitment;

- - - SA-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SA-1(a)(1)[1][g] -

compliance;

- - - - SA-1(a)(1)[2] -

defines personnel or roles to whom the system and services acquisition - policy is to be disseminated;

- - - SA-1(a)(1)[3] -

disseminates the system and services acquisition policy to - organization-defined personnel or roles;

- - - - SA-1(a)(2) - - SA-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and services acquisition policy and associated system and services - acquisition controls;

- - - SA-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - SA-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SA-1(b) - - SA-1(b)(1) - - SA-1(b)(1)[1] -

defines the frequency to review and update the current system and services - acquisition policy;

- - - SA-1(b)(1)[2] -

reviews and updates the current system and services acquisition policy with - the organization-defined frequency;

- - - - SA-1(b)(2) - - SA-1(b)(2)[1] -

defines the frequency to review and update the current system and services - acquisition procedures; and

- - - SA-1(b)(2)[2] -

reviews and updates the current system and services acquisition procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and services acquisition policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

- - - - - Allocation of Resources - SA-2 - sa-02 - NIST Special Publication 800-65 - -

The organization:

- - a. -

Determines information security requirements for the information system or - information system service in mission/business process planning;

- - - b. -

Determines, documents, and allocates the resources required to protect the - information system or information system service as part of its capital planning - and investment control process; and

- - - c. -

Establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - -

Resource allocation for information security includes funding for the initial - information system or information system service acquisition and funding for the - sustainment of the system/service.

- PM-3 - PM-11 - - -

Determine if the organization:

- - SA-2(a) -

determines information security requirements for the information system or - information system service in mission/business process planning;

- - - SA-2(b) -

to protect the information system or information system service as part of its - capital planning and investment control process:

- - SA-2(b)[1] -

determines the resources required;

- - - SA-2(b)[2] -

documents the resources required;

- - - SA-2(b)[3] -

allocates the resources required; and

- - - - SA-2(c) -

establishes a discrete line item for information security in organizational - programming and budgeting documentation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the allocation of resources to information security - requirements

-

procedures addressing capital planning and investment control

-

organizational programming and budgeting documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with capital planning, investment control, organizational - programming and budgeting responsibilities

-

organizational personnel responsible for determining information security - requirements for information systems/services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information security requirements

-

organizational processes for capital planning, programming, and budgeting

-

automated mechanisms supporting and/or implementing organizational capital - planning, programming, and budgeting

- - - - - System Development Life Cycle - - - - SA-3 - sa-03 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - -

The organization:

- - a. -

Manages the information system using that - incorporates information security considerations;

- - - b. -

Defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - c. -

Identifies individuals having information security roles and responsibilities; - and

- - - d. -

Integrates the organizational information security risk management process into - system development life cycle activities.

- - - -

A well-defined system development life cycle provides the foundation for the - successful development, implementation, and operation of organizational information - systems. To apply the required security controls within the system development life - cycle requires a basic understanding of information security, threats, - vulnerabilities, adverse impacts, and risk to critical missions/business functions. - The security engineering principles in SA-8 cannot be properly applied if individuals - that design, code, and test information systems and system components (including - information technology products) do not understand security. Therefore, organizations - include qualified personnel, for example, chief information security officers, - security architects, security engineers, and information system security officers in - system development life cycle activities to ensure that security requirements are - incorporated into organizational information systems. It is equally important that - developers include individuals on the development team that possess the requisite - security expertise and skills to ensure that needed security capabilities are - effectively integrated into the information system. Security awareness and training - programs can help ensure that individuals having key security roles and - responsibilities have the appropriate experience, skills, and expertise to conduct - assigned system development life cycle activities. The effective integration of - security requirements into enterprise architecture also helps to ensure that - important security considerations are addressed early in the system development life - cycle and that those considerations are directly related to the organizational - mission/business processes. This process also facilitates the integration of the - information security architecture into the enterprise architecture, consistent with - organizational risk management and information security strategies.

- AT-3 - PM-7 - SA-8 - - -

Determine if the organization:

- - SA-3(a) - - SA-3(a)[1] -

defines a system development life cycle that incorporates information security - considerations to be used to manage the information system;

- - - SA-3(a)[2] -

manages the information system using the organization-defined system - development life cycle;

- - - - SA-3(b) -

defines and documents information security roles and responsibilities throughout - the system development life cycle;

- - - SA-3(c) -

identifies individuals having information security roles and responsibilities; - and

- - - SA-3(d) -

integrates the organizational information security risk management process into - system development life cycle activities.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security into the system - development life cycle process

-

information system development life cycle documentation

-

information security risk management strategy/program documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security and system life cycle - development responsibilities

-

organizational personnel with information security risk management - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining and documenting the SDLC

-

organizational processes for identifying SDLC roles and responsibilities

-

organizational process for integrating information security risk management into - the SDLC

-

automated mechanisms supporting and/or implementing the SDLC

- - - - - Acquisition Process - SA-4 - sa-04 - HSPD-12 - ISO/IEC 15408 - FIPS Publication 140-2 - FIPS Publication 201 - NIST Special Publication 800-23 - NIST Special Publication 800-35 - NIST Special Publication 800-36 - NIST Special Publication 800-37 - NIST Special Publication 800-64 - NIST Special Publication 800-70 - NIST Special Publication 800-137 - Federal Acquisition Regulation - http://www.niap-ccevs.org - http://fips201ep.cio.gov - http://www.acquisition.gov/far - -

The organization includes the following requirements, descriptions, and criteria, - explicitly or by reference, in the acquisition contract for the information system, - system component, or information system service in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, guidelines, and - organizational mission/business needs:

- - a. -

Security functional requirements;

- - - b. -

Security strength requirements;

- - - c. -

Security assurance requirements;

- - - d. -

Security-related documentation requirements;

- - - e. -

Requirements for protecting security-related documentation;

- - - f. -

Description of the information system development environment and environment in - which the system is intended to operate; and

- - - g. -

Acceptance criteria.

- - - -

Information system components are discrete, identifiable information technology - assets (e.g., hardware, software, or firmware) that represent the building blocks of - an information system. Information system components include commercial information - technology products. Security functional requirements include security capabilities, - security functions, and security mechanisms. Security strength requirements - associated with such capabilities, functions, and mechanisms include degree of - correctness, completeness, resistance to direct attack, and resistance to tampering - or bypass. Security assurance requirements include: (i) development processes, - procedures, practices, and methodologies; and (ii) evidence from development and - assessment activities providing grounds for confidence that the required security - functionality has been implemented and the required security strength has been - achieved. Security documentation requirements address all phases of the system - development life cycle. Security functionality, assurance, and documentation - requirements are expressed in terms of security controls and control enhancements - that have been selected through the tailoring process. The security control tailoring - process includes, for example, the specification of parameter values through the use - of assignment and selection statements and the specification of platform dependencies - and implementation information. Security documentation provides user and - administrator guidance regarding the implementation and operation of security - controls. The level of detail required in security documentation is based on the - security category or classification level of the information system and the degree to - which organizations depend on the stated security capability, functions, or - mechanisms to meet overall risk response expectations (as defined in the - organizational risk management strategy). Security requirements can also include - organizationally mandated configuration settings specifying allowed functions, ports, - protocols, and services. Acceptance criteria for information systems, information - system components, and information system services are defined in the same manner as - such criteria for any organizational acquisition or procurement. The Federal - Acquisition Regulation (FAR) Section 7.103 contains information security requirements - from FISMA.

- CM-6 - PL-2 - PS-7 - SA-3 - SA-5 - SA-8 - SA-11 - SA-12 - - -

Determine if the organization includes the following requirements, descriptions, and - criteria, explicitly or by reference, in the acquisition contracts for the - information system, system component, or information system service in accordance - with applicable federal laws, Executive Orders, directives, policies, regulations, - standards, guidelines, and organizational mission/business needs:

- - SA-4(a) -

security functional requirements;

- - - SA-4(b) -

security strength requirements;

- - - SA-4(c) -

security assurance requirements;

- - - SA-4(d) -

security-related documentation requirements;

- - - SA-4(e) -

requirements for protecting security-related documentation;

- - - SA-4(f) -

description of:

- - SA-4(f)[1] -

the information system development environment;

- - - SA-4(f)[2] -

the environment in which the system is intended to operate; and

- - - - SA-4(g) -

acceptance criteria.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

acquisition contracts for the information system, system component, or information - system service

-

information system design documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional, strength, and assurance requirements

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security functional, - strength, and assurance requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion of - security requirements in contracts

- - - - Functional Properties of Security Controls - SA-4(1) - sa-04.01 - -

The organization requires the developer of the information system, system - component, or information system service to provide a description of the - functional properties of the security controls to be employed.

- - -

Functional properties of security controls describe the functionality (i.e., - security capability, functions, or mechanisms) visible at the interfaces of the - controls and specifically exclude functionality and data structures internal to - the operation of the controls.

- SA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to provide a description of the - functional properties of the security controls to be employed.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security functional requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining information system security - functional, requirements

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing acquisitions and inclusion - of security requirements in contracts

- - - - - Design / Implementation Information for Security Controls - - - - - - - - - - SA-4(2) - sa-04.02 - -

The organization requires the developer of the information system, system - component, or information system service to provide design and implementation - information for the security controls to be employed that includes: at .

- - -

Organizations may require different levels of detail in design and implementation - documentation for security controls employed in organizational information - systems, system components, or information system services based on - mission/business requirements, requirements for trustworthiness/resiliency, and - requirements for analysis and testing. Information systems can be partitioned into - multiple subsystems. Each subsystem within the system can contain one or more - modules. The high-level design for the system is expressed in terms of multiple - subsystems and the interfaces between subsystems providing security-relevant - functionality. The low-level design for the system is expressed in terms of - modules with particular emphasis on software and firmware (but not excluding - hardware) and the interfaces between modules providing security-relevant - functionality. Source code and hardware schematics are typically referred to as - the implementation representation of the information system.

- SA-5 - - -

Determine if the organization:

- - SA-4(2)[1] -

defines level of detail that the developer is required to provide in design and - implementation information for the security controls to be employed in the - information system, system component, or information system service;

- - - SA-4(2)[2] -

defines design/implementation information that the developer is to provide for - the security controls to be employed (if selected);

- - - SA-4(2)[3] -

requires the developer of the information system, system component, or - information system service to provide design and implementation information for - the security controls to be employed that includes, at the organization-defined - level of detail, one or more of the following:

- - SA-4(2)[3][a] -

security-relevant external system interfaces;

- - - SA-4(2)[3][b] -

high-level design;

- - - SA-4(2)[3][c] -

low-level design;

- - - SA-4(2)[3][d] -

source code;

- - - SA-4(2)[3][e] -

hardware schematics; and/or

- - - SA-4(2)[3][f] -

organization-defined design/implementation information.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system components, or - information system services

-

design and implementation information for security controls employed in the - information system, system component, or information system service

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for determining level of detail for system design and - security controls

-

organizational processes for developing acquisition contracts

-

automated mechanisms supporting and/or implementing development of system - design details

- - - - - Development Methods / Techniques / Practices - - - - SA-4(3) - sa-04.03 - -

The organization requires the developer of the information system, system - component, or information system service to demonstrate the use of a system - development life cycle that includes .

- - -

Following a well-defined system development life cycle that includes - state-of-the-practice software development methods, systems/security engineering - methods, quality control processes, and testing, evaluation, and validation - techniques helps to reduce the number and severity of latent errors within - information systems, system components, and information system services. Reducing - the number/severity of such errors reduces the number of vulnerabilities in those - systems, components, and services.

- SA-12 - - -

Determine if the organization:

- - SA-4(3)[1] -

defines state-of-the-practice system/security engineering methods to be - included in the system development life cycle employed by the developer of the - information system, system component, or information system service;

- - - SA-4(3)[2] -

defines software development methods to be included in the system development - life cycle employed by the developer of the information system, system - component, or information system service;

- - - SA-4(3)[3] -

defines testing/evaluation/validation techniques to be included in the system - development life cycle employed by the developer of the information system, - system component, or information system service;

- - - SA-4(3)[4] -

defines quality control processes to be included in the system development life - cycle employed by the developer of the information system, system component, or - information system service;

- - - SA-4(3)[5] -

requires the developer of the information system, system component, or - information system service to demonstrate the use of a system development life - cycle that includes:

- - SA-4(3)[5][a] -

organization-defined state-of-the-practice system/security engineering - methods;

- - - SA-4(3)[5][b] -

organization-defined software development methods;

- - - SA-4(3)[5][c] -

organization-defined testing/evaluation/validation techniques; and

- - - SA-4(3)[5][d] -

organization-defined quality control processes.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

list of system/security engineering methods to be included in developer’s - system development life cycle process

-

list of software development methods to be included in developer’s system - development life cycle process

-

list of testing/evaluation/validation techniques to be included in developer’s - system development life cycle process

-

list of quality control processes to be included in developer’s system - development life cycle process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with information security and system life cycle - responsibilities

-

information system developer or service provider

- - - - TEST - -

Organizational processes for development methods, techniques, and processes

- - - - - Assignment of Components to Systems - SA-4(4) - sa-04.04 - Withdrawn - CM-8 (9) - - - System / Component / Service Configurations - - - - SA-4(5) - sa-04.05 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Deliver the system, component, or service with implemented; and

- - - (b) -

Use the configurations as the default for any subsequent system, component, or - service reinstallation or upgrade.

- - - -

Security configurations include, for example, the U.S. Government Configuration - Baseline (USGCB) and any limitations on functions, ports, protocols, and services. - Security characteristics include, for example, requiring that all default - passwords have been changed.

- CM-8 - - -

Determine if the organization:

- - SA-4(5)(a) - - SA-4(5)(a)[1] -

defines security configurations to be implemented by the developer of the - information system, system component, or information system service;

- - - SA-4(5)(a)[2] -

requires the developer of the information system, system component, or - information system service to deliver the system, component, or service with - organization-defined security configurations implemented; and

- - SA-4(5)(a) - - - SA-4(5)(b) -

requires the developer of the information system, system component, or - information system service to use the configurations as the default for any - subsequent system, component, or service reinstallation or upgrade.

- SA-4(5)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

security configurations to be implemented by developer of the information - system, system component, or information system service

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developer or service provider

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms used to verify that the configuration of the information - system, component, or service, as delivered, is as specified

- - - - - Use of Information Assurance Products - SA-4(6) - sa-04.06 - -

The organization:

- - (a) -

Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) - information assurance (IA) and IA-enabled information technology products that - compose an NSA-approved solution to protect classified information when the - networks used to transmit the information are at a lower classification level - than the information being transmitted; and

- - - (b) -

Ensures that these products have been evaluated and/or validated by NSA or in - accordance with NSA-approved procedures.

- - - -

COTS IA or IA-enabled information technology products used to protect classified - information by cryptographic means may be required to use NSA-approved key - management.

- SC-8 - SC-12 - SC-13 - - -

Determine if the organization:

- - SA-4(6)(a) -

employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) - information assurance (IA) and IA-enabled information technology products that - compose an NSA-approved solution to protect classified information when the - networks used to transmit the information are at a lower classification level - than the information being transmitted; and

- SA-4(6)(a) - - - SA-4(6)(b) -

ensures that these products have been evaluated and/or validated by the NSA or - in accordance with NSA-approved procedures.

- SA-4(6)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

security configurations to be implemented by developer of the information - system, system component, or information system service

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel responsible for ensuring information assurance - products are NSA-approved and are evaluated and/or validated products in - accordance with NSA-approved procedures

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for selecting and employing evaluated and/or validated - information assurance products and services that compose an NSA-approved - solution to protect classified information

- - - - - Niap-approved Protection Profiles - SA-4(7) - sa-04.07 - -

The organization:

- - (a) -

Limits the use of commercially provided information assurance (IA) and - IA-enabled information technology products to those products that have been - successfully evaluated against a National Information Assurance partnership - (NIAP)-approved Protection Profile for a specific technology type, if such a - profile exists; and

- - - (b) -

Requires, if no NIAP-approved Protection Profile exists for a specific - technology type but a commercially provided information technology product - relies on cryptographic functionality to enforce its security policy, that the - cryptographic module is FIPS-validated.

- - - - SC-12 - SC-13 - - -

Determine if the organization:

- - SA-4(7)(a) -

limits the use of commercially-provided information assurance (IA) and - IA-enabled information technology products to those products that have been - successfully evaluated against a National Information Assurance partnership - (NIAP)-approved Protection Profile for a specific technology type, if such a - profile exists; and

- SA-4(7)(a) - - - SA-4(7)(b) -

requires, if no NIAP-approved Protection Profile exists for a specific - technology type but a commercially provided information technology product - relies on cryptographic functionality to enforce its security policy, that the - cryptographic module is FIPS-validated.

- SA-4(7)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documents

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

NAIP-approved protection profiles

-

FIPS-validation information for cryptographic functionality

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel responsible for ensuring information assurance - products are have been evaluated against a NIAP-approved protection profile or - for ensuring products relying on cryptographic functionality are - FIPS-validated

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for selecting and employing products/services - evaluated against a NIAP-approved protection profile or FIPS-validated - products

- - - - - Continuous Monitoring Plan - - - - SA-4(8) - sa-04.08 - -

The organization requires the developer of the information system, system - component, or information system service to produce a plan for the continuous - monitoring of security control effectiveness that contains .

- - -

The objective of continuous monitoring plans is to determine if the complete set - of planned, required, and deployed security controls within the information - system, system component, or information system service continue to be effective - over time based on the inevitable changes that occur. Developer continuous - monitoring plans include a sufficient level of detail such that the information - can be incorporated into the continuous monitoring strategies and programs - implemented by organizations.

- CA-7 - - -

Determine if the organization:

- - SA-4(8)[1] -

defines the level of detail the developer of the information system, system - component, or information system service is required to provide when producing - a plan for the continuous monitoring of security control effectiveness; and

- - - SA-4(8)[2] -

requires the developer of the information system, system component, or - information system service to produce a plan for the continuous monitoring of - security control effectiveness that contains the organization-defined level of - detail.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing developer continuous monitoring plans

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

developer continuous monitoring plans

-

security assessment plans

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Vendor processes for continuous monitoring

-

automated mechanisms supporting and/or implementing developer continuous - monitoring

- - - - - Functions / Ports / Protocols / Services in Use - SA-4(9) - sa-04.09 - -

The organization requires the developer of the information system, system - component, or information system service to identify early in the system - development life cycle, the functions, ports, protocols, and services intended for - organizational use.

- - -

The identification of functions, ports, protocols, and services early in the - system development life cycle (e.g., during the initial requirements definition - and design phases) allows organizations to influence the design of the information - system, information system component, or information system service. This early - involvement in the life cycle helps organizations to avoid or minimize the use of - functions, ports, protocols, or services that pose unnecessarily high risks and - understand the trade-offs involved in blocking specific ports, protocols, or - services (or when requiring information system service providers to do so). Early - identification of functions, ports, protocols, and services avoids costly - retrofitting of security controls after the information system, system component, - or information system service has been implemented. SA-9 describes requirements - for external information system services with organizations identifying which - functions, ports, protocols, and services are provided from external sources.

- CM-7 - SA-9 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to identify early in the system - development life cycle:

- - SA-4(9)[1] -

the functions intended for organizational use;

- - - SA-4(9)[2] -

the ports intended for organizational use;

- - - SA-4(9)[3] -

the protocols intended for organizational use; and

- - - SA-4(9)[4] -

the services intended for organizational use.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

information system design documentation

-

information system documentation including functions, ports, protocols, and - services intended for organizational use

-

acquisition contracts for information systems or services

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

organizational security requirements, descriptions, and criteria for developers - of information systems, system components, and information system services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system/network administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - - Use of Approved PIV Products - SA-4(10) - sa-04.10 - -

The organization employs only information technology products on the FIPS - 201-approved products list for Personal Identity Verification (PIV) capability - implemented within organizational information systems.

- - - IA-2 - IA-8 - - -

Determine if the organization employs only information technology products on the - FIPS 201-approved products list for Personal Identity Verification (PIV) - capability implemented within organizational information systems.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing the integration of information security requirements, - descriptions, and criteria into the acquisition process

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with responsibility for ensuring only FIPS - 201-approved products are implemented

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for selecting and employing FIPS 201-approved - products

- - - - - - Information System Documentation - - - - - - - SA-5 - sa-05 - -

The organization:

- - a. -

Obtains administrator documentation for the information system, system component, - or information system service that describes:

- - 1. -

Secure configuration, installation, and operation of the system, component, or - service;

- - - 2. -

Effective use and maintenance of security functions/mechanisms; and

- - - 3. -

Known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - b. -

Obtains user documentation for the information system, system component, or - information system service that describes:

- - 1. -

User-accessible security functions/mechanisms and how to effectively use those - security functions/mechanisms;

- - - 2. -

Methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner; and

- - - 3. -

User responsibilities in maintaining the security of the system, component, or - service;

- - - - c. -

Documents attempts to obtain information system, system component, or information - system service documentation when such documentation is either unavailable or - nonexistent and takes in response;

- - - d. -

Protects documentation as required, in accordance with the risk management - strategy; and

- - - e. -

Distributes documentation to .

- - - -

This control helps organizational personnel understand the implementation and - operation of security controls associated with information systems, system - components, and information system services. Organizations consider establishing - specific measures to determine the quality/completeness of the content provided. The - inability to obtain needed documentation may occur, for example, due to the age of - the information system/component or lack of support from developers and contractors. - In those situations, organizations may need to recreate selected documentation if - such documentation is essential to the effective implementation or operation of - security controls. The level of protection provided for selected information system, - component, or service documentation is commensurate with the security category or - classification of the system. For example, documentation associated with a key DoD - weapons system or command and control system would typically require a higher level - of protection than a routine administrative system. Documentation that addresses - information system vulnerabilities may also require an increased level of protection. - Secure operation of the information system, includes, for example, initially starting - the system and resuming secure system operation after any lapse in system - operation.

- CM-6 - CM-8 - PL-2 - PL-4 - PS-2 - SA-3 - SA-4 - - -

Determine if the organization:

- - SA-5(a) -

obtains administrator documentation for the information system, system component, - or information system service that describes:

- - SA-5(a)(1) - - SA-5(a)(1)[1] -

secure configuration of the system, system component, or service;

- - - SA-5(a)(1)[2] -

secure installation of the system, system component, or service;

- - - SA-5(a)(1)[3] -

secure operation of the system, system component, or service;

- - - - SA-5(a)(2) - - SA-5(a)(2)[1] -

effective use of the security features/mechanisms;

- - - SA-5(a)(2)[2] -

effective maintenance of the security features/mechanisms;

- - - - SA-5(a)(3) -

known vulnerabilities regarding configuration and use of administrative (i.e., - privileged) functions;

- - - - SA-5(b) -

obtains user documentation for the information system, system component, or - information system service that describes:

- - SA-5(b)(1) - - SA-5(b)(1)[1] -

user-accessible security functions/mechanisms;

- - - SA-5(b)(1)[2] -

how to effectively use those functions/mechanisms;

- - - - SA-5(b)(2) -

methods for user interaction, which enables individuals to use the system, - component, or service in a more secure manner;

- - - SA-5(b)(3) -

user responsibilities in maintaining the security of the system, component, or - service;

- - - - SA-5(c) - - SA-5(c)[1] -

defines actions to be taken after documented attempts to obtain information - system, system component, or information system service documentation when such - documentation is either unavailable or nonexistent;

- - - SA-5(c)[2] -

documents attempts to obtain information system, system component, or - information system service documentation when such documentation is either - unavailable or nonexistent;

- - - SA-5(c)[3] -

takes organization-defined actions in response;

- - - - SA-5(d) -

protects documentation as required, in accordance with the risk management - strategy;

- - - SA-5(e) - - SA-5(e)[1] -

defines personnel or roles to whom documentation is to be distributed; and

- - - SA-5(e)[2] -

distributes documentation to organization-defined personnel or roles.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing information system documentation

-

information system documentation including administrator and user guides

-

records documenting attempts to obtain unavailable or nonexistent information - system documentation

-

list of actions to be taken in response to documented attempts to obtain - information system, system component, or information system service - documentation

-

risk management strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

system administrators

-

organizational personnel operating, using, and/or maintaining the information - system

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for obtaining, protecting, and distributing information - system administrator and user documentation

- - - - Functional Properties of Security Controls - SA-5(1) - sa-05.01 - Withdrawn - SA-4 (1) - - - Security-relevant External System Interfaces - SA-5(2) - sa-05.02 - Withdrawn - SA-4 (2) - - - High-level Design - SA-5(3) - sa-05.03 - Withdrawn - SA-4 (2) - - - Low-level Design - SA-5(4) - sa-05.04 - Withdrawn - SA-4 (2) - - - Source Code - SA-5(5) - sa-05.05 - Withdrawn - SA-4 (2) - - - - Software Usage Restrictions - SA-6 - sa-06 - Withdrawn - CM-10 - SI-7 - - - User-installed Software - SA-7 - sa-07 - Withdrawn - CM-11 - SI-7 - - - Security Engineering Principles - SA-8 - sa-08 - NIST Special Publication 800-27 - -

The organization applies information system security engineering principles in the - specification, design, development, implementation, and modification of the - information system.

- - -

Organizations apply security engineering principles primarily to new development - information systems or systems undergoing major upgrades. For legacy systems, - organizations apply security engineering principles to system upgrades and - modifications to the extent feasible, given the current state of hardware, software, - and firmware within those systems. Security engineering principles include, for - example: (i) developing layered protections; (ii) establishing sound security policy, - architecture, and controls as the foundation for design; (iii) incorporating security - requirements into the system development life cycle; (iv) delineating physical and - logical security boundaries; (v) ensuring that system developers are trained on how - to build secure software; (vi) tailoring security controls to meet organizational and - operational needs; (vii) performing threat modeling to identify use cases, threat - agents, attack vectors, and attack patterns as well as compensating controls and - design patterns needed to mitigate risk; and (viii) reducing risk to acceptable - levels, thus enabling informed risk management decisions.

- PM-7 - SA-3 - SA-4 - SA-17 - SC-2 - SC-3 - - -

Determine if the organization applies information system security engineering - principles in:

- - SA-8[1] -

the specification of the information system;

- - - SA-8[2] -

the design of the information system;

- - - SA-8[3] -

the development of the information system;

- - - SA-8[4] -

the implementation of the information system; and

- - - SA-8[5] -

the modification of the information system.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing security engineering principles used in the specification, - design, development, implementation, and modification of the information - system

-

information system design documentation

-

information security requirements and specifications for the information - system

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with acquisition/contracting responsibilities

-

organizational personnel with responsibility for determining information system - security requirements

-

organizational personnel with information system specification, design, - development, implementation, and modification responsibilities

-

information system developers

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for applying security engineering principles in - information system specification, design, development, implementation, and - modification

-

automated mechanisms supporting the application of security engineering principles - in information system specification, design, development, implementation, and - modification

- - - - - External Information System Services - - - - - - - SA-9 - sa-09 - NIST Special Publication 800-35 - -

The organization:

- - a. -

Requires that providers of external information system services comply with - organizational information security requirements and employ in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and guidance;

- - - b. -

Defines and documents government oversight and user roles and responsibilities - with regard to external information system services; and

- - - c. -

Employs to monitor security control compliance by - external service providers on an ongoing basis.

- - - -

External information system services are services that are implemented outside of the - authorization boundaries of organizational information systems. This includes - services that are used by, but not a part of, organizational information systems. - FISMA and OMB policy require that organizations using external service providers that - are processing, storing, or transmitting federal information or operating information - systems on behalf of the federal government ensure that such providers meet the same - security requirements that federal agencies are required to meet. Organizations - establish relationships with external service providers in a variety of ways - including, for example, through joint ventures, business partnerships, contracts, - interagency agreements, lines of business arrangements, licensing agreements, and - supply chain exchanges. The responsibility for managing risks from the use of - external information system services remains with authorizing officials. For services - external to organizations, a chain of trust requires that organizations establish and - retain a level of confidence that each participating provider in the potentially - complex consumer-provider relationship provides adequate protection for the services - rendered. The extent and nature of this chain of trust varies based on the - relationships between organizations and the external providers. Organizations - document the basis for trust relationships so the relationships can be monitored over - time. External information system services documentation includes government, service - providers, end user security roles and responsibilities, and service-level - agreements. Service-level agreements define expectations of performance for security - controls, describe measurable outcomes, and identify remedies and response - requirements for identified instances of noncompliance.

- CA-3 - IR-7 - PS-7 - - -

Determine if the organization:

- - SA-9(a) - - SA-9(a)[1] -

defines security controls to be employed by providers of external information - system services;

- - - SA-9(a)[2] -

requires that providers of external information system services comply with - organizational information security requirements;

- - - SA-9(a)[3] -

requires that providers of external information system services employ - organization-defined security controls in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, standards, and - guidance;

- - - - SA-9(b) - - SA-9(b)[1] -

defines and documents government oversight with regard to external information - system services;

- - - SA-9(b)[2] -

defines and documents user roles and responsibilities with regard to external - information system services;

- - - - SA-9(c) - - SA-9(c)[1] -

defines processes, methods, and techniques to be employed to monitor security - control compliance by external service providers; and

- - - SA-9(c)[2] -

employs organization-defined processes, methods, and techniques to monitor - security control compliance by external service providers on an ongoing - basis.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

procedures addressing methods and techniques for monitoring security control - compliance by external service providers of information system services

-

acquisition contracts, service-level agreements

-

organizational security requirements and security specifications for external - provider services

-

security control assessment evidence from external providers of information system - services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for monitoring security control compliance by external - service providers on an ongoing basis

-

automated mechanisms for monitoring security control compliance by external - service providers on an ongoing basis

- - - - Risk Assessments / Organizational Approvals - - - - SA-9(1) - sa-09.01 - -

The organization:

- - (a) -

Conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services; and

- - - (b) -

Ensures that the acquisition or outsourcing of dedicated information security - services is approved by .

- - - -

Dedicated information security services include, for example, incident monitoring, - analysis and response, operation of information security-related devices such as - firewalls, or key management services.

- CA-6 - RA-3 - - -

Determine if the organization:

- - SA-9(1)(a) -

conducts an organizational assessment of risk prior to the acquisition or - outsourcing of dedicated information security services;

- SA-9(1)(a) - - - SA-9(1)(b) - - SA-9(1)(b)[1] -

defines personnel or roles designated to approve the acquisition or - outsourcing of dedicated information security services; and

- - - SA-9(1)(b)[2] -

ensures that the acquisition or outsourcing of dedicated information - security services is approved by organization-defined personnel or - roles.

- - SA-9(1)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

risk assessment reports

-

approval records for acquisition or outsourcing of dedicated information - security services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information system security responsibilities

-

external providers of information system services

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for conducting a risk assessment prior to acquiring or - outsourcing dedicated information security services

-

organizational processes for approving the outsourcing of dedicated information - security services

-

automated mechanisms supporting and/or implementing risk assessment

-

automated mechanisms supporting and/or implementing approval processes

- - - - - Identification of Functions / Ports / Protocols / Services - - - - SA-9(2) - sa-09.02 - -

The organization requires providers of to - identify the functions, ports, protocols, and other services required for the use - of such services.

- - -

Information from external service providers regarding the specific functions, - ports, protocols, and services used in the provision of such services can be - particularly useful when the need arises to understand the trade-offs involved in - restricting certain functions/services or blocking certain ports/protocols.

- CM-7 - - -

Determine if the organization:

- - SA-9(2)[1] -

defines external information system services for which providers of such - services are to identify the functions, ports, protocols, and other services - required for the use of such services;

- - - SA-9(2)[2] -

requires providers of organization-defined external information system services - to identify:

- - SA-9(2)[2][a] -

the functions required for the use of such services;

- - - SA-9(2)[2][b] -

the ports required for the use of such services;

- - - SA-9(2)[2][c] -

the protocols required for the use of such services; and

- - - SA-9(2)[2][d] -

the other services required for the use of such services.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation, service-level agreements

-

organizational security requirements and security specifications for external - service providers

-

list of required functions, ports, protocols, and other services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

external providers of information system services

- - - - - Establish / Maintain Trust Relationship with Providers - - - - SA-9(3) - sa-09.03 - -

The organization establishes, documents, and maintains trust relationships with - external service providers based on .

- - -

The degree of confidence that the risk from using external services is at an - acceptable level depends on the trust that organizations place in the external - providers, individually or in combination. Trust relationships can help - organization to gain increased levels of confidence that participating service - providers are providing adequate protection for the services rendered. Such - relationships can be complicated due to the number of potential entities - participating in the consumer-provider interactions, subordinate relationships and - levels of trust, and the types of interactions between the parties. In some cases, - the degree of trust is based on the amount of direct control organizations are - able to exert on external service providers with regard to employment of security - controls necessary for the protection of the service/information and the evidence - brought forth as to the effectiveness of those controls. The level of control is - typically established by the terms and conditions of the contracts or - service-level agreements and can range from extensive control (e.g., negotiating - contracts or agreements that specify security requirements for the providers) to - very limited control (e.g., using contracts or service-level agreements to obtain - commodity services such as commercial telecommunications services). In other - cases, levels of trust are based on factors that convince organizations that - required security controls have been employed and that determinations of control - effectiveness exist. For example, separately authorized external information - system services provided to organizations through well-established business - relationships may provide degrees of trust in such services within the tolerable - risk range of the organizations using the services. External service providers may - also outsource selected services to other external entities, making the trust - relationship more difficult and complicated to manage. Depending on the nature of - the services, organizations may find it very difficult to place significant trust - in external providers. This is not due to any inherent untrustworthiness on the - part of providers, but to the intrinsic level of risk in the services.

- - -

Determine if the organization:

- - SA-9(3)[1] -

defines requirements, properties, factors, or conditions defining acceptable - trust relationships;

- - - SA-9(3)[2] -

based on organization-defined requirements, properties, factors, or conditions - defining acceptable trust relationships:

- - SA-9(3)[2][a] -

establishes trust relationships with external service providers;

- - - SA-9(3)[2][b] -

documents trust relationships with external service providers; and

- - - SA-9(3)[2][c] -

maintains trust relationships with external service providers.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

organizational security requirements, properties, factors, or conditions - defining acceptable trust relationships

-

documentation of trust relationships with external service providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - - Consistent Interests of Consumers and Providers - - - - - - - SA-9(4) - sa-09.04 - -

The organization employs to ensure that the - interests of are consistent with and reflect - organizational interests.

- - -

As organizations increasingly use external service providers, the possibility - exists that the interests of the service providers may diverge from organizational - interests. In such situations, simply having the correct technical, procedural, or - operational safeguards in place may not be sufficient if the service providers - that implement and control those safeguards are not operating in a manner - consistent with the interests of the consuming organizations. Possible actions - that organizations might take to address such concerns include, for example, - requiring background checks for selected service provider personnel, examining - ownership records, employing only trustworthy service providers (i.e., providers - with which organizations have had positive experiences), and conducting - periodic/unscheduled visits to service provider facilities.

- - -

Determine if the organization:

- - SA-9(4)[1] -

defines external service providers whose interests are to be consistent with - and reflect organizational interests;

- - - SA-9(4)[2] -

defines security safeguards to be employed to ensure that the interests of - organization-defined external service providers are consistent with and reflect - organizational interests; and

- - - SA-9(4)[3] -

employs organization-defined security safeguards to ensure that the interests - of organization-defined external service providers are consistent with and - reflect organizational interests.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

organizational security requirements/safeguards for external service - providers

-

personnel security policies for external service providers

-

assessments performed on external service providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - TEST - -

Organizational processes for defining and employing safeguards to ensure - consistent interests with external service providers

-

automated mechanisms supporting and/or implementing safeguards to ensure - consistent interests with external service providers

- - - - - Processing, Storage, and Service Location - - - - - - - - - - SA-9(5) - sa-09.05 - -

The organization restricts the location of to - based on .

- - -

The location of information processing, information/data storage, or information - system services that are critical to organizations can have a direct impact on the - ability of those organizations to successfully execute their missions/business - functions. This situation exists when external providers control the location of - processing, storage or services. The criteria external providers use for the - selection of processing, storage, or service locations may be different from - organizational criteria. For example, organizations may want to ensure that - data/information storage locations are restricted to certain locations to - facilitate incident response activities (e.g., forensic analyses, after-the-fact - investigations) in case of information security breaches/compromises. Such - incident response activities may be adversely affected by the governing laws or - protocols in the locations where processing and storage occur and/or the locations - from which information system services emanate.

- - -

Determine if the organization:

- - SA-9(5)[1] -

defines locations where organization-defined information processing, - information/data, and/or information system services are to be restricted;

- - - SA-9(5)[2] -

defines requirements or conditions to restrict the location of information - processing, information/data, and/or information system services;

- - - SA-9(5)[3] -

restricts the location of one or more of the following to organization-defined - locations based on organization-defined requirements or conditions:

- - SA-9(5)[3][a] -

information processing;

- - - SA-9(5)[3][b] -

information/data; and/or

- - - SA-9(5)[3][c] -

information services.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing external information system services

-

acquisition contracts for the information system, system component, or - information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

restricted locations for information processing

-

information/data and/or information system services

-

information processing, information/data, and/or information system services to - be maintained in restricted locations

-

organizational security requirements or conditions for external providers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

external providers of information system services

- - - - TEST - -

Organizational processes for defining requirements to restrict locations of - information processing, information/data, or information services

-

organizational processes for ensuring the location is restricted in accordance - with requirements or conditions

- - - - - - Developer Configuration Management - - - - - - - - - - SA-10 - sa-10 - NIST Special Publication 800-128 - -

The organization requires the developer of the information system, system component, - or information system service to:

- - a. -

Perform configuration management during system, component, or service ;

- - - b. -

Document, manage, and control the integrity of changes to ;

- - - c. -

Implement only organization-approved changes to the system, component, or - service;

- - - d. -

Document approved changes to the system, component, or service and the potential - security impacts of such changes; and

- - - e. -

Track security flaws and flaw resolution within the system, component, or service - and report findings to .

- - - -

This control also applies to organizations conducting internal information systems - development and integration. Organizations consider the quality and completeness of - the configuration management activities conducted by developers as evidence of - applying effective security safeguards. Safeguards include, for example, protecting - from unauthorized modification or destruction, the master copies of all material used - to generate security-relevant portions of the system hardware, software, and - firmware. Maintaining the integrity of changes to the information system, information - system component, or information system service requires configuration control - throughout the system development life cycle to track authorized changes and prevent - unauthorized changes. Configuration items that are placed under configuration - management (if existence/use is required by other security controls) include: the - formal model; the functional, high-level, and low-level design specifications; other - design data; implementation documentation; source code and hardware schematics; the - running version of the object code; tools for comparing new versions of - security-relevant hardware descriptions and software/firmware source code with - previous versions; and test fixtures and documentation. Depending on the - mission/business needs of organizations and the nature of the contractual - relationships in place, developers may provide configuration management support - during the operations and maintenance phases of the life cycle.

- CM-3 - CM-4 - CM-9 - SA-12 - SI-2 - - -

Determine if the organization:

- - SA-10(a) -

requires the developer of the information system, system component, or information - system service to perform configuration management during one or more of the - following:

- - SA-10(a)[1] -

system, component, or service design;

- - - SA-10(a)[2] -

system, component, or service development;

- - - SA-10(a)[3] -

system, component, or service implementation; and/or

- - - SA-10(a)[4] -

system, component, or service operation;

- - - - SA-10(b) - - SA-10(b)[1] -

defines configuration items to be placed under configuration management;

- - - SA-10(b)[2] -

requires the developer of the information system, system component, or - information system service to:

- - SA-10(b)[2][a] -

document the integrity of changes to organization-defined items under - configuration management;

- - - SA-10(b)[2][b] -

manage the integrity of changes to organization-defined items under - configuration management;

- - - SA-10(b)[2][c] -

control the integrity of changes to organization-defined items under - configuration management;

- - - - - SA-10(c) -

requires the developer of the information system, system component, or information - system service to implement only organization-approved changes to the system, - component, or service;

- - - SA-10(d) -

requires the developer of the information system, system component, or information - system service to document:

- - SA-10(d)[1] -

approved changes to the system, component, or service;

- - - SA-10(d)[2] -

the potential security impacts of such changes;

- - - - SA-10(e) - - SA-10(e)[1] -

defines personnel to whom findings, resulting from security flaws and flaw - resolution tracked within the system, component, or service, are to be - reported;

- - - SA-10(e)[2] -

requires the developer of the information system, system component, or - information system service to:

- - SA-10(e)[2][a] -

track security flaws within the system, component, or service;

- - - SA-10(e)[2][b] -

track security flaw resolution within the system, component, or service; - and

- - - SA-10(e)[2][c] -

report findings to organization-defined personnel.

- - - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer configuration management plan

-

security flaw and flaw resolution tracking records

-

system change authorization records

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - Software / Firmware Integrity Verification - SA-10(1) - sa-10.01 - -

The organization requires the developer of the information system, system - component, or information system service to enable integrity verification of - software and firmware components.

- - -

This control enhancement allows organizations to detect unauthorized changes to - software and firmware components through the use of tools, techniques, and/or - mechanisms provided by developers. Integrity checking mechanisms can also address - counterfeiting of software and firmware components. Organizations verify the - integrity of software and firmware components, for example, through secure one-way - hashes provided by developers. Delivered software and firmware components also - include any updates to such components.

- SI-7 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to enable integrity verification - of software and firmware components.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system

-

system component, or information system service

-

system developer configuration management plan

-

software and firmware integrity verification records

-

system change authorization records

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - Alternative Configuration Management Processes - SA-10(2) - sa-10.02 - -

The organization provides an alternate configuration management process using - organizational personnel in the absence of a dedicated developer configuration - management team.

- - -

Alternate configuration management processes may be required, for example, when - organizations use commercial off-the-shelf (COTS) information technology products. - Alternate configuration management processes include organizational personnel - that: (i) are responsible for reviewing/approving proposed changes to information - systems, system components, and information system services; and (ii) conduct - security impact analyses prior to the implementation of any changes to systems, - components, or services (e.g., a configuration control board that considers - security impacts of changes during development and includes representatives of - both the organization and the developer, when applicable).

- - -

Determine if the organization provides an alternative configuration management - process with organizational personnel in the absence of a dedicated developer - configuration management team.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

procedures addressing configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system

-

system component, or information system service

-

system developer configuration management plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - Hardware Integrity Verification - SA-10(3) - sa-10.03 - -

The organization requires the developer of the information system, system - component, or information system service to enable integrity verification of - hardware components.

- - -

This control enhancement allows organizations to detect unauthorized changes to - hardware components through the use of tools, techniques, and/or mechanisms - provided by developers. Organizations verify the integrity of hardware components, - for example, with hard-to-copy labels and verifiable serial numbers provided by - developers, and by requiring the implementation of anti-tamper technologies. - Delivered hardware components also include updates to such components.

- SI-7 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to enable integrity verification - of hardware components.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer configuration management plan

-

hardware integrity verification records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - Trusted Generation - SA-10(4) - sa-10.04 - -

The organization requires the developer of the information system, system - component, or information system service to employ tools for comparing newly - generated versions of security-relevant hardware descriptions and - software/firmware source and object code with previous versions.

- - -

This control enhancement addresses changes to hardware, software, and firmware - components between versions during development. In contrast, SA-10 (1) and SA-10 - (3) allow organizations to detect unauthorized changes to hardware, software, and - firmware components through the use of tools, techniques, and/or mechanisms - provided by developers.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ tools for comparing - newly generated versions of:

- - SA-10(4)[1] -

security-relevant hardware descriptions with previous versions; and

- - - SA-10(4)[2] -

software/firmware source and object code with previous versions.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer configuration management plan

-

change control records

-

configuration management records

-

configuration control audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - Mapping Integrity for Version Control - SA-10(5) - sa-10.05 - -

The organization requires the developer of the information system, system - component, or information system service to maintain the integrity of the mapping - between the master build data (hardware drawings and software/firmware code) - describing the current version of security-relevant hardware, software, and - firmware and the on-site master copy of the data for the current version.

- - -

This control enhancement addresses changes to hardware, software, and firmware - components during initial development and during system life cycle updates. - Maintaining the integrity between the master copies of security-relevant hardware, - software, and firmware (including designs and source code) and the equivalent data - in master copies on-site in operational environments is essential to ensure the - availability of organizational information systems supporting critical missions - and/or business functions.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to maintain the integrity of the - mapping between the master build data (hardware drawings and software/firmware - code) describing the current version of security-relevant hardware, software, and - firmware and the on-site master copy of the data for the current version.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer configuration management plan

-

change control records

-

configuration management records

-

version control change/update records

-

integrity verification records between master copies of security-relevant - hardware, software, and firmware (including designs and source code)

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - Trusted Distribution - SA-10(6) - sa-10.06 - -

The organization requires the developer of the information system, system - component, or information system service to execute procedures for ensuring that - security-relevant hardware, software, and firmware updates distributed to the - organization are exactly as specified by the master copies.

- - -

The trusted distribution of security-relevant hardware, software, and firmware - updates helps to ensure that such updates are faithful representations of the - master copies maintained by the developer and have not been tampered with during - distribution.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to execute procedures for ensuring - that security-relevant hardware, software, and firmware updates distributed to the - organization are exactly as specified by the master copies.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer configuration management

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system

-

system component, or information system service

-

system developer configuration management plan

-

change control records

-

configuration management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer configuration management

-

automated mechanisms supporting and/or implementing the monitoring of developer - configuration management

- - - - - - Developer Security Testing and Evaluation - - - - - - - SA-11 - sa-11 - ISO/IEC 15408 - NIST Special Publication 800-53A - http://nvd.nist.gov - http://cwe.mitre.org - http://cve.mitre.org - http://capec.mitre.org - -

The organization requires the developer of the information system, system component, - or information system service to:

- - a. -

Create and implement a security assessment plan;

- - - b. -

Perform testing/evaluation at ;

- - - c. -

Produce evidence of the execution of the security assessment plan and the results - of the security testing/evaluation;

- - - d. -

Implement a verifiable flaw remediation process; and

- - - e. -

Correct flaws identified during security testing/evaluation.

- - - -

Developmental security testing/evaluation occurs at all post-design phases of the - system development life cycle. Such testing/evaluation confirms that the required - security controls are implemented correctly, operating as intended, enforcing the - desired security policy, and meeting established security requirements. Security - properties of information systems may be affected by the interconnection of system - components or changes to those components. These interconnections or changes (e.g., - upgrading or replacing applications and operating systems) may adversely affect - previously implemented security controls. This control provides additional types of - security testing/evaluation that developers can conduct to reduce or eliminate - potential flaws. Testing custom software applications may require approaches such as - static analysis, dynamic analysis, binary analysis, or a hybrid of the three - approaches. Developers can employ these analysis approaches in a variety of tools - (e.g., web-based application scanners, static analysis tools, binary analyzers) and - in source code reviews. Security assessment plans provide the specific activities - that developers plan to carry out including the types of analyses, testing, - evaluation, and reviews of software and firmware components, the degree of rigor to - be applied, and the types of artifacts produced during those processes. The depth of - security testing/evaluation refers to the rigor and level of detail associated with - the assessment process (e.g., black box, gray box, or white box testing). The - coverage of security testing/evaluation refers to the scope (i.e., number and type) - of the artifacts included in the assessment process. Contracts specify the acceptance - criteria for security assessment plans, flaw remediation processes, and the evidence - that the plans/processes have been diligently applied. Methods for reviewing and - protecting assessment plans, evidence, and documentation are commensurate with the - security category or classification level of the information system. Contracts may - specify documentation protection requirements.

- CA-2 - CM-4 - SA-3 - SA-4 - SA-5 - SI-2 - - -

Determine if the organization:

- - SA-11(a) -

requires the developer of the information system, system component, or information - system service to create and implement a security plan;

- - - SA-11(b) - - SA-11(b)[1] -

defines the depth of testing/evaluation to be performed by the developer of the - information system, system component, or information system service;

- - - SA-11(b)[2] -

defines the coverage of testing/evaluation to be performed by the developer of - the information system, system component, or information system service;

- - - SA-11(b)[3] -

requires the developer of the information system, system component, or - information system service to perform one or more of the following - testing/evaluation at the organization-defined depth and coverage:

- - SA-11(b)[3][a] -

unit testing/evaluation;

- - - SA-11(b)[3][b] -

integration testing/evaluation;

- - - SA-11(b)[3][c] -

system testing/evaluation; and/or

- - - SA-11(b)[3][d] -

regression testing/evaluation;

- - - - - SA-11(c) -

requires the developer of the information system, system component, or information - system service to produce evidence of:

- - SA-11(c)[1] -

the execution of the security assessment plan;

- - - SA-11(c)[2] -

the results of the security testing/evaluation;

- - - - SA-11(d) -

requires the developer of the information system, system component, or information - system service to implement a verifiable flaw remediation process; and

- - - SA-11(e) -

requires the developer of the information system, system component, or information - system service to correct flaws identified during security testing/evaluation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer security test plans

-

records of developer security testing results for the information system, system - component, or information system service

-

security flaw and remediation tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - Static Code Analysis - SA-11(1) - sa-11.01 - -

The organization requires the developer of the information system, system - component, or information system service to employ static code analysis tools to - identify common flaws and document the results of the analysis.

- - -

Static code analysis provides a technology and methodology for security reviews. - Such analysis can be used to identify security vulnerabilities and enforce - security coding practices. Static code analysis is most effective when used early - in the development process, when each code change can be automatically scanned for - potential weaknesses. Static analysis can provide clear remediation guidance along - with defects to enable developers to fix such defects. Evidence of correct - implementation of static analysis can include, for example, aggregate defect - density for critical defect types, evidence that defects were inspected by - developers or security professionals, and evidence that defects were fixed. An - excessively high density of ignored findings (commonly referred to as ignored or - false positives) indicates a potential problem with the analysis process or tool. - In such cases, organizations weigh the validity of the evidence against evidence - from other sources.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ static code analysis - tools to identify common flaws and document the results of the analysis.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test plans

-

system developer security testing results

-

security flaw and remediation tracking records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

-

static code analysis tools

- - - - - Threat and Vulnerability Analyses - SA-11(2) - sa-11.02 - -

The organization requires the developer of the information system, system - component, or information system service to perform threat and vulnerability - analyses and subsequent testing/evaluation of the as-built system, component, or - service.

- - -

Applications may deviate significantly from the functional and design - specifications created during the requirements and design phases of the system - development life cycle. Therefore, threat and vulnerability analyses of - information systems, system components, and information system services prior to - delivery are critical to the effective operation of those systems, components, and - services. Threat and vulnerability analyses at this phase of the life cycle help - to ensure that design or implementation changes have been accounted for, and that - any new vulnerabilities created as a result of those changes have been reviewed - and mitigated.

- PM-15 - RA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to perform:

- - SA-11(2)[1] -

threat analyses of the as-built, system component, or service;

- - - SA-11(2)[2] -

vulnerability analyses of the as-built, system component, or service; and

- - - SA-11(2)[3] -

subsequent testing/evaluation of the as-built, system component, or - service.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test plans

-

records of developer security testing results for the information system, - system component, or information system service

-

vulnerability scanning results

-

information system risk assessment reports

-

threat and vulnerability analysis reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Independent Verification of Assessment Plans / Evidence - - - - SA-11(3) - sa-11.03 - -

The organization:

- - (a) -

Requires an independent agent satisfying to - verify the correct implementation of the developer security assessment plan and - the evidence produced during security testing/evaluation; and

- - - (b) -

Ensures that the independent agent is either provided with sufficient - information to complete the verification process or granted the authority to - obtain such information.

- - - -

Independent agents have the necessary qualifications (i.e., expertise, skills, - training, and experience) to verify the correct implementation of developer - security assessment plans.

- AT-3 - CA-7 - RA-5 - SA-12 - - -

Determine if the organization:

- - SA-11(3)(a) - - SA-11(3)(a)[1] -

defines independence criteria that an independent agent is required to - satisfy;

- - - SA-11(3)(a)[2] -

requires an independent agent satisfying organization-defined independence - criteria to verify:

- - SA-11(3)(a)[2][a] -

the correct implementation of the developer security assessment plan;

- - - SA-11(3)(a)[2][b] -

the evidence produced during security testing/evaluation;

- - - SA-11(3)(a) - - - SA-11(3)(b) -

ensures that the independent agent is either:

- - SA-11(3)(b)[1] -

provided with sufficient information to complete the verification process; - or

- - - SA-11(3)(b)[2] -

granted the authority to obtain such information.

- - SA-11(3)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

independent verification and validation reports

-

security test and evaluation plans

-

security test and evaluation results for the information system, system - component, or information system service

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

-

independent verification agent

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Manual Code Reviews - - - - - - - SA-11(4) - sa-11.04 - -

The organization requires the developer of the information system, system - component, or information system service to perform a manual code review of - using .

- - -

Manual code reviews are usually reserved for the critical software and firmware - components of information systems. Such code reviews are uniquely effective at - identifying weaknesses that require knowledge of the application’s requirements or - context which are generally unavailable to more automated analytic tools and - techniques such as static or dynamic analysis. Components benefiting from manual - review include for example, verifying access control matrices against application - controls and reviewing more detailed aspects of cryptographic implementations and - controls.

- - -

Determine if the organization:

- - SA-11(4)[1] -

defines specific code for which the developer of the information system, system - component, or information system service is required to perform a manual code - review;

- - - SA-11(4)[2] -

defines processes, procedures, and/or techniques to be used when the developer - performs a manual code review of organization-defined specific code; and

- - - SA-11(4)[3] -

requires the developer of the information system, system component, or - information system service to perform a manual code review of - organization-defined specific code using organization-defined processes, - procedures, and/or techniques.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

processes, procedures, and/or techniques for performing manual code reviews

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security testing and evaluation plans

-

system developer security testing and evaluation results

-

list of code requiring manual reviews

-

records of manual code reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

-

independent verification agent

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Penetration Testing - - - - - - - SA-11(5) - sa-11.05 - -

The organization requires the developer of the information system, system - component, or information system service to perform penetration testing at and with .

- - -

Penetration testing is an assessment methodology in which assessors, using all - available information technology product and/or information system documentation - (e.g., product/system design specifications, source code, and - administrator/operator manuals) and working under specific constraints, attempt to - circumvent implemented security features of information technology products and - information systems. Penetration testing can include, for example, white, gray, or - black box testing with analyses performed by skilled security professionals - simulating adversary actions. The objective of penetration testing is to uncover - potential vulnerabilities in information technology products and information - systems resulting from implementation errors, configuration faults, or other - operational deployment weaknesses or deficiencies. Penetration tests can be - performed in conjunction with automated and manual code reviews to provide greater - levels of analysis than would ordinarily be possible.

- - -

Determine if the organization:

- - SA-11(5)[1] -

defines for the developer of the information system, system component, or - information system service:

- - SA-11(5)[1][a] -

the breadth of penetration testing to be performed by the developer;

- - - SA-11(5)[1][b] -

the depth of penetration testing to be performed by the developer;

- - - - SA-11(5)[2] -

defines constraints under which the developer is to perform penetration - testing; and

- - - SA-11(5)[3] -

requires the developer of the information system, system component, or - information system service to perform penetration testing at - organization-defined breadth/depth and with organization-defined - constraints.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer penetration testing and evaluation plans

-

system developer penetration testing and evaluation results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

-

independent verification agent

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Attack Surface Reviews - SA-11(6) - sa-11.06 - -

The organization requires the developer of the information system, system - component, or information system service to perform attack surface reviews.

- - -

Attack surfaces of information systems are exposed areas that make those systems - more vulnerable to cyber attacks. This includes any accessible areas where - weaknesses or deficiencies in information systems (including the hardware, - software, and firmware components) provide opportunities for adversaries to - exploit vulnerabilities. Attack surface reviews ensure that developers: (i) - analyze both design and implementation changes to information systems; and (ii) - mitigate attack vectors generated as a result of the changes. Correction of - identified flaws includes, for example, deprecation of unsafe functions.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to perform attack surface - reviews.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security testing and evaluation plans

-

system developer security testing and evaluation results

-

records of attack surface reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Verify Scope of Testing / Evaluation - - - - SA-11(7) - sa-11.07 - -

The organization requires the developer of the information system, system - component, or information system service to verify that the scope of security - testing/evaluation provides complete coverage of required security controls at - .

- - -

Verifying that security testing/evaluation provides complete coverage of required - security controls can be accomplished by a variety of analytic techniques ranging - from informal to formal. Each of these techniques provides an increasing level of - assurance corresponding to the degree of formality of the analysis. Rigorously - demonstrating security control coverage at the highest levels of assurance can be - provided by the use of formal modeling and analysis techniques including - correlation between control implementation and corresponding test cases.

- - -

Determine if the organization:

- - SA-11(7)[1] -

defines the depth of testing/evaluation to ensure the scope of security/testing - evaluation provides complete coverage of required security controls; and

- - - SA-11(7)[2] -

requires the developer of the information system, system component, or - information system service to verify that the scope of security - testing/evaluation provides complete coverage of required security controls at - the organization-defined depth of testing/evaluation.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security testing and evaluation plans

-

system developer security testing and evaluation results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

system developers

-

independent verification agent

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - Dynamic Code Analysis - SA-11(8) - sa-11.08 - -

The organization requires the developer of the information system, system - component, or information system service to employ dynamic code analysis tools to - identify common flaws and document the results of the analysis.

- - -

Dynamic code analysis provides run-time verification of software programs, using - tools capable of monitoring programs for memory corruption, user privilege issues, - and other potential security problems. Dynamic code analysis employs run-time - tools to help to ensure that security functionality performs in the manner in - which it was designed. A specialized type of dynamic analysis, known as fuzz - testing, induces program failures by deliberately introducing malformed or random - data into software programs. Fuzz testing strategies derive from the intended use - of applications and the functional and design specifications for the applications. - To understand the scope of dynamic code analysis and hence the assurance provided, - organizations may also consider conducting code coverage analysis (checking the - degree to which the code has been tested using metrics such as percent of - subroutines tested or percent of program statements called during execution of the - test suite) and/or concordance analysis (checking for words that are out of place - in software code such as non-English language words or derogatory terms).

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to employ dynamic code analysis - tools to identify common flaws and document the results of the analysis.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing system developer security testing

-

procedures addressing flaw remediation

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

system developer security test and evaluation plans

-

security test and evaluation results

-

security flaw and remediation tracking reports

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with developer security testing responsibilities

-

organizational personnel with configuration management responsibilities

-

system developers

- - - - TEST - -

Organizational processes for monitoring developer security testing and - evaluation

-

automated mechanisms supporting and/or implementing the monitoring of developer - security testing and evaluation

- - - - - - Supply Chain Protection - - - - SA-12 - sa-12 - NIST Special Publication 800-161 - NIST Interagency Report 7622 - -

The organization protects against supply chain threats to the information system, - system component, or information system service by employing as part of a comprehensive, defense-in-breadth - information security strategy.

- - -

Information systems (including system components that compose those systems) need to - be protected throughout the system development life cycle (i.e., during design, - development, manufacturing, packaging, assembly, distribution, system integration, - operations, maintenance, and retirement). Protection of organizational information - systems is accomplished through threat awareness, by the identification, management, - and reduction of vulnerabilities at each phase of the life cycle and the use of - complementary, mutually reinforcing strategies to respond to risk. Organizations - consider implementing a standardized process to address supply chain risk with - respect to information systems and system components, and to educate the acquisition - workforce on threats, risk, and required security controls. Organizations use the - acquisition/procurement processes to require supply chain entities to implement - necessary security safeguards to: (i) reduce the likelihood of unauthorized - modifications at each stage in the supply chain; and (ii) protect information systems - and information system components, prior to taking delivery of such - systems/components. This control also applies to information system services. - Security safeguards include, for example: (i) security controls for development - systems, development facilities, and external connections to development systems; - (ii) vetting development personnel; and (iii) use of tamper-evident packaging during - shipping/warehousing. Methods for reviewing and protecting development plans, - evidence, and documentation are commensurate with the security category or - classification level of the information system. Contracts may specify documentation - protection requirements.

- AT-3 - CM-8 - IR-4 - PE-16 - PL-8 - SA-3 - SA-4 - SA-8 - SA-10 - SA-14 - SA-15 - SA-18 - SA-19 - SC-29 - SC-30 - SC-38 - SI-7 - - -

Determine if the organization:

- - SA-12[1] -

defines security safeguards to be employed to protect against supply chain threats - to the information system, system component, or information system service; - and

- - - SA-12[2] -

protects against supply chain threats to the information system, system component, - or information system service by employing organization-defined security - safeguards as part of a comprehensive, defense-in-breadth information security - strategy.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

list of supply chain threats

-

list of security safeguards to be taken against supply chain threats

-

system development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining safeguards for and protecting against supply - chain threats

-

automated mechanisms supporting and/or implementing safeguards for supply chain - threats

- - - - Acquisition Strategies / Tools / Methods - - - - SA-12(1) - sa-12.01 - -

The organization employs for the purchase of - the information system, system component, or information system service from - suppliers.

- - -

The use of acquisition and procurement processes by organizations early in the - system development life cycle provides an important vehicle to protect the supply - chain. Organizations use available all-source intelligence analysis to inform the - tailoring of acquisition strategies, tools, and methods. There are a number of - different tools and techniques available (e.g., obscuring the end use of an - information system or system component, using blind or filtered buys). - Organizations also consider creating incentives for suppliers who: (i) implement - required security safeguards; (ii) promote transparency into their organizational - processes and security practices; (iii) provide additional vetting of the - processes and security practices of subordinate suppliers, critical information - system components, and services; (iv) restrict purchases from specific suppliers - or countries; and (v) provide contract language regarding the prohibition of - tainted or counterfeit components. In addition, organizations consider minimizing - the time between purchase decisions and required delivery to limit opportunities - for adversaries to corrupt information system components or products. Finally, - organizations can use trusted/controlled distribution, delivery, and warehousing - options to reduce supply chain risk (e.g., requiring tamper-evident packaging of - information system components during shipping and warehousing).

- SA-19 - - -

Determine if the organization:

- - SA-12(1)[1] -

defines the following to be employed for the purchase of the information - system, system component, or information system service from suppliers:

- - SA-12(1)[1][a] -

tailored acquisition strategies;

- - - SA-12(1)[1][b] -

contract tools;

- - - SA-12(1)[1][c] -

procurement methods; and

- - - - SA-12(1)[2] -

employs organization-defined tailored acquisition strategies, contract tools, - and procurement methods for the purchase of the information system, system - component, or information system service from suppliers.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

procedures addressing the integration of acquisition strategies, contract - tools, and procure methods into the acquisition process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for information systems or services

-

purchase orders/requisitions for the information system

-

system component

-

or information system service from suppliers

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining and employing tailored acquisition - strategies, contract tools, and procurement methods

-

automated mechanisms supporting and/or implementing the definition and - employment of tailored acquisition strategies, contract tools, and procurement - methods

- - - - - Supplier Reviews - SA-12(2) - sa-12.02 - -

The organization conducts a supplier review prior to entering into a contractual - agreement to acquire the information system, system component, or information - system service.

- - -

Supplier reviews include, for example: (i) analysis of supplier processes used to - design, develop, test, implement, verify, deliver, and support information - systems, system components, and information system services; and (ii) assessment - of supplier training and experience in developing systems, components, or services - with the required security capability. These reviews provide organizations with - increased levels of visibility into supplier activities during the system - development life cycle to promote more effective supply chain risk management. - Supplier reviews can also help to determine whether primary suppliers have - security safeguards in place and a practice for vetting subordinate suppliers, for - example, second- and third-tier suppliers, and any subcontractors.

- - -

Determine if the organization conducts a supplier review prior to entering into a - contractual agreement to acquire the information system, system component, or - information system service.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

records of supplier due diligence reviews

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for conducting supplier reviews

-

automated mechanisms supporting and/or implementing supplier reviews

- - - - - Trusted Shipping and Warehousing - SA-12(3) - sa-12.03 - Withdrawn - SA-12 (1) - - - Diversity of Suppliers - SA-12(4) - sa-12.04 - Withdrawn - SA-12 (13) - - - Limitation of Harm - - - - SA-12(5) - sa-12.05 - -

The organization employs to limit harm from - potential adversaries identifying and targeting the organizational supply - chain.

- - -

Supply chain risk is part of the advanced persistent threat (APT). Security - safeguards and countermeasures to reduce the probability of adversaries - successfully identifying and targeting the supply chain include, for example: (i) - avoiding the purchase of custom configurations to reduce the risk of acquiring - information systems, components, or products that have been corrupted via supply - chain actions targeted at specific organizations; (ii) employing a diverse set of - suppliers to limit the potential harm from any given supplier in the supply chain; - (iii) employing approved vendor lists with standing reputations in industry, and - (iv) using procurement carve outs (i.e., exclusions to commitments or - obligations).

- - -

Determine if the organization:

- - SA-12(5)[1] -

defines security safeguards to be employed to limit harm from potential - adversaries identifying and targeting the organizational supply chain; and

- - - SA-12(5)[2] -

employs organization-defined security safeguards to limit harm from potential - adversaries identifying and targeting the organizational supply chain.

- - - - EXAMINE - -

System and services acquisition policy

-

configuration management policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

procedures addressing the baseline configuration of the information system

-

configuration management plan

-

information system design documentation

-

information system architecture and associated configuration documentation

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

list of security safeguards to be taken to protect organizational supply chain - against potential supply chain threats

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining and employing safeguards to limit harm - from adversaries of the organizational supply chain

-

automated mechanisms supporting and/or implementing the definition and - employment of safeguards to protect the organizational supply chain

- - - - - Minimizing Procurement Time - SA-12(6) - sa-12.06 - Withdrawn - SA-12 (1) - - - Assessments Prior to Selection / Acceptance / Update - SA-12(7) - sa-12.07 - -

The organization conducts an assessment of the information system, system - component, or information system service prior to selection, acceptance, or - update.

- - -

Assessments include, for example, testing, evaluations, reviews, and analyses. - Independent, third-party entities or organizational personnel conduct assessments - of systems, components, products, tools, and services. Organizations conduct - assessments to uncover unintentional vulnerabilities and intentional - vulnerabilities including, for example, malicious code, malicious processes, - defective software, and counterfeits. Assessments can include, for example, static - analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz - testing, penetration testing, and ensuring that components or services are genuine - (e.g., using tags, cryptographic hash verifications, or digital signatures). - Evidence generated during security assessments is documented for follow-on actions - carried out by organizations.

- CA-2 - SA-11 - - -

Determine if the organization conducts an assessment of the information system, - system component, or information system service prior to:

- - SA-12(7)[1] -

selection;

- - - SA-12(7)[2] -

acceptance; or

- - - SA-12(7)[3] -

update.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

security test and evaluation results

-

vulnerability assessment results

-

penetration testing results

-

organizational risk assessment results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for conducting assessments prior to selection, - acceptance, or update

-

automated mechanisms supporting and/or implementing the conducting of - assessments prior to selection, acceptance, or update

- - - - - Use of All-source Intelligence - SA-12(8) - sa-12.08 - -

The organization uses all-source intelligence analysis of suppliers and potential - suppliers of the information system, system component, or information system - service.

- - -

All-source intelligence analysis is employed by organizations to inform - engineering, acquisition, and risk management decisions. All-source intelligence - consists of intelligence products and/or organizations and activities that - incorporate all sources of information, most frequently including human - intelligence, imagery intelligence, measurement and signature intelligence, - signals intelligence, and open source data in the production of finished - intelligence. Where available, such information is used to analyze the risk of - both intentional and unintentional vulnerabilities from development, - manufacturing, and delivery processes, people, and the environment. This review is - performed on suppliers at multiple tiers in the supply chain sufficient to manage - risks.

- SA-15 - - -

Determine if the organization uses all-source intelligence analysis of:

- - SA-12(8)[1] -

suppliers of the information system, system component, or information system - service; and

- - - SA-12(8)[2] -

potential suppliers of the information system, system component, or information - system service.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

records of all-source intelligence analyses

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for use of an all-source analysis of suppliers and - potential suppliers

-

automated mechanisms supporting and/or implementing the use of all-source - analysis of suppliers and potential suppliers

- - - - - Operations Security - - - - SA-12(9) - sa-12.09 - -

The organization employs in accordance with - classification guides to protect supply chain-related information for the - information system, system component, or information system service.

- - -

Supply chain information includes, for example: user identities; uses for - information systems, information system components, and information system - services; supplier identities; supplier processes; security requirements; design - specifications; testing and evaluation results; and system/component - configurations. This control enhancement expands the scope of OPSEC to include - suppliers and potential suppliers. OPSEC is a process of identifying critical - information and subsequently analyzing friendly actions attendant to operations - and other activities to: (i) identify those actions that can be observed by - potential adversaries; (ii) determine indicators that adversaries might obtain - that could be interpreted or pieced together to derive critical information in - sufficient time to cause harm to organizations; (iii) implement safeguards or - countermeasures to eliminate or reduce to an acceptable level, exploitable - vulnerabilities; and (iv) consider how aggregated information may compromise the - confidentiality of users or uses of the supply chain. OPSEC may require - organizations to withhold critical mission/business information from suppliers and - may include the use of intermediaries to hide the end use, or users, of - information systems, system components, or information system services.

- - -

Determine if the organization:

- - SA-12(9)[1] -

defines Operations Security (OPSEC) safeguards to be employed in accordance - with classification guides to protect supply chain-related information for the - information system, system component, or information system service; and

- - - SA-12(9)[2] -

employs organization-defined OPSEC safeguards in accordance with classification - guides to protect supply chain-related information for the information system, - system component, or information system service.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts for the information system, system component, or - information system service

-

records of all-source intelligence analyses

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining and employing OPSEC safeguards

-

automated mechanisms supporting and/or implementing the definition and - employment of OPSEC safeguards

- - - - - Validate as Genuine and Not Altered - - - - SA-12(10) - sa-12.10 - -

The organization employs to validate that the - information system or system component received is genuine and has not been - altered.

- - -

For some information system components, especially hardware, there are technical - means to help determine if the components are genuine or have been altered. - Security safeguards used to validate the authenticity of information systems and - information system components include, for example, optical/nanotechnology tagging - and side-channel analysis. For hardware, detailed bill of material information can - highlight the elements with embedded logic complete with component and production - location.

- - -

Determine if the organization:

- - SA-12(10)[1] -

defines security safeguards to be employed to validate that the information - system or system component received is genuine and has not been altered; - and

- - - SA-12(10)[2] -

employs organization-defined security safeguards to validate that the - information system or system components received is genuine and has not been - altered.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures address the integration of information security requirements into - the acquisition process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

evidentiary documentation (including applicable configurations) indicating the - information system, system component, or information system service are genuine - and have not been altered

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining and employing validation safeguards

-

automated mechanisms supporting and/or implementing the definition and - employment of validation safeguards

- - - - - Penetration Testing / Analysis of Elements, Processes, and Actors - - - - - - - SA-12(11) - sa-12.11 - -

The organization employs of associated with the information system, system - component, or information system service.

- - -

This control enhancement addresses analysis and/or testing of the supply chain, - not just delivered items. Supply chain elements are information technology - products or product components that contain programmable logic and that are - critically important to information system functions. Supply chain processes - include, for example: (i) hardware, software, and firmware development processes; - (ii) shipping/handling procedures; (iii) personnel and physical security programs; - (iv) configuration management tools/measures to maintain provenance; or (v) any - other programs, processes, or procedures associated with the - production/distribution of supply chain elements. Supply chain actors are - individuals with specific roles and responsibilities in the supply chain. The - evidence generated during analyses and testing of supply chain elements, - processes, and actors is documented and used to inform organizational risk - management activities and decisions.

- RA-5 - - -

Determine if the organization:

- - SA-12(11)[1] -

defines supply chain:

- - SA-12(11)[1][a] -

elements to be analyzed and/or tested;

- - - SA-12(11)[1][b] -

processes to be analyzed and/or tested;

- - - SA-12(11)[1][c] -

actors to be analyzed and/or tested;

- - - - SA-12(11)[2] -

employs one or more of the following to analyze and/or test - organization-defined supply chain elements, processes, and actors associated - with the information system, system component, or information system - service:

- - SA-12(11)[2][a] -

organizational analysis;

- - - SA-12(11)[2][b] -

independent third party analysis;

- - - SA-12(11)[2][c] -

organizational penetration testing; and/or

- - - SA-12(11)[2][d] -

independent third-party penetration testing.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

evidence of organizational analysis, independent third-party analysis, - organizational penetration testing, and/or independent third-party penetration - testing

-

list of supply chain elements, processes, and actors (associated with the - information system, system component, or information system service) subject to - analysis and/or testing

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

-

organizational personnel with responsibilities for analyzing and/or testing - supply chain elements, processes, and actors

- - - - TEST - -

Organizational processes for defining and employing methods of analysis/testing - of supply chain elements, processes, and actors

-

automated mechanisms supporting and/or implementing the analysis/testing of - supply chain elements, processes, and actors

- - - - - Inter-organizational Agreements - SA-12(12) - sa-12.12 - -

The organization establishes inter-organizational agreements and procedures with - entities involved in the supply chain for the information system, system - component, or information system service.

- - -

The establishment of inter-organizational agreements and procedures provides for - notification of supply chain compromises. Early notification of supply chain - compromises that can potentially adversely affect or have adversely affected - organizational information systems, including critical system components, is - essential for organizations to provide appropriate responses to such - incidents.

- - -

Determine if the organization establishes, with entities involved in the supply - chain for the information system, system component, or information system - service,:

- - SA-12(12)[1] -

inter-organizational agreements; and

- - - SA-12(12)[2] -

inter-organizational procedures.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

inter-organizational agreements and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for establishing inter-organizational agreements and - procedures with supply chain entities

- - - - - Critical Information System Components - - - - - - - SA-12(13) - sa-12.13 - -

The organization employs to ensure an adequate - supply of .

- - -

Adversaries can attempt to impede organizational operations by disrupting the - supply of critical information system components or corrupting supplier - operations. Safeguards to ensure adequate supplies of critical information system - components include, for example: (i) the use of multiple suppliers throughout the - supply chain for the identified critical components; and (ii) stockpiling of spare - components to ensure operation during mission-critical times.

- - -

Determine if the organization:

- - SA-12(13)[1] -

defines critical information system components for which security safeguards - are to be employed to ensure an adequate supply of such components;

- - - SA-12(13)[2] -

defines security safeguards to be employed to ensure an adequate supply of - organization-defined critical information components; and

- - - SA-12(13)[3] -

employs organization-defined security safeguards to ensure an adequate supply - of organization-defined critical information system components.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

physical inventory of critical information system components

-

inventory records of critical information system components

-

list of security safeguards ensuring adequate supply of critical information - system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for defining and employing security safeguards to - ensure an adequate supply of critical information system components

-

automated mechanisms supporting and/or implementing the security safeguards - that ensure an adequate supply of critical information system components

- - - - - Identity and Traceability - - - - SA-12(14) - sa-12.14 - -

The organization establishes and retains unique identification of for the information system, system component, or - information system service.

- - -

Knowing who and what is in the supply chains of organizations is critical to - gaining visibility into what is happening within such supply chains, as well as - monitoring and identifying high-risk events and activities. Without reasonable - visibility and traceability into supply chains (i.e., elements, processes, and - actors), it is very difficult for organizations to understand and therefore manage - risk, and to reduce the likelihood of adverse events. Uniquely identifying - acquirer and integrator roles, organizations, personnel, mission and element - processes, testing and evaluation procedures, delivery mechanisms, support - mechanisms, communications/delivery paths, and disposal/final disposition - activities as well as the components and tools used, establishes a foundational - identity structure for assessment of supply chain activities. For example, - labeling (using serial numbers) and tagging (using radio-frequency identification - [RFID] tags) individual supply chain elements including software packages, - modules, and hardware devices, and processes associated with those elements can be - used for this purpose. Identification methods are sufficient to support the - provenance in the event of a supply chain issue or adverse supply chain event.

- - -

Determine if the organization:

- - SA-12(14)[1] -

defines the following for the establishment and retention of unique - identification:

- - SA-12(14)[1][a] -

supply chain elements;

- - - SA-12(14)[1][b] -

supply chain processes;

- - - SA-12(14)[1][c] -

supply chain actors; and

- - - - SA-12(14)[2] -

establishes and retains unique identification of organization-defined supply - chain elements, processes, and actors for the information system, system - component, or information system service.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing the integration of information security requirements into - the acquisition process

-

list of supply chain elements, processes, and actors (associated with the - information system, system component, or information system service) requiring - implementation of unique identification processes, procedures, tools, - mechanisms, equipment, techniques and/or configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

-

organizational personnel with responsibilities for establishing and retaining - unique identification of supply chain elements, processes, and actors

- - - - TEST - -

Organizational processes for defining, establishing, and retaining unique - identification for supply chain elements, processes, and actors

-

automated mechanisms supporting and/or implementing the definition, - establishment, and retention of unique identification for supply chain - elements, processes, and actors

- - - - - Processes to Address Weaknesses or Deficiencies - SA-12(15) - sa-12.15 - -

The organization establishes a process to address weaknesses or deficiencies in - supply chain elements identified during independent or organizational assessments - of such elements.

- - -

Evidence generated during independent or organizational assessments of supply - chain elements (e.g., penetration testing, audits, verification/validation - activities) is documented and used in follow-on processes implemented by - organizations to respond to the risks related to the identified weaknesses and - deficiencies. Supply chain elements include, for example, supplier development - processes and supplier distribution systems.

- - -

Determine if the organization establishes a process to address weaknesses or - deficiencies in supply chain elements identified during independent or - organizational assessments of such elements.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing supply chain protection

-

procedures addressing weaknesses or deficiencies in supply chain elements

-

results of independent or organizational assessments of supply chain controls - and processes

-

acquisition contracts, service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with supply chain protection responsibilities

- - - - TEST - -

Organizational processes for addressing weaknesses or deficiencies in supply - chain elements

-

automated mechanisms supporting and/or implementing the addressing of - weaknesses or deficiencies in supply chain elements

- - - - - - Trustworthiness - - - - - - - SA-13 - sa-13 - FIPS Publication 199 - FIPS Publication 200 - NIST Special Publication 800-53 - NIST Special Publication 800-53A - NIST Special Publication 800-60 - NIST Special Publication 800-64 - -

The organization:

- - a. -

Describes the trustworthiness required in the - supporting its critical missions/business functions; and

- - - b. -

Implements to achieve such trustworthiness.

- - - -

This control helps organizations to make explicit trustworthiness decisions when - designing, developing, and implementing information systems that are needed to - conduct critical organizational missions/business functions. Trustworthiness is a - characteristic/property of an information system that expresses the degree to which - the system can be expected to preserve the confidentiality, integrity, and - availability of the information it processes, stores, or transmits. Trustworthy - information systems are systems that are capable of being trusted to operate within - defined levels of risk despite the environmental disruptions, human errors, and - purposeful attacks that are expected to occur in the specified environments of - operation. Trustworthy systems are important to mission/business success. Two factors - affecting the trustworthiness of information systems include: (i) security - functionality (i.e., the security features, functions, and/or mechanisms employed - within the system and its environment of operation); and (ii) security assurance - (i.e., the grounds for confidence that the security functionality is effective in its - application). Developers, implementers, operators, and maintainers of organizational - information systems can increase the level of assurance (and trustworthiness), for - example, by employing well-defined security policy models, structured and rigorous - hardware, software, and firmware development techniques, sound system/security - engineering principles, and secure configuration settings (defined by a set of - assurance-related security controls in Appendix E). Assurance is also based on the - assessment of evidence produced during the system development life cycle. Critical - missions/business functions are supported by high-impact systems and the associated - assurance requirements for such systems. The additional assurance controls in Table - E-4 in Appendix E (designated as optional) can be used to develop and implement - high-assurance solutions for specific information systems and system components using - the concept of overlays described in Appendix I. Organizations select assurance - overlays that have been developed, validated, and approved for community adoption - (e.g., cross-organization, governmentwide), limiting the development of such overlays - on an organization-by-organization basis. Organizations can conduct criticality - analyses as described in SA-14, to determine the information systems, system - components, or information system services that require high-assurance solutions. - Trustworthiness requirements and assurance overlays can be described in the security - plans for organizational information systems.

- RA-2 - SA-4 - SA-8 - SA-14 - SC-3 - - -

Determine if the organization:

- - SA-13(a) - - SA-13(a)[1] -

defines information system, system component, or information system service for - which the trustworthiness required is to be described;

- - - SA-13(a)[2] -

describes the trustworthiness required in organization-defined information - system, information system component, or information system service supporting - its critical mission/business functions;

- - - - SA-13(b) - - SA-13(b)[1] -

defines an assurance overlay to be implemented to achieve such trustworthiness; - and

- - - SA-13(b)[2] -

organization implements the organization-defined assurance overlay to achieve - such trustworthiness.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing trustworthiness requirements for the information system, - system component, or information system service

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

security categorization documentation/results

-

security authorization package for the information system, system component, or - information system service

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

authorizing official

- - - - - Criticality Analysis - - - - - - - SA-14 - sa-14 - -

The organization identifies critical information system components and functions by - performing a criticality analysis for at .

- - -

Criticality analysis is a key tenet of supply chain risk management and informs the - prioritization of supply chain protection activities such as attack surface - reduction, use of all-source intelligence, and tailored acquisition strategies. - Information system engineers can conduct an end-to-end functional decomposition of an - information system to identify mission-critical functions and components. The - functional decomposition includes the identification of core organizational missions - supported by the system, decomposition into the specific functions to perform those - missions, and traceability to the hardware, software, and firmware components that - implement those functions, including when the functions are shared by many components - within and beyond the information system boundary. Information system components that - allow for unmediated access to critical components or functions are considered - critical due to the inherent vulnerabilities such components create. Criticality is - assessed in terms of the impact of the function or component failure on the ability - of the component to complete the organizational missions supported by the information - system. A criticality analysis is performed whenever an architecture or design is - being developed or modified, including upgrades.

- CP-2 - PL-2 - PL-8 - PM-1 - SA-8 - SA-12 - SA-13 - SA-15 - SA-20 - - -

Determine if the organization:

- - SA-14[1] -

defines information systems, information system components, or information system - services requiring a criticality analysis to identify critical information system - components and functions;

- - - SA-14[2] -

defines decision points in the system development life cycle when a criticality - analysis is to be performed for organization-defined information systems, - information system components, or information system services; and

- - - SA-14[3] -

identifies critical information system components and functions by performing a - criticality analysis for organization-defined information systems, information - system components, or information system services at organization-defined - decisions points in the system development life cycle.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing criticality analysis requirements for information systems, - security plan

-

contingency plan

-

list of information systems, information system components, or information system - services requiring criticality analyses

-

list of critical information system components and functions identified by - criticality analyses

-

criticality analysis documentation

-

business impact analysis documentation

-

system development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for performing criticality analysis - for the information system

- - - - Critical Components with No Viable Alternative Sourcing - SA-14(1) - sa-14.01 - Withdrawn - SA-20 - - - - Development Process, Standards, and Tools - - - - - - - SA-15 - sa-15 - -

The organization:

- - a. -

Requires the developer of the information system, system component, or information - system service to follow a documented development process that:

- - 1. -

Explicitly addresses security requirements;

- - - 2. -

Identifies the standards and tools used in the development process;

- - - 3. -

Documents the specific tool options and tool configurations used in the - development process; and

- - - 4. -

Documents, manages, and ensures the integrity of changes to the process and/or - tools used in development; and

- - - - b. -

Reviews the development process, standards, tools, and tool options/configurations - to determine if the process, standards, tools, - and tool options/configurations selected and employed can satisfy .

- - - -

Development tools include, for example, programming languages and computer-aided - design (CAD) systems. Reviews of development processes can include, for example, the - use of maturity models to determine the potential effectiveness of such processes. - Maintaining the integrity of changes to tools and processes enables accurate supply - chain risk assessment and mitigation, and requires robust configuration control - throughout the life cycle (including design, development, transport, delivery, - integration, and maintenance) to track authorized changes and prevent unauthorized - changes.

- SA-3 - SA-8 - - -

Determine if the organization:

- - SA-15(a) -

requires the developer of the information system, system component, or information - system service to follow a documented development process that:

- - SA-15(a)(1) -

explicitly addresses security requirements;

- - - SA-15(a)(2) -

identifies the standards and tools used in the development process;

- - - SA-15(a)(3) - - SA-15(a)(3)[1] -

documents the specific tool options used in the development process;

- - - SA-15(a)(3)[2] -

documents the specific tool configurations used in the development - process;

- - - - SA-15(a)(4) - - SA-15(a)(4)[1] -

documents changes to the process and/or tools used in the development;

- - - SA-15(a)(4)[2] -

manages changes to the process and/or tools used in the development;

- - - SA-15(a)(4)[3] -

ensures the integrity of changes to the process and/or tools used in the - development;

- - - - - SA-15(b) - - SA-15(b)[1] -

defines a frequency to review the development process, standards, tools, and - tool options/configurations;

- - - SA-15(b)[2] -

defines security requirements to be satisfied by the process, standards, tools, - and tool option/configurations selected and employed; and

- - - SA-15(b)[3] - - SA-15(b)[3][a] -

reviews the development process with the organization-defined frequency to - determine if the process selected and employed can satisfy - organization-defined security requirements;

- - - SA-15(b)[3][b] -

reviews the development standards with the organization-defined frequency to - determine if the standards selected and employed can satisfy - organization-defined security requirements;

- - - SA-15(b)[3][c] -

reviews the development tools with the organization-defined frequency to - determine if the tools selected and employed can satisfy - organization-defined security requirements; and

- - - SA-15(b)[3][d] -

reviews the development tool options/configurations with the - organization-defined frequency to determine if the tool - options/configurations selected and employed can satisfy - organization-defined security requirements.

- - - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

procedures addressing the integration of security requirements during the - development process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

system developer documentation listing tool options/configuration guides, - configuration management records

-

change control records

-

configuration control records

-

documented reviews of development process, standards, tools, and tool - options/configurations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - Quality Metrics - - - - - - - - - - SA-15(1) - sa-15.01 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Define quality metrics at the beginning of the development process; and

- - - (b) -

Provide evidence of meeting the quality metrics .

- - - -

Organizations use quality metrics to establish minimum acceptable levels of - information system quality. Metrics may include quality gates which are - collections of completion criteria or sufficiency standards representing the - satisfactory execution of particular phases of the system development project. A - quality gate, for example, may require the elimination of all compiler warnings or - an explicit determination that the warnings have no impact on the effectiveness of - required security capabilities. During the execution phases of development - projects, quality gates provide clear, unambiguous indications of progress. Other - metrics apply to the entire development project. These metrics can include - defining the severity thresholds of vulnerabilities, for example, requiring no - known vulnerabilities in the delivered information system with a Common - Vulnerability Scoring System (CVSS) severity of Medium or High.

- - -

Determine if the organization:

- - SA-15(1)(a) -

requires the developer of the information system, system component, or - information system service to define quality metrics at the beginning of the - development process;

- SA-15(1)(a) - - - SA-15(1)(b) - - SA-15(1)(b)[1] -

defines a frequency to provide evidence of meeting the quality metrics;

- - - SA-15(1)(b)[2] -

defines program review milestones to provide evidence of meeting the quality - metrics;

- - - SA-15(1)(b)[3] -

requires the developer of the information system, system component, or - information system service to provide evidence of meeting the quality - metrics one or more of the following:

- - SA-15(1)(b)[3][a] -

with the organization-defined frequency;

- - - SA-15(1)(b)[3][b] -

in accordance with the organization-defined program review milestones; - and/or

- - - SA-15(1)(b)[3][c] -

upon delivery of the information system, system component, or information - system service.

- - - SA-15(1)(b) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

procedures addressing the integration of security requirements into the - acquisition process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

list of quality metrics

-

documentation evidence of meeting quality metrics

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - Security Tracking Tools - SA-15(2) - sa-15.02 - -

The organization requires the developer of the information system, system - component, or information system service to select and employ a security tracking - tool for use during the development process.

- - -

Information system development teams select and deploy security tracking tools, - including, for example, vulnerability/work item tracking systems that facilitate - assignment, sorting, filtering, and tracking of completed work items or tasks - associated with system development processes.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to select and employ a security - tracking tool for use during the development process.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

procedures addressing the integration of security requirements into the - acquisition process

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

list of quality metrics

-

documentation evidence of meeting quality metrics

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - Criticality Analysis - - - - - - - SA-15(3) - sa-15.03 - -

The organization requires the developer of the information system, system - component, or information system service to perform a criticality analysis at - and at .

- - -

This control enhancement provides developer input to the criticality analysis - performed by organizations in SA-14. Developer input is essential to such analysis - because organizations may not have access to detailed design documentation for - information system components that are developed as commercial off-the-shelf - (COTS) information technology products (e.g., functional specifications, - high-level designs, low-level designs, and source code/hardware schematics).

- SA-4 - SA-14 - - -

Determine if the organization:

- - SA-15(3)[1] -

defines the breadth of criticality analysis to be performed by the developer of - the information system, system component, or information system service;

- - - SA-15(3)[2] -

defines the depth of criticality analysis to be performed by the developer of - the information system, system component, or information system service;

- - - SA-15(3)[3] -

defines decision points in the system development life cycle when a criticality - analysis is to be performed for the information system, system component, or - information system service; and

- - - SA-15(3)[4] -

requires the developer of the information system, system component, or - information system service to perform a criticality analysis at the - organization-defined breadth/depth and at organization-defined decision points - in the system development life cycle.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

procedures addressing criticality analysis requirements for the information - system, system component, or information system service

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

criticality analysis documentation

-

business impact analysis documentation

-

software development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsibility for performing criticality analysis

-

system developer

- - - - TEST - -

Organizational processes for performing criticality analysis

-

automated mechanisms supporting and/or implementing criticality analysis

- - - - - Threat Modeling / Vulnerability Analysis - - - - - - - - - - - - - SA-15(4) - sa-15.04 - -

The organization requires that developers perform threat modeling and a - vulnerability analysis for the information system at that:

- - (a) -

Uses ;

- - - (b) -

Employs ; and

- - - (c) -

Produces evidence that meets .

- - - - SA-4 - - -

Determine if the organization:

- - SA-15(4)[1] -

defines the breadth of threat modeling and vulnerability analysis to be - performed by developers for the information system;

- - - SA-15(4)[2] -

defines the depth of threat modeling and vulnerability analysis to be performed - by developers for the information system;

- - - SA-15(4)[3] -

defines information concerning impact, environment of operations, known or - assumed threats, and acceptable risk levels to be used in threat modeling and - vulnerability analysis;

- - - SA-15(4)[4] -

defines tools and methods to be employed in threat modeling and vulnerability - analysis;

- - - SA-15(4)[5] -

defines acceptance criteria for evidence produced from threat modeling and - vulnerability analysis;

- - - SA-15(4)[6] -

requires that developers perform threat modeling and a vulnerability analysis - for the information system at the organization-defined breadth/depth that:

- - SA-15(4)[6](a) -

uses organization-defined information concerning impact, environment of - operations, known or assumed threats, and acceptable risk levels;

- SA-15(4)(a) - - - SA-15(4)[6](b) -

employs organization-defined tools and methods; and

- SA-15(4)(b) - - - SA-15(4)[6](c) -

produces evidence that meets organization-defined acceptance criteria.

- SA-15(4)(c) - - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

threat modeling documentation

-

vulnerability analysis results

-

organizational risk assessments

-

acceptance criteria for evidence produced from threat modeling and - vulnerability analysis

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Organizational processes for performing development threat modeling and - vulnerability analysis

-

automated mechanisms supporting and/or implementing development threat modeling - and vulnerability analysis

- - - - - Attack Surface Reduction - - - - SA-15(5) - sa-15.05 - -

The organization requires the developer of the information system, system - component, or information system service to reduce attack surfaces to .

- - -

Attack surface reduction is closely aligned with developer threat and - vulnerability analyses and information system architecture and design. Attack - surface reduction is a means of reducing risk to organizations by giving attackers - less opportunity to exploit weaknesses or deficiencies (i.e., potential - vulnerabilities) within information systems, information system components, and - information system services. Attack surface reduction includes, for example, - applying the principle of least privilege, employing layered defenses, applying - the principle of least functionality (i.e., restricting ports, protocols, - functions, and services), deprecating unsafe functions, and eliminating - application programming interfaces (APIs) that are vulnerable to cyber - attacks.

- CM-7 - - -

Determine if the organization:

- - SA-15(5)[1] -

defines thresholds to which attack surfaces are to be reduced; and

- - - SA-15(5)[2] -

requires the developer of the information system, system component, or - information system service to reduce attack surfaces to organization-defined - thresholds.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

procedures addressing attack surface reduction

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, or information system - service

-

information system design documentation

-

network diagram

-

information system configuration settings and associated documentation - establishing/enforcing organization-defined thresholds for reducing attack - surfaces

-

list of restricted ports, protocols, functions and services

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel responsibility for attack surface reduction - thresholds

-

system developer

- - - - TEST - -

Organizational processes for defining attack surface reduction thresholds

- - - - - Continuous Improvement - SA-15(6) - sa-15.06 - -

The organization requires the developer of the information system, system - component, or information system service to implement an explicit process to - continuously improve the development process.

- - -

Developers of information systems, information system components, and information - system services consider the effectiveness/efficiency of current development - processes for meeting quality objectives and addressing security capabilities in - current threat environments.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to implement an explicit process - to continuously improve the development process.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

quality goals and metrics for improving system development process

-

security assessments and/or quality control reviews of system development - process

-

plans of action and milestones for improving system development process

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - Automated Vulnerability Analysis - - - - - - - SA-15(7) - sa-15.07 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Perform an automated vulnerability analysis using ;

- - - (b) -

Determine the exploitation potential for discovered vulnerabilities;

- - - (c) -

Determine potential risk mitigations for delivered vulnerabilities; and

- - - (d) -

Deliver the outputs of the tools and results of the analysis to .

- - - - RA-5 - - -

Determine if the organization:

- - SA-15(7)(a) - - SA-15(7)(a)[1] -

defines tools to be used to perform automated vulnerability analysis of the - information system, system component, or information system service;

- - - SA-15(7)(a)[2] -

requires the developer of the information system, system component, or - information system service to perform an automated vulnerability analysis - using organization-defined tools;

- - SA-15(7)(a) - - - SA-15(7)(b) -

requires the developer of the information system, system component, or - information system service to determine the exploitation potential for - discovered vulnerabilities;

- SA-15(7)(b) - - - SA-15(7)(c) -

requires the developer of the information system, system component, or - information system service to determine potential risk mitigations for - delivered vulnerabilities;

- SA-15(7)(c) - - - SA-15(7)(d) - - SA-15(7)(d)[1] -

defines personnel or roles to whom the output of the tools and results of - the analysis are to be delivered; and

- - - SA-15(7)(d)[2] -

requires the developer of the information system, system component, or - information system service to deliver the outputs of the tools and results - of the analysis to organization-defined personnel or roles.

- - SA-15(7)(d) - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

vulnerability analysis tools and associated documentation

-

risk assessment reports

-

vulnerability analysis results

-

vulnerability mitigation reports

-

risk mitigation strategy documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel performing automated vulnerability analysis on the - information system

- - - - TEST - -

Organizational processes for vulnerability analysis of information systems, - system components, or information system services under development

-

automated mechanisms supporting and/or implementing vulnerability analysis of - information systems, system components, or information system services under - development

- - - - - Reuse of Threat / Vulnerability Information - SA-15(8) - sa-15.08 - -

The organization requires the developer of the information system, system - component, or information system service to use threat modeling and vulnerability - analyses from similar systems, components, or services to inform the current - development process.

- - -

Analysis of vulnerabilities found in similar software applications can inform - potential design or implementation issues for information systems under - development. Similar information systems or system components may exist within - developer organizations. Authoritative vulnerability information is available from - a variety of public and private sector sources including, for example, the - National Vulnerability Database.

- - -

Determine if the organization requires the developer of the information system, - system component, or information system service to use threat modeling and - vulnerability analyses from similar systems, components, or services to inform the - current development process.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

threat modeling and vulnerability analyses from similar information systems, - system components, or information system service

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - Use of Live Data - SA-15(9) - sa-15.09 - -

The organization approves, documents, and controls the use of live data in - development and test environments for the information system, system component, or - information system service.

- - -

The use of live data in preproduction environments can result in significant risk - to organizations. Organizations can minimize such risk by using test or dummy data - during the development and testing of information systems, information system - components, and information system services.

- - -

Determine if the organization, for the information system, system component, or - information system service:

- - SA-15(9)[1] -

approves the use of live data in development and test environments;

- - - SA-15(9)[2] -

documents the use of live data in development and test environments; and

- - - SA-15(9)[3] -

controls the use of live data in development and test environments.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation authorizing use of live data in development and test - environments

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Organizational processes for approving, documenting, and controlling the use of - live data in development and test environments

-

automated mechanisms supporting and/or implementing the approval, - documentation, and control of the use of live data in development and test - environments

- - - - - Incident Response Plan - SA-15(10) - sa-15.10 - -

The organization requires the developer of the information system, system - component, or information system service to provide an incident response plan.

- - -

The incident response plan for developers of information systems, system - components, and information system services is incorporated into organizational - incident response plans to provide the type of incident response information not - readily available to organizations. Such information may be extremely helpful, for - example, when organizations respond to vulnerabilities in commercial off-the-shelf - (COTS) information technology products.

- IR-8 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to provide an incident response - plan.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, or services

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

developer incident response plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - Archive Information System / Component - SA-15(11) - sa-15.11 - -

The organization requires the developer of the information system or system - component to archive the system or component to be released or delivered together - with the corresponding evidence supporting the final security review.

- - -

Archiving relevant documentation from the development process can provide a - readily available baseline of information that can be helpful during information - system/component upgrades or modifications.

- - -

Determine if the organization requires the developer of the information system or - system component to archive the system or component to be released or delivered - together with the corresponding evidence supporting the final security review.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing development process, standards, and tools

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, or services

-

acquisition documentation

-

solicitation documentation

-

service-level agreements

-

developer incident response plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

- - - - - - Developer-provided Training - - - - SA-16 - sa-16 - -

The organization requires the developer of the information system, system component, - or information system service to provide on the - correct use and operation of the implemented security functions, controls, and/or - mechanisms.

- - -

This control applies to external and internal (in-house) developers. Training of - personnel is an essential element to ensure the effectiveness of security controls - implemented within organizational information systems. Training options include, for - example, classroom-style training, web-based/computer-based training, and hands-on - training. Organizations can also request sufficient training materials from - developers to conduct in-house training or offer self-training to organizational - personnel. Organizations determine the type of training necessary and may require - different types of training for different security functions, controls, or - mechanisms.

- AT-2 - AT-3 - SA-5 - - -

Determine if the organization:

- - SA-16[1] -

defines training to be provided by the developer of the information system, system - component, or information system service; and

- - - SA-16[2] -

requires the developer of the information system, system component, or information - system service to provide organization-defined training on the correct use and - operation of the implemented security functions, controls, and/or mechanisms.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing developer-provided training

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

developer-provided training materials

-

training records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information system security responsibilities

-

system developer

-

organizational or third-party developers with training responsibilities for the - information system, system component, or information system service

- - - - - Developer Security Architecture and Design - SA-17 - sa-17 - -

The organization requires the developer of the information system, system component, - or information system service to produce a design specification and security - architecture that:

- - a. -

Is consistent with and supportive of the organization’s security architecture - which is established within and is an integrated part of the organization’s - enterprise architecture;

- - - b. -

Accurately and completely describes the required security functionality, and the - allocation of security controls among physical and logical components; and

- - - c. -

Expresses how individual security functions, mechanisms, and services work - together to provide required security capabilities and a unified approach to - protection.

- - - -

This control is primarily directed at external developers, although it could also be - used for internal (in-house) development. In contrast, PL-8 is primarily directed at - internal developers to help ensure that organizations develop an information security - architecture and such security architecture is integrated or tightly coupled to the - enterprise architecture. This distinction is important if/when organizations - outsource the development of information systems, information system components, or - information system services to external entities, and there is a requirement to - demonstrate consistency with the organization’s enterprise architecture and - information security architecture.

- PL-8 - PM-7 - SA-3 - SA-8 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to produce a design specification and - security architecture that:

- - SA-17(a) -

is consistent with and supportive of the organization’s security architecture - which is established within and is an integrated part of the organization’s - enterprise architecture;

- - - SA-17(b) -

accurately and completely describes:

- - SA-17(b)[1] -

the required security functionality;

- - - SA-17(b)[2] -

the allocation of security controls among physical and logical components; - and

- - - - SA-17(c) -

expresses how individual security functions, mechanisms, and services work - together to provide required security capabilities and a unified approach to - protection.

- - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification for - the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or information - system service

-

design specification and security architecture documentation for the system

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - Formal Policy Model - - - - SA-17(1) - sa-17.01 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Produce, as an integral part of the development process, a formal policy model - describing the to be enforced; and

- - - (b) -

Prove that the formal policy model is internally consistent and sufficient to - enforce the defined elements of the organizational security policy when - implemented.

- - - -

Formal models describe specific behaviors or security policies using formal - languages, thus enabling the correctness of those behaviors/policies to be - formally proven. Not all components of information systems can be modeled, and - generally, formal specifications are scoped to specific behaviors or policies of - interest (e.g., nondiscretionary access control policies). Organizations choose - the particular formal modeling language and approach based on the nature of the - behaviors/policies to be described and the available tools. Formal modeling tools - include, for example, Gypsy and Zed.

- - -

Determine if the organization:

- - SA-17(1)(a) - - SA-17(1)(a)[1] -

defines elements of the organizational security policy to be enforced under - a formal policy model produced by the developer as an integral part of the - development process for the information system, system component, or - information system service;

- - - SA-17(1)(a)[2] -

requires the developer of the information system, system component, or - information system service to produce, as an integral part of the - development process, a formal policy model describing the - organization-defined elements of organizational security policy to be - enforced; and

- - SA-17(1)(a) - - - SA-17(1)(b) -

requires the developer of the information system, system component, or - information system service to prove that the formal policy model is internally - consistent and sufficient to enforce the defined elements of the organizational - security policy when implemented.

- SA-17(1)(b) - - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

design specification and security architecture documentation for the system

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - Security-relevant Components - SA-17(2) - sa-17.02 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Define security-relevant hardware, software, and firmware; and

- - - (b) -

Provide a rationale that the definition for security-relevant hardware, - software, and firmware is complete.

- - - -

Security-relevant hardware, software, and firmware represent the portion of the - information system, component, or service that must be trusted to perform - correctly in order to maintain required security properties.

- SA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to:

- - SA-17(2)(a) - - SA-17(2)(a)[1] -

define security-relevant hardware;

- - - SA-17(2)(a)[2] -

define security-relevant software;

- - - SA-17(2)(a)[3] -

define security-relevant firmware; and

- - SA-17(2)(a) - - - SA-17(2)(b) -

provide a rationale that the definition for security-relevant hardware, - software, and firmware components is complete.

- SA-17(2)(b) - - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

list of security-relevant hardware, software, and firmware components

-

documented rationale of completeness regarding definitions provided for - security-relevant hardware, software, and firmware

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel with security architecture and design - responsibilities

- - - - - Formal Correspondence - SA-17(3) - sa-17.03 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Produce, as an integral part of the development process, a formal top-level - specification that specifies the interfaces to security-relevant hardware, - software, and firmware in terms of exceptions, error messages, and effects;

- - - (b) -

Show via proof to the extent feasible with additional informal demonstration as - necessary, that the formal top-level specification is consistent with the - formal policy model;

- - - (c) -

Show via informal demonstration, that the formal top-level specification - completely covers the interfaces to security-relevant hardware, software, and - firmware;

- - - (d) -

Show that the formal top-level specification is an accurate description of the - implemented security-relevant hardware, software, and firmware; and

- - - (e) -

Describe the security-relevant hardware, software, and firmware mechanisms not - addressed in the formal top-level specification but strictly internal to the - security-relevant hardware, software, and firmware.

- - - -

Correspondence is an important part of the assurance gained through modeling. It - demonstrates that the implementation is an accurate transformation of the model, - and that any additional code or implementation details present have no impact on - the behaviors or policies being modeled. Formal methods can be used to show that - the high-level security properties are satisfied by the formal information system - description, and that the formal system description is correctly implemented by a - description of some lower level, for example a hardware description. Consistency - between the formal top-level specification and the formal policy models is - generally not amenable to being fully proven. Therefore, a combination of - formal/informal methods may be needed to show such consistency. Consistency - between the formal top-level specification and the implementation may require the - use of an informal demonstration due to limitations in the applicability of formal - methods to prove that the specification accurately reflects the implementation. - Hardware, software, and firmware mechanisms strictly internal to security-relevant - hardware, software, and firmware include, for example, mapping registers and - direct memory input/output.

- SA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to:

- - SA-17(3)(a) -

produce, as an integral part of the development process, a formal top-level - specification that specifies the interfaces to security-relevant hardware, - software, and firmware in terms of:

- - SA-17(3)(a)[1] -

exceptions;

- - - SA-17(3)(a)[2] -

error messages;

- - - SA-17(3)(a)[3] -

effects;

- - SA-17(3)(a) - - - SA-17(3)(b) -

show via proof to the extent feasible with additional informal demonstration as - necessary, that the formal top-level specification is consistent with the - formal policy model;

- SA-17(3)(b) - - - SA-17(3)(c) -

show via informal demonstration, that the formal top-level specification - completely covers the interfaces to security-relevant hardware, software, and - firmware;

- SA-17(3)(c) - - - SA-17(3)(d) -

show that the formal top-level specification is an accurate description of the - implemented security-relevant hardware, software, and firmware; and

- SA-17(3)(d) - - - SA-17(3)(e) -

describe the security-relevant hardware, software, and firmware mechanisms not - addressed in the formal top-level specification but strictly internal to the - security-relevant hardware, software, and firmware.

- SA-17(3)(e) - - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

formal policy model

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

formal top-level specification documentation

-

information system security architecture and design documentation

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation describing security-relevant hardware, software and firmware - mechanisms not addressed in the formal top-level specification - documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - Informal Correspondence - - - - SA-17(4) - sa-17.04 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Produce, as an integral part of the development process, an informal - descriptive top-level specification that specifies the interfaces to - security-relevant hardware, software, and firmware in terms of exceptions, - error messages, and effects;

- - - (b) -

Show via that the descriptive top-level - specification is consistent with the formal policy model;

- - - (c) -

Show via informal demonstration, that the descriptive top-level specification - completely covers the interfaces to security-relevant hardware, software, and - firmware;

- - - (d) -

Show that the descriptive top-level specification is an accurate description of - the interfaces to security-relevant hardware, software, and firmware; and

- - - (e) -

Describe the security-relevant hardware, software, and firmware mechanisms not - addressed in the descriptive top-level specification but strictly internal to - the security-relevant hardware, software, and firmware.

- - - -

Correspondence is an important part of the assurance gained through modeling. It - demonstrates that the implementation is an accurate transformation of the model, - and that any additional code or implementation details present has no impact on - the behaviors or policies being modeled. Consistency between the descriptive - top-level specification (i.e., high-level/low-level design) and the formal policy - model is generally not amenable to being fully proven. Therefore, a combination of - formal/informal methods may be needed to show such consistency. Hardware, - software, and firmware mechanisms strictly internal to security-relevant hardware, - software, and firmware include, for example, mapping registers and direct memory - input/output.

- SA-5 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to:

- - SA-17(4)(a) -

produce, as an integral part of the development process, an informal - descriptive top-level specification that specifies the interfaces to - security-relevant hardware, software, and firmware in terms of:

- - SA-17(4)(a)[1] -

exceptions;

- - - SA-17(4)(a)[2] -

error messages;

- - - SA-17(4)(a)[3] -

effects;

- - SA-17(4)(a) - - - SA-17(4)(b) -

show via informal demonstration and/or convincing argument with formal methods - as feasible that the descriptive top-level specification is consistent with the - formal policy model;

- SA-17(4)(b) - - - SA-17(4)(c) -

show via informal demonstration, that the descriptive top-level specification - completely covers the interfaces to security-relevant hardware, software, and - firmware;

- SA-17(4)(c) - - - SA-17(4)(d) -

show that the descriptive top-level specification is an accurate description of - the interfaces to the security-relevant hardware, software, and firmware; - and

- SA-17(4)(d) - - - SA-17(4)(e) -

describe the security-relevant hardware, software, and firmware mechanisms not - addressed in the descriptive top-level specification but strictly internal to - the security-relevant hardware, software, and firmware.

- SA-17(4)(e) - - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

formal policy model

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

informal descriptive top-level specification documentation

-

information system security architecture and design documentation

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation describing security-relevant hardware, software and firmware - mechanisms not addressed in the informal descriptive top-level specification - documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - Conceptually Simple Design - SA-17(5) - sa-17.05 - -

The organization requires the developer of the information system, system - component, or information system service to:

- - (a) -

Design and structure the security-relevant hardware, software, and firmware to - use a complete, conceptually simple protection mechanism with precisely defined - semantics; and

- - - (b) -

Internally structure the security-relevant hardware, software, and firmware - with specific regard for this mechanism.

- - - - SC-3 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to:

- - SA-17(5)(a) -

design and structure the security-relevant hardware, software, and firmware to - use a complete, conceptually simple protection mechanism with precisely defined - semantics; and

- SA-17(5)(a) - - - SA-17(5)(b) -

internally structure the security-relevant hardware, software, and firmware - with specific regard for this mechanism.

- SA-17(5)(b) - - - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

information system design documentation

-

information system security architecture documentation

-

information system configuration settings and associated documentation

-

developer documentation describing design and structure of security-relevant - hardware, software, and firmware components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - Structure for Testing - SA-17(6) - sa-17.06 - -

The organization requires the developer of the information system, system - component, or information system service to structure security-relevant hardware, - software, and firmware to facilitate testing.

- - - SA-11 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to structure security-relevant - hardware, software, and firmware to facilitate testing.

- - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

information system design documentation

-

information system security architecture documentation

-

information system configuration settings and associated documentation

-

developer documentation describing design and structure of security-relevant - hardware, software, and firmware components to facilitate testing

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - Structure for Least Privilege - SA-17(7) - sa-17.07 - -

The organization requires the developer of the information system, system - component, or information system service to structure security-relevant hardware, - software, and firmware to facilitate controlling access with least privilege.

- - - AC-5 - AC-6 - - -

Determine if the organization requires the developer of the information system, - system component, or information system service to structure security-relevant - hardware, software, and firmware to facilitate controlling access with least - privilege.

- - - EXAMINE - -

System and services acquisition policy

-

enterprise architecture policy

-

procedures addressing developer security architecture and design specification - for the information system

-

solicitation documentation

-

acquisition documentation

-

service-level agreements

-

acquisition contracts for the information system, system component, or - information system service

-

information system design documentation

-

information system security architecture documentation

-

information system configuration settings and associated documentation

-

developer documentation describing design and structure of security-relevant - hardware, software, and firmware components to facilitate controlling access - with least privilege

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with security architecture and design - responsibilities

- - - - - - Tamper Resistance and Detection - SA-18 - sa-18 - -

The organization implements a tamper protection program for the information system, - system component, or information system service.

- - -

Anti-tamper technologies and techniques provide a level of protection for critical - information systems, system components, and information technology products against a - number of related threats including modification, reverse engineering, and - substitution. Strong identification combined with tamper resistance and/or tamper - detection is essential to protecting information systems, components, and products - during distribution and when in use.

- PE-3 - SA-12 - SI-7 - - -

Determine if the organization implements a tamper protection program for the - information system, system component, or information system service.

- - - EXAMINE - -

System and services acquisition policy

-

procedures addressing tamper resistance and detection

-

tamper protection program documentation

-

tamper protection tools and techniques documentation

-

tamper resistance and detection tools and techniques documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for the tamper protection program

- - - - TEST - -

Organizational processes for implementation of the tamper protection program

-

automated mechanisms supporting and/or implementing the tamper protection - program

- - - - Multiple Phases of SDLC - SA-18(1) - sa-18.01 - -

The organization employs anti-tamper technologies and techniques during multiple - phases in the system development life cycle including design, development, - integration, operations, and maintenance.

- - -

Organizations use a combination of hardware and software techniques for tamper - resistance and detection. Organizations employ obfuscation and self-checking, for - example, to make reverse engineering and modifications more difficult, - time-consuming, and expensive for adversaries. Customization of information - systems and system components can make substitutions easier to detect and - therefore limit damage.

- SA-3 - - -

Determine if the organization employs anti-tamper technologies and techniques - during multiple phases in the system development life cycle including:

- - SA-18(1)[1] -

design;

- - - SA-18(1)[2] -

development;

- - - SA-18(1)[3] -

integration;

- - - SA-18(1)[4] -

operations; and

- - - SA-18(1)[5] -

maintenance.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing tamper resistance and detection

-

tamper protection program documentation

-

tamper protection tools and techniques documentation

-

tamper resistance and detection tools (technologies) and techniques - documentation

-

system development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for the tamper protection - program

-

organizational personnel with SDLC responsibilities

- - - - TEST - -

Organizational processes for employing anti-tamper technologies

-

automated mechanisms supporting and/or implementing anti-tamper - technologies

- - - - - Inspection of Information Systems, Components, or Devices - - - - - - - - - - - - - SA-18(2) - sa-18.02 - -

The organization inspects - to detect tampering.

- - -

This control enhancement addresses both physical and logical tampering and is - typically applied to mobile devices, notebook computers, or other system - components taken out of organization-controlled areas. Indications of need for - inspection include, for example, when individuals return from travel to high-risk - locations.

- SI-4 - - -

Determine if the organization:

- - SA-18(2)[1] -

defines information systems, system components, or devices to be inspected to - detect tampering;

- - - SA-18(2)[2] -

defines the frequency to inspect organization-defined information systems, - system components, or devices to detect tampering;

- - - SA-18(2)[3] -

defines indications of need for inspection of organization-defined information - systems, system components, or devices to detect tampering;

- - - SA-18(2)[4] -

inspects organization-defined information systems, system components, or - devices to detect tampering, selecting one or more of the following:

- - SA-18(2)[4][a] -

at random;

- - - SA-18(2)[4][b] -

with the organization-defined frequency; and/or

- - - SA-18(2)[4][c] -

upon organization-defined indications of need for inspection.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing tamper resistance and detection

-

records of random inspections

-

inspection reports/results

-

assessment reports/results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for the tamper protection - program

- - - - TEST - -

Organizational processes for inspecting information systems, system components, - or devices to detect tampering

-

automated mechanisms supporting and/or implementing tampering detection

- - - - - - Component Authenticity - - - - - - - - - - SA-19 - sa-19 - -

The organization:

- - a. -

Develops and implements anti-counterfeit policy and procedures that include the - means to detect and prevent counterfeit components from entering the information - system; and

- - - b. -

Reports counterfeit information system components to .

- - - -

Sources of counterfeit components include, for example, manufacturers, developers, - vendors, and contractors. Anti-counterfeiting policy and procedures support tamper - resistance and provide a level of protection against the introduction of malicious - code. External reporting organizations include, for example, US-CERT.

- PE-3 - SA-12 - SI-7 - - -

Determine if the organization:

- - SA-19(a) -

develops and implements anti-counterfeit policy and procedures that include the - means to detect and prevent counterfeit components from entering the information - system;

- - - SA-19(b) - - SA-19(b)[1] -

defines external reporting organizations to whom counterfeit information system - components are to be reported;

- - - SA-19(b)[2] -

defines personnel or roles to whom counterfeit information system components - are to be reported;

- - - SA-19(b)[3] -

reports counterfeit information system components to one or more of the - following:

- - SA-19(b)[3][a] -

the source of counterfeit component;

- - - SA-19(b)[3][b] -

the organization-defined external reporting organizations; and/or

- - - SA-19(b)[3][c] -

the organization-defined personnel or roles.

- - - - - - EXAMINE - -

System and services acquisition policy

-

anti-counterfeit policy and procedures

-

media disposal policy

-

media protection policy

-

incident response policy

-

training materials addressing counterfeit information system components

-

training records on detection and prevention of counterfeit components from - entering the information system

-

reports notifying developers/manufacturers/vendors/ contractors and/or external - reporting organizations of counterfeit information system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for anti-counterfeit policy, - procedures, and reporting

- - - - TEST - -

Organizational processes for anti-counterfeit detection, prevention, and - reporting

-

automated mechanisms supporting and/or implementing anti-counterfeit detection, - prevention, and reporting

- - - - Anti-counterfeit Training - - - - SA-19(1) - sa-19.01 - -

The organization trains to detect counterfeit - information system components (including hardware, software, and firmware).

- - -

Determine if the organization:

- - SA-19(1)[1] -

defines personnel or roles to be trained to detect counterfeit information - system components (including hardware, software, and firmware); and

- - - SA-19(1)[2] -

trains organization-defined personnel or roles to detect counterfeit - information system components (including hardware, software, and firmware).

- - - - EXAMINE - -

System and services acquisition policy

-

anti-counterfeit policy and procedures

-

media disposal policy

-

media protection policy

-

incident response policy

-

training materials addressing counterfeit information system components

-

training records on detection of counterfeit information system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for anti-counterfeit policy, - procedures, and training

- - - - TEST - -

Organizational processes for anti-counterfeit training

- - - - - Configuration Control for Component Service / Repair - - - - SA-19(2) - sa-19.02 - -

The organization maintains configuration control over awaiting service/repair and serviced/repaired - components awaiting return to service.

- - -

Determine if the organization:

- - SA-19(2)[1] -

defines information system components requiring configuration control to be - maintained when awaiting service/repair;

- - - SA-19(2)[2] -

defines information system components requiring configuration control to be - maintained when awaiting return to service; and

- - - SA-19(2)[3] -

maintains configuration control over organization-defined information system - components awaiting service/repairs and serviced/repaired components awaiting - return to service.

- - - - EXAMINE - -

System and services acquisition policy

-

anti-counterfeit policy and procedures

-

media protection policy

-

configuration management plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

configuration control records for components awaiting service/repair

-

configuration control records for serviced/repaired components awaiting return - to service

-

information system maintenance records

-

information system audit records

-

inventory management records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for anti-counterfeit policy and - procedures

-

organizational personnel with responsibility for configuration management

- - - - TEST - -

Organizational processes for configuration management

-

automated mechanisms supporting and/or implementing configuration - management

- - - - - Component Disposal - - - - SA-19(3) - sa-19.03 - -

The organization disposes of information system components using .

- - -

Proper disposal of information system components helps to prevent such components - from entering the gray market.

- - -

Determine if the organization:

- - SA-19(3)[1] -

defines techniques and methods to dispose of information system components; - and

- - - SA-19(3)[2] -

disposes of information system components using organization-defined techniques - and methods.

- - - - EXAMINE - -

System and services acquisition policy

-

anti-counterfeit policy and procedures

-

media disposal policy

-

media protection policy

-

disposal records for information system components

-

documentation of disposal techniques and methods employed for information - system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for anti-counterfeit policy and - procedures

-

organizational personnel with responsibility for disposal of information system - components

- - - - TEST - -

Organizational techniques and methods for information system component - disposal

-

automated mechanisms supporting and/or implementing system component - disposal

- - - - - Anti-counterfeit Scanning - - - - SA-19(4) - sa-19.04 - -

The organization scans for counterfeit information system components .

- - -

Determine if the organization:

- - SA-19(4)[1] -

defines a frequency to scan for counterfeit information system components; - and

- - - SA-19(4)[2] -

scans for counterfeit information system components with the - organization-defined frequency.

- - - - EXAMINE - -

System and services acquisition policy

-

anti-counterfeit policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

scanning tools and associated documentation

-

scanning results

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for anti-counterfeit policy and - procedures

-

organizational personnel with responsibility for anti-counterfeit scanning

- - - - TEST - -

Organizational processes for anti-counterfeit scanning

-

automated mechanisms supporting and/or implementing anti-counterfeit - scanning

- - - - - - Customized Development of Critical Components - - - - SA-20 - sa-20 - -

The organization re-implements or custom develops .

- - -

Organizations determine that certain information system components likely cannot be - trusted due to specific threats to and vulnerabilities in those components, and for - which there are no viable security controls to adequately mitigate the resulting - risk. Re-implementation or custom development of such components helps to satisfy - requirements for higher assurance. This is accomplished by initiating changes to - system components (including hardware, software, and firmware) such that the standard - attacks by adversaries are less likely to succeed. In situations where no alternative - sourcing is available and organizations choose not to re-implement or custom develop - critical information system components, additional safeguards can be employed (e.g., - enhanced auditing, restrictions on source code and system utility access, and - protection from deletion of system and application files.

- CP-2 - SA-8 - SA-14 - - -

Determine if the organization:

- - SA-20[1] -

defines critical information system components to be re-implemented or custom - developed; and

- - - SA-20[2] -

re-implements or custom develops organization-defined information system - components.

- - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing customized development of critical information system - components

-

information system design documentation

-

information system configuration settings and associated documentation

-

system development life cycle documentation addressing custom development of - critical information system components

-

configuration management records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility re-implementation or customized - development of critical information system components

- - - - TEST - -

Organizational processes for re-implementing or customized development of critical - information system components

-

automated mechanisms supporting and/or implementing re-implementation or - customized development of critical information system components

- - - - - Developer Screening - - - - - - - - - - SA-21 - sa-21 - -

The organization requires that the developer of :

- - a. -

Have appropriate access authorizations as determined by assigned ; and

- - - b. -

Satisfy .

- - - -

Because the information system, system component, or information system service may - be employed in critical activities essential to the national and/or economic security - interests of the United States, organizations have a strong interest in ensuring that - the developer is trustworthy. The degree of trust required of the developer may need - to be consistent with that of the individuals accessing the information - system/component/service once deployed. Examples of authorization and personnel - screening criteria include clearance, satisfactory background checks, citizenship, - and nationality. Trustworthiness of developers may also include a review and analysis - of company ownership and any relationships the company has with entities potentially - affecting the quality/reliability of the systems, components, or services being - developed.

- PS-3 - PS-7 - - -

Determine if the organization:

- - SA-21[1] -

defines the information system, system component, or information system service - for which the developer is to be screened;

- - - SA-21[2] -

defines official government duties to be used to determine appropriate access - authorizations for the developer;

- - - SA-21[3] -

defines additional personnel screening criteria to be satisfied by the - developer;

- - - SA-21[4] - - SA-21[4][a] -

requires that the developer of organization-defined information system, system - component, or information system service have appropriate access authorizations - as determined by assigned organization-defined official government duties; - and

- - - SA-21[4][b] -

requires that the developer of organization-defined information system, system - component, or information system service satisfy organization-defined - additional personnel screening criteria.

- - - - - EXAMINE - -

System and services acquisition policy

-

personnel security policy and procedures

-

procedures addressing personnel screening

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of appropriate access authorizations required by developers of the - information system

-

personnel screening criteria and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for developer screening

- - - - TEST - -

Organizational processes for developer screening

-

automated mechanisms supporting developer screening

- - - - Validation of Screening - - - - SA-21(1) - sa-21.01 - -

The organization requires the developer of the information system, system - component, or information system service take - to ensure that the required access authorizations and screening criteria are - satisfied.

- - -

Satisfying required access authorizations and personnel screening criteria - includes, for example, providing a listing of all the individuals authorized to - perform development activities on the selected information system, system - component, or information system service so that organizations can validate that - the developer has satisfied the necessary authorization and screening - requirements.

- - -

Determine if the organization:

- - SA-21(1)[1] -

defines actions to be taken by the developer of the information system, system - component, or information system service to ensure that the required access - authorizations and screening criteria are satisfied; and

- - - SA-21(1)[2] -

requires the developer of the information system, system component, or - information system service take organization-defined actions to ensure that the - required access authorizations and screening criteria are satisfied.

- - - - EXAMINE - -

System and services acquisition policy

-

personnel security policy and procedures

-

procedures addressing personnel screening

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of appropriate access authorizations required by developers of the - information system

-

personnel screening criteria and associated documentation

-

list of actions ensuring required access authorizations and screening criteria - are satisfied

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for developer screening

-

system developer

- - - - TEST - -

Organizational processes for developer screening

-

automated mechanisms supporting developer screening

- - - - - - Unsupported System Components - SA-22 - sa-22 - -

The organization:

- - a. -

Replaces information system components when support for the components is no - longer available from the developer, vendor, or manufacturer; and

- - - b. -

Provides justification and documents approval for the continued use of unsupported - system components required to satisfy mission/business needs.

- - - -

Support for information system components includes, for example, software patches, - firmware updates, replacement parts, and maintenance contracts. Unsupported - components (e.g., when vendors are no longer providing critical software patches), - provide a substantial opportunity for adversaries to exploit new weaknesses - discovered in the currently installed components. Exceptions to replacing unsupported - system components may include, for example, systems that provide critical - mission/business capability where newer technologies are not available or where the - systems are so isolated that installing replacement components is not an option.

- PL-2 - SA-3 - - -

Determine if the organization:

- - SA-22(a) -

replaces information system components when support for the components is no - longer available from the developer, vendor, or manufacturer;

- - - SA-22(b) - - SA-22(b)[1] -

provides justification for the continued use of unsupported system components - required to satisfy mission/business needs; and

- - - SA-22(b)[2] -

documents approval for the continued use of unsupported system components - required to satisfy mission/business needs.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing replacement or continued use of unsupported information - system components

-

documented evidence of replacing unsupported information system components

-

documented approvals (including justification) for continued use of unsupported - information system components

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility system development life cycle

-

organizational personnel responsible for configuration management

- - - - TEST - -

Organizational processes for replacing unsupported system components

-

automated mechanisms supporting and/or implementing replacement of unsupported - system components

- - - - Alternative Sources for Continued Support - - - - - - - SA-22(1) - sa-22.01 - -

The organization provides for unsupported - information system components.

- - -

This control enhancement addresses the need to provide continued support for - selected information system components that are no longer supported by the - original developers, vendors, or manufacturers when such components remain - essential to mission/business operations. Organizations can establish in-house - support, for example, by developing customized patches for critical software - components or secure the services of external providers who through contractual - relationships, provide ongoing support for the designated unsupported components. - Such contractual relationships can include, for example, Open Source Software - value-added vendors.

- - -

Determine if the organization:

- - SA-22(1)[1] -

defines support from external providers to be provided for unsupported - information system components;

- - - SA-22(1)[2] -

provides and/or obtains support for unsupported information system components - from one or more of the following:

- - SA-22(1)[2][a] -

in-house support; and/or

- - - SA-22(1)[2][b] -

organization-defined support from external providers.

- - - - - EXAMINE - -

System and services acquisition policy

-

procedures addressing support for unsupported information system components

-

solicitation documentation

-

acquisition documentation

-

acquisition contracts

-

service-level agreements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and services acquisition - responsibilities

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility system development life cycle

-

organizational personnel or third-party external providers supporting - information system components no longer supported by original developers, - vendors, or manufacturers

- - - - TEST - -

Organizational processes for supporting system components no longer supported - by original developers, vendors, or manufacturers

-

automated mechanisms providing support for system components no longer - supported by original developers, vendors, or manufacturers

- - - - - - - System and Communications Protection - - System and Communications Protection Policy and Procedures - - - - - - - - - - SC-1 - sc-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and communications protection policy that addresses purpose, scope, - roles, responsibilities, management commitment, coordination among - organizational entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and communications - protection policy and associated system and communications protection controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and communications protection policy ; - and

- - - 2. -

System and communications protection procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SC - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SC-1(a) - - SC-1(a)(1) - - SC-1(a)(1)[1] -

develops and documents a system and communications protection policy that - addresses:

- - SC-1(a)(1)[1][a] -

purpose;

- - - SC-1(a)(1)[1][b] -

scope;

- - - SC-1(a)(1)[1][c] -

roles;

- - - SC-1(a)(1)[1][d] -

responsibilities;

- - - SC-1(a)(1)[1][e] -

management commitment;

- - - SC-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SC-1(a)(1)[1][g] -

compliance;

- - - - SC-1(a)(1)[2] -

defines personnel or roles to whom the system and communications protection - policy is to be disseminated;

- - - SC-1(a)(1)[3] -

disseminates the system and communications protection policy to - organization-defined personnel or roles;

- - - - SC-1(a)(2) - - SC-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and communications protection policy and associated system and - communications protection controls;

- - - SC-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - SC-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SC-1(b) - - SC-1(b)(1) - - SC-1(b)(1)[1] -

defines the frequency to review and update the current system and - communications protection policy;

- - - SC-1(b)(1)[2] -

reviews and updates the current system and communications protection policy - with the organization-defined frequency;

- - - - SC-1(b)(2) - - SC-1(b)(2)[1] -

defines the frequency to review and update the current system and - communications protection procedures; and

- - - SC-1(b)(2)[2] -

reviews and updates the current system and communications protection - procedures with the organization-defined frequency.

- - - - - - EXAMINE - -

System and communications protection policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and communications protection - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Application Partitioning - SC-2 - sc-02 - -

The information system separates user functionality (including user interface - services) from information system management functionality.

- - -

Information system management functionality includes, for example, functions - necessary to administer databases, network components, workstations, or servers, and - typically requires privileged user access. The separation of user functionality from - information system management functionality is either physical or logical. - Organizations implement separation of system management-related functionality from - user functionality by using different computers, different central processing units, - different instances of operating systems, different network addresses, virtualization - techniques, or combinations of these or other methods, as appropriate. This type of - separation includes, for example, web administrative interfaces that use separate - authentication methods for users of any other information system resources. - Separation of system and user functionality may include isolating administrative - interfaces on different domains and with additional access controls.

- SA-4 - SA-8 - SC-3 - - -

Determine if the information system separates user functionality (including user - interface services) from information system management functionality.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing application partitioning

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Separation of user functionality from information system management - functionality

- - - - Interfaces for Non-privileged Users - SC-2(1) - sc-02.01 - -

The information system prevents the presentation of information system - management-related functionality at an interface for non-privileged users.

- - -

This control enhancement ensures that administration options (e.g., administrator - privileges) are not available to general users (including prohibiting the use of - the grey-out option commonly used to eliminate accessibility to such information). - Such restrictions include, for example, not presenting administration options - until users establish sessions with administrator privileges.

- AC-3 - - -

Determine if the information system prevents the presentation of information - system management-related functionality at an interface for non-privileged - users.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing application partitioning

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

non-privileged users of the information system

-

system developer

- - - - TEST - -

Separation of user functionality from information system management - functionality

- - - - - - Security Function Isolation - SC-3 - sc-03 - -

The information system isolates security functions from nonsecurity functions.

- - -

The information system isolates security functions from nonsecurity functions by - means of an isolation boundary (implemented via partitions and domains). Such - isolation controls access to and protects the integrity of the hardware, software, - and firmware that perform those security functions. Information systems implement - code separation (i.e., separation of security functions from nonsecurity functions) - in a number of ways, including, for example, through the provision of security - kernels via processor rings or processor modes. For non-kernel code, security - function isolation is often achieved through file system protections that serve to - protect the code on disk, and address space protections that protect executing code. - Information systems restrict access to security functions through the use of access - control mechanisms and by implementing least privilege capabilities. While the ideal - is for all of the code within the security function isolation boundary to only - contain security-relevant code, it is sometimes necessary to include nonsecurity - functions within the isolation boundary as an exception.

- AC-3 - AC-6 - SA-4 - SA-5 - SA-8 - SA-13 - SC-2 - SC-7 - SC-39 - - -

Determine if the information system isolates security functions from nonsecurity - functions.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

list of security functions to be isolated from nonsecurity functions

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Separation of security functions from nonsecurity functions within the information - system

- - - - Hardware Separation - SC-3(1) - sc-03.01 - -

The information system utilizes underlying hardware separation mechanisms to - implement security function isolation.

- - -

Underlying hardware separation mechanisms include, for example, hardware ring - architectures, commonly implemented within microprocessors, and hardware-enforced - address segmentation used to support logically distinct storage objects with - separate attributes (i.e., readable, writeable).

- - -

Determine if the information system utilizes underlying hardware separation - mechanisms to implement security function isolation.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

information system design documentation

-

hardware separation mechanisms

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Separation of security functions from nonsecurity functions within the - information system

- - - - - Access / Flow Control Functions - SC-3(2) - sc-03.02 - -

The information system isolates security functions enforcing access and - information flow control from nonsecurity functions and from other security - functions.

- - -

Security function isolation occurs as a result of implementation; the functions - can still be scanned and monitored. Security functions that are potentially - isolated from access and flow control enforcement functions include, for example, - auditing, intrusion detection, and anti-virus functions.

- - -

Determine if the information system isolates security functions enforcing:

- - SC-3(2)[1] -

access control from nonsecurity functions;

- - - SC-3(2)[2] -

information flow control from nonsecurity functions;

- - - SC-3(2)[3] -

access control from other security functions; and

- - - SC-3(2)[4] -

information flow control from other security functions.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

list of critical security functions

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Isolation of security functions enforcing access and information flow - control

- - - - - Minimize Nonsecurity Functionality - SC-3(3) - sc-03.03 - -

The organization minimizes the number of nonsecurity functions included within the - isolation boundary containing security functions.

- - -

In those instances where it is not feasible to achieve strict isolation of - nonsecurity functions from security functions, it is necessary to take actions to - minimize the nonsecurity-relevant functions within the security function boundary. - Nonsecurity functions contained within the isolation boundary are considered - security-relevant because errors or maliciousness in such software, by virtue of - being within the boundary, can impact the security functions of organizational - information systems. The design objective is that the specific portions of - information systems providing information security are of minimal size/complexity. - Minimizing the number of nonsecurity functions in the security-relevant components - of information systems allows designers and implementers to focus only on those - functions which are necessary to provide the desired security capability - (typically access enforcement). By minimizing nonsecurity functions within the - isolation boundaries, the amount of code that must be trusted to enforce security - policies is reduced, thus contributing to understandability.

- - -

Determine if the organization implements an information system isolation boundary - to minimize the number of nonsecurity functions included within the boundary - containing security functions.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing an isolation boundary

- - - - - Module Coupling and Cohesiveness - SC-3(4) - sc-03.04 - -

The organization implements security functions as largely independent modules that - maximize internal cohesiveness within modules and minimize coupling between - modules.

- - -

The reduction in inter-module interactions helps to constrain security functions - and to manage complexity. The concepts of coupling and cohesion are important with - respect to modularity in software design. Coupling refers to the dependencies that - one module has on other modules. Cohesion refers to the relationship between the - different functions within a particular module. Good software engineering - practices rely on modular decomposition, layering, and minimization to reduce and - manage complexity, thus producing software modules that are highly cohesive and - loosely coupled.

- - -

Determine if the organization implements security functions as largely independent - modules that:

- - SC-3(4)[1] -

maximize internal cohesiveness within modules; and

- - - SC-3(4)[2] -

minimize coupling between modules.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for maximizing internal cohesiveness within modules - and minimizing coupling between modules

-

automated mechanisms supporting and/or implementing security functions as - independent modules

- - - - - Layered Structures - SC-3(5) - sc-03.05 - -

The organization implements security functions as a layered structure minimizing - interactions between layers of the design and avoiding any dependence by lower - layers on the functionality or correctness of higher layers.

- - -

The implementation of layered structures with minimized interactions among - security functions and non-looping layers (i.e., lower-layer functions do not - depend on higher-layer functions) further enables the isolation of security - functions and management of complexity.

- - -

Determine if the organization implements security functions as a layered - structure:

- - SC-3(5)[1] -

minimizing interactions between layers of the design; and

- - - SC-3(5)[2] -

avoiding any dependence by lower layers on the functionality or correctness of - higher layers.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing security function isolation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for implementing security functions as a layered - structure that minimizes interactions between layers and avoids dependence by - lower layers on functionality/correctness of higher layers

-

automated mechanisms supporting and/or implementing security functions as a - layered structure

- - - - - - Information in Shared Resources - SC-4 - sc-04 - -

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

- - -

This control prevents information, including encrypted representations of - information, produced by the actions of prior users/roles (or the actions of - processes acting on behalf of prior users/roles) from being available to any current - users/roles (or current processes) that obtain access to shared system resources - (e.g., registers, main memory, hard disks) after those resources have been released - back to information systems. The control of information in shared resources is also - commonly referred to as object reuse and residual information protection. This - control does not address: (i) information remanence which refers to residual - representation of data that has been nominally erased or removed; (ii) covert - channels (including storage and/or timing channels) where shared resources are - manipulated to violate information flow restrictions; or (iii) components within - information systems for which there are only single users/roles.

- AC-3 - AC-4 - MP-6 - - -

Determine if the information system prevents unauthorized and unintended information - transfer via shared system resources.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing information protection in shared system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms preventing unauthorized and unintended transfer of - information via shared system resources

- - - - Security Levels - SC-4(1) - sc-04.01 - Withdrawn - SC-4 - - - Periods Processing - - - - SC-4(2) - sc-04.02 - -

The information system prevents unauthorized information transfer via shared - resources in accordance with when system - processing explicitly switches between different information classification levels - or security categories.

- - -

This control enhancement applies when there are explicit changes in information - processing levels during information system operations, for example, during - multilevel processing and periods processing with information at different - classification levels or security categories. Organization-defined procedures may - include, for example, approved sanitization processes for electronically stored - information.

- - -

Determine if:

- - SC-4(2)[1] -

the organization defines procedures to be employed to ensure unauthorized - information transfer via shared resources is prevented when system processing - explicitly switches between different information classification levels or - security categories; and

- - - SC-4(2)[2] -

the information system prevents unauthorized information transfer via shared - resources in accordance with organization-defined procedures when system - processing explicitly switches between different information classification - levels or security categories.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing information protection in shared system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms preventing unauthorized transfer of information via shared - system resources

- - - - - - Denial of Service Protection - - - - - - - SC-5 - sc-05 - -

The information system protects against or limits the effects of the following types - of denial of service attacks: by employing .

- - -

A variety of technologies exist to limit, or in some cases, eliminate the effects of - denial of service attacks. For example, boundary protection devices can filter - certain types of packets to protect information system components on internal - organizational networks from being directly affected by denial of service attacks. - Employing increased capacity and bandwidth combined with service redundancy may also - reduce the susceptibility to denial of service attacks.

- SC-6 - SC-7 - - -

Determine if:

- - SC-5[1] -

the organization defines types of denial of service attacks or reference to source - of such information for the information system to protect against or limit the - effects;

- - - SC-5[2] -

the organization defines security safeguards to be employed by the information - system to protect against or limit the effects of organization-defined types of - denial of service attacks; and

- - - SC-5[3] -

the information system protects against or limits the effects of the - organization-defined denial or service attacks (or reference to source for such - information) by employing organization-defined security safeguards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

security plan

-

list of denial of services attacks requiring employment of security safeguards to - protect against or limit effects of such attacks

-

list of security safeguards protecting against or limiting the effects of denial - of service attacks

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms protecting against or limiting the effects of denial of - service attacks

- - - - Restrict Internal Users - - - - SC-5(1) - sc-05.01 - -

The information system restricts the ability of individuals to launch against other information systems.

- - -

Restricting the ability of individuals to launch denial of service attacks - requires that the mechanisms used for such attacks are unavailable. Individuals of - concern can include, for example, hostile insiders or external adversaries that - have successfully breached the information system and are using the system as a - platform to launch cyber attacks on third parties. Organizations can restrict the - ability of individuals to connect and transmit arbitrary information on the - transport medium (i.e., network, wireless spectrum). Organizations can also limit - the ability of individuals to use excessive information system resources. - Protection against individuals having the ability to launch denial of service - attacks may be implemented on specific information systems or on boundary devices - prohibiting egress to potential target systems.

- - -

Determine if:

- - SC-5(1)[1] -

the organization defines denial of service attacks for which the information - system is required to restrict the ability of individuals to launch such - attacks against other information systems; and

- - - SC-5(1)[2] -

the information system restricts the ability of individuals to launch - organization-defined denial of service attacks against other information - systems.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

security plan

-

list of denial of service attacks launched by individuals against information - systems

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms restricting the ability to launch denial of service - attacks against other information systems

- - - - - Excess Capacity / Bandwidth / Redundancy - SC-5(2) - sc-05.02 - -

The information system manages excess capacity, bandwidth, or other redundancy to - limit the effects of information flooding denial of service attacks.

- - -

Managing excess capacity ensures that sufficient capacity is available to counter - flooding attacks. Managing excess capacity may include, for example, establishing - selected usage priorities, quotas, or partitioning.

- - -

Determine if the information system, to limit the effects of information flooding - denial of service attacks, manages:

- - SC-5(2)[1] -

excess capacity;

- - - SC-5(2)[2] -

bandwidth; or

- - - SC-5(2)[3] -

other redundancy.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms implementing management of information system bandwidth, - capacity, and redundancy to limit the effects of information flooding denial of - service attacks

- - - - - Detection / Monitoring - - - - - - - SC-5(3) - sc-05.03 - -

The organization:

- - (a) -

Employs to detect indicators of denial of - service attacks against the information system; and

- - - (b) -

Monitors to determine if sufficient resources - exist to prevent effective denial of service attacks.

- - - -

Organizations consider utilization and capacity of information system resources - when managing risk from denial of service due to malicious attacks. Denial of - service attacks can originate from external or internal sources. Information - system resources sensitive to denial of service include, for example, physical - disk storage, memory, and CPU cycles. Common safeguards to prevent denial of - service attacks related to storage utilization and capacity include, for example, - instituting disk quotas, configuring information systems to automatically alert - administrators when specific storage capacity thresholds are reached, using file - compression technologies to maximize available storage space, and imposing - separate partitions for system and user data.

- CA-7 - SI-4 - - -

Determine if the organization:

- - SC-5(3)(a) - - SC-5(3)(a)[1] -

defines monitoring tools to be employed to detect indicators of denial of - service attacks against the information system;

- - - SC-5(3)(a)[2] -

employs organization-defined monitoring tools to detect indicators of denial - of service attacks against the information system;

- - SC-5(3)(a) - - - SC-5(3)(b) - - SC-5(3)(b)[1] -

defines information system resources to be monitored to determine if - sufficient resources exist to prevent effective denial of service attacks; - and

- - - SC-5(3)(b)[2] -

monitors organization-defined information system resources to determine if - sufficient resources exist to prevent effective denial of service - attacks.

- - SC-5(3)(b) - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing denial of service protection

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with detection and monitoring responsibilities

- - - - TEST - -

Automated mechanisms/tools implementing information system monitoring for - denial of service attacks

- - - - - - Resource Availability - - - - - - - - - - SC-6 - sc-06 - -

The information system protects the availability of resources by allocating by .

- - -

Priority protection helps prevent lower-priority processes from delaying or - interfering with the information system servicing any higher-priority processes. - Quotas prevent users or processes from obtaining more than predetermined amounts of - resources. This control does not apply to information system components for which - there are only single users/roles.

- - -

Determine if:

- - SC-6[1] -

the organization defines resources to be allocated to protect the availability of - resources;

- - - SC-6[2] -

the organization defines security safeguards to be employed to protect the - availability of resources;

- - - SC-6[3] -

the information system protects the availability of resources by allocating - organization-defined resources by one or more of the following:

- - SC-6[3][a] -

priority;

- - - SC-6[3][b] -

quota; and/or

- - - SC-6[3][c] -

organization-defined safeguards.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing prioritization of information system resources

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing resource allocation - capability

-

safeguards employed to protect availability of resources

- - - - - Boundary Protection - - - - SC-7 - sc-07 - FIPS Publication 199 - NIST Special Publication 800-41 - NIST Special Publication 800-77 - -

The information system:

- - a. -

Monitors and controls communications at the external boundary of the system and at - key internal boundaries within the system;

- - - b. -

Implements subnetworks for publicly accessible system components that are separated from internal organizational networks; - and

- - - c. -

Connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - -

Managed interfaces include, for example, gateways, routers, firewalls, guards, - network-based malicious code analysis and virtualization systems, or encrypted - tunnels implemented within a security architecture (e.g., routers protecting - firewalls or application gateways residing on protected subnetworks). Subnetworks - that are physically or logically separated from internal networks are referred to as - demilitarized zones or DMZs. Restricting or prohibiting interfaces within - organizational information systems includes, for example, restricting external web - traffic to designated web servers within managed interfaces and prohibiting external - traffic that appears to be spoofing internal addresses. Organizations consider the - shared nature of commercial telecommunications services in the implementation of - security controls associated with the use of such services. Commercial - telecommunications services are commonly based on network components and consolidated - management systems shared by all attached commercial customers, and may also include - third party-provided access lines and other service elements. Such transmission - services may represent sources of increased risk despite contract security - provisions.

- AC-4 - AC-17 - CA-3 - CM-7 - CP-8 - IR-4 - RA-3 - SC-5 - SC-13 - - -

Determine if the information system:

- - SC-7(a) - - SC-7(a)[1] -

monitors communications at the external boundary of the information system;

- - - SC-7(a)[2] -

monitors communications at key internal boundaries within the system;

- - - SC-7(a)[3] -

controls communications at the external boundary of the information system;

- - - SC-7(a)[4] -

controls communications at key internal boundaries within the system;

- - - - SC-7(b) -

implements subnetworks for publicly accessible system components that are - either:

- - SC-7(b)[1] -

physically separated from internal organizational networks; and/or

- - - SC-7(b)[2] -

logically separated from internal organizational networks; and

- - - - SC-7(c) -

connects to external networks or information systems only through managed - interfaces consisting of boundary protection devices arranged in accordance with - an organizational security architecture.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

list of key internal boundaries of the information system

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

enterprise security architecture documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

- - - - Physically Separated Subnetworks - SC-7(1) - sc-07.01 - Withdrawn - SC-7 - - - Public Access - SC-7(2) - sc-07.02 - Withdrawn - SC-7 - - - Access Points - SC-7(3) - sc-07.03 - -

The organization limits the number of external network connections to the - information system.

- - -

Limiting the number of external network connections facilitates more comprehensive - monitoring of inbound and outbound communications traffic. The Trusted Internet - Connection (TIC) initiative is an example of limiting the number of external - network connections.

- - -

Determine if the organization limits the number of external network connections to - the information system.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

boundary protection hardware and software

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

communications and network traffic monitoring logs

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms limiting the number of external network connections to the - information system

- - - - - External Telecommunications Services - - - - SC-7(4) - sc-07.04 - -

The organization:

- - (a) -

Implements a managed interface for each external telecommunication service;

- - - (b) -

Establishes a traffic flow policy for each managed interface;

- - - (c) -

Protects the confidentiality and integrity of the information being transmitted - across each interface;

- - - (d) -

Documents each exception to the traffic flow policy with a supporting - mission/business need and duration of that need; and

- - - (e) -

Reviews exceptions to the traffic flow policy - and removes exceptions that are no longer supported by an explicit - mission/business need.

- - - - SC-8 - - -

Determine if the organization:

- - SC-7(4)(a) -

implements a managed interface for each external telecommunication service;

- SC-7(4)(a) - - - SC-7(4)(b) -

establishes a traffic flow policy for each managed interface;

- SC-7(4)(b) - - - SC-7(4)(c) -

protects the confidentiality and integrity of the information being transmitted - across each interface;

- SC-7(4)(c) - - - SC-7(4)(d) -

documents each exception to the traffic flow policy with:

- - SC-7(4)(d)[1] -

a supporting mission/business need;

- - - SC-7(4)(d)[2] -

duration of that need;

- - SC-7(4)(d) - - - SC-7(4)(e) - - SC-7(4)(e)[1] -

defines a frequency to review exceptions to traffic flow policy;

- - - SC-7(4)(e)[2] -

reviews exceptions to the traffic flow policy with the organization-defined - frequency; and

- - - SC-7(4)(e)[3] -

removes traffic flow policy exceptions that are no longer supported by an - explicit mission/business need

- - SC-7(4)(e) - - - - EXAMINE - -

System and communications protection policy

-

traffic flow policy

-

information flow control policy

-

procedures addressing boundary protection

-

information system security architecture

-

information system design documentation

-

boundary protection hardware and software

-

information system architecture and configuration documentation

-

information system configuration settings and associated documentation

-

records of traffic flow policy exceptions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Organizational processes for documenting and reviewing exceptions to the - traffic flow policy

-

organizational processes for removing exceptions to the traffic flow policy

-

automated mechanisms implementing boundary protection capability

-

managed interfaces implementing traffic flow policy

- - - - - Deny by Default / Allow by Exception - SC-7(5) - sc-07.05 - -

The information system at managed interfaces denies network communications traffic - by default and allows network communications traffic by exception (i.e., deny all, - permit by exception).

- - -

This control enhancement applies to both inbound and outbound network - communications traffic. A deny-all, permit-by-exception network communications - traffic policy ensures that only those connections which are essential and - approved are allowed.

- - -

Determine if the information system, at managed interfaces:

- - SC-7(5)[1] -

denies network traffic by default; and

- - - SC-7(5)[2] -

allows network traffic by exception.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing traffic management at managed interfaces

- - - - - Response to Recognized Failures - SC-7(6) - sc-07.06 - Withdrawn - SC-7 (18) - - - Prevent Split Tunneling for Remote Devices - SC-7(7) - sc-07.07 - -

The information system, in conjunction with a remote device, prevents the device - from simultaneously establishing non-remote connections with the system and - communicating via some other connection to resources in external networks.

- - -

This control enhancement is implemented within remote devices (e.g., notebook - computers) through configuration settings to disable split tunneling in those - devices, and by preventing those configuration settings from being readily - configurable by users. This control enhancement is implemented within the - information system by the detection of split tunneling (or of configuration - settings that allow split tunneling) in the remote device, and by prohibiting the - connection if the remote device is using split tunneling. Split tunneling might be - desirable by remote users to communicate with local information system resources - such as printers/file servers. However, split tunneling would in effect allow - unauthorized external connections, making the system more vulnerable to attack and - to exfiltration of organizational information. The use of VPNs for remote - connections, when adequately provisioned with appropriate security controls, may - provide the organization with sufficient assurance that it can effectively treat - such connections as non-remote connections from the confidentiality and integrity - perspective. VPNs thus provide a means for allowing non-remote communications - paths from remote devices. The use of an adequately provisioned VPN does not - eliminate the need for preventing split tunneling.

- - -

Determine if the information system, in conjunction with a remote device, prevents - the device from simultaneously establishing non-remote connections with the system - and communicating via some other connection to resources in external networks.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms supporting/restricting non-remote connections

- - - - - Route Traffic to Authenticated Proxy Servers - - - - - - - SC-7(8) - sc-07.08 - -

The information system routes to through authenticated proxy servers at managed - interfaces.

- - -

External networks are networks outside of organizational control. A proxy server - is a server (i.e., information system or application) that acts as an intermediary - for clients requesting information system resources (e.g., files, connections, web - pages, or services) from other organizational servers. Client requests established - through an initial connection to the proxy server are evaluated to manage - complexity and to provide additional protection by limiting direct connectivity. - Web content filtering devices are one of the most common proxy servers providing - access to the Internet. Proxy servers support logging individual Transmission - Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators - (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be - configured with organization-defined lists of authorized and unauthorized - websites.

- AC-3 - AU-2 - - -

Determine if:

- - SC-7(8)[1] -

the organization defines internal communications traffic to be routed to - external networks;

- - - SC-7(8)[2] -

the organization defines external networks to which organization-defined - internal communications traffic is to be routed; and

- - - SC-7(8)[3] -

the information system routes organization-defined internal communications - traffic to organization-defined external networks through authenticated proxy - servers at managed interfaces.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing traffic management through authenticated - proxy servers at managed interfaces

- - - - - Restrict Threatening Outgoing Communications Traffic - SC-7(9) - sc-07.09 - -

The information system:

- - (a) -

Detects and denies outgoing communications traffic posing a threat to external - information systems; and

- - - (b) -

Audits the identity of internal users associated with denied - communications.

- - - -

Detecting outgoing communications traffic from internal actions that may pose - threats to external information systems is sometimes termed extrusion detection. - Extrusion detection at information system boundaries as part of managed interfaces - includes the analysis of incoming and outgoing communications traffic searching - for indications of internal threats to the security of external systems. Such - threats include, for example, traffic indicative of denial of service attacks and - traffic containing malicious code.

- AU-2 - AU-6 - SC-38 - SC-44 - SI-3 - SI-4 - - -

Determine if the information system:

- - SC-7(9)(a) - - SC-7(9)(a)[1] -

detects outgoing communications traffic posing a threat to external - information systems; and

- - - SC-7(9)(a)[2] -

denies outgoing communications traffic posing a threat to external - information systems; and

- - SC-7(9)(a) - - - SC-7(9)(b) -

audits the identity of internal users associated with denied - communications.

- SC-7(9)(b) - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

automated mechanisms implementing detection and denial of threatening outgoing - communications traffic

-

automated mechanisms implementing auditing of outgoing communications - traffic

- - - - - Prevent Unauthorized Exfiltration - SC-7(10) - sc-07.10 - -

The organization prevents the unauthorized exfiltration of information across - managed interfaces.

- - -

Safeguards implemented by organizations to prevent unauthorized exfiltration of - information from information systems include, for example: (i) strict adherence to - protocol formats; (ii) monitoring for beaconing from information systems; (iii) - monitoring for steganography; (iv) disconnecting external network interfaces - except when explicitly needed; (v) disassembling and reassembling packet headers; - and (vi) employing traffic profile analysis to detect deviations from the - volume/types of traffic expected within organizations or call backs to command and - control centers. Devices enforcing strict adherence to protocol formats include, - for example, deep packet inspection firewalls and XML gateways. These devices - verify adherence to protocol formats and specification at the application layer - and serve to identify vulnerabilities that cannot be detected by devices operating - at the network or transport layers. This control enhancement is closely associated - with cross-domain solutions and system guards enforcing information flow - requirements.

- SI-3 - - -

Determine if the organization prevents the unauthorized exfiltration of - information across managed interfaces.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capability

-

preventing unauthorized exfiltration of information across managed - interfaces

- - - - - Restrict Incoming Communications Traffic - - - - - - - SC-7(11) - sc-07.11 - -

The information system only allows incoming communications from to be routed to .

- - -

This control enhancement provides determinations that source and destination - address pairs represent authorized/allowed communications. Such determinations can - be based on several factors including, for example, the presence of - source/destination address pairs in lists of authorized/allowed communications, - the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting - more general rules for authorized/allowed source/destination pairs.

- AC-3 - - -

Determine if:

- - SC-7(11)[1] -

the organization defines internal communications traffic to be routed to - external networks;

- - - SC-7(11)[2] -

the organization defines authorized destinations only to which that incoming - communications from organization-defined authorized sources may be routed; - and

- - - SC-7(11)[3] -

the information system only allows incoming communications from - organization-defined authorized sources to be routed to organization-defined - authorized destinations.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms implementing boundary protection capabilities with respect - to source/destination address pairs

- - - - - Host-based Protection - - - - - - - SC-7(12) - sc-07.12 - -

The organization implements at .

- - -

Host-based boundary protection mechanisms include, for example, host-based - firewalls. Information system components employing host-based boundary protection - mechanisms include, for example, servers, workstations, and mobile devices.

- - -

Determine if the organization:

- - SC-7(12)[1] -

defines host-based boundary protection mechanisms;

- - - SC-7(12)[2] -

defines information system components where organization-defined host-based - boundary protection mechanisms are to be implemented; and

- - - SC-7(12)[3] -

implements organization-defined host-based boundary protection mechanisms at - organization-defined information system components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

boundary protection hardware and software

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

-

information system users

- - - - TEST - -

Automated mechanisms implementing host-based boundary protection - capabilities

- - - - - Isolation of Security Tools / Mechanisms / Support Components - - - - SC-7(13) - sc-07.13 - -

The organization isolates from other internal - information system components by implementing physically separate subnetworks with - managed interfaces to other components of the system.

- - -

Physically separate subnetworks with managed interfaces are useful, for example, - in isolating computer network defenses from critical operational processing - networks to prevent adversaries from discovering the analysis and forensics - techniques of organizations.

- SA-8 - SC-2 - SC-3 - - -

Determine if the organization:

- - SC-7(13)[1] -

defines information security tools, mechanisms, and support components to be - isolated from other internal information system components; and

- - - SC-7(13)[2] -

isolates organization-defined information security tools, mechanisms, and - support components from other internal information system components by - implementing physically separate subnetworks with managed interfaces to other - components of the system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

list of security tools and support components to be isolated from other - internal information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing isolation of information - security tools, mechanisms, and support components

- - - - - Protects Against Unauthorized Physical Connections - - - - SC-7(14) - sc-07.14 - -

The organization protects against unauthorized physical connections at .

- - -

Information systems operating at different security categories or classification - levels may share common physical and environmental controls, since the systems may - share space within organizational facilities. In practice, it is possible that - these separate information systems may share common equipment rooms, wiring - closets, and cable distribution paths. Protection against unauthorized physical - connections can be achieved, for example, by employing clearly identified and - physically separated cable trays, connection frames, and patch panels for each - side of managed interfaces with physical access controls enforcing limited - authorized access to these items.

- PE-4 - PE-19 - - -

Determine if the organization:

- - SC-7(14)[1] -

defines managed interfaces to be protected against unauthorized physical - connections; and

- - - SC-7(14)[2] -

protects against unauthorized physical connections at organization-defined - managed interfaces.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

facility communications and wiring diagram

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection against - unauthorized physical connections

- - - - - Route Privileged Network Accesses - SC-7(15) - sc-07.15 - -

The information system routes all networked, privileged accesses through a - dedicated, managed interface for purposes of access control and auditing.

- - - AC-2 - AC-3 - AU-2 - SI-4 - - -

Determine if the information system routes all networked, privileged accesses - through a dedicated, managed interface for the purposes of:

- - SC-7(15)[1] -

access control; and

- - - SC-7(15)[2] -

auditing.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

audit logs

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the routing of networked, - privileged access through dedicated managed interfaces

- - - - - Prevent Discovery of Components / Devices - SC-7(16) - sc-07.16 - -

The information system prevents discovery of specific system components composing - a managed interface.

- - -

This control enhancement protects network addresses of information system - components that are part of managed interfaces from discovery through common tools - and techniques used to identify devices on networks. Network addresses are not - available for discovery (e.g., network address not published or entered in domain - name systems), requiring prior knowledge for access. Another obfuscation technique - is to periodically change network addresses.

- - -

Determine if the information system prevents discovery of specific system - components composing a managed interface.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the prevention of discovery - of system components at managed interfaces

- - - - - Automated Enforcement of Protocol Formats - SC-7(17) - sc-07.17 - -

The information system enforces adherence to protocol formats.

- - -

Information system components that enforce protocol formats include, for example, - deep packet inspection firewalls and XML gateways. Such system components verify - adherence to protocol formats/specifications (e.g., IEEE) at the application layer - and identify significant vulnerabilities that cannot be detected by devices - operating at the network or transport layers.

- SC-4 - - -

Determine if the information system enforces adherence to protocol formats.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing enforcement of adherence to - protocol formats

- - - - - Fail Secure - SC-7(18) - sc-07.18 - -

The information system fails securely in the event of an operational failure of a - boundary protection device.

- - -

Fail secure is a condition achieved by employing information system mechanisms to - ensure that in the event of operational failures of boundary protection devices at - managed interfaces (e.g., routers, firewalls, guards, and application gateways - residing on protected subnetworks commonly referred to as demilitarized zones), - information systems do not enter into unsecure states where intended security - properties no longer hold. Failures of boundary protection devices cannot lead to, - or cause information external to the devices to enter the devices, nor can - failures permit unauthorized information releases.

- CP-2 - SC-24 - - -

Determine if the information system fails securely in the event of an operational - failure of a boundary protection device.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure failure

- - - - - Blocks Communication from Non-organizationally Configured Hosts - - - - SC-7(19) - sc-07.19 - -

The information system blocks both inbound and outbound communications traffic - between that are independently configured by - end users and external service providers.

- - -

Communication clients independently configured by end users and external service - providers include, for example, instant messaging clients. Traffic blocking does - not apply to communication clients that are configured by organizations to perform - authorized functions.

- - -

Determine if the organization:

- - SC-7(19)[1] -

defines communication clients that are independently configured by end users - and external service providers; and

- - - SC-7(19)[2] -

blocks, between organization-defined communication clients that are - independently configured by end users and external service providers,:

- - SC-7(19)[2][a] -

inbound communications traffic; and

- - - SC-7(19)[2][b] -

outbound communications traffic.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

list of communication clients independently configured by end users and - external service providers

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the blocking of inbound and - outbound communications traffic between communication clients independently - configured by end users and external service providers

- - - - - Dynamic Isolation / Segregation - - - - SC-7(20) - sc-07.20 - -

The information system provides the capability to dynamically isolate/segregate - from other components of the system.

- - -

The capability to dynamically isolate or segregate certain internal components of - organizational information systems is useful when it is necessary to partition or - separate certain components of dubious origin from those components possessing - greater trustworthiness. Component isolation reduces the attack surface of - organizational information systems. Isolation of selected information system - components is also a means of limiting the damage from successful cyber attacks - when those attacks occur.

- - -

Determine if:

- - SC-7(20)[1] -

the organization defines information system components to be dynamically - isolated/segregated from other components of the system; and

- - - SC-7(20)[2] -

the information system provides the capability to dynamically isolate/segregate - organization-defined information system components from other components of the - system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

list of information system components to be dynamically isolated/segregated - from other components of the system

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the capability to - dynamically isolate/segregate information system components

- - - - - Isolation of Information System Components - - - - - - - SC-7(21) - sc-07.21 - -

The organization employs boundary protection mechanisms to separate supporting .

- - -

Organizations can isolate information system components performing different - missions and/or business functions. Such isolation limits unauthorized information - flows among system components and also provides the opportunity to deploy greater - levels of protection for selected components. Separating system components with - boundary protection mechanisms provides the capability for increased protection of - individual components and to more effectively control information flows between - those components. This type of enhanced protection limits the potential harm from - cyber attacks and errors. The degree of separation provided varies depending upon - the mechanisms chosen. Boundary protection mechanisms include, for example, - routers, gateways, and firewalls separating system components into physically - separate networks or subnetworks, cross-domain devices separating subnetworks, - virtualization techniques, and encrypting information flows among system - components using distinct encryption keys.

- CA-9 - SC-3 - - -

Determine if the organization:

- - SC-7(21)[1] -

defines information system components to be separated by boundary protection - mechanisms;

- - - SC-7(21)[2] -

defines missions and/or business functions to be supported by - organization-defined information system components separated by boundary - protection mechanisms; and

- - - SC-7(21)[3] -

employs boundary protection mechanisms to separate organization-defined - information system components supporting organization-defined missions and/or - business functions.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

enterprise architecture documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the capability to separate - information system components supporting organizational missions and/or - business functions

- - - - - Separate Subnets for Connecting to Different Security Domains - SC-7(22) - sc-07.22 - -

The information system implements separate network addresses (i.e., different - subnets) to connect to systems in different security domains.

- - -

Decomposition of information systems into subnets helps to provide the appropriate - level of protection for network connections to different security domains - containing information with different security categories or classification - levels.

- - -

Determine if the information system implements separate network addresses (i.e., - different subnets) to connect to systems in different security domains.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing separate network - addresses/different subnets

- - - - - Disable Sender Feedback On Protocol Validation Failure - SC-7(23) - sc-07.23 - -

The information system disables feedback to senders on protocol format validation - failure.

- - -

Disabling feedback to senders when there is a failure in protocol validation - format prevents adversaries from obtaining information which would otherwise be - unavailable.

- - -

Determine if the information system disables feedback to senders on protocol - format validation failure.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing boundary protection

-

information system design documentation

-

information system hardware and software

-

information system architecture

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with boundary protection responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing the disabling of feedback - to senders on protocol format validation failure

- - - - - - Transmission Confidentiality and Integrity - - - - SC-8 - sc-08 - FIPS Publication 140-2 - FIPS Publication 197 - NIST Special Publication 800-52 - NIST Special Publication 800-77 - NIST Special Publication 800-81 - NIST Special Publication 800-113 - CNSS Policy 15 - NSTISSI No. 7003 - -

The information system protects the of transmitted - information.

- - -

This control applies to both internal and external networks and all types of - information system components from which information can be transmitted (e.g., - servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile - machines). Communication paths outside the physical protection of a controlled - boundary are exposed to the possibility of interception and modification. Protecting - the confidentiality and/or integrity of organizational information can be - accomplished by physical means (e.g., by employing protected distribution systems) or - by logical means (e.g., employing encryption techniques). Organizations relying on - commercial providers offering transmission services as commodity services rather than - as fully dedicated services (i.e., services which can be highly specialized to - individual customer needs), may find it difficult to obtain the necessary assurances - regarding the implementation of needed security controls for transmission - confidentiality/integrity. In such situations, organizations determine what types of - confidentiality/integrity services are available in standard, commercial - telecommunication service packages. If it is infeasible or impractical to obtain the - necessary security controls and assurances of control effectiveness through - appropriate contracting vehicles, organizations implement appropriate compensating - security controls or explicitly accept the additional risk.

- AC-17 - PE-4 - - -

Determine if the information system protects one or more of the following:

- - SC-8[1] -

confidentiality of transmitted information; and/or

- - - SC-8[2] -

integrity of transmitted information.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing transmission confidentiality - and/or integrity

- - - - Cryptographic or Alternate Physical Protection - - - - - - - SC-8(1) - sc-08.01 - -

The information system implements cryptographic mechanisms to during transmission unless otherwise protected by - .

- - -

Encrypting information for transmission protects information from unauthorized - disclosure and modification. Cryptographic mechanisms implemented to protect - information integrity include, for example, cryptographic hash functions which - have common application in digital signatures, checksums, and message - authentication codes. Alternative physical security safeguards include, for - example, protected distribution systems.

- SC-13 - - -

Determine if:

- - SC-8(1)[1] -

the organization defines physical safeguards to be implemented to protect - information during transmission when cryptographic mechanisms are not - implemented; and

- - - SC-8(1)[2] -

the information system implements cryptographic mechanisms to do one or more of - the following during transmission unless otherwise protected by - organization-defined alternative physical safeguards:

- - SC-8(1)[2][a] -

prevent unauthorized disclosure of information; and/or

- - - SC-8(1)[2][b] -

detect changes to information.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms supporting and/or implementing transmission - confidentiality and/or integrity

-

automated mechanisms supporting and/or implementing alternative physical - safeguards

-

organizational processes for defining and implementing alternative physical - safeguards

- - - - - Pre / Post Transmission Handling - - - - SC-8(2) - sc-08.02 - -

The information system maintains the of - information during preparation for transmission and during reception.

- - -

Information can be either unintentionally or maliciously disclosed or modified - during preparation for transmission or during reception including, for example, - during aggregation, at protocol transformation points, and during - packing/unpacking. These unauthorized disclosures or modifications compromise the - confidentiality or integrity of the information.

- AU-10 - - -

Determine if the information system maintains one or more of the following:

- - SC-8(2)[1] -

confidentiality of information during preparation for transmission;

- - - SC-8(2)[2] -

confidentiality of information during reception; and/or

- - - SC-8(2)[3] -

integrity of information during preparation for transmission;

- - - SC-8(2)[4] -

integrity of information during reception.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing transmission - confidentiality and/or integrity

- - - - - Cryptographic Protection for Message Externals - - - - SC-8(3) - sc-08.03 - -

The information system implements cryptographic mechanisms to protect message - externals unless otherwise protected by .

- - -

This control enhancement addresses protection against unauthorized disclosure of - information. Message externals include, for example, message headers/routing - information. This control enhancement prevents the exploitation of message - externals and applies to both internal and external networks or links that may be - visible to individuals who are not authorized users. Header/routing information is - sometimes transmitted unencrypted because the information is not properly - identified by organizations as having significant value or because encrypting the - information can result in lower network performance and/or higher costs. - Alternative physical safeguards include, for example, protected distribution - systems.

- SC-12 - SC-13 - - -

Determine if:

- - SC-8(3)[1] -

the organization defines alternative physical safeguards to be implemented to - protect message externals; and

- - - SC-8(3)[2] -

the information system implements cryptographic mechanisms to protect message - externals unless otherwise protected by organization-defined alternative - physical safeguards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms supporting and/or implementing transmission - confidentiality and/or integrity for message externals

-

automated mechanisms supporting and/or implementing alternative physical - safeguards

-

organizational processes for defining and implementing alternative physical - safeguards

- - - - - Conceal / Randomize Communications - - - - SC-8(4) - sc-08.04 - -

The information system implements cryptographic mechanisms to conceal or randomize - communication patterns unless otherwise protected by .

- - -

This control enhancement addresses protection against unauthorized disclosure of - information. Communication patterns include, for example, frequency, periods, - amount, and predictability. Changes to communications patterns can reveal - information having intelligence value especially when combined with other - available information related to missions/business functions supported by - organizational information systems. This control enhancement prevents the - derivation of intelligence based on communications patterns and applies to both - internal and external networks or links that may be visible to individuals who are - not authorized users. Encrypting the links and transmitting in continuous, - fixed/random patterns prevents the derivation of intelligence from the system - communications patterns. Alternative physical safeguards include, for example, - protected distribution systems.

- SC-12 - SC-13 - - -

Determine if:

- - SC-8(4)[1] -

the organization defines alternative physical safeguards to be implemented to - protect against unauthorized disclosure of communication patterns;

- - - SC-8(4)[2] -

the information system, unless otherwise protected by organization-defined - alternative physical safeguards, implements cryptographic mechanisms to:

- - SC-8(4)[2][a] -

conceal communication patterns; or

- - - SC-8(4)[2][b] -

randomize communication patterns.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission confidentiality and integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms supporting and/or implementing concealment or - randomization of communications patterns

-

automated mechanisms supporting and/or implementing alternative physical - safeguards

-

organizational processes for defining and implementing alternative physical - safeguards

- - - - - - Transmission Confidentiality - SC-9 - sc-09 - Withdrawn - SC-8 - - - Network Disconnect - - - - SC-10 - sc-10 - -

The information system terminates the network connection associated with a - communications session at the end of the session or after of inactivity.

- - -

This control applies to both internal and external networks. Terminating network - connections associated with communications sessions include, for example, - de-allocating associated TCP/IP address/port pairs at the operating system level, or - de-allocating networking assignments at the application level if multiple application - sessions are using a single, operating system-level network connection. Time periods - of inactivity may be established by organizations and include, for example, time - periods by type of network access or for specific network accesses.

- - -

Determine if:

- - SC-10[1] -

the organization defines a time period of inactivity after which the information - system terminates a network connection associated with a communications session; - and

- - - SC-10[2] -

the information system terminates the network connection associated with a - communication session at the end of the session or after the organization-defined - time period of inactivity.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing network disconnect

-

information system design documentation

-

security plan

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing network disconnect - capability

- - - - - Trusted Path - - - - SC-11 - sc-11 - -

The information system establishes a trusted communications path between the user and - the following security functions of the system: .

- - -

Trusted paths are mechanisms by which users (through input devices) can communicate - directly with security functions of information systems with the requisite assurance - to support information security policies. The mechanisms can be activated only by - users or the security functions of organizational information systems. User responses - via trusted paths are protected from modifications by or disclosure to untrusted - applications. Organizations employ trusted paths for high-assurance connections - between security functions of information systems and users (e.g., during system - logons). Enforcement of trusted communications paths is typically provided via an - implementation that meets the reference monitor concept.

- AC-16 - AC-25 - - -

Determine if:

- - SC-11[1] -

the organization defines security functions of the information system;

- - - SC-11[2] -

the organization-defined security functions include at a minimum, information - system authentication and re-authentication; and

- - - SC-11[3] -

the information system establishes a trusted communications path between the user - and the organization-defined security functions of the system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing trusted communications paths

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

assessment results from independent, testing organizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing trusted communications - paths

- - - - Logical Isolation - SC-11(1) - sc-11.01 - -

The information system provides a trusted communications path that is logically - isolated and distinguishable from other paths.

- - -

Determine if the information system provides a trusted communications path that - is:

- - SC-11(1)[1] -

logically isolated; and

- - - SC-11(1)[2] -

distinguishable from other paths.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing trusted communications paths

-

security plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

assessment results from independent, testing organizations

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing trusted communications - paths

- - - - - - Cryptographic Key Establishment and Management - - - - SC-12 - sc-12 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - -

The organization establishes and manages cryptographic keys for required cryptography - employed within the information system in accordance with .

- - -

Cryptographic key management and establishment can be performed using manual - procedures or automated mechanisms with supporting manual procedures. Organizations - define key management requirements in accordance with applicable federal laws, - Executive Orders, directives, regulations, policies, standards, and guidance, - specifying appropriate options, levels, and parameters. Organizations manage trust - stores to ensure that only approved trust anchors are in such trust stores. This - includes certificates with visibility external to organizational information systems - and certificates related to the internal operations of systems.

- SC-13 - SC-17 - - -

Determine if the organization:

- - SC-12[1] -

defines requirements for cryptographic key:

- - SC-12[1][a] -

generation;

- - - SC-12[1][b] -

distribution;

- - - SC-12[1][c] -

storage;

- - - SC-12[1][d] -

access;

- - - SC-12[1][e] -

destruction; and

- - - - SC-12[2] -

establishes and manages cryptographic keys for required cryptography employed - within the information system in accordance with organization-defined requirements - for key generation, distribution, storage, access, and destruction.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

cryptographic mechanisms

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key establishment - and/or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - Availability - SC-12(1) - sc-12.01 - -

The organization maintains availability of information in the event of the loss of - cryptographic keys by users.

- - -

Escrowing of encryption keys is a common practice for ensuring availability in the - event of loss of keys (e.g., due to forgotten passphrase).

- - -

Determine if the organization maintains availability of information in the event - of the loss of cryptographic keys by users.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment, management, and - recovery

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for cryptographic key - establishment or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic key - establishment and management

- - - - - Symmetric Keys - - - - SC-12(2) - sc-12.02 - -

The organization produces, controls, and distributes symmetric cryptographic keys - using key management technology and - processes.

- - -

Determine if the organization produces, controls, and distributes symmetric - cryptographic keys using one of the following:

- - SC-12(2)[1] -

NIST FIPS-compliant key management technology and processes; or

- - - SC-12(2)[2] -

NSA-approved key management technology and processes.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of FIPS validated cryptographic products

-

list of NSA-approved cryptographic products

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic key - establishment or management

- - - - TEST - -

Automated mechanisms supporting and/or implementing symmetric cryptographic key - establishment and management

- - - - - Asymmetric Keys - - - - SC-12(3) - sc-12.03 - -

The organization produces, controls, and distributes asymmetric cryptographic keys - using .

- - -

Determine if the organization produces, controls, and distributes asymmetric - cryptographic keys using one of the following:

- - SC-12(3)[1] -

NSA-approved key management technology and processes;

- - - SC-12(3)[2] -

approved PKI Class 3 certificates or prepositioned keying material; or

- - - SC-12(3)[3] -

approved PKI Class 3 or Class 4 certificates and hardware security tokens that - protect the user’s private key.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic key establishment and management

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of NSA-approved cryptographic products

-

list of approved PKI Class 3 and Class 4 certificates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic key - establishment or management

-

organizational personnel with responsibilities for PKI certificates

- - - - TEST - -

Automated mechanisms supporting and/or implementing asymmetric cryptographic - key establishment and management

- - - - - PKI Certificates - SC-12(4) - sc-12.04 - Withdrawn - SC-12 - - - PKI Certificates / Hardware Tokens - SC-12(5) - sc-12.05 - Withdrawn - SC-12 - - - - Cryptographic Protection - - - - SC-13 - sc-13 - FIPS Publication 140 - http://csrc.nist.gov/cryptval - http://www.cnss.gov - -

The information system implements in accordance with - applicable federal laws, Executive Orders, directives, policies, regulations, and - standards.

- - -

Cryptography can be employed to support a variety of security solutions including, - for example, the protection of classified and Controlled Unclassified Information, - the provision of digital signatures, and the enforcement of information separation - when authorized individuals have the necessary clearances for such information but - lack the necessary formal access approvals. Cryptography can also be used to support - random number generation and hash generation. Generally applicable cryptographic - standards include FIPS-validated cryptography and NSA-approved cryptography. This - control does not impose any requirements on organizations to use cryptography. - However, if cryptography is required based on the selection of other security - controls, organizations define each type of cryptographic use and the type of - cryptography required (e.g., protection of classified information: NSA-approved - cryptography; provision of digital signatures: FIPS-validated cryptography).

- AC-2 - AC-3 - AC-7 - AC-17 - AC-18 - AU-9 - AU-10 - CM-11 - CP-9 - IA-3 - IA-7 - MA-4 - MP-2 - MP-4 - MP-5 - SA-4 - SC-8 - SC-12 - SC-28 - SI-7 - - -

Determine if:

- - SC-13[1] -

the organization defines cryptographic uses; and

- - - SC-13[2] -

the organization defines the type of cryptography required for each use; and

- - - SC-13[3] -

the information system implements the organization-defined cryptographic uses and - type of cryptography required for each use in accordance with applicable federal - laws, Executive Orders, directives, policies, regulations, and standards.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing cryptographic protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic module validation certificates

-

list of FIPS validated cryptographic modules

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for cryptographic protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing cryptographic protection

- - - - Fips-validated Cryptography - SC-13(1) - sc-13.01 - Withdrawn - SC-13 - - - Nsa-approved Cryptography - SC-13(2) - sc-13.02 - Withdrawn - SC-13 - - - Individuals Without Formal Access Approvals - SC-13(3) - sc-13.03 - Withdrawn - SC-13 - - - Digital Signatures - SC-13(4) - sc-13.04 - Withdrawn - SC-13 - - - - Public Access Protections - SC-14 - sc-14 - Withdrawn - AC-2 - AC-3 - AC-5 - AC-6 - SI-3 - SI-4 - SI-5 - SI-7 - SI-10 - - - Collaborative Computing Devices - - - - SC-15 - sc-15 - -

The information system:

- - a. -

Prohibits remote activation of collaborative computing devices with the following - exceptions: ; and

- - - b. -

Provides an explicit indication of use to users physically present at the - devices.

- - - -

Collaborative computing devices include, for example, networked white boards, - cameras, and microphones. Explicit indication of use includes, for example, signals - to users when collaborative computing devices are activated.

- AC-21 - - -

Determine if:

- - SC-15(a) - - SC-15(a)[1] -

the organization defines exceptions where remote activation of collaborative - computing devices is to be allowed;

- - - SC-15(a)[2] -

the information system prohibits remote activation of collaborative computing - devices, except for organization-defined exceptions where remote activation is - to be allowed; and

- - - - SC-15(b) -

the information system provides an explicit indication of use to users physically - present at the devices.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing management of remote - activation of collaborative computing devices

-

automated mechanisms providing an indication of use of collaborative computing - devices

- - - - Physical Disconnect - SC-15(1) - sc-15.01 - -

The information system provides physical disconnect of collaborative computing - devices in a manner that supports ease of use.

- - -

Failing to physically disconnect from collaborative computing devices can result - in subsequent compromises of organizational information. Providing easy methods to - physically disconnect from such devices after a collaborative computing session - helps to ensure that participants actually carry out the disconnect activity - without having to go through complex and tedious procedures.

- - -

Determine if the information system provides physical disconnect of collaborative - computing devices in a manner that supports ease of use.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing physical disconnect of - collaborative computing devices

- - - - - Blocking Inbound / Outbound Communications Traffic - SC-15(2) - sc-15.02 - Withdrawn - SC-7 - - - Disabling / Removal in Secure Work Areas - - - - - - - SC-15(3) - sc-15.03 - -

The organization disables or removes collaborative computing devices from in .

- - -

Failing to disable or remove collaborative computing devices from information - systems or information system components can result in subsequent compromises of - organizational information including, for example, eavesdropping on - conversations.

- - -

Determine if the organization:

- - SC-15(3)[1] -

defines information systems or information system components from which - collaborative computing devices are to be disabled or removed;

- - - SC-15(3)[2] -

defines secure work areas where collaborative computing devices are to be - disabled or removed from information systems or information system components - placed in such work areas; and

- - - SC-15(3)[3] -

disables or removes collaborative computing devices from organization-defined - information systems or information system components in organization-defined - secure work areas.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of secure work areas

-

information systems or information system components in secured work areas - where collaborative computing devices are to be disabled or removed

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing the capability to disable - collaborative computing devices

- - - - - Explicitly Indicate Current Participants - - - - SC-15(4) - sc-15.04 - -

The information system provides an explicit indication of current participants in - .

- - -

This control enhancement helps to prevent unauthorized individuals from - participating in collaborative computing sessions without the explicit knowledge - of other participants.

- - -

Determine if:

- - SC-15(4)[1] -

the organization defines online meetings and teleconferences for which an - explicit indication of current participants is to be provided; and

- - - SC-15(4)[2] -

the information system provides an explicit indication of current participants - in organization-defined meetings and teleconferences.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing collaborative computing

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

list of types of meetings and teleconferences requiring explicit indication of - current participants

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing collaborative - computing devices

- - - - TEST - -

Automated mechanisms supporting and/or implementing the capability to indicate - participants on collaborative computing devices

- - - - - - Transmission of Security Attributes - - - - SC-16 - sc-16 - -

The information system associates with information - exchanged between information systems and between system components.

- - -

Security attributes can be explicitly or implicitly associated with the information - contained in organizational information systems or system components.

- AC-3 - AC-4 - AC-16 - - -

Determine if:

- - SC-16[1] -

the organization defines security attributes to be associated with information - exchanged:

- - SC-16[1][a] -

between information systems;

- - - SC-16[1][b] -

between system components;

- - - - SC-16[2] -

the information system associates organization-defined security attributes with - information exchanged:

- - SC-16[2][a] -

between information systems; and

- - - SC-16[2][b] -

between system components.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission of security attributes

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing transmission of security - attributes between information systems

- - - - Integrity Validation - SC-16(1) - sc-16.01 - -

The information system validates the integrity of transmitted security - attributes.

- - -

This control enhancement ensures that the verification of the integrity of - transmitted information includes security attributes.

- AU-10 - SC-8 - - -

Determine if the information system validates the integrity of transmitted - security attributes.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing transmission of security attributes

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing validation of the integrity - of transmitted security attributes

- - - - - - Public Key Infrastructure Certificates - - - - SC-17 - sc-17 - OMB Memorandum 05-24 - NIST Special Publication 800-32 - NIST Special Publication 800-63 - -

The organization issues public key certificates under an or obtains public key certificates from an approved - service provider.

- - -

For all certificates, organizations manage information system trust stores to ensure - only approved trust anchors are in the trust stores. This control addresses both - certificates with visibility external to organizational information systems and - certificates related to the internal operations of systems, for example, - application-specific time services.

- SC-12 - - -

Determine if the organization:

- - SC-17[1] -

defines a certificate policy for issuing public key certificates;

- - - SC-17[2] -

issues public key certificates:

- - SC-17[2][a] -

under an organization-defined certificate policy: or

- - - SC-17[2][b] -

obtains public key certificates from an approved service provider.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing public key infrastructure certificates

-

public key certificate policy or policies

-

public key issuing process

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for issuing public key - certificates

-

service providers

- - - - TEST - -

Automated mechanisms supporting and/or implementing the management of public key - infrastructure certificates

- - - - - Mobile Code - SC-18 - sc-18 - NIST Special Publication 800-28 - DoD Instruction 8552.01 - -

The organization:

- - a. -

Defines acceptable and unacceptable mobile code and mobile code technologies;

- - - b. -

Establishes usage restrictions and implementation guidance for acceptable mobile - code and mobile code technologies; and

- - - c. -

Authorizes, monitors, and controls the use of mobile code within the information - system.

- - - -

Decisions regarding the employment of mobile code within organizational information - systems are based on the potential for the code to cause damage to the systems if - used maliciously. Mobile code technologies include, for example, Java, JavaScript, - ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage - restrictions and implementation guidance apply to both the selection and use of - mobile code installed on servers and mobile code downloaded and executed on - individual workstations and devices (e.g., smart phones). Mobile code policy and - procedures address preventing the development, acquisition, or introduction of - unacceptable mobile code within organizational information systems.

- AU-2 - AU-12 - CM-2 - CM-6 - SI-3 - - -

Determine if the organization:

- - SC-18(a) -

defines acceptable and unacceptable mobile code and mobile code technologies;

- - - SC-18(b) - - SC-18(b)[1] -

establishes usage restrictions for acceptable mobile code and mobile code - technologies;

- - - SC-18(b)[2] -

establishes implementation guidance for acceptable mobile code and mobile code - technologies;

- - - - SC-18(c) - - SC-18(c)[1] -

authorizes the use of mobile code within the information system;

- - - SC-18(c)[2] -

monitors the use of mobile code within the information system; and

- - - SC-18(c)[3] -

controls the use of mobile code within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage restrictions, mobile code implementation policy and - procedures

-

list of acceptable mobile code and mobile code technologies

-

list of unacceptable mobile code and mobile technologies

-

authorization records

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Organizational process for controlling, authorizing, monitoring, and restricting - mobile code

-

automated mechanisms supporting and/or implementing the management of mobile - code

-

automated mechanisms supporting and/or implementing the monitoring of mobile - code

- - - - Identify Unacceptable Code / Take Corrective Actions - - - - - - - SC-18(1) - sc-18.01 - -

The information system identifies and takes - .

- - -

Corrective actions when unacceptable mobile code is detected include, for example, - blocking, quarantine, or alerting administrators. Blocking includes, for example, - preventing transmission of word processing files with embedded macros when such - macros have been defined to be unacceptable mobile code.

- - -

Determine if:

- - SC-18(1)[1] -

the organization defines unacceptable mobile code to be identified by the - information system;

- - - SC-18(1)[2] -

the organization defines correctives actions to be taken when the information - system identifies organization-defined unacceptable mobile code;

- - - SC-18(1)[3] -

the information system:

- - SC-18(1)[3][a] -

identifies organization-defined unacceptable mobile code; and

- - - SC-18(1)[3][b] -

takes organization-defined corrective actions.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage restrictions, mobile code implementation policy and - procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of unacceptable mobile code

-

list of corrective actions to be taken when unacceptable mobile code is - identified

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Automated mechanisms supporting and/or implementing mobile code detection, - inspection, and corrective capability

- - - - - Acquisition / Development / Use - - - - SC-18(2) - sc-18.02 - -

The organization ensures that the acquisition, development, and use of mobile code - to be deployed in the information system meets .

- - -

Determine if the organization:

- - SC-18(2)[1] -

defines requirements for:

- - SC-18(2)[1][a] -

the acquisition of mobile code;

- - - SC-18(2)[1][b] -

the development of mobile code;

- - - SC-18(2)[1][c] -

the use of mobile code; and

- - - - SC-18(2)[2] -

ensures that the acquisition, development, and use of mobile code to be - deployed in the information system meets organization-defined mobile code - requirements.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code requirements

-

mobile code usage restrictions, mobile code implementation policy and - procedures

-

acquisition documentation

-

acquisition contracts for information system, system component, or information - system service

-

system development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing mobile code

-

organizational personnel with acquisition and contracting responsibilities

- - - - TEST - -

Organizational processes for the acquisition, development, and use of mobile - code

- - - - - Prevent Downloading / Execution - - - - SC-18(3) - sc-18.03 - -

The information system prevents the download and execution of .

- - -

Determine if:

- - SC-18(3)[1] -

the organization defines unacceptable mobile code to be prevented from - downloading and execution;

- - - SC-18(3)[2] -

the information system prevents the:

- - SC-18(3)[2][a] -

download of organization-defined unacceptable mobile code; and

- - - SC-18(3)[2][b] -

execution of organization-defined unacceptable mobile code.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage restrictions, mobile code implementation policy and - procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Automated mechanisms preventing download and execution of unacceptable mobile - code

- - - - - Prevent Automatic Execution - - - - - - - SC-18(4) - sc-18.04 - -

The information system prevents the automatic execution of mobile code in and enforces - prior to executing the code.

- - -

Actions enforced before executing mobile code, include, for example, prompting - users prior to opening electronic mail attachments. Preventing automatic execution - of mobile code includes, for example, disabling auto execute features on - information system components employing portable storage devices such as Compact - Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) - devices.

- - -

Determine if:

- - SC-18(4)[1] -

the organization defines software applications in which the automatic execution - of mobile code is to be prohibited;

- - - SC-18(4)[2] -

the organization defines actions to be enforced by the information system prior - to executing mobile code;

- - - SC-18(4)[3] -

the information system prevents the automatic execution of mobile code in the - organization-defined software applications; and

- - - SC-18(4)[4] -

the information system enforces organization-defined actions prior to executing - the code.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage restrictions

-

mobile code implementation policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of software applications for which automatic execution of mobile code must - be prohibited

-

list of actions required before execution of mobile code

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Automated mechanisms preventing automatic execution of unacceptable mobile - code

-

automated mechanisms enforcing actions to be taken prior to the execution of - the mobile code

- - - - - Allow Execution Only in Confined Environments - SC-18(5) - sc-18.05 - -

The organization allows execution of permitted mobile code only in confined - virtual machine environments.

- - -

Determine if the organization allows execution of permitted mobile code only in - confined virtual machine environments.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing mobile code

-

mobile code usage allowances

-

mobile code usage restrictions

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of confined virtual machine environments for which execution of - organizationally-acceptable mobile code is allowed

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel with responsibilities for managing mobile code

- - - - TEST - -

Automated mechanisms allowing execution of permitted mobile code in confined - virtual machine environments

- - - - - - Voice Over Internet Protocol - SC-19 - sc-19 - NIST Special Publication 800-58 - -

The organization:

- - a. -

Establishes usage restrictions and implementation guidance for Voice over Internet - Protocol (VoIP) technologies based on the potential to cause damage to the - information system if used maliciously; and

- - - b. -

Authorizes, monitors, and controls the use of VoIP within the information - system.

- - - - CM-6 - SC-7 - SC-15 - - -

Determine if the organization:

- - SC-19(a) - - SC-19(a)[1] -

establishes usage restrictions for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously;

- - - SC-19(a)[2] -

establishes implementation guidance for Voice over Internet Protocol (VoIP) - technologies based on the potential to cause damage to the information system - if used maliciously;

- - - - SC-19(b) - - SC-19(b)[1] -

authorizes the use of VoIP within the information system;

- - - SC-19(b)[2] -

monitors the use of VoIP within the information system; and

- - - SC-19(b)[3] -

controls the use of VoIP within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing VoIP

-

VoIP usage restrictions

-

VoIP implementation guidance

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing VoIP

- - - - TEST - -

Organizational process for authorizing, monitoring, and controlling VoIP

-

automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling VoIP

- - - - - Secure Name / Address Resolution Service (authoritative Source) - SC-20 - sc-20 - OMB Memorandum 08-23 - NIST Special Publication 800-81 - -

The information system:

- - a. -

Provides additional data origin authentication and integrity verification - artifacts along with the authoritative name resolution data the system returns in - response to external name/address resolution queries; and

- - - b. -

Provides the means to indicate the security status of child zones and (if the - child supports secure resolution services) to enable verification of a chain of - trust among parent and child domains, when operating as part of a distributed, - hierarchical namespace.

- - - -

This control enables external clients including, for example, remote Internet - clients, to obtain origin authentication and integrity verification assurances for - the host/service name to network address resolution information obtained through the - service. Information systems that provide name and address resolution services - include, for example, domain name system (DNS) servers. Additional artifacts include, - for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS - resource records are examples of authoritative data. The means to indicate the - security status of child zones includes, for example, the use of delegation signer - resource records in the DNS. The DNS security controls reflect (and are referenced - from) OMB Memorandum 08-23. Information systems that use technologies other than the - DNS to map between host/service names and network addresses provide other means to - assure the authenticity and integrity of response data.

- AU-10 - SC-8 - SC-12 - SC-13 - SC-21 - SC-22 - - -

Determine if the information system:

- - SC-20(a) -

provides additional data origin and integrity verification artifacts along with - the authoritative name resolution data the system returns in response to external - name/address resolution queries;

- - - SC-20(b) -

provides the means to, when operating as part of a distributed, hierarchical - namespace:

- - SC-20(b)[1] -

indicate the security status of child zones; and

- - - SC-20(b)[2] -

enable verification of a chain of trust among parent and child domains (if the - child supports secure resolution services).

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (authoritative - source)

-

information system design documentation

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing secure name/address resolution - service

- - - - Child Subspaces - SC-20(1) - sc-20.01 - Withdrawn - SC-20 - - - Data Origin / Integrity - SC-20(2) - sc-20.02 - -

The information system provides data origin and integrity protection artifacts for - internal name/address resolution queries.

- - -

Determine if the information system provides data origin and integrity protection - artifacts for internal name/address resolution queries.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (authoritative - source)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing data origin and integrity - protection for internal name/address resolution service queries

- - - - - - Secure Name / Address Resolution Service (recursive or Caching Resolver) - SC-21 - sc-21 - NIST Special Publication 800-81 - -

The information system requests and performs data origin authentication and data - integrity verification on the name/address resolution responses the system receives - from authoritative sources.

- - -

Each client of name resolution services either performs this validation on its own, - or has authenticated channels to trusted validation providers. Information systems - that provide name and address resolution services for local clients include, for - example, recursive resolving or caching domain name system (DNS) servers. DNS client - resolvers either perform validation of DNSSEC signatures, or clients use - authenticated channels to recursive resolvers that perform such validations. - Information systems that use technologies other than the DNS to map between - host/service names and network addresses provide other means to enable clients to - verify the authenticity and integrity of response data.

- SC-20 - SC-22 - - -

Determine if the information system:

- - SC-21[1] -

requests data origin authentication on the name/address resolution responses the - system receives from authoritative sources;

- - - SC-21[2] -

requests data integrity verification on the name/address resolution responses the - system receives from authoritative sources;

- - - SC-21[3] -

performs data origin authentication on the name/address resolution responses the - system receives from authoritative sources; and

- - - SC-21[4] -

performs data integrity verification on the name/address resolution responses the - system receives from authoritative sources.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing secure name/address resolution service (recursive or caching - resolver)

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing data origin authentication and - data integrity verification for name/address resolution services

- - - - Data Origin / Integrity - SC-21(1) - sc-21.01 - Withdrawn - SC-21 - - - - Architecture and Provisioning for Name / Address Resolution Service - SC-22 - sc-22 - NIST Special Publication 800-81 - -

The information systems that collectively provide name/address resolution service for - an organization are fault-tolerant and implement internal/external role - separation.

- - -

Information systems that provide name and address resolution services include, for - example, domain name system (DNS) servers. To eliminate single points of failure and - to enhance redundancy, organizations employ at least two authoritative domain name - system servers, one configured as the primary server and the other configured as the - secondary server. Additionally, organizations typically deploy the servers in two - geographically separated network subnetworks (i.e., not located in the same physical - facility). For role separation, DNS servers with internal roles only process name and - address resolution requests from within organizations (i.e., from internal clients). - DNS servers with external roles only process name and address resolution information - requests from clients external to organizations (i.e., on external networks including - the Internet). Organizations specify clients that can access authoritative DNS - servers in particular roles (e.g., by address ranges, explicit lists).

- SC-2 - SC-20 - SC-21 - SC-24 - - -

Determine if the information systems that collectively provide name/address - resolution service for an organization:

- - SC-22[1] -

are fault tolerant; and

- - - SC-22[2] -

implement internal/external role separation.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing architecture and provisioning for name/address resolution - service

-

access control policy and procedures

-

information system design documentation

-

assessment results from independent, testing organizations

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for managing DNS

- - - - TEST - -

Automated mechanisms supporting and/or implementing name/address resolution - service for fault tolerance and role separation

- - - - - Session Authenticity - SC-23 - sc-23 - NIST Special Publication 800-52 - NIST Special Publication 800-77 - NIST Special Publication 800-95 - -

The information system protects the authenticity of communications sessions.

- - -

This control addresses communications protection at the session, versus packet level - (e.g., sessions in service-oriented architectures providing web-based services) and - establishes grounds for confidence at both ends of communications sessions in ongoing - identities of other parties and in the validity of information transmitted. - Authenticity protection includes, for example, protecting against man-in-the-middle - attacks/session hijacking and the insertion of false information into sessions.

- SC-8 - SC-10 - SC-11 - - -

Determine if the information system protects the authenticity of communications - sessions.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing session authenticity

- - - - Invalidate Session Identifiers at Logout - SC-23(1) - sc-23.01 - -

The information system invalidates session identifiers upon user logout or other - session termination.

- - -

This control enhancement curtails the ability of adversaries from capturing and - continuing to employ previously valid session IDs.

- - -

Determine if the information system invalidates session identifiers upon user - logout or other session termination.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing session identifier - invalidation upon session termination

- - - - - User-initiated Logouts / Message Displays - SC-23(2) - sc-23.02 - Withdrawn - AC-12 (1) - - - Unique Session Identifiers with Randomization - - - - SC-23(3) - sc-23.03 - -

The information system generates a unique session identifier for each session with - and recognizes only session identifiers that - are system-generated.

- - -

This control enhancement curtails the ability of adversaries from reusing - previously valid session IDs. Employing the concept of randomness in the - generation of unique session identifiers helps to protect against brute-force - attacks to determine future session identifiers.

- SC-13 - - -

Determine if:

- - SC-23(3)[1] -

the organization defines randomness requirements for generating a unique - session identifier for each session;

- - - SC-23(3)[2] -

the information system generates a unique session identifier for each session - with organization-defined randomness requirements; and

- - - SC-23(3)[3] -

the information system recognizes only session identifiers that are - system-generated.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing generating and monitoring - unique session identifiers

-

automated mechanisms supporting and/or implementing randomness requirements

- - - - - Unique Session Identifiers with Randomization - SC-23(4) - sc-23.04 - Withdrawn - SC-23 (3) - - - Allowed Certificate Authorities - - - - SC-23(5) - sc-23.05 - -

The information system only allows the use of - for verification of the establishment of protected sessions.

- - -

Reliance on certificate authorities (CAs) for the establishment of secure sessions - includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer - Security (TLS) certificates. These certificates, after verification by the - respective certificate authorities, facilitate the establishment of protected - sessions between web clients and web servers.

- SC-13 - - -

Determine if:

- - SC-23(5)[1] -

the organization defines certificate authorities to be allowed for verification - of the establishment of protected sessions; and

- - - SC-23(5)[2] -

the information system only allows the use of organization-defined certificate - authorities for verification of the establishment of protected sessions.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing session authenticity

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of certificate authorities allowed for verification of the establishment - of protected sessions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing management of certificate - authorities

- - - - - - Fail in Known State - - - - - - - - - - SC-24 - sc-24 - -

The information system fails to a for preserving in - failure.

- - -

Failure in a known state addresses security concerns in accordance with the - mission/business needs of organizations. Failure in a known secure state helps to - prevent the loss of confidentiality, integrity, or availability of information in the - event of failures of organizational information systems or system components. Failure - in a known safe state helps to prevent systems from failing to a state that may cause - injury to individuals or destruction to property. Preserving information system state - information facilitates system restart and return to the operational mode of - organizations with less disruption of mission/business processes.

- CP-2 - CP-10 - CP-12 - SC-7 - SC-22 - - -

Determine if:

- - SC-24[1] -

the organization defines a known-state to which the information system is to fail - in the event of a system failure;

- - - SC-24[2] -

the organization defines types of failures for which the information system is to - fail to an organization-defined known-state;

- - - SC-24[3] -

the organization defines system state information to be preserved in the event of - a system failure;

- - - SC-24[4] -

the information system fails to the organization-defined known-state for - organization-defined types of failures; and

- - - SC-24[5] -

the information system preserves the organization-defined system state information - in the event of a system failure.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing information system failure to known state

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of failures requiring information system to fail in a known state

-

state information to be preserved in system failure

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing fail-in-known state - capability

-

automated mechanisms preserving system state information in the event of a system - failure

- - - - - Thin Nodes - - - - SC-25 - sc-25 - -

The organization employs with minimal functionality - and information storage.

- - -

The deployment of information system components with reduced/minimal functionality - (e.g., diskless nodes and thin client technologies) reduces the need to secure every - user endpoint, and may reduce the exposure of information, information systems, and - services to cyber attacks.

- SC-30 - - -

Determine if the organization:

- - SC-25[1] -

defines information system components to be employed with minimal functionality - and information storage; and

- - - SC-25[2] -

employs organization-defined information system components with minimal - functionality and information storage.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing use of thin nodes

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing thin nodes

- - - - - Honeypots - SC-26 - sc-26 - -

The information system includes components specifically designed to be the target of - malicious attacks for the purpose of detecting, deflecting, and analyzing such - attacks.

- - -

A honeypot is set up as a decoy to attract adversaries and to deflect their attacks - away from the operational systems supporting organizational missions/business - function. Depending upon the specific usage of the honeypot, consultation with the - Office of the General Counsel before deployment may be needed.

- SC-30 - SC-44 - SI-3 - SI-4 - - -

Determine if the information system includes components specifically designed to be - the target of malicious attacks for the purpose of detecting, deflecting, and - analyzing such attacks.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing use of honeypots

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing honey pots

- - - - Detection of Malicious Code - SC-26(1) - sc-26.01 - Withdrawn - SC-35 - - - - Platform-independent Applications - - - - SC-27 - sc-27 - -

The information system includes: .

- - -

Platforms are combinations of hardware and software used to run software - applications. Platforms include: (i) operating systems; (ii) the underlying computer - architectures, or (iii) both. Platform-independent applications are applications that - run on multiple platforms. Such applications promote portability and reconstitution - on different platforms, increasing the availability of critical functions within - organizations while information systems with specific operating systems are under - attack.

- SC-29 - - -

Determine if:

- - SC-27[1] -

the organization defines platform-independent applications; and

- - - SC-27[2] -

the information system includes organization-defined platform-independent - applications.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing platform-independent applications

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of platform-independent applications

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing platform-independent - applications

- - - - - Protection of Information at Rest - - - - - - - SC-28 - sc-28 - NIST Special Publication 800-56 - NIST Special Publication 800-57 - NIST Special Publication 800-111 - -

The information system protects the of .

- - -

This control addresses the confidentiality and integrity of information at rest and - covers user information and system information. Information at rest refers to the - state of information when it is located on storage devices as specific components of - information systems. System-related information requiring protection includes, for - example, configurations or rule sets for firewalls, gateways, intrusion - detection/prevention systems, filtering routers, and authenticator content. - Organizations may employ different mechanisms to achieve confidentiality and - integrity protections, including the use of cryptographic mechanisms and file share - scanning. Integrity protection can be achieved, for example, by implementing - Write-Once-Read-Many (WORM) technologies. Organizations may also employ other - security controls including, for example, secure off-line storage in lieu of online - storage when adequate protection of information at rest cannot otherwise be achieved - and/or continuous monitoring to identify malicious code at rest.

- AC-3 - AC-6 - CA-7 - CM-3 - CM-5 - CM-6 - PE-3 - SC-8 - SC-13 - SI-3 - SI-7 - - -

Determine if:

- - SC-28[1] -

the organization defines information at rest requiring one or more of the - following:

- - SC-28[1][a] -

confidentiality protection; and/or

- - - SC-28[1][b] -

integrity protection;

- - - - SC-28[2] -

the information system protects:

- - SC-28[2][a] -

the confidentiality of organization-defined information at rest; and/or

- - - SC-28[2][b] -

the integrity of organization-defined information at rest.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

list of information at rest requiring confidentiality and integrity - protections

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing confidentiality and integrity - protections for information at rest

- - - - Cryptographic Protection - - - - - - - SC-28(1) - sc-28.01 - -

The information system implements cryptographic mechanisms to prevent unauthorized - disclosure and modification of on .

- - -

Selection of cryptographic mechanisms is based on the need to protect the - confidentiality and integrity of organizational information. The strength of - mechanism is commensurate with the security category and/or classification of the - information. This control enhancement applies to significant concentrations of - digital media in organizational areas designated for media storage and also to - limited quantities of media generally associated with information system - components in operational environments (e.g., portable storage devices, mobile - devices). Organizations have the flexibility to either encrypt all information on - storage devices (i.e., full disk encryption) or encrypt specific data structures - (e.g., files, records, or fields). Organizations employing cryptographic - mechanisms to protect information at rest also consider cryptographic key - management solutions.

- AC-19 - SC-12 - - -

Determine if:

- - SC-28(1)[1] -

the organization defines information requiring cryptographic protection;

- - - SC-28(1)[2] -

the organization defines information system components with - organization-defined information requiring cryptographic protection; and

- - - SC-28(1)[3] -

the information system employs cryptographic mechanisms to prevent unauthorized - disclosure and modification of organization-defined information on - organization-defined information system components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Cryptographic mechanisms implementing confidentiality and integrity protections - for information at rest

- - - - - Off-line Storage - - - - SC-28(2) - sc-28.02 - -

The organization removes from online storage and stores off-line in a secure - location .

- - -

Removing organizational information from online information system storage to - off-line storage eliminates the possibility of individuals gaining unauthorized - access to the information through a network. Therefore, organizations may choose - to move information to off-line storage in lieu of protecting such information in - online storage.

- - -

Determine if the organization:

- - SC-28(2)[1] -

defines information to be removed from online storage and stored off-line in a - secure location; and

- - - SC-28(2)[2] -

removes organization-defined information from online storage; and

- - - SC-28(2)[3] -

stores such information off-line in a secure location.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing protection of information at rest

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated configuration documentation

-

off-line storage locations for information at rest

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing removal of information from - online storage

-

automated mechanisms supporting and/or implementing storage of information - off-line

- - - - - - Heterogeneity - - - - SC-29 - sc-29 - -

The organization employs a diverse set of information technologies for in the implementation of the information system.

- - -

Increasing the diversity of information technologies within organizational - information systems reduces the impact of potential exploitations of specific - technologies and also defends against common mode failures, including those failures - induced by supply chain attacks. Diversity in information technologies also reduces - the likelihood that the means adversaries use to compromise one information system - component will be equally effective against other system components, thus further - increasing the adversary work factor to successfully complete planned cyber attacks. - An increase in diversity may add complexity and management overhead which could - ultimately lead to mistakes and unauthorized configurations.

- SA-12 - SA-14 - SC-27 - - -

Determine if the organization:

- - SC-29[1] -

defines information system components requiring a diverse set of information - technologies to be employed in the implementation of the information system; - and

- - - SC-29[2] -

employs a diverse set of information technologies for organization-defined - information system components in the implementation of the information system.

- - - - EXAMINE - -

System and communications protection policy

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of technologies deployed in the information system

-

acquisition documentation

-

acquisition contracts for information system components or services

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with information system acquisition, development, and - implementation responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing employment of a diverse set of - information technologies

- - - - Virtualization Techniques - - - - SC-29(1) - sc-29.01 - -

The organization employs virtualization techniques to support the deployment of a - diversity of operating systems and applications that are changed .

- - -

While frequent changes to operating systems and applications pose configuration - management challenges, the changes can result in an increased work factor for - adversaries in order to carry out successful cyber attacks. Changing virtual - operating systems or applications, as opposed to changing actual operating - systems/applications, provide virtual changes that impede attacker success while - reducing configuration management efforts. In addition, virtualization techniques - can assist organizations in isolating untrustworthy software and/or software of - dubious provenance into confined execution environments.

- - -

Determine if the organization:

- - SC-29(1)[1] -

defines a frequency to change the diversity of operating systems and - applications deployed using virtualization techniques; and

- - - SC-29(1)[2] -

employs virtualization techniques to support the deployment of a diversity of - operating systems and applications that are changed with the - organization-defined frequency.

- - - - EXAMINE - -

System and communications protection policy

-

configuration management policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of operating systems and applications deployed using virtualization - techniques

-

change control records

-

configuration management records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibilities for implementing approved - virtualization techniques to the information system

- - - - TEST - -

Automated mechanisms supporting and/or implementing employment of a diverse set - of information technologies

-

automated mechanisms supporting and/or implementing virtualization - techniques

- - - - - - Concealment and Misdirection - - - - - - - - - - SC-30 - sc-30 - -

The organization employs for at to confuse and - mislead adversaries.

- - -

Concealment and misdirection techniques can significantly reduce the targeting - capability of adversaries (i.e., window of opportunity and available attack surface) - to initiate and complete cyber attacks. For example, virtualization techniques - provide organizations with the ability to disguise information systems, potentially - reducing the likelihood of successful attacks without the cost of having multiple - platforms. Increased use of concealment/misdirection techniques including, for - example, randomness, uncertainty, and virtualization, may sufficiently confuse and - mislead adversaries and subsequently increase the risk of discovery and/or exposing - tradecraft. Concealment/misdirection techniques may also provide organizations - additional time to successfully perform core missions and business functions. Because - of the time and effort required to support concealment/misdirection techniques, it is - anticipated that such techniques would be used by organizations on a very limited - basis.

- SC-26 - SC-29 - SI-14 - - -

Determine if the organization:

- - SC-30[1] -

defines concealment and misdirection techniques to be employed to confuse and - mislead adversaries potentially targeting organizational information systems;

- - - SC-30[2] -

defines information systems for which organization-defined concealment and - misdirection techniques are to be employed;

- - - SC-30[3] -

defines time periods to employ organization-defined concealment and misdirection - techniques for organization-defined information systems; and

- - - SC-30[4] -

employs organization-defined concealment and misdirection techniques for - organization-defined information systems at organization-defined time periods to - confuse and mislead adversaries.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing concealment and misdirection techniques for the information - system

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of concealment and misdirection techniques to be employed for organizational - information systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for implementing concealment and - misdirection techniques for information systems

- - - - TEST - -

Automated mechanisms supporting and/or implementing concealment and misdirection - techniques

- - - - Virtualization Techniques - SC-30(1) - sc-30.01 - Withdrawn - SC-29 (1) - - - Randomness - - - - SC-30(2) - sc-30.02 - -

The organization employs to introduce - randomness into organizational operations and assets.

- - -

Randomness introduces increased levels of uncertainty for adversaries regarding - the actions organizations take in defending against cyber attacks. Such actions - may impede the ability of adversaries to correctly target information resources of - organizations supporting critical missions/business functions. Uncertainty may - also cause adversaries to hesitate before initiating or continuing attacks. - Misdirection techniques involving randomness include, for example, performing - certain routine actions at different times of day, employing different information - technologies (e.g., browsers, search engines), using different suppliers, and - rotating roles and responsibilities of organizational personnel.

- - -

Determine if the organization:

- - SC-30(2)[1] -

defines techniques to be employed to introduce randomness into organizational - operations and assets; and

- - - SC-30(2)[2] -

employs organization-defined techniques to introduce randomness into - organizational operations and assets.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing concealment and misdirection techniques for the - information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of techniques to be employed to introduce randomness into organizational - operations and assets

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for implementing concealment and - misdirection techniques for information systems

- - - - TEST - -

Automated mechanisms supporting and/or implementing randomness as a concealment - and misdirection technique

- - - - - Change Processing / Storage Locations - - - - - - - - - - SC-30(3) - sc-30.03 - -

The organization changes the location of - ].

- - -

Adversaries target critical organizational missions/business functions and the - information resources supporting those missions and functions while at the same - time, trying to minimize exposure of their existence and tradecraft. The static, - homogeneous, and deterministic nature of organizational information systems - targeted by adversaries, make such systems more susceptible to cyber attacks with - less adversary cost and effort to be successful. Changing organizational - processing and storage locations (sometimes referred to as moving target defense) - addresses the advanced persistent threat (APT) using techniques such as - virtualization, distributed processing, and replication. This enables - organizations to relocate the information resources (i.e., processing and/or - storage) supporting critical missions and business functions. Changing locations - of processing activities and/or storage sites introduces uncertainty into the - targeting activities by adversaries. This uncertainty increases the work factor of - adversaries making compromises or breaches to organizational information systems - much more difficult and time-consuming, and increases the chances that adversaries - may inadvertently disclose aspects of tradecraft while attempting to locate - critical organizational resources.

- - -

Determine if the organization:

- - SC-30(3)[1] -

defines processing and/or storage locations to be changed at time intervals - specified by the organization;

- - - SC-30(3)[2] -

defines a frequency to change the location of organization-defined processing - and/or storage; and

- - - SC-30(3)[3] -

changes the location of organization-defined processing and/or storage at one - of the following:

- - SC-30(3)[3][a] -

organization-defined time intervals; or

- - - SC-30(3)[3][b] -

random time intervals.

- - - - - EXAMINE - -

System and communications protection policy

-

configuration management policy and procedures

-

procedures addressing concealment and misdirection techniques for the - information system

-

list of processing/storage locations to be changed at organizational time - intervals

-

change control records

-

configuration management records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for changing processing and/or - storage locations

- - - - TEST - -

Automated mechanisms supporting and/or implementing changing processing and/or - storage locations

- - - - - Misleading Information - - - - SC-30(4) - sc-30.04 - -

The organization employs realistic, but misleading information in with regard to its security state or posture.

- - -

This control enhancement misleads potential adversaries regarding the nature and - extent of security safeguards deployed by organizations. As a result, adversaries - may employ incorrect (and as a result ineffective) attack techniques. One way of - misleading adversaries is for organizations to place misleading information - regarding the specific security controls deployed in external information systems - that are known to be accessed or targeted by adversaries. Another technique is the - use of deception nets (e.g., honeynets, virtualized environments) that mimic - actual aspects of organizational information systems but use, for example, - out-of-date software configurations.

- - -

Determine if the organization:

- - SC-30(4)[1] -

defines information system components in which to employ realistic, but - misleading information regarding its security state or posture; and

- - - SC-30(4)[2] -

employs realistic, but misleading information in organization-defined - information system components with regard to its security state or posture.

- - - - EXAMINE - -

System and communications protection policy

-

configuration management policy and procedures

-

procedures addressing concealment and misdirection techniques for the - information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for defining and employing - realistic, but misleading information about the security posture of information - system components

- - - - TEST - -

Automated mechanisms supporting and/or implementing employment of realistic, - but misleading information about the security posture of information system - components

- - - - - Concealment of System Components - - - - - - - SC-30(5) - sc-30.05 - -

The organization employs to hide or conceal - .

- - -

By hiding, disguising, or otherwise concealing critical information system - components, organizations may be able to decrease the probability that adversaries - target and successfully compromise those assets. Potential means for organizations - to hide and/or conceal information system components include, for example, - configuration of routers or the use of honeynets or virtualization techniques.

- - -

Determine if the organization:

- - SC-30(5)[1] -

defines techniques to be employed to hide or conceal information system - components;

- - - SC-30(5)[2] -

defines information system components to be hidden or concealed using - organization-defined techniques; and

- - - SC-30(5)[3] -

employs organization-defined techniques to hide or conceal organization-defined - information system components.

- - - - EXAMINE - -

System and communications protection policy

-

configuration management policy and procedures

-

procedures addressing concealment and misdirection techniques for the - information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of techniques employed to hide or conceal information system - components

-

list of information system components to be hidden or concealed

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with responsibility for concealment of system - components

- - - - TEST - -

Automated mechanisms supporting and/or implementing techniques for concealment - of system components

- - - - - - Covert Channel Analysis - - - - SC-31 - sc-31 - -

The organization:

- - a. -

Performs a covert channel analysis to identify those aspects of communications - within the information system that are potential avenues for covert channels; and

- - - b. -

Estimates the maximum bandwidth of those channels.

- - - -

Developers are in the best position to identify potential areas within systems that - might lead to covert channels. Covert channel analysis is a meaningful activity when - there is the potential for unauthorized information flows across security domains, - for example, in the case of information systems containing export-controlled - information and having connections to external networks (i.e., networks not - controlled by organizations). Covert channel analysis is also meaningful for - multilevel secure (MLS) information systems, multiple security level (MSL) systems, - and cross-domain systems.

- AC-3 - AC-4 - PL-2 - - -

Determine if the organization:

- - SC-31(a) -

performs a covert channel analysis to identify those aspects of communications - within the information system that are potential avenues for one or more of the - following:

- - SC-31(a)[1] -

covert storage channels; and/or

- - - SC-31(a)[2] -

covert timing channels; and

- - - - SC-31(b) -

estimates the maximum bandwidth of those channels.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing covert channel analysis

-

information system design documentation

-

information system configuration settings and associated documentation

-

covert channel analysis documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with covert channel analysis responsibilities

-

information system developers/integrators

- - - - TEST - -

Organizational process for conducting covert channel analysis

-

automated mechanisms supporting and/or implementing covert channel analysis

-

automated mechanisms supporting and/or implementing the capability to estimate the - bandwidth of covert channels

- - - - Test Covert Channels for Exploitability - SC-31(1) - sc-31.01 - -

The organization tests a subset of the identified covert channels to determine - which channels are exploitable.

- - -

Determine if the organization tests a subset of identified covert channels to - determine which channels are exploitable.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing covert channel analysis

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of covert channels

-

covert channel analysis documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with covert channel analysis responsibilities

- - - - TEST - -

Organizational process for testing covert channels

-

automated mechanisms supporting and/or implementing testing of covert channels - analysis

- - - - - Maximum Bandwidth - - - - - - - SC-31(2) - sc-31.02 - -

The organization reduces the maximum bandwidth for identified covert channels to .

- - -

Information system developers are in the best position to reduce the maximum - bandwidth for identified covert storage and timing channels.

- - -

Determine if the organization:

- - SC-31(2)[1] -

defines values to be employed as the maximum bandwidth allowed for identified - covert channels; and

- - - SC-31(2)[2] -

reduces the maximum bandwidth to organization-defined values for one or more of - the following identified:

- - SC-31(2)[2][a] -

covert storage channels; and/or

- - - SC-31(2)[2][b] -

covert timing channels.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing covert channel analysis

-

acquisition contracts for information systems or services

-

acquisition documentation

-

information system design documentation

-

information system configuration settings and associated documentation

-

covert channel analysis documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with covert channel analysis responsibilities

-

information system developers/integrators

- - - - TEST - -

Organizational process for conducting covert channel analysis

-

automated mechanisms supporting and/or implementing covert channel analysis

-

automated mechanisms supporting and/or implementing the capability to reduce - the bandwidth of covert channels

- - - - - Measure Bandwidth in Operational Environments - - - - SC-31(3) - sc-31.03 - -

The organization measures the bandwidth of in - the operational environment of the information system.

- - -

This control enhancement addresses covert channel bandwidth in operational - environments versus developmental environments. Measuring covert channel bandwidth - in operational environments helps organizations to determine how much information - can be covertly leaked before such leakage adversely affects organizational - missions/business functions. Covert channel bandwidth may be significantly - different when measured in those settings that are independent of the particular - environments of operation (e.g., laboratories or development environments).

- - -

Determine if the organization:

- - SC-31(3)[1] -

defines subset of identified covert channels whose bandwidth is to be measured - in the operational environment of the information system; and

- - - SC-31(3)[2] -

measures the bandwidth of the organization-defined subset of identified covert - channels in the operational environment of the information system.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing covert channel analysis

-

information system design documentation

-

information system configuration settings and associated documentation

-

covert channel analysis documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel with covert channel analysis responsibilities

-

information system developers/integrators

- - - - TEST - -

Organizational process for conducting covert channel analysis

-

automated mechanisms supporting and/or implementing covert channel analysis

-

automated mechanisms supporting and/or implementing the capability to measure - the bandwidth of covert channels

- - - - - - Information System Partitioning - - - - - - - SC-32 - sc-32 - FIPS Publication 199 - -

The organization partitions the information system into residing in separate physical domains or environments - based on .

- - -

Information system partitioning is a part of a defense-in-depth protection strategy. - Organizations determine the degree of physical separation of system components from - physically distinct components in separate racks in the same room, to components in - separate rooms for the more critical components, to more significant geographical - separation of the most critical components. Security categorization can guide the - selection of appropriate candidates for domain partitioning. Managed interfaces - restrict or prohibit network access and information flow among partitioned - information system components.

- AC-4 - SA-8 - SC-2 - SC-3 - SC-7 - - -

Determine if the organization:

- - SC-32[1] -

defines circumstances for physical separation of information system components - into information system partitions;

- - - SC-32[2] -

defines information system components to reside in separate physical domains or - environments based on organization-defined circumstances for physical separation - of components; and

- - - SC-32[3] -

partitions the information system into organization-defined information system - components residing in separate physical domains or environments based on - organization-defined circumstances for physical separation of components.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing information system partitioning

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of information system physical domains (or environments)

-

information system facility diagrams

-

information system network diagrams

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing physical separation of - information system components

- - - - - Transmission Preparation Integrity - SC-33 - sc-33 - Withdrawn - SC-8 - - - Non-modifiable Executable Programs - - - - - - - SC-34 - sc-34 - -

The information system at :

- - a. -

Loads and executes the operating environment from hardware-enforced, read-only - media; and

- - - b. -

Loads and executes from hardware-enforced, - read-only media.

- - - -

The term operating environment is defined as the specific code that hosts - applications, for example, operating systems, executives, or monitors including - virtual machine monitors (i.e., hypervisors). It can also include certain - applications running directly on hardware platforms. Hardware-enforced, read-only - media include, for example, Compact Disk-Recordable (CD-R)/Digital Video - Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The - use of non-modifiable storage ensures the integrity of software from the point of - creation of the read-only image. The use of reprogrammable read-only memory can be - accepted as read-only media provided: (i) integrity can be adequately protected from - the point of initial writing to the insertion of the memory into the information - system; and (ii) there are reliable hardware protections against reprogramming the - memory while installed in organizational information systems.

- AC-3 - SI-7 - - -

Determine if:

- - SC-34[1] -

the organization defines information system components for which the operating - environment and organization-defined applications are to be loaded and executed - from hardware-enforced, read-only media;

- - - SC-34[2] -

the organization defines applications to be loaded and executed from - hardware-enforced, read-only media;

- - - SC-34[3] -

the information system, at organization-defined information system components:

- - SC-34[3](a) -

loads and executes the operating environment from hardware-enforced, read-only - media; and

- - - SC-34[3](b) -

loads and executes organization-defined applications from hardware-enforced, - read-only media.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing non-modifiable executable programs

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of operating system components to be loaded from hardware-enforced, read-only - media

-

list of applications to be loaded from hardware-enforced, read-only media

-

media used to load and execute information system operating environment

-

media used to load and execute information system applications

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing loading and executing the - operating environment from hardware-enforced, read-only media

-

automated mechanisms supporting and/or implementing loading and executing - applications from hardware-enforced, read-only media

- - - - No Writable Storage - - - - SC-34(1) - sc-34.01 - -

The organization employs with no writeable - storage that is persistent across component restart or power on/off.

- - -

This control enhancement: (i) eliminates the possibility of malicious code - insertion via persistent, writeable storage within the designated information - system components; and (ii) applies to both fixed and removable storage, with the - latter being addressed directly or as specific restrictions imposed through access - controls for mobile devices.

- AC-19 - MP-7 - - -

Determine if the organization:

- - SC-34(1)[1] -

defines information system components to be employed with no writeable storage; - and

- - - SC-34(1)[2] -

employs organization-defined information system components with no writeable - storage that is persistent across component restart or power on/off.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing non-modifiable executable programs

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of information system components to be employed without writeable storage - capability

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing employment of components - with no writeable storage

-

automated mechanisms supporting and/or implementing persistent non-writeable - storage across component restart and power on/off

- - - - - Integrity Protection / Read-only Media - SC-34(2) - sc-34.02 - -

The organization protects the integrity of information prior to storage on - read-only media and controls the media after such information has been recorded - onto the media.

- - -

Security safeguards prevent the substitution of media into information systems or - the reprogramming of programmable read-only media prior to installation into the - systems. Security safeguards include, for example, a combination of prevention, - detection, and response.

- AC-5 - CM-3 - CM-5 - CM-9 - MP-2 - MP-4 - MP-5 - SA-12 - SC-28 - SI-3 - - -

Determine if the organization:

- - SC-34(2)[1] -

protects the integrity of the information prior to storage on read-only media; - and

- - - SC-34(2)[2] -

controls the media after such information has been recorded onto the media.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing non-modifiable executable programs

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing capability for protecting - information integrity on read-only media prior to storage and after information - has been recorded onto the media

- - - - - Hardware-based Protection - - - - - - - SC-34(3) - sc-34.03 - -

The organization:

- - (a) -

Employs hardware-based, write-protect for ; - and

- - - (b) -

Implements specific procedures for to - manually disable hardware write-protect for firmware modifications and - re-enable the write-protect prior to returning to operational mode.

- - - -

Determine if the organization:

- - SC-34(3)(a) - - SC-34(3)(a)[1] -

defines information system firmware components for which hardware-based, - write-protection is to be employed;

- - - SC-34(3)(a)[2] -

employs hardware-based, write-protection for organization-defined - information system firmware components;

- - SC-34(3)(a) - - - SC-34(3)(b) - - SC-34(3)(b)[1] -

defines individuals authorized to manually disable hardware write-protect - for firmware modifications and re-enable the write-protect prior to - returning to operational mode; and

- - - SC-34(3)(b)[2] -

implements specific procedures for organization-defined authorized - individuals to manually disable hardware write-protect for firmware - modifications and re-enable the write-protect prior to returning to - operational mode.

- - SC-34(3)(b) - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing firmware modifications

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Organizational processes for modifying firmware

-

automated mechanisms supporting and/or implementing hardware-based, - write-protection for firmware

- - - - - - Honeyclients - SC-35 - sc-35 - -

The information system includes components that proactively seek to identify - malicious websites and/or web-based malicious code.

- - -

Honeyclients differ from honeypots in that the components actively probe the Internet - in search of malicious code (e.g., worms) contained on external websites. As with - honeypots, honeyclients require some supporting isolation measures (e.g., - virtualization) to ensure that any malicious code discovered during the search and - subsequently executed does not infect organizational information systems.

- SC-26 - SC-44 - SI-3 - SI-4 - - -

Determine if the information system includes components that proactively seek to - identify malicious websites and/or web-based malicious code.

- - - EXAMINE - -

System and communications protection policy

-

procedures addressing honeyclients

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system components deployed to identify malicious websites and/or - web-based malicious code

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing honeyclients

- - - - - Distributed Processing and Storage - - - - SC-36 - sc-36 - -

The organization distributes across multiple - physical locations.

- - -

Distributing processing and storage across multiple physical locations provides some - degree of redundancy or overlap for organizations, and therefore increases the work - factor of adversaries to adversely impact organizational operations, assets, and - individuals. This control does not assume a single primary processing or storage - location, and thus allows for parallel processing and storage.

- CP-6 - CP-7 - - -

Determine if the organization:

- - SC-36[1] -

defines processing and storage to be distributed across multiple physical - locations; and

- - - SC-36[2] -

distributes organization-defined processing and storage across multiple physical - locations.

- - - - EXAMINE - -

System and communications protection policy

-

contingency planning policy and procedures

-

contingency plan

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of information system physical locations (or environments) with distributed - processing and storage

-

information system facility diagrams

-

processing site agreements

-

storage site agreements

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with contingency planning and plan implementation - responsibilities

-

information system developers/integrators

- - - - TEST - -

Organizational processes for distributing processing and storage across multiple - physical locations

-

automated mechanisms supporting and/or implementing capability for distributing - processing and storage across multiple physical locations

- - - - Polling Techniques - - - - SC-36(1) - sc-36.01 - -

The organization employs polling techniques to identify potential faults, errors, - or compromises to .

- - -

Distributed processing and/or storage may be employed to reduce opportunities for - adversaries to successfully compromise the confidentiality, integrity, or - availability of information and information systems. However, distribution of - processing and/or storage components does not prevent adversaries from - compromising one (or more) of the distributed components. Polling compares the - processing results and/or storage content from the various distributed components - and subsequently voting on the outcomes. Polling identifies potential faults, - errors, or compromises in distributed processing and/or storage components.

- SI-4 - - -

Determine if the organization:

- - SC-36(1)[1] -

defines distributed processing and storage components for which polling - techniques are to be employed to identify potential faults, errors, or - compromises; and

- - - SC-36(1)[2] -

employs polling techniques to identify potential faults, errors, or compromises - to organization-defined distributed processing and storage components.

- - - - EXAMINE - -

System and communications protection policy

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of distributed processing and storage components subject to polling

-

information system polling techniques and associated documentation or - records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Automated mechanisms supporting and/or implementing polling techniques

- - - - - - Out-of-band Channels - - - - - - - - - - SC-37 - sc-37 - -

The organization employs for the physical delivery - or electronic transmission of to .

- - -

Out-of-band channels include, for example, local (nonnetwork) accesses to information - systems, network paths physically separate from network paths used for operational - traffic, or nonelectronic paths such as the US Postal Service. This is in contrast - with using the same channels (i.e., in-band channels) that carry routine operational - traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band - channels, and hence the confidentiality, integrity, or availability compromises of - in-band channels will not compromise the out-of-band channels. Organizations may - employ out-of-band channels in the delivery or transmission of many organizational - items including, for example, identifiers/authenticators, configuration management - changes for hardware, firmware, or software, cryptographic key management - information, security updates, system/data backups, maintenance information, and - malicious code protection updates.

- AC-2 - CM-3 - CM-5 - CM-7 - IA-4 - IA-5 - MA-4 - SC-12 - SI-3 - SI-4 - SI-7 - - -

Determine if the organization:

- - SC-37[1] -

defines out-of-band channels to be employed for the physical delivery or - electronic transmission of information, information system components, or devices - to individuals or information systems;

- - - SC-37[2] -

defines information, information system components, or devices for which physical - delivery or electronic transmission of such information, information system - components, or devices to individuals or information systems requires employment - of organization-defined out-of-band channels;

- - - SC-37[3] -

defines individuals or information systems to which physical delivery or - electronic transmission of organization-defined information, information system - components, or devices is to be achieved via employment of organization-defined - out-of-band channels; and

- - - SC-37[4] -

employs organization-defined out-of-band channels for the physical delivery or - electronic transmission of organization-defined information, information system - components, or devices to organization-defined individuals or information - systems.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing use of out-of-band channels

-

access control policy and procedures

-

identification and authentication policy and procedures

-

information system design documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

list of out-of-band channels

-

types of information, information system components, or devices requiring use of - out-of-band channels for physical delivery or electronic transmission to - authorized individuals or information systems

-

physical delivery records

-

electronic transmission records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring, operating, and/or - using out-of-band channels

-

information system developers/integrators

- - - - TEST - -

Organizational processes for use of out-of-band channels

-

automated mechanisms supporting and/or implementing use of out-of-band - channels

- - - - Ensure Delivery / Transmission - - - - - - - - - - SC-37(1) - sc-37.01 - -

The organization employs to ensure that only - receive the .

- - -

Techniques and/or methods employed by organizations to ensure that only designated - information systems or individuals receive particular information, system - components, or devices include, for example, sending authenticators via courier - service but requiring recipients to show some form of government-issued - photographic identification as a condition of receipt.

- - -

Determine if the organization:

- - SC-37(1)[1] -

defines security safeguards to be employed to ensure that only designated - individuals or information systems receive specific information, information - system components, or devices;

- - - SC-37(1)[2] -

defines individuals or information systems designated to receive specific - information, information system components, or devices;

- - - SC-37(1)[3] -

defines information, information system components, or devices that only - organization-defined individuals or information systems are designated to - receive; and

- - - SC-37(1)[4] -

employs organization-defined security safeguards to ensure that only - organization-defined individuals or information systems receive the - organization-defined information, information system components, or - devices.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing use of out-of-band channels

-

access control policy and procedures

-

identification and authentication policy and procedures

-

information system design documentation

-

information system architecture

-

information system configuration settings and associated documentation

-

list of security safeguards to be employed to ensure designated individuals or - information systems receive organization-defined information, information - system components, or devices

-

list of security safeguards for delivering designated information, information - system components, or devices to designated individuals or information - systems

-

list of information, information system components, or devices to be delivered - to designated individuals or information systems

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring, operating, - and/or using out-of-band channels

-

information system developers/integrators

- - - - TEST - -

Organizational processes for use of out-of-band channels

-

automated mechanisms supporting and/or implementing use of out-of-band - channels

-

automated mechanisms supporting/implementing safeguards to ensure delivery of - designated information, system components, or devices

- - - - - - Operations Security - - - - SC-38 - sc-38 - -

The organization employs to protect key - organizational information throughout the system development life cycle.

- - -

Operations security (OPSEC) is a systematic process by which potential adversaries - can be denied information about the capabilities and intentions of organizations by - identifying, controlling, and protecting generally unclassified information that - specifically relates to the planning and execution of sensitive organizational - activities. The OPSEC process involves five steps: (i) identification of critical - information (e.g., the security categorization process); (ii) analysis of threats; - (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application - of appropriate countermeasures. OPSEC safeguards are applied to both organizational - information systems and the environments in which those systems operate. OPSEC - safeguards help to protect the confidentiality of key information including, for - example, limiting the sharing of information with suppliers and potential suppliers - of information system components, information technology products and services, and - with other non-organizational elements and individuals. Information critical to - mission/business success includes, for example, user identities, element uses, - suppliers, supply chain processes, functional and security requirements, system - design specifications, testing protocols, and security control implementation - details.

- RA-2 - RA-5 - SA-12 - - -

Determine if the organization:

- - SC-38[1] -

defines operations security safeguards to be employed to protect key - organizational information throughout the system development life cycle; and

- - - SC-38[2] -

employs organization-defined operations security safeguards to protect key - organizational information throughout the system development life cycle.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing operations security

-

security plan

-

list of operations security safeguards

-

security control assessments

-

risk assessments

-

threat and vulnerability assessments

-

plans of action and milestones

-

system development life cycle documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Organizational processes for protecting organizational information throughout the - SDLC

-

automated mechanisms supporting and/or implementing safeguards to protect - organizational information throughout the SDLC

- - - - - Process Isolation - SC-39 - sc-39 - -

The information system maintains a separate execution domain for each executing - process.

- - -

Information systems can maintain separate execution domains for each executing - process by assigning each process a separate address space. Each information system - process has a distinct address space so that communication between processes is - performed in a manner controlled through the security functions, and one process - cannot modify the executing code of another process. Maintaining separate execution - domains for executing processes can be achieved, for example, by implementing - separate address spaces. This capability is available in most commercial operating - systems that employ multi-state processor technologies.

- AC-3 - AC-4 - AC-6 - SA-4 - SA-5 - SA-8 - SC-2 - SC-3 - - -

Determine if the information system maintains a separate execution domain for each - executing process.

- - - EXAMINE - -

Information system design documentation

-

information system architecture

-

independent verification and validation documentation

-

testing and evaluation documentation, other relevant documents or records

- - - - INTERVIEW - -

Information system developers/integrators

-

information system security architect

- - - - TEST - -

Automated mechanisms supporting and/or implementing separate execution domains for - each executing process

- - - - Hardware Separation - SC-39(1) - sc-39.01 - -

The information system implements underlying hardware separation mechanisms to - facilitate process separation.

- - -

Hardware-based separation of information system processes is generally less - susceptible to compromise than software-based separation, thus providing greater - assurance that the separation will be enforced. Underlying hardware separation - mechanisms include, for example, hardware memory management.

- - -

Determine if the information system implements underlying hardware separation - mechanisms to facilitate process separation.

- - - EXAMINE - -

System and communications protection policy

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

information system documentation for hardware separation mechanisms

-

information system documentation from vendors, manufacturers or developers

-

independent verification and validation documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Information system capability implementing underlying hardware separation - mechanisms for process separation

- - - - - Thread Isolation - - - - SC-39(2) - sc-39.02 - -

The information system maintains a separate execution domain for each thread in - .

- - -

Determine if the information system:

- - SC-39(2)[1] -

defines multi-threaded processing for which a separate execution domain is to - be maintained for each thread in multi-threaded processing; and

- - - SC-39(2)[2] -

maintains a separate execution domain for each thread in organization-defined - multi-threaded processing.

- - - - EXAMINE - -

System and communications protection policy

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of information system execution domains for each thread in multi-threaded - processing

-

information system documentation for multi-threaded processing

-

information system documentation from vendors, manufacturers or developers

-

independent verification and validation documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

information system developers/integrators

- - - - TEST - -

Information system capability implementing a separate execution domain for each - thread in multi-threaded processing

- - - - - - Wireless Link Protection - - - - - - - SC-40 - sc-40 - -

The information system protects external and internal from .

- - -

This control applies to internal and external wireless communication links that may - be visible to individuals who are not authorized information system users. - Adversaries can exploit the signal parameters of wireless links if such links are not - adequately protected. There are many ways to exploit the signal parameters of - wireless links to gain intelligence, deny service, or to spoof users of - organizational information systems. This control reduces the impact of attacks that - are unique to wireless systems. If organizations rely on commercial service providers - for transmission services as commodity items rather than as fully dedicated services, - it may not be possible to implement this control.

- AC-18 - SC-5 - - -

Determine if:

- - SC-40[1] -

the organization defines:

- - SC-40[1][a] -

internal wireless links to be protected from particular types of signal - parameter attacks;

- - - SC-40[1][b] -

external wireless links to be protected from particular types of signal - parameter attacks;

- - - - SC-40[2] -

the organization defines types of signal parameter attacks or references to - sources for such attacks that are based upon exploiting the signal parameters of - organization-defined internal and external wireless links; and

- - - SC-40[3] -

the information system protects internal and external organization-defined - wireless links from organization-defined types of signal parameter attacks or - references to sources for such attacks.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing wireless link protection

-

information system design documentation

-

wireless network diagrams

-

information system configuration settings and associated documentation

-

information system architecture

-

list or internal and external wireless links

-

list of signal parameter attacks or references to sources for attacks

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring and/or maintaining - internal and external wireless links

- - - - TEST - -

Automated mechanisms supporting and/or implementing protection of wireless - links

- - - - Electromagnetic Interference - - - - SC-40(1) - sc-40.01 - -

The information system implements cryptographic mechanisms that achieve against the effects of intentional electromagnetic - interference.

- - -

This control enhancement protects against intentional jamming that might deny or - impair communications by ensuring that wireless spread spectrum waveforms used to - provide anti-jam protection are not predictable by unauthorized individuals. The - control enhancement may also coincidentally help to mitigate the effects of - unintentional jamming due to interference from legitimate transmitters sharing the - same spectrum. Mission requirements, projected threats, concept of operations, and - applicable legislation, directives, regulations, policies, standards, and - guidelines determine levels of wireless link availability and - performance/cryptography needed.

- SC-12 - SC-13 - - -

Determine if:

- - SC-40(1)[1] -

the organization defines level of protection to be employed against the effects - of intentional electromagnetic interference; and

- - - SC-40(1)[2] -

the information system employs cryptographic mechanisms that achieve - organization-defined level of protection against the effects of intentional - electromagnetic interference.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing wireless link protection

-

information system design documentation

-

wireless network diagrams

-

information system configuration settings and associated documentation

-

information system architecture

-

information system communications hardware and software

-

security categorization results

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring and/or - maintaining internal and external wireless links

- - - - TEST - -

Cryptographic mechanisms enforcing protections against effects of intentional - electromagnetic interference

- - - - - Reduce Detection Potential - - - - SC-40(2) - sc-40.02 - -

The information system implements cryptographic mechanisms to reduce the detection - potential of wireless links to .

- - -

This control enhancement is needed for covert communications and protecting - wireless transmitters from being geo-located by their transmissions. The control - enhancement ensures that spread spectrum waveforms used to achieve low probability - of detection are not predictable by unauthorized individuals. Mission - requirements, projected threats, concept of operations, and applicable - legislation, directives, regulations, policies, standards, and guidelines - determine the levels to which wireless links should be undetectable.

- SC-12 - SC-13 - - -

Determine if:

- - SC-40(2)[1] -

the organization defines level of reduction to be achieved to reduce the - detection potential of wireless links; and

- - - SC-40(2)[2] -

the information system implements cryptographic mechanisms to reduce the - detection potential of wireless links to organization-defined level of - reduction.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing wireless link protection

-

information system design documentation

-

wireless network diagrams

-

information system configuration settings and associated documentation

-

information system architecture

-

information system communications hardware and software

-

security categorization results

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring and/or - maintaining internal and external wireless links

- - - - TEST - -

Cryptographic mechanisms enforcing protections to reduce detection of wireless - links

- - - - - Imitative or Manipulative Communications Deception - SC-40(3) - sc-40.03 - -

The information system implements cryptographic mechanisms to identify and reject - wireless transmissions that are deliberate attempts to achieve imitative or - manipulative communications deception based on signal parameters.

- - -

This control enhancement ensures that the signal parameters of wireless - transmissions are not predictable by unauthorized individuals. Such - unpredictability reduces the probability of imitative or manipulative - communications deception based upon signal parameters alone.

- SC-12 - SC-13 - - -

Determine if the information system implements cryptographic mechanisms to:

- - SC-40(3)[1] -

identify wireless transmissions that are deliberate attempts to achieve - imitative or manipulative communications deception based on signal parameters; - and

- - - SC-40(3)[2] -

reject wireless transmissions that are deliberate attempts to achieve imitative - or manipulative communications deception based on signal parameters.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing information system design documentation

-

wireless network diagrams

-

information system configuration settings and associated documentation

-

information system architecture

-

information system communications hardware and software

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring and/or - maintaining internal and external wireless links

- - - - TEST - -

Cryptographic mechanisms enforcing wireless link protections against imitative - or manipulative communications deception

- - - - - Signal Parameter Identification - - - - SC-40(4) - sc-40.04 - -

The information system implements cryptographic mechanisms to prevent the - identification of by using the transmitter - signal parameters.

- - -

Radio fingerprinting techniques identify the unique signal parameters of - transmitters to fingerprint such transmitters for purposes of tracking and - mission/user identification. This control enhancement protects against the unique - identification of wireless transmitters for purposes of intelligence exploitation - by ensuring that anti-fingerprinting alterations to signal parameters are not - predictable by unauthorized individuals. This control enhancement helps assure - mission success when anonymity is required.

- SC-12 - SC-13 - - -

Determine if:

- - SC-40(4)[1] -

the organization defines wireless transmitters for which cryptographic - mechanisms are to be implemented to prevent identification of such transmitters - by using the transmitter signal parameters; and

- - - SC-40(4)[2] -

the information system implements cryptographic mechanisms to prevent the - identification of organization-defined wireless transmitters by using the - transmitter signal parameters.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing information system design documentation

-

wireless network diagrams

-

information system configuration settings and associated documentation

-

information system architecture

-

information system communications hardware and software

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel authorizing, installing, configuring and/or - maintaining internal and external wireless links

- - - - TEST - -

Cryptographic mechanisms preventing the identification of wireless - transmitters

- - - - - - Port and I/O Device Access - - - - - - - SC-41 - sc-41 - -

The organization physically disables or removes on - .

- - -

Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE - 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital - Video Disk (DVD) drives. Physically disabling or removing such connection ports and - I/O devices helps prevent exfiltration of information from information systems and - the introduction of malicious code into systems from those ports/devices.

- - -

Determine if the organization:

- - SC-41[1] -

defines connection ports or input/output devices to be physically disabled or - removed on information systems or information system components;

- - - SC-41[2] -

defines information systems or information system components with - organization-defined connection ports or input/output devices that are to be - physically disabled or removed; and

- - - SC-41[3] -

physically disables or removes organization-defined connection ports or - input/output devices on organization-defined information systems or information - system components.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing port and input/output device access

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

information systems or information system components list of connection ports or - input/output devices to be physically disabled or removed on information systems - or information system components

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

- - - - TEST - -

Automated mechanisms supporting and/or implementing disabling of connection ports - or input/output devices

- - - - - Sensor Capability and Data - - - - - - - SC-42 - sc-42 - -

The information system:

- - a. -

Prohibits the remote activation of environmental sensing capabilities with the - following exceptions: ; and

- - - b. -

Provides an explicit indication of sensor use to .

- - - -

This control often applies to types of information systems or system components - characterized as mobile devices, for example, smart phones, tablets, and E-readers. - These systems often include sensors that can collect and record data regarding the - environment where the system is in use. Sensors that are embedded within mobile - devices include, for example, cameras, microphones, Global Positioning System (GPS) - mechanisms, and accelerometers. While the sensors on mobiles devices provide an - important function, if activated covertly, such devices can potentially provide a - means for adversaries to learn valuable information about individuals and - organizations. For example, remotely activating the GPS function on a mobile device - could provide an adversary with the ability to track the specific movements of an - individual.

- - -

Determine if:

- - SC-42(a) - - SC-42(a)[1] -

the organization defines exceptions where remote activation of sensors is to be - allowed;

- - - SC-42(a)[2] -

the information system prohibits the remote activation of sensors, except for - organization-defined exceptions where remote activation of sensors is to be - allowed;

- - - - SC-42(b) - - SC-42(b)[1] -

the organization defines the class of users to whom an explicit indication of - sensor use is to be provided; and

- - - SC-42(b)[2] -

the information system provides an explicit indication of sensor use to the - organization-defined class of users.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing sensor capability and data collection

-

access control policy and procedures

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for sensor capability

- - - - TEST - -

Automated mechanisms implementing access controls for remote activation of - information system sensor capabilities

-

automated mechanisms implementing capability to indicate sensor use

- - - - Reporting to Authorized Individuals or Roles - - - - SC-42(1) - sc-42.01 - -

The organization ensures that the information system is configured so that data or - information collected by the is only reported - to authorized individuals or roles.

- - -

In situations where sensors are activated by authorized individuals (e.g., end - users), it is still possible that the data/information collected by the sensors - will be sent to unauthorized entities.

- - -

Determine if the organization:

- - SC-42(1)[1] -

defines sensors to be used to collect data or information only reported to - authorized individuals or roles; and

- - - SC-42(1)[2] -

ensures that the information system is configured so that data or information - collected by the organization-defined sensors is only reported to authorized - individuals or roles.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing sensor capability and data collection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for sensor capability

- - - - TEST - -

Automated mechanisms restricting reporting of sensor information only to those - authorized

-

sensor data collection and reporting capability for the information system

- - - - - Authorized Use - - - - - - - SC-42(2) - sc-42.02 - -

The organization employs the following measures: , so that data or information collected by is - only used for authorized purposes.

- - -

Information collected by sensors for a specific authorized purpose potentially - could be misused for some unauthorized purpose. For example, GPS sensors that are - used to support traffic navigation could be misused to track movements of - individuals. Measures to mitigate such activities include, for example, additional - training to ensure that authorized parties do not abuse their authority, or (in - the case where sensor data/information is maintained by external parties) - contractual restrictions on the use of the data/information.

- - -

Determine if the organization:

- - SC-42(2)[1] -

defines measures to be employed so that data or information collected by - sensors is only used for authorized purposes;

- - - SC-42(2)[2] -

defines sensors to be used to collect data or information for authorized - purposes only; and

- - - SC-42(2)[3] -

employs organization-defined measures so that data or information collected by - organization-defined sensors is only used for authorized purposes.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

sensor capability and data collection

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system architecture

-

list of measures to be employed to ensure data or information collected by - sensors is only used for authorized purposes

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for sensor capability

- - - - TEST - -

Automated mechanisms supporting and/or implementing measures to ensure sensor - information is only used for authorized purposes

-

sensor information collection capability for the information system

- - - - - Prohibit Use of Devices - - - - - - - SC-42(3) - sc-42.03 - -

The organization prohibits the use of devices possessing in .

- - -

For example, organizations may prohibit individuals from bringing cell phones or - digital cameras into certain facilities or specific controlled areas within - facilities where classified information is stored or sensitive conversations are - taking place.

- - -

Determine if the organization:

- - SC-42(3)[1] -

defines environmental sensing capabilities to be prohibited from use in - facilities, areas, or systems;

- - - SC-42(3)[2] -

defines facilities, areas, or systems where the use of devices possessing - organization-defined environmental sensing capabilities is to be prohibited; - and

- - - SC-42(3)[3] -

prohibits the use of devices possessing organization-defined environmental - sensing capabilities in organization-defined facilities, areas, or systems.

- - - - EXAMINE - -

System and communications protection policy

-

access control policy and procedures

-

procedures addressing sensor capability and data collection

-

information system design documentation

-

wireless network diagrams

-

information system configuration settings and associated documentation

-

information system architecture

-

facilities, areas, or systems where use of devices possessing environmental - sensing capabilities is prohibited

-

list of devices possessing environmental sensing capabilities

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for sensor capability

- - - - - - Usage Restrictions - - - - SC-43 - sc-43 - -

The organization:

- - a. -

Establishes usage restrictions and implementation guidance for based on the potential to cause damage to the - information system if used maliciously; and

- - - b. -

Authorizes, monitors, and controls the use of such components within the - information system.

- - - -

Information system components include hardware, software, or firmware components - (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, - scanners, optical devices, wireless technologies, mobile devices).

- CM-6 - SC-7 - - -

Determine if the organization:

- - SC-43(a) - - SC-43(a)[1] -

defines information system components for which usage restrictions and - implementation guidance are to be established;

- - - SC-43(a)[2] -

establishes, for organization-defined information system components:

- - SC-43(a)[2][a] -

usage restrictions based on the potential to cause damage to the information - system if used maliciously;

- - - SC-43(a)[2][b] -

implementation guidance based on the potential to cause damage to the - information system if used maliciously;

- - - - - SC-43(b) - - SC-43(b)[1] -

authorizes the use of such components within the information system;

- - - SC-43(b)[2] -

monitors the use of such components within the information system; and

- - - SC-43(b)[3] -

controls the use of such components within the information system.

- - - - - EXAMINE - -

System and communications protection policy

-

procedures addressing usage restrictions

-

usage restrictions

-

implementation policy and procedures

-

authorization records

-

information system monitoring records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

- - - - TEST - -

Organizational processes for authorizing, monitoring, and controlling use of - components with usage restrictions

-

Automated mechanisms supporting and/or implementing authorizing, monitoring, and - controlling use of components with usage restrictions

- - - - - Detonation Chambers - - - - SC-44 - sc-44 - -

The organization employs a detonation chamber capability within .

- - -

Detonation chambers, also known as dynamic execution environments, allow - organizations to open email attachments, execute untrusted or suspicious - applications, and execute Universal Resource Locator (URL) requests in the safety of - an isolated environment or virtualized sandbox. These protected and isolated - execution environments provide a means of determining whether the associated - attachments/applications contain malicious code. While related to the concept of - deception nets, the control is not intended to maintain a long-term environment in - which adversaries can operate and their actions can be observed. Rather, it is - intended to quickly identify malicious code and reduce the likelihood that the code - is propagated to user environments of operation (or prevent such propagation - completely).

- SC-7 - SC-25 - SC-26 - SC-30 - - -

Determine if the organization:

- - SC-44[1] -

defines information system, system component, or location where a detonation - chamber capability is to be employed; and

- - - SC-44[2] -

employs a detonation chamber capability within organization-defined information - system, system component, or location.

- - - - EXAMINE - -

System and communications protection policy

-

procedures addressing detonation chambers

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

- - - - TEST - -

Automated mechanisms supporting and/or implementing detonation chamber - capability

- - - - - - System and Information Integrity - - System and Information Integrity Policy and Procedures - - - - - - - - - - SI-1 - si-01 - NIST Special Publication 800-12 - NIST Special Publication 800-100 - -

The organization:

- - a. -

Develops, documents, and disseminates to :

- - 1. -

A system and information integrity policy that addresses purpose, scope, roles, - responsibilities, management commitment, coordination among organizational - entities, and compliance; and

- - - 2. -

Procedures to facilitate the implementation of the system and information - integrity policy and associated system and information integrity controls; - and

- - - - b. -

Reviews and updates the current:

- - 1. -

System and information integrity policy ; - and

- - - 2. -

System and information integrity procedures .

- - - - -

This control addresses the establishment of policy and procedures for the effective - implementation of selected security controls and control enhancements in the SI - family. Policy and procedures reflect applicable federal laws, Executive Orders, - directives, regulations, policies, standards, and guidance. Security program policies - and procedures at the organization level may make the need for system-specific - policies and procedures unnecessary. The policy can be included as part of the - general information security policy for organizations or conversely, can be - represented by multiple policies reflecting the complex nature of certain - organizations. The procedures can be established for the security program in general - and for particular information systems, if needed. The organizational risk management - strategy is a key factor in establishing policy and procedures.

- PM-9 - - -

Determine if the organization:

- - SI-1(a) - - SI-1(a)(1) - - SI-1(a)(1)[1] -

develops and documents a system and information integrity policy that - addresses:

- - SI-1(a)(1)[1][a] -

purpose;

- - - SI-1(a)(1)[1][b] -

scope;

- - - SI-1(a)(1)[1][c] -

roles;

- - - SI-1(a)(1)[1][d] -

responsibilities;

- - - SI-1(a)(1)[1][e] -

management commitment;

- - - SI-1(a)(1)[1][f] -

coordination among organizational entities;

- - - SI-1(a)(1)[1][g] -

compliance;

- - - - SI-1(a)(1)[2] -

defines personnel or roles to whom the system and information integrity - policy is to be disseminated;

- - - SI-1(a)(1)[3] -

disseminates the system and information integrity policy to - organization-defined personnel or roles;

- - - - SI-1(a)(2) - - SI-1(a)(2)[1] -

develops and documents procedures to facilitate the implementation of the - system and information integrity policy and associated system and - information integrity controls;

- - - SI-1(a)(2)[2] -

defines personnel or roles to whom the procedures are to be - disseminated;

- - - SI-1(a)(2)[3] -

disseminates the procedures to organization-defined personnel or roles;

- - - - - SI-1(b) - - SI-1(b)(1) - - SI-1(b)(1)[1] -

defines the frequency to review and update the current system and - information integrity policy;

- - - SI-1(b)(1)[2] -

reviews and updates the current system and information integrity policy with - the organization-defined frequency;

- - - - SI-1(b)(2) - - SI-1(b)(2)[1] -

defines the frequency to review and update the current system and - information integrity procedures; and

- - - SI-1(b)(2)[2] -

reviews and updates the current system and information integrity procedures - with the organization-defined frequency.

- - - - - - EXAMINE - -

System and information integrity policy and procedures

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with system and information integrity - responsibilities

-

organizational personnel with information security responsibilities

- - - - - Flaw Remediation - - - - SI-2 - si-02 - NIST Special Publication 800-40 - NIST Special Publication 800-128 - -

The organization:

- - a. -

Identifies, reports, and corrects information system flaws;

- - - b. -

Tests software and firmware updates related to flaw remediation for effectiveness - and potential side effects before installation;

- - - c. -

Installs security-relevant software and firmware updates within of the release of the updates; and

- - - d. -

Incorporates flaw remediation into the organizational configuration management - process.

- - - -

Organizations identify information systems affected by announced software flaws - including potential vulnerabilities resulting from those flaws, and report this - information to designated organizational personnel with information security - responsibilities. Security-relevant software updates include, for example, patches, - service packs, hot fixes, and anti-virus signatures. Organizations also address flaws - discovered during security assessments, continuous monitoring, incident response - activities, and system error handling. Organizations take advantage of available - resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and - Exposures (CVE) databases in remediating flaws discovered in organizational - information systems. By incorporating flaw remediation into ongoing configuration - management processes, required/anticipated remediation actions can be tracked and - verified. Flaw remediation actions that can be tracked and verified include, for - example, determining whether organizations follow US-CERT guidance and Information - Assurance Vulnerability Alerts. Organization-defined time periods for updating - security-relevant software and firmware may vary based on a variety of factors - including, for example, the security category of the information system or the - criticality of the update (i.e., severity of the vulnerability related to the - discovered flaw). Some types of flaw remediation may require more testing than other - types. Organizations determine the degree and type of testing needed for the specific - type of flaw remediation activity under consideration and also the types of changes - that are to be configuration-managed. In some situations, organizations may determine - that the testing of software and/or firmware updates is not necessary or practical, - for example, when implementing simple anti-virus signature updates. Organizations may - also consider in testing decisions, whether security-relevant software or firmware - updates are obtained from authorized sources with appropriate digital signatures.

- CA-2 - CA-7 - CM-3 - CM-5 - CM-8 - MA-2 - IR-4 - RA-5 - SA-10 - SA-11 - SI-11 - - -

Determine if the organization:

- - SI-2(a) - - SI-2(a)[1] -

identifies information system flaws;

- - - SI-2(a)[2] -

reports information system flaws;

- - - SI-2(a)[3] -

corrects information system flaws;

- - - - SI-2(b) - - SI-2(b)[1] -

tests software updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - SI-2(b)[2] -

tests firmware updates related to flaw remediation for effectiveness and - potential side effects before installation;

- - - - SI-2(c) - - SI-2(c)[1] -

defines the time period within which to install security-relevant software - updates after the release of the updates;

- - - SI-2(c)[2] -

defines the time period within which to install security-relevant firmware - updates after the release of the updates;

- - - SI-2(c)[3] -

installs software updates within the organization-defined time period of the - release of the updates;

- - - SI-2(c)[4] -

installs firmware updates within the organization-defined time period of the - release of the updates; and

- - - - SI-2(d) -

incorporates flaw remediation into the organizational configuration management - process.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

procedures addressing configuration management

-

list of flaws and vulnerabilities potentially affecting the information system

-

list of recent security flaw remediation actions performed on the information - system (e.g., list of installed patches, service packs, hot fixes, and other - software updates to correct information system flaws)

-

test results from the installation of software and firmware updates to correct - information system flaws

-

installation/change control records for security-relevant software and firmware - updates

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

organizational process for installing software and firmware updates

-

automated mechanisms supporting and/or implementing reporting, and correcting - information system flaws

-

automated mechanisms supporting and/or implementing testing software and firmware - updates

- - - - Central Management - SI-2(1) - si-02.01 - -

The organization centrally manages the flaw remediation process.

- - -

Central management is the organization-wide management and implementation of flaw - remediation processes. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - flaw remediation security controls.

- - -

Determine if the organization centrally manages the flaw remediation process.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting centralized management of flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Organizational processes for central management of the flaw remediation - process

-

automated mechanisms supporting and/or implementing central management of the - flaw remediation process

- - - - - Automated Flaw Remediation Status - - - - SI-2(2) - si-02.02 - -

The organization employs automated mechanisms to - determine the state of information system components with regard to flaw - remediation.

- - - CM-6 - SI-4 - - -

Determine if the organization:

- - SI-2(2)[1] -

defines a frequency to employ automated mechanisms to determine the state of - information system components with regard to flaw remediation; and

- - - SI-2(2)[2] -

employs automated mechanisms with the organization-defined frequency to - determine the state of information system components with regard to flaw - remediation.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting centralized management of flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Automated mechanisms used to determine the state of information system - components with regard to flaw remediation

- - - - - Time to Remediate Flaws / Benchmarks for Corrective Actions - - - - SI-2(3) - si-02.03 - -

The organization:

- - (a) -

Measures the time between flaw identification and flaw remediation; and

- - - (b) -

Establishes for taking corrective - actions.

- - - -

This control enhancement requires organizations to determine the current time it - takes on the average to correct information system flaws after such flaws have - been identified, and subsequently establish organizational benchmarks (i.e., time - frames) for taking corrective actions. Benchmarks can be established by type of - flaw and/or severity of the potential vulnerability if the flaw can be - exploited.

- - -

Determine if the organization:

- - SI-2(3)(a) -

measures the time between flaw identification and flaw remediation;

- SI-2(3)(a) - - - SI-2(3)(b) - - SI-2(3)(b)[1] -

defines benchmarks for taking corrective actions; and

- - - SI-2(3)(b)[2] -

establishes organization-defined benchmarks for taking corrective - actions.

- - SI-2(3)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of benchmarks for taking corrective action on flaws identified

-

records providing time stamps of flaw identification and subsequent flaw - remediation activities

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Organizational processes for identifying, reporting, and correcting information - system flaws

-

automated mechanisms used to measure the time between flaw identification and - flaw remediation

- - - - - Automated Patch Management Tools - SI-2(4) - si-02.04 - Withdrawn - SI-2 - - - Automatic Software / Firmware Updates - - - - - - - SI-2(5) - si-02.05 - -

The organization installs automatically to - .

- - -

Due to information system integrity and availability concerns, organizations give - careful consideration to the methodology used to carry out automatic updates. - Organizations must balance the need to ensure that the updates are installed as - soon as possible with the need to maintain configuration management and with any - mission or operational impacts that automatic updates might impose.

- - -

Determine if the organization:

- - SI-2(5)[1] - - SI-2(5)[1][a] -

defines information system components requiring security-relevant software - updates to be automatically installed;

- - - SI-2(5)[1][b] -

defines information system components requiring security-relevant firmware - updates to be automatically installed;

- - - - SI-2(5)[2] - - SI-2(5)[2][a] -

defines security-relevant software updates to be automatically installed to - organization-defined information system components;

- - - SI-2(5)[2][b] -

defines security-relevant firmware updates to be automatically installed to - organization-defined information system components;

- - - - SI-2(5)[3] - - SI-2(5)[3][a] -

installs organization-defined security-relevant software updates - automatically to organization-defined information system components; and

- - - SI-2(5)[3][b] -

installs organization-defined security-relevant firmware updates - automatically to organization-defined information system components.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting flaw remediation and automatic - software/firmware updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of recent security-relevant software and firmware updates automatically - installed to information system components

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Automated mechanisms implementing automatic software/firmware updates

- - - - - Removal of Previous Versions of Software / Firmware - - - - SI-2(6) - si-02.06 - -

The organization removes after updated versions - have been installed.

- - -

Previous versions of software and/or firmware components that are not removed from - the information system after updates have been installed may be exploited by - adversaries. Some information technology products may remove older versions of - software and/or firmware automatically from the information system.

- - -

Determine if the organization:

- - SI-2(6)[1] - - SI-2(6)[1][a] -

defines software components to be removed after updated versions have been - installed;

- - - SI-2(6)[1][b] -

defines firmware components to be removed after updated versions have been - installed;

- - - - SI-2(6)[2] - - SI-2(6)[2][a] -

removes organization-defined software components after updated versions have - been installed; and

- - - SI-2(6)[2][b] -

removes organization-defined firmware components after updated versions have - been installed.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing flaw remediation

-

automated mechanisms supporting flaw remediation

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of software and firmware component removals after updated versions are - installed

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for flaw remediation

- - - - TEST - -

Automated mechanisms supporting and/or implementing removal of previous - versions of software/firmware

- - - - - - Malicious Code Protection - - - - - - - - - - - - - SI-3 - si-03 - NIST Special Publication 800-83 - -

The organization:

- - a. -

Employs malicious code protection mechanisms at information system entry and exit - points to detect and eradicate malicious code;

- - - b. -

Updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and - procedures;

- - - c. -

Configures malicious code protection mechanisms to:

- - 1. -

Perform periodic scans of the information system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in - accordance with organizational security policy; and

- - - 2. -

- in response to malicious code detection; - and

- - - - d. -

Addresses the receipt of false positives during malicious code detection and - eradication and the resulting potential impact on the availability of the - information system.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, - notebook computers, and mobile devices. Malicious code includes, for example, - viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in - various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden - files, or hidden in files using steganography. Malicious code can be transported by - different means including, for example, web accesses, electronic mail, electronic - mail attachments, and portable storage devices. Malicious code insertions occur - through the exploitation of information system vulnerabilities. Malicious code - protection mechanisms include, for example, anti-virus signature definitions and - reputation-based technologies. A variety of technologies and methods exist to limit - or eliminate the effects of malicious code. Pervasive configuration management and - comprehensive software integrity controls may be effective in preventing execution of - unauthorized code. In addition to commercial off-the-shelf software, malicious code - may also be present in custom-built software. This could include, for example, logic - bombs, back doors, and other types of cyber attacks that could affect organizational - missions/business functions. Traditional malicious code protection mechanisms cannot - always detect such code. In these situations, organizations rely instead on other - safeguards including, for example, secure coding practices, configuration management - and control, trusted procurement processes, and monitoring practices to help ensure - that software does not perform functions other than the functions intended. - Organizations may determine that in response to the detection of malicious code, - different actions may be warranted. For example, organizations can define actions in - response to malicious code detection during periodic scans, actions in response to - detection of malicious downloads, and/or actions in response to detection of - maliciousness when attempting to open or execute files.

- CM-3 - MP-2 - SA-4 - SA-8 - SA-12 - SA-13 - SC-7 - SC-26 - SC-44 - SI-2 - SI-4 - SI-7 - - -

Determine if the organization:

- - SI-3(a) -

employs malicious code protection mechanisms to detect and eradicate malicious - code at information system:

- - SI-3(a)[1] -

entry points;

- - - SI-3(a)[2] -

exit points;

- - - - SI-3(b) -

updates malicious code protection mechanisms whenever new releases are available - in accordance with organizational configuration management policy and procedures - (as identified in CM-1);

- - - SI-3(c) - - SI-3(c)[1] -

defines a frequency for malicious code protection mechanisms to perform - periodic scans of the information system;

- - - SI-3(c)[2] -

defines action to be initiated by malicious protection mechanisms in response - to malicious code detection;

- - - SI-3(c)[3] - - SI-3(c)[3](1) -

configures malicious code protection mechanisms to:

- - SI-3(c)[3](1)[a] -

perform periodic scans of the information system with the - organization-defined frequency;

- - - SI-3(c)[3](1)[b] -

perform real-time scans of files from external sources at endpoint and/or - network entry/exit points as the files are downloaded, opened, or - executed in accordance with organizational security policy;

- - - - SI-3(c)[3](2) -

configures malicious code protection mechanisms to do one or more of the - following:

- - SI-3(c)[3](2)[a] -

block malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[b] -

quarantine malicious code in response to malicious code detection;

- - - SI-3(c)[3](2)[c] -

send alert to administrator in response to malicious code detection; - and/or

- - - SI-3(c)[3](2)[d] -

initiate organization-defined action in response to malicious code - detection;

- - - - - - SI-3(d) - - SI-3(d)[1] -

addresses the receipt of false positives during malicious code detection and - eradication; and

- - - SI-3(d)[2] -

addresses the resulting potential impact on the availability of the information - system.

- - - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures

-

procedures addressing malicious code protection

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

scan results from malicious code protection mechanisms

-

record of actions initiated by malicious code protection mechanisms in response to - malicious code detection

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

-

organizational personnel with configuration management responsibility

- - - - TEST - -

Organizational processes for employing, updating, and configuring malicious code - protection mechanisms

-

organizational process for addressing false positives and resulting potential - impact

-

automated mechanisms supporting and/or implementing employing, updating, and - configuring malicious code protection mechanisms

-

automated mechanisms supporting and/or implementing malicious code scanning and - subsequent actions

- - - - Central Management - SI-3(1) - si-03.01 - -

The organization centrally manages malicious code protection mechanisms.

- - -

Central management is the organization-wide management and implementation of - malicious code protection mechanisms. Central management includes planning, - implementing, assessing, authorizing, and monitoring the organization-defined, - centrally managed flaw malicious code protection security controls.

- AU-2 - SI-8 - - -

Determine if the organization centrally manages malicious code protection - mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

automated mechanisms supporting centralized management of malicious code - protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Organizational processes for central management of malicious code protection - mechanisms

-

automated mechanisms supporting and/or implementing central management of - malicious code protection mechanisms

- - - - - Automatic Updates - SI-3(2) - si-03.02 - -

The information system automatically updates malicious code protection - mechanisms.

- - -

Malicious code protection mechanisms include, for example, signature definitions. - Due to information system integrity and availability concerns, organizations give - careful consideration to the methodology used to carry out automatic updates.

- SI-8 - - -

Determine if the information system automatically updates malicious code - protection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

automated mechanisms supporting centralized management of malicious code - protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing automatic updates to - malicious code protection capability

- - - - - Non-privileged Users - SI-3(3) - si-03.03 - Withdrawn - AC-6 (10) - - - Updates Only by Privileged Users - SI-3(4) - si-03.04 - -

The information system updates malicious code protection mechanisms only when - directed by a privileged user.

- - -

This control enhancement may be appropriate for situations where for reasons of - security or operational continuity, updates are only applied when - selected/approved by designated organizational personnel.

- AC-6 - CM-5 - - -

Determine if the information system updates malicious code protection mechanisms - only when directed by a privileged user.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing malicious code protection - capability

- - - - - Portable Storage Devices - SI-3(5) - si-03.05 - Withdrawn - MP-7 - - - Testing / Verification - - - - SI-3(6) - si-03.06 - -

The organization:

- - (a) -

Tests malicious code protection mechanisms by - introducing a known benign, non-spreading test case into the information - system; and

- - - (b) -

Verifies that both detection of the test case and associated incident reporting - occur.

- - - - CA-2 - CA-7 - RA-5 - - -

Determine if the organization:

- - SI-3(6)(a) - - SI-3(6)(a)[1] -

defines a frequency to test malicious code protection mechanisms;

- - - SI-3(6)(a)[2] -

tests malicious code protection mechanisms with the organization-defined - frequency by introducing a known benign, non-spreading test case into the - information system;

- - SI-3(6)(a) - - - SI-3(6)(b) - - SI-3(6)(b)[1] -

verifies that detection of the test case occurs; and

- - - SI-3(6)(b)[2] -

verifies that associated incident reporting occurs.

- - SI-3(6)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

information system configuration settings and associated documentation

-

test cases

-

records providing evidence of test cases executed on malicious code protection - mechanisms

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing testing and verification of - malicious code protection capability

- - - - - Nonsignature-based Detection - SI-3(7) - si-03.07 - -

The information system implements nonsignature-based malicious code detection - mechanisms.

- - -

Nonsignature-based detection mechanisms include, for example, the use of - heuristics to detect, analyze, and describe the characteristics or behavior of - malicious code and to provide safeguards against malicious code for which - signatures do not yet exist or for which existing signatures may not be effective. - This includes polymorphic malicious code (i.e., code that changes signatures when - it replicates). This control enhancement does not preclude the use of - signature-based detection mechanisms.

- - -

Determine if the information system implements non signature-based malicious code - detection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

malicious code protection mechanisms

-

records of malicious code protection updates

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing nonsignature-based - malicious code protection capability

- - - - - Detect Unauthorized Commands - - - - - - - - - - SI-3(8) - si-03.08 - -

The information system detects through the - kernel application programming interface at and - .

- - -

This control enhancement can also be applied to critical interfaces other than - kernel-based interfaces, including for example, interfaces with virtual machines - and privileged applications. Unauthorized operating system commands include, for - example, commands for kernel functions from information system processes that are - not trusted to initiate such commands, or commands for kernel functions that are - suspicious even though commands of that type are reasonable for processes to - initiate. Organizations can define the malicious commands to be detected by a - combination of command types, command classes, or specific instances of commands. - Organizations can define hardware components by specific component, component - type, location in the network, or combination therein. Organizations may select - different actions for different types/classes/specific instances of potentially - malicious commands.

- AU-6 - - -

Determine if:

- - SI-3(8)[1] -

the organization defines unauthorized operating system commands to be detected - by the information system;

- - - SI-3(8)[2] -

the organization defines information system hardware components for which - organization-defined unauthorized operating system commands are to be detected - through the kernel application programming interface;

- - - SI-3(8)[3] -

the information system detects organization-defined unauthorized operating - system commands through the kernel application programming interface at - organization-defined information system hardware components, and does one or - more of the following:

- - SI-3(8)[3][a] -

issues a warning;

- - - SI-3(8)[3][b] -

audits the command execution; and/or

- - - SI-3(8)[3][c] -

prevents the execution of the command.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

malicious code protection mechanisms

-

warning messages sent upon detection of unauthorized operating system command - execution

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing malicious code protection - capability

-

automated mechanisms supporting and/or implementing detection of unauthorized - operating system commands through the kernel application programming - interface

- - - - - Authenticate Remote Commands - - - - - - - SI-3(9) - si-03.09 - -

The information system implements to - authenticate .

- - -

This control enhancement protects against unauthorized commands and replay of - authorized commands. This capability is important for those remote information - systems whose loss, malfunction, misdirection, or exploitation would have - immediate and/or serious consequences (e.g., injury or death, property damage, - loss of high-valued assets or sensitive information, or failure of important - missions/business functions). Authentication safeguards for remote commands help - to ensure that information systems accept and execute in the order intended, only - authorized commands, and that unauthorized commands are rejected. Cryptographic - mechanisms can be employed, for example, to authenticate remote commands.

- SC-12 - SC-13 - SC-23 - - -

Determine if:

- - SI-3(9)[1] -

the organization defines security safeguards to be implemented by the - information system to authenticate organization-defined remote commands;

- - - SI-3(9)[2] -

the organization defines remote commands to be authenticated by - organization-defined security safeguards; and

- - - SI-3(9)[3] -

the information system implements organization-defined security safeguards to - authenticate organization-defined remote commands.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

information system design documentation

-

malicious code protection mechanisms

-

warning messages sent upon detection of unauthorized operating system command - execution

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

- - - - TEST - -

Automated mechanisms supporting and/or implementing malicious code protection - capability

-

automated mechanisms implementing authentication of remote commands

-

automated mechanisms supporting and/or implementing security safeguards to - authenticate remote commands

- - - - - Malicious Code Analysis - - - - SI-3(10) - si-03.10 - -

The organization:

- - (a) -

Employs to analyze the characteristics and - behavior of malicious code; and

- - - (b) -

Incorporates the results from malicious code analysis into organizational - incident response and flaw remediation processes.

- - - -

The application of selected malicious code analysis tools and techniques provides - organizations with a more in-depth understanding of adversary tradecraft (i.e., - tactics, techniques, and procedures) and the functionality and purpose of specific - instances of malicious code. Understanding the characteristics of malicious code - facilitates more effective organizational responses to current and future threats. - Organizations can conduct malicious code analyses by using reverse engineering - techniques or by monitoring the behavior of executing code.

- - -

Determine if the organization:

- - SI-3(10)(a) - - SI-3(10)(a)[1] -

defines tools and techniques to be employed to analyze the characteristics - and behavior of malicious code;

- - - SI-3(10)(a)[2] -

employs organization-defined tools and techniques to analyze the - characteristics and behavior of malicious code; and

- - SI-3(10)(a) - - - SI-3(10)(b) -

incorporates the results from malicious code analysis into incident response - and flaw remediate processes.

- SI-3(10)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing malicious code protection

-

procedures addressing incident response

-

procedures addressing flaw remediation

-

information system design documentation

-

malicious code protection mechanisms, tools, and techniques

-

information system configuration settings and associated documentation

-

results from malicious code analyses

-

records of flaw remediation events resulting from malicious code analyses

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for malicious code protection

-

organizational personnel responsible for flaw remediation

-

organizational personnel responsible for incident response/management

- - - - TEST - -

Organizational process for incident response

-

organizational process for flaw remediation

-

automated mechanisms supporting and/or implementing malicious code protection - capability

-

tools and techniques for analysis of malicious code characteristics and - behavior

- - - - - - Information System Monitoring - - - - - - - - - - - - - - - - - - - SI-4 - si-04 - NIST Special Publication 800-61 - NIST Special Publication 800-83 - NIST Special Publication 800-92 - NIST Special Publication 800-94 - NIST Special Publication 800-137 - -

The organization:

- - a. -

Monitors the information system to detect:

- - 1. -

Attacks and indicators of potential attacks in accordance with ; and

- - - 2. -

Unauthorized local, network, and remote connections;

- - - - b. -

Identifies unauthorized use of the information system through ;

- - - c. -

Deploys monitoring devices:

- - 1. -

Strategically within the information system to collect organization-determined - essential information; and

- - - 2. -

At ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - d. -

Protects information obtained from intrusion-monitoring tools from unauthorized - access, modification, and deletion;

- - - e. -

Heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - f. -

Obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations; and

- - - g. -

Provides to - .

- - - -

Information system monitoring includes external and internal monitoring. External - monitoring includes the observation of events occurring at the information system - boundary (i.e., part of perimeter defense and boundary protection). Internal - monitoring includes the observation of events occurring within the information - system. Organizations can monitor information systems, for example, by observing - audit activities in real time or by observing other system aspects such as access - patterns, characteristics of access, and other actions. The monitoring objectives may - guide determination of the events. Information system monitoring capability is - achieved through a variety of tools and techniques (e.g., intrusion detection - systems, intrusion prevention systems, malicious code protection software, scanning - tools, audit record monitoring software, network monitoring software). Strategic - locations for monitoring devices include, for example, selected perimeter locations - and near server farms supporting critical applications, with such devices typically - being employed at the managed interfaces associated with controls SC-7 and AC-17. - Einstein network monitoring devices from the Department of Homeland Security can also - be included as monitoring devices. The granularity of monitoring information - collected is based on organizational monitoring objectives and the capability of - information systems to support such objectives. Specific types of transactions of - interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that - bypasses HTTP proxies. Information system monitoring is an integral part of - organizational continuous monitoring and incident response programs. Output from - system monitoring serves as input to continuous monitoring and incident response - programs. A network connection is any connection with a device that communicates - through a network (e.g., local area network, Internet). A remote connection is any - connection with a device communicating through an external network (e.g., the - Internet). Local, network, and remote connections can be either wired or - wireless.

- AC-3 - AC-4 - AC-8 - AC-17 - AU-2 - AU-6 - AU-7 - AU-9 - AU-12 - CA-7 - IR-4 - PE-3 - RA-5 - SC-7 - SC-26 - SC-35 - SI-3 - SI-7 - - -

Determine if the organization:

- - SI-4(a) - - SI-4(a)(1) - - SI-4(a)(1)[1] -

defines monitoring objectives to detect attacks and indicators of potential - attacks on the information system;

- - - SI-4(a)(1)[2] -

monitors the information system to detect, in accordance with - organization-defined monitoring objectives,:

- - SI-4(a)(1)[2][a] -

attacks;

- - - SI-4(a)(1)[2][b] -

indicators of potential attacks;

- - - - - SI-4(a)(2) -

monitors the information system to detect unauthorized:

- - SI-4(a)(2)[1] -

local connections;

- - - SI-4(a)(2)[2] -

network connections;

- - - SI-4(a)(2)[3] -

remote connections;

- - - - - SI-4(b) - - SI-4(b)(1) -

defines techniques and methods to identify unauthorized use of the information - system;

- - - SI-4(b)(2) -

identifies unauthorized use of the information system through - organization-defined techniques and methods;

- - - - SI-4(c) -

deploys monitoring devices:

- - SI-4(c)[1] -

strategically within the information system to collect organization-determined - essential information;

- - - SI-4(c)[2] -

at ad hoc locations within the system to track specific types of transactions - of interest to the organization;

- - - - SI-4(d) -

protects information obtained from intrusion-monitoring tools from - unauthorized:

- - SI-4(d)[1] -

access;

- - - SI-4(d)[2] -

modification;

- - - SI-4(d)[3] -

deletion;

- - - - SI-4(e) -

heightens the level of information system monitoring activity whenever there is an - indication of increased risk to organizational operations and assets, individuals, - other organizations, or the Nation based on law enforcement information, - intelligence information, or other credible sources of information;

- - - SI-4(f) -

obtains legal opinion with regard to information system monitoring activities in - accordance with applicable federal laws, Executive Orders, directives, policies, - or regulations;

- - - SI-4(g) - - SI-4(g)[1] -

defines personnel or roles to whom information system monitoring information is - to be provided;

- - - SI-4(g)[2] -

defines information system monitoring information to be provided to - organization-defined personnel or roles;

- - - SI-4(g)[3] -

defines a frequency to provide organization-defined information system - monitoring to organization-defined personnel or roles;

- - - SI-4(g)[4] -

provides organization-defined information system monitoring information to - organization-defined personnel or roles one or more of the following:

- - SI-4(g)[4][a] -

as needed; and/or

- - - SI-4(g)[4][b] -

with the organization-defined frequency.

- - - - - - EXAMINE - -

Continuous monitoring strategy

-

system and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

facility diagram/layout

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

locations within information system where monitoring devices are deployed

-

information system configuration settings and associated documentation

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility monitoring the information system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system monitoring - capability

- - - - System-wide Intrusion Detection System - SI-4(1) - si-04.01 - -

The organization connects and configures individual intrusion detection tools into - an information system-wide intrusion detection system.

- - -

Determine if the organization:

- - SI-4(1)[1] -

connects individual intrusion detection tools into an information system-wide - intrusion detection system; and

- - - SI-4(1)[2] -

configures individual intrusion detection tools into an information system-wide - intrusion detection system.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection - capability

- - - - - Automated Tools for Real-time Analysis - SI-4(2) - si-04.02 - -

The organization employs automated tools to support near real-time analysis of - events.

- - -

Automated tools include, for example, host-based, network-based, transport-based, - or storage-based event monitoring tools or Security Information and Event - Management (SIEM) technologies that provide real time analysis of alerts and/or - notifications generated by organizational information systems.

- - -

Determine if the organization employs automated tools to support near real-time - analysis of events.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for incident - response/management

- - - - TEST - -

Organizational processes for near real-time analysis of events

-

organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing information system - monitoring

-

automated mechanisms/tools supporting and/or implementing analysis of - events

- - - - - Automated Tool Integration - SI-4(3) - si-04.03 - -

The organization employs automated tools to integrate intrusion detection tools - into access control and flow control mechanisms for rapid response to attacks by - enabling reconfiguration of these mechanisms in support of attack isolation and - elimination.

- - -

Determine if the organization, for rapid response to attacks by enabling - reconfiguration of intrusion detection tools in support of attack isolation and - elimination, employs automated tools to integrate intrusion detection tools - into:

- - SI-4(3)[1] -

access control mechanisms; and

- - - SI-4(3)[2] -

flow control mechanisms.

- - - - EXAMINE - -

System and information integrity policy

-

access control policy and procedures

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms/tools supporting and/or implementing access/flow control - capability

-

automated mechanisms/tools supporting and/or implementing integration of - intrusion detection tools into access/flow control mechanisms

- - - - - Inbound and Outbound Communications Traffic - - - - SI-4(4) - si-04.04 - -

The information system monitors inbound and outbound communications traffic - for unusual or unauthorized activities or - conditions.

- - -

Unusual/unauthorized activities or conditions related to information system - inbound and outbound communications traffic include, for example, internal traffic - that indicates the presence of malicious code within organizational information - systems or propagating among system components, the unauthorized exporting of - information, or signaling to external information systems. Evidence of malicious - code is used to identify potentially compromised information systems or - information system components.

- - -

Determine if the organization:

- - SI-4(4)[1] -

defines a frequency to monitor:

- - SI-4(4)[1][a] -

inbound communications traffic for unusual or unauthorized activities or - conditions;

- - - SI-4(4)[1][b] -

outbound communications traffic for unusual or unauthorized activities or - conditions;

- - - - SI-4(4)[2] -

monitors, with the organization-defined frequency:

- - SI-4(4)[2][a] -

inbound communications traffic for unusual or unauthorized activities or - conditions; and

- - - SI-4(4)[2][b] -

outbound communications traffic for unusual or unauthorized activities or - conditions.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection - capability/information system monitoring

-

automated mechanisms supporting and/or implementing monitoring of - inbound/outbound communications traffic

- - - - - System-generated Alerts - - - - - - - SI-4(5) - si-04.05 - -

The information system alerts when the following - indications of compromise or potential compromise occur: .

- - -

Alerts may be generated from a variety of sources, including, for example, audit - records or inputs from malicious code protection mechanisms, intrusion detection - or prevention mechanisms, or boundary protection devices such as firewalls, - gateways, and routers. Alerts can be transmitted, for example, telephonically, by - electronic mail messages, or by text messaging. Organizational personnel on the - notification list can include, for example, system administrators, - mission/business owners, system owners, or information system security - officers.

- AU-5 - PE-6 - - -

Determine if:

- - SI-4(5)[1] -

the organization defines compromise indicators for the information system;

- - - SI-4(5)[2] -

the organization defines personnel or roles to be alerted when indications of - compromise or potential compromise occur; and

- - - SI-4(5)[3] -

the information system alerts organization-defined personnel or roles when - organization-defined compromise indicators occur.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

alerts/notifications generated based on compromise indicators

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing alerts for compromise - indicators

- - - - - Restrict Non-privileged Users - SI-4(6) - si-04.06 - Withdrawn - AC-6 (10) - - - Automated Response to Suspicious Events - - - - - - - SI-4(7) - si-04.07 - -

The information system notifies of detected - suspicious events and takes .

- - -

Least-disruptive actions may include, for example, initiating requests for human - responses.

- - -

Determine if:

- - SI-4(7)[1] -

the organization defines incident response personnel (identified by name and/or - by role) to be notified of detected suspicious events;

- - - SI-4(7)[2] -

the organization defines least-disruptive actions to be taken by the - information system to terminate suspicious events;

- - - SI-4(7)[3] -

the information system notifies organization-defined incident response - personnel of detected suspicious events; and

- - - SI-4(7)[4] -

the information system takes organization-defined least-disruptive actions to - terminate suspicious events.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

alerts/notifications generated based on detected suspicious events

-

records of actions taken to terminate suspicious events

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing notifications to incident - response personnel

-

automated mechanisms supporting and/or implementing actions to terminate - suspicious events

- - - - - Protection of Monitoring Information - SI-4(8) - si-04.08 - Withdrawn - SI-4 - - - Testing of Monitoring Tools - - - - SI-4(9) - si-04.09 - -

The organization tests intrusion-monitoring tools .

- - -

Testing intrusion-monitoring tools is necessary to ensure that the tools are - operating correctly and continue to meet the monitoring objectives of - organizations. The frequency of testing depends on the types of tools used by - organizations and methods of deployment.

- CP-9 - - -

Determine if the organization:

- - SI-4(9)[1] -

defines a frequency to test intrusion-monitoring tools; and

- - - SI-4(9)[2] -

tests intrusion-monitoring tools with the organization-defined frequency.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing testing of information system monitoring tools and - techniques

-

documentation providing evidence of testing intrusion-monitoring tools

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing testing of - intrusion-monitoring tools

- - - - - Visibility of Encrypted Communications - - - - - - - SI-4(10) - si-04.10 - -

The organization makes provisions so that is - visible to .

- - -

Organizations balance the potentially conflicting needs for encrypting - communications traffic and for having insight into such traffic from a monitoring - perspective. For some organizations, the need to ensure the confidentiality of - communications traffic is paramount; for others, mission-assurance is of greater - concern. Organizations determine whether the visibility requirement applies to - internal encrypted traffic, encrypted traffic intended for external destinations, - or a subset of the traffic types.

- - -

Determine if the organization:

- - SI-4(10)[1] -

defines encrypted communications traffic required to be visible to information - system monitoring tools;

- - - SI-4(10)[2] -

defines information system monitoring tools to be provided access to - organization-defined encrypted communications traffic; and

- - - SI-4(10)[3] -

makes provisions so that organization-defined encrypted communications traffic - is visible to organization-defined information system monitoring tools.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing visibility of encrypted - communications traffic to monitoring tools

- - - - - Analyze Communications Traffic Anomalies - - - - SI-4(11) - si-04.11 - -

The organization analyzes outbound communications traffic at the external boundary - of the information system and selected to - discover anomalies.

- - -

Anomalies within organizational information systems include, for example, large - file transfers, long-time persistent connections, unusual protocols and ports in - use, and attempted communications with suspected malicious external addresses.

- - -

Determine if the organization:

- - SI-4(11)[1] -

defines interior points within the system (e.g., subnetworks, subsystems) where - communications traffic is to be analyzed;

- - - SI-4(11)[2] -

analyzes outbound communications traffic to discover anomalies at:

- - SI-4(11)[2][a] -

the external boundary of the information system; and

- - - SI-4(11)[2][b] -

selected organization-defined interior points within the system.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

network diagram

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing analysis of communications - traffic

- - - - - Automated Alerts - - - - SI-4(12) - si-04.12 - -

The organization employs automated mechanisms to alert security personnel of the - following inappropriate or unusual activities with security implications: .

- - -

This control enhancement focuses on the security alerts generated by organizations - and transmitted using automated means. In contrast to the alerts generated by - information systems in SI-4 (5), which tend to focus on information sources - internal to the systems (e.g., audit records), the sources of information for this - enhancement can include other entities as well (e.g., suspicious activity reports, - reports on potential insider threats).

- AC-18 - IA-3 - - -

Determine if the organization:

- - SI-4(12)[1] -

defines activities that trigger alerts to security personnel based on - inappropriate or unusual activities with security implications; and

- - - SI-4(12)[2] -

employs automated mechanisms to alert security personnel of - organization-defined activities that trigger alerts based on inappropriate or - unusual activities with security implications.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

list of inappropriate or unusual activities (with security implications) that - trigger alerts

-

alerts/notifications provided to security personnel

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developers

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing automated alerts to - security personnel

- - - - - Analyze Traffic / Event Patterns - SI-4(13) - si-04.13 - -

The organization:

- - (a) -

Analyzes communications traffic/event patterns for the information system;

- - - (b) -

Develops profiles representing common traffic patterns and/or events; and

- - - (c) -

Uses the traffic/event profiles in tuning system-monitoring devices to reduce - the number of false positives and the number of false negatives.

- - - -

Determine if the organization:

- - SI-4(13)(a) -

analyzes communications traffic/event patterns for the information system;

- SI-4(13)(a) - - - SI-4(13)(b) -

develops profiles representing common traffic patterns and/or events;

- SI-4(13)(b) - - - SI-4(13)(c) -

uses the traffic/event profiles in tuning system-monitoring devices to reduce - the number of false positives and false negatives.

- SI-4(13)(c) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

list of profiles representing common traffic patterns and/or events

-

information system protocols documentation

-

list of acceptable thresholds for false positives and false negatives

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing analysis of communications - traffic/event patterns

- - - - - Wireless Intrusion Detection - SI-4(14) - si-04.14 - -

The organization employs a wireless intrusion detection system to identify rogue - wireless devices and to detect attack attempts and potential compromises/breaches - to the information system.

- - -

Wireless signals may radiate beyond the confines of organization-controlled - facilities. Organizations proactively search for unauthorized wireless connections - including the conduct of thorough scans for unauthorized wireless access points. - Scans are not limited to those areas within facilities containing information - systems, but also include areas outside of facilities as needed, to verify that - unauthorized wireless access points are not connected to the systems.

- AC-18 - IA-3 - - -

Determine if the organization employs a wireless intrusion detection system - to:

- - SI-4(14)[1] -

identify rogue wireless devices;

- - - SI-4(14)[2] -

detect attack attempts to the information system; and

- - - SI-4(14)[3] -

detect potential compromises/breaches to the information system.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection

-

automated mechanisms supporting and/or implementing wireless intrusion - detection capability

- - - - - Wireless to Wireline Communications - SI-4(15) - si-04.15 - -

The organization employs an intrusion detection system to monitor wireless - communications traffic as the traffic passes from wireless to wireline - networks.

- - - AC-18 - - -

Determine if the organization employs an intrusion detection system to monitor - wireless communications traffic as the traffic passes from wireless to wireline - networks.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system protocols documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing wireless intrusion - detection capability

- - - - - Correlate Monitoring Information - SI-4(16) - si-04.16 - -

The organization correlates information from monitoring tools employed throughout - the information system.

- - -

Correlating information from different monitoring tools can provide a more - comprehensive view of information system activity. The correlation of monitoring - tools that usually work in isolation (e.g., host monitoring, network monitoring, - anti-virus software) can provide an organization-wide view and in so doing, may - reveal otherwise unseen attack patterns. Understanding the - capabilities/limitations of diverse monitoring tools and how to maximize the - utility of information generated by those tools can help organizations to build, - operate, and maintain effective monitoring programs.

- AU-6 - - -

Determine if the organization correlates information from monitoring tools - employed throughout the information system.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

event correlation logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion - detection/information system monitoring capability

-

automated mechanisms supporting and/or implementing correlation of information - from monitoring tools

- - - - - Integrated Situational Awareness - SI-4(17) - si-04.17 - -

The organization correlates information from monitoring physical, cyber, and - supply chain activities to achieve integrated, organization-wide situational - awareness.

- - -

This control enhancement correlates monitoring information from a more diverse set - of information sources to achieve integrated situational awareness. Integrated - situational awareness from a combination of physical, cyber, and supply chain - monitoring activities enhances the capability of organizations to more quickly - detect sophisticated cyber attacks and investigate the methods and techniques - employed to carry out such attacks. In contrast to SI-4 (16) which correlates the - various cyber monitoring information, this control enhancement correlates - monitoring beyond just the cyber domain. Such monitoring may help reveal attacks - on organizations that are operating across multiple attack vectors.

- SA-12 - - -

Determine if the organization, to achieve integrated, organization-wide - situational awareness, correlates information from monitoring:

- - SI-4(17)[1] -

physical activities;

- - - SI-4(17)[2] -

cyber activities; and

- - - SI-4(17)[3] -

supply chain activities.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

event correlation logs or records resulting from physical, cyber, and supply - chain activities

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection/system - monitoring capability

-

automated mechanisms supporting and/or implementing correlation of information - from monitoring tools

- - - - - Analyze Traffic / Covert Exfiltration - - - - SI-4(18) - si-04.18 - -

The organization analyzes outbound communications traffic at the external boundary - of the information system (i.e., system perimeter) and at to detect covert exfiltration of information.

- - -

Covert means that can be used for the unauthorized exfiltration of organizational - information include, for example, steganography.

- - -

Determine if the organization:

- - SI-4(18)[1] -

defines interior points within the system (e.g., subsystems, subnetworks) where - communications traffic is to be analyzed;

- - - SI-4(18)[2] -

to detect covert exfiltration of information, analyzes outbound communications - traffic at:

- - SI-4(18)[2][a] -

the external boundary of the information system (i.e., system perimeter); - and

- - - SI-4(18)[2][b] -

organization-defined interior points within the system.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

network diagram

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

-

organizational personnel with responsibility for the intrusion detection - system

- - - - TEST - -

Organizational processes for intrusion detection/information system - monitoring

-

automated mechanisms supporting and/or implementing intrusion detection/system - monitoring capability

-

automated mechanisms supporting and/or implementing analysis of outbound - communications traffic

- - - - - Individuals Posing Greater Risk - - - - - - - SI-4(19) - si-04.19 - -

The organization implements of individuals who - have been identified by as posing an increased - level of risk.

- - -

Indications of increased risk from individuals can be obtained from a variety of - sources including, for example, human resource records, intelligence agencies, law - enforcement organizations, and/or other credible sources. The monitoring of - individuals is closely coordinated with management, legal, security, and human - resources officials within organizations conducting such monitoring and complies - with federal legislation, Executive Orders, policies, directives, regulations, and - standards.

- - -

Determine if the organization:

- - SI-4(19)[1] -

defines sources that identify individuals who pose an increased level of - risk;

- - - SI-4(19)[2] -

defines additional monitoring to be implemented on individuals who have been - identified by organization-defined sources as posing an increased level of - risk; and

- - - SI-4(19)[3] -

implements organization-defined additional monitoring of individuals who have - been identified by organization-defined sources as posing an increased level of - risk.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring

-

information system design documentation

-

list of individuals who have been identified as posing an increased level of - risk

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

- - - - - Privileged Users - - - - SI-4(20) - si-04.20 - -

The organization implements of privileged - users.

- - -

Determine if the organization:

- - SI-4(20)[1] -

defines additional monitoring to be implemented on privileged users; and

- - - SI-4(20)[2] -

implements organization-defined additional monitoring of privileged users;

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

list of privileged users

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

- - - - - Probationary Periods - - - - - - - SI-4(21) - si-04.21 - -

The organization implements of individuals - during .

- - -

Determine if the organization:

- - SI-4(21)[1] -

defines additional monitoring to be implemented on individuals during - probationary periods;

- - - SI-4(21)[2] -

defines probationary period during which organization-defined additional - monitoring of individuals is to be performed; and

- - - SI-4(21)[3] -

implements organization-defined additional monitoring of individuals during - organization-defined probationary period.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

- - - - - Unauthorized Network Services - - - - - - - - - - SI-4(22) - si-04.22 - -

The information system detects network services that have not been authorized or - approved by and .

- - -

Unauthorized or unapproved network services include, for example, services in - service-oriented architectures that lack organizational verification or validation - and therefore may be unreliable or serve as malicious rogues for valid - services.

- AC-6 - CM-7 - SA-5 - SA-9 - - -

Determine if:

- - SI-4(22)[1] -

the organization defines authorization or approval processes for network - services;

- - - SI-4(22)[2] -

the organization defines personnel or roles to be alerted upon detection of - network services that have not been authorized or approved by - organization-defined authorization or approval processes;

- - - SI-4(22)[3] -

the information system detects network services that have not been authorized - or approved by organization-defined authorization or approval processes and - does one or more of the following:

- - SI-4(22)[3][a] -

audits; and/or

- - - SI-4(22)[3][b] -

alerts organization-defined personnel or roles.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

documented authorization/approval of network services

-

notifications or alerts of unauthorized network services

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring the information - system

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing system monitoring - capability

-

automated mechanisms for auditing network services

-

automated mechanisms for providing alerts

- - - - - Host-based Devices - - - - - - - SI-4(23) - si-04.23 - -

The organization implements at .

- - -

Information system components where host-based monitoring can be implemented - include, for example, servers, workstations, and mobile devices. Organizations - consider employing host-based monitoring mechanisms from multiple information - technology product developers.

- - -

Determine if the organization:

- - SI-4(23)[1] -

defines host-based monitoring mechanisms to be implemented;

- - - SI-4(23)[2] -

defines information system components where organization-defined host-based - monitoring is to be implemented; and

- - - SI-4(23)[3] -

implements organization-defined host-based monitoring mechanisms at - organization-defined information system components.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring tools and techniques

-

information system design documentation

-

host-based monitoring mechanisms

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

list of information system components requiring host-based monitoring

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring information system - hosts

- - - - TEST - -

Organizational processes for information system monitoring

-

automated mechanisms supporting and/or implementing host-based monitoring - capability

- - - - - Indicators of Compromise - SI-4(24) - si-04.24 - -

The information system discovers, collects, distributes, and uses indicators of - compromise.

- - -

Indicators of compromise (IOC) are forensic artifacts from intrusions that are - identified on organizational information systems (at the host or network level). - IOCs provide organizations with valuable information on objects or information - systems that have been compromised. IOCs for the discovery of compromised hosts - can include for example, the creation of registry key values. IOCs for network - traffic include, for example, Universal Resource Locator (URL) or protocol - elements that indicate malware command and control servers. The rapid distribution - and adoption of IOCs can improve information security by reducing the time that - information systems and organizations are vulnerable to the same exploit or - attack.

- - -

Determine if the information system:

- - SI-4(24)[1] -

discovers indicators of compromise;

- - - SI-4(24)[2] -

collects indicators of compromise;

- - - SI-4(24)[3] -

distributes indicators of compromise; and

- - - SI-4(24)[4] -

uses indicators of compromise.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system monitoring

-

information system design documentation

-

information system monitoring tools and techniques documentation

-

information system configuration settings and associated documentation

-

information system monitoring logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

System/network administrators

-

organizational personnel with information security responsibilities

-

system developer

-

organizational personnel installing, configuring, and/or maintaining the - information system

-

organizational personnel with responsibility for monitoring information system - hosts

- - - - TEST - -

Organizational processes for information system monitoring

-

organizational processes for discovery, collection, distribution, and use of - indicators of compromise

-

automated mechanisms supporting and/or implementing system monitoring - capability

-

automated mechanisms supporting and/or implementing the discovery, collection, - distribution, and use of indicators of compromise

- - - - - - Security Alerts, Advisories, and Directives - - - - - - - - - - - - - - - - SI-5 - si-05 - NIST Special Publication 800-40 - -

The organization:

- - a. -

Receives information system security alerts, advisories, and directives from - on an ongoing basis;

- - - b. -

Generates internal security alerts, advisories, and directives as deemed - necessary;

- - - c. -

Disseminates security alerts, advisories, and directives to: ; and

- - - d. -

Implements security directives in accordance with established time frames, or - notifies the issuing organization of the degree of noncompliance.

- - - -

The United States Computer Emergency Readiness Team (US-CERT) generates security - alerts and advisories to maintain situational awareness across the federal - government. Security directives are issued by OMB or other designated organizations - with the responsibility and authority to issue such directives. Compliance to - security directives is essential due to the critical nature of many of these - directives and the potential immediate adverse effects on organizational operations - and assets, individuals, other organizations, and the Nation should the directives - not be implemented in a timely manner. External organizations include, for example, - external mission/business partners, supply chain partners, external service - providers, and other peer/supporting organizations.

- SI-2 - - -

Determine if the organization:

- - SI-5(a) - - SI-5(a)[1] -

defines external organizations from whom information system security alerts, - advisories and directives are to be received;

- - - SI-5(a)[2] -

receives information system security alerts, advisories, and directives from - organization-defined external organizations on an ongoing basis;

- - - - SI-5(b) -

generates internal security alerts, advisories, and directives as deemed - necessary;

- - - SI-5(c) - - SI-5(c)[1] -

defines personnel or roles to whom security alerts, advisories, and directives - are to be provided;

- - - SI-5(c)[2] -

defines elements within the organization to whom security alerts, advisories, - and directives are to be provided;

- - - SI-5(c)[3] -

defines external organizations to whom security alerts, advisories, and - directives are to be provided;

- - - SI-5(c)[4] -

disseminates security alerts, advisories, and directives to one or more of the - following:

- - SI-5(c)[4][a] -

organization-defined personnel or roles;

- - - SI-5(c)[4][b] -

organization-defined elements within the organization; and/or

- - - SI-5(c)[4][c] -

organization-defined external organizations; and

- - - - - SI-5(d) - - SI-5(d)[1] -

implements security directives in accordance with established time frames; - or

- - - SI-5(d)[2] -

notifies the issuing organization of the degree of noncompliance.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

records of security alerts and advisories

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external organizations - to whom alerts, advisories, and directives are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, disseminating, and - complying with security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing definition, receipt, - generation, and dissemination of security alerts, advisories, and directives

-

automated mechanisms supporting and/or implementing security directives

- - - - Automated Alerts and Advisories - SI-5(1) - si-05.01 - -

The organization employs automated mechanisms to make security alert and advisory - information available throughout the organization.

- - -

The significant number of changes to organizational information systems and the - environments in which those systems operate requires the dissemination of - security-related information to a variety of organizational entities that have a - direct interest in the success of organizational missions and business functions. - Based on the information provided by the security alerts and advisories, changes - may be required at one or more of the three tiers related to the management of - information security risk including the governance level, mission/business - process/enterprise architecture level, and the information system level.

- - -

Determine if the organization employs automated mechanisms to make security alert - and advisory information available throughout the organization.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing security alerts, advisories, and directives

-

information system design documentation

-

information system configuration settings and associated documentation

-

automated mechanisms supporting the distribution of security alert and advisory - information

-

records of security alerts and advisories

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security alert and advisory responsibilities

-

organizational personnel implementing, operating, maintaining, and using the - information system

-

organizational personnel, organizational elements, and/or external - organizations to whom alerts and advisories are to be disseminated

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining, receiving, generating, and disseminating - security alerts and advisories

-

automated mechanisms supporting and/or implementing dissemination of security - alerts and advisories

- - - - - - Security Function Verification - - - - - - - - - - - - - - - - - - - - - - SI-6 - si-06 - -

The information system:

- - a. -

Verifies the correct operation of ;

- - - b. -

Performs this verification ;

- - - c. -

Notifies of failed security verification tests; - and

- - - d. -

- when anomalies are discovered.

- - - -

Transitional states for information systems include, for example, system startup, - restart, shutdown, and abort. Notifications provided by information systems include, - for example, electronic alerts to system administrators, messages to local computer - consoles, and/or hardware indications such as lights.

- CA-7 - CM-6 - - -

Determine if:

- - SI-6(a) - - SI-6(a)[1] -

the organization defines security functions to be verified for correct - operation;

- - - SI-6(a)[2] -

the information system verifies the correct operation of organization-defined - security functions;

- - - - SI-6(b) - - SI-6(b)[1] -

the organization defines system transitional states requiring verification of - organization-defined security functions;

- - - SI-6(b)[2] -

the organization defines a frequency to verify the correct operation of - organization-defined security functions;

- - - SI-6(b)[3] -

the information system performs this verification one or more of the - following:

- - SI-6(b)[3][a] -

at organization-defined system transitional states;

- - - SI-6(b)[3][b] -

upon command by user with appropriate privilege; and/or

- - - SI-6(b)[3][c] -

with the organization-defined frequency;

- - - - - SI-6(c) - - SI-6(c)[1] -

the organization defines personnel or roles to be notified of failed security - verification tests;

- - - SI-6(c)[2] -

the information system notifies organization-defined personnel or roles of - failed security verification tests;

- - - - SI-6(d) - - SI-6(d)[1] -

the organization defines alternative action(s) to be performed when anomalies - are discovered;

- - - SI-6(d)[2] -

the information system performs one or more of the following actions when - anomalies are discovered:

- - SI-6(d)[2][a] -

shuts the information system down;

- - - SI-6(d)[2][b] -

restarts the information system; and/or

- - - SI-6(d)[2][c] -

performs organization-defined alternative action(s).

- - - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security function verification

-

information system design documentation

-

information system configuration settings and associated documentation

-

alerts/notifications of failed security verification tests

-

list of system transition states requiring security functionality verification

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security function verification responsibilities

-

organizational personnel implementing, operating, and maintaining the information - system

-

system/network administrators

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Organizational processes for security function verification

-

automated mechanisms supporting and/or implementing security function verification - capability

- - - - Notification of Failed Security Tests - SI-6(1) - si-06.01 - Withdrawn - SI-6 - - - Automation Support for Distributed Testing - SI-6(2) - si-06.02 - -

The information system implements automated mechanisms to support the management - of distributed security testing.

- - - SI-2 - - -

Determine if the information system implements automated mechanisms to support the - management of distributed security testing.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing security function verification

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security function verification - responsibilities

-

organizational personnel implementing, operating, and maintaining the - information system

-

system/network administrators

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security function verification

-

automated mechanisms supporting and/or implementing the management of - distributed security testing

- - - - - Report Verification Results - - - - SI-6(3) - si-06.03 - -

The organization reports the results of security function verification to .

- - -

Organizational personnel with potential interest in security function verification - results include, for example, senior information security officers, information - system security managers, and information systems security officers.

- SA-12 - SI-4 - SI-5 - - -

Determine if the organization:

- - SI-6(3)[1] -

defines personnel or roles designated to receive the results of security - function verification; and

- - - SI-6(3)[2] -

reports the results of security function verification to organization-defined - personnel or roles.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing security function verification

-

information system design documentation

-

information system configuration settings and associated documentation

-

records of security function verification results

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with security function verification - responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for reporting security function verification - results

-

automated mechanisms supporting and/or implementing the reporting of security - function verification results

- - - - - - Software, Firmware, and Information Integrity - - - - SI-7 - si-07 - NIST Special Publication 800-147 - NIST Special Publication 800-155 - -

The organization employs integrity verification tools to detect unauthorized changes - to .

- - -

Unauthorized changes to software, firmware, and information can occur due to errors - or malicious activity (e.g., tampering). Software includes, for example, operating - systems (with key internal components such as kernels, drivers), middleware, and - applications. Firmware includes, for example, the Basic Input Output System (BIOS). - Information includes metadata such as security attributes associated with - information. State-of-the-practice integrity-checking mechanisms (e.g., parity - checks, cyclical redundancy checks, cryptographic hashes) and associated tools can - automatically monitor the integrity of information systems and hosted - applications.

- SA-12 - SC-8 - SC-13 - SI-3 - - -

Determine if the organization:

- - SI-7[1] - - SI-7[1][a] -

defines software requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - SI-7[1][b] -

defines firmware requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - SI-7[1][c] -

defines information requiring integrity verification tools to be employed to - detect unauthorized changes;

- - - - SI-7[2] -

employs integrity verification tools to detect unauthorized changes to - organization-defined:

- - SI-7[2][a] -

software;

- - - SI-7[2][b] -

firmware; and

- - - SI-7[2][c] -

information.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records generated/triggered from integrity verification tools regarding - unauthorized software, firmware, and information changes

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Software, firmware, and information integrity verification tools

- - - - Integrity Checks - - - - - - - - - - - - - SI-7(1) - si-07.01 - -

The information system performs an integrity check of - .

- - -

Security-relevant events include, for example, the identification of a new threat - to which organizational information systems are susceptible, and the installation - of new hardware, software, or firmware. Transitional states include, for example, - system startup, restart, shutdown, and abort.

- - -

Determine if:

- - SI-7(1)[1] -

the organization defines:

- - SI-7(1)[1][a] -

software requiring integrity checks to be performed;

- - - SI-7(1)[1][b] -

firmware requiring integrity checks to be performed;

- - - SI-7(1)[1][c] -

information requiring integrity checks to be performed;

- - - - SI-7(1)[2] -

the organization defines transitional states or security-relevant events - requiring integrity checks of organization-defined:

- - SI-7(1)[2][a] -

software;

- - - SI-7(1)[2][b] -

firmware;

- - - SI-7(1)[2][c] -

information;

- - - - SI-7(1)[3] -

the organization defines a frequency with which to perform an integrity check - of organization-defined:

- - SI-7(1)[3][a] -

software;

- - - SI-7(1)[3][b] -

firmware;

- - - SI-7(1)[3][c] -

information;

- - - - SI-7(1)[4] -

the information system performs an integrity check of organization-defined - software, firmware, and information one or more of the following:

- - SI-7(1)[4][a] -

at startup;

- - - SI-7(1)[4][b] -

at organization-defined transitional states or security-relevant events; - and/or

- - - SI-7(1)[4][c] -

with the organization-defined frequency.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

- - - - - Automated Notifications of Integrity Violations - - - - SI-7(2) - si-07.02 - -

The organization employs automated tools that provide notification to upon discovering discrepancies during integrity - verification.

- - -

The use of automated tools to report integrity violations and to notify - organizational personnel in a timely matter is an essential precursor to effective - risk response. Personnel having an interest in integrity violations include, for - example, mission/business owners, information system owners, systems - administrators, software developers, systems integrators, and information security - officers.

- - -

Determine if the organization:

- - SI-7(2)[1] -

defines personnel or roles to whom notification is to be provided upon - discovering discrepancies during integrity verification; and

- - - SI-7(2)[2] -

employs automated tools that provide notification to organization-defined - personnel or roles upon discovering discrepancies during integrity - verification.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

automated tools supporting alerts and notifications for integrity - discrepancies

-

alerts/notifications provided upon discovering discrepancies during integrity - verifications

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms providing integrity discrepancy notifications

- - - - - Centrally-managed Integrity Tools - SI-7(3) - si-07.03 - -

The organization employs centrally managed integrity verification tools.

- - - AU-3 - SI-2 - SI-8 - - -

Determine if the organization employs centrally managed integrity verification - tools.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for central management of - integrity verification tools

-

organizational personnel with information security responsibilities

- - - - TEST - -

Automated mechanisms supporting and/or implementing central management of - integrity verification tools

- - - - - Tamper-evident Packaging - SI-7(4) - si-07.04 - Withdrawn - SA-12 - - - Automated Response to Integrity Violations - - - - - - - SI-7(5) - si-07.05 - -

The information system automatically when - integrity violations are discovered.

- - -

Organizations may define different integrity checking and anomaly responses: (i) - by type of information (e.g., firmware, software, user data); (ii) by specific - information (e.g., boot firmware, boot firmware for a specific types of machines); - or (iii) a combination of both. Automatic implementation of specific safeguards - within organizational information systems includes, for example, reversing the - changes, halting the information system, or triggering audit alerts when - unauthorized modifications to critical security files occur.

- - -

Determine if:

- - SI-7(5)[1] -

the organization defines security safeguards to be implemented when integrity - violations are discovered;

- - - SI-7(5)[2] -

the information system automatically performs one or more of the following - actions when integrity violations are discovered:

- - SI-7(5)[2][a] -

shuts the information system down;

- - - SI-7(5)[2][b] -

restarts the information system; and/or

- - - SI-7(5)[2][c] -

implements the organization-defined security safeguards.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

records of integrity checks and responses to integrity violations

-

information audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms providing an automated response to integrity - violations

-

automated mechanisms supporting and/or implementing security safeguards to be - implemented when integrity violations are discovered

- - - - - Cryptographic Protection - SI-7(6) - si-07.06 - -

The information system implements cryptographic mechanisms to detect unauthorized - changes to software, firmware, and information.

- - -

Cryptographic mechanisms used for the protection of integrity include, for - example, digital signatures and the computation and application of signed hashes - using asymmetric cryptography, protecting the confidentiality of the key used to - generate the hash, and using the public key to verify the hash information.

- SC-13 - - -

Determine if the information system employs cryptographic mechanism to detect - unauthorized changes to:

- - SI-7(6)[1] -

software;

- - - SI-7(6)[2] -

firmware; and

- - - SI-7(6)[3] -

information.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated documentation

-

records of detected unauthorized changes to software, firmware, and - information

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

cryptographic mechanisms implementing software, firmware, and information - integrity

- - - - - Integration of Detection and Response - - - - SI-7(7) - si-07.07 - -

The organization incorporates the detection of unauthorized into the organizational incident response - capability.

- - -

This control enhancement helps to ensure that detected events are tracked, - monitored, corrected, and available for historical purposes. Maintaining - historical records is important both for being able to identify and discern - adversary actions over an extended period of time and for possible legal actions. - Security-relevant changes include, for example, unauthorized changes to - established configuration settings or unauthorized elevation of information system - privileges.

- IR-4 - IR-5 - SI-4 - - -

Determine if the organization:

- - SI-7(7)[1] -

defines unauthorized security-relevant changes to the information system; - and

- - - SI-7(7)[2] -

incorporates the detection of unauthorized organization-defined - security-relevant changes to the information system into the organizational - incident response capability.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

procedures addressing incident response

-

information system design documentation

-

information system configuration settings and associated documentation

-

incident response records

-

information audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

organizational personnel with incident response responsibilities

- - - - TEST - -

Organizational processes for incorporating detection of unauthorized - security-relevant changes into the incident response capability

-

software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing incorporation of detection - of unauthorized security-relevant changes into the incident response - capability

- - - - - Auditing Capability for Significant Events - - - - - - - - - - SI-7(8) - si-07.08 - -

The information system, upon detection of a potential integrity violation, - provides the capability to audit the event and initiates the following actions: - .

- - -

Organizations select response actions based on types of software, specific - software, or information for which there are potential integrity violations.

- AU-2 - AU-6 - AU-12 - - -

Determine if:

- - SI-7(8)[1] -

the organization defines personnel or roles to be alerted upon detection of a - potential integrity violation;

- - - SI-7(8)[2] -

the organization defines other actions to be taken upon detection of a - potential integrity violation;

- - - SI-7(8)[3] - - SI-7(8)[3][a] -

the information system, upon detection of a potential integrity violation, - provides the capability to audit the event;

- - - SI-7(8)[3][b] -

the information system, upon detection of a potential integrity violation, - initiates one or more of the following actions:

- - SI-7(8)[3][b][1] -

generates an audit record;

- - - SI-7(8)[3][b][2] -

alerts current user;

- - - SI-7(8)[3][b][3] -

alerts organization-defined personnel or roles; and/or

- - - SI-7(8)[3][b][4] -

organization-defined other actions.

- - - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity scans

-

incident response records, list of security-relevant changes to the information - system

-

automated tools supporting alerts and notifications if unauthorized security - changes are detected

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing the capability to audit - potential integrity violations

-

automated mechanisms supporting and/or implementing alerts about potential - integrity violations

- - - - - Verify Boot Process - - - - SI-7(9) - si-07.09 - -

The information system verifies the integrity of the boot process of .

- - -

Ensuring the integrity of boot processes is critical to starting devices in - known/trustworthy states. Integrity verification mechanisms provide organizational - personnel with assurance that only trusted code is executed during boot - processes.

- - -

Determine if:

- - SI-7(9)[1] -

the organization defines devices requiring integrity verification of the boot - process; and

- - - SI-7(9)[2] -

the information system verifies the integrity of the boot process of - organization-defined devices.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

documentation

-

records of integrity verification scans

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing integrity verification of - the boot process

- - - - - Protection of Boot Firmware - - - - - - - SI-7(10) - si-07.10 - -

The information system implements to protect - the integrity of boot firmware in .

- - -

Unauthorized modifications to boot firmware may be indicative of a sophisticated, - targeted cyber attack. These types of cyber attacks can result in a permanent - denial of service (e.g., if the firmware is corrupted) or a persistent malicious - code presence (e.g., if code is embedded within the firmware). Devices can protect - the integrity of the boot firmware in organizational information systems by: (i) - verifying the integrity and authenticity of all updates to the boot firmware prior - to applying changes to the boot devices; and (ii) preventing unauthorized - processes from modifying the boot firmware.

- - -

Determine if:

- - SI-7(10)[1] -

the organization defines security safeguards to be implemented to protect the - integrity of boot firmware in devices;

- - - SI-7(10)[2] -

the organization defines devices requiring organization-defined security - safeguards to be implemented to protect the integrity of boot firmware; and

- - - SI-7(10)[3] -

the information system implements organization-defined security safeguards to - protect the integrity of boot firmware in organization-defined devices.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification tools and associated documentation

-

records of integrity verification scans

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing protection of the integrity - of boot firmware

-

safeguards implementing protection of the integrity of boot firmware

- - - - - Confined Environments with Limited Privileges - - - - SI-7(11) - si-07.11 - -

The organization requires that execute in a - confined physical or virtual machine environment with limited privileges.

- - -

Organizations identify software that may be of greater concern with regard to - origin or potential for containing malicious code. For this type of software, user - installations occur in confined environments of operation to limit or contain - damage from malicious code that may be executed.

- - -

Determine if the organization:

- - SI-7(11)[1] -

defines user-installed software to be executed in a confined physical or - virtual machine environment with limited privileges; and

- - - SI-7(11)[2] -

requires that organization-defined user-installed software execute in a - confined physical or virtual machine environment with limited privileges.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing execution of software in a - confined environment (physical and/or virtual)

-

automated mechanisms supporting and/or implementing limited privileges in the - confined environment

- - - - - Integrity Verification - - - - SI-7(12) - si-07.12 - -

The organization requires that the integrity of - be verified prior to execution.

- - -

Organizations verify the integrity of user-installed software prior to execution - to reduce the likelihood of executing malicious code or code that contains errors - from unauthorized modifications. Organizations consider the practicality of - approaches to verifying software integrity including, for example, availability of - checksums of adequate trustworthiness from software developers or vendors.

- - -

Determine if the organization:

- - SI-7(12)[1] -

defines user-installed software requiring integrity verification prior to - execution; and

- - - SI-7(12)[2] -

requires that the integrity of organization-defined user-installed software be - verified prior to execution.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

integrity verification records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing verification of the - integrity of user-installed software prior to execution

- - - - - Code Execution in Protected Environments - - - - SI-7(13) - si-07.13 - -

The organization allows execution of binary or machine-executable code obtained - from sources with limited or no warranty and without the provision of source code - only in confined physical or virtual machine environments and with the explicit - approval of .

- - -

This control enhancement applies to all sources of binary or machine-executable - code including, for example, commercial software/firmware and open source - software.

- - -

Determine if the organization:

- - SI-7(13)[1] -

allows execution of binary or machine-executable code obtained from sources - with limited or no warranty;

- - - SI-7(13)[2] -

allows execution of binary or machine-executable code without the provision of - source code only in confined physical or virtual machines;

- - - SI-7(13)[3] -

defines personnel or roles required to provide explicit approval to allow - execution of binary or machine-executable code; and

- - - SI-7(13)[4] -

allows execution of binary or machine-executable code with the explicit - approval of organization-defined personnel or roles.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

approval records for execution of binary and machine-executable code

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing approvals for execution of - binary or machine-executable code

- - - - - Binary or Machine Executable Code - SI-7(14) - si-07.14 - -

The organization:

- - (a) -

Prohibits the use of binary or machine-executable code from sources with - limited or no warranty and without the provision of source code; and

- - - (b) -

Provides exceptions to the source code requirement only for compelling - mission/operational requirements and with the approval of the authorizing - official.

- - - -

This control enhancement applies to all sources of binary or machine-executable - code including, for example, commercial software/firmware and open source - software. Organizations assess software products without accompanying source code - from sources with limited or no warranty for potential security impacts. The - assessments address the fact that these types of software products may be very - difficult to review, repair, or extend, given that organizations, in most cases, - do not have access to the original source code, and there may be no owners who - could make such repairs on behalf of organizations.

- SA-5 - - -

Determine if the organization:

- - SI-7(14)(a) - - SI-7(14)(a)[1] -

prohibits the use of binary or machine-executable code from sources with - limited or no warranty;

- - - SI-7(14)(a)[2] -

prohibits the use of binary or machine-executable code without the provision - of source code;

- - SI-7(14)(a) - - - SI-7(14)(b) - - SI-7(14)(b)[1] -

provides exceptions to the source code requirement only for compelling - mission/operational requirements; and

- - - SI-7(14)(b)[2] -

provides exceptions to the source code requirement only with the approval of - the authorizing official.

- - SI-7(14)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

approval records for execution of binary and machine-executable code

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

authorizing official

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing prohibition of the - execution of binary or machine-executable code

- - - - - Code Authentication - - - - SI-7(15) - si-07.15 - -

The information system implements cryptographic mechanisms to authenticate prior to installation.

- - -

Cryptographic authentication includes, for example, verifying that software or - firmware components have been digitally signed using certificates recognized and - approved by organizations. Code signing is an effective method to protect against - malicious code.

- - -

Determine if:

- - SI-7(15)[1] - - SI-7(15)[1][a] -

the organization defines software components to be authenticated by - cryptographic mechanisms prior to installation;

- - - SI-7(15)[1][b] -

the organization defines firmware components to be authenticated by - cryptographic mechanisms prior to installation;

- - - - SI-7(15)[2] - - SI-7(15)[2][a] -

the information system implements cryptographic mechanisms to authenticate - organization-defined software components prior to installation; and

- - - SI-7(15)[2][b] -

the information system implements cryptographic mechanisms to authenticate - organization-defined firmware components prior to installation.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software, firmware, and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

cryptographic mechanisms and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Cryptographic mechanisms authenticating software/firmware prior to - installation

- - - - - Time Limit On Process Execution w/o Supervision - - - - SI-7(16) - si-07.16 - -

The organization does not allow processes to execute without supervision for more - than .

- - -

This control enhancement addresses processes for which normal execution periods - can be determined and situations in which organizations exceed such periods. - Supervision includes, for example, operating system timers, automated responses, - or manual oversight and response when information system process anomalies - occur.

- - -

Determine if the organization:

- - SI-7(16)[1] -

defines a time period as the maximum period allowed for processes to execute - without supervision; and

- - - SI-7(16)[2] -

does not allow processes to execute without supervision for more than the - organization-defined time period.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing software and information integrity

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for software, firmware, and/or - information integrity

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Software, firmware, and information integrity verification tools

-

automated mechanisms supporting and/or implementing time limits on process - execution without supervision

- - - - - - Spam Protection - SI-8 - si-08 - NIST Special Publication 800-45 - -

The organization:

- - a. -

Employs spam protection mechanisms at information system entry and exit points to - detect and take action on unsolicited messages; and

- - - b. -

Updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures.

- - - -

Information system entry and exit points include, for example, firewalls, electronic - mail servers, web servers, proxy servers, remote-access servers, workstations, mobile - devices, and notebook/laptop computers. Spam can be transported by different means - including, for example, electronic mail, electronic mail attachments, and web - accesses. Spam protection mechanisms include, for example, signature definitions.

- AT-2 - AT-3 - SC-5 - SC-7 - SI-3 - - -

Determine if the organization:

- - SI-8(a) -

employs spam protection mechanisms:

- - SI-8(a)[1] -

at information system entry points to detect unsolicited messages;

- - - SI-8(a)[2] -

at information system entry points to take action on unsolicited messages;

- - - SI-8(a)[3] -

at information system exit points to detect unsolicited messages;

- - - SI-8(a)[4] -

at information system exit points to take action on unsolicited messages; - and

- - - - SI-8(b) -

updates spam protection mechanisms when new releases are available in accordance - with organizational configuration management policy and procedures.

- - - - EXAMINE - -

System and information integrity policy

-

configuration management policy and procedures (CM-1)

-

procedures addressing spam protection

-

spam protection mechanisms

-

records of spam protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for implementing spam protection

-

automated mechanisms supporting and/or implementing spam protection

- - - - Central Management - SI-8(1) - si-08.01 - -

The organization centrally manages spam protection mechanisms.

- - -

Central management is the organization-wide management and implementation of spam - protection mechanisms. Central management includes planning, implementing, - assessing, authorizing, and monitoring the organization-defined, centrally managed - spam protection security controls.

- AU-3 - SI-2 - SI-7 - - -

Determine if the organization centrally manages spam protection mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for central management of spam protection

-

automated mechanisms supporting and/or implementing central management of spam - protection

- - - - - Automatic Updates - SI-8(2) - si-08.02 - -

The information system automatically updates spam protection mechanisms.

- - -

Determine if the information system automatically updates spam protection - mechanisms.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

records of spam protection updates

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for spam protection

-

automated mechanisms supporting and/or implementing automatic updates to spam - protection mechanisms

- - - - - Continuous Learning Capability - SI-8(3) - si-08.03 - -

The information system implements spam protection mechanisms with a learning - capability to more effectively identify legitimate communications traffic.

- - -

Learning mechanisms include, for example, Bayesian filters that respond to user - inputs identifying specific traffic as spam or legitimate by updating algorithm - parameters and thereby more accurately separating types of traffic.

- - -

Determine if the information system implements spam protection mechanisms with a - learning capability to more effectively identify legitimate communications - traffic.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing spam protection

-

spam protection mechanisms

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for spam protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for spam protection

-

automated mechanisms supporting and/or implementing spam protection mechanisms - with a learning capability

- - - - - - Information Input Restrictions - SI-9 - si-09 - Withdrawn - AC-2 - AC-3 - AC-5 - AC-6 - - - Information Input Validation - - - - SI-10 - si-10 - -

The information system checks the validity of .

- - -

Checking the valid syntax and semantics of information system inputs (e.g., character - set, length, numerical range, and acceptable values) verifies that inputs match - specified definitions for format and content. Software applications typically follow - well-defined protocols that use structured messages (i.e., commands or queries) to - communicate between software modules or system components. Structured messages can - contain raw or unstructured data interspersed with metadata or control information. - If software applications use attacker-supplied inputs to construct structured - messages without properly encoding such messages, then the attacker could insert - malicious commands or special characters that can cause the data to be interpreted as - control information or metadata. Consequently, the module or component that receives - the tainted output will perform the wrong operations or otherwise interpret the data - incorrectly. Prescreening inputs prior to passing to interpreters prevents the - content from being unintentionally interpreted as commands. Input validation helps to - ensure accurate and correct inputs and prevent attacks such as cross-site scripting - and a variety of injection attacks.

- - -

Determine if:

- - SI-10[1] -

the organization defines information inputs requiring validity checks; and

- - - SI-10[2] -

the information system checks the validity of organization-defined information - inputs.

- - - - EXAMINE - -

System and information integrity policy

-

access control policy and procedures

-

separation of duties policy and procedures

-

procedures addressing information input validation

-

documentation for automated tools and applications to verify validity of - information

-

list of information inputs requiring validity checks

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing validity checks on information - inputs

- - - - Manual Override Capability - - - - - - - SI-10(1) - si-10.01 - -

The information system:

- - (a) -

Provides a manual override capability for input validation of ;

- - - (b) -

Restricts the use of the manual override capability to only ; and

- - - (c) -

Audits the use of the manual override capability.

- - - - CM-3 - CM-5 - - -

Determine if:

- - SI-10(1)(a) - - SI-10(1)(a)[1] -

the organization defines information inputs for which the information system - provides a manual override capability for input validation;

- - - SI-10(1)(a)[2] -

the information system provides a manual override capability for input - validation of organization-defined inputs;

- - SI-10(1)(a) - - - SI-10(1)(b) - - SI-10(1)(b)[1] -

the organization defines authorized individuals who can use the manual - override capability;

- - - SI-10(1)(b)[2] -

the information system restricts the use of manual override capability to - organization-defined authorized individuals; and

- - SI-10(1)(b) - - - SI-10(1)(c) -

the information system audits the use of the manual override capability.

- SI-10(1)(c) - - - - EXAMINE - -

System and information integrity policy

-

access control policy and procedures

-

separation of duties policy and procedures

-

procedures addressing information input validation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input - validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for use of manual override capability

-

automated mechanisms supporting and/or implementing manual override capability - for input validation

-

automated mechanisms supporting and/or implementing auditing of the use of - manual override capability

- - - - - Review / Resolution of Errors - - - - SI-10(2) - si-10.02 - -

The organization ensures that input validation errors are reviewed and resolved - within .

- - -

Resolution of input validation errors includes, for example, correcting systemic - causes of errors and resubmitting transactions with corrected input.

- - -

Determine if the organization:

- - SI-10(2)[1] -

defines a time period within which input validation errors are to be reviewed - and resolved; and

- - - SI-10(2)[2] -

ensures that input validation errors are reviewed and resolved within the - organization-defined time period.

- - - - EXAMINE - -

System and information integrity policy

-

access control policy and procedures

-

separation of duties policy and procedures

-

procedures addressing information input validation

-

information system design documentation

-

information system configuration settings and associated documentation

-

review records of information input validation errors and resulting - resolutions

-

information input validation error logs or records

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input - validation

-

organizational personnel with information security responsibilities

-

system/network administrators

- - - - TEST - -

Organizational processes for review and resolution of input validation - errors

-

automated mechanisms supporting and/or implementing review and resolution of - input validation errors

- - - - - Predictable Behavior - SI-10(3) - si-10.03 - -

The information system behaves in a predictable and documented manner that - reflects organizational and system objectives when invalid inputs are - received.

- - -

A common vulnerability in organizational information systems is unpredictable - behavior when invalid inputs are received. This control enhancement ensures that - there is predictable behavior in the face of invalid inputs by specifying - information system responses that facilitate transitioning the system to known - states without adverse, unintended side effects.

- - -

Determine if the information system behaves in a predictable and documented manner - that reflects organizational and system objectives when invalid inputs are - received.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information input validation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input - validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing predictable behavior when - invalid inputs are received

- - - - - Review / Timing Interactions - SI-10(4) - si-10.04 - -

The organization accounts for timing interactions among information system - components in determining appropriate responses for invalid inputs.

- - -

In addressing invalid information system inputs received across protocol - interfaces, timing interactions become relevant, where one protocol needs to - consider the impact of the error response on other protocols within the protocol - stack. For example, 802.11 standard wireless network protocols do not interact - well with Transmission Control Protocols (TCP) when packets are dropped (which - could be due to invalid packet input). TCP assumes packet losses are due to - congestion, while packets lost over 802.11 links are typically dropped due to - collisions or noise on the link. If TCP makes a congestion response, it takes - precisely the wrong action in response to a collision event. Adversaries may be - able to use apparently acceptable individual behaviors of the protocols in concert - to achieve adverse effects through suitable construction of invalid input.

- - -

Determine if the organization accounts for timing interactions among information - system components in determining appropriate responses for invalid inputs.

- - - EXAMINE - -

System and information integrity policy

-

procedures addressing information input validation

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input - validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for determining appropriate responses to invalid - inputs

-

automated mechanisms supporting and/or implementing responses to invalid - inputs

- - - - - Restrict Inputs to Trusted Sources and Approved Formats - - - - - - - SI-10(5) - si-10.05 - -

The organization restricts the use of information inputs to and/or .

- - -

This control enhancement applies the concept of whitelisting to information - inputs. Specifying known trusted sources for information inputs and acceptable - formats for such inputs can reduce the probability of malicious activity.

- - -

Determine if the organization:

- - SI-10(5)[1] -

defines trusted sources to which the use of information inputs is to be - restricted;

- - - SI-10(5)[2] -

defines formats to which the use of information inputs is to be restricted;

- - - SI-10(5)[3] -

restricts the use of information inputs to:

- - SI-10(5)[3][a] -

organization-defined trust sources; and/or

- - - SI-10(5)[3][b] -

organization-defined formats.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information input validation

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of trusted sources for information inputs

-

list of acceptable formats for input restrictions

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input - validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for restricting information inputs

-

automated mechanisms supporting and/or implementing restriction of information - inputs

- - - - - - Error Handling - - - - SI-11 - si-11 - -

The information system:

- - a. -

Generates error messages that provide information necessary for corrective actions - without revealing information that could be exploited by adversaries; and

- - - b. -

Reveals error messages only to .

- - - -

Organizations carefully consider the structure/content of error messages. The extent - to which information systems are able to identify and handle error conditions is - guided by organizational policy and operational requirements. Information that could - be exploited by adversaries includes, for example, erroneous logon attempts with - passwords entered by mistake as the username, mission/business information that can - be derived from (if not stated explicitly by) information recorded, and personal - information such as account numbers, social security numbers, and credit card - numbers. In addition, error messages may provide a covert channel for transmitting - information.

- AU-2 - AU-3 - SC-31 - - -

Determine if:

- - SI-11(a) -

the information system generates error messages that provide information necessary - for corrective actions without revealing information that could be exploited by - adversaries;

- - - SI-11(b) - - SI-11(b)[1] -

the organization defines personnel or roles to whom error messages are to be - revealed; and

- - - SI-11(b)[2] -

the information system reveals error messages only to organization-defined - personnel or roles.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information system error handling

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation providing structure/content of error messages

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information input validation

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for error handling

-

automated mechanisms supporting and/or implementing error handling

-

automated mechanisms supporting and/or implementing management of error - messages

- - - - - Information Handling and Retention - SI-12 - si-12 - -

The organization handles and retains information within the information system and - information output from the system in accordance with applicable federal laws, - Executive Orders, directives, policies, regulations, standards, and operational - requirements.

- - -

Information handling and retention requirements cover the full life cycle of - information, in some cases extending beyond the disposal of information systems. The - National Archives and Records Administration provides guidance on records - retention.

- AC-16 - AU-5 - AU-11 - MP-2 - MP-4 - - -

Determine if the organization, in accordance with applicable federal laws, Executive - Orders, directives, policies, regulations, standards, and operational - requirements:

- - SI-12[1] -

handles information within the information system;

- - - SI-12[2] -

handles output from the information system;

- - - SI-12[3] -

retains information within the information system; and

- - - SI-12[4] -

retains output from the information system.

- - - - EXAMINE - -

System and information integrity policy

-

federal laws, Executive Orders, directives, policies, regulations, standards, and - operational requirements applicable to information handling and retention

-

media protection policy and procedures

-

procedures addressing information system output handling and retention

-

information retention records, other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for information handling and - retention

-

organizational personnel with information security responsibilities/network - administrators

- - - - TEST - -

Organizational processes for information handling and retention

-

automated mechanisms supporting and/or implementing information handling and - retention

- - - - - Predictable Failure Prevention - - - - - - - SI-13 - si-13 - -

The organization:

- - a. -

Determines mean time to failure (MTTF) for in - specific environments of operation; and

- - - b. -

Provides substitute information system components and a means to exchange active - and standby components at .

- - - -

While MTTF is primarily a reliability issue, this control addresses potential - failures of specific information system components that provide security capability. - Failure rates reflect installation-specific consideration, not industry-average. - Organizations define criteria for substitution of information system components based - on MTTF value with consideration for resulting potential harm from component - failures. Transfer of responsibilities between active and standby components does not - compromise safety, operational readiness, or security capability (e.g., preservation - of state variables). Standby components remain available at all times except for - maintenance issues or recovery failures in progress.

- CP-2 - CP-10 - MA-6 - - -

Determine if the organization:

- - SI-13(a) - - SI-13(a)[1] -

defines information system components for which mean time to failure (MTTF) - should be determined;

- - - SI-13(a)[2] -

determines MTTF for organization-defined information system components in - specific environments of operation;

- - - - SI-13(b) - - SI-13(b)[1] -

defines MTTF substitution criteria to be used as a means to exchange active and - standby components;

- - - SI-13(b)[2] -

provides substitute information system components at organization-defined MTTF - substitution criteria; and

- - - SI-13(b)[3] -

provides a means to exchange active and standby components at - organization-defined MTTF substitution criteria.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing predictable failure prevention

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of MTTF substitution criteria

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for MTTF determinations and - activities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with contingency planning responsibilities

- - - - TEST - -

Organizational processes for managing MTTF

- - - - Transferring Component Responsibilities - - - - SI-13(1) - si-13.01 - -

The organization takes information system components out of service by - transferring component responsibilities to substitute components no later than - of mean time to failure.

- - -

Determine if the organization:

- - SI-13(1)[1] -

defines maximum fraction or percentage of mean time to failure within which to - transfer the responsibilities of an information system component that is out of - service to a substitute component; and

- - - SI-13(1)[2] -

takes the information system component out of service by transferring component - responsibilities to substitute components no later than organization-defined - fraction or percentage of mean time to failure.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing predictable failure prevention

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for MTTF activities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with contingency planning responsibilities

- - - - TEST - -

Organizational processes for managing MTTF

-

automated mechanisms supporting and/or implementing transfer of component - responsibilities to substitute components

- - - - - Time Limit On Process Execution Without Supervision - SI-13(2) - si-13.02 - Withdrawn - SI-7 (16) - - - Manual Transfer Between Components - - - - - - - SI-13(3) - si-13.03 - -

The organization manually initiates transfers between active and standby - information system components if the mean time - to failure exceeds .

- - -

Determine if the organization:

- - SI-13(3)[1] -

defines the minimum frequency with which the organization manually initiates a - transfer between active and standby information system components if the mean - time to failure exceeds the organization-defined time period;

- - - SI-13(3)[2] -

defines the time period that the mean time to failure must exceed before the - organization manually initiates a transfer between active and standby - information system components; and

- - - SI-13(3)[3] -

manually initiates transfers between active and standby information system - components at the organization-defined frequency if the mean time to failure - exceeds the organization-defined time period.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing predictable failure prevention

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for MTTF activities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with contingency planning responsibilities

- - - - TEST - -

Organizational processes for managing MTTF and conducting the manual transfer - between active and standby components

- - - - - Standby Component Installation / Notification - - - - - - - - - - SI-13(4) - si-13.04 - -

The organization, if information system component failures are detected:

- - (a) -

Ensures that the standby components are successfully and transparently - installed within ; and

- - - (b) -

- .

- - - -

Automatic or manual transfer of components from standby to active mode can occur, - for example, upon detection of component failures.

- - -

Determine if the organization:

- - SI-13(4)(a) - - SI-13(4)(a)[1] -

defines a time period for standby information system components to be - successfully and transparently installed when information system component - failures are detected;

- - - SI-13(4)(a)[2] -

ensures that the standby components are successfully and transparently - installed within the organization-defined time period;

- - SI-13(4)(a) - - - SI-13(4)(b) - - SI-13(4)(b)[1] -

defines an alarm to be activated when information system component failures - are detected;

- - - SI-13(4)(b)[2] -

if information system component failures are detected, does one or more of - the following:

- - SI-13(4)(b)[2][a] -

activates the organization-defined alarm; and/or

- - - SI-13(4)(b)[2][b] -

automatically shuts down the information system.

- - - SI-13(4)(b) - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing predictable failure prevention

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of actions to be taken once information system component failure is - detected

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for MTTF activities

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with contingency planning responsibilities

- - - - TEST - -

Organizational processes for managing MTTF

-

automated mechanisms supporting and/or implementing transparent installation of - standby components

-

automated mechanisms supporting and/or implementing alarms or system shutdown - if component failures are detected

- - - - - Failover Capability - - - - - - - SI-13(5) - si-13.05 - -

The organization provides - for the information system.

- - -

Failover refers to the automatic switchover to an alternate information system - upon the failure of the primary information system. Failover capability includes, - for example, incorporating mirrored information system operations at alternate - processing sites or periodic data mirroring at regular intervals defined by - recovery time periods of organizations.

- - -

Determine if the organization:

- - SI-13(5)[1] -

defines failover capability to be provided for the information system;

- - - SI-13(5)[2] -

provides one of the following organization-defined failover capabilities for - the information system:

- - SI-13(5)[2][a] -

real-time failover capability; and/or

- - - SI-13(5)[2][b] -

near real-time failover capability.

- - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing predictable failure prevention

-

information system design documentation

-

information system configuration settings and associated documentation

-

documentation describing failover capability provided for the information - system

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for failover capability

-

organizational personnel with information security responsibilities

-

system/network administrators

-

organizational personnel with contingency planning responsibilities

- - - - TEST - -

Organizational processes for managing failover capability

-

automated mechanisms supporting and/or implementing failover capability

- - - - - - Non-persistence - - - - - - - - - - SI-14 - si-14 - -

The organization implements non-persistent that are - initiated in a known state and terminated .

- - -

This control mitigates risk from advanced persistent threats (APTs) by significantly - reducing the targeting capability of adversaries (i.e., window of opportunity and - available attack surface) to initiate and complete cyber attacks. By implementing the - concept of non-persistence for selected information system components, organizations - can provide a known state computing resource for a specific period of time that does - not give adversaries sufficient time on target to exploit vulnerabilities in - organizational information systems and the environments in which those systems - operate. Since the advanced persistent threat is a high-end threat with regard to - capability, intent, and targeting, organizations assume that over an extended period - of time, a percentage of cyber attacks will be successful. Non-persistent information - system components and services are activated as required using protected information - and terminated periodically or upon the end of sessions. Non-persistence increases - the work factor of adversaries in attempting to compromise or breach organizational - information systems. Non-persistent system components can be implemented, for - example, by periodically re-imaging components or by using a variety of common - virtualization techniques. Non-persistent services can be implemented using - virtualization techniques as part of virtual machines or as new instances of - processes on physical machines (either persistent or non-persistent).The benefit of - periodic refreshes of information system components/services is that it does not - require organizations to first determine whether compromises of components or - services have occurred (something that may often be difficult for organizations to - determine). The refresh of selected information system components and services occurs - with sufficient frequency to prevent the spread or intended impact of attacks, but - not with such frequency that it makes the information system unstable. In some - instances, refreshes of critical components and services may be done periodically in - order to hinder the ability of adversaries to exploit optimum windows of - vulnerabilities.

- SC-30 - SC-34 - - -

Determine if the organization:

- - SI-14[1] -

defines non-persistent information system components and services to be - implemented;

- - - SI-14[2] - - SI-14[2][a] -

defines a frequency to terminate non-persistent organization-defined components - and services that are initiated in a known state;

- - - SI-14[2][b] -

implements non-persistent organization-defined information system components - and services that are initiated in a known state and terminated one or more of - the following:

- - SI-14[2][b][1] -

upon end of session of use; and/or

- - - SI-14[2][b][2] -

periodically at the organization-defined frequency.

- - - - - - EXAMINE - -

System and information integrity policy

-

procedures addressing non-persistence for information system components

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for non-persistence

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing initiation and termination of - non-persistent components

- - - - Refresh from Trusted Sources - - - - SI-14(1) - si-14.01 - -

The organization ensures that software and data employed during information system - component and service refreshes are obtained from .

- - -

Trusted sources include, for example, software/data from write-once, read-only - media or from selected off-line secure storage facilities.

- - -

Determine if the organization:

- - SI-14(1)[1] -

defines trusted sources from which software and data employed during - information system component and service refreshes are to be obtained; and

- - - SI-14(1)[2] -

ensures that software and data employed during information system component and - service refreshes are obtained from organization-defined trusted sources.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing non-persistence for information system components

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for obtaining component and - service refreshes from trusted sources

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining and obtaining component and service - refreshes from trusted sources

-

automated mechanisms supporting and/or implementing component and service - refreshes

- - - - - - Information Output Filtering - - - - SI-15 - si-15 - -

The information system validates information output from to ensure that the information is consistent with the - expected content.

- - -

Certain types of cyber attacks (e.g., SQL injections) produce output results that are - unexpected or inconsistent with the output results that would normally be expected - from software programs or applications. This control enhancement focuses on detecting - extraneous content, preventing such extraneous content from being displayed, and - alerting monitoring tools that anomalous behavior has been discovered.

- SI-3 - SI-4 - - -

Determine if:

- - SI-15[1] -

the organization defines software programs and/or applications whose information - output requires validation to ensure that the information is consistent with the - expected content; and

- - - SI-15[2] -

the information system validates information output from organization-defined - software programs and/or applications to ensure that the information is consistent - with the expected content.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing information output filtering

-

information system design documentation

-

information system configuration settings and associated documentation

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for validating information output

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational processes for validating information output

-

automated mechanisms supporting and/or implementing information output - validation

- - - - - Memory Protection - - - - SI-16 - si-16 - -

The information system implements to protect its - memory from unauthorized code execution.

- - -

Some adversaries launch attacks with the intent of executing code in non-executable - regions of memory or in memory locations that are prohibited. Security safeguards - employed to protect memory include, for example, data execution prevention and - address space layout randomization. Data execution prevention safeguards can either - be hardware-enforced or software-enforced with hardware providing the greater - strength of mechanism.

- AC-25 - SC-3 - - -

Determine if:

- - SI-16[1] -

the organization defines security safeguards to be implemented to protect - information system memory from unauthorized code execution; and

- - - SI-16[2] -

the information system implements organization-defined security safeguards to - protect its memory from unauthorized code execution.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing memory protection for the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security safeguards protecting information system memory from unauthorized - code execution

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for memory protection

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Automated mechanisms supporting and/or implementing safeguards to protect - information system memory from unauthorized code execution

- - - - - Fail-safe Procedures - - - - - - - SI-17 - si-17 - -

The information system implements when .

- - -

Failure conditions include, for example, loss of communications among critical system - components or between system components and operational facilities. Fail-safe - procedures include, for example, alerting operator personnel and providing specific - instructions on subsequent steps to take (e.g., do nothing, reestablish system - settings, shut down processes, restart the system, or contact designated - organizational personnel).

- CP-12 - CP-13 - SC-24 - SI-13 - - -

Determine if:

- - SI-17[1] -

the organization defines fail-safe procedures to be implemented when - organization-defined failure conditions occur;

- - - SI-17[2] -

the organization defines failure conditions resulting in organization-defined - fail-safe procedures being implemented when such conditions occur; and

- - - SI-17[3] -

the information system implements organization-defined fail-safe procedures when - organization-defined failure conditions occur.

- - - - EXAMINE - -

System and information integrity policy

-

procedures addressing memory protection for the information system

-

information system design documentation

-

information system configuration settings and associated documentation

-

list of security safeguards protecting information system memory from unauthorized - code execution

-

information system audit records

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for fail-safe procedures

-

organizational personnel with information security responsibilities

-

system/network administrators

-

system developer

- - - - TEST - -

Organizational fail-safe procedures

-

automated mechanisms supporting and/or implementing fail-safe procedures

- - - - - - Program Management - - Information Security Program Plan - - - - PM-1 - pm-01 - -

The organization:

- - a. -

Develops and disseminates an organization-wide information security program plan - that:

- - 1. -

Provides an overview of the requirements for the security program and a - description of the security program management controls and common controls in - place or planned for meeting those requirements;

- - - 2. -

Includes the identification and assignment of roles, responsibilities, - management commitment, coordination among organizational entities, and - compliance;

- - - 3. -

Reflects coordination among organizational entities responsible for the - different aspects of information security (i.e., technical, physical, - personnel, cyber-physical); and

- - - 4. -

Is approved by a senior official with responsibility and accountability for the - risk being incurred to organizational operations (including mission, functions, - image, and reputation), organizational assets, individuals, other - organizations, and the Nation;

- - - - b. -

Reviews the organization-wide information security program plan ;

- - - c. -

Updates the plan to address organizational changes and problems identified during - plan implementation or security control assessments; and

- - - d. -

Protects the information security program plan from unauthorized disclosure and - modification.

- - - -

Information security program plans can be represented in single documents or - compilations of documents at the discretion of organizations. The plans document the - program management controls and organization-defined common controls. Information - security program plans provide sufficient information about the program management - controls/common controls (including specification of parameters for any assignment - and selection statements either explicitly or by reference) to enable implementations - that are unambiguously compliant with the intent of the plans and a determination of - the risk to be incurred if the plans are implemented as intended. The security plans - for individual information systems and the organization-wide information security - program plan together, provide complete coverage for all security controls employed - within the organization. Common controls are documented in an appendix to the - organization’s information security program plan unless the controls are included in - a separate security plan for an information system (e.g., security controls employed - as part of an intrusion detection system providing organization-wide boundary - protection inherited by one or more organizational information systems). The - organization-wide information security program plan will indicate which separate - security plans contain descriptions of common controls. Organizations have the - flexibility to describe common controls in a single document or in multiple - documents. In the case of multiple documents, the documents describing common - controls are included as attachments to the information security program plan. If the - information security program plan contains multiple documents, the organization - specifies in each document the organizational official or officials responsible for - the development, implementation, assessment, authorization, and monitoring of the - respective common controls. For example, the organization may require that the - Facilities Management Office develop, implement, assess, authorize, and continuously - monitor common physical and environmental protection controls from the PE family when - such controls are not associated with a particular information system but instead, - support multiple information systems.

- PM-8 - - -

Determine if the organization:

- - PM-1(a) -

develops and disseminates an organization-wide information security program plan - that:

- - PM-1(a)(1) - - PM-1(a)(1)[1] -

provides an overview of the requirements for the security program;

- - - PM-1(a)(1)[2] -

provides a description of the:

- - PM-1(a)(1)[2][a] -

security program management controls in place or planned for meeting - those requirements;

- - - PM-1(a)(1)[2][b] -

common controls in place or planned for meeting those requirements;

- - - - - PM-1(a)(2) -

includes the identification and assignment of:

- - PM-1(a)(2)[1] -

roles;

- - - PM-1(a)(2)[2] -

responsibilities;

- - - PM-1(a)(2)[3] -

management commitment;

- - - PM-1(a)(2)[4] -

coordination among organizational entities;

- - - PM-1(a)(2)[5] -

compliance;

- - - - PM-1(a)(3) -

reflects coordination among organizational entities responsible for the - different aspects of information security (i.e., technical, physical, - personnel, cyber-physical);

- - - PM-1(a)(4) -

is approved by a senior official with responsibility and accountability for the - risk being incurred to organizational operations, organizational assets, - individuals, other organizations, and the Nation;

- - - - PM-1(b) - - PM-1(b)[1] -

defines the frequency to review the security program plan for the information - system;

- - - PM-1(b)[2] -

reviews the organization-wide information security program plan with the - organization-defined frequency;

- - - - PM-1(c) -

updates the plan to address organizational:

- - PM-1(c)[1] -

changes identified during plan implementation;

- - - PM-1(c)[2] -

changes identified during security control assessments;

- - - PM-1(c)[3] -

problems identified during plan implementation;

- - - PM-1(c)[4] -

problems identified during security control assessments;

- - - - PM-1(d) -

protects the information security program plan from unauthorized:

- - PM-1(d)[1] -

disclosure; and

- - - PM-1(d)[2] -

modification.

- - - - - EXAMINE - -

Information security program plan

-

procedures addressing program plan development and implementation

-

procedures addressing program plan reviews and updates

-

procedures addressing coordination of the program plan with relevant entities

-

procedures for program plan approvals

-

records of program plan reviews and updates

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for information security program plan - development/review/update/approval

-

automated mechanisms supporting and/or implementing the information security - program plan

- - - - - Senior Information Security Officer - PM-2 - pm-02 - -

The organization appoints a senior information security officer with the mission and - resources to coordinate, develop, implement, and maintain an organization-wide - information security program.

- - -

The security officer described in this control is an organizational official. For a - federal agency (as defined in applicable federal laws, Executive Orders, directives, - policies, or regulations) this official is the Senior Agency Information Security - Officer. Organizations may also refer to this official as the Senior Information - Security Officer or Chief Information Security Officer.

- - -

Determine if the organization appoints a senior information security officer with the - mission and resources to:

- - PM-2[1] -

coordinate an organization-wide information security program;

- - - PM-2[2] -

develop an organization-wide information security program;

- - - PM-2[3] -

implement an organization-wide information security program; and

- - - PM-2[4] -

maintain an organization-wide information security program.

- - - - EXAMINE - -

Information security program plan

-

procedures addressing program plan development and implementation

-

procedures addressing program plan reviews and updates

-

procedures addressing coordination of the program plan with relevant entities

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

senior information security officer

-

organizational personnel with information security responsibilities

- - - - - Information Security Resources - PM-3 - pm-03 - NIST Special Publication 800-65 - -

The organization:

- - a. -

Ensures that all capital planning and investment requests include the resources - needed to implement the information security program and documents all exceptions - to this requirement;

- - - b. -

Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; - and

- - - c. -

Ensures that information security resources are available for expenditure as - planned.

- - - -

Organizations consider establishing champions for information security efforts and as - part of including the necessary resources, assign specialized expertise and resources - as needed. Organizations may designate and empower an Investment Review Board (or - similar group) to manage and provide oversight for the information security-related - aspects of the capital planning and investment control process.

- PM-4 - SA-2 - - -

Determine if the organization:

- - PM-3(a) - - PM-3(a)[1] -

ensures that all capital planning and investment requests include the resources - needed to implement the information security program plan;

- - - PM-3(a)[2] -

documents all exceptions to the requirement;

- - - - PM-3(b) -

employs a business case/Exhibit 300/Exhibit 53 to record the resources required; - and

- - - PM-3(c) -

ensures that information security resources are available for expenditure as - planned.

- - - - EXAMINE - -

Information security program plan

-

Exhibits 300

-

Exhibits 53

-

business cases for capital planning and investment

-

procedures for capital planning and investment

-

documentation of exceptions to capital planning requirements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning - responsibilities

-

organizational personnel responsible for capital planning and investment

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for capital planning and investment

-

organizational processes for business case/Exhibit 300/Exhibit 53 development

-

automated mechanisms supporting the capital planning and investment process

- - - - - Plan of Action and Milestones Process - PM-4 - pm-04 - OMB Memorandum 02-01 - NIST Special Publication 800-37 - -

The organization:

- - a. -

Implements a process for ensuring that plans of action and milestones for the - security program and associated organizational information systems:

- - 1. -

Are developed and maintained;

- - - 2. -

Document the remedial information security actions to adequately respond to - risk to organizational operations and assets, individuals, other organizations, - and the Nation; and

- - - 3. -

Are reported in accordance with OMB FISMA reporting requirements.

- - - - b. -

Reviews plans of action and milestones for consistency with the organizational - risk management strategy and organization-wide priorities for risk response - actions.

- - - -

The plan of action and milestones is a key document in the information security - program and is subject to federal reporting requirements established by OMB. With the - increasing emphasis on organization-wide risk management across all three tiers in - the risk management hierarchy (i.e., organization, mission/business process, and - information system), organizations view plans of action and milestones from an - organizational perspective, prioritizing risk response actions and ensuring - consistency with the goals and objectives of the organization. Plan of action and - milestones updates are based on findings from security control assessments and - continuous monitoring activities. OMB FISMA reporting guidance contains instructions - regarding organizational plans of action and milestones.

- CA-5 - - -

Determine if the organization:

- - PM-4(a) -

implements a process for ensuring that plans of action and milestones for the - security program and associated organizational information systems:

- - PM-4(a)(1) - - PM-4(a)(1)[1] -

are developed;

- - - PM-4(a)(1)[2] -

are maintained;

- - - - PM-4(a)(2) -

document the remedial information security actions to adequately respond to - risk to organizational operations and assets, individuals, other organizations, - and the Nation;

- - - PM-4(a)(3) -

are reported in accordance with OMB FISMA reporting requirements;

- - - - PM-4(b) -

reviews plans of action and milestones for consistency with:

- - PM-4(b)[1] -

the organizational risk management strategy; and

- - - PM-4(b)[2] -

organization-wide priorities for risk response actions.

- - - - - EXAMINE - -

Information security program plan

-

plans of action and milestones

-

procedures addressing plans of action and milestones development and - maintenance

-

procedures addressing plans of action and milestones reporting

-

procedures for review of plans of action and milestones for consistency with risk - management strategy and risk response priorities

-

results of risk assessments associated with plans of action and milestones

-

OMB FISMA reporting requirements

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing, maintaining, - reviewing, and reporting plans of action and milestones

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for plan of action and milestones development, review, - maintenance, reporting

-

automated mechanisms supporting plans of action and milestones

- - - - - Information System Inventory - PM-5 - pm-05 - http://www.omb.gov - -

The organization develops and maintains an inventory of its information systems.

- - -

This control addresses the inventory requirements in FISMA. OMB provides guidance on - developing information systems inventories and associated reporting requirements. For - specific information system inventory reporting requirements, organizations consult - OMB annual FISMA reporting guidance.

- - -

Determine if the organization:

- - PM-5[1] -

develops an inventory of its information systems; and

- - - PM-5[2] -

maintains the inventory of its information systems.

- - - - EXAMINE - -

Information security program plan

-

information system inventory

-

procedures addressing information system inventory development and maintenance

-

OMB FISMA reporting guidance

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for developing and maintaining the - information system inventory

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for information system inventory development and - maintenance

-

automated mechanisms supporting the information system inventory

- - - - - Information Security Measures of Performance - PM-6 - pm-06 - NIST Special Publication 800-55 - -

The organization develops, monitors, and reports on the results of information - security measures of performance.

- - -

Measures of performance are outcome-based metrics used by an organization to measure - the effectiveness or efficiency of the information security program and the security - controls employed in support of the program.

- - -

Determine if the organization:

- - PM-6[1] -

develops information security measures of performance;

- - - PM-6[2] -

monitors information security measures of performance; and

- - - PM-6[3] -

reports information security measures of performance.

- - - - EXAMINE - -

Information security program plan

-

information security measures of performance

-

procedures addressing development, monitoring, and reporting of information - security measures of performance

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for developing, monitoring, and reporting - information security measures of performance

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for developing, monitoring, and reporting information - security measures of performance

-

automated mechanisms supporting the development, monitoring, and reporting of - information security measures of performance

- - - - - Enterprise Architecture - PM-7 - pm-07 - NIST Special Publication 800-39 - -

The organization develops an enterprise architecture with consideration for - information security and the resulting risk to organizational operations, - organizational assets, individuals, other organizations, and the Nation.

- - -

The enterprise architecture developed by the organization is aligned with the Federal - Enterprise Architecture. The integration of information security requirements and - associated security controls into the organization’s enterprise architecture helps to - ensure that security considerations are addressed by organizations early in the - system development life cycle and are directly and explicitly related to the - organization’s mission/business processes. This process of security requirements - integration also embeds into the enterprise architecture, an integral information - security architecture consistent with organizational risk management and information - security strategies. For PM-7, the information security architecture is developed at - a system-of-systems level (organization-wide), representing all of the organizational - information systems. For PL-8, the information security architecture is developed at - a level representing an individual information system but at the same time, is - consistent with the information security architecture defined for the organization. - Security requirements and security control integration are most effectively - accomplished through the application of the Risk Management Framework and supporting - security standards and guidelines. The Federal Segment Architecture Methodology - provides guidance on integrating information security requirements and security - controls into enterprise architectures.

- PL-2 - PL-8 - PM-11 - RA-2 - SA-3 - - -

Determine if the organization develops an enterprise architecture with consideration - for:

- - PM-7[1] -

information security; and

- - - PM-7[2] -

the resulting risk to organizational operations, organizational assets, - individuals, other organizations, and the Nation.

- - - - EXAMINE - -

Information security program plan

-

enterprise architecture documentation

-

procedures addressing enterprise architecture development

-

results of risk assessment of enterprise architecture

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for developing enterprise architecture

-

organizational personnel responsible for risk assessment of enterprise - architecture

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for enterprise architecture development

-

automated mechanisms supporting the enterprise architecture and its - development

- - - - - Critical Infrastructure Plan - PM-8 - pm-08 - HSPD 7 - National Infrastructure Protection Plan - -

The organization addresses information security issues in the development, - documentation, and updating of a critical infrastructure and key resources protection - plan.

- - -

Protection strategies are based on the prioritization of critical assets and - resources. The requirement and guidance for defining critical infrastructure and key - resources and for preparing an associated critical infrastructure protection plan are - found in applicable federal laws, Executive Orders, directives, policies, - regulations, standards, and guidance.

- PM-1 - PM-9 - PM-11 - RA-3 - - -

Determine if the organization addresses information security issues in the:

- - PM-8[1] -

development of a critical infrastructure and key resources protection plan;

- - - PM-8[2] -

documentation of a critical infrastructure and key resources protection plan; - and

- - - PM-8[3] -

updating of the critical infrastructure and key resources protection plan.

- - - - EXAMINE - -

Information security program plan

-

critical infrastructure and key resources protection plan

-

procedures addressing development, documentation, and updating of the critical - infrastructure and key resources protection plan

-

HSPD 7

-

National Infrastructure Protection Plan

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for developing, documenting, and updating the - critical infrastructure and key resources protection plan

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for developing, documenting, and updating the critical - infrastructure and key resources protection plan

-

automated mechanisms supporting the development, documentation, and updating of - the critical infrastructure and key resources protection plan

- - - - - Risk Management Strategy - - - - PM-9 - pm-09 - NIST Special Publication 800-30 - NIST Special Publication 800-39 - -

The organization:

- - a. -

Develops a comprehensive strategy to manage risk to organizational operations and - assets, individuals, other organizations, and the Nation associated with the - operation and use of information systems;

- - - b. -

Implements the risk management strategy consistently across the organization; - and

- - - c. -

Reviews and updates the risk management strategy - or as required, to address organizational changes.

- - - -

An organization-wide risk management strategy includes, for example, an unambiguous - expression of the risk tolerance for the organization, acceptable risk assessment - methodologies, risk mitigation strategies, a process for consistently evaluating risk - across the organization with respect to the organization’s risk tolerance, and - approaches for monitoring risk over time. The use of a risk executive function can - facilitate consistent, organization-wide application of the risk management strategy. - The organization-wide risk management strategy can be informed by risk-related inputs - from other sources both internal and external to the organization to ensure the - strategy is both broad-based and comprehensive.

- RA-3 - - -

Determine if the organization:

- - PM-9(a) -

develops a comprehensive strategy to manage risk to organizational operations and - assets, individuals, other organizations, and the Nation associated with the - operation and use of information systems;

- - - PM-9(b) -

implements the risk management strategy consistently across the organization;

- - - PM-9(c) - - PM-9(c)[1] -

defines the frequency to review and update the risk management strategy;

- - - PM-9(c)[2] -

reviews and updates the risk management strategy to address organizational - changes:

- - PM-9(c)[2][a] -

with the organization-defined frequency; or

- - - PM-9(c)[2][b] -

as required.

- - - - - - EXAMINE - -

Information security program plan

-

risk management strategy

-

procedures addressing development, implementation, review, and update of the risk - management strategy

-

risk assessment results relevant to the risk management strategy

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for development, implementation, review, and - update of the risk management strategy

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for development, implementation, review, and update of - the risk management strategy

-

automated mechanisms supporting the development, implementation, review, and - update of the risk management strategy

- - - - - Security Authorization Process - PM-10 - pm-10 - NIST Special Publication 800-37 - NIST Special Publication 800-39 - -

The organization:

- - a. -

Manages (i.e., documents, tracks, and reports) the security state of - organizational information systems and the environments in which those systems - operate through security authorization processes;

- - - b. -

Designates individuals to fulfill specific roles and responsibilities within the - organizational risk management process; and

- - - c. -

Fully integrates the security authorization processes into an organization-wide - risk management program.

- - - -

Security authorization processes for information systems and environments of - operation require the implementation of an organization-wide risk management process, - a Risk Management Framework, and associated security standards and guidelines. - Specific roles within the risk management process include an organizational risk - executive (function) and designated authorizing officials for each organizational - information system and common control provider. Security authorization processes are - integrated with organizational continuous monitoring processes to facilitate ongoing - understanding and acceptance of risk to organizational operations and assets, - individuals, other organizations, and the Nation.

- CA-6 - - -

Determine if the organization:

- - PM-10(a) -

manages (i.e., documents, tracks, and reports) the security state of - organizational information systems and the environments in which those systems - operate through security authorization processes;

- - - PM-10(b) -

designates individuals to fulfill specific roles and responsibilities within the - organizational risk management process; and

- - - PM-10(c) -

fully integrates the security authorization processes into an organization-wide - risk management program.

- - - - EXAMINE - -

Information security program plan

-

procedures addressing management (i.e., documentation, tracking, and reporting) of - the security authorization process

-

security authorization documents

-

lists or other documentation about security authorization process roles and - responsibilities

-

risk assessment results relevant to the security authorization process and the - organization-wide risk management program

-

organizational risk management strategy

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for management of the security authorization - process

-

authorizing officials

-

system owners, senior information security officer

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for security authorization

-

automated mechanisms supporting the security authorization process

- - - - - Mission/business Process Definition - PM-11 - pm-11 - FIPS Publication 199 - NIST Special Publication 800-60 - -

The organization:

- - a. -

Defines mission/business processes with consideration for information security and - the resulting risk to organizational operations, organizational assets, - individuals, other organizations, and the Nation; and

- - - b. -

Determines information protection needs arising from the defined mission/business - processes and revises the processes as necessary, until achievable protection - needs are obtained.

- - - -

Information protection needs are technology-independent, required capabilities to - counter threats to organizations, individuals, or the Nation through the compromise - of information (i.e., loss of confidentiality, integrity, or availability). - Information protection needs are derived from the mission/business needs defined by - the organization, the mission/business processes selected to meet the stated needs, - and the organizational risk management strategy. Information protection needs - determine the required security controls for the organization and the associated - information systems supporting the mission/business processes. Inherent in defining - an organization’s information protection needs is an understanding of the level of - adverse impact that could result if a compromise of information occurs. The security - categorization process is used to make such potential impact determinations. - Mission/business process definitions and associated information protection - requirements are documented by the organization in accordance with organizational - policy and procedure.

- PM-7 - PM-8 - RA-2 - - -

Determine if the organization:

- - PM-11(a) -

defines mission/business processes with consideration for information security and - the resulting risk to organizational operations, organizational assets, - individuals, other organizations, and the Nation;

- - - PM-11(b) - - PM-11(b)[1] -

determines information protection needs arising from the defined - mission/business process; and

- - - PM-11(b)[2] -

revises the processes as necessary until achievable protection needs are - obtained.

- - - - - EXAMINE - -

Information security program plan

-

risk management strategy

-

procedures for determining mission/business protection needs

-

risk assessment results relevant to determination of mission/business protection - needs

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for mission/business processes

-

organizational personnel responsible for determining information protection needs - for mission/business processes

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for defining mission/business processes and their - information protection needs

- - - - - Insider Threat Program - PM-12 - pm-12 - Executive Order 13587 - -

The organization implements an insider threat program that includes a - cross-discipline insider threat incident handling team.

- - -

Organizations handling classified information are required, under Executive Order - 13587 and the National Policy on Insider Threat, to establish insider threat - programs. The standards and guidelines that apply to insider threat programs in - classified environments can also be employed effectively to improve the security of - Controlled Unclassified Information in non-national security systems. Insider threat - programs include security controls to detect and prevent malicious insider activity - through the centralized integration and analysis of both technical and non-technical - information to identify potential insider threat concerns. A senior organizational - official is designated by the department/agency head as the responsible individual to - implement and provide oversight for the program. In addition to the centralized - integration and analysis capability, insider threat programs as a minimum, prepare - department/agency insider threat policies and implementation plans, conduct - host-based user monitoring of individual employee activities on government-owned - classified computers, provide insider threat awareness training to employees, receive - access to information from all offices within the department/agency (e.g., human - resources, legal, physical security, personnel security, information technology, - information system security, and law enforcement) for insider threat analysis, and - conduct self-assessments of department/agency insider threat posture. Insider threat - programs can leverage the existence of incident handling teams organizations may - already have in place, such as computer security incident response teams. Human - resources records are especially important in this effort, as there is compelling - evidence to show that some types of insider crimes are often preceded by nontechnical - behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and - conflicts with coworkers and other colleagues). These precursors can better inform - and guide organizational officials in more focused, targeted monitoring efforts. The - participation of a legal team is important to ensure that all monitoring activities - are performed in accordance with appropriate legislation, directives, regulations, - policies, standards, and guidelines.

- AC-6 - AT-2 - AU-6 - AU-7 - AU-10 - AU-12 - AU-13 - CA-7 - IA-4 - IR-4 - MP-7 - PE-2 - PS-3 - PS-4 - PS-5 - PS-8 - SC-7 - SC-38 - SI-4 - PM-1 - PM-14 - - -

Determine if the organization implements an insider threat program that includes a - cross-discipline insider threat incident handling team.

- - - EXAMINE - -

Information security program plan

-

insider threat program documentation

-

procedures for the insider threat program

-

risk assessment results relevant to insider threats

-

list or other documentation on the cross-discipline insider threat incident - handling team

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for the insider threat program

-

members of the cross-discipline insider threat incident handling team

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for implementing the insider threat program and the - cross-discipline insider threat incident handling team

-

automated mechanisms supporting and/or implementing the insider threat program and - the cross-discipline insider threat incident handling team

- - - - - Information Security Workforce - PM-13 - pm-13 - -

The organization establishes an information security workforce development and - improvement program.

- - -

Information security workforce development and improvement programs include, for - example: (i) defining the knowledge and skill levels needed to perform information - security duties and tasks; (ii) developing role-based training programs for - individuals assigned information security roles and responsibilities; and (iii) - providing standards for measuring and building individual qualifications for - incumbents and applicants for information security-related positions. Such workforce - programs can also include associated information security career paths to encourage: - (i) information security professionals to advance in the field and fill positions - with greater responsibility; and (ii) organizations to fill information - security-related positions with qualified personnel. Information security workforce - development and improvement programs are complementary to organizational security - awareness and training programs. Information security workforce development and - improvement programs focus on developing and institutionalizing core information - security capabilities of selected personnel needed to protect organizational - operations, assets, and individuals.

- AT-2 - AT-3 - - -

Determine if the organization establishes an information security workforce - development and improvement program.

- - - EXAMINE - -

Information security program plan

-

information security workforce development and improvement program - documentation

-

procedures for the information security workforce development and improvement - program

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for the information security workforce - development and improvement program

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for implementing information security workforce - development and improvement program

-

automated mechanisms supporting and/or implementing the information security - workforce development and improvement program

- - - - - Testing, Training, and Monitoring - PM-14 - pm-14 - NIST Special Publication 800-16 - NIST Special Publication 800-37 - NIST Special Publication 800-53A - NIST Special Publication 800-137 - -

The organization:

- - a. -

Implements a process for ensuring that organizational plans for conducting - security testing, training, and monitoring activities associated with - organizational information systems:

- - 1. -

Are developed and maintained; and

- - - 2. -

Continue to be executed in a timely manner;

- - - - b. -

Reviews testing, training, and monitoring plans for consistency with the - organizational risk management strategy and organization-wide priorities for risk - response actions.

- - - -

This control ensures that organizations provide oversight for the security testing, - training, and monitoring activities conducted organization-wide and that those - activities are coordinated. With the importance of continuous monitoring programs, - the implementation of information security across the three tiers of the risk - management hierarchy, and the widespread use of common controls, organizations - coordinate and consolidate the testing and monitoring activities that are routinely - conducted as part of ongoing organizational assessments supporting a variety of - security controls. Security training activities, while typically focused on - individual information systems and specific roles, also necessitate coordination - across all organizational elements. Testing, training, and monitoring plans and - activities are informed by current threat and vulnerability assessments.

- AT-3 - CA-7 - CP-4 - IR-3 - SI-4 - - -

Determine if the organization:

- - PM-14(a) -

implements a process for ensuring that organizational plans for conducting - security testing, training, and monitoring activities associated with - organizational information systems:

- - PM-14(a)(1) - - PM-14(a)(1)[1] -

are developed;

- - - PM-14(a)(1)[2] -

are maintained;

- - - - PM-14(a)(2) -

continue to be executed in a timely manner;

- - - - PM-14(b) -

reviews testing, training, and monitoring plans for consistency with:

- - PM-14(b)[1] -

the organizational risk management strategy; and

- - - PM-14(b)[2] -

organization-wide priorities for risk response actions.

- - - - - EXAMINE - -

Information security program plan

-

plans for conducting security testing, training, and monitoring activities

-

organizational procedures addressing development and maintenance of plans for - conducting security testing, training, and monitoring activities

-

risk management strategy

-

procedures for review of plans for conducting security testing, training, and - monitoring activities for consistency with risk management strategy and risk - response priorities

-

results of risk assessments associated with conducting security testing, training, - and monitoring activities

-

evidence that plans for conducting security testing, training, and monitoring - activities are executed in a timely manner

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with responsibility for developing and maintaining plans - for conducting security testing, training, and monitoring activities

-

organizational personnel with information security responsibilities

- - - - TEST - -

Organizational processes for development and maintenance of plans for conducting - security testing, training, and monitoring activities

-

automated mechanisms supporting development and maintenance of plans for - conducting security testing, training, and monitoring activities

- - - - - Contacts with Security Groups and Associations - PM-15 - pm-15 - -

The organization establishes and institutionalizes contact with selected groups and - associations within the security community:

- - a. -

To facilitate ongoing security education and training for organizational - personnel;

- - - b. -

To maintain currency with recommended security practices, techniques, and - technologies; and

- - - c. -

To share current security-related information including threats, vulnerabilities, - and incidents.

- - - -

Ongoing contact with security groups and associations is of paramount importance in - an environment of rapidly changing technologies and threats. Security groups and - associations include, for example, special interest groups, forums, professional - associations, news groups, and/or peer groups of security professionals in similar - organizations. Organizations select groups and associations based on organizational - missions/business functions. Organizations share threat, vulnerability, and incident - information consistent with applicable federal laws, Executive Orders, directives, - policies, regulations, standards, and guidance.

- SI-5 - - -

Determine if the organization establishes and institutionalizes contact with selected - groups and associations with the security community to:

- - PM-15(a) -

facilitate ongoing security education and training for organizational - personnel;

- - - PM-15(b) -

maintain currency with recommended security practices, techniques, and - technologies; and

- - - PM-15(c) -

share current security-related information including threats, vulnerabilities, and - incidents.

- - - - EXAMINE - -

Information security program plan

-

risk management strategy

-

procedures for contacts with security groups and associations

-

evidence of established and institutionalized contact with security groups and - associations

-

lists or other documentation about contact with and/or membership in security - groups and associations

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for establishing and institutionalizing - contact with security groups and associations

-

organizational personnel with information security responsibilities

-

personnel from selected groups and associations with which the organization has - established and institutionalized contact

- - - - TEST - -

Organizational processes for establishing and institutionalizing contact with - security groups and associations

-

automated mechanisms supporting contacts with security groups and associations

- - - - - Threat Awareness Program - PM-16 - pm-16 - -

The organization implements a threat awareness program that includes a - cross-organization information-sharing capability.

- - -

Because of the constantly changing and increasing sophistication of adversaries, - especially the advanced persistent threat (APT), it is becoming more likely that - adversaries may successfully breach or compromise organizational information systems. - One of the best techniques to address this concern is for organizations to share - threat information. This can include, for example, sharing threat events (i.e., - tactics, techniques, and procedures) that organizations have experienced, mitigations - that organizations have found are effective against certain types of threats, threat - intelligence (i.e., indications and warnings about threats that are likely to occur). - Threat information sharing may be bilateral (e.g., government-commercial - cooperatives, government-government cooperatives), or multilateral (e.g., - organizations taking part in threat-sharing consortia). Threat information may be - highly sensitive requiring special agreements and protection, or less sensitive and - freely shared.

- PM-12 - PM-16 - - -

Determine if the organization implements a threat awareness program that includes a - cross-organization information-sharing capability.

- - - EXAMINE - -

Information security program plan

-

threat awareness program documentation

-

procedures for the threat awareness program

-

risk assessment results relevant to threat awareness

-

list or other documentation on the cross-organization information-sharing - capability

-

other relevant documents or records

- - - - INTERVIEW - -

Organizational personnel with information security program planning and plan - implementation responsibilities

-

organizational personnel responsible for the threat awareness program

-

organizational personnel with responsibility for the cross-organization - information-sharing capability

-

organizational personnel with information security responsibilities

-

personnel with whom threat awareness information is shared by the organization

- - - - TEST - -

Organizational processes for implementing the threat awareness program

-

Organizational processes for implementing the cross-organization - information-sharing capability

-

automated mechanisms supporting and/or implementing the threat awareness - program

-

automated mechanisms supporting and/or implementing the cross-organization - information-sharing capability

- - - - - - - 5 C.F.R. 731.106 - - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, - Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. - 731.106). - - - - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - C.F.R. Part 5 Subpart C (5 C.F.R. 930.301) - - - - - CNSS Policy 15 - - CNSS Policy 15 - - - - - DoD Information Assurance Vulnerability Alerts - - DoD Information Assurance Vulnerability Alerts - - - - DoD Instruction 5200.39 - - DoD Instruction 5200.39 - - - - - DoD Instruction 8551.01 - - DoD Instruction 8551.01 - - - - - DoD Instruction 8552.01 - - DoD Instruction 8552.01 - - - - - Executive Order 13587 - - Executive Order 13587 - - - - - Federal Acquisition Regulation - - Federal Acquisition Regulation - - - - - Federal Continuity Directive 1 - - Federal Continuity Directive 1 - - - - - FICAM Roadmap and Implementation Guidance - - FICAM Roadmap and Implementation Guidance - - - - - FIPS Publication 140 - - FIPS Publication 140 - - - - - FIPS Publication 140-2 - - FIPS Publication 140-2 - - - - - FIPS Publication 197 - - FIPS Publication 197 - - - - - FIPS Publication 199 - - FIPS Publication 199 - - - - - FIPS Publication 200 - - FIPS Publication 200 - - - - - FIPS Publication 201 - - FIPS Publication 201 - - - - - HSPD-12 - - HSPD-12 - - - - - HSPD 7 - - HSPD 7 - - - - - http://capec.mitre.org - - http://capec.mitre.org - - - - - http://checklists.nist.gov - - http://checklists.nist.gov - - - - - http://csrc.nist.gov/cryptval - - http://csrc.nist.gov/cryptval - - - - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - http://csrc.nist.gov/groups/STM/cmvp/index.html - - - - - http://cve.mitre.org - - http://cve.mitre.org - - - - - http://cwe.mitre.org - - http://cwe.mitre.org - - - - - http://fips201ep.cio.gov - - http://fips201ep.cio.gov - - - - - http://idmanagement.gov - - http://idmanagement.gov - - - - - http://nvd.nist.gov - - http://nvd.nist.gov - - - - - http://www.acquisition.gov/far - - http://www.acquisition.gov/far - - - - - http://www.cnss.gov - - http://www.cnss.gov - - - - - http://www.dhs.gov/telecommunications-service-priority-tsp - - http://www.dhs.gov/telecommunications-service-priority-tsp - - - - - http://www.niap-ccevs.org - - http://www.niap-ccevs.org - - - - - http://www.nsa.gov - - http://www.nsa.gov - - - - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml - - - - - http://www.omb.gov - - http://www.omb.gov - - - - - http://www.us-cert.gov - - http://www.us-cert.gov - - - - - ICD 704 - - ICD 704 - - - - - ICD 705 - - ICD 705 - - - - - ISO/IEC 15408 - - ISO/IEC 15408 - - - - - National Communications Systems Directive 3-10 - - National Communications Systems Directive 3-10 - - - - National Infrastructure Protection Plan - - National Infrastructure Protection Plan - - - - - National Strategy for Trusted Identities in Cyberspace - - National Strategy for Trusted Identities in Cyberspace - - - - - NIST Interagency Report 7622 - - NIST Interagency Report 7622 - - - - - NIST Special Publication 800-100 - 10.6028/NIST.SP.800-100 - - NIST Special Publication 800-100 - - - - - NIST Special Publication 800-111 - 10.6028/NIST.SP.800-111 - - NIST Special Publication 800-111 - - - - - NIST Special Publication 800-113 - 10.6028/NIST.SP.800-113 - - NIST Special Publication 800-113 - - - - - NIST Special Publication 800-114 Rev. 1 - 10.6028/NIST.SP.800-114r1 - - NIST Special Publication 800-114 Rev. 1 - - - - - NIST Special Publication 800-115 - 10.6028/NIST.SP.800-115 - - NIST Special Publication 800-115 - - - - - NIST Special Publication 800-116 Rev. 1 - 10.6028/NIST.SP.800-116r1 - - NIST Special Publication 800-116 Rev. 1 - - - - - NIST Special Publication 800-12 Rev. 1 - 10.6028/NIST.SP.800-12r1 - - NIST Special Publication 800-12 Rev. 1 - - - - - - NIST Special Publication 800-121 - - NIST Special Publication 800-121 - - - - - NIST Special Publication 800-124 - - NIST Special Publication 800-124 - - - - - NIST Special Publication 800-128 - - NIST Special Publication 800-128 - - - - - NIST Special Publication 800-137 - - NIST Special Publication 800-137 - - - - - NIST Special Publication 800-147 - - NIST Special Publication 800-147 - - - - - NIST Special Publication 800-155 - - NIST Special Publication 800-155 - - - - - NIST Special Publication 800-16 - - NIST Special Publication 800-16 - - - - - NIST Special Publication 800-161 - - NIST Special Publication 800-161 - - - - - NIST Special Publication 800-164 - - NIST Special Publication 800-164 - - - - - NIST Special Publication 800-18 - - NIST Special Publication 800-18 - - - - - NIST Special Publication 800-23 - - NIST Special Publication 800-23 - - - - - NIST Special Publication 800-27 - - NIST Special Publication 800-27 - - - - - NIST Special Publication 800-28 - - NIST Special Publication 800-28 - - - - - NIST Special Publication 800-30 - - NIST Special Publication 800-30 - - - - - NIST Special Publication 800-32 - - NIST Special Publication 800-32 - - - - - NIST Special Publication 800-34 - - NIST Special Publication 800-34 - - - - - NIST Special Publication 800-35 - - NIST Special Publication 800-35 - - - - - NIST Special Publication 800-36 - - NIST Special Publication 800-36 - - - - - NIST Special Publication 800-37 - - NIST Special Publication 800-37 - - - - - NIST Special Publication 800-39 - - NIST Special Publication 800-39 - - - - - NIST Special Publication 800-40 - - NIST Special Publication 800-40 - - - - - NIST Special Publication 800-41 - - NIST Special Publication 800-41 - - - - - NIST Special Publication 800-45 - - NIST Special Publication 800-45 - - - - - NIST Special Publication 800-46 - - NIST Special Publication 800-46 - - - - - NIST Special Publication 800-47 - - NIST Special Publication 800-47 - - - - - NIST Special Publication 800-48 - - NIST Special Publication 800-48 - - - - - NIST Special Publication 800-50 - - NIST Special Publication 800-50 - - - - - NIST Special Publication 800-52 - - NIST Special Publication 800-52 - - - - - NIST Special Publication 800-53 - - NIST Special Publication 800-53 - - - - - NIST Special Publication 800-53A - - NIST Special Publication 800-53A - - - - - NIST Special Publication 800-55 - - NIST Special Publication 800-55 - - - - - NIST Special Publication 800-56 - - NIST Special Publication 800-56 - - - - - NIST Special Publication 800-57 - - NIST Special Publication 800-57 - - - - - NIST Special Publication 800-58 - - NIST Special Publication 800-58 - - - - - NIST Special Publication 800-60 - - NIST Special Publication 800-60 - - - - - NIST Special Publication 800-61 - - NIST Special Publication 800-61 - - - - - NIST Special Publication 800-63 - - NIST Special Publication 800-63 - - - - - NIST Special Publication 800-64 - - NIST Special Publication 800-64 - - - - - NIST Special Publication 800-65 - - NIST Special Publication 800-65 - - - - - NIST Special Publication 800-70 - - NIST Special Publication 800-70 - - - - - NIST Special Publication 800-73 - - NIST Special Publication 800-73 - - - - - NIST Special Publication 800-76 - - NIST Special Publication 800-76 - - - - - NIST Special Publication 800-77 - - NIST Special Publication 800-77 - - - - - NIST Special Publication 800-78 - - NIST Special Publication 800-78 - - - - - NIST Special Publication 800-81 - - NIST Special Publication 800-81 - - - - - NIST Special Publication 800-83 - - NIST Special Publication 800-83 - - - - - NIST Special Publication 800-84 - - NIST Special Publication 800-84 - - - - - NIST Special Publication 800-88 - - NIST Special Publication 800-88 - - - - - NIST Special Publication 800-92 - - NIST Special Publication 800-92 - - - - - NIST Special Publication 800-94 - - NIST Special Publication 800-94 - - - - - NIST Special Publication 800-95 - - NIST Special Publication 800-95 - - - - - NIST Special Publication 800-97 - - NIST Special Publication 800-97 - - - - - NSTISSI No. 7003 - - NSTISSI No. 7003 - - - - - OMB Circular A-130 - - OMB Circular A-130 - - - - - OMB Memorandum 02-01 - - OMB Memorandum 02-01 - - - - - OMB Memorandum 04-04 - - OMB Memorandum 04-04 - - - - - OMB Memorandum 05-24 - - OMB Memorandum 05-24 - - - - - OMB Memorandum 06-16 - - OMB Memorandum 06-16 - - - - - OMB Memorandum 07-11 - - OMB Memorandum 07-11 - - - - - OMB Memorandum 07-18 - - OMB Memorandum 07-18 - - - - - OMB Memorandum 08-22 - - OMB Memorandum 08-22 - - - - - OMB Memorandum 08-23 - - OMB Memorandum 08-23 - - - - - OMB Memorandum 10-06-2011 - - OMB Memorandum 10-06-2011 - - - - OMB Memorandum 11-11 - - OMB Memorandum 11-11 - - - - - OMB Memorandum 11-33 - - OMB Memorandum 11-33 - - - - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - Personal Identity Verification (PIV) in Enterprise Physical Access Control System - (E-PACS) - - - - US-CERT Technical Cyber Security Alerts - - US-CERT Technical Cyber Security Alerts - - - - - - - - - - - diff --git a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_declarations.xml b/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_declarations.xml deleted file mode 100644 index 92e42cac56..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/NIST_SP-800-53_rev4_declarations.xml +++ /dev/null @@ -1,108 +0,0 @@ - - - - - - - ^(AC|AT|AU|CA|CM|CP|IA|IR|MA|MP|PE|PL|PM|PS|RA|SA|SC|SI)[\d\.\-]*$ - - - - - - - - - - - - - - - - - - - - - - (1) - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - EXAMINE - INTERVIEW - TEST - - - - - - - - Withdrawn - - - diff --git a/src/content/nist.gov/SP800-53/rev4/xml/conversion-notes.md b/src/content/nist.gov/SP800-53/rev4/xml/conversion-notes.md deleted file mode 100644 index f8c7a001e0..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/conversion-notes.md +++ /dev/null @@ -1,47 +0,0 @@ -# SP800-53 conversion notes - -The XML, JSON, and YAML versions of SP800-53 given here are derived from official and internal NIST publications and communications, in order faithfully to represent published standards (providing them with machinable proxies) but not to determine their meaning or force. - -Keep in mind that the OSCAL code is thus a *representation* of an *interpretation* of the standard, and can in no way be considered as authoritative in itself. Any authority or reliability it may be considered to have derives entirely from its resemblance to the standard as published, as confirmed by external inspection. - -Specifically, this OSCAL XML was produced via XSLT transformation pipeline from -[NIST NVD XML sources](https://nvd.nist.gov/800-53) (Control descriptions in Appendixes F & G and Objective Appendix F) - -The transformation pipeline applies the following enhancements and mappings to this data set: - -1. Source is ameliorated at points of detected failure such as typographical glitches (where necessary to enable downstream processing). -1. Source is cast from native (NVD XML) description into OSCAL -1. Various enhancements are made, such as inferring parameter markup, establishing internal cross-references etc. -1. Along the way, IDs are produced by mapping literal values (generally, labels) found in the source data. This entails some rewriting of identifiers (see below). Because these values are produced by direct mapping from the data, as opposed to auto-generating them based on intrinsic document properties (structure), they can also be meaningfully *validated*. See below. -1. In the result, control descriptions from the base publication, SP800-53, are merged with detailed objective and assessment descriptions from Appendix A, by control. - -## IDs in SP800-53 - -Globally in OSCAL, `@id` attributes (XML) or 'id' fields (JSON) are validated as XML type ID, which imposes the following constraints: - -- Must be an -[XML NCName](https://www.w3.org/TR/REC-xml-names/#NT-NCName) -[https://www.w3.org/TR/REC-xml-names/#NT-NCName], hence - - Starting with a letter (or underscore or period) - - Followed by letters, digits, underscores, dashes or periods (but no other punctuation such as parentheses or brackets) -- Must be lexically unique across the scope of the document. That is, the same 'id' value may not be given to any other object. - -As a consequence of the second constraint, ids serve as robust targets for linking when other information is not determinative, especially when used in combination with unique identifiers at the document level. - -Additionally, in the OSCAL version of SP800-53 rev 4, the following ID conventions are followed: - -1. IDs of controls are derived from the name (label) of the Control. So control "AC-1" has id `ac-1` and "PM-15" has `pm-15`. -1. IDs of control enhancements (child controls) are produced similarly, with the parenthetical expression cast to "dot notation". So control enhancement SI-14(1) has id `si-14.1`, etc. -1. The analogous rule is applied to groups. So "Risk Assessment" (with controls RA-1 through RA-6) has id `ra`. -1. Within controls, components (parts) are given IDs whenever it is expected or anticipated to be targets of internal linking. This does not include all components, for example properties (`prop` fields) such as labels. But: - 1. Statements for each control are suffixed `_smt`, so `si-14.1_smt` etc. - 1. A "Guidance" part ID is suffixed `_gdn` - 1. Parameter IDs suffixed `_prm` with a number representing their position among other parameters in the same control, so `ac-1_prm_2` for the second parameter defined in AC-1. - 1. "Objectives" are suffixed `_obj`. When objectives given in the data have distinct labels, they have similarly been provided with ids accordingly, such as `si-14.1_obj.1` for Objective SI-14\(1\)\[1\]) etc. - 1. In this assignment, implicit targets of links (from objectives to components of statements) are disentangled. So for example Objective AC-3(3)\[6]\(a) refers to (indeed its text corresponds to) statement AC-3(3)(a). So the objective is given id `ac-3.3.a_obj.6`, and provided with a link to the statement. - 1. Currently, IDs are not assigned to assessments. - - -### Validating 'id' assignment in OSCAL SP800-53/A - -A Schematron in this subdirectory, `validate_SP800-53_labels-and-ids.sch`, when applied to the catalog XML, demonstrates that `id` values derived from labels correspond to values expected from static analysis (of document structure). This helps confirm their referential integrity. diff --git a/src/content/nist.gov/SP800-53/rev4/xml/validate-labels_SP800-53-catalog.sch b/src/content/nist.gov/SP800-53/rev4/xml/validate-labels_SP800-53-catalog.sch deleted file mode 100644 index f36b86a0e9..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/validate-labels_SP800-53-catalog.sch +++ /dev/null @@ -1,125 +0,0 @@ - - - - - - - - - - - - - - - - - - Label issue: expected '' - - - - - - - Label hierarchy issue - - - - - Expected id to be '' - - - - - Expected id to be '' - - - - - - - - - Expected id to be '' - - - - - Expected id to be '' - - - - - - - - - - - - - Head or tail must match - - - - - - - - - - _obj - - - - Expecting @id to be - '' - - - - - - Expecting @id to be - '' - - - - - - - - - - - - - - - - - - - - a. - 1. - (a) - (1) - \ No newline at end of file diff --git a/src/content/nist.gov/SP800-53/rev4/xml/validate-names-etc_SP800-53-catalog.sch b/src/content/nist.gov/SP800-53/rev4/xml/validate-names-etc_SP800-53-catalog.sch deleted file mode 100644 index c0d1128615..0000000000 --- a/src/content/nist.gov/SP800-53/rev4/xml/validate-names-etc_SP800-53-catalog.sch +++ /dev/null @@ -1,197 +0,0 @@ - - - - - - - - - - - - - - - - - - - - @name '' is not permitted - - - - - - ID on element is not unique. - - - - - - - @name on part is not recognized: we expect - - - @name on property is not recognized: we expect - - - - - - - - - control must have a child 'prop' with @name='label' - control must have a child 'prop' with @name='sort-id' - control with name='SP800-53' must have a child 'part' with @name='statement' - control with name='SP800-53' must have a child 'part' with @name='objective' - - - part with name='item' must have a child prop with @name='label' - - - part with name='assessment' must have a child prop with @name='method' - part with name='assessment' must have a child part with @name='objects' - - - - - - - - - prop with name='label' - must be a singleton: no other properties named 'label' may appear in the same - context - prop with name='label' must match regular expression - '^(AC|AT|AU|CA|CM|CP|IA|IR|MA|MP|PE|PL|PM|PS|RA|SA|SC|SI)\-\d\d?\(\d\d?\)$' - - - - - Control enhancement - label is inconsistent: we expect here - - - - prop with name='label' - must be a singleton: no other properties named 'label' may appear in the same - context - prop with name='label' must match regular expression - '^(AC|AT|AU|CA|CM|CP|IA|IR|MA|MP|PE|PL|PM|PS|RA|SA|SC|SI)\-\d\d?$' - Control label does not match its family, ' - - - - Control label appears to be out of sequence - - - part with name='statement' - must be a singleton: no other parts named 'statement' may appear in the same - context - - - prop with name='label' - must be a singleton: no other properties named 'label' may appear in the same - context - Label - '' does not match with parent id '' - - - prop with name='label' - must be a singleton: no other properties named 'label' may appear in the same - context - - Label is expected to start with - inherited label '' - - - prop with name='sort-id' - must be a singleton: no other properties named 'sort-id' may appear in the same - context - - - prop with name='method' - must be a singleton: no other properties named 'method' may appear in the same - context - prop name='method' here must - have a value 'EXAMINE', 'INTERVIEW', or 'TEST' - - - prop with name='status' - must be a singleton: no other properties named 'status' may appear in the same - context - prop name='status' here must have a value - 'Withdrawn' - - - prop with name='method' must be a singleton: no other - properties named 'method' may appear in the same context - - - prop with name='keywords' is not expected outside metadata - - - - - - - - - missing @href - An @href must be a URI - Internal link is broken. - - - - - - - - - - - - - - - - - or - , or - , - - - - - - - - - \ No newline at end of file diff --git a/src/content/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5-FPD_catalog.xml b/src/content/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5-FPD_catalog.xml deleted file mode 100644 index e907209535..0000000000 --- a/src/content/nist.gov/SP800-53/rev5/xml/NIST_SP-800-53_rev5-FPD_catalog.xml +++ /dev/null @@ -1,26078 +0,0 @@ - - - - - - - NIST Special Publication 800-53: Security and Privacy Controls for Federal Information - Systems and Organizations, Revision 5 Final Public Draft - 2020-03-16T13:24:48.516-04:00 - Revision 5 - 1.0.0-Milestone3 - assurance, availability, computer security, confidentiality, control, - cybersecurity, FISMA, information security, information system, integrity, personally - identifiable information, Privacy Act, privacy controls, privacy functions, privacy - requirements, Risk Management Framework, security controls, security functions, security - requirements, system, system security - NIST publication (PDF) - NIST publication via DOI lookup - - Document creator - - - Contact - - - Joint Task Force, Interagency Working Group -
- National Institute of Standards and Technology - Attn: Computer Security Division - Information Technology Laboratory - 100 Bureau Drive (Mail Stop 8930) - Gaithersburg - MD - 20899-8930 -
- sec-cert@nist.gov - - - 4ae7292e-6d8e-4735-86ea-11047c575e87 - - - 4ae7292e-6d8e-4735-86ea-11047c575e87 - - - - Access Control - - Policy and Procedures - - - - - - - - - - - - - - - - AC-1 - AC-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - [IR 7874] - IA-1 - PM-9 - PM-24 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- access control policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the access control policy and the associated access controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the access control policy and procedures; and

- - - c. -

Review and update the current access control:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the AC family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Account Management - - - - - - - - - - - - - - - - - - - - - - - - - - - - AC-2 - AC-02 - [SP 800-162] - [SP 800-178] - [SP 800-192] - AC-3 - AC-5 - AC-6 - AC-17 - AC-18 - AC-20 - AC-24 - AU-2 - AU-12 - CM-5 - IA-2 - IA-4 - IA-5 - IA-8 - MA-3 - MA-5 - PE-2 - PL-4 - PS-2 - PS-4 - PS-5 - PS-7 - SC-7 - SC-13 - SC-37 - - - a. -

Define and document the types of accounts allowed for use within the system;

- - - b. -

Assign account managers;

- - - c. -

Establish conditions for group and role membership;

- - - d. -

Specify:

- - 1. -

Authorized users of the system;

- - - 2. -

Group and role membership; and

- - - 3. -

Access authorizations (i.e., privileges) and for each account;

- - - - e. -

Require approvals by for requests to create accounts;

- - - f. -

Create, enable, modify, disable, and remove accounts in accordance with ;

- - - g. -

Monitor the use of accounts;

- - - h. -

Notify account managers and within:

- - 1. -

- when accounts are no longer required;

- - - 2. -

- when users are terminated or transferred; and

- - - 3. -

- when system usage or need-to-know changes for an individual;

- - - - i. -

Authorize access to the system based on:

- - 1. -

A valid access authorization;

- - - 2. -

Intended system usage; and

- - - 3. -

- ;

- - - - j. -

Review accounts for compliance with account management requirements ;

- - - k. -

Establish and implement a process for changing shared or group account credentials (if deployed) when individuals are removed from the group; and

- - - l. -

Align account management processes with personnel termination and transfer processes.

- - - -

Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflects the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. External system accounts are not included in the scope of this control. Organizations address external system accounts through organizational policy. -Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy on establishing the specific conditions for group and role membership; specifying for each account, authorized users, group and role membership, and access authorizations; and creating, adjusting, or removing system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors triggering the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time-of-day, day-of-week, and point-of-origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability. -Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required; and when individuals are transferred or terminated. Changing shared/group account credentials when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training.

- - - Automated System Account Management - - - - AC-2(1) - AC-02(01) - -

Support the management of system accounts using .

- - -

Automated mechanisms include using email or text messaging to automatically notify account managers when users are terminated or transferred; using the system to monitor account usage; and using telephonic notification to report atypical system account usage.

- - - - Automated Temporary and Emergency Account Management - - - - - - - AC-2(2) - AC-02(02) - -

Automatically temporary and emergency accounts after .

- - -

Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time-period, rather than at the convenience of the systems administrator. Automatic removal or disabling of accounts provides a more consistent implementation.

- - - - Disable Accounts - - - - AC-2(3) - AC-02(03) - -

Disable accounts when the accounts:

- - (a) -

Have expired;

- - - (b) -

Are no longer associated with a user or individual;

- - - (c) -

Are in violation of organizational policy; or

- - - (d) -

Have been inactive for .

- - - -

Disabling expired, inactive, or otherwise anomalous accounts supports the concept of least privilege and least functionality which reduces the attack surface of the system.

- - - - Automated Audit Actions - AC-2(4) - AC-02(04) - AU-2 - AU-6 - -

Automatically audit account creation, modification, enabling, disabling, and removal actions.

- - -

Account management audit records are defined in accordance with AU-2 and reviewed, analyzed, and reported in accordance with AU-6.

- - - - Inactivity Logout - - - - AC-2(5) - AC-02(05) - AC-11 - -

Require that users log out when .

- - -

Inactivity logout is behavior or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of this control enhancement is addressed by AC-11.

- - - - Dynamic Privilege Management - - - - AC-2(6) - AC-02(06) - AC-16 - -

Implement .

- - -

In contrast to access control approaches that employ static accounts and predefined user privileges, dynamic access control approaches rely on run time access control decisions facilitated by dynamic privilege management such as attribute-based access control. While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and operational needs of organizations. An example of dynamic privilege management is the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect changes in privileges. Dynamic privilege management can also include mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, their job function or assignment changes, or if systems are under duress or in emergency situations. Dynamic privilege management includes the effects of privilege changes, for example, when there are changes to encryption keys used for communications.

- - - - Privileged User Accounts - - - - AC-2(7) - AC-02(07) - AC-3 - - - (a) -

Establish and administer privileged user accounts in accordance with ;

- - - (b) -

Monitor privileged role or attribute assignments;

- - - (c) -

Monitor changes to roles or attributes; and

- - - (d) -

Revoke access when privileged role or attribute assignments are no longer appropriate.

- - - -

Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes.

- - - - Dynamic Account Management - - - - AC-2(8) - AC-02(08) - AC-16 - -

Create, activate, manage, and deactivate dynamically.

- - -

Approaches for dynamically creating, activating, managing, and deactivating system accounts rely on automatically provisioning the accounts at run time for entities that were previously unknown. Organizations plan for the dynamic management, creation, activation, and deactivation of system accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges.

- - - - Restrictions on Use of Shared and Group Accounts - - - - AC-2(9) - AC-02(09) - -

Only permit the use of shared and group accounts that meet .

- - -

Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.

- - - - Shared and Group Account Credential Change - AC-2(10) - Withdrawn - AC-02(10) - AC-2k - - - Usage Conditions - - - - - - - AC-2(11) - AC-02(11) - -

Enforce for .

- - -

Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.

- - - - Account Monitoring for Atypical Usage - - - - - - - AC-2(12) - AC-02(12) - AU-6 - AU-7 - CA-7 - IR-8 - SI-4 - - - (a) -

Monitor system accounts for ; and

- - - (b) -

Report atypical usage of system accounts to .

- - - -

Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals working in organizations. Account monitoring may inadvertently create privacy risks. Data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.

- - - - Disable Accounts for High-risk Individuals - - - - - - - AC-2(13) - AC-02(13) - AU-6 - SI-4 - -

Disable accounts of users within of discovery of .

- - -

Users posing a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes the adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential for execution of this control enhancement.

- - - - Prohibit Specific Account Types - - - - - - - AC-2(14) - AC-02(14) - PS-4 - -

Prohibit the use of accounts for access to .

- - -

Organizations determine what types of accounts are prohibited based on the security and privacy risk.

- - - - - Access Enforcement - AC-3 - AC-03 - [OMB A-130] - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - [SP 800-162] - [SP 800-178] - [IR 7874] - AC-2 - AC-4 - AC-5 - AC-6 - AC-16 - AC-17 - AC-18 - AC-19 - AC-20 - AC-21 - AC-22 - AC-24 - AC-25 - AT-2 - AT-3 - AU-9 - CA-9 - CM-5 - CM-11 - IA-2 - IA-5 - IA-6 - IA-7 - IA-11 - MA-3 - MA-4 - MA-5 - MP-4 - PM-2 - PS-3 - SA-17 - SC-2 - SC-3 - SC-4 - SC-13 - SC-28 - SC-31 - SC-34 - SI-4 - -

Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

- - -

Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of missions and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection (PE) family.

- - - Restricted Access to Privileged Functions - AC-3(1) - Withdrawn - AC-03(01) - AC-6 - - - Dual Authorization - - - - AC-3(2) - AC-03(02) - CP-9 - MP-6 - -

Enforce dual authorization for .

- - -

Dual authorization, also known as two-person control, reduces risk related to insider threat. Dual authorization mechanisms require the approval of two authorized individuals to execute. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

- - - - Mandatory Access Control - - - - - - - - - - AC-3(3) - AC-03(03) - SC-7 - -

Enforce over the set of covered subjects and objects specified in the policy, and where the policy:

- - (a) -

Is uniformly enforced across the covered subjects and objects within the system;

- - - (b) -

Specifies that a subject that has been granted access to information is constrained from doing any of the following;

- - (1) -

Passing the information to unauthorized subjects or objects;

- - - (2) -

Granting its privileges to other subjects;

- - - (3) -

Changing one or more security attributes (specified by the policy) on subjects, objects, the system, or system components;

- - - (4) -

Choosing the security attributes and attribute values (specified by the policy) to be associated with newly created or modified objects; and

- - - (5) -

Changing the rules governing access control; and

- - - - (c) -

Specifies that may explicitly be granted such that they are not limited by any defined subset (or all) of the above constraints.

- - - -

Mandatory access control is a type of nondiscretionary access control. Mandatory access control policies constrain what actions subjects can take with information obtained from objects for which they have already been granted access. This prevents the subjects from passing the information to unauthorized subjects and objects. Mandatory access control policies constrain actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the system has control; otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25. The policy is bounded by the system (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). -The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is a mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. Mandatory access control can operate in conjunction with discretionary access control as described in AC-3(4). A subject constrained in its operation by policies governed by this control can still operate under the less rigorous constraints of AC-3(4), but mandatory access control policies take precedence over the less rigorous constraints of AC-3(4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject with the same sensitivity level as the subject. Examples of mandatory access control policies include the Bell-La Padula policy to protect confidentiality of information and the Biba policy to protect the integrity of information.

- - - - Discretionary Access Control - - - - AC-3(4) - AC-03(04) - -

Enforce over the set of covered subjects and objects specified in the policy, and where the policy specifies that a subject that has been granted access to information can do one or more of the following:

- - (a) -

Pass the information to any other subjects or objects;

- - - (b) -

Grant its privileges to other subjects;

- - - (c) -

Change security attributes on subjects, objects, the system, or the system’s components;

- - - (d) -

Choose the security attributes to be associated with newly created or revised objects; or

- - - (e) -

Change the rules governing access control.

- - - -

When discretionary access control policies are implemented, subjects are not constrained regarding what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing the information to other subjects or objects (i.e., subjects have the discretion to pass). Discretionary access control can operate in conjunction with mandatory access control as described in AC-3(3) and AC-3(15). A subject that is constrained in its operation by mandatory access control policies can still operate under the less rigorous constraints of discretionary access control. Therefore, while AC-3(3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3(4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the system. Once the information is passed outside of system control, additional means may be required to ensure that the constraints remain in effect. While traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this particular use of discretionary access control.

- - - - Security-relevant Information - - - - AC-3(5) - AC-03(05) - CM-6 - SC-39 - -

Prevent access to except during secure, non-operable system states.

- - -

Security-relevant information is information within systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the separation of code and data. Security-relevant information includes access control lists, filtering rules for routers or firewalls, configuration parameters for security services, and cryptographic key management information. Secure, non-operable system states include the times in which systems are not performing mission or business-related processing such as when the system is off-line for maintenance, boot-up, troubleshooting, or shut down.

- - - - Protection of User and System Information - AC-3(6) - Withdrawn - AC-03(06) - MP-4 - SC-28 - - - Role-based Access Control - - - - AC-3(7) - AC-03(07) - -

Enforce a role-based access control policy over defined subjects and objects and control access based upon .

- - -

Role-based access control (RBAC) is an access control policy that enforces access to objects and system functions based on the defined role (i.e., job function) of the subject. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined roles. When users are assigned to the specific roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for because privileges are not assigned directly to every user (which can potentially be a large number of individuals) but are instead acquired through role assignments. RBAC can be implemented as a mandatory or discretionary form of access control. For those organizations implementing RBAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.

- - - - Revocation of Access Authorizations - - - - AC-3(8) - AC-03(08) - -

Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on .

- - -

Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process acting on behalf of a user) is removed from a group, access may not be revoked until the next time the object is opened or the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary.

- - - - Controlled Release - - - - - - - - - - AC-3(9) - AC-03(09) - CA-3 - PT-2 - PT-3 - PT-8 - SA-9 - SC-16 - -

Release information outside of the system only if:

- - (a) -

The receiving provides ; and

- - - (b) -

- are used to validate the appropriateness of the information designated for release.

- - - -

Systems can only protect organizational information within the confines of established system boundaries. Additional controls may be needed to ensure that such information is adequately protected once it is passed beyond the established system boundaries. In situations where the system is unable to determine the adequacy of the protections provided by external entities, as a mitigating control, organizations determine procedurally whether the external systems are providing adequate controls. The means used to determine the adequacy of controls provided by external systems include conducting periodic assessments (inspections/tests); establishing agreements between the organization and its counterpart organizations; or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security and privacy policy to protect the information and individuals’ privacy. -Controlled release of information requires systems to implement technical or procedural means to validate the information prior to releasing it to external systems. For example, if the system passes information to a system controlled by another organization, technical means are employed to validate that the security and privacy attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only authorized individuals gain access to the printer.

- - - - Audited Override of Access Control Mechanisms - - - - - - - AC-3(10) - AC-03(10) - AU-2 - AU-6 - AU-10 - AU-12 - AU-14 - -

Employ an audited override of automated access control mechanisms under by .

- - -

In certain situations, for example, where there is a threat to human life or an event that threatens the organization’s ability to carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Override conditions are defined by organizations and are used only in those limited circumstances. Audit events are defined in AU-2. Audit records are generated in AU-12.

- - - - Restrict Access to Specific Information Types - - - - AC-3(11) - AC-03(11) - -

Restrict access to data repositories containing .

- - -

Restricting access to specific information is intended to provide flexibility regarding access control of specific information types within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety. Other examples include restricting access to cryptographic keys, authentication information, and selected system information.

- - - - Assert and Enforce Application Access - - - - AC-3(12) - AC-03(12) - CM-7 - - - (a) -

Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: ;

- - - (b) -

Provide an enforcement mechanism to prevent unauthorized access; and

- - - (c) -

Approve access changes after initial installation of the application.

- - - -

Asserting and enforcing application access is intended to address applications that need to access existing system applications and functions, including user contacts, global positioning system, camera, keyboard, microphone, network, phones, or other files.

- - - - Attribute-based Access Control - - - - AC-3(13) - AC-03(13) - -

Enforce attribute-based access control policy over defined subjects and objects and control access based upon .

- - -

Attribute-based access control is an access control policy that restricts system access to authorized users based on specified organizational attributes (e.g., job function, identity); action attributes (e.g., read, write, delete); environmental attributes (e.g., time of day, location); and resource attributes (e.g., classification of a document). Organizations can create rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined attributes and rules. When users are assigned to attributes defined in attribute-based access control policies or rules, they can be provisioned to a system with the appropriate privileges or dynamically granted access to a protected resource upon access. Attribute-based access control can be implemented as a mandatory or discretionary form of access control. For attribute-based access control implemented with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.

- - - - Individual Access - - - - - - - AC-3(14) - AC-03(14) - IA-8 - PM-22 - PT-3 - SI-18 - -

Provide to enable individuals to have access to the following elements of their personally identifiable information: .

- - -

Individual access affords individuals the ability to review personally identifiable information about them held within organizational records, regardless of format. Access helps individuals to develop an understanding about how their personally identifiable information is being processed. It can also help individuals ensure that their data is accurate. Access mechanisms can include request forms and application interfaces. Access to certain types of records may not be appropriate or may require certain levels of authentication assurance. Organizational personnel consult with the senior agency official for privacy and legal counsel to determine appropriate mechanisms and access rights or limitations.

- - - - Discretionary and Mandatory Access Control - - - - - - - AC-3(15) - AC-03(15) - SC-2 - SC-3 - AC-4 - - - (a) -

Enforce over the set of covered subjects and objects specified in the policy; and

- - - (b) -

Enforce over the set of covered subjects and objects specified in the policy.

- - - -

Implementing a mandatory access control policy and a discretionary access control policy simultaneously can provide additional protection against the unauthorized execution of code by users or processes acting on behalf of users. This helps prevent a single compromised user or process from compromising the entire system.

- - - - - Information Flow Enforcement - - - - AC-4 - AC-04 - [SP 800-160 v1] - [SP 800-162] - [SP 800-178] - AC-3 - AC-6 - AC-16 - AC-17 - AC-19 - AC-21 - AU-10 - CA-3 - CA-9 - CM-7 - PM-24 - SA-17 - SC-4 - SC-7 - SC-16 - SC-31 - -

Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on .

- - -

Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization; keeping export-controlled information from being transmitted in the clear to the Internet; restricting web requests that are not from the internal web proxy server; and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see CA-3). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only); verifying write permissions before accepting information from another security or privacy domain or connected system; employing hardware mechanisms to enforce one-way information flows; and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and security or privacy labels. -Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. This control also applies to control plane traffic (e.g., routing and DNS).

- - - Object Security and Privacy Attributes - - - - - - - - - - AC-4(1) - AC-04(01) - -

Use associated with to enforce as a basis for flow control decisions.

- - -

Information flow enforcement mechanisms compare security and privacy attributes associated with information (i.e., data content and structure) and source and destination objects and respond appropriately when the enforcement mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. A dataset of personally identifiable information may be tagged with restrictions against combining with other types of datasets, and therefore, would not be allowed to flow to the restricted dataset. Security and privacy attributes can also include source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security or privacy attributes can be used, for example, to control the release of certain types of information.

- - - - Processing Domains - - - - AC-4(2) - AC-04(02) - SC-39 - -

Use protected processing domains to enforce as a basis for flow control decisions.

- - -

Protected processing domains within systems are processing spaces that have controlled interactions with other processing spaces, enabling control of information flows between these spaces and to/from information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (i.e., determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.

- - - - Dynamic Information Flow Control - - - - AC-4(3) - AC-04(03) - SI-4 - -

Enforce .

- - -

Organizational policies regarding dynamic information flow control include allowing or disallowing information flows based on changing conditions or mission or operational considerations. Changing conditions include changes in risk tolerance due to changes in the immediacy of mission or business needs, changes in the threat environment, and detection of potentially harmful or adverse events.

- - - - Flow Control of Encrypted Information - - - - - - - - - - AC-4(4) - AC-04(04) - SI-4 - -

Prevent encrypted information from bypassing by .

- - -

Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms.

- - - - Embedded Data Types - - - - AC-4(5) - AC-04(05) - -

Enforce on embedding data types within other data types.

- - -

Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes inserting files as objects within other files and using compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.

- - - - Metadata - - - - AC-4(6) - AC-04(06) - AC-16 - SI-7 - -

Enforce information flow control based on .

- - -

Metadata is information that describes the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data content. Enforcement of allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).

- - - - One-way Flow Mechanisms - AC-4(7) - AC-04(07) - -

Enforce one-way information flows through hardware-based flow control mechanisms.

- - -

One-way flow mechanisms may also be referred to as a unidirectional network, unidirectional security gateway, or data diode. One-way flow mechanisms can be used to prevent data from being exported from a higher impact or classified domain or system, while permitting data from a lower impact or unclassified domain or system to be imported.

- - - - Security and Privacy Policy Filters - - - - - - - - - - - - - AC-4(8) - AC-04(08) - - - (a) -

Enforce information flow control using as a basis for flow control decisions for ; and

- - - (b) -

- data after a filter processing failure in accordance with .

- - - -

Organization-defined security or privacy policy filters can address data structures and content. For example, security or privacy policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security or privacy policy filters for data content can check for specific words enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and textual objects that are based on written or printed languages. Organizations can implement more than one security or privacy policy filter to meet information flow control objectives.

- - - - Human Reviews - - - - - - - AC-4(9) - AC-04(09) - -

Enforce the use of human reviews for under the following conditions: .

- - -

Organizations define security or privacy policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security or privacy policy filtering. Human reviews may also be employed as deemed necessary by organizations.

- - - - Enable and Disable Security or Privacy Policy Filters - - - - - - - AC-4(10) - AC-04(10) - -

Provide the capability for privileged administrators to enable and disable under the following conditions: .

- - -

For example, as allowed by the system authorization, administrators can enable security or privacy policy filters to accommodate approved data types. Administrators also have the capability to select the filters that are executed on a specific data flow based on the type of data that is being transferred, the source and destination security or privacy domains, and other security or privacy relevant features, as needed.

- - - - Configuration of Security or Privacy Policy Filters - - - - AC-4(11) - AC-04(11) - -

Provide the capability for privileged administrators to configure to support different security or privacy policies.

- - -

Documentation contains detailed information for configuring security or privacy policy filters. For example, administrators can configure security or privacy policy filters to include the list of “dirty words” that security or privacy policy mechanisms check in accordance with the definitions provided by organizations.

- - - - Data Type Identifiers - - - - AC-4(12) - AC-04(12) - -

When transferring information between different security or privacy domains, use to validate data essential for information flow decisions.

- - -

Data type identifiers include filenames, file types, file signatures or tokens, and multiple internal file signatures or tokens. Systems allow transfer of data only if compliant with data type format specifications. Identification and validation of data types is based on defined specifications associated with each allowed data format. The filename and number alone are not used for data type identification. Content is validated syntactically and semantically against its specification to ensure it is the proper data type.

- - - - Decomposition into Policy-relevant Subcomponents - - - - AC-4(13) - AC-04(13) - -

When transferring information between different security or privacy domains, decompose information into for submission to policy enforcement mechanisms.

- - -

Decomposing information into policy-relevant subcomponents prior to information transfer facilitates policy decisions on source, destination, certificates, classification, attachments, and other security- or privacy-related component differentiators. Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security or privacy domains.

- - - - Security or Privacy Policy Filter Constraints - - - - AC-4(14) - AC-04(14) - -

When transferring information between different security or privacy domains, implement requiring fully enumerated formats that restrict data structure and content.

- - -

Data structure and content restrictions reduce the range of potential malicious or unsanctioned content in cross-domain transactions. Security or privacy policy filters that restrict data structures include restricting file sizes and field lengths. Data content policy filters include encoding formats for character sets; restricting character data fields to only contain alpha-numeric characters; prohibiting special characters; and validating schema structures.

- - - - Detection of Unsanctioned Information - - - - - - - AC-4(15) - AC-04(15) - SI-3 - -

When transferring information between different security or privacy domains, examine the information for the presence of and prohibit the transfer of such information in accordance with the .

- - -

Unsanctioned information includes malicious code, dirty words, sensitive information inappropriate for release from the source network, or executable code that could disrupt or harm the services or systems on the destination network.

- - - - Information Transfers on Interconnected Systems - AC-4(16) - Withdrawn - AC-04(16) - AC-4 - - - Domain Authentication - - - - AC-4(17) - AC-04(17) - IA-2 - IA-3 - IA-9 - -

Uniquely identify and authenticate source and destination points by for information transfer.

- - -

Attribution is a critical component of a security and privacy concept of operations. The ability to identify source and destination points for information flowing within systems, allows the forensic reconstruction of events, and encourages policy compliance by attributing policy violations to specific organizations or individuals. Successful domain authentication requires that system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information. Attribution also allows organizations to better maintain the lineage of personally identifiable information processing as it flows through systems and can facilitate consent tracking, as well as correction, deletion, or access requests from individuals.

- - - - Security Attribute Binding - AC-4(18) - Withdrawn - AC-04(18) - AC-16 - - - Validation of Metadata - - - - AC-4(19) - AC-04(19) - -

When transferring information between different security or privacy domains, implement on metadata.

- - -

All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload.

- - - - Approved Solutions - - - - - - - AC-4(20) - AC-04(20) - -

Employ to control the flow of across security or privacy domains.

- - -

Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The NSA National Cross Domain Strategy and Management Office provides a baseline listing of approved cross-domain solutions.

- - - - Physical or Logical Separation of Information Flows - - - - - - - AC-4(21) - AC-04(21) - SC-32 - -

Separate information flows logically or physically using to accomplish .

- - -

Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security categories.

- - - - Access Only - AC-4(22) - AC-04(22) - -

Provide access from a single device to computing platforms, applications, or data residing in multiple different security domains, while preventing any information flow between the different security domains.

- - -

The system provides a capability for users to access each connected security domain without providing any mechanisms to allow transfer of data or information between the different security domains. An example of an access-only solution is a terminal that provides a user access to information with different security classifications while assuredly keeping the information separate.

- - - - Modify Non-releasable Information - - - - AC-4(23) - AC-04(23) - -

When transferring information between different security domains, modify non-releasable information by implementing .

- - -

Modifying non-releasable information can help prevent a data spill or attack when information is transferred across security domains. Modification actions include masking, permutation, alteration, removal, or redaction.

- - - - Internal Normalized Format - AC-4(24) - AC-04(24) - -

When transferring information between different security domains, parse incoming data into an internal normalized format and regenerate the data to be consistent with its intended specification.

- - -

Converting data into normalized forms is one of most of effective mechanisms to stop malicious attacks and large classes of data exfiltration.

- - - - Data Sanitization - - - - - - - AC-4(25) - AC-04(25) - -

When transferring information between different security domains, sanitize data to minimize in accordance with ].

- - -

Data sanitization is the process of irreversibly removing or destroying data stored on a memory device (e.g., hard drives, flash memory/SSDs, mobile devices, CDs, and DVDs) or in hard copy form.

- - - - Audit Filtering Actions - AC-4(26) - AC-04(26) - AU-2 - AU-3 - AU-12 - -

When transferring information between different security domains, record and audit content filtering actions and results for the information being filtered.

- - -

Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. Content filtering actions and results of filtering actions are recorded for individual messages to ensure the correct filter actions were applied. Content filter reports are used to assist in troubleshooting actions, for example, determining why message content was modified and/or why it failed the filtering process. Audit events are defined in AU-2. Audit records are generated in AU-12.

- - - - Redundant/independent Filtering Mechanisms - AC-4(27) - AC-04(27) - -

When transferring information between different security or privacy domains, implement content filtering solutions that provide redundant and independent filtering mechanisms for each data type.

- - -

Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. Redundant and independent content filtering eliminates a single point of failure filtering system. Independence is defined as implementation of a content filter that uses a different code base and supporting libraries (e.g., two JPEG filters using different vendors’ JPEG libraries) and multiple, independent system processes.

- - - - Linear Filter Pipelines - AC-4(28) - AC-04(28) - -

When transferring information between different security or privacy domains, implement a linear content filter pipeline that is enforced with discretionary and mandatory access controls.

- - -

Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined policy. The use of linear content filter pipelines ensures that filter processes are non-bypassable and always invoked. In general, the use of parallel filtering architectures for content filtering of a single data type introduces by-pass and non-invocation issues.

- - - - Filter Orchestration Engines - - - - AC-4(29) - AC-04(29) - -

When transferring information between different security or privacy domains, employ content filter orchestration engines to ensure that:

- - (a) -

Content filtering mechanisms successfully complete execution without errors; and

- - - (b) -

Content filtering actions occur in the correct order and comply with .

- - - -

Content filtering is the process of inspecting information as it traverses a cross domain solution and determines if the information meets a pre-defined security policy. An orchestration engine coordinates the sequencing of activities (manual and automated) in a content filtering process. Errors are defined as either anomalous actions or unexpected termination of the content filter process. This is not the same as a filter failing content due non-compliance with policy. Content filter reports are a commonly used mechanism to ensure expected filtering actions are completed successfully.

- - - - Filter Mechanisms Using Multiple Processes - AC-4(30) - AC-04(30) - -

When transferring information between different security or privacy domains, implement content filtering mechanisms using multiple processes.

- - -

The use of multiple processes to implement content filtering mechanisms reduces the likelihood of a single point of failure.

- - - - Failed Content Transfer Prevention - AC-4(31) - AC-04(31) - -

When transferring information between different security or privacy domains, prevent the transfer of failed content to the receiving domain.

- - -

Content that failed filtering checks, can corrupt the system if transferred to the receiving domain.

- - - - Process Requirements for Information Transfer - AC-4(32) - AC-04(32) - -

When transferring information between different security or privacy domains, the process that transfers information between filter pipelines:

- - (a) -

Does not filter message content;

- - - (b) -

Validates filtering metadata;

- - - (c) -

Ensures the content associated with the filtering metadata has successfully completed filtering; and

- - - (d) -

Transfers the content to the destination filter pipeline.

- - - -

The processes transferring information between filter pipelines have minimum complexity and functionality to provide assurance that the processes operate correctly.

- - - - - Separation of Duties - - - - AC-5 - AC-05 - AC-2 - AC-3 - AC-6 - AU-9 - CM-5 - CM-11 - CP-9 - IA-2 - IA-5 - MA-3 - MA-5 - PS-2 - SA-8 - SA-17 - - - a. -

Identify and document ; and

- - - b. -

Define system access authorizations to support separation of duties.

- - - -

Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. This control is enforced through the account management activities in AC-2 and access control mechanisms in AC-3.

- - - - Least Privilege - AC-6 - AC-06 - AC-2 - AC-3 - AC-5 - AC-16 - CM-5 - CM-11 - PL-2 - PM-12 - SA-8 - SA-15 - SA-17 - SC-38 - -

Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.

- - -

Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary, to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems.

- - - Authorize Access to Security Functions - - - - - - - - - - AC-6(1) - AC-06(01) - AC-17 - AC-18 - AC-19 - AU-9 - PE-2 - -

Explicitly authorize access for to:

- - (a) -

- ; and

- - - (b) -

- .

- - - -

Security functions include establishing system accounts; configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Explicitly authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users.

- - - - Non-privileged Access for Nonsecurity Functions - - - - AC-6(2) - AC-06(02) - AC-17 - AC-18 - AC-19 - PL-4 - -

Require that users of system accounts (or roles) with access to , use non-privileged accounts or roles, when accessing nonsecurity functions.

- - -

Requiring use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

- - - - Network Access to Privileged Commands - - - - - - - AC-6(3) - AC-06(03) - AC-17 - AC-18 - AC-19 - -

Authorize network access to only for and document the rationale for such access in the security plan for the system.

- - -

Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

- - - - Separate Processing Domains - AC-6(4) - AC-06(04) - AC-4 - SC-2 - SC-3 - SC-30 - SC-32 - SC-39 - -

Provide separate processing domains to enable finer-grained allocation of user privileges.

- - -

Providing separate processing domains for finer-grained allocation of user privileges includes using virtualization techniques to permit additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying physical machine; implementing separate physical domains, and employing hardware or software domain separation mechanisms.

- - - - Privileged Accounts - - - - AC-6(5) - AC-06(05) - IA-2 - MA-3 - MA-4 - -

Restrict privileged accounts on the system to .

- - -

Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.

- - - - Privileged Access by Non-organizational Users - AC-6(6) - AC-06(06) - AC-18 - AC-19 - IA-2 - IA-8 - -

Prohibit privileged access to the system by non-organizational users.

- - -

An organizational user is an employee or an individual considered by the organization to have the equivalent status of an employee. Organizational users include contractors, guest researchers, or individuals detailed from other organizations. A non-organizational user is a user who is not an organizational user. Policy and procedures for granting equivalent status of employees to individuals include a need-to-know, citizenship, and the relationship to the organization.

- - - - Review of User Privileges - - - - - - - AC-6(7) - AC-06(07) - CA-7 - - - (a) -

Review the privileges assigned to to validate the need for such privileges; and

- - - (b) -

Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.

- - - -

The need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.

- - - - Privilege Levels for Code Execution - - - - AC-6(8) - AC-06(08) - -

Prevent the following software from executing at higher privilege levels than users executing the software: .

- - -

In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned.

- - - - Log Use of Privileged Functions - AC-6(9) - AC-06(09) - AU-2 - AU-3 - AU-12 - -

Audit the execution of privileged functions.

- - -

The misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Capturing the use of privileged functions in audit logs is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat.

- - - - Prohibit Non-privileged Users from Executing Privileged Functions - AC-6(10) - AC-06(10) - -

Prevent non-privileged users from executing privileged functions.

- - -

Privileged functions include disabling, circumventing, or altering implemented security or privacy controls; establishing system accounts; performing system integrity checks; and administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. This control enhancement is enforced by AC-3.

- - - - - Unsuccessful Logon Attempts - - - - - - - - - - - - - - - - - - - AC-7 - AC-07 - [SP 800-63-3] - [SP 800-124] - AC-2 - AC-9 - AU-2 - AU-6 - IA-5 - - - a. -

Enforce a limit of consecutive invalid logon attempts by a user during a ; and

- - - b. -

Automatically when the maximum number of unsuccessful attempts is exceeded.

- - - -

This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password; invoking a lockdown mode with limited user capabilities (instead of full lockout); or comparing the IP address to a list of known IP addresses for the user and then allowing additional logon attempts if the attempts are from a known IP address. -Techniques to help prevent brute force attacks in lieu of an automatic system lockout or the execution of delay algorithms support the objective of availability while still protecting against such attacks. Techniques that are effective when used in combination include prompting the user to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded; allowing users to logon only from specified IP addresses; requiring a CAPTCHA to prevent automated attacks; or applying user profiles such as location, time of day, IP address, device, or MAC address. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need.

- - - Automatic Account Lock - AC-7(1) - Withdrawn - AC-07(01) - AC-7 - - - Purge or Wipe Mobile Device - - - - - - - - - - AC-7(2) - AC-07(02) - AC-19 - MP-5 - MP-6 - -

Purge or wipe information from based on after consecutive, unsuccessful device logon attempts.

- - -

A mobile device is a computing device that has a small form factor such that it can be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Purging or wiping the device applies only to mobile devices for which the organization-defined number of unsuccessful logons occurs. The logon is to the mobile device, not to any one account on the device. Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.

- - - - Biometric Attempt Limiting - - - - AC-7(3) - AC-07(03) - IA-3 - -

Limit the number of unsuccessful biometric logon attempts to .

- - -

Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts and fall back mechanisms for users based on organizationally-defined factors.

- - - - Use of Alternate Factor - - - - - - - - - - AC-7(4) - AC-07(04) - IA-3 - - - (a) -

Allow the use of that are different from the primary authentication factors after the number of organization-defined consecutive invalid logon attempts have been exceeded; and

- - - (b) -

Enforce a limit of consecutive invalid logon attempts through use of the alternative factors by a user during a .

- - - -

The use of alternate authentication factors supports the objective of availability and allows a user that has inadvertently been locked out to use additional authentication factors to bypass the lockout.

- - - - - System Use Notification - - - - - - - AC-8 - AC-08 - AC-14 - PL-4 - SI-4 - - - a. -

Display to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:

- - 1. -

Users are accessing a U.S. Government system;

- - - 2. -

System usage may be monitored, recorded, and subject to audit;

- - - 3. -

Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and

- - - 4. -

Use of the system indicates consent to monitoring and recording;

- - - - b. -

Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and

- - - c. -

For publicly accessible systems:

- - 1. -

Display system use information , before granting further access to the publicly accessible system;

- - - 2. -

Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

- - - 3. -

Include a description of the authorized uses of the system.

- - - - -

System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.

- - - - Previous Logon Notification - AC-9 - AC-09 - AC-7 - PL-4 - -

Notify the user, upon successful logon to the system, of the date and time of the last logon.

- - -

Previous logon notification is applicable to system access via human user interfaces and access to systems that occurs in other types of architectures. Information about the last successful logon allows the user to recognize if the date and time provided is not consistent with the user’s last access.

- - - Unsuccessful Logons - AC-9(1) - AC-09(01) - -

Notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon.

- - -

Information about the number of unsuccessful logon attempts since the last successful logon allows the user to recognize if the number of unsuccessful logon attempts is consistent with the user’s actual logon attempts.

- - - - Successful and Unsuccessful Logons - - - - - - - AC-9(2) - AC-09(02) - -

Notify the user, upon successful logon, of the number of during .

- - -

Information about the number of successful and unsuccessful logon attempts within a specified time period allows the user to recognize if the number and type of logon attempts is consistent with the user’s actual logon attempts.

- - - - Notification of Account Changes - - - - - - - AC-9(3) - AC-09(03) - -

Notify the user, upon successful logon, of changes to during .

- - -

Information about changes to security-related account characteristics within a specified time period allows users to recognize if changes were made without their knowledge.

- - - - Additional Logon Information - - - - AC-9(4) - AC-09(04) - -

Notify the user, upon successful logon, of the following additional information: .

- - -

Organizations can specify additional information to be provided to users upon logon, including the location of last logon. User location is defined as that information which can be determined by systems, for example, Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers.

- - - - - Concurrent Session Control - - - - - - - AC-10 - AC-10 - SC-23 - -

Limit the number of concurrent sessions for each to .

- - -

Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for system accounts and does not address concurrent sessions by single users via multiple system accounts.

- - - - Device Lock - - - - - - - AC-11 - AC-11 - AC-2 - AC-7 - IA-11 - PL-4 - - - a. -

Prevent further access to the system by ; and

- - - b. -

Retain the device lock until the user reestablishes access using established identification and authentication procedures.

- - - -

Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User initiated device locking is behavior or policy-based and as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, for example, if organizations require users to log out at the end of workdays.

- - - Pattern-hiding Displays - AC-11(1) - AC-11(01) - -

Conceal, via the device lock, information previously visible on the display with a publicly viewable image.

- - -

The pattern-hiding display can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the caveat that controlled unclassified information is not displayed.

- - - - - Session Termination - - - - AC-12 - AC-12 - MA-4 - SC-10 - SC-23 - -

Automatically terminate a user session after .

- - -

Session termination addresses the termination of user-initiated logical sessions (in contrast to SC-10, which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use.

- - - User-initiated Logouts - - - - AC-12(1) - AC-12(01) - -

Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to .

- - -

Information resources to which users gain access via authentication include local workstations, databases, and password-protected websites or web-based services.

- - - - Termination Message - AC-12(2) - AC-12(02) - -

Display an explicit logout message to users indicating the termination of authenticated communications sessions.

- - -

Logout messages for web access can be displayed after authenticated sessions have been terminated. However, for certain types of sessions, including file transfer protocol (FTP) sessions, systems typically send logout messages as final messages prior to terminating sessions.

- - - - Timeout Warning Message - - - - AC-12(3) - AC-12(03) - -

Display an explicit message to users indicating that the session will end in .

- - -

To increase usability, notify users of pending session termination and prompt users to continue the session.

- - - - - Supervision and Review — Access Control - AC-13 - Withdrawn - AC-13 - AC-2 - AU-6 - - - Permitted Actions Without Identification or Authentication - - - - AC-14 - AC-14 - AC-8 - IA-2 - PL-2 - - - a. -

Identify that can be performed on the system without identification or authentication consistent with organizational missions and business functions; and

- - - b. -

Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication.

- - - -

Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication is not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems; when individuals use mobile phones to receive calls; or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication and therefore, the value for the assignment can be none.

- - - Necessary Uses - AC-14(1) - Withdrawn - AC-14(01) - AC-14 - - - - Automated Marking - AC-15 - Withdrawn - AC-15 - MP-3 - - - Security and Privacy Attributes - - - - - - - - - - - - - - - - - - - - - - AC-16 - AC-16 - [OMB A-130] - [FIPS 140-3] - [FIPS 186-4] - [SP 800-162] - [SP 800-178] - AC-3 - AC-4 - AC-6 - AC-21 - AC-25 - AU-2 - AU-10 - MP-3 - PE-22 - PT-2 - PT-5 - SC-11 - SC-16 - SI-12 - - - a. -

Provide the means to associate having with information in storage, in process, and/or in transmission;

- - - b. -

Ensure that the attribute associations are made and retained with the information;

- - - c. -

Establish the permitted for ;

- - - d. -

Determine the permitted for each of the established attributes;

- - - e. -

Audit changes to attributes; and

- - - f. -

Review for applicability .

- - - -

Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. Privacy attributes, which may be used independently, or in conjunction with security attributes, represent the basic properties or characteristics of active or passive entities with respect to the management of personally identifiable information. Attributes can be either explicitly or implicitly associated with the information contained in organizational systems or system components. -Attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of attributes to subjects and objects by a system is referred to as binding and is inclusive of setting the attribute value and the attribute type. Attributes, when bound to data or information, permit the enforcement of security and privacy policies for access control and information flow control, including data retention limits, permitted uses of personally identifiable information, and identification of personal information within data objects. Such enforcement occurs through organizational processes or system functions or mechanisms. The binding techniques implemented by systems affect the strength of attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations. The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. -Organizations can define the types of attributes needed for systems to support missions or business functions. There are many values that can be assigned to a security attribute. Release markings include US only, NATO (North Atlantic Treaty Organization), or NOFORN (not releasable to foreign nationals). By specifying the permitted attribute ranges and values, organizations ensure that attribute values are meaningful and relevant. Labeling refers to the association of attributes with the subjects and objects represented by the internal data structures within systems. This facilitates system-based enforcement of information security and privacy policies. Labels include classification of information in accordance with legal and compliance requirements; access authorizations; nationality; data life cycle protection (i.e., encryption and data expiration); personally identifiable information processing permissions; individual consent to personally identifiable information processing; and affiliation as a contractor. Conversely, marking refers to the association of attributes with objects in a human-readable form. Marking enables manual, procedural, or process-based enforcement of information security and privacy policies. Attribute types include classification level for objects and clearance (access authorization) level for subjects. An attribute value for both attribute types is Top Secret.

- - - Dynamic Attribute Association - - - - - - - AC-16(1) - AC-16(01) - -

Dynamically associate security and privacy attributes with in accordance with the following security and privacy policies as information is created and combined: .

- - -

Dynamic association of attributes is appropriate whenever the security or privacy characteristics of information change over time. Attributes may change due to information aggregation issues (i.e., characteristics of individual data elements are different from the combined elements); changes in individual access authorizations (i.e., privileges); changes in the security category of information; or changes in security or privacy policies. Attributes may also change situationally.

- - - - Attribute Value Changes by Authorized Individuals - AC-16(2) - AC-16(02) - -

Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes.

- - -

The content or assigned values of attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals.

- - - - Maintenance of Attribute Associations by System - - - - - - - AC-16(3) - AC-16(03) - -

Maintain the association and integrity of to .

- - -

Maintaining the association and integrity of security and privacy attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. The integrity of specific items, such as security configuration files, may be maintained through the use of an integrity monitoring mechanism that detects anomalies and changes that deviate from “known good” baselines. Automated policy actions include retention date expirations, access control decisions, information flow control decisions, and information disclosure decisions.

- - - - Association of Attributes by Authorized Individuals - - - - - - - AC-16(4) - AC-16(04) - -

Provide the capability to associate with by authorized individuals (or processes acting on behalf of individuals).

- - -

Systems in general, provide the capability for privileged users to assign security and privacy attributes to system-defined subjects (e.g., users) and objects (e.g., directories, files, and ports). Some systems provide additional capability for general users to assign security and privacy attributes to additional objects (e.g., files, emails). The association of attributes by authorized individuals is described in the design documentation. The support provided by systems can include prompting users to select security and privacy attributes to be associated with information objects; employing automated mechanisms to categorize information with attributes based on defined policies; or ensuring that the combination of the security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of attributes when defining auditable events.

- - - - Attribute Displays for Output Devices - - - - - - - AC-16(5) - AC-16(05) - -

Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify using .

- - -

System outputs include printed pages, screens, or equivalent. System output devices include printers, notebook computers, video displays, tablets, and smartphones. To mitigate the risk of unauthorized exposure of selected information, for example, shoulder surfing, the outputs display full attribute values when unmasked by the subscriber.

- - - - Maintenance of Attribute Association by Organization - - - - - - - - - - AC-16(6) - AC-16(06) - -

Require personnel to associate and maintain the association of with in accordance with .

- - -

This control enhancement requires individual users (as opposed to the system) to maintain associations of defined security and privacy attributes with subjects and objects.

- - - - Consistent Attribute Interpretation - AC-16(7) - AC-16(07) - -

Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components.

- - -

To enforce security and privacy policies across multiple system components in distributed systems, organizations provide a consistent interpretation of security and privacy attributes employed in access enforcement and flow enforcement decisions. Organizations can establish agreements and processes to help ensure that distributed system components implement attributes with consistent interpretations in automated access enforcement and flow enforcement actions.

- - - - Association Techniques and Technologies - - - - - - - AC-16(8) - AC-16(08) - -

Implement with in associating security and privacy attributes to information.

- - -

The association of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes to information (i.e., binding) can be accomplished with technologies and techniques providing different levels of assurance. For example, systems can bind attributes to information cryptographically using digital signatures supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).

- - - - Attribute Reassignment — Regrading Mechanisms - - - - AC-16(9) - AC-16(09) - -

Change security and privacy attributes associated with information only via regrading mechanisms validated using .

- - -

A regrading mechanism is a trusted process authorized to re-classify and re-label data in accordance with a defined policy exception. Validated regrading mechanisms are used by organizations to provide the requisite levels of assurance for attribute reassignment activities. The validation is facilitated by ensuring that regrading mechanisms are single purpose and of limited function. Since security and privacy attribute changes can directly affect policy enforcement actions, implementing trustworthy regrading mechanisms is necessary to help ensure that such mechanisms perform in a consistent and correct mode of operation.

- - - - Attribute Configuration by Authorized Individuals - AC-16(10) - AC-16(10) - -

Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects.

- - -

The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals only.

- - - - - Remote Access - AC-17 - AC-17 - [SP 800-46] - [SP 800-77] - [SP 800-113] - [SP 800-114] - [SP 800-121] - [IR 7966] - AC-2 - AC-3 - AC-4 - AC-18 - AC-19 - AC-20 - CA-3 - CM-10 - IA-2 - IA-3 - IA-8 - MA-4 - PE-17 - PL-2 - PL-4 - SC-10 - SI-4 - - - a. -

Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and

- - - b. -

Authorize each type of remote access to the system prior to allowing such connections.

- - - -

Remote access is access to organizational systems (or processes acting on behalf of users) communicating through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote access is addressed via AC-3.

- - - Monitoring and Control - AC-17(1) - AC-17(01) - AU-2 - AU-6 - AU-12 - AU-14 - -

Employ automated mechanisms to monitor and control remote access methods.

- - -

Monitoring and control of remote access methods allows organizations to detect attacks and ensure compliance with remote access policies by auditing connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by AU-2. Audit events are defined in AU-2a.

- - - - Protection of Confidentiality and Integrity Using Encryption - AC-17(2) - AC-17(02) - SC-8 - SC-12 - SC-13 - -

Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

- - -

Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions.

- - - - Managed Access Control Points - AC-17(3) - AC-17(03) - SC-7 - -

Route remote accesses through authorized and managed network access control points.

- - -

Organizations consider the Trusted Internet Connections initiative [DHS TIC] requirements for external network connections since limiting the number of access control points for remote accesses reduces attack surface.

- - - - Privileged Commands and Access - - - - AC-17(4) - AC-17(04) - AC-6 - SC-12 - SC-13 - - - (a) -

Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: ; and

- - - (b) -

Document the rationale for remote access in the security plan for the system.

- - - -

Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability.

- - - - Monitoring for Unauthorized Connections - AC-17(5) - Withdrawn - AC-17(05) - SI-4 - - - Protection of Mechanism Information - AC-17(6) - AC-17(06) - AT-2 - AT-3 - PS-6 - -

Protect information about remote access mechanisms from unauthorized use and disclosure.

- - -

Remote access to organizational information by nonorganizational entities can increase the risk of unauthorized use and disclosure about remote access mechanisms. The organization considers including remote access requirements in the information exchange agreements with other organizations, as applicable. Remote access requirements can also be included in rules of behavior (see PL-4) and access agreements (see PS-6).

- - - - Additional Protection for Security Function Access - AC-17(7) - Withdrawn - AC-17(07) - AC-3(10) - - - Disable Nonsecure Network Protocols - AC-17(8) - Withdrawn - AC-17(08) - CM-7 - - - Disconnect or Disable Access - - - - AC-17(9) - AC-17(09) - -

Provide the capability to disconnect or disable remote access to the system within .

- - -

This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the system or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems.

- - - - Authenticate Remote Commands - - - - - - - AC-17(10) - AC-17(10) - SC-12 - SC-13 - SC-23 - -

Implement to authenticate .

- - -

Authenticating remote commands protects against unauthorized commands and the replay of authorized commands. The capability to authenticate remote commands is important for remote systems whose loss, malfunction, misdirection, or exploitation would have immediate or serious consequences, including injury or death; property damage; loss of high value assets; failure of missions or business functions; or compromise of classified or controlled unclassified information. Authentication controls for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be used, for example, to authenticate remote commands.

- - - - - Wireless Access - AC-18 - AC-18 - [SP 800-94] - [SP 800-97] - AC-2 - AC-3 - AC-17 - AC-19 - CA-9 - CM-7 - IA-2 - IA-3 - IA-8 - PL-4 - SC-40 - SC-43 - SI-4 - - - a. -

Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and

- - - b. -

Authorize each type of wireless access to the system prior to allowing such connections.

- - - -

Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide credential protection and mutual authentication.

- - - Authentication and Encryption - - - - AC-18(1) - AC-18(01) - SC-8 - SC-13 - -

Protect wireless access to the system using authentication of and encryption.

- - -

Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices with encryption can reduce susceptibility to threats by adversaries involving wireless technologies.

- - - - Monitoring Unauthorized Connections - AC-18(2) - Withdrawn - AC-18(02) - SI-4 - - - Disable Wireless Networking - AC-18(3) - AC-18(03) - -

Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment.

- - -

Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies.

- - - - Restrict Configurations by Users - AC-18(4) - AC-18(04) - SC-7 - SC-15 - -

Identify and explicitly authorize users allowed to independently configure wireless networking capabilities.

- - -

Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational systems.

- - - - Antennas and Transmission Power Levels - AC-18(5) - AC-18(05) - PE-19 - -

Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.

- - -

Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization; employing measures such as emissions security to control wireless emanations; and using directional or beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area.

- - - - - Access Control for Mobile Devices - AC-19 - AC-19 - [SP 800-114] - [SP 800-124] - AC-3 - AC-4 - AC-7 - AC-11 - AC-17 - AC-18 - AC-20 - CA-9 - CM-2 - CM-6 - IA-2 - IA-3 - MP-2 - MP-4 - MP-5 - MP-7 - PL-4 - SC-7 - SC-34 - SC-43 - SI-3 - SI-4 - - - a. -

Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and

- - - b. -

Authorize the connection of mobile devices to organizational systems.

- - - -

A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending upon the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems. -Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware. -Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to the organizational network and impose a set of usage restrictions while a system owner may withhold authorization for mobile device connection to specific applications or may impose additional usage restrictions before allowing mobile device connections to a system. The need to provide adequate security for mobile devices goes beyond the requirements in this control. Many controls for mobile devices are reflected in other controls allocated to the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some overlap by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.

- - - Use of Writable and Portable Storage Devices - AC-19(1) - Withdrawn - AC-19(01) - MP-7 - - - Use of Personally Owned Portable Storage Devices - AC-19(2) - Withdrawn - AC-19(02) - MP-7 - - - Use of Portable Storage Devices with No Identifiable Owner - AC-19(3) - Withdrawn - AC-19(03) - MP-7 - - - Restrictions for Classified Information - - - - - - - AC-19(4) - AC-19(04) - CM-8 - IR-4 - - - (a) -

Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and

- - - (b) -

Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:

- - (1) -

Connection of unclassified mobile devices to classified systems is prohibited;

- - - (2) -

Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;

- - - (3) -

Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and

- - - (4) -

Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by , and if classified information is found, the incident handling policy is followed.

- - - - (c) -

Restrict the connection of classified mobile devices to classified systems in accordance with .

- - - -

None.

- - - - Full Device and Container-based Encryption - - - - - - - AC-19(5) - AC-19(05) - SC-13 - SC-28 - -

Employ to protect the confidentiality and integrity of information on .

- - -

Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields.

- - - - - Use of External Systems - - - - - - - - - - AC-20 - AC-20 - [FIPS 199] - [SP 800-171] - [SP 800-171B] - AC-2 - AC-3 - AC-17 - AC-19 - CA-3 - PL-2 - PL-4 - SA-9 - SC-7 - -

Establish , consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:

- - a. -

Access the system from external systems; and

- - - b. -

Process, store, or transmit organization-controlled information using external systems.

- - - -

External systems are systems that are used by, but not a part of, organizational systems and for which the organization has no direct control over the implementation of required security and privacy controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. External systems also include systems owned or operated by other components within the same organization, and systems within the organization with different authorization boundaries. -For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components, or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. -This control does not apply to external systems used to access public interfaces to organizational systems. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: the specific types of applications that can be accessed on organizational systems from external systems; and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

- - - Limits on Authorized Use - AC-20(1) - AC-20(01) - CA-2 - -

Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:

- - (a) -

Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or

- - - (b) -

Retention of approved system connection or processing agreements with the organizational entity hosting the external system.

- - - -

Limits on authorized use recognizes the circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.

- - - - Portable Storage Devices — Restricted Use - - - - AC-20(2) - AC-20(02) - MP-7 - SC-41 - -

Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using .

- - -

Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used.

- - - - Non-organizationally Owned Systems — Restricted Use - - - - AC-20(3) - AC-20(03) - -

Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using .

- - -

Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use (see AC-20(6)). In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include requiring the implementation of approved controls prior to authorizing connection of non-organizationally owned systems and components; limiting access to types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or system components provisioned by the organization; and agreeing to the terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding legal issues associated with using personally owned devices, including requirements for conducting forensic analyses during investigations after an incident.

- - - - Network Accessible Storage Devices - - - - AC-20(4) - AC-20(04) - -

Prohibit the use of in external systems.

- - -

Network accessible storage devices in external systems include online storage devices in public, hybrid, or community cloud-based systems.

- - - - Portable Storage Devices — Prohibited Use - AC-20(5) - AC-20(05) - MP-7 - SC-41 - -

Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems.

- - -

Limits on the use of organization-controlled portable storage devices in external systems include a complete prohibition of the use of such devices.

- - - - Non-organizationally Owned Systems — Prohibited Use - AC-20(6) - AC-20(06) - -

Prohibit the use of non-organizationally owned systems or system components to process, store, or transmit organizational information.

- - -

Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, the use of such systems or system components may be allowed but restricted in some way (see AC-20(4)).

- - - - - Information Sharing - - - - - - - AC-21 - AC-21 - [OMB A-130] - [SP 800-150] - [IR 8062] - AC-3 - AC-4 - AC-16 - PT-2 - PT-8 - RA-3 - SC-15 - - - a. -

Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for ; and

- - - b. -

Employ to assist users in making information sharing and collaboration decisions.

- - - -

Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA).

- - - Automated Decision Support - - - - AC-21(1) - AC-21(01) - -

Employ to enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

- - -

Automated mechanisms are used to enforce information sharing decisions.

- - - - Information Search and Retrieval - - - - AC-21(2) - AC-21(02) - -

Implement information search and retrieval services that enforce .

- - -

Information search and retrieval services identify information system resources relevant to an information need.

- - - - - Publicly Accessible Content - - - - AC-22 - AC-22 - [PRIVACT] - AC-3 - AT-2 - AT-3 - AU-13 - - - a. -

Designate individuals authorized to make information publicly accessible;

- - - b. -

Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

- - - c. -

Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and

- - - d. -

Review the content on the publicly accessible system for nonpublic information and remove such information, if discovered.

- - - -

In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the [PRIVACT] and proprietary information. This control addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, this control addresses the management of the individuals who make such information publicly accessible.

- - - - Data Mining Protection - - - - - - - AC-23 - AC-23 - [EO 13587] - PM-12 - PT-2 - -

Employ for to detect and protect against unauthorized data mining.

- - -

Data mining is an analytical process that attempts to find correlations or patterns in large data sets for the purpose of data or knowledge discovery. Data storage objects include database records and database fields. Sensitive information can be extracted from data mining operations. When information is personally identifiable information, it may lead to unanticipated revelations about individuals and give rise to privacy risks. Prior to performing data mining activities, organizations determine whether such activities are authorized. Organizations may be subject to applicable laws, executive orders, directives, regulations, or policies that address data mining requirements. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements. -Data mining prevention and detection techniques include limiting the number and the frequency of database queries to increase the work factor needed to determine the contents of such databases; limiting types of responses provided to database queries; applying differential privacy techniques or homomorphic encryption; and notifying personnel when atypical database queries or accesses occur. Data mining protection focuses on protecting information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is available as open source information residing on external sites, for example, through social networking or social media websites. -[EO 13587] requires the establishment of an insider threat program for deterring, detecting, and mitigating insider threats, including the safeguarding of sensitive information from exploitation, compromise, or other unauthorized disclosure. This control requires organizations to identify appropriate techniques to prevent and detect unnecessary or unauthorized data mining, which can be used by an insider to collect organizational information for the purpose of exfiltration.

- - - - Access Control Decisions - - - - - - - AC-24 - AC-24 - [SP 800-162] - [SP 800-178] - AC-2 - AC-3 - -

- to ensure are applied to each access request prior to access enforcement.

- - -

Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required, and it is not always an optimal implementation choice. For some architectures and distributed systems, different entities may perform access control decisions and access enforcement.

- - - Transmit Access Authorization Information - - - - - - - - - - AC-24(1) - AC-24(01) - AU-10 - -

Transmit using to that enforce access control decisions.

- - -

Authorization processes and access control decisions may occur in separate parts of systems or in separate systems. In such instances, authorization information is transmitted securely (e.g., using cryptographic mechanisms) so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security and privacy attributes. This is because in distributed systems, there are various access control decisions that need to be made and different entities make these decisions in a serial fashion, each requiring those attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission.

- - - - No User or Process Identity - - - - AC-24(2) - AC-24(02) - -

Enforce access control decisions based on that do not include the identity of the user or process acting on behalf of the user.

- - -

In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish. MAC, RBAC, ABAC, and label-based control policies, for example, might not include user identity as an attribute.

- - - - - Reference Monitor - - - - AC-25 - AC-25 - AC-3 - AC-16 - SA-8 - SA-17 - SC-3 - SC-11 - SC-39 - SI-13 - -

Implement a reference monitor for that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

- - -

A reference monitor is a set of design requirements on a reference validation mechanism that as key component of an operating system, enforces an access control policy over all subjects and objects. A reference validation mechanism is always invoked (i.e., complete mediation); tamperproof; and small enough to be subject to analysis and tests, the completeness of which can be assured (i.e., verifiable). Information is represented internally within systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are associated with data structures such as records, buffers, communications ports, tables, files, and inter-process pipes. Reference monitors enforce access control policies that restrict access to objects based on the identity of subjects or groups to which the subjects belong. The system enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents determined adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect any weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.

- - - - - Awareness and Training - - Policy and Procedures - - - - - - - - - - - - - - - - AT-1 - AT-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-50] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- awareness and training policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and

- - - c. -

Review and update the current awareness and training:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the AT family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Awareness Training - - - - - - - AT-2 - AT-02 - [OMB A-130] - [SP 800-50] - [SP 800-160 v2] - AC-3 - AC-17 - AC-22 - AT-3 - AT-4 - CP-3 - IA-4 - IR-2 - IR-7 - IR-9 - PL-4 - PM-13 - PM-21 - PS-7 - PT-2 - SA-8 - SA-16 - - - a. -

Provide security and privacy awareness training to system users (including managers, senior executives, and contractors):

- - 1. -

As part of initial training for new users and thereafter; and

- - - 2. -

When required by system changes; and

- - - - b. -

Update awareness training .

- - - -

Organizations provide foundational and advanced levels of awareness training to system users, including measures to test the knowledge level of users. Organizations determine the content of awareness training based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy and actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information. -Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Awareness training after the initial training described in AT-2a.1, is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent awareness training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes; changes to organizational security and privacy policies; revised security and privacy expectations; or a subset of topics from the initial training. Updating awareness training on a regular basis helps to ensure the content remains relevant and effective.

- - - Practical Exercises - AT-2(1) - AT-02(01) - CA-2 - CA-7 - CP-4 - IR-3 - -

Provide practical exercises in awareness training that simulate events and incidents.

- - -

Practical exercises include no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments; or invoking, via spear phishing attacks, malicious web links.

- - - - Insider Threat - AT-2(2) - AT-02(02) - PM-12 - -

Provide awareness training on recognizing and reporting potential indicators of insider threat.

- - -

Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or sexual harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Awareness training includes how to communicate concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in behavior of team members, while training for employees may be focused on more general observations.

- - - - Social Engineering and Mining - AT-2(3) - AT-02(03) - -

Provide awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.

- - -

Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Awareness training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures.

- - - - Suspicious Communications and Anomalous System Behavior - - - - AT-2(4) - AT-02(04) - -

Provide awareness training on recognizing suspicious communications and anomalous behavior in organizational systems using .

- - -

A well-trained workforce provides another organizational control that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming into organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to suspicious email or web communications. For this process to work effectively, personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in systems can provide organizations with early warning for the presence of malicious code. Recognition of anomalous behavior by organizational personnel can supplement malicious code detection and protection tools and systems employed by organizations.

- - - - Breach - AT-2(5) - AT-02(05) - IR-1 - IR-2 - -

Provide awareness training on how to identify and respond to a breach, including the organization’s process for reporting a breach.

- - -

A breach is a type of incident that involves personally identifiable information. A breach results in the loss of control, compromise, unauthorized disclosure, unauthorized acquisition, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes. The awareness training emphasizes the obligation of individuals to report both confirmed and suspected breaches involving information in any medium or form, including paper, oral, and electronic. Awareness training includes tabletop exercises that simulate a breach.

- - - - Advanced Persistent Threat - AT-2(6) - AT-02(06) - -

Provide awareness training on the advanced persistent threat.

- - -

An effective way to detect advanced persistent threats (APT) and to preclude success attacks is to provide specific awareness training for individuals. Threat awareness training includes educating individuals on the various ways APTs can infiltrate into the organization (e.g., through websites, emails, advertisement pop-ups, articles, and social engineering). Effective training includes techniques for recognizing suspicious emails, use of removable systems in non-secure settings, and the potential targeting of individuals at home.

- - - - Cyber Threat Environment - AT-2(7) - AT-02(07) - RA-3 - - - (a) -

Provide awareness training on the cyber threat environment; and

- - - (b) -

Reflect current cyber threat information in system operations.

- - - -

Since threats continue to change over time, the threat awareness training by the organization is dynamic. Moreover, threat awareness training is not performed in isolation from the system operations that support organizational missions and business functions.

- - - - Training Feedback - - - - - - - AT-2(8) - AT-02(08) - -

Provide feedback on organizational training results to the following personnel : .

- - -

Training feedback includes awareness training results and role-based training results. Training results, especially failures of personnel in critical roles, can be indicative of a potentially serious problem. Therefore, it is important that senior managers are made aware of such situations so that they can take appropriate response actions. Training feedback supports the assessment and update of organization training described in AT-2b.

- - - - - Role-based Training - - - - - - - - - - AT-3 - AT-03 - [OMB A-130] - [SP 800-50] - AC-3 - AC-17 - AC-22 - AT-2 - AT-4 - CP-3 - IR-2 - IR-7 - IR-9 - IR-10 - PL-4 - PM-13 - PM-23 - PS-7 - SA-3 - SA-8 - SA-11 - SA-16 - SR-5 - SR-6 - SR-11 - - - a. -

Provide role-based security and privacy training to personnel with the following roles and responsibilities: :

- - 1. -

Before authorizing access to the system, information, or performing assigned duties, and thereafter; and

- - - 2. -

When required by system changes; and

- - - - b. -

Update role-based training .

- - - -

Organizations determine the content of training based on the assigned roles and responsibilities of individuals and the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; system and software developers; system, network, and database administrators; personnel conducting configuration management activities; personnel performing verification and validation activities; auditors; personnel having access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel having access to personally identifiable information. -Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain security within the context of organizational security and privacy programs. Role-based training also applies to contractors providing services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure the content remains relevant and effective.

- - - Environmental Controls - - - - - - - AT-3(1) - AT-03(01) - PE-1 - PE-11 - PE-13 - PE-14 - PE-15 - -

Provide with initial and training in the employment and operation of environmental controls.

- - -

Environmental controls include fire suppression and detection devices or systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature or humidity, heating, ventilation, and air conditioning, and power within the facility.

- - - - Physical Security Controls - - - - - - - AT-3(2) - AT-03(02) - PE-2 - PE-3 - PE-4 - -

Provide with initial and training in the employment and operation of physical security controls.

- - -

Physical security controls include physical access control devices, physical intrusion and detection alarms, operating procedures for facility security guards, and monitoring or surveillance equipment.

- - - - Practical Exercises - AT-3(3) - AT-03(03) - -

Provide practical exercises in security and privacy training that reinforce training objectives.

- - -

Practical exercises for security include training for software developers that addresses simulated attacks exploiting common software vulnerabilities or spear or whale phishing attacks targeted at senior leaders or executives. Practical exercises for privacy include modules with quizzes on handling personally identifiable information in various scenarios, or scenarios on conducting privacy impact assessments.

- - - - Suspicious Communications and Anomalous System Behavior - AT-3(4) - Withdrawn - AT-03(04) - AT-2(4) - - - Accessing Personally Identifiable Information - - - - - - - AT-3(5) - AT-03(05) - -

Provide with initial and training on:

- - (a) -

Organizational authority for collecting personally identifiable information;

- - - (b) -

Authorized uses of personally identifiable information;

- - - (c) -

Identifying, reporting, and responding to a suspected or confirmed breach;

- - - (d) -

Content of system of records notices, computer matching agreements, and privacy impact assessments;

- - - (e) -

Authorized sharing of personally identifiable information with external parties; and

- - - (f) -

Rules of behavior and the consequences for unauthorized collection, use, or sharing of personally identifiable information.

- - - -

Role-based training addresses the responsibility of individuals when accessing personally identifiable information; the organization’s established rules of behavior when accessing personally identifiable information; the consequences for violating the rules of behavior; and how to respond to a breach. Role-based training helps ensure personnel comply with applicable privacy requirements and is necessary to manage privacy risks.

- - - - - Training Records - - - - AT-4 - AT-04 - [OMB A-130] - AT-2 - AT-3 - CP-3 - IR-2 - PM-14 - SI-12 - - - a. -

Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and

- - - b. -

Retain individual training records for .

- - - -

Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies.

- - - - Contacts with Security Groups and Associations - AT-5 - Withdrawn - AT-05 - PM-15 - - - - Audit and Accountability - - Policy and Procedures - - - - - - - - - - - - - - - - AU-1 - AU-01 - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- audit and accountability policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and

- - - c. -

Review and update the current audit and accountability:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the AU family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Event Logging - - - - - - - - - - AU-2 - AU-02 - [OMB A-130] - [SP 800-92] - AC-2 - AC-3 - AC-6 - AC-7 - AC-8 - AC-16 - AC-17 - AU-3 - AU-4 - AU-5 - AU-6 - AU-7 - AU-11 - AU-12 - CM-3 - CM-5 - CM-6 - CM-13 - IA-3 - MA-4 - MP-4 - PE-3 - PM-21 - PT-2 - PT-8 - RA-8 - SA-8 - SC-7 - SC-18 - SI-3 - SI-4 - SI-7 - SI-10 - SI-11 - - - a. -

Identify the types of events that the system is capable of logging in support of the audit function: ;

- - - b. -

Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;

- - - c. -

Specify the following event types for logging within the system: ;

- - - d. -

Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and

- - - e. -

Review and update the event types selected for logging .

- - - -

An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes; failed logons or failed accesses related to systems; security or privacy attribute changes; administrative privilege usage; PIV credential usage; data action changes; query parameters; or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system. -To balance monitoring and auditing requirements with other system needs, this control also requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential for personally identifiable information in the audit trail especially if the logging event is based on patterns or time of usage. -Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include AC-2(4), AC-3(10), AC-6(9), AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), PE-3, PM-21, PT-8, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), and SI-10(1). Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. Organizations consider in the definition of event types, the logging necessary to cover related event types such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures.

- - - Compilation of Audit Records from Multiple Sources - AU-2(1) - Withdrawn - AU-02(01) - AU-12 - - - Selection of Audit Events by Component - AU-2(2) - Withdrawn - AU-02(02) - AU-12 - - - Reviews and Updates - AU-2(3) - Withdrawn - AU-02(03) - AU-2 - - - Privileged Functions - AU-2(4) - Withdrawn - AU-02(04) - AC-6(9) - - - - Content of Audit Records - AU-3 - AU-03 - [OMB A-130] - [IR 8062] - AU-2 - AU-8 - AU-12 - AU-14 - MA-4 - SA-8 - SI-7 - SI-11 - -

Ensure that audit records contain information that establishes the following:

- - a. -

What type of event occurred;

- - - b. -

When the event occurred;

- - - c. -

Where the event occurred;

- - - d. -

Source of the event;

- - - e. -

Outcome of the event; and

- - - f. -

Identity of any individuals, subjects, or objects/entities associated with the event.

- - - -

Audit record content that may be necessary to support the auditing function includes, but is not limited to, event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential for personally identifiable information in the audit trail especially if the trail records inputs or is based on patterns or time of usage.

- - - Additional Audit Information - - - - AU-3(1) - AU-03(01) - -

Generate audit records containing the following additional information: .

- - -

The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading or that could make it more difficult to locate information of interest.

- - - - Centralized Management of Planned Audit Record Content - - - - AU-3(2) - AU-03(02) - AU-6 - AU-7 - -

Provide centralized management and configuration of the content to be captured in audit records generated by .

- - -

Centralized management of planned audit record content requires that the content to be captured in audit records be configured from a central location (necessitating an automated capability). Organizations coordinate the selection of the required audit record content to support the centralized management and configuration capability provided by the system.

- - - - Limit Personally Identifiable Information Elements - - - - AU-3(3) - AU-03(03) - RA-3 - -

Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: .

- - -

Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

- - - - - Audit Log Storage Capacity - - - - AU-4 - AU-04 - AU-2 - AU-5 - AU-6 - AU-7 - AU-9 - AU-11 - AU-12 - AU-14 - SI-4 - -

Allocate audit log storage capacity to accommodate .

- - -

Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability.

- - - Transfer to Alternate Storage - - - - AU-4(1) - AU-04(01) - -

Transfer audit logs to a different system, system component, or media other than the system or system component conducting the logging.

- - -

Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. This control enhancement is similar to AU-9(2) in that audit logs are transferred to a different entity. However, the primary purpose of selecting AU-9(2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the dual benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs.

- - - - - Response to Audit Logging Process Failures - - - - - - - - - - AU-5 - AU-05 - AU-2 - AU-4 - AU-7 - AU-9 - AU-11 - AU-12 - AU-14 - SI-4 - SI-12 - - - a. -

Alert within in the event of an audit logging process failure; and

- - - b. -

Take the following additional actions: .

- - - -

Audit logging process failures include, for example, software and hardware errors; reaching or exceeding audit log storage capacity; and failures in audit log capturing mechanisms. Organization-defined actions include overwriting oldest audit records; shutting down the system; and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored); the system on which the audit logs reside; the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.

- - - Storage Capacity Warning - - - - - - - - - - AU-5(1) - AU-05(01) - -

Provide a warning to within when allocated audit log storage volume reaches of repository maximum audit log storage capacity.

- - -

Organizations may have multiple audit log storage repositories distributed across multiple system components, with each repository having different storage volume capacities.

- - - - Real-time Alerts - - - - - - - - - - AU-5(2) - AU-05(02) - -

Provide an alert within to when the following audit failure events occur: .

- - -

Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).

- - - - Configurable Traffic Volume Thresholds - - - - AU-5(3) - AU-05(03) - -

Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and network traffic above those thresholds.

- - -

Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity.

- - - - Shutdown on Failure - - - - - - - AU-5(4) - AU-05(04) - AU-15 - -

Invoke a in the event of , unless an alternate audit logging capability exists.

- - -

Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational missions and business operations. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

- - - - Alternate Audit Logging Capability - - - - AU-5(5) - AU-05(05) - AU-9 - -

Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements .

- - -

Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure.

- - - - - Audit Record Review, Analysis, and Reporting - - - - - - - - - - AU-6 - AU-06 - [SP 800-86] - [SP 800-101] - AC-2 - AC-3 - AC-5 - AC-6 - AC-7 - AC-17 - AU-7 - AU-16 - CA-2 - CA-7 - CM-2 - CM-5 - CM-6 - CM-10 - CM-11 - IA-2 - IA-3 - IA-5 - IA-8 - IR-5 - MA-4 - MP-4 - PE-3 - PE-6 - RA-5 - SA-8 - SC-7 - SI-3 - SI-4 - SI-7 - - - a. -

Review and analyze system audit records for indications of ;

- - - b. -

Report findings to ; and

- - - c. -

Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.

- - - -

Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system boundaries, and use of mobile code or VoIP. Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.

- - - Automated Process Integration - - - - AU-6(1) - AU-06(01) - PM-7 - -

Integrate audit record review, analysis, and reporting processes using .

- - -

Organizational processes benefiting from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.

- - - - Automated Security Alerts - AU-6(2) - Withdrawn - AU-06(02) - SI-4 - - - Correlate Audit Record Repositories - AU-6(3) - AU-06(03) - AU-12 - IR-4 - -

Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.

- - -

Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness.

- - - - Central Review and Analysis - AU-6(4) - AU-06(04) - AU-2 - AU-12 - -

Provide and implement the capability to centrally review and analyze audit records from multiple components within the system.

- - -

Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products.

- - - - Integrated Analysis of Audit Records - - - - - - - AU-6(5) - AU-06(05) - AU-12 - IR-4 - -

Integrate analysis of audit records with analysis of to further enhance the ability to identify inappropriate or unusual activity.

- - -

Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial of service attacks or other types of attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.

- - - - Correlation with Physical Monitoring - AU-6(6) - AU-06(06) - -

Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

- - -

The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may be useful in investigations.

- - - - Permitted Actions - - - - AU-6(7) - AU-06(07) - -

Specify the permitted actions for each associated with the review, analysis, and reporting of audit record information.

- - -

Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete.

- - - - Full Text Analysis of Privileged Commands - AU-6(8) - AU-06(08) - AU-3 - AU-9 - AU-11 - AU-12 - -

Perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis.

- - -

Full text analysis of privileged commands requires a distinct environment for the analysis of audit record information related to privileged users without compromising such information on the system where the users have elevated privileges, including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes the use of pattern matching and heuristics.

- - - - Correlation with Information from Nontechnical Sources - AU-6(9) - AU-06(09) - PM-12 - -

Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness.

- - -

Nontechnical sources include records documenting organizational policy violations related to sexual harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, the correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions.

- - - - Audit Level Adjustment - AU-6(10) - Withdrawn - AU-06(10) - AU-6 - - - - Audit Record Reduction and Report Generation - AU-7 - AU-07 - AC-2 - AU-2 - AU-3 - AU-4 - AU-5 - AU-6 - AU-12 - AU-16 - CM-5 - IA-5 - IR-4 - PM-12 - SI-4 - -

Provide and implement an audit record reduction and report generation capability that:

- - a. -

Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and

- - - b. -

Does not alter the original content or time ordering of audit records.

- - - -

Audit record reduction is a process that manipulates collected audit log information and organizes such information in a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities conducting audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient.

- - - Automatic Processing - - - - AU-7(1) - AU-07(01) - -

Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: .

- - -

Events of interest can be identified by the content of audit records including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, for example, locations selectable by a general networking location or by specific system component.

- - - - Automatic Sort and Search - AU-7(2) - Withdrawn - AU-07(02) - AU-7(1) - - - - Time Stamps - - - - AU-8 - AU-08 - [IETF 5905] - AU-3 - AU-12 - AU-14 - SC-45 - - - a. -

Use internal system clocks to generate time stamps for audit records; and

- - - b. -

Record time stamps for audit records that meet and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp.

- - - -

Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.

- - - Synchronization with Authoritative Time Source - - - - - - - - - - AU-8(1) - AU-08(01) - - - (a) -

Compare the internal system clocks with ; and

- - - (b) -

Synchronize the internal system clocks to the authoritative time source when the time difference is greater than .

- - - -

Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.

- - - - Secondary Authoritative Time Source - AU-8(2) - AU-08(02) - - - (a) -

Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and

- - - (b) -

Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is unavailable.

- - - -

It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region.

- - - - - Protection of Audit Information - AU-9 - AU-09 - [FIPS 140-3] - [FIPS 180-4] - [FIPS 202] - AC-3 - AC-6 - AU-6 - AU-11 - AU-14 - AU-15 - MP-2 - MP-4 - PE-2 - PE-3 - PE-6 - SA-8 - SC-8 - SI-4 - -

Protect audit information and audit logging tools from unauthorized access, modification, and deletion.

- - -

Audit information includes all information, for example, audit records, audit log settings, audit reports, and personally identifiable information, needed to successfully audit system activity. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls.

- - - Hardware Write-once Media - AU-9(1) - AU-09(01) - AU-4 - AU-5 - -

Write audit trails to hardware-enforced, write-once media.

- - -

Writing audit trails to hardware-enforced, write-once media applies to the initial generation of audit trails (i.e., the collection of audit records that represents the information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. Writing audit trails to hardware-enforced, write-once media does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes Compact Disk-Recordable (CD-R) and Digital Versatile Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.

- - - - Store on Separate Physical Systems or Components - - - - AU-9(2) - AU-09(02) - AU-4 - AU-5 - -

Store audit records in a repository that is part of a physically different system or system component than the system or component being audited.

- - -

Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records.

- - - - Cryptographic Protection - AU-9(3) - AU-09(03) - AU-10 - SC-12 - SC-13 - -

Implement cryptographic mechanisms to protect the integrity of audit information and audit tools.

- - -

Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.

- - - - Access by Subset of Privileged Users - - - - AU-9(4) - AU-09(04) - AC-5 - -

Authorize access to management of audit logging functionality to only .

- - -

Individuals or roles with privileged access to a system and who are also the subject of an audit by that system, may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges, limits the number of users or roles with audit-related privileges.

- - - - Dual Authorization - - - - - - - AU-9(5) - AU-09(05) - AC-3 - -

Enforce dual authorization for of .

- - -

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

- - - - Read-only Access - - - - AU-9(6) - AU-09(06) - -

Authorize read-only access to audit information to .

- - -

Restricting privileged user or role authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users or roles, for example, deleting audit records to cover up malicious activity.

- - - - Store on Component with Different Operating System - AU-9(7) - AU-09(07) - -

Store audit information on a component running a different operating system than the system or component being audited.

- - -

Storing auditing information on a system component running a different operating system reduces the risk of a vulnerability specific to the system resulting in a compromise of the audit records. -Related controls: AU-4, AU-5, AU-11, SC-29.

- - - - - Non-repudiation - - - - AU-10 - AU-10 - [FIPS 140-3] - [FIPS 180-4] - [FIPS 186-4] - [FIPS 202] - [SP 800-177] - AU-9 - PM-12 - SA-8 - SC-8 - SC-12 - SC-13 - SC-16 - SC-17 - SC-23 - -

Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed .

- - -

Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents; senders of not having transmitted messages; receivers of not having received messages; and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, or approving a procurement request, or received specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts.

- - - Association of Identities - - - - AU-10(1) - AU-10(01) - AC-4 - AC-16 - - - (a) -

Bind the identity of the information producer with the information to ; and

- - - (b) -

Provide the means for authorized individuals to determine the identity of the producer of the information.

- - - -

Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors.

- - - - Validate Binding of Information Producer Identity - - - - - - - AU-10(2) - AU-10(02) - AC-3 - AC-4 - AC-16 - - - (a) -

Validate the binding of the information producer identity to the information at ; and

- - - (b) -

Perform in the event of a validation error.

- - - -

Validating the binding of the information producer identity to the information prevents the modification of information between production and review. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

- - - - Chain of Custody - AU-10(3) - AU-10(03) - AC-4 - AC-16 - -

Maintain reviewer or releaser identity and credentials within the established chain of custody for information reviewed or released.

- - -

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the identity and credentials of reviewers or releasers provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used.

- - - - Validate Binding of Information Reviewer Identity - - - - - - - AU-10(4) - AU-10(04) - AC-4 - AC-16 - - - (a) -

Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between ; and

- - - (b) -

Perform in the event of a validation error.

- - - -

Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

- - - - Digital Signatures - AU-10(5) - Withdrawn - AU-10(05) - SI-7 - - - - Audit Record Retention - - - - AU-11 - AU-11 - [OMB A-130] - AU-2 - AU-4 - AU-5 - AU-6 - AU-9 - AU-14 - MP-6 - RA-5 - SI-12 - -

Retain audit records for to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.

- - -

Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.

- - - Long-term Retrieval Capability - - - - AU-11(1) - AU-11(01) - -

Employ to ensure that long-term audit records generated by the system can be retrieved.

- - -

Organizations need to access and read audit records requiring long-term storage (on the order of years). Measures employed to help facilitate the retrieval of audit records include converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help personnel understand how to interpret the records.

- - - - - Audit Record Generation - - - - - - - AU-12 - AU-12 - AC-6 - AC-17 - AU-2 - AU-3 - AU-4 - AU-5 - AU-6 - AU-7 - AU-14 - CM-5 - MA-4 - MP-4 - PM-12 - SA-8 - SC-18 - SI-3 - SI-4 - SI-7 - SI-10 - - - a. -

Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on ;

- - - b. -

Allow to select the event types that are to be logged by specific components of the system; and

- - - c. -

Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3.

- - - -

Audit records can be generated from many different system components. The event types specified in AU-2d are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records.

- - - System-wide and Time-correlated Audit Trail - - - - - - - AU-12(1) - AU-12(01) - AU-8 - -

Compile audit records from into a system-wide (logical or physical) audit trail that is time-correlated to within .

- - -

Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.

- - - - Standardized Formats - AU-12(2) - AU-12(02) - -

Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

- - -

Audit records that follow common standards promote interoperability and information exchange between devices and systems. This facilitates the production of event information that can be readily analyzed and correlated. Standard formats for audit records include records that are compliant with Common Event Expressions. If logging mechanisms within systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

- - - - Changes by Authorized Individuals - - - - - - - - - - - - - AU-12(3) - AU-12(03) - AC-3 - -

Provide and implement the capability for to change the logging to be performed on based on within .

- - -

Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed, for example, near real-time, within minutes, or within hours.

- - - - Query Parameter Audits of Personally Identifiable Information - AU-12(4) - AU-12(04) - -

Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information.

- - -

Query parameters are explicit criteria that an individual or an automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel.

- - - - - Monitoring for Information Disclosure - - - - - - - - - - - - - AU-13 - AU-13 - AC-22 - PE-3 - PM-12 - RA-5 - SC-7 - - - a. -

Monitor - for evidence of unauthorized disclosure of organizational information; and

- - - b. -

If an information disclosure is discovered:

- - 1. -

Notify ; and

- - - 2. -

Take the following additional actions: .

- - - - -

Unauthorized disclosure of information is a form of data leakage. Open source information includes social networking sites and code sharing platforms and repositories. Organizational information can include personally identifiable information retained by the organization.

- - - Use of Automated Tools - - - - AU-13(1) - AU-13(01) - -

Monitor open source information and information sites using .

- - -

Automated mechanisms include commercial services providing notifications and alerts to organizations and automated scripts to monitor new posts on websites.

- - - - Review of Monitored Sites - - - - AU-13(2) - AU-13(02) - -

Review the list of open source information sites being monitored .

- - -

Reviewing on a regular basis, the current list of open source information sites being monitored, helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information.

- - - - Unauthorized Replication of Information - AU-13(3) - AU-13(03) - -

Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner.

- - -

The unauthorized use or replication of organizational information by external entities can cause adverse impact on organizational operations and assets including damage to reputation. Such activity can include, for example, the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize unauthorized use of organizational information.

- - - - - Session Audit - - - - - - - - - - AU-14 - AU-14 - AC-3 - AC-8 - AU-2 - AU-3 - AU-4 - AU-5 - AU-8 - AU-9 - AU-11 - AU-12 - - - a. -

Provide and implement the capability for to the content of a user session under ; and

- - - b. -

Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - -

Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk and how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including use of personally identifiable information, are appropriately addressed.

- - - System Start-up - AU-14(1) - AU-14(01) - -

Initiate session audits automatically at system start-up.

- - -

The initiation of session audits automatically at startup helps to ensure the information being captured on selected individuals is complete and is not subject to compromise through tampering by malicious threat actors.

- - - - Capture and Record Content - AU-14(2) - Withdrawn - AU-14(02) - AU-14 - - - Remote Viewing and Listening - AU-14(3) - AU-14(03) - AC-17 - -

Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time.

- - -

None.

- - - - - Alternate Audit Logging Capability - AU-15 - Withdrawn - AU-15 - AU-5(5) - - - Cross-organizational Audit Logging - - - - - - - AU-16 - AU-16 - AU-3 - AU-6 - AU-7 - CA-3 - PT-8 - -

Employ for coordinating among external organizations when audit information is transmitted across organizational boundaries.

- - -

When organizations use systems or services of external organizations, the audit logging capability necessitates a coordinated, cross-organization approach. For example, maintaining the identity of individuals that requested specific services across organizational boundaries may often be difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational audit logging simply captures the identity of individuals issuing requests at the initial system, and subsequent systems record that the requests originated from authorized individuals. Organizations consider including processes for coordinating audit information requirements and protection of audit information in information exchange agreements.

- - - Identity Preservation - AU-16(1) - AU-16(01) - IA-2 - IA-4 - IA-5 - IA-8 - -

Preserve the identity of individuals in cross-organizational audit trails.

- - -

Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

- - - - Sharing of Audit Information - - - - - - - AU-16(2) - AU-16(02) - IR-4 - SI-4 - -

Provide cross-organizational audit information to based on .

- - -

Due to the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only individuals’ home organizations have appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.

- - - - Disassociability - - - - AU-16(3) - AU-16(03) - -

Implement to disassociate individuals from audit information transmitted across organizational boundaries.

- - -

Preserving identities in audit trails could have privacy ramifications such as enabling the tracking and profiling of individuals but may not be operationally necessary. These risks could be further amplified when transmitting information across organizational boundaries. Using privacy-enhancing cryptographic techniques can disassociate individuals from audit information and reduce privacy risk while maintaining accountability.

- - - - - - Assessment, Authorization, and Monitoring - - Policy and Procedures - - - - - - - - - - - - - - - - CA-1 - CA-01 - [OMB A-130, Appendix II] - [SP 800-12] - [SP 800-30] - [SP 800-37] - [SP 800-39] - [SP 800-53A] - [SP 800-100] - [SP 800-137] - [IR 8062] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- assessment, authorization, and monitoring policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and

- - - c. -

Review and update the current assessment, authorization, and monitoring:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the CA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Control Assessments - - - - - - - CA-2 - CA-02 - [OMB A-130] - [FIPS 199] - [SP 800-18] - [SP 800-37] - [SP 800-39] - [SP 800-53A] - [SP 800-115] - [SP 800-137] - [IR 8062] - AC-20 - CA-5 - CA-6 - CA-7 - PM-9 - RA-5 - SA-11 - SC-38 - SI-3 - SI-12 - SR-2 - SR-3 - - - a. -

Develop a control assessment plan that describes the scope of the assessment including:

- - 1. -

Controls and control enhancements under assessment;

- - - 2. -

Assessment procedures to be used to determine control effectiveness; and

- - - 3. -

Assessment environment, assessment team, and assessment roles and responsibilities;

- - - - b. -

Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;

- - - c. -

Assess the controls in the system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;

- - - d. -

Produce a control assessment report that document the results of the assessment; and

- - - e. -

Provide the results of the control assessment to .

- - - -

Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations; continuous monitoring; FISMA annual assessments; system design and development; systems security engineering; and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements; identify weaknesses and deficiencies in the system design and development process; provide essential information needed to make risk-based decisions as part of authorization processes; and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. For example, the design for the controls can be assessed as RFPs are developed and responses assessed, and as design reviews are conducted. If design to implement controls and subsequent implementation in accordance with the design is assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes. -Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs. -Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives. -To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations; continuous monitoring; systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside the scope of this control.

- - - Independent Assessors - CA-2(1) - CA-02(01) - -

Employ independent assessors or assessment teams to conduct control assessments.

- - -

Independent assessors or assessment teams are individuals or groups conducting impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in positions of advocacy for the organizations acquiring their services. -Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination also includes whether contracted assessment services have sufficient independence, for example, when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, the analogy to independent assessors is having independent SMEs involved in design reviews. -When organizations that own the systems are small or the structures of the organizations require that assessments are conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions, are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments.

- - - - Specialized Assessments - - - - - - - - - - - - - CA-2(2) - CA-02(02) - PE-3 - SI-2 - -

Include as part of control assessments, , , .

- - -

Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle, for example, during design, development, and unit testing.

- - - - External Organizations - - - - - - - - - - CA-2(3) - CA-02(03) - SA-4 - -

Leverage the results of control assessments performed by on when the assessment meets .

- - -

Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment; the reputation of the assessment organization; the level of detail of supporting assessment evidence provided; and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories supporting the Common Criteria Program [ISO 15408-1], the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage.

- - - - - Information Exchange - - - - - - - - - - CA-3 - CA-03 - [OMB A-130, Appendix II] - [FIPS 199] - [SP 800-47] - AC-4 - AC-20 - AU-16 - CA-6 - IA-3 - IR-4 - PL-2 - PT-8 - RA-3 - SA-9 - SC-7 - SI-12 - - - a. -

Approve and manage the exchange of information between the system and other systems using ;

- - - b. -

Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and

- - - c. -

Review and update the agreements .

- - - -

System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges associated with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization to organization communications. Organizations consider the risk related to new or increased threats, that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information as described in CA-6(1) or CA-6(2) may help to communicate and reduce risk. -Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The type of agreement selected is based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged; how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements, or they can provide the same information that would be provided in the appropriate agreement type from CA-3a in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems sharing the same networks.

- - - Unclassified National Security System Connections - CA-3(1) - Withdrawn - CA-03(01) - SC-7(25) - - - Classified National Security System Connections - CA-3(2) - Withdrawn - CA-03(02) - SC-7(26) - - - Unclassified Non-national Security System Connections - CA-3(3) - Withdrawn - CA-03(03) - SC-7(27) - - - Connections to Public Networks - CA-3(4) - Withdrawn - CA-03(04) - SC-7(28) - - - Restrictions on External System Connections - CA-3(5) - Withdrawn - CA-03(05) - SC-7(5) - - - Transfer Authorizations - CA-3(6) - CA-03(06) - AC-2 - AC-3 - AC-4 - -

Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data.

- - -

To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies via independent means, whether the individual or system attempting to transfer information is authorized to do so. This control enhancement also applies to control plane traffic (e.g., routing and DNS) and services such as authenticated SMTP relays.

- - - - Transitive Information Exchanges - CA-3(7) - CA-03(07) - SC-7 - - - (a) -

Identify transitive (downstream) information exchanges with other systems through the systems identified in CA-3a; and

- - - (b) -

Take measures to ensure that transitive (downstream) information exchanges cease when the controls on identified transitive (downstream) systems cannot be verified or validated.

- - - -

Transitive or “downstream” information exchanges are information exchanges between the system or systems with which the organizational system exchanges information and other systems. For mission essential systems, services, and applications, including high value assets, it is necessary to identify such information exchanges. The transparency of the controls or protection measures in place in such downstream systems connected directly or indirectly to organizational systems is essential in understanding the security and privacy risks resulting from those interconnections. Organizational systems can inherit risk from downstream systems through transitive connections and information exchanges which can make the organizational systems more susceptible to threats, hazards, and adverse impacts.

- - - - - Security Certification - CA-4 - Withdrawn - CA-04 - CA-2 - - - Plan of Action and Milestones - - - - CA-5 - CA-05 - [OMB A-130] - [SP 800-37] - CA-2 - CA-7 - PM-4 - PM-9 - RA-7 - SI-2 - SI-12 - - - a. -

Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and

- - - b. -

Update existing plan of action and milestones based on the findings from control assessments, audits, and continuous monitoring activities.

- - - -

Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and are subject to federal reporting requirements established by OMB.

- - - Automation Support for Accuracy and Currency - - - - CA-5(1) - CA-05(01) - -

Ensure the accuracy, currency, and availability of the plan of action and milestones for the system using .

- - -

Using automated tools helps to maintain the accuracy, currency, and availability of the plan of action and milestones and facilitates the coordination and sharing of security and privacy information throughout the organization. Such coordination and information sharing helps to identify systemic weaknesses or deficiencies in organizational systems and ensure that appropriate resources are directed at the most critical system vulnerabilities in a timely manner.

- - - - - Authorization - - - - CA-6 - CA-06 - [OMB A-130] - [SP 800-37] - [SP 800-137] - CA-2 - CA-3 - CA-7 - PM-9 - PM-10 - SA-10 - SI-12 - - - a. -

Assign a senior official as the authorizing official for the system;

- - - b. -

Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;

- - - c. -

Ensure that the authorizing official for the system, before commencing operations:

- - 1. -

Accepts the use of common controls inherited by the system; and

- - - 2. -

Authorizes the system to operate;

- - - - d. -

Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;

- - - e. -

Update the authorizations .

- - - -

Authorizations are official management decisions by senior officials to authorize operation of systems, to authorize the use of common controls for inheritance by organizational systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and for common controls or assume responsibility for the mission and business operations supported by those systems or common controls. The authorization process is a federal responsibility and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities. -Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., the security and privacy plans, assessment reports, and plans of action and milestones), is updated on an ongoing basis. This provides authorizing officials, system owners, and common control providers with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

- - - Joint Authorization — Intra-organization - CA-6(1) - CA-06(01) - AC-6 - -

Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization.

- - -

Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision-making process. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process. The intra-organization joint authorization process is most relevant for connected systems, shared systems, and systems with multiple information owners.

- - - - Joint Authorization — Inter-organization - CA-6(2) - CA-06(02) - AC-6 - -

Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization.

- - -

Assigning multiple authorizing officials, at least one of which comes from an external organization, to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision-making process. It implements the concepts of separation of duties and dual authorization as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorizing official from the organization owning or hosting the system may be necessary when the external organizations have a vested interest or equities in the outcome of the authorization decision. The inter-organization joint authorization process is relevant and appropriate for connected systems, shared systems or services, and systems with multiple information owners. The authorizing officials from the external organizations are key stakeholders of the system undergoing authorization.

- - - - - Continuous Monitoring - - - - - - - - - - - - - - - - CA-7 - CA-07 - [OMB A-130] - [SP 800-37] - [SP 800-39] - [SP 800-53A] - [SP 800-115] - [SP 800-137] - [IR 8011 v1] - [IR 8062] - AC-2 - AC-6 - AC-17 - AT-4 - AU-6 - AU-13 - CA-2 - CA-5 - CA-6 - CM-3 - CM-4 - CM-6 - CM-11 - IA-5 - IR-5 - MA-2 - MA-3 - MA-4 - PE-3 - PE-6 - PE-14 - PE-16 - PE-20 - PL-2 - PM-4 - PM-6 - PM-9 - PM-10 - PM-12 - PM-14 - PM-23 - PM-28 - PM-31 - PS-7 - PT-8 - RA-3 - RA-5 - RA-7 - SA-8 - SA-9 - SA-11 - SC-5 - SC-7 - SC-18 - SC-38 - SC-43 - SC-38 - SI-3 - SI-4 - SI-12 - SR-6 - -

Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:

- - a. -

Establishing the following system-level metrics to be monitored: ;

- - - b. -

Establishing for monitoring and for assessment of control effectiveness;

- - - c. -

Ongoing control assessments in accordance with the continuous monitoring strategy;

- - - d. -

Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;

- - - e. -

Correlation and analysis of information generated by control assessments and monitoring;

- - - f. -

Response actions to address results of the analysis of control assessment and monitoring information; and

- - - g. -

Reporting the security and privacy status of the system to - .

- - - -

Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions. -Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PM-31, PS-7e, SA-9c, SR-4, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4.

- - - Independent Assessment - CA-7(1) - CA-07(01) - -

Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis.

- - -

Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in advocacy positions for the organizations acquiring their services.

- - - - Types of Assessments - CA-7(2) - Withdrawn - CA-07(02) - CA-2 - - - Trend Analyses - CA-7(3) - CA-07(03) - -

Employ trend analyses to determine if control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data.

- - -

Trend analyses include examining recent threat information addressing the types of threat events that have occurred within the organization or the federal government; success rates of certain types of attacks; emerging vulnerabilities in technologies; evolving social engineering techniques; the effectiveness of configuration settings; results from multiple control assessments; and findings from Inspectors General or auditors.

- - - - Risk Monitoring - CA-7(4) - CA-07(04) - -

Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:

- - (a) -

Effectiveness monitoring;

- - - (b) -

Compliance monitoring; and

- - - (c) -

Change monitoring.

- - - -

Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.

- - - - Consistency Analysis - - - - CA-7(5) - CA-07(05) - -

Employ the following actions to validate that policies are established and implemented controls are operating in a consistent manner: .

- - -

Security and privacy controls are often added incrementally to a system. As a result, policies for selecting and implementing controls may be inconsistent and the controls could fail to work together in a consistent or coordinated manner. At a minimum, the lack of consistency and coordination could mean that there are unacceptable security and privacy gaps in the system. At worst, it could mean that some of the controls implemented in one location or by one component are actually impeding the functionality of other controls (e.g., encrypting internal network traffic can impede monitoring). Or in other situations, failing to consistently monitor all implemented network protocols (e.g., a dual stack of IPv4 and IPv6) may create unintended vulnerabilities in the system that could be exploited by adversaries. It is important to validate through testing, monitoring, and analysis that the implemented controls are operating in a consistent, coordinated, non-interfering manner.

- - - - - Penetration Testing - - - - - - - CA-8 - CA-08 - SA-11 - SR-5 - SR-6 - -

Conduct penetration testing on .

- - -

Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries in carrying out attacks and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). -Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes pretest analysis based on full knowledge of the system; pretest identification of potential vulnerabilities based on pretest analysis; and testing designed to determine exploitability of vulnerabilities. All parties agree to the rules of engagement before commencement of penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing.

- - - Independent Penetration Testing Agent or Team - CA-8(1) - CA-08(01) - CA-2 - -

Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.

- - -

Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. CA-2(1) provides additional information on independent assessments that can be applied to penetration testing.

- - - - Red Team Exercises - - - - CA-8(2) - CA-08(02) - -

Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: .

- - -

Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise missions and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness.

- - - - Facility Penetration Testing - - - - - - - CA-8(3) - CA-08(03) - CA-2 - PE-3 - -

Employ a penetration testing process that includes - attempts to bypass or circumvent controls associated with physical access points to the facility.

- - -

Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems.

- - - - - Internal System Connections - - - - - - - - - - CA-9 - CA-09 - [SP 800-124] - [IR 8023] - AC-3 - AC-4 - AC-18 - AC-19 - CM-2 - IA-3 - SC-7 - SI-12 - - - a. -

Authorize internal connections of to the system;

- - - b. -

Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;

- - - c. -

Terminate internal system connections after ; and

- - - d. -

Review the continued need for each internal connection.

- - - -

Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system). Intra-system connections include connections with mobile devices, notebook and desktop computers, workstations, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal system connection, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability; or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions.

- - - Compliance Checks - CA-9(1) - CA-09(01) - CM-6 - -

Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection.

- - -

Compliance checks include verification of the relevant baseline configuration.

- - - - - - Configuration Management - - Policy and Procedures - - - - - - - - - - - - - - - - CM-1 - CM-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SA-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- configuration management policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the configuration management policy and procedures; and

- - - c. -

Review and update the current configuration management:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the CM family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Baseline Configuration - - - - - - - CM-2 - CM-02 - [SP 800-124] - [SP 800-128] - AC-19 - AU-6 - CA-9 - CM-1 - CM-3 - CM-5 - CM-6 - CM-8 - CM-9 - CP-9 - CP-10 - CP-12 - MA-2 - PL-8 - PM-5 - SA-8 - SA-10 - SA-15 - SC-18 - - - a. -

Develop, document, and maintain under configuration control, a current baseline configuration of the system; and

- - - b. -

Review and update the baseline configuration of the system:

- - 1. -

- ;

- - - 2. -

When required due to ; and

- - - 3. -

When system components are installed or upgraded.

- - - - -

Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.

- - - Reviews and Updates - CM-2(1) - Withdrawn - CM-02(01) - CM-2 - - - Automation Support for Accuracy and Currency - - - - CM-2(2) - CM-02(02) - CM-7 - IA-3 - RA-5 - -

Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using .

- - -

Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, and firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission/business process level or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of CM-8(2) for organizations that combine system component inventory and baseline configuration activities.

- - - - Retention of Previous Configurations - - - - CM-2(3) - CM-02(03) - -

Retain of previous versions of baseline configurations of the system to support rollback.

- - -

Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, and configuration records.

- - - - Unauthorized Software - CM-2(4) - Withdrawn - CM-02(04) - CM-7(4) - - - Authorized Software - CM-2(5) - Withdrawn - CM-02(05) - CM-7(5) - - - Development and Test Environments - CM-2(6) - CM-02(06) - CM-4 - SC-3 - SC-7 - -

Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration.

- - -

Establishing separate baseline configurations for development, testing, and operational environments protects systems from unplanned or unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, the management of operational configurations typically emphasizes the need for stability, while the management of development or test configurations requires greater flexibility. Configurations in the test environment mirror configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. Separate baseline configurations does not necessarily require separate physical environments.

- - - - Configure Systems and Components for High-risk Areas - - - - - - - - - - CM-2(7) - CM-02(07) - MP-4 - MP-5 - - - (a) -

Issue with to individuals traveling to locations that the organization deems to be of significant risk; and

- - - (b) -

Apply the following controls to the systems or components when the individuals return from travel: .

- - - -

When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the MP (Media Protection) family.

- - - - - Configuration Change Control - - - - - - - - - - - - - - - - CM-3 - CM-03 - [SP 800-124] - [SP 800-128] - [IR 8062] - CA-7 - CM-2 - CM-4 - CM-5 - CM-6 - CM-9 - CM-11 - IA-3 - MA-2 - PE-16 - PT-7 - RA-8 - SA-8 - SA-10 - SC-28 - SC-34 - SC-37 - SI-2 - SI-3 - SI-4 - SI-7 - SI-10 - SR-11 - - - a. -

Determine and document the types of changes to the system that are configuration-controlled;

- - - b. -

Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;

- - - c. -

Document configuration change decisions associated with the system;

- - - d. -

Implement approved configuration-controlled changes to the system;

- - - e. -

Retain records of configuration-controlled changes to the system for ;

- - - f. -

Monitor and review activities associated with configuration-controlled changes to the system; and

- - - g. -

Coordinate and provide oversight for configuration change control activities through that convenes .

- - - -

Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations and configuration items of systems; changes to operational procedures; changes to configuration settings for system components; unscheduled or unauthorized changes; and changes to remediate vulnerabilities. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes impacting privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also SA-10.

- - - Automated Documentation, Notification, and Prohibition of Changes - - - - - - - - - - - - - CM-3(1) - CM-03(01) - -

Use to:

- - (a) -

Document proposed changes to the system;

- - - (b) -

Notify of proposed changes to the system and request change approval;

- - - (c) -

Highlight proposed changes to the system that have not been approved or disapproved within ;

- - - (d) -

Prohibit changes to the system until designated approvals are received;

- - - (e) -

Document all changes to the system; and

- - - (f) -

Notify when approved changes to the system are completed.

- - - -

None.

- - - - Testing, Validation, and Documentation of Changes - CM-3(2) - CM-03(02) - -

Test, validate, and document changes to the system before finalizing the implementation of the changes.

- - -

Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations supporting organizational missions and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.

- - - - Automated Change Implementation - - - - CM-3(3) - CM-03(03) - -

Implement changes to the current system baseline and deploy the updated baseline across the installed base using .

- - -

Automated tools (e.g., Security Information and Event Management tools) can improve the accuracy, consistency, and availability of configuration baseline information. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision making within the organization.

- - - - Security and Privacy Representatives - - - - - - - CM-3(4) - CM-03(04) - -

Require to be members of the .

- - -

Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.

- - - - Automated Security Response - - - - CM-3(5) - CM-03(05) - -

Implement the following security responses automatically if baseline configurations are changed in an unauthorized manner: .

- - -

Automated security responses include halting selected system functions, halting system processing, or issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item.

- - - - Cryptography Management - - - - CM-3(6) - CM-03(06) - SC-12 - -

Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: .

- - -

The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates.

- - - - Review System Changes - - - - - - - CM-3(7) - CM-03(07) - AU-6 - AU-7 - CM-3 - -

Review changes to the system or when to determine whether unauthorized changes have occurred.

- - -

Indications that warrant review of changes to the system and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process or continuous monitoring process.

- - - - Prevent or Restrict Configuration Changes - - - - CM-3(8) - CM-03(08) - -

Prevent or restrict changes to the configuration of the system under the following circumstances: .

- - -

System configuration changes made in an ad hoc manner or in uncontrolled environments can adversely affect critical system security and privacy functionality. Change restrictions can be enforced through automated mechanisms.

- - - - - Impact Analyses - CM-4 - CM-04 - [SP 800-128] - CA-7 - CM-3 - CM-8 - CM-9 - MA-2 - RA-3 - RA-5 - SA-5 - SA-8 - SA-10 - SI-2 - -

Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.

- - -

Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems and the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing with stakeholders the impact of changes on organizational supply chain partners; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and to determine if additional controls are required.

- - - Separate Test Environments - CM-4(1) - CM-04(01) - SA-11 - SC-7 - -

Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice.

- - -

A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation.

- - - - Verification of Controls - CM-4(2) - CM-04(02) - SA-11 - SC-3 - SI-6 - -

After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.

- - -

Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls.

- - - - - Access Restrictions for Change - CM-5 - CM-05 - [FIPS 140-3] - [FIPS 186-4] - AC-3 - AC-5 - AC-6 - CM-9 - PE-3 - SC-28 - SC-34 - SC-37 - SI-2 - SI-10 - -

Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.

- - -

Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system, can potentially have significant effects on the security of the systems or individual privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see AC-3 and PE-3), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).

- - - Automated Access Enforcement and Audit Records - - - - CM-5(1) - CM-05(01) - AU-2 - AU-6 - AU-7 - AU-12 - CM-6 - CM-11 - SI-12 - - - (a) -

Enforce access restrictions using ; and

- - - (b) -

Automatically generate audit records of the enforcement actions.

- - - -

Organizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.

- - - - Review System Changes - CM-5(2) - Withdrawn - CM-05(02) - CM-3(7) - - - Signed Components - - - - CM-5(3) - CM-05(03) - CM-7 - SC-13 - SI-7 - -

Prevent the installation of without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.

- - -

Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication.

- - - - Dual Authorization - - - - CM-5(4) - CM-05(04) - AC-2 - AC-5 - CM-3 - -

Enforce dual authorization for implementing changes to .

- - -

Organizations employ dual authorization to help ensure that any changes to selected system components and information cannot occur unless two qualified individuals approve and implement such changes. The two individuals possess the skills and expertise to determine if the proposed changes are correct implementations of approved changes. The individuals are also accountable for the changes. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. System-level information includes operational procedures.

- - - - Privilege Limitation for Production and Operation - - - - CM-5(5) - CM-05(05) - AC-2 - - - (a) -

Limit privileges to change system components and system-related information within a production or operational environment; and

- - - (b) -

Review and reevaluate privileges .

- - - -

In many organizations, systems support multiple missions and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are in some cases, unknown to developers. System-related information includes operational procedures.

- - - - Limit Library Privileges - CM-5(6) - CM-05(06) - AC-2 - -

Limit privileges to change software resident within software libraries.

- - -

Software libraries include privileged programs.

- - - - Automatic Implementation of Security Safeguards - CM-5(7) - Withdrawn - CM-05(07) - SI-7 - - - - Configuration Settings - - - - - - - - - - CM-6 - CM-06 - [SP 800-70] - [SP 800-126] - [SP 800-128] - [USGCB] - [NCPR] - [DOD STIG] - AC-3 - AC-19 - AU-2 - AU-6 - CA-9 - CM-2 - CM-3 - CM-5 - CM-7 - CM-11 - CP-7 - CP-9 - CP-10 - IA-3 - IA-5 - PL-8 - RA-5 - SA-4 - SA-5 - SA-8 - SA-9 - SC-18 - SC-28 - SC-43 - SI-2 - SI-4 - SI-6 - - - a. -

Establish and document configuration settings for components employed within the system using that reflect the most restrictive mode consistent with operational requirements;

- - - b. -

Implement the configuration settings;

- - - c. -

Identify, document, and approve any deviations from established configuration settings for based on ; and

- - - d. -

Monitor and control changes to the configuration settings in accordance with organizational policies and procedures.

- - - -

Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security posture or functionality of the system. Information technology products for which security-related configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Security parameters are parameters impacting the security posture of systems, including the parameters required to satisfy other security control requirements. Security parameters include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system. -Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors. -Implementation of a common secure configuration may be mandated at the organization level, mission/business process level, or system level, or may be mandated at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB] and security technical implementation guides (STIGs), which affect the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.

- - - Automated Management, Application, and Verification - - - - - - - CM-6(1) - CM-06(01) - CA-7 - -

Centrally manage, apply, and verify configuration settings for using .

- - -

Automated tools (e.g., security information and event management tools or enterprise security monitoring tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities; alerting mechanisms; and dashboards to support risk-based decision making within the organization.

- - - - Respond to Unauthorized Changes - - - - - - - CM-6(2) - CM-06(02) - IR-4 - IR-6 - SI-7 - -

Take the following actions in response to unauthorized changes to : .

- - -

Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected system processing.

- - - - Unauthorized Change Detection - CM-6(3) - Withdrawn - CM-06(03) - SI-7 - - - Conformance Demonstration - CM-6(4) - Withdrawn - CM-06(04) - CM-4 - - - - Least Functionality - - - - - - - CM-7 - CM-07 - [FIPS 140-3] - [FIPS 180-4] - [FIPS 186-4] - [FIPS 202] - [SP 800-167] - AC-3 - AC-4 - CM-2 - CM-5 - CM-6 - CM-11 - RA-5 - SA-4 - SA-5 - SA-8 - SA-9 - SA-15 - SC-2 - SC-3 - SC-7 - SC-37 - SI-4 - - - a. -

Configure the system to provide only ; and

- - - b. -

Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: .

- - - -

Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default, may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2, and SC-3).

- - - Periodic Review - - - - - - - CM-7(1) - CM-07(01) - AC-18 - - - (a) -

Review the system to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and

- - - (b) -

Disable or remove .

- - - -

Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking.

- - - - Prevent Program Execution - - - - - - - CM-7(2) - CM-07(02) - CM-8 - PL-4 - PM-5 - PS-6 - -

Prevent program execution in accordance with .

- - -

Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements restricting software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features; restricting roles allowed to approve program execution; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time.

- - - - Registration Compliance - - - - CM-7(3) - CM-07(03) - -

Ensure compliance with .

- - -

Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services.

- - - - Unauthorized Software — Blacklisting - - - - - - - CM-7(4) - CM-07(04) - CM-6 - CM-8 - CM-10 - PM-5 - - - (a) -

Identify ;

- - - (b) -

Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and

- - - (c) -

Review and update the list of unauthorized software programs .

- - - -

The process used to identify software programs or categories of software programs that are not authorized to execute on organizational systems is commonly referred to as blacklisting. Software programs identified can be limited to specific versions or from a specific source. The concept of blacklisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses.

- - - - Authorized Software — Whitelisting - - - - - - - CM-7(5) - CM-07(05) - CM-2 - CM-6 - CM-8 - CM-10 - PM-5 - SA-10 - SC-34 - SI-7 - - - (a) -

Identify ;

- - - (b) -

Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and

- - - (c) -

Review and update the list of authorized software programs .

- - - -

The process used to identify specific software programs or entire categories of software programs that are authorized to execute on organizational systems is commonly referred to as whitelisting. Software programs identified can be limited to specific versions or from a specific source. To facilitate comprehensive whitelisting and increase the strength of protection for attacks that bypass application level whitelisting, software programs may be decomposed into and monitored at different levels of detail. Software program levels of detail include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of whitelisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses. Organizations consider verifying the integrity of white-listed software programs using, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup. Whitelisting of URLs for websites is addressed in CA-3(5) and SC-7.

- - - - Confined Environments with Limited Privileges - - - - CM-7(6) - CM-07(06) - CM-11 - SC-44 - -

Require that the following user-installed software execute in a confined physical or virtual machine environment with limited privileges: .

- - -

Organizations identify software that may be of concern regarding its origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.

- - - - Code Execution in Protected Environments - - - - CM-7(7) - CM-07(07) - CM-10 - SC-44 - -

Allow execution of binary or machine-executable code only in confined physical or virtual machine environments and with the explicit approval of when such code is:

- - (a) -

Obtained from sources with limited or no warranty; and/or

- - - (b) -

Without the provision of source code.

- - - -

This control enhancement applies to all sources of binary or machine-executable code, including commercial software and firmware and open source software.

- - - - Binary or Machine Executable Code - CM-7(8) - CM-07(08) - SA-5 - SA-22 - - - (a) -

Prohibit the use of binary or machine-executable code from sources with limited or no warranty or without the provision of source code; and

- - - (b) -

Allow exceptions only for compelling mission or operational requirements and with the approval of the authorizing official.

- - - -

This control enhancement applies to all sources of binary or machine-executable code, including commercial software and firmware and open source software. Organizations assess software products without accompanying source code or from sources with limited or no warranty for potential security impacts. The assessments address the fact that software products without the provision of source code may be difficult to review, repair, or extend. In addition, there may be no owners to make such repairs on behalf of organizations. If open source software is used, the assessments address the fact that there is no warranty, the open source software could contain back doors or malware, and there may be no support available.

- - - - - System Component Inventory - - - - - - - CM-8 - CM-08 - [OMB A-130] - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - [SP 800-128] - CM-2 - CM-7 - CM-9 - CM-10 - CM-11 - CM-13 - CP-2 - CP-9 - MA-2 - MA-6 - PE-20 - PM-5 - SA-4 - SA-5 - SI-2 - SR-4 - - - a. -

Develop and document an inventory of system components that:

- - 1. -

Accurately reflects the system;

- - - 2. -

Includes all components within the system;

- - - 3. -

Is at the level of granularity deemed necessary for tracking and reporting; and

- - - 4. -

Includes the following information to achieve system component accountability: ; and

- - - - b. -

Review and update the system component inventory .

- - - -

System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location.

- - - Updates During Installation and Removal - CM-8(1) - CM-08(01) - PM-16 - -

Update the inventory of system components as part of component installations, removals, and system updates.

- - -

Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated routinely as part of component installations or removals, or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components.

- - - - Automated Maintenance - - - - CM-8(2) - CM-08(02) - -

Maintain the currency, completeness, accuracy, and availability of the inventory of system components using .

- - -

Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of CM-2(2) for organizations that combine system component inventory and baseline configuration activities.

- - - - Automated Unauthorized Component Detection - - - - - - - - - - - - - CM-8(3) - CM-08(03) - AC-19 - CA-7 - RA-5 - SC-3 - SC-39 - SC-44 - SI-3 - SI-4 - SI-7 - - - (a) -

Detect the presence of unauthorized hardware, software, and firmware components within the system using - ; and

- - - (b) -

Take the following actions when unauthorized components are detected: .

- - - -

Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices). Isolation can be achieved, for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as sandboxing.

- - - - Accountability Information - - - - CM-8(4) - CM-08(04) - -

Include in the system component inventory information, a means for identifying by , individuals responsible and accountable for administering those components.

- - -

Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required, for example, the component is determined to be the source of a breach; the component needs to be recalled or replaced; or the component needs to be relocated.

- - - - No Duplicate Accounting of Components - CM-8(5) - CM-08(05) - - - (a) -

Verify that all components within the system are not duplicated in other system component inventories; or

- - - (b) -

If a centralized component inventory is used, verify components are not assigned to multiple systems.

- - - -

Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of CM-8(7) can help to eliminate duplicate accounting of components.

- - - - Assessed Configurations and Approved Deviations - CM-8(6) - CM-08(06) - -

Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory.

- - -

Assessed configurations and approved deviations focus on configuration settings established by organizations for system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.

- - - - Centralized Repository - CM-8(7) - CM-08(07) - -

Provide a centralized repository for the inventory of system components.

- - -

Organizations may implement centralized system component inventories that include components from all organizational systems. Centralized repositories of component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability.

- - - - Automated Location Tracking - - - - CM-8(8) - CM-08(08) - -

Support the tracking of system components by geographic location using .

- - -

The use of automated mechanisms to track the location of system components can increase the accuracy of component inventories. Such capability may help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. The use of tracking mechanisms can be coordinated with senior agency officials for privacy if there are implications affecting individual privacy.

- - - - Assignment of Components to Systems - - - - - - - CM-8(9) - CM-08(09) - - - (a) -

Assign to a system; and

- - - (b) -

Receive an acknowledgement from of this assignment.

- - - -

Acquired system components that are not assigned to a specific system may be unmanaged, lack the required protection, and thus, become an organizational vulnerability. Organizations determine the types of system components that are subject to this control enhancement.

- - - - - Configuration Management Plan - - - - CM-9 - CM-09 - [SP 800-128] - CM-2 - CM-3 - CM-4 - CM-5 - CM-8 - PL-2 - SA-10 - SI-12 - -

Develop, document, and implement a configuration management plan for the system that:

- - a. -

Addresses roles, responsibilities, and configuration management processes and procedures;

- - - b. -

Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;

- - - c. -

Defines the configuration items for the system and places the configuration items under configuration management;

- - - d. -

Is reviewed and approved by ; and

- - - e. -

Protects the configuration management plan from unauthorized disclosure and modification.

- - - -

Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities. -Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes, how to update configuration settings and baselines, how to maintain component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. -Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Templates can represent a master configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, for example, the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control.

- - - Assignment of Responsibility - CM-9(1) - CM-09(01) - -

Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.

- - -

In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or system integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.

- - - - - Software Usage Restrictions - CM-10 - CM-10 - AC-17 - AU-6 - CM-7 - CM-8 - SC-7 - - - a. -

Use software and associated documentation in accordance with contract agreements and copyright laws;

- - - b. -

Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

- - - c. -

Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

- - - -

Software license tracking can be accomplished by manual or automated methods depending on organizational needs. A non-disclosure agreement is an example of a contract agreement.

- - - Open Source Software - - - - CM-10(1) - CM-10(01) - SI-7 - -

Establish the following restrictions on the use of open source software: .

- - -

Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, remediating vulnerabilities in open source software may be problematic. There may also be licensing issues associated with open source software, including the constraints on derivative use of such software. Open source software that is available only in binary form may increase the level of risk in using such software.

- - - - - User-installed Software - - - - - - - - - - CM-11 - CM-11 - AC-3 - AU-6 - CM-2 - CM-3 - CM-5 - CM-6 - CM-7 - CM-8 - PL-4 - SI-7 - - - a. -

Establish governing the installation of software by users;

- - - b. -

Enforce software installation policies through the following methods: ; and

- - - c. -

Monitor policy compliance .

- - - -

If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved “app stores.” Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods.

- - - Alerts for Unauthorized Installations - CM-11(1) - Withdrawn - CM-11(01) - CM-8(3) - - - Software Installation with Privileged Status - CM-11(2) - CM-11(02) - AC-5 - AC-6 - -

Allow user installation of software only with explicit privileged status.

- - -

Privileged status can be obtained, for example, by serving in the role of system administrator.

- - - - - Information Location - - - - CM-12 - CM-12 - [FIPS 199] - [SP 800-60 v1] - [SP 800-60 v2] - AC-2 - AC-3 - AC-4 - AC-6 - AC-23 - CM-8 - PM-5 - RA-2 - SA-4 - SA-8 - SA-17 - SC-4 - SC-16 - SC-28 - SI-4 - SI-7 - - - a. -

Identify and document the location of and the specific system components on which the information is processed and stored;

- - - b. -

Identify and document the users who have access to the system and system components where the information is processed and stored; and

- - - c. -

Document changes to the location (i.e., system or system components) where the information is processed and stored.

- - - -

Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and associated information reside in the system components; and how information is being processed so that information flow can be understood, and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see FIPS 199). The location of the information and system components is also a factor in the architecture and design of the system (see SA-4, SA-8, SA-17).

- - - Automated Tools to Support Information Location - - - - - - - CM-12(1) - CM-12(01) - -

Use automated tools to identify on to ensure controls are in place to protect organizational information and individual privacy.

- - -

The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information organization-wide. The output of automated information location tools can be used to guide and inform system architecture and design decisions.

- - - - - Data Action Mapping - CM-13 - CM-13 - [IR 8062] - CM-4 - CM-12 - PM-5 - PM-27 - -

Develop and document a map of system data actions.

- - -

Data actions are system operations that process personally identifiable information. The processing of such information encompasses the full information life cycle which includes collection, generation, transformation, use, disclosure, retention, and disposal. A map of system data actions includes discrete data actions, elements of personally identifiable information being processed in the data actions, components of the system involved in the data actions, and the owners or operators of the components. Understanding what personally identifiable information is being processed (e.g., the sensitivity of the personally identifiable information), how personally identifiable information is being processed (e.g., if the data action is visible to the individual or is processed on the backend of the system), and by whom (e.g., individuals may have different privacy perceptions based on the entity that is processing the personally identifiable information) provides a number of contextual factors that are important to assessing the degree of privacy risk created by the system. The data map may be an overlay of any system design artifact that the organization is using. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions and the components that are identified as part of the system.

- - - - - Contingency Planning - - Policy and Procedures - - - - - - - - - - - - - - - - CP-1 - CP-01 - [SP 800-12] - [SP 800-30] - [SP 800-34] - [SP 800-39] - [SP 800-50] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- contingency planning policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and

- - - c. -

Review and update the current contingency planning:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the CP family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Contingency Plan - - - - - - - - - - - - - CP-2 - CP-02 - [SP 800-34] - [IR 8179] - CP-3 - CP-4 - CP-6 - CP-7 - CP-8 - CP-9 - CP-10 - CP-11 - CP-13 - IR-4 - IR-6 - IR-8 - IR-9 - MA-6 - MP-2 - MP-4 - MP-5 - PL-2 - PM-8 - PM-11 - SA-15 - SA-20 - SC-7 - SC-23 - SI-12 - - - a. -

Develop a contingency plan for the system that:

- - 1. -

Identifies essential missions and business functions and associated contingency requirements;

- - - 2. -

Provides recovery objectives, restoration priorities, and metrics;

- - - 3. -

Addresses contingency roles, responsibilities, assigned individuals with contact information;

- - - 4. -

Addresses maintaining essential missions and business functions despite a system disruption, compromise, or failure;

- - - 5. -

Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented; and

- - - 6. -

Is reviewed and approved by ;

- - - - b. -

Distribute copies of the contingency plan to ;

- - - c. -

Coordinate contingency planning activities with incident handling activities;

- - - d. -

Review the contingency plan for the system ;

- - - e. -

Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;

- - - f. -

Communicate contingency plan changes to ; and

- - - g. -

Protect the contingency plan from unauthorized disclosure and modification.

- - - -

Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational missions and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. -In addition to availability, contingency plans address other security-related events resulting in a reduction in mission effectiveness including malicious attacks that compromise the integrity of systems or the confidentiality of information. Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system as specified in IR-4(5). Incident response planning is part of contingency planning for organizations and is addressed in the IR (Incident Response) family.

- - - Coordinate with Related Plans - CP-2(1) - CP-02(01) - -

Coordinate contingency plan development with organizational elements responsible for related plans.

- - -

Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Cyber Incident Response Plans, and Occupant Emergency Plans.

- - - - Capacity Planning - CP-2(2) - CP-02(02) - PE-11 - PE-12 - PE-13 - PE-14 - PE-18 - SC-5 - -

Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.

- - -

Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential missions and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance.

- - - - Resume Missions and Business Functions - - - - - - - CP-2(3) - CP-02(03) - -

Plan for the resumption of missions and business functions within of contingency plan activation.

- - -

Organizations may choose to conduct contingency planning activities to resume missions and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of missions and business functions. The time-period for the resumption of missions and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.

- - - - Resume All Missions and Business Functions - CP-2(4) - Withdrawn - CP-02(04) - CP-2(3) - - - Continue Missions and Business Functions - - - - CP-2(5) - CP-02(05) - -

Plan for the continuance of missions and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.

- - -

Organizations may choose to conduct the contingency planning activities to continue missions and business functions as part of business continuity planning or as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.

- - - - Alternate Processing and Storage Sites - - - - CP-2(6) - CP-02(06) - -

Plan for the transfer of missions and business functions to alternate processing and/or storage sites with minimal or no loss of operational continuity and sustain that continuity through system restoration to primary processing and/or storage sites.

- - -

Organizations may choose to conduct the contingency planning activities for alternate processing and storage sites as part of business continuity planning or as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.

- - - - Coordinate with External Service Providers - CP-2(7) - CP-02(07) - SA-9 - -

Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

- - -

When the capability of an organization to carry out its missions and business functions is dependent on external service providers, developing a comprehensive and timely contingency plan may become more challenging. When missions and business functions are dependent on external service providers, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.

- - - - Identify Critical Assets - - - - CP-2(8) - CP-02(08) - CM-8 - RA-9 - -

Identify critical system assets supporting missions and business functions.

- - -

Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational missions and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (manually executed operations) and personnel (individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing CP-2(7) as a control enhancement.

- - - - - Contingency Training - - - - - - - CP-3 - CP-03 - [SP 800-50] - AT-2 - AT-3 - AT-4 - CP-2 - CP-4 - CP-8 - IR-2 - IR-4 - IR-9 - -

Provide contingency training to system users consistent with assigned roles and responsibilities:

- - a. -

Within of assuming a contingency role or responsibility;

- - - b. -

When required by system changes; and

- - - c. -

- thereafter.

- - - -

Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan.

- - - Simulated Events - CP-3(1) - CP-03(01) - -

Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

- - -

The use of simulated events creates an environment for personnel to experience actual threat events including cyber-attacks that disable web sites, ransom-ware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures.

- - - - Mechanisms Used in Training Environments - CP-3(2) - CP-03(02) - -

Employ mechanisms used in operations to provide a more thorough and realistic contingency training environment.

- - -

Operational mechanisms refer to processes that have been established to accomplish an organizational goal or a system that supports a particular organizational mission or business objective. Actual mission/business processes, systems, and/or facilities may be used to generate simulated events and/or to enhance the realism of simulated events during contingency training.

- - - - - Contingency Plan Testing - - - - - - - CP-4 - CP-04 - [FIPS 199] - [SP 800-34] - [SP 800-84] - AT-3 - CP-2 - CP-3 - CP-8 - CP-9 - IR-3 - IR-4 - PL-2 - PM-14 - SR-2 - - - a. -

Test the contingency plan for the system using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: .

- - - b. -

Review the contingency plan test results; and

- - - c. -

Initiate corrective actions, if needed.

- - - -

Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.

- - - Coordinate with Related Plans - CP-4(1) - CP-04(01) - IR-8 - PM-8 - -

Coordinate contingency plan testing with organizational elements responsible for related plans.

- - -

Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations coordinate with those elements.

- - - - Alternate Processing Site - CP-4(2) - CP-04(02) - CP-7 - -

Test the contingency plan at the alternate processing site:

- - (a) -

To familiarize contingency personnel with the facility and available resources; and

- - - (b) -

To evaluate the capabilities of the alternate processing site to support contingency operations.

- - - -

Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience, firsthand, the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational missions and functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing.

- - - - Automated Testing - - - - CP-4(3) - CP-04(03) - -

Test the contingency plan using .

- - -

Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues; by selecting more realistic test scenarios and environments; and by effectively stressing the system and supported missions and business operations.

- - - - Full Recovery and Reconstitution - CP-4(4) - CP-04(04) - CP-10 - SC-24 - -

Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing.

- - -

Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes.

- - - - - Contingency Plan Update - CP-5 - Withdrawn - CP-05 - CP-2 - - - Alternate Storage Site - CP-6 - CP-06 - [SP 800-34] - CP-2 - CP-7 - CP-8 - CP-9 - CP-10 - MP-4 - MP-5 - PE-3 - SC-36 - SI-13 - - - a. -

Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and

- - - b. -

Ensure that the alternate storage site provides controls equivalent to that of the primary site.

- - - -

Alternate storage sites are sites that are geographically distinct from primary storage sites and that maintain duplicate copies of information and data if the primary storage site is not available. In contrast to alternate storage sites, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may also be considered as alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems.

- - - Separation from Primary Site - CP-6(1) - CP-06(01) - RA-3 - -

Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats.

- - -

Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.

- - - - Recovery Time and Recovery Point Objectives - CP-6(2) - CP-06(02) - -

Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.

- - -

Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations ensuring accessibility and correct execution.

- - - - Accessibility - CP-6(3) - CP-06(03) - RA-3 - -

Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.

- - - - - Alternate Processing Site - - - - - - - CP-7 - CP-07 - [SP 800-34] - CP-2 - CP-6 - CP-8 - CP-9 - CP-10 - MA-6 - PE-3 - PE-11 - PE-12 - PE-17 - SC-36 - SI-13 - - - a. -

Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of for essential missions and business functions within when the primary processing capabilities are unavailable;

- - - b. -

Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time-period for transfer and resumption; and

- - - c. -

Provide controls at the alternate processing site that are equivalent to those at the primary site.

- - - -

Alternate processing sites are sites that are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives such as failover to a cloud-based service provider or other internally- or externally-provided processing service. Geographically distributed architectures that support contingency requirements may also be considered as alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites; access rules; physical and environmental protection requirements; and the coordination for the transfer and assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems.

- - - Separation from Primary Site - CP-7(1) - CP-07(01) - RA-3 - -

Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats.

- - -

Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.

- - - - Accessibility - CP-7(2) - CP-07(02) - RA-3 - -

Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

- - -

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.

- - - - Priority of Service - CP-7(3) - CP-07(03) - -

Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives).

- - -

Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning.

- - - - Preparation for Use - CP-7(4) - CP-07(04) - CM-2 - CM-6 - CP-4 - -

Prepare the alternate processing site so that the site can serve as the operational site supporting essential missions and business functions.

- - -

Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place.

- - - - Equivalent Information Security Safeguards - CP-7(5) - Withdrawn - CP-07(05) - CP-7 - - - Inability to Return to Primary Site - CP-7(6) - CP-07(06) - -

Plan and prepare for circumstances that preclude returning to the primary processing site.

- - -

There may be situations that preclude an organization from returning to the primary processing site. This can occur, for example, if a natural disaster such as a flood or a hurricane damaged or destroyed a facility and it was determined that rebuilding in the same location was not prudent.

- - - - - Telecommunications Services - - - - - - - CP-8 - CP-08 - [SP 800-34] - CP-2 - CP-6 - CP-7 - CP-11 - SC-7 - -

Establish alternate telecommunications services, including necessary agreements to permit the resumption of for essential missions and business functions within when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

- - -

This control applies to telecommunications services (for data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions and business functions despite the loss of primary telecommunications services. Organizations may specify different time-periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines or the use of satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.

- - - Priority of Service Provisions - CP-8(1) - CP-08(01) - - - (a) -

Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and

- - - (b) -

Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.

- - - -

Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program and the Department of Homeland Security, manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program.

- - - - Single Points of Failure - CP-8(2) - CP-08(02) - -

Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

- - -

In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services.

- - - - Separation of Primary and Alternate Providers - CP-8(3) - CP-08(03) - -

Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

- - -

Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.

- - - - Provider Contingency Plan - - - - CP-8(4) - CP-08(04) - CP-3 - CP-4 - - - (a) -

Require primary and alternate telecommunications service providers to have contingency plans;

- - - (b) -

Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and

- - - (c) -

Obtain evidence of contingency testing and training by providers .

- - - -

Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.

- - - - Alternate Telecommunication Service Testing - - - - CP-8(5) - CP-08(05) - CP-3 - -

Test alternate telecommunication services .

- - -

Alternate telecommunications services testing is arranged through contractual agreements with service providers. The testing may occur in parallel with normal operations to ensure there is no degradation in organizational missions or functions.

- - - - - System Backup - - - - - - - - - - - - - CP-9 - CP-09 - [FIPS 140-3] - [FIPS 186-4] - [SP 800-34] - [SP 800-130] - [SP 800-152] - CP-2 - CP-6 - CP-10 - MP-4 - MP-5 - SC-13 - SI-4 - SI-13 - - - a. -

Conduct backups of user-level information contained in - ;

- - - b. -

Conduct backups of system-level information contained in the system ;

- - - c. -

Conduct backups of system documentation, including security and privacy-related documentation ; and

- - - d. -

Protect the confidentiality, integrity, and availability of backup information.

- - - -

System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of backup information while in transit is outside the scope of this control. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.

- - - Testing for Reliability and Integrity - - - - CP-9(1) - CP-09(01) - CP-4 - -

Test backup information to verify media reliability and information integrity.

- - -

Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance.

- - - - Test Restoration Using Sampling - CP-9(2) - CP-09(02) - CP-4 - -

Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing.

- - -

Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is used to determine if the functions operate as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed.

- - - - Separate Storage for Critical Information - - - - CP-9(3) - CP-09(03) - CM-2 - CM-6 - CM-8 - -

Store backup copies of in a separate facility or in a fire-rated container that is not collocated with the operational system.

- - -

Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire-rated containers.

- - - - Protection from Unauthorized Modification - CP-9(4) - Withdrawn - CP-09(04) - CP-9 - - - Transfer to Alternate Storage Site - - - - CP-9(5) - CP-09(05) - CP-7 - MP-3 - MP-4 - MP-5 - -

Transfer system backup information to the alternate storage site .

- - -

System backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.

- - - - Redundant Secondary System - CP-9(6) - CP-09(06) - CP-7 - -

Conduct system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.

- - -

The effect of system backup can be achieved by maintaining a redundant secondary system that mirrors the primary system, including the replication of information. If this type of redundancy is in place and there is sufficient geographic separation between the two systems, the secondary system can also serve as the alternate processing site.

- - - - Dual Authorization - - - - CP-9(7) - CP-09(07) - AC-3 - AC-5 - MP-2 - -

Enforce dual authorization for the deletion or destruction of .

- - -

Dual authorization ensures that deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting or destroying backup information possess the skills or expertise to determine if the proposed deletion or destruction of information reflects organizational policies and procedures. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals.

- - - - Cryptographic Protection - - - - CP-9(8) - CP-09(08) - SC-12 - SC-13 - SC-28 - -

Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of .

- - -

The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. This control enhancement applies to system backup information in storage at primary and alternate locations. Organizations implementing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.

- - - - - System Recovery and Reconstitution - - - - CP-10 - CP-10 - [SP 800-34] - CP-2 - CP-4 - CP-6 - CP-7 - CP-9 - IR-4 - SA-8 - SC-24 - SI-13 - -

Provide for the recovery and reconstitution of the system to a known state within after a disruption, compromise, or failure.

- - -

Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point, recovery time, and reconstitution objectives, and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning.

- - - Contingency Plan Testing - CP-10(1) - Withdrawn - CP-10(01) - CP-4 - - - Transaction Recovery - CP-10(2) - CP-10(02) - -

Implement transaction recovery for systems that are transaction-based.

- - -

Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling.

- - - - Compensating Security Controls - CP-10(3) - Withdrawn - CP-10(03) - -

- Addressed through tailoring procedures. -

- - - - Restore Within Time-period - - - - CP-10(4) - CP-10(04) - CM-2 - CM-6 - -

Provide the capability to restore system components within from configuration-controlled and integrity-protected information representing a known, operational state for the components.

- - -

Restoration of system components includes reimaging which restores the components to known, operational states.

- - - - Failover Capability - CP-10(5) - Withdrawn - CP-10(05) - SI-13 - - - Component Protection - CP-10(6) - CP-10(06) - AC-3 - AC-6 - MP-2 - MP-4 - PE-3 - PE-6 - -

Protect system components used for recovery and reconstitution.

- - -

Protection of system recovery and reconstitution components (i.e., hardware, firmware, and software) includes physical and technical controls. Backup and restoration components used for recovery and reconstitution include router tables, compilers, and other system software.

- - - - - Alternate Communications Protocols - - - - CP-11 - CP-11 - CP-2 - CP-8 - CP-13 - -

Provide the capability to employ in support of maintaining continuity of operations.

- - -

Contingency plans and the contingency training or testing associated with those plans, incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing alternate communications protocols prior to implementation.

- - - - Safe Mode - - - - - - - CP-12 - CP-12 - CM-2 - SA-8 - SC-24 - SI-13 - SI-17 - -

When are detected, enter a safe mode of operation with .

- - -

For systems supporting critical missions and business functions, including military operations, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations can identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated either automatically or manually, restricts the operations systems can execute when those conditions are encountered. Restriction includes allowing only selected functions to execute that can be carried out under limited power or with reduced communications bandwidth.

- - - - Alternative Security Mechanisms - - - - - - - CP-13 - CP-13 - CP-2 - CP-11 - SI-13 - -

Employ for satisfying when the primary means of implementing the security function is unavailable or compromised.

- - -

Use of alternative security mechanisms supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. The mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ alternative or supplemental mechanisms enhances mission and business continuity that might otherwise be adversely impacted if operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, the alternative or supplemental mechanisms are typically applied only to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue to senior executives and system administrators one-time pads if multifactor tokens, the standard means for secure remote authentication, is compromised.

- - - - Self-challenge - - - - - - - CP-14 - CP-14 - [SP 800-160 v2] - -

Employ to to affect the system or system components in an adverse manner.

- - -

Often the best means of assessing the effectiveness of the controls implemented within a system and the system resilience is to disrupt it in some manner. The autonomous service selected and implemented by the organization could disrupt system services in many ways, including terminating or disabling key system components, changing the configuration of system elements, altering privileges, or degrading critical functionality (e.g., restricting network bandwidth). Such automated, on-going, simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack.

- - - - - Identification and Authentication - - Policy and Procedures - - - - - - - - - - - - - - - - IA-1 - IA-01 - [OMB A-130] - [FIPS 201-2] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-63-3] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - [SP 800-100] - [IR 7874] - AC-1 - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- identification and authentication policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and

- - - c. -

Review and update the current identification and authentication:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the IA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Identification and Authentication (organizational Users) - IA-2 - IA-02 - [FIPS 140-3] - [FIPS 201-2] - [FIPS 202] - [SP 800-63-3] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - [SP 800-79-2] - [SP 800-156] - [SP 800-166] - [IR 7539] - [IR 7676] - [IR 7817] - [IR 7849] - [IR 7870] - [IR 7874] - [IR 7966] - AC-2 - AC-3 - AC-4 - AC-14 - AC-17 - AC-18 - AU-1 - AU-6 - IA-4 - IA-5 - IA-8 - MA-4 - MA-5 - PE-2 - PL-4 - SA-4 - SA-8 - -

Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users.

- - -

Organizations can satisfy the identification and authentication requirements by complying with the requirements in [HSPD 12]. Organizational users include employees or individuals that organizations consider having equivalent status of employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than accesses that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. -Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks. -The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8.

- - - Multifactor Authentication to Privileged Accounts - IA-2(1) - IA-02(01) - AC-5 - AC-6 - -

Implement multifactor authentication for access to privileged accounts.

- - -

Multifactor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number (PIN)); something you have (e.g., a physical authenticator or cryptographic private key stored in hardware or software); or something you are (e.g., a biometric). Multifactor authentication solutions that feature physical authenticators include hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

- - - - Multifactor Authentication to Non-privileged Accounts - IA-2(2) - IA-02(02) - AC-5 - -

Implement multifactor authentication for access to non-privileged accounts.

- - -

Multifactor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number (PIN)); something you have (e.g., a physical authenticator or cryptographic private key stored in hardware or software); or something you are (e.g., a biometric). Multifactor authentication solutions that feature physical authenticators include hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access, privileged accounts are authenticated using multifactor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

- - - - Local Access to Privileged Accounts - IA-2(3) - Withdrawn - IA-02(03) - IA-2(1) - - - Local Access to Non-privileged Accounts - IA-2(4) - Withdrawn - IA-02(04) - IA-2(2) - - - Individual Authentication with Group Authentication - IA-2(5) - IA-02(05) - -

When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.

- - -

Individual authentication prior to shared group authentication helps to mitigate the risk of using group accounts or authenticators.

- - - - Access to Accounts — Separate Device - - - - - - - - - - IA-2(6) - IA-02(06) - AC-6 - -

Implement multifactor authentication for access to such that:

- - (a) -

One of the factors is provided by a device separate from the system gaining access; and

- - - (b) -

The device meets .

- - - -

The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. Adversaries may be able to compromise credentials stored on the system and subsequently impersonate authorized users. Implementing one of the factors in multifactor authentication (e.g., a hardware token) on a separate device, provides a greater strength of mechanism and an increased level of assurance in the authentication process.

- - - - Access to Non-privileged Accounts — Separate Device - IA-2(7) - Withdrawn - IA-02(07) - IA-2(6) - - - Access to Accounts — Replay Resistant - - - - IA-2(8) - IA-02(08) - -

Implement replay-resistant authentication mechanisms for access to .

- - -

Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or challenge-response one-time authenticators.

- - - - Network Access to Non-privileged Accounts — Replay Resistant - IA-2(9) - Withdrawn - IA-02(09) - IA-2(8) - - - Single Sign-on - - - - IA-2(10) - IA-02(10) - -

Provide a single sign-on capability for .

- - -

Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multifactor authentication for applications and systems (existing and new) that may not be able to natively support multifactor authentication.

- - - - Remote Access — Separate Device - IA-2(11) - Withdrawn - IA-02(11) - IA-2(6) - - - Acceptance of PIV Credentials - IA-2(12) - IA-02(12) - -

Accept and electronically verify Personal Identity Verification-compliant credentials.

- - -

Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using [SP 800-79-2]. Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in [SP 800-166]. The DOD Common Access Card (CAC) is an example of a PIV credential.

- - - - Out-of-band Authentication - - - - - - - IA-2(13) - IA-02(13) - IA-10 - IA-11 - SC-37 - -

Implement the following out-of-band authentication mechanisms under : .

- - -

Out-of-band authentication refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. Out-of-band authentication can be used to mitigate actual or suspected man-in the-middle attacks. The conditions or criteria for activation can include suspicious activities, new threat indicators or elevated threat levels, or the impact or classification level of information in requested transactions.

- - - - - Device Identification and Authentication - - - - - - - IA-3 - IA-03 - AC-17 - AC-18 - AC-19 - AU-6 - CA-3 - CA-9 - IA-4 - IA-5 - IA-9 - IA-11 - SI-4 - -

Uniquely identify and authenticate before establishing a connection.

- - -

Devices that require unique device-to-device identification and authentication are defined by type, by device, or by a combination of type and device. Organization-defined device types can include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on large scale, organizations can restrict the application of the control to a limited number (and type) of devices based on need.

- - - Cryptographic Bidirectional Authentication - - - - - - - IA-3(1) - IA-03(01) - SC-8 - SC-12 - SC-13 - -

Authenticate before establishing connection using bidirectional authentication that is cryptographically based.

- - -

A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network. A remote connection is any connection with a device communicating through an external network. Bidirectional authentication provides stronger protection to validate the identity of other devices for connections that are of greater risk.

- - - - Cryptographic Bidirectional Network Authentication - IA-3(2) - Withdrawn - IA-03(02) - IA-3(1) - - - Dynamic Address Allocation - - - - IA-3(3) - IA-03(03) - AU-2 - - - (a) -

Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with ; and

- - - (b) -

Audit lease information when assigned to a device.

- - - -

The Dynamic Host Configuration (DHCP) protocol is an example of a means by which clients can dynamically receive network address assignments.

- - - - Device Attestation - - - - IA-3(4) - IA-03(04) - CM-2 - CM-3 - CM-6 - -

Handle device identification and authentication based on attestation by .

- - -

Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. Device attestation can be determined via a cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the patches and updates are done securely and at the same time do not disrupt the identification and authentication to other devices.

- - - - - Identifier Management - - - - - - - IA-4 - IA-04 - [FIPS 201-2] - [SP 800-63-3] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - IA-2 - IA-3 - IA-5 - IA-8 - IA-9 - MA-4 - PE-2 - PE-3 - PE-4 - PL-4 - PM-12 - PS-3 - PS-4 - PS-5 - SC-37 - -

Manage system identifiers by:

- - a. -

Receiving authorization from to assign an individual, group, role, service, or device identifier;

- - - b. -

Selecting an identifier that identifies an individual, group, role, service, or device;

- - - c. -

Assigning the identifier to the intended individual, group, role, service, or device; and

- - - d. -

Preventing reuse of identifiers for .

- - - -

Common device identifiers include media access control (MAC), Internet Protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the user names of the system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices.

- - - Prohibit Account Identifiers as Public Identifiers - IA-4(1) - IA-04(01) - AT-2 - -

Prohibit the use of system account identifiers that are the same as public identifiers for individual accounts.

- - -

This control enhancement applies to any publicly disclosed account identifier used for communication including, for example, electronic mail and instant messaging. Prohibiting the use of systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers. Prohibiting account identifiers as public identifiers without the implementation of other supporting controls only complicates guessing of identifiers. Additional protections are required for authenticators and attributes to protect the account.

- - - - Supervisor Authorization - IA-4(2) - Withdrawn - IA-04(02) - IA-12(1) - - - Multiple Forms of Certification - IA-4(3) - Withdrawn - IA-04(03) - IA-12(2) - - - Identify User Status - - - - IA-4(4) - IA-04(04) - -

Manage individual identifiers by uniquely identifying each individual as .

- - -

Characteristics identifying the status of individuals include contractors and foreign nationals. Identifying the status of individuals by characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.

- - - - Dynamic Management - - - - IA-4(5) - IA-04(05) - AC-16 - -

Manage individual identifiers dynamically in accordance with .

- - -

In contrast to conventional approaches to identification that presume static accounts for preregistered users, many distributed systems establish identifiers at run time for entities that were previously unknown. When identifiers are established at runtime for previously unknown entities, organizations can anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

- - - - Cross-organization Management - - - - IA-4(6) - IA-04(06) - AU-16 - IA-2 - IA-5 - -

Coordinate with the following external organizations for cross-organization management of identifiers: .

- - -

Cross-organization identifier management provides the capability to identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

- - - - In-person Registration - IA-4(7) - Withdrawn - IA-04(07) - IA-12(4) - - - Pairwise Pseudonymous Identifiers - IA-4(8) - IA-04(08) - IA-5 - -

Generate pairwise pseudonymous identifiers.

- - -

A pairwise pseudonymous identifier is an opaque unguessable subscriber identifier generated by an identify provider for use at a specific individual relying party. Generating distinct pairwise pseudonymous identifiers, with no identifying information about a subscriber, discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party, except in situations where relying parties can show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner.

- - - - Attribute Maintenance and Protection - - - - IA-4(9) - IA-04(09) - -

Maintain the attributes for each uniquely identified individual, device, or service in .

- - -

For each of the entities covered in IA-2, IA-3, IA-8, and IA-9, it is important to maintain the attributes for each authenticated entity on an ongoing basis in a central (protected) store.

- - - - - Authenticator Management - - - - IA-5 - IA-05 - [FIPS 140-3] - [FIPS 180-4] - [FIPS 201-2] - [FIPS 202] - [SP 800-63-3] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - [IR 7539] - [IR 7817] - [IR 7849] - [IR 7870] - [IR 8040] - AC-3 - AC-6 - CM-6 - IA-2 - IA-4 - IA-7 - IA-8 - IA-9 - MA-4 - PE-2 - PL-4 - -

Manage system authenticators by:

- - a. -

Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;

- - - b. -

Establishing initial authenticator content for any authenticators issued by the organization;

- - - c. -

Ensuring that authenticators have sufficient strength of mechanism for their intended use;

- - - d. -

Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;

- - - e. -

Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;

- - - f. -

Changing default authenticators prior to first use;

- - - g. -

Changing or refreshing authenticators ;

- - - h. -

Protecting authenticator content from unauthorized disclosure and modification;

- - - i. -

Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and

- - - j. -

Changing authenticators for group or role accounts when membership to those accounts changes.

- - - -

Authenticators include passwords, cryptographic devices, one-time password devices, and key cards. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements about authenticator content contain specific characteristics or criteria (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. -Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators; not sharing authenticators with others; and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed.

- - - Password-based Authentication - - - - - - - IA-5(1) - IA-05(01) - IA-6 - -

For password-based authentication:

- - (a) -

Maintain a list of commonly-used, expected, or compromised passwords and update the list and when organizational passwords are suspected to have been compromised directly or indirectly;

- - - (b) -

Verify, when users create or update passwords, that the passwords are not found on the organization-defined list of commonly-used, expected, or compromised passwords;

- - - (c) -

Transmit only cryptographically-protected passwords;

- - - (d) -

Store passwords using an approved hash algorithm and salt, preferably using a keyed hash;

- - - (e) -

Require immediate selection of a new password upon account recovery;

- - - (f) -

Allow user selection of long passwords and passphrases, including spaces and all printable characters;

- - - (g) -

Employ automated tools to assist the user in selecting strong password authenticators; and

- - - (h) -

Enforce the following composition and complexity rules: .

- - - -

Password-based authentication applies to passwords regardless of whether they are used in single-factor or multifactor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefit while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically-protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly-used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context specific words, for example, the name of the service, username, and derivatives thereof.

- - - - Implement a local cache of revocation data to support path discovery and validation. - IA-5(2) - IA-05(02) - IA-3 - SC-17 - -

Discussion: Public key cryptography is a valid authentication mechanism for individuals and machines or devices. When PKI is implemented, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation supports system availability in situations where organizations are unable to access revocation information via the network.

- - - - - In-person or Trusted External Party Registration - IA-5(3) - Withdrawn - IA-05(03) - IA-12(4) - - - Automated Support for Password Strength Determination - IA-5(4) - Withdrawn - IA-05(04) - IA-5(1) - - - Change Authenticators Prior to Delivery - IA-5(5) - IA-05(05) - -

Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation.

- - -

Changing authenticators prior to delivery and installation of system components extends the requirement for organizations to change default authenticators upon system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to developers of commercial off-the-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components.

- - - - Protection of Authenticators - IA-5(6) - IA-05(06) - RA-2 - -

Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.

- - -

For systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process.

- - - - No Embedded Unencrypted Static Authenticators - IA-5(7) - IA-05(07) - -

Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage.

- - -

In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators.

- - - - Multiple System Accounts - - - - IA-5(8) - IA-05(08) - -

Implement to manage the risk of compromise due to individuals having accounts on multiple systems.

- - -

When individuals have accounts on multiple systems, there is the risk that a compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Alternatives include having different authenticators on all systems; employing a single sign-on mechanism; or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see PL-4) and access agreements (see PS-6) to mitigate the risk of multiple system accounts.

- - - - Federated Credential Management - - - - IA-5(9) - IA-05(09) - AU-7 - AU-16 - -

Use the following external organizations to federate authenticators: .

- - -

Federation provides the capability for organizations to authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

- - - - Dynamic Credential Binding - - - - IA-5(10) - IA-05(10) - AU-16 - IA-5 - -

Bind identities and authenticators dynamically using the following rules: .

- - -

Authentication requires some form of binding between an identity and the authenticator that is used to confirm the identity. In conventional approaches, binding is established by pre-provisioning both the identity and the authenticator to the system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the system. New authentication techniques allow the binding between the identity and the authenticator to be implemented external to a system. For example, with smartcard credentials, the identity and authenticator are bound together on the smartcard. Using these credentials, systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

- - - - Hardware Token-based Authentication - IA-5(11) - Withdrawn - IA-05(11) - IA-2(1) - IA-2(2) - - - Biometric Authentication Performance - - - - IA-5(12) - IA-05(12) - AC-7 - -

For biometric-based authentication, employ mechanisms that satisfy the following biometric quality requirements .

- - -

Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and the stored biometric that serves as the basis of comparison. Matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include the match rate as this rate reflects the accuracy of the biometric matching algorithm used by a system.

- - - - Expiration of Cached Authenticators - - - - IA-5(13) - IA-05(13) - -

Prohibit the use of cached authenticators after .

- - -

If cached authentication information is out-of-date, the validity of the authentication information may be questionable.

- - - - Managing Content of PKI Trust Stores - IA-5(14) - IA-05(14) - -

For PKI-based authentication, employ an organization-wide methodology for managing the content of PKI trust stores installed across all platforms, including networks, operating systems, browsers, and applications.

- - -

An organization-wide methodology for managing the content of PKI trust stores helps improve the accuracy and currency of PKI-based authentication credentials across the organization.

- - - - Gsa-approved Products and Services - IA-5(15) - IA-05(15) - -

Use only General Services Administration-approved and validated products and services for identity, credential, and access management.

- - -

General Services Administration (GSA)-approved products and services are the products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List. GSA provides guidance for teams to design and build functional and secure systems that comply with Federal Identity, Credential, and Access Management (FICAM) policies, technologies, and implementation patterns.

- - - - In-person or Trusted External Party Authenticator Issuance - - - - - - - - - - - - - IA-5(16) - IA-05(16) - IA-12 - -

Require that the issuance of be conducted before with authorization by .

- - -

Issuing authenticators in person or by a trusted external party enhances and reinforces the trustworthiness of the identity proofing process.

- - - - Presentation Attack Detection for Biometric Authenticators - IA-5(17) - IA-05(17) - AC-7 - -

Employ presentation attack detection mechanisms for biometric-based authentication.

- - -

Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses; taking a picture of someone with a camera phone to obtain facial images with or without their knowledge; lifting from objects that someone has touched, for example, a latent fingerprint; or capturing a high-resolution image, for example, an iris pattern. Presentation attack detection technologies including liveness detection, can mitigate the risk of these types of attacks by making it difficult to produce artifacts intended to defeat the biometric sensor.

- - - - Password Managers - - - - - - - IA-5(18) - IA-05(18) - - - (a) -

Employ to generate and manage passwords; and

- - - (b) -

Protect the passwords using .

- - - -

For those systems where static passwords are employed, it is often a challenge to ensure that the passwords are suitably complex and that the same passwords are not employed on multiple systems. A password manager is a solution to this problem as it automatically generates and stores strong and different passwords for the various accounts. A potential risk of using password managers is that adversaries can target the collection of passwords generated by the password manager. Therefore, the collection of passwords requires protection including encrypting the passwords (see IA-5(1)d.) and storing the collection off-line in a token.

- - - - - Authenticator Feedback - IA-6 - IA-06 - AC-3 - -

Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.

- - -

Authenticator feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, for example, desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, for example, mobile devices with small displays, the threat may be less significant, and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authenticator feedback is selected accordingly. Obscuring authenticator feedback includes displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before obscuring it.

- - - - Cryptographic Module Authentication - IA-7 - IA-07 - [FIPS 140-3] - AC-3 - IA-5 - SA-4 - SC-12 - SC-13 - -

Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.

- - -

Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.

- - - - Identification and Authentication (non-organizational Users) - IA-8 - IA-08 - [OMB A-130] - [FIPS 201-2] - [SP 800-63-3] - [SP 800-79-2] - [SP 800-116] - [IR 8062] - AC-2 - AC-6 - AC-14 - AC-17 - AC-18 - AU-6 - IA-2 - IA-4 - IA-5 - IA-10 - IA-11 - MA-4 - RA-3 - SA-4 - SC-8 - -

Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.

- - -

Non-organizational users include system users other than organizational users explicitly covered by IA-2. Non-organizational users are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors, including security, privacy, scalability, and practicality in balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.

- - - Acceptance of PIV Credentials from Other Agencies - IA-8(1) - IA-08(01) - PE-3 - -

Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies.

- - -

Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using [SP 800-79-2].

- - - - Acceptance of External Credentials - IA-8(2) - IA-08(02) - -

Accept only external credentials that are NIST-compliant.

- - -

Acceptance of only NIST-compliant external credentials applies to organizational systems that are accessible to the public (e.g., public-facing websites). External credentials are those credentials issued by nonfederal government entities. External credentials are certified as compliant with [SP 800-63-3] by an approved accreditation authority. Approved external credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding federal requirements allows federal government relying parties to trust external credentials at their approved assurance levels.

- - - - Use of Ficam-approved Products - IA-8(3) - Withdrawn - IA-08(03) - IA-8(2) - - - Use of Nist-issued Profiles - IA-8(4) - IA-08(04) - -

Conform to NIST-issued profiles for identity management.

- - -

Conformance with NIST-issued profiles for identity management addresses open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the United States Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. The result is NIST-issued implementation profiles of approved protocols.

- - - - Acceptance of PIV-I Credentials - - - - IA-8(5) - IA-08(05) - -

Accept and verify federated or PKI credentials that meet .

- - -

This control enhancement can be implemented by PIV , PIV-I, and other commercial or external identity providers. Acceptance and verification of Personal Identity Verification (PIV)-I-compliant credentials applies to both logical and physical access control systems. Acceptance and verification of PIV-I credentials addresses nonfederal issuers of identity cards that desire to interoperate with United States Government PIV systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.

- - - - Disassociability - - - - IA-8(6) - IA-08(06) - -

Implement the following measures to disassociate user attributes or credential assertion relationships among individuals, credential service providers, and relying parties: .

- - -

Federated identity solutions can create increased privacy risks due to tracking and profiling of individuals. Using identifier mapping tables or cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks.

- - - - - Service Identification and Authentication - - - - IA-9 - IA-09 - IA-3 - IA-4 - IA-5 - SC-8 - -

Uniquely identify and authenticate before establishing communications with devices, users, or other services or applications.

- - -

Services that may require identification and authentication include web applications using digital certificates or services or applications that query a database. Identification and authentication methods for system services/applications include information or code signing, provenance graphs, and/or electronic signatures indicating the sources of services. Decisions regarding the validation of identification and authentication claims can be made by services separate from the services acting on those decisions. This can occur in distributed system architectures. In such situations, the identification and authentication decisions (instead of actual identifiers and authenticators) are provided to the services that need to act on those decisions.

- - - Information Exchange - IA-9(1) - Withdrawn - IA-09(01) - IA-9 - - - Transmission of Decisions - IA-9(2) - Withdrawn - IA-09(02) - IA-9 - - - - Adaptive Authentication - - - - - - - IA-10 - IA-10 - [SP 800-63-3] - IA-2 - IA-8 - -

Require individuals accessing the system to employ under specific .

- - -

Adversaries may compromise individual authentication mechanisms employed by organizations and subsequently attempt to impersonate legitimate users. To address this threat, organizations may employ specific techniques or mechanisms and establish protocols to assess suspicious behavior. Suspicious behavior may include accessing information that individuals do not typically access as part of their duties, roles, or responsibilities; accessing greater quantities of information than individuals would routinely access; or attempting to access information from suspicious network addresses. When pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number or types of records being accessed. Adaptive authentication does not replace and is not used to avoid the use of multifactor authentication mechanisms but can augment implementations of these controls.

- - - - Re-authentication - - - - IA-11 - IA-11 - AC-3 - AC-11 - IA-2 - IA-3 - IA-8 - -

Require users to re-authenticate when .

- - -

In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when authenticators or roles change; when security categories of systems change; when the execution of privileged functions occurs; after a fixed time-period; or periodically.

- - - - Identity Proofing - IA-12 - IA-12 - [FIPS 201-2] - [SP 800-63-3] - [SP 800-63A] - [SP 800-79-2] - IA-1 - IA-2 - IA-3 - IA-4 - IA-5 - IA-6 - IA-8 - - - a. -

Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;

- - - b. -

Resolve user identities to a unique individual; and

- - - c. -

Collect, validate, and verify identity evidence.

- - - -

Identity proofing is the process of collecting, validating, and verifying user’s identity information for the purposes of issuing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include [SP 800-63-3] and [SP 800-63A].

- - - Supervisor Authorization - IA-12(1) - IA-12(01) - -

Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization.

- - -

Including supervisor or sponsor authorization as part of the registration process provides an additional level of scrutiny to ensure that the user’s management chain is aware of the account, the account is essential to carry out organizational missions and functions, and the user’s privileges are appropriate for the anticipated responsibilities and authorities within the organization.

- - - - Identity Evidence - IA-12(2) - IA-12(02) - -

Require evidence of individual identification be presented to the registration authority.

- - -

Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risk to the systems, roles, and privileges associated with the user’s account.

- - - - Identity Evidence Validation and Verification - - - - IA-12(3) - IA-12(03) - -

Require that the presented identity evidence be validated and verified through .

- - -

Validating and verifying identity evidence increases the assurance that accounts, identifiers, and authenticators are being issued to the correct user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an actual person or individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risk to the systems, roles, and privileges associated with the users account

- - - - In-person Validation and Verification - IA-12(4) - IA-12(04) - -

Require that the validation and verification of identity evidence be conducted in person before a designated registration authority.

- - -

In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities.

- - - - Address Confirmation - - - - IA-12(5) - IA-12(05) - IA-12 - -

Require that a be delivered through an out-of-band channel to verify the users address (physical or digital) of record.

- - -

To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to increase assurance that the individual associated with an address of record is the same person that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts are obtained from records and not self-asserted by the user. The address can include a physical or a digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.

- - - - Accept Externally-proofed Identities - - - - IA-12(6) - IA-12(06) - IA-3 - IA-4 - IA-5 - IA-8 - -

Accept externally-proofed identities at .

- - -

To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and with the identity assurance level appropriate for the system, application, or information accessed. Accepting externally-proofed identities is a fundamental component of managing federated identities across agencies and organizations.

- - - - - - Incident Response - - Policy and Procedures - - - - - - - - - - - - - - - - IR-1 - IR-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-50] - [SP 800-61] - [SP 800-83] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- incident response policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the incident response policy and procedures; and

- - - c. -

Review and update the current incident response:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the IR family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Incident Response Training - - - - - - - IR-2 - IR-02 - [SP 800-50] - AT-2 - AT-3 - AT-4 - CP-3 - IR-3 - IR-4 - IR-8 - IR-9 - -

Provide incident response training to system users consistent with assigned roles and responsibilities:

- - a. -

Within of assuming an incident response role or responsibility or acquiring system access;

- - - b. -

When required by system changes; and

- - - c. -

- thereafter.

- - - -

Incident response training is associated with assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and finally, incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of AT-2 or AT-3.

- - - Simulated Events - IR-2(1) - IR-02(01) - -

Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations.

- - -

Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations.

- - - - Automated Training Environments - - - - IR-2(2) - IR-02(02) - -

Provide an incident response training environment using .

- - -

Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues; by selecting more realistic training scenarios and training environments; and by stressing the response capability.

- - - - - Incident Response Testing - - - - - - - IR-3 - IR-03 - [OMB A-130] - [SP 800-84] - [SP 800-115] - CP-3 - CP-4 - IR-2 - IR-4 - IR-8 - PM-14 - -

Test the effectiveness of the incident response capability for the system using the following tests: .

- - -

Organizations test incident response capabilities to determine the effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations, organizational assets, and individuals due to incident response. Use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.

- - - Automated Testing - - - - IR-3(1) - IR-03(01) - -

Test the incident response capability using .

- - -

Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished by providing more complete coverage of incident response issues; by selecting more realistic test scenarios and test environments; and by stressing the response capability.

- - - - Coordination with Related Plans - IR-3(2) - IR-03(02) - -

Coordinate incident response testing with organizational elements responsible for related plans.

- - -

Organizational plans related to incident response testing include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Contingency Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.

- - - - Continuous Improvement - IR-3(3) - IR-03(03) - -

Use qualitative and quantitative data from testing to:

- - (a) -

Determine the effectiveness of incident response processes;

- - - (b) -

Continuously improve incident response processes; and

- - - (c) -

Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.

- - - -

To help incident response activities function as intended, organizations may use metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents.

- - - - - Incident Handling - IR-4 - IR-04 - [SP 800-61] - [SP 800-86] - [SP 800-101] - [SP 800-150] - [SP 800-160 v2] - [SP 800-184] - [IR 7559] - AC-19 - AU-6 - AU-7 - CM-6 - CP-2 - CP-3 - CP-4 - IR-2 - IR-3 - IR-6 - IR-8 - IR-10 - PE-6 - PL-2 - PM-12 - SA-8 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - - - a. -

Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;

- - - b. -

Coordinate incident handling activities with contingency planning activities;

- - - c. -

Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and

- - - d. -

Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.

- - - -

Organizations recognize that incident response capability is dependent on the capabilities of organizational systems and the mission/business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission/business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive (function), operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. Suspected privacy incidents include a breach of personally identifiable information or the recognition that the processing of personally identifiable information creates potential privacy risk.

- - - Automated Incident Handling Processes - - - - IR-4(1) - IR-04(01) - -

Support the incident handling process using .

- - -

Automated mechanisms supporting incident handling processes include online incident management systems; and tools that support the collection of live response data, full network packet capture, and forensic analysis.

- - - - Dynamic Reconfiguration - - - - - - - IR-4(2) - IR-04(02) - AC-2 - AC-4 - CM-2 - -

Include the following types of dynamic reconfiguration for as part of the incident response capability: .

- - -

Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations perform dynamic reconfiguration of systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats.

- - - - Continuity of Operations - - - - - - - IR-4(3) - IR-04(03) - -

Identify and take the following actions in response to those incidents to ensure continuation of organizational missions and business functions: .

- - -

Classes of incidents include malfunctions due to design or implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions include orderly system degradation, system shutdown, fall back to manual mode or activation of alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved for when systems are under attack. Organizations consider whether continuity of operations requirements during an incident conflict with the capability to automatically disable the system as specified as part of IR-4(5).

- - - - Information Correlation - IR-4(4) - IR-04(04) - -

Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

- - -

Sometimes a threat event, for example, a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations.

- - - - Automatic Disabling of System - - - - IR-4(5) - IR-04(05) - -

Implement a configurable capability to automatically disable the system if are detected.

- - -

Organizations consider whether the capability to automatically disable the system conflicts with continuity of operations requirements specified as part of CP-2 or IR-4(3). Security violations include cyber-attacks that have compromised the integrity of the system or exfiltrated organizational information; serious errors in software programs that could adversely impact organizational missions or functions or jeopardize the safety of individuals.

- - - - Insider Threats — Specific Capabilities - IR-4(6) - IR-04(06) - -

Implement an incident handling capability for incidents involving insider threats.

- - -

While many organizations address insider threat incidents as part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.

- - - - Insider Threats — Intra-organization Coordination - - - - IR-4(7) - IR-04(07) - -

Coordinate an incident handling capability for insider threats that includes the following organizational entities .

- - -

Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires coordination among many organizational entities, including mission or business owners, system owners, human resources offices, procurement offices, personnel offices, physical security offices, senior agency information security officer, operations personnel, risk executive (function), senior agency official for privacy, and legal counsel. In addition, organizations may require external support from federal, state, and local law enforcement agencies.

- - - - Correlation with External Organizations - - - - - - - IR-4(8) - IR-04(08) - AU-16 - PM-16 - -

Coordinate with to correlate and share to achieve a cross-organization perspective on incident awareness and more effective incident responses.

- - -

The coordination of incident information with external organizations, including mission or business partners, military or coalition partners, customers, and developers, can provide significant benefits. Cross-organizational coordination can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization’s operations, assets, and individuals.

- - - - Dynamic Response Capability - - - - IR-4(9) - IR-04(09) - -

Employ to respond to incidents.

- - -

Dynamic response capability addresses the timely deployment of new or replacement organizational capabilities in response to incidents. This includes capabilities implemented at the mission and business process level and at the system level.

- - - - Supply Chain Coordination - IR-4(10) - IR-04(10) - CA-3 - MA-2 - SA-9 - SR-8 - -

Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain.

- - -

Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include compromises or breaches that involve system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations consider including processes for protecting and sharing incident information in information exchange agreements.

- - - - Integrated Incident Response Team - - - - IR-4(11) - IR-04(11) - AT-3 - -

Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in .

- - -

An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and can implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations the incident response team can be a cross organizational entity. -An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators), to leverage team knowledge of the threat and to implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or to specific missions and business functions, and to define responsive actions in a way that does not disrupt those missions and business functions. Incident response teams can be distributed within organizations to make the capability resilient.

- - - - Malicious Code and Forensic Analysis - - - - IR-4(12) - IR-04(12) - -

Analyze [Selection (one or more): malicious code; remaining in the system after the incident.

- - -

Analysis of malicious code and other residual artifacts of a security or privacy incident can give the organization insight into adversary tactics, techniques, and procedures. It can also indicate the identity or some defining characteristics of the adversary. Malicious code analysis can also help the organization develop responses to future incidents.

- - - - Behavior Analysis - - - - IR-4(13) - IR-04(13) - -

Analyze anomalous or suspected adversarial behavior in or related to .

- - -

If the organization maintains a deception environment, analysis of behaviors in that environment, including resources targeted by the adversary and timing of the incident or event, can provide insight into adversarial tactics, techniques, and procedures. External to a deception environment, the analysis of anomalous adversarial behavior (e.g., changes in system performance or usage patterns) or suspected behavior (e.g., changes in searches for the location of specific resources) can give the organization such insight.

- - - - Security Operations Center - IR-4(14) - IR-04(14) - -

Establish and maintain a security operations center.

- - -

A security operations center (SOC) is the focal point for security operations and computer network defense for an organization. The purpose of the SOC is to defend and monitor an organization’s systems and networks (i.e., cyber infrastructure) on an ongoing basis. The SOC is also responsible for detecting, analyzing, and responding to cybersecurity incidents in a timely manner. The organization staffs the SOC with skilled technical and operational personnel (e.g., security analysts, incident response personnel, systems security engineers) and implements a combination of technical, management, and operational controls (including monitoring, scanning, and forensics tools) to monitor, fuse, correlate, analyze, and respond to threat and security-relevant event data from multiple sources. These sources include perimeter defenses, network devices (e.g., routers, switches), and endpoint agent data feeds. The SOC provides a holistic situational awareness capability to help organizations determine the security posture of the system and organization. A SOC capability can be obtained in a variety of ways. Larger organizations may implement a dedicated SOC while smaller organizations may employ third-party organizations to provide such capability.

- - - - Publication Relations and Reputation Repair - IR-4(15) - IR-04(15) - - - (a) -

Manage public relations associated with an incident; and

- - - (b) -

Employ measures to repair the reputation of the organization.

- - - -

It is important for an organization to have a strategy in place for addressing incidents that have been brought to the attention of the general public and that have cast the organization in a negative light or affected the organization’s constituents (e.g., partners, customers). Such publicity can be extremely harmful to the organization and effect its ability to effectively carry out its missions and business functions. Taking proactive steps to repair the organization’s reputation is an essential aspect of reestablishing trust and confidence of its constituents.

- - - - - Incident Monitoring - IR-5 - IR-05 - [SP 800-61] - AU-6 - AU-7 - IR-8 - PE-6 - PM-5 - SC-5 - SC-7 - SI-3 - SI-4 - SI-7 - -

Track and document security, privacy, and supply chain incidents.

- - -

Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics; and evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring; incident reports; incident response teams; user complaints; supply chain partners; audit monitoring; physical access monitoring; and user and administrator reports.

- - - Automated Tracking, Data Collection, and Analysis - - - - IR-5(1) - IR-05(01) - AU-7 - IR-4 - -

Track security and privacy incidents and collect and analyze incident information using .

- - -

Automated mechanisms for tracking incidents and for collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices.

- - - - - Incident Reporting - - - - - - - IR-6 - IR-06 - [SP 800-61] - CM-6 - CP-2 - IR-4 - IR-5 - IR-8 - IR-9 - - - a. -

Require personnel to report suspected security, privacy, and supply chain incidents to the organizational incident response capability within ; and

- - - b. -

Report security, privacy, and supply chain incident information to .

- - - -

The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - Automated Reporting - - - - IR-6(1) - IR-06(01) - IR-7 - -

Report incidents using .

- - -

Reporting recipients are as specified in IR-6b. Automated reporting mechanisms include email, posting on web sites, and automated incident response tools and programs.

- - - - Vulnerabilities Related to Incidents - - - - IR-6(2) - IR-06(02) - -

Report system vulnerabilities associated with reported incidents to .

- - -

Reported incidents that uncover system vulnerabilities are analyzed by organizational personnel including system owners; mission/business owners; senior agency information security officers; senior agency officials for privacy; authorizing officials; and the risk executive (function). The analysis can serve to prioritize and initiate mitigation actions to address the discovered system vulnerability.

- - - - Supply Chain Coordination - IR-6(3) - IR-06(03) - SR-8 - -

Provide security and privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.

- - -

Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents including the ability to improve processes or to identify the root cause of an incident.

- - - - - Incident Response Assistance - IR-7 - IR-07 - [OMB A-130] - [IR 7559] - AT-2 - AT-3 - IR-4 - IR-6 - IR-8 - PM-22 - PM-26 - SA-9 - SI-18 - -

Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of security, privacy, and supply chain incidents.

- - -

Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required.

- - - Automation Support for Availability of Information and Support - - - - IR-7(1) - IR-07(01) - -

Increase the availability of incident response information and support using .

- - -

Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.

- - - - Coordination with External Providers - IR-7(2) - IR-07(02) - - - (a) -

Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and

- - - (b) -

Identify organizational incident response team members to the external providers.

- - - -

External providers of a system protection capability include the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. It may be beneficial to have agreements in place with external providers to clarify the roles and responsibilities of each party before an incident occurs.

- - - - - Incident Response Plan - - - - - - - - - - - - - - - - IR-8 - IR-08 - [OMB A-130] - [SP 800-61] - [OMB M-17-12] - AC-2 - CP-2 - CP-4 - IR-4 - IR-7 - IR-9 - PE-6 - PL-2 - SA-15 - SI-12 - SR-8 - - - a. -

Develop an incident response plan that:

- - 1. -

Provides the organization with a roadmap for implementing its incident response capability;

- - - 2. -

Describes the structure and organization of the incident response capability;

- - - 3. -

Provides a high-level approach for how the incident response capability fits into the overall organization;

- - - 4. -

Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;

- - - 5. -

Defines reportable incidents;

- - - 6. -

Provides metrics for measuring the incident response capability within the organization;

- - - 7. -

Defines the resources and management support needed to effectively maintain and mature an incident response capability;

- - - 8. -

Is reviewed and approved by - ; and

- - - 9. -

Explicitly designates responsibility for incident response to .

- - - - b. -

Distribute copies of the incident response plan to ;

- - - c. -

Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;

- - - d. -

Communicate incident response plan changes to ; and

- - - e. -

Protect the incident response plan from unauthorized disclosure and modification.

- - - -

It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions and business functions help determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information, include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.

- - - Privacy Breaches - IR-8(1) - IR-08(01) - PT-1 - PT-2 - PT-3 - PT-5 - PT-6 - PT-8 - -

Include the following in the Incident Response Plan for breaches involving personally identifiable information:

- - (a) -

A process to determine if notice to individuals or other organizations, including oversight organizations, is needed;

- - - (b) -

An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and

- - - (c) -

Identification of applicable privacy requirements.

- - - -

Organizations may be required by law, regulation, or policy to follow specific procedures relating to privacy breaches, including notice to individuals, affected organizations, and oversight bodies, standards of harm, and mitigation or other specific requirements.

- - - - - Information Spillage Response - - - - - - - - - - IR-9 - IR-09 - CP-2 - IR-6 - PM-26 - PM-27 - RA-7 - -

Respond to information spills by:

- - a. -

Assigning with responsibility for responding to information spills;

- - - b. -

Identifying the specific information involved in the system contamination;

- - - c. -

Alerting of the information spill using a method of communication not associated with the spill;

- - - d. -

Isolating the contaminated system or system component;

- - - e. -

Eradicating the information from the contaminated system or component;

- - - f. -

Identifying other systems or system components that may have been subsequently contaminated; and

- - - g. -

Performing the following additional actions: .

- - - -

Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of higher classification or impact level. At that point, corrective action is required. The nature of the response is based upon the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.

- - - Responsible Personnel - IR-9(1) - Withdrawn - IR-09(01) - IR-9 - - - Training - - - - IR-9(2) - IR-09(02) - AT-2 - AT-3 - CP-3 - IR-2 - -

Provide information spillage response training .

- - -

Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur.

- - - - Post-spill Operations - - - - IR-9(3) - IR-09(03) - -

Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: .

- - -

Correction actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business.

- - - - Exposure to Unauthorized Personnel - - - - IR-9(4) - IR-09(04) - -

Employ the following controls for personnel exposed to information not within assigned access authorizations: .

- - -

Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.

- - - - - Incident Analysis - IR-10 - Withdrawn - IR-10 - IR-4(11) - - - - Maintenance - - Policy and Procedures - - - - - - - - - - - - - - - - MA-1 - MA-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- maintenance policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the maintenance policy and procedures; and

- - - c. -

Review and update the current maintenance:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the MA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Controlled Maintenance - - - - - - - - - - MA-2 - MA-02 - [OMB A-130] - [IR 8023] - CM-2 - CM-3 - CM-4 - CM-5 - CM-8 - MA-4 - MP-6 - PE-16 - SI-2 - SR-3 - SR-4 - SR-11 - - - a. -

Schedule, document, and review records of maintenance, repair, or replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

- - - b. -

Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;

- - - c. -

Require that explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;

- - - d. -

Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: ;

- - - e. -

Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and

- - - f. -

Include the following information in organizational maintenance records: .

- - - -

Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes date and time of maintenance; name of individuals or group performing the maintenance; name of escort, if necessary; a description of the maintenance performed; and system components or equipment removed or replaced. Organizations consider supply chain issues associated with replacement components for systems.

- - - Record Content - MA-2(1) - Withdrawn - MA-02(01) - MA-2 - - - Automated Maintenance Activities - - - - MA-2(2) - MA-02(02) - MA-3 - - - (a) -

Schedule, conduct, and document maintenance, repair, and replacement actions for the system using ; and

- - - (b) -

Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed.

- - - -

The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records.

- - - - - Maintenance Tools - - - - MA-3 - MA-03 - [SP 800-88] - MA-2 - PE-16 - - - a. -

Approve, control, and monitor the use of system maintenance tools; and

- - - b. -

Review previously approved system maintenance tools .

- - - -

Approving, controlling, monitoring, and reviewing maintenance tools are intended to address security-related issues associated with maintenance tools that are not within system boundaries but are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for approval of maintenance tools and how that approval is documented. Periodic review of maintenance tools facilitates withdrawal of the approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items. Such tools can be vehicles for transporting malicious code, intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support system maintenance and are a part of the system, including the software implementing “ping,” “ls,” “ipconfig,” or the hardware and software implementing the monitoring port of an Ethernet switch, are not addressed by maintenance tools.

- - - Inspect Tools - MA-3(1) - MA-03(01) - SI-7 - -

Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications.

- - -

Maintenance tools can be brought into a facility directly by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.

- - - - Inspect Media - MA-3(2) - MA-03(02) - SI-3 - -

Check media containing diagnostic and test programs for malicious code before the media are used in the system.

- - -

If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.

- - - - Prevent Unauthorized Removal - - - - MA-3(3) - MA-03(03) - MP-6 - -

Prevent the removal of maintenance equipment containing organizational information by:

- - (a) -

Verifying that there is no organizational information contained on the equipment;

- - - (b) -

Sanitizing or destroying the equipment;

- - - (c) -

Retaining the equipment within the facility; or

- - - (d) -

Obtaining an exemption from explicitly authorizing removal of the equipment from the facility.

- - - -

Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards.

- - - - Restricted Tool Use - MA-3(4) - MA-03(04) - AC-3 - AC-5 - AC-6 - -

Restrict the use of maintenance tools to authorized personnel only.

- - -

This control enhancement applies to systems that are used to carry out maintenance functions.

- - - - Execution with Privilege - MA-3(5) - MA-03(05) - AC-3 - AC-6 - -

Monitor the use of maintenance tools that execute with increased privilege.

- - -

Maintenance tools that execute with increased system privilege can result in unauthorized access to organizational information and assets that would otherwise be inaccessible.

- - - - Software Updates and Patches - MA-3(6) - MA-03(06) - AC-3 - AC-6 - -

Inspect maintenance tools to ensure the latest software updates and patches are installed.

- - -

Maintenance tools using outdated and/or unpatched software can provide a threat vector for adversaries and result in a significant vulnerability for organizations.

- - - - - Nonlocal Maintenance - MA-4 - MA-04 - [FIPS 140-3] - [FIPS 197] - [FIPS 201-2] - [SP 800-63-3] - [SP 800-88] - AC-2 - AC-3 - AC-6 - AC-17 - AU-2 - AU-3 - IA-2 - IA-4 - IA-5 - IA-8 - MA-2 - MA-5 - PL-2 - SC-7 - SC-10 - - - a. -

Approve and monitor nonlocal maintenance and diagnostic activities;

- - - b. -

Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;

- - - c. -

Employ strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

- - - d. -

Maintain records for nonlocal maintenance and diagnostic activities; and

- - - e. -

Terminate session and network connections when nonlocal maintenance is completed.

- - - -

Nonlocal maintenance and diagnostic activities are conducted by individuals communicating through a network, either an external network or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the system and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.

- - - Logging and Review - - - - MA-4(1) - MA-04(01) - AU-6 - AU-12 - - - (a) -

Log for nonlocal maintenance and diagnostic sessions; and

- - - (b) -

Review the audit records of the maintenance and diagnostic sessions.

- - - -

Audit logging for nonlocal maintenance is enforced by AU-2. Audit events are defined in AU-2a. The review of audit records of maintenance and diagnostic sessions is to detect anomalous behavior.

- - - - Logically separated communications paths. - MA-4(2) - MA-04(02) - -

Discussion: Communications paths can be logically separated using encryption.

- - - - - Comparable Security and Sanitization - MA-4(3) - MA-04(03) - MP-6 - SI-3 - SI-7 - - - (a) -

Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or

- - - (b) -

Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system.

- - - -

Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced.

- - - - Authentication and Separation of Maintenance Sessions - - - - MA-4(4) - MA-04(04) - -

Protect nonlocal maintenance sessions by:

- - (a) -

Employing ; and

- - - (b) -

Separating the maintenance sessions from other network sessions with the system by either:

- - (1) -

Physically separated communications paths; or

- - - - - - Approvals and Notifications - - - - - - - MA-4(5) - MA-04(05) - - - (a) -

Require the approval of each nonlocal maintenance session by ; and

- - - (b) -

Notify the following personnel or roles of the date and time of planned nonlocal maintenance: .

- - - -

Notification may be performed by maintenance personnel. Approval of nonlocal maintenance is accomplished by personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance.

- - - - Cryptographic Protection - - - - MA-4(6) - MA-04(06) - SC-8 - SC-13 - -

Implement the following cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications: .

- - -

Failure to protect nonlocal maintenance and diagnostic communications can result in unauthorized individuals gaining access to sensitive organizational information. Unauthorized access during remote maintenance sessions can result in a variety of hostile actions including malicious code insertion, unauthorized changes to system parameters, and exfiltration of organizational information. Such actions can result in the loss or degradation of mission capability.

- - - - Disconnect Verification - MA-4(7) - MA-04(07) - AC-12 - -

Verify session and network connection termination after the completion of nonlocal maintenance and diagnostic sessions.

- - -

This control enhancement ensures that connections established during nonlocal maintenance and diagnostic sessions have been terminated and are no longer available for use.

- - - - - Maintenance Personnel - MA-5 - MA-05 - AC-2 - AC-3 - AC-5 - AC-6 - IA-2 - IA-8 - MA-4 - MP-2 - PE-2 - PE-3 - PS-7 - RA-3 - - - a. -

Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;

- - - b. -

Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and

- - - c. -

Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

- - - -

Maintenance personnel refers to individuals performing hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time-periods.

- - - Individuals Without Appropriate Access - - - - MA-5(1) - MA-05(01) - MP-6 - PL-2 - - - (a) -

Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:

- - (1) -

Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;

- - - (2) -

Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and

- - - - (b) -

Develop and implement in the event a system component cannot be sanitized, removed, or disconnected from the system.

- - - -

Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.

- - - - Security Clearances for Classified Systems - MA-5(2) - MA-05(02) - PS-3 - -

Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for compartments of information on the system.

- - -

Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system.

- - - - Citizenship Requirements for Classified Systems - MA-5(3) - MA-05(03) - PS-3 - -

Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens.

- - -

Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. If access to classified information on organizational systems is restricted to U. S. citizens, the same restriction is applied to personnel performing maintenance on those systems.

- - - - Foreign Nationals - MA-5(4) - MA-05(04) - PS-3 - -

Verify that:

- - (a) -

Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and

- - - (b) -

Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of Agreements.

- - - -

Personnel conducting maintenance on organizational systems may be exposed to classified information during the course of their maintenance activities. To mitigate the inherent risk of such exposure, organizations use maintenance personnel that are cleared (i.e., possess security clearances) to the classification level of the information stored on the system.

- - - - Non-system Maintenance - MA-5(5) - MA-05(05) - -

Verify that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations.

- - -

Personnel performing maintenance activities in other capacities not directly related to the system include physical plant personnel and custodial personnel.

- - - - - Timely Maintenance - - - - - - - MA-6 - MA-06 - CM-8 - CP-2 - CP-7 - RA-7 - SA-15 - SI-13 - SR-2 - SR-3 - SR-4 - -

Obtain maintenance support and/or spare parts for within of failure.

- - -

Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place.

- - - Preventive Maintenance - - - - - - - MA-6(1) - MA-06(01) - -

Perform preventive maintenance on at .

- - -

Preventive maintenance includes proactive care and the servicing of system components to maintain organizational equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid or mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they fail. Methods of determining what preventive (or other) failure management policies to apply include original equipment manufacturer recommendations; statistical failure records; expert opinion; maintenance that has already been conducted on similar equipment; requirements of codes, laws, or regulations within a jurisdiction; or measured values and performance indications.

- - - - Predictive Maintenance - - - - - - - MA-6(2) - MA-06(02) - -

Perform predictive maintenance on at .

- - -

Predictive maintenance evaluates the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the objective of predicting the future trend of the equipment's condition. The predictive maintenance approach employs principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thus, minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability.

- - - - Automated Support for Predictive Maintenance - - - - MA-6(3) - MA-06(03) - -

Transfer predictive maintenance data to a maintenance management system using .

- - -

A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates processing equipment condition data to trigger maintenance planning, execution, and reporting.

- - - - - Field Maintenance - - - - - - - MA-7 - MA-07 - MA-2 - MA-4 - MA-5 - -

Restrict or prohibit field maintenance on to .

- - -

Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls.

- - - - - Media Protection - - Policy and Procedures - - - - - - - - - - - - - - - - MP-1 - MP-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- media protection policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the media protection policy and procedures; and

- - - c. -

Review and update the current media protection:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the MP family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Media Access - - - - - - - MP-2 - MP-02 - [OMB A-130] - [FIPS 199] - [SP 800-111] - AC-19 - AU-9 - CP-2 - CP-9 - CP-10 - MA-5 - MP-4 - MP-6 - PE-2 - PE-3 - SC-13 - SC-34 - SI-12 - -

Restrict access to to .

- - -

System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), compact disks, and digital video disks. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact disks in the media library to individuals on the system development team is an example of restricting access to digital media.

- - - Automated Restricted Access - MP-2(1) - Withdrawn - MP-02(01) - MP-4(2) - - - Cryptographic Protection - MP-2(2) - Withdrawn - MP-02(02) - SC-28(1) - - - - Media Marking - - - - - - - MP-3 - MP-03 - [32 CFR 2002] - [FIPS 199] - AC-16 - CP-9 - MP-5 - PE-22 - SI-12 - - - a. -

Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and

- - - b. -

Exempt from marking if the media remain within .

- - - -

Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. System media includes digital and non-digital media. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), flash drives, compact disks, and digital video disks. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002]. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

- - - - Media Storage - - - - - - - MP-4 - MP-04 - [FIPS 199] - [SP 800-56A] - [SP 800-56B] - [SP 800-56C] - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - [SP 800-111] - AC-19 - CP-2 - CP-6 - CP-9 - CP-10 - MP-2 - MP-7 - PE-3 - PL-2 - SC-13 - SC-28 - SC-34 - SI-12 - - - a. -

Physically control and securely store within ; and

- - - b. -

Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

- - - -

System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state, magnetic), compact disks, and digital video disks. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet; or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. For media containing information determined to be in the public domain, to be publicly releasable, or to have limited adverse impact on organizations, operations, or individuals if accessed by other than authorized personnel, fewer controls may be needed. In these situations, physical access controls provide adequate protection.

- - - Cryptographic Protection - MP-4(1) - Withdrawn - MP-04(01) - SC-28(1) - - - Automated Restricted Access - - - - MP-4(2) - MP-04(02) - AC-3 - AU-2 - AU-6 - AU-9 - AU-12 - PE-3 - -

Restrict access to media storage areas, log access attempts, and access granted using .

- - -

Automated mechanisms include keypads or card readers on the external entries to media storage areas.

- - - - - Media Transport - - - - - - - MP-5 - MP-05 - [FIPS 199] - [SP 800-60 v1] - [SP 800-60 v2] - AC-7 - AC-19 - CP-2 - CP-9 - MP-3 - MP-4 - PE-16 - PL-2 - SC-13 - SC-28 - SC-34 - - - a. -

Protect and control during transport outside of controlled areas using ;

- - - b. -

Maintain accountability for system media during transport outside of controlled areas;

- - - c. -

Document activities associated with the transport of system media; and

- - - d. -

Restrict the activities associated with the transport of system media to authorized personnel.

- - - -

System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (solid state and magnetic), compact disks, and digital video disks. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel, and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records.

- - - Protection Outside of Controlled Areas - MP-5(1) - Withdrawn - MP-05(01) - MP-5 - - - Documentation of Activities - MP-5(2) - Withdrawn - MP-05(02) - MP-5 - - - Custodians - MP-5(3) - MP-05(03) - -

Employ an identified custodian during transport of system media outside of controlled areas.

- - -

Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is identified.

- - - - Cryptographic Protection - MP-5(4) - Withdrawn - MP-05(04) - SC-28(1) - - - - Media Sanitization - - - - - - - MP-6 - MP-06 - [OMB A-130] - [FIPS 199] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-88] - [SP 800-124] - [IR 8023] - [NSA MEDIA] - AC-3 - AC-7 - AU-11 - MA-2 - MA-3 - MA-4 - MA-5 - PM-22 - SI-12 - SI-18 - SI-19 - SR-11 - - - a. -

Sanitize prior to disposal, release out of organizational control, or release for reuse using ; and

- - - b. -

Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.

- - - -

Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media such as paper and microfilm. The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NARA policies controls the sanitization process for controlled unclassified information. NSA standards and policies control the sanitization process for media containing classified information.

- - - Review, Approve, Track, Document, and Verify - MP-6(1) - MP-06(01) - -

Review, approve, track, document, and verify media sanitization and disposal actions.

- - -

Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions; types of media sanitized; files stored on the media; sanitization methods used; date and time of the sanitization actions; personnel who performed the sanitization; verification actions taken and personnel who performed the verification; and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal.

- - - - Equipment Testing - - - - MP-6(2) - MP-06(02) - -

Test sanitization equipment and procedures to verify that the intended sanitization is being achieved.

- - -

Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers.

- - - - Nondestructive Techniques - - - - MP-6(3) - MP-06(03) - -

Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: .

- - -

Portable storage devices include external or removable hard disk drives (solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and can contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices.

- - - - Controlled Unclassified Information - MP-6(4) - Withdrawn - MP-06(04) - MP-6 - - - Classified Information - MP-6(5) - Withdrawn - MP-06(05) - MP-6 - - - Media Destruction - MP-6(6) - Withdrawn - MP-06(06) - MP-6 - - - Dual Authorization - - - - MP-6(7) - MP-06(07) - AC-3 - MP-2 - -

Enforce dual authorization for the sanitization of .

- - -

Organizations employ dual authorization to help ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals sanitizing system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals.

- - - - Remote Purging or Wiping of Information - - - - - - - - - - MP-6(8) - MP-06(08) - -

Provide the capability to purge or wipe information from - .

- - -

Remote purging or wiping of information protects information on organizational systems and system components if systems or components are obtained by unauthorized individuals. Remote purge or wipe commands require strong authentication to help mitigate the risk of unauthorized individuals purging or wiping the system, component, or device. The purge or wipe function can be implemented in a variety of ways, including by overwriting data or information multiple times or by destroying the key necessary to decrypt encrypted data.

- - - - - Media Use - - - - - - - - - - - - - MP-7 - MP-07 - [FIPS 199] - [SP 800-111] - AC-19 - AC-20 - PL-4 - PM-12 - SC-34 - SC-41 - - - a. -

- the use of on using ; and

- - - b. -

Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.

- - - -

System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact disks, digital video disks, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capability. In contrast to MP-2, which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling or removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.

- - - Prohibit Use Without Owner - MP-7(1) - Withdrawn - MP-07(01) - MP-7 - - - Prohibit Use of Sanitization-resistant Media - MP-7(2) - MP-07(02) - MP-6 - -

Prohibit the use of sanitization-resistant media in organizational systems.

- - -

Sanitization-resistance refers to non-destructive sanitization techniques and applies to the capability to purge information from media. Certain types of media do not support sanitization commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.

- - - - - Media Downgrading - - - - - - - MP-8 - MP-08 - - - a. -

Establish that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;

- - - b. -

Verify that the system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;

- - - c. -

Identify ; and

- - - d. -

Downgrade the identified system media using the established process.

- - - -

Media downgrading applies to digital and non-digital media, subject to release outside the organization, whether the media is considered removable or not removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading also ensures that empty space on the media is devoid of information.

- - - Documentation of Process - MP-8(1) - MP-08(01) - -

Document system media downgrading actions.

- - -

Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.

- - - - Equipment Testing - - - - MP-8(2) - MP-08(02) - -

Test downgrading equipment and procedures to verify that downgrading actions are being achieved.

- - -

None.

- - - - Controlled Unclassified Information - MP-8(3) - MP-08(03) - -

Downgrade system media containing controlled unclassified information prior to public release.

- - -

Downgrading of controlled unclassified information uses approved sanitization tools, techniques, and procedures.

- - - - Classified Information - MP-8(4) - MP-08(04) - -

Downgrade system media containing classified information prior to release to individuals without required access authorizations.

- - -

Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media.

- - - - - - Physical and Environmental Protection - - Policy and Procedures - - - - - - - - - - - - - - - - PE-1 - PE-01 - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - AT-3 - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- physical and environmental protection policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and

- - - c. -

Review and update the current physical and environmental protection:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the PE family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Physical Access Authorizations - - - - PE-2 - PE-02 - [FIPS 201-2] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - AT-3 - AU-9 - IA-4 - MA-5 - MP-2 - PE-3 - PE-4 - PE-5 - PE-8 - PM-12 - PS-3 - PS-4 - PS-5 - PS-6 - - - a. -

Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;

- - - b. -

Issue authorization credentials for facility access;

- - - c. -

Review the access list detailing authorized facility access by individuals ; and

- - - d. -

Remove individuals from the facility access list when access is no longer required.

- - - -

Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include biometrics, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations are not necessary to access areas within facilities that are designated as publicly accessible.

- - - Access by Position or Role - PE-2(1) - PE-02(01) - AC-2 - AC-3 - AC-6 - -

Authorize physical access to the facility where the system resides based on position or role.

- - -

Role-based facility access includes permanent maintenance personnel, duty officers, or emergency medical staff.

- - - - Two Forms of Identification - - - - PE-2(2) - PE-02(02) - IA-2 - IA-4 - IA-5 - -

Require two forms of identification from the following forms of identification for visitor access to the facility where the system resides: .

- - -

Acceptable forms of identification include passports, REAL ID-compliant drivers’ licenses, and Personal Identity Verification (PIV) cards. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.

- - - - Restrict Unescorted Access - - - - - - - PE-2(3) - PE-02(03) - PS-2 - PS-6 - -

Restrict unescorted access to the facility where the system resides to personnel with .

- - -

Individuals without required security clearances, access approvals, or need to know, are escorted by individuals with appropriate credentials to ensure that information is not exposed or otherwise compromised.

- - - - - Physical Access Control - - - - - - - - - - - - - - - - - - - - - - - - - - - - PE-3 - PE-03 - [FIPS 201-2] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - [SP 800-116] - AT-3 - AU-2 - AU-6 - AU-9 - AU-13 - CP-10 - IA-3 - IA-8 - MA-5 - MP-2 - MP-4 - PE-2 - PE-4 - PE-5 - PE-8 - PS-2 - PS-3 - PS-6 - PS-7 - RA-3 - SC-28 - SI-4 - SR-3 - - - a. -

Enforce physical access authorizations at by:

- - 1. -

Verifying individual access authorizations before granting access to the facility; and

- - - 2. -

Controlling ingress and egress to the facility using ;

- - - - b. -

Maintain physical access audit logs for ;

- - - c. -

Control access to areas within the facility designated as publicly accessible by implementing the following controls: ;

- - - d. -

Escort visitors and monitor visitor activity ;

- - - e. -

Secure keys, combinations, and other physical access devices;

- - - f. -

Inventory every ; and

- - - g. -

Change combinations and keys and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated.

- - - -

Physical access control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems requiring supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components.

- - - System Access - - - - PE-3(1) - PE-03(01) - -

Enforce physical access authorizations to the system in addition to the physical access controls for the facility at .

- - -

Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components.

- - - - Facility and Systems - - - - PE-3(2) - PE-03(02) - AC-4 - SC-7 - -

Perform security checks at the physical perimeter of the facility or system for exfiltration of information or removal of system components.

- - -

Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.

- - - - Continuous Guards - - - - PE-3(3) - PE-03(03) - CP-6 - CP-7 - PE-6 - -

Employ guards to control to the facility where the system resides 24 hours per day, 7 days per week.

- - -

Employing guards at selected physical access points to the facility provides a more rapid response capability for organizations. Guards also provide the opportunity for human surveillance in areas of the facility not covered by video surveillance.

- - - - Lockable Casings - - - - PE-3(4) - PE-03(04) - -

Use lockable physical casings to protect from unauthorized physical access.

- - -

The greatest risk from the use of portable devices such as notebook computers, tablets, and smart phones is theft. Organizations can employ lockable, physical casings to reduce or eliminate the risk of equipment theft. Such casings come in a variety of sizes, from units that protect a single notebook computer to full cabinets that can protect multiple servers, computers, and peripherals. Lockable physical casings can be used in conjunction with cable locks or lockdown plates to prevent the theft of the locked casing containing the computer equipment.

- - - - Tamper Protection - - - - - - - - - - PE-3(5) - PE-03(05) - SA-16 - SR-9 - SR-11 - -

Employ to physical tampering or alteration of within the system.

- - -

Organizations can implement tamper detection and prevention at selected hardware components or implement tamper detection at some components and tamper prevention at other components. Detection and prevention activities can employ many types of anti-tamper technologies, including tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.

- - - - Facility Penetration Testing - PE-3(6) - Withdrawn - PE-03(06) - CA-8 - - - Physical Barriers - PE-3(7) - PE-03(07) - -

Limit access using physical barriers.

- - -

Physical barriers include bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers.

- - - - Access Control Vestibules - - - - PE-3(8) - PE-03(08) - -

Employ access control vestibules at .

- - -

An access control vestibule, or mantrap, is part of a physical access control system that typically provides a space between two sets of interlocking doors. Mantraps are designed to prevent unauthorized individuals from following authorized individuals into facilities with controlled access. This activity, also known as piggybacking or tailgating, results in unauthorized access to the facility. Mantraps can also be used to limit the number of individuals entering controlled access points and to provide containment areas to verify credentials. Mantraps can be fully automated, controlling the opening and closing of the interlocking doors, or partially automated using security guards to control the number of individuals entering the mantrap.

- - - - - Access Control for Transmission - - - - - - - PE-4 - PE-04 - AT-3 - IA-4 - MP-2 - MP-4 - PE-2 - PE-3 - PE-5 - PE-9 - SC-7 - SC-8 - -

Control physical access to within organizational facilities using .

- - -

Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include locked wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays; and wiretapping sensors.

- - - - Access Control for Output Devices - - - - PE-5 - PE-05 - [IR 8023] - PE-2 - PE-3 - PE-4 - PE-18 - -

Control physical access to output from to prevent unauthorized individuals from obtaining the output.

- - -

Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only; placing output devices in locations that can be monitored by personnel; installing monitor or screen filters; and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers.

- - - Access to Output by Authorized Individuals - PE-5(1) - Withdrawn - PE-05(01) - PE-5 - - - Link to Individual Identity - PE-5(2) - PE-05(02) - -

Link individual identity to receipt of output from output devices.

- - -

Methods to link individual identity to receipt of output from output devices include installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals.

- - - - Marking Output Devices - - - - PE-5(3) - PE-05(03) - AC-3 - AC-4 - PE-22 - -

Mark indicating the security marking of the types of information output from the device.

- - -

Permissions controlling the output to outputs devices are addressed in AC-3 or AC-4. Outputs devices include printers, monitors, facsimile machines, scanners, copiers, and audio devices.

- - - - - Monitoring Physical Access - - - - - - - PE-6 - PE-06 - AU-2 - AU-6 - AU-9 - AU-12 - CA-7 - CP-10 - IR-4 - IR-8 - - - a. -

Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;

- - - b. -

Review physical access logs and upon occurrence of ; and

- - - c. -

Coordinate results of reviews and investigations with the organizational incident response capability.

- - - -

Physical access monitoring includes publicly accessible areas within organizational facilities. Physical access monitoring can be accomplished, for example, by the employment of guards, video surveillance equipment (i.e., cameras), or sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls such as AU-2 if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours; repeated accesses to areas not normally accessed; accesses for unusual lengths of time; and out-of-sequence accesses.

- - - Intrusion Alarms and Surveillance Equipment - PE-6(1) - PE-06(01) - -

Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.

- - -

Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards, triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, for example, motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility.

- - - - Automated Intrusion Recognition and Responses - - - - - - - - - - PE-6(2) - PE-06(02) - SI-4 - -

Recognize and initiate using .

- - -

Response actions can include notifying selected organizational personnel or law enforcement personnel. Automated mechanisms implemented to initiate response actions include system alert notifications, email and text messages, and activating door locking mechanisms. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide integrated threat coverage for the organization.

- - - - Video Surveillance - - - - - - - - - - PE-6(3) - PE-06(03) - - - (a) -

Employ video surveillance of ;

- - - (b) -

Review video recordings ; and

- - - (c) -

Retain video recordings for .

- - - -

Video surveillance focuses on recording activity in specified areas for purposes of subsequent review, if circumstances so warrant. Video recordings are typically reviewed to detect anomalous events or incidents. Monitoring the surveillance video is not required although organizations may choose to do so. There may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.

- - - - Monitoring Physical Access to Systems - - - - PE-6(4) - PE-06(04) - -

Monitor physical access to the system in addition to the physical access monitoring of the facility at .

- - -

Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization.

- - - - - Visitor Control - PE-7 - Withdrawn - PE-07 - PE-2 - PE-3 - - - Visitor Access Records - - - - - - - - - - PE-8 - PE-08 - PE-2 - PE-3 - PE-6 - - - a. -

Maintain visitor access records to the facility where the system resides for ;

- - - b. -

Review visitor access records ; and

- - - c. -

Report anomalies in visitor access records to .

- - - -

Visitor access records include names and organizations of persons visiting; visitor signatures; forms of identification; dates of access; entry and departure times; purpose of visits; and names and organizations of persons visited. Reviews of access records determines if access authorizations are current and still required to support organizational missions and business functions. Access records are not required for publicly accessible areas.

- - - Automated Records Maintenance and Review - - - - PE-8(1) - PE-08(01) - -

Maintain and review visitor access records using .

- - -

Visitor access records can be stored and maintained, for example, in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on regular basis to determine if access authorizations are current and still required to support organizational missions and business functions.

- - - - Physical Access Records - PE-8(2) - Withdrawn - PE-08(02) - PE-2 - - - - Power Equipment and Cabling - PE-9 - PE-09 - PE-4 - -

Protect power equipment and power cabling for the system from damage and destruction.

- - -

Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. Power equipment and cabling includes generators and power cabling outside of buildings; internal cabling and uninterruptable power sources in offices or data centers; and power sources for self-contained components such as satellites, vehicles, and other deployable systems.

- - - Redundant Cabling - - - - PE-9(1) - PE-09(01) - -

Employ redundant power cabling paths that are physically separated by .

- - -

Physically separate and redundant power cables ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

- - - - Automatic Voltage Controls - - - - PE-9(2) - PE-09(02) - -

Employ automatic voltage controls for .

- - -

Automatic voltage controls can monitor and control voltage. Such controls include voltage regulators, voltage conditioners, and voltage stabilizers.

- - - - - Emergency Shutoff - - - - - - - PE-10 - PE-10 - PE-15 - - - a. -

Provide the capability of shutting off power to in emergency situations;

- - - b. -

Place emergency shutoff switches or devices in to facilitate access for authorized personnel; and

- - - c. -

Protect emergency power shutoff capability from unauthorized activation.

- - - -

Emergency power shutoff applies primarily to organizational facilities containing concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery.

- - - Accidental and Unauthorized Activation - PE-10(1) - Withdrawn - PE-10(01) - PE-10 - - - - Emergency Power - - - - PE-11 - PE-11 - AT-3 - CP-2 - CP-7 - -

Provide an uninterruptible power supply to facilitate in the event of a primary power source loss.

- - -

An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of most UPS is relatively short but provides sufficient time to start a standby power source such as a backup generator or properly shut down the system.

- - - Alternate Power Supply — Minimal Operational Capability - - - - PE-11(1) - PE-11(01) - -

Provide an alternate power supply for the system that is activated and that can maintain minimally required operational capability in the event of an extended loss of the primary power source.

- - -

Provision of an alternate power supply with minimal operating capability can be satisfied, for example, by accessing a secondary commercial power supply or other external power supply.

- - - - Alternate Power Supply — Self-contained - - - - - - - PE-11(2) - PE-11(02) - -

Provide an alternate power supply for the system that is activated and that is:

- - (a) -

Self-contained;

- - - (b) -

Not reliant on external power generation; and

- - - (c) -

Capable of maintaining in the event of an extended loss of the primary power source.

- - - -

The provision of a long-term, self-contained power supply, can be satisfied by using one or more generators with sufficient capacity to meet the needs of the organization.

- - - - - Emergency Lighting - PE-12 - PE-12 - CP-2 - CP-7 - -

Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

- - -

The provision of emergency lighting applies primarily to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system cannot be provided or fails, organizations consider alternate processing sites.

- - - Essential Missions and Business Functions - PE-12(1) - PE-12(01) - -

Provide emergency lighting for all areas within the facility supporting essential missions and business functions.

- - -

Organizations define their essential missions and functions.

- - - - - Fire Protection - PE-13 - PE-13 - AT-3 - -

Employ and maintain fire detection and suppression systems that are supported by an independent energy source.

- - -

The provision of fire detection and suppression systems applies to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems, fixed fire hoses, and smoke detectors.

- - - Detection Systems – Automatic Activation and Notification - - - - - - - PE-13(1) - PE-13(01) - -

Employ fire detection systems that activate automatically and notify and in the event of a fire.

- - -

Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances, for example, to enter to facilities where access is restricted due to the classification or impact level of information within the facility. Notification mechanisms may require independent energy sources to ensure the notification capability is not adversely affected by the fire.

- - - - Suppression Systems – Automatic Activation and Notification - - - - - - - PE-13(2) - PE-13(02) - - - (a) -

Employ fire suppression systems that activate automatically and notify and ; and

- - - (b) -

Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis.

- - - -

Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to enter to facilities where access is restricted due to the impact level or classification of information within the facility. Notification mechanisms may require independent energy sources to ensure the notification capability is not adversely affected by the fire.

- - - - Automatic Fire Suppression - PE-13(3) - Withdrawn - PE-13(03) - PE-13(2) - - - Inspections - - - - - - - PE-13(4) - PE-13(04) - -

Ensure that the facility undergoes fire protection inspections by authorized and qualified inspectors and identified deficiencies are resolved within .

- - -

Authorized and qualified personnel within the jurisdiction of the organization include state, county, and city fire inspectors and fire marshals. Organizations provide escorts during inspections in situations where the systems that reside within the facilities contain sensitive information.

- - - - - Environmental Controls - - - - - - - - - - - - - PE-14 - PE-14 - AT-3 - CP-2 - PE-21 - - - a. -

Maintain levels within the facility where the system resides at ; and

- - - b. -

Monitor environmental control levels .

- - - -

The provision of environmental controls applies primarily to organizational facilities containing concentrations of system resources, for example, data centers, server rooms, and mainframe computer rooms. Insufficient controls, especially in harsh environments, can have a significant adverse impact on the systems and system components that are needed to support organizational missions and business functions. Environmental controls, such as electromagnetic pulse (EMP) protection described in PE-21, are especially significant for systems and applications that are part of the U.S. critical infrastructure.

- - - Automatic Controls - - - - PE-14(1) - PE-14(01) - -

Employ the following automatic environmental controls in the facility to prevent fluctuations potentially harmful to the system: .

- - -

The implementation of automatic environmental controls provides an immediate response to environmental conditions that can damage, degrade, or destroy organizational systems or systems components.

- - - - Monitoring with Alarms and Notifications - - - - PE-14(2) - PE-14(02) - -

Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to .

- - -

The alarm or notification may be, for example, an audible alarm or a message in real time to personnel or roles defined by the organization. Such alarms and/or notifications can help to minimize harm to individuals and damage to organizational assets by facilitating a timely incident response.

- - - - - Water Damage Protection - PE-15 - PE-15 - AT-3 - PE-10 - -

Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

- - -

The provision of water damage protection applies primarily to organizational facilities containing concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.

- - - Automation Support - - - - - - - PE-15(1) - PE-15(01) - -

Detect the presence of water near the system and alert using .

- - -

Automated mechanisms include notification systems, water detection sensors, and alarms.

- - - - - Delivery and Removal - - - - PE-16 - PE-16 - CM-3 - CM-8 - MA-2 - MA-3 - MP-5 - PE-20 - SR-2 - SR-3 - SR-4 - SR-6 - - - a. -

Authorize and control entering and exiting the facility; and

- - - b. -

Maintain records of the system components.

- - - -

Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.

- - - - Alternate Work Site - - - - - - - PE-17 - PE-17 - [SP 800-46] - AC-17 - AC-18 - CP-7 - - - a. -

Determine and document the allowed for use by employees;

- - - b. -

Employ the following controls at alternate work sites: ;

- - - c. -

Assess the effectiveness of controls at alternate work sites; and

- - - d. -

Provide a means for employees to communicate with information security and privacy personnel in case of incidents.

- - - -

Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations.

- - - - Location of System Components - - - - PE-18 - PE-18 - CP-2 - PE-5 - PE-19 - PE-20 - RA-3 - -

Position system components within the facility to minimize potential damage from and to minimize the opportunity for unauthorized access.

- - -

Physical and environmental hazards include floods, fires, tornados, earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications, including using wireless sniffers or microphones.

- - - Facility Site - PE-18(1) - Withdrawn - PE-18(01) - PE-23 - - - - Information Leakage - PE-19 - PE-19 - [FIPS 199] - AC-18 - PE-18 - PE-20 - -

Protect the system from information leakage due to electromagnetic signals emanations.

- - -

Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations.

- - - National Emissions and Tempest Policies and Procedures - PE-19(1) - PE-19(01) - -

Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information.

- - -

Emissions Security (EMSEC) policies include the former TEMPEST policies.

- - - - - Asset Monitoring and Tracking - - - - - - - - - - PE-20 - PE-20 - CM-8 - PE-16 - PM-8 - -

Employ to track and monitor the location and movement of within .

- - -

Asset location technologies can help ensure that critical assets, including vehicles, equipment, or system components remain in authorized locations. Organizations consult with the Office of the General Counsel and senior agency official for privacy regarding the deployment and use of asset location technologies to address potential privacy concerns.

- - - - Electromagnetic Pulse Protection - - - - - - - PE-21 - PE-21 - PE-18 - PE-19 - -

Employ against electromagnetic pulse damage for .

- - -

An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding.

- - - - Component Marking - - - - PE-22 - PE-22 - AC-16 - MP-3 - -

Mark indicating the impact level or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.

- - -

Hardware components that require marking include input devices marked to indicate the classification of the network to which the devices are connected or a multifunction printer or copier residing in a classified area. Security marking refers to the use of human-readable security attributes. Security labeling refers to the use of security attributes for internal data structures within systems. Security marking is generally not required for hardware components processing, storing, or transmitting information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components processing, storing, or transmitting public information indicating that such information is publicly releasable. Marking of system hardware components reflects applicable laws, executive orders, directives, policies, regulations, and standards.

- - - - Facility Location - PE-23 - PE-23 - CP-2 - PE-18 - PE-19 - PM-8 - PM-9 - RA-3 - - - a. -

Plan the location or site of the facility where the system resides considering physical and environmental hazards; and

- - - b. -

For existing facilities, consider the physical and environmental hazards in the organizational risk management strategy.

- - - -

Physical and environmental hazards include floods, fires, tornados, earthquakes, hurricanes, terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. The location of system components within the facility is addressed in PE-18.

- - - - - Planning - - Policy and Procedures - - - - - - - - - - - - - - - - PL-1 - PL-01 - [OMB A-130] - [SP 800-12] - [SP 800-18] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- planning policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the planning policy and the associated planning controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the planning policy and procedures; and

- - - c. -

Review and update the current planning:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - System Security and Privacy Plans - - - - - - - - - - PL-2 - PL-02 - [OMB A-130, Appendix II] - [SP 800-18] - [SP 800-37] - [SP 800-160 v1] - [SP 800-160 v2] - AC-2 - AC-6 - AC-14 - AC-17 - AC-20 - CA-2 - CA-3 - CA-7 - CM-9 - CM-13 - CP-2 - CP-4 - IR-4 - IR-8 - MA-4 - MA-5 - MP-4 - MP-5 - PL-7 - PL-8 - PL-10 - PL-11 - PM-1 - PM-7 - PM-8 - PM-9 - PM-10 - PM-11 - RA-3 - RA-8 - RA-9 - SA-5 - SA-17 - SA-22 - SI-12 - SR-2 - SR-4 - - - a. -

Develop security and privacy plans for the system that:

- - 1. -

Are consistent with the organization’s enterprise architecture;

- - - 2. -

Explicitly define the constituent system components;

- - - 3. -

Describe the operational context of the system in terms of missions and business processes;

- - - 4. -

Provide the security categorization of the system, including supporting rationale;

- - - 5. -

Describe any specific threats to the system that are of concern to the organization;

- - - 6. -

Provide the results of a privacy risk assessment for systems processing personally identifiable information;

- - - 7. -

Describe the operational environment for the system and any dependencies on or connections to other systems or system components;

- - - 8. -

Provide an overview of the security and privacy requirements for the system;

- - - 9. -

Identify any relevant control baselines or overlays, if applicable;

- - - 10. -

Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;

- - - 11. -

Include risk determinations for security and privacy architecture and design decisions;

- - - 12. -

Include security- and privacy-related activities affecting the system that require planning and coordination with ; and

- - - 13. -

Are reviewed and approved by the authorizing official or designated representative prior to plan implementation.

- - - - b. -

Distribute copies of the plans and communicate subsequent changes to the plans to ;

- - - c. -

Review the plans ;

- - - d. -

Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and

- - - e. -

Protect the plans from unauthorized disclosure and modification.

- - - -

System security and privacy plans contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle, for example, during capability determination, analysis of alternatives, requests for proposal, and design reviews. Section 2.1 describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls. -Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements, but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment statements explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented. Organizations can also apply the tailoring guidance to the control baselines in [SP 800-53B] to develop overlays for community-wide use or to address specialized requirements, technologies, missions, business applications, or environments of operation. -Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps to reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but instead can provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans. -Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include: assessments, audits, and inspections; hardware and software maintenance; patch management; and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included other documents, as appropriate.

- - - Concept of Operations - PL-2(1) - Withdrawn - PL-02(01) - PL-7 - - - Functional Architecture - PL-2(2) - Withdrawn - PL-02(02) - PL-8 - - - Plan and Coordinate with Other Organizational Entities - PL-2(3) - Withdrawn - PL-02(03) - PL-2 - - - - System Security Plan Update - PL-3 - Withdrawn - PL-03 - PL-2 - - - Rules of Behavior - - - - - - - - - - PL-4 - PL-04 - [OMB A-130] - [SP 800-18] - AC-2 - AC-6 - AC-8 - AC-9 - AC-17 - AC-18 - AC-19 - AC-20 - AT-2 - AT-3 - CM-11 - IA-2 - IA-4 - IA-5 - MP-7 - PS-6 - PS-8 - SA-5 - SI-12 - - - a. -

Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;

- - - b. -

Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;

- - - c. -

Review and update the rules of behavior ; and

- - - d. -

Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge .

- - - -

Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see PS-6). Organizations consider rules of behavior based on individual user roles and responsibilities, and differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who simply receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in AC-8. The related controls section provides a list of controls that are relevant to organizational rules of behavior. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the awareness training and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures; and electronic agreement check boxes or radio buttons.

- - - Social Media and External Site/application Usage Restrictions - PL-4(1) - PL-04(01) - AC-22 - AU-13 - -

Include in the rules of behavior, restrictions on:

- - (a) -

Use of social media, social networking sites, and external sites/applications;

- - - (b) -

Posting organizational information on public websites; and

- - - (c) -

Use of organization-provided credentials (i.e., email addresses) for creating accounts on external sites/applications.

- - - -

Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of these sites when organizational personnel are using such sites for official duties or in the conduct of official business; when organizational information is involved in social media and networking transactions; and when personnel are accessing social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining, either directly or through inference, non-public organizational information from social media and networking sites. Non-public information includes, for example, personally identifiable information and system account information.

- - - - - Privacy Impact Assessment - PL-5 - Withdrawn - PL-05 - RA-8 - - - Security-related Activity Planning - PL-6 - Withdrawn - PL-06 - PL-2 - - - Concept of Operations - - - - PL-7 - PL-07 - [OMB A-130, Appendix II] - PL-2 - SA-2 - SI-12 - - - a. -

Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and

- - - b. -

Review and update the CONOPS .

- - - -

The CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents. The CONOPS is a living document that requires updating throughout the system development life cycle. For example, during system design reviews, the concept of operations is checked to ensure that it remains consistent with the design for controls, the system architecture, and the operational procedures. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, security and privacy architectures, and other appropriate organizational documents, for example, procurement specifications, system development life cycle documents, and systems engineering documents.

- - - - Security and Privacy Architectures - - - - PL-8 - PL-08 - [OMB A-130] - [SP 800-160 v1] - [SP 800-160 v2] - CM-2 - CM-6 - PL-2 - PL-7 - PL-9 - PM-5 - PM-7 - RA-9 - SA-3 - SA-5 - SA-8 - SA-17 - - - a. -

Develop security and privacy architectures for the system that:

- - 1. -

Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;

- - - 2. -

Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;

- - - 3. -

Describe how the architectures are integrated into and support the enterprise architecture; and

- - - 4. -

Describe any assumptions about, and dependencies on, external systems and services;

- - - - b. -

Review and update the architectures to reflect changes in the enterprise architecture; and

- - - c. -

Reflect planned architecture changes in the security and privacy plans, the Concept of Operations (CONOPS), organizational procedures, and procurements and acquisitions.

- - - -

The system-level security and privacy architectures are consistent with organization-wide security and privacy architectures described in PM-7 that are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, for example, user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; restoration priorities of information and system services; and other protection needs. -[SP 800-160 v1] provides guidance on the use of security architectures as part of the system development life cycle process. [OMB M-19-03] requires the use of the systems security engineering concepts described in [SP 800-160 v1] for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle from analysis of alternatives through review of the proposed architecture in the RFP responses, to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews). -In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that controls needed to support security and privacy requirements are identified and effectively implemented. -PL-8 is primarily directed at organizations to ensure that architectures are developed for the system, and moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, SA-17 is primarily directed at the external information technology product and system developers and integrators. SA-17, which is complementary to PL-8, is selected when organizations outsource the development of systems or components to external entities, and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.

- - - Defense-in-depth - - - - - - - PL-8(1) - PL-08(01) - SC-2 - SC-3 - SC-29 - SC-36 - -

Design the security and privacy architectures for the system using a defense-in-depth approach that:

- - (a) -

Allocates to ; and

- - - (b) -

Ensures that the allocated controls operate in a coordinated and mutually reinforcing manner.

- - - -

Organizations strategically allocate security and privacy controls in the security and privacy architectures so that adversaries must overcome multiple controls to achieve their objective. Requiring adversaries to defeat multiple controls makes it more difficult to attack information resources by increasing the work factor of the adversary; and increases the likelihood of detection. The coordination of allocated controls is essential to ensure that an attack that involves one control does not create adverse unintended consequences by interfering with other controls. Unintended consequences can include system lockout and cascading alarms. The placement of controls in systems and organizations is an important activity requiring thoughtful analysis. The value of organizational assets is an important consideration in providing additional layering. Defense-in-depth architectural approaches include modularity and layering (see SA-8(3)); separation of system and user functionality (see SC-2); and security function isolation (see SC-3).

- - - - Supplier Diversity - - - - - - - PL-8(2) - PL-08(02) - SC-29 - SR-3 - -

Require that allocated to are obtained from different suppliers.

- - -

Information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms based on their priorities and development schedules. By deploying different products at different locations, there is an increased likelihood that at least one of the products will detect the malicious code. With respect to privacy, vendors may offer products that track personally identifiable information in systems. Products may use different tracking methods. Using multiple products may result in more assurance that personally identifiable information is inventoried.

- - - - - Central Management - - - - PL-9 - PL-09 - [OMB A-130] - [SP 800-37] - PL-8 - PM-9 - -

Centrally manage .

- - -

Central management refers to organization-wide management and implementation of selected controls and processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of controls is generally associated with the concept of common (inherited) controls, such management promotes and facilitates standardization of control implementations and management and judicious use of organizational resources. Centrally-managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. -As part of the control selection processes, organizations determine the controls that may be suitable for central management based on resources and capabilities. It is not always possible to centrally manage every aspect of a control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. The controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2(1), AC-2(2), AC-2(3), AC-2(4), AC-17(1), AC-17(2), AC-17(3), AC-17(9), AC-18(1), AC-18(3), AC-18(4), AC-18(5), AC-19(4), AC-22, AC-23, AT-2(1), AT-2(2), AT-3(1), AT-3(2), AT-3(3), AT-4, AU-6(1), AU-6(3), AU-6(5), AU-6(6), AU-6(9), AU-7(1), AU-7(2), AU-11, AU-13, AU-16, CA-2(1), CA-2(2), CA-2(3), CA-3(1), CA-3(2), CA-3(3), CA-7(1), CA-9, CM-2(2), CM-3(1), CM-3(4), CM-4, CM-6(1), CM-7(4), CM-7(5), CM-8(all), CM-9(1), CM-10, CM-11, CP-7(all), CP-8(all), SC-43, SI-2, SI-3, SI-7, SI-8.

- - - - Baseline Selection - PL-10 - PL-10 - [FIPS 199] - [FIPS 200] - [SP 800-30] - [SP 800-37] - [SP 800-39] - [SP 800-53B] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-160 v1] - [CNSSI 1253] - PL-2 - PL-11 - RA-2 - RA-3 - SA-8 - -

Select a control baseline for the system.

- - -

Control baselines are pre-defined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines either to satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, or guidelines; or to address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems, with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see PL-11). Federal control baselines are provided in [SP 800-53B]. The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements and as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in [SP 800-53B] are based on the requirements from [FISMA] and [PRIVACT]. The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations or the Nation; and considering the results from system and organizational risk assessments.

- - - - Baseline Tailoring - PL-11 - PL-11 - [FIPS 199] - [FIPS 200] - [SP 800-30] - [SP 800-37] - [SP 800-39] - [SP 800-53B] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-160 v1] - [CNSSI 1253] - PL-10 - RA-2 - RA-3 - RA-9 - SA-8 - -

Tailor the selected control baseline by applying specified tailoring actions.

- - -

The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific missions and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in [SP 800-53B]. Tailoring a control baseline is accomplished by identifying and designating common controls; applying scoping considerations; selecting compensating controls; assigning values to control parameters; supplementing the control baseline with additional controls, as needed; and providing information for control implementation. The general tailoring actions in [SP 800-53B] can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in [SP 800-53B] in accordance with the security and privacy requirements from [FISMA] and [PRIVACT]. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in [SP 800-53B] to specialize or customize the controls that represent the specific needs and concerns of those entities.

- - - - - Program Management - - Information Security Program Plan - - - - PM-1 - PM-01 - [FISMA] - [OMB A-130] - PL-2 - PM-8 - PM-12 - RA-9 - SI-12 - SR-2 - - - a. -

Develop and disseminate an organization-wide information security program plan that:

- - 1. -

Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;

- - - 2. -

Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;

- - - 3. -

Reflects the coordination among organizational entities responsible for information security; and

- - - 4. -

Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;

- - - - b. -

Review the organization-wide information security program plan ;

- - - c. -

Update the information security program plan to address organizational changes and problems identified during plan implementation or control assessments; and

- - - d. -

Protect the information security program plan from unauthorized disclosure and modification.

- - - -

An information security program plan is a formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements. Information security program plans can be represented in single documents or compilations of documents. -Information security program plans document the program management and common controls. The plans provide sufficient information about the controls (including specification of parameters for assignment and selection statements explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. -Program management controls are generally implemented at the organization level and are essential for managing the organization’s information security program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. The individual system security plans and the organization-wide information security program plan together, provide complete coverage for the security controls employed within the organization. -Common controls are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for a system. The organization-wide information security program plan indicates which separate security plans contain descriptions of common controls.

- - - - Information Security Program Leadership Role - PM-2 - PM-02 - [OMB M-17-25] - [SP 800-37] - [SP 800-39] - -

Appoint a senior agency information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.

- - -

The senior agency information security officer is an organizational official. For federal agencies (as defined by applicable laws, executive orders, regulations, directives, policies, and standards), this official is the senior agency information security officer. Organizations may also refer to this official as the senior information security officer or chief information security officer.

- - - - Information Security and Privacy Resources - PM-3 - PM-03 - [OMB A-130] - PM-4 - SA-2 - - - a. -

Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;

- - - b. -

Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and

- - - c. -

Make available for expenditure, the planned information security and privacy resources.

- - - -

Organizations consider establishing champions for information security and privacy and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board or similar group to manage and provide oversight for the information security and privacy aspects of the capital planning and investment control process.

- - - - Plan of Action and Milestones Process - PM-4 - PM-04 - [PRIVACT] - [OMB A-130] - [SP 800-37] - CA-5 - CA-7 - PM-3 - RA-7 - SI-12 - - - a. -

Implement a process to ensure that plans of action and milestones for the information security and privacy programs and associated organizational systems:

- - 1. -

Are developed and maintained;

- - - 2. -

Document the remedial information security and privacy actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and

- - - 3. -

Are reported in accordance with established reporting requirements.

- - - - b. -

Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

- - - -

The plan of action and milestones is a key document in the information security and privacy programs of organizations and is subject to reporting requirements established by the Office of Management and Budget. Organizations view plans of action and milestones from an organization-wide perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from control assessments and continuous monitoring activities. There can be multiple levels of plan of action and milestones documents corresponding to the information system level, mission/business process level, and organizational/governance level. While the plan of action and milestones is required for federal organizations, any type of organization can help reduce risk by documenting and tracking planned remediations. Specific guidance on plans of action and milestones for organizational systems in described in CA-5.

- - - - System Inventory - - - - PM-5 - PM-05 - [IR 8062] - -

Develop and update an inventory of organizational systems.

- - -

[OMB A-130] provides guidance on developing systems inventories and associated reporting requirements. This control refers to an organization-wide inventory of systems, not system components as described in CM-8.

- - - Inventory of Personally Identifiable Information - - - - PM-5(1) - PM-05(01) - CM-8 - CM-12 - CM-13 - PL-8 - PM-22 - PT-3 - PT-6 - SI-12 - SI-18 - -

Establish, maintain, and update an inventory of all systems, applications, and projects that process personally identifiable information.

- - -

An inventory of systems, applications, and projects that process personally identifiable information supports mapping of data actions, providing individuals with privacy notices, maintaining accurate personally identifiable information, and limiting the processing of personally identifiable information when such information is not needed for operational purposes. Organizations may use this inventory to ensure that systems only process the personally identifiable information for authorized purposes and that this processing is still relevant and necessary for the purpose specified therein.

- - - - - Measures of Performance - PM-6 - PM-06 - [OMB A-130] - [SP 800-55] - [SP 800-137] - CA-7 - -

Develop, monitor, and report on the results of information security and privacy measures of performance.

- - -

Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the controls employed in support of the program.

- - - - Enterprise Architecture - PM-7 - PM-07 - [OMB A-130] - [SP 800-37] - [SP 800-39] - [SP 800-160 v1] - [SP 800-160 v2] - AU-6 - PL-2 - PL-8 - PM-11 - RA-2 - SA-3 - SA-8 - SA-17 - -

Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.

- - -

The integration of security and privacy requirements and controls into the enterprise architecture helps to ensure that security and privacy considerations are addressed throughout the system development life cycle and are explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture, the organization’s security and privacy architectures consistent with the organizational risk management strategy. For PM-7, security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For PL-8, the security and privacy architectures are developed at a level representing an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework [SP 800-37] and supporting security standards and guidelines.

- - - Offloading - - - - PM-7(1) - PM-07(01) - SA-8 - -

Offload to other systems, system components, or an external provider.

- - -

Not every function or service a system provides is essential to an organization’s missions or business operations. Printing or copying is an example of a non-essential but supporting service for an organization. Whenever feasible, such supportive but non-essential functions or services are not co-located with the functions or services supporting essential missions or business operations. Maintaining such functions on the same system or system component increases the attack surface of the organization’s mission essential functions or services. Moving supportive but non-essential functions to a non-critical system, system component, or external provider can also increase efficiency by putting those functions or services under the control of individuals or providers who are subject matter experts in the functions or services.

- - - - - Critical Infrastructure Plan - PM-8 - PM-08 - [OMB A-130] - [HSPD 7] - [DHS NIPP] - CP-2 - CP-4 - PE-18 - PL-2 - PM-9 - PM-11 - PM-18 - RA-3 - SI-12 - -

Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.

- - -

Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

- - - - Risk Management Strategy - - - - PM-9 - PM-09 - [OMB A-130] - [SP 800-30] - [SP 800-39] - [SP 800-161] - [IR 8023] - AC-1 - AU-1 - AT-1 - CA-1 - CA-2 - CA-5 - CA-6 - CA-7 - CM-1 - CP-1 - IA-1 - IR-1 - MA-1 - MP-1 - PE-1 - PL-1 - PL-2 - PM-2 - PM-8 - PM-18 - PM-28 - PM-30 - PS-1 - PT-1 - PT-2 - PT-3 - RA-1 - RA-3 - RA-9 - SA-1 - SA-4 - SC-1 - SC-38 - SI-1 - SI-12 - SR-1 - SR-2 - - - a. -

Develops a comprehensive strategy to manage:

- - 1. -

Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and

- - - 2. -

Privacy risk to individuals resulting from the authorized processing of personally identifiable information;

- - - - b. -

Implement the risk management strategy consistently across the organization; and

- - - c. -

Review and update the risk management strategy or as required, to address organizational changes.

- - - -

An organization-wide risk management strategy includes an expression of the security and privacy risk tolerance for the organization; security and privacy risk mitigation strategies; acceptable risk assessment methodologies; a process for evaluating security and privacy risk across the organization with respect to the organization’s risk tolerance; and approaches for monitoring risk over time. The senior accountable official for risk management (agency head or designated official) aligns information security management processes with strategic, operational, and budgetary planning processes. The risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization-wide. The risk management strategy can be informed by security and privacy risk-related inputs from other sources, both internal and external to the organization, to ensure the strategy is broad-based and comprehensive.

- - - - Authorization Process - PM-10 - PM-10 - [SP 800-37] - [SP 800-39] - CA-6 - CA-7 - PL-2 - - - a. -

Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;

- - - b. -

Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and

- - - c. -

Integrate the authorization processes into an organization-wide risk management program.

- - - -

Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The organizational authorization processes are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation.

- - - - Mission and Business Process Definition - - - - PM-11 - PM-11 - [OMB A-130] - [FIPS 199] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-160 v1] - CP-2 - PL-2 - PM-7 - PM-8 - RA-2 - RA-3 - SA-2 - - - a. -

Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and

- - - b. -

Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and

- - - c. -

Review and revise the mission and business processes .

- - - -

Protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from the mission and business needs defined by the stakeholders in organizations, the mission and business processes defined to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required controls for the organization and the systems. Inherent in defining protection and personally identifiable information processing needs, is an understanding of adverse impact that could result if a compromise or breach of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of authorized processing of information at any stage of the data life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policy and procedures.

- - - - Insider Threat Program - PM-12 - PM-12 - [EO 13587] - [ODNI NITP] - AC-6 - AT-2 - AU-6 - AU-7 - AU-10 - AU-12 - AU-13 - CA-7 - IA-4 - IR-4 - MP-7 - PE-2 - PM-16 - PS-3 - PS-4 - PS-5 - PS-7 - PS-8 - SC-7 - SC-38 - SI-4 - PM-14 - -

Implement an insider threat program that includes a cross-discipline insider threat incident handling team.

- - -

Organizations handling classified information are required, under Executive Order 13587 [EO 13587] and the National Insider Threat Policy [ODNI NITP], to establish insider threat programs. The same standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of controlled unclassified and other information in non-national security systems. Insider threat programs include controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior official is designated by the department or agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs require organizations to prepare department or agency insider threat policies and implementation plans; conduct host-based user monitoring of individual employee activities on government-owned classified computers; provide insider threat awareness training to employees; receive access to information from offices in the department or agency for insider threat analysis; and conduct self-assessments of department or agency insider threat posture. -Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace, including ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues. These precursors can guide organizational officials in more focused, targeted monitoring efforts. However, the use of human resource records could raise significant concerns for privacy. The participation of a legal team, including consultation with the senior agency official for privacy, ensures that monitoring activities are performed in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - - Security and Privacy Workforce - PM-13 - PM-13 - [OMB A-130] - [SP 800-181] - AT-2 - AT-3 - -

Establish a security and privacy workforce development and improvement program.

- - -

Security and privacy workforce development and improvement programs include defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals.

- - - - Testing, Training, and Monitoring - PM-14 - PM-14 - [OMB A-130] - [SP 800-37] - [SP 800-39] - [SP 800-53A] - [SP 800-115] - [SP 800-137] - AT-2 - AT-3 - CA-7 - CP-4 - IR-3 - PM-12 - SI-4 - - - a. -

Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:

- - 1. -

Are developed and maintained; and

- - - 2. -

Continue to be executed; and

- - - - b. -

Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

- - - -

This control ensures that organizations provide oversight for testing, training, and monitoring activities and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy across the three levels of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing assessments supporting a variety of controls. Security and privacy training activities, while focused on individual systems and specific roles, require coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.

- - - - Security and Privacy Groups and Associations - PM-15 - PM-15 - [OMB A-130] - SA-11 - SI-5 - -

Establish and institutionalize contact with selected groups and associations within the security and privacy communities:

- - a. -

To facilitate ongoing security and privacy education and training for organizational personnel;

- - - b. -

To maintain currency with recommended security and privacy practices, techniques, and technologies; and

- - - c. -

To share current security and privacy information, including threats, vulnerabilities, and incidents.

- - - -

Ongoing contact with security and privacy groups and associations is important in an environment of rapidly changing technologies and threats. Groups and associations include special interest groups, professional associations, forums, news groups, users’ groups, and peer groups of security and privacy professionals in similar organizations. Organizations select security and privacy groups and associations based on missions and business functions. Organizations share threat, vulnerability, and incident information as well as contextual insights, compliance techniques, and privacy problems consistent with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.

- - - - Threat Awareness Program - PM-16 - PM-16 - IR-4 - PM-12 - -

Implement a threat awareness program that includes a cross-organization information-sharing capability for threat intelligence.

- - -

Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information including threat events (i.e., tactics, techniques, and procedures) that organizations have experienced; mitigations that organizations have found are effective against certain types of threats; and threat intelligence (i.e., indications and warnings about threats). Threat information sharing may be bilateral or multilateral. Bilateral threat sharing includes government-to-commercial and government-to-government cooperatives. Multilateral threat sharing includes organizations taking part in threat-sharing consortia. Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.

- - - Automated Means for Sharing Threat Intelligence - PM-16(1) - PM-16(01) - -

Employ automated mechanisms to maximize the effectiveness of sharing threat intelligence information.

- - -

To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By utilizing well established frameworks, services, and automated tools, organizations improve their ability to rapidly share and feed into monitoring tools, the relevant threat detection signatures.

- - - - - Protecting Controlled Unclassified Information on External Systems - - - - PM-17 - PM-17 - [32 CFR 2002] - [SP 800-171] - [NARA CUI] - CA-6 - PM-10 - - - a. -

Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards.

- - - b. -

Update the policy and procedures .

- - - -

Controlled unclassified information is defined by the National Archives and Records Administration along with the safeguarding and dissemination requirements for such information and is codified in [32 CFR 2002] and specifically, for systems external to the federal organization, in 32 CFR 2002.14h. The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures, including via its contracting processes.

- - - - Privacy Program Plan - PM-18 - PM-18 - [PRIVACT] - [OMB A-130] - PM-8 - PM-9 - PM-19 - - - a. -

Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:

- - 1. -

Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;

- - - 2. -

Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;

- - - 3. -

Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;

- - - 4. -

Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;

- - - 5. -

Reflects coordination among organizational entities responsible for the different aspects of privacy; and

- - - 6. -

Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and

- - - - b. -

Update the plan to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments.

- - - -

A privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program; the resources dedicated to the privacy program; the role of the senior agency official for privacy and other privacy officials and staff; the strategic goals and objectives of the privacy program; and the program management controls and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks. Privacy program plans can be represented in single documents or compilations of documents. -The senior agency official for privacy is responsible for designating which privacy controls the organization will treat as program management, common, system-specific, and hybrid controls. Privacy program plans provide sufficient information about the privacy program management and common controls (including the specification of parameters and assignment and selection statements explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended. -Program management controls are generally implemented at the organization level and are essential for managing the organization’s privacy program. Program management controls are distinct from common, system-specific, and hybrid controls because program management controls are independent of any particular information system. The privacy plans for individual systems and the organization-wide privacy program plan together, provide complete coverage for the privacy controls employed within the organization. -Common controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy controls.

- - - - Privacy Program Leadership Role - PM-19 - PM-19 - [OMB A-130] - PM-18 - PM-20 - PM-23 - PM-24 - -

Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program.

- - -

The privacy officer is an organizational official. For federal agencies, as defined by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines, this official is designated as the senior agency official for privacy. Organizations may also refer to this official as the chief privacy officer. The senior agency official for privacy also has a role in the data management board (see PM-23) and the data integrity board (see PM-24).

- - - - Dissemination of Privacy Program Information - PM-20 - PM-20 - [PRIVACT] - [OMB A-130] - [OMB M-17-06] - PM-19 - PT-6 - PT-7 - RA-8 - -

Maintain a central resource webpage on the organization’s principal public website that serves as a central source of information about the organization’s privacy program and that:

- - a. -

Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy;

- - - b. -

Ensures that organizational privacy practices and reports are publicly available; and

- - - c. -

Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices.

- - - -

Organizations maintain a central resource webpage on their principal public website for their privacy program. For federal agencies, this page is located at www.[agency].gov/privacy. Organizations should use the webpage to inform the public about privacy policies and practices, including privacy impact assessments, system of records notices, computer matching notices and agreements, [PRIVACT] exemption and implementation rules, instructions for individuals making an access or amendment request, privacy reports, privacy policies, email addresses for questions/complaints, blogs, and periodic publications.

- - - - Accounting of Disclosures - PM-21 - PM-21 - [PRIVACT] - [OMB A-130] - AU-2 - PT-2 - - - a. -

Develop and maintain an accurate accounting of disclosures of personally identifiable information, including:

- - 1. -

Date, nature, and purpose of each disclosure; and

- - - 2. -

Name and address, or other contact information of the person or organization to which the disclosure was made;

- - - - b. -

Retain the accounting of disclosures for the length of the time the personally identifiable information is maintained or five years after the disclosure is made, whichever is longer; and

- - - c. -

Make the accounting of disclosures available to the individual to whom the personally identifiable information relates upon request.

- - - -

The purpose of accounting of disclosures is to allow individuals to learn to whom their personally identifiable information has been disclosed; to provide a basis for subsequently advising recipients of any corrected or disputed personally identifiable information; and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. For federal agencies, keeping an accounting of disclosures is required by the [PRIVACT]; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision. -Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures along with the required information. Automated mechanisms can be used by organizations to determine when personally identifiable information is disclosed, including commercial services providing notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing disclosure or dissemination of information and dissemination restrictions.

- - - - Personally Identifiable Information Quality Management - PM-22 - PM-22 - [OMB A-130] - [SP 800-188] - PM-23 - SI-18 - -

Develop and document policies and procedures for:

- - a. -

Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle;

- - - b. -

Correcting or deleting inaccurate or outdated personally identifiable information;

- - - c. -

Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and

- - - d. -

Appeals of adverse decisions on correction or deletion requests.

- - - -

Personally identifiable information quality management include steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Organizational policies and procedures for personally identifiable information quality management are important because inaccurate or outdated personally identifiable information maintained by organizations may cause problems for individuals. Organizations consider the quality of personally identifiable information involved in business functions where inaccurate information may result in adverse decisions or the denial of benefits and services, or the disclosure of the information may cause stigmatization. Correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of organizations maintaining the information. Organizations consider creating policies and procedures for the removal of such information. -The senior agency official for privacy ensures that practical means and mechanisms exist and are accessible for individuals or their authorized representatives to seek the correction or deletion of personally identifiable information. Processes for correcting or deleting data are clearly defined and publicly available. Organizations use discretion in determining whether data is to be deleted or corrected based on the scope of requests, the changes sought, and the impact of the changes. Additionally, processes include the provision of responses to individuals of decisions to deny requests for correction or deletion. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and a means of requesting reviews of the initial determinations. -Organizations notify individuals or their designated representatives when their personally identifiable information is corrected or deleted to provide transparency and confirm the completed action. Due to complexity of data flows and storage, other entities may need to be informed of correction or deletion. Notice supports the consistent correction and deletion of personally identifiable information across the data ecosystem.

- - - - Data Governance Body - - - - - - - PM-23 - PM-23 - [EVIDACT] - [OMB A-130] - [OMB M-19-23] - [SP 800-188] - AT-2 - AT-3 - PM-19 - PM-22 - PM-24 - PT-8 - SI-4 - SI-19 - -

Establish a Data Governance Body consisting of with .

- - -

A Data Governance Body can help ensure that the organization has coherent policies and the ability to balance the utility of data with security and privacy requirements. The Data Governance Body establishes policies, procedures, and standards that facilitate data governance so that data, including personally identifiable information, is effectively managed and maintained in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidance. Responsibilities can include developing and implementing guidelines supporting data modeling, quality, integrity, and de-identification needs of personally identifiable information across the information life cycle and reviewing and approving applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid. Members include the chief information officer, senior agency information security officer, and senior agency official for privacy. Federal agencies are required to establish a Data Governance Body with specific roles and responsibilities in accordance with the [EVIDACT] and policies set forth under [OMB M-19-23].

- - - - Data Integrity Board - PM-24 - PM-24 - [PRIVACT] - [OMB A-130, Appendix II] - [OMB A-108] - AC-4 - PM-19 - PM-23 - PT-8 - -

Establish a Data Integrity Board to:

- - a. -

Review proposals to conduct or participate in a matching program; and

- - - b. -

Conduct an annual review of all matching programs in which the agency has participated.

- - - -

A Data Integrity Board is the board of senior officials designated by the head of a federal agency that is responsible for, among other things, reviewing the agency’s proposals to conduct or participate in a matching program and conducting an annual review of all matching programs in which the agency has participated. As a general matter, a matching program is a computerized comparison of records from two or more automated [PRIVACT] systems of records, or an automated system of records and automated records maintained by a non-Federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. At a minimum, the Data Integrity Board includes the Inspector General of the agency, if any, and the senior agency official for privacy.

- - - - Minimization of Pii Used in Testing, Training, and Research - - - - PM-25 - PM-25 - [OMB A-130, Appendix II] - PM-23 - PT-3 - SA-3 - - - a. -

Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;

- - - b. -

Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes;

- - - c. -

Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and

- - - d. -

Review and update policies and procedures .

- - - -

The use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Organizations consult with the senior agency official for privacy and legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research. The use of live data for testing, training, and research is also addressed in SA-3(2).

- - - - Complaint Management - - - - - - - - - - PM-26 - PM-26 - [OMB A-130] - IR-7 - IR-9 - PM-22 - SI-18 - -

Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices that includes:

- - a. -

Mechanisms that are easy to use and readily accessible by the public;

- - - b. -

All information necessary for successfully filing complaints;

- - - c. -

Tracking mechanisms to ensure all complaints received are reviewed and addressed within ;

- - - d. -

Acknowledgement of receipt of complaints, concerns, or questions from individuals within ; and

- - - e. -

Response to complaints, concerns, or questions from individuals within .

- - - -

Complaints, concerns, and questions from individuals can serve as a valuable source of input to organizations that ultimately improves operational models, uses of technology, data collection practices, and controls. Mechanisms that can be used by the public include telephone hotline, email, or web-based forms. The information necessary for successfully filing complaints includes contact information for the senior agency official for privacy or other official designated to receive complaints. Privacy complaints may also include personally identifiable information.

- - - - Privacy Reporting - - - - - - - - - - PM-27 - PM-27 - [FISMA] - [OMB A-130] - [OMB A-108] - IR-9 - PM-19 - - - a. -

Develop and disseminate to:

- - 1. -

OMB, Congress, and other oversight bodies to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and

- - - 2. -

- and other personnel with responsibility for monitoring privacy program compliance; and

- - - - b. -

Review and update privacy reports .

- - - -

Through internal and external reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, discover vulnerabilities, identify gaps in policy and implementation, and identify models for success. Privacy reports include annual senior agency official for privacy reports to OMB; reports to Congress required by Implementing Regulations of the 9/11 Commission Act; and other public reports required by law, regulation, or policy, including internal policies of organizations. The senior agency official for privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements.

- - - - Risk Framing - - - - - - - PM-28 - PM-28 - [OMB A-130] - [SP 800-39] - CA-7 - PM-9 - RA-3 - RA-7 - - - a. -

Identify and document:

- - 1. -

Assumptions affecting risk assessments, risk responses, and risk monitoring;

- - - 2. -

Constraints affecting risk assessments, risk responses, and risk monitoring;

- - - 3. -

Priorities and trade-offs considered by the organization for managing risk; and

- - - 4. -

Organizational risk tolerance; and

- - - - b. -

Distribute the results of risk framing activities to ;

- - - c. -

Review and update risk framing considerations .

- - - -

Risk framing is most effective when conducted at the organization level. The assumptions, constraints, risk tolerance, priorities, and tradeoffs identified as part of the risk framing process, inform the risk management strategy which in turn, informs the conduct of risk assessment, risk response, and risk monitoring activities. Risk framing results are shared with organizational personnel including mission/business owners, information owners or stewards, system owners, authorizing officials, senior agency information security officer, senior agency official for privacy, and senior accountable official for risk management.

- - - - Risk Management Program Leadership Roles - PM-29 - PM-29 - [SP 800-37] - PM-2 - PM-19 - - - a. -

Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and

- - - b. -

Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization.

- - - -

The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities.

- - - - Supply Chain Risk Management Strategy - - - - PM-30 - PM-30 - [SP 800-161] - PM-9 - SR-1 - SR-2 - SR-3 - SR-4 - SR-5 - SR-6 - SR-7 - SR-8 - SR-9 - SR-11 - - - a. -

Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;

- - - b. -

Implement the supply chain risk management strategy consistently across the organization; and

- - - c. -

Review and update the supply chain risk management strategy on or as required, to address organizational changes.

- - - -

An organization-wide supply chain risk management strategy includes an unambiguous expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management strategy, and the associated roles and responsibilities. Supply chain risk management includes considerations of both security and privacy risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services. The supply chain risk management strategy can be incorporated into the organization’s overarching risk management strategy and can guide and inform the system-level supply chain risk management plan. The use of a risk executive function can facilitate a consistent, organization-wide application of the supply chain risk management strategy. The supply chain risk management strategy is implemented at the organizational level, whereas the supply chain risk management plan (see SR-2) is applied at the system-level.

- - - - Continuous Monitoring Strategy - - - - - - - - - - - - - - - - PM-31 - PM-31 - [SP 800-37] - [SP 800-137] - AC-2 - AC-6 - AC-17 - AT-4 - AU-6 - AU-13 - CA-2 - CA-5 - CA-6 - CA-7 - CM-3 - CM-4 - CM-6 - CM-11 - IA-5 - IR-5 - MA-2 - MA-3 - MA-4 - PE-3 - PE-6 - PE-14 - PE-16 - PE-20 - PL-2 - PM-4 - PM-6 - PM-9 - PM-10 - PM-12 - PM-14 - PM-23 - PM-28 - PS-7 - PT-8 - RA-3 - RA-5 - RA-7 - SA-9 - SA-11 - SC-5 - SC-7 - SC-18 - SC-38 - SC-43 - SC-38 - SI-3 - SI-4 - SI-12 - SR-2 - SR-4 - -

Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include:

- - a. -

Establishing the following organization-wide metrics to be monitored: ;

- - - b. -

Establishing for monitoring and for assessment of control effectiveness;

- - - c. -

Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy;

- - - d. -

Correlation and analysis of information generated by control assessments and monitoring;

- - - e. -

Response actions to address results of the analysis of control assessment and monitoring information; and

- - - f. -

Reporting the security and privacy status of organizational systems to - .

- - - -

Continuous monitoring at the organization level facilitates ongoing awareness of the security and privacy posture across the organization to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring guide and inform risk response actions by organizations. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make effective and timely risk management decisions, including ongoing authorization decisions. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, for example, AC-2g, AC-2(7), AC-2(12)(a), AC-2(7)(b), AC-2(7)(c), AC-17(1), AT-4a, AU-13, AU-13(1), AU-13(2), CA-7, CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PS-7e, SA-9c, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b, SI-4.

- - - - Purposing - - - - PM-32 - PM-32 - [SP 800-137] - CA-7 - PL-2 - RA-3 - RA-9 - -

Analyze supporting mission essential services or functions to ensure that the information resources are being used consistent with their intended purpose.

- - -

Systems are designed to support a specific mission or business function. However, over time, systems and system components may be used to support services and functions that are outside the scope of the intended mission or business functions. This can result in exposing information resources to unintended environments and uses that can significantly increase threat exposure. In doing so, the systems are in turn more vulnerable to compromise, and can ultimately impact the services and functions for which they were intended. This is especially impactful for mission essential services and functions. By analyzing resource use, organizations can identify such potential exposures.

- - - - Privacy Policies on Websites, Applications, and Digital Services - PM-33 - PM-33 - [OMB A-130] - PM-19 - PM-20 - PT-6 - PT-7 - RA-8 - -

Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that:

- - a. -

Are written in plain language and organized in a way that is easy to understand and navigate;

- - - b. -

Provide useful information that the public would need to make an informed decision about whether and how to interact with the organization; and

- - - c. -

Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes.

- - - -

Organizations post privacy policies on all external-facing websites, mobile applications, and other digital services. Organizations should post a link to the relevant privacy policy on any known, major entry points to the website, application, or digital service. In addition, organizations should provide a link to the privacy policy on any webpage that collects personally identifiable information.

- - - - - Personnel Security - - Policy and Procedures - - - - - - - - - - - - - - - - PS-1 - PS-01 - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- personnel security policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the personnel security policy and procedures; and

- - - c. -

Review and update the current personnel security:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the PS family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Position Risk Designation - - - - PS-2 - PS-02 - [5 CFR 731] - AC-5 - AT-3 - PE-2 - PE-3 - PL-2 - PS-3 - PS-6 - SA-5 - SA-21 - SI-12 - - - a. -

Assign a risk designation to all organizational positions;

- - - b. -

Establish screening criteria for individuals filling those positions; and

- - - c. -

Review and update position risk designations .

- - - -

Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service from misconduct of an incumbent of a position. This establishes the risk level of that position. This assessment also determines if a position’s duties and responsibilities present the potential for position incumbents to bring about a material adverse effect on the national security, and the degree of that potential effect, which establishes the sensitivity level of a position. The results of this assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions.

- - - - Personnel Screening - - - - PS-3 - PS-03 - [EO 13526] - [EO 13587] - [FIPS 199] - [FIPS 201-2] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-73-4] - [SP 800-76-2] - [SP 800-78-4] - AC-2 - IA-4 - MA-5 - PE-2 - PM-12 - PS-2 - PS-6 - PS-7 - SA-21 - - - a. -

Screen individuals prior to authorizing access to the system; and

- - - b. -

Rescreen individuals in accordance with .

- - - -

Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.

- - - Classified Information - PS-3(1) - PS-03(01) - AC-3 - AC-4 - -

Verify that individuals accessing a system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.

- - -

Classified information is the most sensitive information the federal government processes, stores, or transmits. It is imperative that individuals have the requisite security clearances and system access authorizations prior to gaining access to such information. Access authorizations are enforced by system access controls (see AC-3) and flow controls (see AC-4).

- - - - Formal Indoctrination - PS-3(2) - PS-03(02) - AC-3 - AC-4 - -

Verify that individuals accessing a system processing, storing, or transmitting types of classified information that require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system.

- - -

Types of classified information requiring formal indoctrination include Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).

- - - - Information with Special Protective Measures - - - - PS-3(3) - PS-03(03) - -

Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:

- - (a) -

Have valid access authorizations that are demonstrated by assigned official government duties; and

- - - (b) -

Satisfy .

- - - -

Organizational information requiring special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements.

- - - - Citizenship Requirements - - - - - - - PS-3(4) - PS-03(04) - -

Verify that individuals accessing a system processing, storing, or transmitting meet .

- - -

None.

- - - - - Personnel Termination - - - - - - - PS-4 - PS-04 - AC-2 - IA-4 - PE-2 - PM-12 - PS-6 - PS-7 - -

Upon termination of individual employment:

- - a. -

Disable system access within ;

- - - b. -

Terminate or revoke any authenticators and credentials associated with the individual;

- - - c. -

Conduct exit interviews that include a discussion of ;

- - - d. -

Retrieve all security-related organizational system-related property; and

- - - e. -

Retain access to organizational information and systems formerly controlled by terminated individual.

- - - -

System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals including in cases related to unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling system accounts of individuals that are being terminated prior to the individuals being notified.

- - - Post-employment Requirements - PS-4(1) - PS-04(01) - - - (a) -

Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and

- - - (b) -

Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.

- - - -

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

- - - - Automated Notification - - - - - - - PS-4(2) - PS-04(02) - -

Notify of individual termination actions using .

- - -

In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications—or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including telephonically, via electronic mail, via text message, or via websites.

- - - - - Personnel Transfer - - - - - - - - - - - - - PS-5 - PS-05 - AC-2 - IA-4 - PE-2 - PM-12 - PS-4 - PS-7 - - - a. -

Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;

- - - b. -

Initiate within ;

- - - c. -

Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and

- - - d. -

Notify within .

- - - -

Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.

- - - - Access Agreements - - - - - - - PS-6 - PS-06 - AC-17 - PE-2 - PL-4 - PS-2 - PS-3 - PS-6 - PS-7 - PS-8 - SA-21 - SI-12 - - - a. -

Develop and document access agreements for organizational systems;

- - - b. -

Review and update the access agreements ; and

- - - c. -

Verify that individuals requiring access to organizational information and systems:

- - 1. -

Sign appropriate access agreements prior to being granted access; and

- - - 2. -

Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or .

- - - - -

Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

- - - Information Requiring Special Protection - PS-6(1) - Withdrawn - PS-06(01) - PS-3 - - - Classified Information Requiring Special Protection - PS-6(2) - PS-06(02) - -

Verify that access to classified information requiring special protection is granted only to individuals who:

- - (a) -

Have a valid access authorization that is demonstrated by assigned official government duties;

- - - (b) -

Satisfy associated personnel security criteria; and

- - - (c) -

Have read, understood, and signed a nondisclosure agreement.

- - - -

Classified information requiring special protection includes collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - - Post-employment Requirements - PS-6(3) - PS-06(03) - PS-4 - - - (a) -

Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and

- - - (b) -

Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.

- - - -

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

- - - - - External Personnel Security - - - - - - - PS-7 - PS-07 - [SP 800-35] - AT-2 - AT-3 - MA-5 - PE-3 - PS-2 - PS-3 - PS-4 - PS-5 - PS-6 - SA-5 - SA-9 - SA-21 - - - a. -

Establish personnel security requirements, including security roles and responsibilities for external providers;

- - - b. -

Require external providers to comply with personnel security policies and procedures established by the organization;

- - - c. -

Document personnel security requirements;

- - - d. -

Require external providers to notify of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within ; and

- - - e. -

Monitor provider compliance with personnel security requirements.

- - - -

External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations providing system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and nature of credentials or privileges associated with individuals transferred or terminated.

- - - - Personnel Sanctions - - - - - - - PS-8 - PS-08 - AC-1 - AT-1 - AU-1 - CA-1 - CM-1 - CP-1 - IA-1 - IR-1 - MA-1 - MP-1 - PE-1 - PL-1 - PM-1 - PS-1 - PT-1 - RA-1 - SA-1 - SC-1 - SI-1 - SR-1 - PL-4 - PM-12 - PS-6 - PT-1 - - - a. -

Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and

- - - b. -

Notify within when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

- - - -

Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.

- - - - - Personally Identifiable Information Processing and Transparency - - Policy and Procedures - - - - - - - - - - - - - - - - PT-1 - PT-01 - [OMB A-130] - - - a. -

Develop, document, and disseminate to :

- - 1. -

- personally identifiable information processing and transparency policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the incident personally identifiable information processing and transparency policy and procedures; and

- - - c. -

Review and update the current personally identifiable information processing and transparency:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the PT family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Authority to Process Personally Identifiable Information - - - - - - - - - - PT-2 - PT-02 - [PRIVACT] - [OMB A-130, Appendix II] - AC-3 - CM-13 - PM-9 - PM-24 - PT-1 - PT-3 - PT-6 - PT-7 - RA-3 - RA-8 - SI-12 - SI-18 - - - a. -

Determine and document the that permits the of personally identifiable information; and

- - - b. -

Restrict the of personally identifiable information to only that which is authorized.

- - - -

Processing of personally identifiable information is an operation or set of operations that the information system or organization performs with respect to personally identifiable information across the information life cycle. Processing includes, but is not limited to, creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Processing operations also include logging, generation, and transformation, as well as analysis techniques, such as data mining. -Organizations may be subject to laws, executive orders, directives, regulations, or policies that establish the organization’s authority and thereby limit certain types of processing of personally identifiable information or establish other requirements related to the processing. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such authority, particularly if the organization is subject to multiple jurisdictions or sources of authority. For organizations whose processing is not determined according to legal authorities, the organizations’ policies and determinations govern how they process personally identifiable information. While processing of personally identifiable information may be legally permissible, privacy risks may still arise from its processing. Privacy risk assessments can identify the privacy risks associated with the authorized processing of personally identifiable information and support solutions to manage such risks. -Organizations consider applicable requirements and organizational policies to determine how to document this authority. For federal agencies, the authority to process personally identifiable information is documented in privacy policies and notices, system of records notices, privacy impact assessments, [PRIVACT] statements, computer matching agreements and notices, contracts, information sharing agreements, memoranda of understanding, and/or other documentation. -Organizations take steps to ensure that personally identifiable information is processed only for authorized purposes, including training organizational personnel on the authorized processing of personally identifiable information and monitoring and auditing organizational use of personally identifiable information.

- - - Data Tagging - - - - - - - PT-2(1) - PT-02(01) - CA-6 - CM-12 - PM-5 - PM-22 - SC-16 - SC-43 - SI-10 - SI-15 - SI-19 - -

Attach data tags containing to .

- - -

Data tags support tracking and enforcement of authorized processing by conveying the types of processing that are authorized along with the relevant elements of personally identifiable information throughout the system. Data tags may also support the use of automated tools.

- - - - Automation - - - - PT-2(2) - PT-02(02) - CA-6 - CM-12 - PM-5 - PM-22 - SC-16 - SC-43 - SI-10 - SI-15 - SI-19 - -

Manage enforcement of the authorized processing of personally identifiable information using .

- - -

Automated mechanisms augment verification that only authorized processing is occurring.

- - - - - Personally Identifiable Information Processing Purposes - - - - - - - - - - - - - PT-3 - PT-03 - [PRIVACT] - [OMB A-130, Appendix II] - AC-3 - AT-3 - CM-13 - PM-9 - PM-25 - PT-2 - PT-6 - PT-7 - PT-8 - RA-8 - SC-43 - SI-12 - SI-18 - - - a. -

Identify and document the for processing personally identifiable information;

- - - b. -

Describe the purpose(s) in the public privacy notices and policies of the organization;

- - - c. -

Restrict the of personally identifiable information to only that which is compatible with the identified purpose(s); and

- - - d. -

Monitor changes in processing personally identifiable information and implement to ensure that any changes are made in accordance with .

- - - -

Identifying and documenting the purpose for processing provides organizations with a basis for understanding why personally identifiable information may be processed. The term process includes every step of the information life cycle, including creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal. Identifying and documenting the purpose of processing is a prerequisite to enabling owners and operators of the system, and individuals whose information is processed by the system, to understand how the information will be processed. This enables individuals to make informed decisions about their engagement with information systems and organizations, and to manage their privacy interests. Once the specific processing purpose has been identified, the purpose is described in the organization’s privacy notices, policies, and any related privacy compliance documentation, including privacy impact assessments, system of records notices, [PRIVACT] statements, computer matching notices, and other applicable Federal Register notices. -Organizations take steps to help ensure that personally identifiable information is processed only for identified purposes, including training organizational personnel and monitoring and auditing organizational processing of personally identifiable information. -Organizations monitor for changes in personally identifiable information processing. Organizational personnel consult with the senior agency official for privacy and legal counsel to ensure that any new purposes arising from changes in processing are compatible with the purpose for which the information was collected, or if the new purpose is not compatible, implement mechanisms in accordance with defined requirements to allow for the new processing, if appropriate. Mechanisms may include obtaining consent from individuals, revising privacy policies, or other measures to manage privacy risks arising from changes in personally identifiable information processing purposes.

- - - Data Tagging - - - - - - - PT-3(1) - PT-03(01) - CA-6 - CM-12 - PM-5 - PM-22 - SC-16 - SC-43 - SI-10 - SI-15 - SI-19 - -

Attach data tags containing the following purposes to : .

- - -

Data tags support tracking of processing purposes by conveying the purposes along with the relevant elements of personally identifiable information throughout the system. By conveying the processing purposes in a data tag along with the personally identifiable information as the information transits a system, a system owner or operator can identify whether a change in processing would be compatible with the identified and documented purposes. Data tags may also support the use of automated tools.

- - - - Automation - - - - PT-3(2) - PT-03(02) - CA-6 - CM-12 - PM-5 - PM-22 - SC-16 - SC-43 - SI-10 - SI-15 - SI-19 - -

Track processing purposes of personally identifiable information using .

- - -

Automated mechanisms augment tracking of the processing purposes.

- - - - - Minimization - - - - PT-4 - PT-04 - [OMB A-130] - PM-25 - SA-15 - SC-42 - SI-12 - -

Implement the privacy principle of minimization using .

- - -

The principle of minimization states that organizations should only process personally identifiable information that is directly relevant and necessary to accomplish an authorized purpose, and should only maintain personally identifiable information for as long as is necessary to accomplish the purpose. Organizations have processes in place, consistent with applicable laws and policies, to implement the principle of minimization.

- - - - Consent - - - - PT-5 - PT-05 - [PRIVACT] - [OMB A-130] - [SP 800-63-3] - AC-16 - PT-6 - -

Implement for individuals to consent to the processing of their personally identifiable information prior to its collection that:

- - a. -

Facilitate individuals’ informed decision-making; and

- - - b. -

Provide a means for individuals to decline consent.

- - - -

Consent allows individuals to participate in the decision-making about the processing of their information and transfers some of the risk that arises from the processing of personally identifiable information from the organization to an individual. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent. Consent may be required by applicable laws, executive orders, directives, regulations, policies, standards, or guidelines. Otherwise, when selecting this control, organizations consider whether individuals can be reasonably expected to understand and accept the privacy risks arising from their authorization. Organizations also consider any demographic or contextual factors that may influence the understanding or behavior of individuals with respect to the data actions carried out by the system or organization. When soliciting consent from individuals, organizations consider the appropriate mechanism for obtaining consent, including how to properly authenticate and identity proof individuals and how to obtain consent through electronic means. In addition, organizations consider providing a mechanism for individuals to revoke consent once it has been provided, as appropriate. Finally, organizations consider usability factors to help individuals understand the risks being accepted when providing consent, including the use of plain language and avoiding technical jargon.

- - - Tailored Consent - - - - PT-5(1) - PT-05(01) - PT-2 - -

Provide to allow individuals to tailor processing permissions to selected elements of personally identifiable information.

- - -

While some processing may be necessary for the basic functionality of the product or service, other processing may not be necessary for the functionality of the product or service. In these circumstances, organizations allow individuals to select how specific personally identifiable information elements may be processed. More tailored consent may help reduce privacy risk, increase individual satisfaction, and avoid adverse behaviors such as abandonment of the product or service.

- - - - Just-in-time Consent - - - - PT-5(2) - PT-05(02) - PT-2 - -

Present to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action.

- - -

Just-in-time consent enables individuals to participate in how their personally identifiable information is being processed at the time when such participation may be most useful to the individual. Individual assumptions about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the individual last gave consent or the particular circumstances under which consent was given have changed. Organizations use discretion to determine when to use just-in-time consent and may use supporting information on demographics, focus groups, or surveys to learn more about individuals’ privacy interests and concerns.

- - - - - Privacy Notice - - - - - - - PT-6 - PT-06 - [PRIVACT] - [OMB A-130] - [OMB A-108] - PM-20 - PM-22 - PT-2 - PT-3 - PT-5 - PT-8 - RA-3 - SI-18 - -

Provide notice to individuals about the processing of personally identifiable information that:

- - a. -

Is available to individuals upon first interacting with an organization, and subsequently at ;

- - - b. -

Is clear and easy-to-understand, expressing information about personally identifiable information processing in plain language;

- - - c. -

Identifies the authority that authorizes the processing of personally identifiable information;

- - - d. -

Identifies the purposes for which personally identifiable information is to be processed; and

- - - e. -

Includes .

- - - -

Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization. Organizations use privacy notices to inform individuals about how, under what authority, and for what purpose their personally identifiable information is processed, as well as other information such as choices individuals might have with respect to that processing and, other parties with whom information is shared. Laws, executive orders, directives, regulations, or policies may require that privacy notices include specific elements or be provided in specific formats. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding when and where to provide privacy notices, as well as elements to include in privacy notices and required formats. In circumstances where laws or government-wide policies do not require privacy notices, organizational policies and determinations may require privacy notices and may serve as a source of the elements to include in privacy notices. -Privacy risk assessments identify the privacy risks associated with the processing of personally identifiable information and may help organizations determine appropriate elements to include in a privacy notice to manage such risks. To help individuals understand how their information is being processed, organizations write materials in plain language and avoid technical jargon.

- - - Just-in-time Notice - - - - PT-6(1) - PT-06(01) - PM-21 - -

Present notice of personally identifiable information processing to individuals at a time and location where the individual provides personally identifiable information or in conjunction with a data action, or .

- - -

Just-in-time notice enables individuals to be informed of how organizations process their personally identifiable information at a time when such notice may be most useful to the individual. Individual assumption about how personally identifiable information will be processed might not be accurate or reliable if time has passed since the organization last presented notice or the circumstances under which the individual was last provided notice have changed. Just-in-time notice can explain data actions that organizations have identified as potentially giving rise to greater privacy risk for individuals. Organizations can use just-in-time notice to update or remind individuals about specific data actions as they occur or highlight specific changes that occurred since last presenting notice. Just-in-time notice can be used in conjunction with just-in-time consent to explain what will occur if consent is declined. Organizations use discretion to determine when to use just-in-time notice and may use supporting information on user demographics, focus groups, or surveys to learn about users’ privacy interests and concerns.

- - - - Privacy Act Statements - PT-6(2) - PT-06(02) - PT-7 - -

Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals.

- - -

If a federal agency asks individuals to supply information that will become part of a system of records, the agency is required to provide a [PRIVACT] statement on the form used to collect the information or on a separate form that can be retained by the individual. The agency provides a [PRIVACT] statement in such circumstances regardless of whether the information will be collected on a paper or electronic form, on a website, on a mobile application, over the telephone, or through some other medium. This requirement ensures that the individual is provided with sufficient information about the request for information to make an informed decision on whether or not to respond. -[PRIVACT] statements provide formal notice to individuals of the authority that authorizes the solicitation of the information; whether providing the information is mandatory or voluntary; the principal purpose(s) for which the information is to be used; the published routine uses to which the information is subject; the effects on the individual, if any, of not providing all or any part of the information requested; and an appropriate citation and link to the relevant system of records notice. Federal agency personnel consult with the senior agency official for privacy and legal counsel regarding the notice provisions of the [PRIVACT].

- - - - - System of Records Notice - PT-7 - PT-07 - [PRIVACT] - [OMB A-108] - PM-20 - PT-2 - PT-3 - PT-6 - -

For systems that process information that will be maintained in a Privacy Act system of records:

- - a. -

Draft system of records notices in accordance with OMB guidance and submit new and significantly modified system of records notices to the OMB and appropriate congressional committees for advance review;

- - - b. -

Publish system of records notices in the Federal Register; and

- - - c. -

Keep system of records notices accurate, up-to-date, and scoped in accordance with policy.

- - - -

The [PRIVACT] requires that federal agencies publish a system of records notice in the Federal Register upon the establishment and/or modification of a [PRIVACT] system of records. As a general matter, a system of records notice is required when an agency maintains a group of any records under the control of the agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. The notice describes the existence and character of the system, and identifies the system of records, the purpose(s) of the system, the authority for maintenance of the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, and additional details about the system as described in [OMB A-108].

- - - Routine Uses - - - - PT-7(1) - PT-07(01) - -

Review all routine uses published in the system of records notice at to ensure continued accuracy, and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

- - -

A [PRIVACT] routine use is a particular kind of disclosure of a record outside of the federal agency maintaining the system of records. A routine use is an exception to the [PRIVACT] prohibition on the disclosure of a record in a system of records without the prior written consent of the individual to whom the record pertains. To qualify as a routine use, the disclosure must be for a purpose that is compatible with the purpose for which the information was originally collected. The [PRIVACT] requires agencies to describe each routine use of the records maintained in the system of records, including the categories of users of the records and the purpose of the use. Agencies may only establish routine uses by explicitly publishing them in the relevant system of records notice.

- - - - Exemption Rules - - - - PT-7(2) - PT-07(02) - -

Review all Privacy Act exemptions claimed for the system of records at to ensure they remain appropriate and necessary in accordance with law, that they have been promulgated as regulations, and that they are accurately described in the system of records notice.

- - -

The [PRIVACT] includes two sets of provisions that allow federal agencies to claim exemptions from certain requirements in the statute. These provisions allow agencies in certain circumstances to promulgate regulations to exempt a system of records from select provisions of the [PRIVACT]. At a minimum, organizations’ [PRIVACT] exemption regulations include the specific name(s) of any system(s) of records that will be exempt, the specific provisions of the [PRIVACT] from which the system(s) of records is to be exempted, the reasons for the exemption, and an explanation for why the exemption is both necessary and appropriate.

- - - - - Specific Categories of Personally Identifiable Information - - - - PT-8 - PT-08 - [PRIVACT] - [OMB A-130] - [OMB A-108] - PT-2 - PT-3 - -

Apply for specific categories of personally identifiable information.

- - -

Organizations apply any conditions or protections that may be necessary for specific categories of personally identifiable information. These conditions may be required by laws, executive orders, directives, regulations, policies, standards, or guidelines. The requirements may also come from organizational policies and determinations when an organization has determined that a particular category of personally identifiable information is particularly sensitive or raises particular privacy risks. Organizations consult with the senior agency official for privacy and legal counsel regarding any protections that may be necessary.

- - - Social Security Numbers - PT-8(1) - PT-08(01) - -

When a system processes Social Security numbers:

- - (a) -

Eliminate unnecessary collection, maintenance, and use of Social Security numbers, and explore alternatives to their use as a personal identifier;

- - - (b) -

Do not deny any individual any right, benefit, or privilege provided by law because of such individual’s refusal to disclose his or her Social Security number; and

- - - (c) -

Inform any individual who is asked to disclose his or her Social Security number whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, and what uses will be made of it.

- - - -

Federal law and policy establish specific requirements for organizations’ processing of Social Security numbers. Organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information, and observe any particular requirements that apply.

- - - - First Amendment Information - PT-8(2) - PT-08(02) - -

Prohibit the processing of information describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual or unless pertinent to and within the scope of an authorized law enforcement activity.

- - -

None. -Related Controls: The [PRIVACT] limits agencies’ ability to process information that describes how individuals exercise rights guaranteed by the First Amendment. Organizations consult with the senior agency official for privacy and legal counsel regarding these requirements.

- - - - - Computer Matching Requirements - PT-9 - PT-09 - [PRIVACT] - [OMB A-130] - [OMB A-108] - PM-24 - -

When a system or organization processes information for the purpose of conducting a matching program:

- - a. -

Obtain approval from the Data Integrity Board to conduct the matching program;

- - - b. -

Develop and enter into a computer matching agreement;

- - - c. -

Publish a matching notice in the Federal Register;

- - - d. -

Independently verify the information produced by the matching program before taking adverse action against an individual, if required; and

- - - e. -

Provide individuals with notice and an opportunity to contest the findings before taking adverse action against an individual.

- - - -

The [PRIVACT] establishes a set of requirements for federal and non-federal agencies when they engage in a matching program. In general, a matching program is a computerized comparison of records from two or more automated [PRIVACT] systems of records, or an automated system of records and automated records maintained by a non-Federal agency (or agent thereof). A matching program either pertains to Federal benefit programs or Federal personnel or payroll records. A Federal benefit match is performed for purposes of determining or verifying eligibility for payments under Federal benefit programs, or recouping payments or delinquent debts under Federal benefit programs. A matching program involves not just the matching activity itself, but also the investigative follow-up and ultimate action, if any.

- - - - - Risk Assessment - - Policy and Procedures - - - - - - - - - - - - - - - - RA-1 - RA-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - PM-9 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- risk assessment policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and

- - - c. -

Review and update the current risk assessment:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the RA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Security Categorization - RA-2 - RA-02 - [FIPS 199] - [FIPS 200] - [SP 800-30] - [SP 800-37] - [SP 800-39] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-160 v1] - CM-8 - MP-4 - PL-2 - PL-10 - PL-11 - PM-7 - RA-3 - RA-5 - RA-7 - RA-8 - SA-8 - SC-7 - SC-38 - SI-12 - - - a. -

Categorize the system and information it processes, stores, and transmits;

- - - b. -

Document the security categorization results, including supporting rationale, in the security plan for the system; and

- - - c. -

Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

- - - -

Clearly defined system boundaries are a prerequisite for security categorization decisions. Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are comprised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. -Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with [USA PATRIOT] and Homeland Security Presidential Directives, potential national-level adverse impacts. -Security categorization processes facilitate the development of inventories of information assets, and along with CM-8, mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure the security categories remain accurate and relevant.

- - - Impact-level Prioritization - RA-2(1) - RA-02(01) - -

Conduct an impact-level prioritization of organizational systems to obtain additional granularity on system impact levels.

- - -

Organizations apply the “high water mark” concept to each system categorized in accordance with [FIPS 199] resulting in systems designated as low impact, moderate impact, or high impact. Organizations desiring additional granularity in the system impact designations for risk-based decision making, can further partition the systems into sub-categories of the initial system categorization. For example, an impact-level prioritization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. Impact-level prioritization and the resulting sub-categories of the system give organizations an opportunity to focus their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Impact-level prioritization can also be used to determine those systems that may be of heightened interest or value to adversaries or represent a critical loss to the federal enterprise, sometimes described as high value assets. For such high value assets, organizations may be more focused on complexity, aggregation, and interconnections. Systems with high value assets can be prioritized by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems.

- - - - - Risk Assessment - - - - - - - - - - - - - - - - RA-3 - RA-03 - [OMB A-130] - [SP 800-30] - [SP 800-39] - [SP 800-161] - [IR 8023] - [IR 8062] - CA-3 - CM-4 - CM-13 - CP-6 - CP-7 - IA-8 - MA-5 - PE-3 - PE-18 - PL-2 - PL-10 - PL-11 - PM-8 - PM-9 - PM-28 - RA-2 - RA-5 - RA-7 - SA-8 - SA-9 - SC-38 - SI-12 - - - a. -

Conduct a risk assessment, including:

- - 1. -

The likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and

- - - 2. -

The likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;

- - - - b. -

Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;

- - - c. -

Document risk assessment results in ;

- - - d. -

Review risk assessment results ;

- - - e. -

Disseminate risk assessment results to ; and

- - - f. -

Update the risk assessment or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.

- - - -

Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of systems. Risk assessments also consider risk from external parties, including individuals accessing organizational systems; contractors operating systems on behalf of the organization; service providers; and outsourcing entities. -Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, control selection, control implementation, control assessment, system authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle. -In addition to the information processed, stored, and transmitted by the system, risk assessments can also address any information related to the system, including system design, the intended use of the system, testing results, and other supply chain-related information or artifacts. Assessments of risk can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination.

- - - Supply Chain Risk Assessment - - - - - - - RA-3(1) - RA-03(01) - RA-2 - RA-9 - PM-17 - SR-2 - - - (a) -

Assess supply chain risks associated with ; and

- - - (b) -

Update the supply chain risk assessment , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.

- - - -

Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.

- - - - Use of All-source Intelligence - RA-3(2) - RA-03(02) - -

Use all-source intelligence to assist in the analysis of risk.

- - -

Organizations employ all-source intelligence to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of information derived from all available sources, including publicly available or open-source information; measurement and signature intelligence; human intelligence; signals intelligence; and imagery intelligence. All-source intelligence is used to analyze the risk of vulnerabilities (both intentional and unintentional) from development, manufacturing, and delivery processes, people, and the environment. The risk analysis may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate.

- - - - Dynamic Threat Awareness - - - - RA-3(3) - RA-03(03) - AT-2 - -

Determine the current cyber threat environment on an ongoing basis using .

- - -

The threat awareness information that is gathered feeds into the organization’s information security operations to ensure that procedures are updated in response to the changing threat environment. For example, at higher threat levels, organizations may change the privilege or authentication thresholds required to perform certain operations.

- - - - Predictive Cyber Analytics - - - - - - - RA-3(4) - RA-03(04) - -

Employ the following advanced automation and analytics capabilities to predict and identify risks to : .

- - -

A properly resourced Security Operations Center (SOC) or Computer Incident Response Team (CIRT) may be overwhelmed by the volume of information generated by the proliferation of security tools and appliances unless it employs advanced automation and analytics to analyze the data. Advanced automation and analytics capabilities are typically supported by artificial intelligence concepts including, machine learning. Examples include Automated Threat Discovery and Response (which includes broad-based collection, context-based analysis, and adaptive response capabilities), Automated Workflow Operations, and Machine Assisted Decision tools. Note, however, that sophisticated adversaries may be able to extract information related to analytic parameters and retrain the machine learning to classify malicious activity as benign. Accordingly, machine learning is augmented by human monitoring to ensure sophisticated adversaries are not able to conceal their activity.

- - - - - Risk Assessment Update - RA-4 - Withdrawn - RA-04 - RA-3 - - - Vulnerability Monitoring and Scanning - - - - - - - - - - RA-5 - RA-05 - [SP 800-40] - [SP 800-53A] - [SP 800-70] - [SP 800-115] - [SP 800-126] - [IR 7788] - [IR 8023] - CA-2 - CA-7 - CM-2 - CM-4 - CM-6 - CM-8 - RA-2 - RA-3 - SA-11 - SA-15 - SC-38 - SI-2 - SI-3 - SI-4 - SI-7 - SR-11 - - - a. -

Monitor and scan for vulnerabilities in the system and hosted applications and when new vulnerabilities potentially affecting the system are identified and reported;

- - - b. -

Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

- - 1. -

Enumerating platforms, software flaws, and improper configurations;

- - - 2. -

Formatting checklists and test procedures; and

- - - 3. -

Measuring vulnerability impact;

- - - - c. -

Analyze vulnerability scan reports and results from vulnerability monitoring;

- - - d. -

Remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;

- - - e. -

Share information obtained from the vulnerability monitoring process and control assessments with to help eliminate similar vulnerabilities in other systems; and

- - - f. -

Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned.

- - - -

Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities such as infrastructure components (e.g., switches, routers, sensors), networked printers, scanners, and copiers are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced, and as new scanning methods are developed, helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers. -Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP) validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments such as red team exercises provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS). -Vulnerability monitoring also includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization, and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation. -Organizations may also employ the use of financial incentives (also known as “bug bounties”) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time, and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously, and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points.

- - - Update Tool Capability - RA-5(1) - Withdrawn - RA-05(01) - RA-5 - - - Update System Vulnerabilities - - - - - - - RA-5(2) - RA-05(02) - SI-5 - -

Update the system vulnerabilities to be scanned .

- - -

Due to the complexity of modern software and systems and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner.

- - - - Breadth and Depth of Coverage - RA-5(3) - RA-05(03) - -

Define the breadth and depth of vulnerability scanning coverage.

- - -

The breadth of vulnerability scanning coverage can be expressed, for example, as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design the organization intends to monitor (e.g., component, module, subsystem). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. [SP 800-53A] provides additional information on the breadth and depth of coverage.

- - - - Discoverable Information - - - - RA-5(4) - RA-05(04) - AU-13 - SC-26 - -

Determine information about the system that is discoverable and take .

- - -

Discoverable information includes information that adversaries could obtain without compromising or breaching the system, for example, by collecting information the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization.

- - - - Privileged Access - - - - - - - RA-5(5) - RA-05(05) - -

Implement privileged access authorization to for .

- - -

In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.

- - - - Automated Trend Analyses - - - - RA-5(6) - RA-05(06) - -

Compare the results of multiple vulnerability scans using .

- - -

Using automated mechanisms to analyze multiple vulnerability scans over time can help to determine trends in system vulnerabilities.

- - - - Automated Detection and Notification of Unauthorized Components - RA-5(7) - Withdrawn - RA-05(07) - CM-8 - - - Review Historic Audit Logs - - - - - - - RA-5(8) - RA-05(08) - AU-6 - AU-11 - -

Review historic audit logs to determine if a vulnerability identified in a has been previously exploited within an .

- - -

Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack.

- - - - Penetration Testing and Analyses - RA-5(9) - Withdrawn - RA-05(09) - CA-8 - - - Correlate Scanning Information - RA-5(10) - RA-05(10) - -

Correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability and multi-hop attack vectors.

- - -

An attack vector is a path or means by which an adversary can gain access to a system in order to deliver malicious code or exfiltrate information. Organizations can use attack trees to show how hostile activities by adversaries interact and combine to produce adverse impacts or negative consequences to systems and organizations. Such information, together with correlated data from vulnerability scanning tools, can provide greater clarity regarding multi-vulnerability and multi-hop attack vectors. The correlation of vulnerability scanning information is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). During such transitions, some system components may inadvertently be unmanaged and create opportunities for adversary exploitation.

- - - - Public Disclosure Program - - - - RA-5(11) - RA-05(11) - -

Establish an for receiving reports of vulnerabilities in organizational systems and system components.

- - -

The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity, but may request a specific time period to properly remediate the vulnerability.

- - - - - Technical Surveillance Countermeasures Survey - - - - - - - - - - - - - RA-6 - RA-06 - -

Employ a technical surveillance countermeasures survey at - .

- - -

A technical surveillance countermeasures survey is a service provided by qualified personnel to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could be used in the conduct of a technical penetration of the surveyed facility. Technical surveillance countermeasures surveys also provide evaluations of the technical security posture of organizations and facilities and include visual, electronic, and physical examinations of surveyed facilities, internally and externally. The surveys also provide useful input for risk assessments and information regarding organizational exposure to potential adversaries.

- - - - Risk Response - RA-7 - RA-07 - [FIPS 199] - [FIPS 200] - [SP 800-30] - [SP 800-37] - [SP 800-39] - [SP 800-160 v1] - CA-5 - IR-9 - PM-4 - PM-28 - RA-2 - RA-3 - SR-2 - -

Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance.

- - -

Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls; accepting risk with appropriate justification or rationale; sharing or transferring risk; or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.

- - - - Privacy Impact Assessments - RA-8 - RA-08 - [EGOV] - [OMB A-130, Appendix II] - CM-13 - PT-2 - PT-3 - PT-6 - RA-1 - RA-2 - RA-3 - RA-7 - -

Conduct privacy impact assessments for systems, programs, or other activities before:

- - a. -

Developing or procuring information technology that processes personally identifiable information; and

- - - b. -

Initiating a new collection of personally identifiable information that:

- - 1. -

Will be processed using information technology; and

- - - 2. -

Includes personally identifiable information permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the federal government.

- - - - -

A privacy impact assessment is an analysis of how personally identifiable information is handled to ensure that handling conforms to applicable privacy requirements, determine the privacy risks associated with an information system or activity, and evaluate ways to mitigate privacy risks. A privacy impact assessment is both an analysis and a formal document detailing the process and the outcome of the analysis. -Organizations conduct and develop a privacy impact assessment with sufficient clarity and specificity to demonstrate that the organization fully considered privacy and incorporated appropriate privacy protections from the earliest stages of the organization’s activity and throughout the information life cycle. In order to conduct a meaningful privacy impact assessment, the organization’s senior agency official for privacy works closely with program managers, system owners, information technology experts, security officials, counsel, and other relevant organization personnel. Moreover, a privacy impact assessment is not a time-restricted activity that is limited to a particular milestone or stage of the information system or personally identifiable information life cycles. Rather, the privacy analysis continues throughout the system and personally identifiable information life cycles. Accordingly, a privacy impact assessment is a living document that organizations update whenever changes to the information technology, changes to the organization’s practices, or other factors alter the privacy risks associated with the use of such information technology. -To conduct the privacy impact assessment, organizations can use security and privacy risk assessments. Organizations may also use other related processes which may have different labels, including privacy threshold analyses. A privacy impact assessment can also serve as notice to the public regarding the organization’s practices with respect to privacy. Although conducting and publishing privacy impact assessments may be required by law, organizations may develop such policies in the absence of applicable laws. For federal agencies, privacy impact assessments may be required by [EGOV]; agencies should consult with their senior agency official for privacy and legal counsel on this requirement and be aware of the statutory exceptions and OMB guidance relating to the provision.

- - - - Criticality Analysis - - - - - - - RA-9 - RA-09 - [IR 8179] - CP-2 - PL-2 - PL-8 - PL-11 - PM-1 - RA-2 - SA-8 - SA-15 - SA-20 - -

Identify critical system components and functions by performing a criticality analysis for at .

- - -

Not all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders regulations, directives, policies, and standards; system functionality requirements; system and component interfaces; and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system; decomposition into the specific functions to perform those missions; and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system. -The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system containing the components and functions. Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, for example, by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in RA-2.

- - - - Threat Hunting - - - - RA-10 - RA-10 - [SP 800-30] - RA-3 - RA-5 - RA-6 - - - a. -

Establish and maintain a cyber threat hunting capability to:

- - 1. -

Search for indicators of compromise in organizational systems; and

- - - 2. -

Detect, track, and disrupt threats that evade existing controls; and

- - - - b. -

Employ the threat hunting capability .

- - - -

Threat hunting is an active means of cyber defense in contrast to the traditional protection measures such as firewalls, intrusion detection and prevention systems, quarantining malicious code in sandboxes, and Security Information and Event Management technologies and systems. Cyber threat hunting involves proactively searching organizational systems, networks, and infrastructure for advanced threats. The objective is to track and disrupt cyber adversaries as early as possible in the attack sequence and to measurably improve the speed and accuracy of organizational responses. Indications of compromise include unusual network traffic, unusual file changes, and the presence of malicious code. Threat hunting teams leverage existing threat intelligence and may create new threat intelligence, which is shared with peer organizations, Information Sharing and Analysis Organizations (ISAO), Information Sharing and Analysis Centers (ISAC), and relevant government departments and agencies.

- - - - - System and Services Acquisition - - Policy and Procedures - - - - - - - - - - - - - - - - SA-1 - SA-01 - [OMB A-130] - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - [SP 800-160 v1] - PM-9 - PS-8 - SA-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- system and services acquisition policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and

- - - c. -

Review and update the current system and services acquisition:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the SA family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Allocation of Resources - SA-2 - SA-02 - [OMB A-130] - [SP 800-160 v1] - PL-7 - PM-3 - PM-11 - SA-9 - SR-3 - SR-5 - - - a. -

Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;

- - - b. -

Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and

- - - c. -

Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation.

- - - -

Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain concerns throughout the system development life cycle.

- - - - System Development Life Cycle - - - - SA-3 - SA-03 - [OMB A-130] - [SP 800-30] - [SP 800-37] - [SP 800-160 v1] - [SP 800-171] - [SP 800-171B] - AT-3 - PL-8 - PM-7 - SA-4 - SA-5 - SA-8 - SA-11 - SA-15 - SA-17 - SA-22 - SR-3 - SR-5 - SR-9 - - - a. -

Acquire, develop, and manage the system using that incorporates information security and privacy considerations;

- - - b. -

Define and document information security and privacy roles and responsibilities throughout the system development life cycle;

- - - c. -

Identify individuals having information security and privacy roles and responsibilities; and

- - - d. -

Integrate the organizational information security and privacy risk management process into system development life cycle activities.

- - - -

A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical missions and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include in system development life cycle processes, qualified personnel, including senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals having key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. -The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, and service providers), acquisition and supply chain risk management functions and controls play a significant role in the effective management of the system during the life cycle.

- - - Manage Preproduction Environment - SA-3(1) - SA-03(01) - CM-2 - CM-4 - RA-3 - RA-9 - SA-4 - -

Protect system preproduction environments commensurate with risk throughout the system development life cycle for the system, system component, or system service.

- - -

The preproduction environment includes development, test, and integration environments. The program protection planning processes established by the Department of Defense is an example of managing the preproduction environment for defense contractors. Criticality analysis and the application of controls on developers also contribution to a more secure system development environment.

- - - - Use of Live or Operational Data - SA-3(2) - SA-03(02) - PM-25 - RA-3 - - - (a) -

Approve, document, and control the use of live data in preproduction environments for the system, system component, or system service; and

- - - (b) -

Protect preproduction environments for the system, system component, or system service at the same impact or classification level as any live data in use within the preproduction environments.

- - - -

Live data is also referred to as operational data. The use of live or operational data in preproduction (i.e., development, test, and integration) environments can result in significant risk to organizations. In addition, the use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Thus, it is important for the organization to manage any additional risks that may result from use of live or operational data. Organizations can minimize such risk by using test or dummy data during the design, development, and testing of systems, system components, and system services. Risk assessment techniques may be used to determine if the risk of using live or operational data is acceptable.

- - - - Technology Refresh - SA-3(3) - SA-03(03) - -

Plan for and implement a technology refresh schedule for the system throughout the system development life cycle.

- - -

Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase security and privacy risks associated with, for example, unsupported components, components unable to implement security or privacy requirements, counterfeit or re-purposed components, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity. Technology refreshes typically occur during the operations and maintenance stage of the system development life cycle.

- - - - - Acquisition Process - - - - - - - SA-4 - SA-04 - [PRIVACT] - [OMB A-130] - [ISO 15408-1] - [ISO 15408-2] - [ISO 15408-3] - [FIPS 140-3] - [FIPS 201-2] - [SP 800-35] - [SP 800-37] - [SP 800-70] - [SP 800-73-4] - [SP 800-137] - [SP 800-160 v1] - [SP 800-161] - [IR 7539] - [IR 7622] - [IR 7676] - [IR 7870] - [IR 8062] - [NIAP CCEVS] - [NSA CSFC] - CM-6 - CM-8 - PS-7 - SA-3 - SA-5 - SA-8 - SA-11 - SA-15 - SA-16 - SA-17 - SA-21 - SR-3 - SR-5 - -

Include the following requirements, descriptions, and criteria, explicitly or by reference, using in the acquisition contract for the system, system component, or system service:

- - a. -

Security and privacy functional requirements;

- - - b. -

Strength of mechanism requirements;

- - - c. -

Security and privacy assurance requirements;

- - - d. -

Controls needed to satisfy the security and privacy requirements.

- - - e. -

Security and privacy documentation requirements;

- - - f. -

Requirements for protecting security and privacy documentation;

- - - g. -

Description of the system development environment and environment in which the system is intended to operate;

- - - h. -

Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and

- - - i. -

Acceptance criteria.

- - - -

Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in SA-2. The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, practices, and methodologies; and the evidence from development and assessment activities providing grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160 v1] describes the process of requirements engineering as part of the system development life cycle. -Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical aspects, administrative aspects, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle. -Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as such criteria for any organizational acquisition or procurement.

- - - Functional Properties of Controls - SA-4(1) - SA-04(01) - -

Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.

- - -

Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.

- - - - Design and Implementation Information for Controls - - - - - - - - - - SA-4(2) - SA-04(02) - -

Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: at .

- - -

Organizations may require different levels of detail in the documentation for the design and implementation for controls in organizational systems, system components, or system services based on mission and business requirements; requirements for resiliency and trustworthiness; and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system.

- - - - Development Methods, Techniques, and Practices - - - - - - - - - - SA-4(3) - SA-04(03) - -

Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes:

- - (a) -

- ;

- - - (b) -

- engineering methods];

- - - (c) -

- .

- - - -

Following a system development life cycle that includes state-of-the-practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of the latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services. Transparency in the methods developers select and implement for systems engineering, systems security and privacy engineering, software development, component and system assessments, and quality control processes provide an increased level of assurance in the trustworthiness of the system, system component, or system service being acquired.

- - - - Assignment of Components to Systems - SA-4(4) - Withdrawn - SA-04(04) - CM-8(9) - - - System, Component, and Service Configurations - - - - SA-4(5) - SA-04(05) - -

Require the developer of the system, system component, or system service to:

- - (a) -

Deliver the system, component, or service with implemented; and

- - - (b) -

Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

- - - -

Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed.

- - - - Use of Information Assurance Products - SA-4(6) - SA-04(06) - SC-8 - SC-12 - SC-13 - - - (a) -

Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and

- - - (b) -

Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.

- - - -

Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management. See [NSA CSFC].

- - - - Niap-approved Protection Profiles - SA-4(7) - SA-04(07) - IA-7 - SC-12 - SC-13 - - - (a) -

Limit the use of commercially provided information assurance and information assurance-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and

- - - (b) -

Require, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated or NSA-approved.

- - - -

See [NIAP CCEVS] for additional information on NIAP. See [NIST CMVP] for additional information on FIPS-validated cryptographic modules.

- - - - Continuous Monitoring Plan for Controls - - - - SA-4(8) - SA-04(08) - CA-7 - -

Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of control effectiveness that contains the following level of detail: .

- - -

The objective of continuous monitoring plans is to determine if the planned, required, and deployed controls within the system, system component, or system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into continuous monitoring strategies and programs implemented by organizations. Continuous monitoring plans can include the frequency of control monitoring, types of control assessment and monitoring activities planned, and actions to be taken when controls fail or become ineffective.

- - - - Functions, Ports, Protocols, and Services in Use - SA-4(9) - SA-04(09) - CM-7 - SA-9 - -

Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.

- - -

The identification of functions, ports, protocols, and services early in the system development life cycle, for example, during the initial requirements definition and design stages, allows organizations to influence the design of the system, system component, or system service. This early involvement in the system life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or when requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources.

- - - - Use of Approved PIV Products - SA-4(10) - SA-04(10) - IA-2 - IA-8 - PM-9 - -

Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.

- - -

Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multifactor authentication in systems and organizations.

- - - - System of Records - - - - SA-4(11) - SA-04(11) - PT-7 - -

Include in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function.

- - -

When an organization provides by a contract for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the [PRIVACT] to be applied to the system of records.

- - - - Data Ownership - - - - SA-4(12) - SA-04(12) - - - (a) -

Include organizational data ownership requirements in the acquisition contract; and

- - - (b) -

Require all data to be removed from the contractor’s system and returned to the organization within .

- - - -

Contractors operating a system that contains data owned by an organization initiating the contract, have policies and procedures in place to remove the data from their systems and/or return the data in a timeframe defined by the contract.

- - - - - System Documentation - - - - - - - SA-5 - SA-05 - [SP 800-160 v1] - CM-4 - CM-6 - CM-7 - CM-8 - PL-2 - PL-4 - PL-8 - PS-2 - SA-3 - SA-4 - SA-8 - SA-9 - SA-10 - SA-11 - SA-15 - SA-16 - SA-17 - SI-12 - SR-3 - - - a. -

Obtain administrator documentation for the system, system component, or system service that describes:

- - 1. -

Secure configuration, installation, and operation of the system, component, or service;

- - - 2. -

Effective use and maintenance of security and privacy functions and mechanisms; and

- - - 3. -

Known vulnerabilities regarding configuration and use of administrative or privileged functions;

- - - - b. -

Obtain user documentation for the system, system component, or system service that describes:

- - 1. -

User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;

- - - 2. -

Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and

- - - 3. -

User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;

- - - - c. -

Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and takes in response;

- - - d. -

Protect documentation as required, in accordance with the organizational risk management strategy; and

- - - e. -

Distribute documentation to .

- - - -

System documentation helps personnel understand the implementation and the operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used, for example, to support the management of supply chain risk, incident response, and other functions. Personnel or roles requiring documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation.

- - - Functional Properties of Security Controls - SA-5(1) - Withdrawn - SA-05(01) - SA-4(1) - - - Security-relevant External System Interfaces - SA-5(2) - Withdrawn - SA-05(02) - SA-4(2) - - - High-level Design - SA-5(3) - Withdrawn - SA-05(03) - SA-4(2) - - - Low-level Design - SA-5(4) - Withdrawn - SA-05(04) - SA-4(2) - - - Source Code - SA-5(5) - Withdrawn - SA-05(05) - SA-4(2) - - - - Software Usage Restrictions - SA-6 - Withdrawn - SA-06 - CM-10 - SI-7 - - - User-installed Software - SA-7 - Withdrawn - SA-07 - CM-11 - SI-7 - - - Security and Privacy Engineering Principles - - - - SA-8 - SA-08 - [FIPS 199] - [FIPS 200] - [SP 800-53A] - [SP 800-60 v1] - [SP 800-60 v2] - [SP 800-160 v1] - [IR 8062] - PL-8 - PM-7 - RA-2 - RA-3 - RA-9 - SA-3 - SA-4 - SA-15 - SA-17 - SA-20 - SC-2 - SC-3 - SC-32 - SC-39 - SR-2 - SR-3 - SR-5 - -

Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: .

- - -

Systems security and privacy engineering principles are closely related to and are implemented throughout the system development life cycle (see SA-3). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. -The application of systems security and privacy engineering principles help organizations develop trustworthy, secure, and resilient systems and reduce the susceptibility to disruptions, hazards, threats, and creating privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. -Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks including incorporating tamper-resistant hardware into a design.

- - - Clear Abstractions - SA-8(1) - SA-08(01) - -

Implement the security design principle of clear abstractions.

- - -

The principle of clear abstractions states that a system has simple, well-defined interfaces and functions that provide a consistent and intuitive view of the data and how it is managed. The elegance (e.g., clarity, simplicity, necessity, and sufficiency) of the system interfaces, combined with a precise definition of their functional behavior promotes ease of analysis, inspection, and testing as well as the correct and secure use of the system. The clarity of an abstraction is subjective. Examples reflecting application of this principle include avoidance of redundant, unused interfaces; information hiding; and avoidance of semantic overloading of interfaces or their parameters (e.g., not using a single function to provide different functionality, depending on how it is used). Information hiding, also known as representation-independent programming, is a design discipline to ensure that the internal representation of information in one system component is not visible to another system component invoking or calling the first component, such that the published abstraction is not influenced by how the data may be managed internally.

- - - - Least Common Mechanism - - - - SA-8(2) - SA-08(02) - -

Implement the security design principle of least common mechanism in .

- - -

The principle of least common mechanism states that the amount of mechanism common to more than one user and depended on by all users is minimized [POPEK74]. Minimization of mechanism implies that different components of a system refrain from using the same mechanism to access a system resource. Every shared mechanism (especially a mechanism involving shared variables) represents a potential information path between users and is designed with great care to be sure it does not unintentionally compromise security [SALTZER75]. Implementing the principle of least common mechanism helps to reduce the adverse consequences of sharing system state among different programs. A single program corrupting a shared state (including shared variables) has the potential to corrupt other programs that are dependent on the state. The principle of least common mechanism also supports the principle of simplicity of design and addresses the issue of covert storage channels [LAMPSON73].

- - - - Modularity and Layering - - - - SA-8(3) - SA-08(03) - SC-2 - SC-3 - -

Implement the security design principles of modularity and layering in .

- - -

The principles of modularity and layering are fundamental across system engineering disciplines. Modularity and layering derived from functional decomposition are effective in managing system complexity, by making it possible to comprehend the structure of the system. Modular decomposition, or refinement in system design, is challenging and resists general statements of principle. Modularity serves to isolate functions and related data structures into well-defined logical units. Layering allows the relationships of these units to be better understood, so that dependencies are clear and undesired complexity can be avoided. The security design principle of modularity extends functional modularity to include considerations based on trust, trustworthiness, privilege, and security policy. Security-informed modular decomposition includes the following: allocation of policies to systems in a network; separation of system applications into processes with distinct address spaces; allocation of system policies to layers; and separation of processes into subjects with distinct privileges based on hardware-supported privilege domains.

- - - - Partially Ordered Dependencies - - - - SA-8(4) - SA-08(04) - -

Implement the security design principle of partially ordered dependencies in .

- - -

The principle of partially ordered dependencies states that the synchronization, calling, and other dependencies in the system are partially ordered. A fundamental concept in system design is layering, whereby the system is organized into well-defined, functionally related modules or components. The layers are linearly ordered with respect to inter-layer dependencies, such that higher layers are dependent on lower layers. While providing functionality to higher layers, some layers can be self-contained and not dependent upon lower layers. While a partial ordering of all functions in a given system may not be possible, if circular dependencies are constrained to occur within layers, the inherent problems of circularity can be more easily managed. Partially ordered dependencies and system layering contribute significantly to the simplicity and the coherency of the system design. Partially ordered dependencies also facilitate system testing and analysis.

- - - - Efficiently Mediated Access - - - - SA-8(5) - SA-08(05) - -

Implement the security design principle of efficiently mediated access in .

- - -

The principle of efficiently mediated access states that policy-enforcement mechanisms utilize the least common mechanism available while satisfying stakeholder requirements within expressed constraints. The mediation of access to system resources (i.e., CPU, memory, devices, communication ports, services, infrastructure, data and information) is often the predominant security function of secure systems. It also enables the realization of protections for the capability provided to stakeholders by the system. Mediation of resource access can result in performance bottlenecks if the system is not designed correctly. For example, by using hardware mechanisms, efficiently mediated access can be achieved. Once access to a low-level resource such as memory has been obtained, hardware protection mechanisms can ensure that out-of-bounds access does not occur.

- - - - Minimized Sharing - - - - SA-8(6) - SA-08(06) - SC-31 - -

Implement the security design principle of minimized sharing in .

- - -

The principle of minimized sharing states that no computer resource is shared between system components (e.g., subjects, processes, functions) unless it is absolutely necessary to do so. Minimized sharing helps to simplify system design and implementation. In order to protect user-domain resources from arbitrary active entities, no resource is shared unless that sharing has been explicitly requested and granted. The need for resource sharing can be motivated by the design principle of least common mechanism in the case internal entities, or driven by stakeholder requirements. However, internal sharing is carefully designed to avoid performance and covert storage- and timing-channel problems. Sharing via common mechanism can increase the susceptibility of data and information to unauthorized access, disclosure, use, or modification and can adversely affect the inherent capability provided by the system. To minimize sharing induced by common mechanisms, such mechanisms can be designed to be reentrant or virtualized to preserve separation. Moreover, use of global data to share information is carefully scrutinized. The lack of encapsulation may obfuscate relationships among the sharing entities.

- - - - Reduced Complexity - - - - SA-8(7) - SA-08(07) - -

Implement the security design principle of reduced complexity in .

- - -

The principle of reduced complexity states that the system design is as simple and small as possible. A small and simple design is more understandable, more analyzable, and less prone to error. The reduced complexity principle applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions. It also facilitates identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain—that is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the intended security policy has been captured in the system design, and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex. Transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6) may require implementing the older and newer technologies simultaneously during the transition period. This may result in a temporary increase in system complexity during the transition.

- - - - Secure Evolvability - - - - SA-8(8) - SA-08(08) - CM-3 - -

Implement the security design principle of secure evolvability in .

- - -

The principle of secure evolvability states that a system is developed to facilitate the maintenance of its security properties when there are changes to the system’s structure, interfaces, interconnections (i.e., system architecture), functionality, or its configuration (i.e., security policy enforcement). Changes include a new, an enhanced, or an upgraded system capability; maintenance and sustainment activities; and reconfiguration. Although it is not possible to plan for every aspect of system evolution, system upgrades and changes can be anticipated by analyses of mission or business strategic direction; anticipated changes in the threat environment; and anticipated maintenance and sustainment needs. It is unrealistic to expect that complex systems remain secure in contexts not envisioned during development, whether such contexts are related to the operational environment or to usage. A system may be secure in some new contexts, but there is no guarantee that its emergent behavior will always be secure. It is easier to build trustworthiness into a system from the outset, and it follows that the sustainment of system trustworthiness requires planning for change as opposed to adapting in an ad hoc or non-methodical manner. The benefits of this principle include reduced vendor life-cycle costs; reduced cost of ownership; improved system security; more effective management of security risk; and less risk uncertainty.

- - - - Trusted Components - - - - SA-8(9) - SA-08(09) - -

Implement the security design principle of trusted components in .

- - -

The principle of trusted components states that a component is trustworthy to at least a level commensurate with the security dependencies it supports (i.e., how much it is trusted to perform its security functions by other components). This principle enables the composition of components such that trustworthiness is not inadvertently diminished and where consequently the trust is not misplaced. Ultimately this principle demands some metric by which the trust in a component and the trustworthiness of a component can be measured on the same abstract scale. The principle of trusted components is particularly relevant when considering systems and components in which there are complex chains of trust dependencies. A trust dependency is also referred to as a trust relationship and there may be chains of trust relationships. -The principle of trusted components also applies to a compound component that consists of subcomponents (e.g., a subsystem), which may have varying levels of trustworthiness. The conservative assumption is that the trustworthiness of a compound component is that of its least trustworthy subcomponent. It may be possible to provide a security engineering rationale that the trustworthiness of a particular compound component is greater than the conservative assumption; however, any such rationale reflects logical reasoning based on a clear statement of the trustworthiness objectives, and relevant and credible evidence. The trustworthiness of a compound component is not the same as increased application of defense-in-depth layering within the component, or replication of components. Defense-in-depth techniques do not increase the trustworthiness of the whole above that of the least trustworthy component.

- - - - Hierarchical Trust - - - - SA-8(10) - SA-08(10) - -

Implement the security design principle of hierarchical trust in .

- - -

The principle of hierarchical trust for components builds on the principle of trusted components and states that the security dependencies in a system will form a partial ordering if they preserve the principle of trusted components. The partial ordering provides the basis for trustworthiness reasoning or providing an assurance case or argument when composing a secure system from heterogeneously trustworthy components. To analyze a system composed of heterogeneously trustworthy components for its trustworthiness, it is essential to eliminate circular dependencies with regard to the trustworthiness. If a more trustworthy component located in a lower layer of the system were to depend upon a less trustworthy component in a higher layer, this would in effect, put the components in the same “less trustworthy” equivalence class per the principle of trusted components. Trust relationships, or chains of trust, can have various manifestations. For example, the root certificate of a certificate hierarchy is the most trusted node in the hierarchy, whereas the leaves in the hierarchy may be the least trustworthy nodes. Another example occurs in a layered high-assurance system where the security kernel (including the hardware base), which is located at the lowest layer of the system, is the most trustworthy component. The principle of hierarchical trust, however, does not prohibit the use of overly trustworthy components. There may be cases in a system of low trustworthiness, where it is reasonable to employ a highly trustworthy component rather than one that is less trustworthy (e.g., due to availability or other cost-benefit driver). For such a case, any dependency of the highly trustworthy component upon a less trustworthy component does not degrade the trustworthiness of the resulting low-trust system.

- - - - Inverse Modification Threshold - - - - SA-8(11) - SA-08(11) - -

Implement the security design principle of inverse modification threshold in .

- - -

The principle of inverse modification threshold builds on the principle of trusted components and the principle of hierarchical trust, and states that the degree of protection provided to a component is commensurate with its trustworthiness. As the trust placed in a component increases, the protection against unauthorized modification of the component also increases to the same degree. Protection from unauthorized modification can come in the form of the component’s own self-protection and innate trustworthiness, or it can come from the protections afforded to the component from other elements or attributes of the security architecture (to include protections in the environment of operation).

- - - - Hierarchical Protection - - - - SA-8(12) - SA-08(12) - -

Implement the security design principle of hierarchical protection in .

- - -

The principle of hierarchical protection states that a component need not be protected from more trustworthy components. In the degenerate case of the most trusted component, it protects itself from all other components. For example, if an operating system kernel is deemed the most trustworthy component in a system, then it protects itself from all untrusted applications it supports, but the applications, conversely, do not need to protect themselves from the kernel. The trustworthiness of users is a consideration for applying the principle of hierarchical protection. A trusted system need not protect itself from an equally trustworthy user, reflecting use of untrusted systems in “system high” environments where users are highly trustworthy and where other protections are put in place to bound and protect the “system high” execution environment.

- - - - Minimized Security Elements - - - - SA-8(13) - SA-08(13) - -

Implement the security design principle of minimized security elements in .

- - -

The principle of minimized security elements states that the system does not have extraneous trusted components. The principle of minimized security elements has two aspects: the overall cost of security analysis and the complexity of security analysis. Trusted components are generally costlier to construct and implement, owing to increased rigor of development processes. Trusted components also require greater security analysis to qualify their trustworthiness. Thus, to reduce the cost and decrease the complexity of the security analysis, a system contains as few trustworthy components as possible. The analysis of the interaction of trusted components with other components of the system is one of the most important aspects of system security verification. If the interactions between components are unnecessarily complex, the security of the system will also be more difficult to ascertain than one whose internal trust relationships are simple and elegantly constructed. In general, fewer trusted components result in fewer internal trust relationships and a simpler system.

- - - - Least Privilege - - - - SA-8(14) - SA-08(14) - AC-6 - CM-7 - -

Implement the security design principle of least privilege in .

- - -

The principle of least privilege states that each system component is allocated sufficient privileges to accomplish its specified functions, but no more. Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects: the security impact of a failure, corruption, or misuse of the component will have a minimized security impact; and the security analysis of the component will be simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who has need only to view the audit data that has been collected but no need to perform operations on that data. -In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and that the access modes for the elements (e.g., read, write) are minimal.

- - - - Predicate Permission - - - - SA-8(15) - SA-08(15) - AC-5 - -

Implement the security design principle of predicate permission in .

- - -

The principle of predicate permission states that system designers consider requiring multiple authorized entities to provide consent before a highly critical operation or access to highly sensitive data, information, or resources is allowed to proceed. [SALTZER75] originally named predicate permission the separation of privilege. It is also equivalent to separation of duty. The division of privilege among multiple parties decreases the likelihood of abuse and provides the safeguard that no single accident, deception, or breach of trust is sufficient to enable an unrecoverable action that can lead to significantly damaging effects. The design options for such a mechanism may require simultaneous action (e.g., the firing of a nuclear weapon requires two different authorized individuals to give the correct command within a small time window) or a sequence of operations where each successive action is enabled by some prior action, but no single individual is able to enable more than one action.

- - - - Self-reliant Trustworthiness - - - - SA-8(16) - SA-08(16) - -

Implement the security design principle of self-reliant trustworthiness in .

- - -

The principle of self-reliant trustworthiness states that systems minimize their reliance on other systems for their own trustworthiness. A system is trustworthy by default with any connection to an external entity used to supplement its function. If a system were required to maintain a connection with another external entity in order to maintain its trustworthiness, then that system would be vulnerable to malicious and non-malicious threats that result in loss or degradation of that connection. The benefit to the principle of self-reliant trustworthiness is that the isolation of a system will make it less vulnerable to attack. A corollary to this principle relates to the ability of the system (or system component) to operate in isolation and then resynchronize with other components when it is rejoined with them.

- - - - Secure Distributed Composition - - - - SA-8(17) - SA-08(17) - -

Implement the security design principle of secure distributed composition in .

- - -

The principle of secure distributed composition states that the composition of distributed components that enforce the same system security policy result in a system that enforces that policy at least as well as the individual components do. Many of the design principles for secure systems deal with how components can or should interact. The need to create or enable capability from the composition of distributed components can magnify the relevancy of these principles. In particular, the translation of security policy from a stand-alone to a distributed system or a system-of-systems can have unexpected or emergent results. Communication protocols and distributed data consistency mechanisms help to ensure consistent policy enforcement across a distributed system. To ensure a system-wide level of assurance of correct policy enforcement, the security architecture of a distributed composite system is thoroughly analyzed.

- - - - Trusted Communications Channels - - - - SA-8(18) - SA-08(18) - SC-8 - SC-12 - SC-13 - -

Implement the security design principle of trusted communications channels in .

- - -

The principle of trusted communication channels states that when composing a system where there is a potential threat to communications between components (i.e., the interconnections between components), each communication channel is trustworthy to a level commensurate with the security dependencies it supports (i.e., how much it is trusted by other components to perform its security functions). Trusted communication channels are achieved by a combination of restricting access to the communication channel (to ensure an acceptable match in the trustworthiness of the endpoints involved in the communication) and employing end-to-end protections for the data transmitted over the communication channel (to protect against interception, modification, and to further increase the assurance of proper end-to-end communication).

- - - - Continuous Protection - - - - SA-8(19) - SA-08(19) - AC-25 - -

Implement the security design principle of continuous protection in .

- - -

The principle of continuous protection states that components and data used to enforce the security policy have uninterrupted protection that is consistent with the security policy and the security architecture assumptions. No assurances that the system can provide the confidentiality, integrity, availability, and privacy protections for its design capability can be made if there are gaps in the protection. Any assurances about the ability to secure a delivered capability require that data and information are continuously protected. That is, there are no periods during which data and information are left unprotected while under control of the system (i.e., during the creation, storage, processing, or communication of the data and information, as well as during system initialization, execution, failure, interruption, and shutdown). Continuous protection requires adherence to the precepts of the reference monitor concept (i.e., every request is validated by the reference monitor, the reference monitor is able to protect itself from tampering, and sufficient assurance of the correctness and completeness of the mechanism can be ascertained from analysis and testing), and the principle of secure failure and recovery (i.e., preservation of a secure state during error, fault, failure, and successful attack; preservation of a secure state during recovery to normal, degraded, or alternative operational modes). -Continuous protection also applies to systems designed to operate in varying configurations, including those that deliver full operational capability and degraded-mode configurations that deliver partial operational capability. The continuous protection principle requires that changes to the system security policies be traceable to the operational need that drives the configuration and be verifiable (i.e., it is possible to verify that the proposed changes will not put the system into an insecure state). Insufficient traceability and verification may lead to inconsistent states or protection discontinuities due to the complex or undecidable nature of the problem. The use of pre-verified configuration definitions that reflect the new security policy enables analysis to determine that a transition from old to new policies is essentially atomic, and that any residual effects from the old policy are guaranteed to not conflict with the new policy. The ability to demonstrate continuous protection is rooted in the clear articulation of life cycle protection needs as stakeholder security requirements.

- - - - Secure Metadata Management - - - - SA-8(20) - SA-08(20) - -

Implement the security design principle of secure metadata management in .

- - -

The principle of secure metadata management states that metadata are “first class” objects with respect to security policy when the policy requires complete protection of information or it requires that the security subsystem to be self-protecting. The principle of secure metadata management is driven by the recognition that a system, subsystem, or component cannot achieve self-protection unless it protects the data it relies upon for correct execution. Data is generally not interpreted by the system that stores it. It may have semantic value (i.e., it comprises information) to users and programs that process the data. In contrast, metadata is information about data, such as a file name or the date when the file was created. Metadata is bound to the target data that it describes in a way that the system can interpret, but it need not be stored inside of or proximate to its target data. There may be metadata whose target is itself metadata (e.g., the sensitivity level of a file name), to include self-referential metadata. -The apparent secondary nature of metadata can lead to a neglect of its legitimate need for protection, resulting in a violation of the security policy that includes the exfiltration of information. A particular concern associated with insufficient protections for metadata is associated with multilevel secure (MLS) systems. MLS systems mediate access by a subject to an object based on relative sensitivity levels. It follows that all subjects and objects in the scope of control of the MLS system are either directly labeled or indirectly attributed with sensitivity levels. The corollary of labeled metadata for MLS systems states that objects containing metadata are labeled. As with protection needs assessment for data, attention is given to ensure that the confidentiality and integrity protections are individually assessed, specified, and allocated to metadata, as would be done for mission, business, and system data.

- - - - Self-analysis - - - - SA-8(21) - SA-08(21) - CA-7 - -

Implement the security design principle of self-analysis in .

- - -

The principle of self-analysis states that a system component is able to assess its internal state and functionality to a limited extent at various stages of execution, and that this self-analysis capability is commensurate with the level of trustworthiness invested in the system. At the system level, self-analysis can be achieved through hierarchical assessments of trustworthiness established in a bottom up fashion. In this approach, the lower-level components check for data integrity and correct functionality (to a limited extent) of higher-level components. For example, trusted boot sequences involve a trusted lower-level component attesting to the trustworthiness of the next higher-level components so that a transitive chain of trust can be established. At the root, a component attests to itself, which usually involves an axiomatic or environmentally enforced assumption about its integrity. Results of the self-analyses can be used to guard against externally induced errors, or internal malfunction or transient errors. By following this principle, some simple errors or malfunctions can be detected without allowing the effects of the error or malfunction to propagate outside the component. Further, the self-test can also be used to attest to the configuration of the component, detecting any potential conflicts in configuration with respect to the expected configuration.

- - - - Accountability and Traceability - - - - SA-8(22) - SA-08(22) - AC-6 - AU-2 - AU-3 - AU-6 - AU-9 - AU-10 - AU-12 - IA-2 - IR-4 - -

Implement the security design principle of accountability and traceability in .

- - -

The principle of accountability and traceability states that it is possible to trace security-relevant actions (i.e., subject-object interactions) to the entity on whose behalf the action is being taken. The principle of accountability and traceability requires a trustworthy infrastructure that can record details about actions that affect system security (e.g., an audit subsystem). To record the details about actions, the system is able to uniquely identify the entity on whose behalf the action is being carried out and also record the relevant sequence of actions that are carried out. The accountability policy also requires the audit trail itself be protected from unauthorized access and modification. The principle of least privilege assists in tracing the actions to particular entities, as it increases the granularity of accountability. Associating specific actions with system entities, and ultimately with users, and making the audit trail secure against unauthorized access and modifications provides non-repudiation, because once an action is recorded, it is not possible to change the audit trail. Another important function that accountability and traceability serves is in the routine and forensic analysis of events associated with the violation of security policy. Analysis of audit logs may provide additional information that may be helpful in determining the path or component that allowed the violation of the security policy, and the actions of individuals associated with the violation of security policy.

- - - - Secure Defaults - - - - SA-8(23) - SA-08(23) - CM-2 - CM-6 - SA-4 - -

Implement the security design principle of secure defaults in .

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The principle of secure defaults states that the default configuration of a system (to include its constituent subsystems, components, and mechanisms) reflects a restrictive and conservative enforcement of security policy. The principle of secure defaults applies to the initial (i.e., default) configuration of a system as well as to the security engineering and design of access control and other security functions that follow a “deny unless explicitly authorized” strategy. The initial configuration aspect of this principle requires that any “as shipped” configuration of a system, subsystem, or system component does not aid in the violation of the security policy, and can prevent the system from operating in the default configuration for those cases where the security policy itself requires configuration by the operational user. -Restrictive defaults mean that the system will operate “as-shipped” with adequate self-protection, and is able to prevent security breaches before the intended security policy and system configuration is established. In cases where the protection provided by the “as-shipped” product is inadequate, stakeholders assess the risk of using it prior to establishing a secure initial state. Adherence to the principle of secure defaults guarantees that a system is established in a secure state upon successfully completing initialization. In situations where the system fails to complete initialization, either it will perform a requested operation using secure defaults or it will not perform the operation. Refer to the principles of continuous protection and secure failure and recovery that parallel this principle to provide the ability to detect and recover from failure. -The security engineering approach to this principle states that security mechanisms deny requests unless the request is found to be well-formed and consistent with the security policy. The insecure alternative is to allow a request unless it is shown to be inconsistent with the policy. In a large system, the conditions that are satisfied to grant a request that is by default denied are often far more compact and complete than those that would need to be checked in order to deny a request that is by default granted.

- - - - Secure Failure and Recovery - - - - SA-8(24) - SA-08(24) - CP-10 - CP-12 - SC-7 - SC-8 - SC-24 - SI-13 - -

Implement the security design principle of secure failure and recovery in .

- - -

The principle of secure failure and recovery states that neither a failure in a system function or mechanism nor any recovery action in response to failure leads to a violation of security policy. The principle of secure failure and recovery parallels the principle of continuous protection to ensure that a system is capable of detecting (within limits) actual and impending failure at any stage of its operation (i.e., initialization, normal operation, shutdown, and maintenance) and to take appropriate steps to ensure that security policies are not violated. In addition, when specified, the system is capable of recovering from impending or actual failure to resume normal, degraded, or alternative secure operation while ensuring that a secure state is maintained such that security policies are not violated. -Failure is a condition in which the behavior of a component deviates from its specified or expected behavior for an explicitly documented input. Once a failed security function is detected, the system may reconfigure itself to circumvent the failed component, while maintaining security, and provide all or part of the functionality of the original system, or completely shut itself down to prevent any further violation of security policies. For this to occur, the reconfiguration functions of the system are designed to ensure continuous enforcement of security policy during the various phases of reconfiguration. -Another technique that can be used to recover from failures is to perform a rollback to a secure state (which may be the initial state) and then either shutdown or replace the service or component that failed such that secure operation may resume. Failure of a component may or may not be detectable to the components using it. The principle of secure failure indicates that components fail in a state that denies rather than grants access. For example, a nominally “atomic” operation interrupted before completion does not violate security policy and is designed to handle interruption events by employing higher-level atomicity and rollback mechanisms (e.g., transactions). If a service is being used, its atomicity properties are well-documented and characterized so that the component availing itself of that service can detect and handle interruption events appropriately. For example, a system is designed to gracefully respond to disconnection and support resynchronization and data consistency after disconnection. -Failure protection strategies that employ replication of policy enforcement mechanisms, sometimes called defense in depth, can allow the system to continue in a secure state even when one mechanism has failed to protect the system. If the mechanisms are similar, however, the additional protection may be illusory, as the adversary can simply attack in series. Similarly, in a networked system, breaking the security on one system or service may enable an attacker to do the same on other similar replicated systems and services. By employing multiple protection mechanisms, whose features are significantly different, the possibility of attack replication or repetition can be reduced. Analyses are conducted to weigh the costs and benefits of such redundancy techniques against increased resource usage and adverse effects on the overall system performance. Additional analyses are conducted as the complexity of these mechanisms increases, as could be the case for dynamic behaviors. Increased complexity generally reduces trustworthiness. When a resource cannot be continuously protected, it is critical to detect and repair any security breaches before the resource is once again used in a secure context.

- - - - Economic Security - - - - SA-8(25) - SA-08(25) - RA-3 - -

Implement the security design principle of economic security in .

- - -

The principle of economic security states that security mechanisms are not costlier than the potential damage that could occur from a security breach. This is the security-relevant form of the cost-benefit analyses used in risk management. The cost assumptions of cost-benefit analysis prevent the system designer from incorporating security mechanisms of greater strength than necessary, where strength of mechanism is proportional to cost. The principle of economic security also requires analysis of the benefits of assurance relative to the cost of that assurance in terms of the effort expended to obtain relevant and credible evidence, and to perform the analyses necessary to assess and draw trustworthiness and risk conclusions from the evidence.

- - - - Performance Security - - - - SA-8(26) - SA-08(26) - SC-13 - SI-2 - SI-7 - -

Implement the security design principle of performance security in .

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The principle of performance security states that security mechanisms are constructed so that they do not degrade system performance unnecessarily. Stakeholder and system design requirements for performance and security are precisely articulated and prioritized. For the system implementation to meet its design requirements and be found acceptable to stakeholders (i.e., validation against stakeholder requirements), the designers adhere to the specified constraints that capability performance needs place on protection needs. The overall impact of computationally intensive security services (e.g., cryptography) are assessed and demonstrated to pose no significant impact to higher-priority performance considerations or are deemed to be providing an acceptable trade-off of performance for trustworthy protection. The trade-off considerations include less computationally intensive security services unless they are unavailable or insufficient. The insufficiency of a security service is determined by functional capability and strength of mechanism. The strength of mechanism is selected with respect to security requirements as well as performance-critical overhead issues (e.g., cryptographic key management) and an assessment of the capability of the threat. -The principle of performance security leads to the incorporation of features that help in the enforcement of security policy, but incur minimum overhead, such as low-level hardware mechanisms upon which higher-level services can be built. Such low-level mechanisms are usually very specific, have very limited functionality, and are optimized for performance. For example, once access rights to a portion of memory is granted, many systems use hardware mechanisms to ensure that all further accesses involve the correct memory address and access mode. Application of this principle reinforces the need to design security into the system from the ground up, and to incorporate simple mechanisms at the lower layers that can be used as building blocks for higher-level mechanisms.

- - - - Human Factored Security - - - - SA-8(27) - SA-08(27) - -

Implement the security design principle of human factored security in .

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The principle of human factored security states that the user interface for security functions and supporting services is intuitive, user friendly, and provides feedback for user actions that affect such policy and its enforcement. The mechanisms that enforce security policy are not intrusive to the user and are designed not to degrade user efficiency. Security policy enforcement mechanisms also provide the user with meaningful, clear, and relevant feedback and warnings when insecure choices are being made. Particular attention is given to interfaces through which personnel responsible for system administration and operation configure and set up the security policies. Ideally, these personnel are able to understand the impact of their choices. The personnel with system administrative and operation responsibility are able to configure systems before start-up and administer them during runtime, in both cases with confidence that their intent is correctly mapped to the system’s mechanisms. Security services, functions, and mechanisms do not impede or unnecessarily complicate the intended use of the system. There is a trade-off between system usability and the strictness necessitated for security policy enforcement. If security mechanisms are frustrating or difficult to use, then users may disable or avoid them, or use the mechanisms in ways inconsistent with the security requirements and protection needs the mechanisms were designed to satisfy.

- - - - Acceptable Security - - - - SA-8(28) - SA-08(28) - -

Implement the security design principle of acceptable security in .

- - -

The principle of acceptable security requires that the level of privacy and performance the system provides is consistent with the users’ expectations. The perception of personal privacy may affect user behavior, morale, and effectiveness. Based on the organizational privacy policy and the system design, users should be able to restrict their actions to protect their privacy. When systems fail to provide intuitive interfaces, or meet privacy and performance expectations, users may either choose to completely avoid the system or use it in ways that may be inefficient or even insecure.

- - - - Repeatable and Documented Procedures - - - - SA-8(29) - SA-08(29) - CM-1 - SA-1 - SA-10 - SA-11 - SA-15 - SA-17 - SC-1 - SI-1 - -

Implement the security design principle of repeatable and documented procedures in .

- - -

The principle of repeatable and documented procedures states that the techniques and methods employed to construct a system component permits the same component to be completely and correctly reconstructed at a later time. Repeatable and documented procedures support the development of a component that is identical to the component created earlier that may be in widespread use. In the case of other system artifacts (e.g., documentation and testing results), repeatability supports consistency and ability to inspect the artifacts. Repeatable and documented procedures can be introduced at various stages within the system development life cycle and can contribute to the ability to evaluate assurance claims for the system. Examples include systematic procedures for code development and review; procedures for configuration management of development tools and system artifacts; and procedures for system delivery.

- - - - Procedural Rigor - - - - SA-8(30) - SA-08(30) - -

Implement the security design principle of procedural rigor in .

- - -

The principle of procedural rigor states that the rigor of a system life cycle process is commensurate with its intended trustworthiness. Procedural rigor defines the scope, depth, and detail of the system life cycle procedures. Rigorous system life cycle procedures contribute to the assurance that the system is correct and free of unintended functionality in several ways. First, the procedures impose checks and balances on the life cycle process such that the introduction of unspecified functionality is prevented. -Second, rigorous procedures applied to systems security engineering activities that produce specifications and other system design documents contribute to the ability to understand the system as it has been built, rather than trusting that the component as implemented, is the authoritative (and potentially misleading) specification. -Finally, modifications to an existing system component are easier when there are detailed specifications describing its current design, instead of studying source code or schematics to try to understand how it works. Procedural rigor helps to ensure that security functional and assurance requirements have been satisfied, and it contributes to a better-informed basis for the determination of trustworthiness and risk posture. Procedural rigor is commensurate with the degree of assurance desired for the system. If the required trustworthiness of the system is low, a high level of procedural rigor may add unnecessary cost, whereas when high trustworthiness is critical, the cost of high procedural rigor is merited.

- - - - Secure System Modification - - - - SA-8(31) - SA-08(31) - CM-3 - CM-4 - -

Implement the security design principle of secure system modification in .

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The principle of secure system modification states that system modification maintains system security with respect to the security requirements and risk tolerance of stakeholders. Upgrades or modifications to systems can transform secure systems into systems that are not secure. The procedures for system modification ensure that, if the system is to maintain its trustworthiness, the same rigor that was applied to its initial development is applied to any system changes. Because modifications can affect the ability of the system to maintain its secure state, a careful security analysis of the modification is needed prior to its implementation and deployment. This principle parallels the principle of secure evolvability.

- - - - Sufficient Documentation - - - - SA-8(32) - SA-08(32) - AT-2 - AT-3 - SA-5 - -

Implement the security design principle of sufficient documentation in .

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The principle of sufficient documentation states that organizational personnel with responsibility to interact with the system are provided with adequate documentation and other information such that the personnel contribute to rather than detract from system security. Despite attempts to comply with principles such as human factored security and acceptable security, systems are inherently complex, and the design intent for the use of security mechanisms is not always intuitively obvious. Neither are the ramifications of the misuse or misconfiguration of security mechanisms. Uninformed and insufficiently trained users can introduce vulnerabilities due to errors of omission and commission. The availability of documentation and training can help to ensure a knowledgeable cadre of personnel, all of whom have a critical role in the achievement of principles such as continuous protection. Documentation is written clearly and supported by training that provides security awareness and understanding of security-relevant responsibilities.

- - - - - External System Services - - - - - - - SA-9 - SA-09 - [OMB A-130] - [SP 800-35] - [SP 800-160 v1] - [SP 800-161] - AC-20 - CA-3 - CP-2 - IR-4 - IR-7 - PL-10 - PL-11 - PS-7 - SA-2 - SA-4 - SR-3 - SR-5 - - - a. -

Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: ;

- - - b. -

Define and document organizational oversight and user roles and responsibilities with regard to external system services; and

- - - c. -

Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: .

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External system services are services that are provided by an external provider and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

- - - Risk Assessments and Organizational Approvals - - - - SA-9(1) - SA-09(01) - CA-6 - RA-3 - - - (a) -

Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and

- - - (b) -

Verify that the acquisition or outsourcing of dedicated information security services is approved by .

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Information security services include the operation of security devices such as firewalls, or key management services; and incident monitoring, analysis, and response. Risks assessed can include system, mission or business, privacy, or supply chain risks.

- - - - Identification of Functions, Ports, Protocols, and Services - - - - SA-9(2) - SA-09(02) - CM-6 - CM-7 - -

Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: .

- - -

Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.

- - - - Establish and Maintain Trust Relationship with Providers - - - - SA-9(3) - SA-09(03) - SR-2 - -

Establish, document, and maintain trust relationships with external service providers based on the following requirements, properties, factors, or conditions: .

- - -

The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organizations to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered and can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the potentially large number of entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements.

- - - - Consistent Interests of Consumers and Providers - - - - - - - SA-9(4) - SA-09(04) - -

Take the following actions to verify that the interests of are consistent with and reflect organizational interests: .

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As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. Actions that organizations take to address such concerns include requiring background checks for selected service provider personnel; examining ownership records; employing only trustworthy service providers, including providers with which organizations have had successful trust relationships; and conducting routine periodic, unscheduled visits to service provider facilities.

- - - - Processing, Storage, and Service Location - - - - - - - - - - SA-9(5) - SA-09(05) - SA-5 - SR-4 - -

Restrict the location of to based on .

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The location of information processing, information and data storage, or system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria organizations use. For example, organizations may desire that data or information storage locations are restricted to certain locations to help facilitate incident response activities in case of information security or privacy incidents. Incident response activities including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.

- - - - Organization-controlled Cryptographic Keys - SA-9(6) - SA-09(06) - SC-12 - SC-13 - SI-4 - -

Maintain exclusive control of cryptographic keys for encrypted material stored or transmitted through an external system.

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Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. Organizational control of cryptographic keys can be implemented by encrypting and decrypting data inside the organization as data is sent to and received from the external system or by employing a component that permits encryption and decryption functions to be local to the external system, but allows exclusive organizational access to the encryption keys.

- - - - Organization-controlled Integrity Checking - SA-9(7) - SA-09(07) - SI-7 - -

Provide the capability to check the integrity of information while it resides in the external system.

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Storage of organizational information in an external system could limit visibility into the security status of its data. The ability for the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility.

- - - - Processing and Storage Location — U.s. Jurisdiction - SA-9(8) - SA-09(08) - SA-5 - SR-4 - -

Restrict the geographic location of information processing and data storage to facilities located within in the legal jurisdictional boundary of the United States.

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The geographic location of information processing and data storage can have a direct impact on the ability of organizations to successfully execute their core missions and business functions. High impact information and systems, if compromised or breached, can have a severe or catastrophic adverse impact on organizational assets and operations, individuals, other organizations, and the Nation. Restricting the processing and storage of high-impact information to facilities within the legal jurisdictional boundary of the United States provides greater control over such processing and storage.

- - - - - Developer Configuration Management - - - - - - - - - - SA-10 - SA-10 - [FIPS 140-3] - [FIPS 180-4] - [FIPS 202] - [SP 800-128] - [SP 800-160 v1] - CM-2 - CM-3 - CM-4 - CM-7 - CM-9 - SA-4 - SA-5 - SA-8 - SA-15 - SI-2 - SR-3 - SR-4 - SR-5 - SR-6 - -

Require the developer of the system, system component, or system service to:

- - a. -

Perform configuration management during system, component, or service ;

- - - b. -

Document, manage, and control the integrity of changes to ;

- - - c. -

Implement only organization-approved changes to the system, component, or service;

- - - d. -

Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and

- - - e. -

Track security flaws and flaw resolution within the system, component, or service and report findings to .

- - - -

Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting from unauthorized modification or destruction, the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes. -The configuration items that are placed under configuration management include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle.

- - - Software and Firmware Integrity Verification - SA-10(1) - SA-10(01) - SI-7 - SR-11 - -

Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components.

- - -

Software and firmware integrity verification allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. The integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.

- - - - Alternative Configuration Management - SA-10(2) - SA-10(02) - -

Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.

- - -

Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel that review and approve proposed changes to systems, system components, and system services; and that conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services.

- - - - Hardware Integrity Verification - SA-10(3) - SA-10(03) - SI-7 - -

Require the developer of the system, system component, or system service to enable integrity verification of hardware components.

- - -

Hardware integrity verification allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include hardware and firmware updates to such components.

- - - - Trusted Generation - SA-10(4) - SA-10(04) - -

Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions.

- - -

Trusted generation of descriptions, source code, and object code addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, or mechanisms provided by developers.

- - - - Mapping Integrity for Version Control - SA-10(5) - SA-10(05) - -

Require the developer of the system, system component, or system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

- - -

Mapping integrity for version control addresses changes to hardware, software, and firmware components during initial development and during system development life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies in operational environments is essential to ensure the availability of organizational systems supporting critical missions and business functions.

- - - - Trusted Distribution - SA-10(6) - SA-10(06) - -

Require the developer of the system, system component, or system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

- - -

The trusted distribution of security-relevant hardware, software, and firmware updates help to ensure that the updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution.

- - - - - Developer Testing and Evaluation - - - - - - - - - - SA-11 - SA-11 - [ISO 15408-3] - [SP 800-30] - [SP 800-53A] - [SP 800-154] - [SP 800-160 v1] - CA-2 - CA-7 - CM-4 - SA-3 - SA-4 - SA-5 - SA-8 - SA-15 - SA-17 - SI-2 - SR-5 - SR-6 - SR-7 - -

Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:

- - a. -

Develop and implement a plan for ongoing security and privacy assessments;

- - - b. -

Perform testing/evaluation at ;

- - - c. -

Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;

- - - d. -

Implement a verifiable flaw remediation process; and

- - - e. -

Correct flaws identified during testing and evaluation.

- - - -

Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes, including upgrading or replacing applications, operating systems, and firmware, may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review; security architecture review; penetration testing; and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches. -Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, the frequency of the ongoing testing and evaluation, and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation.

- - - Static Code Analysis - SA-11(1) - SA-11(01) - -

Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

- - -

Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code and checking for incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and to enforce secure coding practices and Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static code analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis include aggregate defect density for critical defect types; evidence that defects were inspected by developers or security professionals; and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.

- - - - Threat Modeling and Vulnerability Analyses - - - - - - - - - - - - - SA-11(2) - SA-11(02) - -

Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:

- - (a) -

Uses the following contextual information: ;

- - - (b) -

Employs the following tools and methods: ;

- - - (c) -

Conducts the modeling and analyses at the following level of rigor: ; and

- - - (d) -

Produces evidence that meets the following acceptance criteria: .

- - - -

Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and vulnerabilities created because of those changes have been reviewed and mitigated. -Related controls: PM-15, RA-3, RA-5.

- - - - Independent Verification of Assessment Plans and Evidence - - - - SA-11(3) - SA-11(03) - AT-3 - RA-5 - - - (a) -

Require an independent agent satisfying to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and

- - - (b) -

Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such information.

- - - -

Independent agents have the qualifications, including the expertise, skills, training, certifications, and experience to verify the correct implementation of developer security and privacy assessment plans.

- - - - Manual Code Reviews - - - - - - - SA-11(4) - SA-11(04) - -

Require the developer of the system, system component, or system service to perform a manual code review of using the following processes, procedures, and/or techniques: .

- - -

Manual code reviews are usually reserved for the critical software and firmware components of systems. Manual code reviews are effective in identifying weaknesses that require knowledge of the application’s requirements or context which in most cases, are unavailable to automated analytic tools and techniques, for example, static and dynamic analysis. The benefits of manual code review include the ability to verify access control matrices against application controls and review detailed aspects of cryptographic implementations and controls.

- - - - Penetration Testing - - - - - - - SA-11(5) - SA-11(05) - CA-8 - PM-14 - PM-25 - PT-2 - SA-3 - SI-2 - SI-6 - -

Require the developer of the system, system component, or system service to perform penetration testing:

- - (a) -

At the following level of rigor: ; and

- - - (b) -

Under the following constraints: .

- - - -

Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent implemented security and privacy features of information technology products and systems. Useful information for assessors conducting penetration testing includes product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black box testing with analyses performed by skilled professionals simulating adversary actions. The objective of penetration testing is to discover vulnerabilities in systems, system components and services resulting from implementation errors, configuration faults, or other operational weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible. When user session information and other personally identifiable information is captured or recorded during penetration testing, such information is handled appropriately to protect privacy.

- - - - Attack Surface Reviews - SA-11(6) - SA-11(06) - SA-15 - -

Require the developer of the system, system component, or system service to perform attack surface reviews.

- - -

Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. Attack surfaces include any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes deprecation of unsafe functions.

- - - - Verify Scope of Testing and Evaluation - - - - SA-11(7) - SA-11(07) - SA-15 - -

Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of the required controls at the following level of rigor: .

- - -

Verifying that testing and evaluation provides complete coverage of required controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating control coverage at the highest levels of assurance can be provided using formal modeling and analysis techniques, including correlation between control implementation and corresponding test cases.

- - - - Dynamic Code Analysis - SA-11(8) - SA-11(08) - -

Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

- - -

Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to ensure that security functionality performs in the way it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the associated functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).

- - - - Interactive Application Security Testing - SA-11(9) - SA-11(09) - -

Require the developer of the system, system component, or system service to employ interactive application security testing tools to identify flaws and document the results.

- - -

Interactive (also known as instrumentation-based) application security testing is a method of detecting vulnerabilities by observing applications as they run during testing. The use of instrumentation relies on direct measurements of the actual running applications, and uses access to the code, user interaction, libraries, frameworks, backend connections, and configurations to measure control effectiveness directly. When combined with analysis techniques, interactive application security testing can identify a broad range of potential vulnerabilities and confirm control effectiveness. Instrumentation-based testing works in real time and can be used continuously throughout the system development life cycle.

- - - - - Supply Chain Protection - SA-12 - Withdrawn - SA-12 - SR Family - - Acquisition Strategies / Tools / Methods - SA-12(1) - Withdrawn - SA-12(01) - SR-5 - - - Supplier Reviews - SA-12(2) - Withdrawn - SA-12(02) - SR-6 - - - Trusted Shipping and Warehousing - SA-12(3) - Withdrawn - SA-12(03) - SR-3 - - - Diversity of Suppliers - SA-12(4) - Withdrawn - SA-12(04) - SR-3(1) - - - Limitation of Harm - SA-12(5) - Withdrawn - SA-12(05) - SR-3(2) - - - Minimizing Procurement Time - SA-12(6) - Withdrawn - SA-12(06) - SR-5(1) - - - Assessments Prior to Selection / Acceptance / Update - SA-12(7) - Withdrawn - SA-12(07) - SR-5(2) - - - Use of All-source Intelligence - SA-12(8) - Withdrawn - SA-12(08) - RA-3(2) - - - Operations Security - SA-12(9) - Withdrawn - SA-12(09) - SR-7 - - - Validate as Genuine and Not Altered - SA-12(10) - Withdrawn - SA-12(10) - SR-4(3) - - - Penetration Testing / Analysis of Elements, Processes, and Actors - SA-12(11) - Withdrawn - SA-12(11) - SR-6(1) - - - Inter-organizational Agreements - SA-12(12) - Withdrawn - SA-12(12) - SR-8 - - - Critical Information System Components - SA-12(13) - Withdrawn - SA-12(13) - MA-6 - RA-9 - - - Identity and Traceability - SA-12(14) - Withdrawn - SA-12(14) - SR-4(1) - SR-4(2) - - - Processes to Address Weaknesses or Deficiencies - SA-12(15) - Withdrawn - SA-12(15) - SR-3 - - - - Trustworthiness - SA-13 - Withdrawn - SA-13 - SA-8 - - - Criticality Analysis - SA-14 - Withdrawn - SA-14 - RA-9 - - Critical Components with No Viable Alternative Sourcing - SA-14(1) - Withdrawn - SA-14(01) - SA-20 - - - - Development Process, Standards, and Tools - - - - - - - SA-15 - SA-15 - [SP 800-160 v1] - [IR 8179] - MA-6 - SA-3 - SA-4 - SA-8 - SA-10 - SA-11 - SR-3 - SR-4 - SR-5 - SR-6 - SR-9 - - - a. -

Require the developer of the system, system component, or system service to follow a documented development process that:

- - 1. -

Explicitly addresses security and privacy requirements;

- - - 2. -

Identifies the standards and tools used in the development process;

- - - 3. -

Documents the specific tool options and tool configurations used in the development process; and

- - - 4. -

Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and

- - - - b. -

Review the development process, standards, tools, tool options, and tool configurations to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: .

- - - -

Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes.

- - - Quality Metrics - - - - - - - - - - SA-15(1) - SA-15(01) - -

Require the developer of the system, system component, or system service to:

- - (a) -

Define quality metrics at the beginning of the development process; and

- - - (b) -

Provide evidence of meeting the quality metrics .

- - - -

Organizations use quality metrics to establish acceptable levels of system quality. Metrics can include quality gates, which are collections of completion criteria or sufficiency standards representing the satisfactory execution of specific phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.

- - - - Security Tracking Tools - SA-15(2) - SA-15(02) - SA-11 - -

Require the developer of the system, system component, or system service to select and employ security and privacy tracking tools for use during the development process.

- - -

System development teams select and deploy security and privacy tracking tools, including vulnerability or work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with development processes.

- - - - Criticality Analysis - - - - - - - SA-15(3) - SA-15(03) - RA-9 - -

Require the developer of the system, system component, or system service to perform a criticality analysis:

- - (a) -

At the following decision points in the system development life cycle: ; and

- - - (b) -

At the following level of rigor: .

- - - -

Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, and source code and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses.

- - - - Threat Modeling and Vulnerability Analysis - SA-15(4) - Withdrawn - SA-15(04) - SA-11(2) - - - Attack Surface Reduction - - - - SA-15(5) - SA-15(05) - AC-6 - CM-7 - RA-3 - SA-11 - -

Require the developer of the system, system component, or system service to reduce attack surfaces to .

- - -

Attack surface reduction is closely aligned with threat and vulnerability analyses and system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within systems, system components, and system services. Attack surface reduction includes implementing the concept of layered defenses; applying the principles of least privilege and least functionality; applying secure software development practices; deprecating unsafe functions; reducing entry points available to unauthorized users; reducing the amount of code executing; and eliminating application programming interfaces (APIs) that are vulnerable to attacks.

- - - - Continuous Improvement - SA-15(6) - SA-15(06) - -

Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process.

- - -

Developers of systems, system components, and system services consider the effectiveness and efficiency of their current development processes for meeting quality objectives and for addressing the security and privacy capabilities in current threat environments.

- - - - Automated Vulnerability Analysis - - - - - - - - - - SA-15(7) - SA-15(07) - RA-5 - SA-11 - -

Require the developer of the system, system component, or system service to:

- - (a) -

Perform an automated vulnerability analysis using ;

- - - (b) -

Determine the exploitation potential for discovered vulnerabilities;

- - - (c) -

Determine potential risk mitigations for delivered vulnerabilities; and

- - - (d) -

Deliver the outputs of the tools and results of the analysis to .

- - - -

Automated tools can be more effective in analyzing exploitable weaknesses or deficiencies in large and complex systems; prioritizing vulnerabilities by severity; and providing recommendations for risk mitigations.

- - - - Reuse of Threat and Vulnerability Information - SA-15(8) - SA-15(08) - -

Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

- - -

Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources, including the NIST National Vulnerability Database.

- - - - Use of Live Data - SA-15(9) - Withdrawn - SA-15(09) - SA-3(2) - - - Incident Response Plan - SA-15(10) - SA-15(10) - IR-8 - -

Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan.

- - -

The incident response plan provided by developers may be incorporated into organizational incident response plans. Developer incident response information provides information that is not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf products.

- - - - Archive System or Component - SA-15(11) - SA-15(11) - CM-2 - -

Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review.

- - -

Archiving system or system components requires the developer to retain key development artifacts, including hardware specifications, source code, object code, and relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications.

- - - - Minimize Personally Identifiable Information - SA-15(12) - SA-15(12) - PM-25 - -

Require the developer of the system or system component to minimize the use of personally identifiable information in development and test environments.

- - -

Organizations can minimize the risk to an individual’s privacy by using techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information in development and test environments helps reduce the level of privacy risk created by a system.

- - - - - Developer-provided Training - - - - SA-16 - SA-16 - AT-2 - AT-3 - PE-3 - SA-4 - SA-5 - -

Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: .

- - -

Developer-provided training applies to external and internal (in-house) developers. Training of personnel is an essential element to help ensure the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training; classroom-style training; and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms.

- - - - Developer Security Architecture and Design - SA-17 - SA-17 - [ISO 15408-2] - [ISO 15408-3] - [SP 800-160 v1] - PL-2 - PL-8 - PM-7 - SA-3 - SA-4 - SA-8 - -

Require the developer of the system, system component, or system service to produce a design specification and security architecture that:

- - a. -

Is consistent with the organization’s security architecture that is an integral part the organization’s enterprise architecture;

- - - b. -

Accurately and completely describes the required security functionality, and the allocation of controls among physical and logical components; and

- - - c. -

Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

- - - -

Developer security architecture and design is directed at external developers, although it could also be applied to internal (in-house) development. In contrast, PL-8 is directed at internal developers to ensure that organizations develop a security architecture and that the architecture is integrated with the enterprise architecture. The distinction between SA-17 and PL-8 is especially important when organizations outsource the development of systems, system components, or system services, and when there is a requirement to demonstrate consistency with the enterprise architecture and security architecture of the organization. [ISO 15408-2], [ISO 15408-3], and [SP 800-160 v1] provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.

- - - Formal Policy Model - - - - SA-17(1) - SA-17(01) - AC-3 - AC-4 - AC-25 - -

Require the developer of the system, system component, or system service to:

- - (a) -

Produce, as an integral part of the development process, a formal policy model describing the to be enforced; and

- - - (b) -

Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.

- - - -

Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the specific behaviors or policies of interest, for example, nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. Formal modeling tools include Gypsy and Zed.

- - - - Security-relevant Components - SA-17(2) - SA-17(02) - AC-25 - SA-5 - -

Require the developer of the system, system component, or system service to:

- - (a) -

Define security-relevant hardware, software, and firmware; and

- - - (b) -

Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

- - - -

The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that is trusted to perform correctly to maintain required security properties.

- - - - Formal Correspondence - SA-17(3) - SA-17(03) - AC-3 - AC-4 - AC-25 - SA-4 - SA-5 - -

Require the developer of the system, system component, or system service to:

- - (a) -

Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

- - - (b) -

Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;

- - - (c) -

Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

- - - (d) -

Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

- - - (e) -

Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

- - - -

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details that are present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal system description, and that the formal system description is correctly implemented by a description of some lower level, including a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to demonstrate such consistency. Consistency between the formal top-level specification and the actual implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms internal to security-relevant components include mapping registers and direct memory input and output.

- - - - Informal Correspondence - - - - SA-17(4) - SA-17(04) - AC-3 - AC-4 - AC-25 - SA-4 - SA-5 - -

Require the developer of the system, system component, or system service to:

- - (a) -

Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

- - - (b) -

Show via that the descriptive top-level specification is consistent with the formal policy model;

- - - (c) -

Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

- - - (d) -

Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and

- - - (e) -

Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

- - - -

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal and informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include mapping registers and direct memory input and output.

- - - - Conceptually Simple Design - SA-17(5) - SA-17(05) - AC-25 - SA-8 - SC-3 - -

Require the developer of the system, system component, or system service to:

- - (a) -

Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and

- - - (b) -

Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

- - - -

The principle of reduced complexity states that the system design is as simple and small as possible (see SA-8(7)). A small and simple design is easier to understand and analyze, and is also less prone to error (see AC-25, SA-8(13)). The principle of reduced complexity applies to any aspect of a system, but it has particular importance for security due to the various analyses performed to obtain evidence about the emergent security property of the system. For such analyses to be successful, a small and simple design is essential. Application of the principle of reduced complexity contributes to the ability of system developers to understand the correctness and completeness of system security functions and facilitates the identification of potential vulnerabilities. The corollary of reduced complexity states that the simplicity of the system is directly related to the number of vulnerabilities it will contain—that is, simpler systems contain fewer vulnerabilities. An important benefit of reduced complexity is that it is easier to understand whether the security policy has been captured in the system design, and that fewer vulnerabilities are likely to be introduced during engineering development. An additional benefit is that any such conclusion about correctness, completeness, and existence of vulnerabilities can be reached with a higher degree of assurance in contrast to conclusions reached in situations where the system design is inherently more complex.

- - - - Structure for Testing - SA-17(6) - SA-17(06) - SA-5 - SA-11 - -

Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate testing.

- - -

Applying the security design principles in [SP 800-160 v1] promotes complete, consistent, and comprehensive testing and evaluation of systems, system components, and services. The thoroughness of such testing contributes to the evidence produced to generate an effective assurance case or argument as to the trustworthiness of the system, system component, or service.

- - - - Structure for Least Privilege - SA-17(7) - SA-17(07) - AC-5 - AC-6 - SA-8 - -

Require the developer of the system, system component, or system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.

- - -

The principle of least privilege states that each component is allocated sufficient privileges to accomplish its specified functions, but no more (see SA-8(14)). Applying the principle of least privilege limits the scope of the component’s actions, which has two desirable effects. First, the security impact of a failure, corruption, or misuse of the system component results in a minimized security impact. Second, the security analysis of the component is simplified. Least privilege is a pervasive principle that is reflected in all aspects of the secure system design. Interfaces used to invoke component capability are available to only certain subsets of the user population, and component design supports a sufficiently fine granularity of privilege decomposition. For example, in the case of an audit mechanism, there may be an interface for the audit manager, who configures the audit settings; an interface for the audit operator, who ensures that audit data is safely collected and stored; and, finally, yet another interface for the audit reviewer, who has need only to view the audit data that has been collected but no need to perform operations on that data. -In addition to its manifestations at the system interface, least privilege can be used as a guiding principle for the internal structure of the system itself. One aspect of internal least privilege is to construct modules so that only the elements encapsulated by the module are directly operated upon by the functions within the module. Elements external to a module that may be affected by the module’s operation are indirectly accessed through interaction (e.g., via a function call) with the module that contains those elements. Another aspect of internal least privilege is that the scope of a given module or component includes only those system elements that are necessary for its functionality, and that the access modes to the elements (e.g., read, write) are minimal.

- - - - Orchestration - - - - - - - SA-17(8) - SA-17(08) - -

Design with coordinated behavior to implement the following capabilities: .

- - -

Security resources that are distributed, located at different layers or in different system elements, or are implemented to support different aspects of trustworthiness can interact in unforeseen or incorrect ways. Adverse consequences can include cascading failures, interference, or coverage gaps. Coordination of the behavior of security resources (e.g., by ensuring that one patch is installed across all resources before making a configuration change that assumes that the patch is propagated) can avert such negative interactions.

- - - - Design Diversity - - - - SA-17(9) - SA-17(09) - -

Use different designs for to satisfy a common set of requirements or to provide equivalent functionality.

- - -

Design diversity is achieved by supplying the same requirements specification to multiple developers, each of which is responsible for developing a variant of the system or system component that meets the requirements. Variants can be in software design, in hardware design, or in both hardware and a software design. Differences in the designs of the variants can result from developer experience (e.g., prior use of a design pattern), design style (e.g., when decomposing a required function into smaller tasks, determining what constitutes a separate task, and determining how far to decompose tasks into sub-tasks), selection of libraries to incorporate into the variant, and the development environment (e.g., different design tools make some design patterns easier to visualize). Hardware design diversity includes making different decisions about what information to keep in analog form and what to convert to digital form; transmitting the same information at different times; and introducing delays in sampling (temporal diversity). Design diversity is commonly used to support fault tolerance.

- - - - - Tamper Resistance and Detection - SA-18 - Withdrawn - SA-18 - SR-9 - - Multiple Phases of System Development Life Cycle - SA-18(1) - Withdrawn - SA-18(01) - SR-9(1) - - - Inspection of Systems or Components - SA-18(2) - Withdrawn - SA-18(02) - SR-10 - - - - Component Authenticity - SA-19 - Withdrawn - SA-19 - SR-11 - - Anti-counterfeit Training - SA-19(1) - Withdrawn - SA-19(01) - SR-11(1) - - - Configuration Control for Component Service and Repair - SA-19(2) - Withdrawn - SA-19(02) - SR-11(2) - - - Component Disposal - SA-19(3) - Withdrawn - SA-19(03) - SR-11(3) - - - Anti-counterfeit Scanning - SA-19(4) - Withdrawn - SA-19(04) - SR-11(4) - - - - Customized Development of Critical Components - - - - SA-20 - SA-20 - [SP 800-160 v1] - CP-2 - RA-9 - SA-8 - -

Re-implement or custom develop the following critical system components: .

- - -

Organizations determine that certain system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components may satisfy requirements for higher assurance and is carried out by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical system components, additional controls can be employed. Controls include enhanced auditing; restrictions on source code and system utility access; and protection from deletion of system and application files.

- - - - Developer Screening - - - - - - - - - - SA-21 - SA-21 - PS-2 - PS-3 - PS-6 - PS-7 - SA-4 - -

Require that the developer of :

- - a. -

Has appropriate access authorizations as determined by assigned ;

- - - b. -

Satisfies the following additional personnel screening criteria: ; and

- - - c. -

Provides information that the access authorizations and screening criteria are satisfied.

- - - -

Developer screening is directed at external developers. Internal developer screening is addressed by PS-3. Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals accessing the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships the company has with entities potentially affecting the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.

- - - Validation of Screening - SA-21(1) - Withdrawn - SA-21(01) - SA-21 - - - - Unsupported System Components - - - - - - - SA-22 - SA-22 - PL-2 - SA-3 - - - a. -

Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or

- - - b. -

Provide the following options for alternative sources for continued support for unsupported components .

- - - -

Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components, for example, when vendors no longer provide critical software patches or product updates, provide an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option. -Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business operations. If necessary, organizations can establish in-house support by developing customized patches for critical software components or alternatively, obtain the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include Open Source Software value-added vendors.

- - - Alternative Sources for Continued Support - SA-22(1) - Withdrawn - SA-22(01) - SA-22 - - - - Specialization - - - - - - - SA-23 - SA-23 - [SP 800-160 v1] - [SP 800-160 v2] - RA-9 - SA-8 - -

Employ on supporting mission essential services or functions to increase the trustworthiness in those systems or components.

- - -

It is often necessary for a system or system component that supports mission essential services or functions to be enhanced to maximize the trustworthiness of the resource. Sometimes this enhancement is done at the design level. In other instances, it is done post-design, either through modifications of the system in question or by augmenting the system with additional components. For example, supplemental authentication or non-repudiation functions may be added to the system to enhance the identity of critical resources to other resources that depend upon the organization-defined resources.

- - - - - System and Communications Protection - - Policy and Procedures - - - - - - - - - - - - - - - - SC-1 - SC-01 - [OMB A-130] - [SP 800-12] - [SP 800-100] - PM-9 - PS-8 - SA-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- system and communications protection policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and

- - - c. -

Review and update the current system and communications protection:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the SC family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Separation of System and User Functionality - SC-2 - SC-02 - AC-6 - SA-4 - SA-8 - SC-3 - SC-7 - SC-22 - SC-32 - SC-39 - -

Separate user functionality, including user interface services, from system management functionality.

- - -

System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations implement separation of system management functions from user functions, for example, by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14), and SA-8(18).

- - - Interfaces for Non-privileged Users - SC-2(1) - SC-02(01) - AC-3 - -

Prevent the presentation of system management functionality at interfaces to non-privileged users.

- - -

Preventing the presentation of system management functionality at interfaces to non-privileged users ensures that system administration options, including administrator privileges, are not available to the general user population. Restricting user access also prohibits the use of the grey-out option commonly used to eliminate accessibility to such information. One potential solution is to withhold system administration options until users establish sessions with administrator privileges.

- - - - Disassociability - SC-2(2) - SC-02(02) - -

Store state information from applications and software separately.

- - -

If a system is compromised, storing applications and software separately from state information about users’ interactions with an application, may better protect individuals’ privacy.

- - - - - Security Function Isolation - SC-3 - SC-03 - AC-3 - AC-6 - AC-25 - CM-2 - CM-4 - SA-4 - SA-5 - SA-8 - SA-15 - SA-17 - SC-2 - SC-7 - SC-32 - SC-39 - SI-16 - -

Isolate security functions from nonsecurity functions.

- - -

Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Systems implement code separation in many ways, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in SA-8 including SA-8(1), SA-8(3), SA-8(4), SA-8(10), SA-8(12), SA-8(13), SA-8(14), and SA-8(18).

- - - Hardware Separation - SC-3(1) - SC-03(01) - -

Employ hardware separation mechanisms to implement security function isolation.

- - -

Hardware separation mechanisms include hardware ring architectures that are implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).

- - - - Access and Flow Control Functions - SC-3(2) - SC-03(02) - -

Isolate security functions enforcing access and information flow control from nonsecurity functions and from other security functions.

- - -

Security function isolation occurs because of implementation. The functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include auditing, intrusion detection, and malicious code protection functions.

- - - - Minimize Nonsecurity Functionality - SC-3(3) - SC-03(03) - -

Minimize the number of nonsecurity functions included within the isolation boundary containing security functions.

- - -

Where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or malicious code in the software, can directly impact the security functions of systems. The fundamental design objective is that the specific portions of systems providing information security are of minimal size and complexity. Minimizing the number of nonsecurity functions in the security-relevant system components allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing the nonsecurity functions within the isolation boundaries, the amount of code that is trusted to enforce security policies is significantly reduced, thus contributing to understandability.

- - - - Module Coupling and Cohesiveness - SC-3(4) - SC-03(04) - -

Implement security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.

- - -

The reduction in inter-module interactions helps to constrain security functions and manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between functions within a module. Best practices in software engineering and systems security engineering rely on layering, minimization, and modular decomposition to reduce and manage complexity. This produces software modules that are highly cohesive and loosely coupled.

- - - - Layered Structures - SC-3(5) - SC-03(05) - -

Implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.

- - -

The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.

- - - - - Information in Shared System Resources - SC-4 - SC-04 - AC-3 - AC-4 - SA-8 - -

Prevent unauthorized and unintended information transfer via shared system resources.

- - -

Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. This control also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. This control does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles.

- - - Security Levels - SC-4(1) - Withdrawn - SC-04(01) - SC-4 - - - Multilevel or Periods Processing - - - - SC-4(2) - SC-04(02) - -

Prevent unauthorized information transfer via shared resources in accordance with when system processing explicitly switches between different information classification levels or security categories.

- - -

Changes in processing levels during system operations can occur, for example, during multilevel or periods processing with information at different classification levels or security categories. It can also occur during serial reuse of hardware components at different classification levels. Organization-defined procedures can include the approved sanitization processes for electronically stored information.

- - - - - Denial of Service Protection - - - - - - - - - - SC-5 - SC-05 - [SP 800-189] - CP-2 - IR-4 - SC-6 - SC-7 - SC-40 - - - a. -

- the effects of the following types of denial of service events: ; and

- - - b. -

Employ the following controls to achieve the denial of service objective: .

- - - -

Denial of service events may occur due to a variety of internal and external causes such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a variety of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial of service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by, or the source of, denial of service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial of service events.

- - - Restrict Ability to Attack Other Systems - - - - SC-5(1) - SC-05(01) - -

Restrict the ability of individuals to launch the following denial-of-service attacks against other systems: .

- - -

Restricting the ability of individuals to launch denial of service attacks requires the mechanisms commonly used for such attacks are unavailable. Individuals of concern include hostile insiders or external adversaries that have breached or compromised the system and are using the system to launch a denial of service attack. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., wired networks, wireless networks, spoofed Internet protocol packets). Organizations can also limit the ability of individuals to use excessive system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific systems or on boundary devices prohibiting egress to potential target systems.

- - - - Capacity, Bandwidth, and Redundancy - SC-5(2) - SC-05(02) - -

Manage capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.

- - -

Managing capacity ensures that sufficient capacity is available to counter flooding attacks. Managing capacity includes establishing selected usage priorities, quotas, partitioning, or load balancing.

- - - - Detection and Monitoring - - - - - - - SC-5(3) - SC-05(03) - CA-7 - SI-4 - - - (a) -

Employ the following monitoring tools to detect indicators of denial of service attacks against, or launched from, the system: ; and

- - - (b) -

Monitor the following system resources to determine if sufficient resources exist to prevent effective denial of service attacks: .

- - - -

Organizations consider utilization and capacity of system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. System resources sensitive to denial of service include physical disk storage, memory, and CPU cycles. Controls used to prevent denial of service attacks related to storage utilization and capacity include instituting disk quotas; configuring systems to automatically alert administrators when specific storage capacity thresholds are reached; using file compression technologies to maximize available storage space; and imposing separate partitions for system and user data.

- - - - - Resource Availability - - - - - - - - - - SC-6 - SC-06 - [OMB M-08-05] - [DHS TIC] - SC-5 - -

Protect the availability of resources by allocating by .

- - -

Priority protection prevents lower-priority processes from delaying or interfering with the system servicing higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to system components for which there are only single users or roles.

- - - - Boundary Protection - - - - SC-7 - SC-07 - [OMB A-130] - [FIPS 199] - [SP 800-37] - [SP 800-41] - [SP 800-77] - [SP 800-189] - AC-4 - AC-17 - AC-18 - AC-19 - AC-20 - AU-13 - CA-3 - CM-2 - CM-4 - CM-7 - CM-10 - CP-8 - CP-10 - IR-4 - MA-4 - PE-3 - PM-12 - SA-8 - SC-5 - SC-32 - SC-43 - - - a. -

Monitor and control communications at the external interfaces to the system and at key internal interfaces within the system;

- - - b. -

Implement subnetworks for publicly accessible system components that are separated from internal organizational networks; and

- - - c. -

Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.

- - - -

Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions.

- - - Physically Separated Subnetworks - SC-7(1) - Withdrawn - SC-07(01) - SC-7 - - - Public Access - SC-7(2) - Withdrawn - SC-07(02) - SC-7 - - - Access Points - SC-7(3) - SC-07(03) - -

Limit the number of external network connections to the system.

- - -

Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection [DHS TIC] initiative is an example of a federal guideline requiring limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system.

- - - - External Telecommunications Services - - - - SC-7(4) - SC-07(04) - AC-3 - SC-8 - - - (a) -

Implement a managed interface for each external telecommunication service;

- - - (b) -

Establish a traffic flow policy for each managed interface;

- - - (c) -

Protect the confidentiality and integrity of the information being transmitted across each interface;

- - - (d) -

Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;

- - - (e) -

Review exceptions to the traffic flow policy and remove exceptions that are no longer supported by an explicit mission or business need;

- - - (f) -

Prevent unauthorized exchange of control plane traffic with external networks;

- - - (g) -

Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and

- - - (h) -

Filter unauthorized control plane traffic from external networks.

- - - -

External commercial telecommunications services may provide data or voice communications services. Examples of control plane traffic include routing, domain name system (DNS), and management. Unauthorized control plane traffic can occur for example, through a technique known as “spoofing.”

- - - - Deny by Default — Allow by Exception - - - - - - - SC-7(5) - SC-07(05) - -

Deny network communications traffic by default and allow network communications traffic by exception .

- - -

Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system.

- - - - Response to Recognized Failures - SC-7(6) - Withdrawn - SC-07(06) - SC-7(18) - - - Prevent Split Tunneling for Remote Devices - SC-7(7) - SC-07(07) - -

Prevent a remote device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.

- - -

Prevention of split tunneling is implemented in remote devices through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being configurable by users. Prevention of split tunneling is implemented within the system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local system resources such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information.

- - - - Route Traffic to Authenticated Proxy Servers - - - - - - - SC-7(8) - SC-07(08) - AC-3 - -

Route to through authenticated proxy servers at managed interfaces.

- - -

External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers can support logging of Transmission Control Protocol sessions and blocking specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for “man-in-the-middle” attacks (depending on the implementation).

- - - - Restrict Threatening Outgoing Communications Traffic - SC-7(9) - SC-07(09) - AU-2 - AU-6 - SC-5 - SC-38 - SC-44 - SI-3 - SI-4 - - - (a) -

Detect and deny outgoing communications traffic posing a threat to external systems; and

- - - (b) -

Audit the identity of internal users associated with denied communications.

- - - -

Detecting outgoing communications traffic from internal actions that may pose threats to external systems is known as extrusion detection. Extrusion detection is carried out at system boundaries as part of managed interfaces. Extrusion detection includes the analysis of incoming and outgoing communications traffic while searching for indications of internal threats to the security of external systems. Internal threats to external systems include traffic indicative of denial of service attacks, traffic with spoofed source addresses, and traffic containing malicious code.

- - - - Prevent Exfiltration - - - - SC-7(10) - SC-07(10) - AC-2 - SI-3 - - - (a) -

Prevent the exfiltration of information; and

- - - (b) -

Conduct exfiltration tests .

- - - -

This control applies to intentional and unintentional exfiltration of information. Controls to prevent exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats; monitoring for beaconing activity from systems; disconnecting external network interfaces except when explicitly needed; employing traffic profile analysis to detect deviations from the volume and types of traffic expected or call backs to command and control centers; monitoring for steganography; disassembling and reassembling packet headers; and employing data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and XML gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. Prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards enforcing information flow requirements.

- - - - Restrict Incoming Communications Traffic - - - - - - - SC-7(11) - SC-07(11) - AC-3 - -

Only allow incoming communications from to be routed to .

- - -

General source address validation techniques should be applied to restrict the use of illegal and unallocated source addresses and source addresses that should only be used inside the system boundary. Restriction of incoming communications traffic provides determinations that source and destination address pairs represent authorized or allowed communications. Determinations can be based on several factors, including the presence of such address pairs in the lists of authorized or allowed communications; the absence of such address pairs in lists of unauthorized or disallowed pairs; or meeting more general rules for authorized or allowed source and destination pairs. Strong authentication of network addresses is not possible without the use of explicit security protocols and thus, addresses can often be spoofed. Further, identity-based incoming traffic restriction methods can be employed, including router access control lists and firewall rules.

- - - - Host-based Protection - - - - - - - SC-7(12) - SC-07(12) - -

Implement at .

- - -

Host-based boundary protection mechanisms include host-based firewalls. System components employing host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices.

- - - - Isolation of Security Tools, Mechanisms, and Support Components - - - - SC-7(13) - SC-07(13) - SC-2 - SC-3 - -

Isolate from other internal system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

- - -

Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques employed by organizations.

- - - - Protect Against Unauthorized Physical Connections - - - - SC-7(14) - SC-07(14) - PE-4 - PE-19 - -

Protect against unauthorized physical connections at .

- - -

Systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within the same facilities. In practice, it is possible that these separate systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by using clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.

- - - - Networked Privileged Accesses - SC-7(15) - SC-07(15) - AC-2 - AC-3 - AU-2 - SI-4 - -

Route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

- - -

Privileged access provides greater accessibility to system functions, including security functions. Adversaries typically attempt to gain privileged access to systems through remote access to cause adverse mission or business impact, for example, by exfiltrating sensitive information or bringing down a critical system capability. Routing networked, privileged access requests through a dedicated, managed interface can facilitate strong access controls (including strong authentication) and a comprehensive auditing capability.

- - - - Prevent Discovery of Components and Devices - SC-7(16) - SC-07(16) - -

Prevent the discovery of specific system components that represent a managed interface.

- - -

This control enhancement protects network addresses of system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery, requiring prior knowledge for access. Preventing discovery of components and devices can be accomplished by not publishing network addresses, using network address translation, or not entering the addresses in domain name systems. Another prevention technique is to periodically change network addresses.

- - - - Automated Enforcement of Protocol Formats - SC-7(17) - SC-07(17) - SC-4 - -

Enforce adherence to protocol formats.

- - -

System components that enforce protocol formats include deep packet inspection firewalls and XML gateways. The components verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices operating at the network or transport layers.

- - - - Fail Secure - SC-7(18) - SC-07(18) - CP-2 - CP-12 - SC-24 - -

Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device.

- - -

Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.

- - - - Block Communication from Non-organizationally Configured Hosts - - - - SC-7(19) - SC-07(19) - -

Block inbound and outbound communications traffic between that are independently configured by end users and external service providers.

- - -

Communication clients independently configured by end users and external service providers include instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.

- - - - Dynamic Isolation and Segregation - - - - SC-7(20) - SC-07(20) - -

Provide the capability to dynamically isolate from other system components.

- - -

The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur.

- - - - Isolation of System Components - - - - - - - SC-7(21) - SC-07(21) - CA-9 - SC-3 - -

Employ boundary protection mechanisms to isolate supporting .

- - -

Organizations can isolate system components performing different missions or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls separating system components into physically separate networks or subnetworks; virtualization techniques; cross-domain devices separating subnetworks; and encrypting information flows among system components using distinct encryption keys.

- - - - Separate Subnets for Connecting to Different Security Domains - SC-7(22) - SC-07(22) - -

Implement separate network addresses to connect to systems in different security domains.

- - -

The decomposition of systems into subnetworks (i.e., subnets) helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.

- - - - Disable Sender Feedback on Protocol Validation Failure - SC-7(23) - SC-07(23) - -

Disable feedback to senders on protocol format validation failure.

- - -

Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information that would otherwise be unavailable.

- - - - Personally Identifiable Information - - - - SC-7(24) - SC-07(24) - PT-2 - SI-15 - -

For systems that process personally identifiable information:

- - (a) -

Apply the following processing rules to data elements of personally identifiable information: ;

- - - (b) -

Monitor for permitted processing at the external interfaces to the system and at key internal boundaries within the system;

- - - (c) -

Document each processing exception; and

- - - (d) -

Review and remove exceptions that are no longer supported.

- - - -

Managing the processing of personally identifiable information is an important aspect of protecting an individual’s privacy. Applying, monitoring for and documenting exceptions to processing rules ensures that personally identifiable information is processed only in accordance with established privacy requirements.

- - - - Unclassified National Security System Connections - - - - - - - SC-7(25) - SC-07(25) - -

Prohibit the direct connection of to an external network without the use of .

- - -

A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between unclassified national security systems and external networks.

- - - - Classified National Security System Connections - - - - SC-7(26) - SC-07(26) - -

Prohibit the direct connection of a classified, national security system to an external network without the use of .

- - -

A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface or cross-domain systems) provide information flow enforcement from systems to external networks.

- - - - Unclassified Non-national Security System Connections - - - - - - - SC-7(27) - SC-07(27) - -

Prohibit the direct connection of to an external network without the use of .

- - -

A direct connection is a dedicated physical or virtual connection between two or more systems. Organizations typically do not have complete control over external networks, including the Internet. Boundary protection devices, including firewalls, gateways, and routers mediate communications and information flows between unclassified non-national security systems and external networks.

- - - - Connections to Public Networks - - - - SC-7(28) - SC-07(28) - -

Prohibit the direct connection of to a public network.

- - -

A direct connection is a dedicated physical or virtual connection between two or more systems. A public network is a network accessible to the public, including the Internet and organizational extranets with public access.

- - - - Separate Subnets to Isolate Functions - - - - - - - SC-7(29) - SC-07(29) - -

Implement separate subnetworks to isolate the following critical system components and functions: .

- - -

Separating critical system components and functions from other noncritical system components and functions through separate subnetworks may be necessary to reduce the susceptibility to a catastrophic or debilitating breach or compromise resulting in system failure. For example, physically separating the command and control function from the entertainment function through separate subnetworks in a commercial aircraft provides an increased level of assurance in the trustworthiness of critical system functions.

- - - - - Transmission Confidentiality and Integrity - - - - SC-8 - SC-08 - [FIPS 140-3] - [FIPS 197] - [SP 800-52] - [SP 800-77] - [SP 800-81-2] - [SP 800-113] - [SP 800-177] - [IR 8023] - AC-17 - AC-18 - AU-10 - IA-3 - IA-8 - IA-9 - MA-4 - PE-4 - SA-4 - SA-8 - SC-7 - SC-16 - SC-20 - SC-23 - SC-28 - -

Protect the of transmitted information.

- - -

Protecting the confidentiality and integrity of transmitted information applies to internal and external networks, and any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical means or by logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a term for wireline or fiber-optics telecommunication system that includes terminals and adequate acoustical, electrical, electromagnetic, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques. -Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services, may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunication service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls.

- - - Cryptographic Protection - - - - SC-8(1) - SC-08(01) - SC-13 - -

Implement cryptographic mechanisms to during transmission.

- - -

Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have application in digital signatures, checksums, and message authentication codes. SC-13 is used to specify the specific protocols, algorithms, and algorithm parameters to be implemented on each transmission path.

- - - - Pre- and Post-transmission Handling - - - - SC-8(2) - SC-08(02) - -

Maintain the of information during preparation for transmission and during reception.

- - -

Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception, including during aggregation, at protocol transformation points, and during packing and unpacking. Such unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.

- - - - Cryptographic Protection for Message Externals - - - - SC-8(3) - SC-08(03) - SC-12 - SC-13 - -

Implement cryptographic mechanisms to protect message externals unless otherwise protected by .

- - -

Cryptographic protection for message externals addresses protection from unauthorized disclosure of information. Message externals include message headers and routing information. Cryptographic protection prevents the exploitation of message externals and applies to internal and external networks or links that may be visible to individuals who are not authorized users. Header and routing information is sometimes transmitted in clear text (i.e., unencrypted) because the information is not identified by organizations as having significant value or because encrypting the information can result in lower network performance or higher costs. Alternative physical controls include protected distribution systems.

- - - - Conceal or Randomize Communications - - - - SC-8(4) - SC-08(04) - SC-12 - SC-13 - -

Implement cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by .

- - -

Concealing or randomizing communication patterns addresses protection from unauthorized disclosure of information. Communication patterns include frequency, periods, predictability, and amount. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to the missions and business functions of the organization. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed or random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical controls include protected distribution systems.

- - - - Protected Distribution System - - - - - - - SC-8(5) - SC-08(05) - -

Implement to during transmission.

- - -

The purpose of a protected distribution system is to deter, detect and/or make difficult physical access to the communication lines carrying national security information.

- - - - - Transmission Confidentiality - SC-9 - Withdrawn - SC-09 - SC-8 - - - Network Disconnect - - - - SC-10 - SC-10 - AC-17 - SC-23 - -

Terminate the network connection associated with a communications session at the end of the session or after of inactivity.

- - -

Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time-periods by type of network access or for specific network accesses.

- - - - Trusted Path - - - - - - - SC-11 - SC-11 - [OMB A-130] - AC-16 - AC-25 - SC-12 - SC-23 - - - a. -

Provide a isolated trusted communications path for communications between the user and the trusted components of the system; and

- - - b. -

Permit users to invoke the trusted communications path for communications between the user and the following security functions of the system, including at a minimum, authentication and re-authentication: .

- - - -

Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of systems with the requisite assurance to support security policies. These mechanisms can be activated only by users or the security functions of organizational systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for trustworthy, high-assurance connections between security functions of systems and users, including during system logons. The original implementations of trusted path employed an out-of-band signal to initiate the path, for example using the <BREAK> key, which does not transmit characters that can be spoofed. In later implementations, a key combination that could not be hijacked was used, for example, the <CTRL> + <ALT> + <DEL> keys. Note, however, that any such key combinations are platform-specific and may not provide a trusted path implementation in every case. Enforcement of trusted communications paths is typically provided by a specific implementation that meets the reference monitor concept.

- - - Irrefutable Communications Path - - - - SC-11(1) - SC-11(01) - - - (a) -

Provide a trusted communications path that is irrefutably distinguishable from other communications paths; and

- - - (b) -

Initiate the trusted communications path for communications between the of the system and the user.

- - - -

An irrefutable communications path permits the system to initiate a trusted path which necessitates that the user can unmistakably recognize the source of the communication as a trusted system component. For example, the trusted path may appear in an area of the display that other applications cannot access or be based on the presence of an identifier that cannot be spoofed.

- - - - - Cryptographic Key Establishment and Management - - - - SC-12 - SC-12 - [FIPS 140-3] - [SP 800-56A] - [SP 800-56B] - [SP 800-56C] - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - [SP 800-63-3] - [IR 7956] - [IR 7966] - AC-17 - AU-9 - AU-10 - CM-3 - IA-3 - IA-7 - SA-4 - SA-8 - SA-9 - SC-8 - SC-11 - SC-13 - SC-17 - SC-20 - SC-37 - SC-40 - SI-3 - SI-7 - -

Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: .

- - -

Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines, specifying appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. [NIST CMVP] and [NIST CAVP] provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment.

- - - Availability - SC-12(1) - SC-12(01) - -

Maintain availability of information in the event of the loss of cryptographic keys by users.

- - -

Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys. A forgotten passphrase is an example of losing a cryptographic key.

- - - - Symmetric Keys - - - - SC-12(2) - SC-12(02) - -

Produce, control, and distribute symmetric cryptographic keys using key management technology and processes.

- - -

[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide guidance on cryptographic key management.

- - - - Asymmetric Keys - - - - SC-12(3) - SC-12(03) - -

Produce, control, and distribute asymmetric cryptographic keys using .

- - -

[SP 800-56A], [SP 800-56B], and [SP 800-56C] provide guidance on cryptographic key establishment schemes and key derivation methods. [SP 800-57-1], [SP 800-57-2], and [SP 800-57-3] provide guidance on cryptographic key management.

- - - - PKI Certificates - SC-12(4) - Withdrawn - SC-12(04) - SC-12(3) - - - PKI Certificates / Hardware Tokens - SC-12(5) - Withdrawn - SC-12(05) - SC-12(3) - - - Physical Control of Keys - SC-12(6) - SC-12(06) - -

Maintain physical control of cryptographic keys when stored information is encrypted by external service providers.

- - -

For organizations using external service providers, for example, cloud service providers or data center providers, physical control of cryptographic keys provides additional assurance that information stored by such external providers is not subject to unauthorized disclosure or modification.

- - - - - Cryptographic Protection - - - - - - - SC-13 - SC-13 - [FIPS 140-3] - AC-2 - AC-3 - AC-7 - AC-17 - AC-18 - AC-19 - AU-9 - AU-10 - CM-11 - CP-9 - IA-3 - IA-7 - MA-4 - MP-2 - MP-4 - MP-5 - SA-4 - SA-8 - SA-9 - SC-8 - SC-12 - SC-20 - SC-23 - SC-28 - SC-40 - SI-3 - SI-7 - - - a. -

Determine the ; and

- - - b. -

Implement the following types of cryptography required for each specified cryptographic use: .

- - - -

Cryptography can be employed to support a variety of security solutions including, the protection of classified information and controlled unclassified information; the provision and implementation of digital signatures; and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - Fips-validated Cryptography - SC-13(1) - Withdrawn - SC-13(01) - SC-13 - - - Nsa-approved Cryptography - SC-13(2) - Withdrawn - SC-13(02) - SC-13 - - - Individuals Without Formal Access Approvals - SC-13(3) - Withdrawn - SC-13(03) - SC-13 - - - Digital Signatures - SC-13(4) - Withdrawn - SC-13(04) - SC-13 - - - - Public Access Protections - SC-14 - Withdrawn - SC-14 - AC-2 - AC-3 - AC-5 - AC-6 - SI-3 - SI-4 - SI-5 - SI-7 - SI-10 - - - Collaborative Computing Devices and Applications - - - - SC-15 - SC-15 - AC-21 - SC-42 - - - a. -

Prohibit remote activation of collaborative computing devices and applications with the following exceptions: ; and

- - - b. -

Provide an explicit indication of use to users physically present at the devices.

- - - -

Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. Explicit indication of use includes signals to users when collaborative computing devices and applications are activated.

- - - Physical or Logical Disconnect - - - - SC-15(1) - SC-15(01) - -

Provide disconnect of collaborative computing devices in a manner that supports ease of use.

- - -

Failing to disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to disconnect from such devices after a collaborative computing session ensures that participants carry out the disconnect activity without having to go through complex and tedious procedures.

- - - - Blocking Inbound and Outbound Communications Traffic - SC-15(2) - Withdrawn - SC-15(02) - SC-7 - - - Disabling and Removal in Secure Work Areas - - - - - - - SC-15(3) - SC-15(03) - -

Disable or remove collaborative computing devices and applications from in .

- - -

Failing to disable or remove collaborative computing devices and applications from systems or system components can result in compromises of information, including eavesdropping on conversations. A secure work area includes a sensitive compartmented information facility (SCIF).

- - - - Explicitly Indicate Current Participants - - - - SC-15(4) - SC-15(04) - -

Provide an explicit indication of current participants in .

- - -

Explicitly indicating current participants prevents unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.

- - - - - Transmission of Security and Privacy Attributes - - - - SC-16 - SC-16 - [OMB A-130] - AC-3 - AC-4 - AC-16 - -

Associate with information exchanged between systems and between system components.

- - -

Security and privacy attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components. Attributes are an abstraction representing the basic properties or characteristics of an entity with respect to protecting information or the management of personally identifiable information. Attributes are typically associated with internal data structures, including records, buffers, and files within the system. Security and privacy attributes are used to implement access control and information flow control policies; reflect special dissemination, management, or distribution instructions, including permitted uses of personally identifiable information; or support other aspects of the information security and privacy policies. Privacy attributes may be used independently, or in conjunction with security attributes.

- - - Integrity Verification - SC-16(1) - SC-16(01) - AU-10 - SC-8 - -

Verify the integrity of transmitted security and privacy attributes.

- - -

A part of verifying the integrity of transmitted information is ensuring that security and privacy attributes that are associated with such information, have not been modified in an unauthorized manner. Unauthorized modification of security or privacy attributes can result in a loss of integrity for transmitted information.

- - - - Anti-spoofing Mechanisms - SC-16(2) - SC-16(02) - SI-3 - SI-4 - SI-7 - -

Implement anti-spoofing mechanisms to prevent adversaries from falsifying the security attributes indicating the successful application of the security process.

- - -

Some attack vectors operate by altering the security attributes of an information system to intentionally and maliciously implement an insufficient level of security within the system. The alteration of attributes leads organizations to believe that a greater number of security functions are in place and operational than have actually been implemented.

- - - - - Public Key Infrastructure Certificates - - - - SC-17 - SC-17 - [SP 800-32] - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - [SP 800-63-3] - AU-10 - IA-5 - SC-12 - - - a. -

Issue public key certificates under an or obtain public key certificates from an approved service provider; and

- - - b. -

Include only approved trust anchors in trust stores or certificate stores managed by the organization.

- - - -

This control addresses certificates with visibility external to organizational systems and certificates related to internal operations of systems, for example, application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates.

- - - - Mobile Code - SC-18 - SC-18 - [SP 800-28] - AU-2 - AU-12 - CM-2 - CM-6 - SI-3 - - - a. -

Define acceptable and unacceptable mobile code and mobile code technologies; and

- - - b. -

Authorize, monitor, and control the use of mobile code within the system.

- - - -

Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java, JavaScript, Flash animations, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source.

- - - Identify Unacceptable Code and Take Corrective Actions - - - - - - - SC-18(1) - SC-18(01) - -

Identify and take .

- - -

Corrective actions when unacceptable mobile code is detected include blocking, quarantine, or alerting administrators. Blocking includes preventing transmission of word processing files with embedded macros when such macros have been determined to be unacceptable mobile code.

- - - - Acquisition, Development, and Use - - - - SC-18(2) - SC-18(02) - -

Verify that the acquisition, development, and use of mobile code to be deployed in the system meets .

- - -

None.

- - - - Prevent Downloading and Execution - - - - SC-18(3) - SC-18(03) - -

Prevent the download and execution of .

- - -

None.

- - - - Prevent Automatic Execution - - - - - - - SC-18(4) - SC-18(04) - -

Prevent the automatic execution of mobile code in and enforce prior to executing the code.

- - -

Actions enforced before executing mobile code include prompting users prior to opening email attachments or clicking on web links. Preventing automatic execution of mobile code includes disabling auto execute features on system components employing portable storage devices such as Compact Disks (CDs), Digital Versatile Disks (DVDs), and Universal Serial Bus (USB) devices.

- - - - Allow Execution Only in Confined Environments - SC-18(5) - SC-18(05) - SC-44 - SI-7 - -

Allow execution of permitted mobile code only in confined virtual machine environments.

- - -

Permitting execution of mobile code only in confined virtual machine environments helps prevent the introduction of malicious code into other systems and system components.

- - - - - Voice Over Internet Protocol - SC-19 - Withdrawn - SC-19 - -

- Technology-specific; addressed by other controls for protocols. -

- - - - Secure Name/address Resolution Service (authoritative Source) - SC-20 - SC-20 - [FIPS 140-3] - [FIPS 186-4] - [SP 800-81-2] - AU-10 - SC-8 - SC-12 - SC-13 - SC-21 - SC-22 - - - a. -

Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and

- - - b. -

Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.

- - - -

This control enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security (DNSSEC) digital signatures and cryptographic keys. Authoritative data include DNS resource records. The means to indicate the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data.

- - - Child Subspaces - SC-20(1) - Withdrawn - SC-20(01) - SC-20 - - - Data Origin and Integrity - SC-20(2) - SC-20(02) - -

Provide data origin and integrity protection artifacts for internal name/address resolution queries.

- - -

None.

- - - - - Secure Name/address Resolution Service (recursive or Caching Resolver) - SC-21 - SC-21 - [SP 800-81-2] - SC-20 - SC-22 - -

Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.

- - -

Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host/service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data.

- - - Data Origin and Integrity - SC-21(1) - Withdrawn - SC-21(01) - SC-21 - - - - Architecture and Provisioning for Name/address Resolution Service - SC-22 - SC-22 - [SP 800-81-2] - SC-2 - SC-20 - SC-21 - SC-24 - -

Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation.

- - -

Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers; one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles, for example, by address ranges and explicit lists.

- - - - Session Authenticity - SC-23 - SC-23 - [SP 800-52] - [SP 800-77] - [SP 800-95] - [SP 800-113] - AU-10 - SC-8 - SC-10 - SC-11 - -

Protect the authenticity of communications sessions.

- - -

Protecting session authenticity addresses communications protection at the session, level; not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of information transmitted. Authenticity protection includes protecting against man-in-the-middle attacks and session hijacking, and the insertion of false information into sessions.

- - - Invalidate Session Identifiers at Logout - SC-23(1) - SC-23(01) - -

Invalidate session identifiers upon user logout or other session termination.

- - -

Invalidating session identifiers at logout curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.

- - - - User-initiated Logouts and Message Displays - SC-23(2) - Withdrawn - SC-23(02) - AC-12(1) - - - Unique System-generated Session Identifiers - - - - SC-23(3) - SC-23(03) - AC-10 - SC-13 - -

Generate a unique session identifier for each session with and recognize only session identifiers that are system-generated.

- - -

Generating unique session identifiers curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers protects against brute-force attacks to determine future session identifiers.

- - - - Unique Session Identifiers with Randomization - SC-23(4) - Withdrawn - SC-23(04) - SC-23(3) - - - Allowed Certificate Authorities - - - - SC-23(5) - SC-23(05) - SC-13 - -

Only allow the use of for verification of the establishment of protected sessions.

- - -

Reliance on certificate authorities for the establishment of secure sessions includes the use of Transport Layer Security (TLS) certificates. These certificates, after verification by their respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.

- - - - - Fail in Known State - - - - - - - - - - SC-24 - SC-24 - CP-2 - CP-4 - CP-10 - CP-12 - SA-8 - SC-7 - SC-22 - SI-13 - -

Fail to a for the following failures on the indicated components while preserving in failure: .

- - -

Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes.

- - - - Thin Nodes - - - - SC-25 - SC-25 - SC-30 - SC-44 - -

Employ minimal functionality and information storage on the following system components: .

- - -

The deployment of system components with minimal functionality reduces the need to secure every endpoint, and may reduce the exposure of information, systems, and services to attacks. Reduced or minimal functionality includes diskless nodes and thin client technologies.

- - - - Decoys - SC-26 - SC-26 - RA-5 - SC-30 - SC-35 - SC-44 - SI-3 - SI-4 - -

Include components within organizational systems specifically designed to be the target of malicious attacks for detecting, deflecting, and analyzing such attacks.

- - -

Decoys (i.e., honeypots, honeynets, or deception nets) are established to attract adversaries and to deflect attacks away from the operational systems supporting organizational missions and business functions. Depending upon the specific usage of the decoy, consultation with the Office of the General Counsel before deployment may be needed.

- - - Detection of Malicious Code - SC-26(1) - Withdrawn - SC-26(01) - SC-35 - - - - Platform-independent Applications - - - - SC-27 - SC-27 - SC-29 - -

Include within organizational systems, the following platform independent applications: .

- - -

Platforms are combinations of hardware, firmware, and software components used to execute software applications. Platforms include operating systems; the underlying computer architectures; or both. Platform-independent applications are applications with the capability to execute on multiple platforms. Such applications promote portability and reconstitution on different platforms. Application portability and the ability to reconstitute on different platforms increases the availability of mission essential functions within organizations in situations where systems with specific operating systems are under attack.

- - - - Protection of Information at Rest - - - - - - - SC-28 - SC-28 - [OMB A-130] - [SP 800-56A] - [SP 800-56B] - [SP 800-56C] - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - [SP 800-111] - [SP 800-124] - AC-3 - AC-4 - AC-6 - AC-19 - CA-7 - CM-3 - CM-5 - CM-6 - CP-9 - MP-4 - MP-5 - PE-3 - SC-8 - SC-12 - SC-13 - SC-34 - SI-3 - SI-7 - SI-16 - -

Protect the of the following information at rest: .

- - -

Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information requiring protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure off-line storage in lieu of online storage.

- - - Cryptographic Protection - - - - - - - SC-28(1) - SC-28(01) - AC-19 - -

Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on : .

- - -

Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields. Organizations using cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13).

- - - - Off-line Storage - - - - SC-28(2) - SC-28(02) - -

Remove the following information from online storage and store off-line in a secure location: .

- - -

Removing organizational information from online storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.

- - - - Cryptographic Keys - - - - - - - SC-28(3) - SC-28(03) - SC-13 - -

Provide protected storage for cryptographic keys .

- - -

A Trusted Platform Module (TPM) is an example of a hardware-projected data store that can be used to protect cryptographic keys. .

- - - - - Heterogeneity - - - - SC-29 - SC-29 - AU-9 - PL-8 - SC-27 - SC-30 - SR-3 - -

Employ a diverse set of information technologies for the following system components in the implementation of the system: .

- - -

Increasing the diversity of information technologies within organizational systems reduces the impact of potential exploitations or compromises of specific technologies. Such diversity protects against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one system component will be effective against other system components, thus further increasing the adversary work factor to successfully complete planned attacks. An increase in diversity may add complexity and management overhead that could ultimately lead to mistakes and unauthorized configurations.

- - - Virtualization Techniques - - - - SC-29(1) - SC-29(01) - -

Employ virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed .

- - -

While frequent changes to operating systems and applications can pose significant configuration management challenges, the changes can result in an increased work factor for adversaries to conduct successful attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems or applications, provides virtual changes that impede attacker success while reducing configuration management efforts. Virtualization techniques can assist in isolating untrustworthy software or software of dubious provenance into confined execution environments.

- - - - - Concealment and Misdirection - - - - - - - - - - SC-30 - SC-30 - AC-6 - SC-25 - SC-26 - SC-29 - SC-44 - SI-14 - -

Employ the following concealment and misdirection techniques for at to confuse and mislead adversaries: .

- - -

Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. For example, virtualization techniques provide organizations with the ability to disguise systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. The increased use of concealment and misdirection techniques and methods, including randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment and misdirection techniques may provide additional time to perform core missions and business functions. The implementation of concealment and misdirection techniques may add to the complexity and management overhead required for the system.

- - - Virtualization Techniques - SC-30(1) - Withdrawn - SC-30(01) - SC-29(1) - - - Randomness - - - - SC-30(2) - SC-30(02) - -

Employ to introduce randomness into organizational operations and assets.

- - -

Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending their systems against attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions or business functions. Uncertainty may also cause adversaries to hesitate before initiating attacks or continuing the attacks. Misdirection techniques involving randomness include performing certain routine actions at different times of day, employing different information technologies, using different suppliers, and rotating roles and responsibilities of organizational personnel.

- - - - Change Processing and Storage Locations - - - - - - - - - - SC-30(3) - SC-30(03) - -

Change the location of - ].

- - -

Adversaries target critical missions and business functions and the systems supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational systems targeted by adversaries, make such systems more susceptible to attacks with less adversary cost and effort to be successful. Changing processing and storage locations (also referred to as moving target defense) addresses the advanced persistent threat using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the system components (i.e., processing and/or storage) supporting critical missions and business functions. Changing the locations of processing activities and/or storage sites introduces a degree of uncertainty into the targeting activities by adversaries. The targeting uncertainty increases the work factor of adversaries making compromises or breaches to organizational systems more difficult and time-consuming. It also increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.

- - - - Misleading Information - - - - SC-30(4) - SC-30(04) - SC-26 - -

Employ realistic, but misleading information in about its security state or posture.

- - -

This control enhancement is intended to mislead potential adversaries regarding the nature and extent of controls deployed by organizations. Thus, adversaries may employ incorrect and ineffective, attack techniques. One technique for misleading adversaries is for organizations to place misleading information regarding the specific controls deployed in external systems that are known to be targeted by adversaries. Another technique is the use of deception nets that mimic actual aspects of organizational systems but use, for example, out-of-date software configurations.

- - - - Concealment of System Components - - - - - - - SC-30(5) - SC-30(05) - -

Employ the following techniques to hide or conceal : .

- - -

By hiding, disguising, or concealing critical system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means to hide, disguise, or conceal system components include configuration of routers or the use of encryption or virtualization techniques.

- - - - - Covert Channel Analysis - - - - SC-31 - SC-31 - AC-3 - AC-4 - SA-8 - SI-11 - - - a. -

Perform a covert channel analysis to identify those aspects of communications within the system that are potential avenues for covert channels; and

- - - b. -

Estimate the maximum bandwidth of those channels.

- - - -

Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of systems containing export-controlled information and having connections to external networks (i.e., networks that are not controlled by organizations). Covert channel analysis is also useful for multilevel secure systems, multiple security level systems, and cross-domain systems.

- - - Test Covert Channels for Exploitability - SC-31(1) - SC-31(01) - -

Test a subset of the identified covert channels to determine the channels that are exploitable.

- - -

None.

- - - - Maximum Bandwidth - - - - - - - SC-31(2) - SC-31(02) - -

Reduce the maximum bandwidth for identified covert channels to .

- - -

The complete elimination of covert channels, especially covert timing channels, is usually not possible without significant performance impacts.

- - - - Measure Bandwidth in Operational Environments - - - - SC-31(3) - SC-31(03) - -

Measure the bandwidth of in the operational environment of the system.

- - -

Measuring covert channel bandwidth in specified operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects missions or business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the specific environments of operation, including laboratories or system development environments.

- - - - - System Partitioning - - - - - - - - - - SC-32 - SC-32 - [FIPS 199] - [IR 8179] - AC-4 - AC-6 - SA-8 - SC-2 - SC-3 - SC-7 - SC-36 - -

Partition the system into residing in separate domains or environments based on .

- - -

System partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components. Physical separation options include: physically distinct components in separate racks in the same room; critical components in separate rooms; and geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned system components.

- - - Separate Physical Domains for Privileged Functions - SC-32(1) - SC-32(01) - -

Partition privileged functions into separate physical domains.

- - -

Privileged functions operating in a single physical domain may represent a single point of failure if that domain becomes compromised or experiences a denial of service.

- - - - - Transmission Preparation Integrity - SC-33 - Withdrawn - SC-33 - SC-8 - - - Non-modifiable Executable Programs - - - - - - - SC-34 - SC-34 - AC-3 - SI-7 - SI-14 - -

For , load and execute:

- - a. -

The operating environment from hardware-enforced, read-only media; and

- - - b. -

The following applications from hardware-enforced, read-only media: .

- - - -

The operating environment for a system contains the code that hosts applications, including operating systems, executives, or virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include Compact Disk-Recordable (CD-R) and Digital Versatile Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. Use of reprogrammable read-only memory can be accepted as read-only media provided integrity can be adequately protected from the point of initial writing to the insertion of the memory into the system; and there are reliable hardware protections against reprogramming the memory while installed in organizational systems.

- - - No Writable Storage - - - - SC-34(1) - SC-34(01) - AC-19 - MP-7 - -

Employ with no writeable storage that is persistent across component restart or power on/off.

- - -

Disallowing writeable storage eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated system components. The restriction applies to fixed and removable storage, with the latter being addressed either directly or as specific restrictions imposed through access controls for mobile devices.

- - - - Integrity Protection on Read-only Media - SC-34(2) - SC-34(02) - CM-3 - CM-5 - CM-9 - MP-2 - MP-4 - MP-5 - SC-28 - SI-3 - -

Protect the integrity of information prior to storage on read-only media and control the media after such information has been recorded onto the media.

- - -

Controls prevent the substitution of media into systems or the reprogramming of programmable read-only media prior to installation into the systems. Integrity protection controls include a combination of prevention, detection, and response.

- - - - Hardware-based Protection - - - - - - - SC-34(3) - SC-34(03) - - - (a) -

Employ hardware-based, write-protect for ; and

- - - (b) -

Implement specific procedures for to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.

- - - -

None.

- - - - - External Malicious Code Identification - SC-35 - SC-35 - SC-26 - SC-44 - SI-3 - SI-4 - -

Include system components that proactively seek to identify network-based malicious code or malicious websites.

- - -

External malicious code identification differs from decoys in SC-26 in that the components actively probe networks, including the Internet, in search of malicious code contained on external websites. Like decoys, the use of external malicious code identification techniques requires some supporting isolation measures to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational systems. Virtualization is a common technique for achieving such isolation.

- - - - Distributed Processing and Storage - - - - - - - SC-36 - SC-36 - [SP 800-160 v2] - CP-6 - CP-7 - PL-8 - SC-32 - -

Distribute the following processing and storage components across multiple : .

- - -

Distributing processing and storage across multiple physical locations or logical domains provides a degree of redundancy or overlap for organizations. The redundancy and overlap increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. The use of distributed processing and storage does not assume a single primary processing or storage location. Therefore, it allows for parallel processing and storage.

- - - Polling Techniques - - - - - - - SC-36(1) - SC-36(01) - SI-4 - - - (a) -

Employ polling techniques to identify potential faults, errors, or compromises to the following processing and storage components: ; and

- - - (b) -

Take the following actions in response to identified faults, errors, or compromises: .

- - - -

Distributed processing and/or storage may be used to reduce opportunities for adversaries to compromise the confidentiality, integrity, or availability of organizational information and systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one or more of the components. Polling compares the processing results and/or storage content from the distributed components and subsequently votes on the outcomes. Polling identifies potential faults, compromises, or errors in the distributed processing and storage components. Polling techniques may also be applied to processing and storage components that are not physically distributed.

- - - - Synchronization - - - - SC-36(2) - SC-36(02) - CP-9 - -

Synchronize the following duplicate systems or system components: .

- - -

SC-36 and CP-9(6) require the duplication of systems or system components in distributed locations. Synchronization of duplicated and redundant services and data helps to ensure that information contained in the distributed locations can be used in the missions or business functions of organizations, as needed.

- - - - - Out-of-band Channels - - - - - - - - - - SC-37 - SC-37 - [SP 800-57-1] - [SP 800-57-2] - [SP 800-57-3] - AC-2 - CM-3 - CM-5 - CM-7 - IA-2 - IA-4 - IA-5 - MA-4 - SC-12 - SI-3 - SI-4 - SI-7 - -

Employ the following out-of-band channels for the physical delivery or electronic transmission of to : .

- - -

Out-of-band channels include local nonnetwork accesses to systems; network paths physically separate from network paths used for operational traffic; or nonelectronic paths such as the US Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or the transmission of organizational items, including identifiers and authenticators; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates.

- - - Ensure Delivery and Transmission - - - - - - - - - - SC-37(1) - SC-37(01) - -

Employ to ensure that only receive the following information, system components, or devices: .

- - -

Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include, sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.

- - - - - Operations Security - - - - SC-38 - SC-38 - CA-2 - CA-7 - PL-1 - PM-9 - PM-12 - RA-2 - RA-3 - RA-5 - SC-7 - SR-3 - SR-7 - -

Employ the following operations security controls to protect key organizational information throughout the system development life cycle: .

- - -

Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: identification of critical information; analysis of threats; analysis of vulnerabilities; assessment of risks; and the application of appropriate countermeasures. OPSEC controls are applied to organizational systems and the environments in which those systems operate. OPSEC controls protect the confidentiality of information, including limiting the sharing of information with suppliers and potential suppliers of system components and services, and with other non-organizational elements and individuals. Information critical to organizational missions and business functions includes user identities, element uses, suppliers, supply chain processes, functional requirements, security requirements, system design specifications, testing and evaluation protocols, and security control implementation details.

- - - - Process Isolation - SC-39 - SC-39 - [SP 800-160 v1] - AC-3 - AC-4 - AC-6 - AC-25 - SA-8 - SC-2 - SC-3 - SI-16 - -

Maintain a separate execution domain for each executing system process.

- - -

Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies.

- - - Hardware Separation - SC-39(1) - SC-39(01) - -

Implement hardware separation mechanisms to facilitate process isolation.

- - -

Hardware-based separation of system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Hardware separation mechanisms include hardware memory management.

- - - - Separate Execution Domain Per Thread - - - - SC-39(2) - SC-39(02) - -

Maintain a separate execution domain for each thread in .

- - -

None.

- - - - - Wireless Link Protection - - - - - - - SC-40 - SC-40 - AC-18 - SC-5 - -

Protect external and internal from the following signal parameter attacks: .

- - -

Wireless link protection applies to internal and external wireless communication links that may be visible to individuals who are not authorized system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or spoof system users. Protection of wireless links reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.

- - - Electromagnetic Interference - - - - SC-40(1) - SC-40(01) - PE-21 - SC-12 - SC-13 - -

Implement cryptographic mechanisms that achieve against the effects of intentional electromagnetic interference.

- - -

Implementation of cryptographic mechanisms for electromagnetic interference protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The implementation of cryptographic mechanisms may also coincidentally mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine levels of wireless link availability, cryptography needed, or performance.

- - - - Reduce Detection Potential - - - - SC-40(2) - SC-40(02) - SC-12 - SC-13 - -

Implement cryptographic mechanisms to reduce the detection potential of wireless links to .

- - -

Implementation of cryptographic mechanisms to reduce detection potential is used for covert communications and to protect wireless transmitters from geo-location. It also ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable laws, executive orders, directives, regulations, policies, and standards determine the levels to which wireless links are undetectable.

- - - - Imitative or Manipulative Communications Deception - SC-40(3) - SC-40(03) - SC-12 - SC-13 - SI-4 - -

Implement cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

- - -

Implementation of cryptographic mechanisms to identify and reject imitative or manipulative communications ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.

- - - - Signal Parameter Identification - - - - SC-40(4) - SC-40(04) - SC-12 - SC-13 - -

Implement cryptographic mechanisms to prevent the identification of by using the transmitter signal parameters.

- - -

Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission or user identification. Implementation of cryptographic mechanisms to prevent the identification of wireless transmitters protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. It also provides anonymity when required.

- - - - - Port and I/O Device Access - - - - - - - - - - SC-41 - SC-41 - AC-20 - MP-7 - -

- disable or remove on the following systems or system components: .

- - -

Connection ports include Universal Serial Bus (USB), Thunderbolt, Firewire (IEEE 1394). Input/output (I/O) devices include Compact Disk (CD) and Digital Versatile Disk (DVD) drives. Disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from systems and the introduction of malicious code into systems from those ports or devices. Physically disabling or removing ports and/or devices is the stronger action.

- - - - Sensor Capability and Data - - - - - - - SC-42 - SC-42 - [OMB A-130] - [SP 800-124] - SC-15 - - - a. -

Prohibit the remote activation of environmental sensing capabilities on organizational systems or system components with the following exceptions: ; and

- - - b. -

Provide an explicit indication of sensor use to .

- - - -

Sensor capability and data applies to types of systems or system components characterized as mobile devices, for example, smart phones and tablets. Mobile devices often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.

- - - Reporting to Authorized Individuals or Roles - - - - SC-42(1) - SC-42(01) - -

Verify that the system is configured so that data or information collected by the is only reported to authorized individuals or roles.

- - -

In situations where sensors are activated by authorized individuals, it is still possible that the data or information collected by the sensors will be sent to unauthorized entities.

- - - - Authorized Use - - - - - - - SC-42(2) - SC-42(02) - PT-2 - -

Employ the following measures so that data or information collected by is only used for authorized purposes: .

- - -

Information collected by sensors for a specific authorized purpose could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include additional training to ensure that authorized individuals do not abuse their authority; and in the case where sensor data or information is maintained by external parties, contractual restrictions on the use of such data or information.

- - - - Prohibit Use of Devices - - - - - - - SC-42(3) - SC-42(03) - -

Prohibit the use of devices possessing in .

- - -

For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain designated facilities or controlled areas within facilities where classified information is stored or sensitive conversations are taking place.

- - - - Notice of Collection - - - - - - - SC-42(4) - SC-42(04) - PT-1 - PT-5 - PT-6 - -

Employ the following measures to facilitate an individual’s awareness that personally identifiable information is being collected by : .

- - -

Awareness that organizational sensors are collecting data enable individuals to more effectively engage in managing their privacy. Measures can include conventional written notices and sensor configurations that make individuals aware directly or indirectly through other devices that the sensor is collecting information. Usability and efficacy of the notice are important considerations.

- - - - Collection Minimization - - - - SC-42(5) - SC-42(05) - SI-12 - -

Employ that are configured to minimize the collection of information about individuals that is not needed.

- - -

Although policies to control for authorized use can be applied to information once it is collected, minimizing the collection of information that is not needed mitigates privacy risk at the system entry point and mitigates the risk of policy control failures. Sensor configurations include the obscuring of human features such as blurring or pixelating flesh tones.

- - - - - Usage Restrictions - - - - SC-43 - SC-43 - [OMB A-130] - [SP 800-124] - AC-18 - AC-19 - CM-6 - SC-7 - SC-18 - - - a. -

Establish usage restrictions and implementation guidelines for the following system components: ; and

- - - b. -

Authorize, monitor, and control the use of such components within the system.

- - - -

Usage restrictions apply to all system components including, but not limited to, mobile code, mobile devices, wireless access, and wired and wireless peripheral components (e.g., copiers, printers, scanners, optical devices, and other similar technologies). The usage restrictions and implementation guidelines are based on the potential for system components to cause damage to the system and help to ensure that only authorized system use occurs.

- - - - Detonation Chambers - - - - SC-44 - SC-44 - [SP 800-177] - SC-7 - SC-25 - SC-26 - SC-30 - SC-35 - SC-39 - SI-3 - SI-7 - -

Employ a detonation chamber capability within .

- - -

Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator requests in the safety of an isolated environment or a virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments or applications contain malicious code. While related to the concept of deception nets, this control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and either reduce the likelihood that the code is propagated to user environments of operation or prevent such propagation completely.

- - - - System Time Synchronization - SC-45 - SC-45 - AC-3 - AU-8 - IA-2 - IA-8 - -

Synchronize system clocks within and between systems and system components.

- - -

Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes involving certificates and time-of-day restrictions as part of access control. Denial-of-service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support the capabilities.

- - - - Cross Domain Policy Enforcement - - - - SC-46 - SC-46 - [SP 800-160 v1] - AC-4 - SC-7 - -

Implement a policy enforcement mechanism between the physical and/or network interfaces for the connecting security domains.

- - -

For logical policy enforcement mechanisms, organizations avoid creating a logical path between interfaces to prevent the ability to bypass the policy enforcement mechanism. For physical policy enforcement mechanisms, the robustness of physical isolation afforded by the physical implementation of policy enforcement to preclude the presence of logical covert channels penetrating the security boundary may be needed.

- - - - Communications Path Diversity - - - - SC-47 - SC-47 - [SP 800-34] - [SP 800-61] - [SP 800-160 v2] - CP-2 - CP-8 - -

Establish for system operations organizational command and control.

- - -

An incident, whether adversarial- or nonadversarial-based, can disrupt established communications paths used for system operations and organizational command and control. The inability of organizational officials to obtain timely information about disruptions or to provide timely direction to operational elements can impact the organization’s ability to respond in a timely manner to such incidents. Establishing alternate communications paths for command and control purposes, including designating alternative decision makers if primary decision makers are unavailable and establishing the extent and limitations of their actions, can greatly facilitate the organization’s ability to continue to operate and take appropriate actions during an incident.

- - - - Sensor Relocation - - - - - - - - - - SC-48 - SC-48 - [SP 800-160 v2] - AU-2 - SC-7 - SI-4 - -

Relocate to under the following conditions or circumstances: .

- - -

Adversaries may take various paths and use different approaches as they move laterally through an organization (including its systems) to reach their target or as they attempt to exfiltrate information from the organization. The organization often only has a limited set of monitoring and detection capabilities and they may be focused on the critical or likely infiltration or exfiltration paths. By using communications paths that the organization typically does not monitor, the adversary can increase its chances of achieving its desired goals. By relocating its sensors or monitoring capabilities to new locations, the organization can impede the adversary’s ability to achieve its goals. The relocation of the sensors or monitoring capabilities might be done based on threat information the organization has acquired or randomly to confuse the adversary and make its lateral transition through the system or organization more challenging.

- - - Dynamic Relocation of Sensors or Monitoring Capabilities - - - - - - - - - - SC-48(1) - SC-48(01) - -

Dynamically relocate to under the following conditions or circumstances: .

- - -

None.

- - - - - Hardware-enforced Separation and Policy Enforcement - - - - SC-49 - SC-49 - [SP 800-160 v1] - AC-4 - SA-8 - SC-50 - -

Implement hardware-enforced separation and policy enforcement mechanisms between .

- - -

System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement for specific types of threats and environments of operation. Hardware-enforced separation and policy enforcement provide greater strength of mechanism than software-enforced separation and policy enforcement.

- - - - Software-enforced Separation and Policy Enforcement - - - - SC-50 - SC-50 - [SP 800-160 v1] - AC-3 - AC-4 - SA-8 - SC-2 - SC-3 - SC-49 - -

Implement software-enforced separation and policy enforcement mechanisms between .

- - -

System owners may require additional strength of mechanism and robustness to ensure domain separation and policy enforcement (e.g., filtering) for specific types of threats and environments of operation.

- - - - Operational and Internet-based Technologies - - - - - - - - - - SC-51 - SC-51 - [SP 800-160 v1] - AC-3 - AC-4 - SA-8 - SC-2 - SC-3 - SC-49 - - - a. -

Implement the following controls on prior to connecting to : ; or

- - - b. -

Isolate the OT, IoT, and IIoT systems, components, or devices from the designated organizational systems or prohibit network connectivity by the systems, components, or devices.

- - - -

Operational Technology (OT) is the hardware, software, and firmware components of a system used to detect or cause changes in physical processes through the direct control and monitoring of physical devices. Examples include distributed control systems (DCS), supervisory control and data acquisition (SCADA) systems, and programmable logic controllers (PLC). The term operational technology is used to demonstrate the differences between industrial control systems (ICS) that are typically found in manufacturing and power plants and the information technology (IT) systems that typically support traditional data processing applications. The term Internet of Things (IoT) is used to describe the network of devices (e.g., vehicles, medical devices, wearables, and home appliances) that contain the hardware, software, firmware, and actuators which allow the devices to connect, interact, and exchange data and information. IoT extends Internet connectivity beyond workstations, notebook computers, smartphones and tablets to physical devices that do not typically have such connectivity. IoT devices can communicate and interact over the Internet, and they can be remotely monitored and controlled. Finally, the term Industrial Internet of Things (IIoT) is used to describe the sensors, instruments, machines, and other devices that are networked together and use Internet connectivity to enhance industrial and manufacturing business processes and applications. -The recent convergence of IT and OT, producing cyber-physical systems, increases the attack surface of organizations significantly and provides attack vectors that are challenging to address. Unfortunately, most of the current generation of IoT, OT and IIOT devices are not designed with security as a foundational property. Connections to and from such devices are generally not encrypted, do not provide the necessary authentication, are not monitored, and are not logged. As a result, these devices pose a significant cyber threat. In some instances, gaps in IoT, OT, and IIoT security capabilities may be addressed by employing intermediary devices that can provide encryption, authentication, security scanning, and logging capabilities, and preclude the devices from being accessible from the Internet. But such mitigating options are not always available. The situation is further complicated because some of the IoT/OT/IIoT devices are needed for essential missions and functions. In those instances, it is necessary that such devices are isolated from the Internet to reduce the susceptibility to hostile cyber-attacks.

- - - - - System and Information Integrity - - Policy and Procedures - - - - - - - - - - - - - - - - SI-1 - SI-01 - [OMB A-130] - [SP 800-12] - [SP 800-100] - PM-9 - PS-8 - SA-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- system and information integrity policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and

- - - c. -

Review and update the current system and information integrity:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the SI family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Flaw Remediation - - - - SI-2 - SI-02 - [OMB A-130] - [FIPS 140-3] - [FIPS 186-4] - [SP 800-40] - [SP 800-128] - [IR 7788] - CA-5 - CM-3 - CM-4 - CM-5 - CM-6 - CM-8 - MA-2 - RA-5 - SA-8 - SA-10 - SA-11 - SI-3 - SI-5 - SI-7 - SI-11 - - - a. -

Identify, report, and correct system flaws;

- - - b. -

Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

- - - c. -

Install security-relevant software and firmware updates within of the release of the updates; and

- - - d. -

Incorporate flaw remediation into the organizational configuration management process.

- - - -

The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified. -Organization-defined time-periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw); the organizational mission; or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, for example, when implementing simple malicious code signature updates. Organizations consider in testing decisions whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.

- - - Central Management - SI-2(1) - SI-02(01) - PL-9 - -

Centrally manage the flaw remediation process.

- - -

Central management is the organization-wide management and implementation of flaw remediation processes. It includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation controls.

- - - - Automated Flaw Remediation Status - - - - - - - SI-2(2) - SI-02(02) - CA-7 - SI-4 - -

Determine if system components have applicable security-relevant software and firmware updates installed using - .

- - -

Automated mechanisms can track and determine the status of known flaws for system components.

- - - - Time to Remediate Flaws and Benchmarks for Corrective Actions - - - - SI-2(3) - SI-02(03) - - - (a) -

Measure the time between flaw identification and flaw remediation; and

- - - (b) -

Establish the following benchmarks for taking corrective actions: .

- - - -

Organizations determine the time it takes on average to correct system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited.

- - - - Automated Patch Management Tools - - - - SI-2(4) - SI-02(04) - -

Employ automated patch management tools to facilitate flaw remediation to the following system components: .

- - -

Using automated tools to support patch management helps to ensure the timeliness and completeness of system patching operations.

- - - - Automatic Software and Firmware Updates - - - - - - - SI-2(5) - SI-02(05) - -

Install automatically to .

- - -

Due to system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates. Organizations balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and control with any mission or operational impacts that automatic updates might impose.

- - - - Removal of Previous Versions of Software and Firmware - - - - SI-2(6) - SI-02(06) - -

Remove previous versions of after updated versions have been installed.

- - -

Previous versions of software or firmware components that are not removed from the system after updates have been installed may be exploited by adversaries. Some products may remove previous versions of software and firmware automatically from the system.

- - - - - Malicious Code Protection - - - - - - - - - - - - - - - - - - - SI-3 - SI-03 - [SP 800-83] - [SP 800-125B] - [SP 800-177] - AC-4 - AC-19 - CM-3 - CM-8 - IR-4 - MA-3 - MA-4 - RA-5 - SC-7 - SC-23 - SC-26 - SC-28 - SC-44 - SI-2 - SI-4 - SI-7 - SI-8 - SI-15 - - - a. -

Implement malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;

- - - b. -

Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;

- - - c. -

Configure malicious code protection mechanisms to:

- - 1. -

Perform periodic scans of the system and real-time scans of files from external sources at as the files are downloaded, opened, or executed in accordance with organizational policy; and

- - - 2. -

- ; and send alert to in response to malicious code detection.

- - - - d. -

Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system.

- - - -

System entry and exit points include firewalls, remote-access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files, or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. -Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software and in custom-built software and could include logic bombs, back doors, and other types of attacks that could affect organizational missions and business functions. -In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, or actions in response to detection of maliciousness when attempting to open or execute files.

- - - Central Management - SI-3(1) - SI-03(01) - PL-9 - -

Centrally manage malicious code protection mechanisms.

- - -

Central management addresses the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw and malicious code protection controls.

- - - - Automatic Updates - SI-3(2) - Withdrawn - SI-03(02) - SI-3 - - - Non-privileged Users - SI-3(3) - Withdrawn - SI-03(03) - AC-6(10) - - - Updates Only by Privileged Users - SI-3(4) - SI-03(04) - CM-5 - -

Update malicious code protection mechanisms only when directed by a privileged user.

- - -

Protection mechanisms for malicious code are typically categorized as security-related software and as such, are only updated by organizational personnel with appropriate access privileges.

- - - - Portable Storage Devices - SI-3(5) - Withdrawn - SI-03(05) - MP-7 - - - Testing and Verification - - - - SI-3(6) - SI-03(06) - CA-2 - CA-7 - RA-5 - - - (a) -

Test malicious code protection mechanisms by introducing known benign code into the system; and

- - - (b) -

Verify that the detection of the code and the associated incident reporting occur.

- - - -

None.

- - - - Nonsignature-based Detection - SI-3(7) - Withdrawn - SI-03(07) - SI-3 - - - Detect Unauthorized Commands - - - - - - - - - - SI-3(8) - SI-03(08) - AU-2 - AU-6 - AU-12 - - - (a) -

Detect the following unauthorized operating system commands through the kernel application programming interface on : ; and

- - - (b) -

- .

- - - -

Detecting unauthorized commands can be applied to critical interfaces other than kernel-based interfaces, including interfaces with virtual machines and privileged applications. Unauthorized operating system commands include commands for kernel functions from system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can also define hardware components by component type, component, component location in the network, or combination therein. Organizations may select different actions for different types, classes, or instances of malicious commands.

- - - - Authenticate Remote Commands - - - - - - - SI-3(9) - SI-03(09) - SC-12 - SC-13 - SC-23 - -

Implement to authenticate .

- - -

This control enhancement protects against unauthorized remote commands and the replay of authorized commands. This capability is important for those remote systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences, including, for example, injury or death, property damage, loss of high-value assets, compromise of classified or controlled unclassified information, or failure of missions or business functions. Authentication safeguards for remote commands ensure that systems accept and execute commands in the order intended, execute only authorized commands, and reject unauthorized commands. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.

- - - - Malicious Code Analysis - - - - SI-3(10) - SI-03(10) - - - (a) -

Employ the following tools and techniques to analyze the characteristics and behavior of malicious code: ; and

- - - (b) -

Incorporate the results from malicious code analysis into organizational incident response and flaw remediation processes.

- - - -

The use of malicious code analysis tools provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by employing reverse engineering techniques or by monitoring the behavior of executing code.

- - - - - System Monitoring - - - - - - - - - - - - - - - - - - - SI-4 - SI-04 - [OMB A-130] - [SP 800-61] - [SP 800-83] - [SP 800-92] - [SP 800-94] - [SP 800-137] - AC-2 - AC-3 - AC-4 - AC-8 - AC-17 - AU-2 - AU-6 - AU-7 - AU-9 - AU-12 - AU-13 - AU-14 - CA-7 - CM-3 - CM-6 - CM-8 - CM-11 - IA-10 - IR-4 - MA-3 - MA-4 - PM-12 - RA-5 - SC-5 - SC-7 - SC-18 - SC-26 - SC-31 - SC-35 - SC-36 - SC-37 - SC-43 - SI-3 - SI-6 - SI-7 - SR-9 - SR-10 - - - a. -

Monitor the system to detect:

- - 1. -

Attacks and indicators of potential attacks in accordance with the following monitoring objectives: ; and

- - - 2. -

Unauthorized local, network, and remote connections;

- - - - b. -

Identify unauthorized use of the system through the following techniques and methods: ;

- - - c. -

Invoke internal monitoring capabilities or deploy monitoring devices:

- - 1. -

Strategically within the system to collect organization-determined essential information; and

- - - 2. -

At ad hoc locations within the system to track specific types of transactions of interest to the organization;

- - - - d. -

Protect information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;

- - - e. -

Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;

- - - f. -

Obtain legal opinion regarding system monitoring activities; and

- - - g. -

Provide to - .

- - - -

System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at system boundaries. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capability is achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software. -Depending on the security architecture implementation, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries, and at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms supporting critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls SC-7 and AC-17. The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., AC-2g, AC-2(7), AC-2(12)(a), AC-17(1), AU-13, AU-13(1), AU-13(2), CM-3f, CM-6d, MA-3a, MA-4a, SC-5(3)(b), SC-7a, SC-7(24)(b), SC-18c, SC-43b). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - System-wide Intrusion Detection System - SI-4(1) - SI-04(01) - -

Connect and configure individual intrusion detection tools into a system-wide intrusion detection system.

- - -

Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capability. The information contained in one intrusion detection tool can be shared widely across the organization making the system-wide detection capability more robust and powerful.

- - - - Automated Tools and Mechanisms for Real-time Analysis - SI-4(2) - SI-04(02) - PM-23 - PM-25 - -

Employ automated tools and mechanisms to support near real-time analysis of events.

- - -

Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or Security Information and Event Management technologies that provide real time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.

- - - - Automated Tool and Mechanism Integration - SI-4(3) - SI-04(03) - PM-23 - PM-25 - -

Employ automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access control and flow control mechanisms.

- - -

Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling reconfiguration of mechanisms in support of attack isolation and elimination.

- - - - Inbound and Outbound Communications Traffic - - - - SI-4(4) - SI-04(04) - -

Monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions.

- - -

Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic include internal traffic that indicates the presence of malicious code within organizational systems or propagating among system components; the unauthorized exporting of information; or signaling to external systems. Evidence of malicious code is used to identify potentially compromised systems or system components.

- - - - System-generated Alerts - - - - - - - SI-4(5) - SI-04(05) - AU-4 - AU-5 - PE-6 - -

Alert when the following system-generated indications of compromise or potential compromise occur: .

- - -

Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms; intrusion detection or prevention mechanisms; or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. This control enhancement addresses the security alerts generated by the system. Alternatively, alerts generated by organizations in SI-4(12) focus on information sources external to the system such as suspicious activity reports and reports on potential insider threats.

- - - - Restrict Non-privileged Users - SI-4(6) - Withdrawn - SI-04(06) - AC-6(10) - - - Automated Response to Suspicious Events - - - - - - - SI-4(7) - SI-04(07) - - - (a) -

Notify of detected suspicious events; and

- - - (b) -

Take the following actions upon detection: .

- - - -

Least-disruptive actions include initiating requests for human responses.

- - - - Protection of Monitoring Information - SI-4(8) - Withdrawn - SI-04(08) - SI-4 - - - Testing of Monitoring Tools and Mechanisms - - - - SI-4(9) - SI-04(09) - CP-9 - -

Test intrusion-monitoring tools and mechanisms .

- - -

Testing intrusion-monitoring tools and mechanism is necessary to ensure that the tools and mechanisms are operating correctly and continue to satisfy the monitoring objectives of organizations. The frequency and depth of testing depends on the types of tools and mechanisms used by organizations and the methods of deployment.

- - - - Visibility of Encrypted Communications - - - - - - - SI-4(10) - SI-04(10) - -

Make provisions so that is visible to .

- - -

Organizations balance the need for encrypting communications traffic to protect data confidentiality with the need for having visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.

- - - - Analyze Communications Traffic Anomalies - - - - SI-4(11) - SI-04(11) - -

Analyze outbound communications traffic at the external interfaces to the system and selected to discover anomalies.

- - -

Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g. IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses.

- - - - Automated Organization-generated Alerts - - - - - - - - - - SI-4(12) - SI-04(12) - -

Alert using when the following indications of inappropriate or unusual activities with security or privacy implications occur: .

- - -

Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by systems in SI-4(5) that focus on information sources that are internal to the systems such as audit records, the sources of information for this enhancement focus on other entities such as suspicious activity reports and reports on potential insider threats.

- - - - Analyze Traffic and Event Patterns - SI-4(13) - SI-04(13) - - - (a) -

Analyze communications traffic and event patterns for the system;

- - - (b) -

Develop profiles representing common traffic and event patterns; and

- - - (c) -

Use the traffic and event profiles in tuning system-monitoring devices.

- - - -

Identifying and understanding common communications traffic and event patterns helps organizations provide useful information to system monitoring devices to more effectively identify suspicious or anomalous traffic and events when they occur. Such information can help reduce the number of false positives and false negatives during system monitoring.

- - - - Wireless Intrusion Detection - SI-4(14) - SI-04(14) - AC-18 - IA-3 - -

Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system.

- - -

Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems, but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems.

- - - - Wireless to Wireline Communications - SI-4(15) - SI-04(15) - AC-18 - -

Employ an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

- - -

Wireless networks are inherently less secure than wired networks. For example, wireless networks are more susceptible to eavesdroppers or traffic analysis than wireline networks. Employing intrusion detection systems to monitor wireless communications traffic helps to ensure that the traffic does not contain malicious code prior to transitioning to the wireline network.

- - - - Correlate Monitoring Information - SI-4(16) - SI-04(16) - AU-6 - -

Correlate information from monitoring tools and mechanisms employed throughout the system.

- - -

Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation, including malicious code protection software, host monitoring, and network monitoring, can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the utility of information generated by those tools and mechanisms can help organizations to develop, operate, and maintain effective monitoring programs. Correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).

- - - - Integrated Situational Awareness - SI-4(17) - SI-04(17) - AU-16 - PE-6 - -

Correlate information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.

- - -

Correlating monitoring information from a more diverse set of information sources helps to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4(16) that correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.

- - - - Analyze Traffic and Covert Exfiltration - - - - SI-4(18) - SI-04(18) - -

Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: .

- - -

Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography.

- - - - Risk for Individuals - - - - - - - SI-4(19) - SI-04(19) - -

Implement of individuals who have been identified by as posing an increased level of risk.

- - -

Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with management, legal, security, privacy and human resource officials conducting such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

- - - - Privileged Users - - - - SI-4(20) - SI-04(20) - AC-18 - -

Implement the following additional monitoring of privileged users: .

- - -

Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions.

- - - - Probationary Periods - - - - - - - SI-4(21) - SI-04(21) - AC-18 - -

Implement the following additional monitoring of individuals during : .

- - -

During probationary periods, employees do not have permanent employment status within organizations. Without such status and having access to information that is resident on the system, additional monitoring can help identify any potentially malicious activity or inappropriate behavior.

- - - - Unauthorized Network Services - - - - - - - - - - SI-4(22) - SI-04(22) - CM-7 - - - (a) -

Detect network services that have not been authorized or approved by ; and

- - - (b) -

- when detected.

- - - -

Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.

- - - - Host-based Devices - - - - - - - SI-4(23) - SI-04(23) - AC-18 - AC-19 - -

Implement the following host-based monitoring mechanisms at : .

- - -

System components where host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors.

- - - - Indicators of Compromise - - - - - - - SI-4(24) - SI-04(24) - AC-18 - -

Discover, collect, and distribute to , indicators of compromise provided by .

- - -

Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational systems at the host or network level. IOCs provide valuable information on systems that have been compromised. IOCs can include the creation of registry key values. IOCs for network traffic include Universal Resource Locator or protocol elements that indicate malicious code command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that systems and organizations are vulnerable to the same exploit or attack. Threat indicators, signatures, tactics, techniques and procedures, and other indicators of compromise may be available via government and non-government cooperatives including Forum of Incident Response and Security Teams, United States Computer Emergency Readiness Team, Defense Industrial Base Cybersecurity Information Sharing Program, and CERT Coordination Center.

- - - - Optimize Network Traffic Analysis - SI-4(25) - SI-04(25) - -

Provide visibility into network traffic at external and key internal system boundaries to optimize the effectiveness of monitoring devices.

- - -

Encrypted traffic, asymmetric routing architectures, capacity and latency limitations, and transitioning from older to newer technologies (e.g., IPv4 to IPv6 network protocol transition), may result in blind spots for organizations when analyzing network traffic. Collecting, decrypting, pre-processing and distributing only relevant traffic to monitoring devices can streamline efficiency and use of the devices and optimize traffic analysis.

- - - - - Security Alerts, Advisories, and Directives - - - - - - - - - - - - - - - - SI-5 - SI-05 - [SP 800-40] - PM-15 - RA-5 - SI-2 - - - a. -

Receive system security alerts, advisories, and directives from on an ongoing basis;

- - - b. -

Generate internal security alerts, advisories, and directives as deemed necessary;

- - - c. -

Disseminate security alerts, advisories, and directives to: ; and

- - - d. -

Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance.

- - - -

The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations.

- - - Automated Alerts and Advisories - - - - SI-5(1) - SI-05(01) - -

Broadcast security alert and advisory information throughout the organization using .

- - -

The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of information security and privacy risk, including the governance level, mission and business process level, and the information system level.

- - - - - Security and Privacy Function Verification - - - - - - - - - - - - - - - - - - - - - - SI-6 - SI-06 - [OMB A-130] - CA-7 - CM-4 - CM-6 - SI-7 - - - a. -

Verify the correct operation of ;

- - - b. -

Perform the verification of the functions specified in SI-6a ;

- - - c. -

Notify of failed security and privacy verification tests; and

- - - d. -

- when anomalies are discovered.

- - - -

Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy, or that privacy attributes are applied or used as expected.

- - - Notification of Failed Security Tests - SI-6(1) - Withdrawn - SI-06(01) - SI-6 - - - Automation Support for Distributed Testing - SI-6(2) - SI-06(02) - SI-2 - -

Implement automated mechanisms to support the management of distributed security and privacy function testing.

- - -

The use of automated mechanisms to support the management of distributed function testing helps to ensure the integrity, timeliness, completeness, and efficacy of such testing.

- - - - Report Verification Results - - - - SI-6(3) - SI-06(03) - SI-4 - SR-4 - SR-5 - -

Report the results of security and privacy function verification to .

- - -

Organizational personnel with potential interest in the results of the verification of security and privacy function include systems security officers, senior agency information security officers, and senior agency officials for privacy.

- - - - - Software, Firmware, and Information Integrity - - - - - - - SI-7 - SI-07 - [OMB A-130] - [FIPS 140-3] - [FIPS 180-4] - [FIPS 186-4] - [FIPS 202] - [SP 800-70] - [SP 800-147] - AC-4 - CM-3 - CM-7 - CM-8 - MA-3 - MA-4 - RA-5 - SA-8 - SA-9 - SA-10 - SC-8 - SC-12 - SC-13 - SC-28 - SC-37 - SI-3 - SR-3 - SR-4 - SR-5 - SR-6 - SR-9 - SR-10 - SR-11 - - - a. -

Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: ; and

- - - b. -

Take the following actions when unauthorized changes to the software, firmware, and information are detected: .

- - - -

Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes the Basic Input Output System (BIOS). Information includes personally identifiable information and metadata containing security and privacy attributes associated with information. Integrity-checking mechanisms, including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools can automatically monitor the integrity of systems and hosted applications.

- - - Integrity Checks - - - - - - - - - - - - - SI-7(1) - SI-07(01) - -

Perform an integrity check of - .

- - -

Security-relevant events include the identification of a new threat to which organizational systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort.

- - - - Automated Notifications of Integrity Violations - - - - SI-7(2) - SI-07(02) - -

Employ automated tools that provide notification to upon discovering discrepancies during integrity verification.

- - -

The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel having an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, systems administrators, software developers, systems integrators, and information security officers, and privacy officers.

- - - - Centrally-managed Integrity Tools - SI-7(3) - SI-07(03) - AU-3 - SI-2 - SI-8 - -

Employ centrally managed integrity verification tools.

- - -

Centrally-managed integrity verification tools provides greater consistency in the application of such tools and can facilitate more comprehensive coverage of integrity verification actions.

- - - - Tamper-evident Packaging - SI-7(4) - Withdrawn - SI-07(04) - SR-9 - - - Automated Response to Integrity Violations - - - - - - - SI-7(5) - SI-07(05) - -

Automatically when integrity violations are discovered.

- - -

Organizations may define different integrity checking responses by type of information, by specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur.

- - - - Cryptographic Protection - SI-7(6) - SI-07(06) - SC-12 - SC-13 - -

Implement cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.

- - -

Cryptographic mechanisms used to protect integrity include digital signatures and the computation and application of signed hashes using asymmetric cryptography; protecting the confidentiality of the key used to generate the hash; and using the public key to verify the hash information. Organizations employing cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13).

- - - - Integration of Detection and Response - - - - SI-7(7) - SI-07(07) - AU-2 - AU-6 - IR-4 - IR-5 - SI-4 - -

Incorporate the detection of the following unauthorized changes into the organizational incident response capability: .

- - -

This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended time-period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or unauthorized elevation of system privileges.

- - - - Auditing Capability for Significant Events - - - - - - - - - - SI-7(8) - SI-07(08) - AU-2 - AU-6 - AU-12 - -

Upon detection of a potential integrity violation, provide the capability to audit the event and initiate the following actions: .

- - -

Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.

- - - - Verify Boot Process - - - - SI-7(9) - SI-07(09) - SI-6 - -

Verify the integrity of the boot process of the following system components: .

- - -

Ensuring the integrity of boot processes is critical to starting system components in known, trustworthy states. Integrity verification mechanisms provide a level of assurance that only trusted code is executed during boot processes.

- - - - Protection of Boot Firmware - - - - - - - SI-7(10) - SI-07(10) - SI-6 - -

Implement the following mechanisms to protect the integrity of boot firmware in : .

- - -

Unauthorized modifications to boot firmware may indicate a sophisticated, targeted attack. These types of targeted attacks can result in a permanent denial of service or a persistent malicious code presence. These situations can occur, for example, if the firmware is corrupted or if the malicious code is embedded within the firmware. System components can protect the integrity of boot firmware in organizational systems by verifying the integrity and authenticity of all updates to the firmware prior to applying changes to the system component; and preventing unauthorized processes from modifying the boot firmware.

- - - - Confined Environments with Limited Privileges - SI-7(11) - Withdrawn - SI-07(11) - CM-7(6) - - - Integrity Verification - - - - SI-7(12) - SI-07(12) - CM-11 - -

Require that the integrity of the following user-installed software be verified prior to execution: .

- - -

Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or executing code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity, including availability of checksums of adequate trustworthiness from software developers or vendors.

- - - - Code Execution in Protected Environments - SI-7(13) - Withdrawn - SI-07(13) - CM-7(7) - - - Binary or Machine Executable Code - SI-7(14) - Withdrawn - SI-07(14) - CM-7(8) - - - Code Authentication - - - - SI-7(15) - SI-07(15) - CM-5 - -

Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: .

- - -

Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations employing cryptographic mechanisms also consider cryptographic key management solutions (see SC-12 and SC-13).

- - - - Time Limit on Process Execution Without Supervision - - - - SI-7(16) - SI-07(16) - -

Prohibit processes from executing without supervision for more than .

- - -

This control enhancement addresses processes for which typical or normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes timers on operating systems, automated responses, or manual oversight and response when system process anomalies occur.

- - - - Runtime Application Self-protection - - - - SI-7(17) - SI-07(17) - SI-16 - -

Implement for application self-protection at runtime.

- - -

This control enhancement employs runtime instrumentation to detect and block the exploitation of software vulnerabilities by taking advantage of information from the software in execution. Runtime exploit prevention differs from traditional perimeter-based protections such as guards and firewalls, that can only detect and block attacks by using network information without contextual awareness. Runtime application self-protection technology can reduce the susceptibility of software to attacks by monitoring its inputs, and blocking those inputs that could allow attacks. It can also help protect the runtime environment from unwanted changes and tampering. When a threat is detected, runtime application self-protection technology can prevent exploitation and take other actions (e.g., sending a warning message to the user, terminating the user's session, terminating the application, or sending an alert to organizational personnel). Runtime application self-protection solutions can be deployed in either a monitor or protection mode.

- - - - - Spam Protection - SI-8 - SI-08 - [SP 800-45] - [SP 800-177] - SC-5 - SC-7 - SC-38 - SI-3 - SI-4 - - - a. -

Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and

- - - b. -

Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

- - - -

System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions.

- - - Central Management - SI-8(1) - SI-08(01) - AU-3 - CM-6 - SI-2 - SI-7 - -

Centrally manage spam protection mechanisms.

- - -

Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection controls.

- - - - Automatic Updates - - - - SI-8(2) - SI-08(02) - -

Automatically update spam protection mechanisms .

- - -

Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capability.

- - - - Continuous Learning Capability - SI-8(3) - SI-08(03) - -

Implement spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.

- - -

Learning mechanisms include Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.

- - - - - Information Input Restrictions - SI-9 - Withdrawn - SI-09 - AC-2 - AC-3 - AC-5 - AC-6 - - - Information Input Validation - - - - SI-10 - SI-10 - [OMB A-130, Appendix II] - -

Check the validity of the following information inputs: .

- - -

Checking the valid syntax and semantics of system inputs, including character set, length, numerical range, and acceptable values, verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of 387, abc, or %K% are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.

- - - Manual Override Capability - - - - - - - SI-10(1) - SI-10(01) - AC-3 - AU-2 - AU-12 - - - (a) -

Provide a manual override capability for input validation of the following information inputs: ;

- - - (b) -

Restrict the use of the manual override capability to only ; and

- - - (c) -

Audit the use of the manual override capability.

- - - -

In certain situations, for example, during events that are defined in contingency plans, a manual override capability for input validation may be needed. Manual overrides are used only in limited circumstances and with the inputs defined by the organization.

- - - - Review and Resolve Errors - - - - SI-10(2) - SI-10(02) - -

Review and resolve input validation errors within .

- - -

Resolution of input validation errors includes correcting systemic causes of errors and resubmitting transactions with corrected input.

- - - - Predictable Behavior - SI-10(3) - SI-10(03) - -

Verify that the system behaves in a predictable and documented manner when invalid inputs are received.

- - -

A common vulnerability in organizational systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior when the system receives invalid inputs by specifying system responses that allow the system to transition to known states without adverse, unintended side effects. The invalid inputs are those inputs related to the information inputs defined by the organization in the base control.

- - - - Timing Interactions - SI-10(4) - SI-10(04) - -

Account for timing interactions among system components in determining appropriate responses for invalid inputs.

- - -

In addressing invalid system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols in the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to noise or collisions on the link. If TCP makes a congestion response, it takes the wrong action in response to a collision event. Adversaries may be able to use what appears to be acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.

- - - - Restrict Inputs to Trusted Sources and Approved Formats - - - - - - - SI-10(5) - SI-10(05) - AC-3 - AC-6 - -

Restrict the use of information inputs to and/or .

- - -

This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.

- - - - Injection Prevention - SI-10(6) - SI-10(06) - AC-3 - AC-6 - -

Prevent untrusted data injections.

- - -

Untrusted data injections may be prevented using, for example, a parameterized interface or output escaping (output encoding). Parameterized interfaces separate data from code so injections of malicious or unintended data cannot change the semantics of the command being sent. Output escaping uses specified characters to inform the interpreter’s parser whether data is trusted.

- - - - - Error Handling - - - - SI-11 - SI-11 - AU-2 - AU-3 - SC-31 - SI-2 - - - a. -

Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and

- - - b. -

Reveal error messages only to .

- - - -

Organizations consider the structure and the content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information.

- - - - Information Management and Retention - SI-12 - SI-12 - [OMB A-130, Appendix II] - AC-1 - AT-1 - AU-1 - CA-1 - CM-1 - CP-1 - IA-1 - IR-1 - MA-1 - MP-1 - PE-1 - PL-1 - PM-1 - PS-1 - PT-1 - RA-1 - SA-1 - SC-1 - SI-1 - SR-1 - AC-16 - AU-5 - AU-11 - CA-2 - CA-3 - CA-5 - CA-6 - CA-7 - CA-9 - CM-5 - CM-9 - CP-2 - IR-8 - MP-2 - MP-3 - MP-4 - MP-6 - PL-2 - PL-4 - PM-4 - PM-8 - PM-9 - PS-2 - PS-6 - PT-1 - PT-2 - PT-3 - RA-2 - RA-3 - SA-5 - SR-1 - -

Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.

- - -

Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention. If organizations have a records management office, consider coordinating with records management personnel.

- - - Limit Personally Identifiable Information Elements - - - - SI-12(1) - SI-12(01) - PM-25 - PT-2 - PT-3 - RA-3 - -

Limit personally identifiable information being processed in the information life cycle to the following elements of PII: .

- - -

Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for operational purposes helps to reduce the level of privacy risk created by a system. The information life cycle includes information creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining which elements of personally identifiable information may create risk.

- - - - Minimize Personally Identifiable Information in Testing, Training, and Research - - - - SI-12(2) - SI-12(02) - PM-22 - PM-25 - SI-19 - -

Use the following techniques to minimize the use of personally identifiable information for research, testing, or training: .

- - -

Organizations can minimize the risk to an individual’s privacy by employing techniques such as de-identification or synthetic data. Limiting the use of personally identifiable information throughout the information life cycle when the information is not needed for research, testing, or training helps reduce the level of privacy risk created by a system. Risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to determining the techniques to use and when to use them.

- - - - Information Disposal - - - - SI-12(3) - SI-12(03) - MP-6 - -

Use the following techniques to dispose of, destroy, or erase information following the retention period: .

- - -

Organizations can minimize both security and privacy risks by disposing of information when it is no longer needed. Disposal or destruction of information applies to originals as well as copies and archived records, including system logs that may contain personally identifiable information.

- - - - - Predictable Failure Prevention - - - - - - - SI-13 - SI-13 - CP-2 - CP-10 - CP-13 - MA-2 - MA-6 - SA-8 - SC-6 - - - a. -

Determine mean time to failure (MTTF) for the following system components in specific environments of operation: ; and

- - - b. -

Provide substitute system components and a means to exchange active and standby components in accordance with the following criteria: .

- - - -

While MTTF is primarily a reliability issue, this control addresses potential failures of system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define the criteria for substitution of system components based on the MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability. This includes preservation of system state variables. Standby components remain available at all times except for maintenance issues or recovery failures in progress.

- - - Transferring Component Responsibilities - - - - SI-13(1) - SI-13(01) - -

Take system components out of service by transferring component responsibilities to substitute components no later than of mean time to failure.

- - -

Transferring primary system component responsibilities to other substitute components prior to primary component failure is important to reduce the risk of degraded or debilitated mission or business operations. Making such transfers based on a percentage of mean time to failure allows organizations to be proactive based on their risk tolerance. However, premature replacement of system components can result in increased cost of system operations.

- - - - Time Limit on Process Execution Without Supervision - SI-13(2) - Withdrawn - SI-13(02) - SI-7(16) - - - Manual Transfer Between Components - - - - SI-13(3) - SI-13(03) - -

Manually initiate transfers between active and standby system components when the use of the active component reaches of the mean time to failure.

- - -

For example, if the MTTF for a system component is one hundred days and the organization-defined percentage is ninety percent, the manual transfer would occur after ninety days.

- - - - Standby Component Installation and Notification - - - - - - - - - - - - - SI-13(4) - SI-13(04) - -

If system component failures are detected:

- - (a) -

Ensure that the standby components are successfully and transparently installed within ; and

- - - (b) -

- .

- - - -

Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.

- - - - Failover Capability - - - - - - - SI-13(5) - SI-13(05) - CP-6 - CP-7 - CP-9 - -

Provide - for the system.

- - -

Failover refers to the automatic switchover to an alternate system upon the failure of the primary system. Failover capability includes incorporating mirrored system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time-periods of organizations.

- - - - - Non-persistence - - - - - - - - - - SI-14 - SI-14 - SC-30 - SC-34 - SI-21 - -

Implement non-persistent that are initiated in a known state and terminated .

- - -

This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete attacks. By implementing the concept of non-persistence for selected system components, organizations can provide a known state computing resource for a specific time-period that does not give adversaries sufficient time to exploit vulnerabilities in organizational systems and the environments in which those systems operate. Since the APT is a high-end, sophisticated threat regarding capability, intent, and targeting, organizations assume that over an extended period, a percentage of attacks will be successful. Non-persistent system components and services are activated as required using protected information and terminated periodically or at the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational systems. -Non-persistence can be achieved by refreshing system components by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented by using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent). The benefit of periodic refreshes of system components and services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult to determine). The refresh of selected system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the system unstable. Refreshes of critical components and services may be done periodically to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.

- - - Refresh from Trusted Sources - - - - SI-14(1) - SI-14(01) - -

Obtain software and data employed during system component and service refreshes from the following trusted sources: .

- - -

Trusted sources include software and data from write-once, read-only media or from selected off-line secure storage facilities.

- - - - Non-persistent Information - - - - - - - - - - - - - SI-14(2) - SI-14(02) - - - (a) -

- ; and

- - - (b) -

Delete information when no longer needed.

- - - -

Retaining information longer than it is needed makes the information a potential target for advanced adversaries searching for high value assets to compromise through unauthorized disclosure, unauthorized modification, or exfiltration. For system-related information, unnecessary retention provides advanced adversaries information that can assist in their reconnaissance and lateral movement through the system.

- - - - Non-persistent Connectivity - - - - SI-14(3) - SI-14(03) - SC-10 - -

Establish connections to the system on demand and terminate connections after .

- - -

Persistent connections to systems can provide advanced adversaries with paths to move laterally through systems, and potentially position themselves closer to high value assets. Limiting the availability of such connections impedes the adversary’s ability to move freely organizational systems.

- - - - - Information Output Filtering - - - - SI-15 - SI-15 - SI-3 - SI-4 - -

Validate information output from the following software programs and/or applications to ensure that the information is consistent with the expected content: .

- - -

Certain types of attacks, including SQL injections, produce output results that are unexpected or inconsistent with the output results that would be expected from software programs or applications. Information output filtering focuses on detecting extraneous content, preventing such extraneous content from being displayed, and then alerting monitoring tools that anomalous behavior has been discovered.

- - - - Memory Protection - - - - SI-16 - SI-16 - AC-25 - SC-3 - -

Implement the following controls to protect the system memory from unauthorized code execution: .

- - -

Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism.

- - - - Fail-safe Procedures - - - - SI-17 - SI-17 - CP-12 - CP-13 - SC-24 - SI-13 - -

Implement the indicated fail-safe procedures when the indicated failures occur: .

- - -

Failure conditions include loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include alerting operator personnel and providing specific instructions on subsequent steps to take. These steps include doing nothing, reestablishing system settings, shutting down processes, restarting the system, or contacting designated organizational personnel.

- - - - Personally Identifiable Information Quality Operations - - - - SI-18 - SI-18 - [SP 800-188] - PM-22 - PM-24 - SI-4 - - - a. -

Check the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle ; and

- - - b. -

Correct or delete inaccurate or outdated personally identifiable information.

- - - -

Personally identifiable information quality operations include the steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposal of personally identifiable information. Personally identifiable information quality operations include editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. Checking personally identifiable information quality includes the tracking of updates or changes to data over time, which enables organizations to know how and what personally identifiable information was changed should erroneous information be identified. The measures taken to protect personally identifiable information quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, and potential de-identification methods employed. The measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals covered under federal programs may be more comprehensive than the measures used to validate personally identifiable information used for less sensitive purposes.

- - - Automation - - - - SI-18(1) - SI-18(01) - PM-18 - PM-22 - RA-8 - -

Correct or delete personally identifiable information that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified using .

- - -

The use of automated mechanisms to improve data quality may inadvertently create privacy risks. Automated tools may connect to external or otherwise unrelated systems, and the matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan. -As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated mechanisms can augment existing data quality processes and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve auditing of data and detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. Automated capabilities backstop processes and procedures at-scale and enable more fine-grained detection and correction of data quality errors.

- - - - Data Tags - SI-18(2) - SI-18(02) - SC-16 - -

Employ data tags to automate the correction or deletion of personally identifiable information across the information life cycle within organizational systems.

- - -

Data tagging personally identifiable information includes tags noting processing permissions, authority to process, de-identification, impact level, information life cycle stage, and retention or last updated dates. Employing data tags for personally identifiable information can support the use of automation tools to correct or delete relevant personally identifiable information.

- - - - Collection - SI-18(3) - SI-18(03) - -

Collect personally identifiable information directly from the individual.

- - -

Individuals, or their designated representatives, can be a source of correct personally identifiable information about themselves. Organizations consider contextual factors that may incentivize individuals to provide correct data versus providing false data. Additional steps may be necessary to validate collected information based on the nature and context of the personally identifiable information, how it is to be used, and how it was obtained. Measures taken to validate the accuracy of personally identifiable information used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information.

- - - - Individual Requests - SI-18(4) - SI-18(04) - PM-22 - -

Correct or delete personally identifiable information upon request by individuals or their designated representatives.

- - -

Inaccurate personally identifiable information maintained by organizations may cause problems for individuals, especially in those business functions where inaccurate information may result in inappropriate decisions or the denial of benefits and services to individuals. Even correct information, in certain circumstances, can cause problems for individuals that outweigh the benefits of an organization maintaining the information. Organizations use discretion in determining if personally identifiable information is to be corrected or deleted, based on the scope of requests, the changes sought, the impact of the changes, and applicable laws, regulations, and policies. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding appropriate instances of correction or deletion.

- - - - Notice of Collection or Deletion - - - - SI-18(5) - SI-18(05) - -

Notify and individuals that the personally identifiable information has been corrected or deleted.

- - -

When personally identifiable information is corrected or deleted, organizations take steps to ensure that all authorized recipients of such information, and the individual with which the information is associated or their designated representative, are informed of the corrected or deleted information.

- - - - - De-identification - - - - - - - SI-19 - SI-19 - [OMB A-130, Appendix II] - [SP 800-188] - MP-6 - PM-22 - PM-23 - PM-24 - RA-2 - SI-12 - - - a. -

Remove the following elements of personally identifiable information from datasets: ; and

- - - b. -

Evaluate for effectiveness of de-identification.

- - - -

De-identification is the general term for the process of removing the association between a set of identifying data and the data subject. Many datasets contain information about individuals that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother’s maiden name, or biometric records. Datasets may also contain other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information. Personally identifiable information is removed from datasets by trained individuals when such information is not (or no longer) necessary to satisfy the requirements envisioned for the data. For example, if the dataset is only used to produce aggregate statistics, the identifiers that are not needed for producing those statistics are removed. Removing identifiers improves privacy protection, since information that is removed cannot be inadvertently disclosed or improperly used. Organizations may be subject to specific de-identification definitions or methods under applicable laws, regulations, or policies. Re-identification is a residual risk with de-identified data. Re-identification attacks can vary including combining new datasets or other improvements in data analytics. Maintaining awareness of potential attacks and evaluating for the effectiveness of the de-identification over time supports management of this residual risk.

- - - Collection - SI-19(1) - SI-19(01) - -

De-identify the dataset upon collection by not collecting personally identifiable information.

- - -

If a data source contains personally identifiable information but the information will not be used, the dataset can be de-identified upon creation by not collecting the data elements containing the personally identifiable information. For example, if an organization does not intend to use the social security number of an applicant, then application forms do not ask for a social security number.

- - - - Archiving - SI-19(2) - SI-19(02) - -

Prohibit archiving of personally identifiable information elements if those elements in a dataset will not be needed after the dataset is archived.

- - -

Datasets can be archived for many reasons. The envisioned purposes for the archived dataset are specified and if personally identifiable information elements are not required, the elements are not archived. For example, social security numbers may have been collected for record linkage, but the archived dataset may include the required elements from the linked records. In this case, it is not necessary to archive the social security numbers.

- - - - Release - SI-19(3) - SI-19(03) - -

Remove personally identifiable information elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.

- - -

Prior to releasing a dataset, a data custodian considers the intended uses of the dataset and determines if it is necessary to release personally identifiable information. If the personally identifiable information is not necessary, the information can be removed using de-identification techniques.

- - - - Removal, Masking, Encryption, Hashing, or Replacement of Direct Identifiers - SI-19(4) - SI-19(04) - SC-12 - SC-13 - -

Remove, mask, encrypt, hash, or replace direct identifiers in a dataset.

- - -

There are many possible processes for removing direct identifiers from a dataset. Columns in a dataset that contain a direct identifier can be removed. In masking, the direct identifier is transformed into a repeating character, for example, XXXXXX or 999999. Identifiers can be encrypted or hashed, so that the linked records remain linked. In the case of encryption or hashing, algorithms are employed that require the use of a key, including the Advanced Encryption Standard or a Hash-based Message Authentication Code. Implementations may use the same key for all identifiers or use a different key for each identifier. Using a different key for each identifier provides for a higher degree of security and privacy. Identifiers can alternatively be replaced with a keyword, including transforming “George Washington” to “PATIENT,” or replaced with a surrogate value, for example, transforming “George Washington” to “Abraham Polk.”

- - - - Statistical Disclosure Control - SI-19(5) - SI-19(05) - -

Manipulate numerical data, contingency tables, and statistical findings so that no person or organization is identifiable in the results of the analysis.

- - -

Many types of statistical analyses can result in the disclosure of information about individuals even if only summary information is provided. For example, if a school publishes a monthly table with the number of minority students, and in January the school reports that it has 10-19 such students, but in March it reports that it has 20-29 students, then it can be inferred that the student who enrolled in February was a minority.

- - - - Differential Privacy - SI-19(6) - SI-19(06) - SC-12 - SC-13 - -

Prevent disclosure of personally identifiable information by adding non-deterministic noise to the results of mathematical operations before the results are reported.

- - -

The mathematical definition for differential privacy holds that the result of a dataset analysis should be approximately the same before and after the addition or removal of a single data record (which is assumed to be the data from a single individual). In its most basic form, differential privacy applies only to online query systems. However, it can also be used to produce machine-learning statistical classifiers and synthetic data. Differential privacy comes at the cost of decreased accuracy of results, forcing organizations to quantify the trade-off between privacy protection and the overall accuracy, usefulness, and utility of the de-identified dataset. Non-deterministic noise can include adding small random values to the results of mathematical operations in dataset analysis.

- - - - Validated Software - SI-19(7) - SI-19(07) - -

Perform de-identification using validated algorithms and software that is validated to implement the algorithms.

- - -

Algorithms that appear to remove personally identifiable information from a dataset may in fact leave information that is personally identifiable or data that are re-identifiable. Software that is claimed to implement a validated algorithm may contain bugs or may implement a different algorithm. Software may de-identify one type of data, for example, integers, but not another type of data, for example, floating point numbers. For these reasons, de-identification is performed using algorithms and software that are validated.

- - - - Motivated Intruder - SI-19(8) - SI-19(08) - -

Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.

- - -

A motivated intruder test is a test in which a person or group takes a data release and specified resources and attempts to re-identify one or more individuals in the de-identified dataset. Such tests specify the amount of inside knowledge, computational resources, financial resources, data, and skills that intruders have at their disposal to conduct the tests. A motivated intruder test can determine if de-identification is insufficient. It can also be a useful diagnostic tool to assess if de-identification is likely to be sufficient. However, the test alone cannot prove that de-identification is sufficient.

- - - - - Tainting - - - - SI-20 - SI-20 - [OMB A-130, Appendix II] - [SP 800-160 v2] - -

Embed data or capabilities in the following systems or system components to determine if organizational data has been exfiltrated or improperly removed from the organization: .

- - -

Many cyber-attacks target organizational information (or sensitive information the organization holds on behalf of other entities (e.g., personally identifiable information) and exfiltrate that data. In addition, insider attacks and erroneous user procedures can remove information from the system in violation of the organizational policies. Tainting approaches can range from passive to active. A passive tainting approach can be as simple as adding false email names and addresses to an internal database. If the organization receives email at one of the false email addresses, it knows that the database has been compromised. Moreover, the organization knows that the email was sent by an unauthorized entity so any packets it includes potentially contain malicious code and that the unauthorized entity potentially has obtained a copy of the database. A less passive tainting approach can include embedding false data or steganographic data in files to enable the data to be found via open source analysis. And finally, an active tainting approach can include embedding software in the data that is able to “call home” alerting the organization to its “capture” and possibly its location and the path by which it was exfiltrated or removed.

- - - - Information Refresh - - - - - - - SI-21 - SI-21 - [OMB A-130] - [SP 800-160 v2] - SI-14 - -

Refresh at or generate the information on demand and delete the information when no longer needed.

- - -

Retaining critical or sensitive information (e.g., classified information or controlled unclassified information) for longer than it is needed makes it an increasing valuable and enticing target for adversaries. Keeping such information available for the minimum period of time needed for mission accomplishment reduces the opportunity for adversaries to compromise, capture, and exfiltrate that information.

- - - - Information Diversity - - - - - - - - - - SI-22 - SI-22 - [SP 800-160 v2] - - - a. -

Identify the following alternative sources of information for : ; and

- - - b. -

Use an alternative information source for the execution of essential functions or services on when the primary source of information is corrupted or unavailable.

- - - -

Actions taken by a system service or a function are often driven by the information it receives. Corruption, fabrication, modification, or deletion of that information could impact the ability of the service function to properly carry out its intended actions. By having multiple sources of input, the service or function can continue operation if one source is corrupted or no longer available. It is possible that the alternative sources of information may be less precise or less accurate than the primary source of information. But having such sub-optimal information sources may still provide a sufficient level of quality that the essential service or function can be carried out, even in a degraded or debilitated manner.

- - - - Information Fragmentation - - - - - - - - - - SI-23 - SI-23 - [SP 800-160 v2] - -

Based on :

- - a. -

Fragment the following information: ; and

- - - b. -

Distribute the fragmented information across the following systems or system components: .

- - - -

One major objective of the advanced persistent threat is to exfiltrate sensitive and valuable information. Once exfiltrated, there is generally no way for the organization to recover the lost information. Therefore, organizations may consider taking the information and dividing it into disparate elements and then distributing those elements across multiple systems or system components and locations. Such actions will increase the adversary’s work factor to capture and exfiltrate the desired information and in so doing, increase the probability of detection. The fragmentation of information also impacts the organization’s ability to access the information in a timely manner. The extent of the fragmentation would likely be dictated by the sensitivity (and value) of the information, threat intelligence information received, and if data tainting is used (i.e., data tainting derived information about exfiltration of some information could result in the fragmentation of the remaining information).

- - - - - Supply Chain Risk Management - - Policy and Procedures - - - - - - - - - - - - - - - - SR-1 - SR-01 - [SP 800-12] - [SP 800-30] - [SP 800-39] - [SP 800-100] - [SP 800-161] - PM-9 - PM-30 - PS-8 - SI-12 - - - a. -

Develop, document, and disseminate to :

- - 1. -

- supply chain risk management policy that:

- - (a) -

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

- - - (b) -

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

- - - - 2. -

Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;

- - - - b. -

Designate an to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and

- - - c. -

Review and update the current supply chain risk management:

- - 1. -

Policy ; and

- - - 2. -

Procedures .

- - - - -

This control addresses policy and procedures for the controls in the SR family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures help provide security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Restating controls does not constitute an organizational policy or procedure.

- - - - Supply Chain Risk Management Plan - - - - - - - SR-2 - SR-02 - [SP 800-30] - [SP 800-39] - [SP 800-160 v1] - [SP 800-161] - [IR 7622] - CA-2 - CP-4 - IR-4 - MA-2 - MA-6 - PE-16 - PL-2 - PM-9 - PM-30 - RA-3 - RA-7 - SA-8 - - - a. -

Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations, and disposal of the following systems, system components or system services: ;

- - - b. -

Implement the supply chain risk management plan consistently across the organization; and

- - - c. -

Review and update the supply chain risk management plan or as required, to address threat, organizational or environmental changes.

- - - -

The growing dependence on products, systems, and services from external providers, along with the nature of the relationships with those providers, present an increasing level of risk to an organization. Specific threat actions that may increase risk include the insertion or use of counterfeits, unauthorized production, tampering, theft, insertion of malicious software and hardware, as well as poor manufacturing and development practices in the supply chain that can create security or privacy risks. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking requiring a coordinated effort across an organization building trust relationships and communicating with both internal and external stakeholders. Supply chain risk management (SCRM) activities involve identifying and assessing risks, determining appropriate mitigating actions, developing SCRM plans to document selected mitigating actions, and monitoring performance against plans. -Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a system is fit for purpose; and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations to focus their resources on the most critical missions and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see SA-8).

- - - Establish Scrm Team - - - - - - - SR-2(1) - SR-02(01) - -

Establish a supply chain risk management team consisting of to lead and support the following SCRM activities: .

- - -

To implement supply chain risk management plans, organizations establish a coordinated team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, and other relevant functions. Members of the SCRM team are involved in the various aspects of the SDLC and collectively, have an awareness of, and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or can be included as part of a general organizational risk management team.

- - - - - Supply Chain Controls and Processes - - - - - - - - - - - - - - - - SR-3 - SR-03 - [SP 800-30] - [SP 800-161] - [IR 7622] - CA-2 - MA-2 - MA-6 - PE-3 - PE-16 - PL-8 - PM-30 - SA-2 - SA-3 - SA-4 - SA-5 - SA-8 - SA-9 - SA-10 - SA-15 - SC-7 - SC-29 - SC-30 - SC-38 - SI-7 - SR-6 - SR-9 - SR-11 - - - a. -

Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of in coordination with ;

- - - b. -

Employ the following supply chain controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: ; and

- - - c. -

Document the selected and implemented supply chain processes and controls in .

- - - -

Supply chain elements include organizations, entities, or tools employed for the development, acquisition, delivery, maintenance, sustainment, or disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain.

- - - Diverse Supply Base - - - - SR-3(1) - SR-03(01) - -

Employ a diverse set of sources for the following system components and services: .

- - -

Diversifying the supply of system, system components and services can reduce the probability that adversaries will successfully identify and target the supply chain, and can reduce the impact of a supply chain event or compromise. Identifying multiple suppliers for replacement components can reduce the probability that the replacement component will become unavailable; employing a diverse set of developers or logistics service providers can reduce the impact of a natural disaster or other supply chain event. Organizations consider designing the system to include diversity of materials and components.

- - - - Limitation of Harm - - - - SR-3(2) - SR-03(02) - -

Employ the following supply chain controls to limit harm from potential adversaries identifying and targeting the organizational supply chain: .

- - -

Controls that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include avoiding the purchase of custom or non-standardized configurations; employing approved vendor lists with standing reputations in industry; following pre-agreed maintenance schedules and update and patch delivery mechanisms; maintaining a contingency plan in case of a supply chain event, and using procurement carve outs that provide exclusions to commitments or obligations, using diverse delivery routes; and minimizing the time between purchase decisions and delivery.

- - - - - Provenance - - - - SR-4 - SR-04 - [SP 800-161] - [IR 7622] - CM-8 - MA-2 - MA-6 - RA-9 - -

Document, monitor, and maintain valid provenance of the following systems, system components, and associated data: .

- - -

Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures (see SR-1) for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and system components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations consider developing methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. Such actions help track, assess, and document changes to the provenance, including changes in supply chain elements or configuration, and help ensure non-repudiation of provenance information and the provenance change records.

- - - Identity - - - - SR-4(1) - SR-04(01) - IA-2 - IA-8 - PE-16 - -

Establish and maintain unique identification of the following supply chain elements, processes, and personnel associated with the identified system and critical system components: .

- - -

Knowing who and what is in the supply chains of organizations is critical to gaining visibility into supply chain activities. Visibility into supply chain activities is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility into supply chains elements, processes, and personnel, it is very difficult for organizations to understand and manage risk, and ultimately reduce the susceptibility to adverse events. Supply chain elements include organizations, entities, or tools used for the development, acquisition, delivery, maintenance and disposal of systems and system components. Supply chain processes include development processes for hardware, software, and firmware; shipping and handling procedures; configuration management tools, techniques, and measures to maintain provenance; personnel and physical security programs; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities related to the secure development, delivery, maintenance, and disposal of a system or system component. Identification methods are sufficient to support an investigation in case of a supply chain change (e.g. if a supply company is purchased), compromise, or event.

- - - - Track and Trace - - - - SR-4(2) - SR-04(02) - IA-2 - IA-8 - PE-16 - PL-2 - -

Establish and maintain unique identification of the following systems and critical system components for tracking through the supply chain: .

- - -

Tracking the unique identification of systems and system components during development and transport activities provides a foundational identity structure for the establishment and maintenance of provenance. For example, system components may be labeled using serial numbers or tagged using radio-frequency identification tags. Labels and tags can help provide better visibility into the provenance of a system or system component. A system or system component may have more than one unique identifier. Identification methods are sufficient to support a forensic investigation after a supply chain compromise or event.

- - - - Validate as Genuine and Not Altered - - - - SR-4(3) - SR-04(03) - AT-3 - SR-9 - SR-10 - SR-11 - -

Employ the following controls to validate that the system or system component received is genuine and has not been altered: .

- - -

For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including optical and nanotechnology tagging; physically unclonable functions; side-channel analysis; cryptographic hash verifications or digital signatures; and visible anti-tamper labels or stickers. Controls can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Organizations may leverage supplier and contractor processes for validating that a system or component is genuine and has not been altered, and for replacing a suspect system or component. Some indications of tampering may be visible and addressable before accepting delivery, including inconsistent packaging, broken seals, and incorrect labels. When a system or system component is suspected of being altered or counterfeit, the supplier, contractor, or original equipment manufacturer may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item. Organizations can provide training to personnel on how to identify suspicious system or component deliveries.

- - - - - Acquisition Strategies, Tools, and Methods - - - - SR-5 - SR-05 - [SP 800-30] - [SP 800-161] - [IR 7622] - AT-3 - SA-2 - SA-3 - SA-4 - SA-5 - SA-8 - SA-9 - SA-10 - SA-15 - SR-6 - SR-9 - SR-10 - SR-11 - -

Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: .

- - -

The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component; using blind or filtered buys; requiring tamper-evident packaging; or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls; promote transparency into their processes and security and privacy practices; provide contract language that addresses the prohibition of tainted or counterfeit components; and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements.

- - - Adequate Supply - - - - - - - SR-5(1) - SR-05(01) - -

Employ the following controls to ensure an adequate supply of : .

- - -

Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Controls to ensure that adequate supplies of critical system components include the use of multiple suppliers throughout the supply chain for the identified critical components; stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally-identical or similar components that may be used, if necessary.

- - - - Assessments Prior to Selection, Acceptance, Modification, or Update - SR-5(2) - SR-05(02) - CA-8 - RA-5 - SA-11 - SI-7 - SR-9 - -

Assess the system, system component, or system service prior to selection, acceptance, modification, or update.

- - -

Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover evidence of tampering, unintentional and intentional vulnerabilities, or evidence of non-compliance with supply chain controls. These include malicious code, malicious processes, defective software, backdoors, and counterfeits. Assessments can include evaluations; design proposal reviews; visual or physical inspection; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, or black box testing; fuzz testing; stress testing; and penetration testing (see SR-6(1)). Evidence generated during assessments is documented for follow-on actions by organizations. The evidence generated during the organizational or independent assessments of supply chain elements may be used to improve supply chain processes and to inform the supply chain risk management process. The evidence can be leveraged in follow-on assessments. Evidence and other documentation may be shared in accordance with organizational agreements.

- - - - - Supplier Reviews - - - - SR-6 - SR-06 - [FIPS 140-3] - [FIPS 180-4] - [FIPS 186-4] - [FIPS 202] - [SP 800-30] - [SP 800-161] - [IR 7622] - SR-3 - SR-5 - -

Review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide .

- - -

A review of supplier risk includes security processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess any subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate to share review results with other organizations in accordance with any applicable inter-organizational agreements or contracts.

- - - Penetration Testing and Analysis - - - - - - - SR-6(1) - SR-06(01) - CA-8 - -

Employ of the following supply chain elements, processes, and actors associated with the system, system component, or system service: .

- - -

Penetration testing and analysis addresses the analysis or testing of the supply chain. Relationships between entities and procedures within the supply chain, including development and delivery, are considered. Supply chain elements include organizations, entities, or tools use for the development, acquisition, deliver, maintenance and disposal of systems, system components, or system services. Supply chain processes include personnel and physical security programs; hardware, software, and firmware development processes; configuration management tools, techniques, and measures to maintain provenance; shipping and handling procedures; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.

- - - - - Supply Chain Operations Security - - - - SR-7 - SR-07 - [SP 800-30] - [SP 800-161] - [IR 7622] - SC-38 - -

Employ the following Operations Security (OPSEC) controls to protect supply chain-related information for the system, system component, or system service: .

- - -

Supply chain OPSEC expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process that includes identifying critical information; analyzing friendly actions related to operations and other activities to identify those actions that can be observed by potential adversaries; determining indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations; implementing safeguards or countermeasures to eliminate or reduce exploitable vulnerabilities and thus risk to an acceptable level; and finally, considering how aggregated information may expose users or specific uses of the supply chain. Supply chain information includes user identities; uses for systems, system components, and system services; supplier identities; security and privacy requirements; system and component configurations; supplier processes; design specifications; and testing and evaluation results. Supply chain OPSEC may require organizations to withhold mission or business information from suppliers and may include the use of intermediaries to hide the end use, or users of systems, system components, or system services.

- - - - Notification Agreements - - - - - - - SR-8 - SR-08 - [SP 800-30] - [SP 800-161] - [IR 7622] - IR-4 - IR-6 - IR-8 - -

Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the .

- - -

The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components, is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.

- - - - Tamper Resistance and Detection - SR-9 - SR-09 - PE-3 - PM-30 - SA-15 - SI-4 - SI-7 - SR-3 - SR-4 - SR-5 - SR-10 - SR-11 - -

Implement a tamper protection program for the system, system component, or system service.

- - -

Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use.

- - - Multiple Stages of System Development Life Cycle - SR-9(1) - SR-09(01) - SA-3 - -

Employ anti-tamper technologies, tools, and techniques during multiple stages in the system development life cycle, including design, development, integration, operations, and maintenance.

- - -

Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage.

- - - - - Inspection of Systems or Components - - - - - - - - - - - - - SR-10 - SR-10 - AT-3 - PM-30 - SI-4 - SI-7 - SR-3 - SR-4 - SR-5 - SR-9 - SR-11 - -

Inspect the following systems or system components to detect tampering: .

- - -

Inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components taken out of organization-controlled areas. Indications of a need for inspection include when individuals return from travel to high-risk locations.

- - - - Component Authenticity - - - - - - - - - - SR-11 - SR-11 - PE-3 - SA-4 - SI-7 - SR-9 - SR-10 - - - a. -

Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and

- - - b. -

Report counterfeit system components to .

- - - -

Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA.

- - - Anti-counterfeit Training - - - - SR-11(1) - SR-11(01) - AT-3 - -

Train to detect counterfeit system components (including hardware, software, and firmware).

- - -

None.

- - - - Configuration Control for Component Service and Repair - - - - SR-11(2) - SR-11(02) - CM-3 - MA-2 - MA-4 - SA-10 - -

Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: .

- - -

None.

- - - - Component Disposal - - - - SR-11(3) - SR-11(03) - MP-6 - -

Dispose of system components using the following techniques and methods: .

- - -

Proper disposal of system components helps to prevent such components from entering the gray market.

- - - - Anti-counterfeit Scanning - - - - SR-11(4) - SR-11(04) - RA-5 - -

Scan for counterfeit system components .

- - -

The type of component determines the type of scanning to be conducted (e.g., web application scanning if the component is a web application).

- - - - - - - [ATOM54] - - Atomic Energy Act (P.L. 107), August 1954. - - - - - [PRIVACT] - - Privacy Act (P.L. 93-579), December 1974. - - - - - [CMPPA] - - Computer Matching and Privacy Protection Act of 1988 (P.L. 100-503), October 1988. - - - - - [EGOV] - - E-Government Act [includes FISMA] (P.L. 107-347), December 2002. - - - - - [EVIDACT] - - Foundations for Evidence-Based Policymaking Act of 2018 (P.L. 115-435), January 2019. - - - - - [FOIA96] - - Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No. 104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996. - - - - - [USA PATRIOT] - - USA Patriot Act (P.L. 107-56), October 2001. - - - - - [EO 13526] - - Executive Order 13526, Classified National Security Information, December 2009. - - - - - [EO 13556] - - Executive Order 13556, Controlled Unclassified Information, November 2010. - - - - - [FISMA] - - Federal Information Security Modernization Act (P.L. 113-283), December 2014. - - - - - [EO 13587] - - Executive Order 13587, Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information, October 2011. - - - - - [EO 13636] - - Executive Order 13636, Improving Critical Infrastructure Cybersecurity, February 2013. - - - - - [EO 13800] - - Executive Order 13800, Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure, May 2017. - - - - - [USC 552] - - United States Code, 2006 Edition, Supplement 4, Title 5 - Government Organization and Employees, January 2011. - - - - - [HSPD 7] - - Homeland Security Presidential Directive 7, Critical Infrastructure Identification, Prioritization, and Protection, December 2003. - - - - - [HSPD 12] - - Homeland Security Presidential Directive 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 2004. - - - - - [NITP12] - - Presidential Memorandum for the Heads of Executive Departments and Agencies, National Insider Threat Policy and Minimum Standards for Executive Branch Insider Threat Programs, November 2012. - - - - - [5 CFR 731] - - Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106, Designation of Public Trust Positions and Investigative Requirements(5 C.F.R. 731.106). - - - - - [32 CFR 2002] - - Code of Federal Regulations, Title 32, Controlled Unclassified Information(32 C.F.R 2002). - - - - - [ODNI NITP] - - Office of the Director National Intelligence, National Insider Threat Policy - - - - - - [OMB A-108] - - Office of Management and Budget Memorandum Circular A-108, Federal Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act, December 2016. - - - - - - [OMB A-130] - - Office of Management and Budget Memorandum Circular A-130, Managing Information as a Strategic Resource, July 2016. - - - - - [OMB M-08-05] - - Office of Management and Budget Memorandum M-08-05, Implementation of Trusted Internet Connections (TIC), November 2007. - - - - - - [OMB M-17-06] - - Office of Management and Budget Memorandum M-17-06, Policies for Federal Agency Public Websites and Digital Services, November 2016. - - - - - - [OMB M-17-12] - - Office of Management and Budget Memorandum M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information, January 2017. - - - - - - [OMB M-17-25] - - Office of Management and Budget Memorandum M-17-25, Reporting Guidance for Executive Order on Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure, May 2017. - - - - - - [OMB M-19-03] - - Office of Management and Budget Memorandum M-19-03, Strengthening the Cybersecurity of Federal Agencies by Enhancing the High Value Asset Program, December 2018. - - - - - [OMB M-19-15] - - Office of Management and Budget Memorandum M-19-15, Improving Implementation of the Information Quality Act, April 2019. - - - - - [OMB M-19-23] - - Office of Management and Budget Memorandum M-19-23, Phase 1 Implementation of the Foundations for Evidence-Based Policymaking Act of 2018: Learning Agendas, Personnel, and Planning Guidance, July 2019. - - - - - - [CNSSD 505] - - Committee on National Security Systems Directive No. 505, Supply Chain Risk Management (SCRM), August 2017. - - - - - [CNSSP 22] - - Committee on National Security Systems Policy No. 22, Cybersecurity Risk Management Policy, August 2016. - - - - - [CNSSI 1253] - - Committee on National Security Systems Instruction No. 1253, Security Categorization and Control Selection for National Security Systems, March 2014. - - - - - [CNSSI 4009] - - Committee on National Security Systems Instruction No. 4009, Committee on National Security Systems (CNSS) Glossary, April 2015. - - - - - [DODI 8510.01] - - Department of Defense Instruction 8510.01, Risk Management Framework (RMF) for DoD Information Technology (IT), March 2014. - - - - - [DHS NIPP] - - Department of Homeland Security, National Infrastructure Protection Plan (NIPP), 2009. - - - - - [ISO 15026-1] - - International Organization for Standardization/International Electrotechnical Commission (ISO/IEC) 15026-1:2013, Systems and software engineering -- Systems and software assurance -- Part 1: Concepts and vocabulary, November 2013. - - - - - [ISO 15408-1] - - International Organization for Standardization/International Electrotechnical Commission 15408-1:2009, Information technology—Security techniques— Evaluation criteria for IT security—Part 1: Introduction and general model, April 2017. - - - - - - [ISO 15408-2] - - International Organization for Standardization/International Electrotechnical Commission 15408-2:2008, Information technology—Security techniques— Evaluation criteria for IT security—Part 2: Security functional requirements, April 2017. - - - - - - [ISO 15408-3] - - International Organization for Standardization/International Electrotechnical Commission 15408-3:2008, Information technology—Security techniques— Evaluation criteria for IT security—Part 3: Security assurance requirements, April 2017. - - - - - - [ISO 15288] - - International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 15288:2015, Systems and software engineering—Systems life cycle processes, May 2015. - - - - - [ISO 25237] - - International Organization for Standardization/International Electrotechnical Commission 25237:2017, Health informatics - —Pseudonymization, January 2017. - - - - - - [ISO 28001] - - International Organization for Standardization/International Electrotechnical Commission 28001:2007, Security management systems for the supply chain - —Best practices for implementing supply chain security, assessments and plans—Requirements and guidance, October 2007. - - - - - - [ISO 29100] - - International Organization for Standardization/International Electrotechnical Commission 29100:2011, Information technology - —Security techniques—Privacy framework, December 2011. - - - - - - [ISO 29148] - - International Organization for Standardization/International Electrotechnical Commission/Institute of Electrical and Electronics Engineers (ISO/IEC/IEEE) 29148:2011, Systems and software engineering—Life cycle processes—Requirements engineering, December 2011. - - - - - [FIPS 140-3] - - National Institute of Standards and Technology (2019) Security Requirements for Cryptographic Modules. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 140-3. - - - - - [FIPS 180-4] - - National Institute of Standards and Technology (2015) Secure Hash Standard (SHS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 180-4. - - - - - [FIPS 186-4] - - National Institute of Standards and Technology (2013) Digital Signature Standard (DSS). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 186-4. - - - - - [FIPS 197] - - National Institute of Standards and Technology (2001) Advanced Encryption Standard (AES). (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 197. - - - - - [FIPS 199] - - National Institute of Standards and Technology (2004) Standards for Security Categorization of Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 199. - - - - - [FIPS 200] - - National Institute of Standards and Technology (2006) Minimum Security Requirements for Federal Information and Information Systems. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 200. - - - - - [FIPS 201-2] - - National Institute of Standards and Technology (2013) Personal Identity Verification (PIV) of Federal Employees and Contractors. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 201-2. - - - - - [FIPS 202] - - National Institute of Standards and Technology (2015) SHA-3 Standard: Permutation-Based Hash and Extendable-Output Functions. (U.S. Department of Commerce, Washington, D.C.), Federal Information Processing Standards Publication (FIPS) 202. - - - - - [SP 800-12] - - Nieles M, Pillitteri VY, Dempsey KL (2017) An Introduction to Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-12, Rev. 1. - - - - - - [SP 800-18] - - Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security Plans for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-18, Rev. 1. - - - - - - [SP 800-28] - - Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active Content and Mobile Code. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28, Version 2. - - - - - - [SP 800-30] - - Joint Task Force Transformation Initiative (2012) Guide for Conducting Risk Assessments. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1. - - - - - [SP 800-32] - - Kuhn R, Hu VC, Polk T, Chang S-jH (2001) Introduction to Public Key Technology and the Federal PKI Infrastructure. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-32. - - - - - [SP 800-34] - - Swanson MA, Bowen P, Phillips AW, Gallup D, Lynes D (2010) Contingency Planning Guide for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-34, Rev. 1, Includes updates as of November 11, 2010. - - - - - [SP 800-35] - - Grance T, Hash J, Stevens M, O'Neal K, Bartol N (2003) Guide to Information Technology Security Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-35. - - - - - [SP 800-37] - - Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2. - - - - - [SP 800-39] - - Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39. - - - - - [SP 800-40] - - Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch Management Technologies. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40, Rev. 3. - - - - - [SP 800-41] - - Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall Policy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-41, Rev. 1. - - - - - [SP 800-45] - - Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on Electronic Mail Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45, Version 2. - - - - - [SP 800-46] - - Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework, Remote Access, and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-46, Rev. 2. - - - - - [SP 800-47] - - Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security Guide for Interconnecting Information Technology Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-47. - - - - - [SP 800-50] - - Wilson M, Hash J (2003) Building an Information Technology Security Awareness and Training Program. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-50. - - - - - [SP 800-52] - - McKay KA, Cooper DA (2019) Guidelines for the Selection, Configuration, and Use of Transport Layer Security (TLS) Implementations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 2. - - - - - [SP 800-53A] - - Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014. - - - - - [SP 800-53B] - - National Institute of Standards and Technology Special Publication 800-53B, Control Baselines and Tailoring Guidance for Federal Information Systems and Organizations. Projected for publication in 2020. - - - - [SP 800-55] - - Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W (2008) Performance Measurement Guide for Information Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-55, Rev. 1. - - - - - [SP 800-56A] - - Barker EB, Chen L, Roginsky A, Vassilev A, Davis R (2018) Recommendation for Pair-Wise Key-Establishment Schemes Using Discrete Logarithm Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56A, Rev. 3. - - - - - [SP 800-56B] - - Barker EB, Chen L, Roginsky A, Vassilev A, Davis R, Simon S (2019) Recommendation for Pair-Wise Key-Establishment Using Integer Factorization Cryptography. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56B, Rev. 2. - - - - - [SP 800-56C] - - Barker EB, Chen L, Davis R (2018) Recommendation for Key-Derivation Methods in Key-Establishment Schemes. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-56C, Rev. 1. - - - - - [SP 800-57-1] - - Barker EB (2016) Recommendation for Key Management, Part 1: General. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 4. - - - - - [SP 800-57-2] - - Barker EB, Barker WC (2019) Recommendation for Key Management: Part 2 – Best Practices for Key Management Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 2, Rev. 1. - - - - - [SP 800-57-3] - - Barker EB, Dang QH (2015) Recommendation for Key Management, Part 3: Application-Specific Key Management Guidance. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-57 Part 3, Rev. 1. - - - - - [SP 800-58] - - Kuhn R, Walsh TJ, Fries S (2005) Security Considerations for Voice Over IP Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-58. - - - - - [SP 800-60 v1] - - Stine KM, Kissel RL, Barker WC, Fahlsing J, Gulick J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 1, Rev. 1. - - - - - [SP 800-60 v2] - - Stine KM, Kissel RL, Barker WC, Lee A, Fahlsing J (2008) Guide for Mapping Types of Information and Information Systems to Security Categories: Appendices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-60, Vol. 2, Rev. 1. - - - - - [SP 800-61] - - Cichonski PR, Millar T, Grance T, Scarfone KA (2012) Computer Security Incident Handling Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-61, Rev. 2. - - - - - [SP 800-63-3] - - Grassi PA, Garcia ME, Fenton JL (2017) Digital Identity Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63-3, Includes updates as of March 2, 2020. - - - - - [SP 800-63A] - - Grassi PA, Fenton JL, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK, Theofanos MF (2017) Digital Identity Guidelines: Enrollment and Identity Proofing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-63A, Includes updates as of March 2, 2020. - - - - - [SP 800-70] - - Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National Checklist Program for IT Products: Guidelines for Checklist Users and Developers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4. - - - - - [SP 800-73-4] - - Cooper DA, Ferraiolo H, Mehta KL, Francomacaro S, Chandramouli R, Mohler J (2015) Interfaces for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-73-4, Includes updates as of February 8, 2016. - - - - - [SP 800-76-2] - - Grother PJ, Salamon WJ, Chandramouli R (2013) Biometric Specifications for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-76-2. - - - - - - [SP 800-77] - - Frankel SE, Kent K, Lewkowski R, Orebaugh AD, Ritchey RW, Sharma SR (2005) Guide to IPsec VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77. - - - - - [SP 800-78-4] - - Polk T, Dodson DF, Burr WE, Ferraiolo H, Cooper DA (2015) Cryptographic Algorithms and Key Sizes for Personal Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-78-4. - - - - - - [SP 800-79-2] - - Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Shorter S (2015) Guidelines for the Authorization of Personal Identity Verification Card Issuers (PCI) and Derived PIV Credential Issuers (DPCI). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-79-2. - - - - - - [SP 800-81-2] - - Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS) Deployment Guide. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-81-2. - - - - - - [SP 800-82] - - Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide to Industrial Control Systems (ICS) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-82, Rev. 2. - - - - - [SP 800-83] - - Souppaya MP, Scarfone KA (2013) Guide to Malware Incident Prevention and Handling for Desktops and Laptops. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-83, Rev. 1. - - - - - [SP 800-84] - - Grance T, Nolan T, Burke K, Dudley R, White G, Good T (2006) Guide to Test, Training, and Exercise Programs for IT Plans and Capabilities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-84. - - - - - [SP 800-86] - - Kent K, Chevalier S, Grance T, Dang H (2006) Guide to Integrating Forensic Techniques into Incident Response. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-86. - - - - - [SP 800-88] - - Kissel RL, Regenscheid AR, Scholl MA, Stine KM (2014) Guidelines for Media Sanitization. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-88, Rev. 1. - - - - - [SP 800-92] - - Kent K, Souppaya MP (2006) Guide to Computer Security Log Management. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-92. - - - - - [SP 800-94] - - Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and Prevention Systems (IDPS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94. - - - - - [SP 800-95] - - Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-95. - - - - - [SP 800-97] - - Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-97. - - - - - [SP 800-100] - - Bowen P, Hash J, Wilson M (2006) Information Security Handbook: A Guide for Managers. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-100, Includes updates as of March 7, 2007. - - - - - [SP 800-101] - - Ayers RP, Brothers S, Jansen W (2014) Guidelines on Mobile Device Forensics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-101, Rev. 1. - - - - - - [SP 800-111] - - Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage Encryption Technologies for End User Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-111. - - - - - - [SP 800-113] - - Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL VPNs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-113. - - - - - [SP 800-114] - - Souppaya MP, Scarfone KA (2016) User's Guide to Telework and Bring Your Own Device (BYOD) Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-114, Rev. 1. - - - - - [SP 800-115] - - Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115. - - - - - [SP 800-116] - - Ferraiolo H, Mehta KL, Ghadiali N, Mohler J, Johnson V, Brady S (2018) A Recommendation for the Use of PIV Credentials in Physical Access Control Systems (PACS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-116, Rev. 1. - - - - - [SP 800-121] - - Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R, Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-121, Rev. 2. - - - - - [SP 800-124] - - Souppaya MP, Scarfone KA (2013) Guidelines for Managing the Security of Mobile Devices in the Enterprise. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-124, Rev. 1. - - - - - [SP 800-125B] - - Chandramouli R (2016) Secure Virtual Network Configuration for Virtual Machine (VM) Protection. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-125B. - - - - - [SP 800-126] - - Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018) The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-126, Rev. 3. - - - - - [SP 800-128] - - Johnson LA, Dempsey KL, Ross RS, Gupta S, Bailey D (2011) Guide for Security-Focused Configuration Management of Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-128. - - - - - [SP 800-130] - - Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework for Designing Cryptographic Key Management Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-130. - - - - - [SP 800-137] - - Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137. - - - - - [SP 800-147] - - Cooper DA, Polk T, Regenscheid AR, Souppaya MP (2011) BIOS Protection Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-147. - - - - - [SP 800-150] - - Johnson CS, Waltermire DA, Badger ML, Skorupka C, Snyder J (2016) Guide to Cyber Threat Information Sharing. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-150. - - - - - [SP 800-152] - - Barker EB, Branstad DK, Smid ME (2015) A Profile for U.S. Federal Cryptographic Key Management Systems (CKMS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-152. - - - - - [SP 800-154] - - Souppaya MP, Scarfone KA (2016) Guide to Data-Centric System Threat Modeling. (National Institute of Standards and Technology, Gaithersburg, MD), Draft NIST Special Publication (SP) 800-154. - - - - - [SP 800-156] - - Ferraiolo H, Chandramouli R, Mehta KL, Mohler J, Skordinski S, Brady S (2016) Representation of PIV Chain-of-Trust for Import and Export. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-156. - - - - - [SP 800-160 v1] - - Ross RS, Oren JC, McEvilley M (2016) Systems Security Engineering: Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 1, Includes updates as of March 21, 2018. - - - - - [SP 800-160 v2] - - Ross RS, Pillitteri VY, Graubart R, Bodeau D, McQuaid R (2019) Developing Cyber Resilient Systems: A Systems Security Engineering Approach. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-160, Vol. 2. - - - - - [SP 800-161] - - Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk Management Practices for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-161. - - - - - [SP 800-162] - - Hu VC, Ferraiolo DF, Kuhn R, Schnitzer A, Sandlin K, Miller R, Scarfone KA (2014) Guide to Attribute Based Access Control (ABAC) Definition and Considerations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-162, Includes updates as of February 25, 2019. - - - - - [SP 800-166] - - Cooper DA, Ferraiolo H, Chandramouli R, Ghadiali N, Mohler J, Brady S (2016) Derived PIV Application and Data Model Test Guidelines. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-166. - - - - - [SP 800-167] - - Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application Whitelisting. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-167. - - - - - [SP 800-171] - - Ross RS, Pillitteri VY, Dempsey KL, Riddle M, Guissanie G (2020) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 2. - - - - - [SP 800-171B] - - Ross RS, Pillitteri VY, Graubart RD, Guissanie G, Wagner R, Bodeau D (2019) Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations: Enhanced Security Requirements for Critical Programs and High Value Assets. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-171B. - - - - - [SP 800-177] - - Rose SW, Nightingale S, Garfinkel SL, Chandramouli R (2019) Trustworthy Email. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-177, Rev. 1. - - - - - [SP 800-178] - - Ferraiolo DF, Hu VC, Kuhn R, Chandramouli R (2016) A Comparison of Attribute Based Access Control (ABAC) Standards for Data Service Applications: Extensible Access Control Markup Language (XACML) and Next Generation Access Control (NGAC). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-178. - - - - - [SP 800-181] - - Newhouse WD, Witte GA, Scribner B, Keith S (2017) National Initiative for Cybersecurity Education (NICE) Cybersecurity Workforce Framework. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-181. - - - - - [SP 800-184] - - Bartock M, Scarfone KA, Smith MC, Witte GA, Cichonski JA, Souppaya MP (2016) Guide for Cybersecurity Event Recovery. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-184. - - - - - [SP 800-188] - - Garfinkel S (2016) De-Identifying Government Datasets. (National Institute of Standards and Technology, Gaithersburg, MD), Second Draft NIST Special Publication (SP) 800-188. - - - - - [SP 800-189] - - Sriram K, Montgomery D (2019) Resilient Interdomain Traffic Exchange: BGP Security and DDoS Mitigation. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-189. - - - - - [SP 800-192] - - Yaga DJ, Kuhn R, Hu VC (2017) Verification and Test Methods for Access Control Policies/Models. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-192. - - - - - [IR 7539] - - Cooper DA, MacGregor WI (2008) Symmetric Key Injection onto Smart Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7539. - - - - - [IR 7559] - - Singhal A, Gunestas M, Wijesekera D (2010) Forensics Web Services (FWS). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7559. - - - - - [IR 7622] - - Boyens JM, Paulsen C, Bartol N, Shankles S, Moorthy R (2012) Notional Supply Chain Risk Management Practices for Federal Information Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7622. - - - - - [IR 7676] - - Cooper DA (2010) Maintaining and Using Key History on Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7676. - - - - - [IR 7788] - - Singhal A, Ou X (2011) Security Risk Analysis of Enterprise Networks Using Probabilistic Attack Graphs. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7788. - - - - - [IR 7817] - - Ferraiolo H (2012) A Credential Reliability and Revocation Model for Federated Identities. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7817. - - - - - [IR 7849] - - Chandramouli R (2014) A Methodology for Developing Authentication Assurance Level Taxonomy for Smart Card-based Identity Verification. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7849. - - - - - [IR 7870] - - Cooper DA (2012) NIST Test Personal Identity Verification (PIV) Cards. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7870. - - - - - [IR 7874] - - Hu VC, Scarfone KA (2012) Guidelines for Access Control System Evaluation Metrics. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7874. - - - - - [IR 7956] - - Chandramouli R, Iorga M, Chokhani S (2013) Cryptographic Key Management Issues & Challenges in Cloud Services. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7956. - - - - - [IR 7966] - - Ylonen T, Turner P, Scarfone KA, Souppaya MP (2015) Security of Interactive and Automated Access Management Using Secure Shell (SSH). (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 7966. - - - - - [IR 8011 v1] - - Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal (IR) 8011, Volume 1. - - - - - [IR 8023] - - Dempsey KL, Paulsen C (2015) Risk Management for Replication Devices. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8023. - - - - - [IR 8040] - - Greene KK, Kelsey JM, Franklin JM (2016) Measuring the Usability and Security of Permuted Passwords on Mobile Platforms. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8040. - - - - - [IR 8062] - - Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062. - - - - - [IR 8179] - - Paulsen C, Boyens JM, Bartol N, Winkler K (2018) Criticality Analysis Process Model: Prioritizing Systems and Components. 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Available at - - - - - [NVD 800-53] - - National Institute of Standards and Technology (2020) National Vulnerability Database: NIST Special Publication 800-53 [database of controls]. Available at - - - - - [NEUM04] - - - Principled Assuredly Trustworthy Composable Architectures, P. Neumann, CDRL A001 Final Report, SRI International, December 2004. - - - - - [NSA CSFC] - - National Security Agency, Commercial Solutions for Classified Program (CSfC). - - - - - [NSA MEDIA] - - National Security Agency, Media Destruction Guidance. - - - - - [POPEK74] - - G. Popek, The Principle of Kernel Design, in 1974 NCC, AFIPS Cong. Proc., Vol. 43, pp. 977-978. - - - - [SALTZER75] - - J. Saltzer and M. Schroeder, The Protection of Information in Computer Systems, in Proceedings of the IEEE 63(9), September 1975, pp. 1278-1308. - - - - [USGCB] - - National Institute of Standards and Technology (2020) United States Government Configuration Baseline. 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It is part of the NIST OSCAL effort as covered by [Issue #246](https://github.com/usnistgov/OSCAL/issues/246). - -## XML Now. JSON Next. -If you are JSON fan, fret-not. As with all OSCAL content, the final specification allows for both XML and JSON. We had to start somewhere. - -## Intended Next Steps -Once this mock-up is complete: -1. The OSCAL Team will peer-review it, adjust for OSCAL alignment, and consider any community input. -2. The OSCAL Team will also reach concensus as to which portions of the mock-up become part of the official OSCAL specification, and which are handled as a FedRAMP-specific extension. -3. The OSCAL Team will develop the specification details, and document the relevant syntax. -4. In cooperation with the OSCAL Team, the FedRAMP PMO will develop the specification for any FedRAMP-specific extensions as a parallel effort. - -## FedRAMP SSP Modeling Effort -This is based on the OSCAL Implementation Layer FedRAMP SSP Modeling effort: -https://hackmd.io/dATVzahrQludJILDJH675g - -# The Mock Up - -This mock-up below exists in two parts: -- **Higher Level SSP Elements:** There is no content here, just the tags. View this to understand the suggested elements. -- **The Full Example:** Fully populated ficticious content. View this to understand how the tags might be used in practice. - - -## Higher Level SSP Elements (No Content) -This is to enumerate the suggested elements in context of their parent elements. There is no content here. Not even attributes, and some of the more detailed elements are missing to keep focus on the higher-level structure. -**An example with content exists in the next section.** - -```yaml= - - - <version/> - <date/> - - <import href=""/> - - <publication_information> - <sensitivity/> - <org_name/> - <org_short_name/> - <org_email/> - <org_website/> - <prepared_by/> - <prepared_for/> - </publication_information> - - <publication_history> - <published> - <date/> - <version/> - <notes/> - </published> - </publication_history> - - <system_characteristics> - <system_id/> - <system_name/> - <system_name_short/> - <description/></description> - <security_sensitivity_level/> - - <system_information> - <information_type> - <description/> - <confidentiality_impact> - <base/> - <selected/> - <adjustment_justification/> - </confidentiality_impact> - <integrity_impact> - <base/> - <selected/> - <adjustment_justification/> - </integrity_impact> - <availability_impact> - <base/> - <selected/> - <adjustment_justification/> - </availability_impact> - <qualifiers> - <qualifier response=""> - <sorn id=""/> - </qualifier> - </qualifiers> - </information_type> - </system_information> - - <security_impact_level> - <security_objective_confidentiality/> - <security_objective_availability/> - <security_objective_integrity/> - </security_impact_level> - - <security_eauth> - <security_auth_ial/> - <security_auth_aal/> - <security_auth_fal/> - <security_eauth_level/> - </security_eauth> - - <status/> - <status_other_description/> - <deployment_model/> - <deployment_model_other_description/> - <service_model/> - <service_model_hybrid_description/> - - <leveraged_authorizations> - <leveraged_authorization> - <leveraged_authorization_name/> - <leveraged_authorization_service_provider/> - <leveraged_authorization_date_granted/> - </leveraged_authorization> - </leveraged_authorizations> - - <authorization_boundary> - <boundary_diagram> - <boundary_description/> - </boundary_diagram> - </authorization_boundary> - - <network_architecture> - <network_diagram> - <network_description/> - </network_diagram> - </network_architecture> - - <data_flow> - <data_flow_diagram> - <data_flow_description/> - </data_flow_diagram> - </data_flow> - - <users> - <role name="" internal="yes" access="nla" sensitivity_level="limited"> - <privilege/> - <function/> - </role> - <statistics> - <internal_user_total_current/> - <internal_user_total_future/> - <external_user_total_current/> - <external_user_total_future/> - </statistics> - </users> - - </system_characteristics> - - <system_implementation> - <ports_protocols_services> - <service> - <protocol> - <port_range transport=""> - </protocol> - <purpose/> - <used_by/> - </service> - </ports_protocols_services> - - <system_inventory> - <component id="comp-01"> - <name/> - <description/> - </component> - <inventory_item id="asset_id" virtual="" public=""> - <asset_id/> - <ip_address/> - <network_name/> - - <host_item> - <netbios_name/> - <mac_address/> - <authenticated_scan/> - <baseline_template/> - <os_name/> - <os_version/> - <location/> - <asset_type/> - <hardware_vendor/> - <hardware_model/> - <scanned/> - </host_item> - - <software_item> - <software_vendor/> - <software_name/> - <software_version/> - <software_patch_level/> - <function/> - </software_item> - - <Comments/> - <serial_no/> - <network_id/> - <asset_owner/> - <asset_administrator/> - </inventory_item> - </system_inventory> - - <system_interconnections> - <interconnection> - <external_system_name/> - <external_system_org/> - <isa_authorization/> - <isa_name/> - <isa_date/> - <interconnection> - </system_interconnections> - - </system_implementation> - - <security_controls> - <group> - <control> - <responsible_role/> - <param> - <value/> - </param> - <implementation_status/> - <planned_implementation_date/> - <control_origination/> - <control_response/> - <crypto/> - - <subcontrol> - <responsible_role/> - <param> - <value/> - </param> - <implementation_status/> - <planned_implementation_date/> - <control_origination/> - <control_response/> - </subcontrol> - - </control> - </group> - </security_controls> - - <cryptography> - <module> - <validation/> - <module_name/> - <version_number/> - </module> - </cryptography> - - <organizations> - <org> - <name/> - <address/> - <phone/> - <email/> - <url/> - </org> - </organizations> - - <individuals> - <individual> - <name/> - <title/> - <address/> - <phone/> - <email/> - </individual> - </individuals> - - <parties> - <party> - </parties> - - <roles> - <role title=""/> - </roles> - - <references> - <ref id="" ref_type=""> - <citation href=""/> - </ref> - </references> - - <attachments> - <attachment> - <name/> - <description/> - <format/> - <date/> - <version/> - <type/> - <href/> - <base64/> - </attachment> - <attachments> - -</fedramp_system_security_plan> -``` - -## The Full Example - -### Fictitious Information - -All information used in this SSP example is fictitious. The imaginary company and system used is: - -* **Organization Name:** Alpha - Cloud Service Processing (A-CSP) -* **System Name:** Alpha - Service and Automation System (A-SaaS) - -### Template References - -All SSP page, section, and table references are based on the FedRAMP SSP High BAseline Template published to fedramp.gov on August 8, 2018. - -```yaml= -<?xml version="1.0" encoding="UTF-8"?> -<fedramp_system_security_plan id="uuid-a_csp-a_saas-20180925-195545" xmlns="http://fedramp.gov/ns/oscal/1.0"> - <!-- Title page --> - <title>System Security Plan (SSP) Moderate Baseline - 2.1 - 2018-09-25 - - - - - - - - - - - - - - - - Controlled Unclassified Information - Alpha - Cloud Service Processing - A-CSP - info@a-csp.com - https://www.a-csp.com - - - - org-02 - - - org-01 - - - - - - - 2017-01-02 - 1.0 - Initial publication. - - - 2017-06-06 - 1.1 - Updated to reflect new security widget in AC-2. - - - 2018-03-08 - 2.0 - Updated to reflect new active directory technology in IA-4. - - - 2018-09-25 - 2.1 - Updated to reflect new use of row-based database security in AC-5. - - - - - - F12345 - Alpha - Service and Automation System - A-SaaS - - - -

A brief description of the function or purpose of the system (1 - 3 paragraphs)

- - - - - moderate - - - - - - - Border and Transportation Security - - moderate - moderate - - - - moderate - moderate - - - - moderate - moderate - - - - - Disaster Management and Prediction - - - low - low - - - - high - high - - - - high - low - -

System is for research and analysis only. Access to information in this system at the time of a disaster is not critical.

- - - - - - A Privacy Sensitive System - - - - -

Does the ISA collect, maintain, or share PII in any identifiable form?

- - -

Does the ISA collect, maintain, or share PII information from or about the public?

- - -

Has a Privacy Impact Assessment ever been performed for the ISA?

- - -

Is there a Privacy Act System of Records Notice (SORN) for this ISA system?

- Sorn Name - - - - - - - - moderate - moderate - moderate - - - - - - moderate - moderate - moderate - moderate - - - - operational - N/A - - - saas - N/A - - - government_only_community - N/A - - - - - A Big IaaS (ABI) - A Big IaaS Provider (ABIP) - 2016-09-09 - - - - - - - -

This is optional text that provides additional, written detail to the attached boundary diagram.

- - - - - - - - -

This is optional text that provides additional, written detail to the attached network diagram.

- - - - - - - - -

This is optional text that provides additional, written detail to the attached data flow diagram.

- - - - - - - - Full administrative access (root) - Add/remove users and hardware - Install and configure software - OS updates - patches and hotfixes - perform backups - - - Portal administration - Add/remove client users - Create, modify, and delete client applications - - - none - Reviews, approves, and enforces policy - - - 22 - 33 - 75 - 100 - - - - - - - - - - - - - - - Allows name resolution of hosts. - external user workstations - internal hosts - - - - - - - - - Provides web services for the application. - External users to access the application - - - - - - - Weather Server - NOAA - M.Y. Ayaoh - Weather Connection - 2018-09-25 - - - - - - - Linux Host - - - -

Physical and virtual linux hosts are used as the primary platform for all server needs within the system, unless another platform is needed to achieve a specific requirement.

- - - - Web Server - -

Apache is used for all web servers, and is always installed on a Linux OS.

- - - - SQL Server - -

We use Acme BigSQL for our database needs, and always run it on a Linux platform.

- - - - - 123.45.67.96 - 123.45.68.96 - acme-web-a.a-csp.com - - - acme-web-a - 00:01:02:03:04:05 - yes - Base Config 1 - CentOS - 5.1 - Primary data center, Rack A-1 - Web Server - Acme - web-1000 - yes - - - This is a public-facing hardware-based web server - aw-12345 - 123.45.67.00/24 - 123.45.68.00/24 - Jonathan Jacob - Mr. L.N.X. Guru - - - 123.46.78.400 - 123.47.78.400 - big-db.a-csp.com - - - Acme - Big SQL - 7.7 - Level 7 - Houses all the data - - - All the sensitive information is stored here. - asq-121212 - 123.46.0.0/16 - 123.47.0.0/16 - Jonathan Jacob - Mr. L.N.X. Guru - - - - - - - - - - - - - - all staff with system access - - - annually, and as needed - - - every three years, and when the system undergoes a significant change - - - implemented - - service_provider_corporate - service_provider_system_specific - - -

The A-CSP CIO's office maintains the A-CSP Access Control Policy. This CIO's office ensures this policy is disseminated to all A-CSP staff.

- - -

The A-SAAS ISSO is responsible for maintaining the A-SaaS Access Control Policy. This ISSO ensures this policy is disseminated to all individuals with logical access to A-SAAS.

- - -

The A-SAAS ISSO maintains the A-SaaS Access Control Procedure, which is used for granting all system access. This ISSO ensures this procedure is disseminated to all individuals with administrative access to A-SAAS.

- - - - - - - - - - - - all system accounts - - - immediate supervisor or system ISSO - - - the A-CSP Access Control Policy - - - as needed - - - implemented - - service_provider_system_specific - customer_responsibility - inherited - - -

In accordance with the A-SaaS Access Control Policy, the system ISSO identifies all A-SaaS system administrators to support the A-SaaS mission.

- - -

The customer must define which A-SAAS application user account types support the customer's mission.

- - -

For the hypervisor and below, this is inherited from ABI.

- - - - - - - - - - - partially_implemented - 2019-06-01 - - service_provider_system_specific - inherited - - -

This is where the CSP describes how they have implemented automated mechanisms in the support of system account management

- - -

This where the CSP describes what they inherit from ABI in support of AC-2(2).

- - - - - - - - - - 00000001 - crypto_guard_supreme - 1.23 - - - 00000010 - crypto_guard_supreme - 1.23 - - - - - - Alpha - Cloud Service Processing -
- 12345 S. Main Street - Star City - ST - 54321 - US -
- main@a-csp.com - 703-555-1212 - https://www.a-csp.com - - - Three Partners Auditing Objectives (3PAO) -
- main@3pao.com - 703-555-1212 - https://www.3pao.com - - - Three Letter Agency (TLA) -
- main@tla.gov - 703-555-1212 - https://www.tla.gov - - - Department of Homeland Security (DHS), Office of the CIO - - - - - Department of Defense (DoD), Office of the CIO - - - - - General Services Administration (GSA), Office of the CIO - - - - - - - - I.M. DaBoss - VP Operations - 703-555-6161 - imdaboss@a-csp.com - - - Blurry Face - Cyber Security Director - 703-555-9111 - bface@a-csp.com - - - Buck Stops-Here - CIO - 703-555-0000 - bstops-here@tla.gov - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - FedRAMP Applicable Laws and Regulations - - - 5 C.F.R. 731.106 - - - - - - - Rules of Behavior - The Rules of Behavior document - .docx - 2017-02-03 - 2.0 - MS Word - - - - A-CSP Access Control Policy - Corporate A-CSP Access Control Policy - .docx - 2015-06-06 - 2.1 - MS Word - - - - A-SaaS Access Control Policy - System-specific A-SaaS Access Control Policy - .docx - 2017-12-12 - 1.1 - MS Word - - - - A-SaaS Access Control Process - System-specific A-SaaS Access Control Process - .docx - 2017-12-12 - 1.2 - MS Word - - - - - - - - - - - Logo - A-CSP Logo - .png - 2017-01-02 - 1.0 - graphic - 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 - - Signature - Chief Privacy Officer - Digital signature of the CPO - - 2017-01-02 - 1.0 - digital signature - iVBORw0KGgoAAAANSUhEUgAAAMoAAAAtCAIAAABgRmPFAAAAAXNSR0IArs4c6QAAAARnQU1BAACxjwv8YQUAAAAJcEhZcwAADsMAAA7DAcdvqGQAAATBSURBVHhe7ZpLjqQwDIbnIL2c09SqzsKCs7RUR0F1FLjBLFAtSkhIPc4DsCGJHUikmpE/ZdFNheDYv/OA/PpRlGqovJSKqLyUiqi8lIqovJSKqLyUiqi8lIqovJSKqLyUkRcTrp21ETO8HRSDJ8RYuTKS4Wklv6SmGBd7cjTXHgdNf5mI4l/f0NbaU01ZCpsXJVteiiJH5aVUROWlVETlpVRE5aVUROWlVETlpVRE5aVUROWlVETlpVRE5aVUROWlVETlpVRE5aVUROWlVOPn5y9OeK7Cv/yElwAAAABJRU5ErkJggg== - - - - - -``` diff --git a/src/content/ssp-example/json/ssp-example.json b/src/content/ssp-example/json/ssp-example.json deleted file mode 100644 index f84bc74309..0000000000 --- a/src/content/ssp-example/json/ssp-example.json +++ /dev/null @@ -1,376 +0,0 @@ -{ - "system-security-plan": { - "uuid": "66c2a1c8-5830-48bd-8fdd-55a1c3a52888", - "metadata": { - "title": "Enterprise Logging and Auditing System Security Plan", - "last-modified": "2019-09-23T18:14:50.591Z", - "version": "1.0", - "oscal-version": "1.0.0-milestone3", - "roles": [ - { - "id": "legal-officer", - "title": "Legal Officer" - } - ], - "parties": [ - { - "uuid": "3b2a5599-cc37-403f-ae36-5708fa804b27", - "type": "organization", - "party-name": "Enterprise Asset Owners" - }, - { - "uuid": "833ac398-5c9a-4e6b-acba-2a9c11399da0", - "type": "organization", - "party-name": "Enterprise Asset Administrators" - }, - { - "uuid": "ec485dcf-2519-43f5-8e7d-014cc315332d", - "type": "organization", - "party-name": "Legal Department" - }, - { - "uuid": "0f0c15ed-565e-4ce9-8670-b54853d0bf03", - "type": "organization", - "party-name": "IT Department" - }, - { - "uuid": "96c362ee-a012-4e07-92f3-486ab303b0e7", - "type": "organization", - "party-name": "Acme Corp" - } - ] - }, - "import-profile": {"href": "../../nist.gov/SP800-53/rev4/json/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json"}, - "system-characteristics": { - "system-name": "Enterprise Logging and Auditing System", - "description": "This is an example of a system that provides enterprise logging and log auditing capabilities.", - "system-ids": [ - { - "id": "d7456980-9277-4dcb-83cf-f8ff0442623b", - "identifier-type": "https://ietf.org/rfc/rfc4122" - } - ], - "security-sensitivity-level": "moderate", - "system-information": { - "information-types": [ - { - "uuid": "7d28ac6e-5970-4f4c-a508-5a3715f0f02b", - "title": "System and Network Monitoring", - "information-type-ids": { - "https://doi.org/10.6028/NIST.SP.800-60v2r1": {"id": "C.3.5.8"} - }, - "description": "This system maintains historical logging and auditing information for all client devices connected to this system.", - "confidentiality-impact": {"base": "fips-199-moderate"}, - "integrity-impact": {"base": "fips-199-moderate"}, - "availability-impact": {"base": "fips-199-low"} - } - ] - }, - "security-impact-level": { - "security-objective-confidentiality": "fips-199-moderate", - "security-objective-integrity": "fips-199-moderate", - "security-objective-availability": "fips-199-low" - }, - "status": { - "state": "other", - "remarks": "This is an example, and is not intended to be implemented as a system" - }, - "annotations": [ - { - "name": "deployment-model", - "value": "private" - }, - { - "name": "service-models", - "value": "iaas" - } - ], - "authorization-boundary": {"description": "The description of the authorization boundary would go here."} - }, - "system-implementation": { - "remarks": "This is a partial implementation that addresses the logging server portion of the auditing system.", - "users": { - "9824089b-322c-456f-86c4-4111c4200f69": { - "title": "System Administrator", - "role-ids": ["asset-administrator"], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - }, - "ae8de94c-835d-4303-83b1-114b6a117a07": { - "title": "Audit Team", - "role-ids": ["asset-owner"], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - }, - "372ce7a3-92b0-437e-a98c-24d29f9bfab8": { - "title": "Legal Department", - "role-ids": ["legal-officer"], - "annotations": [ - { - "name": "type", - "value": "internal" - } - ] - } - }, - "components": { - "e00acdcf-911b-437d-a42f-b0b558cc4f03": { - "title": "Logging Server", - "description": "Provides a means for hosts to publish logged events to a central server.", - "status": {"state": "operational"}, - "component-type": "software", - "responsible-roles": { - "provider": { - "party-uuids": ["96c362ee-a012-4e07-92f3-486ab303b0e7"] - }, - "asset-owner": { - "party-uuids": ["3b2a5599-cc37-403f-ae36-5708fa804b27"] - }, - "asset-administrator": { - "party-uuids": ["833ac398-5c9a-4e6b-acba-2a9c11399da0"] - } - } - }, - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "title": "Enterprise Logging, Monitoring, and Alerting Policy", - "component-type": "policy", - "description": "Requires all components to send logs to the enterprise logging solution\n\u2014 Requires all components synchronize their time with the appropriate enterprise time service, and at what frequency.\n\u2014 Identifies the events that must be captured\n\u2014 Identifies who is responsible/accountable for performing these functions", - "status": {"state": "operational"}, - "properties": [ - { - "name": "version", - "value": "2.1" - }, - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["ec485dcf-2519-43f5-8e7d-014cc315332d"] - } - } - }, - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "title": "System Integration Process", - "component-type": "process", - "description": "Ensures proper integration into the enterprise as new systems are brought into production.", - "status": {"state": "operational"}, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures logs from components in new system are able to published to the logging server. Ensures log monitoring capabilities recognize new system as authorized." - } - ] - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "title": "Inventory Management Process", - "component-type": "process", - "description": "Describes how new components are introduced into the system - ensures monitoring teams know about every asset that should be producing logs, thus should be monitored.", - "status": {"state": "operational"}, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are known and authorized. Ensures that these hosts publish log events to the logging server." - } - ] - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "title": "Configuration Management Guidance", - "component-type": "guidance", - "description": "Describes how to configure a component to ensure its logs are transmitted to Splunk in the appropriate format. Also describes how to configure time synchronization.", - "status": {"state": "operational"}, - "properties": [ - { - "name": "last-modified-date", - "value": "20181015" - } - ], - "responsible-roles": { - "maintainer": { - "party-uuids": ["0f0c15ed-565e-4ce9-8670-b54853d0bf03"] - } - }, - "links": [ - { - "rel": "implements-policy", - "href": "#795533ab-9427-4abe-820f-0b571bacfe6d", - "text": "Ensures that all host are configured to publish log events to the logging server." - } - ] - } - }, - "system-inventory": { - "inventory-items": { - "c9c32657-a0eb-4cf2-b5c1-20928983063c": { - "description": "The logging server.", - "asset-id": "asset-id-logging-server", - "responsible-parties": { - "asset-administrator": { - "party-uuids": ["833ac398-5c9a-4e6b-acba-2a9c11399da0"] - }, - "asset-owner": { - "party-uuids": ["3b2a5599-cc37-403f-ae36-5708fa804b27"] - } - }, - "implemented-components": { - "e00acdcf-911b-437d-a42f-b0b558cc4f03": {"use": "runs-software"}, - "795533ab-9427-4abe-820f-0b571bacfe6d": {"use": "enforces-policy"} - } - } - } - } - }, - "control-implementation": { - "description": "This is the control implementation for the system.", - "implemented-requirements": [ - { - "uuid": "aaadb3ff-6ae8-4332-92db-211468c52af2", - "control-id": "au-1", - "description": "This should be a description of how au-1 is implemented.", - "statements": { - "au-1smt": { - "uuid": "7ad47329-dc55-4196-a19d-178a8fe7438d", - "description": "N/A" - }, - "au-1smt.a": { - "uuid": "f3887a91-9ed3-425c-b305-21e4634a1c34", - "description": "", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "a74681b2-fbcb-46eb-90fd-0d55aa74ac7b", - "description": "The legal department develops, documents, and disseminates this policy to all staff and contractors within the organization.", - "parameter-settings": { - "au-1_prm_1": {"value": "all staff and contractors within the organization"} - } - }, - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "4f873ce6-dd49-4a46-bd4a-5041c22665f1", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": {"value": "all IT staff who administer this system when the staff member is assigned and annually through training"} - } - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "ea85a624-cd21-4c63-abe0-f66087e97241", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": {"value": "all IT staff who administer this system when the staff member is assigned and annually through training"} - } - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "b5e5823a-844f-4306-a5ab-7e110679e0d5", - "description": "The IT department created and maintains this procedure. This department disseminates it to all IT staff who administer this system when the staff member is assigned and annually through training.", - "parameter-settings": { - "au-1_prm_1": {"value": "all IT staff who administer this system when the staff member is assigned and annually through training"} - } - } - } - }, - "au-1smt.a.1": { - "uuid": "6fe632bd-33aa-4eea-a507-a37f0d212085", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "2d0a7b08-da7f-4691-b99c-8fd9df02b25c", - "description": "This policy explicitly states the purpose and scope of the policy in Section 1. Roles and responsibilities are described in Section 2. This section also describes responsibilities for organizational coordination. Management commitment and compliance statements are made in the board\u2019s directive memo dated January 1, 2012." - } - } - }, - "au-1smt.a.2": { - "uuid": "dbe9af68-1cd9-4ff1-965b-8f887351d411", - "by-components": { - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "dd4fd380-7a2a-4fba-9e98-933ba5cfc04d", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "3b912d0f-2463-497c-8d8a-72416f38e999", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "226ee2a2-cbdb-498f-8182-94dfa013476c", - "description": "This process aligns with the enterprise Logging, Monitoring, and Alerting Policy, Version 2.1, October 15, 2018. The following processes work together to fully implement the policy: System Integration Process, Inventory Management Process, Configuration Management, Log Review Process, and Monitoring and Alerting Process" - } - } - }, - "au-1_smt.b": { - "uuid": "b1773cd6-afc5-4c87-84a7-f182e6be5af9", - "remarks": "N/A" - }, - "au-1_smt.b.1": { - "uuid": "75873308-f37d-4e89-9c27-29f3dee4b314", - "by-components": { - "795533ab-9427-4abe-820f-0b571bacfe6d": { - "uuid": "23903c59-1327-46f0-9c28-09ec7f144214", - "parameter-settings": { - "au-1_prm_2": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The legal department reviews this policy annually, and other times as necessary in response to regulatory or organizational changes. The legal department updates the policy as needed based on these reviews." - } - } - }, - "au-1_smt.b.2": { - "uuid": "74b5b0f2-9915-4f80-b7cd-379566442ab6", - "by-components": { - "941e2a87-46f4-4b3e-9e87-bbd187091ca1": { - "uuid": "0c45b6e2-f85b-4656-a6cc-2a302d184720", - "parameter-settings": { - "au-1_prm_3": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - "fa39eb84-3014-46b4-b6bc-7da10527c262": { - "uuid": "094f02ce-4b7a-405c-90a5-ab4d95133f74", - "parameter-settings": { - "au-1_prm_3": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews." - }, - "4938767c-dd8b-4ea4-b74a-fafffd48ac99": { - "uuid": "7ec8b7ec-d931-4055-ac74-6d288d636787", - "parameter-settings": { - "au-1_prm_3": {"value": "annually, and other times as necessary in response to regulatory or organizational changes"} - }, - "description": "The IT department reviews this process annually, and other times as necessary in response to regulatory or organizational changes. The IT department updates the policy as needed based on these reviews" - } - } - } - } - } - ] - } - } -} \ No newline at end of file diff --git a/src/content/ssp-example/readme.md b/src/content/ssp-example/readme.md deleted file mode 100644 index 2ecc7b0840..0000000000 --- a/src/content/ssp-example/readme.md +++ /dev/null @@ -1 +0,0 @@ -This contains both the SSP data model, and SSP mock-up with sample information. diff --git a/src/content/ssp-example/ssp.sch b/src/content/ssp-example/ssp.sch deleted file mode 100644 index 57c881819e..0000000000 --- a/src/content/ssp-example/ssp.sch +++ /dev/null @@ -1,35 +0,0 @@ - - - - - - - - - - - - Referenced role-id not defined in this document: . Must be one of: - - - Duplicate party identifier: - - - - Duplicate system roles: - - - - Referenced party-id not defined in metadata: . Must be one of: - - - - Referenced system-role-id not defined in this document: . Must be one of: - - - \ No newline at end of file diff --git a/src/content/ssp-example/validate.sh b/src/content/ssp-example/validate.sh deleted file mode 100644 index 493878d5b5..0000000000 --- a/src/content/ssp-example/validate.sh +++ /dev/null @@ -1,37 +0,0 @@ -#!/bin/bash - -if [[ -z "$OSCALDIR" ]]; then - DIR="$( cd "$( dirname "${BASH_SOURCE[0]}" )" >/dev/null && pwd )" - source "$DIR/../../../build/ci-cd/include/common-environment.sh" -fi -source "$OSCALDIR/build/ci-cd/include/init-validate-json.sh" -source "$OSCALDIR/build/ci-cd/include/schematron-init.sh" - -shopt -s nullglob -shopt -s globstar - -# compile the schematron -compiled_schematron="compiled-schematron.xsl" -build_schematron "$OSCALDIR/src/content/ssp-draft/ssp.sch" "$compiled_schematron" -cmd_exitcode=$? -if [ $? -ne 0 ]; then - echo "${P_ERROR}Compilation of Schematron failed.${P_END}" - exit 1 -fi - -input="$1" -input="$(realpath "${input}" )" -output="${input}-to-xml.json" -transform="${OSCALDIR}/build/metaschema/json/json-to-xml.xsl" -svrl="${input}-to-xml.svrl" - -#input-relative="$(realpath --relative-to="$transform" "$input")" - -xsl_transform "${transform}" "" "${output}" "-it" "json-file=${input}" -if [ $? -ne 0 ]; then - echo "${P_ERROR}Conversion of JSON file to XML failed.${P_END}" - exit 1 -fi - -validate_with_schematron "$compiled_schematron" "${output}" "${svrl}" -exit $?